Volume1 PDF

Foreword
The French Society for Soil Mechanics and Geotechnical Engineering (CFMS) is most happy to host
the 18th International Conference on Soil Mechanics and Geotechnical Engineering (18th ICSMGE)
in Paris, France, from Monday 2 to Friday 6 September 2013. The main theme of the Conference is
Challenges and Innovations in Geotechnics.
In agreement with ISSMGE vision for strengthening the role of the Technical Committees (TCs), the
18th ICSMGE Paris 2013 adopted a new format. The two first days are devoted to plenary sessions
with the Terzaghi Oration, seven ISSMGE Honour lectures proposed by the TCs and three Special
lectures proposed by CFMS. The two following days are devoted to parallel sessions organised by the
TCs: they include 28 Discussion Sessions and 22 Workshops. Whereas Workshops have a free format,
the Discussion Sessions are meant to discuss the papers accepted by the ISSMGE Member Societies
and presented in the four volumes of these Proceedings.
The structure of the Proceedings corresponds to the organisation of the Conference. They start with
the Terzaghi Oration, the Honour lectures and the Special lectures. Then, the papers are presented according to the relevant responsible TC. They are introduced by a TC General Report The Proceedings
also include the papers on Shallow Foundations (Session and General Report organised by CFMS, as
no TC covers this subject), on Dams, Dykes and Levees (organised jointly by TC 201 and TC 210),
on Geothermal issues (organised jointly by TC 212 and TC 307) and finally the papers on Historic
sites, as well as on some case studies (organised by TC 301).
To enhance the diffusion of knowledge feee of charge, no transfer of copyright was requested from
the authors of the papers published in these volumes. All the papers, together with late contributions,
will be made available free of charge on the various appropriate Internet websites.
It was quite a fruitful and exciting experience for the Scientific Committee to work hand in hand with
the TCs for the organisation of this Conference. They were enthusiastic and efficient. The Scientific
Committee is most grateful to the General Reporters, Chairs, Vice-Chairs and Secretaries of the TCs
for their great help in making the 18th ICSMGE in Paris a most successful scientific and technical
event.
Pierre Delage, Jacques Desrues, Roger Frank, Alain Puech, Franois Schlosser
Avant-propos
Le Comit franais de mcanique des sols et de gotechnique (CFMS) a le grand plaisir daccueillir
le 18e Congrs international de mcanique des sols et de gotechnique (CIMSG) Paris, du lundi 2 au
vendredi 6 septembre 2013. Le congrs est organis autour du thme principal: Dfis et Innovations
en Gotechnique.
En cohrence avec le souhait de la Socit internationale (SIMSG) de renforcer le rle des comits
techniques (CTs), le 18e CIMSG Paris 2013 adopte le nouveau format suivant: les deux premiers
jours sont consacrs aux sessions plnires avec lallocution Terzaghi, sept confrences honorifiques
de la SIMSG, proposes par les CTs, et trois confrences spciales proposes par le CFMS. Les deux
jours suivants sont consacrs aux sessions parallles organises par les CTs, comprenant 28 sessions
de discussion et 22 ateliers. Les sessions de discussion sont le lieu du dbat autour des contributions
acceptes par les socits membres de la SIMSG et runies dans ces actes en 4 tomes du congrs. Le
format des ateliers est laiss la discrtion de leurs organisateurs.
La structure des actes correspond celle du congrs: ils commencent par lallocution Terzaghi, les
confrences honorifiques, puis les confrences spciales. Viennent ensuite les contributions, runies
par CT, et prcdes du rapport gnral du CT. Les actes comportent galement les contributions sur
les fondations superficielles (session et rapport gnral organiss par le CFMS, car ce sujet nest celui
daucun CT), sur les barrages, les digues et les leves (organisation conjointe par les CTs 201 et 210),
sur la gothermie (par les CTs 212 et 307), et enfin sur les sites historiques ainsi quun certain nombre
dtudes de cas (par le CT 301).
Dans le but de faciliter la circulation des connaissances, il na pas t demand aux auteurs de transfrer leurs droits pour les contributions publies dans les actes. Toutes ces contributions, ainsi que
des contributions disponibles aprs le congrs, seront mises en accs gratuit sur divers sites internet
appropris.
La collaboration troite avec les CTs pour lorganisation de ce congrs a t pour la commission
scientifique une exprience riche et passionnante, grce lenthousiasme et lefficacit de ses interlocuteurs. La commission scientifique remercie vivement les rapporteurs gnraux, les prsidents, les
vice-prsidents et les secrtaires des CTs pour leur aide dcisive en vue de faire de ce 18e CIMSG un
vnement scientifique et technique des plus russis.
Pierre Delage, Jacques Desrues, Roger Frank, Alain Puech, Franois Schlosser
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Proceedings of the 18 International Conference on Soil Mechanics and Geotechnical Engineering, Paris 2013
ISSMGE The State of the Society (2009-2013)

SIMSG tat de la Socit (2009-2013)
Briaud J.-L.
President of ISSMGE, Professor and Holder of the Buchanan Chair, Zachry Dpt. Of Civil Engineering, Texas A&M
University, College Station, Texas, 77843-3136, USA. briaud@tamu.edu
Distinguished Colleagues, Dear Friends,
The very first thing I wish to tell you is thank you, thank you for
letting me serve you as your President for the last four years.
You have given me four of the very best and most exciting
years of my professional career. It has been an honor and a true
pleasure for me to work with everyone of you for the betterment
of our profession. Sometime people ask me how I feel about the
Presidency, I answer it feels like a very hard working vacation!
You elected me in Alexandria, Egypt in 2009 and I
suddenly found myself on a list next to the names of Terzaghi,
Peck, Cassagrande, Skempton, Kerisel, and many other giants
of our field (Fig. 1). This prestigious and enviable position also
placed a tremendous sense of responsibility on my shoulders
and generated a lot of pressure for me to do the very best job I
could do. I can assure you that I gave it my very best effort, at
the detriment of some of my other responsibilities in life. My
wife Janet kept me honest during all this time. I recall asking
her how she felt to be married to the President of the
International Society. She promptly answered President Briaud
dont forget to take care of the garbage!!
My vision as President was

a. To involve the membership and generate a sense of
ownership in every one of you. I wanted you to feel that you
were part of your professional family and that the family
cared about you. This would be done for example by creating
Board Level Committees where more members could
participate and make high level decisions, by writing progress
report to ensure that you felt connected, and by creating new
awards to recognize those who excel in our profession..
b. To modernize the society and further advance it into the
electronic age. This would be done for example by starting a
series of free webinars, revamping the web site, creating
GeoWorld, transferring the Lexicon to an addressable data
base available on the web site, having the Board start meeting
by Skype conference calls to save money.
c. To help developing countries and the young geotechnical
engineers. This would be done for example by raising money
for the new ISSMGE Foundation which would receive
applications and distribute grants, by creating a special group
with direct access to the President.
d. To mobilize more actively the practitioners side of our
society and help bridge the gap between academics and
practitioners. This would be done by creating a special group
for practitioners with direct access to the president and
recruiting more Corporate Associates into the Society.
e. To enhance the image of the geotechnical engineer
worldwide. This would be advanced by creating a Public
Relations Group dedicated to simple steps that would increase
the visibility of our profession.
My basic tactic to realize my vision was pretty simple:
1. Develop a vision of what I wanted to accomplish
2. Surround myself with very smart people. Here I was very
lucky to be able to convince the outstanding people including
Harry Poulos, Suzanne Lacasse, Mike Jamiolkowski, Marc
Ballouz, Dimitris Zekkos, Franois Schlosser, Jennifer Nicks,
Michael Lisyuk.
3. Share with them my vision and check if they truly
embraced it.
4. Give them a lot of freedom and support.
5. Be a strong cheer leader for those who did well
6. Be a gentle but steady nudge for those who dragged the
team down
7. Keep thinking and acting with a vision for the relentless
pursuit of excellence in a just and friendly atmosphere.
VISION
Fig. 1 Presidents of ISSMGE
Fig. 2 The 2009-2013 ISSMGE Board Members (in India)
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Proceedings of the 18th International Conference on Soil Mechanics and Geotechnical Engineering, Paris 2013
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3. The tenure of the chairs of the TCs is four years renewable

once. New chairs are suggested to TOC and the President by
the members of the TC.
4. The TCs send a progress report to TOC every two years on
which basis TOC decides to renew the TC or not but always
after conferring with the President.
5. A short video was created by the public relations committee
to explain in laymans terms what geotechnical engineers do.
6. A number of innovations were created by IDC and are
detailed subsequently.
THE BOARD (2009-2013)
I had a great team of 11 Board members who helped me

accomplish all those initiatives. The Board members are shown
in Fig. 2. Standing and from left to right are Samuel Ejezie
(Vice President for Africa), Ikuo Towhata (Appointed board
member), Ivan Vanicek (Vice President for Europe), Roger
Frank (Appointed board member), Charles Ng (Appointed
board member), Roberto Terzariol (Vice President for North
America). Sitting and from left to right are Askar Zhussupbekov
(Vice President for Asia), Michael Davies (Vice President for
Australasia, first vice president and treasurer), Neil Taylor
(Secretary General), Jean-Louis Briaud (President), Pedro Pinto
(Past President), and Gabriel Auvinet (Vice President for North
America).
3
MEMBER SOCIETIES
We have a total of 86 member societies (Fig. 4). On the map of

Fig. 4, the member societies are in dark. As you can see from
the map, we need to continue our work in Africa to bring in
more countries from that region to join ISSMGE. During the
last four years two societies lost their membership because of
repeated lack of dues payment but three new societies joined
ISSMGE: Belarus, Chinese Taipei, and Lebanon. The total
number of individual members increased from 18561 in 2009 to
19755 in 2013 or a 6.4 % increase. The members are distributed
a follows:
1. Africa:
875
2. Asia:
3673
3. Australasia:
1590
4. Europe:
7985
5. North America: 4285
6. South America: 1347
The largest member societies are the USA (3294) followed by
Japan (1155) and the UK (1130). The smallest society has 13
members. All societies have one vote.
BOARD LEVEL COMMITTEES
One of the first step was the creation of Board Level

Committees (BLC) (Fig. 3) to engage more members in the
affairs of ISSMGE. This process allowed me to have the
participation of some 100 new people in charge of major
decisions for The Society. The Technical Oversight Committee
(TOC) chaired by Suzanne Lacasse in Norway was in charge of
quality control for all 29 ISSMGE Technical Committees (TCs).
The Membership, Practitioners, and Academicians Committee
(MPAC) chaired by Harry Poulos in Australia was in charge of
customer service for our 86 member societies including
bringing academics and practitioners closer together. The
Innovation and Development Committee (IDC) chaired by
Dimitrios Zekkos in the USA was in charge of impacting The
Society with new ideas and development of these ideas. In life,
we rarely take the time to think so I decided that I would create
a group whose job it would be to think. The Awards Committee
(AWAC) chaired by Francois Schlosser in France would handle
awards guidelines, awards decisions, and the creation of new
awards if necessary. The Public Relations Committee (PRC)
chaired by Marc Ballouz of Lebanon would start work on
making geotechnical engineering more visible. The Students
and Young Members Presidential Group (SYMPG) chaired by
Jennifer Nicks in the USA would work directly with the
President to accomplish some of the goals that would better
serve that part of our Society. The Corporate Associates
Presidential Group (CAPG) chaired by Michael Lisyuk would
play a similar role for practitioners.
Fig. 4 ISSMGE Member Societies in 2013

ISSMGEMembersandMemberSocieties
5
FedIGSBoard
StudentsandYoung
MembersPres Group
JenniferNicks(USA)
ISSMGECouncil
ISSMGESecretariat
ISSMGEBoard
ISSMGEFoundation
HarryPoulos
(Australia)
CorporateAssociates
PresidentialGroup
MichaelLisyuk(Russia)
Technical
Oversight
Committee
SuzanneLacasse
(Norway)
We had a great discussion on the possible change of name of the

society. The proposal was for ISSMGE to become ISGE: the
International Society for Geotechnical Engineering. Arguments
in favor and against were presented at the Council meeting in
Toronto in 2011. The motion was proposed by several countries
and the vote was 23 yes, 39 no, 1 abstain. We had a wonderful
and professional discussion on this topic which brought out the
passion all of us have for our profession. One of my goal during
my presidency has been to engage the membership, I believe
this topic definitely contributed to that. This was a very
meaningful debate. It is my prediction that the name change to
ISGE is only a matter of time but it may be a couple of decades
before it occurs; soil mechanics is in our blood but it does not
have to be in our name. I further predict that the word
geotechnical engineering will soon become geo-engineering.
AwardsCommittee
FrancoisSchlosser
(France)
Membership,
Practitioners,and
Academicians
Committee
HarryPoulos
(Australia)
Public
Relations
Committee
MarcBallouz
(Lebanon)
THE NAME OF OUR SOCIETY
Innovationsand
Development
Committee
Dimitris Zekkos
(USA)
Fig. 3 ISSMGE Organization Chart.
Some of the accomplishments and changes created by these

Board Level Committees with subsequent approval of the Board
are listed below
1. Young members can participate in Technical Committees
as corresponding members without limit. They have to be
nominated by the member society
2. Technical committees are no longer disbanded when a new
President is elected. They continue right through the president
election. However TOC and the President retain the right of
closing a TC if it does not perform or change the leadership if
the chair does not perform well.
TECHNICAL COMMITTEES
Fig. 5 Location of the TC Chairs and sponsoring member societies
ISSMGE - The state of the Society (2009-2013) / SIMSG - tat de la Socit (2009-2013)
th
The Technical Committees (TCs) were reorganized in three

categories (Table 1), fundamental topics (7 TCs), applications
(16 TCs), and impact on society (6 TCs), for a total of 29 TCs.
The location of the chairs and host society of the TCs is shown
on Fig. 5.
Table 1 ISSMGE Technical Committees
Cat
egor
y
Fun
dam
ental
s
TC
#
TC Official Name
Host Country
TC Chair
101
102
103
Laboratory Stress Strain Strength Testing of Geomaterials

Ground Property Characterization from In-Situ Tests
Numerical Methods in Geomechanics
104
Physical Modelling in Geotechnics
105
106
107
H. Di Benedetto
P. Mayne
K. T. Chau
S. Springman (til 1 July 2010)
C. Gaudin
M. Bolton/M. Hyodo
E. Alonso
K. Ampadu
Netherlands
M. A. Van
Portugal
A. Gomes Correia
203
Geo-Mechanics from Micro to Macro

Unsaturated Soils
Laterites and Lateritic Soils
Geotechnical Aspects of Dykes and Levees, Shore Protection
and Land Reclamation
Transportation Geotechnics
Earthquake Geotechnical Engineering and Associated
Problems
France
USA
Hong Kong
Switzerland/
Australia
UK/Japan
Spain
Ghana
Greece
K. Pitilakis
204
Underground Construction in Soft Ground
R. Kastner/A. Bezuijen
205
206
207
208
209
210
211
212
213
214
215
216
301
302
303
304
305
Limit State design in Geotechnical Engineering

Interactive Geotechnical design
Soil-Structure Interaction and Retaining Walls
Slope Stability in Engineering Practice
Offshore Geotechnics
Dams and Embankments
Ground Improvement
Deep Foundations
Geotechnics of Soil Erosion
Foundation Engineering for Difficult Soft Soil Conditions
Environmental Geotechnics
Frost Geotechnics
Preservation of Historic Sites
Forensic Geotechnical Engineering
Coastal and River Disaster Mitigation and Rehabilitation
Engineering Practice of Risk Assessment and Management
Geotechnical Infrastructure for Megacities and New Capitals
Geo-Engineering Education (include aspects of software in
use)
Sustainability in Geotechnical Engineering
France/
Netherlands
UK
Canada
Russia
Canada
USA
China
France
Germany
Germany
Mexico
Italy
Norway
Italy
India
Japan
Singapore
Brazil
Australia
M. Jaksa
Canada
D. Basu
201
202
App
licat
ions
Imp
act
on
soci
ety
306
307
B. Simpson
K. Been
V. Ulitsky
J. Fannin
P. Jeanjean
Z. Xu
S. Varaksin
R. Katzenbach
M. Heibaum
J. L. Rangel
M. Manassero
A. Instanaes
C. Viggiani
V. V. S. Rao
S. Iai
K. K. Phoon
A. Negro
the speaker through voice over IP and watch the slides on their
computer screen. Fig. 7 shows the list of webinars offered over
the last two years and the location of the computers connected
worldwide for the first webinar. A contract was established with
a web service company to facilitate the connection with many
participants. The webinar series started in 2011 and the
President gave the first webinar. Until August 2013 the
webinars have been free and the recordings have been kept on
the ISSMGE web site for free access. These recorded webinars
have been accessed 1664 times since they have been uploaded
three months ago. All speakers have been generous and offered
to present the webinars for free as a gift to their fellow
geotechnical engineers.
HONOR LECTURES
The TCs were given the opportunity to create an honour lecture

named after one of the giants in their field. There were already 2
such lectures in 2009 (The Ishihara Lecture and the Mitchell
Lecture), 7 more were created between 2009 and 2013 as listed
on Fig. 6. Many of them were presented in Paris at the
conference. Note that honour lectures are not necessarily
permanent. They are created for eight years renewable by
decision of the technical committee and approval of the Board.
ISHIHARA Earthquake
MITCHELL Sitecharacterization
BISHOP Laboratorytesting
KERISEL Monumentpreservation
SCHOFIELD Physicalmodeling
McCLELLAND Offshoregeotechnics
FUJITA Undergroundconstruction
MENARD SoilImprovement
ROWE Environmentalgeotechnics
Fig. 6 ISSMGE Honour Lectures
WEBINARS
Webinars are lectures presented over the internet as follows.

The speaker is at her or his desk in front of the computer screen.
The speaker talks and advances the power point slides as would
be done in a conference setting. The participants sit in front of
their computer many kilometers away and listen to the voice of
Fig. 7 Webinar series and location of computers connected to the first

ISSMGE webinar.
1. Scour and Erosion Briaud, USA, 23rd Aug 2011
th
2. Intelligent Compaction Correia & Chang, Portugal, 25th

Oct 2011
3. Eurocode- Bond, UK, 19th Dec 2011
4. Risk and Geotech Engrg Medina & Uzielli, USA, 24th
Feb 2012
5. Landfill liners Rowe, Canada, April 2012
6. Unsaturated soils Alonso, Spain, July 2012
7. Pile driving Rausche, USA, September 2012
8. Earthquake engineering Towhata, Japan, November 2012
9. Geosynthetics Koerner, USA, January 2013
10. Ground Improvement Varaksin/Huybrechts, Belgium,
March 2013
11. Geophysics Foti, Italy, May 2013
12. Foundations of very tall structures Poulos, July 2013
9
SAN DIEGO, USA
DUBAI, UAE
CAIRO, EGYPT
MELBOURNE,
AUSTRALIA
SAMARKAND,
UZBEKHISTAN
PORT AU PRINCE,
HAITI
LAGOS, NIGERIA
LANGZHOU, CHINA
AWARDS
In 2009, we had the Terzaghi Oration which is selected by the

President of the Society alone, the Kevin Nash Gold Medal
decided by the Council of Past Presidents, and three young
geotechnical engineer awards decided by a committee of the
Board. After calculating the ratio of awards offered by ISSMGE
over the number of individual members of ISSMGE, I
discovered that this ratio was extremely small compared to most
other professional societies. We created 7 new awards as shown
in Fig. 8. Then we created the Awards committee (AWAC) to
finalize the awards descriptions, handle the collection of
nominations and the selection process. The Board would make
the final choice among the two candidates recommended by the
Awards committee. The awards will be given at the Awards
lunch in Paris and will be recorded on the ISSMGE web site.
Terzaghi Oration
KevinNashGoldMedal
3YoungGeotechnicalEngineerAwards
OutstandingTechnicalCommittee
OutstandingMemberSociety
OutstandingGeotechnicalProject
OutstandingInnovator
OutstandingYoungGeotechnicalEngineer
OutstandingPublicRelations
BestpaperintheInt.J.Geoeng.CaseHist.
9NamedLectures
Fig. 8 ISSMGE Awards
10 TRAVEL
I travelled extensively over the last 4 years with a total of 80
trips as shown in Fig. 9. During those trips I met so many
people and made so many new friends. It was always a pleasure
to meet geotechnical engineers throughout the world and I
learned so much. I realized how much of a difference there is in
the standard of living across the globe and that these differences
cannot be solved by engineering and medicine alone. The
biggest impediment to progress in some countries is corruption.
Other impediments to an increase in the standard of living are
lack of education and transportation. Until such basic problems
are solved, the third world cannot rapidly improve. I kept many
photographs of my trips and will continue to appreciate them as
very special moments (Fig. 10).
Fig. 10 President Briaud on the road
11 THE ISSMGE FOUNDATION

One of the realizations during my early travel was that there are
huge inequalities in the salaries of geotechnical engineers
throughout the world. Some people told me that their salary was
$1000/year and added How can I go to the conferences that
you organize when the registration alone approaches one year
salary. This is when I decided to create the ISSMGE
Foundation. By the way, it seemed very appropriate for a
geotechnical engineering organization to have a Foundation!
Harry Poulos agreed to look after its functioning and to head the
grant distribution process. Today, any member of ISSMGE can
apply for a grant from the Foundation. The application form and
the
rules
are
on
our
web
site
at
http://www.issmge.org/en/issmge-foundation.
Many geotechnical engineers, geotechnical companies,
member societies, and even Technical Committees have
contributed to the Foundation (Fig. 11) which currently has
about $140,000 and has awarded grants to 19 people worldwide.
Remember this saying that when you die, the only part of you
that does not die with you is what you have given to others.
Fig. 9 The 80 places I visited during my Presidency.
th
13 THE INTERNATIONAL JOURNAL OF

GEOENGINEERING CASE HISTORIES
Practitioners often complain that geotechnical journals are too
academically oriented and that there is little useful to them. The
IJGCS fills that gap:
(http://www.issmge.org/en/resources/international-journal-ofgeoengineering-case-histories). Born a few years ago in the
mind of Dimitris Zekkos, the IJGCS was endorsed by ISSMGE
in early 2009 and has seen slow but steady growth. It is free of
charge, on line, in color, with embedded spread sheet data when
clicking on the figures. It is particularly welcome by developing
countries which have access to high quality papers for free. It is
not only useful to practitioners but also to professors who can
use the case histories for their students in class. Jonathan Bray
was the first editor in chief followed recently by Pedro Pinto.
The ISSMGE TCs now have the opportunity of setting up
special issues and the ISI rating is around the corner. The future
of the IJGCS is very bright. I urge all of you to consider
publishing a high quality case history in IJGCS. In life you have
your financial wealth potential and your intellectual wealth
potential. Publishing a case history in IJGCS is making an
intellectual gift to developing countries: be generous and take
the time to publish in IJGCS.
Fig. 11 ISSMGE 22 Foundation donors
12 CORPORATE ASSOCIATES
ISSMGE Corporate Associates (Fig. 12) are geotechnical
engineering companies, including consultants, contractors, and
manufacturers who pay dues ($1500/year) to ISSMGE for a list
of benefits (http://www.issmge.org/en/corporate-associates) and
to support the profession. The Corporate Associates
representatives (one per company) also form the Corporate
Associate Presidential Group under the leadership of Michael
Lisyuk of Russia. This group was created to work on aspects of
ISSMGE which could benefit practitioners more specifically. In
2009 we had 21 CAs, today (2013) we have 43 CAs. This
remarkable increase in the number of CAs is due to the hard
work of many people and is very welcome. However this
number still pales compared to the number of CAs in other
international societies closely associated with ISSMGE who
have more than 100 CAs. If you see your company logo on Fig.
12 we really appreciate your support. If you dont, please
consider joining and supporting your profession.
Fig. 13 GeoMap within GeoWorld: the new geotechnical engineers

interaction medium
14 GEOWORLD
Again born in the mind of Dimitris Zekkos and endorsed by
IDC and SYMPG, GeoWorld (http://www.mygeoworld.info/) is
to geotechnical engineers what Facebook is to social
networking. It allows geotechnical engineers in the world to
interact and make friends on line, to exchange questions and
answers on various topics, to post examples, and to become
even more connected internationally. Geoworld was launched in
October 2011 and has now reached 2600 individual members,
160 companies, and 76 professional organizations. GeoMap is a
new application within GeoWorld which allows you to find out
members and companies in any geographic area by clicking on
the GeoMap (Fig. 13). You can also find the location of
upcoming conferences worldwide and the location of the case
histories published in the IJGCS.
15 THE NEW ISSMGE WEB SITE
Our new web site was launched in 2012. It was changed to
allow ISSMGE to incorporate the latest technology and to
modernize the look of the pages while maintaining flexibility of
access and modification by the Secretary Generals office. The
new site has a new conferences database, has increased
functionality, hosts the recorded webinars, and promotes the
integration with GeoWorld. The number of visitors has nearly
double in the short time since it has been open going from 2200
visitors in June 2012 to 4000 in March2013 (Fig. 14). It also
now hosts the new electronic version of the Lexicon.
Fig. 12 ISSMGE 42 Corporate Associates
9
5
th
Fig. 14 Traffic on the new ISSMGE web site over the last 10 months.
Fig. 15 The 2013 ICSMGE Paris conference organizing committee and
its chair Philippe Mestat (center front row).
16 LEXICON
The Lexicon was started around 1953 with the translation of
geotechnical engineering terms in three languages: English,
French, and German. This was very quickly recognized as a
very valuable resource and had reached 8 languages by 1981
(5th edition). It had stayed that way until about 3 years ago
when I asked Dimitris Zekkos and the Innovation and
Development Committee (IDC) to transform the paper copy into
an electronic and addressable Excel spread sheet and if at all
possible increase the number of languages. We now have an eLexicon on our web site with 12 languages. Note that the eLexicon was a huge amount of work and is a great example of
team work across country borders by many member societies
and enabled by a platform developed by Geoengineer.org. The
e-Lexicon includes a web-based application that allows users to
query the database and find the translation of a total of 1590
geotechnical terms in 12 languages, specifically: English,
French, Spanish, Turkish, Chinese (traditional and simple),
German, Japanese, Portuguese, Russian, Persian (Farsi), and
Finnish.
21 THE PROGRESS REPORTS

Communication helps to solve problems and to generate a sense
of belonging. This is why I started the monthly progress report
in November 2009. The other reason was to tell you what was
being accomplished. Since I got elected on 9Oct2009, my
monthly report came on the 9th of each month. It required a
tremendous discipline and dedication to not miss any of them
but it provided a regular self evaluation of my work and our
progress.
22 FUTURE OF GEOTECHNICAL ENGINEERING
It is always very difficult to predict the future. A 20 year
forecast is easier than a 100 year forecast and a 1000 year
forecast is nearly impossible. Yet if we go back in history about
1000 years ago to the time of the Tower of Pisa, we then realize
that designing a foundation for that Tower today would be a
very simple exercise. Then we wonder by extrapolation what
geotechnical engineering will be like in another 1000 years.
Will we have?
1. complete non intrusive site investigation of the entire soil
volume,
2. automated 4D computer generated design by voice
recognition and based on a target risk,
3. tiny and easily installed instruments to monitor
geotechnical structures,
4. unmanned robotic machines working at great depth,
5. significant development of the underground,
6. extension of projects into the sea,
7. soil structure interaction extended to thermal and magnetic
engineering
8. failures down to a minimum,
9. expert systems to optimize repairs of defective geotechnical
engineering projects,
10. geospace engineering of other planets,
11. geotechnical engineers with advanced engineering
judgment taught in universities,
12. no more lawyers because of the drastic increase in projects
reliability (Fig. 16).
17 THE ISSMGE BULLETIN

The ISSMGE Bulletin was remarkably well handled by Ikuo
Towhata as Editor in Chief and his team of editors. The Bulletin
grew significantly in size and content under his leadership.
Furthermore it went from 4 issues per year to 6 issues per year.
We are very grateful to him for this enormous responsibility.
18 THE SECRETARIAT IN LONDON
Neil Taylor was our Secretary General for the period and faced
his responsibility with great poise. I could always count on Neil
to tell me what the bylaws said. Paloma Peers was his assistant
and continued to be a rock in a soils world. I also want to thank
my assistant Theresa Taeger for being so reliable and dedicated
to perfection.
19 THE FINANCES
The finances of ISSMGE are in very good shape. The Members
Societies dues have not changed during the last 4 years yet we
have started new free programs for our members such as the
webinars. Our budgets over the last 4 years have been
approximately balanced and our reserves are healthy. This gives
me a good occasion to thank the United States National Society
and the Geo-Institute of ASCE for contributing to my yearly
budget.
20 THE PARIS CONFERENCE
The 18th International Conference on Soil Mechanics and
Geotechnical Engineering will take place in Paris from 2 to 5
September 2013 and judging by the outstanding preparation, it
will be a magnificent success. Our professional family will get
together, to learn from the best, to exchange ideas and practices,
all this in a classy, distinguished, yet relaxed and fun
atmosphere. We are very grateful to our host: the French
member society and its sponsors. Most of the members of the
organizing committee are shown in Fig. 15 including Philippe
Mestat, Chair of the Committee (center front row).
Fig. 16 Improved reliability of geotechnical projects (courtesy of

George Nasr, Lebanon)
10
th
23 A SUCCESSFUL CAREER
A successful career is built on a series of demonstrated
successes by an individual alone or as part of a team. In the
performance of your job, remember when you make a decision
of any sort that one mistake will take ten successes to erase the
mistake from the mind of your peers. This is why it is always
important to concentrate and plan. Also remember before a
challenging moment that you may have been through similar
tough moment before and have done well; this reasoning will
give you added confidence and lower the stress. The following
are some thoughts on what is important in a career. They have
been inspired from discussion with many engineers over time
including Clyde Baker and personal experiences as well.
10. Chose the relentless pursuit of excellence as a way of
life
9. Be curious. The discovery process is a fountain of youth
8. Work hard but balance your interests (fun, family, sport, art,
world news)
7. Make lots of friends. Nurture your public relations
6. Look for solutions and not who is to blame. Leave that to
the judge.
5. Be firm in your decisions but always fair and polite
4. Treat others as you wish to be treated, you will lead by
example
3. Communication is the best way to solve problems.
Convince through logic and data
2. Surround yourself with smart people and role models
1. Go after your dreams with vision and perseverance
24 GEOTECHNICAL ENGINEERING FOR THE PEOPLE,
BY THE PEOPLE, WITH THE PEOPLE
While we continue to advance the profession, there is also no
doubt that we do not get the recognition that we deserve. If you
go in the street today and say to a passerby my child is a heart
surgeon, that person will be very impressed. If you then say
my other child is a geotechnical engineer, you will likely be
asked: what it that?. There is a need to enhance the publics
recognition and awareness of our profession and this is why we
have created the Public Relations Committee led by Marc
Ballouz. It will be a very long road before we are recognized as
heart surgeons are but the only way we can make a real
difference is if every one of you takes the time to explain it to
the people in the streets. One of our best ambassadors is Ikuo
Towhata from Japan who came up with this saying:
Geotechnical engineering for the people, by the people, and
with the people.
UZBEKISTAN
AUSTRALIA
MOZAMBIQUE
LEBANON
ROMANIA
BRAZIL
SPAIN
HUNGARY
EGYPT
VIETNAM
RUSSIA
ITALY
25 CONCLUSION
If someone asked me what has been the most rewarding part of
my presidency I would not hesitate and say that it is making so
many new friends all over the world (Fig. 17). Bill Gates, the
richest man in the world today, was asked how do you measure
success in life?. I believe he responded something like: by
how many friends you have. All of you have been very kind to
me over the last 4 years. I do not know if I will ever be able to
repay such kindness before I die but I can assure you that it did
not go unnoticed and it was extremely appreciated. Everywhere
I went it felt like coming home for a special event, you
welcomed me in your daily life as if I were coming to see the
family. You treated me like a close friend and made me feel
comfortable.
I believe in team work and the ultimate team is the family
(Fig. 18). I think that we have developed a better sense of
family in our society and we are stronger for it. I say good bye
as your President, but it will be my pleasure to become again a
regular member of ISSMGE and to continue to serve you to the
best of my ability. You certainly can continue to count on me if
I can help. While I will no longer be your president, I will have
the same desire to help you and to help the professional family.
You mean a lot to me. Thank you again for all your
kindness, take care, and remember that happiness is a choice.
TEXAS A&M UNIVERSITY

Fig. 17 So many new friends!
11
th
To finish I will borrow a saying from ASFE. When it comes to

the soil, when it comes to the Earth, you are the best. Indeed,
you are the best people on Earth.
Fig. 18 The Professional family
12
th
8th Terzaghi Oration

Protecting society from landslides the role of the geotechnical engineer
8e allocution Terzaghi
La gestion de lala glissements de terrain et le rle de lingnieur gotechnicien
Lacasse S.
Norwegian Geotechnical Institute (NGI), Norway
ABSTRACT: Protecting society from landslides and reducing exposure and risk to population and property are areas where the geotechnical profession can practice both the art and the science of engineering legated by Karl Terzaghi. The paper presents several case
studies of slope failure and examples of landslide risk management. Since factor of safety remains the practices main indicator to ensure slope safety, the significance of factor of safety is discussed. The geotechnical engineers role is not only to act as technologist
providing judgment on factors of safety. The role has evolved to providing input in the evaluation of hazard, vulnerability and risk associated with landslides. The geotechnical profession should be increasingly perceived as reducing risk and protecting people.
RSUM : La rduction de lala d aux glissements de terrains est devenue lune des sphres o lingnieur gotechnicien peut pratiquer lart et la science que nous a lgus Karl Terzaghi. Larticle prsente plusieurs tudes de cas de glissements et des exemples de
gestion du risque au glissement. Puisque le facteur de scurit demeure lindicateur principal de la stabilit des pentes, larticle discute
les implications du facteur de scurit. Le rle de lingnieur gotechnicien nest plus simplement doffrir un jugement sur le facteur
de scurit, mais aussi de gnrer les paramtres et lanalyse pour lvaluation des alas, de la vulnrabilit et des risques associs aux
glissements de terrain. Notre profession devrait de plus en plus tre perue comme rduisant le risque et protgeant la socit.
KEYWORDS: landslide, slope stability, strain-softening, factor of safety, case studies, hazard, risk
1
Protecting society from landslide hazard and mitigating the

exposure and risk to population and property is one of the issues
where we can practice both the art and science legated to us by
Karl Terzaghi. Landslide issues and how to protect population
has become a key to recruiting concerned young talents to the
geo-profession. This is the reason why the topic of landslides, in
terms of protecting society, was selected for the 2013 Terzaghi
Oration.
The mandate of the Terzaghi Oration is to cover case histories derived from professional activities, and if possible to illustrate the dynamic interaction among consulting work, teaching,
research and publication. The case studies selected for this Terzaghi Oration attempt to exemplify Karl Terzaghi's intellectual
approach to engineering and geology. Landslides and the protection of society from its hazards are a well-suited topic to
meet this mandate, as landslides require a good understanding
of the geology and soil behaviour, and have ample room for improvement.
The paper presents case studies of landslides and examples
of landslide risk management. Since factor of safety remains the
main indicator to ensure the safety of populations in practice,
the significance of factor of safety is discussed. The role of the
geotechnical engineer in protecting people is focused on as part
of the conclusions.
INTRODUCTION
The ISSMGE hosted seven Terzaghi Orations. Table 1 lists the

topics covered earlier. The topics reflect an evolution and a
cross-section of our professional practice. The 1st Terzaghi Oration was on the progress over 30 years in the prediction of cliff
side instability. The 2nd described the design of the giant offshore structures marking the start of the suction anchor concept
now widely used around the world. The 3rd Oration looked into
prediction and performance for embankments on soft clay and
pile foundations. The Terzaghi Oration then gave us remarkable
case studies, (1) the shattering Kobe earthquake in Japan and (2)
how the movements of the Pisa tower can be curbed to preserve
the tower for future generations. The importance of the interaction of soil and water for the Netherlands came with the 6th Oration. The 7th Terzaghi Oration marked the emergence of slender
high-rise buildings and introduced us to their challenging foundations subjected to large vertical, lateral and moment loads.
Table 1. Terzaghi Orations 1985-2009.
Year
Author
Title
1985
T.W. Lambe
Amuay landslides.
Foundation engineering for the
1989
K. Heg
Gullfaks C offshore gravity structure.
1994
V. De Mello
Revisiting our origins.
Geotechnical aspects of the 1995
1997
K. Ishihara
Kobe earthquake.
Leaning tower of Pisa: End of an
2001
M. Jamiolkowski
Odyssey.
2005
F. Barends
Associating with advancing insight.
Tall buildings and deep foundations
2009
H.G. Poulos
Middle East challenges.
LANDSLIDE HAZARDS
Landslides represent a major threat to human life, constructed

facilities, infrastructure and natural environment in many regions of the world. During the decade 2000-2009, natural disasters caused nearly one million fatalities, affecting nearly 2.5 billion people across the globe.
In 2010 alone, 295,000 fatalities due to natural disasters
were recorded by Munich RE (2011) and the overall economic
losses were more than double those of 2009, for approximately
the same number of natural catastrophes. Table 2 presents the
2010 natural catastrophe data published by Munich RE NatCat-
Over the past decade, the geotechnical profession has moved in

a direction of increased awareness of both its role and contribution to a safer society, and the need for targeted communication
has emerged more strongly than earlier.
15
1
th
though belonging to after-the-fact sagacity, lessons learned

will be especially focused upon.
The following case studies are included (section number is
given in parenthesis):
The Vestfossen slide in sensitive clay, Norway (4)
The Kattmarka slide triggered by blasting, Norway (5)
The Saint-Jude natural slope failure, Qubec, Canada (6)
Recurrent sliding on Cap Lopez, Gabon (7)
The Ashcroft Thompson River landslides, BC, Canada (8)
The Aalesund slide, Norway (9)
The Storegga slide, NE Atlantic Continental margin (10).
The following landslide risk management examples are also
briefly presented:
Landslide prevention in Norway.
The SafeLand Project.
Slope safety in Hong Kong.
Preparedness.
A few recent developments.
SERVICE. Most of the increase is due to the increase in the exposed population. However, many lives could have been saved
if more had been known about the risks associated with natural
disasters and risk mitigation measures had been implemented.
Urban development, increased infrastructure and rapid population rise contribute to increasing the vulnerability of humans
and property to landslides.
While earthquakes, floods, tsunamis and storms receive wide
attention in the news, landslides are not recorded as a separate
hazard by Munich Re. The European statistics from the past 100
years in Table 3 give the social-economic impact of landslides
in Europe in the 20th century. The landslide frequency of about
20 major events per year in Europe is the highest compared to
floods, earthquakes and cyclones. However, the number of fatalities and the quantity of material damage is far greater for
earthquakes. Landslides are also frequently triggered by floods
and earthquakes and are not statistically recorded as landslides,
but as floods and earthquakes in the disaster databases.
Tragically, developing countries are more severely affected
by natural disasters than developed countries, especially in
terms of lives lost (UNDP 2004, UNISDR 2009 and IFRC
2004). Table 4 shows the data compiled by IFRC (2001) for the
decade 1991-2000. Of the total fatalities due to natural disasters,
the highly developed countries accounted for 5 % of the casualties. In absolute numbers, the material damage and economic
loss due to natural hazards in highly developed countries by far
exceed those in developing nations. However, this reflects the
grossly disproportionate values of fixed assets, rather than actual economic vulnerability.
Table 2. Natural catastrophes in 2010 (Munich Re 2011)
Events and
Average
2010
2009
losses(MUSD)
2000-2009
No. of events
950
900
785
Overall losses
130,000
60,000
110,000
Insured losses
37,000
22,000
35,000
No. fatalities
295,000
11,000
77,000
4
4.1
Average
1980-2009
615
95,000
23,000
66,000
THE VESTFOSSEN SLIDE

Description of the landslide
The slide occurred in 1984 and involved 50,000 m3 of soil that

propagated about 100 m in almost horizontal terrain until it
stopped on the opposite side of the Vestfossen River, close to
Drammen in Norway. The geometry before and after failure in
Figure 1 shows the critical circular slip surface in the middle
and other slip surfaces studies. The failure had a 150-m long
run-out across the Vestfossen River, as illustrated at the top of
Figure 1.
The failure was triggered by a fill placed mid-slope when a
new soccer stadium was to be built. During project planning, the
slope was probably assumed to have sufficient safety margin
because the new slope was not steeper than the original slope.
Table 3. Impact of natural disasters in Europe (1900-2000)

Disaster
Lose of life
Material damage
45 floods
10,000
105 B
1700 landslides
16,000
200 B
32 earthquakes
239,000
325 B
Table 4. Natural disasters between 1991 and 2000 (IFRC 2001).
Countries
No. of disasters
No. of lives lost
Low & medium dev. Countries
1838
649,400
Highly developed countries
719
16,200
OVERVIEW OF CASE STUDIES
Professor Ralph B. Peck, Karl Terzaghis closest colleague, relied heavily on case studies to learn from and to develop innovative solutions. After Karl Terzaghi himself, no one has influenced our practice as strongly as Ralph B. Peck with his 65
years of practice. Ralph Peck had a philosophy of simplicity of
communication, whereby if you cannot reduce the presentation
of a difficult engineering problem to just one sheet of paper, you
will probably never understand it (Course CE484, University
of Illinois; DiBiagio 2013). While achieving one-page summaries for each case study was not possible in this Oration, an attempt was made to stick to Ralph B. Pecks philosophy. Each
case study is organized contains essentially four components:
1. Description of the landslide
2. Soil parameters
3. Analysis of the landslide
4. Lessons learned
The summaries do not contain all the details for each case study.
However, the details may be found in the references cited. Al-
Figure 1. Cross-section before and after the Vestfossen slide also showing the undrained shear strength from field vane tests.
4.2
Soil parameters
Below the drying crust, the clay had water content of 45% at
depths 4 to 10 m. The water content decreased to 30% below 12
m. Laboratory fall cone tests indicated a clay with extremely
high sensitivity with St 150-200 in the top 12 m, and St 50-
16
Terzaghi Oration / Allocution Terzaghi
th
the sum of driving forces. The calculations considered strain

compatibility (Grimstad and Jostad 2012). The strain compatibility was achieved by finding the highest safety factor on a
given slip surface for different constant shear deformations.
Thereafter, the slip surface giving the lowest safety factor was
located. The strain-compatible critical slip surface was not necessarily the same as for the case without strain compatibility.
To do strain-compatible calculations, an idealized material
model was used, as shown in Figure 4. The peak shear stress
was taken at a shear strain of 1% in triaxial compression, 5% in
direct simple shear and 10% in triaxial extension.
100 below 12 m. The overconsolidation ratio below the drying

crust was 1.1, due to aging) Figure 1 provides profiles of undisturbed and remoulded undrained shear strength from the field
vane test (FV). Figure 2 presents the undrained shear strength
normalized with the effective overburden stress, p'o, from triaxial compression, direct simple shear and triaxial extension tests
vs the inverse of the overconsolidation ratio (OCR). Specimens
from depths of 7, 13 and 17 m were tested. Figure 3 illustrates
three stress strain curves and effective stress paths from anisotropically consolidated triaxial compression tests. The residual
shear strength and the peak shear strength for a perfect sample
are also indicated with the dashed line. To simulate a perfect
sample, the effective stress path of a perfect specimen follows
an angle of 1:3 up to the failure line (Berre et al 2007).
Figure 4. Idealized anisotropic stress-strain model for straincompatibility modelling (Grimstad and Jostad 2012).
Figure 5 presents the results of the limit equilibrium stability

analyses when the peak undrained shear strengths were used.
The factors of safety obtained are listed in Table 5.
Figure 2. Normalized undrained shear strength, Vestfossen clay (Grimstad and Jostad, 2011a).
Table 5. Result of limiting equilibrium analyses of Vestfossen slide.

Case
Strain compatibility
Factor of
(Slip surface)
safety
Fill added
No
1.01
(Fig. 5, top)
Yes
0.93
Before addition of fill
No
1.26
(Fig. 5, bottom)
Yes
1.19
Figure 5. Result of limiting equilibrium analyses of Vestfossen slide

(Grimstad and Jostad 2012).
Figure 3. Stress-strain curves and effective stress paths from triaxial

compression tests, Vestfossen clay (Grimstad and Jostad, 2011b).
4.3
Including the strain compatibility criterion decreased the safety

factor by about 7%. With the strain-compatible model and the
added fill, the slip surface extended further beyond the toe. The
safety factor of 1.2 for the case before the addition of the fill
Analyses of the slide
4.3.1 Limit equilibrium analyses

The classic Fellenius method was used, where the factor of
safety, FS, is calculated from the ratio of the sum of resisting to
17
th
was too optimistic, because the peak shear strengths were used
and side shear was not included in the analyses.
4.3.2 Finite element analyses
The material model NGI-ADPSoft (Grimstad and Jostad 2012)
was used to model the sensitive clay. The model is a userdefined special version of the NGI-ADP model (Grimstad et al
2010; 2011) which was implemented as a standard material
model into Plaxis (www.Plaxis.nl). The model is an elastoplastic model that describes the anisotropic behaviour of clays
during undrained shear and includes post peak strain-softening.
The model is suitable for modelling the initiation of progressive
failure in sensitive clays under undrained loading.
The model uses as input the data from anisotropically consolidated undrained triaxial compression (CAUC) tests, constant
volume direct simple shear (DSS) tests and undrained triaxial
extension (CAUE) tests. The input parameters are the peak
undrained shear strength sup and the residual shear strength sur
and the corresponding shear strains p and r along the shear
stress-shear strain curves (Fig. 6). The curves start at an initial
shear stress o with a slope equal to the initial shear modulus Go.
In the calculations, Go is set equal to Gur. Plane strain compression and extension were assumed to be equal to the results of
triaxial compression and extension tests.
Through interpolation between the three curves, the model
describes the general 3D anisotropic behaviour of the clay that
depends on the actual orientation of the maximum shear deformation.
remaining part of the strain-softening curve towards residual

governs post-failure displacements.
The safety factor obtained by the finite element analysis before failure, without strain-softening and without strain compatibility was 1.28, which is very close to the 1.26 in Table 5.
With the addition of fill, the safety factor from the finite element analyses was 1.0. Figure 8 illustrates the failure zone for
the case of no strain-softening. The failure zone extends much
further up slope and less at the toe than in the case with strainsoftening. The uncertainties in the analyses were mainly related
to the strength in the drying crust, the initial effective stresses
under the fill, and the thickness of the shear band after mobilization has been initiated.
Figure 6. NGI-ADPSoft model parameters (Fornes and Jostad, 2013).
The softening behaviour is governed by introducing a nonlocal plastic shear strain. The so-called non-local strain (Eringen, 1981) means that the plastic strain in a stress point
(Gaussian integration point) is replaced by an integrated
weighted average plastic strain within a specified zone around
the point. The plastic strain and ensuing reduction in shear
strength during softening become mesh independent, and are
controlled by the input parameters. The shear band thickness
and resulting brittleness are then also controlled by the input
data (Grimstad and Jostad, 2011; Grimstad and Jostad 2012).
Figure 7 illustrates the progressive development of the failure. Each diagram gives a snapshot for increasing incremental
displacements (from NINC =40 to 160). The figure shows that it
is possible to model strain-softening. The analysis did not include the in situ variation in sensitivity of the quick clay (clay is
much less sensitive upstream), and without the complete effect
of the drying crust, which, if included, would have limited the
shearing at the toe (which is unrealistically large in Figure 7).
Jostad and Grimstad (2011) found that the critical strain at
which progressive failure starts to develop is low, and not large
enough to remould the clay. It is therefore only the initial part of
the strain-softening curve that is of interest for capacity. The
18
Figure 7. Incremental displacements in modell of Vestfossen progressive failure (NGI 2012).
Figure 8. Contours of total displacements, model without strainsoftening, scale in m (NGI 2012).
In summary, it was possible to obtain a factor of safety of 1

when using a best estimate of the soil parameters and the NGIADPSoft model, but the stress-strain curves used in the analyses
had to account for the strain-softening observed in laboratory
tests. The finite element modelling of the deformation under the
embankment load led to a progressive development of the failure in a nearly horizontal terrain. The failure occurred along a
circular slip surface (as shown), which gradually progressed as a
circular surface towards the river. This was very close to the observed displacements after the failure in 1984.

th
4.3.3 Sensitivity analyses

Jostad et al 2013 did sensitivity analyses to quantify the required reduction in peak undrained shear strength, Fsoftening, for
sensitive clays. Figure 9 illustrates the results obtained. The
analyses were done with the PLAXIS finite element code with
the NGI ADPSoft model. A total of 500 Monte Carlo simulations were done.
The average required reduction of the peak undrained shear
strength in triaxial compression, direct simple shear and triaxial
extension was 9% (Fsoftening= 1.09). The values of Fsoftening
ranged between 1.02 and 1.27. Although Figure 9 shows scatter,
the effect of softening increases with decreasing load. The values of Fsoftening of 1.0 were cases where failure occurred in the
drying crust. For 2.5 % of the simulations, Fsoftening was greater
than 1.2, and for 12% of the simulations, Fsoftening was greater
than 1.15. For stronger strain-softening clays, the factor Fsoftening
was considerably lower that for the softer clays with low failure
load.
analyses. One can either apply a reduction factor on the peak

undrained shear strength from triaxial compression, direct simple shear and triaxial extension tests, or one can apply different
factors on each test type, e.g. 15% on the triaxial compression
strength, 10% on the direct simple shear strength and 5% on the
triaxial extension strength. Based on Figure 9, one should consider establishing a reduction factor as a function of clay type
(or strength), type of slip surface and perhaps slope inclination
and clay sensitivity. With the knowledge available today, an average reduction factor between 1.10 and 1.15 may be reasonable. More research on this topic is underway.
5
5.1
LANDSLIDE IN KATTMARKA
On March 13 2009, about midday, in Kattmarka near Namsos

north of Trondheim in Norway, a slide occurred, moving about
500.000 m3 of material in a scar measured afterwards of about
100 m width by 300 m length. The slide destroyed a highway
and damaged four permanent dwellings and 6 summer residences. Seven persons, who had been transported on the slide,
were rescued unharmed by helicopter. Figures 10 and 11 illustrate the slide that occurred. Figure 12 illustrates the sequence
of the movements (from 1 to 5) based on observations and eyewitness accounts. The slide (part in Fig. 12) started about
minute after the blasting of rock as part of highway construction
nearly (Fig. 12). Part 2 slid 2 minutes later, thereafter Parts 3, 4,
and 5. The sliding activity lasted between 6 and 10 minutes. The
construction project nearby was a widening of the road into the
mountainside, adding sidewalks, and upgrading of sewers and
pavement by the Norwegian Public Road Administration.
Figure 9. Required reduction in peak undrained shear strength (Fsoftening)

vs failure load for all sensitivity analyses (Jostad et al 2013).
4.4
Lessons learned
For brittle materials such as highly sensitive and quick clays,

the strain-softening behaviour needs to be taken into account in
the stability analyses (Jostad et al. 2013; Fornes and Jostad
2013). The brittle nature of the failure and the strain-softening
are such that the peak strength measured in the laboratory cannot be used directly in limit equilibrium analyses.
The stability of long slip surfaces in brittle and sensitive soils
cannot be calculated by classical limit equilibrium methods. The
calculated material coefficient will be overestimated for long
slip surfaces to a greater degree than for local slip surfaces.
Failure on long slip surfaces generally develops progressively in
time and space. The shear strength along part of the slip surface
reduces significantly, moving towards the remoulded shear
strength, while other parts are still in the pre-peak, hardening
regime. The peak shear strength is not representative for the
shear resistance along the potential slip surfaces.
Stability calculations in practice are usually done by limit
equilibrium approaches that account for horizontal, vertical and
moment equilibrium. As no commercial software that fully accounts for progressive failure is available today, limit equilibrium methods will continue to be used in practice.
In the case of Vestfossen, one should note that it was necessary to reduce the peak shear strength by an average of 10%, if
limit equilibrium analysis was used. The reduction accounts indirectly for strain compatibility and time effects.
The initiation and progressive failure were captured well by
a large deformation finite element analysis with PLAXIS 2D
(Grimstad and Jostad 2011), using the NGI-ADPSoft material
model: the safety factor was then 1.0.
One needs to establish a reduction in the peak shear strength
required to account for the strain-softening in limit equilibrium
Figure 10. Photograph of Kattmarka landslide (photo: L.A. Holme).
5.2
Soil parameters
The soil investigations post-landslide revealed the presence of

sensitive clay with lenses of silt and sand. The clay thickness
was between 10 and 20 m above bedrock. There is a thin layer
of moraine above the bedrock. The soil consists of clay layers,
some more silty than others, with thin sand lenses at irregular
intervals. More than half of the clay was quick clay. The water
content was above the liquid limit. The overconsolidation ratio
in the clay below a drying crust about 2.5 m thick decreased
from 2.5 at a depth of 3 m to 1.5 at a depth of 14 m.
Figure 13 presents the undrained shear strength profile for
the area. On the basis of the test results, the undrained shear
strength selected for the stability analyses was selected as:
suC = 15(kPa) + 2.0(kPa/m) z(m)
(1)
where suC is the undrained shear strength in triaxial compression

and z is the depth in meters. The undrained shear strength was
19
th
highly anisotropic with suDSS equal to 0.70 suC and suE equal to
0.40 suC, where suDSS is the undrained shear strength from direct simple shear tests, and suE is the undrained shear strength in
triaxial extension. In Figure 13, the undrained shear strength
values derived from the cone penetration test (CPTU) via the
cone factors Nkt and Nu. An analysis was done of the uncertainties in the undrained shear strength, and it was concluded that
exceeding the value of the suC used in the analyses was less than
10 or 15%.
The analyses were done with the computer codes PLAXIS
and GeoSuite Stability (Lacasse et al 2013). The NGI-ADP soil
model for anisotropic clays was used. The two programs gave
the same safety factors. The PLAXIS analyses were run with a
plane strain approximation, with partial compensation of the 3D effects with a stabilizing side shear. To model the condition
After blasting, before sliding, a zone of remoulded clay was
included immediately at the rock-clay interface, which dimension of 8 m by 4 m was based on observations in situ (after the
slide) and calculations of shear strains due to the blasting (Nordal et al 2009). Table 3 lists the resulting safety factors.
Figure 11. 3-D model of Kattmarka area before and after landslide (terrain model from laser scanning plate) (NVE 2009).
Figure 13. Undrained shear strength from laboratory and in situ tests
and profile selected for stability analyses.
Table 6. Factor of safety before sliding
Zone (Fig. 11)
1
2
3
Stability condition
Before blasting
After blasting, before sliding
Before blasting
Before blasting
Factor of safety,
FS
1.20
0.97
1.19
1.06
1.02
~0.90
The delay of minute between the blast and the initiation of

the slide (visual observation) can be in part explained by rate effects, whereby the high frequency of the load caused an increase
in the strength, but as the clay at the top of the slope became
remoulded under the added load from the rock slipping and
pushing in the clay, the clay towards the bottom of the slope
could not support the added load. The overstressed area towards
the bottom of the slope in the Zone 3 cross-section is illustrated
in Figure 14.
Figure 15 illustrates the vertical interface rock-clay in Zone
1, and the blasting that triggered the slide. The cross-section after the slide is also shown on the figure. The location of the
blasting holes is only approximate on the figure, as it was difficult to reconstruct the exact locations in the aftermath of the
slide. The blast shot the rock face out about 1 meter into the
Figure 12. Movement succession in Kattmarka (Nordal et al 2009).
20

th
nicipality, the Norwegian Public Road Administration, the geotechnical consultant and the contractor building the road.
sensitive clay. Geological investigations of the rock also indicated the following (Fig.15): a nearly vertical weakness zone in
the bedrock (Plan K); a fault at an angle of 36 inclining towards the clay (Plan 3) acting as sliding plane for the rock under
blasting; and other weakness planes in the rock mass contributing, with Plan 3, to pushing the rock face into the quick clay.
Figure 14. Results of stability analyses before blasting, cross-section in

Zone 3, Kattmarka landslide (Nordal et al 2009).
Figure 16. Modeling of effect of blasting in clay sediments in Kattmarka

(remoulded clay in red and yellow zones) (Nordal et al 2009).
The Namsos municipality introduced in 2003 the following

regulation: before approval of building plans, geotechnical
documentation shall confirm that the stability is acceptable and
shall not be impaired. This was not done for the road project in
2009.
No geotechnical investigation was carried out at the site before detailed planning. This was partly due to budget limitations. Although it is acceptable for stakeholders with considerable local experience to work on the basis of their wide
knowledge in a region, the developer should have stopped the
building activities to do site investigations when soft clay was
found close to the road during the preparation for the blasting.
The geotechnical consultant was hired to study the stability
of the slopes in surrounding areas of the project and not in the
areas of Kattmarka, and his work had been limited to 80 hours.
The consultant had indicated the stability problem at the Kattmarka location, but the proposed actions were not followed up.
The stability of the area of road construction was not analysed,
although this is required by the NVE (2011) regulations.
The Kattmarka landslide led to new regulations and an increased focus on existing regulations, including:
the control and mapping of the clay-rock interface when
blasting in marginally stable areas;
the requirement for geotechnical investigations early in the
project planning process; and
the necessity for hazard and vulnerability analyses for projects that can endanger life and property.
Figure 15. Cross-section in Zone 1 at the time of blasting, Kattmarka

landslide (Nordal et al 2009).
Nordal et al 2009 did analyses of the shear strain () in the sensitive clay as the rock mass detached by the blasting penetrated
the clay. Figure 16 illustrates one of the results. With the finite
element mesh in the top part of the figure for the PLAXIS dynamic analysis, the blasting was modeled by a penetrating element with a maximum velocity of 10 m/s and a total displacement of 0.5 m into the clay. Equivalent linear properties were
used in the clay for this calculation. The bottom cross-section in
Figure 16 illustrates the shear strain contours. Liquefaction was
believed to occur when the shear strain is greater than 3%.
The slide was triggered by the blasting. The blasting moved
the rock face and a block pushed outward into the clay with
considerable force and velocity, causing the surrounding clay to
liquefy. The unexpected movement of the rock face was a consequence of two unfavourable conditions: (1) the a priori unknown orientation of the rock-clay interface and (2) planes of
weakness in the rock mass. The sensitive quick clays, however,
had already before construction a marginal stability. The developer did not know of how critical the stability was.
5.3
6
6.1
THE SAINT-JUDE LANDSLIDE

In the evening of May10, 2010, a large landslide occurred in the

municipality of Saint-Jude, northeast of Montral, in Qubec,
Canada (Locat et al 2012). The landslide happened without
warning on the right bank of the Salvail River, and tragically
took four lives. The landslide swept away the road, aqueduct
and power and telephone lines. Figure 17 presents a photograph
of the landslide and the location of the bed of the Salvail River
completely blocked by the landslide.
The plain at the top of the natural slope before failure was at
an elevation of 28m, and the slope inclination was between 12
Lessons learned
The slide had dramatic consequences, and it was just a matter of

good odds that no lives were lost. Many parties were involved
in the planning, design and building process: the Namsos mu-
21
th
since 1950 showed that erosion was active more or less steadily
at the foot of the slope and that small landslides associated with
erosion had occurred. The erosion seemed to have intensified
over the past 15 years.
and 18, and perhaps 20 in sections close to the toe. The height
of the slope involved in the sliding was about 22 m. The slide
area had a width of 275 m parallel to the watercourse and a
length of 150 m normal to the watercourse. A total area of
54,000 m2 was affected by the landslide.
The morphology of the slide was typical of a spread (Varnes,
1078). The debris were a succession of long slices of deformed
and dislocated material oriented normal to the direction of
movement. Some of the debris took the form of a triangular
prism and reminded of horsts, and these were displaced horizontally only. The horsts were separated by slices of relatively
undisturbed material, just like a block having dropped due to
some sort of faulting, and were called grabens (Fig. 18). In the
back part of the slide, some blocks coming from an upper
failure surface were pushed upward by movement and
overlapped the adjacent lower slices.
The investigation of the landslide was carried out by the
Geotechnical and Geological Department of the Ministry of
Transportation of Qubec (Locat et al 2011).
Table 7. Index properties, Saint-Jude slide (after Locat et al 2011).

Depth
w
Ip
IL
Soil description
(%)
(m)
(%)
Drying crust, sandy,
0-3.8
24-78
silty from 2 m
Clay, some silt traces
3.8-26
65
20-37
2.0-1.0
of sand
26-31
Silty clay
45-75
21-37
0.7-1.0
Silt, clayey, some
31-37
15-25
12-29
0.5-1.5
sand, trace gravel
Silt, sandy, some clay,
37-42.6
13-18
trace gravel, v.dense
>42.6
Shale and sandstone
w
water content
Ip plasticity index
IL liquidity index
Table 8. Stress and strength characteristics, Saint-Jude slide location
(after Locat et al 2011).
Depth
su
p'c
Soil description
(m)
(kPa)
(kPa)
(kN/m3)
0-3.8
Drying crust, sandy,
50-165
250-400
18.6
silty from 2 m
3.8-26
Clay, some silt
25-65
100-260
16.0
traces of sand
26-31
Clay, sandy
50-107
180-310
16.8
31-37
Silt, clayey, some
40-150
19.3
sand, trace gravel
37-42.6
Silt, sandy, some
20.7
clay, trace gravel
>42.6
Shale and sandstone
su
undrained shear strength from field vane (CPTU Nkt = 13.5)
preconsolidation stress (OCR = 1.4 at El. +15 and 1.0 at El. 0)
p'c
soil unit weight
Figure 17. Saint-Jude landslide and location of Salvail river (dashed

line) (Locat et al 2011).
Figure 18. Saint-Jude landslide: illustration of the horsts and grabens after the slide (Locat et al 2011).
6.2
Soil parameters
The soils involved in the landslide are mainly marine clay from
the former Champlain Sea. The clay was sensitive, of medium
to firm consistency, and had sensitivity ranging from 30 to 80
and liquidity index decreasing form 2 to 1 with depth. There
was artesian pressure of 10 m above the river level at the landslide site. Table 7 and 8 describe a typical soil profile.
Figure 19 gives an example of the cone resistance measured
at the site after the failure. The profiling enabled the determination of the location of the slip surface (Elevation +4 in Fig. 19).
6.3
Figure 19. Example of piezocone results in Saint-Jude deposit and indication of slip surface at Elevation +4 (Locat et al 2011).
Analysis of the landslide
The analysis of the available data revealed that landslides had

occurred earlier along the Salvail River. Aerial photographs
The slide is believed to have occurred as follows. Along the

centreline of the slide, the slip surface developed at depth and
22

th
was sub-horizontal. The slip surface was detected Elevation 2.5

m below the Salvail river bed (originally at Elevation 6 m) for
the first two-third of its length. The last third of the slip surface
was at Elevation 15 m near the scarp. These two levels of the
failure surface explain the overlapping of blocks in the central
part of the scar.
Figures 20 and 21 and Table 9 present the results of a few of
the stability analyses. Only the most critical of the 1000s of
slip surfaces are shown. Analyses under drained and undrained
conditions were run. The analyses were run with the SEEP/W
and SLOPE/W code (GeoStudio 2007 verG7.17; GeoSlope International).
For the case of drained conditions (Fig. 20), the computed
factor of safety (FS) was 0.98 with the Bishop method and 1.03
with the Morgenstern-Price method. The lower part of Figure 20
shows the area of all the circles giving a factor of safety of 1.05
or less. All critical slip surfaces pass below the river bed, which
agrees with the observations after the slide.
For a failure surface extending significantly up slope (horizontal distance of 80 m in Fig. 21), the factor of safety was
about 1.3, showing that this was not the triggering rupture
mechanism. For undrained conditions (Fig. 21), using the observed slip surface, the safety factor was about 2.3.
Table 9. Results of stability analyses of St-Jude landslide.
Case
Slip surface
Method
Drained
Circular
Bishop
(Fig.54)
Horizontal
Morgenstern-Price
Drained
Circular
Bishop
Entire slope
Horizontal
Morgenstern-Price
Undrained
Circular
Bishop
(Fig.55)
Horizontal
Morgenstern-Price
6.4
Lessons learned
The high pore pressures in the clay below the river bed resulted
in very low effective stresses, and therefore low resistance in
the clay.
The conventional analysis of the failure with circular slip
surface gave a safety factor of unity under drained conditions,
but could not explain the observed extent of the slide. Locat
(2007) and Locat et al (2008) made similar observations.
The trigger of the landslide is believed to have been of natural origin. The stability was impaired by (1) the high artesian
pore pressure at the toe of the slope and (2) shoreline erosion,
also at the toe of the slope. Since the meteorological conditions
did not show any heavy rainfall at the time of the landslide, the
trigger of the movement was probably the continuous erosion of
the toe, which had aggravated over the last 15 years.
The failure probably occurred in two stages, the first a rotation, thereafter a translation, as suggested by the post-failure
grabens and the horsts (Fig. 18). The movement stopped when
the debris accumulated on the other side of the river bank generated sufficient resisting forces to re-establish equilibrium.
As mitigation in Saint-Jude on the Salvail River, the height
of the natural slope was reduced to a maximum of 10 m, the
river was moved about 60 m further away from the road and the
debris were left in the landslide scar.
FS
0.98
1.03
3.1
3.3
2.2
2.3
7
7.1
RECURRENT SLIDING ON CAP LOPEZ

On Cap Lopez in Gabon, a large underwater slide took place in

July 1971. Twenty years later, the coastline had same topography
as in July 1971. It was important to assess whether sliding would
recur, as adequate safety was required for the oil terminal installations on land.
Pointe Odden in Gabon is known for its rapidly changing
coastline due to complex erosion and sedimentation patterns,
enhanced by the presence of a deep submarine canyon on the west
side. A 3,000,000 m slide took place on Cap Lopez north end,
called Pointe Odden in July 1971 (Fig. 22). Figure 23 shows some
of the coastline movements since 1911.
Figure 20. Results of limiting equilibrium analysis of St-Jude landslide

under drained conditions: top: Bishop method, critical slip surface; bottom: All slip surfaces giving Factor of safety 1.05 (Locat et al 2011).
Figure 21. Results of limiting equilibrium analysis of St-Jude landslide

under undrained conditions: Morgenstern-Price method, observed slip
surface (Locat et al 2011).
Figure 22. Topography before and after 1971 slide (Lacasse and Boisard
1996)
23
th
is a 10- m deep, 20-m wide zone of compacted sand, placed to

stop the propagation of a slide. In 1979, dredging was carried
out at the east side of Pointe Odden to remove sand down to 912 metres below sea level. The surface sliding however appeared
to have a self-remediating effect. Elf opted to monitor whether this
auto-regulation was sufficient to keep the coast stable in the future.
Figure 24. Underwater cross-sections before sliding (Lacasse and

Boisard 1996)
7.2
The sand of Cap Lopez is a fine to medium coarse, mainly quartz,

sand. The grain size distribution falls within the limits established
in the literature for flow slide materials, and is similar to the grain
size of sands which have experienced flow slides. Consolidatedundrained triaxial compression tests on sand sampled on-shore on
Pointe Odden show that the sand in a loose state has a contractive
behaviour with considerable strain-softening at low shear strains.
Cone penetration tests suggested that layers with very low density
or very low shear strength can be present.
Figure 23. Observations of Cap Lopez 1911-1971 (Lacasse and Boisard

1996).
7.3
Witnesses to the July 1971 slide reported that the slide started at
02:00 in the night and continued until noon the next day. Land
extending about 310 m into the sea disappeared, moving about
1000 m away into deeper water. The slide had typical funnel and
fan shape often associated with flow slides. Surface sliding of a 3
m thickness over most of the seabed east of Pointe Odden occurred
between 1988 and 1989. The slopes before sliding had an
inclination between 8 and 9.
Between 1989 and 1992, the coastline did not move
significantly. In March 1992, a new large slide occurred. At its
deepest, the 1992 slide was 10-12 m deep and extended 350 m in
the east direction. The 1971 slide was 30 m deep and extended
1000 m out to sea. Figure 24 illustrates the cross-sections before
sliding in the interval between the 70s and 90s.
The observations of the coastline (Fig.23) suggest recurrent
sliding, perhaps every 15 to 20 years as indicated in Table 8.
Table 8. Periodicity of slides on Cap Lopez
Approx. Date
Event
Slide (?)
1911-1920
Slide (?)
1930-1937
Slide in 1957(?)
1946-1957
Slide
1971
Slide
1992
Soil parameters
Analysis of the slide
Stability analyses considered both a drained situation and an

undrained situation with development of excess pore pressures.
The slides seem to have been triggered by a small increase of shear
stress in a layer of looser/weaker material. The slide of March
1992 suggested that only a small additional amount of sand or a
small change in pore water pressure was sufficient to trigger a
large slide. On the basis of over 70 observations since 1971, the
limiting inclination of the slope was 8-9. Slopes less than 8 were
always stable, slopes greater than 9 slid.
Edgers and Karlsrud (1982) studied the mechanisms of submarine slide run-out with case studies. Figure 25 presents run-out distance as a function of the sliding volume. Observations for Cap
Lopez are added to the graph, as well as a number of larger underwater slides that have been mapped in recent years (Canals et al
2004). The Cap Lopez slides plot at the limit of the underwater
slides. The existing data show that (1) submarine slides may be
triggered on very flat slopes; (2) the volume and run-out of submarine slides are by far greater than the volume of terrestrial slides;
(3) the most predominant soil types with large run-out distances
were fine sands and silts; (4) a trend for increasing relative run-out
distance (run-out distance L over height drop H) with increasing
slide volume. The Cap Lopez data follow this trend.
A worst case scenario would be a deep-seated slide, extending close to the Quai des Chalands, and partly through the
oil loading berth, causing environmental damage, affecting operation of the harbour and terminal, and requiring stabilisation
of dangerous slopes after the slide. The "worst case" estimate
was based on a series of positive and negative factors.
Time between events

-15-20 years
15-20 years
15-205years
21 years
Elf Gabon took measures to protect the coastline. On the west

side of the cape, protection walls were built every 25 m at
frequent time intervals since the 50s to stop erosion and sand
transport. From the Quai des Chalands to Pointe Odden on the
east coast, a vibro-floated "wall" was built (Fig. 22). The "wall"
24
10
Honour Lectures / Confrences honorifiques

th
7.4
On the one hand, among the negative factors:

The slope between Pointe Odden and Quai des Chalands
consists of young sediments with frequent and seasonal
changes in the shoreline.
The sediments south of the 1971 slide may be in a state of
unstable equilibrium. The addition of a small quantity of sand
can result in important surface sliding.
The slopes of the seabed have an inclination prone to sliding;
continuous weaker layers susceptible to slides may be present.
The large surface slide in 1988-1989 did not preclude the
possibility of the occurrence of a large deep-seated slide.
A deep-seated slide may be triggered by an accumulation of
sand, erosion (e.g. discharge of an outflow pipe or wave
action) or some local small vibration in the earth crust.
On the other hand, among the positive factors:
The Quai des Chalands area appears to have no history of
sliding, except between 1937 and 1946.
The efficiency of the vibro-floated wall to stop a slope failure
is not known. However observations during the vibro-floating
operation indicated a very strong soil at the bottom of the
vibro-floated area, where the cone penetrometer could not
penetrate. With such layer beneath the vibro-floatation zone,
the possibility of a slide going further inland should be low.
Movements experienced during pile installation were not an
indication of foundation instability, but were probably caused
by the piling procedure used.
The sheet pile driving near the Quai des Chalands did not
trigger slides at the time of pile installation.
An impact study was made to select the optimum solution for
the continued operation of the oil terminal. The following
consequences were considered: (1) loss of life, and loss of Pointe
Odden to sea; (2) impact on environment due to damage of loading
berth and oil leakage; (3) undermining of sand foundation at Quai
des Chalands; (4) displacement of pile tops and anchors of the
pier; (5) reduction of draught near the pier and Quai des Chalands;
(6) impact on oil terminal activities. Remedial measures and their
feasilibity were also considered: (1) on-site geotechnical
reconnaissance and laboratory testing on soil samples; (2) careful
dredging (difficult to achieve without triggering a slide, and not a
permanent solution); (3) deep underwater compaction (e.g. vibrofloatation, chalk piling, grouting, chemical injection; (4) controlled
blasting of the underwater slope.
Lessons learned
The slides seemed to occur every 15 to 20 years. They are a natural

phenomenon due to the geology and geography of the area. For
such natural hazard, given the impact analysis carried out and the
uncertainty whether remedial measures would be partly or fully
successful, continued surveillance of the coast and seabed, using
the slope of the seabed as stability indicator, was deemed the
optimum solution.
The sliding on Cap Lopez was difficult to circumvent. In view
of the sliding observations in the past, the fact that recent sliding
occurred within the limits of the worst case scenario of the
impact study, the positive and negative factors that could lead to
sliding near the terminal installations, Elf made the engineering
decision to continue surveillance of the coast and seabed, using the
slope of the seabed as indicator of stability. This decision was
helped by the fact that the risk of loss of human life was essentially
nil. The overall risk to the oil terminal operations was considered
to be tolerable with surveillance of the coast as the main tool to
evaluate whether new remedial measures were needed.
8
8.1
THE ASHCROFT THOMPSON RIVER LANDSLIDES

Description of the landslides
The town of Ashcroft is located on the east side of the Thompson River in southern British Columbia, northeast of Vancouver. The multiple landslide activity near Ashcroft has a very
strong impact on freight transportation. (Bunce and Chadwick
2012; Bunce and Martin 2011; Bunce and Quinn 2012).
Figure 26 presents an aerial view of part of the Ashcroft
Thompson River and three recent landslides. Near the village of
Ashcroft, more than 20 landslides have occurred, ranging in size
from 10,000 m3 to 5 million m3. Figure 27 illustrates some of
the reported landslide initiations and observed significant
movements near the railway in the Ashcroft area. The movements can be slow and relatively small, but insidious, or they
can be sudden, fast and very large.
The stakeholders are the railway companies, Canadian Pacific and Canadian National, Transport Canada, the British Columbia Government (Environment and Transportation) and the
Canadian Department of Fisheries and Oceans. Railways traverse valley slopes and can be exposed to numerous landslide
hazards. Railways typically select one of three strategies to
manage the risks associated with landslides: avoid the landslide,
stabilize the landslide or implement monitoring and signal systems that indicate when the tracks may be unsafe (Bunce and
Martin 2011).
Figure 25. Run-out distance vs slide volume for submarine slides

(Edgers and Karlsrud 1982; additional data from Canals et al 2005))
Figure 26. Ashcroft Thompson River and three recent landslides (Bunce
and Quinn 2012)
25
th
cluded the magnitude and frequency of landslide activity and

the rate of ground movement compared to the frequency of
track maintenance.
The impact of the failures was multi-faceted. In addition to
the costs to the Canadian economy, the negative aspects included: potential for injury and death of locomotive operator
and conductor, the impact on the environment, consequences of
a derailment including the fate of the freight material, a prolonged service interruption resulting in a loss of Canadas
credibility as a reliable exporter, damage to key fisheries, impact to First Nations land claims, damage to adjacent land-use
and irrigation for agriculture, flooding, damage upstream and
downstream of the landslide.
For the Ripley Landslide, since the track speed was 30 mph
with no potential for a derailed locomotive to reach the river,
the probability of a fatality was estimated as extremely low. The
Ripley Landslide was known to be moving at a gradual rate that
had had no influence on the safe operation of the railway for
more than 60 years. The frequency of normal railway maintenance was sufficient to periodically realign the track such that
the track speed could be maintained without compromising the
safety of rail operations, despite periods requiring more frequent
track maintenance.
From an economic perspective the Ripley Landslide was
costing the railways a minimal amount of maintenance and little
or no reduction in operating efficiency. The primary successful
landslide mitigation measure of the other landslide locations
was the placement of an erosion-protection toe-berm of rip-rap
into and along the river bank. However, although the cost of this
method was attractive compared to other options the environmental, especially fisheries impact was considered significant.
In the case of the Ripley Landslide, CP assessed its options
and given that the effectiveness of stabilization was uncertain
and costly, and the risk of catastrophic failure based on past performance of this landslide was low, a monitoring system was
selected.
The advantages of this concept were: the risk to train traffic
was minimized; the cost was less than the least costly stabilization measures; the environmental impact was negligible in comparison to completing in-river works; and additional information about the behaviour of the landslide in response to external
changes could be further investigated to identify means of stabilizing the landslide in the future if movement rates increase
above tolerable levels. These advantages were offset by the disadvantage that although rail safety is ensured the reliability of
the transportation system remains the same.
In view of the uncertainties and the overwhelming extent of
the potential consequences, CP invested in research and monitoring.
The research investment included a Railway Ground Hazard
Research Project (http://rghrp.com/), multi-year research grants
and support for PhD and MSc studies on rock fall, landslides,
climatic triggers, debris flows and risk analysis, a rail research
laboratory (http://carrl.ca/) and strategic research partnership
with universities, research organizations, and stakeholders.
CP installed in 2008 a real time permanent Global Positioning System (GPS) on the Ripley Landslide located about 7.5 km
south of Ashcroft to monitor ground movement and provide notification of significant track movement (Bunce and Chadwick
2012). The Ripley Landslide was known to have moved approximately 70 mm per year between 2008 and 2011. In view of
(1) the high cost to stabilize 400,000 m3 of soil, (2) the environmental implication of attempting to stabilize the landslide
without negatively changing the fishery in the Thompson River
and (3) the uncertainty on the effectiveness of potential stabilizing measure; the decision was taken to monitor and respond
rather than stabilize the landslide.
Figure 27. Reported landslide in Ashcroft area (Bunce and Quinn 2012).
8.2
Investigations
The soil consists of disturbed glacio-lacustrine clay and silt, and

the failure seemed to follow complex mechanisms with irregular
wedge formation. The geological and hydrogeological settings
were also complex, with alluvial fans and fractured bedrock
(Bunce and Quinn 2012).
The geotechnical investigation failed to identify a trigger for
increased movement. Given the long period of gradual movement it appeared that the slope was in a alternating cycle of being unstable and stable due to erosion and or groundwater conditions and small increments of movement.
As part of the planning of mitigation work and the management of the landslide activity and operative safety of the railroad, knowledge gaps were identified:
Subsurface conditions outside and between landslides.
Stress-strain behaviour of the materials involved in failure.
Realistic model for new or reactivated landslides.
Contribution of river drawdown, erosion and infiltration.
Erosion by the river.
Effect of weather and climate, and changes thereof.
Effects of topography.
What are the tolerable movement limits?
Local water balance.
8.3
Analyses of the slides
Some Ashcroft Thompson River landslides are known to have

moved at rates of several meters per day including the North
Landslide in 1881 (Stanton 1898) and the Goddard Landslide in
1982 (Fig.91). The Ashcroft Sub, Mile 50.9 Landslide and the
active portions of the North Landslide and the South Landslide
are known to be currently moving at rates of 10 to 30 mm year.
The causes of the landslides were multiple, and at times difficult to assess, which make the prediction of an oncoming
landslide as railroad traffic is planned very uncertain. The
causal factors include (Bunce and Chadwick 2012):
weak glacio-lacustrine silt and clay;
incision of the Thompson River;
upward seepage pressures;
low strength on pre-existing failure surfaces;
river level appears to exert a controlling influence;
infiltration from irrigation.
There was also relative little information on the success
and/or failure of past remedial measures.
8.4
Risk management
Bunce and Martin (2011) developed a procedure to manage the

railroad risk associated with landslides. Factors considered in-
26
th
The monitoring system had three GPS antennae on the landslide and one stationary reference antenna. Accuracy for the
longer term 24 hour averaged data was better than 5 mm. The
landslide monitoring data revealed that the landslide moved
fastest in the spring prior to the highest river levels (Bunce and
Chadwick 2012). The GPS landslide monitoring system could
provide real time warning to approaching trains of ground
movement and possible track misalignment.
Figure 28 illustrates on a semi-log scale the costs associated
with landslides in the Ashcroft Thompson River area as a function of the return period of the landslides.
9.1
Description of the slide
During the night of 26th March 2008, a rock slope failed and destroyed a new apartment complex in Aalesund, Norway. About
1400 m3 of rock rammed in the building. The lower floors were
completely collapsed and set on fire. The entire building was
displaced by several meters. There were 20 persons in the building at the time of the collapse, and 5 persons, all from the lower
floors, died. The other residents were not injured. The accident
was tragic and affected many in Norway because of its actuality
and because it hit close to home, in the privacy of ones
apartment. Figure 29 illustrates the sliding of the rock mass in
the building already on fire and attended by firemen.
The cause of the rock slide was the presence of a plane of
weakness filled with clayey material, and the creation of additional fissures by the blasting during the preparation of the site
before the construction started. Figure 30 illustrates the plane of
weakness.
9.2
Lessons learned
The accident could have been avoided if a proper site investigation had been carried out. In particular, geophysical methods
should have been used both before and after the blasting for the
site preparation. Before the blasting, the weakness plane would
have been discovered, and bolting would then have been undertaken. The geotechnical/engineering geology site investigation
report was insufficient. This omission cost the lives of five persons. After the accident, engineering geologists studied the stability of the rock for all neighbouring buildings, and the rock
wall has been stabilized.
Figure 28. Cost of landslides for the Ashcroft Thompson River railroad
(Bunce and Quinn 2012).
The total cost was calculated as the sum of the cost of railway service interruption and the cost of the of railway revenue.
Figure 26 indicates that as soon as railway service interruption
exceeded about two to three days, the total cost became exponential. The curves show that for a landslide with return period
of only 20 years, the total cost reach an astronomical sum of
800 MCAD or more. Preventing the smaller, more frequent
landslides became therefore a priority.
On the basis of the diagram in Figure 27, it would seem justified for the stakeholder to spend about 5 to 10 MCAD in mitigation measures to avoid the damage due to a 10-year return period landslide. This was translated into a recommendation to
continue research with an additional 0.5 to $1.5 MCAD/year
and to do the stabilization of known landslides at a cost of 2 to 5
MCAD per landslide per year.
8.5
THE AALESUND SLIDE
Lessons learned
This case study presents an excellent example of risk management and decision-making under uncertainty, where the potential negative consequences on both short and longer term were
considered and a compromise solution was selected.
In one case, the decision was made to reduce the risk with
monitoring and warning to avoid the cost of mitigation with uncertain outcome, and to avoid the environmental impact of stabilizing the landslides. A GPS landslide monitoring system was
used to notify approaching trains if the ground movement has
exceeded a threshold that rendered the track impassable.
When the implications of avoiding or stabilizing landslides
are significant, this can be a viable risk reduction strategy.
However, this approach did not reduce the likelihood of a prolonged service interruption, with the ensuing costs.
With a view towards future improvements, the stakeholders
decided to invest in research and to quantify how much money
they could spend on mitigation compared to the cost on of letting the landslides occur, in order to document the costeffectiveness of mitigation and monitoring.
Figure 29. The Aalesund rock slide
Figure 30. Sliding of rock mass on weakness plane (NGI files)
27
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10 THE STOREGGA SLIDE
required for the exploitation of the field; and (2) Can smaller
slides be triggered on the steep slopes created by the Storegga
slide, and if so, would they endanger the planned offshore installations to recover the gas resources.
10.1 Description of the slide

The Storegga slide in the Norwegian Sea is one of the largest
known submarine slides on earth. The head wall of the slide
scar is 300 km long. About 3500 km3 failed from the shelf edge,
sliding out as far as 800 km in water depths as deep as 3000 m
(Fig. 31). The failure started probably some 200 km downhill
and crept rapidly up slope as the headwalls failed and slipped
down towards the deep ocean floor. At the same time, the mass
movement generated a huge tsunami that reached the shores of,
among others, Norway, Scotland and the Shetland Islands. The
sizable gas resources at the Ormen Lange filed are located in the
scar left by the giant underwater slide, beneath a relatively chaotic terrain created by the slide 8,200 years ago.
The Storegga slide was the subject of a large integrated study
for the safe development of the deepwater gas field on the North
Atlantic continental margin. In addition, the SEABED project
was launched by the partners of the Ormen Lange field (Norsk
Hydro ASA, A/S Norske Shell, Petoro AS, Statoil ASA, BP
Norge AS and Esso Exploration and Production Norway AS)
with the aim of improving the knowledge of the seafloor morphology, the shallow geology, and the potential hazards and
risks associated with the area. The project is an excellent example of the interweaving of research and practice and the cooperation of academia and industry.
10.2 Soil parameters

The reader is referred to Solheim et al (2005a; b); Kvalstad et al
(2005 a;b); Kvalstad (2007); Nadim et al (2005b) and the special issue of Marine and Petroleum Geology (Volume 22, No 1
and 2) for an account of the slide and a summary of the studies
by the parties involved.
10.3 Analysis of the landslide
Based on the studies in the SEABED project, the triggering and
sliding mechanics used the observed morphology and the geotechnical characteristics of the sediments. The average slope
angle of the seafloor was only 0.6 to 0.7. The geotechnical
properties indicated shear strengths far above those required to
explain a failure. However, the geophysical observations, especially seismic reflections profiles in the upper parts of the slide
scar, provided strong indications that the failure developed retrogressively (Fig. 32). Using the retrogressive slide model as
working hypothesis, several scenarios of sources of excess pore
pressures were considered, including (1) earthquake-induced
shear strain generating excess pore pressures, (2) melting of gas
hydrates releasing methane gas and water, (3) shear straininduced contraction with pore pressure generation and strainsoftening, and (4) rapid deposition. The studies concluded that
the most likely trigger was an earthquake destabilizing a locally
steep slope in the lower part of the present slide scar. The retrogressive process continued up-slope until conditions improved
with stronger layers associated with the consolidation of the
shelf sediments during glacial times. Once the instability
started, excess pore pressures already generated during rapid
sedimentation under the last glaciation were an important contribution to the large slope failure (Bryn et al 2005).
Figure 32. Bathymetry and seismic profiles in the upper headwall at

Ormen Lange (Kvalstad et al 2005a).
Excess pore pressures still exist at the site, as demonstrated by

in situ monitoring (Strout and Tjelta 2005). The excess pore
pressures recorded in several locations and at several stratigraphic levels support the depositional role in the Storegga failure proposed by Bryn et al 2005.
The seismic studies by Bungum et al 2005 showed that
strong, isostatically induced earthquakes had occurred earlier
along the mapped faults at the site. Stress transfer induced
earthquakes had also probably taken place earlier. Bungum et al
also suggested that multiple strong earthquakes with extended
duration most likely occurred and could be the potential trigger
for the Storegga slope instability.
The tsunami generating potential of submarine slides is today widely recognized. The tsunami studies indicated that the
field observations of run-up fitted will the retrogressive slide
model with a velocity of 25-30 m/s, and time lags of 15-20 s between individual slide blocks (Bondevik et al 2005). The slide
mass involved in the tsunami generation modelwas 2,400 km3.
Figure 31. The Storegga slide, 8,200 years BP.
The design questions that needed to be answered were: (1)

Can a new large slide, capable of generating a tsunami, occur
again, either due to natural processes or through the activities
28

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behavior and potential hazards and risks associated with the

area. The interweaving of research and practice, the cooperation
of academia and industry and the integration of the geodisciplines were essential for gaining an understanding of the
past slide and providing the possibility to develop the gas field.
Figure 33 presents an illustration to explain the sedimentation process leading to failure, which supports the hypothesis
that major slides have occurred in the Storegga area on a semiregular basis, related to the glacial/interglacial cyclicity.
The bottom illustration in Figure 33 (denoted 1) gives the
last interglacial with deposition of soft marine clays. The middle
illustration (denoted 2) presents the last glacial maximum
(LGM) with the ice at the shelf edge and deposition of glacial
sediments. The top illustration (denoted 3) presents the topography after the Storegga slide. Dating (BP, before present) is given for each illustration. The illustration denoted 3 also shows
two older slide scars that were filled with marine clays. The slip
planes were found in seismically stratified units of hemipelagic
deposits and the thick infill of stratified sediments indicate a late
glacial to early interglacial occurrence of slides (Bryn et al
2005).
The soft fine-grained hemipelagic deposits were rapidly
loaded by coarser glacial deposits during the short glaciations
period. Excess pore pressures were a destabilizing factor. The
hypothesis of strong earthquake shaking was retained to start
the underwater slide. After the earthquake initiated the movement, the slide continued retrogressively by back-stepping up
the slope where the pore pressures were already high. The mass
movement was further facilitated by the release of support at the
toe.
The stability of the present situation at Ormen Lange was
evaluated by Kvalstad et al 2005b. The conclusion was that an
extremely strong earthquake would be the only realistic triggering mechanism for new submarine slides in the area. The annual
probability of third party damage was also investigated and
found to be extremely low (Nadim et al 2005b). The project
team therefore concluded that developing the Ormen Lange gas
field could be done safely.
11 LANDSLIDE RISK MANAGEMENT

11.1 Landslide prevention in Drammen
In Norway, the hazard ere estimated on the basis of simple theoretical evaluations of the potential area that can be involved in a
quick clay slide, in combination with back-calculations of a
number of historical quick clay slides (Aas 1979).
The assessment of the risk associated with slides in sensitive
clays in Norway is a semi-quantitative approach developed for
the Norwegian Water Resources and Energy Directorate (NVE).
Slide areas are classified according to engineering scores
based on an evaluation of the topography, geology and local
conditions (to qualify hazard) and an evaluation of the elements
at risk, persons, properties and infrastructure exposed (to qualify
consequence). The risk score to classify the mapped areas into
risk zones is obtained from the relationship RS = HWS CWS,
where RS is the risk score, HWS is the weighted hazard score and
CWS is the weighted consequence score. The risk matrix is divided in five risk classes. Guidelines for the implementation of
the risk matrix are administered by NVE. In practice, the approach is used to make decisions on required mitigation measures to reduce the risk. The approach is simple and makes room
for engineering experience and judgment. For detailed regional
planning, slope stability calculations need to be made. The approach has been described in detail in Gregersen 2005; Lacasse
et al 2003; Lacasse and Nadim 2008; and Kalsnes et al 2013. A
similar procedure has been developed for sensitive clays in
Qubec (Thibault et al 2008), reflecting the experience with
large retrogressive slides in Qubec.
An example of the management of risk based on the above
scores is the preventive actions set in place in Drammen. The
city of Drammen, along the Drammensfjord and the Drammen
River, is built on soft sensitive clay. Stability analyses were
done in an area close to the centre of the city, and indicated that
some areas did not have satisfactory safety against a slope failure. Based on the results of the stability analyses and the factors
of safety (FS) obtained, the area under study was divided into
three zones, as illustrated in Figure 34:
Zone I FS satisfactory
Zone II FS shall not be reduced
Zone III FS too low, area must be stabilised
Figure 35 illustrates the mitigation done in Zone III: a counter
fill was immediately placed in the river to support the river
bank, and the factor of safety checked again. The counter fill
provided adequate stability. In Zone II, no immediate action
was taken, but a ban was placed on any new structural and
foundation work without first ensuring increased stability. Figure 36 illustrates required actions:
if an excavation is planned, the clay will have to be stabilised with e.g. anchored sheetpiling or soil stabilisation, for
example lime-cement piles;
if new construction is planned, the engineer needs to check
the effects of the change on the stability down slope: e.g.
adding a floor to a dwelling may cause failure because of
added driving forces; or new piling up slope can cause an
increase in pore pressures and a driving force on the soil
down slope.
With such an approach, focus is set on the need for mitigation
rather than as the risk and potential for failure.
Figure 33. Deposition and sliding processes (Bryn et al 2005).
10.4 Lessons learned

The documentation of the feasibility of pipeline installation
across the Storegga slide would not have been possible without
the integrated inter- and cross-disciplinary study of the development, now without the conscious effort to improve knowledge on seafloor morphology, shallow geology, geotechnical
29
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11.2 The SafeLand Project
Figure 34. Classification of hazard zones in Drammen (FS = safety factor) (Gregersen, 2008).
Figure 35. Mitigation in hazard Zone III in Drammen.
The need to protect people and property in view of the changing

pattern of landslide hazard and risk caused by climate change
and changes in demography, and the need for societies in
Europe to live with the risk associated with natural hazards,
formed the bases for the 2009-2012 SafeLand project Living
with landslide risk in Europe: Assessment, effects of global
change, and risk management strategies.
SafeLand was an integrating research project under the
European Commissions 7th Framework Programme. The project involved 27 partners from 12 European countries, and had
international collaborators and advisers from China, India,
USA, Japan and Hong Kong. SafeLand also involved 25 EndUsers from 11 countries. SafeLand was coordinated by NGIs
Centre of Excellence International Centre for Geohazards
(ICG) (http://safeland-fp7.eu/). Nadim and Kalsnes (2014) present the results of the project in more detail. The objectives
achieved in the SafeLand project include:
Guidelines related to landslide triggering processes and runout modelling.
Development and testing of empirical methods for predicting the characteristics of threshold rainfall events for triggering of precipitation-induced landslides, and development
of an empirical model for assessing the changes in landslide
frequency (hazard) as a function of changes in the demography and population density.
Guidelines for landslide susceptibility, hazard and risk assessment and zoning.
New methodologies for the assessment of physical and societal vulnerability.
Identification of landslide hazard and risk hotspots in
Europe. The maps show the location of the areas with highest landslide risk and allow a ranking of the countries by
exposed area and population.
Simulation of regional and local climate change over regions of Europe at spatial resolutions of 10 x 10 km and 2.8
x 2.8 km. The simulations were used for an extreme value
analysis of trends in heavy precipitation events, and subsequent effects on landslide hazard and risk.
Guidelines for the use of remote sensing, monitoring and
early warning systems.
Development of a prototype web-based "toolbox of innovative mitigation measures. The toolbox does a preliminary
assessment of the appropriateness of the measures and a
ranking of over 60 structural and non-structural landslide
risk mitigation options.
Case histories and "hotspots" of European landslides were
collected and documented. Data for close to fifty potential
case study sites (Italy, France, Norway, Switzerland, Austria, Andorra, and Romania) were compiled. Almost all
types of landslide and types of movement were represented.
Stakeholder workshops and participatory processes to involve the population exposed to landslide risk in the selection process for the most appropriate risk mitigation measure(s).
11.3 Slope safety in Hong Kong
Figure 36. Mitigation and preventive measures in Zone II in Drammen.
The best example worldwide of a comprehensive and effective

program of risk management for landslides is probably the slope
safety program administered by the Geotechnical Engineering
Office (GEO) of the Civil Engineering and Development Department in Hong Kong. The Slope Safety System has seven
main targets:
Improve slope safety standards, technology, and administrative and regulatory frameworks.
Ensure safety standards of new slopes.
30
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formation within each of the organizations was insufficient;

control of the information given to the media was problematic
(it was not possible to check the wording with the journalists);
making notes and looking at maps in a high pressure context
proved very difficult; how could the private actors doing emergency work/repair ensure that they had a contract (and would be
paid for their work); the authorities should create an emergency
group, and invite wide participation; a logistical and communication tool should be developed for crisis situations and made
available to all stakeholders; the need for frequent preparedness
exercise, as the people change in each of the organisations involved; and some of the routines in the governmental handbooks needed to be updated.
Rectify substandard Government man-made slopes.

Maintain all Government man-made slopes.
Ensure that owners take responsibility for slope safety.
Promote public awareness and response in slope safety
through public education, publicity, information services
and public warnings.
Enhance the appearance and aesthetics of slopes
Hong Kong has a history of tragic landslides. Since 1947, more
than 470 people died, mostly as a result of failures associated
with man-made cut slopes, fill slopes and retaining walls. Today, the risk to the community has been greatly reduced by concerted Government action. On average, about 300 incidents affecting man-made slopes, walls and natural hillsides are
reported to the Government each year.
To reduce landslide risk, GEO assures the operation of a 24hour year-round emergency service by geotechnical engineers
to protect the public, investigates all serious landslides, and with
this experience continuously improves its knowledge and standards. GEO also audits the design and supervision of construction of all new slopes to ensure that they meet the required
safety standards, upgrades substandard slopes based on a priority matrix and takes steps to ensure that private owners take
responsibility for their own slopes through safety screening.
Natural terrain studies and risk mitigation actions are carried
our continuously.
In addition, GEO undertakes extensive public education on
personal safety precautions in order that the community can be
better informed on how to protect themselves during periods of
intense rainfall when landslides are likely to occur. There is also
a program to assess squatter villages for clearance of squatter
huts and to provide guidance to the residents on landslide risk
and self-protection. Complementary to enhancing the stability
of slopes, GEO also gives priority to beautifying the slopes, either by making them look as natural as possible or blending
them with the surroundings. Technical guidelines have been issued on good practice in landscape treatment and bioengineering for slope work.
11.5 Recent developments

11.5.1 Mapping tool for quick clays
Geophysical methods, especially Electric Resistivity Tomography, have emerged as reliable tools for quick clay mapping, as
witnessed at several quick clay sites in Norway (Pfaffhuber et al
2012). When combined with borehole data and electric resistivity cone penetrometer data, the methods are also cost-effective.
Geochemical analysis also demonstrated that changes in resistivity are directly related to changes in clay salt content, and related to clay sensitivity. The usefulness of geophysical investigations offshore for the determination of the soil characteristics
and correlation of layers has already been demonstrated in offshore work in deep waters.
11.5.2 Mitigation
The United Nations International Decade for Natural Disaster
Reduction (1990-2000) to reduce loss of life, property damage
and social and economic disruption caused by natural disasters,
was the start of international concerted actions.
Mitigation and prevention of the risk posed by landslides,
however, did not attract widespread and effective public support
in the past. The situation has changed dramatically during the
past decade, and it is now generally accepted that a proactive
approach to risk management is required to significantly reduce
the loss of lives and material damage associated with natural
hazards. The wide media attention on major natural disasters
during the last decade has clearly changed people's mind in
terms of acknowledging risk management as an alternative to
emergency management. A milestone in recognition of the need
for natural disaster risk reduction was the approval of the
"Hyogo Framework for Action 2005-2015: Building the Resilience of Nations and Communities to Disasters" (ISDR 2005).
This document, approved by 164 UN countries during the
World Conference on Disaster Reduction in Kobe in January
2005, defines international working modes, responsibilities
In the 20th century, the economic losses from natural hazards
were greatly underestimated, the awareness of hazards and risk
was insufficient, and the mitigation and regulation to avoid
damage and loss was inadequate. Since 2005, the awareness of
the need for mitigation of natural hazards has greatly increased.
On the other hand, since the 80's, hazard and risk assessment of
the geo-component of a system has gained increased attention.
The offshore, hydropower, nuclear and mining industry were
the pioneers in applying the tools of statistics, probability and
risk assessment. Gradually, environmental concerns and natural
hazards started implementing hazard and vulnerability assessment. Nowadays the notion of hazard and risk is a natural question in most geotechnical engineering aspects and even project
management.
11.4 Preparedness
NVE organized in 2010 an exercise in landslide preparedness,
and the Norwegian Directorate for Civil Protection and Emergency Planning (DSB) in 2013. The first exercise simulated a
quick clay landslide of national dimension with fatalities. The
second assembled a group of experts to establish the premises
for the national risk that could be posed by quick clay slides.
Worst case scenario, estimates of hazard and vulnerability and
valuation of the consequences were discussed by the different
stakeholders involved. The results will become available in June
2013.
The NVE simulation in 2010 was made as realistic as possible with the participants not knowing beforehand what to expect
and having one party simulate fatalities. The participants were
briefed of the exercise ahead of time, but they did not know the
details of what was to happen. A majority of stakeholders were
invited, including authorities, police, private actors and media,
in addition to the technical instances required in such emergency situation. The exercise aimed at improving the parties
ability to respond under pressure in a complex context, and
making decisions under critical conditions. The emergency routines, information channels and response tools in each of the
participating organizations were tested. The exercise also tested
who took responsibility for the decisions made, and whether the
parties had the same understanding of the respective responsibility and roles.
An evaluation report was prepared with, among others, lessons learned: the respective roles and responsibility should be
more clearly defined and communicated to all parties; not everyone received the required information in time and internal in-
12 THE SIGNIFICANCE OF SAFETY FACTOR

The factor of safety against instability is a measure of how far a
slope may be from failure. Factors of safety are applied to compensate for uncertainties in the load, resistance and parameters
31
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Increase in driving forces

increase in external loads;
pore pressure in weakness zones;
frost in fissures;
increase in unit weight due to rainfall;
excavation or erosion at toe of slope;
lowering of water table;
earthquake loading.
Figure 39 illustrates the development of a progressive failure in
a strain-softening soil. The displacement along the slip surface
varies between the toe and the top of the slope. One therefore
needs to include strain compatibility in the analyses.
thereof, and model used for the calculation. The factor of safety
is often expressed as the ratio of the resisting forces to the driving forces. For a slope to be stable, the stabilizing forces (moments) should be larger than the driving (destabilizing) forces.
If there was no uncertainty in the safety factor, a safety factor of 1.05 would be sufficient. However there is uncertainty in
nearly all the parameters that enter the analysis of the stability
of a slope. There will therefore always be a finite probability
that the slope will fail. Defining the level of the finite probability that is tolerable is the challenge. The geotechnical engineer
should provide insight in this discussion.
Figure 37 illustrates with probability density functions the
notion that factor of safety alone is not a sufficient measure of
the margin of safety. The figure gives the probability density
function (PDF) for two slopes. The first has a central FS (or SF
based on mean values) of 1.4 and a probability of failure, Pf, of
10-4 per year. The probability of failure is illustrated by the area
ace where the factor of safety can be less than unity. The second
slope has a more diffuse PDF, has a higher FS of 1.8, but also a
higher probability of failure, Pf, of 10-3 per year (zone aed). In
order to select a suitable factor of safety, one therefore needs to
estimate the uncertainties involved. There exists no relationship
between safety factor based on limit equilibrium analysis and
annual probability of failure. Any relationship would be sitespecific and depend on the uncertainties in the analysis.
Figure 38. Brittle and strain-softening material
Figure 37. Factor of safety and probability of failure.
The safety factor should not be a constant deterministic

value, but should be adjusted according to the level of uncertainty. Ideally, given time and money, one could calibrate the
required safety factor for different classes of slopes, soils and
failure types that would ensure a target annual probability of
failure of for example 10-3 or 10-4 per year.
In most cases, after a slide has occurred, it is difficult to determine a unique trigger for the slide. Whether a material is ductile or brittle (Fig. 38) is a very important factor that causes uncertainty in the shear strength to use and how well the failure
mechanism of the slope is captured and modelled in the stability
analyses. The strain-softening of the brittle material is especially problematic, as it will show reduced resistance once a
threshold shear deformation has been exceeded (b in Fig. 38).
The stability conditions are especially difficult to analyse, e.g.
for the Vestfossen and the Kattmarka landslides.
Landslides can be triggered by natural causes (geological,
geomorphological or hydrological/meteorological processes) or
by human intervention. Triggers can be:
Reduction of soil resistance:
increase in pore pressure (artesian pressure, rainfall etc);
cracks on top of slope;
swelling;
chemical changes;
reduction of shear strength towards residual strength;
creep deformations;
vibrations with temporary increase in pore pressure;
rainfall (intensity and duration).
Figure 39. Illustration of progressive failure.
For sensitive clays in Norway, the average mobilized shear

stress along different slip surfaces is compared with the corresponding characteristic average shear strength divided by a material coefficient, M.
The requirement in Norway for the material coefficient M is
1.4 (NVE 2011), and this M should be used in design. However,
for an existing (standing) slope with a material coefficient less
than 1.4, NVE requires that the back-calculated material coefficient should be increased, but not necessarily to as much as 1.4.
Figure 40 illustrates the NVE requirement.
The required M is a function of the initial back-calculated
material coefficient and the improvement required. The improvement required depends on the hazard class (NVE 2011).
The upper diagram in Figure 40 gives the minimum required increase in material coefficient M, (in %), for two levels of slope
improvement: Substantial improvement required and Improvement required. The lower diagram provides the resulting
32

th
required M. The improvements are to be made through topographical modifications. As an example (lower diagram), for an
initial M of 1.2, an improvement from M = 1.2 to M = 1.26 and
1.29 is required by NVE (2011) for the two levels of improvement specified. Standing slopes with a material factor M of 1.0
require an improvement up to M = 1.10 and 1.15 for the two
levels of improvement specified by NVE.
The reason for allowing a material coefficient less than 1.4 is
that the fact that the slope is standing today is a confirmation
that the slope has a material coefficient of at least 1.0. Any improvement therefore represents a real gain to the present safety
of the slope. The NVE requirement needs to be satisfied for all
potential slip surfaces.
For sensitive clays, the peak undrained shear strength is reduced in limit equilibrium analyses to account for strainsoftening at large shear strains. A reduction of 10 to 15% in the
peak shear strength in triaxial compression, triaxial extension
and direct simple shear may be adequate, as discussed under the
Vestfossen case study. However a reduction factor should
probably be developed for different categories of clays and slip
surfaces..
The geotechnical engineer should be aware that it is more

correct and safer to ensure that slopes have the same probability
of failure rather than the same factor of safety.
Mitchell and Kavazanjian (2007) presented Geo-engineering Engineering for the 21st Century. On request from the National Science Foundation in the USA, an expert committee suggested a vision for how geo-engineering could continue to
address societal needs in the 21st century, and identified emerging technologies that could contribute to this vision. Mitigation
of natural hazards was one of the areas identified. Emerging
technologies included:
An improved ability to see into the earth and interpret
geophysical surveys.
Improved sensing and monitoring, more reliable instrumentation, enhanced data acquisition, processing and storage,
and appropriate information systems.
Improved ability to characterize the spatial variability of
soil properties and the uncertainty in the assessments made.
In addition, inter- and cross-disciplinary problem-solving is essential for advancing in the practice of geo-engineering. More
emphasis must be placed on inter-disciplinary collaboration, in
research, consulting and education.
The expertise of geotechnical engineers is essential for meeting the challenge of protecting society, worldwide. Safety and
life quality depends on our profession. We must however avoid
being unaware of the impact of the work we do as engineers. To
paraphrase Siegel (2010): civil engineers built the countries we
live in. Civil engineers make a difference in the world: When
we flip a switch, the lights come on. When we turn on the tap,
we trust that the water is clean and potable. When we drive
home from work, we trust the roads will not collapse. Over the
last 100 years, life expectancy has doubled. The main factor has
not been advances in medicine, but advances in clean water
technology and sanitation. Civil engineers are solving the
worlds problems every day.
In closing this 8th Terzaghi Oration, I return to Professor
Ralph B. Peck, who early in his career, already defined the civil
engineers role in a most adequate manner. The key to success
and happiness, in his view, was [...] a love of civil engineering,
which, at its core, seeks to do 'good works' for humanity. In
view of todays needs and our professions evolution, Ralph
could not have been more right.
1.5
Substantialimprovementrequired
Initialmaterialcoefficient,,M
1.4
Improvementrequired
1.3
1.2
1.1
1.0
0
10
11
12
13
14
15
MinimumimprovementinFSrequired throughtopographicalmodifications(%)
RequiredM afterimprogvement
1.5
1.4
14 ACKNOWLEDGMENTS
1.3
The author wishes to thank President Jean-Louis Briaud for selecting

her to be the 2013 Terzaghi Orator. The author is also thankful to NGI
for the opportunities it gave her throughout her career. The author is indebted to many colleagues who provided data and information for the
case studies, especially Dr Hans-Peter Jostad, Hkon Heyerdahl, Bjrn
Kalsnes Dr Maarten Vanneste, Arnstein Aarset, Dr Farrokh Nadim, Odd
Gregersen, Dr Andi A Pfaffhuber,Tim Gregory and Dr Kaare Heg, all
from NGI. The assistance and prompt reply to my questions from Professor Steinar Nordal, from NTNU, Dr Denis Demers and his colleagues
at Ministre des Transport du Qubec and Dr Chris Bunce from Canadian Pacific are also greatly appreciated.
1.2
1.1
Substantialimprovementrequired
Improvementrequired
1
1
1.1
1.2
1.3
1.4
1.5
Initialmaterialcoefficient, M
Figure 40. Required increase in material coefficient (top diagram, NVE

2011) and resulting required material coefficient (lower diagram) for an
existing (standing) slope.
15 REFERENCES
Aas G. 1979. Skredfare og arealplanlegging. Vurdering av faregrad og
sikringstiltak. Ullensvang Hotell, Lofthus i Hardanger. Norske
sivilingenirers forening. Oslo: NIF, 1979. 1. b.
Berre T., Lunne T., Andersen, K.H., Strandvik, S.O., Sjursen 2007. Potential improvements of design parameters by taking block samples
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34
th
Bishop
Bishop Lecture
lecture
Advanced laboratory testing in research and practice
Confrence Bishop
Les essais en laboratoire avancs dans la recherche et dans l'industrie
Jardine R. J.
Imperial College London, UK
ABSTRACT: This lecture demonstrates the special capabilities and practical value of Advanced Laboratory Testing, focusing on its
application in advancing the understanding and prediction of how driven piles function and perform in sand. Emphasis is placed on
integrating laboratory research with analysis and field observations, drawing principally on work by the Author, his colleagues and
research group. The laboratory studies include highly instrumented static and cyclic stress-path triaxial experiments, hollow cylinder
and ring-shear interface tests and micro-mechanical research. Soil element testing is combined with model studies in large laboratory
calibration chambers, full-scale field investigations and numerical simulations to help advance fundamental methods for predicting pile
behaviour that have important implications and applications, particularly in offshore engineering.
RSUM: Cet expos dcrit les possibilits offertes par les essais en laboratoire de pointe, et en particulier sur leurs apports dans la
comprhension et la prvision du comportement des pieux battus dans du sable. L'accent est mis sur lintgration entre les essais en
laboratoire et les observations sur le terrain, partir des travaux de l'Auteur, ses collgues et leur groupe de recherche. Les essais dcris
incluent des essais triaxiaux statiques et cycliques avec des appareils surquips, des essais au triaxial cylindre creux, des tudes
d'interfaces pieu/sable l'aide d'appareils de cisaillement annulaire et des recherches sur la micro-mcanique. Les essais en laboratoire
sont combins des expriences en chambre de calibration, des tudes grandeur nature sur site et des simulations numriques afin
d'aider l'amlioration des mthodes de prvision du comportement des pieux, qui ont des consquences importantes en pratique,
notamment pour l'industrie offshore.
KEYWORDS: Sand; laboratory element tests; non-linearity anisotropy breakage time-dependence; driven piles; field and model tests
MOTS-CLS: Sable ; tests lmentaires en laboratoire; non-linearit, anisotropie, fragmentation; comportement en fonction du temps;
pieu battu; pieu fonc; tests sur le terrain
1
INTRODUCTION
The Bishop Lecture was inaugurated by Technical Committee

TC-101 (formerly TC-29) of the ISSMGE, honouring the legacy
of Professor Alan Bishop (1920-1988), the leading figure of his
generation in geotechnical laboratory experiments and
equipment design. Bishop was well known for his meticulous
attention to detail, analytical rigour and application of
fundamental research in civil engineering practice. His
contributions to soil sampling and testing were summarised in
the last major keynote he gave, at the Stockholm ICSMFE;
Bishop 1981. Similarly admirable attributes were clear in the
first Bishop Lecture presented by Tatsuoka 2011, making the
invitation to deliver the 2nd Lecture both a considerable
challenge and a poignant honour for this former student of
Bishop and Skempton. The lives, work and archived papers of
the latter two pioneers are described together in a website hosted
by Imperial College: www.cv.ic.ac.uk/SkemArchive/index.htm.
Our key aim is to demonstrate the special capabilities and
practical value of Advanced Laboratory Testing, mirroring
Bishops work and TC-101s intent in the International
Symposia (IS) it convened in Hokkaido 1994, London 1997,
Torino 1999, Lyon 2003, Atlanta 2008 and Seoul 2011. We
focus on the mechanics of piles driven in sand, a practical
problem that was thought fully resistant to theoretical
refinement by Terzaghi and Peck 1967. The illustration draws
principally on work by the Author, his colleagues and research
group. In keeping with Bishops approach, emphasis is placed on
integrating laboratory research, analysis and field observation.
The selected topic is significant industrially. Pile stiffness,
capacity, cyclic response and long-term behaviour can be
critically important to, for example, wind-turbine foundations.
However, the key geomechanics issues are complex and cannot
35
be addressed fully or reliably with currently available

conventional design tools. Database studies and prediction
competitions have quantified the significant biases and scatters
associated with conventional practice. The Coefficients of
Variation (CoV) established by contrasting axial capacity
predictions with field tests typically fall around 0.5 to 0.7. Some
methods predictions scatter around half the measurements while
others tend to double the test values (Briaud and Tucker 1988).
The capacity CoVs can be halved and biases largely eliminated
by applying modern offshore methods (Jardine et al 2005b,
Lehane et al 2005). But displacement predictions remain
unreliable under axial, lateral or moment loads. It is also unclear
how cyclic or extended loading should be considered: Kallehave
et al 2012, Jardine et al 2012. Improving understanding and
predictive ability will benefit a broad range of applications,
especially in offshore energy developments.
The Authors research with displacement piles in sand
started with highly instrumented field model piles at Labenne
(SW France, Lehane et al 1993) and Dunkerque (N France,
Chow 1997), where full-scale testing followed. We review some
of the full-scale test results below before considering new
research prompted by some surprising and significant results.
The Dunkerque profile comprises medium-dense fine-tomedium clean silica Holocene marine sand overlain by hydraulic
sand fill. Jardine et al 2006, Jardine and Standing 2012 and
Rimoy et al 2013 give details of the geotechnical profiles, pile
driving records and testing methods. Static and cyclic axial
loading tests were conducted on multiple piles, including six
19.3m long 457mm outside diameter driven steel pipe-piles: R1
to R6. Static axial testing involved a Maintained-Load (ML)
procedure where load (Q) was applied initially in 200 kN steps
that reduced as the tests progressed. Loads were held constant
th
until creep rates slowed to pre-set limits; the piles took between
several hours and 1.5 days to reach failure. More rapid ML
tension tests that achieved failure with an hour were also
conducted after cyclic loading experiments. Testing rate was
found to affect displacements but have little influence on shaft
capacity. The cyclic tests were controlled to deliver
approximately sine-wave load variations at 1 cycle/minute.
The static testing investigated, among other factors, the
effects of pile age after driving. Figure 1 presents tension tests
on three identical piles that were aged for 9 to 235 days before
being failed for the first time. We note:
The load displacement (Q ) curves are practically

identical up to Q 1 MN but then diverge to show marked
increases in Qult (the ultimate load shaft capacity) with age.
Creep displacements (d/dt when dQ/dt = 0) were negligible
until Q > 1 MN after which creep became progressively
more important, finally dominating as failure approached.
Load-displacement behaviour was highly non-linear. The

overall pile head secant stiffnesses k = Q/ all fell as loading
continued with no discernible linear-elastic plateau. This
feature is highlighted in Fig. 2 with data from 1st time tension
tests on five R piles. The pile stiffnesses, kl, are normalised by
kRef, the value developed under QRef - the first (200 kN) load
step. The loads Q are normalised by QRef.
An objective assessment was made of how well the

Dunkerque pile tests could be predicted by well-qualified
engineers by inviting entries to an open competition that
concentrated on the static and cyclic tests conducted 80 days
after driving; Jardine et al 2001a. Over 30 (many prominent)
international practitioners and academics took part, sending in a
wide spread of predictions. The axial capacity estimates
confirmed the expected CoV of 0.6, as well as significant bias;
the stiffness predictions were similarly spread.
No competitor was prepared to predict the cyclic test
outcomes; some indicated that cycling should have no effect in
clean sand. Figure 3 illustrates the field outcomes in a cyclic
failure interaction diagram. The conditions under which 13 tests
ended in failure and one developed a fully stable response are
summarised by plotting the normalised cyclic load amplitude
Qcyc/Qmax static against the average mid-cycle load Qmean/Qmax static
where Qmax static = QT current tension capacity. If cycling and
testing rate had no effect, then failures should lie on the top-left
to bottom-right diagonal static capacity line: Qcyc + Qmean = QT
in Fig. 3. However, the cyclic test failure points all fell well
below this limit, proving a negative impact that grew directly
with Qcyc/Qmean. High-level two-way (tension and compression)
cycling could halve shaft capacity within a few tens of cycles.
Rimoy et al 2013 discuss the piles permanent displacement
and cyclic stiffness trends, noting also that their non-linear cyclic
stiffnesses depended primarily on Qcyc/QT and did not vary
greatly with the number of cycles (N) until failure approached.
The permanent displacement trends were more complex,
depending also on Qmean/QT and N. Interactions were seen
between the piles ageing and cyclic behaviours: low-level
cycling accelerated capacity growth while high-level cycling
slowed or reversed the beneficial capacity trend.
Fig. 1. Load-displacement curves from first-time tension failures on

Dunkerque piles R1, R2 and R6: Jardine et al 2006
1.0
0.8
Fig. 3. Axial cyclic interaction diagram for fullscale cyclic tests on piles
driven at Dunkerque: Jardine & Standing 2012
0.6
kl/kRef
We consider below eight research themes that addressed the

shortfalls in understanding revealed by the Dunkerque tests:
0.4
0.2
0.0
0
R2 - R6
10
15
20
Q/QRef
Fig. 2. Stiffness load-factor curves from 1st time tests at Dunkerque
conducted (except R6) around 80 days after driving: Rimoy et al 2013
36
1. Characterising the sands true stress-strain relationships,

correlating advanced laboratory and in-situ measurements.
2. Checking, through Finite Element (FE) modelling, whether
laboratory-based non-linear predictive approaches led to
better matches with full scale behaviour.
3. Stress-path laboratory testing programmes that investigated
creep and ageing trends.
4. Studying the stress conditions imposed by pile installation
through highly instrumented Calibration Chamber tests.
5. Grain-crushing and interface-shear zone studies involving
high pressure triaxial, ring-shear and laser particle analysis.
6. Quantitative checking against advanced numerical analyses.

th
7. Model-pile Calibration Chamber cyclic loading experiments.

8. Cyclic soil element tests to replicate pile loading conditions.
Percentage fine by weight (%)
100
A common theme is that sands show strong non-linearity,

plasticity and time dependency from very small strains and have
markedly anisotropic properties. It is argued that their overall
responses can be understood within a critical state soil
mechanics framework, provided that the above features are
accommodated and the importance of particle breakage is
recognised, especially under high pressures and within abrading
shear bands. Space constraints limit the details that can be
reported for the various studies cited, or the reviews that can be
made of research by other groups. However, PhD theses and coauthored articles are cited to cover the main omissions.
80
60
40
Dunkerque, Kuwano(1999)
new-HRS Kuwano (1999)
NE34, Yang et al. (2010)
TVS, Rimoy & Jardine (2011)
20
0
0.01
0.1
10
Particle size (mm)
Fig. 4. Summary of particle size distributions for granular media

employed in reported laboratory research
CHARACTERISING STRESS-STRAIN BEHAVIOUR
Bishop recognised at an early stage that geotechnical stressstrain measurements are constrained heavily by equipment
capabilities. ISSMGE Technical Committee 29 (now TC-101)
was set up to coordinate advanced laboratory developments,
leading to a review of apparatus, sensors and testing strategies by
Tatsuoka et al 1999. The hydraulic stress path cells and Hollow
Cylinder Apparatus (HCA) advocated by Bishop and Wesley
1974 and Bishop 1981 allow in-situ stress conditions to be
imposed and studies made of shear strength anisotropy; see for
example Hight et al 1983 and Shibuya et al 2003a,b. Burland and
Symes 1982 and Jardine et al 1984 went onto show that endbedding, sample tilting and compliance caused very large errors
in conventional geotechnical strain measurements that often led
to completely misleading soil stiffness characteristics. Local
strain sensors or dynamic non-destructive techniques are
required to obtain representative data: see Tatsuoka et al 1999.
Laboratory research with such equipment that contributed to
the first phase of research that advanced the Dunkerque
agenda included the PhD studies of Porovic 1995, who worked
with a Resonant Column (RC) equipped HCA and Kuwano 1999
who developed dual-axis Bender Elements (BE) and enhanced
resolution local strain sensors for stress-path triaxial tests.
Porovic worked mainly with Ham River Sand (HRS), a silica
sand graded from Thames Valley gravels that has been tested
since Bishops arrival at Imperial College and is now known
generically as Thames Valley Sand (TVS); Takahashi and
Jardine 2007. Kuwano studied Dunkerque sand, spherical glass
ballotini and HRS; Connolly 1998 undertook RC and HCA
experiments on Dunkerque sand. The sands were tested saturated
after pluviation to the desired initial void ratios; Table 1 and Fig.
4 summarise their index properties. Figures 5 to 7 illustrate the
apparatus employed in this first period of sand research. We
consider studies with the Thames Valley (TVS) and French
Fontainebleau NE34 sands later in the paper.
Table 1. Index properties of silica sands employed in laboratory studies.
Sand
d10
Specific
gravity (Gs) (mm)
d50
(mm)
d90
(mm)
Cu
emax
emin
Dunkerque
2.65
0.188
0.276
0.426
2.27
0.97
0.51
NE34
2.65
0.150
0.210
0.230
1.53
0.90
0.51
HRS
2.66
0.190
0.283
0.312
1.64
0.85
0.55
TVS
2.66
0.160
0.250
0.265
1.67
0.85
0.55
Fig. 5. Automated hydraulic stress path triaxial cell for 100mm OD

specimens employed to investigate non-linear, anisotropic, pressure and
time-dependent stiffness of sands: Kuwano and Jardine 1998, 2002a
37
3
th
Fig. 6. Bender element configuration to investigate stiffness of sands:

Kuwano and Jardine 1998, 2002a
Displacement
Transducer
Bellofram cylinder
Ram
Clamp
Sprocket and torque
transmission chain
Stepper motor for
torsion
Rotary tension cylinder
Hardin oscillator
Tie rod
Proximity transducers
Cam
Acrylic chamber wall
Specimen
(Y1) true yield surface that is dragged with the current effective
stress point, growing and shrinking with p and changing in
shape with proximity to the outer, Y3 surface; Jardine 1992. The
latter corresponds to the yield surface recognised in classical
critical state soil mechanics. Behaviour within the true Y1 yield
surface is highly anisotropic, following patterns that evolve if K,
the ratio of the radial to vertical effective stress (K = r /z),
changes. Plastic straining commences once the Y1 surface is
engaged and becomes progressively more important as straining
continues along any monotonic path. An intermediate kinematic
Y2 surface was identified that marks: (i) potential changes in
strain increment directions, (ii) the onset of marked strain-rate or
time dependency and (iii) a threshold condition in cyclic tests (as
noted by Vucetic 1994) beyond which permanent strains (or p
reductions in constant volume tests) accumulate significantly.
The Y3 surface is generally anisotropic. For example, the
marked undrained shear strength anisotropy of sands has been
identified in earlier HCA studies (Menkiti 1995, Porovic 1995,
Shibuya et al 2003a,b) on HRS. The surface can be difficult to
define under drained conditions where volumetric strains
dominate. Kuwano and Jardine 2007 suggested that its evolution
could be mapped by tracking the incremental ratios of plastic to
total strains. They also suggested that the Phase Transformation
process (identified by Ishihara et al 1975, in which specimens
that are already yielding under shear in a contractant style could
switch abruptly to follow a dilatant pattern) could be considered
as a further (Y4) stage of progressive yielding. Jardine et al
2001b argue that the above in-elastic features can be explained
by micro-mechanical grain contact yielding/slipping and force
chain buckling processes. The breakage of grains, which
becomes important under high pressures, has also been referred
to as yielding: see Muir-Wood 2008 or Bandini and Coop 2011.
HCA testing is necessary to investigate stiffness anisotropy
post-Y1 yielding; Zdravkovic and Jardine 1997. However, crossanisotropic elastic parameter sets can be obtained within Y1 by
assuming rate independence and combining very small-strain
axial and radial stress probing experiments with multi-axis shear
wave measurements. Kuwano 1999 undertook hundreds of such
tests under a wide range of stress conditions, confirming the
elastic stiffness Equations 1 to 5. Ageing periods were imposed
in all tests before making any change in stress path direction to
ensure that residual creep rates reduced to low proportions
(typically <1/100) of those that would be developed in the next
test stage. Note that the function used to normalise for variations
in void ratio (e) is f (e) = (2.17 e)2/(1 + e).
Eu f ( e ). Au . p / pr
(1)
Bu
E v' f (e). Av . v' / p r
Load cell
Cv
(2)
(3)
E h' f ( e). Ah . h' / p r
Outer cell and pore water

pressure transducers
Gvh f (e). Avh . v' / pr
Dh
Ghh f (e). Ahh . v' / p r
Cvh
Chh
'
h
/ pr
'
h
/ pr
Dvh
(4)
(5)
Dhh
To foundation
Fig. 7. Schematic arrangements of Resonant-Column HCA system

employed to test sands: Nishimura et al 2007
Kuwano and Jardine 1998, 2002a,b noted the high sensor

resolution and stability required to track sands stress-strain
responses from their (very limited) pseudo-elastic ranges through
to ultimate (large strain) failure. Even when the standard
deviations in strain measurements fall below 10-6, and those for
stresses below 0.05kPa, multiple readings and averaging are
required to establish initial stiffness trends. Highly flexible
stress-path control systems are also essential.
Kuwano and Jardine 2007 emphasise that behaviour can only
be considered elastic within a very limited kinematic hardening
38
The terms Aij, Bij, Cij and Dij are non-dimensional material
constants and pr is atmospheric pressure. With Dunkerque sand
the values of Bu and the sum [Cij + Dij] of the exponents
applying to Equations 1 to 5 fell between 0.5 and 0.6. The
equations are evaluated and plotted against depth in Fig. 8
adopting Kuwanos sets of coefficients (Aij, Bij, Cij and Dij)
combined with the Dunkerque unit weight profile, water table
depth and an estimated K0 = 1 sin for the normally
consolidated sand. A single void ratio (0.61) has been adopted
for this illustration that matches the expected mean, although the
CPT qc profiles point to significant fluctuations with depth in
void ratio and state. Also shown is the in-situ Gvh profile
measured with seismic CPT tests and DMT tests conducted by
the UK Building Research Establishment (Chow 1997).
th
The sands marked quasi-elastic stiffness anisotropy is

clearly evident. Under OCR = 1, K0 conditions the E'v/E'h ratio is
~ 1.7 while E'v/Gvh ~ 3.9. The pattern of anisotropy varies with
OCR and applied K ratio. The field quasi-elastic seismic CPT
Gvh profile matches that from HCA Resonant Column tests by
Connolly 1998 and falls marginally (12%) above Kuwanos
Bender Element Gvh profile.
100
200
Elastic stiffness, MPa

300
400
500
700
10
15
20
25
Fig 8. Quasi-elastic stiffness component profiles at Dunkerque. Seismic

CPT Gvh profile also shown: Jardine et al 2005a
Dunkerque dense sand secant shear stiffness data OCR=1
1400
Legend:
Curve used for FE analysis
TC test curve OCR=1
TE test curve OCR=1
TS test curve for OCR=1
1200
1000
COMPARING LABORATORY_BASED PREDICTIONS

WITH FIELD BEHAVIOUR
The degree of match between laboratory and field stiffness

trends was investigated through fully non-linear FE simulations
with the code ICFEP (Potts and Zdravkovic 1999, 2001).
Several of the 80 day Dunkerque tests were modelled. The key
aspects emphasised by Jardine et al 2005a were:
Legend:
Eu from TXC tests
E`v from TXC tests
E`h from TX tests
Gvh from TX BE tests
Ghh from TX BE tests
Gvh from field seism. CPT tests
Depth, m
600
and anisotropic behaviour of geomaterials and how they respond

to the general stress paths applied by field foundation loading.
G/p'
800
Meshing to accommodate eight density sub-layers, based

on pile-specific CPTs, with bulk unit weights varying above
and below the water table from 17.1 to 20 kN/m3.
Following triaxial and direct shear tests by Kuwano 1999,
peak values ranging between 35o and 32o for the denseto-loose sand sub-layers, dilation angles = /2 and a
single pile-sand interface shear angle = 28o.
Non-linear shear and bulk stiffnesses curves fitted to
laboratory test data with simple effective stress functions
from Jardine and Potts 1988 (after Jardine et al 1986).
Noting that pile loading imposes vertical shearing on the
shaft and axial loading at the base, a normalised dense
shear stiffness relationship was selected that was biased
towards the OCR = 1 torsional shear HCA curve in Fig. 9.
A normalised dense bulk stiffness-volume strain curve
fitted from Kuwanos swelling/re-compression tests and
adjusted to meet K0 swelling effective stress path checks.
Softer stiffness curves (factored by 0.8) for the thin
organic loose sub-layers identified from the CPT traces.
Effective stress regimes that were simplified to give
constant stress ratios r/z0 near the pile shaft within each
block (where z0 is the undisturbed vertical effective stress)
that decayed monotonically out to far-field K0 values. The
shaft radial stresses were derived following the Jardine et al
2005b procedures, adjusted to account for the piles 80 day
ages. Estimates for how /z0 and z/z0 varied at points
away from the shaft could only be based on judgement.
600
2500
400
2000
0
0.001
0.01
s, %
0.1
Fig 9. Experimental shear stiffness-shear strain invariant curves with

ICFEP analysis curve: Jardine et al 2005a
The Dunkerque HCA and triaxial tests demonstrated how

stiffness anisotropy persists after Y1 yielding and degrades with
strain. Fig. 9 illustrates the shear stiffness trends from undrained
TC (Triaxial Compression), TE (Triaxial Extension), which
should converge within the very small strain elastic region, along
with TS (HCA Torsional Shear) experiments. The stiffnesses are
normalised by p, as the stress level exponent was higher over
this range than in the Y1 bubble and approaches unity at 0.1%.
The tests on K0 consolidated samples were all sheared from p=
200 kPa at OCR = 1. Higher stiffness ratios were developed in
other tests conducted at OCR = 2; Jardine et al 2005a.
Advanced laboratory testing offers the only means of making
such accurate measurements of the non-linear, time-dependent
39
Pile resistance, Q (MN)
200
1500
1000
500
Legend:
predicted - ICFEP
observed
0
0
10
15
20
Pile cap displacement,
25
(mm)
30
35
Fig 10. Predicted and (end of load stage) measured load-displacement

curves: 80day test on R6: Jardine et al 2005a.
Figure 10 compares the non-linear FE analysis with the endof-increment Q- envelope curve for pile R6 shown in Fig. 1.
th
The piles overall capacity was well predicted, as were pile head
movements up to half QT. The approach gave broadly successful
numerical predictions for all piles initial stiffness responses
under compression and cyclic loading as well as insights into the
shaft shear stress distributions, the strain fields and potential
group interaction effects: see Jardine and Potts 1988.
Lateral/moment loading responses and group analyses may be
considered through 3-D approaches (Potts and Zdravkovic
2001). Stiffness anisotropy can be addressed within the same
non-linear framework: Addenbrooke et al 1997. However, the
time-independent FE analysis could not predict the large creep
movements that developed in the field, following a stick-slip
pattern, as failure approached. New research was required into
several aspects of behaviour:
The time dependent processes of ageing and creep.

The stress regime set up in the soil mass by driving.
How cycling affects stiffness, capacity and permanent
displacements.
INVESTIGATING TIME-DEPENDENT BEHAVIOUR
We consider below laboratory research designed to

investigate the time-dependent behaviour of piles driven in sand.
However, we note first that Bishop also recognised the need to
consider time effects carefully. Late in his career, he designed
elegant triaxial cells that used long, soft, adjustable mechanical
springs to provide uninterruptable and easily controlled longterm deviator force actuators. Davies 1975 reports long-term
tests on natural clays conducted with several of the cells
described by Bishop 1981. We also note Tatsuokas 2011 very
thorough exploration of time-dependency in his Bishop Lecture.
Sand properties are often considered independent of rate and
time. However, long-term field observations reveal that
settlements can double or more under shallow foundations on
sand through long-term creep; Burland and Burbridge 1984,
Frank 1994 or Jardine et al 2005a. Kuwano and Jardine 2002a
reviewed the stringent experimental requirements necessary for
investigating the creep of sands through triaxial tests: very stable
high-resolution, local strain sensors are required, as are high
quality pressure and temperature control systems. Membrane
penetration has to be considered carefully; lubricated lowfriction sample ends are also recommended.
Pressure-dependent elastic stiffness functions (Equations 1 to

5) established from parallel tests were integrated to calculate the
contribution of elastic straining de to the overall total (elasticplastic) strains dep developed over each test stage. Figure 12
illustrates the void-ratio (e) - p relationships obtained from the
K0 normally consolidated stage of test H4 on an HRS specimen
prepared to the average relative density applying to the
Dunkerque field profile. The average de/dep ratios applying
during loading (dp/dt > 0) stages fall from 0.30 to 0.23 as
loading continues, indicating an increasingly plastic response.
However, the additional plastic strains developed during creep
stages (where dp/dt = de/dep = 0) become progressively more
significant as loading continued and contributed the major part
of the overall consolidation strains (con) by the end of the test.
The latter point is emphasised in Fig. 13 by plotting the
proportion of the overall consolidation strain con that was due to
creep cre during the pause periods of test H4 and two otherwise
identical experiments on loose HRS and medium-dense, nearly
spherical, GB. Overall, the relative contribution of creep appears
to (i) grow with stress level and grain angularity and (ii) fall with
initial void ratio, OCR and stress ratio K = 3/1. Jardine and
Kuwano 2002a also show that creep strain rates decay inversely
with time over the first few hours. Jardine et al 2001b offer
observations on the micro-mechanical processes that control the
experimental behaviour seen in triaxial and HCA tests.
Fig. 11. Effective stress paths followed in drained Creep stress path
tests on HRS and GB specimens: Kuwano and Jardine 2002a
Fig. 12. Overall e-p relationship of K0 compression tests on mediumdense HRS, showing ratios de/dep of elastic to plastic strains and timedependent compression over creep stages (C): Jardine et al 2001b.
Kuwano and Jardine illustrated aspects of short-term creep

behaviour through tests on saturated Ham River Sand (HRS) and
Glass Ballotini (GB) specimens prepared at various initial
densities. The tests advanced along the drained near isotropic
and K0 stress paths set out in Fig. 11 at mean stress rates dp/dt
of around 100 kPa per hour. The paths were punctuated, as
indicated, by periods C where samples were allowed to creep
under constant stresses for several hours.
It is argued later that the kinematic conditions applying close

to the shafts of displacement piles impose approximately
constant volume conditions. The constant volume creep response
is illustrated in Fig. 14 by showing first the effective stress path
followed by an isotropically normally consolidated mediumdense HRS specimen that was allowed to creep to a stable
condition before being sheared undrained in triaxial compression
40
th
medium-dense TVS sand (see Fig. 4 and Table 1) in the

advanced hydraulic stress path cell system illustrated in Fig 16.
under a constant axial rate of 0.5%/hour, punctuated by seven

constant stress creep pauses.
Figure 15 presents the strain-time ( t) responses observed
over the undrained creep stages. Note: (i) very little creep before
the Y2 surface is engaged (at q 30 kPa 0.15p) (ii) the post
Y2 family of t curves in which creep rates grow exponentially
with q (iii) a marked softening of the stress-strain response and
anti-clockwise effective stress path rotation at the Y3 stage
(when q 160 kPa), (iv) the Y4 Phase Transformation Point (at q
200 kPa, p 170 kPa when q/p approaches Mcritical state) and
(v) a second family of t curves applying post Y4 showing
creep rates that grow slowly as q increases very significantly.
Fig. 15. Strain-time paths followed in seven undrained Creep stages of

stress-path test H2 on HRS specimen indentified in Fig. 14: Kuwano and
Jardine 2002a
Fig. 13. Ratios of creep strains cre to total consolidation axial strains con
in K0 compression tests on HRS and GB specimens following paths
shown in Fig. 11: Kuwano and Jardine 2002a
p (kPa)
Fig. 14. Effective stress paths followed in undrained Creep stress-path
test H2 on HRS specimen: Kuwano and Jardine 2002a
The triaxial trends bear out the pile load-test trends in Fig. 1
for creep-yielding (noted at Q 1 MN with the R piles)
followed by creep rates that rise rapidly with each subsequent
load step. It is clear that time-dependency has an important
impact on both laboratory and field pre-failure behaviour.
We consider next longer-term triaxial stress path
experiments designed to investigate the interactions between pile
ageing and low-level cyclic loading noted by Jardine et al 2006.
Rimoy and Jardine 2011 report suites of tests conducted on
Fig. 16. Advanced IC automated hydraulic stress-path triaxial apparatus

and instrumentation for 100mm OD specimens described by Gasparre et
al 2007 and employed by Rimoy and Jardine 2011
41
th
and increases in K0. Bowman and Soga (2005) noted similar

features in independent experiments, speculating that this feature
might play a significant role in pile capacity growth with age.
Rimoy and Jardine 2012 also explored interactions between
creep and low-level cyclic loading. Figure 20 plots the s - t
trends from tests where the deviator stresses q were varied by
one cycle per minute (as in the Dunkerque pile tests) while
keeping p constant. The cycling commenced as soon as the
stress path arrived at the desired p level with (half peak-totrough) amplitudes qcyc equal to 5, 10 and 15% of p. The cyclic
tests showed augmented rates of permanent strain development,
which in the qcyc = 0.15p test doubled those seen in the true
creep experiment. Other experiments showed that prior drained
ageing (creep) or overconsolidation slow permanent strain
development.
1000
q (kPa)
800
600
True creep or
cyclic loading with
constant p'
1.33
CSL
400
0.868
200
True creep
Cyclic loading
with constant p'
Ko line
0.20
Creep, p' = 600kPa
0
200
400
600
p' (kPa)
800
0.16
1000
Fig. 17. Effective stress paths followed in creep-cyclic interaction stresspath triaxial tests on TVS specimens: Rimoy and Jardine 2011
Creep, p' = 400kPa
V o lu m etric strain s (% )
Creep, p' = 200kPa
0.12
0.08
Figure 17 sets out the effective stress paths followed by

Rimoy and Jardine 2011, indicating the pause points at which
drained creep straining was observed for 2 to 4 day durations
under constant stresses - either in an undisturbed true state or in
combination with low-level drained cyclic loading.
0.04
0.00
-0.04
0
0.20%
0.18%
Creep, p' = 400kPa
0.16%
2000
3000
minutes
4000
5000
6000
Fig. 19. Volume strain-time trends followed in true creep stages of

stress-path triaxial tests on TVS specimens: Rimoy and Jardine 2011
Creep, p' = 200kPa
0.14%
0.30
0.12%
qcyc, 0.05p' = 30kPa
0.10%
qcyc, 0.025p' = 15kPa
0.25
0.08%
qcyc, 0.015p' = 10kPa
0.06%
0.04%
0.02%
0.00%
0
1000
2000
3000
minutes
4000
5000
6000
Fig. 18. Shear strain invariant-time trends followed in true creep stages
of stress-path triaxial tests on TVS specimens: Rimoy and Jardine 2011
c y c a x ia l - c re ep (% )
Shear strain invariant (% )
1000
Creep, p' = 600kPa
0.20
0.15
0.10
0.05
0.00
Figures 18 and 19 show the volumetric and shear strain

invariant responses observed during true creep at three p
levels, showing stable and consistent trends. While the invariant
shear strain increased monotonically with time and p level, the
volumetric trends reversed when s exceeded 0.015% after
several hours and diverged strongly from the initially near K0
pattern, where da/dvol = 1 and ds/dvol = 2/3 for zero radial
strains. Monotonically continuing shear distortion led to sharp
rotation of strain increment directions, eventually establishing a
steady trend for ds/dvol -1.
This interesting kinematic yielding trend, which was not
apparent in the shorter duration creep tests investigated by
Kuwano 1999, can be seen as the (stationary) effective stress
point engaging a kinematic yield surface that is moving with
respect to time or strain rate. Given the final strain increment
direction, it appears that the Y2 bubble has moved rightwards
with time and the fixed effective stress point has engaged its
leftward limit. Under strain-controlled K0 conditions any radial
dilation has to be suppressed, leading to radial effective stresses
42
1000
2000
3000
Cycles
4000
5000
6000
Fig. 20. Shear strain invariant-time trends from cyclic stress-path tests on
TVS specimens conducted at 1cycle/minute: Rimoy and Jardine 2011
More complex interactions are revealed by plotting s against

vol in Fig. 21. It can be seen that cyclic loading retards the shift
from contractive-to-dilative volumetric response. The timedependent Y2 point is pushed forward in terms of both creep
duration and shear strain developed. Low-level cyclic loading
does not simply accelerate creep. It also holds back and probably
expands the time-dependent kinematic Y2 surface. It is
interesting that low-level cycling enhances pile capacity growth,
suggesting that the delayed dilation mechanism may be playing a
more complex role than had been appreciated in pile axial
capacity growth with time. The laboratory tests provide critical
data against which new time-dependent and kinematic yielding
models may be tested.

th
soil sensors. Zhu et al 2009 focus on the sensors calibrations

and performance, emphasizing the care needed to address nonlinear and hysteretic cell action.
0.35
qcyc/p' = 0.05 p'=600kPa
Shear strains invariant (%)
0.30
qcyc/p' = 0.025 p'=600kPa

qcyc/p' = 0.015 p'=600kPa
0.25
Pure creep at p' = 600kPa
0.20
0.15
Ko line
0.10
0.05
Yield points
0.00
0.00
0.05
0.10 0.15 0.20 0.25

Volumetric strains (%)
0.30
0.35
Fig. 21. Shear strain invariant-volume strain trends followed in creepcyclic interaction stress-path triaxial tests on TVS specimens: Rimoy and
Jardine 2011
ESTABLISHING
THE
DEVELOPED AROUND
DISPLACEMENT PILES
STRESS
CONDITIONS
LABORATORY MODEL
The laboratory element testing described above reveals highly

non-linear, anisotropic, time-dependent and in-elastic stressstrain behaviour. These features depend critically on the
samples effective stress states and stress histories. However, the
lack of knowledge regarding the effective stress regime set up in
the surrounding sand mass when piles are driven called for
further research. Calibration Chamber experiments offered the
promise of new insights that would help to link laboratory
element tests and field pile behaviour.
Laboratory Calibration Chambers (CC) were developed
originally to aid field SPT and CPT interpretation in sands.
Multiple test series have been conducted on uniform (wellcharacterized) sand masses under controlled pressure or
displacement boundary conditions; see for example Baldi et al
1986 or Huang and Hsu 2005. Laboratory CCs also provide
scope for measuring stresses in soil masses around model piles
(during and after installation) and also allow post-mortem sand
sampling; these activities are far more difficult to perform in
field tests.
Joint research with Professor Forays group at the Institut
National Polytechnique de Grenoble (INPG) has included a
comprehensive study of the stresses developed around closedended displacement piles. Cone-ended Mini-ICP stainlesssteel, moderately rough (RCLA 3m) piles with 18mm radii R
(the same as a standard CPT probe) were penetrated 1m into dry,
pressurized,
and
highly
instrumented
medium-dense
Fontainebleau NE 34 silica sand. NE 34 has the index properties
shown in Fig. 4 and Table 1 and is broadly comparable to the
earlier discussed Dunkerque, HRS and TVS sands. Jardine et al
2009 detail the general experimental arrangements outlined in
Fig. 22. Cyclic jacking, with full unloading between strokes, was
imposed to simulate pile driving installation.
The Mini-ICP instrumentation included reduced-scale
Surface Stress Transducers that measure radial and shear shaft
stresses at radial distances r/R = 1 from the pile axis at three
levels, as shown on Fig. 23. Measurements were also made of
z, and r at two to three levels in the sand mass at radial
distances between 2 and 20R from the pile axis using miniature
43
Fig. 22. Schematic arrangements for fully instrumented environmentally

controlled Calibration Chamber Mini-ICP tests: Jardine et al. 2009
10
1500
1400
1300
1200
Distance from pile tip, h (mm)
1100
Axial load
1000
Surface stress transducer
900
800
Trailing cluster
700
600
500
Following cluster
400
300
200
100
0
Leading cluster and

Pile tip
Fig. 23. Schematic of laboratory Mini-ICP pile with three levels

of Surface Stress Transducers, as well as Axial Load Cells,
temperature sensors and inclinometers: Jardine et al 2009
Upper annular membranes were used to apply a surcharge
pressure of zo 150 kPa to the sand mass. Separate CPT tests
established qc profiles for various boundary conditions. As
shown in Fig. 24, two alternative membrane designs gave quasi-
th
constant CPT trace sections with qc = 212 MPa, although this

was achieved at a shallower depth with the smaller Internal
Diameter (ID) membrane. Also shown is the qc profile predicted
by Zhang et al 2013 that is discussed later.
Rimoy 2013 describes more recent experiments with the
same equipment, noting that axial capacities from multiple load
tests agree encouragingly well with predictions made with the
field-calibrated capacity approach outlined by Jardine et al
2005b, which gave good results for the Dunkerque field tests.
penetration (rm) stages. The results are normalized for local qc

and plotted with cylindrical co-ordinates defined relative to the
pile tip. Normalised vertical distances (h/R) above are positive,
points below have negative h/R. Separate plots were derived for
stationary pause radial stresses (rs points) recorded when the
pile head was unloaded fully. Moving and stationary contour sets
were also reported for the vertical (z) and hoop () stresses.
3.0
qc (MPa)
5
10
15
2.5
20
Penetration (mm)
h/R=5.6
1.5
h/R=16~21
1.0
h/R=31.1
400
200mm ID top membrane
50mm ID top membrane
Numerical simulation
600
0.5
h/R=40.6
0.0
0
800
15
20
r /R
1200
Fig. 24. Measured and predicted qc profiles with alternative CC topmembranes: Jardine et al. 2013a and Zhang et al 2013
10
50
0
0
0.25
2.0
1.0
40
1.0
2.0
4.0
3.0
30
10
Fig. 26. Radial profiles of radial stresses measured around model pile
after installation in laboratory Calibration Chamber (normalized by qc
and shown in %): Jardine et al. 2013b
1000
0.25
6.0
4.0
8.0
1.5
5.0
20
6.0
h/R
h/R
2.0
'
200
10
8.3
6.0
4.0
10
2.0
3.0
The contour plots indicate intense stress concentrations

emanating from the pile tip. Radial stress maxima exceeding
15% qc were observed at h/R~0.5, r/R=2 during penetration,
while the zero-load stationary values were 2 to 3 times smaller.
Yang et al 2010 describe how an active failure develops beneath
the advancing tip where, on average, zm/qc = 1, rm = m =
KAzm and KA = tan2(45 + '/2). Close analysis of the moving
and stationary stresses measurements shows the greatest
divergence near the tip (-5 <h/R < 3) where substantial
differences extend to r/R = 10. Variation is mainly restricted to
the r/R < 2 region at higher levels on the shaft.
The most reliable observations of how stresses vary with r/R
(at set h/R values) were developed from the end-of-installation
measurements. The stationary r and profiles interpreted by
Jardine et al 2013b for four h/R values are presented in Figs. 26
and 27. Note that the final radial stresses develop maxima away
from the shaft, between 2 <r/R < 4; must vary steeply with
r/R to maintain equilibrium and give > r close to the shaft.
0.50
(a)
25
rs / qc: %
4.8
2.0 1.5
h/R=5.6
0.50
1.0
0.75
(b)
s / qc: %
-10
1.5
-5
1.0
-20
0.25
h/R=16~21
h/R=31.1
'
0.75
-10
-30
0
10
15
20
10
r/R
r/R
Fig. 25. Contoured radial stresses around a penetrating conically tipped
pile (normalized by qc and shown in %) as measured in laboratory CC
tests: Jardine et al. 2013b
Jardine et al 2013a, b report and interpret the measurements

made during installation, referring to these as the Mini-ICP
data-set. Pile penetration invoked extreme stress changes in all
three normal stress components and significant stress changes
out to r/R>33. Synthesising thousands of stress measurements
led to contour plots for the stress components including the
radial stress set given in Fig. 25 derived for moving steady
44
1
h/R=40.6
0
0
10
15
20
r /R
Fig. 27. Radial profiles of hoop stresses around model pile after
installation, (normalized by qc and shown in %): Jardine et al 2013b.
The above effective stress profiles, taken in combination with

the time-dependent behaviour discussed in Section 4, have the
th
potential to explain the marked field capacity-time trends

illustrated in Fig. 1 by the Dunkerque tension pile loading tests.
6
high pressure shearing that are also strain-rate dependent. Stable

unique critical states do not appear feasible under such
conditions; Muir-Wood 2008 and Bandini and Coop 2011.
LABORATORY TESTING AND FABRIC STUDIES TO

INVESTIGATE PARTICLE CRUSHING AND
INTERFACE SHEAR PROCESSES
The Calibration Chamber model pile tests also revealed the

important micro-mechanical features illustrated schematically in
Fig. 28. Post-mortem sampling revealed a clearly differentiated
grey coloured interface shear band (Zone 1) around the shaft, as
shown in Fig. 29. The following paragraphs report the insights
provided by laboratory studies into the breakage phenomena.
Their influence on the stress regime developed around the
penetrating pile is considered later.
Fig. 29. Photographs of interface shear zone developed around

laboratory model pile: (a) top view from above and (b) side view of
shear zone material: Yang et al 2010
0.9
Fig. 28. Schematic of crushing and interface shearing zones developed

around laboratory model piles: Yang et al 2010
emax
emax
Loading curve
0.8
Fresh sand
45
Initial state eo 0.7
void ratio e
Yang et al 2010 describe how the three concentric microfabric zones were defined, their diameters measured and samples
comprising only a few grams analysed with a QicPic laser-based
imaging system. The latter can resolve particles with sizes
between a few m and several mm. Care is needed to relate the
various optical definitions of grain size with sieve analyses and
the Feret Minimum optical measurement correlated best. The
grey Zone 1 band contained the highest fraction of modified,
partially crushed sand. Fracture commenced beneath the active
pile tip area once qc > 5 MPa. The high pressure oedometer test
on NE 34 sand illustrated in Fig. 30 indicates that large scale
breakage is delayed until z > 10 MPa under K0 conditions.
Yang et al tested material taken from the Zone 1 shear zone,
finding that breakage reduced the minimum void ratio emin very
considerably but had less effect on emax. The sand was densified
in the shear zone and manifested a higher relative density in
relation to its modified limits. The original (intact) and modified
(partially crushed) emin and emax values are shown on Fig 30 for
reference. Although not demonstrated here, the experiments
reported by Altuhafi and Jardine 2011 support the view that a
family of critical state lines evolve as breakage progresses under
Zone 1 material
0.6
cc=0.34
0.5
emin
average Zone 1
unloaded efinal=0.36
0.4
emin
0.3
0.2
0.1
10
100
'
v (MPa)
Fig. 30. Void ratio-vertical effective stress relationship from high
pressure oedometer test on NE 34 sand, also showing emin and emax values
of intact sand (left) and Zone 1 material (right): Yang et al 2010
Once produced, the crushed material is smeared over the

advancing pile shaft giving an initial Zone I thickness 0.5mm,
which grew to 1.5mm at any given soil depth as the tip
th
advanced and the cyclic interface shearing caused by jacking

promoted further shear abrasion.
Figure 31 displays the progressively increasing breakage
from the fresh sand through Zones III, II to the interface Zone I,
where about 20% of the sand comprises fragments finer than the
smallest grains present in the parent NE 34. Image analysis
showed that the Zone 1 sand has similar sphericity and convexity
to fresh NE 34 while diffraction analyses showed quartz contents
(99.6%) just 0.1% lower than for intact NE 34.
above and below the sand samples. Their sweep of angles

against d50 is shown in Fig. 34 where the upper plot (a) shows
trends after shearing to 50mm, while the lower (b) indicates
those after 8m of shear displacement. Also shown are the
critical state trends suggested by Jardine et al 1992 from low
displacement (5mm) direct-shear interface tests, and by CUR
2001 from cyclic shear box interface tests.
cumulative percentage (%)
100
80
Fresh sand
Average of Zone 1
Average of Zone 2
Average of Zone 3
Average of Zone 1-2
60
40
20
Fig. 33. Lower interface configuration for ring shear tests: Ho et al 2011
0
10
100
1000
particle size (m)
Fig. 31. Optical grain size distributions defined by Feret mimima for
fresh NE34 sand and Zones 1 to 3: Yang et al 2010
The pile surface was also modified. Multiple Rank Hobson

Talysurf measurements showed that the maximum surface
roughness declined from around 33 to 22m, while the centre
line average values fell from 3.8 to 2.8m. The abraded 1m
thickness of stainless steel would have contributed less than
1/1000th of the average thickness ( 1mm) of the interface shear
zone, which is compatible with the very slightly (0.1%) lower
quartz content of the Zone 1 material.
Fig. 32. Photograph and scheme of shear zones from interface ring shear
tests on NE 34 sand; after Yang et al 2010
Parallel interface ring-shear experiments were conducted with

a modified version of the Bishop et al 1971 equipment, shearing
NE 34 against surfaces identical to the pile shaft, at normal
stresses up to 800 kPa. These tests also developed grey Zone 1
shear bands, as illustrated in Fig. 32, although the bands were
thinner and had lower percentages of broken grains than those
adjacent to the model piles. Ring-shear tests employing the
lower interface configuration shown in Fig. 33 did not reproduce
the high pressure pile tip breakage conditions, but led to closely
comparable = tan-1 (zh/z) angles to the pile tests that were
practically independent of stress level over 100 < z < 800 kPa.
Ho et al 2011 extended the study, covering a wider range of
gradings with seven silica sands and silts (including NE 34 and
TVS) in ring-shear tests involving interfaces positioned both
46
Fig. 34. Friction angles from ring shear tests against stainless steel
interfaces with initial CLA roughnesses of 3 to 4m. Upper (a) results
after 50mm shear displacements, lower (b) after 8m; Ho et al 2011.
It is clear that the angles previously interpreted as stable critical

state values in fact vary with test conditions:
The lower interface arrangement led, with d50 > 0.2mm

sands, to lesser angles after 50mm displacements than
equivalent upper interface tests, where fine fragments can
fall from above into void spaces beneath the shear zone.
Lower interface ring-shear tests gave similar trends at 50mm
displacement to (5mm) direct shear interface tests.
th
Fragments appear to choke available void spaces after large

displacements (8m), preventing lower friction angles
persisting with coarser sands and upper interfaces. The ring
shear trends converge, but do not conform fully to the
uniform = 29o CUR 2001 recommendation.
The Calibration Chamber model studies reported in Section

5 testified to the extreme stresses developed beneath advancing
pile tips. Stresses rose and fell around the shaft (at any given
depth) by almost two orders of magnitude as the tip penetrated to
greater depths. Such changes in stress level, combined with
particle breakage, affect the sands constitutive behaviour.
Altuhafi and Jardine 2011 conducted tests to investigate these
features using the high pressure apparatus shown schematically
in Fig. 35 to subject medium-dense NE 34 to the effective stress
paths set out in Fig. 36.
shear strength and dilatancy of the

overconsolidated and partially crushed sand.
heavily
See Fig. below

for low pressure
test stages
Fig. 35. High pressure triaxial apparatus employed to test crushing NE34
sand. System described first by Cuccovillo and Coop 1998
The key test stages were:
K0 compression to p = 9 MPa, simulating the pile tip

advancing towards the sand element from above.
Drained compression under constant r until apparent
critical states were reached with 1 > 20 MPa, simulating
failure beneath the conical pile tip. Tests that stopped
abruptly developed large creep strains. The displacement
strain rates therefore were slowed progressively to reduce
residual creep effects prior to unloading. The critical state
e-p relationships depend on time.
Drained unloading to q = 0 under constant r before
isotropic unloading to p values between 150 and 500 kPa
(giving OCRs of 40 to 140 in terms of vertical stresses),
simulating the sharp unloading experienced as the tip passes.
Renewed drained shearing to failure at constant r in
compression (or at constant p in extension) to assess the
47
Fig. 36. Effective stress paths followed in high-low pressure triaxial tests
on NE 34 sand, showing high pressure stages (top) and overconsolidated
low pressure stages (below): Altuhafi and Jardine 2011
The results obtained are illustrated in Fig. 37, plotting

mobilised angles of shearing resistance against axial strain.
The upper plot (a) shows the generally ductile-contractant
response seen in six similar high pressure tests, with peak
only slightly greater than the critical state (30o) angle. The
lower plot (b) summarises the overconsolidated response
observed on recompression after unloading. All three
overconsolidated samples dilated as they sheared, developing
peak 42o, well above the ultimate angles (around 33o)
developed after large shear strains and diminished dilation.
It is clear that the sands behaviour alters radically on
unloading as the pile tip advances by a few diameters, changing
from being contractant, ductile, highly prone to creep and
th
offering relatively low beneath and around the tip, to being

dilatant, brittle and able to mobilise far higher peak in the
mass that surrounds the shaft. These features were critical to
Jardine et al 2013bs interpretation of the model pile Calibration
Chamber stress measurements illustrated above in Figures 24 to
27. Further analysis of the evolving family of critical state e-p
curves developed by crushing is underway by Dr Altuhafi.
', Degrees
50
40
30
'
Ultimate =30o
P-T1
P-T2
P-T3
P-EE1
P-EE2
P-EE3
20
10
0
0
10
20
30
40
Strain%
Fig. 38. Comparison between (a) Yang et als interpretation of breakage
around penetrating Mini-ICP model piles and (b) simulation breakage
parameter B contours for same tests; Zhang et al 2013
50
' , Degrees
Peak '= 42o

40
6.0
30
Ultimate '= 33
(a) Numerical results by Zhang et al. (2013)

o
Fontainebleau sand
P-T1
P-T2
P-T3
4.5
r / qc: %
20
10
h/R=6
'
h/R=3
3.0
10
15
20
25
Strain%
h/R=9
1.5
Fig. 37. Mobilised values plotted against axial strain for both high (a)
and low (b) pressure test stages of triaxial tests on NE34 sand: Altuhafi
and Jardine 2011
0.0
0
10
15
20
r /R
Fig. 39. Radial profiles of r/qc from Zhang et al 2013s analysis of

Mini-ICP pile in NE 34 sand
Recently published numerical analyses allow further links to be

established between the soil element and model pile
experiments. Zhang et al 2013 present FE analyses of
penetration in sands in which they adopted an Arbitrary
Lagrangian Eulerian (ALE) approach to deal with the implicit
moving boundary problem and a constitutive model that
accounted for grain size distribution evolving through grain
breakage. Their analyses included simulations of the Calibration
Chamber (CC) model pile tests that applied a breakage
constitutive model that they calibrated against NE 34 laboratory
tests reported by Yang et al 2010 and others.
Zhang et als predictions for the Mini-ICPs end-bearing
characteristics were presented in Fig. 24, together with the CC
measurements. The agreement is good when considering the
same CC upper boundary conditions. Figure 38 compares the
breakage pattern identified by Yang et al 2010 around the MiniICP pile tip with Zhang et al 2013s contoured predictions for
their internal breakage parameter B, which scales linearly
between the sands initial (B = 0) and ultimate (B = 1.0) fully
crushed grading curves. The simulated and experimentally
established patterns are similar, with the maximum B predicted
as 0.35 close to the shaft, far from the fully broken B = 1
limit. The grading curves predictions match Yang et als
measurements well in all three zones, although they do not
recover the experimentally observed Zone 1 thickness growth
with pile tip depth h/R. The latter is thought to develop through
the un-modelled process of cyclic interface shear abrasion.
48
6.0
(a) Numerical results by Einav (2012)

Fontainebleau sand
h/R=3
4.5
h/R=6
3.0
'
COMPARISON WITH NUMERICAL ANALYSES
/ qc: %
h/R=9
1.5
0.0
0
10
15
20
r /R
Fig. 40. Radial profiles of /qc from Zhang et al 2013s analysis of

Mini-ICP pile in NE 34 sand.
Correspondence with Zhang, Nguyen and Einav led to

further processing of the stress predictions implicit in their
numerical analyses. Interesting comparisons are presented from
Yang et al 2013 in Figs. 39 and 40, plotting the r and
predictions transmitted by Professor Einav against r/R. The
stresses are normalised by predicted qc, as are the experimental
equivalents shown in Figs. 26 and 27. The overall trends show
th
encouraging quantitative agreement when comparisons are made

between predictions and measurements made at h/R values up to
10; see for example the match between the common curves
given for h/R 6. Naturally, scope exists to consider further
factors such as: the effects of stress history on dilatancy and
shear strength; creep behaviour; and the extreme cyclic loading
that accompanies pile installation and leads to radial stresses
continuing to reduce with h/R at ratios greater than 10.
controlled cycles. The more severe TW test progressed further

and developed a full failure system with a butterfly-wing
effective stress path pattern resulting from slip displacements
that generated dilatant loading stages followed by sharply
contractant unloading stages.
Nf=
1
Nf = number of cycles to failure
Tw
LABORATORY MODEL PILE TESTS TO

INVESTIGATE CYCLIC LOADING
w
O
ne
Qcyclic/QT
The Mini-ICP Calibration Chamber experiments described in

Section 5 included multiple suites of axial cyclic loading tests
with the model piles installed into pressurised medium-dense NE
34 sand. Cycling was found to have a broadly similar effect on
axial capacity to that seen in the Dunkerque field tests. Figure 41
presents an overall interactive diagram which compares directly
with the field patterns in Fig. 3. Tsuha et al 2012 and Rimoy et al
2013 report on the cyclic stiffness and permanent displacement
trends. Broadly, they classify responses to cycling as:
5
10
0.4
1
10
4
4
170
100
500
Stable: capacity increasing slightly, displacements small

and stabilising) over 1000 or more cycles
Unstable: reaching failure with 100 cycles, or
Metastable: falling between these limits
49
Unstable
0.6
0.2
A particular advantage offered by the laboratory model pile

arrangements shown in Figs. 22 and 23 was the ability to
measure the pile-sand effective stress path response directly,
both at the shaft interface (with the Mini-piles leading,
Following and Trailing Surface Stress Transducers) and within
the sand mass by the sand-stress senor arrays.
Figure 42 illustrates the local interface effective stress paths
followed under Stable conditions in a 1000 cycle experiment.
The patterns resemble those seen in Constant Normal Stiffness
(CNS) shear experiments (see for example Boulon & Foray 1986
or Dejong et al 2003) with radial effective stresses increasing
under tension loading (that generates negative shaft shear stress)
and decreasing under compressive load increments around the
relatively rigid Mini-ICPs. While the load-displacement response
is in-elastic (non-linear and hysteretic) under even low-level
cycling, the radial effective stress changes and pile head
movements induced by each cycle are small.
The effective stress paths appear to match, approximately,
the Y2 criteria described in Section 2 and traced by Kuwano and
Jardine 2007 in small strain triaxial probing tests. Rather than
remain exactly static, the radial stresses reduced, albeit at very
slow rates, over time indicating a tendency towards contraction
and migration towards the interface shear failure criterion angles
established by Yang et al 2010 through interface ring shear tests,
or those shown in Fig. 34 from Ho et al 2011. The continuing
rates of radial stress reduction might also be related to very slow
rates of continuing interface surface abrasion and particle
modification.
Multiple static tension tests on the Mini-ICPs showed shaft
capacities increasing (by up to 20%) as a result of stable cycling,
mainly due to changes in loading stress-path geometry that gave
a less contractive response under static loading. The Dunkerque
field tests also showed tension capacity increasing after a stable
1000 cycle test; Jardine and Standing 2013. Figures 43 and 44
demonstrate the contrasting responses seen in Metastable tests
under One-Way (OW) and Two-Way (TW) loading respectively.
All paths approach the interface failure envelope as cycling
continues, either asymmetrically under OW loading or more
symmetrically in the TW test. The milder OW test shows a
similar pattern to the Stable test shown in Fig. 40, except that it
migrates more rapidly and engages the critical = 27o failure
line, leading to the onset of local slip after several hundred load
ay
0.8
66
Meta-Stable
500
1000
>1000
0.0
-0.2
Stable
0.0
0.2
0.4
Qmean/QT
0.6
0.8
1.0
Fig. 41. Effects on shaft capacity of cyclic loading. Interactive

stability diagram from Mini-ICP CC tests: Tsuha et al 2012.
Leading A
Following B
Trailing C
200
Shear stress rz (kPa)
ay
1.0
'
=27
100
-100
Direction of
radial stresses
-200
0
100
200
300
400
500
Radial stress 'r (kPa)

Fig. 42. Interface shear rz - r effective stress paths: Stable
cyclic test ICP4-OW1: Tsuha et al 2012.
Close examination reveals the top-down progressive failure
process described by Jardine 1991, 1994. The points where
behaviour switches from contractant to dilatant fall on an
interface Phase Transformation line analogous to that noted by
Ishihara et al 1975.
th
200
Leading A
Following B
Trailing C
'
=27
Tsuha et al 2012 report on the similarly in-elastic cyclic local

effective stress responses measured by the multiple cells
positioned in the surrounding sand mass, relating these to the
sand mass failure criteria established by the experiments outlined
in Fig. 37.
100
9
0
Predictions can be made through cyclic soil element testing of

how cyclic pile head loading affects the local shear stresses rz
available on the shaft and shear strains in the surrounding soil;
Jardine 1991, 1994. Considering the conditions applying close to
axially loaded shafts, as in Fig. 46, the hoop strain must be
zero due to symmetry. Also z must be small if the pile does not
slip against the shaft and the pile is relatively stiff. The only
significant normal strain components are radial (r) and these are
constrained by the radial stiffness of the surrounding sand mass.
-100
Direction of
radial stresses
-200
0
100
200
300
400
LABORATORY ELEMENT TESTS TO INVESTIGATE

CYCLIC LOADING PROCESSES
500
Fig. 43. Interface shear rz - r effective stress paths: Metastable cyclic

test ICP2-OW3: Tsuha et al 2012.
Leading A
Following B
Trailing C
200
'
=27
100
-100
Fig. 46. Soil element adjacent to a pile shaft: Sim et al 2013
Direction of
radial stresses
-200
0
100
200
300
400
500

Fig. 44. Interface shear rz - r effective stress paths: Metastable
becoming Unstable cyclic loading test ICP4-TW1: Tsuha et al 2012
Leading A
Following B
Trailing C
200
'
=27
The changes in local radial stress, 'r, developed on the shaft

in response to rz increments that cause dilative or contractive
radial displacementsr at the interface can be related to the
shear stiffness of the surrounding sand by the elastic cavity
expansion expression given as Eq. 6; Boulon and Foray 1986.
Jardine et al. 2005b suggest that r is approximately equal to the
peak-to-trough centreline average roughness of the pile surface
under static loading to failure. Provided that strains remain very
small and the shear stiffness is linear, Eq. 6 implies a Constant
Normal Stiffness (CNS) interface shear boundary condition,
where KCNS is the interfaces global radial stiffness value.
r /r = 2G/R = KCNS
Eq. 6
100
-100
Direction of
radial stresses
-200
0
100
200
300
400
500

Fig. 45. Interface shear rz - r effective stress paths: Unstable cyclic test
ICP2-TW1: Tsuha et al 2012
50
Laboratory shear tests can be conducted under CNS

conditions (Boulon & Foray, 1986 or Dejong et al 2003) to
mimic the pile loading boundary conditions and observe the
near-shaft cyclic soil response. Suitable mixed boundary
conditions can be devised for simple shear, triaxial or HCA tests.
However, sands shear stiffnesses are non-linear, pressure
dependent and anisotropic. Also KCNS varies with 1/R, making it
hard to define meaningful single CNS values. Constant volume
tests in simple shear, triaxial or HCA cells provide upper limit,
infinite, CNS conditions that can be met by cycling saturated
samples under undrained conditions. More sophisticated controls
can be imposed if reliable information is available about the
interface stress and strain boundary conditions.
Constant volume or CNS Simple Shear (SS) tests provide
conditions analogous to those near pile shafts; Randolph and
Wroth 1981. However, conventional simple shear tests cannot
provide a full description of the samples stress state: neither

th
invariant effective stress paths nor Mohr circles of stress can be

drawn. Shen 2013 presents new DEM based simple shear
simulations. His analyses, which did not require any assumption
of idealised co-axial (or other) plasticity in the sand, emphasize
the differences between the true internal stress variables and the
average stresses deduced from boundary measurements. He
also highlights the impact of apparatus details on the parameters
interpreted by alternative simple shear failure hypotheses.
Shibuya and Hight 1987, Menkiti 1995, Nishimura 2006 and
Anh-Minh et al 2011 outline the principles and technicalities of
conducting SS tests with HCA equipment. While HCAs are
subject to sample curvature effects that have to be considered
(Hight et al 1983), their annular geometry automatically provides
the complementary shear stresses and so reduces stress nonuniformity. They also allow the full stress and strain tensors to
be defined and permit detailed assessments of the effects of
anisotropy, variable b values (reflecting 2 ratios or Lode angles)
and principal stress axis rotation.
Undrained triaxial experiments can also provide useful
information. The shear stress changes rz developed on the pile
shaft pile and changes to triaxial deviator stress q = (1- 3)
can be inter-related by assuming an isotropic soil response and
applying general stress invariants, or by simply noting that in a
Mohr circle analysis increments of pure shear shaft loading rz
have an equivalent effect to an increment q that is numerically
twice as large. In this simplified view, the changes to mean
effective stress, p' observed under cyclic loading in the triaxial
cell can be seen as implying approximately equivalent
proportional 'r changes at points close to the shaft.
Sim et al 2013 emphasize the need for very stable high
resolution test equipment and stable environments for such tests.
This applies particularly to long duration, low-level cycling tests
where p drift rates and changes in cyclic stiffness/permanent
strain development may be slow. Sim et al also report cyclic
experiments on Dunkerque and NE 34 sands designed to help
interpret the field and laboratory CC model pile tests. Their ongoing research programme is investigating:
interaction diagrams (such as those in Figs 3 or 41). If further

analysis is warranted, laboratory or field test data can be applied
in site-specific and storm-specific calculations that follow either
a local (T-Z, the left hand path in Fig. 48) or a global (the right
hand route in Fig. 48) assessments procedure. The global
approach is most applicable when soil conditions are relatively
uniform and progressive top-down failure is not a major concern.
Fig. 47. Leftward migration of effective stress paths over 1500

undrained qcyclic = 0.2 p cycles. Triaxial tests on Dunkerque and
NE 34 sands from p0 = 150 kPa, OCR = 4: Sim et al 2013
Differences between HCA SS and triaxial responses.

Effects of pile installation stress history, including the overconsolidation that takes place as the tip passes and the
effects of the shearing cycles imposed by jacking or driving.
The sequence in which different cyclic load packets are
applied, assessing the applicability of Miners rule.
Varying sand types and initial sand states.
Figure 47 illustrates the leftward effective stress path drifts

developed in undrained cyclic triaxial tests with paired tests on
medium-dense Fontainebleu and Dunkerque samples conducted
after K0 consolidation to 800 kPa and unloading to OCR = 4, to
simulate pile installation for points positioned 2 < r/R < 3 from a
pile shaft. 1500 qcyclic = 0.20p stress controlled cycles were then
applied at 1/per minute. The stress paths evidently engaged the
samples Y2 surfaces. Slow migration led to final mean effective
stress reductions of 30 and 40% overall for NE34 and
Dunkerque samples respectively under the stringent constant
volume conditions imposed. It is interesting that the effective
stress paths remained within the Mini-ICPs /n < tan
interface shear envelope ( = 27o when shearing against NE 34
or Dunkerque sand, see Figs. 34 and 42-45) implying that while
shaft failure would not be expected to reduce in an equivalent
cyclic pile test, the pile shaft would not fail within 1500 cycles.
Jardine et al 2005b and 2012 offer guidance on how to apply
such laboratory testing to estimate the axial response of offshore
piles under storm cyclic loading. Referring to the flow chart
given in Fig. 48, the first essential step is careful characterisation
(applying rainfall analysis methods) of the storm loads to
establish equivalent batches of uniform cycles. Initial screening
checks are then recommended with experimentally derived (or
appropriately validated theoretical) published cyclic failure
Fig. 48 Flow chart outlining approaches for assessing cyclic

loading effects in driven pile design: after Jardine et al 2012.
Jardine et al 2012 describe several approaches for such
calculations. These include the simple ABC formulation given
by Jardine et al 2005b. Calibration of the latter approach against
both laboratory tests and the Dunkerque field experiments
indicated encouraging agreement; Jardine and Standing 2013.
51
th
Recent practical applications include a fleet of 40 wind-turbines

at Borkum West II (German North Sea) which employ the tripod
design shown in Fig. 49 and each rely on three 2.48m diameter
piles driven in (mainly) very dense sands; Merritt et al 2012.
Another application of the laboratory derived ABC approach
involved manned oil platforms founded on pile groups driven in
very hard sandy glacial tills: Jardine et al 2012.
3. Behaviour can only be considered elastic within a very

limited kinematic true (Y1) yield surface that is dragged with
the current effective stress point, growing and shrinking with
the mean effective stress p and changing in shape with
proximity to the outer, Y3 surface; stiffness is anisotropic
within Y1, following patterns that evolve with K = r /z.
4. Plastic straining commences once Y1 is engaged and
becomes progressively more important straining continues
along any monotonic path.
5. An intermediate Y2 kinematic surface may be identified in
either continuum or interface shear tests that signifies: (i)
potentially marked changes in strain increment directions (ii)
the onset of important strain-rate or time dependency and
(iii) a threshold beyond which permanent strains (and mean
effective stress reductions in constant volume tests)
accumulate significantly in cyclic tests.
6. Creep tests and experiments that combine drained creep and
low level cycling show that the Y2 process is both time
dependent and affected by cyclic perturbations.
7. Undrained cyclic tests taken to large numbers of cycles tend
to show continuous rates of p reduction, even under
relatively small strain cycles. These trends may be modified
considerably by overconsolidation, ageing or pre-cycling.
8. Particle breakage develops under large displacement
interface shearing as well as high pressure compression and
triaxial conditions. Breakage leads to continuous evolution
of the index properties and critical state e-p relationships.
Conclusions regarding piles driven in sand include:
Fig. 49. Wind-turbine tripods in fabrication yard; http://www.powertechnology.com/projects/borkum-farm/borkum-farm3.html
The fully analytical cyclic assessment route shown as the

central path through Fig. 48 may also be followed. Laboratory
testing can provide the detailed information required for
modelling the sands complex behaviour including: stiffness and
shear strength anisotropy; non-linearity and progressive yielding;
grain crushing; time effects/creep; and cyclic loading responses.
Similarly, the laboratory and field model pile stress
measurements can guide the specification (or modelling) of the
effective stress regime set up around the driven piles and show
how this may change under static/cyclic loading conditions. The
stage is now set for numerical modelling that can capture field
behaviour far more accurately than was previously possible.
10 SUMMARY AND CONCLUSIONS
The key aim of the lecture was to demonstrate the special
capabilities and practical value of the Advanced Laboratory
Testing promoted by Bishop and TC-101. New insights have
been offered through static and cyclic experiments with the
apparatus and techniques they advocated, including highly
instrumented stress-path and high pressure triaxial tests as well
as hollow cylinder, ring-shear interface and micro-mechanical
experiments. Emphasis has been placed also on integrating
laboratory research, field observations, numerical analysis and
calibration chamber model pile studies to advance understanding
and prediction of the complex behaviour of driven piles in sands.
The experiments investigated sand behaviour under a wide
range of conditions. Aspects highlighted for consideration in
ongoing and future constitutive modelling include:
1. The strong non-linearity, marked in-elasticity and time
dependency seen from small-to-large strains.
2. Markedly anisotropic behaviour within the large scale
classical critical state soil mechanics (Y3) yield surface.
Sands also show Phase Transformation (Y4) over a wide
range of states. These features may occur in either soil
continua, or during shearing against interfaces.
52
1. Conventional approaches for capacity and load-displacement

assessment have generally poor accuracy and reliability.
2. It is possible to improve predictions considerably through
numerical analyses that capture the observations made with
advanced laboratory stress-strain and interface shear tests.
3. Such predictions rely critically on assumptions regarding the
stresses set up around the piles during and after installation.
4. Laboratory and field tests highlight the importance of plastic
and time-dependent straining which becomes progressively
more important as stress and strain levels rise.
5. The Calibration Chamber model pile tests demonstrate key
physical features of the pile-soil mechanics, including the
extreme stress changes and grain breakage experienced
during installation. Micro-mechanical laboratory analysis
and high pressure triaxial and ring shear tests allow the
properties of the modified material to be studied in detail.
6. Laboratory model pile experiments demonstrate that radial
stress maxima develop at some distance from the pile shafts.
This feature can also be predicted analytically in studies that
address grain breakage. Taken together with the creep trends
discussed above, this feature offers a mechanism for the
growth in shaft capacity of piles driven in sand over time.
7. Axial cyclic pile tests show broadly similar modes of Stable,
Metastable and Unstable behaviour in full scale field tests
and model experiments in Calibration Chambers.
8. Local stress measurements made on the ICP and Mini-ICP
piles give profound insights into the mechanisms of cyclic
degradation, demonstrating features of kinematic yielding
and interface shear failure that can be tracked in triaxial,
HCA and ring shear laboratory experiments.
Advanced laboratory testing is critical to advancing all
difficult geotechnical engineering problems where the outcomes
depend critically on the detailed constitutive behaviour of the
ground. Tatsuoka 2011, for example, described advanced testing
directed towards the performance of large bridge foundations
and the compaction of reinforced earth retaining wall backfills,
while Kovacevic et al 2012 describe novel analyses of very large
submarine slope failures that employed models derived also
from detailed and advanced laboratory studies.
th
12 ACKNOWLEDGEMENTS
The Author acknowledges gratefully the many contributions by
current and former co-authors, students, technicians, colleagues
and co-workers principally at Imperial College, but also at:
Building Research Establishment (BRE, UK), Cambridge-Insitu
(UK), DAppolonia (Italy), Geotechnical Consulting Group
(GCG, London), IFP (France), INPG (Grenoble, France) and
ISSMGE TC-29/101. He also acknowledges with thanks funding
from the Commonwealth Commission, CNRS (France), EPSRC
(UK), EU, HSE (UK), NSFC (China), Royal Society (UK), Shell
(UK), Total (France) and other bodies. Prof. David Hight and Dr
Jamie Standing are thanked also for their useful comments on
the manuscript.
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Ishihara Lecture
Ishihara
Lecture
Soil-Foundation-Structure
Systems beyond Conventional Seismic Failure
Soil-Foundation-Structure
Systems Beyond Conventional Seismic Failure
Thresholds
Thresholds
Confrence Ishihara
Confrence
Ishihara
Les systmes
sol-fondation-structure qui dpassent les limites de la rupture parasismique
Les
systmes
conventionnellesol-fondation-structure qui dpassent les limites de la rupture parasismique
conventionnelle
Gazetas G.
Gazetas
Professor,G.
National Technical University of Athens, Greece
Professor, National Technical University of Athens, Greece
ABSTRACT: A new paradigm has now emerged in performancebased seismic design of soilfoundationstructure systems. Instead
of imposing strict safety limits on forces and moments transmitted from the foundation onto the soil (aiming at avoiding pseudo-static
failure), the new dynamic approach invites the creation of two simultaneous failure mechanisms: substantial foundation uplifting
and ultimate-bearing-capacity slippage, while ensuring that peak and residual deformations are acceptable. The paper shows that
allowing the foundation to work at such extreme conditions not only may not lead to system collapse, but it would help protect (save)
the structure from seismic damage. A potential price to pay: residual settlement and rotation, which could be abated with a number of
foundation and soil improvements. Numerical studies and experiments demonstrate that the consequences of such daring foundation
design would likely be quite beneficial to bridge piers and building frames. It is shown that system collapse could be avoided even
under seismic shaking far beyond the design ground motion.
RSUM : Un nouveau paradigme a merg dans la conception sismique de la performance des systmes sol fondation structure.
Au lieu d'imposer des coefficients de sret sur les forces et les moments transmis par la fondation sur le sol (pour viter la rupture
pseudo-statique), la nouvelle approche dynamique permet la cration de deux modes de rupture simultans : le soulvement important
de la fondation et le dpassement de la capacit portante ultime, tout en assurant que les dformations maximales et rsiduelles sont
acceptables. Larticle montre que, quand on permet la fondation de travailler dans ces conditions extrmes, l'effondrement du
systme peut tre vit et de plus la structure peut tre protge du dommage sismique. Un prix potentiel payer : le dplacement et la
rotation rsiduels, qui peuvent tre contrls avec diffrentes mthodes d'amlioration de la fondation et des sols. Des tudes
numriques et exprimentales montrent que les consquences d'une telle conception audacieuse de la fondation seraient certainement
trs bnfiques pour les ponts et les btiments. On montre que l'effondrement du systme pourrait tre vit, mme pendant des
secousses sismiques qui dpassent le mouvement de calcul.
KEYWORDS: seismic analysis, performance-based design, foundation rocking, bearing capacity failure, nonlinear vibrations
1
CURRENT STATE OF PRACTICE:

THE CONVENTIONAL WISDOM
sliding at the soilfooting interface or excessive uplifting of

a shallow foundation
passive failure along the normal compressing sides of an
embedded foundation
a combination of two or more of the above failure modes.
In this conventional approach to foundation design,
overstrength factors plus (explicit and implicit) factors of
safety larger than 1 (e.g. in the form of material factors) are
introduced against each of the above failure modes, in a way
qualitatively similar to the factors of safety of the traditional
static design. Thus, the engineer is certain that foundation
performance will be satisfactory and there will be no need to
inspect and repair after strong earthquake shaking a task
practically considered next to impossible.
Some of the above thresholds stem not just from an
understandable engineering conservatism, but also from a
purely (pseudo) static thinking. It will be shown that such an
approach may lead not only to unnecessarily expensive
foundation solutions but also, in many situations, to less safe
structures.
Seismic design of structures recognises that highly inelastic

material response is unavoidable under the strongest possible
shaking of the particular location and for the specific soil where
the structure is founded. Ductility levels of the order of 3 or
more are usually allowed to develop under seismic loading,
implying that the strength of a number of critical bearing
elements is fully mobilized. In the prevailing structural
terminology plastic hinging is allowed to develop as long as
the overall stability is maintained.
By contrast, a crucial goal of current practice in seismic
foundation design, particularly as entrenched in the respective
codes is to avoid the mobilisation of strength in the
foundation. In the words of EC8 (Part 2, 5.8) :
foundations shall not be used as sources of hysteretic
energy dissipation, and therefore shall be designed to
remain elastic under the design seismic action.
In structural terminology : no plastic hinging is allowed in
the foundation. In simple geotechnical terms, the designer must
ensure that the below-ground (and hence un-inspectable)
support system will not even reach a number of thresholds
that would conventionally imply failure. Specifically, the
following states are prohibited :
plastic structural hinging in piles, pile-caps, foundation
beams, rafts, and so on
mobilisation of the so-called bearing-capacity failure
mechanisms under cyclicallyuplifting shallow foundations
55
2 SOME COMPELLING REASONS TO GO BEYOND

CONVENTIONAL THRESHOLDS
ignored, even if their geometricallynonlinear nature presents

computational difficulties.
In fact, it is worthy of note that the lack of recognition of the
fundamental difference between pseudo-static and seismic
overturning threshold accelerations has led humanity to a gross
under-estimation of the largest ground accelerations that must
have taken place in historic destructive earthquakes. Because,
by observing in numerous earthquakes that very slender blocks
(of width b and height h, with h >> b) or monuments in
precarious equilibrium that had not overturned, engineers had
invariably attributed the fact to very small peak accelerations,
less than (b/h)g, as would be necessary if accelerations were
applied pseudostatically in one direction. Today we know that
sometimes even five times as large peak ground acceleration of
a high-frequency motion may not be enough to overturn a
slender block (Koh et al 1986, Makris & Roussos 2000, Gazetas
2001). Simply stated: even severe uplifting (conventional
failure) may not lead to overturning (true collapse) under
dynamic seismic base excitation.
(d) Compatibility with structural design is another reason for
the soilstructure interaction analyst to compute the lateral load
needed for collapse of the foundation system, as well as (in
more detail) the complete loaddisplacement or moment
rotation response to progressively increasing loading up to
collapse. Indeed, in State of the Art (SOA) structural
engineering use is made of the so-called pushover analysis,
which in order to be complete requires the development of such
information from the foundation analyst.
In addition to the above theoretical arguments, there is a
growing need for estimating the collapse motion : insurance
coverage of major construction facilities is sometimes based on
estimated losses under the worst possible (as opposed to
probable) earthquake scenario.
(e) Several persuasive arguments could be advanced on the
need not to disallow structural plastic hinging of piles:
Yielding and cracking of piles (at various critical depths) is
unavoidable with strong seismic shaking in soft soils, as the
Kobe 1995 earthquake has amply revealed.
Refuting the contrary universal belief, post-earthquake
inspection of piles is often feasible (with internally placed
inclinometers, borehole cameras, integrity shock testing,
under-excavation with visual inspection ), although certainly
not a trivial operation. Again, Kobe offered numerous
examples to this effect.
The lateral confinement provided by the soil plays a very
significant role in pile response, by retarding the development
of high levels of localised plastic rotation, thereby providing
an increase in ductility capacity. Sufficient displacement
ductility may be achieved in a pile shaft with transverse
reinforcement ratio as low as 0.003 (Butek et al 2004).
The presence of soil confinement leads to increased plastic
hinge lengths, thus preventing high localised curvatures
(Tassios 1998). Therefore, the piles retain much of their axial
load carrying capacity after yielding.
Thus, a broadly distributed plastic deformation on the pile
may reduce the concentrated plastification on the structural
column so detrimental to safety.
Furthermore, when subjected to strong cyclic overturning
moment, end-bearing piles in tension will easily reach their full
frictional uplifting capacity. It has been shown analytically and
experimentally that this does not imply failure. The same
argument applies to deeply embedded (caisson) foundations.
(f) The current trend in structural earthquake engineering
calls for a philosophical change : from strength-based design
(involving force considerations) to performance-based design
(involving displacement considerations) [Pauley 2002,
Priestley et al 2000, 2003, Calvi 2007]. Geotechnical
earthquake engineering has also been slowly moving towards
performancebased seismic design: gravity retaining structures
A growing body of evidence suggests that soilfoundation

plastic yielding under seismic excitation is unavoidable, and at
times even desirable; hence, it must be considered in analysis
and perhaps allowed in design. [See for an early recognition :
Pecker 1998, Faccioli & Paolucci 1999, Martin & Lam 2000,
FEMA-356 2000, Kutter et al 2001, Gazetas & Apostolou
2003.] The urgent need to explicitly consider the possibility of
the foundation system to go beyond failure thresholds, and the
potential usefulness of doing so, have emerged from :
(a) The large (often huge) effective ground acceleration, A,
and velocity, V, levels recorded in several earthquakes in the
last 25 years. A few examples :
1994 Ms 6.8 Northridge : A = 0.98 g, V = 140 cm/s ;
1995 MJ 7.2 Kobe : A = 0.85 g, V = 120 cm/s ;
1986 Ms 5.6 San Salvador : A = 0.75 g, V = 84 cm/s ;
2003 Ms = 6.4 Lefkada : A 0.55 g, V = 50 cm/s ;
2007 MJ 6.9 Niigata : A =1.20 g, V = 100cm/s .
With the correspondingly large accelerations in the (above
ground) structure from such ground motions (spectral Sa values
well in excess of 1 g), preventing plastic hinging in the
foundation system is a formidable task. And in fact, it may not
even be desirable: enormous ductility demands might be
imposed to the structure if soilfoundation yielding would not
take place to effectively limit the transmitted accelerations.
Several present-day criticallyimportant structures on relatively
loose soil could not have survived severe ground shaking if
plastic hinging of some sort had not taken place in the
foundation usually unintentionally.
(b) In seismically retrofitting a building or a bridge, allowing
for soil and foundation yielding is often the most rational
alternative. Because increasing the structural capacity of some
elements, or introducing some new stiff elements, would then
imply that the forces transmitted onto their foundation will be
increased, to the point that it might not be technically or
economically feasible to undertake them elastically. The new
American retrofit design guidelines (FEMA 356) explicitly
permit some forms of inelastic deformations in the foundation.
A simple hypothetical example referring to an existing three
bay multistory building frame which is to be retrofitted with a
singlebay concrete shear wall had been introduced by
Martin & Lam 2000. Such a wall, being much stiffer than the
columns of the frame, would carry most of the inertia-driven
shear force and would thus transmit a disproportionately large
horizontal force and overturning moment onto the foundation
compared with its respective small vertical force. If uplifting,
sliding, and mobilisation of bearing capacity failure
mechanisms in the foundation had been all spuriously ignored,
or had been conversely correctly taken into account, would have
led to dramatically different results. With beyondthreshold
action in the foundation the shear wall would shed off some
of the load onto the columns of the frame, which must then be
properly reinforced ; the opposite would be true when such
action (beyond the thresholds) is disallowed.
The Engineer therefore should be able to compute the
consequences of plastic hinging in the foundation before
deciding whether such hinging must be accepted, modified, or
avoided (through foundation changes).
(c) Many slender historical monuments (e.g. ancient
columns, towers, sculptures) may have survived strong seismic
shaking during their life (often of thousands of years). While
under static conditions such structures would have easily
toppled, it appears that sliding at, and especially uplifting from,
their base during oscillatory seismic motion was a key to their
survival (Makris & Roussos 2000, Papantonopoulos 2000).
These nonlinear interface phenomena cannot therefore be
56
are indeed allowed to slide during the design earthquake. The

time is therefore ripe for soilfoundationstructure interaction
(SFSI) to also move from imposing safe limits on forces and
moments acting on the foundation (aiming at avoiding pseudostatic failure) to performancebased design in which all
possible conventional failure mechanisms are allowed to
develop, to the extent that maximum and permanent
displacements and rotations are kept within acceptable limits.
4 ROTATIONAL MONOTONIC RESPONSE

OF SHALLOW FOUNDATIONS
Much of the research in earlier years on dynamic rocking of
foundations and dynamic soilstructure interaction had focused
on linear response. Elastic stiffness and damping as functions of
frequency have been developed and utilised to describe the
dynamic action of the foundation system. The various US
seismic codes in the last 30+ years have promulgated linear
approximations to deal with seismic soilstructure interaction.
The behavior of Rocking Foundations significantly
deviates from linear visco-elasticity: uplifting introduces strong
geometric nonlinearity and even damping due to impact ; soil
yielding and plastic deformation generate hysteresis, implying
significant frequency-independent damping, while when
bearing-capacity slippage mechanisms develop a limiting
plateau restricts the passage of high accelerations from the
ground into the superstructure.
In monotonic loading, a most crucial parameter controlling
the momentrotation, M, relation of a specific foundation is
the factor of safety against vertical static bearing capacity
failure :
3 THE CONCEPT OF ROCKING ISOLATION

IN FOUNDATION DESIGN
The paper addresses the case of structure-foundation systems
oscillating mainly in a rotational mode (rocking).
Subjected to strong seismic shaking, structures tend to
experience large inertial forces. For tall-slender structures these
forces will lead to overturning moments onto the foundation
that may be disproportionally large compared to the vertical
load. As a result, a shallow foundation may experience
detachment (uplifting) of one edge from the supporting soil.
This in turn will lead to increased normal stresses under the
opposite edge of the foundation. Development of a bearing
capacity failure mechanism is quite possible if such a
concentration leads to sufficiently large stresses. But, in
contrast to a static situation, even then failure may not occur.
Thanks to the cyclic and kinematic nature of earthquake
induced vibrations : (i) the inertial forces do not act forever
in the same direction to cause failure (as would be the case with
static load), but being cyclic, very soon reverse and thereby
relieve the distressed soil; and (ii) the developing inertial forces
are not externally applied predetermined loads, but are
themselves reduced once the soil-foundation system reaches its
(limited) ultimate resistance the foundation system acts like a
fuse. As a result, the system experiences nonlinear-inelastic
rocking oscillations, which may or may not result in excessive
settlement and rotation. But failure is almost unlikely.
In the last 10 years a number of research efforts have
explored the consequences of substantial foundation rocking on
the response of the supported structure, theoretically and
experimentally : Kutter et al 2003, Gajan et al 2005, Harden et
al 2006, Kawashima et al 2007, Apostolou et al 2007, Paolucci
et al 2008, Chatzigogos & Pecker 2010, Deng et al 2012. The
results of these studies confirmed the idea that stronglynonlinear rocking oscillations under seismic excitation can be of
benefit to the structure.
Taking the whole idea one small step farther, it is proposed
that the design of a shallow foundation should actively invite
the creation of two simultaneous failure mechanisms:
substantial foundation uplifting and ultimate bearing-capacity
sliding. This would be accomplished by substantially underdesigning the foundation e.g., by reducing its width and
length to, say, one-half of the values required with current
design criteria. This can be thought of as a reversal of the
capacity design: plastic hinging will take place in the
foundation-soil system and not at the column(s) of the structure.
Fig. 1 elucidates the main idea of Rocking Isolation. The
benefits of designing the foundation to work at and beyond its
conventional limits will become evident in the sequel. To this
end, three examples will elucidate the dynamics of Rocking
Isolation in comparison with the dynamics of the conventional
design :
Fs = Nuo/N
(1)
where Nuo is the ultimate load under purely vertical loading and
N the acting vertical load. Fig. 2 offers typical results for a
homogeneous (G and su ) soil for three Fs values : a very high
one (20), a low one (2), and an extremely low one (1.25). M is
normalized by Nuo B, where B is the width of the footing in the
direction of loading. This leads to curves which, for the
homogeneous profile considered, depend solely on the so-called
rigidity index, G/ su , and the shape of the footing.
Also shown in Fig. 2 are the snapshots of the deformed soil
and the contours of plastic strain as they develop when the
maximum moment is reached apparently at different angles
of rotation. The following are worthy of note in the figure:
The foundation with Fs = 20 (which can be interpreted either
as a very-lightly loaded foundation or as a normally-loaded
foundation on very stiff soil) despite its largest initial elastic
rocking stiffness fails at the smallest value of applied
moment:
Mu 0.025 Nuo B
(2a)
Indeed if Fs , i.e. there is no vertical load onto the

foundation, Mu would vanish, due to the tensionless nature of
the soilfooting interface.
As expected from the literature (Meyerhof 1963, Georgiadis
and Butterfield 1988, Salenon and Pecker 1995, llotey and
Naggar 2003, Apostolou and Gazetas 2005, Gajan and Kutter
2008, Chatzigogos et al. 2009, Gouvernec 2009, Gajan and
Kutter 2008) the largest maximum moment is attained by the
Fs = 2 footing :
Mu 0.13 Nuo B
(2b)
but its elastic initial rocking stiffness is smaller than for the Fs
= 20 foundation. Evidently, the extensive plastic deformations
upon the application of the vertical (heavy) load soften the
soil so that a small applied moment meets less resistance
hence lower stiffness. However, Fs = 2 achieves the largest
ultimate Mu as it leads to an optimum combination of uplifting
and bearing-capacity mobilization.
(a) a bridge pier, free to rotate at its top

(b) a two-storey two-bay asymmetric frame (MRF)
(c) a three-storey retrofitted frameshearwall structure.
A more severely loaded foundation, however, with the (rather

unrealistic) Fs = 1.25 will only enjoy an even smaller initial
stiffness and a smaller ultimate moment than the Fs = 2
foundation. Notice that in this case no uplifting accompanies
the plasticification of the soil.
In each case, the two alternatives ( the conventional and the

rocking-isolated system) are subjected to numerous acceleration
time histories the overall intensity of which is either within or
well beyond the design earthquake levels.
The failure envelope (also called interaction diagram) in NM space is given in Fig. 3 for the specific example. It was
57
obtained with the same numerical (FE) analysis as the curves

and snapshots of Fig. 2, and can be expressed analytically as a
function of the static factor of safety (FS) as
The following relationship has been developed from FE

results by Kourkoulis et al, 2012, for the overturning angle c =
c(Fs) :
(3)
The specific plot is in terms of N/Nuo which is 1/Fs which

ranges between 0 and 1. Notice that heavily and lightly loaded
foundations with 1/Fs symmetrically located about the 1/FS =
0.5 value where the Mu is the largest, have the same moment
capacity : yet their behavior especially in cyclic loading is quite
different as will be shown subsequently.
An increasingly popular concept in structural earthquake

engineering is the so-called pushover analysis. It refers to the
nonlinear lateral force-displacement relationship of a particular
structure subjected to monotonically increasing loading up to
failure. The development (theoretical or experimental) of such
pushover relationships has served as a key in simplified
dynamic response analyses that estimate seismic deformation
demands and their ultimate capacity. We apply the pushover
idea to a shallow foundation supporting an elevated mass, which
represents a tall slender structure with h/B = 2 (or slenderness
ratio h/b = 4, where b = B/2). This mass is subjected to a
progressively increasing horizontal displacement until failure by
overturning. Since our interest at this stage is only in the
behavior of the foundation, the structural column is considered
absolutely rigid. The results are shown in Fig:4(a) and (b) for
two Fs values : 5 and 2.
The difference in the M- response curves from those of
Fig. 2 stems from the so-called P- effect. As the induced lateral
displacement of the mass becomes substantial its weight induces
an additional aggravating moment, mgu = mgh, where is the
angle of foundation rotation. Whereas before the ultimate
moment Mu is reached the angles of rotation are small and this
aggravation is negligible, its role becomes increasingly
significant at larger rotation and eventually becomes crucial in
driving the system to collapse. Thus, the (rotation controlled)
M- curve decreases with until the system topples at an angle
c . This critical angle for a rigid structure on a rigid base (FS =
) is simply :
(4)
where b = the foundation halfwidth. For very slender systems

the approximation
(5)
CYCLIC RESPONSE ACCOUNTING FOR P EFFECTS
Slow cyclic analytical results are shown for the two

aforementioned systems having static factors of safety (FS = 5
and 2). The displacement imposed on the mass center increased
gradually; the last cycle persisted until about 4 or 5 times the
angle u of the maximum resisting moment. As can be seen in
the momentrotation diagrams, the loops of the cyclic analyses
for the safety factor FS = 5 are well enveloped by the monotonic
pushover curves in Figure 7(a). In fact, the monotonic and
maximum cyclic curves are indistinguishable. This can be
explained by the fact that the plastic deformations that take
place under the edges of the foundation during the deformationcontrolled cyclic loading are too small to affect to any
appreciable degree of response of the system when the
deformation alters direction. As a consequence, the residual
rotation almost vanishes after a complete set of cycles an
important (and desirable) characteristic. The system largely
rebounds, helped by the restoring role of the weight. A key
factor of such behaviour is the rather small extent of soil
plastification, thanks to the light vertical load on the foundation.
The cyclic response for the FS = 2 system is also essentially
enveloped by the monotonic pushover curves. However, there
appears to be a slight overstrength of the cyclic envelope
above the monotonic curve. For an explanation see
Panagiotidou et al, 2012.
But the largest difference between monotonic and cyclic, on
one hand, and FS = 2 and 5, on the other, is in the developing
settlement. Indeed, monotonic loading leads to monotonicallyupward movement (heave) of the center of the FS = 5
foundation, and slight monotonically-downward movement
(settlement) of the FS = 2 foundation. Cyclic loading with FS
= 5 produces vertical movement of the footing which follows
closely its monotonic upheaval.
But the FS = 5 foundation experiences a progressively
accumulating settlement much larger that its monotonic
settlement would have hinted at. The hysteresis loops are now
wider. Residual rotation may appear upon a full cycle of
loading, as inelastic deformations in the soil are now
substantial.
The above behavior is qualitatively similar to the results of
centrifuge experiments conducted at the University of
California at Davis on sand and clay (e.g., Kutter et al. 2003,
Gajan et al. 2005) large-scale tests conducted at the European
Joint Research Centre, (Negro et al. 2000, Faccioli et al. 1998),
and 1-g Shaking Table tests in our laboratory at the National
Technical University of Athens on sand (Anastasopoulos et al
2011, 2013, Drosos et al 2012).
In conclusion, the cyclic momentrotation behavior of
foundations on clay and sand exhibits to varying degrees three
important characteristics with increasing number of cycles :
no strength degradation (experimentally verified).
sufficient energy dissipation large for small FS values,
smaller but still appreciable for large ones. (Loss of energy
due to impact will further enhance damping in the latter
category, when dynamic response comes into play.)
relatively low residual drift especially for large FS values
implying a re-centering capability of the rocking
foundation.
These positive attributes not only help in explaining the
favorable behavior of Rocking Foundation, but also enhance
the reliability of the geotechnical design.
5 MONOTONIC RESPONSE ACCOUNTING FOR P

EFFECTS
, =
1 + 1
,
(4a)
is worth remembering.
As the static vertical safety factor (FS) diminishes, the
rotation angle (c) at the state of imminent collapse (critical
overturning rotation) also slowly decreases. Indeed, for rocking
on compliant soil, c is always lower than it is on a rigid base
(given with Eq. 4). For stiff elastic soil (or with a very large
static vertical safety factor) c is imperceptibly smaller than that
given by Eq. 4, because the soil deforms slightly, only below
the (right) edge of the footing, and hence only insignificantly
alters the geometry of the system at the point of overturning. As
the soil becomes softer, soil inelasticity starts playing a role in
further reducing c. However, such a reduction is small as long
as the factor of safety (FS) remains high (say, in excess of 3).
Such behaviour changes drastically with a very small FS: then
the soil responds in strongly inelastic fashion, a symmetric
bearing-capacity failure mechanism under the vertical load N is
almost fully developed, replacing uplifting as the prevailing
mechanism leading to collapse c tends to zero.
58
7 SEISMIC RESPONSE OF BRIDGE PIER ON SHALLOW

FOUNDATION
failure mechanisms in the underlying soil, leaving the

superstructure totally intact. Notice that the red regions of large
plastic shearing are of great extent, covering both half-widths of
the foundation and indicating alternating mobilization of the
bearing capacity failure mechanisms, left and right.
The above observations are further confirmed by the time
history of deck drift shown in Fig. 5(c). The two components of
drift, are shown, one due to footing rotation in blue and one due
to structural distortion in green. Their sum is shown in red.
Evidently, the conventional design experiences essentially only
structural distortion which leads to uncontrollable drifting
collapse. In marked contrast, the system designed according to
the new philosophy easily survives. It experiences substantial
maximum deck drift (about 40 cm), almost exclusively due to
foundation rotation. Nevertheless, the residual foundation
rotation leads to a tolerable 7 cm deck horizontal displacement
at the end of shaking.
Fig. 5(d) further elucidates the action of the foundation-soil
system. The M- relationship shows for the 11m2 foundation a
nearly linear viscoelastic response, well below its ultimate
capacity and apparently with no uplifting. On the contrary, the
7m2 (under-designed) foundation responds well past its ultimate
moment capacity, reaching a maximum 30 mrad, generating
hysteretic energy dissipation, but returning almost to its original
position, i.e. with a negligible residual rotation.
However, energy dissipation is attained at a cost : increased
foundation settlement. While the practically elastic response of
the conventional (over-designed) foundation leads to a minor 4
cm settlement, the under-designed foundation experiences an
increased accumulated 15 cm settlement. Although such
settlement is certainly not negligible, it can be considered as a
small price to pay to avoid collapse under such a severe ground
shaking.
Perhaps not entirely fortuitously, the residual rotation in this
particular case turned out to be insignificant. The recentering
capability of the design certainly played some role in it.
The concept of Rocking Isolation is illustrated in Fig. 5 by

comparing the response of a 12 m tall bridge pier carrying a
deck of four lanes of traffic for a span of about 35 m typical
of elevated highways around the world.
The bridge chosen for analysis is similar to the Hanshin
Expressway Fukae bridge, which collapsed spectacularly in the
Kobe 1995 earthquake. The example bridge is designed in
accordance to (EC8 2000) for a design acceleration A = 0.30 g,
considering a (ductility-based) behavior factor q = 2. With an
elastic (fixed-base) vibration period T = 0.48 sec the resulting
design bending moment MCOL 45 MNm.
The pier is founded through a square foundation of width B
on an idealized homogeneous 25 m deep stiff clay layer, of
undrained shear strength su = 150 kPa (representative soil
conditions for which a surface foundation would be a realistic
solution). Two different foundation widths are considered to
represent the two alternative design approaches. A large square
foundation, B = 11 m, is designed in compliance with
conventional capacity design, applying an overstrength factor
Rd = 1.4 to ensure that the plastic hinge will develop in the
superstructure (base of pier). Taking account of maximum
allowable uplift (eccentricity e = M / N < B/3, where N is the
vertical load), the resulting safety factors for static and seismic
loading are FS = 5.6 and FE = 2.0, respectively. A smaller,
under-designed, B = 7 m foundation is considered in the spirit
of the new design philosophy. Its static safety factor FS= 2.8,
but it is designed applying an understrength factor 1/1.4 0.7
for seismic loading. Thus, the resulting safety factor for seismic
loading is lower than 1.0 (FE 0.7).
The seismic performance of the two alternatives is
investigated through nonlinear FE dynamic time history
analysis. An ensemble of 29 real accelerograms is used as
seismic excitation of the soilfoundationstructure system. In
all cases, the seismic excitation is applied at the bedrock level.
Details about the numerical models and the requisite
constitutive relations can be seen in Anastasopoulos et al, 2010,
2011.
Results are shown here only for a severe seismic shaking,
exceeding the design limits: the Takatori accelerogram of the
1995 MJMA 7.2 Kobe earthquake. With a direct economic loss of
more than $100 billion, the Kobe earthquake needs no
introduction. Constituting the greatest earthquake disaster in
Japan since the 1923 Ms = 8 Kanto earthquake, it is simply
considered as one of the most devastating earthquakes of
modern times. Of special interest is the damage inflicted to the
bridges of Hanshin Expressway, which ranged from collapse to
severe damage. The aforementioned bridge chosen for our
analysis is very similar to the Fukae section of Hanshin
Expressway, 630 m of which collapsed during the earthquake of
1995. It is therefore logical to consider this as a reasonably
realistic example of an above the limits earthquake. In
particular, the Takatori record constitutes one of the worst
seismic motions ever recorded : PGA = 0.70 g, PGV = 169
cm/s, bearing the mark of forward rupture directivity and of
soil amplification.
Fig. 5 compares the response of the two alternatives, in terms
of deformed mesh at the end of shaking with superimposed the
plastic strains. In the conventionally designed system there is
very little inelastic action in the soil; the red regions of large
plastic deformation are seen only under the severely battered
edges of the rocking foundation but without extending below
the foundation. Plastic hinging forms at the base of the pier,
leading to a rather intense accumulation of curvature
(deformation scale factor = 2).The P effect of the mass will
further aggravate the plastic deformation of the column, leading
to collapse.
In stark contrast, with the new design scheme the plastic
hinge takes the form of mobilization of the bearing capacity
8 SEISMIC RESPONSE OF TWOSTOREY TWO BAY

ASYMMETRIC FRAME
The frame of Fig. 6 was structural designed according to EC8
for an effective ground acceleration A = 0.36 g and ductilitydependent behavior factor q = 3.9. The soil remains the stiff
clay of the previous example. Two alternative foundation
schemes are shown in the figure .
The conventionally over-designed footings can mobilize a
maximum moment resistance Mu from the underlying soil,
larger than the bending moment capacity of the corresponding
column MCOL .. For static vertical loads, a factor of safety FS 3
is required against bearing capacity failure. For seismic load
combinations, a factor of safety FE = 1 is acceptable. In the
latter case, a maximum allowable eccentricity criterion is also
enforced: e = M/N B/3. For the investigated soilstructure
system this eccentricity criterion was found to be the controlling
one, leading to minimum required footing widths B = 2.7 m, 2.5
m and 2.4 m for the left, middle, and right footing, respectively.
Bearing capacities and safety factors are computed according to
the provisions of EC8, which are basically similar to those
typically used in foundation design practice around the world.
The under-sized footings of the rocking isolation scheme, are
weaker than the superstructure, guiding the plastic hinge to or
below the soilfooting interface, instead of at the base of the
columns. The small width of the footings promotes full
mobilization of foundation moment capacity with substantial
uplifting. The eccentricity criterion is completely relaxed, while
FE < 1 is allowed. The static FS 3 remains a requirement as a
measure against uncertainties regarding soil strength. Moreover,
it turns out that FS 4 might be desirable in order to promote
upliftingdominated response, and thereby limit seismic
settlements [Kutter et al. 2003, Faccioli et al. 2001,Pecker &
59
Pender 2000, Kawashima et al. 2007, Chatzigogos et al. 2009;

Panagiotidou et al. 2012]. Applying the methodology which has
been outlined in Gelagoti et al. 2012, the footings were designed
to be adequately small to promote uplifting, but large enough to
limit the settlements. Aiming to minimize differential
settlements stemming from asymmetry, the three footings were
dimensioned in such a manner so as to have the same FS. Based
on the above criteria, the resulting footing widths for the
rockingisolated design alternative are B = 1.1 m, 1.8 m, and
1.3 m, for the left, middle, and right footing, respectively:
indeed, substantially smaller than those of the code-based
design. Footing dimensions and static factors of safety against
vertical loading of the two designs are summarized in Table 1.
( 3 cm/1.2 m) for the two side footings and 0.033 ( 6 cm/1.8

m) for the central one, the latter is substantially larger in width
and hence its settlement is larger in absolute terms. Naturally,
the three footings are not subjected to exactly the same loading,
something which further complicates the response. Such
differential settlements may inflict additional distress in the
superstructure, and are therefore worthy of further investigation.
9 THREESTOREY FRAME RETROFITTED WITH
SHEARWALL
Table 1. Footing dimensions and corresponding factors of safety

(computed following the provisions of EC8) against vertical loading for
the seismic load combination (G + 0.3Q) for the two design alternatives
of Fig. 6.
Conventional Design
Rocking Isolation
Footing
B (m)
FS
Footing
B (m)
FS
Left
2.7
32.6
Left
1.1
5.4
Middle
2.5
10.6
Middle
1.8
5.4
Right
2.4
18.1
Right
1.3
5.4
The performance of the two design alternatives is compared

in Fig. 6. The deformed mesh with superimposed plastic strain
contours of the two alternatives is portrayed on top (Fig. 6a).
With the relentless seismic shaking of the Takatori motion, the
conventionally designed frame collapses under its gravity load
(due to excessive drift of the structure, the moments produced
by P effects cannot be sustained by the columns, leading to
loss of stability and total collapse). As expected, plastic hinges
firstly develop in the beams and subsequently at the base of the
three columns, while soil under the footings remains practically
elastic. The collapse is also evidenced by the substantial
exceedance of the available curvature ductility of the columns
(Fig. 6b). Conversely, the rockingisolated frame withstands the
shaking, with plastic hinging taking place only in the beams,
leaving the columns almost unscathed (moment-curvature
response: elastic). Instead, plastic hinging now develops within
the underlying soil in the form of extended soil plastification
(indicated by the red regions under the foundation. The time
histories of inter-storey drift further elucidate the
aforementioned behavior of the two design alternatives (Fig.
6d).
Thanks to the larger bending moment capacity of the column
than of the footing, damage is guided below ground and at the
soilfoundation interface in the form of detachment and
uplifting evidenced in Fig. 6d by the zero residual rotation,
unveiling the re-centering capability of the under-designed
foundation scheme.
The price to pay: large accumulated settlements. Moreover,
despite the fact that the three footings have been dimensioned to
have the same static factor of safety FS (in an attempt to
minimize differential settlements exacerbated from asymmetry),
the central footing settles more than the two side footings,
leading to a differential settlement of the order of 3 cm. The
difference in the settlement stems of course from their
differences in width. As previously discussed, the central
footing was made larger (B = 1.8 m, compared to 1.1 m and 1.3
m of the two side footings) in order to maintain the same FS.
Since the latter is common for the three footings, if the loading
is more-or-less the same, their response should be similar.
However, such equivalence refers to dimensionless quantities,
not absolute values [see Kourkoulis et al., 2012b]. In other
words, while the three footings sustain almost the same
dimensionless settlement w/B, which is roughly equal to 0.025
60
The results presented now are not from numerical analysis as

the previous one, but from Shaking Table experiments. They
refer to a 3-storey two-bay frame which was designed according
to the pre-1970 seismic regulations, for a base shear coefficient
of 0.06. Because of the small value of this coefficient and the
otherwise inadequate design, the frame has columns of crosssection 25 x 25 cm2 and beams 25 x 50 cm2 resulting in a strong
beamweak column system. Naturally, it fails by first softstory type of collapse when excited by motions corresponding
to todays codes with effective ground accelerations of the order
of 0.30g and more. To upgrade the frame, a strong and stiff
Shear Wall 1.5 m x 0.3 m in cross-section is constructed
replacing the middle column, as shown in Fig. 7.
The 1:10scale model is supported on dense finegrained Dr
80% sand. The original footings of all three columns were 1.5
m square. For the retrofitted frame the two columns retained
their original 1.5 x 1.5m2 footings. The foundation of the Shear
Wall (SW) is of special geotechnical interest : due to its
disproportionately large lateral stiffness the SW tends to attract
most of the seismically induced shear force and hence to
transmit onto the foundation a large overturning moment. By
contrast, its vertical load is relatively small. To meet the
eccentricity limit e = M/N < B/3, a large foundation 6.0m x 0.80
m is thus necessary. Hence, the conventional solution of Fig. 8.
Of course the resulting vertical bearing-capacity factor of safety
is unavoidably large, FS 10, and the seismic apparent factor of
safety against moment bearing-capacity is also far more than
adequate : FE = 2.
The decision to reduce the footing width to merely B = 3.5 m
is not only economically favorable, but in the harsh reality of
old buildings it may often be the only feasible decision in view
of the usual space limitations due to pipes, small basements,
walls, etc, present in the base. We will see if it is also favorable
technically in resisting a strong seismic shaking.
To be practical, in the above sense, no change is made to the
column footings. (1.5 m square).
We subject all three structures [ i.e., a the original frame,
b the retrofitted with a SW founded on conventionallyconservative footing, and c the retrofitted with the
underdesigned SW footing] to a number of strong ground
excitations. Frame a easily fails as sketched in Fig. 8, where
the physical collapse was artificially prevented by an external
protective barrier in the Shaking Table experiment. The
conventionally retrofitted SW-frame b could withstand most
excitations. But with some of the strongest motions it developed
substantial plastification at its base and led to residual top drift
of an unacceptable 8%.
The unconventionallyfounded system c behaved much
better with residual top drift of merely 2%.
Figure 8 sketches the deformation pattern of the three
systems while Fig. 7 plots the time histories of
structuraldistortion and foundationrotation induced top drift
ratio. It is seen that not only is the total drift of the RockingIsolated system only 2% but at least half of it is solely due to
foundation rotation, rather than damage to the SW.
The penalty to pay is the increased settlement (1.5 cm rather
0.8 cm) which nevertheless in this particular case would be
acceptable for most applications.
10 CONCLUSIONS
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coworkers in Paris and Milano.
11 ACKNOLEDGMENTS
he financial support for the work outlined in this paper has
been provided through the research project DARE, funded by
the European Research Council (ERC), IDEAS Programme in
Support of Frontier Research. Contract/number ERC29
AdG228254DARE .
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63
Figure 1. Conceptual illustration of (a) the response of a conventional and a rocking-isolation design of a bridge-pier foundation; and (b) the
capacity design principle as conventionally applied to foundations, and its reversal in rocking isolation.
10
64
Figure 2. Typical momentrotation relations of three foundations and corresponding snapshots of their ultimate response with the contours of plastic
deformation. The only difference between foundations : their static factor of safety.
Figure 3. Dimensionless Nu Mu failure envelope for strip foundation
65
11
Figure 4. Comparison of two slender systems (differing only in FS) subjected to monotonic and cyclic loading: (a) deformed mesh with plastic strain
contours at ultimate state; (b) dimensionless monotonic momentrotation response; (c) cyclic momentrotation response; and (d) cyclic settlement
rotation response (the grey line corresponds to the monotonic backbone curves).
66
Figure 5. (a) Two bridge piers on two alternative foundations subjected to a large intensity shaking, exceeding the design limits; (b) deformed mesh
with superimposed plastic strain, showing the location of plastic hinging at ultimate state; (c) time histories of deck drift; (d) overturning
momentrotation (M) response of the two foundations.
67
Figure 6. (a) Two building frames on two alternative foundation subjected to a large intensity earthquake, exceeding the design limits; (b) deformed mesh with
superimposed plastic strain, showing the location of plastic hinging at ultimate state; (c) bending momentcurvature response of the central columns; (d)
overturning momentrotation (M) response of the two central foundations.
68 14
Figure 7. (a) Old frame retrofitted with stiff Shear Wall on two different foundations conventional B = 6 m and unconventional B = 3.5 m; (b) time histories on
top floor drift ratio; (c) settlementrotation curves of the Shear Wall footings.
15
69
Figure 8. Sketches of damaged states of the three structures.
16
70
th
Kerisel
Kerisel Lecture
lecture
The role of Geotechnical Engineers in saving monuments and historic sites.
Confrence Kerisel
Le rle des ingnieurs gotechniciens dans la sauvegarde des monuments et des sites historiques.
Calabresi G.
ISSMGE Technical Committee 301 core member
ABSTRACT: There are many interesting ways for geotechnical engineers to contribute to conservation issues. Firstly they can give a
substantial contribution to the knowledge of the monuments and of their history. Then by assuming a broader, more comprehensive
approach to the conservation issues, based on historical studies, possibly with the cooperation of scholars of different disciplines, they
are often able to identify the nature, characteristics and evolution of the deterioration phenomena and to ascertain the necessity or
opportunity of removing them. Eventually they can propose the less invasive solutions to save the monument and its material
components that bear witness of its origin and history. The paper shows that in some cases this approach can be successfully applied
to save historic buildings, while in others the origin of very slow soil movements, which increase the damage, can be very difficult to
identify and furthermore costly investigations are required. However it is worthwhile to do any effort to achieve a convincing
explanation of the distress causes and to propose interventions that are safe and respectful of the history of the monument.
RSUM : Les ingnieurs gotechniciens peuvent contribuer la sauvegarde des anciens btiments et sites historiques de plusieurs
faons. Premirement, ils peuvent apporter une contribution importante la connaissance des monuments et de leur histoire. Ensuite,
avec une approche globale des questions de conservation, base sur des tudes historiques, et ventuellement en coopration avec des
chercheurs de diffrentes disciplines, ils peuvent souvent identifier la nature, les caractristiques et lvolution des phnomnes de
dgradation et dterminer la ncessit ou la possibilit de les liminer. Finalement, ils peuvent proposer les solutions les moins
invasives pour sauver le monument et les matriaux qui le composent, tmoins de son origine et de son histoire. Dans certains cas,
cette approche peut tre applique avec succs pour sauver les btiments historiques, tandis que dans dautres, l'origine des
mouvements du sol trs lents peut tre trs difficile identifier et les tudes ncessaires pour poursuivre les recherches deviennent trs
coteuses. Nanmoins, il est justifi de faire tous les efforts possibles visant parvenir une explication convaincante des causes des
dsordres et de proposer des interventions qui soient sres et respectueuses de l'histoire du monument.
KEYWORDS: Geotechnical engineering, monuments, historic sites, conservation criteria, saving approach, underpinning, micropiles.
ensuring such conservation. The complexity of the history and

of the static and conservation conditions of historic buildings
often generates problems in choosing the right intervention
because of the presence of technical difficulties or because of
differences in conservation criteria.
All of this experience deserves being highlighted by
promoting a critical discussion on the role of Geotechnical
Engineers in saving monuments and historic buildings.
INTRODUCTION
Since the time when J. Kerisel (Kerisel 1975, 1987, 1997, 2004.
Viggiani 1997, Isnard 1980) and Arrigo Croce (Croce 1980,
1985, Jappelli 1997) raised this issue, the theme of saving
monuments and Historic Sites has gained interest and has seen
an increasing involvement by geotechnical engineers. A
contribution to this heightened interest has also come from the
establishment and the activity of the ISSMGE Technical
Committee (Tsatsanifos and Psarropoulos 2009) and from the
impact of the debate that accompanied the search for solutions
and the implementation of difficult interventions in the case of
very famous monuments like the Tower of Pisa and the
Cathedral of Mexico City. The theme is now a topical one in all
Countries and often involves Geotechnical Engineers, but the
close relationship between Geotechnics, history and evolution
of engineering and architecture is particularly evident in Italy
where towns, buildings and monuments built over a time period
spanning thirty centuries, that are concrete evidence of how
civilization has evolved in the Mediterranean, pose daily
problems to restorers and conservation experts.
In Italy, almost all buildings, monuments and historic sites
have undergone successive changes throughout the centuries.
Their history bears witness to the succession of events, interests,
artistic trends, visions and to the evolution of construction
techniques that have occurred over time. Their conservation
demands contributions not only by the scholars of the Arts and
Humanities, but also by technical experts who are capable of
THE TECHNOLOGICAL PROGRESS OF

GEOTECHNICAL ENGINEERING
It is self-evident that since all buildings interact with the ground

on which they rise and are conditioned by its behaviour, their
state of conservation is affected by any deformation of the soil
and by any changes in its properties occurring naturally over
time or caused by variations in environmental conditions. A
monument, its foundation and the supporting ground should be
considered as parts of a comprehensive complex system, that
any saving proposal should take into account, but the soil is
generally more sensitive than construction materials to stress
variations and weathering; hence it is only natural that
Geotechnics should be involved in discussions on saving and
restoration problems since it is the discipline that more than any
other investigates the nature and causes of soil displacements,
and is therefore the best suited to finding ways of preserving
ancient buildings and monuments.
71
th
progressive instability caused by the erosion of the sand levels

and by the excavations made during the Middle Ages, but also
to free the stone face from the debris produced by the collapsed
rock and discover the unsuspected presence of Hypogeums
(Tomei and Filetici 2011).
New intervention arose also from the progress achieved in
the last decades in the knowledge of the behaviour of
unsaturated soils and in the measurement of soil suction.
Actually many old buildings with shallow footings suffer the
effects of the shrinkage and swelling of unsaturated cohesive
soils. The climate changes which occur in some world areas or
the water level decrease produced by intense pumping lead
often to new unattended settlements. However, as it has been
recently proposed and implemented, control system of the
saturation degree of the foundation soil can be carried out by
means of subsurface porous water pipes, to be driven according
to prearranged profiles (Carbonella et. al 2011).
The possibilities offered in this field by technological

progress in Geotechnical Engineering in recent years have
stimulated these activities all over the world, as is shown by the
reports published in journals and in conference proceedings. Of
course the potential of the new technologies opens up
fascinating prospects in this sector; suffice it to think of the
possibilities of introducing structural elements of any size into
the soil or of mixing the soil with cement to turn it into a new
coherent material that is very similar to concrete, or of injecting
hardening materials that replace pore pressure fluids in
predetermined points of the subsoil, using probes of all lengths
that can travel in any direction, even along predetermined and
controlled, curved lines.
Actually, scientific progress and the great potential and
flexibility of Geotechnical Engineering technology have
allowed for the conservation and protection of important
historic sites threatened by instability, landslides and weathering
of the soils on which they rise.
Suffice it to mention the measures taken to protect Orvieto,
Italy (Fig. 1), that took more than a decade, with the anchoring
of the high cliff faces made of soft pyroclastic rock (tuff) whose
stability had been undermined by the slow softening of the
Pliocene overconsolidated clays, present at their base
(Manfredini et al. 1980, Martinetti 1981, Lembo Fazio et al.
1984, Tommasi et al. 1997, Tommasi and Ribacchi 1997, Pane
and Martini 1997, Tommasi et al. 2005, Soccodato et al. 2013)
a)
a)
b)
Figure 2. a) The limestone cliff over the hermitage of Santa Caterina del
Sasso. b) The anchoring consolidation works.
A MORE RESPECTFUL APPROACH: PRESERVING

THE KNOWLEDGE OF THE PAST
Quite often, for most engineers, the interaction between

Geotechnics and the protection of ancient buildings is seen only
from the standpoint of the design and execution of consolidation
measures. First of all it has been noticed that measures taken to
improve the static behaviour or seismic resistance of ancient
buildings have not always had lasting effects, but on the
contrary they have often produced even greater and irreversible
damages. One example speaks for all: the Minaret of Mosul,
Iraq, UNESCO Heritage monument (Fig. 3). The heavy,
invasive, structural consolidation (by means of iron nails) and
underpinning (micropiles) carried out in the 1981 (Lizzi, 1982,
1997) have not protected the monument from a further
worsening of its static conditions, so much so that new
b)
Figure 1. Orvieto: the tuff high cliff (a) consolidated by means of
passive anchors, nails and drain pipes (b). Scheme of the strengthening
works along the edge of the Rock (Cencetti et al., 2005).
Not as extensive but not less important are the anchorage

works on another cliff face overlooking Lake Maggiore thanks
to which the historic hermitage of Santa Caterina del Sasso (Fig.
2) has been saved (Balossi Restelli 2009). More recently, a set
of fiberglass tie-rods and a masonry underpinning have stopped
the collapse of large tuff blocks from the NW face of the
Palatine Hill. This measure not only made it possible to stop the
72

th
measures are most urgent, but it is extremely difficult and

problematic to decide on how to go about such measures.
a)
b)
Figure 5. Some of the intervention measures proposed to save the Tower
of Pisa at the 1973 call for projects (Burland et al. 2013): a) Fondedile
proposal; b) Impredit-Gambogi-Rodio proposal.
Actually until the early 1990s, the concept that the

conservation of a monument involves also saving its
construction components, even those that are not visible had not
yet gained ground; the idea that the Tower of Pisa, once it were
to be transferred onto a new foundation built using the
technologies of the 20th century, would become a fake, only a
pure icon of the monument, was not understood (Calabresi and
Cestelli Guidi 1990, Calabresi 2011). The new way of thinking
made its way gradually and radically changed the cultural
approach to the consolidation of ancient buildings, and in the
case of the Tower of Pisa, it led to the solution that was finally
and happily adopted for its stabilization (Burland et al. 2000).
Figure 3. The Minaret of Mosul, underpinned micropiles and

structurally strengthened in 1981 (Lizzi 1982, 1997).
The role of Geotechnical Engineers in the conservation of

historic towns and monuments could be much broader and
multifaceted and even more attractive in cultural terms than
what is generally believed. The general perception of
geotechnical engineering only as a means for intervening in a
historic structure from the static standpoint is restrictive and far
from the present view of thinking about monument
conservation. Indeed it is now common thinking that the
replacement or substantial modification of a structure or of a
foundation alters or even eliminates forever an historically
essential feature of a monument, the idea being that even its non
visible parts, like the foundations, must also be preserved as a
material token of its history.
A self evident example of the changing of mind that
occurred in the course of a few decades is provided by the
Leaning Tower of Pisa: for a long time, faced with the objective
difficulty in interpreting the phenomena that were causing the
progressive inclination of the Tower, technological solutions
were offered that were intended to make the Tower independent
of the behaviour of its foundation soil. In 1962, F. Terracina, a
geotechnical engineer who was a passionate scholar of the
Tower, published a proposal (Fig. 4) that simply envisaged the
removal of soil from the uphill section (anticipating the solution
adopted 40 years later) (Terracina 1962), but its suggestion
remained unattended.
THE NEED OF MULTIDISCIPLINARY STUDIES
If the protection of a historic and monumental building has the

aim of maintaining and spreading the knowledge of past eras
and civilizations, then the study of the interaction between
buildings and the environment, and in particular their
foundation soils, brings a substantial contribution to it; it may
help understand the choices made by the designers at the time of
construction, the changes that occurred over the years, the
causes of damages, and the techniques and materials used and
relate them to the natural and artificial materials available, to
the machines and to the historic context. All this helps deepen
our knowledge of remote times. In this setting the contribution
offered by Geotechnics, alongside that offered by structural
engineers, geologists, seismologists, architects, art historians
and construction historians may play an extremely important
role. The examples of activities carried out with this spirit are
now a great many and have been quite successful with at times
unexpected and surprising results. More than thirty years ago
the archaeologist Gullini had already presented a fascinating
picture of the results achieved through cooperation between
geotechnical engineers, archaeologists and historians in
studying the developments in construction techniques and
design in antiquity (Gullini 1980). They studied the foundations
of ancient monuments and archaeological settlements in
Mesopotamia and in the Mediterranean area from the 4th
millennium B.C. to the late Roman Empire. Today there are
many conservation projects sponsored by UNESCO which have
a multidisciplinary approach in which Geology and Geotechnics
play an essential role: for instance mention can be made of the
set of measures proposed for Greece presented by IAEG
(Christaras 2003).
An Italian example is the Valley of the Temples in
Agrigento (Croce et al. 1980.): studies carried out on the slope
stability of the area where the temples rise have contributed to a
better understanding of the history of Magna Greece and of the
technical culture of its inhabitants between the 6th and 5th
centuries B.C. within the frame of our knowledge of ancient
Greece architecture (Dinsmoor 1975).
Figure 4. Layout of the underexcavation proposed by Terracina (1962).
Geotechnical Engineering had made great progress (with the

development of micropiles and consolidation techniques) and
the call for projects launched to save the Tower in 1973, after
the completion of the studies on its subsoil (Cestelli Guidi et al.
1971) attracted only projects that aimed at creating a deepseated underpinning (Fig. 5), across soils that were more or less
deformable (Burland et al. 2013).
73
th
to 1319, has a total height of 89 m; presently its axis has an

inclination of 116' against the vertical, that is not increasing. In
recent years there has been a widespread concern about the
possible seismic vulnerability of the tower and an in-depth
research has been carried out on its static and dynamic
equilibrium conditions (Lancellotta, 2007, 2013). The main
problem was whether the tower had a sufficient stability factor
against a seismic action of assumed intensity.
a)
b)
Figure 7. The Cathedral and the Ghirlandina tower at Modena. A view

of the leaning tower and the Cathedral apse.
c)
Figure 6. The Temple of Juno at Akragas (Agrigento). a) The
calcarenite cliff; b) An aerial view; c) An outline of its foundations
Cotecchia et al. 2000).
The rational layout of the Greek town, Akragas, is only one

of the many discoveries made (Fig. 6). Actually it is clear that
the designers took into account the geomorphological
characteristics of the area and they adopted solutions for the
foundations that contemplated the properties of the soils and the
seismic nature of the area (Cotecchia 1997, Cotecchia et al.
2000). Indeed, the foundations of the structural elements of all
the temples, consisting of large calcarenite blocks were placed
on the rigid and resistant calcarenite layer located at several
metres depth, underneath the Pliocene outcrop of a medium
hard clay: the foundation of the temple of Hera Lacinia is
located at more than 7 metres below ground surface. Does this
mean that the Greeks knew about the local amplification of
seismic action induced by the clay layer? The ruins of Jupiters
Temple, that had been built previously and that had collapsed
before its completion, suggest that this may be the case.
Being acquainted with all the details of a monuments
history is essential in studying how to conserve it and in finding
the best measures to ensure its conservation without
undermining its original characteristics.
The recent study of the static condition of the leaning tower
Ghirlandina in Modena (Figs. 7, 9) is a beautiful, outstanding
exemplary demonstration of the importance of deep historic
knowledge for explaining the nature and origin of the damages
and of the effective contribution offered by a thorough
geotechnical investigation. The Ghirlandina, that was designed
by Lanfranco, a famous medieval architect, and built from 1099
Figure 8. The planimetric positon of the various historic buildings and

of the ancient Roman road Aemilia (Lancellotta 2013).
The geotechnical characteristics of the site are very

complex. Actually the foundation soil is a succession of
geologically recent alluvial deposits, covered by a thick (more
than 6 m) layer of ancient, man made heterogeneous landfills.
The upper horizons down to about 22 m are formed by medium
to high plasticity inorganic clays, with an abundance of thin
laminae of sand and peat. The geological, geotechnical and
geophysical investigations showed that various periods of
emersion during the deposition of the thick alluvial deposit
generated a series of layers overconsolidated by desiccation.
74

th
In this connection another emblematic and famous case is

the Cathedral of Mexico City (Ovando-Shelley et al. 1997,
Tamez et al. 1997, Santoyo and Ovando-Shelley 2000, OvandoShelley and Santoyo 2001). Historic information made it
possible to identify the origin of the differential settlements of
the foundation soil, part of which had been consolidated by preColumbian works, and to design sub-excavation and soil
consolidation measures to offset the differential settlements
(Fig. 10). On the other hand, the studies on foundations have
contributed to a thorough understanding of the historic events of
the Cathedral and of the surrounding area.
A detailed history of the tower and the nearby Cathedral

(Labate 2009), their original design and subsequent
modifications, was obtained from the study of many archive
documents and was checked against the comparison of the
material and stylistic characteristics of the various masonry
levels of both buildings. In addition, on the basis of
archeological escavations made in 1913 (Sandonnini, 1983) and
more recent investigations (Labate, 2009), it was possible to
identify the position of the late medieval cathedral, the preLanfranco cathedral and the actual Lanfranco cathedral (Fig. 8).
Figure 9. Vertical sections of Ghirlandina tower: from the left, view

towards West, view towards North, view towards South, view towards
East (Lancellotta 2013).
Figure 10. Underexcavation at the Cathedral of Mexico City (Santoyo

and Ovando-Shelley, 2000).
Since the foundation soil has memory of the previous

loading history, this detailed reconstruction was the key to
explain the differential settlements, suffered by the cathedral
and in particular the tilt of its apse towards East and not only
towards the Ghirlandina tower.
Additional borings allowed to identify a detailed profile of
the soil upper layer and to find the remains of the ancient
Roman road Via Aemilia at a depth of about 7 m. By comparing
the different elevations of its pavement below the tower and
outside, it became possible to deduce the settlements of the
tower and the compressibility of its foundation soil. In order to
explore the stability equilibrium of the leaning tower (Cheney et
al. 1991, Di Tommaso et al. 2012) the inverted pendulum model
has been adopted. Its parameters were derived from the soil
investigations and from an experimental identification analysis
of the tower dynamic behaviour in the presence of ambient
vibration. The model parameters were chosen according to the
time histories of the tower vibration, collected by means of a set
of accelerometers at different heights; then a thorough analysis
of soil-structure interaction was carried out in order to get a
reliable estimate of the rotational stiffness and of the dynamic
response of the tower foundation. The results gave reason for
the good performance of the tower during the past seismic
events and showed that there is no need for underpinning
interventions. Furthermore it appeared that if the tower had been
underpinned on micropiles, following the dogmatic trend of 2030 years ago, the decrease of the fundamental period of the
structure would have increased its seismic vulnerability.
CRITICAL CASES
There is a long list of monumental buildings that, owing to the

slow or very slow displacements in the foundation planes, suffer
progressive instability. In these cases a conflict sets in between
the purely technological approach (aimed at reinstating the
safety of the monument with structural interventions which,
while ensuring that the external aspects are preserved, modify
the original structural design), and a softer approach, on the
other hand, that begins with a study of the phenomena
underlying the instability and makes a long and perhaps
uneventful search of the causes that need to be removed to stop
the instability and if possible save the monument without
substantial alterations so as to respect its historic integrity. It is
worth recalling that the search for the causes is always a timeconsuming exercise that is often much more expensive than
ordinary, obvious structural and geotechnical engineering
interventions. A systematic study of the saving projects carried
out in Italy until 1995, including buildings of different kinds
(Table 1), has shown that pure underpinning by micropiles was
the largely predominant type of measure (Fig. 11) which in
many cases was probably unnecessary or unsuited.
75
th
mere hypotheses: the Basilica of St. Angelo in Formis and the

Pienza Cathedral.
St. Angelo in Formis
St. Angelo in Formis is a Benedictine basilica near Capua which
rises on the slopes of a rock hill (Fig. 12); it was built in the 6th
century A.D. on the ruins of a Roman temple whose origins date
back to the 5th century B.C (Cammarota, 2013). The basilica,
which has three naves, presents traces of the changes it
underwent in time. In particular the bell tower and the portico
probably collapsed and were rebuilt in the 13th century. The
foundations of the apse, most of the external walls and the
pillars of the naves are rather shallow and rest on a fractured
dolomite mass, whereas the foundations of the facade, the
portico and a small proportion of the side walls rest on debris
deposits and backfill.
The geology of the area is complex because the dolomite
mass overlies more recent Oligocene and Myocene deposits and
there are major fractures of tectonic origin (Fig. 13). There is
knowledge of relevant repair and consolidation measures
adopted in 1732 and in 1930 after seismic damages. Of the more
recent earthquakes of 1962, 1970 and 1980, only the last one
caused some slight damages. From the end of the 1960s some
cracks of static origin appeared in the walls of the naves lying
over the pillars and with their slow progression they have
caused quite some alarm and have required underpinning props.
Table 1. Monuments types subjected to systematic study (from Cecconi

et al. 1997).
Figure 12. The Benedictine Basilica of St. Angelo in Formis.
a)
a)
b)
Figure 11. An analysis of some Italian monuments (modified from
Cecconi et al. 1997): a) damage types; b) preservation measures.
b)
Figure 13. St Angelo in Formis. a) The main fissures; b) Geologic
section of the foundation soil (Cammarota et al. 2013).
However sometimes the causes of the instability are not clear

and the possibility of removing them remains at best uncertain.
This is the case of two Italian monuments of great value for
which, after years of investigations, the causes of their
instability still have not been found and for which there are only
The geological and geotechnical investigations performed so

far in different stages have not helped to identify the causes of
the settlements of the foundation soil. A first hypothesis
attributed the instability to the mining activities carried out
using explosives in a nearby quarry, but even after the mining
76

th
and the sandstone scarp that delimits it towards the Orcia Valley
(Fig. 17): the apse, with its underlying crypt, had its foundations
downhill from the scarp where the level of the ground is about
15 m lower (Fig. 15).
The construction of the apse ran into considerable and
unexpected difficulties. In his memoirs the Pope wrote that the
foundation plane rested on rock masses crossed by large fissures
and that large arches were built across them to support the
foundations. Some fissures appeared in the walls of the apse
before the completion of the construction works, but Rossellino
attributed them to the setting of the mortar (Piccolomini 2008).
The church was inaugurated on 29 August 1462. New
cracks appeared soon after between the nave and the apse and in
the underlying crypt. Since then, for five centuries, there has
been an uninterrupted succession of instability phenomena and
consolidation works under the foundations; drifts and deep
drainage wells have been driven, reinforcement buttresses have
been built to uphold the apse, repairs and restructuring measures
have been adopted for the side walls, the crypt under the apse,
the vaults and the roof (Di Pasquale 1992).
All these measures were made necessary by the constant
lowering of the apse foundation downhill from the rock scarp:
there is proof that between 1520 and 1530 the floor of the apse
was al-ready lower than that of the nave by about 27
centimetres. A sudden settlement of about 0.3 m of the soil
downhill from the scarp occurred on the night of 26 November
1545 and caused the partial collapse of the apse and of the bell
tower. The event, described in the memoirs of a citizen of
Pienza is defined Terrae motus (literally a movement of the
earth), but there are doubts about it being an earthquake or a
sudden slope instability phenomenon, perhaps triggered by a
seismic quake. At present the overall difference in level of the
apse with respect to the nave is about one metre, as it can be
seen from the relative displacement of the cornice in Figure 16.
activities stopped in 1981 the cracks and fissures continued to

widen.
The origin of the distress remains unclear so that further
geotechnical investigations and more extended studies are
necessary. The safety of the fissured masonry structures
arches and vaults is currently ensured by provisional and
removable props, but while it is increasingly difficult to obtain
public economic support to carry out research into the causes of
the on-going phenomena, the proposals of consolidating the
masonry walls of the basilica by means of important structural
measures are bound to increase.
The Pienza Cathedral
The Pienza Cathedral (Fig. 14) is perhaps less famous than the
Tower of Pisa, but it is just as problematic and intriguing.
Figure 14. Cathedral of Pienza and Piccolomini Palace from the square.
Perhaps there is no other monument that, in its lifetime, has

been subjected to so many consolidation and strengthening
measures as the Pienza Cathedral, because of the very slow, but
continuous settlements of the foundation soil underneath its
apse (Forlani Conti 1986).
Figure 16. The cornice displacement shows the apse settlement.
Figure 15. The Piccolomini Palace and the Pienza Cathedral apse seen
from the rock scarp downhill.
In 1459 Enea Silvio Piccolomini, newly elected pope with the

name of Pius II, decided to raise the status of his birth town
with the construction of a Cathedral and some noble palaces.
Works for the construction of the new cathedral started in 1459
and were completed in only three years. In order to make sure
that the cathedral would be of appropriate proportions without
restricting the size of the main square, situated symbolically
between the Cathedral and the City Hall, the architect, Bernardo
Rossellino extended its layout beyond the walls of the village
Figure 17. Planimetric position of the Cathedral.
77
th
Main events in the Cathedral history (Fig. 18)

1458, Enea Silvio Piccolomini is elected pope (Pius II) and begins to
rebuild his home town.
1459, The construction of the Cathedral is initiated by Bernardo
Rossellino. Some problems arise in the apse foundation.
1462, At the end of the works some fissures appear close to the first
choir chapel. Their openings increase towards the vaults. (a)
1462, Aug. 29, Solemn opening of the Cathedral.
1490, The apse begins to settle.
1500, The settlement of the apse reaches about 0.3 m.
1503, A tunnel is built to drain water from under the crypt.
1508, Two buttress piers are built against the apse to sustain it.(b)
1514, A wall is built around the apse. The settlement reaches 0.45 m
1545, Nov. 25, An earthquake (?) causes a large settlement of the apse
and the collapse of the belfry; a crack appears along the natural
scarp, SW of the town. (c)
1570, Repair works of the earthquake damages are completed. The
collapsed vaults of the transept are substituted by false vaults
1596, The crypt arches and the external walls are streightened.
1604, A. Sandrini, architect, states that the damages are due to the
slope movement, so that underpinning the apse is useless. (d)
1650 - 1760, Repeated repair works. The apse is more than 25 cm out
of the plumb line.
1750 - 1770, A proposal of demolishing the apse and shortening the
church is considered, but happily not carried out.
1888 - 1895, Collapsing vaults are replaced by false works. The
pillars are connected by steel tendons. The apse has settled 0.85 m
and has increased its detachment from the nave. (e)
1911 - 1925, Underpinning of the apse with masonry pillars, which
bypass the sandstone layer to reach the marly clay. (f)
1926 - 1929, Various repair works are carried on, the apse walls are
strengthened. The transept is underpinned.
1930 - 1933, The apse and crypt vaults are rebuilt. (g)
1958 - 1962, Underpinning of nave and aisle pillars with root piles. A
hydraulic diaphragm is built around the front. (h)
c
)
d)
e
)
a)
f)
b)
78

th
engineer who identified two traces of a vicarious fault,

practically aligned with the cracks in the walls, having a total
throw of about 15 m. Quite surprisingly the new structural
consolidation measures adopted a few years later did not take
this fact into any account.
Later, between 1979 and 1984 a more thorough survey was
made of the structures and of the relevant instability and
geological and geotechnical investigations were carried out to
define the bedding and mechanical characteristics of the
foundation soils.
The following figures (Figs. 19, 20) show two stratigraphic
sections and their positions in the plan view. Under the square
and the nave of the Cathedral a limestone layer 3 to 4 m thick
over-laps the weakly cemented sand and fissured sandstone
layer, having a thickness of 12-15 metres, which can be seen in
the scarp on the sides of the apse (Lazzarotto and Micheluccini
1986, Calabresi et al. 1988, Calabresi et al. 1998).
g)
a)
h)
Figure 18. Main events in the Pienza Cathedral history: a) 1462;
b) 1503-1508; c) 1514-1545; d) 1570-179e) 1888-1895; f) 1908-1920;
g) 1922 -1933; h) 1955 - 1979 (Di Pasquale 1992).
The phenomenon has always been attributed to the poor

quality of the foundation soil, to its many fissures and to the
effects of underground water. The sole exception is a report on
instability dated 1604, in which an architect, A. Sandrini,
having noticed that the earth surface fissures caused by the 1545
displacements were aligned with the scarp and extended
throughout the whole southern side of the village, stated that the
apse settlement was due to the movement of the slope; this
interpretation of the phenomenon has been systematically
ignored.
In about 1750, as the instability in the area of the apse
continued, suggestions were made to demolish that part and
restrict the Cathedral to the part rising on the uphill part of the
scarp. Luckily the proposal was not followed up and further
measures were taken to consolidate the walls and foundations of
the apse.
In 1911, as concerns grew for the stability of the Cathedral, a
lively debate occurred between those who suggested
underpinning the apse and those who, following the example of
what had just be done for the Spina Church in Pisa, suggested
dismantling the apse to build a new foundation. In any case
everyone was persuaded that the settlement of the apse was due
to the poor quality of the foundation soil. Luckily the first
position prevailed and between 1911 and 1929, by means of
sample excavations through the sandstones to the underlying
marly clays, stone and brick pillars were built under the apse
down to more than 20 m from ground level downhill from the
scarp. It was deemed that the apse, provided with a rigid
monolithic foundation resting on the layer of marly clays, was
finally consolidated. However, cracks causing detachment of
the apse from the nave occurred again quite soon and in 1956 a
new study committee was appointed including a geologist
b)
Figure 19. a) The Cathedral plan and the traces of the fault traces; b)
Geologic section AA, parallel to the church axis;
Figure 20. The axial section BB shows the position of the foundation
block relative to the fault planes.
79
th
Then it was finally stated that the apse settlement is not due
to the deformation of the foundation soil but to the constant
lowering of the area downhill from the set of faults.
2011$
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fault throw
a)
0$
Figure 21. The main fault surface about 400 m N-W of the Cathedral
!2$
!4$
!6$
abbassamen' (mm(
It lies on a Pliocene formation of strongly overconsolidated

marly clays whose thickness is about 100 m at the centre of
Pienza and increases to over 800 m southwards (Brogi et al.
2005). The substrate of the Pliocene sediments consists of
Mesozoic, carbonate-siliceous formations of the Tuscan
Series. The discontinuities that border the scarp, already
identified in 1956, are a set of locally vicarious faults having a
WNW-ESE direction and southward dip. They are crossed by
minor, approximately perpendicular discontinuities.
The geotechnical investigations showed that both the
sandstones and the underlying marly clays have high strength
and negligible compressibility.
In 1983 a periodical levelling was started by installing many
benchmarks, uphill and downhill from the scarp and from the
set of faults (Fig. 22). The measurements, repeated every year
until 1992 (Guidi 1986) then at various intervals between 1994
and 1999 and resumed recently, show that the whole area
covered by the bench-marks downhill from the scarp has a
constant non uniform settlement of between 1 and 2 mm per
year (Figs. 23, 24). Minor effects of this phenomenon are
visible in other buildings in the same area (Costantini and
Lazzarotto 2010). The lack of uniformity of the settlement rate
shows that the Pliocene marly clay is split by the sets of
discontinuities; the main vicarious fault is the main, but not the
only source, of the soil displacement downhill from the scarp.
!8$
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CS$23$
CS$24$
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b)
Figure 23. Settlements of two significant points close to the Cathedral
apse: a) plan view; b) settlements vs. time
0.0 0.4mm/a
0.4 0.8mm/a
0.8 1.1mm/a
1.1 1.5mm/a
>1.5mm/a
Figure 24. Settlement rate contours in the area south of the Cathedral.
Figure 22. Ground settlement contours from June 1983 to January 1992.
Horizontal displacements are null or non measurable. The

steady and extremely small rate of the movement, detectable
only by a high precision levelling over a long term campaign
explains why the phenomenon was never detected in the past.
80
At the present time the masonry block constituting the

underpinning of the apse built at the beginning of last century,
whose internal edge lies uphill from a fault plane, while the
external part is downhill, has a rigid downhill rotation which
involves the overlying apse. Since the existence of an active
fault should be ruled out, the only hypothesis that would
account for the continuous settlement is a deep seated
gravitational slope deformation within the marly clay formation,
influenced by the shape of its bed and by the discontinuity
surfaces (Genevois and Tecca, 1984, Calabresi 1992, Calabresi
et al. 1995, Calabresi et al. 1988, Sciotti and Calabresi 2004).
A recent seismic investigation along a longitudinal section
measuring more than 1000 metres has highlighted a significant
anomaly in the P-wave velocity contours under the Cathedral
apse and a depression in the bed of the Pliocene deposits in the
zone where the surface movements are largest, thus confirming
that the faults detected at the surface involve also the underlying

th
Mesozoic formation (Fig. 25). The lines of larger Vp gradient

obtained from the seismic reflection investigation (Fig. 26)
show the main units of the stratigraphic section and the probable
traces of the discontinuity surfaces (Brogi et al. 2003).
A likely hypothesis is that the sinking of a dihedral mass
between two convergent fault planes is made possible by a
horizontal displacement rate of the downhill zone too small to
be topographically detectable. While it is evident that the faults,
along whose surface the clay shear strength has a residual value,
and the sets of minor discontinuities have a critical influence on
the equilibrium conditions of the slope, their geometric
characteristics and the cleft water pressures (Calabresi and
Manfredini 1973, Sciotti and Calabresi 2004) have not yet been
sufficiently defined to get a convincing explanation of the
phenomenon.
The project of a deeper geostructural and geotechnical
research has been recently submitted to the study committee
recently charged of carrying out an updated analysis of the
Cathedral conditions, but its implementation has been delayed
by economic problems. However the fundamental question still
remains: assuming that the above explanation be correct, could
a geotechnical measure, such as a decrease of the piezometric
head, be designed to slow down the movement?
opinions. Some structural solutions were presented and

discussed at a special conference (Mascardi 1992, Migliacci
1992), where however the concept of protecting the monument
and its history also from a material point of view, without
modifying its original design with inappropriate changes,
largely prevailed. Luckily the rates of subsidence and rotation of
the apse are very small and leave time for geotechnical
engineers to look for a possible soft solution. There is a hope
that they may win the challenge as it has happened for the
Tower of Pisa.
CONCLUSIONS
Geotechnics may offer a significant contribution to the
knowledge of ancient designs and construction techniques and
to the interpretation of the causes of instability. The effects of
deformations in foundation soils that occurred in ancient times,
or that are difficult to trace back to any specific cause, can often
be observed in ancient buildings. An ancient building or historic
site is interesting in and of itself for geotechnical engineers,
since it constitutes a monitoring instrument of the long term
behaviour of the soil that influences them.
The progress of geotechnical engineering and of the
specialized technologies offer the means to perform complex
and efficient interventions to save monuments, historic
buildings and old towns. However too often in the last decades
the new opportunities offered by this progress and the
cooperation of geotechnical engineers has been utilized
inappropriately by applying new deep foundations and
structural modifications, that overcome the ancient building
distress in a simplistic way, that ignores the history of the object
of the intervention, from its initial building to our time, and the
witness value of the technical solutions adopted by our
predecessors and of their expertise.
The great challenge is how to save monuments and historic
buildings together with the physical token of their conception,
their original construction techniques and their historic
modifications, that are tangible witnesses of the history of
mankind.
The problems posed by slow, continuous settlements induced
by deep seated deformations, which require long, in-depth and
expensive investigations, are among the most difficult to be
understood and explained. However the geotechnical engineers
should feel themselves engaged in exploiting their knowledge of
soil mechanics and applied geology to look for a way, if it
exists, to save monuments and historic sites by removing the
cause of distress and avoiding heavy structural interventions
that distort their substantial characters.
The cooperation of architects, historians, archaeologists,
structural and geotechnical engineers is the necessary
precondition for a respectful attitude towards conservation
problems.
In this context the geotechnical engineers have also the
opportunity of actively contributing to the knowledge of the
history of architecture and engineering, by following the
unforgettable example and the footsteps of our great colleague
Jean Kerisel.
a)
b)
Figure 25. Seismic refraction tomography. a) The section trace;
b) P-wave velocity contours.
Figure 26. Wave P velocity gradients from the seismic reflection

measurements. 1. Remoulded superficial soil; 2. Limestone and
Sandstone (Pliocene); 3. Over-consolidated marly clays (Pliocene); 4, 5
carbonate-siliceous formations Tuscan Series (Mesozoic);
6 Anhydrite (Trias).
ACKNOWLEDGEMENTS
The Author is very grateful to his colleagues of the Pienza
Scientific Committee Antonio Lazzarotto and Silvia Briccoli
Bati for their continuous, friendly collaboration and for their
help in gathering the relative documentation. The very precious
help of Dr. Manuela Cecconi in preparing the paper is gratefully
acknowledged.
Consolidation measures of the Cathedral of an entirely different

approach, aimed at supporting the apse area with new reinforced
concrete structures hinged to the ground uphill from the fault,
are repeatedly being submitted by groups with different
81
th
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Croce. A et al. 1980. La citt di Agrigento e la Valle dei Templi. Atti
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83
th
lecture
McClelland Lecture
Analytical contributions to offshore geotechnical engineering
Confrence McClelland
Contributions des mthodes analytiques la gotechnique offshore
Randolph M. F.
Centre for Offshore Foundation Systems, University of Western Australia
ABSTRACT: The theme of this paper, the written version of the 2nd McClelland Lecture, is the contribution of analysis to offshore
geotechnical engineering. The application areas considered range from the axial and lateral response of piles, to seabed infrastructure
associated with deep water applications, including shallow skirted foundations, anchors, pipelines and risers. The emphasis
throughout is on analytical solutions, including appropriately framed outcomes of numerical studies. Most of the material is
retrospective, summarising key contributions in an effort to facilitate access, and thus help close the gap between theory and practice.
RSUM : Lobjet de cet article, la 2e confrence McClelland, est de prsenter les contributions des mthodes analytiques la
gotechnique offshore. Il couvre plusieurs champs dapplication, de la capacit axiale et horizontale des pieux au comportement des
structures gotechniques associes aux dveloppements en eaux profondes, incluant notamment les fondations superficielles avec
jupe, les systmes dancrages et les pipelines. Laccent est notamment port sur les solutions analytiques, dont certaines sont bases
sur des rsultats de solutions numriques. Lessentiel du contenu de cet article rsume les contributions antrieures les plus
significatives, de faon en faciliter laccs et ainsi rduire lcart entre thorie et pratique.
KEYWORDS: Analysis, consolidation, offshore engineering, penetrometers, pile foundations, pipelines, shallow foundations.
1
problem geometry or of the soil response, for example linear

elasticity for stiffness solutions, or perfect plasticity for capacity
solutions. However, they still provide a framework linking the
outcome to the various input parameters, highlighting the
critical sensitivities of the response, facilitating parametric
studies and quantifying the effect of different idealisations.
The paper takes a retrospective look at some of the analytical
contributions relevant to offshore geotechnical engineering,
drawing attention to the potential application of the solutions in
design guidelines and day to day practice. The first part of the
paper revisits solutions for the axial and lateral response of pile
foundations, which are still the main type of foundation for
offshore structures in moderate or shallow water depths and for
tension leg platforms in deeper water. The remainder of the
paper then focuses more on applications relevant for deep water
developments, including subsea foundations, anchors and
pipelines. Of necessity, restrictions on the length of the paper
have required me to focus on a few specific issues within each
topic, in particular where solutions point the way towards
improved design recommendations, and recent work addressing
developing areas of offshore geotechnical engineering.
Before discussing the applications themselves, I should
clarify what I intend by the word analytical within the present
context. I include within this term appropriately conceived
parametric studies undertaken through numerical analysis.
These should lead to algebraic expressions or charts that may be
used in design, identifying the relative contribution of nondimensional groups of parameters that affect the result. By
contrast, an algebraic fit through experimental data will rarely
provide comparable insight, and should instead be taken as
encouragement to quantify the phenomenon through analytical
or numerical means. That said, I have always been a strong
proponent of the need for high quality experimental data, but
with the primary objectives of stimulating understanding of the
problem for subsequent analysis, and where necessary to
calibrate specific areas of uncertainty in analytical models.
INTRODUCTION
I was privileged to meet Bram McClelland on a few occasions

and have always held him in the highest regard. Much of my
early exposure to the offshore world was through interactions
with the London and Houston branches of the consulting
company, McClelland Engineers, that he founded. It was
therefore a great honour to be invited to give this, the 2nd,
McClelland Lecture, and I am gratified that the written version
of the lecture is to form part of the proceedings of the 18th
International Conference on Soil Mechanics and Geotechnical
Engineering. Following in the footsteps of the first McClelland
Lecturer, Don Murff (Murff, 2012), is no easy feat, although I
must admit to having become somewhat accustomed to this
during my career. More times than I can remember I have found
(often retrospectively) that an analytical contribution I have
offered has been covered elegantly by Don in a prior
publication. It is fitting, therefore, to continue the theme of his
own McClelland lecture, in targeting the gap between theory
and practice, drawing attention to and summarising various
analytical contributions.
In an era where virtually any geotechnical application can be
modelled numerically, with idealisations potentially limited
only to those associated with the constitutive response of the
soil, it is tempting to wonder whether true analytical solutions
still have a role. At the opposite extreme, design guidelines such
as API (2011) and ISO (2003, 2007) are inevitably slow to
evolve and in many places rely on somewhat dated suggestions,
either empirical or quasi-analytical. There is limited incentive to
refine them through analysis without clear evidence of lack of
conservatism, or the reverse, excessive conservatism.
The potential of analysis is its ability to provide a direct,
ideally quantitative, link between a required output and the
various input parameters for a given application. At a basic
level, dimensional analysis should indicate appropriate nondimensional forms for input and output quantities. Analytical
solutions will typically contain idealisations, either of the
851
th
2
2.1
stress is expressed as a function of h/D. These two approaches

result in quite similar forms of expression for the shaft friction,
but the underlying conceptual models differ. Friction
degradation according to h/D, rather than h/Deq seems more
logical, since the soil at depths shallower than the pile tip no
longer has any knowledge of (or influence from) the area ratio
in respect of subsequent densification within the shearing zone
adjacent to the pile. The influence of the area ratio on the initial
radial stress is also supported by analysis (White et al. 2005).
It is acknowledged that the use of the distance, h, to quantify
friction degradation is really a surrogate for the number of shear
stress cycles to which the soil is exposed, since it is the cyclic
shearing that provides the underlying mechanism (White and
Lehane 2004). Normalisation by D pre-supposes that piles of
different diameter are subjected to broadly similar numbers of
hammer blows per diameter advance. Relatively easy or hard
driving will affect the rate of friction degradation with h/D.
Indeed, ad hoc experimental evidence suggests that hard
driving, with limited advance per blow, can cause greater harm
due to friction degradation than any benefit obtained by
advancing the pile tip further.
A missing element from current friction degradation models
is any quantified minimum value of shaft friction, below which
degradation ceases, because the density of the sand at the pilesoil interface has reached its maximum value for the particular
effective stress level. This type of stabilisation has been
explored through constant normal stiffness (CNS) shear box
testing, and the framework of a predictive model proposed,
based on concepts of critical state soil mechanics (DeJong et al.
2006). The secondary influence on the rate of degradation of the
cavity stiffness, which is proportional to Gmax/D, would
probably be too elusive to extract from the database of pile load
tests, but offers a suitable basis with which to refine predictive
approaches.
PILE FOUNDATIONS
Axial shaft friction
Arguably the most important aspect of pile design, estimation of

the profile of limiting shaft friction, has proved resistant to
analytical treatment, although understanding of the processes
involved has gradually developed. This has allowed appropriate
non-dimensional quantities on which the limiting shaft friction
depends to be identified. A full discussion of the current design
recommendations for shaft friction was provided recently by
Jeanjean (2012), and so the remarks below are limited to
relatively high level principles underlying the guidelines.
In clays and other fine-grained soils, where installation of
driven piles occurs over a shorter time scale than dissipation of
excess pore pressures, the main quantities to be considered are
the undrained shear strength, su, of the sediments, the vertical
effective stress, 'v0, and pile geometry: diameter, D, and
embedment length, L. It may also be necessary to consider the
distance, h, of the element in question from the pile tip. With
these parameters as input, empirical correlations have then been
used to establish guidelines for the limiting shaft friction, f,
normalised by su or 'v0, as a function of su/'v0, L/D and h/D.
Other quantities such as the internal angle of friction, and in situ
stress ratio, K0, are captured to some extent by the strength
ratio, su/'v0, at least within the accuracy of the empirical
database. In some clays it may also be necessary to consider the
extent to which shaft friction may be limited by a low interface
friction angle between pile and soil, or immediately adjacent to
the pile, due to the formation of residual surfaces in the clay.
For sands, the cone resistance, qc (more strictly the net
resistance, qnet) essentially replaces the undrained shear strength
in terms of providing a normalising quantity for f and 'v0. The
interface friction angle must also be considered, although
spanning a relatively small range for typical pile surfaces.
The area ratio of open-ended driven piles, relating the crosssectional area of steel to the gross cross-sectional area of the
pile, affects the external soil displacement and hence the stress
changes in the soil around the pile. For fine-grained soils this
will influence the extent of the excess pore pressure field
generated during pile installation, and hence the time scale of
excess pore pressure dissipation and increase in shaft friction
(Randolph 2003), as discussed further below.
It has always been intriguing that the database of pile load
tests in clay does not show discernible differences in shaft
capacity depending on whether the pile was open-ended or
closed-ended (including solid), even though the external stress
changes during installation must be affected to some degree.
However, cavity expansion analysis shows that, for typical wall
thickness ratios (or ratios of Deq/D), the expansion stress is not
significantly less (perhaps 15 to 20 %) than for a solid pile, and
also some proportion of the total stress increase is lost during
the consolidation process, moderating the difference. By
contrast, suction caissons have much higher D/t ratios, and even
more so when allowance is made for some of the soil displaced
by the tip entering the caisson. Hence the final shaft friction will
be lower than for a driven pile in similar soil (Randolph 2003).
For sands, the area ratio, Ar (or more precisely the effective
area ratio, Lehane et al. 2005) influences the magnitude of the
radial stresses established in the soil as the pile tip passes, and
which subsequently decrease as the pile is driven deeper. A
subtle difference among the different cone-based design
methods is the manner in which the area ratio is implemented in
the estimation of shaft friction (Schneider et al. 2008). In the
Imperial College method (Jardine et al. 2005), the shaft friction
is taken to degrade from its initial value as a function of the
distance, h, normalised by the equivalent diameter, Deq, (where
Deq2 = ArD2). By contrast, in the UWA approach (Lehane et al.
2005), while the area ratio is used to modify the ratio of radial
stress (close to the pile tip) to qc, the subsequent decay in radial
2.2
Post-installation consolidation
The increase in pile shaft capacity following installation is

amenable to analysis, since it corresponds to dissipation of
excess pore pressure through (primarily) radial consolidation.
Analytical solutions for radial consolidation, following insertion
of a solid object such as a pile or piezocone, give the normalised
excess pore pressure, U = u/uinitial, as a function of a nondimensional time T = cvt/D2, where cv is the consolidation
coefficient (Randolph and Wroth 1979). The solution depends
on the rigidity index, G/su, associated with cavity expansion
(i.e. the penetration phase). For G/su ~ 100, the relationship
between U and T may be approximated by
1
1T/ T500.75
(1)
where T50 is the time for 50 % dissipation and is about 0.6. The
corresponding value of T90 is about 12.
The consolidation coefficient is that associated with radial
consolidation and, just as for piezocone dissipation, is biased
more towards conditions of swelling, which occurs in the mid to
far field, rather than the compression and loss of water content
that occurs close to the pile. For an open-ended pile or caisson,
the outer diameter, D, should be replaced by the equivalent
diameter, Deq, so that T is defined as (Randolph 2003)
cvt cvt
T
2
Deq
ArD2
(2)
There is very limited field data with which to compare the

solution for excess pore pressure dissipation, although some
recent studies have reported increases in pile driving resistance
86

th
1
Relative increase in shaft resistance
(Dutt and Ehlers 2009), and of suction caisson extraction

resistance (Colliat and Colliard 2010).
Figure 1 shows a comparison of the radial consolidation
solution with the driving resistance data from Dutt and Ehlers,
taken from sites off the coast of West Africa and in the Gulf of
Mexico. The long term driving resistance was estimated directly
from the API design guidelines, since the longest re-drive delay
was only 8 days (West Africa) to 12 days (Gulf of Mexico). The
data were plotted together, even though the pile diameters
varied between 2.7 m (West Africa, diameter to wall thickness
D/t = 40, so Deq = 0.85 m) and 2.1 m (Gulf of Mexico: D/t = 48,
so Deq = 0.6 m). The initial driving resistance was around 20 %
of the (estimated) long term resistance, so the analytical
consolidation solution has been adjusted to give a proportion of
long term resistance of 0.2 + 0.8U. The solution matches the
Gulf of Mexico data reasonably, with a plausible consolidation
coefficient of cv = 20 m2/yr. The data from West Africa do not
show a clear trend, but are mostly bounded by a theoretical
curve for cv = 100 m2/yr. Although this seems quite high, these
piles were driven to a depth of 150 m, twice the depth of the
Gulf of Mexico piles, and so is reasonable as an upper bound.
Data from suction caissons from offshore West Africa are
shown in Figure 2. The suction caissons were extracted (by
pumping water into them) at different periods following
installation (Colliat and Colliard 2010). The diameters ranged
between 3.8 and 8 m, and penetration depths from 16.5 to
20.5 m. Although much greater diameter than typical driven
piles, the values of wall thickness were only 20 or 25 mm.
Allowing for only 50 % of the soil displaced being pushed
outwards (Zhou and Randolph 2006), the equivalent diameters
are only 0.28 to 0.45 m.
The relative increase in shaft resistance has been obtained by
normalising by the original shaft resistance. The longest elapsed
time was 1260 days, where the reported shaft resistance was
2.03 times the installation value (the data point is plotted at a
reduced time of 100 days, in order to limit the time axis). All
data points on Figure 2 have been plotted after first scaling the
actual time by (0.3/Deq)2 in order to give a common basis of
comparison. Inevitably there is some scatter in the data, but the
theoretical consolidation curve for cv = 10 m2/yr (and
Deq = 0.3 m) lies within a factor of about 2 for all but one
datapoint. The coefficient of consolidation seems reasonable,
given that the average depth is almost an order of magnitude
lower than for the driven piles in Figure 1.
0.9
0.8
Radialconsolidationsolution
(cv =10 m2/yr;Deq =0.3m)
0.7
0.6
0.5
0.4
0.3
Datafromsuctionanchors
(Colliat &Colliard2011)
0.2
0.1
0
0.1
1
10
Time (days) - scaled for Deq = 0.3 m
100
Figure 2 Increase in suction caisson extraction resistance with time

following installation.
The time scale of consolidation reported by Colliat and

Colliard (2010) is similar to that noted by Jeanjean (2006), for
suction caissons with diameters 2.9 to 3.7 m (equivalent
diameters of 0.39 to 0.53 m). Unfortunately, though, the latter
dataset did not include any short term restart or retrieval data,
with the earliest being after a time delay of 50 days (equivalent
to 16 days for Deq = 0.3 m). As such, all cases showed relative
increases in excess of 50 %. The average long term (~1000 day)
increase in shaft resistance was only 75 %, compared with
100 % for the West Africa suction caisson data.
It is perhaps disappointing that greater use is not made of
rigorous consolidation analysis in estimating the time scale for
the increase in shaft resistance of piles and suction caissons.
Commentary on the topic is partly obscured by musings on
thixotropy, which may play a role but with no guidance
provided on how to scale from laboratory to field. Ultimately
the shaft resistance results from the increase in normal effective
stress, which is adequately modelled by consolidation analysis.
2.3
Axial load-displacement response
In the offshore industry it is customary to use load transfer

methods to evaluate the axial load-displacement response. Nonlinear load transfer curves allow the full pile response to be
evaluated, from the initial quasi-linear response right up to
failure. It is instructive, though, to consider the form of the load
transfer curves, and elastic solutions for the complete pile that
are applicable at low load levels.
Analytical solutions for axial pile response abound, with
gradually increasing degree of sophistication, starting with
Murff (1975) for the case of a linear load transfer stiffness, ka,
uniform with depth. Randolph and Wroth (1978) related the
load transfer stiffness to the soil shear modulus, G, and
extended the solution in an approximate manner to consider a
linear variation of modulus with depth. This was later extended
in a more rigorous manner by Guo and Randolph (1997) for
power law variations of modulus with depth, and by Mylonakis
and Gazetas (1998) for layered profiles, and with allowance for
interaction effects between piles.
The solutions for uniform soil modulus with depth may be
expressed in the generic form of
cv =100 m2/yr;
Deff =0.85m
Radialconsolidationsolution
(cv =20 m2/yr;Deq =0.6m)
Pt
K S tanhL
K axial
S b
wt
S K b tanhL
(3)
with
Figure 1 Increase in pile shaft capacity with time following driving
(field data and original figure from Dutt and Ehlers 2009).
k
L a L and
S
EA p
87
EAp
L
EAp k a
(4)
th
where Pt and wt are the load and displacement at the top of the
pile, Kb is the base stiffness (Pb/wb), L the embedded pile length
and (EA)p the cross-sectional rigidity of the pile. The solution
may be extended for linear variation of modulus with depth by
pre-multiplying the tanh(L) term in the numerator by , the
ratio of average modulus to that just above the pile base
(Randolph and Wroth 1978); for layered profiles, the base
stiffness, Kb, can be replaced by the load-displacement stiffness
of the pile segment below the one under consideration, nesting
subsequent layers in the same way.
The load transfer stiffness, ka, (ratio of axial load transfer per
unit length of pile to the local axial displacement) may be
related to the soil shear modulus, G, by
ka
2
2L
G where ~ ln
~4
The analytical solution for the pile head stiffness allows the
effect of pile compression (or extension), which is controlled by
the quantity L, to be explored. For a stiff pile (high ratio of
(EA)p/L to kaL), the overall pile head stiffness, Kaxial, is just the
sum of the shaft and base stiffness acting in parallel (i.e.
Kb + kaL). However, as L increases, tanh(L) approaches
unity and the pile head stiffness asymptotes to
EAp k a ~ 1.25 EAp G

K axial
S
The above relationship is useful for estimating the dynamic

stiffness of a pile (substituting G0 for G). It also provides a
guide to evaluate the load at which failure first occurs at the
pile-soil interface, which may be expressed as
(5)
Pslip
Randolph and Wroth (1978) provided more explicit guidance on

the parameter , which arises due to a logarithmic singularity in
integrating the shear strains around the pile. However, within
the accuracy to which G may be determined, a value of 4 is
sufficiently accurate for piles of moderate L/D.
The ratio of shear strain in the soil adjacent to the pile to the
normalised displacement, w/D, is given by /2 (i.e. about 2).
This leads to a first estimate for the pile displacement required
to mobilise full shaft friction as wf/D ~ 2f/G (where f is the
limiting shaft friction), which would fall in the range 0.5 to 2 %
for G/f of 100 to 400. For a hyperbolic soil response where the
secant shear modulus decreases inversely with the strength
mobilisation, /f, the parameter may be replaced by (Kraft et
al. 1981)
~ 4 ln(1 ) where
Rf
Qshaft
or
k a initial ~ 1.5G 0
1
1
L L
EAp
ka
0.8
L
EAp
(9)
This has particular relevance for assessing the cyclic robustness

of piles under axial loading. There is substantial experimental
evidence that suggests degradation in load transfer under cyclic
loading occurs very rapidly once local slip has occurred
(Erbrich et al. 2010). Stability diagrams for cyclic loading are
generally expressed in terms of the cyclic and mean loads
applied at the pile head, normalised by the pile (shaft) capacity,
as illustrated in Figure 3 (Poulos 1988, Puech et al. 2013).
However, such diagrams do not take account of the relative
compressibility (or extensibility) of the pile within the soil. For
high ratios of (EA)p/GL2, slip will occur at relatively low
proportions of the shaft capacity, which will allow degradation
to occur, reducing the shaft friction in the upper part of the pile
to a cyclic residual level.
(6)
with the hyperbolic parameter, Rf, typically around 0.9 to 0.95.

