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A simplified approach to normalization of piezocone penetration rate effects

Article in Géotechnique · June 2019

DOI: 10.1680/jgeot.18.t.033

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TECHNICAL NOTE

A simplified approach to normalisation of piezocone

penetration rate effects
FERNANDO SCHNAID
, GRACIELI DIENSTMANN†, EDGAR ODEBRECHT‡ and SAMIR MAGHOUS

The influence of factors controlling the rate of penetration during piezocone tests (CPTU) is addressed
in the present paper, including a critical appraisal of measurements adopted as input in existing
dimensionless analysis. From a heuristic approach, a method is proposed to identify possible
consolidation effects taking place during penetration using the velocity factor, V h . Defined as a direct
function of probe size, d, penetration rate, v, and dissipation time, t50, the dimensionless velocity factor
V h is used to demonstrate that normalisation of cone penetration velocity is an important step for
assessment of soil properties and for comparative performance of data from different geomaterials.
An application is reported to illustrate the normalisation of measured data in soils within the
permeability range from 105 to 108 m/s.

KEYWORDS: in situ testing; penetrometers; permeability; silts

INTRODUCTION or radial drainage conditions

In intermediate permeability soils, transient drainage
conditions affect in situ test results (e.g. Randolph & Hope, Vh ¼ vlc =ch ð2Þ
2004; Schnaid et al., 2016). For the particular case of piezo- where lc ¼ d in linear poroelasticity.
cone tests, the standard rate of penetration of 20 mm/s The normalised penetration rate Vv has been successfully
leads to drained penetration in sands, while it is associated used for the data analysis of various penetration tests, indic-
with undrained penetration in clays. Partial drainage effects ating fully undrained penetration for Vv larger than about
during cone penetration in silts must be given careful con- 30–100 and fully drained penetration when Vv is less than
sideration, where the degree of drainage can be evaluated by about 0·03–0·01 (Randolph & Hope, 2004; Schnaid, 2005;
the ratio between the penetration velocity v and the char- DeJong & Randolph, 2012). Although equation (1) captures
acteristic velocity of the pore pressure dissipation process vc the key elements which need to be considered for in situ
defined hereafter. Referring to the equation that governs testing interpretation, uncertainties on how to apply the
pore-fluid pressure diffusion in a linear poroelastic medium, method in engineering practice have been recognised, as
it can be established from dimensional analysis arguments explained below.
(e.g. Coussy, 2004; Dormieux et al., 2006) that the charac- The coefficient of consolidation (cv or ch) is a function of
teristic velocity for the fluid mass diffusion reads vc ¼ lc/tc in the hydraulic conductivity, coefficient of volume change and
which lc and tc refer, respectively, to the characteristic length unit weight of pore fluid. Even in the case of homogeneous
and characteristic time for consolidation. In the framework of soils, the penetration process modifies stress and pore pres-
linear poroelasticity, lc coincides with the probe diameter, sure distributions, leading to radial heterogeneity of stress
whereas tc is evaluated from the coefficient of consolidation and porosity that control permeability and stiffness. In turn,
cv (vertical drainage conditions) or ch (radial drainage such heterogeneity results in radially variable coefficients of
conditions) according to expressions tc ¼ l2c /cv or tc ¼ l2c /ch. consolidation around the piezocone face (e.g. Baligh, 1985;
It follows that the characteristic velocity reads either vc ¼ cv/lc Teh & Houlsby, 1991; Silva et al., 2006; Dienstmann et al.,
or vc ¼ ch/lc. Departing from this concept, Randolph & Hope 2017), and no single value of ch (or cv) inserted in equation (1)
(2004) introduced a normalised penetration velocity V ¼ v/vc would be representative of the deforming patterns around the
for piezocone tests (CPTU) interpretation that can be defined probe. For this reason, an operative coefficient of consolida-
according to vertical drainage conditions tion for the soil adjacent to the cone has to be arbitrarily
Vv ¼ vlc =cv ð1Þ selected.
Initially, the normalised penetration velocity Vv was
calculated as a function of an average vertical coefficient of
consolidation, cv, measured from laboratory one-dimensional
(1D) consolidation data (Randolph & Hope, 2004; Chung
Manuscript received 28 September 2018; revised manuscript et al., 2006; Kim et al., 2008; Suzuki & Lehane, 2014a). This
accepted 10 June 2019. approach was conceived for clay deposits where geotechnical
Discussion on this paper is welcomed by the editor. design combines laboratory and field tests.