This gives a reduction in secant load transfer stiffness by a
factor of approximately 2 between low and high shaft friction
mobilisation. More general forms of hyperbolic soil model,
such as suggested by Fahey and Carter (1993), may be
integrated to provide alternative estimates for the evolution of
the load transfer stiffness.
The generic form of axial load transfer curves suggested in
the offshore guidelines are consistent with this reduction in
secant stiffness, with normalised ratios of (/f)/(w/wf) that
reduce from 1.875 to unity. In a welcome step forward, the
latest version of the API guidelines (API 2011) now
recommends a similar shape of load transfer curve, and
mobilisation displacement, wf, for sand as for clay, replacing the
previous recommendation of 2.5 mm for sand (an anachronism
based on experimental data for relatively small pile diameters).
Jeanjean et al. (2010) outlined the logic for mobilisation
distances for sand, with correlations for G/'v0 and /'v0
suggesting values around 0.5 % of the diameter, but
experimental data generally grouped above 1 % of the diameter.
The net result was to propose a similar range for the
displacement, wf, to mobilise failure, for both sand and clay, in
the range 0.5 to 2 %.
The underlying theoretical link between the load transfer
stiffness and the soil shear modulus should, however, be borne
in mind. Where values of small strain shear modulus are
available, it would be more sound, theoretically (particularly for
assessing dynamic stiffness), to link the initial load transfer
gradient to the small strain shear modulus of the soil. Thus the
initial gradient should be
G
d
~ 0
dw
initial 2 D
(8)
Normalised cyclic load, Qcyclic/Qshaft
0.8
Unstable
N < 10
0.6
Increasing cycles
(N) to failure
N ~ 300
0.4
Metastable
0.2
Stable N
> 10,000
0
0
0.2
0.4
0.6
0.8
Mean load, Qmean/Qshaft

Figure 3 Typical form of cyclic stability diagram.
Cyclic stability diagrams are therefore of limited use for a

complete pile (unless it is relatively stiff), although they are
useful to describe the soil response at a local level, rather like
similar diagrams for element tests (Andersen 2009). An
alternative approach is to use shakedown theory to arrive
iteratively at a profile of mean and cyclic shear stresses down
the pile that all lie within the stable zone of a stability diagram
(based on soil element response). Residual shaft friction
conditions should first be assumed throughout the upper region
of the pile where slip occurs under the maximum operational
loading.
(7)
88

th
2.4
With this definition, the reduction factor can be approximated as
Post-peak strain softening
Axial compression or extension of the pile leads to non-uniform

mobilisation of shaft friction down the length of the pile, with
slip between pile and soil generally being initiated at the
mudline and gradually propagating down the length of the shaft.
Any strain softening in the load transfer response will therefore
allow a form of progressive failure, such that the maximum
shaft resistance will be less than the ideal value for a
hypothetical rigid pile.
Alternative forms of load transfer curve are shown in
normalised form in Figure 4, with the linear degradation to
70 % of peak shaft friction being consistent with API and ISO
design guidelines for clay. A difficult consideration is how to
scale the degradation response from laboratory to field scale,
and the extent to which a given degree of degradation should be
based on absolute displacement or displacement scaled to pile
diameter. Even though the degradation occurs locally at the
pile-soil interface, the surrounding stress field (and even the
width of the main shearing zone) is affected by the pile size, so
that scaling with pile diameter seems at least partly justified. In
some soil types, much more significant degradation can occur
(Erbrich et al. 2010), possibly occurring over rather greater
displacement than the 1 % of pile diameter suggested in
offshore design guidelines.
R pf ~ 1 tanh
as illustrated in Figure 5.
This expression provides an initial estimate to assess the
extent to which progressive failure may reduce the net shaft
resistance. The actual reduction factor will depend on the
precise form of the load transfer curve, particularly in respect of
degradation, and should therefore be evaluated through
numerical analysis. A detailed investigation of the performance
of steel jacket structures in Gulf of Mexico hurricanes found
that the one case where axial pile failure occurred could be
explained by progressive failure using the API (2011)
recommended form of load transfer curve with degradation to
70 % of peak friction (Gilbert et al. 2010).
1
Reduction factor, Rpf
= 0.75
Normalised shear stress, /f
linear
exponential
fully
brittle
0.75
wres/wf
D f L2
EAp w f w res
0.5
R pf ~ 1 tanh
= 0.25
0.25
2.5
Normalised displacement, w/wf
Figure 4 Alternative forms of post-peak softening in axial load transfer

curves.
The actual shaft resistance, Qs, may be expressed as a

proportion, Rpf, of the ideal shaft capacity, Qshaft:
Qs R pf Qshaft where Qshaft

DLf
(10)
The value of Rpf will be a function of the degree and brittleness

of strain softening and the compressibility of the pile.
An analytical solution for the extreme case of nstant strain
softening was given by Murff (1980), who expressed the
reduction factor, Rpf, as a function of the strain-softening ratio,
= res/f, and a non-dimensional pile compressibility, 3. The
latter quantity may be shown to be identical to L. For strain
softening over a finite distance, wres, Randolph (1983)
proposed an alternative non-dimensional pile compressibility or
compliance, C, substituting the displacement to failure, wf, for
the displacement from peak to residual, wres. Numerical
experiments suggest, however, that a more robust measure of
pile compliance, in respect of progressive failure, is the total
displacement to residual, i.e. wf + wres, with C defined as:
D f L2
EAp w f w res
1.5
2.5
Lateral pile resistance clay
Design methodology for the lateral response of piles is almost

universally based on load transfer approaches. These are wellsuited to capture the significantly non-linear soil response,
particularly in the upper few diameters of the pile. However, the
proposed load transfer curves are labyrinthine in formulation
and with no obvious link to any analytical basis. Jeanjean
(2009) has argued for an overhaul of the API guidelines for soft
clay conditions, proposing an alternative formulation based on a
combination of (centrifuge) model test data and finite element
analysis, but with the ultimate lateral resistance at any depth
linked to upper bound solutions (Murff and Hamilton 1993).
The Murff and Hamilton solution addresses soil failure at
shallow depth, based on a three-dimensional conical wedge
mechanism. Below the wedge, the lateral resistance is limited
by plane strain flow around the cylindrical pile (Randolph and
Houlsby 1984, Martin and Randolph 2006). The solutions take
account of the relative roughness between pile and soil, with the
limiting (plane strain) resistance at depth varying with the
friction ratio, as:
0
1.5
Inverse of square root of pile compliance, C
2.5
0.5
Figure 5 Reduction factor due to progressive failure.
0.25
= 0.5
0.5
0.75
=0
0.5
(12)
Pu
N p ~ 9.14 4.14 1.34 2
su D
(13)
From a design perspective, a simple linear fit of Np = 9 + 3 is

sufficiently accurate, being generally about 3 % conservative
apart from at the limit of a fully rough pile when it rounds to 12
instead of 11.94.
There is an incompatibility at the transition depth between
the wedge and the plane strain flow, but this does not appear to
have a significant effect on the overall pile resistance, judging
by comparisons with full finite element analyses. The
discontinuity can be removed by allowing a gradual transfer
(11)
89
th
Although Jeanjeans study was for soft clays, in principle the

same general approach should be applicable to stiff clays but
with some caveats:
Where stiff clays occur at the seabed surface, a gap is much
more likely to develop than for soft clays (since higher
su/'D, and much greater suctions required to be sustained in
order to prevent a gap forming). As such, the surface factor
(N1 - N2) should be halved, while retaining the same
limiting (plane strain) value of Np.
A lower friction ratio, , is likely to be appropriate, just as
for axial shaft friction.
from the wedge mechanism to the flow mechanism (Klar and

Randolph 2008).
Although the Murff and Hamilton upper bound solution
treats the conical wedge mechanism as a whole, to provide an
overall lateral resistance for that section of the pile, they
explored suitable variations of Np with depth, z, that fitted the
overall upper bound resistance for piles of different embedment.
This led to proposed factors of
N p N1 N 2e z / D
(14)
with adjusted for different strength profiles idealised as

su = sum + z, according to
Min 0.25 0.05 um , 0.55

D
2.6
Lateral pile resistance sand
For sand, design recommendations for limiting lateral resistance

still rely on a limit equilibrium calculation for a putative passive
wedge of soil failing ahead of the pile. There is also an
overriding maximum limiting resistance, proportional to depth,
although this is extremely high (such that, in practice, it would
not be reached shallower than depths exceeding 15 pile
diameters). The resulting profiles of limiting resistance are not
consistent with results from numerical modelling, or even with
empirical data that appear to follow a linear trend, below a
depth of about 1 diameter, that is broadly proportional to the
square of the passive earth pressure coefficient, Kp.
However, any design approach requiring what is ultimately a
bearing resistance, but is couched in terms of friction angle, ',
suffers from the problems of (a) how to measure ', and
(b) the need to adjust ' according to the resulting implied
effective stress level. Typically values of ' must be deduced
from the results of cone penetration tests. It is therefore far more
logical to link the lateral pile resistance directly to the cone
resistance, following the path taken for axial pile capacity.
Empirically based approaches that express the lateral pile
resistance as a function of the cone resistance have been
proposed for carbonate sands (Wesselink et al. 1988, Novello
1999, Dyson and Randolph 2001). Recently, a numerical study
has been undertaken by Suryasentana and Lehane (2013) to
provide a more theoretical link between lateral pile resistance
and cone resistance, the latter being simulated as spherical
cavity expansion. Material properties were based on those for a
typical silica sand.
Systematic dimensional analysis, with a parametric study
covering a wide range of the various dimensionless groups,
allowed relationships to be developed between normalised
values of pile resistance, cone resistance, depth and lateral
displacement. The eventual relationship incorporated an
exponential term to give a true limiting lateral resistance at large
displacement. The lateral resistance was then expressed as
(Suryasentana and Lehane 2013):
(15)
The value of Np therefore increases from a surface value of

N1 N2, to a limiting value at depth of N1 (corresponding to
Equation (13)). Assuming a double sided mechanism (with
negative excess pore pressures behind the pile causing the soil
to move with the pile) the Murff and Hamilton mechanism leads
to an almost constant value of 5 for N2. Thus the surface value
of Np increases approximately linearly with from about 4 for a
smooth pile ( = 0) to 7 for a rough pile ( = 1).
Jeanjean (2009) has recommended adoption of N1 = 12 and
N2 = 4, without consideration of the friction ratio, . Even for
fully rough conditions this is slightly optimistic in respect of the
surface value of Np (8 instead of the upper bound value of 7).
Also, as commented by Murff and Hamilton (1993), the
additional resistance provided by a fully rough pile compared
with a smooth pile would seem to be particularly susceptible to
degradation due to cyclic loading, and thus it may not be
prudent to count on it for design. A compensating factor to this
(intuitive) consideration is the gradual hardening that occurs due
to consolidation between periods of cyclic perturbation (Zhang
et al. 2011). The net effect of this is that the post-cyclic
monotonic pile responses showed slight increases in resistance
for a given pile displacement. Similar hardening was observed
in centrifuge model tests simulating the interaction of steel
catenary risers with the seabed (Hodder et al. 2013).
Equally important for lateral pile design is the mobilisation
of lateral resistance with displacement. Variations in the
stiffness at small displacements for elements at some depth
down the pile can have a significant effect on the pile head
response. The current API and ISO guidelines for load transfer
curves appear too soft at moderate displacements (Jeanjean
2009), although the initial data point, with P/Pu = 0.23 for a
displacement of y = 0.1yc = 0.2550D, implies a rather high
stiffness. Here 50 is defined as the strain in a (triaxial)
compression test at half the failure deviator stress, which is
equivalent to su/3G50. Hence for Pu = 9suD, the initial gradient is
P/y = 90.233G50/0.25 = 25G50.
Theoretical solutions for the load transfer response, either
based on an analogy with cavity expansion or closed form
solutions (Baguelin et al. 1977), lead to a gradient of kpy ~ 4G,
and hence a maximum gradient of 4G0. Applying this as a limit
at small displacements to the hyperbolic tangent function
suggested by Jeanjean (2009) leads to
G
P
y 4G 0
,
Min tanh 0.01 0
y
(16)
Pu
s u D Pu
q
2 c
v 0 D
v 0
P
0.68
z

D
0.61
1.1
0.94
1 exp 8.9 z

D
D
(17)
This study represents an important step towards a more rational

approach to the estimation of load transfer responses for lateral
pile design in sand. The rather gradual development of the
ultimate resistance (the terms outside the square bracket in
Equation (17)) is in stark contrast to the hyperbolic tangent
relationship in the current design guidelines, which leads to the
ultimate resistance being mobilised at displacements of 1 or 2 %
of the pile diameter.
3
SHALLOW FOUNDATIONS
Design guidelines for shallow foundations that are provided in

the main geotechnical guides (ISO 2003, API 2011) have
developed from guidance for temporary mudmat foundations to
support steel jacket structures, prior to pile installation. Large
For Pu = 12suD, the transition point occurs at y/D = 0.0009, so

P/Pu = 0.0003G0/su or 0.12 for G0/su = 400.
90

th
expressions for failure envelopes. As is the nature of analysis,

idealisations of the real system have to be made, with each
study tending to focus on a different set of restrictions. There is
a wealth of information in the various contributions, to which
justice cannot be done here. Instead, one or two salient points
will be commented on and suggestions made for practical
approaches for use in design.
The focus is on rectangular foundations, with relatively
shallow skirts, since these are of particular relevance to deep
water developments. A schematic of the problem is shown in
Figure 6. In the most general case, six independent loads and
moments may act on the foundation, and the dimensionless
groups that need to be considered include the foundation aspect
ratio, B/L, embedment ratio, d/B, and normalised soil strength
gradient, = B/su0. (Relevant ratios for a circular foundation
of diameter, D, where the loading can generally be simplified to
the three components, V, H and M, in the plane containing the
resultant horizontal load, are d/D and D/su0.)
gravity foundations and spudcan foundations are dealt with in

separate documents focusing respectively on concrete structures
and mobile drilling rigs. The main geotechnical guidelines focus
on bearing capacity, based on classical solutions for strip
foundations, modified using heuristic adjustment factors for
foundation shape and embedment, and the influence of
horizontal and moment loading.
The largest use of shallow foundations offshore is now for
deep water subsea systems, where they are widely used for
pipeline end terminations and manifolds. In the main, the
seabed sediments in deep water comprise fine-grained soil, with
relatively low strength at mudline. The foundations are steel
mats, generally rectangular in plan with shallow skirts, and with
a high cost incentive to minimise the size to allow installation
from pipe-lay vessels. The emphasis in design for geotechnical
capacity is on horizontal and moment loading from the attached
pipeline and jumpers, rather than on vertical bearing capacity.
Along with the changing nature of shallow foundation
applications, the last decade or so has seen increasing analytical
emphasis on the development of failure envelopes in vertical
(V), horizontal (H) and moment (M) load space. The most
recent API guidelines (API 2011) now include a commentary
that permits (encourages would be too strong a word) the use of
failure envelopes as an alternative approach; this is timely since
it suits better application to shallow foundations for subsea
systems, where failure tends to be by sliding or overturning.
L
Mx
B
mudline
LRP
Max B/su0 or D/su0
Max embed. depth d/B
Strip, Circle, Rectangle
Tension, Closed form (*)
Y*
Bransby-Randolph 1999
VHM
0.17
Y*
Houlsby-Puzrin 1999
VHM
N*
Taiebat-Carter 2000
VHM
Y*
Taiebat-Carter 2002
VM
Gourvenec-Randolph 2003
HM
10
SC
Randolph-Puzrin 2003
VHM
Y*
Load cases
VHM
Finnie-Morgan 2004
HT
SCR
Yun-Bransby 2007
HM
200
Gourvenec 2007a
VHM
N*/Y
Gourvenec 2007b
VHM
SC
Gourvenec 2008
VHM
VHM
200
Yun et al. 2009
VHT
SCR
Taiebat-Carter 2010
VHM
sum
su0
su
Figure 6 General loading applied on a rectangular skirted foundation

with linearly varying soil strength.
Even though typical embedment ratios of subsea system

foundations are quite low, there can still be an appreciable
increase in capacity. Design guidelines simplify the effects of
aspect ratio and embedment into separable additive factors,
whereas in reality the depth factor is itself a function of the
embedment ratio (Salgado et al. 2004) and also the strength
gradient factor, . The depth correction factor in API (2011) is
deliberately conservative (Figure 7), expressed as:
d c 1 0.3 arctan d / B
(18)
with B replaced by the effective width, B', for foundations

where no tensile stresses are permitted.
1.6
Depth
factor 1.5
dc
1.4
Circle (Martin 2001)

D/su0 = 0
Inverted
parabola
1.3
Rectangle
(B/L = 0.5)
1.2
Salgado et al. (2004)

(strip foundation)
1+0.3arctan(d/B)
5 and 10 (circle)
1.1
Bransby-Yun 2009
yd
T
V
Reference
Hy
My
Table 1 Summary of analytical and numerical studies of failure

envelopes for shallow foundations for undrained conditions
Bransby-Randolph 1998
x
Hx
1
0
0.2
0.4
0.6
0.8
Embedment, d/B or d/D
Murff et al. 2010
HT
0.05
Gourvenec-Barnett 2011
VHM
Feng et al. 2013
Full 3D
10
0.2
Y*
Figure 7 Depth correction factors for different shaped foundations.
This expression provides a lower bound to those derived

analytically, even for a strip foundation. The correction factor
from Salgado et al. (2004) for strip foundations, which varies
with the square root of d/B, is shown in Figure 7 for
comparison. Also plotted are depth factors deduced from lower
bound results for circular foundations for a range of D/su0
Table 1 provides a summary of some of the solutions

published over the last fifteen years, indicating which include
either analytical solutions, or at least closed form algebraic
91
th
(Martin 2001). These show the effect of D/su0 (), with the
depth factor reducing with increasing as d/D increases,
relative to the factor for homogeneous (uniform strength) soil.
In the range relevant for subsea systems, the results for
different values of converge, and can be fitted by an inverted
parabola with apex at dc = 1.5 for d/D = 2. However, these are
still lower than for a rectangular foundation with B/L = 0.5,
according to results of 3D finite element analyses (Feng et al.
2013). These give an initial gradient for the depth factor of
greater than unity with respect to d/B, and a significant 17 %
increase in bearing capacity for d/B = 0.2.
For circular foundations, it is possible to develop threedimensional failure envelopes in V-H-M space. Failure
envelopes are most effectively expressed in normalised units,
v = V/Vu, h = H/Hu and m = M/Mu, where the subscript u
indicates the limiting uniaxial resistance (e.g. for V, with
M = H = 0). A promising form for foundations that can
withstand tensile stresses is (Taiebat and Carter 2000):
the H and M planes. These maximum values are then reduced

further according to the mobilised torsion, t, by considering h-t
and m-t interaction diagrams. The logic behind the various steps
is to arrive at a final h-m failure envelope that has already taken
full account of the mobilisation ratios for vertical and torsional
modes of failure.
Full details of these steps are described by Feng et al. (2013)
for rectangular skirted foundations that can withstand tensile
stresses. The failure envelopes involving v are based on generic
shapes proposed in the literature, for example
v v * 1 v * 1 h q for v v * else h 1
with v-t interaction following a similar type of envelope as for

v-h interaction. Values of the transition v (v*) and the
exponents q, p have been fine-tuned for rectangular foundations
with B/L in the region of 0.5, and take account of the loading
direction relative to the rectangular foundation and (for p) the
normalised shear strength gradient.
Other failure envelopes, for hx-hy, h-t etc are elliptical in
form, for example

m
v m1 0.3h h 3 1 0
(19)
which gave a reasonable fit to finite element results for a

circular foundation resting on the surface of homogenous soil.
An improved failure envelope, though not expressed in
algebraic form, was discussed by Taiebat and Carter (2010).
The various powers and coefficients would need adjusting for
different foundation shapes, embedment ratios and normalised
shear strength gradient.
There is little prospect of any simple way of expressing a
failure envelope for full three-dimensional loading applied to a
rectangular foundation. Instead, a simplified approach has been
proposed recently (Feng et al. 2013), taking advantage of the
relatively low mobilisation of the uniaxial vertical capacity for
subsea system foundations, where unfactored values of v will
rarely exceed about 0.3.
h ax h by
1
m d m d 1 h m d h 2 h 2 1 0
md
md
Evaluate uniaxial capacities for vertical, horizontal, moment

and torsional loading
Reduce ultimate horizontal, moment and torsional capacities

to maximum values available, according to mobilised
(design) vertical capacity, v = V/Vu
Normalised moment, m = Md/Mu (m = 30)
For given foundation geometry evaluate su0 and nondimensional quantities B/L, d/B and
For given angle, , of resultant horizontal load, H, in the

horizontal plane, evaluate corresponding ultimate horizontal
capacity, and similarly for ultimate moment capacity
Evaluate reduced ultimate horizontal and moment capacities

due to normalised torsional loading
Evaluate extent to which applied (design) loading falls within

H-M failure envelope, and thus safety factors on self-weight
V, live loading H, M, T or material strength su0
(22)
where the parameters q, and are expressed as functions of

and, in the case of as a function of the resultant horizontal
loading direction, = arctan(Hx/Hy) (Feng et al. 2013). It was
found that the shape of the failure envelope became insensitive
to the embedment depth provided the moment was expressed as
if the load reference point was shifted from mudline to skirt tip
depth, d; thus Md = M + Hd.
Details
(21)
again with each envelope fitted to results from 3D finite element

analyses, expressing the exponents a and b as functions of the
dimensionless input variables.
The final form of h-m failure envelope is similar in nature to
that proposed by Taiebat and Carter (2000), although now
without the term for v (which has been allowed for separately):
Table 2 Steps in design process for subsea system foundations

Step
(20)
v 1 m p
The steps in the approach are tabulated in Table 2. In

common with most failure envelopes, the uniaxial capacities are
first evaluated, providing a first indication of the relative
mobilisation for each of the 6 degrees of freedom. Using
interaction diagrams for v-hx, v-hy, v-mx, v-my and v-t, reduced
allowable values of Hx, Hy etc are deduced, according to the
applied v. Separate interaction diagrams for hx-hy and mx-my
(with the ultimate values for each component reflecting the
reduction from the previous step) then allow estimates of the
maximum resultant H and M, for the given loading angles in
1.2
T/Tu= 0, 0.25, 0.5, 0.75, 0.9
1
0.8
0.6
0.4
0.2
0
-1
-0.8
-0.6
-0.4
-0.2
0.2
0.4
0.6
0.8
Normalised horizontal load, h = H/Hu ( = 60)

FE results
Estimation
Figure 8 Example comparison between estimated failure envelopes for

different torsion mobilisation ratios and FE results (Feng et al. 2013).
Examples of the fit between results of individual finite

element computations and the estimated failure envelopes are
92

th
capacity as well. For rectangular foundations all six degrees of

freedom need to be considered.
Generic shapes of failure envelope, based on loads
normalised by their ultimate uniaxial values, are much less
sensitive to foundation shape and embedment ratio, and soil
strength gradient, than are the uniaxial load limits. As such, the
shapes need not necessarily be fine-tuned. The most awkward
shape is the failure envelope in the h-m plane. For planar
loading, the approach described by Gourvenec (2007b) is
therefore attractive, based on generic failure envelopes in v-m
space for different magnitudes of (normalised) horizontal load
eccentricity, m/h.
For rectangular foundations, particularly if relatively lightly
loaded vertically, the approach outlined in Table 2 offers a
simple way forward, maintaining a modular concept where the
various interaction diagrams may be fine-tuned to suit particular
conditions, if these deviate significantly from those considered
by Feng et al. (2013). For example, interaction diagrams based
on sustained tensile stresses could be replaced by equivalent
ones based on a zero tension condition.
The increasing complexity of subsea systems brings the
potential for higher service loads due to thermal and pressuredriven movements of the pipeline and jumper connections. The
cost incentive to limit the overall foundation dimensions is
therefore driving innovation, both in analysis methods but also
in the foundation configuration itself. One such innovation is to
include pin-piles at the foundation corners, which can increase
the sliding and torsional capacity by a factor of 3 or 4. A simple
design approach for such a hybrid foundation has recently been
developed, following lower bound principles (Dimmock et al.
2013), and validated through physical model tests (Gaudin et al.
2012). An alternative approach is to design the foundation to
slide, hence reducing the magnitudes of horizontal load and
moment (Bretelle and Wallerand 2013). Both of these strategies
still rely on failure envelopes for different combinations of load
and moment, either to ensure adequate capacity, or to evaluate
the displacement and rotation paths for sliding foundations.
shown in Figure 8, for a case of a surface foundation on

homogeneous soil, with resultant horizontal loading at 60 to
the x-axis. The failure envelopes and FE results correspond to
five different torsion mobilisation ratios. The quality of fit is
reasonably good, although with slight over prediction of the
maximum moment capacity at high levels of torsion.
An example foundation analysis following this approach is
presented here, with input data (including factored design loads)
tabulated in Table 3 and the resulting failure envelopes and
design loading shown in Figure 9. Failure envelopes based on
unfactored shear strengths are shown as dashed lines, with the
outer (black) envelope corresponding to zero torsion, and the
inner (red) envelope after allowing for the applied torsion of
2100 kNm. The solid lines represent failure envelopes after
reducing the shear strength by the material factor of 1.58 that is
just sufficient to cause failure; again the outer and inner of these
two envelopes represent situations with zero torsion and the
actual design torsion. The increased mobilisation ratios for v
and t, due to factoring the shear strength, reduce the maximum
values of H and M for the failure envelopes that allow for the
applied torsion by greater factors, respectively 2.1 and 1.8.
Table 3 Input data for example subsea system foundation
Parameter
Value
Units
Design loads
Value
Units
Width, B
Vert. load, V
1200
kN
Length, L
16
Load, Hx
200
kN
Skirt, d
0.6
Load, Hy
300
kN
Strength, sum
kPa
Moment, Mx
1500
kNm
su gradient, k
kPa/m
Moment, My
-2400
kNm
Skirt friction
Torsion, T
2100
kNm
10000
Resultant moment, M (kNm)
V = 1200 kN
9000
8000
7000
Zero
torque
In most design applications, failure envelopes are used to

establish safe load combinations. However, they may also be
used to model the kinematic response during continuous failure.
The concept was applied to predict the trajectory of drag
embedment anchors by Bransby and ONeill (1999), successfully simulating centrifuge model tests (ONeill et al. 2003).
In soft sediments, drag anchors embed to several times the
length of their flukes, advancing approximately parallel to the
flukes and gradually rotating until the flukes approach the
horizontal, signifying reaching their ultimate penetration depth.
The anchor chain forms a reverse catenary through the soil,
described by an analytical solution expressed in terms of the
chain tension, T, and average soil resistance, Q , between
mudline and padeye depth (Neubecker and Randolph 1995).
Critical is the angle change between mudline and padeye, which
may be approximated as
T = 2100 kNm
6000
5000
4000
Unfactored su
Design
point
3000
Factored su
2000
1000
0
-1000
-750
-500
-250
250
500
750
USE OF FAILURE ENVELOPES FOR ANCHORS
1000
Resultant horizontal load, H (kN)

Figure 9 Failure envelopes and design loading for example application.
From a design perspective, optimising the size of shallow

foundations for subsea systems requires more sophisticated
analysis than the conventional approach for bearing capacity
followed in offshore design guidelines. The use of failure
envelopes for combined V-H-M loading provides a suitable
advance. Depending on the sensitivity of the structure, final
design may well involve detailed 2D or 3D finite element
analysis, but simpler tools are needed to enable initial sizing.
Design using failure envelopes is modular, with the first step
being to evaluate uniaxial failure loads and moments for the
relevant degrees of freedom. For circular foundations in-plane
loading may generally be assumed, with only three degrees of
freedom, unless the torsion is significant. If that is the case, the
horizontal capacity should be reduced to compensate (Finnie
and Morgan 2004, Murff et al. 2010), and possibly the moment
2
a
02 ~
2z a Q
Ta
(23)
where subscripts a and 0 correspond to the anchor padeye

and mudline respectively.
Solutions for the final anchor embedment depth and ultimate
capacity were initially obtained using simplified limit
equilibrium (Neubecker and Randolph 1996) or upper bound
(Aubeny et al. 2005, 2008) approaches. The use of a full failure
envelope to obtain the relative motions, parallel and normal to
the anchor fluke, and rotation, represented a more rigorous
treatment.
93
th
The relatively large projected areas of 10,000 mm2 for the

standard T-bar, and generally 3000 to 5000 mm2 for the ball
penetrometers used offshore, makes them attractive for
characterising soft clay deposits, but still with a capability to
penetrate sand layers with cone resistance of up to 3 or 4 MPa.
In particular, full-flow penetrometers have become the de facto
standard for strength profiling in the upper few metres, with
application to pipeline and riser design. Measurement of
remoulded resistance from cyclic tests, which also help to
constrain the accuracy of the monotonic penetration data, is
essential for pipeline design. While both geometries are used,
with the T-bar having superficial similarity to an element of
pipe, the ball is a kinder geometry and has the advantage of
enabling pore pressure measurement, as discussed later.
Plasticity solutions for the T-bar and ball in ideal (nonsoftening, rate independent) soil give resistance factors that may
be approximated by Equation (13) or NTbar-ideal = 9 + 3, and
The form of failure envelope adopted by Bransby and

ONeill (1999) was based on that suggested by Murff (1994):
nq mr st
1/ p
1 0
(24)
where n, m and s represent the mobilisation ratios

(e.g. n = N/Nu) for normal, moment and sliding modes relative
to the anchor fluke. Ultimate, uniaxial, limits, Nu, Mu and Su are
typically obtained from a combination of plasticity solutions
and finite element analysis, depending on the anchor fluke
shape (ONeill et al. 2003, Aubeny and Chi 2010). Similarly,
the various powers may be adjusted to fit different anchor
shapes, with q and t typically in the range 3 to 5, and p, r around
unity (Bransby and ONeill 1999, Elkhatib 2006, Yang et al.
2010). The values of q, r and t should not be chosen less than p,
in order to guarantee convexity of the failure envelope.
A similar approach was adopted to model the keying of
mandrel-installed plate anchors, such as the suction embedded
plate anchor or SEPLA (Cassidy et al. 2012, Yang et al. 2012).
Combining the chain response with the failure envelope allows
the full kinematic response of the plate anchor to be
investigated. The position of the padeye relative to the plate
centre may then be optimised, minimising loss of embedment
during keying or even such as to cause the anchor to dive. A
careful finite element based parametric study showed that the
original SEPLA design, which incorporated a hinged flap to
help limit loss of embedment during keying, was ill conceived
(Tian et al. 2013). More recent numerical work has considered
sophisticated 3D anchor geometries, investigating how the
presence of the shank affects the failure envelope (Wei et al.
2013).
5
Pu
0.25 D 2 s u
N ball ideal ~ 11.21 5.04 1.06 2
(25)
for the ball (Randolph et al. 2000, Einav and Randolph 2005). A
close linear fit for the ball is Nball-ideal ~ 11.3 + 4. Both sets of
results are for a Tresca soil model, and lead to resistance factors
for the ball that are 22 to 27 % greater than for the T-bar. This
difference reduces using a von Mises strength criterion, for
example down to about 15 % for an interface friction ratio of
0.3. Further reduction occurs for anisotropic shear strengths,
with a difference of 7 % for a ratio of triaxial extension and
compression strengths of 0.5 (Randolph 2000).
Experimental data are mixed in relation to any difference
between T-bar and ball penetration resistance, with some
reported profiles that are indistinguishable (Boylan et al. 2007,
Low et al. 2011), whereas profiles in highly sensitive clays
show differences of up to 16 %. This difference may be
attributed partly to greater reduction in the T-bar resistance due
to strain softening, compared with the ball (Einav and Randolph
2005). For soils of moderate sensitivity, the penetration
resistances for T-bar and ball are mostly within 5 to 10 %,
which is consistent with analytical results that take account of
strength anisotropy.
In natural soils, as opposed to the idealised perfectly plastic,
rate independent material on which plasticity solutions are
based, it is essential to allow for the relatively high strain rates
in the soil around the penetrometer, and also the gradual
softening of the soil as it flows around the cylinder or ball. This
has been looked at using a variety of numerical techniques,
ranging from a combined upper bound and strain path method
(UBSPM; Einav and Randolph 2005), large deformation finite
element analysis (LDFE; Zhou and Randolph 2009a), and a
steady state finite difference approach (SSFD; Klar and Pinkert
2010). All three approaches adopted a similar logarithmic law
of rate dependence, with a relative strength gain of per tenfold
increase in strain rate, and an exponential softening law with
95 % reduction to the fully remoulded shear strength for a
cumulative plastic strain of 95. Of the three approaches, the
LDFE analysis tends to give the lowest (average) resistance,
since it is able to capture the periodic generation and softening
of distinct shear bands, accompanied by a corresponding cyclic
variation in the penetration resistance.
Resistance factors evaluated using LDFE analysis (see
Figure 11) may be expressed as (Zhou and Randolph 2009a)
FULL-FLOW PENETROMETERS
Full-flow penetrometers, the cylindrical T-bar and spherical ball

(Figure 10), were introduced in the 1990s (Stewart and
Randolph 1994, Randolph et al. 1998). The main motivations
for their introduction included:
Penetrometer shapes that were amenable to plastic limit
analysis, with resistance independent of the pre-yield soil
stiffness.
Sufficient ratio of projected area to shaft area to render
corrections for pore pressure effects and overburden stress
minimal.
Ability to measure remoulded penetration resistance
directly, through cycles of penetration and extraction over a
limited depth range.
Reduced reliance on site-by-site correlations to obtain
resistance factors, and hence shear strength profiles.
The last of these has proved something of a disappointment, not
helped by an embedded culture with respect to interpretation of
cone penetrometer data.
Penetrometer is thrust
into ground using
PROD drill string
Instrumentation,
data storage and
transmission
assembly
Push rod and

anti-friction
sleeve
1 4.8
N Tbar 1 4.8 rem 1 rem e 1.5Tbar / 95 N Tbar ideal
Spherical ball
Pore water
pressure filter
N ball
(a) Piezocones and T-bar

(b) Ball (Kelleher et al. 2005)
Figure 10 Range of penetrometers for in situ testing.
94
rem
1 rem e
1.5 ball / 95
ball ideal
(26)
th
The quantity, Tbar, in Equation (26) reflects the average plastic

shear strain experienced by a typical soil element as it flows
around the T-bar. The corresponding quantity for a ball was
found to be about 10 % lower (ball ~ 3.3, compared with
Tbar ~ 3.7 Zhou and Randolph 2009a). Of course, the actual
degree of softening will vary with the original distance of the
soil element from the axis of the advancing penetrometer, since
soil elements immediately adjacent to the penetrometer will
undergo the greatest softening.
N Tbar ~ 9 1 S t 1
25
No strain softening
gradient = 4.8
95 = 50
95 = 25
95 = 15
95 = 10
15
5.1
Parameters
= rem = 0.2
10
0.05
0.1
0.15
Rate parameter
0.2
Field measurement of consolidation coefficient
The consolidation characteristics of seabed sediments determine

the time scale of consolidation following foundation
installation, or after cyclic loading that may have caused partial
liquefaction. They also determine whether continuous motion,
such as a penetrometer test or the axial and lateral movement of
a pipeline during thermal buckling, occurs in a drained or
undrained manner. It is therefore important to measure the
consolidation coefficient, cv, either from laboratory testing or
from field dissipation tests following piezocone penetration.
Piezocone dissipation tests are commonly interpreted by
fitting the excess pore pressure decay to the numerically
determined consolidation solution of Teh and Houlsby (1991).
This may be approximated (as in Equation (1)) as
Tbar = 3.7
(27)
so ranging from a hypothetical 18 for non-softening soil, to a

lower limit of 9 for ultra-high sensitivity. For typical
sensitivities of offshore sediments in the range of, say, 3 to 10,
the resulting resistance factors would lie between 12 and 9.9.
Values above or below this range imply respectively higher or
lower rate dependency, or sensitivities outside 3 to 10. The form
of variation of resistance factor with soil sensitivity is quite
similar to that observed experimentally by DeJong et al. (2011)
for sensitivities up to about 10, beyond which the experimental
resistance factors (based on field vane strength data) continued
to fall, with a lower limit of around 6.
NTbar
20
0.25
Figure 11 Values of T-bar resistance factor after allowing for rate

effects and strain softening (sensitivity of St = 5, friction ratio, = 0.2).
The terms, 1 + 4.8, in Equation (26) reflect the average

strain rate, which is some 5 orders of magnitude greater than the
nominal laboratory reference strain rate of 1 %/hr. This term
should be viewed with some caution, owing to the limitations of
the logarithmic rate law itself, and the inadvisability of trying to
extrapolate over such a large range of strain rates.
Notwithstanding the above reservation, the analytically
derived T-bar and ball factors carry information and should be
made use of during the interpretation of field data. Where both
ball and T-bar penetrometers are used (and similarly for cone
and either T-bar or ball penetrometers), resistance factors
should fall within an appropriate relative range, for example
with Nball no more than 10 % greater than NTbar unless the soil
sensitivity exceeds 10.
Low et al. (2010) summarised penetrometer data from a
number of offshore (and some onshore) sites around the world,
recommending global average resistance factors of 11.9 (with
standard deviation of 1.4) for T-bar and ball, relative to an
average or laboratory simple shear strength. A similar value of
12 was proposed for NTbar for low sensitivity clays by DeJong et
al. (2011), although their ball factor was 10 % higher. These
values are plausible, in relation to Figure 11, for example for
soils with a rate dependency factor of ~ 0.1, sensitivity of 3 to
5 and 95 in the range 15 to 25.
Some of the parameters that determine the resistance factors
can be deduced from the tests themselves; thus cyclic tests
enable the sensitivity to be estimated, while tests at different
penetration speeds (best performed at the end of a cyclic test
when the soil strength has stabilised to the remoulded value)
allow the rate parameter to be assessed. The resistance factors
from individual sites summarised by Low et al. (2010) suggest
that for soils of moderate plasticity the T-bar and ball resistance
factors are closer to 11 than 12, while in the ultra-high plasticity
soils off the coast of West Africa the average was around 13.
This suggests higher strain rate dependency of the West African
soils, for example with closer to 0.15 rather than 0.1.
Higher sensitivity implies low interface friction ratio, as well
as greater loss of strength during passage of the penetrometer.
Numerical analysis for rate dependent ( = 0.1) and softening
(95 = 15) material, gave ball resistance factors reducing from
21.5 to 11.6 for sensitivities increasing from 1 to 100 (Zhou and
Randolph 2009b). Reducing these by the theoretical ratios for
T-bar and ball resistances for Tresca soil leads to a relationship
for T-bar resistance factors of:
u
1
~
u ref 1 T / T50 b
(28)
where uref is the reference excess pore pressure that

corresponds (ideally) to the initial excess pore pressure at the
moment where the piezocone penetration ceases. Time t is
normalised as T = cvt/dcone2, and T50 is the normalised time for
50 % excess pore pressure dissipation. (The notation ch is often
used, rather than cv, for the consolidation coefficient deduced
from piezocone dissipation tests, to emphasise the primary
direction of pore fluid flow.) As noted earlier, the exponent, b,
is about 0.75, and T50 may be approximated as 0.061 times the
square root of the rigidity index, Ir.
Determination of cv in this way relies on the penetration
phase to have occurred under undrained conditions, for which it
is necessary know the consolidation coefficient! Some insight
into this circular argument may be obtained by the simple
assumption that pore pressure dissipation is a continuous
process, some of which may occur during the penetration phase,
and the rest of which continues, once the piezocone is halted,
during the (subsequent) dissipation phase. This is a slight
simplification, but it has proved useful in identifying limits on
the reliability of interpreting dissipation tests (DeJong and
Randolph 2012).
Excess pore pressure data from numerical analysis (e.g. Yi et
al. 2012) and experiments (Randolph and Hope 2004, Schneider
et al. 2007), where the piezocone was installed at different rates
to span drained to undrained conditions, can be fitted by
u p0
u ref
1
1 V / V50 c
(29)
where up0 is the excess pore pressure during the penetration,

which in the field situation would become the initial excess pore
pressure for a dissipation test. The normalised velocity, V, is
defined as V = vdcone/cv, and V50 is the normalised velocity at
which up0 is 50 % of the reference undrained excess pore
95
th
pressure, uref. Best fit parameters to the numerical and

experimental data are V50 ~ 3, and the exponent c ~ 1.
Adopting up0 as the initial excess pore pressure, falsely
assuming undrained penetration, will lead to underestimation of
the consolidation coefficient, because the time, t50, for (a
further) 50 % dissipation will be longer than if the penetration
phase had indeed been undrained. Detailed analysis of this is
provided by DeJong and Randolph (2012), and the resulting
hypothesised relationships between t50 and cv are illustrated in
Figure 12, taking Ir = 100 and V50 = 3. An interesting feature of
the results is that, for the best fit parameters of b = 0.75 and
c = 1, the value of t50 reaches a minimum of about 10 s for
cv ~ 400 to 500 mm2/s (around 15,000 m2/yr), before starting to
increase again. Obviously this contrasts with the monotonically
decreasing relationship for true undrained conditions provided
by the Teh and Houlsby (1991) solution.
analyses, to reflect the (primarily) swelling stress path during

pore pressure dissipation, giving cv = 19 m2/yr (0.6 mm2/s).
The piezocone experimental data match reasonably well the
Teh and Houlsby (1991) solution for rigidity index of Ir = 76
(consistent with the model for kaolin adopted in numerical
analysis). The experimental piezoball data are compared with a
dissipation curve obtained by large deformation finite element
(LDFE) analysis using the Modified Cam Clay model and a
permeability consistent with the Rowe cell cv value
(Mahmoodzadeh et al. 2013). Both theoretical and experimental
dissipation curves show a difference in T50 by a factor of 5,
compared with the factor of ~2.5 observed by Low et al. (2007)
from field tests using a piezoball with pore pressure sensor at
the equator.
100
Experimental
Normalised excess pore pressure,

u/u0,extrapolated
90
1000
Ir =100, V50 = 3
t50 (s)
100
b = 0.75, c = 1
10
b = 0.75, c = 0.75
b = 1, c = 1
100
1000
10000
cv (mm2/s)
cv
78 0.25c
1. 2
v
50
40
Piezoball
(mid-face)
Teh & Houlsby

(Ir = 76)
30
20
LDFE
analysis
0.01
0.1
1
Non-dimensional time factor, T=cvt/d2
10
One of the primary design applications requiring knowledge

of the consolidation coefficient is for pipeline design, where the
focus is on the upper 0.5 m or so of the seabed. It would be
difficult to obtain meaningful data from dissipation testing
within that zone, since the proximity to the free surface would
affect both the initial stress field following penetration, and
potentially the drainage paths and thus the dissipation response.
An alternative approach has been proposed recently, which also
minimises any time penalty associated with the duration of
conventional dissipation testing. The proposed device is a
parkable piezoprobe, as shown schematically in Figure 14
(Chatterjee et al. 2013). It comprises a solid steel cylinder with
hemispherical ends, approximately 250 mm in diameter and
375 mm high. An outrigger may be fitted to provide sufficient
force (of 1 to 2 kN) and to limit the embedment to no more than
one diameter. The device is designed to be lowered by a winch,
from either an ROV or a seabed site investigation system, with
measurements gathered in parallel with the main site
investigation activities, thus minimising time penalty.
For the same values of V50, b and c, and assuming standard

piezocone parameters of dcone = 36 mm and v = 20 mm/s, the
relationship in Figure 12 may be written as (DeJong and
Randolph 2012):
Ir
Piezocone
Figure 13 Dissipation responses from centrifuge model piezocone and

piezoball tests compared with numerically derived dissipation curves.
Figure 12 Variation in anticipated t50 with cv, following partially

drained penetration.
t 50 ~
Experimental
60
0
0.001
0.1
10
70
10
Teh & Houlsby
80
(30)
The corresponding minimum values of t50 range between 7 and

20 s, for rigidity index, Ir, between 50 and 400. From Figure 12,
the standard interpretation of a piezocone test becomes
questionable once t50 is less than about 50 s.
Ball penetrometers are also generally fitted with pore
pressure sensors, in commercial practice either at the tip or at
the equator position (maximum diameter). However,
experimental data has shown that, even in normally or lightly
overconsolidated clay, the excess pore pressure tends to rise
initially at the equator position at the start of a dissipation test,
and the overall shape of the dissipation response varies
somewhat between tests (DeJong et al. 2008). By contrast, pore
pressure measurement at the mid-face (a latitude of 45 south
from the equator) gives more consistent data, and with the
maximum excess pore pressure occurring at the start of the
dissipation test, provided the penetration occurs under
undrained conditions (Mahmoodzadeh and Randolph 2013).
Typical dissipation responses from centrifuge model tests of
piezocone and piezoball penetrometers in normally consolidated
kaolin clay are shown in Figure 13. The time axis has been
normalised by the diameters (10 mm for the cone, and 15 mm
for the ball) and cv values based on data from Rowe cell tests.
For the relevant stress level of 110 kPa, the Rowe cell cv is
4 m2/yr. This has been multiplied by the / ratio of 4.7 for the
Modified Cam Clay kaolin parameters adopted for the LDFE
Figure 14 Parkable piezoball concept.
In order to provide a theoretical framework to validate the

design concept and establish appropriate dissipation curves,
LDFE analyses were undertaken. Figure 15 shows contours of
96

th
initial excess pore pressure, normalised by the invert value, for

two different boundary conditions (Chatterjee et al. 2013).
Natural conditions (left side) with the shear strength increasing
linearly with depth were simulated using a nominal 1 kPa
surcharge at mudline (the minimum to allow numerical stability
during the analysis). Alternatively, in order to simulate
approximately uniform strength and stiffness conditions, an
artificial 200 kPa surcharge was applied (right side).
The resulting consolidation responses are shown in
normalised form in Figure 16 for two different embedments
(w/D = 0.5 and 1). For comparison, dissipation curves for a
pipeline (two-dimensional) and a deeply embedded piezocone
(Teh and Houlsby solution) are also shown. The parkable
pieozoprobe (PPP) shows more rapid dissipation, for a given
diameter, due to its geometry and shallow embedment. For
comparison, a curve for a standard diameter piezocone is also
shown, scaled according to the relevant diameters. Although the
PPP takes longer for the excess pore pressures to dissipate (by a
factor of about 7 for t50), the concept for the device is that this
occurs in parallel with the primary site investigation activities,
so off the critical time line.
export pipelines.) Summaries of recent developments have been

provided in the keynote papers of Cathie et al. (2005) and White
and Cathie (2010). Here, a brief overview is given of some
analytical results that have contributed to design approaches.
In deep water, geotechnical design is concerned primarily
with issues associated with lateral buckling, which has been the
topic of a longstanding joint industry project, the SAFEBUCK
JIP (Bruton et al. 2007, 2008). Pipeline buckling is engineered,
rather than suppressed, by appropriately spaced buckle
initiators, or snake-lay of the pipeline. The axial and lateral
resistance offered by the shallow sediments on which the
pipelines rest are key inputs to the design. Both of these depend
firstly on the embedment of the pipeline into the sediments, and
secondly on the velocity and time scale of the movement
relative to the soil consolidation characteristics.
6.1
Pipeline embedment occurs during the lay process, while the

pipeline is suspended from the lay vessel, in much the same way
as a (more permanent) steel catenary riser (SCR) is suspended
from a floating production system (Figure 17). Embedment
occurs due to the submerged weight of the pipeline, which is
augmented by static and dynamic force concentrations for each
segment of pipeline as it passes through the touchdown zone.
The period within the touchdown zone, and hence the extent of
cyclic motions undergone by a given segment of pipe due to
wave-induced motions of the lay vessel, will depend on the lay
rate; the magnitude of the motions and ratio of dynamic to static
force concentration will depend on the sea state conditions as
the pipeline is laid.
At intermediate depth scales the shear strength profile of
deep water sediments may show a mudline intercept of a few
kPa (Colliat et al. 2010). However, in the upper 0.5 m that is
critical for pipeline design, there is rarely any detectable
strength intercept at the mudline. The initial shear strength
gradient, , may range from as low as 1 to 1.5 kPa/m, where
there is no crustal feature, to ~30 kPa/m, where locally high
shear strengths occur, typically at depths of 0.4 to 1 m. Such
crustal features are considered to be due to bioturbation
(DeJong et al. 2013, Kuo and Bolton 2013).
Excess pore pressure/Invert value

200 kPa surcharge
z/D
1 kPa surcharge
Pipeline embedment
x/D
Figure 15 Initial normalised excess pore pressure distributions for cases
of strength increasingly linearly with depth (1 kPa surcharge) and quasihomogenous conditions (200 kPa surcharge).
1.2
Hangoffpoint
0.8
Pipeline:
Diameter, D;
Bending rigidity, EI
Submerged weight, W'
T
W's
T0
s (arc length)
z
(constant)
u/ui
Pipeline (w/D = 0.5)

0.6
CPT (using DPPP)
CPT (using DCPT)
0.4
PPP, w/D = 0.5
0.2
PPP, w/D = 1
0
0.0001
0.001
0.01
0.1
10
zw
100
T = cvt/D2
Seabed (stiff)
(c)
Tension, T0
Touchdown point (TDP)

Figure 17 Schematic of SCR or pipeline during lay process.
Figure 16
Pore pressure dissipation time history for different
geometries and embedment (after Chatterjee et al. 2013).
Sea surface
The static penetration resistance for a pipeline of diameter,

D, in sediments with strength proportional to depth may be
expressed as (Chatterjee et al. 2012a)
PIPELINES AND RISERS
Geotechnical engineering design for pipelines and risers has

matured significantly over the last decade, responding to the
buckling related design challenges arising from thermal and
pressure-induced expansion and contraction of deep water
pipelines. (Note, the terminology pipelines is used here
generically, to include the many different functional names used
in the industry, covering flowlines, umbilicals, MEG lines and
w
4 .7
2
D
D
V
0.17
(31)
where is the shear strength gradient and V and w are the

vertical force per unit length and penetration respectively.
97
th
Within the range of interest (w/D ~ 0.2 to 0.5), this may be

approximated by a linear plastic spring of stiffness
Normalised seabed stiffness, (kvp/T0)0.5

1
k vp
~ 4D
w
Maximum contact force, Vmax/W'
(32)
In addition to the geotechnical resistance given by the

above relationships, allowance must be made for buoyancy
effects as the pipeline becomes embedded within the soil
(Merifield et al. 2009). This adds a component of resistance that
effectively increases the shear strength gradient by a factor that
is of the order of 1 + f'/, with f ~ 0.15 to 0.25 depending on
the embedment and amount of heave adjacent to the pipeline.
Under dynamic lay conditions, lateral motion of the pipe will
tend to reduce the amount of soil heave adjacent to the pipe.
The linear penetration stiffness allows the complete response
of the pipeline (or SCR) to be determined through the
touchdown zone, using analytical solutions based on a boundary
layer approach (Lenci and Callegari 2005, Palmer 2008, Yuan
et al. 2012). A characteristic length, , reflecting the length of
the touchdown zone, emerges from the solutions and is given by
EI
T0
Figure 18 Profiles of normalised contact force for different values of

seabed stiffness.
Westgate et al. (2012) suggested that, as a first

approximation, pipeline embedment under typical lay
conditions may be estimated based on the maximum static
contact force, Vmax, and assuming fully remoulded shear
strength for the soil. Combining Equations (32) and (34), but
with the shear strength gradient, , replaced by the remoulded
strength gradient, rem = /St, then gives
0.25
W'
10000
0.3
T0/W' 0.1
OrcaFlex
results
10
Analytical
solutions
(T0/W' 10)
Curve fit
Effects of buoyancy may be incorporated by adjusting W'

iteratively, or by factoring the remoulded strength gradient by
1 + f'/rem, taking f in the range 0.15 to 0.25.
The simple approach of using the remoulded shear strength
balances two compensating factors. On the one hand
assumption of fully remoulded conditions exaggerates the actual
degree of softening under typical lay conditions. This is
balanced by using the maximum static force, Vmax, to estimate
embedment, rather than the maximum dynamic force, Vdyn,
which is typically 25 to 50 % greater than Vmax but can be even
larger in more severe sea states (Westgate et al. 2010).
A more refined treatment of pipeline embedment was
described by Westgate et al. (2013), taking account of:
The estimated number of motion cycles experienced by
each section of pipeline as it passes through the touchdown
zone.
Combined horizontal and vertical motions.
Gradual softening of the soil resulting from cumulative
displacement of the pipeline relative to the soil due to the
cyclic motions.
The approach builds on the model for cyclic degradation of the
resistance of full-flow penetrometers during penetration and
extraction cycles (Zhou and Randolph 2009b), but incorporating
a brittle structured component of soil strength that is lost
rapidly (Randolph et al. 2007). The effect of horizontal motion
is incorporated by considering theoretical yield envelopes in
V-H space, from which an associated flow rule allows
estimation of the ratio of vertical to horizontal movements
(Cheuk and White 2011).
Although built on reasonable theory, the model incorporates
empirical adjustment factors, which were calibrated through
centrifuge model tests. The model was then applied to three
sites where field data were available from post-installation
surveys, in addition to video footage during the lay process that
allowed estimation of the amplitude of horizontal pipe motions.
The observed pipeline embedment was found to lie within the
range predicted for light, moderate and severe sea states
(Figure 20).
Direct application of Equation (35), factoring the remoulded
shear strength gradient, leads to estimated embedment, w/D, in
the range 0.28 to 0.33, which is consistent with the most
frequently observed values. However, it is evident from Figure
20, and other field cases reported by Westgate et al. (2013), that
the pipeline embedment should be considered as a nondeterministic quantity, varying with lay conditions even if the
seabed properties are relatively uniform along the pipeline
route. This is consistent with modern probabilistic design
approaches for pipelines (White and Cathie 2010). The detailed
treatment for estimating pipeline embedment proposed by
Westgate et al. (2013) allows probabilistic distributions of
pipeline embedment to be derived in a logical manner.
0.25
Vmax
~ 0.6 0.4 2 k vp / T0
(34)
W'
A typical range for Vmax/W' for deep water pipelines is 1.5 to 3,
as indicated in Figure 18.
1000
100
where EI is the bending rigidity of the pipe and T0 the

horizontal component of tension in the catenary (Figure 17).
The effect of the seabed stiffness, kvp, on the profile of contact
force, V, through the touchdown zone is shown in Figure 18.
The maximum static contact force, Vmax, normalised by the
submerged weight of the pipe, W', is a function of the seabed
stiffness, and also of the characteristic length, , as shown in
Figure 19. The variation of Vmax may be approximated as
(Randolph and White 2008a)
w 1 2 rem D / T0
~
D
7 rem D2
100
Figure 19 Maximum static contact force in touchdown zone (Randolph

and White 2008a).
(33)
10
(35)
98
th
on the trailing edge of a pipeline is extremely brittle, so that the

relevant failure envelope reverts quickly to that for no tension.
The theoretical failure envelopes referred to above are based
on ideal, rate independent non-softening soil, and ignore any
local heave (relative to the flat seabed) adjacent to the pipeline.
A more realistic study, based on LDFE analysis, that takes
account of such features was presented by Chatterjee et al.
(2012b). For the particular set of soil parameters investigated,
they derived failure envelopes that were approximately
parabolic, expressed as
H max
Vmax
Vmax
V
1
V
max
2 1 2
where 1
0
Vmax
(36)
1 1 22
Figure 20 Comparison of predicted and observed pipeline embedment

(from Westgate et al. 2013, Site C).
6.2
The quantities 1, 2 and Hmax/Vmax were found to vary with

embedment according to
Lateral resistance
1 0.59 0.89 w / D
The lateral resistance of partially embedded pipelines may be

assessed, as for shallow foundations, from failure surfaces in
vertical (V) horizontal (H) load space. The form and size of
failure envelope depend on factors such as the embedment, the
pipe-soil interface condition (friction ratio, , ranging between
0 for smooth to 1 for rough; and whether tensile stresses are
permitted), the shear strength profile (ranging from uniform to
varying proportionally with depth) and the relative magnitudes
of effective stress and shear strength.
Theoretical failure envelopes considering some or all of
these variables have been presented by Randolph and White
(2008b: analytical upper bound solutions), Merifield et al.
(2008: finite element analyses) and Martin and White (2012:
closely bracketed finite element based lower and upper bound
plasticity solutions). An example from the most recent of these
is shown in Figure 21, for a fully rough pipeline embedded in
soil with strength proportional to depth, for two different ratios
of effective stress to shear strength gradient ('/).
'/ = 0
'/ = 3
H/D2
H/D2
2 0.55 0.87 w / D
(37)
H max /
Vmax 0.17 0.31 w / D
The failure envelopes allow estimation of the breakout

lateral resistance for any given vertical load ratio, V/Vmax, and
loading path. As a pipeline is displaced laterally it tends to rise
towards the seabed, or plunge deeper, depending on the initial
embedment and vertical load ratio. After sufficient movement it
will reach a steady residual horizontal resistance, Hres. Pipeline
trajectories during breakout, and a methodology for assessing
the residual resistance ratio, Hres/V, were also presented by
Chatterjee et al. (2012b).
6.3
Axial resistance
The axial resistance of pipelines is an intriguing problem that, at

face value, would seem to be essentially trivial (a sliding failure
with known vertical load), but in practice turns out to be more
complex. There are three main aspects that need to be
considered (Hill et al. 2012):
The pipe-soil interface friction, which is affected by the
relative roughness of the pipeline coating, and also the
magnitude of the normal effective stress. At the very low
effective stresses (generally less than 5 kPa) applied by deep
water pipelines, the effective stress failure envelope shows
significant curvature.
The cylindrical geometry of the pipeline, which for any
given embedment leads to integrated normal effective
stresses around the pipe-soil interface that exceed the
pipeline weight by a so-called wedging factor.
Excess pore pressure development at the pipe-soil interface,
which leads to a strong dependence of the axial resistance
on the velocity and cumulative axial displacement.
The first of these requires appropriate experimental data,
typically obtained using direct shear devices that have been
adapted for very low normal stresses. Analytical solutions can
provide a theoretical basis for the other aspects, and these are
discussed here.
The basis for estimating the wedging factor, , due to the
cylindrical pipe surface is illustrated in Figure 22. Drawing on
the classical solution for the stresses due to a line load acting on
the surface of a homogeneous elastic half-space, a cos
variation of the normal effective stress may be assumed (with
the magnitude of the induced radial stresses decaying
inversely with radius from the pipe centre). Integrating the
V/D2
Figure 21 Examples of failure envelopes for rough pipelines in soil

with strength proportional to depth (Martin and White 2012).
There is a significant difference in lateral and uplift

resistance depending on the assumption of full tension or no
tension at the pipeline surface. The slight uplift resistance for
the case of no tension is primarily due to soil above the pipeline
for embedment ratios exceeding 0.5. In practice, model test data
indicate that, during lateral displacement, the tensile resistance
99
th
normal effective stresses around the perimeter, P, of the

interface, with S adjusted to balance the submerged pipeline
weight, W', allows the average normal effective stress, q, to be
expressed as
2 sin m
W
with
1.27
P
m sin m cos m
F
F
F ln( 2 ) T / T50 m
F
e

W ' W ' d W ' d W ' u
(38)
and
P D m D/2
The value of m is related to the normalised embedment by

cos m = 1 - 2w/D.
Pipe
diameter D
0.7
W'
0.6
n' ~ Scos
Figure 22 Schematic of embedded pipe.
Within a conventional critical state framework, the effect of

the time scale for axial movement may be evaluated by
considering the tendency for the adjacent soil to compact, or
dilate, and the resulting maximum (in an absolute sense) excess
pore pressure that may develop during rapid shearing. This is
illustrated in Figure 23 for the case of contractive soil. The
potential maximum reduction in void ratio, -emax, during
drained shearing is equivalent to a state parameter (Been and
Jefferies 1985), although more usefully expressed in terms of
volumetric strain, v,max. The corresponding maximum excess
pore pressure during undrained shearing is then obtained from
u max
ln1
q
v ,max
1 e0
e max

v ,max
umax
e
u
emax
critical
state line
q
Pipe
w/D = 0.4
Backbone
curve fit
0.5
0.0039
0.4
0.3
0.039
390
0.39
0.2
39
3.9
Values of vD/cv
as indicated
0.1
0
0.00001 0.0001
0.001
0.01
0.1
10
100
cvt/D2
Figure 24 Example axial response of pipeline as a function of nondimensional time and velocity.
Unfortunately, data from extensive model tests on pipe

segments are not consistent with the theoretical framework of
critical state soil mechanics and consolidation described above.
The data show that excess pore pressures may be regenerated
during fast axial motion that follows slow, drained, axial
displacement, and indeed the axial friction has generally been
considered as a function of the shearing velocity rather than the
elapsed time during a given motion (White et al. 2011).
A model that broadly reproduces the trends observed in the
model tests was suggested by Randolph et al. (2012). The
model supposes that pore pressure is continuously generated
during shearing, in response to volumetric collapse (generically
referred to as damage) within the soil adjacent to the pipe. The
rate of (potential) volumetric strain was assumed proportional to
the shear strain rate (denoted by normalised velocity, v/D) and
to the current normal effective stress, so that no further damage
would occur if the effective stress were to fall to zero. Taking
the rate of volumetric collapse (or damage) as v/D, the rate of
excess pore pressure generation becomes
(39)
e
e0
(40)
where the subscripts d and u denote drained and undrained

limits, m ~ 0.5 and T50, representing the non-dimensional time
where the friction ratio is midway between drained and
undrained limits, is about 0.05.
Mobilised axial friction, F/W'
dissipate and the friction ratio increases to the drained value.

The form of the backbone curve that quantifies the degree of
consolidation as a function of T = cvt/D2 may be approximated
as (Randolph et al. 2012):
ln 'n
Figure 23 Critical state framework for stress paths during shearing.
The proportion of umax that develops at the pipeline-soil

interface depends on the velocity and time scale (or cumulative
displacement) of the axial motion. For slow movement, excess
pore pressure can dissipate as fast as it is generated, and the
response is fully drained, while at the opposite extreme high
excess pore pressures are generated initially, although should
dissipate with continued displacement.
An example response is shown in Figure 24 from FE
analysis of a pipeline resting on normally consolidated Modified
Cam Clay, with a plane strain friction angle of 27 (Randolph
et al. 2012). The theoretical wedging factor for w/D = 0.4 is
1.25, so that the drained axial friction factor is F/W' ~
1.25tan(27) = 0.64. For fast shearing the initial excess pore
pressure ratio, umax/q, is about 0.45, so that the undrained
friction ratio is (1 0.45)0.64 = 0.35.
With increasing elapsed time, or displacement (noting that
cvt/D2 is equivalent to (/D)/(vD/cv)), the excess pore pressures
100
u
v
du / dt
1
* D
q
q
(41)
At high rates of shearing, the effect of damage is partially

compensated by slight enhancement of the effective friction
ratio due to increased shear strain rates. This may be modelled
using standard models for rate dependency of shear strength, for
example a form of Herschel-Bulkley relationship, so that the
failure shear stress ratio becomes
v/D
f
u
u

y 1
1
HB 1
q
q
q
v ref / D
(42)

th
where y is the minimum (yield) friction coefficient at very

slow shearing rates and and are the rate parameters; these
combine to give the rate-enhanced friction coefficient, HB.
Using the backbone consolidation curve shown in Figure 24
(Equation (40)) as the basis for pore pressure dissipation, the
excess pore pressure may be obtained by a convolution integral
of the form
t
v( t ' )
ln 2T T' / T50 m
u
dt'
* D q u(t' )e
t' 0
(43)
where v and u are both time varying functions and T' = cvt'/D2.
An example response is shown in Figure 25. Of particular
note is that after an initial transient stage, the normalised
friction, /q, converges to a steady value that is a function of
velocity. At steady state, pore pressure generation due to
damage balances pore pressure dissipation due to consolidation.
The steady state friction was approximated as
steady state
HB 1
q
1 0.24 / / *T50 vD / c v
k a mD
Figure 25 Example axial response of pipeline incorporating damage

and strain rate (Randolph et al. 2012).
(46)
For a partially embedded pipeline, this may be reduced by a

factor sin m, where m is defined in Figure 22. By comparison,
the vertical stiffness for a (surface) foundation of width Dsin m
on similar soil would be given by kv = 2mDsin m (Gibson
1974). Hence the axial stiffness is about half the vertical
stiffness (a little lower, allowing for the embedded nature of the
pipeline, Guha 2013).
The axial load transfer stiffness may be combined with the
expression for the stiffness of a long pile (Equation (8)) in
order to yield the overall pipeline stiffness for axial motion:
K pipe, axial
6.4
(44)
Although this model of velocity and time-dependent axial

friction contains some speculative elements, such as the
proposed link between pore pressure generation and normalised
velocity, it provides a theoretical framework for design, and for
the planning of future model tests in the laboratory or field. It
also helps to resolve the apparent discrepancy between
conventional consolidation theory and experimental data.
EApipe k a
EApipe mD
(47)
Impact forces from debris flows
Geohazard assessment, particularly from submarine landslides,

is a major aspect of developments in deep water, i.e. beyond the
continental shelf, where relic landslides are frequently observed.
While it is generally possible to site well manifolds and
anchoring systems away from the flow paths of potential
landslides, pipelines (particularly export pipelines) by their
nature must frequently be exposed to some risk. It is therefore
necessary to consider the magnitude of impact forces from
debris flows, and also the resulting response of a pipeline in
order to gauge whether it would survive impact.
The problem to be considered is shown schematically in
Figure 26. The debris flow may be idealised as extending over a
finite width, B, within which it imparts a normal force (per unit
length), Fn, and an axial force, Fa. Outside the impact zone,
passive lateral and axial resistance is provided between the
pipeline and the soil.
Generic analytical solutions have been developed for the
pipe response for given non-dimensional ratios of active loading
to passive resistance, allowing estimates of the maximum
stresses induced in the pipeline and maximum deflection under
the action of the debris flow (Randolph et al. 2010). However,
methods to estimate the loading itself have tended to lack a
sound fundamental basis, being couched in terms of drag factors
for normal and parallel components of flow. These lead to
resistances that are functions of density and velocity of flow,
rather than parameters linked to shear strength or even viscosity.
Flow direction
Axial stiffness
Debris flow
In addition to evaluating the limiting pipe-soil friction ratio, the

pre-failure axial stiffness of the pipeline is important as a
boundary condition for analysis of pipeline walking or the feedin to lateral buckles or debris flow impact. At an element level,
the axial stiffness (ratio of load transfer per unit length to axial
displacement) may be estimated by assuming a simple
distribution of shear stress around the perimeter of the pile,
similar to that for normal effective stress (Figure 22).
Consider a pipeline that is embedded to w/D = 0.5, and
where the shear stress resisting axial movement varies as cos
around the embedded section of the pipe. The shear stress will
also decrease inversely with radius from the pipe axis, in order
to satisfy equilibrium. Now assume a shear modulus for the soil
that varies proportionally with depth, z, according to G = mz. At
any radial position, the shear strain will therefore be
D cos inv D
inv
G 2r 2 m cos 2r 2 m
where inv is the shear stress at the pipe invert. Integrating this
with respect to r leads to the displacement at the pipe. The
resulting axial load transfer stiffness is then given by
(45)
101
Fn
Pipeline
Fa
Passive region
resisting movement
Active region
loaded by slide
Passive region
resisting movement
Figure 26 Schematic of debris flow impacting pipeline (Randolph and

White 2012).
For flow normal to the pipeline ( = 90 in Figure 26) a

hybrid approach, combining geotechnical and fluid drag
components of resistance, was proposed by Randolph and
White (2012). The normal force per unit length of pipe, Fn, is
expressed as
th
(48)
where Np is a bearing factor, su,op is the operative shear strength

at a shear strain rate that reflects the (normal component of)
flow velocity, vn, and Cd is a drag coefficient. The relationship
was calibrated against numerical analysis data (Zakeri 2009),
and yielded drag coefficients in the range 0.6 to1.2 for flow
angles between 30 and 90 .
The principle behind Equation (48) is that the bearing factor,
Np, in common with other bearing factors in geotechnics,
captures the geometry of the failure mechanism, and should be
independent of velocity or soil strength, essentially as specified
in Equation (13) but with adjustment for the relative depth of
the debris flow compared with the pipeline diameter. The effect
of velocity, or shear strain rate, is incorporated into the
operative shear strength, using conventional relationships such
as the Herschel-Bulkley expression in Equation (42), or a
simple power law relationship:

s u,op s u,ref
ref
v /D
~ s u,ref n
ref
between debris flow and pipeline. Initially, as the debris flow

strikes the pipeline, it will carry the pipe with it. Resisting
bending moments and axial tension in the pipeline will develop
quite gradually as the pipeline is deformed. These will slow the
pipeline, relative to the debris flow, until a dynamic equilibrium
is established (Boylan and White 2013).
A single set of results from Randolph et al. (2010) is shown
in Figure 28, for a case where the passive horizontal resistance
of the pipeline outside the slide zone is half the active force, Fn,
and the passive axial resistance is 25 % of Fn. The total active
loading, Fn times the slide zone width B, is normalised by the
pipeline cross-sectional rigidity, EA. The strains in the pipe
become dominated by axial tension as the width of the debris
flow increases; it is evident that relatively low levels of active
loading can cause significant strains, and potentially failure of
the pipeline.
1.6
(49)
The relative magnitudes of the two components in Equation

(48) are such that the fluid drag term only becomes significant
once the Johnson number (also referred to as the nonNewtonian Reynolds number), vn2/su,op exceeds about 5. The
accuracy of this approach has recently been demonstrated
through experimental work (Sahdi et al. 2013), where a drag
factor of around 1.1 to 1.4 was suggested. Numerical analyses
using the material point method (Ma, private communication)
has confirmed a drag factor close to unity.
For flow parallel to the pipeline, analytical relationships
have been derived for material that follows a power law
function, as in Equation (49) (Einav and Randolph, 2006). The
axial force per unit length, Fa, is given by
1.4
Axial coefficients, f a
Fn
1
N p s u,op Cd v 2n
D
2
1.2
Failure envelope
1
30
Relative angle
between debris flow
and pipelines
45
0.8
60
0.6
0.4
0.2
90
0
0
10
15
Normal coefficients, Np
Figure 27 Failure envelope for varying flow angle relative to pipe axis
(Randolph and White 2012).
0.01
Fa f a s u ,op D where f a 2 1

(50)
The value of fa lies in the range 1.2 to 1.4 for typical values of
between 0.05 and 0.15.
For the general case of debris flow impacting a pipeline at an
angle , a failure envelope may be developed to quantify the
interaction between parallel and normal components of force.
Based on the numerical data from Zakeri (2009), a failure
envelope of the form
fa
f a ,0
Np

N p,90

with N p N p,90 sin 0.7
(51)
Maximum pipeline strain, /E
Combined
102
0.0005
0.001
0.0002
0.0001
0.00005
0.00002
Tension
0.0001
Bending
0.00001
10
100
1000
10000
Normalized debris flow width, B/D
Figure 28 Effect of slide loading and width on maximum pipeline strain

(Randolph et al. 2010).
was found to give a reasonable fit (Randolph and White 2012).

An example failure envelope, taking fa,0 = 1.4 and Np,90 = 11.9
as appropriate for a rough pipe, is shown in Figure 27, together
with spot points for flow angles of 0, 30, 45, 60 and 90 .
Assessment of pipeline response to debris flow impact
requires initial estimation of debris flow velocity, height (which
affects Np), relative angle and shear strength at the point of
impact. These are non-trivial quantities to estimate, but may be
gleaned from numerical modelling of landslide runout. The
resulting impact forces and pipeline response may then be
evaluated using the relationships summarised here.
An important consideration is that the normal velocity, vn,
used to determine the strain rate (hence operative shear
strength) and the drag force should be the relative velocity
FnB/EA = 0.001
CONCLUSIONS
Analysis underpins and enriches design approaches that we use

in day to day practice. Where empirical correlations are still
relied upon, we should strive continuously to understand the
underlying processes and gradually capture them quantitatively
through analysis or synthesis of well-considered numerical
studies. The paper has dipped into a number of different
application areas in offshore geotechnical design, with the aim
throughout being to present simplified outcomes, based on
analysis, that can be applied directly in design. It should be
emphasised, however, that simplifications and idealisations in
analytical solutions are such that final validation and fine-tuning
of a design will often require further input from physical or
numerical modelling of the specific application. Even there
though, analytical solutions should guide the planning of the
more sophisticated investigations.

th
Perhaps most importantly, analytical solutions are the

clearest language through which engineering systems educate us
in respect of the controlling behaviour in offshore geotechnical
design. Simple relationships indicate which parameters we
should pay close attention to and which parameters have less
influence. In the early stages of a project, analytical solutions
can highlight the parameters that are most important when
targeting site investigations, and which aspects of our design
offer the most scope for optimising performance.
8
ACKNOWLEDGEMENTS
The work reported here is underpinned by the activities of the

Centre for Offshore Foundation Systems (COFS), currently
supported as a node of the Australian Research Council Centre
of Excellence for Geotechnical Science and Engineering, and in
partnership with The Lloyds Register Educational Trust.
Support through the Australian Research Councils Discovery
Program is also acknowledged. However, the most important
acknowledgement is for the many colleagues in COFS,
Advanced Geomechanics, and elsewhere who have contributed
to specific results and any useful ideas presented here.
9
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th
Mnard Lecture
The pressuremeter test: Expanding its use
Confrence Mnard
Lessai pressiometrique : largissement de son utilisation
Briaud J.-L.
President of ISSMGE, Professor, Texas A&M University, Zachry Dpt. of Civil Engineering, College Station, Texas, 778433136, USA
ABSTRACT: The purpose of this contribution is to show how the use of the PMT can be expanded further than current practice. The
topics covered in a first part include the amount of soil testing necessary to meet a reliability target, the influence of the lack of tensile
resistance of soils on the PMT modulus, how to recreate the small strain early part of the curve lost by the decompressionrecompression process associated with the preparation of the PMT borehole, best practice for preparing the PMT borehole, commonly
expected values of PMT parameters, the use of the PMT unload-reload modulus, and correlations with other soil parameters. The
second part deals with foundation engineering and includes the use of the entire expansion curve to predict the load settlement
behavior of shallow foundations, the load displacement behavior of deep foundations under horizontal loading, foundation design of
very tall structures, long term creep loading, cyclic loading, and dynamic vehicle impact. Finally an attempt is made to generate
preliminary soil liquefaction curves base on the normalized PMT limit pressure.
RSUM : Le but de cette contribution est de montrer comment lutilisation du PMT peut tre tendu au-del de la pratique courante.
Les sujets abords dans une premire partie comprennent la quantit de reconnaissance de sol ncessaire pour atteindre un objectif de
fiabilit, linfluence de labsence de rsistance des sols la traction sur le module du PMT, comment recrer la partie de la courbe en
petites dformations perdue pendant la dcompression-recompression associe la prparation du trou de forage, les meilleures
pratiques pour la prparation du trou de forage, les valeurs communes des paramtres PMT, lutilisation du module dchargerecharge, et des corrlations avec dautres paramtres du sol. La deuxime partie traite des travaux de fondation et les sujets suivants
sont abords: lutilisation de la courbe dexpansion du PMT pour prdire le comportement des fondations superficielles, et le
comportement des fondations profondes sous charge horizontale, la conception des fondations des structures de grande hauteur, le
comportement de fluage, chargement cyclique, et chargement par impact de vhicules. Enfin, on propose des courbes prliminaires de
liqufaction du sol sur la base de la pression limite normalise du PMT.
KEYWORDS: pressuremeter, modulus, limit pressure, shallow foundations, deep foundations, retaining walls, liquefaction.
1
later with the corrected manuscript again rather depressed and

telling Don, there is nothing left for me to do, everything has
been done. Don smiled and told me dont worry, there is much
more to be done on the PMT; I feel that it is still true today and,
in fact, it is the topic of this lecture. So this is my story on the
PMT and I have been a fan of the PMT ever since.
HOW I GOT INTERESTED IN THE PMT?
The year is 1974 and I am a Master student at the University of

New Brunswick, Canada working with Arvid Landva. I had
learnt that the triaxial test was the reference test in the
laboratory. I had also read from Terzaghi that the action was in
the field. So I sat down one late afternoon and tried to invent an
in situ triaxial test. I drew some complex systems with double
tube samplers and the pressure applied between the two tubes
on an internal membrane. It was very complicated and failed the
Einstein test of optimum simplicity. I had also learnt from many
months behind a drill rig that anything complicated had very
little chance of success in the field so I kept searching and
designing and then it dawned on me. What if I inverted the
problem, drew an inside out triaxial test, and applied the
pressure from inside the tube and pushed outward on the soil.
And so I designed my first pressuremeter. I was very excited
about my new invention and could not sleep that night. I waited
anxiously to go to the library the next morning to see what I
could dig on this idea. I went to the library and there it was
Louis Menard 1957, Jean Kerisel as his advisor, the Master in
Illinois with Ralph Peck, the development of the design rules,
Sols Soils, 1963 and on and on. I came out of the library that
morning, very disappointed that my idea had already been
invented. After much reflection that day, I finally decided that I
should be happy because it was obviously a good idea since it
had received that much attention. This is how I got interested in
the pressuremeter. I then went to The University of Ottawa to
work with Don Shields who was connected with Francois
Baguelin and Jean Francois Jezequel writing the pressuremeter
book. Don gave me the manuscript in early Sept 1976 and said
read this and correct any mistake. I did and came back 3 months
SPECIAL THANKS TO LOUIS MENARD
I met Louis Menard (Fig. 1) on 15 December 1977, one month

before he died of cancer. I was a PhD student at the University
of Ottawa in Canada working on my pressuremeter research
with Don Shields. I was coming back home for Christmas that
year and Louis Menard was kind enough to take some time
from his very busy schedule to visit with me at the Techniques
Louis Menard in Longjumeau near Paris. I waited for 30
minutes but finally got to meet the man who had invented the
tool I was so fond of. Around 7 oclock that day, I entered a
huge deep office much like you see in castles. At the other end
behind a big desk was Louis Menard waving at me to come
closer and take a seat. I introduced myself and we started to talk
about the pressuremeter. Very quickly, I found myself enjoying
the discussion and time flew by. We talked and argued and
talked again and quoted data and theory and reasoning so much
so that at the end we had connected. I was mad because I
promised myself that I would take notes of what Menard was
saying but in the heat of the action I forgot all about it and was
left with no notes and it was already 8 Oclock. This is where I
got really lucky. Louis Menard asked me: do you have any
plans tonight? I said no and he said: why dont you stay for
dinner? Whaoh! That would be wonderful. We got up and he
took his cane to walk from his office to his house which was a
107
1
th
door away. The cancer was very advanced but he explained to

me as we walked to the dining room that he had a slight illness
but that he would take care of that in no time! This is where I
got my first clue of the remarkable strength of his will power,
the steely determination of Louis Menard, a trait of character
which helped him win against all odds while creating some
slight antagonistic situations. The dinner was a delight.
Honestly, I cannot tell you what I ate but I certainly remember
the stories that he told me with his wife and his children around
the table. One stands out in my mind: his first encounter with
Ralph Peck. He said that he entered Professor Pecks office and
Peck proceeded to explain to young Louis Menard that he
would have to take a certain number of core courses to get his
Master degree. So Peck walked to the small blackboard in his
office and wrote a list of these 4 or 5 courses, then went back to
his desk. Louis Menard got up, took the eraser and wiped the
courses out and said I am not interested in these courses;
however I am interested in these courses instead. Menard was
indeed a very bright, very determined independent thinker. On
that day of 15 December 1977 he provided me with a wonderful
moment in my life, one that I will never forget.
the mean modulus measured on the soil samples has a 98%

confidence level of being within + or 20% of the true mean of
the modulus?
For this we recall the student t distribution. Consider a large
population (the big cube) of modulus E which is normally
distributed with a mean p and a standard deviation p. Then
consider a group of n randomly selected values of the modulus
(E1, E2, E3, , En) from the population (results of the site
investigation and testing). The mean modulus value of the group
E1, , En, is g and the standard deviation is g. Lets create
many such groups of n modulus values (many options of where
to drill and where to test), each time randomly selecting n
values from the larger population of modulus and calculating
the mean modulus g of the group. In this fashion we can create
a distribution of the means g. It can be shown that the
distribution of the means g has a mean g equal to p and a
standard deviation g equal to p/n0.5. If we form the
normalized variable t:
g p
g / n
(1)
then the distribution of t is the student t distribution for n

degrees of freedom: t(n). The t distribution is more scattered
than the normal distribution of E, depends on the number n of
modulus values collected in each group, and tends towards the
normal distribution when n becomes large (Fig. 2).
Figure 1. Louis Menard (courtesy of Michel Gambin and Kenji

Mori)
3
INTRODUCTION
Figure 2. The student t distribution
There are many different types of pressuremeter devices and

many ways to insert the pressuremeter probe in to the ground.
This paper is limited to the preboring pressuremeter also called
Menard pressuremeter where a borehole is drilled, the drilling
tool is removed, and the probe is lowered in the open hole. The
probe diameter is in the range of 50 to 75 mm and the length of
the inflatable part of the probe in the range of 0.3 to 0.6 m. The
paper starts with a general observation regarding site
investigations, then deals with many aspects of the
pressuremeter practice including the device itself, the
installation, the test, the parameters that can be obtained, and
their use in foundation engineering. In each topic, new
contributions are made to expand the use of the PMT.
4
HOW MANY BORINGS ARE ENOUGH?
What percentage of the total soil volume involved in the soil

response should be tested during the geotechnical investigation.
This depends on many factors including the goal of the
investigation. This goal may be that there is a high probability
that the predictions will be within a target tolerance. As an
example of calculations, assume that the block of soil which
will be loaded by the structure is a cube 10 x 10 x 10 m in size.
Further assume that the goal is to predict the elastic settlement
of the structure with a precision of + or 20% and that the soil
cube has a modulus with a coefficient of variation equal to 0.3.
The question is: what percentage of the total volume of soil
must be tested to have a 98% probability that the predicted
settlement will be within + or - 20% of the true settlement (i.e.:
measured)? Since in this case the modulus is linearly
proportional to the settlement, the question can be rephrased to
read: what percentage of the soil volume must be tested so that
108
The properties of the student t distribution together with Eq.1

allow us to write:
g
g
P g t
p g t
1
,n1 n
,n1 n
2
2
(2)
Where t(/2,n-1) is the value of t for n-1 degrees off freedom

and a value of /2, is the area under the t distribution for
values larger than t (Fig. 3). Eq.2 expresses that there is a (1-)
degree of confidence that the value of p is between the values
expressed in the parenthesis.
For our example, we need to determine the number n of
modulus values in the group (number of samples to be collected
and tested during the site investigation) which will lead to a
high probability P that the predicted modulus (g) will be within
a target tolerance from the true mean modulus of the
population (p). Therefore we wish to find the value of n which
will satisfy the probability equation:
P g (1 ) p g (1 ) Ptarget
Figure 3. Definition of the parameter .
(3)
th
That is to say we have a Ptarget % degree of confidence that p

lies in the range g(1+or-). We can rewrite Eq.3 as
p g
P
Ptarget
such anomalies, the amount of soil volume to test would

increase. If we use the same approach for different volumes we
can generate the number of borings necessary to meet the
criterion of 98% confidence of predicting within + or 20% for
a soil with a coefficient of variation equal to 0.3. Fig. 5 shows
the number of borings required as a function of the soil volume
involved in the response to the loading. The estimated line for
current practice is plotted on the same graph (based on the
authors experience) indicating that current practice does not
meet the criterion established. Note that the discrepancy
increases with the size of the project. Indeed the ratio between
the required number of borings Nr and the current number of
borings Nc increases with the size of the imprint.
(4)
If the coefficient of variation of the population is , then we

assume that the coefficient of variation of the group is also .
p g
p g
(5)
Combining Eq.2, 4, and 5 we get.

or n t
g t
, n 1
n
2 ,n 1
2
2
(6)
Eq. 6 is solved by iteration since n influences the value of t.

Student t distribution solvers are available on the internet. The
number n represents the number of soil samples to be tested in
order to obtain the value of the modulus within plus or minus
% from the exact answer with a Ptarget probability of success. If
we assume that a triaxial test sample to obtain a modulus value
has a volume of 10-3 m3, then the number n of samples gives the
volume of soil that must be drilled during the investigation to
satisfy the criterion. The percent volume tested becomes
Vs n 10 3
Vt
Vt
(7)
In our example the initial volume was 1000 m3, so we can

calculate what percentage of the soil volume should be tested.
Fig. 4 gives the results and indicates that in order to be 98%
sure that the answer will be within plus or minus 20% from the
true value, the amount of sampling is 0.001 percent of the total
volume.
Figure 5. Comparison of number of borings in current practice

and number of borings required for a precision of + or - 20%
with a 98% degree of confidence for a soil parameter coefficient
of variation of 0.3.
5
WHAT CAN BE IMPROVED ABOUT THE PMT

EQUIPMENT?
Only a few things, I think. We are at the point of maturity in this

area. If anything, we need to be able to run controlled stress
tests or control strain tests equally well. Controlling strain or
volume has the advantage of not having to guess at the limit
pressure to decide on the pressure steps. Controlling pressure
has the advantage of not having to wait for a long time if the
hole is too big. The devices which control stress require
compressed gas bottles which can be dangerous. Control
volume devices are safer in that respect and still allow control
stress tests. Most civil engineering structures apply stress
control steps.
With regard to the issue of the three cells versus mono-cell
probes, it has been shown (Briaud, 1992) that for probes with a
length to diameter ratio longer than 6, the difference between
the expansion of the mono-cell and the expansion of an
infinitely long cylinder for an elastic soil are within 5 % of each
other. Therefore as long as the probe has a length to diameter
ratio of 6 or more, there is no need for three cells in a
pressuremeter probe.
The diameter of the probe has an impact on the quality of the
test for the following reason. The thickness of the ring of
disturbed soil created by the carving or washing process during
drilling is approximately constant regardless of the diameter of
the drill bit. As such, the larger the pressuremeter diameter is,
the less influence this disturbed zone will have on the
pressuremeter curve. Therefore, it is best to increase the
diameter of the pressuremeter probe. A larger diameter will also
have a positive impact on the reliability of the borehole
diameter as it is much easier to drill a well calibrated 150mm
diameter hole than a 50mm diameter hole. Using lightweight yet
rugged 150 mm diameter, 1 m long PMT probes will improve
PMT test quality.
Figure 4. Required volume of soil to be tested as a percent of

the total volume involved in the soil response to predict a soil
property with a 98% confidence level and within a percent error
for given coefficients of variation of the soil property.
Consider now an 8 story building which is 40 by 40 m at its
base. The volume of soil involved in the response of the
building to loading is at least 40 by 40 by 40 m or 64000 m3.
The required sampling is 0.001% or 0.64 m3 which corresponds
to 640 triaxial tests. Further assuming that we will drill 40 m
deep borings allowing us to conduct 20 triaxial tests per boring,
this would require some 32 borings. In practice, we would
typically drill 4 or 5 borings for such a building. This shows that
we do not test the soil enough in our current soil investigations
to meet the set criterion. Note that the assumptions made in the
student t distribution calculation include the assumption that the
soil is uniformly variable. In other words, there are no
heterogeneity trends or anomalies in the soil mass. If there were
109
th
MAKING A QUALITY BOREHOLE IS THE MOST

IMPORTANT STEP
DRILLING FOR
SAMPLING
Fast rotation to get to the
sampling depth faster
Dont care about borehole
walls left behind the bit
Care about undisturbed soil
in front of the bit
(9)
Ez
E z z E z
(12)
Er zr E z rz
(13)
Here it is assumed that a compression modulus E+ acts in the

radial and vertical direction and a much reduced tension
modulus E- acts in the hoop direction.
(14)
E
E
E
z
r
E E
(15)
Where E is the modulus of the soil when tested in compression

and E- is the modulus of the soil when tested in tension. The
problem is further simplified by assuming that
(16)
rz zr 1
Stop at sampling depth

Clean borehole by running
bit with fast mud flow up and
down in open hole; avoids
unwanted cuttings in sampling
tube
Dont care about borehole
diameter
Care about borehole diameter
(10)
Er
E Ez
Where r, , z are the normal strains in the r, , and z
directions, r, , z are the normal stresses in the r, , and z
directions, Er, E, Ez are the modulus in the r, , and z
directions, and r, r, zr, rz, z, z are the Poissons ratios.
Because of the symmetry rules, the following equations must
also be satisfied
(11)
Er r E r
Table 1. Differences between drilling for PMT testing and

drilling for soil sampling
Do not clean the borehole by

running the bit up and down in
the open hole; this will increase
the hole diameter
Er
rz r z
z
This is the most important and the most difficult step in a

quality pressuremeter test. Much has been tried and written on
the best way to prepare the hole. Special training is required for
drillers to prepare a good PMT borehole as drilling for PMT
testing is very different and almost opposite to drilling for soil
sampling (Table 1). Table 2 gives some general
recommendations to obtain a quality borehole with wet rotary
drilling which I would recommend in most cases.
DRILLING FOR PMT

TESTING
Slow rotation to minimize
enlargement of borehole diameter
Care about undisturbed
borehole walls left behind the bit
Dont care about soil in front
of the bit
Advance borehole beyond
testing depth for cuttings to settle
in
z r 2
z r 3
(17)
(18)
The plane strain condition of the cylindrical deformation gives

(19)
z 0
The definition of the strains is, in small strain theory
du
dr
u

r
Table 2. Recommendations for a quality PMT borehole by the

wet rotary method.
Diameter of drilling bit should be equal to the diameter of the probe

Three wing bit for silts and clays (carving), roller bit for sands and
gravels (washing)
Diameter of rods should be small enough to allow cuttings to go by
Slow rotation of the drill (60 rpm)
Slow mud circulation to minimize erosion
Drill 1 m past the testing depth for cuttings to settle
One pass down and one withdrawal (no cleaning of the hole)
One test at a time
d r r
0
dr
r
(22)
Using Eq. 8 to 22 leads to the governing differential equation

where the displacement u is the variable. The boundary
conditions are a displacement equal to zero for an infinite radius
and a pressure equal to the imposed pressure at the cavity wall.
The solution is a bit cumbersome:
1
(23)
u
ro s12 ( s21 s12 ) ( s21 s12 ) 2 4 s11 s22 o
7.1 PMT Modulus and tension in the hoop direction

A number of parameters are obtained from the PMT. One of the
most useful is the PMT modulus Eo from first loading This
modulus is calculated by using the theory of elasticity. One of
the assumptions in elasticity is that the soil has the same
modulus in compression and in tension. This may be true to
some extent for clays but unlikely true for sands. When the
PMT probe expands, the radial stress increases and the hoop
stress decreases to the point where it can reach tension. In
elasticity, the increase in radial stress is equal to the decrease in
hoop stress, so if the pressure in the PMT probe is 500 kPa, the
hoop stress at the borehole wall is -500 kPa (neglecting the at
rest pressure). The soil is unlikely to be able to resist such
tension and using elasticity theory in this case is flawed. The
following derivation shows the influence of having a much
weaker modulus in tension than in compression.
The general orthotropic elastic equations are
Er
(21)
Now the equilibrium equation gives
THE PMT PARAMETERS
r r r zr z
(20)
Where s11, s22, s12, s21 are defined as follows
s11
E 1 22
1 2
2
2
1 1 1
(24)
s12
E 2
1 2 22 1
(25)
s21
E 2
1 2 22 1
(26)
s22
E 1 1
1 2
2
2
(27)
Eq. 23 is to be compared with the equation for the isotropic

solution which is
E u
(8)
ro o o
1 ro
Ez
110
(28)

th
Consider the case where the ratio E+/E- = 10, 1 = 3 = 0.33,

then 2 equal to 0.033. Then Eq.23 and Eq. 28 give respectively:
u
(29)
ro 0.309 E o
ro
expansion is defined as the radius at which and r are 1/10th

of the value at the cavity wall, that radius of influence is 100.5Ro
= 3.16Ro. Within this radius of influence, the average strain
can be calculated as follows
2
3.16 Ro R
1
(33)
o o
uo
av
dR 0.316 o
2
(30)
ro 0.752 Eo
3.16 Ro Ro Ro
R
ro
where av is the average hoop strain within the radius of
Therefore,
E+ = 2.43Eo
(31)
influence of the pressuremeter test, o is the hoop strain at the
+ This can be repeated for different values of E /E to obtain Fig.
wall of the cavity, Ro is the initial radius of the cavity, and R is
6. The inverse of the modulus ratio is consistent with the values
the radial distance in the soil. The modulus was mentioned as
recommended by Menard for the values in settlement analysis
being associated with a strain level at the cavity wall o
as shown in Fig.6. This observation about the tension in the
typically in the range of 2 to 6%; this means that the average
hoop direction also impacts PMT tests in hard soils and rock
strain av will be 0.6 to 2%. For the two Texas sites mentioned
which are sound enough to exhibit significant tensile strength.
above, the average strain would be close to 1% (3.53% x 0.316).
In this case, the PMT curve shows a break in the expansion
Note that this range of strain is consistent with the strain level
curve (Fig. 7) at a pressure p where the hard soil or rock breaks
associated with foundation engineering but is much higher than
in tension. This pressure is such that (Briaud, 1992):
the range of strain associated with pavement design or
(32)
t p 2 oh
earthquake shaking where a very low strain modulus is used.
The fact that the small strain modulus is absent from the
Where t is the soil tensile strength and oh is the horizontal
beginning of the PMT curve and that the strain range is between
stress at rest before the PMT is inserted.
0.6 to 2%, is created in part by the recompression of the soil
which was decompressed horizontally by the drilling process.
This recompression makes the small strain part of the stress
strain curve disappear as shown in the PMT test on Fig. 8. In
this test, an unload-reload loop was performed by decreasing the
pressure to zero and increasing it again to simulate a first
expansion curve. Then a second unload-reload loop was
performed over a much smaller pressure range. This test shows
that the recompression modulus varies tremendously depending
on the extent of the unloading. This test also shows that the low
strain information is lost in the decompression and
recompression loading process. Can we find a way to recreate
the early part of the PMT curve from the information gathered
during the test.
Figure 6. Correction of PMT modulus for low tension soils
CONCEPT
ACTUAL TEST
1400
Figure 7. Tensile strength from PMT test
1200
1000
P (kPa)
7.2 PMT first load modulus

The PMT first load modulus Eo also called the Menard modulus
is obtained from the initial straight line part of the PMT curve.
This straight line exists over a range of relative increase in
cavity radius which varies from one soil to another but is
typically in the range of 2 to 6 % relative increase in cavity
radius. At two sites in Texas, one in stiff clay the other in dense
sand, the average range of 15 PMT tests was 3.47% for the clay
site and 3.59% for the sand site. This refers to the value of
R/Ro at the cavity wall. The average radial strain in the soil
mass involved in the response to the cylindrical cavity
expansion is much smaller and averages 0.316 R/Ro as shown
in the following. The hoop strain and the increase in radial
stress r decrease away from the wall of the cavity at a rate of
1/R2 where R is the radial distance into the soil mass (Baguelin
et al., 1978). If the radius of influence of the pressuremeter
800
600
400
200
0
0.00
0.04
0.08
0.12
dR/R0
0.16
0.20
Figure 8. PMT stress strain curve with unload reload loops

7.3 PMT modulus at small strain
A soil modulus depends on several factors (Briaud, 2013) one
of which is the strain level. The PMT curve is a stress strain
curve where the stress is the radial stress r (measured pressure
111
th
in the PMT) and the strain is the hoop strain (relative increase
in cavity radius). It is therefore possible to define a secant
modulus as a function of strain from the PMT curve (Fig. 9).
a. REZEROED PMT CURVE
b. HYPERBOLIC CURVE FITTING
Figure 9. PMT stress strain curve and secant modulus

It can be shown in elasticity that the shear modulus is given
by:
1 ro
(34)
G
2 o
If we call Go the shear modulus associated with the straight
portion of the curve, we can normalize the modulus at any strain
with respect to Go. We calculate the secant shear modulus G1,
G2, G3 and so on corresponding to points 1, 2, and 3 on the
pressuremeter curve (Fig. 9). Then we can plot the ratio G1/Go,
G2/Go, G3/Go as a function of the corresponding strain 1, 2,
3. Note that is the strain at the cavity wall but that the mean
strain mean induced in the soil within the zone of influence is
only about 32% of that value (Eq. 33).
The curve linking G/Go vs. mean is shown on Fig. 10c and
10d. From zero strain to the strain value corresponding to the
end of the straight part of the PMT curve (AB on Fig. 10a), the
G/Go vs. mean curve is flat on Fig. 10c and 10d because within
that strain range the modulus G is constant and equal to Go.
In order to generate the non linear beginning of that curve
(EB on Fig. 10a), it is convenient to assume a hyperbolic model
as proposed by Baud et al. (2013) of the form
(35)
2Gmax pL
This equation defines a hyperbola which describes the PMT
curve with the limit pressure pL as the asymptotic value and
2Gmax as the initial tangent modulus. The hyperbolic model has
been shown to be very successful in describing the stress strain
curve of soils (Duncan, Chang, 1970). In Eq. 35, pL is known
and all the points on the PMT curve, after excluding the points
on the straight line part, can be used to find the optimum value
of Gmax by best fit regression. This can be done by plotting the
data points as / vs. and fitting a straight line through the data
points (Fig. 10b). Then 1/2Gmax is the ordinate at = 0 and 1/pL
is the slope of the line.
(36)
2Gmax pL
Then Eq. 35 gives the complete curve. This technique was used
at two sites, a stiff clay site near Houston, Texas, and a medium
dense sand site in Corpus Christi, Texas. Example results are
presented in Fig. 11 which shows that the data fits well with a
hyperbolic equation. For these two sites, the average ratio
Gmax/Go was 1.75 for the stiff clay and 1.27 for the dense sand.
112
c . NORMALIZED SECANT SHEAR MODULUS VS

STRAIN
d . NORMALIZED SECANT SHEAR MODULUS VS

LOG OF STRAIN
Figure 10. Normalized secant shear modulus vs. strain

Estimates of Gmax were calculated independently by using
correlations proposed by Seed et al. (1986) based on SPT blow
count for sand, Rix and Stokoe (1991) based on CPT point
resistance for sand, and Mayne and Rix (1993) based on CPT
point resistance and void ratio for clays. These estimates of
Gmax were consistently much higher than the values obtained by
the hyperbolic extension of the PMT curve; 25 times larger for
the stiff clay and 44 times larger for the dense sand. This
indicates that this hyperbolic fit to the PMT curve does not lead
to accurate very small strain moduli.

th
e. PMT CURVE DENSE SAND
a. PMT CURVE STIFF CLAY
f. HYPERBOLIC CURVE FITTING

b. HYPERBOLIC CURVE FITTING
g. NORMALIZED SECANT SHEAR MODULUS VS STRAIN

c. NORMALIZED SECANT SHEAR MODULUS VS STRAIN
h. NORMALIZED SHEAR MODULUS VS LOG STRAIN

d. NORMALIZED SHEAR MODULUS VS LOG STRAIN
Figure 11. Examples of hyperbolic extension of the PMT curve

(stiff clay, dense sand)
113
th
7.4 PMT modulus long term creep, and cyclic loading

It is relatively easy to maintain the pressure constant during a
PMT test while recording the increase in radius of the cavity
(Fig. 12). A pressure holding step of 10 minutes is not very time
consuming and can lead to very valuable information if the
structure will be subjected to long term loading (e.g.: building,
retaining wall). The pressure held for 10 minutes should be
higher than 0.2pL because below that threshold the influence of
the decompression-recompression effect and the disturbance
effect is more pronounced (Briaud, 1992). The evolution of the
secant modulus Et during the pressure holding test is well
described by the following model:
LOAD (MN)
0
10
12
0
-20
SETTLEMENT (mm)
t
Et Eto
to
a. FOOTING LOAD-SETTLEMENT CURVE
(37)
-40
-60
-80
-100
-120
-140
-160
Where t is the time after the start of the pressure holding step, to
is a reference time after the start of the pressure holding step
usually taken as 1 minute, Et and Eto are the secant modulus
corresponding to t and to respectively, and n is the creep
exponent. The value of n is obtained as the slope of the plot of
log Et/Eto vs. log t/to. The creep exponent n increases with the
stress applied over strength ratio and depends on the soil type
and stress history. It has been found in the range of 0.01 to 0.03
for sands and in the rnage of 0.03 to 0.08 for clays (Briaud,
1992). For clays, the lower values are for overconsolidated
clays while the higher values are for very soft clays.
Measurements on large scale spread footings on an unsaturated
silty sand (Briaud, Gibbens, 1999) demonstrated that the power
law model works very well (Fig. 13) because the log settlement
vs. log time curve was remarkably linear. These experiments
also indicated that n increases with the load level but is
significantly reduced by unload reload cycles. PMT tests with
creep steps were performed next to the footings (Fig. 13c and
13d); the parallel between the footing and the PMT is striking.
b. FOOTING SETTLEMENT VS TIME CURVE

LOG DISPLACEMENT LOG10 (S/S1)
0.06
0.05
0.04
6.23 MN
7.12 MN
8.01 MN
8.9 MN
9.79 MN
10.24 MN
0.03
0.02
0.01
0.00
0.0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6
LOG TIME, LOG10(t/t1)
c. PMT STRESS VS STRAIN CURVE
a. CREEP TEST
d. PMT MODULUS VS TIME CURVE
b. CYCLIC TEST
Figure 13. Creep response of a 3m by 3m spread footing and a

PMT test (Briaud, Gibbens, 1999, Jeanjean, 1995).
Similarly, one can conduct cyclic loading during the PMT
test. A series of 10 cycles is not very time consuming and can
lead to very valuable information if the structure will be
Figure 12. Creep and cyclic PMT test
114
th
subjected to significant repeated loading (e.g.: large wave

loading). The evolution of the secant modulus EN to the top of
cycle N is well described by the following model
(38)
EN E1 N m
a. PILE LOAD-DISPLACEMENT CURVE
Where N is the number of cycle using number 1 as the first

loading cycle, EN the secant modulus to the top of the Nth cycle,
E1 the secant modulus to the top of the first cycle (first time that
the pressure is decreased), and m is the cyclic exponent. The
value of m is obtained as the slope of the plot of log EN/E1 vs.
log N. Fig. 14 shows a parallel example of a pile subjected to
cyclic horizontal loading and a cyclic PMT test. As can be seen
the power law model of Eq.38 describes the evolution of the
deformation with the number of cycles (straight line on log-log
scales) very well and the parallel between the pile and the PMT
is striking.
7.5 PMT unload-reload modulus
The unload reload modulus Er is obtained by performing an
unload reload loop during the PMT test. The main problem with
Er is that, unlike Eo, it is not precisely defined. Indeed it
depends on the strain amplitude over which the loop is
performed and to a lesser extent on the stress level at which the
loop is performed. As such, Er varies widely from one user to
another and cannot be relied upon for standard calculations
unless the strain amplitude and stress level have been selected to
match the problem at hand. In my practice, I perform an unload
reload loop at the end of the linear phase and unload until the
pressure has reached one half of the peak pressure. This has the
advantage of being consistent but does not necessarily
correspond to a consistent strain amplitude from one test to the
next. I would strongly discourage the use of the reload modulus
because it is not a standard modulus. Instead I would
recommend the use of a hyperbolic extension of the PMT curve
to find the modulus at the right strain level.
7.6 The yield pressure py.
The yield pressure py is found at the end of the straight line
corresponding to the PMT modulus. Up to py, the amount of
creep is reasonably small but becomes much larger beyond that.
In geotechnical engineering it is always desirable to apply
pressures on the soil below the value of py. Typically py is 0.5
pL for clays and 0.33 pL for sands. Therefore, at working loads,
it is advisable to keep the pressure under foundations at most
equal to 0.5 pL in clays and 0.33 pL in sands to limit creep
deformations.
7.7 Correlations between PMT parameters and other soil
parameters
Correlations based on 426 PMT tests performed at 36 sites in
sand and 44 sites in clay along with other measured soil
parameters were presented by Briaud (1992). These correlations
exhibit significant scatter and should be used with caution.
Nevertheless they are very useful in preliminary calculations
and for estimate purposes. Table 3 gives the range of expected
PMT limit pressure and modulus in various soils while Tables 4
and 5 give the correlations.
b. PILE STIFFNESS VS NUMBER OF CYCLES

CURVE
c. PMT STRESS STRAIN CURVE
d. PMT MODULUS VS NUMBER OF CYCLES

CURVE
Table 3. Expected values of Eo and PL in soils

CLAY
Soil
strength
p*L(kPa)
E0 (MPa)
Soil
strength
p*L(kPa)
E0(MPa)
Soft
Medium
0200
0 2.5
200400
2.5 - 5.0
Stiff
400800
5.0 - 12
SAND
Very Stiff
Hard
800-1600
12 - 25
>1600
> 25
Loose
Compact
Dense
Very Dense
0 500
0 3.5
500 - 1500
3.5 - 12
1500-2500
12 22.5
> 2500
> 22.5
Figure 14. Cyclic response of a laterally loaded pile A and a

PMT test (Little, Briaud, 1988).
115
th
Table 4. Correlations for Sand (Column A = Number in Table x

Row B)
B
A
E0
(kPa)
ER
(kPa)
p*L
(kPa)
qc
(kPa)
fs
(kPa)
N
(bpf)
Column A = number in table x row B

E0
ER
p*L
qc
fs
(kPa)
(kPa)
(kPa)
(kPa)
(kPa)
1
0.125
1.15
N
(bpf)
57.5
383
Strength parameter
Clay
Sand
PMT pL(kPa)
1.25
1.7
CPT qc(kPa)
0.3
0.2
SPT N(bpf)*
60
75
* Ultimate bearing capacity pu in kPa.

8
64
6.25
312.5
2174
0.125
0.0156
0.11
5.5
47.9
0.87
0.16
50
436
0.0174
0.0032
0.182
0.02
9.58
0.0026
0.00046
0.021
0.0021
0.104
Table 5. Correlations for Clay (Column A = Number in Table x

Row B)
B
A
E0
(kPa)
ER
(kPa)
p*L
(kPa)
qc
(kPa)
fs
(kPa)
su
(kPa)
N
(bpf)
Table 6. Bearing capacity factors k for in situ tests
E0
(kPa)
Column A = number in table x row B

ER
p*L
qc
fs
su
(kPa)
(kPa)
(kPa)
(kPa) (kPa)
N
(bpf)
0.278
14
2.5
56
100
667
3.6
50
13
260
300
2000
0.071
0.02
0.2
7.5
50
0.40
0.077
20
27
180
0.25
0.05
1.6
10.7
0.133
0.037
6.7
0.02
0.005
6
0.14
0.079
0.010
0.001
5
0.003
8
0.003
3
0.000
5
0.62
5
0.09
1
SHALLOW FOUNDATIONS
8.1 Ultimate bearing capacity

The general bearing capacity equation for a strip footing is:
1
pu
c ' Nc BN DNq
2
(39)
Where pu is the ultimate bearing pressure, c the effective stress

cohesion intercept, the effective unit weight of the soil, Nc, N,
and Nq bearing capacity factors depending on the friction angle
. The assumptions made to develop this equation include that
the unit weight and the friction angle of the soil are constant.
Therefore the strength profile of the soil is linearly increasing
with depth. For strength profiles which do not increase linearly
with depth, this equation does not work and can severely
overestimate the value of pu. However equations of the
following form always take into account the proper soil
strength:
(40)
p
ks D
u
Where k is a bearing capacity factor, s is a strength parameter
for the soil, is the unit weight of the soil, and D is the depth of
embedment. The parameter s can be the PMT limit pressure pL,
the CPT point resistance qc, or the SPT blow count N. Table 6
gives the values of k for various soils and various tests in the
case of a horizontal square foundation on horizontal flat ground
under axial vertical load.
116
8.2 Load settlement curve method for footings on sand

The typical approach in the design of shallow foundations is to
calculate the ultimate bearing capacity pu, reduce that pressure
to a safe pressure psafe by applying a combined load and
resistance factor, use that safe pressure to calculate the
corresponding settlement, compare that settlement to the
allowable settlement, and adjust the footing size until both the
ultimate limit state and the serviceability limit state are satisfied.
In other words the design of shallow foundations defines two
points on the load settlement curve: one for the ultimate load
and one for the service load. It would be more convenient if the
entire load settlement curve could be generated. Then the
engineer could decide where, on that curve, the foundation
should operate. This was the incentive to develop the load
settlement curve method (Briaud, 2007).
Five very large spread footings on sand up to 3m x 3m in
size were loaded up to 12 MN at the Texas A&M University
National Geotechnical Experimentation Site (Fig. 15a).
Inclinometer casings were installed at the edge of the footings
as part of the instrumentation. They were read at various loads
during the test and indicated that the soil was deforming in a
barrel like shape (Fig. 15b). This is the reason why the
pressuremeter curve was thought to be a good candidate to
generate the load settlement curve for the footing. Note that,
during these tests, the inclinometers never showed the type of
wedge failure assumed in the general bearing capacity equation.
It is reasonned that the footings were not pushed to sufficient
penetration to generate this type of failure mechanism.
The transformation required a correspondence principle
between a point on the pressuremeter curve and a point on the
footing load settlement curve (Fig. 16). This correspondence
was established on the basis of two equations: the first one
would satisfy average strain compatibility between the two
loading processes and the second one would transform the PMT
pressure into the footing pressure for corresponding average
strains. These equations are:
s
R
(41)
0.24
B
Ro
p f f L / B f e f f , d p p
(42)
Where s if the footing settlement, B the footing width, R/Ro

the relative increase in cavity radius in the PMT test, pf the
average pressure under the footing for a settlement s, fL/B, fe, f,
f,d the correction factors to take into account the shape of the
footing, the eccentricity of the load, the inclination of the load,
and the proximity of a slope respectively, a function of s/B,
and pp the pressuremeter pressure corresponding to R/Ro. The
function was originally obtained from the large scale footing
load tests on sand at Texas A&M University (Jeanjean, 1995,
Briaud, 2007) and then supplemented with other load tests. This
led to the data shown on Fig. 17. Using all the curves (Fig. 17a),
a mean and a design function were obtained (Fig. 17b). The
design function curve is the mean function curve minus one
standard deviation.
The f correction factors have been determined through a
series of numerical simulations previously calibrated against the
large scale loading tests (Hossain, 1996, Briaud, 2007). Their
expressions are as follows

th
a. LOAD TEST SET UP

Near 2/1 slope
8.5 m
Settlement
Beam
LVDT
Jack
Telltates
2B
Inclinometer
casings
10.7 m
15 m
B
Dywidag bars
only No concrete
0.15
(49)
Where B is the width of the footing, L its length, e the load

eccentricity, the load inclination in degrees, and d the
horizontal distance from the slope-side edge of the footing to
the slope crest.
The shape of the function indicates that at larger strain
levels the need to correct the PMT curve is minimal. Indeed for
s/B larger than 0.03, the mean value of is constant and equal
to about 1.5. For values of s/B smaller than 0.03, there is a need
to correct the value of the PMT pressure because of a lack of
curvature on the PMT curve compared to the curvature on the
footing load settlement curve.
Load cell
B 0.5B
SAND
f ,d 0.7 1
B
Q
LENGTH = L
d
Drilled shaft
(Concrete+Bars)
7.6 m
Steel
plates
2.7 m
2.7 m
PRESSUREMETER-LIKE LATERAL
DEFORMATION FROM INCLINOMETER
PRESSURE
on WALL
b.
Pressuremeter
Test
RELATIVE
INCREASE IN
CAVITY RADIUS
e
B
Foundation
D
Sand
Pressuremeter
Test
LOAD
SETTLEMENT
CLAY
SHALE
Foundation
Behavior
Figure 16. Transformation of the pressuremeter curve into the

footing load settlement curve
a. FUNCTION: ALL DATA
Figure 15. Analogy between the soil deformation under a

shallow foundation and around a pressuremeter expansion test
Shape
0.8 0.2
f L
/B
Eccentricity
f e 1 0.33
B
L
(43)
e
B
center
(44)
edge
(45)
center
(46)
edge
(47)
b. FUNCTION: DESIGN RECOMMENDATIONS
0.5
Eccentricity
Inclination
Inclination
Near 3/1 slope
e
fe 1
B
2

f 1
90

f 1
360
0.5
d
f ,d 0.8 1
0.1
Figure 17. The function for the load settlement curve method
(Briaud 2013)
(48)
117
th
8.3 Load settlement curve method for footings on stiff clay

The load settlement curve method developed for sand was
extended to stiff clay by using some footing load tests and
parallel PMT tests. ONeill and Sheikh (1985) load tested a 2.4
m diameter bored and under-reamed pile in Houston (Fig. 18a).
The pile was 2.4 m deep (relative embedment depth D/B = 1)
and the shaft friction was disabled by a casing. The soil was a
stiff clay with an undrained shear strength of about 100 kPa.
The load was increased in equal load steps and the resulting
load settlement curve is shown in Fig. 18b. At failure, the
average pressure under the footing was 680 kPa as measured by
pressure cells on the bottom of the under-ream. Briaud et al.
(1985) performed pressuremeter tests at the same site around
the same time. The PMT test was carried out at a depth of 3.6 m
or half a diameter below the bottom of the footing; this PMT
curve (Fig.19a) was used to generate the function for that stiff
clay (Fig. 19b). As can be seen, the curve for that stiff clay is
very close to the recommended mean curve for sand. Load tests
on stiff clay using a 0.76m diameter plate at a depth of 1.52m
(Tand, 2013) were also analyzed together with parallel PMT
tests (Briaud, 1985) and gave the other functions on Fig.19b.
These tests on stiff clay give an indication that the design
function of Fig. 17b is equally applicable to sands and stiff
clays. Note that the load settlement curve method gives the
response of the footing as measured in load tests. These load
tests are carried out in a few hours; if the loading time is very
different (one week or more or one second or less), the time
effect must be considered separately (Section 7.4).
a. PMT CURVE
b. THE FUNCTION
a. LOAD TEST SET UP
Figure 19. Pressuremeter test (Briaud et al, 1985) and

function for stiff clay
b. LOAD TEST RESULTS
Figure 18. Large scale footing load test in stiff clay in Houston
(ONeill, Sheikh, 1985)
118
DEEP FOUNDATIONS UNDER VERTICAL LOADS
The rules developed by the French administration (Fascicule 62,

1993) for calculating the vertical capacity of piles are based on
a very impressive database of load tests carried out by
Bustamante and Gianeselli and the Laboratoires des Ponts et
Chaussees from about 1975 to 1995. These rules were recently
updated (NF P94-262, 2012) and represent one of the most
complete and detailed axial capacity methodology in existence.
These rules should be followed closely as there is no viable
alternative for the PMT.
One area of deep foundations where the pressuremeter has
seen some expanded use is the foundation design of very tall
buildings such as the 452 m high Petronas Towers in Kuala
Lumpur, Malaysia (Baker, 2010), the 828 m high Burj Khalifa
in Dubai, UAE (Poulos 2009), the planned 1000 m high
Nakheel Tower in Dubai, UAE (Haberfield, Paul, 2010), and
the planned 1000m+ Kingdom Tower in Jeddah, Saudi Arabia
(Poeppel, 2013). It is also seeing increased use for very large
foundations such as the I10/I19 freeway interchange in Tucson,
USA (Samtani, Liu, 2005). The use of the PMT for very tall
buildings started with the work of Clyde Baker between 1965
and 1985 (Baker, 2005) for the Chicago high-rises where the
use of the pressuremeter in the glacial till allowed Clyde Baker
to increase the allowable pressure at the bottom of bored piles
from 1.4 MPa to 2.4 MPa. The 1.4 MPa value was based on
unconfined compression tests; the use of the pressuremeter
along with observations led to using the 2.4 MPa value as
confidence was gained.
th
In making settlement calculations for such structures, some

use the rules proposed by Menard and some use the elastic
equations often with an unload-reload modulus. Those who use
the Menard rules, use values based on local experience and
influenced by the ratio between the unload-reload modulus Er
and the first load modulus Eo. While the value of the ratio Eo/Er
varies within a range somewhat similar to the range of values,
it is not clear why one should be related to the other. The ratio
Eo/Er is influenced by the development of plastic deformation
around the probe while the value of is argued to be related to
the combination of lack of strength in tension (hoop direction as
shown in Section 7.1) and recompression process through an S
shape curve (Fig. 8). Those who use the elastic equation
together with an unload-reload modulus face the problem that
the unload reload modulus is ill defined and depends in
particular on the extent of the unloading and the stress level at
which the unloading takes place.
The case of the foundation of the tallest tower on Earth, the
828m high Burj Khalifa in Dubai, UAE, is studied further to
investigate the issue of the first load modulus and the reload
modulus (Poulos, 2009). The Burj Khalifa weighs
approximately 5000MN and has a foundation imprint of about
3300m2. The foundation is a combined pile raft 3.5 m thick
founded at a depth of about 10 m below ground level on 1.5 m
diameter bored piles extending some 50 m below the raft. To
predict the settlement of the tower, a number of methods were
used including numerical simulations. For these simulations a
modulus profile was selected from all soil data available
including 40 PMT tests. The PMT first load modulus profile is
shown in Fig. 20 along with the selected design profile as input
for settlement calculations by numerical simulations. As can be
seen the design profile splits the PMT first load modulus profile
with some conservatism. The settlement of the tower was
predicted to be 77mm; it was measured during construction and
reached 45 mm at the end of construction (Fig. 21). The
reasonable comparison between measured and predicted
settlement for this major case history gives an indication that it
is appropriate to use the PMT first load modulus for settlement
estimates.
Figure 21. Measured and predicted settlement of the Burj

Khalifa, Dubai, UAE (after Poulos, 2009)
10 DEEP FOUNDATIONS UNDER HORIZONTAL LOADS
10.1 Single pile behavior
For vertically loaded piles, it is common to calculate the
ultimate capacity of the pile due to soil failure and then the
settlement at working load. For horizontally loaded piles, an
ultimate load due to soil failure is not usually calculated. Briaud
(1997) proposed an equation to calculate the ultimate horizontal
load due to soil failure for a horizontally loaded pile.
D v 4 lo for L 3lo

(50)
L
for L lo
3
D v 3
H ou pL BD v
4
1/4
4E I
lo p
K
2.3Eo
Where Hou is the horizontal load corresponding to a horizontal

displacement equal to 0.1B, B the pile diameter, pL the PMT
limit pressure, Dv the depth corresponding to zero shear force
and maximum bending moment, lo the transfer length, L the pile
length, Ep the modulus of the pile material, I the moment of
inertia of the pile around the bending axis, K the soil stiffness,
and Eo the PMT first load modulus.
In order to expand that solution to create the entire load
displacement curve for horizontally loaded piles, it is proposed
to first use a strain compatibility equation such that the relative
displacement to reach the ultimate load on the pile (y/B = 0.1)
corresponds to the relative PMT expansion at the limit pressure
(R/Ro = 0.41).
y
R
(51)
0.24
B
Ro
Then the load on the pile can be transformed into a pressure
within the most contributing zone as
p pile
Figure 20. First load PMT modulus profile and selected design
modulus values for the Burj Khalifa, Dubai, UAE (after Poulos,
2009)
119
Ho
BDv
(52)
The value is the ratio of the pressure on the pile divided by

the pressure on the PMT for a corresponding set of values of
y/B and R/Ro which satisfy Eq. 51. That way and point by
point, the function can be generated as a function of y/B or
0.24R/Ro. This approach is consistent with the approach taken
for the load settlement curve method for shallow foundations.
This was done for 5 piles including driven and bored piles as
well as sand and clay soils. The piles are described in Briaud
(1997) and in Briaud et al. (1985). They ranged from 0.3 to 1.2
m in diameter and from 6 to 36 m in length. In each case, the
pile dimensions were known, the load displacement curve was
th
known and the PMT curves were measured at various depths

within the depth Dv. An average PMT curve was created within
Dv if more than one test was available. The functions obtained
from these load tests and parallel PMT tests are shown in Fig.
22. They have a shape similar to the one for the shallow
foundations but the pile installation seems to make a difference.
The driven piles lead to one class of functions while the bored
pile leads to a lower function. More data would help refine this
first observation.
Figure 23. Plan view of a group of horizontally loaded piles.
Figure 24. Leading pile and trailing pile efficiency factors

Figure 22. The functions for transforming the PMT curve into
a horizontal load displacement curve for a pile.
10.2 Pile group behavior
The behavior of vertically loaded pile groups is often predicted
by making use of an efficiency factor of the form
(53)
Qg ev nQs
Where Qg is the vertical load on the group, ev the efficiency of
the vertically loaded group, n the number of piles in the group,
and Qs the vertical load on the single pile for the same
settlement as the pile group. This approach can be extended to
the problem of horizontal loading on a pile group by writing
(54)
H g ehnHs
Where Hg is the horizontal load on the group, eh the efficiency
of the horizontally loaded group, n the number of piles in the
group, and Hs the horizontal load on the single pile for the same
horizontal movement as the pile group. Fig. 23 shows the plan
view of a group of horizontally loaded piles.
A distinction is made between the leading piles on the front
row of the group and the trailing piles behind the front row.
Using data by Cox et al. (1983), Briaud (2013) proposed to
extend Eq. 54 to read:
elp
Hg
(nlpelp ntpetp )Hs
nlpelp ntp Hs
(55)
Where nlp and ntp are the number of leading piles and trailing
piles in the group respectively, elp and etp are the efficiency
factors for the leading pile and trailing pile respectively, and is
the ratio of elp over etp. Fig. 24 and 25 give the efficiency factors
as a function of the relative pile spacing based on the data by
Cox et al. (1983).
120
Figure 25. Ratio of leading over trailing pile efficiency factor

Eq. 52 was developed based on ultimate load observations at
large horizontal displacements. The use of the same equation for
all range of horizontal movements was investigated by
comparing measured and predicted movements for two major
pile group experiments by Brown and Reese (1985) in stiff clay
and by Morrison and Reese (1986) in medium dense sand. The
plan view of the group is shown in Fig.23. The piles were
0.273m in diameter, 13.1m long steel pipe piles driven in a 3 by
3 group with a spacing of 3 diameter center to center. The group
was built to simulate a rigid cap condition which is most
common. The clay was a stiff clay which had an undrained
shear strength of about 100kPa within the top 3 m from the
ground surface. The sand was a medium dense fine sand with a
CPT point resistance increasing from zero at the ground surface
to 3000 kPa at a depth of 2 m. Fig. 26 presents the result for the
test in clay and Fig. 27 for the test in sand. In each case, the
measured load-displacement curve for the single pile is
presented as well as the measured curve linking the average
load per pile in the group and the group displacement. The

th
efficiency in Eq. 55 was calculated as follows using Fig. 24 and

25:
yg
ys
elp
0.95
Hg
9 0.82 Hs (56)
nlpelp ntp Hs
3 0.95 6
Hs
1.25
Bg
Bs
1.91
2.65
0.273
(58)
The curve linking the average load per pile in the group versus
group displacement was obtained by using the load versus
displacement curve for the single pile and, for any given
horizontal movement, multiplying the single pile movement by
2.65. That predicted curve is shown on Fig. 28 and 29 along
with the curve measured by Brown and Reese for their test in
clay (1985) and Morrison and Reese for their test in sand (1986)
respectively. The measured single pile curve is also shown for
reference.
The predicted curve describing the average horizontal load per

pile in the group versus the group horizontal displacement was
obtained by using the horizontal load versus horizontal
displacement curve for the single pile and multiplying the single
pile load by 0.82 for any given movement. The curve predicted
using this approach is shown on Fig. 26 (clay) and 27 (sand)
along with the measured curves.
Figure 26. Predicted by Cox efficiency factor method and

measured load-displacement curve for Brown-Reese group
test in clay (1985)
Figure 28. Predicted by ONeill efficiency factor method

and measured load-displacement curve for Brown-Reese
group test in clay (1985)
Figure 27. Predicted by Cox efficiency factor method and

measured load-displacement curve for Morrison-Reese group
test in sand (1986)
Figure 29. Predicted by ONeill efficiency factor method

and measured load-displacement curve for Morrison-Reese
group test in sand (1986)
ONeill (1983) suggested that the best and simplest

efficiency factor to use for the settlement of a group of
vertically loaded piles was:
11 HORIZONTAL IMPACT LOADING FROM VEHICLE
sg
ss
Bg
In the case of road side safety, embassy defense against terrorist

trucks, ship berthing, piles are impacted horizontally. To predict
the behavior of piles subjected to horizontal impact, it is
possible to use 4D programs (x, y, z, t) such as LSDYNA
(2006). This is expensive and time consuming. The problem can
be simplified by using a P-y curve approach generalized to
include the effect of time. In this case the governing differential
equation is
(57)
Bs
Where ss is the settlement of the single pile under the working

load Q, sg the settlement of the group under nQ, n the number of
piles in the group, Bg the width of the group and Bs the width of
the single pile. This efficiency factor for the Brown and Reese
pile group was (Fig. 23)
121
th
4 y
2 y
y
(59)
M
C
Ky 0
4
z
t 2
t
where E (N/m2) is the modulus of elasticity of the pile, I (m4)
the moment of inertia of the pile against bending around the
horizontal axis perpendicular to impact, y (m) the pile
horizontal displacement at a depth z and a time t, M (kg/m) the
mass per unit length of pile (mass of pile Mp plus mass of
associated soil Ms), C (N.s/m2) the damping of the system per
unit length of pile, and K (N/m2) the soil spring stiffness per
unit length of pile. Note that the soil horizontal resistance is
limited to pu (kN/m2). The boundary conditions are zero
moment and zero shear at the point of impact, and zero moment
and zero shear at the bottom of the pile. The initial condition is
the displacement of the impact node during the first time step;
this displacement is equal to vo x t where vo is the velocity of
the vehicle and t the time step. Other inputs include the mass
and velocity of the impacting vehicle, and the parameters in Eq.
59 for the soil and the pile. The differential equation is then
solved by the finite difference method and it turns out that the
parameter matrix is a diagonal matrix so that no inversion is
necessary. As a result the solution can be provided in a simple
Excel spread sheet (Mirdamadi, 2013).
Because the problem is a horizontal load problem on a pile,
the PMT is favored to obtain the soil data. The PMT in this case
is a mini PMT called the Pencel (Fig. 30) which is driven in
place or driven in a predrilled slightly smaller diameter hole if
the soil is hard. As a result of many static and impact horizontal
load tests at various scales (Lim, 2011, Mirdamadi, 2013), the
following recommendations are made for the input parameters.
EI
M s 0.036 B
C N.s / m
K 2.3Eo
PL
g
240 PL kPa
and pu pL
(60)
2
(61)
(62)
Where B is the pile width, pL the PMT limit pressure, g the

acceleration due to gravity, and Eo the first load PMT modulus.
EQUIPMENT
TEST
Figure 30. Mini pressuremeter test
122

th
parameters shown in Table 7. PMT tests were performed with a

Pencel pressuremeter by first driving a slightly smaller diameter
rod in the very stiff clay and then driving the Pencel probe in
the slightly undersized hole. A comparison between the
measured and calculated behavior of the pile (movement, load,
and time) is presented in Fig. 32. The calculations were based
on the simple Excel program (TAMU-POST, Mirdamadi, 2013)
and a 4D FEM simulation using LS-DYNA (2006). The load
was obtained by measuring the deceleration of the truck by
placing an accelerometer on the bed of the truck and the
movement by using high speed cameras.
Table 7. PMT results by driven Pencel pressuremeter
5
DEPTH OF TEST
MODULUS
LIMIT PRESSURE
1m
1.8 m
45 MPa
25 MPa
1400 kPa
1200 kPa
a. STATIC TEST: LOAD VS. MOVEMENT

DISPLACEMENT/WIDTH
(/B)
0.12
0.16
LOAD (kN)
0.20
12.0
120
9.0
80
6.0
40
3.0
0
0
14
28
42
56
(kPa)
0.08
PRESSURE (P/BDv)
0.04
N
k
7
x .
0 9
0 2
3 1
1 =
x 8
5 3
.
7 0
.
0
x
= u5
3
o.
H 0
0.00
160
0.0
70
DISPLACEMENT (mm)
b. IMPACT TEST: MOVEMENT VS. TIME

1000
x DISPLACEMENT (mm)
800
600
Experiment
TAMU-POST (Excel)
LS DYNA
400
200
0
0.00
0.05
0.10
0.15
0.20
0.25
TIME (sec)
c. IMPACT TEST; FORCE VS.TIME

500
Experiment
TAMU-POST (Excel)
LS-DYNA
LOAD (kN)
400
300
200
100
Figure 31. Pick-up truck impact test

Fig. 31 shows a photo sequence of an impact test where a 2300
kg pick up truck impacted a pile at 97.2 km/h. The pile was a
steel pipe with a 356mm diameter and a 12.7mm wall thickness.
It was embedded 2 m into a very stiff clay which gave the PMT
123
0
0.00
0.05
0.10
0.15
TIME (sec)
0.20
0.25
0.30
th
b. PMT CHART BASED ON CORRELATION WITH

CPT (adapted from Robertson and Wride, 1998)
d. IMPACT TEST: FORCE VS. MOVEMENT

Static
Experiment
TAMU-POST (Excel)
LS-DYNA
500
LOAD (kN)
400
300
200
100
0
0
200
400
600
800
1000
x DISPLACEMENT (mm)
Figure 32. Pick-up truck impact test results
Figure 33. Preliminary liquefaction charts based on the

pressuremeter limit pressure
12 LIQUEFACTION CHARTS
Liquefaction charts have been proposed over the years to
predict when coarse grained soils will liquefy. In those charts
(Fig. 33), the vertical axis is the cyclic stress ratio CSR defined
as av / ov where av is the average shear stress generated
during the design earthquake and ov is the vertical effective
stress at the depth investigated and at the time of the in situ soil
test. On the horizontal axis of the charts is the in situ test
parameter normalized and corrected for the effective stress level
in the soil at the time of the test. There is a chart based on the
normalized SPT blow count N1-60 (Youd and Idriss, 1997).
There is another chart based on the normalized CPT point
resistance qc1 (Robertson and Wride, 1998). Using the
correlations in Table 4, it is possible to transform the SPT and
CPT axes into a normalized PMT limit pressure axis as shown
in Fig. 34. The normalized limit pressure pL1 is
p
pL1 pL 'a
ov
0.5
(63)
Where pL is the PMT limit pressure, pa is the atmospheric

pressure, and ov is the vertical effective stress at the depth of
the PMT test. Note that the data points on the original charts are
not shown on the PMT chart not to give the impression that
measurements have been made to prove the correctness of the
chart. Some degree of confidence can be derived from the fact
that the two charts give reasonably close boundary lines.
Nevertheless, these two charts are very preliminary in nature
and must be verified by case histories.
13 ANALOGY BETWEEN PMT CURVE AND EARTH

PRESSURE-DEFLECTION CURVE FOR RETAINING
WALLS
The load settlement curve method for shallow foundations
shows how one can use the PMT curve to predict the load
settlement curve of a shallow foundation. This load settlement
curve method was extended to the case of horizontally loaded
piles. Can a similar idea be extended to the earth pressure versus
deflection curve for retaining walls? One of the issues is that the
PMT is a passive pressure type of loading so the potential for
retaining walls may be stronger on the passive side than on the
active side. Another issue is that the PMT test is a cylindrical
expansion while the retaining wall is a plane strain problem.
Fig. 34 shows the curves generated by Briaud and Kim (1998)
based on several anchored wall case histories. The earth
pressure coefficient K was obtained as the mean pressure p on
the wall divided by the total vertical stress at the bottom of the
wall. The mean pressure p was calculated by dividing the sum
of the lock-off loads of the anchors by the tributary area of wall
retained by the anchors. For each case history the lock off loads
were known and the deflection of the wall was measured. Then
the data was plotted with K on the vertical axis and the
horizontal deflection at the top of the wall divided by the wall
height on the horizontal axis. The shape of the curve is very
similar to the shape of a PMT curve and a transformation
function like the function for the shallow foundation may
exist but this work has not been done.
a. PMT CHART BASED ON CORRELATION WITH

SPT (adapted from Youd and Idriss, 1997)
Figure 34. Earth pressure coefficient vs. wall deflection (after

Briaud, Kim, 1998).
124

th
14 CONCLUSIONS
The purpose of this contribution was to show how the use of the
PMT can be expanded further than current practice. In a first
part, it is shown that more soil testing should take place in
geotechnical engineering to reach a reasonable target of
reliability. Then, it is theoretically demonstrated that if the lack
of tensile resistance of soils is taken into account, the true soil
modulus in compression is higher than what is obtained from
conventional PMT data reduction. Then a procedure is
investigated to recreate by hyperbolic extension the small strain
early part of the curve lost by the decompression-recompression
process associated with the preparation of the PMT borehole.
The limitations of that procedure are identified. Best practice for
preparing the PMT borehole, commonly expected values of
PMT parameters, and correlations with other soil parameters are
given. Reasoning is presented against the general use of the
PMT unload reload modulus.
It is shown that instead of limiting the use of the PMT test
results to the modulus and the limit pressure, the entire
expansion curve can be used to predict the load settlement
behavior of shallow foundations and the load displacement
curve of deep foundations under horizontal loading. Long term
creep loading and cyclic loading are addressed. A solution is
presented for the design of piles subjected to dynamic vehicle
impact. It is also shown how the PMT can be very useful for the
foundation design of very tall structures. Finally an attempt is
made to generate preliminary soil liquefaction curves base on
the normalized PMT limit pressure.
15 ACKNOWLEDGEMENTS
The author wishes to thank the following individual for
contributing to this paper: Roger Failmezger and Art Stephens
for sharing some PMT data in sand, Ken Tand for sharing some
plate load test data in stiff clay, Harry Poulos for providing
some information on the Burj Khalifa measurements, Chris
Haberfield for providing some information on the Nakheel
Tower design, Clyde Baker for providing some information on
his experience with the PMT and highrise foundation design.
Several of my PhD students at Texas A&M University also
contributed to this paper by making computations, preparing
figures, formatting the manuscript, and more importantly
discussing various aspects of the new contributions in this
paper. They are: Alireza Mirdamadi, Ghassan Akrouch, Inwoo
Jung, Seokhyung Lee.
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Cyclic Liquefaction Potential using the Cone Penetration
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as part of the Mike ONeill Memorial Volume, ASCE,
Washington, DC, USA, 15pp.
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Moduli and damping factors for dynamic analyses of
cohesionless soils, Journal of Geotechnical Engineering,
ASCE, Vol. 112, GT11, pp1016-1032.
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refinery, Personal communication.
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NCEER Workshop on Evaluation of Liquefaction
Resistance of Soils, Salt Lake City,UT, January 5-6, 1996,
Technical Report NCEER-97-0022, National Center for
Earthquake Engineering Research, University at Buffalo.
25. Morrison C., Reese L.C., 1986, A lateral load test of a full
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USAE-WES, Geotechnical Engineering Center Report
GR85-12, Bureau of Engineering Research, Austin, Texas,
USA.
26. NF P94-262, 2012, Norme francaise, Justification des
ouvrages geotechnicques, norme dapplication nationale de
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AFNOR, pp206.
27. ONeill M.W., 1983, Group action in offshore piles,
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in Offshore Engineering, Austin, Texas, USA.
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75.
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126
Rowe
Rowe Lecture
lecture
The role of diffusion in environmental geotechnics
Confrence Rowe
Le rle de la diffusion en gotechnique environnementale
Shackelford C.
Colorado State University, Fort Collins, Colorado, USA
ABSTRACT: Diffusion of contaminants can play a significant if not dominant role in many applications encountered within
the field of environmental geotechnics. The objective of this paper is to provide an overview of the important role diffusion
plays in such applications. The presentation proceeds from a historical perspective, beginning with the recognition in the late
1970s to early 1980s that diffusion may be an important process in assessing contaminant migration through low
permeability barriers in waste containment applications. Data from the literature and simplified model simulations are used
to illustrate under what conditions diffusion is important, and the significance of diffusion with respect to different barrier
components and types of barriers in waste containment applications is illustrated. The barriers considered include natural
clays, compacted clay liners, geomembrane liners, geosynthetic clay liners, composite liners, vertical cutoff walls,
subaqueous caps for contaminated sediments, and highly compacted bentonite buffers for high level radioactive waste
containment. The significance of semipermeable membrane behavior on liquid-phase diffusion through bentonite-based
barriers also is highlighted. The potential importance of matrix diffusion as an attenuation mechanism for contaminant
transport also is illustrated, and the roles of both liquid-phase and gas-phase diffusion under unsaturated conditions are
discussed. Finally, the role of diffusion in terms of remediation applications is illustrated via an example analysis illustrating
the impact of reverse matrix or back diffusion on the effectiveness of pump-and-treat remediation.
RSUM: La diffusion de contaminants peut jouer un rle significatif si ce nest dominant dans le domaine de la
gotechnique environnementale. Lobjectif de cet article est de fournir une vue densemble du rle important de la diffusion
dans de telles applications. La prsentation suit une perspective historique : elle commence avec la reconnaissance vers la fin
des annes 70 au dbut des annes 80, du fait que la diffusion peut tre un processus important dans lvaluation de la
migration de contaminants travers des barrires permabilit rduite dans des applications de confinement de dchets.
Des donnes tires de la littrature et des simulations avec des modles simplifis sont utilises pour mettre en lumire sous
quelles conditions la diffusion est importante. Limportance de la diffusion pour divers matriaux de barrires et types de
barrires dans les applications de confinement des dchets est illustre ; les barrires considres comprennent les argiles
naturelles, les liners dargile compacte, les liners en gomembrane, les liners dargile gosynthtique, les liners composites,
les murs de confinement verticaux, les couvertures subaquatiques pour sdiments contamins, et des zones tampons en
bentonite fortement compacte pour le confinement des dchets radioactifs. Limportance du comportement des membranes
semi-permables sur la diffusion en phase liquide travers des barrires base de bentonite, telles que les liners en argile
gosynthtique, est aussi prsente. Limportance potentielle de la diffusion en matrice en tant que mcanisme dattnuation
pour le transport de contaminants est aussi illustre, et les rles de la phase liquide comme de la phase gazeuse dans des
conditions non satures sont examins. Finalement, le rle de la diffusion en terme dapplications de dpollution est illustr
via lanalyse dun exemple qui dcrit limpact de la diffusion arrire sur lefficacit de la dpollution pump-and-treat
(pompage-crmage-filtration).
KEYWORDS: Advection; Containment; Contaminant; Diffusion; Fick's laws; Membrane behavior; Remediation
1 INTRODUCTION
The advent of the formal sub-disciplinary field of
geotechnical engineering known as environmental
geotechnics can be traced to the early to mid 1970s, soon
after the formation of environmental regulatory agencies,
such as the United States Environmental Protection
Agency (US EPA) formed in 1970, whose purpose was to
enforce environmental regulations promulgated for the
protection of human health and the environment
(Shackelford 1999, 2000). One of the first orders of
business for these regulatory agencies was to provide
guidelines and regulations for the safe disposal of a variety
of liquid and solid wastes, including hazardous solid waste
(HSW) and municipal solid waste (MSW). For example,
the Resource Conservation and Recovery Act (RCRA)
promulgated in the US in 1976 provided detailed
guidelines for the use of low permeability barriers of
recompacted clay, since known as compacted clay liners
(CCLs), to minimize the migration of liquids and

contaminants emanating from HSW and MSW in the form
of RCRA Subtitles C and D, respectively. Until this period
of time, wastes had been disposed largely with relatively
little or no regard for any potential environmental
consequences, often in unlined pits and dumps or in
facilities that relied primarily upon the inherent low
permeability of any natural soil within the vicinity of the
disposal location.
Because of the lack of concern for environmental
consequences resulting from waste disposal prior to this
period, contamination at numerous disposal sites (hundreds
to thousands) had already occurred over the previous
decades, such as the infamous Love Canal site located in
Niagara Falls, New York, USA. Public awareness of the
potential environmental health concerns from such existing
contamination resulted in the realization of the need to
clean up or remediate the existing contamination from sites
that had already been polluted. An example of this
127
where Jd is the diffusive mass flux, or the rate of change in

mass of the chemical species per unit cross sectional area
perpendicular to the direction of diffusion [ML-2T-1; M =
units of mass, L = units of length, and T = units of time], n
is the total porosity of the porous medium, D* is the
effective diffusion coefficient [L2T-1], a (< 1) is the
apparent tortuosity factor [-], Do is the aqueous-phase or
free solution (without porous medium) diffusion
coefficient [L2T-1], and ic is the concentration gradient in
the direction of diffusion [-], which is positive when
directed towards decreasing solute concentration. The
apparent tortuosity factor, a, represents the product of the
actual matrix tortuosity factor representing the geometry of
the interconnected pores, m (< 1), and the restrictive
tortuosity factor, r, as follows (Malusis and Shackelford
2002a, Shackelford and Moore 2013):
realization is the promulgation in the US in 1980 of the law

known as the Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA), also known
as Superfund, that authorized the US EPA to respond to
releases, or threatened releases, of hazardous substances
that may endanger public health, welfare, or the
environment, and also enabled the US EPA to force parties
responsible for environmental contamination to clean up
such contamination and/or to reimburse the Superfund for
response or remediation costs incurred by the government.
Thus, the burgeoning field of environmental geotechnics
began to address technical issues related not only to the
prevention of contamination resulting from disposal of new
waste, but also to the remediation or clean up of existing
contamination resulting from improper disposal practices
in the past.
Because of the experience of geotechnical engineers in
using compacted clays for applications such as the low
permeability cores of engineered earthen dams (e.g.,
Mitchell et al. 1965), geotechnical engineers immediately
became involved and identified with the design and use of
CCLs as engineered barriers for disposal of new wastes.
However, the early emphasis in the use of CCLs as barriers
for waste containment focused primarily on the physical
and mechanical properties of the CCLs, such as
minimizing the hydraulic conductivity, kh, of the CCL in
order to reduce the rate of seepage of contaminated liquids
(e.g., leachates), v, through the CCLs resulting from the
application of a hydraulic gradient, ih, in accordance with
Darcy's law (i.e., v = khih). The realization of the need to
consider the chemical properties of the contaminants as
well as the potential detrimental impacts resulting from the
physico-chemical interactions between the liquids being
contained and the soils used to contain the liquids was
more gradual, and has developed over an extended time
frame. In particular, beginning in the late 1970s to early
1980s, diffusion became recognized as a potentially
important process in assessing contaminant migration
through low permeability barriers in waste containment
applications. This recognition led to a progressively greater
understanding of the role diffusion plays in a wide variety
of applications in environmental geotechnics, including
applications in both waste containment and remediation.
Thus, the objective of this paper is to provide an overview
of the role diffusion plays in the field of environmental
geotechnics.
a mr
where r represents the product of all other factors that may

be effective in reducing the diffusive mass flux of a
chemical species, such as ion exclusion. In essence, r
represents the ratio of the effective to total porosities, or
(Shackelford and Moore 2013):
n
r e
n
(3)
where ne n such that r 1.The recognition of an

effective porosity takes into account the possibility that
that there may be pores that are not interconnected or are
inaccessible to specific solutes such that only a fraction of
the pore space may be available for diffusion (Shackelford
and Moore 2013).
Fick's second law governing transient one-dimensional
diffusion of chemical species subject to first-order linear
decay in porous media can be written as follows (e.g.,
Shackelford and Daniel 1991a, Shackelford and Rowe
1998, Shackelford and Moore 2013):
C
D* 2C
2C
C Da
C
t
Rd x 2
x 2
(4)
where C is solute concentration [ML-3], Rd is the

dimensionless retardation factor, Da (=D*/Rd) is the
apparent diffusion coefficient [L2T-1], and is the decay
constant [T-1]. For chemical species subjected to first-order
decay (e.g., radionuclides), is inversely related to the half
life of the chemical species, t1/2, such that decreases as
t1/2 increases. For this reason, the decay term in Eq. 4 can
be (and often is) ignored without any significant loss in
accuracy for chemical species with half lives that are
considerably longer than the time frame being considered
for diffusion (Shackelford and Moore 2013).
The retardation factor in Eq. 4 accounts for linear,
reversible, and instantaneous sorption of a chemical
species, and represents the ratio of the total mass of
chemical species per unit total volume of porous medium
relative to the aqueous-phase mass of chemical species per
unit total volume of porous medium. For water saturated
porous media, Rd may be expressed as follows:
2 WHAT IS DIFFUSION?
Diffusion is a fundamental, irreversible process whereby
random molecular motions result in the net transport of a
chemical species (e.g., ion, molecule, compound,
radionuclide, etc.) from a region of higher chemical
potential to a region of lower chemical potential (Quigley
et al. 1987, Shackelford and Daniel 1991a, Shackelford
and Moore 2013). Since chemical potential is directly
related to chemical concentration, diffusion is more
commonly described as the net transport of a chemical
species due to a gradient in the concentration of the
chemical species.
The mass flux of a chemical species in a porous
medium due to diffusion can be described by Fick's first
law, which for one-dimensional diffusion may be written
as follows (e.g. Shackelford and Daniel 1991a,
Shackelford and Rowe 1998):
J d nD*ic n a Do ic
(2)
Rd 1 d K d
n
(1)
128
(5)
where d is the dry density of the solid phase, or mass of

solids per unit total volume of solids [ML-3], and Kd is the
distribution coefficient [L3M-1], which relates the solidphase concentration, Cs, expressed as the sorbed mass of
the chemical species per unit mass of the solid phase [MM1
], to the aqueous-phase concentration, C, of the chemical
species (i.e., assuming linear, reversible, and instantaneous
sorption), or Kd = Cs/C. As a result, for sorbing chemical
species, Kd > 0 such that Rd > 1, whereas for nonsorbing
chemical species, Kd = 0 (i.e., Cs = 0) such that Rd = 1.
Thus, Da as given by Eq. 4 represents a lumped effective
diffusion coefficient that includes the effect of attenuation
via Rd. For this reason, Da also has been referred to as the
effective diffusion coefficient of a reactive chemical
species (Shackelford and Daniel 1991a). For water
unsaturated porous media, the total porosity, n, in Eq. 5 is
replaced by the volumetric water content, w, where w =
nSw and Sw is the degree of water saturation (0 Sw 1).
Since the notation for the various diffusion coefficients
defined herein may not match the notation used by others
(e.g., D* as defined herein also is commonly designated as
De), caution should be exercised in terms of understanding
the basis for the definition of the various diffusion
coefficients when interpreting values extracted from the
published literature. Unless indicated otherwise, the default
definition of the diffusion coefficient used herein is that
corresponding to D*. For liquid-phase diffusion of aqueous
soluble chemical species in saturated porous media, values
of D* generally fall within range 10-9 m2/s > D* > 10-11
m2/s, with lower values of D* being associated with finer
textured and/or denser soils (Shackelford and Daniel
1991a, Shackelford 1991). Since a < 1, the upper limit on
D* of 10-9 m2/s is dictated by the Do values, which
generally ranges from about 1 to 2 x 10-9 m2/s for most
aqueous soluble chemical species, except for those
involving H+ or OH-, in which case Do is approximately 2
to 4 times higher (Shackelford and Daniel 1991a). Values
of D* < 10-11 m2/s are possible in situations involving
bentonite-based containment barriers, such as highly
compacted bentonite buffers for high-level radioactive
waste disposal, primarily as a result of ion exclusion
resulting from the existence of semipermeable membrane
behavior such that r < 1 (e.g., Malusis and Shackelford
2002a, Shackelford and Moore 2013). Liquid-phase values
of D* for unsaturated porous media generally decrease with
decreasing w or Sw and can be several orders of magnitude
lower than the respective values at full water saturation
(Shackelford 1991). Finally, values of Da for reactive
chemical species (e.g., heavy metal cations) typically range
from one to several orders of magnitude lower than the
corresponding D* values due to attenuation mechanisms
(e.g., sorption, ion exchange, precipitation, etc.), i.e.,
Rd > 1.
3 WHEN IS DIFFUSION SIGNIFICANT?
Following the approach of Shackelford (1988), the
significance of diffusion on the migration of aqueous
soluble chemical species, or solutes, through porous media
can be illustrated with the aid of solute breakthrough
curves, or BTCs, representing the temporal variation in the
concentration of a given chemical species at the effluent
end of a column of porous medium. As depicted
schematically in Fig. 1a, BTCs can be measured in the
laboratory for a column of a porous medium of length L by
(a) establishing steady-state seepage conditions, (b)
continuously introducing at the influent end of the column
a chemical solution containing a known chemical species

at a concentration Co, and (c) monitoring the concentration
of the same chemical species emanating from the column
as a function of time, or C(L,t) (Shackelford 1993, 1994,
1995, Shackelford and Redmond 1995). Because the
source concentration, Co, is constant, the BTCs typically
are presented in the form of dimensionless relative
concentration, C(L,t)/Co, versus elapsed time. The time
required for the solute to migrate from the influent end to
the effluent end of the column is referred to as the
"breakthrough time" or the "transit time."
For example, consider the three BTCs depicted in Fig.
1b for the case of a low permeability clay (kh = 5 x 10-10
m/s) contained within a column of length 0.91 m and at a
porosity of 0.5, and subjected to an applied hydraulic
gradient, ih, of 1.33. The chemical solution serving as the
permeant liquid contains a nonreactive solute at a constant
concentration of Co and is assumed to be sufficiently dilute
such that no adverse interactions between the clay and the
solution result in any changes in kh during the test.
The BTC in Fig. 1b labeled "pure advection" represents
the case commonly referred to as "piston" or "plug" flow,
whereby the breakthrough time is the time predicted in the
absence of any dispersive spreading of the solute front
using the seepage velocity, vs, in accordance with Darcy's
law (i.e., t = L/vs = nL/khih). Under purely advective
(hydraulic) transport conditions, 21.8 yr would be required
for the solute to completely break through the effluent end
of the column (i.e., C(L,t)/Co = 1) in the absence of any
dispersive spreading of the solute front, owing to the very
low seepage rate.
The BTC in Fig. 1b labeled "advection plus mechanical
dispersion" represents the spreading effect on the solute
front primarily due to mechanical (advective) dispersion
(i.e., diffusive dispersion is assumed negligible), which is
the case commonly depicted in groundwater hydrology
textbooks because the primary concern pertains to
contaminant migration within aquifers, or coarse-grained,
water-bearing strata subjected to relatively high seepage
velocities. The BTC for this case, as well as that for the
next case, was generated using a commonly applied
analytical model to the advective-dispersive solute
transport equation developed by Ogata and Banks (1961)
for the stated conditions of the column test (e.g.,
Shackelford 1990). In this case, the dispersive spreading
of the solute front is attributed to variations in the porescale velocity profiles at the column scale and
heterogeneities in hydraulic conductivity at the field scale
(e.g., Shackelford 1993). Due to this spreading effect of the
solute front, there are an infinite number of possible
breakthrough times depending on the value of C(L,t)/Co
used to define the breakthrough time. However, the typical
practice is to evaluate the breakthrough time at a relative
concentration of 0.5, which is the time at which the BTCs
for pure advection and advection plus mechanical
dispersion intersect.
The BTC in Fig. 1b labeled "advection plus diffusion"
is the true BTC for this column, as this BTC reflects the
situation when the seepage velocity is sufficiently low such
that the effect of diffusion is not masked by the effects of
advection and mechanical dispersion. The spreading effect
is still noticeable in this BTC, but this BTC is displaced to
the left of the previous two BTCs, resulting in a
breakthrough time at C(L,t)/Co of 0.5 of 14.8 yr, which is
considerably less than the value of 21.8 yr for the two
previous cases where diffusion is ignored. Thus, failure to
include the diffusion as a transport process under the
3
129
conditions of this column test would result in not only an

incorrect but also an unconservative (high) estimate of the
breakthrough time.
0.8
0.7
Pure
Advection
(b)
Advection
+
Diffusion
0.6
Advection
+
Mechanical
Dispersion
0.5
21.8 yr
0.4
14.8 yr
Relative Concentration, C(L,t)/C
0.9
0.3
0.2
0.1
-10
k = 5 x 10
h
m/s
L = 0.91 m
n = 0.5
i = 1.33
h
0
0
10
20
30
40
50
Elapsed Time, t (yr)
60
-8
(c)
L = 0.91 m
n = 0.5
i = 1.33
-10
10
-11
Pure
Diffusion
(i = 0)
Pure
Advection
48.5 yr
-9
10
14.8 yr
21.8 yr
Hydraulic Conductivity, k (m/s)
10
k = 2.2 x
h
Advection
+
Diffusion
10
-10
m/s
10
0 10 20 30 40 50 60 70 80
Transit Time @ C(L,t)/C = 0.5, t (yr)
o
0.5
Figure 1. Effect of diffusion on solute transport through a column

of soil of length L, porosity n, and hydraulic conductivity kh, under
a hydraulic gradient of ih; (a) column containing porous medium;
(b) breakthrough curves illustrating effect of diffusion at low kh;
(c) transit (breakthrough) times, t0.5, as a function of kh (modified
after Shackelford 1988).
As previously implied, the decrease in the breakthrough

time due to diffusion evident in the BTCs shown in Fig. 1b
is a function of the magnitude of the seepage velocity. This
dependence on vs is illustrated in Fig. 1c, where the
breakthrough times at C(L,t)/Co of 0.5, or t0.5, are shown
for the cases of pure advection and advection plus
diffusion as a function of the kh of the porous medium in
the column, all other conditions being the same (i.e., L =
0.91 m, n = 0.5, ih = 1.33). The limiting case of pure
diffusion (ih = 0) also is shown in Fig. 1c for comparison.
The horizontal distance between the pure advection and
advection plus diffusion curves represents the offset
distance at C(L,t)/Co of 0.5, or t0.5, in Fig. 1b for a given
kh. The independence of pure diffusion on kh is represented
by a vertical line corresponding to t0.5 of 48.5 yr. Three
observations are apparent from the curves shown in Fig. 1c
(Shackelford 1988): (1) diffusion has an effect (i.e., t0.5 >
0) even at a kh of 10-9 m/s, which typically is the maximum
regulated kh value for many waste containment

applications; (2) the sole use of Darcy's law (i.e., pure
advection) to predict breakthrough times is extremely
unconservative at kh values less than about 2.2 x 10-10 m/s;
and (3) diffusion starts to become the dominant transport
process (i.e., as the curve for advection plus diffusion starts
to approach asymptotically that for pure diffusion) at a kh
value of about 2 to 3 x 10-10 m/s. Of course, the solute
mass flux also would be significantly reduced with
decreasing kh, but still may be environmentally significant
(e.g., Johnson et al. 1989). Regardless, this simplified
analysis illustrates the importance of diffusion in low
permeability porous media.
In terms of concentration profiles, consider the scenario
depicted in Fig. 2a corresponding to a ponded source of
liquid containing a nonreactive chemical species at a
constant concentration, Co, underlain by an initially
uncontaminated soil with an n of 0.5. The resulting
concentration profiles beneath the source at an elapsed
time of 5 yr assuming a D* of 6 x 10-10 m2/s are shown in
Figs. 2b, 2c, and 2d for advective dominated (kh = 10-8
m/s), diffusive significant (kh = 10-9 m/s), and diffusive
dominated (kh = 10-10 m/s) cases, respectively. For the
advective dominated case (Fig. 2b), the pure advective
(seepage) front extends the furthest distance (> 4 m), there
is little difference between mechanical dispersion and
diffusion, and all concentration profiles intersect at
C(x,t)/Co of 0.5. For the diffusive significant case (Fig. 2c),
the pure advective front is much shallower (< 1 m),
dispersion due to diffusion is much greater than that due to
mechanical dispersion, and the concentration profile for
advection plus diffusion intersects that for pure advection
at C(x,t)/Co ~ 0.68. Finally, for the diffusive dominant case
(Fig. 2d), the depth of penetration of the pure advective
front is virtually imperceptible as is the concentration
profile for advection plus mechanical dispersion, and
almost the entire concentration profile for advection plus
diffusion extends beyond that for the pure advection case.
Thus, although the extent of contaminant migration is
greatest when the kh value of the subsurface soil is the
greatest, the extent of migration predicted on the sole basis
of advection (i.e., Darcy's law) becomes increasingly
unconservative as the kh of the subsurface soil decreases,
such that diffusion becomes more prominent. As will be
shown subsequently, associating the shapes of
concentration profiles with the dominant transport
processes played an important role in the recognition of
diffusion as a potentially important transport process.
4 DIFFUSION IN CONTAINMENT APPLICATIONS
4.1 Containment Scenarios
In terms of waste containment scenarios, there are three
general scenarios of interest, as illustrated in Fig. 3. The
first case illustrated in Fig. 3a is the limiting case of pure
diffusion. For waste containment scenarios involving
horizontal barriers (liners), the likelihood that the pure
diffusion case will be realized in practice is relatively
remote, as there almost always will be a hydraulic gradient
driving advective transport.
4
130
Depth (m)
R e la tiv e C o n c e n tra tio n , C (x ,t)/C

o
0
0 .2 0 .4 0 .6 0 .8
1
0
A d v e c tio n
+
1
A d v e c tio n
D iffu s io n
+
2
3
M e c h a n ic a l
D is p e rs io n
P u re
A d v e c tio n
4
5
k
6
= 10
-8
m /s
(b )
R e la t iv e C o n c e n tr a t io n , C (x , t )/ C
0
0 . 2 0 . 4 0 .6 0 .8
1 o
0
Depth (m)
1
2
3
4
P u re
A d v e c t io n
A d v e c t io n
+
M e c h a n ic a l
D is p e rs io n
A d v e c t io n
+
D if f u s io n
Figure 3. Transport scenarios across horizontal barriers for waste

containment: (a) pure diffusion; (b) diffusion with positive
(outward) advection; (c) diffusion with negative (inward)
advection (modified after Shackelford 1989, 1993).
The third scenario (Fig. 3c) pertains to the case where

the hydraulic and concentration gradients act in opposite
directions, such that advective transport is directed inward
towards the containment side of the barrier, whereas
diffusive transport still is directed outward. As a result, the
net outward advance of the chemicals is slowed or
"retarded" by the opposing hydraulically driven transport.
This situation would arise, for example, when the
containment system is located at a site with a high
groundwater table, such as a perched water table, such that
the barrier is located below the water table. This scenario
has been referred to as "zone of saturation" containment
(e.g. Shackelford 1989, 1993). The scenario also has been
referred to as a "hydraulic trap," because the inward
directed hydraulic gradient enhances the containment
function (e.g., Rowe et al. 2000, Badv and Abdolalizadeh
2004). However, because diffusion is still prevalent, the
existence of an opposing hydraulic gradient does not
necessarily mean that no contaminant will escape
containment, as the net effect will depend on the
magnitude of advective transport relative to that for
diffusive transport. Also, the effectiveness of inward
gradient landfills may not be as complete as expected in
the case where the barrier possesses semipermeable
membrane properties (Whitworth and Ghazifard 2009).
5
k
6
= 10
-9
m /s
(c )
R e l a t iv e C o n c e n t r a t io n , C ( x , t ) / C
0
0 .2 0 .4 0 .6 0 .8
1
0
P u re
A d v e c tio n
Depth (m)
1
2
3
4
A d v e c t io n
+
M e c h a n ic a l
D is p e r s i o n
A d v e c t io n
+
D if f u s io n
5
k
6
= 10
-10
m /s
(d )
Figure 2. Representative concentration profiles beneath a ponded

source of liquid after an elapsed time of 5 yr: (a) schematic of
scenario (n = 0.5, D* = 6 x 10-10 m2/s, ih = 1.33); (b) advective
dominated case; (c) diffusive significant case; (d) diffusive
dominated case.
The most common scenario is illustrated in Fig. 3b,

where both hydraulic and concentration gradients act in the
same direction to drive advective and diffusive chemical
transport from the containment side of the barrier to the
surrounding medium. This scenario also is the scenario
depicted previously with respect to Figs. 1 and 2.
4.2 Diffusion through Barriers or Barrier Components

4.2.1 Diffusion in Natural Clays
The recognition that diffusion may play an important role
in governing contaminant migration gained momentum in
the late 1970s with the publication of a case study by
Goodall and Quigley (1977) describing the field
concentration profiles that existed beneath two landfill
sites near Sarnia, Ontario, Canada, viz. the Confederation
Road landfill and the Blackwell Road landfill. The pore
water obtained from Shelby tube samples collected beneath
a landfill sited directly on top of intact glacial till, and the
5
131
concentrations of the primary cations, i.e., K+, Na+, Ca2+

and Mg2+ were plotted as a function of depth beneath the
interface of the waste and the till, as shown in Fig. 4. The
kh of the silty clay till in the vicinity of the landfills was
measured using both laboratory and field methods over
depths ranging from 1.5 to 27.4 m, and 14 of the 18
measured kh values were lower than 10-10 m/s.
At the Confederation Road landfill site (Fig. 4a), the
landfill was located directly upon unfissured, intact, gray
clay below a desiccated crust, and piezometers indicated
downward seepage gradients that enabled, together with
measured values of kh and n, calculating a maximum
advective front of 0.04 m over the 6-yr life of the landfill.
However, as shown in Fig. 4a, the measured disperse
cation front extended to a much greater distance of about
0.3 m, well beyond the advective front. The authors
recognized that advective migration in accordance with
Darcy's law could not be the primary transport process, and
that the cation concentration profiles resembled those that
would be predicted on the basis of diffusive dominated
conditions (e.g., compare Fig. 4a with Fig. 2d).
The same conclusions were drawn with respect to the
cation concentration profiles beneath the Blackwell Road
landfill, although the diffusive front had extended to an
even greater depth (0.4-0.8 m), despite the existence of
upward hydraulic gradients resulting from consolidation of
the underlying till due to loading by the overlying MSW.
In this case, the authors attributed the greater extent of
cation migration to the existence of fissures in the clay,
providing pathways for more rapid downward migration,
followed by diffusion of the cations into the surrounding
intact clay matrix resulting in the observed concentration
profiles. This latter process is referred to as "matrix
diffusion" and will be discussed in more detail later. A
subsequent study reported by Crooks and Quigley (1984)
involving additional field analyses and associated
laboratory testing confirmed the earlier conclusions drawn
by Goodall and Quigley (1984).
Another field study reported by Johnson et al. (1989)
involved obtaining vertical core samples from an
impervious, unweathered, water-saturated clay deposit
beneath a 5-yr-old hazardous waste landfill site in
southwestern Ontario, Canada. Sections of the cores were
analyzed for chloride and volatile organic compounds
(VOCs). Waste-derived chloride was detected in the clay
to a maximum depth of ~ 0.83 m below the bottom of the
landfill, whereas the most mobile VOCs were found to a
depth of only ~ 0.15 m. The authors concluded that the
downward transport of these chemical species was the
result of simple Fickian diffusion and, more importantly,
that the results of this study had important implications for
clay-lined waste disposal sites. Specifically, they noted that
for engineered clay liners of typical thickness of ~ 1 m,
simple diffusion could cause breakthrough of mobile
contaminants in approximately 5 yr, and that the diffusive
flux emanating from such liners could be large, at least
from the perspective of protection of human health and the
environment.
Cation Concentration (mg/L)

100
200
300
(a)
5.5
K
Bottom of Landfill
+
2+
Na Ca2+
Mg
Depth (m)
0.3 m
~ Extent of
Diffusive
Front
Glacial Till
6.5
Background
0
2

100 200 300 400 500 600 700
Rubber Boot, Plastic Bags,
Milk Cartons, Wire Fence,
Newspaper
Bottom of Landfill
+
Depth (m)
Na
(b)
2+
Mg
2.5
0.4 m Ca2+
~ Extent of
Diffusive Front
3
Consolidation
Flow Gradient
Glacial Till

100
200
300
400
500
(c)
Bottom of Landfill
+
Depth (m)
2.5
Na
Ca
2+
2+
Mg
0.4 m
~ Extent of
Diffusive Front
Consolidation
Flow Gradient
Glacial Till
3.5
Figure 4. Cation concentration profiles beneath two landfills at

Sarnia, Ontario, Canada: (a) Confederation Road landfill; (b)
Blackwell Road landfill, borehole 1; (c) Blackwell Road landfill,
borehole 3 (modified from Goodall & Quigley 1977).
As a result of these and other studies involving natural

clays (e.g., Barone et al. 1989, Barone et al. 1992, Myrand
et al. 1992, Sawatsky et al. 1997, Donahue et al. 1999,
Itakura et al. 2003, Mieszkowski 2003, Appelo et al. 2008,
Jakob et al. 2009), diffusion became recognized as an
important transport process in low permeability porous
media. This recognition led to studies focused on
evaluating the role that diffusion played in terms of
governing contaminant migration through engineered clay
barriers, such as CCLs. The results of several of these
studies are described in the following section.
4.2.2 Diffusion through Engineered Clay Barriers
Although several studies have focused directly on
evaluating the role of diffusion in governing contaminant
migration through engineered clay barriers, such as CCLs
used for MSW, HSW, and low-level radioactive waste
(LLRW) disposal as well as compacted bentonite buffers
6
132
used in high-level radioactive waste (HLRW) disposal, the

vast majority of these studies have been laboratory scale
studies (e.g., Crooks and Quigley 1984, Gillham et al.
1984, Shackelford et al. 1989, Shackelford and Daniel
1991b, Rowe and Badv 1996a,b, Cotten et al. 1998, Roehl
and Czurda 1998, Foged and Baumann 1999, Headley et
al. 2001, Rossanne et al. 2003, amur and Yazicigil
2005, Frempong and Yanful 2008, Hong et al. 2009, Korf
et al. 2011, De Soto et al. 2012). By comparison, relatively
few field-scale studies of diffusion in compacted clay
barriers have been reported, primarily because the extent of
contaminant migration under diffusion dominated
conditions would not be sufficient within the operational
time-frame of most barriers to allow for such evaluation
without violating the integrity of the barrier via core
sampling. However, two exceptions to this restriction are
the Keele Valley Landfill (KVL) located north of Toronto
in Maple, Canada, which was operational between 1984
and 2002 (Rowe 2005), and a field-scale CCL that was
specifically constructed as a field research study on the
campus of the University of Illinois to evaluate
contaminant transport through CCLs and was operational
for 13 yr (1988-2001) (Cartwright and Krapac 1990,
Toupiol et al. 2002, Willingham et al. 2004).
Concentration profiles existing across the interface of
sand overlying the clay liner at the KVL after 4.25 yr of
operation are shown in Fig. 5. The profiles in Fig. 5a are
for chloride, whereas those in Fig. 5b pertain to a group of
VOCs known as the BTEX compounds (benzene, toluene,
ethylbenezene, and xylene). The liner generally was 1.2 m
in thickness, with a kh that was regulated to be 10-10 m/s or
less (King et al. 1993). The sand overlying the clay liner
was meant primarily to be a protection layer for the
underlying clay liner, and the upper portion of the sand
layer became clogged within the first four years such that
the sand layer did not contribute to the hydraulic
performance of the leachate collection system (Rowe
2005). This clogging resulted in a lack of flow through the
sand layer, such that the sand layer actually served as part
of the low-permeability barrier system whereby diffusion
was the dominant transport process. For example, Rowe
(2005) reported that, in the case of the chloride
concentration profile (Fig. 5a), the assumption of purely
diffusive transport using a D* value for chloride of 6 x 1010
m2/s resulted in a predicted profile that matched the
measured profile well, and that the concentration profiles
for the BTEX compounds, especially toluene, through both
the sand and the clay resembled those for diffusion
dominated conditions.
A detailed description of the construction and
installation of monitoring for the prototype CCL
constructed as a research project at the University of
Illinois can be found in Cartwright and Krapac (1990). The
compacted liner was approximately 0.9-m thick and was
constructed using Batestown Till compacted wet of
optimum water content. The dimensions of the liner
facility were 10 m x 17 m x 1 m, which included an
instrumented and ponded test area of 7.3 m x 14.6 m x 0.9
m (Willingham et al. 2004). The entire facility was
enclosed within a heated shelter to minimize weather
effects and prevent infiltration from rainfall. As part of the
monitoring system, large-ring infiltrometers (LRI), 1.5 m
in diameter were installed on the surface of the liner and
subsequently filled to a depth of 0.295 m with water tagged
with tracers (tritium, (HTO) and bromide (Br-)).
Approximately one year later, the water level was raised to
0.31 m and maintained at that level for about 8.5 yr, and
Depth from Sand-Clay Interface (m)
then the water level was allowed to decrease due to

evaporation and infiltration, but never reached the liner
surface before the study was terminated (Willingham et al.
2004).
Chloride Concentration, C (mg/L)
0
1000 2000 3000 4000
-0.5
(a)
Municipal Solid Waste
-0.4
-0.3 Black Sand
-0.2 Reduced Gray Sand
-0.1 Light Brown Sand
Interface
0
Brown
0.1 Clayey
0.2 Liner
Measured Data
0.3
0.4
0.5
Computed Diffusion Profile
0.6
-10
2
(D* = 6.5 x 10 m /s, t = 4.25 yr)
0.7
0.8
Depth from Sand-Clay Interface (m)
0
-0.5
-0.4
-0.3
-0.2
-0.1
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
VOC Concentration, C (g/L)

200 400 600 800 1000
(b)
Municipal Solid Waste

Black Sand
Reduced Gray Sand
Xylene
Interface
Light Brown Sand
Toluene
Ethylbenzene
Brown
Clayey
Liner
Benzene
Figure 5. Concentration profiles within the engineered barrier

system at the Keele Valley Landfill, Maple, Ontario, Canada: (a)
chloride concentration profiles (modified after King et al. 1993);
(b) concentration profiles for VOCs (modified after Rowe 2005).
A cross-sectional schematic for the LRI set-up is

illustrated in Fig. 6a, and concentrations profiles of Br- as a
function of depth and radial distance, r, from the centerline
of the LRI are shown in Figs. 6b,c. The profiles were fitted
with an analytical three-dimensional transport model to the
advective-dispersive-diffusive transport equation. As
shown in Figs. 6b,c, reasonable fits to the measured data
were obtained for D* values varying from 3.0 x 10-10 m2/s
to 8.0 x 10-10 m2/s. The authors concluded that: (a) Brtransport through the field-scale liner was controlled by
diffusion, (b) the vertical and horizontal diffusion
coefficients were the same, and (c) CCLs can be
constructed as diffusion controlled barriers that are capable
of mitigating chemical transport from localized leaks or
source zones.
133
Bromide Concentration, C (mg/L)

5 10 15 20 25 30 35
r=0
0.1
GML is via molecular diffusion, and the only contaminants

that can diffuse substantially through the GML are those
that can partition into the polymer comprising the GML,
which generally limits the contaminants to organic
compounds, such as VOCs. For example, Rowe (2005)
reported the results of a long-term diffusion test involving
a 2-mm-thick HDPE geomembrane subjected to a
difference in NaCl concentration of 2.2 g/L, where the
measured concentration of chloride on the downgradient
side of the geomembrane after about 12 yr of exposure was
only 0.02 % of the source concentration, which was within
the range of the analytical uncertainty of the chemical
analysis. Rowe (2005) also cites the results of an
independent study that indicated negligible diffusion of
heavy metals (Cd2+, Cu2+, Mn2+, Ni2+, Pb2+, Zn2+) from a
0.5 M acid solution (pH = 1-2) through an HDPE over a 4yr period.
In this regard, there have been numerous studies
evaluating diffusion of a wide variety of organic chemicals
through a wide variety of different polymer-based GMLs
(Rowe et al. 1995, Park and Nibras 1996, Park et al.
1996a,b, Xiao et al. 1996, Sangam and Rowe 2001a, Joo et
al. 2004, 2005, McWatters and Rowe 2010, Jones et al.
2011, Saheli et al. 2011, Touze-Foltz et al. 2011). A
primary outcome from most of these studies is that
geomembranes formed from a single polymer, such as high
density polyethylene (HDPE), linear low-density
polyethylene (LLDPE), very low-density polyethylene
(VLDPE), and polyvinyl chloride (PVC), typically provide
little resistance to diffusion of VOCs (e.g., Edil 2003). In
this regard, the general process for diffusion of such
organic chemicals through GMLs in response to an
aqueous-phase concentration difference, -C = Co Ce >
0, established across a GML is illustrated schematically in
Fig. 7 (e.g., see Rowe 1998, Katsumi et al. 2001). First, the
organic chemical partitions from the external aqueous
solution into the geomembrane (adsorbs) at a concentration
KgCo, where Kg is the chemical-geomembrane partitioning
coefficient. Second, the chemical diffuses through the
geomembrane in response to a concentration difference
within the GML of -Cg = KgCo KgCe > 0, where KgCe
has been established on the basis of the external aqueousphase concentration, Ce. Finally, the chemical partitions
from the geomembrane (desorbs) back into the lower
bounding aqueous solution.
(b)
-11
v = 4.0 x 10
s
m/s
0.2
Depth (m)
0.3
0.4
0.5
Measured-Source
0.6
Measured-Soil
0.7
-10
D* = 3.0 x 10
-10
D* = 5.5x 10
0.8
-10
D* = 8.0 x 10
0.9
m /s
2
m /s
Bromide Concentration, C (mg/L)

5 10 15 20 25 30 35 40
r = 0.60 m
0.1
m /s
-10
v = 4.0 x 10
s
(c)
m/s
0.2
Depth (m)
0.3
0.4
0.5
0.6
0.7
0.8
Measured-Source
Measured-Soil (r = 0.53 m)
Measured-Soil (r = 0.63 m)
-10
D* = 3.0 x 10
-10
D* = 5.5x 10
-10
D* = 8.0 x 10
m /s
2
m /s
2
m /s
0.9
Figure 6. Bromide concentration profiles with a prototype

compacted clay liner: (a) schematic cross section of large-ring
infiltrometer; (b) and(c) concentration profiles at radii of 0 and
0.60 m, respectively, from the centerline of the LRI (modified
after Willingham et al. 2004).
4.2.3 Diffusion through Geomembrane Liners

Geomembrane liners (GMLs) are thin (typically 0.76 mm
to 3.05 mm) polymer-based materials that are commonly
used as barriers or components of barrier systems for
containment applications. In such applications, the only
way for aqueous-phase inorganic contaminants to migrate
through the polymer based GML is if the GML contains a
defect, e.g., a puncture hole or crack, or is otherwise
defective due to poor manufacturing or poor placement and
protection procedures. In such cases, the GML will offer
essentially no resistance to contaminant migration through
the defect, such that contaminant migration will readily
pass through the GML, i.e., unless the GML is founded
upon a hydraulic resistant layer, such as natural, lowpermeability clay, or the GML represents the upper
component of a composite liner which includes an
underlying low-permeability component, such as a CCL or
geosynthetic clay liner (GCL).
In the case where the GML is entirely intact, the only
way aqueous-phase contaminants can pass through the
Figure 7. Schematic of concentration profile for organic chemical

diffusion through an intact geomembrane liner (GML) (modified
after Rowe 1998, Katsumi et al. 2001).
Since GMLs are relatively thin, steady-state diffusion

through the GML can be established relatively quickly,
such that the mass flux of the organic chemical can be
expressed in accordance with Fick's first law as follows
(Park et al. 1996a,b, Rowe 1998, Katsumi et al. 2001,
Rowe 2005):
134
C Ce
J d Dg K g o
Lg
Geosynthetic clay liners (GCLs) are relatively new barrier

materials, having first been used in a landfill in 1986
(Bonaparte et al. 2002). Traditional or conventional GCLs
are thin (~ 5 to 10 mm), prefabricated (factory
manufactured) hydraulic barriers (liners) that consist
primarily of a processed clay, typically sodium bentonite,
or other low permeability material that is either encased or
"sandwiched" between two geotextiles or attached to a
single polymer membrane (i.e., geomembrane) and held
together by needle-punching, stitching, and/or gluing with
an adhesive. The hydraulic resistance of these conventional
GCLs that do not include a geomembrane or polymer film
is attributed to the bentonite component of the GCL, which
swells in the presence of water to form a tight sealing
layer. Although GCLs can be subjected to significant
incompatibility upon permeation with chemical solutions
or liquids, resulting in potentially significant increases in
hydraulic conductivity, the values of kh for GCLs
permeated with dilute chemical solutions or water tend to
be less than about 1 x 10-10 m/s (e.g., Shackelford et al.
2000). Such low kh values and the relative thinness of
GCLs imply that diffusion would be a significant, if not
dominant, transport process through GCLs. Accordingly,
several studies have evaluated the diffusion of chemicals
through GCLs (Lake and Rowe 2000, 2005, Rowe et al.
2000, Malusis and Shackelford 2002a, Lange et al. 2009,
Paumier et al. 2011, Malusis et al. 2013).
For example, consider the results of the study shown in
Fig. 9 for diffusion of KCl through a GCL. In this study,
diffusion of KCl was hypothesized to be affected by the
ability of the bentonite in the GCL to exhibit
semipermeable membrane behavior, whereby solutes are
excluded from the smaller pores in the clays, thereby
restricting the diffusion of the KCl (Malusis and
Shackelford 2002b). Such solute restriction also results in
chemico-osmosis, or the movement of liquid from lower
solute concentration to higher solute concentration, or
opposite to the direction of diffusion. Accordingly, the
GCL was tested in an apparatus that was able to measure
simultaneously both the membrane efficiency of the GCL
and the D* of the KCl.
The membrane efficiency refers to the relative degree
or extent of solute restriction (also referred to as "ion
exclusion"), and is quantified in terms of a membrane
efficiency coefficient, (Shackelford et al. 2003).
Although negative values of have been reported in some
cases due to atypical circumstances resulting from
processes such as "diffusion-osmosis" (Olsen et al. 1990),
values typically range from zero for clays exhibiting no
membrane behavior and, therefore, no solute restriction, to
unity (100 %) for "perfect" or "ideal" membranes that
restrict the passage of all solutes. Because soils generally
exhibit a range of pore sizes, some of the pores in clays
may be restrictive whereas others are not. As a result, most
natural soils that exhibit membrane behavior do so as
"imperfect" or "non-ideal" membranes, such that 0 < < 1
(Shackelford et al. 2003). In particular, bentonite has been
shown to possess the potential for significant membrane
behavior, such that the possible effect of membrane
behavior on solute transport through any bentonite-based
barrier should be considered (Shackelford 2011, 2012,
2013).
In terms of the results in Fig. 9, Fig. 9a shows the
correlation between the measured value of for the GCL
and the source concentration of KCl, Co, used in the test.
Due to physico-chemical interactions between the salts in
the pore water of the bentonite and the bentonite particles,
(6)
where Dg is the diffusion coefficient for the chemical in the

GML. Conservative (high) estimates of Jd will occur when
Ce is assumed to be zero.
Since geomembranes are not porous media, the nature
of Dg is not the same as that of D*. For example, based on
an extensive summary of both Kg and Dg values from the
literature reported by Rowe (1998), the upper limit on the
vast majority of the Dg values is on the order of 1 x 10-1l
m2/s, with numerous values ranging from one to several
orders of magnitude lower than this value. Thus, values of
Dg generally are several orders of magnitude lower than
values of D*. However, despite such low magnitude Dg
values, Park et al. (1996b) illustrate that molecular
diffusion of organic chemicals through intact GMLs can be
substantially greater than leakage through geomembrane
defects. A major reason for this difference is that that
cross-sectional area for diffusive mass flux through a GML
is the entire surface of the GML, whereas mass flux due to
leakage through a GML is associated with only a small
percentage of the surface area (see Fig. 8).
Area, A
Diffusion
Leakage through Defect Area, Ad
Figure 8. Cross-sectional areas for diffusion versus leakage

through a GML.
Because diffusion of VOCs through single polymer

GMLs has been an issue, recent research has focused on
evaluating alternative GMLs for the ability to minimize
VOC diffusion. For example, Sangam and Rowe (2005)
evaluated the effect of fluorinating the surface of an HDPE
on the diffusion of VOCs through the GML. In essence,
the surface fluorination reduces the affinity of the GML to
VOCs. Sangam and Rowe (2005) reported that the
diffusion coefficient for the surface fluorinated HDPE was
on the order of 1.5 to 4.5 times lower than that for the
untreated HDPE, depending on the specific hydrocarbon
evaluated. Similarly, McWatters and Rowe (2010)
evaluated the ability of two coextruded GMLs to reduce
the diffusive flux of VOCs. Coextrusion involves
extruding two or more layers of dissimilar polymers into a
single film. McWatters and Rowe (2010) reported
improved resistance to BTEX diffusion for the two
coextruded GMLs, a polyamide (nylon) GML and an
ethylene vinyl-alcohol (EVOH) GML, relative to that for
either an LLDPE or a PVC GML. The results of these and
other studies indicate that alternatives to the single
polymer GMLs may offer improved performance in terms
of VOC diffusion.
4.2.4
Diffusion through Geosynthetic Clay Liners
135
Co for the granular bentonite used by Lake and Rowe

(2000) may not be the same as that shown in Fig. 10 due,
in part, to the different porosity of the specimens (n = 0.78
to 0.80 vs. n = 0.71), different salts used in the tests (KCl
versus NaCl), and the potentially different properties of the
granular bentonites in the two GCLs. Despite these
differences, the results shown in Fig. 10 suggest that there
is general agreement between the results reported in the
two studies.
Membrane Efficiency
Coefficient,
1
0.8
Effective Diffusion Coefficient, D* (x 10 -10 m2/s)
higher salt concentrations result in compression of the

adsorbed layers of cations associated with the bentonite
particles and, therefore, larger pore openings between
adjacent particles and lower . As shown in Fig. 9b, such
larger pores due to higher salt concentrations also result in
increasing values of D* for KCl with increasing Co. Note
that the values of D* shown in Fig. 9b are steady-state
values in that the values correspond to after steady-state
diffusion had been established with respect to both Cl- and
K+. The combined effect of Co on and D* is shown in
Fig. 9c, where D* is shown to decrease with increasing
such that, in the limit as 1, D* 0 as required on the
basis of the definition of a perfect or ideal membrane. As
indicated in Fig. 9b, this decrease in D* with increasing
was attributed to a decrease in the apparent tortuosity
factor, a (see Eq. 1).
= -0.457 - 0.455log(Co) (a)
(r2=0.998)
0.6
0.4
0.2
Lake & Rowe (2000)

Malusis & Shackelford (2002a)
Membrane
Behavior
(0 < < 1)
4
3
KCl
(n = 0.78 - 0.8)
2
1
0
0.001
NaCl
(n = 0.71)
No
Membrane
Behavior
( = 0)
0.01
0.1
1
Source Salt Concentration, Co (M)
10
Figure 10. Comparison of the results for the diffusion of salts

through GCLs from two different studies (modified after Malusis
and Shackelford 2002a).
3
D* (x 10-10 m2 /s)
(b)
4.2.5 Diffusion through Composite Liners

Composite liners refer to engineered barriers that are
comprised of more than one type of barrier in intimate
contact with each other. Although there are a variety of
possible composite liner systems, including those that
contain more than two component types of barriers (e.g.,
Nguyen et al. 2011), the most common types of composite
liners consist of a GML overlying and in intimate contact
with either an underlying CCL or an underlying GCL,
although other composite liner scenarios are possible. For
these common composite liners, the effectiveness of the
composite liner in restricting contaminant migration relies
largely on the integrity of the overlying GML and on the
intimacy of the contact between the overlying GML
relative to the underlying CCL or GML (Rowe 1998,
Foose et al. 2001, 2002). The fewer the number of defects
in the GML and the more intimate (tighter) the contact
between the two barriers, the more effective the barrier in
restricting contaminant migration. However, failure to
protect the GML could compromise the integrity of the
composite liner.
For example, Rowe et al. (2003) evaluated the
performance of a composite liner comprised of a 1.5-mmthick HDPE GML overlying a 3-m-thick CCL after 14
years in operation as a leachate lagoon liner (also see
Rowe 2005). The GML had been poorly protected,
resulting in development of 528 defects (cracks, holes,
patches) per hectare over the 14-yr operational life of the
liner, which allowed leachate to seep between the GML
and CCL. Data obtained upon decommissioning indicated
that leachate leaking through the GML had spread quickly
over the entire interface between the GML and CCL,
essentially rendering the GML ineffective. However, there
were questions as to when the GML became ineffective as
a barrier component and to what extent contaminant had
penetrated the underlying CCL. Based on these
considerations, Rowe et al. (2003) evaluated the chloride
concentration profile within the CCL based on samples
recovered from five different locations. As illustrated in
0
0.001
0.01
0.1
Source KCl Concentration, Co (M)
3
D* (x 10 -10 m2/s)
D* = 2.4 x 10 -10 m 2/s
(c)
0.2
a,max = 0.12
0.1
1
a
0
0
0
0.2
0.4
0.6
0.8
1
Membrane Efficiency Coefficient,
Apparent Tortuosity Factor, a
Effective Diffusion Coefficient,
Effective Diffusion Coefficient,
0
0.001
0.01
0.1
Source KCl Concentration, Co (M)
Figure 9. Results of a test to measure simultaneously the diffusion

of KCl through a GCL and the membrane behavior of the GCL:
(a) membrane efficiency of the GCL; (b) steady-state diffusion
coefficient of KCl; (c) effect of membrane behavior on steadystate diffusion of KCl (modified after Malusis and Shackelford
2002a,b).
Malusis and Shackelford (2002a) compared their results

with those reported by Lake and Rowe (2000) based on
measurement of NaCl diffusion under constant volume
conditions through granular sodium bentonite extracted
from a GCL. The results of this comparison are shown in
Fig.10 in the form of the D* values for KCl and NaCl
versus the source salt concentration, Co. Overall, results in
Fig. 10 indicate a similar trend of increasing D* with
increasing Co. Although values were not measured by
Lake and Rowe (2000), chemico-osmotic flow was
reported to be sufficiently negligible such that the authors
concluded that membrane behavior probably wasn't
significant for the range of NaCl concentrations used (i.e.,
Co 0.08 M). The superimposed demarcation between
membrane behavior ( > 0) and no membrane behavior (
= 0) based on the results shown in Fig. 9 tends to support
this conclusion, although the relationship between and
10
136
Fig. 11, the resulting concentration profile was consistent

with diffusion dominated transport, taking into
consideration that reverse or back diffusion had occurred at
the top of the profile due to the placement of water within
the lagoon following removal of the leachate prior to
decommissioning, resulting in a localized reversal in the
concentration gradient. Additional calculations were
performed to evaluate the duration of the effectiveness
(i.e., lifespan) of the GML on the resulting concentration
profiles, with the results indicating that the GML likely
was effective only for an initial period ranging from 0 to 4
yr. Nonetheless, the overall conclusion was that diffusion
was the dominant transport process, and the underlying
groundwater was not impacted due to the 3-m thickness of
the CCL.
(ANOVA) of the measured concentrations, Klett (2006)

concluded that the concentrations for 8 of the 11 VOCs
were statistically no different between clay and composite
lined landfills.
Containment Liquid (Co)
GML
CCL
or
GCL
Diffusion
(a)
Upgradient Side
Chloride Concentration (mg/L)

200
300
400
500
Transient
Profiles
Depth Below GML (m)
Lifespan = 8 yr
Lifespan =
0.5 10 yr
(0-,t) = Co
C(0+,t) = KgCo
GML
1.5
(Lg+,t) = Ci
CCL or GCL
CCL Parameters:
*
-10
m /s
-10
m/s
D = 7 x 10
(Lg-,t) = KgCi
Lifespan = 0 yr
Lifespan = 4 yr
Lifespan = 6 yr
Measured
kh = 2 x 10
(Lg+Lc,t) = Ce
Downgradient Side
n = 0.45 @ 0.0-0.25 m
e
(b)
= 0.42 @ 0.25-0.5 m
= 0.38 > 0.5 m
Figure 12. Schematics of diffusion of VOCs through intact

composite liners: (a) conceptual transport; (b) concentration
profiles (modified after Foose et al. 2001, Foose 2002)
2.5
Figure 11. Measured and predicted chloride concentration profiles

through the compacted clay portion of a composite liner system
after 14 yr of operation (modified from Rowe et al. 2003, Rowe
2005).
Although there is substantial evidence indicating that

composite liners are effective in terms of waste
containment, i.e., when constructed properly (e.g., Sangam
and Rowe 2001b, Bonaparte et al. 2002, Rowe 2005), there
also is growing evidence the composite liners are not any
more effective against minimizing VOC transport than are
CCLs (e.g., Foose 2002, Foose et al. 2002, Shackelford
2005, Klett 2006). In this case, the VOC first must diffuse
through the overlying GML similar to the situation for the
single GMLs illustrated in Fig. 7. However, once the VOC
has partitioned out from the downgradient side of the
GML, the VOC then must diffuse through the underlying
CCL or GCL, as illustrated in Fig. 12.
For example, Klett (2006) evaluated the measured
concentrations of 11 VOCs existing in 94 lysimeters (e.g.,
Fig. 13) at 34 landfills in Wisconsin lined with either CCLs
or composite liners (some landfills had multiple cells, each
with a lysimeter). The lysimeter data set consisted of 2738
samples analyzed for VOCs. At least one VOC with a
concentration above the limit of detection was detected in
1356 of these samples, and at least one VOC was detected
during one sampling event in each of the 94 lysimeters
evaluated. Toluene was detected most frequently (60% of
the lysimeters) and ten VOCs (toluene, tetrahydrofuran,
dichloromethane, benzene, acetone, chloromethane, xylene
(total), ethylbenzene, trichloroethylene, and 1,1dichloroethane) were detected in more than 25 % of the
lysimeters. The most prevalent compounds were aromatic
hydrocarbons
(toluene
and
benzene),
furans
(tetrahydrofuran), and the alkanes (dichloromethane and
1,1- dichloroethane). Based on analysis of variance
Figure 13. Schematic of typical collection lysimeter (underdrain)

beneath a composite liner for a solid waste disposal facility
(modified from Shackelford 2005).
An example of this comparison for dichloromethane

(DCM) is presented in the form of box plots shown in Fig.
14. The center line in each box plot represents the median
of the data, the outer edges of each box represent the
interquartile range (i.e., 25th to 75th percentiles), and the
outermost lines or "whiskers" represent the 5th and 95th
percentiles. As shown in Fig. 14, the concentrations of
DCM in collection lysimeters beneath composite lined
cells were not any lower than those collected beneath cells
lined only with compacted clay. This similarity in DCM
concentrations is not necessarily surprising, given that
aforementioned lack of resistance to VOC diffusion
offered by most geomembranes. Thus, diffusion of VOCs
through GML-based composite liners remains an issue that
must be addressed when such contaminants are present.
11
137
Log Concentration (g/L)
Direction of
Advection
Direction of
Diffusion
+x
2
1
ES
>0
-1
=0
PAL
-2
Clay
Composite
Figure 14. Box plot comparisons of dichloromethane (DCM)

concentrations in collection lysimeters beneath composite lined
and clay lined cells in landfills in Wisconsin; ES = enforcement
standard; PAL = protective action limit (data from Klett 2006).
4.2.6 Vertical Barriers

A wide variety of vertical barriers have been used for in
situ hydraulic and contaminant containment applications,
including sheet-pile walls, grout curtains, concrete barriers,
geomembrane barriers, gravel-filled trenches, and slurry
based cutoff walls, such as soil-bentonite (SB), cementbentonite (CB) and soil-cement-bentonite (SCB) walls
(Mitchell et al. 2007). However, the slurry based vertical
cutoff walls probably are the most commonly used vertical
barriers for in situ containment of contaminants. Similar to
the case of horizontal barriers (Fig. 3), contaminant
transport through such vertical barriers can be categorized
into three possible scenarios as illustrated in Fig. 15, viz.,
pure diffusion (Fig. 15a), diffusion with positive (outward)
advection (Fig. 15b), and diffusion with negative (inward)
advection (Fig. 15c).
The pure diffusion scenario (Fig. 15a) exists when there
is no applied hydraulic gradient across the barrier. This
scenario would exist only in practice when there was little
or no local groundwater flow in the vicinity of the barrier
location prior to installation of the barrier, and no net
accumulation or depletion of water on either side of the
barrier during the operational life of the barrier. As a
result, the only possible transport process is diffusion from
the containment (inward) side of the barrier (C > 0)
towards the outside of the barrier (C = 0). As the
conditions for this scenario are not typically encountered in
practice, this scenario may be considered as a limiting
case.
The scenario for diffusion with positive (outward)
advection (Fig. 15b) exists when the local groundwater
level on the containment side of the barrier is allowed to
rise, e.g., via infiltration of precipitation, such that a
hydraulic gradient is established across the barrier in the
same direction as the prevailing concentration gradient,
i.e., from the containment (inward) side of the barrier (C >
0) towards the outside of the barrier (C = 0). Thus, both
advection and diffusion occur in the same direction, i.e.,
outward.
The scenario for diffusion with negative (inward)
advection (Fig. 15c) is analogous to the hydraulic trap
scenario represented in Fig. 3c, and occurs when the
groundwater level within the containment side is drawn
down, e.g., by pumping or passive drainage (e.g., French
drains), so as to generate an inwardly directed hydraulic
gradient to drive advective transport that counteracts the
outwardly directed diffusive transport, thereby minimizing
the net outward contaminant flux. Transport analyses for
this scenario have been reported by Shackelford (1989),
Manassero and Shackelford (1994), Devlin and Parker
(1996), and Neville and Andrews (2006).
(a) Diffusion without Advection

(Pure Diffusion)
>0
=0
(b) Diffusion with Positive Advection
>0
=0
(c) Diffusion with Negative Advection
Figure 15. Contaminant transport scenarios across vertical barriers

for in situ containment: (a) pure diffusion; (b) diffusion with
positive (outward) advection; (c) diffusion with negative (inward)
advection (modified after Gray and Weber 1984, Shackelford
1989, 1993, Manassero and Shackelford 1994, Devlin and Parker
1996, Neville and Andrews 2006, Sleep et al. 2006, Mitchell et al.
2007).
Although several studies have focused on evaluating

contaminant transport through slurry based vertical cutoff
walls (Gray and Weber 1984, Mott and Weber 1991a,b,
Manassero et al. 1995, Devlin and Parker 1996,
Khandelwal et al. 1998, Rabideau and Khandelwahl 1998,
Krol and Rowe 2004, Britton et al. 2005, Neville and
Andrews 2006, Malusis et al. 2010), only a few of these
studies (e.g., Mott and Weber 1991a,b, Khandelwal et al.
1998, Krol and Rowe 2004) were extensively experimental
studies focusing specifically on evaluating the diffusive
properties of contaminants in traditional (unamended) SB
backfills. In all of these studies, which were focused on
diffusion and sorption of organic chemicals (e.g., 1,4dichlorobenzne, 4-chlorophenol lindane, trichloroethylene,
and aniline), the results indicated that the values of D*
typically were reduced by a factor of only about two to
four relative to the corresponding values of Do, and at most
were no more than an order of magnitude lower than Do,
due, in part, to the relative high porosity values associated
with most SB backfills. Also, sorption of the organic
chemicals to the traditional (unamended) soil-bentonite
backfills typically was negligible (i.e., Kd 0) due to the
typically low organic carbon contents of the unamended
backfill materials (e.g., Malusis et al. 2010). These two
factors (i.e., relatively high D* and negligible Kd)
combined with the typical inability to achieve backfill
hydraulic conductivity values lower than about 10-10 m/s
(e.g., D'Appolonia 1980, Evans 1991, 1993, 1994, Filz and
Mitchell 1996, Shackelford and Jefferis 2000, Filz et al.
2003), suggest that the significance of diffusive transport
across vertical cutoff walls is likely governed largely by
the magnitude of the applied hydraulic gradient, ih, across
the barrier, with diffusive transport becoming more
significant with decreasing magnitude in ih (i.e., Fig. 15a).
12
138
Nonetheless, prudence dictates consideration of diffusive

transport in terms of long-term performance assessments,
as the results of several simplified transport analyses
suggest that diffusion may be significant under some
scenarios (e.g., Gray and Weber 1984, Shackelford 1989,
Manassero and Shackelford 1994).
associated text). As a result of these advancements, and the

continuing need to assess the performance of the
containment structures used to isolate HLRW from the
environment for extensive time frames, diffusion of
radionuclides through bentonite buffer barriers is likely to
remain an important research area for the foreseeable
future.
4.2.7
Diffusion through Bentonite Buffers for HighLevel Radioactive Waste (HLRW) Disposal
Diffusion of radionuclides through highly compacted
bentonites being considered as buffer barriers in HLRW
disposal scenarios has been an area of substantial research
over the past several decades, and in particular the past
approximate decade. In fact, the number of referenced
publications focused on evaluating diffusion of
radionuclides through bentonite buffer barriers for HLRW
disposal is too voluminous to cite here, but a representative
listing can be found in Shackelford and Moore (2013). The
high number of publications in this area results from the
need for safe and secure, long-term disposal of HLRW
(e.g., 10,000 yr) resulting from the significant past and
present roles of nuclear energy in several countries (e.g.,
Belgium, Canada, France, Japan, Spain, Switzerland,
United Kingdom, and the USA).
In particular, two issues related to radionuclide
diffusion through highly compacted bentonite buffers have
been identified, viz., the influence of surface and/or
interlayer diffusion, and the existence of semipermeable
membrane behavior as a result of ion exclusion
(Shackelford and Moore 2013). Surface or interlayer
diffusion refers to the diffusion of cations, typically metals,
sorbed to clay particles in addition to diffusion of cations
within the mobile pore water between particles, i.e.,
outside the extent of influence of the negative electrical
potentials associated with the individual clay particle
surfaces. This phenomenon is attributed to the excess of
sorbed cations in the diffuse double layers surrounding
negatively charged clay surfaces relative to the
concentration of cations that exists in the mobile pore
water, and is known as interlayer diffusion when referring
to the excess of sorbed cations within the interlayer regions
of smectitic based clays, such as bentonites (Glaus et al.
2007, Appelo et al. 2010). When prevalent, surface and/or
interlayer diffusion can result in enhanced diffusion of
cations, and diminished diffusion of anions, relative to the
diffusion of neutral tracers such as tritium and deuterium
(Appelo et al. 2010). However, Shackelford and Moore
(2013) noted that conflicting results have been reported as
to the significance of surface and/or interlayer diffusion,
and that the phenomenon is likely to be significant only in
high activity clays, such as bentonites, compacted at
relatively high dry densities. Also, the significance of
surface and/or interlayer diffusion will be a function of the
chemical speciation of the diffusing radionuclide.
In terms of semipermeable membrane behavior,
numerous studies have reported significant ion
exclusionary properties of bentonite buffer barriers, but
these properties historically have been taken into account
qualitatively or indirectly by incorporating a correction
(anion exclusion) factor within the form of Fick's first law
(Shackelford and Moore 2013). However, recent advances
in simultaneously testing for both solute diffusion and
semipermeable membrane behavior as previously
documented for GCLs have largely eliminated this
restriction, such that quantification of the effect of
semipermeable membrane behavior of radionuclide
diffusion can now be assessed (e.g., see Fig. 9 and
4.3
Diffusion as an Attenuation Mechanism (Matrix

Diffusion)
The process of matrix diffusion, whereby contaminants

diffuse from interconnected pores or fractures into the
surrounding intact clay or rock matrix, may be an
important attenuation mechanism when the contaminant
transport occurs through structured clay and/or rock
formations (e.g., Foster 1975, Grisak and Pickens 1980,
Neretnieks 1980, Feenstra et al. 1984, Lever et al. 1985,
Rowe and Booker 1990, 1991, Boving and Grathwohl
2001, Polak et al. 2002, Lipson et al. 2005). In this regard,
matrix diffusion has been considered in terms of the
migration of radionuclides resulting from high-level
radioactive waste disposal through fractured crystalline
rocks (Neretnieks 1980, Sato 1999), the migration of
pesticides resulting from agricultural practice through
fractured clayey till (Jorgensen and Fredericia 1992,
Jorgensen and Foged 1994), the migration of leachate
resulting from solid waste landfills through underlying
fractured clayey till (Rowe and Booker 1990, 1991), and
the migration of dense-chlorinated solvents resulting from
industrial spills and disposal practice through fractured
geologic media (Parker and McWhorter 1994, Parker et al.
1994, 1996).
For example, consider the scenario depicted in Fig. 16
after Rowe and Booker (1990, 1991), whereby a clay-lined
(CCL) waste containment facility is underlain by fractured
till that serves as an "attenuation layer" (AL) that could
attenuate the migration of any contaminants emanating
from the containment facility to the underlying confined
aquifer. In this scenario, the greater the ability of the
fractured till to attenuate the migration contaminants, the
more effective the overall or global containment system
(i.e., CCL + AL). In this regard, the fractures may serve as
conduits that facilitate the rate of downward migration of
contaminants, but matrix diffusion of contaminants from
the fractures into the surrounding intact clay matrix and
any subsequent sorption of the contaminants to the
individual clay particles within the matrix pores can
provide for an effective retardation of advancing,
downward contaminant migration.
Matrix diffusion also may be important in attenuating
the migration of contaminants at the local or barrier scale.
For example, Jo et al. (2006) proposed a threecompartment model that included rate-limited cation
exchange controlled by matrix diffusion to explain the
extensive tailing of eluted cations that often is observed
during column tests conducted on aggregated soils with
inorganic chemical solutions. As illustrated schematically
in Fig. 17, the pore space in the saturated granular
bentonite was assumed to consist of intergranular,
interparticle, and interlayer (interlaminar) spaces. The
pores between the granules constituted the intergranular
pore space, whereas the interparticle pore spaces existed
between the particles comprising the granules, but outside
the interlayer space between the montmorillonite lamella.
Water in the intergranular pore space was assumed to be
hydraulically mobile. Water in the interparticle and
13
139
interlayer pores was assumed to be strongly bound by

electrostatic forces and immobile. Ion exchange was
assumed to occur as cations in the permeant solution
passed through the intergranular pores (Fig. 17a) and
gradually diffuse first into the interparticle pores (Fig. 17b)
and subsequently into interlayer spaces (Fig. 17c). Cation
exchange progressed until equilibrium was established
between cations in the permeant solution and the
montmorillonite surface.
Figure 17. Effect of diffusion on solute migration through a GCL

containing granular bentonite (modified after Jo et al. 2006 and
Shackelford and Moore 2013).
Ca Effluent Concentration (mmol/L)
Figure 16. Idealized schematic cross section of lined waste

containment system underline by fractured till and the concept of
attenuation via lateral diffusion from fracture into the intact
surrounding till matrix (modified after Rowe and Booker 1991).
Jo et al. (2006) compared measured breakthrough

curves (BTCs) for calcium (Ca) transport through
specimens of a GCL based on the results of six column
tests versus predicted BTCs based on their theoretical
model. The results of this comparison are shown in Fig. 18,
wheregp (s1) is the mass transfer coefficient for diffusion
between the mobile intergranular and the immobile
interparticle liquids, and pl (s1) is the mass transfer
coefficient for diffusion between the immobile interparticle
and interlayer liquids. The predictions obtained with the
model for the base case generally were comparable to the
data, even though the model input parameters were
estimated independently (i.e., the parameters were not
determined from calibration).
The model also predicted reasonably well the changes
in the exchange complex, but the comparison between the
predicted and measured eluted sodium (Na) concentrations
was not quite as favorable (see Jo et al. 2006).
Nonetheless, the results of the study by Jo et al. (2006)
serve as an example of the role that diffusion can play as
an attenuation mechanism during solute transport through
barriers comprised of structured soils.
25
gp
= = 6.0x10 s
-8
-1
pl
20
15
gp
10
-5
-1
-7
-1
= 4.0x10 s
= 4.0x10 s
pl
= = 4.0x10 s
-5
gp
-1
pl
Test 1
Test 2
Test 3
Test 4
Test 5
Test 6
Predicted
High
Low
0
0
20
40
60
80
Pore Volumes of Flow
100
120
Figure 18. Measured and predicted breakthrough curves for

calcium (Ca) transport through a GCL containing granular
bentonite where matrix diffusion plays a significant role as an
attenuation mechanism (modified after Jo et al. 2006).
4.4 Liquid-Phase Diffusion in Unsaturated Media

Although the vast majority of studies have focused on
liquid-phase diffusion of chemicals through saturated
porous media, there are a wide variety of applications in
environmental geotechnics where liquid-phase diffusion
through unsaturated porous media can be an important
consideration. Some of the possible applications include
diffusion of salts through unsaturated layers within an
engineered cover system and the potential impact of such
salts on the integrity of GCLs used as a component of the
cover system (e.g., Benson and Meer 2009, Scalia and
Benson 2011, Bradshaw et al. 2013), diffusion of
radionuclides through unsaturated coarse-grained layers
surrounding subsurface radioactive and hazardous waste
14
140
Cover
repositories (Conca and Wright 1990), and unsaturated

diffusion of chemicals in the vadose zone (Charbeneau and
Daniel 1993).
As an example of this last scenario, Rowe and Badv
(1996b) evaluated the diffusion of chloride and sodium
through a layered soil system consisting of an essentially
saturated clayey silt overlying an unsaturated layer of
either coarse sand or fine gravel. This two-layered soil
system mimics the practical situation where a landfill may
be sited in a hydrogeological setting where the
predominant soil type below the proposed landfill base is
granular (e.g., silt, sand, or gravel) and the water table is
also at some depth. In this case, Sw of the soil below a liner
may be expected to increase from about residual w below
the liner to almost full saturation (Sw = 1) at or near the
water table. Based on the results of their study, Rowe and
Badv (1996b) found that the value of D* for chloride and
sodium in the unsaturated soil, or D*unsat, relative to that in
the saturated soil, D*sat, could be approximated reasonably
well by a simple linear function of w, or D*unsat/D*sat =
w/n. Also, Rowe and Badv (1996b) concluded that,
provided that the Darcy velocity can be kept low (e.g., by
the construction of a good compacted clay or composite
liner), the unsaturated fine gravel evaluated in their study
may act as a diffusion barrier to the migration of the
dissolved sodium and chloride ions.
H2O
Tailings
Dam
O2
Sulphidic
Tailings
Tailings
Dam
Acid Drainage (pH < 2)
(a)
Cover
Tailings
Dam
Radon
H 2O
Uranium
Tailings
Tailings
Dam
Radionulcides
(b)
Figure 19. Tailings disposal scenarios where gas-phase diffusion

plays an important role: (a) oxidation of sulphidic tailings and
generation of acid drainage; (b) radon gas emission (modified
after Shackelford and Nelson 1996, Shackelford 1997).
For example, Stormont et al. (1996) evaluated the effect

of unsaturated flow through the three cover sections shown
in Fig. 20a in terms of the effective air-phase diffusion
coefficient for oxygen gas (O2(g)), De, at a depth of 0.6 m
(i.e., the interface between the cover and the underlying
material). Their results are shown in Fig. 20b in the form
of a normalized oxygen diffusion coefficient, DN, defined
as follows (e.g., see Charbeneau and Daniel 1993,
Stormont et al. 1996):
4.5 Gas-Phase Diffusion

Gas-phase diffusion can be an important consideration in
environmental geotechnics, including both waste
containment applications (e.g., Yanful 1993, Aubertin et
al. 2000, Mbonimpa et al. 2003, Aachib et al. 2004,
Bouzza and Rahman 2004, 2007, Alonso et al. 2006,
Demers et al. 2009) and remediation applications, such as
in the use of the soil vapor extraction technology for
removal of VOCs from the subsurface vadose zone (e.g.,
Johnson et al. 1990). The importance of gas-phase
diffusion is accentuated because diffusion coefficients for
chemicals in the gas-phase typically are four-to-five orders
of magnitude greater than those for the same chemicals in
the liquid phase (Cussler 1997). For this reason, the gasphase diffusive mass flux of a chemical through soil can be
reduced significantly by minimizing the continuity in the
gas (air) phase of the medium, for example, by filling the
voids with a sufficient amount of water such that the gas
phase becomes discontinuous (e.g., Nicholson et al. 1989,
Yanful 1993, Bouzza and Rahman 2004, 2007).
Two waste containment problems of interest involving
gas-phase diffusion and the environmentally safe disposal
of mine tailings are illustrated schematically in Fig. 19.
The problem of acid drainage (Fig. 19a) occurs when
sulphidic tailings (e.g., pyrite or FeS2) are oxidized
resulting in the production of a low pH solution (e.g., pH
2) that leaches potentially toxic heavy metals associated
with the tailings during percolation through the tailings,
resulting in the emanation of acid drainage form the
tailings (e.g., Nicholson et al. 1989, Evangelou and Zhang
1995, Ribet et al. 1995). In the case of the disposal of
uranium tailings (Fig. 19b), the tailings can serve as a
localized source of radon gas that can be environmentally
harmful if not controlled properly. In both of these cases,
the objective in the cover design must include steps taken
to minimize diffusive influx (O2) or diffusive efflux
(radon) of gas through the cover.
DN
10/3
De
a
De,max n
(7)
where De is the effective air-phase diffusion coefficient (=

aaDa), a is the volumetric air content, n is total soil
porosity, a is the apparent tortuosity factor for the air
phase (= a7/3/n2), Da is the pure air-phase diffusion
coefficient ( 2.26 x 10-5 m2/s), and De,max = De at a = n.
Thus, 0 DN 1, such that diffusion of O2(g) via the air
phase will be minimized as a approaches zero (a 0).
However, as shown by Aachib et al. (2004), minimizing
the diffusion of O2(g) via the air-phase does not necessarily
mean that the liquid-phase diffusion of O2(g) also will be
unimportant.
As shown in Fig. 20b, DN for the monolithic and
resistive covers remained relatively high because the water
content at the 0.6-m depth tended to remain relatively
constant at the field capacity of the soils. However, in the
case of the capillary barrier, DN was significantly lower
and more variable than the other cover sections, because
the water content immediately above the interface between
the finer and coarser layers remained high due to the
capillary barrier effect. Stormont et al. (1996) attributed
the variability in DN to the variability in water contents
associated with wet and dry seasons.
15
141
Capillary
Barrier
60
mm
relatively quickly, resulting in a reversal of the

concentration gradient and an outward diffusive flux of the
contaminant (Fig. 21b). This outward or reverse matrix
(back) diffusion process results in a slow release of
residual contamination back into the aquifer that can lead
to failure of the pump-and-treat remediation technology to
achieve regulatory levels within a short time frame, leading
to extensive pumping and excessive costs (e.g., Feenstra et
al. 1996).
Resistive
Cover
Monolithic
Cover
15 mm
60
mm
45
mm
30
mm
Gravel
(k = 0.1 m/s)
Uncompacted Soil
(k = 1.4 x 10-6 m/s)
Compacted Soil
(k = 6.9 x 10-8 m/s)
(a)
-1
-2
10
-3
10
Normalized Oxygen Diffusion

Coefficient, D
10
-4
10
-5
10
-6
10
Capillary Barrier
Monolithic Cover
Resistive Cover
-7
10
(b)
-8
10
100
200
300
Time (d)
400
Figure 20. Gas-phase oxygen diffusion through three types of soil

covers: (a) cross sections of cover types; (b) normalized oxygen
diffusion coefficients at 0.6-m depths within the soil covers (data
from Stormont et al. 1996; modified after Shackelford 1997).
Figure 21. Matrix diffusion and reverse matrix diffusion: (a)

diffusion into clay lens before pump-and-treat remediation; (b)
reverse matrix or back diffusion out of contaminated clay lens
during pump-and-treat. (modified after Shackelford and Lee
2005).
5 DIFFUSION IN REMEDIATION APPLICATIONS

In terms of remediation, failure of the pump-and-treat
technology to achieve clean-up goals has been attributed,
in part, to the process of "reverse matrix" or "back"
diffusion resulting in the slow and continuous release of
contaminants from the intact clay and rock matrix into the
surrounding, more permeable media, such as fractures or
aquifer materials (e.g., Mackay and Cherry 1989, Mott
1992, Feenstra et al. 1996, Shackelford and Jefferis 2000,
Chapman and Parker 2005, Seyedabbasi et al. 2012).
Diffusion also has long been recognized as the transport
process that controls the potential leaching of contaminants
from stabilized or solidified hazardous waste, typically by
the addition of pozzolanic materials such as cement, lime,
and fly ash (e.g., Nathwani and Phillips 1980). Finally,
diffusion may be a significant transport process with
respect to controlling the rate of delivery of chemical
oxidants (e.g., potassium permanganate, KMnO4) injected
into contaminated low-permeability media through
hydraulic fractures for in situ treatment of chlorinated
solvents (Siegrist et al. 1999, Struse et al. 2002).
The effect of matrix diffusion on pump-and-treat

remediation can be analyzed via superposition of an
analytical solution based on the analogy between
consolidation and diffusion and the principle of
superposition (Shackelford and Lee 2005). For example,
consider the case where the aquifer is initially
contaminated with trichloroethylene (TCE) at a
concentration, Co, of 1000 ppm, such that TCE diffuses
into a 1-m-thick (= H) clay lens for a period of time.
However, before the clay lens becomes completely
contaminated, pump-and-treat remediation is undertaken to
clean up the aquifer. As a result, the initial TCE
concentration profile within the 1-m-thick (= H) clay lens
is sinusoidal as a result of incomplete matrix diffusion of
TCE into the clay lens prior to pumping, with a maximum
TCE concentration of 1000 ppm at the aquifer-clay
interface and a minimum contaminant concentration of 300
ppm at the center of the clay lens. This initial distribution
of contaminant within the clay lens is represented in Fig.
22a in terms of the relative concentration, C(Z,T*)/Co, of
TCE as a function of the dimensionless depth, Z,
corresponding to a value of the dimensionless diffusive
time factor, T*, of zero (T* = 0), where (Shackelford and
Lee 2005):
5.1 Reverse Matrix or Back Diffusion

As an example of reverse matrix or back diffusion,
consider the scenario illustrated conceptually in Fig. 21a,
where initial contamination of the aquifer results in a
difference in concentration between the contaminated
aquifer and the clay lens resulting in diffusion of
contaminants into the porous matrix of the clay lens. After
pumping commences, the higher permeability portion of
the heterogeneous aquifer is flushed of contamination
Da t
z
D*t
(8)
; T*
Hd
Rd H d 2 H d 2
and Hd is the maximum diffusive distance (= H/2 or 0.5 m
in this example). The definition for the dimensionless
Z
16
142
(i.e., U* = 0.90) corresponds to T* of approximately 0.76,

which is equivalent to 95 yr. Thus, this analysis indicates
that approximately a century of pumping would be
required to remove 90 % of the initial contaminant mass
from a partially contaminated, 1-m-thick clay lens, which
is consistent with the aforementioned observations
attributing failure of some pump-and-treat systems to
reverse matrix diffusion.
A similar analysis was presented by Feenstra et al
(1996), but they assumed that the clay lens was initially
completely (i.e., uniformly) contaminated. Such complete
contamination of non-fissured clay lenses via matrix
diffusion would be likely only in the case of relatively thin
clay lenses and/or relatively long durations of aquifer
contamination. Otherwise, the clay lenses likely would
only be partially contaminated resulting in an initial
concentration distribution within the clay lenses that is
sinusoidal, thereby requiring the need for superposition in
the resulting analysis (Shackelford and Lee 2005).
Regardless of the level of contamination or the type of
analysis required, this example supports the numerous
observations that reverse matrix or back diffusion can play
a significant role in affecting the remediation of
contaminated aquifers.
depth is identical to that for the case of consolidation,

where Hd is the maximum drainage distance, whereas the
definition for the diffusive time factor, T*, is identical to
that for the dimensional consolidation time factor, T, where
Da is replaced by the coefficient of consolidation, cv
(Shackelford and Lee 2005). On the basis that pumping
results in "instantaneous" removal of contaminant from the
surrounding aquifer at time t = T*= 0, the resulting
contaminant concentration profiles for T* > 0 can be
determined by means of superposition as shown in Fig.
22a. At times, T*, less than about 0.1, both outward
diffusion at the boundaries and inward diffusion near the
center of the clay lens are occurring simultaneously,
whereas after T* 0.1, the concentration profiles have
dissipated to the extent that only outward diffusion of TCE
occurs. The dissipation of residual contamination will
proceed over time until all of the contaminant initially
within the clay lens has diffused into the surrounding
aquifer and been removed. However, this mass removal
can take considerable time.
0
0.001
(a)
Dimensionless Depth, Z = z/H
0.01
0.03
0.1
0.5
T*=
0.3 0.2
1.0
1
5.2
0.4
0.7
0.5
1.5
Contaminated, subaqueous sediments represent a major

environmental issue worldwide. One approach for dealing
with this issue is to cap the sediments in situ. The caps
should perform one or more of the following functions
(Alshawabkeh et al. 2005): (a) physical isolation of the
sediment; (b) sediment stabilization, in terms of preventing
erosion and resuspension; and (c) reduction of dissolved
contaminant flux. A conceptual schematic of the role of
capping in situ sediments is illustrated in Fig. 23.
Placement of the capping layer will reduce contaminant
flux by (1) eliminating the bioturbation zone (i.e., mixing
or dispersion caused by benthic organisms at the top
several centimeters of the contaminated sediments), (2)
increasing the length through which contaminants must
migrate via advection and diffusion, (3) retarding
contaminant migration via sorption to the capping
materials, and (4) eliminating resuspension and direct
desorption of contaminants to the overlying water column
(Wang et al. 1991, Thoma et al. 1993). Capping materials
do not necessarily have to be low permeability soils, as
typically is the case with covers for above ground waste
disposal, but the materials should possess some sorption
capacity to minimize the rate of contaminant migration
through the cap.
Initially, contaminant migration through the cap will
occur both via advection and diffusion. The advective
component of contaminant transport results from
generation of excess pore-water pressures within the
contaminated sediments due to placement of the capping
material and the associated sediment consolidation. Some
studies have indicated that consolidation induced
contaminant mass flux can be several times greater than
that due to diffusion during the initial, transient period
when consolidation of the sediments is pronounced (e.g.,
Alshawabkeh et al. 2005). Nonetheless, diffusion still may
play a significant role in terms of the contaminant mass
flux through the cap during the initial transient transport
stage of the process, and likely will be the dominant
transport process under long-term, steady-state conditions
0.05
0.02
0.005
2
0
0.2
0.4
0.6
0.8
Relative Solute Concentration,C(Z,T*)/Co
Average Degree of Diffusion, U* (%)
0
(b)
20
40
60
80
100
0
0.5
1
T* ~ 0.76
1.5
Diffusion through Subaqueous Caps for

Contaminated Sediments
Dimensionless Diffusive Time Factor,T*
Figure 22. Results of example analysis for the reverse matrix

diffusion from 1-m-thick clay lens contaminated with TCE
resulting in an initial sinusoidal contaminant distribution: (a) timedependency of relative TCE concentration versus dimensionless
depth; (b) time dependency of the average degree of diffusion for
contaminant removal (modified after Shackelford and Lee 2005).
For example, if we assume an Rd of 5.2 and D* of 3.33

x 10-10 m2/s for TCE and the clay based on Parker et al.
(1996), then the degree of diffusion, U*, which represents
the relative degree of mass removal (Shackelford and Lee
2005), 10 yr after the beginning of pumping (i.e., T* ~
0.081) is approximately 0.43 or 43 %. Based on a porosity,
n, of 0.60 for the clay lens and assuming complete
reversibility of the sorbed TCE, the cumulative
contaminant mass removed per unit area of the clay lens
after 10 yr of pumping is approximately 749 g/m2
(Shackelford and Lee 2005). More importantly, as
indicated in Fig. 22b, 90 % contaminant mass removal
17
143
(Thoma et al. 1993). Although several studies have been

undertaken towards the development of models that can
handle the combined advective and diffusive mass
transport of consolidating contaminated media (e.g., Smith
2000, Peters and Smith 2002, Alshawabkeh et al. 2005,
Alshawabkeh and Rahbar 2006, Fox 2007a,b, Fox and Lee
2008, Lee and Fox 2009), comparatively fewer
experimental studies for this scenario have been
undertaken (e.g., Wang et al. 1991, Tang et al. 2005, Lee et
al. 2009, Meric et al. 2010). Nonetheless, the issue of
contaminant migration including diffusion from
consolidating contaminated porous media remains an
important area of research (e.g., Fox and Shackelford
2010).
underlying CCL or GCL. In this regard, relatively recent

data from clay-lined and composite-lined landfills in
Wisconsin, USA, indicate that the GML component of
composite liners offers virtually no added resistance to
VOC diffusion relative to the CCLs. Diffusion also may be
an important consideration for contaminant transport
through slurry based vertical cutoff walls, but the
significance of diffusion in this case likely is governed by
the magnitude of the hydraulic gradient, ih, across the wall,
with the significance of diffusion increasing with
decreasing ih. Finally, diffusion through subaqueous caps
used for in situ containment of contaminated dredged
sediments has been an area of significant study,
particularly in terms of long-term environmental impacts.
Matrix diffusion, whereby contaminants diffuse from
interconnected pores or fractures into the surrounding
intact clay or rock matrix, can be an important attenuation
mechanism in assessing the potential environmental impact
of migrating contaminants, both on a global scale such as
beneath a landfill located over fissured or fractured clay or
rock, and on a local scale such as through a GCL
comprised of granular bentonite. However, the resulting
contamination of the clay or rock matrix may result in
ineffective and/or prolonged remediation of the sites due to
the process of reverse matrix or back diffusion.
Finally, gas-phase diffusion also can play a significant
role in environmental geotechnics, particularly since
diffusion via the gas phase can be significantly faster than
that via the liquid phase. Two examples where gas-phase
diffusion is important include the diffusion of oxygen
through covers resulting in oxidation of sulphidic bearing
mine tailings and the subsequent generation of acid
drainage, and the release of radon from uranium bearing
tailings to the surrounding atmosphere.
Air
Water
Advection
+
Diffusion
Capping Layer
Contaminated
Sediments
Figure 23. Schematic scenario of subaqueous cap for isolating

contaminated sediments in situ.
6 CONCLUSIONS
The role of diffusion in environmental geotechnics was
reviewed. Diffusion has been shown to be a significant
contaminant transport process through low-permeability
barrier materials, including natural and engineered clay
barriers such as compacted clay liners (CCLs) and
geosynthetic clay liners (GCLs), with values of hydraulic
conductivity, kh, lower than 10-9 m/s, and a dominant
transport process for kh values lower than about 2-5 x 10-10
m/s. The increasing significance of diffusion with
decreasing kh results in a situation whereby design of
engineered clay barriers solely based on achieving low kh
is not only incorrect but also unconservative with respect
to the duration of contaminant containment in such
situations. As a result, achieving low kh is a necessary, but
not sufficient condition for assuring effective containment
of contaminants with low- kh barriers.
The existence of semipermeable membrane behavior is
shown to affect the diffusion of simple salt solutions
through bentonite based GCLs via ion exclusion. The
greater the magnitude of the membrane behavior, the lower
the effective diffusion coefficient. However, membrane
behavior also is shown to diminish with increasing salt
concentration, such that membrane behavior likely will
play a minor, if any, role in affecting solute diffusion
through traditional sodium bentonite based GCLs in many
practical applications, such as landfills. Nonetheless,
membrane behavior is likely to play a more significant role
in terms of the diffusion of contaminants through other
types of bentonite based barriers. For example,
semipermeable membrane behavior is likely to be
important in assessing diffusion of radionuclides through
the highly compacted bentonite buffers being considered
for containment of high-level radioactive waste, especially
given the extremely long containment durations (e.g.,
10,000 yr) associated with this application.
Diffusion is known to be the dominant liquid-phase
transport process of VOCs through intact geomembrane
liners (GMLs), either alone or as a component of a
composite liner overlying and in intimate contact with an
7 ACKNOWLEDGMENTS
The author expresses his sincere gratitude to David Daniel,
R. Kerry Rowe, Robert Quigley (deceased), John Cherry,
Robert Gillham, and Donald Gray for their guidance and
assistance during his PhD graduate studies on the topic of
diffusion through clay barriers. The author also thanks
Mario Manassero, Chair of ISSMGE Technical Committee
TC215 on Environmental Geotechnics, for his support in
receipt of the first R. Kerry Rowe Honorary Lecture which
served as the basis for this paper. Finally, the author
appreciates the assistance of his Ph.D. graduate student,
Kristin Sample-Lord, in the preparation of this paper.
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24
150
th
Schofield Lecture
Centrifuge modelling: expecting the unexpected
Confrence Schofield
Modlisation physique en centrifugeuse: prvoir l'imprvisible
Bolton M. D.
Cambridge University
ABSTRACT: The unique advantage of physical modelling is that, unlike all forms of numerical simulation, it has the capacity to
surprise its users with behaviour they would not have imagined. And the particular advantage of centrifuge testing is that observations
are made on chosen soils, in a small format so that experiments can readily be repeated, and at magnitudes of stress and strain
appropriate to field scale. However, it is the reasonable desire of centrifuge testers to represent their facilities as providing
unambiguous predictions of field-scale performance through the application of accepted scaling laws, so as to recruit clients who will
pay for such services. These diverse propositions create grounds for misunderstanding. Is centrifuge testing a cutting-edge research
methodology capable of overthrowing conventional wisdom, or is it a well-understood tool capable of unambiguously recreating
field-scale behaviour? This question sets the theme for the paper. In attempting to answer it, a variety of geotechnical modelling
issues will be explored, including cyclic shearing and excess pore pressures, localisation and cracking, creep and strain-rate effects,
and the possible influence of grain size and soil structure. In doing so, the key concept will be that of a behavioural mechanism.
Weaker associations that may be made between a model, its prototype and a real field-scale structure will then be scrutinised.
RSUM : Le principal avantage de la modlisation physique est que, contrairement la modlisation numrique, elle peut
surprendre lutilisateur avec des rsultats quil naurait pu imaginer. Pour la modlisation physique en centrifugeuse, cet avantage est
augment par le fait que les sols utiliss ont t choisis par lutilisateur, que les expriences sont ralises petite chelle et peuvent
tre facilement rptes et que les niveaux de contraintes sont identiques ceux rencontrs chelle relle. Cependant, il est lgitime
pour chaque utilisateur desprer que les rsultats de ses observations exprimentales puissent tre extrapols sans ambigut aux
structures relles quil cherche modeler, grce notamment lutilisation de lois de similitude parfaitement tablies, afin de pouvoir
attirer dventuels clients et de financer ses recherches. Ces diffrentes observations peuvent mener de profondes incomprhensions.
La modlisation physique en centrifugeuse est-elle un outil de recherche avanc capable de bouleverser notre comprhension des
phnomnes gotechniques, ou est-ce un instrument parfaitement matris, capable de modliser sans ambigut le comportement des
structures relles ? Cette question est le thme principal de cet article. En tentant dy rpondre, un vaste de champs de problmes sera
abord, incluant notamment les problmes associs au cisaillement cyclique, la gnration de pressions interstitielles, aux
dformations diffres, aux effets de vitesse de cisaillement, et la possible influence de la taille des grains sur linteraction sol
structure. Ce faisant, le concept clef de mcanisme de comportement sera nonc. Dautres lments permettant dassocier les
modles, les prototypes et les structures relles seront galement tudis.
KEYWORDS: centrifuge testing, models, scaling laws, mechanisms.
The written contribution was not received at time of editing the Proceedings.
La contribution crite na pas t fournie avant ldition des Actes.
1511
th
Enjeux gotechniques pour la construction du mtro automatique

Grand Paris Express
Geotechnical issues for Grand Paris Express automatic metro
Fluteaux V.
Socit du Grand Paris
RSUM : La Socit du Grand Paris, tablissement Public dtat, a pour mission de concevoir et de raliser le rseau de transport
public Grand Paris Express qui est au cur du projet damnagement du territoire : Nouveau Grand Paris . Ce projet comporte
4 nouvelles lignes, 2 extensions : il se dveloppe sur 200 km et comprend 72 gares, principalement en souterrain. Dans un premier
temps, il est dtaill le processus dutilisation des donnes et la mise en place de regards partags entre les diffrents acteurs (matre
douvrage, assistants matrise douvrage, matres duvre) sur ces dernires afin de matriser les risques techniques lis notamment
la gotechnique et la reconnaissance du bti. Dans un second temps, sont lists les enjeux lis la gotechnique pour le projet du
Grand Paris Express et comment ces enjeux ont t pris en compte ds les premires phases dtudes amont, et ont, de ce fait, orient,
les investigations gotechniques qui sont rsumes en quelques chiffres. Ces enjeux sont les carrires anthropiques, les nappes deau,
la dissolution du gypse et le retrait gonflement des argiles.
ABSTRACT: La Socit du Grand Paris , a Public company, was created for the conception and construction of Grand Paris
Express transport network, the major link of Nouveau Grand Paris urban development. This project is composed of 4 new lines
and 2 line extensions, with 72 stations: its total length is 200 km, mainly underground level. In a first time, the method used for
collecting geotechnical and existing building data is exposed, also the corresponding risk management approach of the owner, his
advisors and the designers. In a second time, the main geotechnical issues are identified and mitigated at the first conception phase
with pertinent geotechnical investigations: existing underground quarries, water table layers, gypsum dissolution and clay swelling.
MOTS-CLS : dveloppement urbain, souterrain, reconnaissances gotechniques, matrise des risques
KEYWORDS: Urban development, tunnelling, geotechnical investigation, risk management
1. INTRODUCTION
Il comporte :
Le Nouveau Grand Paris - Le projet du Grand Paris Express

Le projet du Nouveau Grand Paris cest dabord un projet
damnagement du territoire. Ltat a affirm par l sa volont
de valoriser les territoires de lle-de-France et damliorer la
capacit de logement. Ce projet rpond trois enjeux majeurs :
amliorer la vie quotidienne des Franciliens (enjeu de qualit de
vie), favoriser le dsenclavement des territoires (enjeu de
solidarit) et leur dveloppement conomique (enjeu
dattractivit et demploi).
Le Grand Paris Express contribue structurer ce grand projet
damnagement, de par lamlioration court terme du service
offert aux voyageurs, la modernisation et lextension du rseau
existant mais galement par la cration dun rseau de transport
public automatique qui concerne lensemble de lle-de-France.
Il vise desservir de nouveaux territoires et apporter enfin une
rponse satisfaisante aux trs nombreux voyageurs qui vont
quotidiennement de banlieue banlieue et qui sont ce jour
obligs de transiter par Paris. Il a aussi vocation pouvoir relier
les diffrents aroports lensemble des activits de la rgion
IDF.
une rocade de grande capacit, la ligne 15, dsaturant

la zone dense ;
des transports automatiques capacit adapte pour la

desserte des territoires en dveloppement : ligne 16,
ligne 17, ligne 18 ;
des prolongations de lignes de mtro existants: ligne

14 au nord et au sud; ligne 11 vers lest, de Mairie des
Lilas Noisy-Champs via Rosny-Bois-Perrier.
Ces trois lignes reprsentent 166 km de mtro et 57 gares ; avec

la ligne orange (rseau complmentaire), cela reprsente 200
km et 72 gares. Lensemble, le Grand Paris Express, constitue
un rseau trs maill avec les infrastructures de transport
existantes (mtro, RER, Transilien) afin de fluidifier les
changes lchelle de lle-de-France.
Le schma densemble de ce projet a fait lobjet dun dcret
en Conseil dtat en aot 2011.
Le projet du Grand Paris Express a fait lobjet en janvier

2011 dun protocole daccord entre ltat et la rgion le-deFrance, il reprsente une synthse des projets ports
antrieurement par les deux autorits.
1551
th
156
Special Lecture / Confrences spciales

th
Une procdure denqute publique sur un premier tronon de

la ligne rouge (future ligne 15, entre Noisy-Champs et Pont de
Svres) a t lance. Les premires mises en service sont
attendues lhorizon 2020 sur ce tronon.
La Socit du Grand Paris
La Socit du Grand Paris (SGP), tablissement Public de

ltat, a t cre par une loi de 2010. Elle est Matre dOuvrage
du rseau de transport public du Grand Paris Express. Sa
mission est de concevoir et de raliser ce nouveau rseau. La
SGP a galement une capacit damnager ou de construire
autour des gares.
La Socit du Grand Paris est constitue dquipes
pluridisciplinaires, avec notamment une direction du
programme qui regroupe des quipes de projet et des units
mtiers qui assurent une approche transversale. Avec plusieurs
dizaines de gares concernes par le projet, il est en effet
ncessaire de dfinir des rgles communes et transversales de
conception. De la mme manire, le projet tant essentiellement
souterrain et parfois assez profond, une quipe de spcialistes de
travaux souterrains intervient en conseil auprs des quipes
projet, elle dfinit et gre notamment les compagnes de
reconnaissance du sous-sol et du bti lchelle du nouveau
rseau.
Le prsent article vise dtailler la mission du Matre
dOuvrage durant les phases amont dacquisition des donnes,
et comment ces donnes vont tre utilises et par quel acteur par
la suite.
La gologie du Bassin Parisien est plutt bien connue et ds
les premires tudes du projet, le MOA disposait dune base
documentaire srieuse et assez toffe sur les couches
gologiques intresses par le projet (INFOTERRE). Il est bien
vident que cela nest pas suffisant et que des campagnes de
reconnaissances ont d tre planifies et dont certaines sont en
cours de ralisation.
Sils servent dabord dfinir les paramtres servant aux
calculs de dimensionnement des ouvrages, ces rsultats doivent
permettre aussi dapprcier le comportement des terrains lors de
lexcution des travaux et les consquences sur
lenvironnement, et en tout en premier lieu sur le bti. La
typologie et ltat de ce bti sont donc videmment
dterminants pour juger des consquences des travaux. Des
enqutes dtailles du bti seront donc entreprises. En attendant,
des investigations de terrain et documentaires ponctuelles, a
minima qualitatives, ont t effectues toutes les fois que la
faisabilit de la ralisation des ouvrages du projet tait en jeu.
Une bonne part des reconnaissances ralises ce jour a
permis dalimenter les tudes de conception amont , plus
particulirement les tudes prliminaires qui se sont droules
tout au long de lanne 2012.
Les effets ngatifs sur les ouvrages existants lis la

ralisation de nouveaux ouvrages enterrs sont bien sr trs
variables selon louvrage concern et son tat. Ces effets vont
de latteinte au fonctionnement normal de celui-ci jusqu sa
dgradation voire sa ruine.
Cette plus ou moins grande sensibilit du bti, des
infrastructures et des rseaux existants aux travaux de
ralisation du projet est galement fonction de la nature et de la
qualit des terrains rencontrs et des ventuelles contraintes que
sont la nature du sous-sol, la prsence de vides dans le sol ou de
dcompressions prexistantes etc ainsi que de la profondeur
du tunnel. Il est donc essentiel ds les premires phases de faire
un recensement de qualit, mission qui incombe la Matrise
dOuvrage.
2.1.2
Ds les premires phases de conception du projet, la Socit

du Grand Paris sest donc attache recenser lensemble des
contraintes susceptibles dinterfrer avec le projet : recherche
des rseaux enterrs ou infrastructures, tablissement dun
diagnostic des zones traverses tant du point de vue du sous-sol
que du point de vue de ltat du bti (y compris rseaux enterrs
et infrastructures).
2.1.1
Organisation des tudes sur le bti, les rseaux

enterrs et les infrastructures
Ds les phases amont (tudes de faisabilit et tudes

prliminaires) conduites par le Matre dOuvrage, les rseaux
structurants (non dviables) ont fait lobjet dun recensement
bibliographique
en
partenariat
avec les
diffrents
concessionnaires concerns : RATP, SNCF, gouts, transports
dnergie, etc. De mme, concernant le bti, ont t recenss
les btiments susceptibles dinterfrer avec le projet (immeubles
de grande hauteur, fondations profondes).
Ainsi, les premiers tracs raliss ont tenu compte, tant en
plan quen profil, de ces contraintes et ninterfrent pas avec ces
grands rseaux ou obstacles.
Les tudes de matrise duvre venir vont permettre
daffiner les connaissances sur ce bti, les objectifs sont
multiples :
confirmer et/ou complter le recensement des tudes
prliminaires des grands rseaux non dviables, afin
dtablir un trac prenant en compte lensemble de ces
contraintes ;
tablir la mthodologie des travaux de confortement
entreprendre en cas de proximit de ces grands rseaux ;
identifier, concevoir et initialiser les dviations de rseaux
en amont des travaux de gnie civil pour les rseaux
dviables ;
caractriser le bti dans la zone dinterfrence du projet,
dans le but de dterminer sa sensibilit.
Pour atteindre ces objectifs, deux dmarches doivent tre
menes :
Le recensement systmatique des rseaux prsents sur le trac :
Ce recensement porte sur lexhaustivit des rseaux
(dviables et non dviables). Il permettra notamment de
caractriser les rseaux tant gomtriquement (localisation en
plan et en profondeur) que qualitativement (nature, tat de
conservation et fonctionnement des rseaux).
Une enqute sur le bti et les infrastructures couple une tude
de sensibilit :
La Socit du Grand Paris va sadjoindre les conseils dun
Assistant Matrise dOuvrage en expertise du btiment. Cette
2. LES GRANDS AXES DE CONCEPTION
2.1
Bti - tous les types de btiments sont prsents. Leur

tolrance aux dformations du sol qui pourraient tre
provoques par lexcution dun projet de mtro souterrain
dpend du type de construction et du type de fondations du
btiment.
Rseaux enterrs - seuls les rseaux de taille importante, ne
pouvant tre dvis, reprsentent un vritable enjeu pour le
projet, savoir notamment : les canalisations
dassainissement, transports nergie (gaz, ptrole) et les
canalisations de chauffage urbain.
Infrastructures - sont notamment concerns les ouvrages
dart et les infrastructures ferroviaires, routires.
Le bti, les rseaux enterrs et les infrastructures

Types douvrages rencontrs proximit du projet et
enjeux lis leur prsence
Le projet a potentiellement une influence sur diffrents types

douvrages :
157
3
th
enqute et cette tude de sensibilit seront ralises dans la zone

dinfluence gotechnique du projet.
Elle aura un double objectif : reconnatre le bti au sens large
tant dun point de vue gomtrique que structurel (niveau des
fondations, systme de poutraison, etc.) ; mais galement
dterminer sa vulnrabilit (tolrance aux dformations du sol)
aux travaux envisags.
Ces donnes dentre seront ensuite fournies au Matre
duvre pour prise en compte dans la conception du rseau. Sur
la base de lanalyse de ces donnes, il conviendra dadapter le
dimensionnement des ouvrages du mtro et/ou les mthodes
constructives de manire respecter les tolrances des ouvrages
existants afin de rduire voire supprimer le risque.
Le but de cette organisation est davoir un regard partag sur
linterprtation des donnes entre lassistant Matrise
dOuvrage bti et le matre duvre afin de concevoir un projet
adapt au contexte de sensibilit du bti prsent dans la zone
dinfluence gotechnique. Dans cette organisation lassistant
Matrise dOuvrage Gotechnique a bien sr un rle essentiel
jouer (cf.2.2.2).
De plus, la Socit du Grand Paris ds les phases dtudes de
Matrise duvre va mettre en place un Comit de matrise des
risques qui sera constitu dexperts indpendants. Ce comit
sera consult sur les grandes orientations techniques du projet,
mais galement sur les points sensibles.
A travers cette organisation tourne vers lexpertise des
sujets sensibles, dont fait notamment partie la caractrisation du
bti pour la dtermination des mthodes constructives, la
Socit du Grand Paris entend matriser la qualit technique, les
risques, les cots et les dlais.
2.1.3
Dispositions mises en place en phase travaux
En complment, afin de vrifier que les mesures retenues

lors des diffrentes tudes ralises permettent bien de
supprimer les risques dimpact sur le bti, une auscultation de
celui-ci sera mise en place le long du trac dans les zones
sensibles :
cette auscultation sera mise en place en amont des
travaux, afin de mesurer la respiration naturelle des ouvrages
lie notamment aux variations thermiques ;
en phase chantier, une surveillance de lexistant en
temps rel sera mise en uvre, le but tant de comparer les
dformations estimes aux dformations observes afin de
pouvoir adapter les mthodes constructives immdiatement en
cas de dplacement jug anormal.
Comme dans la phase de conception, cette auscultation fera
lobjet dun double regard entre lassistant Matrise dOuvrage
en bti et le matre duvre, ainsi que dune expertise
ventuelle du Comit de Matrise des Risques.
2.2
2.2.1
La gologie, lhydrogologie et la gotechnique

Le but des investigations gotechniques entreprises
Un projet de transport en souterrain est, par essence, en forte

interaction avec le sous-sol. De ce fait, afin de raliser des
tudes de qualit, la connaissance parfaite du sous-sol au sens
large est ncessaire, les investigations gotechniques entreprises
ds la phase dtudes prliminaires ont classiquement pour
objectifs :
Dtablir le modle gologique du projet : coupe
linaire par corrlation entre les points de sondages.
Dtablir
un
modle
hydrogologique.
Les
investigations doivent permettre de caractriser le ou les
aquifres en prsence, tant dun point de vue pizomtrique que
dun point de vue permabilit.
158
De caractriser les couches rencontres tant dun point

de vue mcanique (dimensionnement les ouvrages de gnie
civil) quenvironnemental (dtermination de la destination
dvacuation des dblais).
Le but final est de localiser et caractriser des zones dites
homognes afin dadapter les mthodes constructives
chacune dentre elles. Des zones singulires peuvent galement
tre identifies (exemple zone de dissolution de gypse), qui
feront lobjet de reconnaissances spcifiques au regard de la
singularit rencontre, permettant ainsi de mettre en place les
mthodes constructives et les confortements adapts.
2.2.2
Organisation des tudes gotechniques
Les tudes gotechniques sont rgies par la norme NF P 94500 relative aux missions gotechniques. Ces missions sont
mettre en regard des phases dtudes de conception dfinies par
la loi relative la Matrise dOuvrage Publique loi MOP , cf.
le tableau ci-aprs qui rcapitule les caractristiques de chacune
des phases :
Phases
dtudes Loi
MOP
Phases
dtudes
gotechniques
(NF P 94500)
Etudes de
Faisabilit
Etudes
Prliminaires
Nature de la
donne
Dossier remettre
Mission G11
Phase 1
Bibliographique
Mission G11
Phase 2
Reconnaissances
sur site
Premier modle
gologique,
hydrogologique
Premire
identification des
risques.
Production du dossier denqute publique

Phase dAvantMission G12
Reconnaissances
Projet
sur site
Phase Projet
Mission G2
Reconnaissances
sur site
Identification des
alas majeurs et
principes gnraux
pour en limiter les
consquences
Identifications des
alas importants et
dispositions pour en
rduire les
consquences
Cest toujours au travers dune organisation rigoureuse,

permettant divers niveaux dexpertises, que la Socit du Grand
Paris compte maitriser les risques techniques (dans un projet de
travaux en souterrain, ils sont essentiellement lis au sol), les
cots et les dlais.
Pour se faire, la Socit du Grand Paris sest adjoint les
conseils dun assistant matrise douvrage en gotechnique,
qui a plusieurs missions :
Dfinir et superviser les investigations gotechniques,
Interprter et tablir pour le compte de la Socit du
Grand Paris les missions G11, G12 et G2,
Accompagner la Matrise dOuvrage dans ses
discussions avec le matre duvre.
Les rsultats factuels de ces investigations gotechniques
sont transmis au matre duvre pour une analyse et une
interprtation qui lui sont propres, ce qui double la ralisation
des missions G12 et G2.
Le but de cette organisation est davoir un regard partag sur
linterprtation des donnes de sols entre les spcialistes du
matre duvre et lassistant matrise douvrage
Gotechnique, afin de concevoir un projet adapt au contexte
gologique, hydrogologique et gotechnique par une
adquation des mthodes constructives retenues.
De plus, le Comit de matrise des risques, sera consult
dans tous les grands choix techniques qui sont lis la
gotechnique et aux mthodes constructives.

th
2.2.3
o piliers bras (poteaux monts pour soutenir le ciel

de carrire),
o par hagues et bourrages : ralisation de murs de
pierres sches (hagues) retenant les dchets non
utiliss de lexploitation de la carrire
(bourrages).
Ces confortements quels quils soient, et quelle quen soit la
qualit de ralisation, laissent subsister des vides.
Dispositions mises en place en phase travaux
La norme NF P 94-500 rgit galement la phase de

ralisation, et impose la ralisation de deux missions G3 et G4 :
La mission G3 : mission dtudes et de suivi
gotechnique des travaux porte par lentreprise qui ralise les
travaux,
La mission G4 : mission de supervision gotechnique
dexcution porte par le Matre douvrage, et dlgue son
Matre duvre.
La SGP a prvu dtre accompagne de spcialistes dans le
domaine de la gotechnique via des missions de conseil, pour
maintenir la vision partage sur les donnes gotechniques et les
mthodes constructives quelle a initi ds les phases amont du
projet.
De plus, le Comit de matrise des risques, sera consult
dans tous les grands choix techniques qui sont lis la
gotechnique et les mthodes constructives.
3.1.2
Ds la fin de leur exploitation, ces carrires ont t le sige de

mouvements verticaux pouvant entraner des cloches de
dcompressions dans les terrains sus-jacents, voire dans le cas
extrme la formation de fontis.
Les carrires ciel ouvert sont souvent remblayes par des
matriaux de mauvaise qualit et prsentent donc linconvnient
de constituer des terrains mdiocres, sous-consolids pour la
ralisation dun projet de type mtro souterrain. Dune part, la
traverse de ces terrains meubles peut perturber le bon
avancement du tunnelier. Dautre part, le passage du tunnelier
dans des terrains sous-consolids peut engendrer des tassements
en surface difficilement compatibles avec le bti de surface.
Lenjeu est donc dautant plus fort en prsence de btis denses
ou douvrages particuliers.
Les anciennes carrires souterraines constituent des ouvrages
fragiles. Le passage du tunnelier ou la ralisation de travaux
proximit de ces dernires, et donc la modification du milieu en
termes de contraintes dans le sol notamment, peut engendrer la
remise en cause de lquilibre prcaire des carrires. Ainsi, la
ralisation dun projet de type mtro souterrain proximit
danciennes carrires souterraines est susceptible de crer des
dsordres sur ces dernires, engendrant des dcompressions
dans le sol et donc des tassements pouvant remonter en surface
et impacter le bti, situ laplomb des zones concernes.
3. LES PRINCIPAUX ENJEUX GOLOGIQUES,

HYDROGOLOGIQUES ET GOTECHNIQUES
Le projet de ralisation du rseau Grand Paris Express sinsre
majoritairement en souterrain ; il traverse des nappes deaux
souterraines et des couches gologiques aux caractristiques trs
diverses.
Des tudes prliminaires et des sondages entrepris dans ce
cadre, il ressort que les principaux enjeux gologiques,
hydrogologiques et gotechniques du projet sont les suivants :
- prendre en compte les cavits dorigine anthropique
(rsultant des activits humaines) que sont les anciennes
carrires. Le projet passe sous plusieurs anciennes carrires
souterraines et ciel ouvert. Cet enjeu reprsente lune des
priorits auxquelles les tudes de conception se sont attaches
rpondre (forte concentration de carrires dans le primtre du
projet sur la partie sud principalement).
- viter au maximum tout impact sur les nappes deaux
souterraines, que ce soit en termes de pollution des eaux, de
modification du niveau des nappes ou de modification de la
circulation des eaux.
- identifier et prendre en compte les zones marques par la
prsence de sols volutifs (horizons contenant du gypse),
dans lesquels des phnomnes de dissolution peuvent avoir lieu.
Cet enjeu est principalement localis au nord et nord-est du
rseau.
- prendre en compte la prsence dargiles et par consquent
un phnomne ventuel de retrait ou de gonflement des argiles.
Cet enjeu se rvle toutefois assez mineur et trs localis
lchelle du projet.
Il est important de souligner que le risque li aux carrires sur

un chantier de type mtro provient essentiellement de carrires
qui nauraient pas t identifies pralablement au chantier. Il
est donc primordial de connatre parfaitement leur localisation,
leur tendue et leur tat.
3.1.3
Prise en compte des enjeux ds la conception
Le meilleur moyen de supprimer les risques lis la

prsence de carrires est de les contourner ou de sen loigner
au maximum. De faon gnrale, le trac en plan du projet
cherche autant que possible viter la traverse de zones de
carrires en sen loignant au maximum (dmarche identique
pour les carrires souterraines et ciel ouvert), lorsque cela tait
compatible avec les objectifs de desserte du projet.
Lorsque la zone de carrire na pu tre vite :
- Pour les carrires ciel ouvert remblayes, le profil en
long du tunnel est adapt afin que lpaisseur de terrain audessus de la vote du tunnel soit suffisante pour que les
tassements soient non significatifs pour le bti sus-jacent. En
cas de remblaiement trs mdiocre de la carrire ciel ouvert,
des traitements de terrains peuvent tre mis en place. Les tudes
venir permettront didentifier et de caractriser ces remblais
afin dadapter au mieux le passage du tunnelier dans ces zones.
- Pour les carrires souterraines, le profil en long du tunnel
est ajust afin de le faire passer sur la majorit des zones
concernes en dessous de ces dernires. En effet, le passage au
travers dune carrire souterraine est dlicat, du fait de son
quilibre prcaire, du manque dhomognit des terrains
traverss et de leur mauvaise qualit, et doit donc se cantonner
des linaires trs faibles ncessitant de ce fait des confortements
pralables lourds. Dautre part, pour une grande partie du trac
3.1 Enjeux particuliers lis la prsence danciennes carrires

3.1.1
Enjeux dun projet de type mtro souterrain lis la

prsence de carrires
Types de carrires rencontrs
La prsence de carrires fait lobjet de Plan de Prvention des

Risques lchelle de lle-de-France.
Le secteur sud de Paris a t largement exploit pour la
construction de Paris jusquau XIXe sicle, essentiellement
partir de carrires souterraines. On rencontre actuellement
danciennes carrires qui ont servi lextraction de matires
premires varies (le calcaire grossier en pierre btir ; le gypse
pour le pltre ; les marnes, craies pour le ciment et la chaux, et
les sables pour lindustrie).
Les carrires proximit du projet se divisent en deux
principales familles :
les carrires ciel ouvert, remblayes aprs leur

exploitation par du tout-venant,
les carrires souterraines avec plusieurs techniques de

confortement possibles :
159
th
lpaisseur de terrain nest pas suffisante pour faire passer le

tunnel au-dessus de la zone de carrires souterraines
La distance entre la vote du tunnel et le plancher des
carrires est ajuste selon la nature du terrain, afin de conserver
une paisseur suffisante de bon terrain au-dessus du tunnel.
Les hypothses prises en compte en tudes prliminaires seront
confirmer dans les tudes venir qui permettront daffiner
lidentification et la caractrisation des terrains situs en
dessous des carrires afin de dfinir la bonne distance retenir
entre la vote et la base de carrire.
Si la carrire savrait en trop mauvais tat ou si la distance
entre la vote et la base de la carrire tait trop faible, des
traitements devront tre raliss, afin que la stabilit densemble
du massif soit prserve. Les tudes et les investigations venir
permettront didentifier ces zones.
3.1.4
Mesures mises en uvre
Les mesures mettre en uvre pour supprimer le risque de

dsordre sur les btis et les ouvrages souterrains dans la zone
dinfluence du projet et des carrires sont les suivantes:
- En phase tudes : Investigations des anciennes carrires
avant le chantier (bibliographie, visites, inspections,
sondages, essais, mesures in situ) afin de reconnatre leurs
limites, leurs paisseurs, la nature des remblais de
comblement et de dfinir ltat de la carrire. Ces
investigations ont pour objet de caractriser le massif et
ainsi dfinir les zones et les volumes traiter, ainsi que le
type de traitement mettre en place.
- En phase travaux, pour les zones o les tudes ont montr la
ncessit dun traitement de carrires : des injections ou
comblements des carrires ( ciel ouvert ou souterraines)
ncessitant un confortement pourront tre ralises.
Plusieurs techniques sont possibles ; le traitement retenu
dpendra de diffrents paramtres dont la distance entre le
plancher de la carrire et la vote du tunnel, le mode de
stabilisation prexistant de la carrire, ltat de la carrire, la
densit du bti en surface, la nature des terrains, etc...
Deux grandes techniques existent :
injection depuis la surface grce des forages afin de

combler les carrires avant la ralisation du tunnel ;
comblement pied duvre : ralisation du

comblement depuis les galeries des carrires, mise en
place de murs masques et remplissage par mortier
larrire.
3.1.5
Mthodes de suivi des effets des mesures
Afin de vrifier lefficacit du renforcement des carrires, des

sondages de contrle des traitements des carrires seront
raliss.
Par ailleurs, une mthode observationnelle sera mise en place,
comme dcrit au chapitre 2.1
3.2 Nappes et circulations souterraines
Le projet Grand Paris Express de par sa profondeur va se situer
majoritairement sous nappe. De ce fait, sa ralisation est
susceptible de gnrer diffrents phnomnes :
- modification du niveau de la (des) nappe(s),
- modification des coulements : effet barrage ,
- pollution dune nappe par mise en communication, du fait
de la ralisation de linfrastructure, avec une nappe pollue.
Le projet Grand Paris Express va traverser diffrents aquifres
ayant leur propre systme hydrogologique : sens dcoulement,
puissance de laquifre, permabilit. Chaque aquifre ne
rpondra pas de la mme faon la ralisation de ce projet.
160
3.2.1
Impacts de la modification du rgime dcoulement des

eaux souterraines
Une modification du rgime dcoulement des eaux

souterraines, quelle quen soit lorigine, pourrait avoir un
certain nombre dincidences potentielles:
- Tassements : labaissement du niveau de la nappe peut
gnrer des dformations de terrain en surface.
- Ennoiement des structures enterres : la hausse du niveau de
la nappe peut provoquer des ennoiements dans les sous-sols de
bti existant.
- Une modification des coulements et de la teneur en eau des
sols peut favoriser diffrents phnomnes naturels tels que la
dissolution du gypse (cf. titre 3.3) ou le retrait/gonflement des
argiles (cf. titre 3.4).
- Modification des usages anthropiques : labaissement du
niveau de la nappe risque notamment de dnoyer les pompes
existantes (captage deau potable, gothermie, etc.).
3.2.2
Modification du niveau de la/des nappe(s)

Le tunnel nimpacte pas le niveau des eaux souterraines. En
effet, la technique du tunnelier permet dviter tout rabattement
de nappe en crant une paroi tanche lavancement de
lexcavation.
Pour les gares et tranches couvertes, la mthode
constructive enceinte tanche en parois moules est
majoritairement retenue, ce qui limite les venues deau
horizontales.
En fonction des conditions gologiques (zones dissolutions
de gypse potentielles par exemple), de la sensibilit de la zone
en termes environnementales (proximit de zones abritant des
espces protges ne permettant pas une modification du niveau
pizomtrique, mme temporaire), il peut galement savrer
ncessaire de limiter au maximum les venues deau par le fond
de fouille. Pour cela un bouchon inject en sous face du radier
sera ralis. Dans le cas de terrain impermable en fond de
fouille ou de bouchon inject, leau extraite en phase chantier se
limite au volume deau contenu dans la gare, ainsi que des
venues deau rsiduelles, lvacuation de ces dernires est
toutefois non significative au regard du niveau de la nappe
baignant louvrage.
Certaines gares peuvent tre ralises en technique mixte
associant la ralisation dun puits en parois moules prsentant
les mmes caractristiques que prsentes ci-avant, et le reste
ralise en mthode traditionnelle. Cette technique est utilise
lorsque des contraintes de surface ne permettent pas de raliser
la gare uniquement depuis la surface.
La partie puits est similaire au cas dune enceinte tanche.
Pour la partie traditionnelle des pompages en phase chantier
savreront ncessaires ; quand le contexte gologique ou
environnemental ne permettra pas de rabattre la nappe de faon
importante, un traitement dtanchit prventive des terrains
sera mis en place par injections ou jet-grouting, permettant ainsi
de limiter au maximum limpact des travaux sur le niveau
pizomtrique de la nappe en prsence.
Effet barrage
Leffet barrage induit par la ralisation du tunnel est fonction
du sens dcoulement de la nappe dans laquelle sinsre ce
dernier. Cet effet se manifeste par labaissement du niveau
pizomtrique en aval du tunnel et une augmentation du niveau
pizomtrique en amont de ce dernier. Certaines zones du trac
ont dores et dj t identifies comme susceptibles dtre le
sige dun tel phnomne (Pont de Svres, le Nord de Paris).
Certaines gares ou tranche couverte peuvent induire un effet
barrage non ngligeable, qui ncessite la mise en uvre de
mesures spcifiques. En premier lieu, les tudes venir
permettront de quantifier cet effet et destimer le rel impact des
ouvrages du mtro souterrain sur le niveau des nappes afin de

th
prendre dventuelles dispositions pour limiter ce phnomne. Il

existe diffrents dispositifs permettant de lutter contre cet effet
de barrage parmi lesquels : recepage des ttes de parois
moules, tranches drainantes, siphons, etc.
Mise en communication des nappes
La mise sous pression de la chambre dabattage en tte de
tunnelier et linjection du vide annulaire permettent dviter les
arrives deau lintrieur de louvrage.
La technologie utilise de foration au tunnelier limite donc le
risque de communication entre nappes.
La technique des parois moules utilise pour la majorit des
gares permet de limiter grandement les changes entre les
nappes grce la mise sous pression de la fouille par la boue
bentonitique au moment du creusement.
Pour les parties ralises en mthode souterraine
traditionnelle, les pr-injections dtanchement permettent de
limiter grandement les changes entre nappes. Les vides qui
potentiellement pourraient subsister suite la mise en place des
structures dfinitives pourront faire lobjet dinjections de
remplissage afin de minimiser les changes entre nappes, si cela
savrait ncessaire.
3.2.3
3.3.2
Dans un premier temps, afin de matriser les effets de la

prsence de gypse, les mesures suivantes seront mises en uvre
dans les zones concernes :
- reconnaissances adaptes avant le chantier, en phase tudes
(bibliographie, sondages, mesures gophysiques, analyses
hydrogologiques) : le but est de caractriser le massif et de
reprer dventuelles dcompressions ou vides ;
- si des anomalies taient repres, il pourrait tre ncessaire
de traiter les vides par injection, selon leur taille et la sensibilit
de la zone dinfluence du creusement (prsence de bti,
douvrage sensible, etc.).
Dans un deuxime temps, afin dviter les phnomnes de
dissolution du gypse, la conception du projet Grand Paris
Express prvoit de limiter au maximum limpact du projet sur le
rgime dcoulement des nappes dans les zones susceptibles de
dvelopper ce phnomne.
La conception et les mesures adoptes pour limiter cet impact
sont donc celles dcrites au chapitre 3.2.2 rcapitulant les
mthodes constructives mettre en uvre pour ne pas perturber
le niveau pizomtrique et les sens dcoulement des nappes.

3.3.2
Un suivi des mesures mises en uvre pour supprimer les

impacts du projet sur le rgime des nappes et eaux souterraines
est mis en place ds la phase tude. En particulier :
- un tat zro est tabli pour les diffrents paramtres
(niveau pizomtrique, dbits, temprature, pH, teneur en
polluants), ce dans le but de caractriser les diffrents
aquifres prsents sur le tronon.
- le suivi de ces paramtres est ensuite ralis par mesures et
analyses chimiques tout au long du chantier.
3.3 Dissolution du gypse
Le gypse est prsent dans certaines couches sdimentaires
prsentes sur le trac du Grand Paris Express : Masses et
Marnes du gypse, Calcaire de Saint Ouen Sables de Beauchamp
ou Marnes et Caillasses, essentiellement par exemple.
La dissolution du gypse se produit lorsquil est soumis un
apport deau non charge en sulfate , ce phnomne peut
entraner soit une dgradation diffuse des caractristiques
mcaniques dun horizon gologique, soit la cration de vides
de dissolution accompagns de dcompressions des terrains susjacents et/ou dans le cas extrme, dapparition de fontis.
Ce phnomne fait lobjet de plusieurs Plans de Prvention
des Risques sur lensemble de la rgion Ile-de-France.
3.3.1
Enjeux dun projet de type mtro souterrain lis la

dissolution du gypse
Pour vrifier que les mesures mises en uvre en cas

dinjection notamment sont efficaces, des sondages de contrle
des traitements seront raliss.
Par ailleurs, une mthode observationnelle sera mise en
place dans ces zones, comme dcrit au chapitre 2.1.3.
3.4 Retrait et gonflement des argiles
Largile voit sa consistance se modifier en fonction de sa
teneur en eau. Ces variations de consistance saccompagnent de
variations de volume, dont lamplitude peut savrer trs
importante.
Les variations de volume gnres par le retrait des argiles
provoquent des tassements qui se manifestent par des dsordres
sur les ouvrages. A contrario, le phnomne de gonflement peut
provoquer des soulvements ou des sur-contraintes (pression de
gonflement sous un radier de gare par exemple).
En gnral, ces phnomnes se produisent proximit de la
surface, o la teneur en eau des argiles est soumise de fortes
variations, lies la mtorologie (priodes de scheresse
notamment), mais aussi la vgtation (systme racinaire) ou
lactivit humaine (impermabilisation des surfaces, pompages
ou arrosages).
Ce phnomne fait lobjet de Plans de Prvention des
Risques en le-de-France
3.4.1
Les enjeux sont de deux natures :

La prsence de zones dcomprimes ou de vides dans le
sous-sol prexistants sont potentiellement lorigine des mmes
phnomnes que les carrires souterraines dorigine anthropique
(voir dtail au chapitre 3.1.2).
De plus dans ce cas particulier, la ralisation dun projet de
type mtro souterrain est susceptible dactiver ou de ractiver le
phnomne de dissolution du gypse de par la modification
ventuelle du rgime dcoulement des nappes deau
souterraines dans les zones marques par la prsence de gypse.
La cration de ces vides pouvant avoir des impacts sur les
travaux en cours de ralisation (arrt du tunnelier, adaptation
des mthodes constructives au niveau des gares) comme sur le
bti situ dans la zone dinfluence hydrogologique du projet.
La difficult des zones de dissolution de gypse rsidant
le caractre alatoire de sa rpartition, et dans la difficult de
localiser avec certitude leur tendue.
161
Les impacts dun projet de type mtro souterrain sur le

retrait/gonflement des argiles
Un projet de type mtro souterrain est susceptible dactiver

ou de ractiver le phnomne de retrait/gonflement des argiles
en modifiant le rgime dcoulement des nappes deau
souterraines.
Par ailleurs, la ralisation de terrassements ciel ouvert est
susceptible dexposer des argiles aux alas mtorologiques
alors quelles taient jusqu prsent protges, favorisant
galement leur retrait/gonflement. Le projet du Grand Paris
Express recoupe plusieurs formations gologiques argileuses
considres comme fortement sensibles. On citera en particulier
les Argiles vertes et les argiles plastiques.
3.4.2
Le projet du Grand Paris Express traverse les argiles vertes

lest de Paris; les gares traversent cette couche et sancrent plus
th
sondages carotts, 690 sondages pressiomtriques, 180

sondages destructifs, menant ainsi lespacement moyen entre
sondages environ 150 m, et 5 8 sondages par gare.
bas. Par consquent, du fait des mthodes constructives retenues

(parois moules), les argiles vertes ne sont jamais exposes aux
intempries
mtorologiques.
Limpact
li
au
retrait/gonflement des Argiles Vertes est donc quasi nul. Quant
la partie courante, le tunnel sinscrit systmatiquement sous
cette couche, limpact est donc galement nul.
Concernant la couche dArgiles Plastiques qui se situe en
profondeur, pour la partie en section courante situe entre
Arcueil-Cachan et Fort dIssy, le tunnel sinscrit partiellement
dans cette couche. Comme mentionn prcdemment (cf. 3.2.1),
la ralisation du tunnel au tunnelier perturbe peu les conditions
hydriques des Argiles Plastiques : le phnomne de
retrait/gonflement des Argiles Plastiques est donc quasi nul
pour cette partie.
Concernant les gares ancres dans les Argiles Plastiques, lors
des terrassements en phase chantier, des prcautions
particulires pourront tre mises en place en cas dintempries
mtorologiques (systmes de drainage et de collecte, protection
par des masques ou des crans dtanchit ou des membranes,
par exemple), le but tant de limiter lintrusion deau dans la
fouille et ainsi minimiser le gonflement des Argiles.
Pour la phase dfinitive, les radiers des gares seront
dimensionns pour reprendre les efforts de gonflement des
Argiles Plastiques.
3.4.3
Le projet Grand Paris Express ayant un dvelopp important

en termes de trac et un planning dtudes contraint, six
entreprises de travaux de forages mnent bien ces
investigations, avec en moyenne 20 30 machines par mois le
long des 150 km de trac. Ces investigations font lobjet dun
contrle ralis par lAssistant Matrise dOuvrage en
Gotechnique de la SGP afin de garantir la qualit et
lhomognit de ces dernires.
Les reconnaissances engages par la Socit du Grand Paris
sont en quantit importante au regard de la phase dtudes
laquelle se situe le projet (pour rappel lEUROCODE 7 EN
1997-2 de septembre 2007 Calcul gotechnique - annexe B
relative aux ouvrages linaires - prconise des sondages espacs
de 20 200 m pour la phase finale de conception, soit la phase
projet).
Le but de ces reconnaissances consquentes menes ds la
phase G11 phase 2, est de permettre de stabiliser le modle
gologique, hydrogologique et gotechnique le long du trac
au plus tt afin de statuer sur les mthodes constructives.
Il est reconnu que loccurrence de dsordres et accidents
graves en travaux souterrains est inversement proportionnelle
la quantit et la qualit de reconnaissances engages lors des
phases dtudes. La Socit du Grand Paris a donc, vu lchelle
du rseau, dcider dengager dimportantes investigations
gotechniques ds les phases amont, ceci dans le but de
matrises les risques.
Au vu des mesures de rduction mises en uvre dans la

conception du projet, ainsi que de lampleur en consquence
trs limite du phnomne concern, il ny a pas de disposition
spcifique mettre en place dans le cadre du suivi des mesures.
Linfrastructure du mtro, comme toute infrastructure, fera
lobjet au cours de son exploitation dun suivi rgulier,
permettant de la maintenir efficacement.
La matrise des risques est au cur de lorganisation des

tudes via de multiples regards partags sur les sujets
techniques
majeurs
(bti,
gotechnique,
mthodes
constructives). La Socit du Grand Paris a lobjectif dtendre
cette culture de la matrise des risques lensemble de ses
partenaires venir (Conduite dopration, Matres duvre,
Entreprises).
4. LES CAMPAGNES DE RECONNAISSANCES

En fonction des premiers lments issus de la phase
documentation et du profil en long prliminaire de projet, une
campagne de reconnaissances gotechniques de type G11 au
sens de la norme NF P 94-500 sur les missions dinvestigations
gotechniques (cf. titre 2.1.2) a t dfinie et ralise en 2012
et 2013. Ce sont les problmatiques rencontres le long du trac
qui ont dict le type de reconnaissances effectuer.
Au total, pour un trac de 150 km et comprenant 57 gares
(partie sous Matrise dOuvrage SGP), la campagne
dinvestigations gotechnique a compris :
385 sondages carotts dans lesquels ont t prlevs
environ 1 500 chantillons intacts pour la ralisation
dessais en laboratoire;
278 sondages pressiomtriques avec un essai
pressiomtrique tous les 1,5 m ;
19 forages destructifs avec enregistrement des
paramtres de forage.
La profondeur des sondages varie de 20 92 m de profondeur,
avec une profondeur moyenne stablissant aux alentours de
45m. Lespacement moyen entre sondages stablit environ
350m.
Au droit de chacune des gares, lorsque le contexte urbain le
permettait, il a t ralis 3 sondages carotts et 2 sondages
pressiomtriques.
La quasi-totalit des sondages carotts et des forages destructifs
ainsi que et plusieurs sondages pressiomtriques ont t quips
en pizomtres, conduisant ainsi un total denviron 450
pizomtres rpartis le long du trac pour reconnatre et suivre
les diffrentes nappes concernes par le projet. Un relev
mensuel de lensemble de ces pizomtres est prvu pendant
toute la dure des tudes.
Les campagnes de reconnaissances pour la mission G12 vont
dbuter mi-2013 et porteront les investigations environ 760
Pour rappel, le planning des travaux de ralisation du Grand

Paris Express a une amplitude de 14 ans (2016 et 2030)
comprenant 200 km de linaire (principalement en tunnel) et 70
gares, avec des mises en service de tronons schelonnant de
2020 2030 soit en moyenne 5 7 gares par an.
Le Grand Paris Express est un projet denvergure de par de
nombreux aspects ; les investigations gotechniques entreprises
en sont un ; elles sont la hauteur de la volont de la Socit du
Grand Paris de matriser les risques techniques.
162
8
th
Innovations franaises
franaises en
en gotechnique:
gotechnique: les
les projets
projets nationaux
nationaux de
de recherche
recherche
Innovations
French Innovations in Geotechnics: the National Research Projects
French Innovations in Geotechnics: the National Research Projects
F. Schlosser; C. Plumelle; R. Frank, A. Puech, H. Gonin, F.Rocher-Lacoste, B. Simon
Schlosser
F., Plumelle
C., Frank
R., Puech
A., Gonin H., Rocher-Lacoste F., Simon B.
Comit Franais
de Mcanique
des Sols
et de Gotechnique
Comit Franais de Mcanique des Sols et de Gotechnique
C. Bernardini
Bernardini
C.
Institut de Recherche
Exprimental en Gnie Civil (IREX)
Institut de Recherche Exprimental en Gnie Civil (IREX)
RSUM : Un grand intrt a t port en France aux exprimentations en vraie grandeur en gnie civil ds le dbut des annes 1960
pour tudier le comportement des ouvrages et le mcanisme de nouveaux procds. Cela a conduit un ingnieur des Ponts et Chausses,
M. Martin, imaginer le concept novateur du Projet national (PN) de recherche exprimentale vers la fin des annes 1970. Loriginalit
rside dans le fait que la majorit du financement est fournie par les participants eux-mmes, sous forme de cotisations et surtout
dapports en nature (temps pass, essais, mise disposition de matriel, de sites exprimentaux, etc.), le ministre concern ne
fournissant que 15 20 % du budget total. Le premier PN, Clouterre (1980-1985) sur le clouage des sols en soutnement, a t suivi de
30 PN en gnie civil dont 7 en gotechnique. LIREX (Institut de Recherche EXprimentale en gnie civil), organisme de gestion des
PN, a t cr en 1989. On prsente ici les dbuts et la procdure des PN, illustrs par 5 PN en gotechnique.
ABSTRACT: Full scale experiments have been considered of a great interest in French civil engineering since the 60s beginning for
studying structures behavior and new techniques mechanism. At the end of the 70s the innovative concept of French experimental
research project (FRP) was founded by the French civil engineer, M. Martin. The originality is that 80 to 85% of the funding is provided
by the project members in the shape of subscriptions and contributions in kind (research time, experimental site, a.s.o.), the rest being
financed by the ministry. The first project has been Clouterre (1980-85) on soil nailed retaining walls and since that time 30 projects in
civil engineering have been carried out, which 7 in geotechnical engineering. The management organization IREX for these projects has
been created in 1989. The paper presents the FRP organization illustrated by 5 projects in geotechnical engineering.
MOTS CLS: recherche, projet, innovation, instrumentation, modle physique et numrique, exprimentation en vraie grandeur.
KEYWORDS : research, project, innovation, instrumentation, physical and numerical model, full scale experiment.
INTRODUCTION.
Le comportement des sols est complexe et aucune thorie ne

peut permettre de calculer correctement les contraintes et les
dformations dun sol sous une sollicitation quelconque. Ainsi le
squelette dun sol nest ni lastique, ni mme lasto-plastique.
En outre le couplage eau-squelette est en gnral difficile
apprhender. Enfin, en dpit du remarquable dveloppement de
linformatique, il na pas t possible dobtenir un ensemble de
relations entre contraintes et dformations reprsentant
correctement le comportement densemble dun sol et utilisable
en pratique. Toutes les thories ne sont quapproches.
Lapproche exprimentale du comportement des sols reste
ainsi un lment primordial, notamment pour vrifier la validit
dune thorie. Les lois de la similitude de Mandel (1961) avaient
dj montr la limitation des modles rduits en sable, sous
sollicitation statique, par suite de leffet dchelle, ce qui a
progressivement conduit au dveloppement des centrifugeuses
en gotechnique. Par ailleurs le dveloppement important, depuis
des dizaines dannes, des moyens de mesure a permis dtudier
non seulement certains aspects du comportement des ouvrages
gotechniques en service, mais galement de dvelopper des
ouvrages exprimentaux en vraie grandeur qui ont contribu
une grande amlioration des connaissances.
En France, cest J. Kerisel (1962) qui a ralis un premier
type douvrage exprimental en vraie grandeur sur le
comportement des pieux. Aprs avoir effectu sur le pont de
Maracaibo au Venezuela, le premier essai de chargement de pieu
en mesurant sparment leffort en pointe et leffort total en tte,
il construit sur le site sableux de Saintt-Rmy-ls-Chevreuse une
station dessai de grandes dimensions o des pieux sont foncs
dans une grande et profonde cuve en bton remplie de sable

compact. Il y mesure sparment leffort en pointe au cours de
lenfoncement et montre quil varie au dbut linairement
jusqu une profondeur denviron trois fois le diamtre du pieu,
puis reste constant au-del. Ce rsultat, maintenant bien connu, a
largement contribu au changement du calcul de la rsistance de
pointe des pieux par rapport aux thories antrieurement
appliques.
En France, un autre ouvrage exprimental en vraie grandeur
fut ralis toujours sur le site de Saint-Rmy-ls-Chevreuse par
Tcheng (1975) sur la station du CEBTP afin dtudier des grands
massifs de sable mis progressivement en tat de pousse ou de
bute. Llment principal de la station tait un cran mtallique
trs rigide, de 5 m de large et 3 m de hauteur, comportant dans sa
partie centrale six cellules de mesure encastres permettant dy
mesurer les composantes verticales et horizontales des
contraintes. Il tait suspendu au moyen de huit vrins
hydrauliques et, laide dun systme dasservissement, il
pouvait tourner autour dun axe proche de la base et se translater
horizontalement. Deux sables furent utiliss : le sable
homomtrique de Fontainebleau et le sable de Loire de
granulomtrie tale. Les rsultats furent intressants,
notamment sur les carts entre la thorie et la ralit, mais ils
montrrent galement les difficults lies une telle
exprimentation, notamment ltat initial (K0) qui dpend du
compactage et varie beaucoup du haut vers le bas de lcran.
partir du milieu des annes 1960, le Laboratoire central des
ponts et chausses a dvelopp, en coopration avec les
laboratoires rgionaux des ponts et chausses, des recherches sur
les remblais sur sols compressibles (1973), la stabilit des pentes
(1976), les fondations profondes et les nouveaux ouvrages de
1631
th
soutnement. Dans chacun des cas, un ou plusieurs ouvrages

exprimentaux en vraie grandeur taient construits spcialement
pour cette recherche. Pour la stabilit des pentes, un versant
naturel instable avait t ddi la recherche et largement
instrument, puis suivi pendant plusieurs annes.
Des recherches sur la nouvelle technique de soutnement
franaise de la Terre Arme, invente par Henri Vidal en 1963,
furent entreprises pour aboutir aux Recommandations et Rgles
de lart (1979) rdiges conjointement par le LCPC et le Service
dtudes Techniques des Routes et Autoroutes (SETRA). Un
mur exprimental en Terre Arme fut construit en 1968 par le
Service des Ponts et Chausses du dpartement de lEure et
instrument par le LRPC de lOuest parisien. Il permit de
montrer pour la premire fois que leffort de traction dans les
armatures ntait pas maximal au parement, mais une certaine
distance lintrieur du mur (Figure 1).
une premire exprience: les tunnels et la technique du clouage

des sols pour les soutnements. En dpit dun certain scepticisme
au dbut, ces deux projets gotechniques, raliss entre 1985 et
1989, furent un succs. Ainsi le PN Clouterre sur le clouage, qui
dbuta en 1986 pour 4 annes de recherches, a comport 21
membres (7 organismes publics, 3 matres douvrage publics et
privs, 11 entreprises). Son budget fut de 3,15 M dont 15%
apports par la DAEI et 85% financs directement par les 21
membres avec les cotisations et les prestations en nature. La
gestion du projet fut assure par un des partenaires : le CEPTP,
qui mit la disposition du projet son site exprimental de St
Rmy ls Chevreuse.
Aprs ces deux premiers projets nationaux, il fut reconnu
ncessaire davoir une structure vraiment adapte au caractre
collectif des PN pour en assurer la gestion, le suivi et galement
la diffusion des rsultats. Cest ainsi qua t cre, en 1989 et
de faon conjointe par le ministre de la Recherche et le
ministre de lquipement, lInstitut pour la Recherche et
lExprimentation en gnie civil (IREX).
3 LA PROCDURE DES PROJETS NATIONAUX
DE RECHERCHE.
Figure 1. Exprimentation en vraie grandeur du mur en Terre Arme

dIncarville (1968).Evolution de la force de traction dans les armatures
instrumentes dun lit situ 3m de profondeur.
Toutes ces recherches du LCPC et des Laboratoires

Rgionaux taient finances par le ministre de lquipement
dont dpendait le LCPC. Il ny avait alors en France aucune
centralisation de la recherche en gnie civil. Les universits
ntaient pas associes ces recherches et les grandes
entreprises, comme les grands services de ltat (SNCF, EDF,
etc.), effectuaient dans ce domaine leurs propres recherches.
Ctait lpoque du dbut des autoroutes finances par ltat,
tudies et construites par les Services des Ponts et Chausses.
2 LA NAISSANCE DES PROJETS NATIONAUX
DE RECHERCHE EN GNIE CIVIL.
Cest un ingnieur des Ponts et Chausses, Michel Martin,
alors en service la Direction des Affaires trangres et
Internationales (DAEI) du ministre de lquipement, que
revient lide des Projets Nationaux sur des recherches
exprimentales en gnie civil, dveloppe au tout dbut des
annes 1980. Il sagissait dune part de permettre des projets de
recherche dune assez grande ampleur, dautre part et surtout de
rassembler sur un thme de recherche le plus grand nombre
possible de participants la fois publics et privs.
Le principe consistait demander aux participants une
cotisation financire pour chaque anne de recherche, puis leur
permettre de participer au financement des recherches sous la
forme dapports en nature (temps pass, essais, mise
disposition de matriel, etc.) et enfin fournir une subvention
financire du ministre de lquipement gale 15% ou 20 % du
montant total du projet. Deux thmes furent choisis pour raliser
164
La procdure actuelle, qui vise dvelopper la recherche

applique et exprimentale en gnie civil, a t initie vers 1990
conjointement par les ministres de la Recherche et de
lEquipement sur proposition dun Conseil dOrientation de la
Recherche en Gnie Civil (CORGEC) comprenant des
reprsentants du monde de la recherche et du gnie civil
Elle comprend tout dabord la validation, par la Direction de
la Recherche du ministre de lquipement, dun thme de
recherche propos par la profession sur la base dune tude de
faisabilit ralise par un groupe dexperts anim par lIREX.
Cette tude est rmunre laide dune subvention du ministre
de lquipement, aprs avis dun Comit dorientation du gnie
civil et urbain regroupant des chercheurs de lUniversit et des
Centres techniques de ltat, ainsi que des reprsentants de la
profession.
la suite de cette tude, lIREX monte un dossier dtaill du
Projet National comprenant : le programme de recherche avec
ses exprimentations, la liste de ses partenaires publics et privs,
le planning qui stale en gnral sur quatre ans, le cot du projet
et son financement (cotisations, apports en nature, subvention du
ministre de lquipement entre 15 et 20%). Il est noter que le
dossier doit toujours comprendre au moins un matre douvrage
qui accepte de prendre totalement ou partiellement sa charge
une exprimentation en vraie grandeur ou une instrumentation
trs complte dun ouvrage. Il est galement demand de prvoir
un poste de valorisation du projet pour raliser une synthse des
rsultats, puis de la publier sous forme de recommandations ou
de guide. La plupart du temps, une version en anglais est
publie. Les avances techniques les plus marquantes font par
ailleurs lobjet de prsentations dans les congrs internationaux.
Les Projets Nationaux ont couvert une large gamme du gnie
civil:
1) les matriaux, essentiellement les divers types de bton ;
2) la gotechnique avec principalement les fondations ;
3) les procds de construction ;
4) la rhabilitation et la maintenance ;
5) le dveloppement durable
En 2009, loccasion de lanniversaire des 20 ans de lIREX,
un document de synthse sur les Projets Nationaux a t publi,
intitul 20 ans de recherches appliques et dexprimentations
en gnie civil . Il donne, en 4 6 pages pour chacun des 26
Projets Nationaux, une description du projet et de ses retombes.
Nous nous intresserons ici aux PN suivants qui se classent
dans la gotechnique ou qui sy rattachent, soit :
th
CLOUTERRE : technique du clouage des sols en

soutnement.
FOREVER :technique des groupes et rseaux de
micropieux
VIBROFONAGE : vibrage des pieux et des palplanches.
ASIRI : amlioration des fondations par inclusions rigides
SOLCYP : comportement des pieux sous charges cycliques
On donne ci-aprs deux tableaux qui montrent lun la
rpartition des partenaires, lautre les montants financiers
respectifs de ces 6 PN.
3. Depuis lorigine, la Fdration nationale des travaux

publics est acteur des projets nationaux et les entreprises, bien
que concurrentes, ont su unir leurs efforts et trouver des
dnominateurs communs pour faire voluer les doctrines
techniques, les rfrentiels et les rglements, mais aussi pour
utiliser les progrs ainsi obtenus au dveloppement de leur
activit linternational.
4. Les projets nationaux ont permis aux ingnieurs publics et
privs de travailler ensemble dans des domaines de recherche et
de sapprcier, alors quauparavant de telles opportunits
ntaient que trs occasionnelles.
Tableau 1. Rpartition des partenaires dans des projets nationaux

gotechniques.
4
4.1
LE PROJET NATIONAL CLOUTERRE

Objectif et caractristiques du projet.
Le but de ce Projet national tait de promouvoir le clouage des

sols, notamment pour les ouvrages de soutnement permanents,
grce une connaissance approfondie du procd, la
dtermination des limites du procd, la mise au point de
mthodes de dimensionnement fiables et la rdaction de
recommandations. Tous ces points taient dvelopper en
sappuyant sur des exprimentations en vraie grandeur.
En fait, quelques annes aprs la publication des
Recommandations CLOUTERRE 1991, il sest avr ncessaire
de complter les rsultats du PN CLOUTERRE I en effectuant
des recherches sur les murs et autres ouvrages en sol clou, en
particulier de dvelopper une mthode de dimensionnement aux
tats limites de service (ELS) partir de calculs aux lments
finis. Ce sera le Projet national CLOUTERRE II dont les
recherches ont t effectues de 1995 1999.
Tableau 2. Montants financiers de projets nationaux gotechniques.
Quelques aspects particuliers de ces Projets Nationaux sont

par ailleurs noter :
1. Compte tenu de la cration rcente de lAgence Nationale
de la Recherche (ANR), pilote par le ministre de la Recherche,
plusieurs projets ont bnfici dune subvention de cet
organisme pour des recherches effectuer en laboratoire, alors
que les recherches plus orientes vers les exprimentations ont
fait lobjet dune subvention du ministre de lquipement. (voir
tableau 2). Toutefois la collaboration entre les diffrents
partenaires nen a pas t modifie et est toujours reste trs
fconde.
2. Bien que le mot national pourrait laisser penser quil
soit fait exclusivement appel des partenaires franais, plusieurs
projets nationaux en gotechnique ont eu des partenaires
trangers. Ainsi le ministre des Transports du Qubec a t
partenaire dans le projet CLOUTERRE, la Federal Highway
Administration (tats-Unis) et luniversit de Canterbury
(Nouvelle-Zlande) ont t partenaires dans le projet
FOREVER. En outre, ds 1991 ce processus des projets
nationaux a intress dautres pays : le ministre fdral de la
Recherche au Canada en 1991, puis son homologue en Chine
(1992) et, plus rcemment, une mission Japonaise en France.
165
Figure 2. Les trois phases de construction dun mur de soutnement par

clouage dun sol en place.
Comme le montre la figure 2, la technique de soutnement

par clouage se situe dans le prolongement de la Terre Arme
dont les premiers grands ouvrages furent raliss en 1968-1969
pour lautoroute entre Nice et Menton, dont le mur du Peyronnet
de 23 m de hauteur qui na pas boug depuis. Cependant la
construction, linverse de la Terre Arme, se fait du haut vers
le bas, ce qui change bien des choses et complique la ralisation.
En particulier la phase de terrassement, la base de la partie dj
construite du mur, peut, si elle est de hauteur trop importante
et/ou laisse en place lors dun arrt de chantier de plusieurs
jours, conduire une rupture.
Comme indiqu prcdemment Le PN Clouterre I avait
22 partenaires dont le ministre des Transports du Qubec. Il
sest droul de 1986 1990 et son budget global a t de
3.150 000 dont 15 % financs par le ministre de
th
rupture locale se propage jusqu la surface conduisant une

rupture globale et interne du mur.
lquipement, le solde tant apport par les partenaires sous la

forme de cotisations et dapports en nature.
4.2
Les exprimentations en vraie grandeur

de CLOUTERRE I.
Sur le site exprimental du CEBTP Saintt-Rmy-lsChevreuse, il a t possible de raliser trois exprimentations en

vraie grandeur de murs en sol clou, construits dans des massifs
de sable de Fontainebleau rapport aux caractristiques bien
contrles. Ils sont sommairement dcrits ci-aprs.
4.2.1 Mur n 1 en sol clou pouss jusqu la rupture.
Ce mur de 7 m de hauteur en sable a t ralis par phase
dexcavation de 1 m de hauteur avec des clous scells de 6 8 m
de longueur et dots dune certaine rsistance la flexion car
constitus de tubes. Louvrage avait t calcul avec un
coefficient de scurit global suffisamment faible (F = 1,1) pour
pouvoir tre rompu facilement en saturant progressivement le sol
partir de la tte du mur, ce qui diminuait la cohsion apparente
du sable et augmentait son poids volumique total. Grce
linstrumentation trs complte mise en place, il a t possible
deffectuer de nombreuses mesures (tractions dans les clous,
dplacements du parement, dformation du massif en sol clou,
etc.). De plus, la rupture nayant pas t totale, le parement
stant enfonc et bloqu dans le sol de fondation, lexcavation
du mur a permis une investigation trs complte du
comportement de louvrage la rupture (Figure 3).
Figure 3. Observations lors de lexcavation du mur en sol clou aprs sa

rupture (1re exprimentation en vraie grandeur au CEBTP)
En particulier la flexion des clous au voisinage de la rupture

entrane lexistence dune zone de cisaillement dans le sol autour
de la ligne des points de traction maximale dans les clous, ainsi
quen rgle gnrale un aspect non brutal mais ductile de la
rupture du mur.
4.2.2. Mur en sol clou avec tude de la phase dexcavation.
Lobjectif de ce mur exprimental n2 du CEBTP fut dtudier la
stabilit, aussi bien locale que globale, dun massif en sol clou
en phase dexcavation. Pour ce faire, un mur en sol clou de 3 m
de hauteur t construit puis pouss la rupture par
augmentation de la hauteur dexcavation en pied de mur de 1 m
3 m. la premire passe (1 m de hauteur dexcavation),
lexcavation, comme le mur, tait stable. la deuxime passe
(2 m de hauteur dexcavation), une rupture localise sest
produite suivie dune stabilisation par formation dune vote,
mais le mur est globalement rest stable. la troisime passe
(3m de hauteur dexcavation), leffet de vote se dtruit et la
166
Figure 4. Stabilit et rupture de la phase dexcavation dans le mur en sol

clou n2 du CEBTP.
4.2.3. Mur n 3 en sol clou avec rupture par insuffisance

de longueur des clous.
La troisime exprimentation dun mur en sol clou au CEBTP,
de 6m de hauteur, a permis dtudier le mode de rupture par
insuffisance de longueur des renforcements. Il a t mis en place
des clous tlescopiques dont on pouvait rduire la longueur. La
rupture sest produite lorsque a t atteinte une rpartition de
clous trs courts la base du mur et augmentant progressivement
de longueur vers le haut du mur .Cette disposition a impos la
forme de la surface de glissement correspondant une rupture
intermdiaire entre le mode par dfaut dadhrence et le mode
par rupture externe.
4.3
Principaux rsultats de Clouterre I.
Le mur n1 a montr la forme de la ligne des tractions

maximales dans les clous, laquelle nvolue pas jusqu
linitiation de la rupture qui est progressive, ainsi quune certaine
mise en flexion des clous au voisinage de la rupture.
Le mur n2 a montr que la stabilit du mur durant sa
construction tait lie au dveloppement dun effet de vote lors
des phases dexcavation, ce qui a notamment donn des
informations sur la limite du procd.
Le frottement sol/clou a quant lui fait lobjet dtudes
approfondies tant exprimentales que thoriques, avec comme
dans la Terre Arme la notion de coefficient de frottement
apparent * lie une dilatance en partie empche de la partie
granulaire du squelette du sol.
Une part importante des recherches a t consacre la mise
au point dune mthode dimensionnement ltat limite ultime
(ELU). Le choix a t port sur une mthode la rupture
utilisant des surfaces de rupture circulaires, notamment cale sur
le mur en vraie grandeur n1. Il a notamment t dvelopp une
mthode dite du multicritre (Schlosser, 1982) qui permet de
dterminer le torseur (Tn, Tc, M) des efforts au point de traction
maximale dans un clou. Elle fait intervenir des critres de
rupture portant sur les constituants et les interactions entre
constituants :
- interaction de frottement latral sol/clou : qs
- interaction de pression latrale sol/clou :
p pmax
- matriau constitutif du clou :
k (cission)
Cela conduit quatre critres compte tenu de lassimilation
des clous de poutres. Il en rsulte dans le plan (Tn, Tc) des
efforts de traction et de cisaillement un domaine de stabilit qui
permet de dterminer leffort rsultant maximal (Figure 5)
Le multicritre permet de prendre en compte un effort de
cisaillement dans les clous, qui est souvent nglig dans le
dimensionnement des murs en sol clou, mais qui devient
prpondrant dans le clouage vertical utilis pour la stabilisation
des pentes. Cette mthode de dimensionnement fut la premire
en mcanique des sols utiliser le calcul semi probabiliste avec
coefficients de scurit partiels et coefficients de pondration sur
les actions, ce qui est maintenant devenu la rgle dans les
Eurocodes.
th
En outre un chapitre a t consacr au comportement et la

justification du parement partir dinstrumentations douvrages
en service, notamment les murs de lautoroute A 12 au sud-ouest
de Paris.
4.5.2.2. Mthodes de calcul aux dplacements.
La banque de donnes de Clouterre 1991 sur les mesures des
dplacements des murs rels en sol clou a t complte et une
mthode semi-empirique a t mise au point partir de ces
rsultats.
Des mthodes gnrales partir des lments finis (logiciels
CESAR, Plaxis) et des diffrences finies (logiciel FLAC-2D) ont
t dveloppes. Elles font appel des modlisations en
bidimensionnel : celle o les clous sont modliss par des
plaques quivalentes avec interfaces planes pour les lments
finis, celle des clous quivalents avec fonctions de transfert de
charge pour les codes aux diffrences finies. Leur validation a
t faite en comparant les rsultats des calculs avec des mesures
ralises sur des ouvrages en vraie grandeur, construits dans des
sols aux proprit connues, instruments et suivis dans le temps,
depuis la construction jusqu la mise en service et
ventuellement la rupture. Les murs exprimentaux de Clouterre
I ont ce sujet constitu une base exceptionnelle douvrages de
rfrence. En plus des paramtres classiques dlasticit et de
rsistance des sols, il faut ajouter lange de dilatance ainsi que
les paramtres relatifs aux clous, au parement et leurs
interactions avec le sol. La figure 6 donne les volutions du
dplacement horizontal h en tte de parement du mur Clouterre
n1 et la comparaison avec les valeurs mesures. Globalement et
par comparaison avec les calculs antrieurs effectus (Shaffiee,
1986), on constate une bonne prdiction des valeurs mesures,
mais il est recommand de raliser une tude de sensibilit aux
paramtres mcaniques pour sassurer de la validit des rsultats
Figure 5 Domaine de stabilit dans le plan (Tn, Tc) et dtermination de

leffort maximal T.
La dformation des murs en sol clou, avec notamment les

dplacements en tte a galement fait lobjet de nombreuses
instrumentations tant sur les murs exprimentaux que sur des
ouvrages en service. Le dplacement horizontal en tte dun mur
en sol clou vertical de hauteur H est ainsi compris entre
H/1 000 et 3H/1 000 suivant la valeur du coefficient de scurit.
4.4
Publications de Clouterre 1
Le PN a fait lobjet de 50 rapports internes et de publications la

fois en France et ltranger. La publication la plus importante
fut les Recommandations Clouterre 1991 pour la conception,
lexcution et le contrle des soutnements raliss par clouage
des sols. Ce livre comprend sept chapitres et, aprs avoir t
traduit en anglais, a t dit 10 000 exemplaires par la FHWA
(Federal Highway Administration) aux tats-Unis, puis publi
en commun par la FHWA et les Presses des ponts et chausses
dans le monde entier. Ces recommandations ont contribu un
large essor de la technique des soutnements en sol clou et ont
abouti la norme PR-94270 qui constitue la norme dapplication
franaise de lEurocode 7 pour ce qui concerne la fois les
ouvrages de soutnement en sol clou et en sol renforc.
4.5
Le Projet national Clouterre II.
4.5.1. Organisation du P.N.

Dvelopp la suite de Clouterre I de 1993 1997, le Projet
National CLOUTERRE II a eu 19 partenaires dont la FHWA, ce
qui a constitu le premier exemple dun partenaire tranger
participant un PN. Le cot total de ce PN sest lev
1 579 190 dont une subvention de la DRAST de 281 708
reprsentant 17,8% du budget total, le solde tant fourni par les
partenaires (cotisations et apports en nature).
Figure 6. Evolutions calcules du dplacement horizontal en tte du

parement et comparaison avec les mesures (mur Clouterre n1).
4.5.2.3 Autres recherches.

tude de leffet du gel-dgel. Une instrumentation effectue
sur un mur en sol clou construit en montagne en 1982 et ayant
subi des dplacements importants du parement lors dune
priode de gel a permis dtudier les mcanismes du gel-dgel et
de mettre au point une prise en compte des effets du gel dans un
mur en sol clou.
Dimensionnement sous sisme. Les murs en sol clou sont,
comme les murs en Terre Arme (Kobayashi et al., 1996), des
ouvrages souples qui rsistent bien aux sismes. En rgle
gnrale, leur stabilit au sisme est analyse par un calcul la
rupture en utilisant la mthode pseudo-statique. Le cas des
ouvrages mixtes o le mur en sol clou est confort en tte par
des tirants prcontraints ncessite de prendre en compte dans les
calculs de stabilit des coefficients sismiques aux valeurs
majores.
Clouage (boulonnage) du front de taille des tunnels en
terrain meuble. Utilis depuis 1985, le boulonnage par barres
4.5.2. Les recherches du P.N. Clouterre II.

Clouterre II a marqu une tape complmentaire dans la
connaissance et le dimensionnement des ouvrages en sol clou,
laccent ayant t mis sur les mthodes de calcul des
dplacements, lexcution, le comportement sous des
sollicitations particulires (murs soumis au gel, aux sismes) et
le comportement dun ouvrage autre que les murs (front de taille
renforc par des clous dans les tunnels en terrain meuble).
4.5.2.1. Excution des murs en sol clou. Comportement et
justification du parement.
Il a t fait une mise jour de la banque de donnes des essais de
traction de clous de CLOUTERRE I, en particulier des abaques
(qs, pl) donnant pour les diffrentes catgories de sols les valeurs
de la contrainte de frottement limite qs de linteraction sol/clou
en fonction de la pression limite pl au presiomtre. Lexcution
du parement a fait lobjet dajouts en particulier sur le drainage.
167
th
scelles est utilis pour stabiliser les parements ou le front de

taille en pleine section dun tunnel en construction. Dans ce
second cas les barres sont en matriau composite de fibres de
verre et de rsine afin de pouvoir tre facilement dtruites
lexcavation. La stabilit du front renforc est calcule par une
analyse lquilibre limite ou en utilisant la thorie du calcul
la rupture. Les calculs en dformation pour prendre en compte ce
clouage dans les dplacements du terrain et les soutnements
sont de 3 types : 1. Modlisation de chaque barre et calcul en 3D.
2. Approche par homognisation de lensemble terrain et barre
et calculs en 2D axisymtriques. 3. Simuler leffet du clouage
par une pression applique au front de taille et calculs en 2D
axisymtriques.
4.5.3. Publications de Clouterre II.
Les travaux du Projet National CLOUTERRE II ont fait
lobjet de 22 rapports internes et dun livre Additif 2002 aux
recommandations CLOUTERRE 1991, dit par les Presses des
Ponts. Il comprend 8 chapitres labors et mis au point par un
comit de rdaction de 12 personnes.
4.6
Retombes des Projets Nationaux CLOUTERRE I et II
On peut affirmer sans pouvoir vraiment le quantifier que ces

deux PN ont contribu en France un grand essor des murs en
sol clou en tant quouvrages permanents, permettant de ce fait
une conomie importante par rapport des murs plus classiques.
On peut citer par exemple les murs en sol clou autour de
certaines piles du viaduc de Millau. Conus initialement comme
des ouvrages provisoires, ces murs ont t, au moment de la
remise en tat des lieux la fin de la construction du viaduc,
transforms en ouvrages permanents et inclus dans lensemble
du processus de suivi des divers lments du viaduc, mais avec
une dmarche du type mthode observationnelle. Lconomie
par rapport de nouveaux ouvrages de soutnement en bton
arm a t substantielle. Par ailleurs il est intressant de noter le
classement en ouvrage de rfrence en 1998 par le comit
IVOR (Innovations Valides sur Ouvrages de Rfrence) des
murs de soutnement en sol clou de lautoroute A12 qui ont fait
lobjet dune instrumentation importante dans le cadre de
CLOUTERRE II.
A linternational, cest incontestablement le Projet National
CLOUTERRE I, avec la traduction anglaise des Recommandations CLOUTERRE 1991, qui a t lorigine dun fort
rayonnement de la technique franaise, lequel a notamment
conduit la participation de lAdministration des Autoroutes
Fdrales Amricaines (FHWA) en tant que partenaire
CLOUTERRE II, puis plus tard au Projet national FOREVER. Il
est intressant de noter que le logiciel Talren, conu et dvelopp
par Terrasol, a t et reste trs largement utilis dans de
nombreux pays pour le dimensionnement des ouvrages en sol
clou (murs, talus et pentes). Cest ainsi .que les
Recommandations CLOUTERRE 1991 .ont t traduites en
coren.
Au tout dbut des annes 90, la FHWA et le TRB
(Transportation Research Board) des Etas Unis avaient organis
un scanning tour en Europe pour y connatre le
dveloppement du clouage. Ils furent trs favorablement
impressionns par lessor du clouage en France. De mme que la
Terre Arme a connu un dveloppement remarquable aux Etats
Unis, le clouage des sols y a eu un essor rapide et sans doute plus
important tel point que le bnfice cumul obtenu grce
lutilisation de cette technique a pu tre estim voici quelques
annes par ladministration amricaine plusieurs centaines de
millions de dollars. A lheure actuelle, le clouage des sols est
utilis dans la quasi totalit du monde, car il sagit dune
technique simple, facile mettre en uvre et non protge par
des brevets.
168
5
5.1
LE PN FOREVER SUR LES MICROPIEUX.

Objectif et organisation
Un micropieu est un pieu de diamtre infrieur 250 mm, le plus

souvent for et comportant une armature mtallique centrale,
souvent un tube, scelle dans un mortier ou un coulis de ciment.
La capacit portante est essentiellement assure par le frottement
latral micropieu/sol qui peut tre dautant plus important que le
coulis a t inject sous forte pression. On distingue 4 types de
micropieux fonction principalement de la valeur de la pression
dinjection du coulis :
- Type I. For et tub, quip ou non dune armature, rempli
dun mortier de ciment au tube plongeur. Tubage rcupr.
- Type II. For, quip dune armature et rempli au tube
plongeur dun mortier ou coulis de ciment par gravit ou sous
trs faible pression.
- Type III. Le plus souvent for, quip dune armature et dun
systme dinjection du coulis par tube manchettes mis en place
dans un coulis de gaine. Linjection est globale et unitaire avec
une pression dinjection en tte suprieure ou gale 1MPa.
- Type IV. Identique au type III, mais linjection y est rptitive
et slective lobturateur simple ou double
Depuis de nombreuses annes, les micropieux offrent un
vase champ dapplications en groupe (ensemble de micropieux
verticaux) ou en rseau (ensemble de micropieux inclins). Ils
sont dabord utiliss pour la reprise en sous-uvre des
fondations, mais galement pour les fondations douvrages neufs
en terrain difficile, pour la stabilisation des pentes et des talus
ainsi que pour les soutnements, les tunnels et la protection de
structures enterres. Les rseaux de micropieux ont galement de
remarquables capacits de rsistance aux actions sismiques.
Lobjectif du projet national FOREVER (FOndations
Renforces VERticalement) a t, grce un programme
dtudes et dessais en vraie grandeur, de prciser le
comportement de micropieux isols, en groupe ou en rseau,
puis dtablir des rgles de lart ainsi que des mthodes de
dimensionnement permettant dlargir leur champ dapplication.
Des groupes et rseaux exprimentaux ont t construits et
instruments sur le site du CEBTP St Rmy ls Chevreuse.
La direction du PN comprenait un prsident, un directeur
scientifique et un directeur technique. Le projet a eu
22partenaires et il sest droul de 1993 2001. Son budget sest
lev 5 091 000 dont 754 000 de subvention de la DRAST
et le solde en apport des partenaires (cotisations et apports en
nature). Il est noter que trois partenaires trangers ont fait
partie de Forever : la Federal Highway Administration (EtatsUnis), lUniversit de Canterbury (Nouvelle Zlande) et la
Polytechnic University de New York (tats-Unis)
5.2
Groupes de micropieux. Rsultats exprimentaux.
Il a t confirm, partir de nombreux essais raliss par

Forever en modle rduit (chambre dtalonnage, centrifugeuse)
et dun essai en vraie grandeur, que lespacement S entre les
micropieux dun groupe dans du sable est lun des paramtres les
plus influents sur la capacit portante sous charge verticale. Le
coefficient defficacit Ce , rapport entre la capacit portante
moyenne dun micropieu du groupe et celle du micropieu isol,
varie entre 0,59 et 2,2.
Pour les mmes essais, le nombre N de micropieux du groupe
savre galement tre un paramtre influent : pour N<10 , Ce est
compris entre 0,59 et 1,35, alors que pour N>10 Ce est compris
entre 1,4 et 2,2.
Lordre dinstallation des micropieux a galement une
influence. Ainsi, pour un groupe de 5 micropieux foncs dans un
sable moyennement dense, la mise en place dun 5me
micropieu au centre des 4 autres augmente sa capacit portante
de 40%.

th
En revanche la capacit portante sous charge horizontale dun

groupe de micropieux savre tre semblable celle dun groupe
de pieux.
5.3
Groupes de micropieux. Mthodes de calcul numriques
5.3.1. Programme GOUPEG

En 1994 Maleki et Frank ont dvelopp le programme GOUPEG
pour les groupes de micropieux partir du programme GOUPILLCPC de 1989 qui utilise les fonctions de transfert pour les
chargement axiaux (courbes de mobilisation t-z pour le
frottement latral axial) et pour les chargements latraux
(courbes de raction latrale p-y). Leur tude a consist
introduire dans GOUPEG leffet de groupe dans le cas de forces
axiales. Il sagit dune mthode hybride dans laquelle on
utilise les solutions en lasticit de Mindlin pour calculer de
faon automatique les dplacements induits sur les pieux voisins
et ainsi dterminer les facteurs type y (c'est--dire les
dplacements z) pour corriger les courbes de mobilisation t-z du
frottement latral (et de la rsistance en pointe q-zp). Le
programme GOUPEG a t valid en comparant les coefficients
dinteraction F obtenus avec les solutions bien connues en
continuum lastique de Poulos et Davis (1990).
5.3.2. Interprtation des essais de Rueil Malmaison.
Ces essais furent raliss sur 4 micropieux verticaux : 1
micropieu isol et 1 groupe de 3 micropieux espacs de 1m et
tirs en traction. Ces micropieux taient constitus de tubes
dacier de diamtre B = 89 mm avec une longueur libre de 14 m
dans les alluvions et une longueur scelle de 5 m dans la craie
sous-jacente (B = 125 mm). Ils taient instruments en 8 sections
avec un extensomtre amovible du LCPC pour dterminer le
frottement le long du ft. Plusieurs calculs du chargement en
traction ont t faits avec GOUPEG et chaque fois les lois de
mobilisation du frottement latral furent celles de Frank et Zhao.
Pour linteraction entre les micropieux et lutilisation des
solutions de Mindlin, un module dYoung E= 10 EM (EM module
pressiomtrique) a t pris.
Figure 7. Comparaisons entre les courbes de chargement en traction

mesures et calcules des micropieux du groupe. (Essai de RueilMalmaison)
La figure 7 donne les comparaisons entre les courbes de

chargement mesures en tte de chaque micropieu du groupe et
les courbes calcules avec GOUPEG. suivant 2 hypothses pour
le frottement latral limite (I. Valeur moyenne mesure sur le
micropieu isol. II. Valeur moyenne mesure sur le groupe). Les
rsultats sont satisfaisants sachant que la longueur libre du
micropieu isol est infrieure 14m cause dune remonte de
coulis.
5.3.3. Analyse de lessai de chargement latral St Rmy.
Le programme GOUPEG a t tendu lanalyse des groupes de
micropieux sous chargement latral, toujours avec utilisation des
quations de Mindlin. Il a ainsi permis dtudier les chargements
vertical et latral dessais en vraie grandeur sur le site
exprimental en sable du CEBTP St Rmy, comprenant des
169
micropieux isols et en deux groupes de 4 de caractristiques :

S/B = 2 ; D = 5m ; B = 10 cm ; ID = 0, 57. Les donnes
ncessaires lanalyse taient les courbes t-z pour le
frottement latral, q-z pour la rsistance en pointe et p-y
pour la rsistance latrale, courbes exclusivement tirs des essais
pressiomtriques effectus sur le site. Pour le calcul de leffet de
groupe (interaction pieu-sol-pieu), le module de cisaillement G
du sol (intervenant dans les quations de Mindlin) a d tre
valu. La figure 8 montre la comparaison des rsultats
exprimentaux et des calculs GOUPEG pour le groupe de
micropieux de type II (coulis mis par gravit). On constate que la
mthode pressiomtrique dveloppe pour les pieux est
galement valable pour les micropieux et que, pour le groupe de
micropieux, la tendance donne par GOUPEG reprsente bien la
ralit.
Figure 8. Comparaison des courbes effort-dplacement mesures et

calcules par GOUPEG dans le chargement horizontal dun groupe de
micropieux de type II.(Essai de St Rmy)
5.4
Rseaux de micropieux chargs verticalement.
Les recherches exprimentales sur les rseaux de micropieux,

dans lesquels tous les micropieux sont inclins et o des
chargements verticaux ont t effectus, sont rares. Les
nombreux essais raliss dans FOREVER sur des rseaux
chargs verticalement dans du sable ont permis danalyser
linfluence des paramtres suivants : espacement des
micropieux, densit du sable, densit et enchevtrement des
micropieux.
Lorientation des micropieux dans un rseau est caractrise
par deux angles : langle de linclinaison du micropieu avec la
verticale et langle , appel angle denchevtrement, entre le
plan vertical contenant le micropieu et le plan vertical tangent au
cercle horizontal centr au milieu de la fondation et passant par
la tte du micropieu. Un rseau enchevtr est caractris par des
valeurs ngatives de (<0ou >180) qui permettent aux
micropieux davoir des distances entre eux plus faibles quen
tte conduisant un plus grand confinement du sol entre les
micropieux.
Les premiers rsultats exprimentaux ont t tablis par Lizzi
(1978) qui a compar en modle rduit au 1/10 les
comportements dun groupe et dun rseau de 18 micropieux
chacun. Lamlioration apport par le rseau tait donn par le
coefficient defficacit Ce = 1,68 , rapport entre les capacits
portantes du rseau et du groupe, ou Ce0 = 1,22 , rapport entre la
capacit portante du rseau et la somme des capacits portantes
des micropieux isols verticaux.
Le PN FOREVER a ralis un ensemble de 20 essais sur des
rseaux dans du sable (vraie grandeur, centrifugeuse, cuve,
chambre dtalonnage) en faisant varier les paramtres. Le
premier rsultat est la grande dispersion des valeurs du
coefficient Ce0 (0,51 2,93) qui sexplique en partie par le mode
de mise en place des micropieux : fonage, forage, moulage.
Lespacement relatif S/B napparat pas comme un paramtre
principal. La densit du sable na gure pu tre tudie car pour
tous les essais lindice de densit ID du sable tait voisin de 0,5
th
correspondant un sable moyennement lche. Quant la densit

de micropieux ou leur nombre N, il apparat quil faille un
nombre minimum de micropieux par unit de volume pour
conduire un effet de groupe positif. En ce qui concerne
lorientation des micropieux et les valeurs des angles et , il
na l aussi pas t possible de dgager deffet prcis car trop
peu dessais permettaient de faire varier lun de ces deux
paramtres en gardant tous les autres constants. Il peut cependant
tre confirm que linclinaison dun micropieu isol est
dfavorable pour sa capacit portante verticale compare celle
du mme micropieu en position verticale. Cependant il a t
montr, sur les rseaux simples que constituent les chevalets,
quun mcanisme spcifique aux micropieux inclins se
dveloppe lors dun chargement vertical, savoir la mobilisation
progressive dune bute avec flexion sur les micropieux. Ce
phnomne, qui a t galement mis en vidence dans les tudes
numriques effectues au CERMES, peut conduire une
capacit amliore par rapport celle du groupe quivalent.
Les essais en cuve effectus au Laboratoire 3S de Grenoble
ont utilis des rseaux ayant un nombre nettement plus lev de
micropieux (N = 18) et un meilleur enchevtrement ( < 0 et
> 180 avec des intersections de micropieux) comme le montre
la figure 9. Dans le cas dun rseau quasi cylindrique (dfini par
= 20 et = - 30/ 210), il est observ un effet positif sur la
capacit portante par rapport au groupe quivalent, commenant
ds les petits dplacements. Dans tous les cas on observe un
phnomne dcrouissage confirmant le phnomne de bute du
sol sur des inclusions longues et flexibles.
Commentaires sur les rseaux chargs latralement.
Les essais de chargement horizontal nont concern que des

rseaux simples : doubles chevalets sur le site de St Rmy ls
Chevreuse, simples chevalets sur les sites en Alabama (Etats
Unis) et St Maurice. Ils confirment que linclinaison des
micropieux a un large effet bnfique sur la rsistance aux
efforts latraux. Ces cas ne sont que des chargements statiques,
mais les rsultats sont similaires pour des chargements
dynamiques ou sismiques.
En ce qui concerne les doubles chevalets de St Rmy-lsChevreuse, la rsistance horizontale est 2 3 fois plus grande
que celle du groupe avec un espacement relatif S/B = 2. Les
tudes numriques effectues au CERMES ont confirm ce
rsultat.
5.6
5.6.1. Groupes de micropieux

Les rsultats exprimentaux ont montr un effet de groupe
positif (Ce > 1) pour les groupes comprenant un grand nombre de
pieux flexibles, effet qui est principalement d au confinement
du sol entre les micropieux. Ce point est confirm par les fortes
valeurs du frottement latral dans les cas o il a pu tre mesur.
Leffet de groupe atteint un maximum pour un espacement
relatif entre micropieux S/B = 2,5 4. Pour des valeurs plus
leves, le confinement est rduit et la capacit portante du
groupe tend vers la somme des capacits portantes des
micopieux isols (Ce =1). Il est vident que le confinement peut
tre amlior par une mthode approprie de mise en place des
micropieux (battage ou fonage dans les sables lches par
exemple).
En ce qui concerne les reprises en sous-uvre, il est
confirm, comme lont montr les travaux et les tudes sur le
Pont de Pierre Bordeaux, que les micropieux sont une solution
efficace et adapte pour stabiliser les mouvements des
fondations des structures anciennes
5.6.2 Rsistance des groupes de micropieux aux efforts
horizontaux.
Les expriences conduites sur des groupes de micropieux
chargs horizontalement montrent que les effets de groupe sont
comparables ceux de pieux de diamtres conventionnels :
- la rsistance totale dun groupe de micropieux est infrieure
la somme des rsistances de tous les micropieux cause de
leffet dombre des pieux de devant sur les micropieux situs
derrire, mais cet effet ngatif peut tre nglig lorsque
lespacement atteint 6 7 diamtres ;
- lorsque les micropieux sont placs en une range
perpendiculaire la direction du chargement, la rsistance du
groupe est diminue par les interactions mcaniques dans le sol.
Cette diminution est cependant modre et peut tre nglige
lorsque lespacement dpasse 3 diamtres ;
- des micropieux mis en place par refoulement du sol
prsentent une plus grande raideur dans un chargement
horizontal que des micropieux mis en place par des techniques
ne refoulant pas le sol.
Figure 9. Rseau 18 micropieux du Laboratoire 3S de Grenoble.
5.5
347 pages Synthse des rsultats et recommandations du Projet

National sur les micropieux, dit par les Presses des Ponts. Une
traduction en anglais a t dite par lAssociation ADSC aux
Etats Unis pour le compte de la Federal Highway
Administration. Par ailleurs, lensemble des rsultats
scientifiques de louvrage de synthse a servi de base plusieurs
recherches complmentaires dans des universits trangres. Sur
un autre plan, la recherche collaborative mene loccasion du
Projet National FOREVER a suscit la cration dune Socit
Internationale des Micropieux (ISM International Society for
Micropiles) regroupant les praticiens dAmrique du Nord,
dEurope et du Japon.
Conclusions et recommandations.
Les travaux du PN FOREVER ont fait lobjet de plus de 70

rapports et articles. Ils ont abouti la rdaction de louvrage de
170
5.6.3 Mthodes numriques pour estimer les dplacements dun

groupe de micropieux.
Les recherches effectues dans FOREVER ont permis le
dveloppement du programme GOUPEG qui utilise les fonctions
de transfert (t-z) et (p-y) ainsi que llasticit linaire pour les
interactions entre les micropieux. Ce programme est bien sr
galement valable pour les pieux.
Pour calculer le dplacement des groupes de micropieux, il
faut distinguer deux types deffet de natures diffrentes :
- les effets dus la technique de mise en place qui modifie les
proprits du sol au voisinage et linterface sol/micropieu
(effets qui ne peuvent tre questims car impossibles
calculer) ;
- leffet d linteraction mcanique entre les micropieux qui
est ajout aux dplacements
th
5.6.4. Rseaux de micropieux

En dpit du fait que les tudes et essais, raliss par FOREVER
ne soient pas suffisamment exhaustifs, on peut nanmoins
donner les conclusions suivantes :
- Un rseau, quel que soit son nombre de micropieux, a un
meilleur comportement que le groupe quivalent.
- En ce qui concerne le comportement sous charge verticale,
les rsultats exprimentaux sont pour le moins contradictoires.
- Pour obtenir un effet de rseau positif, les recommandations
faites pour les groupes doivent bien sr tre suivies,
particulirement en ce qui concerne le nombre et la longueur des
micropieux ainsi que le confinement du sol.
- Dans les sols granulaires lches moyennement denses, qui
sont les plus avantageux renforcer par micropieux, il est
possible dobtenir un effet de rseau positif en comparaison avec
le groupe quivalent si on assure un confinement adquat du sol
et, galement, si les micropieux sont concentrs autant que
possible directement sous la charge applique. Cela implique que
les micropieux ne sortent pas de la surface de la fondation,
mais au contraire se dirigent vers lintrieur ( < 0), pour assurer
un clouage maximum du sol. Cela est assez similaire au
concept propos par Lizzi : une fondation de sol renforc se
comportant comme un monolithe.
- Pour les sols granulaires denses qui sont difficiles
compacter, il nest pas possible dobtenir un effet de rseau
positif.
- Il nest pas possible lheure actuelle de dimensionner un
rseau de micropieux, sauf sil sagit dun rseau simple
(chevalet). Cependant des mthodes se dveloppent actuellement
utilisant les fonctions de transfert ou les techniques
dhomognisation.
- Dun point de vue pratique, lide qui prvalait la fin de
FOREVER tait quil tait plus avantageux de ne chercher un
effet de rseau que dans le cas des micropieux fors et injects
par gravit. Pour les micropieux injects sous forte pression du
type IRS (injection rptitive et slective), il est raisonnable de
penser quils travailleront plus isolment en groupe ou en en
rseau simple.
5.6.5. Comportement sismique des micropieux.
Lanalyse des dommages causs par des sismes, comme ceux
de Loma Prieta et de Kob, a montr que les fondations qui
utilisaient des pieux en acier de petit diamtre ont mieux rsist
aux sollicitations sismiques que les pieux en bton de large
diamtre. Cette observation plaide en faveur de lutilisation de
micropieux pour les fondations en zone sismique car ils
prsentent la fois flexiblit, ductilit et rsistance la traction.
Les micropieux savrent particulirement intressants pour
rparer des structures qui ont subi des dommages lors de
tremblements de terre. Cette technique offre en effet aux
ingnieurs beaucoup de possibilits dans le dimensionnement
(nombre, inclinaison et arrangement des micropieux) ainsi
quune facilit de mise en place qui rend son utilisation
comptitive, en particulier dans les zones daccs difficile.
Lutilisation des micropieux comme technique de
renforcement (groupes et rseaux) prsente beaucoup
davantages supplmentaires car elle permet de crer un
composite sol/structure dot de proprits mcaniques
particulires concernant la rigidit, la rsistance et avant tout la
stabilit durant les tremblements de terre, en particulier dans les
sites prsentant un risque de liqufaction du sol.
La recherche faite par FOREVER sur ce sujet a inclu des
essais en centrifugeuse, des modlisations tridimensionnelles aux
lments finis et galement de simples modles avec ressorts et
dashpots (voir Shahrour et Juran, 2004). Elle a permis une
meilleure comprhension du comportement des micropieux sous
sollicitaion sismique. Les principaux rsultats obtenus sont les
suivants :
a) Les efforts transmis aux micropieux rsultent dune
interaction cinmatique et dune interaction inertielle.
171
Linteraction cinmatique est modre pour des micropieux

verticaux utiliss comme lments de fondation. La grande
flexibilit des micropieux permet le calcul des efforts dus
leffet cinmatique en supposant que les micropieux suivent le
dplacement du sol en champ libre.
b) Les forces dinertie, rsultant de lacclration de la
structure, transmettent au groupe de micropieux une force
latrale et un moment de renversement. Les efforts latraux et les
moments de renversement provoquent des forces de compression
et de traction dans les micropieux. Il est donc ncessaire de
dimensionner les micropieux pour quils rsistent ces forces et
de prendre les mesures ncessaires pour que la fixation entre le
micropieu et la semelle rsiste aux forces de traction. Il faut
noter que ce phnomne plaide en faveur de lutilisation des
micropieux dans les zones sismiques.
c) Les systmes de micropieux prsentent un effet de groupe
positif qui peut tre attribu un effet de structure rsultant de la
fixation des micropieux dans la semelle. Cet effet rsulte de la
rduction du moment de flexion dans les micropieux et des
dplacements en tte lorsque lespacement entre micropieux
dcroit. En labsence de quantification, cet effet peut tre nglig
car il est conservatif.
d) Labsence de dommages observe dans plusieurs
tremblements de terre montre un comportement favorable des
pieux inclins et flexibles. Les tudes effectues par FOREVER
montrent que linclinaison des micropieux conduit une
augmentation de la raideur de la fondation par rapport au
chargement sismique et une augmentation des forces axiales
dans les micropieux.
e) Lutilisation de micropieux dans les sols liqufiables
prsente un grand intrt. En effet les rsultats obtenus en
centrifugeuse montrent que les micropieux confinent le systme
sol/micropieux, ce qui a pour effet de rduire le mouvement du
sol, de retarder le dveloppement de la pression interstitielle et
ainsi de rduire le risque de liqufaction.
f) La comparaison des rsultats des essais en centrifugeuse
avec ceux de la modlisation par lments finis et avec ceux des
mthodes de calcul simplifies bases sur le modle de Winkler
montre que ces dernires peuvent tre utilises pour le
dimensionnement sismique des micropieux en fondation.
g) Le dimensionnement des micropieux en zone sismique doit
prendre en compte tous les autres paramtres du projet,
notamment les frquences (chargement, structures, couches de
sol, etc.).
6
6.1
LE PROJET NATIONAL VIBROFONAGE

Introduction
Le Projet National Vibrofonage a t pilot par lIREX la

suite d'une tude exploratoire (mars 1998), puis d'une tude de
faisabilit (janvier 1999). Les conclusions du PN ont t
prsentes en septembre 2006. La journe de restitution tait
associe au symposium international TRANSVIB 2006..
Le budget global de ce projet tait de 1 152 000 euros H.T.,
dont une subvention de la Direction de la Recherche du
Ministre des Sciences et des Techniques de 246.000 euros H.T.,
le solde en apports en nature et cotisations des partenaires. La
plus grande part de ce budget a t consacre aux
exprimentations et mesures sur sites.
Faisant suite au Projet National TUBA, consacr au fonage
de pieux par battage, ce P.N. sest intress la technique plus
rcente de fonage dlments mtalliques linaires (tubes,
palplanches) dans le sol par vibrage (Figure 10).
th
vibrage ont t quips en tte de jauges de dformation et

dacclromtres (quipement de contrle de battage dvelopp
par TNO).Les mesures effectues en tte seulement nont pas
donn lieu une interprtation dtaille.
Les essais du Havre raliss en dcembre 2002.,sur un site
mis disposition par le Port Autonome du Havre dans la zone du
complexe ptrochimique proximit du pont de Normandie.
Les coupes des terrains et leurs caractristiques
gotechniques sont rsumes dans le tableau 2 ci-aprs :
Vibrateur
Elment
TABLEAU 2 : Caractristiques gotechniques site du Havre
TASSEMENT
Sol
Niveau d'eau
Figure 10. Vibrofonage : Reprsentation schmatique (Holeyman,

2002)
Il sest conclu en 2006 par ldition dun Guide Technique du

Vibrofonage, simultanment en franais et en anglais distribu
aux participants du Symposium international Transvib 2006
qui sest tenu en septembre 2006 Paris, et a t largement
diffus depuis.
6.2
Programme ralis
Les tudes et travaux raliss au cours du P.N. Vibrofonage ont

comport trois tranches ayant chacune plusieurs phases :
- Tranche 1 : enqute sur les pratiques, synthse des
recherches antrieures et prparation de la tranche 2 incluant des
essais sur site et des exprimentations ;
- Tranche 2 : ralisation dessais instruments de
vibrofonage et de chargement de pieux sur sites, et dessais en
chambre dtalonnage en laboratoire ;
- Tranche 3 : analyse et interprtation des rsultats des
exprimentations, mise au point dun code de calcul de prvision
de vibrofonage (logiciel BRAXUUS), rdaction dun guide
technique, valorisation des rsultats (organisation de Transvib
2006).
TABLEAU 1 : Caractristiques gotechniques site de Montoir
Les exprimentations de la tranche 2 ont eu lieu sur quatre

sites :
Les essais de Montoir raliss en Aot 2001.Un plot dessais
grandeur nature a t ralis loccasion du prolongement du
Terminal marchandises diverses et conteneurs du port de
Montoir (Port Autonome de NantesSaint Nazaire).
Deux tubes mtalliques ferms la base de 339 mm de
diamtre et 14 mm dpaisseur, (longueur 32m) instruments
plusieurs niveaux (jauges de contraintes, acclromtres) ont t
foncs par vibrage. Lun des pieux a t surbattu pour apprcier
sa portance par un essai dynamique. Un essai de chargement
statique t ralis sur lautre pieu, pour comparaison avec les
rsultats dun essai de chargement statique ralis sur un pieu
battu de mme type sur le mme site en 1999.
Les essais de Dunkerque raliss en Janvier 2002.Trois tubes
ouverts la base dun ouvrage en cours de ralisation foncs par
172
Une palplanche PU16 (longueur 14m) et une sonde (longueur

14,5m) provenant dune exprimentation antrieure (sonde
SIPDIS) ont t mises en place. La sonde tait instrumente en
trois niveaux, la palplanche en tte et en pied, un tube en tte et
en pied, lautre en tte seulement. Des mesures de vitesses
particulaires en surface du sol ont t effectues pendant la mise
en place des deux tubes et de la sonde.
Les essais de Merville raliss de mars juin 2003.sur le site
exprimental de larodrome de Merville gr par le laboratoire
des Ponts et Chausses Ils ont eu pour but de mesurer
comparativement les comportements dlments battus et foncs
par vibrage dans largile des Flandres.
TABLEAU 3 : Caractristiques gotechniques site de Merville
Deux tubes ouverts (longueur 12,3m) de diamtre 508mm et

deux paires de palplanches AU16 (longueur 13m) ont t mis en
place dans les conditions dun chantier exprimental. Pour
chaque type dlment, lun a t fonc par vibrage au moyen
dun vibrateur ICE 815 et lautre battu la mme profondeur
avec un marteau IHC S70.Les lments taient instruments en
tte et en pied. La force de retenue, la longueur de la fiche, la
pression et le dbit du groupe hydraulique pour le vibrofonage,
lnergie du marteau pour le battage, et les vitesses particulaires
la surface du sol des distances de 5, 10 et 15 mtres de
llment ont t mesurs en continu au cours de son
enfoncement. Chacun deux a ensuite t soumis un essai de
chargement statique instrument afin de comparer la portance
obtenue pour chacun des deux types de mise en place.
En complment, des essais de modlisation physique du
processus de fonage par vibrage ont t mens dans la chambre
dtalonnage du CERMES au laboratoire de lENPC Marne la
Valle. Une sonde prototype de fonage par vibrage a t
dveloppe, qui peut tre enfonce dans un massif de sable
reconstitu en chambre dtalonnage grce un servovrin
hydraulique. La sonde, dune section droite de 10cm (standard
pntromtrique) est instrumente pour mesurer la rsistance en
pointe , ainsi que le frottement local sur un manchon spcifique.
Elle est, de plus, quipe dun acclromtre en pointe. Ltude
paramtrique ralise par des essais force contrle et
dplacement contrl a mis clairement en vidence linfluence
des paramtres de base (force statique moyenne, amplitude et
frquence de la force cyclique) sur le droulement du processus.
Ces essais constituent un modle physique qui peut tre simul
laide de logiciels et, en particulier, du logiciel BRAXUUS,
dvelopp au cours du P.N.

th
Rsultats remarquables
6.4.1. Pntrations dans le sol

Nous nous contenterons de souligner ici, parmi les nombreuses
donnes exprimentales et les interprtations auxquelles elles ont
donn lieu, ce qui nous parait novateur et susceptible de nous
faire progresser dans la connaissance et la comprhension des
phnomnes observs.
En premier lieu, toutes les mesures des variables fonction du
temps les ont montres priodiques, et peuvent donc tre
dcomposes en une valeur constante pendant la priode
considre (valeur moyenne) et une fonction du temps dont la
valeur moyenne sur une priode est nulle. La vitesse
denfoncement peut tre suppose constante sur une priode, et
lacclration moyenne nulle.
Mais les mesures montrent aussi que leffet des vibrations ne se
rsume pas diminuer les frottements le long du ft du pieu : la
pntration nest pas due au seul poids de lensemble pieu +
vibrateur + pinces. Les variations priodiques et alternatives des
vitesses particulaires du pieu servent aussi mobiliser les forces
de frottement pour aider vaincre la rsistance du sol sous la
pointe du pieu, comme on peut le constater sur les graphiques
reprsentant les valeurs moyennes des forces de frottement et de
la rsistance en pointe pour les essais de Merville (pieu-tube et
palplanche) (Figure 11).
173
fiche (m)
Flatral
Fpointe
poids du
systme
4
poids du
systme
6
Flatral
8
Merville
tube
Fpointe
Merville
palplanche
10
10
-1000 -500 0
500 1000
-500 -250 0
250 500
force (kN)
force (kN)
Figure 11. Force en pointe et frottement latral - Valeurs moyennes
En effet, linterprtation des mesures permet de sparer

leffort exerc par le sol sous la pointe du pieu des effets latraux
sur le ft du pieu. Deux mthodes diffrentes ont t utilises
pour cela au cours du P.N. Nous attirons lattention sur lanalyse
expose par Dominique Vi dans les actes du Symposium
Transvib 2006 (LCPC, ISBN 2-7208-2466-6, p.195-208) .La
mthode expose, base sur une analyse rigoureuse des
vibrations enregistres par les mesures, devrait, notre avis,
simposer pour linterprtation des mesures faites sur les
chantiers quand on dispose denregistrements en tte et en pied
ou plusieurs niveaux (dont un hors sol) dun pieu.
300
300
force (kN)
150
0
-150
-300
5,15 m -5
tube
0
dplacement (mm)
150
0
-150
-300
6,90 m -5
0
palplanche dplacement (mm)
Figure 12. Mesures et lois de comportement modlises Merville

200
200
100
100
force (kN)
6.4
force (kN)
Guide technique 2006 : Vibrofonage Vibratory pile

driving, Presses des Ponts, ISBN 2-85978-423-3, 282 pages. Le
guide technique 2006 Vibrofonage donne des rponses, la
lumire des connaissances actuelles et des rsultats
exprimentaux, aux questions que se posent les utilisateurs de la
technique du vibrofonage :
- choisir la technique et le matriel ;
- prvoir la fiche et les rendements (logiciel BRAXUUS) ;
- apprcier les nuisances possibles des travaux ;
- estimer la portance des lments aprs leur mise en place.
Il comprend un texte en franais et en anglais dcrivant les
matriels, leurs choix, les logiciels de calcul existant, une
analyse des essais de fonage et de portance, une bibliographie et
une liste des normes et recommandations ainsi que des rapports
internes du projet national.
Lannexe A rassemble des lments thoriques. Lannexe B
prsente la synthse des exprimentations en grandeur relle et
en laboratoire. Lannexe C prsente les logiciels de prvision de
vibrofonage et en particulier le logiciel BRAXUUS du projet
national (fourni sur un Cdrom avec le guide technique).
Lannexe D prsente les documentations de constructeurs
partenaires du projet.
Holeyman A., Vanden Berghe J.-F., Charue N. (2002)
TRANSVIB 2002 : Vibratory pile driving and deep soil
compaction, Balkema, ISBN 90-5809-521-5, 233 pages.
Gonin H., Holeyman A., Rocher-Lacoste F. (2006)
TRANSVIB 2006 : Actes du Symposium International sur le
Vibrofonage et la Vibrocompaction, publi par le LCPC, ISBN
2-7208-2466-6, 400 pages.
TRANSVIB est un symposium international runissant
priodiquement toutes les personnes et organismes intresss par
le vibrofonage des pieux et des palplanches et le compactage en
profondeur des sols. Il donne lieu la publication dactes. Le
premier a eu lieu en 2002 en Belgique Louvain-la-neuve, le
second en 2006 en France Paris pour la valorisation et dans la
continuit du projet national vibrofonage. Il serait hautement
souhaitable quune troisime dition ait lieu dans un avenir
proche
fiche (m)
Publications
force (kN)
6.3
0
-100
-200
-100
-200
0
12 m
5
10
dplacement (mm)
15
17 m
10
15
dplacement (mm)
Figure 13. Mesures et lois de comportement modlises. Montoir
A titre dexemple, nous donnons sur les figures ci-aprs les

graphiques Force-dplacement (composantes priodiques
seulement) obtenus Merville (Figure 12) pour le tube et une
palplanche, et pour les tubes de Montoir (Figure 13), aussi bien
pour la pointe que pour la rsultante du frottement latral .On
notera les formes dellipses quasi-parfaites obtenues Merville
(Figure 3), qui peuvent tre fidlement modlises par une loi
visco-lastique linaire, alors que la modlisation par une loi
lasto-plastique est moins vidente pour les essais de Montoir.
6.4.2 Force portante des pieux vibrofoncs.
Suite aux travaux bibliographiques et aux donnes
exprimentales recueillies en ralisant des essais instruments
avec une chane extensomtrique, en vraie grandeur (Figure 14),
th
(Luxembourg). Ces travaux ont donn et donneront lieu

publication des thses de doctorat suivantes :
- Hanus V. (2010) Analysis and modelling of the noise
generation during vibratory pile driving and determination of the
optimization potential, Universit du Luxembourg.
- Rocher-Lacoste F. (2008) Etude exprimentale en vraie
grandeur et tude numrique des pieux vibrofoncs : Vibrations
dans lenvironnement et capacit portante, ENCP, France.
- Whenham V. (2011) A study on energy transfers during pile
vibratory driving, Universit Catholique de Louvain & CSTC,
Belgique.
Dune manire prospective, on peut souhaiter, outre
lorganisation dun nouveau Transvib, la multiplication des
instrumentations sur chantier et lutilisation systmatique des
mthodes dinterprtation mises au point pour le P.N., et la
poursuite dun programme dessais en chambre dtalonnage
jumel avec lutilisation de BRAXUUS, priori bien adapt
pour leur modlisation. Des essais grandeur nature laide dun
micro pieu spcialement instrument seraient galement trs
utiles sur les chantiers pour en tirer des enseignements pratiques,
et cela pour un investissement raisonnablement limit dans le
cadre dune recherche applique.
Figure 14. Dispositif de raction de chargement statique Merville
des recommandations ont t dduites pour dimensionner les

pieux mis en uvre par vibrage. Par rapport aux tubes battus
ouverts, aux pieux H battus et aux palplanches battues, il a lieu
de faire un abattement de 30% sur le frottement latral et de 50%
sur la rsistance de pointe. Ces recommandations ont t
utilises pour la rdaction de la norme dapplication nationale de
lEurocode 7 : dimensionnement et justification des fondations
profondes (NFP94-262).
7 LE PROJET ASIRI SUR LE RENFORCEMENT DES

SOLS DE FONDATION PAR INCLUSIONS RIGIDES.
6.4.3 Impact sur lenvironnement et nuisances

Le projet national a cherch comparer les nuisances
acoustiques et vibratoires entre le fonage par vibrage et par
battage pour mieux les comprendre. Une bonne connaissance des
niveaux et des puissances acoustiques des matriels de fonage
par battage et par vibrage est ncessaire pour rduire cette
nuisance et rendre le chantier le plus furtif possible. L'tude
bibliographique et lanalyse de cinq chantiers de fonage
permis de dire que la puissance acoustique qui caractrise les
engins de chantier est suprieure de 5 20 dB(A) pour les
moutons de battage et les trpideurs par rapport aux vibrateurs.
Le fonage par vibrage et par battage de pieux engendre des
ondes dans le sol. Une tude rglementaire a t effectue en
comparant 14 rglements, d'ou il ressort une grande disparit. La
bande de frquence rglemente pour les nuisances vibratoires
est comprise entre 1 et 100 Hz, et pour ce qui est des vitesses
particulaires, les seuils imposs vont de 1 100 mm/s.
Gnralement, les normes nationales comportent trois bandes
diffrentes de seuils suivant le type de structures soumises aux
vibrations. En conclusion, on peut noter que, parmi les niveaux
imposs par les diffrentes normes europennes, les seuils
franais sont plus scuritaires que la moyenne des normes
tudies.
Pour essayer de mieux comprendre ce phnomne de
propagation des vibrations de chantier, une modlisation 2D par
lments finis a t entreprise avec le logiciel CESAR-LCPC en
dynamique linaire. Un modle axisymtrique a t choisi. et
deux paires de AU 16 fonces par vibrage ont t tudies.
Globalement la modlisation a donn des rsultats satisfaisants
pour de faibles enfoncements qui reprsentent la majorit des
travaux urbains. Mais il subsiste toutefois des incertitudes et des
calages qui ont ncessit l'introduction d'un coefficient
d'amortissement dans le modle numrique (formulation de
Rayleigh) pour se rapprocher de la ralit. Il est regretter
l'absence de mesures exprimentales plus de 15 m. de la
source.
6.5
Prolongements et prospective
Des travaux de recherche se poursuivent dans le domaine du

P.N.au Laboratoire des Ponts et Chausses (France), au Centre
Scientifique et Technique de le Construction (Belgique) et la
Facult des Sciences, de la Technologie et de la Communication
174
7.1
Objectifs et organisation
Le concept de fondation sur un sol renforc par inclusions

rigides associe des lments verticaux trs peu dformables
une semelle ou un radier par lintermdiaire dun matelas,
appele couche de rpartition, souvent granulaire, mais sans
quil y ait de liaison mcanique rigide entre eux. La figure 10
montre ainsi la constitution dune fondation sur inclusions
rigides.
Figure 15. Fondation sur inclusions rigides
Cette technique permet de rduire considrablement les

tassements du massif de fondation sous les charges appliques,
tout en amliorant sa stabilit. Aprs avoir t utilise en
Scandinavie, Royaume Uni et Allemagne principalement pour
des remblais (remblais fonds sur pieux) dans des zones de sol
compressible), elle sest bien dveloppe, notamment en France,
avec des applications originales des ouvrages de grande surface
comme les dallages industriels. Le champ dapplication est trs
large depuis les ouvrages simples jusquaux ouvrages
exceptionnels comme les fondations du pont de Rion-Antirion en
Grce.
Les objectifs du Projet ASIRI ont t les suivants, grce des
recherches exprimentales diversifies et des mthodes
danalyse numrique appropries, :
th
a) Combler le manque de donnes exprimentales de

rfrence et appuyer le dveloppement spcifique observ en
France vers des fondations de grande surface.
b) Mieux comprendre les mcanismes de transfert de charge
dans le matelas de rpartition plac la base dun remblai sur
inclusions rigides ou sous une fondation tendue comme un
dallage ou un radier.
c) Mettre au point des mthodes de dimensionnement : en
particulier disposer de modlisations numriques dtailles de
rfrence et laborer des mthodes simplifies pouvant tre
appliques aux ouvrages usuels.
d) laborer un modle global englobant le matelas et le sol
renforc, dans lequel le sol porte une partie de la charge.
e) valuer les effets de points durs dans le cas des dallages et
pouvoir valuer les sollicitations de flexion dans ces dallages.
f) Accompagner le dveloppement de la technique en
laborant des recommandations pour la conception, lexcution
et le contrle des travaux de renforcement par inclusions rigides.
La direction du projet a comport un prsident, un vice
prsident, un directeur scientifique et un responsable du suivi par
lIREX.
Le Projet ASIRI a comport 40 partenaires rpartis entre le
monde de la construction et le monde universitaire. Son budget a
t de 2 389 280 dont une subvention de la DRAST de 478 000
et le solde par les cotisations et apports en nature des
partenaires. Sa dure a t de 5 annes de 2005 2010
7.2
Programme gnral
Le projet ASIRI a t dvelopp en cinq thmes entre 2005 et

2011 :
1) Exprimentations en vraie grandeur de remblai ou de
dallages sur inclusions rigides.
2) Instrumentation douvrages rels raliss dans des
conditions gotechniques varies.
3) Modles physiques en centrifugeuse ou en chambre
dtalonnage.
4) Caractrisation complte du comportement mcanique des
matriaux grossiers utiliss dans les matelas de rpartition des
ouvrages exprimentaux ou des modles physiques
5) Modlisations numriques de rfrence.
En parallle, ont t rdiges entre 2005 et 2011 des
Recommandations dtailles comportant huit chapitres. Cet
important programme a t le support de 9 thses de doctorat. Il
faut enfin noter que le Projet a t ncessairement centr sur les
points cls de la technique et de son dimensionnement, ce qui a
impos de dlaisser des points galement importants comme le
chargement latral des fondations ou les sollicitations cycliques.
7.2.1
conditions en section courante dun ouvrage, en particulier sans

effet de bord.
Des instrumentations trs compltes ont permis de mesurer
les efforts repris sur les ttes dinclusion et entre les inclusions,
ainsi que le tassement au niveau des ttes et au sommet du
matelas de rpartition. Des tassomtres multipoints avaient t
placs sur lpaisseur du sol compressible, ainsi que des
inclinomtres sous les talus. Des transducteurs offrant une
prcision de lordre du cm avaient en plus t mis dans les plans
de mesure. Enfin les nappes de renforcement utilises sous les
remblais avaient t instrumentes par des fibres optiques.
7.2.1.2 Principaux enseignements
Les deux exprimentations en vraie grandeur ont apport une
bonne amlioration des connaissances sur le comportement et le
mcanisme de la technique des inclusions rigides. Parmi les
points gnraux ou plus particuliers, on peut faire les remarques
suivantes :
a) La rduction significative des tassements des ouvrages sur
inclusions rigides par rapport au cas du sol non renforc (facteur
de 5 6) est confirme.
b) Entre les ttes des inclusions, la dforme du sol savre
plane et il se confirme que lefficacit en tassement est toujours
meilleure que lefficacit en contraintes.
c) A la base dun remblai fond sur un massif de sol renforc
par inclusions rigides, une couche de rpartition ou matelas de
bonne qualit joue un rle dterminant pour un bon transfert de
charge entre le remblai et les inclusions.
e) Une gogrille de renforcement dans la couche de
rpartition apporte une meilleure efficacit quune nappe en
gotextile. Les dformations subies lors de la mise en place et du
compactage de cette couche paraissent avoir un rle dterminant
(bien soulign par les fibres optiques). Un matelas de rpartition
renforc par deux gogrilles sest rvl avoir pratiquement le
comportement dune dalle arme reposant sur les ttes
dinclusions.
.Ouvrages exprimentaux
7.2.1.1. Spcificits
Deux sites lun Saint-Ouen-lAumne, lautre Chelles ont
permis de raliser deux exprimentations en vraie grandeur
douvrages sur inclusions rigides: un remblai dune part, des
dallages supportant une charge rpartie dautre part.
Chacun des deux ouvrages a comport un plot non renforc
pour servir de rfrence et a fait lobjet dessais de chargement
sur des inclusions isoles. Cela a permis de juger de lefficacit
de la technique en contrainte et galement en tassement. Il a par
ailleurs t compar les comportements avec des inclusions
mises en place par refoulement du sol et sans refoulement.
Des reconnaissances gotechniques spcifiques ont t
ralises avec des sondages carotts, des essais en place et des
essais de laboratoire. Le matriau du matelas (grave industrielle)
a notamment fait lobjet dessais triaxiaux en diamtre de 300
mm qui ont permis de dresser une base de donnes de rfrence
pour des matriaux graveleux.
Chaque plot renforc comportait 16 inclusions permettant
davoir une maille centrale parfaitement reprsentative des
175
Figure 16. St Ouen-lAumne.(Plot de dallage). Comparaison entre le

chargement du plot exprimental et un essai de chargement dun
micropieu avec mesures en tte et en pointe
f) Le comportement observ sur la tte dune inclusion en

maille courante dun plot duplique le comportement observ en
pointe dune inclusion isole charge axialement en tte, comme
le montre la figure 16, ce qui est un rsultat important montrant
que globalement les frottements latraux positif et ngatif
squilibrent. Mais on doit considrer quil nest valable que si
les inclusions reposent sur un substratum rsistant. Il est donc
important de pouvoir modliser de manire correcte le
comportement de la pointe dune inclusion pour assurer une
bonne reprsentation du modle numrique complet. Ce rsultat
a amen imposer le calage pralable des modles numriques
en simulant, dans le modle prpar, le comportement dune
inclusion isole sous chargement axial pour comparer la rponse
th
obtenue soit aux rsultats dun essai spcifique, soit ceux dune
simulation semi-empirique par les courbes de transfert, dont la
reprsentativit est bien dmontre. Ainsi est soulign lintrt
des essais de chargement dinclusions isoles pour une bonne
conception des ouvrages.
g) Les rsultats de ces exprimentations montrent que le sol
renforc subit galement des dformations latrales en
priphrie, lesquelles doivent tre prises en compte dans le
dimensionnement des inclusions (ncessit darmer ou non les
inclusions places en rive). Il a t mesur un rapport de 0,25
entre le dplacement horizontal maximal et le tassement au
centre de la zone renforce, rapport comparable celui
applicable sous les talus des remblais sur sols compressibles.
h) Ces exprimentations ont galement montr limportance
dune bonne caractrisation gotechnique des sites. Les mrites
du pntromtre statique ont t reconnus et la ralisation
dessais oedomtriques est indispensable. Les essais
pressiomtriques permettent quant eux une bonne corrlation
avec lexprience relative aux fondations profondes (valeurs
limites du frottement latral et/ou de la charge en pointe, allure
des courbes de transfert et laboration des courbes de
chargement dinclusions isoles).
7.2.2 Instrumentation douvrages rels
Les rsultats des exprimentations en vraie grandeur ont t
complts par des instrumentations sur des chantiers douvrages
rels afin dy collecter des donnes supplmentaires sur le
comportement des inclusions dans des conditions varies. Plus
dune dizaine douvrages ont ainsi t instruments parmi
lesquels on peut citer : une fondation dolienne, un radier pour
infrastructure de dchets faiblement radioactifs, un cadre en
bton arm enterr, un rservoir de traitement deaux uses, un
dallage industriel pour examiner lincidence de charges
ponctuelles (pieds de racks ou roues de chariot).
Il faut signaler les difficults inhrentes ces chantiers, dont
la plus importante est de prserver les capteurs et leurs
connexions durant les phases successives de travaux.
7.2.3
Modles physiques
7.2.3.1. Spcificits
Des modles physiques ont t mis au point en chambre
dtalonnage pour tudier le transfert de charge autour dune tte
dinclusion, linfluence de lpaisseur de la couche de rpartition
et, pour une mme paisseur de cette couche, les diffrences
entre un dallage et un remblai pour des conditions de matelas
comparable.
Les modles physiques les plus intressants ont t ceux faits
en centrifugeuse o toutes les conditions de similitude sont
respectes. La capacit de la centrifugeuse de lIFSTTAR
Nantes atteint 100g et il a t fait le choix dun modle au 1/28
pour tudier un groupe de 9 inclusions et dun modle au 1/12
pour des essais avec plateau mobile permettant de simuler le
tassement du sol sur des groupes dinclusions. En tout, 35 essais
en centrifugeuse ont t raliss pour une tude paramtrique
dtaille selon le type douvrage support (remblai ou dallage),
lespacement des inclusions, la hauteur de la couche de
rpartition et le type de matriau de cette couche (grave naturelle
ou limon trait).
7.2.3.2. Enseignements
Les modles en chambre dtalonnage montrent une certaine
diffrence entre remblais et dallages pour de faibles paisseurs
da la couche de rpartition, diffrence qui sestompe lorsque
lpaisseur augmente. Ils montrent galement que la granularit
du matelas est un facteur cl. Il a galement t mis en vidence
une rversibilit moindre pour un remblai que pour un dallage,
ce qui souligne le rle important jou par le dallage
(comportement lastique rversible) par rapport au remblai o
176
les cisaillements qui accompagnent le transfert de charge sont

irrversibles.
Les essais de plateau mobile ont permis de valider que le
modle de Prandtl dvelopp pour une semelle filante pouvait
galement tre utilis pour valuer la contrainte limite sur une
tte dinclusion, sous un dallage. Il a galement t tabli que
limportance des dformations justifiait ladoption de langle de
frottement ltat critique plutt que de langle de frottement de
pic.
Ces rsultats ont guid le choix des rgles de vrification
explicites dans les Recommandations et galement celui des
rgles pour la vrification des conditions de cohrence des
modles simplifis de dimensionnement.
7.2.4 Modles numriques
Les modles numriques sont un accompagnement
indispensable des exprimentations sur ouvrages en vraie
grandeur ou en modle rduit. Dans ASIRI ils ont compris des
modles numriques 3D aux lments finis et aux diffrences
finies qui doivent servir de rfrence. Mais un point important
concerne le choix des lois de comportement et le calage des
paramtres tirs des caractrisations dtailles effectus sur les
diffrents matriaux (matelas de rpartition, sol compressible)
quil convient de mettre dans ces modles.
Ils ont servi, dans le cas des ouvrages tests, vrifier leur
capacit reproduire correctement le comportement de ces
ouvrages. Mais certains dentre eux se sont rvls trs exigeants
en temps de calcul (plusieurs semaines).
Ils ont galement permis la vrification des effets de bord :
comparaison des modles 3D complet aux modles 3D vrai ou
2D axisymtrique dune cellule lmentaire.
Ltude des conditions de reprsentativit des modles vis-vis de la simulation du comportement sous la pointe des
inclusions (extension des modles et nombre minimum
dlments) a t faite. Elle montre quil faut choisir un
compromis entre prcision et dure des calculs.
Les modles ainsi valus ont pu tre appliqus des
situations douvrages autres que celles des ouvrages
exprimentaux. Il en a t ainsi par exemple du cas des dallages
soumis des charges en bandes ou des charges ponctuelles
(pieds de rack) et aussi du cas des semelles situes sur un
nombre limit dinclusions et soumises des chargements
quelconques (cas non trait exprimentalement mais quil tait
indispensable dtudier pour en donner les rsultats dans les
Recommandations, car ces ouvrages sont courants dans les
projets dentrept industriel ou logistique).
Le projet ASIRI a galement dvelopp des modles en
lments discret. Il est intressant dindiquer quils ont rvl
une meilleure aptitude que les modles continus dcrire le
comportement du matelas de rpartition observ dans les
modles physiques (glissement des particules au bord des ttes
dinclusion). Mais leur mise en uvre reste lourde et doit tre
rserve des tudes particulires dtalonnage ou de validation.
7.3
Publications du Projet ASIRI.
Les travaux du Projet ASIRI ont fait objet de nombreux rapports

internes qui ont t prsents loccasion de plus de 20
confrences nationales et internationales. Ils ont par ailleurs
donn lieu 9 thses de doctorat.
Un livre trs document intitul Recommandations pour la
conception, le dimensionnement, lexcution et le contrle de
lamlioration des sols de fondation par inclusions rigides a t
publi par les Presses des Ponts en 2012. Il comprend 384 pages
et huit chapitres :1. Description et dveloppement jusquau
projet national 2. Mcanismes et fonctionnement 3. Modles
de calcul 4. Conception 5. Justifications 6. Reconnaissance
des sols 7. Excution 8. Contrles et instrumentations.
th
7.4
Les retombes du Projet ASIRI.
Le projet ASIRI a mis en lumire comment un matelas de

rpartition granulaire coiffant un rseau dinclusions rigides
opre un report de charge prenne et significatif. Lapplication
des dallages connat actuellement un grand dveloppement et
constitue une spcificit au plan international.
Lintrt pour cette technique a favoris son utilisation pour
des ouvrages sensibles. Il convient de citer le projet ICEDA
dentrepose de dchets radioactifs, soumis aux exigences des
installations nuclaires, qui a pu merger et tre concrtis, aprs
aval des autorits de sret, en partie grce au capital
dexprience accumul sur ce type douvrages par le Projet
ASIRI.
8
LE PROJET NATIONAL SOLCYP
SOLCYP est lanagramme de Pieux sous SOLlicitations

CYcliques.
8.1
Prsentation gnrale du projet Solcyp
8.1.1. Objectifs
Le projet SOLCYP vise amliorer les connaissances sur le
comportement des pieux de fondations soumis des
sollicitations cycliques. Il sest fix comme objectif le
dveloppement de procdures permettant la prise en compte de
leffet des cycles dans le dimensionnement des ouvrages de
gnie civil ou maritime. La phase ultime du projet consistera en
un travail prnormatif en vue de lintroduction dans les
rglementations nationales et internationales de la procdure
propose et des mthodes de calcul associes. Le projet couvre
les aspects suivants: pieux battus et pieux fors ; sables et
argiles ; charges verticales ou horizontales ; chargements
cycliques rpts ou alterns ; grand nombre de cycles.
8.1.2. Carence rglementaire
Alors que lindustrie ptrolire a dvelopp des procdures pour
prendre en compte leffet des fortes charges cycliques dues la
houle sur les fondations des structures offshore, leffet des
sollicitations cycliques sur le comportement des fondations est
largement ignor dans le champ dactivit de la construction et
du gnie civil. Il existe certes quelques exceptions notoires
comme ltude de la liqufaction des sols sous sollicitations
sismiques, ou la fatigue des chausses et des remblais
ferroviaires. Mais dune manire gnrale, il ny a pas - sur le
plan national, europen (Eurocodes) ou international (ISO) - de
document spcifique traitant explicitement des risques lis aux
sollicitations cycliques et proposant une approche
mthodologique pour les prendre en compte dans le
dimensionnement des fondations.
8.1.3. Ouvrages concerns
Cette carence est dautant plus surprenante quil existe une large
gamme douvrages soumis des charges minemment
rptitives et prsentant un certain degr de rgularit en
amplitude et priode de retour. Les charges cycliques sont
essentiellement dorigine environnementale (houle, vent,
courant, mare) ou oprationnelle. On peut citer notamment: les
oliennes terrestres ; les ouvrages ctiers ou portuaires (jetes,
digues, ..) ; les structures supports lgres ou lances sujettes
laction du vent telles que : pylnes de transport dnergie,
chemines et tours de grande hauteur ; les ouvrages dart
supportant les infrastructures de transport, notamment les ponts
ferroviaires ; les fondations de grues, ponts roulants, turbines
hydrauliques.
Les ancrages des nouvelles structures lies au march
mergeant des nergies nouvelles (oliennes terrestres et
offshore, hydroliennes, panneaux photovoltaques de grande
177
surface) sont particulirement sensibles la rptitivit et au

cumul des chargements.
8.1.4. Le programme SOLCYP
Le programme du projet SOLCYP a t mis au point dans le
cadre des travaux dun groupe de travail manant du Ple de
Comptence Sols de lIREX. Il sest concrtis par la
dfinition de deux volets complmentaires : un projet - dit ANRSOLCYP - qui a obtenu un financement auprs de lAgence
Nationale de la Recherche et un projet - dit PN-SOLCYP
organis sous forme de Projet National avec le soutien financier
du MEDDE (Ministre de lEcologie, du Dveloppement
Durable et de lEnergie), de la FNTP (Fdration Nationale des
Travaux Publics) et de 14 matres douvrage ou entreprises
appartenant aux secteurs du gnie civil et de lnergie.
Le budget total HT tait voisin de 4,5 M se rpartissant en
2.6M pour la partie ANR-SOLCYP et 1.9M pour la partie PNSOLCYP. La part de financement public slve 28%. Le solde
est couvert par les cotisations des partenaires et les apports en
nature. Le projet a dmarr au second semestre 2008 et est prvu
de se terminer en 2014.
Lorganisation en deux volets a favoris une forte implication
dorganismes universitaires et de laboratoires de recherche
publics (6 participants).
Le volet ANR concernait la partie acadmique du projet
comprenant : ltude du comportement cyclique des sols de
rfrence (argiles et sables) laide dessais de laboratoire
(triaxial cyclique, DSS cyclique) ; ltude du comportement
statique et cyclique des interfaces partir dessais spciaux ; la
ralisation dessais instruments sur modles rduits en grande
chambre de calibration et en centrifugeuse ; le dveloppement de
modles numriques.
Le volet PN est plus particulirement consacr aux tudes
exprimentales sur ouvrages en vraie grandeur: instrumentations
douvrages sur pieux, essais de pieux sur sites exprimentaux,
dveloppement dessais in situ pour la mesure des paramtres
cycliques des sols.
8.2
Apports du programme SOLCYP
8.2.1. Caractrisation des charges cycliques

Dans le domaine de la construction et du gnie civil, on a
coutume de considrer que les charges appliques sont de nature
statique ou quasi-statique. En accord avec les textes
rglementaires, les charges critiques sont dfinies par la valeur
maximale attendue sous les diffrents cas de charge considrs
(de service-ELS ; environnemental extrme-ELU ; accidentelELA).
La rponse dun sol sous sollicitations cycliques est complexe
et dpend de plusieurs paramtres: contrainte moyenne,
amplitude de la contrainte cyclique, frquence de sollicitation,
vitesse de chargement et nombre de cycles. Ces aspects sont
familiers en gotechnique ptrolire offshore mais la ncessit
dune caractrisation complte et prcise des chargements
appliqus nest pas bien perue dans le domaine du gnie civil au
sens large. La collection de cas de charges rels et
linstrumentation de structures permettent de mieux cerner ces
diffrents aspects.
Les connaissances sur la rponse des sols aux chargements
cycliques sont centres autour des phnomnes lis aux sismes
ou la houle, c'est--dire mettant en jeu des nombres de cycles
relativement faibles (de lordre de quelques dizaines quelques
milliers) et des priodes infrieures 100 secondes. Il existe
clairement un besoin dtendre les investigations vers les grands
nombres de cycles (au-del du million pour les oliennes et les
sollicitations de trafic intense) et de pouvoir prendre en
considration les phnomnes lis aux grandes priodes de
retour (par exemple vis--vis de leffet des mares ou des cycles
de chargement/dchargement de grands rservoirs).
th
8.2.2. La base exprimentale du projet SOLCYP

Des essais de pieux ont t conduits sur deux sites
exprimentaux du Nord de la France. Le premier est
MERVILLE, o largile raide trs fortement surconsolide des
Flandres est prsente ds 3m de profondeur. Dix pieux dessai
ont t installs incluant quatre pieux mtalliques tubulaires
ferms battus, quatre pieux fors de type CFA, et deux pieux
visss. Les pieux ont 13m de fiche et des diamtres de 406mm
(pieux battus) ou 420mm (pieux fors). Ils ont t soumis des
essais de chargement statique conventionnel par paliers, des
essais de chargement monotone rapide et des sries dessais
cycliques incluant des essais forte amplitude amens la
rupture sous un petit nombre de cycles et des essais faible
amplitude conduits jusqu 10 000 cycles. Tous les modes de
chargement ont t appliqus (tension, compression, rpts,
alterns). Les rsultats principaux ont t publis dans Benzaria
et al. 2012 et 2013a.
Le second site est LOON-PLAGE prs de Dunkerque dans
des sables denses. On y a install deux pieux battus et cinq pieux
fors CFA de mmes caractristiques qu MERVILLE mais de
fiches diffrentes (10.5m pour les pieux battus et 8m pour les
pieux fors). Le programme de chargement tait similaire
(Benzaria et al. 2013b)
De nombreuses sries dessais sur pieux modles
instruments ont t ralises dans du sable de Fontainebleau et
dans de largile Speswhite. Ces essais ont t effectus dans la
centrifugeuse de lIFSTTAR (ex LCPC) Nantes. Lobjectif
poursuivi tait dtablir des diagrammes de stabilit cyclique
dans les deux types de sols de rfrence (sables et argiles) et
pour les deux types de pieux considrs (battus et fors) en
balayant une large gamme de conditions initiales (densit,
consistance, consolidation) et de modes de chargement. Les
premiers rsultats ont t publis (Guefresh et al. 2012 ; Puech et
al. 2013). Ce type dapproche a permis de confirmer la
reprsentativit des donnes acquises lors des essais in situ et
den tendre la validit.
Une troisime approche exprimentale a consist effectuer
des essais sur pieux modles trs fortement instruments dans la
grande chambre de calibration du laboratoire 3S-R Grenoble.
Ces essais en sable de Fontainebleau, conduits en collaboration
avec lImperial College de Londres, ont fourni de remarquables
informations sur la mobilisation du frottement linterface solpieu et son volution avec lintensit et le nombre de cycles (e.g.
Tsuha et al. 2012 ; Silva et al., 2013).
8.2.3. Rponses des pieux aux chargements cycliques
La figure 17 illustre le type de comportement observ sur le site
dargile surconsolide de MERVILLE. Elle reprsente la relation
charge-dplacement de la tte du pieu for F2 sollicit en
compression. La charge ultime en compression Quc mesure par
un essai statique conventionnel sur le pieu F1, identique au pieu
178
F2, est gale 900kN. Le pieu F2 qui na subi aucune

sollicitation pralable est dabord soumis une srie de trois
chargements cycliques de plus de 3000 cycles. Les deux
premires sries (CC1 et CC2) ne provoquent pas de
dplacement permanent significatif du pieu. La troisime srie
(CC3) caractrise par un chargement maximal Qmax de lordre
de 800kN gnre des dplacements permanents non ngligeables
(prs de 20mm). Lessai est arrt aprs 3000 cycles et suivi
dun chargement statique rapide (CR1) qui indique une capacit
post-cyclique de 900kN. Sept sries de cycles sont ensuite
appliques. Les sries CC4 CC7 ne provoquent pas de
dplacement permanent de la tte du pieu au bout de 1000 cycles
par srie. (On notera que les essais ont t arbitrairement spars
pour permettre de les visualiser). Les essais CC8 CC10, qui
atteignent nouveau un effort maximal de 800kN gnrent des
dplacements permanents qui se cumulent rapidement (chaque
srie a moins de 100 cycles). La capacit post cyclique est
toujours de lordre de 900kN (essais CR2 CR4).
1 00 0
E f fo r t e n t te d u p ie u (k N )
Les histoires de chargements cycliques - calcules ou

mesures - appliques aux fondations se composent dune
succession de charges variables damplitude irrgulire et de
distribution relativement alatoire. Cependant, les essais
cycliques quil est possible de raliser en laboratoire sur des
chantillons de matriaux sont normalement conus en sries de
cycles damplitude rgulire et de priode constante. Un logiciel
nomm Cascade permettant de transformer une srie
alatoire de charges cycliques en une succession de sries
ordonnes damplitudes constantes a t dvelopp dans le cadre
du projet. Il est bas sur lutilisation des mthodes de comptage
de cycles, de type rainflow ou en cascade (ASTM E 1049-85,
NF A03-406, 1993). Le concept de dommage au sens de Miner
est alors appliqu pour estimer lendommagement du matriau
partir de courbes de typ S-N (dites aussi courbes de Welher)
obtenues exprimentalement en amenant la rupture des
chantillons soumis des sries de cycles damplitude de
contrainte constante.
CR1
90 0
C C1 3
CR2
CC4
80 0
CC1 0
70 0
60 0
50 0
40 0
30 0
20 0
10 0
0
0
50
1 00
1 50
D p l ac e m e n t e n t te d u p i e u ( m m )
2 00
CR : essais monotones rapides ; CC : essais cycliques rpts

CC1, 2 : N>3000 ; CC3 : N=3000 ; CC4 7: N=1000 ; CC8 10 :
N<100
Figure 17 : Relations effort-dplacement de la tte lors dessais rpts
en compression sur le pieu for F2 de MERVILLE (daprs Benzaria et
al. 2013a).
Ce type de comportement a t retrouv sur tous les essais

effectus Merville, quel que soit le type de pieu (for, viss,
battu) et le mode chargement (compression pure, tension pure,
altern). Il peut se rsumer ainsi :
- il existe un seuil critique de fonctionnement ;
- pour une charge maximale Qmax infrieure au seuil, le pieu
est stable (pas de dplacement permanent significatif, raideur
cyclique constante) mme pour un nombre lev de cycles
(N>1000) ;
- ds que ce seuil est atteint, des dplacements permanents
sont gnrs et la rupture cyclique intervient rapidement,
typiquement en moins de 100 cycles ;
- le seuil est lev dans le domaine des chargements rpts
(80 90% de Qus) mais dcroit dans le domaine des
chargements alterns (voir figure 3) ;
- la capacit post cyclique nest pas affecte par les
chargements cycliques pralables.
Le comportement observ sur le site de sable dense de
LOON-PLAGE est trs diffrent. La figure 18 montre la rponse
de deux pieux fors identiques F4 et F5. Le pieu F4 a t soumis
un essai de chargement statique conventionnel qui indique une
charge ultime de rfrence Quc= 1100kN. Le pieu F5 a t
soumis un chargement cyclique caractris par une valeur Qmax
~ 0.62 Quc. Le pieu cumule trs rapidement des dplacements
permanents (3% de dplacement relatif aprs seulement 14
cycles). Lessai a t stopp et lamplitude cyclique fortement
rduite (Qmax ~ 0.35 Quc). Le pieu a continu cumuler des
dplacements (14mm en 5000 cycles).
Dune manire gnrale on a observ que :
th
les pieux fors taient trs sensibles aux chargements

cycliques ;
la capacit post cyclique tait fortement affecte par les
chargements cycliques ;
les critres de rupture cyclique en compression devaient
tre dfinis en termes de dplacements tolrables.
Lanalyse de lensemble des essais a conduit dfinir la
rupture cyclique pour un dplacement relatif de 3%.
Effo rt e n tte d u pie u (kN )
9 00
F4
S t a t ique
8 00
Q u c = 1 1 0 0k N
4 2 mm
F5 -C C1
N= 14
7 00
6 00
5 00
F5 -C C2
N=5 0 0 0
4 00
Figure 19. Diagramme de stabilit cyclique pour un pieu for dans

largile surconsolide des Flandres MERVILLE (Benzaria 2012)
3 00
2 00
1 00
0
0
10
15
20
25
D p la cem e nt en tte d u pi eu (m m )
30
Figure 18 Relations effort-dplacement de la tte lors dessais rpts en

compression sur le pieu for F5 de MERVILLE (daprs Benzaria et al.
2013b). Comparaison avec lessai statique conventionnel du pieu F4.
8.2.4. Diagrammes de stabilit cyclique

Le rsultat dun essai cyclique de pieu peut tre
avantageusement synthtis dans un diagramme dinteraction
cyclique. Chaque essai y est reprsent par un point dans un
diagramme Qcy/Qus en fonction de Qa/Qus avec Qcy = demiamplitude cyclique ; Qa (= Qm) = charge moyenne ; Qus = charge
statique ultime de rfrence. Qus est dtermine partir dun
essai statique conventionnel ralis en compression (Quc) ou en
tension (Qut) selon le mode de chargement considr. Chaque
point est affect du nombre de cycles (Nf) ayant conduit le pieu
la rupture selon un critre donn ou du nombre de cycles total
appliqu au pieu. Lorsque lon dispose dun nombre suffisant
dessais (de lordre de 10 20) on peut dlimiter des zones dans
lesquelles la stabilit du pieu est assure pour un certain nombre
de cycles et des zones dans lesquelles la rupture cyclique est
obtenue pour un nombre de cycles rduit. On peut alors parler de
diagramme de stabilit cyclique.
Un apport essentiel du projet SOLCYP est ltablissement de
diagrammes de stabilit cyclique pour diffrents types de pieux :
battus, fors CFA, visss ; des argiles surconsolides et des
sables denses ; des chargements rpts (en compression et en
tension) et des chargements alterns ; des nombres de cycles
importants (jusqu 10 000 par srie). Ces diagrammes ont t
obtenus partir des essais in situ sur les pieux exprimentaux
mais galement partir des essais sur pieux modles.
On donne titre dillustration deux diagrammes obtenus lun
sur des pieux fors dans largile des Flandres et lautre dans les
sables denses de Dunkerque.
Dans largile des Flandres, comme indiqu plus haut, la
transition entre zone stable et zone instable est brutale. Elle se
traduit par une ligne unique bien dfinie dans le diagramme de
stabilit (Figure 19). Cette ligne traduit la dpendance du seuil
de chargement critique avec la valeur de la charge moyenne. On
vrifie bien que dans le domaine des essais rpts le seuil se
situe des valeurs de Qmax = Qa+Qcy leves (Qmax/Quc> 0.8). En
mode altern, la zone dinstabilit na pu tre explore de sorte
que la ligne en pointill apparat comme une enveloppe
conservative de la zone de stabilit.
La dtermination de diagrammes de stabilit dans les sables a t
faite en prenant comme charge statique de rfrence la capacit
statique mesure juste avant la squence cyclique considre et
en adoptant un critre de rupture cyclique du pieu gal 3% de
dplacement relatif en tte.
179
Figure 20. Diagramme de stabilit cyclique pour un pieu for dans le

sable dense de Dunkerque (Loon-Plage). Puech et al. 2013.
La figure 20 montre le diagramme de stabilit cyclique des

pieux fors LOON-PLAGE (Puech et al. 2013). On est amen
dfinir trois zones :
- une zone instable dans laquelle les pieux voluent
rapidement vers la rupture (Nf < 100),
- une zone stable correspondant des chargements cycliques
de faible amplitude dans laquelle les pieux peuvent supporter
plus de 1000 cycles sans accumuler de dplacements
permanents significatifs,
- une zone intermdiaire dite mtastable dans laquelle le pieu
cumule des dplacements importants ou parvient la rupture
cyclique entre 100 et 1000 cycles.
La plus grande sensibilit aux chargements cycliques dans les
sables est clairement visible. Il est intressant de noter quune
srie dessais sur pieux modles en centrifugeuse dans lesquelles
huit pieux mouls taient mis en place dans un mme conteneur
de sable dense de Fontainebleau et sollicits de manire unique
(un seul essai statique ou cyclique par pieu) a conduit un
diagramme de stabilit quasiment identique celui des pieux
fors LOON-PLAGE.
Lensemble des rsultats SOLCYP montre que la rponse
cyclique des pieux dpend plus ou moins fortement du type de
pieu, des conditions de sol, du mode de chargement et de
lhistoire des chargements.
8.2.5.
Mthodologie de dimensionnement sous chargement

cyclique axial
Le dimensionnement complet d'un pieu soumis des
chargements cycliques axiaux peut faire appel des procdures
relativement complexes qui ne sont pas toujours ncessairement
justifies par la pratique quotidienne. SOLCYP a pris le parti de
proposer diffrentes approches correspondant des niveaux de
complexit croissante et de dvelopper des critres pour
th
ClusterA
ClusterB
ClusterC
200
'
=27
-100
Direction de
chemin de contraintes
100
200
300
ou
P(N)/P(1) = 1+t.Ln(N)
P(N) et P(1) sont les valeurs de la proprit dcrite aux cycles N

et 1 respectivement ; m et t sont des fonctions des
caractristiques du chargement (Qa et Qcy), de la rigidit du
systme sol-pieu et du mode dinstallation.
La figure 22 illustre le processus de calage dune loi

dvolution du dplacement de la tte dun pieu y en fonction du
nombre de cycles sous la forme y(N)/y(1) = f(N) pour deux
essais de pieux-modles en centrifugeuse dans une argile
normalement consolide. Un travail de ce type a pu tre effectu
dans les sables et les argiles tant pour les dplacements que pour
les moments (Khemakhem et al. 2012 ; Rosquot et al. 2013).
Une synthse est prsente dans Garnier, 2013.
P(N)/P(1) = k.Nm
Figure 22: Essais en centrifugeuse ; argile normalement consolide.

Comparaison de courbes calcules et exprimentales pour les
dplacements normaliss yn/y1 de la tte de pieu. Khemakhem et al.
2012.
100
-200
Lobjectif essentiel de ces essais tait de driver des lois de

dgradation pour des analyses de type global ou pour la
construction de courbes p-y dgrades.
Leffet des cycles se traduit essentiellement par un cumul de
dplacements de la tte du pieu et par un accroissement
progressif du moment maximal. Les mthodes dites globales
consistent dcrire lvolution de ces phnomnes par des lois
du type :
100
400
Contrainte radiale r (kPa)
PH
500
Figure 21: Chemins de contraintes sur la paroi dun pieu modle ; sable
de Fontainebleau dense ; essai mtastable, 1000 cycles ; Silva et al
(2013)
Ces chutes de contraintes ont pu tre simules en laboratoire

(Pra-ai, 2013) par des essais cycliques rigidit normale
impose (essais CNS). Les efforts portent actuellement sur la
formulation de la base de donnes sous la forme de lois
dinterface pouvant tre introduites de manire explicite dans
des modlisations par lments finis.
8.2.6. Pieux sous chargement cyclique latral
La rponse des pieux sous chargement cyclique horizontal na
t tudie exprimentalement dans le cadre de SOLCYP que
dans le cas de pieux flexibles et en centrifugeuse. De
nombreuses sries dessais rpts et alterns ont t effectues
sur des pieux modles instruments mouls en place dans du
sable de Fontainebleau (Rakotonindriana, 2009) et de la kaolinite
Speswhite
normalement
consolide
et
surconsolide
(Khemakhem et al., 2012).
180
max
Raction du sol (kN/m)
Contrainte de cisaillement rz (kPa)
dterminer quel niveau d'analyse tait le plus appropri selon le

cas considr.
Le diagramme de stabilit cyclique tel que dcrit
prcdemment est un outil particulirement intressant pour
identifier les cas de chargements critiques justifiant une analyse
spcifique et plus ou moins approfondie (Jardine et al. 2012). Ce
concept sapplique bien aux pieux courts et rigides, tels
quutiliss en construction et gnie civil.
Ds lors, trois types d'approches peuvent tre mis la
disposition du concepteur:
des approches globales , qui ne s'intressent qu'au
comportement "global" du pieu : valuation de l'accumulation
des dplacements permanents de la tte du pieu sous l'effet des
cycles ; dgradation de la capacit portante ;
des approches locales dans lesquelles la relation entre la
contrainte de cisaillement mobilisable l'interface sol-pieu et le
dplacement local du pieu s'exprime au moyen d'une courbe de
transfert dite courbe "t-z". Le dfi est ici de proposer des courbes
"t-z" cycliques en complment des courbes t-z recommandes
par les codes actuels ;
des approches par la mthode des lments finis.
La base exprimentale de SOLCYP permet de travailler sur
ces trois axes, et notamment sur la calibration des algorithmes de
gnration de courbes t-z proposs dans des programmes tels que
RATZ (Randolph, 1994) ou SCARP (Poulos, 1989).
Les essais sur le sable de Fontainebleau effectus en chambre
de calibration au 3S-R ont permis de mettre en vidence que la
perte de frottement sous charges cycliques tait le rsultat dune
chute des contraintes effectives radiales sur le pieu. Ce rsultat
est illustr sur la Figure 21 qui montre lvolution en cours de
cyclage des chemins de contraintes effectives (radiales et
tangentielles) mesures trois niveaux le long de la paroi du
pieu.
,1
PH
50
,n
max
z=2,25m
-50
0
Courbe P-y cyclique

Courbe P-y enveloppe
0.1
0.2
0.3
Dplacement du pieu (m)
0.4
Figure 23. Relations P-y exprimentales obtenues lors dun essai

cyclique altern (Hc/Hmax = 0,57) ; argile normalement consolide ;
Khemakhem, 2012.
Les mthodes globales sont susceptibles de fournir une

rponse suffisante au concepteur dans le cas de sols homognes
et de chargements cycliques modrs. Pour des cas plus
th
complexes, le recours la mthode locale, base sur lutilisation

de courbes de transfert dites p-y, est ncessaire.
La Figure 23 illustre le phnomne de dgradation due aux
cycles de la raction locale sous la charge maximale Hmax. Cette
dgradation peut tre approche par des courbes enveloppes
telles que celle proposes par lAPI RP2GEO avec cette double
limitation que la dgradation est forfaitaire et ne dpend ni des
caractristiques relles de la charge, ni du nombre de cycles.
Rakotonindriana (2009) a montr que lorsque lon dispose
dun nombre de donnes suffisantes (plusieurs essais cycliques
diffrents niveaux de chargement), on peut dfinir pour chaque
profondeur un rseau de courbes P-y correspondant un nombre
de cycles donn. Ces courbes qui peuvent tre rellement
qualifies de P-y cycliques reprsentent la dgradation des
courbes P-y statiques quil faut supposer pour retrouver le
comportement global du pieu aprs N cycles.
partir de limportante base de donnes dessais en
centrifugeuse raliss IFSTTAR, antrieurement et dans le
cadre du projet SOLCYP, on a pu montrer que la quantification
de linfluence des cycles sur la dgradation de la courbe P-y
pouvait tre introduite laide d'un coefficient dabattement rc
qui dpendait du nombre de cycles N, de la charge maximale
applique Hmax et de lamplitude des cycles Hc. Des expressions
de rc ont t dveloppes dans le cas des argiles et des sables
(Khemakhem, 2012 ; Rosquot, 2013 ; Garnier, 2013)
Lapproche propose par SOLCYP constitue une avance
dcisive pour la prise en compte de leffet des chargements
cycliques sur le comportement des pieux sous efforts latraux.
8.3
Conclusion
Le projet SOLCYP sest fix comme objectif dapporter une

meilleure comprhension du comportement des pieux sous
chargements cycliques et de dvelopper des mthodes
innovantes pour leur dimensionnement sous charges axiales et
latrales. La rponse de pieux fors et battus dans les sables et
les argiles a t tudie par diffrentes approches tant
exprimentales (en laboratoire, sur modles et in situ) que
thoriques. La plupart des donnes exprimentales sont
actuellement disponibles mais le travail dinterprtation des
donnes et les dveloppements mthodologiques restent
approfondir.
Pour le dimensionnement des pieux sous charges cycliques
axiales, une approche graduelle est propose. La premire tape
destine valuer la ncessit ou non de procder une tude
cyclique dtaille est base sur une comparaison entre les
caractristiques des charges cycliques et le diagramme de
stabilit du pieu. Un apport dcisif du projet SOLCYP est de
proposer des diagrammes de stabilit pour des pieux fors et
battus, diffrents types de sols (sables et argiles) et tous modes
de chargement (en compression, en tension, altern). Lanalyse
complte des rsultats exprimentaux de grande qualit obtenus
permettra terme de mettre disposition du projeteur trois types
dapproches : approche globale, approche locale par courbes
cycliques de transfert et approche numrique par lments finis.
Pour le dimensionnement sous charges cycliques latrales,
une importante banque de donnes en centrifugeuse a t ralise
sur sables et argiles. Des formulations ont pu tre proposes pour
dcrire, de manire globale, la dgradation du dplacement de la
tte du pieu et des moments flchissants maximaux en fonction
du nombre de cycles et de leur svrit. Un travail quivalent est
en cours pour proposer des lois de transfert locales prenant en
considration le nombre de cycles et leurs caractristiques. Il
sagira l dune avance considrable par rapport aux mthodes
forfaitaires disponibles.
Une premire prsentation synthtique des acquis du projet
SOLCYP sera publie dans les actes de latelier du TC 209 de
lISSMGE loccasion de la 18e ICSMGE. Un ouvrage de
recommandations professionnelles sur le calcul des pieux sous
sollicitations cycliques sera publi lissue du projet.
181
CONCLUSION
Linnovation que reprsentent les Projets Nationaux de

recherche en France ne rsulte pas seulement du fait que la
majorit du financement est fournie par les partenaires. En effet
pour quun projet puisse tre ralis, il est aussi ncessaire quil
runisse un nombre suffisant de partenaires et pour cela que son
thme de recherche rponde lattente de lensemble de la
profession dans la branche correspondante du gnie civil, par
exemple la gotechnique. Cest grce lIREX, lorganisme de
gestion des Projets Nationaux, et ses ples de comptence que
de tels thmes fdrateurs sont trouvs et proposs.
En outre les moyens exprimentaux (exprimentations en
vraie grandeur et ouvrages en service mis disposition par les
partenaires, expriences en centrifugeuse, etc) constituent
llment fondamental des recherches, les moyens numriques
ne venant quen second. Cest l une spcificit des Projets
Nationaux.
Enfin il faut signaler, en gotechnique notamment, que les
Projets Nationaux ont permis de rassembler, autour dun mme
thme, des chercheurs de tous les horizons en France
(administration, socits dtat, universits et coles, entreprises,
bureaux dtudes, etc.) mais galement de ltranger pour
travailler ensemble, ce qui a cr des liens nouveaux.
Les cinq projets nationaux en gotechnique qui ont t pris
ici comme exemples (Clouterre I et II - clouage des sols ;
Forevermicropieux ; Vibrofonage ; ASIRI - renforcement par
inclusions rigides ; Solcyp-pieux sous sollicitations cycliques) en
montrent bien linnovation, la spcificit, le caractre
exprimental des recherches et la diffusion des rsultats.
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th
The new Bugis Station and associated tunnels for the Singapore MRT
Mtro de Singapour : nouvelle station Bugis et tunnels associs
Sim A.
Soletanche-Bachy
ABSTRACT: The construction of the new Bugis Station and associated tunnels presented a number of interesting challenges all of
which are linked to the building of new infrastructure in mature urban environments. The story of Mass Rapid Transit in Singapore is
not at all old, with the first lines only operating for little over 25 years. However, the City State now finds that new lines are
increasingly interlacing with existing underground assets, with unique problems presenting themselves. This, together with a more
sophisticated population which demands greater respect for the built environment with inconvenience along with noise, dust and
water pollution all being subject to greater scrutiny and demands for the Client and Contractor alike to deliver projects according to
the highest international standards.
RSUM : La construction de la nouvelle station Bugis et des tunnels associs a prsent plusieurs dfis intressants, tous lis la
construction dinfrastructures nouvelles dans un environnement urbain dense. Lhistoire du mtro de Singapour est rcente, puisque
les premires lignes sont en exploitation depuis un peu plus de 25 ans. Cependant, lEtat de Singapour est maintenant confront au fait
que les tracs des nouvelles lignes rencontrent des ouvrages souterrains existants, ce qui gnre des problmes uniques. Sajoutent
cela plusieurs facteurs qui rendent les projets de nouvelles lignes particulirement complexes : une population plus sophistique qui
demande un plus grand respect de lenvironnement existant, une attention croissante porte aux nuisances (bruit, poussire, eau), et
des demandes au client et lentreprise de se conformer aux normes internationales les plus exigeantes.
KEYWORDS: tunnel, station, underground, top down, bottom up, mining.
1
INTRODUCTION
The Singapore Mass Rapid Transit (MRT) system started

operational service on the 7 November 1987. The decision to
proceed with a Rapid Transit System was only taken after
extensive studies and consideration of a bus only system. Given
the land-scarce countrys other priorities and with 10% of the
available land already taken up by roads and related facilities
the decision was taken to construct an extensive MRT network
starting with the 45km North South Line initially comprising 20
stations. A further 21 stations were subsequently added with the
opening of the East West Line in July 1990.
The MRT has continued its expansion with the extension of
the existing lines and the construction of new lines such as the
North East Line and the Circle Line and this has been
complemented with Light Rail systems at Bukit Panjang,
Sengkang and Punggol feeding the main MRT system.
Following publication by the Singapore Land Transport
Authority (LTA) of a White Paper titled A World Class Land
Transportation System in 1996 an extensive expansion of this
network was confirmed and is now proceeding apace. The
comprehensive rail network will become the backbone of an
integrated public transportation system catering for a growing
population.
Whilst the early lines mixed underground and overhead
sections the new lines are entirely underground. The 16 station,
North East Line and 28 station Circle Line are fully
underground and these will be followed by the 34 station
Downtown Line, 22 station Thomson Line and the future
Eastern Region and Cross Island Lines.
This major expansion in a mature urban environment brings
with it many challenges some of which are addressed in this
paper.
Figure 1. General view of Bugis station.
DOWNTOWN LINE
The LTA announced the construction of the Downtown Line in

June 2005. The stage one of the project was initially referred to
as the Downtown Extension of the Circle Line but as planning
evolved this became the first of three phases to complete the
whole Downtown Line which will be the fifth metro line to be
constructed in Singapore and is due to be fully open by 2016.
2.1. Presentation of the Downtown Line (DTL)
Serving the expanding business district of Marina Bay along
with the new Marina Bay Sands Integrated Resort and through
to the North-Western and Eastern areas of the island the line
will comprise 34 stations over its 42km length. As mentioned
183
1
th
above, the whole line will be underground. More than half a

million commuters are expected daily on this line.
The three stages will have a staggered opening with stage
one (DTL1) to be completed by 2013 followed by DTL2 in
2015 and DTL3 in 2017. Stage One incorporates the stations in
the existing Central Business District through the New
Downtown to the Bugis district and will have four interchange
stations linking into three different underground lines: North
East Line at Chinatown; the East West Line at Bugis; the Circle
Line at Bayfront and Promenade Stations. Construction of this
line started early in 2008.
2.2. DTL1 C903 Bugis Station and Associated Tunnels
Contract 903, Bugis Station and Associated Tunnels, was
awarded in November 2008 to Soletanche Bachy as main
contractor, and leader of the Joint Venture with local company
Koh Brothers. It was the last contract awarded on DTL1 and is a
Construct Only contract with the design being undertaken by
Arup on behalf of the LTA. At the time, it was the largest rail
project ever awarded by the LTA at S$582 million (360m euros
at current exchange rates). The new Bugis Station will be the
terminus for Stage One of Downtown Line (DTL1) and was
therefore a critical section as the crossover and overrun was
integrated within this contract.
The Bugis area is an important commercial centre,
historically linked to seaborne trading but now a thriving area
with private and public housing, major shopping and
commercial complexes along with a large private hospital.
Bugis is surrounded by the tourist areas of Little India and
Kampong Glam. The new station was to be build partially
below Rochor Road and adjacent open land, whilst the cut and
cover tunnels were built below the heavily traffic Rochor Road.
Indeed Rochor Road is one of two principal arteries into central
Singapore from the South and the first when coming from the
airport via the busy East Coast Parkway.
The project extends over 600m with four major road
crossings at Beach Road, North Bridge Road, Victoria Street
and Queen Street. The Victoria Street crossing is further
complicated due to the existing Bugis MRT Station running
below the street and across the alignment of the new tunnels. At
Beach Road and Queen Street numerous utilities ran below the
surface.
going below the existing Bugis Station and the narrow

horizontal footprint meant a cut and cover tunnel was the only
solution until after Queen Street. Furthermore, the connection
tunnels from the new to the existing station would also mean
significant works below Rochor Road.
At either end of the project, bored tunnels would make the
connection to the adjacent stations. At the Southern end a
temporary access shaft was constructed by the neighbouring
contractor to launch their TBMs towards Promenade Station
and at the North end a receiving shaft was built to reception the
TBMs coming from Rochor Station, the first DTL2 station.
The excavation depth for the station and tunnels varies along
the alignment but was generally 27m below ground level with
the deepest section at the Queen Street receiving shaft.
The geology in this area of Singapore is essentially 3 to 5m
of fill/sand overlaying 20 to 30m of Marine Clay above Old
Alluvium.
All the major retaining walls were constructed using the
diaphragm wall technique and barrette piles were used for the
foundations. The excavation depth and the stiffness required to
avoid settlement and movement to the surrounding assets meant
that a robust earth retention system was required over the full
length of the project. Due to the very soft clays overlying the
founding Old Alluvium, additional strengthening of the ground
was required prior to bulk excavation to minimise deflection of
the retaining walls. This was carried out using two different
techniques. In areas where utilities and obstructions were
expected, one or two jet grouted slabs were installed to improve
horizontal restraint. In more open areas such as the station, cross
walls were constructed between the two retaining walls built
using the same equipment as the diaphragm walling. Soletanche
Bachy were able to propose a value engineering scheme where a
significant section of jet grouting was replaced by cross walls.
In addition to being a more robust solution, there was a benefit
to the programme as the same equipment could be used
reducing congestion on the working platforms and as
importantly no additional materials testing regime was required
such as the lengthy coring of the jet grouted slab to ensure
compliance with the specifications.
As explained below a three principal construction methods
were necessary to overcome the environment that the physical
constraints imposed over the length of the site. These were
using the Bottom Up and Top Down Methods for cut and cover
construction and mined tunnels where existing infrastructure
precluded open excavation.
3
CONSTRUCTION BY BOTTOM UP METHOD
The Bottom Up method was applied in the central area of the

site between Beach Road and North Bridge Road. This area had
less physical constraints and the Contractor had the space to
move Rochor Road to either side of the excavation during the
construction.
Once the diaphragm wall was constructed the bulk
excavation could commence. Up to 9 layers of steel struts were
installed to support the retaining walls as the excavation
proceeded to a depth of 27m. A total of 20,000 tonnes of steel
struts were installed for the whole site (nearly three times the
Eiffel Towers 7,300 tonnes!). Once the excavation reached the
formation level, the base slab is poured and the structure built
from the bottom back up to the roof slab. As the reinforced
concrete structure is built and the walls braced by the inner
structure, the temporary steel struts can be removed.
Figure 2. Schematic plan and cross section of the overall works.
Due to the number of technical and physical constraints it

was necessary to construct nearly all of this entire section as a
cut and cover. At the Southern end the crossover precluded
bored tunneling and beyond the station the physical constraints
184
th
This was one of the innovative ideas that were put into practice
on the site which won an award from the Singapore Workplace
Safety & Health Council.
Figure 3. A view of the Station area showing the bottom up excavation

and the Rochor Road diversion around the site.
Figure 5. The acoustic enclosure around the top down access shaft
adjacent to the Rochor Centre.
Figure 4. A picture from inside the Station showing the struting required
for the bottom up excavation.
CONSTRUCTION BY TOP DOWN METHOD
The Top Down method was used primarily in areas where it

was essential to reinstate the Rochor Road to maintain traffic
flow along this busy route. In general, the retaining walls, jet
grouting or cross walls and roof slab were done in two phases
by shifting the road alignment slightly to create space to work
on one side of the tunnel at any one time.
The top down sections are South of Beach Road and from
North Bridge Road right to the Northern end of the site after
Queen Street. The corridor for the tunnels at these locations was
very tight and with buildings very close to the alignment of the
tunnels the top down method also afforded a very stiff structure
to be built minimising settlements and therefore potential
damage to the adjacent assets. It was especially the case in the
section in front of the Bugis Village, a row of heritage shop
houses fronting Rochor Road between Victoria Street and
Queen Street.
To facilitate the bulk excavation, off line shafts were
constructed at several locations to allow the removal of the
excavated material. Towards the Northern end of the site
adjacent to the Rochor Centre a public housing complex, noise
mitigation measures were required around the shaft prevent
nuisance to the neighbours.
Indeed for much of the diaphragm wall, cross wall and
barrette foundation work, noise mitigation measures were
normal practice. A large acoustic screen was erected at the
beginning of the Contract between the Station site area and a
row of private houses and Soletanche Bachy developed a
special sound proofing around the excavation cranes. Baptised
the Ninja Turtle, the sound enclosure incorporated cameras to
ensure that the operators vision was not impaired and also a air
conditioning system to prevent overheating of the machines.
Figure 6. Excavation for the diaphragm walls in front of Bugis Village.

Note the green Ninja Turtle enclosure around the two excavation
cranes.
With the walls and roof of the top down section cast and the
road reinstated above, the excavation continued by mining
below the roof slab and then constructing temporary supports
(generally, reinforced concrete struts) or the definitive
reinforced concrete slabs. Once the overall structure was
complete and waterproofed, the voids between the tunnels and
the surface were backfilled using a self compacting liquid soil
material.
Figure 7. A view of the excavation in a top down section, working

below the roof slab.
185
th
The diaphragm wall was opened by stitch coring to allow the

pipe pile installation. At 30m below ground level, the risk of
water seepage was high and at some locations, additional
grouting was carried out to ensure these openings were
watertight. The cut section of wall was supported by steel
propping in the temporary stage.
Figure 8. Preparation to casting the reinforced concrete struts in a top

down section of the project.
CONSTRUCTION BY MINING
Of all the different methods used on this project, the three

mining sections were by far the most challenging. At Beach
Road, two mined tunnels were constructed, the larger one for
the railway and a second, smaller, pedestrian tunnel for a future
development link. The large cross section of the rail tunnel at
Beach Road was necessary as the crossover was situated at this
location between the end of the bored tunnel section and the
station platforms. At Queen Street a similar mined tunnel was
required for the rail albeit with a smaller cross section. The
mined tunnel below the existing Bugis Station was an entirely
different proposition. Fully 80m long it stretched below the
entrance structures and the central platform section with the
operating railway running for the whole duration of the works.
Figure 11. Setting up and welding Beach Road rail tunnel.
Figure 12. Temporary propping to support diaphragm wall.

Figure 9. C903 Bugis station and associated tunnels layout.
5.1. Beach Road and Queen Street tunnels

These two lengths of 30m and 40m tunnels of a large sectional
area (7.5mx22m and 7mx15m) are entirely excavated in the
very soft marine clay layer and require extensive preliminary
works. To prevent any instability during the excavation, the
whole area was improved by jet grouting. Deep columns
(>30m) were installed from the surface for a total of 29,000m3.
The retaining structure was made of horizontal pipe piles
(600mm and 900mm diameters) installed from the cut and cover
areas by pipe ramming method.
The pipes were driven with two types of hammers operated

by compressed air. Due to the restricted working space and the
ongoing structural works in the vicinity, the pipes were installed
in short sections and welded together. Depending on the area,
Soletanche Bachy were able to use either 4m or 6m lengths of
pipe. In some areas where access and the working area were
severely restricted (40m long pipe pile installation for the
Central Mining through an additional small shaft), the hammer
was installed directly within the pipe to minimize the overall
length.
Even with this powerful tool, hardened soil by Jet Grouting
or obstructions caused refusal of the pipe driving. In such
instances an auger was used to clean the pipe before resuming
pipe ramming. Once completed, the pipes were fully cleaned
out using the auger and the pipes cast with self-compacting
concrete. For the last stage, the excavation of the tunnels was
carried out using traditional methods with the installation of
steel frames at regular intervals to support the pipes. At peak
production 70 welders were required for pipe and steel frames
installation.
5.2. Mining under existing Bugis Station
Figure 10. Schematic view of the excavation method for Beach Road
and Queen Street tunnels.
186
By comparison to the Beach Road and Queen Street tunnels, the

Bugis Station mined tunnel posed different problems and
represented the most sensitive part of the overall project.
Tubular piles (600mm and 900mm diameter) acting as retaining

th
walls were installed after a complex phase of works (bulk

excavation, soil treatment, micropiles, Berlin wall, and
strutting).
Soletanche Bachy had been aware of the presence of old
king posts which had been used as temporary supports during
the construction of the 1985 station and left in place. The
accurate position of these obstructions were unknown and a
detailed working procedure for the removal of these
obstructions was put in place covering safe access lighting and
air supply. When a King Post was encountered during pipe
ramming, the auger was used to clean the pipe and the steel
profile exposed. Following strict safety procedures, a worker
was sent into the pipe to clean around the profile and it was then
cut into smaller pieces for removal back through the pipe.
Figure 14. The Gun for the 600 pipes.
Figure 13. Pipe jacking and mining South Wing.
Under the station, all the pipes were driven to the existing
diaphragm walls and had to be anchored into them. The initial
design indicated the pipes being driven 500mm into the
opposing wall. However, as well as the impracticalities of doing
so, the Authorities had rejected this scheme through concern for
damage to the existing structure.
Soletanche Bachy proposed to tie in the pipes, using drilled
reinforcement bars. An innovative system was developed by
Soletanche Bachy. A guide was fabricated and inserted into the
pipe. This guide was positioned at the end of the pipe up against
the opposing wall and cores were then drilled into the
diaphragm wall using the guide to ensure accurate positioning
of the dowel bars which were sealed using an adhesive capsule.
Figure 15. Drilling in the soil nails using the Springsol.
Figure 16. The Springsol tool, unfolded.
187
th
The Client had been concerned about the strength of the

Marine Clay below the existing station and it had been
impossible to carry out a soil investigation campaign at this
location. Soil improvement in advance of the mining works
had therefore been specified but left to the Contractor to
determine although ground freezing or horizontal jet grouting
had been mooted. Soletanche Bachy shared the Clients
concerned about the use of ground freezing or horizontal jet
grouting around such sensitive structures and so proposed a
combination of two soil improvement methods; using Springsol
and fibreglass soil nails.
Initially developed to strengthen the ground below existing
railway tracks, the Springsol method uses a foldable tool,
developed by the Soletanche Bachy, and is able to install
400mm or 600mm diameter soil mixed columns through a small
opening of only 162mm diameter.
The innovative horizontal application of this method proved
highly efficient at improving the Marine Clays before the
diaphragm wall was opened fully and also allowed the efficient
installation of the fibreglass soil nails.
On completion of the soil improvement, the diaphragm wall
could be cut and the excavation started using the soffit of the
existing station base slab as the roof of the tunnel. Heavy steel
frames (up to 551kg/m) were then installed as the excavation
advanced. These frames were pre-fabricated at a workshop and
assembled off site to ensure everything fitted when installed in
the restricted mining area. In some areas, with a working
headroom of only 2m, the use of heavy machines was
impossible and here most of the frames were installed manually
using chain blocks. The steel work installation in such confined
spaces brought specific safety issues and the whole workforce
were subject to targeted safety training and more regular safety
talks to achieve our goal of zero accidents.
Figure 18. North Wing top heading -Roof pipes and heavy frames.
CONCLUSION
The successful completion of the mining sections of the contract

were undoubtedly the key to overall performance of the works.
They required the mobilisation of significant resources and
considerable preparation. In total 7,400m of 600mm and
900mm diameter steel pipes were driven in the three locations
with 2,200t of steel frames positioned to support the excavation
using a total of 130,000 bolts. With soil improvement
comprising 29,000m3 of Jet Grouting, 930 Springsol columns
which incorporated 4,400m fibreglass soil nails.
Figure 17. Central mining invert Excavation and frames installation.
Once the bulk excavation work was complete, micropiles

were installed to support the base slab for the new line. A
permanent lining with waterproofing was installed and the
temporary frames removed leaving the tunnel available for the
system wide contractors to complete the last part of the job for
the opening of the line in late 2013.
188
6
Laboratory testing of geomaterials: time effects and other peculiar observations General Report of TC 101 (session 1)
Essais de laboratoire sur les gomatriaux: Effets du temps et autres observations spcifiques Rapport gnral du TC 101 (session 1)
Ibraim
E.
E.
Ibraim
University of Bristol, Bristol, UK
ABSTRACT: This paper presents a General Report of 29 written contributions submitted for one of the parallel sessions entitled
Time effects and other peculiar observation of the Technical Committee 101: Laboratory Stress Strength Testing of Geomaterials.
The origin of the authors shows a wide geographical distribution. The General Report reviews these contributions and presents the
current research directions mainly in relation to the experimental behaviour as well as the key outcome results. The topics covered by
the written contributions have been grouped within the following thematic strands: time effects, expansive soils,
consolidation/compressibility and crushable granular soils.
RSUM : Ce document prsente un rapport gnral des 29 contributions crites pour l'une des sessions parallles Effets du temps
et autres observations spcifique , soumis au Comit Technique 101: Essais de laboratoire des gomatriaux. L'origine des auteurs
montre une large rpartition gographique. Le rapport gnral examine ces contributions et prsente les axes de recherche actuels
principalement en ce qui concerne le comportement exprimental ainsi que les principaux rsultats. Les sujets couverts par les
contributions crites ont t regroupes dans les volets thmatiques suivants: les effets du temps, sols gonflants,
consolidation/compressibilit et sols granulaires avec rupture des grains.
KEYWORDS: clay soils, time effects, creep, strain rate, consolidation, expansive soil, shrinkage, swelling, breakage, sand.
Expansive soils: swelling/shrinkage characterisation;

Consolidation/compressibility (loading and unloading);
Crushable granular soils.
The following sections develop the issues with reference to
the written contributions.
INTRODUCTION
This paper presents a summary in the form of a General Report

of the topics, current research directions and key outcomes of
the written contributions submitted to the Technical Committee
101: Laboratory Stress Strength Testing of Geomaterials
Session. TC101 promotes and actively encourages co-operation
and exchange of information concerning research and
developments in advanced laboratory geotechnical testing,
including apparatus, techniques and interpretation, and their use
in practical geotechnical engineering, site characterisation
studies and ground modelling approaches.
TC101 session contains a total of 58 written contributions.
Their presentation is organised in two parallel sessions of 29
papers each on Time effects and other peculiar observations and
Strength properties and treated soils. This General Report
refers only to the papers selected for the former session.
The origin of the authors clearly shows a wide geographical
distribution, 12 contributions from Europe, 12 from Asia, 3
from North and South America, and 2 from Australia and New
Zealand. Japan, China and France are leading in terms of
number of contributions with 5, 4 and 3 papers, respectively.
Although the papers in this session explore mainly the
experimental aspects of the behaviour of fine and granular soils,
the analysis and interpretation are enhanced due to
complementary use of various analytical and constitutive
modelling approaches. In general, there is a great concern for
conducting multi-scale investigations, including soil structure
analyses and correlation with macro soil response. Reference to
practical applications is also considered.
Despite some inherent heterogeneity, the topic covered by
the written contributions can be grouped within the following
thematic strands:
Time effects: creep, strain rate effects in fine soils;
TIME EFECTS
Of all aspects of settlement analysis, the issue of creep and

secondary consolidation is one of the area in which least
progress has been made in terms of fundamental understanding
and in the incorporation of research into practice. While the
existence of creep complicates the predictions of the magnitude
of settlement of structures founded on clay soils, further
difficulties arise from the fact that the concerned elapsed time
under the constant load following the end of the construction in
a full-scale soft clay deposit is usually very long. As a
consequence, the settlement rates are very low, significantly
lower than those that can reasonably be measured in
conventional laboratory testing (Leroueil 2006). In order to
overcome this exertion and evaluate the creep process at very
low strain rates as observed in the field (order of 10-10 %/s), a
new laboratory one-dimensional compression test method is
proposed by Kawabe and Tatsuoka (2013). The test procedure
consists of application of multiple unloading/reloading (UL/RL)
cycles with several sustained - creep - loading (SL) stages.
Figure 1 summarises the relationships between the creep strain
(for three hours) and the stress ratio between the stress at the
start of (UL) or (RL), UL or RL , and the stress at each (SL)
stage, SL obtained during multiple UL/RL cycles and several
numbers of SL stages on two samples of reconstituted soft
clays. The creep strain rates recorded during UL and RL cycles
are smaller than those during primary loading and they can
reach a very low level. Based on relations of this type, the stress
ratio corresponding to a(creep) = 0 can be deduced and based
191
1
on the Isotach viscous properties of clays, by starting the SL

after unloading (point B, Figure 2), the zero-strain-rate relation
is reached faster. Therefore, the creep behaviour at very low
strain rates is reached in a relatively short period of time, much
shorter than if SL would start from point A.
Creep axial strain, a(creep) (%)
0.3
FJM1008
FJM1016
0.2
0.1
0.0
-0.1
-0.2
-0.3
0.01
0.1
10
100
UL /SL or RL/SL
Figure 1. a(creep)- UL / SL or RL / SL relations, for two

tests on reconstituted Fujinomori soft clay (Kawabe and Tatsuoka 2013)
Reference relation for loading
log
Faster
Reference relation for

first unloading
Figure 3 Top: drained creep strains; bottom: dynamic triaxial strain

response on remoulded clay, after Yangsheng et al. (2013).
Measured -log relation

Primary loading at a constant
positive total strain rate
B
A
First unloading at a
constant negative
total strain rate
No creep
air 0
C
or
: positive or negative creep
Figure 2 Illustration of a log a and creep in Isotach theory

(Kawabe and Tatsuoka 2013)
In a similar desire to reduce the time for creep investigation

of fine soils, Yangsheng et al. (2013) propose a new testing
procedure based on the application of dynamic triaxial cycles of
frequencies about 5 kHz. The similarity between the measured
creep strain evolution and the permanent strains-number of
cycles relation in dynamic cyclic tests (Figure 3) is used by the
authors for the prediction of the creep strains. The analysis of
the microstructure of the clay samples issued from both creep
and cyclic loading by the scanning electron microscope shows
close resemblances. In a different approach, but somewhat
related study by Noda and Xu (2013), a numerical finite
element analysis (GEOASIA) of the behaviour of remoulded
clay under sustained small cyclic amplitudes followed by creep
under undrained conditions reveals that the mechanism of
swelling is localised and taking place on the shear bands due to
the pore water migration effects.
Re-evaluation of surcharging technique to reduce the
secondary compression effects on soft organic clay soils is
explored by Feng (2013) by conducting one-dimensional
laboratory compression tests on samples with different effective
surcharge ratios, Rs, where
Rs s f f
(1)
and s is the effective stress achieved at the end of

surcharging and f is the permanent final effective stress. The
results show that for small effective surcharge ratios, the
magnitude of secondary compression still remains excessive
while for the technique to be effective, higher values of Rs are
recommended.
192
(a) The Osaka Bay clay

(b) The Pisa clay
Figure 4. Microstructure of clays observed by SEM (Watabe et al.
2013).
Long-term consolidation laboratory tests on two undisturbed

clay soils Osaka Bay (flaky particles, typically smectite, with
large number of microfossils, Figure 4a) and Pisa (platy
particles, typically illite, with a small number of microfossils,
Figure 4b), were conducted and the results reported by Watabe
et al. (2013). The interpretation of the tests was also based on
the isotach concept (uklje 1957) and the relations proposed by
Leroueil et al. (1985). While Osaka Bay clay shows high strain
rate dependency well approximated by a curve model in line
with the response of a wide range of natural clay soils, the Pisa
clay revealed particularly smaller strain rate dependency. The
origin of this different response appears to be linked to the
presence of illite particles in Pisa clay.
The effect of a wide range of strain rates from 0.333 to
60,000 %/hr on the strength and stiffness of reconstituted kaolin
clay is investigated in triaxial testing conditions by Robinson
and Brown (2013). The strain level and drained conditions are
also considered. The influence of the rate effects on the peak
shear strength is presented in Figure 5 where the reference data
refers to a shear strain rate of 100 %/hr and V is the normalised
dimensionless velocity as previously defined by Randolph and
Hope (2004). While the experimental results fit well the rate
effects equation (Randolph and Hope 2004), the rate effect per
log cycle (tenfold) of the shear strength increase is about 22%,
higher than detected in various previous studies (about 10%).
The applied strain rate was also found to have a significant
impact on the small strain response, with the elastic shear strain
threshold, EL, increasing with strain rate and shear stiffness, G0,
appearing to reduce with strain rate (Figure 5).
Technical Committee 101 - Session I / Comit technique 101 - Session I

dependency based on the normal consolidation line (NCL) on

eln plane strain rate dependent shift and using the subloading
surface concept by Hashiguchi (1980). The new model is
extended for over-consolidated clay cases, by introducing a new
state parameter - the difference between the current void ratio
and the void ratio on the NCL. The introduction in the model of
another state variable, linked to an imaginary increase of density
due to bonding effect, successfully captures the response of
structured clays as well.
3
Normalised Velocity, V
Figure 5. Top: Rate effect against normalised velocity at peak strength

experimental data and model by Randolph and Hope (2004) using a
shear strain rate of 100%/hr as the reference rate; bottom: variation of
G0 against shear strain rate (Robinson and Brown 2013).
Characterisation in one-dimensional loading and undrained

triaxial compression of a bentonite mixed with different
amounts of silicon sand performed by Yin and Tong (2013)
showed creep, swelling and strain rates effects dependent on the
amount of sand. Zhakulin et al. (2013) present results of longterm observations (over 50 years) of settlements of some
industrial structures in Kazakhstan founded in clayey soils.
Laboratory investigation of the volumetric creep behaviour of
the clayey soils is also studied in laboratory on undisturbed
samples. Interestingly, it is also shown that the settlements
calculated by two different design methods are much higher
than the settlements experienced by the real structures.
The settlement behaviour of clay soils, including the effects
of time and timescale effects between a thin laboratory
specimen and a thick in situ soil layer is not a new research
topic, yet still very open as the interpretation of different results
remains controversial and does not appear to converge towards
a clear and unique framework. The work of Degago et al.
(2013) goes at the heart of these controversies by analyzing the
validity of creep hypothesis A in open conflict with creep
hypothesis B (as previously defined by Ladd et al. 1977).
Based on a critical review of relevant experimental
investigations from the literature, the main misconceptions
around the hypothesis A are discussed and detailed
argumentation is advanced. It is also emphasized that the creep
hypothesis B agrees well with the measured behaviour of
cohesive soils, the experimental results can be consistently
explained using a model based on the isotache concept.
The performance of one-dimensional (1D) formulations of
two elasto-viscoplastic models for normally consolidated clays,
one based on non-stationary flow surface type (Sekiguchi 1977)
and the other one over-stress type (Perzna 1963) is assessed
Nakai et al. (2013) against a new model that describes the time-
193
EXPANSIVE SOILS
Expansive soils are soils that undergo significant volume

change associated with variations in water content. These
volume changes can either be in the form of swell or in the form
shrinkage and they are derived from clay minerals that undergo
hydration due to rainfall and dehydration due to evaporation.
However, water access to individual clay particles depends on,
and The shrink-swell potential of expansive soils is determined
by the soil state (void ratio, the initial water content), internal
structure (micropores within soil peds and macropores between
the soil peds), vertical stresses, as well as the type and amount
of clay minerals like smectite, montmorillonite, nontronite,
vermiculite, illite, and chlorite in the soil (Jones and Jefferson
2012).
Maison et al. (2013) present a new experimental device
incorporated into an Environmental Scanning Electron
Microscope (ESEM). This new apparatus allows the
simultaneous measurements of both surface area of clay
minerals and water content evolution. The latter is deduced
from the sample weighting, while the former is based on the
image analysis technique. A complete wetting-dry cycle can be
performed in less than 24 hours, faster than the classic tests on
representative soil element samples. Figure 6 shows the
evolution of the surface strain, s, with the moisture content for
several homogenous and heterogeneous natural clays. s
represents the relative change of the surface area Si of the clay
minerals at time ti in respect with the initial area So:
Si So
So
(2)
Figure 6. Variation of the surface strain with moisture content measured

with the new experimental device developed by Maison et al. (2013).
Internal structure evolution of undisturbed and remoulded

expansive soils during triaxial loading conditions and with the
application of several wet-dry cycles is studied by Chen (2013)
on a CT scanning device. Both loading conditions accelerate the
development of the initial structural cracks and fissures (Figure
7). The process of shrinkage causes structural cracks, which on
re-wetting, do not close-up and facilitates the access of the
water.
The influence of swelling on the mechanical properties of

Clay Geosynthetic Barrier that contains bentonite
(predominantly montmorillonite) is studied by Domitrovi and
Zeli (2013). Initial swelling behaviour is explored through
long-term swelling tests using an oedometer. The intensity of
swelling decreases as normal stress level increases, however,
the time for completion of the primary swelling is independent
on the stress level, approximately 31 days. The shear behaviour
of the bentonite is studied in direct shear box on samples under
three normal stresses and with different hydration time (7, 14
and 21 days). Table 1 shows the value of the peak and residual
shear strength parameters; the angle of friction increases while
the cohesion decreases with the hydration time.
Table 1. Shear strength parameters (Domitrovi and Zeli 2013).
Figure 7. Internal structure evolution by CT scanning (section located at

1/3 of height) during: left - triaxial compression and right - several wetdry cycles (Chen 2013).
A comprehensive characterisation of the engineering

properties of the expansive glacio-lacustrine Regina clay
(Canada) is conducted by Azam et al. (2013). The clay contains
minerals like smectite, hydrous mica and chlorite, whereas the
clay size fraction (material finer than 0.002mm) is around 65%.
The soil water characteristic curve (SWCC) determined to
investigate the water retention capacity of the soil showed the
bimodal shape with two air entry values: an initial low value
corresponding to macroporous drainage (through fissures)
followed by a high value related to microporous flow (Figure 8,
top). The shrinkage curve was found to be S-shaped and
included a low structural shrinkage followed by a sharp decline
during normal shrinkage and then by a low decrease during
residual shrinkage (Figure 8, bottom).
50
Gravimetric Water Content (%)
Fissure AEV
Matrix AEV
40
30
Fissure
AEV
20
Hydration
time
7 days
14 days
21 days
Peak parameters
c (kPa)
()
11.99
11.23
8.04
12.47
6.32
12.27
Residual parameters
c (kPa)
()
11.05
7.80
4.79
9.38
3.63
9.31
Residual strength of three clay soils (clay fraction between

70% and 80%) from North-Eastern Greece with high and very
high swelling potential is evaluated by performing ring shear
tests on remoulded samples at their optimum moisture content
by Markou (2013). While the residual failure envelope appears
curved, for normal stresses up to 200 kPa it can be considerd as
linear. In all cases, the residual friction angle does not exceed
14o.
The analysis of expansive properties of natural Neogen clays
(smectite, illite minerals) that forms the main foundation
stratum of Northern Poland is performed by Kumor (2013).
Expansive clays of Northern Poland can be classified as very
expansive with a contractibility range (LL SL) of 82.1% >
50%, where LL is the liquid limit and SL is the contractility
limit. Swelling pressures that cause lifting of structures and
shrinkage that cause differential settlements are the main causes
of structural failures in Poland (Figure 9). The examination of
the volumetric changes in clays during laboratory shrinkage and
swelling phases allowed the refinement of the in-situ
shrink/swell predictions.
Matrix
AEV
43 cm
10
In situ soil
Compacted soil
0
S=
105
70
50 %
1.4
103
104
Soil Suction (kPa)
60
102
S=
101
S=
100
80
106
%
S=
10
0%
Void Ratio
1.0
Figure 9. An example of a construction failure resulting from the

application of natural swell-shrink cycles in Poland (Kumor 2013).
0.6
CONSOLIDATION/COMPRESSIBILITY
In situ soil
Compacted soil
0.2
0
10
20
30
40
50
Figure 8. Top: SWCC with gravimetric water content; bottom:

shrinkage curves (Azam et al. 2013).
194
It is known that three-dimensional effects may significantly

accelerate the rate of settlement of foundations on clay,
primarily because of the ability of excess pore water pressure to
dissipate horizontally as well as vertically. These effects are
further accelerated by the use of radial drainage. However, most

Compressor
Pneumatic Actuator
Silicon
LVDT
Earth pressure
gauge
Drainage
hole
Earth pressure
gauge
Digital
Camera
Back pressure
reser voir
Pore pressure
measuring points
Figure 10. Schematic view of the consolidation test apparatus (Kim et

al. 2013)
A laboratory apparatus for axi-symmetric electro-osmotic

consolidation of cylindrical samples of 37.6cm diameter and
20cm height is developed by Hu et al. (2013) with capabilities
of measuring the electrical voltage, soil mass displacement,
water discharge, and electrical current parameters (Figure 11).
While tests on kaolin clay showed non-linear variation of soil
parameters and complex coupling effects between water flow,
soil deformation and electrical properties, a theoretical model
that integrates Biots consolidation equation with the electroosmotic flow and the equation for an electric field is proposed.
Figure 12 shows the comparison of the surface settlement at one
location between the numerical results and the experiment data.
The simulations of the model with variable electrical
conductivity agree better with the experimental data than those
of the model with constant electrical conductivity.
Data acquisition instrument
t/h
0
0
-0.005
20
40
60
80
100
Experiment data
Numerical result:variable parameters
Settlement (m)
of the analytical solutions for consolidation under radial

drainage are based on the assumption that only vertical
compression occurs. A new physical consolidation model test
under plane strain condition, which enables the observation of
the deformation of a specimen through digital image analysis,
and the measurement of the total vertical stress as well as the
pore water pressures, is developed by Kim et al. (2013). A
schematic view of the apparatus is shown in Figure 10.
Consolidation tests of reconstituted kaolin samples (150 mm
height, 140 mm width, and 40 mm thickness) were performed
using the new consolidation apparatus under radial drainage,
along with test under vertical drainage. Radial deformations as
well as vertical deformations during consolidation were
monitored and compared for the two different drainage
conditions. Significant horizontal displacements are occurring
during the early stages of the consolidation process, whereas
during the intermediate stage, only minor horizontal
displacements are identified. The horizontal displacements are
higher near the boundaries and this induces uneven void ratio
distribution at the end of consolidation. Meanwhile, for the
vertical drainage, only minor variations of the horizontal
displacements inferior of 0.006 mm were observed.
-0.01
Numerical result:constant parameters
-0.015
-0.02
-0.025
Figure 12. Comparison of the settlement between the numerical

results (two models) and recorded data (Hu et al. 2013).
Compression properties of Swedish fine-grained sulphide

clay soils are explored by Westerberg and Andersson (2013)
through the monitoring and analysis of the long-term response
of two instrumented real scale test embankments. Actually, the
predicted settlements of a construction founded on sulphide
soils deviates significantly from those measured in situ, and
normally the predicted settlements are too small. In sulphide
soils, the structure is often relatively porous and the voids
between the mineral grains and clay particles are filled with
pore water, organic material and iron sulphide. Field
investigations of the properties of the sulphide soil were
performed by cone penetration tests, field vane tests and
Swedish piston sampling and an extensive program of
laboratory investigation, in oedometer, both by incremental
loading and constant rate of strain, creep tests, permeability as
well as undrained direct simple shear tests, were conducted for
the determination of compression and strength properties. Very
good agreement between data given by different field
instrumentations is reported.
The heave rebound strain prediction of overconsolidated
soils represents an important engineering design issue since the
development of major road infrastructures that involve deep
excavations and trenches. Based on the use of simple oedometer
tests combined with an analysis of stress paths approached by
Ylight model (Leroueil, Magnan & Tavenas, 1985), Petit et al.
(2013) present a quantification method of those heave rebound
strains. The results of the calculations of the heave rebound over
a 120m deep clay deposit for three excavation depths of 10, 20
and 40m are shown in the Figure 13. The estimations show that
the elastic rebound are relatively small, between 0.01 and
0.02m.
power source
Top cap
ammeter
Vacuum pump
displacement
sensor
Voltage
sensor
Cathode
Soil Sample
Anode
drain hole
Vertical drain
moisture
trap
Outlet of water
Figure 13. The profile of the heave rebound for three different
excavation depths (Petit et al. 2013).
Figure 11. Electro-osmotic apparatus (Hu et al. 2013)
195
The problem of estimation of the at rest coefficient Ko for

overconsolidated soils is treated by Bohac et al. (2013). At a site
containing highly overconsolidated clays, Ko was measured by
using Marchetti (1980) flat dilatometer. The Ko values are
higher than those estimated from oedometer yield point and
empirical correlations by Main and Kulhawy (1982). Numerical
modelling of the flat dilatometer penetration into the soil based
on a hypoplastic model (Man, 2005) combined with the
intergranular strain concept proposed by Niemunis and Herle
(1997) were also performed. However the K0 values are slightly
underpredicted.
5
CRUSHABLE GRANULAR SOILS
d nd
Ps d exp
d
o
(3)
where o is the value of the strength of do size particles such

that 37% of the total number of tested particles survive. The
exponent m is called the Weibull modulus, which increases with
decreasing variability in strength of the material. For each
material, drained triaxial tests on dry samples (maximum
particle diameter sizes of 40mm (CP1 and STV1) and 160mm
(CP2 and SV2)) under different confining presures were
performed. Considering that individual particle breakages affect
the shear strength of the entire granular medium, a method to
predict the effects of scale on shear strength envelopes of
rockfills is proposed. Figure 15 shows the comparison between
measurements and predictions for shear strength envelopes for
both CP2 and STV2 materials, based on the best fit of CP1 and
STV1 data with the failure envelope given by De Mello (1977)
(=A.nb).
Shear stress (MPa)
The significance of particle crushing to the mechanical

behaviour of granular materials has been well identified and in
the particular field of geomechanics, it is recognized as having a
major effect in a wide range of practical problems involving
shallow foundations, bearing capacity of piles, stability of earth
structures, seepage properties, hydraulic conductivity, and porepressures distribution in earth dam water retaining structures,
pavement and railway substructures. However, the laboratory
investigation and interpretation of crushable materials show
some inherent difficulties and there is a need for consideration
of appropriate approaches that may differs from non-crushable,
cohesionless sands. In this respect, Wils et al. (2013) identify
and analyse several issues like: determination of the minimum
and maximum density, sieving and the need for advanced grain
morphology characterisation by means of microscopy, the
abrasion of particles and the apparent cohesion due to
interlocking of the angular particles creating sand clusters with
the appearance of larger particles, as well as the existence of
larger shells sheltering smaller grains.
under various stress path tests is conducted by Casini et al.

(2013). The material was reconstituted, with a maximum
particle size of 2 mm, into grading curves with the same mean
diameter, d50, and different coefficients of uniformity, U (= 3.5,
7, 14, 28) or the same U and different d50 (= 0.5, 1mm).
Changes in of the grading at the end of the tests (one
dimensional, isotropic and triaxial compression) were described
using two parameters defined as the mean diameter and
coefficient of uniformity of the final distribution over the values
of the initial distributions, d50/d50i and U/Ui, respectively. Poorly
graded samples show more pronounced decrease in mean
diameter and increase of uniformity with higher applied stresses
(Figure 14).
Experimental evidence of size effects in rockfill shear
strength and the link with the crushing strength of rock
aggregates is presented by Frossard et al. (2013). Compression
test results on individual chalk (CP) and quartz rock (STV)
particles have been statistically analysed and it was shown that
the probability of survival for each grain size fraction follows
Weibull distribution given by:
0.8
CP1
0.6
CP2
0.4
STV1: dmax=40mm
0.2
STV2: dmax=160mm
0.0
De Mello's fitting
0.0
0.2
0.4
0.6
Normal stress (MPa)
0.8
Prediction for CP2 &

STV2
Figure 16. Scale effect on shear strength (Frossard et al. 2013).
Figure 14. Evolution of ratios: (a) d50/d50i and (b) U/Ui with mean
effective stress applied in 1D-compression (Casini et al. 2013).
An experimental investigation into the mechanical response

of an artificial granular material, consisting of crushed
expanded clay pellets, LECA (Light Expanded Clay Aggregate)
196
Investigations performed by Shahnazari et al. (2013) on the

mechanical behaviour in triaxial apparatus of two calcareous
natural soils obtained from the Persian Gulf, Hormuz Island
sand (HI) and Bushehr Port sand (BP) (Figure 16), and
comparison with the triaxial response of a silica sand, Firoozkuh
(F) showed behavioural contrast between the sand materials,
and through global measurements, clear evidence of particle
breakage of the former soils.
Results from a series of basic characterisation tests
conducted on reconstituted samples of carbonate sand to
understand its behaviour are reported by Safinus et al. (2013).
Compared to silica sand, carbonate sand has considerably
higher angularity, lower grain hardness and higher intra-particle

tend to deform in one-dimensional compression way, with

practically no change in the diameter of the sample, also a
consequence of the large amount of particle crushing. An
example of observed incremental strain ratio evolution for one
of the materials during triaxial testing is shown in Figure 19.
Vertical bearing pressure, qu (kPa)
0
100
200
300
400
Normalised penetration depth, d/D
porosity, which result in high friction angles and

compressibility. The corresponding dilatancy is affected
strongly by the confining stress (Figure 17): even for low
relative densities, dilation occurs at low confining stresses,
reflecting the greater particle interlocking compared to silica
sand, while with the increase of confining stress, the dilatancy is
suppressed quickly, and finally diminishes completely at a
relatively low stress level, due to particle degradation. The
influence of the observed characteristics of carbonate and silica
sands on practical applications was examined through model
tests in drum centrifuge of spudcan foundations penetrating
through four-layer soils, with a carbonate or silica sand layer
interbedded in soft clay. All measures of spudcan punchthrough severity were significantly lower for interbedded
carbonate sand despite its higher friction angle ( crit = 40)
compared to silica sand (crit = 34), Figure 18.
Punchthrough
0.25
Carbonate
sand
ID = 38%;
crit = 40
0.5
Soft clay
Silica sand
ID = 38%;
crit = 34
0.75
1
Layer
interface
Soft clay
1.25
1.5
1.75
Stiff clay
2
Figure 18. Effect of interbedded sand mineralogy on load penetration

response: severity of punch-through (Safinus et al. (2013).
Str ain r atio d v /d a
Figure 16. Microscopic images of Hormuz Island sand (top) and

Bushehr Port sand (bottom) from Shahnazari et al. (2013).
JPN pum ice

d=5.77kN/m 2
1600kPa
JPN pum ice

d=5.70kN/m 2
400kPa
One dimensional
com pression
JPN pum ice

d=5.70kN/m 2
100kPa
-1
0
4
Axial s tr ain a (% )
Figure 19. Incremental strain ratio against axial strain for drained
triaxial tests on pumice sand from Japan (Kikkawa et al. 2013).
Figure 17. Volumetric change of carbonate sand in drained simple shear

test with lateral stress ratio K = 0.4 (Safinus et al. (2013).
Observations of the experimental behaviour of two pumice

sands from Japan and New Zealand are made by Kikkawa et al.
(2013). While the composition of Pumice sands is dominated by
silica and aluminium oxide, they are normally characterised by
the presence of particles that are easily crushed against a hard
surface under fingernail pressure. Considerable particle
breakage is occurring in triaxial compression loading, while
mobilization of the drained shear strength is increasing steadily
with the shear strain. However, owing to a different stress path,
less crushing is occurring in undrained testing. A particularly
interesting feature of the drained shear behaviour of these two
materials is that with a sufficiently large confining pressure they
197
CONCLUSION
This paper presents a General Report of 29 written

contributions from authors representing 22 countries submitted
for one of the parallel sessions, Time effects and other peculiar
observation, of the Technical Committee 101: Laboratory Stress
Strength Testing of Geomaterials. The General Report reviews
these contributions and presents the current research directions
mainly in relation to the experimental behaviour as well as the
key outcome results. The topics covered by the written
contributions have been grouped within the following thematic
strands:
Time effects: creep, strain rate effects in fine soils;
Consolidation/compressibility (loading and unloading);
Expansive soils: swelling/shrinkage characterisation;
Crushable granular soils.
Various analytical and constitutive modelling approaches
successfully assisted the interpretation of the presented
experimental data and in general, the research methodology
adopted considered multi-scale investigations, including soil

structure analyses and correlation with macro soil response.
Reference to practical applications was also considered.
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th
th
Engineering properties of an expansive soil

Proprits mcaniques d'un sol gonflant
Azam S., Ito M., Chowdhury R.
Environmental Systems Engineering, University of Regina, Regina, SK, Canada
ABSTRACT: The engineering properties of an expansive soil were investigated using in situ and compacted samples. The soil water
characteristic curve was found to have a bimodal shape composing of two air entry values: an initial low value corresponding to
macroporous drainage followed by a high value related to microporous flow. Likewise, the shrinkage curve was found to be S-shaped
and included a low structural shrinkage followed by a sharp decline during normal shrinkage and then by a low decrease during
residual shrinkage.
RSUM: Les proprits mcaniques d'un sol gonflant ont t tudies l'aide d'chantillons compacts obtenues sur le terrain. La
courbe caractristique en eau du sol s'est rvl avoir une forme bimodale avec deux valeurs d'entre d'air: une valeur initiale
correspondant un faible drainage macroporeux suivi d'une valeur leve par rapport l'coulement microporeux. De mme, la
courbe de rtrcissement est en forme de S et inclus un faible rtrcissement structurelle suivie d'une forte baisse pendant le
rtrcissement normal, suivie dune une diminution faible durant le rtrcissement rsiduel.
KEYWORDS: expansive soil, soil water characteristic curve, shrinkage curve.
1
INTRODUCTION
The capital of Saskatchewan, Canada, is founded on a glaciolacustrine clay deposit that exhibits significant volume changes
due to seasonal weather variations. Alternate swelling and
shrinkage in the expansive Regina clay has impaired civil
infrastructure such as transportation networks (Kelly et al.
1995), residential, industrial, and commercial facilities (Ito and
Azam 2010), and water supply and sewage collection systems
(Hu and Hubble 2005). Damages to engineered facilities are
clearly manifested in the form of differential heave in roadways
and sidewalks, inclined cracking in slab-on-grade basements
and masonry walls, and fatigue and breakage in underground
storage tanks and buried pipelines. The associated repair cost is
usually quite enormous. For example, the breakage rate in the
850 km long water supply network in the city has now reached a
30-year maximum of 0.27 breaks/km/year, costing more than $2
million in annual maintenance. Furthermore, the city is
currently going through a period of infrastructure development
including mega-projects such as the Global Transportation Hub
and the Downtown Covered Stadium with a 55000-seat
capacity. Clearly, there is a need to study site-specific soil
properties for the continuous maintenenace and improved
design of civil infrastructure systems in Regina.
Generally, volume changes in expansive soils are derived
from clay minerals that undergo hydration due to rainfall and
dehydration due to evaporation. This process is governed by the
attraction of bipolar water molecules to the negatively charged
clay particles possessing high specific surface areas (Mitchell
and Soga 2005). However, water access to individual clay
particles primarily depends on the following two factors: (i) soil
structure (mircopores within soil peds and macropores between
the soil peds) and (ii) soil state (void ratio and degree of
saturation). These parameters are respectively governed by
parent geology and construction practices prevalent in an area.
Recent research on local expansive clays has focused on the
determination of unsaturated soil properties using undisturbed
samples from the geological deposit (Azam and Ito 2011) and
1991
on the correlation of these properties with morphological

observations using cryogenic specimens in a scanning
electron microscope (Ito and Azam 2013). These studies
concluded that the geologically-induced soil structure governs
the water migration and the swell-shrink patterns through the
expansive clay. The present study extends the current body of
knowledge to compacted soils thereby capturing the effect of
soil state on the the properties of local clays. Overall, a
generalized theoretical framework is developed to understand
the behavior of expansive soils.
The main objective of this paper is to understand the
engineering properties of Regina clay using in situ and
compacted specimens. Geotechnical index properties were
determined for preliminary soil assessment. The soil water
characteristic curve (SWCC) was determined to investigate the
water retention capacity of the soil. Likewise, the shrinkage
curve was determined to correlate volume changes with soil
saturation and desaturation.
2
RESEARCH METHODOLOGY
The expansive clay was retrieved from a local soil deposit that
was found to be desiccated in early Fall and exhibited extensive
fissuring oriented in all directions. High quality undisturbed
samples were obtained using the ASTM Standard Practice for
Thin-Walled Tube Sampling of Soils for Geotechnical Purposes
(D1587-08) from a depth of 0.6 m to 1.2 m. Likewise, disturbed
samples were obtained from bore cuttings according to the
ASTM Standard Practice for Soil Investigation and Sampling
by Auger Borings (D1452-09). All of the specimens were
plastic-wrapped and wax-coated and the entire collection was
transported and stored at the University of Regina as per the
ASTM Standard Practice for Preserving and Transporting Rock
Core Samples (D5079-08). The latter samples were compacted
in acordance with the ASTM Standard Test Methods for
Laboratory Compaction Characteristics of Soil Using Modified
Effort (D1557-12).
th
The geotechnical index properties were determined

according to the ASTM test methods as follows: (i) water
content (w) by the Standard Test Methods for Laboratory
Determination of Water (Moisture) Content of Soil and Rock by
Mass (D2216-05); (ii) dry unit weight (d) by the Standard Test
Method for Density of Soil in Place by the Drive-Cylinder
Method (D2937-10) for the in situ sample and by the abovementioned method for the compacted sample; (iii) specific
gravity (Gs) by the Standard Test Methods for Specific Gravity
of Soil Solids by Water Pycnometer (D854-10); (iv) liquid limit
(wl), plastic limit (wp) and plasticity index (Ip) by the Standard
Test Methods for Liquid Limit, Plastic Limit, and Plasticity
Index of Soils (D4318-10); and (v) grain size distribution
(GSD) by the Standard Test Method for Particle-Size Analysis
of Soils (D422-63(2007)). The entire GSD data is not given in
this paper.
The SWCC was determined according to the ASTM
Standard Test Methods for Determination of the Soil Water
Characteristic Curve for Desorption Using a Hanging Column,
Pressure Extractor, Chilled Mirror Hygrometer, and/or
Centrifuge (D6836-02(2008)e2) on 10 mm thick samples
obtained from both the undisturbed core and the compacted
sample. Predetermined values of matric suction were applied
using pressure plate and pressure membrane extractors
manufactured by Soil Moisture Equipment Inc. These
equipment included the following: (i) a 5 bar pressure plate
extractor (Model 1600) for up to 200 kPa suction; (ii) a 15 bar
pressure plate extractor (Model 1500F1) for suction values
ranging from 300 kPa to 500 kPa; and (iii) a 100 bar pressure
membrane extractor (Model 1020) for suction values between
2000 kPa and 7000 kPa. The porous plates and the cellulose
membranes were submerged in distilled and de-aired water for
24 hours to expel air bubbles. Thereafter, the specimens along
with the retaining ring were placed on their respective porous
plate or cellulose membrane and allowed to saturate. Next, the
excess water was removed and each plate or membrane was
placed in the designated extractor. For each suction value, the
expelled water from the samples was monitored in a graduated
burette. When two consecutive readings nearly matched over a
24 hour period, the test was terminated and the sample water
content was determined.
The dew point potentiameter (WP4-T) was used for suction
measurement at low water content corresponding to total
suction values greater than 7000 kPa. The sampling cup was
half filled with soil to ensure accurate suction measurement
(Leong et al. 2003) by using about 5 mg of material with a
known water quantity. The unsaturated sample was forwarded
to the head space of the sealed measurement chamber, set at
25C temperature, through a sample drawer and was allowed to
equilibrate with the surrounding air. Equilibration was usually
achieved within 10 min to 20 min, as detected by condensation
on a mirror and measured by a photoelectric cell. From
knowledge of the universal gas constant, R (8.3145 J/molK),
sample temperature, T (K), water molecular mass, X (18.01
kg/kmol), and the chamber relative humidity, p/po, soil suction
was calculated ( = RT/X ln (p/po)) and displayed on the
potentiameter screen. The water content of the soil was
measured as described earlier.
The shrinkage curve was determined in accordance with the
ASTM Standard Test Method for Shrinkage Factors of Soils by
the Wax Method (D4943-08). To obtain the void ratio, the
volume of soil specimens was determined using the water
displacement method. Each specimen was coated with molten
microcrystalline wax (Gs = 0.9) and allowed to cool down at
room temperature. After wax solidification, the sample was
submerged in a 250 mL graduated cylinder that was filled with
distilled water. The water height in the cylinder was carefully
recorded using a Vernier caliper before and after sample
submersion in the cylinder. A graduated syringe was used to
remove the increased amount of water displaced by the sample
200
thereby bringing the water height back to the initial reading.

The displaced water mass was determined by weighing the
graduated syringe before and after water filling and recording
the difference. This quantity was readily converted to water
volume representing the volume of the wax-coated soil. The
volume of soil was obtained from the difference of volume of
the wax coated sample and the volume of wax (mass/0.9). A
7.4% correction was applied to account for the underestimation
due to air entrapment at the soil-wax interface, as suggested by
Prakash et al. (2008). The sample mass was also determined to
estimate the bulk unit weight of the soil that, in turn, was
converted to the void ratio using basic phase relationships.
3
RESULTS AND DISCUSSION
Table 1 summarizes the geotechnical index properties of the

investigated soil. The water content and the dry unit weight of
the in situ sample were found to be 31% and 1.34 g/cm3,
respectively. In early Fall when the sample was collected, the
soil generally experiences a net water deficit given the semi-arid
climate prevalent in the region. This was evident from the
unsaturated (S = 82%) state of the sample in the field: the field
void ratio was calculated to be 1.05. Similar initial conditions
(w = 38% and d = 1.29 g/cm3) were chosen for the compacted
sample to obtain comparable data: the corresponding saturation
and void ratio were found to be 86% and 1.18, respectively. The
high liquid limit and plastic limit indicate the high water
adsorption capability of the clay. These values are attributed to
the presence of expansive clay minerals such as smectite,
hydrous mica, and chlorite (Ito and Azam 2009). Likewise, the
clay size fraction (material finer than 0.002 mm) was found to
be around 65%. The fine grained nature of the soil suggests a
high water retention capacity. The calculated soil activity (A =
Ip / C) of about 0.8 is associated with moderate swelling.
Overall, the soil was classified as CH (clay with high plasticity)
according to the Unified Soil Classification System (USCS).
Table 1. Summary of geotechnical index properties
In situ
Compacted
31
38
Dry Unit Weight, d (g/cm3)
1.34
1.29
Specific Gravity, Gs
2.75
2.74
Void Ratio, e*
1.05
1.18
Degree of Saturation, S (%)
81
86
Liquid Limit, wl (%)
83
77
Plastic Limit, wp (%)
30
27
Plasticity Index, Ip (%)
53
50
Clay Size Fraction, C (%)
66
64
CH
CH
Property
Water Content, w (%)
USCS Symbol
* e = (Gs w / d) - 1
S = w Gs / e
Figures 1 shows SWCC with gravimetric water content. The
samples were put in a water tub for one week and the water
content measured 38% for the in situ sample and 46% for the
compacted sample. Irrespective of the initial water content, the
SWCC data fitted well to bimodal distributions with two air
entry values: a lower value (10 kPa) corresponding to drainage
through fissures followed by a higher value (300 kPa and 100
kPa for the two samples, respectively) associated with seepage
through the soil matrix. When the samples were gradually
desaturated, air first entered into the fissures at low suction.

th
data depicted a bimodal function with a fissure air entry value

of 10 kPa. For the in situ sample, the average degree of
saturation decreased due to drainage through fissures and
reached about 70% when most of the fissures were filled with
air. The corresponding saturation for the compacted sample was
found to be around 85% indicating the presence of relatively
smaller and less frequent discontinuities. Once the fissures were
desaturated, water flow had to occur through voids in the soil
aggregates. Microporous drainage required a high suction (6000
kPa) for air to enter into the soil matrix. In contrast to Figure 1,
the significantly higher matrix air entry value in this figure is
attributed to the gradual decrease in soil volume with increasing
suction. As explained later, this volume reduction is primarily
due to reduced fissure sizes and, as such, was not captured in
Figure 2 that is based on an average void ratio.
Although the fissures are sealed due to hydration of clay

minerals, these discontinuities have much lower tensile
strengths than the soil aggregates (Azam and Wilson 2006).
This led to a quick drainage through these paths of least
resistance. Subsequent application of suction affected the soil
aggregates and eventually forced air to enter into the pore
system of the aggregate. The upward SWCC shift of the
compacted sample with respect to the in situ sample is attributed
to the high initial water content of the former sample. Upon
water inundation, this sample favored particle hydration because
of a comparatively looser state (e = 1.18). Likewise, the
relatively homogeneous structure of the compacted sample
correlated well with its smaller difference between the two air
entry values. The effect of soil structure was eliminated when
the two curves merged at higher suction. Desaturation occurred
at an increased rate up to residual suction of 2000000 kPa (w =
5%) and the curves finally joined the abscissa at 106 kPa.
80
Fissure AEV
Degree of Saturation (%)
50
100
Matrix AEV
40
30
Fissure
AEV
20
Matrix
AEV
10
100
101
102
103
104
Soil Suction (kPa)
1.4
105
1.2
Void Ratio
In situ soil
Compacted soil
1
AEV
0.8
0.6
In situ soil
Compacted soil
102
103
104
Soil Suction (kPa)
105
101
102
103
104
Soil Suction (kPa)
105
106
Figure 3. SWCC with degree of saturation
106
AEV
101
40
100
Figure 2 presents the SWCC in the form of void ratio as a

function of soil suction. The measured data closely followed
unimodal distributions showing a single air entry value (300
kPa for the in situ sample and 100 kPa for the compacted
sample). The latter sample plotted at a higher void ratio at low
suction and merged with the in situ sample at 500 kPa.
Thereafter, the singular curve exhibited a sharp decrease in void
ratio up to the residual condition, became asymptotic to the
abscissa after the residual suction and never reporting to 106 kPa
on complete drying. This is because void ratio of a soil pertains
to an average value for all voids and does not differentiate
between inter-aggregate fissures and intra-aggregate pores.
Clearly, SWCC representation in the form of void ratio is not
suitable for expansive soils.
100
Matrix
AEV
Figure 1. SWCC with gravimetric water content
0.4
60
20
In situ soil
Compacted soil
Fissure
AEV
106
Figure 2. SWCC with void ratio
Figure 3 gives the SWCC in the form of degree of saturation

versus suction. Similar to Figure 1, the laboratory measured
201
The SWCC given in the form of water content versus matric

suction is the most accurate representation for expansive soils.
This is because gravimetric water content (measured for each
suction value) captures the water drainage through fissures and
is independent of volume changes due to water adsorption by
clay particles. Likewise, the SWCC represented in the form of
degree of saturation versus soil suction is most suitable for
understanding volume decrease in fissures due to suction
application. Marinho (2005) reported that for plastic soils,
drainage through water filled pores is associated with pore
compressibility due to capillarity and this phenomenon renders
such soils to remain saturated over higher suction values. This
representation implies that the expansive soil aggregates remain
saturated over a wider range of suction generally prevalent in
the field, as postulated by Fityus and Buzzi (2008).
Figure 4 shows the shrinkage curve for the investigated
expansive clay. Theoretical lines representing various average
saturation degrees were obtained from basic phase relationships
and using Gs = 2.75. The initially unsaturated samples were first
wetted to achieve close to saturation conditions and
subsequently desaturated by applying different suction values.
The void ratio and water content of each sample were
determined as described earlier in this paper. The data depicted
in Figure 4 indicate S-shaped shrinkage curves for both sample
types and represent the progressive drying of the investigated
expansive soil. The curves are composed of an initial low
structural shrinkage followed by a sharp decline during normal
shrinkage and then by a low decrease during residual shrinkage
(Haines, 1923). During structural shrinkage, water within the
fissures and some of the larger and relatively stable voids is
removed such that the decrease in soil volume is less than the
volume of water lost. Volume decrease in soil is equal to the
volume of water lost during normal shrinkage thereby leading to
a 45o straight line, which is almost parallel to the 100%
saturation line. This suggests that drainage primarily takes place
through the soil matrix in the normal shrinkage zone. During
th
%
70
S=
50 %
S=
S=
1.4
60
%
residual shrinkage, air enters the pores close to the shrinkage

limit and pulls the particles together due to suction. This leads
to a further decrease in soil volume albeit lower than the volume
of water lost. Furthermore, the high volume change and the
closeness to the saturation line during normal shrinkage
corresponded well with the comparatively looser state and a
relatively homogeneous structure of the compacted sample.
Finally, the observed shrinkage curve is reversible because the
in situ soil has undergone numerous swell-shrink cycles since
deposition. Likewise, Tripathy et al. (2002) reported that
equilibrium conditions are usually attained after about four
cycles in compacted soils.
80
S=
0%
10
Void Ratio
1.0
0.6
The engineering properties of a typical expansive soil (from

Regina, Saskatchewan, Canada) were investigated under in situ
and compacted conditions. For both sample types, the clay
behavior was characterized by its internal structure comprising
of fissures and aggregates. The SWCC using water content on
the ordinate showed a bimodal distribution with two air entry
values: a lower value (10 kPa) corresponding to drainage
through fissures followed by a higher value (300 kPa for the in
situ sample and 100 kPa for the compacted sample) associated
with seepage through the soil matrix. Sample type became
irrelevant when the flow started to occur through the soil
matrix. The matrix air entry value was found to be about 6000
kPa when the SWCC was plotted in the form of the degree of
saturation versus soil suction. Likewise, the shrinkage curve
was found to be S-shaped and included a low structural
shrinkage followed by a sharp decline during normal shrinkage
and then by a low decrease during residual shrinkage. The
extent of volume change that depends on the initial void ratio
must be calculated from the reversible swell-shrink curve.
5
In situ soil
Compacted soil
0.2
0
10
20
30
40
50
Figure 4. Shrinkage curve
Theoretically, the shrinkage curve comprises of two straight

lines: a sloped line closely following the S = 100% line that
joins a horizontal line at a void ratio associated with the
shrinkage limit of the soil. This means that soils essentially
remain saturated up to the shrinkage limit following a J-shaped
curve. Due to the presence of fissures, the investigated soil (in
both in situ and compacted conditions) exhibited deviations
from this theoretical behavior.
The definition the degree of saturation for expansive soils is
not straight forward. Since such soils consist of discontinuities
and soil aggregates, the calculated degree of saturation pertains
to an average value for the entire soil mass. This definition was
used in Figure 3 because it permits easy calculations. A more
accurate approach is to consider only the soil aggregates as
saturated up to the matrix air entry value of Figure 3 and the
fissures as air filled cracks. This is close to an equilibrium soil
microstructure that allows alternate swelling and shrinkage. In
this approach, the change of water volume in the soil mass
equates to the volume change of the soil aggregates and that of
the cracks. Gens and Alonso (1992) explained the two levels of
soil structure in their framework as follows: the micro-level is
governed by physicochemical interactions between the
expansive clay minerals thereby forming aggregates whereas
the macro-level includes both the aggregates and the fissures.
Overall, water flow through expansive soils is governed by
soil structure as indicated by bimodal SWCCs for both
undisturbed and compacted samples: sample type becomes
irrelevant when the flow starts to occur through the soil matrix.
Likewise, the S-shaped swell-shrink curve confirms the
structure dominant volume change behavior of such soils for
both samples. In the absence of an adequate definition for the
degree of saturation, soil state pertains to the initial void ratio.
This parameter governs the extent of volume change that, in
turn, must be calculated from the reversible swell-shrink curve
for expansive soils.
202
CONCLUSIONS
ACKNOWLEDGEMENTS
The authors acknowledge the material and financial support

provided by the Saskatchewan Ministry of Highways and
Infrastructure and the University of Regina for providing
laboratory space.
6
REFERENCES
Azam S. and Ito, M. 2011. Unsaturated soil properties of a fissured

expansive clay. Proceedings, 64th Canadian Geotechnical
Conference, Toronto, Canada. 313:1-5.
Azam, S. and Wilson, G.W. 2006. Volume change behavior of a
fissured expansive clay containing anhydrous calcium sulfate.
Proceedings, 4th International Conference on Unsaturated Soils,
Carefree, Arizona, USA. 1, 906-915.
Fityus, S. and Buzzi, O. 2008. The place of expansive soils in the
frameworks of unsaturated soil mechanics. Applied Clay Science
43, 150-155.
Gens, A. and Alonso, E.E. 1992. A framework for the behaviour of
unsaturated expansive clays. Canadian Geotechnical Journal 29,
1013-1032.
Haines, W.B. 1923. The volume change associated with variations of
water content in soil. Journal of Agricultural Science 13, 296-310.
Hu, Y. and Hubble, D.W. 2005. Failure conditions of asbestos cement
water mains. Canadian Geotechnical Journal 34, 608-621.
Ito, M. and Azam, S. 2013. Engineering properties of a vertisolic
expansive soil deposit. Engineering Geology. 152(1):10-16
Ito, M. and Azam, S. 2010. Determination of swelling and shrinkage
properties of undisturbed expansive soils. Geotechnical and
Geological Engineering 28, 413-422.
Ito, M. and Azam, S. 2009. Engineering characteristics of a glaciolacustrine clay deposit in a semi-arid climate. Bulletin of
Engineering Geology and the Environment 68, 551-557.
Kelly, A.J., Sauer, E.K., Barbour, S.L., Christiansen, E.A., and Widger,
R.A. 1995. Deformation of the Deer Creek bridge by an active
landslide in clay shale. Canadian Geotechnical Journal 32, 701-724.
Leong, E.C., Tripathy, S. and Rahardjo, H. 2003. Total suction
measurement of unsaturated soils with a device using the chilledmirror dew-point technique. Geotechnique 53, 173-182.
Marinho, F.M.A. 2005. Nature of soil-water characteristic curve for
plastic soils. Journal of Geotechnical and Geoenvironmental
Mitchell, J.K. and Soga, K. (2005). Fundamentals of Soil Behaviour.
3rd ed., John Wiley and Sons, Inc. New York, NY, USA.
Prakash, K., Shidharan, A. Baba, J.A., and Thejas, H.K. 2008.
Determination of shrinkage limit of fine-grained soils by wax
method. Geotechnical Testing Journal 32, 86-89.
Tripathy, S., Subba Rao, K.S., and Fredlund, D.G. 2002. Water contentvoid ratio swell-shrink paths of compacted expansive soils.
Canadian Geotechnical Journal 39, 938-959.
th
Methods of determination of K0 in overconsolidated clay

Mthodes de dtermination de K0 dans une argile surconsolide
Boh J., Man D., Malt R., Novk V., Rott J.
Charles University in Prague, Faculty of Science, Albertov 6, 12843 Praha 2, Czech Republic
ABSTRACT: In situ effective stresses, expressed usually by the at rest coefficient K0, influence the mechanical behaviour and thus
any geotechnical analysis. In normally consolidated soils K0 can be computed according to the Jky formula. For overconsolidated
clays however neither a general formula nor a general experimental procedure are available. The paper summarizes briefly the
available methods and then presents some methods in more detail. First the use of flat dilatometer is discussed. Further, K0 is
determined by back analysing the convergence of a circular test gallery. Finite element analysis using the hypoplastic constitutive
model to represent the clay behaviour is adopted in the analyses.
RSUM : Les contraintes effectives in situ, exprimes habituellement travers le coefficient des terres au repos K0, ont une
influence sur le comportement mcanique des sols, et donc, sur toute analyse gotechnique. Dans les sols normalement consolids, K0
peut tre calcul partir de la formule de Jky. Pour les argiles surconsolides cependant, il nexiste ni formule gnrale, ni procdure
exprimentale reconnue pour valuer ce paramtre. La communication prsente rsume brivement les mthodes actuellement
disponibles, puis prsente quelques mthodes plus en dtail. D'abord, lutilisation du dilatomtre plat et d'une cellule de pression en
forme de pelle est discute. En outre, K0 est dtermin partir de lanalyse en retour de la convergence d'une galerie dessai circulaire.
Une approche en lments finis, base sur lutilisation dune loi de comportement hypoplastique pour modliser le comportement des
argiles, est adopte dans lanalyse.
KEYWORDS: clay, earth pressure at rest, horizontal stress, anisotropy, hypoplasticity, tunnelling.
MOTS-CLS : argile, pression des terres au repos, contrainte horizontale, anisotropie, hypoplasticit, tunnel
very intensive research for many decades, Hight et al. (2003)

noted: Still the most difficult parameter to determine for the
London Clay is K0.
INTRODUCTION
The in situ effective stresses represent an important initial

condition for geotechnical analyses. Typically, the horizontal
stress is computed from the vertical stress using the coefficient
of earth pressure at rest K0=h'/v', where h' and v' are
effective horizontal and vertical stresses, respectively. In the
case of deep foundations (friction piles), retaining structures and
tunnels, K0 influences the mechanical behaviour dramatically.
Franzius et al. (2005) made a direct investigation into the
influence of K0 conditions in 3D finite element analysis of a
tunneling problem using K0 = 1.5 and K0 = 0.5. The
unrealistically low K0 value for London Clay led to better
predictions: the normalised settlement trough was narrower and
deeper. In absolute values, however, low K0 caused
overprediction of surface settlements by a factor of 4. With
K0 = 1.5 the predicted trough was too wide and vertical
displacements were underpredicted by the factor of 4.
For normally consolidated soils the estimation of horizontal
stresses is not a major problem. Jky's equation in its usual
simplified form of K0nc=1-sinc' may be used in determining the
K0nc for normally consolidated soils (Jky, 1948; c' is the
critical state friction angle). There is a lot of experimental
evidence throughout the literature that the Jky formula
represents the at rest coefficient of normally consolidated soils
well provided the critical state effective friction angle c' is used
(Mesri and Hayat, 1993; Mayne and Kulhawy, 1982).
For overconsolidated clays however neither a general
formula nor a generally applicable experimental procedure for
determining the initial stress are available to date. In
summarising the knowledge about the mechanical behaviour
and characterisation of a typical example of overconsolidated
clays the Tertiary London Clay, which has been a subject of
1.1
Direct methods of K0 determination
Horizontal stress in clay is most often determined by selfboring

pressuremeter (e.g., 'Camkometer' - Wroth and Hughes, 1973),
by the flat dilatometer (Marchetti, 1980), or different types of
pushed-in spade-shaped pressure cells (e.g., Tedd and Charles,
1981). The use of push-in instruments in stiff clays is often
questioned due to possible problems with the installation and
due to the soil disturbance. The latter reason together with the
possibility of imperfect fit in the borehole seems to have
disqualified the Menard-type pressuremeter in stiff clays. A
good agreement of K0 values obtained by push-in spade-shaped
pressure cells and Camkometer for London Clay was reported
by Tedd and Charles (1981), the 'spade' producing a smaller
scatter and better reproducibility. Hamouche et al (1995)
reported results by Marchetti dilatometer consistent with those
obtained with the self boring pressuremeter in overconsolidated
sensitive Canadian clays.
A hydraulic fracturing technique for clays for measuring the
horizontal total stress was developed by Bjerrum and Andersen
(1972). The method is based on measuring the stress at closing
of a vertical crack that had previously been formed by
pressurised water. The method can hardly be used under the
condition of K0 > 1 as a horizontal crack would be formed
instead of the vertical one, and ...the method will just measure
the weight of the overburden... (Bjerrum and Andersen, 1972).
A recent 2D numerical study by Wang et al (2009) also
considers horizontal cracks being formed in the case of K0>1,
i.e. in overconsolidated clays. However, Lefebvre et al. (1991)
203
1
th
using methylene blue tracer in studying the shapes of clay

fracturing reported vertical cracks formed in overconsolidated
clays of K0>1. The measured K0 values were higher than when
approximated by the established K0-OCR correlations (by
Mayne and Kulhawy, 1982). A similar conclusion was made by
Hamouche et al. (1995), who also found that the horizontal
pressure determined by fracturing corresponded well to the self
boring pressuremeter and Marchetti dilatometer results.
1.2
Indirect methods of K0 determination
Skempton (1961) made use of four ways of determining the

capillary pressure of the undisturbed samples in the laboratory:
direct and indirect measurement of the load preventing swelling,
analysis of the undrained strength measured in the triaxial
device, and measurement of pore water suction in the triaxial
specimen. The averaged capillary pressure from the four
methods was used to compute the effective horizontal stress,
and the pore pressure coefficient was determined in the triaxial
apparatus.
An experimental determination using the advanced triaxial

instrumentation (stress path testing, local LVDT gauges
mounted on the specimens etc.) was suggested by Garga and
Khan (1991) and Sivakumar et al. (2009). The latter proposed
and experimentally confirmed a new expression K0oc=1/(1-(1K0nc)OCR(1-)), which takes account of OCR (parameter is
determined by 1-D and isotropic compression tests on
undisturbed specimens) and of anisotropy (parameter is
determined from a CIUP test). K0nc can be determined, for
example, by Jky's formula.
Dolealov et al. (1975 in Feda, 1978) made use of the
displacements measured after unloading the massif by means of
a gallery. The deformation parameters of the rock were
determined by independent in situ testing and then the FEM was
used to simulate elimination of the monitored displacements of
the gallery. The stresses necessary for the simulation were
considered the in situ stresses in the massif. A similar approach
using an advanced hypoplastic model is presented further.
The review shows that in determining initial stresses in
overconsolidated clays a single method can hardly be sufficient.
The best way seems taking good quality samples (thin wall
sampler) and measuring suctions, and comparing the result with
a direct measurements, for which Marchetti dilatometer (DMT),
push-in spade-shaped pressure cells or self boring pressuremeter
seem most promising. If available, convergence measurements
of a underground cavity (gallery) evaluated using a numerical
model with an advanced anisotropic constitutive model is
believed the best method.
2 GEOLOGY AND CHARACTERISTICS OF CLAY
INVESTIGATED
Figure 1. The influence of creep on v max. position at oedometer test.
Burland and Maswoswe (1982) used the method in

supporting the use of direct measurements of horizontal stresses
in London clay: Their suction based results agreed well with the
self boring pressuremeter and the push-in 'spade' by Tedd and
Charles (1981).
The current version of the Skempton's procedure makes use
of the suction probe capable of direct measurement of
capillary suctions within undisturbed samples taken by a thin
walled samplers (e.g., Hight et al., 2003). Doran et al. (2000)
studied the changes of pore pressures and effective stresses in
the laboratory specimens on sampling and preparation. They
concluded that using isotropic elasticity in the 'suction method'
results in underestimating the K0. The only up-to-date
alternative in London clay projects seems to be to estimate K0
on the basis of lift-off pressures measured in self-boring
pressuremeter
tests,
although
interpretation
remains
controversial (Hight et al, 2003).
The correlation methods for determination of K0 are
represented by the Jky formula for normally consolidated soils
and by its extensions to cope with the overconsolidated soils in
the form of K0oc=(1sinc')(OCR). The most common
alternative for the exponent is =sin (Mayne and Kulhawy,
1982), or =0.5 (Meyerhof, 1976). Some studies indicated
1.0 (Lefebvre et al., 1991; Hamouche et al., 1995). Using such
correlations however neglects other effects than the stress
history (unloading), for example creep and cementation that
might have developed in the soil in situ, and may lead to
erroneous estimation of the values of K0. Creep moves the
position of the real maximal vertical stress to the position of an
apparent maximal vertical stress (Fig. 1). The oedometer test is
a common technique for evaluating v max.. Due to creep
however the test produces a pseudo-overconsolidation value of
vmax*' instead of the present overconsolidation pressure vmax'.
Hence, both the OCR and K0,OC values determined by the
correlations and not considering creep (ageing) are
overestimated.
204
Different methods were used to evaluate K0 of clay from Brno,

Czech Republic. The investigated calcitic silty Brno Clay
(Tegel) of Miocene (lower Badenian) age belongs to the
Neogene of Carpathian foredeep, and reaches the depth of
several hundred metres. Sound Tegel has a greenish-grey
colour, which changes to yellow-brown to reddish-brown colour
at the zone of weathering closer to surface. According to X-Ray
analysis there is a substantial percentage of CaO (ca 20%) and
the main minerals are kaolinite (ca 23%) and illite (22%),
calcite (20%), quartz (17%), chlorite (up to 10%) and feldspar
(Boh et al., 1995). Tegel exhibits stiff to very stiff
consistency. The clay is overconsolidated but the height of
eroded overburden is not known. Above the Miocene clay there
are Quartenary gravels overlain by loess loam. The clay is
tectonically faulted. The groundwater is mostly bound to
Quartenary fluvial sediments, and the collectors are typically
not continous. However the clay is fully water saturated.
In Tegel there is about 50% of clay fraction, wL is about
75%, IP about 43%, the soil plots just above the A-line at the
plasticity chart and its index of colloid activity is about 0.9.
3
MARCHETTI DILATOMETER MEASUREMENTS
At the site the current phreatic water table was 4.7 metres under
the surface and top layer of about 5.5 metres was excavated
some 30 years ago. This generated negative pore water
pressures, which have not fully dissipated yet. At the current
depth of 11.7 metres the pore pressure of -32 kPa was measured
(after dissipation of excess pore pressures caused by the
sounding) by a push-in spade pressure cell. The present vertical
effective stress in the depth of 11.7 metres calculated from the
soil unit weight and pore water pressure was v' = 185 kPa.
The K0 was measured using Marchetti (1980) flat
dilatometer. The measured KD according to Marchetti (1980)
was 8.0 and K0 derived using the empirical equation
K0 = (KD/1.5)0,47 0.6 was K0 = 1.6. This is substantially

th
higher than K0 determined from oedometric yield point and the

empirical correlation of Mayne and Kulhawy (1982) K0 =1.2.
4 NUMERICAL ANALYSIS OF MARCHETTI
DILATOMETER
An attempt was made to explain this discrepancy by numerical
modelling of the flat dilatometer penetration into the soil. For
the numerical analysis the hypoplastic model (Man, 2005) was
used in combination with the intergranular strain concept
(Niemunis and Herle, 1997). The model predicts nonlinear
stiffness depending on the strain level. The input value of K0 of
1.2 was considered. Both the calibration and the parameters for
the hypoplastic model were taken from Svoboda et al. (2010)
and Man (2012). The parameters are summarised in Table 1.
Table 1. Parameters of the hypoplastic model
c
22
mR
16,75
*
0.128
mT
8.375
*
0.015
R
1.e-4
N
1.51
r
0.2
r
0.45
0.8
The numerical analysis was carried out using Plaxis 2D

finite element code. The modelling sequence involved three
phases:
1. Generation of the initial stress condition with K0 = 1.2,
2. Excavation of the 5.5 metres thick layer in order to reach
the measured pore water pressure of -32 kPa at the depth of 11.7
metres. Consolidation time was varied using the consolidation
analysis until the measured excess pore water pressure was
obtained.
3. The installation of the dilatometer was simulated in a
simplified manner using two approaches. In the first one,
displacement was prescribed at the left boundary of the model,
as depicted in Fig. 2. The second analysis involved prescribed
load. The dilatometer was 200 millimetres high and 14
millimetres wide (7 mm horizontal displacement was
considered in the model thanks to its symmetry) and it was
installed in the depth of 11.6 11.8 metres. In the analyses,
load/displacement was evaluated in the centre of the
dilatometer. These phases employed a plastic undrained
analysis.
the model need, however, be considered. In particular the

simplified geometry and limitations of the adopted constitutive
model, which does not allow for an explicit consideration of
inherent stiffness anisotropy. To overcome this limitation, a new
anisotropic version of the hypoplastic model is currently being
developed.
5
BACKANALYSIS OF CIRCULAR ADIT
In the second numerical study presented, the K0 coefficient is

evaluated by means of backanalysis of convergence
measurements within a circular exploratory adit. The adit was
excavated as part of a geotechnical site investigation preceeding
the excavation of Krlovo Pole Tunnels in Brno (see Svoboda et
al., 2010).
The adit was located 26 m below the ground level, and its
diameter was 1,9 m. Its geometry is shown in Fig. 3. The adit
was protected by a steel net and rolled steel arches. These were
installed for safety reasons only, and the support was never in
full contact with the cavity wall. The monitored convergence of
the cavity is thus assumed to be representative of the
displacement of an unsupported massif. Its convergence was
monitored by means of push-rod dilatometer in four different
directions (vertical, horizontal and two sections inclined at 45
degrees).
Figure 3. Circular adit used in backanalyses of the earth pressure

coefficient at rest K0 (Pavlk et al., 2004).
Figure 2. Distribution of horizontal displacements calculated by the

hypoplastic simulation of Marchetti (1980) dilatometer.
The calculated coefficient KD was 4.51 for the load

controlled analysis and 4.06 for the displacement controlled
analysis, which leads to K0 equal 1.07 and 1.00 respectively.
This preliminary analysis thus indicated slight underprediction
of K0 using Marchetti (1980) empirical equation. Limitations of
205
The adit has been simulated in 2D and 3D using finite

element method. The model properties were taken over from
Svoboda et al. (2010). Hypoplastic model parameters are in
Tab. 1. In the analyses, it was assumed that the massif
properties were known. The initial value of K0 was varied by a
trial-and-error procedure until the model correctly reproduced
the measured ratio of horizontal and vertical convergence of the
adit. The analyses were performed under undrained conditions.
The analyses were performed using the softwares PLAXIS
2D and PLAXIS 3D. The 2D analyses adopted the load
reduction method (see Svoboda and Man, 2011). In these
analyses, the load reduction factor was varied to achieve the
monitored displacement magnitude, and the coefficient K0 was
adjusted to reproduce the ratio of displacements in horizontal
and vertical directions.
Geometry assumed in the 3D analyses is in Fig. 4. No effort
was made to vary model properties to reach the exact monitored
displacement magnitude. As in 2D analyses, K0 was
th
Boh, J., Feda, J., Herle, I. and Klablena, P. (1995), Properties of
fissured Brno Clay. Proc. 11th Eur. Conf. Soil Mech. Fndn. Eng.,
Copenhagen, 28 May - 1 June, Danish Geotechnical Society,
Bulletin No. 11, Vol. 3, 19-24.
Burland, J.B. and Maswoswe, J. (1982) Discussion on In situ
measurements of horizontal stress in overconsolidated clay using
push-in spade-shaped pressure cells. Gotechnique 32, No. 2, 285286.
Dolealov, M., Truncov, D. and Vorlkov, Z. (1975) In situ
determination of initial state of stress in a rock mass and the finite
element method (in Czech). MS, Report of Hydroprojekt, Praha,
21pp.
Doran, I.G., Sivakumar, V., Graham, J. and Johnson, A. (2000)
Estimation of in situ stresses using anisotropic elasticity and suction
measurements. Gotechnique 50, No. 2, 189-196.
Feda, J. (1978) Stress in subsoil and methods of final settlement
calculation. Academia Prague.
Franzius, J. N., Potts, D. M., and Burland, J. B. (2005). The influence of
soil anisotropy and K0 on ground surface movements resulting
from tunnel excavation. Geotechnique, 55(3), 189199.
Garga, V.K. and Khan, M.A. (1991) Laboratory evaluation of K0 for
overconsolidated clays. Can. Geotech. J. 28, 650-659
Hamouche, K., Leroueil, S., Roy, M. and Lutenegger, A.J. (1995) In
situ evaluation of K0 in eastern Canada Clays. Canadian Geotech. J.
32 (4), 677-688.
Hight, D.W., McMillan, F., Powell, J.J.M., Jardine, R.J. and Allenou,
C.P. (2003) Some characteristics of London Clay. Proc.
Characterisation and Engineering Properties of Natural Soils Tan
et al. (eds). Swets & Zeitlinger, 851-907.
Jky, J. (1948) Pressure in silos. Proc. 2nd ICSMFE, Rotterdam, Vol. 1,
103-107.
Lefebvre, G., Bozozuk, M., Philibert, A. and Hornych, P. (1991)
Evaluating K0 in Champlain clays with hydraulic fracture tests,
Can. Geotech. J. 28 (3), 365377.
Marchetti, S. (1980) In situ tests by flat dilatometer. J. Geot. Eng. Div.
ASCE, Vol. 106, NoGT3, 299-321.
Man, D. (2005). A hypoplastic constitutive model for clays,
Geomechanics, 29, No. 4, 311-336.
Man, D. (2012). Clay hypoplasticity with explicitly defined
asymptotic states. Acta Geotechnica (in print; doi: 10.1007/s11440012-0199-y).
Mayne, P.W. and Kulhawy, F.H. (1982) K0-OCR relationships in soil. J.
Geotech. Eng. Div. ASCE, GT6, 851-872.
Mesri, G. and Hayat, T.M. (1993) The coefficient of earth pressure at
rest. Canadian Geotech. J. 30(4), 647-666.
Meyerhof, G.G. (1976) Bearing capaity and settlement of pile
foundations. J. Geotech. Engng. Div. ASCE 102, No. GT3, 197228.
Niemunis, A., and Herle, I. (1997). Hypoplastic model for cohesionless
soils with elastic strain range. Mech. Cohesive-Frict. Mater., 2,
279299.
Pavlk, J., Klmek, L., Rupp, O. (2004). Geotechnical exploration for
the Dobrovskho tunnel, the most significant structure on the large
city ring road in Brno. Tunel 13(2), 2-12.
Sivakumar, V., Navaneethan, T., Hughes, D. and Gallagher, G. (2009)
An assessment of the earth pressure coefficient in overconsolidated
clays. Gotechnique 59, No. 10, 825-828.
Skempton, A.W. (1961) Horizontal stresses in an over-consolidated
Eocene clay. Proc. 5th ICSMFE, Vol. 1 351-357.
Svoboda, T., Man, D. and Boh, J. (2010) Class A predictions of a
NATM tunnel in stiff clay. Computers and Geotechnics 37(6), 817825.
Svoboda, T. and Man, D. (2011). Comparison of displacement fields
predicted by 2D and 3D finite element modelling of shallow
NATM tunnels in clays. Geotechnik 34(2), 115-126.
Tedd, P. and Charles, J.A. (1981) In situ measurements of horizontal
stress in overconsolidated clay using push-in spade-shaped pressure
cells. Gotechnique 31, No. 4, 554-558.
Wang, S.Y., Sun, L., Au A.S.K., Yang, T.H, and Tang, C.A. (2009) 2D
numerical analysis of hydraulic fracturing in heterogeneous geomaterials. Construction and Building Materials 23, 2196-2206.
Wroth, C.P. and Hughes, J.M.O. (1973) An instrument for the in-situ
measurements of the properties of soft clays. Proc 8th ICSMFE,
Vol 1.2, 487-494.
backanalysed to fit the displacement ratio. To represent the real

excavation and monitoring procedure, displacements were reset
in simulations once the adit face passed the monitored section.
They are thus not biased by the pre-convergence displacements,
which are not registered by the rod dilatometers. Evaluation of
horizontal displacements in the monitored section is
demonstrated in Fig. 4.
Figure 4. 3D model geometry and predictions of horizontal

displacements.
Results of backanalyses are summarized in Table 2. It is

clear that the 2D and 3D analyses were consistent in the
estimation of K0 (1.37 and 1.45 respectively). The 3D analyses
overpredicted the displacement magnitude.
Table 2. Results of numerical backanalysis of circular exploratory adit.
monitoring
horiz. conv.
(uh) [mm]
vert. conv.
(uv) [mm]
Ratio uh /uv
K0
2D model
3D model
19.8
19.8
33.4
15.9
1.25
-
15.4
1.25
1.37
26.1
1.28
1.45
Similarly to Sec. 4, it is expected that the results obtained are

negatively influenced by inaccurate representation of soil
anisotropy using the hypoplastic model. The development of the
new model is ongoing.
6
CONCLUSIONS
In the paper, we summarized different methods for

evaluation of the earth pressure coefficient at rest K0. Due to
limitations of different methods, it is always advisable to
combine different approaches based on laboratory investigation,
field measurements and numerical analysis. Several results of
the K0 evaluation of the Brno Clay were presented, in all cases
leading to K0 higher than unity. These analyses are preliminary
and they will be adjusted in the forthcoming work.
7
ACKNOWLEDGEMENTS
The financial support by the grants P105/11/1884 and

P105/12/1705 of the Czech Science Foundation, and by the
grant MSM0021620855 is gratefully acknowledged.
8
REFERENCES
Bjerrum, L and Andersen, K. (1972) In-situ measurement of lateral

pressures in clay. 5th ECSMFE, Madrid, Vol 1, 12-20.
206
4
Stress-path effects on the grading of an artificial material with crushable grains

Stress-trajectoire effets sur le granulomtrie d'un matriau artificiel avec des grains dformables
Casini F.
Universitat Politecnica de Catalunya, Barcelona, Spain
Leu J., Low B., Wanninger F., Zimmermann A., Zwicker P., Springman S.M.
Institute for Geotechnical Engineering, ETHZ, Zurich, Switzerland
Viggiani G.M.B.
Universit degli Studi di Roma Tor Vergata, Roma, Italy
ABSTRACT: Granular materials forming natural slopes, embankments, foundations, pavement structures, and rail track structures are
subjected to static and dynamic loads, which may cause particle breakage to occur. Results are presented of an experimental
investigation into the mechanical response of an artificial granular material, consisting of crushed expanded clay pellets,
commercially known under the brand name LECA (Light Expanded Clay Aggregate) to various stress path tests. The material was
reconstituted, with a maximum particle size of 2 mm, to obtain grading curves with the same mean diameter d50, and different
coefficients of uniformity, U (= 3.5, 7, 14, 28) or the same U and a different d50 (= 0.5, 1 mm). The constant volume friction angle and
the minimum and maximum densities corresponding to each grading were determined before stress path testing in one dimensional
and triaxial compression at different stress levels. Changes in the LECA grading after the stress path tests were described using two
parameters defined respectively as the mean diameter and coefficient of uniformity of the final distribution over the value of the initial
distributions, both of which were assumed to be consistent with self-similar grading with varying fractal dimension.
RSUM: Les matriaux granulaires formant des pentes naturelles, des talus, des fondations, des structures de chausses et des
structures de voie ferre se sont soumis des charges statiques et dynamiques, qui peuvent causer la rupture des particules de se
produire. Les rsultats sont prsents sur une recherche exprimentale sur le comportement mcanique d'un matriau granulaire
artificielle, compose de boulettes d'argile expanse concasses, commercialement connu sous le nom de marque LECA (Light
agrgat d'argile expanse) diffrents tests chemin de stress. Le matriau a t reconstitue, avec une granulomtrie maximale de 2
mm, pour obtenir des courbes de gradation avec le mme diamtre moyen d50, et diffrents coefficients d'uniformit, U (= 3,5, 7, 14,
28) ou mme U et une autre d50 (= 0,5, 1 mm). L'angle de volume constant de friction et les densits minimale et maximale
correspondant chaque classement ont t dtermins avant le test dans un chemin de contrainte de compression triaxiale dimensions
et diffrents niveaux de contrainte. Les changements dans le classement LECA aprs les essais de chemin de stress ont t dcrits en
utilisant deux paramtres dfinis respectivement comme le diamtre moyen et le coefficient d'uniformit de la distribution finale audessus de la valeur des distributions initiales, qui taient tous deux censs tre compatibles avec auto-similaire classement avec plus
ou moins la dimension fractale.
KEYWORDS: artificial material, grain crushing, grain size distribution, breakage, stress path testing.
INTRODUCTION
Particle breakage describes the response to loading in which soil
particles become smaller, while other mechanisms of
deformation, such as slippage, dilation and creep occur.
Degradation processes associated with loading-induced grain
crushing affect the macroscopic mechanical behaviour of
granular materials. For a given material, breakage is affected by
both stress level and stress path direction and can cause volume
loss leading to settlements and a reduction in the hydraulic
conductivity, as finer particle fractions fill voids. Moreover,
elastic and frictional properties of the soil are modified due to
changes in grain size distribution. Understanding the
mechanisms of grain crushing is therefore crucial, as this affects
the stress-strain response of the soil under loading.
Different measures have been suggested to quantify the
amount of particle breakage in a sample of granular material.
Hardin (1985) introduced the relative breakage, Br, based on the
relative position of the current cumulative particle size
distribution from the initial cumulative distribution and a cut-off
value of silt particle size (of 0.074 mm). The use of the latter
implied that all particles would eventually become finer than the
(arbitrary) cut-off value in the fragmentation process. This
denies the growing understanding that the grain size distribution
of an aggregate of any initial grading, under large confining
pressure and extensive shear strains, tends to become selfsimilar (fractal) (Turcotte, 1986; McDowell and Bolton, 1998).
2071
Several studies (e.g.: Sammis et al., 1987; Tsoungui et al.;

1999) have shown that the main effect of particle crushing is to
increase the proportion of fine material without significantly
changing the size of the largest particles. Larger particles are
cushioned by surrounding smaller particles (Imre et al., 2010;
2011), making them more resistant to crushing and giving them
a higher coordination number, which is defined as the number
of the particles nearest neighbours. Smaller particles, with
smaller coordination numbers, are more likely to be crushed in
the fragmentation process. In other words, the cushioning effect
due to the large coordination number for larger particles
outweighs the effect of reducing strength with increasing
particle size (Casini and Viggiani, 2011; Casini et al., 2013).
Methods and the results are presented for an experimental
investigation on an artificial granular material under different
loading conditions. In particular, the paper explores the
evolution of the main physical properties, such as the angle of
friction and the range of voids ratio together with the grading,
sphericity and angularity of the particles under different loading
conditions.
For practical reasons, the experimental programme was
carried out on an artificial granular material, which was
reconstituted at different initial grading with grains that crush at
relatively low stress. Samples of the artificial, crushable,
granular soil, have been subjected to different effective stress
paths in one dimensional and triaxial compression, in order to
understand the mechanisms of grain crushing better.
1. MATERIAL TESTED
1.2
A systematic experimental investigation of grain crushing for

natural materials is often difficult due to the relatively high
stress required to crush the grains and the variability and
heterogeneity of natural deposits, which makes it difficult to
obtain repeatable results. For these reasons the experimental
work was carried out on an artificial granular material.
The material used is commercially available under the
acronym LECA (Light Expanded Clay Aggregate) and is
obtained through an industrial process. The expanded clay
pellets are screened into their various fractions and made
commercially available both as intact (so-called "granular")
with a characteristic a round shape and a hard outer shell (see
Fig. 1a), or crushed, at different grain sizes (see Figs 1b-c).
The constant volume friction angle 'cv, and the minimum and
maximum densities corresponding to each grading were
determined before testing. 'cv was obtained by pouring the
material on a rough, flat surface from a given height, and
measuring the slopes of the resulting granular cone. The
experimental values of 'cv (Fig. 4) are in the range of 30-33
and increase slightly with the coefficient of uniformity. There is
no obvious dependence on the mean grain size.
(a)
(b)
(c)
Basic properties
Figure 1. LECA pellets whole/broken with particle diameters: (a) d=2-4

mm; (b) 0.71-1 mm; (c) d<0.063 mm (Wanninger and Zwicker, 2010).
Figure 4. Constant volume angle of friction as function of uniformity for

crushed LECA
The material has a very low apparent unit weight; this is

because the particles are characterised by the existence of a
double order of porosity: "inter-granular", i.e. voids existing
between particles, and "intra-granular", i.e. closed voids
existing within individual particles (see Fig. 2). Because of the
voids existing within the particles, their apparent unit weight, s,
depends on their diameter d as s(d) = a(d0/d) b, with a = 12.64
kN/m3, b = 0.268, and d0 =1 mm (Casini et al., 2013).
The maximum (emax) and minimum (emin) voids ratio were

determined using non-standard procedures so that particle
crushing would not falsify the results. In particular, emin was
obtained vibrating the samples with very low input energy.
The experimental values of (emax-emin) obtained for the
granular material (Fig. 5) at different values of U and d50, of the
order of 0.9 1.0, are much larger than those obtained for other
granular materials with grains that do not exhibit significant
intra-porosity, such as natural river sands, lightweight
aggregates and glass ballottini (e.g. Miura et al., 1997). LECA
can probably be reconstituted at very high values of voids ratio
due to the rough surface of the particles of crushed material, as
shown in Figure 1, which causes a very "open" structure with
loads carried by arching between particles, some of which are
effectively unloaded or redundant, and large inter-porosity.
SOLID
INTRAPARTICLE
VOIDS
INTRAPARTICLE POROSITY
INTERPARTICLE
VOIDS
INTERPARTICLE
POROSITY
LIGHTWEIGHT AGGREGATE PARTICLE
Figure 2. Inter-granular and intra-granular porosity (after Casini and

Viggiani, 2011).
1.1
Initial grading
The maximum particle size of the tested material was 4 mm; the
material was reconstituted to obtain grading curves with the
same mean diameter d50, and different coefficients of
uniformity, U (= 3.5, 7, 14, 28) or the same coefficient of
uniformity, U and different d50 (= 0.5, 1 mm) (Figure 3).
Figure 5. Minimum and maximum void ratios as a function of

uniformity for crushed LECA
1.3
Microstructural features
Examples of Scanning Electron Microscopy (SEM)

micrographs of crushed LECA particles of different dimensions
are reported in Figure 6a-b. SEM micrographs of portions of
grains belonging to different fractions were manipulated using
the image editing program GIMP (Peck, 2008); the exposed
intra-granular pores were coloured progressively in black and
the contrast in the image was raised until all the pixels were
either black (pores) or white (matrix),(compare Figures 6a and
Figure 3. Grain size distributions of reconstituted LECA samples.
208

Proceedings of the 18ththth International Conference on Soil Mechanics and Geotechnical Engineering, Paris 2013
Proceedings of
of the
the 18
18 International
International Conference
Conference on
on Soil
Soil Mechanics
Mechanics and
and Geotechnical
Geotechnical Engineering,
Engineering, Paris
Paris 2013
2013
Proceedings
6b). The processed images were then imported in Matlab and

6b).
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Matlab and
and
6b).
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of the
the
larger
than
particles,
as, becomes constant, with a final ratio nei/nbi 1.3.
particles, as,
becomes constant,
constant, with
with aa final
final ratio
ratio nneiei/n
/nbibi 1.3.
1.3.
as, becomes
particles,
2.1 Particle sphericity and angularity

2.1 Particle
Particle sphericity
sphericity and
and angularity
angularity
2.1
Figure 8. 2D sphericity of crushed LECA as a function of grain size.

Figure 8.
8. 2D
2D sphericity
sphericity of
of crushed
crushed LECA
LECA as
as aa function
function of
of grain
grain size.
size.
Figure
SEM micrographs were also used to determine 2D sphericity

SEM
micrographs
were
also
used to
to fractions
determine systematically.
2D sphericity
sphericity
SEM
used
determine
2D
and micrographs
angularity ofwere
thealso
different
and
angularity
of
the
different
fractions
systematically.
and
angularity
of
the
different
fractions
systematically.
Following the suggestion of Cho et al. (2006), 2D sphericity,
Following
the suggestion
suggestion
ofratio
Cho between
et al.
al. (2006),
(2006),
2D sphericity,
sphericity,
Following
the
Cho
et
2D
as theof
the diameter
of the
S2D, was evaluated
was circle
evaluated
as
the
ratio
between
the
diameter
of the
the
2D, was
evaluated
as
the
ratio
between
the
diameter
of
SSsmallest
2D,
inscribed in the 2D projection of the particle
smallest
circle
inscribedofin
in
the 2D
2D
projection
of the
thethe
particle
smallest
circle
inscribed
the
projection
of
particle
shape and
the diameter
a larger
circle
that contains
whole
shape
andItthe
the
diameter
ofSaa larger
larger circle
circle that
that contains
contains the
the whole
whole
shape
and
diameter
of
particle.
is logical
that
2D will increase with particle diameter
particle.
is logical
logical
that
will increase
increase with
with particle
particle diameter
diameter
2D8).
will
particle.
ItIt is
that
SS2D
due to surface
texture
(Fig.
due to
to surface
surface texture
texture (Fig.
(Fig. 8).
8).
due
Figure 6. Intra-porosity detected through SEM processing
Figure 6.
6. Intra-porosity
Intra-porosity detected
detected through
through SEM
SEM processing
processing
Figure
d (m)
(m)
dd (m)
Figure 9. 2D angularity of crushed LECA as a function of grain size.

Figure 9.
9. 2D
2D angularity
angularity of
of crushed
crushed LECA
LECA as
as aa function
function of
of grain
grain size.
size.
Figure
Figure 7. Exposed and bulk intra-granular porosity of crushed LECA

Figure 7.
7. Exposed
Exposed and
and bulk intra-granular
intra-granular porosity
porosity of
of crushed
crushed LECA
LECA
Figure
particles as
a function ofbulk
grain size.
particles
as aa function
function of
of grain
grain size.
size.
particles as
2 EXPERIMENTAL PROGRAMMEThe samples were

EXPERIMENTAL
PROGRAMMEThe
samplescompression
were
22subjected
EXPERIMENTAL
PROGRAMMEThe
were
to isotropic, one
dimensional and samples
triaxial
subjected
to isotropic,
isotropic,
one dimensional
dimensional
and
triaxial
compression
subjected
to
one
Wanninger
and Zwicker,
2010; Leu etand
al.,triaxial
2011) compression
at increasing
Wanninger
and Zwicker,
Zwicker,
2010;
Leu et
et al.,
al., 2011)
2011) at
at increasing
increasing
Wanninger
and
2010;
confining pressures
(see Fig.
7). Leu
confining pressures
pressures (see
(see Fig.
Fig. 7).
7).
confining
de
de
de
via
via
via
tor
tor
tor
str
str
str
es
es
es
s,
s,
s,q
qq
TX
TX
TX
C
COED
C
OED
OED
ISO
ISO
ISO
1
11
2
3
22
33 p
mean effective
stress,
mean
effective
stress,
p
mean effective stress, p
4
44
Figure 7. Stress-paths followed in the laboratory tests.

Figure 7.
7. Stress-paths
Stress-paths followed
followed in
in the
the laboratory
laboratory tests.
tests.
Figure
2D angularity (A2D) of the particles was determined using the

ofMiura
the particles
particles
was determined
determined
using
the
2D
angularity
(A2D
2D))by
2D
angularity
(A
of
the
was
using
are
definition
proposed
et al., 1997.
The values of
A2Dthe
definition
proposed
by
Miura
et
al.,
1997.
The
values
of
A
are
are
definition
proposed
by
Miura
et
al.,
1997.
The
values
of
A
2D
2D
reported in Figure 9 as a function of particle diameter, where
reported
in Figure
Figure
9 as
asparticle
function
of particle
particle
diameter,
where
reported
in
aa function
of
diameter,
where
A2D decreases
as 9the
diameter
increases.
It should
be
A2D
decreases
as
the
particle
diameter
increases.
It
should
A2D
decreases
as
the
particle
diameter
increases.
It
should
be
mentioned that the angularity as evaluated above is a macro
mentioned
that
the particles,
angularitywhile
as evaluated
evaluated
above
is aa macro
macro
mentioned
the
angularity
as
is
angularity that
of the
further above
investigations
are
angularity
of
the
particles,
while
further
investigations
are
angularity
of
the
particles,
while
further
investigations
needed to evaluate the micro-angularity or smoothness of are
the
needed
to evaluate
evaluate the
the micro-angularity
micro-angularity or
or smoothness
smoothness of
of the
the
needed
to
particles.
particles.
particles.
2.2 Evolution of grading
2.2 Evolution
Evolution of
of grading
grading
2.2
Figure 8 shows the cumulative grain size distribution by weight
Figure
shows
thegrading
cumulative
grain
size
distribution
by weight
weight
Figure
88 shows
the
cumulative
by
mm at
obtained
for the
withgrain
U = size
3.5 distribution
and d50 = 0.5
obtained
for mean
the grading
grading
with stress.
U == 3.5
3.5The
and final
= 0.5
0.5
mmsize
at
mm
at
obtained
the
with
U
and
dd50
50 =
increasingfor
effective
grain
increasing
mean
effective
stress.
The
final
grain
size
increasing
mean
effective
stress.
The
final
grain
size
distribution (GSD) is rotated upwards and translated leftwards,
distribution
(GSD)
isthe
rotated
upwards
and
translated
leftwards,
distribution
(GSD)
rotated
upwards
translated
leftwards,
with an increase
ofis
fine fraction
atand
an almost
constant
value
with
an
increase
of
the
fine
fraction
at
an
almost
constant
value
with
an
increase
of
the
fine
fraction
at
an
almost
constant
size
of the maximum particle size, dM. The maximum particlevalue
of
the
maximum
particle
size,
The
maximum
particleofsize
size
M.. The
maximum
particle
of
maximum
M
is likely
to be particle
differentsize,
fromddn
(maximum
dimension
the
dMthe
is likely
likely
toand
be different
different
fromeven
n (maximum
(maximum
dimension
of the
the
be
from
n
of
ddsieve
M is
M
must always
be
series)to
is unknown,
though dMdimension
sieve
series)
and is
isdimension
unknown,n.
even
though
must
always
be
be
sieve
series)
unknown,
even
though
ddMM must
less than
the and
sieve
Small
changes
of dMalways
with load
with
load
less
than
thepath
sieve
dimension
n.detect
Smallinchanges
changes
of ddMM with
less
the
sieve
n.
Small
of
load
andthan
stress
aredimension
difficult to
the laboratory
because
and
stress path
path
are difficult
difficult to
tosieves
detectaround
in the
the laboratory
laboratory
because
and
stress
are
detect
in
and not
the spacing
of two
successive
dM is finitebecause
the
spacing
ofThe
twoexperimental
successive sieves
sieves
around
isfitted
finiteusing
and not
not
finite
and
the
two
successive
around
ddMM is
finespacing
enough.of
results
have been
the
fine
enough.
The experimental
experimental
results have
have been
been fitted
fitted using
using the
the
fine
enough.
The
results
equation
P(%)=(d/d
M) , represented by the dotted line in Figure
equation
P(%)=(d/d
represented
byquite
the dotted
dotted
line in
in Figure
Figure
by
the
equation
M)) ,, represented
M
10, whichP(%)=(d/d
fits the experimental
results
well. line
10, which
which fits
fits the
the experimental
experimental results
results quite
quite well.
well.
10,
209
walls and bridge abutments, because of their low unit weight

and good drainage properties. In many practical cases, the stress
levels to which the material is subjected are comparable to those
explored in the present experimental investigation.
The final grain size distribution measured after loading is
rotated upwards and translated leftwards (on a standard particle
size distribution plot) for all tested samples. The percentage of
finer particles increases with increasing mean effective stress
and stress-path obliquity. The grain size distributions can be
described satisfactorily using simple equations derived from a
fractal evolution of grading. Breakage has been quantified as a
first approximation through the evolution of non-dimensional
ratios of mean diameter and coefficient of uniformity. Poorly
graded samples show more pronounced decrease in mean
diameter and increase of uniformity with higher stress applied.
Further investigations will be undertaken to reproduce the
observed behaviour through a constitutive model to account for
breakage and its effects on mechanical behaviour.
Figure 10. Grain size distribution evolution with U = 3.5 and d50 = 0.50
mm.
Grain crushing has been quantified, as a first approximation,

using the ratios between d50/d50i and U/Ui, where d50i and Ui
represent respectively the initial mean diameter and coefficient
of uniformity. Figure 11 (a) and (b) show the evolution for the
ratios d50/d50i and U/Ui after 1-D compression for all of the
initial GSDs tested, as a function of maximum mean effective
stress p'.
ACKNOWLEDGEMENTS
The authors are grateful to Ralf Herzog (Institute for
Geotechnical Engineering) and Gabriele Peschke (Institute for
Building Materials), ETH Zurich, for their technical support.
REFERENCES
Casini, F. and Viggiani, G.M.B. (2011). Experimental investigation of
the evolution of grading of an artificial material with crushable grains
under different loading conditions. Proc. Int. Symp on: Deformation
Characteristics of Geomaterials, IS-Seoul 2011, 957-964.
Casini F., Viggiani G.M.B. and Springman S.M. (2013). Breakage of an
artificial crushable material under loading. Granular Matter
(submitted).
Cho G., Dodds J. and Santamarina J. (2006). Particle Shape Effects on
Packing Density, Stiffness, and Strength: Natural and Crushed Sands. J.
Geotech. Geoenviron. Eng., 132(5), 591602.
Hardin, B.O. 1985. Crushing of soil particles. Journal of Geotechnical
Engineering, ASCE 111(10), 11771192.
Imre B., Laue, J. and Springman, S.M. (2010). Fractal fragmentation of
rocks within sturzstroms: insight derived from physical experiments
within the ETH Geotechnical Drum Centrifuge. Granular Matter 12(3):
267-285. DOI: 10.1007/s10035-009-0163-1.
Imre B., Wildhaber, B. and Springman, S.M. (2011). A Physical
Analogue Material to Simulate Sturzstroms. IJPMG. 11(2): 6986.
doi:10.1680/ijpmg.2011.11.2.69
Leu J., Low B. and Zimmermann (2011). Effects of grain size
distribution and confining stress on the mechanical behaviour of an
artificial crushable material Project thesis, ETH Zurich, Switzerland.
McDowell, G.R. & Bolton, M.D. (1998). On the micromechanics of
crushable aggregates. Gotechnique 40(5): 667679.
Miura, K., Maeda, K., Furukawa, M. and Toki, S. (1997). Physical
characteristics of sands with different primary properties. Soils and
Foundations 37(3): 53-64.
Peck, A. (2008). Beginning GIMP: From Novice to Professional,
Second Edition. Apress, 548 pp.
Wanninger F. and Zwicker P. (2010). Effects of grain crushing on
compressibility of an artificial material. Semester Thesis, ETH Zurich,
Switzerland.
Sammis, C.G., King, G. and Biegel, R. (1987). The kinematics of gouge
deformations. Pure Appl. Geophys. 125, 777812.
Tsoungui, O., Vallet, D. and Charmet, J.C. (1999). Numerical model of
crushing of grains inside two-dimensional granular materials. Powder
Technology, 105(1-3), 190-198.
Turcotte, D.L. 1986. Fractals and fragmentation. J. of Geophysical
Research 91(B2): 19211926.
Figure 11. Evolution of ratios: (a) d50/d50i and (b) U/Ui with mean
effective stress applied in 1D-compression.
The reduction of d50/d50i with increasing p is more pronounced

for samples with lower initial coefficient of uniformity (Ui =
3.5) and higher mean diameter (d50i = 1 mm). Likewise, as the
initial U decreases, the ratio U/Ui increases by a factor greater
than 2 for the poorly graded samples with the greater d50i. The
ratio U/Ui is consistently higher for higher initial mean diameter
(d50i = 1 mm) for all the GSDs tested, which is probably due to
the lower coordination number of the particles. The stress acting
on the neighbour is higher for the same magnitude and direction
of stress applied, as the coordination number decreases, as
larger particles tend to be cushioned by surrounding smaller
particles. This leads to higher coordination numbers and makes
the larger particles more resistant to crushing. Smaller particles,
with smaller coordination numbers, are more likely to be
crushed in the fragmentation process so that the cushioning
effect for larger particles is more relevant than the lower particle
strength with increasing particle size.
3
CONCLUSIONS
An extensive laboratory investigation has been conducted on an

artificial granular, expanded clay pellets LECA, composed of
grains that break at relatively low stresses. These lightweight
expanded clay aggregates are used in road construction,
tunnelling, structural backfill against foundations, retaining
210
4
Characteristics of structure evolution of expansive soil and loess during loading

and wetting
Caractristiques de l'volution structurale du sol expansif et du loess lors du chargement
et du mouillage
Chen Z.
Logistical Engineering University, Chongqing 400041, China
ABSTRACT: A CT-triaxial apparatus was used to study systematically the meso-structure evolution of expansive soil and loess. All
soil samples were unsaturated. A group of CT-triaxial drained tests with net cell pressure and suction controlled and a group of wetdry circles for expansive soil samples were conducted. A series of CT-triaxial inundation-collapse tests were conducted under certain
suction and net mean stress as well as deviator stress for undisturbed Q3 loess. A number of CT images and CT date of meso-structure
evolution of the samples were obtained. Some regularity of holes and cracks developing in samples were discovered. The structure
damage evolution equations for expansive soil and loess were proposed, respectively. A method to determine the yield stress in
triaxial test was suggested.
RSUM : Un appareil CT-triaxial a t utilis pour tudier systmatiquement lvolution mso-structurale du sol expansif et du
loess. Tous les chantillons de sol taient insaturs. Un groupe dessais CT-triaxial de drainage ont t faits sous le contrle de la
pression et de la succion de la salle blanche, ainsi quun groupe dessais dalternance humide-sche pour les chantillons de sol
expansif. Une srie dessais CT-triaxial de mouillage ont t effectus sur le loess Q3 intact sous une valeur dfinie de succion, de
contrainte moyenne nette et de contrainte dviatorique.Un certain nombre dimages et de donnes CT de lvolution mso-structurale
des chantillons ont t prleve. Quelques rgularits du dveloppement des trous et des fissures dans les chantillons ont t
dcouvertes. Les quations d'volution des dgts structuraux du sol expansif et du loess ont t proposes respectivement. Une
mthode de dterminer la limite dlasticit en essai triaxial a t suggre
KEYWORDS: CT-triaxial apparatus; suction; loading; wet-dry circle; collapse; structure evolution.
1
2011; Yao, 2011; Wang, 2012). However, only a part of test

results are presented in the paper because space is limited.
INTRODUCTION
Each type of soils, such as collapsible loess and expansive soil,

has its own special structures. The mechanical properties of
soils are related to their interior factors (i.e., mineralogical
composition and structure) and the outer factors (i.e., loading
and environmental changes). For example, the strength of
collapsible loess and expansive soil are very high during the dry
seasons. However, the strength will decrease drastically when
they are inundation.
Since 2000, a series of researches have been conducted on
the meso-structure analysis of loess and expansive soil using the
CT-triaxial apparatus developed by the author. The mesostructure and evolution laws of expansive soil and loess under
the loading and moisture changes were mainly investigated.
2
TEST EQUIPMENT
Figure1. CT-triaxial apparatus
In recent years, great effort has been paid to study mesostructures and constitutive relations of special soils such as loess
and expansive soil, et al, by the authors. A multifunctional
triaxial apparatus of unsaturated soil combining with CT
machine developed successfully (Chen, et al, 2001; Chen, et al,
2007), and over 30 of stress path tests on saturated soil,
unsaturated soil and special soils can be conducted with the
equipment (Figure 1). The CT machine made by GE is a spiral
scanner type of Prospeed AL. Its spatial resolution is 0.38 mm
and its density resolution is 0.3 % (3 Hu).
3
3.1
STRUCTURE EVOLUTION OF EXPANSIVE SOIL
Crack is one of important structural feature, which influences

the mechanical properties of expansive soil. In order to discover
the characteristics of the crack evolution of expansive soil, 9
groups of tests including 55 samples were conducted. These
tests were CT-triaxial tests in loading and wet-dry circles. A
total of 666 CT images and a number of CT data of the test
samples were obtained (Lu, 2000; Wei, 2007; Yao, 2009; Chen,
2111
The characteristics of structure damage evolution of

intact expansive soil during loading
Fifteen CT-triaxial drained tests of intact expansive soils with

net cell pressure and suction controlled were conducted. The
size of samples was 39.1mm in diameter and 80mm in height.
The initial conditions and index of samples are shown in table 1
(only the data of sample 2# are listed ).
The scanning cross-sections which were marked 1 and 2
located at 1/3H and 2/3H from the top of specimen. Each
sample was scanned 6 times and the scanning pictures were
marked as a, b, c, d, e and f successively. 1a, 1b, 1c, 1d, 1e and
1f were corresponding to the cross-section of 1/3H (Fig. 2).
The CT images of sample 2# clearly illustrate that the
structures of the samples change obviously from initial
deformation to failure and several cracks gradually developed.
The test results of the samples indicate similar crack evolution
rules. 1) The initial damage of structure of intact expansive soil
is great and heterogeneous in space. 2) Shear makes an obvious
Table 1 Initial conditions and test parameters of sample 2#
Initial conditions
Dry density
d /(g/cm3)
Water content
w/%
Void ratio
e
Matric suction
s / kPa
Net cell
pressure
p / kPa
Scanning
sequence
a
Test parameters
Deviator
Deviator
stress / kPa
strain / %
0
0.00
1.68
153
0.95
22.1
302
3.30
0.63
283
5.38
100
238
8.19
50
211
11.24
development of structure damage (which is from fissure

development to several crack connection). 3) Both suction and
cell pressure affect damage evolution. The higher the cell
pressure or suction is, the lower the damage degree of sample
will be. 4) The formation of fracture plane of undisturbed soil
has several characteristics as follows: a) Inevitability:
preexisting fissures, or weakness planes or large cavity, which
are the weak areas of samples, easily extend to fracture plane
(dash line in figure 2). b) Randomness: there are no signs
before fracture plane forming, however, fissure occurs with
shear and develops to fracture plane (dash line in figure 2). c)
Correlation: new fracture plane grows due to other fracture
planes (dash lines and in figure 2)
Taking the mean value of CT data of undisturbed samples
as the base value, a damage variable D1 can be defined as the
relative difference of base value and the mean value of CT data
in the process of tests. Damage evolution equation can be
obtained through analysis on test date:
p0 s Patm
s
) 1
p
(1)
where D0 is the initial value of damage variable, s is

deviator strain, s is suction, patm is atmospheric pressure,
p and p0 are spherical stress and pre-consolidation pressure,
respectively.
Equation (1) can reflect the influence of deviator stress, preconsolidation pressure, suction and initial damage degree on
expansive soil in the process of shear. It is convenient to use
equation (1) in constitutive relationship because of its simple
style and a few of parameters involved.
3.2
Figure 2. Scanning images during triaxial shear test

of sample 2# of intact expansive soil.
Characteristics of structure damage evolution of

remolded expansive soil in the process of wet-dry circles
Twelve wet-dry cycle tests of remolded expansive soils were

carried out. Each sample went through 5 wet-dry circles. The
sizes and the scanning cross-sections of the samples were as
same as in section 3.1. However, the scanning pictures were
marked as a0~a5 and b0~b5, successively, were corresponding
to the cross section of 0.3H and 0.7H from the top of the
simples, respectively. The picture marked as a0 and b0
associated with the initial state of the specimen. A total of 66
CT images were obtained. Let H and SD denote the mean value
and the standard deviation of CT data of a scanning section,
respectively, the results of the tests show that H decrease and
SD augment as the times of wet-dry circles increase. The
images show that the cracks initiate and extend continuously. At
last, the crannies becomes connectivity each other as shown in
figure 3.
Taking the CT data corresponding to the initial state of
specimen as the base value, a damage variable D2 can be
defined as the relative difference of base value and the value of
CT data in the process of wet-dry circles tests.
212
Figure 3. Scanning images through 5 times of wet-dry

circles of sample 5# of remolded expansive soil
The damage values related to various volumetric strains in

wet-dry circle tests are show in figure 4. Through curve-fitting,
the damage evolution equation upon the wet-dry circle test is:
D2 exp( A v )
(2)
Where A is a soil parameter, and v is volumetric strain. It is

obviously that the damage evolution equation is in good
agreement with the experiments.
1. 5
1. 2
D
D0 exp(
1
0. 9
0. 6
0. 3
0. 0
0. 0
0. 2
0. 4
0. 6
0. 8
1. 0
1. 2
Figure 4. The damage values vs. volumetric strains of samples in the

process of wet-dry circles test

Tab.2 Initial physical parameters and stress states of samples before soaking
Net cell pressure
Matric suction
Deviator stress
s / kPa
q / kPa
No.of
sample
Initial dry density
1.31
11.0
1.08
100
150
1.31
11.0
1.08
200
150
12
1.32
11.0
1.04
100
150
200
14
1.32
11.0
1.05
100
250
12
1.31
11.0
1.06
100
150
100
14
1.30
11.0
1.08
100
150
250
14
Void ratio
3 -ua )
/ kPa
10
Six tests of intact Q3 loess were conducted. The size of samples

was 39.1mm in diameter and 80mm in height. The initial
conditions and test parameters of the samples are shown in table
2. Each sample was scanned 6 sections (Figure 5), and each
section was scanned from 6 to 8 times. The scanning pictures
were marked as a, b, c, d, e, f, g and h corresponding to a
section in successive scanning (Zhu, 2008a). A total of 273 CT
images were obtained.
Figure 6 shows the Scanning images of 5th section of sample
3# of Q3 loess during loading. The scanning pictures were
marked as a, b, c, d, e, f, g and h corresponding to the initial
state, the end of consolidation, and deviator stress ( q ) equal to
255075100150 and 200 kPa of the 5th section (Table
3). H and SD in table 3 are the mean value and the standard
deviation of CT data of the 5th section.
It is clear from Figure 6 and Table 3 that consolidation has
significant effect on the meso-structure of sample, and there is
no evident change in the meso-structure of sample 3# before
deviator stress less than 150 kPa. In addition, the defect region
(black part in Figure 6) not vanishes completely at the end of
loading.
8. 67
9
80
5
4
14
12. 67
Water pressure
during soak / kPa
4.1 The structure evolution of Q3 loess during loading and

collapsing
16. 67
g / cm
Initial water
content /%
39. 1
Figure 5. Scanning position (length unit: mm)
Figure 6 Scanning images of 5th section of sample 3# of Q3 loess

during loading
Tab.3 CT data and stress state of sample 3# during loading
Scan
5th Section
Stress state
sequence
H
SD
Initial state
a
821.1
49.4
End of
b
854.6
44.7
consolidation
q = 25 kPa
c
856.5
44.7
q = 50 kPa
d
852.7
41.4
q = 75 kPa
q = 100 kPa
q = 150 kPa
e
f
g
854.1
854.0
887.0
42.6
41.7
45.9
q = 200 kPa
927.2
43.4
Figure 7 Scanning images during triaxial collapse of

2nd section of sample 4# of intact Q3 loess
STRUCTURE EVOLUTION OF LOESS Q3

Collapsibility is the most important feature of loess.
However, collapsibility depends on the meso-structure of loess.
In order to discover the characteristics of the meso-structure
evolution of loess, 10 groups of CT-triaxial tests including 49
samples of Q3 loess were conducted. A total of 847 CT images
and a number of CT data were obtained (Zhu, 2007; Fang,
2008; Li, 2010).
Fig.8 Scanning images during triaxial collapse of

3rd section of sample 4# of intact Q3 loess
213
The CT-triaxial collapse tests of Q3 loess have been done

under various mass of inundation. The scan images of CTtriaxial inundation tests for sample 4# are show in figures 7 and
8. The following understanding can be summarized from CT
images:
1) For certain stress state, the original structure of the loess
is damaged during collapse and a new stable homogeneous
structure is formed simultaneously. In the CT images, the
fissures and the cavity in the undisturbed loess samples shrink
gradually, even disappear at last.
2) Either spherical stress or shear stress can lead to collapse
including volume strain and shear strain. The 1#, 2# and 4#
samples (Table 2) are in hydrostatic state of stress, and their
collapsible volume strains are 4.3 %, 1.27 % and 4.79 %,
respectively. It can be seen that the structure of 4# sample
occurs a substantial change from an non-homogeneous (even
with cracks) to a quite homogeneous state. For example, from
Fig.7-2b to Fig.7-2c, the mean value of the CT data increases
from 829.06 to 983.26 with an increment of 154.2. However,
from Fig.7-2f to Fig.7-2g and from Fig.8-3f to Fig.8-3g, the
mean values of the CT data change only in the fractional part.
The above two opinions proposed by the first author of the
paper in 1986 firstly (Chen, 1986a, 1986b) are proved by the
CT images, which give the visual evidence to the structure
changes of the loess in the process of collapse. These two
characteristics of collapse also show that collapse is different
from shear failure, in other words, shear deformation during
collapse process of loess is generally limited and taking the MC criteria as initial collapse condition is unreasonable, which
was pointed out by the first author of the paper in 1986 (Chen,
1986b).
damage evolution equations of two kinds of soils are obtained

in various test conditions.
CT technology give the visual evidence to the structure
changes of soils, and makes a solid test foundation to establish
the damage evolution equation and structure constitutive model
of soils.
6
This work has been supported by the National Natural Science

Foundation of China (Grant No. 11072265 & 11272353).
7
Figure 9 shows the relations of CT number vs. stress of two

scanning sections of 3# simple Q3 loess during shear (Table 2).
It can be seen that there is a characteristic point at each curve.
The CT numbers of pre- and post- the point change
significantly, which means that the point is yield point. Thus, a
method to determine yield point is proposed with the help of CT
scanning data.
980
980
960
940
940
2
920
920
900
860
860
840
100
900
880
880
840
110
120
130
140
p /kPa
150
160
170
50
100
150
200
q /kPa
Fig.9 CT number vs. stress of two scanning sections of 3# simple Q3

loess during shear
REFERENCES
Chen Z.H. & Liu Z.D. 1986a. Mechanism on collapse deformation of

loess. Chinese Journal of Geotechnical Engineering 1986(2): 1-12.
Chen Z.H. & Liu Z.D. 1986b. Some problems on collapsibility of loess.
Chinese Journal of Civil Engineering 1986(3): 62-69.
Chen Z.H. 1994. New development in research of unsaturated soils.
Sino-Canadian Symposium on Unsaturated / Expansive soils, June
1994: 145-152.
Chen Z.H. 1999. Deformation, strength, yield and moisture change of a
remolded unsaturated loess. Chinese Journal of Geotechnical
Engineering 21(1): 82-90.
Chen Z.H. Lu Z.H. & Pu Y.B. 2001. The matching of computerized
tomography with triaxial test apparatus for unsaturated soils.
Chinese Journal of Geotechnical Engineering 23(4): 387-392.
Chen Z.H., Sun S.G., Fang X.W., Zhu Y.Q. & Xie Y. 2007.
Development and application of multifunction triaxial apparatus.
Journal of Logistical Engineering University 23(4): 1-5.
Chen Z. H, Yao Z. H. & Miao Q. Q. 2011. Influence of structure
damage to the yielding of expansive soils[c]. Proc. AP-UNSAT,
14-16 November 2011, Thailand, Vol. : 679-684.
Li J.G., Chen Z.H., Huang X.F. etal. 2010. CT-triaxial shear tests on
the meso-structure evolution and strength of unsaturated loess Q3
during unloading confining pressure. Chinese Journal of Rock and
Soil Mechanics, 31(4): 1084-1091.
Lu Z.H. 2001. Elasto-plasticity-damage constitutive model of
unsaturated expansive soil and applications on multi-field coupling
numerical analysis for Soil Slope. Chongqing: Ph. D. dissertation,
Logistical Engineering University.
Wang S.J., Chen Z. H. & Li X. The verification of damage variable of
expansive soil based on CT numbers. Chinese Journal of Rock and
Soil Mechanics, 2012, Underreview.
Wei X.W. 2007. Research on wet-swelling deformation and
characteristics of structure evolution of expansive soil. Chongqing:
Master Degree Dissertation, Logistical Engineering University.
Yao Z.H. 2009. Evolution characteristics of meso-structure of
expansive soils in triaxial soaking test. Chongqing: Master Degree
Dissertation, Logistical Engineering University.
Yao Z. HZang J. H & Chen Z. H. 2011. Study on meso-structure
changes of remolded expansive soils during wetting-drying cycles
and triaxial soaking test[c]. Proc. AP-UNSAT 2011, 14-16
November, Thailand, Vol. : 685-692
Zhu Y.Q. & Chen Z.H. 2008b. New methods for research of
collapsibility of loess. Chinese Journal of Geotechnical
Engineering 30(4): 524-528
Zhu Y.Q. 2008a. Research on constitutive model of unsaturated
undisturbed collapse loess based on evolution of meso-structure.
Chongqing: Ph. D. dissertation, Logistical Engineering University.
4.2 Determining yield stress of intact loess with the help of CT

scanning data
960
ACKNOWLEDGEMENT
CONCLUSIONS
(1) The macro-scale behaviors of the soil samples are closely
related with their mesostructural evolutions.
(2) Fissures sprout and grow during loading or during wetdry circles for undisturbed expansive soil for remolded
expansive soil.
(3) The original structure of the loess is damaged and a new
homogeneous structure is formed during wetting and for certain
stress state. The holes and fissures of intact loess may become
gradually small even disappear during loading or inundation
depending on stress state of soil.
(4) Based on CT data, the definitions of the structure damage
variable of the loess and expansive soil are given. The structural
214
Misconceptions about experimental substantiation of creep hypothesis A

Les ides fausses justifiant l'hypothse A de fluage au laboratoire
Degago S.A.
Norwegian Public Roads Administration, Trondheim, Norway
Grimstad G.
Oslo and Akershus University College of Applied Sciences, Oslo, Norway
Jostad H.P.
Norwegian Geotechnical Institute, Oslo and Norwegian University of Science and Technology, Trondheim, Norway
Nordal S.
Norwegian University of Science and Technology, Trondheim, Norway
ABSTRACT: Ample laboratory experiments as well as field observations show existence of rate effects or creep during the primary
consolidation phase of clayey soils. However, the role of creep during the primary consolidation phase has been a subject of active
debate among researchers. As a result, two totally different hypotheses referred to as creep hypothesis A and B have been defined as a
basis for the discussion. Despite being opposite extreme to each other, both creep hypotheses seem to be experimentally supported
leading to confusion as to which of them is correct. This paper aims to consistently clarify the apparent misconceptions involved in
the experimental substantiation of hypothesis A as well as discuss some of its unphysical implications. This means to provide simple
and convincing arguments as to why creep hypothesis A is not experimentally substantiated. It is shown that cohesive soils behave in
conformity with hypothesis B. It is also illustrated that a constitutive model based on hypothesis B can give excellent prediction of
long-term field measurements of settlements and excess pore pressure responses.
RSUM : De nombreuse observations sur le terrain et au laboratoire ont montr que le fluage existe au cours de la phase de
consolidation primaire des argiles. Le rle du fluage pendant la phase de consolidation primaire fait toutefois lobjet d'une vive
controverse dans la littrature. Au cours des ans deux hypothses compltement diffrentes ont t dfinies pour discuter du fluage
dans les argiles ; lhypothse A et B. Les deux hypothses semblent tre soutenues par des rsultats en laboratoire et cela mne
savoir laquelle des deux est correcte. Le but de cette tude est de clarifier certaines ides fausses concernant lhypothse A bas sur
des rsultats exprimentaux. Ceci vise renforcer les arguments qui montre que lhypothse A nest pas valide. Ltude montre
galement que les sols cohrents se comportent pratiquement de la faon dcrite par lhypothse B. Finalement, un modle de
comportement bas sur lhypothse B produit des rsultats qui concordent trs bien avec des mesures de tassements en chantier ainsi
quavec la rponse des pressions interstitielles due la charge.
KEYWORDS: Creep, primary consolidation, settlement, clays
1
INTRODUCTION
Settlement of saturated soils under increased loading consists of

two successive phases, commonly referred to as the primary and
secondary consolidation phases. The primary consolidation
phase is dominated by pore pressure dissipation and effective
stress increase; whereas, the secondary consolidation phase is
dominated by creep at almost constant effective stress.
The existence of creep during primary consolidation is
evident, but there exist opposing opinions on the role of creep in
the primary consolidation phase. In 1977, Ladd et al. formally
proposed two creep hypotheses referred to as creep hypotheses
A and B. Creep hypothesis A implies that the end of primary
consolidation (EOP) strain and EOP preconsolidation stress (pc)
are unique, independent of the consolidation duration; while,
hypothesis B implies that the EOP strain increases or EOP pc
decreases with increasing duration of the primary consolidation.
The two creep hypotheses have significance implications
when it comes to practical applications such as prediction of
field settlements where settlement behaviours of laboratory tests
(short primary consolidation duration) have to be extrapolated
to describe in-situ performance of clay deposits with very long
primary consolidation duration. Mesri (2003) and Leroueil
(2006) summarised several experimental and numerical
substantiations that have been independently presented to
advocate the two hypotheses. However, these voluminous
substantiations had little effect in deciding which of the two
hypotheses was correct as experimental observations were
presented that seem to advocate two opposing soil behaviours.
2151
SUBSTANTIATIONS OF THE CREEP HYPOTHESES
The substantiations and arguments for hypothesis B are more

general as compared to the extreme hypothesis A which says
that the EOP strain and pc are identical irrespective of the time
it takes to reach an EOP state. Hence, this motivates to take a
closer look at the experimental substantiation of hypothesis A.
Four groups of substantiations have been put forward by the
advocates of hypothesis A (Mesri, 2003). These arguments can
briefly be stated as; (1) comparing EOP strain of specimens
with different heights (here 127 and 508 mm thick specimens),
(2) studying sub-specimen compressibilities in interconnected
tests (3) predicting field settlements and excess pore pressures
using a numerical model developed based on hypothesis A
concept (referred to as ILLICON methodology) and (4)
comparing field and laboratory preconsolidation stresses.
Degago et al. (2009, 2010, 2011a and 2011b) and Degago
(2011) have thoroughly investigated the experimental and
numerical substantiations of hypothesis A and provided
explanations using a consistent framework as to why hypothesis
A seemed to be wrongly substantiated. Actually, the very same
data have been used to substantiate hypothesis B. However,
recent work by Mesri and Feng (2009) (published in 2011)
indicates a series of misconceptions by the advocates of
hypothesis A regarding substantiation of hypothesis A.
Therefore this paper attempts to briefly provide clarifications
for most of these misconceptions. In addition, it presents some
of the recent works performed with regard to the experimental
and numerical substantiations of the two creep hypotheses.
SOME NUMERICAL ASPECTS
The isotache concept, proposed by uklje (1957), can

conveniently be used for modeling rate dependency of clays.
The isotache concept states that there is a unique relationship
between the current strain rate (change in void ratio), effective
stress state and strain (void ratio).
Under oedometer testing conditions, a direct implication of
the isotache concept is that the experienced pc is dependent on
the time between the load increments, or the rate of loading.
Under EOP incremental loading scheme, the implication of the
isotache concept is sketched in Figure 1 for fast and slow
consolidation durations and the experienced pc is shown to be
rate dependent. In opposition to this, hypothesis A implies a
unique EOP effective stress-strain relationship irrespective of
consolidation duration (Mesri and Choi, 1985b). Hence, the
distinction between the two hypotheses basically comes down
to whether the resulting pc is rate dependent or not.
Effective stress, log v
v1
v2
fast1
slow1
fast2
slow2
NOTE:
Strain ( )
slow1 > fast1

slow2 fast2
EOP
decreasing rate,
(increasing time)
Figure 1. Implication of the isotache concept for EOP states of fast and
slow consolidation times under incremental loadings up to EOP states.
In the isotache concept the strain rate is determined by the

current void ratio and effective stress. In water-saturated soil,
change in void ratio can only take place when water is expelled
from the soil. Therefore the strain rate is indirectly controlled by
the global consolidation process. However, a soil element inside
a soil layer (or sample) has neither any direct information of this
global consolidation process nor remaining time until the EOP
consolidation state is reached. However, for hypothesis A to
hold true, the response in all soil elements must be a function of
this remaining time and its advocates argue that no sub layer,
including the drainage face, experiences any secondary
compression until the simultaneous completion of primary
consolidation of all sub layers (Mesri and Vardhanabhuti
2006). Such assertion, however, violates some basic axioms of
continuum mechanics such as axiom of material invariance and
axiom of objectivity (see e.g. Eringen (1967)).
4 SOME MISCONCEPTIONS AND CLARIFICATIONS
ON SUBSTANTIATIONS OF CREEP HYPOTHESIS A
Degago et al. (2009) re-evaluated the EOP experiments
conducted on 127 and 508 mm thick specimens by Feng (1991)
and showed that the experiments actually substantiate
hypothesis B. In addition, Degago et al. (2009) used a numerical
tool based on hypothesis B to analyse the raw data of the tests
as they were originally conducted and showed that they are
explainable using this model. Mesri and Feng (2009) questioned
the validity of hypothesis B and attempted to provide an
216
explanation for their tests. However, a series of misconceptions

are visible in Mesri and Feng (2009) that needs clarifications
and these are given in the following sections by classifying the
apparent misconceptions into laboratory and field studies.
4.1
Laboratory studies
As illustrated in Figure 1, the specific load increment that starts

below initial pc and exceeds it is critical. This has been treated
in greater detail in Degago et al. (2011a). Degago et al. (2009)
focused on this increment and showed that the tests conducted
by Feng (1991), on the 127 and 508 mm thick specimens of
Batiscan and St. Hilaire clays, did not have the same EOP state.
To determine if there is any possibility that hypothesis A has
a practical use, evidences for hypothesis A must be found. This
requires first of all giving an objective definition of time at the
end of primary consolidation. The obvious criterion would be
the remaining excess pore pressure. However, this requires a
detailed knowledge on the excess pore pressure. Mesri and Feng
(2009), referring to Mesri et al. (2005), admit that such an exact
criterion does not exist.
Mesri and Feng (2009) claim that Degago et al. used micromanagement to evaluate the EOP criterion adopted in the test
by Feng (1991). However, a clear criterion is exactly what one
needs for answering this fundamental question, especially to
study the validity of hypotheses A where EOP is a key state.
With this regard, it is worthwhile to mention that EOP
definition is not important for hypothesis B where there is a
smooth transition from primary to secondary consolidation
phases. Still, it is important to understand the nature of excess
pore pressure around EOP state where creep starts to dominate
and governs the dissipation of the remaining excess pore
pressure. At this stage, the soil can continue to deform without a
significant change in excess pore pressure. Consequently, the
EOP criteria can easily be misused and there is a potential of
exposing specimens being compared to unsystematic creep
durations. In such cases, comparisons may end up being not
genuine enough to reflect reality. The excess pore pressures for
the 127 and 508 mm thick specimen of Batiscan clay were 0.1
and 0.8 kPa and for St. Hilaires clay they were 1.0 and 2.2 kPa,
respectively. Under these conditions one cannot claim that the
thin and the thick specimen have had the same EOP state.
One fundamental proof that was overlooked in the discussion
of Mesri and Feng (2009) is time considerations aspects. From
the classical consolidation theory, the ratio of the time needed to
achieve the same degree of consolidation between two
specimens is equal to the square of the ratio of the heights.
However, because of the consolidation time being increased by
creep, a thick specimen would need more time than the one
calculated based on the classical consolidation theory concept.
Accordingly, one can compare the time needed to achieve EOP
state for the 127 mm (t127) and 508 mm (t508) thick specimens
studied by Feng (1991). In fact the ratio t508/t127 in the actual
tests of Batiscan and St. Hilaire clay were only 7 and 9 instead
of being larger than 16. Therefore the tests do not even qualify
as tests conducted in accordance to hypothesis A where the ratio
t508/t127 is expected to be equal to 16 (Ladd et al., 1977).
Based on the final excess pore pressure of the 508 mm thick
specimen, Degago et al. (2009) established the time that
corresponds to the same EOP state of the 127 mm thick
specimen. This gave a ratio t508/t127 of 19 and 20 for both clays
(>16), and most importantly an EOP strain that increases with
specimen thickness. Figure 2 shows details of the excess pore
pressure and volumetric strain development of St. Hilaire clay,
for the step of interest, for both sample thicknesses. It is seen
that a small variation in excess pore pressure gives significant
difference in the primary consolidation duration and the
corresponding strains. To achieve same EOP criterion with the
508 mm sample, the 127 mm sample should have been loaded
for 14 days instead of the actual 33 days adopted in the tests.

Volumetric strain [%] Excess pore pressure [kPa]
Mesri and Feng (2009) present two figures of excess pore

pressure versus time for Batiscan clay to show that sufficient
time is given for the 508 mm thick specimen to reach EOP. The
stress increments they presented were for a step well before the
initial pc and for a step after exceeding the initial pc. However,
they did not present the most important step, i.e. the step that
starts below and exceeds the initial pc. Here lies the main
misconception, as Mesri and Feng (2009) tend to continue to
underrate the importance of the load increment that exceeds the
initial pc.
Applying the interpretation shown in Figure 2, the resulting
stress-strain relationship of the St. Hilaire clay is shown in
Figure 3. The interpreted experimental data clearly imply
hypothesis B, unlike the original curves where inconsistent EOP
criteria were used to wrongly advocate hypothesis A. Mesri and
Feng (2009) wondered about the re-interpretation of the load
increment after exceeding pc (the broken lines in Fig 3).
However, referring to the broken line in Figure 3, Degago et al.
(2009) clearly stated a similar re-interpretation procedure
could not be adopted for the following steps since the thin
specimen has already exceeded its EOP condition. To establish
the broken lines Degago et al. (2009) simply used the fact that,
after exceeding pc, the incremental strain for a thin and thick
specimen are almost the same, see Figure 1.
exceeding the initial pc, the tests showed largest deformation on

the sub-specimen closest towards the drainage boundary. This is
in accord with predictions by the isotache concept and contrary
to the claims made by Mesri and Vardhanabhuti (2006).
4.2
Field studies
Mesri and Feng (2009) argued that the computer program

based on Soft Soil Creep (SSC) model should be applied to field
situation with primary consolidation duration of 30 to 50 years
before reaching any general conclusion on EOP compression
and on the uniqueness of preconsolidation pressure. In addition
they presented excellent settlement predictions of field cases to
illustrate the validity of hypothesis A. In connection to this,
Degago et al. (2011b) studied 57 years of settlement data from
the Vsby test fill and have clarified two misconceptions
observed in the arguments by Mesri and Feng (2009) regarding
their field predictions. First, it was clearly illustrated that the
excellent settlement predictions and somehow lower excess
pore pressure predictions by ILLICON were due to use of soil
data from highly disturbed samples along with inappropriate
analysis assumption. Secondly, it was demonstrated that when
one interprets soil data from high quality samples then the
isotache model (SSC) gives excellent settlement as well as
excess pore pressure predictions, see Figure 4 and Figure 5.
40
30
20
508 mm
St. Hilaire clay

125 mm
127 mm
St. Hilaire clay

500 mm
10
0
2
4
508 mm
St. Hilaire clay

125 mm
Correct EOP strains
8
10
127 mm
St. Hilaire clay

500 mm
100
2
3
10
104
106 100
10
10
Time [min]
Time [min]
Figure 2. Re-evaluation of experimental results of St. Hilaire clay for
the load increment that exceeds pc (raw data after Feng, 1991)
0
40
Effective stress [kPa]

80
120
160
Figure 4. Time-displacement curves for different depths (Degago et al.

2011b)
Volumetric strain [%]
12
16
508 mm original
127 mm original
127 mm re-interpreted
20
Figure 3. EOP volumetric strain-effective stress relationship of thin and

thick specimen of St. Hilaire clay for the load increment that exceeds pc
(raw data after Feng, 1991)
Figure 5. Excess pore pressure profiles for different times plotted

against undeformed soil layer depth (Degago et al. 2011b)
Regarding soil element compressibility, Degago et al. (2010)

conducted a test to show that a soil element close to the
drainage boundary does not wait for the global EOP state before
starting secondary compression. This was also found when
Degago et al. (2011a) revisited the sub-specimen nominal strain
versus time relationships of the 508 mm samples of Batiscan
and St. Hilaire clay conducted by Feng (1991). For the step
A typical oedometer test used in the analysis of Vsby test

fill by ILLICON (Mesri and Choi, 1995a) had an EOP
overconsolidation ratio (OCR) value of 1.3 as compared to the
more correct value of 1.8 interpreted from high quality block
samples (Leroueil and Kabbaj 1987). The implication of this is
that, had Mesri and Choi (1985a) used high quality data,
217
ILLICON would have significantly under predicted both the

excess pore pressure and the settlement measured at the Vsby
test fill. In addition, Mesri and Choi (1985a) also ignored an
important role of buoyancy in large deformations. In the time
period analyzed by Mesri and Choi (1985a), a 42% load
reduction was estimated due to buoyancy effect. This effect is
too large to be neglected. Taking into account this key aspect
would have even led ILLICON to further underestimate
measurements in a similar manner to the results of the elastoplastic model (SS) shown in Figure 4 and Figure 5.
In connection to another field aspect, Mesri and Feng (2009)
also present a summary data, detailed in Mesri et al. (1995),
claiming that field and laboratory vertical preconsolidation
stresses (p) are the same. The authors of this paper found it
difficult to access these data in Mesri et al. (1995), in order to
analyze the quality of the test data (e.g. sample disturbance
effects) and to assess how and which procedures are used in the
determination of ps, see further discussion in Degago (2011).
An exception to this was the data by Sllfors (1975) which
constitutes one third of the data gathered by Mesri et al. (1995).
Therefore the authors have thoroughly looked into the
laboratory and field p data as presented in Sllfors (1975).
A good starting point to evaluate the data by Sllfors is to
understand the background behind the data. Sllfors studied and
determined field p based on pore pressure response to an
applied stress increment. Then he proposed a method to directly
predict the field p based on laboratory CRS tests. Because of
the background and aim of the method, the p interpreted in
this way would naturally give a p lower than those determined
for laboratory cases (Olsson, 2010). In simple terms, the good
match between laboratory and field p of Sllfors (1975)
merely show that the Sllfors method serves its purpose.
However, Mesri et al (1995) took the final data and made a
wrong conclusion and this may relate to a lack of understanding
of the objective behind the data gathered by Sllfors (1975).
5
SUMMARY OF THE MAIN MISCONCEPTIONS
The most important misconceptions as observed in the works of

the advocators of hypothesis A arises from overlooking some
important aspects of clay compressibility. These are discussed
in detail in this paper and are briefly summarized as follows:
1. The importance of the load (effective stress) increment
that starts below and exceeds the initial pc has not been
considered and understood properly by the advocators of
hypothesis A and its role has continually been underrated.
2. Without a unique and consistent EOP criterion, the
results from samples with different specimen heights can be
interpreted inconsistently resulting in misleading conclusions.
The discrepancy is not necessary significant within the duration
of laboratory tests, but become important when extrapolating to
field condition. EOP is of no interest when using a model based
on hypotheses B as it gives a smooth transition between primary
and secondary consolidation phases.
3. Effect of sample disturbance needs proper assessment.
Successful prediction of long-term field performance demands
use of high quality data with creep considerations. However, by
using results from tests on highly disturbed samples and
disregarding creep, one may obtain reasonably good estimate of
settlements.
6
FINAL REMARKS
Degago et al. (2009, 2010, 2011a and 2011b) and Degago

(2011) clearly showed that there exist definitive data to
demonstrate that the creep hypothesis B agrees very well with
the measured behaviour of cohesive soils. It is also illustrated
that that the isotache approach describes this soil response
218
properly. In closure, the main points of these studies with regard

to this paper are briefly stated as follows;
1. The experienced preconsolidation stress as well as EOP
strain are rate dependent even for EOP loading conditions and
this fact has been experimentally supported by several EOP
tests and field observations. All the experimental evidences that
were used to wrongly advocate hypothesis A actually imply
hypothesis B.
2. Hypothesis A would require that the soil element close
to the drainage boundary would wait for the global EOP state
before staring its secondary compression. However, various
tests conducted on sub-specimen compressibility clearly showed
that this does not hold true and the compressibility of a soil
element is controlled by prevailing conditions at that particular
element rather than what is happening elsewhere.
3. A model based on the isotache approach gives excellent
agreement between field measurement and numerical
simulations when soil data are derived from high quality
samples along with appropriate analyses assumptions.
4. Future developments related to the compressibility of
natural clays, such as modeling anisotropy and destructuration
effects, should be based on the isotache framework (hypothesis
B) along with use of soil data from high quality samples.
7
REFERENCES
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PhD thesis, Norwegian University of Science and Technology,
Trondheim, Norway.
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relationship. Proc. 17th ICSMGE, Alexandria 1, 324327.
Degago S. A., Jostad H. P., Olsson M., Grimstad G. and Nordal S. 2010.
Time- and stress-compressibility of clays during primary
consolidation. Proc. 7th NUMGE, Trondheim, 125130.
Degago S. A., Grimstad G., Jostad H. P., Nordal S. and Olsson M.
2011a. Use and misuse of the isotache concept with respect to creep
hypotheses A and B. Gotechnique 61(10), 897908
Degago S. A., Nordal S., Grimstad G. and Jostad, H. P. 2011b. Analyses
of Vsby test fill according to creep hypothesis A and B. 13th Int.
Conf. of IACMAG, Melbourne 1, 307-312.
Eringen A. C. 1967. Mechanics of Continua. John Wiley & Sons.
Feng T. W. 1991. Compressibility and permeability of natural soft clays
and surcharging to reduce settlements. PhD thesis, University of
Illinois at Urbana-Champaign, Urbana-Illinois, USA.
Ladd C. C., Foott R., Ishihara K., Schlosser F. and Poulos H. G. 1977.
Stress-deformation and strength characteristics. State-of-the-art
report. Proc. 9th ICSMFE, Tokyo 2, 421494.
Leroueil S. and Kabbaj M. 1987. Discussion of 'Settlement analysis of
embankments on soft clays'. ASCE 113(9), 1067-1070.
Leroueil S. 2006. uklje Memorial Lecture: The isotache approach.
Where are we 50 years after its development by Professor uklje?
Proc. 13th Danube Eur. Conf. Geotech. Engng, Ljubljana 2, 5588.
Mesri G. and Choi Y. K. 1985a. Settlement analysis of embankments on
soft clays. ASCE 111 (4), 441-464
Mesri G. and Choi Y. K. 1985b. The uniqueness of the end-of-primary
(EOP) void ratio-effective stress relationship. Proc. 11th ICSMFE,
San Francisco. 2:587-590.
Mesri G., Feng T. W. and Shahien M. 1995. Compressibility parameters
during primary consolidation. Proc. Int. symposium on compression
and consolidation of clayey soils, Hiroshima, 2, 10211037.
Mesri G. 2003. Primary and secondary compression. In Soil behavior
and soft ground construction (eds Germaine, Sheahan & Whitman),
ASCE Geotechnical Special Publication 119, 122166.
Mesri G. and Feng T. W. 2009. Discussion of Degago et al. (2009). Post
conference proc. 17th ICSMGE, Alexandria 5, 35593561
Olsson M. 2010. Calculating long-term settlement in soft clays - with
special focus on the Gothenburg region. Licentiate thesis, Chalmers
University of Technology, ISSN 1652-9146; nr 2010:3
isotaches method. Proc. 4th ICSMFE, London 1, 200206.
Sllfors G. 1975. Pressure of soft high plastic clays. Ph.D Thesis,
Chalmers University of Technology. Gothenburg, Sweden.
th
The relationship between swelling and shear strength properties of bentonites

La relation entre les proprits de rsistance au cisaillement de l'enflure et des bentonitiques
Domitrovi D., Kovaevi Zeli B.
University of Zagreb, Faculty of Mining, Geology and Petroleum Engineering, Zagreb, Croatia
ABSTRACT: Clay Geosynthetic Barriers are manufactured hydraulic barriers. The mineral component usually consists of bentonite,
which belongs to a group of expansive soils. The aim of this study was to establish the influence of swelling on mechanical properties
of bentonites. For this purpose, granular bentonite Volclay was chosen for laboratory testing. Its mineralogical composition was
predominantly montmorillonite (80% - 85% by mass). The correlation between swelling and water content on one side and changes in
shear strength i.e. shear strength parameters on the other were tested using a direct shear device. During several series of testing,
different levels of swelling of bentonite were simulated under the conditions of changing normal stress and hydration times. Swelling
behaviour of bentonite was determined through the long-term swelling tests using oedometer, under changing normal stress. Shear
strength testing show decreasing cohesion with longer hydration of bentonite. The friction angle increases with hydration that lasts
from 7 to 14 days. There is no significant change in the friction angle with hydration time longer than 14 days.
RSUM : Les gosynthtiques bentonitiques sont des produits manufacturs pour les barrages hydrauliques. La composante
minrale est le plus souvent largile bentonitique qui appartient la catgorie des sols gonflants. L'objectif de cette recherche est de
dterminer linfluence du gonflement sur la proprit mcanique de largile bentonitique. Pour la recherche est choisie largile
bentonitique en granuls Volclay, de composition minrale o domine la montmorillonite 80-85 %. La corrlation du gonflement et
des changements dhumidit avec les variations de la rsistance au cisaillement et les paramtres de rsistance au cisaillement a t
tudie dans le dispositif de cisaillement direct. Voici la srie de tests diffrentes contraintes normales, des temps varis
dhydratation, simulant divers degrs de gonflement de largile bentonitique. La courbe de gonflement dargile bentonitique est
dfinie par les expriences de gonflement prolonges diffrentes contraintes normales dans ldomtre. Les rsultats montrent une
rduction significative de cohsion avec la prolongation de lhydratation de largile bentonitique. Langle de frottement augmente
avec lhydratation (de 7 14 jours). Il ny a pas de changement significatif dans la valeur de langle de frottement lors d'une
prolongation de lhydratation suprieure 14 jours.
KEYWORDS: Bentonite, Swelling, Direct shear test, Shear strength.
INTRODUCTION
Clay Geosynthetic Barriers (GBR-C) - a member of the family

of synthetic materials - are extensively used nowadays as
sealing barriers or their components in a wide range of
engineering applications (Guyonnet et al. 2009, Kang and
Shackelford 2010, Shackelford et al. 2010). In the clay
geosynthetic barrier, bentonite makes the mineral component
that ensures low hydraulic conductivity (Koerner 1996,
Shackelford et al. 2000, Bouazza 2002, Katsumi et al. 2008),
while layers of geotextile make the supporting component.
Layers of geotextile are usually needle-punched or stitchbonded in so called reinforced GBR-Cs. There are also
unreinforced GBR-Cs, but their use are limited to relatively flat
slope applications that do not present significant shear stress.
In deciding about the most suitable design for the sealing
system, stability is one of the important factors to consider.
When using clay geosynthetic barriers, it is important to pay
attention to interface and internal shear strength. The interface
strength is developed at the contact between the clay
geosynthetic barrier and adjacent material, be it soil or other
geosynthetic material. The internal shear strength is different
with reinforced and unreinforced clay geosynthetic barriers. The
internal shear strength of reinforced clay geosynthetic barriers
depends on the strength of their components, more precisely the
ultimate tensile strength of reinforcement yarns and the shear
strength of bentonite. Hydrated bentonite has very low shear
strength, which is why its impact on the internal shear strength
will be reduced. The internal shear strength of unreinforced clay
geosynthetic barriers is identical to the shear strength of
bentonite clay (Gilbert et al. 1996, Kovaevi Zeli 2000,
Zornberg and McCartney 2009, Fox 2010).
219
1
Bentonite clays fall into the group of expansive soils. It was

the bentonite clay swelling property the key mechanism that
ensures very low levels of hydraulic and gas conductivity, and
therefore its role of the clay geosynthetic barrier's sealing
component. The cause for swelling is found in the fact that
smectite clay minerals are the main component of bentonite,
with montmorillonite as the predominant mineral. Electrical
charge and the colloidal particle size are the reasons why this
group of minerals is hydrophilic. Their ability to attract
molecules of water allows them to increase volume several
times, and it plays an important part in the mechanical
properties of bentonite, including strength, deformability and
hydraulic conductivity. What contributes further to the low
hydraulic conductivity of bentonite is an increase in the content
of montmorillonite; specific surface area (decrease in the size of
particles); electrical charge deficit and sodium content (Na+) in
the system of exchange (Mitchell and Soga 2005, Guyonnet et
al. 2009). The influence of these factors on the quality of
bentonite can mostly be seen macroscopically through increases
in ion exchange capacity, plasticity and swelling capacity (in the
presence of fluid), against decreases in hydraulic conductivity
and strength. It should be stressed here that sodium bentonite
clays demonstrate a very low level of hydraulic conductivity
and a high swelling capacity.
For the purpose of quantifying the role of bentonite within
the clay geosynthetic barrier, laboratory tests were conducted
with samples of Volclay granular bentonite, using direct shear
and oedometer tests. As a part of this study, a detailed
characterization of bentonite was carried out. Mineralogical
composition of bentonite was: montmorillonite 80-85%,
cristobalite around 5%, quartz around 5%, plagioclase 5%.
Index properties of bentonite were as follows: liquid limit
th
437.0%, plastic limit 52.86%, specific surface area 700 m2/g

and ion exchange capacity 88.63+/-6.51 meq/100g. The
influence of swelling and water content of bentonite samples on
the measured values of total shear strength and shear strength
parameters was observed using the direct shear device. In a
series of tests, under conditions of varying effective stress,
hydration times were changed depending on the results of
oedometric tests in order to simulate different levels of
bentonite swelling. Swelling behavior of bentonite was defined
through long-term oedometer tests with varying effective stress.
In order to prevent the change in chemical and mineralogical
composition of bentonite, demineralised water was used as the
test fluid. Shear displacement rate was 1 mm/min. This
displacement rate enables relatively short shear stage in relation
to previously finished hydration stage, that is, the reduced
impact of additional hydration and creep during shear stage on
the test results.
2
OEDOMETER SWELL TEST
Bentonite swelling tests were performed using standard

oedometer cells of 74 mm in diameter. The placement
procedure was relatively simple i.e. pouring of granular
bentonite into the oedometric cell was performed without the
application of external loading. The initial water content (asreceived) of granules was approximately 12%. Identical
amounts of bentonite were used for all specimens, making sure
that the bentonite is not compacted, but only slightly flattened.
After installation, the specimens were loaded to normal stress
levels of 50, 100 and 200 kPa. The next step was to add
demineralised water into the cell, leaving the specimens to swell
under applied normal stress levels for the next 276 days. At the
end of experiments, specimens were taken out of the device, and
final moisture content was determined.
Test results showed the highest level of swelling and
relative vertical deformation for those specimens that were
under the lowest levels of normal stress. Therefore, the intensity
of swelling decreased as normal stress level increased. It is
evident on the basis of the swelling curves that relative vertical
deformation (swelling) of specimens after the period of 276
days was 65.80% (6.787 mm) under normal stress of 50 kPa;
38.54% (3.945 mm) under normal stress of 100 kPa and 13.93%
(1.339 mm) under normal stress of 200 kPa.
The analysis of time required for the primary swelling stage
indicates that these times were identical for all normal stress
levels (Figure 1). In this particular case, the time for completion
of the primary swelling was approximately 31 days, looking at
all three series.
On the basis of analysis of vertical deformation
development for these specimens upon completion of the
primary swelling stage, it is evident that in the period which
remained the stage of secondary compression started. Following
conclusions were drawn by observing vertical deformations
over the remaining period of 245 days during which there was
secondary compression of the specimens:
with specimen subjected to normal stress intensity of 50
kPa, there was compression by 0.092 mm, resulting in vertical
deformation of 0.54%;
deformation of 1.36%;
deformation of 1.82%.
220
Figure 1. Bentonite swell tests.
Therefore, same as with the primary swelling, the rate of

vertical deformation in the stage of secondary compression and
how it develops with time also depends on normal stress levels,
but in this case the intensity of secondary compression increases
with the increase of normal stress level.
The specimens were subjected to secondary compression
over a long period of time, so it is assumed that the impact of
changing temperature in the laboratory on the vertical
deformation curves is possible during the period of secondary
compression. A combination of very low vertical deformations
and variable temperatures in the laboratory during measurement
may lead to a change in the rate of vertical deformation
increment during secondary compression. Some changes in
temperature in the laboratory were expected, and it is assumed
that they affect measuring sensors used in this test.
3
3.1
DIRECT SHEAR TEST

Laboratory testing program
Clay geosynthetic barriers are composite materials. Considering

the specific form of clay geosynthetic barriers, their shear
strength is mainly tested using modified direct shear devices.
This test was aimed at quantifying the performance of bentonite
clay component within the clay geosynthetic barrier. It was
conducted on a sample of granular bentonite, not including the
geosynthetic component. The shear strength tests on some
unreinforced and particularly on reinforced clay geosynthetic
barriers indicate that special attention is required relating to the
size of specimen. However, the specimen size is not crucial
when testing the shear strength of bentonites. Therefore, a
standard direct shear device with box dimensions of 6060 mm
was used in this study.
Previous studies of the shear strength of bentonite indicate
that the key influence on its behavior comes from the property
of swelling i.e. moisture content in the specimen. In order to
establish the influence of bentonite swelling on its shear
strength, specimens were tested in three series under normal
stress of 50, 100 and 200 kPa, with varying hydration times (7,
14 and 21 days).
The specimen placement procedure consisted of pouring
bentonite into the shear box. The as-received water content level
in granules was approximately 12%. The same amount of
granulated bentonite was always used, making sure that the
bentonite is not compacted, but only slightly flattened. The
described procedure ensured approximately identical initial
values for thickness, dry mass and dry density of all specimens
(their thickness was approximately 8 mm). This kind of
procedure was believed to provide a representative simulation
for the conditions under which bentonite is used as part of clay
geosynthetic barriers. After the placement, normal stress
loading was applied on the specimens immediately followed by
the initiation of hydration procedure. After finished hydration

th
procedure lasting 7, 14 and 21 days for three series of testing,

specimens were sheared in the shearing stage by the same rate
of shearing. Normal stress levels remained unchanged in both
stages.
3.2
Test results
Measured vertical displacements in the shear stage indicate

consolidation under all normal stress levels and hydration times.
The displacement rate in these tests was 1 mm/min and the
assumption was that compression during the shear would cause
pore pressure inside the specimen to increase.
Table 1 shows the results of testing in the shear stage.
Residual values of shear strength were obtained at specimen
relative deformation of 15%, and this was also the maximum
horizontal shear that could be obtained in the standard shear
box. Shear strength values were constantly growing with the
increase of normal stress and with decrease of final moisture
content. With specimens subjected to stress levels of 50 and 100
kPa, longer hydration times caused higher values of final
moisture content and decreasing shear strengths. With
specimens subjected to stress level of 200 kPa, final moisture
content and shear strength of bentonite did not change
irrespectively on hydration times.
Figure 2. Peak strength envelopes.
Table 1. Summary of direct shear test results.