Federal University of Rio Grande do Sul, Department of Civil
In silts, where good quality samples are difficult to
Engineering, Porto Alegre, RS, Brazil.
† Federal University of Santa Catarina, Department of Civil obtain by sophisticated processes, it seems practical to con-
Engineering, Florianópolis, SC, Brazil sider ch measured in piezocone dissipation tests as a more
(Orcid:0000-0002-5056-1338). suitable parameter to calculate Vh, since consolidation
‡ State University of Santa Catarina, Department of Civil around the penetrometer is predominantly radial and reflects
Engineering, Joinville, SC, Brazil. re-consolidation after probe penetration. Although several

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2 SCHNAID, DIENSTMANN, ODEBRECHT AND MAGHOUS
recent publications opted for this alternative approach time t ¼ t50
(Suzuki et al., 2012; Suzuki & Lehane, 2014b; Dienstmann pffiffiffiffi
et al., 2018), errors are introduced in the analysis when * d 2 Ir
t50
ch ¼ ð5Þ
interpreting dissipation data to estimate ch in intermediate t50
permeability soils. Consolidation during cone penetration * is the time factor at the 50% stage of dissipation.
where t50
reduces the initial excess penetration pore pressure relative
Theoretical analytical studies based on cavity expansion
to undrained conditions, and the stress field around the
theory (Vésic, 1972; Randolph & Wroth, 1979), which
cone is no longer the one representing undrained expansion.
were corroborated by the numerical simulations provided in
Interpretation of dissipation data by conventional appro-
Teh & Houlsby (1991), indicate that the value of time factor
aches such as Teh & Houlsby (1991) and Burns & Mayne * at the shoulder filter element located immediately behind
t50
(2002) would then produce inaccurate estimates of the
the cone is close to 0·245.
coefficient of consolidation and accounting for these errors
It is, however, recognised that in intermediate permeability
requires manipulation of numerical solutions originally devel-
soils, such as silty sands, partial consolidation effects have
oped for fully undrained penetration (DeJong & Randolph,
to be considered because penetration is no longer fully
2012).
undrained and the value of t*50 estimated using the proposed
It is therefore more convenient in silts to combine probe
undrained approach under-predicts the value measured
size, penetration rate and dissipation time to obtain a new
after some consolidation. Based on the results of numerical
coupled parameter that is a better predictor of drainage
analyses, an empirical approach was proposed by DeJong &
effects and may offer an alternative to equations (1) and (2). * (evaluated
Randolph (2012) to correct the estimated t50
from the undrained penetration assumption) by calculating
an apparent time factor tap 50 deduced from a family of curves
VELOCITY FACTOR conceived to account for different degrees of partial con-
Assessment of consolidation characteristics from dissipa- solidation during penetration
tion tests using the CPTU provides reasonable estimates of
ch (Baligh & Levadoux, 1986; Teh & Houlsby, 1991). 1
tap
50 =t50  1 þ
* ð6Þ
Interpretation is based on simple uncoupled penetration 0115Vh12
and radial consolidation analyses, which are known to be
significantly influenced by the initial distribution of excess Incorporating expression (5) for ch into equation (2) and
pore pressures and dissipation process around the probe. * by the apparent time factor tap
substituting t50 50 yield an
Uncertainties on the state of stress in the ground around the alternative expression for normalised velocity
cone are associated with soil stiffness, soil disturbance, vt50
anisotropy (e.g. Baligh & Levadoux, 1986), as well as the Vh ¼ vlc =ch ¼ p ffiffiffiffi ð7Þ
tap 4
50 d Ir
possible consolidation effects taking place during
pffiffiffiffi differs from the expression Vh ¼ vd=ch ¼
penetration.
which apslightly
Despite these uncertainties, both monotonic and dilatory vt50 =t50 d Ir commonly used in normalisation of piezo-
soil response can be modelled under fully undrained pene- cone data.
tration in this type of approach. The solution derived by Teh From a theoretical viewpoint, it is necessary (although less
& Houlsby (1991), applied under the assumption of mono- convenient) to compute the normalised velocity Vh making
tonic excess pore pressure decrease with time, represents the use of equation (7) together with expression (6) for tap
50, rather
standard of practice for CPTU dissipation tests. The method * whose value is constant ( 0·245).
than t50
consists of deriving an approximate solution capable of In practical analyses, the main issue in applying
unifying results for the empirical normalisation of test data equation (7) is connected with evaluating the correcting
by means of a dimensionless time factor t* based on the term tap50 and the operational rigidity index Ir. Instead, the
following empirical relationship proposed approach stems from the heuristic idea that a
lc ¼ d  Irn ð3Þ characteristic value for Vh might be evaluated in intermediate
permeability soils by simply omitting the coefficient tap 50
where the rigidity index of soil Ir is defined as the ratio of (or alternatively t*50) in equation (7). It is thus appealing
the elastic shear modulus G to undrained shear strength su to express the velocity factor as a function of t50 only
in triaxial compression. This analysis implicitly assumes vt50
an average shear modulus for definition of Ir. Based on Vh ¼ p ffiffiffiffi ð8Þ
finite-element simulations performed in the context of poro- d 4 Ir
plasticity at different values of Ir, it has been found Equations (7) and (8) actually capture the same variables
empirically in Teh & Houlsby (1991) that the best value for and are offset by a constant when penetration is undrained
exponent n is actually n ¼ 0·25. Assuming that the charac- since V h/Vh ¼ (1/t*50)  4. In turn, the advantages of using
teristic time for poroplastic consolidation is still given by equation (8) are twofold. First, when penetration is partially
tc ¼ l2c /ch, the above relationship (3) therefore allows the drained, relationship (8) can be directly used in the
dimensionless time factor t* to be expressed as interpretation of CPTU results from the measured t50,
t tch tch which is actually the key measured parameter to be con-
t* ¼ ¼ ¼ pffiffiffiffi ð4Þ sidered when separating drained from partially drained and
tc d 2 Ir2n d 2 Ir
undrained penetration. Note that t50 is calculated from every
For practical purposes, it is convenient to introduce dissipation test (i.e. at every depth), avoiding the need for
the time t50, determined from field measurements, at which adoption of an average operational ch value that would be
50% dissipation of excess pore pressure is achieved in representative of all tests when normalising penetration data.
undrained cone penetration (see, for instance, Robertson Second, the inherent spatial inhomogeneity within a soil
et al. (1992)). deposit is macroscopically captured by the measured values
For a given probe geometry and porous element location, of t50. In silts, this recommendation is feasible because of the
the coefficient of consolidation ch is then expressed using small time intervals required to measure the time for 50%
the above undrained relationship (4) considered at dissipation (usually between 20 and 50 s). Robertson (2012)