Hydration
time
7 days
14 days
21 days
7 days
14 days
21 days
7 days
14 days
21 days
Normal
stress
(kPa)
50
50
50
100
100
100
200
200
200
Shear strength
Peak
Residual
(kPa)
(kPa)
21.4
17.3
19.4
12.9
17.2
11.8
32.2
25.6
29.2
21.4
27.5
20.0
51.1
38.0
52.0
37.6
49.4
36.2
Final moisture
content
(%)
113.12
124.32
140.26
85.36
97.82
104.05
71.33
69.66
71.91
Figure 3. Residual strength envelopes.
Figure 4 presents the influence of final moisture content on the

test result values for peak and residual shear strength. It is
evident that, irrespectively to the normal stress level, shear
strength has tendency to decrease as final moisture content
increases.
Table 2 shows the value of shear strength parameters obtained

by shearing of bentonite specimens. Peak and residual strength
envelopes are shown in Figures 2 and 3.
Table 2. Shear strength parameters.
Hydration
time
7 days
14 days
21 days
Peak parameters
c (kPa)
()
11.99
11.23
8.04
12.47
6.32
12.27
Residual parameters
c (kPa)
()
11.05
7.80
4.79
9.38
3.63
9.31
Figure 4. Final moisture content vs. shear strength.
By observing peak (Figure 2) and residual (Figure 3)

strength envelopes, it is evident that the specimens sheared after
14 and 21 days of hydration have almost identical values of
peak and residual friction angle, while peak and residual values
of cohesion were decreasing as specimen hydration times were
increased. In the case of specimen hydrated for seven days,
there was obvious change in behavior, in comparison with
specimens hydrated for 14 and 21 days. This specific specimen
shows significantly higher values for peak and residual cohesion
and somewhat lower values for peak and residual friction angle,
in comparison to specimens hydrated for 14 and 21 days.
Figure 5 presents the correlation between peak and residual

friction angles and the time of hydration. For hydration times in
this test, a change in the friction angle was visible up to the 14th
day of hydration. After that, the friction angle decreased
insignificantly.
Figure 5. Hydration time vs. friction angle.
221
th
Figure 6 presents the correlation between peak and residual

cohesion and the time of hydration. Observing the change in
cohesion, it is evident that cohesion decreases constantly with
longer hydration times.
Figure 6. Hydration time vs. cohesion.
Friction angle and cohesion values were normalized and

expressed in percentages in relation to the parameter values
after seven days of hydration. It is evident that a 14-day
hydration causes peak friction angle to increase by around 10%,
while extended hydration time results in insignificant decrease
of the friction angle (Figure 7). The increase is higher with the
residual friction angle by around 20% after 14 days of
hydration, while after that it decreases insignificantly.
CONCLUSIONS
Test results show that the swelling of bentonite clay is a longlasting process. Tests carried out on the Volclay sample have
shown that the primary swelling stage is completed after 31
days, regardless of the normal stress intensity. After primary
swelling, the stage of secondary compression and creep
develops. The extent of swelling and secondary compression
depends on the normal stress levels.
The analysis of shear strength parameters of specimens hydrated
for 7, 14 and 21 days shows decreasing cohesion with extended
times of hydration. When hydration time is longer than 14 days,
the intensity of change in cohesion decreases. The intensity of
change in residual cohesion in the first 14 days of hydration is
higher than for peak values, presumably as a result of increasing
pore pressure during the shear stage.
With extended hydration time (from 7 to 14 days), the friction
angle initially increases, but further extension of hydration (to
more than 14 days) produces almost no change in the friction
angle value. Peak and residual friction angles change in line
with this pattern, but the extent is somewhat smaller for the
residual friction angle.
Knowing the process of swelling of bentonite is important from
the aspect of shear strength of bentonite and clay geosynthetic
barriers. Also, the displacement rate influences peak and
residual values of bentonite shear strength. Lower displacement
rate means a longer test duration overall, and consequently more
time for hydration/swelling in case of normal stress levels that
are smaller than the bentonite swelling pressure. Potential
continuation of the hydration process in the shearing stage will
depend on the stage of swelling that the specimen is in. If the
time required to finalize primary swelling has been reached, it
can be assumed that hydration of the specimen would end, and
that after this the specimen would enter the stage of secondary
compression
5
ACKNOWLEDGMENTS
This paper was produced with financial support from the

Croatian Ministry of Science, Education and Sports, through a
project "Long-term performance of mineral barriers"; 1950831529-1847.
Figure 7. Hydration time vs. normalized friction angle.
Cohesion values continuously decrease with the increase of

hydration time, and this is particularly evident with residual
cohesion, where this reduction is more obvious (Figure 8).
Specifically, the value of peak cohesion equals 67% of
normalized value (in comparison to 7-day hydration) after 14
days of hydration and 52.7% after 21 days of hydration; the
value of residual cohesion equals 43.3% of normalized value,
which is by 13.7% higher reduction in residual cohesion. After
21 days of hydration, the value of residual cohesion equals
32.9% of normalized value, which is by 9.8% less in
comparison with peak cohesion.
Figure 8. Hydration time vs. normalized cohesion.
222
REFERENCES
Mitchell J. K. and Soga K. (2005): Fundamentals of Soil Behavior, John

Wiley and Sons, New York
Shackelford, C. D., Benson, C. H., Katsumi, T., Edil, T. B. and Lin, L.
(2000): Evaluating the hydraulic conductivity of GCLs permeated
with non-standard liquids, Geotextiles and Geomembranes, 18 (2
4), 133162.
Shackelford, C. D., Sevick, G. W. and Eykhol, G. R. (2010): Evaluating
the hydraulic conductivity of GCLs permeated with non-standard
liquids, Geotextiles and Geomembranes, 18, 133162.
Zornberg, J. G. and McCartney, J. S. (2009): Chapter 8: Internal and
interface shear strength of geosynthetic clay liners, In: GCLs for
Waste Containment, Bouazza, A. & Bowders, J.J. (Ed), CRC Press.
Kovaevi Zeli, B. (2000): Ispitivanje posmine vrstoe bentonitnih
tepiha, Doktorska disertacija, RGN-fakultet, Zagreb.
Guyonnet, D., Touze Foltz, N., Norotte, V., Pothier, C., Didier, G.,
Gailhanou, H., Blanc, P. and Warmont, F. (2009): Performancebased indicators for controlling geosynthetic clay liners in landfill
applications; Geotextiles and Geomembranes 27, 321331.
Fox, P. J. (2010): Internal and interface shear strengths of geosynthetic
clay liners, 3rd Int. Symp. on GCLs, 15-19.9.2010, Germany,
Zanzinger, H., Koerner , R. M. & Touze-Foltz, N. (Eds.), 203-218.
Gilbert, R. B., Fernandez, F. F. and Horsfield, D. (1996): Shear strength
of a reinforced clay liner, Journsl of Geot. and Geoenv. Eng., 122,
259-266.
Bouazza, A. (2002): Geosynthetic Clay Liners, Geotextiles and
Geomembranes 20, Elsevier Science.
th
Reappraisal of Surcharging to Reduce Secondary Compression

Remise en cause de l'imposition de frais supplmentaires pour rduire la Compression secondaire
Feng T.W.
Department of Civil Engineering, Chung Yuan Christian University, Taiwan, R. O. C.
ABSTRACT: For structures on soft soils with relatively high secondary compression characteristics, post-construction settlement may
be excessive so that application of surcharging may be called for to reduce secondary compression. The principle of surcharging is
simple, but the post-surcharge secondary compression behavior requires further study. This paper looks into effects of surcharging
loading history on post-surcharge secondary compression characteristics of soils. Current knowledge on this subject is primarily
based on unloading from surcharge stress to permanent stress. There could be other types of surcharging stress history. For example,
all preloads, including permanent load and surcharge load, are removed before the permanent load is reapplied. Laboratory data of
secondary compression with different surcharging stress history are presented and discussed. These data provides useful information
for understanding the post-surcharge secondary compression behavior of soils.
RSUM : Pour les structures sur des sols mous avec des caractristiques de compression secondaire relativement lev, rglement
aprs la construction peut tre excessive pour que lapplication d'imposer des frais supplmentaires peut-tre tre appele pour rduire
la compression secondaire. Le principe de limposition de frais supplmentaires est simple, mais le comportement de compression
secondaire post-surcharge ncessite une tude plus approfondie. Cet article se penche sur les effets de surcharge chargement histoire
sur les caractristiques de compression secondaire post-surcharge des sols. Les connaissances actuelles sur ce sujet repose
essentiellement sur le dchargement de stress en supplment un stress permanent. Il pourrait y avoir d'autres genres d'imposer des
frais supplmentaires histoire des contraintes. Par exemple, toutes les prcharges, y compris la charge permanente et la charge de la
surtaxe, sont supprims avant que la charge permanente est rapplique. Donnes de laboratoire de compression secondaire avec
diffrents histoire surcharge de stress sont prsentes et discutes. Ces donnes fournit des informations utiles pour comprendre le
comportement de compression secondaire post-surcharge des sols.
KEYWORDS: Surcharging, precompression, soft soils, secondary compression.
thickness of soil layer, tp is the time of end of primary

consolidation, and t is any time during secondary compression.
A sample calculation can be made with Eq. (1) for a normally
consolidated soil layer of 10 m thick doubly drained from both
top and bottom, with C C c 0.05 , Cc 1.0 , e0 = 1.2,
INTRODUCTION
Surcharging is a special condition of precompression or

preloading technique (e.g. Jamiolkowski et al. 1983, Johnson
1970) for soft ground improvement. The philosophy of
surcharging is quite simple that a state of overconsolidation in
soil is generated after surcharging executions. It is expected
that post-construction settlements of structures are thus reduced.
Although, there are some unsuccessful surcharging applications
(e.g. Chang 1981, Sower 1964) around the world in which
surcharge loads are removed too ealry during primary
consolidation so that post-construction settlements resulting
from both primary consolidation and secondary compression are
still excessive. It is apparent that the philosophy of surcharging
is not followed in these cases. To bring the soil to a state of
overconsolidation, primary consolidation should have been
eliminated completely at the time of surcharge removal. The
other situation is that the part of settlement resulting from
secondary compression of soil is not usually considered in
practice. It should be emphasized that the magnitude of
secondary compression settlement may still be significant if
conditions allows it to occur. Equation (1) can be used for
calculation of secondary compression settlement:
s C C c C c 1 e0 H 0 log t t p
coefficient of consolidation cv 0.001 cm2/sec. The time of

end of primary consolidation tp is then estimated as 9 years and
the secondary compression settlement at consolidation time of
20 years is calculated using Eq. (1) as 0.08 m. If vertical drains
were used to speed up primary consolidation, the time of end of
priamry consolidation would be greatly shortened. It is
assumed for the sample calculation that tp is reduced to 6
months.
Then the secondary compression settlement at
consolidation time also of 20 years is calculated again using Eq.
(1) as 0.36 m. The above sample calculation demonstrates that
shortening the time of end of priamry consolidation has an
undesirable effect on the magnitude of secondary compression
settlement. Secondary compression of natrual soils has been
observed both in the field and in the laboratory. As can be seen
from Eq. (1), the magnitude of secondary compression
settlement is in direct proportion to secondary compression
index, thickness of soil layer, and consolidation time considered
for calculation. In general, structures on thick soft soils with
high natural water contents are highly susceptible to excessive
secondary compression settlement. It is easier to estimate
secondary compression settlement during design than to face
unacceptable post-construction long term settlement problems.
(1)
Where C is the secondary compression index, C c is the

compression index, e0 is the initial void ratio, H0 is the initial
223
1
th
When it is determined during the design stage that seondary

compression settlement is excessive or detrimental, surcharging
technique can be considered for ground improvement to
eliminate part of the undesirable secondary compression
settlement. Surcharging application involves using a temporary
surcharge load in excess of the permanent load. A question can
then be raised as to how much surcharge load is sufficient.
Knowledge about relationship between the magnitude of
surcharge load and the post-surcharge secondary compression
characteristics are required to answer this question. As
discussed earlier, the surcharge load should be removed at the
end of primary consolidation or without leaving excess pore
water in the consolidating soil layer. This renders the soil an
overconsolidation state after rebounding with time. The more
the surcharge load is removed, the higher the overconsolidation
is induced in soil and the longer the time is spent to reach the
end of rebound. Furthermore, it has been clearly observed in
the laboratory that secondary compression may reappear after
the end of rebound. The magnitude of surcharge removal
affects both the time of end of rebound and magnitude of postsurcharge secondary compression (Mesri and Feng 1991).
Extensive laboratory data of post-surcharge secondary
compression of natural soils, including soft clays, silts, and
peats, show that the magnitude of post-surcharge secondary
compression decreases with increasing the effective surcharge
ratio (Mesri and Feng 1991, Mesri et al. 1997, Mesri et al.
2001). When the surcharge load is removed at the end of
primary consolidation, the effective surcharge ratio is defined
by Eq. (2):
In fact, the execution of surcharging from overburden pressure

to final effective stress could have a number of different stress
histories, as shown in Fig. 2(a)~2(d). Figure 2(a) shows that the
consolidation pressure is increased from the overburden
pressure to the surcharging stress and then unloaded to the final
effective stress. This type of stress history was commonly
adopted in most laboratory surcharging tests. Figure 2(b) shows
that the consolidation pressure is increased from the overburden
pressure to the surcharging stress and then unloaded to the
overburden pressure before reloading to the final effective stress.
This type of stress history depicts a practical situation in which
all preloads, including surcharge load, are removed for the
constrcution of permanent sturctures. Figure 2(c) shows that the
consolidation pressure is increased from the overburden
pressure to the final effective stress without surcharging and
then unloaded to the overburden pressure before reloading to
the final effective stress. This type of stress history depicts a
practical situation in which all preloads, without surcharge load,
are removed for the constrcution of permanent sturctures.
Figure 2(d) shows that the consolidation pressure is increased
from the overburden pressure to the final effective stress
without unloading. This type of stress history represents a
situation that the permanent structure is constructed without
employing precompression technique to reduce secondary
compression. It is noted again that these four types of stress
histories are different but all ended at the same fianl effective
stress. A series of laboratory oedometric surcharging tests with
these stress histories are conducted to study the effects, if any,
of consolidation stress history on secondary compression. Test
results are presented and discussed in this paper.
Rs s f f
(2)
where s is the effective stress achieved at the end of
surcharging and f is the final effective stress. These data also
'v0
'v0
Void Ratio
Void Ratio
show that post-surcharge secondary compression always

appears when the effective surcharge ratio is less than 1.0, is
noticeable for effective surcharge ratios ranging from 0.5 to 1.0,
and becomes important for effective surcharge ratios between
0.1 and 0.5. It is the last case in which post-surcharge
secondary compression settlement may be excessive. Figure 1
shows consolidation curves obtained from laboratory oedimetric
surcharging tests, on a thin-wall tube sample from a lacustrine
clay deposit in Taipei, Taiwan, with a final effective stress of
356 kPa and an effective surcharge ratio of 0.23. It is clearly
seen from Fig. 1 that secondary compression reappears after
surcharge removal and the slope of the post-surcharge
secondary compression curve increases gradually up to a
maximum value, which is about the same as that of the later
portion of the Rs 0 curve.
'f
's
's
'f
Secondary
compression
Secondary
compression
(b)
(a)
Consolidation Pressure
'v0
Void Ratio
Void Ratio
'v0
'f
'f
Secondary
compression
(c)
Secondary
compression
(d)
0.0
Final effective stress 356 kPa
Compression (mm)
0.4
0.6
R's = 0
R's = 0.23
0.8
0.01
Figure 2. Illustrated surcharging stress histories adopted in this study: (a)

unloading from surcharge stress directly to final effective stress, (b)
unloading from surcharge stress to overburden pressure before reloading
to final effective stress, (c) unloading from final effective stress to
overburden pressure before reloading to final effective stress, and (d)
without preloading.
0.2
0.1
2.1
1
10
100
1000
LABORATORY SURCHARGING TESTS

Test program
The surcharging tests are conducted using conventional

oedometer set up with a data acquisition system for taking
LVDT (Linear Variable Differential Transformer) readings of
specimen compression. The soil tested is a native organic clay
10000
Time (min)
Figure 1. Consolidation curves of Taipei lacustrine clay sample with or

without surcharging
224

th
sample from Nantou in central Taiwan. The liquid limit and

plastic limit of the soil sample are 106% and 44%, respectively.
The soil sample is reconstituted in the laboratory with a water
content of 155% which is about 1.5 times of the liquid limit. A
200-mm diameter consolidometer is used to prepare identical
soil specimens for the surcharging tests. Five oedometer rings
are placed with proper spacing in between in the consolidometer
and then the consolidometer is filled up with the 155% water
content soil sample. The soil in the consolidometer is
incrementally loaded to 50 kPa and then unloaded. By this way,
five identical oedometer specimens are obtained with a
preconsolidation pressure of 50 kPa. These specimens have
initial water contents around 88%1%. Four specimens are
used to conduct oedometer tests with different consolidation
stress histories illustrated in Figs. 2~5. Specimen #5 is tested
according to the stress history described in Fig. 2(a) but is
unloaded prior to the end of primary consolidation.
Secondary compression characteristics of natural soils can be
expressed in terms of the compressibility ratio C C c (Terzaghi
about the same magnitude of secondary compression as that of

curve A, which can be expected since the specimen is unloaded
too early to receive a beneficial effect from surcharging.
Similar test results are shown in Fig. 4 for higher final effective
stress and smaller effective surcharge ratio than those shown in
Fig. 3. However, it appears from Fig. 4 that the slopes of the
later secondary compression portion of all five curves are very
close to each other. This is probably partly because the
effective surcharge ratio of 0.125 used is rather small so that the
reduction in secondary compression is highly limited. These
findings suggest that the magnitude of post-surcharge secondary
compression is a function of the consolidation stress history
imposed on the soft soil. For small effective surcharge ratios
achieved in engineering practice, the magnitude of secondary
compression may not be reduced to an acceptable level so that
long term secondary compression settlement may still be
excessive.
0.0
et al. 1996), where C is the secondary compression index and
Effect of surcharging on secondary compression, if any, can be

directly observed from the consolidation curves with or without
surcharging as shown in Fig. 3 and Fig. 4. In these two figures,
curve A is the consolidation curve without surcharging, curve B
is the consolidation curve with surcharging by the type
described in Fig. 2(a), curve C is the consolidation curve with
surcharging by the type described in Fig. 2(b), curve D is the
consolidation curve with preloading by the type described in Fig.
2(c), and curve E is the consolidation curve with surcharging by
the type described in Fig. 2(a) but the specimen is unloaded
prior to the end of primary consolidation.
0.0
Without surcharging
Preload with reloading
Surcharging without reloading
Surcharging with reloading
Surcharging with early removal
Compression (mm)
0.5
1.0
E
B
C
A
D
1.5
Final effective stress 109.6 kPa

2.0
0.01
0.1
10
100
1000
10000
Time (min)
Figure 3. Consolidation curves of different surcharging stress histories

with effective surcharge ratio equal to 0.25
It can be seen from Fig. 3 that the slopes of the secondary

compression portion of curves B~D are smaller than that of
curve A. These data indicate that surcharging or preloading of
the types used has reduced the magnitude of secondary
compression to somewhat different degrees. Curve E shows
225
0.5
Compression (mm)
C c is the compression index. The compressibility ratio and

compression index of the organic clay tested are 0.063 and 0.7,
respectively. The secondary compression of the laboratory
specimens tested with or without surcharging is observed at two
different final effective stresses, i.e. 109.6 kPa and 438.4 kPa,
for a period that is about two times of the time of end of primary
consolidation. Effective surcharge ratios of 0.25 and of 0.125
are used for final effective stresses of 109.6 kPa and of 438.4
kPa, respectively. Significant surcharging test results are
presented and discussed herewith.
2.2 Test results and discussions
Without surcharging
Prealod with reloading
Surcharging without reloading
Surcharging with reloading
Surcharging with early removal
1.0
A
1.5
Final effective stress 438.4 kPa
2.0
0.01
0.1
C
D
10
100
1000
E
B
10000
Time (min)
Figure 4. Consolidation curves of different surcharging stress histories

with effective surcharge ratio equal to 0.125
The post-surcharge secondary compression characteristics of the

Taipei clay are quite different from those of the Nantou clay.
Figure 5 shows consolidation curves of these two clays with or
without surcharging, all in the normally consolidated range.
The load increment ratio used for the increments without
surcharging is 1. The loading increment ratio used for the
increments with surcharging is higher than 1 since the surcharge
load is added with the final load at the same time. The
surcharge load is removed at a time near the end of primary
consolidation. During the primary consolidation stage, the
Nantou clay specimen consolidates much slower and
compresses more than those of the Taipei clay specimen. The
compressibility ratio and compression index of the Taipei clay
are 0.039 and 0.3, respectively, which are much smaller than
those of the Nantou clay. It can be seen from Fig. 5 that, after
surcharge removal, the Taipei clay specimen rebounds slightly
and continuously for a relatively long period of time before
secondary compression appears. As a comparison, the Nantou
clay specimen rebounds very slightly and shortly before
secondary compression appears. The effective surcharge ratios
used in these tests are about the same and do reduce the
secondary compression to a certain degree. But it appears that
characteristics of post-surcharge secondary compression vary
from one soil to another soil.
th
0.0
Compression (mm)
0.5
1.0
1.5
R's = 0 (Taipei Clay)

R's = 0.23 (Taipei Clay)
R's = 0.25 (Nantou Clay)
R's = 0 (Nantou Clay)
2.0
0.01
0.1
10
100
1000
10000
Time (min)
Figure 5. Consolidation curves of different soils with or without

surcharging
CONCLUSIONS
The following conclusions are based on data and discussions

presented in previous paragraphs. Surcharging with higher
effective surcharge ratio reduces secondary compression to a
lower magnitude. For the same effective surcharge ratio,
surcharging without reloading reduces more secondary
compression than surcharging with reloading. The postsurcharge secondary compression is also a function of the
surcharging stress history achieved in the consolidating soil.
For small effective surcharge ratios realized in practice, the
secondary compression of soil may not be reduced sufficiently
and excessive long term settlement resulting from secondary
compression may still be expected. Structures on natural thick
soil deposit with high compressibility ratio, e.g. greater than
0.04, and improved by prefabricated vertical drains are highly
susceptible to excessive long term secondary settlement. In this
case, surcharging technique is capable of reducing the
secondary settlement, as long as a proper value of effective
surcharge ratio is used in design and achieved in soil.
4
ACKNOWLEDGEMENTS
This study is partly supported by the National Science Council

of Taiwan, under Grant No. NSC 98-2221-E-033-052-MY2,
and by Chung Yuan Christian University. Great thanks are
given to these organizations for their continuous support.
226
REFERENCES (TNR 8)
Chang Y.C.E. 1981. Long term consolidation beneath the test fills at
Vasby, Sweden. Swedish Geotechnical Institute, Report 13,
Linkoping, Sweden.
Jamiolkowski M., Lancellotta R. and Wolski W. 1983. Precompression
and speeding up consolidation. Proc. 8th ECSMFE, 1201-1206.
Johnson S.J. 1970. Precompression for improving foundation soils.
Journal of the Soil Mechanics and Foundations Division, ASCE, 1,
111-114.
Mesri G., Ajlouni M.A., Feng T.W. and Lo, D.O.K. 2001. Surcharging
of soft ground to reduce secondary settlement. Proc. of the 3rd
International Conference on Soft Soil Engineering, Swets &
Zeitlinger, Hong Kong, 55-65.
Mesri G. and Feng T.W. 1991. Surcharging to reduce secondary
Settlement. Proceedings of the international conference for coastal
development Theory to Practice, 1, Yokohama, Japan, 359-363.
Mesri G., Stark T.D., Ajlouni, M.A. and Chen C.S. 1997. Secondary
compression of peats with or without surcharging. Journal of
Geotechnical and Geoenvironmental Engineering, ASCE, 123 (5),
411-421.
Sowers G.F. 1964. Fill settlement despite vertical sand drains. Journal
of the Soil Mechanics and Foundation Division, ASCE, 90 (SM5),
289-302.
Terzaghi K., Peck R.B. and Mesri G. 1996. Soil Mechanics in
Engineering Practice, 3rd ed., John Wiley & Sons, Inc., 549.
th
Effets dchelle dus la rupture des grains sur la rsistance au cisaillement

denrochements
Size effects due to grain crushing in rockfill shear strength
Frossard E.
Tractebel Engineering - Coyne et Bellier, France, etienne.frossard@gdfsuez.com
Ovalle C. 1,2, Dano C. 1, Hicher P-Y. 1

1
2
GeM, Ecole Centrale Nantes, CNRS UM 6183, Nantes, France, christophe.dano@ec-nantes.fr

Department of Structural and Geotechnical Engineering, Pontificia Universidad Catlica de Chile, Chile
Maiolino S.
CETE de Lyon, France
Hu W.
State Key Laboratory of Geohazard Prevention and Geoenvironment Protection, Chengdu U. of Technology, China
RSUM: Des preuves exprimentales de leffet dchelle sur la rsistance au cisaillement de petits enrochements et son lien avec la
rsistance lcrasement des granulats de roches sont prsentes et analyses. Les relations deffet dchelle qui dcrivent ce lien,
portent une application pratique directe : une nouvelle mthode pour lvaluation de la rsistance au cisaillement denrochements.
ABSTRACT: Experimental evidence of size effects in rockfill shear strength and the link with the crushing strength of rock
aggregates is presented and analyzed. The scale effect relations describing this link bear a direct practical application: a new method
for the evaluation of rockfill shear strength.
MOTS-CLS: Effet dchelle, Ruptures des grains, Enrochement, Grande cellule triaxiale, Weibull.
KEYWORDS: Size effect, Grain crushing, Rockfill, Shear strength, Large triaxial, Weibull.
1
INTRODUCTION
Ltude de la rsistance au cisaillement des matriaux

granulaires grossiers, largement utiliss dans le gnie civil,
prsente des dfis exprimentaux et thoriques considrables.
Une mthode originale pour rsoudre ce problme rside dans
l'utilisation des effets dchelle issus de la mcanique de la
rupture des grains. Ainsi, pour tout matriau fragile existe un
effet dchelle sur la rsistance l'crasement des granulats euxmmes (McDowell & Amon, 2000). Cela signifie que la
contrainte la rupture est fonction dcroissante dune
dimension caractristique de l'chantillon. L'explication
physique en a t donne par Griffith (1921), qui a montr que
la probabilit de trouver des dfauts internes dune taille donne
augmente avec la taille de lchantillon. Ce phnomne est
lorigine des effets dchelle sur la rsistance au cisaillement
des assemblages granulaires. Ainsi, lorsque la taille des
particules augmente, il y a (1) une augmentation du taux de
rupture des grains, (2) une augmentation de la contractance
volumique et (3) une diminution de l'angle de frottement au pic
(Marachi et al., 1969).
L'objectif principal du prsent article est de prsenter des
preuves exprimentales de la relation entre l'effet dchelle sur
la rsistance la rupture de particules individuelles, et l'effet
dchelle sur la rsistance au cisaillement de lassemblage
granulaire, ainsi que de la formulation thorique exprimant cette
relation.
2
d nd m
Ps d exp
do o
EFFETS DECHELLE DANS LA RESISTANCE

A LA RUPTURE DE GRANULATS DE ROCHE
La thorie statistique de la rsistance des matriaux de Weibull

(1939) est base sur le concept du maillon faible (WLC). Elle
dcrit la probabilit de survie d'un matriau de taille d soumis
une contrainte de traction par:
227
1
(1)
o o est la rsistance caractristique (Ps= 37% pour un

chantillon de taille do) et m donne la dispersion des donnes.
Le concept de maillon faible est bas sur l'ide que, pour quune
chane de longueur d survive sous une contrainte uniaxiale,
chaque lment de longueur do doit aussi survivre. Le terme
(d/do)nd est le rapport d'chelle indiquant combien de liens
forment la chane. Daprs Baant et Planas (1998), nd est la
dimension de similitude gomtrique du problme mcanique:
nd= 1, 2 ou 3, pour une similarit linaire, surfacique ou
volumique, respectivement. Pour une probabilit de survie
donne et des paramtres empiriques connus, une relation
deffet dchelle est obtenue entre la contrainte de traction
induite la rupture (f) et la taille caractristique de
l'chantillon
(d): f d-nd /m. Pour les granulats, la taille
caractristique est un diamtre des particules d. Pour les
applications pratiques, nd est simplement cal sur des donnes
exprimentales, afin de pouvoir utiliser l'Eq. 1 comme un outil
statistique phnomnologique.
th
100
7<d<15 mm ; m= 1.55
80
% Passing
15<d<25 mm ; m= 2.14
m=2.5
25<d<50 mm ; m= 2.51
50<d<80 mm ; m= 2.52
0.5
40
STV1-dmax=40mm
STV1-after Tx@400kPa
20
Ps=37
m=1.5
60
STV2-dmax=160mm
STV2-after Tx@400kPa
0
1
0.0
1
Figure 1. Distributions de Weibull pour les granulats CP.
3=400 kPa
q/p'
-2
STV Weibull size

effect
0.1
1
10
100
Particle size (mm)

Figure 2. Rsistance lcrasement des grains et prdictions de Weibull.
10 15 20
Axial strain %
-4
-6
-8
-10
(a)
% Passing
100
CP1-dmax=40mm
80
CP1-after Tx@400kPa
60
CP2-after Tx@400kPa
CP2-dmax=160mm
40
20
0
1
10
100
Particle size (mm)
1000
(a)
228
2
2
0
STV grains
STV grains
(Ps=37%)
3=200 kPa
CP Weibull size
effect
Volumetric strain (%)
Particle crushing strength

(MPa)
Pour chaque enrochement (CP et STV), on a effectu une srie

d'essais triaxiaux drains sur du matriau sec en utilisant deux
granulomtries homothtiques avec un diamtre maximal dmax
de 40 et 160 mm respectivement (Figure 3), compacts la
mme densit. Les matriaux de dmax=40 mm sont appels CP1
et STV1 et ceux de dmax=160mm CP2 et STV2. On suppose que
la forme des particules et la minralogie sont prserves entre
les deux matriaux homothtiques, parce que chacun a t
obtenu par broyage de la mme roche-mre en carrire. Les
essais sont conduits sur deux grandes cellules triaxiales. Pour
dmax=40mm, les chantillons ont un diamtre de 250 mm, une
hauteur de 375 mm et sont protgs par deux membranes en
noprne de 1 mm dpaisseur. Pour dmax=160mm, les
chantillons font 1 000 mm de diamtre, 1 500 mm de hauteur
et sont protgs par deux membranes en PVC de 1,5 mm
dpaisseur et une couche de gotextile. La plus petite des deux
cellules (chantillon de 250 mm) a t conue pour tre place
sous un vrin de 500 kN. Pour les essais sur du matriau sec, les
variations de volume sont mesures partir du volume de fluide
de confinement chang entre la cellule et le contrleur
pression-volume.
CP grains
(b)
ESSAIS TRIAXIAUX
100
10
1000
Figure 3. Granulomtries avant et aprs essais triaxiaux.
144 essais dcrasement des particules, de diamtres

compris entre 7 80 mm, ont t raliss sur un enrochement
calcaire (CP) provenant d'une carrire situe Prfontaines,
France (Hu et al., 2011). Les essais ont t effectus entre deux
plaques rigides parallles laide dune presse de 10 kN et une
vitesse de chargement de 0,1 mm/min. Les particules sont
poses sur le plateau infrieur fixe, selon leur plus grande
dimension afin d'assurer leur stabilit. Les rsultats ont t
analyss statistiquement en distinguant chaque fraction de taille.
La rsistance la traction induite est considre comme
f ff /d (o ff est la force d'crasement). La figure 1
montre (i) les valeurs de m pour chaque fraction granulaire,
avec une valeur moyenne mavg=2,18, et (ii) les probabilits de
survie avec un trs bon accord avec la distribution de Weibull.
La mme analyse statistique a t faite partir de 100 essais
d'crasement sur un enrochement de schiste quartzitique (STV)
de la carrire des Trois Valles, France. Le module moyen est
mavg=1,57 et on a eu galement un bon ajustement de la
distribution de Weibull. La figure 2 montre la rsistance
l'crasement pour lensemble des essais sur CP et STV, la
rsistance caractristique o et la prdiction obtenue partir de
l'Eq. 1 ((d)=o(d/do)- nd /m ; avec nd=1).
CP grains
(Ps=37%)
100
q/p'
10
Particle size (mm)
0
-2
Survival probability
1.0
10 15 20
Axial strain %
-4
-6
-8
-10
CP1: dmax=40mm
CP2: dmax=160mm

th
2
1
0
0
10
15
20
Axial strain %
-2
-3
-4
-5
2
1
0
-1
mme type de chargement, avec la mme compacit, la mme

minralogie et la mme forme initiale des grains, et cherch
quelles conditions assuraient un mme taux de ruptures dans les
deux milieux granulaires sous contraintes. Pour cela, une mme
probabilit de survie doit tre assure pour deux granulats
homologues de G1 et G2, et lon dispose de la relation suivante
pour la rsistance lcrasement: G2=G1(d2/d1)-nd/m (daprs
lEq.1) o G1 etG2 sont les rsistances l'crasement des
granulats de G1 et G2, respectivement.
Frossard (2009) a ensuite montr que pour obtenir le mme
taux de rupture dans les matriaux granulaires sous cisaillement,
la relation prcdente doit tre vrifie par les tats de
contrainte { , n } des enveloppes de cisaillement des deux
assemblages granulaires homologues:
3=300 kPa
q/p'
q/p'
3=400 kPa
-1
10
15
20
Axial strain %
-2
-3
-4
-5
STV1-dmax=40mm
STV2-dmax=160mm
nd / m
(b)
nd / m
d2
d
Figure 4. Courbes de contrainte-dformation pour (a) CP and
(b) STV
G2 G
et nG2 nG1 2
1
d1
d1
En faisant lhypothse, pour le matriau G1 avec des

paramtres cals AG1 et bG1, dune enveloppe de rupture telle
que celle propose par De Mello (1977) [=A.nb], une
enveloppe de rupture peut tre prdite pour G2 en utilisant
l'Eq.2 :
nd 1bG1
G2 AG1 2
d1
METHODE PREDICTIVE
nG2 G1
b
CP1: dmax=40mm
CP2: dmax=160mm
STV1: dmax40mm
STV2: dmax160mm
Peak friction angle ()
56
52
48
44
40
36
0
100 200 300 400

Confining pressure (kPa)
500
Figure 5. Angles de frottement au pic
229
Figure 6. Gros
granulats de STV
rcuprs aprs essai
triaxial.
0.8
CP1
0.6
CP2
0.4
STV1: dmax=40mm
0.2
STV2: dmax=160mm
0.0
De Mello's fitting
0.0
0.2
0.4
0.6
Normal stress (MPa)
En considrant que les ruptures individuelles de granulats

affectent la rsistance au cisaillement de lensemble du milieu
granulaire, Frossard (2009) (voir aussi Frossard et al., 2012) a
propos une mthode rationnelle afin de prdire les effets
dchelle sur les enveloppes de rsistance au cisaillement des
enrochements. Il a considr deux granulomtries
homothtiques (G1 la plus fine et G2 la plus grossire) sous le
(3)
On remarque que dans l'Eq.2 , leffet dchelle affecte le

coefficient A, mais pas lexposant b.
Shear stress (MPa)
La grande cellule triaxiale (1 000mm) a t conue pour

supporter des charges verticales jusqu' 2 000 kN. Le systme
est compos d'une base en acier rigide fixe sur une dalle en
bton prcontrainte. La cellule peut supporter une pression de
confinement de 1,5 MPa. Lenveloppe cylindrique de la cellule
est constitue dune double paroi. Un systme de contrlecommande en continu maintient la mme pression dans les deux
chambres, en permettant les changes laide dune servovalve
automatique. Par consquent, le cylindre intrieur reste
indformable pendant lessai et la variation de volume deau
dans le compartiment intrieur est uniquement due la
dformation volumique de l'chantillon et la pntration du
piston. Une description exhaustive des appareils triaxiaux se
trouve dans Hu et al. (2011).
Les chantillons sont prpars par couches successives,
compactes par vibrations laide dune aiguille vibrante. Les
indices des vides initiaux sont de 0,854 0,03 pour CP et de
0,493 0,03 pour STV. La Figure 4 montre la rponse
mcanique lors des essais de cisaillement drains une
contrainte effective de confinement '3 entre 200 et 400 kPa. La
Figure 3 montre les granulomtries associes avant et aprs les
essais '3=400 kPa. Sur les Figures 3 et 5, on voit qu'il existe
un effet dchelle sur la rsistance mcanique des deux
enrochements, avec un taux de rupture des grains plus lev
(Figure 3) et un angle de frottement au pic infrieur (Figure 5)
pour les matriaux plus grossiers. Ceci est cohrent avec l'effet
dchelle sur la rsistance l'crasement des particules (voir
Figure 2). Nanmoins, nous n'avons pas observ un effet
dchelle significatif dans la rponse volumique (Figure 4).
Marachi et al. (1969) montrent des rsultats similaires lorsqu'ils
comparent des enrochements de granulomtries homothtiques.
Une explication possible de cette volution particulire de la
dformation volumique pourrait tre le rapport relativement
lev entre dmax et le diamtre de lchantillon (environ 1/6). De
mme, les essais sont conduits jusqu une dformation axiale
de 20% : les particules grossires pourraient ne pas se dplacer
suffisamment pour se dmler aprs la rupture et ainsi permettre
plus de contractance. En fait, comme le montre la Figure 6, nous
avons observ, aprs essai, plusieurs grosses particules casses
qui semblent tre intactes sans dplacement des fragments
briss.
(2)
0.8
Prediction for CP2 &

STV2
Figure 7. Effet dchelle sur la rsistance au cisaillement

La Figure 7 montre la comparaison entre mesures et prdictions
pour les enveloppes de cisaillement pour les deux matriaux CP
et STV : en partant du meilleur calage de lexpression de De
Mello sur les mesure ralises sur CP1 et STV1 (dmax=40mm),
on a ralis la prdiction issue de l'Eq. 2 pour CP2 et STV2
th
(dmax=160 mm). En comparant aux points de mesures effectues

par ailleurs sur CP2 et STV2, on constate que la mthode de
Frossard (2009) prdit correctement les effets dchelle dans les
deux cas, mme si elle reste conservatrice dans le cas de STV2.
5
CONCLUSIONS
REFERENCES
Baant, Z.P., Planas, J. (1998): Fracture and size effect in concrete and
other quasibrittle materials. CRC Press, USA.
De Mello, V.F.B. (1977). Reflections on design decisions of practical
significance to embankment dams. Gotechnique, Vol. 27, No.3,
pp. 281-355
Leffet dchelle sur la rsistance l'crasement de granulats

rocheux est responsable deffets dchelle sur le taux de rupture
dans les assemblages denrochements, et de l sur la rsistance
au cisaillement densemble des milieux granulaires
correspondants. Mme si l'on utilise de trs grands appareils de
cisaillement au laboratoire, l'chantillon sera toujours rduit
d'un ordre de grandeur, ou plus, par rapport aux enrochements
de barrage. Dans ce cas, une mthode rationnelle de prdiction
devient ncessaire.
Les grandes lignes d'une telle mthode sont tablies dans ce
travail et largement prsentes dans Frossard (2012). Cette
rfrence dtaille aussi par ailleurs les incidences sur la stabilit
douvrages en enrochements de cet effet dchelle matriel sur
la rsistance au cisaillement, et de l les incidences sur la
conception des ouvrages en enrochements.
Frossard, E. (2009): Scale effects in granular fill shear strength and in

stability of large rockfill structures. Proc. XVIIth ICSMFE, Vol 1,
97-101, Alexandria, Egypt, 5-9 Oct., 2009
Marachi, N.D., Chan, C.K., Seed, H.B., Duncan, J.M. (1969): Strength
and deformation characteristics of rockfills materials. Report No.
TE-69-5, Dept.of Civil Engineering, Univ. of California, Berkeley.
REMERCIEMENTS
Ce travail fait partie du projet de recherche ECHO (Effets

dEchelle dans les Ouvrages en Remblais du Gnie Civil),
financ par l'Agence Nationale Franaise de la Recherche
(ANR).
230
Frossard, E., Hu, W., Dano, C., Hicher, P.Y. (2012): Rockfill shear
strength evaluation: a rational method based on size effects.
Gotechnique 62(5), 415-428
Frossard, E. (2012): Granular materials in Civil Engineering: recent
advances in the physics of their mechanical behavior, and
applications to engineering works. in Multiscale GeomechanicsFrom soil to Engineering Projects- Ed. by P-.Y. Hicher,
ISTE/Wiley, 35-81, Jan 2012, ISBN 978-1-84821 246-6
Griffith, A.A. (1921): The phenomena of rupture and flow in solids.
Phil. Trans. R. Soc. Lond. A 221, 163-198
Hu, W., Dano, C., Hicher, P.-Y., Le Touzo, J.-Y., Derkx, F., Merliot, E.
(2011): Effect of sample size on the behavior of granular materials.
Geotech. Test. J. 34(3), 186-197
McDowell, G. R., Amon, A.: (2000) The application of Weibull

statistics to the fracture of soil particles. Soils Found. 40(5), 133
141
Weibull, W. (1939): A statistical theory of the strength of materials.
Proc. Roy. Swedish Inst. Eng. Res. 151
th
Electro-osmotic consolidation: Laboratory tests and numerical simulation

lectro-osmotique de consolidation :les tests de laboratoire et simulation numrique
Hu L., Wu H., Wen Q.
State Key Laboratory of Hydro-Science and Engineering, Department of Hydraulic Engineering,
Tsinghua University, Beijing, 100084 CHINA
ABSTRACT: Electro-osmotic consolidation is an attractive soil improvement technique for soft clay. A review of research and
practical applications of electro-osmosis was performed. The achievements and major bottleneck of the current technique were briefly
discussed, and the potential areas for scientific research and engineering application were proposed. A laboratory testing facility was
developed for the electro-osmotic consolidation, and the electrical voltage, soil mass displacement, water discharge and electrical
current can be monitored during testing process by use of online transducers. Moreover, the microscopic phenomenon is investigated
by use of Environmental Scanning Electron Microscopy (ESEM). A theoretical model for electro-osmotic consolidation is briefly
introduced, which couples Biots consolidation equation with the electro-osmotic flow and control equation for an electrical field, and
incorporates the nonlinear variation of the mechanical, hydraulic and electrical properties. The FEM software was developed based on
the theoretical model to describe the electro-osmotic consolidation process, and the model tests are simulated. The numerical results
showed good agreement with the testing data in terms of ground settlement, indicating the rationality of the analytical model. It is also
shown that the variations of electrical conductivity have a significant effect on the consolidation process. The developed software can
predict the displacement behavior of soil mass and provide useful data for system design of electro-osmosis treatment.
RSUM : La consolidation lectro-osmotique est une technique attrayante damlioration de largile. Une rvision des demandes de
recherche et de pratique de llectro-osmose a t effectue. Les russites et le goulot dtranglement majeur de la technique actuelle
ont t brivement discuts, et les domaines potentiels de la recherche scientifique et lapplication dingnierie ont t proposs. Un
centre dessais en laboratoire a t dvelopp pour la consolidation lectro-osmotique, et la tension lectrique, le dplacement massif
de sol, lvacuation de leau et le courant lectrique peuvent tre contrls pendant le processus dessai en utilisant des capteurs en
ligne. En outre, le mcanisme microscopique de la migration de leau interstitielle et des ions est tudi par lutilisation de
microscopie lectronique balayage environnemental (ESEM). Un modle thorique pour la consolidation lectro-osmotique est
brivement prsent, qui couple lquation de consolidation de Biot avec le flux lectro-osmotique et lquation de commande d'un
champ lectrique, et intgre la variation non linaire des proprits mcaniques, hydrauliques et lectriques. Le logiciel FEM a t
dvelopp sur la base du modle thorique pour dcrire le processus de consolidation lectro-osmotique, les essais sur modle sont
simuls. Les rsultats numriques montrent un bon accord avec les donnes de test en termes de tassement du sol, indiquant la
rationalit du modle analytique. Il est galement montr que les variations de la conductivit lectrique ont un effet significatif sur le
processus de consolidation. Le logiciel dvelopp permet de prdire le comportement de dplacement de masse de sol et de fournir
des donnes utiles pour la conception de systmes dlectro-osmose.
KEYWORDS: electro-osmosis; axisymmetric test; scanning electron microscopy; theoretical model; numerical simulation
1
INTRODUCTION
Electro-osmotic consolidation provides an attractive soil

improvement technique, during which flow of pore water occurs
from the anode toward the cathode under the electric field in
soils. The electro-osmotic consolidation technique has been
used in various geotechnical engineering applications, including
stabilization of slopes, excavations, and embankments,
controlling groundwater flow, increasing pile capacity and the
strength of clays, and dewatering tailings and sludge,
meanwhile, numerous laboratory studies have been published,
mostly based on soil column tests (Casagrande, 1948;
Casagrande, 1983; Shang and Dunlap, 1998; Mitchell and Soga,
2005; Jones et al., 2008). Recently, the combination of electroosmosis and vacuum preloading was investigated by means of
axial-symmetric model tests (Li et al., 2009; Wu and Hu, 2012).
The theory for electro-osmosis was also developed to
predicte the soil behavior during consolidation. Onedimensional
analytical
solutions
for
electro-osmotic
consolidation were proposed by previous researchers (Esrig,
1968; Wan and Mitchell, 1976). The analytical solutions for 2D
problems were also developed (Shang, 1998; Su and Wang,
2003; Xu et al. 2011). Lewis and Humpheson (1973) formulated
a finite element model to analyze the groundwater flow in twodimensional electric fields. Rittirong and Shang (2008)
proposed a 2D finite difference model to obtain excess pore-
2311
water pressure during electro-osmosis, analyzing the subsurface

settlement and undrained shear strength.
Up to now, most of the analytical solutions are based on the
assumption of uniform electric field, which is not applicable for
most field applications due to the complexity of electrode
configuration, complicated boundary conditions and anisotropic
soil properties. Furthermore, the previous model focused on
predicting pore water pressure, while the ground settlement was
not considered. A comprehensive numeircal model is demanded
to predict the soil behavior and provide data for system design
of electro-osmosis treatment.
In this paper, a laboratory testing facility for axial-symmetric
model was developed for the electro-osmotic consolidation, and
the electrical voltage, soil mass displacement, water discharge
and electrical current were monitored during testing process by
use of online transducers, and the coupled effect of mechanical,
hydraulic and electrical field was discussed. A theoretical model
was birefly introduced (Hu et al., 2012), and FEM software was
developed based on the theoretical model to describe the
electro-osmotic consolidation process. The software was
verified by comparison of numeical results and test data. The
ESEM tests were conducted to observe the change of soil
particles.
th
TEST ON ELECTRO-OSMOTIC CONSOLIDATION
An axial-symmetrical electro-osmosis apparatus made of

plexiglas with a radius of 18.8 cm and a height of 20 cm shown
in Fig. 1 is developed to conduct the electro-osmotic
consolidation test on kaolin clay. The radius of the central
cylindrical drainpipe with many small holes on it is 1.25 cm.
After convolving a piece of geotextile that only water can pass
through, an iron wire is then convolved on the geotextile in a
spiral form to be the cathode. The anode consists of many
vertical iron wires inserted in the soil sample and cling to the
inner surface of the apparatus. A set of monitoring device is also
developed to measure voltage distribution, water discharge,
surface settlement and current during the electro-osmotic
consolidation. A vacuum pump and a gas-water separation
device are used to collect the water discharged from the soil
sample. A multimeter is installed in the circuit to monitor the
current.
The basic properties of the kaolin clay used in the test are
listed in Table. 1.
After filling the test device with saturated kaolin clay, an
intermittent DC electric filed shown in Fig. 2 was applied to the
soil sample. The total testing time was 100 hours and the
conduction time was 57 hours.
t=2h
Plastic
limit,
wp/ (%)
73
Specific
gravity, Gs
31
Data acquisition instrument
12
t=10h
t=30h
t=60h
Voltage/V
100
15
t=0h
Table 1 Basic property of kaolin clay

Degree of Liquid
Initial water
saturation, limit,
content, w/%
wL/(%)
S/(%)
100
the cathode. After 10 hours, the voltage began to decrease and

finally the voltage near the cathode was even smaller than that
at the beginning. During the electro-osmotic consolidation, the
pore water moved from the anode to the cathode and some
cracks gradually generated near the anode, which made the soil
resistance near the anode to increase, and this further resulted
the decrease of the voltage near the cathode. Therefore, the
electrical conductivity changes with time and position and it is
important to consider this change in the theoretical and
numerical analysis.
The current across the soil mass is shown in Fig. 4 with an
initial value of 0.72 A, and decrease to about 0.21 A finally.
The discharge of water is demonstrated in Fig. 5 and 2294 ml
water was discharged in total. When the power was switched
off, the current decreased to 0 and the drainage speed almost
decreased to 0. When the power was once again turned on then,
the movement of the pore water was accelerated and the current
first increased and after it decreased again. This was because the
pore water flowed back from the anode to the cathode under
hydraulic gradient after the current was cut down, which made
the moisture distribution to be more uniformity and the
resistance therefore decreased.
2.61
t=100h
power source
3
Top cap
ammeter
Vacuum pump
displacement
sensor
0
1
18.8
7 8 9 10
Distance to the cathode/cm
Figure 3. Distribution of the voltage along the radial direction
Voltage
sensor
Cathode
Soil Sample
0.8
Anode
drain hole
Vertical drain
moisture
trap
Outlet of water
0.7
0.6
Current/A
Figure 1. Testing facility for electro-osmotic consolidation

15
0.5
0.4
0.3
0.2
12
0.1
Voltage/V
0
0
20
40
60
80
100
t/h
Figure 4. Current during electro-osmotic consolidation

3
2500
0
20
40
t/h
60
80
100
2000
Fig. 3 shows the voltage distribution along the radial

direction during the electro-osmotic consolidation. In most of
the previous study, the voltage was supposed to be steady and
linear. However, the test result illustrates that the voltage first
increases with time with the largest increase near the cathode
and the smallest increase near the anode. This is mainly caused
by the change of soil resistance near the cathode. Along with the
electro-osmosis, the soil near the cathode began to seperate
from the electrode so that the soil resistance near the cathode
increased, which then resulted the increase of the voltage neer
232
Discharge of water/ml
Figure 2. Voltage applied between the anode and the cathode
1500
1000
500
0
0
10
20
30
40
50
60
70
80
t/d
Figure 5. Discharge of water during electro-osmotic consolidation

th
1
H
V
2H
2V
2 H
2V
(k r
ker
) k r 2 ker 2 kz 2 kez 2
r
r
r
r
r
z
z
u s w s
)
t r
z
t/h
0
20
40
60
80
100
0
r/rw=0.24
r/rw=0.43
0.5
r/rw=0.62
3.2
Settlement/cm
r/rw0.8
1
(3)
Static equilibrium for soil mass
The elastic constitutive model was used to reflect the

relationship of the stress and the strain of the soil skeleton.
Therefore, the governing equations can be obtained from Biot's
theory and the effective stress principle as,
1.5
c3 u s
u s
w s
u s w s
H
w
r (c1 r c2 z ) z [c3 ( z r )]+ r r
(4)
r
s
s
s
s
s
H
(c w c u ) [c ( u w )] c3 w
w
s
2
3
z 1 z
r
r
z
r
z
r r
2.5
Figure 6. Surface settlements of the soil sample
The surface settlement is shown in Fig. 6. Esrig's theory

about excess pore water pressure indicates that the largest
settlement happens near the anode since the largest excess pore
water pressure is occurred there. However, Fig. 6 shows that the
largest surface settlement occurred in the middle of the two
electrodes with a value of about 2.4 cm. The friction of the test
device and the soil at the anode is the main reason for this
phenomenon.
The test results shows that the soil parameters vary during
the electro-osmotic consolidation processes, and the previous
analytical solution could not adequately predict the soil
behavior due to the complicated coupling effects. The multiphysics theoretical model was developed by the authors, by
means of coupling soil deformation, pore water flow and
electrical field (Hu et al., 2012).
3
THEORETICAL MODEL
During electro-osmotic consolidation, the pore-water flow,

soil mass deformation, and electricity have a coupling effect on
soil behavior.
3.1
Coupled pore water flow
Pore-water flow is due to the hydraulic and electrical

gradients. The pore water velocity in radial and vertical
directions can be described according to the Darcy's law and
electro-osmotic flow theory (Esrig, 1968),
H
V
kr
ker
vr
r
r
H
V
kz
kez
vz
z
z
3.3
2V 1 V
2V
2 H 1 H
)
+
)+ ez 2 hr ( 2 +
2
r
z
r
r r
r r
2 H
V
hz
Cp
z 2
t
er (
(5)
in which Cp is the capacitance per unit volume; er and ez

are the electric conductivity in the radial and vertical direction.
hr and hz are the streaming electric conductivity in the radial
and vertical direction, which denotes the current density caused
by a unit hydraulic gradient.
4
NUMERICAL SIMULATION
Based on the equation (3) ~ (5), an axisymmetric electroosmotic consolidation model was developed and the size is the
same as the test apparatus. The relationship between the
electrical conductivity and the void ratio is conducted from
laboratory test results as (Wu, 2009),
e
e 1.016
-0.349 (S/m)
1 e
(6)
The soil parameters used in the numerical model are

adopted according to the basic physical properties tests on the
soil sample and are shown in Table. 2 (Wu, 2009).
Table 2. Parameters adopted in the numerical model
Initial water content, w/(%)
Saturation, S/(%)
100
100
Hydraulic conductivity, krkz /(m s )
810-10
Electro-osmosis conductivity, kerkez/ (m2 s-1 V-1)
8.510-9
Electrical conductivity, erez/ (1 ohm-1 m-1)
0.38
Young's module, E / (kPa)
2106
-1
Poisson's ratio,
(2)
in which v is the volume strain of soil mass.

Therefore the governing equation for the pore water
movement in the soil mass can be obtained,
Conservation of electrical charge
According to the law of conservation of electrical charge the

governing equation for the electric field can be represented by
the following equation,
(1)
in which V and H are the electric potential and total head,

respectively; vr and vz are the pore-water flow velocity; kr and kz
are the hydraulic conductivity in the radial and the vertical
direction; ker and kez are the coefficient of electro-osmotic
conductivity in the radial and the vertical direction,
respectively.
For a saturated soil system with non-compressive pore-water
and soil particles, the pore-water flow induces the volume strain
of soil mass, i.e., consolidation of the soil skeleton. Using the
law of conservation of mass for pore water, the following
equation can be derived,
vr vr vz

v
r
r z
t
in which c1, c2, c3 are the constant parameters only related to the
young's modulus and the poisson's ratio; us and ws are the radial
and the vertical displacements; 's denotes the submerged unit
weight.
0.3
Fig. 7 shows the comparison of the surface settlement

obtained from the numerical results and the experiment data.
The surface settlement at the position of r/re=0.62, in which re is
233
th
the radius of the model, is compared since the settlement at

other positions are largely influenced by the test apparatus.
The settlement obtained from the numerical model which
considered the variation of the electrical conductivity is smaller
than that obtained from another numerical model in which the
electrical conductivity keeps constant. The result of the model
with variable electrical conductivity agrees better with the
experimental data than the model with constant electrical
conductivity during the consolidation process.
t/h
0
0
20
-0.005
40
60
80
100
Experiment data
Settlement/m
Numerical result:variable parameters

-0.01
Numerical result:constant parameters
ACKNOWLEDGEMENTS
-0.015
Financial supports from National Natural Science

Foundation of China (NSFC50978139), National Key Basic
Research Program (2012CB719804), Tsinghua University
(2010THZ02-1), and the State Key Laboratory of Hydroscience
and Engineering (SKLHSE-2012-KY-1) are gratefully
acknowledged.
-0.02
-0.025
Figure 7. Comparison of the numerical model

with the experimental data
REFERENCES
MICROSCOPIC OBSERVATION
The scanning electron microscopy tests of the soil samples

before and after electro-osmosis were conducted and the
comparison was shown in Fig. 8.
Fig. 8 illustrates that after the electro-osmosis treatment, the
shape of soil particles changed. The content of spherical particle
and flaky particle decreased, and the content of acicular particle
increased, which mean that under the application of the voltage,
the soil particles broke from spherical particle or flaky particle
to acicular particle.
(b) Before electro-osmosis

Figure 8. Results of the scanning electron microscopy test.
(a) After electro-osmosis
the theoretical model to describe the electro-osmotic

consolidation process.
The numerical results showed good agreement with the
testing data in terms of ground settlement, indicating the
rationality of the analytical model. It is also shown that the
variations of electrical conductivity have a significant effect on
the consolidation process and the numerical model which
considered the variation of the electrical conductivity agrees
better with the experemental data than the model with constant
electrical conductivity.
The developed software can predict the displacement
behavior of soil mass and provide useful data for system design
of electro-osmosis treatment.
The result of the ESEM test shows that the soil particles
break from spherical particle or flaky particle to acicular
particle because of the applied voltage.
SUMMARY AND CONCLUSIONS
The electro-osmotic consolidation process is investigated by

means of laboratory test and numerical simulation. The
following conclusions can be obtained based on this study.
A laboratory testing facility was developed for the electroosmotic consolidation, and the electrical voltage distribution,
soil mass displacement, water discharge and electrical current
were monitored during the testing process. The coupled effect
of mechanical, hydraulic and electrical field, as well as the
nonlinear variation of soil resistance during electro-osmosis was
observed.
A theoretical model for electro-osmotic consolidation is
briefly introduced, and FEM software was developed based on
234
Casagrande L. 1948. Electroosmosis in soils. Geotechnique 1: 159-177.

Casagrande L. 1983. Stabilization of soils by means of electro-osmotic
state-of-art. J. Boston Civ. Eng. ASCE 69, No. 3, 255302.
Esrig M.I. 1968. Pore pressures, consolidation and electro-kinetics.
Journal of the Soil Mechanics and Foundation Engineering
Division, ASCE 94(SM4), 899- 921.
Hu L. M.. Wu W. L. & Wu, H. 2012. Numerical model of electroosmotic consolidation in clay. Geotechnique 62(6), 537-541.
Jones C. J. F. P., Lamont-Black J., Glendinning S., Bergado D., Eng T.,
Fourie A., Hu L., Pugh C., Romantshuk M., Simpanen S. & Zhuang
Y. 2008. Recent research and applications in the use of electrokinetic geo-synthetics. Keynote paper, Proc. 4th European Geosynthetics Conf., Edinburgh, UK, Paper No 329, CDROM.
Lewis R. W. & Humpheson C. 1973. Numerical analysis of electroosmotic flow in soils. Journal of the Soil Mechanics and
Foundations Division, ASCE 99(SM8), 603-616.
Li Y., Gong X., Jiao D. & Liu Z. 2009. Experimental study on twodimensional electro-osmotic consolidation of soft clay. Chinese
Journal of Rock Mechanics and Engineering 28(2), 4034-4039. (in
Chinese)
Mitchell J. K. & Soga K. 2005. Fundamentals of soil behavior. 3rd
Edition, John Wiley & Sons, USA.
Rittirong A. & Shang J. Q. 2008. Numerical analysis for electro-osmotic
consolidation in two-dimensional electric field. Proc. 18th ISOPE,
Vancouver, Canada, 566-572.
Shang J.Q. 1998. Electroosmotic enhanced preloading consolidation via
vertical drains. Can. Geo. J. 35(3), 491-499.
Shang J. Q. & Dunlap W. A. 1998. High voltage reinforcement of
ground anchors. J. Geotech. Geoenviron. Eng. ASCE 124, No. 9,
840845.
Su J. Q. & Wang Z. 2003. Theory of two-dimensional electro-osmotic
consolidation of soils. Geotechnique 53(8), 759-763.
Wan T. Y. & Mitchell J. K. 1976. Electro-osmotic consolidation of soils.
J. Geotech. Eng. Div., ASCE 102(5), 473491.
Wu H. & Hu L. M. 2012. Analytical models of the coupling of vacuum
preloading and electro-osmotic consolidation for ground
stabilization. J. Tsinghua Univ. (Sci. and Tech.) 52(2), 182-185.
(in Chinese)
Xu W., Liu S. H., Wang L. J. & Wang J. B. 2011. Analytical theory of
soft ground consolidation under vacuum preloading combined with
electro-osmosis. Journal of Hohai University (Natural Sciences)
39(2), 169-175. (in Chinese)
Creep characteristics of clay in one-dimensional compression with

unloading/reloading cycles
Proprits de fluage des argiles en compression unidimensionnelle avec cycles de
charge/dcharge.
Kawabe S., Tatsuoka F.
Tokyo University of Science, Japan
ABSTRACT: One-dimensional compression tests including sustained loading stages were performed on reconstituted specimens of
two types of clay. In some tests, a number of sustained loading tests were performed during otherwise multiple unloading/reloading
cycles with relatively large stress amplitudes. The creep strain taking place at respective sustained loading stages is a function of the
ratio of the current sustained loading stress to the stress at which the latest reversal of loading direction was made, independent of
previous loading history and current sustained loading stress. A new laboratory one-dimensional compression test method is proposed
to evaluate the creep process at such very low strain rates as observed in the field. Creep processes until the creep strain rate becomes
as small as about 10-10 %/sec can be observed by this method. This new method is much less time-consuming than sustained loading
tests starting from the primary loading.
RSUM : Des essais oedomtriques avec fluages ont t raliss sur deux types dargiles remanies. Pour certains essais, des
fluages ont ete appliqus lors de grands cycles de chargement comprenant de multiples charges/dcharges. Les dformations de fluage
observes sont fonction uniquement du rapport entre l tat de contrainte actuel appliqu et l tat de contrainte appliqu lors de la
dernire inversion de chargement. Elles restent ainsi indpendantes de lhistoire prcdant la dernire inversion et de la seule valeur
de la contrainte actuelle. Une nouvelle procdure exprimentale est ainsi propose pour tudier de manire plus prcise les
dformations de fluage, jusqu' des valeurs extrmement faibles (10-10 %/sec) telles que mesures in situ. La procdure propose a
lavantage dcourter grandement la dure du chargement comparativement des essais classiques de fluage raliss lors dune
premire charge.
KEYWORDS: Clay, One-dimensional compression test, Creep, Strain rate, Loading/unloading/reloading.
1
than those during otherwise primary loading and become very

small or even negative depending on loading history. Besides,
positive and negative creep strains are a unique function of,
respectively, the loading stress ratio, UL / SL (i.e., overconsolidation ratio, OCR) and RL / SL , not by the stress
difference, UL SL and RL SL . This relation is also a
function of other factors. For example, the creep strain increases
with an increase in the initial strain rate (i.e., the strain rate
during the CRS loading immediately before the concerned SL
stage) and the elapsed time during the SL stage.
In this study, to confirm the generality of the empirical
relations described in Figure 1, another series of 1D
compression tests including multiple UL/RL cycles with many
SL stages were performed. Based on the test results, a new test
method to observe creep behaviours at very low strain rates in a
relatively short time is proposed.
INTRODUCTION
Most of the previous studies on long-term residual compression

of soft clay were focused on the behaviour during primary
loading under the normally consolidated conditions. Despite
strong geotechnical engineering needs, the study under general
loading conditions, not only primary loading but also unloading
(UL), reloading (RL) and cyclic loading (UL/RL), is very
limited (e.g., Acosta Martnez et al. 2005; Kawabe et al., 2009).
Besides, the concerned elapsed time under constant load after
the end of construction in a full-scale soft clay deposit is usually
very long. Therefore, the residual strain rates are very low,
significantly lower than those in ordinary laboratory tests
(Figure 1). Consequently, the field residual deformation can be
predicted from ordinary laboratory test results only when based
on a relevant theoretical framework that can simulate the creep
behaviour at very low strain rates as in the field. However,
laboratory tests to validate such a frameworks as above take
extremely long time when sustained loading is performed until
the strain rate reaches typical values in the field or when
constant-rate-of-strain (CRS) tests are performed at typical
strain rates in the field (Tanaka, 2005).
In view of the above, Kawabe et al. (2011) performed a
series of one-dimensional (1D) compression tests including
multiple unloading/reloading (UL/RL) cycles with many
sustained loading (SL) stages on disc-shaped specimen ( 60
mm h 20 mm, Figure 2) made by trimming a large clay cake.
The inside face of the ring was smeared with a grease layer to
decrease the friction. Although the apparatus was relatively
simple, CRS tests could be conducted by means of a feed-back
and automated pneumatic loading system. Figure 3 summarises
the relationships between the creep strain during sustained
loading (SL) for three hours and the ratio of the stress at the
start of unloading (UL) or reloading (RL) at an axial strain rate
equal to 0.005 %/min, UL or RL , to the stress at SL, SL .
The creep strain rates during otherwise UR and RL are smaller
Figure 1. The strain rate measured in laboratory and in situ (Leroueil

2006)
235
1
Vertical load
15
Loading piston
(one unit with
the specimen cap)
Ball bearing bushing
Drainage
Specimen cap
(free vertical
movement,
guided against
rotation)
Porous stone disc

(56 mm d x 5 mm h)
16
Axial strain, a (%)
Loading capsule
17
,
Porous stone disc

(60 mm d x 5 mm h)
Specimen
60
m h)
(60 mm
d x20
20m
mm
Test Name: FJM1008

w0 = 37.5 %, e0 = 1.02
19
100
( 60 5 mm)
a(creep) (%)
0.0
UL
log a
-0.1
SL
RL
-0.2
SL
Axial stress, a (kPa)
log a
0.1
-0.4
0.1
10
24
48
72
96
Elapsed time, t (hour)
b)
120
0.10
100
Test Name: FJM1008
Figure 3. Relationship between the creep strain and loading stress level
(Kawabe et al. 2011)
ONE-DIMENSIONAL COMPRESSION TESTS
0.05
0.00
-0.05
,
,
,
,
-0.10
-0.15
c)
Elapsed time, t (hour)
Figure 4. a) Zoom-upped a log a relations; b) stress history; and

c) time history of creep strain, test FJM1008
10
12
Axial strain, a (%)
The test method is basically the same as Kawabe et al. (2011).

Large clay cakes of two types of reconstituted soft clay,
Fujinomori clay ( w L 42 % and PI 15) and kaolin clay
( w L 44 % and PI 16), were produced by consolidating
slurry prepared at a water content twice of the liquid limit at =
100 kPa in a 20 cm diameter cylinder for a week. After having
applied a pre-load scheme to minimize effects of disturbance
during specimen preparation, each specimen, drained at the top
and bottom, was subjected to: monotonic recompression at a
= 0.05 %/min to a = 100 kPa; SL for one day; UL at a = 0.05 %/min to a = 100 kPa; and SL for one day. Logarithmic
axial strains are used throughout this paper. It was ensured that
the specimen under the conditions described above is always
essentially drained from the fact that the excess pore water
pressure measured at the undrained bottom of the specimen with
the drained top set in another apparatus was always less than
1 % of transient applied total axial stress (Kawabe et al. 2011).
So, the measured total axial stress, a , is regarded as the
effective axial stress.
14
16
Test Name: FJM1016
w0 = 41.8 %, e0 = 1.11
18
TEST RESULTS
10
100
1000
Figure 5. Zoom-upped a log a relation. test FJM1016
3.1 Creep during multiple unloading/reloading cycles

In the test described in Figure 4a (test FJM1008), a number of
SL stages for three hours were applied during multiple CSR
UL/RL cycles changing the stress amplitude. Figures 4b and c
show the time histories of a and creep axial strain at each SL
stage, a(creep). In Figure 4c, the data sets for the same value
of UL / SL or RL / SL are denoted by the same symbol.
The creep characteristics at similar value of UL / SL or
RL / SL are similar, independent of loading history and axial
stress at SL stage. The similar test result is shown in Figure 5. It
is to be noted that these relations change with changes in the
elapsed time of SL.
0.3
500
UL/SL or RL/SL
TEST 1 (Loop1)
TEST 1 (Loop2)
TEST 1 (Loop3)
TEST 2
TEST 3
-0.3
0.01
a(creep)-UL/SL
1000
1000
1500
Figure 2. Oedometer used in the present study (Kongkitkul et al. 2011)

a(creep)-RL/SL
500
a)
Drainage line
0.2
18
( 56 5 mm)
0.2
FJM1008
FJM1016
0.1
0.0
-0.1
-0.2
-0.3
0.01
0.1
10
100
UL /SL or RL/ SL
Figure 6. a(creep) - UL / SL or RL / SL relations, tests

FJM1008 and FJM 1016
Figure 6 shows the relationship between a(creep) for three

hours and the stress ratio, UL / SL or RL / SL , at each SL
236
Figure 8a shows the a log a relation from a CRS test on

kaolin clay, in which CRS primary loading was followed by: 1)
a SL stage, SL1; 2) a small unloading; 3) another SL stage,
SL2; and 4) a global RL another SL stage, SL4. Figure 8b is the
zoom-up of the behaviours around the stages 1) 3). Despite
that the viscous properties of Fujinomori clay is slightly nonIsotach (Kawabe et al. 2009), the result from a similar test
performed as the above (test FJM1104, cf. Figure 10) was
analysed below in the framework of Isotach viscous properties.
Tes t Name: KLN1101
Axial strain, a (%)
stage, plotted in the same way as Figure 3. Also in this case, the
relation is independent of loading history and stress at SL stage,
and the relations for the two tests are nearly the same. This
result indicates that the empirical rule presented in Figure 3 is
also valid for a wide variety of loading history, at least when the
void ratio range is as small as in these tests.
The current creep strain rate is controlled by the
instantaneous yield characteristics. As typically seen from
Figures 4a and 5, the stress at which large-scale yielding starts
is not a fixed value but controlled by loading history. Kawabe et
al. (2011) showed that the hysteretic stress-irreversible strain
relations during cyclic one-dimensional compression of clay can
be adequately described by revising the proportional rule that
was originally proposed for shear tests (Tatsuoka et al. 2003).
This feature is referred to below when inferring very low creep
strain rates during otherwise cyclic loading.
3.2 Very low creep strain rates
8.5
SL1
SL4
9.0
SL3
SL2
9.5
Reference relation for loading
log
Faster
Reference relation for

first unloading
Measuredlog relation
Primary loading at a constant
positive total strain rate
B
0
First unloading at a
constant negative
total strain rate
Nocreep
air 0
or
:positiveornegativecreep
Figure 7 Illustration of a log a and creep in Isotach theory
In SL at the loading state (where air > 0), as the initial

strain rate at the start of SL becomes lower, the reference
relation is reached faster while the residual creep strain rate
after the same elapsed time since the start of SL becomes
smaller. For example, the reference relation is reached much
faster when SL starts from point B than when SL starts from
point A. By taking advantage of this feature, in a relatively short
period by starting after having made some unloading (such as
point A to point B), we can reach the creep behaviour at very
low strain rates that can be observed only after a very long
period when SL starts during otherwise primary loading.
237
300
600
a)
7.5
Test Name: KLN1101
Axial strain, a (kPa)
Many clay types exhibit the Isotach viscous properties in onedimensional compression (e.g., Imai 1995; Niemunis and Krieg
1996; Leroueil et al.1996; Leroueil and Marques 1996: Kawabe
et al. 2011). In that case, at the loading state in the sense that
the irreversible axial strain rate, air , has been kept positive
since the start of loading, a unique effective stress is defined for
given irreversible strain and its rate. Then, the a log a
curve of a CRS test at a lower air value is located more left or
lower in the plot presented in Figure 7. The air value at the
strain-stress state, ( a , a ) , that is ultimately reached in any SL
is zero. These zero-strain-rate states form the stress-strain
relation called the reference relation. The reference relation is
the same for different loading histories keeping the same sign of
air , but different for different loading histories changing the
sign of air . In Figure 7, the reference relation at the loading
state and the one for the first unloading state, where air has
become negative for the first time since the start of loading, are
presented. Point B is located on the first unloading curve
starting from point A (on the primary loading curve). During
this unloading process, the total axial strain rate, a (= ae + air )
is negative, but air is kept positive while the elastic axial strain
rate ae is kept negative with a negative axial stress rate. Note
again that all the strain-stress states located right of, or above,
the reference relation for loading, including points A, B and
B, are at the loading state.
8.0
1E-5 %/sec
8.5
1E-6
9.0
1E-7
1E-8
a (c re ep ) = 0
9.5
b)
Figure 8.
570
600
1E-9
630
a) Zoom-upped a log a relation; and b) behaviours
around SL1 and SL2 stages, test KLN1101
Figures 9a and 10a show the loga(creep) log t relations

from tests KLN1101 and FJM1104, where SL1 starts during
otherwise the primary loading and SL2 starts during otherwise
the first unloading following SL1 (see Figure 8a). It may be
seen that the creep strain rate, a(creep) , decreases linearly
with the logarithm of the elapsed time, t , since the start of SL
at both SL1 stages. The relations at SL1 and SL2 are different,
showing that the elapsed time since the start of respective SL
stages, t is not the parameter that controls the creep
behaviours at different stresses, SL . Figures 9b and 10b show
the log a(creep) log a(creep) relations from these two tests.
The two relations at SL1 are nearly straight until a(creep)
becomes about 10-7 %/sec. The relations at SL2 stage are utterly
different from the above.
Referring to Figure 7, according to the Isotach theory, the
creep behaviour from point B to point C is equivalent to the one
from point B to point C at the last part of the SL that has
started from point A at the primary loading state. The air value
is the same at points B and B and at points C and C.
Correspondingly, in Figure 8b, the a log a relations for
different air values that are in parallel to each other have been
depicted (i.e., broken lines). Each of these relations passes
different ( a , a ) states where different strain rate was
observed. Following this procedure, in Figures 9b and 10b, the
measured relations of SL2 have been parallel-shifted upwards to
be connected to the end part of the relation of the respective
SL1 stages. The combined relations can be regarded as the
continuous relations that would have been obtained if SL1 had
continued longer than the actual tests.
The obtained relations exhibit a drastic decrease in the slope
toward eventually zero a(creep) . This trend is consistent with
1.2
Test Name: KLN1101
Test Name: KLN1101
Creep axial strain rate, a(c reep) (%/sec)
1E-4
1E-5
1E-6
SL1
1E-7
1E-8
SL2
1E-9
1E-10
100
1000
a)
10000
100000
0.4
0.2
SL2
0.0
1E-5
1E-6
1E-7
1E-8
1E-9
1E-10
Creep axial strain rate, a(creep) (%/sec)
loga(creep) log t relations; and b) a(creep) loga(creep) relations

2.0
Test Name: FJM1104
SL1
0.6
b)
1E-4
1E-5
SL01
1E-6
1E-7
SL02
1E-8
1E-9
Test Name: FJM1104
1E-10
100
a)
1000
10000
100000
1.5
1.0
0.5
b)
SL01
SL02
0.0
1E-4
1000000
Elapsed time, t (sec)
Figure 10. Test FJM1104 (SL1 and SL2): a)
1E-5
1E-6
1E-7
1E-8
1E-9
1E-10
loga(creep) log t relations; and b) a(creep) loga(creep) relations
the Isotach theory, by which the a(creep) value becomes

ultimately zero in a given SL stage (i.e., points C and C in
Figure 7). This trend is seen in the test result presented in Figure
8b. In this figure, the reference relation, along with a(creep) = 0,
REFERENCES
Acosta-Martnez H., Tatsuoka, F., and Li, J.-Z. 2005. Viscousproperty

of clay in 1-D compression: evaluation andmodelling. Proc. 16th
ICSMGE, Osaka, 779-783.
Imai, G. 1995. Analytical examination of the foundations toformulate
consolidation phenomena with inherent timedependence. Keynote
Lecture, Proc. Int. Symp. on Compressionand Consolidation of
Clayey Soils, IS Hiroshima. (2) 891-935. Rotterdam: Balkema.
Kawabe, S., Kaihara, K. and Tatsuoka, F. 2009. Non-Isotach viscous
property and its simulation in drained one-dimensional compression
on clay. Proc. of 44th Conf. on Geotechnical Eng., Japan
Geotechnical Society, Yokohama, 237-238. (in Japanese)
Kawabe, S., Kongkitkul, W. & Tatsuoka, F. 2011. 1D Compression
with Unload/Reload Cycles on Soft Clay and its Simulation. Proc.
14th Asian Regional Conference on SMGE, Hong-Kong, CD.
Kongkitkul, W., Kawabe, S., Tatsuoka, F. and Hirakawa, D. 2011. A
simple pmeumatic loading system controlling stress and strain rates
for one-dimensional compression of clay. Soils and Foundations 51
(1), 11-30.
Leroueil, S., and Marques, M.E.S. 1996. Importance ofstrain rate and
temperature effects in geotechnical engineering. S-O-A Report,
Measuring and Modeling TimeDependent Soil Behavior, ASCE
Geotech. Special Publication. 61, 1-60.
Leroueil, S., Perret, D., and Locat J. 1996. Strain rate andstructuring
effects on the compressibility of a youngclay. Measuring and
Modeling Time Dependent Soil Behavior,ASCE Geotech. Special
Publication 61, 137-150.
Leroueil, S. 2006. Sukljes Memorial Lecture The isotache approach:
Where are we fifty years after its development by Professor Suklje?.
Proc. European-Danube Conference on Geotechnical Engineering,
Ljubljana, 1, 55-88.
Niemunis, A., and Krieg, S. 1996. Viscous behaviour ofsoil under
oedometric conditions. Canadian GeotechnicalJournal 33, 159-168.
Tanaka, H. 2005. Consolidation behaviour of natural soils around pc
value - long term consolidation test -. Soils and Foundations, 45(3)
83-95.
Tatsuoka,F., Masuda,T. and Siddiquee,M.S.A. 2003. Modelling the
stress-strain behaviour of sand in cyclic plane strain loading.
Geotechnical and Environmental Engineering, Journal of
Geotechnical and Environmental Engineering, ASCE, 129 (6) 450467.
has been drawn based on the value of UL /( SL at a(creep) =

0) = 1.25 that was obtained from a similar test result as those
presented in Figure 3 and 6. The axial strain increment, a ,
between the relations for the a values different by a factor of
10 (i.e., one log. cycle of a(creep) ) is similar until a(creep)
becomes about 10-7 %/sec, after which a becomes smaller
towards zero as the relation approaches the reference line.
The largest advantage of the method proposed above is that
creep behaviours at very low strain rates can be observed in a
relatively short. This method becomes reliable when the
reference relation along a(creep) = 0 is obtained from such
relations as shown in Figures 3 and 6 by performing many SL
during otherwise UL and RL. Extending the method described
above, creep behaviours at very low strain rates (positive or
negative) starting during otherwise UL/RL can be predicted by
inferring the hysteresis reference relation.
4
0.8
1E-4
1000000
Elapsed time, t (sec)
Figure 9. Test KLN1101 (SL1 and SL2): a)
1.0
CONCLUSIONS
The following conclusions can be derived:

1) The creep strain during normally or over-consolidated
conditions after arbitrary loading history is controlled by the
ratio of the stress at load reversal immediately before to the
stress at sustained loading, irrespective of loading history
and the stress at sustained loading.
2) With Isotach materials, creep behaviour at very low strain
rates as those reached after a long period by sustained
loading starting during otherwise primary loading can be
observed in a relatively short period by performing
sustained loading after a relevant amount of stress reversal.
3) The logarithm of creep strain rate decreases rather linearly
with creep strain until the creep strain rate becomes a
certain low value, followed a drastic decrease toward zero.
238
4
th
Comparison of the geotechnical properties of pumice sand from Japan and New
Zealand
Comparaison des proprits gotechniques de sables de pierre ponce du Japon et de NouvelleZlande
Kikkawa
N.
N.
Kikkawa
National Institute of Occupational Safety and Health, Japan
Pender
M.J., &
Orense
R.P.
M.
J. Pender
R. P. Orense
University of Auckland, New Zealand
ABSTRACT: The geotechnical properties of pumice sands from Japan and New Zealand are compared. Both of these materials are
characterised by the presence of particles that are easily crushed against a hard surface under fingernail pressure. The paper gives
data on the changes in particle size distribution before and after hydrostatic compression and drained triaxial shear. It is apparent from
the results of drained triaxial compression tests that the shear stress continues to climb with increasing shear strain, so that there is not
a well-defined friction angle. However, the mobilised friction angle reaches quite large values when the mean principal effective
stress is in the range of a few hundred kPa, but decreases as the mean principal effective stress increases further. A particularly
interesting feature of the drained shear behaviour of the materials is that with a sufficiently large confining pressure they tend to
deform in one-dimensional compression. In general terms, the properties of these two materials of different origin are quite similar.
RESUME: On compare les proprits gotechniques de sables de pierre ponce provenant du Japon et de Nouvelle-Zlande. Ces deux
types de matriaux sont caractriss par la prsence de particules qui sont facilement crases contre une surface dure sous la pression
de l'ongle. Des donnes sont fournies sur les modifications de distribution granulomtrique des particules avant et aprs compression
hydrostatique et cisaillement triaxial drain. Il ressort des rsultats d'essais de compression triaxiale draine que la contrai nte de
cisaillement continue d'augmenter avec l'augmentation de la dformation de cisaillement, de telle sorte qu'il n'y a pas dangle de
frottement bien dfini. Toutefois, l'angle de frottement mobilis atteint des valeurs trs leves lorsque la contrainte effective
principale moyenne est de l'ordre de quelques centaines de kPa, mais diminue mesure que la contrainte effective principale moyenne
continue de crotre. Une caractristique particulirement intressante du comportement en cisaillement drain de ces matriaux est
qu'avec une pression de confinement suffisamment leve, ils ont tendance se dformer en compression unidimensionnelle. De
manire gnrale, les proprits de ces deux matriaux dorigines diffrentes sont tout fait similaires.
KEYWORDS: pumice, particle crushing, shear strength mobilisation, lateral strain during drained shear
MOTS CLES : pierre ponce, crasement de particules, mobilisation du cisaillement, dformation latrale en cisaillement drain
INTRODUCTION
STRESS-STRAIN-STRENGTH BEHAVIOUR
The first comparison is given in Figure 1 where the change in

volume of dry pumice sand specimens under hydrostatic
compression is plotted. It is apparent that the Japanese pumice
undergoes considerably more volume change than the NZ
material; this may be a consequence of the different particle size
range of the two samples, as shown in Figure 5, and the wellsorted size distribution of the Japanese pumice.
Figure 2 presents the deviator stress axial strain plots for
conventional drained triaxial tests on specimens of the sand
after consolidation under hydrostatic pressure. Figure 3 has the
volume change behaviour of these specimens; note that the de-
Pumice sands derived from volcanic activity are found in Japan

and New Zealand. Both of these materials are characterised by
the presence of particles that are easily crushed against a hard
surface under fingernail pressure. In this paper we compare the
geotechnical properties of these materials. The composition of
both pumice sands is dominated by silica and aluminium oxide.
Pumice deposits are found in several areas in New Zealand.
They originated from a series of volcanic eruptions centred in
the Taupo and Rotorua regions of the central North Island.
Although they do not cover wide areas, their concentration in
river valleys and flood plains means they tend to coincide with
areas of considerable human activity and development. Thus,
they are frequently encountered in engineering projects and
their evaluation is a matter of considerable geotechnical interest.
Further information about the properties of New Zealand
pumice sand are given by Wesley et al (1999), Pender et al
(2006) and Naotaka et al (2011).
The Japanese pumice used in this study was sampled from
the Kanoya-city located on the Osumi-peninsula in the Southern
Kyushu.
Individual particles are not solid but have internal voids.
This is the reason for the low unit weights presented in Table 1.
The particle density is not well-defined because of the internal
voids, hence only typical values are given in Table 1.
Table 1. Physical properties of the pumice sands used in this study.
NZ pumice
Japanese
pumice
239
1
Grain
size
Typical
particle
density
Minimum
dry unit
weight
Maximum
dry unit
weight
Test dry
unit
weight
d
mm
0.05
~1.18
0.15
~ 0.30
dmin
dmax
kg/m3
kN/m3
kN/m3
2340
5.65
6.95
2489
4.34
6.41
kN/m3
5.42
~ 5.87
5.70
~ 5.77
th
crease in volume means that the tests were done on loose

material. Also marked on these plots is a line indicating one
dimensional compression, that is the volumetric strain is equal
to the axial strain, hence along this line the shearing occurs
without change in diameter of the specimen.
Figure 4 plots contours of equal axial strain on a set of axes
with deviator stress on the vertical axis and mean principal
effective stress on the horizontal axis. (The deviator stress is: q
= 1 - 3, and the mean principal stress is: p = (1 + 23)
/3). The first, and most important observation from these plots,
is that the mobilization of the drained shear resistance for both
pumice sands continues to increase with increasing axial strain,
also apparent from Figure 2. Note that this is not so for the
undrained test also shown in Figure 2b. Any point on the plots
in Figure 4 indicates a mobilized friction angle, as the ratio of
q/p can be used to calculate the mobilized friction angle at that
point. Looking at the data in Figure 4a, one can draw a
tangential envelope near the origin which defines a friction
angle of about 41 degrees. Next taking the highest point on the
20% strain contour the q/p ratio defines a friction angle of
about 30 degrees. Thus although the shear resistance continues
to increase with increasing axial strain the mobilized friction
angle decreases. Similar comments can be made about the data
for the New Zealand pumice shown in Figure 4b.
Volum etr ic s tr ain v (% )
10
NZ pum ice
20
JP N pum ice
30
40
0
15 0 0
2000
Figure 1. Volumetric strain under hydrostatic compression.
3 50 0
Deviator s tr es s q (k N/m 2 )
1600kPa
3
d =5.77kN /m
3 00 0
2 50 0
400kPa
3
d =5.70kN /m
2 00 0
200kPa
3
d =5.72kN /m
150 0
100kPa
3
d =5.70kN /m
50kPa
3
d =5.74kN /m
100 0
3 00 0
2 00 0
0
15
NZ pumice
400kPa
100 0
10
NZ pumice
1600kPa,CU test
150 0
50 0
NZ pumice
1600kPa
2 50 0
50 0
NZ pumice
100kPa
20
10
15
20
Axia l strain a (% )
Axia l strain a (% )
(a) JPN pumice
Figure 2. Triaxial test deviator stress versus axial strain.
-4
(b) NZ pumice
-4
0
50kPa
3
d =5.74kN /m
4
100kPa
3
d =5.70kN /m 200kPa
3
d =5.72kN /m
400kPa
3
d =5.70kN /m
12
One dimensional
compression
10 0 0
M ean effec tiv e pr inc ipal s t res s p ' (k Pa)
3 50 0
500
0
NZ pumice
100kPa
4
NZ pumice
1600kPa
NZ pumice
400kPa
12
1600kPa
3
d =5.77kN /m
One dimensional
compression
16
16
0
10
15
20
10
15
(a) JPN pumice

(b) NZ pumice
Figure 3. Drained triaxial test volumetric strain versus axial strain.
240
20

th
3 50 0
a =15%
3 50 0
3 00 0
a =10%
2 50 0
a =5%
2 00 0
a =20%
150 0
100 0
a =15%
3 00 0
a =10%
2 50 0
a =5%
2 00 0
50 0
150 0
100 0
a =20%
50 0
500
10 0 0
15 0 0
2000
2500
3000
3500
500
10 0 0
15 0 0
2000
2500
3000
3500
M ean p r in c ip al s tr es s p ' (k N /m )
M ean p r in c ip al s tr es s p ' (k N /m )
(a) JPN pumice

(b) NZ pumice
Figure 4. Deviator stress against mean principal effective stress for drained triaxial tests.
:JPN pumice,after C D at 1600kPa
(w et sieved)
(w et sieved)
(w et sieved)
(w et sieved)
(w et sieved)
:JPN pumice,after consolidation
(w et sieved)
:JPN pumice,before test
(w et sieved)
:JPN pumice, before test
(sieved in dry)
:Toyoura sand
80
60
10 0
NZ pumice
Pass ing finer by weight
Pass ing finer by weight (% )
10 0
before test
(sieved in dry)
40
20
80
60
1600kPa
CU test, 1600kP a
40
400kP a
20
after hyd rostatic

com pression
before test
(w et sieved)
0
0.0 01
0.01
0.1
before test
0
0.0 5
0.1
Partic le s iz e (m m )
Partic le s iz e (m m )
(a) JPN pumice

(b) NZ pumice
Figure 5. Particle Size Distribution before and after testing.
2
JP N pum ice
d =5.77kN/m 2
1600kPa
JP N pum ice
d =5.70kN/m 2
400kP a
One dim ensional

com pression
JP N pum ice
d =5.70kN/m 2
100kP a
NZ pum ice
1600kPa NZ pum ice
400kP a
One dim ensional

com pression
NZ pum ice
100kP a
-1
-1
0
4
4
(a) JPN pumice

(b) NZ pumice
Figure 6. Strain ratio against axial strain for the drained triaxial tests.
241
3
th
4
JPN pumice,50kPa
JPN pumice,100kPa
JP N p u m i c e
Dr y unit weight d (k N/m 3 )
Dr y unit weight d (k N/m 3 )
dmin
JPN pumice,200kPa
JPN pumice,400kPa
6
d max
130kPa
JP N p u m i c e
8
9
10
dmin
NZ pumice NZ pumice
100kPa
400kPa
NZ pumice
1600kPa,CU test
NZ p um ice
6
7
NZ pumice
1600kPa
d m ax
NZ p um ice
8
9
JPN pumice,1600kPa
10
11
10 1
10 2
10 1
10 3
10 2
10 3
M ean effec tiv e pr inc ipal s t res s p ' (k Pa)
M ean effec tiv e pr inc ipal s t res s p ' (k N /m )
(a) JPN pumice

(b) NZ pumice
Figure 7. Paths of dry unit weight against mean principal effective stress for the hydrostatic compression and drained triaxial tests.
However, this cannot be regarded as a critical state line as

Figures 2 and 3 show that the state of the specimens has not
reached a condition with constant q and constant volume.
Figure 5 shows that for both pumice sands there is

considerable particle breakage during the drained shearing and
that this is progressively more severe as the confining pressure
increases. Note that the Japanese pumice is much finer than the
New Zealand material but the general features of particle
crushing are similar for both materials. One interesting
observation for the NZ material is that there is much less
particle crushing for the undrained test following consolidation
to 1600 kPa than for the drained test from the same
consolidation pressure. The reason is because of the differing
stress paths. For the drained test the stress paths for drained
compression, if plotted on the set of axes in Figure 4, is a line of
slope +3 upwards and towards the right. On the other hand since
the specimens are loose the undrained effective stress path will
move to the left and so subject the sand particles to lower
effective stresses.
Figure 6 presents a surprising insight into the deformation
behaviour of these materials. In the drained triaxial test the axial
deformation and the volume change are measured. From this it
is possible, with the usual assumption that the specimen
deforms as a right circular cylinder, to determine the change in
diameter of the specimen. The figure shows that for higher
consolidation pressures there is zero or very little change in
diameter of the specimen. In fact, for the New Zealand pumice
for consolidation pressures of 400 and 1600 kPa it is seen that
the diameter of the specimen actually decreases, that is there is a
decrease in length because of the compression and also lateral
compression. In our view this is a consequence of the large
amount of particle crushing at these higher consolidation
pressures. This observation was first made in the paper by
Pender at al (2006) on the properties of New Zealand pumice
sands.
Figure 7 plots the dry unit weight of the specimens tested on
the vertical axis against the logarithm of the mean principal
effective stress on the horizontal axis. In the Critical State
literature diagrams such as this are plotted with the void ratio on
the vertical axis. However, one of the difficulties of dealing
with material having voids within the particles is that the value
for the operational solid density is unclear. So in Table 1 the
values given for the solid density are reasonable indications but
not exact values. One way to overcome this difficulty is to use
the dry unit weight rather than the void ratio, hence the vertical
axes in Figure 7. The beginning and end points of the various
shear tests are shown in Figure 7 along with the hydrostatic
compression curves. For the New Zealand pumice results in
Figure 7b a dotted straight line is drawn through the end points.
CONCLUSIONS
The main conclusions derived from this brief comparison of the

properties of New Zealand and Japanese pumice sands are:
The properties of the materials are very similar, despite
their different origins and particle size distributions.
In drained triaxial testing, neither the shear stress or the
specimen volume reaches a steady value even at axial
strains of 20% (Figs. 2 & 3).
During drained shearing particle crushing is
considerable (Fig. 5).
There is no well-defined angle of shear resistance (Fig.
4).
At high confining pressures the lateral deformation
during drained shear indicates behaviour close to onedimensional compression (Fig. 6).
Figure 7 indicates that the materials have not reached a
critical state condition.
4
ACKNOWLEDGEMENTS
We are very grateful to the Japan Society for the Promotion of

Science (JSPS) for support. This research has been partially
funded by a JSPS Grant-in-Aid for Young Scientists (B)
(No.23760448).
5
REFERENCES
Kikkawa, N., Orense, R.P. & Pender, M.J. (2011). Mechanical

behaviour of loose and heavily compacted pumice sand, Proc.,
14th Asian Regional Conference on Soil Mechanics and
Geotechnical Engineering, Hong Kong, 23-27 May 2011, Paper
214. 6pp.
Pender, M J, Wesley, L D, Larkin, T J and Pranjoto, S (2006)
Geotechnical properties of a pumice sand. Soils and
Foundations, Vol. 46, No. 1, pp. 69-81.
Wesley, L. D., Meyer, V. M., Pranjoto, S, Pender, M. J., Larkin,
T. J. and Duske, G. C. (1999) Engineering properties of
pumice sand Proc. 8th Australia-NZ Conference on
Geomechanics, Hobart, Vol. 2, 901-908.
242
4
th
Evaluation of Consolidation Behavior of Soils under Radial Drainage Condition

Using Digital Image Analysis
valuation du comportement de consolidation des sols sous des conditions de drainage radial
partir de l'analyse d'image numrique
Kim J.-Y., Chung C.-K.
Department of Civil and Environmental Engineering, Seoul National University
Cho N.-G.
Hyundai Engneering & Construction
Yune C.-Y.
Department of Civil Engineering, Gangneung-Wonju National University
ABSTRACT: Most of the analytical solutions for consolidation under radial drainage are based on the assumption that only vertical
compression occurs. During consolidation, however, soils deform not only vertically but also radially. The radial deformation during
consolidation may induce additional excess pore pressure in a soil mass and unexpectedly cause differential settlement and produce
stresses in structures founded on consolidating ground. A new consolidation apparatus, which enables the deformation of a specimen
to be visually observed, and the total vertical stress as well as the pore water pressure to be measured, was developed. Consolidation
tests for reconstituted kaolinite specimens were performed using the new consolidation apparatus under radial drainage, along with
test under vertical drainage. Digital image analysis was adopted to analyze the consolidation deformation of the specimen. Radial
deformations as well as vertical deformations during consolidation were monitored and compared for the two different drainage
condition. Non-uniformities of the specimen induced during horizontal drainage were confirmed by measured total vertical stress.
RSUM : La plupart des solutions analytiques pour la consolidation avec coulement radial sont fondes sur lhypothse quil ny a
que des compressions verticales. Cependant, pendant la consolidation, les sols se dforment non seulement verticalement mais aussi
radialement. La dformation radiale pendant la consolidation peut induire des surpressions interstitielles additionnelles dans le sol,
pouvant entraner des tassements diffrentiels imprvus ainsi que des contraintes au sein des structures fondes sur le sol en cours de
consolidation. Un nouvel appareil de consolidation, qui permet dobserver visuellement la dformation dune prouvette et de mesurer
la contrainte verticale totale applique ainsi que la pression interstitielle, a t dvelopp. Des essais de consolidation ont t raliss
sur des prouvettes de kaolinite reconstitues en utilisant le nouvel appareil de consolidation avec drainage radial, ainsi que des essais
avec drainage vertical. La technique danalyse dimage numrique a t adopte pour analyser les dformations de consolidation de
lprouvette. Les dformations radiales ainsi que les dformations verticales ont t mesures et compares pour les deux conditions
de drainage. Les htrognits de lprouvette induites par le drainage horizontal ont t confirmes par la mesure de la contrainte
verticale totale.
KEYWORDS: consolidation, vertical drain, horizontal deformation, digital image analysis
MOTS-CLS : consolidation, drainage vertical, dformation horizontale, analyse dimage numrique
1
To obtain the precise and detailed information on the soil

behavior under vertical loading with radial drainage, physical
model test equipment under plane strain condition to monitor
the soil responses of entire zone under consideration throughout
the whole consolidation process was developed. Soil
movements during consolidation were determined by digital
image analysis using photo images. Detailed strains and void
ratios of entire soil specimen can be obtained. Also, variations
of total stress and pore pressure were also measured in several
locations in the specimen. Using reconstituted kaolinite
specimen, a test with horizontal drainage under vertical loading
was carried out, together with a test with vertical drainage.
Results from both tests are comparatively analyzed.
INTRODUCTION
Soft clayey soil ground under preloading improvement with

vertical drains has known to experience mostly vertical
deformation with radial drainage. However, even though no
radial displacement is expected in the present consolidation
theory, progressive consolidation process from vertical drains
induces void ratio variation in the radial direction, which is a
strong evidence of radial inward displacements of soils toward
drains (Yune 2005). These radial displacements during
consolidation have already been recognized by many
researchers. Pyrah and Tanaka (1999) and Atkinson et al.
(1985) investigated possibility of horizontal movements of soils
under radial drainage by measuring horizontal variations of
water contents of soil specimens at the end of consolidation.
Baek and Moriwaki (2004) measured directly the radial
displacements during consolidation by monitoring the
movements of magnets installed in the soil specimens.
Spatial variations of void ratio and excess pore pressure
yield the stiffness variation of soil ground and result in vertical
total stress change and excess pore pressure change under
constant vertical preloading. Accordingly, monotonic
dissipation of excess pore pressure is no longer possible, and
consolidation coupled with total stress change and radial
displacement will be the precise condition for soft ground under
preloading with vertical drains.
2. EXPERIMENTAL PROGRAM
2.1. Test apparatus
The schematic diagram of the consolidation testing apparatus
developed for this study is illustrated in Figure 1. The apparatus
takes a rectangular parallelepiped specimen of 150 mm in
height, 140 mm in width, and 40 mm in thickness, surrounded
by four transparent acrylic walls which enable monitoring the
internal movement of soils during consolidation. The photo
images on the front wall are used for digital image analysis to
find out the soil deformations during the entire consolidation
process. On the opposite side, 6 pore pressure transducers at 2
243
1
th
different images taken at two separate times. For this process, a

random image pattern was created by spraying oil-based paint
on one side of specimen as shown in Figure 2.
After assembling the apparatus with specimen, back pressure
was applied for specimen saturation. Pore pressure parameter C
value defined as the ratio of excess pore pressure increment to
applied vertical total stress, higher than 0.97 was considered as
full saturation. For the consolidation test, vertical stress
increments by pneumatic pressure were applied on the top of
the specimen. Consolidation process was achieved by applying
vertical stress increment under undrained condition and then
opening drainage line. 3 total stress increments (initial stress to
100 kPa, 100 kPa to 200 kPa, and 200 kPa to 300 kPa) were
applied for both tests on horizontal drainage and vertical
drainage condition. Initiating consolidation by opening the
drainage valve, the values of pore water pressure and total
vertical stress are stored via the data logger, and images are
taken at regular time intervals, 10 seconds in the early stage of
consolidation and increasing time steps as consolidation
proceeds. A Nikon D90 digital camera, which has a resolution
of 4288 x 2848 pixels, was used to get photo images.
different vertical locations and 3 different horizontal locations

are installed to obtain the pore pressure distributions from the
drain boundary. And 3 earth pressure gauges are mounted on
the top rigid loading platen, which will provide the total vertical
stress variations. A plate of porous plastics used for drain
materials are placed on the top of the specimen for vertical
drainage and at the side for horizontal drainage. The pressure
lines were connected to top and side of model box, which allow
saturation of the sample by applying back pressure and dissipate
pore water.
Compressor
Pneumatic Actuator
Silicon
LVDT
Earth pressure
gauge
Digital
Camera
Back pressure
reservoir
Drainage
hole
Earth pressure
gauge
Pore pressure
measuring points
Figure 1. Schematic diagram of developed consolidation test apparatus
Although the axi-symmetric condition with vertical drains is

in reality, the developed model box simulates plane strain
condition to provide a more favorable environment to perform
digital image analysis. So, if necessary, further study for
modification of the interpretations of the results will be
followed.
2.2. Soils
The reconstituted EPK Kaolinite was used for the test
specimen. Its index properties are summarized in Table 1. The
clay specimens were created using the slurry consolidation
techniques described by Sheeran and Krizek (1971). Dried EPK
Kaolinite powder was mixed with de-aired water until the water
contents reach twice of the liquid limit of the Kaolinite. The
prepared slurry was poured into a large consolidometer of
which diameter is 0.3 m. The slurry was loaded with 10 kPa
increments until the applied vertical pressure reaches 100 kPa.
After reaching the target pressure, the vertical stress was kept
constant for 7 to 10 days for the complete consolidation. After
removing the vertical pressure, the sample was extruded
carefully from the consolidometer, wrapped in plastic films,
coated with paraffin wax, and stored in the controlled humidity
and temperature storage room until ready for use. The
maximum past pressures of the clay samples are determined as
about 100 kPa, from the oedometer test results.
Figure 2. Prepared sample in the assembled test apparatus
The completion of consolidation was confirmed by both

measuring pore pressure and interpreting time-settlement curve.
After completion of all consolidation tests, water contents at 25
locations for both tests of drained direction were measured. In
this study, to exclude the effect of stress history, final loading
step (200 kPa to 300 kPa of vertical stress increment) was
focused to be analyzed.
2.4. Digital image analysis
In the geotechnical application of the digital image analysis,
two major techniques have been widely used; digital image
correlation (Rechenmacher and Finno 2004) and particle image
velocimetry (White et al. 2003). Herein, the Particle Image
Velocimetry (PIV) technique was employed for the deformation
measurement because of its better performance in convergence
as well as the simplicity of the algorithm. To perform the image
analysis, a flat object is supposed to deform 2-dimensionally in
the plane of the image which can easily be satisfied in the
developed consolidation apparatus which describes plane strain
condition.
Kim et al. (2011) suggested a procedure determining
optimum image processing condition by statistically analyzing
the data of image analysis resulted from the original image of
test specimen and manipulated one. Following this procedure,
the lowest maximum error, which contains the value of
accuracy and precision (Taylor 1999), of approximately 0.002
mm in 90% confidence level was obtained when using PIV with
bi-square interpolation, 60 x 60 pixel subset size and 0.28 % of
vertical strain interval. As shown in Figure 2, the adopted image
in the test specimen is divided into 1024 (3232) pixel subsets;
thus, providing 1024 displacement vectors at the center points
of the pixel subsets.
Table 1. Index properties of reconstituted kaolinite

Liquid limit (%)
64.4
USCS
MH
Plasticity index (%)
21.8
Initial void ratio
1.56
Percent finer than #200

sieve (%)
98
Initial water contents

(%)
61.0
Specific gravity
2.55
Maximum past pressure

(kPa)
100
2.3. Test procedure

The test procedure with the developed device for consolidation
was summarized as; 1) trimming the reconstituted kaolinite
sample, 2) creating image patterns on the surface of trimmed
sample and 3) assembling test apparatus. Deformation analysis
through image processing is basically done by using two
244
2

th
3. RESULTS AND DISCUSSION
though they were small, displacements to undrained boundary

were observed. So, it is found out that significant horizontal
displacements occurred in case of horizontal drainage condition
under vertical compression and they were highly dependent on
consolidation progress. Furthermore, horizontal displacement
toward drained boundary is dominant throughout entire process
of consolidation and it led into uneven void ratio distribution
after completion of consolidation (decreasing void ratio as
approaching drained boundary). Figure 7 indicating water
content distribution after test provides its strong evidence, with
lower values near drained boundary.
3.1. Deformations
Figure 3 shows time-settlement curve for 200 kPa to 300 kPa
vertical stress increment of both tests under vertical and
horizontal drainages. Time for completion of consolidation in
horizontal drainage based on excess pore pressure response is
far shorter (3 times) than that for vertical drainage, as expected.
Time for Uave=100 %

1625
5188
Figure 3. Time-Settlement curve of consolidation tests
The total consolidation process was divided into 18 and 20

stages for horizontal and vertical drainage condition to achieve
the optimum condition of image analysis with a vertical strain
interval of 0.28 %. The horizontal and vertical displacement
increment contours were drawn for each section using 1024
displacement vectors resulting from image analysis.
Interpretation results for horizontal drainage reveals 3 distinct
stages based on inner soil displacements. Figure 4 to 6 show
representative displacement increment contours under
horizontal drainage for early, intermediate and last stages
of consolidation, corresponding to 0 to 4%, 40 to 46%, and 78
to 82% of average degree of consolidation, U ave , respectively.
In the early stage, significant horizontal displacements were
observed, and they were increasing, approaching drained
boundary. In the intermediate stage, only minor horizontal
displacements were observed. However, in the last stage, even
Figure 7. Final water content distribution of horizontal drainage
Horizontal displacements for horizontal drainage under

vertical loading can be explained by progressive consolidation
process from drained boundary. In the early stage, consolidation
near drained boundary proceeds quickly with decreasing void
ratio, and decrease of void ratio can be induced by horizontal
soil displacements (i.e. soils imported from nearby zone) under
equal vertical strain condition of test. In the intermediate stage,
consolidation rate in the horizontal plane is not much different
because of relatively uniform horizontal gradients of flow, and
thus minor horizontal displacements are observed. But, in the
last stage, dissipation of pore pressure remnant left in zone near
undrained boundary invokes infinitesimal horizontal
displacements inversely.
(mm)
(mm)
0.01
0.05
0.03
-0.01
0.01
-0.02
-0.01
-0.03
-0.03
-0.04
-0.05
(a)
-0.05
Horizontal displacement increment contours
(mm)
(mm)
0.5
0.5
0.4
0.4
0.4
0.3
0.3
0.3
0.2
0.2
0.2
0.1
0.1
0.1
0.0
0.0
Figure 4. Early stage of consolidation

(Uave = 0 ~ 4%)
(mm)
0.5
(b)
Vertical displacement increment contours
Figure 5. Intermediate stage of consolidation

(Uave =40 ~ 46%)
245
Figure 6. Last stage of consolidation

(Uave =78 ~ 92%)
th
decreasing value of void ratio as approaching drained

boundary) yields higher total vertical stress at near drainage
and lower at far drainage.
Meanwhile, for the vertical drainage, only minor scattering

values of horizontal displacement increment less than 0.006
mm were observed, as shown in Figure 8. Furthermore, most
of horizontal displacements were less than 0.002 mm, which
is the maximum error in a 90% confidence level, and thus, it
is estimated that horizontal displacements were hardly
detectable under vertical drainage. Vertical displacement
increment during consolidation also showed fairly uniform
distribution along horizontal plane. Uniform vertical
deformation and negligible horizontal deformation is
maintained through the whole consolidation period.
4. CONCLUSIONS
In this study, consolidation tests were performed under the
condition of horizontal and vertical drainage using the newly
developed consolidation apparatus. The developed equipment
can monitor inner soil deformations visually and measure the
pore water pressure distributions inside the specimen.
Results of digital image analysis and vertical total stress
measurement during the experiment are briefly presented as
follows. Horizontal displacements for horizontal drainage
under vertical loading were predominantly observed. In the
early stage of consolidation, significant horizontal
displacements to the drainage were observed, and thereafter it
is decreasing as consolidation proceeds, and at the last stage
of 70 % or more of Uave, relatively small amount of horizontal
displacements in opposite direction were monitored. On the
other hand, only minor scattering values of horizontal
displacement were measured for vertical drainage condition.
The induced non-uniformity was confirmed by measuring
water content at the end of the consolidation: as approaching
to the drainage surface, the measured water contents were
decreasing.
The total vertical stress in the horizontal plane measured
by three earth pressure gauges showed constant values in
vertical drainage conditions. In the horizontal drainage, total
vertical stress near drainage boundary initially decreased and
then increased, reaching net increase (12 %). Meanwhile, at
mid-plane and far drainage locations, total stresses initially
increased and then decreased, finally having net decrease. (7,
30% respectively)
Figure 8. Horizontal displacement increment during consolidation

under vertical drainage condition ( U ave 0 ~ 5 % )
3.2. Total vertical stress

During the consolidation, the total vertical stresses were
measured from 3 earth pressure gauges at different horizontal
locations on the top of the specimen as shown in Figure 1.
The variation of total vertical stress (measured total vertical
stress minus initial total vertical stress, v ) with
consolidation time is shown in Figure 9. In the case of vertical
drainage, the vertical total stress maintains constant with
minor scattering. On the other hand, in the case of horizontal
drainage, total vertical stresses changed with consolidation
time in a different manner for each location. At near drainage
location, total vertical stress initially decreased and then
increased at 35% of U ave . At the end of consolidation, it
reached net increase of total stress. Meanwhile, at mid-plane
and far drainage locations, total stresses initially increase and
then decrease. At the end, net decreases of total stresses were
observed.
5. REFERENCES
Atkinson, J. H., Evans, J. S., and Ho, E. W. L. 1985. Non-uniformity
of triaxial samples due to consolidation with radial drainage.
Geotechnique, Vol. 35, No. 3, pp. 353-355.
Baek, W. and Moriwaki, T. 2004. Internal behavior of clayey ground
improved by vertical drains in 3D-consolidation process. Soils
and Foundations, Vol. 44, No. 3, pp. 25-37.
Kim, J. Y., Jang, E. R., and Chung, C. K. 2011. Evaluation of
accuracy and optimization of digital image analysis technique for
measuring deformation of soils. Journal of KGS, Vol. 27, No. 7,
pp.5-16. Korean
Pyrah, I. C., Smith, I. G. N., Hull, D., and Tanaka, Y. 1999. Nonuniform consolidation around vertical drains installed in soft
ground. Proc. Of 12th Europen Conference on Soil Mechanics
and Geotechnical Engineering, pp.1563-1569.
Rechenmacher, A. L. and Finno, R. J. 2004. Digital image correlation
to evaluate shear banding in dilative sands. Geotechnical Testing
Journal, Vol. 27, No. 1, pp. 13-22.
Sheeran, D. E. and Krizek, R. J., 1971. Preparation of homogeneous
soil samples by slurry consolidometers. Journal of Materials,
Vol. 6, No. 2, pp. 356-373.
Taylor, J. R. 1999. An introduction to error rnalysis: The study of
uncertainties in physical measurements. University Science
Books, pp.128-129.
White, D. J., Take, W. A., and Bolton, M. D. 2003. Soil deformation
measurement using Particle Image Velocimetry (PIV) and
photogrammetry. Geotechnique, Vol. 53, No. 7, pp. 619-631.
Yune, C.Y. 2005. Influence of void ratio variation on consolidation
behavior of clayey soil with vertical drains. Ph.D thesis, Seoul
National University.
Figure 9. Variation of total vertical stress during consolidation
These total stress variations are strongly related to

progressive consolidation process from drained boundary. As
mentioned above, initial decrease of void ratio at near
drainage induces increase of total stress nearby zone such as
mid-plane location. And as consolidation progresses, void
ratio of entire horizontal plane decreases and ideally reaches
to the same void ratio value at completion of consolidation. In
this case, even distribution of total vertical stress is expected.
However, uneven void ratio distribution at the end (i.e.,
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4
th
Mise au point d'un dispositif exprimental pour l'analyse du retrait-gonflement des

sols argileux
Development of an experimental device for swelling-shrinkage analysis of clayey soils
Maison T.
Institut Polytechnique LaSalle Beauvais, Beauvais, France
Laouafa F., Delalain P.

INERIS, Verneuil-en-Halatte, France
RSUM : Larticle prsente un nouveau dispositif exprimental, pouvant tre incorpor dans un Microscope Electronique
Balayage Environnemental (MEBE). Il permet de mesurer simultanment lvolution de la dformation surfacique dagrgats argileux
et lvolution de leur teneur en eau. L'tat initial des chantillons est sous forme de poudre, ce qui permet deffectuer un cycle
dhumidification-schage complet en 24 heures, soit beaucoup plus rapide que les essais classiques lchelle msoscopique. Les
rsultats obtenus semblent permettre de dissocier les argiles homognes et/ou industrielles des argiles naturelles htrognes par
lvolution de leur dformation surfacique et de leur teneur en eau. Ces observations permettent denvisager des applications
concrtes telles que la corrlation des tassements dun massif aux profils d'volution de la teneur en eau (fonction de la profondeur) ou
loptimisation du choix des bentonites utilises pour les scellements des stockages de dchets radioactifs.
ABSTRACT: The paper presents a new experimental device, which can be incorporated in an Environmental Scanning Electron
Microscope (ESEM). It allows to measure simultaneously the evolution of the surface strain of clayey aggregates and the evolution of
their water content. The initial state of samples is in powder form, what allows making a complete cycle of wetting-drying in 24
hours, faster than the classic tests at the mesoscopic scale. The obtained results seem dissociate homogeneous and/or industrial
clays than heterogeneous natural clays with the evolution of their surface strain and their water content. These observations allow to
envisage concrete applications such as the correlation of the collapses of a massif with the profiles of evolution of the water content
(function of the depth) or the optimization of the choice of bentonites used for the sealings of the storages of radioactive waste.
MOTS-CLS: MEBE, sols, argiles, micro-pese.
KEYWORDS: ESEM, soils, clays, micro-weighing.
INTRODUCTION
Lamlioration de la connaissance des mcanismes physicochimiques mis en jeu lchelle locale lors du retrait et du
gonflement des matriaux argileux est une tape incontournable
pour la caractrisation de la sensibilit de ces sols et de leur
prdisposition vis--vis du phnomne de retrait/gonflement.
Le retrait-gonflement des sols argileux exige, pour lvaluation
de ses effets sur une zone donne, des paramtres obtenus par
des essais en laboratoire, mens sur des chantillons de
plusieurs centimtres cubes. La faible cintique des sols
argileux implique des dures de tests jusqu' trois mois pour
certains dentre-eux.
Aujourdhui, cet inconvnient peut tre surmont avec
l'utilisation du Microscope Electronique Balayage
Environnemental (MEBE). Le contrle des conditions
hygromtriques dans la chambre du MEBE permet l'analyse de
lchantillon dans des conditions hygromtriques in situ
(Romero et Simms 2008). Les chantillons peuvent tre tudis
sous forme de poudre, ce qui diminue la dure du test 24
heures pour les argiles.
Les analyses menes au MEBE ces dernires annes ne
concernaient que des argiles industrielles type bentonite MX80
(Montes-H. 2002). Cet article prsente des observations au
MEBE effectues sur des argiles industrielles mais aussi sur des
argiles naturelles (prleves in situ), afin dtudier le
comportement du retrait-gonflement dans les sols argileux. Cinq
argiles sont prsentes : une argile naturelle homogne
commercialise et pouvant tre utilise dans lindustrie, la
247
1
montmorillonite grecque ; une argile industrielle , la

bentonite MX80 ; trois argiles naturelles htrognes, largile
verte de Romainville, la marne de Mormoiron et largile des
Flandres.
Le but de cet article est de proposer l'observation et lanalyse de
l'volution du retrait-gonflement de ces argiles en fonction de
leur teneur en eau. A cette fin, un dispositif exprimental a t
dvelopp pour peser l'chantillon sous forme de poudre tout en
permettant l'observation des agrgats d'argile. Via la mesure de
l'volution du poids et la teneur en eau initiale, l'volution de la
teneur en eau peut tre obtenue et relie l'volution de la
dformation surfacique des agrgats argileux.
A partir de ces rsultats, quelques applications peuvent tre
imagines, telles que la corrlation avec des mesures d'volution
de la teneur en eau in situ en fonction de la profondeur.
L'extrapolation de l'chelle microscopique du MEBE l'chelle
macroscopique des structures pourrait tre tablie pour
l'valuation du retrait-gonflement, par exemple sur une zone
donne. Une autre application, dans le cas des argiles
industrielles , serait ltude et la modlisation du gonflement
des bentonites dans le cadre du stockage des dchets radioactifs.
2 PRINCIPALES CARACTRISTIQUES DES ARGILES
TUDIES
La montmorillonite grecque (MG) provient de lle de Milos,
dans larchipel des Cyclades, et prsente une origine
volcanique. Comme son nom lindique, elle est compose
principalement de smectite, une espce argileuse gonflante.
th
La bentonite MX80 provient du laboratoire de recherche

souterrain de Meuse/Haute-Marne de lANDRA qui lutilise
dans le cadre de ses recherches sur les scellements des centres
de stockage de dchets radioactifs haute activit vie longue
(HAVL). Elle est compose principalement de montmorillonite,
mais galement de quartz, de muscovite et dalbite en phases
mineures.
Largile verte de Romainville (AVR) provient de l'Est de Paris
(France), et prsente une origine sdimentaire. Les espces
argileuses en prsence sont la kaolinite, lillite, des
interstratifis illite/smectite et elle contient galement des
carbonates, du quartz et du feldspath.
La marne de Mormoiron (MM) provient de la commune de
Mormoiron, dans le Sud-Est de la France, et prsente une
origine fluviatile. Les espces argileuses en prsence sont la
montmorillonite et des interstratifis muscovite/illite et elle
contient galement des carbonates et du quartz.
Largile des Flandres (AF) provient de la commune de Merville,
dans le Nord de la France, et prsente une origine fluviatile. Les
espces argileuses en prsence sont la montmorillonite, la
kaolinite et lillite, et elle contient galement du quartz et des
carbonates.
Les principales caractristiques de ces argiles sont prsentes
dans le tableau 1. Les valeurs de teneur en eau initiales sont
celles mesures aprs broyage (< 200 m) dans les conditions
environnementales du laboratoire.
lor ou au carbone, indispensables en mode classique) et ainsi

de prserver la structure des chantillons et leur teneur en eau
naturelle. Par effet Peltier, il est possible dimposer une
temprature lchantillon et, par lintermdiaire du contrle de
la pression dans la chambre dobservation, deffectuer des
analyses sous hygromtrie contrle. Le MEBE ne permet
toutefois que des observations microscopiques de surface. Les
essais raliss peuvent tre monotones (hydratation, schage)
avec ou sans palier, mais galement cycliques.
Tableau 1. Caractristiques gotechniques des argiles tudies (daprs

Fleureau et al. 1993, Christidis et al. 1997, Audiguier et al. 2007, Makki
et al. 2008, Montes-H. 2002, Plat et al. 2009).
3.2
MG
MX80
AVR
MM
AF
Limite de
liquidit,
wL, %
170
75
32,9
90
Limite de
plasticit,
wP, %
60
40
14,5
45
Indice de
plasticit,
Ip
110
35
18,4
45
Surface
spcifique,
m/g
61,76
33
195
CEC,
meq/100 g
104,4
39,5
Teneur en
eau
initiale
(%)
12
7,67
0,04
3,96
2,27
3 ANALYSE DU RETRAIT/GONFLEMENT AU
MICROSCOPE ELECTRONIQUE BALAYAGE
ENVIRONNEMENTAL (MEBE)
3.1
Prsentation du MEBE
Le Microscope Electronique Balayage Environnemental

(MEBE) permet dobserver des chantillons dans des conditions
environnementales (temprature, pression, hygromtrie)
contrles. Le gaz, inject dans la chambre du MEBE lors de
nos expriences, est la vapeur deau, qui joue la fois le rle de
gaz dionisation (Figure 1) pour la formation de limage et de
fluide dhydratation de lchantillon.
Le mode environnemental permet lobservation des
chantillons sans aucune prparation pralable (mtallisation
248
Figure 1. Reprsentation schmatique de l'ionisation d'un gaz dans la

chambre du MEBE (Montes-H. 2002).
Dveloppement dun dispositif exprimental
Le MEBE permet des observations microscopiques, des

analyses chimiques et des mesures linaires ou surfaciques
dlments grce un logiciel de traitement dimage.
Cependant, toute mesure physique sur lchantillon (poids,
teneur en eau) est impossible. Cest pourquoi un nouveau
dispositif exprimental, brevet, a t dvelopp dans le MEBE,
afin de mesurer la teneur en eau de l'chantillon et la
dformation
surfacique
des
agrgats
simultanment
(Kazmierczak et al. 2011). Le principe est de peser l'chantillon
et dobtenir une volution et une intensit prcises de la teneur
en eau en fonction de l'humidit relative. Pour cela, le dispositif
exprimental est constitu dun capteur de force coupl un
bras de levier afin damplifier l'volution du poids (Figure 2B).
Le bras de levier est assez long pour obtenir une amplification
suffisante et est ralis en aluminium. Son extrmit contient
une coupelle avec une cavit o le microchantillon de sol (sous
forme de poudre) de trs petit volume (quelques millimtres
cube) est dpos et un plateau pour la zone d'observation. Pour
concentrer l'humidit relative sur l'chantillon, l'extrmit du
bras de levier est entoure d'un doigt de confinement en cuivre
qui est reli la platine Peltier du MEBE (Figure 2A). Faute
dune place suffisante, une partie du dispositif doit tre
externalise par rapport la chambre du MEBE. A cet effet et
pour maintenir les conditions environnementales (pression et
temprature), une enceinte en aluminium est installe sur le
MEBE (Figure 2C). Une centrale d'acquisition permet de suivre
simultanment plusieurs paramtres dans la chambre du
MEBE :
la temprature l'intrieur du doigt de confinement
(capteur PT100) ;
la temprature l'intrieur de la chambre du MEBE
(capteur PT100) ;
la temprature de la platine Peltier (donne par le
MEBE) ;
la pression l'intrieur de la chambre du MEBE (jauge
de pression) ;
l'volution de poids de l'chantillon (capteur de force)
(Figure 3).
th
(incrments de 10 Pa, 5 Pa et 1 Pa) (Figure 4). Avec un tel

protocole, une bonne prcision dans lhydratation des agrgats
argileux et dans les mesures de gonflement aux fortes humidits
relatives, peut tre obtenue. Limmersion de la zone
dobservation est retarde grce au taux dhydratation modr,
rendant ainsi possible lanalyse des images acquises lors de
lessai.
(A)
> 85%: en fonction de la pression
De 50% 85%: en fonction de l'humidit

relative
(B)
Figure 4. Humidit relative en fonction du temps : protocole

exprimental utilis pour les diffrentes argiles.
Les argiles sont analyses sous forme de poudre (granulomtrie

infrieure 200 m) et soumises un cycle dhumidificationschage. Afin deffectuer des observations au MEBE, la poudre
est dpose sur un scotch double face carbone pour viter le
dplacement des agrgats pendant lhumidification. La
temprature est maintenue constante 18C lintrieur du
doigt en cuivre et la pression est contrle pour obtenir
lhumidit relative dsire. Lhygromtrie initiale dans la
chambre du MEBE est denviron 50 % (celle du laboratoire). Le
cycle dhumidification-schage est appliqu sur lensemble de
lchantillon mais seule une zone est observe.
Lvolution de la surface apparente des agrgats argileux est
suivie en temps rel. La dformation surfacique induite par le
retrait et le gonflement est dduite de lanalyse des images
acquises (de 1500 2000 photos en moyenne) avec le logiciel
Scandium (Soft Imaging System). Le terme dformation
surfacique est utilis pour dfinir le changement relatif de
surface des agrgats au temps ti par rapport ltat initial
(Figure 5) :
(C)
Figure 2. Configuration du dispositif exprimental dans la chambre du
MEBE : doigt de confinement (A) ; capteur de force et bras de levier
(B); ferm avec lenceinte (C).
Figure 3. Mesure du capteur de force : volution du poids de

lchantillon en fonction du temps. Exemple de largile verte de
Romainville.
3.3
Protocole exprimental
S i S 0 S
S0
S0
(1)
o Si = dformation surfacique au temps ti; S0 = surface initiale

de lagrgat.
La dformation volumique v est gale :
Les argiles naturelles prsentent une cintique plus lente que les
argiles industrielles car elles prsentent une htrognit
minralogique que ne prsentent pas les argiles industrielles. De
fait, un protocole exprimental a t tabli afin de respecter
cette cintique naturelle.
Le protocole exprimental mis en uvre lors de lanalyse de ces
agrgats consiste appliquer graduellement des niveaux
dhumidit relative avec des paliers de temps dquilibre
rgulier (de 10 60 minutes selon le type dargile), afin de
laisser suffisamment de temps pour que les processus
dhydratation et de dshydratation atteignent un tat dquilibre
au sein des agrgats argileux. Le taux dhumidification est ainsi
plus lent et rgulier et semble plus proche des conditions in situ.
Le protocole exprimental comporte deux phases : pendant la
premire, les paliers de temps sont appliqus pour diffrents
incrments dhumidit relative (HR) (incrments de 10 % dHR
jusqu 85 % dHR). Dans la seconde phase, les paliers de
temps sont appliqus pour diffrents incrments de pression
v s
(2)
o > 1 est fonction du degr disotropie ou danisotropie du

gonflement ou du retrait.
Figure 5. Dfinition de la dformation sur la base des paramtres du

temps, de la surface et de l'humidit relative des agrgats argileux
249
th
ANALYSE EXPRIMENTALE
Ces expriences permettent donc de mesurer deux paramtres

intimement lis : l'volution de la dformation surfacique et
l'volution de la teneur en eau en fonction de l'humidit relative.
La qualit de la relation dpend fortement de la quantit de sol,
du temps dquilibre des paliers et de la stabilit des conditions
environnementales pendant l'exprience. Ces deux courbes
peuvent tre corrles pour obtenir l'volution de la dformation
surfacique en fonction de la teneur en eau (Figure 6).
Sur la base de nos essais, nous observons que, pour la mme
taille dagrgats argileux (50 m) et un temps dquilibre
moyen de 30 minutes, le gonflement serait variable selon le type
dargile. Les argiles homognes et/ou industrielles (MG et
MX80) prsenteraient une dformation surfacique et une teneur
en eau leves. En revanche, les argiles naturelles htrognes
prsenteraient une dformation surfacique et une teneur en eau
plus faibles.
Rappelons que le premier groupe se caractrise par une
composition principalement constitue de smectite et le
deuxime de divers minraux (kaolinite, illite, interstratifis
illite/smectite, carbonates, quartz, feldspath). Le gonflement
peut se dvelopper librement dans les argiles industrielles
grce la smectite (ou montmorillonite). En revanche, le
gonflement est probablement gn dans les argiles naturelles
htrognes cause de deux paramtres : (i) la prsence de
kaolinite et illite, qui sont des espces argileuses avec des
liaisons fortes; (ii) les carbonates connus pour constituer une
cimentation (Maison et al. 2010a). Cependant, lallure gnrale
des courbes parat semblable, montrant que la majeure partie
des dformations surfaciques se produirait aux fortes humidits
relatives (suprieures 75 % d'humidit relative). Il peut tre
soulign que les gonflements mesurs pour les argiles naturelles
htrognes dans les observations au MEBE, semblent
similaires aux gonflements mesurs avec des essais
domtriques de gonflement libre classiques (Maison et al.
2010b). Nous retrouvons la diffrence entre les deux types
d'argiles avec la gamme de teneur en eau (jusqu' 32 % pour la
bentonite MX80; jusqu' 12 % pour l'argile verte de
Romainville) probablement en raison de la prsence de smectite
qui permettrait une volution de la teneur en eau plus
importante.
Argiles
homognes /
industrielles
Argiles
naturelles
htrognes
Figure 6. Courbe reliant la variation de la dformation surfacique la

teneur en eau pour les diffrentes argiles tudies.
CONCLUSION ET PERSPECTIVES
L'tude du retrait-gonflement des sols argileux est ralise de

nos jours principalement par des essais en laboratoire qui
requirent plusieurs semaines pour obtenir des rsultats. Nous
proposons une approche diffrente qui consiste en ltude des
sols argileux dans un MEBE avec de petites quantits
250
d'chantillon. La dure de l'exprience est ainsi diminue

(jusqu' 24 heures). Les essais consistent mesurer l'volution
de la dformation surfacique en fonction de la teneur en eau
grce un nouveau dispositif exprimental. Les rsultats
obtenus sur les argiles naturelles htrognes sont cohrents
avec ceux obtenus l'chelle msoscopique (essais en
laboratoire).
A partir de ces rsultats, il est possible denvisager quelques
applications avec des approches simples afin dextrapoler ces
rsultats l'chelle macroscopique des structures. Une approche
analytique, base sur des mesures in situ d'volution de la teneur
en eau en fonction de la profondeur, pourrait permettre
l'valuation rapide du tassement diffrentiel sous une structure.
Elle pourrait tre utilise par des laboratoires ou des bureaux
d'tude comme une approche rapide qui peut tre base sur des
donnes facilement accessibles. Une approche numrique, base
sur l'analogie avec le comportement thermomcanique,
permettrait, quant elle, de mener des simulations numriques
sur plusieurs structures soumises au retrait-gonflement. Les
argiles industrielles , telles que la bentonite MX80, sont
utilises dans de nombreux domaines, notamment celui du
stockage de dchets radioactifs en guise de scellements au
niveau des alvoles de stockage. Ces essais pourraient permettre
doptimiser le choix de la meilleure bentonite pour cet usage
ainsi que linfluence de la chaleur dgage par les dchets sur le
comportement de la bentonite.
6
REFERENCES BIBLIOGRAPHIQUES
Audiguier M., Geremew Z., Laribi S., Cojean R. 2007. Caractrisation

au laboratoire de la sensibilit au retrait-gonflement des sols
argileux. Revue franaise de Gotechnique 120-121, 67-82.
Christidis G.E., Scott P.W., Dunham A.C. 1997. Acid activation and
bleaching capacity of bentonites from the islands of Milos and
Chios, Aegean, Greece. Applied Clay Science 12, 329-347.
Fleureau J.M., Kheirbek-Saoud S., Soemitro R., Taibi S. 1993. Behavior
of clayey soils on drying-wetting paths. Canadian Geotechnical
Journal 30, 287-296.
Kazmierczak J.B., Maison T., Delalain P., Laouafa F. 2011. Dispositif
et procd de caractrisation dun matriau. Brevet 10-54771, 14
juin 2011.
Makki L., Duc M., Droniuc N., Reiffsteck P., Maloula A., Magnan J.P.
2008. Essai de retrait pour une meilleure classification de la
sensibilit des sols la scheresse. SEC2008, Paris, France, 1-3
septembre, 257-264, Editions du LCPC.
Maison T., Laouafa F., Fleureau J.M., Delalain P. 2010a. Analyse au
niveau microscopique du comportement hydrique dagrgats
argileux. Journes nationales de gotechnique et de gologie de
l'ingnieur (JNGG 2010), 7-9 juillet 2010, Grenoble.
Maison T., Laouafa F., Fleureau J.M. 2010b. Volume changes of
swelling clayey soils at microscopic scale level. UNSAT 2010, 6-8
september 2010, Barcelona, Spain.
Montes-H. G. 2002. Etude exprimentale de la sorption d'eau et du
gonflement des argiles par microscopie balayage
environnementale (ESEM) et l'analyse digitale d'images.
Strasbourg, Ecole et observatoire des sciences de la terre.
Plat E., Le Roy S. et Vincent M. (BRGM), Audiguier M., Cojean R.,
Geremew Z. et Laribi S. (Armines), Tang A.-M., Cui Y.-J., Ta A.N. et Hemmati S. (Cermes), Fabre R. et Chrtien M.-C.
(GHYMAC), Pantet A., Proust D. et Fontaine C. (Universit de
Poitiers), Masrouri F., Mrad M. et Nowamooz H. (LAEGO),
Magnan J.P., Duc M. et Makki L. (LCPC), Fleureau J.-M., Guellati
Z., Nguyen D. et Souli H. (LMSSMat), Djeran-Maigre I. et Pothier
C. (Insavalor), avec la collaboration de Logeais P. (2009) Projet
ARGIC (module B, tches 16 et 17) - Caractrisation des
formations gologiques rgionales sujettes au retrait-gonflement
tudies dans le cadre du projet. Annexe B16 au rapport de
synthse du projet ARGIC. Rapport BRGM/RP-57223-FR, 204 p.,
1 ill., 12 fiches.
Romero E. et Simms P.H. 2008. Microstructure Investigation in
Unsaturated Soils: A Review with Special Attention to Contribution
of Mercury Intrusion Porosimetry and Environmental Scanning
Electron Microscopy. Geotechnical Geological Engineering 26,
705727.
th
Residual shear strength behavior of swelling soils

Comportement
rsiduelle
au cisaillement
des gonflants
sols gonflants
Comportement de
de rsistance
force rsiduelle
de cisaillement
des sols
Markou I.N.
Democritus University of Thrace, Xanthi, Greece
ABSTRACT: Three clay soils from North-Eastern Greece, presenting high or very high swelling potential, were used in this
investigation. The residual strength behavior of these soils was evaluated by performing ring shear tests on remolded specimens. The
specimens were prepared either with the optimum water contents resulted from Standard compaction test (26% - 31%) or with higher
water contents (46% - 47%), derived from the specimen moistures at the end of the preceding tests with optimum water contents.
Ring shear tests were performed using a Bromhead apparatus, according to the procedures described in BS 1377 Part 7. The results
obtained from the consolidation stage of the ring shear tests conducted in swelling clays, do not present the typical form attained in
ordinary clays. Although the failure envelopes in residual state present curvature in some cases, they can be considered as linear for
effective normal stresses up to 250 kPa. The resulting values of residual friction angle do not exceed 14o and, in some cases, are
affected by the water content of the specimens used in the tests.
RSUM: Trois sols argileux provenant du Nord-Est de la Grce et prsentant un potentiel de gonflement haut ou bien trs
haut , ont t utiliss dans le cadre de ce travail. Le comportement de la force rsiduelle de cisaillement a t valu laide des
essais de cisaillement annulaire sur des chantillons remus. Les chantillons taient prpars soit avec le pourcentage de contenu de
leau optimal, rsultant par lessai de compactage standard (26 %-31 %), soit avec des pourcentages de contenu de leau plus levs
(46 %-47 %) qui drivent par lhumidit des chantillons la fin des essais prcdents avec des contenus de leau optimaux. Les
essais de cisaillement annulaire ont t raliss laide de lappareil de Bromhead, selon la procdure dcrite dans BS 1377-Partie 7.
Les rsultats obtenus par le stage de consolidation du cisaillement annulaire, conduits sur des argiles gonflantes, natteignent pas la
forme classique des argiles ordinaires. Bien que lenveloppe de rupture prsente une courbe dans quelques cas, elles peuvent tre
considres comme linaires pour des contraintes normales effectives allant jusqu 250 kPa. Les valeurs rsultantes de langle de
friction rsiduelle, nexcdent pas 14o et, dans quelques cas, elles sont affectes par le contenu de leau des chantillons utiliss lors
des essais.
KEYWORDS: soil behaviour, swelling soils, expansive clays, residual shear strength, laboratory investigation, ring shear tests
1
Lupini et al. (1981) suggested that all these correlations can not
be general.
Soils containing expansive clay minerals, called swelling or
expansive soils, have created problems of uplift and instability
on many structures, because there is an opportunity for water to
become available and thus facilitate the expansion (swelling) of
the clay minerals. Swelling clays are often subject to extreme
changes in shear strength because of extreme moisture changes.
In addition to the strength factors related to the minerals
involved, the interrelation of moisture, density and load plays an
important part in the strength (Gibbs et al. 1960). Swelling soils
also exist in Greece and have created a number of problems
and/or failures in projects (Christodoulias and Gasios 1987,
Stamatopoulos et al. 1989). Therefore, the properties and the
swelling characteristics of swelling soils from Greece were
investigated (Xeidakis 1993, Tsiambaos and Tsaligopoulos
1995, Kollaros and Athanasopoulou 1997), preventive and
corrective measures against swelling were applied
(Christodoulias and Gasios 1987, Stamatopoulos et al. 1989)
and the treatment of swelling soils using various methods for
reducing swell potential and increasing strength was examined
(Stamatopoulos et al. 1992). It is, therefore, of merit to
investigate the residual shear strength behavior of swelling
soils. Toward this end, a laboratory investigation was conducted
in order to evaluate the residual shear strength parameters of
selected swelling soils having different moisture contents and
the results obtained and observations made, are reported herein.
INTRODUCTION
The residual shear strength of cohesive soils plays a part in the

stability of old landslips, in the assessment of the engineering
properties of soil deposits which contain pre-existing shear
surfaces, and in the assessment of the risk of progressive failure
in stability problems in general. Extensive investigations on the
residual strength have been carried out and directed towards: (a)
developing suitable laboratory techniques for its measurement,
(b) identifying the influence of geomechanical features on the
residual strength, (c) understanding the basic mechanisms
involved in the mobilization of shear strength during the
residual stage of deformation and (d) establishing correlations
with soil index properties. Although the residual strength has
been studied in the laboratory using experimental techniques
such as the triaxial test procedure proposed by Chandler (1966),
the ring shear test and the multi-reversal direct shear test are
widely used to measure the residual strength of soils. Published
results (Lupini et al. 1981, Skempton 1985) show that residual
shear behavior changes significantly as the clay content of
cohesive soil increases, and that a change in shearing
mechanism also occurs. Apart from the clay fraction, the
mineralogy of the clay also has an effect on residual strength,
especially when the clay fraction is large (Kalteziotis 1993). A
number of correlations between residual strength and clay
fraction, plasticity index and liquid limit have been proposed
(e.g. Skempton 1964, Lupini et al. 1981, Hawkins and Privett
1985, Skempton 1985, Mesri and Cepeda-Diaz 1986), but
251
1
th
Table 3. Testing program.
SOIL PROPERTIES
Three soils from the region of Thrace (North-Eastern Greece)

were used in this investigation because of their swelling
characteristics. According to the properties presented in Table 1,
all three soils can be considered as clay soils since the clay
fraction (grain sizes <0.002 mm) ranges from 70% to 80%. The
P1-S2 and P2-S2 soils are classified as CH, while the P2-S1 soil
is classified as MH in accordance with the Unified Soil
Classification System. The values of maximum dry unit weight,
dmax, and optimum moisture content, wopt, were obtained by
conducting compaction tests with standard compaction effort.
All three soils present high or very high swelling
potential, according to the known correlations of soil index
properties with swelling characteristics (Papakyriakopoulos and
Koudoumakis 2001). One-dimensional swell tests (ASTM
D4546, Method A) were conducted using laboratory-compacted
specimens (ASTM D698) of these soils (Koudoumakis 2000).
The results obtained from specimens with initial moisture
contents similar to the optimum moisture contents of the soils
(Table 1), are presented in Table 2. It can be observed that the
swell pressure ranges from 170 kPa to 820 kPa and the free
swell ranges from 11% to 19%. These values are indicative of
the swelling potential of the soils used in this investigation.
3
EXPERIMENTAL PROCEDURES
The residual shear strength behavior of the soils was evaluated

by performing ring shear tests on remolded specimens. The use
of remolded specimens allowed the adequate control of the
specimen moisture content. The specimens were prepared with
the moisture contents shown in Table 3. At first, the optimum
moisture content, resulted from the Standard compaction test
(Table 1), was used for each soil. The following specimens were
prepared with larger moisture content, obtained for each soil as
the average value of the specimen moisture contents at the end
of the preceding tests started with optimum water content. The
specimens were placed in the cell of the ring shear apparatus by
kneading the soil with the desired moisture content evenly to fill
Table 1. Properties of soils.
Soil designation
P1-S2
P2-S1
P2-S2
Sampling depth (m)
1.5-3.0
0.0-1.6
1.6-3.0
Specific gravity Gs
2.82
2.68
2.73
Grain size
analysis
Sand (%)
11.5
5.6
3.8
Silt (%)
9.3
23.9
25.8
Clay (%)
79.2
70.5
70.4
Atterberg
Liquid limit wL
86
82
87
limits
Plasticity index Ip
63
42
55
Compaction
Maximum dry unit

weight dmax (kN/m3)
13.80
13.95
14.27
Optimum moisture
content wopt (%)
31.2
27.0
25.8
characteristics
Table 2. Typical results of one-dimensional swell tests.

Soil designation
P1-S2
P2-S1
P2-S2
Initial moisture content w0 (%)
30.63
31.13 24.02
27.48
Initial void ratio e0
0.990
0.946 1.054
1.045
Initial degree of saturation Sr0 (%)
87.25
88.19 61.08
71.79
Dry unit weight d (kN/m3)
13.87
13.52 12.81
13.09
Swell pressure Ps (kPa)
820
335
170
410
Specimen height increase h (mm)
3.85
2.20
2.52
2.83
Free swell h/h0 (%)
19.23
11.60 13.28
14.17
252
Soil
Moisture content w (%)
P1-S2
P2-S1
P2-S2
Effective normal stress n (kPa)
31.2
25
75
250
800
45.8
25
50
100
200
27.0
25
75
200
600
47.1
25
50
100
200
25.8
25
75
200
600
46.4
25
50
100
200
the annular cavity between the confining rings of the cell, using
a small spatula (BS 1377 Part 7).
Ring shear testing was based on the procedure described in
BS 1377 Part 7. The tests were conducted using a Bromhead
ring shear apparatus (Bromhead 1979) and annular specimens of
5 mm thickness with internal and external diameters of 70 mm
and 100 mm, respectively. The specimens were consolidated for
a period of 24 hours under the effective normal stresses, n,
presented in Table 3 and, subsequently, were sheared at a constant rate of angular displacement equal to 0.048 degrees/min.
The selection of this rate of angular displacement was dictated
by the unconventional results of the consolidation stage of the
tests, described in the next section, and was based on the fact
that this rate has been found satisfactory for a large range of
soils (BS 1377 Part 7). One of the objectives of the present
study was to investigate the residual strength behavior of the
soils for a wide range of effective normal stresses reaching or
even exceeding the values of swell pressure shown in Table 2.
Although this goal was accomplished for the specimens
prepared with the optimum moisture contents (Table 3), the use
of effective normal stresses larger than 200 kPa was not feasible
in the tests performed with soil moisture contents ranging from
46% to 47% because of excessive specimen loss during testing.
4
Typical specimen length change log time curves obtained

from the consolidation stage of ring shear tests conducted with
optimum moisture content and with moisture content ranging
from 46% to 47%, are shown in Figures 1a and 1b, respectively.
It can be observed (Figure 1a) that, in several cases, the curves
do not present the usual form attained in ordinary clays, either
due to the expansion of specimens or because the consolidation
was not completed within the predetermined period of 24 hours.
It can also be observed (Figure 1b) that, in general, the classic
type of curves appears in the test performed under the highest
effective normal stress of each test series. The overall behavior
of the three soils in the consolidation stage of the ring shear
tests is summarized in Table 4. More specifically, the tests are
divided in those exhibited specimen expansion and those
demonstrated specimen compression during consolidation. It is
evident that specimen expansion occurred almost in all series of
tests and that the interchange of expansion and compression
takes place at higher values of effective normal stress in the
tests conducted with optimum water contents. This can be
attributed to the denser condition of the specimens in these tests,
since their values of initial dry unit weight, d0, range from 1.24
gr/cm3 to 1.59 gr/cm3 and are larger than those (d0= 1.10
gr/cm3 1.27 gr/cm3) in the tests conducted with moisture
contents ranging from 46% to 47%.
The residual shear stress, r, is the minimum constant value
of shear stress, determined at the end of the shearing stage of
each test and used in the drawing of the residual failure
envelopes of soils. As typically shown in Figure 2a, the residual
failure envelopes resulted from the ring shear tests conducted on
specimens with optimum water contents are curved, in
agreement with the observation of Stark and Eid (1994) that the
non-linearity of failure envelopes is significant for soils with a
th
70
'n=25 kPa
'n=75 kPa
'n=200 kPa
'n=600 kPa
-0,4
-0.4
(a)
0,0
0
P2-S2
w = 25.8%
0,4
0.4
0,8
0.8
Residual shear stress, r (kPa)
Specimen length change (mm)a
-0,8
-0.8
P2-S2, w = 25.8%
(a)
60
50
40
30
Curved envelope
Linear envelope
20
r = 0.1181'n
10
R = 0.9269
1.2
1,2
0,1
0.1
10
100
Time, t (min)
1000
600
40
(b)
0.2
0,2
P1-S2
w = 45.8%
0.4
0,4
'n=25 kPa
'n=50 kPa
'n=100 kPa
'n=200 kPa
0.6
0,6
0.8
0,8
Residual shear stress, r (kPa)
0,00
Specimen length change (mm)a
100
200
300
400
500
Effective normal stress, 'n (kPa)
10000
w = 25.8%
r = 0.17'n
w = 46.4%
r = 0.137'n
30
R = 0.9729
R = 0.9884
20
10
P2-S2
(b)
0
0
1,01
0,1
0.1
10
100
Time, t (min)
1000
10000
Table 5. Values of residual friction angle R (degrees).

Soil
Table 4. Soil behavior during the consolidation stage of ring shear tests.
P1-S2
200
Figure 2. Typical residual failure envelopes from ring shear testing.
Figure 1. Typical results from the consolidation stage of ring shear tests.
Soil
50
100
150
Moisture content w (%)
Expansion
Compression
31.2
25, 75 a
250, 800 a
45.8
25, 50
100, 200
27.0
25, 75, 200
600
47.1
---------
25, 50, 100, 200
25.8
25, 75, 200
600
46.4
25
50, 100, 200
P1-S2
P2-S1
P2-S2
wopt
wopt
7.3
8.8
8.4
9.1
6.7
9.6
w= 46% 47%
Difference (%)
8.8
17.0 c
0.0 d
8.7
7.7
4.4 d
30.2
18.8 d
7.8
For all values of effective normal stress used in the tests

For values of effective normal stress up to 250 kPa
c
Between the two angle values determined for wopt
d
Between angles determined for wopt (n 250 kPa) and w= 46%-47%
b
P2-S1
P2-S2
a
are also linear because the resulting correlation coefficients

range from 0.98 to 0.99. Linear residual failure envelopes were
also obtained from ring shear tests conducted on Greek clayey
soils with effective normal stresses ranging from 50 to 400 kPa
(Kalteziotis 1993).
The values of the residual friction angle, R, obtained in this
investigation, are summarized in Table 5. These values are
similar to those reported by other researchers (Bishop et al.
1971) and were determined after it was ascertained that the
values of residual cohesion, cR, are negligible and can be set
equal to zero. If the curvature of the failure envelopes for
optimum water contents is not taken into consideration and all
experimental data are fitted with a linear failure envelope
(Figure 2a), the correlation coefficients are satisfactory (R2 >
0.92) but the resulting R values are even by 30% lower than
Values of effective normal stress n (kPa) used in the tests
clay fraction > 50% and a liquid limit between 60 and 220. The
fitting of the same experimental data with a linear failure
envelope is applied in Figure 2b, without considering the
measurement corresponding to the maximum effective normal
stress. As a result, a very high correlation coefficient, R2, is
obtained indicating that the failure envelopes of the soils with
optimum water contents can be considered as linear for
effective normal stresses up to 250 kPa. Typical residual failure
envelope obtained from specimens prepared with moisture
contents ranging from 46% to 47%, is also presented in Figure
2b. It can be stated with confidence that these failure envelopes
253
th
the values obtained for effective normal stresses up to 250 kPa

(Table 5). The relatively low difference (7.7%) in P2-S1 soil is
attributed to the not so pronounced curvature of its failure
envelope. Xeidakis (1993) has reported that the residual friction
angle decreases as the moisture content of swelling soils
increases. This effect of moisture content on the residual friction
angle was verified in the present research only for P2-S2 soil
(Table 5), probably because the variation of moisture content
used, ranges from 14% to 21% and is low, compared to the
variation of 35% used by Xeidakis (1993).
The results of residual shear strength tests are often
presented by plotting the values of residual friction coefficient,
r/n, against the corresponding values of effective normal
stress, n, (Lupini et al. 1981, Hawkins and Privett 1985).
Thus, the complete residual failure envelopes (Hawkins and
Privett 1985) can be obtained and the effect of effective normal
stress on residual shear strength can be evaluated. The residual
friction angle can be expressed as (Hawkins and Privett 1985):
R tan 1
r
n
(1)
The results of ring shear tests conducted on specimens with

optimum water contents were analyzed using Equation 1 and
the resultant values of residual friction angle are presented in
Figure 3. It is observed that the residual friction angle decreases
with increasing effective normal stress and that P2-S2 soil
presents the most pronounced curvature of failure envelope and,
as a result, the maximum variation of residual friction angle.
Finally, it appears that the lowest constant residual strength
(Hawkins and Privett 1985) was not reached by the tested soils
for the range of effective normal stresses used in this study.
Optimum water
contents
Residual friction angle, 'R ( )
14
12
P1-S2
P2-S1
P2-S2
10
6
0
200
400
600
800
Figure 3. Complete residual failure envelopes of swelling soils tested

with optimum water contents.
CONCLUSIONS
Based on the results of this investigation and within the

limitations posed by the soils used and the number of tests
conducted, the following conclusions may be advanced:
The behavior of swelling soils in the consolidation stage of
ring shear tests depends on the specimen moisture content
and the effective normal stress used.
The residual failure envelopes obtained for swelling soils,
tested with the optimum moisture contents resulted from the
Standard compaction test, are curved. Consequently, the
residual friction angle decreases with increasing effective
254
normal stress and does not attain a minimum constant value

for the range of effective normal stresses used in this study.
All residual failure envelopes obtained in this investigation
can be considered as linear for effective normal stresses up
to 250 kPa, regardless of the moisture content of soils.
The residual friction angle does not always decrease as the
moisture content of soil increases.
6
ACKNOWLEDGEMENTS
The ring shear tests described in this paper were conducted at

the Soil Mechanics & Foundation Engineering Laboratory of
Democritus University of Thrace by the students M. Georgiadou and Ch. Trigousi, whose careful work is acknowledged.
7
REFERENCES
ASTM D698 1998. Standard test method for laboratory compaction

characteristics of soil using Standard effort (12,400 ft-lbf/ft3 (600
kN-m/m3)). Annual Book of ASTM Standards 04.08 (I), 77-84.
ASTM D4546 1998. Standard test methods for one-dimensional swell
or settlement potential of cohesive soils. Annual Book of ASTM
Standards 04.08 (I), 663-669.
BS 1377 1990. Soils for Civil Engineering Purposes Part 7: Shear
Strength Tests (Total Stress). British Standards Institution, London.
Bishop A.W., Green G.E., Garga V.K., Andresen A. and Brown J.D.
1971. A new ring shear apparatus and its application to the
measurement of residual strength. Gotechnique 21 (4), 273-328.
Bromhead E.N. 1979. A simple ring shear apparatus. Ground
Engineering 12 (5), 40-44.
Chandler R.J. 1966. The measurement of residual strength in triaxial
compression. Gotechnique 16 (3), 181-186.
Christodoulias J. and Gasios E. 1987. Investigation on the motorway
damage due to expansive soil in Greece. Proc. 6th Int. Conf. on
Expansive Soils, New Delhi, 241-245.
Gibbs H.J., Hilf J.W., Holtz W.G. and Walker F.C. 1960. Shear strength
of cohesive soils. Proc. Research Conf. on Shear Strength of
Cohesive Soils, Boulder, 33-162.
Hawkins A.B. and Privett K.D. 1985. Measurement and use of residual
shear strength of cohesive soils. Ground Engineering 18 (8), 22-29.
Kalteziotis N. 1993. The residual shear strength of some Hellenic clayey
soils. Geotechnical and Geological Engineering 11, 125-145.
Kollaros G. and Athanasopoulou A. 1997. The character and
identification of swelling soils in road construction projects. Proc.
Engineering Geology and the Environment, Marinos et al. (eds.),
Balkema, 187-192.
Koudoumakis P. 2000. Personal communication. Democritus
University of Thrace, Xanthi, Greece.
Lupini J.F., Skinner A.E. and Vaughan P.R. 1981. The drained residual
strength of cohesive soils. Gotechnique 31 (2), 181-213.
Mesri G. and Cepeda Diaz A.F. 1986. Residual shear strength of clays
and shales. Gotechnique 36 (2), 269-274.
Papakyriakopoulos P. and Koudoumakis P. 2001. Swelling soils in the
area of Thrace. Proc. 4th Hellenic Conf. on Geotechnical and
Geoenvironmental Engineering 1, Athens, 163-170. (in Greek)
Skempton A.W. 1964. Long-term stability of clay slopes. Gotechnique
14 (2), 75-101.
Skempton A.W. 1985. Residual strength of clays in landslides, folded
strata and the laboratory. Gotechnique 35 (1), 3-18.
Stamatopoulos A., Gassios E., Christodoulias J. and Giannaros H. 1989.
Recent experiences with swelling soils. Proc. 12th Int. Conf. on
Soil Mechanics and Foundation Engineering 2, Rio de Janeiro,
655-658.
Stamatopoulos A., Christodoulias J. and Giannaros H. 1992. Treatment
of expansive soils for reducing swell potential and increasing
strength. Quarterly Journal of Engineering Geology 25, 301-312.
Stark T.D. and Eid H.T. 1994. Drained residual strength of cohesive
soils. Journal of Geotechnical Engineering 120 (5), 856-871.
Tsiambaos G. and Tsaligopoulos Ch. 1995. A proposed method of
estimating the swelling characteristics of soils: some examples from
Greece. Bulletin of the International Association of Engineering
Geology 52, 109-115.
Xeidakis G. 1993. Swelling soils in Thrace, Northern Greece: origins
and properties. Proc. Geotechnical Engineering of Hard Soils
Soft Rocks 1, Anagnostopoulos et al. (eds.), Balkema, 863-870.
Rational expression of time-dependent behavior from normally consolidated soil to

naturally deposited soil
Expression rationnelle du comportement dpendant du temps des sols normalement consolids et
dposs naturellement
Nakai T., Shahin H.M.
Department of Civil Engineering, Nagoya Institute of Technology, JAPAN
Kyokawa H.
Institute of Industrial Science, University of Tokyo, JAPAN
ABSTRACT: Fundamental concepts of the ordinary elasto-viscoplastic modelings, which are the non-statonary flow surface model
and the over-stress type model, are explained in one-dimensional (1D) compression of normally consolidated soil for easy
understading. Then, a new approach to describe various time-dependent behaviors of soils is presented extending the advanced
elastoplasitic theory based on the subloading surface concept without employing usual elasto-viscoplastic theories. Throughout the
simulations of various time-dependent behaviors of normally consolidated clay, the features of these three types of time-denpendent
models are clarified. In addtoin, 1D anlyses using the proposed model are carried out not only for normally consolidated clay but also
for over-consolidated clay and strauctured clay such as nuturally deposited clay. The analytical results simulate well the features of
time-dependent behavior of various clays including the delayed settlement of sturctured clay.
RSUM: Les concepts fondamentaux de la thorie classique de llasto-viscoplasticit que sont la surface potentiel et la notion de
surcontrainte sont expliqus pour une meilleure comprhension partir dune compression 1D sur un sol normalement consolid.
Ensuite, une nouvelle approche permettant de dcrire diffrents comportements fonction du temps des sols est prsente, tendant la
thorie de llasto-plasticit base le concept de la subsurface de charge sans sappuyer sur les concepts usuels de llastoviscoplasticit. A partir de simulations de diffrents comportements dpendant du temps dargiles normalement consolides, les
lments propres ces trois types de modles sont clarifis. De plus, des analyses 1D partir du nouveau modle sont menes non
seulement sur des argiles normalement consolides mais aussi surconsolides et sur des argiles structures, telles que des argiles
naturelles. Les rsultats analytiques dmontrent que les principales caractristiques du comportement dpendant du temps de ces sols
sont bien reproduites, y compris le tassement diffr des argiles structures.
KEYWORDS: constitutive modeling, time-dependent behavior, nornally consolidated clay, over consolidated clay, structured clay
1
INTRODUCTION
Previous time-dependent models for soils are mostly formulated

based on one of the following two viscoplastic concepts: the
non-stationary flow surface type and the over-stress type. In the
non-stationary flow surface models (e.g., Sekiguchi 1977), the
flow surface is function of time in addition to stress and plastic
strain, and flow rule is assumed on this flow surface, in the
same way as elastoplastic models. Another type of model is
based on the over-stress viscoplastic theory by Perzna (1963)
(e.g., Adachi and Oka 1982), in which the strain rate effects are
described by assuming a Bingham like body and utilizing the
difference of sizes of the static yield surface related to the
current plastic strains and the dynamic yield surface related to
the current real stresses.
In the present paper, for understanding the features of the
above models, one-dimensional (1D) formulation of these
models are firstly described for the case of a normally
consolidated clay. A simple model to describe time-dependent
behavior of normally consolidated soils, over consolidated soils
and structured soils such as naturally deposited clays is
presented, not using the usual viscoplastic theories but focusing
on the experimental results that normally consolidation line
(NCL) on eln plane shift depending on the strain rate and
using the subloading surface concept by Hashiguchi (1980).
2
EXPLANATION OF ORDINARY VISCOPLASTIC

MODELS IN ONE-DIMENSIONAL CONDITION
Formulation of 1D time-dependent models for normally

consolidated soil based on the ordinary viscoplastic theories is
shown here. Figure 1 show the normal consolidation line (NCL)
2551
NCL
; ( p
e)
e) p
ref
Figure 1. e-ln relation and creep behavior of normally consolidated

clay
on e-ln plane at reference state in which the rate of void ratio

p
( e) ref
).
change (or strain rate) is sufficiently small ( (e) p
Here, the clay at point A has a finite strain rate, and its creep
behavior (e-lnt relation) is illustrated in the interpolated diagram,
where is the coefficient of secondary compression. The stress,
void ratio, time and rate of plastic void ratio change at initial,
current and reference states are denoted by (0, e0, t0, (e)0p ),
p
), respectively. Now,
(, e, t, (e) p ) and (ref, eref, tref, (e)ref
let us formulate time-dependent models of normally
consolidated soil based on the ordinary viscoplasticities under
the condition of Figure 1.
2.1
Non-stationary flow surface model (1D Sekiguchi

model)
It is experimentally known that for normaly consolidated clays

there is a unique relation between stress, void ratio (or strain)
and strain rate in one-dimensional compresson (e.g., Bjerrum
1967), and the well-known linear relation in e-ln plane (NCL)
shift due to the stain rate. Now, points I and P in Figure 2
NCL
;
N CL
( e) p
; (
e) p
Also, the following equation is obtained from the interpolated

diagram in Figure 1:
tref
(e) p
ln
ln
(8)
p
t
(e) ref
e) p
0
From Eqatoins (7) and (8), the rate of plastic void ratio change
is expressed as
e) p
Figure 2. Explanation of non-stationary flow surface model
indicate the initial (=0, e=e0) and the current (=, e=e)
states, respectively. The plastic change in void ratio from the
initial state to the current state can be expressed by
t
(e) p e0 e ( e)e F ln
t0
(e)0p

F ln
where, F ( )ln (1)
p
( e)
0
Here, and denote compression and swelling indices. By

solving this ordinary differential equation with variables of time
and plastic void ratio change (plastic strain), the plastic change
in void ratio is given in the following form as a function of
stress term F and time t (Sekiguchi 1977):
( e ) 0p t
F
( e) p ln
exp 1

F
( e )0p t
ln S where, S
exp 1
(2)
Then, the increment of plastic void ratio is calculated as

( e) p
( e) p
d ( e) p
d
dt
t
1 1
1 1
( ) 1 d 1 dt
(3)
S
S t
The elastic increment of plastic void ratio change is given by

1
d (e)e
d
(4)
Total increment is given by a summation of the plastic

component of Equation (3) and the elastic component of
Equation (4). As is seen from Equation (3), the non-stationary
flow surface model contains time variable t, which is not
objective. The multi-dimensional model in which the stress term
F is replaced by the yield function of the Cam clay using (p, q)
corresponds to so-called Sekiguchi model (1977).
2.2
Over-stress type model
As is seen from Figure 3, viscoplastic strain rate of the Bingham

body is given by
1
c
(5)
1
p
c
c
Here, the symbol < > denotes the Macaulay bracket, i.e. A=A
if A>0; otherwise A=0, and c and are the yield stress and
the coefficient of viscosity. The over-stress type of
viscoplasticity gives the viscoplastic strain rate as follows
generalizing the Bingham viscosity:
p

( )
(6)
( )
( ) if >0,
( ) 0 if 0
where

p
p
(e)
(e) exp
(e)ref
exp
ln (e)ref
(9)
s

s
Here, the current stress is called dyanamic stress, and the
stress which is determined from the current void ratio s is
called static stress. These correspond to dynamic yield
function and static yield function in multi-dimensional overstress type vicsoplastic model. If it is assumed that Equation (9)
holds not only under creep condition but also under other
conditions, the increment of plastic void ratio change is given
by

p
(10)
d ( e) p
( e) ref
1 dt where = 1
s
The straight line with slope of in Figure 4 indicates NCL at

reference state in which the strain rate is sufficiently small. The
condition on this line is called static. Now, it is assumed that
clay at point P in Figure 4 satisfies the creep behavior in Figure
1. From Figure 4, the difference between the current void ratio
and that on NCL (-) at the same stress is expressed as
e eref ( )ln
(7)
s
256
p
ref
The elastic component is given by Equation (4). it is also

shown by Mimura and Sekiguchi (1985) that Equation (10)
corresponds to Equation (3) in which the term of stress
increment is eliminated. Since the plastic strain increment is
related with time alone, there is no loading condition in this type
of models.
N CL
e) p
re
Figure 3. Bingham body
; ( p
e)
Figure 4. Explanation of over-stress

type model
NEW TYPE OF TIME-DEPENDENT MODEL
As mentioned above, NCL shifts depending on the strain rate.

The two straight lines in Figure 5 indicate NCLs corresponding
(e)0p ) and the
to the initial state (point I; =0, e=e0, (e) p
(e) p ). The difference
current state (point P; =, e=e, (e) p
of these two lines are expressed as (-0). To model not only
normally consolidated clay but also over consolidated clay, the
state variable (=eN-e) which is the difference between the
current void ratio and that on NCL is introduced. Furthermore,
to describe the behavior of structured clay such as naturally
deposited clay, another state variable , which represent an
imaginary increase of density due to bonding effect, is
employed. In the case of =0 and =0, Figure 5 results in
Figure 2. From Figure 5, the plastic change of void ratio is
expressed as
e e
eN 0 eN 0 0 e e
e
(11)
0 0 ln
0
0
Denoting F ( )ln( / 0 ) in the same way as Equation
(1) and H=(-e)p, the following equaton (1D yield function) is
obtaied:
f F H ( 0 ) ( 0 ) 0
(12)
ln
From the consitency condition (df = 0),

df dF dH d d 0
(13)
Now, it can be considered that the evolution rule of with the

development of plastic deformation for structured soil is
determined not only by the state variable related to real
Table 1. Material parameters for clay
p
(e) p
(e) ref
0.85
Figure 5. Explanation of the proposed model
0.8
density but also by the state variable related to the imaginary

increase of density (bonding effect). Larger values of the state
variables and can be assumed to have more effects for the
degradation of and . Then, the evolution rules of and
can be given in the following form, using increasing functions
G() and Q() which satisfy G(0)=0 and Q(0)=0, respectively:
d
G Q d ( e) p
(14)
0.75
4
4.1
(b) Over-stress
0.6
0.55
Ideal - Drained
102
0.55
103
(kPa)
0.85
102
0.75
(kPa)
103
no creep
0.002%/min
0.02%/min
2.0%/min
2.0 - 0.002 - 2.0%/min
0.8
d e d e d e
p
d
(19)
e

dt
1 G Q

1
G
Q
In order to simplify the numerical calculations, the known rate

(e) p* in the previous calculation step can be used, instead of
the current rate, as described. The error caused by using the
previous known rate is automatically corrected by the
subloading surface concept and is negligible in the calculations,
because an incremental method with small steps is used in nonlinear analysis. Time variable t which is not objective is not
included, and the loading condition is given as d(-e)p >0. The
details of the present modeling are described in Nakai et al.
(2011a) and Nakai (2012).
=0.0030
0.7
0.65
=0.0030
0=0.0
0=0.0
0.7
0.65
0.6
(c) Proposed
Ideal - Drained
0.55
102
(kPa)
103
Figure 6. Simulations of strain rate effect of NC clay

4
220
=0.0030
0=98kPa
=98kPa
Proposed Model
Sekiguchi 1D Model
Overstress 1D Model
Proposed Model
Sekiguchi 1D Model
Overstress 1D Model
200
Ideal - Drained
Ideal - Drained
180
200
140
(1 minute)
100
0
0
0
160
(%)
(kPa)
0.7
Ideal - Drained
(%)
(a) Non-stationary
0.6
flow surface
Simply, the evolution rule of is also given using Q() by

d
Q d (e) p
(15)
The distance (-0) of the two NCLs in Figure 5 is expressed as
a function of the elapsed time t or the rate of plastic change in
void ratio (-e)p, referring to the interpolated diagram in Figure
1.
t
(e)0p
ln(e) p ln(e)0p (16)
0 ln ln
t0
(e) p
Its increment is given by
1
d
dt dt (e) p dt
(17)
t
t
Now, it is assumed that Equations (16) and (17) hold not only
for normally consolidated soils but also for over consolidated
soils and naturally deposited soils. Substituting Equations (14)
and (17) into Equation (13), the increment of the plastic void
ratio can be obtained as
1
1
( ) d (e) p dt ( ) d (e) p* dt
p
(18)
d (e)
1 G( ) Q()
1 G() Q()
p*
Here, ( e) denotes the rate of the plastic void ratio change at
the step immediately before the current calculation step. Finally,
the total increment of void ratio is given by the following
equation:
0.75
=0.0030
0.65
no creep
0.002%/min
0.02%/min
2.0%/min
2.0 - 0.002 - 2.0%/min
0.8
(kPa)
0.85
no creep
0.002%/min
0.02%/min
2.0%/min
2.0 - 0.002 - 2.0%/min
120
1
2
t (min)
3
100
0
Time (min)
(4 minutes)
0
0
=0.0030
0=98kPa
10t (min)20
100
200
300
Time (min)
400
Figure 7. Simulations of creep and stress relaxation of NC clay

0.82
no creep
Proposed Model
Sekiguchi 1D Model
Overstress 1D Model
0.8
0.78
0.76
=0.0030
=98kPa
=98kPa
H=1cm
0.74 -3
10
10-2
10-1
10
102
t (min)
103
104
Figure 8. Simulations of oedometer test on NC clay
rates, arranged in terms of the e-log relation. In the figure, the

solid straight lines (no creep) show the relation without time
effect, and the thick lines show the results in which strain rate
decreases and increases again along the way. In every model,
the lines of constant strain rate are parallel to each other, which
is a good agreement with published experimental results (e,g.,
Bjerrum, 1967). It is also seen that when the strain rate
decreases at a certain point, the curve follows exactly the same
path which is supposed to follow for the new strain rate.
However, when the strain rate increases again to the previous
rate, the result of the non-stationary flow surface model does
not return to the target curve corresponding to the respective
strain rate which is called the phenomenon of isotache. The
result of the over-stress model shows sudden change of stress,
SIMULATIONS OF TIME-DEPENDENT BEHAVIOR

Analysis of normally consolidated clay by three models
Table 1 shows material parameters for Fujinomori clay, which

are common to the three models. The initial rate of plastic void
p
p
(e)ref
=1.0x10-7/min.
ratio change is assumed as (e)0
Linear increasing functions, G()=100 and Q()=40, are
employed for the case to consider density and bonding effects.
Figure 6 shows the results of one-dimensional compression
behavior of normally consolidated (NC) clay for different strain
257
the initial void ratio. Figure 11 shows the stress strain relation
of these structured clays under large and small strain rate. The
delayed settlements of structured clays may occur when the
quasi-yield stress, which becomes small with decreasing strain
rate, moves through the stress of the corresponding element
(indicated by vertical dotted lines).
because the plastic strain increment does not related to the stress
increment as described before. The result of the proposed model
describes properly the strain rate effects known experimentally.
Figure 7 shows the results of (a) creep behavior after loading
with constant stress rate, and (b) stress relaxation behavior after
loading with constant strain rate (loading processes are
indicated in the interpolated diagram in each figure). Figure 8
shows the computed e-logt relation of conventional oedometer
test by 1D soil-water coupled finite element analysis. Here, 0 is
the initial stress, and is the instantaneous stress increment.
It can be seen that the three models describe the well-known
consolidation behavior of normally consolidated clay including
the secondary compression.
4.2
The feature of the ordinary viscoplastic models for clay are

explained in 1D condition for easy understanding. A new
approach to model without using ordinary viscoplasticiy is also
shown. The new model is applicable not only to normally
consolidated soil but also to over consolidated soil and naturally
deposited soil. The applicabity of these models are discussed
through the simulations of various time-dependent behavior of
clays. Using the tij concept (Nakai and Mihara 1984), the
present 1D model can be extended to 3D one (see Nakai et al.
2011b, Nakai 2012).
Analysis of over consolidated clay and naturally

deposited clay by the proposed model
The non-satoionary flow surface model and the over-sress type

model described in the above section are applicable to normally
consolidated soil alone. On the ther hand, as can be seen from
the derivaton process, the proposed model is valid for over
consolidated soil and structured soil as well. In this subsection,
some applications of the poposed model to over consolidated
clay and structured clay are shown.
0.85
no creep
0.002%/min
0.02%/min
2.0%/min
2.0 - 0.002 - 2.0%/min
0.8
=0.0030
0=0.10
0=0.0
0.75
0.7
0.65
(a)
0.6
Ideal - Drained
0.55
102
Ideal - Drained
(kPa)
0.55
103
102
(kPa)
Figure 9. Simulations of strain rate effect
103
Figure 9 shows the results of one-dimensional compression

behavior of these clays in the same way as Figure 6. It can be
seen that the present model describe well the typical feature of
e-ln relation for these clays and the time effect such that the
quasi-yield stress becomes large with increasing strain rate and
the phenomenon of isotache. Figure 10 shows the computed
results of oedometer tests on non-structured (0=0.0) and
structured (0=0.20) clays with two kinds of initial void ratios
(0=0.0 and 0.10), arranged with the same manner as Figure 8.
Here, thin curves and thick curves indicate ones without
bonding (0=0.0) and ones with bonding (0=0.20). Diagrams
(a), (b) and (c) shows the results of the ratio of stress increment
to initial stress: /0=1, 4 and 8, respectively. It is seen from
diagrams (a) and (b) that although the behavior of the normally
consolidated structured clay (0=0.0) is different from that of
the normally consolidated non-structured clay under small stress
increment (/0=1), there is not much difference between
them under large stress increment (/0=4). On the other
hand, the behavior of over consolidated clays (0=0.10) is
highly influenced by the effect of structure (bonding) not under
small stress increment but under large stress increment. It is also
seen that from diagram (c) that when the stress increment is
extremely large (/0=8), there is not much difference
between non-structured clay and structured clay regardless of
0=0.0 0=0.20
0.72
0.68
=98kPa
=98kPa =0.0030
b=40
H=1cm
10
10
0.64
10
10
t (min)
10
10

no creep
0.002%/min ( 0=0.0)
0.002%/min ( 0=0.1)
2.0%/min ( 0=0.0)
2.0%/min ( 0=0.1)
=0.0030
0=0.20, b=40
0.7
0.65
0.6
0.55
102
103
(kPa)
Figure 11. Stress-strain behavior of structured clays
10
10
10
0=0.000 (OCR=1.00)
0=0.100 (OCR=2.90)
(b)
e 0.72
-1
NCL
0.75
0.76
(a)
-2
0.8
0=0.0 0=0.20
0.8
0.68 -3
10
0.85
0=0.000 (OCR=1.00)
0=0.100 (OCR=2.90)
0.8
e 0.76
REFERENCES
Adachi T. and Oka F. 1982. Constitutive equation for normally

consolidated clays based on elasto/viscoplasticity. Soils and
Foundations, 22(4), 57-70.
Bjerrum L. 1967. Engineering geology of Norwegian normally
consolidated marine clays as related to settlements of buildings,
Geotechnique, 17(2), 81-118.
Hashiguchi K. 1980. Constitutive equation of elastoplastic materials
with elasto-plastic transition. Jour. of Appli. Mech., ASME, 102(2),
266-272.
Mimura M. and Sekiguchi H. 1985. A review of elasto-viscoplastic
models with particular emphasis on stress-rate effect. Proc of 20th
Annual Meeting of JGS, 1, 403-406 (in Japanese).
Nakai T. and Mihara Y. (1984): A new mechanical quantity for soils
and its application to elastoplastic constitutive models, Soils and
Nakai T., Shahin H.M., Kikumoto M., Kyokawa H., Zhang F. and
Farias, M.M. 2011a: A simple and unified one-dimensional model
to describe various characteristics of soils. Soils and Foundations,
51(6), 1129-1148.
Nakai T., Shahin H.M., Kikumoto M., Kyokawa H., Zhang F. and
Farias, M.M. 2011b. A simple and unified three-dimensional model
to describe various characteristics of soil. Soils and Foundations,
51(6), 1149-1168.
Nakai T. 2012. Constitutive Modeling of Geomaterials: Principles and
Applications. CRC Press.
Perzyna P. 1963. The constitutive equations for rate sensitive plastic
materials, Quart. Appli. Math., 20(4), 321-332.
Sekiguchi H. 1977. Rheological characteristics of clays. Proc. of 9th
ICSMFE, Tokyo, 1, 289-292.
=0.0030
0=0.10
0=0.20, b=40
0.75
0.65
no creep
0.002%/min
0.02%/min
2.0%/min
2.0 - 0.002 - 2.0%/min
0.8
0.7
0.6
0.85
CONCLUSIONS
=0.0030
b=40
0.8
0=0.0 0=0.20
0.75
e 0.7
0=0.000 (OCR=1.00)
0=0.100 (OCR=2.90)
=0.0030
b=40
(c)
0.65
=98kPa
=392kPa
H=1cm
10-3
10-2
10-1
0.6
1
10
102
t (min)
103
104
105
106
107
=98kPa
=784kPa
H=1cm
0.55 -3
10
10-2
10-1
Figure 10. Simulations of oedometer tests on non-structured and structured clays with different initial void ratios
258
10
102
t (min)
103
104
105
106
107
th
Quantification des gonflements des sols surconsolids en fond de dblai

Swelling quantification of overconsolidated soils at excavation base
Petit G.
Arcadis, Toulouse, France
Virollet M., Bernard Ph.

Consultants indpendants, Toulouse, France
RSUM : La problmatique du gonflement diffr des sols surconsolids en fond de dblais est apparue progressivement
avec la mise en service de grandes infrastructures routires conduisant la cration de tranches de plus en plus profondes.
Pour la ralisation de nouvelles infrastructures ferroviaires grande vitesse, cette problmatique peut avoir des rpercussions
bien plus fortes tant en termes dexploitation (problmatique des quipements ferroviaires) quconomique (plus fortes
contraintes gomtriques, rpercussions sur un long linaire). Cet article prsente une mthode de quantification de ce type
de gonflement partir de lanalyse dessais domtriques de dchargement et en se basant sur le modle Ylight. Lexistence
dune phase lastique rversible et dune phase irrversible sont ainsi mises en vidence.
ABSTRACT : The delayed swelling of overconsolidated soils at excavation base has progressively become an important
issue with the development of major road infrastructures resulting in the creation of deeper and deeper excavations and
trenches. As far as new high speed railway infrastructures projects are concerned, this issue may have major consequences in
terms of serviceability (sensitive railway equipments) and economics (stronger geometric constraints and backlash over long
railway portions).
This paper presents a quantification method for this type of swelling, based on the analysis of specific unloading oedometer
tests, on the basis of the Ylight model of behavior. This approach allows to show the existence of a reversible elastic phase
and of an irreversible phase.
MOTS-CLS: gonflement, sols surconsolids, oedomtre, modle Ylight
KEYWORDS: Swelling, overconsolidated soils, oedometer, Ylight model.
INTRODUCTION
2.2.
Chemins de contraintes dans lespace de Lambe
Les essais raliss par Magnan et Serratrice (1995) sur

une marne fortement surconsolide, montrent que dans le
domaine du dchargement, la surface dtat limite peut
tre dfinie dans le modle Ylight en la reprsentant
comme une ellipse dans lespace s' , t avec :

' '3
s' 1
; t 1 3
A partir dune approche mcanique simplifie, base sur

lutilisation de rsultats dessais oedomtriques, associe
une analyse en chemins de contraintes selon le modle
Ylight (Leroueil, Magnan & Tavenas, 1985), une tude
du comportement des sols en dchargement est effectue.
En premier lieu, le phnomne du gonflement li un
dchargement gnralis de type rosion est abord
laide du modle Ylight applicable aux sols surconsolids
(Magnan & Serratrice, 1995) puis, ensuite, une analyse
du fond de dblai est mene afin dvaluer les amplitudes
de gonflement.
Description du modle Ylight

Le modle Ylight, reprsent ci-dessous
adimensionnel, fait apparatre plusieurs domaines.
2 COMPORTEMENT DES SOLS AU

DCHARGEMENT GNRALIS
2.1.
Variation de lOCR avec la profondeur
Si lon considre ltat actuel un sol qui a t rod sur

une hauteur he et qui de ce fait est surconsolid, lindice
de surconsolidation (OCR), une profondeur z donne
compte partir de la surface du sol aprs rosion, est
dfini comme gal :
h z
OCR e
z
Cet indice dcrot alors lorsque la profondeur crot
pour tendre vers un sol normalement consolid
(OCR = 1).
Figure 1. Modle Ylight reprsent dans le plan (s,t)
259
en
th
Un domaine lastique situ lintrieur de lellipse

dont laxe principal est la droite dduite de k0 = 3/1.
Le point I qui fixe sa longueur est obtenu partir de la
pression de consolidation p. Cette ellipse, appele SEL,
reprsente la projection de la Surface dEtat Limite dans
ce plan. A lintrieur de lellipse les dformations sont
lastiques rversibles. Cette ellipse projete dans un plan
perpendiculaire au plan de reprsentation de ldomtre
[e, log] sappuie sur la droite Cs. Les points dtat ne
peuvent franchir la SEL.
Un domaine plastique. Lorsque le point reprsentatif
de ltat de contraintes considr atteint la surface de
rupture, caractrise par les droites limites de MohrCoulomb (SEC, Surface dEtat Critique), il y a rupture du
sol avec des phnomnes de radoucissement.
3. ANALYSE DES PHENOMNES

DE GONFLEMENT A LOEDOMTRE
3.1. Essai de gonflement (norme XP P94-091)
Cet essai loedomtre consiste mesurer, sur quatre
chantillons prlevs la mme profondeur, les
gonflements obtenus lors de la saturation sous quatre
contraintes diffrentes, la contrainte de gonflement
donnant un gonflement nul.
En fait, cette contrainte devrait correspondre la
contrainte effective verticale obtenue la profondeur z
(profondeur de prlvement des chantillons) : v, 0 z .
Dans ces conditions lexploitation des mesures consiste
reporter sur un diagramme logarithmique les valeurs
finales des diffrentes dformations mesures en fonction
tude du dchargement laide du modle Ylight
du rapport
Dans la phase de dchargement gnralis (rosion), les

0.
dformations horizontales sont nulles : 3
En fin de chaque phase de dchargement, une fois
lquilibre atteint, les pressions interstitielles sont
supposes constantes et en quilibre avec celle du niveau
considr.
(1)
(6)
La norme XP P94-090-1 a t adapte pour la

circonstance afin de dtailler le gonflement des sols
surconsolids au dchargement.
La courbe de dchargement mesure dans un domtre
partir de la pression de consolidation maximale est obtenue
en dchargeant par paliers successifs lchantillon imbib
partir de cette pression. Elle fait apparatre typiquement
deux branches de droites (figure 2) :
La premire, de pente C s dans la reprsentation
domtrique e,log ;
La seconde, de pente donne par lquation (6), que nous
C g Rg /(1 ei ) , ei tant lindice des vides

noterons
(3)
avant dchargement.
Ces deux droites se coupent en un point qui correspond
la contrainte note G, pour la distinguer de la contrainte
Gg dfinie ci-dessus.
En tenant compte des quations (2), (3) et (4), lquation

de la droite de dchargement dans lespace s' , t est :
t (1 2 )s' ' P (1 k0 ) k0
,log . Ces diffrents
3.2. Essai oedomtrique classique adapt
La pente de la droite reprsentant le dchargement

lastique du sol est p =1-2v. Au point I ltat de
contrainte scrit :
' (1 k0 )
' (1 k0 )
s' P
et t P
(4)
2
H i
g tant la contrainte qui correspond une dformation

nulle, soit la contrainte effective correspondant au poids
des terres.
Dans le plan [s,t], cela se traduit par :

1 2
1
et t
he
2(1 )
2(1 )
H f
dans lespace
Hf /Hi Rg log( g /)
o reprsente le coefficient de Poisson. Il vient alors :
1 he et 3
he
(2)
1
s '
he
points salignent sur une droite, dont la valeur absolue de

la pente est appele rapport de gonflement : Rg .
Nous avons la relation :
Dans le domaine lastique

Dans ce domaine, il est possible dcrire :
3
1
1
(5)
Celle-ci intercepte la SEL au point C. A partir de ce

point dquilibre correspondant la contrainte
verticale v0 qui une profondeur donne est
constante (v0 = .z), le dchargement par excavation
(dblai) seffectue suivant un chemin de contraintes (s, t)
correspondant une droite de pente 1, qui coupe la
courbe dtat critique au point G.
Figure 2. Courbe de dchargement ldomtre
Dans le domaine plastique

Lorsque le dchargement se poursuit le chemin de
contrainte suivi passe sur la droite GO.
/Le point G reprsente le passage entre le comportement
lastique caractris par lindice de gonflement Cs et le
comportement plastique caractris par le coefficient de
gonflement Cg.
3.3. Elaboration dun modle de calcul

Le modle Ylight nous a permis de montrer que la
contrainte G correspondait la transition entre le
comportement lastique du sol et le comportement
irrversible de caractristiques respectives Cs et Cg.
260

th
Avant dchargement gnralis , la transition i entre

ces deux comportements se situe la profondeur
correspondant lintersection entre les droites C g et Cc
CS
Hi
log
s el
z
1 e
( z he )
dans ce calcul, la variation de e est prise en compte

chaque incrment de z .
soit H i i .
4.4.2. Gonflement irrversible
La valeur de i est donne par la relation :
Mthode analytique
Nous procdons de la mme manire que ci-dessus en
faisant varier la profondeur z entre 0,5m et Hi . Nous
obtenons ainsi :
Cg
z he
ds
0,434
ln
(11)
dz
H i
1 eG
(Cc C s ) log p (C g C s )log G

C c C s
i 10
(7)
Aprs rosion sur une hauteur he, la nouvelle contrainte

i doit tre recalcule, comme suit :
i' i 10
C C
p he C g C s
.( z he )
log
c s log
p0
C c C g
. z
Cc C g
(10)
(8)
sirr 0, 434
La profondeur dintersection est alors donne par :

i'
H i'
he
(9)
Cg
1 e0
( z he )ln(z he ) he zln(z ) (12)
La borne minimale dintgration a t prise gale 0,5m

afin de permettre la convergence du calcul numrique.
Mthode numrique
Nous crirons lquation (12) pour une variation z sous
la forme :
4. TABLISSEMENT DUN MODLE DE CALCUL

DE DCHARGEMENT GNRALIS
Cg
z he
sirr log
z
1 e0
z
Dans le paragraphe prcdent, nous avons montr que la

contrainte i dfinissait la hauteur de la zone de
dformation irrversible H i i et que cette contrainte
i devait tre corrige pour ramener lpaisseur par rapport

i
he
la nouvelle surface obtenue aprs rosion
: Hi
(13)
4.3. Application et rsultats des calculs

4.3.1. Caractristiques du sol retenu
Nous avons adopt les caractristiques mesures sur
lessai domtrique prsent sur le graphique et donnes
dans le tableau ci-dessous.
Figure 3. Dfinition de la zone de dformation irrversible
4.1. Modle de calcul

Les gonflements sont par la suite nots s, sel pour sa partie
lastique et sirr pour sa partie irrversible.
Figure 4. Essai domtrique utilis
4.1.1. Gonflement lastique
Tableau 1. Valeurs oedomtriques utilises
Mthode analytique
Pour une couche dpaisseur dz, la profondeur z
comprise entre Hi et H H i H lastique , nous obtenons
C
z
ds
0,434 s ln
dz
1 e0 z he
s el 0,434
Cs
0,0135
avec e indice des vides pour la contrainte .

H
H i
Mthode numrique
Nous crirons lquation (9) pour une variation z finie.
Il vient alors :
s el
0,434
Cg
0,0471
P0 kPa g kPa
1752
750
eg
0,406
4.3.2. Variation des gonflements en fonction de la

hauteur drosion
Les rsultats des calculs sont reprsents sur le graphique
de la figure 5. Pour plus de lisibilit, lchelle des
profondeurs a t limite 120m. Il est rappel ce
propos que pour des hauteurs drosion de 20 et 40m les
profondeurs dorigine du gonflement sont plus
importantes.
Les rsultats montrent que les gonflements lastiques
sont faibles avec 0,01 sel 0,02m
(9)
Cs
( z he ) ln(z he ) he zln(z )
1 e
Nous avons pris :

e eG C S log
Cc
0,1192
CS
z
ln
z
1 e z he
261
th
Les rsultats des calculs obtenus sont reprsents sur le

graphique de la figure 7 ci-dessous.
Figure 5. Rsultats des calculs de gonflement pour diffrentes

hauteurs H drosion.
5. TABLISSEMENT DUN MODLE DE CALCUL

POUR UN DBLAI
Figure 7. Rsultats des calculs de gonflement pour diffrentes

profondeurs H de dblai
Dans le cas dun dblai, le terrassement nest pas infini.

De ce fait il se produit un amortissement des contraintes
avec la profondeur, comme indiqu ci-aprs.
Ces rsultats montrent que la profondeur dinfluence

saccrot avec la profondeur du dblai. Les amplitudes de
gonflements calcules en fond de dblai pour ces
configurations varient de 0,15 0,60 m.
Il est noter quafin damliorer la prise en compte des
talus du dblai, il est possible de dcomposer le dblai en
plusieurs charges rectangulaires pousant la pente du
dblai. Les exemples prsents ici nintgrent pas cette
dcomposition.
5.1. Effet de la profondeur

Nous allons considrer une charge sur un milieu semi infini :
6. CONCLUSION
Les essais domtriques spcifiques analyss, permettent
de caractriser plus prcisment le comportement des sols
surconsolids au dchargement. Celui-ci se traduit
successivement dans lespace domtrique [e ; log] par
deux droites de pentes respectives C s (indice de
gonflement) puis Cg (coefficient de gonflement).
Ces deux droites se coupent en un point dfini par
G z .
A partir de ces essais, il est alors possible de calculer
les gonflements rsultant dun dchargement gnralis
(rosion) ou de la ralisation dun dblai.
Dans le cas de dblai, o la gomtrie du dchargement
nest pas infinie, il convient de tenir compte de
lamortissement des contraintes avec la profondeur, se
traduisant par des gonflements beaucoup plus faibles que
pour un dchargement gnralis.
Le cas de sols trs fortement surconsolids, prsentant
des pressions de prconsolidation trop leves pour tre
correctement mesures avec un essai domtrique
classique, reste encore tudier et ncessite la mise au
point de mthodes exprimentales spcifiques.
Figure 6. Mthode de Poulos & Davis
La contrainte verticale scrit (Poulos & Davis 1974) :
sin cos( 2 )
(14)
Dans le cas dun dblai, le terrain peut tre considr

comme infini de part et dautre de la tranche. Cela
entrane donc :
quand l alors 2 .
2
A partir de cette relation, il est alors possible de

calculer la variation de contrainte dans laxe du dblai en
prenant en compte linfluence des deux parties situes de
part et dautre de ce dernier.
5.2. Rsultats des calculs
Au pralable, il convient de noter que dans ce qui suit,
les calculs ne peuvent tre raliss quavec la mthode
numrique.
Ils ne sont raliss que dans le domaine irrversible
compte tenu des profondeurs importantes atteindre pour
avoir un comportement lastique.
Les caractristiques gomtriques du talus prises en
compte sont dfinies ci-dessous :
7. REMERCIEMENTS
Remerciements Guilhem Teulade qui a t lorigine de
cette rflexion.
8. REFERENCES
Tableau 2. caractristiques de dblai prises en compte

Hauteur
dblai (m)
Pente talus
tg
Largeur
plateforme (m)
Largeur quivalente
(m)
10
20
40
1/2
1/2
1/2
20
20
20
40
60
100
LEROUEL S., MAGNAN J.P. & TAVENAS F. remblais sur

argile molle. Lavoisier 1985
MAGNAN J.P. & SERRATRICE J.F. Dtermination de la courbe
d'tat limite d'une marne. Sminaire De la Gologie au
calcul des Ouvrages . Grenoble 6-10 novembre 1995.
POULOS & DAVIS. Elastic Solutions for Soils and Rocks. J.
Wiley 1974.
262
th
Rate effects at varying strain levels in fine grained soils

Effets de vitesse de dformation niveaux de dformation variant en sols grains fins
Robinson S., Brown M.J.
Division of Civil Engineering, University of Dundee, Dundee, Scotland, UK.
ABSTRACT: There is a need for an improved understanding of rate effects over a wide range of strain rates in order to improve the
modelling and analysis of high strain rate activities. Using triaxial testing on reconstituted kaolin over a wide strain rate range this
paper examines the impact of strain rate on the aspects of soil response which are important in many areas of geotechnical
engineering. It is demonstrated that shear strength, small strain stiffness and the elastic shear strain threshold are rate dependent.
RSUM : Il est besoin pour une meilleure comprhension des effets la vitesse de dformation sur une grande gamme de vitesses de
dformation en vue d'amliorer la modlisation et l'analyse des activits vitesses de dformation haute. Par l'utilisation tests
triaxiaux sur kaolin reconstitu sur une grande gamme de vitesses de dformation, prsent document examine l'impact de vitesse de
dformation sur les aspects de rponse du sol qui sont importants dans nombreux domaines d'ingnierie gotechnique. Il est dmontr
que rsistance au cisaillement, rigidit faible dformation et seuil de dformation lastique sont dpendant la vitesse de dformation.
KEYWORDS: rate effects, strain rate, strain level, small strain, elastic strain threshold, shear modulus, dynamic tests, triaxial, kaolin
1
INTRODUCTION
Rate effects are an important consideration in many areas of

geotechnical engineering as they influence the strength and
stiffness of the soil, however, the impact of rate effects is
difficult to determine and analyse. Because of this, there is a
need for a better understanding of rate effects and how they
influence soil response.
One aspect that requires further study in order to achieve this
is the relationship between rate effects and strain level, as this
varies throughout the course of geotechnical activities. Being
better able to consider rate effects throughout the entire strain
range raises the opportunity to improve both accuracy and
efficiency.
This paper considers the strain-rate dependence of rate
effects over a wide range of strain magnitudes at shear strain
rates from 0.333 to 60,000 %/hr.
1.1
The influence of strain rate
The most commonly used assumption in terms of rate effects is

that of Kulhawy and Mayne (1990) which states that for every
log cycle (tenfold) increase in strain rate, a ten percent increase
in shear strength is expected. However, this has been shown to
be variable, with the rate effects observed ranging from 9.5 to
20 % (Bea 1982). Another key consideration is that this
assumption does not consider any variation of rate effects with
strain level (Brown 2009), as it is based on a correlation using
only peak shear strengths. Similarly, only undrained testing was
used, meaning that the impact of drainage on the determination
of the rate effect was not dealt with.
Drainage effects are significant as the strain rate influences
whether there is time for drainage to occur. This means that rate
effects tend to follow a U-shaped curve as shown in Figure 1.
At extremely slow rates, there is time for pore pressure
developed during shearing to fully dissipate. As the strain rate
increases, the reducing time for drainage means that increasing
pore pressures and hence lower shear strengths are observed in
the partially drained region. As the strain rate is increased
2631
further, the soil response becomes almost fully undrained,

where pore pressures are at their maximum. After this point,
viscous effects cause the observed shear strength to increase
with strain rate up to a potential viscous limit (Chow and Airey
2011). The form of this shear strength-strain rate relationship
has been verified by studies using a wide range of test methods
from cone penetrometer testing to large scale shear boxes.
(Steenfelt 1993, Lehane et al 2009)
Shibuya et al (1996) showed that the initial small strain
stiffness, Emax, is rate independent and constant for the range of
strain rates investigated (0.6 to 84 %/hr). It was also found that
this linearity continued up to a strain defined as the elastic strain
threshold, EL, which was itself rate dependent, increasing with
increasing strain rate. These findings were confirmed by
Mukabi and Tatsuoka (1999).
Lo Presti et al (1996) found that soil stiffness is rate
independent below 0.001 % shear strain, and increases with
strain rate beyond this point. To allow comparison of relative
stiffnesses at different strains and strain rates, Lo Presti et al
(1996) defined the strain rate coefficient, .
There are numerous geotechnical applications where rate
effects are an important consideration, including free falling
penetrometer tests where velocities can reach up to 12 m/s
Figure 1. U-shaped curve showing the idealised variation of rate effect

with strain rate (Quinn and Brown 2011)
th
(Chow and Airey 2011) and Statnamic pile tests (Brown and
Hyde 2008) where the pile is displaced at rates of the order of 1
m/s. In these cases, rate effects cause the capacities derived
from the tests to exceed static values; an issue which is usually
dealt with by the inclusion of damping co-efficients in the
analyses. (Brown and Powell 2013) These damping coefficients are not always uniform throughout each test, but may
vary with strain level. This highlights the importance of
understanding the strain level dependence of rate effects in
order to improve the accuracy of dynamic testing in the field.
2
MATERIAL TESTING AND PROCEDURES
The tests were carried out on reconstituted speswhite kaolin, the

properties of which are shown in Table 1.
Table 1. Properties of the speswhite kaolin used
Property
2.2
Testing programme
The testing programme consisted of triaxial tests at shear strain

rates from 0.333 to 60,000 %/hr in order to investigate strain
rate effects over as large a range as possible. These were carried
out at a comparatively low effective stress of 300 kPa as
previous studies have shown that greater rate effects are
observed at higher moisture contents. (Bea 1982, Brown and
Hyde 2008, Chow and Airey 2011) Throughout the testing
programme, the samples were allowed to drain through the filter
paper drains in order to allow rate effects due to consolidation
to be investigated.
Value
Plastic limit, wP (%)
32.5
Liquid limit, wL (%)
65.0
Plasticity index, PI (%)
32.5
Clay fraction (%)
3
3.1
40.6
2
Specific surface area (m /g)*

#
Permeability, k (mm/s)
cv (m2/year)+
MCSL

Observed rate effects and their modelling
The rate effects observed at the various strain rates are shown in
Figure 2, with a shear strain rate of 100 %/hr taken as the
reference rate. In order to allow comparison with other studies
using differing materials and sample sizes, the strain rates have
been converted into the normalised dimensionless velocities
used by Randolph and Hope (2004) as shown in Equation 1.
80
Activity (%)
36.7
1.17 x 10-6
23.52
vd
cv
(1)
0.9
0.101
2.678
* Determined from methylene blue spot testing

#
Determined at an effective stress of 300 kPa
+
Determined for a 100 kPa stress increment
The samples were first prepared as slurry with a moisture

content of 120 % using de-aired, de-ionised water before being
one dimensionally consolidated to an effective stress of 180 kPa
for three days. These were then trimmed to 200 mm length and
100 mm diameter to create triaxial samples. Once installed in
the triaxial apparatus, the sample was saturated to an effective
stress of 50 kPa at a back pressure of 300 kPa and then
reconsolidated to an effective stress of 300 kPa to restore
isotropic conditions. Sample drainage was facilitated by using
vertical filter paper drains on the surface of the sample,
connected to both the top and bottom drainage valves. These
were required as the use of lubricated end platens in the testing
meant that conventional drainage was not possible, and had the
additional benefit of significantly reducing consolidation times.
2.1
conditions. As these can introduce errors into the measurement

of small strains using external methods, these were measured
using Hall effect transducers, two axial and one radial, mounted
directly on the sample providing a resolution of 110-6 % strain.
Pore pressures were monitored using a mid-height pore pressure
transducer mounted on the surface of the sample.
Testing apparatus
The tests were carried out in a GDS advanced

electromechanical dynamic triaxial rig specially modified to
carry out high speed monotonic tests. The rig is capable of axial
displacement rates of 100 mm/s, and during high speed testing it
is controlled by a GDS digital system capable of controlling the
axial displacement within a time interval of 0.1 milliseconds.
Both the back and cell pressures were provided by GDS
pressure controllers. Lubricated end platens of a similar design
to those proposed by Rowe and Barden (1964) were used in
order to minimise the inhomogeneity caused by end restraint
264
where V is the normalised dimensionless velocity, v is the

strain rate applied (in m/year), d is the sample diameter (in m)
and cv is the co-efficient of consolidation in m2/year. As can be
seen, the curve follows the behaviour expected with time for
consolidation effects dominating up to V = 11, after which
undrained viscous effects are significant.
In order to quantitatively assess the data, the rate effects
model proposed by Randolph and Hope (2004) shown in
Equation 2 has been fitted to the data using least mean square
regression.
q
b
1
q ref
1 cV d
1
sinh 1
ln ( 10 )
V0
sinh 1 ref

(2)
where b, c, and d are curve fitting parameters used to model

the time for consolidation effects and is the rate effect per log
cycle increase in strain rate used to model viscous effects. Vref is
the normalised velocity associated with chosen reference rate
and V0 is the point after which time for consolidation effects are
negligible. This process was also repeated for the measured rate
effects at selected strains to identify the variation in rate effects
at different strain levels as shown in Figure 3. The parameters
obtained from the curve fitting process are shown in Table 2.
The fitting parameters at peak strength (which occurs at
varying strain levels) show that the rate effect per log cycle was
found to be 22.5% which is higher than previous studies. This
highlights the need to develop a framework to predict rate
effects based on the current soil state and properties of the
material in question.

th
Table 2. Parameters used to fit the model by Randolph & Hope (2004)
to the data at each shear strain level
Property
3.2
0.17%
0.33%
0.67%
1.67%
2.67%
Peak
0.153
0.505
0.888
1.387
26.52
25.55
24.61
23.11
23.53
25.09
1.865
1.859
2.163
2.589
2.556
2.309
0.275
0.251
0.244
0.212
0.181
0.225
V0
18.17
21.08
17.76
14.10
6.81
23.39
Vref
11.17
11.17
11.17
11.17
11.17
11.17
Strain level dependence of rate effects
Figure 3 shows that in the partially drained domain rate effects

increase with strain level, which is intuitive as at greater strains
there will be more time for consolidation to occur. Additionally,
at the point at which the transition to undrained behaviour
occurs, the rate effects were found to be relatively independent
of the strain level. Beyond this point the rate effect per log cycle
reduces from 27.5 % at 0.17 % shear strain to 18.1 % at 2.67 %
strain, indicating that undrained rate effects reduce with strain
level, which is important in areas such as rapid load pile testing
(RLT) and assessment of static pile working loads.
Lo Presti et al (1996) developed a method for comparing rate
effects at different shear strain levels by defining a strain rate
coefficient, (Equation 3). This is the change in shear modulus
at a given strain over the log cycle increase in shear strain rate
normalised by the shear modulus at a reference shear strain rate.
( )
G ( )
(log( )).G ( , ref )
Normalised Velocity, V
Figure 2. Graph of rate effect against normalised velocity at peak
strength with the model by Randolph and Hope (2004) using a
shear strain rate of 100%/hr as the reference rate
(3)
This method was used to further investigate the apparent

dependence of rate effects on strain level. Figure 4 shows the
variation of the strain rate co-efficient, , with shear strain for
the shear strain rates considered. This confirms the earlier
findings that for rates where there is time for consolidation, the
rate effects observed increase with increasing strain. Similarly,
the rate effects reduced with strain for the undrained tests.
However, the graph highlights a significant difference in the
strain rate co-efficient between the partially drained and
undrained tests at extremely small strains.
3.3
Considered in conjunction with Figure 5, this shows that at

the initial strain levels considered in Figure 4 ( = 0.2 %), the
faster tests exhibited a greater stiffness than the slower rate
tests, explaining the discrepancy in the initial values of the
strain rate coefficients. This is due to the delay in stiffness
degradation caused by the increase in the elastic shear strain
threshold.
Figure 3. Graph of rate effect against normalised velocity at various

shear strain levels shown with the model proposed by Randolph and
Hope (2004)
Small strain behaviour
To further investigate the effect of strain level on rate effects the

small strain data from the Hall effect transducers was examined.
Figure 5 shows the variation of the shear modulus, G, for each
of the rates. Of particular interest is the fact that the initial small
strain shear modulus, G0, appears to vary with shear strain rate,
reducing according to the correlation shown in Figure 6. One
possible explanation for this is that at slower rates, there is more
time for sample drainage at a micro-scale, causing an increase
in the shear modulus at low shear strain rates. However, this
does not explain the increased initial strain rate co-efficient at
low strains in the fast tests.
Figure 7 shows the variation of the elastic shear strain
threshold and this confirms that as found by Mukabi and
Tatsuoka (1999), the elastic shear strain threshold increases
with rate. A best fit was applied to this data and found that for
the soil properties and stress conditions used, EL varies as in
equation 4.
EL = 0.003
0.2
(4)
265
Figure 4. Graph of strain rate co-efficient against shear strain for

various shear strain rates using a shear strain rate of 100 %/hr as a
reference
th
a) Peak strength rate effects in the partially drained domain

have been shown to be greater than undrained rate effects
due to time for consolidation.
b) The undrained rate effects observed have been shown to be
higher than those reported by other studies at 22.5% per log
cycle for peak strength.
c) The importance of strain level in relation to rate effects has
been highlighted, with rate effects increasing with strain
when partially drained and reducing with strain when
undrained.
d) The applied strain rate was found to have a significant
impact on the small strain response, with the elastic shear
strain threshold, EL, increasing with rate and G0 appearing
to reduce with rate.
It is hoped that the results and discussion in this paper will
be of use in rate effect analysis and in the associated
applications.
Figure 5. Graph of shear modulus against shear strain for various

shear strain rates from Hall effect small strain transducer data
ACKNOWLEDGEMENTS
This work is supported by funding from the University of

Dundee Division of Civil Engineering and the Institution of
Civil Engineers Research and Development Enabling Fund,
which is gratefully acknowledged.
6
Figure 6. Graph of G0 against shear strain rate
Figure 7. Graph of elastic shear strain threshold against shear strain

rate
CONCLUSIONS
Based on triaxial tests on reconstituted kaolin at strain rates over

more than 5 orders of magnitude, it has been shown that rate
effects have numerous effects on the response of the soil,
ranging from increased deviatoric strength to changes in small
strain behaviour which are strain level dependent.
266
REFERENCES
Bea, R.G. 1982. Soil strain rate effects on axial pile capacity. Proc. 2nd
Int. Conf. on Numerical Methods in Offshore Eng, 107-132.
Brown, M.J. and Hyde, A.F.L. 2008. Rate effects from pile shaft
resistance measurements. Canadian Geotechnical Journal, 45 (3),
425-431.
Brown, M. 2009. Recommendations for Statnamic use and
interpretation of piles installed in clay. Rapid Load Testing on
Piles, Taylor and Francis, London, 23-36.
Brown, M.J. and Powell, J.J.M. 2013. Comparison of rapid load test
analysis techniques in clay soils. ASCE Journal of Geotechnical
and Geoenvironmental Engineering, Available online 21/03/12.
Chow, S.H. and Airey, D.W. 2011. Rate effects in free falling
penetrometer tests. Proc. Int. Symp. on Deformation
Characteristics of Geomaterials, 1-3 September, Seoul, 592-599.
Krieg, S. and Goldscheider, M. 1998. Bodenviskott und ihr Einflu auf
das Tragverhalten von Pfhlen. Bautechnik 75, Ernst und Sohn.
Kulhawy, F.H. and Mayne, P.W. 1990. Manual on estimating soil
properties for foundation design. Report EL-6800, Electric Power
Research Institute, Palo Alto.
Lehane, B.N., OLoughlin, C.D., Gaudin, C. and Randolph, M.F. 2009.
Rate effect on penetrometer resistance in kaolin. Geotechnique 59,
41-52.
Lo Presti, D.C.F., Jamiolkowski, M., Pallara, O. and Cavallaro, A.
1996. Rate and creep effect on the stiffness of soils. ASCE GSP 61,
166-180.
Mukabi, J.N. and Tatsuoka, F. 1999. Influence of reconsolidation stress
history and strain rate on the behavior of kaolin over a wide range
of strain. Geotechnics for developing Africa, Balkema, 365-377.
Quinn, T.A.C. and Brown, M.J. 2011. Effect of strain rate on
isotropically consolidated kaolin over a wide range of strain rates in
the triaxial apparatus. Proc. Int. Symp. on Deformation
Characteristics of Geomaterials, 1-3 September, Seoul, 607-613.
resistance and excess pore pressures. Proc. Int. Symp. Eng. Practice
and Performance of Soft Deposits, 147-152.
Rowe, P.W. and Barden, L. 1964. Importance of free ends in triaxial
testing. ASCE journal of the soil mechanics and foundations
division 90 (SM1), 1-27.
Shibuya, S., Mitachi, T., Hosomi, A. and Hwang, S.C. 1996. Strain rate
effects on stress-strain behavior as observed in monotonic and
cyclic triaxial tests. ASCE GSP: Measuring and modelling time
dependent soil behavior 61, 214-227.
Steenfelt, J.S. 1993. Sliding resistance for foundations on clay till.
Predictive soil mechanics, Thomas Telford, London, 664-684.
Comparison of Stress-Strain Behaviour of Carbonate and Silicate Sediments

Comparaison de la rponse contrainte-dformation de sdiments carbonats et siliceux
Safinus S., Hossain M.S., Randolph M.F.
Centre for Offshore Foundation Systems, The University of Western Australia, Perth, Australia
ABSTRACT: Compared to silica sand, carbonate sand has considerably higher angularity, lower grain hardness and higher intraparticle porosity, which result in high friction angles and compressibility. The corresponding dilatancy is affected strongly by the
confining stress. Thus, even for low relative densities, dilation occurs at low confining stresses, reflecting the greater particle
interlocking compared to silica sand. However, with the increase of confining stress, the dilatancy is suppressed quickly, and finally
diminishes completely at a relatively low stress level, due to particle degradation. This distinctive characteristic significantly
influences the behaviour of continuously penetrating spudcan foundations in calcareous sediments. Centrifuge tests were carried out
on spudcan foundations penetrating multi-layer soils with an interbedded strong layer composed with either carbonate or silica sand.
All measures of spudcan punch-through severity were significantly lower for interbedded carbonate sand despite its higher friction
angle (crit = 40) compared to silica sand (crit = 34). For the spudcan penetration through the sand layer to the lower clay layer, the
soil failure mechanisms quantified by particle image velocimetry (PIV) analysis allowed for identifying the differences in the
evolution of sand frustum beneath the advancing spudcan. The spreading angle of the frustum, which determines the size of the
projected bearing area, was found to be proportional to the mobilised dilatancy.
RSUM : Comparativement au sable siliceux, le sable carbonat a une angularit considrablement plus leve, une plus faible
duret de grain et une porosit intra-particulaire plus leve, ce qui a pour effet de produire un angle de frottement et une
compressibilit levs. La dilatance de ce dernier est fortement affecte par la contrainte de confinement. Ainsi, mme pour de faibles
densits relatives, le comportement dilatant peut se produire pour des contraintes de confinement faibles, refltant une tendance
limbriquement des particules plus leve par rapport au sable siliceux. Cependant, la dilatance est rapidement rprime lorsque la
contrainte de confinement augmente, et finalement disparat compltement pour des niveaux de contrainte relativement faibles, du fait
de la dgradation des particules. Cette caractristique particulire influence de manire significative le comportement des fondations
spudcan lors de leur pntration dans des couches de sdiments calcaires. Des essais en centrifugeuse ont t raliss sur des
fondations spudcan pntrant des sols multi-couches comprenant une couche intermdiaire compose soit de sable carbonat, soit de
sable siliceux. Toutes les mesures de svrit du risque de pntration du spudcan taient significativement plus faibles pour le cas
dune couche intermdiaire de sable carbonat, en dpit du fait que l angle de frottement soit plus lev (crit = 40), par rapport au
sable siliceux (crit = 34). Pour la pntration du spudcan travers la couche de sable jusqu' la couche sous-jacente dargile, les
mcanismes de rupture du sol quantifis par vlocimtrie dimage de particule (PIV) ont rvl des diffrences dvolution du tronc
de sable en dessous du spudcan . Langle douverture du tronc de sable, qui dtermine la taille de la surface portante projete, sest
rvl tre proportionnel la dilatance mobilise.
KEYWORDS: carbonate, silicate, dilation, spudcan foundations.
1
INTRODUCTION
and Hyde 1988, Semple 1988, Coop 1990, Al-Dhouri and

Poulos 1992, Randolph et al. 1999, Desrosiers and Silva 2002).
Bioclastic carbonate sediments comprising skeletal and shell
fragments usually have very angular grains, and hence high
friction angles and low particle crushing strength parameter, Q
(see Table 1). The use of friction angle as the sole strength
indicator for sand often results in excessive overestimation of
bearing capacity and underestimation of penetration depth
(Overy 2012). Dutt et al. (1985) reported a much lower apparent
friction angle (19), through back analysis of the measured
spudcan penetration response, compared to the value obtained
from a direct shear test (crit = 50). Semple (1988) recorded
relatively large settlements of offshore jack-up footings in
carbonate sediments, which was attributed to the high
compressibility of the soil. Current offshore design guidelines
SNAME (2008) and InSafeJIP (2010) recommend using a
reduced design friction angle (by as much as 25) and a
mobilisation (reduction) factor of ~0.25, respectively, for
assessing spudcan penetration resistance in carbonate sands.
In stratified sediments, with interbedded sand layers, the
problem is even more complex. The likelihood and severity of a
Carbonate sediments are prevalent in Australian waters and in

the Caspian Sea, Arabian Gulf, South China Sea, offshore Qatar
and offshore Florida. Standard geotechnical analysis models
were generally developed for silica sediment. Extreme care
should be exercised when applying those models for carbonate
sediments and indeed predictions using routine bearing capacity
methods linked to the friction angle have been shown to be
inappropriate. This is exacerbated for continuous penetration of
spudcan foundations due to the gradually rising stress levels
(SNAME 2008, InSafeJIP 2010). Discrepancies between the
predicted and measured behaviour can be significant, especially
in cases involving loose sand or high stresses. This results
mainly because of the critical characteristics of calcareous
sediments such as crushable particles, high in-situ void ratios
and compressibility. With increasing stress level, grain particles
are crushed, which alters the stress-strain behaviour.
Many studies have been undertaken in the last decades to
improve understanding of the stress-strain behaviour of
carbonate sediments (Datta et al. 1980, Evans 1987, Golightly
267
foundation punch-through failure depends on the operative

friction angle and associated dilation angle, both of which
reduce with increasing stress level.
This paper reports the results from a series of basic
characterisation tests conducted on reconstituted samples of
carbonate sand to understand its behaviour. Centrifuge tests
were also carried out on spudcan foundations penetrating fourlayer deposits, with an interbedded carbonate or silica sand
layer for direct comparison.
Table 1. Values of Q and crit derived from triaxial compression tests
(after Randolph et al. 2004, InSafeJIP 2010).
Sand
Ticino
Toyoura
Hokksund
Mol
Kenya
Quiou
Mineralogy
Siliceous
Quartz
Siliceous
Quartz
Calcareous
Calcareous
Q
10.8
9.8
9.2
10
8.5
7.5
crit
33.5
32
34
31.6
40.2
41.7
Reference
Jamiolkowski
et al. (2003)
Yoon (1991)
Jamiolkowski
et al. (2003)
Figure 2. Effective friction angle of carbonate sand in drained simple

shear test with lateral stress ratio K = 0.4 (post-peak condition only).
STRESS-STRAIN BEHAVIOR
Simple shear tests with a Berkeley type apparatus were

performed on uncemented skeletal carbonate sand recovered
from the seabed of Australian North-West Shelf (NWS).
Particles smaller than 75 m and larger than 2.36 mm were
removed by washing and sieving prior to testing. The achieved
median grain size and coefficient of uniformity were d50 = 0.22
mm and Cu = 2.3, respectively. The high grain angularity and
intra-particle void resulted in a high void ratio with minimum
and maximum value of 0.91 and 1.36 respectively.
Drained tests with a lateral stress ratio K = 0.4 were
performed on loose and medium dense sand to obtain the stressstrain behaviour. The results are shown in Figures 1 and 2,
highlighting a strong dependency of the volumetric dilatancy on
the confining stress. The values of relative densities (ID) shown
in the figures represent the condition just before shearing.
Dilative volume change occurred even in loose sand at a vertical
stress v = 200 kPa (see Figure 1). This dilative response is not
unusual owing to the particle angularity and interlocking. For
most tests, shearing ended in dilative volume state, except two
at higher stresses with v > 400 kPa. Interestingly, for dense
sand subjected to v > 300 kPa, dilative response at intermediate
strains turned to contraction close to the end of shearing,
indicating the influence of continual particle breakage. A
transient dilation at the highest stress of v = 700 kPa was also
noticed at shear strain levels of 15 to 20%.
The transition from dilative to contractive behaviour
occurred at a lower stress level, v < 400 kPa or mean stress p
< 240 kPa, compared to silica sand.
Figure 1. Volumetric change of carbonate sand in drained simple shear

test with lateral stress ratio K = 0.4.
268
Peak dilation angle peak can be estimated using Boltons

(1986) empirical correlation
peak crit 0.8 peak mI R
(1)
I R I D Q ln p 1
(2)
where m is a constant, taken as 3 for failure under triaxial or

general loading conditions and 5 under plane-strain conditions,
and IR is the relative dilatancy. Some reported values for Q for
siliceous grains range from 9.2 to 10.8, while lower values of
7.5 to 8.5 are reported for calcareous grains (see Table 1).
Assuming that the dilation angle of the NWS carbonate sand
turned to zero at a mean stress p = 240 kPa, a value for Q can
be calculated as 5.5.
The friction angle was interpreted using the AG method
(Joer et al. 2011) by considering the actual observed shear
plane. The normal and shear stresses were calculated for the
diagonal shear plane and used to determine the friction angle.
This method gave more realistic values compared to the
traditional interpretation, which assumes a complementary shear
stress on the vertical sample boundary. The calculated peak
friction angle 'peak ranges from 39.5 to 48, while the residual
friction angles 'res from 35.8 to 42.9 (see Figure 2). No
uniform steady state can be identified, rather a tendency of
decreasing 'res with increasing confining stress is evident.
3
EFFECT OF PARTICLE DEGRADATION
In carbonate sands, high crushability and compressibility are led

by the high intra-particle porosity, as discussed previously.
Datta et al. (1980) reported the effect of grain crushing during
shearing and found direct correlations between crushing and
reduction of maximum principal effective stress ratio, change
from dilative to contractive behaviour, more plastic stress-strain
relation, and increase of failure strain.
Golightly and Hyde (1988) performed comprehensive
isotropic drained triaxial (CID) tests on three different skeletal
carbonate sands, all with a relative density of 97%. They
reported results in terms of friction angle f, calculating
according to f = peak - , as shown in Figure 3. The dilation
angles of the tested carbonate sands were found lower than
those of the silica sand. The critical confining stress at which
dilation was suppressed was also shown to be very low
compared to silica sand. For instance, the dilation angle of Dogs
Bay sand, which is mainly composed of skeletal mollusc
fragments, decreased to zero at a confining stress of only 370
kPa. The siliceous Leighton Buzzard sand, on the other hand,
has a constant dilation angle of around 9 to 10 for all tested
confining stresses (< 1000 kPa).

Figure 3. Comparison of dilative behaviour between calcareous and

siliceous sand under various cell pressures (Golightly and Hyde 1988).
PRACTICAL APPLICATION: SPUDCAN RESPONSE
In order to examine the influence of this disparate characteristic

of carbonate and silica sands on practical applications, model
tests were carried out on spudcan foundations penetrating
through four-layer soils, with a carbonate or silica sand layer
interbedded in soft clay. The experimental program was carried
out at 200 g in a drum centrifuge. The soil was confined within
a purpose designed strongbox to facilitate producing multi-layer
specimens, with the box mounted within the drum channel
(Hossain and Randolph 2012).
Spudcan penetration tests were performed using a halfspudcan (HS) and a full-spudcan (FS) model of 60 mm (12 m
prototype) diameter. The models were made from duraluminium
and included a 13 shallow conical underside profile (included
angle of 154) and a 76 protruding spigot. The half-spudcan
was designed to penetrate adjacent to the strongbox window,
permitting the soil deformation to be captured by a camera.
Separate full-spudcan penetration tests were performed away
from the edges of the box to measure the load-penetration
response, avoiding frictional resistance from the window.
Table 2 provides a summary of all centrifuge tests reported.
Four tests encompassed two different four-layer profiles: (i) soft
clay-carbonate sand-soft clay-stiff clay; (ii) soft clay-silica
sand-soft clay-stiff clay. These multi-layer clay samples were
prepared off the centrifuge. Two samples of uniform strength
were prepared by consolidating thoroughly mixed, and then deaired, kaolin slurry at 1 g in separate cells. Two different final
pressures were used to obtain comparatively strong and soft
samples. Each clay layer, as detailed in Table 2, was then cut to
size of the strongbox. The bottom two (3rd and 4th) clay layers
were amassed in the strongbox. A layer of water was poured
into the strongbox. Dry super fine silica sand (or carbonate
sand) was then air-pluviated into the strongbox on top of the
placed lower layers. A loose to medium dense layer was
deposited by raining the sand maintaining a relatively small
sand drop height of about 100 mm. The sand surface was
carefully levelled and the top clay layer was placed.
269
Table 2. Summary of centrifuge tests reported (D = 12 m).

Test
Layer 1
t1/D
Soil
FS1
HS1
FS2
HS2
0.25
Soft
clay
Layer 2
t2/D Soil
Carbonate
sand
0.5
Silica
sand
Layer 3
t3/D Soil
0.96
Soft
clay
Layer 4
t4/D Soil
Stiff
clay
0.33
Commercially available kaolin clay and super fine silica

sand are commonly used for centrifuge model tests at UWA and
an abundance of reliable data exists regarding the geotechnical
properties (e.g. Stewart 1992, Cheong 2002). The carbonate
sand was dredged directly from the North-West Shelf of
Australia, as discussed previously. The critical state friction
angles of the silica and carbonate sands were 34 and 40,
respectively.
The densities of the sand layers, which were determined by
measuring the total added sand weight and the volume formed
for all cases, corresponded to an average relative density, ID, of
44%. For the clay beds, characterisation tests were carried out
using a T-bar penetrometer, of diameter 5 mm and length
20 mm (model scale).
Figures 4 and 5 show the results from full-spudcan and halfspudcan tests, respectively. The load-penetration responses (see
Figure 4) are presented in terms of ultimate bearing pressure, qu
= P/A (where P is the penetration resistance and A is the largest
plan area of the spudcan), as a function of normalised
penetration depth, d/D. The potential for punch-through failure,
with a local maximum in penetration resistance followed by
some reduction, occurred for all cases investigated. The severity
of failure is conventionally quantified by (a) the degree of postpeak reduction in resistance and (b) the additional penetration
before the peak resistance is re-established. By comparing the
penetration resistance profiles for Test FS1 and Test FS2, on
identical soil profiles with identical sand relative density, the
measures of punch-through severity were significantly higher
for the sandwiched silica sand despite its lower friction angle
(crit = 34 compared to 40). This is due to the behaviour of
carbonate sand, as discussed previously and also described
below.
Vertical bearing pressure, qu (kPa)
0
100
200
300
400
Normalised penetration depth, d/D
A similar tendency can be found from the experimental

results reported by Desrosiers and Silva (2002). A direct
comparison was made between the behaviour of carbonate sand
from South Australia and silica sand from the United Kingdom.
At steady state shearing, the carbonate sand was already in
contraction under 500 kPa confining stress, while the silica sand
was still in dilation under 1000 kPa. The early transition to
contractive behaviour attributes the fact of particle degradation
of carbonate sand. The low grain hardness caused the grain to
start crushing at relatively low stresses and hindered the
development of potential maximum dilation. This behaviour
agrees well with that observed on the NWS carbonate sand.
Punchthrough
0.25
0.5
Carbonate
sand
ID = 38%;
crit = 40
Soft clay
Silica sand
ID = 38%;
crit = 34
0.75
1
Layer
interface
Soft clay
1.25
1.5
1.75
Stiff clay
2
Figure 4. Effect of interbedded sand mineralogy on load penetration

response: severity of punch-through (Tests FS1 and FS2, Table 2).
The accompanying soil deformation patterns are shown in

Figure 5 by means of contours of the incremental absolute soil
flow velocity v normalised by the foundation speed vspud. The
ratio v/vspud of unity indicates that the soil moves with a speed
equivalent to that of the spudcan. The soil deformations were

directed predominantly vertically down in the 2nd layer and
laterally out in the lower (3rd) soft layer. The soil around the
spudcan edges just started to flow back into the cavity formed
above the spudcan. It can be seen that, under this relatively high
confining stress in an embedded layer, the load spread angle is
about 8 in carbonate sand and 19 in silica sand. The load
spread angle is sometimes taken as the dilation angle (Lee et al.
2009; Teh et al. 2009). As such, it can be concluded that the
interbedded carbonate sand layer showed less dilatancy.
Furthermore, the trapped plug height (and hence the bearing
base) is slightly lower for carbonate sand.
In both deposits, with the progress of penetration, the
dilatancy was suppressed quickly and hence a plug with the
shape of an inverted truncated cone, bounded by clear shear
planes, was formed in the stronger (2nd) layer and moved down
with the spudcan. Continual backflow provided a seal above the
advancing spudcan and limited the cavity depth.
0.2 0.2
0.3
0.3
0.9 0.5
0.1
0.4 0 .2
0.70.60.9
0.81
10.9
0.7
0.18
20
30
0.2
0.7
0.6 0.6
0.6 0.5
100
0.7
0.50.6
0.4 0.5
0.5
40
50
60
00.7 10
0.6
0 .3
0.8
0.7
0
0 .2 .2
0 .4
0.5
0.9
0.8
0.3
2
0.0.1
0 .6
00.8
.7
0.3
0.
0.3
801
0.5
0.5
0.5
0.4
0.3
0.2
0.1
0.1
0.1
0.1
0 .1
0.1
0.1 0.1
0 .1
0.1
10
0.3
0 .3
0.
0 .1
0 .5
0.4
.30.3
0.4
100
0.4
0.5
0.4
0.7
0.6
60
0.4 0
5
0.
0.4
0.3
0.2
0.5
0.9
0.8
0.7
80
0.6
0.5
0.2
0.6
0.3
0.90 .8 0.7 0.6

1
0.4
0.1
0.8
0 .7 0.6 0.5 0.2
0.6
1
0.7
4
00.7.6
0.
0.4
0 .8
0.6
1 .9
0.3
0
0.9
0 .7
0.4
0 .9
0.5
0.4
0.2
0.4
0 .4
0.
6
0.3
40
0.3
0 .3
0.8
60
0.
0.3
0 .5 0.6
0 .19
0.5
0.4
0.69
0.
0.5
0 .2
0.2
0 .6
0. 0
8 .4 .3
0.7 0
0.1
0.3
40
20
0.6
0 .7
20
1
0.5 0.60.9
0.4
0.7
0.5
0.6
0.4
3
.
0.3 0
0
.3
0 .5
0.5
20
30
0.5
40
0.
0.3
4 0.3 0 .3
0.4
0 .5
50
0 .7
8
0.
60
Figure 5. Effect of interbedded sand mineralogy on dilation and load

spread angle (Tests HS1 and HS2, Table 2).
CONCLUDING REMARKS
This paper reported results from a series of simple shear tests

for characterising carbonate sand dredged directly from
Australian North-West Shelf. The stress-strain behaviour was
compared with those of silica sand, focusing particularly on
dilatancy. To examine the influence of dilatancy on foundation
performance, a series of centrifuge model tests were carried out
on spudcan foundations penetrating four-layer soils, with a
carbonate or silica sand layer interbedded in soft clay layers.
The following key conclusions can be drawn from the results
presented in the paper.
1. The dilatancy of carbonate sand was affected strongly
by the confining stress. Even for relative density as low
as 5%, in contrast to silica sand, dilative behaviour was
shown to occur, reflecting the greater interlocking
compared to silica sand.
2. With the increase of confining stress, dilatancy of
carbonate sand was suppressed quickly, and eventually
diminished completely at a relatively low stress level,
due to particle degradation. In contrast, silica sand
showed dilatant behaviour at stresses > 1000 kPa.
3. This distinctive characteristic influenced the behaviour
of continuously penetrating spudcan foundations,
causing a less severe punch-through failure in an
interbedded carbonate sand compared to that in silica
sand layer, with significantly lower bearing capacity.
270
ACKNOWLEDGEMENTS
The research presented here was undertaken with support from

the Australian Research Council through the Linkage Project
LP110100174. The work forms part of the activities of the
Centre for Offshore Foundation Systems (COFS), currently
supported as a node of the Australian Research Council Centre
of Excellence for Geotechnical Science and Engineering and in
partnership with The Lloyds Register Educational Trust. This
support is gratefully acknowledged, as is the assistance of the
drum centrifuge technician, Mr. Bart Thompson and soil
technician, Mrs. Satoko Ishigami.
7
REFERENCES
Al-Dhouri R.H. and Poulos H.G. 1992. Static and cyclic direct shear
tests on carbonate sands. Geotechnical Testing Journal, GTJODJ 15
(2), 138-157.
Bolton M.D. 1986. The strength and dilatancy of sands. Gotechnique
36(1), 65-78.
Cheong J. 2002. Physical testing of jack-up footings on sand subjected
to torsion. Honours Thesis, The University of Western Australia.
Coop M.R. 1990. The mechanics of uncemented carbonate sands.
Gotechnique 40 (4), 607-626.
Datta M., Gulhati S.K., and Rao G.V. 1980. Crushing of carbonate
sands during shear. Offshore Technology Conference, Houston.
Desrosiers R. and Silva A.J. 2002. Strength behavior of marine sands at
elevated confining stresses. Marine Georesources and
Geotechnology 20: 1-19.
Dutt R.N., Moore J.E., Mudd R.W., and Rees, T. E. 1985. Behavior of
piles in granular carbonate sediments from offsore Philippines.
Offshore Technology Conference, Houston.
Evans K.M. 1987, A model study of the end bearing capacity of piles in
layered carbonate soils. Phd Thesis, University of Oxford, UK.
Golightly C.R. and Hyde A.F.L. 1988. Some fundamental properties of
carbonate sands. Engineering for Carbonate Sediments. Balkema,
Rotterdam.
Hossain M.S. and Randolph M.F. 2012. Spudcan foundations on multilayered soils with interbedded sand and stiff clay layers. Int. J.
Offshore and Polar Engineering, 22(3), 248-255.
InSafeJIP 2010. Improved guidelines for the prediction of geotechnical
performance of spudcan foundations during installation and
removal of jack-up units. Joint Industry Funded Project.
Jamiolkowski M.B., Lo Presti D.C.F. and Manassero M. 2003.
Evaluation of relative density and shear strength of sands from cone
penetration test (CPT) and flat dilatometer (DMT). Soil Behaviour
and Soft Ground Construction, Eds. J.T. Germain, T.C. Sheahan
and R.V. Whitman, ASCE, GSP 119, 201-238.
Joer H.A., Erbrich C.T. and Sharma S.S. 2011. A new interpretation if
the simple shear test. Proc. Int. Symp. on Frontiers in Offshore
Geotechnics, Perth.
Lee K.K., Randolph M.F., and Cassidy M.J. 2009. New simplified
conceptual model for spudcan foundations on sand overlying clay
soils. Offshore Technology Conference, Houston.
Overy R. 2012. Predicting spudcan penetration in loose sand from
measured site soil parameters. Proc. 7th Int. Conf. Offshore Site
Investigation and Geotechnics, Society for Underwater
Technology, London, 589-596.
Randolph M.F., Jamiolkowski M.B. and Zdravkovi L. 2004. Load
carrying capacity of foundations. Proc. Skempton Memorial Conf.,
London, Vol. 1, 207-240.
Randolph M.F., Watson P.G. and Fahey M. 1999. An integrated study of
foundation systems in carbonate sediments. MERIWA Project No.
268.
Semple R.M. 1988. State of the art reports: The mechanical properties
of carbonate soils. Proc. Int. Conf. on Calcareous Sediments, Perth,
Australia, 2, 807-836.
SNAME 2008. Recommended practice for site specific assessment of
mobile jack-up units. T and R Bulletin 5-5A, 1st Edition Rev. 3,
Society of Naval Architects and Marine Engineers, New Jersey.
Stewart D.P. 1992. Lateral loading of piled bridge abutments due to
embankment construction. PhD Thesis, Univ. of Western Australia.
Teh K.L., Leung C.F., and Chow Y.K. 2009. Prediction of punchthrough for spudcan penetration in sand overlying clay. Offshore
Technology Conference, Houston.
Yoon Y. 1991. Static and dynamic behaviour of crushable and noncrushable sands. PhD Thesis, Ghent University.
th
A new test field in sulphide clay with test embankments for study of compression
properties
Un nouveau essai sur le terrain dargile sulfat en mettant en place des remblais dessai pour
l'tude des proprits de compression
Westerberg B., Andersson M.
Swedish Geotechnical Institute / Lule University of Technology, Sweden
ABSTRACT: In this paper on-going research of compression properties of Swedish fine-grained sulphide soils is presented. In the
paper, the establishment of two test embankments founded on sulphide clay at a new test field is described. Some selected results
from the project are presented. The characteristics of the particular types of sulphide soils investigated are shortly described. The
overall purpose of the research project is to improve the possibilities to predict long term settlements of structures founded on
sulphide soils.
RSUM : Cet article prsente des recherches en cours sur des proprits de compression des sols granulomtrie fine sudois.
Larticle dcrit ltablissement de deux remblais dessai fonds sur argile sulfat, dans un nouveau essai sur le terrain. Quelques
rsultats choisis du projet sont prsents. Les caractristiques des types particuliers de sols sulfats enquts sur le terrain sont
brivement dcrites. L'objectif gnral du projet de recherche est d'amliorer les possibilits de prdire des tassements long terme
des structures fondes sur les sols sulfats.
KEYWORDS: clay, embankments, sulphide, organic, compression, creep, settlements, geotechnical engineering.
1
INTRODUCTION
There is only limited knowledge concerning compression

properties of sulphide soils. There is thus a need for improved
tools to better predict settlements including creep settlements in
sulphide soils. Most often the predicted settlements of an
construction founded on sulphide soils deviates significantly
from those measured, and normally the predicted settlements
are too small.
Sulphide soils, as designated in this paper, are found and
common along the coast line of the Gulf of Bothnia, i.e. in
north-eastern Sweden over a distance of about 900 km and
north-western Finland, figure 1. Sulphide soils in Sweden are
not uniform, but properties like grain size distribution, water
content, and density vary as for other fine-grained soils with
location and often with depth (Westerberg and Andersson
2009). Sulphide soils in Sweden are most often designated as
organic silt to organic silty clay and in cases with higher organic
contents as silty or clayey gyttja (Larsson et al. 2007). In
sulphide soils, the structure is often relatively porous and the
voids between the mineral grains and clay particles are filled
with pore water, organic material and iron sulphide (Pusch,
1973; Eriksson et al. 2000). The organic matter and iron
sulphide are believed to contribute to the open structure, low
bulk density and high water content. The sulphide soils are
normally coloured black or varved with black bands and the
black colour comes from the iron sulphide (FeS). Sulphide soils
have normally low undrained shear strength, typically 10-20
kPa, and are in general very compressible and show significant
creep behaviour (Westerberg et al. 2005). These properties are
accentuated when the temperature is raised from in situ ground
temperature to room temperature in the laboratory (Eriksson
1992).
In this paper a few results are presented from an on-going
research project at the Swedish Geotechnical Institute (SGI)
concerning compression properties and settlement predictions of
sulphide soil (Andersson 2012). The results have been obtained
in connection with two test embankments founded on sulphide
2711
clay in a new test field at Lampen outside the city of Kalix (see
figure 1) and next to the new railroad Haparandabanan. The
main purpose of the project is to improve the knowledge of
compression properties of sulphide soils, with focus on the
creep properties. Another aim is to establish extensively
instrumented test embankments where settlements and pore
pressures can be measured during many decades to come.
Figure 1. The approximate location of sulphide soils (shaded area) in

north-eastern Sweden and north-western Finland (Schwab 1976).
th
FIELD AND LABORATORY INVESTIGATIONS
Field investigations of the properties of the sulphide soil in the

test field at Lampen have been performed mainly by cone
penetration tests, field vane tests and Swedish piston sampling.
An extensive program of laboratory tests, mainly oedometer
tests, both by incremental loading and constant rate of strain,
creep tests in oedometers, permeability tests and undrained
direct simple shear tests, was conducted for the determination of
compression and strength properties. In figure 2 bulk density,
liquid limit and water content of the sulphide soil in the test
field are presented. For the sulphide soil the clay content varies
between 25-36 %, the organic content between 2.7-5.1 % of dry
weight, the iron content between 2.9-4.3 % of dry weight and
the sulphur content between 0.5-1.6 % of dry weight. The soil is
designated as organic sulphide clay. Below the test
embankments the depth of the sulphide soil is in general about
7-9 m and overlaying a moraine. At the ground surface there is
a layer of peat down to about 0.4 m overlaying a layer of about
0.6 m relatively soft dry crust of sulphide soil.
Figure 3 Preconsolidation pressures at the test field at Lampen evaluated

from CRS oedometer tests (square symbol) and incremental oedometer
tests (cross symbol), and estimated effective vertical in situ stresses
(dotted line) with depth.
TEST EMBANKMENTS AND INSTRUMENTATION
Two test embankments with square bases of 30x30m2, one with

the final height 2.0 m (embankment 1), and the other with 1.5 m
height (embankment 2) have been constructed the year 2010 up
to 1.5 m, and raised 2011 to 2.0 m (embankment 1), figures 4-6.
A fine-grained moraine, with an average compacted bulk
density of 2.0 t/m3, was used as construction material for the
embankments, leading to pressures of about 40 kPa and 30 kPa
from the two embankments respectively.
Figure 2 Bulk density, water content (triangle symbol) and liquid limit
(cross symbol) with depth in the test field at Lampen.
Evaluated preconsolidation pressures from CRS and

incremental oedometer tests conducted at approximately soil
temperature and using the evaluation methods from Sllfors
(1975) and Casagrande (1936) respectively are presented in
figure 3. In the upper part of the soil profile, the two tests give
about the same results, and in the lower part the incremental
loading tests give higher values of preconsolidation pressure.
There is a significant overconsolidation with respect to the
current in situ stresses in the whole soil profile, figure 3.
272
Figure 4 Cautious construction of embankment around the measuring

equipment.
th
Figure 5 Construction up to height 1.5 m for embankment 1.
Figure 6 Finished construction of embankment 2 (1.5 m height).

Photograph taken about two years after finished the construction.
Equipment for measuring movements (deformations), pore

pressures and soil temperatures have been installed below and
beside the two embankments, see figure 7 for embankment 2.
For measuring horizontal movements inclinometer tubes of
PVC with a square cross-section were used. This equipment has
been designed for measurements in soft clays but had never
before been tested in sulphide soils, figure 8.
Figure 7 Plan of measuring equipment and cross-section of embankment

2 (in meters).
Figure 8 Inclinometer tube of PVC with square cross-section with steel

point at the end.
FIELD MEASUREMENTS
In figure 9 is presented one example of measured vertical

movements from settlement hoses and settlement gauges,
embankment 2 about 1.2 years after construction. The
settlements are similar when comparing the two measuring
methods.
273
th
Figure 9 Measured settlements by settlement hose and ground gauges,

embankment 2 about 1.2 years after construction.
CONCLUSIONS
Two test embankments, one with the height 1.5 m and the other
with 2.0 m, have been constructed on sulphide clay at a new test
field. Extensive measuring equipment has been installed to
measure movements and pore pressures in the underlying
sulphide clay. The construction of embankments and installation
of equipment has been successful and the measured
deformations obtained from the different equipments are in
general agreement.
6
ACKNOWLEDGEMENT
The research project is supported financially by the former

Swedish Road Administration, the former Swedish Railway
Administration, both organisations now joined as the Swedish
Transport Administration (Trafikverket), the Development Fund
of the Swedish Construction Industry (SBUF), the Swedish
Geotechnical Institute, and Lule University of Technology.
The research project is conducted in cooperation between the
Swedish Geotechnical Institute and Lule University of
Technology.
274
REFERENCES
Andersson M. 2012. Kompressionsegenskaper hos sulfidjordar, En fltoch laboratoriestudie av provbankar. Licentiate thesis, Division of
Mining and Geotechnical Engineering, Lule University of
Technology, Lule. (in Swedish)
Casagrande A. 1936. The determination of the Preconsolidation Load
and its Practical Significance. 1st International conference on Soil
Mechanics
and
Foundation
Engineering,
Cambridge,
Massachusetts, Vol. 3, p. 60.
Eriksson L. G. 1992. Sulfidjordars kompressionsegenskaper, Inverkan
av tid och temperatur. Licentiate thesis, 1992:08L, Division of Soil
Mechanics and Foundation Engineering, Lule University of
Technology, Lule. (in Swedish)
Eriksson L. G., Mcsik J., Pousette K. and Jacobsson, A. 2000.
Sulfidjord en problemjord lngs Norrlandskusten. Bygg &
Teknik, Vol. 92, No. 1. (in Swedish)
Larsson R., Westerberg B., Albing D., Knutsson S. and Carlsson E.
2007. Sulfidjord geoteknisk klassificering och odrnerad
skjuvhllfasthet. (Sulphide soil geotechnical classification and
undrained shear strength). Research report, 2007:15, Lule
University of Technology, Lule / Swedish Geotechnical Institute,
Report No. 69, Linkping. (in Swedish)
Pusch R. 1973. Influence of organic matter on the geotechnical
properties of clay. National Swedish Building Research, Document
11:1973, Stockholm.
Schwab E. 1976. Bearing capacity, strength and deformation behaviour
of soft organic sulphide soils. Ph.D. Thesis, Department of Soil and
Rock Mechanics, Royal Institute of Technology, Stockholm.
Sllfors 1975. Preconsolidation pressure of soft high plastic clays. Ph.D.
Thesis, Department of Geotechnical Engineering, Chalmers
University of Technology, Gothenburg.
Westerberg B., Albing D. and Larsson R. 2005. Research on strength
and deformation properties of Swedish fine-grained sulphide soils.
Osaka: Proceedings, International conference on soil mechanics and
geotechnical engineering, 16, vol 2, pp 623-626.
Westerberg B. and Andersson M. 2009. Undrained shear strength and
compression properties of Swedish fine-grained sulphide soils.
Alexandria: Proceedings, International conference on soil
mechanics and geotechnical engineering, 17, vol 1, pp 72-75.
th
Laboratory testing issues related to crushable sands

Questions concernant des essais de laboratoire sur les sables crasables
Wils L., Van Impe W.F., Haegeman W.
Ghent University
Van Impe P.O.

AGE (Geotechnical and geo-environmental consultancy)
ABSTRACT: Working with crushable sands, laboratory test issues arise related to their crushable nature and specific morphology.
Complications occur already when determining the minimum and maximum density. The major issue is erosion of the sand during
transportation and flow at testing, resulting in an ever increasing maximum density, affecting the definition of relative density, Dr. In
addition, as with any other granular material at the initial stages of compression, a crushable sand densifies when interparticle voids
decrease; yet when at a relatively low stress level particles also start to crush, their so-called intraparticle voids typical for sands
from bioclastic origin gain importance. Other issues influencing the crushable sand matrix are: polishing of angular grains into more
rounded particles; larger shells sheltering smaller grains; apparent cohesion due to interlocking of the angular particles, creating
sandclusters with the appearance of larger particles; etc. During any kind of treatment of the crushable sand samples, attrition of the
particles must be addressed with great care and granulometric properties should be closely monitored throughout.
RSUM : Pendant les essais de laboratoire sur le sable crasable, beaucoup de questions se posent lies sa nature dformable et sa
morphologie spcifique. Des complications surviennent dj lors de la dtermination de la densit minimale et maximale. Le
problme majeur est l'rosion du sable pendant le transport, ce qui augmente continuellement la densit maximale, et influence la
densit relative, Dr. En outre, comme dans autre sols granulaires dans les premires tapes de compression, un sable dformable
densifie par diminution des vides interparticulaires; pourtant, partir d'un niveau de contrainte relativement bas les particules
commencent aussi scraser, puis les vides dits intraparticulaires trait des sables bioclastiques rendent important. D'autres
questions aussi influent la matrice des grains crasables : le polissage des grains anguleux; grandes coquilles abritant des petits grains
de sable; la cohsion apparente par lembotement des particules angulaires, ainsi crant des clusters qui ressemblent de grosses
particules; etc. Pendant tout type de traitement des sables crasables, l'attrition des particules doit tre aborde avec soin et les
proprits granulomtriques doivent tre surveills.
KEYWORDS: Crushable sands ; Relative density ; Sieving ; Breakage.
INTRODUCTION
At the Ghent University Laboratory of Geotechnics, an ongoing research program focuses on the stress-strain behaviour of
crushable sands. Several laboratory test issues inherent to the
brittle nature and specific morphology of these grains
complicate the performing and interpretation of experiments
and the deduction of soil mechanical properties. Tests on
crushable sands need an appropriate approach that differs from
non-crushable, silica sands.
2 PREPARATION OF SAMPLES FOR LABORATORY
TESTING
Since tests in soil mechanics laboratories represent geotechnical
situations in the field, samples need to be prepared at a relevant
density. Usually the minimum and maximum dry density of a
sand are determined according to standard methods, and a
sample is prepared at the density of interest, and possibly
saturated if it is to resemble offshore conditions.
The minimum density in the research on crushable sands is
determined following the ASTM D4254. Method A, herein
described consists of pouring a mass of sand into a mould with
known volume through a funnel. The pouring spout of the
funnel has an inside diameter of either 12.7 mm or 25.4 mm,
depending on the grain size of the sand. Should the grains be
small enough, the small funnel can be used and this will yield
the lowest density owing to blocking of the sand and a very
275
1
slight sand stream. However, for a fine calcareous sand the

small funnel gets blocked due to a cohesive arch formed by the
angular particles. Jamming can only be avoided by gradually
filling the funnel, along with the progression of the sand
through the outlet. Therefore, contrary to what is normally the
case, lower densities are obtained using the large funnel and
pouring sprout.
For determining the maximum density of a crushable sand, the
usual Proctor compaction is replaced by a less invasive
vibratory table densification process as described in ASTM
D4253. In this procedure a known mass and volume of sand is
compacted by fixing the mould onto a table that vibrates at a
frequency of 50 Hz for 12 minutes. A surcharge of 13.8 kPa
keeps the sand grains from segregating. The test is repeated at
different peak-to-peak amplitudes between 0.30 and 0.91 mm,
where the optimal amplitude is the one where the
energy transfer of vibration to compaction is most efficient,
providing the maximum density by definition. This procedure
only holds true as long as there is no crushing during vibration.
Occurrence of crushing was evaluated by comparison of grain
size distributions before and after the densification. Instead of
having to divide the whole 3.5 kg of sand into manageable
portions to sieve, it was originally assumed that crushing would
occur mostly in the top layer; hence a 120 g sample was taken
from there. The granulometry then showed no evidence of
crushing and the test could therefore be continued at higher
th
amplitude reusing the tested sand. It was noticed (as shown in

Figure 1) that the density increased with higher amplitudes,
however for every refill of the mould extra sand was needed,
indicating that there had been erosion indeed. This had gone by
unnoticed in the sand portion from the top because segregation
during vibration had caused the crushed particles to flow
downwards in the mould. When the entire 3.5 kg sand mass
was mixed and representative portions of 120 g were taken and
sieved, crushing was eventually evidenced (Figure 2).
(especially when weighted with the total sample mass) or they

get lost due to the electrostatic effect during dry sieving. Yet
these small morphological and granulometrical alterations do
affect the structure and the packing (Figure 3) and hence the
behaviour of the sand to a considerable degree.
Unitweight(kN/m)
15
14
finalhighdensity
13
lowinitialdensity
12
minimumdensity
11
7,5
8,5
Amplitude
Figure 1. Vibratory table densification of S1-sand: Reusing the same
sand causes crushing, which increases both minimum and maximum
density. Note: The dimensionless amplitudes in this figure simply
denote the positions (on a scale of 10) on the rheostat controlling the
force of vibration, they are not the actual amplitudes.
Figure 3. Gradation and particle shape control the possible packing

configuration of sand (Youd 1973).
Figure 2. The granulometric distribution of S2-sand before and after

vibratory table test at amplitude 6.5. Crushing can be quantified by
Hardins relative breakage factor, here Br = 0.1 (see below).
High amplitude shaking causes crushing of the calcareous sand

particles, altering the sand and leading to an ever increasing
minimum and maximum density, the increase being greater with
increasing amplitude. It is important to define single correct
lower and upper values of the density in calculations of the
relative density since the definition of Dr = (emax-e)/(emax-emin) x
100 a ratio of two small numbers makes it vulnerable to
errors. Moreover, emin should be obtained without crushing since
the interpretation of any geotechnical test on crushable sand is
accompanied by the degree of crushing during the test, and
during the test only; any crushing that occurs during preparation
of the sample at a certain density is unwanted.
To some extent however, there is always a change in grain size
distribution when handling crushable sands. Youd (1973) offers
two determining factors by stating that a test has caused no
crushing when the increase of particles passing the N200
sieve (63 m) is less than 1.5% of the total specimen weight,
and the maximum increase of particles passing any sieve is less
than 2%.
Still, even when there is no discernible change in grain size
distribution, the densification process causes breaking of
asperities of the angular sand grains. Particles become more
rounded and very small dust particles are released. Both effects
leave the granulometric distribution unchanged: the diameter
(intermediate dimension) of a polished particle is still as before,
and the fines lack substance to appear in the sieve fractions
276
The ASTM D4253 notes that the sides of the mould may be
struck a few times using a rubber hammer to settle the soil so
that the surcharge base plate can be easily placed into position
and there is no surge of air from the mold when vibration is
initiated. Although the amount and intensity of the
hammerblows is not specified, a few (e.g. 3) strikes in smallscale densification tests on calcareous sand already prove
effective for further densification. The impact of the hammer
causes the initially unstable sand structure (with its many
bridges) to collapse into a more stable configuration that
allows further settlement by vibration rather easily and without
crushing. The standard method to obtain the maximum density
of a sand according to the Japanese Geotechnical Society (1992)
is based on this idea of densification by shear stress: a 40 mm
mould is filled with sand in 10 layers. After pouring each layer,
the mould is impacted sideways with 100 hammerblows. Some
questions remain with this method: the boundaries of the small
mould affect the densification process and the obtained
maximum density value, and the absence of a top plate enables
segregation of the sand grains.
The intent of the formulation of relative density Dr is to
evaluate the potential for the assembly of sand particles to form
a compressible structure. Yet when the maximum density
increases due to crushing, the upper limit in Dr changes. The
particular compaction behaviour of crushable sands (being
totally different from that of silica sands) might call for a
reviewed test method for emin. Most papers disregard this
problem of a correct determination of Dr of crushable soils. At
best they urge to keep in mind that the real Dr-value can differ
from the laboratory one, when using it for engineering purposes.
Mostly the problem is avoided by using the natural void ratio e0
as the primary variable and potential index to compressibility,
without relating it to emax and emin. For example Semple (1988,

th
one-dimensional consolidation tests, the minimum initial height

of the oedometer specimen shall not be less than ten times the
maximum particle diameter. However, due to calcareous
particles often being quite elongated, a presieved sample whose
particles all passed the sieve with aperture size 4 mm will still
contain particles measuring 10 mm and more, as is
demonstrated in Figure 5. Although in this case a 40 mm
mould would satisfy the dimensional requirements that were
formulated in the standard, such a mould might influence the
calcareous sand matrix beyond what is the case for more
rounded sand particles.
Figure 4) states that there is continuity of response of bioclastic

and silica sands in their consolidation behaviour, with the initial
void ratio as the controlling factor that differs only because of
the increased grain angularity of the bioclastic soil. Crushing is
therefore not perceived as a consequence of the mineralogy, but
as a consequence of the higher stress concentrations at fewer
interparticle contacts.
Figure 4. Schematic representation of the generalised compression

behaviour of bioclastic and silica sands: virgin compression occurs in a
diffuse band (Semple 1988).
Figure 5. Sieved S2-sand particles with D < 4 mm. From placement on

millimeter-paper, it is clear that they have dimensions exceeding 4 mm.
In large-scale model testing, calibration chambers are filled with

a homogeneous sand mass by pluvial deposition using a hopper
and upward moving diffuser sieves. For calcareous sands this
method has proved not useful (Nutt 1993), due to the
irregularity of the grain shapes and the dependence of the
method on a fluent sand rain for a homogeneous density. A
small-scale variant of this method is therefore certainly not
possible as a means of sample preparation.
Therefore, for the on-going study on crushable sand,
homogeneous samples are prepared at the desired void ratio by
sideways hammerblows using a small surcharge to avoid
segregation. For triaxial specimen where there are no
sidewalls to blow against satisfying homogeneity is obtained
by pouring and tamping the sample in layers in accordance with
the undercompaction method introduced by Ladd (1978).
In laboratory testing, not all densities can be obtained for
crushable sand samples. A relative density of Dr = 60% seems
both practical in the lab and relevant on site after deposition.
Higher densities are hard to come by without crushing, lower
values result in both structural collapse (obscuring the
progression of the test) and irreproducible samples - two sand
samples at the same high void ratio can have a different
structure.
Especially when saturating the samples with water by means of
flushing, a careful approach must assure that the grain structure
remains intact. At low stresses this is of particular importance,
since at low stress the sand structure is the controlling parameter
of its behaviour.
Bioclastic sand samples contain the skeletal remains of marine
organisms. Many of these shells are hollow, but in their
complete state a high capillarity initially prevents water from
penetrating the shells and reaching the enclosed intraparticle
voids. Yet, upon crushing of the particles the voids open up,
introducing air in the once saturated sample. For S2-sand, the
different specific gravities from pycnometer tests on complete
sand grains and on grinded powder (s,grains = 2.82 Mg/m,
s,powder = 2.88 Mg/m) are indicative of the amount of pores
enclosed within the shells (2.4% on average).
Regarding the dimensions of small-scale test set-ups for
calcareous sand, it is difficult to follow standard recommended
ratios. For example, according to the ASTM D2435 standard for
INTERPRETATION OF LABORATORY TEST DATA
Sieving is an essential part of the research on crushable sands.

Every test is accompanied by two sievings: one before and one
after the test. From the shift in the granulometric distribution,
the degree of crushing that occurred during the test is quantified
by means of a certain breakage factor, aiding the
interpretation of the test data.
An alternative to sieving beforehand, is to assemble virgin
samples following a preset granulometric distribution. Thus,
there is no need to take statistical granulometrical variances into
account, as the smallest shift in the grain size distribution will
unquestionably indicate crushing. Additionally, when
specimens share the same initial granulometry they have
identical breakage potential, defined by Hardin (1985) as the
area above the virgin granulometric curve. This renders
comparison of Hardins total breakage after the test (the
difference between the areas above the curve before and after
testing) more straightforward, with Hardins relative breakage
factor (the ratio between the total breakage and the breakage
potential) reserved for comparing different sands.
Such manual assembly of a sample is however not feasible for
larger samples. Moreover, after testing of a large sample, only a
small portion can be sieved, lest the sieves get clogged. How
and where within the large specimen a representative sample
must be taken depends on the interest of the research and the
kind of test (e.g. after shearing in a shear box, one might want to
sample near the shear plane whereas this wouldnt normally be
achievable after a triaxial test; after vibratory table densification
of sand, segregation has taken place within the mould, etc.).
After testing S2-sand under loads in the order of 1 8 MPa,
recovering of the sand from the mould is problematic because of
an apparent cementation. The only way to empty the mould
without further damaging the sand is by wetting the sample,
thus weakening the particle bonds. After drying the sample in
the oven at 105C, the sand mass is covered in a thin cemented
crust made of salt crystals, sticking the small particles together
(Figure 6a). Before sieving, the agglomerates must therefore be
manually broken into separate particles (Figure 6b), otherwise
they would create the illusion of larger particles. On the other
hand, the impression of crushing would be formed when fine
277
th
particles that are initially hidden in larger shells come loose

after manipulation.
Figure 6a and 6b. S2-sand after wetting and drying in the oven.
Even though crushing is most often evaluated through

granulometric distribution of equivalent grain diameters,
microscopic analysis of the sand grains is a useful addition to
fully quantify the effects of crushing as well as less invasive
abrasion and polishing. Microscopy allows for exact
measurement of grain dimensions, as opposed to a system of
sieves that is based on the assumption that particles are perfectly
spherical.
On a sample scale, Scanning Electron Microscopy might be a
useful tool for viewing the sand matrix and the intergranular
contacts, thus offering more insight in the effective stresses.
4
DEDUCTION OF SOIL MECHANICAL PROPERTIES
Findings from the laboratory tests must finally be translated to

geotechnical situations with crushable sand. On site conditions
are generally different from the laboratory: The very angular
shape of the grains causes an anisotropic behaviour; water and
temperature environment will be different; there is the scale
effect of the small-scale samples; ageing can cause cementation
that is hard to simulate in the lab. Crushing is a time effect and
therefore has more time to establish in the field than in the lab.
Corresponding to a continuous creep with time, the behaviour of
crushable sands also depends on the strain rate (Nutt and
Houlsby 1991), i.e. the possibility to form new structures
without crushing.
Correlations between geotechnical parameters that are based on
in situ experience with non-crushable sands, omit the specific
behaviour of crushable materials. As a solution, Wehr (2005)
links the differing best-fits between cone resistance and relative
density for silica and calcareous sand, through a shell
correction factor without however revising the entire
correlation.
Figure 7. The correlations between relative density and cone resistance

for quartz and calcareous sands can be related through a shell
correction factor that depends on the relative density (Wehr 2005).
CONCLUSIONS
Just as research on sand differs from research on clay, crushable

sands also need a different approach from non-crushable,
278
cohesionless sands. Sample preparation, test procedure and

interpretation need revising to accommodate for the crushability
and the angularity of the grains. The phenomenon of crushing,
which causes the sand-grains and sand-structure to alter
significantly during a test, complicates testing and the used sand
should be closely monitored throughout.
Usage of a crushable sand causes grain degradation, which
manifests as erosion or breakage, anyhow altering the minimum
and maximum density of the sand. Consequently, unlike silica
sands, geotechnical parameters of crushable sands cannot be
derived through correlations with the calculated relative
density, which is sensitive to errors in the limit density
determinations and which has no real meaning for crushable
sand. By the same token, crushing cannot be evaluated through
sieving alone, a closer look at the grain morphology by means
of microscopy is required to fully understand the structure and
thus, the behaviour of crushable sands.
6
ACKNOWLEDGEMENTS
The authors acknowledge the Belgian Dredging company

DEME, for providing the sands used in this study.
7
REFERENCES
ASTM Standard D4254, 2000, Standard Test Methods for Minimum

Index Density and Unit Weight of Soils and Calculation of Relative
Density, ASTM International, West Conshohocken, PA, 2006,
DOI: 10.1520/D4254-00, www.astm.org.
ASTM Standard D425, 2000 (2006), Standard Test Methods for
Maximum Index Density and Unit Weight of Soils Using a
Vibratory Table, ASTM International, West Conshohocken, PA,
2006, DOI: 10.1520/D4253-00R06, www.astm.org.
ASTM Standard D2435, 1996, Standard Test Methods for OneDimensional Consolidation Properties of Soils, ASTM
International, West Conshohocken, PA, DOI: 10.1520/D2435-96,
www.astm.org.
ASTM Standard D422, 1963 (1998), Standard Test Method for
Particle-Size Analysis of Soils, ASTM International, West
Conshohocken, PA, DOI: 10.1520/D0422-63R98, www.astm.org.
Hardin B.O. 1985, Crushing of Soil Particles, Journal of Geotechical
Engineering, ASCE, 111(10), 1177-1192.
JIS A 1224 Standard, 1992 (2009), Test Method for Minimum and
Maximum Densities of Sands, Japanese Geotechnical Society,
www.jiban.or.jp (in Japanese).
Ladd R.S. 1978. Preparing Test Specimens Using Undercompaction,
Geotechnical Testing Journal , ASCE, 1(1), 16-23.
Nutt N.R.F. 1993, Development of the Cone Pressuremeter, DPhil,
University of Oxford.
Nutt N.R.F., Houlsby G.T. 1991, Calibration Tests on the Cone
Pressuremeter in Carbonate Sand, Proceedings of the First
International Conference on Calibration Testing, Potsdam, New
York, 265-276.
Semple R.M. 1988. The mechanical properties of carbonate soils.
Proceedings of the International Conference on Calcareous
Sediments, Perth, Australia, Vol. 2, 397-406.
Wehr J. 2005. Influence of the Carbonate Content of Sand on Vibro
Compaction, Proceedings of the 6th International Conference on
Ground Improvement Techniques, Coimbra, Portugal, 625-632.
Youd T.L. 1973. Factors Controlling Maximum and Minimum
Densities of Sands, Evaluation of Relative Density and Its Role in
Geotechnical Projects Involving Cohesionless Soils, ASTM STP
523, American Society for Testing and Materials, 98-112.
th
Non-coaxial
Non-coaxial behaviour
behaviour of
of sand
sand in
in drained
drained rotational
rotational shear
shear
Comportement
Comportement non-coaxial
non-coaxial de
de sable
sable drain
drain en
en cisaillement
cisaillement rotationnel
rotationnel
Yang
Yang L.-T.,
L.-T., Yu
Yu H.-S.,
H.-S., Wanatowski
Wanatowski D.,
D., Li
Li X.
X.
Nottingham
Nottingham Centre
Centre for
for Geomechanics,
Geomechanics, University
University of
of Nottingham,
Nottingham, Nottingham,
Nottingham, United
United Kingdom
Kingdom
ABSTRACT:
ABSTRACT: This
This paper
paper presents
presents an
an experimental
experimental investigation
investigation into
into the
the non-coaxial
non-coaxial behaviour
behaviour of
of saturated
saturated sand
sand in
in rotational
rotational shear.
shear. A
A
series
series of
of drained
drained rotational
rotational shear
shear tests
tests has
has been
been performed
performed on
on dense
dense Leighton
Leighton Buzzard
Buzzard sand
sand in
in aa hollow
hollow cylinder
cylinder apparatus.
apparatus. The
The
degrees
degrees of
of non-coaxiality
non-coaxiality defined
defined as
as the
the deviation
deviation between
between the
the major
major principal
principal stress
stress direction
direction and
and the
the major
major principal
principal strain
strain
increment
increment direction
direction were
were analyzed.
analyzed. The
The test
test results
results demonstrate
demonstrate that
that the
the mechanical
mechanical behaviour
behaviour of
of sand
sand under
under rotational
rotational shear
shear is
is
generally
generally non-coaxial,
non-coaxial, and
and the
the variation
variation of
of the
the non-coaxiality
non-coaxiality degree
degree shows
shows aa periodic
periodic trend
trend during
during the
the tests.
tests. ItIt was
was also
also observed
observed that
that
the
the effective
effective stress
stress ratio
ratio has
has aa significant
significant effect
effect on
on the
the non-coaxiality
non-coaxiality of
of sand.
sand. The
The larger
larger the
the stress
stress ratio,
ratio, the
the lower
lower degree
degree of
of nonnoncoaxiality
coaxiality is
is induced.
induced. The
The results
results also
also show
show that
that the
the volumetric
volumetric strain
strain of
of sand
sand induced
induced by
by cyclic
cyclic rotation
rotation of
of principal
principal stress
stress axes
axes is
is
mainly
mainly contractive.
contractive. Most
Most of
of the
the volumetric
volumetric change
change occurs
occurs during
during the
the first
first few
few rotation
rotation cycles
cycles and
and its
its accumulative
accumulative rate
rate tends
tends to
to
decrease
decrease as
as the
the number
number of
of cycles
cycles increases.
increases.
RSUM
RSUM :: Cet
Cet article
article dtaille
dtaille une
une analyse
analyse exprimentale
exprimentale du
du comportement
comportement non-coaxial
non-coaxial de
de sable
sable satur
satur en
en cisaillement
cisaillement
rotationnel.
rotationnel. Une
Une srie
srie de
de tests
tests de
de cisaillement
rotationnel drain
drain sur
sur un
un sable
sable Leighton
Leighton Buzzard
Buzzard dense
dense dans
dans une
une presse
presse triaxiale
triaxiale
cylindre
cylindre creux
creux aa t
t ralise.
ralise. Les
Les degrs
degrs de
de non-coaxialit
non-coaxialit calculs
calculs comme
comme lcart
lcart entre
entre la
la direction
direction de
de la
la contrainte
contrainte principale
principale majeure
majeure
et
et la
la direction
direction de
de lincrment
lincrment de
de la
la dformation
dformation principale
principale ont
ont t
t analyss.
analyss. Les
Les rsultats
rsultats des
des tests
tests montrent
montrent que
que le
le comportement
comportement
mcanique
mcanique du
du sable
sable sous
sous cisaillement
rotationnel est
est gnralement
gnralement non-coaxial,
non-coaxial, et
et que
que la
la variation
variation du
du degr
degr de
de non-coaxialit
non-coaxialit prsente
prsente
une
une certaine
certaine priodicit
priodicit au
au cours
cours des
des tests.
tests. Un
Un impact
impact non-ngligeable
non-ngligeable du
du rapport
rapport de
de contrainte
contrainte effective
effective sur
sur la
la non-coaxialit
non-coaxialit du
du sable
sable
aa galement
galement t
t observ.
observ. Plus
Plus le
le rapport
rapport de
de contrainte
contrainte est
est grand,
grand, plus
plus le
le degr
degr de
de non-coaxialit
non-coaxialit induit
induit est
est bas.
bas. Les
Les rsultats
rsultats montrent
montrent
galement
galement que
que la
la dformation
dformation volumique
volumique du
du sable
sable induite
induite par
par rotation
rotation des
des axes
axes principaux
principaux de
de contrainte
contrainte est
est essentiellement
essentiellement
contractante.
contractante. La
La plupart
plupart du
du changement
changement volumique
volumique se
se produit
produit au
au cours
cours des
des quelques
quelques premiers
premiers cycles
cycles de
de rotation
rotation et
et son
son taux
taux
daccumulation
daccumulation tend
tend diminuer
diminuer lorsque
lorsque le
le nombre
nombre de
de cycles
cycles augmente.
augmente.
KEYWORDS:
KEYWORDS: non-coaxiality,
non-coaxiality, HCA,
HCA, drained
drained rotational
rotational shear,
shear, sand
sand
1
INTRODUCTION.
Non-coaxial behaviour refers to the non-coincidence of

principal stress directions and principal plastic strain rate
directions (Yu 2008). Evidenced by many laboratory
observations, granular materials, like sand, often exhibit noncoaxial behaviour (Roscoe et al. 1967, Symes et al. 1984,
Arthur et al. 1986, Gutierrez et al. 1991). In many practical
situations, ignoring the effects of soil non-coaxiality may be
unsafe (Yu and Yuan 2006).
Many loading situations such as those induced by
earthquakes, traffic loading and sea waves involve cyclic
rotation of principal stress axes. Extensive experimental studies
on principal stress rotation have been carried out on granular
soils over the past few decades (e.g., Ishihara and Towhata 1983,
Symes et al. 1984, Nakata et al. 1998, Yang et al. 2007, Tong et
al. 2010). Several test results have shown the significant effect
of principal stress rotation on the response of soil specimens.
Plastic deformations as well as non-coaxiality between the
principal directions of stress and strain increment can be
induced due to principal stress axes rotation.
Until now, most studies on soils undergoing cyclic rotation
of principal stress axes have mainly focused on the undrained
strength, flow deformation and liquefaction behaviour of soils
during rotational shear. The cyclic behaviour under drained
conditions has not attracted much interest. Very little literature
directly addresses the non-coaxial behaviour of sand under
cyclic rotation of principal stress axes.
2791
This paper presents an experimental investigation into the

non-coaxial behaviour of saturated sand in drained rotational
shear. All the tests were performed in a hollow cylinder
apparatus (HCA) which allows an independent control of the
magnitude of the three principal stresses and the inclination of
the major principal stress axis. The degrees of non-coaxiality
calculated as the deviation between the major principal stress
direction and the principal strain increment direction at different
stress ratios during rotational shear were analyzed.
2
2.1
TESTING ARRANGMENT AND PROCEDURES

Hollow cylinder apparatus
Figure 1. Applied loads and stress components in a hollow cylindrical

specimen.
th
In this study, the HCA, developed by GDS Instruments Ltd, was

used. For the details of the testing system, see Cai (2010). The
hollow cylindrical specimen had an inner radius of 30 mm,
outer radius of 50 mm and height of 200 mm. As shown in
Figure 1, the loading of the specimen consisted of an axial load
W, torque MT, inner cell pressure Pi and outer cell pressure Po.
The application of these stress components enables the control
of axial stress z, radial stress r, circumferential stress , and
shear stress z, on an element in the wall of the hollow
cylindrical specimen.
Since the stresses are not uniformly distributed across the
sample wall especially with unequal inner and outer cell
pressures, it is necessary to compute average values. The
equations used to calculate the average stress and strain
components are listed in Table 1.
Table 1. Equations used to calculate stresses and strains (Hight et al.
1983)
Direction
Stress
Strain
2
2
Vertical
w
W
Po ro Pi ri
z
z
2
2
(ro 2 ri 2 )
ro ri
H
CircumP r Pr
u ui
o o i i
ferential
ro ri
r r
o
specimens were consolidated isotropically under an effective

confining stress of p=200 kPa.
2.3
Stress paths of drained rotational shear tests
The stress paths in q - p and deviatoric stress planes are shown

in Figure 2. In the deviatoric stress plane, the vector from the
origin has a length equal to the magnitude of the deviatoric
stress q and makes an angle of 2, which is twice the angle of
the major principle stress 1 makes with the vertical direction.
During the tests, the samples were first subjected to monotonic
shearing in the vertical direction up to a specified stress ratio
(=0.8, 0.9, 1.0, 1.1) while keeping the effective mean stress p
constant (AB). After that the principal stress axes were
rotated counter clockwise (BCDEB) under drained
condition, while keeping the deviatoric stress constant and
maintaining the effective mean stress p=200 kPa and the
intermediate principal stress parameter b=0. To ensure full
discharge of water from the specimen, the major principal stress
direction was rotated at a slow rate of 2/min.
Radial
Po ro Pi ri
ro ri
u ui
0
r
ro ri
Shear
3MT
3
3
2 (ro ri )
2 (ro ri )
3
3H (ro ri )
ro: outer radius, ri: inner radius, H: height of specimen, w: axial
displacement, uo: outer radius displacement ui: inner radius
displacement, : torsional angle.
2
The major principal stress, intermediate principal stress and

minor principal stress are calculated by using Eqs. (1a)-(1c).
1
z
2
Figure 2. Stress paths for rotational shear test (Nakata et al. 1998).