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 APPROACH TO NORMALISATION OF PIEZOCONE PENETRATION RATE EFFECTS 3
suggested that when t50 values were greater than about 30 s, ILLUSTRATIVE APPLICATION
the CPT penetration is likely to be undrained. DeJong The gold tailings deposit of Fazenda Brasileiro has been
& Randolph (2012) suggested that partial consolidation used as a case study research site for the past two decades and
during penetration may produce errors in the interpretation recent research has already explored the influence of rate
of the dissipation test if the measured t50 is less than 50 s. effects on in situ tests, including both CPTU and seismic flat
Dienstmann et al. (2018) conservatively considered partial dilatometer test data (Schnaid et al., 2016; Dienstmann et al.,
consolidation when t50 is less than 100 s. 2018). A standard CPTu probe has been used in the current
The obtained set of V h can be conveniently plotted against research with a 10 cm2 cross-sectional area, corresponding to
normalised penetration resistance or pore pressure, providing a diameter of 35·7 mm.
an average drainage characteristic curve and allowing for The material disposed in ponds is predominantly non-
proper comparisons of different sets of data within a site plastic silty sand, with average physical properties as listed
or between sites. In particular, this procedure seems suitable in Table 1. According to the Unified Soil Classification
in the absence of satisfactory reference solutions for the System these tailings are classified as silt of low to high
penetration problem in heterogeneous soils. plasticity (ML and MH). The piezocone profile obtained at
A worked example in silty tailings is presented to validate the standard 20 mm/s penetration rate is presented in Fig. 1
the relevance of the proposed V h factor. and includes cone tip resistance, qt, penetration pore pressure,

Table 1. Gold tailings characterisation deposited by underflow

Source Region Physical characterisation

w: % Gs: g/cm 3
e0 γ: kN/m3 Clay: % Silt: % Sand: %

Bedin (2010) PZC01 to PZC05 40·1 3·0 1·23 18·6 7 63 30

30·0 3·15 1·10 20·5
PZC06 to PZC08 38·7 3·3 1·30 19·3 15 57 28
40·0 3·0 1·25 19·0
Klahold (2013) Cluster 01 and Cluster 02 37·8 2·86 1·08 18·94 1·53 72·47 26·00
1·10 51·90 47·00
32·3 2·85 0·92 19·63 5·98 82·52 11·50
1·54 69·96 28·50

qt: kPa u2, u0: kPa Bq

0 500 1000 1500 2000 2500 –20 30 80 130 180 –0·20 0 0·20 0·40 0·60 0·80
–2·50 –2·50 –2·50
Variable
rate:
–2·75 –2·75 –2·75 20 mm/s
20 mm/s
57 mm/s
–3·00 –3·00 –3·00 Variable rates
Variable
–3·25 –3·25 rate:
–3·25
0·1 mm/s