2
z
z
2
2
(1a)
2 r
z
2

2
z
z
2
(1b)
(1c)
3.1
The stress path in drained tests can be characterized by four

independent parameters, namely the mean principal effective
stress p, deviatoric stress q, intermediate principal stress
parameter b and the angle between the major principal stress
1 and the vertical direction. These parameters are defined in
Eqs. (2a)-(2d).
p
1' 2' 3'
( 1 2 ) 2 ( 1 3 ) 2 ( 2 3 ) 2
2
' 3'
b 2'
1 3'
q
2 z
1
tan 1
2
z
2.2
(2a)
(2b)
(2c)
TEST RESULTS AND DISCUSSIONS

Development of volumetric strain
The evolutions of the volumetric strain v with the increasing

number of cycles for rotational shear tests are shown in Figure
3. A positive value along the vertical axis indicates contraction
and negative indicates dilation. Although the magnitudes of
principal stresses were maintained constant during each test,
contractive volumetric strain accumulated due to the rotation of
principal stress directions. It can be observed that most of the
volumetric strain occurs during the first few cycles and its
accumulation rate tends to decrease as the number of cycles
increases. It is clear that the effect of stress ratio on the
development of the volumetric strain is significant under
otherwise identical conditions. For all the four tests, the amount
of the contractive volumetric strain at the same number of
cycles increases with the increase in the stress ratio .
(2d)
=0.8
Sample preparation method
The tests were performed on dense Leighton Buzzard (Fraction

B) sand, with an initial relative density of Dri70%. Leighton
Buzzard sand is made up of sub-rounded particles and mainly
composed of quartz. It has a specific gravity of 2.65, mean
particle size of 0.62 mm, minimum void ratio of 0.52 and
maximum void ratio of 0.79 (Cai 2010). The water
sedimentation method was employed to prepare all the samples.
After saturation, with a Skempton's B value greater than 0.96,
280
=0.9
=1.0
=1.1
Figure 3. Stress paths for rotational shear test.
th
3.2
Non-coaxiality
The degree of non-coaxiality as measured by the deviation

between the major principal stress direction and the principal
strain increment direction, (d-) for tests with different stress
ratios are plotted in Figure 4(a) - (d). As elastic strain increment
takes a much smaller proportion in the total strain increment
compared to that of the plastic strain increment (Gutierrez et al.
1991), the total strain increment instead of the plastic strain
increment is used in the following analysis. In general, the
variation trend of the non-coaxiality degree shows an obvious
oscillation during the tests. Lower degrees of non-coaxiality are
observed in the first few cycles. When the rotational shear
continues, the strain increment direction becomes closer to the
stress increment direction and higher degrees of non-coaxiality
are observed. After about 20 rotation cycles, the variation of the
non-coaxiality degree appeared to be stabilized. It is clear that
the increasing trend of the non-coaxiality degree at the initial
stage is more obvious for tests with higher stress ratios.
The black solid lines in Figure 4 are the trend lines of the
non-coaxiality degree. With a lower stress ratio (=0.8), (d-)
is closer to 45, indicating the strain increment direction is
closer to the stress increment direction. At the same number of
cycles, the degree of non-coaxiality decreased with the increase
of the stress ratio. This observation agrees well with the
laboratory results presented by Gutierrez et al. (1991) and
numerical results obtained by Li and Yu (2009) based on DEM
simulations.
As described above, the variation trend of the non-coaxiality
degree shows an obvious periodicity during the tests. To have a
better view, the relationship of the non-coaxiality degree with
the major principal stress direction at the cycle numbers N=1
and N=20 are presented in Figure 5(a) and 5(b). Figure 6 shows
the corresponding stress paths and strain increments in these
tests. It is clear that the variation of the non-coaxiality degree
differs significantly at the two stages. At the initial stage when
N=1 the degree of non-coaxiality lies approximately in the
range of 10 to 40, as shown in Figure 5(a). It tends to decrease
when rotates from 0 to 90 and then increase during the latter
half cycles rotation. However, at N=20 (Figure 5b), the
fluctuation of the non-coaxial degree exhibits two periods of a
sine wave displaced at 180 degree intervals. Meanwhile, as
mentioned above, the stress ratio has a significant effect on the
non-coaxiality degree. The larger the stress ratio, the lower noncoaxial degree between the directions of the strain increment
and stress is induced.
Figure 5. Degree of non-coaxiality for rotational shear tests at: (a) N=1;
and (b) N=20.
Figure 4. Degree of non-coaxiality against number of cycles for test

with: (a) =0.8; (b) =0.9; (c) =1.0; (d) =1.1.
281
As shown in Figure 6, for both N=1 and N=20, the directions

of the strain increments are gradually enlarged with the increase
of the stress ratio. It is interesting to see that for N=20 the strain
increment differs significantly in different sections. When the
principal stress axes rotate along the stress paths of DA and BC,
which correspond to the major principal stress direction in
ranges of [45, 90] and [135, 180], the strain increment
direction almost coincides with the stress increment direction.
Similar results have been reported by Tong et al. (2010). For
lower stress ratios such as =0.8 and 0.9 in Figure 6, several
arrows pointed inside the cycle, indicating the strain increment
th
direction is larger than the stress increment direction. However,

when the principal stress axes rotate along the stress paths of
AB and CD, corresponds to in ranges of [0, 45] and [90,
135], the directions of the strain increments are larger and the
non-coaxiality between the directions of the strain increment
and stress are induced.
Figure 6. Stress paths and strain increments in rotational shear tests at

N=1 and N=20.
Lower degrees of non-coaxiality are observed in the

first few cycles. When the rotational shear continues,
the strain increment direction becomes closer to the
stress increment direction and higher degrees of noncoaxiality are observed. The variation of the noncoaxial degree appeared to be stabilized after
approximately 20 cycles of shearing.
It was also observed that the stress ratio has a

significant effect on the non-coaxiality. The larger the
stress ratio, the lower degree of non-coaxiality
between the directions of the strain increment and
stress is induced.
The mechanical behaviour of sand under rotational

shear is generally non-coaxial, and the variation trend
of the non-coaxiality degree shows an obvious
periodicity during the tests.
The volumetric strain induced by cyclic rotation of

principal stress axes is mainly contractive. Most of the
contractive volumetric strain occurs during the first
few cycles and its accumulation rate tends to decrease
as the number of cycles increases. The accumulated
volumetric strain increases with the increase in the
stress ratio.
CONCLUSIONS
This paper presents an experimental investigation of drained

behaviour of saturated Leighton Buzzard sand in rotational
shear. The samples were subjected to cyclic rotation of principal
stress axes while the magnitudes of mean stress and shear stress
were maintained constant. A special attention of the
investigation has been placed on the non-coaxiality of granular
soil subjected to the continuous rotation of major principal
stress axis at different stress ratios. The conclusions drawn are
as follows:
282
REFERENCES
Arthur, J. R. F, Koenders M. A. and Wong R. K. S. 1986. Anisotropy in

particle contacts associated with shearing in granular media. Acta
Mechanica, 64, 20-29.
Cai Y. 2010. An experimental study of non-coaxial soil behaviour using
hollow cylinder testing. Ph.D thesis. University of Nottingham, UK.
Gutierrez M., Ishihara K., and Towhata I. 1991. Flow theory for sand
during rotation of principal stress direction. Soils Found., 31 (4),
121-132.
Hight D. W., Gens A., and Symes M. J. 1983. The development of a
new hollow cylinder apparatus for investigating the effects of
principal stress rotation in soils. Geotechnique, 33 (4), 355383.
Ishihara K. and Towhata K. 1983. Sand response to cyclic rotation of
principal stress directions as induced by wave loads. Soils Found.
23 (4), 1126.
Roscoe, K. H., Bassett, R. H., and Cole, E. R. L. 1967. Principal axes
observed during simple shear of a sand. Proc. 4th Eur. Conf. Soil
Mech. Found. Eng., Oslo, 231-237.
Symes, M. J., Gens, A., and Hight, D. W. 1984. Undrained anisotropy
and principal stress rotation in saturated sand. Gotechnique, 34 (1),
11-27.
Li X., Yu H.S. 2010. Numerical investigation of granular material
behaviour under rotation shear. Geotechnique, 60 (5), 381-394.
Nakata Y., Hyodo M., Murata H. & Yasufuku N. 1998. Flow
deformation of sands subjected to principal stress rotation. Soils
Found. 38 (2), 115128.
Tong Z. X., Zhang J-M, Yu Y. L., Zhang G. 2010. Drained deformation
behavior of anisotropic sands during cyclic rotation of stress
principal axes. J. Geotchanical and Geoenviromental Engineering.
ASCE. 136 (11), 15091518.
Yang Z. X., Li X. S. and Yang J. 2007. Undrained anisotropy and
rotational shear in granular soil. Geotechnique, 57 (4), 371 384.
Yu, H. S. 2008. Non-coaxial theories of plasticity for granular materials.
Proc. 12th Int. Conf. of Int. Assoc. Comp. Meth. Adv. Geom.
(IACMAG), Goa, India, 361-378.
Yu, H. S., and Yuan, X. 2006. On a class of non-coaxial plasticity
models for granular soils. Proc. Royal Soc. A, 462, 725-748.
th
Test study and constitutive modelling of the time-dependent stress-strain behavior

of soils
Caractrisation
exprimentale
et modlisation
du comportement
contrainte-dformation
Test
et modlisation
du comportementen
fonction
du temps de contrainte-dformation
dpendance du
comportement
destemps
sols
Yin J.-H., Tong F.
Department of Civil and Environmental Engineering, The Hong Kong Polytechnic University, Hong Kong, China
ABSTRACT: This paper reports firstly the experimental data from one-dimensional (1D) straining oedometer tests and 2D
consolidated undrained compression (CU) tests on a bentonite (clay mineral montmorillonite) mixed with different percentages of
silicon sand. The 1D tests include (i) multi-staged loading tests with unloading/reloading and with creep and swelling and (ii) stepchanged constant rate of strain compression tests with unloading/reloading in 1D straining as well. From the test data, creep, swelling
and strain rate effects are observed and discussed. This paper introduces a new 1D Elastic Visco-Plastic model considering both creep
and swelling (called 1D EVPS) for soils in 1D straining based on the previous 1D Elastic Visco-Plastic (1D EVP) models. The 1D
EVPS model is used to simulate a step-changed changed constant rate of strain compression test with unloading/reloading in 1D
straining with comparison with measured data. In addition, the 1D EVPS model is used to simulate single-staged constant rate of
strain CU tests and relaxation tests. The typical results from a selected 2D CU test on a bentonite mixed 70% silicon sand under
effective cell pressure of 100 kPa in a triaxial state compressed with step-changed constant rate of strain and unloading-reloading are
presented and discussed in the paper. The 2D CU test data show clearly strain rate effects and unloading-reloading loops. The main
conclusions from the study are: (a) the stress-strain behaviour of a bentonite mixed with different percentages of silicon sand exhibits
strong dependence on time and strain rate; (b) in 1D straining condition, there exists a creep region when stress-strain state closer to
the normal consolidation line (NCL) and a swelling region when far away from the NCL; (c) the 1D EVPS model can re-produce well
the time-dependent stress-strain behaviour of the soil including creep, swelling, strain effects, relaxation, and unloading-reloading
loops in 1D straining condition; and (d) the data from 2D consolidated undrained triaxial compression tests on the bentonite-sand
mixture also show the strong strain effects and unloading-reloading loops.
RSUM : Cet article rend compte d'une part les donnes exprimentales provenant unidimensionnel (1D) rude preuve essais
oedomtriques et 2D consolids non drains de compression (CU) des tests sur une bentonite (montmorillonite minrale) mlang
avec des pourcentages diffrents de sable de silicium. Les tests 1D comprennent: (i) multi-tages essais de charge avec dchargement
/ rechargement et avec un taux constant de fluage et gonflement et (ii) tape chang d'essais de compression de dformation avec le
dchargement / rechargement en 1D forcer ainsi. D'aprs les donnes d'essai, les effets du taux de fluage, gonflement et la tension sont
observes et discutes. Cet article prsente une nouvelle 1D lastique visco-plastique modle considrant la fois au fluage et
gonflement (appel EVP 1D) pour les sols en 1D gouttage sur la base de l'lastique 1D prcdente visco-plastique (1D EVP) des
modles. Le modle 1D EVP est utilis pour simuler une tape chang taux a chang constante de l'essai de compression souche avec
dchargement / rechargement en 1D forcer la comparaison avec les donnes mesures. En outre, le modle 1D EVP est utilis pour
simuler une seule mise en scne constante de vitesse de dformation essais CU et des tests de relaxation. Les rsultats typiques d'un
test slectionn CU 2D sur une bentonite mlange sable de silicium 70% sous la pression de cellule effective de 100 kPa dans un tat
comprim triaxial avec sa belle-chang vitesse de dformation constante et le dchargement-rechargement sont prsents et discuts
dans le document. Les donnes 2D essais CU montrent clairement la souche effets de taux et de dchargement-rechargement des
boucles. Les principales conclusions de l'tude sont les suivants: (a) le comportement contrainte-dformation d'une bentonite
mlange avec diffrents pourcentages de sable de silicium prsente une forte dpendance du temps et de la vitesse de dformation,
(b) dans un tat tendu 1D, il existe une rgion de fluage lorsque le stress de souche tat plus proche de la ligne de consolidation
normale (NCL) et une zone d'expansion quand loin de la NCL, (c) le modle 1D EVP peut re-produire et dpendant du temps
comportement contrainte-dformation du sol, y compris au fluage, de l'enflure , les effets de dformation, de relaxation et de
dchargement-rechargement des boucles dans un tat tendu 1D et (d) les donnes provenant 2D consolids non drains des essais de
compression triaxiale sur le mlange de bentonite et de sable montrent galement les effets de contrainte forts et de dchargementrechargement des boucles.
KEYWORDS: Stress-strain, time-dependent, creep, swelling, relaxation, strain-rate, visco-plastic.
creep. It is found that some clayey soils exhibit both creep and
swelling such as soils containing clay mineral montmorillonite.
In this paper, the authors will report first the experimental data
from one-dimensional (1D) straining oedometer tests and
consolidated 2D undrained compression tests on a bentonite
mixed with different silicon sand contents. The 1D tests include
(i) multi-staged loading tests with unloading/reloading and with
creep and swelling and (ii) step-changed constant rate of strain
compression tests with unloading/reloading in 1D straining as
well. From the test data, creep, swelling and strain rate effects
are observed and discussed. The 2D tests include (i) multi-
1. INTRODUCTION
The stress-strain behavior of all geomaterials is time- (or rate-)
dependent. The time-dependence of the stress-strain may be
neglected for some geomaterials such as hard rock and sand, but
cannot be ignored for some geomaterials such as soft rock and
clayey soils. The phenomena of the time-dependence include
creep, relaxation, the increase of the pre-consolidation pressure
with strain rates, swelling, etc. Among these, creep is the
compression with time under a constant stress; while swelling is
expansion with time under a constant stress, opposite to the
283
1
th
staged isotropic loading tests with unloading/reloading and with

creep and swelling, and (ii) step-changed constant rate of strain
consolidated undrained compression tests (CU tests) in triaxial
state. From these test data, creep, swelling, relaxation, and strain
rate effects are investigated and discussed.
Based on the 1D Elastic Visco-Plastic (1D EVP) models
developed by Yin and Graham (1989, 1994, 1999), the authors
have proposed a new 1D Elastic Visco-Plastic model
considering both creep and swelling (called 1D EVPS) (Yin and
Tong 2011). The data from the multi-staged oedometer tests are
used to calibrate the new 1D EVPS model. After this, 1D EVPS
model is used to simulate the step-changed constant rate of
strain compression tests in 1D straining and other types of tests
and make comparisons.
2. OEDOMETER TESTS ON BENTONITE MIXED WITH
DIFFERENT SAND CONTENTS AND RESULTS
The authors have done a series of oedometer tests on a mixture
of bentone and silicon sand with silicon sand contents of 50%,
60%, 70%, 80% and 90%. Table 1 gives a simmay of basis
properties of the mixtue with 60%, 70%, and 80% (Tong and
Yin 2011).
Table 1 Basic properties for different bentonite-sand mixed samples
Sand proportion
50%
60%
70%
124.5
Water Content (%)
211.5
159.0
Liquid Limit WL (%)
146.0
106.0
82.6
Plastic Limit WP (%)
29.9
28.7
27.4
Plastic Index IP (%)
121.1
77.3
55.2
(a)
Creep
(b)
Swelling
(c)
Creep
Figure 1. Vertical strain against time in log scale for 50% sand mixed
with 50% bentonite (a) loading, (b) unloading, and (c) reloading
284
Normal consolidation
line (NCL)
Unloading-reloading loop due to swelling-creep

Figure 2. Vertical strain against vertical effective stress in log scale
from tests on bentonite-sand mixture (50% sand content)
The curves of log(time) and vertical strains for a mixture of

50% bentone and 50% sand are shown in Figure 1. The
oedometer test was carried out in stages and with unloadingreloading.
It is clearly seen from Figure 1(a) and (b) that the mixture
exhibits both time-dependent creep and swelling. It is noted
that swelling here is neither the rebound due to unlading, or
the expansion of an unsaturated clay due to absorbing water.
Instead, the swelling here is defined expansion of a saturated
clay due to swelling potnetial of the clay udner a constant
vertical effective stress. The swelling here is oposite to teh
creep.
Figure 2 shows the curve of vertical strain against vertical
effective stress in log scale from tests on bentonite-sand mixture
(50% sand content) with duration of 24 hours for each loading.
It is seen from the figure that there are two unloading-reloading
loops. The authors belive that the swelling and creep contribute
to the loops. This is because that when the specimen is
unloaded to very stress-strain state far from the normal
consolidaiton line (NCL), the swelling poential of the mixture
has caused the clay to expand and caused the time-depepdeint
reduction of strain. When the specimen is re-loaded to the
stress-strain state closer to the NCL, the mixtuer will have creep
compression. The authors also consider that the partical
movements of the mixture may also contribute to the formation
of the loops.
It is noted that the curves of log(time) and vertical strains
and the curves of vertical strain against vertical effective stress
in log scale of other mixtures are similar to those in Figures 1
and 2. From all test data, the authors have detrmined values of
compression index Cc, rebound index Cr, creep coefficient C
and swelling coefficient Cs. The definitions of those parameters
are:
C c
e
e
; C r
log z'
log z'
e
e
; C s
log t
log t
(1)
Values of Cc, Cr, C and Cs are presented in Table 1. In Table 1,

the ratio of C / Cc and C s /C r are also given. The following
ovservations can be obtained grom Table 2:
Both the compression index Cc and recound index Cr
decrease with the increase of the sand content. This means
that the more the sand content, the less compresssion of the
mixture.
In generally speaking, the creep coefficient Cdecreases with
the increase of the sand content. This means that the more the
sand content, the less creep of the mixture. In addition, the
coefficient Calso decreases with the increase of the vertical
effective stress.
In generally speaking, the swelling coefficient Csdecreases
with the increase of the sand content. This means that the
more the sand content, the less swelling of the mixture. In
addition, the coefficient Csincreases with the decrease of the
vertical effective stress.
th
The ratios of C/ Cc and Cs/ Cc also decrease with the sand

content.
zo'rs, zors
zo'rc, zorc
ln z'
Table 2 Creep and swelling indexes for different bentonite samples

Sand proportion
50%
60%
70%
80%
90%
Compression index
Cc
0.315
0.296
0.260
0.243
0.104
Rebounding index Cr
0.130
0.113
0.092
0.054
0.021
Creep coefficient C1
(z=100kPa)
Creep coefficient C2
(v =400kPa)
0.0304 0.0263
0.0227
0.0062
0.0025
0.0191 0.0141
0.0120
0.0051
0.0023
C/Cc (z =100kPa)
0.0965 0.0889
0.0873
0.0255
0.0240
C/Cc (z =400kPa)
0.0606 0.0476
0.0462
0.0210
0.0221
0.0284 0.0251
0.0160
0.0085
0.0033
0.0173 0.0131
0.0124
0.0062
0.0024
Swelling coefficient
Cs1 (z =10kPa)
Swelling coefficient
Cs2 (z =50kPa)
Cs1/ Cr (z =100kPa)
0.2185 0.2221
0.1739
0.1574
0.1571
Cs2/ Cr (z =400kPa)
0.1331 0.1159
0.1048
0.1148
0.1143
Cs1/ Cc (z =100kPa)
0.0902 0.0848
0.0615
0.0350
0.0317
Cs2/ Cc (z =400kPa)
0.0549 0.0443
0.0477
0.0255
0.0230
Slope : /V
Slope: /V (reference time
line for creep)
Unloading-reloading loop
Unloading
Reloading
Equivalent time lines for swelling
(swelling region)
s 1
V t os
exp[ z
rs
zo
V z'
]
s zo'rs
Slope : /V (reference time

line for swelling)
Figure 3. Conceptual illustration of creep, swelling, unloadingreloading loop, elastic line, reference time line, and equivalent
time lines (extended from Yin 1990; Yin and Graham 1989, 1994,
1999)
Yin and Tong (2012) has developed a new Elastic Visco-Plastic

model considering both creep and swelling of the clays in onedimensional straining, called 1D EVPS model. This new model
is based on the previous 1D EVP models proposed by the first
author and his co-workers (Yin 1990; Yin and Graham 1989,
1994). Important concepts of elastic time line, reference
time lines in both creep and swelling regions, and equivalent
time lines are shown in Fig.3 in the plot of the vertical effective
stress in ln-scale and vertical strain. The elastic line has a
slope / V and the two reference time lines in both creep and
swelling regions have the same slope / V where V 1 e o in
which e o is the initial void ratio. Other parameters are also
shown in the figure such ( 'zors, zors) and ( 'zorc, zorc) . Yin and
Tong (2012) used the natural logarithmic functions to fit the
elastic time line, reference time lines, and creep
compression using equivalent time concept. The 1D EVPS
model can be derived and expressed as:
Equivalent time lines for

creep (creep region)
Creep under
constant stress
3. A NEW 1D ELASTIC VISCO-PLASTIC MODEL FOR

SOILS EXHIBITING BOTH CREEP AND SWELLING
V '
z' c 1
exp[ z zorc c ] ' rcz

z
c
'
V z V to
zo
Reloading
Swelling under
constant stress
(2)
where the parameters ( c , t oc ) are for creep compression and

( s , tos ) are for swelling of the clays. Eq.(2) is a general
constitutive model for the time-dependent stress-strain behaviour
of soils exhibiting both creep and swelling in 1D straining. This
model is valid for all loading conditions such as constant rate of
strain (CRSN) loading, relaxation, unloading, reloading etc.
Yin and Tong (2012) has used data of a multi-staged
oedometer test on a bentonite mixed with 70% silicon silica
sand mixture (SMB) to determine values of all parameters in
Eq.(2). The basic properties can be found in Table 1. The initial
void ratio eo is 5.5 (after pre-consolidation but before oedometer
testing). All values of these parameters are presented in Table 3.
This 1D EVP model has been used to simulate the stressstrain behavior of the sane clay under step-changed constant-
285
rate of strain (CSR) loading with comparison with measured

data as shown in Figure 3. It is seen from this figure that the 1D
EBVPS
model
can
simulate
the
strain
effects,
unloading/reloading loops, and the non-linear stress-strain
behavior.
Table 3. Values of parameters in 1D EVPS model
Parameters
Bentonite with 70% sand
Elastic parameter / V
0.0542
Plastic parameter / V
0.1367
Creep parameter c
0.01956
Creep parameter to
24 hours
Swelling parameter
0.01554
Swelling parameter t
24 hours
Interception stress
50 kPa
Interception strain
s
o
'rc
zo
rc
zo
'rs
zo
rs
zo
Interception stress
16 kPa
Interception strain
This 1D EVP model has also been used to simulate the

stress-strain behavior of the sane clay under singled staged
constant-rate of strain (CSR) loading with CSR of
z 10 4 / sec, 10 5 / sec, 10 6 / sec, 10 7 / sec . It is seen from the
figure that the higher the strain rate, the larger the effective
stress. The pre-consolidation pressure increases with the strain
rate.
In addition, the 1D EVP model has also been used to
simulate the stress decreasing with tine (stress relaxation) in the
creep region and the stress increasing with tine (also called
stress relaxation) in the swelling region when the vertical strain
is kept a constant (Yin and Tong 2012). When the initial stressstrain state point is in the swelling region (far away from the
normal consolidation line, the clay has a swelling potential so
that the stress will increase with time when the specimen is
confined in vertical thickness (strain is constant).
th
Vertical effective stress (log scale), z (kPa)
1
10
(d) The 1D EVPS model can re-produce well the timedependent stress-strain behavior of the soil including creep,
swelling, strain effects, relaxation, and unloading-reloading
loops in 1D straining condition.
(e) The data from 2D consolidated undrained triaxial
compression tests on the bentonite-sand mixure also show
the strain effects and unloading-reloading loops.
100
0
Rate=10-5 1/sec
2
Rate=10-4 1/sec
Unloading Rate=10-5 1/sec
Vertical Strain, z (%)
Rate=10-6
1/sec
6. ACKNOWLEDGEMENTS
8
Financial supports (G-U663 and G-YG60) by The Hong Kong

Polytechnic University are acknowledged.
Reloading Rate=10-5 1/sec

Rate=10-7 1/sec
10
7. REFERENCES
12
CRS
14
EVPSModeling
16
Figure 4. Comparison of modelling results with measured data from

a CRS test with step-changed strain rates and with unloading and
reloading
4. CONSOLIDATED UNDRAINED TRIAXICAL

CONPRESSION TESTS ON BENTONITE MIXED
WITH SAND AND RESULTS
The authors have done consoldated undrained triaixal tests on
the same bentonite mixted with different ratios of silicon sand
with effective confining pressure of 50 kPa, 100 kPa and
200 kPa. Curves of (a) deviator stress versus axial strain, (b) the
excess porewater pressure versus axial strain, and (c) the
deviator stress versus effective (or total) mean stress of a CU
test on bentonite mixed with 70% of sand and effective cell
pressure of 100 kPa are shown in Figure 6. It is seen from
Figure 6 that the effects of strain rates are very significant. The
unloading-reloading loops are also evident.
Yin, J.-H. and Graham, J. 1989. Visco-elastic-plastic modeling of onedimensional time-dependent behaviour of clays. Canadian
Geotechnical Journal, 26(3), 199-209.
Yin, J.-H. and Graham, J. 1994. Equivalent times and one-dimensional
elastic visco-plastic modeling of time-dependent stress-strain
behavior of clays. Canadian Geotechnical Journal, 31(2), 42-52.
Yin, J.-H. and Graham, J. 1999. Elastic visco-plastic modelling of the
time-dependent stress-strain behavior of soils. Canadian
Yin, J.-H. and Tong, F. 2011. Constitutive modeling of the timedependent stress-strain behaviour of saturated soils exhibiting both
creep and swelling. Canadian Geot. J.l, 48(12), 1870-1885.Gibson
R.E. and Henkel D.J. 1954. Influence of duration of tests at
constant rate of strain on measured drained strength.
Gotechnique 4 (1), 6-15.
Tong, F and Yin, JH (2011). "Nonlinear Creep and Swelling Behavior
of Bentonite Mixed with Different Sand Contents under
Oedometric Condition". In the Journal of Marine Georesources
and Geotechnology, Volume 29 346~363.
(a)
Vertical effective stress, z (kPa)

0
0
20
40
60
80
The preconsolidation pressure increases with strain

=10-4 1/sec
EVPSModeling
c/V=0.00801
s/V=0.00704
60
Excessporewaterpressure(kPa)
Vertical Strain, z (%)
=10-5 1/sec
10
=10-6 1/sec
15
=10-7 1/sec
100kPaconfiningpressure
70%sandcontent
(b)
40
20
0
0
20
10
12
14
Axialstrain(%)
Figure 5. Simulation for strain rate dependent stress-strain behavior in

CSR tests using the EVPS model
90
TSP100kPaconfiningpressure
From the above presentation and study, the following

conclusions can be drawn:
(a) The stress-strain behavior of a bentonite mixed with
different percentages of silicon sand exhibits strong
dependence on time and strain rate.
(b) Creep, swelling, relaxation and strain effects are clearly
observed and are significant.
(c) In 1D straining condition, there exists a creep region with
stress-strain state closer to the normal consolidaition line
(NCL) and a swelling region far awar from the NCL.
286
Deviatorstress(kPa)
ESP100kPaconfiningpressure
5. CONCLUSIONS
(c)
60
30
0
0
20
40
60
80
100
120
140
Mean stress (kPa)
Figure 6. (a) Deviator stress versus axial strain, (b) the excess
porewater pressure versus axial strain, and (c) the deviator stress versus
effective (or total) mean stress CU test on bentonite mixed with 70%
of sand and effective cell pressure of 100 kPa
th
Special Features of Creep of Clayey Soils

Particularits du fluage des sols argileux
Zhakulin A.S., Zhakulina A.A., Orazaly E.E.
Karaganda State Technical University, Karaganda, Kazakhstan
Orazalin Z.Y.
Massachusetts Institute of Technology, Cambridge, USA
ABSTRACT: The problem of settlement predictions in clays involves the solution of complex engineering challenges associated with
the determination of many experimental parameters (modulus of deformation, lateral expansion ratio, coefficients of permeability and
consolidation, as well as rheological characteristics). The full analysis of ground behavior during consolidation and creep of the solid
soil particles at the time of the construction and operation is only possible if the site investigation and laboratory results are reliable. In
this paper the authors present the results of the long-term settlement observations (over 50 years) of large industrial facilities of
Karaganda Metallurgical Complex and the soil properties of these sites based on the thorough site investigation program. The
underlying soils have sufficient bearing capacity, relatively high values of density and low void ratios. The creep deformations at the
constant loads in the saturated state exhibited gradually decreasing character. The actual settlements of the structures and the
maximum allowable settlements (by the building codes) are compared. The conclusion is made on the need to amend the recognized
formula given by the building codes for the ground analysis by the second group of limiting states.
RSUM : Le problme de la prdiction de la base de sdiments est rduite la rsolution des problmes dingnierie complexes
associs la dtermination des paramtres exprimentaux (module de dformation, le coefficient de coefficients de dilatation latraux,
du filtre et la consolidation, de fluage et de la rhologie caractristiques) des sols argileux. Une analyse complte du comportement de
la base pour la consolidation et le fluage des particules solides du sol avec le temps au cours de la construction et lexploitation nest
possible que si les rsultats exprimentaux sont fiables et exacts. Les auteurs de cet article tablissent que les proprits physiques des
sols argileux du site de construction dans louest du Kazakhstan se caractrisent par une htrognit et la propagation en assez
grand nombre de valeurs de caractristiques. Les rsultats des observations de rglement long terme des grandes installations
industrielles de Karaganda Complexe Mtallurgique sont prsents dans le document. Les colonies relles des structures et les
colonies maximales admissibles (codes du btiment) sont compares. La conclusion se fait sur la ncessit de modifier la formule
communment reconnue pour lanalyse du sol par le deuxime groupe dtats limitatifs.
KEYWORDS: settlements, foundations, laboratory and in-situ characterization, creep.
1
Table 1. Physical- mechanical properties of the soils
INTRODUCTION
Facilities
The long-term settlements of large industrial facilities of

Karaganda Metallurgical Complex have been monitored for
more than 50 years by geodesic surveying. In order to record the
settlements, the survey points were installed during the
construction of the blast furnace, charcoal oven battery and 250
meters tall chimney structures of the complex.
It is known that the primary settlements occur during the
construction period and after several years of building
operation. The settlement stabilization in clays occurs over time.
In the central part of Kazakhstan the clayey soils (clay loam)
with mostly semi-solid consistency are dominant which turn
into a plastic state if the moisture content is increased.
In this regard, it is important to monitor the ground
deformations from the moment of foundation installation and
application of the loads, as well as to conduct the observations
of changes in soil water content and groundwater levels
(Tsytovich N.. et al. 1967, Tsytovich N.A. and TerMartirosjan Z.T. 1981, Ukhov S.B. et al. 2002.)
2
Properties
Units
Furnace
Oven
battery
Chimney
=
250
100
150
kN/m3
20,0
21,0
21,1
20,6
20,3
N/m3
26,8
27,0
27,0
26,9
27,2
12,5
14,2
18
19
17
0,25
0,24
0,26
0,21
0,26
0,52
Jl
0,52
0,76
0,49
0,66
deg.
21
24
21
22
19
0,08
0,06
0,06
0,08
0,06
19,5
14,1
15,0
16,9
17,2
These geotechnical investigations and laboratory testing

results show that the soils have relatively high density and low
void ratios. The laboratory studies confirm an increase in water
content of soils and the transition from a semi-solid to a lowplasticity consistency.
PHYSICAL - MECHANICAL PROPERTIES OF SOILS
The physical and mechanical properties of the soils underlying

the industrial facilities of Karaganda Metallurgical Complex are
presented in Table 1.
STRUCTURAL FEATURES OF FOUNDATIONS
The foundation of the blast furnace facilities was designed as a

monolithic mass of reinforced concrete with the plan area of
27.0 27.0 m. The reinforcement of the foundation consisted of
welded wire mesh made of steel class II. There are three
287
1
th
horizontal grids with spacing of 200 mm in both directions in

the lower zone of the foundation. In the upper zone there is the
grid reinforcement with spacing of 400 mm. The depth of the
foundation is 4.0 m. The bearing pressure is 300 t/m2.
The foundations of the charcoal battery structures consist of
box sections with the plan dimensions of 15.0 x 80.0 m. The
depth of the foundation is 3.5 m. Each foundation has 4 exhaust
ducts and 1 vent groove. The foundations were reinforced with
longitudinal and transverse bars with diameter 20 mm, class A II. The bearing pressure is 18.0 t/m2.
The foundations of the 250 meters tall chimney structures
are made of monolithic reinforced concrete. The foundation
base is round with the diameter of 40.0 m and height of 4.0 m.
The design load at the base of the chimney is approximately
21.1 t/m2. The adopted concrete grade for all types of
foundations was M300 on the Portland cement. Based on the
site-investigation to a depth 30.0 m, the groundwater was not
revealed.
4
LABORATORY STUDIES OF CREEP BEHAVIOR
The volumetric creep behavior of clayey soils under hydrostatic

compression was investigated on the triaxial testing devices by
applying a constant load (Tatsuoka F., Shibuya S. and Kuwano
R. 2001).
The results of the studies show that the structural strength of
the samples of clay with natural moisture and density content
ranged from 25 100 kPa; it was established experimentally
that the consolidation process of the intact samples taken at
different depths is significantly different with respect to time
and deformation modes. The intensity of consolidation for the
investigated soils under axial stresses of 25 100 kPa is
practically unchanged. It was mainly determined by the
destruction process of the soil structure and the development of
creep in the soil skeleton over time at the axial stresses of 100
400 kPa. The existence of transient creep in shear has been
established experimentally. The shear creep deformations at the
given loads in the saturated state exhibited gradually decreasing
character (Zhakulin A.S. and Zhakulina A.A., Kropachev P.A.
2011, Nakai T., Shahin H., Kyokawa H., Miyahara Y. 2011.).
The following plots were obtained based on the
investigation:
volumetric strains -time;
-relationship between the hydrostatic pressure and
volumetric strain;
pore pressure-time.
Figure 1 shows the test data volume creep of clay. The
values of the hydrostatic pressure in the experiments were:
= 0.10; 0.20; 0.3 P.
Figure 1. Volumetric creep curves of clay. 1 at m=0.1 P, 2 at

m=0.2 P, 3 at m=0.3 P
The results revealed that with the increasing m, the

stabilization time of the volumetric strain is increasing. It
should be noted that the experiments on the intact samples with
288
natural moisture-density content showed that the volumetric

strains were gradually decreasing for 1.5-2.0 days. When
was changed from 0.1 to 0.3 MPa the volumetric strains
increased by 2.1 times. During the study of the volumetric
deformations of the saturated clay samples, an increase in the
time of stabilization with an increase in the hydrostatic
pressures was observed. Therefore, at = 0.1 P the full
stabilization of volumetric creep deformations was achieved in
3-3.5 days, while at = 0.3 P this time increased to 5-7
days.
The values of volume strains when tested on clay samples
for volumetric creep upon application of step-increasing loads
were slightly less than upon the step application. This indicates
that the step-increasing loading contributes to hardening of
soil at each step and causes less strain than applying the same
magnitude of a constant load.
However, the deviation was not more than 12.5%, which
allows the use of the Boltzmann deformation imposition law.
The laboratory results indicate that the soils exhibit gradually
decreasing creep behavior (Vyalov S.S. 1978, Bulychov N.S.
1989).
5 SETTLEMENTS OBSERVATION RESULTS AND
THEIR ANALYSIS
The elastic deformations of the magnitude of 12 mm were
recorded during the dismantling of the blast furnace in 1985.
The settlements stabilized in 2 months after the erection of the
blast furnace. A similar pattern was observed in the
reconstruction of the most blast furnaces.
The graph of the settlements of the blast furnace in time is
shown in Figure 2. Upon the complete replacement of the oven
batteries in 1986, the elastic deformations of 9 mm were
observed which represented the one fifth of the total settlement.
The graphs of settlements over time for charcoal oven batteries
are shown in Figure 3.
Figure 2. Settlements of blast furnaces over time. 1 - furnace #1, 2 furnace #2, 3 - furnace #3.
The foundation base of the chimney is underlying by redbrown clay with semi-solid consistency. The stabilization of
foundation settlement occurred in 5 years after the construction
of the reinforced concrete stem.
The graphs of settlements of concrete chimneys in time are
shown in Figure 4. It was found that the deformations of the
foundations of blast furnaces and oven batteries were occurring
for 2-3 years after their commissioning. The foundation
settlements of the chimney structures faded immediately after
the completion of construction work.
The comparison of the theoretical solutions and the longterm field settlement observations for 50 years provides a great
deal of scientific and practical interest. In order to compare the
design values with the actual and maximum allowable values of
settlements (by building codes), the settlements of the
foundations of the blast furnaces, charcoal oven batteries and
250 meters tall chimneys were re-analyzed.

th
Table 1. Comparison of design, actual, and maximum allowable (by
building codes) settlements
Settlements, s, mm
Design
Facility
Blast furnace #1
Blast furnace #2
Blast furnace #3
Oven battery #1
Oven battery #2
Oven battery #3
Chimney (Power
Station)
Chimney =250 m
Chimney =100 m
Figure 3. Settlements of charcoal oven batteries over time. 1 battery

#1, 2 battery #2, 3 battery #3.
Actual
45
43
55
27
26
44
Method #1
(layer
summing)
156
163
178
138
120
140
Method #2
(equivalent
layer)
210
310
200
144
132
149
su
400
400
400
250
250
250
34
92
103
200
32
23
149
83
210
90
200
200
The total instantaneous foundation settlement can be

determined by using the elastic theory:
s0 pbf / Em
(2)
where Em elastic modulus for calculations;
f influence factor;
linearly distributed bearing pressure.
The components of the total settlements that take into
account consolidation and creep:
s s1 s2 Hmv p Hbk ln(t / tv )
(3)
To characterize the intensity of soil creep the creep
parameter b is used; it is determined by the compression tests
from the formula:
b kt / ln(t / tv )
(4)
Figure 4. Settlements of chimneys over time. 1 - Chimney =100m, 2 Chimney =250m, 3 - Chimney Power Station.
The settlements were calculated based on the design load:

for the blast furnace - 300 t/m2, for the chimney - 21.1 t/m2, for
charcoal oven battery - 18.0 t/m2 at the upper edge of the
foundation. The settlements were calculated by the method of
summing the elementary layers and the method of the
equivalent layer in accordance with the building code RK 5.0101-2002 "Foundations of buildings and structures." Table 2
provides the comparison of design, actual, and maximum
allowable (by the building codes) settlements.
According to the data provided, the actual foundation
settlements of the industrial projects were several times less
than the design values. As can be seen from Table 2, the actual
settlements of the industrial objects are much lower than the
design and maximum allowable ones: for the blast furnaces 6
17 times; for the oven batteries 2.5 7.0 times; for the Chimney
in 2.5 3.0 times.
It should be noted that the building codes do not take into
account the processes of consolidation and creep of the soil
skeleton over time. The analysis by the method of summing the
layers is based on the half-space elastic models.
The Eurocode 7 Geotechnical Design assumes taking into
account the elastic, consolidation and creep components of the
foundation settlements.
The settlements analysis that takes into account creep is the
following:
S =S0+S1+S2
(1)
where S total settlements; S0 instantaneous-elastic
settlements; S1 consolidation settlements; S2 creep
settlements (secondary);
where t skt / h - creep deformation; skt - creep

settlement accumulated during the time (t-tv), cm; h- sample
height, cm; t - compression time of the sample from the
beginning of its loading, days; tv end of consolidation, days.
During the construction period (t<t) the applied load is
varying over time. It is appropriate to use the theory of
hereditary creep of Boltzmann-Voltaire for the prediction of
creep settlements under the variable loads (Vyalov S.S. 1978,
Tsytovich N.A. & Ter-Martirosjan Z.T. 1981)
For the complex load growth pattern and complex core type
of creep, it is convenient to solve the integral equations of the
theory of hereditary creep by the numerical method of KrylovBogoliubov (Ukhov S.B. et al. 2002, Tsytovich N.A. & TerMartirosjan Z.T. 1981, Z.G.Ter-Martirosyan. 1990, Zaretskyi
Y.K.1988, Fadeev A.B. 1987, Zhusupbekov A.Z, Zhakulin
A.S, Orazaly E.E, Popov. V.N. 2001).
6
CONCLUSIONS
1. The long-term field settlement observation for 50 years

provides a great deal of scientific and practical interest.
2. The geotechnical investigations and laboratory testing results
show that the soils underlying the site have relatively high
density and low void ratios. The laboratory studies confirm an
increase in water content of soils and the transition from a semisolid to a low-plasticity consistency.
3. The laboratory results indicate that the soils exhibit
gradually decreasing creep behavior.
4. The actual foundation settlements of the industrial projects
were up to 2.5-17 times less than the design and maximum
allowable values based on the building codes.
5. The settlement analysis should take into account the elastic,
consolidation and creep components of the settlements, as well
as make use of elasto-plastic models of the ground.
289
6. The results show the need for additional research to collect

and systematize data and new amendments to generally
accepted formula in the building codes for determining the
foundation settlements with creep. The amendments to the basic
calculation formulae may bring the theoretically derived results
to more practical values on the depth of the main distribution of
compressive stresses, settlement values and the intensity of
creep.
1
REFERENCES
Tsytovich N.A. & Ter-Martirosjan Z.T. 1981. Bases of applied

geomechanics in construction. Moscow:VS, 382 p.
Tsytovich N.. et al. 1967. Prediction of settlements rates of buildings
and structures. Moscow: Stroizdat, 239 p.
Bulychov N.S. 1989. Mechanics of underground structures in the
examples and problems: A study manual. Moscow: Nedra, 270 p.
Ukhov S.B. et al. 2002. Soil Mechanics, Foundations. Moscow: VS,
566 p.
Building Code RK 5.01-01-2002 Foundations of buildings and
structures.
Vyalov S.S. 1978. Rheological principles of soil mechanics. Moscow:
Higher Schools Publishing House, 448 p.
290
Tatsuoka F., Shibuya S. and Kuwano R. 2001. Advanced laboratory

stress-strain testing of geomaterials. Netherlands: A.A Balkema
Publishers. Tokyo. 329 p.
Zhakulin A.S.and Zhakulina A.A., Kropachev P.A. 2011. Watersaturated soil stress-strain characteristics. The 14th Asian Regional
Conference Soil Mechanics and Geotechnical Engineering. Soil
Mechanics and Geotechnical Engineering: Challenges and
Solutions. Hong Kong. China, p.151-152.
Nakai T.,Shahin H.,Kyokawa H., Miyahara Y. 2011. Modeling of onedimensional consolidation behavior for clays. The 14th Asian
Regional Conference Soil Mechanics and Geotechnical
Engineering. Soil Mechanics and Geotechnical Engineering:
Challenges and Solutions. Hong Kong. China, p.128-129.
Z.G.Ter-Martirosyan. 1990. Reologic Parameters of the Grounds and
Calculations of the Construction Foundations. Moscow: Stroyizdat.
291 p.
Zaretskyi Y.K.1988. The Ground Ductility and Plasticity and
Calculations of the Construction. Moscow: Stroyizdat. 352 p.
Fadeev A.B. 1987. The Method of Final Elements in Geomechanics.
Moscow: Nedra. 221 p.
Zhusupbekov A.Z, Zhakulin A.S, Orazaly E.E, Popov. V.N. 2001.
Definition of parameters of consolidation and creep in saturated
soils. Proceedings of the 15th International Conference Soil
Mechanics and Geotechnical Engineering. Istanbul. Vol.1, p.817820.
General Report - Session II

Laboratory Testing of Geomaterials: Strength Properties and Treated Soil
Rapport gnral - Session II
Essais de laboratoire des gomatriaux : proprits mcaniques et sols traits
Kim D.-S.
Korea Advanced Institute of Science and Technology (KAIST)
ABSTRACT: This report presents a brief review of 30 papers submitted for the session on Laboratory Testing of Geomaterials :
strength properties and treated soils. The paper topics were very diverse but the papers were separated into four broad categories : 1)
shear strength, 2) treated soil, 3) testing method and 4) miscellaneous. Some papers include valuable database of important strength
parameters for design and some of the tested soils include special soils. The report includes discussions related to the categories,
summarizes the papers, and highlights their major conclusions.
RSUM : Ce rapport prsente un bref rsum des 30 contributions soumises la session Essais de laboratoire des Gomateriaux :
proprits mcaniques et sols traits. Les sujets traits ont t varis, mais finalement les contributions crites ont t groupes en
quatre grandes catgories: 1) rsistance au cisaillement, 2) sols traits, 3) mthode d'essai et 4) sujets divers. Certains articles
comprennent des bases de donnes pertinentes de paramtres importants de rsistance pour la conception douvrages et certains sols
tests font partie des sols spciaux. Le rapport comprend des discussions lies aux catgories, synthtise les rsultats et met en
vidence leurs principales conclusions.
KEYWORDS: laboratory test, shear strength, treated soil, testing method, database
1
including anisotropic undrained strength ratio, the comparison

of drained strength parameters obtained by traxial and direct
shear tests, drained strength parameters on OC Danish clay,
stiffness and strength parameters for Bangkok clays and rockfill
materials. For cohesive soils, strength parameters are correlated
with plasticity index and compared with the well-known
empirical correlations by Broker and Ireland (1965), Berre and
Bjerrum (1973), and Ladd et al. (1977). Strength and stiffness
parameters based on Duncan and Chang (1970) model were
obtained for Bangkok clay, Baghdad soil, and rockfill materials.
Six papers are in this topic and each paper is summarized as
below.
INTRODUCTION
The theme of this session focuses on Laboratory Testing of

Geomaterials II: strength properties and treated soils. The 30
papers submitted to this session are reviewed and summarized
in this report. To guide readers to the most relevant papers,
Table 1 is provided in the appendix that shows the paper ID and
main focus of each paper, subdivided into four broad categories:
a) shear strength, b) treated soil, c) testing method, and d)
miscellaneous. The first session of shear strength was
subdivided by three topics: 1) database of strength and stiffness
properties, 2) gas-hydrate bearing soil and mining by-products,
and 3) soil fabric and particle characteristics.
In paper 2137, Won developed the relation between anisotropic

strength ratio (Ks=SuE/SuC) and plasticity index using the
collected database of 203 pairs of triaxial tests performed on NC
natural clays from 14 countries. For a consistent comparison,
data selection criteria were carefully established. He found that
the anisotrophy was strongly influenced by the definition of
failure in extension test, and no general trend of anisotrophy
with plasticity were observed, once the anisotrophy data are
grouped into their depositional environments (Fig.1). It is
interesting to note that this is opposite to the well-known trend
that anisotrophy decreases with plasticity index and he
emphasized the importance of careful consideration of site
specific characteristics, spatial variability, depositional and
post-depositional environments of the clay.
The diversity of authors and tested soils truly highlights the

international nature of our profession. Authors are from
Australia, Brazil, Chile, Denmark, France, Greece, Hong Kong,
Hungary, India, Iran, Iraq, Japan, Korea, Mexico, South Africa,
Sweden, Taiwan, Thailand, United Kingdom, and United States,
based on the first author. Some of the papers include some
valuable database such as anisotropic strength ratio of natural
clays (2173), drained strength parameters from New Orleans
area (2280), over-consolidated Danish clays (2399), soft and
stiff Bangkok clays (2872), and rockfill materials (3011). Some
of the tested soils include special soils such as gas-hydrate
bearing ground in the Lake Baikal (2001), hydrophobic (nonwettable) sand (2178), soil with diatom microfossils in Mexico
City (2239), coal mine debris (2782), and copper mine tailings
(2800). The report includes discussions related to the categories,
summarizes the papers, and highlights their major conclusions.
2
In geotechnical projects, triaxial and direct shear tests are often

used interchangeably to determine drained shear strength
parameters without regard to the potential difference. In paper
2280, Castellanos and Brandon performed a series of 63
consolidated undrained (CU) triaxial tests and 146 consolidated
drained (CD) direct shear tests on undisturbed samples from
New Orleans area to compare the shear strength parameters.
They showed that drained friction angles obtained from the CU
triaxial tests were considerably higher than those obtained from
CD direct shear tests in New Orleans area (Fig 2) because
SHEAR STRENGTH
2.1. Database of Strength and Stiffness Properties

In the design of getechnical structures, strength and stiffness
parameters obtained by well-documented database and/or
correlation with index properties are valuably utilized in the
early stage of design. This session introduces test database
293
1
1.4
1.2
35
0.8
0.8
30
0.6
0.6
0.4
0.4
0.2
0.2
(a) Scandinavian clays
'oc (deg.)
1.0
1.4
1.4
United Kingdom
France
Italy
USA: Gulf of Mexico
1.2
1.0
0.8
0.8
0.6
0.6
0.4
25
0.0
0
1.4
1.2
1.0
0.6
0.6
0.4
0.4
0.2
(e) Japanese clays
0.0
20 40 60 80 100
c'derived olddata
c'estimated recentdata
c'estimated olddata
OCclays7%<IP<170%
40
20
LBestimate
0
20
40
Korea: Namak
Korea: Shihwa
Thailand
Indonesia
Singapore
0.2
0
4%<Ip<7%clay
till(GB)
10
100
1000
Ip (%)
Fig. 4. Relationship between effective cohesion c'oc and plasticity index

IP for overconsolidated undisturbed clays from Sorensen et al., paper
2399.
0.0
0
c'derived recentdata
60
1.0
0.8
100
80
1.2
0.8
Veryhigh
plasticityclays
10
Ip (%)
100
(c) European and

0.2
Gulf of Mexico clays
(d) Middle-East clays
0.0
20 40 60 80 100
0
20 40 60 80 100
1.4 (f) East Asian clays
Osaka bay
Izumo
Ariake
Kinkai
Tokyo bay
Other sites
Lowtohigh
plasticityclays
Fig. 3 Relationship between peak angle of shearing resistance'oc and

plasticity index IP for overconsolidated undisturbed clays from Sorensen
et al., paper 2399.
0.4
0.2
(n=58)
V.low
plasticityclays
20
Iraq: Fao
Iraq: Khor Al-Zubaire
1.2
1.0
(n=5)
10
20 40 60 80 100
FB(2011)
EB(2011,n=6)
(n=8)
15
(b) Canadian clays
0.0
20 40 60 80 100
Otherrecent triaxialtest(n=8)
GB(1992,n=38)
40
1.0
Ks = SuE / SuC
Oldertriaxialtest(>30yrs,n=61)
1.2
0.0
Ks = SuE / SuC
Best fitOCclaysCautiousLBOCsoilsCautious LBNCsoils
NBR site
Other sites
c'oc (kPa)
Ks = SuE / SuC
1.4
Norway: Definition-A
Norway: Definition-B
Sweden
Finland
20 40 60 80 100
In paper 2639, al-Damluji et al. provided the bounding surface

plasticity model parameters for Baghdad soils by Koconsolidated compression and extension triaxial undrained tests.
They mentioned these parameters can be used in the foundation
design in the central Baghdad.
Fig. 1 Anisotropic strength ratio versus plasticity index for different

depositional environments from J.Y. Won, paper 2137.
Effective Stress Friction Angle (deg)
40
CD Direct Shear
CU Triaxial
35
30
25
20
15
10
0
20
40
60
80
100
120
Plasticity Index (%)
Fig. 2 Relationship between effective stress friction angle and plasticity

index for CD direct shear tests and CU triaxial tests on undisturbed
samples from Castellanos et al., paper 2280.
natural soils can have a preferred particle orientation or

anisotropic fabric based on the deposition of the soil. The
difference was much less when remolded specimens were tested.
Empirical correlations between the index properties and the
strength and deformation properties of cohesive soils are useful
in geotechnical engineering practice. In paper 2399, Sorensen
and Okkels have suggested simple correlations between
plasticity index and drained peak strength parameters in terms
of oc and coc. The database includes triaxial compression test
results on undisturbed OC Danish clays from very low to
extremely high plasticity obtained from recent projects
including Great Belt bridge, Fehmarnbelt investigation, and
Esbjerg Harbour. The proposed correlations give cautious lower
bound values of drained strength parameters, which can be used
as a first approximation for use in the preliminary design (Fig. 3
and 4).
294
In paper 2872, Likitlersuang et al. re-analysed the stress-strain

data of soft and stiff Bangkok clays carried out at Asian
Institute of Technology (AIT). Several series of isotropic
consolidated drained and undrained compression (CID, CIU)
and extension (CIUE, CIDE) tests were carried out at AIT. The
finite element software PLAXIS contains the hardening soil
model as an extension of the Duncan-Chang hyperbolic stressstrain model. The stiffness and strength parameters required for
the hardening soil model to model undrained and drained
behaviors were obtained.
In paper 3011, Aghadam and Soroush studied mechanical
behavior of thirty types of rockfill materials based on the
hyperbolic model under triaxial compression. The rockfill
materials are categorized as three types: highly angular, angular,
and rounded. The exponent number was found to be dependent
on confining pressure due to the particle breakage. The
correlations estimating initial Youngs modulus and friction
angle were suggested based on particle shape, confining
pressure, and uniformity.
2.2. Gas-hydrate Bearing Soil and Mining By-Products
Energy resource development is a facing problem of mankind.
Gas-hydrate is an attractive energy source but the production is
challenging due to following uncertainties such as changes in
stress condition due to pore pressure changes during phase
transition and sediment softening and volume contraction due to
loss of hydrate bonding (Lee et al., 2011). Safe and economical
storage of by-products in the coal and copper mines is an
important geotechnical problem. Three papers are in this topic
and each paper is summarized as below.
Technical Committee 101 - Session II / Comit technique 101 - Session II
Gas hydrates(GH) are attracting an attention as a next

generation energy source but there are concerns that
dissociation of GH and exsolution of dissolved gas can reduce
the stability of seabed and may induce seafloor landslides. In
paper 2001, Yamashita et al. studied the effects of sample
disturbance due to the exsolution of dissolved gas in gashydrate bearing deep lake bottom sediments in Lake Baikal. The
hand vane shear and cone penetration tests were performed for
core samples. The laboratory simulation of stress relief caused
by bringing samples to the surface was also performed by CO 2
gas. They showed that the effects of the sample disturbance
become larger and the strength is lower with the increase of gas
concentration.
The overburden materials in the coalfields of South East
Queensland are dominated by uncemented rocks, which rapidly
break down on excavation to extract coal and bulk up to a very
loose density. In paper 2782, Williams and Kho performed the
direct shear test and staged creep compression test on scalped
specimens under dry and wet conditions. They found that
wetting-up causes a substantial reduction in shear strength and
they quantifies the settlement and shear strength of uncemented
overburden materials excavated from open pit mining in the
coalfields.
Both the increased production in the copper mining industry and
the decrease of available space for the construction of tailing
deposits led to the design of dam having unprecedented height
above 250m. In paper 2800, Campana et al. performed the
drained and undrained triaxial tests on four different tailing
sands from copper mines located in Chile and Peru by applying
confining pressure up to 3 Mpa. The deformation moduli, static
and cyclic shear strength under drained and undrained
conditions, densities and fine contents have been obtained. It
was found that tailing sands have shear resistance and shear
modulus values greater than expected in natural sands.
in the oedometer type thin-wall Ko test. They found that the

measured Ko values for loose sand were close to the calculated
values using inter-particle friction angle whereas for dense sand,
critical state friction angle produced close match to the
measured one, implying that the application of peak friction
angle may underestimate Ko value. For glass beads, calculated
Ko values using critical state angle were in good agreement with
measured results in loose and dense states.
In paper 2178, Kim et al. studied the hydraulic and
geomechanical properties of non-wettable sands using
artificially synthesized hydrophobic sands. Sands without any
treatment and with chemical treatment were used. Fig 5 shows
water distribution in hydrophilic and hydrophobic sands
observed by an optical microscope. They found that surface
modification at nano-scale determine the spatial configuration
of water phase in pore space and its impact on fluid flow and
strength with varying degree of saturation prevails.
0.5 mm
(b) Spatial distribution of water

in the non-wettable sands
(c)
(d) Contact angle on the non-
Contact
angle
on
wettable surface (~13)
2.3. Soil Fabric and Particle Characteristics

Fabric is a collective term to describe the geometric
arrangement of grains and voids, and the distribution of interparticle contacts, and the influence of initial fabric on stressstrain-strength responses received great attention and the
uniqueness of critical state has been great challenged (Negussey
and Islam, 1994). The particle characteristics such as particle
shape, surface roughness, and angularity can affect inter-particle
behaviors. Soils in nature often become hydrophobic (nonwettable) due to organic pollutants, wild fire, oil spill, and the
difference in surface properties result in clear difference in flow
and mechanical behaviour even in macro scale (Kim et al.,
2010). Five papers are in this session and two of those are
studied by numerical simulations.
The strength parameters are very important to conduct the
stability analysis of earth structures but test results using
reconstituted specimens change easily depending on the sample
preparation method. In paper 2043, Kotaka et al. studied the
effects of initial water content during sample preparation on
undrained shear behaviour in gravel-mixed sand. They thought
that initial suction in the specimen produce various soil
structure and verified using numerical simulation by the SYS
Camclay model. It was found that numerical simulation can
reproduce the various types of experimental shear behaviours of
the gravel-mixed sand derived from the different soil structures.
The Jackys Ko equation is commonly used for the estimation of
Ko but uncertain aspect still exists which value of friction angle
be adopted because the friction angle is a state-dependent
variable. In paper 2166, Lee et al. investigated the effects of
particle shape, surface roughness, and angularity on Jackys Ko relation using normal sand, glass bead, and etched glass bead
295
0.5 mm
(a) Spatial distribution of water

in the wettable sands
the
Fig. 5 Optical observations of water droplet formed on the weattable

and non-wettable samples in the micro scale from Kim et al., paper
2178.
Non-coaxial behavior of saturated sands, which refers to the

non-coincidence of the principal stress directions and the
principal plastic strain rate directions, were studied using
hollow cylinder apparatus in paper 2489. Yang et al. found that
the effective stress ratio has a significant effect on the noncoaxiality of sand. The volumetric strain of sand induced by
cyclic rotation of principal stress axes was mainly contractive
and it occurs during first few cycles.
Critical state refers to a state where material undergoes
continued distortion at constant volume and constant stresses,
and the advances in modern laboratory tests have initiated the
discussion on the effect of fabric on critical state and thus its
uniqueness. In paper 2960, Yan and Zhang investigated the
fabric evolution of idealized two-dimensional assemblages
having different initial fabrics subject to numerical biaxial
shearing. It was found that a unique fabric of particle orientation
and void space is achieved at very large strains where the
stresses and volume of the assemblages are constant.
3. TREATED SOILS
Soft soils are prominently found in coastal regions and low land
areas where many important infrastructures are located. Various
admixtures are currently used to enhance the mechanical and
flow properties of clay and sand soils. Historically, Portland
cement and lime have been used for this purpose (Tim Newson,
2009). Recently, cement-mixed gravelly soil is used to construct
bridge abutments for high speed trains in Japan and lightweight
observed sensitive to the details of the aggregate grading. For

DAC, the behaviour was controlled by the aggregate particles
but little affected by bitumen, whereas the bitumen has a
significant effect on stress-strain-strength behaviour for SMA.
cemented clays are used as a backfill for quay walls and bridge
abutments. This session deals with various kinds of treated soils
including lime treated soil, cement mixed soft clay, clay with
diatom microfossils, cement mixed gravelly soil, asphalt
aggregate, and lightweight cemented clay.
Lightweight cemented clays have wide applications as a backfill

to reduce the earth pressure, as a fill on soft soil to reduce
overburden pressure, and as a method of reducing pressure on
the tunnel lining. In paper 3040, Horpibulsuk et al. found that
the void/cement ratio, V/C, is the prime parameter governing
the strength and compression characteristics. The yield stress in
Ko-consolidation and compressive strength increase as V/C
decreases and a relationship between strength, void/cement ratio
for a particular water content and curing time was proposed.
In paper 1831, Hibouche et al. studied the small strain

behaviours of lime treated soil using small strain triaxial tests
equipped with two types of sensors to measure local strains:
strain gauges and Hall effect sensors. Both measurements were
compared. The elastic moduli derived from cycles in strains less
than 10-4 were compared with those deduced from the elastic
wave speed. Relations between the modulus, the strain level,
and the hardening were established.
Compared to other methods of improving the soft ground, deep
cement mixing and mass stabilization with binders are rapid
techniques of ground improvement. In paper 2174, the
interaction of binders with the soft clay and improvement in
strength were studied based on water/cement ratio, water
content of clay, and curing time. The used binders include
cement, lime, fly ash, slag and Sodium Silicate. The unconfined
strength increased with decreasing water/cement ratio
irrespective of initial water content of clay and the addition of
Sodium Silicate to cement enhance the strength significantly.
4. TESTING METHOD
This section describes six papers that review the testing
methods for soil properties. The measured soil properties
include compaction, particle size distribution, tensile strength of
soil, permeability, dispersive soil, and dry density of soil. The
importance to understand proper mechanism, reliability of test
results, source of errors and the need to develop optimum
procedure without ambiguity are discussed in this session.
In paper 2210, Perez et al. studied gyratory compactor which is
developed to simulate the field compaction mechanism
produced by the sheep foot roller. The controlled variables were
gyration angle, vertical pressure, and number of gyrations. The
optimum water content was reduced and dry density was
increased as the vertical pressure increases, but the compaction
curves are similar regardless of gyration angle and rate. It was
suggested that using heavy equipment rather than many passes
is more effective to increase the dry density.
There are several sites in the world where diatom microfossils

have been detected in the soil deposits. Those soil deposits have
singular physical and mechanical properties that do not follow
the well-established empirical relations. In paper 2239, a series
of oedometer tests was performed on artificially prepared
mixtures of diatom microfossils and kaolin and it was observed
that the presence of diatom microfossils substantially alters the
index properties as well as compressibility.
The cement-mixed gravelly soil (CMG) is widely used in
geotechnical engineering and it is needed to develop the design
and construction procedures. In paper 2287, a series of drained
triaxial compression tests were performed on laboratory
prepared specimens and rotary core samples from the field. To
better correlate the strength and deformation characteristics of
CMG, two independent parameters are postulated; the soil
skeleton porosity, ns (representing the structure of the skeleton
of gravelly soil particles only), and the cement void ratio, Cr
(representing the fraction of the void of the soil skeleton
occupied by cement). An empirical equation to predict the
compressive strength is proposed using soil skeleton porosity,
which controls initial compressive strength, and the cement void
ratio which controls the increasing manner of qmax with curing
time. The effects of grading characteristics on the strength were
not significant but the effects of specimen volume were
significant.
The particle size distribution of coarse-grained soils is

traditionally determined by sieve tests. In paper 2248, Ohm and
Hryciw discussed two image-based systems, the Sedimaging
(for 2.0 mm to 0.075 mm particles) and the Translucent
Segregation Table (TST) (for 75 mm to 2 mm particles). These
tests do not require that particles be physically detached from
one another unlike previous image-based methods. Testing
setup of TST is shown in Fig. 6. Sedimaging uses mathematical
wavelets to determine particle sizes and requires a camera
magnification that provides at least 3 pixels per particle
(PPD=3). The TST uses watershed analysis to digitally detach
particles and requires PPD=9. The minimum PPDs must be
achieved while capturing entire specimens in the cameras field
of view. Extension of the systems to silt sized particles is
explored.
The soil cement technique has been used in pavement base

layers, slope protection for earth dams, as a base layer for
shallow foundations, and to prevent sand liquefaction. In paper
2579, the elastic moduli of soil-cement mixtures in terms of
shear and constrained moduli at small strain were measured
with time based on wave propagation by Consoli et al.
Significant increase in stiffness was observed compared to the
uncemented sands as curing process continues. The unique
relationships linking modulus values with porosity/cement ratio
and curing time was developed.
The behaviour of asphalt under slow rates of loading and of the
role of the aggregate skeleton is important when pavement is
subject to subsidence. In paper 2851, Airey and Prathapa
performed a series of conventional drained and undrained
triaxial tests on two types of asphalt, stone mastic asphalt(SMA)
and dense asphaltic concrete(DAC). Tests without asphalt
binder have also been conducted. The behaviour of asphalt was
Fig 6. Translucent Segregation Table (TST) from Ohm & Hryciw et al.,
paper 2248.
The tensile strength of soil is an important parameter in the

design of geo-systems, where tensile cracks contribute to the
progressive erosion or landslides in excavation, slopes, dams,
296
riverbanks and other earth structures. In paper 2572, Ge and

Yang developed indirect indentation method based on an upper
bound solution to a split tension failure in limit analysis and
performed a series of indentation tests on lightly cemented sand.
The limitation of this method is that a certain level of brittleness
of the specimen is required so that a split tension failure would
occur.
Coefficient of permeability can vary over an order of magnitude
depending on the testing method even in a relatively
homogeneous layer. In paper 2930, Nagy et al. determined and
compared permeability coefficients of a sandy silt and a silty
sand obtained by Khafagi probe, Menard probe, water filtration
method, constant head and falling head laboratory tests. As
shown in Fig. 7, the result showed higher scattering than
expected which has a relative error of one order of magnitude.
They suggested that it is not practical to use different
measurement methods in a single borehole because swapping
may result in measured findings showing greater differences
than normally accepted.
1,00E-03
1,00E-04
1,00E-05
1,00E-06
1,00E-07
6. REFERENCES
Papers in the session of Laboratory Testing of Geomaterials II:
Strength Properties and Treated Soil (please see AppendixTable 1)
ADDITIONAL REFERENCES
1,00E-08
Berre T. and Bjerrum L. (1973). Shear strength of normally consolidated

clays. Proc. 8th ICSMFE, Moscow 1, pp.39-49.
54+260 section
water filtration
Menard-probe
Fine sandy silt
In paper 2705, Sarma and Sarma described the influence of

minerals on the elastic behaviour of cohesive soil. They
mentioned that the pattern is unique for cohesive soil and is
under the possible domination of the existence of a common
mineral and extent of its weathering process.
Brooker E. W. and Ireland H.O. (1965). Earth pressure at rest related to

stress history. Canadian geotechnical journal, vol. 2, no. 1, pp.1-15
Coefficient of permeability k (m/s)

1,00E-02
0
performed and numerical analysis was followed. The results

indicated that failure was caused by a combination of factors
including inappropriate waste disposal practices and compaction,
leachate and gas pressure generation and increased steepening
of the landfill slopes.
Khafagi-probe
constant head test
falling head test
Hazen-equatation
depth (m)
Duncan, J.M. and Chang, C.M. (1970). Nonlinear analysis of stress and
strain in soils. Journal of Soil Mechanics and Foundations
Division, ASCE, 96(SM5), pp.1629-1653.
Groundwater not appeared
Silty fine sand
Kabai, I. (1974). The effect of grading on the compactibility of coarse

grained soils. Periodica Polytechnica.18 (4), pp.255-275.
Kim, D.H., Kim, Y.J., Lee, J.-S., Yun, T.S., (2010). Thermal and
electrical response of unsaturated hydrophilic and hydrophobic
granular materials. Geotechnical Testing Journal 34(5), pp.562-570.
Fig. 7 Measured permeability coefficients from Nagy et al., paper 2930.
The reliable identification of dispersive soil is crucial but recent

testing suggests that many shortcomings related to testing of
dispersive soils have been overlooked during past routine
investigations. In paper 2976, a comparative study involving the
testing of three samples using one standard test, the SCS double
hydrometer test, was carried out. Maharaj and Paige-Green
observed that the variability of the results appears to be the
cause of many of the ambiguities and discrepancies in the
classification system and stressed the needs to develop optimum
procedure which is simple and have as few ambiguities as
possible so that no misinterpretation can occur.
In paper 3084, Imre et al. performed a statistical analysis based
on the results of two doctoral programs concerning the dry
density of sands (Kabai 1974, Lorincz, 1986). They showed that
the different dimension of the mold has some impact on the
measurement of minimum dry density and the emax test of the
German DIN may be biased because of the arching due to the
too small ratio of the diameter and height of the mold.
5. MISCELLANEOUS
Hardening due to thixotropy is important mechanism for the
very soft dredged soils with high water contents. In paper 2446,
Tanaka and Seng studied the thixotropic hardening by
measuring change in stiffness and strength with time using
bender element and vane shear tests. The effect of thixotropy
was found to be significant at around the liquid limit state and
the increment of shear modulus due to thixotropy appeared
noticeably higher than that in the secondary consolidation.
In paper 2494, Athanasopoulos et al. studied a 30m high slope
failure at the Xerolakka municipal solid waste landfill. Field
investigations including Lidar survey and shear wave velocity
measurements to characterize the MSW materials were
297
Ladd C.C., Foott R., Ishihara K., Schlosser F. and Poulos H.G. (1977).
Stress deformation and strength characteristics. Proc. 9th ICSMFE,
Tokyo 2, pp.421-494.
Lrincz, J (1986). Grading entropy of soils Doctoral Thesis, Technical
Sciences, TU of Budapest.
Negussey, D. and Islam, M. S. (1994). Uniqueness of steady state and
liquefaction potential. Can. Geotech. J., 31(1), pp.132-139.
Lee J.Y., Ryu B.J., Yun T.S., Lee J.H. and Cho G.C. (2011). Review on
the gas hydrate development and production as a new energy
resource. KSCE, 15(4), pp.689-696
APPENDIX
Table 1. List of papers in Laboratory Testing of Geomaterials II: Strength Properties and Treated Soil
Title
Author(s)
Test soil
Testing Method
Main Topics
Natural clay
CK0UC, C K0UE
203 Data Base from 14
countries
The well-known trend between
1. Strength
1.1 Database of strength and stiffness properties
Anisotropic strength ratio and
J. Y. Won
plasticity Index of natural clays
(U.S.A)
(No. 2137)
Undisturbed and
remolded clays
in New Orleans
CU TX test
CD DS test
& PI cannot be justified

Careful consideration of site
specific characteristics
Comparison between drained
strengths measured by direct
shear and triaxial test
A comparison between the shear

strength measured with direct shear
and triaxial devices on undisturbed
and remolded soils (No. 2280)
Castellanos &
Brandon
(U.S.A)
Correlation between drained shear

strength and plasticity index of
undisturbed overconsolidated clays
(No. 2399)
Sorensen &
Okkels
(Denmark)
Undisturbed OC
Danish clays
Bounding surface plasticity model

parameters for Baghdad soils
(No. 2639)
Omar al-Farouk
Salem al-Damluji et al.
(Iraq)
Undisturbed and
disturbed soil
sample
K0 & isotropically
consolidated TXC & TXE
Parameters for bounding

surface plasticity model for
Baghdad soil
Duncan-Chang parameters for

hyperbolic stress strain behaviour
of soft Bangkok clay (No. 2872)
Suched
Likitlersuang et al.
(Thailand)
Soft and stiff

Bangkok clay
Drained & undrained TXC

and TXE
Interpretation of stress-dependent
mechanical behaviour of rockfill
materials (No. 3011)
Jannati Aghdam
& Soroush
(Iran)
Rockfill materials
Undrained & drained strength

& stiffness parameters for
hardening soil model of
Bangkok clay
Variations in deformation and
strength parameters of rockfill
material with confining pressure
Importance of preferred particle

orientation based on horizontal
deposition
Data Base from AIT
1.2 Gas-hydrate bearing soil and mining by-products

Evaluation of sample disturbance
Yamashita & Miura Lake Baikal, Russia
due to the exsolution of dissolved
Kitami
gas hydrategas in the pore water of deep lake
(Japan)
bearing sediment
bottom sediments (No. 2001)
TXC test
30 types of database
Field
Lab
Drained peak strength vs

Plasticity index
Lower bound and c for
preliminary design
UC
Effects of exsolution of dissolved

gas in the pore water on strength
properties
Simulation of exsolution of dissolved gas
Reduction of strength with the

increase of gas concentration
VST, CPT
Staged creep compression test
Settlement of overburden
material due to self-weight,
collapse on wetting and
degradation
4 tailing sands from

copper mines
Drained & undrained

TX tests with confining
pressure up to 3MPa
Compare strength, modulus,

and cyclic shear resistance of
tailing sands with natural sands
Gravel-mixed sand
Undrained TX test
Effect of initial suction during

specimen preparation on soil
structure and strength
Settlement and shear strength of

uncemented coal mine overburden
materials placed loosed under dry
and wet conditions (No. 2782)
Williams & Kho

(Australia)
Overburden
materials
in coal mine
Shear strength and deformation

modulus of tailing sands under
high pressures (No. 2800)
Campana & Bard

(Chile)
1.3 Soil fabric and particle characteristics

Soil structure in gravel-mixed sand Kodaka et al.
specimen and its influence on
(Japan)
mechanical behaviour (No. 2043)
TXC test
(305 data collection from
old & recent projects)
DS test
Effect of particle characteristics on

behavior for granular
materials
(No. 2166)
Non-coaxial behaviour of sand in
drained rotational shear (No. 2489)
Hun Hwan Lee

et al.
(Korea)
Jumunjin sand glass

beads etched glass
beads
Oedometer test to measure K0
Effects of particle shape, surface

roughness and angularity on K0 relation
Yang et al.
(U.K)
Leighton
Bazzand sand
Drained rotational shear

test with hollow cylinder
apparatus
Non-coincidence of principal
stress directions and principal
strain increment directions
Characterization of geomechanical
and hydraulic properties of nonwettable sands (No. 2178)
Dae hyun Kim

et al.
(Korea)
Jumunjin sand
Hydraulic tests
Hydraulic and mechanical

properties of non-wettable sands
Fabric and critical state of

granular materials (No. 2960)
Yan & Zhang

(Hong Kong)
Mono-sized pill
shape rigid particle
DS test
298
Numerical biaxial test

(discrete element)
Particle orientations and void

space at large strains
Title
Author(s)
Test soil
Testing Method
Content
2. Treated soils
Small strain behaviour of
a lime-treated soil (No. 1831)
Hibouche et al.
(France)
Lime treated soil
Small-strain TX test
Relations between small strain

modulus, strain level hardening
time
Mechanisms of binder interactions

and their role in strengthening
Kuttanad clay (No. 2174)
Suganya &
Sivapullaiah
(India)
Organic clay
UC test
Interaction of binders with

soft clay and its effect on
strength
Influence of diatom microfossils on

soil compressibility (No. 2239)
Diaz-Rodriguez &
GonzalezRodriguez
(Mexico)
Ezaoui et al.
(France)
Oedometer test
Compressibility of kaolins
increase sharply with addition
of diatomite
Cement mixed
gravelly soil
TXC test
Effects of degree of compaction,

cement content, curing time,
gradation, specimen volume on
qmax
Characterization of soil-cement
mixtures in terms of Go,Mo with
porosity/cement ratio and curing
time
Asphalt response under slow
rate loading and role of
aggregate skeleton
Strength properties of densely

compacted cement-mixed
gravelly soil (No. 2287)
Binder : cement,
lime, slag, fly ash
Kaolin with
diatomite
Experimental analysis of the mech

-anical properties of artificially cemented soils and their evolution in time
(No. 2579)
Triaxial testing of Asphalt
(No. 2851)
Consoli et al.
(Brazil)
Cemented sand
BE using
S and P waves
Airey & Prathapa

(Australia)
TX test
A key parameter for strength

control of lightweight cemented
clays (No. 3040)
Horpibulsuk et al.
(Thailand)
Stone mastic asphalt

(SMA) & dense
asphaltic concrete
(DAC)
Lightweight
cemented clay
Oedometer test,
UC test
Void/Cement ratio as the prime

parameter for strength &
deformation
Gyratory compactor
Effect of vertical pressure, angle

of gyration and number of
gyrations on compaction curve
Particle size distribution with
imaging technology
3. Testing method
Behaviour of fine-grained soils
compacted with high shear stresses
(No. 2210)
Enhanced soil characterization
through advances in imaging
technology (No. 2248)
Perez et al.
(Mexico)
Clay, silt, sand
Ohm & Hryciw

(U.S.A)
Coarse grained soil
Tensile strength of lightly

cemented sand through indentation
tests (No. 2572)
Comparison of permeability
testing methods (No. 2930)
Ge & Yang
(Taiwan)
Lightly
cemented sand
Indentation test
(Tensile strength)
Nagy et al.
(Hungary)
Sandy silt and silty

sand
The SCS double hydrometer test

in dispersive soil identification
(No. 2976)
Some notes concerning the dry
density testing standards
(No. 3084)
Maharaj &
Paige-Green
(South Africa)
IMRE et al.
(Hungary)
Dispersive soil
Menard probe,
Khafagi probe, water
fiteration
Lab
Const. or falling head
Double hydrometer test
Danube and
Bochum sands
Density test for emin and emax
Biased in emax measurement

due to arching
Tanaka & Seng

(Japan)
Soft clays
BE
VST
Thixotropic hardening of
clays with high water content
George
Athanasopoulos
et al.
(Greece)
Sarma & Sarma
(South Africa)
Municipal
solid waste
(MSW)
4. Miscellaneous
Hardening process of clayey
soils with high water content
due to thixotropy effect (No. 2446)
The December 29th 2010
xerolakka municipal solid waste
landfill failure (No. 2494)
Influence of minerals on the
elastic behaviour of cohesive soil
(No. 2705)
Standard & modified proctor

Sedimaging
Translucent segregation table
Cohesive soil
Field
Field
LIDAR, SASW, Remi
N/A
Indirect method for determining tensile strength of lightly

cemented sand
Comparison and reliability of
various permeability methods
Ambiguity and discrepancies

in the classification system
Landfill failure due to

inappropriate compaction,
leachate and gas pressure
generation and steepening slope
Influence of prime mineral and
its weathering process on elastic
behaviour
Nationality is based on the first author

TX : Triaxial, VST : Vane Shear Test, UC : Unconfined Compression, DS : Direct Shear, TXC : Triaxial Compression, TXE : Triaxial Extension,
BE : Bender Element test, CPT : Cone Penetration Test
299
th
Triaxial testing of asphalt

Essais triaxiaux de l'asphalte
Airey D.
University of Sydney, Australia
Prathapa R.
Roads and Maritime Services, New South Wales, Australia
ABSTRACT: The response of asphalt in conventional triaxial tests has received very little attention in the soil mechanics or pavement
literature. As a result, the relative importance of the aggregate and the asphalt binder are not well understood, and in particular how
they contribute towards the resistance to permanent deformation. This paper describes the results of a series of conventional drained
and undrained triaxial tests on two types of asphalt, stone mastic asphalt (SMA) and dense asphaltic concrete (DAC). Tests without
the asphalt binder have been conducted for each asphalt type. Results show that the DAC, which is well-graded and has a bitumen
content of about 5%, behaves similarly to the aggregate without the bitumen at conventional soil mechanics rates of loading.
However, significant strain rate effects are observed as the rate of loading is increased. For the SMA mixture, which has a higher
bitumen content of about 6%, the asphalt appears to affect the frictional resistance of the mixture, and it is also far more significantly
affected by strain rate. It is also noted that the asphalt binder has the effect of reducing the effects of strain localisation and allows
uniform and barrelling type deformations despite the very dense aggregate.
RSUM : La rponse de lasphalte dans les essais triaxiaux conventionnels a suscit peu dintrt dans la littrature de la
mcanique des sols et des chausses. Par consquence limportance relative de lagrgat et du liant asphaltique nest pas bien
comprise, notamment comment ils participent la rsistance la dformation permanente. Cet article dcrit les rsultats dune srie
dessais triaxiaux drains et non drains sur deux types dasphalte, lasphalte coul gravillonn (SMA) et le bton asphaltique dense
(DAC). Des essais sans liant asphaltique ont t effectus pour chaque type dasphalte. Les rsultats montrent que le DAC, qui une
granulomtrie continue et une teneur en bitume denviron 5 %, se comporte de manire similaire un agrgat sans bitume pour les
taux de chargement conventionnels en mcanique des sols. Cependant, on observe des effets significatifs de taux de contrainte
mesure que le taux de chargement augmente. Pour le mlange de SMA qui a une teneur plus leve en bitume denviron 6 %,
lasphalte semble affecter la rsistance la friction du mlange, qui est beaucoup affecte par le taux de contrainte. On note galement
que le liant asphaltique a leffet de rduire les effets de la localisation de la contrainte et permet les dformations de type uniforme et
en tonneau, malgr la trs grande densit de lagrgat.
KEYWORDS: aggregate, asphalt, triaxial tests.
1
INTRODUCTION
Analaysis of asphalt materials has focused on their response

under traffic loading, and in particular on the effects of
temperature and stress level on the resilient stiffness and
permanent deformation (Antes et al, 2003, Li et al, 2010).
However, there has been much less interest in the behaviour of
asphalt under slow rates of loading, and of the role of the
aggregate skeleton (Muraya et al, 2009). The latter can be
important when a pavement is subject to subsidence, for
example caused by underground mining. In this situation the
role of the aggregate controls the asphalt behaviour and the
stiffness can be as much as 2 orders of magnitude lower than the
resilient modulus determined from conventional asphalt testing.
To capture this behaviour elastic-visco-plastic models of asphalt
have been developed, but there is little data available to
determine the parameters for these more sophisticated models.
The triaxial tests described in this paper are part of a study
designed to provide the basic soil mechanics framework for the
aggregate and to enable the effects of different aggregate
gradations and bitumen contents to be more rigorously
interpreted. The paper will describe a series of triaxial tests
performed on two types of asphalt, stone mastic asphalt (SMA)
and dense asphaltic concrete (DAC). Tests of the two materials
without the bitumen have also been performed. The gradations
3011
of the materials, their method of preparation and the results of

the triaxial tests are presented.
1.1
Specimen preparation
Asphalt test specimens for these tests were provided by the

Roads and Maritime Services (RMS) and were manufactured in
the Fulton Hogan (FH) asphalt laboratory in Sydney. The
majority of the aggregates in the asphalt mix were comprised of
crushed basalt from the Bass Point quarry.
Dense graded asphalt mixes with 14mm nominal aggregate
size conforming to RTA Roadworks specifications R116 (DAC)
and R121 (SMA) were used in testing. The particle size
distributions are outlined in Table 1, and the materials and their
proportions used to achieve these gradations are shown in
Table 2.
Samples of at least 200 kg of each SMA and DAC mix were
taken from a plant production run and were delivered to the FH
asphalt laboratory. Care was taken during handling to avoid any
segregation of the mixes. In the laboratory the asphalt mixes
were reheated and compacted in a shear box compactor to
produce prismatic compacted specimens with dimensions of
450 mm x 150 mm x 185 mm. Approximately 10 cylindrical
specimens with diameter of 70 mm and length of 140 mm were
cored from each of the compacted rectangular prisms. The
th
cylindrical specimens were then subjected to conventional CIU

and CID triaxial tests.
Table 1. Particle size distributions.
SMA
(%)
19.0
13.2
9.5
6.7
4.75
2.36
1.18
0.60
0.30
100.00
99.00
83.38
66.74
56.81
39.97
27.44
20.74
11.79
100.00
90.24
50.06
30.98
24.14
20.78
17.92
15.79
13.04
0.15
0.075
7.69
5.92
11.53
10.27
Filler/Binder
Bitumen
1.15
5.17
1.55
6.64
DAC p'c = 200 kPa
4000
DAC p'c = 700 kPa

Aggregate only p'c = 500 kPa
3500
Deviator stress (kPa)
DAC
(%)
Sieve Size
0.5%/hr. From the volume strain responses shown in Figure 2 it

is evident that the asphalt specimens are more dilative. This is a
consequence of the asphalt specimens being denser than the
aggregate only specimen.
3000
2500
2000
1500
1000
500
0
0
0.05
0.1
0.15
0.2
Axial strain
Table 2. Mix proportions.
Figure 1. Deviator stress, strain responses from drained tests of DAC.
Aggregate
DAC %
SMA%
14mm Basalt
19.8
57.98
0.03
10mm Basalt
19.4
14.22
0.02
7mm Basalt
6.40
0.00
0.01
Basalt Dust
35.1
9.52
0.00
Hydrated Lime
13
3.27
1.14
5.24
2.97
0.28
Finely Ground
Limestone
Cellulose
Fibres
5.20
0.15
Axial strain
0.2
-0.03
-0.04
-0.05
-0.06
DAC p'c = 200 kPa

DAC p'c = 700 kPa
6.50
-0.08
Additional triaxial tests have been performed on aggregate

specimens with identical gradings to the asphalt specimens,
except for the absence of the bitumen. These specimens were
100 mm in diameter by 200 mm tall, and were prepared by
tamping the moist aggregate mixture into a split mould located
on the triaxial base platen.
The asphalt specimens had nominal air voids of 5.5% and
very low permeability. To saturate the specimens elevated back
pressures of between 600 kPa to 1000 kPa were used, but even
so several days were required for the rate of water inflow to
drop below 3 mm3/min at which stage the specimens were
considered to be effectively saturated.
2
0.1
-0.02
-0.07
C450 Bitumen
0.05
-0.01
Volume strain
Benedict's
Glass Sand
The results of drained triaxial tests on the DAC mix are shown
in Figures 1 and 2. These figures compare the response of
asphalt specimens isotropically compressed to 200 kPa and 700
kPa, with a specimen comprised only of the aggregate
compressed to 500 kPa.
Figure 1 shows that the differences between the two asphalt
(DAC) specimens and the aggregate only specimen are
primarily due to the different effective stress levels, and that the
effects of the bitumen on the stress-strain response are relatively
minor for these tests, which were conducted at a strain rate of
302
Figure 2. Volume strains from drained tests on DAC.
From a soil mechanics perspective the behaviour of the

asphalt might be expected to depend on the void ratio, but for
the asphalt specimens where the voids are mostly filled with
bitumen a number of definitions of void ratio can be employed.
The results presented in Figures 1 and 2 show the bitumen has
little influence on the stress- strain response which suggests that
the definition of void ratio should include the space filled by the
bitumen as well as the water. For the asphalt specimens this
results in a value of approximately 0.24 for the aggregate void
ratio, eagg. However, if the bitumen is included with the solids
then a much lower void ratio of 0.08 is obtained. If the bitumen
makes no contribution to the strength of the material then we
might expect to observe a unique critical state line, using the
aggregate void ratio, eagg, which is unaffected by the presence of
the bitumen. This is explored in Figures 3 and 4. Figure 3 shows
the effective stress paths in deviator stress, q, versus mean
effective stress, p, from several asphalt specimens subjected to
both drained and undrained tests, and Figure 4 shows the
resulting changes in aggregate void ratio. It can be observed that
the asphalt specimens behave as expected for dense granular
materials, with significant dilation at low effective stresses and
with the effects of dilation diminishing as the effective stress
level increases. All specimens approach a unique critical state
line described by M = 1.68, a friction angle of 41o. When the
th
variations of the aggregate void ratio are inspected it can be

seen that these also provide support for a critical state line with
gradient = 0.056.
6000
response of the DAC asphalt specimens. At the slow loading

rates used in these tests the bitumen is simply acting as a
viscous pore fluid, and it is viscosity is sufficiently low for it to
flow out of the way of the aggregate to aggregate particle
interactions.
2.5
5000
1.5
Stress ratio q/p'
Deviator stress, q (kPa)
4000
3000
2000
Undrained p'c = 50 kPa
Drained p'c = 200 kPa
1000
1
DAC p'c = 200 kPa
DAC p'c = 700 kPa
M = 1.68
0.5

M = 1.68
0
0
1000
2000
3000
4000
Mean effective stress, p' (kPa)
0.05
0.1
0.15
0.2
Axial strain
Figure 3. Effective stress paths for DAC specimens.
Figure 5. Stress ratio, strain responses in drained tests.

0.35
Aggregate only
Critical state line
Void ratio
0.3
0.25
0.2
0.15
10
100
1000
10000
Mean effective stress (kPa)
Figure 4. Variation of aggregate void ratio for DAC specimens.
When the test with aggregate only is plotted on Fig. 4 it

appears that it does not reach the critical state line. However,
the aggregate only specimen formed a pronounced shear plane
and ruptured the membrane, and it is believed that if the test had
continued the specimen would have expanded and approached
the same ultimate locus as the asphalt specimens. It may also be
noted that the asphalt binder resulted in more uniform
deformations being observed in all the DAC specimens, which
tended to bulge out despite their dense and dilative nature.
Because different confining stresses have been used in the
drained tests for the asphalt specimens and the specimen
without the bitumen, the test results cannot be directly
compared. An alternative approach is to compare the stress ratio
(q/p) versus axial strain responses as presented in Figure 5.
This shows that the specimen without the binder at an effective
confining stress of 500 kPa is behaving very similarly to the
asphalt specimen at 700 kPa. As discussed previously, and
shown in Figure 4, the asphalt specimens are slightly denser and
this can explain, at least part of, the difference in the behaviour
with stress level. The similarity of the shape of the responses
also suggests that the ultimate frictional resistance of the
aggregate is similar to that of the asphalt specimens, and as
expected the frictional resistance of the asphalt is controlled by
the aggregate. The results presented in Figures 1 to 5 all suggest
that the binder has only a minor effect on the stress-strain
303
Tests have also been conducted on Stone Mastic Asphalt

(SMA) specimens. SMA is used in pavements as it is reported
to have better resistance to rutting, and this is believed to result
from the greater contact between the larger particles of
aggregate, which occurs because of the removal of some of the
intermediate particle sizes in the grading.
Figure 6 shows a comparison between the stress-strain
responses of the SMA and DAC specimens in drained tests.
This shows that there are significant differences between the
two asphalt materials. The SMA specimen has a peak deviator
stress only half that of the DAC specimen even though both
specimens have the same confining stress. This significant
reduction is not the result of differences in the aggregate void
ratio, which is essentially identical for the two materials, and
neither can it be explained by differences in the frictional
characteristics of the aggregate as the same aggregate is used for
both types of asphalt. However, the SMA aggregate only
specimen had a significantly higher void ratio, approximately
0.4, and this can explain why the SMA aggregate appears less
stiff and more compressible than the DAC aggregate.
Figure 7 shows the volume strains measured during the
drained tests shown in Figure 6. The DAC specimen is
significantly more dilative than the SMA specimen even though
the specimens are compacted with similar energies and with
4000
3500
3000
Deviator stress (kPa)
Asphalt specimens
2500
2000
1500
SMA aggregate only p'c = 500 kPa
1000
SMA p'c = 700 kPa

DAC aggregate only p'c = 500 kPa
500
DAC p'c = 700 kPa
0
0
0.05
0.1
0.15
Axial strain
0.2
0.25
Figure 6. Comparison of SMA and DAC materials in drained tests.
0.3
th
0.030
The results also suggest that SMA has a lower residual

strength than DAC once the aggregate structure is disturbed at
slow rates of loading. This is in direct contradiction to how the
SMA product is supposed to perform at high rates of loading,
which is to have better resistance to permanent deformation.
This difference in behaviour at higher loading rates could be
related to the much greater sensitivity of the SMA to changes in
loading rate which has been observed in the triaxial tests. This is
also consistent with the greater influence of the bitumen in the
SMA tests than for the DAC.
SMA aggregate only, p'c = 500 kPa

SMA p'c = 700 kPa
0.020
DAC aggregate only, p'c = 500 kPa

DAC p'c = 700 kPa
Volume strain
0.010
0.000
0.05
0.1
0.15
0.2
0.25
Axial strain
0.3
-0.010
-0.020
Conventional soil mechanics triaxial tests have been conducted

on saturated asphalt specimens. These have shown that the
behaviour of the asphalt can be very sensitive to details of the
aggregate grading. For dense asphaltic concrete, which has a
well-graded aggregate and 5% bitumen, the behaviour in slow
triaxial tests is controlled by the aggregate particles, and the
bitumen appears to have little effect. For the stone mastic
asphalt, which has a gap-graded aggregate and 6% bitumen, the
bitumen has a significant effect on the stress-strain-strength
behaviour.
The sensitivity of the asphalt to relatively minor changes in
grading and bitumen content is a surprising result, and further
tests are in progress to help understand the mechanisms
responsible for this behaviour.
-0.030
-0.040
Figure 7. Comparison of volume changes for SMA and DAC.

3000
2500
Deviator stress, q (kPa)

M = 1.4
2000
CONCLUSION
1500
ACKNOWLEDGEMENTS
The authors are grateful to the Roads and Maritime Services

(NSW) for supplying the asphalt specimens and materials used
in this study.
1000
500
REFERENCES
0
0
500
1000
1500
2000
Figure 8. Effective stress paths of SMA specimens.
similar aggregate void ratios. Although the lower strength of the

SMA specimen is consistent with the reduced dilation, this does
not explain the very much lower mobilized frictional resistance
of the SMA specimen, which can be seen from the plot of the
effective stress paths of the drained test, and two undrained tests
of SMA, shown in Figure 8. Figure 8 shows the mobilized stress
ratio for the tests at the higher stress levels is 1.4, corresponding
to a friction angle of 34.6o. This is significantly less than the
friction angle of the aggregate which is expected to be 41o,
similar to the DAC aggregate because the material is the same
and the grading is not that different.
It can be seen that the SMA specimens mobilize a
significantly lower resistance than the DAC specimens, even
though they have mostly the same aggregate material with the
same frictional characteristics. The differences between the two
asphalt materials include: the gap grading of the SMA
aggregate; the slightly higher bitumen content in the SMA; and
the presence of a small amount of cellulose fibres in the SMA
mix. The presence of fibres would be expected to provide some
additional strength to the asphalt mix, and there was no
evidence that they had a significant effect on the aggregate only
mixture, so the fibres do not appear to be responsible for the
difference in behaviour. It thus appears that in SMA the
bitumen is interacting with the fine particles and acting to
minimize the frictional interaction of the larger aggregate. In
contrast in the well graded DAC there appears to be sufficient
interaction between the larger aggregate particles so that the
bitumen acts independently of the particle structure.
304
Antes, PW, Van Dommelen, AE, Houben, LJM, Molenaar, AA and

Parajuli, U (2003) Stress dependent behaviour of asphalt mixtures
at high temperatures, Proceedings of the Technical Sessions, v 72,
p 173-195, Asphalt Paving Technology.
Li, P, Liu, J and Saboundjian, S. (2010) Materials and temperature
effects on the resilient response of asphalt-treated Alaskan base
course materials, Journal of Materials in Civil Engineering, 23, 2,
p. 161-168.
Muraya, PM, Molenaar AAA and van de Ven MFC (2012)
Contribution of the bituminous mortar and stone skeleton to the
resistance to permanent deformation in Asphalt mixtures, Journal of
Testing and Evaluation, 37, 5, 1-7.
Roads and Maritime Services(RMS) (2010), R121. QA Specifications,
Stone Mastic Asphalt, Ver. 2.1 NSW , Australia.
Roads and Maritime Services(RMS) (2012) R116. QA Specifications,
Dense GradedAsphalt, Ver. 8.2 NSW, Australia.
Bounding surface plasticity model parameters for Bagdad soils

Paramtres du modle de plasticit de surface de dlimitation pour les sols de Bagdad
Al-Farouk O., Al-Damluji S., Al-Shakarchi Y.J., Albusoda B.S.
University of Baghdad
ABSTRACT: The attempt of this paper is to provide and determine essential properties and input parameters that the bounding
surface plasticity model requires and utilizes for Baghdad clay in order to be used in non-linear soil behavior analyses under
static and dynamic conditions. Site investigations were carried out and undisturbed samples of high quality were obtained from
the capital city at depths of 3-3.5 m, 5-5.5m and 7-7.5 m. A series of advanced soil laboratory tests were then performed under
K0-consolidated compression and extension conditions. The obtained soil laboratory test results were then used in a computer
algorithm in order to evaluate soil properties and compute input parameters for the Iraqi clayey soil that are required for the
bounding surface plasticity model.
RSUM : La tentative de ce document est de fournir et de dterminer les proprits essentielles ainsi que les paramtres requis
et utiliss dans le modle de la plasticit de surface de dlimitation pour les sols et argiles de Bagdad afin dtre utilis dans les
analyses non linaires de comportement des sols dans des conditions statiques et dynamiques.
tudes et enqutes sur le terrain ont t effectues et des chantillons intacts de haute qualit des profondeurs de (3 3,5 m), (55,5 m) et de (7 7,5m) ont t obtenus des sols de la capitale (Bagdad).
Une srie de tests de pointe du sol sous des conditions de compression et dextension K0-consolids ont ensuite t effectues.
Les rsultats obtenus en laboratoire des sols dessai ont t ensuite utiliss dans un algorithme informatique afin dvaluer les
proprits du sol, et de calculer les paramtres dentre pour le sol argileux irakienne qui sont ncessaires pour le modle de
plasticit de surface de dlimitation.
consolidation tests, cyclic consolidation tests and triaxial
tests according to the following conditions:
K0 consolidated undrained triaxial compression tests
(K0CUCT OCR1 and 2).
K0 consolidated undrained triaxial extension tests

(K0CUET OCR1).
Isotropically
consolidated
undrained
triaxial
compression tests (ICUCT OCR 1, 1.2 and 5).
Isotropically
consolidated
undrained
triaxial
extension tests (ICUET OCR 1, 1.2 and 5).
1. ESTABLISHMENT OF MODEL PARAMETERS

1.1. Introduction
The bounding surface plasticity model, as developed by
Dafalias and Herrmann (4.1), is a versatile constitutive
relation that can account for the behavior of clayey soils
under various loading conditions. It is currently well
established as a reliable algorithm for static and dynamic
applications on condition of adoption of appropriate input
parameters.
1.2. Site investigation
Figure 2 shows the soil type according to the Casagrande

chart, Table 1 summarizes the results of the ultrasonic tests
while Figures 3 and 4 show the conventional and cyclic
consolidation test results. Table 2 presents the results of
these consolidation tests. Plates 1 and 2 show the testing
setups for the triaxial tests, Figures 5 to 7 show the test
results and Table 3 shows the angle of internal friction
obtained from these triaxial tests.
A scheme was developed in order to obtain representative

high quality undisturbed and disturbed soil samples from
central Baghdad, the capital city of Iraq in order to obtain
the required input parametrs for the model.
1.3. Drilling and sampling
Drilling is done by the use of continuous flight augers,
undisturbed samples are obtained by using Shelby tubes
and an appreciable amount of disturbed soil (enough for
conducting soil classification tests) is also extracted. The
samples obtained were waxed, sealed and transported to the
soil mechanics laboratory of the College of Engineering of
the University of Baghdad in order to conduct further
laboratory tests on them.
SAMPLES
DISTURBED SAMPLES
CLASSIFICATION TESTS
CHEMICAL TESTS
PHYSICAL TESTS
UNDISTURBED SAMPLES
ENGINEERING TESTS
TRIAXIAL TESTS
K0CUCT (OCR = 1 and 2)
1.4. Testing program and results
SPECIFIC GRAVITY TEST
As shown in Figure (1), A series of classification,

engineering and ultrasonic tests are performed in this study.
Classification tests are conducted first, in addition to
physical and chemical tests. Physical tests comprise of
specific gravity, Atterberg limits, and hydrometer tests
while engineering tests that are carried out include standard
ATTERBERG LIMITS TEST
ULTRASONIC TESTS
OEDOMETER TESTS
STANDARD CONSOLIDATION
TEST
ICUCT (OCR = 1, 1.2 and 5)
HYDROMETER TEST
K0CUET (OCR = 1)
CYCLIC CONSOLIDATION
TEST
ICUET (OCR = 1, 1.2 and 5)
Figure (1) The testing program.
305
60
Depth=3-3.5m
Depth=5-5.5m
Depth=7-7.5m
50
CH
40
A-
30
20
CL
10
7
4
0
CL-ML
10
20
lin
MH or OH
ML or OL
30
40
50
60
Liquid Limit (%)
70
80
90
100
Figure 2. Soil type using Casagrande chart.

Table (1) Results of ultrasonic tests
s
E
G
(m/sec
(kPa)
(kPa)
)
Dept
h (m)
p
(m/sec
)
3-3.5
412
134
1.0110
5-5.5
1238
516
1.4106
7-7.5
966
998
1.2810
35104
51121
2
48360
8
Plate .1. Triaxial setup for anisotropic consolidation.

K
(kPa)
0.44
2.85105
0.40
2.26106
0.32
1.17106
0.70
Void Ratio (e)
0.65
0.60
Plate 2. Complete triaxial setup for extension test.
0.55
100
0.50
DeviatoricStress(kPa)
0.45
1
10
100
1000
Stress (kPa)
210
310
410
-100
-150
-200
Figure 3. Results of a Standard Consolidation Test at Depth

(5-5.5 m).
-250
10
10
Axial Strain (%)
200
0.70
P.W
.P(kPa)
150
0.65
100
50
0
0.60
Void Ratio (e)
Effective Confining Pressure (kPa)
50
-50
-50
0.55
Axial Strain (%)
50
0
0.50
q(kPa)
-50
-100
-150
0.45
-250
0.40
10
100
Stress (kPa)
1000
Table (2) Results of standard consolidation tests
Cc
Cs
Pc
Po
OCR
0.162
0.156
0.300
0.001
0.037
0.048
250
115
155
47.5
68.7
145.5
5.26
1.67
1.065
50
100
150
200
250
p- (kPa)
300
350
400
450
500
Figure .5. Results of isotropically consolidated undrained triaxial

extension tests at depth (5-5.5 m).
10000
Figure 4. Results of a cyclic consolidation test at depth (5-5.5 m)
Depth
(m)
3-3.5
5-5.5
7-7.5
Kf -l
in
-200
306
0.8
200
150
DeviatoricStress (kPa)
Experimental Results
Depth (m)
Rc=2
100
Rc=2.6
0.6
50
3-3.5
Rc=2.7
5-5.5
Rc=2.8
-50
q/p
- o
-100
7-7.5
Rc=3
0.4
-150
-200
0.2
-250
0
3
4
Axial Strain (%)
0.0
100
10
12
10
12
Axial Strain (%)
80
P.W.P. (kPa)
1.0
60
0.8
40
0.6
u/p
- o
20
3
4
Axial Strain (%)
0.4
150
K o -li
100
0.2
ne
q` (kPa)
50
0.0
0
-50
Axial Strain (%)
-100
-150
Kf
-200
-250
50
100
150
200
250 300
p` (kPa)
350
400
-lin
0.6
450
K f-l
500
ine
0.4
Figure (6) Results of Ko-consolidated undrained triaxial extension

tests at depth (5-5.5 m)
q/p
- o
0.2
150
D
eviatoricStress(kPa)
0.0
100
50
0.0
0.2
0.4
0.6
p/p
o
0.8
1.0
1.2
Figure (8) Calibration of parameter Rc for Baghdad brown silty

clay (BBSC) soil
0.0
0
4
5
6
Axial Strain (%)
10
-0.1
150
-0.2
140
q/p
- o
P.W
.P(kPa)
130
Experimental Results
Depth,(m)
110
Re=2.2
100
Re=2.3
3-3.5
Re=2.5
5-5.5
Re=2.7
7-7.5
-0.4
90
80
4
5
6
Axial Strain (%)
10
-0.5
Figure (7) Results of a Ko-consolidated triaxial

compression test of overconsolidated soil (OCR 2)
at Depth (5-5.5 m)
27o
28o
5-5.5
7-7.5
av
29
32o
30o
29
28o
28o
28
31o
29o
10
12
10
12
Axial Strain (%)
0.4
u/p
0.2
Compression
CK0UCT
29o
- o
K0-consolidated
3-3.5
0.0
Axial Strain (%)
o
0.0
-0.2
- o
q/p
Isotropically consolidated
specimens
Compression
Extension
CIUCT
CIUET
0.6
Table (3) Values of Angle of Internal Friction
Depth
(m)
Re=2
-0.3
120
Figures 8 to 10 show the calibration outcomes when

following the procedures outlined in reference (4.2).
-0.4
-0.6
Kf line
0.0
0.2
0.4
0.6
- p/p
o
0.8
1.0
1.2
Fig.(9) Calibration of parameter Re for Baghdad brown silty clay

(BBSC) soil
307
4. REFERENCES
0.00
Dafalias, Y.F., and Herrmann, L.R., (1982), Bounding

Surface Formulation of Soil Plasticity, Soil
Mechanics -Transient and Cyclic Loads, G.N. Pande
and O. C. Zienkiewicz, Eds., John Wiley and Sons,
253.
Dafalias, Y.F., and Herrmann, L.R., (1986), Bounding
Surface Plasticity II: Application to Isotropic Cohesive
Soils, ASCE Vol. 112, No. 12, December, pp.12631291.
al-Damluji, O.F., al-Shakarchi, Y.J. and al-Busoda, B.S.,
"Static and Dynamic Non-Linear Behaviour by the
Bounding Surface Plasticity Model for Iraqi Soil", AlHandassa, Engineering Journal, College of
Engineering, University of Baghdad, Volume 11, No.
4, Pp 641-654, December 2005.
-0.40
o-0.80
Ae=0.01
q/p
Ae=0.02
Ae=0.04
-1.20
Ae=0.05
Ae=0.1
-1.60
-2.00
Experimental
Results
Axial Strain (%)
12
14
0.6
0.4
0.2
0.0
u/p
-0.2
-0.4
-0.6
o
-0.8
-1.0
-1.2
-1.4
Axial Strain (%)
10
Figure (10) Calibration of parameter Ae for Baghdad brown

silty clay (BBSC) soil
Table 4 outlines the full set of parameters obtained from the
testing program on the extracted samples from the central
Baghdad area soil after conducting the necessary
calibration procedures outlined in reference (4.2).
Table (4) Complete set of obtained input parameters of
Bounding Surface Plasticity Model for Baghdad brown
silty clay (BBSC) soil
Parameter
Value
Parameter
Value
0.064
Re/Rc
0.85
0.017
Ae/Ac
0.80
Mc
1.2
0.0
Me/Mc
0.676
Sp
1.0
0.4
0.02
Rc
2.7
he/hc
0.5
Ac
0.05
hc
2.0
0.1
ho
1.5
2. CONCLUSIONS
A set of Bounding Surface Plasticity Model parameters are
established from high quality comprehensive site
investigation and laboratory testing programs. The
parameters presented in Table 4 are further successfully
used in prediction/observation studies on foundation
problems in the central Baghdad city area (4.3).
3. ACKNOWLEDGEMENTS
The authors wish to thank the Directorate of the National
Center for Construction Laboratories (NCCL) of Iraq for
supporting this research work.
308
th
The December 29th 2010 Xerolakka Municipal Solid Waste landfill failure
29 dcembre 2010 : l'chec d'enfouissement Xerolakka
Athanasopoulos G., Vlachakis V.
Dept. of Civil Engineering, University of Patras, Greece
Zekkos D.
Dept. of Civil and Environmental Engineering, University of Michigan, Ann Arbor, USA
Spiliotopoulos G.
Patras Municipality, Greece
ABSTRACT: On December 29th 2010, a 30 m high slope failed at the Xerolakka Municipal Solid Waste landfill in Greece. The
failure resulted in temporary interruption of the landfill disposal activities and closure of the landfill access road; it also received
significant media attention. A reconnaissance of the landfill slope instability was performed a few hours after the failure. Subsequent
data collection, field investigations and numerical analyses were performed to better characterize the causes of the instability. Data
collection included review of available data regarding the landfill design and the waste material at the Xerolakka landfill. Field
investigations included Lidar surveying to closely map the post-failure geometry, as well as shear wave velocity measurements that
were used as a basis for characterization of the MSW material and comparison with data available in the literature. Numerical
analyses included limit equilibrium as well as finite element analyses. The results of the investigation indicate that the failure was
caused by a combination of factors, including, inappropriate waste disposal practices, inadequate compaction, leachate and gas
pressure generation and increased steepening of the landfill slopes.
RSUM: Le 29 dcembre 2010, une pente de 30 m de haut a chou la mise en dcharge des dchets Xerolakka solides
municipaux en Grce. L'chec a entran une interruption temporaire des activits de mise en dcharge et la fermeture de la route
daccs la zone d'enfouissement et d'limination ont reu une attention mdiatique importante. Une reconnaissance de l'instabilit de
la pente d'enfouissement a t ralise quelques heures aprs lchec. Aprs la collecte des donnes, enqutes sur le terrain et des
analyses numriques ont t ralises afin de mieux caractriser les causes de l'instabilit. La collecte des donnes comprenait un
examen des donnes disponibles concernant la conception de la dcharge et les dchets la dcharge Xerolakka. Les enqutes de
terrain inclus Lidar arpentage de prs cartographier la gomtrie post-rupture, ainsi que les mesures de vitesse de cisaillement dondes
qui ont t utilises comme base pour la caractrisation de la matire MSW et comparaison avec les donnes disponibles dans la
littrature. Des analyses numriques incluent quilibre limite ainsi que des analyses par lments finis. Les rsultats de lenqute
indiquent que la panne a t cause par une combinaison de facteurs, y compris, les mauvaises pratiques dlimination des dchets, le
compactage insuffisant, le lixiviat et la gnration de la pression du gaz et laugmentation accentuation des pistes d'enfouissement.
KEYWORDS: Municipal solid waste, landfill, slope failure, shear wave velocity
1
sandstones that are generally considered intact.

groundwater table fluctuates seasonally significantly.
INTRODUCTION
To protect public health and the environment, Municipal Solid

Waste (MSW) landfill slopes need to be stable. Unfortunately,
numerous landfill slope failures have been documented in the
literature (e.g. Eid et al. 2000, Hendron et al. 1999, Kavazanjian
and Merry 2005, Huvaj-Sarihan and Stark 2008) and many
more remain undocumented. Although such failures are
undesirable, it is important to learn from them so that similar
occurrences are avoided in the future.
This paper presents the field observations from a
reconnaissance study performed within hours after the
December 29th 2010 Xerolakka landfill slope failure, as well as
subsequent field measurements and stability analyses that were
executed to better understand the causes of the failure.
2
The
THE XEROLAKKA LANDFILL
The Xerolakka landfill is one of the nine MSW landfills in the

Region of Western Greece, located 5 km east of the City of
Patras. It is a canyon landfill at the foothills of the Panachaikon
Mountain. It started receiving waste in September 1993 and
presently receives 300 tn of waste daily (Sufalnet, 2006).
The site is located on a geologic sequence of Pleistocene and
Pliocene claystone, marls and siltstones with lenses of
Figure 1. February 2011 topographic map of the Xerolakka canyon

landfill.
309
th
A topographic map of the landfill is shown in Fig. 1. The

first cell of the landfill was geomembrane-lined. Subsequently
the use of geosynthetics was discontinued because of the
presence of impermeable geologic formations (Seisakis and
Roussos, 1994). Due to strong public opposition, new cells
were not constructed, as anticipated in design. In the absence of
an alternative waste management solution, the landfill continued
to receive waste. Thus, a waste mound with increasing height
and slope inclination was formed (shown in the southeast side
of Fig. 1) which partially failed on December 29th 2010.
3
FIELD OBSERVATIONS
On December 29th 2010, early in the morning (around 08:00

am), a failure of one of the landfill slopes occurred in the active
waste disposal area. The authors performed on-site
reconnaissance at 14:00. The waste slide had plan dimensions of
50 m by 30 m and its crest was located at the top of the landfill
(absolute elevation of +340 m) whereas its toe reached the
access bench 27 m below. The volume of the slided waste mass
is estimated to be equal to 12,000 m3. The waste slide debris
covered one of the landfill benches that was used as access road
to the active waste disposal area, thus disrupting landfill
disposal operations. During the reconnaissance visit, the waste
that covered the access road was already partially removed and
pushed downhill. A view of the slide from the West is shown in
Fig. 2 and a view of the slide from its toe after removal of the
waste from the landfill access bench is shown in Fig. 3.
waste slide drains towards the waste mass due to the absence of
surface water cutoff drainage ditches and percolates in the
waste.
The uppermost layer of MSW in the active waste disposal
area (i.e., the landfill crest) was not compacted and did not
include any daily soil cover. The compaction of waste had
reportedly ceased for at least a year prior to the failure and daily
soil cover was not used for many months, possibly years. The
absence of daily soil cover on the top waste layers can be seen
at the right side of Fig. 2. In addition, the gas collection system
was not operational.
The crest of the landfill was not graded properly to manage
surface water runoff due to precipitation and in the vicinity of
the failure slide mass, rainfall water was found to be ponding.
Leachate was observed to pour from the toe of the waste slide
whereas an interceptor trench that was built next to the landfill
bench was also found to contain leachate. Media photos from
earlier in the morning of the 29th of December indicate a large
wet area in the vicinity of the failure, apparently from liquids
that came out of the waste mass.
The December 29th 2010 failure occurred four days after a
rainfall event. A weather station located in the Port of Patras at
a distance of 4.5 km away from the landfill and at an absolute
elevation of +6 m, recorded approximately 11 mm of
precipitation for that event and a total of 16.5 mm in the five
days prior to the failure. Ten days earlier, another event with a
precipitation of 20 mm occurred. This amount of precipitation is
lower than the corresponding amount of rainfall in the past two
years; however, the geometry (height and inclination) of the
landfill slopes had changed in the last year, adversely affecting
its stability. The complete absence of surface water
management system and daily soil cover, would have allowed
for the rainfall water to easily percolate in the waste mass.
4
Figure 2. Waste slide view from the western side of the MSW landfill.
Figure 3. Waste slide view from the access bench located at the toe of
the slide.
The waste slide is located adjacent to the graded canyon

slopes with the Northeast portion of the slide exposing the
native rock mass (also shown on the left side of Fig. 3).
Precipitation on the steep canyon slopes in the vicinity of the
310
FIELD MEASUREMENTS
A high-resolution 3-D topographic map of the landfill area was

generated by performing terrestrial LIDAR (Light Detection
and Ranging) measurements, in addition to conventional
geodetic survey. The measurements utilized land-based laser
scanning technology and allowed a reliable definition of the
failed waste mass. Field measurements of the in situ shear wave
velocity (VS0) were also performed. Shear wave velocity is a
critical parameter that has been used to characterize the MSW
(Zekkos, 2011). In this project, VS0 was used to characterize the
MSW and assist in the selection of values for MSW material
properties. Shear wave velocity profiles were also explicitly
used for the performance of seismic stability analyses that are
not described herein.
The small strain shear wave velocity of waste material was
evaluated as a function of depth by applying the Spectral
Analysis of Surface Waves (SASW) and Refraction
Microtremor (ReMi) techniques. The application of these
techniques is preferred in the case of landfills due to their nonintrusive nature (Matasovic et al., 2011). The VS0 vs. depth
profile is shown in Fig. 4.
Fig. 4 compares the VS0 vs depth profiles measured at
Xerolakka landfill with the data available in the literature. The
mean and meansigma VS0 curves are shown for MSW in three
geographic
regions,
specifically
southern
California
(Kavazanjian et al. 1996), northern California (Lin et al. 2004)
and Michigan (Sahadewa et al. 2011). It is observed that the in
situ data from Xerolakka are in the lower range of the literature
VS0 data. This difference may be attributed to a number of
factors including waste composition, but more importantly the
absence of waste compaction and daily soil cover. It should be
mentioned that, following the waste slide, the placement of
waste (from Dec. 2011 to May 2012) was carried out in a single
thick lift (~8 m), overlain by a soil cover ranging from 1 to 3 m.
th
Figure 4. Comparison of VS0 vs depth profile at Xerolakka landfill with

other published cases of landfills.
PROPERTIES OF MUNICIPAL SOLID WASTE
No site specific data was available on the MSW that was

disposed of at the Xerolakka landfill. Thus, for the performance
of the limit equilibrium and finite element stability analyses, the
measured VS0 was used to guide the selection of MSW
properties. For the performance of the analyses the unit weight,
shear strength, deformation modulus (for the finite element
analyses) and Poissons ratio of MSW are required and were
selected as follows:
Unit Weight: The selection of the MSW unit weight has an
impact on the stability of the waste mass. On the basis of the
available landfill information and the Zekkos et al. (2006)
recommendations, for the 30 m thick waste mass, an average
unit weight value of 12 kN/m3 was used. This value is also
consistent with the unit weight value used for the design of the
landfill facility (Koronis 1995).
Shear Strength: The selection of appropriate shear strength
parameters is critical in evaluating the stability of the waste
mass. Bray et al. (2009) recommended a generic MSW shear
strength envelope. The recommended strength envelope was the
mean fit to a large dataset, however, various factors such as
waste composition and unit weight may result in variations from
this envelope. For example, the unit weight has an important
impact on the shear resistance of MSW. As reported by Zekkos
et al. (2010), for waste with the same waste composition, a
reduction in unit weight by 2kN/m3 results in an approximate
reduction in shear strength by 20%. Considering the absence of
compaction and daily soil cover as well as the particularly low
measured shear wave velocity of the MSW, the shear strength
of the Xerolakka landfill MSW was reduced by 20% from the
shear strength envelope recommended by Bray et al. (2009).
MSW elastic modulus and Poissons ratio: The large-strain
elastic modulus Eref is an explicit input parameter in finite
element analysis. The value of Eref impacts the calculated
displacements, but does not influence significantly the
calculated factor of safety. In the present study, it was assumed
that the modulus is equal to 1/10 of the small-strain elastic
modulus Eo, which was calculated from the measured small
strain shear modulus Go, whereas the Poissons ratio value was
assumed to be equal to 0.1, based on data available in the
literature (Zekkos, 2005).
6
SLOPE/W) and finite element (PLAXIS, 2004) analyses and the

material properties described earlier. Each analysis
methodology has its strengths and limitations. In finite element
analyses, there is no requirement to predefine candidate failure
surfaces; instead, the failure surface with the lowest factor of
safety is identified using the phi-c reduction methodology
(PLAXIS, 2004). Another known advantage of the FEM is its
ability to calculate displacements in every prescribed stage of
calculation as well as its ability to model progressive failure. In
limit equilibrium methodology, the factor of safety for a large
number of failure surfaces is calculated and the one with the
lowest factor of safety is the critical one. For the calculation of
the factor of safety, the Spencer method (Spencer, 1967) is
used. Limit equilibrium methods do not account for the
presence of strain softening materials, since no consideration of
strains or displacements is made.
It is important to note that, in the case of Xerolakka landfill,
it is very difficult to evaluate the actual pore pressure regime
within the waste mass due to the unavailability of field data.
Thus, stability analyses were performed for two cases: complete
absence of leachate table (provided a leachate and gas collection
system was operating properly) and for the case of a high
leachate table resulting from the absence/non operative leachate
and gas collection system. The leachate table used in the
analyses was estimated on the basis of field observations,
namely: 1) the presence of ponding water at the crest of the
landfill (near the waste slide) and 2) observed seepage at the toe
of the waste slide. The high leachate table is intended to account
in a conventional manner for the presence, and possibly flow, of
leachate and more importantly the generation of gas due to
biodegradation. The amount of gas generated can be significant
and for that reason, modern landfill facilities are equipped with
a gas collection system that collects the gas and either combusts
it using a flame or uses it to generate energy. There was no gas
collection system in the active waste disposal area. Gas and
leachate pressures would result in a reduction of the effective
stress in the waste and a subsequent reduction in the factor of
safety.
7
RESULTS OF ANALYSES AND DISCUSSION
Analyses were performed for the selected properties and the

cross-section geometry at the location of the failure. The
inclination of the slopes in the upper part of the landfill is as
high as 1.2:1 (horizontal to vertical). In the case of absence of
leachate table and gas pressure (dry tomb landfills), the
results of analyses indicate a stable condition with a calculated
factor of safety equal to 1.60, i.e., higher than the 1.50 typically
required. Additional analyses were performed with the assumed
leachate table, as shown in Fig. 5.
STABILITY ANALYSES
Stability analyses of the Xerolakka landfill slope failure were

performed using both limit equilibrium (Geo-Slope 2007
311
Figure 5. Finite element mesh (PLAXIS 8.6) of the critical failure

surface with (a) soil stratigraphy and (b) critical failure surface for the
estimated leachate table.
th
Figure 6. Limit equilibrium model (GeoStudio 2007 SLOPE/W) with

critical failure surface for the estimated leachate table.
For these conditions, the factor of safety based on finite element

analyses is calculated equal to 0.87, indicative of unstable
conditions.
Analyses using the limit equilibrium method (Geo-Slope
2007 SLOPE/W) resulted in similar critical failure surfaces
for dry conditions and for the assumed leachate table (shown in
Fig. 6). The factor of safety is equal to 1.60 for dry conditions
and 0.96 for the assumed water table.
The results of the above and additional analyses indicate that
the reduction in the factor of safety due to the presence of
leachate is significant and much greater than the impact of other
uncertainties, such as the unit weight of waste material.
8
CONCLUSIONS
The waste slide that occurred on December 29th 2010 has height
of 27 m and width of 30 m and involved a waste mass of 12,000
m3. The waste slide engaged MSW material only. On the basis
of the reconnaissance studies, the field measurements and the
stability analyses, the waste failure is attributed to poor landfill
practices (absence of compaction and daily soil cover), the steep
inclination of the waste mass and the increased percolation of
rainfall water in the waste mass (and associated gas pressure
generation) due to the absence of daily soil cover and surface
water management system. The analyses also indicated that
failure would not be incipient under dry conditions.
9
ACKNOWLEDGMENTS
The authors would like to thank Mr. D. Sardelianos, Civil

Engineer at the Municipality of Patras for his assistance and
support of the surveying measurements. Special thanks are due
to Dr. P. Pelekis and A. Batilas, M.Sc. Civil Engineers for their
participation and help in performing surface wave
measurements and field data processing.
10 REFERENCES
Bray, J.D., Zekkos, D., Kavazanjian, E., Athanasopoulos, G.A., and
Riemer, M.F. 2009. Shear Strength of Municipal Solid Waste,
ASCE Journal of Geotechnical and Geoenvironmental Engineering,
135 (6), 709722, June 2009.
Eid, H.T, Stark, T.D, Douglas, W.D. and Sherry, P.E. 2000. Municipal
Solid waste slope failure 1. Waste and foundation properties. ASCE
Journal of Geotechnical and Geoenvironmental Engineering. 126
(5), 397-407.
Geo-Slope International. 2007. SLOPE/W, software for analyzing
slope stability. Part of the GEO-STUDIO 2007 suite of
applications. Calgary, Alberta.
Hendron, D.M., Fernandes, G., Prommer, P.J., Giroud, J.P., and Orozco,
L.F. (1999) Investigation of the Cause of the 27 September 1997
Slope Failure at the Doa Juana Landfill, Proc. Sardinia 99:
Seventh International Waste Management and Landfill Symposium,
Cagliari, Italy, 545-554.
312
Huvaj-Sarihan, N., and Stark, T. D. 2008. Back-analyses of landfill

slope failures. In 6th International Conference on Case Histories in
Geotechnical Engineering, Arlington, VA, August 11-16, 2008,
Paper # 2.34 ( in CD proceedings).
Kavazanjian, E., Jr. and Merry, S.M. 2005. The July 10, 2000 Payatas
Landfill Failure. In Proc. Sardinia '05 - 10th International Waste
Management and Landfill Symposium, Environmental Sanitary
Engineering Centre (CISA), University of Padua, Italy (in CD
ROM).
Kavazanjian, E., Jr., Matasovic, N., Stokoe, K.H.II, Bray, J.D. 1996. In
situ shear wave velocity of solid waste from surface wave
measurements. In Environmental Geotechnics, edited by M.
Kamon, 1996 Balkema, 1, 97-102.
Koronis S.A. 1995. Implementation study of western stream cover, for
the project: Design and construction of infrastructure for MSW
landfill of the City of Patras, Athens.
Lin, Y.-C., Rosenblad, B., and Stokoe, K. H., II 2004. Data report on
shear wave velocity profiles determined by SASW method at:
Altamont landfill, Redwood landfill, and Tri-Cities landfill.
Geotechnical Engineering Center, Civil and Environmental
Engineering Department, The University of Texas at Austin, 29
October 2004, Geotechnical Engineering Report GR04-3.
Matasovic N., El-Sherbiny, R. and Kavazanjian, E. 2011. Chapter 6: InSitu Measurements of MSW Properties. In Geotechnical
Characterization, Field Measurements, and Laboratory Testing of
Municipal Solid Waste, ASCE, GSP 209, pp. 248, (ed. Zekkos, D.).
PLAXIS 2004. A Finite Element Code for Soil and Rock Analyses.
Brinkgreve, R. B. J., Broere, W. and Waterman, D. Delft University
of Technology & PLAXIS b.v., Ver. 8.6, 2004, Plaxis b.v.,
Netherlands.
Sahadewa, A., Zekkos, D., Lobbestael, A., and Woods, R. D. 2011.
Shear wave velocity of Municipal Solid Waste in Michigan
Landfills. In 14th Pan-American Conference on Soil Mechanics
and Geotechnical Engineering and 64th Canadian Geotechnical
Conference, Geo-Innovation Addressing Global Challenges,
October 2-6, 2011, Toronto, Ontario, Canada (in cd-rom).
Seisakis, G., and Roussos, G. 1994. Geotechnical Investigation
Evaluation of geotechnical site conditions for the project: Design
and construction of infrastructure for MSW landfill of the City of
Patras Stream cover (Technical report to Koronis S.A.).
Geotechniki, Laboratory of Soil Mechanics and Geotechnical
Studies, December 2004, Athens.
Spencer, E., 1967. A method of Analysis of the Stability of
Embankments Assuming Parallel Inter-Slice Forces. Geotechnique,
17, 11-26.
SUFALNET 2006. Report on the Situation of Landfills in the Region of
Western Greece. Reported by Partner: TEDK of Achaia County.
Zekkos, D., (ed.) 2011. Geotechnical Characterization, Field
Measurements, and Laboratory Testing of Municipal Solid Waste.
ASCE, GSP 209, 248pp.
Zekkos, D., Athanasopoulos, G.A., Bray, J.D., Grizi, A., and
Theodoratos, A., 2010. Large-scale direct shear testing of municipal
solid waste. Waste Management, 30 (8-9),1544-1555.
Zekkos, D., Bray, J.D., Kavazanjian, E., Matasovic, N., Rathje, E.M.,
Riemer, M.F., and Stokoe, K.H. 2006. Unit Weight of Municipal
Solid Waste. ASCE Journal of Geotechnical and Geoenvironmental
Engineering. 132 (10), 12501261.
Zekkos, D. 2005. Evaluation of static and dynamic properties of
municipal solid-waste. Ph.D. thesis, Dept. of Civil and
Environmental Engineering, Univ. of California, Berkeley,
California.
th
Shear Strength and Deformation Modulus of Tailing Sands under High Pressures.
Rsistance au cisaillement et module de dformation de sables de rejets sous hautes pressions.
Campaa J., Bard E.
ARCADIS Chile
Verdugo R.
CMGI Chile
ABSTRACT: This article discusses the results obtained for 4 different tailing sands from copper mines located in Chile and Peru,
which were subjected to triaxial tests performed in drained and undrained conditions (CID and CIU), applying confining pressures up
to 3 MPa. The evolution of the deformation moduli, static and cyclic shear strength under drained and undrained paths for a wide
range of confining pressure, densities and fines content have been obtained. Also, the tests results have been interpreted, analyzed,
and compared with those reported for natural sands in the international literature, highlighting the differences in the mechanical
behavior resulting from the difference in genesis among these materials.
RSUM : Le comportement mcanique de 4 sables de rejets diffrents, provenant de mines de cuivre situes au Chili et au Prou, a
t analys laide dune srie dessais triaxiaux effectus en conditions draines et non draines (CID et CIU), en appliquant des
pressions de confinement jusqu 3 MPa. Les essais, pratiqus sur des chantillons avec diffrentes densits initiales et contenus de
particules fines, ont permis de suivre lvolution du module de dformation et de la rsistance au cisaillement statique et cyclique,
draine et non draine, pour une large gamme de pression de confinement. Ces rsultats ont t interprts, analyss et compars
ceux rapports dans la littrature internationale pour des sables naturels, mettant en vidence les diffrences dans le comportement
mcanique rsultant de la gense diffrente de ces matriaux.
KEYWORDS: tailing sands, high pressure, deformation modulus, copper tailing, triaxial, shear resistance.
1
Currently, both the important increase of production in the

copper mining industry and the decrease of available space for
the construction of tailing deposits have led to the design of
dam walls having unprecedented heights (above 250 m). This
situation requires that the geotechnical properties of the coarse
sands used for the dam construction be determined adequately
and rigorously. Also, the evolution of the deformation modulus
and shear strength due to changes in the compaction density and
in the fines content, among other characteristics, needs to be
assessed to feed the numerical modeling of these structures,
which is required to predict their behavior in the short and long
term as well as when faced with extreme seismic events. In the
technical literature, there is scarce information about the
evolution of non-drained shear strength as well as about the
cyclic shear stress and deformation modulus of tailing sands,
particularly under high confining pressures.
Results of tests performed on 4 types of cycloned copper
tailings sands, under high confining pressures, with a wide
range of confining pressures, densities, and fines contents are
presented. These tests include: grain size, index properties,
compaction, static triaxial (drained and undrained), cyclic
triaxial, small deformations and resonant column triaxial tests.
2
as silty sands (SM), of low plasticity with a PI<7 (Plastic

Index).
INTRODUCTION.
SANDS TESTED
The sands tested come from 4 copper mining processes (in

operation and projects). The Arenas Trtolas (S1) come from
the Las Trtolas Tailings Impoundment, from the Los Bronces
Mine (Anglo American Chile); of the remaining samples (S2 to
S4), two correspond to mines in Chile (2) and one in Peru (1).
The main mineral that makes up the sands tested is quartz (45%
to 60%), then sericite / sericite-muscovite (15% to 30%) and
other minerals (Campaa, 2011). The index properties of the
samples tested are summarized in Table 1. All the sands classify
Table 1. Index Properties of Tested Sands (Campaa, 2011)

MP
USCS
Classif.
%
F
emax
SM
15
SM
18
SM
21
emin
Cc
Cu
1.100
0.460
1.4
3.3
16.78
1.068
0.444
1.5
3.6
16.97
SP
MDD
(kN/m3)
wopt
(%)
14.0
15.89
18.0
14.0
16.38
16.0
1.084 0.414 1.0 4.0

17.36 12.5 16.38
Sand S2 (Gs=2.67-2.75. Gs average=2.72)
16.0
wopt
MDD
(kN/m3) (%)
Sand S1 - Las Trtolas (Gs=2.73)
SM
15
1.310
0.647
1.2
1.7
16.68
10.0
15.30
14.0
SM()
SM()
SM
SM
15
18
21
1.068
0.992
1.331
0.517
0.537
0.571
1.2
1.8
17.07
16.88
16.87
12.8
13.8
11.0
15.99
18.0
13.5
11.0
16.48
16.77
15.5
14.5
Sand S3 (Gs=2.70)
SM
SM
12
18
0.942
0.956
0.525
0.484
SM
24 0.915 0.406
SM
20 1.280 0.601
SM
30 1.280 0.592
% F: particles <0,074 mm
Gs: Specific gravity
emax: Maximum void ratio
emin: Minimum void ratio
Cu:
Coefficient
of
uniformity
Cc: Coefficient of curvature
3131
1.2 4.2
17.46
3.1 12.9 18.25
Sand S4 (Gs=2.69)
2.7 165
18.84
8.0
17.36
8.5
1.2 4.2
16.48 15.0 15.40 18.0
3.1 12.9 17.85 11.5 16.87 14.0
MDD: Maximum Dry Density
MP: Modified Proctor Test
SP: Standar Proctor Test
wopt: Optimum water content
() Tested at low pressures, 3<0.8MPa
USCS: Unified Soil Classif. System
th
The preparation of the samples considered the following

steps: 1) drying the complete sample; 2) sieving the entire
sample; 3) separation of the fines (<0.074 mm) and coarse
(>0.074 mm) fractions; 4) preparation of the sample with the
fines content predefined by project.
The probes were
compacted in layers to an initial density representative of the
expected in-situ compaction, with the tamping method and with
moisture close to optimum ( 2%, according to Standard
Proctor).
UNDRAINED SHEAR STRENGTH (SU)
10
Figure 1 presents the variation of Su for the different sands as a

function of the void ratio (e) and the fines content. It is
important to note that the void ratio (e) indicated correspond at
the end of consolidation phase.
Void ratio (e)
0.5 0.7 0.9
Void ratio (e)

0.5 0.7 0.9
Void ratio (e)

0.5 0.7 0.9
Void ratio (e)

0.5 0.7 0.9
Su (MPa)
M=1.36 (=32)
CIU and CID Test
CIU and CID Test
Sands 12% Fines
Sands 12% Fines
Sands 15% Fines
Sands 15% Fines
Sands 18-21% Fines
Sands 18-21% Fines
Sands 30% Fines
Sands 30% Fines
0.4
0
0
0.6
0.8
4
6
8
'1+2'3
p'= 3
(MPa)
10
1
'1 +2'3
p'=
(MPa)
3
Figure 3. Drained and undrained residual strength curves.

a) all the tests, b) detail for 3<2 MPa.
1
1.2
12% Fines
30% Fines
18 to 21% Fines
15% Fines
1.6
S1
S2
S3
S4
Best Fix Curve: Su=-C.ln(e)-D

12% Fines: C=3.50 D=0.85
15% Fines: C=2.94 D=0.59
C=2.94 D=0.074
18% to 21% Fines: C=2.62 D=0.78

C=2.62 D=0.112
30% Fines:
C=4.18 D=1.40
Figure 1. Summary of undrained shear strength (Su) variation.
Figure 2a presents the variation of Su as a function of the void

ratio and Figure 2b presents the average tendency curves for all
samples tested. A tendency of Su to decrease as the fines
content increases was observed. In addition, and as reference, in
these figure 2b results obtained from the Toyoura Sand
(fines=0%), tested by Verdugo (1992) in a wide range of
relative density (DR=7% to 67%) have been included.
The variation of the undrained shear strength with the fines
contents estimate a value of zero for Su for average values of
e=0.72 (30% and 18-21% of fines), e=0.89 (15% of fines) and
e=0.78 (12% of fines). For the different sands tested, these void
ratios are associated to relative densities lower than DR<40%.
In the Toyoura Sand, Verdugo (1992) recorded zero values of
Su for values of DR<15%.
1.6
Sands 15% Fines
Sands 18-21% Fines
1.2
Sands 30% Fines
0.9
13
0.8
14
0.5
Best Fit
13 Sand S3, 18% Fines
0.01
0.2
2
3
4
5
0
15% Fines
1.1 0.5 0.6 0.7 0.8 0.9 1

Void ratio (e)
0.1
10
100
p'=('1 +2'3 )/3 (MPa)
0.5 0.6 0.7 0.8 0.9

Void ratio (e)
0.1
18% to 21% Fines
0.3
0.4
6
5
0.6
0.2
0.6
11
4
0.4
1
0.8
10
12
0.7
Toyoura Sand, 0% Fines

Verdugo (1992)
12% Fines
15% Fines
18 to 21% Fines
30% Fines
Sands 12% Fines
1.4
CRITICAL STATE OR PERFECT PLASTICITY
Although the ultimate state (steady state) has not clearly

reach in all the tests, by plotting the final results in the graph (elog p), it can be observed that the results allow to mark off with
a reasonable precision the combination of density and
confinement pressure that determine that the sands present a
contracting or dilating behavior. By comparing the results of
this study with the ones reported in the technical literature, the
obtained behavior of tailing sands is in accordance with other
natural sands of similar mineralogy. These results allow to
extrapolate the behavior of tailings sands at higher confining
pressures and estimate that these would not present an important
decrease in the shear strength. Figure 4 presents all the tests,
compared with several results of other sands.
Void Index, e
1.4
Su (MPa)
M=1.36 (=34)
0.2
-0.2
b)
M=1.45 (=36)
6
7
8
9
1.1 1.2
Figure 2. Variation of undrained shear strength (Su) with the void ratio
(e) and the fines content. Sand samples S1 to S4. (Campaa, 2011)
a)
8
q='1 -'3 (MPa)
angles () between =32 and =36; for 3>1 MPa, the

internal friction angles vary between =32 to =34. No strong
reduction in the strength envelope at high pressures was
observed, this behavior is in contrast with the one observed with
the Sacramento Sand reported by Lee & Seed (1967). The little
quantity of particles crushing that is produced in the tailings
sands with the increase of confinement could be explained this
unexpected behaviour. This evidence was observed
systematically in the grain size tests performed before and after
each triaxial test (Campaa et al., 2007).
314
11 Loose Sacramento Sand (Lee & Seed, 1967

S1 15%F
S1 18%F
Hostun Sand (Le Long ,1968 after Biarez & Bard, 1992)
Ottawa Sand, 15% F (Murthy et al 2007)
S1 21%F
S2 15%F

Drained Cambria Sand (Yamamuro & Lade, 1996)
S2 21%F
S3 12%F
S3 18% F
Undrained Cambria Sand (Yamamuro & Lade, 1996)

10 Dense Sacramento Sand (Lee & Seed, 1967)
S4 20% F
S4 30% F
Figure 4: Results of triaxial tests in the e-log p plane.
DRAINED SHEAR STRENGTH
The shear strength envelopes in the (q-p) plane for CID triaxial
tests are presented in summary form on Figure 3. Values of
residual strength obtained in the CIU tests (Su) were also
included. In spite of the wide range of fines content in the four
samples tested, the shear strength envelopes obtained are
similar. For 3<1 MPa, it are characterized by internal friction
Toyoura Sand (Ishihara 1993)

Loose Toyoura Sand (Mioura & Yamanouchi, 1975)
Dense Toyoura Sand (Mioura & Yamanouchi, 1975)
DEFORMATION MODULI, EI (~10-3)
To determine the variation of the initial tangent deformation

moduli (Ei) at large deformations with the confining pressure, a
hyperbolic adjustment (Duncan et. al, 1970) was performed,
which was applied both for drained as well as for undrained
triaxial tests. The variation of the deformation modulus (Ei) as

th
applied according to the magnitude of isotropic confining

pressure: 0.3 MPa for Sands S1, S2, and S4 and up to 0.9 MPa
for Sand S3. A uniform sinusoidal cyclic load was applied with
a frequency of 0.1 Hz for Sand S4 and of 0.05 Hz for Sands S1,
S2, and S3. Test results are summarized in several graphs,
differentiated by the fines content, confining pressure, and
density achieved at the end of the consolidation stage (see
Campaa 2011). The results of this tests confirm the tendency
reported by Verdugo (1983) for lower confining pressures
(3 0.5 MPa), related to the decrease of the required CSR to
produce liquefaction when the non-plastic fines content
increases. However, this tendency disappears for confining
pressures greater than 0.5 MPa where the CSR practically is a
constant. To strengthen this important detection, all the results
obtained have been plotted separately on Figure 7a for
3 0.5 MPa, and on Figure 7b, for 3 1 MPa. On Figure 6a,
a great scattering in the CSR values can be observed for the four
sands tested, while a general decreasing trend of CSR values
with the increasing number of cycles can be perceived. The
results corresponding to Sand S3 contribute significantly to the
width of the resulting band. Contrary, on Figure 6b for
31 MPa, the CSR values obtained range in a very narrow
band, without important differences due to initial density or
fines content or the cycloned tailings sands.
Another relevant aspect to point out from the results of the
tests carried out in Sands S2 and S4 for confining pressures
greater than 0.5 MPa, are the relatively constant CSR values
obtained despite the confining pressure applied (factor K=1),
the fines content, the relative density, and even the initial shear
stress. Figure 8 presents a comparison of K values obtained in
this paper with those obtained by several authors.
Ei=A.'3n.e-1
(1)
where A, n are constants that depend on the type of soil (Biarez

et al., 1993; Bard,1993).
Figures 5a and 5b present the values of Ei obtained through
the hyperbolic adjustment of the stress-deformation curves, for
the tests performed at different initial densities and different
fines contents in drained and undrained conditions (large
deformations).
1000
2000
300
18- 21% F
15% F
30% F
800
250
200
Ei
600
'3
EEi i 150
''3
18%
21%
20%
30%
1500
148
70
e
b)
Fines
Fines
Fines
Fines
Ei 1000
400
12% Fines
15% Fines
a)
'
100
500
200
50
Ei = Mdulo Tangente Inicial

Ei y '3 (kg/cm2 )
00
-50
-200
1
1.2
1.4
1.6
1.8
1/e
1.2
1.4
1.6
1.8
1/e
Figure 5. Normalized Ei variation. All the sands tested: a) drained case,

b) undrained (Campaa, 2011).
In case of the drained tests, the resulting values of Ei are all

practically contained in a narrow band, even when the range of
fines content of the sample vary between 15% to 30%. In the
case of the undrained tests, a significant dispersion was
observed which may be explained by the variation of the pore
pressure according the initial value of '3 and density (e). The
lower values of Ei correspond to 30% fines and the higher
values correspond to fines between 15% and 21%.
0.5
0.5
2), K =1
'
'33<0.5
5 (kg/cm
MPa, Kc=1
c
a)
Arena S1
Arena S2
Arena S3
Arena S4
SHEAR MODULUS GMAX (<10-5)
According to Hardin & Drnevich (1972), the variation of the

shear modulus at small deformations (Gmax) as a function of the
confining pressure (3) and the void ratio (e) may be expressed
as indicated by equation (2), where C0 and n are constants of the
material. Plotting the results of the tests (triaxial at small
deformations in Sands S1 and S2; resonant column for S3) in
one graph to determine the values of C0 and n of equation (2), it
was observed that, for the range of pressures and densities
tested, the tendency of expected variation for confining
pressures '3<1 MPa is reproduced, which does not occur for
'3>1 MPa (Figure 6).
4000
1000
3000
-6
2000
600
'0
'3
0.2
0.3
0.2
A=0.32
0.1
0
1
10
100
Nmero de Ciclos, N (u='0)
Number
of Cycles, N ( u='3)
-0.17
CSR=A
Rc=A
* N.N-0.17
Tailing Sand Samples, except:

- Santos (2011), Tailing
- Seed & Harder (1990), Several natural sand
This study range
0.9
Hardin & Drnevich (1972)
0.8
K =0.84( '3)-0.08 ,[DR~50%]
K =0.67( '3) -0.17 ,[DR~70%]
DR<40%
0.6
400
0.5
1000
DR~60%
1 Maureira (2012)
2 Santos (2011), 55% F
200
0.4
DR>75%
00
3
3.5
0.3
4.5
0.2
(2,97-e)2
(1+e)
0.1
Figure 6. Results of resounding column and triaxial at small

deformations tests (Campaa, 2011).
8
0.7
'3= [0.1 to 2.94 MPa]
2.5
10
100
Nmero of
de Cycles,
Ciclos, N (u='
0)
Number
N (u='
3)
1.2
1.1
-5]
500
A=0.23
Figure 7. Summary all test results: a) for 3 0.5 MPa, b) for

3 1MPa, Kc= 1.0 (Campaa, 2011)
- 0.73]
e e=[0.52
= [0.52 - 0.73]
2
' 0= [1 - 30 kg/cm ]
1500
'310 (kg/cm2), Kc=1

Sand
Arena S1
S1
Sand
S2
Arena S2
Sand
S3
Arena S3
Sand
S4
Arena S4
b)
0.4
0.1
[10
- -10
5]
-6 - 10
=
=[10
800
2500
GMAX
0.3
18% Fines,
Sand
18%F,
Triaxial
(S3)S3 (triaxial test)
18%
C. Resonante
(S3) Column)
18% F,
Fines,
Sand S3(Resonant
15%F,
Triaxial
15% Fines,
Sand
21%F,
Triaxial
21% Fines,
Sand
1200
3500
CSR
') 3
Rc (=cy/
cyo/'
0.4
Rc (cy/ o ')
a function of the confining pressure (3) and the void ratio (e)
may be defined by the following expression:
DR>80%
DR: Relative Density after consolidation
DR*: before consolidation
SP: Standar Proctor
F : Fines content
** : Recommendation for natural sands
1996 & 1998 NCEER workshop
3 Solans (2010), 15% F, D

R *=60
4 Riemer et al (2008), 15% F, 98% SP*
5 Seed & Harder (1990)
6 Vaid (1985)
Youd et. al (2001)**
Sand S1 - 15% F - DR=49%
Sand S1 - 15% F - DR=56%
Sand S1 - 21% F - DR=56%
Sand S3 - 12 & 18% F - 56<D
R <86%
0
0
'3 (MPa)
CYCLIC SHEAR RESISTANCE (CSR)
Figure 8. Variation of factor Kwith regard to 3
The cyclic triaxial tests were carried out on reconstituted

samples with a nominal diameter of 5 cm (S1, S2 and S4) and
7 cm (S3) and nominal heights of 10 cm and 15 cm,
respectively. In all cases, parameter B at the end of the
saturation stage was greater than 0.95. Backpressure was
315
CONCLUSIONS
The interpretation and analysis of the results of the testing

program show that, in the domain of confining pressures applied
th
and the relative densities tested, the shear strength envelopes

obtained are very similar to each other. For average confining
pressures (p) above 0.5 MPa, a little reduction in the envelope
strength at high pressures, associated to a very reduced crushing
of particles is observed. For this reason, the shear strength
parameters are not modified significantly even for higher
confining pressures.
In the same manner, the drained as well as the undrained
shear strength envelope is not sensitive to the different fines
contents tested, with no significant differences being detected
for the range of fines tested, which varied between 12% and
30%. Notwithstanding the above, by considering the average
values obtained for the undrained shear strength Su, it is
possible to observe a decreasing tendency of the Su as the fines
content is increased.
With the hyperbolic adjustment of the stress deformation
curves, the evolution of the initial tangent deformation modules
(Ei) was determined. In drained tests, even when the range of
fines content tested varied between 12% and 30%, a narrow
band of normalized values of Ei with the confining pressure was
obtained. On the other hand, for the undrained case, a larger
dispersion of results was observed.
The values of Gmax deduced from the triaxial tests at small
deformations and resonant column tests, normalized with the
confining pressure, show that for 3< 0.10 MPa, the results
follow a similar tendency observed by Hardin & Drnevich
(1972) in sands of natural origin. This tendency is not observed
for 3> 1 MPa, where the values of Gmax are larger than
expected in the range of densities tested (80< DR(%) <90).
For the fines content tested and confining pressures greater
than 0.1 MPa, the cyclic stress ratio (CSR) are practically
insensible to the fines content. This result differs from what was
observed in tests performed on tailings sands at low pressures,
in which this content significantly affects the required CSR
value (Verdugo, 1983). The effect of the high pressures upon
the CSR value was practically null in three of the four cycloned
sands tested (S1, S2 and S4), and a relative common value was
obtained for all the range of confining pressures applied. In the
S3 cycloned sand sample, the CSR value to induce liquefaction
decreases as the confining pressure increases until 1.5 MPa. For
greater confining pressures, the same CSR obtained with the
other three samples is reached. Due to these results, for
cycloned tailings sands, the consideration of typical factors
Kreported in technical literature may lead to an
underestimation of the CSR value.
The difference observed in the behavior of cycloned tailings
sands with respect to natural sands could be explained due to
the following aspects: the fines of tailing sands have a low
plasticity index and correspond mainly to a rock flour
composed by angular and hard particles (the mineralogical
analysis indicated that more than 40% of sand tailings tested is
quartz). Also, a very small amount of particle crushing was
detected at the highest pressures tested, with fines increasing
less than 3% in the grain size distributions post tests with
respect to the initial grain size distribution (Campaa, 2007).
According to this detection, it is possible to anticipate that
tailing sands could have shear resistance (drained and cyclic)
and shear moduli values greater than expected (compared with
natural sand behaviour). A lesser detriment of the drained shear
resistance due to the effects of both high confining pressures
and fines content was observed.
10 ACKNOWLEDGEMENTS
The authors would like to express their gratitude to Anglo
American Chile for the authorization to publish the results of
the tests of the Las Trtolas Sand (S1), ARCADIS Chile for the
permission to access their data base, and to the Ing. Luis
Valenzuela (MSc) for the review of this paper.
316
11 REFERENCES
Bard, E. (1993): Comportement des Materiaux Granulaires secs et
a Liant Hydrocarbone. These prsente pour lobtention du Titre
de Docteur. Ecole Centrale de Paris.
Biarez, J., & Bard, E. (1993). Behaviour of Granular Materials: The
Moduli, 3er Congreso Chileno de Ing. Geotcnica, La Serena.
Campaa, J. (2011). "Comportamiento de Arenas de Relave a Altas
Presiones". Tesis Magister en Cs. de la Ing., mencin Ing.
Geotcnica, U. de Chile.
Campaa, J. and Bard, E. (2007). Resistencia al Corte de Arenas
de Relaves a Altas Presiones. VI Congreso Chileno de
Geotecnia.
Campaa, J. & Bard, E. (2011). Cyclic Behavior of Tailings Sands
Under High Pressures. 5o International Conference on Earthquake
Geotechnical Engineer, Santiago-Chile.
Duncan, J.M. and Chang, C.Y. (1970). "Nonlinear Analysis of Stress
and Strain in Soils". Journal of the Soil Mechanics and Foundations
Division, ASCE, 96 (SM5), 1629-1653.
Hardin, B.O., and Drnevich, V.P. (1972). "Shear Modulus and Damping
in Soils: Design Equations and Curves". JSMFD, ASCE vol.98,
SM7, pp-667-692.
Ishihara, K., 1993. "Licuefaction and Flow Failure During
Earthquakes", Rankine Lecture. Geotechnique 43, N3, 351-415.
Lee, K., Seed, B., 1967. "Drained Strength Characteristics of Sands".
Journal of the Soil Mechanics and Foundation Division ASCE,
SM6, pp. 117-141.
Lee, K., Seed, B., 1967. "Undrained Strength Characteristics of
Cohesionless Soils". Journal of the Soil Mechanics and Foundation
Division ASCE, SM6, pp. 117-141.
Maureira, S., Verdugo, R., (2012). "Respuesta Cclica de Arenas de
Relaves Sometidas a Altas Presiones". VII Congreso Chileno de
Geotecnia, Concepcin-Chile.
Miura N., Yamanouchi, T., 1975. "Effect of Water on the Behavior of
Quartz-Rich Sand Under High Stresses". Soils and Foundation,
Japanese Society of Soil Mechanics and Foundation Engineering,
Vol 15, N4, pag. 23-34.
Murthy, T.G., Loukidis, D., Carraro, J.A.H., Prezzi, M. & Salgado, R.,
2007. "Undrained Monotonic Response of Clean and Silty Sands".
Geotechnicque 57, N3, pag. 273-288.
Riemer, M.F., Y. Moriwaki and J. Obermeyer (2008): Effect of High
Confining Stresses on Static and Cyclic Strengths of Mine Tailing
Materials. Geotechnical Earthquake Engineering and Soil
Dynamics IV, Sacramento CA, May. 19-22.
Solans, D., (2010). Equipo Triaxial Montono y Cclico de Altas
Presiones y su Aplicacin en Arenas de Relaves. Tesis Magister
en Cs. de la Ing., mencin Ing. Geotcnica, U. de Chile.
Santos, E., (2011). Comportamiento Montono y Cclico No-Drenado
de Arenas de Relaves Integrales. Tesis Magister en Cs. de la Ing.,
mencin Ing. Geotcnica, U. de Chile.
Vaid, Y.P. & Chern, J.C. (1985): Cyclic and Monotonic Undrained
Response of Satured Sands. Advances in the Art of Testing Soils
under Cyclic Conditions, ASCE, New York, 120-147.
Verdugo, R. (1983). Influencia del Porcentaje de Finos en la
Resistencia Cclica de Arenas de Relaves. Memoria para optar
al ttulo de Ingeniero Civil. Pontificia Universidad Catlica de
Chile. Departamento de Ingeniera Estructural.
Verdugo, R. (1992). Characterization of Sandy Soil Behavior Under
Large Deformation. Thesis presented in partial fulfillment of
the requirements for the degree of Doctor of Engineering.
University of Tokyo. Department of Civil Engineering.
Verdugo, R. & Ishihara, K. (1996). The Steady State of Sandy
Soils, Soils and Foundations, 36(2), 81-91.
Verdugo, R. & Santos, E. (2009): Liquefaction Resistance of
Thickened Tailings of Cooper Mines. Proceedings 17th Intern.
Conf. on Soil Mechanics and Geotechnical Engineering, 295-298.
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Report from the 1996 NCEER and 1998 NCEER/NSF Workshops
on Evaluation of Liquefaction Resistance of Soils. Journal of
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Yamamuro, J., Lade, P., 1996. Drained Sand Behavior in Axisymetric
Tests at High Pressures. Journal of Geotechnical Engineering,
Frebruary 1996, pag. 109-119.
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Tests at High Pressures. Journal of Geotechnical Engineering,
Frebruary 1996, pag. 120-129.
A Comparison Between the Shear Strength Measured with Direct Shear and Triaxial
Devices on Undisturbed and Remolded Soils
Une comparaison entre la rsistance au cisaillement mesure avec appareils de cisaillement direct
et triaxiaux sur les sols non remanis et remouls
Castellanos B.A., Brandon T.L.
Virginia Polytechnic Institute and State University
ABSTRACT: A comparison is presented between the shear strength measured with direct shear and triaxial devices based on the
results from tests conducted on undisturbed and remolded soils. A series of consolidated-undrained (CU) triaxial tests and
consolidated-drained (CD) direct shear tests were performed on undisturbed samples from the New Orleans area. These tests were
conducted on soils ranging from low plasticity silts to organic fat clays. The results from the undisturbed samples showed that the
drained friction angles obtained from the CU triaxial tests were considerably higher than those obtained from the CD direct shear
tests. On the other hand, results obtained from remolded test specimens originating from a variety of locations showed almost no
difference in the effective stress shear strength. The difference in the results can be explained in part by the fact that natural soils can
have a preferred particle orientation or anisotropic fabric based on the deposition or formation of the soil. In the case of the New
Orleans soils, the undisturbed samples exhibited evidence of horizontal deposition. In remolded samples, the soil is more much more
homogeneous and isotropic, so every plane in the soil may be expected to have similar shear strength.
RSUM : En utilisant des rsultats de tests effectus sur des sols non perturbs et remouls, une comparaison entre la rsistance au
cisaillement mesure par cisaillement direct et avec des appareils triaxiaux est prsente. Une srie dessais triaxiaux consolids non
drains et dessais de cisaillement direct consolids drains ont t effectus sur des sols non remanis de la rgion de la NouvelleOrlans. Ces tests ont t effectus sur des sols allant de vases de plasticit faible des argiles organiques de haute plasticit. Les
rsultats des chantillons non perturbs ont dmontr que les angles de friction drains obtenus partir dessais triaxiaux consolids
non drains sont considrablement plus levs que ceux obtenus partir dessais de cisaillement direct. Dautre part, les rsultats
obtenus partir de spcimens remouls originaires de lieux divers nont montr pratiquement aucune diffrence dans la rsistance
effective au cisaillement. La diffrence des rsultats peut sexpliquer en partie par le fait que les sols naturels peuvent avoir une
orientation prfre des particules ou un tissu anisotrope bas sur le dpt ou la formation du sol. Dans le cas des sols de la NouvelleOrlans, les chantillons intacts ont prsent des signes de dposition horizontale. Dans les chantillons remouls le sol est beaucoup
plus homogne et isotrope, de sorte que lon peut sattendre ce que chaque plan du sol ait la mme rsistance au cisaillement.
KEYWORDS: direct shear, triaxial, shear strength, fully softened, remolded, undisturbed, shear strength measurement.
1
INTRODUCTION
The triaxial and direct shear devices have been historically used
successfully to measure the peak shear strength of soils. In
geotechnical projects, these tests are often used interchangeably
to determine effective stress or drained shear strength
parameters without regard to the potential difference in the
results. A series of consolidated-undrained (CU) triaxial tests
and consolidated-drained (CD) direct shear tests were
performed on undisturbed samples from the New Orleans area.
These tests were conducted on soils ranging from low plasticity
silts to organic fat clays. The bulk of these tests were conducted
as part of the reconstruction of the flood protection system,
which was severely damaged by Hurricane Katrina in 2005.
The city of New Orleans is located on alluvial soils that are
part of the delta formed by the sediments of the Mississippi
River. According to Dunbar and Britsch (2008), the surficial
soils were formed during the Holocene and consists of fine
grained soils extending to about 17 m to 25 m deep in most of
the area, while exceeding 46 m deep at some locations. Dunbar
and Britsch (2008) stated that this layer is characterized by
stacked and generally horizontal layering created by the
deposition mechanism.
Numerous CU triaxial compression tests and CD direct shear
tests were performed on undisturbed test specimens trimmed
from 125 mm diameter tube samples to characterize the
effective stress shear strength parameters of the soils in the
greater New Orleans area. These test results were assessed to
317
allow a comparison of the effective stress shear strength

parameters for the undisturbed samples based on soil type,
plasticity characteristics, etc. The tests conducted on the
undisturbed tube samples were assessed based on the peak shear
strength.
A series of direct shear tests and triaxial tests were also
conducted on remolded soil specimens to determine the fully
softened shear strength. The fully softened shear strength was
defined by Skempton (1970) as the drained peak shear strength
of a clay in its normally consolidated state. According to
Skempton (1977), the fully softened shear strength can be
measured on remolded normally consolidated specimens. Three
different soils from various locations in the USA were tested to
examine the difference in the fully softened strength parameters
obtained from triaxial and direct shear test apparatuses.
2
PREVIOUS WORK
The direct shear and triaxial devices have been used for over 70
years to determine drained shear strength parameters of soils
(Saada and Townsend 1981). These two devices have marked
differences in the stress condition that is developed in the test
specimen. Some of the biggest differences are: 1) strain
boundary conditions, 2) failure plane orientations, and 3)
principal stress orientation. In the triaxial device, the
intermediate and minor principal stresses are equal and are
normally specified at the beginning of the test. In the direct
318
these two devices will provide the same effective stress shear
strength parameters. Investigators that have found agreement in
the results did not state whether the soil tested had a preferred
particle orientation or layering that could influence the results.
3
DATA COLLECTION AND RESULTS
3.1
Undisturbed test specimens
A subset of 63 CU triaxial test series and 146 CD direct shear

test series was selected from the test results available from the
New Orleans investigation. Each test series normally consisted
of three individual tests conducted at different confining
pressures. Only high quality tests were selected. The test results
selected had to comply with the following requirements: 1) At
least two test specimens were consolidated to stresses that were
higher than the preconsolidation stress; 2) The end of primary
consolidation was achieved during the consolidation stage of the
test, 3) Index properties were available; 4) A peak deviator
stress was reached for CU triaxial tests in less than 15% strain
and a peak shear stress was reached for CD direct shear tests at
a horizontal displacement less than 0.4 inches.
Since all the samples used were normally consolidated, the
shear strength interpretation assumed that the effective stress
cohesion intercept was zero. The least-squares method was used
to obtain the corresponding effective stress friction angle.
Shown in Figure 1 are the values of the effective stress
friction angles as a function of the Plasticity Index (PI) for the
undisturbed New Orleans area test specimens for CD direct
shear and CU triaxial tests. The trend lines shown on this figure
are based on a statistical analysis performed by the authors.
These lines are presented to better show the trend of the data
and are not intended to be used as a correlation to predict
friction angles. From this figure, it can be seen that the effective
stress friction angle measured with the CU triaxial device is
generally higher than that measured with the direct shear device.
This difference was found to increase with increasing plasticity
index of the soil. In general, the difference in friction angle
ranged from about 2 degrees to 5 degrees.
40
Effective Stress Friction Angle (deg)
shear device, the magnitudes of the intermediate and minor

principal stresses are not known and are governed by the
vertical stress applied and the strength properties of the soil
being tested.
Progressive failure is the condition where the peak shear
strength is not mobilized in every point of the failure plane at
the same instance. This is caused by the non-uniform
distribution of strain in the failure plane combined with the
strain-softening characteristic of the soil. Some locations on the
failure plane will mobilize the peak shear strength while others,
having achieved more or less displacement, will mobilized a
shear strength below the peak shear strength. For the direct
shear device, investigators have reached different conclusions
about the effect of stress concentrations in this device. Hvorslev
(1960) measured horizontal displacements along the failure
plane in a direct shear device and found that the displacements
are not uniformly distributed, thereby causing progressive
failure to occur. Alternatively, a finite element study of the
direct shear box presented by Potts et al. (1987) showed that
although stress concentration exist on the failure plane of the
direct shear box, at the moment of failure the stresses on the
failure plane are more or less uniform and the peak shear
strength measured is not affected by progressive failure. For the
triaxial device, stress concentration caused by the end restraints
can influence the results. Research performed by Taylor (1941)
showed that if the ratio of length to diameter is between 1.5 and
2.5, the effect of the stress concentration is negligible.
In the direct shear device, the orientation of the principal
stresses on the failure plane varies during the shearing stage of
the test and the final orientation is unknown. In the triaxial test,
the major and minor principal stresses act on the horizontal and
vertical planes and this orientation does not change during
shear.
The orientation of the failure plane in the direct shear device
is predetermined as being near the midpoint between the upper
and lower halves of the shear box. In the triaxial device, the
orientation of the failure plane is governed by the soil structure
and the strength properties of the soil.
A literature review was undertaken to locate previous
comparisons of the shear strength obtained using the triaxial and
direct shear apparatuses. Skempton (1964) stated that the same
effective stress shear strength parameters were obtained from
tests conducted on eight specimens of Boulder Clay using the
direct shear and triaxial devices. Casagrande and Poulos (1964)
presented the results of CD direct shear and CD triaxial tests
performed on compacted specimens of a lean clay which
showed that about the same shear strength envelope was
obtained with the two tests. Moon (1984) performed CD direct
shear and CU triaxial tests on undisturbed samples of a fat clay
and found differences of less than one degree for the effective
stress friction angle and less than 8 kPa for the effective
cohesion intercept obtained from these two tests using the
maximum principal stress ratio as the failure criterion. Thomson
and Kjartanson (1985) performed CD direct shear tests and CD
and CU triaxial tests on undisturbed samples of a lean clay and
a fat clay and found that the results plotted on the same failure
envelope. Abdel-Ghaffar (1990) compiled results from the
literature where direct shear and triaxial tests were performed
on undisturbed samples of the same soil. He concluded that the
direct shear and triaxial devices provide comparable values for
the effective stress friction angle and cohesion intercept.
Maccarini (1993) performed CD direct shear and CD triaxial
tests on a residual soil from Rio de Janeiro. For these tests, the
tests specimens were oriented so that the failure plane in both
devices coincided with the direction of stratification of the soil.
The stratification of the soil had a dip angle of 25. Based on the
results obtained, Maccarini concluded that similar values of
effective stress cohesion and friction angle are obtained from
both tests if the stratification is taken into account.
Based on the results presented above, it can be seen that the
available information in the literature is divided on whether
CD Direct Shear
CU Triaxial
35
30
25
20
15
10
0
20
40
60
80
100
120
Figure 1. Relationship between effective stress friction angle and

plasticity index for CD direct shear tests and CU triaxial tests on
undisturbed samples.
3.2
Remolded test specimens
Three remolded clays were tested to allow a comparison of the

fully softened shear strength measured in CD direct shear tests
and CU triaxial tests. The index properties of these clays are
shown are in Table 1. NOVA clay was obtained from a site in
Northern Virginia in Fairfax County. Vicksburg Buckshot Clay
(VBC) was obtained from the stockpile maintained at the
Engineering Research and Development Center of the U.S.
Army Corps of Engineers. It has been the subject of many
research projects (Ladd and Preston 1965; Mitchell et al. 1965;
Al-Hussaini and Townsend 1974). Colorado Clay is a lean clay
(CL) from Silverthorne, Colorado.
To prepare the remolded samples, the soils were first soaked
in water for at least 48 hours, and then processed through a No.
40 (425 m) sieve. At this point, the samples were at a water

content much greater than the liquid limit and were therefore
air-dried to reduce the water content. The soil was considered to
be at the desired water content when 23 to 25 blows using a
Casagrande liquid limit cup were required to close the groove
cut in the soil as specified in ASTM D4318-10.
preferential structure. Upon visual inspection, the New Orleans

soils appear to be relatively homogenous. Distinct layering is
often not discernible. Shown on the left side of Figure 5 is a
section cut through an undisturbed New Orleans sample. The
right side of Figure 5 shows the same sample after drying. The
horizontal layers, which can represent planes of weakness,
become evident after drying.
Table 1. Soil index properties.

Soil
Specific
Gravity
LL
PL
PI
Clay-sized
Fraction
Colorado Clay
2.78
42
22
20
23.7
NOVA Clay
2.80
66
28
38
16.8
VBC
2.79
78
26
52
68.9
Specimen
Container
Water Bath
To perform CD direct shear tests, the test specimens were

formed directly in the direct shear box using a spatula or
piped from a pastry bag. Care was taken to form the test
specimens without entrapping air-bubbles. Prior to shearing, the
samples were consolidated under Ko conditions to vertical
pressures ranging from 24 kPa to 288 kPa. The samples were
then sheared slow enough to allow full dissipation of the pore
pressures generated during shear using the criterion presented in
ASTM D3080-11.
Triaxial test specimens were more difficult to form for tests
at low effective consolidation stresses. At a water content equal
to the liquid limit, the soil does not have the shear strength
required to be formed into triaxial test specimens that can be
installed in a triaxial cell. For this reason, a batch of soil was
first consolidated in a batch consolidometer under Ko conditions
to a vertical pressure of 38 kPa. The batch consolidometer used
in this investigation is shown in Figure 2. After the batch of soil
reached the end of primary consolidation, the sample was
extruded from the specimen container, and triaxial test
specimens were trimmed. The batch consolidometer formed
samples that had a diameter of 15 cm, which allowed five to six
3.6 cm diameter test specimens to be trimmed. The triaxial test
specimens were then installed in a triaxial cell, back pressure
saturated, and consolidated to an all-around pressure ranging
from 48 kPa to 483 kPa prior to shearing. The samples were
sheared slow enough to allow equilibration of the pore pressures
according to the criterion presented by Head (1986).
The results from the triaxial and direct shear tests performed
on remolded samples are presented in Figure 3. The envelopes
were clearly non-linear, and a power function was fit to the test
results. The power function used was consistent with the format
described by Lade (2010) (see Eq. 1).
'
a pa
pa
with:
Figure 2. Batch consolidometer.
This horizontal layering can influence the shear strength

measured using the direct shear device. In the direct shear
device, the failure plane is horizontal. This forced failure plane
can sometimes coincide with the natural layering or planes of
weakness. In the triaxial device, the failure plane is not
predetermined by the configuration of the device and horizontal
planes of weakness would not be expected to control the
measured shear strength. The difference in shear strength as a
function of failure plane orientation has been documented by
many investigators (Duncan and Seed 1966a; b; Filz et al.
1992).
Remolding soil destroys any previous layering or structure
that might have been present, and the resulting sample is more
or less homogenous. The influence of the failure plane
orientation should be much less prevalent as compared to
undisturbed samples. This suggests that fully softened shear
strength (i.e. remolded normally consolidated peak shear
strength) might be less dependent on the choice of the test
apparatus than undisturbed shear strength.
5
CONCLUSIONS
(1)
= normal effective stress on the failure plane

= atmospheric pressure in the same units as .
pa
a and b = curve fit parameters.
The results show that no significant differences were

obtained in the failure envelope determined with the direct shear
device and triaxial device for these remolded samples.
4
Pneumatic
Piston
DISCUSSION
The difference in the results of the triaxial and direct shear tests
on undisturbed and remolded samples can be explained, in part,
by the difference in soil structure. The undisturbed tests
specimens obtained from the greater New Orleans area were
lacustrine and riverine alluvial deposits. These soils were
deposited in horizontal layers, and could be expected to have a
319
The choice of using direct shear tests or triaxial tests to

determine drained shear strength parameters can be important
for natural soil deposits. Although these two different test
methods can often provide similar results in some soil deposits,
there is considerable evidence that direct shear tests provide
much lower friction angles in riverine and lacustrine alluvial
deposits than triaxial tests. A comparison of numerous CD
direct shear and CU triaxial test results conducted on alluvial
soils from the greater New Orleans area show that the friction
angle determined from the direct shear apparatus is normally
about 2 to 5 degrees lower than that determined using the
triaxial apparatus. This can be attributed to the anisotropic
shear strength characteristics of the alluvial soils.
The difference in the results of the two test devices is much
less when remolded test specimens are used. The remolding
process destroys the anisotropic fabric, and the shear strength
parameters are not as dependent on the orientation of the failure
plane. When fully softened shear strength parameters are
desired, direct shear and triaxial test apparatuses appear to
provide comparable results.
ASTM Standard D3080. (2011). "Standard test method for direct shear
test of soil under consolidated drained conditions." ASTM
International.
West
Conshohocken,
PA.
2011.
DOI:
10.1520/D3080_D3080M-11. www.astm.org.
ASTM Standard D4318. (2010). "Standard test method for liquid limit,
plastic limit, and plasticity index of soils." ASTM International.
West Conshohocken, PA. 2010. 1 10.1520/D4318-10.
www.astm.org.
Casagrande, A., and Poulos, S. J. (1964). Fourth report on
investigation of stress-deformation and strength characteristics
of compacted clays. Harvard Soil Mechanics Series No. 74.
Dunbar, J. B., and Britsch III, L. D. (2008). Geology of the New
Orleans area and the canal levee failures. Journal of
Geotechnical and Geoenvironmental Engineering, 134(5), 566
582.
Duncan, J. M., and Seed, H. B. (1966a). Anisotropy and stress
reorientation in clay. Journal of the Soil Mechanics and
Foundations Division, 92(5), 2150.
Duncan, J. M., and Seed, H. B. (1966b). Strength variation along
failure surfaces in clay. Journal of the Soil Mechanics and
Foundations Division, 92(6), 81104.
Filz, G. M., Brandon, T. L., and Duncan, J. M. (1992). Back analysis
of Olmsted Landslide Using Anistropic Strengths.
Transportation Research Record 1343, Transportation Research
Board, National Research Council, National Academy Press,
Washington, DC, 7278.
Head, K. H. (1986). Manual of Soil Laboratory Testing. Vol. 3:
Effective Stress Tests. John Wiley & Sons, 1238.
Hvorslev, M. J. (1960). Physical components of the shear strength of
saturated clays. Research Conference on Shear Strength of
Cohesive Soils, Boulder, Colorado, 169273.
Ladd, C. C., and Preston, W. B. (1965). On the Secondary Compression
of Saturated Clays. Vicksburg, MS, 116.
Lade, P. V. (2010). The mechanics of surficial failure in soil slopes.
Engineering Geology, 114(1-2), 5764.
Maccarini, M. (1993). A comparison of direct shear box tests with
triaxial compression tests for a residual soil. Geotechnical and
Geological Engineering, 11(2), 6980.
Mitchell, J. K., Shen, C., and Monismith, C. L. (1965). Behavior of
Stabilized Soils Under Repeated Loading. Report I. Background,
Equipment, Preliminary Investigations, Repeated Compression
and Flexure Tests on Cement-Treated Silty Clay. Vicksburg,
MS, 136.
Moon, A. T. (1984). Effective shear strength parameters for stiff
fissured clays. 4th Australia-New Zealand Conference on
Geomechanics, 107111.
Potts, D. M., Dounias, G. T., and Vaughan, P. R. (1987). Finite
element analysis of the direct shear box test. Gotechnique,
37(1), 1123.
Saada, A. S., and Townsend, F. C. (1981). State of the art: laboratory
strength testing of soils. Laboratory shear strength of soil.
ASTM STP 740, R. N. Yong and F. C. Towsend, eds., American
Society for Testing and Materials, 777.
Skempton, A. W. (1964). Long-term stability of clay slopes.
Gotechnique, 14(2), 77102.
Skempton, A. W. (1970). First-time slides in over-consolidated clays.
Gotechnique, 20(3), 320324.
Skempton, A. W. (1977). Slope stability of cuttings in Brown London
Clay. Proceedings of the 9th International Conference on Soil
Mechanics and Foundation Engineering, 3, 261270.
Taylor, D. W. (1941). Cylindrical Compression Research Program on
Stress-deformation and Strength Characteristics of Soils.
Cambridge, MA, 90.
Thomson, S., and Kjartanson, B. H. (1985). Study of delayed failure in
a cut slope in stiff clay. Canadian Geotechnical Journal, 22(2),
286297.
Colorado Clay
Shear Stress (kPa)
200
CU Triaxial
a = 0.601
b = 0.924
150
CD Direct Shear
a = 0.646
b = 0.905
100
50
CD Direct Shear
CU Triaxial
0
0
100
200
300
400
Effective Normal Stress (kPa)
NOVA Clay
Shear Stress (kPa)
200
CU Triaxial
a = 0.533
b = 0.838
150
CD Direct Shear
a = 0.528
b = 0.783
100
50
CD Direct Shear
CU Triaxial
0
0
100
200
300
400
VBC
Shear Stress (kPa)
200
CU Triaxial
a = 0.461
b = 0.767
150
CD Direct Shear
a = 0.427
b = 0.729
100
50
CD Direct Shear
CU Triaxial
0
0
100
200
300
400
Figure 3. CD direct shear and CU triaxial test results on remolded test

specimens.
Figure 4. Undisturbed soil specimen before and after drying.
REFERENCES
Abdel-Ghaffar, M. E. M. (1990). The Meaning and Practical

Significance of the Cohesion Intercept in Soil Mechanics.
Thesis presented to University of Illinois, Urbana-Champaign,
IL in partial fulfillment of the requirements for the degree of
Doctor of Philosophy, 262.
Al-Hussaini, M. M., and Townsend, F. C. (1974). Investigation of
Tensile Testing of Compacted Soils. Vicksburg, MS, 76.
320
th
Experimental analysis of the mechanical properties of artificially cemented soils

and their evolution in time
Analyse exprimentale des proprits mcaniques des sols ciments artificiellement et leur
volution dans les temps
Consoli N.C., Fonini A., Maghous S., Schnaid F.
Engineering School, Federal University of Rio Grande do Sul, Brazil
Viana da Fonseca A.
Faculty of Engineering, University of Porto, Portugal
ABSTRACT: In view of the new challenges in the field of foundation design induced by the necessity to resorting to reinforced soils,
the evaluation of behavior parameters of soils and soil-binder mixes by means of laboratory tests has become an important task. In
this context, experimental characterization of soil-cement mixtures in terms of elastic stiffness and its evolution in time has been
carried out. Both shear and oedometric moduli at infinitesimal strains have been measured through the technique of wave propagation
along cylindrical specimens of 70 mm and 140 mm in diameter. The analyzed specimens were molded with quartzitic sand and fast
curing cement using four relative densities of sand and five cement contents. Several loading times (i.e., times when the specimens are
subjected to wave propagation), ranging between the first and seventh curing day, were considered. The results have given evidence
of a significant increase in the magnitude of the stiffness properties as the curing process continues. When compared to uncemented
sand specimens with similar porosities, increases of about 360% to 6300% due to cement insertion are observed for the shear
modulus, and of 900% to 6700% for the oedometric modulus. In addition, the analysis showed that the higher is the amount of added
cement used in the mixture, the higher the ratio of initial modulus to final one.
RSUM : Compte tenus des nouveaux dfis induits, dans le domaine du dimensionnement de fondations, par la ncessit de recourir
des sols renforcs, l'valuation des paramtres dfinissent le comportement des sols ainsi que des mlanges sol-liant au moyen de
tests de laboratoire est devenue une tche importante. Dans ce contexte, la caractrisation exprimentale des sols ciments en termes
de rigidit lastique et son volution dans le temps a t ralise. Les deux modules de cisaillement et oedomtrique sous
dformations infinitsimales ont t mesures par la technique de propagation dondes le long dchantillons cylindriques de 70 mm
et 140 mmde diamtre. Les chantillons analyss ont t mouls utilisant du sable et du ciment prise rapide en considrant quatre
densits relatives de sable et cinq pourcentages de teneur en ciment. Plusieurs temps de chargement (c'est dire, les instants o les
chantillons sont soumis la propagation dondes), compris entre le premier jour et le septime jours en termes de temps de prise, ont
t considrs. Les rsultats ont montr une augmentation significative de la rigidit au fur et mesure que le processus de prise
continue. Selon la teneur en ciment, des augmentations allant de 360% 6300% sont observes pour le module de cisaillement, et de
900% 6700% pour le module oedomtrique. En outre, l'analyse a montr que le rapport entre module initial et le module final est
dautant plus lev que la teneur en ciment du mlange est leve.
KEYWORDS: ground improvement, artificially cemented soils, shear moduli, curing time period.
1
INTRODUCTION
Soil-cement is a geo-composite formed by highly compacted

mixture of soil, Portland cement, and water. As the cement
hydrates, the mixture gains strength, stiffness and improves the
engineering properties of the raw soil. The major variables that
control the properties and characteristics of soil-cement
mixtures are the type of soil, the proportion of cement in the
mix, the degree of compaction and curing time period. It is
possible, simply by varying the cement content and/or porosity
of mixture, to produce soil-cement that ranges from a basic
modification of the compacted soil to fully hardened soilcement that is strong, stiff and durable. The soil-cement
technique has been used successfully in pavement base layers,
slope protection for earth dams, as a base layer to shallow
foundations and to prevent sand liquefaction (Consoli et al.
2012a).
The unconfined compression test has been used as the most
convenient means to investigate the effect of different variables
on the soil-cement strength and to carry out dosage
methodologies. The first rational dosage methodology for sandcement was developed by Consoli et al. (2009) considering the
porosity/cement ratio (/Civ), defined by the porosity of the
compacted mixture divided by the volumetric cement content
3211
(volume of cement divided by total specimen volume), as an

appropriate parameter to evaluate the unconfined compressive
strength (qu) of the sand-cement mixture. Consoli et al. (2011),
has shown that compressive strength increases with curing time
period in artificially cemented soils and that there is a unique
function controlling strength with curing time period and that
such relation is a function of porosity and cement content.
However, nothing is known regarding stiffness behavior with
time. So, present study aims at fulfilling a breach of knowledge
at quantifying the influence of the curing time period, the
amount of cement and the porosity on the initial shear and
oedometric moduli of an artificially cemented sand, as well as
searching for a unique relationship linking both moduli (Go and
Mo) with porosity/cement ratio (/Civ) and curing period (t). The
main contribution of present work is showing the existence of a
direct relationship between Go, Mo and /Civ for all studied
curing time periods and only scalars differ regarding the effect
of curing time. So, for the sand-cement studied, unique
relationships were reached linking Go and Mo with , Civ and
curing time (t).
2
EXPERIMENTAL PROGRAM
The experimental program has been carried out in two parts.

First, the soil was characterized. Then a number of
th
bender/extender elements tests were carried out considering

four porosities and five cement contents at four distinct curing
time periods (1, 3, 5 and 7 days).
2.1. Materials
The Osorio sand used in the testing was obtained from the
region of Porto Alegre, in Southern Brazil, being classified as
non-plastic uniform fine sand. Specific gravity of the solids is
2.63. Mineralogical analysis showed that sand particles are
predominantly quartz. The grain size is purely fine sand with a
mean diameter of 0.16 mm, being the uniformity and curvature
coefficients of 1.9 and 1.2, respectively. The minimum and
maximum void ratios are 0.6 and 0.9, respectively.
Portland cement of high early strength (Type III) was used
as the cementing agent. Its fast gain of strength and stiffness
allowed the adoption of 1, 3, 5 and 7 days as the curing time
periods. The specific gravity of the cement grains is 3.15.
Distilled water was used for these characterization tests and
tap water for molding specimens for the compression tests.
2.2. Methods
Molding and curing of specimens, as well as bender element
tests are detailed below.
2.2.1.
Molding and curing of specimens
For the for the bender element tests, cylindrical specimens
70mm in diameter and 140mm high were used. A target dry unit
weight for a given specimen was then established through the
dry mass of soil-cement divided by the total volume of the
specimen. In order to keep the dry unit weight of the specimens
constant with increasing cement content, a small portion of the
soil was replaced by cement. As the specific gravity of the
cement grains (3.15) is greater than the specific gravity of the
soil grains (2.63), for the calculation of porosity, a composite
specific gravity based on the soil and cement percentages in the
specimens was used.
After the soil, cement and water were weighed, the soil and
cement were mixed until the mixture acquired a uniform
consistency. The water was then added continuing the mixture
process until a homogeneous paste was created. The amount of
cement for each mixture was calculated based on the mass of
dry soil and the moisture content. The specimen was then
statically compacted in three layers inside a cylindrical split
mold, which was lubricated, so that each layer reached the
specified dry unit weight. The top of each layer was slightly
scarified. After the molding process, the specimen was
immediately extracted from the split mold and its weight,
diameter and height measured with accuracies of about 0.01g
and 0.1mm, respectively. The samples were then placed inside
plastic bags to avoid significant variations of moisture content.
They were cured in a humid room at 232C and relative
humidity above 95%. The samples were considered suitable for
testing if they met the following tolerances: Dry unit weight
(d): degree of compaction between 99% and 101% (the degree
of compaction being defined as the value obtained in the
molding process divided by the target value of d); Dimensions:
diameter to within 0.5mm and height 1mm.
The molding points were chosen considering relative
densities of 10%, 33%, 66% and 90%, with the same moisture
content (about 10%). Each point was molded with five different
cement percentages: 1%, 2%, 3%, 5% and 7%. These
percentages were chosen considering the Brazilian and
international experience with soil-cement [e.g., Mitchell (1981),
Consoli et al. (2010, 2012b)], both in experimental and practical
work.
2.2.2.
Bender/extender element tests
T-shaped pairs of bender/extender (BE) elements, installed on

the top and bottom specimen platens, were used in present study
322
for emission and reception of shear S waves (2 to 20 kHz

frequencies) and compression P waves (20 to 80 kHz
frequencies), being directly related to shear and oedometric
moduli measurement, respectively. The bender/extender
elements penetrated the specimen by 3mm at each end. For
present sand-cement mixtures, time domain method of
identification of first arrivals was adopted.
Single sine-wave input pulses were used at pre-set
frequencies of 1, 3, 5, 7, 9, 11, 13 kHz, which covered the range
of resonant frequencies of the sample-BE system. The output
signals were captured on an oscilloscope, directly transferred to
the PC and plotted to a common time base. The first arrival of
the shear wave was taken (on the basis of previous calibration)
as the point at which the wave descended, with low noise higher
frequency results being preferred in order to avoid near field
effects.
3
RESULTS OF STIFFNESS MEASUREMENTS
Results of both initial shear (Go) and initial oedometric (Mo)

moduli versus relative density (DR) of Osorio sand are
presented in Figure 1. Equations (1) and (2), fitted from
experimental data, give the expressions of Go and Mo with
relative density of Osorio sand.
Gosand
( MPa) 17.60 0.076 DR
(1)
M osand
( MPa) 41.18 0.294 DR
(2)
Figure 1. Shear (Go) and oedometric (Mo) moduli versus relative density
for Osorio sand.
Results of Go and Mo on artificially cemented are also

presented in Figures 2, 3, 4 and 5, respectively for, 1, 3, 5 and 7
curing days.
Figure 2 presents the variation of the shear (Go) and
oedometric (Mo) modulus with porosity/cement ratio (/Civ)
considering all four studied relative densities (10, 33, 66 and
90%), five cement contents (1%, 2%, 3%, 5% and 7%) and 1
(one) day of curing. Equations (3) and (4) present the variation
of Go and Mo with /Civ, both with high coefficient of
determination (R2=0.95 and 0.93, respectively for shear and
oedometric modulus).

th
1day
o

( MPa) 6,694
Civ
1day
o
0.95

( MPa) 14,350
Civ
(3)
0.81
(4)
Figure 3. Shear (Go) and oedometric (Mo) moduli at three days of

curing.
5 days
o

( MPa) 13,304
Civ
5 days
o
0.95
(7)

( MPa) 26,377
Civ
0.81
(8)
Figure 2. Shear (Go) and oedometric (Mo) moduli at one day of curing.
Figure 3 presents the variation of the shear (Go) and oedometric

(Mo) modulus with porosity/cement ratio (/Civ) considering all
four studied relative densities (10, 33, 66 and 90%), five cement
contents (1%, 2%, 3%, 5% and 7%) and 3 (three) days of
curing. Equations (5) and (6) present the variation of Go and Mo
with /Civ, both with high coefficient of determination
(R2=0.95).
3 days
o

( MPa) 11,500
Civ
3 days
o
0.95

( MPa) 23,257
Civ
(5)
0.81
(6)
Figure 4. Shear (Go) and oedometric (Mo) moduli at five days of curing.

four studied relative densities (10, 33, 66 and 90%), the five
cement contents (1%, 2%, 3%, 5% and 7%) and 7 (seven) days
of curing. Equations (9) and (10) present the variation of Go and
Mo with /Civ, both with high coefficient of determination
(R2=0.95 and 0.93, respectively for shear and oedometric
modulus).

four studied relative densities (10, 33, 66 and 90%), the five
cement contents (1%, 2%, 3%, 5% and 7%) and 5 (five) days of
curing. Equations (7) and (8) present the variation of Go and Mo
with /Civ, both with high coefficient of determination
(R2=0.95).
7 days
o
323
3

( MPa) 15,595
Civ
0.95
(9)
th
7 days
o

( MPa) 30,220
Civ
0.81
(10)
Figure 6. Increasing shear (Go) and oedometric (Mo) moduli with curing
time period.
CONCLUSIONS
From the data presented in this manuscript the following

conclusions can be drawn:
The porosity/cement ratio (/Civ) has been shown to be an
appropriate index parameter to assess the shear (Go) and
oedometric (Mo) modulus in the sand-cement mixture studied
herein for all curing time periods studied. Unique relationships
were achieved linking the Go and Mo with , Civ and time of
curing (t);
Based on the dosage equation established in present
research for the studied sand-cement mixtures, there are several
technical ways of reaching Go or Mo target values for a given
project and the best solution might change from situation to
situation, depending on time period available, accessibility to
equipment to reach a given porosity and cost of cement.
Figure 5. Shear (Go) and oedometric (Mo) moduli at seven days of

curing.
So, the use of the porosity of the compacted mixture divided

by the volumetric cement content to assess both shear (Go) and
oedometric (Mo) moduli in the soil-cement mixtures studied
herein is valid for all curing time periods studied. The results
presented in this manuscript therefore suggest that using the
porosity/cement ratio as represented by the porosity of the
compacted mixture divided by the volumetric cement content,
the engineer can choose the amount of cement and the porosity
appropriate (within the studied range) to provide a mixture that
meets the stiffness required by the project at the optimum cost.
It can be seen from comparison of Eqs. (3), (5), (7) and (9) that
Go has a direct relationship with (/Civ)-0.95 for the all curing
time periods and only a scalar differs regarding the effect of
curing time. A similar situation is observed by comparing Eqs.
(4), (6), (8) and (10), showing that Mo has a direct relationship
with (/Civ)-0.81 for the all curing time periods and only a scalar
differs regarding the effect of curing time. So, unique
relationships can be achieved linking the Go and Mo with , Civ
and days of curing (t), as displayed in Fig. 6 and expressed
mathematically by Eqs. (11) and (12), respectively for Go and
Mo. The coefficients of correlation are high [R2=0.98 and 0.97,
respectively for shear and oedometric modulus].

( MPa) 2,022 7,250. ln t
G
Civ

( MPa) 7,631 12,038. ln t
M
Civ
ACKNOWLEDGEMENTS
The authors wish to express their gratitude to Brazilian

Research Council (CNPq) for the financial support to the
research group.
4.
REFERENCES
Consoli N.C., Viana da Fonseca A., Cruz R.C. and Heineck K.S. 2009.
Fundamental parameters for the stiffness and strength control of
artificially cemented sand. Journal of Geotechnical and
Geoenvironmental Engineering 135 (9), 1347-1353.
Consoli N.C., Cruz R.C., Floss M.F. and Festugato L. 2010. Parameters
controlling tensile and compressive strength of artificially cemented
sand. Journal of Geotechnical and Geoenvironmental Engineering
136 (5), 759-763.
Consoli N.C., Cruz R.C. and Floss M.F. 2011. Variables controlling
strength of artificially cemented sand: Influence of curing time.
Journal of Materials in Civil Engineering 23 (5), 692-696.
Consoli N.C., Cruz R.C., Viana da Fonseca A. and Coop M.R. 2012a.
Parameters controlling stiffness and strength of artificially
cemented soils. Gotechnique 62 (2), 177-183.
Consoli N.C., Viana da Fonseca A., Cruz R.C. and Heineck K.S. 2012b.
Influence of cement-voids ratio on stress-dilatancy behavior of
artificially cemented sand. Journal of Geotechnical and
Geoenvironmental Engineering 138 (1), 100-109.
Mitchell J.K. 1981. Soil improvementState-of-the-art report. Proc.,
10th Int. Conf. Soil Mechanics and Foundation Engineering,
International Society of Soil Mechanics and Foundation
Engineering, Stockholm, 4, 509565.
0.95
t
o
t
o
3.
(11)
0.81
(12)
324
Influence of diatom microfossils on soil compressibility

Influence des microfossiles de diatomes sur la compressibilit des sols
Daz-Rodrguez J.A., Gonzlez-Rodrguez R.
Department of Civil Engineering, National University of Mexico, MEXICO
ABSTRACT: There are several sites in the world where diatom microfossils have been detected in the soil deposits (e.g., Mexico
City, Mexico and Osaka Bay, Japan). These soil deposits are characterized to have singular physical and mechanical properties that do
not follow the well established empirical equations relating index properties with strength and deformation parameters. To evaluate
the influence of diatom microfossils on the soil compressibility, this paper presents the experimental results of a series of odometer
tests using artificially prepared mixtures of diatom microfossils and kaolin (D+K). Test results indicate that the presence of diatom
microfossils substantially alters the index properties as well as compressibility.
RSUM : Il ya plusieurs endroits dans le monde o les diatomes microfossiles ont t dtectes dans les dpts de sol (par
exemple, la ville de Mexico, le Mexique et la baie dOsaka, Japon). Ces dpts de sols se caractrisent par des proprits physiques et
mcaniques singulires, qui ne suivent pas les quations empiriques bien tablies reliant les proprits dindex avec les paramtres de
rsistance et de dformation. Pour valuer linfluence des microfossiles de diatomes sur la compressibilit du sol, cet article prsente
les rsultats exprimentaux dune srie de tests ddomtre utilisant des mlanges prpars artificiellement de microfossiles de
diatomes et de kaolin (D + K). Les rsultats des tests indiquent que la prsence de diatomes microfossiles modifie considrablement
les proprits de lindex ainsi que de compressibilit.
KEYWORDS: laboratory tests; compressibility; diatomite; kaolinite; mixtures
1
INTRODUCTION
sedimentary rock that is easily crumbled into a fine white to offwhite powder. Diatomite is relatively inert. The typical
chemical composition of diatomite is approximately 90 percent
silica, and the remainder consists of compounds such as
aluminum and iron oxides. It has a high absorptive capacity,
large surface area, low bulk and density. This powder has an
abrasive feel, similar to pumice powder.
Diatoms skeletons or frustules are symmetric in shape and
contain a large proportion of voids. Losic et al. (2007) indicate
that a large percentage ( 60 - 70%) of the diatoms frustules is
essentially void space. Then the intraskeletal pore space of
diatoms provides a chamber which can store water. Although
the intricate frustules of diatoms have been well described, at
the micro- and nano-scales of single cells and their interactions,
interpretations based solely on physical principles have often
been enlightening (Purcell, 1977; Vogel, 1983). Particle-surface
interactions remain poorly understood and can produce
unpredictable or inexplicable results (Feitosa and Mesquita,
1991).
There are several sites in the world where diatom microfossils

have been detected in natural marine and lacustrine soil deposits
(Shiwakoti et al., 2002; Daz Rodrguez, 2003; Daz-Rodrguez,
et al.,1998; Terzaghi, et al., 1996).
Natural soils are mixtures of clay particles and coarsegrained soil constituents, therefore the engineering behavior of a
particulate material, consisting of individuals of a number of
different components (including pores or voids), is in general,
not simply given by the sum of reactions of the single
individuals. Much more important for the whole system is
usually the mutual interactions and interference between these
individuals (particles or grains), which will be influenced by
their spatial arrangement (i.e. fabric). The soil fabric and its
close relationship to soil behavior have been studied intensively
by several researchers since many years ago. The level of
participation by different types and sizes of particles within the
soil matrix in the transfer of interparticle contact stresses
dictates the stress-strain behavior.
Soil microstructure is one of the governing factors that are
responsible for the mechanical behaviour of clays. The
microstructure of soils implies the combined effects of fabric,
chemical composition, mineralogical constitution, and
interparticle forces. It is required a greater understanding of soil
microstructure and the contribution of soil particles of different
size to its mechanical response.
This paper addresses the analysis of soil compressibility of
soil mixtures ranging from pure kaolinite to 60% diatomite and
40% kaolinite.
2
3 ARTIFICIAL MIXTURES OF DIATOMITE AND

KAOLIN
The experimental program followed in this investigation
consisted in the elaboration of six mixtures: diatomite (D) was
mixed with kaolin (K) in proportions of 0% diatomite (100K),
20% diatomite (20D + 80K), 30% diatomite (30D+ 70K), 40%
diatomite (40D+60K), 50% diatomite (50D + 50K), 60%
diatomite (60D + 40K). All mixtures were performed based on
dry weight proportions.
DIATOM MICROFOSSILS
3.1 Material used in mixtures

The kaolin and diatomite used in this investigation are
products commercially available in Mexico. Kaolin is mainly
composed of clay sized particles and soil particles smaller than
Diatomite or diatomaceous earth is a porous and lightweight

sedimentary rock resulting from accumulation and compaction
of diatom remains over a geological time scale. It is a chalk-like
325
2 micrometers account for about 60%. The value of specific

gravity of solid particles is 2.6. Diatomite is mainly silt sized;
its silt sized particle account for more than 88% while clay size
particles are about 3%.
3.2 Preparation of sample mixtures
Dry kaolinite powder and dry diatomite were thoroughly
mixed in required proportion by weight. The homogenized
mixtures were placed in the bowl of a blender and the necessary
distilled water was added so that the mixture had the water
content corresponding to its liquid limit. There was no any
particle segregation when two different materials were mixed.
The wet mixture was placed by spooning, in a cylindrical mold
of 12.9 cm in diameter and 16 cm in height. The cylindrical
mold served as consolidation cell, for that, two porous stones
were introduced, one in the superior part and the other in the
inferior one, both protected with filter paper, to avoid occluding
the porous stones. The cylindrical mold with the mixture was
placed in a consolidometer frame and a vertical stress of 130
kPa was applied during 28 days. Once the time of consolidation
has elapsed, we extracted the soil sample, using a wire between
separate the mold from the soil.
A series of six tests was carried out on 63.3 mm diameter

and 25.4 mm high specimens through the incremental load (IL).
The equipment used was similar to that described by Head
(1982). The specimens were separated from the porous stones
with a single thickness of Whatman No. 50 filter paper. The
applied pressures ranged from 25 kPa to 1,600 kPa. Each test
involved 7 load increments that were applied daily. The effect
of the stress increment ratio on the compression curve is not
considered herein. Calibrations were made of each apparatus to
reduce the effects of compliance in the measurement of sample
displacement.
The stress-strain relationship (v v plots) from
incremental one-dimensional consolidation tests, are presented
in Figure 1. It can be seen from the figure that the stress-strain
curves show different characteristic that depend on the
diatomite content.
The compression curve for 100% kaolinite is shown as
reference curve
The mixture 20D+80K shows a marked decrease of
deformation.
The mixtures of diatomite content of 30, 40, 50, and 60%
show different behavior. As diatomite content increase the
vertical strain begins to increase.
3.3 Index Tests

ASTM standards were followed in determining index
properties, summarized in Table 1.
Atterberg limits increase with the increase in diatomite
content, however, IP decreased. Activity (i.e., the ratio between
the plasticity index and clay size particles percentages) of the
diatomite-kaolin mixtures increased with the increase in
diatomite content (Table 1), this apparent increase is quite
contradictory to the conventional perception, as mentioned by
Shiwakoti et al. (2002). This fact suggests that the diatoms do
not behave as silt size inert particles; on the contrary, they
behave as very active clay particles.
Table 1. Index properties and physical properties of soil mixtures
Mixture
D+K
w
(%)
wL
(%)
wP
(%)
IP
(%)
100K
20D + 80K
30D + 70K
40D + 60K
50D + 50K
60D + 40K
43.00
45.60
49.00
52.40
55.15
57.90
56.40
58.90
63.75
68.60
72.05
75.50
28.90
33.70
40.25
46.80
51.75
56.70
27.50
25.20
23.50
21.80
20.30
18.80
d
Activity
(kN/m3)
11.06
10.98
10.70
10.43
9.95
9.48
0.42
0.48
0.51
0.53
0.59
0.65
Figure 1 Stress-strain behavior on diatomite-kaolin mixtures
4. COMPRESSIBILITY OF SOIL MIXTURES

ASTM standards were followed in determining compressibility
properties of the soil mixtures, and strain data are given in
Table 2.
Table 2 Results of compression tests on diatomite-kaolin mixtures
Mixture
D+K
25 Kpa
100K
20D + 80K
30D + 70K
40D + 60K
50D + 50K
60D + 40K
6.992
1.047
1.134
1.354
1.083
1.268
50
Kpa
7.949
1.492
1.445
1.752
1.492
1.654
100
Kpa
9.630
2.142
1.941
2.398
2.142
2.268
Stress
200
400
800
1600
Kpa
Kpa
Kpa
Kpa
11.843 14.248 16.996 20.374
3.205 4.634 7.441 11.189
2.913 4.453 7.693 12.724
3.449 5.264 9.114 15.602
3.362 5.413 9.732 16.449
3.425 5.402 9.689 16.823
326
The variation of strain in diatomite content is shown in

Figure 2, each curve is identified with the vertical stress applied.
It can be seen from the figure that each curve shows different
characteristic that depend on the vertical stress.
For small values of the vertical stress (25 to 100 KPa) there
is a plateau between 20 to 60% of diatomite content.
From a vertical stress of 200 KPa the plateau tends to
disappear and the shape of the strain pattern denotes a
change in the behavior for high stress levels.
The stress-strain relationship (v log v plots) for different
mixtures, are presented in Figure 3. It can be seen from the
figure that there is a sudden change in the pattern when
diatomite is added to the mixture. Curve 100K represents the
general v log v relationship for random type of structure
typical of a remolded clay. Other compression curves represent
incipient structured soils.
0
5.1 Index properties
According to Tanaka and Locat (1999) the increase in

activity is believed to be an example of the influence of diatom
microstructure on the test results.
5.2 Compressibility
The influence of diatom microfossils on soil compressibility is
complex and depends on several factors (e.g., diatomite content
and stress level). The results of this experimental program show
that the influence of diatoms microfossils in the engineering
behavior of soils cannot be ignored.
There are several very interesting phenomena associated
with the flow over cavities, like that presented by the frustules
of diatoms. Models developed to examine shear flow over pores
of different shapes, radii, and depths have shown that pores
morphology is important in determining the streamlines of flow
(Pozrikidis, 1994). The kinematics structure of the flow is
discussed with reference to eddy formation and threedimensional flow reversal. This associate phenomenon suggests
that water inside diatom frustules could not be mechanically
inert and affect the pore water pressure generated in the
interstices between diatoms and clay particles. It therefore,
influences the effective stress and the change the stiffness.
Relationship between diatomite content and Cc are shown in
Figure 4 for the six mixtures. The results show that the
compressibility of kaolin increases sharply with the addition of
diatomite. Therefore, the Cc value for mixtures with diatomite is
larger than pure kaolinite.
10
15
20
25
0
20
40
Diatomite content (%)
60
Figure 2 Variation on strain with diatomite content

0
10
15
20
25
1
10
100
1000
Effective vertical stress, 'v (kPa)
10000
Figura 3 Comparion between stress-strain curves obtained with different

diatomite content
5. DISCUSSION
The compressibility of fine-grained soils containing a high
percentage of clay minerals depends not only on the mechanical
properties of its constituents, but also on physico-chemical
factors.
The difficulty in dealing with soil mixtures is manifested not
only by the complexity of their behavior, but also in the absence
of index parameters to characterize and compare soil mixtures.
Consequently, a soil with a different composition (e.g.,
diatomite-kaolin with varying diatomite content) must be
treated as a different material every time there is a change in the
soil composition, and laboratory tests must be performed
wherever there is a significant variation in the soil composition.
Therefore part of their compressibility is determined by the
mechanical properties of the soil particles and the balance by
the physico-chemical interaction of their constituents.
327
Figure 4 Relationship between diatomite content and Cc
6. CONCLUSIONS
Diatoms are outstanding examples of natural micro- and
nano-structured materials that control the mechanical, hydraulic,
and physico-chemical properties of soils. It is concluded that
diatomaceous soils exhibit the following characteristics:
1. Activity increase with the increase in diatomite content.
2. The stress-strain curves show different characteristics
depending on the diatomite content.
3. The strain-diatomite content curves show different
characteristics depending on the stress level.
4. The presence of a significant amount of microfossils can
significantly influence the mechanical behavior of soils,
particularly the compressibility.
5. The compressibility for mixtures with diatomite is larger than

pure kaolin
6. The compressibility of fine-grained soils containing a high
percentage of clay minerals depends not only on the
mechanical properties of its constituents, but also on
physico-chemical factors.
7. However, our knowledge about the interaction between
diatoms, clay particles, and water is in its infancy. Hence, it
is necessary to pursue in greater detail the study of topics
such as hydrodynamic effects and chemical reactions of
diatom frustules.
7. ACKNOWLEDGEMENTS
This study has been supported by the Direccin General de
Apoyo al Personal Acadmico, (DGAPA) UNAM. Editing of
the manuscript was completed with the superb assistance of
Guadalupe Salinas. The writers are grateful to Prof. Yudhbir
Yudhbir for comments during preparation of this paper.
328
8. REFERENCES
Daz Rodrguez, J. A. (2003). Characterization and engineering
properties of Mexico City lacustrine soils in
Characterization and Engineering Properties of Natural
Soils, Balkema Publishers, Vol. 1, 725-755.
Daz-Rodrguez, J. A., Lozano-Santa Cruz, R., Davila-Alcocer,
V. M., Vallejo, E. & Girn, P. (1998). Physical, chemical,
and mineralogical properties of Mexico City sediments: a
geotechnical perspective. Canadian Geotechnical Journal
35(4): 600-610.
Feitosa, M. I. M. & Mesquita, O. N. (1991). Wall-drag effect on
diffusion of colloidal particles near surfaces: A photon
correlation study. Physical Review A, 44(10): 6677-6685.
Head, K. H. (1982). Manual of Soil Laboratory Testing. Vol. 2.
Second Edition, John Wiley & Sons Inc.
Locat, J., Tremblay, H., Leroueil, S., Tanaka, H. & Oka, F.
(1996). Japan and Qubec clays: their nature and related
environmental issues. In Proceedings of the 2nd
International Congress on Environmental Geotechnics,
Osaka, Japan: 127-132.
Pozrikidis, C. (1994). Shear flow over a plane wall with an
axisymmetric cavity or a circular orifice of finite thickness.
Phys. Fluid Journal, vol. 6: 68-79.
Purcell, E. M. (1977). Life at low Reynolds number. Am. J.
Physics, vol. 45: 3-11
Shiwakoti , D. R., Tanaka, H., Tanaka, M. & Locat, J. (2002).
Influence of diatom microfossils on engineering properties
of soils. Soils and Foundations, 42(3): 1-17.
Terzaghi, K., Peck, R. B., and Mesri, G. (1996). Soil mechanics
in engineering practice. 3rd Ed., Wiley, New York.
Tanaka , H. & Locat, J. (1999). A microstructural investigation
of Osaka Bay clay: the impact of microfossils on its
mechanical behavior. Canadian Geotechnical Journal, 36:
493-508.
Vogel, S. (1983). Life in moving fluids. Princeton University
Press. Princeton, N. J.
Strength properties of densely compacted cement-mixed gravelly soil

Proprits
Ppropritsde
dersistance
rsistancedes
desgraves
gravescimentes
cimentesfortement
fortementcompactes
compactes
Ezaoui
Ezaoui A.
A.
CETE
CETE de
de Lyon,
Lyon, DLA,
DLA, France
France
Tatsuoka
Furusawa S.,
Kataoka T.
T.
Tatsuoka F.,
F., Furusawa
S., Hirao
Hirao K.,
K., Kataoka
Tokyo
Tokyo University
University of
of Science,
Science, Civil
Civil Engineering
Engineering Department,
Department, Japan
Japan
ABSTRACT:
A series
series of
of drained
drained triaxial
ABSTRACT: A
triaxial compression
compression tests
tests (TC)
(TC) were
were performed
performed on
on specimens
specimens prepared
prepared in
in the
the laboratory
laboratory and
and rotary
rotary
core
samples
retrieved
from
the
field
of
well-compacted
cement-mixed
gravelly
soils
(CMG).
The
effects
of
the
following
factors on
on
core samples retrieved from the field of well-compacted cement-mixed gravelly soils (CMG). The effects of the following factors
the
were
evaluated:
the
degree
of
compaction
D
and
cement
content
(when
compacted
at
the
optimum
c
the compressive
compressive strength
strength qqmax
were
evaluated:
the
degree
of
compaction
D
and
cement
content
(when
compacted
at
the
optimum
max
c
water
water content);
content); the
the curing
curing time;
time; the
the grading
grading characteristics
characteristics of
of gravelly
gravelly soil;
soil; and
and the
the specimen
specimen volume.
volume. The
The followings
followings were
were found
found
from
from the
the data
data for
for aa wide
wide variety
variety of
of CMG
CMG having
having c/g=
c/g= 2.0
2.0 ~
~ 6.0
6.0 %
% compacted
compacted by
by using
using two
two energy
energy levels
levels (1.0Ec
(1.0Ec &
& 4.5Ec).
4.5Ec). The
The effects
effects
of
independent variables,
of D
Dcc are
are equally
equally important
important as
as the
the cement
cement content.
content. An
An empirical
empirical equation
equation is
is proposed
proposed using
using two
two independent
variables, the
the soil
soil
skeleton
skeleton porosity
porosity nnss,, which
which controls
controls the
the initial
initial compressive
compressive strength,
strength, and
and the
the cement
cement void
void ratio
ratio C
Crr,, which
which controls
controls the
the increasing
increasing
manner
with curing time. The effects of sieving method to obtain smaller particle materials for small TC specimens from an
manner of
of qqmax
max with curing time. The effects of sieving method to obtain smaller particle materials for small TC specimens from an
original
gravelly
original gravelly soil
soil having
having larger
larger particles
particles are
are not
not significant.
significant. However,
However, significant
significant effects
effects of
of specimen
specimen volume
volume (i.e.,
(i.e., 72
72 mm
mm xx 72
72
mm
mm in
in cross-section
cross-section times
times 150
150 mm
mm high
high versus
versus 300
300 mm
mm in
in diameter
diameter times
times 580
580 mm
mm high)
high) is
is highlighted.
highlighted.
campagne dessais
dessais triaxiaux
triaxiaux en
en compression
compression aa t
t ralise
ralise sur
sur des
des chantillons
chantillons de
de grave,
grave, cimente
cimente et
RSUM
RSUM :: Une
Une campagne
et compacte
compacte
(GC),
laboratoire mais
des chantillons
Les effets
effets de
de diffrents
diffrents facteurs
facteurs sur
(GC), prpars
prpars en
en laboratoire
mais galement
galement sur
sur des
chantillons carotts
carotts sur
sur site.
site. Les
sur les
les rsistances
rsistances
en
ont t valus : le degr de compaction D (teneur en eau de loptimum Proctor), la teneur en ciment, le temps de
en compression
compression qqmax
max ont t valus : le degr de compaction Dcc (teneur en eau de loptimum Proctor), la teneur en ciment, le temps de
cure;
cure; la
la distribution
distribution granulomtrique
granulomtrique et
et le
le volume
volume de
de lchantillon.
lchantillon. Les
Les tendances
tendances suivantes
suivantes ont
ont pu
pu tre
tre releves
releves partir
partir de
de donnes
donnes
exprimentales
varit de
de GC
GC prsentant
prsentant diffrentes
ciment c/g=
2,0 ~
~ 6,0
exprimentales obtenues
obtenues sur
sur une
une grande
grande varit
diffrentes teneurs
teneurs en
en ciment
c/g= 2.0
6.0 %
% et
et compactes
compactes
suivant
normale et
et modifie
modifie (1.0Ec
(1,0Ec &
et 4,5Ec).
la teneur
teneur en
en ciment
ciment
suivant deux
deux modalits:
modalits: normale
4.5Ec). Il
Il est
est apparu
apparu que
que les
les effets
effets de
de la
la compaction
compaction ou
ou de
de la
sur
taient tout
en
sur la
la rsistance
rsistance en
en compression
compression taient
tout aussi
aussi importants.
importants. Une
Une formulation
formulation empirique
empirique est
est propose
propose afin
afin dvaluer
dvaluer la
la rsistance
rsistance en
compression
contrle la
la rsistance
rsistance initiale
initiale en
en compression,
compression, et
et
compression partir
partir de
de deux
deux variables
variables indpendantes
indpendantes :: la
la porosit
porosit du
du squelette
squelette nnss,, qui
qui contrle
la
occupe par
par le
le ciment
ciment C
avec le temps de cure. Les effets
la proportion
proportion du
du volume
volume des
des vides
vides occupe
Crr,, qui
qui contrle
contrle laugmentation
laugmentation de
de qqmax
max avec le temps de cure. Les effets
dune
du volume
de lchantillon
lchantillon sont
sont mis
mis en
en vidence.
vidence.
dune rduction
rduction granulomtrique
granulomtrique ne
ne sont
sont pas
pas significatifs.
significatifs. Cependant,
Cependant, les
les effets
effets du
volume de
KEYWORDS:
KEYWORDS: cement-mixed
cement-mixed gravel,
gravel, curing,
curing, triaxial
triaxial compression,
compression, compaction,
compaction, size
size effect
effect
1
compaction, cement content, curing time, particle grading

characteristics and specimen volume were evaluated, a
comprehensive series of drained TC tests were performed.
INTRODUCTION
Ground improvement by cement-mixing has been successfully

used in many construction projects. This technology includes
mixing-in-place of soft clay without compaction (i.e., the deep
mixing method), under-water placing of cement-mixed soil slurry
without compaction and highly compacted cement-mixed gravel
for high roller-compacted concrete (RCC) dams. More recently,
cement-mixed gravelly soil (CMG) compacted by energy lower
than the one for RCC is used to construct bridge abutments for
high-speed trains in Japan. Such use of CMG for deformationsensitive structures as above has been motivated by a high costeffectiveness. To develop the design and construction
procedures, the stress-strain properties of CMG have been
studied by many researchers (Lohani et al. 2004, Kongsuprasert
& Tatsuoka 2005; Kongsukprasert et al. 2005, 2007; Tatsuoka et
al. 2008, Ezaoui et al. 2010). Yet, the whole picture of effects of
dry density, water content at compaction and cement content
ratio on the strength and stiffness are not well understood (e.g.,
Horpibuslsuk et al. 2003; Consoli et al. 2007).
One of other practically important issues is the use of wellgraded gravelly soil in the field with the maximum diameter
exceeding 35 mm, which is too large to be tested by ordinary
laboratory stress-strain tests, such as triaxial compression (TC)
tests. For this reason, it is usually prepare materials for
specimens for TC tests, for example, by sieving out large
particles from a given original gravelly soil. So, it becomes
necessary to evaluate the effects of grading characteristics (i.e.,
the particle size and the shape of grading curve) and the volume
of specimen.
The present study aims at finding major factors that control the
strength and stiffness of CMG for its proper and cost-effective
use. In particular, to evaluate the effects of compacted degree of
2
2.1
EFFECTS OF SEVERAL FACTORS ON STRENGTH

Specimens prepared in the laboratory
The first TC series performed in the present study used

SievedChiba Gravel (SCG in Fig. 1, crushed quarry sandstone
comprising sub-angular particles). The TC specimens were
rectangular prismatic (72 mm x 72 mm in cross-section times
150 mm high), for which a maximum particle size of 10 mm was
selected. Fig. 2a shows compaction curves for standard and
modified Proctor energy levels (1.0Ec= 550 kJ/m3 and 4.5Ec) and
cement/gravel ratio in weight c/g = 2.5 % and 4.0 % of SCG.
d_max=2.12 g/cm3 and wopt= 9.3 % were obtained for 1Ec and
d_max=2.21 g/cm3 and wopt= 7.4 % for 4.5Ec. Effects of cementmixing on the compaction curves are negligible (Ezaoui et al.,
2010). The TC specimens were produced by tamping moist
cement-mixed gravelly soil immediately after adding water for
respective optimum water contents wopt to a degree of
compaction Dc= 95 %, where Dc=d_test/d_max x 100 % for 1.0Ec
or 4.5Ec (Fig. 2a). The weight and height of each of the five sublayers were carefully controlled. In the test results shown
hereafter, vertical (axial) and horizontal (lateral) strains, v and
h, measured locally with of a pair of vertical local deformation
transducers (LDTs) arranged on two opposite lateral faces of
specimen and horizontal LDTs arranged on the other two
opposite lateral faces are presented.
329
1
an increase in s, despite that s has no direct effect on the stressstrain properties. Secondly, the effect of compaction level for the
same c/g value (and same s) has two components: 1) a better
interlocking among soil particles with a decrease in the soil void
ratio; and 2) a larger amount of cement in a less volume of the
total void of soil particle skeleton. Based on this consideration,
two independent parameters are postulated: the soil skeleton
porosity ns (representing the structure of the skeleton of gravelly
soil particles only); and the cement void ratio Cr (representing
the fraction of the void of the soil skeleton occupied by cement):
100
Percent finer than D by weight
SCG/SAG
Dmax= 10 mm
OKG
OBG
Dmax= 38.1 mm Dmax= 37.5 mm
80
D50 = 2.32 mm D50 = 2.92 mm D50 = 6.21 mm

Uc = 44
Uc = 50.0
Uc = 19.0
Fc = 5.2 %
Fc = 9.23 %
60
PG
Dmax= 10 mm
CG
Dmax= 10 mm
Fc = 4 %
Cut grading
(CG)
D50 = 0.72 mm D50 = 2.92 mm
40
Uc = 50.0
Uc = 19.0
Fc = 16.5 %
Fc = 9.23 %
Sieved grading
(SCG/SAG)
Parallel grading
(PG)
Original crushed
sandstone JR (OBG)
20
Original crushed
sandstone Kikonai (OKG)
0
0,01
0,1
10
V Vs
V
Vc
Vc
C
r
Vv V Vs
ns
100
Particle size, D (mm)
Figure 1. Grading curves and characteristics of the tested cement-mixed

gravels
Dry density, d (g/cm )
4.5 Ec
c/g=4/0%
a Cr .tc
qmax tc q0 ns 1
b tc
2.1
1.0 Ec
c/g=2.5%
7
8
9
water content, w (%)
CG
OKG
OBG
2.2
SAG
2.1
Test conditions (wopt;Dc=95%)

Modified Proctor (4.5Ec)
b)
11
OBG OKG CG PG SAG

3
pd_max (g/cm ): 2.22 2.23 2.23 2.21 2.22
wopt (%):
7.9 5.4 6.9 7.3 7.75
Dry density, d (g/cm )
2.3
10
6
7
8
water content, w (%)
PG
(3)
where tc is the curing period; q0 is the initial compressive

strength (when tc= 0) that decreases with ns; a is the parameter
showing the cementation effect that increases with Cr; and b is
the constant parameter that depends on cement type. The
functions a(Cr) and q0(ns) are obtained based on the data
presented in Fig. 3 together with those from CD TC tests on
rotary core samples retrieved from the field, as shown below.
Three solid lines presented in Fig. 4 denote the iso-strength lines
for constant qmax=q1, q2 and q3 at a specified tc according to Eq.
(3) with known values of q0, a and b. The dash-dot curves are the
corresponding c/g= constant curves. From such a plot as shown
in Fig. 4, the most suitable (i.e., the most cost-effective)
combination of (Cr; ns) of a given type of CMG that achieves a
given required compressive strength can be chosen referring to
the cost for cement and compaction work.
2.0
a)
(2)
where V is the total volume; Vs is the volume of gravelly soil

particles; Vv is the volume of the void of the skeleton of gravelly
soil ; and Vc is the volume of cement.
Ezaoui et al. (2011) also proposed the following hyperbolic
function for the qmax value that increases with time and is a
function of these two parameters independently:
Sieved Chiba gravel (SCG)

Test conditions (wopt;Dc=95%)
2.2
(1)
10
2.2
Figure. 2. Compaction curves: a) SCG for 1.0Ec & 4.5 Ec and c/g= 2.5%
& 4/0 %; and b) five cement-mixed gravelly soils presented in Fig. 1 for
4.5Ec and c/g= 4.0% (except for PG and OKG)
U tests on specimens made using a material use

in the field
The use of CMG is now spreading in Japan, particularly to

construct bridge abutments for high speed train lines. Very
recently, a geosynthetic-reinforced soil (GRS) integral bridge
was constructed. The backfill immediately behind the facing is
well-compacted cement-mixed gravelly soil. The grading curve
of this backfill material (i.e., crushed gravel from a quarry,
denoted as the Original Kikonai Gravel, OKG) is presented in
Fig. 1. The compaction curve for 4.5Ec is presented in Fig. 2b.
Before the construction, to determine the cement-mixing
proportion, a series of U tests were performed on specimens
mixed at c/g = 2.0, 4.0 and 6.0 %, compacted to Dc= 95 % at w=
wopt (4.5Ec) and cured for 7 and 28 days. To accommodate the
maximum particle size of 37.5 mm, large specimens (150 mm in
diameter and 300 mm in height) have been used.
To apply Eq. (3) to the data from these U tests, b=19.62 was
used, which was obtained by analyzing a data set from a series of
CD TC tests on cement-mixed SCG cured for a period of 1 ~ 180
days (Ezaoui et al., 2010, 2011). The values of a(Cr) and q0(ns)
for the three c/g values and the two curing periods were
determined from the reported values of qmax(tc). They are plotted
against their corresponding ns and Cr values in Figs. 6a and b
(round symbols). In so doing, to eliminate possible effects of
specimen size and grading characteristics (discussed in the next
section), these qmax values had been corrected to become the
same values as those obtained for the smaller specimen (i.e., the
data presented in Fig. 3) under the same test conditions (i.e., a
curing period of 7 days; Dc= 95 %; and c/g= 4.0 %). Then, in
Figs. 6a and b, only relative variations of q0 and the parameter a
due to variations in the ns and Cr values among those U test
Fig. 3 presents the development of the compressive strength qmax

at confining pressure of 20 kPa with the period of initial curing
under the atmospheric pressure at a constant water content (the
same as prepared) of four kinds of SCG specimen prepared under
different conditions (1.0Ec or 4.5Ec and c/g =2.5 or 4.0 %). The
following trends can be noted. Firstly, the qmax value increases
considerably with time, which should be due to the cement
hydration process. The increase until a curing period of 14 days
is rather proportional to the initial value at 7 days. Secondly,
the qmax value is largely different among the four kinds of
specimen (up to a factor of 100 %). Thirdly, the effects of
compacted dry density d on the qmax value when c/g= 2.5 % are
significant. An increase more than 100 % results from an
increase in d of only about 5 % associated with an increase in
the compaction level from 1Ec to 4.5Ec. On the other hand, when
the compaction level is 1.0Ec, the qmax value increases by a factor
of only about 40 % with an increase in c/g from 2.5 % to 4. 0%
(i.e., an increase of about 60 %).
Ec and c/g are the parameters commonly used in practice,
because they are easily measured and controlled. However, they
are not the basic parameters that control the strength and
deformation characteristics of CMG. This feature can be easily
seen from the following inherent drawbacks (Watanabe et al.
2003, Kongsukprasert et al. 2005). Firstly, with materials having
different specific density s, for the same c/g value and the same
soil void ratio, the volume of cement per volume increases with
2
330
measured with the two core samples cured for about 90 days
presented in Fig. 7. That is, the small-strain Young modulus (at
the isotropic stress-state) was about 35 GPa, which is the same
order of magnitude as ordinary concrete. With these core
specimens, ns= 20.2 % and Cr= 9.3 % were obtained from d=
2.23 g/cm3 and c/g= 3.0 %. Based on the respective linear
relations presented in Figs. 6a and b, the parameters q0 and a for
Eq. (3) were evaluated by two methods:
Method 1): By substituting ns= 20.2 % into the linear relation in
Fig. 6a, q0= 1.61 MPa is obtained (i.e., a data point of triangular
symbol 1), located on the linear relation). Then, by assuming the
same coefficient b=19.62 as the laboratory-prepared specimens
for Eq. (3) and using this q0 value, an average relation is bestfitted to the data presented in Fig. 7. Then, a= 6.7 % is obtained
for Cr= 9.3 % (i.e., a data point of triangular symbol 1) in Fig.
6b).
Method 2): By substituting Cr= 9.3 % into the linear relation
shown in Fig. 6b, a= 7.7 % is obtained (i.e., a data point of
triangle symbol 2), located on the linear relation). Then, by
assuming b= 19.62 as above for Eq. (3) and using this a value, an
average relation is best-fitted to the data presented in Fig. 7
(which is eventually the same as the one obtained by Method 1)).
Then, q0= 1.43 MPa is obtained for ns=20.2 % (i.e., a data point
of triangular symbol 2) in Fig. 6a).
As seen from Figs. 6a and b, the results obtained by two methods
are consistent. The results shown above indicate that Eq. (3) is
relevant for various kinds of CMGs with different grading
characteristics, different cement contents (c/g= 2.0 ~ 6.0 %) and
a relatively wide range of compaction level (d= 2.0 ~
2.23 g/cm3).
specimens are highlighted. In these figures, the data points of

SCG (square symbols) obtained from the data presented in Fig. 3
are also presented. It may be seen that these two sets of data,
which are for the specimens compacted to the same Dc (i.e., 95
%) at the respective optimum water contents, are consistent with
each other. Linear functions can be fitted to the q0 - ns and a - Cr
relations with a small variance less than 10 %.
Maximum deviator stress, qmax (MPa)
8.0
1Ec / 2.5%
1Ec / 4.0%
4.5Ec / 2.5%
4.5Ec / 4.0%
6.0
4.0
2.0
Cement mixed Chiba gravel (SG) - h'=20kPa
0.0
10
12
14
Time, tc (days)
Figure 3. Development of compressive strength qmax with time tc for

different cement contents c/g and different compaction energy levels Ec
(laboratory specimen of Sieved Chiba Gravel, SCG)
1)
+10%
1.6
Linear fitting
Parameter q0 (MPa)
2)
Figure 4. Illustration of the effect of skeleton porosity ns and cement void

ratio Cr on the compressive strength qmax=q1,2,3
RC slab
West
East
12.0
Backfill (uncemented)
1.2
OKG (Kikonai) - 4.5Ec (Dc=95%)
0.8
(c/g=2.5 and 4.0%)
0.6
0.6
GCM
GL= 5.0
4.2
[All units in m]
2.2
1.0
Original
ground
Road surface
0.7
(c/g=3.0%)
Two deduced data 1) & 2)
from TC tests on rotary core samples from the site
0.22
0.24
0.26
Porosity of squeleton, ns (%)
a)
0.28
0.7
20
GCM
2.2
4.5
(c/g=2.0, 4.0 and 6.0%)

(specimen prepared in the laboratory)
+10%
SG (Chiba) 1.0/4.5Ec (Dc=95%)
1.0
GCM: Ground improvement by cement-mixing
16
Parameter a(Cr)
Figure 5. General structure (the width= 11.7 m) of the first prototype

GRS integral bridge, for the new bullet train line at Kikonai, the south
end of Hokkaido (by the courtesy of the Japan Railway Construction and
Technology Agency), constructed in 2011 (Tatsuoka et al., 2012)
2.3
0.20
10.75
.1
6
(c/g=2.0, 4.0 and 6.0%)

Specimen prepared in the laboratory
SCG - 1.0/4.5Ec (Dc=95%)
0.4
Backfill (cement-mixed
gravelly soil)
-10%
TC tests on core samples retrieved from the field
(c/g=2.5 and 4.0%)

12
(c/g=3.0%)
Two deduced data 1) & 2)
from TC tests on rotary core
samples from the site
-10%
Linear fitting
2)
1)
It is examined below whether the empirical relations shown in

Figs. 6a and b can be applied to the data from CD TC tests on
rotary core samples retrieved from the CMG backfill of the GRS
integral bridge (Fig. 5). The backfill was compacted to Dc= 100
% (4.5Ec), higher than the laboratory-prepared specimens
analyzed above, and at c/g= 3.0 %. The core samples were 80
mm in diameter and 160 mm or less in height. The qmax values
evaluated by CD TC tests at confining pressure of 20 kPa are
plotted against tc (from the time of compaction in the field until
respective TC tests) in Fig. 7. The data exhibit a large scatter,
which is inevitable with such core samples from the field (e.g.,
Taheri et al., 2012). Yet, the trend that qmax increases with tc is
obvious. It may also be seen that, even at a relatively low c/g (=
3.0 %), the strength tends to exceed 10 MPa after tc= three
months, which is a nearly half of the strength of ordinary
concrete. This property should be due to very high compaction
(i.e., Dc= 100 % (4.5Ec) with d ~ 2.23 g/cm3) achieved by field
compaction. It is to be noted that very high stiffness values were
b)
8
12
Cement void ratio, Cr (%)
16
Figure 6. a) Variation of parameter q0, Eq. (1), with skeleton porosity ns

and; b) variation of parameter Cr, Eq. (1) with cement void ratio Cr
EFFECTS OF SPECIMEN AND PARTICLE SIZES
The compressive strength at given confining pressure is also

controlled by factors other than those analyzed in the section
above, including: grading characteristics, such as the mean
diameter d50 and the uniformity coefficient, fines content etc.
(factor G); and the size of specimen (factor S) (Ezaoui et al.,
2011). Two relevant parameters, among others, for factor S are:
i) the particle/specimen size ratio (represented by the ratio of the
specimen diameter D to d50); and; ii) the specimen volume V.
3
331
Factors G and S may be different between the full-scale backfill

and the one used in laboratory stress-strain tests.
To evaluate factors S and G, a series of drained TC tests were
performed using small and large CMG specimens of the same
gravelly soil but having four different grading curves, PG, SAG,
CG and OBG shown in Fig. 1, produced from an original
gravelly soil (OBG), a sub-angular crushed sandstone as Chiba
gravel but from another quarry. Among these sieved materials,
SAG was produced just by removing particles larger than 10 mm.
The fact that SAG is easiest to produce is a strong advantage for
the use in tests performed in practice. On the hand, PG is
extremely time-consuming to produce, as a large amount of fine
particles should be produced. So, the use of this material in
practice cannot be recommended. The production of CG is
intermediate. The compaction curves of these sieved materials
are noticeably different due to different grading curves (Fig. 2b).
The small specimens have the same size as those of which the
data are presented in the preceding sections. The large specimens
are 300 mm in diameter and 580 mm in height. All the specimens
were prepared under the same conditions: i.e., c/g= 4.0 % and
Dc= 95 % at the respective optimum water contents by 4.5Ec. As
the d_max values of these sieved materials are nearly the same
(Fig. 2b), the eventually obtained compacted dry densities are
very similar.
to volumes that exceeds the largest value examined in this study

(such as field full-scale structures).
Maximum deviator stress, qmax (MPa)
7.0
Maximum deviator stress qmax (MPa)
Top of bridge abutment (core-cut)
8.0
Fitting based on Eq. (3)
Using the parameters deduced by:
Method 1): q0= 1.61 a= 6.7; or
Method 2): a= 7.7 q0= 1.43 MPa
28 days
40
60
80
Time (day)
100
120
Deviator stress, q (MPa)
Cured for 7 days
Dc=95%(4.5Ec) c/g=4.0%
Small TC (SAG) =0.03%/min
v
Small TC (CG)
Large TC (SAG)
2.0
Large TC (OBG)
0.5
1.0
Vertical strain, v(%)
10
10
structure
10
10
10
10
CONCLUSIONS
ACKNOWLEDGEMENTS
REFERENCES
Consoli, N.C., Foppa, D., Festugato, L. and Heineck, K.S. (2007): Key
parameters for strength control of artificially cemented soils, J.
Geotech. Geoenviron. Eng., 133(2): 197205.
Ezaoui,. Tatsuoka, F., Sano, Y., Iguchi, Y., Maeda, Y., Sasaki, Y. and
Duttine, A. (2010): Ageing effects on the yielding characteristics of
cement-mixed granular materials, Soils and Foundations, 50(5), 705724.
Horpibulsuk, S., Katkan, W., Sirilerdattana, W. and Rachan, R. (2006):
Strength Development in Cement stabilized low plasticity and Coarse
grained soils: Laboratory and Field Study, Soils and Foundation,
46(3), 351366.
Kongsukprasert, L. and Tatsuoka, F. (2005): Ageing and viscous effects
on the deformation and strength characteristics of cement-mixed
gravely soil in triaxial compression, Soils and Foundations, 45(6), 5574.
Taheri, A., Y. Sasaki, Y., Tatsuoka, F. and Watanabe, K. (2012):
Strength and deformation characteristics of cemented-mixed gravelly
soil in multiple-step triaxial compression, Soils and Foundations,
52(1).
Tatsuoka, F., Di Benedetto, H., Kongkitkul, W., Kongsukprasert, L.,
Nishi, T. and Sano, Y. (2008) Modeling of ageing effects on the elastoviscoplastic behavior of geomaterial, Soils and Foundations, 48(2),
155-174.
Tatsuoka, F., Munoz, H., Kuroda, T., Nishikiori, H., Soma, R., Kiyota,
T., Tateyama, M. and Watanabe, K. (2012): Stability of existing
bridges improved by structural integration and nailing, Soils and
Foundations, 52(2).
4.0
0.0
0.0
Field full-scale
Small TC (PG)
Small TC (CG)
Small TC (SAG)
Large TC (OBG)
Large TC (SAG)
The core samples from Kikonai were provided by the Japan

Railway Construction, Transport and Technology Agency and
the study was financially supported by Japan Society for the
Promotion of Science.
ML TC test - h'=20kPa
6.0
2.0
140
Figure 7. Compressive strength qmax versus total curing time for rotary
core samples from the field (Kikonai GRS integral bridge) and fitting
curve based on Eq. (3) with a set of deduced parameters (Fig. 6a and b)
Small TC (PG)
3.0
The following conclusions can be derived:

1. High compaction is very effective to obtain high strength of
cement-mixed gravelly soil (CMG).
2. The porosity of the skeleton of gravelly soil only, ns; and the
fraction of the void of soil skeleton occupied by cement, Cr, are
two major independent parameters for the strength of CMG. An
empirical equation is proposed to predict the compressive
strength of a given CMG based on a given initial compressive
strength that is a function of ns with an increase with curing time
following a function of Cr.
3. Within the limit of test conditions in the present study, for the
same degree of compaction at the respective optimum water
contents with the same cement content, the effects of grading
characteristics on the strength are not significant, while the
effects of specimen volume are significant.
Bottom of bridge abutment (boring)
20
1/8
Figure 9. Compressive strength qmax (Dc= 95 % at 4.5Ec); c/g= 4.0%; &

tc=7 days) plotted against normalized volume by the volume of the small
specimen VSmall TC
12.0
0.0
0
4.0
Volume ratio,V/VSmall TC
Dc=100% (4.5Ec); c/g=3.0%; h'=20kPa
4.0
5.0
1.0
ML TC tests (specimen from Kikonai site)
16.0
6.0
1.5
Figure 8. Deviator stress (q) vertical strain (v) relations from CD TC

tests at h=20 kPa on small and large specimens having different types
of cement-mixed gravel presented in Fig. 1
Fig. 8 shows the stress-strain curves at tc= 7 days of the small

and large specimens of SAG, CG and OBG. The effects of
specimen size (factor S) are significant, while the effects of
grading characteristics (factor G) are not so. It was found that
there is no trend in the relationship between qmax and D/d50 (also
with D/dmax). On the other hand, a well-defined trend exists in the
relationship between qmax and the ratio of the specimen volume
to the small specimen volume V/Vsmall TC (Fig. 9): i.e., qmax
decreases nearly 40 % with an increase in the specimen volume
by a factor of nearly 50. This fact indicates that Eq. (3) should be
modified to take into account this size effect. More research is
necessary to examine whether this linear relation can be extended
4
332
th
Tensile Strength of Lightly Cemented Sand through Indentation Tests

Rsistance la traction de sable lgrement ciment par des tests d'indentation
Ge L.
Department of Civil Engineering, National Taiwan University
Yang K.-H.
Department of Construction Engineering, National Taiwan University of Science and Technology
ABSTRACT: Compared to the compressive or shear strength of soil, its tensile strength is generally assumed to be zero, or
insignificant, in geotechnical engineering practice because of its relatively small value and lack of a satisfying laboratory technique.
The tensile strength of soil is, however, an important parameter in the design of geosystems, where tensile cracks contribute to
progressive erosion or landslides in excavation, slopes, dams, highway embankments, riverbanks, hydraulic barriers, and other earth
structures. In this paper, a recent development of the indentation test is presented. The theoretical framework is re-evaluated followed
by a series of test results on lightly cemented sand.
RSUM : Par rapport la rsistance la compression ou de cisaillement du sol, sa rsistance la traction est gnralement
considre comme nulle ou insignifiante dans la pratique de la gotechnique en raison de sa valeur relativement faible et le manque
dune technique de laboratoire satisfaisante. La rsistance la traction de sol est, cependant, un paramtre important dans la
conception des gosystmes, o des fissures de traction contribuent lrosion progressive des glissements de terrain dans
lexcavation, les pistes, les barrages routiers, des remblais, des rives, des barrires hydrauliques, et dautres structures terrestres. Dans
cet article, un dveloppement rcent de lessai dindentation est prsent. Le cadre thorique est rvalu, suivi dune srie de
rsultats dessais sur le sable lgrement ciment.
KEYWORDS: tensile strength, indentation, limit analysis.
1
pu is the upper bound axial compressive load that causes the

split tension failure. a is the radius of the indenter. b is the
radius of the soil specimen. is the internal frictional angle of
the soil. is the developed angle underneath the indenter when
failure occurs. qu is the unconfined compressive strength while
qt is the tensile strength to be determined.
The upper bound solution has a minimum value when pu/
= 0, where
INTRODUCTION
Determination of tensile strength of soil can be categorized to

direct and indirect methods. In the direct method, the soil
specimen is directly pulled apart and assumed to split in the
middle (e.g. Das and Dass 1995, Tang and Graham 2000,
Nahlawi et al. 2004, Tamrakar et al. 2007, Zeh and Witt 2007).
Its tensile strength is computed as the measured maximum pullup force divided by the cross sectional area. However, it is
normally quite challenging to have the soil specimen clamped
or glued in the split mold. In the indirect method, tensile failure
is induced by compressive load. A well-known Brazilian test is
of such kind. The indentation test, also called unconfined
penetration tests (Fang and Chen 1972, Fang and Fernandez
1981, and Kim et al. 2012) is an indirect method for tensile
strength determination. It uses a pair of cylindrical metal
indenters, or punches, to compress a cylindrical soil specimen
as shown in Figure 1. The tensile strength is computed through
the equation developed from the limit analysis (e.g. Chen 1975).
The test gives an applied compressive axial load and indenter
displacement curve. The maximum load is identified for further
data reduction to computer the tensile strength. The limitation
of this test method is that a certain level of brittleness of the
specimen is required so that a split tension failure would occur.
p u bH
tan(2 ) 1 qt
a 2 a 2
(2)
By equating (1) and (2), the equation below can be obtained,
bH cos
2
a
cot tan sec 1

qu 1 sin
sin
q
2
BACKGROUND
qt
As described in Chen (1975), an ideal failure mechanism

developed in the soil specimen can be presented in Figure 1. By
equating the external work with the internal work, an upper
bound solution can be obtained as follows.
1 sin
pu
qu
bH
tan( )( 2 cot )qt

a
a 2 2 sin cos( ) 2
(3)
Substituting (3) into (1) and let p is the maximum

compressive load applied from the test, which is less than the
upper bound load, pu. Therefore,
p p u bH tan 2 a 2 q t
1/ 2
(4)
bHK a 2
(5)
where K = tan(2 + )
The value of K is challenging to determine in laboratory
testing as it is a function of the internal frictional angle of the
soil, the unconfined compressive-tensile strength ratio, as well
as the size of the indenter. The recommended values of K based
(1)
333
1
th
upon a given assumed materials properties, such as the

brittleness ratio, qu/qt, = 10, = 30o, and b/H = 1 were
suggested for practical use (Fang and Fernandez, 1981).
However, they may not be suitable for other material setting. In
this study, we carried out unconfined compression tests and
direct shear tests to acquire information on qu and .
Afterwards, from our indentation test results, we can iteratively
compute both values of the K and the tensile strength qt.
Figure 1. Limit analysis of indentation test
TESTING PROGRAM
To assess the theoretical framework for indentation test

described above, nine different test configurations were
presented in this paper. The diameter of each specimen, 2b, was
kept as 100 mm. The height of each specimen, H, was chosen as
50, 100, and 150 mm respectively. The ratio of the indenter
diameter to specimen diameter, 2a/2b, was selected as 0.225,
0.281, and 0.338 respectively. Replication for one test
configuration indicated that the results of the indentation tests
are repeatable within 5% variation. Therefore, only the results
for each test configuration were shown here.
The specimens were compacted silica sand-Kaolinite
mixture. As we would like to have a lightly cemented sandy
specimen, which is brittle enough for the indentation tests, the
combination of 15% dry weight of Kaolinite plus 85% dry
weight of sand were selected after several trials. The water was
then added to reach moisture content of 8.1% followed by
sealing the soil mixture in a bag resting for 24 hours. After
compaction, the dry density was about 1.62 g/cm3. The
specimen was mounted in the testing apparatus shown in Figure
2. An indentation rate of 0.5 mm/min was applied to each test.
The indenter penetration and the corresponding compressive
load were recorded for data reduction. An unconfined
compression test on a specimen with 100 mm in diameter and
200 mm in height was conducted as well as direct shear tests
under normal stress of 40, 80, and 160 kPa.
4
followed the ASTM standards. The qu was found to be around

16336.5 N/m2. A internal frictional angle = 30.8o was
determined through a series of direct shear tests.
With the information of peak axial force p, qu, and , tensile
strength, qt and the corresponding K value can be determined
through the iterations using equations 3 and 5. Table 1 shows
the iterated qt and K associated with each test configuration.
From the test results show in Table 1, it is recognized that the
tensile strength of the lightly cemented sand is specimen size
dependent. For a given specimen height, the higher the indenterto-specimen diameter ratio, a/b, the smaller the tensile strength
is. The developed cone angle is also found specimen and
indenter size dependent. For a given specimen height, the
angle is in proportional to indenter size. For a given indenter
size, higher specimen had smaller developed angle . The
coefficient K is also found dependent on test configuration. The
trend for K to specimen height and indenter size is similar to the
trend for the angle. The computed K values fall between 1.5
and 3.5 depending on test configuration as displayed in Figure
6. This is not consistent with the recommended values, where
1.0 to 1.2 for soil was presented in Fang and Chen (1972). The
major difference between Fang and Chens work and the current
study lies in the brittleness ratio, qu/qt. In Fang and Chengs
pioneer work, the brittleness ratio was assumed to be 10 for
compacted soil. In the current study, the brittleness ratio was
determined to be around 16 to 20, as shown in Figure 7.
Looking back on equation 5, the tensile strength is dependent on
K value, which is dependent on the developed cone angle .
Also, the angle is a function of brittleness ratio as shown in
equation 3. As a result, using an iterated value for K seems
more attractive as the brittleness for soil could have a wide
range.
Figures 3-5 show the load-displacement curves for specimen

height 50 mm, 100 mm and 150 mm respectively. In each
figure, three curves represent the results of different sizes of
indenter. All nine curves show softening after peak load,
indicating split tension failure mode occurred. Before
computing the tensile strength, unconfined compression tests
were conducted with a specimen height-to-diameter ratio 2
334
Figure 2. Indentation tensile strength testing apparatus

Table 1. Summary of test results
H
(mm)
50
50
50
100
100
100
150
150
150
2a/2b
0.225
0.281
0.338
0.225
0.281
0.338
0.225
0.281
0.338
(o)
15.9
18.9
21.4
12.6
14.9
18.1
11.1
13.1
15.7
p
(N)
15.7
18.6
22.1
23.5
27.7
29.7
29.5
34.5
37.6
K
1.93
2.55
3.42
1.49
1.77
2.36
1.33
1.55
1.90
qt
(N/m2)
1061.1
955.3
849.1
1020.2
1013.2
819.9
951.8
961.0
853.8
th
22
25
20
qu / qt
axial force (N)
20
15
18
16
10
H = 50 mm
2a = 22.5 mm
14
2a = 28.1 mm
2a = 33.8 mm
12
0.2
0
0
0.2
0.4
0.6
axial displacement (mm)
H = 100 mm
H = 150 mm
0.25
0.8
0.3
a/b
0.35
0.4
Figure 7. The brittleness vs. the indenter-to-specimen diameter ratio
Figure 3. Indenter load-displacement curve for 50 mm-high specimens
30
2a = 22.5 mm
An indirect method for determining tensile strength of lightly

cemented sand was re-visited. The method is based upon an
upper bound solution to a split tension failure in limit analysis.
In order to assess the analytical solution, three different sizes of
indenters were used along with three different specimen heights.
As the coefficient K is a function of the developed angle and
the brittleness ratio, evaluating K through a numerical iteration
is recommended.
2a = 28.1 mm
2a = 33.8 mm
axial force (N)
25
20
15
10
5
0
0
CONCLUSIONS
ACKNOWLEDGEMENTS
The financial support from the National Science Council of

Taiwan under the contract of 101-2218-E-002-005- is greatly
appreciated.
0.5
1
1.5
40
Das, B.M. and Dass, R.N. 1996. Lightly cemented sand in

tension and compression. Geotechnical and Geological
Tang, G. X., and Graham, J. 2000. A method for testing tensile
strength in unsaturated soils. Geotechnical Testing Journal
23(3), 377-382.
Nahlawi, H., Chakrabarti, S., and Kodikara, J. 2004. A direct
tensile strength testing method for unsaturated geomaterials.
Geotechnical Testing Journal 27(4), 356-361.
Tamrakar, S.B., Mitachi, T. and Toyosawa, Y. 2007.
Measurement of soil tensile strength and factors affecting its
measurements. Soils and Foundations 47(5), 911-918.
Zeh R.M. and Witt, K.J. 2007. The tensile strength of
compacted clays as affected by suction and soil structure.
In: Experimental Unsaturated Soil Mechanics, Edt. T.
Schanz, Springer-Verlag, Berlin, Heidelberg, 219-226.
Chen, W.F. 2007. Limit Analysis and Soil Plasticity (electronic
resource). J. Ross Publication, Fort Lauderdale, FL.
Originally published in 1975, Elsevier, Amsterdam.
Fang, H.Y. and Chen, W.F. 1972. New method for
determination of tensile strength of soils. Highway Research
Record, 354, 62-68.
Fang, H.Y., and Fernandez, F. 1981, Determination of tensile
strength of soils by unconfined-penetration test. ASTM STP
740, 130-144.
Kim, T.-H, Kim, T.-H, Kang, G-C, and Ge, L. 2012. Factors
influencing crack-induced tensile strength of compacted
soil. Journal of Materials in Civil Engineering 24(3), 315320.
axial force (N)
30
20
2a = 22.5 mm
10
2a = 28.1 mm
2a = 33.8 mm
0
0
0.5
1
1.5

4
2
H = 50 mm
0
0.2
H = 100 mm
H = 150 mm
0.25
0.3
a/b
0.35
REFERENCES
0.4
Figure 6. The coefficient K vs. the indenter-to-specimen diameter ratio
335
th
Mechanisms During Formation of Ice Lenses and Suction in Freezing Soils

Les mcanismes de la formation des lentilles de glace et de succion au cours de la conglation
du sol
Herzog F., Boley C.
Universitt der Bundeswehr, Munich, Germany
ABSTRACT: In the course of frost penetration in the soil the formation of ice lenses may result under certain boundary conditions.
Due to the development of suction, water is drawn from unfrozen parts to the frost line. In this paper an apparatus for conducting
experiments is presented which serves to determine the ice lens building process as well as the suction. Within the scope of the test
program different dependencies are analyzed for understanding the mechanisms of suction development and for making predictions
on the formation of ice lenses possible. The test results show the connection between suction development and ice lens formation. It
also shows that even without external water supply reallocation processes take place.
RSUM : La pntration du givre dans le sol contribue, sous certaines conditions limites, la formation de lentilles de glace. A
cause du dveloppement du processus de succion, leau des parties non geles migre vers le front de gel. Cet article prsente un centre
dessai, qui permet, dune part, deffectuer les tests sur la formation de lentilles de glace et, dautre part, danalyser le processus de
succion. Dans le cadre du programme exprimental, plusieurs dpendances ont t analyses afin de mieux comprendre les
mcanismes de formation de succion et damliorer les prdictions sur la formation de lentilles de glace. Les rsultats de ses
expriences montrent un lien entre le dveloppement du processus de succion et la formation des lentilles de gel, et que, sans apport
supplmentaire deau en dehors de lchantillon, le processus de migration peut avoir lieu.
KEYWORDS: frozen soil, ice lenses, suction, frost heave
1
development of ice lenses and determine the suction. Our

institute has developed a model of osmotic pressure (Zou and
Boley 2008) to describe the mechanisms. Based on these tests,
the model can be verified and improved. The freezing tests are
presented in the following chapters.
INTRODUCTION
In the course of artificial and natural ground freezing, when the

frost penetrates into the ground, in many cases, frost heaves
occur. If they are not well controlled (Kellner et all 2006) they
may lead to damages to buildings that are close by. Thus, the
objective is to predict frost heaves and preferably to minimize
them.
Depending on the existing boundary conditions, the heaves
are caused for two different reasons. Generally, there is an
increase in volume of 9 % caused by the transformation of
water into ice. Moreover, ice lenses may develop for finegrained soils. During the frost penetration into the ground water
migrates from the unfrozen areas of the soil towards the frost
line. There, the water is accumulated in layers of pure ice that
splits the ground. The reason for the water migration is a suction
which can be measured when the water migration is impeded.
The fact that the fundamental processes may change the
thawed soil properties makes the prediction of the expected
frost heaves and their potential minimization even more
substantial.
In the past, many experiments were conducted to investigate
different influences on the formation of ice lenses (Konrad and
Morgenstern 1980, 1982). Until now, the assessment of the frost
susceptibility of a soil was based on the particle size distribution
and the plastic soil properties but did not take into account the
influences of the mineralogy or the ion concentration of the pore
water. Nor had the analysis of the suction as cause of the water
migration to the ice lens been paid particular attention.
However, in recent research the influence of overburden
pressure has been investigated (Kellner 2008) with its influence
on pore water development due to freezing.
Nevertheless, the underlying mechanisms of suction and
their influencing factors are not yet finally resolved. For this
reason freezing tests are run at our institute to investigate the
EXPERIMENTAL APPARATUS AND PROCEDURE
Figure 1 shows the test apparatus to run freezing tests

investigating the development of ice lenses as well as
determining the suction.
Figure 1. Schematic of freezing cell: (1) temperature sensors 1-5 and

temperature sensor at upper cooling plate, (2) pore water pressure
transducer, (3) displacement transducer, (4) cooling plate
337
th
Test program investigates the influence of the applied

surcharge, material type and the ion concentration of the pore
water on the suction and development of ice lenses. The test
apparatus essentially consists of an acrylic glass cylinder with
an inner diameter of 80 mm. The two cooling plates (4) allow
setting up a defined temperature gradient in the specimen. The
upper sealing and loading is realized through a piston. The ice
lens experiments are conducted in open-system freezing,
meaning that the specimen is connected to a storage vessel and
hence it has free access to water. To investigate the suction, the
water access is disabled so the system changes into a closedsystem freezing test. The temperature sensors (1) are distributed
over the height and record the time depending temperature
development. To determine the suction in the closed-system,
pore water pressure transducers (2) are used. The frost heave is
measured with a displacement transducer (3).
In advance, the test material is mixed with deionized water
so that the swelling and ion exchange processes have taken
place prior to commencement of the experiments. Subsequently,
the ion composition of the water is determined. The material is
filled into the cylinder in pasty condition and is consolidated in
the test apparatus by applying a defined surcharge. For the
closed-system freezing tests, the valve for the water supply is
shut. The step-freezing method is used to freeze the specimen.
Therefore, the temperature of the upper cooling plate is lowered
to a defined value meanwhile the temperature of the lower
cooling plate is still held constant. Thus, the frost migrates top
down, starting fast and slowing down over time until thermal
steady state is reached. The cylinder is lubricated with a high
vacuum silicon grease to reduce the friction between the
specimen and the acrylic glass. At the end of the test, the
specimen is pushed out of the cylinder to saw them into slices.
This allows determining the distribution of the water content
over the specimen height.
3
normal consolidated specimens with the loads as stated,

overconsolidated specimens were tested as well. Further, the
tests are conducted with 2 different temperature gradients
between the cooling plates. The influences of the ion
concentration in the pore water on the suction and the
development of ice lenses are analyzed by comparing the results
of tests with natural ion concentration in the pore water and
those with particularly enriched ion concentration in the water.
The natural ion concentration results from the exchange
between dried material and the deionized water.
Table 1. Soil properties of the tested materials
K
TS
KK
Fs
Liquid limit wL [%]
55,6
134,7
22,7
Plastic limit wP [%]

Hydraulic conductivity
k [m/s]
(surcharge 100 kN/m)
Grain density s [g/cm]
Cation exchange capacity
[meq/100g]
Specific surface area
As [m/g]
24,6
37,1
21,5
1,5
10-9
1,6
10-10
1,1
10-8
4,0
10-8
2,9
10-8
1,5
10-6
2,63
2,73
2,70
2,73
2,66
2,65
4,7
88,9
6,1
2,4
0,9
0,3
10,1
44,4
6,3
2,5
1,1
0,02
TEST RESULTS
In the following, the results of the experiments with varying

materials in combination with different surcharges will be
presented. The specimens have a natural ion concentration in
the pore water and are frosted with a temperature gradient of
1.9 C/cm.
4.1
Frost penetration
Figure 3 shows the temperature distribution over the specimen

at different times exemplarily for one test.
MATERIALS TESTED AND TESTING PROGRAMM
The development of ice lenses and suction during freezing

strongly depend on the respective material. Different materials
are chosen to investigate the influence of grain-size distribution
and the mineralogy: kaolin (K), bentonite (TS), silt (S),
limestone powder (KK) and quartz powder (Q) were chosen as
fine grained materials. Also, tests with fine sand (Fs) were
conducted. Figure 2 shows the grain size distribution and further
soil properties are given in Table 1.
Figure 3. Temperature profile within the specimen (kaolin) at different

times, from right to left: 0.01 h, 0.07 h, 0.15 h, 0.83 h, 4.17 h, 28 h
Figure 2. Grain-size distribution curve of the tested materials
Within the scope of the test program, different dependencies

shall be analyzed. Primarily, the influence of material on the
development of ice lenses as well as on the suction is analyzed.
Influences of the applied surcharge will be investigated by
applying loads of 20, 50, 100, 300 and 600 kN/m. Besides the
338
The temperature of the upper cooling plate drops rapidly to

the set temperature meanwhile the temperature of the lower
cooling plate is kept constant. The temperatures at the other
sensors are decreasing time delayed until the thermal steady
state is established after the time tst. Based on the diagram the
position of the frost line and their temporal shift can be
identified. The frost line is the transition between the frozen
upper sections and the unfrozen part. The position stays
constant by reaching the time tst. The fast frost penetration at the
beginning is linked to a sharp temperature gradient. Only within
the steady state the requested temperature gradient appears.

th
4.2
Ice lens formation in open-system freezing
Figure 4 shows the different ice lens formation in open system

freezing for selected materials. The biggest ice lenses develop in
the transition zone between frozen and unfrozen areas in the
thermal steady state.
a)
b)
c)
d)
that the absorbed amount of water is not compensating for the

water that was initially expelled.
4.3
Processes in open-system freezing
The test series aims at investigating the suction as principle for

the water flow and the development of ice lenses. For a test with
kaolin, Figure 6 shows the development of suction and heave in
the course of frost penetration. Simultaneously with the
beginning of the freezing process and movement of the frost
line into the specimen suction, builds up. Its maximum of 0.88
bar is already reached after approximately 8.5 hrs. The thermal
steady state is reached after 16 hrs. The course of the heave
follows the temperatures. The initially fast frost penetration is
reflected in a strong increase of heave. With the slowing of frost
penetration the heave curve flattens. After the thermal steady
state has been reached the further increase of the heave is only
marginal.
Figure 4. Specimens at the end of open system freezing tests: a) TS (100

kN/m), b) S (20 kN/m), c) K (20 kN/m), d) K (100 kN/m)
Under the chosen test conditions, the greatest changes can be

observed for the bentonite (a) due to its intense capacity to draw
water to the frost line and also due to the initially high water
content. Water migrates from the storage vessel into the
specimen as a result of frost penetration. Furthermore, the
existing water in the specimen is reallocated initially resulting
in fine distributed ice lenses (dark areas) and with a slowing
frost penetration in a development of bigger ice lenses. In
contrast, the Kaolin (c) tests show only little structural changes.
In the upper part only little water enrichment is noticeable and it
is smoother distributed throughout the height. Comparing the
results for silt (b) and kaolin (c) with a surcharge of 20 kN/m it
is apparent that the final ice lens can grow thicker for kaolin
than for silt. The comparison of ice lens formation in kaolin
with a surcharge of 20 kN/m (c) and 100 kN/m (d) clearly
shows that a higher surcharge is restricting the formation. In
tests with quartz powder and fine sand no water migration into
the specimen was observed. Tests with limestone powder have
shown little water intake and reallocation but it is too less to be
visible on the picture.
Figure 6. Development of suction and heave for kaolin due to drop of

temperature of the cooling plate (surcharge 20 kN/m, overconsolidated,
closed system)
Even in closed-system freezing reallocation processes

emerge within the specimen due to the suction that develops at
the frost line. Under the assumption that water is incompressible
and no air is in the system, the water can technically not flow
towards the frost front. If the adjacent unfrozen soil could be
consolidated further under the influence of suction, it is possible
that water can be drawn to the frost line from these unfrozen
areas. The amount of water transported in this way is limited by
the predefined water content of the specimen and therefore not
necessarily visible. However, sawing the specimen allows
determination of the water content distribution over the
specimen.
Figure 5. Changes in water content in the specimen and displacement

with time for kaolin (20 kN/m)
Correlating with the development of ice lenses are the

changes of water content in the specimen and the displacement
(heaves). Figure 5 shows the results of a test with kaolin with a
surcharge of 20 kN/m. Initially, water is expelled until it is
water drawn in the specimen and a noticeable heave builds up.
This effect was also observed in investigations of Konrad and
Morgenstern (Konrad and Morgenstern 1982). In the course of
the experiment, the kaolin specimen absorbed approximately
122 ml of water. In contrast, the water content for a limestone
powder specimen under the same test conditions is at the end
lower than at the beginning of the test. This is due to the fact
339
Figure 7. Water content distribution for a test with kaolin with an

applied surcharge of 300 kN/m (closed system)
Figure 7 shows the water distribution for a test with kaolin

(300 kN/m). Shown as the dashed vertical line is the initial
th
water content. The horizontal line describes the border between

the frozen and unfrozen areas at the final state of the test. With
the onset of freezing the suction increases and the water is
drawn into the area of the frost line. The slower the frost
penetrates, the more water can reach the frost line. This leads to
an increasing water content from the top down and small ice
lenses become visible. In the closed system, the consolidating of
the unfrozen area leads to a reduction of the initial water
content. This water redistribution is also the reason for the slight
heave increase after reaching the steady state.
Analyzing suction in a closed system is limited by laws of
physics. If the water pressure falls below the atmospheric
pressure or increases the suction, the boiling temperature
decreases and the water changes its physical state from liquid to
vapor even at lower temperatures. This can occur in free pore
water as well as in the water of the pressure transducers. Since
gas is able to expand in vacuum, the pore water pressure will
change if a gas bubble builds up in the system. In order to delay
this process, the water used for the tests is conditioned in a
vacuum to release dissolved gases in advance. Nevertheless,
suctions greater than 0.9 bar are difficult to reach. After
reaching the maximum suction and the potential development of
gas bubbles the measured suction drops. The water reallocation
that occurs in closed systems is supported by the gas forming,
because additional water can flow to the frost front when the
gas expands.
The magnitude of the measured suction in closed-system
freezing varies significantly between the different materials. In
tests with fine sand, no suction could be measured. Accordingly
no water intake was observed in tests with an open system. The
results for quartz powder only show a low suction. Therefore,
the consistency of the results will be verified in further tests. In
general the highest suction values were measured for kaolin
with absolute values around 0.9 bar and bentonite with 0.8 to
0.9 bar. Also silt reached high suction values of 0.4 to 0.9 bar.
Lower values were measured in the tests with limestone powder
in the range of 0.2 to 0.6 bar.
aggregate state of the water that is finally limiting the

measurement. Consequently, the theoretical possible suction for
kaolin is greater than 1 bar, as long as the water has not passed
from liquid into a gaseous state.
5
An experimental apparatus was presented to run tests

determining the suction in closed systems and analyzing ice
lenses development in open systems. It was demonstrated, that
in materials allowing a development of ice lenses as well as an
intake of water into the specimen in open-system freezing, a
corresponding suction could be measured in the closed system.
The test data is used to verify and extend the theoretical model.
Besides the dependency of suction on the applied surcharge also
the correlation between suction and ion concentration in the
pore water and in particular, the material specific properties
such as the specific surface area and the surface charge shall be
taken into account. Accordingly, further soil properties need to
be determined as well as the ion concentration in the free pore
water. In the main the magnitude of the cation exchange
capacity corresponds to the magnitude of the measured suction.
Transferring the results from closed system to open system and
to ice lenses development the determining factor for the water
migration is suction. However, the hydraulic permeability is
crucial for the amount of water that is moved. Bentonite shows
a pronounced suction but in comparison to kaolin or silt under
the same surcharges only little water can be moved in a certain
time due to the lower coefficient of hydraulic conductivity.
6
Figure 8 shows a comparison of the suction values for kaolin

and silt with the same surcharge. A clear correlation between
the maximum suction and the surcharge can be deduced from
the results of silk. Hence, the higher surcharge is not only
hindering the intake of water into the specimen in the open
system, but also influencing the suction as principle of the water
flow. Constantly high ultimate suction values greater than 0.8
bar were measured in the tests with kaolin under different
surcharges. Compared to the results of silk, kaolin shows a
stronger suction for surcharges greater than 50 kN/m. This also
explains the less intense water reallocation of silk in a closed
system and as well as the lower amount of water intake in the
open system compared to the same tests done with kaolin. For
kaolin under the same test conditions, the ultimate suction
values show no correlation with the surcharge. The extremely
high suction values suggest that the greatest possible suction
could not be reached in these experiments due to the changing
340
ACKNOWLEDGEMENTS
The authors would like to thank the Deutsche

Forschungsgemeinschaft for supporting this research project.
7
Figure 8. Dependency of the maximum suction on the applied surcharge
CONCLUSIONS
REFERENCES
Kellner, C., Vogt, N., Orth, W., Konrad, J.-M. (2006): Ground freezing:
an efficient method to control the settlements of buildings, In:
Proceedings of the International Conference on simulation of
Construction Processes. Editor Triantafyllidis, Bochum
Kellner, C. 2008: Frosthebungsverhalten von Bden infolge tief
liegender Vereisungskrper, Schriftenreihe Lehrstuhl und Prfamt
fr Grundbau, Bodenmechanik, Felsmechanik und Tunnelbau der
Technischen Universitt Mnchen, Heft 42
Konrad, J.-M. and Morgenstern, N.R. 1980: A mechanistic theory of ice
lens formation in fine-grained soils, Canadian Geotechnical
Journal (17), 473-486
Konrad, J.-M. and Morgenstern, N.R. 1982: Effects of applied pressure
on freezing soils, Canadian Geotechnical Journal (10), 494-505
Zou, Y. and Boley, C. 2008: Der Gefriersog bei der eindimensionalen
Frosteindringung, Grundlagen und Anwendungen der Geomechanik
GKK 08 - Geomechanik Kolloquium Karlsruhe, Verffentlichungen
des Instituts fr Bodenmechanik und Felsmechanik der Universitt
Fridericiana in Karlsruhe (179) Teil 2, 231-242
th
Comportement en petites dformations dun sol trait la chaux

Small strain behavior of a lime-treated soil
Hibouche A., Taibi S.
Laboratoire LOMC, CNRS UMR 6294, Universit du Havre, 76600 Le Havre, France
Fleureau J.-M.
Laboratoire MSS-Mat, CNRS UMR 8579, Ecole Centrale Paris, 92295 Chtenay-Malabry, France
Herrier G.
Lhoist Recherche et Dveloppement s.a., 1400 Nivelles, Belgique
RSUM : Ltude des sols en petites dformations (~10-5) ncessite des mesures locales du champ de dformation. Dans le cas des
sols traits aux liants, leur comportement en petites dformations dpend de ltat initial, du degr de saturation et de lge du
matriau trait. Larticle prsente une tude exprimentale sur des matriaux naturels traits aux liants et compacts. Le dispositif
exprimental est compos dune cellule triaxiale quipe de deux types de capteurs de proximit pour mesurer les dformations
locales: des jauges de dformations et des capteurs Effet Hall. Une tude comparative de ces deux systmes de mesure est ralise.
Les modules lastiques dduits des cycles dans le domaine des dformations infrieures 10-4 ont t compars avec ceux dduits des
mesures des vitesses dondes lastiques. Des relations entre les modules, les niveaux de dformation et lge du matriau trait sont
ainsi tablies. Les domaines dapplication concernent les ouvrages de terrassements dinfrastructure en sols traits la chaux.
ABSTRACT: The study of soils in small strains ( ~ 10-5) requires local measurements of the strain field. In the case of soils treated
with binders, their behavior depends on the initial state, the degree of saturation and the hardening time. The paper presents an
experimental study on natural materials treated with binders and compacted. The experimental device consists of a triaxial cell
equipped with two types of proximity sensors to measure local strains: strain gauges and Hall Effect sensors. A comparative study of
the two systems is performed. The elastic moduli derived from cycles in the strain field less than 10 -4 were compared with those
deduced from the elastic wave speed. Relations between the modules, the strain levels and the hardening time are thus established.
Applications include lime-treated infrastructure earthwork.
Mots-cls: Sols traits, chaux, petites dformations, non saturation, triaxial, effet Hall
Keywords: Treated soils, lime, small strains, unsaturation, triaxial, Hall effect
1
INTRODUCTION
La technique du traitement des sols la chaux est connue,

principalement dans les domaines routiers et ferroviaires, pour
amliorer la maniabilit des sols, faciliter leur mise en oeuvre et
leur confrer, aprs compactage, des performances mcaniques
rpondant aux exigences des ouvrages. La comprhension du
comportement des matriaux en petites dformations est
ncessaire du point de vue pratique. En effet, les dformations
de service dans la plupart des ouvrages restent gnralement
trs faibles (typiquement infrieures 10-4 dans les routes et 103
dans les fondations). La littrature souffre dun manque de
donnes exprimentales sur la rigidit des sols dans ce domaine,
en particulier des sols non saturs (Brull 1980, Wu et al. 1989,
Quin et al. 1991, Kheirbek-Saoud 1994, Gomes Correia et al.
1987). Aussi, une analyse plus rationnelle base sur le
comportement mcanique des sols, en particulier en ce qui
concerne les changements dans la succion matricielle (ou
pression capillaire) est ncessaire (Fleureau et al., 2001, 2002,
Taibi et al. 2008).
Diffrentes techniques de mesures des petites dformations
ont t dveloppes depuis une trentaine dannes. On distingue
essentiellement deux techniques (Dufour-Laridan 2001): les
mthodes quasi-statiques et les mthodes dynamiques.
Concernant les techniques quasi-statiques, diffrents types de
capteurs ont t dvelopps. Jardine et al. (1984) ont dvelopp
un montage de prcision en compression se basant sur des
inclinomtres electrolevel . Cuccovilo & Coop 1997, cits
par Cabarkapa et al., 1999 proposent lutilisation de LVDT
(Linear Variable Differential Transformer), qui sont des
capteurs inductifs linaires de dplacement miniatures
submersibles pour mesurer les dformations axiales et radiales
3411
locales jusqu 10-6. Plusieurs auteurs choisissent dutiliser les

capteurs de proximit pour mesurer la dformation des
chantillons. Ces capteurs de proximit fonctionnent sur le
principe dinduire un courant dans une cible conductrice par un
champ lectromagntique et de mesurer le champ
lectromagntique induit par ce courant. La mesure se fait sans
contact (Santucci de Magistris et al., 1999, Hoque et al., 1997).
Clayton & Khatrush (1986), ont dvelopp un capteur de
dplacement bas sur leffet Hall pour mesurer des petites
dformations, de lordre de
2.10-5, directement sur les
chantillons. Les LDT (Local Deformation Transducer),
dvelopps par Goto et al. (1991), utilisent comme composant
de mesure des jauges de dformations locales de lordre de 10-6.
Arajo et Gomes Correia (2009) ont adapt ces capteurs LDT
pour la mesure des dformations axiales et diamtrales sur des
chemins triaxiaux isotropes et dviatoriques.
Contrairement aux mthodes quasi-statiques, les mthodes
dynamiques mettent en jeu des variations de vitesse de
dformation suffisamment leves pour que les forces dinertie
soient non-ngligeables dans la relation fondamentale de la
dynamique. Elles font intervenir des propagations dondes
stationnaires ou non: Gophones (Modoni et al., 1999), bender
elements (Dyvik & Madshus, 1985; Kuwano et al, 1999;
Fioravante, 2000), colonne rsonante (Cascante & Santamarina
1997, Tatsuoka et al., 1997, Tatsuoka et al., 1999).
Dans cet article, les rsultats d'une tude exprimentale de la
mesure des modules lastiques en petites dformations sur un
limon trait la chaux compact sont prsents. Le but de cette
tude est d'valuer la possibilit d'utiliser un capteur de
proximit compose dune jauge de dformation colle mme
lchantillon. Les rsultats sont compars avec ceux obtenus
laide dun capteur effet Hall.
th
MATRIAUX ET MTHODE
2.1.Matriaux
Il sagit dun limon trait la chaux provenant dun remblai
exprimental compact in situ.
La chaux utilise est une chaux vive calcique CL 90-Q fournie
par Lhoist, conforme la norme EN 459-1.
Les caractristiques physico-chimiques du matriau sont
rsumes dans le tableau 1.
2.2.Mthodes
Pour la mesure du comportement du matriau en petites
dformations, deux techniques exprimentales ont t testes:
La premire technique est base sur lutilisation de capteurs
effet Hall, composs dune plaque dans laquelle on fait
circuler un courant lectrique tout en mesurant la diffrence de
potentiel sur une ligne transversale la circulation du courant
(Figure 1). Si un champ magntique normal la plaque est
appliqu, les lectrons du courant seront dvis vers lun ou
lautre des points dont on mesure le potentiel, crant ainsi une
accumulation de charges en ce point et donc une tension
mesurable (Dufour-Laridan 2001).
La seconde technique est base sur lutilisation de jauges de
dformation. Il sagit de composants lectroniques ayant une
rsistance variable en fonction de leur longation dans la
direction de mesure. Loriginalit de cette technique est que les
jauges sont colles mme le matriau. Le problme pos
habituellement avec les gomatriaux dont la nature granulaire
ne permet souvent pas de collage direct a t rsolu en ralisant
la surface du matriau une interface trs souple dans la zone
de mesure sur laquelle vient se coller la jauge. Linterface est
compose dun mastic tal dans une rainure pralablement
taille dans le matriau. La figure 2 prsente un schma de
principe de cette technique.
Tableau 1. Caractristiques physico-chimiques du limon naturel et trait
la chaux
Limon naturel
Passants 80 m (%)
98
Valeur de bleu de mthylne (g/100g)
2.50
Indice de plasticit (%)
78
Teneur en eau lchantillonnage (%)
17.9
Limon trait 2.5% de chaux

Teneur en eau finale (%)
19.5
3
Densit sche aprs compactage (g/cm )

Taux de compactage (% d OPN)
1.68
97
COMPARAISON DES DEUX TECHNIQUES
Des essais ont t raliss sur un chantillon prlev depuis un

remblai exprimental constitu de limon trait la chaux
compact et g de 180 jours (Tableau 1). Lchantillon de 80
mm de diamtre et 160 mm de hauteur, est quip des deux
capteurs de proximit pour la mesure locale de la dformation
axiale : deux capteurs effet Hall et deux jauges de dformation
diamtralement opposes. Pris sparment, les deux capteurs
effet Hall et les deux jauges donnent des rponses quasi
identiques. En revanche, on constate une diffrence de rponse
entre les capteurs effet Hall et les jauges de dformation.
342
Figure 1. Principe de fixation dun capteur effet Hall sur lchantillon
Figure 2. Principe de fixation dune jauge de dformation sur

lchantillon
Les rsultats comparatifs entre la jauge et le capteur effet

Hall sont reprsents dans les plans [temps ; dplacement axial]
et [dformation axiale ; dviateur de contrainte], et ce, pour
deux contraintes de confinement diffrentes (Figure 3).
On constate pour les deux contraintes de confinement que le
capteur effet Hall mesure des amplitudes de dformation plus
importantes que la jauge. Par ailleurs, on remarque que la
rponse de la jauge est quasi instantane lors des cycles de
dcharge-recharge, alors que le capteur effet Hall affiche un
retard dans sa rponse matrialis par des pics lgrement
arrondis dans le plan [temps ; dformation axiale],
contrairement aux pics vifs des jauges. Linterprtation de ces
rsultats dans le plan [dformation axiale ; module dYoung]
(Figure 4) montre que les modules lastiques donns par la
jauge sont nettement suprieurs (environ trois fois) ceux
donns par le capteur effet Hall. Par ailleurs, la mesure des
vitesses de propagation des ondes sonores sous confinement nul
donne un module du mme ordre de grandeur que celui donn
par la jauge.
Ce constat permet de remettre en cause le bon
fonctionnement du capteur effet Hall. En effet, la fixation de
ce capteur est base sur lintroduction dpingles mtalliques
dans un matriau compact et rigidifi aprs 180 jours par le
traitement la chaux. Cette opration est dlicate et gnre
gnralement des trous de diamtre lgrement suprieur celui
des pingles, ce qui se traduit par un lger jeu des points de
fixation qui peut avoir des consquences importantes sur la
rponse du capteur.
Dans ce qui suit, nous avons slectionn et retenu le capteur
bas sur les jauges de dformation et qui semble plus fiable et
conforme aux mesures des vitesses des ondes sonores.
4
RSULTATS
Ces rsultats concernent des essais triaxiaux en petites

dformations teneur en eau constante sur des chantillons non
saturs. Les contraintes de confinement varient de 0 300 kPa.
Pour chaque contrainte de confinement, des chargements
cycliques sous des dviateurs de plus en plus importants avec

th
triaxial. Par ailleurs, pour les niveaux des dviateurs tests, o

les dformations 1 rsultants nexcdent pas 0,045% (Figure 8),
le module baisse lgrement avec le niveau de dformation pour
une contrainte de confinement donne sauf dans le cas o la
contrainte de confinement est nulle, on remarque que le module
reste quasi-constant et gal la valeur dduite des vitesses de
propagation des ondes. Ces observations sont valables dans le
plan [q,E] (Figure 9). En revanche, le module augmente
globalement avec la contrainte de confinement, voluant de 0,68
GPa pour une contrainte nulle 1,34 GPa pour un confinement
de 300 kPa.
mesure locale des dformations axiales sont effectus. Le

tableau 2 rsume les contraintes appliques et les chemins
dviatoires suivis. La teneur en eau initiale moyenne du
matriau est de 20%.
Figure 3. Comparaison des rponses des deux capteurs lors de

chargement en petites dformations pour deux contraintes de
confinement.
Figure 5. Evolution du module en fonction du dviateur de contrainte

28 jours dge, pour une contrainte de confinement de 150 kPa
Figure 4. Variation du module lastique en fonction de la dformation

axiale et comparaison avec les mesures dduites des vitesses des ondes
sonores, dans le cas dune contrainte de confinement nulle.
Tableau 2- Chemins dviatoires suivis
Contrainte de
confinement totale 3 (kPa)
0300 par increment de
50 kPa

180 jours dge, pour une contrainte de confinement de 150 kPa.
Cycles sous dviateur q (kPa)

pour chaque valeur de 3
Cycle 1-
0500 (2 cycles)
Cycle 2-
01000 (2 cycles)
Cycle 3-
02000 (2 cycles)
CONCLUSION
La mesure des modules lastiques en petites dformations dans

les sols traits reste une opration complexe et dlicate, lie aux
conditions aux limites gomtriques de fixation des capteurs sur
un sol rigidifi.
Les rsultats prsents ont consist dabord en une
comparaison de trois techniques de mesure diffrentes, qui a
mis en vidence les limites des capteurs effet Hall lorsquil
sagit de les fixer sur un sol trait et donc rigidifi.
La technique de mesure mise au point, base sur les jauges
de dformation colles mme lchantillon via une interface
lastique, semble cohrente avec les mesures indirectes bases
sur les vitesses de propagation des ondes sonores.
Les rsultats obtenus sur un limon trait la chaux ont
montr que le module augmente avec la contrainte de
confinement et lge du matriau. En revanche, il varie trs peu
avec le niveau de dformation dans le domaine de contraintes
testes.
Les figures 5 et 6 prsentent les chemins de chargement

dviatoire des matriaux gs respectivement de 28 et 180 jours.
Les rsultats concernent titre dexemple les essais raliss
sous une contrainte de confinement gale 150 kPa.
Pour chacun des cycles raliss un niveau de dviateur
donn, le module lastique est mesur en considrant la pente
moyenne du cycle dchargement-rechargement.
Pour interprter ces essais, les figures 7 et 8 prsentent pour
les deux chances, la variation du module lastique en fonction
respectivement de la contrainte totale de confinement et de la
dformation axiale pour diffrentes valeurs de confinement et
diffrents dviateurs. Sur ces courbes, la valeur du module
initial dduite des mesures des vitesses de propagation des
ondes est reprsente sur laxe des ordonnes. On remarque
quil y a un bon accord avec les valeurs dduites de lessai
343
th
REMERCIEMENTS
Les auteurs remercient le FEDER (Fonds europen de

dveloppement rgional) et le groupe Lhoist pour leur soutien et
leurs encouragements.
Figure 7. Evolution du module en fonction de la contrainte totale de

confinement pour diffrentes valeurs du dviateur de contrainte.
Figure 8. Evolution du module en fonction de la dformation axiale

pour diffrentes valeurs de contrainte de confinement.

pour diffrentes valeurs de contrainte de confinement.
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8th International Conference on the Bearing Capacity of Roads and
Airfields. Taylor & Francis Group. 125-134.
Brull A. 1980. Caractristiques mcaniques des sols de fondation de
chausses en fonction de leur tat dhumidit et de compacit.
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Paris, Presses des Ponts & Chausses, ( 1), 113-118
Cabarkapa Z., Cuccovillo T. and Gunn M. 1999. Some aspects of prefailure behavior of unsaturated soil. Pre-failure Deformation
Characteristics of Geomaterials, 159-165.
Cascante G. and Santamaria C. 1997. Low Strain Measurements Using
Random Noise Excitation. Geotechnical Testing Journal 20 (1), 2939.
Clayton C. and Khatrush S.A. 1986. A new device for measuring local
axial strains on triaxial specimens. Gotechnique 36 (4), 593-597.
Dufour-Laridan Emmanuel, 2001. Proprits mcaniques des sols en
petites dformations ; tude exprimentale dun sable silteux. Thse
de doctorat, Ecole Centrale Paris, France
Dyvik R. and Madshus C. 1985. Laboratory measurements of Gmax
using bender elements. Advances in the engineering, NGI
publication (161), 117-137.
Fioravante V. 2000. Anisotropy of small strain stiffness of Ticino and
Kenya sands from seismic wave propagation measured in triaxial
testing. Soils and Foundations 40 (4), 129-142.
Fleureau J.M., Dufour-Laridan E. and Gomes Correia A. 2001.
Influence of compaction and loading conditions on the
dynamic properties of a silty sand. Proceedings of the 4th
International Conference on Recent Advances in Geotechnical
Earthquake Engineering and Soil Dynamics, San Diego, CA, Edited
by S. Prakash, Paper 1.30
Fleureau J.M., Hadiwardoyo S., Dufour-Laridan E., Langlois V.
and Gomes Correia A. 2002. Influence of suction and loading
conditions on the dynamic properties of a silty sand. Proceedings
of the 3rd International Conference on Unsaturated Soils,
Recife (Brasil), Edited by J. Juca, T. de Campos and F. Marinho,
Lisse, Balkema, Vol. 2, 463-472.
Gomes Correia A., Livet M. and Guillin J. 1987. The influence of
hydric state on the mechanical behaviour of a sand under cyclic
loading. Bulletin de Liaison des Laboratoires des Ponts et
Chausses, Paris, 152
Goto S. Tatsuoka F., Shibuya S., Kim Y.S. and Sato T. 1991. A simple
gauge for local small strain measurements in laboratory. Soils and
Foundations 31 (1), 169-180.
Hoque E., Sato T. and Tatsuoka F. 1997. Performance evaluation of
LDTs for use in triaxial tests. Geotechnical Testing Journal 20 (2),
149-167.
Jardine R.S., Symes M.J. and Burland J.B. 1984. The measurement of
Soil stiffness in the triaxial apparatus. Gotechnique 34 (3), 323340.
Kheirbek-Saoud S.1994. Comportement mcanique du ballast et de la
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Kuwano R., Connolly T.M. and Kuwano J. 1999. Shear stiffness
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Quin X., Gray D.H. and Woods R.D. 1991. Resonant column tests on
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Santucci de Magistris F., Koseki J., Amaya M., Hamaya S., Sato T. and
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Geotechnical Testing Journal 22, 44-60.
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th
A Key Parameter for Strength Control of Lightweight Cemented Clays

Un paramtre cl pour le contrle des forces de lgres argiles cimentes
Horpibulsuk S., Suddeepong A., Chinkulkijniwat A.
School of Civil Engineering, Suranaree University of Technology, Nakhon Ratchasima, Thailand
ABSTRACT: Lightweight cemented clays have wide applications in the infrastructure rehabilitation and in the construction of new
facilities. The void/cement ratio, V/C, which is defined as the ratio of the void volume of clay to the cement volume, is proved as the
prime parameter governing the strength and compression characteristics of lightweight cemented clays. The fabric (arrangement of
clay particles, clusters and pore spaces) reflected from both air foam content and water content is taken into consideration by the void
volume while the inter-particle forces (levels of cementation bond) are governed by the input of cement (cement volume). Three types
of clay namely, kaolin, Bangkok clay and bentonite as representatives of non- to high swelling clays were used in this study. A
strength equation in terms of V/C at a particular curing time is introduced using Abrams law as a basis.
RSUM : Les lgres argiles cimentes ont de larges applications dans la rhabilitation des infrastructures et de la construction de
nouvelles installations. Le rapport de vide/ciment, V/C, qui est dfini comme le rapport du volume de vide de largile au volume de
ciment, comme le prouve le paramtre premier rgir la force et les caractristiques de compression des argiles lgres cmentes. Le
tissu (arrangement de particules dargile, des grappes et des espaces de pores) la fois rflchie par le contenu de mousse air et la
teneur en eau est prise en compte par le volume de vide, tandis que les forces inter-particulaires (niveaux de liaison cmentation) sont
rgis par lentre de ciment (cimenter volume). Trois types dargile, savoir le kaolin, largile de Bangkok et la bentonite en tant que
reprsentants dune quantit dargiles gonflantes ont t utiliss dans cette tude. Une quation de la force en termes de V/C un
temps de durcissement particulier est introduite par la loi dAbram comme base.
KEYWORDS: compressibility, lightweight cemented clay strength, void/cement ratio.
1
INTRODUCTION
When infrastructures such as road embankments and bridge

foundations are constructed on soft soil deposits, several
geotechnical engineering problems are encountered. These
deposits tend to consolidate and undergo large vertical
settlement and lateral deformation during and after construction
due to incumbent loads. The use of lightweight materials with
unit weight of 8 to 12 kn/m3 and moderate to high strength as a
backfill material to reduce the weight of the structure on the soft
clay is an effective means. Lightweight materials have wide
applications in the infrastructure rehabilitation and in the
construction of new facilities. They can be used as a backfill for
quay walls and bridge abutments to reduce the earth pressure
behind the wall, as a fill for construction of embankments on
soft soil to reduce overburden pressure, as a method of reducing
pressure on the tunnel lining.
For soft clay admixed with cement, the clay-water/cement
ratio, wc/C was proved as the prime parameter governing
engineering properties (Miura et al., 2001; Horpibulsuk and
Miura, 2001 and Horpibulsuk et al., 2005). Horpibulsuk et al.
(2003; 2011a, b and 2012) successfully employed this
parameter to develop a generalized strength equation based on
Abrams law (Abrams, 1918). The equation is useful for
laboratory mix design. This parameter was also successfully
used to predict the strength development in cement stabilized
coarse-grained soils on the wet side of optimum water content
wherein the degree of saturation is higher than 80%
(Horpibulsuk et al. 2006 and Chinkulkijniwat and Horpibulsuk,
2012). Consoli et al. (2007) extended the clay-water/cement
ratio hypothesis to analyze the strength development in
3451
compacted (unsaturated) cement-stabilized sand. They proposed

a key parameter taking the role of air bubble in pore space
(void) on the strength development into account. The parameter
was designated as void/cement ratio, V/C and was defined as the
ratio of absolute volume of void (water and air) to absolute
volume of cement of the compacted sand.
Even though the cement stabilized soil have very low water
content due to compaction effect, it is composed of water, air,
soil solid and cement, which is the same as lightweight cement
clay. The modified clay-water/cement ratio (void/cement ratio,
V/C), is thus considered to describe the engineering properties
of lightweight cemented clays which possess very high water
contents in this study. Three types of clay namely, kaolin,
Bangkok clay and bentonite as representatives of non- to high
swelling clays were used for this objective. Finally, the strength
equation is proposed based on the parameter V/C.
2
MATERIALS AND METHODS
Bangkok clay was collected from Bangkok Noi district,

Bangkok, Thailand at a 3 meter depth. Kaolin and bentonite
were obtained from a commercial company. Bangkok clay was
composed of 2% sand, 39% silt and 55% clay. The natural
water content was 78% and the specific gravity was 2.64. The
liquid and plastic limits were 73% and 31%, respectively. Based
on the Unified Soil Classification System (USCS), the clay was
classified as inorganic clay of high plasticity (CH).
Groundwater was had a depth of about 1.0 m from surface. The
undrained shear strength was 12 kPa. Kaolin was composed of
0% sand, 22% silt and 78% clay. The specific gravity was 2.65.
The liquid and plastic limits were 46% and 36%, respectively.
The clay was classified as inorganic clay of low plasticity (CL)
th
VOID/CEMENT RATIO, V/C
In cement admixed clay, the clay-water/cement ratio hypothesis

(Horpibulsuk and Miura, 2001; Horpibulsuk et al., 2005; and
Miura et al., 2001) is stated as follows:
"For given cement admixed clay, age and curing
conditions, the strength is determined exclusively by the
ratio of clay-water content to the cement content in the
mix. Strength is independent of clay-water content and
cement content in the mix."
As an analogy, the parameter that can be identified for
lightweight cemented clays is void/cement ratio, V / C , which is
the volume of void to the volume of cement in the mix. The
parameter can be simply determined using four phase diagram
of soil, water, air and cement (Horpibulsuk et al., 2012b). To
obtain the same value of V / C for a particular clay water
content, it is possible to vary the amount of air foam or cement
or both as the case might be. In order to examine up to what
extent the applicability of V / C is valid, the air foam content is
varied over a wide range (Ac = 10-50% of clay volume) in this
study.
2.6
V oid ratio, e
2.2
2.0
1.8
1.6
1.4
1.2
1.0
100
101
102
103
104
102
103
104
0
V/C = 30
A c = 10%, C
A c = 10%, C
A c = 20%, C
A c = 30%, C
A c = 40%, C
A c = 50%, C
10
15
A c = 0%, C = 219.7 kg/m3

A c = 10%, C = 229.2 kg/m3
A c = 20%, C = 238.6 kg/m3
A c = 30%, C = 248.0 kg/m3
A c = 40%, C = 257.4 kg/m3
A c = 50%, C = 266.9 kg/m3
25
30
= 73.3 kg/m3
= 76.4 kg/m3
= 79.5 kg/m3
= 82.7 kg/m3
= 85.8 kg/m3
= 89.0 kg/m3
V/C = 10
20
100
101
Effective vertical stress,'v (kPa)
Figure 1. Compressibility of air-cement-admixed kaolin at w = 88%.

12
Lightweight cemented bentonite
w = 280%
11
10
9
8
7
6
5
4
3
2
TEST RESULTS
100
101
102
103
104
102
103
104
The role of V/C on the compressibility is shown in Figures 1

and 2 for lightweight cemented kaolin and bentonite samples
with the same V/C values but with different combinations of
cement content and air content. The samples were made up
from six conditions of air content namely, 0, 10, 20, 30, 40 and
50%. Figure 1 shows the compressibility of lightweight
cemented kaolin at water content of 88%. Figure 2 shows the
compressibility of lightweight cemented bentonite at water
content of 280%. They show the (e, log v) and (v, log v)
relations of the samples at V/C values of 30 and 10 after 14 days
of curing. The resistance to compression prevails up to a certain
stress level beyond which the sample experiences increase in
compression. This stress level is identified as yield stress
(Horpibulsuk et al., 2005). It does not represent preconsolidation pressure because the cemented clay was not being
346
V olumetric strain, v (%)
Lightweight cemented kaolin

w = 88%
2.4
V olumetric strain, v (%)
subjected to any stress history. The (v, log v) relationship is

plotted so as to take care of the effect of the difference in void
ratio for the vertical stresses less than the yield stress. For a
certain water content, the yield stress and the deformation
behavior in pre-yield stress of all samples with identical V/C
values are practically the same. This implies that V/C is a prime
parameter governing the compressibility in pre-yield state. The
yield stress increases as the V/C value decreases. The samples
with higher air content are stable at higher void ratios. Beyond
the yield stress, drastic compression occurs as vertical pressure
increases due the breakup of cementation bond (Horpibulsuk et
al., 2004a, Horpibulsuk et al., 2010; Liu and Carter, 1999, 2000
and 2002; and Suebsuk et al., 2010 and 2011).
V oid ratio, e
based on the USCS. Bentonite was composed of 0% sand, 50%

silt and 50% clay. The specific gravity was 2.63. The liquid and
plastic limits were 106% and 60%, respectively. It was
classified as inorganic clay of high plasticity (CH).
The clay paste was passed through 2-mm sieve for removal
of shell pieces and other bigger size particles, if present. The
water content was adjusted to (2-5) times liquid limit. This
intentional increase in water content is to simulate the clay
slurry with high flow ability for pumping into the construction
sites. Even with very high water content up to 5 times liquid
limit, all tested clays still have viscosity with low magnitude,
indicating that the sorting of the grain size does not occur. The
clays were mixed with air foam to attain air contents, Ac,
between 10 and 100% by volume of the clay-water-air mixture.
This mixture was then thoroughly mixed with cement for 10
min. The cement content, C, was varied from 150 to 400 kg/m3
of the mixture. To verify the V/C as a prime parameter, the
cement content and air content were varied to attain the V/C
values of 30 and 10. Such a uniform paste was transferred to
oedometer rings as well as to cylindrical containers of 50 mm
diameter and 100 mm height, taking care to prevent any air
entrapment. After 24 hours, the cylindrical samples were
dismantled. All the cylindrical samples and oedometer samples
were wrapped in vinyl bags and they were stored in a humidity
room of constant temperature (202C) until lapse of different
curing times as planned. Oedometer tests were carried out after
14 days of curing. Unconfined compression (UC) tests were run
on samples after 7 and 14 days of curing. The rate of vertical
displacement in UC tests was 1 mm/min. Both tests were
performed according to the American Society of Testing and
Materials (ASTM) standards.
10
V/C = 30
A c = 0%, C = 91.8 kg/m3
A c = 10%, C
A c = 20%, C
A c = 30%, C
A c = 40%, C
A c = 50%, C
20
30
40
100
101
= 93.0 kg/m3
= 94.3 kg/m3
= 95.6 kg/m3
= 96.9 kg/m3
= 98.2 kg/m3
Effective vertical stress, 'v (kPa)
Figure 2. Compressibility of air-cement-admixed bentonite at w =

280%.
th
4000
Lightweight cemented bentonite
w = 170%
3500
V/C = 30
3
3000
A xial stress (kPa)
Figures 3 to 5 show the stress~strain relationships in

unconfined compression tests of samples with different air
contents and cement contents but with the same V/C values of
30 and 10, at 14 days of curing. Figure 3 is for the lightweight
cemented kaolin at water content of 88%. Figure 4 is for the
lightweight cemented Bangkok clay at water contents of 136%.
Figure 5 is for the lightweight cemented bentonite at water
contents of 170%. It is noted that as V/C decreases, the
cementation bond strength increases and hence strength. The
lightweight cemented samples with the same void/cement
exhibit the similar stress-strain behavior. To conclude, the V/C
controls compressive strength and compression characteristic in
pre-yield state for a particular water content, while the unit
weight does not, which is different from natural clays. The
fabric (arrangement of clay particles, clusters and pore spaces)
reflected from both air foam content and water content is taken
into consideration by the void volume while the inter-particle
forces (levels of cementation bond) are governed by the input of
cement (cement volume).
A c = 0%, C = 85.1 kg/m
A c = 10%, C = 87.0 kg/m3

3
A c = 20%, C = 89.0 kg/m
2500
A c = 30%, C = 91.0 kg/m3

3
A c = 40%, C = 92.9 kg/m
2000
A c = 50%, C = 94.9 kg/m

V/C = 10
A c = 0%, C = 255.2 kg/m3
1500
A c = 10%, C = 261.1 kg/m
A c = 20%, C = 266.9 kg/m
1000
A c = 30%, C = 272.8 kg/m
A c = 40%, C = 278.7 kg/m
A c = 50%, C = 284.6 kg/m3
500
0
0
0.5
1.5
2.0
2.5
3.0
Axial strain (%)
1000
Lightweight cemented kaolin
w = 88%
800
Axial stress (kPa)
1.0
Figure 5. Stress-strain relationship of air-cement-admixed bentonite at w

= 170%.
V/C = 30
A c = 0%, C = 73.3 kg/m3

3
A c = 10%, C = 76.39 kg/m
3
A c = 20%, C = 79.5 kg/m

A c = 30%, C = 82.7 kg/m3
600
A c = 40%, C = 85.8 kg/m3

3
A c = 50%, C = 88.96 kg/m
V/C = 10
A c = 0%, C = 219.7 kg/m
400
3
A c = 10%, C = 229.2 kg/m
3
A c = 20%, C = 238.6 kg/m
3
A c = 30%, C = 248.0 kg/m

3
A c = 40%, C = 257.44 kg/m
200
3
A c = 50%, C = 266.9 kg/m
0
0
0.5
1.0
1.5
2.0
2.5
3.0
Axial strain (%)

Figure 3. Stress-strain relationship of air-cement-admixed kaolin at w =
88%.
Figures 1 to 5 show the advantage of using air form to

produce the lightweight cemented clay. The strength reduction
is observed when the void increase by air form due to the
increase in contact area per cementation bond. However, the
role of air content on the strength development is less
significant than that of cement and water. This is because the
hydration is strongly depended on the water/cement ratio in the
mix. In other words, by using the air form, the unit weight is
significantly reduced with less strength reduction.
Because the V/C is the prime parameter governing the
engineering properties in elastic range (at low effective
confining stress), it is possible to develop a relationship
between strength and V/C for a particular curing time. Figure 6
shows the relationship between strength and V/C at 7 days of
curing of the lightweight cemented Bangkok clay as an example
to guarantee the applicability of the V/C. The unique
relationship between strength and V/C can be found for a given
initial water content at different cement contents and air
contents. Based on the experimental observations (5 < V/C < 40
and 7 days of curing), it is possible to advance the following
identity:
3000
2500
A xial stress (kPa)
V1 V2

Constant
C1 C2
Lightweight cemented Bangkok clay

w = 136%
V/C = 30
(1)
A c = 0%, C = 81.9 kg/m3

A c = 10%, C = 84.2 kg/m3
2000
Once the void/cement ratio is fixed in the field, if the air

content (void volume) is changed to achieve the required unit
weight, the cement content can be estimated from Eq.(1) to
attain the same strength and compressibility characteristics. For
a mix design purpose, the relationship between strength and V/C
at a certain water content is advanced on the basis of Abrams
law (1918):
A c = 20%, C = 86.4 kg/m3

A c = 30%, C = 88.7 kg/m3
A c = 40%, C = 91.0 kg/m3
1500
A c = 50%, C = 93.3 kg/m3
V/C = 10
A c = 0%, C = 245.6 kg/m3
1000
A c = 10%, C = 252.4 kg/m3

A c = 20%, C = 259.3 kg/m3
A c = 30%, C = 266.1 kg/m3
500
qu
A c = 40%, C = 273.0 kg/m3

A c = 50%, C = 279.8 kg/m3
0
0
1.0
2.0
3.0
4.0
Axial strain (%)

Figure 4. Stress-strain relationship of air-cement-admixed Bangkok clay
at w = 136%.
347
V / C B
(2)
where qu is the unconfined compressive strength, V/C is the

void/cement ratio, and A and B are constants. This equation
when Ac = 0 yields the same equation proposed by Horpibulsuk
et al. (2011a, b and 2012a). The A-value is dependent upon the
clay type, curing time and air content. As the water content
increases, the A-value decreases. The B-value is practically
constant and equal to 1.26 to 1.29, which is the typical values
th
Unconfined compressive strength, qu (kPa)
for cemented non- to low-swelling clays (Horpibulsuk et al.,

2011b). It was suggested to take the B-value as 1.27 for the
cemented non- to low-swelling clays (Horpibulsuk et al., 2011a,
b and 2012a). To employ Eq. (2) for assessing the strength of
any lightweight cemented clay at different void/cement ratios
(air content and cement content), the parameters A and B must
be predetermined. This task can be achieved by a backcalculation of at least two trial strength data.
Lightweight cemented Bangkok clay

7 days of curing
2000
1.26
qu(w = 136%) = 23897/( V/C )

|r|= 0.937
1.26
qu(w = 157%) = 18533/( V/C )
|r|= 0.954
1.29
qu(w = 178%) = 15818/( V/C )
|r|= 0.966
qu(w = 199%) = 12051/( V/C )1.28
|r|= 0.943
1.29
qu(w = 241%)=8373/( V/C )
|r|= 0.933
1500
1000
500
10
15
20
25
30
35
40
45
Void/cement ratio, V/C

Figure 6. Analysis of strength development in lightweight cemented
Bangkok clay using V/C.
CONCLUSIONS
Based on this study, it is brought out that the void/cement ratio

is the prime parameter for analysis of strength and deformation
behavior of lightweight cemented clays with non- to high
swelling potential. This parameter takes into account the
influence of both clay fabric reflected by the air volume and the
level of cementation. The conclusion can be drawn as follows.
1. For a given soft clay at a particular water content, the
cementation bond strength increases as void/cement ratio, V/C
decreases. Consequently, the yield stress in K0-consolidation
and compressive strength increases with the decrement of V/C.
The stress-strain response and compression characteristics in
pre-yield state are practically the same as long as the V/C value
is identical.
2. Based on the void/cement ratio and Abrams law, a
relationship between strength, void/cement ratio for a particular
water content and curing time (Eq.2) is proposed. The
relationship is useful in estimating the laboratory strength
wherein air content and cement content vary over a wide range
by a few trial tests. It also facilitates the determination of proper
quantity of cement to be admixed for different air contents to
attain the target strength. The formulation of the proposed
relationship is on sound principle and developed from distinct
clays (non- to high swelling clays). The A and B values can be
determined by a back-analysis of at least two trial strength data.
It is thus possibly applicable for various clays.
6
ACKNOWLEDGEMENTS
This work was supported by the Higher Education Research

Promotion and National Research University Project of
Thailand, Office of Higher Education Commission. The
financial support and facilities that were provided by the
Suranaree University of Technology were appreciated.
348
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Chinkulkijniwat A. and Horpibulsuk S. 2012. Field strength
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Horpibulsuk S. and Miura N. 2001. A new approach for studying
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and Geoenvironmental Engineering ASCE 131 (2), 187-192.
Horpibulsuk S., Katkan W., Sirilerdwattana W. and Rachan R. 2006.
Strength development in cement stabilized low plasticity and coarse
grained soils: Laboratory and field study. Soils and Foundations 46
(3), 351-36.
Horpibulsuk S., Liu M.D., Liyanapathirana D.S. and Suebsuk J. 2010.
Behavior of cemented clay simulated via the theoretical framework
of the Structured Cam Clay model. Computers and Geotechnics 37,
1-9.
Horpibulsuk S., Rachan R. and Suddeepong A. 2011a. Assessment of
strength development in blended cement admixed Bangkok clay.
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Horpibulsuk S., Rachan R., Suddeepong A. and Chinkulkijniwat, A.,
2011b. Strength development in cement admixed Bangkok clay:
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239-251.
Horpibulsuk S., Phojan W., Chinkulkijniwat A., and Liu M.D. 2012a.
Strength development in blended cement admixed saline clay.
Applied Clay Science 55, 44-52.
Horpibulsuk, S., Suddeepong, A., Chinkulkijniwat, A., and Liu, M.D.
2012b. Strength and compressibility of lightweight cemented clays.
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Some notes concerning the dry density testing standards

Quelques remarques concernant les descriptions relatives aux essais de densit sche
, Lrincz J. , Gerendai E. , Szalkai R.
1, 2
Imre E.
Ybl Mikls Faculty of Arch. and Civil Eng., Szent Istvn University
Department of Geotechnics, Budapest University of Technology and Economics
Lins Y., Schanz T.

Ruhr University, Bochum, Germany
ABSTRACT: The results of two doctoral programs concerning the dry density of sands are as follows: (i) the ratio of the minimum
and the maximum dry density of sands is about constant, (ii) the dry density of the soil fractions slightly increases with the maximum
grain diameter dmax being the diameter range doubled with increasing grain diameter. These results are used through a statistical
analysis to show that the emax test of the German DIN may be biased. The possible reason for the bias is arching due to the too small
ratio of the diameter and the height of the mold. As a by-product of the research, the earlier finding that the maximum density of the
specimens may be obtained indifferently using a Modified Proctor procedure or a vibrating table is extended to the DIN (implying
that the density methods of the calibration chamber sands are basically equivalent to the DIN).
RSUM : Deux thses de doctorat ayant pour objet ltude de la compacit des sables ont rcemment formul les importantes
conclusions suivantes : (1) le rapport de la compacit minimale et maximale des sables est plus ou moins constant ; (2) ltendue des
fractions de diamtre crot avec le diamtre des grains, par consquent la compacit des fractions crot galement. En partant de ces
conclusions, on a procd la comparaison (partiellement statistique) des valeurs de compacit minimales et maximales de cinq
groupes donns. Les rsultats ont montr quune partie des normes actuelles conduisent des erreurs dtermines dans la valeur de
compacit minimale et ne conduisent pas des erreurs dtermines dans la valeur de compacit maximale. Lexplication en est,
probablement, lapparition de leffet de vote aux pots et vases de largeur diffrente, de hauteur constante..
KEYWORDS: sand, dry density, arching, Proctor, statistical test, coefficient of variation
1 INTRODUCTION
Two doctoral programs on the dry density of sands - where the
soils used were indeed carefully chosen, artificial mixtures of
natural grains (Lrincz 1986, and Kabai, 1968) - ended with the
two basic observations.
Kabai (1968 to 1974) found that the ratio of the minimum
and maximum dry density was basically constant. Its value
started to decrease as the soil became slightly plastic. He stated
this on the basis of his experimental studies made on
continuous, artificial mixtures of natural soil grains of the
Danube river sand.
Lrincz (1986) made a theoretical and experimental study
on the grading entropy. He observed that the dry density of the
sand fractions are increasing with grain diameter since the
diameter range of the fractions are doubled with increasing
grain diameter. (This result is paradox if the fractions are
modelled by equal spheres.) He demonstrated this fact by his
minimum dry density measurements.
The data bases of the foregoing two doctoral programs was
compared first to the Calibration Chamber sand database,
published by Lunne (1992) and Mayne and Kulhawy (1992)
and, a significant difference was found on the databases (Imre et
al, 2011) which was attributed to the dependence on the applied
testing standard for density and to the geological origin.
Therefore, two additional data sets (one composed from
Danube sands and one composed from Bochum sand) were
measured in the University of Bochum. These were statistically
analysed and it was found that the result of the minimum
density measurement of the German Standard DIN 18126 (and
some other standards not using the Proctor mold for the
minimum dry density) may be biased and, as a result, the result
of the minimum dry density test may be dependent on the grain
diameter. The geological origin of the soils was indifferent.
2
2.1

Variables
The results of the density tests can be expressed in terms of the

void ratio e, the dry density d, the solid volume ratio s or its
inverse, the so called specific volume v. The basic definitions
are as follows:
s
Vs 1
1

V 1 e
(1)
Vv 1 s
Vs
s
(2)
where V is the total soil volume, Vs is the volume of solids and

Vv is the volume of voids, d =ss.
2.2
Density tests
The minimum dry density testing methods are related to a

funnel pouring device, differing in the mold size. The Proctor
mold is used by Kabai (1978) and Lrincz (1986). The diameter
of the mold is 0,625 times the height for the DIN18126, 0,769
times the height for the ASTMD4254 and 0,879 for the Proctor
mold (Fig 1).
Concerning the maximum dry density tests, the similarity
of the Modified Proctor procedure and the Vibrating Table
procedure is kown (Poulos and Hed, 1974). Kabai used an 8
mm thick steel plate was applied on the top of the sample, using
the results of Leussink and Kutzner (1962), to prevent the local
loosening of the sample.
349
Soils
(a)
(b)
Figure 1. The molds (a) Proctor (d=100 mm, h=112mm) (b) DIN
(d=71mm,h=112mm). Note the same height and different width.
0.6
0.6
smin [-]
The paper deals with 4 sets of density tests. The means (x) and
the standard deviations () of the variables smin , smax and smin /
smax and emin , emax and emin / emax were determined.
In the program of Kabai (1968 to 1974, Group I) 33 grading
curve series (artificial mixtures made of natural soil grains of
the Danube sands) were defined in terms of the coefficient of
uniformity CU, and the grainsize parameters dmax, d10. The
grading curves can be seen in Imre et al (2009). The minimum
and maximum dry density were determined. The results can be
seen in Table 1.
The calibration chamber sand database (Group II, Lunne et
al (1992), Mayne and Kulhawy (1992)) consists of 25 sands. It
can be assumed that the minimum and maximum dry density
tests were made by various methods, including the ASTM
Standards (i.e. D 4253 Standard Test Methods for Maximum
Index Density and Unit Weight of Soils Using a Vibratory
Table and D 4254 Standard Test Methods for Minimum Index
Density and Unit Weight of Soils) and the German Standard
(i.e. DIN 18126 for the maximum and minimum dry density).
The results are shown in the Table 2.
In the ongoing testing program two additional data sets were
produced with the German DIN (Groups III and IV) using 24
Danube sands 182 German sands, respectively. In Group III
some Danube sands were used, the composition can be seen in
Imre et al (2011). in Group IV some German commercial sands
were used. the composition can be seen in Szalkai (2012). The
results are shown in the Tables 3 and 4. The artificial mixtures
were made of soil grains with 7 fractions of a diameter range of
dmin = 0.06 mm and dmax = 8 mm.
Concerning the data of Lrincz (1986), some artificial
mixtures of mold sand grains) were defined in terms of grading
entropy for various purposes, to elaborate some particle
migration criteria and filtering law, to test the existing filtering
laws, some grading curves can be seen e.g. in Imre et al (2009).
Only the minimum dry density was determined using the
Proctor mold. Some fractions results can be seen in Figure 2
showing that dry density of the sand fractions are increasing
with grain diameter.
0.5
0.5
0.4
0.4
0
Fraction number
Figure 2. Fraction measurement of Lrincz (1976), indicated by open

circles, note the bias from fraction 3 (0.25 to 0.5 mm) in the new data.
0.8
s max [-]
2.3
Danube sand
- Group III
Calibration
Chamber
sands - Group II.
Danube sand
- Group I.
0.6
0.4
0.6
0.8
s min [-]
Figure 3. All data (Groups I to IV), smin smax
Statistical tests
The means (x) and the standard deviations () of the variables

smin , smax and smin / smax for any two groups of data were
compared using the standard parametric statistical tests (see e.g.
in Rthti, 1988).
The F-test was used to evaluate the null hypothesis that two
data sets with normal distribution have the same variance. The
Welch test and t tests were used to test the null hypothesis that
two data sets with normal distribution have the same means
with the data having possibly unequal and equal variances,
respectively.
The Pearson correlation R is obtained by dividing the
covariance of the two variables by the product of their standard
deviations. The Pearson correlation is +1 in the case of a perfect
positive (increasing) linear relationship (correlation) and, 1 in
the case of a perfect decreasing (negative) linear relationship
since the following relationship is met:
R ( x, y ) 1 y ax b
1.0 Calibration
Danube sand
- Group III
chamber sand
e max [-]
2.4
0.8 Group II
Danube sand
- Group I
0.6
0.4
0.2
0.2
0.4
0.6
0.8
1.0
e min [-]
Figure 4. All data (Groups I to IV), emin - ema
If the variables are independent, Pearson's correlation

coefficient is 0, but the converse is not true, the correlation
coefficient detects only linear dependencies. The parameters of
the best fit linear function are as follows (E denotes expected
value which can be approximated by the mean value):
a ( y ) / ( x), b E ( y ) aE ( x ) [4]
(3)
The Pearson correlation is some value between 1 and 1 in all

other cases, indicating the degree of linear dependence between
the variables. As the Pearson correlation R approaches zero
there is less of a linear relationship. The closer the coefficient is
to either 1 or 1, the stronger the linear correlation between the
variables.
350
3 INDIVIDUAL GROUP RESULTS

The results of the density tests for groups I to IV are
summarized in Figures 3 to 6 where the small open circles are
related to the Group IV. The results are presented in Tables 1 to
4 in statistical viewpoint.
3.1
Danube Sands data - Group I
In the work of Kabai (1972) the minimum and maximum dry

densities are presented for Danube sand mixtures. From these,
the void ratios e and the solid volume ratios s were computed
and their ratios were determined (Table 1). The mean of the smin
and smax values are 0.640 and 0.700, with mean coefficients of
variation of 0.070 and 0.072, respectively. The mean of the s
ratio (smin / smax) is equal to 0.915 with a coefficient of variation
CV=0.0116, indicating that the s ratio is practically constant.
The mean of the emax and emin values are 0.569 and 0.436, with
coefficients of variation of 0.192 and 0.234, respectively. The
mean of the emin / emax is equal to 0.760 with a coefficient of
variation CV=0.060.
3.2
Bochum Sand data Group IV
3.4
The minimum and maximum dry density results of the newly

measured 182 Bochum sand mixtures are shown in Table 4.
The mean of the smin and smax values are 0.557 and 0.671,
with mean coefficients of variation of 0.054 and 0.053,
respectively. The mean of the s ratio (smin / smax) is equal to
0.831 with a coefficient of variation CV=0.044, indicating that
the s ratio is practically constant.
The mean of the emax and emin values are 0.801 and 0.495,
with coefficients of variation of 0.119 and 0.161, respectively.
The mean of the emin / emax is equal to 0.619 with a coefficient of
variation CV=0.125.
Table 1. Results of the statistical evaluation Group
The Calibration Chamber sand data Group II
smin
The mean of the smin and smax values are 0.536 and 0.652, with
the coefficients of variation of 0.045 and 0.039, resp. (Table 2).
The mean of the s ratio (smin / smax) is equal to 0.822 with a
coefficient of variation CV=0.024. The mean emax and emin values
are 0.870 and 0.536, with coefficients of variation of 0.097 and
0.110, respectively. The mean of the emin / emax is equal 0.617
with a coefficient of variation of CV=0.061. The mean of the
emax and emin values are 0.810 and 0.496, with coefficients of
variation of 0.114 and 0.159, respectively. The mean of the emin
/ emax is equal to 0.610 with a coefficient of variation CV=0.082.
CV
Danube Sands data Group III
The minimum and maximum dry densities for 24 Danube sand

mixtures are shown in Table 3. The mean of the smin and smax
values are 0.554 and 0.670, with mean coefficients of variation
of 0.052 and 0.053, respectively. The mean of the s ratio (smin /
smax) is equal to 0.827 with a coefficient of variation CV=0.025,
indicating that the s ratio is practically constant.
CV
smin [-]
CV
0.6
0.700
0.915
0.569
0.436
0.045
0.050
0.011
0.109
0.102
0.070
0.072
0.012
0.192
0.234
ratioe
0.760
0.045
0.060
smax
ratios
emax
emin
ratioe
0.536
0.652
0.822
0.870
0.536
0.617
0.024
0.026
0.020
0.084
0.059
0.038
0.045
0.039
0.024
0.097
0.110
0.061
smin
0.8
Danube sand Group I
emin
Table 3. Results of the statistical evaluation - Group III
0.7
emax
0.640
smin
X
0.9
ratios
Table 2. Results of the statistical evaluation Group II
3.3
smax
smax
ratios
emax
emin
0.554
0.670
0.827
0.810
0.496
0.029
0.036
0.021
0.092
0.079
0.052
0.053
0.025
0.114
0.159
ratioe
0.610
0.050
0.082
Table 4. Results of the statistical evaluation - Group IV
0.5
Danube sand Group III
0.4
0.0
4.0
smin
8.0
12.0
16.0
20.0
smax
ratios
emax
emin
0,557
0,671
0,831
0,801
0,495
0,030
0,036
0,037
0,095
0,080
CV
0,054
0,054
0,044
0,119
0,161
d max [mm]
Figure 5. Groups I, III to IV data, smin and maximum diameter. Note that
the small open circles are below the linear trend of Group I
ratioe
0,619
0,077
0,125
0.9
smax [-]
0.8
Danube sand Group I
Table 5. Results of the statistical tests - smin

I
II
III
IV
II
III
IV
0.7
0.6
0.5
0.4
0.0
Danube sand Group III

4.0
8.0
12.0
16.0
20.0
d max [mm]
Figure 6. Groups I, III to IV data, smax and maximum diameter. Note

that the small open circles are centered the linear trend of Group I
351
Table 6. Results of the statistical tests - smax
4.3
II
III
IV
II
III
IV
In accordance to the expectations, the measured smin and smax

values slightly increase with the maximum grain diameter dmax
in the tested sand databases (Figs 5 to 6).
However, an increasing bias with grain diameter - possibly
due to arching is found in the minimum density results. As it
can be seen on Figure 2, the density increase is not possible to
be reproduced by the DIN 18126 for fractions being larger than
0,5 mm, instead of this, even a decrease is experienced.
Table 7. Results of the statistical tests ratio smin /smax
4
4.1
4.4
II
III
IV
II
III
IV
Conclusions
The different dimension of the mold of the various minimum

dry density tests has some impact on the test results as follows.
The smaller width and same height may cause some kind of
arching which leads to smaller minimum dry density values and,
this effect is the function of the grain diameter.
As a by-product of the research, an additional comment can
be made. The result of the statistical analysis indicates that the
equivalence of the Modified Proctor procedure and the
Vibrating Table procedure (Poulos and Hed, 1974) can be
extended to the DIN maximum dry density testing method.
Some further research is suggested, including the separation
of the continuous and gap-graded mixtures and, on the
investigation of the micromechanical features of the minimum
dry density test.
DISCUSSION, CONCLUSIONS
The statistical features of the data bases
The ratio of the minimum and the maximum dry density is

statistically constant for sands since the coefficient of the
variation is very small. The coefficient of variation of the e
ratio is equal to 0.061 for the calibration chamber sands; 0.060,
0.082 and 0,125 for the Groups sands I and III to IV,
respectively. The coefficient of variation of the s ratio is equal
to 0.024 for the calibration chamber sands; 0.0116, 0.025 and
0,044 for the Groups sands I and III to IV, respectively.
This result implies linear correlations between the minimum
and the maximum dry density data. The Pearson coefficient of
correlation at the smin smax and emin - emax was equal to 0.99,
0,99 for the Danube sands I indicating that both the smin smax
and emin - emax relations are linear. The Pearson coefficient of
correlation at the smin smax and emin - emax was equal to 0.84,
0.85; 0.89 and 0.88 and; 0,64, 0,65; respectively for Groups II,
III and IV being smaller, still indicating linear correlation.
The smallest coefficient of variation values (and, the largest
correlation values) of Group I sand data (produced by using the
Proctor mold for maximum void ratio) can be attributed to the
facts that the quality of testing on was good and the tested soils
were homogeneous (having continuous distribution only).
4.2
The dependence of the dry denisty on the diameter
The information concerning the dry density ratio
The results of the statistical tests indicate that the ratio smin /smax
is about equal about to 0.76 for Group I where the Proctor mold
is used for the minimum dry density test and the ratio smin /smax
is about equal about to 0.62 for the remainder Groups where a
different mold is used (i.e. the two newly tests sand databases
being tested with the German Standard and the Calibration
Chamber sands).
The result of the statistical tests (Tables 5 to 7) show that
the minimum dry density data are significantly different for
Group I and the remainder groups but the maximum dry density
results are similar.
The significant difference in the minimum dry density
testing methods can be attributed to the fact that the molds have
different sizes (Fig 1). This point needs some further (e.g.
micromechanical) research.
352
ACKNOWLEDGEMENTS
The suggestion Tom Lunne, the help of Tth dm s Tth

Szabina, the support of the National Research Fund Jedlik
nyos NKFP B1 2006 08 and the Norwegian research fund
HU-0121 are greatly acknowledged.
REFERENCES
Imre, E; Lrincz, J; Trang, Q.P; Fityus, S. Pusztai, J; Telekes, G;

Schanz, T. (2009) Some dry density transfer function for sands.
Invited paper. KSCE Journal of Civil Engineering 13(4):257-272.
DOI 10.1007/s12205-009-0257-7
Imre E, Fityus S, Keszeyn E, Schanz T (2011) A Comment on the
Ratio of the Maximum and Minimum Dry Density for Sands.
Geotechnical Engineering 42(4) pp. 77-82.
Imre E, Gerendai, E; Lins, Y; Schanz T (2012) A Comment on the dry
density standards. Geotechnical Testing (submitted).
Szalkai, R. (2012) The result of the minimum maximum dry density
test on 182 soil samples. Student research project (manuscript).
Lrincz, J (1986). Grading entropy of soils Doctoral Thesis, Technical
Sciences, TU of Budapest.
Kabai, I. (1968). The compactibility of sands and sandy gravels. Acta
Technica Acad. Sci. Hung., 113-124.
Kabai, I. (1972). Relationship between the grading curve and the
compactibility. University doctoral thesis TU of Budapest, Hungary
(in Hungarian).
Kabai, I. (1974). The effect of grading on the compactibility of coarse
grained soils. Periodica Polytechnica.18 (4) 255-275.
Leussink, L.H. and Kutzner, Ch (1962) Laboratoriumversuch zur
Ferstellung der dichtesten Lagerung korniger Erdstoffe. Verff.
Des Inst. F. Bodenmech. Techn. Hochschule Frid. In Karlsruhe.
Lunne, T; Robertson, P.K.; Powell, J.J.M. (1992). Cone Penetration
testing. Blackie Academic & Professional.
Mayne P.W. and Kulhawy F. H. (1992). Calibration Chamber database
and boundary effects corrections for CPT data. Proc. On
Calibration Chamber Testing, New York, 1991, 257-54, Elsevier.
Rthti, L. (1988). Probabilistic solutions in geotechnics Elsevier,
Akadmiai K. Amsterdam.
Poulos, S.J., Hed, A (1973) Density Measurements in a Hydraulic Fill.
Evaluation of Relative Density and its Role in Geotechnical
Projects Involving Cohesionless Soils. ASTM STP523. p 402-424.
Interpretation of
of stress-dependent
stress-dependent mechanical
mechanical behaviour
behaviour of
of rockfill
rockfill materials
materials
Interpretation
Interprtation de
de stress-dpendante
stress-dpendante et
et comportement
comportement mcanique
mcanique de
de matriaux
matriaux enrochement
enrochement
Interprtation
Jannati Aghdam
Aghdam R.
R.
Jannati
Senior Geotechnical
Geotechnical Engineer,
Engineer, Tehran,
Tehran, Iran
Iran
Senior
Soroush A.
A.
Soroush
Amirkabir University
University of
of Technology,
Technology, Tehran,
Tehran, Iran,
Iran, soroush@aut.ac.ir
soroush@aut.ac.ir
Amirkabir
ABSTRACT: This
This paper
paper studies
studies thoroughly
thoroughly the
the mechanical
mechanical behavior
behavior of
of thirty
thirty types
types of
of rockfill
rockfill materials
materials subjected
subjected to
to triaxial
triaxial
ABSTRACT:
compression shearing,
shearing, each
each with
with three
three different
different confining
confining stresses.
stresses. The
The materials
materials characteristics,
characteristics, including
including mineralogy,
mineralogy, gradations
gradations
compression
and shape
shape of
of particles;
particles; and
and also
also the
the tests
tests results
results have
have been
been collected
collected from
from the
the literature.
literature. The
The Hyperbolic
Hyperbolic Model
Model (Duncan
(Duncan and
and Chang
Chang
and
1970) isis employed
employed as
as aa framework
framework for
for interpreting
interpreting the
the mechanical
mechanical behavior
behavior of
of the
the materials.
materials. Features
Features of
of the
the behavior
behavior of
of the
the rockfill
rockfill
1970)
materials, as
as compared
compared with
with that
that of
of soils,
soils, are
are highlighted
highlighted through
through the
the exponent
exponent parameter
parameter (n)
(n) of
of the
the Hyperbolic
Hyperbolic Model.
Model. ItIt isis shown
shown
materials,
that
unlike
for
soils,
the
exponent
number,
n,
is
not
constant
for
a
given
rockfill
material,
and
that
the
n
value
depends
on
the
that unlike for soils, the exponent number, n, is not constant for a given rockfill material, and that the n value depends on the
confining stress
stress level;
level; for
forthe
the materials
materialsunder
under high
high pressures,
pressures, nn can
can even
even takes
takes aa negative
negativevalue,
value,which
which isisaasign
signof
ofparticle
particlebreakage
breakageof
of
confining
the
materials
.
Two
correlations
for
estimating
initial
elasticity
modulus
(E
)
and
internal
friction
angle
()
of
these
materials
are
the materials. Two correlations for estimating initial elasticity modulus (Ei)i and internal friction angle () of these materials are
suggested.
suggested.
RSUM :: Cet
Cet article
article tudie
tudie soigneusement
soigneusement le
le comportement
mcanique de
de trente
trente types
types de
de matriaux
matriaux enrochement
enrochement soumis
soumis un
un
RSUM
cisaillement triaxial
triaxial chacun
chacun avec
avec trois
trois diffrentes
diffrentes contraintes
contraintes de
de confinement.
confinement. Les
Les caractristiques
caractristiques du
du matriau
matriau:: minralogie,
minralogie,
cisaillement
gradations etet forme
forme des
des particules
particules etet aussi
aussi les
les rsultats
rsultats du
du test
test ont
ont t
t collects
collects partir
partir de
de lala littrature.
littrature. Le
Le modle
modle hyperbolique
hyperbolique
gradations
(Duncan et
et Chang
Chang 1970)
1970) est
est utilis
utilis en
en tant
tant que
que cadre
cadre pour
pour linterprtation
linterprtation du
du comportement
mcanique des
des matriaux.
matriaux. Les
Les
(Duncan
caractristiques
du
comportement
des
matriaux
en
enrochement,
par
rapport
celles
des
sols,
sont
mises
en
vidence
par
le
caractristiques du comportement des matriaux en enrochement, par rapport celles des sols, sont mises en vidence par le
paramtre dexposant
dexposant (n)
(n) du
du modle
modle hyperbolique.
hyperbolique. IlIl est
est montr
montr que,
que, contrairement
contrairement aux
aux sols,
sols, le
le nombre
nombre dexposants,
dexposants, n,
n, n'est
n'est pas
pas
paramtre
constantpour
pour un
unmatriau
matriaudonn
donnen
enenrochement
enrochementet,
et,en
en ce
ceque
que la
lavaleur
valeurde
denn dpend
dpenddu
duniveau
niveaude
decontrainte
contraintede
deconfinement
confinement;; pour
pour les
les
constant
matriaux hautes
hautes pressions,
pressions, nn peut
peut mme
mme prendre
prendre une
une valeur
valeur ngative,
ngative, ce
ce qui
qui est
est un
un signe
signe de
de rupture
rupture des
des particules
particules de
de matires.
matires.
matriaux
Deuxcorrlations
corrlations pour
pour estimer
estimerlelemodule
module dlasticit
dlasticit initial
initial (E
(E)i)etet langle
langle ()
()de
de frottement
frottement interne
interne de
deces
ces matriaux
matriauxsont
sont proposes.
proposes.
Deux
i
KEYWORDS:Rockfill
RockfillMaterials,
Materials,Triaxial
TriaxialCompression
CompressionShearing,
Shearing,Hyperbolic
HyperbolicModel,
Model,Initial
InitialElasticity
ElasticityModulus.
Modulus.
KEYWORDS:
11
33
INTRODUCTION
INTRODUCTION
Shear strength
strength and
and deformation
deformation characteristics
characteristics of
of rockfill
rockfill
Shear
materials
depend
generally
on
different
parameters,
such
as
materials depend generally on different parameters, such as
mineralogy, grain
grain size
sizedistribution,
distribution, size
size of
of particles,
particles, stress
stress level,
level,
mineralogy,
and particle
particle breakage
breakage (if
(if any).
any). The
The importance
importance of
of particle
particle
and
breakage goes
goes back
back to
to its
its capability
capability of
of changing
changing gradations
gradations of
of
breakage
granular
materials.
granular materials.
This paper
paper presents
presents the
the results
results of
of aa comprehensive
comprehensive study
study on
on
This
the
mechanical
behaviour
of
thirty
rockfill
materials
under
the mechanical behaviour of thirty rockfill materials under
medium and
and large
large scale
scale triaxial
triaxial testing.
testing. Data
Data about
about the
the materials
materials
medium
and
the
tests
are
gathered
from
the
literature.
The
Hyperbolic
and the tests are gathered from the literature. The Hyperbolic
Model (HM)
(HM) isis employed
employed as
as an
an analytical
analytical and
and behavioural
behavioural
Model
framework
for
this
study.
The
important
parameters
of the
the HM
HM
framework for this study. The important parameters of
for the
the rockfill
rockfill materials
materials are
are determined
determined and
and compared
compared with
with
for
similar parameters
parameters for
for typical
typical loose
loose and
and dense
dense sands.
sands. Variations
Variations
similar
of deformation
deformation and
and strength
strength parameters
parameters (E
(Ei and
and )
) of
of the
the
of
i
materials
with
confining
stress
(
)
are
studied.
On
the
basis
of
3
materials with confining stress (3) are studied. On the basis of
this study,
study, two
two relationships
relationships for
for estimating
estimating EEi and
and of
of the
the
this
i
rockfill materials
materialsare
areproposed.
proposed.
rockfill
22
PROPERTIES OF
OF ROCKFILL
ROCKFILL MATERIALS
MATERIALS
PROPERTIES
Thirty types
types of
of rockfill
rockfill materials,
materials, on
on which
which conventional
conventional triaxial
triaxial
Thirty
compression tests
tests had
had been
been carried
carried out,
out, are
are used
used in
in this
this study.
study.
compression
The
material
characteristics,
including
mineralogy,
uniformity
The material characteristics, including mineralogy, uniformity
coefficient, shapes
shapes of
of particles
particles and
and etc.
etc. for
for three
three types
types of
of these
these
coefficient,
materials
are
presented
in
Table
1.
Because
of
conciseness
the
materials are presented in Table 1. Because of conciseness the
presenting of
of the
the all
all of
of materials
materials characteristics
characteristics has
has been
been
presenting
neglected.
neglected.
HYPERBOLIC MODEL
MODELAND
ANDITS
ITSAPPLICATION
APPLICATION
HYPERBOLIC
3.1.Theory
3.1.
Theory of
of the
the model
model
The
Hyperbolic
Model
(Duncan &
& Chang
Chang 1970)
1970) considers
considers the
the
The Hyperbolic Model (Duncan
behavior of
of aa soil
soil specimen
specimen under
under compressive
compressive triaxial
triaxial testing
testing
behavior
as aa hyperbola.
hyperbola. According
According to
to the
the model,
model, the
the gradient
gradient of
of the
the
as
tangent to
to the
the stress-strain
stress-strain relationship
relationship (q:
(q:a),), namely
namely as
as
tangent
a
tangential
deformation
modulus
(E
),
is
defined
as
follows:
t
tangential deformation modulus (E ), is defined as follows:
t
= 1
1sin 1 3
2 cos +23
3
sin
(1)
(1)
Where
Where =
= internal
internal friction
friction angle;
angle; C=
C= cohesion;
cohesion; K=
K= modulus
modulus
failure
ratio;
number;
number; n=
n= exponent
exponent number,
number, RRf=
=
failure
ratio; and
and
f
pressure.
PPa== atmospheric
a atmospheric pressure.
The
The above
above parameters
parameters for
for aa given
given material
material can
can be
be obtained
obtained
by
carrying
out,
usually,
three
triaxial
tests
on
by carrying out, usually, three triaxial tests on the
the soils
soils
specimens.
specimens.
Parameters
Parameters K,
K, n,
n, and
and RRff are
are usually
usually determined
determined from
from the
the
triaxial
triaxial tests
tests results
results and
and on
on the
the basis
basis of
of aa nonlinear
nonlinear stressstress- strain
strain
behavior,
behavior, which
which isis assumed
assumed as
as aa hyperbola
hyperbola(Konder
(Konder 1963).
1963). The
The
Hyperbola
Hyperbolaequation
equationisisas
asfollows:
follows:
1 3
= +
(2)
(2)
Where 1= maximum principal stress; 3= minimum
strain instress;
triaxial3=compressive
principal
a= axial
Wherestress;
1= and
maximum
principal
minimum
testing.
b=thestrain
reverses
of initial
elasticity
principalParameters
stress; anda and
in triaxial
compressive
a= axial
modulus
(Ei) and a ultimate
testing. Parameters
and b=thedeviatoric
reverses ofstress
initial (
elasticity
1-3)ult,
respectively.
parameters
be determined
by drawing
modulus (EThese
and
ultimatecandeviatoric
stress
(1-3)ulta,
i)
fitting
line toThese
the tests
results,can
as be
shown
in Figure
1. Rf isa
respectively.
parameters
determined
by drawing
defined as follows:
353
1 3
1 3
1.0
(3)
Where (1-3)f = the deviatoric stress at failure.

The following relationship for the initial modulus of
elasticity for soils is suggested (Janbu 1963):
Ei = kPa 3
Pa
(4)
Where, n represents the exponential effect of 3 on Ei. K and n

can be determined by drawing a line fitted to data of the triaxial
tests, as presented in Figure 2.
3.2. Application of the model
Table 1. Mechanical properties of three rockfill materials
Rockfill Type
Mineralogy
Dmin(mm)
Dmax(mm)
Cu
Australia
Railway
Ballast
Latite
basalt
20
65
1.5
Roodbar
Dam
Material
Yamchi
Dam
Material
Lime
stone
0.15
50.8
23
Andesite
90
120
240
500
700
900
200
400
700
54.6
52
45.8
30.6
38.7
Shape
10
Highly Angular
11
12
13.5
Angular/ sub
Angular
In this section, the mechanical behavior of the thirty rockfill

materials, which the characteristics of three types of them are
presented in Table 1, are investigated analytically in the
framework of the Hyperbolic Model. Values of parameters n
and K for the materials introduced in Table 1, for every two
consecutive triaxial tests, and furthermore, for three triaxial
tests, are extracted and presented in Table 2. Therefore, for each
of the materials three values of n are calculated; one from the
first and second triaxial tests results, one from the second and
third triaxial tests results, and one from first, second and third
triaxial tests. We intentionally calculated the first two values for
n to highlight the effect of particle breakage on Ei (through n)
with every increase of 3. This is different from the similar
procedure of determining n for soils, where usually a unique n
value can be extracted from results of triaxial tests with three
consecutive confining stresses (3) on a given material. The
details of determining n and K from the triaxial tests results are
given in Duncan and Chang 1970.
0.072
74.3
65.4
3(kPa)
Bg* (%)
Figure 2. Determining constants n and K from three triaxial tests results
Table 2. Values of n and K parameters for the rockfill materials

introduced in Table 1
NIA**
Rockfill Type
Rounded
Australia
Railway Ballast
(3)1 , (3)2
(kPa)
90, 120
-7.45
3500
120, 240
-0.95
1070
90,120 ,240
-3.32
2100
500, 700
-6.53
18108
* *
NIA: No Information Available

*
Bg : Marsals breakage index
Roodbar Dam
Material
Yamchi Dam
Material
700, 900
-1.15
52000
500,700, 900
-3.26
10105
200, 400
2.7
1180
400 , 700
5104
200,400, 700
1.5
3000
Table 3 compares the average values of n for the relatively

rounded and relatively angular rockfill materials of this study
separately, with typical values for loose and dense sands. As
expected, the average n for the rockfill materials are far less
than that of the typical dense sand; moreover, n reduces with
increasing of the materials' angularity. It should be mentioned
that highly angular, angular, angular/sub angular and sub
angular materials are assumed as relatively angular materials;
while, rounded, rounded/sub rounded and sub rounded ones are
assumed as relatively rounded materials.
Figure 1. Determining constants a and b from a triaxial test results
354
Table 3. Average values of n and K for relatively rounded and relatively

angular rockfill materials, compared with typical values for loose and
dense sands
Type of
Relatively
Relatively
Loose
Dense
Sand
Materials
Angular
Rounded
Sand
n
0.085
0.29
0.65
0.54
K
2004
700
300
2000
The main factor responsible for the comparatively lower

(compared with sands) average values of n for the rockfill
materials (especially the angular ones) is particles breakage
which happens during both compression and shearing of the
materials.
According to Eq. 4, n represents the exponential effect of 3
on Ei. As particle breakage in rockfill materials is far more than
in sands, the average n value of rockfill materials is much less
than that of sands. Materials with higher degrees of angularity
suffer more particle breakage and therefore, they have lower
values of n.
The modulus number (K in Eq. 4) for the studied rockfill
materials takes values ranging widely from 53 to 36109. The
very high values of K correspond to negative values of n.
VARIATION OF Ei AND WITH CONFINING

PRESSURES (3)
Figure 3 shows the variations of Ei with 3 while shown in

Figure 4 is the variations of with 3 for one of the highly
angular and one of the rounded materials which are studied in
this paper. As Figure 3 shows, because of massive particle
breakage, the increasing of 3 has resulted in the reduction of Ei
for the highly angular rockfill material, while Ei has increased
with a gentle slope with the increase of 3 for the rounded
rockfill material. Moreover, the rate of reduction of with the
increase of confining pressure is much more for the highly
angular material than for the rounded material, as presented in
Figure 4.
The above trends of variations were obvious more or less in
the behavior of the rest of the materials. Our studies on the
behavior of the materials showed that the following factors have
major effects on the rate of particle breakage:
- Shape of particles: angular particles undergo more
breakage.
- Mineralogy: particles of weaker materials break more.
- Size of particles: coarse particles are more vulnerable to
breakage.
- Coefficient of Uniformity (Cu): A lower Cu, causes a higher
rate of particle breakage.
Ei (MPa)
Figure 4. Variations of with 3 for typical rounded and highly angular

rockfill materials
It should be mentioned that according to Equation 4, the

particle breakage phenomenon affects the tangential
deformation modulus (Et) of rockfill materials by both "n" and
" ".
The above conclusions strongly suggest that the variations of
deformation modulus of rockfill materials with confining
pressure should be taken into account in deformation analyses
of rockfill structures.
5
This study on the triaxial testing results of the rockfill materials

led to two correlations between Ei and with 3. They are as
follows:
3
3 0
(5)
where = reduction of internal friction angle; 0 = internal

friction angle corresponding to 30; 30= initial confining stress,
which is usually the minimum confining stress in triaxial
testing; 3= confining pressure increase; and = a coefficient
depending on shape of particles, coefficient of uniformity (Cu),
and confining pressure increment ratio (3/30).
Considering the studied rockfill materials, ranges between
0.051 and 0.59 for the relatively angular materials and between
0.046 and 0.42 for the relatively rounded materials.
It implies that for the rounded materials are generally less
than that for the angular ones; this represents the lower particle
breakage potential for the rounded materials.
The relationship for variation of Ei with 3 is suggested, as
follows:
Rounded Material
0,5
log 1
Highly Angular Material
400
350
300
250
200
150
100
50
0
0
CORRELATION BETWEEN Ei AND WITH 3
1,5
3
30
(6)
where Ei= changes in initial elasticity modulus; Ei0=initial

elasticity modulus corresponding to 30; and = a coefficient
depending on particle shapes, uniformity coefficient (Cu), and
3/30 in triaxial compression shearing.
For the relatively angular materials, was calculated as
-2.65 3.71 and for the relatively rounded materials as
-1.14 5.50. It is observed that the range of positive values
of , which implies the increase of Ei with 3 , for the relatively
angular materials are smaller than the similar range for the
rounded materials (3.71 versus 5.50). For the range of negative
values of , which implies the decrease of Ei with 3, the trend
is opposite (-2.65 versus -1.14). The above observation is
logical concerning comparatively higher particle breakage and
its reductive effect on Ei in the relatively angular materials.
3 (MPa)
Figure 3. Variations of Ei with 3 for typical rounded and highly angular

rockfill materials
355
CONCLUSIONS
This paper studied thoroughly the mechanical behavior of thirty

rockfill materials subjected to triaxial compression shearing
with three different confining stresses. The Hyperbolic Model
(Duncan and Chang 1970) was employed as the behavioral
model for this study. Features of the mechanical behavior of
rockfill materials, as compared with soils, were highlighted
through the exponent parameter (n) of the Hyperbolic Model.
Unlike for soils, n is not constant for rockfill materials, and
depends on confining stress levels; n can even takes a negative
value, which is a sign of particle breakage in the materials.
The main focus in this paper was on the effect of confining
pressure on the stiffness (initial deformation modulus and
tangential deformation modulus) of the materials. It was shown
that rockfill materials undergo particle breakage to some extents
and therefore, they may behave comparatively softer under
higher confining stresses. The extent of particle breakage
depends on gradation characteristics, (especially coefficient of
uniformity), particle shape (angular or rounded), wetting
condition, and confining stress.
Two correlations for estimating initial elasticity modulus (Ei)
and internal friction angle () of the studied rockfill materials,
based on particles shape, confining pressure (3), and
coefficient of uniformity (Cu) were suggested. Investigations on
the variations of internal friction angle () with confining stress
(3) also showed that decreases with increasing of 3 in all
types of rockfill materials. The extent of reduction in depends
on the extent of particle breakage.
356
REFERENCES
Duncan J.M. and Chang Ch.Y. 1970. Nonlinear analysis of stress and
strain in soils. Journal of soil mechanics and foundations division,
1629-1653.
Konder R.L. 1963. Hyperbolic stress-strain response: cohesive soils.
Journal of the soil mechanics and foundations division, ASCE,
89(1), 115-143.
Janbu N. 1963. Soil compressibility as determined by oedometer and
triaxial tests. European Conference on Soil Mechanics and
Foundations Engineering, Wiesbaden, Germany, Vol. 1, 19-25.
Indraratna B. Ionescu D. and Christie H. D. 1998. Shear behavior of
railway ballast based on large - scale triaxial tests. J. SMFE,
ASCE, 124(5), 439-449.
BHRC 1994-2006. Testing of rockfill materials with large - scale
triaxial equipment. TP, Geotechnical Department, Tehran, Iran.
Tofigh Rayhani M.H. 2000. Studying the mechanical behavior of
rockfill and earth dam faces using large scale triaxial and direct
shear test. M.Sc. Thesis, Tarbiat Moallem University, Tehran, Iran.
Varadarajan A. Sharma K. G. Venkatachalam K. and Gupata A. K.
2003. Testing and modeling two rockfill materials. Journal of
Geotechnical and Geoenvironmetal Engineering , 206-218.
Moshanir Power Engineering Consultants. 1996. Review on additional
laboratory tests on materials of Masjed Soleyman Dam. Tehran,
Iran.
Brauns, J. 1993. Laboratory tests report on materials of Masjed
Soleyman Dam. Division of Earth Dam and Landfill Technology.
University of Karlsruhe.
Frassoni A. Hegg U. and Rossi P. 1982. Large-scale laboratory tests for
the mechanical characterization
of granular materials for
th
embankment dams. Proc. 14 Congres des Grands Barrages, Rio
de Janeiro, 727-751.
Charles J.A. and Watts K.S. 1980. The influence of confining pressure
on the shear strength of compacted rockfill. Geotechnique 30, No.4,
353-367.
th
Effects of Freeze-Thaw History on Deformation-Strength Properties and

Permeability of Fine-Grained Soil
Effets de lhistorique du gel-dgel sur les proprits de rsistance la dformation et de
permabilit des sols grains fins
Kawaguchi T., Nakamura D., Yamashita S., Yamasaki S.
Kitami Institute of Technology, Kitami, Japan
Ishikawa T.
Faculty of Engineering, Hokkaido University, Sapporo, Japan
ABSTRACT: In cold and snowy areas, surface soils on slopes often move downward especially in early spring. Its moving caused by
repeated freeze-thaw cycles. If we properly evaluate slope stabilities and carry out effective slope protection works, we should
understand variations of strengths, stiffnesses, permeabilities, and so on in the cycles. By the way, it is known that repeated freezethaw cycles make ice lenses within surface soil. They spread parallel to ground surface so they are arranged parallel to shear stress on
the slope. In this study we carried out frost heave tests that obtained changes of the void ratio and permeability in the cycle of freezing
and thawing, direct box shear tests that obtained strength-deformation characteristics in the cycles, and the bender element tests that
also obtained velocities of shear waves with vertical and horizontal propagation in the cycles. Then we conclude that the formation of
ice lenses made parallel to shear stress is important for mechanical properties of surface soils.
RSUM : Dans les rgions froides et enneiges, les sols de surface sur les pentes se dplacent souvent vers le bas, en particulier au
dbut du printemps. Lvaluation correcte de la stabilit des pentes et la ralisation de travaux de protection des pentes efficaces
devraient nous permettre de comprendre les variations de forces, rigidits, permabilits, et ainsi de suite au cours des cycles. Dans
cette tude, nous avons effectu des tests de soulvement par le gel qui nous ont permis dobtenir les variations de l'indice de vide et
de la permabilit dans le cycle de gel et de dgel, des essais de cisaillement direct la bote qui nous ont donn les proprits de
rsistance la dformation au cours des cycles et des tests par lment flchissant qui nous ont galement donn les vitesses des
ondes de cisaillement avec la propagation verticale et horizontale au cours des cycles. Nous avons alors conclu que la formation de
lentilles de glace parallles la contrainte de cisaillement joue un rle important dans les proprits mcaniques des sols de surface.
KEYWORDS: frost heave, freezing and thawing test, permeability, strength-deformation characteristics, elastic shear modulus
1
INTRODUCTION
Winter
Surface soil of natural and artificial slopes in cold and snowy

areas, such as Hokkaido (the northernmost island of Japan),
moves downwards in early spring due to the cycle of freezing
and thawing (e.g. Ueno et al. 2010). A mechanism of this
phenomenon is conceptually shown in Figure 1. In winter, ice
lenses formed around freezing fronts within the soil on a slope,
then ice lenses grow, causing frost heave. In spring, ice lenses
thaw with increasing water contents of soil as temperature rise,
then soil begins to move or flow downwards by gravity. Slopes
often fail by snowmelt and rainwater. To evaluate slope stability
and select effective slope protection work, we should obtain
variations of strength, stiffness and permeability in the cycle of
freezing and thawing. As shown in Figure1, most of directions
of ice lenses are parallel to shear stress. However, there are few
studies focusing the directionality of ice lens.
In this study, we pursued changes of the void ratio and
permeability in the cycle of freezing and thawing, covered soil
samples with various densities. To use soil samples containing
ice lenses, we developed a new method of the direct box shear
test, enabled to measure deformation-strength properties, and a
new method of the freezing and thawing test to measure
velocities of shear waves with vertical and horizontal
propagation, enabled to measure elastic shear moduli and
analyze anisotropic structures.
2
Frozen
soil
Unfrozen soil
Spring
Thawing
Frozen soil
Thawing
High water
content soil
Unfrozen soil
Thawing
TEST APPARATUSES AND SPECIMENS
Three types of test apparatus were used in this study. The first is
a frost heave test apparatus according to JGS 0172-2009: Test
Figure 1. Mechanism of slope movement and slope failure in spring
357
1
th
3
3.1

Void ratio and coefficient of permeability
Falling head permeability tests were performed before and after

the freeze-thaw tests using the frost heave test apparatus in
order to study effects of freeze-thaw cycles on the void ratio e
and the coefficient of permeability k. Sixteen specimens were
prepared using a rammer and a mold at three levels of
compaction energy: 126, 284, and 550 kJ/m3 (Nakamura et al.
2011). The vertical stress was v=10 kPa for all the tests. Six of
the specimens underwent three freeze-thaw cycles and k was
measured before and after each cycle. The frost heave test
method specified in the JGS 0172-2009 standard was used. In
the thawing tests, the specimen was dewatered through the top
and bottom surfaces held at 5C, and then saturated again.
Figure 4 shows the rate of frost heave Uh (mm/h) and frost
heave ratio (%) of the specimen as functions of void ratio e at
the beginning of freezing. A greater e means more pore water
and lower tensile strength, which might suggest easier ice lens
formation. Actually, however, both Uh and are lower at higher
e at the beginning of freezing, presumably because of inhibition
of continuity of the unfreezable water needed for frost heave
(Nakamura et al. 2011). The results of the three consecutive
freeze-thaw cycles, indicated by the points connected with lines,
358
a)
Coolant
Water
b)
Vertical stress
Vertical stress
Coolant
Resistance
temperature
detector
Upper plate
Water
Piston
Screw
Specimen
BE
(Vs)vh
(Vs)hh
BE
Acrylic
resin
Lower plate
Water
Coolant
Resistance
temperature
detector
Coolant
Shear
Figure 2. Test apparatus diagrams (a): frost heave apparatus equipped

with BEs, b): temperature-controllable direct box shear apparatus)
Percent passing (%)
100
80
60
: Sample V
40
: Sample CL
20
Clay
0
0.001
Silt
0.01
Sand
0.1
Grain size (mm)
Gravel
10
Rate of frost heave

Uh (mm/h)
Figure 3. Grain size distribution of samples used in the tests
1.0
0.8
Sample V
0.6
0.4
0.2
120
Frost heave ratio

(%)
method for frost susceptibility of soils, which uses specimens in

a disk form 10 cm in diameter and 5 cm in thickness and is
capable of falling head permeability tests using a burette before
and after a freeze-thaw cycle (designated hereinafter as the frost
heave test apparatus capable of permeability tests). The second
is a frost heave test apparatus equipped with bender elements
(BEs) for measuring the velocity of shear waves propagating in
the specimen before and after a freeze-thaw cycle (designated
hereinafter as the frost heave test apparatus equipped with BEs).
As shown schematically in Figure 2a, two pairs of BEs are
provided, in the upper and lower plates and in the mold,
respectively. The BE pair in the cooling plates measures the
velocity (Vs)vh of the shear wave that oscillates horizontally and
propagates vertically, while the BE pair in the mold measures
the velocity (Vs)hh of the share wave that oscillates and
propagates horizontally (Kawaguchi et al. 2001, Yamashita and
Suzuki 2001). The BE pair in the mold was removed in freezethaw tests to avoid any damage by freezing, and mounted again
after thawing for BE tests. The third apparatus is a direct box
shear test apparatus that permits freeze-thaw test in the shear
box (designated hereinafter as the temperature-controllable
direct box shear apparatus). The shear box is schematically
represented in Figure 2b. The specimen is a disk 6 cm in
diameter and 4 cm in thickness. A coolant is circulated in the
piston and pedestal for temperature control. The shear box, or
the circumferential surface of the specimen, is thermally
insulated by a two-centimeter-thick acrylic resin layer. A rubber
sheet, 0.3 mm in thickness, is placed between the upper and
lower halves of the shear box during freeze-thaw tests to
prevent water leakage, and is removed for shear tests to leave a
0.2mm clearance between the box halves.
Figure 3 shows grain size distribution curves for the two
frost-susceptible fine-grain soils used in this study. One is
weathered volcanic ash obtained at Kitami City, Hokkaido
(sample V) which was used in the tests using the two frost
heave test apparatus. The test specimens were prepared by
compacting the volcanic ash sample conditioned to be slightly
drier than with the optimum water content. The other, used in
the temperature-controllable direct box shear tester, is a mixture
of clay commercially available in dry powder and silt at a ratio
of 1:1 by weight, which was made to a slurry at twice the liquid
limit and then consolidated one-dimensionally to a vertical
stress v= 100 kPa (sample CL, wL = 38%, IP = 19).
: Cycle 1
: Cycle 2
: Cycle 3
80
40
0
0.8
1.0
1.2
1.4
1.6
Void ratio at the beginning of freezing, e
Figure 4. Uh and as functions of e at the beginning of freezing
show that the repeated cycles lead to convergence to fairly

constant values of Uh and .
Figure 5 represents changes in the void ratio e and
coefficient of permeability k of the specimen through the freezethaw cycles. The data for each specimen are connected by lines.
As observed in Figure 4, the freeze-thaw cycles decrease greater
initial e values and increase smaller initial e values, eventually
leading to convergence to a relatively limited range of e values
between 1.1 and 1.3. Ono et al.(2003) reported that freeze-thaw
history decreases e of clay at a normally consolidated state and
increases e of clay with a larger over consolidation ratio. This
observation is in agreement with the present results assuming
that higher compaction energies on the specimen result in over
consolidation in terms of the specimens mechanical
th
Test
DBS1
DBS2
DBS3
DBS4
DBS5
DBS6
DBS7
Freeze
-thaw
cycle
Yes
v
(kPa)
12
Void ratio, e
Before shear
After consol.
(before freezing)
(after thawing)
0.97
0.99
1.01
1.00
1.02
1.05
No
Yes
Coefficient of permeability,k (m/s)
Table 1. Conditions of direct box shear tests and changes in void ratio
1.01
75
0.97
0.96
No
0.91
0.92
0.95
characteristics. The coefficient of permeability k changes along

with the changes in e, thus the change in k through the freezethaw cycles is considered to be strongly dependent on the
changes in e. Similar to the above, k converges on about 510-8
m/s. These observations explain why k has been reported to be
increased by freeze-thaw cycles by some investigators and to be
decreased by others (Chamberlain et al. 1990, Starke 1989).
10
10
10
Freezethaw
: Before
: After 1 cycle
: After 2 cycles
: After 3 cycles
0.8
1.0
1.2
1.4
Void ratio, e
1.6
Figure 5. Changes in k and e by freeze-thaw cycles
Deformation and strength properties
0.6 Sample CL
0.4
0.2
Shear stress, (kPa)
Table 1 summarizes the conditions and results of the tests (DBS

1-7) performed with the temperature-controllable direct shear
box apparatus. Two levels of the vertical stress v, 12 and 75
kPa, were used for loading and shear. Freezing and thawing
tests were replicated several times under identical conditions.
The temperatures of the top and bottom surfaces of the
specimen were set to 4C and 0C, respectively and lowered at
a rate of 0.2C/h for freezing and increased at a rate of 0.4C/h
for thawing until the top surface reached 20C. The constantpressure direct box shear tests were performed at a rate of 0.02
mm/min with a 0.2 mm gap, or clearance, between the upper
and lower halves of the shear box. Table 1 shows that freezethaw cycles increase e of the specimens with high over
consolidation ratios (OCRs) (DBS 1-3) and decrease e of those
with lower OCRs (DBS 5 and 6).
Figure 6 illustrates the shear stress and vertical
displacement H as functions of horizontal displacement in
the constant-pressure direct box shear tests. The specimens that
have not undergone a freeze-thaw cycle clearly show higher
stiffness at the beginning of shear, and generally higher
maximum shear stress max. Both increase and decrease of the
shear strength after freeze-thaw cycles have also been reported
(Aoyama et al. 1985, Ogata et al. 1985). Triaxial test results
have also shown that freeze-thaw cycles make high-OCR
cohesive soil to some extent similar to normally consolidated
soil whose shear strength decreases with increase in e and, in
contrast, make normally consolidated soil to some extent similar
to over consolidated soil whose strength increases with decrease
in e (Ono et al. 2003). This study shows a similar tendency for
the dilatancy characteristics. An exception is the test DBS 7,
where max is relatively high in spite of e higher than in DBS 5
or 6. This is presumably due to structurally weak zones in the
specimen formed by melting of ice lenses as the shearing
direction is almost parallel to the surface where ice lenses
formed in the present experiments. This mechanism suggests
that zones with very low shear strength may appear in the soil
elements in a slope in snowmelt season. Similarly, variation in
deformation-strength characteristics after freeze-thaw cycles
can be explained by the existence of structurally weak zones in
the specimens.
3.3
Sample V
Vertical displacement
H (mm)
3.2
10
0
DBS5:
60 DBS6:
DBS7:
Freezethaw
Yes
Yes
No
DBS1:
DBS2:
DBS3:
DBS4:
40
20
0
0
Freezethaw
Yes
Yes
Yes
No
1
2
3
4
5
Horizontal displacement, (mm)
Elastic shear modulus

Gvh (MPa)
Figure 6. Difference in direct shear test results by freeze-thaw cycle
40
: Before freezethaw cycle

: After freezethaw cycle
30
20
10
Sample V
0.9
1.0
1.1
1.2
Void ratio, e
1.3
Figure 7. Changes in Gvh and e by freeze-thaw cycles
conducted under v =10 kPa, and Gvh and Ghh of four specimens
before and after freeze-thaw cycles were measured. The other
two specimens underwent stepwise stress cycles (10 freezethaw102040 kPa or 102040freeze-thaw4020
10 kPa), during which Gvh and Ghh were measured.
Figure 7 shows changes in e and Gvh in freeze-thaw cycles at
v =10 kPa for five specimens. The void ratios clearly converge
on the same range as in Figure 5; Gvh sharply decreases to lower
Elastic shear modulus
Effects of freeze-thaw cycles on elastic shear modulus G and its

anisotropy were studied using the frost heave test apparatus
with BE on six specimens compacted to target densities by
impacting a piston installed in the mold. BE tests were
359
th
Elastic shear modulus, Ghh (MPa)
40
Sample V
1
1
30
20
10
: Before freezethaw cycle
: After freezethaw cycle
0
0
10
20
30
40
Elastic shear modulus, Gvh (MPa)
50
Figure 8. Changes in Gvh and Ghh by freeze-thaw cycles
1.1
Void ratio, e
than 10 MPa irrespective of the magnitude of e before freezing

or increase/decrease in e after freeze-thaw cycles.
Figure 8 illustrates changes in Gvh and Ghh after freeze-thaw
cycles. The decrease in Ghh is not so remarkable as that in Gvh,
probably because the latter results from the velocity of the shear
wave that traverses structurally weak zones formed by
disappearance (melting) of ice lenses. The structural damages
due to formation and disappearance of ice lenses are thus
believed to greatly influence the deformation-strength properties
of soil, in agreement with the results shown in Figure 6. The
fact that Gvh is higher than Ghh before freezing may be due to v
acting on the specimen to a greater extent than the horizontal
stress h (Yamashita and Suzuki 2001, Roesler 1979).
Figure 9 represents changes in Gvh and e under stepwise
stress cycles in the two tests mentioned above. The decrease in
Gvh by freeze-thaw cycles under v=40 kPa is smaller than in
the other test because of a very small change in e during the
cycle. While freeze-thaw cycles do not greatly influence the
effect of v on changes in Gvh, they lower Gvh to a considerably
greater extent than do v changes, and Gvh cannot be restored by
loading or unloading in any of the tests. This suggests that
structural damages in soil due to formation and disappearance
of ice lenses are not readily restored
The results described above indicate that changes in the
permeability of soil exposed to freeze-thaw cycles can be
explained to in terms of changes in the void ratio e, but its
deformation-strength property is not fully described in terms of
changes in e because of effects of structural damages in the soil
resulting from formation and disappearance of ice lenses.
1.0
Sample V
Freeze
thaw
Before
Freeze
thaw
After
0.9 Freezing thawing

: 10 Freezethaw
10 20 40kPa
CONCLUSIONS
i) Uh and of compacted fine grain soil are lower for higher e

before freezing, and converge to fairly constant values after
freeze-thaw cycles.
ii) Changes in k follow those in e due to freeze-thaw cycles.
iii) The initial stiffness and max in the constant pressure box
shear tests were greater before freeze-thaw cycles irrespective
of increase or decrease in e due to freeze-thaw cycles.
iv) Decrease in Gvh is considerable and greater than that in Ghh
irrespective of e before freezing or increase/decrease in e due to
freeze-thaw cycles.
v) Results of the box shear tests and BE tests suggest that
structural damages resulting from formation and disappearance
of ice lenses have marked influence on the deformation-strength
properties of soil.
vi) Results of BE tests with different vertical stresses before
and after freeze-thaw cycles suggest that structural damages
resulting from formation and disappearance of ice lenses cannot
be readily restored.
5
REFERENCES
Ueno, K., Rui, D., Nakamura, D., Ito, Y., Yamashita, S. and Suzuki, T.
2010. Behavior of vegetation protection slopes during freezing and
thawing, Japanese Geotechnical Journal, 5(3): 413-424 (in
Japanese).
Kawaguchi, T., Mitachi, T. and Shibuya, S. 2001. Evaluation of shear
wave travel time in laboratory bender element test, Proc. of the
15th ICSMGE, 1: 155-158.
Yamashita, S. and Suzuki, T. 2001. Small strain stiffness on anisotropic
consolidated state of sands by bender elements and cyclic loading
tests, Proc. of the 15th ICSMGE, 1: 325-328.
Nakamura, D., Suzuki, T., Goto, T., Kim, H., Ito, Y. and Yamashita, S.
2011. Changes in the permeability coefficient and the void ratio of
compacted soil by the effect of freeze-thaw cycles, Journal of
JSCE, C, 67(2): 264-275 (in Japanese).
360
Elastic shear modulus, Gvh (MPa)
60
: 10 20 40 Freezethaw
40 20 10kPa
40
Freeze
thaw
20
0
0
Freeze
thaw
10
20
30
40
Vertical stress, v (kPa)
50
Figure 9. Difference in direct shear test results by freeze-thaw cycle
Ono, T., Kodama, D. and Kato, T. 2003. The properties of normally and
overconsolidated clay after freezing and thawing history, Journal of
JSCE, 743(III-64): 47-57 (in Japanese).
Chamberlain, E., Iskandar, I. and Hunsicker, S. E. 1990. Effect of
freeze-thaw cycles on the permeability and microstructure of soils,
Cold Region Research and Engineering Laboratory, 90(1): 145155.
Starke, J. O. 1989. Effect of freeze-thaw weather conditions on
compacted clay liners, Proc. of the 12th Annual Waste Conference:
412-420.
Aoyama, K., Ogawa, S. and Fukuda, M. 1985. Temperature
dependencies of mechanical properties of soils subjected to freezing
and thawing, Proc. of the 4th International Symposium on Ground
Freezing: 217-222.
Ogata, N., Kataoka, T. and Komiya, A. 1985. Effect of freezing-thawing
on the mechanical properties of soil, Proc. of the 4th International
Symposium on Ground Freezing: 201-207.
Roesler, S.K. 1979. Anisotropic shear modulus due to stress anisotropy,
Journal of the Geotechnical Engineering Div., ASCE, 105(GT7):
871-880.
Characterization of geomechanical and hydraulic properties of non-wettable sands

Caractrisation des proprits gomcaniques et hydrauliques des sables non mouillants
Kim D., Yang H.-J., Yun T.S.
Department of Civil and Environmental Engineering, Yonsei University, Yonsei-ro 50, Seoul, 120-749, Republic of Korea
Kim B., Kato S.

Department of Civil Engineering, Kobe University, Rokkodaichou 1-1, Nada-gu, Kobe, 657-8501, Japan
Park
S.-W. Park S. W.
Seong-Wan
Department of Civil and Environmental Engineering, Dankook University, Suji-gu, Yongin, 448-701, Republic of Korea
ABSTRACT: Wildfire, diagenesis, and organic contamination often induce the non-wettability in soils which in turn dominate
physico-mechanical behaviours and control the contact angle and capillary pressure. This study presents the characterization of
hydraulic and geomechanical properties of non-wettable sands using artificially synthesized hydrophobic sands. The critical
hydrostatic pressure that initiates the fluid intrusion into dry hydrophobic sands is measured to estimate permeation boundary.
Hydraulic conductivity values of both hydrophilic and hydrophobic sands under fully saturated condition are examined to evaluate the
drag force effect. For geomechanical study, a series of constant water content compression tests are performed to assess the
mechanical behavior on a reconstituted specimen of unsaturated non-wettable sands. The stress-strain relationships according to the
degree of saturation under confining pressure condition are observed so as to derive the suction stresses. Results highlight that the
surface modification at nano-scale determine the spatial configuration of water phase in pore space and its impact on fluid flow and
strength with varying degree of saturation prevails.
RSUM : Les incendies, la diagense et la contamination organique induisent souvent une non-mouillabilit des sols qui, son tour,
domine leurs proprits physico-mcaniques et contrlent langle de contact et la pression capillaire. Cette tude prsente la
caractrisation des proprits hydrauliques et gomcaniques de sables non mouillants en utilisant des sables hydrophobes synthtiss
artificiellement. La pression hydrostatique critique qui dclenche lintrusion de liquide dans les sables hydrophobes secs est mesure
pour estimer la limite de permation. Les valeurs de conductivit hydraulique pour des sables hydrophiles et hydrophobes en
conditions totalement satures sont examines afin dvaluer leffet de la force de trane. Pour ltude gomcanique, une srie
dessais de compression teneur en eau constante ont t raliss pour valuer le comportement mcanique dprouvettes
reconstitues de sable non satur et non mouillant. Les relations contrainte-dformation en fonction du degr de saturation sous
condition de confinement sont tudies afin de driver les contraintes de succion. Les rsultats soulignent que la modification de
surface l'chelle nanomtrique dtermine la configuration spatiale de la phase aqueuse dans l'espace poreux et son impact sur
l'coulement du fluide et sur la rsistance avec la variation du degr de saturation.
KEYWORDS: non-wettable sands, water repellency, friction angle, critical pressure, hydraulic conductivity
MOTS-CLS : sables non mouillants, hydrophobie, angle de frottement, pression critique, conductivit hydraulique
1
INTRODUCTION
Soils in nature often become hydrophobic (non-wettable)

features, due to organic pollutants, natural hazards such as
wildfire and environmental pollution accidents such as oil spill,
whereas the accumulated geotechnical knowledge tends to be
somewhat limited to hydrophilic (wettable) soils, particularly in
the field of unsaturated soil mechanics.
Rodriguez et al. (1997) defined that the cause of the soil
particles property which draw water is the high surface free
energy. On the contrary, surface of hydrophobic soil particle
excludes water and acts as a diffusion barrier which disturb
substances diffuse by water (Goebel et al., 2007). Water layer
formed on the hydrophilic soil particle is 10 times thicker than
the water layer of the hydrophobic soil particle (Derjaguin and
Churaev, 1986). Such differences in surface properties of soils
result in clear distinctions even in macro scale (Frattolillo et al.,
2005; Nguyen et al., 1999). Therefore, the surface wettability at
particle scale controls the macro scale manifestation in soils.
Previous studies have been carried out so as to examine the
relationship between the suction and the shear strength using the
direct shear test for natural soils (e.g., Donald, 1956; Escario,
1980; Escario and Saez, 1986; Gan et al., 1988; Kim et al.,
2010a), exhibiting that the suction developed at inter-particle
contact causes the unique evolution of shear strength in natural
soils. The degree of saturation for both hydrophilic and
361
hydrophobic sands imposes the different evolution of thermal

and electrical conduction as well as the friction angle (Byun et
al., 2011; Kim et al., 2010b), attributed to the surface wettability.
This paper presents the series of experimentation to capture
the surface wettability effect with the scope of hydraulic and
geomechanical behaviors of both hydrophilic and hydrophobic
soils. Moreover, it is examined on how the existence of the
meniscus water affects the shear behavior using a direct shear
apparatus.
2
2.1
EXPERIMENTAL STUDY
Materials
The granular materials used in this study were Jumunjin sands

(specific gravity Gs=2.59, maximum porosity nmax= 0.465,
minimum porosity nmin= 0.375). This materials are reletively
uniformized (coefficient of uniformity Cu=1.16) with the mean
particle size D50=0.5mm. Sands without any treatment were
tested for wettable (hydrophilic) samples whereas the nonwettable samples were sands chemically treated by silylation
process (Zycosoil manufactured by Zydex industries, dilluted
ratio=1:100 with water). Cleaned sands were fully submerged
within the reactive solution and the reaction was allowed for 72
hours at room temperature condition. The recation formed
Alkylsiloxane on the particle surface with molecular level. Then,

the mixture of sands and solution was oven-dried at 80C.
2.2
Optical observation
Water distribution in hydrophilic and hydrophobic sand was

observed by an optical microscope. Water exists mainly at the
inter-particle contacts whereas hydrophobic sand induces the
formation of water blobs on the surface attributed to the nonwettability (Figure 1). In order to obtain the contact angle, the
glass slide was simultaneously treated with silane. Water
droplets were dropped both on the non-treated glass slide and
treated glass slide to observe the contact angle () respectively
(Figures 1-c and 1-d). The contact angle of hydrophobic surface
is 85o which is more than six times higher than that of
hydrophilic sand.
Large contact angle indicates that the soil has large interfacial
tension between soil and water. Therefore meaning the soil
surface has high hydrophobicity.
0.5 mm
(a) Spatial distribution of water

in the wettable sands
0.5 mm
(b) Spatial distribution of water

in the non-wettable sands
2.3.2
Although it is evident that the hydrophobic sand tends to repel

water phase at unsaturated condition, caused by the modified
surface wettability, the assessment of hydraulic conductivity at
fully saturated condition is still required. Both hydrophilic and
hydrophobic sands are subjected to constant head testing to
obtain hydraulic conductivity values. The hydrophobic sands
are forced for thoroughly mixing with water to attain 100%
degree of saturation. The 147cm of head is maintained to the
cell with the diameter of 15 cm and height 50 cm. The drained
water was collected for 3 minutes and measured the weight
2.4
3.1
Figure 1. Optical observations of water droplet formed on the weattable

and non-wettable samples in the micro scale.
2.3.1
Hydraulic properties
Hydraulic properties
Critical hydrostatic pressure test
6000
Water needs to overcome the capillary pressure in

hydrophobic sand so that the critical pressure exist over which
water begins permeating into pore space. The experiment was
conducted by using various particle sizes of non-wettable sands
(Ottawa 20-30, Jumunjin sands and Ottawa F110). Dry samples
seat in a cylinder with diameter 7 cm, height 15 cm. The water
pressure is increased gradationally by 1 mm interval, and the
height is measured when the water starts to permeate.
Threshold pressure [pa]
2.3
RESULT AND DISSCUSSION
The critical pressure sharply increases as the particle size

decreases (e.g., the corresponding size of pore throat should
decrease) in Figure 3. The denial of water permeation acts as a
hydraulic barrier for a given critical pressure while it may cause
the surface erosion. Once the water begins permeating, the
preferential flow is predominant by forming fingering. The
evolution of critical pressure follows the reciprocal relationship
between capillary pressure and pore radius defined in Youngs
equation.
(d) Contact angle on the non-
surface (~13)
Compression test
A series of the direct shear tests were carried out under a

constant pressure condition. The soil sample used was Jumunjin
sand. The circular specimen is 60 mm in diameter and 20 mm in
height, and has the relative density of about 75% for the
maximum dry density. In case of a natural dried condition, the
sand specimens were prepared by the air pluviation method. The
vertical stresses of 20, 50, 80 kPa in the consolidation process
were loaded. On the other hand, the sand specimens according
to the degree of saturation under the unsaturated condition were
prepared by the static compaction method. The vertical stress of
50 kPa in the consolidation process was loaded. The opening of
0.2 mm between the lower and upper shear boxes was set. The
shearing rates of the natural dried condition and the unsaturated
condition were 3.3x10-4 mm/sec and 3.3x10-5 mm/sec,
respectively.
3
(c) Contact angle on the wettable
Hydraulic conductivity test
5000
Ottawa sand F110

4867.37 [Pa]
4000
3000
Jumunjin sand
1222.56 [Pa]
2000
1000
0
0.0
Ottawa sand 20-30

421.69 [Pa]
0.5
1.0
Mean particle Diameter [mm]
Figure 3. Critical hydrostatic pressures of non-wettable sands
15cm
The estimated hydraulic conductivity values increases with

porosity whereas there is no noticeable difference between two
specimens. It may be attributed that the surface modification by
organic materials may not reduce the drag force in hydrophobic
sands. It is noted that the feasibility of 100% saturation for
hydrophobic sand is quite low so that the gathered hydraulic
conductivity delineates the upper bound.
7cm
Figure 2. Experimental configuration of the critical hydrostatic

pressures of non-wettable sands.
Figure 2 show the experimental configuration. The test was

repeated three times for each specimen.
362
small-strain stiffness and large-strain strength may result in the

different peak saturation.
100
Direct shear test
0.010
Wettable sample
Non-wettable sample
Kozeny-Carman
0.001
0.3
0.4
0.5
* Natural dried condition

* D= 60mm, H =20 mm
* Opening: 0.2 mm
-4
* Shear rate: 3.3x10 mm/sec
80
Shear stress, (kPa)
Hydraulic conductivity [cm/s]
0.100
0.6
Porosity
Figure 4. Hydraulic conductivity varied with porosity of wettable and

non-wettable sands.
ic
hil
op
dr
Hy
Hydrophilic Sand
60
c=0, = 36.1o
nd
Sa
Hydrophobic Sand
c=0, = 27.9o
40
ic
ob
ph
dro
Hy
20
nd
Sa
The dotted line in Figure 3 is made based on the KozenyCarman equation (Bear, 1972; Carman, 1956)
0
0
(1 n )
(1)
2
363
80
100
Maximum shear stress, max(kPa)
Hydrophilic Sand
Hydrophobic Sand
Natural dried condition
o
Hydrophilic Sand: c=0, =36.1
o
Hydrophobic Sand: c=0, =27.9
80
60
40
o
dr
Hy
20
il
ph
ic
Sa
ph
dro
Hy
nd
obi
cS
and
0
10
20
30
40
50
60
70
80
90 100
Vertical stress, v(kPa)

Figure 6. Comparison of the shear strength due to the suction between
the hydrophilic and hydrophobic sands.
80
Maximum shear stress, max(kPa)
From the results of a series of the direct shear tests using the
jumunjin sand under the natural dried condition, the cohesion
and the angle of internal friction for the hydrophilic and
hydrophobic sands were c=0, =36.1, and c=0, =27.9,
respectively as shown in Figure. 5. The difference in friction
angle is attributed to the surface modification grafted by organic
component. The existence of silane on particle surface serves as
lubricant to reduce the friction angle.
Figure 6 shows the comparison of the shear strength due to
the suction between the hydrophilic and hydrophobic sands. The
formation of meniscus inducing the suction pressure increases
the shear strength of hydrophilic sand while the hydrophobic
sand imposes less defined meniscus at the inter-particle which
causes the quasi-constant value of strength regardless of
saturation. It emphasizes the role of suction in hydrophilic sands
on the geomechanical properties. This tendency can be
obviously observed through the comparison of the maximum
shear stresses between the hydrophilic and hydrophobic sands
with varying degree of saturation in Figure. 7.
In case of the hydrophobic sand, the maximum shear stress
at varying degree of saturation follows the value at dry
condition without significant deviation. On the other hand, the
maximum shear stress of hydrophilic sand is captured at ~ 50%
degree of saturation. Note that the previous research on the
evolution of maximum shear stiffness (Gmax) is attained at ~
5~10% degree of saturation (Byun et al., 2011). Although the
negative capillary pressure should increase with decreasing
degree of saturation, the different strain regime between the
60
100
Geomechanical properties
40
Vertical stress, v(kPa)

Figure 5. The relationship between vertical stress and shear stress under
the natural dried condition.
where is the density of water, g is gravitational acceleration,

and is the viscosity. The estimated value obtained by
Kozeny-Carman equation show similar range and aspect to the
values from the experiment, confirming validity of the
experiment.
Wettable samples tend to adsorb water on the surface due to
relatively strong capillary effect. On the other hand, nonwettable samples which have relatively low surface free energy,
have characteristics that exclude water. So that the water flow at
the interface between the particles is affected by the repellency
of capillary pressure. It allows predicting faster fluid flow in
non-wettable sands than the fluid flow in wettable Jumunjin
sand. Results show that the hydraulic conductivity values of
both soils run with nominal difference, which highlights that the
wettability effect at particle scale seems negligible for fluid
flow at pore scale.
3.2
20
Hydrophilic Sand
Hydrophobic Sand
Hydrophilic Sand:
v=50kPa, =36.4kPa
60

Hydrophobic Sand:
v=50kPa, =24.3kPa
40
20
0
20
30
40
50
60
70
80
Initial degree of saturation, Sr0(%)

Figure 7. Variation of the maximum shear stresses between the
hydrophilic and hydrophobic sands according to the initial degree of
saturation.
CONCLUSIONS
Soils in geotechnical engineering have been regarded as the

wettable condition while the non-wettable soils prevail in nature.
The water repellency and corresponding hydraulic and

geomechnical aspects needs to be adopted in engineering
practice to correctly estimate the overall behaviors. In this study,
wettable and non-wettable specimens were artificially
synthesized to preliminarily evaluate their basic properties. The
following observations can be made:
1.
2.
3.
The critical hydraulic pressure above which water

begins permeating follows the Youngs formula. The
non-wettable sand exhibits the distinct water repellency
and the critical pressure increases with decreasing pore
size.
The hydraulic conductivity values of both hydrophilic
and hydrophobic sands appear alike at fully saturated
condition. Although the hydraulic conductivity with
varying degree of saturation requires further study, the
surface wettability may not affect the overall fluid flow
behavior at macro-scale.
From a series of the direct shear tests using the
hydrophilic and hydrophobic sands, the surface
modification at sub-micrometer scale clearly reduce the
shear strength of hydrophobic sand at dry condition.
The effect of degree of saturation is minimized for
hydrophobic sand due to the less defined meniscus at
inter-particle contacts. Yet, the shear strength of
hydrophilic sand evolves with varying degree of
saturation, exhibiting the maximum value at ~ 50%.
ACKNOWLEDGEMENTS
This research is supported by the basic science research

program (No. 2012-0008233) and the Public welfare & Safety
research program (No. 2012M3A2A1050975) through the
National Research Foundation of Korea(NRF) funded by the
Ministry of Education, Science and Technology.
364
REFERENCES
Bear, J. 1972. Dynamics of fluids in porous media. New York: American

Elsevier Publishing Company, Inc.
Byun, Y.-H., Tran, M.K., Yun, T.S., and Lee, J.-S., 2011. Strength and
stiffness characteristics of unsaturated hydrophobic granular media,
Geotechnical Testing Journal, 35(1), 1-8.
Carman, P. C. 1956. Flow of gases through porous media. Butterworths
Scientific Publications London.
Derjaguin, B. and N. Churaev. 1986. Properties of water layers adjacent
to interfaces. Fluid interfacial phenomena. 663-738.
Donald, I.B., 1956. Shear strength measurements in unsaturated noncohesive soils with negative pore pressures. Proc. 2nd Australian
and New Zealand Conference on Soil Mechanics and Foundation
Engineering. 200-205.
Escario, V., 1980. Suction controlled penetration and shear tests. Proc.
4th International Conference on Expansive Soils, Denver, Co, 2,
781-797.
Escario, V., Saez, J., 1986. The shear strength of partly saturated soils.
Geotechnique 36(3), 453-456.
Frattolillo, A., G. Giovinco, M. Mascolo and A. Vitale. 2005, Effects of
hydrophobic treatment on thermophysical properties of lightweight
mortars, Experimental thermal and fluid science, 29(6), 733-741.
Gan, J.K.M., Fredlund, D.G., Rahardjo, H., 1988. Determination of the
shear strength parameters of an unsaturated soil using the direct
shear test. Canadian Geotechnical Journal 25(8), 500-510.
Goebel, M. O., S. K. Woche, J. Bachmann, A. Lamparter and W. R.
Fischer. 2007. Significance of wettability-induced changes in
microscopic water distribution for soil organic matter
decomposition. Soil Science Society of America Journal. 71(5),
1593-1599.
Kim, B.S., Shibuya, S., Park, S.W., Kato, S., 2010. Application of
suction stress for estimating unsaturated shear strength of soils
using direct shear testing under low confining pressure. Canadian
Geotechnical Journal 47(9), 955-970.
Kim, D.H., Kim, Y.J., Lee, J.-S., Yun, T.S., 2010. Thermal and
electrical response of unsaturated hydrophilic and hydrophobic
granular materials. Geotechnical Testing Journal 34(5),562-570.
Nguyen, B.-L., Johannes, J., and Slob, E. C., 1999, Effects of
Wettability on Dielectric Properties of Porous Media. SPE Annual
Technical Conference and Exhibition, Oct 3-6 1999, Houston, TX,
SPE, Richardson, TX.
Rodriguez, E. and G. Newaz. 1988. The effect of sand surface treatment
on sandfilled composites. Polymer Composites. 9(1), 93-102.
The strength change characteristics of weathering soil due to repeat freezingthawing and drying-wetting
Les caractristiques de changement de rsistance du sol aux intempries suite aux repetitions
de la conglation-dconglation et du schage-amortissement
Kim Y.S., Seong J.H.
Korea Infrastructure Safety and Technology Corporation, Republic of Korea
Kim S.S.
The Land and Housing Institute, Republic of Korea
ABSTRACT: Most researches are concentrated on sedimentary soil, and focused on the mechanical behavior of weathered soil from
the viewpoint of sedimentary soil. Weathered soil shows great difference in engineering properties as the progression of weathering
including the properties of parent rock. In this study, repeated freezing and thawing, drying and wetting test is conducted to recreate
the effect of moisture and temperature, which might be considered as important for occurrence and efficacy on weathering among
various factors in nature. In addition, to evaluate the strength changed by weathering degree, uniaxial test is conducted on sample with
repeated freezing/thawing and drying/wetting. The specific gravity of the sample with the drying and wetting repeated decreased
bigger than that with the freezing and thawing performed. In general, as the repetition number of freezing-thawing and drying-wetting
increase, the compression stress of each sample decreased by a similar ratio. Especially, the strength change in the beginning by the
repetition was significant. The uniaxial compression strength by the change of weathering degree decreases similarly for all the
samples, but the axial deformation rate increases as the repetition numbers of the freezing and thawing and the drying and wetting
increase.
RSUM : La plupart des recherches se concentrent sur les sols sdimentaires et mettent laccent sur le comportement mcanique des
sols altrs du point de vue du sol sdimentaire. Le sol soumis aux intempries montre une grande diffrence dans les proprits
mcaniques comme la progression de laltration dont les proprits de la roche mre. Dans cette tude, des tests de rptitions de
conglation et de dconglation, de schage et de mouillage sont effectus pour recrer leffet de lhumidit et de la temprature, ce
qui peut tre considr comme important pour lapparition et lefficacit sur laltration des diffrents facteurs dans la nature. En
outre, pour valuer la rsistance aux intempries change par degrs, lessai uniaxial est effectu sur un chantillon rpts de
conglation/ dconglation et schage/humidification. Le poids spcifique de l'chantillon avec l'humidification et de schage rpts
diminution plus importante que celle de la conglation et la dconglation effectue. En gnral, comme le nombre de rptitions de
gel-dgel et schage-mouillage augmente, la contrainte de compression de chaque chantillon a diminu dans une proportion
similaire. Surtout, le changement de la force au dbut de la rptition est important. La rsistance la compression uniaxiale par le
changement de degr intempries diminue de mme pour tous les chantillons, mais le taux de dformation axiale augmente mesure
que le nombre de rptition de la conglation et la dconglation et le schage et de mouillage augmentation.
KEYWORDS: strength change characteristics, weathering soil, freezing/thawing, drying/wetting
1
INTRODUCTION
For weathering soil different from general deposit soil, its

engineering properties sharply differ depending on the progress
of weathering along with the characteristics of parent rock,
which makes the study on this field difficult prior to an
engineering research. In order to grasp the engineering
properties of weathering soil, it is not enough to make a study
from the dynamic view but a comprehensive investigation
should be made from geological mineralogy, physics,
chemistry, and dynamics. Through this, it is necessary to
present how the properties of the soil from these views are
expressed as a dynamic property and used in an engineering
aspect.
Therefore, this study is to clarify the change of characteristics
of granitic weathering soil due to the changes of temperature
and water set by examining the existing studies on the effect of
weathering factors on granitic weathering soil and considering
the frequency and effect among the factors existing in the
natural world. And for this, we are to promote the weathering
artificially to express the weathering feature and weathering
degree caused by weathering progress exponentially and
consider correlations with the changes of soil's engineering
characteristics so that a useful result may be drawn to accurately
clarify the characteristics of granitic weathering soil in the
future.
365
WEATHERING CHANGE TEST
For the weathering occurring in the real natural environment,

various factors work together composite and the time scale of
weathering is big that the effect of specific weathering factors
on weathering and weathering acceleration are required in the
study on weathering of soil. Thus, a test that controls the
weathering speed and factors artificially by creating an extreme
environment is suggested and it is necessary to identify the
changes of soil's characteristics due to weathering in a
quantitative aspect.
The most important thing in the weathering change test is to
draw out the relation between testing environment and real
environment as well as the relation between the weathering
generated in the testing process and that in the real environment.
In this study, repetition tests of freezing and thawing as well
as drying and wetting are conducted in order to reproduce the
effect of temperature changes and water which are considered
important in the aspect of occurrence frequency and effect
among the various weathering factors existing in the natural
world.
2.1. Repeat Freezing and Thawing
In the past, strength decrease due to freezing and thawing is
thought to be caused by frozen gravitational water or absorption
water in the soil particles with a direct factor, but Aoyama and
Fukuda(1990) proved that it can be generated in the closed
system without water supply from under the ice layer.
In this study, Italian regulations that set the maximum and
minimum temperatures based on real weather, are considered
proper and applied to the test. In order to determine a proper
temperature range suitable for the domestic weather conditions,
the freezing and thawing temperatures are set based on the
comparison of 10 years' weather data on Seoul, Icheon,
Cheongju, Jeonju, Daegu, Milyang, Yeongju, Yeongwol,
Wonju, Jecheon, and Taebaek along with its resulting
temperature range of -21.1 to +26.5.
Therefore, the freezing and thawing temperatures to
reproduce real weather conditions are set at -20 and +20
respectively, and the temperature duration at 4 hours to carry
out a repetition test up to 200 times. For the water supply
method, a freezing-induced method by maintaining comparative
humidity rather than a flooding method is used, which is to
reproduce a general effect occurring under the temperature
condition below 0 not under special conditions such as rainfall
or underground water.
2.2. Repeat Drying and Wetting
To reproduce the weathering caused by weakened binding
power between the particles that compose soil when repeating
the flooding and drying process in pure water excluding the
effect of temperature, a drying and wetting repetition test was
conducted.
For fresh rock or high consolidation rock, deterioration due
to drying and wetting repetition does not occur significantly,
however weakening of binding power between the particles and
chemical weathering are promoted by the water permeated into
a gap in the earth and sand state. In other words, chemical
effects like reprecipitation of decomposed ions such as
dissolution, filteration, deformation and salification change the
characteristics of soil.
A method to copy rainfall is yet to be established that a total
flooding method is applied to make a continuous contact
between water and soil particles in this study. This is because
only the surface of the soil particles would be affected if a
periodic spraying method is applied.
STRENGTH CHANGE CHARACTERISTIC
3.1. Target Sample

The weathering soil sample to identify the strength change is
classified into igneous rock, metamorphic rock, and
sedimentary rock, and the soil underground has been collected
after removing about 1.0m surface layer to exclude the effect of
vegetation.
Table 1 shows the test codes by strength test for weathering
degree change cycle.
3.2. Physical Characteristic Change
Weathering soil is a type of soil with a very high crushability
compared to other types of deposit soil. Fig. 1 and Fig. 2 are
representative results performed to know the effect of particle
crushing caused by weathering progress.
As shown in the figures above, the grain-size distribution
curves move to the left when repeating the freezing and thawing
and the drying and wetting compared to that of the test
beginning state, which means soil particles become finer and
signifies that the distribution effect of weathering soil is very
big because of the weathering caused by temperature and water.
The previous studies shows that the granulation of quartz and
feldspar by the particle change take the most cases of the
granulation.
The increase in fine-grained soil due to the 190 time
repetition of freezing and thawing and the 180 time repetition of
drying and wetting are compared with each other and shown in
Table 1. The report of Kim(2002) also pointed out that the
shape and feature of the surface among basic structural
characteristics have a huge impact on the physical and dynamic
features of soil, and among many factors for the change of
particle shape, the initial grain diameter, mineral composition of
particles, and features for weathering work as important factors
and the characteristics change according to the weathering
progress.
Table 1. Classification of strength test and test codes

Artificial Weathering
Conditions
Freezing
Thawing
(F)
Estimated
Parent Rock
Sample
Type
Igneous rock
(G)
Sedimentary rock
(S)
Metamorphic Rock
(M)
Igneous rock
(G)
Drying
Weting
(D)
Sedimentary rock
(S)
Metamorphic rock
(M)
Classification
Code
Cycle
Times
Direct shear Test

Condition
Seoul
FGS
Yuseong
FGY
0
10
25
40
60
80
100
120
150
190
- initial
condition
0.95Ydmax
Jeonju
FGJ
Cheongdo
FSC
Goryeong
FSG
Gwangju
FSK
Sabuk
FMS
Mungyeong
FMM
Seoul
DGS
Yuseong
DGY
Jeonju
DGJ
Cheongdo
DSC
Goryeong
DSG
Gwangju
DSK
Sabuk
DMS
Mungyeong
DMM
After checking the change of water content by weight during

drying through a preparatory experiment, it turned out to have
deteriorated below the optimum level in about 24 hours, so the
repetition test of drying and wetting in this study has been
performed with 24-hour cycle.
366
0
10
40
60
100
150
180
-vertical
Stress
(kg/cm2)
0.35
0.69
1.04
1.39
-shear speed
0.5mm/min
-test code
(S)
Uniaxial Compression Test

Condition
- initial
condition
0.95Ydmax
-deformation
Speed
0.1%/min
-test code
(U)
(a) Igneous rock
(a) Igneous rock
(b) Sedimentary rock
(b) Sedimentary rock
(c) Metamorphic rock
(c) Metamorphic rock
Figure 1. Grain-size distribution change caused by freezing and thawing

repetition
Figure 2. Grain-size distribution change caused by drying and wetting

repetition
Table 2. Increase of fine grain by the change of weathering degree (unit
: %)
Division
Seoul
Jeonju
Cheongdo
Goryeong
Gwangju
Sabuk
Freezing/
thawing
1.6
1.7
2.5
2.8
2.5
3.5
Drying/
wetting
3.2
5.9
3.3
4.6
1.6
0.8
Figure 3. Change of Specific

Gravity by Freezing and Thawing
Repetition
The previous studies suggest that among primary minerals in

weathering soil, especially feldspar and mica change selectively
as weathering proceeds that it is possible to apply them as an
index for weathering degree when distinguishing these
components and measuring their specific gravities(Matsuo,
1979). This study is intended to measure the outward specific
gravities and understand the changes according to the
weathering progress.
First of all, after testing the samples with the freezing and
thawing and the drying and wetting repeated 0, 40, and 190(180
for drying and wetting) times respectively according to KSF
2308, it turned out that the specific gravity soil particles
decreases as the number of repetitions increases.
Figure 3 shows the change of specific gravity by the freezing
and thawing repetition, signifying the specific gravity change
appears high in the beginning of the repetition. Comparing the
specific gravities in the beginning by parent rocks, it shows that
metamorphic rock has the biggest one followed by sedimentary
rock, and igneous rock has the lowest one, but for the
decreasing specific gravity from the result of the weathering
change test, it shows that sedimentary rock and metamorphic
rock have a similar change while igneous rock has a
comparatively smaller change.
Next, the change of specific gravity by the drying and
wetting repetition are divided by parent rocks and shown in
Figure 4, which indicates that the change of specific gravity
decreases as the number of repetitions increases just like the
freezing and thawing repetition, and the change in the beginning
of the repetition appears great.
However, when comparing the decreasing specific gravities
from the result of the weathering change test, igneous rock takes
the highest one followed by metamorphic rock, and sedimentary
rock takes the lowest one, which is different from the freezing
and thawing case. Therefore, with the effect factors of
weathering that causes the change of specific gravity, it is
judged that the weathering by water has a more dominant effect
on the change of specific gravity than that by temperature
change.
367
Figure 4. Change of Specific

Gravity by Drying and Wetting
Repetition
Nevertheless, the real specific gravity of weathering soil

changes very little, but feldspar and mica are changed
selectively by the weathering that it is acknowledged that a
comprehensive change trend should be traced after measuring
the specific gravities of feldspar and mica.
3.3. Strength Characteristic Change
Figure 5 and Figure 6 are the result of an uniaxial
compression test after thawing and drying so as to know the
progress of strength changes due to the changes in the numbers
of the freezing and thawing and the drying and wetting. In
general, as the repetition number of freezing and thawing
increased, the compression stress of each sample decreased by a
similar ratio. The initial stress of each sample appeared different
while the compression stress during the 190 time repetitions has
a little difference.
In other words, the strength change in the beginning by the
freezing and thawing is significant, which is similar to the study
result that Yong et al.(1985) reported the strength decrease by
the first repetition is the biggest. Compared with igneous rock,
sedimentary rock and metamorphic rock shows a bigger
strength decrease by the freezing and thawing repetition.
For the drying and wetting repetition, the strength by the
increase of repetition number continued to decrease with a
bigger change in the beginning than the overall decreasing
tendency. The uniaxial compression strength by the change of
weathering degree decreases similarly for all the samples, but
the axial deformation rate increases as the repetition numbers of
the freezing and thawing and the drying and wetting increase.
In other words, the softening of deformation rate appears in
the initial result of the compression test, while the hardening of
deformation rate becomes vivid as the repetition numbers of the
freezing and thawing and the drying and wetting.
The reason why the strength decreases as the repetition
number of the freezing and thawing increases, is not that the
strength rovers completely due to thawing but it turns to the
state with a certain degree of strength decrease and back to the
freezing state weakening its strength gradually. In addition, the

strength decrease by the drying and wetting repetition is caused
by the weakened binding power between soil particles.
(a) Seoul
(a) Seoul
(b) Chenongdo
(b) Cheongdo
(c) Sabuk
Figure 5. Uniaxial Compression

Test Result of Freezing and
Thawing Test Conditions
(c) Sabuk
Figure 6. Uniaxial Compression

Test Result of Drying and
Wetting Test Conditions
The soil particles in the strength recovery and expansion area

of the soil in a dense state are oriented to show the maximum
contact area perpendicular to the maximum main stress
direction, so the expansion motion in a dense state is bigger than
that in a loose state and with a bigger initial tangent modulus.
Negative pressure in the freezing and thawing boundary is
the function of the gap size and on this point. the decrease of
gap water pressure increased the effective stress. At this point, if
a freezing starts, an ice nucleation is formed and a Cluster in
between soil particles and water is discharged from the Cluster
that the compression of the soil in the cluster is promoted by the
increased effective stress and dehydration. Once the thawing
starts, the cluster turns into a over consolidated state than the
original soil through the process of re-absorption as a thawing
water, leading to a collapse and weakening(Choi, 1996). From
this, we can learn that some structural change may have
occurred in the soil particles due to the freezing and thawing,
and that it is similar to the study result by Kim(2002) that for
the solid affected by the freezing and thawing, soil structure and
physical and chemical properties change without increases of
water content by weight.
CONCLUSIONS
For the characteristics of weathering soil, there should

always be limits to a minute access because of the particularity
of motion due to various weathering environment, weathering
degree and effect factors. Especially, the domestic and overseas
studies are focused on deposit soil and tend to analyze dynamic
motion of weathering soil from the aspect of deposit soil that it
is difficult to judge whether these results correspond to the real
368
motion of the weathering soil. Therefore, this study is to clarify

the characteristic change of igneous weathering soil by the
changes of temperature and water.
The strength change characteristics are identified by
promoting the weathering artificially through the freezing and
thawing and the drying and wetting processes.
After examining the effect of particle crushing by the
progress of weathering, it is identified that the particles become
finer through the freezing and thawing and the drying and
wetting processes. It is understood that the granulation by water
and temperature is caused by the granulation of quartz and
feldspar due to the change of grain sizes.
By measuring the outward specific gravity and examining
the change by weathering progress, it is understood that the
specific gravity of soil particles decreases as the repetition
numbers of the freezing and thawing and the drying and wetting
increase. The change of specific gravity appeared big in the
beginning of the repetition and decreasing as its number
increases. The specific gravity of the sample with the drying
and wetting repeated decreased bigger than that with the
freezing and thawing performed.
And when judging the effect factors of the weathering that
causes the change of specific gravity, it is judged that the
weathering by water rather than that by temperature has more
dominant effect on the specific gravity change.
In general, as the repetition number of freezing and thawing
increased, the compression stress of each sample decreased by a
similar ratio. Especially, the strength change in the beginning by
the freezing and thawing was significant.
However, the initial stress of each sample appeared different
while the compression stress during the 190 time repetitions has
a little difference. For the drying and wetting repetition, the
strength by the increase of repetition number continued to
decrease with a bigger change in the beginning than the overall
decreasing tendency. The uniaxial compression strength by the
change of weathering degree decreases similarly for all the
samples, but the axial deformation rate increases as the
repetition numbers of the freezing and thawing and the drying
and wetting increase.
It is very difficult to draw out the relation between testing
environment and real environment as well as the relation
between the weathering generated in the testing process and that
in the real environment, and to identify this fact from the mere
study result, so it is judged that a stored data and analysis for
various soil qualities would enable a quantitative distinction in
the weathering stage.
REFERENCES
Aoyama, K., and Fucuda, M. 1990. Stress-Deformation characteristics

of a soil after freezing and thawing. Proceedings of the ninth
Danube-European conference on soil Mechanics and Foundation
Engineering. Budapest. October. 2-5. pp. 393-403
Matsuo, S., /Nisida, K. and Sasaki, S. 1979. Physical properties of
weathered Granite soil paticles and their effect on permeability.
soils and foundations. Japanese Society of soil Mechanics and
foundation engineering. vol. 19, No.1, pp.13-22
S.Y. Choi. 1996. A study on the characteristics of the physical and
engineering properties of weathered soil of freezing and thawing.
Master Thesis, Kang-Won National Univ.
Yong, R. N., Boonsinsuk, P., and Yin, C. W. P. 1985. Alteration of soil
behavior after cycle freezing and thawing. The 4th International
Symposium on Ground Freezing. August. pp.187-195
Y.S. Kim. 2002. Development of the method to determine the
weathering degree of decomposed granites soil for the evaluation of
the engineering properties. Ph.D Thesis. Chung-Ang Univ.
th
Soil structure in gravel-mixed sand specimen and its influence on mechanical

behavior
Structure du sol des chantillons de sable avec gravier et son influence sur le comportement
mcanique
Kodaka T., Cui Y., Mori S., Kanematsu Y.
Meijo University
Lee K.-T.
CTI Engineering
ABSTRACT: Soil parameters are very important to conducting stability inspections of earth structures, e.g., river levees. However,
the results of triaxial tests using reconstituted sand specimens change easily depending on the specimen preparation method. In the
present paper, a series of conventional undrained triaxial tests is performed using specimens with the same void ratio, but different
initial water contents. Even though the specimens are fully saturated before the consolidation process, the shear behavior varies
remarkably with the different initial water contents. It is first assumed that the initial suction in the soil sample during the specimen
preparation may produce various soil structures. Next, a numerical simulation by the SYS Cam-clay model is carried out to confirm
this assumption. It is seen that the numerical simulation can reproduce the various types of experimental shear behaviors of the gravelmixed sand derived from the different soil structures.
RSUM : Les paramtres du sol sont trs importants pour effectuer le contrle de stabilit des structures en terre (ex : digue).
Cependant, les rsultats des essais triaxiaux utilisant des chantillons de sable reconstitus changent facilement en fonction de la
mthode de prparation de ces chantillons. Dans cet article, une srie dessais triaxiaux non drains conventionnels sont raliss en
utilisant des chantillons de mme indice des vides mais avec une diffrente teneur initiale en eau. Bien que les chantillons aient t
compltement saturs avant la phase de consolidation, le comportement des cisaillements change en fonction de la teneur en eau
initiale. On peut supposer que la succion initiale lors de la prparation de lchantillon peut induire des structures de sol diffrentes.
Ensuite, une simulation numrique par modle de SYS Cam-Clay est ralise pour confirmer cette hypothse. La simulation
numrique peut reproduire les diffrents comportements en cisaillement des chantillons de sable avec gravier drivs de diffrentes
structures de sols.
KEYWORDS: soil structure, gravel-mixed sand, strengh coefficient, triaxial test, numerical simulation, river levee.
INTRODUCTION
Soil parameters, e.g., strength coefficients c and , are very

important to the design and the inspection of earth structures.
However, practicing engineers do not necessarily note the
reliability of the soil parameters. In the stability inspections of
river levees consisting of gravel-mixed soils, the required soil
parameters have to be obtained through laboratory triaxial tests
using specimens reconstituted with mechanically stabilized soil
and without large-sized gravel. In such cases, the test results
change easily depending on the specimen preparation methods,
even when the specimens are reconstituted to have the same
common void ratio. In practice, however, there are no rules
regarding the specimen preparation methods. The first aim of
the present paper is to show the difference in the results
obtained by triaxial tests using specimens of reconstituted
gravel-mixed sand. Dry and wet soil samples, with various
water contents, were tamped in steel molds to the prescribed
degree of compaction. Specimens with the same void ratio, but
different initial water contents, are prepared. These specimens
are then fully saturated to conduct conventional triaxial tests
under undrained conditions. Ishihara (1993) showed that each
type of undrained shear behavior of the Toyoura sand
specimens, made by various specimen preparation methods, is
different from the others. In his study, the void ratios of all the
specimens are different due to the initial structure of the sand
particles. However, since the specimens in this study are
reconstituted using well-graded natural gravel-mixed sand, it is
possible for the initial void ratios of all the specimens to be the
same. This point is quite different from the results of Ishiharas
experiment.
3691
A series of the triaxial tests is performed using the

specimens, with three degrees of compaction and five initial
water contents for each degree of compaction. The shear
behavior, including both stress-strain and dilatancy relations, is
seen to vary remarkably with the different initial water contents.
The authors assume that the soil structure in the specimen
causes this difference in shear behavior. Namely, the initial
suction in the soil sample during the specimen preparation may
produce the various soil structures. The second aim of this paper
is to confirm the assumption using a numerical simulation by
the SYS Cam-clay model (Asaoka et al. 2002).
2
TEST PROCEDURE
Figure 1 shows the grain size distributions of the gravel-mixed

sand samples. The natural soil was taken from a real river levee.
Mechanically stabilized soil is used in this study, which
involved the removing of over 9.5mm gravels from the natural
soil.
9.5mm
100
Mechanically
80 stabilized soil
60
Natural soil
40
20
0
0.1
1
10
100
Grain size(mm)
Precentage by mass
passing(%)
Figure 1. Grain size distributions of gravel-mixed sand used for this

study.
th
q (kPa)
80
60
40
400
150
q (kPa)
100
500
200
q (kPa)
Initial water content

14%
10%
5%
3%
0%
120
100
50
8 10 12 14 16
(%)
200
100
20
0
300
8 10 12 14 16
(%)
8 10 12 14 16
(%)
(c) D=90%
(b) D=85%
(a) D=80%
Figure 2. Deviator stress axial strain relations of gravel-mixed sand with various initial water contents.
500
200
120
100
400
150
60
40
q (kPa)
q (kPa)
q (kPa)
80
100
50
20
40
60 80 100 120
p' (kPa)

14%
10%
5%
3%
0%
200
100
20
0
300
50
(a) D=80%
100
150
p' (kPa)
(b) D=85%
200
100
200 300
p' (kPa)
400
500
(c) D=90%
Figure 3. Effective stress paths of gravel-mixed sand with various initial water contents.
The specimens are 5cm in diameter and 10cm in height.

The maximum dry density and the optimum water content of
the mechanically stabilized soil were 2.0g/cm3 and 10.5%,
respectively. Three degrees of compaction are adopted, i.e., D =
80, 85 and 90%, in which the dry densities are 1.6, 1.7 and
1.8g/cm3. The test sample was mixed well by adding water to be
the prescribed initial water contents. Then, the moisturecontrolled sample was compacted to reconstitute it to the
prescribed degree of compaction. The compaction was carried
out by dividing the sample into five layers to make
homogeneous specimens. In this study, initial water content
denotes the water content of the sample during the specimen
preparation. All the specimens in this test were fully saturated,
i.e., a B value of over 0.95, after setting them in a triaxial
chamber by the double-vacuum method. Therefore, the effects
of suction in the specimens are negligible in the evaluation of
the test results.
In all the test cases, an isotropic consolidation was
performed by applying an effective confining pressure of
100kPa, and then an undrained shear was conducted using the
loading speed of 0.1%/min.
3
TEST RESULTS
Figures 2 and 3 illustrate the stress-strain relations and the

effective stress paths, respectively. For each degree of
compaction, strain-softening behavior can be observed in the
cases of high initial water content. On the other hand, only the
strain-hardening behavior can be seen in the cases of low initial
water content. In particular, this tendency is very clear in the
case of the degree of compaction of D=85%. The specimens
with 10% and 14% initial water contents show remarkable
elastic characteristics in the early loading stage, i.e., large shear
rigidity and p=constant behavior. Then, significant strain
softening, accompanied by plastic volumetric compression,
occurs.
Photos 1 and 2 show views of the reconstituted specimens
with initial water contents of 10% and 0%, respectively. An
overview of the specimen and a surface image observed by a
370
Photo 1. Overview of the specimen (left) and a surface image observed

by a microscope (right) for initial water content 10%.
Photo 2 Overview of the specimen (left) and a surface image observed

by a microscope (right) for initial water content 0%.
microscope are exhibited in each case. The degree of

compaction for both specimens is D=90%. From the overviews,
the specimen with the 10% initial water content looks
homogeneous. On the other hand, the specimen with the 0%
initial water content looks uneven. In other words, there are two
areas which containing rich coarse particles or rich fine particles.
From the enlarged surface images, many fine particles sticking
to coarse particles can be observed in the specimen with the
10% initial water content. Since relatively high suction existed
in the specimen with 10% initial water content during the
specimen preparation, the fine particles must be uniformly
distributed around the coarse particles. This distribution may
cause a highly structured soil skeleton. In the case of the initial
water content of 0%, since dry particles without suction were
used for the specimen preparation, the classification of coarse
and fine particles may have occurred during the compaction.

th
Figure 4 illustrates the simulation results with the values

of the parameters for the soil structure used in each case. In this
analysis, the initial values for the degree of soil structure 1/R0*,
initial overconsolidation ratio 1/R0 and soil structure
degradation parameter a are defined as variables in order to
explain the various complicated types of behavior of the
structured soil. From the triaxial test results, it is assumed in this
study that higher soil structures are generated in the specimens
with higher initial water contents. Therefore, a higher the initial
value for the degree of soil structure 1/R0* is set in the case of a
higher initial water content. Furthermore, a smaller a value is
adopted in that case, since the high soil structure may not be
easily deteriorated due to shearing. Thus, parameter a expresses
the rate of degradation of the soil structure and the larger value
for a describes faster degradation of the soil structure. The other
parameters used in this study, i.e., elasto-plastic parameters,
evolution law parameters and initial conditions, are in common
and are listed in Table 1. Since 1/R0*and 1/R0 are dependent on
each other, when 1/R0* is set first, 1/R0 is automatically
determined from the values of an initial specific volume v0 and
The specimens with the 10% and 14% initial water

contents, and a high soil structure, exhibit relatively rigid elastic
behavior at the early stage of loading and show brittle behavior
at the following stage. Plastic behavior can be observed from
the early stage for the specimens with the 0% and 3% initial
water contents without a high soil structure.
4 . SIMULATION BY SYS CAM-CLAY MODEL
It can be assumed that the difference in the test results due to
the initial water contents is caused by the soil structures that
form in the specimens during the specimen preparation. In this
study, a numerical simulation is performed to confirm this
assumption using the superloading and subloading Cam-clay
model named SYS Cam-clay model (Asaoka et al. 2002), which
can describe the effects of the soil structure. The SYS Cam-clay
model incorporates the concepts of the soil stucture, overconsolidation and anisotropy into the modified Cam-clay model.
In e SYS Cam-clay model, the soil structure is assumed to
deteriorate with an increasing the plastic shear strain.
200
100
100
10
s (%)
15 0
100
p' (kPa)
0
0
200
10
s (%)
15 0
100
p' (kPa)
10
s (%)
15 0
100
p' (kPa)
10
15 0
100
p' (kPa)
q (kPa)
15 0
q (kPa)
100
0
0
200
300
200
10
s (%)
15 0
100
10
s (%)
15 0
100
p' (kPa)
Initial water content 14%

(a) D = 80%
0
0
200
1/R0*=22.0
1/R0 =108.5
a =1.0
5
200
10
s (%)
15 0
100 200 300
p' (kPa)

500
1/R0*=18.
0
1/R0
=41.7
a =1.0
300
400
300
1/R0*=12.0
1/R0 =62.9
a =0.3
200
100
5
p' (kPa)
200
p' (kPa)
400
0
0
100 200 300
300
100
200
100
15 0
400
1/R0*=23.0
1/R0 =51.1
a =2.6
q (kPa)
1/R0*=18.0
1/R0 =18.4
a =1.5
10
s (%)
500
Triaxial
test
triaxial test
Simulation
simulation
500
p' (kPa)
1/R0*=12.0
1/R0 =62.9
a =2.0
p' (kPa)
q (kPa)
q (kPa)
10
s (%)
200
0
0
100 200 300
100
300
200
15 0
200
100
s (%)
10
s (%)
300
400
1/R0*=13.0
1/R 0=32.0
a =2.7
q (kPa)
0
0
200
100
0
0
100
p' (kPa)
q (kPa)
0
0
200
1/R0*=24.0
1/R0 =22.1
a =2.7
200
400
15 0
200
400
0
0
10
s (%)

Triaxial
test
triaxial
test
Triaxial
test
Simulation
simulation
Simulation
1/R0*=1.7
1/R0 =14.9
a =10
1/R0*=14.0
1/R 0=15.7
a =2.8
100 200 300
p' (kPa)
q (kPa)
q (kPa)
q (kPa)
0
0
200
15 0
100
100
10
s (%)
200
300
Triaxial
test
triaxial test
Simulation
simulation
100
100
300
0
0
200
300
200
300
0
0
100
p' (kPa)
1/R0*=2.4
1/R0 =10.9
a =15
200
15 0
300
1/R0*=2.8
1/R0 =6.8
a =17
100
0
0
10
s (%)
300
Triaxial
test
Triaxial
test
triaxial test
Simulation
Simulation
simulation
1/R0*=1.1
1/R0 =11.9
a =10
100
200
200
q (kPa)
0
0
300
1/R0*=2.0
1/R0 =10.0
a =16
q (kPa)
1/R0*=2.6
1/R0 =6.5
a =18
q (kPa)
200
300
triaxial test
Triaxial
test
simulation
Simulation
q (kPa)
q (kPa)
300
100
5
10
s (%)
15 0
100
p' (kPa)

(b) D = 85%
200
0
0
10
s (%)
15 0
100 200 300
p' (kPa)

(c) D = 90%
Figure 4. Numerically simulated stress- strain relations and effective stress paths with various initial water contents.
371
th
10
5
0
0
s (%)
10
25
25
20
20
15
15
15
1/R
1/R
20

0%
3%
5%
10%
14%
1/R
25
10
10
0
0
15
(a) D = 80%
s (%)
10
15
0
0
(b) D = 85%
s (%)
10
15
(c) D = 90%
Figure 5. Degradation of degree of soil structure with increasing shear strain.
means the disappearance of the soil structure. Since 1/R0* and a

are assumed in this analysis, the 1/R* and s relations are kinds
of installed functions, as shown in Figure 5. Using these
relations dor the soil structure, the triaxial test results can be
simulated well.
Table 1. Soil parameters used in the numerical simulation.

Elasto-plastic parameters
Compression index
Swelling index ~
0.100
Critical state constant M

Intersect of NCL N
(v at q=0, p=98.1kPa)
1.46
1.570
Poissons ratio v
0.300
0.011
5. SUMMARY
Evolution parameters
Degradation parameter of
see Fig.5
soil structure a (b=c=1.0)

Degradation parameter of
0.030
overconsolidated state m
Evolution parameter of br
1.00
Limit of rotation mb
0.001
Initial conditions
Initial specific ratio v0=1+e0
1.637 (D=80%)
1.536 (D=85%)
1.457 (D=90%)
Initial degree of structure 1/R0*
see Fig.5
Initial overconsolidation ratio 1/R0

Initial anisotropy
2 / 3( 0 0 )
see Fig.5
Initial mean effective stress p0
9.80 (kPa)
0.01
an intercept of normal consolidation line N. Although soil

structure degradation parameters a, b and c are material
coefficients, b=c=1.0 is adopted in this analysis for simplicity.
The values for initial specific volumes v0 are determined as the
representative values from the specimens
with a 10% initial
~
water content. Compression index is obtained from the
oedometer tests, while critical state constant M and swelling
index ~ are determined from the typical triaxial test results.
In each simulation, the initial effective stress p0 is 9.8kPa
and the isotropic consolidation is 100kPa; then the following
undrained shearing is numerically performed.
In general, the simulation explains the triaxial test results
well. Namely, basic parameters are used in common for all
cases. Only the parameters for the soil structure are changed in
order to reasonably explain the effects of the initial water
content and the degree of compaction on the shear behavior.
Therefore, the assumption that the initial water content of the
specimen leads to generation of a high soil structure is
considered to be valid.
Figure 5 illustrates the history of 1/R*, which describes
how the soil structure deteriorates with an increasing the shear
strain s. In all the analytical cases, the degrees of soil structure
1/R* gradually decrease and come closer to 1.0. Here, 1/R*=1.0
372
When performing triaxial tests using specimens consisting of

reconstructed gravel-mixed sand, the initial water content of the
sample during the specimen preparation greatly influences the
results of the tests. Various degrees of soil structures were
generated with various values of sample suction in the specimen
preparation. Although the specimens were fully saturated before
the tests, the soil structure generated by the compaction under
unsaturated conditions was probably maintained during the
triaxial tests.
The numerical simulation conducted in this study with the
SYS Cam-clay model, which can describe the effects of the soil
structure on the mechanical characteristics of soils, has verified
the reason for the difference in the shear behavior of the gravelmixed sand due to the difference in the initial water contents.
By increasing the initial water content until the optimum water
content is reached, a higher soil structure seems to be generated
in the specimen. On the other hand, the specimen reconstituted
by the lower initial water content sample has a lower soil
structure and easily loses it. By incorporating the abovementioned concept, the complicated test results for the relation
between the soil structure and the initial water content can be
explained well.
In practice, when the triaxial tests are performed using
reconstituted sand specimens, a dry deposition method is
usually adopted for the specimen preparation for convenience.
However, it is difficult to generate the soil structure in the
specimen with dry sand. Therefore, the triaxial test results using
reconstituted specimens, made by the dry deposition method,
may not express the real behavior of earth structures.
6
ACKNOWLEDGEMENTS
The authors would like to express their sincere thanks to Dr.

Noda, a professor at Nagoya University, for his useful advice on
the numerical simulation performed in this study.
7
REFERENCES
Ishihara K. 1993. Liquefaction and Flow Failure during Earthquakes,

Gotechnique, 43 (3), 351-451.
Asaoka A., Noda T., Yamada E., Kaneda K. and Nakano M. 2002 An
elasto-plastic description of two distinct volume change
mechanisms of soils, Soils and Foundations, 42 (5), 47-57
The expansive properties of Polands clay subsoil

Proprits de l'argile expansive de substrat de la Pologne
Kumor M. K.
Geotechnical Department, University of Technology and Life Sciences, Bydgoszcz, Poland
ABSTRACT: The paper presents the expansive properties of Neogen clays of the Pozna series that form the foundation stratum of
Northern Poland. The phases of swelling and shrinkage of expansive clays were analysed as a function of humidity changes.
Functional relationships were determined. Expansive clays of Northern Poland are classified as soils of a very high degree of
expansiveness due to the contractibility range (LL SL) = 82.1% > 50 %. In the natural condition, they are half-compact or, at most,
rigid-flexible. The examination results of volumetric changes in clays in shrinkage and swelling phases make it possible to determine
the range of dislocations of the foundation-expansive substratum contact zone at a free swelling or shrinkage.
RSUM : Larticle prsente les proprits dexpansion des argiles du Nogne de la srie Pozna qui constituent la couche de
fondation du nord de la Pologne. Les phases dexpansion et de contraction de ces argiles ont t analyses comme une fonction des
changements dhumidit. Des relations fonctionnelles ont t dfinies. Ces argiles expansives du nord de la Pologne sont classes
comme des sols possdant un grand degr dexpansivit en raison de l`tendue de leur contractilit (LL - SL) = 82,1 % > 50 %. A
ltat naturel ils sont semi-compacts ou tout au plus rigide-flexibles. Lèxamen des rsultats des variations volumtriques des argiles
pendant les phases dèxpansion et de contraction permet de dterminer lventail des dislocations de la zone de contact
foundation/sous-couche expansive lorsquèxpansion ou contraction sont libres de toute contrainte.
KEYWORDS: expansive clays of Poland, expansive parameters, swelling, shrinkage.
1. INTRODUCTION
The notion of soil expansiveness in geotechnics is usually
related to a definition of swelling, Chen (1988). As is well
known, soil expansiveness encompasses the more general
phenomena of swelling and shrinkage, Przystaski (1991).
Shrinkage is a process of reducing soil volume as a
consequence of pore water loss; it is a characteristic property
of cohesive soils with significant content of clay-like fraction.
The swelling of cohesive soils is a process which is opposite
to shrinkage.
From a practical point of view, expansive soils are soils that
show an increase in the initial volume in contact with water and
shrink as a result of drying. A characteristic feature here is
differentiated phases of shrinkage and swelling that always
accompany changes in humidity.
In the literature relating to classification of expansive soils, e.g.
Chen (1988), Seed et al. (1962), Sorochan (1974), van der
Merwe (1964) and others, attention is chiefly paid to the
swelling process. In the classifications, the following indicative
features are used in the first place: liquid limit LL,
contractility limit SL, plasticity index Ip = (LL PL) , soil
humidity index wo, specific surface S.
In practice, there are few clay expansiveness classifications
that introduce shrinkage parameters as classification criteria,
e.g. Holtz (1959), Rangantham and Satanarayana (1965),
Niedzielski (1993). In Polish soils the expansiveness
classification developed by Niedzielski, the so called
contractility range (LL SL) (%) was introduced to characterise
shrinkage. Four expansiveness stages were distinguished on the
basis of the range:
very high (LL SL) > 50 %,
high 35 < (LL SL) < 50,
medium 20 < (LL SL) < 35,
low (LL SL) < 20.
From an engineering point of view, the occurrence of the
substratum shrinkage phase after the swelling phase is the most
373
dangerous for constructions. Shrinkage brings about a postconsolidation settlement of expansive clays which in Polands
geotechnical conditions are the principal cause of nearly all
construction failures, see Figure 1.
43 cm
Figure 1. An example of a construction failure resulting from the

swelling-shrinkage cycles.
2. EXPANSIVE CLAY CHARACTERISTICS

The building substratum surface zone in Central European
conditions is exposed to specific factors, e.g. those related to
climate, atmosphere, anthropopressure, etc. Highly dispergated
clays with expansive properties are particularly sensitive to the
impact of these factors. Expansive clays, typical to nearly half
of Polands territory, are represented by tertiary deposits of the
Pozna series.
They form the substratum in the area of the Polish Lowland,

see Figure 2.
Poland
index 18 % higher was obtained as the temperature rose from

+20 to +55o C.
Expansive clays of Northern Poland can be classified as
very highly expansive due to the contractibility range
(LL SL) = 82.1% > 50%. Characteristic features of an
expansive substratum in the natural condition are high cohesion
(strength) and low compressibility.
In the general opinion, these are soils with favourable
geotechnical properties, basically half-compact or, at most,
rigid-flexible. In real geological conditions, there are always
differentiated, genetic zones of irrigated or dried soils. These
problems naturally impede the execution of foundation works.
The photograph shows a spatial open excavation where clays
simultaneously dried in local zones and irrigated in others have
been found, see Figure 3.
Figure 2. Occurrence of expansive soils in Poland.
Clays are characterised by a high variability of graining and

mineralogical composition. The mineral with strong expansive
properties, i.e. beidelite, montmorillonite prevails in the
mineralogical composition. The contents of clayey minerals are
as follows:
- smectite: 11 % to 23 %, with the exchangeable ion Ca, Na,
- illite: 5 % to 9 %,
- kaolinite: 6% to 11 %,
- other minerals, chlorite, silica.
The thickness of the Pozna series usually does not
exceed 20 m in Poland.
In Poland, the areas of occurrence of tertiary clays of the
Pozna series are characterised by a slight overlayer of
quaternary formations over the Cenozoic, Kumor (1993). From
above, usually a thin (0 to 1.4 m) layer of new deposits occurs
that covers the basic complex of Neogene formations. The
Neogene has been exposed mainly along erosive river valleys of
the Vistula, the Odra, the Brda, the Drwca and the Warty. It is
developed in the form of Mio-Pliocene mottled clay (Pozna
series clays), locally washed away and broken.
1.1
Figure 3. The view of the typical system of clays in the gout of the
large building excavation with extremely diverse proprieties,
simultaneous drying - the nearer zone, and irrigating - the background.
An example of destruction of expansive clay in the

excavation bottom is the situation when under the influence of
natural drying, a macro-disintegration of the clay massif is
initially noticed, then a volumetric shrinkage and a further
granular disintegration of the massif leading to the occurrence
of breccia, see Figure 3, 4 and 5.
Expansive clay properties
The clays of the Pozna series are characterised by

expansive properties that are atypical in comparison with other
genetic clays of Polands region, Kumor (2006), Niedzielski
(1993). Below, expansive indices values as typical for the
Pozna series in Poland are presented (see Table 1).
50 mm
Table 1. Same parameters of Polish expansive clays.

Parameter
Max.
Medium
Swelling time tp (h)
>340
24 - 36
Swelling pressure pc (kPa)
1200
200-400
Shrinkage v o [%]
44.1
32-34
Swelling humidity wc[%]
137.0
80-99
Liquid limit LL [%]
148.5
82.1
Swelling index vp [%]
62.0
21.7
Figure 4. The granular disintegration of dry clay in natural conditions,

after 24 hours.
The expansive indices of clays are not constant, they depend

on temperature and increase as temperature rises, e.g. a swelling
374
It follows from the presented photograph that the process of

clay drying (shrinkage) is characterised by a volumetric
shrinkage and the occurrence of a breccia structure with
numerous separated grains and deep shrinkage fissures. One of
geotechnically undesirable effects is a locally differentiated
rigidness and deformability of such substratum. By monitoring
the foundation settlement (upon uniform loading), differences
ranging from s = 0.0 mm (a dried zone) to s = 30.0 mm in
humidified clay zones, see Figure 3.
The volume loss Vs for the shrinkage phase of the

expansive clay in the Northern Poland can be determined by
means of see Eq. 2:
Vs = 0,783 * (wo wk) at wk > SL
(2)
where:
w0 initial humidity, [%]

wk final humidity [%].
From a practical point of view, it is important to learn the

volumetric shrinkage values. The form of the function between
relative volumetric shrinkage (Vs) and humidity is linear for
expansive clay, with statistical significance R2 = 0.9545:
Vs = -3,5731 + 0,783 * w
(3)
50 mm
where:
Vs relative volumetric shrinkage [%],
w humidity, > ws [%].
Figure 5. The natural process of clay drying after exposure of the

excavation's bottom, (after 2 hours) the superficial macrodisintegration
fully developed.
Detailed examination of the shrinkage and swelling phases

of expansive clays, as presented in this paper, were conducted
from the constructional substratum of the city of Bydgoszcz
situated in the northern region of Poland, (Niedzielski, Kumor
2009).
Expansive clays are characterised by extremely high numerical
values of expansive parameters against a background of other
tertiary clays in Poland. They should be classified in respect to
the contractibility range (LL SL) = 82.1% > 50 %, as very
highly expansive soils.
In the process of drying and with humidity lowered by the

value of w = (wo wk), the volume of the relative volumetric
shrinkage is important for forecasting post-consolidation
settlements of newly erected buildings, as well as for preventing
failures in buildings used for many years. It follows from
observations Kumor (2006), that differences in actual shrinkage
settlements under a damaged building amount to tens of
millimetres, Figure 1.
The parameters describing the shrinkage process, as well as
swelling, are individual material features of each expansive
soils.
1.2
1.3
Shrinkage phase examination
The swelling parameters of expansive clays were examined

using methods applied in soil mechanics laboratories.
The soil contractibility examination is a determination

infrequently performed for practical purposes. The volumetric
shrinkage (Vs) of expansive clay was examined according to
the following see Eq.:
Vs = (V V) / V
(%)
Swelling phase
Table 3. Swelling parameters of expansive clays.
(1)
where:
V soil sample initial volume [cm3],
V - final volume of the sample after drying [cm3].
Typical results of the shrinkage progress are presented in
Figure 6 and see Table 2.
Parameter
Max.
Medium
Swelling pressure pc (kPa)
1200
200-400
Swelling humidity wc[%]
137.0
80-99
Contractility range (wL ws) [%]
130.5
99.1
Swelling index vp [%]
62.0
21.7
The following values were measured: swelling humidity wc, swelling index Vp, according to Vasiliev, swelling
pressure pc, in a consolidometer, swelling time - tp.
Exemplary testing results are presented in Table 3, Figure 7, 8.
Shrinkage
Vs
Vp (%)
10,0
Laboratory test shrinkage Vs= f(t)
8,0
Figure 6. A typical progress of expansive clay shrinkage over time.
w=45,33
6,0
Table 2. Same shrinkage parameters of Polish expansive clays.
Parameter
Max.
Shrinkage time ts (h)
50 -96
Volumetric shrinkage Vs [%]
23-24
Shrinkage limit SL [%]
18.2-18.9
4,0
2,0
0,0
0
200
400
t [min]
Figure 7. Dependence of the swelling index - Vp, on the expansive

clay swelling time - t.
The shrinkage examination results reveal losses in the massif

volume and a high sensitivity of expansive clays to changes in
humidity in a short time after the start of drying, see: Figure 5
and Figure 6.
375
For the case of humidity increase by value w = (wo wk),

we will determine a positive swelling index (+Vp) in relation
to the positive condition on the basis of the swelling phase
characteristics.
In the clay shrinkage phase, during the swelled massif
drying, we obtain from the characteristics and calculations made
according to formula (7), a negative value (-Vp) shrinkage, in
relation to the initial state after the completed swelling, with
humidity wo.
Laboratory test swelling pressure pc = f(t)
Time (h))
Figure 8. Progress of the expansive clay swelling pressure in time.
Characteristics obtained of the progress of potential

volumetric change in the examined clays in relation to the
humidity condition are presented see Figure 9. The dependence
between the swelling index and humidity can be written down
in a general form:
where: Vp swelling index,
w humidity.
Vp = f(w)
(4)
Vp=(hk ho) : ho
(5)
The function form of the potential expansiveness change
characteristics for the examined clay with statistical significance
Rxy = 0.912 is as follows:
Vp = 3E-05w3 + 0,011w2 + 0,102w - 5,867
(6)
Vp [%]
30
28
26
24
22
20
18
16
14
12
10
8
6
4
2
0
w [%]
16 18 202224 2628303234363840 42444648 50
Fig. 9. Dependence of the swelling index Vp, on the swelling

expansive clay humidity - w.
The characteristics of dependence of the swelling index in

relation to humidity, as presented in Fig. 9, allows one to
determine the progress and expansiveness phase characteristics
as well as changes in clay deformation values during swelling.
Knowing the final swelling humidity of a particular clay wk, and
anticipating the direction of the humidity change on the basis of
initial humidity wo, we know that one expansiveness phase will
occur, i.e. (+w) humidity increase swelling phase, when
(-w) - drying shrinkage phase.
Having the characteristics of potential volumetric changes
in relation to humidity as determined experimentally for a
particular type of clay, one can relatively easily forecast in
practice the range of substratum displacements.
A potential increase in the swelling clay volume can be
calculated from the obtained relationship (6) in the following
form:
Vp = Vp (wo) Vp (wk)
(7)
376
ENDING AND CONCLUSIONS
The results obtained enable forecasting building behaviours

in relation to determined natural fluctuations in the expansive
substratum humidity. On the basis of already conducted
expansiveness studies (25 cases) one can predict that for other
clays, material differences are related only to the range of limit
values, i.e. the limit of swelling contractibility and humidity (R
space), swelling index and swelling pressure, Kumor (2006).
When analysing the results obtained for numerical values of
expansiveness parameters for the Pozna series Neogen clays
from the northern Poland, one can describe them as very
cohesive, with a very high and extremely high plasticity as well
as a very high and extremely high swelling. They point to the
necessity for very careful forecasting of dislocations of
buildings when they are founded in expansive clays.
The presented results point to the need for determining
characteristics of potential expansiveness for various types of
clays, depending on humidity, swelling pressure as well as the
time and chemistry of the environment.
3
REFERENCES
Chen F.H. (1988): Foundations on Expansive Soils. Dev. In Geot. Eng.

Elsevier, Amsterdam.
Danilov A.A. (1964): Grafik dla rozdelenia gruntov na obuhnye,
prosadochnye i nabukhajushhie. Osn. Fund. i Mekh. Gruntov, 5: pp.
26-26.
Kumor M.K., (2006): Investigation of shrinkage-swelling of clays as the
potential tool to predict deformation of expansive subsoil. XIV
Krajowa Konferencja Mechaniki Gruntw i Inynierii
Geotechnicznej, (in Polish) Biaystok, Vol. 1, pp. 234-242.
Niedzielski A., (1993): Factors Determinig swelling Pressure and Free
Swelling of Posnanian and Varved Clays. Rozprawy Akademia
Rolnicza zeszyt nr 238, Pozna.
Niedzielski A., Kumor M.K., (2009): Geotechnical Problems of a
Foudation on Expansive Soils in Poland. Inzynieria Morska i
Geotechnika 3/2009, (in Polish), pp. 180-190.
Przystaski J., and all, (1991): Foundation on Expansive Soils, (In
Polish) Zeszyt Politechniki Poznaskiej Rozprawy 224, Pozna.
Sorochan E.A. (1974): Stroitelstvo Sooruzenijj na Nabukhajushhikh
Gruntach. Stroizdat, Moskva.
th
Effect of Particle characteristics on K0 Behavior for Granular Materials

Effect of Particle Characteristics on K0 Behavior for Granular Materials
Effet des caractristiques particulaires sur le comportement des matriaux granulaires K0
Effet des Caractristiques Particulaires sur le Comportement des Matriaux Granulaires K 0
Junhwan
LeeD., Kyung D., Lee D.
Lee
J., Park
Professor,
School
Civil
and Yonsei
Env. Eng.,
Yonsei Seoul,
University,
Seoul, Korea
School
of Civil
andof
Env.
Eng.,
University,
Korea
Dongyu Park
Ph.D. candidate, School of Civil and Env. Eng., Yonsei University, Seoul, Korea
Doohyun Kyung
Ph.D. candidate, School of Civil and Env. Eng., Yonsei University, Seoul, Korea
Dongyoel Lee
Graduate Research Assistant, School of Civil and Env. Eng., Yonsei University, Seoul, Korea
ABSTRACT: The Jakys K0 equation is commonly used for the estimation of K0 in practice, which is given as a function of the
internal friction angle of soils. As the friction angle is a state-dependent variable, uncertain aspect still exists regarding the value of to
be adopted for the Jakys K0 equation. In this study, the application of the Jakys K 0 equation for granular materials is investigated
with focus on the effect of particle characteristics, which are related to strength, on K 0 behavior. Particle shape and angularity of
particles are considered for the investigation of K0 behavior. Experimental testing program is established to measure K0 under various
mechanical and physical conditions of test materials. Sand particles and spherically shpaed glass beads with and without etched
particle surfaces are employed into the experimental testing program.
RSUM: L'quation K0 de Jaky est couramment utilise pour l'estimation de K0 en pratique, ce qui est donne en fonction de langle
de frottement interne du sol. Comme langle de frottement est une variable dpendant de l'tat, l'aspect incertain existe encore au sujet
de la valeur qui sera adopte pour l'quation K0 de Jaky. Dans cette tude, lapplication de l'quation K0 de Jaky pour les matriaux
granulaires est tudie, en particulier par rapport l'effet des caractristiques des particules, qui sont lis la rsista nce sur le
comportement de K0. La forme et l'angularit des particules sont considres comme des enqutes sur le comportement de K 0. Le
programme d'essais exprimentaux est prvu pour mesurer le K0 dans diffrentes conditions mcaniques et physiques des matriaux
d'essai. Les particules de sable et de billes de verre en forme sphrique avec et sans surfaces des particules graves sont utilises dans
le programme d'essai exprimental.
KEYWORDS: coefficient of lateral earth pressure, granular materials, internal friction angle, thin wall oedometer test
INTRODUCTION
In-situ stresses are important state soil variables that are

necessary for geotechnical analysis and design. The Jakys K0
equation (Jaky 1944) is commonly used in practice to evaluate
K0 based on the internal friction angle of soils. In fact, it was
analytically derived assuming equilibrium condition for a sand
pile with the statically admissible stress state. From the analysis
using various assumptions on the stress distribution, it was
confirmed that the Jakys K0 equation is valid and sufficiently
accurate for general geotechnical purposes (Michalowski 2005).
According to the Jakys K0 equation, K0 is given as a sole
function of the friction angle of soils, while K0 itself represents
the state soil variable that defines the geostatic stress state
before failure.
The friction angle of soils can be differently defined.
Common definition adopted in geotechnical engineering
includes the peak, critical state, and dilatancy friction angles.
The peak friction angle p corresponds to the maximum peak
strength, and is composed of the critical state friction angle c
and the dilatancy friction angle p. The dilatancy friction angle
p is state-dependent varying as a function of the confining
stress and relative density. The critical state friction angle c is
an intrinsic soil variable that is dependent only on the inherent
soil characteristics such as mineralogy, particle shape, and
angularity. From the Jakys K0 equation, the highest and lowest
K0 values would be obtained from the critical state friction
angle c and the peak friction angle p, respectively.
In this study, the application of the Jakys K0 equation for
granular materials is investigated focusing on the effect of
various particle characteristics such as particle shape, surface
roughness, and relative density on the -K0 correlation. The
377
variation of K0 calculated using different types of friction angles

is analyzed. For this purpose, an experimental testing program
is established to measure K0 under various soil and stress
conditions. The tested granular assemblies include natural sand
particles and spherical glass beads with and without etched
particle surfaces.
2
CORRELATION OF K0
Jaky (1944, 1948) presented the well-known K0 equation based

on the stress analysis of a geometrically symmetric sand wedge,
assuming a limit stress state. K0 is defined as a function of the
internal friction angle of soils as given by:
2
1 sin
3
K 0 (1 sin )
1 sin
(1)
Where = internal frictional angle of soils. Eq. (1) can be

further simplified as a form that has been a norm in current
practice, given as follows:
K 0 1 sin
(2)
It is indicated that the denser the sand, the higher the ,

resulting in lower K0 values. The effect of stress history on K0 is
significant. K0 for overconsolidated (OC) condition is greater
than for normally consolidated (NC) condition (Wroth 1973). In
order to reflect the effect of stress history on K0, modifications
into Eq. (2) have been proposed in a form of:
th
K 0 K 0, NC OCR
(3)
where K0,NC = K0 for normally consolidated conditions, OCR =

overconsolidation ratio, and = exponential parameter. Mayne
and Kulhawy (1982) and Mesri and Hayat (1993), for example,
proposed sin for .
Although the Jakys K0 equation have been widely used and
modified to better reflect the actual stress state, uncertainties
still exist, which has not been fully clarified yet. Examples are
the effect of particle characteristics, which differ inherently for
different materials, and the correlation to the friction angle
that is not constant but varies state-dependently.
3
TESTING PROGRAM
3.1
Materials
A series of laboratory tests were conducted to investigate and

analyze the K0 evolution of granular materials. Three different
granular materials were adopted, which include Jumumjin sand,
spherical glass beads (GB), and etched glass beads (EGB). The
use of different granular materials was aimed to investigate the
effect of inherent particle characteristics, such as particle shape,
surface roughness, and angularity, on K0 in more
straightforward and systematic manner. Jumunjin sand particles
were sieved, and the particles ranging between 0.425 mm and
0.85 mm (e.g., sieves #40 and #20) were collected and used in
the test, to presumably minimize the effect of fines content and
to make test samples equivalent in size hence directly
comparable to glass beads. The grain size distribution of
Jumunjin sand is shown in Fig. 1, in comparison with glass
beads. Sand particles are uniformly distributed with the mean
particle size D50 of around 0.56 mm.
The soda lime glass beads (CaO-MgO-Na2O-SiO2) with
spherical particle shape and smooth surface (D50 ~ 0.5 mm)
were selected as comparative materials. The surface roughness
was controlled by etching clean, smooth glass bead surfaces
with hydrogen chloride-based solution (HCl, pH=10.5). Glass
beads were submerged in the hydrogen solution for 15 seconds
and were thoroughly rinsed with deionized water followed by
oven-drying at 80oC. This process produced uniformly etched
glass beads with rough surfaces, while the same spherical shape
as clean glass bead particles was maintained. Three samples
were then subjected to the assessment of K0 measurements.
The values of c were 37.1, 26.7, and 30.0 for Jumunjin
sand, glass beads, and etched glass beads, respectively. The
values of p varied, depending on the relative densities and
particle characteristics considered in the tests.
satisfy the radial strain limit, smaller than 510-5 (Okochi and
Tatsuoka, 1984). The radial expansion of either membrane or
thin-wall tube can be servo-controlled to maintain the zero
lateral strain condition whereas the complex stress path and
multiple measurement systems are involved. Alternatively, the
strain gauges are attached to the thin-wall tube and the
horizontal stress is directly related to the cell deformation
within acceptable strain regimes (Zhu et al. 1995; Kolymbas
and Bauer 1993).
The oedometer method to measure K0 adopted in this study
consists of a thin aluminum cylinder of 0.13 mm in thickness
and 66 mm in diameter. A pair of strain gauges (120ohm, CEA13-240UZ-120, Vishay) was attached at the middle height of the
cylinder outside and another pair of dummy gauges was
included for temperature compensation forming the full-bridge
circuit. The sample height is about 40 mm with a height to
diameter ratio equal to 0.61. Fig. 2 illustrates the experimental
configuration and peripheral electronics. The voltage response
of strain gauges was calibrated and correlated to the horizontal
stress using a water-filled balloon inside the cylinder, assuming
that the applied vertical stress is equal to the horizontal stress.
The linear calibration factor was then obtained and given as
follows:
0.0476 V 4.8338
(4)
where is the horizontal stress in the unit of kPa and V is the

voltage out in the unit of mV.
Dry samples were placed in the thin-wall oedometer to
achieve a target relative density and were subjected to loadingunloading-reloading cycles. The maximum loading reached 111
kPa and reloading ran up to 143 kPa beyond the
preconsolidation stress. The voltage response was recorded
every 1 sec and each loading step lasted 5 to 10 minutes. The
horizontal stress for a given loading step was computed by
averaging voltage response and by applying the calibration
factor. The test specimens were prepared at different relative
densities of DR = 33% and 84% for Jumunjin sand and DR =
56% and 80% and DR = 55% and 81% for glass and etched
glass beads, respectively.
Percent finer [%]
100
80
60
40
Fig. 2 Configuration of thin-wall K0 test.
sand
20
glass beads
0
0,1
Grain Size [mm]
4.1
Fig. 1 Grain size distribution curves of test materials.
3.2
Determination of K0
The various test devices have been proposed to measure K0 that
378
TEST RESULTS AND ANALYSIS

K0 for Different Test materials
The changes of K0 with v for the test materials measured from

the thin-wall oedometer are shown in Fig. 3 during the whole
loading cycles. As shown for the loose (LS) and dense (DS)
sands with DR = 33 and 84%, respectively, the K0 values of the
dense sand run below the loose one at all the loading stages.
The dense sand provides the strong force chain along the
th
LS
Measured
(a)
Fig. 3 Values of K0 with v for test granular materials of Jumunjin sand
(LS and DS) and glass beads with and without etching (GB, EGB).
vertical stress direction due to higher interlocking, which leads

to lower K0 during loading. The horizontally interlocked stress
induces the increase of K0 during unloading whereas the partial
release of the horizontal stress during reloading makes the
evolution of K0 run between loading and unloading stages. Once
the stress reaches the preconsolidation stress, K0 remains
constant as the normally consolidation condition prevails.
The effect of particle shape and angularity on K0 was
investigated by directly comparing the test results from
Jumunjin sand and glass beads. In Fig. 3, the values of K0 for
the dense sand (DS) are compared with those for glass beads
(GB) according to the vertical stress. The lower values of K 0 for
the dense sand are manifest presumably due to the angularity
effect. The particle surface roughness effect on K0 values can
be analyzed by comparing the test results from glass beads (GB)
and etched glass beads (EGB). No marked difference of K0
between GB and EGB is observed during loading, while GB
exhibits higher K0 values during unloading and reloading. The
ratio between the artificially created surface dents (e.g., ~5 to 10
m) and particle diameter ranges from 0.01 to 0.02 for EGB,
which impose insignificant impact on K0 during loading, while
the particle geometry is predominant.
4.2
DS
Measured
(b)
Measured
GB, Dr = 56%
Correlation to Strength
The shear strength of granular materials can be described using

different definitions of friction angle. The critical state friction
angle c, the peak friction angle p, and dilatancy angle are
the typical examples. The inter-particle surface friction angle s
can be regarded as another type of friction angle that contributes
to the overall shear strength of granular materials.
The confining stress within the specimen for the thin-wall
oedometer tests continuously increases upon loading. The
changes in confining stress result in changes in dilatancy and
thus in the peak friction angle. Following Bolton (1986), the
effect of confining stress and relative density on the peak
friction angle can be evaluated using the following relationship:
(c)
GB, Dr = 80%
Measured
p c RD I R
(5)
where RD = dilatancy ratio = 3 and 5 for triaxial and plane-strain

conditions, respectively. The dilatancy index IR is defined as:
100 pm
R
I R I D Q ln
p A
(6)
(d)
where ID = relative density as a number between 0 and 1; pA =

reference stress = 100 kPa; pm = mean effective stress at peak
in the same unit as pA; and Q and R = intrinsic soil variables.
379
Fig. 4 Measured and calculated K0 values withv for (a) loose sand;
(b) dense sand; (c) medium etched glass beads; and (d) dense etched
glass beads.
th
Using Eqs. (5) and (6), the variation of p during loading in

the thin-wall oedometer tests for the test materials were
obtained. The peak friction angle p decreased from 49.5 to
45.8 and 39.5 to 38.5 in the range of v from 16.0 to 111.5
kPa for the dense (DS) and loose (LS) sands, respectively.
Using p, c and s for Jumunjin sand, K0 was calculated and
compared with the measured K0 values in Fig. 4. The s was
assumed equal to 26 and 17 for Jumunjin sand and glass
beads, based on the values presented by Procter and Barton
(1974) and Andrawes and El-Sohby (1973). Note that K0 from
c and s is constant as these are intrinsic soil variables. p
produces the lowest range of K0 values, while the upper
bound is given by s. It is also noticed that the K0 values
measured during
loading follows quasi constant, while decreases in p is
certainly expected as indicated in Eqs. (5) and (6). From Fig. 4,
it is seen that the measured K0 values for the loose and dense
sands are close to those calculated using s and c, respectively.
This implies that the application of p is likely to produce
underestimated K0 values. For glass beads, the application of
critical state friction angle c produces close match to the
measured K0 values. Similar results were observed for etched
glass beads.
5
CONCLUSION
In this paper, the values of K0 were investigated for different

granular materials focusing on the effect of various particle
characteristics. For this purpose, laboratory tests using the thinwall oedometer were conducted to measure the values of K0
under various test conditions. Sand particles, glass beads with
and without etched particle surfaces were used in the testing
program.
From the test results, it was observed that the effect of
material density on K0 was greater in OC stress state than in NC
stress state, and in particular becomes more pronounced when
unloaded. Regarding the effect of particle shape and angularity,
the lower values of K0 were observed from Jumunjin sand
particles than from glass beads, due to the higher angularity and
interlocking effects.
For sands, the values of the friction angle employed into the
Jakys K0 equation to match the measured K0 values were
different for loose and dense sands. From measured and
calculated K0 values, it was found that the measured K0 values
for the loose sand were close to the calculated values using the
inter-particle friction angle s. For dense sand, on the other
hand, c produced close match to the measured K0 values. This
indicates that the application of the peak friction angle p is
likely to result in underestimation of K0. For glass beads,
calculated K0 values using c were in good agreement with
measured results for both relative densities.
6
ACKNOWLEDGEMENTS
This work was supported by Basic Science Research Program

through the National Research Foundation of Korea (NRF)
grant funded by the Korea government (MEST) (No. 20110030845).
7
REFERENCES
Andrawes, K. Z. and El-Sobby, M. A. (1973). Factors affecting

coefficient of earth pressure K0. Journal of the Soil Mechanics
and Foundations Division, 99(SM7), 527-539.
Bolton, M.D. (1986). The strength and dilatancy of sands.
Geotechnique, 36(1), 65-78.
Jaky, J. (1944). The coefficient of earth pressure at rest. In Hungarian
(A nyugalmi nyomas tenyezoje). Journal of the Society of
Hungarian Architects and Engineering, 355358.
380
Jaky, J. (1948). Pressure in silos. Proceedings of 2nd International

Conference on Soil Mechanics and Foundation Engineering, Vol. 1,
103-107
Kolymbas, D. and Bauer, E. (1993). Soft oedometer: A new testing
device and its application for the calibration of hypoplastic
constitutive laws. Geotechnical Testing Journal, 16(2), 263270.
Mayne, P.W. and Kulhawy, F.H., (1982). K0-OCR relationship in
soil. Journal of the Geotechnical Engineering Division, 108(GT6),
851-872.
Mesri, G. and Hayat, T. M. (1993). Coefficient of earth pressure at
rest. Canadian Geotechnical Journal, 30(4), 647-666.
Michalowski, R. L. (2005). Coefficient of earth pressure at rest.
Journal of Geotechnical and Geoenvronmental Engineering,
131(11), 1429-1433.
Okochi, Y. and Tatsuoka, F. (1984), Some factors affecting K0-values
of sand measured in triaxial cell. Soils and Foundations, 24(3),
5268.
Procter, D. C. and Barton, R. R. (1974). Measurements of the angle of
interparticle friction. Geotechnique, 24(4), 581 604.
Sadrekarimi, A. and Olson, S. M. (2011). Critical state friction angle of
sands. Geotechnique, 61(9), 771783.
Wroth, C. P. (1973). General theories of earth pressure and
deformation. Proceedings of 5th European Conference on Soil
Mechanics and Foundation Engineering, Vol. 2, Madrid, Spain, 33
52.
Zhu, F., Clark, J. I., and Paulin, M. J. (1995). Factors affecting at-rest
lateral stress in artificially cemented sands. Canadian
Geotechnical Journal, 32(2), 195203.
th
Duncan-Chang - Parameters for Hyperbolic Stress Strain Behaviour of Soft

Bangkok Clay
Duncan-Chang - Paramtres de comportement contrainte-dformation hyperbolique dargile molle
de Bangkok
Likitlersuang S.
Chulalongkorn University, Bangkok, Thailand
Surarak C., Balasubramania A., Oh E.

Griffith University Gold Coast Campus, Queensland, Australia
Syeung Ryull K.
Asian Institute of Technology, Bangkok, Thailand
Wanatowski D.
University of Nottingham, United Kingdom
ABSTRACT: This paper is on the analyses of the stress strain data of soft and stiff Bangkok Clays carried out at the Asian Institute of
Technology. A comprehensive series of triaxial tests both in compression and extension was carried out and the results were
compared with a number of stress-strain theories as based on critical state concepts. The finite element software PLAXIS contains the
Hardening Soil Model as an extension of the Duncan-Chang hyperbolic stress strain model. In this paper, the parameters for the
hyperbolic stress stain model are evaluated from the data gathered previously in testing soft and stiff Bangkok clays. The testing
program includes two series of undrained and drained tests performed on isotropically consolidated triaxial samples both under
compression and extension conditions. These testing results can be used to determine the undrained and drained shear strength
parameters for soft and stiff Bangkok Clays. Finally, two set of undrained and drained shear strength and stiffness parameters for the
Hardening Soil Model of soft and stiff Bangkok Clays are presented.
RSUM: Cet article porte sur les analyses des donnes de contrainte-dformation des argiles molles et rigides Bangkok menes
lInstitut asiatique de technologie. Une srie complte dessais triaxiaux portent la fois sur la compression et lextension a t
ralise, et les rsultats ont t compars avec un certain nombre de contraintes-dformations, thories bases sur des concepts dtat
critique. Le logiciel PLAXIS contient le modle Hardening Soil comme une extension du modle de contrainte hyperbolique de
Duncan-Chang. Dans le prsent document, les paramtres du modle hyperbolique de contraintes sont valus partir des donnes
recueillies pour tester les argiles douces et raides Bangkok. Le programme comprend deux sries dessais non drains et drains,
effectus sur des chantillons triaxiaux isotropes consolids la fois dans des conditions de compression et dextension. Ces rsultats
dessai peuvent tre utiliss pour dterminer les paramtres non drains et drains de rsistance au cisaillement des argiles molles et
raides de Bangkok. Enfin, deux rsultats de la rsistance au cisaillement, non draine et draine, et des paramtres de rigidit pour le
modle des argiles molles et rigides Bangkok sont prsents.
KEYWORDS: shear strength parameters, hardening soil model, triaxial tests, Bangkok clay, finite element analysis
and clay. While the depth of the bedrock is still undetermined,
its level in the Bangkok area is known to vary between 400 m to
1,800 m depth. Based on extensive field and laboratory studies
carried out in the past by numerous researchers at AIT, the
following descriptions have been proposed for the Bangkok
clays: (1) Weathered Crust the upper most layer (1 3 m), (2)
Very Soft to Soft Bangkok Clays (3 12 m), (3) Stiff to Very
Stiff Bangkok Clays (15 35 m). The index properties for
Weathered, Soft and Stiff Bangkok Clays are summarised in
Table 1.
1. INTRODUCTION
Bangkok subsoils are one of the most well-known sedimentary
soils and have been studied extensively in the past by many
research students at the Asian Institute of Technology under the
supervision of the fourth author. The experimental work was on
isotropically and anisotropically consolidated triaxial tests both
in compression and in extension. The results were primarily
used to verify the critical state theories as developed for
normally and overconsolidated clays (Balasubramaniam &
Chaudry, 1978; Balasubramaniam et al., 1978, 1992;
Balasubramaniam & Hwang, 1980). Recently, soil models used
in PLAXIS such as the Hardening Soil Model (HSM), and the
Hardening Soil Model with Small Strain Behaviour (HSS) were
studied by Surarak (2010) on the applications in the design and
performance of deep excavations and tunnelling works in
Bangkok MRT project. The HSM have been developed under
the framework of the Duncan-Chang hyperbolic stress strain
theory. This paper presents the work on stiffness and strength
parameters based on Duncan-Chang theory.
Table 1. Index Properties of Bangkok Clays

Properties
Natural water content (%)
Natural voids ratio
Grain size distribution
Sand (%)
Silt (%)
Clay (%)
Specific gravity
Liquid limit (%)
Plastic limit (%)
Dry unit weight (kN/m3)
Consistency
2. GEOLOGICAL CONDITIONS OF BANGKOK SUBSOIL

The Bangkok subsoil forms a part of the larger Chao Phraya
Plain and consists of a broad basin filled with sedimentary soil
deposits. These deposits form alternate layers of sand, gravel
381
1
Weathered
Clay
133 5
3.86 0.15
Soft Clay
Stiff Clay
122 130
3.11 - 3.64
20 24
1.10 - 1.30
7.5
23.5
69
2.73
123 2
41 2
15.8 0.3
Soft
4.0
31.7
64.3
2.75
118 1
43 0.5
16.5
Soft
23
43
34
2.74
46 2
19 2
15.5 -16.5
Stiff
th
Colour
Dark grey
Degree of saturation (%)
Greenish
grey
98 2
95 2
Greenish
grey
94 100
confining pressure in a triaxial test. The amount of stress

dependency is given by the power m.
The stress dependent stiffness modulus for unloading an
reloading stress paths is calculated as:
3. HARDENING SOIL MODEL

The PLAXIS finite element software became popular in
geotechnical analysis and design. Constitutive models used in
PLAXIS are in line from the linear and non-linear elastic
models until the hardening double surface plasticity models
(Schweiger, 2009). One of the most well-known hardening type
models is the Hardening Soil Model (HSM). The HSM was
introduced in the PLAXIS program as an extension of the
Mohr-Coulomb model to allow for the pre-consolidation
pressure to be taken into account. Indeed, the HSM has been
developed under the framework of the plasticity theory. The
hyperbolic formulation (Duncan & Chang, 1970) is used to
define the stress-strain relationship. The total strains are
calculated using a stress-dependent stiffness, which is different
for both loading and unloading/reloading. The hardening is
assumed to be isotropic, depending on the plastic shear and
volumetric strains. A non-associated flow rule is adopted when
related to frictional hardening and an associated flow rule is
assumed for the cap hardening. The following explanation
provides a brief summary of the hyperbolic stress-strain and
stiffness response of HSM.
The stress-strain relationship, due to the primary loading, is
assumed to be a hyperbolic curve in the HSM. The hyperbolic
function, as given by Duncan & Chang (1970), for the drained
triaxial test can be formulated as:
q
q
, for q < q f
1 a
2 E50 qa q
(1)
6 sin
3 c cot
3 sin
(2)
(4)
volumetric strains that originate from the yield cap. In a similar

manner to the triaxial moduli, the oedometer modulus (Eoed)
obeys the stress dependency law.
Schanz et al. (1999) explained in detail, the formulation and
verification of the HSM. A total of 10 input parameters are
required in the Hardening Soil Model, as tabulated in Table 2.
Table 2. Hardening Soil Model Input Parameters
Parameter
Description
'
Internal friction angle
c'
Cohesion
Rf
Failure ratio
Dilatancy angle
Reference secant
stiffness from drained
triaxial test
Reference tangent
stiffness for oedometer
primary loading
Reference
unloading/reloading
stiffness
E 50ref
E urref
and the quantity (qa) is the asymptotic value of the shear

strength, in which qa = qf/Rf. The Rf is the failure ratio. Figure 1
shows the hyperbolic relationship of stress and strain in primary
loading.
c cos 3 sin
c cos p ref sin
where Eurref is the reference modulus for unloading and

reloading, which corresponds to the reference pressure pref.
Another input parameter, the reference oedometer modulus
ref ), is used to control the magnitude of the plastic
( E oed
ref
E oed
where 1 is the axial strain, and q is the deviatoric stress. The

ultimate deviatoric stress (qf) is defined as:
qf
Eur E
ref
ur
Exponential power
ur
Unloading/reloading
Poissons ratio
Coefficient of earth
pressure at rest (NC
state)
K onc
Parameter evaluation
Slope of failure line from
MC failure criterion
y-intercept of failure line
from MC failure criterion
1 3 f 1 3 ult
Function of a and v
y-intercept in
log( 3 pref )-log(E50) space
y-intercept in
log( 1 p ref )-log(Eoed) space
y-intercept in
log( 3 pref )-log(Eur) space
Slope of trend-line in
log( 3 pref )-log(E50) space
0.2
1-sin'
3. EVALUATION OF STRENGTH AND STIFFNESS

PARAMETERS FOR BANGKOK CLAYS
All the test results analysed in this study were determined for
undisturbed samples taken at the appropriate depths for soft
clay, medium stiff clay and stiff clay. The 25.4 mm diameter
thin walled sample tubes were used for soft and medium stiff
clays are used for triaxial tests in weathered, soft and medium
stiff clays.
3.1 Triaxial Tests
Figure 1. Hyperbolic stress-strain relationship in primary loading for a
standard drained triaxial test (Schanz et al., 1999)
The stress strain behaviour for primary loading is highly nonlinear. The parameter E50 is a confining stress dependent
stiffness modulus for primary loading. E50 is used instead of the
initial modulus E0 for small strain which, as a tangent modulus,
is more difficult to determine experimentally, and is given as:
c cos 3 sin
E50 E50ref
ref
c cos p sin
(3)
where E 50ref is a reference stiffness modulus corresponding to the

reference stress pref (100 kN/m2). The actual stiffness depends
on the minor effective principal stress 3 , which is the effective
382
The results of several series of compression and extension tests

carried out on weathered, soft and stiff clays are analysed. Test
specimens were approximately 72 mm in height and 36 mm in
diameter. Several series of isotropically consolidated drained
and undrained compression (CID, CIU) and extension (CIUE,
CIDE) tests carried out at the Asian Institute of Technology
were re-analysed in this study. Most of the CID, CIU, CIDE and
CIUE tests were carried out under strain controlled conditions
(Hassan 1976; Balasubramaniam & Uddin, 1977). In addition,
some load controlled CID and CIU tests were also considered
(Balasubramaniam & Chaudhry, 1978).
th
3.2 Mohr-Coulomb Strength Parameters
stress and excess pore pressures versus the axial strain

relationships show typical normally to lightly overconslidated
clay behaviour, where the deviator stress and excess pore
pressure reaches their ultimate values at a relatively large strain.
Moreover, all the excess pore pressure plots were located in the
positive range.
300
Table 3. Summary of Mohr-Coulomb Strength Parameter of Bangkok

Subsoils
Depth (m)
' (o)
CIUEU
28.9
CIU
22.2
CID
23.5
29
CIU
26
CID
21.7
Test type
& Uddin (1977)

Balasubramaniam
2.5 to 3.0
2.5 to 3.0
et al. (1978)
CIUE
et. al. (1978)
5.5 to 6.0
CIU
24
38
CID
23.5
CIDP
23.7
CIUEL
26
CIUE
21.1
58.7
CIDEL
26.2
CIDEU
23.5
26
16.0 to
CIUE
18
54
16.6
CIUEU
25
54
CIDEU
16.6
11
17.0 to
CIU
28.1
11.4
18.0
CID
26.3
32.8
Hassan (1976)
150
100
CIU S1
CIU S2
CIU S3
CIU S4
CIU S5
50
0
25
600
500
400
300
200
CID S1
CID S2
CID S3
CID S4
CID S5
100
0
0
10
15
20
Axial strain, a (%)
25
10
20
30
40
Axial strain, a (%)
50
10
Axial strain, a (%)

20
30
40
50
CID S1
CID S2
CID S3
CID S4
CID S5
10
15
20
(a) Deviator stress vs axial strain

(b) Volumetric strain vs axial strain
Figure 3. Results of CID triaxial tests on soft Bangkok clay
30
et al. (1978)
10
15
20
Axial strain, a (%)
200
The results obtained from the CID triaxial tests for the soft
clay are shown in Figure 3, with the relationships of (q, a) and
(v, a) plotted in Figures 3(a) and 3(b), respectively. It can be
seen that, during the deviator stress applied, the volume of the
soil specimen gradually reduces. The volumetric and axial strain
curves of all the tests seem to coincide up to 10% axial strain,
after that they tend to divert slightly.
31.8
Balasubramaniam
250

(b) Pore pressure vs axial strain
Figure 2. Results of CIU triaxial tests on soft Bangkok clay.
Stiff Clay
CID
CIU S1
CIU S2
CIU S3
CIU S4
CIU S5
50
5.5 to 6.0
(1978)
Balasubramaniam
100
Deviator stress, q (kN/m2)
& Chaudhry
150
Soft Clay
Balasubramaniam
200
Weathered Clay
Balasubramaniam
250
Volumetric strain, v (kN/m2)
Reference
c'
(kN/m2)
300
Excess pore pressure, u (kN/m2)
Table 3 presents a summary of the Mohr-Coulomb strength

parameters of the Bangkok subsoils (i.e. weathered clay, soft
clay, stiff clay and hard clay) obtained from consolidated
isotropically drained and undrained triaxial compression (CID
and CIU) and extension (CIDE and CIUE) tests reported in the
literature. The notations for the triaxial tests identified in Table
3 are explained. It can be seen that the differences in the applied
stress path have the most significant effect on the MohrCoulomb strength parameters. Initial conditions at the
consolidation state (i.e. isotropic or anisotropic), as well as the
drainage conditions during shear (i.e. drained or undrained),
also have an effect on the strength parameters, but to a lesser
magnitude. Therefore, it needs to be emphasised that the
strength parameters should be carefully selected according to
the applied stress path, resulting from the construction
sequences.
These values are also summarised in Table 4 together with

the reference initial modulus ( Eiref , Eiref
), the reference moduli
,50
at 50% of strength ( E50ref , Euref,50 ), and the failure ratio (Rf)
resulting from CID tests as well as the shear strength parameters
(c', ') for Soft Bangkok Clay.
3.3 Stiffness and Strength Parameters of Soft and Stiffness

Bangkok Clays
3.3.2 Stiff Bangkok Clay
3.3.1 Soft Bangkok Clay

Two series of isotropically consolidated triaxial compression
tests, CIU and CID, conducted by Balasubramaniam &
Chaudhry (1978) on soft and stiff Bangkok clay, were analysed
in this study. The soil samples were taken from a depth of 6.0 m
below the ground surface. The confining pressures, 3 used for
both CIU and CID series were 138, 207, 276, 345 and 414
kN/m2 for tests S1 to S5, respectively. The angle of the internal
friction (') obtained from the CIU and CID tests were 27o and
23.6o; whereas, the cohesion (c') was zero for both series. The
drained strength parameters are summarised in Table 4.
The results of the CIU triaxial tests carried out on the soft
clay are plotted in Figure 2. The (q, a) and (u, a) relationships
are shown in Figures 2(a) and 2(b), respectively. The deviator
383
The two series of isotropically consolidated triaxial

compression tests, CIU and CID, conducted by Hassan (1976)
on stiff Bangkok clay, are re-interpreted in this study. The
undisturbed soils samples were collected from a depth of 17.4 to
18 m below the ground surface. The pre-shear consolidation
pressures ranged from 17 to 620 kN/m2 and 34 to 552 kN/m2,
for the CIU and CID series, respectively. The angles of the
internal friction (') from the CIU and CID series were 28.1 and
26.3 degrees; whereas, the values of cohesion (c') were 11.4 and
32.8 kN/m2, respectively. The drained strength parameters are
summarised in Table 4.
Figure 4 shows the results of CIU tests on the stiff Bangkok
clay. It can be seen from Figure 4(a) that (q, a) relationships,
up to a pre-shear confining pressure of 138 kN/m2 (tests CIU F1
to F3), exhibit no strain softening. At a level of confining
pressure from 207 to 414 kN/m2 (tests CIU F4 to F7), these clay
th
samples behaved as heavily overconsolidated clay showing a

clear peak deviator stress at a low axial strain, followed by a
strain softening. Beyond the confining pressure of 552 kN/m2
(tests CIU F8 and F9), these samples behaved as lightly
overconsolidated clay.
250
Excess pore pressure, u (kN/m2)
800
600
400
CIU F1
CIU F2
CIU F3
CIU F4
CIU F5
CIU F6
CIU F7
CIU F8
CIU F9
200
200
150
100
50
0
-50
-100
10
15
20
Axial strain, a (%)
25
4
6
8 10
Axial strain, a (%)
12
14

(b) Pore pressure vs axial strain
Figure 4. Results of CIU triaxial tests on stiff Bangkok clay
The relationships between the excess pore pressure and the

axial strain are shown in Figure 4(b). For all clay samples (CIU
F1 to F9), the excess pore pressure increases as the deviator
stress increases, until the peak values are reached at 1 to 4%
axial strain, depending on the confining pressure. The peak
excess pore pressure seems to be reached at a higher axial strain
as the confining pressure increases. As the sample was further
sheared, the excess pore pressure gradually reduced to the
minimum value, at approximately 12% axial strain. Only the
first three samples (tests CIU F1 to F3) reached negative excess
pore pressures.
-3
800
600
400
200
CID F1
CID F2
CID F3
CID F4
0
0
4 6 8 10 12 14 16
Axial strain, a (%)
Volumetric strain, v (%)
1000
4. CONCLUSION
In this study, the experimental data on soft and stiff Bangkok
clays available in the literature was reanalysed in order to obtain
the Duncan-Chang stiffness and strength parameters required
for the Hardening Soil Model. Undrained and drained behaviour
of Soft and Stiff Bangkok Clays was modelled using these
parameters.
Axial strain, a (%)

4 6 8 10 12 14 16
-2
-1
0
1
2
3
Table 4. Stiffness and strength parameters from CID and CIU tests for
Bangkok Clays
Parameters
CID
CIU
Soft Clay
Confining pressure (kN/m2)
138 414
138 414
2
Eiref , Euref,i (kN/m )
1343
7690
Initial
m
1.0
1.2
2
E50ref , Euref, 50 (kN/m )
690
4831
50%
m
1.1
1.0
0.72
0.94
Rf
23.6
27.0
'
c' (kN/m2)
0
0
Stiff Clay
Confining pressure (kN/m2)
34 552
17 620
2
Eiref , Euref,i (kN/m )
29676
30109
Initial
m
0.52
0.46
2
E50ref , Euref, 50 (kN/m )
14398
11104
50%
m
0.48
0.53
Rf
0.89
0.88
26.3
28.1
'
32.8
11.4
c' (kN/m2)
CID F1
CID F2
CID F3
CID F4

(b) Volumetric strain vs axial strain
Figure 5. Results of CID triaxial tests on stiff Bangkok clay
The results of CID triaxial tests carried out on the stiff

Bangkok clay are shown in Figure 5. The deviator stress versus
the axial strain relationships of the stiff clay are shown in Figure
5(a). The pre-shear confining pressures of 34, 103, 414 and 552
kN/m2 were applied. None of the stiff clay samples
demonstrated a well defined peak. However, samples CID F1 to
F3 (with confining pressure of 34, 103 and 414 kN/m2) illustrate
some degree of strain softening after the peak deviator stresses
are reached at axial strain levels of 3 to 5%. The plots of the
volumetric versus the axial strain are given in Figure 5(b). The
specimens with a confining pressure of 34 and 103 kN/m2 (tests
CID F1 and 2) start to dilate at about 1.2 and 3.5% axial strain.
The specimen at 414 kN/m2 confining pressure consolidates up
to an axial strain level of 8%. After that, the volumetric strain
seems to be constant with an increase in axial strain. The last
specimen with a confining pressure of 552 kN/m2 consolidates
up to 7% of the axial strain, and then it tends to dilate.
The values of E50ref and Euref,50 together with the deformation
moduli and the failure ratios resulting from the CIU and CID
series are also summarised in Table 4. It can be observed from
Table 4 that the failure ratio (Rf) falls in a narrow range with an
average value of 0.88. The power m for both the initial and the
50% moduli are approximately 0.5.
384
5. REFERENCES
Balasubramaniam A.S. and Hwang Z. M. 1980. Yielding of weathered
Bangkok clay, Soils and Foundations, 20(2), 1-15.
Balasubramaniam, A.S. and Chaudhry, A. R. 1978. Deformation and
strength characteristics of Soft Bangkok Clay. Journal of
Geotechnical Engineering Division, ASCE, 104, 1153 - 1167.
Balasubramaniam, A.S. and Uddin, W. 1977. Deformation
characteristics of weathered Bangkok Clay in triaxial extension.
Gotechnique, 27(1), 75 - 92.
Balasubramaniam, A.S., Handali, S., and Wood, D. M. 1992. Pore
pressure-stress ratio relationship for soft Bangkok clay, Soils and
Foundations, 32(1), 117-131.
Balasubramaniam, A.S., Hwang, Z. M., Waheed U., Chaudhry, A. R.
and Li, Y. G. 1978. Critical state parameters and peak stress
envelopes for Bangkok Clays, Quarterly Journal of Engineering
Geology, 1, 219-232.
Duncan, J.M. and Chang, C.M. 1970. Nonlinear analysis of stress and
strain in soils. Journal of Soil Mechanics and Foundations
Division, ASCE, 96(SM5), 1629-1653.
Hassan, Z. 1976. Stress-strain behaviour and shear strength
characteristics of stiff Bangkok Clays. Master Thesis, Asian
Institute of Technology, Thailand.
Schanz, T., Vermeer, P.A., and Bonnier, P.G. 1999. The hardening soil
model: formulation and verification. Beyond 2000 in
Computational Geotechnics. Rotterdam.
Schweiger, H.F. 2009. Influence of constitutive model and EC7 design
approach in FEM analysis of deep excavations. In: Proceeding of
ISSMGE Int. Seminar on Deep Excavations and Retaining
Structures, Budapest, 99 - 114.
Surarak, C. 2010. Geotechnical aspects of the Bangkok MRT blue line
project. Ph.D. Thesis, Griffith University, Australia.
Laboratory investigation of seismic effects of nanoparticle dispersions in saturated

granular media
tude en laboratoire des effets sismiques des dispersions de nanoparticules dans les milieux
granulaires
Luke B.
University of Nevada Las Vegas, Las Vegas, Nevada, USA
Werkema D.
US Environmental Protection Agency, Las Vegas, Nevada, USA
Andersen S.
US Environmental Protection Agency and University of Nevada Las Vegas, USA,
ABSTRACT: Nanomaterials used in industrial applications and consumer products are widespread, thereby increasing the likelihood
of unintended environmental release. The fate and transport of nanoparticles in the environment and their effects on the environment
and human health are not well understood. This research investigates the potential to use seismic methods for such fate and transport
studies. A test cell using piezoceramic bender elements was constructed to investigate how nanoparticles dispersed in the pore fluid of
a saturated glass bead medium affect seismic wave propagation. Test cell design addresses optimal seismic wave propagation,
uniformity and repeatability of the placement of the granular media and uniformity of fluid flow. Time histories were produced from
two tests optimized for shear wave propagation. The first (baseline) test used deonized (DI) water. This test demonstrated the need to
stabilize the sample before making measurements by first flushing several liters of liquid through the system. The second test,
conducted on a new sample, used a solution of 0.05% nano Zinc Oxide (nZnO) in DI water after first flushing with DI water.
Comparison of results between the two tests shows only weak repeatability between test specimens. Despite this, results of the second
test still indicate a significant change in response in the presence of nZnO, particularly in signal amplitude. Studies are ongoing to
increase experimental reliability and sensitivity, and to more closely approximate expected field conditions.
RSUM : Les nanomatriaux utiliss dans les applications industrielles et produits consommation sont trs rpandus ; il est donc
probable que ces substances se retrouvent dissmines dans lenvironnement. Le destin et le transport des nanoparticules dans
lenvironnement et leurs effets sur lenvironnement mritent un tude approfondie. Cet article tudie la possibilit d'utiliser des
mthodes sismiques pour tudier ces effets. Une cellule a t construite pour voir comment les nanoparticules disperses dans le fluide
interstitiel du verre change la propagation dondes. La conception de la cellule dessai permet dtudier la propagation des ondes
sismiques, le positionnement des milieux granulaires et luniformit de lcoulement du fluide. Les temps de parcours de la
propagation des ondes sismiques dans une dilution doxyde de zinc nano 0,05 % (NZnO) dans une matrice de billes de verre sont
prsents et compars ligne de base. Nous avons trouv une lgre rduction de la vitesse de cisaillement et de compression en
prsence de NZnO par rapport aux valeurs initiales. Nous proposons des tudes plus complexes qui se rapprocheraient des conditions
dans la nature.
KEYWORDS: nanoparticles, seismic, fate and transport, piezoceramic, bender elements.
1
INTRODUCTION
The use of nanoparticles in industrial applications and consumer

products has become widespread and continues to grow. As
applications of nanoparticles increase, so does the likelihood of
unintended environmental release, including the possibility of a
large-scale spill event. The fate and transport of nanoparticles
dispersed in the environment are largely unknown (Conlon,
2009; Klaine et. al., 2008), and their effects on the environment
and human health are also not well understood. Consequently,
methods are needed for detecting, characterizing, and
monitoring subsurface transport of nanoparticles. The capability
of electrical geophysical methods has shown some promise in
the spectral induced polarization (SIP) response to select
nanoparticles in saturated sand laboratory columns (Joyce et.
al., 2012). This paper investigates the seismic response to
nanoparticles in a similar laboratory setting, in order to
complement the SIP results and evaluate another geophysical
method.
We have developed a test cell that uses piezoceramic bender
elements to investigate how nanoparticles dispersed in the pore
fluid of a glass bead matrix can affect seismic wave propagation
characteristics. To minimize chemical interactions between the
granular medium and the nanoparticle solution and to provide
uniform grain morphology, non-reactive glass beads are used
for the granular medium. Seismic wave characteristics (spectral
content, travel time, signal amplitude) can be scrutinized for
distinguishing characteristics. Results may suggest whether
seismic methods are suitable for nanoparticle fate and transport
studies.
This paper reports on the test cell design and development
of experimental procedures. Some preliminary travel time and
385
signal amplitude results using 0.05% nZnO solution are

included.
2
TEST CELL DESIGN AND TESTING PROTOCOLS
The test cell design is based on preliminary work by Rajabdeen

et al. (2012). The sample or experimental treatment housing is
a translucent 15.2-cm inner-diameter PVC cylinder with custom
end caps that are fitted with piezoceramic bender elements
(Figure 1). The bender elements serve as seismic transmitter
and receiver. The elements used in this study are two-piezo
layer transducers made with PSI-5A4E piezoceramic (a Lead
Zirconate Titanate (PZT) piezoceramic), parallel-poled, nickel
electrodes and using brass center reinforcement (Piezo Systems
Inc.).
The bender elements are 12.7 mm square and 0.5 mm thick.
Elements are potted in vinyl caps using epoxy which are placed
inside small-diameter PVC tubes that pierce and affix to the
centers of the end caps (Figure 1). This configuration is
intended to be robust while also creating impedance traps to
encourage transmission of seismic energy through the sample
rather than through the test apparatus. The cantilever length
(protrusion into the sample) is 4 mm, approximately one-third
the length of the element. A short cantilever length reduces
dependency of the system resonance frequency on the sample
matrix properties (Lee and Santamarina, 2005). The bender
elements are installed in-plane such that the S-wave energy
propagates along a direct, straight-line path while the strongest
P-wave arrival at the receiver would be reflected from the
cylinder walls (Figure 1). The test cell design integrates the
same considerations of signal attenuation and near-field effects
that have been applied to bender-element testing in oedometers
(e.g., Dyvik and Olsen (1991), Zeng and Ni (1998), Lee and
Santamarina (2005), Lee et al. (2007)). The bender element tipto-tip separation is 6.2 cm, yielding a ratio of test specimen
diameter to sensor separation of approximately 2.45. The
sample height is 15.8 cm. Figure 2 contains a view of the test
system including key ancillary equipment.
Glass beads used for the granular testing matrix are 0.5 mm
in diameter. Consideration is given to optimize uniformity and
repeatability of the placement of the glass beads, in order to
minimize unwanted acoustic impedance contrasts in the
medium, to discourage preferential fluid flow pathways, and to
facilitate comparisons among tests. The oven-dried glass beads
are vibrated into place using a vibratory table operating at 60 Hz
for 20 minutes with a surcharge load of 28 kg. The surcharge
mass was selected based on the methodology laid out by ASTM
D4253 - 00(2006) Standard Test Methods for Maximum Index
Density and Unit Weight of Soils Using a Vibratory Table. The
surcharge mass is kept in place throughout testing. It
approximates a vertical overburden stress of 15 kPa.
The glass beads are flooded with de-ionized (DI) water
which is introduced through upward flow distributed across the
cross-section of the experimental column. The water is plumed
into the bottom of the test chamber to reduce the amount of
entrapped air and is plumed under gravity flow with total head
not exceeding 0.3 meters. The fluid-flow gradient is kept low to
discourage entrainment of air bubbles and approximate laminar
flow. The fluid passes through a set of baffles and a perforated
disc before entering the sample (Figure 1). This process is
intended to encourage a uniform wetting front and discourage
fingering and the formation of preferential flow pathways. A
somewhat loose-fitting top cap allows the cell to be completely
flooded and allows the overburden stress to act directly on the
specimen. Excess water exits the test apparatus through a port
above the cap. Satisfactory dispersion of liquid through the
glass-bead-filled test chamber was demonstrated using colored
dye (Figure 3). The capacity of the fluid-delivery system
including test cell is approximately 1.7 liters.
Data are collected with a Data Physics (Data Physics, Inc.)
dynamic signal analyzer. Single sine pulses are created using a
function generator. The sampling interval is 9.301
microseconds. The signal is not filtered during data capture.
The reported result is an average from 350 pulses, which are
repeated at 0.7-second intervals.
3
BASELINE TESTING
Through resonance testing and experimental trials, optimum

frequencies to test for shear and compression were determined
to be 1 kHz and 8 kHz, respectively. The compression
measurements have not yet been resolved satisfactorily because
of complications with electrical crosstalk between source and
receiver and are not presented here. Results of baseline testing
for shear (using DI water, with no experimental treatment) are
shown in Figure 4. Four datasets are collected. The first dataset
is collected after initial inundation of the sample. Repeat
collections occur after 4, 8 and 12 additional liters of DI water
are flushed through the sample. The time history from the initial
measurement is dramatically different from those collected
later. Results demonstrate that up to four liters of fluid need to
be flushed through the system before the response stabilizes.
The flushing process is likely to improve the signal by expelling
entrained air.
The zero time in Figure 4 corresponds to source initiation.
Based on first arrival by visual interpretation, the shear wave
velocity of the specimen is approximately 170 m/s.
Considering the timing for the first troughs in the signals,
velocity estimates among the three measurements (after flushing
4, 8 and 12 liters of DI water) would vary by approximately +/3 %. Amplitudes at the first trough vary by +/- 17%.
4
Results are shown in Figure 5. Again, the dataset conducted

before flushing was not representative of results after flushing.
The time histories collected after flushing but before
introducing the nZnO treatment would ideally be the same as
those collected in the baseline test. However, comparison with
Fig. 4 demonstrates that the tests are not closely repeatable
between samples, despite careful efforts to replicate test
conditions. For example, consider the difference in signal
amplitude between the two figures. This is an unfortunate
discrepancy that requires further investigation. From Figure 5,
considering the time histories gathered after flushing 4 and 8
liters of DI water, the shear wave velocity is approximately 150
m/s, which represents a decrease of 12 % with respect to
baseline (Figure 4). Also, for the later test (Figure 5), results do
not stabilize as fluid flushing occurs to the extent seen in
baseline testing. Repeating analyses of the timing and amplitude
of the first trough, velocity estimates among the measurements
after flushing 4 and 8 liters would vary by approximately +/- 9
% and amplitudes by +/- 3 %. With respect to the baseline test,
the percentage variabilities are higher for velocity and lower for
amplitude.
Despite the variability observed with DI water, the trial
conducted after introducing the nZnO experimental treatment
(labeled in Figure 5 as 12) shows distinctly different results
from those collected earlier on the same test specimen. Signal
amplitude is dramatically increased, and timing is delayed. To
effectively quantify differences, cross-correlation of traces,
signal matching or coda wave analysis might be applied (Lee
and Santamarina 2005, Dai et al. 2012).
The significant increase in signal amplitude might be due to
agglomeration of nZnO onto the glass bead matrix (Klaine et.
al., 2008) which would enhance contacts in the skeletal
structure of the glass bead matrix, thereby reducing signal
attenuation. The smaller decrease in velocity is not as readily
explained. One hypothesis (which is yet untested) is that the
flushing process allows sufficient displacement of the glass
beads to permit introduction of nanoparticles between contacts.
This possibility seems unlikely given the slow influent flow rate
and the amplitude of the surcharge pressure.
5
CONCLUSIONS
A laboratory apparatus has been developed to study seismic

response to the presence of nanoparticles dispersed in the pore
fluid of saturated granular media. Uniform placement of the
solid sample matrix is encouraged through the use of a vibratory
table and a surcharge load. A perforated plate and baffle system
for introduction of fluid at the bottom of the test cell encourage
laminar flow and uniform fluid distribution which is
demonstrated using dye. Baseline testing in clean water using
sine pulses at 1 kHz, chosen to optimize transmission of shear
energy, demonstrated that by first flushing several liters of fluid
through the sample, repeated measurements would yield similar
results.
Testing a new sample demonstrated that close
repeatability of results is not assured between samples.
The measurements revealed sensitivity of the nanoparticle
treatment to shear wave energy propagation. After flushing a
sample with a treatment containing 0.05% nZnO, measurements
revealed a dramatic increase in signal amplitude and a slight
increase in travel time. Changes might be due to agglomeration
of nanoparticles on the granular matrix which enhances grainto-grain contacts, possibly coupled with insertion of
nanoparticles between grains which reduce system stiffness.
Further experimentation is required to assess if the observed
responses are indeed trends. Once accomplished, the research
will expand to increase experimental sensitivity and broaden
scope, and to more closely approximate conditions in nature.
NANOPARTICLE EFFECTS
The test sequence was repeated on a new sample, in which a

solution of 0.05% (by weight) nZnO solution was introduced.
The nanoparticle treatment solution is made through sonication
to uniformly disperse the nanoparticles in DI water. Eight liters
of clean DI water were flushed through the test chamber first,
followed by 4 liters of the nanoparticle solution.
386
Figure 3. Dye test demonstrates uniformity of distribution of

influent. Left: View of column from side. Fluid-filled baffle
zone is indicated by dark shade at bottom; just above is
perforated base plate. Dye appears to be distributed evenly
throughout the sample. Right: View from above of glass beads
inside test cell during disassembly.
x 10
-4
0
4
8
12
3
2
Amplitude, volts
Figure 1. Schematic cross section of test cell. S, R: source and

receiver bender elements, respectively. Direct-transmission Swave path and reflected P-wave path are shown.
1
0
-1
-2
-3
-4
2
3
Time, seconds
5
x 10
Figure 4. Results of first test: baseline. Legend refers to

volume of DI water flushed through the specimen before
testing, in liters.
Figure 2. Photo of test cell and ancillary apparatus. Test cell is

in center, situated on vibratory table. Surcharge mass is
suspended from above. Reservoir for gravity feed of fluid
appears as white container in the upper right of the photo.
387
-3
x 10
-3
0
4
8
12
0.8
0.6
Amplitude, volts
0.4
0.2
0
-0.2
-0.4
-0.6
-0.8
-1
0
2
3
Time, seconds
5
-3
x 10
Figure 5. Results of second test. Legend refers to volume of
fluid flushed through the specimen before testing, in liters. First
eight liters were DI water; final four liters contained
experimental treatment (i.e., trial marked 12 describes effect
of experimental treatment). Note difference in vertical scale
with respect to Figure 4.
ACKNOWLEDGMENTS
This work was funded through the U.S. EPA Office of Research
and Development contracts EP09D000305 and EP10D000763.
It was reviewed by EPA and approved for presentation; it may
not necessarily reflect official Agency policy. Mention of trade
names or commercial products does not constitute endorsement
or recommendation by EPA for use. Practical advice from
Carlos Santamarina and colleagues on preparation and use of
bender elements is greatly appreciated.
REFERENCES
Conlon, M., (2009). EPA science in action: Nanotechnology

research program, National Exposure Research Laboratory,
US EPA Office of Research and Development. Retrieved
09/09/12
from
http://www.epa.gov/nanoscience/quickfinder/pdf/nanotech
_nanomaterials.pdf
Dai, S., Wuttke, F., Santamarina, J. (2012). Coda wave analysis
to monitor processes in soils. Journal of Geotechnical and
Geoenvironmental
Engineering,
doi:
10.1061/(ASCE)GT.1943-5606.0000872.
Dyvik, R., Olsen, T. S. (1991). Gmax measured in oedometer
and DSS tests using bender elements. Publication Norwegian Geotechnical Institute, 181 pp.
Joyce, R. A., Glaser, D. R., Werkema Jr., D. D., Atekwana, E.
A., (2012). Spectral induced polarization response to
nanoparticles in a saturated sand matrix, Journal of
Applied Geophysics, vol. 77, pp. 63-71. doi:
10.1016/j.jappgeo.2011.11.009.
Klaine, S.J., Alvarez, P.J.J., Batley, G.E., Fernandes, T.F.,
Handy, R.D., Lyon, D.Y., Mahendra, S., McLaughlin,
M.J., Lead, J.R., (2008). Nanomaterials in the
environment: behavior, fate, bioavailability, and effects.
Environmental Toxicology and Chemistry, vol. 27, no. 9,
pp. 1825-1851.
Lee, J., Santamarina, J. C. (2005). Bender elements:
Performance and signal interpretation. Journal of
Geotechnical and Geoenvironmental Engineering, vol. 131,
no. 9, pp. 1063-1070.
Lee, C., Lee, J.S., Lee, W., Cho, T. H. (2007). Experiment setup
for shear wave and electrical resistance measurements in
an oedometer. Geotechnical Testing Journal, vol. 31, no. 2,
pp.149-156.
Rajabdeen, N., Luke, B, and Werkema, D.D., Jr. (2012).
Evaluation of the Seismic Characterization of Select
Engineered Nanoparticles in Saturated Glass Beads. U.S.
Environmental Protection Agency Report EPA/600/R12/547.
Zeng, X., and Ni, B. (1998). Measurement of Gmax under
anisotropic loading condition using bender elements.
Geotechnical Earthquake Engineering and Soil Dynamics
III, ed. P. Dakoulas and M. Yegian. American Society of
Civil Engineers, Reston, Virginia, USA Geotechnical
Special Publication 75, 189-200.
388
The SCS Double Hydrometer Test in dispersive soil identification

Essai SCS de double hydromtrie pour l'identification des sols dispersifs
Maharaj A., Paige-Green P.
CSIR Built Environment, Pretoria, South Africa
ABSTRACT: The standard testing procedures for the Soil Conservation Service (SCS) Double Hydrometer test, the Pinhole Test,
Crumb test and chemical analyses for the identification of potentially dispersive soils have recently been studied and
problems/anomalies identified. Recent testing suggests that many of the shortcomings related to testing of dispersive soils may have
been overlooked during past routine investigations. A comparative study involving the testing of three samples using one standard
laboratory test, namely the SCS double hydrometer test was carried out and some potential means of overcoming the problems have
been identified. The investigation has highlighted the differences that can be obtained on a single soil as a function of the variation in
test procedures. The variability of the results obtained from the double hydrometer test in particular appears to be the cause of many
of the ambiguities and discrepancies in the classification systems studied during this research. Problems related to the double
hydrometer tests pose the potential for misleading results since the test has been used as the basis for identifying the potential
dispersiveness of soils during the development of rating systems.
RSUM : Les procdures de test standard pour le Soil Conservation Service (SCS) test hydromtre double, le test stnop, le Crumb
test et des analyses chimiques pour l'identification des sols potentiellement dispersifs ont rcemment t tudis et des problmes ou
anomalies identifis. Des tests rcents indiquent quun bon nombre de dfauts lis lanalyse des sols dispersifs peut avoir t nglig
au cours des enqutes de routine conduites dans le pass. Une tude comparative entre l'essai de trois chantillons laide dun test de
laboratoire standard, savoir le test SCS hydromtre double, a t effectu et des moyens possibles de surmonter les problmes ont
t identifis. Lenqute a mis en vidence les diffrences qui peuvent tre obtenues pour un sol unique en fonction de la variation
dans les procdures de test. La variabilit des rsultats, obtenus partir du test SCS hydromtre double en particulier, semble tre la
cause de bien des ambiguts et des incohrences dans les systmes de classification tudis au cours de cette recherche. Les
problmes lis aux tests hydromtre double prsentent le potentiel pour des rsultats errons, puisque le test a t utilis comme base
pour dterminer la dispersivit potentielle des sols lors de llaboration des systmes de notation.
KEYWORDS: Dispersive soils ; hydrometer ; soil testing
1
INTRODUCTION
The failure of dams and embankments as a result of the use of

dispersive clays has been recognized by engineers and
geologists in South Africa and internationally for many years. A
serious problem, however, still lies in the early identification of
dispersive soils (Paige-Green, 2008). Despite all the information
gained over the years, there is still no quick, simple and reliable
means of conclusively identifying dispersive soils. Many
methods have been proposed including the pinhole, double
hydrometer, crumb and chemical tests, either individually or in
combination. These, however, have not always been entirely
reliable and it was considered possible that the reason lay in the
actual testing procedures.
The standard testing procedures for the Soil Conservation
Service (SCS) Double Hydrometer test, the Pinhole Test,
Crumb test and chemical analyses have recently been studied
and problems/anomalies identified. Although no discussion
regarding these anomalies has been found in the literature, the
recent testing suggests that many of these shortcomings may
have been overlooked during past routine investigations. This
paper summarizes a comparative study involving the testing of
three samples using one standard laboratory test, namely the
SCS double hydrometer test and discusses some potential
means of overcoming the problems identified. The other tests
have been discussed separately (Maharaj, 2010a: 2010b: 2011:
2012).
389
HISTORY OF THE SCS DOUBLE HYDROMETER TEST
The Soil Conservation Service (SCS) double hydrometer or

dispersion test has been identified as one of the most
appropriate tests for classifying dispersive soils. The test
evaluates the dispersibility of a soil by measuring the natural
tendency of the clay fraction to go into suspension in water. The
procedure involves the determination of the percentage of
particles in the soil that are finer than 0.005 mm using the
standard hydrometer test. A parallel test is also carried out, in
which no chemical dispersant is added and the solution is not
mechanically agitated. The quantity of particles finer than 0.005
mm in the parallel test is expressed as a percentage of this
fraction determined in the standard test, which is defined as the
dispersion ratio or dispersivity of the soil (Walker, 1997).
Dispersion ratios greater than 50% are considered highly
dispersive, between 30 and 50% are moderately dispersive,
between 15 and 30% are slightly dispersive and less than 15%
are non-dispersive (Elges, 1985). Similar systems with different
limits were utilized by Gerber & Harmse (1987) and Walker
(1997).
The dispersion test was first described by Volk (1937) as a
means of determining the potential dispersiveness of soils. The
test has since been used extensively in this regard with minor
modifications. Volks test compared the weight of soil grains,
0.005 mm or smaller that slaked free when air-dried lumps of
soil were soaked in quiet, distilled water, with that of the entire
soil. This was expressed as the percentage dispersion.
Measurements of the clay in the soil-water suspension were
made by the pipette method (Volk, 1937).
inconsistencies were detected, such as, the test was not always
reproducible in the same laboratory, and there appeared to be
differences in the results between laboratories. Studies revealed
that water quality and moisture contents of the samples were
responsible for these errors and as such distilled water and in
situ moisture contents were specified (Decker and Dunnigan,
1977). Since that time, there appear to have been no discussions
in the literature regarding any anomalies encountered during
testing.
The pipette method itself was introduced by Middleton in

1930 as a means of determining the erosion potential of a soil.
The difference in the methods was that the samples collected in
the pipette consisted of particles of a maximum diameter of
0.05mm (Middleton, 1930). Volks method was, however,
preferred because studies in the southwest of the United States
indicated that the dispersion of the clay fraction (< 0.005 mm
diameter), was more significant in assessing the piping potential
of soils (Decker and Dunnigan, 1977).
The SCS involvement in earth dam construction in the
United States increased in the 1940s and early 1950s. The
dispersion test was employed as a routine procedure for all
samples submitted to SCS Laboratories. It was during this
period that the test procedure was adapted to use a hydrometer
instead of a pipette (Decker and Dunnigan, 1977). The
procedure is specified in ASTM standard D422-63 for Particle
Size Analysis of soils (ASTM International, 2007a & b).
With the increased use of the dispersion test and the growth
of the SCS testing facilities in the 1950s and 1960s, a few
EVALUATION OF CURRENT TESTING METHODS
The test methods for hydrometer analysis currently in use are

the American standards (ASTM International, 2007), the British
standards (BSi, 1990) and the South African Technical Methods
for Highways - TMH1 (NITRR, 1986). Table 1 summarizes
procedures carried out for each test standard, focusing on the
main aspects of the testing procedure.
Table 1: Difference in testing procedures used for the determination of the clay fraction of a soil.
Property
ASTM- D422-63
BSi- BS 1377-2: 1990
TMH1- 1986 (A6)
Amount of dry
soil required for
the test:
100g of sand sized particles (i.e.:

particles less than 2mm in size) or
50g of soil fines if material has a
high percentage of silt/ clay.
Depends on type of soil, i.e.: 100g for sandy

soil, 50g for silty soil and 30g for clayey soil.
100g of soil fines (i.e.: particles

less than 0.425mm in size) or 50g
of soil fines if material has a high
percentage of silt/ clay.
Pre-treatment
None
None
Dispersing agent
125m sodium hexametaphosphate

solution at 40g/.
With hydrogen peroxide if organic matter

present.
100ml sodium hexametaphosphate solution
comprising 33g Na-hexa. + 7g Na-carbonate in
distilled water to make 1 of solution.
NB: If soil does not disperse completely, allow
soil to settle, decant as much of the water as
possible and then add a further 100m of
dispersant.
Soaking
Samples soaked for minimum of 16

hrs.
Taken at 2min; 5min; 15min; 30min;
1h; 4h and 24h.
Equations used to calculate
maximum diameter of particles in
suspension
Soak in solution for min of 4hrs or overnight.
Equations used to calculate maximum diameter

of particles in suspension.
Maximum particle size calculated.

At 1h, max size is 0.005mm, at
40s max size is 0.05mm and at
18s, max size is 0.075mm.
Constant temperature at or near 20C

is required.
Constant temperature bath of 25C, to an

accuracy of 0.5C.
20C when readings are taken or a

temperature correction has to be
applied.
Hydrometer
readings
Analysis
Temperature
Taken at 8min; 30min; 2h; 8h & 24h.
Close observation of these test procedures illustrates little

variation in the method of determination of the dispersion ratio,
except with regard to the types of dispersing agents used. The
ASTM
and
BSi
standards
specify
that
sodium
hexametaphosphate be used as a dispersing agent. However, the
solution is prepared differently and at different proportions in
each standard. The volume required to disperse the sample in
the test is also very different.
TMH1 specifies that a combination of sodium silicate and
sodium oxalate be used as the dispersing agent. A study of the
past revisions of the South African standards shows that the
combination of sodium silicate and sodium oxalate was
specified in the 1958 and 1986 test methods, whereas, sodium
hexametaphosphate was specified as the standard dispersant in
the 1970 version. There is no reason found as to why the
combination of sodium silicate and oxalate is used instead of
sodium hexametaphosphate or why there was a change in the
standard in 1970.
It should also be noted that TMH1 states that the one hour
hydrometer reading indicates the percentage of the clay fraction
in the sample. Analyses using Stokes Law show that at one
390
5 m each of sodium silicate and

sodium oxalate solutions.
Minimum period of 2 hrs but

preferably overnight.
Taken at 18s, 40s & 1h.
hour, particles in suspension in all samples are in the range of

0.006 0.007 mm, which is silt-sized and not clay-sized.
4
TESTING EQUIPMENT AND METHODS USED
A study was conducted to evaluate the effects of the different

methods on the test results. For the study, testing procedures
that were carried out were the South African standard (TMH1)
and the American standard (ASTM), the primary difference in
the procedures, being the variation in dispersing agents. The
tests were carried out on three samples, one non-dispersive, one
highly dispersive and a third that was presumed to be moderate
to slightly dispersive (based on past experience and field
observations).
The dispersing agents used were combinations of sodium
hexametaphosphate (33g) plus sodium carbonate (7g) in a liter
of water and a sodium silicate (5m) plus sodium oxalate (5m)
solution. Samples were left to stand for approximately 16 hours
after dispersion before being mechanically agitated and then the
hydrometer readings were taken. Time intervals for the
hydrometer readings were at 1 hour, 40 seconds and 18 seconds
as specified in TMH1 Method A6. Duplicate samples were
when determining dispersivity of a soil. A Dictionary of

Geology (1972) defines the clay fraction as a mineral particle
having a diameter less than 0.004 mm (1/256 mm). According
to Reeves et al (2006), the ASTM standards define the clay
fraction as being less that 0.005 mm and Japan defines the
fraction as less than 0.006 mm. However, the majority of the
countries listed define the clay fraction as particle sizes less than
0.002 mm. Once again there is no standard definition with
regards to the unit size for clay particles although a scan of the
literature shows that 0.002 mm is used more widely. As the
0.002 mm fraction is also the basis for classification of South
African soils according to Brink and Bruin (2002), this size
fraction should be taken as the upper limit of clay-sized
particles for future studies in South Africa.
The literature also indicates that during studies of dispersive
soils the initial indicator of dispersivity of the material is
generally classified on the basis of the double hydrometer test
by means of various indicator graphs/plots. Many workers
(Gerber and Harmse, 1987; Bell and Maud, 1994; Walker,
1997) have then proceeded to indicate that no single test
(including the double hydrometer test) can be used to identify
dispersive soils, and then propose classification rating systems
using a number of tests. It is postulated that many of the
ambiguities (i.e., the inconsistencies of results among workers)
are the result of the incorrect initial classification of the
dispersivity of materials as a result of variations introduced in
the double hydrometer test.
Most of the rating systems used currently in South Africa
seem to have been based on the initial classification of
dispersiveness by the double hydrometer test. Gerber and
Harmse (1987) used the test as a primary parameter when
developing the ESP-CEC chart. Walker (1997) included the
ESP-CEC chart as a parameter in the rating system and studies
carried out by Bell and Walker (2000) also make use of the
double hydrometer test when initially classifying the dispersive
soils.
This has resulted in the overlap of results within single
classification bands. Although it is assumed that in these
investigations, the materials have been tested following uniform
and standard procedures, preliminary testing has indicated
spurious results when sodium silicate/oxalate (the South African
road standard) is used as the dispersant (NITRR, 1986). It is
also noted that the dispersant standard in South Africa has
changed over time, possibly affecting the results, if they were
obtained from different laboratories over a prolonged period of
time. It can thus be assumed that this would be particularly
more so in projects carried out over short periods at various
times related to the general use of different dispersants with
time.
prepared according to the parallel test procedure, with no

chemical dispersant and mechanical agitation.
5
RESULTS
The one hour readings as well as the calculated dispersion

ratios for the two dispersing agents are summarized in Table 2.
17.7
UM108
2.6
11.6
22.4
ZT114
19.9
15.9
125.2
13.9
Dispersion
ratio%
7.9
Na
Hexametaphosphate
Dispersion
ratio %
1.9
Control
ND309
Sample
Na silicate &
oxalate
Table 2: Results obtained from 1 hour hydrometer readings and

dispersion ratios
10.1
16.6
15.7
24.9
79.9
The test results show that there is significant variation in the

apparent clay fraction between the two dispersants. The samples
that were dispersed with sodium hexametaphosphate produced
more realistic dispersion ratios than those of the other samples.
This could mean that the samples were not completely
dispersed with this dispersing agent (sodium silicate + oxalate)
or that there was some variation in sample preparation.
However, as the samples were prepared together with utmost
care to ensure ideal representatives, the latter is unlikely.
The maximum dispersion should occur when a chemical
dispersant is added to the sample ensuring a total disaggregation
of all flocs of soil. A high dispersion ratio indicates that the
sample breaks down significantly without the use of a chemical
dispersant and is thus dispersive. In theory, the 0.005 mm
fraction for the parallel test cannot be higher than that of the
standard test with the use of a chemical dispersant. This is only
likely to occur if there are inconsistencies in the testing
procedure or if the chemical dispersant does not act fully on the
material. The dispersion ratio of 125.2% shown for the sodium
silicate/oxalate dispersant (Table 2) indicates that the dispersant
in the standard test did not completely disperse the particles or
possibly caused some flocculation to occur.
An additional observation is that the classification obtained
for the two dispersants do not correlate. Sample ND309 falls
into two different categories of dispersivity based on the
classification by Elges (1985). It is classified as being slightly
dispersive using sodium silicate/oxalate and non-dispersive
using sodium hexametaphosphate, which can lead to uncertainty
regarding treatment requirements, should it be used for
construction.
6
CONCLUSIONS
An investigation into the double hydrometer test method used

for the identification of dispersive soils has highlighted
differences that can be obtained on a single soil as a function of
the variation in test procedures. This is due to the relatively
ambiguous state of the test procedures resulting in different
interpretations of the test methods, and consequently misleading
results.
The double hydrometer test is a good example of
misinterpretations due to ambiguities. Despite the test being an
ASTM standard (ASTM D4221-99), many laboratories just
duplicate the standard hydrometer analysis procedure (TMH1
and ASTM D422-63), which invariably produces incorrect
results. The variability of the results obtained from the double
hydrometer test appears to be the cause of many of the
ambiguities and discrepancies in the classification systems
studied during this research. The incorrect classification of the
dispersiveness in the early stages of the investigations would
influence the entire analysis process negatively.
DISCUSSION
Although the results of only limited testing is reported in this

paper, it is clear that the incorrect classification of dispersive
soils as a result of test variations appears to be common.
Inconsistencies noted in the available literature include the
variations in test methods. Observations have found that
different authors indicate different particle sizes for the clay
fraction. TMH1 and ASTM use the 0.005 mm fraction as the
boundary for the clay fraction, whereas BSI uses the 0.002 mm.
Many authors quote the 0.005 mm fraction as the clay fraction
391
Problems related to the double hydrometer tests pose the

potential for misleading results since the test is associated with a
number of different parameters in the rating systems. Inaccurate
results from the double hydrometer test can significantly affect
the correlation of the final rating, particularly when this test
method is used as the reference methods for the preliminary
classification of the dispersivity of soils (Gerber and Harmse,
1987; Bell and Maud, 1994; Walker, 1997).
It is therefore necessary to stress the importance of
developing and following a standard protocol for the test. In
order to reduce the variation/inconsistencies in results, it is
essential that the test method is reviewed and the optimum
procedure developed. The procedure should be simple and have
as few ambiguities as possible so that no misinterpretations can
occur.
392
REFERENCES
ASTM International. 2007a. Standard test method for dispersive

characteristics of clay soil by double hydrometer. ASTM D422199. ASTM Pennsylvania.
ASTM International. 2007b. Standard test method for particle-size
analysis of soils. ASTM D422-63. ASTM Pennsylvania.
Bell, F.G. & Walker, J.H. 2000. A further examination of the nature of
dispersive soils in
Natal, South Africa. Quarterly Journal of
Eng. Geology & Hydrogeology 33:187-199.
British Standard (BSi). 1990. Methods of test for soils for civil
engineering purposes: Part 2: Classification tests. British Standard
1377-2: 1990, British Standards Institute, London.
Decker, R.S. & Dunnigan, L.P. 1977. Development and use of the Soil
Conservation Service Dispersion Test. In: Sherard, J.L. & Decker,
R.S. (Eds). Proceedings symposium on dispersive clays, related
piping and erosion in geotechnical projects. ASTM Special
Publication 623: 94-109
Elges, H.F.W.K. 1985. Problem Soils in South Africa- State of the Art.
The Civil Engineer in South Africa 27(7): 347-353.
Gerber, F.A. & Harmse, H.J. von M. 1987. Proposed procedure for
identification of dispersive soils by chemical testing. The Civil
Engineer in South Africa, 29: 397-399.
Maharaj, A and Paige-Green, P. 2010a. The impact of inconsistencies in
the interpretation of soil test results on the repeatable identification
of dispersive soils. Proceedings IAEG2010, Auckland, New
Zealand, September 2010.
Maharaj, A. 2010b. Preliminary observations of shortcomings identified
in standard tests for dispersive soils. Proceedings IAEG2010,
Auckland, New Zealand, September 2010.
Maharaj, A. 2011. The Use of the Crumb Test as a Preliminary
Indicator of Dispersive Soils. Proceedings 15th ARC on Soil Mech
and Geotech Eng, Maputo, Mozambique.
Maharaj, A. 2012. Problems associated with the chemical analysis if
dispersive soils. Proceedings 2nd European Conference on
Unsaturated Soils (E-UNSAT 2012). Naples, Italy.
Middleton, H.E. 1930. The properties of soils which influence erosion.
U.S. Dept. Agri. Tech. Bull. 178: 1-16
NITRR. 1986. Standard methods of testing road construction materialsTechnical methods for highways (TMH) 1. NITRR. Pretoria. 2125.
Paige-Green, P. 2008. Dispersive and Erodible Soils Fundamental
differences. SAIEG/ SAICE Problem Soils Conference, Midrand,
Nov 2008 pp 59-67.
Volk, G. M. 1937. Method of determination of degree of dispersion of
the clay fraction of soils. Proceedings Soil Science Society of
America 2: 561-567.
Walker, D.J.H. 1997. Dispersive soils in KwaZulu-Natal. Unpublished
MSc thesis. University
of Natal, Durban.
Correlation between deflections measurements on flexible pavements obtained

under static and dynamic load techniques
Corrlation entre les dflexions de revtements flexibles mesures sous chargement statique et
dynamique
Murillo Feo C.A.
Ph.D., Civil Engineering, Department of Civil and Agricultural Engineering. Universidad Nacional de Colombia, Av. NQS 45-03
Bogot, Colombia
Bejarano Urrego L.E.

Civil Engineering, Universidad Nacional de Colombia, Av. NQS 45-03 Bogot, Colombia. lebejaranou@gmail.com
ABSTRACT: Over the last 40 years several nondestructive techniques have been developed for determining the structural capacity of
flexible pavements as a function of the deflections produced by the application of a load. The techniques most used in Colombia to
measure pavement deflections are the Falling Weight Deflectometer (FWD) and the Benkelman beam, the first one works under dynamic
loading and the second device under static loading. However, for over 10 years, the use of devices under static loading has not been
recommended by several design methodologies, including AASHTO, but these are still used widely in many countries, for this reason it
was necessary to establish the correlation between the deflections obtained from FWD and Benkelman beam, specially on deteriorated
pavement structures; for this purpose, it was selected a section of flexible pavement road with presence of different types of deterioration.
The influence of type of deterioration, the temperature of the asphalt layer and the presence of nearby drainage structures and vegetation in
the measurements were evaluated. The obtained results showed that both devices have high correlation, and it is possible to obtain FWD
deflections as a function of Benkelman beam deflections.
RSUM : Dans les quarante dernires annes plusieurs techniques ont t utilises pour dterminer la portance des chausses en utilisant
les bassins de dflection gnre par lapplication dune charge. Le dflectomtre FWD est devenu aujourd'hui lappareil de rfrence international pour la dtermination de la portance des chausses. Cependant, en Colombie, la poutre Benkelman est la technique plus utilise, bien que lutilisation dappareils sous charge statique nait pas t recommande par plusieurs mthodologies. Par consquent, il tait
ncessaire dtablir la corrlation entre les dflexions obtenues partir de la poutre Benkelman et le FWD. Plusieurs tests ont t mens
afin de raliser la comparaison entre les dflections obtenues par la charge statique ainsi que la charge dynamique. Les essais ont t raliss sur chausse souple avec diffrents types de dtrioration. Linfluence du type de dficience, la temprature, la vgtation ont t pris
en compte. Les rsultats ont montr quil est possible dtablir une corrlation entre les deux appareils.
KEYWORDS: Non-destructive test, Benkelman beam, FWD, deflections, flexible pavement, structural number, resilient modulus,
backcalculation.
INRODUCTION
Most of the road network in Colombia has a significant level of

deterioration and therefore requires major rehabilitation projects;
in general, most of these rehabilitation activities involve a new
asphalt layer on the original pavement structure; knowledge and
analysis of structural capacity of the pavement is essential to
perform a durable and economical rehabilitation design.
It is possible to quantify the structural capacity of the pavement
by means of the structural number (SN), which, in this case, is
obtained in function of the deflections generated on the surface of
the pavement by a process of backcalculation. The most used
equipment in Colombia for measuring deflections on pavement
structures are the Falling Weight Deflectometer (FWD) which
works under dynamic loading and the Benkelman beam which
works under static loading.
The Benkelman beam was one of the first methods developed
for measuring deflections on pavements, is economical, readily
393
available and has been widely used in the world, however, its
performance is slow, has high degree of uncertainty taking data
and mainly it operates under a static load which does not really
represent the effects exerted by moving vehicles, presenting low
reliability of results. On the other hand the FWD, although it is
more expensive, has a high performance, is automated and
operates under a dynamic load, this is the most efficient
equipment and advanced technically exists to measure the
deflections of a pavement structure simulating the action of a
moving load.
Different associations like the AASHTO do not recommend
the use of deflectometers under static load, but in several
countries, including Colombia which presents damage in the most
of the road network, these devices are still in use especially the
Benkelman beam, not only for structural evaluation but also for
design of pavement structures; this is due especially to difficult
acquisition, unfamiliarity and cost of falling weight deflectometer.
Therefore, it is important to determine the degree of correlation

between these two devices to be able to obtain FWD deflections
as a function of Benkelman beam deflections.
DEFLECTOMETRY
The deflection of an asphalt pavement structure is the vertical

displacement of the surface in response to application of an
external load. When this load is applied on the surface, all layers
are deflected, developing stress and strain in each layer, as shown
in Figure 1.
The shape and dimension of the deflection basin covers important
information about the structural characteristics of both the
pavement and subgrade. Deflections measured towards the end of
the basin reflect the condition of the subgrade, while the
measurements taken in the center of load application reflect the
condition of the surface layer.Figure1 shows the evaluation of the
pavement according to the length (Lo) and a maximum depth (Do)
of the basin.
Type
Do
Lo
Low
High
II
High
High
III
Low
Low
High
Poorsubgradesoil/Poor
Low
pavementperformance
IV
whereE: elastic modulus of the materials, : Poisson's ratio, d:

deflection of the pavement structure, : stress on each layer of the
structure, : strain, and D: layers thickness.There are several
backcalculation methodologies, most of them carried out in
function of the deflections obtained only under dynamic load
including the AASHTO and SASW methodology which was used
for the analysis of the deflections obtained from FWD.( Murillo et
al, 2009).
There exist few methodologies developed from deflections under
static load, because these procedures do not simulate adequately
the real effects of moving loads. Mario Hoffman, in 1975,
presented a methodology based on the "Hogg Model", which was
used in the present study for backcalculation procedure based on
the deflections obtained using the Benkelman Beam.
EVALUATION
Goodsubgradesoil/
Goodpavement
Poorsubgradesoil/
Goodpavement
Goodsubgradesoil/Poor
pavementperformance
Figure1.Characteristics of deflection basin

2.1Admissible deflection value
Figure 2.Algorithm backcalculation of MR- AASHTO.
3.1. AASHTO Methodology (for FWD)

The guide for designing of pavement structures AASHTO establishes a procedure to calculate the resilient module (MR)and
thereafter the effective structural number (pavement structural capacity) as shown in the flowchart of Figure 2.
The maximum values of deflection for design purposes

estimated by Hveem (1995) are presented in Table 1.
Table 1. Maximum deflection values estimated by Hveem, 1995.
Concretepavement
200
Maximumdeflection
value(microns)
300
Cementtreatedbase
150
300
Asphaltpavement
Asphaltpavementonbasecourse
(plantmixed)
(plantmixed)
(Insitu)
Surfacetreatmentpavement
100
425
75
500
50
625
25
925
13
1250
Typeofpavement structure
Thickness(mm)
BACKCALCULATION METHODOLOGY
Table 2 shows the basics of back calculation methodology.The

back calculation outputs are the modulus of elasticity of the
pavement structure, effective structural number of the pavement
layers, and subgrade soil resilient modulus.
Table 2. Representation of back calculation methodology
DIRECTCALCULATION
E,Di,d,,
BACKCALCULATION
E,,d,Di,
whereMR: resilient modulus of the subgrade (psi), P: applied load

(pounds), r: distance from the center of the load (inch), dr:
deflection at a distance "r" from the center of the load (inch), ae:
radius of the bulb of pressure representing the subgrade level
(inch), a: radius of the loading Ring (inch), D: thickness of the
pavement structure above the subgrade (inch), Ep: equivalent
modulus of all pavement layers above the subgrade (psi), d0:
deflection at the center of the load plate, adjusted to a temperature
of 20 C (inch), p: pressure of load plate (P/a2).The effective
structural number (SNeff) is calculated based on the total thickness
of the pavement and its effective modulus as shown below.
(1)
394
where HT:total thickness of the pavement structure (in), Ep:

equivalent modulus of pavement structure above the subgrade
(psi).
negatively causing transverse and block cracks by the action of the

root system.
Figure 4.Study area. Road network at Universidad Nacional de Colombia -Bogot
3.2. Hogg Model Methodology (for Viga Benke.)

In 1944, Hogg presented the mathematical solution of the model
which is known by his
Figure 3. Scheme of Hogg mode
Hoffman, Mario. 1985
name. This assumes that
the pavement layers are
characterized by a thin
plate with a certain bending stiffness.
The
subgrade
is
represented by an elastic,
linear, homogeneous and
isotropic medium (Figure
3).Hoffman,
in
1977,
presented the computerized
solution of the model, which is summarized below in Figure 5.
Figure 5. Methodology of Hogg Model for calculation of
subgrade modulus
MEASUREMENT DEVICES
5.1 Benkelman beam

where A: radius of the contact circular footprint, P: load on the
double rim (1/2 of the load on back axle. Example 80 KN / 2 =
40KN), p: inflation pressure, R: distance which deflection DR is
measured, D0: maximum deflection, DR: deflection at a distance
R, R5: distance from the geometric center of the double rim along
until obtaining the relation DR/D0=0.5, lo: characteristic length of
the deflection basin, S0: stiffness for theoretical point load, S:
stiffness of the pavement, E0: modulus of subgrade (kg/cm2). I, K,
M, X, Y, A, B, C: numerical coefficients developed for the model
(see Ref 5).
The effective structural number (SNeff) is calculated depending on the characteristic length and the modulus of subgrade as
shown below:
Benkelman beam (Figure 5) is a device which operates on a

simple lever arm principle, the unit consists of a rigid support
beam, pivot, one or two measurement probe beams and dials
indicator. It is a convenient and practical device for measuring
deflection of flexible pavements under the action of wheel loads
and works in conjunction with a suitable loaded vehicle (back axle
loaded with 80 KN).The probe beam is placed between the dual
tires of a test vehicle, and deflection is measured as the vehicle
passes over the test area to beyond the end of the probe beam.
.... (2)
where E0: modulus of subgrade (MPa), l0: characteristic length
(cm).
It is possible to calculate the equivalent modulus of pavement
layers by means of Ullidtz proposal.
STUDY AREA
The study area is located on the campus of the Universidad

Nacional de Colombia-Bogot, it includes three sections of
flexible pavement structure which are part of the road network of
the university, these are: the main Ring road with a length of 2375
meters, vehicular access Calle 53 with length of 480 meters and
vehicular access Transversal 38 with a length of 280 meters.
The deflection measurement was taken in 66 points, as shown
in Figure 4.The area presented various types of damage including
longitudinal failures, fatigue cracking (alligator cracking),
interventions of asphalt patching, edge cracking and small
potholes. Moreover vegetation influence is quite evident
Figure 6.Benkelman beam (two-part probe beam)
The measurements were taken at 0 (Lo), 75, 150 and 300 cm,
the end of the two probe beams were separated 25 cm each other,
which means the readings were estimated at 0, 25, 75, 100, 150,
175, 300 and 325 cm from the center of load application. The
temperature was taken with a manual thermometer.
395
4.2FWD
The falling weight deflectometer, FWD works by dropping a
controlled weight and transmitted to the pavement structure
through a circular plate as shown in Figure 6. A set of geophones
(deformation sensors) mounted radially from the center of the load
plate measure the deflection in response of load pulse. The
distribution of deflection sensors are shown in Table 3.
The FWD used in the tests was model JILS-20, programmed with
a load pulse of 9000 pounds and three impact tests at every point.
The equipment had an infrared sensor to measure the temperature
of the asphalt layer.
Figure 6.FWD a) Equipment mounting b)Load cell and deflection sensors
system
Figure 7. b)Deflection basin-FWD, CL 53.
a)
b)
Figure 7c) Deflection basin-Benkelman Beam, Ring road (K0+600K1+150).
Table 1. FWD - Sensor configuration

FWDGeophonesconfiguration
FWD Sensor number
Offset from FWD load plate (cm)
# 9 # 1 (do) # 2
#3
#4
#5
#6
#7
#8
20
30
45
60
90
120
150
20
5 EXPERIMENTAL RESULTS
5.1 Deflection basins

Figure 7 shows representative results of deflection basins
acquired in the study. The tendency of the deflection curves are deep and
of short length, which means that the subgrade corresponds to a

poor quality soil and deficient pavement performance.It was
observed that the deflection basins obtained from the Benkelman
beam are much deeper (12 to 232 mm-2) than those obtained using
FWD (31,29 to 164,14 mm-2) giving more critical quality of the
structure, although largely this is due to static charging system
(Figure 8); that is, the analysis performed with the Benkelman
Beam is more unfavorable, being that a deeper deflection curve
indicates a deficient performance not only of the pavement
structure but also of the subgrade.
Figure 7d) Deflection basin-FWD, Ring road ((K0+600-K1+150)
Figure 8. Typical deflection basin throughout the area, obtained using

Benkelman beam and FWD
Figure 7. a) Deflection basin -Benkelman Beam, CL 53.
396
Figure 9 shows that presence of damages such as block and

transverse cracking (mostly caused by tree roots) strongly affect
the measurement resulting deflection values lower than average.
The Benkelman beam technique is more susceptible to this cause.
Figure 12. Maximum deflection value profile (d0) - Ring road.
Figure 12 clearly shows deflections obtained from both devices

follow the same trend. Both deflection profiles obtained using the
Benkelman and FWD are outside the range of the maximum
allowable deflection. The deflection values furthest from the trend
correspond to test points affected by transverse cracking (usually
caused by tree roots), mainly those measurements values obtained
with the Benkelman beam.
Table 4. Maximum deflection - average per section
Figure 9.Deflection basin on areas affected by block cracking
MAXIMUMDEFLECTIONNORMALIZEDTO20 C
Benkel.Beam
FWD
SECTION
Positionontheroad
0,01mm
0,01mm
AccesoCl53
[K0+000K0+480]
78.46
72.43
AccesoTrans.40 [K0+000K0+280]
96.44
77.50
Anillovial
[K0+600K1+150]
78.96
71.40
Anillovial
[K1+200K1+750]
93.85
78.93
Anillovial
[K1+800K2+350]
71.53
59.55
Anillovial
[K0+000K0+550]
87.54
81.02
In areas intervened with asphalt patching also the curve tends

to be shallower than the average (Figure 10). In contrast, Figure
11 shows that on areas with longitudinal failuresthe deflection
measurements resulted be higher than average, over 0.8 mm. The
presence of other type of damage or drainage structures also
caused high deflection measurements, over 1 mm.
The average of maximum deflection values (Do) is around 0.8

mm, which means a pavement structure of low stiffness and subgrade of low-bearing capacity. As shown in Table 4, the section in
best condition is the Ring road [K1+800 K2+350].
5.3 Comparison between Benkelman beam and FWD

measurements
The correlation between the deflection data obtained from FWD
and Benkelman beam is shown in Figure 15. Equations (3) and (4)
were obtained in order to convert Benkelman beam deflections to
FWD deflections taking into account falling weight
deflectometers simulate better the real effects made by moving
loads.
Figure 10. Typical deflection basin on areas with asphalt patching

interventions
Figure 11.Typical deflection basin on areas with presence of

longitudinal cracks
Figure 12. Correlation between deflections obtained with Benkelman
beam and FWD
5.2 Maximum deflection value(D0)

The pavement structure of the test roads has an asphalt layer
thickness of 100 mm on average, according to Table 1 the
permissible maximum deflection value corresponds to 42,5 mm-2.
Figure 14 shows the maximum deflectionprofile in the Ring road
and the permissible value.
....
(3)
.
(4)
where FWD: maximum deflection value (Do) obtained fromFWD
normalized to a standard temperature of 20C (68F), B =
397
maximum deflection value (Do) obtained fromBenkelman beam

normalized to a standard temperature of 20C (68F).The
correlation equations (3) and (4) are optimal for deflections
measurements taken on flexible pavement structures of low
stiffness, it is possible to use them in deteriorated structures,
preferably without presence neither transverse nor block cracking
(especially that caused by surrounding vegetation). These
equations are recommended for deflections between 0.3 and 1.8
millimeters.
5.4
Subgrade soil modulus
Both subgrade soilresilientmodulusand effective structural

numbers obtained using AASHTO methodology prove to be
higher than those obtained using the methodology of the Hogg
Model; that is the results obtained with the Benkelman beam still
are more unfavorable just as in the analysis of the deflection
basins.
Table 5. Subgrade soil modulus obtained in each section
SECTION
Positionontheroad
AccesoCl53
AccesoTrans.40
Anillovial
Anillovial
Anillovial
Anillovial
[K0+000K0+480]
[K0+000K0+280]
[K0+600K1+150]
[K1+200K1+750]
[K1+800K2+350]
[K0+000K0+550]
AVERAGE
c:Variationcoefficient
SUBGRADEMODULUS(Mpa)
BENK.BEAM
42.2
38.3
44.4
35.1
42.5
40.7
c(%)
59.8
39.3
25.0
41.0
56.6
33.4
FWD
77.9
63.4
55.1
62.3
59.8
50.9
c(%)
14.2
29.5
20.0
26.3
17.4
26.0
40.5
42.5
61.6
22.2
As shown in Table 5, on average in all test area, the modulus

of subgrade were 40,5MPa (5880 psi) obtained using the Benkelman Beam and 61,6 MPa (8931 psi) with FWD. Thesesubgrade
modulus values correspond to a fine-grained soft soil such as fat
clays and silts.
5.5
Effective structural number (SNeff)
On average, the effective structural number (SNeff) was 1,6

obtained using the methodology of the Hogg Model for
Benkelman beam measurements and 2,4 obtained using AASHTO
methodology for FWD measurements; it is demonstrated that the
structural assessment carried out with the Benkelman beam is
more critical than the one carried out with the FWD, this is
because the deflections obtained usingBenkelman beam are higher
for being taken under static load.
As shown in Table 6, these effective structural number values
are very low, representing the low pavement structural capacity
and the need for implementation of a rehabilitation project.
Table 6. Effective structural number obtained with both techniques
SECTION
Positionontheroad
AccesoCl53
AccesoTrans.40
Anillovial
Anillovial
Anillovial
Anillovial
[K0+000K0+480]
[K0+000K0+280]
[K0+600K1+150]
[K1+200K1+750]
[K1+800K2+350]
[K0+000K0+550]
AVERAGE
EFFECTIVESTRUCTURALNUMBER,
SNeff
BENK.BEAM c(%) FWD c(%)
1.6
104.2
3.0
11.9
1.0
76.7
2.3
11.9
2.0
44.3
2.3
11.7
1.6
51.7
2.4
20.0
1.6
87.9
2.2
11.3
1.9
39.4
2.3
16.0
1.6
67.4
2.4
13.8
CONCLUSIONS
-Deflections under static load are higher than those generated

by dynamic load; this is due to longer duration of load application.
398
Therefore, the results obtained from deflection values under static

load do not represent accurately the effects made by moving loads
(moving vehicles), so the structural analysis made using static
loading equipment may generate higher costs in rehabilitation
projects.
-Most deflection basins obtained are deep and short extension,
which means presence of poor subgrade soils and low
performance of pavement layers (low structural pavement
capacity).
-Backcalculation of subgrade soil modulus is a simple nondestructive procedure, more practical and faster than calculation
by laboratory tests; and more reliable than using correlations
based on other parameters as CBR.
-Exist a correlation (R2=0,82) between the deflections
obtained from Benkelman beam and FWD. The estimated
equations are recommended to use in structural analysis of low
stiffness pavement. It is possible to use them on deteriorated
structures, preferably without presence neither transverse nor
block cracking (especially that caused by surrounding vegetation).
-It was observed that presence of damages such as block and
transverse cracking (mostly produced by the effect of tree roots)
as well as asphalt patching interventions markedly influence the
measurement, resulting deflection values lower than average. In
contrast, presence of longitudinal failures as well as drainage
structures nearby causedeflection measurements higher than
average. It is not recommended to take deflections measurements
on these areas.
-The standard deviation and coefficient of variation of data
obtained using Benkelman beam are higher than those obtained
using FWD.
REFERENCES
1. AASHTO, 1993. American Association of State Highway and

Transportation Officials. Guide for Design of Pavement
Structures.
2. Beena SukumaraN. 2002. Suitability of using california bearing
ratio test to predict resilient modulus. RowanUniversity.
3. Crespo del Ro, Ramn. Clculo de refuerzo de firmes segn el
mtodo AASHTO. AEPO, Ingenieros Consultores S.A.
4. Crespo del Ro, Ramn. 2004. Valores de la deflexin segn el
equipo de medida. AEPO, Ingenieros Consultores S.A.
5. Hoffman, Mario. 1985. Estudio de evaluacin estructural de
pavimentos basados en la interpretacin de curvas de deflexiones
(ensayos no destructivos). Louis Berger Internacional Inc.
6. INVIAS - Instituto Nacional de Vas. Gua metodolgica para
el diseo de obras de rehabilitacin de pavimentos asfalticos de
carreteras. Segundaedicin.Colombia, 2008.
7.Murillo, C.; Thorel, L. & B. Caicedo. A Miniature Falling
Weight device for Non Intrusive Characterization of Soils in the
Centrifuge.Geotechnical Testing Journal. ISSN: 0149-6115 (July
2009).
8. Petersen Acevedo, Miguel. Relacin entre mdulo resiliente
determinado mediante deflectmetro de impacto y el de
laboratorio. Universidad Tcnica Federico Santa Mara.
Valparaso, Chile.
9. Sturm, H. and Skinner, Michael. Developmentofa pavement
management and prioritization framework for three
activemunicipal landfills. Pavement Performance Case Studies
Session of the 2012 Conference of the Transportation Association
of Canada Fredericton, New Brunswick, 2012.
Comparison of permeability testing methods

Comparaison des diffrentes mthodes sur les tests de permabilit
Tabcks
Huszk T.,
T., Mahler A., Varga
Nagy L., akcs
A. A.,
T, Huszk
Varga G.
G.
Budapest University of Technology and Economics
ABSTRACT: Coefficient of permeability is known as the most variable soil property Its value can vary over an order of magnitude
even in case of relatively homogenous layers. So determining this value is a complicated, complex engineering task. There is a vast
number of laboratory and in situ tests to determine the permeability coefficient. Each method has its own advantages, drawbacks and
limitations, so different methods should be preferred in different situations. The permeability coefficients of a sandy silt and a silty
sand layer have been determined by means Khafagi probe, Menard probe, water filtration method, constant head laboratory test and
falling head laboratory test. The permeability coefficients have also been estimated by the equation proposed by Hazen (1895). The
measured values are summarized and evaluated in the paper. Special emphasis is given on the reliability of the methods, on the
capability to sense the layer boundaries and their estimation accuracy.
RSUM : Le coefficient de permabilit est connu comme tant la proprit du sol la plus variable. Sa valeur peut varier, mme
dans le cas de couches relativement homognes. Ainsi, la dtermination de cette valeur est une question difficile, une tche
dingnierie complexe. Il existe de nombreux laboratoires et des tests in situ pour dterminer le coefficient de permabilit. Chaque
mthode a ses avantages, ses inconvnients et ses limites, ainsi certaines mthodes doivent tre privilgies en fonction du contexte.
Les coefficients de permabilit dun limon sableux et dune couche de sable silteux ont t dtermins par la mthode Khafagi, par
lessai pressiomtrique Mnard, par la mthode constante et tomber test de permabilit la tte. Les coefficients de permabilit ont
galement t estims par lquation propose par Hazen (1895). Les valeurs mesures sont rsumes et valus dans le document.
Laccent est mis sur la fiabilit des mthodes, sur la facult de dtecter les limites des couches et sur la prcision de leur estimation.
KEYWORDS: coefficient of permeability, laboratory test, in situ test
1
character, which is why general relationships (formulas or

graphs) based on a few simple quantities are not expected to
provide accurate k values. Based on these considerations, it is
not a good practice to use values taken from tables of universal
validity. No one can guarantee, for instance, that soils with the
correlation feature Ip=30% have identical coefficients of
permeability at all sites.
INTRODUCTION
Coefficient of permeability (also known as hydraulic

condictivity, denoted by k) is a highly variable soil property.
Previous studies have shown that its coefficient of variation can
be as high as 240 % (Lumb, 1966., Uzielli, 2008., Mlynarek,
2010.). Additionaly the chosen tetsting method has also high
influence on measured results.
The two main factors that determine the order of magnitude
of the permeability coefficient are: grain size and cleavage
(secondary interstices). These two properties can already have
significant spatial variability, but other influencing factors make
the determination of permeability coefficient even more
complex. The impact of the factors listed below is inferior, but
still not insignificant:
grain shape and orientation,
quantity and connection of interstices,
uniformity coefficient,
water content and saturation conditions before seepage
begins,
the properties of the passing liquid (water),
hydraulic conditions (hydraulic gradient, Reynolds number
etc.),
transient phenomena (migration, wash-out and wash-in of
grains).
1.1
Background
There is no method specified either as a Hungarian Standard

or in a Technical Guideline for calculating the coefficient of
permeability. Coefficient of permeability values can be
determined by on site or laboratory measurements or indirectly
from empirical correlations based on grain size distribution.
Small as it is, even a country such as Hungary has failed to
come to a common understanding about the test.
Kzdi (1976) expresses a preference for laboratory tests for
determining the coefficient of permeability and indeed the
following laboratory methods are available for determining the
value of k:
by constant water head test
by falling water head test,
by capillary permeability test, and
from a consolidation test.
Section S3 of Annex S to EUROCODE 7: Geotechnical

Design Standard highlights the role of saturation, which may
cause a change of up to three orders of magnitude in the
coefficient of permeability of certain soil types.
Rzsa (1977) rejects the laboratory method and recommends

pumping from a well to determine the coefficient of
permeability:
"The coefficient of permeability is one of the physical
properties that cannot be determined at the required accuracy
using laboratory methods. Frequently, a 10-50 fold accuracy of
It is fair to say therefore that the coefficient of permeability

of soils can depend on a large number of factors of different
399
the k factor would be sufficient, but even that is beyond the

scope of laboratory tests."
The handbook of groundwork prefers pumping tests
performed on site, but fails to mention what to do in layers
above the ground water tables. Kovcs (1972) takes a different
view and recommends using the grain distribution curve.
"Based on a brief description and a critical analysis of
laboratory and on site tests, it is underlined once more that
formula based calculation should normally be recommended as
the method for determining the coefficient of permeability, not
only because this is the simplest technique but also because its
reliability reaches and in most cases even surpasses that of other
methods. In-laboratory and on-site measurements are justified
only in case it is our intention to describe a unique stratification
property of a layer. That would require laboratory analysis of
undisturbed drill cores, advanced percolation tests or pumping
tests using several observation wells."
The coefficient of permeability of a rather large basket of
soil types, i.e. ones not characterised by grain size distribution,
is left undetermined this way. The following remarks allow us
to conclude that there the industry lacks consensus on how to
determine the coefficient of permeability value.
Section S3 Evaluation of test results of the annex to the
EUROCODE 7 standard specifies the following requirements
for evaluating test findings:
There are four widely used methods to determine the
coefficient of permeability (hydraulic conductivity):
field tests, such as pumping and borehole permeability tests;
empirical correlations with grain size distribution;
evaluation from an oedometer test;
permeability tests on soil specimens in the laboratory.
So it can be concluded that there are many laboratory and in
situ methods to obtain the coefficient of permeability. However
there is no universally applicable method; each method is valid
within certain limits, which we need to identify to render
investigations easy to target and plan.
Measurements have tended to take the form of site
investigation as soil mechanics have developed in the past 1520 years. That way multiple damage to samples can be avoided
and results will better reflect local conditions. It is
internationally accepted that local investigation provides more
accurate site specific values. The question arises whether or not
this statement also holds for the determination of coefficient of
permeability values.
1.2
Aims of study
We set out to determine the coefficient of permeability of

transitional and fine grained soils (ranging from fine sand
through sand meal and miry sand to silt). The following
boundary parameters were assumed for the purposes of our test
series:
We selected methods whose range of validity matched in
principle the type soil selected for the tests.
Homogeneous isotropic strata were assumed for the
purposes of the test despite the likelihood of periodic
sedimentation of coarser and finer grains during layer
formation, and an apparently homogeneous layer may
be composed of a network of more conductive and more
watertight lenses seams.
Potential filtration anomalies at layer boundaries are
ignored.
The increased conductivity due to atmospheric effects and
human intervention of a layer of top soil, which can be
up to 0.6-0.8 m thick, is also neglected.
400
Most tests determine the coefficient of permeability on a

relatively small sample of soil. It would, however, be a
mistake to generalise the value achieved that way for
the whole layer represented by the sample.
TESTING METHODS
The following methods were used to measure the coefficient

of permeability of fine grained and transitional soils on site:
Horizontal permeability can be measured with a Menard
probe inserted into a vertical bore hole. The radial
infiltration of water into the soil is facilitated by packers
and by the injection of water below and above the
measurement section.
Water absorption test across a trickling head lowered
through a Khafagi probe to determine the coefficient of
permeability. Soil conditions are taken into account for
the purposes of dimensioning the trickling head to be
used and the calibrated container.
Depending on ground water level, one or more boreholes
may be lowered for pumping or water absorption. Soil
conditions must be taken into account for determining
the layout and dimension of the boreholes. Serious
errors may occur if the liner fails to connect properly to
the hole bottom, as water will not only trickle into the
soil across the bottom but along a sleeve of unknown
length.
Equipment of constant or falling water head may be used in
laboratory measurements depending on the coefficient of
permeability.
We have also determined the value of coefficient of
permeability indirectly (by empirical correlation based on grain
size distribution) to compare and verify local measurements.
Different authors have identified different relationships to be
used in the indirect method of calculation and have partially
combined these methods with a variety of status descriptors. A
shared feature of these methods involves plotting a grain size
distribution curve typically identifying the grain diameter (d10)
associated with ten mass percentages passing and this value is
normally on the power of two. This paper presents the results
received from calculations using formula (see Figure 2).
3
TEST LOCATION, SOIL TYPES
Tests were performed at five locations, but this paper only

covers the findings testing section 54+260 of the left bank of the
Danube near Rckeve. The tests were performed on the
protected side 10 meters from the toe of the flood control dyke.
Exploratory drilling identified the following order of layers:
the upper layer from 0.0 to 3.4 m contains yellow and
yellowish grey silt with silty sand of low water content
(7% < w < 14%) and with moist density at around =
1.76 g/cm3. The grain size distribution curve shows that
the fine content makes up 80-90% of soil particles. The
coefficient of uniformity vary between Cu = 8.6-12.3
(see figure 1).
the layer from 3.4 to 5.0 m contains sand with grey silt. The
water content of this well graded layer is 20% on
average. Wet bulk density is around = 1.86 g/cm3. The
layer is understood to be much looser than the one
above. The examination of grain size distribution
suggests that the sand fraction makes up 70-75% with
silt at 25-30% (see figure 1). The coefficient of
uniformity is at Cu = 30-33.
Figure 1. Grain size distribution curve envelopes of the tested soils
TEST RESULTS
The results of the performed permeability tests are summarized

in Figure 2.
Coefficient of permeability k (m/s)
1,00E-02
0
1,00E-03
1,00E-04
1,00E-05
1,00E-06
1,00E-07
water filtration
Fine sandy silt
Menard-probe
Khafagi-probe
constant head test
falling head test
Hazen-equatation
depth (m)
Groundwater not appeared
Silty fine sand
The tests performed in the 54+260 km section and at other

locations demonstrated that Khafagi probes lowered by
pumping (or in receiver probes) are best suited to routine tests.
The advantages are laid out below:
potential to use both above and below ground water,
can be lowered with any type of probe,
simple device,
relatively low measurement costs,
no complicated measurement and evaluation methods,
relatively rapid measurement,
measurement length is adjustable to soil,
measurement findings include both horizontal and vertical
coefficients of permeability.
Naturally, the studies described above still keep us in the dark
about the exact value of the coefficient of permeability at the
location we examined, but we have measured approximations,
which we know deviate from true values in a certain direction
due to measurement error.
1,00E-08
54+260 section
sensed the rise of the coefficient of permeability at the

depth of 3.4 meters.
Compared to the coefficient of permeability findings of
local measurements and laboratory tests, calculations
from the grain distribution curve produced slight and
more pronounced overestimations for soils of poor and
better permeability, respectively.
Figure 2. Measured permeability coefficients
The following conclusions can be drawn from a practical

comparison of various measurement methods on the basis of
determining the applicability of the methods (see Figure 2).
The majority of measurement methods identified the change
of soil along the two sides of the formation boundary.
The results showed higher than expected scatter and the
errors seem to be regular in character and attributable to
the method of measurement.
Each method is likely to have a relative error of one order of
magnitude, disregarding the examination of samples
taken from the vicinity of the surface.
The error of water absorption was especially large: three
orders of magnitude at the depth of 1.7 meters and only
two at 2.6 meters. This method seems to lend itself to
erroneous measurements.
The scope of validity of the test performed with falling
water head test did not cover the bottom layer, as water
flow through the specimen rapidly. As a result
equipment maintaining constant water head test had to
be used to examine the lower layer.
Regardless of the type of soil, measurements with the
Menard probe returned values varying between k = 10-4
- 10-5 m/s and it seems to be insensitive to changes of
soil. But it must ba also noted that inappropiate device
might heva caused the experienced error. Unfortunatley
we couldnt repeat the test to reveal the reason of this
trend, so these results have not been analyzed in this
study.
The trend of the permeability coefficient determined with
the Khafagi probe and by calculations based on the
grain size distribution curve is identical to the findings
of laboratory measurements. Each of the three methods
401
CONCLUSIONS
The theories established on the basis of various studies offer a

solution for determining the coefficient of permeability for
instance on the basis of the grain size distribution curve or for
evaluating the findings recorded by the Khafagi probe or the
Menard probe, but we can still entertain doubts about whether
or not the values determined that way are appropriate, the
measurements replicate nature or reveal the k value
characteristic of natural permeation. We have conducted local
and laboratory measurements of the coefficient of permeability,
soil mechanics explorations and identification studied to resolve
these questions.
It is necessary to increase the accuracy of measuring the k
factor, because the relative error of calculations, processing and
geometric dimensioning, etc. is orders of magnitude smaller
than what we can determine for the coefficient of permeability.
Greater accuracy is required because uncertain measurements
lead to unjustified over-dimensioning at times and to running
unnecessarily large risks at other times. It is extremely
important to know the true value of the k factor to avoid that.
There are several methods for the in-situ determination of the
coefficient of permeability. This study and this paper aimed at a
practical comparison of the results of the different methods.
Figure 3 presents the range of validity of each measured value
and method of calculation based on measurement findings and
processing the literature. The same figure shows the
classification of soil types by permeability for the purposes of
various technical interventions.
The studies allow us to establish two important findings:
There is no universally applicable method and each method
of determining the coefficient of permeability has its
own range of validity. This principle was adopted in the
Hungarian Standard 15295, which was issued in 1999.
If there the coefficient of permeability of the layers is no
material different, it is not practical to use different
measurement methods in a single borehole and one
must not use different measurement methods at different
depths within one and the same layer, because swapping
methods may result in measured findings showing
greater differences than the ones actually present in the

soil.
Based on the foregoing, one must try to ensure that the value of
the coefficient of permeability is determined at least to 2030% accuracy.
When evaluating measured values, one must bear in mind that
no measurement is perfect and each method of measurement
carries an error, hence each will distort measured values one
way or another. Drilling (or pressing the probe into position)
may destroy the structure of the soil in in-situ measurements.
When drilling in floating sand or sand meal, fresh water should
always be replenished and the bit has to be withdrawn slowly
enough to prevent the soil from breaking into the borehole due
to the emanating piston effect. When performing laboratory
measurements of an undisturbed sample, taking samples with a
chipped sampler vessel is a dangerous source of errors as we
will measure the volume of water flowing past the mantle.
When evaluating measured values, one must pay attention to the
direction of change in the measured value triggered by the
measurement error. A chipped sampler will lead to measuring a
larger value of permeability, while the soil compacted by the
probe will reduce the measured value.
We cannot say what the coefficient of permeability of the soil
is, we can only state the value we received by performing a
certain type of measurement. And even if we do that, we need to
take into account the disturbance of the soil sample, the errors
of our method, etc. One must examine the method used to
produce the result as well as the distribution of the result and the
error lodged in the examination.
Presenting the above measured values helps us orientate
ourselves among the mysteries of the coefficient of
permeability. The poorest conclusion one can draw is that the
value of the coefficient of permeability is uncertain and
therefore there is no need to determine it. One should not follow
that road: on the contrary, one should underpin soil mechanics
opinions by sound measurements.
Not dewaterable
Poorly dewaterable
Well dewaterable
Watertight core of dams
Filter and drain zones of dams
Constant head test
Oedometer measures
Khafagi-probe
Foundation handbook
Measure in triaxial cell
Beyer-table
Watertight limit
(Kzdi 1976)
Zamarin-equatation
Watertight limit
(MSZ 15221)
Menard-probe
Falling head test
Grain size distribution curves
1,0E-07
Poorly watertight
1,0E-06
1,0E-05
Poorly permeable
1,0E-04
1,0E-03
1,0E-02
Well permeable
1,0E-01
1,00E-08
Well watertight
1,0E-08
1,0E+00
Excellent permeable
1,0E+01
cm/s 1,0E+02
Figure 3. Soil permeability characteristics and the ranges of

determining the coefficient of permeability
402
REFERENCES
Casagrande A. 1938. Seepage through dams, J.N. Engl. Water Works

Association, L1(2), pp 131 -172.
Paris.
Galli L. 1968. Planning of dikes, (in Hungarian), VIZITERV tervezsi
segdletek, 11. ktet, Vzgyi Tervez Vllalat.
Hazen A. 1895. The filtration of public water-supplies, New York.
Kzdi, . 1976. Soil mechanics, (in Hungarian), Tanknyvkiad,
Budapest
Kovcs Gy. 1972. Seepage hydraulics, (in Hungarian), Akadmiai
Kiad, Budapest
Lumb P. 1966. The variability of natural soils. Canadian Geotechnical
Journal Nr 3.
Mlynarek, Z. 2010. Quality of in situ and laboratory tests contribution to
risk management.
Nagy L. 200. Geotechnical questions of flood dikes, (in Hungarian).
Vzgyi Kzlemnyek, (2000), LXXXII. vf., Vol. 1., pp. 121-146.
Nagy L. 2007. Flood defence against dike slope slide, (in Hungarian).
Innova-Print Kft. nyomda, ISBN 978-963-87073-9-0.
Nagy L. 2008. A comparative study of the permeability (in Hungarian),
Kzdi memorial conference, (2008), pp. 97-106, Budapest, ISBN
978-963-06-5725-9.
Rzsa L. (editor) 1977. Foundation engineering handbook (in
Hungarian), Mszaki kiad.
Uzielli M. 2008 Statistical analysis of geotechnical data. Proceedings of
Geotechnical and Geophysical Site Characterization Conference,
Balkema, Taiwan, Taylor, Frances 2008.
Oscillation of Acceleration Accompanying Shear Band and Subsequent TimeDependent Behavior in Overconsolidated Clay under Undrained Plane-Strain
Conditions
Oscillation de lacclration accompagnant la formation de bandes de cisaillement et
comportement dpendant du temps dans une argile surconsolide en dformations planes et
conditions non draines.
Noda T.
International Member, Nagoya University, Japan
Xu B.
Student Member, Nagoya University, Japan
ABSTRACT: In this paper, a compression test on a rectangular overconsolidated clay specimen under plane strain, constant cell
pressure, and undrained conditions was simulated using a soil-water coupled finite deformation analysis code taking inertial loads into
consideration, and the following results were obtained: 1) In order to reproduce uniform deformation in a perfect specimen with no
initial geometric imperfection, it is necessary to have conditions in which the permeability coefficient is zero so that pore water
migration does not virtually occur, as well as to apply an initial distribution of velocity, acceleration and pore water pressure to the
interior as well as the boundary in accordance with the vertical velocity of the top/bottom ends so as to satisfy the undrained
conditions; 2) In specimens with initial geometric imperfection set to a very small amplitude primary cosine curve, when a vertically
symmetric vertical displacement was applied under displacement control from static conditions, shear banding occurred in the
specimen, and accelerations were generated from that part; 3) After the load became unstable, by changing to load control and
maintaining the load constant, creep behavior under undrained conditions was exhibited by the specimen.
RSUM: Un essai de compression sur une prouvette rectangulaire dargile surconsolide, en dformations planes et conditions non
draines est modlis en utilisant une analyse couple en grandes dformations, prenant en compte les forces dinertie. Cette analyse a
apport les rsultats suivants: 1) En vue de reproduire une dformation uniforme dans une prouvette parfaite sans dfaut gomtrique
initial, il est ncessaire davoir des conditions dans lesquelles le coefficient de permabilit est gal zro de telle sorte quil ny a
aucun coulement deau, ainsi que dappliquer une distribution initiale de vitesses, dacclrations et de pressions interstitielles
lintrieur ainsi quaux limites de lprouvette en accord avec la vitesse verticale de la base et du haut de celle-ci en vue de satisfaire
les conditions de non drainage ; 2) Pour des prouvettes prsentant un dfaut gomtrique initial de trs faible amplitude, quand un
dplacement vertical symtrique est appliqu dplacement contrl, des bandes de cisaillement se dveloppent dans lprouvette et
des acclrations se dveloppent partir de l ; 3) Aprs que le chargement soit devenu instable, en changeant pour un chargement
contrl en effort et en maintenant leffort constant, lprouvette prsente un comportement de fluage en conditions non draines..
KEYWORDS: imperfection, shear band, acceleration oscillation.
MOTS CLES : imperfection, bande de cisaillement, oscillation de lacclration
1
INTRODUCTION
In bifurcation analysis or shear strain localization analysis of

soil specimens, calculations are normally carried out on a
uniform deformation field assuming quasi-static conditions that
ignore the effect of inertia forces (Ikeda et al. 2003, Wan et al.
1990). The authors have developed the GEOASIA code, which
is capable of performing analyses without distinction
dynamic/static problems, extending the static soil-water coupled
finite deformation analysis that has been carried out to date
(Asaoka et al. 2007, Noda et al. 2008). In this paper, the strain
localization problem of rectangular specimens of saturated
overconsolidated clay under undrained and constant side
pressure conditions was addressed, checking the conventional
solutions that were obtained under quasi-static assumptions and
taking the problem to be a dynamic problem that considers
inertial term. This paper introduces several phenomena such as
the generation of accelerations and time-dependent behavior
(creep) associated with the occurrence of shear banding as
newly found calculation results using GEOASIA.
2
CALCULATION CONDITIONS
with 3.5 cm wide and 8 cm high in the isotropic consolidation

state. The specimen was a fully remolded overcolsolidated clay.
As the elasto-plastic constitutive model in the analysis, the SYS
Cam-clay model (Asaoka et al. 2002), the degree of structure
was R*=1.0 and there was no effect of the initial anisotropy and
induced anisotropy (0=0, br=0).
Rigid smooth
pedestal
Constant
velocity
boundary
8.0cm
Impermeable
boundary
Traction boundary
(cell pressure
294.3kPa)
3.5cm
Fig. 1 shows the finite element mesh and boundary conditions

used in the calculations. The calculation assumed 2-dimensional
plane strain conditions and a saturated rectangular specimen
403
Fig. 1 Finite element mesh and boundary conditions
Table 1 shows the soil elasto-plastic constants and the set of

initial values used in the calculations. Apart from the
the specimen. However, when the theoretical initial values are

set for the velocity and acceleration as initial conditions, small
vibrations occur around time t=0. Therefore, for no vibration the
initial velocities and accelerations are set slightly smaller than
the theoretical values. See Noda et al. 2013 for the method of
obtaining the reduced values.
120000
1.55
2.0
0.108
0.025
0.3
Computed (Reduced values)

Computed (Nonreduced values)
Theoretical result
Acceleration(gal)
Table 1 Specimen elasto-plastic constants and initial values
0.5
Computed result
Theoretical result
0.5
60000
0
0.0008
Time(sec)
0.0016
(1.6E+05)
1
0
0.0008
0.0016
(1.6E+05)
Time(sec)
(i) horizontal
(ii) vertical
Fig. 3 Difference in acceleration generated at the right side surface of
the specimen
0.2
4 OCCURRENCE OF ACCELERATION ASSOCIATED

WITH SHEAR BANDING
1.747
0.0
1.0
5.0
0.0
2.65
3.710-8
5%
10%
15%
20%
Fig. 2 Change in specimen deformation and pore water pressure
distribution under uniform deformation
3 REPRODUCTION OF A UNIFORM FIELD USING THE

GEOASIA ANALYSIS CODE
In the following, the initial conditions were changed from the

conditions appropriate to realize a uniform deformation field to
velocities, accelerations, and pore water pressures that are all
zero. The calculation was carried out with (a) no initial
geometric imperfections and (b) initial geometric imperfections
applied to the specimen. In the case of (b), a half wavelength
cosine curve (primary mode) with a small amplitude of 10-5 cm
was applied to the side surfaces of the specimen in accordance
with Asaoka et al. 1994. In static analysis, as in Asaoka et al.
1994, this is the shape of the induced initial imperfection, and it
changed to the primary mode with reduction in load
(imperfection-sensitive bifurcation behavior). In this section, in
order for the specimen to maintain vertical symmetry in the case
of (a), a vertical displacement at the constant rate of 0.510
cm/s was applied to both the top and bottom of the specimen in
the compression direction. Also, the permeability coefficient
was changed from zero to the values shown in Table 1. The
calculation results are shown below.
1000
Consider undrained compression deformation of a perfectly

rectangular specimen with no initial material or geometric
imperfections. The top and bottom of the specimen were free in
the horizontal direction, and after fixing the bottom in the
vertical direction, a constant uniform vertical displacement was
applied to the top. In accordance with the u-p Formulation,
when solving without ignoring inertial forces, a uniform
deformation field satisfying element-wise undrained conditions
in a rectangular specimen can only be realized when the
permeability coefficient is k 0 , although the theoretical proof
(Noda et al. 2013) is omitted. In order to realize a uniform
deformation field using this analysis code, it is necessary to set
a velocity distribution that is proportional to the height and the
velocity applied to the top of the specimen (not all are zero), an
acceleration distribution to maintain the rectangular shape, and
pore water pressures that exhibit a parabolic distribution in the
horizontal direction as initial conditions in addition to the
coordinates of the finite element nodes at the boundary and
interior (Noda et al. 2013).
In this section, for the case with k 0 first, a constant
vertical velocity of 103 cm/s was applied on the top to illustrate
the calculation results when a uniform deformation field is
achieved. Fig. 2 shows the change in specimen deformation and
the parabolic pore water pressure distribution, and Fig. 3 shows
the horizontal component and vertical component of
acceleration generated in the center of the right side surface of
404
Deviator stress q (kPa)
Elasto-plastic parameters
Critical state index M
NCL intercept N
Compression index ,
Swelling index ,
Poisson's ratio
Evolution parameters
Degradation index of OC m
Initial conditions
Specific volume v0
Stress ratio 0
Degree of structure 1/R0
Degree of overconsolidation 1/R0
Degree of anisotropy 0
Soil particle density s (g/cm3)
Permeability coefficient k (cm/s)
60000
Acceleration(gal)
overconsolidation degradation index m, which controls the

overconsolidation behavior, the elasto-plastic constants used
were the same values as used by Asaoka et al. 1994. Vertical
constant loading rate was applied on the top surface. The
boundary conditions were assumed to be constant lateral
pressure and undrained conditions, with no friction at the top
and bottom and with complete freedom of movement in the
horizontal direction. Calculation under these conditions cannot
be realized with quasi-static analysis that ignores inertial forces.
The mesh subdivision was 70 elements laterally by 160
elements vertically.
500
Perfect path
Nonimperfection path, (a)
Imperfection path, (b)
0
10
Axial strain a(%)
20
Fig. 4 Relationship between apparent q- a with differences in initial

imperfections
4.1
VERTICALLY ASYMMETRIC DEFORMATION

INDUCED BY INITIAL IMPERFECTIONS
Fig. 4 shows the apparent axial differential stress q axial strain

a relationship, and Fig. 5 shows the specimen shear strain
distribution. q is the total increment of equivalent nodal forces
obtained on the top divided by the area of the top at each time,
and a is the vertical displacement divided by the initial
height. In the case of (a), q was virtually the same as the
perfect path (= response of the constitutive equation) obtained
in the uniform deformation field, and the specimen maintained
left to right and top to bottom symmetry from the beginning to
end. In contrast, in the case of (b), the deformation virtually
maintained left to right and top to bottom symmetry up to an
a of about 12%, but thereafter, vertical symmetry was

broken. Associated with this deformation, q deviated from the
perfect path and exhibited small values.
(a)
5%
10%
15%
of loading, in other words, until the a was about 10%.