–3·50 –3·50 –3·50

–3·75 –3·75 Variable –3·75

rate:
1·5 mm/s
–4·00 20 mm/s –4·00 –4·00
Depth: m

Depth: m

57 mm/s
Depth: m

–4·25 Variable rates –4·25 Variable –4·25

rate:
–4·50 –4·50 7 mm/s
–4·50

–4·75 –4·75
–4·75

–5·00 –5·00
–5·00

–5·25 –5·25 Variable –5·25

rate:
–5·50 –5·50 1 mm/s
–5·50

–5·75 –5·75
–5·75

–6·00 –6·00
ueq –6·00

(a) (b) (c)

Fig. 1. Typical SCPTU profiles computed at different penetration rates (Sosnoski, 2016): (a) tip resistance; (b) pore pressure u2 and u0; and
(c) pore pressure ratio Bq

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4 SCHNAID, DIENSTMANN, ODEBRECHT AND MAGHOUS
1·2 generated over the entire depth interval in all tests (even for
the slowest penetration rate of 0·1 mm/s). The pore pressure
1·0 is shown to increase with increasing penetration rates and
there is no appreciable difference in measured values of qt
0·8
and u2 for tests carried out at 20 mm/s and 57 mm/s, which
∆u2/∆u2max

0·6
appears to indicate that these tests are essentially undrained.
CPTU dissipation test results in the silty gold tailings are
k = 1 × 10–6 m/s k = 6 × 10–8 m/s
0·4 presented in Fig. 2, in which pore pressure decay is shown to
reduce monotonically with time. The measured excess pore
0·2 pressure values Δu2 ¼ u2  u0 were rendered dimensionless by
normalising with the maximum initial excess pore pressure,
0 Δu2max ¼ u2max  u0, providing direct comparisons for
1 10 100 1000 tests performed at different depths and penetration rates.
Time: s
Tailings dissipation was not homogeneous, with the time for
Fig. 2. Normalised dissipation tests at Fazenda Brasileiro tailings 50% dissipation (t50) from the CPTU tests typically varying
predominantly between 10 and 50 s, indicating the possibility
of partial drainage taking place during penetration.
u2, and pore pressure ratio, Bq. The soil profile characterises Robertson (2012) and DeJong & Randolph (2012) suggested
silty layers where excess pore pressures are relatively high, a threshold for partial drainage defined by t50 values lower
yielding Bq values in the 0·3–0·6 range. Some thin, drained than about 30 to 50 s.
layers were detected at penetration depths corresponding to The normalised resistance Q ¼ (qc  σv0)/σv0 ′ and normal-
3, 5, 6 and 7 m. Comparisons with piezocone tests spaced at ised pore pressure U ¼ (u2  u0)/σv0′ plotted against V h are
1·5 m intervals carried out under several different pene- shown in Fig. 3. In the latter expression σv0 and σv0 ′ are the
tration rates ranging from 0·1 mm/s to 57 mm/s are also total and effective vertical pressures, respectively. Owing to
presented in Fig. 1. Considerable excess pore pressure Δu was spatial variability, stratigraphic features were aligned by

Empirical best fit

Empirical upper and lower boundaries
50
45
40
Normalised resistance, Q

35
30 Empirical Empirical
25 lower boundary upper boundary

20
15
10
5
0
0·001 0·01 0·1 1 10 100
Normalised velocity, Vh
(a)

3·0

2·5
Normalised pore pressure (Δu2/σ 'v)

2·0

1·5
Empirical
1·0 lower boundary Empirical
upper boundary
0·5

–0·5
0·001 0·01 0·1 1 10 100
Normalised velocity, Vh
(b)

Fig. 3. Normalised piezocone test data over 3 to 5 m penetration depths: (a) normalised velocity plotted against normalised resistance;
(b) normalised velocity plotted against normalised pore pressure (the best-fit line coefficients are given in Table 2)