Thereafter, as the shear banding started, new accelerations were
generated with a maximum value of about 2000 gal. Also, after
exhibiting the maximum value of acceleration, each component
tended to converge as a increased. Fig. 8 shows the Fourier
amplitude of the acceleration up to a = 30% for the side
surface (point A) of the specimen. From these figures, it can be
seen that accelerations are generated predominantly with a
period of around 5.010-3 sec.
20%
An investigation into the effect of displacement rate was carried

out for compression under displacement control by applying a
geometric initial imperfection in (b) of section 4. Fig. 9 shows
the results of a comparison of the Fourier amplitudes of the
accelerations obtained at point A on the side surface of the
specimen for displacement velocities of 2.5 cm/s, 5 cm/s, and
10 cm/s. In all cases, the specimen deformed as in Fig. 5(b)
(figures omitted). From Fig. 9, it can be seen that the Fourier
amplitudes increase with velocity, as a loading rate effect, and
that the predominant vibration amplitude is about 5.010-3 sec
with almost no variation.
(b) 5%
10%
15%
20%
Fig. 5 Change in shear strain distribution in a specimen with initial
imperfection in top loading
(a) No initial imperfections. (b) With initial imperfections.
4.2
LOADING RATE EFFECT
ACCELERATIONS ASSOCIATED WITH SHEAR

BANDING AND THEIR FOURIER AMPLITUDES
Fig. 6 shows the distribution of the horizontal component of

acceleration generated in the specimen in (b). The acceleration
distribution is symmetrical left to right and top to bottom up to
about an a of 12%. These are the accelerations generated due
to the compression from the top and bottom as described above.
In contrast, after the breakdown of vertical symmetry, localized
Fourier amplitude [gal*s]
18
2.5 cm/s
5.0 cm/s
10.0 cm/s
12
0
0.0001
0.001
0.01
0.1
Period T [sec]
Fig. 9 Fourier amplitude of the vertical component of acceleration

generated at point A on the right side surface of the specimen (load rate
effect)
5%
10%
15%
20%
Fig. 6 Occurrence of shear banding associated with horizontal
components of generated accelerations (gal)
Acceleration(gal)
Acceleration(gal)
1000
In this section, firstly all the initial and boundary conditions as

well as the initial imperfection are same as (b) in section 4. The
calculation performed was continued after deviation from the
perfect path until (i) a =13% (0.104 sec after the start) and (ii)
a =18.75% (0.150 sec after the start), and then was altered to
load control at the top, maintaining the load constant, and
continuing with displacement control on the bottom edge but
stopping the vertical displacement. For load control, the
conditions for the pedestal with no friction were calculated
using the constraint conditions on the finite element nodes by
the Lagrange method of undetermined multipliers, as in Asaoka
et al. 1998. The results of the calculations are described below.
1000
1000
1000
2000
0
6 UNDRAINED CREEP BEHAVIOR UNDER CONSTANT

LOAD
2000
2000
0.08
0.16
0.24
2000
0
0.08
Time(sec)
0.16
0.24
Time(sec)
(i) Horizontal component

(ii) Vertical component
Fig. 7 (i) Horizontal component and (ii) vertical component of
acceleration generated at the side surface of the specimen
1000
8
Deviator stress q (kPa)
Fourier amplitude [gal*s]
12
0
0.0001
0.001
0.01
0.1
Period T [sec]
Fig. 8 Fourier amplitude of the vertical component of accelerations

generated at point A
500
Perfect path
Imperfection path
shear banding developed like reverse faults, and accelerations

were generated along the shear bands. Fig. 7 shows (i) the
horizontal component and (ii) the vertical component of
acceleration generated at the node A shown in Fig. 1. Different
from the horizontal component of acceleration, the vertical
component was the component normal to the central axis of the
specimen, and kept to be zero until about 0.08 sec after the start
0.1
Time (sec)
0.2
Fig. 10 Load control after displacement control (creep)
Fig. 10 shows the relationship between the calculated

specimen apparent top q and the elapsed time from
displacement control, and Fig. 11 shows the change in axial
strain from the start of displacement control. However, in Fig.
10, q was obtained by dividing by the initial area of the top of
the specimen. Also, the in Fig. 11 indicates the point of
405
change to load control. Figs. 12 and 13 show the vertical

component of the velocity and acceleration, respectively, of the
top of the specimen (in both cases, upwards is positive). In the
case of both (i) and (ii), immediately after the change to load
control, large changes in acceleration were seen, but in the case
of (i), the changes soon converged. In contrast, in the case of
(ii), after temporarily converging, the vertical velocity increased
at around 0.5 sec to 0.9 sec in association with an increment in
ac32
Axial strain a(%)
Axial strain a(%)
15
10
5
1
Time (sec)
16
2
Time (sec)
(i) 13%
(ii) 18.75%
Fig. 11 Development of axial strain; ((i) and (ii) are the axial strain after
changing to load control from displacement control)
0
Velocity (cm/s)
Velocity (cm/s)
4
8
12
0
0.08
0.16
4
0
0.24
0.5
1.5
Time(sec)
Time(sec)
(i) 13%
(ii) 18.75%
Fig. 12 Relationship between vertical velocity of the top and time
400
Acceleration(gal)
Acceleration(gal)
3000
1500
1500
3000
200
200
0.08
0.16
Time(sec)
0.24
400
0
Time(sec)
(i) 13%
(ii) 18.75%
Fig. 13 Relationship between vertical acceleration of the top and time
10%
28%
30%
Fig. 14 Changes in specific volume (swelling shear bands)
celeration and then reduced again, and thereafter, the axial

strain slowly increased. In order to show the state occurring
within the specimen at this time, Fig. 14 shows the change in
specific volume within the specimen from the initial state.
During the displacement control that included a =10%, the
loading was comparatively fast, so there was almost no
migration of pore water within the specimen; however, under
load control with the load constant, migration of pore water
proceeded, causing flow into the shear band and swelling
(generating swelling bands and acceleration).
7
plane strain rectangular overconsolidated specimen under

constant cell pressure and undrained conditions. The following
is a summary of the new knowledge obtained:
1) Firstly, it was shown that a uniform deformation field in
saturated soil under element-wise undrained conditions is
possible when the permeability coefficient is zero, and that the
output acceleration and pore water pressure field are in virtual
agreement with the theoretical values. In order to realize this, it
is necessary to apply a distribution of initially reduced velocities
and accelerations, as well as pore water pressure within the
specimen derived from theoretical considerations.
2) Next, initial velocity, acceleration, and pore water
pressure values of zero were applied, and under vertical
displacement control, vertical rates were applied with
symmetric compression loading from the top and bottom. In this
case, the lateral and vertical symmetry of the specimen broke
down, and strain localization occurred. Also, in association with
the occurrence of shear banding, when a vertical rate of 5 cm/s
was applied, accelerations with a maximum of slightly less than
2000 gal were generated from the shear band with a
predominant period of around 5.010-3 sec.
3) The load rate effect was investigated thirdly. The results
showed that although the magnitudes of the Fourier amplitudes
of the generated accelerations were different, the predominant
period in all cases was unchanged at around 5.010-3 sec.
Together with 2), in dynamic analyses, even though an
acceleration time history such as input seismic motions, etc., has
been applied to specimens or the ground, the point of view of
generation of accelerations during the deformation of the soil or
the ground itself has almost never been emphasized.
4) Finally, the specimen exhibited creep behavior under
undrained conditions when the displacement control in 2) was
changed to load control after the basic path deviated, and the
load was maintained constant. When the load was held constant
at a more unstable position, the axial displacement increased
greatly with increases and decreases in acceleration in
association with the development of shear bands associated with
swelling (swelling bands). In this calculation, the inherent clay
concept of the soil structure was not introduced, but it was
shown that due to the existence of the inertia term and soilwater coupled behavior, large deformation associated with time
dependence under load instability can be easily simulated.
CONCLUSION
This paper describes examples of calculation using the

dynamic/static soil-water coupled finite deformation analysis
code, GEOASIA in accordance with the u-p Formulation on the
406
REFERENCES
Ikeda, K. et al. 2003. Simulation and interpretation of diffuse mode bifurcation of

elastoplastic solids, J. Mech. Phys. Solids 51 (9), 16491673.
Wan, R.G. et al. 1990. A Finite Element Method for the Analysis of Shear Bands
in Geomaterials, Finite Elem Anal Des 7 (2), 129-143.
Asaoka, A. et al. 2007. All soils all states all round geo-analysis integration,
Implementation, Evaluation, and Application, Hong Kong, China, 11-27.
Noda, T. et al. 2008. Soil-water coupled finite deformation analysis based on a
rate-type equation of motion incorporating the SYS Cam-clay model, S&F 48
(6), 771-790.
Asaoka, A. et al. 2002. An elasto-plastic description of two distinct volume
change mechanisms of soils, S&F 42 (5), 47-57.
Asaoka, A. et al. 1994. Imperfection-sensitive bifurcation of Cam-clay under
plane strain compression with undrained boundaries, S&F 35 (1), 83-100.
Noda, T. et al. 2013. Realization of uniform deformation of soil specimen based
on soil-water coupled finite deformation analysis considering inertia forces,
S&F, to be submitted.
Asaoka, A. et al. 1998. Displacement/traction boundary conditions represented by
constraint conditions on velocity field of soil, S&F 38 (4), 173-181.
Behavior of fine-grained soils compacted with high shear stresses

Comportement des sols fins compacts avec des niveaux de cisaillement levs
Perez N., Garnica P., Mendoza I., Reyes M.A.
Mexican Transportation Institute
ABSTRACT: One of the parameters used to carry out the quality control of unbound compacted fine-grained materials is the
maximum dry unit weight obtained from a Proctor standard or modified test. However, these tests are far from simulating the field
compaction mechanism produced by the sheep foot roller equipment. Lately, the gyratory compactor has been put forward as a new
laboratory equipment to determine the compaction curves. This paper shows results of Proctor and modified compaction curves as
well as the ones obtained from the gyratory compactor. The new method of compaction was evaluated for three soils classified as CH,
ML and SM. The controlled variables in the gyratory compactor were the gyration angle, the vertical pressure, and the number of
gyrations. The results showed that the optimum water content is reduced as the vertical pressure increases and the opposite happens
with the dry unit weight. In addition, it was observed that the Proctor compaction curve is obtained with a vertical pressure of 200 kPa
and around 200 gyrations regardless the soil type. On the other hand, it seems that the compaction curves are similar disregarding the
rate of gyration and gyration angle.
RSUM : Un des paramtres classiques utiliss pour le contrle de qualit des sols fins compacts non traits est le poids volumique
sec obtenu dans lessai Proctor, standard ou modifi. Cet essai est cependant loin de simuler les mcanismes de compactage in situ
produits par des quipements tels que les rouleaux pieds dameurs. Rcemment, le dispositif de compactage giratoire a t mis en
avant, en tant que nouveau dispositif de laboratoire pour la dtermination des courbes de compactage. Cette communication prsente
une comparaison des courbes de compactage obtenues aussi bien avec les essais Proctor quavec le dispositif giratoire, pour lequel les
influences de paramtres tels que la pression verticale, langle de giration et le nombre de girations ont t values pour des sols de
classe CH, ML et SM. Une discussion est ensuite propose, montrant que la teneur en eau optimale diminue avec laugmentation de
la pression verticale, une tendance oppose apparaissant pour le poids volumique sec. On a aussi observ que la courbe Proctor
classique est obtenue pour une pression verticale de 200 kPa et environ 200 girations, quel que soit le type de sol. Les courbes de
compactage obtenues ne semblent cependant pas dpendre de la vitesse ni de langle de giration.
KEYWORDS: gyratory compactor, soil compaction, quality control, Proctor test, compaction curves, pavements, unbound materials.
MOTS-CLS : compacteur giratoire, compactage des sols, contrle de qualit, essai Proctor, courbes de compactage, revtement
routier, matriau non trait
1
INTRODUCTION
In this paper, the compaction curves were obtained with the

gyratory compactor and then they were compared with the
standard and modified compaction curves. In addition, it was
studied the effect on the compaction curve of variables as the
vertical pressure, the angle of gyration and the number of
gyrations. The procedures, equipments and results are described
in the following paragraphs.
Soil compaction is a process which is often used in the

construction of almost every single engineering structure.
Examples such structures are dams, the approaches of bridges,
mats for buildings, airports, pavements, etc.
To carry out the quality control of the compacted materials it
is necessary to count with two parameters, that is to say, the
field dry unit weight and the maximum dry unit weight obtained
in a laboratory test which can be Proctor standard or modified
(this paper is focused in the evaluation of lab maximum dry unit
weight).
To evaluate laboratory properties (i.e. the dry unit weight,
resilient modulus, unconfined compression, etc), it is paramount
that the test specimens possess as far as possible the same
structure that the soil will have in field. The evaluation of the
maximum dry unit weight and optimum water content of finegrained soils with test as the Proctor standard and modified test
is an example of an inconsistency between field and lab
structure. The field equipment for these cases are the sheepfoot
roller which compacts the soil from bottom to top while in the
Proctor standard test the soil is compacted by impacts, thus, it is
expected to obtain different soil structures. On the other hand,
Ping et al. (2003) have found that the field and laboratory
compaction curves are completely different. Thus, as a
consequence, some researchers (Ping et al., 2003;Milberger y
Dunlap, 1996; Mokwa et al., 2008, etc.) have put forward the
gyratory compactor as a new equipment to determine the
laboratory compaction curves.
GYRATORY COMPACTOR
Compaction in this equipment is achieved by the application of

vertical stress to a known mass within a mold of 100 or 150 mm
internal diameter. The longitudinal axis of the mould is rorated
(gyrated) at a fixed angle to the vertical while the platens are
kept parallel and horizontal. During the compaction the height
of the sample is automatically measured and the mixture density
is calculated. The operator can choose whether to compact to a
certain number of gyrations, a certain height or until a target
density(http://www.cooper.co.uk).It is important to mention that
even this equipment was designed to compact specimens of
asphalt mix, lately it has been utilized to compact fine-grained
and granular soils.
3
TEST SOILS
During this research it was collected a series of samples

classified as clay (CH), silt (ML) and sand (SM) (Figure 1).
407
15.5
Sr = 100 %; Gs = 2.52
15.0
(a)
(b)
(c)
Figure 1. Places from where the soils were sampled. (a) Silt (ML); (b)
Sand (SM); and (c) Clay, CH.
The index properties of the soils are listed in Table 1 and the
compaction characteristics obtained from Proctor and modified
tests are summarized in Table 2 (Figure 2 a 4).
Modified
wopt = 19 %
dmax = 15.17 kN/m3
14.5
14.0
Proctor standard
wopt = 23.54 %
dmax = 14.04 kN/m3
13.5
13.0
15
16
17
18
19
20
21
22
23
24
25
26
27
Water content (%)
Figure 4. Compaction curves of the SM soil.

Table 1.Index properties of the test soils.
Atterberg limits
LL (%) PL (%)
PI (%)
66
25
41
44
33
11
NP
NP
NP
Soil
Type
CH
ML
SM
% passing 200
sieve (%)
85.7
87.0
37.0
Gs
4.1
2.61
2.56
2.52
Standard effort (ASTM

D698)
wopt (%)
dmax
(kN/m3)
30.0
13.32
30.5
13.33
23.54
14.04
CH
ML
SM
Modified effort (ASTM D

1557)
dmax
wopt (%)
(kN/m3)
----24.5
14.59
19.0
15.17
4.2
Sr = 100%
Gs = 2.61
wopt = 30 %
dmax = 13.32 kN/m3
13.0
12.8
12.6
Proctor standard
CH Soil
12.4
12.2
20
22
24
26
28
30
32
34
36
38
40
Water content (%)
Figure 2.Compaction curve of the CH soil.

14.8
Sr = 100 %; Gs = 2.56
14.4
14.0
wopt = 24.5 %
dmax = 14.59 kN/m3
13.6
13.2
12.8
12.4
Compaction curves. Gyratory compactor
As was mentioned in previous paragraphs, in this equipment the

operator can control variables such as: vertical pressure, angle
of gyration, height of specimen, density, etc. In this study, the
controlled variables were as follows:
Vertical pressure: 200, 300, 400, 500, and 600 kPa.
Angle of gyration: 1 and 1.25 degrees
Number of gyrations: 500
Rate of gyrations: 10, 20 and 30 gyrations/min
Soil type: 3
Mass of compacted soil: 2300 g
Once the soils were gathered, the material larger than No. 4
sieve was discarded. The material passing was allowed to dry at
environmental conditions and subsequently itwas mixed
throughly and then stored in sacks.
For all three soils, the procedure followed to evaluate the
compaction curves was as follows:
1. 180 soil samples of 2300 g of dry soil (of each soil type)
were weighted so that to cover all the combinations of
the variables to be controlled (5 vertical pressures x 2
angles of gyration x 3 rates of gyration x 1 sample at
each point x 6 points on the compaction curve).
2. Different amounts of water were added to each sample
so that to cover the range in which the modified and
standard tests were found (to develop each curve, six
points were considered).
3. The soil samples were stored during 24 hours.
4. An amount of 2300 g of wet soil was placed inside the
compaction mold (Figure 5b and 5c), but previously
some plastic strips were placed on the interior wall of
the mold so that the soil did not stick and the sample
could be extracted (Figura 5a). In addition, another
plastic circle was placed on top of the soil so that it did
not stick against the top compaction platen.
13.4
13.2
Compaction curves. Proctor standard and modified

(ASTM D698 and ASTM D 1557)
To obtain the standard and modified compaction curves, the

ASTM procedures were followed (ASTM D698 and ASTM
D1557). From these procecdures, the method A was utilized in
both cases since all material tested passed sieve number 4.
Table 2.Compaction characteristics.

Soil type
TEST PROCEDURES.
wopt = 30.5 %
dmax = 13.33 kN/m3
12.0
21 22 23 24 25 26 27 28 29 30 31 32 33 34 35
Water content (%)
Figure 3. Compaction curves of the ML soil.
(a)
(b)
(c)
Figure 5.(a) Strips inside the interior wall of the mold; (b) 2300g of wet
soil were placed in the mold, and, (c) A plasticcirclewas placed on top
of the mold for the soil not to stick to the compaction platen.
408
5.
6.
The mold was placed inside the machine (SERVOPAC).

It was programmed to compact the soil at a required
angle of gyration, vertical pressure and 500
gyrations.This step was repeated for the 180 samples of
each soil type.
After the sample was compacted at 500 gyrations, it was
extracted. The dimensions and weight were taken and
registered.
15.0
Sr = 100 %
14.5
600
14.0
13.5
300
13.0
12.5
Vertical pressure: 200 kPa
12.0
Rate: 10 gyrations/minute
Gyration angle: 1.25 degrees
11.5
11.0
25
27
29
31
33
35
37
39
41
Water content (%)
(a)
(b)
Figure 6.(a) Ejection of the compacted sample; (b) the dimensions of the
sample were taken.
Figure 9. Compaction curves for ML soil.

15.5
15.0
14.5
14.0
13.5
600
13.0
7.
8.
In the final step the sample was taken apart to obtain

samples to determine el water content.
With data of water conent, height of the specimen and
dimensions, the dry unit weight was calculated at every
gyration. A typical plot obtained for every single
sample is ilustrated in Figure 7.
13.0
12.8
12.6
12.4
12.2
12.0
11.8
11.6
0
100
200
300
400

12.0
10
12
14
16
18
20
22
24
26
Water content (%)
Figure 10. Compaction curves for SM soil.
500
5.2
Gyration number
Figure 7.Typical plot of dry unit weight versus gyration number
From Figure 7 data at 100, 200, 300, 400, and 500 gyrations
were taken to plot the compaction curves.
5.1
300
12.5
As can be noted from Figures 8, 9 and 10, the dry unit weight
increases and the optimum water content is reduced as the
vertical pressure increases, however, this trend is clear for the
CH and ML soil. On the other hand, for the SM soil, the dry
unit weight increases, but for water contents larger than the
optimum of the Proctor standard test, the material cannot be
compacted because water starts to flow out of the mold. For this
reason, the compaction curves do not show the maximum dry
unit weight that can be observed in the standard compaction
curve obtained by impacts.
13.2
Sr = 100 %
DISCUSION OF RESULTS
Compaction curves from gyratory compactor
Figure 8, 9 and 10 illustrates the compaction curves obtained at

different vertical pressures, 1.25 angle of gyration, 10 gyrations
per minute and for each soil type. The dry unit weight plotted in
these figures was taken at gyration number 500.
Effect of different variables on the compaction curve
5.2.1
Gyration number
In Figures 8 to 10 the value of dry unit weight that was plotted
was calculated at gyration number 500, however, for each
compacted sample, it was obtained a curve of gyration number
versus dry unit weight. Thus, to detect the effect of the number
of gyrations, some of the compaction curves were plotted on the
compaction space together with the standard and modified
curves (Figure 11). As seen from this figure and also from
Figure 7, the mayor change in the dry unit weight is noted in the
first 100 or 200 cycles. For further gyrations, there is only a
slow change in dry unit weight. Thus, it can be concluded that
the soil can be compacted with 100 or 200 gyrations.
15.8
15.5
14.5
600
14.0
500
13.5
400
300
13.0
15.0
Modified
14.6
14.2
13.8
13.4
13.0
Vertical pressure = 200 kPa
12.5
12.6
18
20
22
24
26
Water content (%)
28
30

Rate = 10 gyrations/minute
Gyration angle = 1.25 degrees
Proctor standard
12.0
16
100 giros
200
300
400
500
Sr = 100 %
15.4
15.0
Sr = 100 %
12.2
32
16
18
20
22
24
26
28
30
32
34
36
Water content (%)
Figure 8. Compaction curves for CH soil.
Figure 11. Effect of number of gyrations on the compaction curve (CH

soil).
409
From Figures 8 and 11 it is also clear that to compact material

in field, a heavy equipment is more effective than to apply many
passes of a light one.
5.2.2
Gyration angle
The data obtained in this study indicates that the compaction
curve is independent of the gyration angles, at least for the two
gyration angles studied (Figure 12).
5.3
Shear stresses from gyratory compaction
The data registered during the compaction in the gyratory

compactor not only includes the height of the specimen, the
vertical pressure and the gyration angle, it also contains the
shear stress developed during the whole process of compaction.
Figure 16 shows an example of the magnitude of the shear
stresses that can be developed during the process of compaction
of a claywith 600 kPa of vertical pressure.
1.25 degrees
1 degree
15.0
Sr = 100 %
270
15.8
Sr = 100 %
15.4
250
14.5
15.0
Shear stress (kPa)
230
14.0
13.5
13.0

Dry unit weights at 500 gyrations
12.5
14.6
210
190
14.2
Compaction curve at 500 gyrations
13.8
Shear stress curve
at 500 gyrations
170
13.4
150
13.0
500
130
12.0

Rate = 10 gyrations/minute
Gyration angle = 1.25 degrees
12.6
12.2
110
14
16
18
20
22
24
26
28
30
32
16
34
15.5
18
20
22
24
26
28
Water content (%)
Water content (%)
Figure 16.Shear stress curve for CH soil (600 kPa of vertical pressure).
Figure 12.Effect of gyration angle (CH soil).
5.2.3
Gyration angle
The data obtained in this study indicates that the compaction
curve is independent of the gyration rate, at least for the three
gyration rates studied (Figures 13, 14 and 15). Thus, for
practical purposes it is convenient to carry out the tests at the
highest velocity tested in this study.
From Figure 16 it can be observed that the shear stress tends

to increase when the compacted soil is on the dry side of the
compaction curve, however, close to the optimum, the shear
stresses are reduced. It was expected because as the water
content increases the contacts between grains are reduced and as
a consequence the shear stresses are reduced.
6
CONCLUSIONS
15.5
The study of the behavior of compacted soils is of paramount

importance becuase this kind of material is involved in the
construction of almost all civil engineering structures. Its
quality control has been determined by the evaluation of two
parameters, that is to say, the field and laboratory density. To
evaluate the second one, the standard or modified Proctor tests
have been in use long time ago, however, these test are far from
developing the same soil structure provided for example for a
sheepsfoot roller which are utilized to compact fine-grained
soils. For this reason, the gyratory compactor has been put
forward as a new lab equipment to determine the standard and
modified compaction curves. This paper presented a series of
compaction curves developed in this equipment. It was
observed that there are a series of combinations of variables that
can be controlled in the gyratory compactor to obtain the
standard compaction curve. On the other hand, the compaction
curves seems to be independent of variables as the gyration
angle and the gyration rate, at least for the two gyration angles
studied and the three velocities. In addition, it is clear that to
increase the dry density of a soil, it is more effective to utilize
heavy equipment that many passes of a light one.
Sr = 100 %
15.0

14.5
14.0
13.5
13.0
10 gyrations/minute
20 gyrations/minute
30 gyrations/minute
12.5
12.0
16
18
20
22
24
26
28
30
32
34
Water content (%)
Figure 13.Effect of gyration rate (CH soil).
15.0
10 gyrations/minute
Sr = 100 %
14.5
20 gyrations/minute
14.0
30 gyrations/minute
13.5
13.0
12.5
12.0
11.5
11.0
25
27
29
31
33
35
37
39
41
Milberger, L., Dunlap, W. (1966). A gyratory compactor for molding

large diameter triaxial specimens of granular materials.Research
report number 99-2.Texas Highway department in cooperation with
the U.S. Department of Commerce.
Water content (%)
Figure 14.Effect of gyration rate (ML soil).

15.5
Mokwa, R., Cuelho, E., y Browne, M. (2008). Laboratory Testing of

Soil Using Superpave Gyratory Compactor.Transportation
Research Board, 2008.
Sr = 100 %
15.0
14.5
14.0
Ping, W.V., Xing, G., Leonard, M., y Yang, Z. (2003).Evaluation of

Laboratory Compaction Techniques for simulating field soil
compaction (Phase II). Report No. FL/DOT/RMC/BB-890(F).
http://www.cooper.co.uk/info/index.asp?page=crt_gyr_en_gyratory_co
mpactor_33.
Norma ASTM D 698-07e1, Standard Test Methods for Laboratory
Compaction Characteristics of Soil Using Standard Effort (12 400
ft-lbf/ft3 (600 kN-m/m3)).
13.5
13.0
10 gyrations/minute
12.5
30 gyrations/minute
12.0
12
14
16
18
20
22
24
26
REFERENCES
28
Water content (%)
Figure 15.Effect of gyration rate (SM soil).
410
Influence of Minerals on the Elastic Behaviour of Cohesive Soil

Influence des minraux sur le comportement lastique des sols cohsifs
Sarma D., Sarma M.D
M-AGS, M-ISSMGE, Independent Consultant (Southern Africa)
ABSTRACT: The trend of predicting the design parameters of soil from the index properties is continuing since decades, however,
those correlations do not focus much on the prediction of elastic behaviour of cohesive soils. Moreover, the influence of mineral(s) for
the validation of such correlations is either ignored or presumed to be covered by the Atterberg's limits. As the outcomes of the
research, pertaining to the title of the paper, influence of a prime constituent mineral has been identified and the extent of its influence
is derived. The constitutive modelling, an outcome of the correlative study, is analysed based on its typical pattern. The model thus
derived within the set scope of the investigation has led to the conclusion that the pattern is unique for cohesive soils and is under the
possible domination of the existence of a common mineral and extent of its weathering process. It leads to the indication of the
profound influence of the mineral and its weathering state upon elastic behaviour of cohesive soils. The model pointed out that some
of the engineering and geological properties are interdependent. The model has been calibrated with other available empirical
correlations and its civil engineering applications and limitations are derived. Outlines of subsequent research areas are also indicated.
RSUM : La tendance de prdire les paramtres de conception du sol des proprits de l'index se poursuit depuis des dcennies,
cependant, ces corrlations ne se concentrent pas autant sur la prdiction du comportement lastique des sols cohsifs. En outre,
linfluence de minraux (s) pour la validation de ces corrlations est soit ignore, soit prsume tre couverte par des limites
dAtterberg . Comme les rsultats de la recherche, portant sur le titre du document, linfluence dun minral constituant principal a t
identifie et ltendue de son influence en dcoule. La modlisation constitutive, le rsultat de ltude corrlative sont analyss en
fonction de son modle typique. Le modle ainsi obtenu dans le cadre densemble de lenqute a conduit la conclusion que le
modle qui est unique pour les sols cohsifs et est sous la domination possible de lexistence dun minral commun et ltendue de
son processus de vieillissement. Elle conduit lindication de linfluence profonde de la matire minrale et de son tat intempries
sur le comportement lastique des sols cohsifs. Le modle a fait remarquer que certaines des proprits techniques et gologiques
sont interdpendants. Le modle a t calibr avec dautres corrlations empiriques disponibles et ses applications en gnie civil et les
limites sont drives. Les contours des domaines de recherche sont galement indiqus.
KEYWORDS: Index properties, elastic behaviour, influence of minerals, cohesive soil, constitutive modelling, weathering process.
1
INTRODUCTION
The trend for prediction of design parameters of soil from the

index properties is continuing since decades for avoiding
complex, time-consuming, and relatively costly tests. Many
empirical correlations are already published and some are being
used in practice. Preliminary literature survey indicates that
those correlations do not focus much on the prediction of elastic
behaviour of cohesive soil. Moreover, the influence of
mineral(s) for the validation of such correlations is either
ignored or presumed to be covered by the Atterberg's limits. In
a postgraduate research of engineering geology, formulated by
the Author1, it was intended to establish the empirical
correlation for the prediction of elastic behaviour of cohesive
soil from the index properties and any influence of mineral(s).
Subsequent development was to use the correlation for fasttrack design of road and airport pavements, foundation of
structure, and for slope stability analysis within restricted
deformation based on known geological formations.
In this research, a detailed literature study and its inference
was drawn for the prevailing empirical correlations with
particular emphasis on the coverage of elastic property, directly
or indirectly. Further, this research included brief
methodologies of samplings collected from various locations to
the extent necessary for common civil engineering structures,
schedule of laboratory investigations on index properties, stressstrain responses of shear tests, and relevant geological studies.
411
Laboratory investigations for civil engineering properties and

geological studies were carried out at state Road Research
Laboratory and Geological Science Laboratory of the state
Public Works Department and University respectively. Based
on the outcomes of these studies the inference of all such
investigations has been drawn. Furthermore, constitutive
modelling for the empirical correlation and influence of
minerals has been investigated.
2
INFERENCES
This research was carried out with an objective of correlating

geological nature of soil and engineering properties, with
particular emphasis on the prediction of elastic behaviour of
cohesive soils vis--vis the elastic settlement of structures.
Significant outcome of the research is the constitutive model
(Ref Figure-1), which is based on some sensitive parameters,
namely, dry density (d), Plasticity Index (PI), and initial
tangent modulus (tan ), where is the angle between initial
tangent modulus and abscissa and presented in graphical form.
The graphical model has been obtained by plotting two factors,
as shown in the abscissa and ordinates, based on the results
from about 8 sites in northeast India, which is famous for
highest rainfall, flood, earthquake, and complex geological
formations. The result yields two curves that intersect at nearly
90 degree depicting two classified characteristics of the model.
Hence, it was found necessary to verify whether the graphical
model holds good for the parameters of other sites of the region.
Accordingly, supplementary test-data were obtained from the
samples of various sites, where investigations were undertaken
by the Road Research Laboratory (RRL). Based on the data, so
obtained from RRL, values of the two distinguished factors as
shown in the abscissa and ordinates of Fig 1 were plotted and
were found corroborating with the model. This simulation
exercise had encouraged further investigations on the
interpretation of data and development of correlation, exploring
various geochemical and other technical evidences in context to

the two classified characteristics of the model.
Figure 1. The constitutive model of elastic and index properties of
cohesive soil distinguished by geological characteristics
INTERPRETATION
The constitutive model, as shown in Fig 1, was required to be

interpreted with severe setbacks invading it. However, the
expectation that the engineering characteristics of soil depend
on the geological properties was given due attention.
Accordingly, for clayey soil it had been the expectation that the
values of PI, d, and were under the profound influence of the
texture, structure, composition, and other geological parameters.
A most common form of geo-chemical test was carried out
and found to be of much help in interpretation of the parameters
that influence the nature of the graphical model.
The ultimate extent of interpretation was to investigate how
the engineering properties of the clays of the study area have the
bearing on physical, chemical, and biological weathering
processes of rock and how such information on geological
variations of the soil samples could be correlated for estimation
of the elastic settlement of structures.
4
CORRELATION
Correlation among the various geological and engineering

properties was found to be a complex process, which
nonetheless was attempted within the limited scope of this
research through geochemical analysis. The samples were
identified as medium to highly plastic inorganic clay of semipervious to impervious nature. This identification process was
based on the results obtained from the laboratory tests carried
out to investigate the engineering properties of the samples
under study.
The study samples were predominantly Kaolinite and Illite
(formed by decomposition of Potash Feldspar), Biotite (mostly
altered to Chlorite and Serpentinite), partly weathered Quartz,
and possibly Montmorillonite. Although the exact crystal
structure of clay minerals could not be known in thin slides,
nonetheless, geochemical and other indirect evidences proved
412
these to be clays obtained predominantly by the decomposition

of Feldspar.
5
GEOCHEMICAL EVIDENCE
The mineralogy of sedimentary rocks were characterised by two

distinct types of minerals, first, the resistant mineral obtained
from the mechanical breakdown of the parent rock, and, second,
the minerals newly formed from the products of chemical
decomposition. The latter minerals were generally hydrated
compounds. "Goldich (1938) pointed out that the order of the
stability of minerals of igneous rock towards weathering is the
reverse of their order in the reaction series of Bowen (1915 a &
b)" - Mason and Moore 1991. The identity of arrangement
between Bowens reaction series and Goldichs stability series
indicates that the last-formed minerals of igneous rock are more
stable in subtropical temperature than the minerals formed at an
early stage of crystallisation. In other words, the difference
between the conditions at the time of formation and those
existing at the surface reflects the order of stability of common
silicate of igneous rocks.
Quartz and Feldspar are the abundant and dominant
minerals. Whereas Quartz is very resistant to the chemical
attack, feldspar is less resistant under identical scenario.
Although Feldspar may persist indefinitely in sedimentary
rocks, they are chemically decomposed by prolonged
weathering. In particular, Feldspars give rise to clays with
Potash Feldspar reacting in the presence of water to give Illite
and Plagioclase Feldspar reacting in a similar manner to give
Montmorillonite.
The samples under study were predominantly a mix
structure of Kaolinite and Illite with the presence of Ferromagnesium minerals and weathered Quartz. However, the
presence of Montmorillonite was doubtful as because the
studied samples did not show the typical expansive
characteristics.
The specific gravity is generally low when rock contains
light coloured minerals like Quartz and Feldspar and is high
when rocks contain dark coloured minerals, for example,
Ferromagnesian. However, clay minerals generally have a mean
specific gravity value of about 2.7, but the samples that were
studied showed a range of values of specific gravities from 1.99
to 2.65. It was expected that the samples would contain some
amount of organic matter and possibly more decomposed
Feldspar than decomposed Biotites as they are more resistant
than Feldspar or other Ferromagnesian minerals. The only
exception being the sample which lies at the point of
intersection between two curves of the model.
6
INDIRECT EVIDENCE
The clay sample of the study area typically Quaternary deposits,

which were the derivation of the Precambrian Granite and
Quartzo Feldspathic Gneisses, had been influenced by all three
types of weathering processes, namely, physical, chemical, and
biological, of which chemical is dominant.
The Precambrian Granitic rock, which includes the Quartzo
Feldspathic Gneisses of the area, are composed of
predominantly Quartz, Feldspar, and Biotite as primary
minerals. Therefore, it is obvious that decomposition of these
minerals have led to the formation of clays. Since Quartz and
partly Biotite are resistant to chemical weathering, the role of
Feldspar stands out in this regard. The Feldspar easily
decomposes in the presence of rain water and in presence of
carbon-dioxide in atmosphere. The product of the
decomposition is clay which plays an important role in the
formation of soil of the study area. Quartz remains unchanged
in the process of chemical decay and therefore presence of some
amount of silt and also sand at depth greater than 15m is
notable. Biotite on decomposition yields yellowish clay, the
yellow colour being due to the iron content in Biotite. The
decomposition sequence of these minerals is also in agreement

with the stability order of minerals by Goldich (1938).
7
INTERFERENCE DRAWN FROM CORRELATION
The correlation between the engineering and geological

properties infers the conclusion that the pattern of the curves
obtained in the model (Fig 1) is apparently dominated by the
content of Feldspar and extent of decomposition of Feldspar in
relation to other constituent minerals.
The samples represented by the points along the curve A-B
show a continuous decomposition of Feldspar and alteration of
Biotite to Chlorite with the increase of the values of (loge d +
3
PI) and loge tan. Therefore it has been inferred that the initial
tangent modulus is apparently related to the content and extent
of decomposition of Feldspar and hence is expected as a major
influential factor in estimating the elastic behaviour of cohesive
soil.
The points along the curve C-D shows some exception to
the above inference and possibly suggests a reversal of the
above, whereby Ferromagnesian minerals are undergoing the
process of decomposition with increase in the values of loge
tan and decrease in the values of (loge d + 3PI). The point
number "O" is obviously an intermediate point for both the
curves of the model.
Correlation of engineering and geological properties based
on specific gravity analysis shows that the point no "O", that is,
the intersection point has the highest value of specific gravity
being 2.65, thereby suggesting presence of more or less an
intermediate composition of light and dark coloured minerals.
The bottom point of the curve A-B shows a specific gravity of
1.99 and the upper point of the curve A-B shows 2.19,
indicating enhancement of decomposition and alteration of both
light and dark coloured minerals with the increase in the values
of (loge d + 3PI) and loge tan. The bottom and top points
of the curve C-D shows specific gravity values of 2.19 and 2.4
respectively, thereby indicating that Ferromagnesian minerals
have increased with the increase of loge tan and decrease of
(loge d + 3PI) values.
8
CONCLUSION
As the outcomes of the research, influence of a prime

constituent mineral has been identified and the extent of its
influence is derived. The constitutive modelling, an outcome of
the correlative study, is analysed based on its typical pattern.
The model thus derived, within the set scope of investigation,
has led to the conclusion that the pattern is unique for cohesive
soils and is under the possible domination of a common mineral
and extent of its weathering process. It leads to the indication of
the profound influence of mineral and its weathering state upon
elastic behaviour of cohesive soils. The model pointed out that
some of the engineering and geological properties are
interdependent. The model has been calibrated with other
available empirical correlations and its application in civil
engineering and limitations are derived. Outlines of subsequent
research areas are also indicated.
9
REFERENCES
Bowen N. L. 1915a. The crystallisation-differentiation in silicate

liquids, American Journal of Science, Series 4, 39, 175-191.
Bowen N. L. 1915b. The crystallisation of haplobasaltic, haplodioritic,
and related magmas, American Journal of Science, Series 4, 40,
161-185.
Goldich S. S. 1938. A study in rock weathering. Journal of Geology. 46,
17-58. A carefully documented account of the chemical and
mineralogical changes produced by weathering on a granite gneiss,
two diabases, and an amphibolite.
Hussain M. 1996. A Correlative Study of Geological Nature and
Engineering Properties of Clay Samples to Interpret their Influence
413
upon elastic Behaviour of Cohesive Soil. A dissertation submitted

for the Degree of Master of Science in Geology. Gauhati
University, India.
Mason B. and Moore C. B. 1991. Principles of Geochemistry. Wiley
Eastern Limited. 4th Edition. P 155
10 NOTATIONS
d: Dry Density
PI: Plasticity Index
Tan : Initial Tangent Modulus
: Angle between initial tangent modulus and abscissa.
11 ACKNOWLEDGEMENTS
Author1 wishes to thank Dr M. Chakravartty, Senior Lecturer,
Department of Geology, Cotton College, Guwahati, India for
agreeing to the area of research for joint supervision and for
scrutinising the geological aspects of the dissertation [Hussain
1996]. Further, Author1 wishes to thank Ms Mehjebeen Hussain
nee Simi Deka, the Research Scholar for accomplishing the
R&D work as per the expectation. Furthermore, Author1 wishes
to acknowledge the immense support he received from the
entire team of Road Research Laboratory, Guwahati, India,
where he worked as in-charge of the pavement laboratory. Last
but not the least, Author1 wishes to record the contribution of
Author2 in context to her contributions pertaining to this paper
in general literature review and from her international
publications on the correlation of partially saturated clays with
simple index properties. Besides general technical review she
specifically contributed to the translation aspects, being a
French literate.
th
Experimental Analysis on the Influence of Surcharge Filters on Safety Against Hydraulic Heave
Analyse exprimentale de l'influence d'un filtre de surcharge sur la stabilit contre des
soulvements d'eau d'une fouille de construction
Schober P., Boley C.
Institut fr Bodenmechanik und Grundbau, Universitt der Bundeswehr Mnchen
ABSTRACT: When designing a deep excavation pit, verifying hydraulic heave safety is in many cases crucial for determining the
necessary embedment depth of the pit wall. To reduce the required embedment depth, a surcharge filter can be installed on the pit
bottom. However, theoretical analyses show that the conventional approaches are not adequate for verifying hydraulic heave safety if
the embedment depth of the wall is low and a surcharge filter is installed on the pit bottom. Therefore, a theoretical approach with an
extended unstable block was developed by Odenwald and Herten. For further analysis and verification of this extended theoretic
approach, big scale laboratory experiments were carried out and the critical hydraulic difference in dependence of the embedment
depth and the surcharge filter thickness was determined. In the process it became apparent that the calculated results were
qualitatively accord with the experimental results of the test series, yet far more conservative. For a better understanding of the
effectiveness of surcharge filters on hydraulic heave safety, one dimensional flow-test with variation of the filter thickness and the
relative density of the sand were carried out. This paper presents the results of the experimental series und compares them to
theoretical approaches.
RSUM : Pour des excavations proximit immdiate des canaux de navigation en service, la vrification de la stabilit contre des
renards est dterminante pour la longueur ncessaire de la cloison de lexcavation. En installant un filtre de surcharge au fond de
lexcavation, on peut rduire la profondeur ncessaire de la cloison. Pourtant, analyses conduites sur la base des calculs numriques
des courants de leau souterraine montrent que les vrifications conventionnelles ne sont pas applicables pour des excavations avec un
filtre au fond de lexcavation, parce quelles ne prennent pas les courants verticaux au-dessous du pied de la cloison en compte, qui,
en ce cas, sont trs signifiants. Cest pour cette raison quune mthode fiable a t dveloppe sur la base des calculs numriques des
courants de leau souterraine pour dterminer lpaisseur ncessaire du filtre de surcharge qui prend les forces des courants en
compte. Pour vrifier cette approche et analyser le mcanisme de la dfaillance, de nombreux dessais de laboratoire ont t excuts
et exploits moyennant de diffrentes mthodes.
KEYWORDS: hydraulic heave, seepage failure, embedment depth, groundwater flow, safety
1
INTRODUCTION
If the water level in an excavation pit is lowered to its base, the

difference between the groundwater level outside of the
excavation pit and the water level inside of the excavation
causes a groundwater flow from the higher to the lower level.
This leads to an upward flow from the base of the retaining wall
to the pit bottom. In this case, the hydraulic heave safety has to
be verified.
If the vertical flow force S in front of the pit wall suspends
the buoyant weight of the soil body G as well as other possible
stabilizing forces R (Figure 1), a hydraulic heave will result.
This can lead to a rapid flooding of the pit due to regressive
erosion around the toe of the wall and eventually to a pit
collapse.
Based on the German geotechnical code, the hydraulic
heave safety has to be verified according to Terzaghi/Peck
(Terzaghi
and
Peck
1948)
or
according
to
Baumgart/Davidenkoff (Baumgart and Davidenkoff 1970). Both
approaches simply compare the acting flow forces S with the
buoyant weight of the soil G. Possible friction forces R are
neglected. In Terzaghi/Pecks approach a rectangular area is
defined as unstable block. The height of the rectangular area
corresponds to the embedment depth t of the wall from the
bottom of the excavation pit to the toe of the excavation wall.
The width of the rectangular area has the half of the embedded
depth of the wall t/2. The approach according to
Baumgart/Davidenkoff uses an unstable block with negligible
width and a height corresponding to the embedment depth t of
the wall.
Figure 1. Hydraulic heave at an excavation pit

In both approaches a surcharge filter is considered as an extra
load acting at the bottom of the excavation pit and which has no
significance for the shape of the unstable block. The magnitude
of the extra load corresponds to the weight of the surcharge
filter GF above the unstable block. The surcharge filter only
leads to a slight decrease of the water potential.
2
MOTIVATION FOR EXPERIMENTAL ANALYSIS
Motivated by a case of damage at an excavation pit next to a

waterway, Odenwald and Herten (Odenwald und Herten 2008)
started numerical flow computations respective (?) to the
415
th
hydraulic heave safety with surcharge filters. Preliminary they

did their calculations according to Terzaghi/Pecks and
Baumgart/Davidenkoffs approach and developed a functional
relation between t/h and dF/h (t: embedment depth of the pit
wall; dF: thickness of the surcharge filter; h: potential
difference). A ratio of F/W = 1.0 (F: unit weight of the
surcharge filter material; W: unit weight of water) and
S/W = 1.0 (S: buoyant unit weight of the soil) was assumed.
The functional relation is illustrated in Figure 2 (dashed line) for
the
conventional
unstable
block
according
to
Baumgart/Davidenkoffs approach.
As expected, the required filter thickness initially rises with
constant potential difference h and decreasing embedment
depth t. However, after reaching a maximum the necessary filter
thickness dF decreases with constant potential difference h and
continuously decreasing embedment depth t down to zero.
Hence, an unstable block that only reaches to the wall toe is
inadequate to verify the hydraulic heave safety if a surcharge
filter is installed and the embedment depth of the pit wall is
small (Odenwald and Herten 2008).
to appoint the critical potential difference hcrit as a function of

the embedment depth t and the surcharge filter thickness dF.
The test rig (Figure 3) consists of two parts: the water
supply, which is used to increase the potential difference
continuously, and the test box. The rectangular test box has the
following dimensions: length x with x height= 1.70 m x 0.40 m
x 1.50 m. It mainly consists of 4 acrylic glass walls, a base plate
and a vertically moveable partition acryl panel in the middle of
the box. The partition wall simulates the retaining wall in the
laboratory test. An inlet connects the box with the water supply.
On the feed stream side of the test box, three, 3 cm in diameter,
pipes allow free drainage.
Sand (as basic material) and a mixture of coarse sand and
fine gravel (as filter material) were used as test materials for the
simulations of hydraulic heave with filter layers at the
excavation side of the wall.
The behavior of the soil during the experiment was
monitored via displacement transducers, water pressure sensors,
water quantity measurement and the Particle Velocimetry
Method (PIV).
A more detailed description of the employed measurement
techniques, the test materials and the construction of the
experimental rig is given in (Schober, Boley and
Odenwald 2011).
Figure 2. Required thickness of the surcharge filter dF

(Odenwald and Herten 2008)
Therefore, Odenwald and Herten developed an unstable
block which additionally considers the vertical flow forces
below the wall toe. Hence, the unstable block according to
Davidenkoff was extended to the depth where the specific
hydraulic gradient iz (vertical hydraulic gradient) and the
limiting gradient igr (hydraulic gradient corresponding to the
ratio S/W) have the same value (iz = igr).
Figure 2 (solid line) also shows the results of the
computation with the extended unstable block also as a
functional relation between t/h and dF/h. However, a
maximum is also reached here, which means that with constant
potential difference h, a further reduction of the embedment
depth t requires a smaller thickness of the surcharge filter dF.
To verify the results of the numerical approach with the
extended unstable block, numerous large scaled laboratory
experiments were performed.
3
SIMULATION OF HYDRAULIC HEAVE
In order to verify and improve these theories, several largescale experiments to simulate hydraulic heave with a low
embedment depth t and installed surcharge filter were carried
out at the Institute of Soil Mechanics and Foundation
Engineering of the Bundeswehr Universitt Mnchen. In these
experiments, the embedment depth as well as the thickness of
the surcharge filter was varied. The aim of the experiments was
416
Figure 3. Schematic of experimental rig: (1) displacement

transducer, (2) water pressure sensors, (3) outlet, (4) water
meter, (5) base plate, (6) inlet, (7) surcharge filter, (8) partition
panel
Overall, 24 tests were carried out. The embedment depth
was varied between t = 0 cm and t = 5 cm in 0.5 cm and 1.0 cm
steps. Moreover, the surcharge filter was installed in different
sizes, with a thickness of dF = 2, 4 and 6 cm.
3.1
Test results
Due to different boundary conditions of the numerical model

(Odenwald and Herten 2008) and the experimental rig (Figure
3), it was not possible to compare the results directly to each
other. Therefore, it was necessary to adapt the theoretical
approach to the boundary conditions of the experiments series.
This was done by numerical calculations with the same
boundary conditions as the experimental model (Schober and
Odenwald 2012).
Figure 4 shows the results of the test series the adapted
numerical calculation as a function relation of t/s and hcrit/s
(s: level difference between up and down stream side of the
wall, Figure 3).
From Figure 4 it can be seen that the experimental results
agree qualitatively well with the results of the numerical
calculation. Both the experimentally determined and the
th
numerically calculated curves reach a minimum at a certain

ratio t/s where the lowest critical potential differences hcrit
arise for a constant thickness of the surcharge filter dF. Starting
from this minimum, further reduction of the embedment depth t
enables higher critical potential differences hcrit. The
laboratory experiments confirm the findings of the extended
theoretical approach of Odenwald and Herten.
However, the critical potential differences hcrit achieved
during laboratory tests are significantly higher than the critical
potential differences hcrit, calculated by Odenwald & Herten,
which lie on the safe side. Moreover, the difference between the
results of the experimental series and the theoretical approach
increases inversely proportionately with increasing thickness of
the surcharge filter (Figure 4).
Figure 5. Comparison of test results with the results of the

extended theoretical approach
The observation of the experiments and the evaluation of
the results also showed that the thickness of the surcharge filter
has significant influence on the failure mechanism and shape of
the unstable block. In order to analyze the hydraulic heave with
surcharge filter more detailed, multiple uniaxial flow-tests were
carried out.
4
Figure 4. Comparison of test results with the results of the

extended theoretical approach
Basically the difference between the numerical calculations
and the experimental test results is due to the highly simplified
unstable block, which is applied in Odenwald and Hertens
calculation approach. Secondly, in the numerical calculations
only the weight of the sand and the surcharge filter was
recognized as retaining force, frictional forces were neglected.
It has to be kept in mind, that when installing a surcharge
filter on the pit bottom frictional forces are acting in the shear
zone of the surcharge filter and in the base material in critical
condition, too.
In addition, it was found out, that the size of the unstable
block increases with increasing surcharge filter thickness. Since,
in conventional procedures for verifying the safety against
hydraulic heave, the thickness of the surcharge filter is only
considered as additional weight in calculations, but with no
impact on the shape and size of the unstable block. These
methods do not offer any realistic result if a surcharge filter is
installed (Figure 5).
To achieve more realistic and therefore, more economic
calculation results, an approach that brings the unstable block
closer to the realistic failure body and also takes into account
the frictional forces in the surcharge filter and in the base
material has to be developed.
417
UNIAXIAL FLOWED SAND COLUMN
To analyze the influence of the surcharge filter thickness on the

hydraulic heave more detailed, numerous uniaxial flow-tests
were performed. For this purpose a specific apparatus was
designed to simulate uniaxial flow through a sand column
(Figure 6). A more detailed description of the test materials, the
construction of the test rig and the used measurement technique
is given in (Schober and Boley 2012).
Figure 6. Schematic of flowed cylinder: (1) water pressure

sensors, (2) displacement transducers, (3) surcharge filter, (4)
filter, (5) perforated plate, (6) water meter, (7) water supply, (8)
over fall, (9) staff gauge
The aim of the test series was, among other things, to
determine investigate the influence of the surcharge filter
thickness dF and the relative density D of the test material on the
critical hydraulic gradient icrit. The results of the uniaxial flowtests are used for a better understanding of the results of the
hydraulic heave experiments.
Altogether, 25 tests were carried out. The relative density
was varied between D = 0.1, 0.5 and 0.8. Moreover, the
surcharge filter was installed in different sizes, with a thickness
of dF = 1, 2, 3, 4, 5 and 6 cm. Tests without a surcharge filter
were carried out too. In the test series, different relative
th
densities of the sand were combined with different sizes of the

surcharge filter dF.
5
TEST RESULTS
The critical hydraulic gradient icrit was determined in each test,

so that the dependence of the critical hydraulic gradient icrit on
the relative density D and the thickness of the surcharge filter
dF. could be shown.
Figure 7 shows the critical hydraulic gradient icrit as function
of the surcharge filter thickness dF for the different relative
densities D. Moreover, the figure shows the theoretical critical
hydraulic gradient icrit,theoretical calculated according Formula (1)
(l: length of the sand column). The figures also display the
difference between the test results and the theoretical approach.
d 'F 'S
(1)
i crit ,theoretical F
l W
W
The results of the test series show that the critical hydraulic
gradient icrit strongly depends on the thickness of the surcharge
filter dF. With increasing thickness of the surcharge filter dF, the
critical hydraulic gradient icrit increases inverse proportionately.
The relative density D of the sand has a significant
influence on the critical hydraulic gradient icrit too. For a sand
with a low relative density (D = 0.1), the critical hydraulic
gradient icrit is smaller than theoretically calculated (Figure 7).
The results of the test series with a relative density of D = 0.5
and 0.8 show, that the critical hydraulic difference hcrit and the
critical hydraulic gradient icrit respectively is always higher than
the gradient theoretically predicted (Figure 7).
that there is an unfavorable embedment depth for a pit wall with

a surcharge filter on bottom of the construction pit floor. The
safety towards hydraulic heave increases when the embedment
depth is reduced or enhanced. According to that, the safety
towards hydraulic heave can rise due to reducing the
embedment depth. The numeric results are however more
conservative than the experimental results. This could be due to
the simplified failure shape as well as the neglected friction
forces in the sand and surcharge filter. Moreover, the difference
between the results of the experimental series and the
theoretical approach increases proportionally with increasing
thickness of the surcharge filter
Furthermore, one dimensional flow-tests were carried out to
determine the influence of filter thickness and relative density
of the test sand on the critical hydraulic gradient. The
experiments showed an inverse proportional correlation
between the critical hydraulic gradient and the thickness of the
surcharge filter. This was confirmed by the uniaxial flow-tests.
The object of further studies will be to verify and improve
the theoretical approach by means of the experimental results
towards the hydraulic surcharge and one dimensional flow-tests.
The improved approach has to consider friction forces and a
more realistic unstable block so that results get closer to reality
and the disproportional increase of critical potential difference
hcrit with increasing filter thickness will be considered.
7
The project is supported by the Federal Waterways Engineering

and Research Institute Karlsruhe, Germany.
8
Figure 7. Critical hydraulic gradients of uniaxial flow-test

The disproportional increase of the critical potential
difference hcrit with increasing thickness of the surcharge filter
dF which was detected by the big-scale experiments could be
confirmed by the uniaxial flow-tests. The reasons for this
behavior will be analyzed in more detail by the Discrete
Element Method (DEM) by the Institute of Soil Mechanics and
Foundation Engineering of the Bundeswehr Universitt
Mnchen.
The influence of the relative density D on hydraulic heave
safety, if a surcharge filter is installed on the pit bottom, needs
further investigation by experimental tests. Nevertheless, by the
analysis of the uniaxial flow-tests it becomes apparent, that the
relative density D of the basic material has a significant
influence on the hydraulic heave safety even if a surcharge filter
is installed on the pit bottom.
6
CONCLUSIONS
The experiments carried out at the Institute of Soil Mechanics

and Foundation Engineering of the Bundeswehr Universitt
Mnchen strives for the verification of the approach with an
extended unstable block (Odenwald and Herten 2008). The
results of the big scale experiments fit quantitatively to the
results of the theoretical analysis. Thus, it could be observed
418
ACKNOWLEDGEMENTS
REFERENCES
Davidenkoff, R. (1970): Unterlufigkeit von Stauwerken. Werner

Verlag.
Odenwald, B., Herten, M. (2008): Hydraulischer Grundbruch: neue
Erkenntnisse. Bautechnik, Vol. 85, Heft 9, S. 585 595.
Schober, P., Boley, C., Odenwald, B., (2011): Hydraulic Heave Safety
at Excavations with Surcharge Filters. 3rd International Symposium
on Geotechnical Safty and Risk (ISGSR). 02. - 03. Juni 2011,
Munich, Germany, S. 677 684.
Schober, P., Odenwald, B. (2012): Der Einfluss eines Auflastfilters auf
die Bruchmechanik beim hydraulischen Grundbruch.
BAWMitteilungen Nr. 95 Johann-Ohde-Kolloquium, Karlsruhe,
S. 151 162.
Schober, P., Boley, C. (2012): Fracture behavior of uniaxial flowed
sand column with surcharge filter. 2nd IAHR, 27. - 29.06.2012,
Munich, Germany.
Terzaghi, K., Peck, R. B. (1948): Soil Mechanics in Engineering
Practice, John Wiley and Sons, New York.
Coupled THM mechanical model for porous materials under freezing condition
Coupl
modlecoupl
mcanique
Modle THM
mcanique
THM pour les matriaux poreux dans des conditions de conglation
Shin H.
University of Ulsan, Republic of Korea, shingeo@ulsan.ac.kr
Ahn J.-H.
Pusan National University, Republic of Korea
Kim Y.-T.
Pukyong National University, Republic of Korea
Lee S.-R.
Korea Advanced Institute of Science and Technology, Republic of Korea
ABSTRACT: Recent growing interests associated with frozen ground have required to advance fundamental theories and to precede
systematic researches of soil behavior under freezing conditions. Unlike the well-established soil mechanics theory, temperature
variation and phase change of pore-water cause water migration to cold side, ground heaving, sharp increase in earth pressure, etc., and
they bring about serious problems to freezing geotechnical structures. Elasto-plastic mechanical constitutive model for frozen/unfrozen
soil subjected to fully coupled THM phenomena is formulated based on a new stress variable that is continuous in frozen and unfrozen
regions. Numerical simulations are conducted to discuss numerical reliability and applicability of the developed constitutive model. The
numerical results show that developed model can efficiently describe complex THM phenomena of frozen soil, and it can be utilized to
analyze and design the geotechnical structures under freezing conditions, and predict long-term behavior of them.
RSUM : Rcentes intrts croissants associs un sol gel ont besoin pour faisons avancent des thories fondamentales et de pour
prcdent recherches systmatiques du comportement du sol sous des conditions glaciales. Contrairement la thorie de la mcanique
des sols bien tablis , les variations de temprature et de changement de phase de l'eau interstitielle migration de l'eau cause de ct
froid, soulvement du sol, forte augmentation de la pression de la terre, etc, et ils produisent de srieux problmes geler les structures
gotechniques. lasto-plastique modle mcanique constitutive d' frigorifi / soluble sol charge des phnomnes parfaitement coupls
THM est formul partir d'une variable nouvelle contrainte qui est continue dans les rgions frigorifiz et soluble. Des simulations
numriques sont accomplies pour discuter de fiabilit numrique et l'applicabilit du dvelopp constitutif modle. Les rsultats
numriques montrent que le constitutif modle peut dcrit des phnomnes complexes de THM sol gel, et cela utilis pour analyse et
dessin les structures gotechniques dans des glaciales conditions, et de prdire le comportement long terme d'entre eux.
KEYWORDS: frozen soil, mechanical constitutive model, THM coupling, heaving pressure.
1
the amount of heaving, but the presence of shut-off pressure

restraining further expansion is still debating (Arvidson &
Morgenster, 1977). Electrolyte in the soil pore water reduces
total suction, and plays a role to decrease the amount of frost
heaves of the soil.
Phase change between liquid water and solid ice in porous
material intimately affects deformation characteristics, as water
and heat flow do. Thus, fully coupled THM
(Thermo-Hydro-Mechanical) phenomena in the porous material
require well-established governing equations, and necessitate
solving nonlinear equations and complex numerical correlation
between constitutive models. Up to date, many numerical studies
have been conducted to imitate fundamental characteristics of
frozen soil. However, most cases performed combined TH
analysis without considering mechanical effects (Tan, et al.,
2011; Painter, 2011). Lately mechanical analyses based on the
total stress was attempted for frozen soil (Michalowski and Zhu,
2006), and frozen ground was assumed as a linear elastic material
and interpretations was carried out (Liu & Yu, 2011; Thomas, et
al., 2009), except for the case of Nishimura et al. (2009).
In this paper, THM elasto-plastic mechanical constitutive model
is presented to reproduce freezing action in porous material
consisted of soil particles, unfrozen water, and ice. The adopted
new stress variable represents the sum of ice and soil skeleton
stress to maintain continuity across the frozen-unfrozen
transition regions, and stress-strain relationship is derived as the
form of incremental formulation. After conjunct with
pre-developed THM finite element program, THM numerical
analyses for freezing process in porous materials were performed
to evaluate the performance of the mechanical model.
INTRODUCTION
Soil behavior during a freezing process has been intensively

studied mainly in Canada, the United States, Russia, and Japan
from the 1920s. In Korea, a recent Antarctic bases and
gas-pipeline negotiations to introduce Russia's natural-gas line
with 1100km long have attracted attention to understand
fundamental phenomena of natural or artificial frost ground.
Typically, freezing region within soil is divided into frozen zone,
frozen fringe, and unfrozen zone in Figure 1. New ice lens
formation occurs on the boundary between frozen zone and
frozen fringe, called a freezing front. The frozen fringe is the
very thin layer with 1mm ~ 10mm thick, and soil type and
freezing rate control its thickness. Cryogenic suction due to
temperature gradients within the frozen fringe absorbs water
from unfrozen zone, and form ice crystals onto the freezing front
to separate between the soil particles, called segregation freezing.
Konrad and Morgenstern (1981) defined the ratio of a thermal
gradient within the frozen fringe to liquid inflow rate as
segregation potential, and empirical correlations between
segregation potential and basic properties of the soil were
proposed to evaluate freezing susceptibility (Konrad, 1999).
Silty soil with relatively high hydraulic conductivity and
triggering high suction is prone to freeze and form an ice-lens
due to temperature drop. Slowing freezing and resulting low
temperature gradient forms thicker ice crystals in the soil
(Lawrence, et al., 2005). Konrad and Morgenstern (1982)
suggested segregation potential function to consider the effect of
an external load on the inflow rate into the freezing fringe due to
a thermal gradient. It was known that overburden pressure limits
419
2.4. Energy balance equation
GOVERNING EQUATIONS
Although the energy balance is expressed by enthalpy balance

in most cases, it is preferable to express it in terms of internal
energy (Olivella, et al., 1996; Lewis, et al., 1998). If thermal
equilibrium between phases is assumed, the temperature is the
same in all phases and only one equation of total energy is
required. Adding the internal energy of each phase, the total
internal energy per unit volume of the porous medium becomes,
2.1. General assumptions and mass balance equations

The governing equations for porous materials under freezing
action were assumed the following to define deformation
characteristics associated with THM phenomena.
First, the void of soils is fully saturated with water or water/ice.
That is, ice and unfrozen water fill the pore under frozen
condition, and the void is fully saturated with liquid water above
freezing temperature.
Second, porous material consisted of soil particles, water, and ice
is under local thermal equilibrium conditions.
Finally, a freezing porous medium, in the context of theory of
mixtures, is viewed as a mixed continuum of three independent
overlapping phases of solid and liquid (Bear & Bachmat, 1991).
For every phase, its mass conservation equations can be obtained
according to the principles of continuum mechanics and mixture
theory.
(1 ) s E s (1 S l ) iw Eiw S l lw Elw (1 S l ) iw L f
t
(1 ) s E s (1 S l ) iw Eiw S l lw Elw (1 S l ) iw L f u

i lw Elw ql 0
~ c
~
(4)
where Es is internal energy of soil per unit mass, and Eiw is
internal energy of water in solid phase per unit mass. Energy
transfer by heat conduction in porous materials was estimated
i
T ). Last term
using from the Fourier's law (
~c
~
w
(1 Sl ) i L f in first partial derivative represents internal
energy loss due to water phase change (Thomas, 2009; Tan,
2011; Jane, 1980).
2.5. Static equilibrium equation
Neglecting the inertial effects over all phases, the momentum
conservation equation reduces to the static stress equilibrium
based on the total stress.
Figure 1. Phase diagram for frozen soil
The macroscopic balance of any species or property per unit

volume in a continuum can be expressed by the following
generalized partial differential equations (Lewis & Schrefler,
1998).

j
0
~ ~
t
m g
0
~ ~
ij (i, j
1,3) is total stress, average mass density is
where ~
m (1 ) s (1 Sl ) iw Sl iw , and gravity direction is

g i 0,0,1 .
(1)
where is a species in porous material (e.g. soil, water), and
2.6. Numerical implementation
is mass per unit volume of each species. j is mass flux of
Substituting Eq. 2 into Eq. 3 and 4, the differential equation

governing non-isothermal liquid flow through frozen-nonfrozen
porous material is obtained. The primary variables are
displacement components u~ , liquid pressure Pl , and
temperature T from fully coupled governing equations. The
material derivative with respect to the solid velocity field will be
very useful to obtain the final expressions for balance equations
and equilibrium equation. The material derivative relative to the
a phase is given by
each species which can include advective and non-advective

components.
2.2. Soil mass balance equation
Soil particles only exist in solid-state, so mass balance equation
can be summarized
as follows: mass density
s (1 ) , mass
u
(
1
)
u
s
flux
in Equation 1.
~
~
~
s (1 ) s (1 ) u 0
~
~
t

u
~
~
dt
t
(2)
where s is mass density of soil particles, is soil

porosity, and u~ is velocity of soil particles.
Since water can exist in liquid water or solid ice, the governing
equation was derived from generalized law of mass conservation
( iw 1 Sl lw Sl ). Solid ice is assumed to be an
immobile substance which can make phase change from solid to

fluid.
(6)
Generalized trapezoidal rule (Eq. 7) is used to perform time

integration between t ( n ) and t ( n1) of coupled governing
equations, and they use discrete approximations to take
advantage of Newton's iterative process.
2.3. Water mass balance equation
t ( n 1)
t(n)
Pl dt (t ( n 1) t ( n ) ) Pl ( n 1) (1 ) Pl ( n )
t Pl
( n ,i 1)
(1 ) Pl
(n)
t P
(n)
Pl dPl
(7)
where is an integration parameter to govern stability and

accuracy of the solution, and the solution is unconditionally
stable if 1 / 2 .
A volume integration of all governing equations then leads to a
weighted residual approximation to the governing equations,
based on the Galerkin method. After all governing equations are
discredited, the final system of algebraic equations can be
expressed in matrix form with respect to primary variables
D(u , Pg , Pl , T ) .
~
w
i (1 S l ) lw S l
t
iw (1 S l ) u lw S l u lw q 0
~
~
~
~l
(5)
(3)
where lw is mass density of liquid water, Sl is degree of liquid

saturation in the void of material. q~ is flow rate of liquid water
l
from Darcys law.
K ( n, i ) dD( n, i 1) (FEXT ) ( n 1) FINT (D ( n, i ) )
420
(8)
where K ( n,i ) is non-symmetric tangential stiffness matrix at

t ( n ,i ) , and the right term is residual load vectors.
shape of yield surface, taking account of bonding strength due to

ice (Figure 2).
q
3.
T<0C
MECHANICAL CONSTITUTIVE MODEL
Plastic
hardening
The proposing mechanical constitutive model is based on the

following assumptions to define deformation characteristics
associated with THM phenomena.
First, the void of soils is fully saturated with water or
water/ice. That is, ice and unfrozen water fill the pore under
frozen condition, and the void is fully saturated with liquid water
above freezing temperature.
Second, porous material consisted of soil particles, water, and
ice is under local thermal equilibrium conditions
Based on these assumptions, this study proposes a mechanical
constitutive model for two-phase porous materials, with a similar
framework of BBM (Barcelona Basic Model) for unsaturated
soils (Alonso, et al. 1990). Stress and strain are positive value for
compression.
T>0C
pc
Figure 2. Yield surface of porous material in frozen and unfrozen regions
The increase in the bonding strength is assumed to be equal in

the direction of compression and tension, and be proportional to
strength ratio ks (Nishimura, et al., 2009) and pore volume
Si (1 S l ) .
fraction of ice
( 0) ( 0)
p ( s ) ( s )
pc p r 0
k s S i s (Alonso, et al. 1990). Above
pr
freezing temperature, pc is the same as p 0 , however it evolves

nonlinearly below freezing temperature from suction and ice
pressure Pi development. p r is reference stress, and M is the
slope of critical state line in p q space. Compression index at
various suction
is (s) (0)1 r exp s r , and swelling
index (s) is assumed to have the same function of suction as
compression index for numerical stability.
Mechanical plastic potential function determining
incremental direction of plastic deformation follows associated
flow rule g f , and strain-rate-dependent characteristic of
frozen soil is not considered in this model.
s max(Pi Pl ,0) to simulate nonlinear deformation

suction
behavior of frozen ground. However, ice pressure Pi below

freezing temperature shows such a rapid increase that it could be
greater than the sum of surface loads, soil skeletal force and
water pressure. These stress variables can lose physical meaning
and become discontinuous across freezing temperature, and it
inhibits numerical stability, along with emission of latent heat of
fusion.
3.4. Strain components
In the developed model, a new stress variable ~ defines the
Total strain increment can be divided into mechanical strain

from stress variable, thermal strain, and phase change between
liquid water and solid ice in the pore. In addition, mechanical
strain increment has elastic and plastic mechanical strain parts.
sum of soil skeletal stress and ice stress in Eq. (9), and internal
variable suction s (difference between ice pressure and fluid
pressure) only affect the pre-consolidation stress.
(1 ) Pi 1 Pl Pl 1
~
(9)
d d m d T d ph d e m d p m d T d ph
~
ij (i, j
1,3) is total stress, is effective stress
where ~
~
carrying soil skeletal force,
(10)
where pre-consolidation pressure can be expressed as
Mechanical constitutive law to describe deformational

behavior can be expressed by various stress variables. In
saturated soils, only effective stress is a stress variable to
determine soil behavior (Terzaghi, 1936). However, selection of
stress variables in unsaturated soils is still critical issue (Shin,
2011). The most previous studies for frozen soils performed TH
coupled analysis so that alteration of hydraulic and thermal
properties from deformation cannot be considered, or performed
simple linear-elastic analyses for frozen soil. Recently,
pn p max(Pl , Pi ) and
Nishimura et al. (2009) used net stress
p0
ks Si s
f q 2 M 2 p k s Si s pc p
0
3.2. Stress variables
Frozen
Unfrozen
where
Pi is ice pressure from
e m
elastic
mechanical
strain
(11)
increment
is
e 1
d
D
:d
(Sheng
et
al.,
2008),
and
~
~
~
Clausius-Clapeyron equation, and Pl is fluid pressure. 1~ ij is
D e ( K 2G / 3) 1 1 2G I is (elastic stiffness tensor). K and G
Kroneckers delta tensor, and is Bishops coefficient of
~
~ ~
~
effective stress which can be simplified to degree of liquid water
are elastic buck and shear modulus, and 1~ 1~ ij kl ,
saturation. The new stress variable [ (1 ) Pi 1] is the
~
same as effective stress above the freezing temperature. It can be

I ( ik jl il jk ) / 2 .
~
useful stress variable to develop mechanical constitutive model
Temperature-dependent volumetric change in elastic region is
for unsaturated freezing soils including air and gas phase.
determined from thermal elastic contractile coefficient ( T ),
3.3. Yield surface and plastic potential function
ve
d vT d ve T
dT 3T dT . And volumetric strain due to
T
New stress variable ~ is used to define yield surface and
phase change is the following from conservation of water mass.
plastic potential function which describe deformational behavior
where lw and iw are mass density of water in liquid and
of frozen and unfrozen soils. The proposed yield function is
based on MCC (Modified Cam Clay) model which has an oval
solid phase, and strain due to phase change can be expressed as
421
d ph a ph dT b ph (Liu & Yu, 2011). Frost heave can be

~
inhibited by overburden stress (Konrad, 2005; Michalowski &

Zhu, 2006). This sensitivity of volumetric expansion to
overburden stress can be expressed as d i ph i a ,
conserving increment of volumetric strain from Eq. (11).
Incremental relations of the effective stress and strain can be
expressed as follows:
pm
d D e : [d d
~
where L f is specific latent heat of fusion of water,
d T d ph ]
(12)
Plastic flow rule determines increment of mechanical plastic

deformation in a direction perpendicular to plastic potential
function with a magnitude of non-negative scalar multiplier d .
d
~
p m
(13)
3.5. Hydraulic characteristics of frozen soils

Darcy's law using the slope of total head has been adopted to
describe fluid flow in porous material. Many experimental
results on frozen soils showed liquid flow in the direction to
lower temperature even at the same total head (Hoekstra, 1966;
Mageau & Morgenstern, 1980). Water flow due to thermal
gradient could be estimated by introducing cryogenic suction
from water-fluid interfacial tension (Thomas et al., 2009;
Hansson et al., 2004; Liu & Yu, 2011) or segregation potential
(Tan et al., 2011).
This study used segregation potential method which can
directly calculate thermal water flow through the laboratory tests.
And Darcy's law considering abundance of liquid water in frozen
soils can be summarized as follows.
k
ql l Pl l g S l SP0 T
~
~
~
~
l
3.34 105 J / kg .
4.
Recent increasing interest in the frozen soil has raised the

demand to advance theoretical establishment and numerical tools
to interpret fully coupled thermal-hydro-mechanical phenomena
in naturally or artificially freezing ground. However, previous
numerical analysis of freezing soil usually disregarded
mechanical characteristics or assumed freezing porous material
as a linear elastic material.
In this paper, THM elastoplastic constitutive model for porous
materials is derived for the frozen-unfrozen soil consisted of soil
particles, unfrozen water, and ice. The new stress variable, the
sum of skeletal stress and ice pressure, has continuity in the
frozen-unfrozen transition condition, and it can easily be
applicable to unsaturated freezing soil. Stress increment due to
strain and temperature change was derived as the form of
incremental formulation. Proposed mechanical model was
implemented into THM FEM code, and it was applied to
numerical examples to confirm stability of solution and
applicability of the model. Numerical results effectively
described complex THM phenomena related with frozen soil,
where governing equations had high nonlinear and constitutive
models were inter-coupled.
5.
1.
2.
3.
(14)
4.
where SP0 is segregation potential, the ratio of fluid velocity

of unfrozen water to thermal gradient (Konrad & Morgenstern,
1981). The effect of applied stress is well considered in the
variation of porosity as a function of mean stress (Konrad &
Morgenstern, 1984).
The relationship between temperature and volumetric water
content in frozen soil is called freezing characteristic function. It
can be estimated from empirical equation through laboratory
experiments (12a, Andersland & Ladanyi, 2004) and using
similarity with SWCC in unsaturated soils (22b, van Genuchten,
1980; Nithimura et al., 2009; Tan et al., 2011). Empirical formula
(22a) was partially modified due to inordinate prediction in
temperature range 1.0 C T 0.0 C (Thomas, et al., 2009).
5.
Sl [1 (T T0 )]
P Pl
S l 1 i
P0
1
1
(15a)
(15b)
where T0 is freezing temperature of water, and is

determined from pore size and chemical composition of the pore
fluid (Thomas et al., 2009). P0 and are material parameters in
van Genuchten model (van Genuchten, 1980), and .
Ice pressure Pi in frozen soil can be calculated from
Clausius-Claperyron (Eq. 23), assuming that thermodynamic
equilibrium is satisfied at the contact surface between ice and
liquid water in the pore (Henry, 2000).
Pi
iw
lw
Pl iw L f ln(T / 273.15)
(16)
422
CONCLUSIONS
6.
7.
8.
REFERENCES
Alonso, E. E., Gens, A., and Josa, A. (1990), A constitutive model
for partly saturated soils, Gotechnique, Vol.40, No.3, pp.405-430.
Andersland, O. B., Ladanyi, B. (2004), Frozen Ground
Engineering, John wiley & Sons.
Bear, J., Bachmat, Y. (1991), Introduction to modeling of transport
phenomena in porous media, Kluwer Academic Publisher, p. 553.
Konrad, J. M., Morgenstern, N. R., (1981), The segregation
potential of a freezing soil, Can. Geotech. J., Vol.18, pp.482-491.
Nishimura, S., Gens, A., Olivella, S. and Jardine, R. J. (2009),
THM-coupled finite element analysis of frozen soil: formulation
and application, Gotechnique, Vol.59, No.3, pp.159-171.
Shin, H. S. (2011), Formulation of Fully Coupled THM Behavior in
Unsaturated soil, Journal of Korean Geotechnical Society, Vol.27,
No.3, pp.75-83.
Terzaghi, K. (1936), The shear resistance of saturated soils,
Proceedings for the 1st. International Conference on Soil Mechanics
and Foundation Engineering, Cambridge, MA, pp.54-56.
Van Genuchten, M. Th. (1980), A closed-form equation for
predicting the hydraulic conductivity of unsaturated soils, Soil
science society of America journal, Vol.44, pp.892-898.
Correlation between drained shear strength and plasticity index of undisturbed

overconsolidated clays
Corrlation entre la rsistance au cisaillement des sols drains et l'indice de plasticit des argiles
surconsolids non perturbes
Sorensen K.K.
The Danish Geotechnical Institute (GEO) / Department of Engineering, Aarhus University
Okkels N.
The Danish Geotechnical Institute (GEO)
ABSTRACT: A number of triaxial compression tests have been performed by The Danish Geotechnical Institute over the past
decades on undisturbed overconsolidated Danish clays; ranging from clay till of low plasticity to extremely high plasticity marine
Tertiary clays. The test results confirm that the drained peak angle of shearing resistance can be related to the plasticity index, though
a large scatter is generally seen. Based on the results and a review of published data a conservative relationship between drained peak
angle of shearing resistance and plasticity index for undisturbed overconsolidated clays is proposed. The proposed relationship and
the interrelation to the effective cohesion are discussed.
RSUM: De nombreux essais de compression triaxiale ont t effectus par lInstitut danois de gotechnique au cours des dernires
dcennies sur les argiles danoises surconsolides non perturbes, allant des argiles morainiques ayant une plasticit faible des argiles
marines tertiaires ayant une plasticit extrmement leve. Les rsultats des essais confirment que langle de rsistance maximale au
cisaillement des sols drains peut tre li lindice de plasticit si une forte dispersion est gnralement observe. Sur la base de ces
rsultats et partir dun ensemble de donnes dj publies, une relation conservatrice entre langle de rsistance maximale au
cisaillement des sols drains et lindice de plasticit pour les argiles surconsolides non perturbes est propose. La relation propose
et les liens une cohsion effective sont discuts.
KEYWORDS: Plasticity index, Drained shear strength, Laboratory testing, Overconsolidated clay
INTRODUCTION
1.1
Stress-strain behavior and effective strength of

Overconsolidated (OC) soil
B
C
'n constant
At large strains
Strain
(a)
Peak strength
envelope OC soil
A
'oc
'nc
'res
c'oc
In contrast to normally consolidated (NC) clays highly

overconsolidated (OC) natural clays typically show a distinct
strain softening behavior in drained triaxial compression, which
can be related to the breakdown of interparticle bonding and the
dilatant behavior of the compact clay structure (Burland 1990).
With further shearing in the post peak region OC clays (as well
as NC clays) may experience an additional reduction in strength
due to the alignment of the platy clay particles on the failure
plane (residual state). The stress-strain behavior of OC clays
compared to NC clays is illustrated in Figure 1a.
423
Normally consolidated (NC)

soil
Shear stress
Empirical correlations are widely used in geotechnical

engineering practice as a tool to estimate the engineering
properties of soils. Useful correlations exist between the index
properties obtained from simple routine testing and the strength
and deformations properties of cohesive soils among others. For
practical purposes the results of routine index tests and
correlations can be used as a first approximation of the soil
parameters for use in preliminary design of geotechnical
structures, and later as a mean to validate the results of
laboratory tests. Results from several index tests obtained for a
given site can be used to assess the variation in the properties of
the soil mass.
This study is aiming to provide a conservative correlation
between the effective peak angle of shearing resistance and
plasticity index IP for natural undisturbed overconsolidated
Danish clays based on the results from a large database of
triaxial compression tests performed by The Danish
Geotechnical Institute (GEO) over the past decades.
Shear stress
Peak strength
envelope NC soil
Residual strength envelope

OC and NC soils
Normal effective stress 'n

(b)
Figure 1. Peak and residual shear strength for normally consolidated and
overconsolidated soils (a) Typical stress-strain curves (b) Failure
envelopes showing the associated angle of shearing resistance, '
Stiff fissured overconsolidated clays may fail along

preexisting fissures in which case the strength is governed by
the fissure strength. Skempton (1957) found the fissure strength
to correspond to the fully softened strength i.e. shear strength of
the reconstituted normally consolidated soil, which is less than
the peak strength of the OC clay, but greater than the residual
strength.
It is generally accepted that the effective strength of
uncemented saturated clays is frictional and the strength
envelope is nonlinear. Hence the strength envelope will pass
through origin, and so the true cohesive intercept c'=0kPa
(Burland 1990). However, over the typical range of stress levels
met in practice (~50-400kPa) the effective peak strength for NC
and OC clays can be approximated by a linear relationship
between effective normal stress at failure 'f and shear strength
f using the Mohr-Coulomb strength equation:
f='ftan (') + c'
between 'nc and IP were proposed which were dependent on

clay-size fraction and normal effective stress, as seen in Figure
3. By taking account of clay-size fraction and stress level Stark
and Eid showed a significantly reduced scatter around the mean
trend lines. A downward shift in the trend lines were observed
with increasing stress levels and increasing clay-size fraction.
The findings by Stark and Eid suggests that the observed scatter
in the reported data found in the literature, as shown in Figure 2,
to a large extent can be explained by variations in stress level
due to a non-linear strength envelope and additionally clay-size
fraction, as both soil mineralogy and clay-size fraction are not
accounted for solely by the variation in the index properties.
(1)
where ' and c' respectively are the tangent drained angle of
shearing resistance and the apparent cohesive intercept, as
illustrated in Figure 1b. For OC clays c'oc>0kPa and for NC
clays c'nc0kPa. While the angles of shearing resistance for OC
and NC clays are typically found not to differ much.
Generally the frictional resistance to shearing, as expressed
by ', can be expected to decrease as the content of platy clay
minerals increase in the soil mass. With increasing content of
platy clay particles both the liquid limit wL and the plasticity
index IP will increase, and hence a correlation between ' and
wL or IP can be expected.
1.2
Existing relationships between effective shear strength

and plasticity index
Several studies have been reported in the literature with regards

to the correlation between the effective angle of shearing
resistance 'peak and plasticity index IP (Brooker and Ireland
1965, Ladd et al. 1977, Stark and Eid 1997, Terzaghi et al. 1996
among others). These studies are however mainly focused on
normally consolidated reconstituted or undisturbed natural
clays, while only little has been reported for overconsolidated
undisturbed clays.
Figure 2 shows collected data from the literature in a plot of
'nc vs. IP (single log plot) for primarily NC clays (Ip range 5240%). 'nc generally represent a peak secant value with the
assumption that c'nc is zero. A very significant scattering of the
data points is seen, e.g. at IP=20% the value of 'nc is found to
vary between approximately 25deg. and 35deg. However,
despite the significant scatter a trend of reducing 'nc with
increasing IP is seen, and the data furthermore suggest the
existence of a lower bound value for 'nc at given value of IP.
45
n=233, R2=0.41, SEy=3.7
40
Figure 3. 'nc vs. IP for reconstituted normally consolidated soils as a

function of clay-size fraction and normal effective stress (Stark and Eid
1997)
Based on the literature data a cautious lower bound (LB)

estimate of the relationship between 'nc and IP for NC clays can
be derived together with a best estimate from the best-fit
regression line through the data, as indicated in Figure 2 and
given below.
Cautious LB estimate:
'nc = 39-11log IP (deg.)
(2)
Best estimate:
'nc = 43-10log IP (deg.)
(3)
The lower bound estimate, which correspond roughly to the 5%

fractile, also approximately match the lower bound of the range
of results reported by Stark and Eid for clay-size fractions above
50% and a stress level of 400kPa. Hence for clay-size fractions
below 50% and stress levels below 400kPa the effective angle
of shearing resistance 'nc can be expected to be significantly
greater than estimated from eq. 2 (up to approximately 12deg.
for CF<20% and 'n=50kPa, as seen from Figure 3).
35
' (deg.)
30
25
Mean
'nc=43-10log IP
LB
'nc=39-11log IP
20
A number of triaxial compression tests have been performed by

GEO on various undisturbed overconsolidated clays over the
past decades. Test data have been collected from older tests (>
30 years) and more recent test series as listed in Table 1.
15
10
5
2.1
0
1
10
100
SOIL DESCRIPTION AND TEST PROCEDURES
1000
Ip (%)
Figure 2. 'nc vs. IP for primarily normally consolidated reconstituted

and undisturbed clays after Ladd et al. 1977 (with data from Kenney
1959 and Bjerrum and Simons 1960), Terzaghi et al. 1996 and Brooker
and Ireland 1965.
The shaded area in Figure 2 represents the range of results

reported by Stark and Eid 1997 from a large series of ring shear
tests on 24 different reconstituted normally consolidated natural
soils (IP=8-244%, Clay-size fraction CF=10-88%, normal
effective stress 'n=50-400). Based on the data, relationships
424
Soil description
The tested soils range from very low plasticity clay tills to
extremely high plasticity Eocene clays. The recent tests include
a test series in connection to the 1992 Great Belt bridge (GB)
ground investigation, which provides a significant amount of
test data for very low plasticity clay till. While the newly
completed 2011 Fehmarnbelt (Fixed Link) (FB) ground
investigation contribute significantly to the understanding of the
strength behavior of very high to extremely high plasticity
Eocene and Paleocene marine clays from the Rsnes, lst and
Holmehus clay formations. The majority of the investigated
clays from the Fehmarnbelt (Fixed Link) ground investigation
have been assessed to be situated within glacial folded strata. A
series of recent tests in connection to a ground investigation at

Esbjerg Habour (EB) highlights the strength properties of Mica
clay a Miocene marine clay of high plasticity.
The additional old test data covers glacial clay till, a few
glacial/late glacial meltwater and late glacial marine clays and
furthermore a wide range of Tertiary (Palaeogene) marine clays
of late Miocene age to Palaeocen age: Mica clay, Septarian clay,
Svind marl, Lilleblt clay, Rsnes clay, lst clay, Tarras clay
and Holmehus clay.
The majority of the very high plasticity Palaeogene clays
from the listed test series are found to be fissured in nature.
Figure 4 shows the outline of the index properties of the
tested clays in Casagrandes classification chart. The
classification parameters have generally been determined in
accordance with BS 1377:Part 2:1990 using the Casagrande
method to determine the liquid limit. The data points for the
different soils generally fall close around straight lines and
above the A-line corresponding to clays of very low
(4%<IP<7%) to extremely high plasticity (IP>100%).
250
v. high plasticity
tertiary clays
(old test)
IP (%)
200
Palaeogene
clays (FB)
150
100
Table 1. Overview of classification parameters and larger series of

triaxial compression tests on undisturbed overconsolidated clays
performed by GEO.
A-line
IP=0.73(wL-20)
Glacial
deposits (FB)
Project
Low to high plasticity
lateglacial, glacial and
tertiary clays (old test)
50
Clay tills(GB)
GB
(1992)
0
0
50
100
150
wL (%)
200
250
300
Figure 4. Outline of index properties of the tested clays shown in

Casagrandes classification chart IP vs. wL
The classification parameters incl. clay-size fraction (CF) and

natural water content wn for the tested clays are also listed in
Table 1 alongside test types and number of tests (n). For the
consistent test series (GB, FB and EB) the mean values of the
classification parameters are listed and the standard deviations
are shown in brackets. A more detailed description of the
Palaeogene clays incl. mineralogy is given by Fehmarnbelt
(Fixed Link) 2011.
2.2
may lead to destructuration of the micro-structure (Leroueil and

Vaughan 1990).
Older triaxial compression tests have in contrast typically
been performed with a height to diameter ratio of 2:1 and a
diameter of approximately 36 mm. Samples were usually
extracted using a 42mm inner diameter sampler. Preloading was
in some cases carried out under isotropic conditions and in some
cases omitted. Saturation was in most cases carried out without
the application of backpressure and compression was performed
with the pore water pressure kept equal to zero. Hence,
undrained compression was achieved by adjusting the cell
pressure during testing to obtain constant volume displacement.
The applied rate of straining during the compression stage
was generally higher than what would be recommended today
to ensure full equalization of pore water pressures within the
samples of especially high plasticity clays. Hence, the actual
effective stresses at the failure state are somewhat uncertain
because the pore water pressure is unknown. Nevertheless, the
old triaxial tests constitute a very comprehensive database of
strength parameters for low to high plasticity clays, which can
be compared to the recent and presumably more reliable tests
results.
Test procedures
The recent triaxial compression tests have generally been

performed on nominally undisturbed specimens with a diameter
of approximately 70mm and a height to diameter ratio of 1.
Smooth end platens have been used. Samples have been
extracted by means of a push-in Shelby-tube sampler (called Atube in Denmark) with an inner diameter of 70mm.
Samples are saturated using backpressure and typically
preloaded to reduce the effects of possible sample disturbance
and bedding effects. The preloading are in most cases
performed under anisotropic K0 conditions. After the preloading
and unloading of the sample, the specimen is sheared in either
drained or undrained compression to failure. Multiple tests are
carried out, consisting of preloading, unloading to a new and
higher stress level followed by a drained or undrained
compression test (these steps are repeated 2 or more times).
The applied rate of straining during shearing is chosen
according to the soil type to ensure slow enough rates to achieve
full equalization of pore water pressures in the specimen. For
the high plasticity clays this means that the applied strain rate is
around 0.02-0.05%/hr, while a strain rate of approximately 0.10.7%/hr has been used for specimens of clay till.
For specimens of very high plasticity clay care is generally
taken during all test stages to avoid that the effective stress
reduces below the in-situ stresses to prevent swelling, which
425
Soil
wn#
wL#
IP#
CF#
type
[%]
[%]
[%]
[%]
11
(2)
9
(-)
9
(-)
13
(5)
35
(4)
45
(11)
42
(6)
37
(6)
16
(2)
19
(1)
20
(1)
28
(4)
147
(28)
140
(25)
133
(23)
145
(27)
6
(2)
7
(1)
6
(0)
16
(3)
117
(27)
106
(23)
98
(25)
114
(27)
Test types
MCAUu=0
and CAU
26
CAU and
Upper till
(9)
CAD
23
CAU and
Chalk till
(-)
CAD
24
CAU and
Lower till
(3)
CAD
FB
70
CAU and
Rsnes
(7)
CAD
(2011)
51
CAU and
lst
(15)
CAD
61
CAU and
Holmehus
(7)
CAD
Palaeogene
67
CAU and
clays
(9)
CAD
MCAU,
EB
28
58
36
Mica clays
MCAD,
(2012)
(3)
(9)
(8)
MCIU
Other
MCAD
Tertiary
19recent
CAU
clays
85
test
CU
GEO old
(Late)
CAUu=0
CADu=0
test
Glacial &
5CUu=0
(> 30
Tertiary
151
CDu=0
yrs)
clays
#
mean values with the standard deviation shown in brackets
Clay till
n
45
5
5
8
48
5
5
58
10
108
An overview of the number of tests (n) and test types are given
in Table 1. The following abbreviations are used:
CAU/CAD Anisotropically (K0) Consolidated.

Undrained/Drained compression.
MCAU/MCAD Anisotropically (K0) Consolidated.

Undrained/Drained compression. Multiple test on the
sample.
CU/CD Isotropically Consolidated Undrained
/Drained compression.
u=0 denominates older test procedures with no

backpressure and pore water pressure kept at zero
kPa.
The drained strength parameters; angle of shearing resistance '

and effective cohesion c' can be derived from the results of two
or more compression tests (either using multiple testing on the
same sample or sets of two or more compression tests on
samples with similar properties). Alternatively, the strength
parameters can be interpreted from the undrained compression
effective stress path, since the effective stress path for
overconsolidated clays will tend to climb the strength envelope
as the soil dilates and the pore water pressures decrease.
Generally, test interpretation may be difficult in cases where
the specimen experiences destructuration during testing or if the
sample is fissured.
3 DRAINED SHEAR STRENGTH AND PLASTICITY
INDEX
3.1
Drained peak angle of shearing resistance
Figure 5 shows the relationship between the drained peak angle

of shearing resistance 'oc and the plasticity index IP (single log
plot) as derived from triaxial compression tests performed by
GEO on the various overconsolidated undisturbed clays shown
in Table 1.
'oc has generally been derived as a tangent value, to
minimize the otherwise high influence of stress level resulting
from the initially curved failure envelope. Hence, both values of
'oc and c'oc are obtained from the tests. Results from the older
tests (> 30 years, open points) are shown separately from the
more recent tests (closed points).
The shaded area and dashed lines respectively represents
results of the series of triaxial compression tests on palaeogene
clays and glacial till deposits (Lower and Upper till) performed
in connection to the Fehmarnbelt (Fixed Link) 2011 ground
investigation. The spans shown in the IP and 'oc values
represent mean values 1 standard deviation.
Best fit OC clays
40
Cautious LB OC soils
'oc = 45-15log IP (deg.)
Other recent triaxial test (n=8)
GB (1992, n=38)
EB (2011, n=6)
(4)
In the light of the more recent test data, which extends the IP
range, especially in the high IP end, to 4%-151%, it is suggested
that the lower bound values of 'oc should be slightly less than
previously predicted by eq. 3 for very low IP clays and
somewhat higher for high plasticity clays (IP>50%). Hence, it is
suggested to use the following revised cautious lower bound
(LB) estimate of the relationship between 'oc and the plasticity
index IP as given by eq. 5 and 6, and shown in Figure 5 (solid
line):
Cautious LB estimate:
4<IP<50
(5)
(6)
50IP<150
For an IP value of 100%, which is typical for e.g. Rsnes clay,

this means that the lower bound estimate increases from a peak
value of 15 deg. using eq. 4 to 18 deg. using eq. 6.
The best estimate given by the best-fit regression line
through the recent test data is shown in Figure 5 (chain dotted
line) and is given by:
Cautious LB NC soils
Older triaxial test (>30 yrs, n=61)
FB (2011)
Best estimate:
4<IP<50
(7)
50IP<150
(8)
(n=8)
35
(n=5)
30
'oc (deg.)
other hand should have less of an influence, since a tangent

value of 'oc is derived from a failure envelope which is
approximately linear within the typical stress range (100600kPa), as seen in Figures 8-10. As mentioned previously,
difficulties in test interpretation and influence of fissures and
destructuration may have influenced some of the results.
Based on previous experience and much of the old data
shown in Figure 5 within the IP range of 6%-106%, GEO
(Knudsen 1981) has since the early 80s suggested using the
following correlation to get a cautious lower bound estimate of
'oc on the basis of a mean value of IP:
25
(n=58)
V. low
plasticity clays
20
15
Low to high
plasticity clays
10
1
10
Very high
plasticity clays
100
Ip (%)
Figure 5. Relationship between peak angle of shearing resistance 'oc

and plasticity index IP for overconsolidated undisturbed clays
A large scatter in the data and a trend of reducing 'oc with

increasing IP is generally seen similarly to what was observed
for NC clays in figure 2.
It is observed that the old triaxial test results generally show
a much larger spread than the results of the presumably more
reliable recent triaxial tests. Furthermore, the new test data tend
to be found in the lower half of the range of results from the old
tests. This indicates that 'oc is likely to be overestimated by the
old tests. The use of high strain rates and the lack of full
saturation in the old undrained CUu=0 triaxial compression tests
are likely to have lead to some uncertainties in the actual
effective stress state at failure. This may explain some of the
observed differences between the results from the old and more
recent triaxial compression tests.
As for NC clays some of the scatter may arise as a result of
variations in clay-size fraction, since this is not accounted for
solely by the variations in IP. Variations in stress level on the
426
Eq. 5.-8. are believed to be applicable to most overconsolidated

natural clays with clay-size fractions below 80%. For soils with
clay-size fractions higher than 80% the above relationships
should be used with caution until its validity is confirmed by
additional tests.
It should be noted that some cases may dictate a mobilized
angle of shearing resistance which is lower than the above
estimated peak values, e.g. when progressive failure is
considered in connection to slope stability analysis in high
plasticity clays (Skempton 1977, Burland 1990).
The lower bound estimate for NC clays is shown in Figure 5
(dash-double-dot line) for comparison. It is observed that the
lower bound estimates for NC and OC clays do not deviate
much.
3.2
Effective cohesion
Figure 6 shows the relationship between the cohesive intercept

of the strength envelope c'oc and the plasticity index IP (single
log plot). Data from recent tests and older tests (>30 years) are
separated. Two sets of c'oc values have been plotted: the derived
values from the tests and estimated values of c'oc. The derived
values have been interpreted from the tests results and are
paired with the 'oc values shown in Figure 5. While the
estimated value of c'oc is found from each failure point ('f, f)
by subtracting the stress dependent frictional strength
contribution 'ftan('oc) from the shear strength f. This can also
be expressed in terms of mean effective stress s'f=('1+'3)
and shear stress tf=('1- '3) from the following equation.
, =
,
(9)
,
where 'oc,est is the the lower bound estimate of the angle of

shearing resistance, as given by eq. 5. and 6. on the basis of IP.
The estimated c'oc may show negative values in cases where the
estimation of 'oc is too high.
The intercept of the strength envelope is very sensitive to the
interpretation of the test results, and factors like destructuration
or influence of fissures may have great impact on the failure
points and hence the value of c'oc. The scatter in the data points
will therefore be very significant, much more so than what was
observed for 'oc in figures 2 and 5. Despite the scatter a weak
trend of reducing lower bound value of c'oc with increasing IP is
seen for IP greater than 7%. Part of the data from the old tests
has been excluded since it is not certain if the meltwater and late
glacial marine deposits are heavily overconsolidated
(overconsolidation ratio OCR>4).
100
c' derived - recent data
c' derived - old data
c' estimated - recent data
c' estimated - old data

OC clays 7%<IP<170%
80
(kPa)
(10)
30%IP<80%
c'oc = 48-0.6IP
(kPa)
(11)
IP>80%
c'oc = 0
(kPa)
(12)
While the drained angle of shearing resistance 'oc is more

naturally linked to soil mineralogy composition, as expressed
partly by the IP value, the apparent effective cohesion is more
naturally linked to the soil structure and dilative tendencies. As
the IP value is determined from reconstituted state it does not
take account of soil structure. Hence, the above relationship
between c'oc and IP may not be the most appropriate to use.
As suggested in the previous Danish code of practice for
foundations (Danish Standard DS 415) it may be expected that
the value of c'oc is better related to the undrained shear strength
cu rather than IP. Both cu and c'oc are influenced by soil structure
and dilation, but as the stress level is likely to have a greater
impact on cu than c'oc, the relationship will not be unique. Based
on a comparison of the drained and undrained bearing capacity
in connection to plate loading tests on clay till (Jacobsen 1970),
the previous Danish code of practice for foundations suggests
the following cautious estimate of c'oc on the basis of cu:
40
c'oc = 0.1cu
20
LB estimate
0
-20
-40
4%<Ip<7% clay
till (GB)
10
100
1000
Ip (%)
Figure 6. Relationship between effective cohesion c'oc and plasticity

index IP for overconsolidated undisturbed clays
The test results from the Great Belt bridge ground

investigation (GB) on very low IP (4%<IP<7%) clay till are seen
to deviate significantly from the general trend by showing
relatively low c'oc values; typically between 0 and 15kPa. This
is true for both the derived and estimated values of c'oc. One or
several factors might explain this, among others: a) Some of the
tested clays are possibly ablation tills that are deposited in a
nearly normally consolidated state. b) The clay till may have
been subject to postdepositional geological processes (e.g.
subsequent passing of ice sheets, meltwater, heave etc.), which
may have disturbed the structure and erased the effects of
overconsolidation. c) Generally, the tested clay tills have a high
content of silt, sand and gravel, and the soils can therefore be
characterized as transitional soils, which in terms of strength
may behave more like a frictional soil (c'0kPa) than clay. This
is further supported by the fact that the IP value is likely to be
overestimated, as particles larger than 0.425mm have been
removed prior to classification in accordance with BS1377:part
2:1990. An estimated 20-40% of the soil particles have been
removed. Hence sand till or gravel till may in most cases be a
more representative classification for the tested till deposits.
The low c'oc values observed at very high IP values above
60% are likely to be a result of fissures and/or sample
destructuration. Destructuration may result from large straining
events during sampling, sample preparation, testing or
geological history. The Palaeogene clays from the Fehmarnbelt
(Fixed Link) project mostly belong to an upper stratum which is
folded by glacier. Hence, the measured strengths are likely to be
influenced by varying degrees of destructuration caused by
glacial disturbance of the otherwise intact clay layers.
The significant variation in the c'oc values seen in Figures 6
and 7 also seem to indicate this. For heavily overconsolidated
clays with 7%<IP<80% the test data indicate a cautious lower
bound estimate of the relationship between c'oc and the
plasticity index, IP as shown on Figure 6 (solid line) and given
by the following equations depending on the value of Ip:
427
(kPa)
(13)
Figure 7 shows the relationship between c'oc and cu based on

data from the performed tests. As before both derived values
from the tests and estimated values of c'oc are shown. As
expected the observed scatter is very significant, but there is a
tendency of increasing values of c'oc with increasing values of
cu. Both recent and older data appear to verify that the
relationship between c'oc and cu given by eq. 13 can be used as a
cautious lower bound estimate with an upper limit of c'oc
=30kPa for all heavily overconsolidated clays except very low
IP clay till. For very low IP clay till the effective cohesion c'oc is
in the majority of cases found to be lower than given by eq. 13,
as shown by the shaded area in Figure 7. Hence, in agreement
with observations from Figure 6 it is suggested to use c'oc=0kPa
for very low IP (4%<IP<7%) clay till/transitional soils
independently of cu, unless specific triaxial test data is available
to suggests otherwise. c'oc=0kPa should also be assumed for
fissured high plasticity clays in cases where the overall
mobilized strength may be governed by the fissure strength.
100
c' derived - recent data
c' derived - old data
c' estimated - recent data
c' estimated - old data
OC clays 7%<IP<170%
80
c'oc(kPa)
c'oc (kPa)
60
Cautious lower bound estimate:

7%<IP<30%
c'oc = 30
Mean c'=0.2cu
(estimated recent data)
60
40
20
4%<Ip<7% clay till (GB)
0
-20
-40
100
200
300
c'=0.1cu,
c' max. 30 kPa
400
cu (kPa)
Figure 7. Relationship between effective cohesion c'oc and undrained

shear strength cu for overconsolidated undisturbed clays
Generally it is suggested to estimate c'oc on the basis of eq. 13

for clays with IP values between 7% and 150%. It should
however be noted that if both 'oc and c'oc are estimated
cautiously using the above correlations then the estimated
combined strength may in some cases be too conservative. On
the other hand, the combined strength found from the proposed
correlations may overestimate the strength at low effective
stresses (<50 kPa) as the failure envelope curves towards origin

(see Figure 1b).
The test results from the three test series from the Great Belt
(GB), Fehmarnbelt (Fixed Link) (FB) and Esbjerg Habour (EB)
ground investigations are shown in Figures 8-10. The figures
show the failure points for each shear stage for all the tested
specimens in a plot of shear stress t against mean effective
stress s'. For each test series the best-fit line through the data
points is shown, and for comparison the cautiously estimated
effective strength envelope is also shown (dashed line). The
estimated strength envelope is based on the estimated angle of
shearing resistance 'oc found from eq. 5-6 on the basis of the
mean value of Ip for the tested clays, and the effective cohesion
c'oc determined from eq. 13. cu has been assumed equal to the
mean shear stress tfm at failure, as derived from the best-fit
regression line through the failure points.
It is observed that the estimated strength envelope in all
cases provides a cautious estimate of the strength of the tested
clays within the given stress intervals.
5
CONCLUSION
Simple correlations between the plasticity index and the drained

peak strength parameters in terms of 'oc and c'oc have been
proposed on the basis of a comprehensive database of triaxial
compression tests on undisturbed overconsolidated Danish clays
of very low to extremely high plasticity. The proposed
correlations gives cautious lower bound values of the drained
strength parameters, which can be used as a first approximation
for use in preliminary design of geotechnical structures.
Furthermore, the correlations can be used to evaluate the results
of laboratory effective strength tests, and as a mean to assess
how well these results represent the entire soil mass at a given
site when viewed in connection to the variations of the index
properties in the soil mass.
The authors however believe that the proposed correlations
should only be used in cases where time and cost constraints do
not allow for actual effective strength tests to be carried out. In
most other cases the use of effective strength tests will provide a
much more reliable and cost effective estimate of the strength
properties of the soil in question.
FB - Holmehus
FB - Rsnes
Old data - Septarian clay
Old data - other
Shear stress t (kPa)
600
400
FB - lst
Old data - lilleblt
Old data - Holmehus
Mean FB data: n=48, R2=0.79, SEy=21
Mean FB data:
tfm=0.337s'f+13
'oc=19.7deg.
c'=14kPa
200
Estimated
0
0
200
400
600
Mean effective stress s' (kPa)
(Avr. IP=114%):
tf=0.303s'f+0.1tfm
'oc=17.6deg.
c'=0.1cu
Figure 8. Failure points for high plasticity clays (50%<IP<170%) shown

in a t,s' plot
428
VALIDATION OF THE PROPOSED RELATIONSHIPS
Mean: n=19,
R2=0.94,
SEy=15
Mean EB data:
400
tfm=0.444s'f+19
'oc=26.4 deg.
c'=21kPa
200
Estimated
0
0
200
400
600
(Avr. IP=36%):
tf=0.378s'f+0.1tfm
'oc=22.2deg.
c'=0.1cu
Figure 9. Failure points for mica clay (20<IP<43%) shown in a t,s' plot
2000
EB (2011) - Mica clay
600
Mean: n=45, R2=1.00, SEy=10
GB - clay till
(1992)
1500
Mean:
tfm=0.592s'f
'oc=36.3 deg.
c'=0kPa
1000
500
Estimated
0
0
500
1000
1500
2000
(Avr. IP=6%):
tf=0.546s'f
'oc=33.1 deg.
c'=0kPa
Figure 10. Failure points for clay till (4<IP<7%) shown in a t,s' plot
ACKNOWLEDGEMENTS
The authors would like to acknowledge the support and work

done by B. Knudsen (previously The Danish Geotechnical
Institute) on the subject.
Data have been made available by Femern A/S
(www.femern.com), but findings and conclusions expressed in
this paper do not necessarily reflect the views of Femern A/S.
7
REFERENCES
Brooker E. W. and Ireland H.O. 1965. Earth pressure at rest related to

stress history. Canadian geotechnical journal, vol. 2 no. 1, pp.1-15
Burland J. 1990. On the Compressibility and Shear Strength of Natural
Clays. Gotechnique. vol. 40 no. 3, pp 329-378.
Fehmarnbelt (Fixed Link) 2011. Ground Investigation Report. GDR
00.1-001 with additional data from GEO (2011) GDR 18.0-004,
Advanced Laboratory Testing, Glacial Deposits and GDR 18.0-005,
Advanced Laboratory Testing, Clays of Palaeogene Origin.
Knudsen B. (1981). Plastisk ler Geoteknisk design. Unpublished
Internal report (in Danish). The Danish Geotechnical Institute.
Ladd C.C. et al. 1977. Stress-deformation and strength characteristics.
Proc. 9th. Int. conf. soil mech. and found. Eng. pp. 421-494.
Leroueil S. and Vaughan P. R. 1990. The general and congruent effects
of structure in natural soils and weak rocks. Gotechnique, vol. 40
no. 3, pp 467-488.
Jacobsen M. 1970. Strength and deformation properties of
preconsolidated moraine clay. The Danish Geotechnical Institute.
Bulletin 27. pp 21-45.
Skempton A. W. 1977. Slope stability of cutting in brown London clay.
7th ICSMFE. Tokyo vol. 3, pp. 261-270.
Stark, T.D. and H. T. Eid. 1997. Slope stability analysis in stiff fissured
clays. JGGE, pp 335-343.
Terzaghi et al. 1996. Soil Mechanics in engineering practice. 3rd. ed.
John Wiley & Sons, New York
th
Mechanisms of binder interactions and their role in strengthening Kuttanad clay

Mcanismes dinteraction des liants et leur rle dans le renforcement de largile de Kuttanad
Suganya K. ,Sivapullaiah P.V.
Indian Institute of Science, Bangalore, India
ABSTRACT: The present investigation is on a soft organic soil from Kuttanad region in Kerala, India wherein a detailed laboratory
study was undertaken to contemplate the interaction of various components of soil with cement and cement admixtures. An attempt
was made to understand the influence of cement as binder based on parameters such as Clay water/ Cement (W/C) ratio, Initial water
content of clay (IW) and curing period by studying the Unconfined Compressive Strength (UCC) of stabilized soil. The results
showed that the UCC strength increased with decreasing W/C ratio irrespective of the IW used. Binder combinations involving partial
replacement of Cement with Lime, Fly ash and Slag were not effective in improving the strength of soil when compared to the
performance of cement alone as binder. On the other hand, addition of Sodium Silicate to cement enhanced the strength of the soil
significantly.
RSUM : Le travail prsent porte sur un sol mou organique de la rgion de Kuttanad, dans le Kerala, en Inde, pour lequel une
tude de laboratoire dtaille a t mene pour analyser les interactions de diffrents composants du sol avec le ciment et les adjuvants
ajouts. Une tentative a t faite pour comprendre l'influence du ciment en tant que liant, en se basant sur ltude de paramtres tels
que le rapport eau de largile / ciment (W / C), la teneur en eau initiale de l'argile (IW) et la priode de cure, en tudiant la rsistance
la compression simple (UCC) du sol trait. Les rsultats ont montr que la rsistance la compression simple augmente avec la
diminution du rapport W / C, quelle que soit la valeur de IW. Diffrentes formulations de liants bases sur le remplacement partiel du
ciment par de la chaux, des cendres volantes et du laitier ne se sont pas avres efficaces pour amliorer la rsistance du sol par
rapport au ciment seul. D'autre part, l'ajout de silicate de sodium au ciment amliore de manire significative la rsistance du sol.
KEYWORDS: Kuttanad soil, Minerology, Binders, Organic content, Shear strength

MOTS-CLS : sol du Kuttanad, minralogie, liants, teneur en matire organique, rsistance au cisaillement
INTRODUCTION
Soft soils are more prominently found in coastal regions and

low land areas where many important cities and ports are
located. And also in todays scenario of increased rate of
infrastructural development to match the population growth, it
has become mandatory to construct on soft grounds. Soft clays
normally exist with high liquidity indices and presence of soft
clay as a foundation material in any construction project
demands proper engineering judgment as it is associated with
inherent problems of excessive settlement and low shear
strength. In addition to it presence of organic content in soft
clays further worsens the ability of the deposit to support even
moderate loads. Such problematic soft soil deposits with
inadequate geotechnical properties are present in Kuttanad
region of Kerala, India. This soft soil used in the present study
also contains organic matter (Thiyyakkandi and Annex 2011)
and is found to be acidic (Muralidharan et al. 1999). There are
many geotechnical failures reported in Kuttanad region (Ayyar
1966) and hence improving the properties of the soil have been
a matter of intense research (Bindu and Vinod 2008, Dipty and
Girish 2009).
Compared to other methods of improving the soft ground,
introducing deep mixed cement columns and mass stabilization
with binders are rapid techniques of ground improvement.
Successful case histories are reported on soft grounds improved
with soil stabilization techniques (Bergado et al. 1999, Lin and
Wong 1999). It is important to note that the success of the
method is by the interaction of the binders with the soft clay and
the extent of improvement in strength depends on factors such
as the type and amount of binder, water content, soil type and
curing period (Lorenzo and Bergado 2004, Horpibulsuk et al.
429
1
2005). However little is understood about the role of organic

matter and clay type on the binder soil interaction. Hence in the
present study an attempt is made to evaluate the mechanism of
strength development with various binders along with other
additives.
2
2.1
Soil Sample
Clay collected from Kuttanad region, Kerala from a depth of 2

m was used in experimental investigation. The clay is classified
as organic clay of high plasticity (OH) according to IS 1498
(Part 1) - 1987. The specific gravity of the soil was determined
based on the code IS 2720 (part 3) 1980. The Cation
Exchange Capacity (CEC) of the Kuttanad clay was measured
as per the guidelines of ASTM D7503. Organic content of the
soil was determined as per the code, ASTM D2974. Unconfined
compressive strength of the soil at a water content of 125 % was
found to be 10 kPa. The properties of the clay used in the study
are given in Table 1.
Table 1. Properties of Kuttanad clay.
Colour
Black
Specific gravity
2.48
Soil classification
OH
Organic content
17 %
Natural water content
100 to 200 %
CEC
17 meq/100 g
pH
3.6
th
2.2
2.2.1
Soil Mineralogy
X-Ray Diffraction (XRD) Studies
XRD analysis was carried out using Bruker D8 Advance system

on powder samples. Samples were scanned using copper K
alpha ( = 1.54 ) radiation at a scanning rate of 1/minute.
Identification of minerals was done by comparing the XRD
patterns got from the soil with the standard data sets of the
known minerals (JCPDF, Powder Diffraction File, 1990). The
peaks for the Kuttanad soil and its corresponding minerals are
shown in Fig. 1.
Figure 1. XRD of Kuttanad clay
(GGBS) and Fly ash (FA) on Kuttanad soil stabilization was

studied. Further for W/C ratio of 3.33 addition of FA, GGBS,
Silica fume (SF), Sodium Silicate (SS) and Fine sand to cement
on the strength of Kuttanad clay was evaluated.
2.4
Sample Preparation
The clay was thoroughly hand mixed and IW was increased to
165 % and 200 %. The intentional increase in the initial water
content before stabilizing was done to simulate the field
conditions where there is a raise in the insitu water content
because of wet binder dispensing methods adopted during deep
mixing (Horpibulsuk et al. 2004). Cement quantity to be added
for preparing the mixes was calculated based on W/C ratio. In
the present investigation three W/C ratios were used namely
6.5, 5 and 3.33. Cement was added to the soil and mixed
thoroughly for about 10 minutes as suggested by Miura et al.
2001. Split moulds having diameter 38 mm and height 76 mm
(Length/Diameter = 2) with sides slightly lubricated with oil
were used for casting and curing the stabilized mixes. The well
mixed paste was transferred to the split mould in three layers.
Spreading of the paste into the mould and removal of air
entrapped during casting was done by giving mild tamping for
each layer. The samples caste in the split moulds were cured for
7, 14 and 28 days in desiccators maintained at 100 % relative
humidity. Similar methodology of making samples was adopted
for different composite binder combinations adopted in this
study.
3
2.2.2
RESULTS AND DICUSSION
Scanning Electron Microscopy (SEM)
The Quanta Environmental Scanning Electron Microscope

(ESEM) was used in analyzing the fabric of the uncemented and
cemented clay. A study of the micrographs of uncemented
Kuttanad soil sample prepared by freeze drying technique
indicates an open honeycomb type of fabric arrangement, as
shown in Fig. 2(a). The fabric shows the presence of frustules,
Fig .2(b & c), which are skeletal remains of diatoms, composed
of amorphous silica (opal, presence also verified by XRD
analysis). Diatomaceous frustules in marine sediments are
known to play a significant role in controlling the geotechnical
properties of the soil (Rajasekaran 2006) and this study tries to
throw some light on the ability of this amorphous form of silica
to participate in the strengthening reactions with binders.
3.1
Cement as binder
Figure 3 presents the UCC strength of cement stabilized

samples at different W/C ratio with varying IW and Cement
Content (CC) with curing period.
Figure 3. Unconfined compressive strength (UCC) of cement stabilized

samples
Figure 2. (a) Open fabric of Kuttanad marine clay and (b) & (c) Diatom
frustules in Kuttanad clay
2.3
Binders
In the current study ordinary Portland cement of 43 grade was

used as the binder. Initially the effect of cement stabilization
was evaluated by varying parameters such as IW, W/C and
curing period. And then the effect of different composite binder
combinations with mineral admixtures and puzzolonic materials
such as quick lime (CaO), Ground granulated blast furnace slag
430
It can be seen from Figure 3 that with reducing W/C ratio there
is an increase in the strength developed. Even though the
cement percentage corresponding to the W/C ratios used in the
study is high (more than 25 %) the strength attained is very low.
This might be due to the organic content present in the soil
hindering the cement hydrolysis and subsequent strength
development. It can also be inferred that up to W/C ratio of 5
there is a marginal improvement in the UCC strength but when
the W/C ratio further reduces to 3.33 the strength gained is
significant. This is because the organic components gets enough
calcium at lower water cement ratios so that surplus calcium is
available in solution to aid the cement hydration and hardening
reactions contributing to better strength development. From
(Figure 4) the fabric changes happening over reduction in W/C
th
ratio it can be concluded that the cementation compounds are

still insufficient to bind the clay fabric in case of high W/C ratio
whereas at the lowest W/C ratio the cement matrix is
continuous binding the clay aggregates contributing to a
significant strength gain.
It can be seen from Figure 3 that the effect of curing is
almost negligible and this is mainly because the organics
tending to coat the surface of the soil particles impeding the
interaction between clay minerals and the cement hydration
products harming the long term strength gain contributed by
secondary reactions (Chen & Wang 2006). Results indicate that
for the same W/C ratio the variation in initial water content has
very little influence on the long term strength gain thus
confirming the critical role played by W/C ratio in strength
development of cemented clays as suggested by Miura et al.
(2001).
role to play in enhancing the strength of the Cement - Mineral

admixture stabilized Kuttanad soil.
Figure 5. Stress Vs Strain for cement- mineral admixture combination
3.3
Role of Admixtures
To further enhance the strength of soil with cement as binder

different additives with varying reactive silica content were
considered. Results from UCC tests of different additives such
as Fine sand, Fly ash, Silica fume, GGBS and Sodium silicate
used along with cement are shown in Figure 6.
Figure 4. Fabric of Cemented Kuttanad clay (a) W/C 6.5 (b) W/C 3.33
3.2
Cement Composite binder combination
With an effort to economize and reduce the carbon foot print of

the proposed ground improvement technique, composite binder
combinations such as cement Lime, Cement FA and Cement
GGBS were tried.
3.2.1
Cement-Lime
Quick lime as reported in literature (hnberg and Johansson

2005) as a possible replacement for cement was tried in
different proportion with cement and the UCC tests were done
on stabilized soil samples. For IW 165 % and W/C ratio 5,
Cement(C) - Quick Lime (L) binder combinations of 75C-25L
and 50C-50L were tried and the UCC strength at the end of 14
days curing was found. UCC strength of the sample with only
cement as binder was 99 kPa where as with lime replacement
the strengths significantly reduced to 33 kPa (75C-25L) and 25
kPa (50C-50L). Development of strength happens when the
added lime reacts with the clay minerals. As soon as lime is
added, pH increases and there is De-flocculation of soil fabric
and removal of organics adsorbed on to the minerals. The
organic matter hinders the reactions between added lime and the
clay minerals present in the soil hence there is no beneficial
effect of lime replacement observed. Diatom silica is also found
not reacting with the added lime confirming the role of
components such as organic content and sesquioxides (Van
Capellen et al. 2001) present in the soil inhibiting its solubility,
finally retarding the puzzolonic reactions responsible for
strength development.
3.2.2
Cement - Mineral admixtures
Figure 5, shows the stress strain characteristics of cement with

GGBS and Fly ash binder combination with and with out lime.
It can be clearly seen that the effect of replacing a portion of
cement with either of the mineral admixtures (GGBS / FA)
results in strength loss when compared to the cement alone case.
Hence it reinforces the fact that the positive effect of puzzolonic
reactions is not enough to offset the role of cement which is
replaced. Both lime released and lime added have insignificant
431
Figure 6. Effect of various additives on UCC strength of cemented soil
It is evident from Figure 6, that addition of fine sand to the

mix has enhanced the shear strength of the cement stabilized
soil. The mechanism of strength enhancement in this case can
be attributed to the matrix of cemented sand supporting the
weak soil within it. It is well known that the cement can bind
very effectively the coarser sand particles involving lesser
contact points than the fine organic soil.
The addition of fly ash resulting in no strength improvement
can also be due to the interaction of the strengthening matrix of
both soil cement and fly ash cement system leading to a weaker
framework.
Silica fume as an additive with cement resulted in 17 %
strength increment in case of 28 days cured samples (Figure 7).
The strength increment is marginal and can be attributed to the
participation of silica fume in the pozzolanic reactions,
involving lime liberated from cement hydrolysis.
Adding 25 % GGBS by weight of cement resulted in a
strength increase of about 37 % at the end of 28 days curing
(Figure 7). The strength increase is due to the formation of
cementation products because of the alkali activation of GGBS
caused by cement hydrolysis (Taylor 1997). GGBS is coarser
and accommodates soil in its matrix and the subsequent
production of cementitious products by itself results in effective
binding giving an enhanced strength.
th
Compared to other additives tried along with cement to

improve the strength of the stabilized soil, Sodium Silicate
added about 10 % by dry weight of cement resulted in
maximum increase of UCC strength. From Figure 7 it can be
seen that the strength increase compared to cement alone at 28
days curing was about 137 %. Initially when sodium silicate is
added to the soil, the negative silicate ions go and sit in the
positive edges of the clay and makes the clay completely
negative resulting in thorough dispersion of the clay. Then
when cement is mixed with soil the calcium ions released as a
by-product of cement hydrolysis is utilized by the silicate ions
leading to the formation of calcium silicate hydrate which
eventually binds the clay minerals together (Moayedi et al.
2011). This is expected to be the mechanism behind enormous
strength gain in the presence of small percentage of SS with
cement.
Figure 7. Percentage increase in UCC strength of cement stabilized soil

upon adding various additives
CONCLUSIONS
The following conclusions can be drawn from the present study

o In case of cement stabilization W/C ratio is the key
parameter controlling the strength of the treated soil
samples. Higher initial water content requires more
cement content to attain desired strength as compared
to the soil treated at lower initial water content for the
same water cement ratio. Effect of curing is almost
negligible because of the organic constituents present
in the soil.
o Replacement of cement by quick lime is found to be
ineffective as the organic component of the soil
inhibits lime from reacting with the clay minerals.
Hence lime and lime substitutes will not work in case
of stabilizing Kuttanad clay.
o The solubility of Diatom silica is affected by the
organic matter and sesquioxides present in the soil
making the soil less responsive to lime. Thus
supplying reactive silica by other additives along with
cement is necessary for improving the strength of the
soil.
o Among the additives used with varying quantities of
reactive silica, small percentage of Sodium Silicate
with cement is found to be most effective in
enhancing the strength of cement stabilized Kuttanad
soil.
432
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Chen H and Wang Q. 2006. The behaviour of organic matter in the
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Effect of Sodium Silicate on Unconfined Compressive Strength of
Soft Clay. Electronic Journal of Geotechnical Engineering, 16, 289295.
Hardening process of clayey soils with high water content due to thixotropy effect
Processus de durcissement des sols argileux forte teneur en eau caus par un effet thixotropique
Tanaka H.
Hokkaido University, Sapporo, Japan
Seng S.
Institute of Technology of Cambodia, Phnom Penh, Cambodia
ABSTRACT: Hardening due to thixotropy for clayey soils with high water content was studied by change in stiffness by time, using
Bender Element Test. Shear strength was also measured to be compared with the increase of the stiffness measured by the bender
element. Following interested findings are obtained: 1) the effect of thixotropy is found significantly at around the liquid limit state
and less remarkable at the lower and higher ranges than the liquid limit; 2) the shear modulus at liquid limit after 24 hours resting is
around 200 kPa; 3) the increment of the shear modulus developed in the thixotropy process appears noticeably higher than that in the
secondary consolidation process. It is believed that these findings are very useful to establish a new theory for the consolidation of the
ground filling by very soft clays or dredged soils with extremely high water content as well as to understand the effects of ageing on
consolidation properties of natural soils.
RSUM : Le durcissement de sols argileux, ayant une teneur en eau leve et caus par la thixotropie, a t tudi laide de
plaques de pizo-cramiques permettant de suivre les changements de rigidit du sol en fonction du temps. La rsistance au
cisaillement a aussi t mesure et compare aux changements de rigidit. Ceci a permis les constatations intressantes suivantes : 1)
leffet du gain thixotropique devient significatif lorsque ltat du sol est proche de la limite de liquidit lequel serait moindre aux
valeurs suprieures et infrieures la limite de liquidit; 2) le module de cisaillement la limite de liquidit, aprs 24 heures au repos,
est denviron 200 kPa; 3) laugmentation du module de cisaillement cause par la thixotropie apparat, dune faon notable, plus leve
que celle pouvant provenir de la consolidation secondaire. Nous croyons que ces constatations sont trs utiles pour tablir une
nouvelle thorie de la consolidation pour les cas de remblayage avec des argiles trs molles ou des sols de dragage tout autant que
pour comprendre les effets du vieillissement sur les proprits de consolidation des sols naturels.
KEYWORDS: Thixotropy, Stiffness, Bender Element, Consolidation, Liquid limit.
1
INTRODUCTION
The concept of effective stress has been widely accepted by

geotechnical engineers and it is believed that geotechnical
parameters such as strength or stiffness can be simply correlated
with the effective stress. In this concept, these parameters are
independent of time and the apparent time dependency during
consolidation can be understood by changing in the effective
stresses in the process of the dissipation of the excess pore
water pressure. On the other hand, some behaviors opposite to
the effective stress approach are also recognized, i.e.,
thixotropic hardening. Soil loses strength or stiffness by
remolding, but they are recovered in time. It may be considered
that this factor should play an important role in the process of
settlement. Thus, this paper will try to understand the
thixotropic hardening phenomenon of clays with high water
content.
Although some experimental data have been reported on this
field, the conventional destructive testing tools such as triaxial,
unconfined compression, and laboratory vane apparatus have
been employed by previous investigators to measure strength
hardening due to thixotropy. Normally, these methods do not
guarantee the same testing condition because of using different
samples and relatively long preparation time for testing, i.e.,
difficult to measure properties at very early time, and also
disturbance effect occurs during insertion of the vane blade, for
example. To overcome these drawbacks, a nondestructive
bender element test, which provides the measurement at a very
low strain level as small as 10-5 (0.001%), is introduced in this
paper to study the thixotropic behavior of very soft clays,
together with a vane shear test measuring the undrained
433
strength. In another approach, oedometer test under very low

pressure was also carried out, being equipped with the bender
element to examine the development of soil stiffness due to
consolidation. Correlation between the stiffness and the
effective stress will be established, and also study on the
changing in the stiffness during the secondary consolidation.
Using these test results, the increment of stiffness caused by
thixotropic behavior is tried to be evaluated.
2
SAMPLE AND TESTING METHOD
The tests were run on very soft clays using samples obtained
from three commercial powder clays and three natural clays.
Commercial clays are Fujinomori, Kasaoka, and NSF. The
natural ones are Ariake, Hachirogata and Tokuyama. Their
index properties are summarized in Table 1. Their liquid limits
vary in a large range from low (48.6 %) to very high (246.0 %)
value that allows this study to cover the wide different
characteristic of materials.
After mixing at a target water content, the sample was
poured into a mold with various sizes for different purposes: a
plastic cylindrical mold with the height of 10 cm and the
diameter of 5 cm for the bender element test, a gallon bucket
with 20 cm of the diameter and heights of specimen varied from
7 to 8 cm for the vane test, and a consolidometer cell with
diameter of 10 cm and adjustable height from 4 to 15 cm for
consolidation test. Vibration was gently applied to drive out air
bubbles from a slurry specimen and a sample was compacted
when its water content was small and the sample was stiff. The
mold with the specimen for the thixotropy test was wrapped by
Voltage (V)
10
0
-10
Table 1. Geotechnical Properties used in the test.
Soil Types
Fujinomori
Kasaoka
NSF
Ariake
Hachirogata
Tokuyama
Symbol in
Figures
F
K
N
A
H
T
Plastic
Liquid
Limit (%) Limit (%)
21.3
27.5
29
31.4
96.5
40
48.6
62
55
72.5
246
110.6
Plasticity
Index
Particle
Density
27.3
33.5
26
41.1
149.5
70.6
(g/cm )
2.69
2.61
2.76
2.621
2.43
2.62
Input Signal
Sine 1 kHz
1.5 hrs
2.2 hrs
2.7 hrs
P-waves
19.5 hrs
23.7 hrs
44.4 hrs
93.8 hrs
3.1
THIXOTROPIC EFFECT MEASUREMENT

Shear Wave Velocity and Shear Modulus by Bender
Element Test
Figure 1 shows an example of increase in the shear wave

velocity (Vs) with time, measured by the bender element test on
a specimen made from Kasaoka clay mixed with 60.6% of
water content. Since the water content of the specimen was
almost equal to liquid limit state, the received shear wave
signals at the beginning of the measurement were hardly
identified because of their low amplitude and frequency. Pwaves clearly appeared since they could propagate through
liquid. As time was proceeded, the soil became stiffer;
consequently the arrival times were detected more shortly, in
another word the shear wave velocity increased. It may be
considered that the increase in shear wave velocity (Vs)
corresponds to the increases in the stiffness, which is reflected
to the thixotropic phenomenon. The received shear waves
became much clearer with high amplitude and frequency after a
certain time, while P-waves seemed to decay.
The shear modulus (G) derived from Vs with elapsed time is
illustrated in Fig. 2, where the symbols of A, F, K, N, H, and T
represent Ariake, Fujinomori, Kasaoka, NSF, Hachirogata, and
Tokuyama clays respectively with sample number. The number
in the brackets indicates the water content (w) and the
normalized water content by the liquid limit (w/wL). It can be
seen from the figures that G values for all conditions increases
with time even at over limit liquid states. And, G builds up
nearly in proportion to time in the logarithm scale, but this
magnitude is certainly depended on types of soils and the
amount of water content.
Since G increases in time, G at 24 hrs (G24) will be a
represented parameter for identifying characteristics of soil
types and influence of water content. G24 is plotted in Fig. 3
434
142.0 hrs
0
12
15
Time (ms)
Figure 1. An example of shear waves (Kasaoka clay, w=60.6%)
A1 (79.8%; 1.10)
F1 (40.9%; 0.84)
F2 (52.5%; 1.08)
K1 (62.3%; 1.00)
K2 (60.6%; 0.97)
4000
K3 (52.0%; 0.84)
K4 (62.1%; 1.00)
K5 (46.0%; 0.74)
N1 (54.0%; 0.93)
N2 (48.6%; 0.86)
H1 (241.3%; 0.98)
T1 (134.3%; 1.21)
T2 (149.3%; 1.35)
3500
Shear Modulus, G (kPa)
116.8 hrs
3000
2500
2000
1500
1000
500
0
0.1
10
100
1000
Time (hr)
Figure 2. Relationships between G and time.
10000
Shear Modulus at 24hrs, G24 (kPa)
thin plastic film, and then it was kept in a high humidity box to
prevent the water evaporation. The elapsed time for thixotropy
was accounted just after the sample was poured into the mold.
As input signals for the bender element test, sine and
rectangular waves have been alternatively used with wide
ranges of frequencies in accordance with material stiffness, in
order to attain a clear output waveform. Generally, the high
frequency is required in testing stiff soils and vice versa. The
start-to-start method for determining the arrival time (t) and
tip-to-tip method for determining the travel distances (d) of
the shear wave were adopted in this study (Yamashita et al.,
2009).
The increase in the undrained shear strength during
thixotropic hardening was also confirmed by the vane shear test.
The vane diameter and height used in this experiment were 20
mm and 40 mm, respectively. The shear rate of the laboratory
vane apparatus was constant at 6 rotations per minute. All tests
were carried out for the same sample created by a gallon bucket,
as already mentioned.
Ariake
Fujinomori
Kasaoka
NSF
Hachirogata
Tokuyama
1000
100
10
1
0.6
0.7
0.8
0.9
1.0
1.1
1.2
1.3
1.4
1.5
Normalized w/wL
Figure 3. Relationship between w/wL and G after 24 hours.
against the (w/wL), considering different types of materials. A

clear correlation between these two parameters can be observed
with minor scatters. Obviously, G decreases with increasing the

normalized w/wL, meaning that wL defines the magnitude of G
regardless types of soils. In this case, G24 value at wL appears
around 200 kPa.
By extruding data of Hachirogata clay, because of a strange
point in the G24 and w/wL relation as shown in Fig. 3, the
correlations of hardening G and normalized w/wL at not only 24
hours but also various times are plotted in Fig. 4 to examine the
effect of thixotropy corresponding to wide range of water
content. It can be seen in the figure that the increment of G to
time at around wL is the largest, while at smaller water contents
than wL, say, when w/wL is less than 0.8, the tendency of G
increasing against time becomes smaller.
Normalized G/G24
2.4
2.2
G10/G24
2.0
G48/G24
1.8
G120/G24
1.6
1.4
1.2
1.0
0.8
0.6
0.4
0.2
3.2
Undrained Shear Strength by Vane Test
0.0
0.6
Although the figure is not presented in this paper, it is also

observed in laboratory vane test that the shear strength increases
with time. The values of su measured at 24 hrs (su24) are plotted
with normalized w/wL in Fig. 5, in the same manner as G24
shown in Fig. 3. Almost a linear correlation between su24 in the
logarithm scale and w/wL ratio is also identified, but more
remarkable scatters and slightly steeper gradient are recognized
than those in Fig. 3. At wL, the magnitude of su24 varies from
about 1 to 2 kPa, whose values are somewhat lower than those
suggested by Wood (1990), who did not consider the
thixotropic hardening effect and recommended 2 kPa of su at
wL.
Relationship between thixotropic hardening G and su at
various elapsed times is shown in Fig. 6 together with that
obtained from cement-treated soil (CTS) material proposed by
Seng and Tanaka (2011). They found that G and su relation of
CTS can also be applicable to most of worldwide natural clays
with su varied from 10 to 150 kPa. It is observed in Fig. 6 that at
very high water content corresponding to low initial strength, su
remains constant until a certain time unlike G. After G reaches a
certain values, su starts to increase and the relation of G and su
seems to approach to the same line as CTS. Indeed, Seng and
Tanaka (2011) reported that even CTS material behaves the
similar way when the strength of CTS is extremely small.
However, when strength of CTS is greater than 1 kPa, the G and
su correlation for each sample forms linear function, unlikely
very soft clays that show a monotonic increase. Both behaviors,
the constant values and slow increases of su, are quite
interesting and might be associated with viscosity or strain rate
effect which is obviously an important factor governing soil
strengths especially when material remains soft; however
further investigation is necessitated to confirm this presumption.
0.7
0.8
0.9
1.0
1.1
1.2
1.3
1.4
1.5
Normalized w/wL
Undrained Shear Strength at 24hrs, su24 (kPa)
Figure 4. Increase in G due to time at different w.

10
F1 (40.9%; 0.84)
F2 (52.5%; 1.08)
K1 (62.3%; 1.00)
K2 (60.6%; 0.97)
K4 (62.1%; 1.00)
K5 (46.0%; 0.74)
N1 (54.0%; 0.93)
H1 (241.3%; 0.98)
T1 (134.3%; 1.21)
T2 (149.3%; 1.35)
0.1
0.5
0.6
0.7
0.8
0.9
1.0
1.1
1.2
1.3
1.4
1.5
Normalized w/wL
Figure 5. Relationship between w/wL and su measured by vane after 24
hours.
(GEOP). The reason for small increment G during the secondary

consolidation might be explained by destruction of the
interparticle bounding, which is created during the thixotropy
process.
5
4 SHEAR MODULUS MEASUREMENT DRUING

SECONDARY CONSOLIDATION
CONCLUSIONS
The experimental results of thixotropic phenomenon measured

on various clays are presented and compared with values
obtained by consolidation test with low pressures. Main
conclusions can be drawn as following:
1) Bender element test is a powerful tool and an appropriate
method for evaluating the thixotropic hardening stiffness of
very soft clays, since it are able to detect even small changes
in G with an extremely small strain.
2) G at 24 hours for wL is around 200 kPa.
3) Regardless of soil types, thixotropy affects the clay most
strongly at around liquid limit state and becomes less
remarkable at lower and higher water contents.
4) The correlation between G and su for very soft clays is
analogous to that of cement-treated soil proposed by Seng and
Tanaka (2011). Additionally, similar behavior is recognized at
very low strengths, where su appears constant while G
increases.
The development of G during secondary consolidation is also an

interesting topic. It should be noted that the condition of the
secondary consolidation is under a constant effective stress but
the volume is changing, while in the thixotropic condition, the
volume change does not take place. Therefore, it may be
anticipated that the increase rate of hardening G owing to the
secondary consolidation should be greater than that of
thixotropy, as decreasing void ratio during the secondary
consolidation. As shown in Figs. 7 and 8, however, the increase
in G during the secondary consolidation is considerably smaller
than that in Thixptropy test. Figure 7 shows test results from the
thixotropy test, where G is normalized by G at 1 hour after
remolding (Gat1h). In Fig. 8, change in G during the secondary
consolidation is shown. The end of primary consolidation
(EOP) was estimated by the root t method, and it is assumed
that the effective stress is constant after EOP. Both axes in the
figure are normalized by time at EOP (tEOP) and G at EOP
435
10000
1 .4
CTS (Seng and Tanaka, 2011)
0.5
120
1 .3
1000
144
168
48
100
20
168
96
10
10
227.5
24
288
24
18
96
5
72
120
24 11
120
2
0.5
24
0.5
0.5
1
0.1
F1 (40.9%; 0.84)
F2 (52.5%; 1.08)
K1 (62.3%; 1.00)
K2 (60.6%; 0.97)
K4 (62.1%; 1.00)
K5 (46.0%; 0.74)
N1 (54.0%; 0.93)
H1 (241.3%; 0.98)
T1 (134.3%; 1.21)
T2 (149.3%; 1.35)
10
REFERENCES
Burland, J. B. 1990. On the compressibility and shear strength of natural

clays, Gotechnique 40(3), 329-378.
Seng, S. and Tanaka, H. 2011. Properties of cement-treated soils during
the initial curing stages, Soils and Foundations 51(5), 775-784.
Tanaka, H., Kang, M. S. and Watabe, Y. 2004. Ageing effects on
consolidation properties Based on the site investigation of Osaka
Pleistocene clays-Soils and Foundations 44(6), 39-51.
Wood, D. M. 1990. Soil behavior and critical state soil mechanics,
Press Syndicate of the University of Cambridge, USA.
Yamashita, S., Kawaguchi, T. Nakata, Y., Mikami, T., Fujiwara, T. and
Shibuya, S. 2009. Interpretation of international parallel test on the
measurement of Gmax using bender element, Soils and Foundations
49(4), 631-650.
3
2
w i =5 4 %
48%
0
10
100
Figure 8. Increase in G during the secondary consolidaiton.
N S F c lay
T h ix o t r o p y
10
t / t EO P
20
p =1 6 k P a
1 .0
w i=80 %, p =8 k P a
p =2 0 k P a
w i=10 5 %, p=8 k P a
Figure 6. Relation between G and su. Numbers in the figure indicate

the elapsed time after remolding.
1 .2
1 .1
Undrained Shear Strength, su (kPa)
G / G at 1 h
N S F c lay
O edom et er T est
24
10
G / G EO P
Shear Modulus, G (kPa)
72
100
T im e (h o u r )
Figure 7. Increase in G during thixotropy test.
5) The increment of the shear modulus under secondary

consolidation is shown relatively low, compared with that
developed during the thixotropic process. It is suggested that
these differences may caused by the different constraint
pressures between the secondary consolidation and thixotropic
condition, i.e., the free arrangement of soil particles is prevented
under the former condition, while under thixotropic condition,
the soil particles can be freely arranged.
From the present study, we can point out the importance of
thixotropic hardening phenomenon for understanding soil
behavior with high water contents. It is well known that the
void ratio or water content in situ is much larger than that
predicted by laboratory consolidation tests based on e-logp
relation at the EOP (for example, Tanaka et al., 2004). If we
consider the secondary consolidation effect, in situ void ratio
should be smaller than that predicted from e-logp relation at
the EOP. To cope with such inconsistency, Burland (1990) has
proposed a concept of Sedimentation Consolidation Line (SCL),
considering the cementation or fabric effect. Study on the
thixotropy, which was conducted in the present study, is also
expected to provide an important key to understanding such a
phenomenon.
436
Comparative study of long-term consolidation for subsoils under Kansai Airport and
Pisa Tower
Etude comparative de la consolidation long terme pour les sous-sols daroport de Kansai et de
tour de Pise
Watabe Y., Sassa S.
Port and Airport Research Institute, Yokosuka, Japan
Udaka K.
Oyo Corporation, Saitama, Japan
ABSTRACT: In both the Kansai International Airport and Leaning Tower of Pisa, long-term consolidation settlement is a very
important geotechnical issue. In this study, a series of long-term consolidation tests were conducted for undisturbed samples retrieved
from these two sites. The isotache concept observed in the long-term consolidation behavior was successfully modeled by a simple
equation, and then the difference in long-term consolidation behavior between the Osaka Bay clay (significant delayed consolidation)
and Pisa clay were compared and discussed. Using the isotache model, the long-term consolidation settlement can be quantitatively
predicted in association with the strain rate dependency.
RSUM: Pour laroport international de Kansai et la tour penche de Pise, le tassement de consolidation long terme constitue une
problmatique gotechnique trs importante. Dans cet article, on prsente une srie dessais de consolidation long terme raliss
pour des chantillons intacts prlevs sur ces deux sites. Le concept isotche, observ dans la consolidation long terme, a pu tre
modlis par une quation simple. Les diffrences de consolidation long terme observes entre largile de la baie dOsaka
(consolidation retarde significative) et largile de Pise ont t compares et discutes. En utilisant le modle isotche, le tassement de
consolidation long terme peut tre quantitativement valu en association avec la dpendance en vitesse de dformation.
KEYWORDS: long-term consolidation, isotache, strain rate.
1
INTRODUCTION
0
In both the Kansai International Airport and Leaning Tower of

Pisa, long-term consolidation settlement is a very important
geotechnical issue. Observed settlements at the two sites are,
however, difficult to be directly compared, because their scale
and mechanism are different.
In this study, a series of long-term consolidation tests were
conducted for undisturbed samples retrieved from these two
sites. The test results were interpreted based on the most recent
findings from the isotache concept, which considers strain rate
dependency in preconsolidation pressure. Then, essential
difference between the long-term consolidation behaviors at
these two sites was clarified in association with the strain rate
dependency.
wp wn wL
sand
clay
silt
50
50
100
sand
50
50
50
50
100
100
100
100
100
150
150
150
150
150
150
200
200
200
200
P.
clay
Ma11
Ma10
P.
clay
P.Ma9
clay
Depth z (m)
Ma12
P.
clay
py
'v0
P. clay
sand
P.
clay
Ma7
200
200
0
60
120 0
50
100
Water content w (%)
Fraction (%)
2.5
3.0 1.0
1.5
2.0 0
1500 3000 1 2 3
3
s (g/cm )
Void ratio e
Yield stress pcy (kPa)
OCR
Figure 1a. Depth profiles of soil properties for the Osaka Bay clay.
0
0. 00
PHYSICAL AND MECHANICAL PROPERTIES OF

THE CLAYS
Depth z (m)
Osaka Bay clay (Kansai International Airport) and Pisa clay

have common characteristics, such as soil consistency (wL
80%, Ip 50), grain-size distribution (clay fraction (< 2 m) of
50%, fine particle fraction (< 75 m) of 100%), void ratio (e
1.5), overconsolidation ratio (OCR 1.4), etc, as shown in
Figure 1. Dominant clay minerals from X-ray diffraction are
different: smectite and kaolinite for Osaka Bay clay and illite
for Pisa clay. Micro-fabrics observed by scanning electron
microscope (SEM) are shown in Figure 2. Osaka Bay clay is
consisted of flaky particles (typically smectite) forming
aggregations with abundant microfossils (typically diatoms).
Pisa clay is consisted of platy particles (typically illite) with a
small number of microfossils.
9
wp
0. 00
(b)
(a)
3
H. clay
Ma13
wn
0. 00
(c)
0. 00
0. 00
(e)
(d)
3. 00
3. 00
3. 00
3. 00
6. 00
6. 00
6. 00
6. 00
6. 00
9. 00
9. 00
9. 00
9. 00
12. 00
12. 00
12. 00
15. 00
15. 00
15. 00
15. 00
18. 00
18. 00
18. 00
18. 00
21. 00
21. 00
24. 00
24. 00
9. 00
'v0 p 'yp
wL
12
15
18
(f)
3. 00
12. 00
12. 00
15. 00
18. 00
Clay
21
Silt
21. 00
21. 00
21. 00
Sand
24
24. 00
24. 00
24. 00
0.0
50.0
100.0
Water content w (%)
50
Fraction (%)
100 2.5
3.0 0.5 1.0 1.5 2.0

s (g/cm3)
Void ratio e
250
Figure 1b. Depth profiles of soil properties for the Pisa clay.
(a) The Osaka Bay clay.

(b) The Pisa clay.
Figure 2. Microfabrics observed by SEM.
437
500 1
Yield stress ppc'y (kPa)
2
OCR
2.0
1.6
EL.-76m
Strain (%)
1.4
Void ratio e
'v0
1.8
EL.-101m
1.2
1.0
0.8
628 kPa
745 kPa
1569 kPa
8
10
12
14
= 618
kPa kPa
'v0v0
'
= 618
p c = 737 kPa
pc = 737 kPa
0.6
16
0.4
18
0.2
20
0.01
0.0
1
10
100
1000
Consolidation pressure p ' (kPa)
pc
0.1
2pc
10
100
Time t (min)
1000
10000 100000
10000
Figure 4a. Consolidation curves for the Osaka Bay clay.
Figure 3a. Compression curves for the Osaka Bay clay.

0
'v0
2.0
1.8
Strain (%)
1.6
Void ratio e
1.4
1.2
1.0
177 kPa
265 kPa
530 kPa
4
6
8
'
173
173
kPa kPa
'v0
v0 = =
ppcc==261
kPakPa
261
0.8
10
0.6
pc
2pc
15.6m
0.4
16.6m
0.2
17.6m
12
0.01
0.1
17.6m (0.01)
10
100
1000
Consolidation pressure p (kPa)
10
100
1000
10000
100000
Time t (min)
0.0
Figure 4b. Consolidation curves for the Pisa clay.
10000
Figure 3b. Compression curves for the Pisa clays.
0.0
Compression curves (elog p curves) for the two clays are

shown in Figure 3. Undisturbed samples collected from G.L.76
and 101m (Ma11) for Osaka Bay clay and from G.L.15.6 and
17.6 m (B3) for Pisa clay were examined. Compression indices
Cc at these two sites were commonly 0.7 with very similar
compressibility. Preconsolidation pressures 'p for Osaka Bay
clay and Pisa clay were 600900 kN/m2 and 250 kN/m2,
respectively. For these values, a common overconsolidation
ratio (OCR = 'p/'v0) of approximately 1.4 were calculated
with the overburden effective stress 'v0 of 750 kN/m2 and 250
kN/m2, respectively.
In the long-term consolidation test, a specimen with 60 mm
in diameter and 20 mm in height was trimmed from an
undisturbed sample, then it was set in the oedometer with
double side drainage condition, then it was preliminary
consolidated by 24-h incremental loading up to the overburden
effective stress 'v0, and then a target pressure for the long-term
consolidation test was loaded (the overburden effective stress
'v0, preconsolidation pressure 'p, and twice of
preconsolidation pressure 2'p). Consolidation curves observed
at the target pressures were drawn in Figure 4. In the case of
'v0, Osaka Bay clay shows significant delayed consolidation
with convex curve, which means that the secondary
consolidation index C gradually increases with time. Pisa clay,
however, shows concave curve, which means that the secondary
consolidation index C gradually decreases with time. In the
case of 2'p, the both clays continuously shows the secondary
consolidation with concave curve after the primary
consolidation. In the case of 'p, observed behaviors for the two
clays were between the above two cases, respectively.
Visco-plastic strain vp
CONSOLIDATION TESTS
0.1
Ma11
Ma13
Ma7b
Ma12
Ma10
Ma13
Ma11
Ma13Re
Ma10
Ma9
Ma7a
Ma4
Ma8
Ma7a
Ma7b
Ma8
Ma9
Ma4
Ma3
Ma3
Ma12
Ma13Re
0.2
0.3
0.4
0.5
0.1
10
p'/p'c
Figure 5a. Reference compression curves for the Osaka Bay clays.
-0.05
0.00
0.05
0.10
Amagasaki 1
Rakusai 2
Ariake 3
Upper Haneda 4
Lower Haneda 5
Louiseville 6
Onsoy 7
Pisa 8
Mexico City 9
0.15
0.20
0.25
0.30
0.35
0.40
0.1
5
8
2
7
6
1
4
3
10
p'/p'c
Figure 5b. Reference compression curves for the worldwide clays.
438
Logarithmic consolidation pressure log p'

Ma10
Ma7b
Osaka Bay
Ma13
Ma12
Ma11
Ma9
Ma8
Ma7a
Ma4
Ma3
Ma13Re
In situ (Ma12 in 1st Phase)
p'c/p'c0, pp'/p'
c/p'c0
= 10
1
0.9
0.8
0.7
0.6
0.5
Amagasaki
Ariake
Louiseville
Pisa
Rakusai
Tokyo Bay
Onsoy
Mexico City
Overconsolidation
Normal consolidation
(a) In a case of high strain rate dependency.
0.4
1E-12 1E-11 1E-10 1E-9 1E-8 1E-7 1E-6 1E-5 1E-4

1
Logarithmic consolidation pressure log p'

Strain rate (s )
Figure 6a. Strain rate dependency for the worldwide clays.
2
p'c/p'c0
Pisa
1
0.9
0.8
0.7
(b) In a case of low strain rate dependency.
0.5
Figure 7. Illustration of long-term consolidation settlement in overconsolidation domain.
Strain rate
(s )
Figure 6b. Strain rate dependency for the Pisa clay.
MODELLING WITH ISOTACHE CONCEPT
In this study, isotache concept (uklje, 1957) is modeled by

simple equations proposed by Leroueil et al. (1985), but applied
them only to visco-plastic strain vp. Watabe et al. (2008)
modeled strain rate dependency of preconsolidation pressure 'p
as Equation (1):
ln
Overconsolidation
0.6
0.4
1E-12 1E-11 1E-10 1E-9 1E-8 1E-7 1E-6 1E-5 1E-4
Overconsolidation
p pL
c1 c2 ln vp
pL
(1)
Here, 'pL, c1 and c2 are constants. Equation (1) expresses that

the preconsolidation pressure 'p converges to a lower limit of
'pL.
Watabe et al. (2008) investigated the strain rate dependency
of preconsolidation pressure for Osaka Bay clays at various
depths from Holocene clay (Ma13) to Pleistocene clay (Ma12 to
Ma3) up to 300 m depth, and Watabe et al. (2012) examined the
applicability of Equation (1) to worldwide clays with various
characteristics. Reference compression curves, in which the
consolidation pressure 'v is normalized by the preconsolidation
pressure 'p, obtained from the constant rate of strain
consolidation tests are drawn in Figure 5. The clays examined
show various compressibility. For each clay, long-term
consolidation test was conducted in normal consolidation range,
then the relationship between preconsolidation pressure 'p and
strain rate vp was obtained (Figure 6a). Here, preconsolidation
pressure 'p is normalized by a reference value 'p0 that
corresponds to a strain rate of 1.0107 s1 (equivalent to 24-h
incremental loading oedometer test). Strain rate dependency can
be approximated by a unique model curve with parameters
'pL/'p0 = 0.7 and c1 = 0.935 for Osaka Bay clays at all of the
depths (Watabe et al., 2008). Note here that, when the
approximate curve passes a certain point, the parameter c2
439
automatically determined by the other two parameters 'pL and

c1.
The parameters determined for the Osaka Bay clays are
applicable to the worldwide clays examined in the previous
study (Watabe et al., 2012). Consequently, the isotache concept
can be commonly modeled by the unique approximation curve
for the worldwide clays. The unique approximation curve is
very useful; however, data for some clays, particularly for Pisa
clay, is apart from it. The relationship between preconsolidation
pressure 'p and strain rate vp for Pisa clay is compared to the
unique approximation curve in Figure 6b. Preconsolidation
pressure for Pisa clay does not decrease so much with decrease
of strain rate, indicating that the strain rate dependency of Pisa
clay is smaller than that of the other clays.
5
DISCUSSION
The key factor to model the isotache concept is the strain rate
dependency of preconsolidation pressure. From the previous
studies, it was found out that the strain rate dependency can be
expressed by the unique approximation curve. Pisa clay,
however, shows particularly smaller strain rate dependency than
the other clays. This different dependency strongly influences
the long-term consolidation behavior in over-consolidated
domain. In practice, consolidation settlement is predicted based
on the compression curve corresponding to a stain rate of
1.0107 s1. Because the Osaka Bay clay has high strain rate
dependency, overconsolidation with a higher strain rate at the
beginning can be eventually changed to normal consolidation
with a smaller strain rate. Figure 7a illustrate the mechanism for
the significant delayed long-term consolidation when the Osaka
Bay clay was loaded in slightly overconsolidation. On the other
hand, because the Pisa clay has low strain rate dependency,
overconsolidation with a higher strain rate at the beginning can
be eventually maintained in overconsolidation with a smaller
strain rate. Figure 7b illustrate the mechanism for that the Pisa
clay remained in overconsolidation when it was loaded in
slightly overconsolidation.
strain rate dependency has to be considered in prediction of

long-term consolidation settlement for most of the clays.
Prediction method of field settlement from the overburden
effective stress 'v0 to a certain consolidation pressure p1 is
illustrated in Figure 9. The compression curve observed in the
laboratory long-term consolidation test follows the path
ACDE. At the end of primary consolidation, strain rate
is in an order of 1.0105 s1, then it passes the point D at
1.0107 s1, and then it reaches the point E at a much smaller
strain rate. When long-term consolidation test is conducted,
strain rate easily decreases to 1.0109 s1 in 24 weeks, but it
hardly decreases to 1.01010 s1 because it requires several
months. In situ strain rate for the Osaka Bay clay is in an order
of 1.01011 s1, which is much smaller than the laboratory
strain rate of 1.0109 s1, and the compression curve follows a
path ABEF. According to a conventional method, the
field settlement is predicted as point D based on the result of 24h incremental loading oedometer test; however, the real filed
settlement could be point E. In practice, in situ consolidation
settlement can be predicted corresponding to the strain rate,
which is predicted in association with the thickness of the clay
layer. In addition, ultimate consolidation settlement possibly
reaches point F. Using the initial void ratio e0 and compression
index Cc, the additional consolidation strains from D to E
(DE) and from D to F (DF) can be calculated from
geometric relationship (equations are shown in Figure 9). These
in situ additional strains in association with the strain rate
dependency are significant, particularly in a case of thick clay
layer.
0.00
0.02
Lab. data
1.0 107 s1
24 h oedometer
1.0 108 s1
1.0 109 s1
1.0 1010 s1
1.0 1011 s1
0.04
0.06
0.08
0.10
In situ data
3.3 1010 s1
1.0 1010 s1
3.3 1011 s1
0.12
0.14
0.16
100
1000
Consolidation pressure 'v (kPa)

Figure 8. Measured field compression curves in Kansai International
Airport Phase 1 (Ma12).
Visco-plastic
strainstrain
vp vp
Visco-plastic
0.0
Effective vertical stress p'

p'1
'v0
A
C
p
DF c log c0
1 e0
pcL
p
C
DE c log c0
1 e0
pcL
Ma10
Lab. test
0.1
5 1
s 5 s1
31.0
x10
10
In situ
0.2
0.3
1 expc1 c2 ln EOP
100
0 (=1x10
E
F
6 1
1.0
3x1010s6 s1
17 1
710
s s from
31.0
x10
24 h oedometer
from
24 h oedometer
8
3x10 108
s s1
1.0
1
Infinitesimal strain rate

(maximum settlement curve)
11
11 1
1
3.3 3x10
10 ss1.0
1
109
9 s1
3x10 s
Figure 9. Isotache compression curves in the laboratory and prediction
of long-term consolidation settlement.
From comparison between the Osaka Bay clay and Pisa clay,
one of the main reasons of those different long-term
consolidation tendencies seems to be the existence of
microfossils, which are found abundantly in Osaka Bay clay,
but barely in Pisa clay. However, it is not true. Because the
unique approximation curve was determined for worldwide
clays with various characteristics with or without microfossils,
it cannot be said that the main reason is the existence of
microfossils. From X-ray diffraction, clay minerals in most of
the clays examined in the previous studies were smectite and
kaolinite. As mentioned above, the Osaka Bay clay also mainly
consists of smectite and kaolinite, but only the Pisa clay among
the clays examined mainly consists of illite. Therefore, it
indicates that illite results in a small strain dependency; i.e., one
of the main reasons of different strain dependency is the clay
minerals.
For the Pisa clay, because strain rate dependency is not
significant, long-term consolidation settlement can be
approximately predicted based on the compression curve
corresponding to a strain rate of 1107 s1. In fact, settlement of
the Leaning Tower of Pisa has been successfully predicted
without regard to strain rate effect (Burland et al., 2003), even
after about 800 years since its construction. In contrast, because
strain rate dependency of the Osaka Bay clay is significant,
long-term consolidation settlement predicted based on the
compression curve corresponding to a strain rate of 1107 s1
results in underestimation. In situ compression curves observed
by sublayered measurements of settlement and pore-water
pressure at the first phase of the Kansai International Airport are
drawn in Figure 8 together with isotache curves deduced from
24-h incremental loading oedometer test. The in situ measured
data crosses the isotache compression curves diagonally from
higher to lower strain rates, indicating that the behavior is
consistent with the isotache modeling.
Because the strain rate dependency of the Osaka Bay clay is
similar to the other worldwide clays, it can be said that the
440
SUMMARY
In the present study, the isotache concept observed in the longterm consolidation behavior was successfully modeled by
Equation (1), in which preconsolidation pressure decreases with
decrease of strain rate and converges to a lower limit at an
infinitesimal strain rate, then the difference in long-term
consolidation behavior between the Osaka Bay clay and Pisa
clay were compared and discussed using this model. In the
long-term consolidation in an overconsolidation domain,
significant delayed settlement was observed in the Osaka Bay
clay, but not in the Pisa clay. The significant delayed settlement
seems strange; however, it can be said that this strange behavior
is inherently natural because it is caused by the common strain
rate dependency for the worldwide clays. Therefore, the little
delayed settlement observed in the Pisa clay is rather strange.
Using the isotache model, the long-term consolidation
settlement can be quantitatively predicted in association with
the strain rate dependency.
6
REFERENCES
Burland J.B., Jamiolkowski M. and Viggiani C. 2003. The stabilisation

of the Leaning Tower of Pisa, Soils and Foundations, 43(5), 6380.
Leroueil S., Kabbaj M., Tavenas F. and Bouchard, R. 1985. Stressstrain-strain rate relation for the compressibility of sensitive natural
clays, Gotechnique, 35(2), 159180.
isotache method, Proc. 4th Int. Conf. on Soil Mech. Found. Engng.,
London, Vol.1, 200206.
Watabe Y., Udaka K. and Morikawa Y. 2008. Strain rate effect on longterm consolidation of Osaka bay clay, Soils and Foundations,
48(4), 495509.
Watabe Y., Udaka K., Nakatani Y. and Leroueil S. 2012. Long-term
consolidation behavior interpreted with isotache concept for
worldwide clays, Soils and Foundations, 52(3), 449464.
th
Settlement and shear strength of uncemented coal mine overburden materials

placed loose under dry and wet conditions
Tassement et rsistance au cisaillement de matriaux de couverture non ciments extraits de
mines de charbon et mis en dpt en vrac dans des conditions sches et humides
Williams D.J., Kho A.K.
The University of Queensland, Brisbane, Australia
ABSTRACT: The overburden materials in the coalfields of South East Queensland, Australia, are dominated by essentially
uncemented rocks, which rapidly break down on excavation to extract coal. On excavation, these uncemented materials bulk up to a
very loose density. On end-dumping by haul truck in spoil piles, these loose materials then undergo three forms of settlement: that due
to their self-weight, collapse settlement on wetting-up by rainfall, and settlement due to degradation on exposure to weather,
resulting in a substantial increase in density. Due to their lack of cementation, these overburden materials degrade rapidly on exposure
to the weather, leading to significant settlement, followed by some reversal on re-agglomeration and swell. Collapse and weatheringinduced settlements, both being associated with exposure to water, occur simultaneously on wetting-up. Wetting-up also causes a
substantial reduction in the shear strength of the materials. The paper quantifies the settlement and shear strength of uncemented
overburden materials excavated on open pit mining in the coalfields of South East Queensland.
RSUM: Les matriaux de couverture dans les bassins miniers du Sud-Est du Queensland, en Australie, sont principalement
constitus par des roches non cimentes, qui se dcomposent rapidement lors de l'excavation pour extraire le charbon. Lors de
lexcavation, ces matriaux non ciments sont mis en dpt en vrac dans un tat trs lche (trs faible densit). Aprs mise en dpt
par des camions dans des zones de stockage, ces matriaux subissent trois formes de tassement : celui rsultant de leur poids propre,
le tassement d"effondrement" rsultant du mouillage par la pluie et le tassement d la dgradation li l'exposition au climat. Ces
tassements entranent une augmentation substantielle de la densit. En raison de leur non cimentation, lexposition au climat entrane
une dgradation rapide de ces matriaux de couverture, se traduisant par des tassements significatifs, suivis par des processus de
reformation dagrgats et de gonflement. Les tassements rsultant du phnomne deffondrement et des dgradations dues au climat,
tous deux lis lexposition leau, se dveloppent simultanment lors du mouillage. Le mouillage entrane aussi une rduction
significative de la rsistance au cisaillement des matriaux. La communication prsente une quantification du tassement et de la
rsistance au cisaillement de ces matriaux de couverture excavs dans les mines ciel ouvert des bassins miniers du sud-est du
Queensland.
KEYWORDS: coal mine, compression, degradation, dry, overburden materials, settlement, shear strength, wet.
MOTS CLES : mine de charbon, compression, dgradation, sec, matriaux de couverture, tassement, rsistance au cisaillement,
humide
1
and degradation due to exposure to weather cycles are

described. Laboratory testing was carried out on scalped
specimens at the as-sampled gravimetric moisture content (that
is, dry) and in a water bath (that is, wet), which highlighted
the high potential for this material to slake and disperse, and to
collapse and breakdown, on wetting-up.
INTRODUCTION
The net bulking of coal mine overburden materials from their in

situ state on open cut mining results in an increased volume
required to accommodate the excavated spoil. Knowing the
bulking and subsequent self-weight, collapse and degradationinduced settlement of the spoil over time is important for
estimating the storage volume required in mined-out pits and in
out-of-pit piles.
The majority of the self-weight settlement occurs during
placement ((Naderian et al., 1996), with only a residual 20%, or
so, occurring after the end of construction. Collapse settlement
on wetting-up of the placed spoil by rainfall and/or groundwater
infiltration requires just sufficient wetting-up to saturate the
micro-cracks that occur at highly-stressed particle contacts. On
collapse of these particle contacts, the coarse-grained particles
break down, creating multiple, less-stressed particle contacts.
Further wetting-up of the spoil then essentially fills the pores
between the broken particles, without leading to significant
further settlement.
Uncemented coal mine overburden materials bulk-up
substantially on excavation, but also settle significantly due to
their self-weight or the height of spoil, collapse on wettingup, and degradation on exposure to weather cycles. Uncemented
weathered rock spoil sampled from Jeebropilly Coal Mine in the
Ipswich Coalfields of South East Queensland, Australia is
characterised and its shear strength, compression under loading,
SAMPLING OF JEEBROPILLY WEATHERED ROCK
The uncemented weathered rock overburden found in the depth

range from about 5 to 20 m in an open pit at Jeebropilly Coal
Mine was sampled from haul truck dumps. It was shaken
through a 19 mm sieve fitted to the top of a 20 litre bucket. The
sample passing 19 mm (-19 mm) and the +19 mm oversize were
both weighed, and the oversize was photographed for later
estimation of its particle size distribution.
3
SPOIL CHARACTERISATION
The characterisation testing of the Jeebropilly weathered rock

was broadly carried out in accordance with AS 1289. The assampled gravimetric moisture content of the -19 mm scalped
Jeebropilly weathered rock was 14.9%, and the Liquid and
Plastic limits of the -0.0425 mm fraction were 71.0% and
21.0%, respectively, giving a Plasticity Index of 50.0% and
indicating a Unified Soil Classification of CH (Clay of High
441
th
Plasticity). Note that the as-sampled moisture state was drier

than the Plastic limit. In the as-sampled moisture state, the 2.36 mm scalped sample had a total suction, measured using a
WP4 Dewpoint Potential Meter, of 4,320 kPa. The specific
gravity of the solids, measured using a helium pcynometer, was
2.60.
The electrical conductivity (EC) and pH of a 5 (deionised
water) to 1 (-2.36 mm scalped, dry solids) paste of Jeebropilly
weathered rock were 356 S/cm and 4.0, respectively. From the
measured EC, corrected to 25oC, and the relationship between
EC and osmotic suction (after U.S.D.A. 1954), an as-sampled
osmotic suction of 10 kPa was obtained, and a matric suction of
4,310 kPa was obtained by subtraction from the measured total
suction. The Emerson Class Number of the Jeebropilly
weathered rock was 1, implying that the material slakes and
disperses completely, and had a high potential for breakdown
and erosion.
Mg2+ is the dominant cation in the Jeebropilly weathered
rock, and its high cation exchange capacity (CEC) of
16 cmol(+)/kg and sodium adsorption ratio (SAR) of 0.76
suggest a relatively high clay content, low permeability, limited
structure, the potential for compaction under trafficking, and the
potential for internal erosion.
The particle size distribution curves obtained from
photographs using SplitDesktop (http://www.spliteng.com/splitdesktop/) or by dry sieving after air-drying of the -19 mm
scalped Jeebropilly weathered rock are shown in Figure 1,
together with the scalped curves obtained by the removal of the
oversize, for use in the various laboratory tests.
Figure 1. Particle size distribution curves of Jeebropilly weathered rock

overall, and scalped for use in various laboratory tests.
The particle size distribution curves obtained for the -19 mm

scalped Jeebropilly weathered rock by dry sieving after airdrying or 60oC oven-drying, by wet sieving using tap water
without or with dispersant added, and by hydrometer analysis in
deionised water without or with dispersant added, are shown in
Figure 2.
It is clear from Figure 2 that Jeebropilly weathered rock is
extremely prone to breakdown in the presence of water,
dominated by the gravel fraction breaking down to sand-size,
with no appreciable generation of silt and clay fines. The results
of the hydrometer analyses suggest that the fines content is less
than 10% by mass, and that the clay content is negligible.
However, it is likely that the intrinsic particle size does contain
appreciable silt and clay fines, and that these would require
more energy to be released than is applied in the standard test
procedure. The effect of adding dispersant is minor.
Laboratory Standard compaction testing of -19 mm scalped
Jeebropilly weathered rock indicated a low Maximum Dry
Density (MDD) of only 1.52 t/m3, at an Optimum (gravimetric)
Moisture Content (OMC) of 19.0%, close to the Plastic Limit of
the material. At the MDD and OMC, the material has a high
porosity of 0.42 and a low degree of saturation of 69%.
442
Figure 2. Particle size distribution curves of -19 mm scalped Jeebropilly

weathered rock obtained with different pre-treatments and testing
methods.
SHEAR STRENGTH
Shear strength testing of loosely-placed, -2.36 mm scalped

Jeebropilly weathered rock, at its as-sampled gravimetric
moisture content of 14.8% (that is, tested dry) or tested in a
water bath (that is, tested wet), was carried out in a 60 mm
direct shear box. It demonstrated that the shear strength
envelopes obtained were not substantially dependent on the
shearing rate over the range from 0.01 mm/min to 1 mm/min;
implying that drained conditions existed over this range.
On testing dry, the loose-placed dry density of the
Jeebropilly weathered rock averaged 0.908 t/m3. This increased
to an average 1.226 t/m3 after 24-hour compression under a
normal stress of 500 kPa, and to an average 1.370 t/m3 (75% of
MDD) after shearing. Compression increased the average
degree of saturation from the loose-placed value of 20.7 to
34.4% and 36.9% after shearing, as the average porosity
decreased from 0.650, to 0.528 to 0.510, respectively.
On testing wet, the loose-placed dry density of the
Jeebropilly weathered rock averaged 0.991 t/m3. This increased
to an average 1.351 t/m3 after 24-hour compression under a
normal stress of 150 kPa, and to an average 1.445 t/m3 (82% of
MDD) after shearing. Compression decreased the average
gravimetric moisture content from the loose-placed value of
70.4 to 35.5% and 34.3% after shearing, as the average porosity
decreased from 0.647, to 0.480 to 0.471, respectively.
The shear strength parameters obtained for -2.36 mm scalped
Jeebropilly weathered rock are summarised in Table 1, in terms
of apparent cohesion and friction angle, and friction angle only
(assuming zero cohesion). These values are in broad agreement
with those recommended for comparable coal mine spoil
materials (Simmons 1995).
Shear strength testing of -2.36 mm scalped Jeebropilly
weathered rock was also carried out in a 300 mm direct shear
box at a shearing rate of 1 mm/min. The shear strengths
obtained from the 60 mm and 300 mm direct shear box testing
at a shearing rate of 1 mm/min are compared in Figure 3. The
results from the smaller shear box cover a far greater range
between dry and wet conditions than those from the 300 mm
shear box, and appear more plausible.
Table 1. Shear strength parameters for Jeebropilly weathered rock.
State
Dry
Wet
29
6.0
Apparent friction angle (deg.)
27.2
19.5
Friction only angle (deg.)
35.2
22.0
Apparent cohesion (kPa)

th
hydraulic conductivity kv values may be calculated from

Equation (1).
kv = cv.mv.w
(1)
where w is the unit weight of water = 9.81 kN.m . The

resulting kv values are plotted in Figure 7, which demonstrate
the low permeability of wet -2.36 mm scalped Jeebropilly
weathered rock, even in a relatively loose state.
3
Figure 3. Comparison of friction only strength envelopes for 60 mm and

300 mm direct shear testing of -2.36 mm scalped Jeebropilly weathered
rock.
COMPRESSION UNDER LOADING
Staged, and single-stage creep, compression testing of looselyplaced, -2.36 mm Jeebropilly weathered rock, at its as-sampled
gravimetric moisture content (that is, tested dry) or tested in a
water bath (that is, tested wet), was carried out in a 76 mm
diameter oedometer. The compression curves for the staged
testing under dry and wet conditions are shown in Figure 4,
indicating Compression Indices Cc of 0.408 and 0.271,
respectively.
Figure 5. Single-stage creep loading of loose-placed, dry, -2.36 mm

scalped Jeebropilly weathered rock under 500 kPa for 14 days.
Figure 6. Coefficient of consolidation for loose-placed, -2.36 mm

scalped Jeebropilly weathered rock under wet and dry conditions.
Figure 4. Compression curves for staged testing of loose-placed, 2.36 mm scalped Jeebropilly weathered rock under dry and wet
conditions.
The % settlement (relative to the initial loose height) versus

log10 time plot for a loosely-placed specimen tested dry under a
single-stage creep loading of 500 kPa, over 14 days, shown in
Figure 5, indicates a self-weight settlement rate of 4.5%/log10
cycle of time, and a creep settlement rate of 0.5%/log10 cycle of
time.
From the staged testing under wet conditions and the creep
testing under dry conditions, coefficient of consolidation cv
values may be calculated as a function of void ratio e, as shown
in Figure 6. It is noteworthy that the data point from the singlestage creep test carried out under dry conditions lines up with
the trendline for the data points from the staged testing under
wet conditions. The dry specimen, tested at its as-sampled
gravimetric moisture content of 14.8% (initial degree of
saturation of 24.7%), achieved a degree of saturation of 40.0%
by the end of the test. The relatively high final degree of
saturation for the dry test goes some way towards explaining
why the dry data point lines up with the wet trendline.
From the calculated coefficient of consolidation cv and
coefficient of volume decrease mv values, the saturated
Figure 7. Hydraulic conductivity for loose-placed, -2.36 mm scalped

Jeebropilly weathered rock under wet conditions.
DEGRADATION ON EXPOSURE
Jeebropilly weathered rock scalped to -19 mm was loose-placed

to a nominal depth of 100 mm in a Perspex tray measuring
443
th
600 mm square by 150 mm deep and left exposed to the weather

for 35 days, during which time it experienced wetting by a
number of rainfall events totalling 113 mm, with desiccation
between these rainfall events. The rainfall was recorded, the net
settlement of the surface was measured regularly at nine points
over the area of the specimen, and sub-samples were taken at
the same time intervals for air-drying and dry sieving to
determine the change in the particle size distribution.
The specimen underwent major particle breakdown,
followed by re-agglomeration on desiccation crusting, as shown
visually in Figure 8. Changes in particle size distribution during
the course of the degradation test are shown in Figure 9. Figure
10 shows the cumulative rainfall and average net % settlement
relative to the initial specimen height with time during the
degradation test. Both Figures 9 and 10 clearly show the effects
of the initial major particle breakdown and subsequent reagglomeration, leading to reversals in the particle size
distribution curves and average net % settlement.
Figure 9. Changes in particle size distribution curves with time during

degradation test on loose-placed, -19 mm scalped Jeebropilly weathered
rock.
Figure 10. Cumulative rainfall and average net % settlement relative to

the initial specimen height with time during degradation test on looseplaced, -19 mm Jeebropilly weathered rock.
Figure 8. Photographs of major particle breakdown and reagglomeration on crusting during degradation test on loose-placed, 19 mm scalped Jeebropilly weathered rock.
COMBINED SETTLEMENT OF JEEBROPILLY

WEATHERED ROCK
Based on the results of the laboratory testing, the self-weight

settlement of initially relatively dry, loose-dumped, uncemented
Jeebropilly weathered rock spoil under 500 kPa (equivalent to a
spoil pile height of about 30 m) could amount to about 15% of
the initial spoil height, of 6% (20% of this) would likely occur
post-construction. Wetting-up of loose-dumped, uncemented
Jeebropilly weathered rock spoil could cause collapse
settlement of a further 15% of the initial spoil height.
Degradation-induced settlement of loose, uncemented
Jeebropilly weathered rock spoil could be 15 to 25% of the
initial height, although this might only occur to limited depth.
Overall, the combined settlement of a 30 m high pile of loosedumped, uncemented Jeebropilly weathered rock spoil, also
subjected to collapse and degradation on wetting-up, could be
up to 36 to 46% of the initial loose spoil height.
Coal mine open pits up to 500 m deep are being planned in
the Hunter Valley Coalfields of New South Wales, Australia,
which would result in spoil piles up to 600 m high. These could
settle about 40% of the initial loose spoil height, resulting in a
net bulking of the order of 12% relative to the initial in situ dry
density of about 1.87 t/m3.
444
CONCLUSION
The laboratory testing of uncemented Jeebropilly weathered

rock spoil has identified and quantified the components of
settlement on loading under dry and wet conditions, and on
wetting-up alone. These are substantial and reduce, to a
relatively modest amount, the initial considerable bulking on
excavation and loose-dumping of the overburden in spoil piles.
The final dry density of a high spoil pile of uncemented
weathered rock spoil could eventually approach that achieved
by laboratory Standard compaction of the material.
9
ACKNOWLEDGEMENTS
The research on which this paper is based forms part of

Australian Coal Association Research Program Project C19022,
whose funding is greatly appreciated, as are Jeebropilly Coal
Mine personnel for assisting with spoil sampling.
10 REFERENCES
AS 1289. Testing Soils for Engineering Purposes. Standards Australia.
Naderian, A.R., Williams, D.J. and Clark, I.H. 1996. Numerical
modelling of settlements in back-filled open-cut mines.
International Journal of Surface Mining, Reclamation, and
Environment, 10, 25-29.
Simmons J. 1995. Slope Stability for Open Cut Coal Mining. Australian
Geomechanics Journal, 29, 45-57.
U.S.D.A. 1954. U.S.D.A. Agricultural Handbook No. 60, Diagnosis and
Improvement of Saline and Alkali Soils.
Anisotropic strength ratio and plasticity index of natural clays

tude de la relation entre lanisotropie et lindice de plasticit des argiles naturelles
Won J.Y.
Technip
ABSTRACT: A number of Ko-consolidated triaxial compression and extension test results were collected to re-evaluate the
relationship between anisotropic strength ratio and plasticity index of natural clays. The database covers 203 pairs of triaxial tests
performed on normally consolidated natural clays from 14 countries, published between 1972 and 2007. Data selection criteria were
established for a consistent comparison. The anisotropy was strongly influenced by the definitions of failure in extension tests. Once
the anisotropy data are grouped into their depositional environments, no general trend of anisotropy with plasticity index can be
observed. The well-known trend that anisotropy decreases with plasticity index cannot be justified. A trend of anisotropy correlated
exclusively with plasticity index can be misleading. Anisotropic characteristics of a natural clay should be evaluated by careful
consideration of site specific characteristics, spatial variability, depositional and post-depositional environments of the clays.
RSUM : Des rsultats dessais triaxiaux Ko-consolids en compression et en extension ont t collects pour rexaminer la relation
entre lanisotropie et lindice de plasticit des argiles naturelles. Les donnes consistent en 203 sries dessais sur des argiles
normalement consolides de 14 pays, et publis entre 1972 et 2007. Un critre de slection des donnes a t tabli pour faire des
comparaisons cohrentes. Lanisotropie est fortement corrle avec le type de rupture en extension. En groupant les donnes en
fonction de leurs conditions de dpts, aucune corrlation entre lanisotropie et lindice de plasticit nest observe. La diminution
bien connue de lanisotropie en fonction de lindice de plasticit reste inexplique. Considrer que lanisotropie ne dpend que de
lindice de plasticit serait erron. Lanisotropie dune argile naturelle doit tre value en tenant compte soigneusement des
caractristiques spcifiques du site, de la variabilit spatiale, des environnements de dpts et post-dpts de lagiles.
KEYWORDS: Clay, Undrained Shear Strength, Anisotropy, Plasticity, Triaxial Test, Extension Test.
1
INTRODUCTION
Undrained shear strength of natural clays shows anisotropy, i.e.

it displays different undrained shear strengths under different
shear stress conditions and directions. Anisotropy in stiffness,
permeability, and shear strength comes from stress-induced and
inherent anisotropy. Anisotropic characteristics of natural clays
play a significant role in many geotechnical applications, such
as slope stability, and bearing capacity of shallow and deep
foundations both in onshore and offshore applications.
Anisotropy is routinely investigated for offshore foundations
(driven piles and suction anchors). In onshore projects,
however, the anisotropy is seldom investigated because of many
reasons. In many cases, thus, geotechnical engineers resort to
empirical trends to evaluate anisotropy of the soil of interest.
It is generally known that the anisotropy decreases with
plasticity index, i.e. high plastic clays are more isotropic than
low plastic clays. The trend was reported by Berre and Bjerrum
(1973) and Ladd et al. (1977) decades ago, based on a limited
number of test results. Besides the debates whether or not
plasticity index alone can represent soil characteristics, there
have been numerous anisotropy test results published since
then. Therefore, it is worthwhile to collect and analyze the
available anisotropy information to re-evaluate the anisotropic
undrained shear strength characteristics of natural clays.
A number of published Ko-consolidated triaxial compression
and extension tests performed on normally consolidated natural
clays were collected. A total of 203 pairs of Ko-consolidated
triaxial compression and extension test results from 14 countries
were analyzed. Different test conditions and methods of the data
necessitated consistent data selection criteria. The data were
grouped into their regions and/or depositional environments.
This paper presents review on depositional environments,
discussion on test conditions, and re-evaluation of the generally
accepted anisotropy trend.
2 METHODOLOGY
From an extensive literature review, Ko-consolidated anisotropy
test results were collected. The published data and test
445
conditions were carefully reviewed to select acceptable data.

The database was, subsequently broken down into respective
regions or depositional environments including Scandinavia,
Canada, Europe, Middle East, Japan, and East Asia.
2.1
Anisotropy
In this study, the anisotropy was evaluated by Ko-consolidated

triaxial compression (CKoUC) and extension (CKoUE) tests.
Anisotropic strength ratio (Ks=SuE/SuC) was defined as the
undrained shear strength ratio of extension strength (SuE) to
compression strength (SuC). The higher the anisotropic strength
ratio is, the lower the anisotropy is.
2.2
Data selection criteria
Anisotropy can be evaluated by various test methods such as

plane strain, hollow cylinder apparatus, triaxial compression
and extension tests as well as field vane tests with different
shape and length of blades. Each method measures different
aspects of anisotropy. Only CKoUC and CKoUE test results on
undisturbed natural clays were selected and analyzed. For
consistency, data from other test methods were excluded. It was
found that many published data did not include detailed test
conditions. To avoid unnecessary discussion on the effects of
consolidation methods for anisotropic triaxial tests, only the
results that followed the recompression concept i.e., consolidate
the specimen to an estimated in-situ overburden stress (vc)
before the undrained shear, were selected. Many test data for
USA clays were excluded because the majority of them were
obtained from the SHANSEP (Stress History and Normalized
Soil Engineering Parameters) approach. The following data
selection criteria were established for a consistent comparison.
Geologically normally consolidated clays

Apparently (lightly) overconsolidated clays
Ko (or anisotropically)-consolidated undrained triaxial
Undisturbed natural clays
Consolidation method: Recompression
Inorganic clays
Su/'vc
0.2
The data from the following conditions were excluded.

Geologically overconsolidated clays
Rotating angles of tested specimens
Consolidation method: SHANSEP
Isotropically consolidated triaxial
Hollow Cylinder Apparatus test results
Unconfined compression or unconsolidated undrained
Organic clays and peat
Artificial, remolded or resedimented clays
2.3
0.1
Axial strain, (%)
-15
-10
f=-12.4%
No.
data
Northern Finland Kimola
1
Europe Norway Various sites
19
Sweden Various sites
4
Europe Italy
Porto Tolle, Trieste
2
France
Various sites
3
UK
Bothkennar
9
North
Canada
NBR and other sites
21
America USA
Gulf of Mexico
2
Asia
Iraq
Khor Al-Zubair, Fao
10
Japan
Osaka bay
25
Izumo
21
Ariake
13
Kinkai
11
Tokyo bay
8
Various sites
8
Indonesia Banjarmasin, Surabaya 3
Singapore Singapore
3
Thailand Bangkok
12
Korea
Namak
20
Shihwa
8
14 countries
203
2.4
Local name
Plasticity
Index
31
4~32
26~53
30~47
54-67
28~43
5~57
33~55
18~36
50~71
25~104
36~81
22~80
36~50
35~75
60~85
34~58
26~77
22~41
14~25
4~104
10
15
f=-2.7%
-0.1
-0.2
Failure definition A
SuE/'vc= -0.118
Failure definition B
SuE/'vc= -0.164
Figure 1. An example of the definitions of failure for CKoUE test.
2.5
Strain rate effects
It was found that many authors and institutes used different

strain rates for the undrained shearing. For example, strain rates
of the undrained (compression/extension) shearing were 0.75
%/hr for NGI in Norway, 6.0 %/hr for PHRI in Japan, 0.18 %/hr
for UK, 0.5 %/hr for USA. The two Korean marine clays were
sheared at 3.0 %/hr. Strain rate effects on anisotropy are not
covered in this study and are assumed to be insignificant.
Table 1. Statistical information of the database

Country
f=2.7%
-5
Anisotropy database
A total of 203 pairs of CKoUC and CKoUE test results were

collected. The 53 resources reported by Mayne (1983) were also
carefully reviewed following the data selection criteria listed
above. The database covers 14 countries and data published
between 1972 and 2007. A relatively large amount of anisotropy
data (86) have been published for Japanese natural clays.
Statistical information of the database is summarized in Table 1.
Area
Sample
LL PI
SH-2 8.4m 36 17
SuC/'vc= 0.202
Ks
(SuE / SuC)
0.70
0.23~0.78
0.63~0.79
0.61~0.81
0.49~0.64
0.36~0.58
0.41~0.74
0.78~0.79
0.50~0.89
0.55~0.91
0.69~1.06
0.60~1.00
0.64~1.08
0.59~0.73
0.48~0.64
0.65~0.83
0.88~1.08
0.74~1.27
0.45~0.65
0.66~0.89
0.23~1.27
DEPOSITIONAL ENVIRONMENTS
For further comparison, it is vital to review depositional and

post-depositional environments of the clays presented in this
study, with regard to their physical and geotechnical properties.
3.1
Scandinavian clays
Depositional environments and the following geological events

(leaching) in Scandinavian clays were well documented by
Bjerrum (1954) as the causes of quick clay formation. A typical
feature of glacially derived clays is that the clay fraction (< 2
m) contains considerable quantities of non-clay minerals (rock
flour). For example, the rock flour of the Drammen clay was
produced by the abrasive action of glacial ice during the Ice
Age (Tanaka et al. 2001a). As a result, the Drammen clay has a
high clay-size fraction (40-50%) but plasticity index is
approximately 20 (Tanaka and Tanaka 1997).
Definitions of failure in extension test
There are two common definitions of the failure for triaxial

extension test (Tanaka et al. 2001a).
Definition-A: strength at the same strain level (typically less
than 2 %) as the peak strength from a compression test
Definition-B: peak strength (necking failure) or strength at
15 % of axial strain if the peak is not observed
It is evident that undrained shear strength values from
CKoUE will be significantly different, depending on the
definitions of failure. An example of the different failure
definitions is shown in Figure 1: A specimen from 8.4m depth
has SuC/vc=0.202 and the corresponding extension specimen
has SuE/vc=-0.118 and -0.164 following the failure definitionA and -B, respectively. The difference in anisotropic strength
ratio between the definition-A (Ks=0.584) and B (Ks=0.812) is
about 40 %. Irrespective of the failure modes (necking or
ductile) in extension tests, the difference between the two
failure definitions will be substantial. Many published data did
not have its definitions of failure for either triaxial compression
or extension tests.
446
3.2
European and Gulf of Mexico (USA) clays
Unlike the well-documented Bothkennar clay in the United

Kingdom (Nash et al. 1992, Tanaka et al. 2003), depositional
environments of the other European clays are not readily
available. The Bothkennar clay is characterized as a Holocene
deposit with low clay fractions. Abundant thin laminations and
mottled features are commonly observed. Overconsolidation
ratios are about 2 without any stress changes after its deposition,
is most probably caused by ageing or cementation. The
Bothkennar clay was formed since 8,500-6,000 years B.P.
(before present) under an estuary environment. The Italian and
French clays in the database are geologically normally
consolidated deltaic clays. Information of the depositional
environments of the two data points from an offshore site, Gulf
of Mexico, USA is not available. However, the marine clay
deposits in the Gulf of Mexico are known as geologically
normally consolidated Pleistocene or Holocene clays, except for
the cases where excess pore pressure is present. Abundant
smectite, yet moderate sensitivity (2~4) are the known
characteristics.
Canadian clays
Depositional environments of the Canadian cemented clays

were described by Lefebvre et al. (1983), Tanaka et al. (2001b),
and Tanaka et al. (2003). Typical Canadian clays are of marine
origin, cemented and were lifted to the present elevation due to
the isostatic movement after the end of the Ice Age.
Overconsolidation ratios over 2 are believed to be a result of
cementation. Mineralogy of the Canadian quick clays can be
summarized as high amorphous minerals and abundant clay-size
rock flour (non-clay minerals).
Japanese clays
1.4
3.5
0.8
0.8
0.6
0.6
0.4
0.4
(a) Scandinavian clays
1.4
447
20 40 60 80 100
United Kingdom
France
Italy
USA: Gulf of Mexico
1.2
(b) Canadian clays

0
1.4
1.0
0.8
0.8
0.6
0.6
0.4
20 40 60 80 100
Iraq: Fao
Iraq: Khor Al-Zubaire
1.2
1.0
0.4
0.2
0.0
0
1.4
Decades ago, Berre and Bjerrum (1973) and Ladd et al. (1977)
reported that anisotropy of clays decreases as plasticity index
(PI) increases. In other words, the anisotropic strength ratio
(Ks=SuE/SuC) increases with PI. This trend was followed by
many researchers (for example, Mayne, 1983, Jamiolkowski et
al. 1985). Until Mayne (1983) compiled 66 anisotropic data
points, the trend was supported only by 16 data points including
4 plane strain data and 12 triaxial data on undisturbed or
resedimented samples, mainly from Scandinavian clays and a
mixture of recompression and SHANSEP approaches. In the
meantime, 53 resources compiled by Mayne (1983) included
test results from different conditions and test methods, such as
quick sand, remolded specimens, overconsolidated soils, and
unconfined compression tests on different trimming angles.
In this study, anisotropic data following the data selection
criteria are grouped into their regions and depositional
environments (Figure 2). If all the data are plotted in one space,
the trend can be biased by the dominant number of test sets, for
example Japanese clays. Furthermore, one can treat different
clays with the same PI as the similar clays, even though they
have different mineralogy, clay structures, and clay fractions,
i.e. different deposition environments. Anisotropic strength
ratios of the Scandinavian clays in Figure 2(a) show a wide
spread within a small range of PI. Anisotropy data for the
Scandinavian clays reported by Berre (1982) and Berre and
Bjerrum (1973) were based on failure definition-A. Since the
Drammen clay typically shows strain hardening behavior and
does not have peak extension strengths (Berre and Bjerrum
1973, Ladd et al. 1977, Hanzawa and Tanaka 1992), the
extension strengths by definition-A resulted in much less Ks
than ones by definition-B. In fact, Ladd et al. (1977) and Berre
(1982) have mentioned that extension strengths determined by
the definition-A can be somewhat too low; hence the Ks values
for the Norwegian low PI clays reported by Berre (1982) and
0.2
0.0
DISCUSSION
NBR site
Other sites
1.2
1.0
0.2
Asian clays
1.4
1.0
0.0
The Bangkok clay is a non-glacial, high-swelling smectite, nonpyroclastic origin clay (Ohtsubo et al. 2000). Microfossils, such
as diatom or foraminifera are rare (Tanaka et al. 2001a). Clay
fractions of the Bangkok clay are typically over 50 %. The Iraqi
clays and the Korean marine clays in the database are with nonswelling minerals, non-glacial origin, and non-pyroclastic.
Sedimentation time of Iraqi clays is about 5,000 years B.P.
(Hanzawa and Tanaka 1992). Depositional and postdepositional environments of the Korean marine clays were
described in details by Won and Chang (2007). The Shihwa
clay is silt-dominant, whereas the Namak clay is clay-dominant.
4
Norway: Definition-A
Norway: Definition-B
Sweden
Finland
1.2
Ks = SuE / SuC
Most Japanese marine clays are characterized as non-glacial,

pyroclastic and low-swelling smectitic clays with clay fractions
of about 50%. A well-developed flocculated structure combined
with abundant fossil remains was mostly derived from diatoms
(Ohtsubo et al. 2000, Tanaka et al. 2001b, Tanaka et al. 2003).
Most of the Japanese marine clays have been developed since
8,000 years B.P., when the rapid sea-level rise commenced in
the late Quaternary era (Hanzawa and Tanaka 1992).
Ks = SuE / SuC
3.4
Berre and Bjerrum (1973) must have been underestimated.

Moreover, Tanaka and Tanaka (1997) have reported anisotropy
data for the Drammen clay (filled circles in Figure 2(a)), which
were quite different from the results by Berre and Bjerrum
(1973). Tanaka and Tanaka (1997) reported Ks ranging 0.320.78 for PI=15-32, whereas the range of Ks was 0.265-0.4 by
Berre and Bjerrum (1973) for the same lean and plastic
Drammen clays. Tanaka and Tanaka (1997) must have followed
the failure definition-B. If the anisotropy data for Scandinavian
clays were based on the failure definition-B at the beginning,
the anisotropy trend with PI would have been quite different.
(c) European and

0.2
Gulf of Mexico clays
(d) Middle-East clays
0.0
20 40 60 80 100
0
20 40 60 80 100
1.4 (f) East Asian clays
Osaka bay
Izumo
Ariake
Kinkai
Tokyo bay
Other sites
1.2
Ks = SuE / SuC
3.3
1.0
1.2
1.0
0.8
0.8
0.6
0.6
0.4
0.4
0.2
(e) Japanese clays
0.0
Korea: Namak
Korea: Shihwa
Thailand
Indonesia
Singapore
0.2
0.0
20 40 60 80 100
20 40 60 80 100
Figure 2. Anisotropic strength ratio versus plasticity index for different

depositional environments.
For Canadian clays in Figure 2(b), the published data can be

grouped into (1) low PI, sensitive and highly structured clays,
and (2) structured clays with high PI. The majority of the low PI
group are of the NBR site (Lefebvre et al. 1983), where an
intensive test program has been performed on the marine clay
with PI=5-15. Among the anisotropy data from the NBR site,
only the data that satisfied the data selection criteria are
presented. The failure definition-B (necking failure) was used
for the NBR site. The Ks values in the NBR site varied between
0.41-0.66, depending significantly on the degrees of structure,
within a narrow PI range. The majority of the high PI group
data are from the Champlain Sea area. The difference between
the low and the high PI groups seems to be originated from
mineralogy of the clay size particles; the low PI clays consist of
rock flour for clay-size particles, whereas the high PI clays
consist of illite, chlorite, and vermiculite (Tanaka et al. 2001b).
Distinctively different characteristics of the two groups make it
difficult to draw a trend line for the Canadian clays.
Anisotropic data from Gulf of Mexico and the data of
European clays are plotted together in Figure 2(c) because their
depositional environments seem to be similar. Anisotropic
strength ratios from the Bothkennar site ranged between 0.36

and 0.58 with PI range of 28-43. Peak or necking failures were
observed (definition-B) from the samples retrieved by Laval and
Sherbrooke samplers. No apparent trends between Ks and PI can
be observed in Figure 2(c).
The only anisotropy data from the Middle East are of Iraqi
clays as shown in Figure 2(d). The Iraqi clays in the database
are normally consolidated young or aged clays. The anisotropy
substantially changes (Ks=0.50-0.89) within a very narrow PI
range (PI=34-36) for the Khor Al-Zubaire clay.
Anisotropic data of Japanese clays are presented in Figure
2(e). It is clear both Ks and PI values significantly vary even
within a specific site. For example, the Izumo clay has PI range
of 25-100 and Ks values of 0.70-1.06. From Figure 2(e), one
could suggest Ks=0.5-0.8 for PI=20-60 and Ks=0.7 or more for
PI over 60, for Japanese clays. Spatial variation within a site as
well as locality seems to have strong effects on anisotropy than
a single index property, PI.
Anisotropy data from the East Asian countries are shown in
Figure 2(f). All the anisotropy data followed the failure
definition-B. Anisotropic strength ratios typically ranged
between 0.5 and 1.1 for the wide PI range of 14-85. The Namak
clay is similar to the Bothkennar clay in many ways including
stress history, organic contents, laminated features, and estuary
environments. The Ks range of the Namak clay is 0.45-0.67
with PI=22-41 that is comparable to the Bothkennar clay. Of
special interest is anisotropy data from the Bangkok clay. Berre
and Bjerrum (1973) presented only one data point that was not
from the Scandinavian Peninsula and PI over 35: from Bangkok
east. In fact, the data point (Ks=0.52 & PI=88) was not selected
in this study because it appeared to be an organic clay. As for
Bangkok clay, published data show a wide range of Ks=0.741.28 with PI=26-77. As Tanaka et al. (2001a) mentioned,
Southeast Asian clays seem to behave more isotropically despite
the scatter and their moderate PI values.
When Berre and Bjerrum (1973) and Ladd et al. (1977)
reached the conclusion that anisotropy of clays decreases with
plasticity index, very limited test results were available.
Scandinavian low PI clays with failure definition-A that
underestimated SuE formed the left lower end and the two data
points from Bangkok organic clay and Atchafalaya clay, USA
(PI=75 and definition-B) formed the right end to conclude the
trend. Once the anisotropy data with consistent criteria in this
study are grouped into their depositional environments, the
trend of Ks increase with PI can hardly be observed. The
statement less plastic, and often more sensitive, clays tend to
have higher anisotropy than more plastic clays by
Jamiolkowski et al. (1985) appears to be appropriate, only if the
less plastic and sensitive clays are Scandinavian and Canadian
low PI clays. This study supports the conclusion by Hanzawa
and Tanaka (1992) that undrained strength anisotropy is not
correlated with plasticity index. Other aspects, such as clay
fraction, clay structure, mineralogy, origin, diatoms, spatial
variation are the major factors that control anisotropy in shear
strength of natural clays. In other terms, depositional and postdepositional environments, and regional variations are the
governing factors for anisotropy of natural clays, rather than a
single index property like PI. It should be emphasized that index
properties are good indicators of those major governing factors
in a limited sense. For a given local soil, a carefully selected
empirical correlation or a trend based on local data should be
valid and useful. However, a comparison between various
natural clays solely by a single index property such as plasticity
index, without careful consideration of depositional and postdepositional environments can be misleading.
5
CONCLUSIONS
A large number of anisotropic triaxial test results (CKoUC and

CKoUE) were collected and analyzed to re-evaluate the
generally accepted trend between anisotropy and plasticity
index. Data selection criteria were established for a consistent
448
comparison. Ko-consolidated (recompression) triaxial test

results on geologically normally consolidated, undisturbed
natural clays were selected. Based on the analysis, the wellknown trend that anisotropy decreases with plasticity index
cannot be justified. The trend was developed by limited test
results and different definitions of failure. Anisotropy was
strongly influenced by the definitions of failure in CKoUE tests.
When comparing different natural clays, an anisotropy trend
correlated exclusively with plasticity index can be misleading.
Clay structure, clay fraction, mineralogy, origin, diatoms, and
spatial variation are the governing factors for understanding
anisotropy of natural clays. Relationship between anisotropic
strength ratio and plasticity index should be evaluated by
careful consideration of spatial variability, site characteristics,
and depositional and post-depositional environments of an
individual clay of interest.
6
REFERENCES
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Tanaka H., Locat J., Shibuya S., Soon T.T. and Shiwakoti D.R. 2001a.
Characterization of Singapore, Bangkok, and Ariake clays. Canadian
Geotechnical Journal 38 (2), 378-400.
Tanaka H., Shiwakoti D.R., Mishima O., Watabe Y. and Tanaka M.
2001b. Comparison of mechanical behavior of two overconsolidated
clays: Yamashita and Louiseville clays. Soils and Foundations 41 (4),
73-87.
Tanaka H., Shiwakoti D.R. and Tanaka M. 2003. Applicability of
SHANSEP method to six different natural clays, using triaxial and
direct shear tests. Soils and Foundations 43 (3), 43-55.
Tanaka H. and Tanaka M. 1997. Application of the UC test to two
European clays. Proc. 14th ICSMFE, Hamburg 1, 209-212.
Won J.Y. and Chang P.W. 2007. The causes of apparent
overconsolidation in the Namak marine deposit, Korea. Geotechnique
57 (4), 355-369.
Hydraulic Heave in Cohesive Soils

Rupture hydraulique du sol en terrain cohrent
Wudtke R.-B.
wudtke geotechnik, Weimar, Germany, r.wudtke@wu-geo.de
Witt K.J.
Bauhaus-Universitt Weimar, Weimar, Germany, kj.witt@uni-weimar.de
ABSTRACT:
According to DIN EN 1997-1:2009, the shear parameters of the soil are not relevant for stability analysis due to hydraulic heave.
Resistance is only activated by the weight of the soil of the failure area. However, during tests on cohesive soils the failure sequence
was visually detected as a series of pore widening, initial crack formation and hydraulic induced structure decomposition of the soil in
the failure area followed by downstream sudden uplift. On the basis of the test observations a new design approach under
consideration of soil weight, shear parameters and an optionally mobilised earth pressure is proposed. The used reference volume
represents both the construction as well as the flow situation. Processes that occur before the final uplift are transmitted by the
hydraulic gradient icrit on the failure area. The final limit state is interpreted as a shear failure.
RSUM:
Pour lvaluation dune dfaillance par rupture hydraulique du sol, les normes DIN EN 1997-1:2009 sur les proprits de cisaillement
du sous-sol ne sont pas pertinentes. Les rsistances sont actives seulement par le poids du sous-sol. Des essais de visualisation du
droulement de la dfaillance en sol cohrent ont montr que le processus se caractrise par une succession deffets de dilatation des
pores, de formation initiale de fissures, de destruction structurelle du continuum dans la zone de dfaillance, suivis dune rupture
brutale de la surface. Conformment au droulement de la dfaillance, les calculs prsents prennent en compte, en tant que
rsistances, le poids mort du sol, sa rsistance au cisaillement de rupture ainsi que, le cas chant, lexistence dune contraction du sol.
La mise en vidence se fait sur une zone de dfaillance-modle reproduisant la situation de construction et de courant. Les phases
prcdant la rupture finale sont transfres la zone dfaillante par les gradients hydrauliques i crit. Ltat limite final est interprt
comme rupture par cisaillement.
KEYWORDS: stability analysis, design approach, cohesive soil behaviour, test method
the supporting effect of the subsoil abutment at sheeting

location is possibly positive.
INTRODUCTION
Stability analysis against hydraulic heave considers in

accordance with Eurocode 7 (DIN EN 1997-1:2009) exclusively
the soil weight as stabilizing influence. Thus, especially for
cohesive soils the design approach takes not the available shear
strength into account. In accordance with current regulations, a
consideration of shear properties is only possible if special
experience with the material is available.
In order to optimize the design approach of hydraulic heave
for cohesive soils within the constraints of the valid standard, it
is necessary to examine various questions. This includes:
- How to characterize the failure mechanism of hydraulic
heave in cohesive soils?
- Which is the characterizing difference of this for noncohesive soils?
- How to describe or determine an appropriate reference
volume for the limit state?
- Which are the controlling material parameters of the limit
state?
- What is the effect of the water content on these soil
properties?
In order to develop a new design approach, it is also
necessary to consider temporal aspects of the failure sequence.
An adaptation of the design approach to the problem of a flow
around excavation wall must be considered for both drained and
undrained soil properties. In addition, a specific consideration of
449
CURRENT DESIGN
Changes in groundwater regime are critical for hydraulic heave

and for particle transport processes in the soil. The stability of
earth structures, excavations and foundations is influenced by
both phenomena during and after construction.
From a global point of view, changes in ground water level
cause changing pore water pressures, which might affect the
general balance within the soil continuum. A violation of the
limit state condition leads in this context to failure. On the other
hand an increased flow of water though the voids leads to
changes in the soil structure due to particle transport. To
evaluate hydraulic heave a limit state condition is critical.
Particle transport processes have only an indirect effect on the
overall stability.
Referred to Eurocode 7 (DIN EN 1997-1:2009) for a
stability analysis against hydraulic heave for each possible soil
prism the limit state condition according to Equations (1) or (2)
has to be evaluated.
udst;d stb;d
(1)
S dst ;d Gstb;d
(2)
The limiting criterion in Equation (1) is formulated as a

comparison of the design values of total stresses stb;d and pore
water pressures udst;d. Equation (2) refers the context to the flow
force Sdst;d and the buoyancy weight Gstb;d and therefore to the
effective stress.
The following additional considerations of how to make
assumptions and define the boundary conditions for hydraulic
heave stability analysis and their interpretations are given in
DIN 1054:2010. For example, in flow around an excavation
wall conform to Terzaghis approach the reference volume can
be taken into account as a rectangle with a width of half of the
wall embedment depth. The hydraulic impact may be
differentiated on the basis of the soil type. Accordingly, the
partial safety factors can be distinguished for soils with flow
unfavorable or favorable characteristics. For at least stiff
cohesive soils the consideration of cohesion or tensile strength
as a material-specific parameter is permitted, if special expertise
and experience are available.
In particular, the reference to a possible consideration of
additional material specific strength properties indicates that the
valid approach lead to a conservative interpretation of the
relevant boundary conditions. Thus, according to the current
experience the approach is suitable especially for non-cohesive
soils. The existing shear strength of cohesive soils is neglected.
3
changing hydraulic routeing and flow distribution in the soil.

Consequence of the changed hydraulic boundary conditions is
increasing hydraulic impacts at the excavation side of the pit
wall.
The type of failure sequence is independent of the shear
strength of the soil. The failure principle is subjected to the
availability of cohesion and tensile strength. The activation of
resistances is related to the shear strength of the soil and the
stress state.
For low-cohesive soils in the course of crack opening and
closing processes a comparatively small resistance is activated.
At the same time the influence of shearing increases. How much
the resistance can be mobilized depends on the stress state of
the reference volume and the hydraulic head difference. An
increase of the water content causes plasticity changes and is
therefore sensitive to the occurrence of the failure.
3.2
Conventional tensile strength tests show that the tensile strength

of cohesive soils decreases with increasing of water content.
Basically it can be noted that tensile strength is available only
for soils with at least stiff plastic consistency. In these tests due
to the mechanically induced sample destruction the
conventionally determined tensile strength is only partially
representative for the detected hydraulic induced loss of
structural integrity of cohesive soils, (Wudtke and Witt 2010).
The development of a new testing method was required to
identify adequately the hydraulic induced limit state condition.
Objective of the testing method is to identify and quantify for a
certain construction status valid critical hydraulic gradient icrit.
The parameter represents the hydraulic impact required for a
structure decomposition of the soil. There are three main
influences on the test results: 1 representative stress state, 2
pore water pressure, 3 soil water content. In contrast to
conventional testing methods the test method considers a
hydraulic effect as the driving force for specimen destruction.
(Wudtke 2013)
EXPERIMENTAL ANALYSIS
3.1
Critical hydraulic gradient
Visual failure state determination
The valid failure mechanism of cohesive soils is not so far

comprehensively analysed. Therefore experiments were carried
out to describe the structural failure during a hydraulic heave in
cohesive soils on the basis of a visual identification (Wudtke
and Witt 2006). The experimental setup and procedure rebuild
the water flow around a pit wall. The dividing wall was fixed on
frame sides.
The following questions were examined by the experiments:
- Which sequence of events can be characterized as the most
important attribute of hydraulic heave in cohesive soils?
- What phenomena are announcing the limit state?
- How the hydraulic decomposition of a cohesive soil can be
described?
- Where does the initial damage occur?
Table 1. Failure sequence during hydraulic heave in cohesive soils
(Wudtke 2013)
Failure sequence
Phase
Description
-
water content increase,

development of an initial crack with
origin at the foot of the dividing wall
continuing pore widening,

heaving of the downstream surface,
development of a deep-lying fracture
continuous crack initiation and closure;

continuing heaving,
locally limited decomposition of the soil
structure, dissection of the soil into
aggregates
continuing rapidly increasing elevation of

the soil surface,
sudden failure as hydraulic heave,
local potential equalization, failure body
erosion
Figure 1. Stress-dependent critical hydraulic gradient, mean and

variation.
Examplary for an inorganic clay of medium plasticity ( =

23.5 und c = 13.7 kN/m) the evaluation of the stressdependent development of icrit is shown in Figure 1. As
experimental conditions a principal stress ratio of 1 = 1.4 3
at an initial pore water pressure of u0 = 0.8 3 were defined.
From the test results, the lowest limit value of icrit can be
determined for this kind of soil, icrit 68.2 (Figure 1).
The experimental determination of the parameter i crit is basis for
defining the representative reference volume for calculating the
From visual observations it can be stated that the failure

sequence is characterized as pore widening effects, soil
structure destroying crack opening and closing followed by a
final failure of the downstream surface.
Relative to a real excavation pit, the decomposition of the
soil structure at the foot of the flow around pit wall leads to
450
limit state of the hydraulic heave. Considering a construction

state depending flow distribution and a valid limit value of icrit
there is a failure area, which can be distinguished as hydraulic
induced structure decomposition and shear failure. Therefore
the failure process consists of two phases, the structure
decomposition followed by shear failure.
4
4.1
To analyze possible soil damage and soil structure

decomposition, the following relationships have to be
investigated.
Damage criterion
icrit max i idamage

w
RECOMMENDATION OF A DESIGN APPROACH
(3)
Failure Criterion
Reference volume
The definition of a representative reference volume is essential

for transferring the typical failure sequence of hydraulic heave
in cohesive soils to the design approach. For a failure process
given resistance activation the spatial arrangement of the
resistances shall prevail.
The reference volume is based on the flow situation, which
can be determined by the construction state and the soil
stratification. The areas of hydraulically induced structure
decomposition of the soil, as well as of shear failure are defined
as part of the reference volume (Figure 2). The outer boundary
of the reference volume is represented by the flow line, which is
tangent to the curve of icrit. For determination of the shear body,
the relevant flow line is approximated as a parabolic function. A
widening of the reference volume beyond the base of the wall,
can only occur if icrit is realized by the given flow situation.
max i icrit
(4)
Soil damage starts when the effective stress disappears due

to the hydraulic impact. This occurs first when '3 0. Here the
potentially shear failure body has to be identified. Depending on
the size of max i, idamage and icrit different results of the reference
volume are possible.
4.3
Shear failure
As second part of the design approach the analysis of the safety

against shear failure must be considered. The analysis is
performed on the soil body remaining after the possibly
hydraulic structure decomposition of the soil continuum. For the
calculation a time-consistent failure state is valid, i.e. it is
necessary to provide a strict separation of drained and undrained
soil properties and flow conditions.
The stability of the reference volume to shear failure is
determined by the following equation.
S G Cv Fv
(5)
Figure 2. Areas of dominant shear failure and hydraulic induced

structure loss at a flow around pit wall
4.2
Hydraulic induced soil structure decomposition
In the first step of safety analysis against hydraulic heave in

cohesive soils, the maximum possible hydraulic gradient max i
relevant for soil structure decomposition is estimated. Max i is
related to a construction stage and has to be compared with soilspecific icrit.
The approach aims to identify a critical hydraulic loaded soil
area. For the relevant part of the reference volume in the
subsequent shear failure analysis no resistances are activated.
Basic idea of the proposed design approach is the assumption of
continuously decreasing shear strength of the soil in dependency
of increasing hydraulic gradient. In the second step, the shear
failure analysis, reduced shear resistances can be considered.
451
Figure 3. Parameter definition shear failure
The limit state analysis is carried out as a balance of vertical

forces of the flow impact and the acting resistances at the
reference volume (Figure 3). Resistances are represented by the
buoyant soil weight G, the shear resistance acting at the shear
surface Cv and the bracing acting at the pit wall Fv.
The resistance of soil weight is determined by the submerged
unit weight of the soil ' and the area of the shear body A(t1). To
determine the soil weight a consideration of soil damage is
generally not required. As a conservative assumption a
consideration of hydraulic resistances from damaged soil areas
can be dispensed. For the calculation a shear body height of t1,u
is decisive. For example in a construction state with no filter
load, the equivalent resistance can be determined according to

Equation (6). In stratified soil conditions, a layer-related
determination of the area proportions of the shear body is
relevant.
G A( t1 )
S iM w A( t1 )
(6)
In the excavation area near to the sheet pile after a definite

construction stage, there will be bulging of the surface (uplift
effect), this leads to activation of shear resistances in
dependency of soil shear parameters. Damaged and undamaged
soil areas have to be distinguished considering failure velocity
depending resistance activation. Damaged soil areas, which
have a comparatively lower shear resistance, are considered by
available hydraulic gradient i /w (see Equation (3)).
The permeability of soil and the excavation velocity
respectively load relieving governs the resistance activation of
the soil during hydraulic heave. Due to reduction of soil load in
excavation area, the pore water pressure is released slowly so
that the undrained shear parameters are relevant. In contrast,
drained conditions are relevant for long phases without
excavation progress and relatively permeable soils. In the
stability analysis for drained conditions the effective cohesion c'
and for undrained conditions the undrained cohesion cu must be
considered. The friction of soil should be neglected.
For calculating the shear resistance, shear body height t1 is
divided into two different heights depending on the soil
structure (Equation (7) and Figure 3). For the height of damaged
area, the relevant shear property and for undamaged area its
shear resistance must be assigned.
t1 t1,u t1,d
(7)
Cv Cv ,u Cv ,d cu t1,u cu ,d t1,d
(8)
Cv,u and Cv,d represent the activated shear resistances in

undamaged and damaged areas. Equation (8) shows in this case
a soil with undrained conditions.
Additionally, the soil bracing, supporting system of the pit
wall and other ground supports can be considered as a further
resistance. The consideration of abutment as an additional
resistance effect can be described as a vertical force which is
transmitted by the sheeting system. In accordance with DIN
1054:2010 this represents the difference between the stress state
without soil deformation and the actual or planned stress at the
excavation abutment.
The consideration of abutment resistance requires the
stability of sheeting system. It must be ensured that the
construction has sufficient safety to permit a deformation free
transferring of vertical forces at sheeting foot.
Transferring of vertical forces by the sheet pile is depending
on frictional component of shear strength. The drained or
undrained shear properties must be assigned in relation to the
anticipated load conditions. A definite amount of earth pressure
can be transferred to sheeting foot by consideration of contact
friction between soil and sheeting. The vertical load component
of the active earth pressure is essential for the determination of
the resistance and generally should be estimated conservatively.
If the hydraulic impact does not lead to hydraulic soil damage
the abutment effect Fv corresponds to the vertical load of the
active earth pressure.
Fv Ea ,v
According to equation (10), the flow force S is determined

depending on area of the shear body A(t1), the available mean
hydraulic gradient iM at the bottom side of A(t1) and the weight
of water w.
(9)
The approach for determining the resistance of the abutment

effect of sheeting represents a general solution to the problem,
and requires the full activation of the passive earth pressure in
the pit. The most liable solution can be achieved by determining
the difference stress distribution between an unstressed, not
deformed soil and the stress condition of the planned
construction at the excavation abutment.
452
(10)
CONCLUSIONS
The presented design approach for the stability analysis against

hydraulic heave in cohesive soils explicitly considers the
available resistance due to cohesion. In addition, the
consideration of a ground support effect acting at the sheeting is
integrated.
The design approach is divided in two steps. A first step
considers the hydraulic induced structure decomposition of the
cohesive soil beneath the foot of the sheet pile. The condition is
essential to determine the reference volume of the failure area.
The critical hydraulic gradient icrit depends on the cohesion,
density and stress history of the soil. Icrit can be determined
experimentally or might be estimated by experience.
In the second step the equilibrium of the vertical forces
acting at the reference volume is analyzed. In addition to the
current design approach (DIN EN 1997-1:2009), side forces and
cohesion of the appropriate shape of the failure area are taken
into account. The second part of the design approach
corresponds to the verification of uplift failure.
During hydraulic induced structure decomposition of the soil
the flow conditions will change. Thus an update of the
distribution of pore water pressure should be taken into account.
The assumption of resistances from the weight and the
available shear resistance in accordance with current design
practice (DIN EN 1997-1:2009) leads to a possible
classification as design situations HYD and GEO. The
assignment of coherent partial factors is still an open question
under discussion.
6
REFERENCES
DIN 1054:2010. Baugrund Sicherheitsnachweise im Erd und

Grundbau Ergnzende Regelungen zu DIN EN 1997-1.
DIN EN 1997-1:2009. Eurocode 7: Geotechnical design, Part 1: General
rules; German version EN 1997-1.
Wudtke, R.-B. (2013). Hydraulischer Grundbruch in bindigem
Baugrund. Dissertation, Bauhaus-Universitt Weimar. Weimar.
Wudtke, R.-B. and Witt, K. J. (2006). A Static Analysis of Hydraulic
Heave in Cohesive Soil. 3rd International Conference on Scour and
Erosion, Amsterdam, 1 - 3 November 2006, 251.
Wudtke, R.-B. and Witt, K. J. (2010). Hydraulischer Grundbruch im
bindigen
Baugrund
Schadensmechanismen
und
Nachweisstrategie.
9.
Geotechnik-Tag
in
Mnchen
Wechselwirkungen Boden - Wasser - Bauwerk, Mnchen,
19.02.2010, 33 - 44.
Evaluation of sample disturbance due to the exsolution of dissolved gas in the pore
water of deep lake bottom sediments
valuation du remaniement des chantillons d lexsolution de gaz dissous dans les eaux
interstitielles des sdiments de fond de lacs profonds
Yamashita S., Miura R.
Kitami Institute of Technology, Kitami, Japan
Kataoka S.
Hakodate National College of Technology, Hakodate, Japan
ABSTRACT: Core samplings were conducted in the Lake Baikal, Russia, where shallow gas hydrates existed. To examine the
mechanical properties of lake-bottom sediments, the handy vane shear and cone penetration tests were performed for the core samples
on board. To evaluate the sample disturbance due to the exsolution of dissolved gas during sampling, the relations between the
concentration of dissolved gas in the pore water and the strength were also examined. Moreover, laboratory tests which simulate the
stress relief from bringing the samples to the lake surface were also performed. Test results showed that the strength of soils becomes
lower with the increase in degree of gas concentration on both on-board and laboratory tests. It was also showed that the in-situ
strength can be estimated roughly from the disturbed samples.
RSUM : Un prlvement dchantillons stratigraphiquement reprsentatifs (carottes) a t men dans le lac Bakal, en Russie, o il
existe des rservoirs dhydrates de gaz peu profonds. Afin dexaminer les proprits mcaniques des sdiments de fond de lac, on a
procd des essais de cisaillement avec un scissomtre portatif et un test de pntration au cne sur ces chantillons
stratigraphiquement reprsentatifs, ceci sur place. Dans le but dvaluer le degr de remaniement des chantillons d lexsolution de
gaz dissous au cours du prlvement, on a galement examin le lien entre la concentration de gaz dissous dans les eaux interstitielles
et la rsistance de lchantillon. On a, en outre, procd des tests en laboratoire qui simulent le relchement de contraintes rsultant
de lapport des chantillons la surface du lac. Les tests mens sur place tout comme ceux mens en laboratoire, indiquent que la
rsistance des sols diminue plus le degr de concentration en gaz augmente. Ils ont galement dmontr que lon pouvait obtenir une
estimation approximative de la rsistance in situ du sol partir de lchantillon remani.
KEYWORDS: dissolved gas, gas hydrate, sample disturbance, lake bottom sediment
Laboratory tests which simulate the stress relief from bringing

the samples to the lake surface were also performed.
INTRODUCTION
Gas hydrates (GH) are attracting attention as a next-generation

energy source. In Japan, survey and test drilling of GH for
resource development have been conducted in around the
Nankai Trough. On the other hand, GH are also attracting
attention in relation to the global environment, because methane
gas contained in the GH has approximately 20 times the
greenhouse effect of carbon dioxide. There are concerns that
dissociation of GH and exsolution of dissolved gas, from the
GH distributed in submarine surface layers, due to rising ocean
temperatures or leakage at recovery of the hydrates for energy,
may contribute to global warming. Moreover, these phenomena
or seismic activities can reduce the stability of seabed and may
induce seafloor landslides. Therefore, it is necessary to clarify
the mechanical properties of the GH-bearing ground and the
strength change of seabed sediments due to the dissociation or
exsolution.
In generally, to assess the in-situ strength, laboratory tests on
samples retrieved from the site or in-situ tests have been
performed. However, it is difficult to perform the in-situ test in
the deep lake or seabed. On the other hand, samples for
laboratory tests taken from lake or seabed soils in deep waters
are subjected to a large stress (back water pressure) relief. Even
a small amount of gas dissolved in the pore water will come out
of solution and cause disturbance to the soil structure due to the
stress relief. As a result, laboratory tests may not give
appropriate results for the in-situ soil conditions.
In this study, to evaluate the effects of the exsolution of
dissolved gas in the pore water on the strength properties, core
samplings were conducted in the Lake Baikal, Russia, shallow
GH province, and some kinds of on-board tests were performed.
2. SURVER AND SOIL SAMPLING

The sampling of lake-bottom sediments contained GH were
conducted in the Lake Baikal, Russia, September 2010, by the
survey ship Vereshchagin of the Russian Limnological
Institute. It is already reported that GH in the Lake Baikal is
formed at immediately beneath lake-bottom of the mud volcano
that is observed the eruption of cool spring water contained
gases by the echo sounder (e.g., Matveeva et al. 2003). Thus, at
locations where mud volcanoes were confirmed by the echo
sounder images, lake-bottom sediments were collected by using
a gravity core sampler (sampler length is about 5 m, diameter is
110 mm and weight is about 700 kg). Sampling sits are
Novosibirsk site (water depth is about 1450 m) and Kukuy site
(water depth is about 800 m) at the central parts of the lake, as
shown in Figure 1. The lake-bottom sediments cores were
retrieved 40 sample cores (24 cores in Novosibirsk site, 16
cores in Kukuy site).
After core samplings, these cores were cut into 1-m interval.
Then, each section was cut up longitudinally on two parts for
subsequent processing. To measure the strength of sediments
immediately after recovery, the handy vane shear test (blade
diameter is 10 mm, height is 20 mm; 10 to 40 cm interval) and
cone penetration test (diameter is 9 mm, length is 16.8 mm,
apex angle is 30 degrees; 10 to 40 cm interval) were performed
on board. For measurement of the water content, 10 to 40 cm
interval samples were taken. Additionally, the dissolved gases
in the pore water were taken by the headspace gas method.
453
55N
v (kN/m )
w (%)
qc (kN/m )
0 100 200 300 0 10 20 30 40 50 0 100 200 300 400

0
Novosibirsk
50
55N
53N
Depth (cm)
100
53N
Novosibirsk
Kukuy
150
200
250
300
100 km
105E
107E
350
: with GH
: without GH
(a)
109E
400
Figure 1. Survey and sampling sites in the Lake Baikal.
qc (kN/m )
0 100 200 300 0 10 20 30 40 50 0 100 200 300 400

0
Kukuy
50
ON-BOARD TEST RESULTS
454
Depth (cm)
100
150
200
250
300
350
: with GH
: without GH
(b)
400
Figure 2. On-board test results; (a) Novosibirsk site, (b) Kukuy site.
CH4(mL/L)
0
0
50
100
CH4(mL/L)
150
50
100
150
200
50
Depth(cm)
100
150
200
250
: with GH
: without GH
300
350
Novosibirsk
(a)
Kukuy
(b)
400
Figure 3. Concentration of methane gas with depth; (a) Novosibirsk site,

(b) Kukuy site.
40
(a)
Novosibirsk
(b)
Kukuy
: with GH
: without GH
30
2
Figure 2 shows the on-board tests results (vane share strength,

v, and cone penetration resistance, qc), together with the
profiles of water content, w, with depth. In the samples retrieved
from Novosibirsk site, the water contents in the upper strata of
samples that were able to collect GH in lower part of the core
(with GH) are lower than those of the samples that were not
able to collect GH (without GH), and the strengths of samples
with GH are higher than those of samples without GH, as
shown in Figure 2(a). On the other hand, in the samples
retrieved from Kukuy site, although the water contents of
samples with GH are lower than those of samples without GH
as same as Novosibirsk samples, the strengths are similar, as
shown in Figure 2(b). Thus, the relations between the strength
and the water content are different from the sampling site. The
reason seems to be that the difference of degree of sample
disturbance due to the exsolution of dissolved gas in the pore
water caused by the decrease of pressure during the pulling up
of core, because the concentrations of methane gas dissolving in
pore water may be different from site. Then, the concentrations
of methane gas dissolving in the pore water of sediments were
measured, and the effects of the concentrations of gas on the
strength of samples were examined.
Figure 3 shows the relations between the depth and the
concentrations of dissolved methane gas, CH4, per sediment of
one liter (Hachikubo et al. 2010). In the case of Novosibirsk
samples, the gas concentrations are high from surface layer,
irrespective of with/without GH. On the other hand, in the case
of Kukuy samples, although the gas concentrations of samples
with GH are high from surface layer, those of samples without
GH are low at surface layer and increase suddenly from a
certain depth.
Figure 4 shows the relations between the vane shear strength,
v, and the water content, w. It is found that the difference of
strengths in Novosibirsk samples is not recognized irrespective
of with/without GH, as shown in Figure 4(a). It would seem that
the degree of sample disturbance due to the exsolution of
dissolved gas in the pore water are similar, because the gas
concentrations are high from surface layer irrespective of cores,
as shown in Figure 3(a). On the other hand, in Kukuy samples,
the strengths of samples with GH are lower than those without
GH. It would seem that this is because the gas concentrations of
samples with GH are high from surface layer as shown in
Figure 3(b), so that the sample disturbance due to the exsolution
of dissolved gas became large, and the strength became low.
Thus, the correlation between the strength and the water content
is recognized, considering the sample disturbance due to the
difference of the gas concentration. The similar test results were
obtained on the sea-bottom sediments retrieved from offshore
Sakhalin Island, Sea of Okhotsk (Yamashita et al. 2011).
v (kN/m )
v (kN/m )
w (%)
20
10
0
0
100
200
w (%)
100
200
w (%)
Figure 4. Relations of vane shear strength and water content;

(a) Novosibirsk site, (b) Kukuy site.
300
4.1
Consolidation: 100 kPa

Case 1
CO2
Bellofram cylinder
unit: mm
Dial gauge
Load cell
Deaired water
Oedometer cell
Dissolved
gas water
Pressure meter
B.P. route
Pressure chamber
Bender elements
330
120
70
Pressure meter
B.P. route
Figure 5. Schematic diagram of laboratory test apparatus.

Table 1. Test conditions.
Consolidation
stress (C.S.) (kPa)
100
100
100
Back pressure
(B.P.) (kPa)
500
100, 300, 500
100, 300, 500
C.S. at B.P.
reduction (kPa)
20
100
20
Thereafter, in the Case 2, the back pressure was decreased to

atmospheric pressure under a consolidation stress of 100 kPa.
On the other hand, in the Case 1 and 3, it was decreased after
the consolidation stress was decreased to 20 kPa. Therefore, it
would seem that the effects of the sample disturbance in Case 3
455
24h
B.P.: 100 - 500 kPa

Test apparatus and test method
Figure 5 illustrates the oedometer apparatus using the

simulating laboratory test. Used sample is a mixed Baikal lakebottom sediment (s = 2.720 g/cm3, wL = 70.1 %, Ip = 41.9, clay
content is 58 %, silt content is 40 %, sand content is 2 %)
retrieved from the Kukuy site at 2005 and 2006 (Kataoka et al.
2009). The mixed sample is slurry state having an initial water
content of 1.6 times the liquid limit. Used gas is carbon dioxide
(CO2) instead of methane (CH4), because CO2 gas has high
solubility in comparison with CH4 gas. For example, the
solubility of CH4 gas under water temperature of four degrees
centigrade and water depth of 1000 m is almost same to that of
CO2 gas under water temperature of 20 degrees and back water
pressure of 500 kPa.
The laboratory tests were conducted on three test conditions
as shown in Table 1 and Figure 6. The consolidation time is 24
hours for each consolidation stage of 20, 50, and 100 kPa. The
back pressure was applied after end of consolidation of 20 kPa.
In the case of Test Case 1, the back pressure of 500 kPa was
applied by air pressure. On the other hand, in the cases of Test
Case 2 and 3, the back pressure was applied by CO2 gas
pressure. The back pressures of Case 2 and 3 were 100, 300 and
500 kPa, respectively. In the Case 1, deaired water was
permeated through the sample after end of consolidation of 100
kPa. In the Case 2 and 3, CO2 gas dissolved water was
permeated. The permeated time is 10 days. The volume of
permeated water is similar to the volume of sample.
Test
Case
1
2
3
24h
From the on-board test results and the measurement of gas

concentrations, it was guessed that the strength of samples
retrieved from GH-bearing ground is decreased by the sample
disturbance due to the exsolution of dissolved gas during the
sampling. In order to clarify this, the strength change by the
sample disturbance due to the exsolution of dissolved gas in the
pore water was evaluated by the laboratory tests which simulate
the stress relief from bringing the samples to the lake surface.
are larger than those in Case 2, because the vertical stress of

Case 3 at stress release is lower than that of Case 2.
Unconfined compression tests (sample diameter is 50 mm,
height is 100 mm, loading rate is 1 mm/min) were performed on
the specimens prepared by above procedure.
Case 2
Deaired water
Case 3
Dissolved CO2 gas water

Stop of percolation
Decrease of Consolidation
stress to 20kPa
Decrease of Consolidation
stress to 20kPa
24h
LABORATORY TEST
24h 10days
Reduce of B.P. to 0 kPa

Remove of vertical stress
Unconfined compression test
Figure 6. Test process of laboratory test.
4.2
Unconfined compression test results
Figure 7 shows the stress strain relations of unconfined

compression tests on all specimens. Figure 8 shows the relations
between the unconfined compression strength and the back
pressure at consolidation. It is found that the strengths in Case 2
and 3 permeated CO2 gas dissolved water are lower than those
in Case 1 permeated deaired water. It is also found that the
strengths in Case 2 and 3 decrease with the increase of back
pressure.
Figure 9 shows the relations between the deformation
modulus, E50, and the back pressure. Although E50 in Case 2
and 3 on back pressure of 100 kPa has some scatter because the
degree of CO2 gas dissolution is low, E50 decreases with the
increase of back pressure due to the exsolution of dissolved gas
in the pore water in the case of the back pressure of 300 and 500
kPa. However, the strengths in Case 3 had not become lower
than those in Case 2.
Figure 10 shows the typical time histories of vertical stress,
back pressure and axial displacement during the stress release. It
is found that the change of axial displacement is not recognized
during the decrease of vertical stress and back pressure in all
test cases. On the other hand, the axial displacement increases
after the release of vertical stress and back pressure in the Case
3. Although the data recording is stopped halfway in the Case 2,
the increase of axial displacement was recognized after the
release of vertical stress and back pressure. Therefore, it would
seem that the difference of strength between the Case 2 and the
Case 3 is not recognized, because the sample disturbance was
produced after the stress release. It is said that the occurrence of
the sample disturbance with the swelling or cracking was
delayed by the effect of the cohesion of sample having much
clay content. In actuality, when the sampling core was retrieved
from the deep lake bottom, the swelling or cracking of core
surface is observed after the time of some extent passed. Thus,
it is found that the strength of sample becomes low due to the
effect of the exsolution of dissolved gas on both on-board and
laboratory tests.
Next, the relations between the reduction of strength and the
water depth (pressure) are compared. Figure 11 shows the
relations between the strength ratio of Case 1 to Case 2, 3 and
the water depth converted the solubility of CO2 gas into that of
CH4 gas. In this figure, unconfined compression test results
using the intact samples retrieved from the Lake Baikal
(Kataoka et al. 2009) and the triaxial compression test results
using intact Liestranda and Bothkennar clays (Lunne et al.
2001) were also plotted.
Test results of Kataoka et al. (2009) are for samples retrieved
from the different water depth areas in the Lake Baikal, and the
strength ratio is average value of the mud volcano samples
E50 (MN/m )
Case 2, 3 (CO2 dissolved water)

0.1
0
600
v (kPa)
50
0
0.6
0.5
0.4
0.3
0.2
0.1
0.0
8.0
6.0
4.0
2.0
0.0
Back pressure: 500 kPa
Consolidation stress: 100 kPa
100
200
300
400
Time (sec)
500
600
Figure 10. Time histories of vertical stress, back pressure and axial
displacement.
qu (Case 2, 3) /qu (Case 1)
0.5
1.0
1.5
: Kataoka et al. 2009
The authors would like to thank Dr. Oleg Khlystov of the

Russian Limnological Institute, Prof. Hitoshi Shoji, Dr.
Hirotsugu Minami and Dr. Akihirio Hachikubo of Kitami
Institute of Technology for their cooperation in the survey.
water depth
: Lierstranda clay
: Bothkennar clay
(Lunne et al. 2001)
50
500
: Case 1
: Case 2
: Case 3
0.0
0
Case 2
200
300
400
Back pressure (kPa)
100
ACKNOWLEDGEMENTS
Axial stress , (kN/m )
100
Figure 9. Relations of deformation modulus and back pressure.
CONCLUSIONS
The strength of samples retrieved from GH-bearing ground is

decreased by the sample disturbance due to the exsolution of
dissolved gas during the sampling. The reduction of strength
becomes large with the increase of dissolved gas concentration.
From the laboratory tests which simulate the stress relief
from bringing the samples to the lake surface, it was recognized
that the effects of the sample disturbance become large with the
increase of gas concentration. It was also showed that the in-situ
strength can be estimated roughly from the disturbed samples.
: Case 1
: Case 2
: Case 3
Case 1
(deaired water)
B.P. (MPa)
10
Axial Dis. (mm)
(high gas concentration) and the reference samples (low gas

concentration) on same area. On the other hand, test results of
Luune et al. (2001) are for samples permeated CH4 gas
dissolved water under the different pressure (0 to 15 MPa), as
similar to this study method.
It is found from this figure that the strength ratios decrease
with the increase of water depth. In other words, it is found that
the effects of the sample disturbance become large with the
increase of gas concentration (water depth). Although the
results of Kataoka et al. have some scatter, the reduction of
strength with depth is larger than that in this study. This reason
seems that the effects of the sample disturbance in intact
samples are larger than those in reconstituted samples. On the
other hand, the reduction of strength in the results of Lunne et
al. is lower than in this study. It would seem that the effects of
the sample disturbance were decreased by the reconsolidation
during the triaxial test. From these test results, it would seem
that the in-situ strength can be estimated roughly from the
disturbed samples retrieved from deep lake bottom by the
measuring the concentration of dissolved gas.
Case 3
500
1000
40
30
1500
20
Back pressure
: 500 kPa (Case 1)

0
0
10
Figure 11. Relations of strength ratio and water depth.
: 500 kPa
: 300 kPa
: 100 kPa
10
15 0
5
Axial strain , (%)
10
15
Figure 7. Unconfined compression test results.

50
Case 1 (deaired water)
qu (kN/m )
40
30
20
Case 2, 3 (CO2 dissolved water)

: Case 1
: Case 2
: Case 3
10
0
0
100
200
300
400
Back pressure (kPa)
500
: Case 2
: Case 3
600
Figure 8. Relations of unconfined compression strength and back

pressure.
456
REFERENCES
Matveeva, T.V., Mazurenko, L.L., Soloviev, V.A., Klerkx, J., Kaulio,

V.V. and Prasolov, E.M. 2003. Gas hydrate accumulation in the
subsurface sediments of Lake Baikal (Eastern Siberia) , GeoMarine Letters, 23(3-4), 289-299.
Kataoka, S., Yamashita, S., Kawaguchi, T. and Suzuki, T. 2009. The
soil properties of lake-bottom sediments in the Lake Baikal gas
hydrate province, Soils and Foundations, 49(5), 757-775.
Hachikubo, A., Khlystov, O., Sakagami, H., Minami, H., Yamashita, S.,
Takahashi, N., Shoji, H., Kalmychkov, G. and Poort, J. 2010.
Isotopic fractionation of hydrate-bound hydrocarbons in the
subbottom sediments of Lake Baikal, 2010 AGU Fall Meeting, San
Francisco, USA.
Lunne, T., Berre, T., Strandvik, S., Andersen, K.H. and Tjelta, T.I. 2001.
Deepwater sample disturbance due to stress relief, Proc.
Geotechnical, Geological, and Geophysical Properties of
Deepwater Sediments, Texas, USA, NGI Rapport 521671-10.
Yamashita, S., Moriwaki, T., Hachikubo, A., Minami, H., Shoji, H.,
Kawaguchi, T. And Kataoka, S. 2011. Strength change of seabed
soils due to the vaporization of dissolved gas in the pore water,
Proc. of the Inter. Sym. on Deformation Characteristics of
Geomaterials, Seoul, Korea, 905-910.
Fabric and critical state of granular materials

La structure et ltat critique des matriaux granulaires
Yan W.M., Zhang L.
The University of Hong Kong
ABSTRACT: Critical state of particulate materials traditionally refers to a state where the material undergoes continued distortion at
constant volume and constant stresses. By saying so the internal state of the material at the critical state is described solely by an
isotropic (scalar-valued) parameter the void ratio. Advances in modern laboratory tests have initiated the discussion of the effect of
fabric on critical state and thus its uniqueness. More recently Li and Dafalias (2012) have shed light on the uniqueness of critical state
from a thermodynamics perspective. This study uses the discrete element approach to investigate the fabric evolution of idealized
two-dimensional assemblages having different initial fabrics subject to numerical biaxial shearing. The current paper focuses on the
orientation of particles and void spaces at very large strains. It is shown that a unique fabric of particle orientation and void space is
achieved at very large strains where the granular assemblage distorts continuously at constant density and stresses.
RSUM : Ltat critique des matriaux particulaires rfre normalement un tat o le matriau est soumis un cisaillement
continu sous volume et contraintes constants. Cela signifie que ltat interne des matriaux a ltat critique est dcrit seulement par un
paramtre (scalaire) isotrope lindice des vides. Avec les avances en essais en laboratoire modernes a commenc la discussion de
leffet de la structure sur ltat critique et son unicit. Li & Dafalias (2012) ont tudi rcemment lunicit de ltat critique par la
thermodynamique. Cette tude utilise une approche aux lments discrets pour examiner lvolution de la structure dassembles
idalises en deux dimensions ayant des structures initiales diffrentes et soumises un cisaillement bi-axial numrique. Lobjet de
cet article est lorientation des particules et espaces des vides aux grandes dformations. On montre quaux grandes dformations une
structure unique faite de lorientation des particules et des vides est obtenue quand lassemble granulaire est cisaille de faon
continue sous densit et contraintes constantes.
KEYWORDS: anisotropy; critical state; discrete element analysis, fabric; microstructure.
INTRODUCTION
addressed. However, one may doubt why the material state

remains (or becomes) isotropic at the critical state where the
imposed stress is anisotropic ( q / p ' M where M is the
critical stress ratio). Besides, while density and stress are
uniquely related, should there be a unique particulate fabric at
the critical state?
More recently, Li and Dafalias (2012) revisited the critical
state concept and proposed an anisotropic critical state theory
(ACST) by considering the role of the particulate fabric. From a
thermodynamics perspective and based on the Gibbs stability
requirement, uniqueness of the critical state line (CSL) has been
proved. Furthermore, they also concluded that a unique fabric as
a function of the loading direction must exist.
This paper investigates the evolution of the fabric of a twodimensional idealized granular assemblage subject to numerical
biaxial shearing. It aims to shed light on ACST proposed by Li
and Dafalias (2012) from a numerical perspective using the
discrete element approach.
The concept of critical state is important to soil mechanics. It

defines the existence of a unique state where the particulate
material exhibits constant volume shearing at constant effective
stresses under continuous distortion. The state is often obtained
phenomenlogically. Over decades many constitutive models are
formulated in accordance with this concept since the pioneering
work by Roscoe and Schofield (1963) and Roscoe and Burland
(1968). On the one hand, those models successfully capture the
key mechanical behavior of many geomaterials subject to
compression and shear. On the other hand, with the advances in
modern laboratory testing techniques the influence of initial
fabric on the materials stress-strain-strength responses have
received much attention and the uniqueness of critical state has
been great challenged (Vaid et al. 1985, Negussey and Islam
1994, Mooney et al. 1998, Finno and Rechenmacher 2003, etc).
Herein fabric is a collective term to describe the geometric
arrangement of grains and the associated voids, and the
distribution of inter-particle contact forces. Material anisotropy
has often believed to be the prime reason for the observation of
a non-unique critical state. The critical state is often represented
by two projection lines (critical state line, CSL) in the q-p and
e-p (or v-p) plane, in which q 3s : s / 2 , p ' tr ' / 3
NUMERICAL SPECIMEN AND TEST
Two-dimensional mono-sized non-crushable pill shape rigid

particles with length-to-width ratio of 1.5 (width = 1 mm) are
generated with the built-in clump function in PFC2D (Itasca
2008). The linear contact model between particles is adopted.
The particles are then rained into a model container under
gravity fields of different directions (see Figure 1). By doing so,
assemblages formed by particles having different average
where s is the deviatoric part of the effective stress tensor ' ; e

is the void ratio and v 1 e is the specific volume. Internal
state of the soil at the critical state is solely described by a scalar
quantity of density (e or v) which implicitly shows that any
anisotropic information of the material cannot be properly
457
1 mm
preferential orientations could be expected. Generally speaking,

by adopting this approach particles will have their long axis
roughly perpendicular to the gravity field direction (Yan and
Zhang 2013). Another approach is used to create assemblies of
particles having random orientations. In this case, particles with
random orientations are generated inside the model container
and numerical iterations are allowed to achieve an equilibrium
of the assemblage.
A square assemblage having 80 mm in each side is then
extracted from the model container as shown schematically in
Figure 1. An isotropic confining pressure is applied to the
boundary walls of the specimen right after the body force field
is turned off. Isotropic pressure of three different magnitudes is
modeled: 50, 100 and 200 kPa. Attempts are made by
controlling the inter-particle friction coefficient and selecting
appropriate location of the square such that specimens confined
at the same pressure show essentially identical void ratios but
different initial fabrics prior to shear. The difference in void
ratio in all cases is less than 0.0006.
A specimen is labeled by its initial stress, details of specimen
generation method and void ratio prior to shearing. For instance,
I100D90_219 denotes a specimen confined at 100 kPa, formed
by depositing particles from a direction perpendicular to (i.e.,
90) to the major principal stress direction and had an initial
void ratio of 0.219 before shearing. By the same token,
I50Ran_219 represents a specimen confined at 50 kPa, having
an initial void ratio of 0.219 with particles generated with
random orientations.
To simulate a constant lateral stress biaxial compression, the top
and bottom walls are moved simultaneously and slowly inwards
while the horizontal position of the left and right lateral walls is
continuously adjusted according to a servo-controlled
mechanism to keep the lateral confining pressure at the initial
value. It is to ensure that a quasi-static equilibrium is
maintained throughout the analysis. A compression strain rate
of 2.510-5% per computational step is used and all the
specimens are sheared to 80% axial strain.
1.5 mm
f n 1 a cos 2 a / 2
(1)
where n is a unit vector, a is called the coefficient of

anisotropy that characterizes the degree of anisotropy and
0 a 180 describes the preferred direction of the
anisotropy given that
f n dn 1 . Clearly
a 0 indicates an
isotropic distribution and the degree of anisotropy increases

with a . In this study, a 0 denotes a direction perpendicular
to the major principal stress. Details of the fabric description
could be found in Yan and Zhang (2013).
4
4.1
RESULTS
Influence of initial fabric
This paper focuses on the evolution of fabric, in particular the

particle orientation and void space, during biaxial shearing. The
stress-strain-strength behavior of the assemblages is not shown
due to the page limitation. It is found that the stresses and
volumetric strain become essentially steady beyond 60% axial
strain. Figure 2 and 3 show the evolution of the fabric of
specimens having identical initial density but different initial
fabric. As shown in Figure 1, specimens having different initial
particle orientations have been created by different methods of
generation. Specimens generated by the particle deposition
method generally show an average particle orientation highly
correlated to the deposition direction. For instance specimen
I100D90_219 shows ap 70 before shear, which indicates
that the particles tend to align with its long axis perpendicular to
the deposited direction (D90). Specimens generated by the
deposition method exhibit a higher initial degree of anisotropy
as compared to the one with particles randomly generated. Upon
shearing, particles gradually rearrange in a way that their long
axis becomes perpendicular to the principal stress direction (i.e.,
the shearing direction). Furthermore, a unique fabric of very
similar pair of a p and ap is shown at large strains ( a p 0.55
and ap 0 ).
D00
D45
80 mm
Not to scale
D90
particl
80 mm
Figure 1. Specimen generation.
PARTICULATE FABRIC
Following the pioneer work presented by Oda et al. (1985),

three major sources of fabric are considered in the study. They
are (i) particle orientation, (ii) contact normal; and (iii) void
distribution which are denoted by superscripts p, fn, and v
respectively. Directional information of each fabric parameter is
represented statistically by a rose diagram (Yan and Lin 2013).
Two scalar quantities, a and a are used to describe the
distribution density f n of the fabric (Rothenburg 1981, see
Equation (1)).
458
Figure 2. Evolution of particle orientation fabric the influence of

initial fabric.
A void space is defined following Li and Li (2009). Figure

3 shows its evolution with shear. It can be seen from the figure
that the void space evolutes from a highly isotropic distribution
prior to shear commencement to an anisotropic one at large
strains with a preferential orientation in the direction of the
major principal stress ( av 90 ). Substantial amount of
anisotropy is developed within 10% axial strain. Initial fabric
seems to have very little influence on the evolution of void
fabric. Like particle orientation, a unique void fabric is
exhibited at large strain ( a v 0.3 and av 90 ).
revealed from Figure 2-4, it is known that a critical state can be

achieved at very large strains where not only the density and
mean stress reaches a steady value but also a unique fabric is
obtained. Furthermore, the fabric at critical state is correlated to
the loading direction. The results echo the theory proposed by
Li and Dafalias (2012).
Figure 4. Evolution of particle orientation fabric the influence of

initial density.
Figure 3. Evolution of void space fabric the influence of initial

fabric.
4.2
Influence of initial density
Figure 4 shows the effect of initial density on the evolution of

particle orientation fabric. Deposited assemblages (D45)
confined at 100 kPa having three different initial densities
(initial void ratio from loose to dense = 0.237, 0.219 and 0.212,
respectively) are investigated. Firstly, the particle orientation
fabric changes gradually with increasing axial strain. The
coefficient of anisotropy a p increases gradually with axial
strain while p changes from its initial value (45) to 0. It
means that the particles align with their long axis perpendicular
to the loading direction when subject to prolonged shearing. A
noticeably anisotropic and unique fabric can be observed at
large strains. The effect of initial density is minimal. The
evolution of void space fabric exhibits very similar behavior as
the one shown in Figure 3, regardless the initial density of the
assemblage.
4.3
Critical state
Figure 5 shows the initial and critical state of the assemblages in

an e-s space where
s ' '1 '2 / 2 . Initial state of the
specimen includes various void ratios and fabrics confined at
different pressures. It can be seen that a unique line can be used
to describe the critical state. Together with the findings as
459
Figure 5. Initial and critical states of the study assemblages.
4.4
Limitations
The findings of unique fabric at critical state are obtained by

conducting numerical tests limited to monotonic biaxial
shearing of specimens composed of idealized mono-sized pill
shape particles. Tests with continued changing of loading
direction are not considered herein.
5
CONCLUSIONS
A series of numerical biaxial compression tests is undertaken on

idealized two-dimensional granular specimen having various
initial particulate fabrics in terms of particle and void space

spatial arrangement to investigate the uniqueness of the critical
state. It is found that a unique fabric is obtained at large strains
where the stresses and volume of the assemblages are
essentially constant. Fabric at critical state is correlated to the
loading direction. This study is only limited to the case whereas
the loading direction remains the same.
6
ACKNOWLEDGEMENTS
The authors would like to acknowledge the research fund

provided by the University of Hong Kong (Project Code:
200908159002).
460
REFERENCES
Finno, R. J. and Rechenmacher, A. L. (2003). Effects of consolidation

history on critical state of sand. J. Geotech. Geoenviron. Engng.
129(4), 350-360.
Itasca Consulting Group, Inc. (2008). PFC2D users manual, version
4.0. Itasca Consulting Group.
Li, X. and Li, X. S. (2009). Micro-macro quantification of the internal
structure of granular materials. J. Engng Mech. 135(7), 641-656.
Li, X. S. and Dafalias, Y. F. (2012). Anisotropic critical state theory:
role of fabric. J. Eng. Mech. 138(3), 263-275.
Mooney, M. A., Finno, R. J. and Viggiani, M. G. (1998). A unique
critical state for sand? J. Geotech. Geoenviron. Engng. 124(11),
1100-1108.
Negussey, D. and Islam, M. S. (1994). Uniqueness of steady state and
liquefaction potential. Can. Geotech. J. 31(1), 132-139.
Oda, M., Nemat-Nasser, S. and Konishi, J. (1985). Stress-induced
anisotropy in granular masses. Soils Found. 25(3), 85-97.
Roscoe, K. H. and Burland, J. B. (1968). On the generalized stressstrain behaviour of wet clays. In Engineering plasticity (eds. J.
Heyman and F. A. Leckie), pp. 535-609. Cambridge: Cambridge
University Press.
Roscoe, K. H. and Schofield, A. N. (1963). Mechanical behaviour of an
idealized wet clay. Proc. 2nd Eur. Conf. Soil Mech. Foud.
Engng., Wiesbaden 1, 47-54.
Rothenburg, L. (1981). Micromechanics of idealized granular system.
PhD thesis, Carleton University, Ottawa, Canada.
Vaid, Y. P., Chung, E. K. F. and Kuerbis, R. H. (1990). Stress path and
steady state. Can. Geotech. J. 27(1), 1-7.
Yan, W. M. and Zhang, L. (2013). Fabric and the critical state of
idealised granular assemblages subject to biaxial shear. Comp.
Geotech. 49, 43-52.
Study on New Method of Accelerated Clay Creep Characteristics Test

tude dune nouvelle mthode dvaluation acclre des caractristiques de fluage des argiles
Ye Y., Zhang Q., Cai D., Chen F., Yao J., Wang L.
Railway Engineering Research Institute, China Academy of Rails Science, Beijing,100081
State Key Lab for Track Technology of High-speed Railway, China Academy of Rails Science, Beijing,100081
ABSTRACT: Long-term creep tests, dynamic triaxial tests and corresponding scanning electron microscope(SEM) test were carried
out for remolded saturated clay to study the way of rapid acquisition of the creep characteristics. The creep deformation and
permanent deformation under the cyclic loading of soil with same initial state were analyzed. Based on the principle of static stress
and dynamic stress equivalent, and the creep time and the cyclic number equivalent, a method using the relationship between stressstrain-cyclic number to predict the creep deformation was established. The SEM test results showed that the clay microstructure
changing trend of creep test and dynamic triaxial test were similar. The multilevel stress and long-term creep deformation can be
predicted by the proposed method.
RSUM :Des essais de fluage long terme, des essais triaxiaux dynamiques ainsi que des observations correspondantes faites au
microscope lectronique balayage (MEB) ont t raliss sur une argile sature remanie pour tudier la possibilit dacqurir
rapidement les caractristiques de fluage du matriau. On a analys comparativement les dformations de fluage et les dformations
permanentes obtenues sous chargement cyclique partir du mme tat initial. En se basant sur le principe dquivalence entre
contrainte statique et contrainte dynamique, ainsi que sur lquivalence entre le temps de fluage et le nombre de cycles, une mthode
de prvision des dformations de fluage a t tablie, base sur la relation entre contrainte, dformation et nombre de cycles. Les
images obtenues au MEB ont montr que les volutions de microstructures obtenues dans les essais de fluage et dans les essais
triaxiaux dynamiques taient similaires. Les dformations de fluage long terme peuvent donc tre values partir de la mthode
propose.
KEYWORDS: Remolded Saturated Clay; Creep; Acceleration; Equivalent efficiency; Dynamic triaxial test
MOTS-CLS : argile sature remanie, fluage, acclration, efficacit quivalente, essai triaxial dynamique.
1
INTRODUCTION.
2 CREEP AND DYNAMIC TRIAXIAL TEST AND
RESULTS ANALYSIS
Because of the great deep and long draining path, there are the
characteristics of chronicity and complexity in composite
foundation substratum deformation. So the deformation of
substratum is the main resource of foundation deformation. The
creep has been the key problem of the infrastructure with high
standard including high-speed railway Liu Junfei ZhaoJian
ZhaoGuotang et al. 2011, Cai Degou Ye Yangsheng Yan
Hongye et al. 2010. For the purpose of ensuring foundation
stability and meeting the requirement of engineering design, it
is very vital to research the method which can obtain creep
characteristic of foundation soil quickly.
According to related reference, there are two reasons for
creep. One is that deviator stress leads to viscous shear flow; the
other is that spherical stress leads to viscous body flow (Li Xiao
2011). Clay grains are connected by hydrated film, so it has
inherent cohesion and rheological behavior. Only the hydrated
film is extruded under low stress level, so the deformation is
elastic. When the stress level is raised, stress concentrations will
happen among grains. Soil grains will contact directly
dislocation and rearrange. So the permanent deformation
generates (He Kaisheng and ShenZhujiang 2003). The
deformation of soil under load is the synthetic result of
microstructure change, such as structure bond failure,
dislocation and porosity change (Zhang Xianwei Wang
Changming and Li Junxia 2010).
The evident characteristics of soil stress-strain are nonlinear,
hysteretic and cumulative under dynamic load. When dynamic
stress level is low, elastic deformation is dominating. With the
increasing of dynamic stress level, the permanent deformation
increases gradually. Under different cyclic number and dynamic
stress level, the soil grain adjusts and rearranges to some degree.
In nature, there is correlation between microstructure change
and macrostructure deformation (Liu Sha 2008). It is concluded
that the deformation in macrostructure is a pattern of
appearance of microstructure change.
2.1
Parameters of Soil
Remolded saturated clay is used to experiment. Its parameters

can be seen in Table 1 and Figure 1.
Table 1. Parameters of Soil
Specific
gravity
2.70
Liquid limit%
45.5
Plastic limit%
23.0
Plasticity
index
22.5
The samples used to creep and cyclic triaxial test were

prepared as follows: Clay with moisture content over liquid
limit was consolidated under certain load until 50kPa. That can
ensure soil with the same stress history and the same
consistency. The samples (39.1 (mm) H80 (mm) used to
creep test and 50 (mm) H100 (mm) used to dynamic triaxial
test) were consolidated isotropically in chamber under 50kPa.
The chamber pressure during test is 50kPa. Creep soil samples
were sheared by respective loading in triaxial creep apparatus
under drained and undrained condition. Dynamic triaxial test
samples were sheared under undrained and 5Hz condition.
461
were sheared by respective loading in triaxial creep apparatus

under drained and undrained condition. Dynamic triaxial test
samples were sheared under undrained and 5Hz condition.
Figure 1. Semilogarithmic plot of results of grain analysis

Note: P means percentage by weight of grains smaller than the denoted
size.
Creep test and dynamic triaxial test samples parameters can

be seen in Table 3 and Table 4. The drained and undrained
strength were 52.0kPa and 38.9kPa respectively under 50kPa
chamber pressure.
Figure 2. Undrained Creep Curve
Table 2. creep test samples index

No
Drainage
lines
Deviator stress
(kPa)
Density
g/cm3)
Water content
%
open
14.9
1.81
39.2
open
29.5
1.79
39.6
open
36.8
1.81
40.1
open
41.0
1.81
39.7
closed
14.9
1.85
39.8
closed
31.0
1.82
42.3
closed
40.5
1.84
42.3
closed
42.5
1.83
41.9
Figure 3. Drained Creep Curve
Table 3.. Dynamic triaxial test samples index

No.
1
2
3
4
5
Drainage
lines
Deviator stress
d (kPa)
closed
closed
closed
closed
closed
20.0
30.0
35.0
40.0
45.0
Density
g/cm3)
1.80
1.81
1.80
1.82
1.81
Water content
%
42.1
42.1
43.0
39.7
40.7
Figure 4. Dynamic Triaxial Test Curve
2.2
Test results analysis
In creep test axial strain is generally denoted as the function

stress level and time, for example . Exponential or hyperbolic
function is used to express the influence of stress level. Power,
logarithm or hyperbolic function is used to express the influence
of time(Singh A. and Mitchell J.K. 1968, Mesri G. and RebresCordero E. 1981, Wang BinWang ChangMingand Zhang
Xianwei et al,2008, Zhang Wang 2009). It can be seen that
logarithm function is reasonable for the correlation between
strain and time (see Figure 3 and Figure 4). In Figure 3 and
Figure 4 the origin is the deformation of 1h. Test data is
expressed in the form of the dots of all kinds of shapes. The
logarithm fitting curves are the black solid line.
The samples used to creep and cyclic triaxial test were
prepared as follows: Clay with moisture content over liquid
limit was consolidated under certain load until 50kPa. That can
ensure soil with the same stress history and the same
consistency. The samples (39.1 (mm) H80 (mm) used to
creep test and 50 (mm) H100 (mm) used to dynamic triaxial
test) were consolidated isotropically in chamber under 50kPa.
The chamber pressure during test is 50kPa. Creep soil samples
462
In this dynamic triaxial test logarithm function is used to

express the correlation between axial strain and time. f (D) is
used to express the correlation between axial strain and stress
level, (see Eq. 1).
d=f(D)lnN
(1)
daxial strain in dynamic triaxial test;

D=d/3ddeviator stress, 3chamber stress.
A fitted coefficient under every stress level can be obtained
by fitting the test data. f(D) can be solved by analyzing the
correlation between the coefficient and stress level.
d=0.022e2.04DlnN
(2)
Because of the similarity between creep deformation and

permanent deformation in dynamic triaxial test, it is raised that
the stress-strain-cyclic number formula in dynamic triaxial test
can be used to predict the creep deformation. In order to depict
the influence on the difference between static and dynamic load
and drainage condition, firstly (Dr) is introduced.
c=(Dr)0.0226e2.04DlnN
(3)
Secondly, assume that static and dynamic stress level is

equivalent. Static stress parameters are as follows:
Dr=q/qf , q=1-3, 1axial loadqf---failure strength.
Thirdly, assume that time and cyclic number is equivalent.
N=t. Ncyclic number, tcreep time (h).
Finally, dynamic parameters are instead of static parameters.
(Dr) is introduced. Then the creep strain formula can be
obtained:
c=(Dr)0.0226e2.04Dlnt
porosity, anisotropy and directional probability entropy were

counted to analyse the microstructure change. The image of soil
was magnified 2000 times, and the microstructure photographs
before and after loading were shown as Figure 8 and Figure 9.
(4)
. D=q/3
(Dr)is a function of stress level. By analyzing the test data,
the formula under different condition can be fitted as follows:
Drained condition: (Dr) = 1.52e0.67Dr
Undrained condition: (Dr) = 0.07e3.61Dr
(5)
(6)
The strain under different stress level and drainage condition

can be calculated by Eq. 4, Eq. 5 and Eq. 6. The calculation and
test results can be seen in Figure 6 and Figure 7.
Figure 7. Unloaded soil SEM

photograph
Figure 8. Soil SEM photograph

after creep test
Figure 10, Figure 11 and Table 5 shows the microstructure

parameter of different test. Both the vertical and horizontal
plane porosity decreased after creep and dynamic triaxial test.
The increasing anisotropy of porosity means that the porositys
shape trends to oval. The porosity directional probability
entropy increases after creep and dynamic triaxial test. When
the soil samples failure, the porosity directional probability
entropy of creep soil sample is similar with dynamic triaxial test.
Figure5. Creep Test and Calculation Results under Drained Condition
Axialpermanentstrain%
4.0
3.5
42.5kPatestresults
3.0
42.5kPacalculationresults
Fig 9. soil sample plane porosity of different test
40.5kPatestresults
2.5
2.0
31.0kPatestresults
1.5
1.0
14.8kPatestresults
0.5
0.0
500
1000
1500
2000
CyclicNumberNorTimehour
Figure 6. Creep Test and Calculation Results under Undrained

Condition
The creep time under drained condition is longer than

undrained. The developing trend and magnitude of strain which
is calculated are in accordance with test results and the longterm creep deformation is predicted. The calculation results of
31.0kPa and 40.5kPa deviate from test results under undrained
condition. The reason may be that the function (Dr) is an
approximate expression which comes from limited test data.
There might be other factor or correlation. It is the next work to
solve.
Fig 10. Porosity anisotropy of different test

Table 4. directional probability entropy of Porosity
unloaded
dynamic
Creep test
dynamic
test
triaxial
(failure)
triaxial test
(failure)
test
0.982
Creep
0.91
0.86
0.81
0.823
MICROSTRUCTURE ANALYSIS
In order to explicit the microstructure change after the creep and

dynamic triaxial test, the SEM test was carried out in low
vacuum mode. The SEM test instrument is Quanta400 scanning
electron microscope. The soil sample was cut to a cube of
1.5cm1.5cm1.5cm by wire saw. Both vertical and horizontal
plane was test. The porosity parameters of soil including plane
463
CONCLUSIONS
1. The creep deformation and permanent deformation of

dynamic triaxial test are nonlinear. The deformation in
macrostructure is a pattern of appearance of microstructure
change.
2. The results of creep and dynamic triaxial test show that it

is reasonable to use logarithmic function to describe the axial
strain of creep and dynamic triaxial sample.
3. Based on the principle of static stress and dynamic stress
equivalent, the stress-strain-cyclic number formula in dynamic
triaxial test can be used to predict the creep deformation.
4. The SEM test results show that the change trend of plane
porosity, anisotropy and directional probability entropy of both
creep and dynamic triaxial test are similar. The microstructure
status with equivalent condition is close.
5. The creep deformation under multilevel stress can be
obtained with few samples by use of the method. The long-term
creep deformation can be obtained within shorter time.
464
REFERENCES
[1] Singh A., Mitchell J.K. General stress-strain-time function for

clay[J]. Journal of the clay mechanics and foundation division,
ASCE, 1968; 94(SM1): 21-46
[2] Mesri G., Rebres-Cordero E., Shields D. R. and Castro A. Shear
stress-strain-time behaviour of clays[J]. Geotechnique,1981, 31(4):
537-552
[3] LI Xiao. Analysis on Accelerated Creep Characteristics of Littoral
Soft Soil [D]. TianJin University, 2011.
[4] HE Kai-sheng, SHEN Zhu-jiang. Study on micro-deformation and
mechanism of structural clay [J]. Journal of Hohai
University(Natural Sciences), 200331(2): 162 - 165.
[5] ZHANG Xian-wei, WANG Chang-ming, LI Jun-xia et al. Variation
characteristics of soft clay micropore in creep condition [J]. Rock
and Soil Mechanics, 2010, 31(4): 1061-1067.
[6]Liu Sha. Study on the rheological properties of saturated muddy soft
clay around the tunnel under subway loading [D]. Shanghai, Tongji
University, 2008.
[7] Dingqing Li, Ernest T. Selig. Cumulative Plastic Deformation For
Fine-Grained Subgrade Soils[J]. Journal of Geotechnical
engineering, 1996,12.
[8] Experimental Study on Dynamic Characteristic of Subgrade Soil
[R].Beijing, China Academy of Railway Science. 1986,12.
[9] Kong Lingrong. Microstructure Characteristic and elastic plastic
Micro-constitutive model of Saturated Soft Clay [D]. Shanghai,
Tongji University, 2007.
[10] Wang Bin, Wang Changming, Zhang Xianwei et al. Experimental
research on creep characteristics of Zhang zhou soft soil [J]. Journal
of Engineering Geology, 2008, 16(Suppl.):645-649.
[11] Zhang Wang. Experimental Study on Creep Characteristic of
Remolded Saturated Soft Clay [D]. Nan Jing, Nanjing Hydraulic
Research Institute, 2009.
[12] LIU Junfei, ZHAO Jian, ZHAO Guotan, et al. Additional Stress
Analysis of Upper Soil between Piles in Rigid Pile- Net Composite
Foundation[J]. CHINA RAILWAY SCIENCE, 2011.3,32(2):15-19.
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HuawuNumerical Analysis on the Mechanical Properties of
GeosyntheticReinforced and Pile Supported Embankment[J].
CHINA RAILWAY SCIENCE, 2010.5,31(3):1-7.
Constitutive model and simulation of non-segregation freezing and thawing in soils

Modle de comportement et simulation du gel et le dgel des sols sans sgrgation
Zhang Y., Michalowski R.L.
Department of Civil and Environmental Engineering, University of Michigan, Ann Arbor, USA
ABSTRACT: An elasto-plastic constitutive model for non-segregation freezing and thawing soils is developed to capture the
deformation behavior and strength evolution of the soil subjected to arbitrary loading as well as temperature changes. The model is
based on the critical state framework, with the yield condition as in the modified Cam clay model. It uses the pore ice ratio as a scalar
parameter to describe the evolution of the yield condition due to freezing and thawing. The model has been implemented in the finite
element system ABAQUS. A thermal and mechanical process in a soil column was simulated to illustrate the response of the model.
RSUM : On prsente un modle lasto-plastique de comportement pour les sols soumis des cycles de gel-dgel, sgrgation
exclue. Ce modle reprsente la rponse en dformation et lvolution de la rsistance du sol sous nimporte quel chargement
mcanique, avec variations de temprature. Il sinscrit dans le cadre de la thorie de ltat critique, avec une fonction de charge du
type Cam Clay modifi. Un paramtre scalaire appel pore ice ratio est dfini, qui rgit lvolution de la fonction de charge sous
leffet du gel et du dgel. Le modle a t implment dans le code de calcul aux Elments Finis ABAQUS. La rponse du modle est
illustre par la simulation dune colonne de sol soumise un chargement thermique et mcanique.
KEYWORDS: non-segregation soil freezing, pore ice, soil thawing, constitutive model
1
INTRODUCTION
Various soils experiencing freezing and thawing may exhibit

dramatically different behaviors. For a non-frost-susceptible
soil, such as medium sand, no ice segregation will take place
during freezing. The pore water and pore ice will co-exist while
the temperature drops below freezing point. An increase in
strength occurs as the soil freezes; weakening is expected
during the melting process. The bulk volume of the soil expands
and contracts little due to the phase change. The same may
occur in frost susceptible soils subjected to quick freezing. In
this paper, both of these conditions will be considered as nonsegregation cases in which no ice lenses are generated during
freezing.
Elasto-plastic models and models accounting for viscous
properties of ice (creep), as well as ice melting, have been
developed (Lai et al., 2009, Wei et al., 2011). Most of these
models are based on continuum approach, and are suited for one
type of the frozen soil. Changes of the soil components upon
freezing and thawing, and the corresponding changes in
strength, are not addressed by these models. Some effort was
made to include the governing parameters of soil freezing into
the constitutive model (Shastri and Sanchez, 2012), but its
applicability is yet to be assessed.
This paper focuses on developing an elasto-plastic
constitutive model including freezing and thawing, to capture
the deformation behavior and strength evolution of the soil
subjected to loading and temperature changes. The model is
based on the critical state framework and it is formulated by
introducing the influence of ice ratio into the modified Cam clay
model. The model developed is suited for non-segregation
freezing and thawing soils (no ice lens formation). In nonsegregation soils, the strength of the soil upon thawing will
return to the strength prior to freezing, i.e, if the soil only
experiences freeze-thaw cycle, but no change in loading, no
thaw-settlement will take place. This is because the soil volume
variations during freezing/thawing are only due to the phase
465
change of pore water. Creep effect of frozen soil is not

considered in this paper.
2
THE MODEL
The model developed is temperature-dependent, with the ice

ratio ei being the key parameter that describes the influence of
the ice content. The ice ratio is defined as
ei
Vi
Vs
(1)
where Vi is the volume of ice and Vs is the volume of the solid

constituent (skeleton). ei is related to the unfrozen water
content in the frozen soil.
2.1
Constitutive model
Compression tests on frozen soils indicate that the behavior of

frozen soil in the v,p-plane (specific volume, isotropic stress)
can be represented by normal compression line (NCL) and
unloading-reloading line (URL) (Qi et al., 2010, Lee et al.,
2002). The slopes of these lines vary, however, depending on
the extent of freezing. The slopes for the two lines are defined
by and for unfrozen soil, and f and f for frozen soil,
respectively. The specific volume upon isotropic compression
of frozen soil is given by
f f ln p
(2)
and elastic behavior in unloading-reloading regime is given by
e f
where vBC and vCD are the increments due to initial freezing
and due to subsequent loading.
The expansion upon freezing is related to phase change and
is treated as reversible, because it reversed during thawing. This
volume change can then be calculated as
(3)
Both f and f are functions of ice ratio ei. Soils become

stronger upon freezing, which is characterized by higher
preconsolidation stress po, and the slopes NCL and URL lines
become flatter (Qi et al., 2010). A reasonable relative position
of normal compression lines for a soil in both unfrozen state and
frozen state is shown in Figure 1(a). The relationship between
preconsolidation stress and ice ratio is illustrated in Figure 1(b).
The yield surface has elliptical shape in q,p-plane (deviatoric,
isotropic stress), and its evolution, as function of ei, is illustrated
in Figure 1(b). po is the preconsolidation stress for unfrozen
soil, and p0f is the preconsolidation stress for the same soil in
f 0.09 ei
Substituting equations (2), (3), and (5) into (4) renders the
following equation
0f f ln
0f 0 0.09 ei
f f
p0f
e
p0r
p0 f f
r
p0
(7)
compared to those for the unfrozen soil. The following

relationships are postulated
C
D
B
p0r
p0
p0f
f exp(1ei )
(8)
f exp( 2ei )
(9)
where 1 and 2 are soil constants.