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 APPROACH TO NORMALISATION OF PIEZOCONE PENETRATION RATE EFFECTS 5
imposing small depth offsets to cone penetration data, CONCLUSIONS
allowing comparisons from averaged measurements of qc Normalisation of penetration velocity is a necessary
and u2 to be made at specific depths where variability was requirement for evaluating the drainage conditions taking
secondary to rate effects. place around piezocone tests in intermediate permeability
The rigidity index Ir expressed as G50/su was evaluated soils. The existing normalisation strategy employs the
from laboratory compression triaxial tests and in situ tests coefficient of consolidation (cv or ch), which as a function
(SCPTU) as 874 (Dienstmann et al., 2018). In the Q plotted of permeability and compressibility introduces uncertainties
against V h space, it is possible to identify a region char- into normalised expressions. Expressed as a direct function
acterised by normalised velocities V h in the range of about of probe size, penetration rate and dissipation time, t50, a new
0·01–3·0 where partial drainage occurs during cone pene- normalised parameter is proposed in this paper leading to
tration. The lowest (undrained) penetration resistance (QUD) an accurate and easy-to-use expression to estimate drainage
is of the order of 2·0, yielding an undrained strength ratio conditions compared to state-of-the-practice normalisation
′ ) of 0·25 assuming Nkt of 8. The drained penetration
(su/σv0 methods. Piezocone tests in gold tailings have been used
resistance (QD) of 40·0 yields a drained to undrained ratio for the validation of the proposed method.
QD/QUD of about 20, which is consistent with previously
reported data from Jaeger et al. (2010), Lehane et al. (2009)
and Dienstmann et al. (2018). Similar considerations are ACKNOWLEDGEMENTS
drawn from the normalised pore pressure Δu2/σv0 ′ space.
The authors greatly appreciated the financial support
Despite the observed scatter, partial drainage during cone provided by the Brazilian Research Council CNPq. They are
penetration occurs for V h values in the 0·01–3·0 range. particularly grateful to Yamana for the permission to assess
The experimental data are scattered due to random errors their operational facilities and Geoforma for the collabor-
resulting from inaccuracy of measurements and variations in ation during the field tests.
grading, segregation, desiccation, cementation, among other
factors. The smallest and largest data values are represented
by empirical upper and lower limits drawn in Fig. 3, together
with the best-fit curve obtained considering the hyperbolic NOTATION
cosine function suggested by Schnaid (2005) a, b, c fitting parameters for cone tip resistance and pore
  pressure
1 Bq pore pressure ratio
Q ¼ Qmin þ a þ ð1  aÞ  ðQmax  Qmin Þ ch, cv horizontal, vertical coefficients of consolidation
coshðbV h Þ d probe diameter
ð9Þ e0 initial void ratio
G shear modulus
    G50 secant modulus at shear stress level of 50% of the
Δu Δumax 1 Δumax Δumin
¼  a þ ð1  aÞ   shear strength
σ′v0 σ′v0 coshðbV h Þ σ′v0 σ′v0 Gs soil particle density
ð10Þ Ir rigidity index
lc characteristic length for consolidation process
where a, b and c are fitting parameters shown in Table 2. Nkt cone factor
These parameters are representative of measured data in the Q normalised resistance
Q plotted against V h space and, as an overall trend, they also QD, QUD drained, undrained normalised resistance
Qmin, Qmax minimum, maximum normalised resistance
cover results plotted in the Δu against V h space. Note that
qt total cone tip resistance
similar formulations have been based on Vh and not on V h su undrained shear strength
(e.g. Schnaid et al., 2004; Schnaid, 2005; Dienstmann et al., t* dimensionless time factor
2018). *
t50, t50 dissipation, dimensionless dissipation time at 50%
The correlation between cosine function and measured dissipation of excess pore pressure
data is poor, as indicated by the low value of the coefficient of tap
50 apparent time factor
correlation (R 2 ¼ 0·12). This is attributed to the variability in tc characteristic time of consolidation process
particle size distribution generally observed in both natural U normalised pore pressure
and man-made deposits. It is emphasised that the proposed u0 initial pore pressure/hydrostatic pore pressure
approach does not reduce scatter. On the contrary, the scatter u2 penetration pore pressure (position 2)
u2max maximum penetration pore pressure
emerging from normalisation of piezocone tests from a umin, umax minimum, maximum penetration pore pressure
measured set of parameters is an indication of soil variability V h, V v horizontal, vertical normalised penetration velocity
in gradation that should be closely inspected to see whether Vh velocity factor
different penetration logs can be directly compared. v, vc cone penetration, characteristic velocity
As regards the validation of this approach, it should be w water content
recalled that the new V h factor encompasses the same set γ specific weight
of controlling variables as Vh, namely v, d, t50 and Ir. The Δu pore pressure decay
approach would therefore rely upon the same validation Δu2max maximum initial excess pore pressure
′
σv0, σv0 total, effective vertical pressure
procedures required for Vh.

Table 2. Curve-fitting coefficients for the gold tailings

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Average 0·025 5 0·7 PhD thesis, Federal University of Rio Grande do Sul,
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