In order for equation (7) to yield p0 for unfrozen soil when
ei = 0, we postulate the following linear law defining the shift of
v0 to vf as function of ei
ln p
0f 0 ( 0.09 )ei
p0
B
ei
(6)
The slopes of the NCL and URL of frozen soil are both
functions of ei . This path of derivation was followed earlier by
Alonso et al. (1990) in the context of unsaturated soils.
Because the frozen soil has limited tendency for compression
(pores are filled with ice), slopes f and f drop dramatically
f
0
(b)
p0f
p
pf
( 0 ln 0r ) 0.09 ei f ln 0
r
p0
p0
p0
where p0r is the reference pressure to locate the virgin

compression lines for both soil states. Consequently, the
increase in isotropic yield stress caused by the ice ratio increase
is found as
frozen state with the ice ratio of ei eiC ( p0r is the reference
stress).
Consider freezing and loading path B-C-D as illustrated in
Figure 1a. A virgin compressed unfrozen soil (saturated) at
point B is subjected to freezing under a constant isotropic stress
state. The specific volume increases due to the volumetric
expansion upon phase change. Then, isotropic load is added at
constant temperature until point D is reached on the isotropic
stress yield line for the frozen soil. During the isotropic loading
process the ice ratio remains constant, ei eiC . This is because
the ice ratio follows the unfrozen water content curve in nonsegregation freezing process, thus having a unique relationship
to the temperature. The unfrozen water content will be
discussed in the next section.
(a)
(5)
f
0
(10)
where is a soil constant. Equation (7) can, therefore, be

written as
ln p
ei
f
p0f
p f
e f f 0r
r
p0
p0
eiC
C
An illustration of how the preconsolidation stress p0f

changes in soil with progressively increasing ice ratio ei is
shown in Figure 2, for three cases, each starting from a different
preconsolidation stress p0 for unfrozen soil (the following
parameters
were
used:
0.2 ,
0,
1
2
0.35 , 0.07 )
The plastic volumetric strain due to mechanical load and
thermal process can be calculated as
Figure 1 (a) freeze-thaw thermal loading path in v-ln(p) plane;

(b)pseudo preconsolidation pressure changing along BD due to
increasing pore ice ratio
Points B and D belong to the same yield curve on p, ei

plane, and yield stresses p0f for frozen states with different ice
ratio ei during freezing from point B to C are located on curve
BD (Figure 1(b)).
The specific volume at the final point D can be described as
D B BC CD
(11)
(4)
d vpl
466
f f dp0f
v
p0f
f dp0
v
p0
(12)
The yield function in a p,q-plane is

f q 2 M 2 p( p0 p) 0
(13)
An associate flow rule is assumed, i.e., and the plastic potential

g = f = 0.
To better illustrate the model, a freeze-thaw cycle along with an

external load applied is shown in Figure 4. The thermal process
is depicted with the blue (freezing) and red (thawing) lines,
whereas the loading-unloading is depicted by the green lines.
0f
0
Preconsolidation Stress pf0 (kPa)
700
p0=60kPa
600
p0=100kPa
p0=150kPa
500
D
E
B
400
300
200
100
p0r
0
0
0.1
0.2
0.3
0.4
0.5
Thawing of a frozen soil will decrease the amount of ice in its

pores, reducing ice cementation and consequently, reducing
strength. For non-segregation frozen soils, the strength after
complete thawing tends to move back to the same envelope as
before freezing. There will be no further weakening since no
thermally induced mass migration occurred during freezing, and
the change of the soil fabric during the thermal process is not
significant.
Unfrozen water content
The unfrozen water curve can be used to identify the amount of

pore ice formed during freezing. In most of the soils other than
coarse granular ones, not all water freezes at the freezing point.
A 3-parameter function (Michalowski and Zhu, 2006) was
developed to describe the unfrozen water content for most soils
(see Figure 3). This function has the following form:
w w* ( w w* ) e a ( T T0 )
(14)
w
w*
T
Figure 3 Unfrozen water content curve
At freezing point T0, a portion of the water freezes and the

rest remains in the liquid state ( w ). The liquid moisture content
reduces with the decrease in the temperature to reach w* at
some low reference temperature. Parameter a describes this
reduction rate.
The ice ratio ei can be calculated from the unfrozen water
content as
s
1.09
w
p0E
C1
D1
E1
ln p
eiC
A1
B1
G1
F1
ln p
Figure 4 Freeze-thaw cycle and load path with corresponding yield
curves
A saturated soil specimen is preconsolidated under isotropic

compression from point A to B. Then, under constant stress, the
freezing process takes place (B-C), and the ice ratio at point C is
eiC . In this process, the isotropic yield stress (apparent
preconsolidation stress for corresponding frozen soil) increases
from B1 to D1 following equation (7), and it has a value of p0D at
point D1 (the soil has the same apparent preconsolidation stress
after it had been frozen at point C1). The below-freezing
temperature is then maintained, and isotropic compression is
increased to reach the normal compression line for frozen soil at
pressure p0D ; the load is then continued along the NCL to reach
p0E . During this loading, the void ratio e is changing while the
ice ratio remains constant. This is based on an assumption that
ice and soil skeleton are both incompressible. From C to D, the
frozen soil experiences elastic behavior, whereas from D to E it
behaves plastically.
Thereafter, the soil is thawed at constant stress p0E . Once ice
w0
ei ( w0 w)
p0C ( D )
ei
Figure 2 Yield stress for frozen soil with different ice ratio ei
T0
p0B
0.6
Ice Ratio (ei)
2.2
THERMAL-MECHANICAL LOADING PROCESS
(15)
467
starts melting, the soil can no longer sustain load p p0E , and
the process of consolidation will start, moving the soil to the
normal compression line for the unfrozen soil (point F).
Unloading from F results in an elastic rebound along the URL
for unfrozen soil to G.
4
APPLICATION AND FINAL REMARKS
The constitutive model was implemented into the FE system

ABAQUS using subroutine UMAT and UEXPAN to solve
boundary value problems. A soil column subjected to both the
mechanical load and a thermal process was simulated.
The parameters and initial values used in the simulation are
listed in Table 1. and are the slopes for NCL and URL in
compression plane. M is the slope of the critical state line in p-q
space. p0 and e0 are the initial values for the pre-consolidation
pressure and the void ratio. w*,
and a are parameters for
unfrozen water content function; this function was calibrated

with the data for Fairbanks silt, Figure 5. The curve fitting
function is represented in Figure 5 by the continuous curve
(red). The unfrozen water curve is quite steep, and it is assumed
that the functions for freezing and thawing process are the same.
-0.3C. There is a substantial difference in the behavior of the

two elements during the loading segment from 60 to 210 kPa:
while element #18 behaves elastically, element #4 is elastic only
until the load reaches 160 kPa, and becomes elasto-plastic
afterward. Both elements experience additional settlement due
to thawing.
Table 1. Parameters and initial values in simulation
0.35
0.1
Initial p0
60 (kPa)
e0
w*
w w0
0.85
0.08
0.325
M
1.0
1
0.2
2
0.2
a
6.0
0.3
0.35
Unfrozen Water Content
0.30
0.25
0.20
Figure 8 Compression for element (a) #18 and (b) #4
0.15
0.10
0.05
-2.0
-1.5
-1.0
-0.5
0.0
0.5
Temperature ( C)
Figure 5 Unfrozen water content curve (experimental points from

Huang et al., 2004))
The soil column is 1 m tall and 0.05 m in width. The walls of

the column are adiabatic and rigid. The initial uniform
temperature is 1C, and the initial vertical and horizontal
compressive stresses are 20 kPa and 10 kPa, respectively.
Initial and boundary conditions in terms of load and
temperature at the top of the column are shown in Figure 6. The
bottom of the column is fixed and the temperature is maintained
at 1C throughout the process.
The model using the pore ice ratio as model parameter

captures freezing and thawing process for non-segregation soils
well. The parameter is related to the unfrozen water content
curve and is easy to obtain from tests. This constitutive model is
convenient to use, and it has been implemented in the FE
system. The model will be calibrated based on the test data
available, and it will be applied to solve practical boundary
value problems.
The model can be used as a tool to predict the behavior of
soil subjected to freezing and thawing as long as no ice lenses
are formed. Such problems include, for instance, construction
using artificial ground freezing. The model will be extended to
include ice lens formation in frost-susceptible soils.
5
ACKNOWLEDGEMENTS
The work presented in this paper was supported by the Army

Research Office, grant No. W911NF-08-1-0376. This support
is greatly appreciated.
6
Figure 6 Boundary condition on top of the soil column
Figure 7 Temperature distribution at t=0 and t=1.3e7s
The relationship between void ratio and the vertical stress is

shown in Figure 8 for element #18 and #4. For element #18, the
temperature is about -4.5C when the column reaches steady
state after freezing, having more pore ice and being stronger
than element #4 whose steady state temperature is around
468
REFERENCES
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investigation of soil heave by a large diameter chilled gas pipeline
experiment, Fairbanks, Alaska. Journal of Cold Regions
Engineering, 18 (1), 2-34.
Lee M.Y., Fossum A., Costiin L.S. and Bronowski D. 2002. Frozen soil
material testing and constitutive modeling. Sandia National
Laboratories Report 2002-0524.
Michalowski R.L. and Zhu M. 2006. Frost heave modeling using
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Analytical Methods in Geomechanics, 30 (8), 703-722.
Qi J., Hu W. and Ma W. 2010. Experimental study of a pseudopreconsolidation pressure in frozen soils. Cold Regions Science
and Technology, 60, 230-233.
Roscoe K.H. and Burland J.B. 1968. On the generalized stress strain
behavior of wet clay. In Engineering Plasticity, eds. J. Heyman and
F.A. Leckie; Cambridge University Press, 535-609.
Shastri A. and Sanchez M. 2012. Mechanical modeling of frozen soils
incorporating the effect of cryogenic suction and temperature.
GeoCongress 2012: State of the Art and Practice in Geotechnical
Engineering, 2492-2501.
Wei L., Hong F. and He W. 2011. Research on visco-elastic-plastic
creep model of artificially frozen soil under high confining
pressures. Cold Regions Science and Technology, 65 (2), 219-225.
th
General Report for TC102

In-Situ Testing
Rapport gnral du TC102
Essais in-situ
Giacheti H.L.
So Paulo State University, Dept. of Civil and Environmental Engineering, Bauru-SP, Brazil (wwwp.feb.unesp.br/giacheti)
Cunha R.P.
University of Braslia, Dept. of Civil and Environmental Engineering, Braslia-DF, Brazil (www.geotecnia.unb.br/gpfees)
ABSTRACT: An overview of all the technical papers accepted for the in-situ testing session of the 18th ICSMGE is presented. Forty
two papers submitted to this conference were considered as part of this session. The papers were grouped into four major categories:
site characterization, technological advances, geotechnical analyses and behavior, and soil and rocks properties. The objective of this
report is to present an overview of the theme topics and briefly discuss the major contributions achieved by these papers.
RSUM : Un aperu de tous les articles accepts la confrence dans la session Essais in-situ du 18e CIMSG est prsent ici.
Quarante-deux crits soumis cette confrence ont t considrs comme faisant partie de cette session. Les documents ont t
regroups en quatre grandes catgories: la caractrisation du site, les progrs technologiques, les analyses gotechniques, les
comportements et enfin les proprits des sols et des roches. L'objectif de ce rapport est de prsenter une vue d'ensemble de tous les
sujets et de discuter brivement des contributions majeures apportes par ces documents.
KEYWORDS: In-situ tests, site characterization, technological advances, geotechnical analysis and behavior, soil and rock properties.
1
Figure 2.a shows the distribution of all papers in this session

that used any particular in-situ testing technique as a major site
investigation tool. Notice that most of the papers used more
than one technique. From this, it is possible to realize that CPT
and SPT were the more widely-employed tools amongst the
published papers. Figure 2.b depicts, from the universe of
papers that solely adopted CPT or SPT (or both) as site tool,
which interpretation techniques were adopted. It is clearly
evident that empirical approaches still form the dominant
interpretation group, although in many papers it has been used
together with other complementary methods.
INTRODUCTION
Site characterization is the first step on all geotechnical projects

and the objectives generally relate to the definition of the
stratigraphic profile and groundwater level, estimation of the
geotechnical properties from each soil unit, identification of
critical layers, definition of geotechnical design parameters and
indication of required, if necessary, additional laboratory tests.
The traditional methods for site characterization rely
basically on drilling, sampling and laboratory tests. These are
usually time consuming and, in some cases, over budget. The
modern approach, on the other hand, focuses on the rational
use of in-situ penetration tools coupled in some cases with
geophysical techniques. Of course, the success of an efficient
site characterization program depends on clearly defining the
scope or objectives of the enterprise and, in some cases,
combined site investigation techniques are adopted as will be
demonstrated through the papers of this session.
Hence, TC102 sessions of the conference contain papers
with distinct investigative approaches and scopes. Some have
presented new testing devices; others new characterization or
interpretation methods. Some have described real case studies
where the site characterization was a major issue, whereas
others discussed the interpreted soil and rock properties to be
used as input for routine geotechnical analyses.
Most of the contributions deal purely with in-situ
investigation tools, but many have mixed it with laboratory or
numerical investigation techniques. As presented in Figure 1,
the majority of the papers are European in essence, which is
expected for the 18th ICSMGE held in this continent.
South
America
North
America
a)
b)
Figure 2. a) Percentage of all papers in the session that used the listed
in-situ technique among others site investigation tools and b) Percentage
of (only) CPT and/or SPT papers in the session that adopted the listed
approach to interpret the data, among other techniques.
Figure 3 shows the types of geotechnical formations that

served as the major soil stratum for the employed investigative
techniques. It is clear that the great majority of the presented
papers are concerned with sedimentary deposits, whereas few of
them focused on less classical materials such as residual
(tropical) soils or man-placed tailings and compacted earth fills.
Australia
Asia
Europe
Sedimentary
Residual/
Tropical
EarthFill/
Tailing
Africa
Other
Figure 1. Paper distribution by continents for this conference session.
Figure 3. Percentage of geomaterial types addressed in this section.
471
1
th
This report is organized into several major topics and subject

areas, as follows: site characterization (4 papers), technological
advances (9 papers), geotechnical analyses and behavior (14
papers), and soil and rocks properties (15 papers), leading to a
total of 42 papers. The main objective is to present an overview
and the advances on the main addressed topics of this
Conference Session, hence summarizing and emphasizing the
important contributions from the papers.
Table 1 presents a summary with the main topics and
subtopics addressed for each of the listed papers, together with
the adopted investigation tools (in-situ or laboratory), the main
soil type, the investigation approach, and a short 1-line
summary of the papers prime objective & contribution. Given
such cited divisions, the papers will be reported under each of
the defined topics and subtopics, as it follows next.
3.1. New uses of in-situ technology

Kims et al. paper has an environmental appeal since it deals
with the geological CO2 sequestration as an effective mean of
reducing the emissions of carbon dioxide. The problem pointed
out in the paper is that forward strategies and technologies of
CO2 sequestration in Korea need to be specified depending on
the geological conditions of potential sites (in Korea). The
authors reviewed the geological characteristics of CO2 storage
projects around the World and also discuss the suitability for
CO2 sequestration. A systematic and quantitative evaluation
method to assess the storage and economic efficiencies of
sedimentary basins in Korea using dimensionless values
between 0 and 1 was applied (Figure 4). The paper also
discusses the potential of using geophysical tests to assess the
suitability of field strata for CO2-storing, and to monitor CO2
movement and possible leakages.
2. SITE CHARACTERIZATION
In this Conference Session, four papers dealt with site
characterization; two of them are related to soil classification
and the other two are more focused on geotechnical modeling.
2.1. Soil classification
The paper written by Serratrice proposes a classification
method for natural soils based on piezocone test data. Two
aspects are considered to classify the soils with liquefaction
potential, the drained and undrained strength via triaxial tests
and the soils density. The method is presented and applied in
two examples where CPTU data are available in homogeneous
clayey deposits.
The paper from Baud & Gambin presents a contribution to
enhance the Pressiorama diagram with the extra rheological
factor , which was originally introduced by Mnard on his
design method. The authors used very good quality self-bored
PMT tests (STAF technique) in several soil types, from soft
clays to rock to obtain EM/p*LM values. They proposed a reevaluation of the rheological factor and the findings are given
by an equation graphically expressed in the Pressiorama.
2.2. Geotechnical modeling
The paper from Ivi et al. discusses the applicability of the
RNK-method for spatial engineering & geological and/or
geotechnical modeling. This method was tested on many
landslides in Croatia and it allows the differentiation of the
minimum shear strength zone, or regions of different hydraulic
conductivities and varied soil densities. The proposed model
was verified by measurements of lateral movements in the
landslide area and by results of stability analyses. They
concluded that the RNK-method can be used in the study of
landslides and slope stability by searching the zone of minimum
shear strength.
The paper from Steenfelt et al. presents the use of in-situ
and laboratory tests for site characterization on an important ongoing infrastructure project in China. A very extensive site
investigation campaign was carried out comprising geotechnical
boreholes, CPTUs and seismic testing with associated advanced
laboratory testing. The paper described the results and the
interpretation technique used to provide ground stratification
and stiffness variations to be used in design. They concluded
that the CPTU was a important tool for a clear geological unit
delineation, which also allowed a robust and safe design.
3.
TECHNOLOGICAL ADVANCES
In this Conference Section, nine papers were selected to be part

of the technological advances (main) topic; three of them
presented new uses of in-situ testing technologies and six dealt
with new types of in-situ testing tools (or apparatuses).
472
Figure 4. Score for suitability for Korean sedimentary basin (Kim et al).
The paper from Fenton & Hicks discusses the uncertainty

associated with site characterization and it focused specifically
on the effect of number of samples on residual uncertainty. The
results can be used to quantitatively select the required number
of samples needed to achieve a target maximum residual
uncertainty level. A statistical approach was used to study this
problem and it was concluded that the accuracy improves as the
number of samples and the correlation length increases.
Somasundaram et al. present the characterization and
settlement modeling of deep inert debris fills. Inert fills can be
considered as a non-text book type geomaterial since they are
difficult to characterize and model by current geotechnical
methods, due to their inherent heterogeneity, very large particle
sizes, and nested and voided structure. The authors presented an
approach to characterize a 54 m deep inert debris fill, to model
its settlement behavior under seismic loading and groundwater
level rise, and to develop remedial measures to render it suitable
for development.
3.2. New in-situ tools
Jacquards et al. paper presents a new probe to overcome the
limitation of Menard type pressuremeter tests, i.e., the difficulty
of reaching large expansion volumes and pressures. This new
device allows for the volume of the hole to be doubled, even
under high pressures. The authors described the technological
innovations that increased the capabilities (and reliability) of the
pressuremeter probe as well as presented comparative tests on
different sites to demonstrate the advocated technical advance in
this enhanced PMT device.
In Rito & Emura paper a new type of sampling method
called Koken wire line system is developed (Figure 5) to
retrieve high depth undisturbed samples in deep Pleistocene
clay and sand layers at the Kansai International Airport area.
The authors also developed two different pore pressure
measuring devices, and concluded that both the sample quality
and the measured values were respectively of high quality and
with reasonably good accuracy to be used in the settlement
design of the subsoil of this airport, in Japan.
Technical Committee 102 / Comit technique 102
th
Author / Paper
SPT / BPT / SWS

CPT
DMT
PMT
Panda/DCP
Geophysics
Borehole
Sampling
Permeability
New Device
Other Type
Oedometer
Index
Uniaxial / Triaxial
Simple / Direct
Ring Shear
Proctor / CBR
Other Type
Sand / Gravel
Silt / Clay
Residual / Tropical
Earth Fill / Tailing
Rock / Saprolite
Instrumentation
Numerical
Calibration
Chamber
Probabilistic
Statistical
Field Data
Experimental
Investigation Approach
Analytical
Table 1. Summary of the general characteristics from each of the papers for Technical Section TC 102 (In-Situ Testing).
Main Investigation Tool
Main
Studied Soil Type
Topic
In Situ
Laboratory
Subtopics
Other Type
Empirical
Objective or Major Contribution
X
X
X
X
X
Classification of soil sensibility via CPT tests
S Serratrice
X
X X
X
X X
X Enhancement of soil type interpretation via PMT tests
C Baud & Gambin
X
X
X
X
X
X X
X
Model for landslide analysis via site correlations
G Ivsic et al.
X X
X X
X X X
X X
X
X X
X X
Site characterization for tunnel design
M Steenfelt et al.
Kim et al.
X
X
E X
X Storage of CO2 emissions in sedimentary basins
N
Fenton & Hicks
X
X
Technique for optimum soil sampling
U Somasundaram et al.
X
X
LS X
X
X X
X
Site techniques to characterize and analyze debris fills
Jacquard et al.
X
X
X
X X
X
X
X Details of a new high volume PMT probe
Rito & Emura
X
X
X
X X
X
X Details of a new high depth sampler and piezometer
N Kayser et al.
X
X
NS X X
X
X
X Scour evaluation for piers via new in-situ probe
X
X
X
X
X
X
X Development of seismic SPT for residual soils
I Giacheti et al.
Frost & Martinez
X
X
X X
X
X
X CPTu upgrade with a new multi sensor device
Monnet
X
X
P X X
X X
X X
Development of a new enhanced PMT probe
Yasufuku et al.
X
X
X X X
X X
X
X
Rational use of in-situ and lab. tests for foundations
D Cao et al.
X
SS X
NS X X
X
X X X
Field instrumentation and results of a pile curtain wall
ST
X
X
X Dynamic soil-structure analyses for piles
I Hokmabadi et al.
Amoroso et al.
X
X X
X
X
X X
X
X
X
X
Potential use of SDMT in a real case investigation
Haza-Rozier et al.
SS
X
X
Improvement of the behavior of a soil foundation
Svinkin
SS
X X
X
Issues on ground vibration by pile driving
Matesic et al.
X X
X
LT
NS X X
X X
X
Field tests to monitor the foundation of oil tanks
Jeon & Mimura
X
X X
X X
Soil foundation deformation of an offshore airport
F Chou et al.
X
X
Field survey of affected region after Morakot typhoon
X
X
X
X
X
Soil erosion via multiscale sediment monitoring tool
C Lin et al.
Al-Saoudi et al.
X
NS
GS
X Geotechnical properties of gypseous soils via lab. test
Shulyatiev et al.
LT X
NS
X
X
X
Parameters from field load tests on barrette type piles
Chen et al.
X
X
X
Study of cuttability index for tunnel excavation
Bellato et al.
X
X
X
X
X Assessment of cutter soil mixing samples in the lab.
Baud et al.
X
X
X
X
Shear modulus degradation assessment via PMT tests
Benz et al.
X
X X
X X
X
X
X New interpretation approach for Panda penetrometer
Nishimura et al.
X
NS
X
X
X
Earth fill investigation using probability analyses
N
Poulsen et al.
X
X
X
X
X
Influence of CPT penetration rate in silty soils
T Galaa et al.
X X
X
X X
X X
X X
Hyd. conductivity determination of glacial deposits
Phoon & Ching
X X
FV
X X
X X
X
X
In-situ parameters via reliability-based approach
Motaghedi et al.
X
X
X X
X X
X
X
CPTu strength values via capacity-based equation
Tumay et al.
X
X
X
X X
X X
Organic content assessment for sedimentary soils
Mulabdic
X X
X
X X
X
X
X
X
X
Characterization of a compacted dam via in-situ tests
Zabielska-Adamska
X
X
FA X
X Assessment of a compacted soil via CBR tests
P Chapuis
X
X X
X X
X
X X
Scale effects in the permeability of sandy aquifers
X X
X
X X
X
X X
Deformation moduli from jointed CPT & DMT tests
E Mlynarek et al.
Liu et al.
X
X X
X
X
X X
Practice and correlations of CPTu tests in China
Espinace et al.
X
X
NS
X
X
X
X
Control of tailing dams with the Panda penetrometer
Hanza & Shahien
X
X
X X
X
X
X
Correlations on drained compressibility parameters
SC=Soil Classification, GM=Geotechnical Modeling, NU=New Uses of In-Situ Technology, NI=New In-Situ Tools,, DI=Design Improvement, FC=Field Conditions/Site Performance, NT=New Theoretical Advances, PE=Parameter Evaluation.
SPT=Standard Pen. Test, BPT=Becker Pen. Test,, SWS=Swedish Weight Sounding, CPT=Cone Pen. Test, DMT=Dilatometer Pen. Test, DCP=Dynamic Cone Probing, LS=Large Scale Density, FV=Field Vane Test, SS=Stress Strain Sensors,
LT=Load Test, CBR=California Bearing Ratio, P=Permeability, ST=Shaking Table, E=Eletroresistivity, G=Geophysics, NS=Lab Test adopted but Non Specified, GS=Gypseous Soil, FA=Fly Ash.
473
Site Characterization
Technological
Advances
Geotechnical Analysis and
Behavior
Soil and Rock Properties
th
Attachment
Digital
Housing
Attachment
Digital
Boards
(1.66)
(1.40)
fa4
fa3
(0.88)
fa2
(0.67)
fa1
u a0
Friction
Sleeve
Mandrel
u a1
(0.81)
Friction
Sleeve
Mandrel
u a2
(1.07)
Friction
Sleeve
Mandrel
u a3
(1.33)
(1.14)
Mandrel
u a4
(1.59)
Friction
Sleeve
Mandrel
Digital Housing
Replaceable
Attachment
Friction
Sleeve
Piezo
Sensor
Piezo
Sensor
Attachment
Sleeve
Mandrel
Piezo
Sensor
Attachment
Individual
Piezo Sensor
Piezo
Sensor
Attachment
Individual
Load Cell
Piezo
Sensor
Digital
Board
Dual Axis
Inclinometer
Figure 5. The Koken wire line sampling system (Rito & Emura).
The paper from Kayser et al describes an approach to assess

soil scour potential through the use of the In-Situ Erosion
Evaluation Probe (ISEEP), which is advanced by water jetting.
Soil erosion parameters were assessed for silty sand in terms of
a critical stream power (critical shear stress and detachment rate
coefficient). Scour depths around a circular bridge pier were
also computed using ISEEP data, and compared with an
empirical approach available in literature.
Giacheti et al briefly describes a test which associates the
up-hole technique to the SPT, the seismic SPT (Figure 6).
This hybrid test allows the determination of the maximum shear
modulus (G0) together with the N value in a unique test. The
paper also presents and discusses cross-hole, down-hole, SCPT
and SPT test data for a Brazilian tropical sandy soil to
emphasize the advantage of using the interrelationship between
the small strain stiffness (Go) and the ultimate strength (N
value) to identify and characterize different soil behaviors.
Manual SPT Equipment
Trigger &
Anvil
H2
H3
Hi
3
i
Friction Sleeve
u2
Pore Pressure
qc
Tip Load
Figure 7. The multi-piezo-sleeve friction penetrometer along with a

standard CPT probe (Frost & Martinez).
Monet presents a new in-situ testing device called the

Geomechameter, i.e. an evolution of the pressuremeter. This
new device uses the forces generated by water flow around the
probe. The hydraulic flow allows the control of the level of
vertical stress at the test depth. The influence of this stress is
hence taken into account in the test interpretation. The new
probe can also evaluate the soil permeability and sensibility to
erosion. It was validated by direct comparison with mechanical
properties from triaxial tests and permeability values from
Lefranc type injection tests.
4.
GEOTECHNICAL ANALYSIS AND BEHAVIOR
Fourteen papers in this Conference Session were grouped in the

topic of geotechnical analysis and behavior; four of them dealt
with design improvement and the other ten addressed field
conditions and/or site performance.
4.1. Design improvement
DAQ
System
Case with
geophones
H1
fs
L1
L2
L3
Li
Figure 6. S-SPT test and a seismic refracted path (Giacheti et al).
Frost & Martinez enhances the well-established cone

penetration test with an extra multi-sleeve penetration
attachment (Figure 7). The new CPT probe incorporates a series
of friction sleeves with varying surface textures and a torsional
load sensing capabilities along with a series of pore pressure
sensors, in addition to the standard smooth friction sleeve and
pore pressure sensor located behind the tip. They advocate that
the multiple measurements made with this device allow it to
provide a new insight into the characterization of soil types,
besides of establishing relations between stratigraphic variations
and in-situ shear strength with the texture height of the sleeves.
The authors really consider that the multi-sleeve technology
CPT offers significant benefits over other devices to measure
the mechanical response of soils.
474
The paper from Yasufuku et al. emphasizes the importance of

integrating the geotechnical investigations with pile foundation
design. Figure 8 shows the policy and concept of geotechnical
investigation & design for the studied case, i.e. the construction
of the connecting bridge for New-Kitakyushu airport. A rational
method for evaluating the pile bearing capacity was presented
which reflected the soil characteristic values and the geological
environmental history. They concluded that field and laboratory
investigations with a reasonable geotechnical consideration
sharply decreased the total cost of the bridge in the studied case.
The paper from Cao et al. studied the performance of a deep
excavation in downtown Toronto. They presented field
measurements of soldier pile walls installed into clayey soils
and shaly rock. The authors assessed the method of deducing
wall bending moments from inclinometer measurements, among
other aspects. The paper provides recommendations for such
walls when designed in similar geotechnical conditions.
The paper from Hokmabadi et al. studies the seismic
response of superstructures on soft soils. Shaking table tests and
three dimensional numerical simulations using FLAC3D were
carried out to investigate the influence of the soil-pile-structure
interaction on the seismic response of a 15-storey moment
resisting building, supported by end-bearing pile foundations.
The authors observed a good agreement between the numerical
predictions and the experimental data confirming the reliability
of the numerical approach.
th
Design of foundation
(Reassessment)
(Feedback)
Assessments based on
Geotechnical considerations
Investigation
(Collaboration)
design
Select of possible
models
Decision of sort and
number of field & lab.
tests
Implementation of
site investigation
Verification by
site investigations
Full scale load tests
Field observations
Modeling of ground
Careful selection of soil parameters
Determination of adequate model
Reconsideration of
safety factors et al.
Implementation of rational and
Economical design in total
Figure 8. Collaboration of geotechnical investigations with design

(Yasufuku et al).
Amorosos et al. paper presents a case history emphasizing

the use of the seismic dilatometer (SDMT) as a powerful site
investigation tool on the restoration design of an historical
building which was damaged by the 2009 LAquila earthquake.
The investigation of the foundation also included boreholes and
laboratory cyclic simple shear tests. The paper presented the
interpretation of SDMT for determination of soil profiling,
shear wave velocity, constrained modulus and horizontal stress
index, which when, combined with lab data, allowed a better
understanding of the buildings response during the earthquake.
4.2. Field condition and/or site performance
Haza-Rozier et al. study the behavior of a soil foundation
improved by rigid columns to support wind turbines. This
foundation was fixed on a rigid slab, lying on a granular layer,
improved by 84 rigid columns. The authors monitored the
structure behavior during excavation, machine construction, and
over a period of time for the working service of the wind
turbine. They observed that the working platform induced an
important confinement of the columns heads with subsequent
small levels of displacement.
Svinkins paper discusses the controversial and
contradictory evaluations of ground vibrations from pile driving
theories. He pointed out that pile driving is a powerful and
wide-spread source of construction vibrations which may
detrimentally affect adjacent or remote structures. The paper
thus presented several issues in the assessment of ground
vibrations generated by pile driving.
The paper from Matei et al. presents a case history with
the use of hydro test results for designing steel tanks on
improved ground with 660 stone columns. The authors
described the conducted hydro tests as part of a technical
monitoring assessment from all elements of the tank structure.
The paper presents and discusses all experimental data and
states that they could be wisely used to improve the tank design.
Jeon and Mimura present elasto-viscoplastic FEM analyses
to assess the long-term deformation of a reclaimed island over a
Pleistocene foundation from the adjacent construction of an
offshore (twin) airport. It is a numerical modeling paper where
simulation was compared to instrumentation results. The
authors introduced the concept of mass permeability to model
the excess pore water pressure dissipation and concluded that it
functioned well to assess the long-term deformation of the
foundation, including the interactive construction behavior.
Chous et al. paper discusses survey results of damaged
areas after a flood disaster caused by the 2009 Morakot
Typhoon in Taiwan. A comprehensive site survey was

conducted after the flood disaster and ten failure mechanisms
were identified depending on the different geological
environments. The paper presented the site survey observations,
analyzed the causes and mechanisms of failures, and drafted
strategies and suggestions for the restoration projects.
The paper from Lin et al. uses a multi-scale sediment
monitoring device to assess the remediation effectiveness on a
watershed reservoir after sedimentation processes were
originated by the same typhoon cited on Chou et al. It is stated
that it caused unprecedented landslide and sediment-related
disasters in mountain areas of the Tsengwen reservoir
watershed, drastically reducing its storage capacity. Hence, the
paper describes the method and how to systematically study and
analyze soil erosion and landslide areas with the aid of sediment
accumulation trapping dams and aforementioned device.
Al-Saudi et al. is another paper that deals with a non-text
book type geomaterial: gypseous soils, another problematic
soil given its intrinsic characteristics. According to the authors,
it covers about 20 to 30 % of total Iraq area. An important
characteristic of this soil is the collapsibility, a sudden and large
volumetric strain when exposed to water. Proposals for soil
treatment are presented, focusing on the control of settlement by
reducing or even preventing humidity changes within the soil
foundation.
Shulyatievs et al. paper presents a case study related to the
construction of the Okhta-center high-rise tower in St.
Petersburg. Static load tests on real scale barrette pile types
were carried out to adjust the design soil parameters. The paper
also presents a comparison between the derived bearing
capacity values and those from Russian and foreign building
codes. The authors concluded that pile tests are an effective way
to calibrate design parameters for usage in real case designs.
The paper from Chen et al. presents a generalized
(dimensional analysis type) solution to be used into
underground geological-mechanical interaction excavation
problems. The model groups the geological characteristics into
three categories: brittle (rock-like), ductile (soil-like), and
brittle-ductile (gravel-like), with respect to thrust and force
cuttings. Two case histories are presented to validate the
approach to assess the efficiency of a tunnel cutting machine.
Bellatos et al. paper presents a case study to discuss the
quality control of Cutter Soil Mixing (CSM), i.e., a relatively
new deep mixing method suitable for various types of ground
improvement. The materials and the testing program were
described in the paper. The obtained results under an innovative
experimental apparatus underline the influence of the physical,
and chemical, characteristics of the natural soil on the strength
gain of the stabilized materials.
5.
SOIL AND ROCK PROPERTIES
In this Conference Session, fifteen papers were selected to be

part of this main topic where seven of them presented new
theoretical advances as a major subtopic and eight dealt with the
evaluation of geotechnical parameters.
5.1. New theoretical advances
The paper from Baud et al. discusses stress-strain hyperbolic
curves obtained with a self-boring Mnard PMT test. The
authors determined E-moduli values by assimilating the
pressure-volume plot of a Mnard PMT to a 2nd degree
hyperbolic arc. The self-boring Mnard PMT tests were carried
out using a self-bored steel slotted tube implemented either by
the STAF technique, or by the ROTOSTAF method. The
authors derived the hyperbolic best fit of the plotted readings to
obtain an original equation of the radial borehole expansion, =
f(G0, po, pLM, PL). After that, they derived the tangent modulus
Gt for each reading and the corresponding Gt/G0 ratio as a
475
th
function of , and similarly the secant modulus Gs. The authors

affirmed that their variation can be well compared with those
given by the usual hyperbolic model, except for cases with very
small initial strains. They concluded that the results are similar
to those obtained by laboratory tests and geophysical surveys.
Benzs et al. paper presents the recent developments
achieved on the Panda 3 dynamic penetrometer to improve its
use for site characterization. This new improvement is
schematically represented in Figure 9 including a typical test
result. According to the authors the load-settlement p-sp curve
can be derived from the measurement and decoupling of sonic
waves created by each impact of the penetrometer, which allows
the determination of the strength and deformation parameters.
The paper presented calibration chamber test data for two
different soils to validate the given results. It was observed a
good repeatability and sensibility to the soil conditions. The
authors compared the results with those obtained by triaxial and
oedometer tests and also found a good agreement for sands.
This new test is now currently used in the field to improve the
derivation of geotechnical soil parameters via site derived loadsettlement Panda curves.
Figure 9. Schematic representation of Panda 3 dynamic penetrometer

with a typical test result (Benz et al).
The paper from Nishimura et al. presents the use of the

Swedish Weight Sounding (SWS) test with the objective of
making a diagnosis of man made earth-fills, hence increasing
their lifetime especially because their shear strength is
generally required for investigations with this scope. The study
is justified by the existence of several earth-fill dams for farm
ponds in Japan, with some of them under final life stages.
Although the strength can also be predicted by the SPT Nvalues, the authors used the SWS test as a simple method for
obtaining the spatial distribution of the N-values in short
interval exams. The paper also presented an indicator simulation
(geostatistical) method to interpolate the spatial distribution of
derived N-values. The results are used to determine degraded
regions within existing embankments. The shear strength
parameter was derived through the empirical correlation with
the N-values, and the reliability analysis of the embankments
was conducted considering the variability of the internal friction
angle of the material.
The paper from Poulsen et al. shows how a change in cone
penetration rate affects all cone penetration measurements in a
silty soil. The authors emphasized the fact that for the standard
rate of penetration (20 mm/s) it is generally accepted that
undrained penetration occurs in clay, while it is drained in
sands. Data from 15 field cone penetration tests with varying
penetration rates were conducted at a sandy silt test site. Figure
10 depicts the pore pressure and cone resistance at depths
ranging from 4.5 to 11.4 m for CPTs conducted with variable
penetration rates (60 and 0.5 mm/s can be observed). The CPT
conducted with a penetration rate of 0.5 mm/s corresponds to
fully drained penetration conditions, since the measured pore
pressure is close to u0. On the other hand, the CPT conducted
with a penetration rate of 60 mm/s corresponds to undrained or
476
partially drained conditions. The authors did not observe any

correlation between sleeve friction and cone penetration rates.
They concluded that a correlation between the penetration rate,
the cone resistance, and the derived excess pore pressure, do
exist. They have also suggested an approach to determine when
the penetration is partially drained or not, and how to convert it
into a fully drained or undrained condition, hence changing
derived geotechnical parameters.
Figure 10. a) Comparison of the pore pressure and b) cone resistance

carried out with penetration rates of 60 and 0.5 mm/s, with 3 CPTs test
for each rate (Poulsen et al.).
Galaa et al. present a paper describing a methodology for

establishing more representative design values for the hydraulic
conductivity (K) of glacial deposits, particularly when
performing large scale subsurface investigations for tunnels.
They justify their study given the known glacial deposit
heterogeneities and the difficulties to determine proper design
values for K. The authors affirm that conventional pumping
tests can not provide reliable design parameters due to their
small zone of influence, and inherent variable nature of glacial
deposits. Hence, the paper describes a subsurface investigation
which involved 400 boreholes, 88 slug tests and 16 pumping
tests. The authors established a correlation between K from the
field tests (Kfield) and K calculated by the Kozeny-Carman
formula (KKC). They observed that the Kozeny-Carmen formula
with the incorporation of a site specific correlation factor
predicted K values ranging between 1/3 to 3 times the Kfield
values. The calculated and measured K values were used to
form a statistical analysis of this parameter, and to provide a
more reliable design number for dewatering problems.
Phoon & Ching present a paper using a statistical approach
for a better interpretation of the geotechnical data when
considering soil variability. The paper presented the concept of
a virtual site with the purpose of emulating site investigation
efforts as realistically as possible. The authors affirmed that in
the present time, it is still not possible to emulate every aspect
of a real site deposit. So, the scope was to reproduce the
information content arising from a typical mix of laboratory and
field tests conducted at a site with the aim of estimating
undrained shear strengths (su) for clays and friction angles (')
for sands. However, the development of a virtual site does not
replace the site investigation need, but it quantifies the
uncertainty in the derived su and design values by
incorporating into the analyses the effect of either higher quality
or larger numbers of testing results.
Motaghedi et al. present a new analytical method to predict
cohesion (c) and friction angle () using qc, u and fs from the
piezocone test, considering the bearing capacity mechanism of
failure at the cone tip and a direct shear failure along the
penetrometer sleeve. The authors state that one of the
advantages of this method is the improvement of the accuracy in
the case of (eventually) using erroneous data related to all three
outputs from the CPTu test. The paper presented laboratory test
results, together with two sets of nonlinear equations derived by
the proposed approach and existing correlations for both c and
parameters. The authors state that the obtained by current
techniques is relatively higher than real measured values.
However, when adopting the advocated method, the
comparisons indicate a good consistency with lower scatter.
th
of structures. The paper presents deformation characteristics

estimated from CPTU and SDMT tests in clays, and focuses on
a method to identify soil preconsolidation and to establish
relationships between deformation moduli derived from CPTU
and SDMT tools. The authors concluded that the simultaneous
use of CPTU and SDMT provides a continuous picture of the
changes in stiffness of heterogeneous subsoil. They emphasized
the need for establishing specific calibration functions for each
soil type, which may be a useful tool in the construction of a
model for the subsoils rigidity based on G0 or M0 values.
Lius et al. paper reports the practice and development of
the piezocone test in the geotechnical engineering field of
China. In this paper, the history and current development status
of CPT and CPTu in China practice were systematically
presented. The most used (standard) cone has the 10 cm2 tip
area, but both 15 and 20 cm2 CPT probes are frequently used in
China. The relationship between international standardized
CPTu and Chinas CPT is based on a large data bank of testing
results related to a great number of soils. The paper presents a
comparison review of the soil characterization methods in
China, including the determination of stress history,
deformation, consolidation and permeability characteristics.
The paper from Espinace et al. presents their 10 years of
experience on the use of Panda penetrometer to assess the
stability of Chileans tailings dams. The authors report around
40 cases of mechanical instability from tailing dams in Chile,
which were mainly due to liquefaction, slipping of banks, or
settlement. The paper presents the main results that have
allowed the proposition of a new methodology to control and
diagnose tailing dams. It is based on in-situ determination of the
geomechanical parameters (internal friction angle and density
index) using the Panda penetrometer in order to characterize
the constituent materials and their variability. The authors also
pointed out that this methodology allows taking into account the
variability concept for stability and liquefaction risk studies
when using a probabilistic approach.
Hamza & Shahiens paper studies the compressibility
parameters of Egyptian cohesive soils via piezocone tests. The
major objective was to provide additional data on drained
compressibility parameters, focusing on the constrained
modulus (Mo) and on the overconsolidation ratio (OCR) for
cohesive soils from geotechnical investigations at seven major
sites of the Nile delta river deposit in Egypt. Enhanced
propositions to estimate the OCR and Mo for the studied clays
are presented, allowing settlement analyses to be done with the
proposed equations. The authors believe that the presented data
and correlations are a valuable contribution, since it improves
the current state of the art in estimating the compressibility
parameters of sedimentary soils with the CPTU test.
5.2. Parameter evaluation

The paper from Tumay et al. discusses the challenge for the
effective identification of organic content in the soil based on
traditional CPT and CPTU methodologies. It is very important
to overcome this interpretation limitation since the cone is a
popular and handy tool for subsurface investigations and soil
characterization. The paper presents a comprehensive
CPT/CPTU-based organic content identification method using a
probabilistic soil classification system. The paper describes the
probabilistic method, which employs a non-traditional modeling
approach that takes the uncertainty of the correlation between
soil composition and soil behavior into account. The authors
affirmed that the use of the compositional soil classification (U)
and in-situ behavior (V) indexes for organic profiling improves
the capability of determining organic material at any given
depth. A detailed description of the proposed methodology and
the discussion of its effective application are included in the
paper.
Mulabdics paper presents the use of penetration testing
devices, including the CPT and SDMT, for site characterization
of a compacted earth dam. This is a case study of a small earth
dam for which the remediation work was necessary given
construction errors and the possible damage to the earth
structure during the filling stage of the reservoir. The site
investigation campaign consisted of drilling boreholes and
carrying out in-situ tests (4 CPTs and 3 SDMTs) along the crest
of the dam, complemented with laboratory tests. The paper
focused on assessing the potential of these in-situ tests in
describing physical and mechanical properties of the compacted
(man-made) clay strata, since the traditional interpretation
methods were developed for natural soils. The authors
concluded that both CPT and SDMT clearly detected the
inhomogeneous clay conditions. They also showed remarkable
repeatability and proved to be valuable tools in characterizing
the embankment quality, both in terms of non homogeneity and
of physical and mechanical properties.
Zabielska-Adamska & Sulewska present the use of both
static (classic) and dynamic CBR methods to establish
relationships between the bearing ratio and degree of
compaction of fly ash. The objective was the use of the
compaction degree, and also the California Bearing Ratio, as an
indicator of the soil bearing capacity in compacted material. The
dynamic CBR test is described in the paper, where fly ash
samples were compacted by the standard and modified Proctor
methods without soaking to replicate field conditions during
earth structure construction. Test results indicate that both the
dynamic CBR as well as the classic CBR are closely connected
with the characteristics of compaction, and can therefore be
used to assess the compaction of fly ash and cohesive soils. The
authors suggested that the dynamic CBR test should be widely
used as an alternative way to the classical method of quality
control to assess the subgrade capacity of the soil.
The paper from Chapuis discusses scale effects in the
permeability of sandy aquifers. The authors initial hypothesis is
that the large-scale tests are more likely to meet preferential
flow paths, so yielding larger K values than small-scale tests,
which may be viewed as some sort of scale effect. In the paper,
the small scale was simulated via lab soil samples, the middle
scale from field permeability tests, and the large scale with site
pumping tests. The paper presents and discusses some few real
case studies, observing that for all of them the K distributions
provided consistent images of the aquifers. It was finally
concluded that scale effect was not of importance for the test
interpretation in such phreatic deposits.
Mlynareks et al. paper discusses the interrelationship
between deformation moduli from CPTU and SDMT tests in
overconsolidated soils. The authors point out that glaciations in
Poland overconsolidated its deep soil layers. So, it is imperative
to take it into account in calculations of differential settlements
6.
FINAL REMARKS
Site characterization using in-situ testing techniques has

considerably changed in the last two decades along with the
rapid transformation and advances of the technology, either by
the development of newer and economical electronic devices
operated by laptop computers or by new mathematical and
software approaches based on multi-variable, statistical or
probabilistic calculations. Besides of such remarkable
accomplishments, the traditional old fashion (past century.)
laboratory and site investigation methods are still widely in use,
sometimes as the preferential or unique available method. It was
clear from aforementioned review that, on the 21st century, the
proper site investigation, material characterization and soil
behavior prediction for the geotechnical design cannot solely
rely in one isolated test technique, or on simple local
unadjusted correlations that are probably not universally valid.
Higher sensorial levels of testing tools and combined
investigation procedures are surely now available that can be
477
th
applied on a more regular basis, especially for large or

important jobs. Improved interpretation methods or background
geotechnical theories, advanced computer software codes, and
more prominent hardware equipment, should further be
explored in research as well as in practical in-situ testing
settings. This is a challenge for the overall community as a
whole, from practitioners to academicians, manufacturers, and
designers. Nevertheless it can not be accomplished without a
strong change in mentality from the geotechnical field itself,
moving from a priced-based design to perhaps a more
expensive and sound quality-based criteria.
The papers presented in this Conference Session show how
in-situ testing technology has developed, matured, and used to
tackle several geotechnical problems of difficult order, for
instance from the uncertainty in site characterization and
understanding of different geomaterials, to the challenging task
of retrieving high quality soil samples in a difficult
environment. Sometimes, in standard project cases, only
traditional tests were required and used for the site
characterization. However, in more complex or ambivalent
conditions, the usage of todays available technological
advances was surely an asset for the design. Although not
directly mentioned throughout this review, the human factor,
i.e., the good education based on solid concepts of the
geotechnical area together with the access to a free flow of
technical information and knowledge, will be the key factor for
the transformation of our field, and the future society, as we all
envisage with rational use of resources and technology, selfsustained projects, quality based design and environmentally
safe site procedures.
7.
ACKNOWLEDGEMENTS
The authors acknowledge the hard work of some of the Ph.D.

candidates from the Geotechnical Graduation Program of the
University of Braslia during the early stages of paper
compilation and description. Therefore they are indebted to the
work of the engineers Osvaldo Neto, Edgar Rincon and Raydel
Lorenzo. Additionally, this report would not be possible without
the use of the language skills from engineer Adrien Treguer,
native in French, who is a student from Clermont-Ferrand
University and fortunately happens to be at the moment in an
undergrad exchange program with the University of Brasilia.
8.
REFERENCES
Al-Saoudi N.K.S.; Al-Khafaji A.N., Al-Saoudi N.K.S. Challenging

problems of gypseous soils in Iraq.
Amoroso S.; Totani F., Totani G. Site characterization by seismic
dilatometer (SDMT): the Justice Court of Chieti.
Baud J.P., Gambin M. Dtermination du coefficient rhologique de
Mnard dans le diagramme Pressiorama.
Baud J.P.; Gambin M., Schlosser F. Courbes hyperboliques contrainte
dformation au pressiomtre Mnard autofor.
Bellato D.; Simonini P.; Grisolia M.; Leder E., Marzano I.P. Quality
control of Cutter Soil Mixing (CSM) technology A case study.
Benz M. A.; Escobar E.; Gourvs R.; Haddani Y.; Breul P., Bacconnet
C. Mesures dynamiques lors du battage pntromtrique
Dtermination de la courbe charge enfoncement dynamique en
pointe.
Cao L.F.; Peaker S.M., Ahmad S. Performance of a deep excavation in
downtown Toronto.
Chapuis R.P. Permeability scale effects in sandy aquifers: a few case
studies.
Chen L.; Chen Y.C.; Chen W.C., Liu H.W. A study of cuttability
Indices for tunnel penetration.
Chou J. C.; Huang C. R., Shou K. J. Survey results of damaged areas in
flood disaster of Typhoon Morakot and suggestions for restoration
projects.
478
Espinace R. A.; Villavicencio G. A.; Palma J.; Breul P.; Bacconnet C.;
Benz M.A .N, Gourvs R. Stability of Chileans tailings dams with
the Panda penetrometer. Experiences of the last 10 years.
Fenton G.A.; Hicks M.A. Site sampling: assessing residual uncertainty.
Frost J. D., Martinez A. Multi-sleeve axial-torsional-piezo friction
penetration system for subsurface characterization.
Galaa A.; Manzari M., Hamilton B. Hydraulic properties of glacial
deposits based on large scale site investigation.
Giacheti H. L.; Pedrini R. A. A., Rocha B. P. The seismic SPT test in a
tropical soil and the G0/N ratio.
Hamza M., Shahien M. Compressibility parameters of cohesive soils
From piezocone.
Haza-Rozier E.; Vinceslas G.; Le Kouby A., Crochemore O.
Comportement de la structure de sol amlior par inclusions
rigides, supportant une olienne.
Hokmabadi A.S.; Fatahi B., Samali B. Seismic response of
superstructure on soft soil considering soil-pile-structure
interaction.
Ivi T.; Ortolan ., Kavur B. Applicability of the RNK-method for
geotechnical 3D-modelling in soft rocks.
Jacquard C.; Rispal M.; Puech A.; Geisler J.; Durand F.; Cour F.;
Burlon S., Reiffsteck P. Une nouvelle sonde permettant de mesurer
sans extrapoler la pression limite pressiomtrique des sols.
Jeon B.G., Mimura M. Long-term Deformation of the reclaimed
pleistocene foundation of the offshore twin airport.
Kayser M., Gabr M. Assessment of scour potential using in-situ jetting
device.
Kim A. R.; Cho G.C.; Kwon T. H., Chang I. H. Practical reviews on
CO2 sequestration in Korean sedimentary basins and geophysical
responses of CO2-injected sediments.
Lin B.S.; Ho H.C.; Hsiao C.Y.; Keck J.; Chen C.Y.; Chi S.Y.; Chien
Y.D., Tsai M.F. Using multi-scale sediment monitoring techniques
to evaluate remediation effectiveness of the Tsengwen Reservoir
watershed after sediment disasters induced by Typhoon Morakot.
Matei L.; Mihaljevi I.; Grget G., Kvasnika P. The use of hydro test
results for design of steel tanks on stone column improved ground a case history.
Mynarek Zb.; Gogolik S., Sanglerat G. Interrelationship between
deformation moduli from CPTU and SDMT tests for
overconsolidated clays.
Monnet J. Le Gomcamtre, un nouvel essai in-situ adapt la mesure
des caractristiques hydro-mcaniques du sol.
Motaghedi H.; Eslami A., Shakeran M. Analytical approach for
determining soil shear strength parameters from CPT & CPTu data.
Mulabdic M. Use of penetration testing for determination of soil
properties in earth dam.
Nishimura S.; Shuku T., Suzuki M. Diagnosis of earth-fills and
reliability-based design.
Phoon K.K., Ching J. Construction of virtual sites for reliability-based
design.
Poulsen R.; Nielsen B. N., Ibsen L. B. Correlation between cone
penetration rate and measured cone penetration parameters in silty
soils.
Rito F., Emura T. Sampling method and pore water pressure
measurement in the great depth (-400m).
Serratrice J.F. Une mthode de classification de la sensibilit des sols au
moyen du pizocne.
Shulyatiev O.; Dzagov A.; Bokov I., Shuliatev S. Correction of soil
design parameters for the calculation of the foundation based on the
results of barrettes static load test.
Somasundaram S.; Khilnani K.; Shenthan T., Irvine J. Characterization
and modeling settlement of deep inert debris fills.
Songyu. L; Guojun. C; Anand J. P., Yanjun D. Practice and
development of the piezocone penetration test (CPTu) in
geotechnical engineering of China.
Steenfelt J.S.; Yding S.; Rosborg A; Hansen J.G., Yu R. Site
characterization of the HZM immersed tunnel.
Svinkin M.R. Controversial and contradictory evaluations in analysis of
ground vibrations from pile driving.
Tmay M. T.; Hatipkarasulu Y.; Marx E. R., Cotton B. CPT/PCPTbased organic material profiling.
Yasufuku N.; Ochiai H., Maeda Y. Geotechnical challenge for total cost
reduction related to construction of connecting bridge with pile
foundations.
Zabielska-Adamska K., Sulewska M.J. CBR as a method of
embankment compaction assessment.
Challenging Problems of Gypseous Soils in Iraq

Des problmes difficiles des sols gypseux en Irak
Al- Saoudi N.K.S.
University of Technology-Baghdad-Iraq
Al- Khafaji A.N., Al- Mosawi M.J.

University of Baghdad Baghdad- Iraq
ABSTRACT: Gypseous soils are classified as one of the problematic soils due to their complex and unpredictable behaviour.
They exist in many parts of the world, concentrated mainly in arid and semi-arid regions. In Iraq gypseous soils cover about 20 to
30 % of its total area concentrated primarily on the west desert and extended to the southern parts and directed towards south
west. Gypsum soils experience sudden collapse upon exposure to water, losses of serviceability of many structures were observed
in different parts of Iraq. Extensive research was made in Iraq to investigate and understand the behavior of Gypsum soils and to
set safety limits for the collapse and suggest practical precautions during construction. The enormous amount of data collected
from different research sources revealed wide spectrum of information covering the overall performance of Gypsum soils under
different environmental and climate conditions The present paper focuses on the main geotechnical properties of gypseous soils
and their effect on the collapsible mode of failure, some practical solutions are also proposed that provide safety precautions
RSUM : Les sols gypseux sont classs comme des sols problmatiques cause de leurs comportements complexes et imprvisibles. Ils existent dans plusieurs rgions du monde, principalement dans des rgions aride et semi-aride. En Irak, les sols gypseux
couvrent entre 20 et 30 % du pays et sont principalement concentrs dans le dessert de louest et stendent vers les rgions du sud
et orientes vers le sud-ouest. Les sols gypseux seffondrent soudainement lorsquils sont soumis leau et beaucoup de structures
inutilisables ont t observes dans diffrentes zones en Irak. Des recherches approfondies ont t menes en Irak pour tudier et
comprendre le comportement des sols gypseux afin de dterminer les limites avant leffondrement et de suggrer des prcautions
concrtes lors de la construction. Lnorme quantit de donnes recueillies auprs de diffrentes sources a rvl un large spectre
dinformations couvrant lensemble des performances des sols gypseux sous diffrentes conditions environnementales et climatiques. Le prsent document se concentre sur les principales proprits gotechniques des sols gypseux et sur leurs effets sur les
croulements de structure, enfin quelques solutions pratiques sont aussi dveloppes pour proposer des mesures de scurit.
KEYWORDS: Gypsum,collapsibility, Gypseous Soils, Problematic Soils

1. INTRODUCTION
Gypseous soils are one of the most complex materials that
challange the geotechnical engineers. Structures or dams
founded on gypseous soil may experience unpredictible deformations that ultimatley may cause catostrophic failure. In iraq it
has been reported that several structures have experienced different patterns of cracks and uneven deformations generated
primearly from the exposion of the supporting gypseous soils to
water. It is a well known fact that gypseous soils demonstrate
high bearing capacity and very low compressibility when they
are in the dry state. On the contrary a sudden collapsibile behaviour was reported when the gypseous soils are exposed to water.The collapsibility of gypseous soils results from the direct
contact of water. The dissolution of different types of salts contained inside the mass of gypseous soil will generate new pores
inside the soil skeleton and loosen the cementing bonds between
the particles. This process creates a meta stable structure that facilitates the sliding of particles into a more dense state. The rate
of dissolution of gypsum depends primarily on environmental
changes in moisture content generating from fluctuation of
ground water table and /or surface water, climate changes typically temperature, permeability and state of flow conditions in
addition to the type and content of gypsum.
During the last three decads many attempts were made in
Iraq through intensive research programs set in many institution
to investigate and underestand the behaviour of gypseous soils
under various enviromental and loading conditions. The first ob-
479
jective of these research programs was to determine the physical

proerties of the gypseous soils and to check whether staandard
tests can be used and if not what modifications are required. Following that several attempts were made to determine the geotechnical properties such as compressibility, collapsibility and
shear strength parameters under various flow and environmental
conditions and loading conditions. The tests were performed using triaxial and Rowe cells allowing soaking and leaching of the
soil samples. Plate load tests were also performed under different soaking periods to moniter the generated deformation with
time. Numerical techniques were also used to simulate the disolution process of gypsum under soaking and leaching conditions.
The abundant amount of data obtained from the lengthy research programs revealed in many cases contradicting results
due to the complexity of the gypseous soils. So no regid conclusions are yet been drawn.
The paper sheds the light on the distribution of gypsum in
Iraq. A summary of main physical and geotechnical properties
with emphises on the collapsibility is presented and a some remidied are proposed.
2. DISTRIBUTION OF GYPSEOUS SOILS IN IRAQ

Gypseous soils exist mainly in arid and semi arid regions,
concentrates in contenents like africa,central and souther asia.
Iraq is among the contries of south asia where gypsum covers
about 12 % of its total area. (FAO 1990), although more recent
study (Ismail 1994) reported that gypseous soils cover 31.7 % of
the total area of iraq.the first map demonstrating the distribution
of gypsum in iraq was presented by (Buringh 1960) indicating
five zones as shown in figure 1. The primary gypsum is located
in the extreme north area between tigres and euphraties rivers.
The second zone where primary gypsum mixed with limstone
located below and parrallel to the euphraties river extending
from the west desert to the south. The secondary gypsum is
identified in two areas, one in the north below the first zone and
one in the south west. The fourth zone is gypsiferous alluvium
extens from the north in a narrow band and gradually widened
towards the south. The fifth zone representing the non
gypsiferous soil, mainly limestone is identified in two ares one
in the north east and the other in the west desert.
This indicates how serious the challanges are for geotechnical

engineers when dealing with such unpredictible material.
Slightly over gypsum bedrock

Moderately to highly gypseous soils
over gypsum and anhydrate rock
Gypsum desert
Highly gypsiferous soils on Pleistocene terNon to slightly gypseous soil
Moderately to highly gypsiferous associated with lime
Figure 2 Distribution of gypsum in Iraq (Al Barazanji 1973)

3. PROPERTIES OF GYPSEOUS SOILS
Figure 1 first map of distribution of gypsum in iraq
A more refined map exhibiting the distribution of gypsum in
iraq was presented by (Al-Barrazanji 1973). He investigated
thoroughyl the type and gypsum content in different parts of
iraqand proposed the map shown in figure 2.Six zones are
distiguished according to their origin and gypsum content.Zone
one of slightly gypseous over gypsum bedrock denoted by narrow parallel lines taking the shape of a triangle in the upper
north of Iraq. The second zone is of moderately to highly gypseous soils over gypsum and anhydrate rock denoted by wider
parallel lines, located in the north part between the Tigress and
Euphrates rivers. Zone three is gypsum desert denoted by a mesh
of small squares, located between zones one and two in the
north. Zone four contains highly gypsiferous soils on Pleistocene
terraces covering two narrow strips on the left and right of Tigress River denoted by moderately dense dots. The fifth zone is
non to slightly gypseous soils denoted by parallel hashes, extends from the upper mid third of Iraq up to the Kuwaiti borders
in the south. The sixth zone is moderately to highly gypsiferous
soil associated with lime denoted but heavily condensed dots,
covering the west jazeria. The two maps comply each other in
most of their subdivisions with slight divergence in others, although different terminologies have been used. Based on figure
two, if the soil in zone four is considered as non gypseous soil
that does not possess any hazardous impact then most likely 50
to 60 % of the totalarea of Iraq is covered with active gupsum.
480
The Physical, chemical and geotecnical properties of gypseous

soils collected from different parts of Iraq are summarized and
discussed below.
3.1. Physical properties
The physical properties of natural gypseous soils varies considerably with the amount and type of gypsum soil in addition to
the texture and constituents of the soil
3.1.1. Specific gravity
(Schultz and Cleaves 1955) reported that the specific gravity of
gypsum ranges between 2.31 to 2.33, increased to 2.95 for anhydrite type. Thus any increase in gypsum content of specific
gravity less than 2.33 will lead to a decrease in specific gravity
of thr soil. (Saleam 1988,Nashat 1990 and Al- Mufty 1997)
reached to the same finding unless the gypsum of the unhydrated
type.
3.1.2. Maximum dry unit weight
The results of maximum dry unit weight showed contradicting
relationship with gypsum content.(Khattab 1988 and AlDulaimy
1989) found that the dry unit weight increases with increasing
gypsum content up to a certain limit followed by a gradual drop.
On the other hand (Subhi 1987 and others) reported a decrease in
dry unit weight with increasing gypsum content. Further

more,(Al Heeti 1990) showed an increase in dry unit weight with
increasing gypsum content. This descrepency may be due to the
type of gypsum ( hydriate or anhydriate), type of soil and range
of gypsum content considered in the investigation.
The same researchers and many others showed that the coefficient of consolidation remains unchanged with increasing gypsum content.
3.1.3. Soil constiuents and texture
Gypseous soils are distinguished by their collapsible behaviour

upon wetting. The term collapse potential is used to classify the
hazarduse state of collapsibility. ( Jennings and Knight 1957)
proposed a double oedometer collapse test to predict the collapsibility of the foundation soil. Two identical samples are
tested, one at natural water content and the other after submergeing in water for one day.The collapse potential C.P. is defined as
The samples of gypseous soils collected from different parts of

Iraq showed that gypsum exists primearly in Sandy soil and silty
sand and less in silty clay or clayey silt. The presence of appreciable amount of gypsum creats problems in determining the
constituents of the soil. During sedementation test disolution of
gypsum will occur causing the flucculation of silt and clay particles.Pretreatment with water was suggested by (Al-Khashab
1981 and Mohammed 1993). EDTA was suggested by ( ALKhuzaie 1985 and others). Most of the treated agents used cause
distruction of bonds and most likely revealed an unreliable
amount of constituents.
3.3.2. Collapsibility
C.P. = e / 1+ eo
(1)
Where
e is the difference in void raio of the two samples at a specific
stress
eo is the natural void ratio
3.2. Chemical properties

The severity according to the collapse potential is shown in table
1.
3.2.1 Chemical compsition of gypsum

Pure chemical proportions of gypsum as reported by (Nashat
1990) are
20.9 % combined with water
46.6 % sulphur trioxide SO3
32.5 % calcium oxid CaO
(Majeed 2000) observed that the alkalinity increases with increasing gypsum content. On the other hand the electrical conductivity, cation exchange capacity and exchangeble sodium
percentage decrease with increasing gypsum content.
Table 1. Collapse identification ( Jennings and Knight 1975)

Severity No prob- Moderate
Trouble
Severe
Very
lem
Severe
C.P. %
0-1
1-5
5-10
10-20
> 20
(Saleem 1988, Nashat 1990 and many others), found that the
collapse potential under a constant stress of 200kN/m2 increases
with increasing gypsum content. The gypsum content of the
tested samples ranged between 20 - 80% revealed a moderate
type of 4 % maximum collapse potential.
3.2.2. Solubility of gypsum

3.3.3. Moduluse of deformation
The most effective parameter in the general behaviour of gypsous soils is the solubility. Gypsum is classified as a moderate
soluable salt. The solubility of the hydrated type in pure water is
2g/l ( Hesse 1971). Some higher values, 2.41g/l and 2.6g/l , were
reported for Iraqi gypseous soils ( Sirwan etal 1989, Seleam etal
1988)
The rate of dissolution of gypsum is responsible for the development of cavities and sinkholes. It is very complex to be evaluated as it is affected by many environmental conditions such as
temperature,source of water,time, concentration of sodium chlorid and calicum sulphate etc.
Al Khafaji etal 2009 investigated the deformability of gypseous

soils through plate load tests performed on natural and soaked
soils. The tests were performed on two sites GP-GM soil and
SM soil and socking period extended to 7 -11 days under 300
mm head of water. All types of stiffness moduli were calculated,
the initial tangent moduluse, the permissible secant modulus at
half the yeild, the yeild secant modulus at the yeild and the yeild
tangent modulus after the yeild. The outcomes revealed that
soaking decresed the stiffness moduli in the range of 2 to 5 folds
for GP-GM soil and from 2 to 3.5 for SM soil. The field tests
highlights on the hazardius degree of constructing structures on
gypsious soils without awarness of the expected generated settlements that may result from the contamination of water.
3.3. Geotechnical properties
3.3.4. Hydraulic conductivity
The geotechnical prperties of gypseous soils cover, compressibility, collapsibility, permeability and shear strength parameters
( c and )
Hydraulic conductivity or coefficient of permeability of gypseous soils is very hard to predict. Standard constant head test on
sandy gypseous soils does not reveal reliable results as the gypsum disolves during flow creating more free space for the soil
particles to reorient themselves to a closer state of packing, causing a suddent fluctuation of rate of flow during test This phenomenon is very difficult to evaluate as the dissolution process
is influenced by many factores like type and amout of gypsum,
hydralic gradient, initial placement of soil sample. Attempts
were made to perform leaching permeability tests under different
stress levels using Rowe cell (Al-Kaisi 1997 and many others).
(Al- Qaissi 2001 and many others) using triaxial permeability
leaching apparatus cited that the variation in hydraulic gradient
combined with diffusion of gypson encountered serious difficulties in predicted reliable values of the coefficient of permeability.
3.2.3 Rate of dissolution of gypsum
3.3.1. Compressibility
More than ten researchers have investigated the influence of
gypsum on the copressibility characterstics.(Al-Khashab 1981
and many others) reported a decrease in the copression index
with increasing gypsum content. It is hard to judje about the contradicting results as many parameters such as the placement conditions, degree of disturbance, and testing methodology. Similar
contradicting results were reported for the recompression index.
Most of the researchers demonstrated an increase in the secondary compression index with increasing gypsum content. This
phenomenon is attributed to the contieous dissoltion process of
gypsum with timeas reprted by (Saleam 1988 and Nashat 1990).
481
4. PROPOSED REMEDIES FOR GYPSEOUS SOILS
5. CONCLUSIONS
The invenitable geotechnical problems associated with the abandance of gypseous soils in Iraq create real challanging issues.
Based on that proposals were made for treatment of soils focussing on controlling the settlement and reducing the coefficient of
permeability or preventing any contact of water between the
foundation soil and any source of water. All the proposed treatments are based on elemt tests and not verified by field applications
Inspite of the abandant data collected concerning the

the geotechnical properties of gypsefeous soils and the attempts
to investigate and understand the behaviour of gypseous soils
under different stresses and environmental conditions.The
challanges still exist due to the scarceyt and complexity of such
natural material. No real firm solution or a general improvement
technique can be proposed. It is advised that geotechnical engineers must investigate each case seperatly depending on the type
of structure, characteristics of site, environmental conditions
coupled with the engineering judgement of the consultant.
4.1. Chemical treatment

The treatment materials proposed are basically cement, lime and
petroleuum products
4.1.1. Treatment with cement
(Khattab1986) reported that sulphate resisting cement improved
the unconfined compression strength of granular gypsified soil,
but a substaintial amount of reduction in strength and stiffness
upon immersion in water.
4.1.2. Treatment with lime
Al-Obaidy 1992 and Al-Zory 1993 showed that mixing 5 -7 %
lime with gypsous soil of 43 % gypsum content exhibited an increase in strength and high resistance to leaching. It is reported
that the soil became practically impermeabile after 28 days curing.
4.1.3. Treatment with petroleum products
Various types of petroleum products such as kerosene, automobile oil ,fuel oil and bitumenous materials such as S-125 and R250 were proposed as improvement agents for gypseous soils.
(Saleam 1988) found that treating soil of gypsum content between 40-50 % with kerosene caused a decrease in compressibility and permeability by delaying the removal of gypsum.(AlAqaby 2001) observed a reduction in cohesion of soil of gypsum
content between 30 -67 % upon immersion in water or kerosene.
The angle of internal friction was reduced by 6 degrees upon
soaking in kerosene.
(Al-Kaisi 1997) found that 4 % automobile oil caused a reduction in the coefficient of permeability by not less than ten
folds.
(AlHassany 2001)perfromed consolidation tests on two
samples of gypsum content 26 % and 51% treated with fuel oil.
The fuel oil tends to to fill the pores of soil and prevent water
perculation and hence reduce the permeability. The presence of
fuel oil also reduced the copmressibility and collapsibility.
Bitumenous materials S-125 and R-250,emulsified asphalt,
Cut-Back MC-30 were used by (Al-Morshedy 2001 and many
others). Gypseous soils treated with one of the above materials
showed reduction in coefficient of permability as well as compressibility and collapsibility.
4.2. Physical treatment
(Al-Khafaji 1997) developed simple and quick equations for estimating the optimum water content and maximum dry unit
weight to control field compaction of soils with gupsum content
ranging between 0.5 -50 %.
482
6. REFERENCES
FAO. 1990 . Management of gypsiferous soils. Food and Agricultural
Organization
of
United
Nations
Rome.
Internet
http//fao.org/docrep/to323e/ro323e03.htm
Ismail H.N. 1994. The use of gypseous soils. Symposium on Gypsiferous soils and their effect on structures. NCCL Baghdad. Iraq
Buringh P. 1960. Soils and soil conditions in Iraq. Ministry of Agriculture . Baghdad. Iraq
Al-Barazanji A.F. 1973. Gypsiferous soils in Iraq. PhD. Dissertation.
Ghent University. Belgium.
Shultz J.R. and Cleaves A.B. Geology in engineering.John Wiley and
sons . New York
Saleam S.N.1988. Geotechnical characteristics of gypseois sandy soil including the effect of contamination with some oil products. MSc.
Theisis . University of Technology. Baghdad.Iraq.
Nashat I.H. 1990. Engineering characteristics of some gypseous soils in
Iraq. PhD. Thesis . University of Baghdad. Iraq
Al- Mufty A.A. 1997. Effect of gypsum dissolution on the mechanical
behaviour of gypseous soils. PhD. Thesis . University of Baghdad.
Iraq
Khattab S.A. 1986. Effect of gypsum on strength of cement treated
granular soil and untreated soil. MSc. Thesis . university of Mosul.
Iraq
Al-Dilaimy F.H. 1989. Effect of gypsum content on strength and deformation of remolded clayey soil. MSc.Thesis University of
Salahddin. Iraq
Subhi H.M. 1978 The properties of salt contaminated soils and their influence on the performance of rocks in Iraq. PhD. Thesis Queen
Mart College. University of London
Al-Heeti 1990. The engineering properties of compacted gypsified soil.
MSc. Thesis. University of Baghdad. Iraq
Al- Khashab M.N. 1981 Investigation of foundation soil behaviour of
Qadisiah site Mosul. MSc. Thesis. University of Mosul.
Mohammed R.K. 1993 Effect of wetting and drying of engineering characteristics of gypseous soils. MSc. Thesis University of technology.
Baghdad. Iraq.
Al-Khuzaie H.M.A.1985 The effect of leaching on the engineering properties of Al-Jezirah soil.. MSc. Thesis . university of Mosul. Iraq
Majeed A.H. 2000. Data base for gypseous soils. PhD. Thesis University
of Baghdad. Iraq.
HesseP.R. 1971. A textbook of soil chemical analysis. Chemical publishing co..Inc.New York pp520
Jennings J.E. and Knight K.1957. The additional settlement of foundationsandy subsoil on wetting. Proceeding 4th Int. Conf. Soil mechanics and foundation engineering . vol.1. pp316-319
Al- Khafaji A.N, Al-Mosawi M.J., Khorshid N.S. and Al-Obaid B.M.
2007 Proceeding of the 17th ICSMGE Alexandia .Eygept pp 727729.
Al- Khafaji A.N. Densification of gypseous soil by compaction. Symposium on ground improvement geosystems. London
Al-Morshedy A.D. 2001 The use of cutback MC-30 for controlling the
collapsibility of gypseous soils.MSc.thesis. University of Technology. Baghdad.Iraq.
Site characterization by seismic dilatometer (SDMT): the Justice Court of

Chieti
Caractrisation du site par dilatomtre sismique (SDMT): la Cour de justice de
Chieti
Amoroso S., Totani F., Totani G.
University of LAquila, Italy
ABSTRACT: A detailed investigation of several seismic dilatometer (SDMT) tests was performed in 2011 on Chieti hill to restore the
Justice Court, an historical building damaged by the April 6, 2009 LAquila earthquake. Moreover, boreholes were carried out to
investigate foundation base level and cyclic simple shear tests with double sample were realized to analyze the seismic site response.
The paper illustrates the potential of the seismic dilatometer to efficaciously approach a geotechnical problem by the interpretation
of SDMT parameters, as the shear wave velocity VS, the constrained modulus M and the horizontal stress index Kd. Fi- nally, the
paper combines SDMT results with laboratory data to analyze the site response of the Justice Court.
RSUM : Une tude dtaille de plusieurs sismiques dilatomtre (SDMT) tests a t ralise en 2011 sur la colline de Chieti pour
restaurer la Cour de justice, un btiment historique endommag par le tremblement de terre qui a eu lieu le Avril 6 2009 L'Aquila . En
outre, des sondages ont t effectus pour tudier le niveau de base de fondation et cycliques essais de cisaillement simple avec
chantillonnage double ont t ralises pour analyser la rponse sismique du site. Cet article montre efficacement le potentiel de la
dilatomtre sismique l'approche d'un problme gotechnique par l'interprtation des paramtres SDMTs, comme la vitesse de
l'onde de cisaillement VS, le module M et l'indice de contrainte horizontale Kd. Enfin, le document combine les rsultats SDMT aux
donnes de laboratoire pour analyser la rponse du site de la Cour de justice.
KEYWORDS: seismic dilatometer, horizontal stress index, shear wave velocity, site response analysis, local site effetcs.
INTRODUCTION
The April 6, 2009 LAquila (Italy) earthquake (MW = 6.3)

caused heavy damages not only in the city of LAquila basin but
also in few cities, as Chieti, approximately 100 km far from the
epicenter. In this respect, a detailed investigation of several
seismic dilatometer (SDMT) tests (Marchetti et al., 2008) in
virgin soils and inside boreholes backfilled with sand (Totani et
al. 2009), foundation boreholes and cyclic laboratory tests were
performed in 2011 on Chieti hill to restore the Justice Court, an
historical building damaged by the above mentioned earthquake. The geotechnical campaign allowed to characterize the
subsoil, to investigate foundation base level and to analyze the
seismic site response of this construction. In particular, the paper illustrates the potential of the seismic dilatometer to efficaciously approach a geotechnical problem by the interpretation of
SDMT parameters, as the shear wave velocity VS, the constrained modulus M and the horizontal stress index Kd, even combinig SDMT results with laboratory data for the evaluation of the
local site effects (e.g. topography, soil conditions) with mododimensional (1D) and bidimensional (2D) seismic site response
analyses.
2
GEOTECHNICAL INVESTIGATION ON CHIETI HILL
A detailed investigation of eleven SDMT tests, six in virgin

soil, each 10-20 m in depth, and five inside boreholes backfilled
483
with sand, each 30-50 m in depth, were performed in 2011 on

Chieti hill to restore the Justice Court, an historical building
damaged by the April 6, 2009 LAquila earthquake. Moreover,
boreholes were carried out to investigate foundation base level
and cyclic simple shear tests with double sample were realized
to analyze the seismic site response. The historical centre was
built on sandy and arenaria deposits (45 m in depth), while
moving towards the bottom of the slope the colluvial cover start
to emerge over the OC silty clay, as shown in Figure 1 together
with the shear wave velocity VS profiles.
Figure 2 emphasizes the main reason of the damage due to the
seismic action on the construction. As shown by the inspection,
the structure appears to be considerably fissured in its Southern
part, while in the Northern area it seems to be intact (Figure 2a).
This aspect can be justified referring to the four SDMTs performed along the perimeter of the building (Figure 2b). SDMT1
and SDMT4, as well as SDMT3 and SDMT2 profiles, can be
coupled. In fact, in the Northern part of the Justice Court the
constrained modulus M reaches on average values over 100
MPa and the horizontal stress index Kd indicates OC soils. Instead, in the Southern area, until about 8.00 m in depth, M assumes very low values (under 50 MPa) and Kd is about equal to
2 and thus Kd individuates NC layers (TC16, 2001). In both the
cases VS appears less sensible to the stress history and the stiffness of the deposits compared to M and Kd. In addition, the
boreholes on the foundations illustrate that in the Southern part
the base level is at about 4.90 m in depth. Then, before intercepting sandy and arenaria deposits, it was found a landfill layer
from 4.90 to 8.00 m. In terms of stiffness it means that in the
Northern portion of the structure the foundations stand on soil
with higher mechanical properties compared the soil in the
Southern part. A possible solution to restore the historical build-
ing is to improve the stiffness of the soils placed in the Southern

portion, without acting on masonry foundations. This achievement could be realized for example, using, from 4.90 to 8.00 m
in depth, special injections at low pressure, able to penetrate and
mix with the existing soil structure.
Figure 1. Geotechnical cross section with VS profiles.
Figure 2. (a) Justice Court: site investigation by Seismic Dilatometer; (b) SDMT results: M, Kd and VS profiles.
SITE RESPONSE ANALYSIS
Numerical analyses of seismic site response were carried out using the computer codes EERA (Bardet et al. 2000), a monodimensional linear equivalent model, and QUAD4M (Hudson et
al. 1994), a bidimensional linear equivalent model. that considers a cross section of 3.5 km of width, with 5860 elements and
5844 joints.
The evaluation of the local site effects (e.g. topography, soil
conditions) plays an important role in the non-uniform amplification response obtained at different sites (Paolucci 2002).
In order to compare the 1D and 2D analyses, the 1D elastic response spectrum were multiplied by the topographic amplification factor, assumed equal to 1.2 (CEN 2003). Both the analyses
were performed on the top of Chieti hill, in correspondence of
Southern portion of the Justice Court. Moreover, a 1D compari-
484
son was carried out between the Northern portion (absence of

filling material) and the Southern portion (presence of filling
material) to evaluate the site effects due to the different mechanical behaviour of the upper 8 meters.
3.1
Input ground motions
For the numerical analyses two natural accelerograms, applied

on the bedrock, were selected as input ground motions. Both the
accelerograms were chosen from the software REXEL (Smerzini et al. 2012) and the Italian Accelerometric Archive ITACA
(Working Group ITACA 2010).
The first accelerogram UM_EW is the strong motion recorded
at the Assisi station (Italy) during the September 26, 1997 Umbria-Marche (UM) earthquake (Mw = 6, on outcrop, normal
fault, site-source distance 20 km), scaled, according to CEN
(2003), to a peak ground acceleration of 0.164g, for a return period TR = 475 years and a soil type, for the site of Chieti. The
second accelerogram VN_NS is the strong motion recorded at

the Cascia station (Italy) during the September 19, 1979 Val
Nerina (VN) earthquake (Mw = 5.8, on outcrop, normal fault,
site-source distance 9 km), scaled to the same peak ground
acceleration of UM earthquake.
3.2
Geotechnical model
The geotechnical model of Chieti hill, used in the numerical

analyses, is illustrated in Figure 1 and 3 and Table 1, by including the soil and dynamics parameters (unit weight , Poisson
coefficient , shear wave velocity VS, stiffness decay curves
G/G0 and damping D curves).
16
1,2 - Fillin g material
14
4,5 - San d , San dstone

6 - OC Silty clay
0.6
12
7 - OC Silty clay
10
3 - Silty clay co lluvial cover

1, 2 - Filling material
0.4
4,5 - San d , San dstone
6 - OC Silty clay
0.2
7 - OC Silty clay
Damping Ratio D (%)
Normalized sher mo dulus G/G0
0.8
2
0
0.0001
0
0.001
0.01
0.1
Shear Strain (%)
Figure 3. Stiffness decay curves G/G0 and damping D curves of

Chieti hill for numerical analyses.
Table 1. Geotechnical model of Chieti hill for numerical analyses.
Material
VS
Layer
(kN/m 3)
(m/s)
Filling material
17.1
0.30
220
Filling material
17.1
0.30
440
Silty clay colluvial cover
18.7
0.45
280
Sand, sandstone
20.6
0.30
580
5
6
7
8
9
Sand, sandstone
OC silty clay
OC silty clay
20.6
20.2
20.2
0.30
0.45
0.45
Results
1.8
UM_EW Southern portion 1D
1.6
VN_NS Southern portion 1D
1.4
VN_NS Northern portion 1D
870
UM_EW Northern portion 1D
600
Average Southern portion 1D
Spectral acceleration Sa (g)
3.3
1D numerical analyses of seismic site response were carried out

by considering the Northern portion and the Southern portion.
The spectral accelerations (Figure 4) highlight the different mechanical behaviour of the upper 8 meters: the Southern portion
shows pronounced amplifications for a period of 0.1-0.2 s, that
is the fundamental period of the filling material, while the spectral accelerations of Northern portion appear lower.
2D numerical analyses of seismic site response were performed
by considering in the Southern portion two point, A and B, 20
m far from each other, shown in Figure 3. The peak ground accelerations (Figure 5) doesnt appear influenced by spatial position and input ground motion, even thought the analyses consider only two time histories. In addition, the spectral
accelerations emphasize the site effect due to the topography:
point A, closer than point B to the hillside, shows higher amplifications for a period of 0.2-0.4 s, compared to the ones of point
B.
The comparison of the average results from 1D and 2D numerical analyses in the Southern portion of the Justice Court (Figure
6) illustrates that the 1D peak ground accelerations are higher
than the ones evaluated from 2D analyses, probably due to the
higher sensitivity of 1D model to stratigraphic effects. In addition, 2D method shows local site effects mainly due to topography for a period of 0.3-0.4 s, that is the fundamental period of
the Justice Court.
18
an average value interpolated from the experimental relationship Crespellani et al. (1989) and SDMT profiles.
The site campaign of the Justice Court had provided only a cyclic simple shear tests with double sample in OC silty clay. In
this respect, the following reference laboratory curves were assumed to evaluate the non-linear and dissipative soil behaviour:
Anh Dan et al. (2001) for filling material, Marcellini et al.
(1995) for sand and sandstone, MSAQ Working Group (2010)
for silty clay colluvial cover. The bedrock has G/G0 - and D
linear behaviour.
800
Bedrock
21.0
0.30
1000
Bedrock
22.0
0.30
1300
1.2
Average Northern portion 1D
1.0
0.8
0.6
0.4
On the top of the hill, in correspondence of the Justice Court, the

subsoil was modelled by considering in the upper 8 m filling
material in the Southern portion of the Justice Court and sand
and sandstone in the Northern portion, sand and sandstone between 8 m and 42 m of depth, OC silty clay between 42 m and
342 m of depth and the bedrock beyond 342 m of depth, while on
the hillside the model reflects the silty clay colluvial cover in the
upper 15 m up to the OC silty clay layer. In the upper 50
meters the VS profile was defined as an average of SDMT profiles, while in the lower OC silty clay VS was estimated by using
485
0.2
0.0
0.0
0.5
1.0
1.5
2.0
2.5
3.0
Period T (s)
Figure 4. Spectral accelerations form 1D analyses.
3.5
4.0
Bardet J.P., Ichii K., Linn and C.H. 2000. EERA A Computer
Program for Equivalent-linear Earthquake site Response Analyses
of Layered Soil Deposits. University of Southern California.
CEN, EuropeanCommittee for Standardisation (2003) Eurocode 8: design provisions for earthquake resistance of structures, Part 1.1: general rules, seismic actions and rules for buildings, prEN 1998-1
Crespellani T., Ghinelli A. and Vannucchi G. 1989. An evaluation of
the dynamic shear modulus of a cohesive deposit near Florence, Italy. Proc. XII ICSMFE, Rio de Janeiro.
Hudson, M., Idriss, I.M., and Beikae, M. 1994. QUAD4M: A Computer
Program to Evaluate the Seismic Response of Soil Structures using
Finite Element Procedures and Incorporating a Compliant Base.
Center for Geotechnical Modeling, Dep. of Civil & Env.
Engng, University of California, Davis.
Marcellini A., Bard P.Y., Vinale F., Bousquet J.C., Chetrit D., Deschamps A., Marcellini A., Iannaccone G., Romeo R.W., Silvestri
F., Bard P.Y., Improta L., Meneroud J.P., Mouroux P., Mancuso C.,
Rippa F., Simonelli A.L., Soddu P., Tento A. and Vinale F. 1995.
The Benevento Seismic Risk Project. I- Seismotectonic and Geotechnical Background. Proc. 5th International Conference on Seismic
Zonation, Nice, France 1: 802- 809.
Marchetti S., Monaco P., Totani G. and Marchetti D. 2008. In Situ Tests
by Seismic Dilatometer (SDMT). In J.E. Laier, D.K. Crapps
& M.H. Hussein (eds),
From Research to Practice in
Geotechnical Engineering, Geotechnical Special Publication No.
180: 292311. ASCE.
MSAQ Working Group. 2010. Microzonazione sismica per la ricostruzione dellarea aquilana. Regione AbruzzoDipartimento della
Protezione Civile, LAquila, 3 vol. & Cd-rom (in Italian).
Paolucci R. (2002). Amplification of earthquake ground motion by steep topographic irregularities. Earthquake Engineering and Structural Dynamics, 31: 1831-1853.
Smerzini C., Galasso C., Iervolino I. and Paolucci R. 2012. Engineering
ground motion selection based on displacement-spectrum compatibility. Proc. 15th
World Conference on Earthquake
Engineering, Lisbon, Portugal, September 24-28, 2012.
TC16. 2001. The DMT in Soil Investigations. A Report by the ISSMGE
Committee TC16. May 2001, 41 pp. Reprint in R.A. Failmezger &
J.B. Anderson (eds), Flat Dilatometer Testing, Proc. 2nd Int. Conf.
on the Flat Dilatometer, Washington D.C.: 748.
Totani G., Monaco P., Marchetti S. and Marchetti D. 2009. Vs measurements by Seismic Dilatometer (SDMT) in non-penetrable soils. In
M. Hamza et al. (eds), Proc. 17th Int. Conf. on Soil Mechanics and
Geotechnical Engineering, Alexandria, 2: 977980, IOS Press.
Working Group ITACA. 2010. Data Base of the Italian strong motion
records: http://itaca.mi.ingv.it
1.8
UM_EW Southe rn portion 2D point A
1.6
VN_NS Southern portion 2D point A
1.4
B VN_NS Southern portion 2D point
UM_EW Southe rn portion 2D point
B Average Southe rn portion 2D
1.2
point A Average Southe rn portion

2D point B
1.0
0.8
0.6
0.4
0.2
0.0
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
Period T (s)
Figure 5. Spectral accelerations from 2D analyses.

1.8
Average Southern portion 1D
1.6
Average Southern portion 2D point A

Average Southern portion 2D point B
1.4
1.2
1.0
0.8
0.6
0.4
0.2
0.0
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
Period T (s)
Figure 6. Comparison between 1D and 2D spectral accelerations.
CONCLUSION
The paper illustrates the potential of the seismic dilatometer to

efficaciously approach a geotechnical problem by means of the
results analyses. While VS appears less sensible to both the
stress history and the deposits stiffness, M gives precious information on soil stiffness, while Kd provides for important details about the deposits overconsolidation. Combining SDMT
results with laboratory data it has been possible to evaluate the
the local site effects by means of 1D and 2D seismic site response analyses of the Justice Court. These numerical analyses
indicates that in complex stratigraphic and topographic conditions, it appear appropriate to combine 1D and 2D methods.
5
ACKNOWLEDGEMENTS
This study was founded by Provincia di Chieti and Studio Prof.

Marchetti s.r.l.
6
REFERENCES
Anh Dan,L.Q., Koseki,J. and Tatsuoka,F. 2001. Viscous deformation in

triaxial compression of a dense well-graded gravel and its model
simulation. In Tatsuoka et al. (eds) Advanced Laboratory Stress- Strain
Testing of Geomaterials, Balkema, pp.187-194.
486
th
Dtermination du coefficient rhologique de Mnard dans le diagramme

Pressiorama.
Obtaining the Mnard Rheological Factor in a Pressiorama Diagram.
Baud J.-P.
Eurogo, France
Gambin M.
Apago, France
RSUM: Louis Mnard a dfini le coefficient rhologique laide du rapport adimensionnel des deux caractristiques classiques
de lessai pressiomtrique EM/p*LM. La connaissance de ce rapport est un lment essentiel de la validit des calculs de dformation
du sol au contact de toutes sortes de fondations. Sa valeur dpend simultanment de la qualit de ralisation du forage
pressiomtrique, et de la proportion entre cohsion et frottement dans la rsistance du sol soumis lessai, cest--dire de sa nature.
Dans le but de complter par un axe des valeurs de le diagramme Pressiorama dsormais prsent dans certaines normes
dapplication de lEurocode 7, nous nous sommes talonns sur des essais pressiomtriques autofors par la technique STAF dans des
sols divers allant de sols trs mous des rochers trs massifs. En effet ces essais, de trs bonne qualit, permettent dobtenir des
valeurs EM/p*LM allant de 4 pour les sols purement granulaires plus de 100 pour les sols cohrents trs consolids et les roches. Les
auteurs proposent ici, partir de ces donnes, une expression, la fois chiffre et graphique, de la valeur du coefficient rhologique ,
base sur 3 paramtres EM, pLM et p0 - ce dernier estim ou, mieux, mesur et donc variable selon la profondeur de lessai dans le sol.
ABSTRACT: In the early years of the development of his direct method of design based on PMT results, Louis Mnard introduced
a rheological factor based on the ratio EM/p*LM for each test. The knowledge of this factor is necessary to estimate settlement and
horizontal displacement of all sorts of foundations. Its value is a function of both the quality of the borehole and the ratio between soil
friction and cohesion, i.e. its nature. In order to complete the Pressiorama diagram with a values axis, the authors used a
calibration mostly based on so-called self-bored PMT tests performed with the STAF technique, in various soil types from soft clay to
rock. These very good quality tests permit obtaining EM/p*LM values from 4 in granular soils to 100 in highly consolidated soils and
rock. From these data, the authors propose an evaluation of this rheological factor only based on the values of 3 parameters, namely,
EM, p*LM and the earth pressure at rest p0, either estimated, or, much better, measured during the early part of the test. Results are
given under the shape of an equation and graphically on the Pressiorama diagram.
MOTS CLS : Pressiomtre, autoforage, classification des sols, coefficient rhologique .

KEYWORDS: Mnard pressuremeter, self-boring, soil classification, rheological factor.
1
INTRODUCTION
Le rapport adimensionnel EM/p*LM des deux caractristiques

classiques de lessai pressiomtrique Mnard est un facteur
complexe et puissant, qui dpend simultanment de la qualit de
ralisation du forage pressiomtrique, et de la proportion entre
cohsion et frottement dans le comportement du sol soumis
lessai, cest--dire de sa nature. Son utilisation par Mnard
pour dfinir le coefficient rhologique est un lment
essentiel de la validit des calculs de dformation du sol par les
mthodes pressiomtriques.
Au cours des annes rcentes, en raison de laccroissement
des essais pressiomtriques produits par des oprateurs
manquant de formation et de matrise des techniques de forage
les mieux adaptes chaque type de sol, techniques spcifiques
cet essai mais remarque valable aussi pour tous les essais
gotechniques, de nombreux utilisateurs ont dcel une
distorsion entre les prvisions de tassement par la mthode
pressiomtrique et les dformations rellement observes sur les
ouvrage construits. La quasi-totalit des pratiques de forage
entranant le remaniement des parois de forage pressiomtrique
allant toujours dans le sens dune diminution parfois dramatique
des modules mesurs, les prvisions de tassement qui en ont t
dduites deviennent notoirement pessimistes, ceci alors mme
que la mthode de calcul, confirme par les normes et
4871
rglementations nationales et europennes, a montr depuis

longtemps sa fiabilit lorsquelle est applique des donnes de
terrain acquises dans des conditions de qualit normale.
(Baguelin et al. 1978).
Avec lmergence de codes de calcul aux lments finis, de
nombreux ingnieurs ont pens quil tait possible, voire
ncessaire, de dlaisser la clbre rgle souvent nomme T-0
(Mnard & Rousseau, 1962) pour le calcul du tassement partir
dun profil de modules pressiomtriques, au profit dune
modlisation numrique complexe tenant compte de la
gomtrie de linterface sol-structure, et de traiter le problme
de la dformation en appliquant ce modle des lois de
comportement bases sur llasticit linaire, laide dune
corrlation entre le module pressiomtrique et un module
dYoung.
Cette approche nous semble voue lchec, comme chaque
fois que lingnieur croit pouvoir fait fi de la mthode
exprimentale et la remplacer par des calculs que lon prend
pour rigoureux raison de leur complexit (Briaud & Gibbens
1994, Gambin 2003, Gambin 2010). Notre approche de ce
problme majeur relatif la crdibilit des prvisions de
dformation faites par lingnierie gotechnique, se distingue de
cette tendance aux modlisations complexes, et vise plutt
assurer ce qui fait loriginalit et la cause du succs de la
mthode pressiomtrique, cest dire atteindre rapidement un
th
rsultat par un calcul simple et fond sur une connaissance la

plus parfaite possible de la loi contrainte-dformation de la
sollicitation pressiomtrique du sol vierge. Dans ce sens, les
essais autofors dans la plus large gamme de sols possible sont
une bonne rponse (Arsonnet et al., 2005), car ils permettent
la fois la mesure du module initial G0, de la loi de dcroissance
du module avec la contrainte (Baud & Gambin, 2005 ; Baud &
Gambin, 2008 ; Baud et al., 2012 et 2013), enfin lvaluation du
coefficient (Baud, 2005 ; Baud & Gambin, 2012).
2 PARAMETRES PRESSIOMETRIQUES NECESSAIRES
ET SUFFISANTS A LA DETERMINATION DE .
2.1
Module EM, pression limite p*LM et confinement de

lessai.
La premire prsentation du coefficient rhologique en

tableau double entre, en fonction du rapport EM/p*LM et de
ltat de consolidation du sol, qui avait t donne dans la notice
D60 sur les rgles dexploitation des techniques
pressiomtriques et dexploitation des rsultats obtenus pur le
calcul des fondations (Mnard, 1968) a t reconduite telle
quelle dans les rglementations franaises puis europennes.
Mnard prvoyait pourtant de rviser le tableau en fonction de
rsultats dessais exprimentaux , raison principale pour
laquelle les valeurs de taient donnes sous forme de fractions
unitaires. Mais le principe tait tabli : est croissant quand
EM/p*LM est croissant, depuis le comportement sableux jusquau
comportement argileux, et croissant galement lorsque le sol
passe de la sous-consolidation ou de laltration la surconsolidation.
Pour suivre cette rgle usuelle, des lignes disovaleurs des
valeurs fractionnaires de peuvent tre traces directement
dans le diagramme bi-logarithmique Pressiorama (Baud,
2005) en log (p*LM), log (EM/p*LM), tel quil a t dit en
annexe des normes NF P94-261 et NF P94-262 (Fig. 1), la
valeur 1 formant la limite suprieur du diagramme et la valeur
, la plus faible du tableau de Mnard, tant affecte au
rapports EM/p*LM trs faibles, correspondant soit des sables et
graviers, soit des sols trs remanis, remaniement naturel in
situ, ou bien li une mauvaise excution du forage
pressiomtrique.
La principale raison de tracer des droites en coordonnes bilogarithmiques, tait que lon ne dispose absolument pas, dans
le rfrentiel des confrontations entre mthode pressiomtrique
et fondations instrumentes, de donnes suffisantes pour
proposer des courbes plus sophistiques. Ces droites sont donc
des constructions mathmatiques simples, base sur
lhypothse :
Figure 1 Valeurs de dans le diagramme Pressiorama tel quil peut

apparatre dans les normes NF-P94-261 et NF-P94-262 (en projet).
carott au voisinage, la position des lignes disovaleurs de par

rapport p*LM nest plus compatible ds lors que lon considre
des essais raliss des profondeurs importantes : ceci est li au
fait que ce nest pas la valeurs absolue de p*LM qui doit tre
prise en compte, mais la valeur relative p*LM/p0, sans
dimension, qui tient compte du confinement de lessai par la
pression horizontale des terres au niveau o elle est mesure.
On est ainsi conduit la formulation suivante, dans laquelle
kE, m et n jouent le mme rle.
1
EM
n
p * LM
(2)
m
p * LM
n
k E .
p 0
EM
n
p * LM
m
k . p * LM n
Le nouveau diagramme [log (p*LM/p0), log (EM/p*LM)] qui en

rsulte nest pas trac ici. Il constitue une prsentation peu
intuitive, essentiellement parce que le gotechnicien est trs
habitu ce que reprsente la pression limite, directement
proportionnelle la rsistance du sol, alors que la grandeur sans
dimension p*LM/p0 est difficile saisir. Elle reprsente en
quelque sorte le degr de rsistance du sol soumis lessai par
rapport une augmentation normale de rsistance attendue
croissante en fonction de la profondeur.
Les coefficients m et n peuvent prendre en thorie une large
gamme de valeurs, mais en pratique seule une faible gamme de
variations laisse les droites reprsentatives toutes prsentes et
tales dans le champ de vision du diagramme. Nous proposons
de les arrter m=0,5 et n=2, et avec ce couple de coefficients,
kE prendra une valeur comprise entre 3 et 5 pour que reste
compatible avec lusage. Nous avons retenu ici la valeur entire
kE=4, do :
(1)
Sous cette forme en effet, les coefficients m et n (en

exposants) et le facteur k, tous sans dimensions prennent
empiriquement les valeurs ncessaires pour assurer le trac
dsir : m dtermine langle des droites iso-, n dtermine
lcartement entre les valeurs, et k dtermine, pour un couple de
valeurs (m, n) donn, la position de la ligne maximale = 1.
Les valeurs de ainsi proposes peuvent tre rendues assez
conformes au tableau double entre de Mnard pour des essais
profondeur moyenne de quelques mtres utiliss pour des
fondations superficielles.
Mais on voit assez vite que si les valeurs de EM/p*LM
dcrivent toujours assez bien la nature du sol, sableux,
intermdiaire ou argileux, qui peut tre connu par ailleurs au
moment du forage pressiomtrique ou, mieux par un sondage
488

th
1
EM
2
p * LM
1
4
p
*
LM
4.
p
0
2.2
(3)
3 PROPOSITION DUN NOUVEAU CADRE POUR LE

DIAGRAMME PRESSIORAMA.
Quelle est la relation possible entre E Young et EM ?
Tout dabord, il parat peu judicieux de comparer le module

d'Young mesur par traction sur des solides polycristallins
(barres mtalliques) o la dformation est linaire jusqu' la fin
de la phase strictement lastique, et le module de dformation
des sols, variable avec lintensit de la contrainte, cette
dformation tant de nature hyperbolique tout au long de
lapplication de la charge.
Cest la raison quexpose Mnard, dans son article
fondateur de Sols-Soils n1 (Mnard & Rousseau, 1962), pour
crer la notion de coefficient rhologique pour lequel il
propose simultanment la gamme des valeurs fractionnaires
dans diffrents sols, et une expression base sur le module
altern Ea :
1

E 2

Ea
ici. En effet, dans un modle (q,) ramenant le comportement du

sol une phase lastique linaire borne par un critre de
rupture fixe, celui-ci impose bien un rapport unique entre le
module E et la valeur choisie pour le dviateur q.
(4)
E 2

Ea
E tant aujourdhui not EM , et tant une valeur faible

compare , dpendante de facteurs secondaires . Mnard
pensait approcher avec Ea la valeur du module de microdformations, not alors E ; on saccorde plutt aujourdhui
voir dans Ea une approche dun module lastique EY.
Paraphrasant Mnard on peut crire ;
EY = EM/n
(4b)
avec nO2, soit en ngligeant les facteurs secondaires :

EY = EM/
(4c)
Pour des raisons non explicites, lhabitude avait t prise en

France par les utilisateurs de rsultats pressiomtriques, de
tronquer cette proposition et de retenir Ey = EM/ pour des
estimations du module dYoung qui ne donnent pas satisfaction.
Il y a eu sans doute attraction et confusion lie au fait que
Mnard a plus tard galement indiqu que = EM/E+, E+
module de dformation du sol dans un champ quasiisotrope , plutt assimilable donc un module de type
domtrique et non un module dYoung. Des utilisateurs de
longue date des mthodes pressiomtriques avaient gard
lusage de cette relation entre Ea et EM pour donner une
estimation de partir dessais cycliques (R Heintz, 2012).
En identifiant entre les relations (3) et (4), il vient :
1
EY
2
= 16 . p * LM
p
p * LM
0
(5)
Cette relation remarquable qui limine EM et et tablit une

relation directe entre Ey et p*LM, dcoule directement du choix
fait ci-dessus pour les coefficients m et n. En effet, quelle que
soient les valeurs adoptes pour ces coefficients, il se maintient
toujours une forte corrlation entre un paramtre de rupture,
p*LM, et un module dYoung dfinissant une relation linaire
lastique, donc constituant une corde sur la courbe
pressiomtrique, entre son origine (p = p0) et un point situ vers
le milieu de lintervalle p0 - pLM cest--dire proche de la
pression de fluage de lessai.
La mise en vidence de cette relation confirme bien la
dfinition initiale de Mnard et lexpression qui en est propose
En vue de dterminer la valeur du coefficient rhologique

pour chaque essai pressiomtrique dont on connait normalement
et simultanment la pression limite, le module pressiomtrique,
et la profondeur permettant destimer p0, ou mieux la valeur
mesure de p0, il est possible de proposer une faon diffrente
de placer les rsultats dessais, dans un nouvel abaque construit
de la faon suivante (Fig. 2):
- en abscisse, le coefficient , en chelle logarithmique
et en valeurs dcroissant de gauche droite.
- en ordonne, plac sur = 1, le module pressiomtrique
relatif EM/p0, qui est donc un nombre sans dimension,
en chelle logarithmique et en valeurs croissantes vers
le bas.
- laxe des pressions limites relatives p*LM/p0 vient se
placer en oblique des deux axes, avec un angle variable
selon les rapports dchelles.
- laxe des rapports EM/p*LM est alors conjugu et
orthogonal laxe p*LM/p0.
Chaque essai pressiomtrique est reprsent par un point
unique au croisement de ses 4 caractristiques.
Limit vers le haut par la ligne EM/p*LM = 3 au-del de
laquelle on ne doit pas trouver de matriau naturel ou fabriqu,
labaque est un triangle rectangle englobant tous les types de
sols, roches et matriaux fabriqus. La base, que lon tronque
plus ou moins tt selon que lon sintresse plus la mcanique
des roches, ou celle des sols, ou au domaine intermdiaire,
reprsente les matriaux ciments. Les sols trs mous, les vases
et boues sont dans la pointe galement tronque. Les sols
habituels de la gotechnique sont entre ces deux extrmes, et
sont ici qualifis dans un quadrillage de 3 fois 3 cases, N1
N9, dont les matriaux sont identifis dans la lgende de la
figure.
Lexprience rduite dessais pressiomtriques que nous
avons personnellement dans le rocher franc (Baud & Gambin,
2011 et 2012) nous a permis de confirmer les zones N10, pour
les graves et roches trs fractures, N11, pour les roches
tendres, fractures ou altres et N12 pour les roches trs
dures. Elles sont galement en accord avec des tudes
antrieures sur les roches (Failmezger et al., 2005).
4
CONCLUSIONS
Cette tude a permis de montrer quil est possible dintroduire

un axe des comme abscisse de notre diagramme
Pressiorama, lordonne tant EM/p0, et den graduer la valeur
en fonction des rsultats obtenus au pressiomtre, ce qui ntait
pas vident a priori. (Fig. 2).
Deux autres axes apparaissent transversalement aux
coordonnes cartsiennes : la pression limite relative p*LM/p0 et
le rapport bien connu EM/p*LM. Labscisse est galement
norme arithmtiquement en dfinissant le comportement
pressiomtrique du sol par un indice de granularit g =
[2.Ln()]/kE, proportionnel un angle de frottement dductible
directement de lessai : M = arctan (g).
Nous ne considrons pas notre travail comme termin, car
il est ncessaire quil soit confront de nombreux rsultats
dessais pressiomtriques dans les roches en particulier. Et il est
possible que cette confrontation, ainsi que des tudes de
corrlations entre EY et p*LM, conduisent une volution de
notre schma dont les bases paraissent cependant bien acquises.
489
th
Figure 2 Diagramme Pressiorama en coordonnes bilogarithmiques

adimensionnelles [, module relatif EM/p0].
REFERENCES.
Arsonnet, G., Baud, J.-P., Gambin, M.P. 2005. Ralisation du forage

pour essais pressiomtriques par un systme de tube fendu autofor (SFAF), Actes du Symp. Intern. ISP5 PRESSIO 2005, sous la
direction de Gambin, M., Magnan, J.-P., & Mestat., Paris, 22-24,
Aot. 2005, Vol.1, Paris: Presses des Ponts.
Baguelin F., Jezequel J.F. Shields D.H. 1978. The Pressuremeter and
foundation engineering. Trans Tech Publications, Clausthal,
Germany, chap. 3 pp 284-291.
Baud, J.-P, Analyse des rsultats pressiomtriques Mnard dans un
diagramme spectral [log (pLM), log (EM/pLM)] et utilisation des
regroupements statistiques dans la modlisation dun site, Actes du
Symp. Intern. ISP5 PRESSIO 2005, Paris, sous la direction de
Gambin, M., Magnan, J.-P., & Mestat, P. 22-24 Aot. 2005, Vol.1,
Paris: Presses des Ponts.
Baud, J.-P, Gambin, M. P. 2005. Dduction dune loi de rponse
hyperbolique unique par complilation de courbes pressiomtriques
dans un sol de lithologie homogne Actes du Symp. Intern. ISP5
PRESSIO 2005, sous la direction de Gambin, M., Magnan, J.-P., &
Mestat, P., Paris, 22-24, Aot. 2005, Vol.1, Paris: Presses des
Ponts.
Baud, J.-P, Gambin, M. P. 2008. Homogenising MPM tests curves by
using a hyperbolic model, in Huang, A.-B., & Mayne, P. W. (eds)
Geotechnical an Geophysical Site Characterization, Proc. ISC3
Taipei, Taiwan, 1-4 April 2008, London: Taylor & Francis
Baud, J.-P, Gambin, M. P. 2011, Classification des sols et des roches
partir dessais dexpansion cylindrique en haute pression, C. R. du
15me Congrs Europen de Mcanique des Sols et de
490
Gotechnique, edited by A. Anagnostopoulos, M. Patchakis,

C.Tsatsanifos, ISO Press, Amsterdam .
Baud, J.-P, Gambin, M. P. 2012. 50 MPa Mnard PMTs help linking
Soil and Rock Classifications. in A. Anagnostopoulos, ed.,
Geotechnical & Geological Engineering Journal, Special Issue on
Hard Soils and Weak Rocks, Springer Verlag, Berlin.
Baud, J.-P, Gambin, M. Schlosser F. 2012. Stress-strain hyperbolic
curves with Mnard PMTs in R.Q. Coutinho ed., Geotechnical and
Geophysical Site Characterization, Proc. ISC4 Porto de Galinhas,
Brazil, Sept.18-21, 2012, London: Taylor & Francis
Baud, J.-P, Gambin, M. Schlosser F. 2013. La courbe contraintedformation au pressiomtre Mnard Actes du 18me CIMSG,
Paris, 1-5 sept.
Briaud, J.-L., & Gibbens, R. 1994, Test and Prediction Results for Five
Spread Footings on Sand ASCE Geotechnical Specification
Publication No.41
Failmezger, R., Zdinak, A., Darden, J., Fahs, R. 2005, Use of Rock
Pressuremeter for Deep Foundation Design Actes du Symp. Intern.
ISP5 PRESSIO 2005, sous la direction de Gambin, M., Magnan,
J.-P., & Mestat, P., Paris, 22-24, Aot. 2005, Vol.1, Paris: Presses
des Ponts.
Gambin, M. 2003. Etude lmentaire dun mythe. FONSUP 2003,
Symposium International sur les fondations superficielles, Paris, 57 novembre 2003, p.251-254, J.P. Magnan & N. Droniuc d.,
Presses de lENPC, Paris.
Gambin M. 2010. Les thories et leur volution face la ralit en
Gotechnique. VIIme Confrence Coulomb, Comit Franais de
Mcanique des Sols, Paris.
Heintz R. 2011, Communication personnelle. Eurasol, Luxembourg.
Mnard L. Rousseau J. 1962. Lvaluation des tassements, tendances
nouvelles. Sols-Soils, N1, Paris.
Mnard L. 1968. Rgles dexploitation des techniques pressiomtriques
et dexploitation des rsultats obtenus pur le calcul des fondations. (en
anglais, trad. Franaise TLM notice D60), Sols-Soils, N26 Paris.
Courbes hyperboliques contrainte-dformation au pressiomtre Mnard autofor

Stress-Strain Hyperbolic Curves Obtained With a Selfboring Mnard PMT
Baud J.-P.
Eurogo, Avrainville, France
Gambin M.
Apago, Paris, France
Schlosser F.
cole des Ponts Paris-Tech, Navier-CERMES, Marne-la-Valle, France
RSUM : On prsente ici les derniers rsultats de nos recherches sur le module de dformation du sol dtermin en assimilant un
arc d hyperbole la courbe pression-volume obtenue dans un essai au pressiomtre Mnard. Lessai est ralis en utilisant une cavit
obtenue par un systme de tube fendu auto-for, soit en roto-percussion, le STAF, soit en rotation seule, le ROTOSTAF.
Lajustement des points de mesure sur une branche dhyperbole du second degr permet dobtenir une expression analytique originale
de la dforme sous la forme = f (G0, po, pLM, PL) dans laquelle PL reprsente labscisse de la pression limite vraie prise comme
asymptote. Pour chaque essai, il est alors facile dobtenir la variation, calcule partir des points de mesure, du module tangent Gt et
du rapport Gt/G0 en fonction de , et pareillement le module scant Gs. Cette variation peut tre compare avec celle donne par le
modle hyperbolique courant : la concordance est bonne, sauf pour les trs faibles dformations initiales o les courbes obtenues
partir des points dessais donnent des modules sensiblement plus levs. Ces rsultats sont en bon accord avec les rsultats dessais en
laboratoire et en gophysique. Ils mettent en vidence une dcroissance typique des modules lorsque la dformation saccroit.
ABSTRACT : The present stage of our research work on soil E-moduli values are submitted here. These values are obtained by
assimilating the pressure-volume plot of a Mnard PMT to a 2nd degree hyperbole arc. The tests were performed using a self-bored
steel slotted tube implemented either by the STAF technique involving a drifter and a full-face bit, or the ROTOSTAF method
with a drag bit protruding from the tube outlet. Getting the hyperbolic best fit of the plotted readings makes it possible to obtain an
original equation of the radial borehole expansion as = f (G0, po, pLM, PL) in which PL is the true limit pressure value of the
vertical pressure asymptote. Then, it is easy to derive the tangent modulus Gt for each reading and the corresponding Gt/G0 ratio as a
function of , and similarly the secant modulus Gs. Their variation can be compared with those given by the usual hyperbolic model: a
very good agreement is obtained, except for very small initial strains where the readings plot yields moduli sensibly higher in value.
These results are similar to those obtained by laboratory tests and in geophysical surveys. They exemplify the typical decrease of the
deformation modulus when the stress or the strain increases.
MOTS-CLS : Pressiomtre, autoforage, modle hyperbolique,
KEYWORDS: Mnard Pressuremeter, self-boring, hyperbolic soil model.
1 CONDITIONS DOBTENTION DUNE EXPANSION
PRESSIOMETRIQUE QUASI VIERGE.
Lanalyse expose ici est applique des essais
pressiomtriques raliss dans les conditions traditionnelles
de chargement par paliers de lessai pressiomtrique Mnard
(NF P91-110-1 et Pr EN-IS0 22476-4), avec des mthodes et
matriels de forage et dessai permettant de rduire autant que
possible les effets perturbateurs pour que le sol, avant le dpart
de lessai, ne soit ni dcomprim ni comprim.
1.1. Essais pressiomtriques non remanis : ncessit de
lautoforage.
Depuis les annes 1970, la mise en place du pressiomtre par
autoforage a t utilis dans les sols mous, suivi par des essais
en dformations contrles (Baguelin et al., 1978, Mair &
Wood, 1987). Progressivement, les essais en auto-forage ont t
essentiellement limits pour tester des sols sous-consolids,
supposs dans les conditions idales de dmarrage po, en vue
dobtenir des relations contrainte-dformation sous cycles de
petites dformations, usuellement de moins de 20%
damplitude. De cette faon, plusieurs modules de sol pouvaient
tre obtenus, mais aucune pression limite ntait recherche
(Clarke & Gambin, 1998).
Plus rcemment, une technique dauto-forage a t propose
(Arsonnet et al., 2005) pour raliser des essais pressiomtriques
491
Mnard. Cette mthode, appele STAF, consiste enfoncer

un tubage continu, muni dun tube fendu au voisinage de sa
base, laide dun taillant dbordant en roto-percussion
lextrmit dun train de tiges centr. Il tait ainsi possible
dobtenir un essai en auto-forage de trs bonne qualit en petites
dformations, en raison de la rduction de la dcompression du
sol durant la cration de la cavit, tout en permettant de raliser
des essais jusqu de grandes dformations rendant possible
datteindre la pression limite conventionnelle (Baud & Gambin,
2005).
Avec cette conception, le STAF fut utilis avec succs
dans les sols cohsifs mous et moyennement compacts, et dans
les matriaux granulaires compacts, mais peu dexemples
pouvaient tre proposs dans les argiles raides et les sols
marneux, la vitesse davancement de lappareillage restant
rduit par rapport aux mthodes traditionnelles de pr-forage,
telles que la tarire continue ou les outils dents avec injection
de boue.
1.2. Essais autofors des sols meubles aux roches tendres par la
technique Rotostaf.
Pour rsoudre ce problme du faible avancement du STAF
dans les sols raides ou trs compacts, lutilisation de la rotation
simple dun train de tige a t rsolu laide dune tte de
forage hydraulique spcifique combinant une faible vitesse de
rotation du tube extrieur avec une bonne rapidit du vibromarteau agissant sur le taillant dbordant.
Avec cette conception, appele ROTOSTAF, les essais
peuvent tre raliss dans des sols tels que les argiles
compactes, les marnes et mme des couches calcaires.
1.3 Rgulation et conduite automatise dun essai par le
pressiomtre GoPac
Lusage dun contrleur pression-volume (CPV) traditionnel en
pression contrle est certes possible dans un tube fendu
descendu par le STAF. Mais de meilleurs rsultats peuvent
tre atteints avec un nouveau type de CPV, GeoPac, intgrant
le logiciel de traitement Govision. Au lieu de travailler au gaz
comprim, ce pressiomtre comprend un piston motoris
extrmement prcis qui permet de raliser les essais normaliss
en paliers de pression, avec une prcision volumtrique de 10-3
cm3, soit une prcision sur la dformation radiale moyenne de
10-5.
Actuellement, dans la mise au point de ce CPV, au moins
quatre avances fondamentales dans la procdure de lessai ont
t recherches :
- une stricte compensation automatique de la rsistance
propre de la membrane des sondes, ce qui permet une correction
de la pression vraie sur la paroi du forage tout instant
- une automatisation complte de la procdure dessai : le
systme assist par ordinateur dtermine les modules du sol
partir des trois premiers pas de pression, et ajuste la procdure
dessai de manire mener bien lessai avec un nombre de
paliers de pression optimis. Loprateur conserve cependant
toujours la possibilit de travailler en semi-automatique.
- le calibrage automatique du volume initial de la sonde avec
le volume rel du trou auto-for, la pression pour ce premier
palier de lessai tant mis en quilibre avec la pression des
terres au repos. Ce procd dans le systme volume en
fonction de la pression rappelle celui du lift-off dans le
systme pression en fonction du dplacement des sondes du
pressiomtre auto-for SBP avec capteurs mcaniques.
- enregistrement des lectures (p,V) avec une trs grande
prcision, la courbe ne prsentant pas de point dinflexion.
Le logiciel Govision traite automatiquement les donnes
reues dun Gopac, avec sur option de lutilisateur drivation
des courbes de modules tangent et scant depuis po comme dans
lexemple donn ci-aprs.
1.4 Un exemple dessai
Sur lessai ci-contre (Fig.1), on remarquera que la pression du
premier point de lecture est acceptable comme po, avec un
volume de contact exactement gal au volume annulaire entre la
sonde dilatable et le tube fendu, et que lessai est rgul jusqu
un volume de prs de 1000 cm3 soit un dplacement de la paroi
du forage de lordre de 12 mm. Lerreur moyenne rpartie entre
les points mesurs et le modle hyperbolique est ici de 1,8 cm3
(soit environ 25m).
Dautres caractristiques de lessai sont galement
remarquables et observes aussi sur de nombreux essais
autofors. La premire est que la courbe de fluage prsente deux
cassures : lune la pression pf1 prise ici pour le calcul du
module pressiomtrique, lautre une pression pf2 nettement
plus leve (Monnet et Khlif, 1994). Une autre est que le
modle hyperbolique permet de tracer automatiquement les
courbes de dcroissance rgulire du module scant Es et de
module tangent Et, qui recouvrent bien les mmes courbes
calcules sur les points dessais, ceux-ci montrant dans les trs
faibles dformations initiales un module nettement plus lev,
ici presque doubl, que nous chercherons expliquer.
Figure 1. Rsultat dun essai 18 m de profondeur dans une argile

sableuse raide (Cnomanien de la bordure Ouest du Bassin Parisien),
autofor par Rotostaf, sonde diamtre 44 mm cellule de mesure de 37
cm dans le tube fendu de 63 mm de diamtre, essai pilot par le CPV
GoPac. et rsultats tracs par Govision
2. MODLE HYPERBOLIQUE DE LEXPANSION DUNE

CAVIT CYLINDRIQUE
2.1. De la double hyperbole au modle hyperbolique
Trs tt dans la pratique de lessai pressiomtrique, Louis
Mnard avait dfini la pression limite pLM, notion ne avec
lessai, au doublement du volume de la cavit de forage initiale,
en sachant que cette convention nimpliquait pas que la
dformation correspondante soit matriellement atteinte par les
sondes. La socit Mnard et les concessionnaires pionniers ont
ds lors propos successivement de nombreuses mthodes
dextrapolation de la courbe vers la pression limite : courbe
inverse, mthode des volumes relatifs, coordonnes log-log,
courbe Leme, dont la convergence vers une pression limite
unique ntait pas vidente (Baguelin et al. 1978). La double
hyperbole est lune de ces mthodes dextrapolation, drivant
du dessin des essais en (P, 1/V) (dHemricourt 2005).
La mthode en double hyperbole a t formalise et
programme (Baud et al., 1992) et constitue un modle
dcrivant bien la forme en S des essais en prforage, lie
aux vicissitudes de diamtre de forage, du temps dattente et de
dcompression entre forage et essai et du choix de paliers
initiaux infrieurs la pression des terres po avant forage, par un
oprateur qui en principe ignore la valeur de po et de pLM, sujets
de la mesure, et qui il est demand de prvoir avant la mesure
un rsultat final divis en n paliers gaux.
Il apparat rapidement que lapplication aux
essais
autofors tel que celui de la figure1 simplifie plus ou moins
radicalement la modlisation, en rduisant la premire
hyperbole au rle de facteur secondaire. Pour un essai dbutant
par un palier de pression corrige lgrement suprieure ou
idalement gale la pression des terres au repos po sans
dcompression ni refoulement du sol avant lessai, les points
dessai dcrivent une simple hyperbole, de la forme
A3
V = A + A2 . p +
1
A4 - p
(1)
o V est le volume mesur au-del du volume de la sonde au
repos Vo et p la pression dessai corrige de ltalonnage et du
calibrage. Pour le pressiomtre Mnard lusage est de nommer
le V mesur par la simple notation V .
Il est possible dexprimer ces donnes dessai en fonction
de la dformation dite circonfrentielle c :
492
aa
a
0 =
V p + V
V P + V0
(2)
o a est le rayon du forage en expansion, a0 le rayon initial au

moment du contact sonde-sol la pression po, Vp le volume de
la sonde au repos, V0 volume de contact entre la sonde et le sol
vierge correspondant a0.
Lessai pressiomtrique ne mesurant quun dplacement la
paroi de la cavit, c est la seule dformation relative qui peut
tre ainsi dduite de lessai et dans la suite du texte nous
dsignerons simplement
- la dformation pressiomtrique la paroi par , sans
indice ;
- les pressions nettes la paroi, aprs dduction de la
pression horizontal du sol au repos p* = p po
Lhyperbole ainsi ajuste sur les donnes dessai est de la
forme
= C1 + C 2 . p * +
C3
C4 - p *
(3)
Nous rappelons rapidement les tapes conduisant de cet
ajustement mathmatique sur les points de mesure aux
paramtres du modle hyperbolique prsent ici :
C1 est homogne une dformation, C2 une unit de
contrainte ayant le rle la dimension dun module, C3
et C4 des contraintes (pressions). On montre
facilement (Baud & Gambin, 2005, 2008) que C4 est
lordonne de lasymptote verticale pour = , note pL
par les Anglo-Saxons, et ici p*L, et que les 3 autres
paramtres ne sont pas indpendants et se rduisent 2 :
une dformation 0 et un module E0 qui est la pente de
lasymptote oblique :
=0 +
p*
p*L
0*
E0
pL - p *
(4)
Le module de cisaillement du sol pour les dformations

infinitsimales partir de po, not G0 est un des
paramtres du modle (Baud et al., 2012), comme on
peut le voir en construisant hors de toute rfrence
une base exprimentale une hyperbole passant par le
point (po, 0), ayant une pente 2G0 ce point initial et
admettant une asymptote verticale p*L :
p * 1 + p * pc*
.
2.G0 1 p * p *L
(5)
Cette expression ncessite pour tre dtermine de

connatre un point quelconque de la courbe (px, ex)
dfinissant comme paramtre complmentaire une
pression nette p*c telle que :
p =
*
c
2 . x .G 0 p L* p x* p L* . p *x
(6)
En complment de G0 et p*L, un seul autre paramtre est

donc ncessaire la dfinition complte du modle, soit
pc, soit 0 :
= 0
-
p L* . p *x
1
0 * 0 . p *L
+ * p *
+
p L p*
2.G0 p L
(7)
Les expressions (5) et (7) sont quivalentes ds que lon

dtermine le mme point complmentaire sur la courbe.
2.2. Rle de la limite conventionnelle de lessai

Le choix dune valeur de rupture conventionnelle pour lessai,
p*LM, a t dict par la ncessit pragmatique de dduire de
cette caractristique globale du sol au niveau de lessai des
rgles de dimensionnement la rupture ralistes, et
indpendantes de la recherche dune pression limite vraie
p*L correspondant une dformation infinie. On peut remarquer
quelle signifie, pour les essais en forage calibrs de diamtre
60 63 mm (2 pouces ) qui sont devenus la pratique et la
norme de lessai, un dplacement absolu de la paroi de 13 mm
environ ( pouce, ou 20% du diamtre).
493
Lexprience de lutilisation de sondes de diamtres trs

diffrents dmontre que cette convention nest quivalente au
doublement du volume de la cavit que par le hasard historique
du choix pa r Mnard de sondes de 55 63 mm, comme les plus
pratiques et les plus rpandues (en ralit, jusqu 76 mm ou
3 pouces si on considre la pratique du pressiomtre Mnard au
niveau mondial). On constate que des sondes de diamtres trs
diffrents conduisent une pression limite quivalente p*LM
pour des taux dexpansion qui ne correspondent pas au
doublement de volume de leur cavit, mais un mme
dplacement absolu de la paroi du forage de lordre de 13 mm :
Dans les petits diamtres, les sondes de diamtres
22 mm et 32 mm dites minipressiomtre , de volume
240 cm3 au repos, restent dans le domaine pseudolastique ou proche de la pression de fluage lorsquelles
ont doubl de volume, et ncessitent une expansion
jusqu 350 400 cm3 pour montrer une rupture franche
du sol ; ce volume, atteint sans difficult grce
llancement important de ces sondes, correspond un
dplacement de la paroi de 11 13 mm.
Dans les diamtres plus importants, les utilisateurs des
sondes autoforeuses de type PAF76, de diamtre
140 mm, ont montr que la rupture tait amorce ds le
dbut de lessai, et ont fix exprimentalement une
quivalence avec la pression limite Mnard pour une
pression p20 dtermine par une dformation diamtrale
de 20%, soit un dplacement absolu de 14 mm.
(Baguelin et al. 1978).
Ds lors, nous proposons dutiliser comme convention pour
le calcul de la pression limite pLM pour tout essai de chargement
radial la dformation conventionnelle = r/Rref et non plus
= r/r0, ce qui rend dpendant dune longueur absolue
Rref=13 mm dont la signification reste rechercher, mais
indpendant de la sonde utilise et du diamtre du forage.
2.3. Expression de la pression limite conventionnelle
Le modle de comportement de sol hyperbolique de type
lasto-plastique avec crouissage dit Hardening soil model
de Plaxis, B.V. est bien connu. Ce modle utilise dans le repre
(1, q) o 1 est la dformation axiale des essais triaxiaux, et le
dviateur q = 1 - 3, une courbe hyperbolique passant par
lorigine et dasymptote horizontale qa. Par analogie avec ce
modle dfinissant un module E50 correspondant la
dformation acquise pour la moiti du dviateur de contrainte
de rupture, soit qf, nous dfinissons sur la courbe
pressiomtrique le module de cisaillement scant GM atteint la
moiti de la pression limite p*L (1). Soit :
p*
(8)
GM = L
4. M
En portant cette valeur M dans (7), on obtient
p* 1
1
(9)
0 = L
2 G0
G M
Do une expression du modle pressiomtrique :
*2
*
1
1 p
(10)
+ p
*
= 1
2 GM
G0 p L p
2.G0
Pour obtenir la prsentation de lexpression (10), nous avons

choisi un module la moiti de la rupture vraie ,
asymptotique, et non la moiti de la rupture conventionnelle. Ce
second choix aboutit galement une expression = (p)
dtermine par 3 paramtres physiques (G0, p*LM et un module
scant GM), mais moins simple. En pratique, ces deux modules
GM et GM sont videmment trs peu diffrents, puisque lon
N.B. Les modles hyperboliques hardening soil et pressiomtrique

ntant pas dans les mmes coordonnes de contraintes et dformations,
il ne sagit ici que dune analogie.
constate sur les essais autofors que le rapport p*LM/p*L,

analogue au rapport Rf = qf/qa, est de lordre de 0,7 0,9.
La pression limite conventionnelle p*LM est celle qui
correspond = 1, ce qui conduit pour p*LM une simple
quation du second degr :
*
1
1 * 2 p L
p LM +
+ 1 p *LM p *L = 0
2.GM G0
2.G0
(11)
dont p*LM est lunique solution positive.

2.4. Expression des modules rduits G/G0.
Figure 2. Module tangent rduit Gt/G0 en fonction de la dformation

pressiomtrique radiale pour la gamme des valeurs du rapport EM/p*LM.
Les expressions (10) et (11) permettent de calculer les modules

de cisaillement tangent Gt et scant Gs, normaliss par leur
rapport au module tangent initial G0, et de visualiser lvolution
de ces modules en fonction de la dformation, pour la gamme
des valeurs possibles pour les rapports G0/p*LM ou p*L/p*LM,
rapports caractristiques du type de comportement du sol. En
figure 2 est prsente la mme volution du module tangent
rduit Gt/G0 en fonction des valeurs de EM/p*LM, plus familires
aux utilisateurs du pressiomtre.
3. CONCLUSION
La possibilit existe avec la mthode du tube fendu autofor
(forage STAF) et lutilisation dun pressiomtre qui pilote et
rgule lessai automatiquement (pressiomtre Gopac), de
raliser dans des sols varis et offrant la plus large gamme de
rsistances, des essais pressiomtriques autofors, fournissant
instantanment (logiciel industriel Govision) non seulement
la courbe pressiomtrique "classique", mais aussi ses drives
en module tangent et scant depuis une origine po. Elle ouvre
des perspectives de dveloppements nouveaux dont nous
navons pu donner ici quun aperu. En particulier nous pensons
possible de traduire trs facilement les paramtres des courbes
dessais ncessaires au dimensionnement direct de fondations
par la mthode de J.-L Briaud (2003, 2006).
494
4. RFRENCES.
AFNOR, 2012, Pr EN ISO 22476-4,. Reconnaissance et essais
gotechniques Essais en place - Partie 4: Essai au pressiomtre
Mnard.
Arsonnet, G., Baud, J.-P., Gambin, M. P. 2005. Ralisation du forage
pour essais pressiomtriques par un systme de tube fendu autofor (STAF), in ISP5 PRESSIO 2005, Actes Symp. Intern. Paris,
Gambin, M. P., Magnan, J.-P., Mestat, P. (eds) 22-24 aot, 2005,
Paris: Presses des Ponts. Vol.1 pp 31-45..
Baguelin F., Jezequel J.F., Shields D.H. 1978. The Pressuremeter and
Foundation Engineering. Trans Tech Publications, Clausthal,
Germany, pp 425-439.
Baud, J.-P, Gambin, M. P. 2005. Dduction dune loi de rponse
hyperbolique unique par compilation de courbes pressiomtriques
dans un sol de lithologie homogne, in ISP5 PRESSIO 2005,
Actes Symp. Intern., Gambin, M. P., Magnan, J.-P., Mestat, P. (eds)
Paris, 22-24 aot, 2005, Vol.1 Paris: Presses des Ponts pp 175-186.
Baud, J.-P, Gambin, M. P. 2008. Homogenising MPM Tests Curves by
Using a Hyperbolic Model, in Huang, A.-B., & Mayne, P. W. (eds)
Geotechnical and Geophysical Site Characterization, Proc. ISC3
Taiwan, 1-4 April 2008, London: Taylor & Francis
Baud, J.-P, Gambin, M. P., Schlosser F. 2012. Stress-strain Hyperbolic
Curves with Mnard PMTs, in R.Q. Coutinho (ed.), 4th Int. Conf.
on Geotechnical and Geophysical Site Characterization (ISC'4), P.
de Galinhas, Brazil, 18-21 sept. 2012. London: Taylor & Francis
Baud J.-P., Gambin M., Uprichard S. 1992. Modeling and automatic
analysis of a Mnard pressuremeter test. Gotechnique et
Informatique, Presses des Ponts, Paris.pp 25-32.
Briaud, J.-L., Hossein K. et BarfknechtJ, .2003. Mthode de
dtermination de la courbe charge-tassemennt pour les fondations
superficielles dans les sables. Presses des Ponts, Rev. Fr. de
Gotechnique N105, pp 29-39.
Briaud, J.-L., 2006. The preboring pressuremeter, some contributions, in
ISP5 PRESSIO 2005, Actes Symp. Intern., Gambin, M. P.,
Magnan, J.-P., Mestat, P. (eds) Paris, 22-24 aot, 2005, Vol.2
Paris: Presses des Ponts pp 103-124.
Clarke B. G., Gambin, M. 1998 Pressuremeter Testing in Onshore
Ground Investigations: A report by the ISSMGE Committee TC16,
Geotechnical Site Investigation, Proc. First Int. Conf. on Site
Characterization (ISC1), P. K. Roberts on & P. W. Mayne eds.,
Vol.2, A. A. Balkema, Rotterdam, pp 1429-1468.
dHemricourt J. 2005. Linterprtation de lessai pressiomtrique : de la
courbe inverse la double hyperbole. in ISP5 PRESSIO 2005,
Actes Symp. Intern. Paris, Gambin, M. P., Magnan, J.-P., Mestat, P.
(eds) 22-24, 2005, Paris: Presses des Ponts. Vol.1 pp 319-328.
Mair, R. J., Wood, D. M. 1987. Pressuremeter Testing, CIRIA Series,
London: Butterworths
Monnet J. et Khlif J. 1994 Etude thorique de lquilibre lastoplastique dun sol pulvrulent autour du pressiomtre. Presses des
Ponts, Rev. Fr. de Gotechnique N65.
Quality control of Cutter Soil Mixing (CSM) technology a case study

Contrle de la qualit des la technologie Cutter Soil Mixing (CSM) une tude de cas
Bellato D., Simonini P.
University of Padua - Department of Civil, Environmental and Architectural Engineering
Grisolia M., Leder E., Marzano I.P.

Sapienza University of Rome - Department of Civil, Environmental and Architectural Engineering
ABSTRACT: The Cutter Soil Mixing (CSM) is a relatively new Deep Mixing (DM) method that offers versatile construction
solutions suitable for various types of ground improvement. Besides the many advantages compared to the most common DM
methods, CSM has a high level of process control. Quality control and quality assurance (QC/QA) procedures are essential aspects of
each DM project, and a successful treatment is related closely to the professional ability to control and verify the DM construction.
This paper presents the results of laboratory tests carried out on wet grab samples collected from a CSM construction site
characterized by the presence of sandy soil. Similar soil-binder mixture were then produced and tested in the laboratory accordingly,
using the same binder adopted for the in situ panel construction and the sandy soil taken directly from the jobsite. A comparison
between the results obtained by UC tests carried out on the wet grab and the laboratory mixed samples is also presented. The results
obtained using an innovative experimental apparatus underline the influence of the physical and chemical characteristics of the natural
soil on the strength gain of the stabilized material.
RSUM : Le Cutter Soil Mixing (CSM), appartenant des mthodes Deep Mixing, est une technique rcente qui offre des solutions
constructives adapts diffrents types d'amlioration du sol. En plus des nombreux avantages sur les mthodes les plus courantes, le
CSM a un niveau lev de contrle de processus. Les procdures de contrle et d'assurance de la qualit (QC/QA) sont des aspects
essentiels du projet, et le succs du traitement est troitement lie la capacit de contrler la phase d'excution. Cet article prsente
les rsultats de tests de laboratoire effectus sur des chantillons prlevs wet grab d'un site CSM caractris par la prsence d'un
sol sableux. Semblables sol-liant mlanges ont ensuite t fabriqus et tests dans le laboratoire avec le mme liant adopt pour la
construction des panneaux in situ et le sol sablonneux prises directement partir du site. En particulier, il est prsent une
comparaison entre les rsultats obtenus avec des essais de compression simple, effectue sur des chantillons prlevs wet grab sur
le site et prouvettes raliss en laboratoire. Les rsultats obtenus par l'utilisation d'un appareil exprimental innovateur ont soulign
l'influence des caractristiques physiques et chimiques du sol naturel sur l'augmentation de la rsistance du matriau stabilis.
KEYWORDS: deep mixing, cutter soil mixing, sandy soil, unconfined compressive strength.
1
INTRODUCTION
The Cutter Soil Mixing (CSM) offers numerous advantages

over the more traditional methods of mixing soils using
standard rotary tools (Fiorotto et al. 2005), being equipped with
two sets of cutting wheels rotating around horizontal axes
producing treated soil panels of rectangular shape.
Several successful applications in different geotechnical
contexts for various engineering purposes have been recently
documented by Gerressen and Vohs (2012).
The Quality Control/Quality Assurance (QC/QA) programs
have the objective to ensure the compliance between the actual
field performance and the design requirements, therefore special
attention is required.
Due to the significant uncertainties related to the site
activity, most of the mix design and mixing procedure
calibration is performed in the laboratory.
In order to develop a tool for an effective comparison
between laboratory and field values, a specific CSM jobsite
located in the city of Zandvoort (NED) has been selected. The
subsoil condition is characterized by the presence of sandy soil.
Despite the fact that higher performance are usually obtained
in the laboratory (Porbaha et al. 2000), the comparison between
strength tests on wet-grab samples and laboratory specimens
have shown sometimes opposite outcomes (Bellato et al. 2012).
The mechanical properties of in-situ improved soil may be
found larger than that of laboratory specimen when using
cement slurry (wet method) to stabilize loose sandy ground due
to water drainage (Yoshimura et al., 2009).
495
Three types of water drainage may occur during soil mixing

operations: potential expulsion of part of pore-water contained
in the original soil by the injection of the cement slurry;
bleeding of the soil-binder mixture, i.e. drainage of water due to
sedimentation processes; possible drainage towards the
surrounding soil layer of part of the water in the mixture due to
consolidation under the effective overburden pressure.
In this paper the effect of water drainage was investigated
trough an original laboratory experimental apparatus.
To assess the influence of the granular soil type on test
results, the analysis were replicated on a different marine sand.
Moreover, important considerations regarding the significant
influence of the physical and chemical characteristics of the
natural soil on the strength gain of the stabilized sands are
presented and discussed.
2
SITE DESCRIPTION
A requalification activity was planned in Zandvoort, a small

village next to the North Sea coast at about 30 km west of
Amsterdam. Preliminary geotechnical ground investigations
were performed in the jobsite area. The results show a relatively
uniform sand profile characterized by the prevalence of a
medium to fine sand, generally of medium density, whose grain
size distribution is reported in Figure 1. The groundwater level
ranges around 2.5 m below the ground surface.
Figure 1. Grain size distribution of the Zandvoort and Serapo sands .
To construct the 11.5 m deep CSM panels (2.4 x 0.55 = 1.32

m2 sectional area) the 1-Phase system was chosen, therefore the
grout was injected on both downward and upward stroke. The
grout composition adopted for the panel production was
characterized by a water-to-cement ratio w/c = 1.12 and a binder
factor = 509 kg/m3 of natural soil. The cement used was a
special composite cement especially produced for ground
improvement applications.
After mixing, several wet-grab samples were collected from
the fresh panels at about 2,0 m from the ground level and
immediately sealed into watertight tins (inner diameter of 98
mm and height of 113 mm).
3
MATERIALS AND TESTING PROGRAMME
The wet-grab samples collected from the site (in the following
referred as SWGS) were cured under controlled condition
(room temperature of about 20C and at a relative humidity >
95%.) for 40 and 125 days in order to measure also the time
influence on the unconfined compressive strength (UCS) of the
treated soil. Before testing, the wet-grab samples were cored to
provide specimens of 37 and 54 mm in diameter with an aspect
ratio of 2. Finally, the specimens were trimmed to regularize the
bases and wrapped with plastic film to prevent moisture loss.
Laboratory soil-binder mixtures were prepared at the same
grout/sand ratio used on site, according to the treatment
parameters evaluated from the elaborated machine production
data. The grout and the soil were first prepared separately and
then mixed together for 10 minutes using a high power mixer to
produce the stabilized soil, according to the recommendations
for laboratory mixed specimens provided by the Japanese
Geotechnical Society (JGS0821-2000).
The stabilized soil was then poured into plastic moulds 50
mm in diameter and 100 mm in height using the No
Compaction technique (simply consisted in filling the mold) to
realize the laboratory mixed specimens (referred as LS).
Past experiences of sandy soil stabilization (Yoshimura et al,
2009, Grisolia et al, 2010, Bellato et al., 2012) showed the
following occurrences related to water drainage conditions:
The physical properties (water content and wet density)
of sandy soil collected from the site, especially when taken
below the groundwater table, typically are different from the
initial in-situ conditions, due to the loss of fine particles and
water during sampling and transportation to the laboratory;
Bleeding, i.e. separation of water from the soil-binder
mixture, generally occurs immediately after the mixing
process in the bowl and causes the sedimentation of some
amount of cement at the surface;
Every molded sample usually shows the occurrence of
bleeding phenomena, that inevitably leads to a reduction in
the specimens height;
In addition, when the mixture is taken from the bowl for
molding operations, separation among constituent materials
496
may be observed. This further increases the variability in

terms of amounts of binder, water and sand of the samples.
Moreover, during in-situ soil treatments, some water
drainage may also arise depending on the type of mixing
procedure adopted and the specific subsoil conditions. In
particular, sedimentation mechanisms in the liquid soil-binder
slurry mixture may develop just after the passage of the
mixing tools and some amount of water can be radially
drained away into the surrounding permeable sandy layers
(Yoshimura et al, 2009).
To simulate the effects of water drainage on the mechanical
properties of stabilized soils in the laboratory an original
experimental set up was designed and used (Figure 2).
The apparatus was essentially composed of a watertight
container in which a cylindrical sand core, reproducing the site
conditions, is placed and surrounded by a gravel filter, with
installed an open pipe for water level control (Figure 2a).
A cylindrical cavity was then prepared and filled with the
stabilized soil just after the mixing operations (Figure 2b). After
a time span equal to that adopted on site before sampling, a
laboratory wet-grab specimen was retrieved (Figure 2c and 2d).
The two types of specimens, i.e. laboratory (LS) and
laboratory wet-grab (LWGS), were cured at 20C and at 95%
relative humidity in curing tanks and removed from the moulds
just before the test.
In order to investigate the influence of the sand type and
mineralogy on the performance of the stabilized material, a
marine soil namely Serapo Sand (Figure 1) was also used to
prepare laboratory and laboratory wet-grab specimens.
The experimental investigation mainly consisted of
unconfined compression tests. The specimens were tested at
different curing times, ranging from 7 to 125 days.
To evaluate the influence of the physical and chemical
characteristics of the natural soils (Zandvoort and Serapo sands)
SEM (Scanning Electron Microscope) and EDS (Energy
Dispersive Spectroscopy) analysis were carried out.
A CamScan MX2500 electron microscope, equipped with a
EDAX EDS (energy dispersive X-ray spectrometer) system was
used to determine both the morphology and chemical
composition of the grains. Two small samples for both sands
were first oven dried at 40C for 24 h and then coated with a
layer of carbon using an high-vacuum evaporative coater to
prevent the accumulation of electrostatic charges at the surface
during irradiation.
4
The results of the unconfined compression tests performed on

the three series of samples (SWGS, LS, LWGS) are presented in
Figure 2. Experimental set-up for laboratory wet grab specimens: a)

cavity preparation, b) mixture pouring, c,d) specimen retrieval.
Unconfined compressive strength, UCS (Mpa)
25
SWGS Zandvoort
LS Zandvoort
20
LWGS Zandvoort
15
10
0
0
25
50
75
100
Curing time, tcur (days)
125
150
Figure 3.
test results
onFourier
Zandvoort
sand specimens
Figure
7. UC Lower
order
Descriptors
obtained from the two
types of sands.
Figure 3.
From this figure it clearly appears that higher strength was
provided by the tests carried out on the SWGS, for which UCS
has been found to range between 12 and 16 MPa at 40 curing
days.
UCS obtained from the LS is lower at any curing time
investigated. In particular the UCS was found to be about 7.0
MPa at 40 curing days.
From the same figure, it also appears that UCS of LWGS
approaches the field values.
These results underlines the effectiveness of the
experimental set up in simulating the real field conditions, and
emphasizes the significant effect of drainage conditions, which
increase the UCS of about 1,9 times at 40 curing day.
To evaluate the influence of the type of sand, and, therefore,
of the related drainage effect on strength properties, the same
experimental procedure for sample preparation was replicated
on Serapo sand.
The results of Figure 4 confirm also for this kind of sand an
increment, even though less significant, of the UCS due to the
drainage effect. The increment was about 40% at 40 curing days
for the LWGS specimens with respect to the classical LS.
It is important to note (Figure 4) that similar UCS at 40
curing days was obtained from the LS of both Zandvoort and
Serapo sands (prepared according to JGS0821-2000). This was
expected since the two sands presents similar grain size
distributions.
The results obtained from the newly developed experimental
apparatus show that the type of sand and the corresponding
water drainage effect may greatly influence the mechanical
properties of the stabilized sandy soils.
To investigate in more details the reason of this particular
outcome, mineralogical and microstructural tests were
performed on the two types of sand.
The SEM and EDS analyses results are shown in Figure 5
and 6.
Figure 5 presents two backscattered electron (BE) images of
two different sand grains: the grain on the left referring to
Zandvoort sand, whereas that on the right to Serapo sand.
Generally, both sands are predominantly composed of quartz
minerals, but in the Serapo sand a significant portion of
carbonate particles is present (Figure 6).
In addition, it is easily detectable the more irregular and
angular morphology of quartz grains of Zandvoort sand with
respect to the more rounded, sub-angular carbonate grain of
Serapo sand.
To quantify the degree of angularity different methods have
been proposed in the literature (de Santiago et al., 2008).
Among them, the procedure based on the Fourier descriptors
(Bowman et al, 2001) is one of the most diffuse recent
approaches.
The boundary of the particle is circumnavigated in the
complex plane at a constant speed. The step size is selected so
that the circumnavigation takes 2 and the number of steps is
2k. The complex function presented in Eq. (1) allows to
determine the aforementioned Fourier descriptors
N /2
i 2 n m
xm i y m
Z n exp
n N / 2 1
(1)
where x, y are the coordinates of the particle boundary, N is the
Figure 5. Comparison between SE images of a Zandvoort (on the left)

and Serapo sand grain (on the right)
25
Unconfined compressive strength, UCS (Mpa)
LS Zandvoort
LWGS Zandvoort
LS Serapo
20
LWGS Serapo
15
10
0
0
25
50
75
100
Curing time, tcur (days)
125
150
Figure 6. Chemical compositions from EDS analysis performed on a

Zandvoort (on the left) and a Serapo sand grains (on the right).
Figure 4. UC test results on Zandvoort and Serapo specimens
497
total number of descriptors, n is the descriptor number, M is the

total number of points describing the boundary, m is the index
number of a point on the boundary, Zn is the Fourier descriptor
and i is the imaginary number.
Each Fourier descriptor, especially those of the lower order,
are associated to specific and morphological features of the
particle shape.
The average shape descriptors obtained for a reasonable
number of grains taken from each sand sample are shown in
Figure 7.
A clear more unevenness in the boundary of the Zandvoort
grains can be recognized due to the higher contribution of
higher order Fourier descriptors to the shape morphology.
5
CONCLUSIONS
The calibration of relationships between real and laboratory

scale treatment may support soil mixing QC/QA procedures.
In sandy soil, laboratory specimens tests results may be
lower than that obtained by wet grab samples due to water loss
during in situ mixing operations.
The results show that quite a good match may be achieved
by simulating in laboratory the in situ water drainage.
The results obtained from the newly developed experimental
apparatus show that the kind of sand may greatly influence the
water drainage effect on the mechanical properties of the
stabilized soil.
The different degree of angularity of the grains and the
different nature of the minerals composing the two sands
considered in this study should be considered as relevant factors
affecting the performance of the stabilized soil, as well as the
grain size distribution.
Further study are needed to validate and extend the results
and findings described in this case history.
To simulate in situ condition it is also necessary to carefully
take into account other possible factors such as: mixing energy,
use of compressed air, molding technique and curing conditions.
6
AKNOWLEDGEMENT
The authors would like to thank the Hoffman Group and the
Bauer Group, especially Mr. Franz Werner Gerressen & Mr.
Thomas Vohs for kindly providing the construction data for this
study.
The authors wish to thank Mr. Fabrizio Tocci for his help in
conducting the laboratory test at the Department of Civil,
Environmental and Architectural Engineering of Sapienza
University of Rome.
7
REFERENCES
Bellato D., Simonini P., Marzano I.P., Leder E., Grisolia M.,Vohs T.,
Gerrresen F.W., 2012. Mechanical and physical properties of a
CSM cut-off/retaining wall. International Conference on Ground
Improvement and Ground Control (ICGI 2012), University of
Wollongong, Australia. ISBN 978-981-07-3561-6.
Bowman, E.T., Soga, K., and Drummond, T.W., 2001. Particle shape
characterization using Fourier descriptor analysis. Gotechnique, 51
(6), pp. 545-554.
De Santiago, C., Santana, M., and Manzanas, J., 2008. Digital Image
processing and Fourier descriptors analysis of the porosity in
various volcanic rocks. Proc. Of the International Geotechal
Conference - Development of urban areas and geotechnical
engineering, S. Petersburg (Russia), Vol. 2, pp. 449-454.
EN 14679, 2005. Execution of special geotechnical works - Deep
mixing, CEN - Technical Committee CEN/TC 288.
Fiorotto, R., Schpf, M., and Sttzer,E., 2005. Cutter Soil Mixing
(CSM) - An innovation in Soil mixing for creating Cut-off and
Retaining walls. Proceedings 16th ICSMGE, 15 sept. 2005, Osaka
(Japan), pp. 1185-1188.
Gerressen, F.-W. and Vohs, T., 2012. CSM - Cutter Soil Mixing Worldwide experiences of a young soil mixing method in soft soils.
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Proceedings 4th International Conference on Grouting and Deep

Mixing, New Orleans (USA).
Grisolia
M., Marzano I.P., De Lentinis D., Leder E. 2010.
Performance of CSM stabilised soils in geotechnically complex
formations. Proc. Geotechnical Challenges in Megacities, Moscow
(Russia). ISBN 978-5-9902005-2-4.
Grisolia M., Kitazume, M., Leder E., Marzano I.P., Morikawa Y. 2012.
Laboratory study on the applicability of molding procedures for the
preparation of cement stabilised specimens International
Symposium & short courses on Recent Research, Advances &
Execution Aspects of ground improvement works, Brussels.
JGS 0821-00 2000. Practice for Making and Curing Stabilised Soil
Specimens Without Compaction (Translated version). Geotechnical
Test Procedure and Commentary, Japanese Geotechnical Society.
Kitazume, M., 2005. State of Practice Report: Field and laboratory
investigation, properties of binders and stabilised soils.
Procceedings International Conference on Deep Mixing Best
Practice and Recent Advances. Swedish Deep Stabilization
Research Centre, Stockholm (Sweden). Vol. 2, pp. 660-684.
Larsson, S., 2001. Binder distribution in lime-cement columns.
Proceedings of the ICE - Ground Improvement. Vol. 5, No. 3, pp.
111-122.
Marzano I.P., Leder E., Grisolia M., Danisi C. 2012. Laboratory study
on the molding techniques for QC/QA process of a Deep Mixing
work. 3rd International Conference on New Developments in Soil
Mechanics and Geotechnical Engineering, Near East University,
Nicosia, North Cyprus. ISBN 975-8359-28-2.
Porbaha, A., Shibuya, S., and Kishida, T., 2000. State of the art in deep
mixing technology. Part 3: geomaterial charachterization.
Proceedings of the ICE - Ground Improvement. 4 (3), pp. 91-110.
Yoshimura K., Mochizuki H., Kon N., Saito S., Suzuki Y., Sugiyama
T., Takahashi, S., 2009. New Procedure for Making Specimens in
Laboratory Mix Test for Sandy Soil Improved by Cement Slurry.
International Symposium on Deep Mixing & Admixture
Stabilization, Okinawa, Japan.
Mesures dynamiques lors du battage pntromtrique Dtermination de la courbe

charge-enfoncement dynamique en pointe
Dynamic measurements of the penetration test Determination of the tips dynamic loadpenetration curve
Benz M.A., Escobar E., Gourvs R., Haddani Y.
Sol-Solution Gotechnique Rseaux, Riom, France
Breul P., Bacconnet C.

Institut Pascal-PolytechClermont-Ferrand Universit Blaise Pascal, Clermont-Ferrand, France
RSUM : Dans cet article, nous prsentons les rsultats des rcents dveloppements raliss sur lessai de pntration Panda 3 en
vue de permettre denrichir son exploitation. A partir de la mesure et du dcouplage des ondes cres suite limpact sur lappareil,
nous pouvons obtenir pour chaque coup la courbe charge enfoncement p-sp permettant de dterminer des paramtres de rsistance et
de dformation mis en jeu pendant lenfoncement de la pointe. Une campagne dessais au laboratoire dans une chambre de calibration
pour deux sols a t mene afin de valider les rsultats obtenus par lexploitation de la courbe p-sp. Les rsultats obtenus sont
confronts aux rsultats obtenus laide dessais triaxiaux et domtriques.
ABSTRACT: In this paper, we present the results of the recent developments done on the Panda 3 dynamic penetrometer aiming at
improving its use will be presented. From measurement and decoupling of waves created by the impact on the penetrometer, we can
obtain for each blow the load-settlement p-sp curve allowing determination of the strength and deformation parameters brought into
play during the cone penetration. A series of tests in a calibration chamber for two soils were conducted to validate the results
obtained by the exploitation of the p-sp curve. The obtained results are compared with the results obtained using the triaxial and
oedometer test.
MOTS-CLS : caractrisation des sols, pntromtre dynamique, Panda 3, propagation dondes, courbe charge-enfoncement.
KEYWORDS : soil characterization, dynamic penetrometer, Panda 3, wave propagation, load-penetration curve.
1
INTRODUCTION
En reconnaissance de sols, du fait des contraintes des essais de

laboratoire (cot, chantillonnage, transport), lutilisation
dessais in-situ est une pratique trs rpandue. Parmi ceux-ci,
les pntromtres dynamiques sont les plus utiliss dans le
monde et sont intressants pour ltude du comportement
dynamique des sols (Tokimatsu 1988) et ce bien que pour la
plupart des ingnieurs, leur caractre dynamique soit considr
comme un dsavantage. Toutefois, les pntromtres
dynamiques ne permettent dobtenir quune seule information
sur le sol : la rsistance de pointe ; et au contraire des
pntromtres statiques qui sont devenus des outils trs
sophistiqus grce lincorporation de diffrents capteurs dans
les pointes, les pntromtres dynamiques sont rests loigns
de ces avances et demeurent dune technicit ancienne. Par
ailleurs, le battage pntromtrique a longtemps t expliqu
par la thorie des chocs de Newton, bien que lon sache que ce
problme ne peut tre rsolu avec la seule application de cette
thorie. A lheure actuelle, on sait que le battage
pntromtrique est mieux reprsent par la thorie de transport
des ondes o le transfert dnergie se fait sous forme dune onde
de compression qui parcourt le pntromtre aprs chaque
impact (Smith 1962, Aussedat 1970).
Cest dans ce cadre et sur la base du pntromtre
PANDA dvelopp depuis plus de vingt ans (Gourvs 1995)
que nous avons conu et dvelopp un pntromtre et un
procd de mesure permettant damliorer linformation
obtenue lors dun sondage : Le PANDA 3 (Benz et al. 2010).
Le principe consiste mesurer et dcoupler les ondes cres
par limpact du marteau sur la tte de lappareil et calculer
ensuite la force, lacclration et la vitesse subis en pointe pour
nous permettre de tracer la courbe charge-enfoncement p-sp
pour chaque coup fourni lors du battage (figure 1).
Figure 1. Principe de lessai Panda 3 (c.f. Benz, 2009).
Lexploitation de la courbe permet de dterminer des

paramtres de rsistance et de dformation du sol mis en jeu
lors de la pntration de la pointe tels que la clrit des ondes,
le module pntromtrique et lamortissement de Smith.
2
PRINCIPE DU PANDA 3
Le principe de lessai est simple : au cours du battage on vient

mesurer dans les tiges, au voisinage de lenclume, les variations
de dformation (x,t) et/ou dacclration a(x,t) entranes par
londe de compression cre par limpact. En effet, quand le
marteau de masse M anim dune vitesse vm heurte la tte du
pntromtre, une onde de compression u(x,t) est engendre
dans celui-ci et se propage une vitesse constante ct vers le
cne. Lorsque u(x,t) arrive linterface cne/sol, une partie de
celle-ci est utilise pour dformer le sol et une autre partie est
rflchie vers le haut. La propagation de u(x,t) dans les tiges est
dcrite par la quation (1) et sa solution gnrale correspond
la superposition de deux ondes, ud et ur, descendante et
remontante (quation 2). Lors de son parcours u(x,t) entrane
dans tout point x des tiges des variations de dformation (x,t) et
499
de vitesse particulaire v(x,t) reprsentes par la superposition

des ondes lmentaires.
2
2u ( x, t )
2 u ( x, t )
ct
2
t
x 2
(1)
u ( x , t ) u d (t x / c t ) u r (t x / c t )
(2)
( x , t ) d (t x / c t ) r ( t x / c t )
(3)
v ( x , t ) v d (t x / c t ) v r ( t x / c t )
(4)
Il est possible de montrer que lexpression (4) peut tre

exprime en fonction des ondes de dformation d et r.
v ( x, t ) ct d (t x / ct ) r (t x / ct )
(5)
La connaissance des ondes d(t) et r(t) permet ainsi de

dcrire entirement le phnomne dynamique du battage
pntromtrique en tout point x le long des tiges. Dans la
pratique, cette connaissance peut se faire laide de mesures
ralises par le biais de jauges de dformation et/ou
dacclromtres. Toutefois, dans les enregistrements raliss
lors du battage, ces ondes se trouvent souvent imbriques les
unes avec les autres et il devient ncessaire de les dcoupler.
2.1
Dcouplage dondes et construction de la courbe chargeenfoncement en pointe
Figure 2. Exemple de courbes charge-enfoncement pntromtriques

obtenues avec le Panda 3 pour deux types de sol (c.f. Benz 2009).
Pour chaque impact, on calcule des paramtres de rsistance,

damortissement, de dformation ainsi que de clrit dondes
dans le sol.
2.2.1 Paramtres de rsistance
En supposant que la contrainte en pointe qd(t) est la
rsultante des composantes statiques Rs (obissant une loi
lastoplastique parfaite) et dynamiques Rd(t) (proportionnelle
la vitesse denfoncement vp(t)); on dtermine la valeur de Rs en
admettant que lorsque vp(t) est nulle la composante dynamique
Rd(t) sannule et Rs est donc gale qd(t).
Diffrentes mthodes peuvent tre employes pour dcoupler

les ondes d(t) et r(t) partir des enregistrements raliss.
Celles-ci diffrent suivant le type de mesures (dformation,
acclration), suivant la quantit (1 n) ainsi que suivants les
conditions aux limites imposes. Toutefois, il a t montr que
la mthode propose par (Casem et al. 2003) est celle qui
sadapte le mieux au cas du battage pntromtrique. A partir
des enregistrements A(t) et vA(t) raliss dans un point A, les
ondes d(t) et r(t) sont dcouples daprs :
v A (t )
v A (t )
1
1
et r (t )
A (t )
A (t )
ct
ct
2
2
d (t )
Figure 3. (a) Modle de Smith et (b) exploitation de la courbep-sp
(6)
En supposant les efforts externes nuls le long de tiges, la

connaissance de d(t) et r(t) permet de calculer les signaux de
force FN(t) et de vitesse vN(t) pour tout point N situ en dessous
du point de mesure A, notamment dans la pointe, selon la
solution propose par (Karlsson et al. 1989).
FN (t )
1
FN 1 (t t n ( n1) ) FN 1 (t t n ( n1) )
2
Z
n v N 1 (t t n( n1) ) v N 1 (t t n ( n1) )
2
(7)
1
v N 1 (t t n( n1) ) v N 1 (t t n( n1) )
2
(8)
1
FN 1 (t t n( n1) ) FN 1 (t t n( n1) )
2 Zn
avec tn-(n-1)=(xn-1-xn)/cn et Zn=EnAn/cn limpdance mcanique
de la section n dfinie par son module de Young En, sa section
An et la clrit de londe cn. Ainsi, partir des enregistrements
A(t) et aA(t) il est possible de calculer les signaux de force Fp(t),
vitesse vp(t) et enfoncement sp(t) en pointe et donc de tracer la
courbe p-sp pour chaque coup de marteau fourni lors du
battage. De nombreux tests ont t raliss pour valider la
faisabilit dun tel essai. Dans la figure 2 on prsente un
exemple de courbes obtenues pour deux types de sol. On peut
remarquer que ces courbes sont rptitives pour un mme
matriau et varient selon la nature du milieu auscult permettant
didentifier des comportements diffrents.
v N (t )
2.2
Exploitation de la courbe charge-enfoncement p-sp
Pour interprter la courbe p-sp il a t propos une

mthodologie fonde sur les travaux de (Smith 1962).
500
Les valeurs de Rd(t) et du coefficient damortissement de

Smith Js sont dtermins dans lintervalle denfoncement [se;
smax], avec se et smax les enfoncements lastique et maximal, en
crivant que Rd(t) = qd(t)-Rs et Js=Rd(t)/(Rsvp(t))(figure 3.b).
2.2.2
Paramtres de dformation
Une fois lenfoncement maximal smax atteint, on admet que

sol et pntromtre se mettent vibrer ensemble dans un rgime
pseudo-lastique. Dans cette partie de la courbe p-sp, deux
modules sont ainsi dfinis : un module de dchargement EdP3
(droite AB) et un module de rechargement ErP3 (droite BC)
(figure 3.b). En assimilant la pointe une petite plaque
encastre lintrieur dun massif lastique semi-infini, on
calcule la valeur de Ed,rp3 en appliquant la quation de
Boussinesq (9) propose par (Arbaoui 2006).
q d d p 1
(9)
s p 4 k M
avec suppos gal 0,33, dp le diamtre de la pointe et kM le
coefficient dencastrement de mindlin.
d 'r
E
(1 2 )
p3
2.2.3
Clrit des ondes cp et cs
La clrit des ondes de compression cp et de cisaillement cs

dans le sol est calcule par le biais des polaires de choc
prconise par (Aussedat 1970). Pour chaque impact on mesure
les pics des ondes descendantes et remontantes dans un espace
de temps to+2Lt/ct nous permettant de calculer la valeur de cp
(Benz 2009). La valeur de cs est calcule daprs lexpression
(10) en supposant la valeur de gale 0,33.
Tableau 1 Caractristiques des matriaux et des prouvettes.

Caractristiques
Tmax/2mm/80m/IP
OPN WOPN
prouvettes
w%
s kN/m3
%OPN D.R%
qd(MPa) Pda2
Etriaxial MPa
Eoed MPa (*)
Argile de Laschamps (GTR : A2 - USCS : ML)

0,08mm / 99,3% / 96,3% / 15,1% (WL :42,7% )
18,08 kN/m3 15,8%
Sable dAllier (GTR : B1 - USCS : SP)

2,73mm / 90,3% / 1,14% / NP
17,07 kN/m3 7%
1
0,8
16,1
94 - 28
2,1
2,9
28,1
0,8
16,83
99 - 57
4,5
11,2
97,6
14,6
16,26
95 - 35
2,4
4,1
37
14,6
16,52
97 - 44
4,6
6,3
57,6
0,6
15,73
87
9,8
19,6
0,6
16,69
92
33,9
38,1
0,6
17,43
96
43
63,5
15,38
16,65
92
1,9
24
15,61
17,43
96
2,8
36
19,15
16,72
93
1,2
17,6
cs c p (1 2 ) 2(1 )
(10)
Enfin, lissue dun sondage Panda 3, on trace en fonction

de la profondeur z les pntrogrammes de : rsistance de pointe
qd, clrit des ondes cp et cs, module pntromtrique Edp3 et du
coefficient damortissement Js (i.e. figure 6)
3
ESSAI EN CHAMBRE DE CALIBRATION
Une srie dessais a t ralise dans une chambre de calibration

compose dun cylindre en acier de 400mm de diamtre et
810mm de hauteur (figure 4). Lobjectif tait dune part de
valider les rsultats obtenus par lexploitation de la courbe p-sp
du Panda 3, dautre part de vrifier leur sensibilit ltat du
sol et enfin de les confronter aux rsultats obtenus par le biais
dessais classiques (domtre, triaxial). Deux sols ont t
employs : un sable dAllier et une argile de Laschamps.
3.1
(a) sable dallier

moyennement dense
(b) sable dallier

dense
Ralisation des prouvettes et des essais
Diverses prouvettes ont t ralises en faisant varier la

densit s et la teneur en eau w pour chaque sol tudi (tableau
1). Le compactage des prouvettes est ralis laide dun vrin
quip de diffrents capteurs suivant la procdure dcrite par
(Chaigneau 2001). Lors du compactage, des essais de
chargement domtriques taient raliss selon la procdure
prconise par (Gorena 2007). Lexploitation des courbes
domtriques a permis de dterminer les valeurs Eoed prsents
dans le tableau 1. Une fois les prouvettes ralises, trois essais
de pntration taient raliss avec le Panda 2 et le Panda 3 et
dont au moins 1 avec ce dernier (figure 4.c).
Figure 4. (a) essais de chargement domtriques lors du compactage,

(b) prouvette compacte et (c) ralisation des essais Panda 3.
Des essais triaxiaux ont t galement raliss pour le sable

dAllier. Les chantillons, conus mme densit que les
prouvettes auscultes, ont t cisaills dans un chemin triaxial
pression de confinement gale 50kPa et les rsultats obtenus
(module tangent initial Etriaxial) sont prsents dans le tableau 1.
3.2
pour chaque impact ralis lors du battage, la courbe p-sp a t

dtermine. Un exemple des courbes obtenues lors dun essai
pour quatre prouvettes diffrentes est prsent dans la figure 5.
Dans lexemple, les chelles de charge p et denfoncement sp
sont normalises par rapport la charge p-max et
lenfoncement sp-max maximal mesurs pour chaque coup trac.
Rsultats
Au total, une dizaine dessais Panda 3 ont t raliss, un

pour chaque prouvette (tableau 1). Pour chaque essai et donc
501
(c) argile de Laschamps

moyennement dense
(d) argile de Laschamps

dense
Figure 5. Courbes p-sp obtenues pour du Sable dallier (a) s : 16,26kN/m3,

w% :14,6, (b) s : 16,83kN/m3, w% :0,8 et pour de lArgile de Laschamps
(c) s :16,72kN/m3, w% :19,15 et (d) s :17,43kN/m3, w% :0,6
A partir des courbes p-sp exposes, on peut remarquer que

celles-ci sont caractristiques et rptitives pour chaque sol
auscult. De mme, lallure des courbes est sensible ltat du
sol. Dans le cas du sable dAllier, on constate que la courbe psp devient presque asymptotique avec laugmentation de la
densit et que le retour lastique augmente aussi (figure 5.a,b).
Quant largile, on peut remarquer que les courbes p-sp sont
sensibles ltat du sol. Lorsque le sol est trs humide (figure
5.c) la contrainte augmente trs rapidement jusquau pic p-max,
puis elle chute mme vitesse vers la valeur rsiduelle. Cela
nest pas le cas lorsque le sol est sec et plus dense (figure 5.d)
Pour chaque prouvette, lensemble de courbes p-max est
exploite automatiquement selon la procdure cite dans 2.2.
Les paramtres calculs sont tracs sous forme de
pntrogrammes, tel que montr dans la figure 6. Dans
lexemple prsent, on compare les pntrogrammes obtenus
pour deux prouvettes de sable dAllier diffrents tats de
densit (D1 et D2). De manire gnrale, on peut constater que
lensemble des paramtres est sensible lvolution de la
densit du milieu.
A partir des pntrogrammes obtenus nous avons calcul la
valeur moyenne pour chaque paramtre issu de lexploitation
des courbes p-sp (tableau 2). On peut remarquer que ceux-ci
varient en fonction de la nature et de ltat du sol auscult. De
mme, lordre de grandeur des paramtres calculs, tel que la
clrit des ondes cp et cs, a une bonne correspondance avec

Rsistancedepointe,(MPa)
Profondeur,z(m)
0.1
10
100
10
ceux proposs dans la littrature (Sharour et Gourvs, 2005).
Clritdesondes(m/s)
100
10
1000
Module,Edp3 (MPa)
Coefficientd'amortissementJs
100
0.0
0.0
0.0
0.0
0.0
0.1
0.1
0.1
0.1
0.2
0.2
0.2
0.2
0.3
0.3
0.3
0.3
0.4
0.4
0.4
0.4
0.5
0.5
0.5
0.6
0.6
0.6
0.7
0.7
0.7
*Pda2:valeurs
obtenusavecla
formuledes
Hollandaisselon
(NF94105).
0.5
0.6
0.7
Pda2 D1
Pda2 D2
0.8
Pda3 D1
Pda3 D2
0.9
0.8
Cp D1
Cs D1
Cp D2
Cs D2
0.8
0.9
0.9
0.2
0.4
0.6
0.8
1.0
0.8
EdP3 D1
Edp3 D2
Js D1
Js D2
0.9
Figure 6. Rsultats Panda 3 obtenus en chambre de calibration pour un sable dAllier sec 2 tats de densit diffrents D1, D2 (prouvettes 1 et 2).
Tableau 2 Synthse des rsultats obtenus laide du Panda 3 dans chambre de calibration
Argile de Laschamps (GTR : A2 - USCS : ML)
Sable dAllier (GTR : B1 - USCS : SP)

prouvettes
w%
s kN/m3
qd P3 (MPa)
cp (m/s)
cs (m/s)
EdP3 (MPa)
Js (Ns/m)
1
0,8
16,1
2
0,8
16,83
2,3
620
298
37
0,26
11
1504
708
120
0,09
3
4
1
2
3
14,6
14,6
0,6
0,6
0,6
16,26
16,52
15,73
16,69
17,43
Rsultats Panda 3 (valeurs moyennes calcules pour chaque prouvette)
1,6
383
184
41
0,15
2,6
504
242
65
0,15
8
2380
1145
60
0,63
Par ailleurs, nous avons confront les valeurs moyennes des

modules EdP3 obtenus pour chaque prouvette avec ceux obtenus
par le biais des essais triaxiaux (cas du sable) et domtriques
(figure 7). Dans le cas du sable, on peut constater quil existe
une trs bonne corrlation entre les modules EdP3 et les modules
triaxiaux Etriaxial et domtriques Eoed (figure 7.a). Toutefois, la
corrlation EdP3-Eoed est moins bonne pour le cas de largile
(figure 7.b). Cela peut sexpliquer par le caractre dynamique
du chargement pntromtrique et par laugmentation des
pressions interstitielles au sein du milieu pendant lenfoncement
du cne. De mme, les valeurs du module Eoed obtenues lors du
compactage des prouvettes peuvent tre perturbes par la
cration des surpressions interstitielles lors du chargement.
(a) Sable dAllier
(b) Argile de Laschamps
Figure 7. Corrlation entre les modules EdP3 et les modules triaxiaux Etriaxial et
domtriques Eoed pour (a) Sable dAllier et (b) Argile de Laschamps.
CONCLUSION
Lessai au pntromtre dynamique bien que largement

utilis travers le monde souffrait du peu de dveloppements
raliss pour permettre damliorer la qualit des mesures
effectues et enrichir son exploitation. Cet article a prsent les
dveloppements rcents raliss sur le pntromtre Panda 3,
qui permettent partir de la mesure et du dcouplage des ondes
cres par limpact sur lappareil, dobtenir pour chaque coup
une courbe charge-enfoncement p-sp du sol test.
Lexploitation de cette courbe permet de dterminer des
paramtres de rsistance (rsistance de pointe), de dformation
(module dynamique), des caractristiques damortissement et de
clrit des sols auscults en fonction de la profondeur tout au
long du sondage. Les tests raliss en chambre de calibration
ont montr la bonne rptabilit des mesures ainsi que leur
sensibilit aux conditions du sol (tat de serrage et tat
502
32
6151
2955
130
0,65
65
5775
2773
221
0,70
4
15,38
16,65
5
15,61
17,43
6
19,15
16,72
1,5
597
286
31
0,43
3
989
475
62
0,56
4
1081
519
64
0,75
hydrique) et leur bonne adquation avec les valeurs de la

littrature. Des tudes comparatives entre les modules obtenus
au pntromtre et ceux obtenus partir dessais de chargement
domtrique ou triaxial ont montr une bonne corrlation pour
le sable. Cet outil est maintenant oprationnel in situ et des
travaux complmentaires sont actuellement mens en vue
dobtenir une meilleure interprtation des paramtres extraits
partir de la courbe charge/enfoncement.
5
REFERENCES
Tokimatsu, K., (1988). Penetration tests for dynamic problems, Proc.,

ISOPT1, 1, pp. 177-136.
Gourvs R, Barjot R (1995). Le pntromtre dynamique PANDA,
Proc. of ECSMFE, Copenhagen, Denmark, 1995, p 83- 88.
Benz, M.A. (2009). Mesures dynamiques lors du battage du
pntromtre Panda 2. Thse de lUniversit Blaise Pascal,
Clermont-Fd, (2009).
Casem, D., Fourney, W. et Chang, P. (2003), Wave separation in
viscoelastic pressure bars using single-point measurements of strain
and velocity, Polymer testing 22, 2003, pp 155-164.
Chaigneau, L. (2001). Caractrisation des milieux granulaires de surface
laide dun pntromtre. Thse de lUniversit Blaise Pascal,
Clermont-Fd (2001).
Karlsson L.G., Lundberg B, Sundin K.G. (1989), Experimental study of
a percussive process for rock fragmentation, Int J Rock Mech Min
Sci Geomech, 1989, pp.45-50.
Smith, E.A.L. (1962), Pile-Driving Analysis by the Wave Equation,
ASCE. Paper No. 3306, Volume 127, Partie I, 1962, pp 1145-1193.
Arbaoui, H., Gourvs, R., Bressolette, Ph., Bod, L. (2006), Mesure de
la dformabilit des sols in situ laide dun essai de chargement
statique dune pointe pntromtrique, Canadian geotechnical
journal, vol. 43, 2006, pp. 355-369.
Sharour, I et Gourvs R (2005) Rconnaissance des terrains in situ. Ed.
Hermes Lavoisier.191pp. 2005
Aussedat G. (1970). Sollicitations rapides des sols, Thse de doctorat,
Facult de sciences de lUniversit de Grenoble.
Gorena A. (2007). Mesure des proprits de dformabilit de sols de
rfrence, Mmoire dIngnieur CUST, Juin 2007.
Benz, M.A., Gourvs, R. et Haddani, Y. (2010). Dtermination de la
courbe charge enfoncement dynamique en pointe pntromtrique
par dcouplage des ondes. JNGG 2010, Grenoble 7-9 Juillet 2010,
France Tome 1, pp17-24.
th
Performance of a deep excavation in downtown Toronto

Performance d'une excavation profonde au centre-ville de Toronto
Cao L.F., Peaker S.M., Ahmad S.
SPL Consultants Limited, Ontario, Canada
ABSTRACT: This paper presents field measurements of soldier pile walls installed in the clayey soils and shaly rock in downtown
Toronto. The method of deducing wall bending moments from the inclinometer measurements was evaluated and discussed. Backanalysis using a finite element program has been carried out to evaluate the shoring wall performance as well as the creep behaviour
of the shaly rock. Recommendation for the design of soldier pile walls in the similar soils and bedrock conditions were provided.
RSUM : Cet article prsente des mesures de terrain pour des murs de pieux soldats installs dans les sols argileux et le roc shaleux
du centre-ville de Toronto. La mthode donnant les moments de flexion du mur partir des mesures inclinomtriques a t value et
discute. Une analyse a t effectue avec un programme d'lments finis pour valuer la performance du mur tay ainsi que le
comportement en fluage du shale. Des recommandations, pour la conception des murs de pieux soldats dans des conditions
semblables de sols et de roc, ont t fournies.
KEYWORDS: deep excavation, field measurement, inclinometer, bending moment, finite element, time-dependent deformation
1
The Georgian Bay formation is generally massive shaly rock

with widely spaced jointing and sub-horizontal bedding planes.
The influence of sedimentary shaly bedrock formations on the
engineering performance of underground structures in Southern
Ontario was summarized by Lo (1989). The shaly bedrock
formations are subjected to high in-situ horizontal stresses with
typical coefficient of lateral earth pressure Ko of 4 or greater.
Upon relief of the high residual horizontal stresses, timedependent, creep-like deformations take place. These timedependent deformations that are highly stress dependent, persist
well beyond the initial elastic deformations and generally
exceed the magnitude of the elastic movements.
Soldier piles of steel H-beam W610x82 at 3.05 m spacing
with wood lagging were employed to support an approximately
14 m deep excavation in which 9.3 m excavation was inside
overburden soils and 4.7 m excavation inside the bedrock. The
soldier piles were installed typically 16 m below the existing
ground surface in 910 mm diameter drilling holes. The drilling
holes were backfilled by 0.4 MPa concrete with the exception at
the pile toe, where 20 MPa concrete was used to support the pile
toe. Two layers of tiebacks were installed at approximately 3.3
and 8.3 m below the existing ground surface, respectively to
support the soldier pile walls during excavation. The tiebacks
were installed within 150 mm dia. cased boreholes and bonded
in bedrock. Each tieback was made up of 6 to 7 numbers of 15
mm strand tendons. The upper and lower tiebacks were installed
at 45o and 25o to the horizontal direction, respectively. The bond
length of the upper tiebacks was typically 5 m and the free
length 9.4 m. The bond length of the lower tiebacks was
typically 3 m and the free length 3.9 m. The tiebacks were
generally post-grouted the day after they were installed. The
typical design loads for the upper and lower tiebacks were 1000
and 800 kN respectively. Figure 1 shows outlook of soldier
piles with wood lagging supported by tiebacks.
Two performance tests for the tiebacks were conducted up
to 138% and 200% of the design load, respectively. The test
loads were maintained for 0.5 to 1 hour and the tests met the
PTI criteria (PTI, 1996). Proof tests were carried out for all
INTRODUCTION
Underground structures such as basements and subway have to

go deeper today than in the past due to limited space in densely
populated urban environments. As deep excavations induce
large stress and strain, underground structures and the adjacent
structures/utilities will confront risks of being damaged. As the
soil/rock stress-strain behaviour is non-linear and affected by
many factors, it is difficult to predict the ground movement
induced by excavation. In practices, field measurements are
widely used to monitor soil/rock behaviour and to control
ground movement.
This paper presents a case study of a deep excavation in
downtown Toronto. Soldier piles with tiebacks were used to
support the excavation. Two inclinometers and one hundred and
twenty seven reflective targets were installed to monitor the
movements of the shoring walls during and after excavation.
The inclinometer measurements have been used to deduce the
wall bending moments. A finite element program has been
carried out to evaluate the performance of the shoring walls. It
is found that the total stress analysis leads a good prediction of
wall deflections during the excavation, whereas the effective
stress analysis is required to model the behaviour of shoring
walls after excavation. The back-analysis also shows the
evidence of the creep movement of the shaly rock.
2 GROUND CONDITION AND TEMPORARY SUPPORT
SYSTEM
The site is located at 352 Front Street West in Toronto, Ontario.
Field investigation with drilled boreholes revealed that the site
stratigraphy was made up of about 1 m thick, compact sand to
gravel fill with asphalt surface overlying 3 to 4 m thick, firm to
hard clayey silt fill over 2 to 5 m thick, stiff to very stiff clayey
silt till. Both clayey fill and till are low plasticity soils. Georgian
Bay formation of shale and limestone/siltstone was encountered
at 9 to 9.5 m below existing ground surface. The groundwater
table was about 5 m below grade.
5031
th
tiebacks. The test load was 133% of the design load and
maintained for 10 minutes. All tiebacks except three tiebacks
met the PTI criteria. The three tiebacks could not reach the test
load due to the broken wires. A lower design load was used for
the three tiebacks. Detailed discussions on the tiebacks are
presented by Cao and Peaker (2011).
-15
-10
-5
Lateral Deflection (mm)

0
5
10
15
Bedrock Surface
Depth (m)
10
T ieback
Excavation
Level
15
Inclinometer after upper tieback installed

Reflective target after upper tieback installed
20
Inclinometer after lower tieback installed

Reflective target after lower tieback installed
Figure 1. Outlook of soldier piles with wood lagging supported by

tiebacks
Two inclinometers were installed inside the soldier pile walls

during the pile installation. The inclinometers were monitored
during and after the excavation. Figure 2 shows the monitoring
results of one inclinometer including the reading taken after
upper and lower tieback installations, 1 day after the excavation
to bottom, and 11 months after the excavation. The lateral
deflections measured by reflective targets installed at the top of
soldier piles are also shown in Figure 2. The measurements of
reflective targets are consistent with the inclinometer
measurements.
Inclinometer 1 d after excavation to bottom

25
Inclinometer 11 m after excavation to bottom

Reflective target 11 m after excavation to bottom
30
Figure 2. Lateral deflection of soldier pile wall
Bending Moment (kN/m)

-600
0
3 BENDING MOMENT FROM WALL INCLINOMETER

MEASUREMENTS
-400
-200
200
400
600
The inclinometer measurements have been used to estimate wall

bending moments by some researchers (Poh et al. 1999). The inwall inclinometers provide a direct measurement of the rotation.
These measurements can be subsequently converted into wall
deflections along the wall. The wall curvatures can be derived
from the wall deflection data. The second differential equations
of the wall deflection will give the along the wall. The
bending moment M can be computed from using the
following equation (West, 1993)
M = I = KI(d2y/dx2)
Reflective target 1 d after excavatio to bottom
Depth (m)
Bedrock Surface
10
Excavation Level
15
(1)
Inclinometer after upper tieback installed
where E is the elastic modulus of the wall, I is the inertia

moment of the wall, y is the lateral deflection of the wall and x
is the distance along the wall.
Using Microsoft Excel spreadsheet, the inclinometer
measurements were fitted with a sixth- degree polynomial and
double differentiation of this polynomial gave . The coefficient
of determination value obtained during the curve fitting ranged
from 0.98 to 0.99, indicating minimal error during the process
of curve fitting. The Youngs moduli of 0.4 MPa concrete and
H-beam W610x82 were taken as 2.8 GPa and 200 GPa,
respectively. The sum of concrete EI and H-beam EI was used
in the calculation of the bending moment. Figure 3 shows the
bending moments deduced from the wall inclinometer
measurements. Higher bending moments were observed at the
locations of tiebacks. However, significant high values of
bending moments were obtained near the ground surface, which
is against the typical distribution of bending moment along a
cantilever beam. This could be an error inducted in the double
differentiation of the wall deflection. Further study using a
504
20
1 d after excavation to bottom

11 m after excavation to bottom
25
Figure 3. Wall bending moments deduced from inclinometer
measurements
higher degree polynomial and a defined boundary condition is

required.
4
FINITE ELEMENT BACK-ANALYSIS
The finite element program Phase 2 (version 8.0) was used in

the back-analysis. The program can be used to simulate
excavation in soil and rock under plane strain condition. Sixnode triangle elements were used to model the soil and bedrock
media. The soldier pile wall and tiebacks were modelled by
th
The soldier pile wall was modelled as reinforced concrete

with W610x82 at spacing of 3.05 m. The equivalent thickness
of 0.4 MPa concrete was taken as 0.2 m and the Youngs
modulus was 2.8 GPa. The concrete compressive and tensile
strengths were taken as 400 kPa and 40 kPa, respectively. The
compressive and tensile strengths of W610x82 were taken as
345 MPa. The Poissons ratio for steel and concrete was taken
as 0.2. The equivalent bolt diameters for the upper and lower
tiebacks were taken as 32 mm and 24.5 mm, respectively. The
Youngs modulus of tiebacks was taken as 200 GPa. The bond
shear stiffness was taken as 6000 kN/m/m based on the tieback
proof test results. The bond lengths of the upper and lower
tiebacks were taken as 5 m and 3 m, respectively. The spacing
of tiebacks was taken as 3.05m.
The measured and computed wall deflections after the
installation of upper tiebacks and the excavation just to the
bottom are shown in Figure 4. The computed wall deflections
are in a good agreement with the inclinometer measurements,
indicating that the in-put parameters used in the analysis are
reasonable.
The computed bending moments for the excavation just to
bottom are compared with those deduced from the inclinometer
measurements as shown in Figure 5. The bending moments
deduced from the inclinometer measurements are comparable
with the computed except near the ground surface where
significant high values deduced from the inclinometer
measurements. Ignoring the high bending moments near the
ground surface, the bending moments deduced from the
inclinometer measurements can be used for the checking of the
capacity of the soldier piles.
The inclinometer measurements show that up to 7 mm lateral
movement was developed after the excavation to bottom as
shown in Figure 2. This could be due to three possible reasons:
(1) the consolidation of clayey soil; (2) de-stressing of tiebacks;
and (3) time-dependent deformation of the shaly rock upon
relief of the initial high horizontal stresses. The first two
possible reasons have been studied in the finite element analysis
using the effective parameters and reduced modulus for the
structural beam elements. The analysis modelled a half width of

the excavation where the right-hand boundary of the mesh
represented the line of symmetry at the centre line of
excavation. The finite mesh was 140 m long and 84 m deep.
The half width of the excavation was 20m. The bottom
boundary was strained from both vertical and horizontal
movements. The left-hand and right-hand boundaries were free
to move in the vertical direction.
The soil and bedrock profiles used in the analysis were
based on borehole logs. The groundwater level was taken at 5 m
below existing ground surface at the initial stage. During the
excavation, the groundwater level was assumed to be drawn
down to the excavation level at the excavated side.
For the surface sandy fill, the Youngs modulus E of 25 MPa
and the friction angle of 30o were assumed. For the clayey
soils, the undrained shear strength su was estimated from 6N,
where N is the blow counts of the standard penetration testing.
The residual su was taken as 50% of the initial su. The undrained
E of clayey soil was estimated from 1500su for the native low
plasticity clayey silt till and 500su for the clayey silt fill,
respectively. The soil Poissons ratio was taken as 0.3. The unit
weight was obtained from available laboratory testing data.
Mohr Coulomb failure criterion was used for soils. The soil
properties used in the analysis are shown in Table 1.
Table 1. Soil parameters used in the finite element analysis
Depth
(m)
Type
01
(kN/m3)
E
(MPa)
su
(kPa)
Ko
Sandy
fill
20
25
30
0.5
1
4.5
Clayey
fill
20
30
60
0.75
4.5
9.3
Clayey
till
21
225
150
0.75
Note: Ko is the coefficient of lateral earth pressure (total stress)
For the jointed shaly bedrock, the generalized Hoek-Brown

constitutive model was used. The following parameters were
used to generate the generalized Hoek-Brown rock-mass
strength criterion: (1) The geological strength index was taken
as 60 for sound bedrock, respecting blocky to very blocky, good
to fair joint surface, and 30 for weathered bedrock, respecting
blocky/disturbed/seamy joint surface; (2) The intact rock
constant was taken as 8 for sound bedrock (highest value for
shale) and 4 for weather bedrock (lowest value for shale); (3)
The disturbance factor was taken as 0 for excellent quality
controlled excavation; and (4) The modulus ratio was taken as
250 for bedrock (highest value for shale) and 150 for weather
bedrock (lowest value for shale). The intact compressive
strength was obtained from available results of rock point load
testing and unconfined compressive testing. The rock Poissons
ratio was taken as 0.15. Based on the above assumptions, the
obtained strength parameters for the generalized Hoek-Browns
model are summarized in Table 2.
-15
-10
-5

0
5
10
15
Bedrock Surface
Depth (m)
10
Excavation Level
15
Inclinometer readings after upper tieback installed

Table 2. Rock parameters used in the finite element analysis
Depth
(m)
Type
9.3
11.3
>11.3
20
(kN/m3)
E
(MPa)
mb
Ko
Weathered
bedrock
25
244
0.3
0.004
0.52
Sound
bedrock
26
3072
1.3
0.004
0.51
Computered deflections after upper tieback installed

25
Inclinometer readings after excavation to bottom

Computered deflections after excavation to bottom
30
Figure 4. Measured and computed wall deflections
Note: mb, s and a are parameters used in generalized Hoek-Browns

model
505
th
Bending Moment (kN/m)

-600
0
-400
-200
200
400
In-wall inclinometer has an importation role in the monitoring

of shoring walls during and after excavation. Wall bending
moments can be estimated from the inclinometer measurements
except near the ground surface where the bending moments are
overestimated probably due to the error in double differentiation
of the wall deflection.
Both total and effective stress analyses should be used for
the design of shoring walls installed in the clayey soils. As
supported by the finite element back-analysis, the clayey soils
behave as undrained during excavation and as drained after
excavation. The finite element analysis confirmed that the timedependent deformations of shale rock during 11 months after
excavation could be up to 5 mm for 4.5 m excavation in the
shaly rock. The time-dependent deformation should be
considered in the shoring wall design.
600
Depth (m)
Bedrock surface
10
Excavation Level
15
6
Deducted from inclinometer readings (1 d after
excavation to bottom)
20
Computed (1 d after excavation to bottom)

25
Figure 5. Deduced and computed wall bending moments
clayey soils, and reduced prestressing for tiebacks. Figure 6

show the comparison of the computed and measured lateral
deflections. In this analysis, the E was taken as 80% of the
initial E; the effective and cohesion for clayey fill were taken
as 30o and 3 kPa, respectively; the effective and cohesion for
clayey till were taken as 32o and 7.5 kPa, respectively; and the
lower tiebacks were assumed to be de-stressed to 50% of the
initial prestressing. The computed lateral deflections within the
upper portion of the overburden are in a good agreement with
the inclinometer reading. However, there is a difference of up to
5 mm between the computed and measured deflections in the
lower portion of the overburden and the bedrock, which should
belong to the time-dependent deformation of the shaly rock as
the de-stressing of tiebacks or the consolidation of clayey soils
could not lead such deformation.
-15
-10

-5
0
5
10
15
Depth (m)
Bedrock Surface
10
T ieback
15
20
CONCLUSIONS
Excavation Level
Inclinometer reading (11 m after

Computed deflections (11 m after
25
Figure 6. Measured and computed wall deflections (11 months after
excavation)
506
REFERENCES
Cao L.F. and Peaker S.M. 2011. Use of tieback in Southern Ontario.
64th Canadian Geotechnical Conference, Toronto, Paper 175
Lo K.Y. 1989. Recent advances in design and evaluation of
performance of underground structures in rocks. Tunnelling and
Underground Technology 27, 461-477.
Poh T.Y., Goh A.T., Wong K.S., Wong I.H. and Poh K.B. 1999.
Determination of bending moments in diaphragm wall. 5th
International Symposium on Field Measurements in Geomechanics,
Singapore, 229-234.
PTI 1996. Recommendations for prestressed rock and soil anchors.
Post-Tension Institute, Phoenix.
West H.H. 1993. Fundamentals of structural analysis. John Wiley &
Sons, Inc.
Permeability scale effect in sandy aquifers: a few case studies

Effet dchelle et permabilit des aquifres sableux : quelques tudes de cas
Chapuis R.P.
cole Polytechnique, Montral, QC, Canada
ABSTRACT: In sandy aquifers, stratification results in a range of values for the hydraulic conductivity K, which can be evaluated at
three scales. Since large-scale tests are more likely to meet preferential flow paths, they are also likely to yield larger K values than
small-scale tests, which may be viewed as a scale effect. The small scale is that of soil samples: their quality must be assessed and
their grain size distribution analyzed to check for mixes of sub-layers, before using reliable methods to predict the K values. The
middle scale is that of field permeability tests for which it is important to respect the standards and perform verifications. The large
scale is that of pumping tests. The paper presents a few case studies of sandy aquifers. Their stratification led to unimodal or
multimodal grain size distributions. For all cases, the K distributions provided consistent images of the sandy aquifers. It was then
concluded that, after a quality control of data and interpretations, there was no scale effect in the aquifers.
RSUM : Dans les aquifres sableux, la stratification donne une gamme de valeurs pour la conductivit hydraulique K qui peut tre
value trois chelles. Les essais grande chelle ayant plus de chances de tester des zones dcoulement prfrentiel, ils ont aussi
plus de chances de donner des valeurs leves de K que les essais petite chelle, ce qui peut tre vu comme un effet dchelle. La
petite chelle est celle des chantillons : leur qualit doit tre value et leur granulomtrie analyse pour dtecter les mlanges de
strates, avant dutiliser des mthodes fiables de prdiction de K. Lchelle moyenne est celle des essais de permabilit in situ pour
lesquels on doit respecter les normes et faire des vrifications. La grande chelle est celle des essais de pompage. Larticle prsente
des tudes de cas daquifres sableux. Leur stratification a donn des granulomtries unimodales ou multimodales. Pour tous les cas,
les distributions de K ont fourni des images cohrentes des aquifres sableux. On a conclu, aprs un contrle de qualit des donnes et
des interprtations, quil ny avait pas deffet dchelle dans ces aquifres.
KEYWORDS: aquifer, grain size distribution, monitoring well, permeability test, pumping test, scale effect
1
INTRODUCTION
In sandy aquifers, groundwater seepage is controlled by

stratification, with coarse size sediments deposited at high water
velocities and small size sediments settling at low water
velocities, or in temporary ponds. Many methods can be used to
assess the hydraulic conductivity, K, which can vary over orders
of magnitude. It is often believed that since large-scale tests
involve large volumes, which are more likely to meet
preferential flow paths, they are likely to yield larger K values
than small-scale tests (Bradbury and Muldoon 1990; Rovey
1998; Rovey and Niemman 1998). Thus, there should be a scale
effect for the K value, some increase with the tested volume.
There is no consensus about this scale effect. Many studies
tried to check or challenge theoretical opinions. They differed
about testing techniques, investigated scales, and geologic
media. Alas, the quality of each K value usually was not
questioned even if poor quality data and interpretation are
known to yield an artificial scale effect. Regrettably, the quality
control of groundwater parameters, which must be methodically
completed for engineered facilities, is not always done (Chapuis
1995). This paper examines quality control issues with data and
interpretation, in order to exclude artificial scale effects.
The idea of scale effect was rejected by Butler and Healey
(1998). They argued that scale effect results from artifacts
linked to incomplete well development and low-K skins around
well screens, but they did not study what produce a positive or
negative skin. These skin phenomena and their effects on the
apparent K value being related to safety issues, they are more
studied in geotechnique (Chapuis and Chenaf 2010) than in
geosciences.
Moreover, many studies have not examined how incorrect
interpretation methods for slug tests and pumping tests can yield
artificial scale effects. However, the quality control of slug test
507
methods has been largely investigated in geotechnique (Chapuis

et al. 1981; Chapuis 1988, 1998, 1999, 2001; Chapuis and
Chenaf 2002, 2003). For pumping tests in unconfined aquifers,
the large-scale K values obtained were shown to be incorrect if
the interpretation was performed using current methods for
unsteady-state (Akindunni and Gilham 1992).
Therefore, when studying scale effect, some caution must be
observed to avoid using scale effect as a final excuse, or as a
fudge factor, when the heterogeneity of the tested material could
have been more thoroughly investigated and when errors
involved in sampling, testing and interpretation methods could
have been taken into account.
Note that properly taking into account scale effect is
important for numerical analyses, since an aquifer numerical
model cannot be as detailed as the physical reality. Most often,
the grids of numerical models cannot contain enough elements
to model the detail of real features. This is why up-scaling
techniques are needed to define some equivalent K value for
grid elements (Renard and de Marsily 1997; Zhang et al. 2011).
In this paper, the results of three sites are briefly examined.
The small scale, about 10-3 m3, is that of samples recovered in
boreholes for which the K value was evaluated using predictive
methods. The middle scale, about 1 m3, is that of field
permeability tests in monitoring wells. The large scale, about
103 m3, is that of pumping tests. Now, the problems linked to
the collected data at three scales in sandy aquifers are examined
in detail, starting with the soil samples taken in boreholes.
2
SMALL-SCALE K VALUES (SAMPLES)
Many soil samples can be taken in boreholes, usually with a

split spoon. Quality issues relative to soil sampling have been
the topic of many geotechnical researches. Five sample classes
are defined by considering the relationships between sampling
THE SITES
5.1
The Lachenaie site
The site is located 50 km north-east of Montreal. The sand

unconfined aquifer has been used for field training and research.
The GSDCs could be correctly fitted using a unimodal
lognormal distribution. The little variability for the mean and
the standard deviation indicate homogeneity (Fig. 1). For the
pumping test, the steady-state drawdown data were used, the
interpretation methods being proven to be reliable (Chapuis et
al. 2005a, b). In this aquifer, the average K values at the three
scales are very close, and thus there is no scale effect (Fig. 2).
0
mean
50
sdt dev.
100
150
200
250
300
350
-2.0
-1.0
0.0
1.0
2.0
log (mean size) and log (std dev.)
Figure 1. Lachenaie: modal decomposition of the sand GSDCs.
MEDIUM-SCALE K VALUES (SLUG TESTS IN MWS)
The middle scale, about 1 m3, is that of permeability tests (slug

tests) performed in monitoring wells.
It is important to use the standard methods to interpret the
slug test data. In Canada, CAN/BNQ 2501-135 is the standard
for an overdamped response (CAN/BNQ 1988, 2008), but there
is no standard for an underdamped response. ASTM, however,
has standards for the underdamped response (ASTM 2012a) and
for the critically damped response (ASTM 2012b).
For overdamped slug tests, the velocity graph method helps
to establish the correct piezometric level (PL) and K value for
the test. It also helps to detect several phenomena during the
test. Even if the aquifer is unconfined, and even if the MW is
correctly installed, there are several reasons why the test data
must be corrected by a systematic error on the assumed PL, of a
few centimetres (Chapuis 2009a, b). The velocity graph gets rid
of any systematic error, which may be due to incorrect
calibration of a pressure transducer (PT), waiting time, PT line
slippage, piezometric modification, faulty MW installation, and
unknown PL. However, it cannot make a distinction between
these six errors.
For underdamped slug tests, it is preferable to fit the test data
using a least squares method, instead of a visual fit, and the
verification of three physical conditions must be done for each
tests, otherwise large errors can be made (Chapuis 2012c).
4
LARGE-SCALE K VALUES (PUMPING TESTS)
For the large scale of pumping tests, about 103 m3, precautions
must be taken when installing the pumping well and MWs, and
also when interpreting the pumping test data. The common
theories for unsteady-state are based on some wishful thinking
508
100%
90%
% of cases lower than x
about drainage, unsaturated seepage and a misleading concept

of specific yield (e.g., Akindunni and Gilham 1992; Chapuis et
al. 2005a). For MWs, it is commonly admitted that two thirds of
them are improperly installed (Nielsen and Schalla 2005).
mean sampling depth (cm)
methods, quality of sample and quality of laboratory tests. All

borehole samples in sandy aquifers are of class-3 or class-4
quality. For information, the class-4 quality is obtained with the
hollow stem auger, rotary, percussion, cable tool and sonic
drilling methods (Baldwin and Gosling 2009). These methods
strongly influence not only the quality of samples, but also the
quality of permeability tests, and the quality of the MW
installation (Chapuis and Sabourin 1989; Chesnaux et al. 2006;
Chesnaux and Chapuis 2007). In sandy aquifers, a tube sampler
with a clear plastic liner can be used. This tool does not provide
class-1 or -2 samples. It roughly preserves the grain size
distribution curve (GSDC), with major margin disturbance
(thick-walled sampling) plus some mixing between adjacent
sub-layers. It does not preserve the water content w, void ratio e,
and K in situ values. For that reason, this sampler provides
class-4 samples, and not intact ones as claimed in a few papers.
Several methods can be used to predict the K value of a soil
sample. Chapuis (2012a) listed 45 methods and assessed their
capacity against large data sets for laboratory permeability tests
performed on homogenized fully saturated specimens. All tests
were not plagued by one of the 14 most frequent mistakes when
performing such tests. For sandy aquifers, the in situ porosity n
can be assessed using the method of Chapuis (2012b) and the K
values can be predicted with the method of Chapuis (2004),
which yields good predictions for natural soils in the ranges
0.003 d10 3 mm and 0.3 e 1. The range for the effective
diameter d10 was recently extended up to 150 mm (Ct et al.
2011; Chapuis et al. 2012).
If the soil sample is homogenous, its GSDC is smooth. This
is not the case for most borehole samples in sandy aquifers.
Therefore, when studying the GSDCs, caution must be taken to
avoid confusing homogenous samples (single layer) with those
made by mixing 2 or 3 small layers. The analysis proceeds with
a modal decomposition (Chapuis 2010; Chapuis et al. 2013),
which provides the GSDC and percentage of each layer in the
composite sample. The equivalent horizontal K value (stratified
sample) is then obtained using the composition rule.
80%
pred. K (small scale)

K tests in MWs
lognormal best fit MWs
data pumping
70%
60%
50%
40%
30%
20%
10%
0%
1.E-03
1.E-02
1.E-01
1.E+00
x = K (cm/s)
Figure 2. Lachenaie: comparison of the K values obtained at the small,

medium, and large scales.
5.2
The Shannon site
Shannon is a small town about 30 km north-west of Quebec

City. For the TCE-contamination case, a lot of information was
given in the defendants' expert reports, but without a quality
control, which led to contradictions. The quality control and a
synthesis were done in Chapuis (2009c, 2010, 2013a, b). There
were about 1000 MWs for this huge contamination case.
The aquifer stratification could be considered or not when
analyzing the GSDCs. When it was not, the distribution of
predicted K values could not explain the high large-scale K

values of pumping tests (Fig. 3). When it was, after using a
modal decomposition of each GSDC, the distribution of
predicted K values yielded a large-scale K value very close to
that of pumping tests (Chapuis 2010, 2013b).
For the slug tests in MWs, Chapuis (2010) showed that the
defendants expert reports gave K values that were obtained
without following the standards and without making the
required verifications. They were about three times smaller than
the K values obtained when following the standards and making
the verifications. When the standards were not respected, the
distribution of the slug test K values could not explain the largescale K values of pumping tests (Fig. 4). When the standards
were followed, the slug test K distribution yielded a large-scale
K value very close to that of pumping tests (Fig. 4).
100%
90%
80%
usual range
for
pumping
70%
60%
50%
40%
homogeneous
stratified
30%
homogeneous
stratified
pumping wells
20%
10%
0%
1.E-05
1.E-04
1.E-03
1.E-02
x = estimated K (m/s)
K distributions provided a coherent image of the hydraulic

properties in the aquifer. Therefore, there was no scale effect.
5.3
The Sorel site
The Sorel site, 100 km north-east of Montreal, has been used for
many years for field training of students in groundwater
engineering and geophysics. The site is part of the floodplain at
the confluence of the Richelieu River and the St-Lawrence
River. Down to about 5 m deep, the stratigraphy includes many
layers of fine sand (deposited in low velocity water) and silty
clay (deposited in ponds). Over 300 soil samples were
recovered in over 40 boreholes.
The soil samples provided clearly bimodal GSDCs and K
values (Chapuis et al. 2013). The split-spoon sampler could
recover 30 or more individual layers of silty clay and fine sand,
which were uniform in color. The GSDC modal decomposition
provided results such as those of Fig. 5 for a few boreholes in
the vicinity of the pumping well. The fine sand and silty clay
were fairly homogeneous (Fig. 5). According to the modal
decompositions, the portion between 1.9 and 3.1 m deep had
more clayey silt than the upper and lower portions. The screens
of the pumping well and nearby MWs were installed in the
portion between 3.1 and 4.4 m this confined aquifer.
The horizontal K distribution curve was obtained from the
modal decomposition of GSDCs and the K composition rule.
The predicted K distribution was in good agreement with the
pumping test K values, whereas the slug test K values were
somewhat below the pumping test K values (Chapuis et al.
2013). Due to the fine stratification of fine sand and silty clay
sub-layers, the development of monitoring wells was not
effective. Therefore, the slug tests have slightly underestimated
the horizontal medium-scale K value due to smearing between
layers during drilling and MW installation. Therefore, there was
no scale effect for the Sorel highly stratified aquifer.
Figure 3. Shannon: K values predicted using the GSDCs, assuming

either homogeneous or stratified samples (modal decomposition) and
large scale pumping tests.
fine sand, mean

clayey silt, mean
fine sand, std dev

clayey silt, std dev
100%
1
80%
70%
usual range for

pumping wells
depth (m)
90%
60%
50%
NFS
40%
4
FS
30%
20%
not following standards

following standards
pumping wells
10%
0%
1.E-06
1.E-05
1.E-04
1.E-03
1.E-02
-9
x = slug test K (m/s)
-8
-7
-6
-5
-4
-3
-2
-1
log of the means and standard deviations
Figure 4. Shannon: K values obtained with slug tests in monitoring

wells (following or not the standards), and large scale pumping tests.
How to perform the modal decomposition of a GSDC, and

that of predicted or measured K values, is explained elsewhere
(Chapuis 2013b; Chapuis et al. 2013). These papers also explain
how to predict, for a K distribution, the large-scale K value
which would be given by a pumping test, in order to logically
compare the data at the three scales. A closed-form equation is
also provided for the soil specific surface, more general than
that of Chapuis and Lgar (1992). According to the detailed
study following the quality control for the Shannon aquifer, all
509
Figure 5. GSDCs modal decomposition for stratified samples of Sorel,

showing fairly homogeneous layers of fine sand and clayey silt.
CONCLUSIONS
This paper studies the permeability of sandy aquifers at three

scales. The aquifers are stratified or not, which leads to
multimodal or unimodal distributions for grain size distribution
curves. The small scale is that of soil samples: their quality
must be assessed and their GSDC analyzed to check for mixes
of sub-layers before using reliable methods to predict the K
values. The middle scale is that of field permeability tests for
which it is important to respect the standards and perform

verifications. The large scale is that of pumping tests, which
must be interpreted for steady-state.
The results presented here have shown that, when
stratification is adequately considered, slug tests are interpreted
according to standards, and the resulting K distributions are
taken into account, the conclusion is that there is no scale effect.
Therefore, using a quality control approach for analyzing the
GSDCs and interpreting field test data is essential for crosschecks, and for avoiding the creation of artificial scale effects.
7
ACKNOWLEDGEMENTS
The author thanks the National Research Council of Canada,

BFI Ltd (Lachenaie), the Rgie de leau de Sorel-Tracy and
Aquatech (Sorel), the Shannon Citizens Committee, Charles
Veilleux and Associates, and the FARC (Shannon).
8
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A Study of Cuttability Indices for Tunnel Penetration

tude sur les indices daptitude la coupe pour la pntration de tunnels
Chen L.-H.
Dept. of Civil Engineering, National Taipei University of Technology, Taipei, Taiwan
Chen Y.-C., Chen W.-C., Liu H.-W.

Dept. of Construction Engineering, National Taiwan University of Science & Technology, Taipei, Taiwan
ABSTRACT: To speed up construction of mass transit subway and the popularity rate of sewage, Taiwan's underground excavation
works, especially for mechanical cutting cases, show an ascendant tendency. This study presents a generalized solution for
underground geological-mechanical interaction. By using dimensional analysis, this model generalizes geological characteristics
grouped into three categories: (1) brittle (rock-like), (2) the ductile (soil-like), and (3) brittle-ductile (gravel-like) type with respect to
two cutting forces: (1) thrust and (2) torque to evaluate their excavation/penetration rate. Furthermore, the leading cuttability indices
can be obtained to enable to assess the underground excavation. Meanwhile, in-situ experimental results from shield tunneling and
pipe jacking construction were used to examine this model and it showed a nice agreement between both. From this analytical
approach, a proposed oval-shaped cutting ellipsoid, including its center (O), area (A), and long/short axis (ax/by, or ay/bx), can be
used not only to estimate the functionality and efficiency of cutting machine adopted for tunnel project, but also to offer a warning
information for inadequate cutting strategy.
RSUM: Pour acclrer la construction du systme de transport en commun souterrain et des eaux uses, les travaux d'excavation
souterrains de Tawan, en particulier les coupes mcaniques, montrent une tendance ascendante. Cette tude prsente une solution
gnralise pour linteraction gologique-mcanique souterraine. En utilisant l'analyse dimensionnelle, ce modle gnralise les
caractristiques gologiques regroupes en trois catgories: (1) fragile (comme la roche), (2) l'ductile (comme le sol), et (3) fragileductile (comme le gravier) en respectant deux types de coupe: (1) la pousse et (2) torsion pour valuer leur taux dexcavation /
pntration. Par ailleurs, les indexes daptitude la coupe peuvent tre obtenue pour permettre d'valuer l'excavation souterraine.
Pendant ce temps, les rsultats exprimentaux in-situ de bouclier tunnel et de la construction de tuyau de fonage ont t utiliss pour
examiner ce modle et ceux-ci concordent. A partir de cette approche analytique, une proposition de ellipsode de coupe de forme
ovale " (comprenant son centre (O), sa surface (A) et ses axes longs et courts (ax/by, ou ay/ bx) ) peut tre utilis non seulement pour
estimer le bon fonctionnement et l'efficacit de la machine de dcoupage adopt pour le projet de tunnel, mais aussi pour fournir une
alerte propos dune stratgie de coupe inadapte.
KEYWORDS: Generalized cutting mechanism , Thrust, Pipe jacking, Cuttability indices
1
1.1
INTRODUCTION
DT = 11740 mm
Multi-scale underground cutting project
Recently, the construction projects increase the cases of

underground tunneling by mechanical cutting such as tunnel in
the mountain, mass rapid transportation system in the city and
sewer system, etc. There are different types of cutting methods
including TBM, shield tunnel (ST), as well as pipe jacking (PJ)
with various sizes corresponding to different geological
conditions (see Figure 1). This study presents a normalized
evaluation to meet the multi-scale underground cutting projects
so that all of the in-situ data can be collected and compared with
each other.
DS = 2920 mm
DP = 1500 mm
Figure 1. Different size of cutting machines ranged from 11740 to 1500

mm in diameter.
2
2.1
CONCEPTUAL MODEL
Indentation-typed fracture mechanism
Based upon normal indentation fracture in a MohrCoulomb material, Huang 2000 proposed a conceptual
model as follows:
511
(1 ) *( kd 1)/ kd
*( k p 1)/ k p
(1)
where is a key dimensionless factor, which is a function of

wedge angle of cutter , elastic constants and plastic strength
parameters.
(2)
* = * E, or G , qu , , * , i , c
and is defined as dimensionless elasto-plastic (E-P) radius

while * reach critical value where brittle fracture occurs on this
E-P interface. Thrust force, therefore, can be estimated using the
indentation pressure P and indentation force F as seen in Figure
2 schematically.
P
1 (n 1) K p n (K p 1) / K p
(3)
*
1
q K p 1 K p n
Fi (3 n)
n 1
d
P(
)
tan
(4)
Figure 3b. Trust force system with inclined angle
Therefore, Ff (kN) is estimated from different types (nj) of

cutters fj and water/earth pressure Ps (kN/m2):
m
Ff n j f j Ps A
(6)
j1
where A is cross area of cutter head (m2).

This paper presents an analytical estimation to deal with
different mechanical cutting methods (tunnel boring machine,
shield tunnel and pipe jacking), construction types (earth
pressure balance, slurry pressure balance, thick-mud), and
geological conditions (soil, gravel and rock) by generalizing
their total thrust system. The straight-line thrust is calculated for
either wedge- or conical-typed cutters of tunneling machine. In
this generalized work, the upper bound and lower bound of trust
are highlighted for the warning situations for risk assessment.
2a
In denter
Core
r*
E-P
interface
Plastic zone
E lastic zone
x , max
Intrinsic
flaw
3.1
Figure 2. Schematic normal indentation fracture
2.2
Generalized trust system
This study presents a generalized trust system of cutter head

globally by taking each different types of individual cutters into
account locally with respect to different methods (TBM, ST,
and PJ) and geological conditions (rock, soil, & gravel). Figure
3a and 3b show the total trust force F, which is consists of front
resistance Ff and lateral resistances Fp including both Fp,m for
machine itself and Fp,p for pipes.
(5)
F Ff Fp,m Fp,p
CASE STUDY
Case I: Taoyuan tunneling project in Taiwan
In addition, the in-situ data of trust in shield machine

(Taoyuan tunneling project) is presented to confirm with. It
depicts a favorable agreement for the estimation of thrust in this
study as shown in Figure 4 (cutter head), and Figure 5 (results)
with respect to normal cutting as well as abnormal conditions
(point a and b shown in Fig.5) once the in-situ data out of the
theoretical boundaries.
Fp
Ff
Fp,m
Fp ,p
Figure 4. Cutting head in field for shield tunnel project
Figure 3a. Trust force system
512
CONCLUSIONS
The results shows that the total thrust for upper bounds and
lower bounds are: (401%, 37.8%) and (258.2%, 31.7%)
compared with normal condition in gravel and weathered
sandstone cases respectively, which normalized boundary
values are (1310-4 ~ 8210-4) and (0.97 ~ 4.98) for cuttinghead resistance respectively. It also found that the cutting-head
resistance take about 28% of the total trust resistance
(F=4773kN) in the gravel case by taking cutters forces into
account.
5
Figure 5. Theoretical upper and lower bounds associated with data

curve in field for shield tunnel project (vertical axis: trust in kN and
horizontal axis: rate of penetration in m)
3.2
Case II: Pipe jacking project in Taiwan
Another case study is presented for pipe jecking tunnel

shown in Fig. 6.
Figure 6. Cutting head in field for pipe jacking project
Unlike a flat data curve in field for the case of shield tunnel,
the in-situ data curve for pipe jacking method in Fig. 7 increases
in trust (vertical axis) with the increase of rate of penetration
(horizontal axis) due to the lateral resistance is proportional to
the pipe length. In this cutting case of sewer system, there is no
abnormal excavation situation such that the data curve does not
reach the theoretical boundaries.
Figure 7. Theoretical upper and lower bounds with in-situ data curve for
pipe jacking project of sewer system (vertical axis: trust in kN and
horizontal axis: rate of penetration in m)
513
REFERENCES
Balci, C., "Correlation of rock cutting tests with eld performance of a

TBM in a highly fractured rock formation: A case study in
Kozyatagi-Kadikoy metro tunnel, Turkey", Tunnelling and
Underground Space Technology, Vol.24, 2009, pp. 423 - 435.
Chen, L. H., Failure of Rock under Normal Wedge Indentation, Ph. D.
Thesis, University of Minnesota, U.S.A., 2001.
Huang, H., Detournay, E., and Alehossein, H., "Analytical Model for
the Indentation of Rocks by Blunt Tools," Rock Mechanics and
Rock Engineering, Vol.33, No.4, 2000, pp. 267 - 284.
Farrokh, E. and Rostami, J., "Correlation of Tunnel Convergence with
TBM Operational Parameters and Chip Size in the Ghomroud
Tunnel, Iran," Tunnelling and Underground Space Technology,
Vol.23, 2008, pp.700 - 710.
th
Survey results of damaged areas in flood disaster of typhoon Morakot

and suggestions for restoration projects
Rsultats des investigations sur les zones ravages et inondes par le typhon Morakot,
propositions de projets de restauration
Chou J.C., Huang C.R.
Sinotech Engineering Consultants, Taipei, Taiwan
Shou K.J.
National Chung Hsing University, Taichung, Taiwan
ABSTRACT: Typhoon Morakot attacked Taiwan on August 8th, 2009 and caused heavy rainfall in Taiwan. The precipitation from
August 5th to 10th, 2009 in the survey station of Ali Mountain was about 3049.5mm and the precipitation of 24-hour and 48-hour
period in the south of Taiwan was close to the maximum observed precipitation in the world. This heavy rainfall caused many natural
disasters including landslides, floods and debris flows. These natural disasters severely damaged the middle, south and east of Taiwan
and cost huge property and life losses. Sinotech Engineering Consultants conducted a comprehensive survey after the flood disaster of
Typhoon Morakot (1) to collect information of damaged areas, (2) to analyze the causes and mechanisms of failures and (3) to draft
strategies and suggestions for restoration projects and future projects. Survey areas included the drainage basins of Chenyulan Creek,
Laonong River, Cishan River and Ailiao River, the watershed of Nahua reservoir and Taitung area. Depending on different geological
environments, the survey team concluded ten mechanisms causing failures. This article presents survey observations, discussions of
failures in flood disaster and provides strategies and suggestions for restoration projects and future projects.
RSUM : Le typhoon Morakot a atteint Taiwan le 8 aot 2009 accompagn de fortes pluies. Les prcipitations du 5 aot au 10 aot
2009, mesures la station dAli Mountain, ont t de 3 049,5 mm, entranant dans le sud de Taiwan des niveaux de prcipitation en
24 heures et 48 heures proches des maximums de prcipitations connues dans le monde. Les fortes pluies ont caus de nombreux
cataclysmes naturels tels que glissements de terrains, inondations et charriage de dbris, qui ont ravag le Centre, le Sud et lEst de
Taiwan entranant des pertes en vie humaines. Par la suite, le bureau dingnierie Sinotech a ralis des tudes dtailles afin de
dresser un bilan exhaustif des dgts des inondations causes par le typhon Morakot : (1) recensement et investigation des zones
ravages ; (2) analyse des causes et des mcanismes des dsordres, (3) bauches de stratgies et solutions pour les travaux de
restaurations et les projets futurs. Les zones dinvestigations comprenaient les bassins versants de Chenyulan Creek, Laonong River,
Cishan River et Ailiao River, le bassin hydrographique du rservoir Nahua et de la zone de Taitung. Suivant les diffrents
environnements gologiques identifis, les investigations ont conclu dix mcanismes lorigine des dsordres. Cet article prsente
les rsultats des investigations sur sites, ltablissement des mcanismes des dsordres lis aux inondations qui en suivirent ainsi que
les solutions de restaurations et les projets correspondants.
KEYWORDS: Typhoon Morakot, Landslides, Debris Flows
1
failures and (3) to draft strategies and suggestions to restoration

projects and future projects.
INTRODUCTION
Typhoon Morakot attacked Taiwan on August 8th, 2009

causing heavy rainfall in Taiwan. The precipitation from August
5th to 10th, 2009 in the survey station of Ali Mountain was
about 3049.5mm and the precipitation of 24-hour and 48-hour
period in the south of Taiwan was close to the maximum
observed precipitation in the world. Figure 1 shows the
maximum accumulated precipitation in 24 hours in the south of
Taiwan. This heavy rainfall caused floods, many natural
disasters and severely damaged mountain areas of the middle,
south and east of Taiwan. All these floods and disasters are
called 88 Flood. 88 Flood caused 643 deaths, 60 missing,
2,555 injured and 16.5 billion NT dollars economy lost which
makes 88 Flood the worst natural disaster since Chi-Chi
Earthquake happened on September 21, 1999. The most severe
disaster is the disaster in Xiaolin village. The village was
destroyed by a catastrophic debris flow during Typhoon
Morakot. Over 500 residents were buried alive and 350 houses
were damaged.
Right after 88 Flood, Sinotech Engineering Consultants
conducted a comprehensive survey on slopelands, roads,
bridges and hydraulic facilities in the drainage basins of
Chenyulan Creek, Laonong River, Cishan River and Ailiao
River, the watershed of Nahua reservoir and Taitung area (See
Figure 2). Purposes of this survey are (1) to collect information
of damaged areas, (2) to analyze the causes and mechanisms of
RainfallIsoline
Figure 1. Maximum accumulated precipitation in 24 hours in the south

of Taiwan (Precipitation in mm).
515
th
Drainage basins of
Chenyulan Creek
County Line
Drainage
Basin
Survey Area
Drainage basins
of Cishan River
Watershed of
Nahua reservoir
Drainage basins
of Laonong River
Drainage basins
of Ailiao River
Figure 3. Failure caused by Erosion of Bottom Roadside Slope

Mechanism (Provincial Highway 21 (228K+500)).
Taitung Area
Figure 2. Survey area conducted by Sinotech Engineering Consultants

survey team.
Figure 4. Failure caused by Debris Flow (County Road 179 in Nantou

County).
CAUSES AND MECHANISMS OF FAILURES
Flood and heavy rain are two main reasons causing slopeland
and road failures. Depending on different geological
environments, the survey team concluded ten mechanisms of
slopeland and road failures. Table 1 listed these mechanisms
and numbers of failures caused by each mechanism.
Figure 3 to Figure 12 show failures caused by Mechanism
No.1 to No.10. One mechanism should be noticed is Complex
Failure Mechanism. Complex Failure Mechanism means that
slopeland or road failures were caused by more than one
mechanism simultaneously. Damages caused by Complex
Failure Mechanism were usually severe and massive. Figure 12
shows one failure site (County Road 64 in Taitung County)
damaged by Complex Failure Mechanism which included
Erosion of Bottom Roadside Slope and River Channel Erosion
of Roadbed mechanisms.
Figure 5. Failure caused by Erosion of Top Roadside Slope (County

Road 60 in Nantou County).
Table 1. Failure Mechanisms and Number of Failures

No.
1
2
3
4
5
6
7
8
9
10
Failure Mechanism
Erosion of Bottom Roadside Slope
Debris Flow
Erosion of Top Roadside Slope
Shallow Slope Failure
River Channel Erosion of Roadbed
Dip slope
Circular Failure of Slope
Barrier Lake
Deep Sliding Failure of Colluvium
Complex Failure Mechanism
# of
Failures
35
33
27
22
21
4
4
2
2
15
Figure 6. Failure caused by Shallow Slope Failure (River in Tao Yuan
District in Kaohsiung City).
516

th
Colluvium Failure
Area
Chenyulen
Creek
Figure 7. Failure caused by River Channel Erosion of Roadbed

(Provincial Highway 21).
Figure 11. Failure caused by Deep Sliding Failure of Colluvium (Xin Fa

Village in Kaohsiung City).
DipSlope
ErosionofTop
RoadsideSlope
RiverChannel
ErosionofRoadbed
Figure 8. Failure caused by Dip slope (County Road 179-1 in Nantou
County).
50m
205m
Figure 12. Failure caused by Complex Failure Mechanism (County

Road 64 in Taitung County).
In general, Mechanism No.1, No.3 and No.5 were main

mechanisms of road failures and Mechanism No.2, No.4 and
No.5 were main mechanisms of slopeland failures. These five
mechanisms caused most of failures in 88 Flood.
CircularFailure
Figure 9. Failure caused by Circular Failure of Slope (At 3K of County
Road 179 in Nantou County).
Figure 10. Failure caused by Barrier Lake (County Road 179-1 in

Nantou County).
3 STRATEGIES AND SUGGESTIONS TO

RESTORATION PROJECTS AND FUTURE PROJECTS
From survey observations and analyses, strategies to prevent
future slopeland and road failures can be outlined starting from
following aspects: (1) debris flow control and river remediation,
(2) proper treatment of landslides, (3) soil and water
conservation of slopeland and (4) soil and water conservation of
road.
Furthermore, improvements of road designs can be done to
avoid slopeland and road failures in the design phase: (1)
consider and prevent all possible failure mechanisms, (2) use
rock shed in potential rock fall area (see Figure 13), (3) from
survey observations, the tunnel and bridge are the best solution
for roads in potential debris flow area (see Figure 14), (4) use
deep foundation (e.g. pile foundation) as retaining wall at
bottom roadside slope retaining wall to avoid erosion. If the
roadbed can be protected from erosion, it is easier and faster for
future road restorations. (5) avoid area where river channel
erosion occurs and (6) install proper water drainage system for
slopelands (see Figure 15).
517
th
CONCLUSIONS
Because of the global climate change, natural disasters caused

by the extreme weather become more frequently in last few
years. The magnitude of these disasters and the damage caused
by these disasters become greater and greater and are greater
than what we experienced in the past. Therefore, in future
engineering projects, engineers should consider uncertainties
caused by the extreme weather in their designs and understand
limitations of engineering techniques. In addition, engineers
should try to avoid unnecessary development and construction
in environmental sensitive area.
5
ACKNOWLEDGEMENTS
Authors would like to thank Taiwan Geotechnical Society (TGS)

for giving this great opportunity to present our work in the 18th
Engineering. Authors would also like to thank engineers who
involved in this survey project and supports from Sinotech
Engineering Consultants.
Figure 13. Rock shed used to prevent landslides and rock fall area.
REFERENCES
SINOTECH Engineering Consultants, 2010. Survey results of flood

disaster of typhoon Morakot and suggestions to restoration projects,
SINOTECH, Taipei, 334p
Figure 14. Bridge used to avoid damages from Debris Flow in Wanrung
Township, Hualien County (Provincial Highway No. 16).
Building
Ditch
Road
Water
TableLevel
DewateredWater
TableLevel
Drainage
Pipe
Drainage
Well
Slip
Surface
Drainage
Gallery
CreekorRiver
Figure 15. Different types of water drainage systems used in slopelands.
518
Stability of chileans tailings dams with the Panda penetrometer. Experiences of

the last 10th
Dix ans dtudes de la stabilit des barrages de rsidus miniers chiliens laide du
pntromtre Panda
Espinace R., Villavicencio G., Palma J.
Grupo de Geotecnia. Escuela de Ingeniera en Construccin. Pontificia Universidad Catlica de Valparaso, Chile.
Geotecnia Ambiental, Chile.
Breul P., Bacconnet C.

Institut Pascal PolytechClermont-Ferrand. Universit Blaise Pascal, Clermont-Ferrand, France.
Benz M.A., Gourvs R.

Sol-Solution Gotechnique Rseaux, Riom, France.
ABSTRACT: In Chile, since the beginning of the 20th century, about 40 cases of mechanical instability of the tailing dams have been
reported mainly due to liquefaction, slipping of banks or settlement. In order to solve this problem, a scientific and technological
cooperation has been established in 2001 between the geotechnical of groups at the Catholic University of Valparaso (Chile) and
Blaise Pascal University Clermont-Ferrand (France) whit the support of two companies, Sol-Solution in France and GeotecniaAmbiental in Chile. This article presents the main results that have allowed to propose a methodology for control and diagnosing of
tailing dams and its application in the medium mining sector. It is based on in-situ determination of geomechanical parameters
(internal friction angle and density index) using the Panda lightweigh penetrometer in order to characterize the constituent materials,
the variability of these materials and their implementation in the works. Finally, this methodology allows taking into account this
variability in the study of stability and the risk of liquefaction of these structures in a probabilistic approach.
RSUM: Au Chili, depuis le dbut du XXe sicle, environ 40 cas d'instabilit mcanique de ces dpts, principalement par
liqufaction, glissement des talus et tassements, ont t rapports. Cest dans ce contexte et pour apporter une rponse ce problme,
quune coopration scientifique et technologique a t tablie en 2001 entre les groupes de gotechnique de lUniversit Catholique
de Valparaiso (Chili) et de luniverist Blaise Pascal Clermont-Ferrand (France), avec le soutien des entreprises Sol-Solution (France)
et Geotecnia Ambiental (Chili). Cet article prsente les principaux rsultats qui ont permis de proposer une mthodologie pour le
contrle et le diagnostic des barrages de rsidus miniers de relave ainsi que son application au secteur de lindustrie minire moyenne.
Elle sappuie sur la dtermination in situ des paramtres gomcaniques (angle de frottement interne et densit relative) laide du
pntromtre Panda en vue de caractriser les matriaux constituants, de la variabilit de ces matriaux et de leur mise en uvre au
sein des ouvrages. Finalement, cette mthodologie permet de prendre en compte cette variabilit pour ltude de la stabilit et du
risque de liqufaction de ces ouvrages dans une approche probabiliste.
KEYWORDS: soils and site investigation, structures in seismic areas.
1
INTRODUCTION
Mine tailings are frequently stored in dams. This is the case for
copper for which the coarse fraction (fine sands) of the tailings
form the body of the dams, while the fine saturated fraction
(sludge and silts) is poured by cycloning into the reservoirs of
the dams thus formed.
Chile has a very large number of tailings dams built in this
way. Due to the construction methods and materials used, these
dams comprise failure mechanisms such as loss of stability,
liquefaction, and internal and external erosion leading to major
risks for the populations and their environments. Such risks are
highlighted by the accidents that have occurred around the
world and recently in the case of failures occurring during the
earthquake of 27 february 2010 in Chile, with fatal
consequences (Dobry and Alvarez 1967, ICOLD 2001, GEER
2010). In order to manage these risks, it appears necessary to
employ a probabilistic approach to predict their behaviour
during construction and after closing. However, applying such
an approach in practice at present is limited by the difficulty of
managing the data (random variables and stochastic fields) to be
introduced in the reliability calculations for the limit conditions
involved and conditioned by the relevance of the probability
models chosen to represent the variability of tailings dam
properties (Villavicencio et al. 2011). This is the reason why,
this article presents an approach of estimating calculation
parameters (friction angle and density index ID%) governing
519
the stability of these dams, and its variability from dynamic

penetration tests. Then models are proposed for all dams
composed of the same mine tailings types, making it possible to
link a probability law to the calculation parameters and ID%.
This method, applied to Chilean dams constructed from copper
mine tailings, proposes a single model for all tailings dams so as
to associate a probability law to the and ID%.
2 ESTIMATION OF THE DENSITY INDEX (ID%) AND
THE FRICTION ANGLE ()
1.1
The objective
In mine tailings with non plastic fine particles (size < 80 m)

ID% and are very important parameters, related to the in situ
penetration strength (N, qd, qc, etc), the input parameter of
static and dynamic stability models and for the evaluation of the
liquefaction (Troncoso 1986). These parameters are greatly
influenced by the origin and mineralogy of the particles, by the
physical characteristics and state of arrangement of the grains
determined by the state of compacting and by the extent of
stresses in-situ (Bolton 1986).
The methods used to implement mine tailings lead to the
prevalence of stratified internal structures that can be
heterogeneous. This can result in variations of resistance
properties, especially and ID%, as a function of depth. Thus
it is important to estimate the values and variability of these
b) Performing dynamic cone resistance tests in a calibration

mould for different states of density to obtain the relation d/qd
(calibration curve). A logarithmic relation can be observed, in
agreement with previous results (Chaigneau et al. 2000) for this
type of material. Figure 1 gives the calibration curves d/qd
obtained for dams No. 1, No. 2 and No. 3.
c) Normalisation of qd at atmospheric pressure (equation 1).
parameters. To do this, we propose an estimation method based

on measuring the dynamic cone resistance (qd) that can be
relatively easily measured on this type of structure.
1.2
Normalisation of qd
Estimating ID% and by using empirical and semi-empirical

relations, first implies normalising qd at a reference stress
corresponding to atmospheric pressure (pa), using the following
equation 1.
with
C q p a 'v
Dry density (KN/m3)
qd
N1 qd Cq
19,0
d = 1,0811ln(qd) + 15,983
R = 0,9948
18,5
(1)
where: qdN1 is the dimensionless normalised dynamic cone

resistance, qd is the dynamic cone resistance, pa is the
atmospheric pressure, v is the effective vertical stress, c is
the normalisation coefficient (0.5 to 0.75).
18,0
17,5
d = 0,8693ln(qd) + 15,552
R = 0,9755
17,0
16,5
16,0
Tailings Dam No 1
15,5
Tailings Dam No 2
15,0
Tailings Dam No 3
14,5
According to Moss et al. (2006), this reference stress value is

considered as reasonable if the depth/stress relation is taken into
account. According to Salgado et al. (1997) and Moss et al.
(2006), the normalisation coefficient is not only linked to the
intrinsic properties of the soil such as the type of grain and the
physical characteristics of the material (mineralogy,
granulometry, particle shape and texture characteristics), lateral
pressure (Ko), compressibility, cementation, resistance to
crushing of the particles, etc.
1.3
14,0
0,0
16,0
18,0
Table 2. Estimation of the state of compaction and associated

mechanical behaviour for silty sands. Villavicencio (2009).
Table 1. Geotechnical properties of mine tailings. Values and statistical

analyses of experimental data from three representative tailings dams.
No. 2
4,0
6,0
8,0
10,0
12,0
14,0
Dynamic cone resistance, qd (MPa)
1.3.1 Relation ID% = f (qdN1)

The equivalence between the state of density (% Optimum
Proctor Normal) and ID% was estimated for each calibration
test. On the basis of the normalised cone resistance (qdN1), and
by considering the classification modified by Skempton (1986)
and adapted by Villavicencio (2009), we estimated ID%
associated with each degree of compaction (table 2).
Our study is based on the use of cone penetration resistances

(qd) obtained by using the Panda test. The Panda device is a
manual light dynamic penetrometer with variable energy and a
small cone section (2.0 or 4.0 cm2) (Gourvs et al. 1997, Benz
2009). The Panda provides the cone resistance qd of the soil as
a function of depth, and is capable of performing a large number
of in situ tests thanks to its small size and its quick
implementation. This device can operate until 6.0 (m) in depth
and for materials having particles size lower than 50.0 (mm).
No. 1
2,0
Figure 1. Relation d/qd for tailings dams No. 1, No. 2 and No. 3 in the
study.
Experimental approach
Geo.
d = 1,086ln(qd) + 15,543
R = 0,9883
State of
Mechanical
Liquefaction
compaction
behaviour
potential
0 15
Very low
Contractant
High
17 69
15 55
Low
Contractant
High
69 82
55 60
Average
qdN1
ID%
0 17
No. 3
Contractant
/Limit
Limit
Prop
Av.
CV
Av.
CV
Av.
CV
82 162
60 80
Dense
Dilatant
Null
3.09
4.6
3.36
8.0
3.1
2.2
162 326
80 100
Very dense
Dilatant
Null
D50
0.13
19.0
0.11
15.2
0.25
8.7
F.C
28.0
28.7
33
26.3
17
10.0
IP
dmax
18.2
6.2
20.8
8.0
18.5
2.3
17.5
6.6
20.1
8.2
18.1
2.9
wnat
11.0
22.3
3.3
43.1
7.5
27.3
qd
4.8
50.6
2.87
45.9
1.95
52.8
N60
22
62.5
12
58.8
s: specific weight (kN/m ), D50: median diameter (mm), F.C: percentage

of fines less than 80 (m), IP: plasticity index (%), dmax: Proctor dry
density (kN/m3), d: dry density in situ (kN/m3), wnat: water content in-situ
(%), qd: cone resistance PANDA test (Mpa), N60: corrected penetration
resistance index, Av: average, CV: coefficient of variation (%).
3
A serie of Panda tests have been performed on the mine

tailings coming from three dams studied, under controlled
laboratory conditions in a calibration chamber. The following
procedure was used:
a) Determination of the physical characteristics of 3 samples of
mine tailings of copper sulphates (Table 1).
Studies conducted by Troncoso (1986) have concluded that

for mine tailings with a percentage of fines around 15% , with
confining stresses between 50 kPa and 350 kPa, ID% below
50%-60% is an indicator of contractancy. Under this condition,
if the material is saturated or partially saturated, under seismic
conditions, the risk of liquefaction is real. On the other hand,
the material will tend to a dilatant behaviour for a relative
density over these values. Verdugo (1997) have conducted an
analysis of the variation of the minimum and maximum
densities (Vibratory and Proctor compaction) both with mine
tailings and similar soils (sands and silts) with different
percentage of fines. They conclude that in situ ID% of 60% is a
very reasonable compaction value with a satisfactory
mechanical behaviour (dilatancy) in structures that allow certain
degree of deformation such as the tailing dams.
An empirical model was adapted by using a simple
regression on all the pairs of experimental data (qdN1, ID%) for
the three samples of mine tailings. Since we consider that mine
tailings can be globally classified in a single geotechnical class,
it is possible to estimate ID% as a function of the resistance
qdN1 by a single relation. The model used is given by the
following equation:
with 10.0 qdN1 326.0
(2)
ID% 28.5 lnqd N1 65.4
520
Figure 2 shows that the results of the model are very close
to the experimental results. In addition, the relation proposed by
Tatsuoka et al. (1990) was used by replacing qcN1 by qdN1.
1.4
Application case: density index (ID%) and associated

mechanical behavior
On the basis of equation 2, it is possible to estimate the

profiles of the density index (ID%) as a function of depth from
the penetrometric tests performed in situ. The adaptation of the
correlation presented in table 2, allows estimating the
mechanical behaviour of mine tailings as a function of ID%. At
global scale (measurements processed at the scale of the tailings
dam by using the ID% distribution obtained from all the
penetration tests performed), the distribution of all these ID%
values for each dam can be adjusted by a normal law (Figure 4).
Figure 2. The experimental points, relations proposed and references for

estimating the ID% of mine tailings as a function of qdN1.
1.3.2 Relation = f (qdN1)

Since we considered that mine tailings can be globally classified
within one geotechnical class, it is possible to estimate as a
function of the resistance of qdN1 by a single relation. To do
this, a regression analysis was performed on all the pairs of
experimental data (qdN1, ) obtained during the calibration
tests, for the three samples of mine tailings (figure 3). The
model used is given by the following equation:
' 14.79 5.54 lnqd N1 with
10.0 qdN1 280.0
(3)
As it can be seen on figure 3, the results of the model are

very close to the experimental results. In addition, the relation
proposed by Daz and Rodrguez-Roa (2007) was used by
replacing qcN1 by qdN1.
Figure 4. Density function of ID%. Proposed relation for tailings dams

No. 1, No. 2 and No. 3 in the study.
At global scale, the density function makes it possible to

obtain a global idea of the mechanical behaviour of the mine
tailings stored, by considering the limit value of ID%, which
permits classifying contractant or dilatant behaviour and
associate in a qualitative way the liquefaction potential. As an
example, table 3 presents a probabilistic analysis in global scale
of the variability of ID% and the mechanical behaviour for the
tailing dam No.1.
Table 3. Density index (ID%) and associated mechanical behaviour.
Analysis at global scale. Tailings dam No. 1.
Analysis of the mechanical behavior
ID%
Av.
52
Figure 3. Experimental points, proposed and bibliographic relations for
estimating of mine tailings as a function of the qdN1.
This result is in full agreement with the works already

carried out on the correlation between qc and qd obtained with a
Panda penetrometer. Indeed, it has been proven (Chaigneau et
al. 2000, Lepetit 2002) that in the case of sands and silty sands,
the average value obtained for the ratio qd/qc is equal to 1.03.
More recent research performed by Rahim et al. (2004)
confirmed the relation between qd and qc. Their results obtained
for granular soils have been demonstrated experimentally and
analytically on the basis of the cylindrical cavity expansion
theory and that of cavitation collapse.
The resistance qd obtained with a light Panda penetrometer
can therefore be assimilated with qc. In conclusion, in the case
of mine tailings:
(1) density index (ID%) and effective friction angle () can
be deduced very precisely from the normalised cone penetration
resistance qdN1 by a two single relations,
(2) relation qdN1 = qcN1 is very well validated which allows
using either static or dynamic penetrometers according to need.
521
C.V
%
28.3
ID%
State of
Mechanical Liquefaction
% of
values compaction behaviour
potential
< 55
58
55 60
13
60 100
29
Low
Contractant
Average
Contractant
density
/Limit
Dense to
very dense
Dilatant
High
Limit
Null
At a local scale (measurements processed at the scale of

each penetration test, by using the ID% distribution), the
distribution of all these ID% values can then also be adjusted by
a normal law (figures 5a, 5b). The so-obtained results are
consistent with the compaction test performed during the
construction of the three tailings dams.
The results are similar for the three dams, they show that a
local test can be used to estimate ID% for each penetration test,
with sufficient precision provided that the calibration tests have
been carried out on the material characteristics of the dam at the
scale of the structure concerned. The variability of ID% and the
soil mechanical behaviour associated, allows to estimate in a
first stage, the liquefaction potential of tailings dams in both
scales, global and local, and identify in a local scale the zones
with lower strengths through a layer by layer penetration test
(Figure 6).
The evaluation of the risk of liquefaction has been
expressed in an equation formulated by Seed and Idriss (1981).
The classical method compares locally the ratio of the cyclic
resistance of the soil (CRR) with the ratio of the cyclic shearing
stress ratio (CSR) stemming from seismic stress. The notion of
liquefaction potential is therefore linked to the fact that ratio
collaboration from the Professor, Mr Pierre Foray, Laboratory

3S-R, Institut National Polytechnique de Grenoble, France.
Density Function
CRR/CSR is lower than unity. It is widely accepted that

estimating the cyclic resistance ratio (CRR) can be estimated on
the basis of dynamic and static penetration tests (Robertson and
Wride 1998, Boulanger 2004 and Idriss, etc.).
Scale
Global
Local
0,04
0,03
0,02
0,01
0
0
10
20
30
40
50
60
70
80
90
100
Index Density (ID%)
a)
b)
Figure 5. a) The breakdown into layers and density index (ID%). b) The
distribution of Density Index (ID%). Test No. 1. Tailings dam No. 1.
Figure 6. Example of the factor of safety (F.S) profile. Test No. 1.

Tailings dam No. 1.
CONCLUSIONS
To predict the behaviour of mine tailings dams in view to

managing the risks inherent to them, it appears necessary to
carry out a probabilistic approach However, in practice
implementing this type of approach is limited by the difficulty
of managing the data to be used in reliability calculations for the
limit conditions concerned. This article proposed a method for
estimating in situ the density index (ID%) and the effective
friction angle () and its variability, making it possible to carry
out a probabilistic study of these structures. A single model was
proposed for all the mine tailings dams in Chile, in view to
linking a probability law to ID% and the .
A method was proposed that takes into account the spatial
variability of data for performing a reliability calculation of
liquefaction potential, which is the main cause for the failure of
this type of structure. On the basis of the results obtained, we
showed that the method proposed for estimating liquefaction
potential permits evaluating the probability of triggering this
phenomenon. Estimating the reliability of a dam in relation to
the limit states of static and dynamic stability demonstrates the
advantages and applicability of the approach, by using the
variability of the geotechnical characteristics of mine tailings
and resistance to penetration (qdN1) in particular.
4
ACKNOWLEDGEMENTS
Fundings for the work described in this paper was provided by

the research department of the Pontifical Catholic University of
Valparaiso Chile. This article was developed with the important
522
REFERENCES
Benz M.A. 2009. Mesures dynamiques lors du battage du pntromtre

Panda 2. Ph. D. Thesis, Blaise Pascal-Clermont II Univ, France.
Bolton M. 1986. The strength and dilatancy of sands. Gotechnique 36
(1), 65-78.
Boulanger R. and Idriss I.M. 2004. State normalization of penetration
resistance and the effect of overburden stress on liquefaction
resistance. Proceedings 11th SDEE and 3rd ICEGE, Berkeley, CA,
484- 491.
Chaigneau L. Bacconnet C. and Gourvs R. 2000. Penetration test
coupled with geotechnical classification for compacting control. An
International Conference on Geotechnical & Geological
Engineering, GeoEng2000, Melbourne, Australia
Daz E. and Rodrguez-Roa F. 2007. Ensayos in-situ en Arenas. VI
Chilean Congress of Geotechnical Engineering. Chilean Society of
Geotechnics. Univeridad Catlica de Santiago. Chile, November,
28-30.
Dobry R. and Alvarez L. 1967. Seismic failures in chilean tailings
dams. J. Soil Mech. & Foundation Eng. ASCE, SM6 (93), 237-260.
ICOLD. 2001. Tailings dams. Risk of dangerous occurrences. Lessons
learnt from practical experiences. Bulletin N 121. UNEP, DTIE
and ICOLD, Paris.
GEER (Geo-Engineering Extreme Events Reconnaissance Association)
2010. Dams, levees, and mine tailings dams. Turning disaster in
knowledge: geo-engineering reconnaissance of the 2010 Maule,
Chile Earthquake. J. Bray and D.Frost, Eds., 204-226.
Gourvs R. Oudjehane F. and Zhou S. 1997. The in situ characterization
of the mechanical properties of granular media with the help of
penetrometer. Proceedings of 3rd International Conference on
Micromechanics of Granular Media, Powders and Grains, Duram,
USA, 57-60.
Lepetit, L. 2002. Etude dune mthode de diagnostic de digues avec
prise en compte du risque de liqufaction. Thesis, Blaise PascalClermont II Univ, France
Moss R.E. Seed R.B. Kayen R.E. Stewart J.P. and Der Kiureghian A
2006. CPT-Based probabilistic assessment of seismic soil
liquefaction initiation. PEER Report 2005/15.
Rahim A. Prasad SN, and George K.P. 2004. Dynamic cone penetration
resistance of soils-theory and evaluation. Proceedings of the GeoTrans 2004 Conference, Los Angeles, California.
Robertson P.K. and Wride C.E. 1998. Evaluating Cyclic Liquefaction
Potential Using The Cone Penetration Test. Canadian Geotechnical
Journal, 35 (3). 442-459.
Salgado R. Boulanger R. and Mitchell J. 1997. Lateral effects on CPT
liquefaction resistance correlations. J. of Geotechnical and
Geoenvironmental Engineering, ASCE, 123 (8). 726-735.
Seed H.B. and Idriss I.M. 1981. Evaluation of liquefaction potential of
sand deposits based on observations and performance in previous
earthquakes. In Situ Testing to Evaluate Liquefaction
Susceptibility, ASCE Annual Convention, St. Louis.
Skempton S.M. 1986. Standard penetration test procedures and the
effects in sands of overburden pressure, relative density, particle
size, aging and overconsolidation. Geotechnique 36 (3). 425-447.
Tatsuoka F. Zhou S. Sato T. and Shibuya S. 1990. Evaluation method of
liquefaction potencial and its application. Report on Seismic
Hazards on the Ground in Urban Areas. Tokyo. 75-109.
Troncoso J. 1986. Envejecimiento y estabilidad ssmica de un depsito
de residuos minerales en condicin de abandono. ISSN-0716-0348.
(22), 147-158.
Verdugo R. 1997. Compactacin de Relaves. IV Chilean Congress of
Geotechnical Engineering. Chilean Society of Geotechnics,
Santiago. Universidad Federico Santa Mara. Chile. October, 29-4.
Villavicencio G. 2009. Mthodologie pour evaluer la stabilite des
barrages de rsidus miniers. Ph. D. Thesis, Blaise Pascal-Clermont
II Univ, France.
Villavicencio G. Bacconnet C. Breul P. Boissier D. and Espinace R.
2011. Estimation of the Variability of Tailings Dams Properties in
Order to Perform Probabilistic Assessment. Geotechnical and
Geological Engineering. 29 (6). 1073-1084.
Site Sampling: Assessing Residual Uncertainty

chantillonnage du site : valuation de l'incertitude rsiduelle
Fenton G.A.
Faculty of Civil Engineering and Geosciences, Delft University of Technology, Delft, The Netherlands
Department of Engineering Mathematics, Dalhousie University, Halifax, Nova Scotia, Canada
Hicks M.A.
Faculty of Civil Engineering and Geosciences, Delft University of Technology, Delft, The Netherlands
ABSTRACT: Geotechnical design is plagued by the uncertainty associated with site characterization. Common questions are How
many samples should be taken? and How do these samples reduce my uncertainty? Of considerable interest is the question What
site sampling plan will give the best cost to effectiveness ratio? This papers looks specifically at the effect of the number of samples
on residual uncertainty. The results can be used to quantitatively select the required number of samples needed to achieve a target
maximum residual uncertainty level. To study this problem, a square domain is selected (the site) and a stationary Gaussian random
field is simulated within the domain (the random soil properties). The random field is sampled at a series of locations and a trend is
estimated from the samples. The trend is then removed from the random field and the residual random field is statistically analyzed to
determine various measures of the effectiveness of the sampling scheme. These measures include: 1) the variance of the residual field
average (i.e. does the estimate represent the average?), 2) the residual standard deviation (i.e. how much residual uncertainty
remains?), and 3) the residual correlation length (i.e. how does trend removal affect the perceived correlation lengths?).
RSUM : Le design gotechnique est traditionnellement affect par des incertitudes associes la caractrisation du site. Les
questions les plus courantes sont : combien dchantillons devraient tre prlevs ? Comment ces chantillons peuvent rduire mon
incertitude ? Un des intrts les plus importants vient de cette question. Quel plan dchantillonnage du site donnera le meilleur
coefficient defficacit? Cet article examine spcifiquement leffet du nombre dchantillons sur des incertitudes rsiduelles. Les
rsultats peuvent tre utiliss pour quantifier et slectionner le nombre demand dchantillons ncessaires pour atteindre un objectif
dincertitude maximal avec le niveau rsiduel. Pour tudier ce problme, un domaine carr est slectionn (le site) et un champ
gaussien alatoire stationnaire est simul dans le domaine (les proprits du sol alatoires). Le champ alatoire est chantillonn une
srie demplacements et une tendance a t estime partir de lchantillon. La tendance retire du champ alatoire et le champ
rsiduel alatoire est statistiquement analyses afin de dterminer les mesures diverses de lefficacit du plan dchantillonnage. Ces
mesures comprennent : 1) la variance de la moyenne de champ rsiduel, cest dire comment la tendance estime reprsentent la
moyenne relle sur le terrain ? 2) lcart type rsiduel, cest--dire quel degr dincertitude rsiduelle demeure, et 3) la valeur
longueur rsiduelle de corrlation, cest--dire comment la suppression tendance affecte les longueurs de corrlation ?.
KEYWORDS: geotechnical design, site characterization, residual uncertainty, sampling, required number of samples, sampling plans.
1
INTRODUCTION
Site characterization is clearly an essential component of any

geotechnical design and a great deal of effort has been devoted
over recent decades on how to best perform such a
characterization. How many samples should be taken? How
should these samples be used in the design process?
The ground is one of the most complex of engineering
materials, and yet is the most fundamental, in all senses of the
word. While steel, concrete, and wood, for example, have fairly
well established and relatively small uncertainties, the ground
can vary by orders of magnitude from site to site, and even
within a site.
As a result of the large uncertainty in the ground, all
geotechnical designs must start with a geotechnical
investigation so that the best nominal or characteristic
ground parameters can be used in the design process.
Traditionally, the intensity of the site investigation has not been
particularly important, so long as a reasonable estimate of the
characteristic design values can be estimated. However, recent
impetus has been towards providing reasonable estimates of the
reliability of designed geotechnical systems. In order to do so
the ground used to provide the geotechnical resistance needs to
be properly evaluated, in both the mean and the covariance.
In this paper, the ability of a soil sampling scheme to predict
the actual mean, variance, and correlation length of the soil at a
site is investigated. A key question is how does the number of
samples affect the accuracy of the estimate? Or, put another
523
way, how many samples are required to achieve a certain

desired accuracy? The answer is found by considering a square
site and using random field simulation to generate realizations
of the soil properties over the site, sampling each realization,
and then comparing the estimated mean, variance, and
correlation length to the true values. The goal here is to
investigate the discrepancies between the estimated statistics
and the true local statistics, the latter obtained by sampling the
field at all locations. Note that the local statistics will differ
from the population parameters, (mean), (standard
deviation), and (correlation length), which are used by the
random field generator, due to the fact that the local statistics
are derived from a single realization. In detail, the soil is
represented by a stationary Gaussian random field, X x , at
spatial position x , which is simulated within the domain and
sampled at ns locations. The samples are then used to estimate a
mean trend, x , which can then be compared to the field
realization to assess its ability to represent the actual mean
trend. Defining the residual to be
(1)
X r ( x ) X ( x ) ( x )
then x is a good estimate of the mean trend if X r is
generally small. If the site is sampled at all locations, then x
can be taken to be equal to X x , in the event that a pointwise
trend is assumed (as in Kriging), in which case X r x 0
everywhere. Sampling at all locations is the best case since
there is then minimum residual uncertainty (zero in the case of
Kriging).
Sampling at all locations is, of course, prohibitively

expensive and would also change the resulting field properties
while measuring them (see, e.g., Heisenberg, 1927). In practice,
soil properties are estimated from a relatively small number of
samples so that x will only ever approximate X x in some
way (i.e., via a trend).
In assessing the ability of x to represent X x , it will
also be useful to consider the average residual over the domain,
1
1 n
r
X r x dx
X xi xi (2)
D D D D
n i 1
where D is the edge dimension of the D D square domain.
The domain is broken up into n cells in the simulation,
resulting in the summation form on the right, in which x i is the
location of the center of the i th cell.
The agreement between x and X x will be determined
here by considering three measures; 1) the standard deviation of
the residual field average, r (i.e., how well does the estimated
trend represent the actual field average?), 2) the standard
deviation of the residual, X r (i.e. how much residual
uncertainty remains?), and 3) the residual correlation length (i.e.
how does the trend removal affect the perceived correlation
lengths?).
Five sampling schemes are considered in the paper, ranging
from a single sample taken at the field midpoint to nine samples
taken over a 3 x 3 array at the quarter points of the field. In
some cases a further maximum' sampling scheme is performed,
where every point in the field is sampled, to see what the
maximum attainable uncertainty reduction is.
For each sampling scheme, three types of trend removal are
performed; a) removing the constant sample mean, b) removing
a bilinear trend surface which is fit to the sample, and c)
removing a Kriged surface fit to the sample. The residual
statistics are determined by Monte Carlo simulation, with 2000
realizations for each case, where the field is discretized into 128
x 128 cells and the random fields generated using the Local
Average Subdivision method (Fenton and Vanmarcke, 1990).
2
RESULTS
Consider first the average of the residual, r , given by Eq. 2. It

can be shown that the mean of r is zero, so that a measure of
how accurately x represents X x can be obtained by
looking at the standard deviation of r small values of this
standard deviation imply that x remains close to the field
average. Figure 1 illustrates how the standard deviation of r ,
normalized by dividing by the standard deviation of the random
field value, X xi , in the i th cell (referred to as cell ), varies
as a function of the number of samples taken from the domain,
ns , and the normalized correlation length, / D . Note that if
only one sample is taken at the midpoint of the domain, ns 1 ,
then a bilinear trend cannot be fit to the sample, nor is a Kriged
surface removal attempted. Thus, parts b and c in Figure 1 do
not have a curve corresponding to ns 1 . In all plots it is
apparent that as the number of samples increases, the accuracy
improves (in agreement with the findings of Lloret-Cabot, et al.,
2012). It can be seen, however, that for ns 3 to 9, there is
very little difference between the detrending methods, so far as
the field average is concerned. It is to be noted that the field
average is a constant, not a trend, so it is not expected that the
bilinear and Kriged surface trends will do any better than the
sample mean, when compared to the field average.
Figure 1. Standard deviation of the field average residual (eq. 2),

normalized by the standard deviation of X, versus normalized
correlation length.
In all cases in Figure 1, the agreement between x and

X x improves as the correlation length increases. This is
because the field becomes increasingly smooth, or flat, as the
correlation length increases, so that all trends considered
become closer to the flatter X x .
524
Figure 2. Standard deviation of the residual (eq. 1), normalized by the

standard deviation of X, versus normalized correlation length.
A possibly better measure of how well x represents the

field is obtained by considering the standard deviation of the
residual, X r x (see eq. 1), directly. This measure will include
the effects of trend removal and is illustrated in Figure 2, again
with the standard deviation of the residual, r , divided by the
standard deviation of X , cell . In detail, the standard deviation
of the residual is estimated as the square root of the variance,
2
1 n
r2
X xi xi
(3)
n 1 i 1
525
for each realization. The value of r used in Figure 2 is

averaged over all realizations. As in Figure 1, the ns 1 case
only appears in Figure 2a, since bilinear trend and Kriging
surfaces are not well defined for only one sample point.
However, Figures 2a and b now include a limiting case where
the entire simulation has been sampled ( ns all), representing
the best site knowledge possible. This case was not included in
Figure 1 since, when all values are sampled, r 0 , that is, the
average residual is zero. In Figure 1, this would have
corresponded to a horizontal line at zero standard deviation. In
Figure 2, the ns all case corresponds to the classical case
where both the estimated mean (trend) and the variance are
computed from the same set of observations. As the correlation
length decreases, these observations become increasingly
independent, and the estimated standard deviation approaches
the true standard deviation, so that r / cell 1.0 as seen in
Figures 2 a and b when ns all. In Figure 2 c, the case ns
all is not included in the Kriging surface case since, when the
entire field is sampled, the residual is zero with zero variability,
and so the curve corresponding to this case lies at zero.
As in Figure 1, Figure 2 also shows that the ability of
x to represent X x improves as the correlation length
increases, for all of the trends considered. In the limit, as
/ D , all random fields become uniform (under the
assumed finite variance correlation structure), random from
realization to realization, but constant within each realization. In
this limiting case, the sample perfectly predicts the uniform
field, and the residual becomes zero everywhere so that r 0 .
It is apparent in Figure 2 that all curves are heading towards 0,
as / D .
One of the perhaps surprising results of Figure 2 is that the
removal of a bilinear trend is not generally as good as the
removal of the constant sample mean at smaller correlation
lengths, and especially at a lower number of samples. The
reason for this becomes apparent when, for example, the case
where ns 3 is considered. If the correlation length is small,
then the three samples will be largely independent, and the
resulting fitted bilinear plane could (and often does) end up with
quite an unrepresentative slope, leading to a high variability in
the residual. Even when ns 9 the residual variability is higher
at low correlation lengths than seen using the constant sample
mean. At low correlation lengths, the Kriging surface performs
about the same as the constant sample mean.
At large correlation lengths, e.g. / D 10 , the bilinear
trend performs better than the constant sample mean for all ns
except ns 3 , where the relative standard deviation is 0.35
versus 0.32 for the constant sample mean. For higher number of
samples, the relative standard deviation using the bilinear trend
is 0.25, versus 0.31 for the constant sample mean. The Kriged
surface performs the best out of the three methods (relative
standard deviation of 0.30) when the number of samples is 3,
and about the same as the bilinear trend for higher numbers of
samples.
The last measure of the quality of the trend type used
considered in this paper is how well the estimated correlation
length agrees with the actual correlation length, Figure 3. Once
x has been established from the soil samples, the
correlation length is estimated here using the following steps;
1. for each direction through the soil domain, i 1, 2 ,
2. estimate the semi-variogram along all lines through the
domain in direction i using the entire X r x field,
3. average the semi-variograms obtained in step 2 to obtain
the final semi-variogram estimate in direction i ,
4. fit a theoretical semi-variogram, having parameter
(correlation length), to the semi-variogram estimated in
step 3 by minimizing the sum of squared errors (i.e.
regression).
In general, when D the estimated correlation length is

overestimated, and often considerably overestimated, especially
when the actual correlation length is small. This occurs because
errors between the estimated trend (of any of the three types)
and actual bilinear field trend (bilinear because correlation is a
measure of the degree of linear dependence between random
variables) are perceived in the estimation process to be caused
by a strong lingering correlation (and not by an error in the
original trend estimate) hence a longer correlation length is
estimated to account for the evident residual trend.
Of the three trend types considered, the best is the constant
sample mean and the worst is the bilinear trend (except when
ns all). The Kriged surface is slightly worse than the constant
sample mean. For example, when ns 9 and / D 0.05 , then
r / 5.6 , 10.0, and 6.3 for the constant sample mean,
bilinear trend, and Kriging surface, respectively. It should be
noted that the best performer, the constant sample mean, may be
so only because the simulated field is assumed stationary (i.e.
constant mean).
At the other end of the plot, where D , the correlation
length is underestimated ( r / 1 ). In general, this is because
the removal of a trend in a strongly correlated field is also
removing the evidence of the strong correlation (strong
correlation is evidenced by a trend having little variation off the
trend) resulting in a residual field without strong correlation
hence a small correlation length. Of the three trend types
considered the best performer at the large correlation length end
is again the constant sample mean. For example, when
ns 9 and / D 10 , then r / 0.08 , 0.05, and 0.06 for the
constant sample mean, bilinear trend, and Kriging surface,
respectively.
3
CONCLUSIONS
There is no difference between the accuracies of the trend type

selected when matching the trend to the field average, r . As
expected, the accuracy improves as the number of samples and
the correlation length increase. If a target standard
deviation, r , equal to 20% of the random field standard
deviation, cell , is desired, then only one sample is required if
/ D 10 , while 9 or more samples are required if / D 1 .
In general, if the correlation length is small, the most
accurate approach is to use a constant sample mean, which
shows the best general results for all three measures of accuracy
considered in this paper. Kriging is almost identical, only losing
out slightly when considering the residual estimated correlation
length. At the other end of the scale, when the correlation length
is large, the bilinear trend is more accurate with respect to the
residual standard deviation than is the constant sample mean, as
expected.
In the absence of knowledge about the actual correlation
length, it appears that the Kriging surface removal, although not
generally the best in any one measure, is very competitive and is
certainly a good overall choice.
4
Figure 3. Estimated correlation length of the residual, normalized by the

point correlation length, versus normalized actual correlation length.
The correlation length estimated from the residual, r , will

agree with the actual correlation length used in the simulation,
, when the ratio r / 1 . It can be immediately seen in
Figure 3 that this only occurs in general when the entire field is
sampled and the correlation length is relatively small (i.e.
significantly less than D ). That is, when the entire field is
sampled ( ns all), so that the sample average is equal to the
actual field average, the estimated correlation length becomes
equal to the actual correlation length when the samples are
relatively independent (small ).
REFERENCES
Fenton G.A. and Vanmarcke, E.H. 1990. Simulation of Random Fields

via Local Average Subdivision, ASCE Journal of Engineering
Mechanics, 116(8), 1733 1749.
Heisenberg W. 1927. ber den anschaulichen Inhalt der
quantentheoretischen Kinematik und Mechanik, Zeitschrift fr
Physik, 43(3-4), 172 198.
Lloret-Cabot, M., Hicks, M.A., and Van Den Eijnden, A.P. 2012.
Investigation of the reduction in uncertainty due to soil variability
when conditioning a random field using Kriging, Gotechnique
Letters, 2, 123 127.
526
Multi-Sleeve Axial-Torsional-Piezo Friction Penetration System for Subsurface

Characterization
Systme de pntromtre friction axial-torsional-piezomtrique manchons multiples
pour la reconnaissance des sols superficiels
Frost J. D., Martinez A.
Georgia Institute of Technology
ABSTRACT: The multi-sleeve penetration system is an in-situ testing device that is derived from the cone penetration test. It
incorporates a series of friction sleeves with varying surface texture along with a series of pore pressure sensors, in addition to the
standard smooth friction sleeve and pore pressure sensor located directly behind the tip in the conventional CPT device. The
multiple measurements made with this device allow it to provide new insight into soil type and stratigraphic variations as well as
in-situ shear strengths as a function of sleeve texture height. This paper describes a third generation version of this device that
incorporates torsional load sensing capabilities in addition to the standard axial load sensing capabilities. In this manner, the
effects of different vertical and horizontal stress states on measured sleeve stresses can be explored. This multi-sleeve technology
offers benefits over devices which are used to measure the mechanical response of soils.
RSUM : Le systme multi-manchon de pntration est un dispositif de test in situ qui est drive partir de l'essai de
pntration de cne. Il comporte une srie de manchons de friction avec plus ou moins de surface le long d'une srie de capteurs
de pression de pore, en plus de la douille de friction lisse et standard de capteur de pression de pore situ directement derrire
l'extrmit dans le dispositif de CPT classique. Les multiples mesures effectues avec cet appareil permettent d'apporter un
nouvel clairage sur le type de sol et les variations stratigraphiques ainsi que in situ la rsistance au cisaillement en fonction de la
hauteur de la texture manche. Cet article dcrit une version de troisime gnration de ce dispositif qui intgre la charge de
torsion capacits de dtection, en plus de la charge axiale norme capacits de dtection. De cette manire, les effets des diffrents
tats de contraintes verticales et horizontales sur les contraintes manches mesures peuvent tre explores. Cette technologie
multi-douille offre des avantages par rapport d'autres appareils qui sont utiliss pour mesurer la rponse mcanique des sols.
INTRODUCTION
The general trend followed for in-situ site characterization

practice has been to utilize devices that incorporate only one
sensor of a given type to measure desired engineering
properties. While a number of different sensor types may be
incorporated into a single device, they typically measure
different properties and then rely on empirical correlations
to predict engineering properties. The primary reason for
this single sensor approach has been historical precedent as
opposed to any compelling technical limitations. While this
approach has proven to yield generally acceptable results for
many projects, opportunities remain to improve practice. For
example, as the complexity and uniqueness of investigation
projects increase, the merit of conventional single sensor insitu tools decreases. Hence, recent efforts have sought to
develop new tools for subsurface characterization studies
configured with multiple sensors, which have the ability of
providing more reliable information as part of more detailed
investigations.
As noted above, invasive site characterization tools have
traditionally followed the approach of using single-sensor
configurations. An example is the cone penetration test
(CPT). The CPT measures, as a minimum, the penetration
resistance of a conical tip inserted into the ground, the
frictional force that the soil exerts on a smooth sleeve
located just above the cone tip, and the pore pressure
(assuming the pores are fluid filled) recorded at a location
also typically close to the penetrating tip as the probe is

inserted into the subsurface. Such an in-situ tool can provide
a robust set of data in the sense that it measures the bearing
and frictional resistances of the soil being tested. However,
one shortcoming is that it only measures the frictional
response of the soil when sheared against a surface of fixed
and specified low roughness. Studies by Frost and DeJong
(2005) have shown that friction measurements of soil
against smooth surfaces are more indicative of soil particle
sliding along the surface and not of shearing against the
sleeve surface. A more robust characterization of interface
strength can be achieved when the soil is sheared against a
range of surfaces of different roughnesses (DeJong et al.,
2001).
2
MULTI-SENSOR IN-SITU TOOLS
Among the new generations of more specialized in-situ tools

that exploit the multiple sensor approach are the multi
sleeve penetrometer attachments developed at the Georgia
Institute of Technology (DeJong, 2001; DeJong and Frost,
2002; Hebeler, 2005; Hebeler and Frost, 2006; Frost et al.,
2012). These attachments are designed to be used behind a
regular 15cm2 CPT, or as a stand-alone device behind an
instrumented tip. The first and second generation devices
were described in detail by DeJong and Frost (2002) and
Hebeler and Frost (2006), respectively, and are briefly
summarized below. The third generation device is under
development and is introduced herein.
527
2.1 First Generation: Multi-sleeve Friction Attachment

(MFA). The first generation of multi sensor attachments
deviates from the standard CPT in that the MFA is capable
of measuring four different friction sleeve stresses in
addition to the standard CPT measurements (qt, fs, u2). Each
sleeve position offers the possibility of being equipped with
a sleeve of different roughness, with the intention of
inducing different degrees of shearing in the soil. Figure 1
shows a schematic of the MFA. According to studies
conducted by Frost and DeJong (2005), the standard smooth
CPT friction sleeve measurement is more indicative of soil
sliding against the sleeve as opposed to shearing against the
soil. The reason is that the conventional CPT friction sleeves
are manufactured with an intentionally smooth surface. As a
consequence of the MFAs multi-sensor configuration, the
device is able to determine the end bearing capacity of the
soil and the relationship between interface shear strength
resistance and surface texture in a single sounding. The
important relationship between interface shear strength and
surface roughness was originally identified through
laboratory tests by Uesugi and Kishida (1986).
PROPOSED SITE CHARACTERIZATION TOOL
3.1. Third Generation: Multi-sleeve Piezo-Friction-Torsion

Attachment (MPFTA). The third generation of multi-sensor
devices being developed at the Georgia Institute of
Technology incorporates both axial and torsional shear as
well as pore pressure sensing capabilities.
Attachment
Digital
Housing
Attachment
Digital
Boards
Attachment
Digital
Housing
Attachment
Digital
Board
(1.66)
(1.40)
fa4
fs#4
Friction Sleeve
(1.14)
fa3
(0.88)
Mandrel
fs#3
fa2
Friction Sleeve
(0.67)
fa1
ua0
Mandrel
fs#2
Friction Sleeve
Digital
Housing
Digital
Board
fs
Friction Sleeve
u2
Pore Pressure
qc
Tip
Piezo
Sensor
Piezo
Sensor
Attachment
Sleeve
Mandrel
Piezo
Sensor
Attachment
Individual
Piezo Sensor
Piezo
Sensor
Attachment
Individual
Load Cell
Piezo
Sensor
Digital
Board
Friction Sleeve
Dual Axis
Inclinometer
Replaceable
Attachment
Friction
Sleeve
Dual Axis
Inclinometer
61 cm
Conventional 15 cm2
CPT Module
Friction
Sleeve
Mandrel
Digital Housing
Mandrel
fs#1
Friction
Sleeve
Mandrel
ua1
(0.81)
Friction
Sleeve
Mandrel
ua2
(1.07)
Friction
Sleeve
Mandrel
ua3
(1.33)
Mandrel
Mandrel
ua4
(1.59)
109 cm
Multi-Friction Sleeve
Penetrometer Attachment
2.2 Second Generation: Multi-sleeve Piezo-Friction

Attachment (MPFA). The second generation of multiple
sensor devices offers the ability to directly measure the
interface response over a range of counterface profiles,
while simultaneously measuring the excess pore water
pressure ahead of and after each friction sleeve as the device
is advanced into the subsurface. This is achieved by means
of its four independent load cells attached to the textured
sleeves and five independent dynamic pore pressure sensors.
The coupling of axial load and pore pressure sensors gives

the MPFA the ability to provide a direct measure of pore
water pressure generation due to shearing against surfaces of
different roughnesses. Several advantages offered by the
MPFA are the ability to consider the measured interface
response data within an effective stress framework which is
useful for applications such as liquefaction as well as
strength degradation, flow and consolidation characteristics
along the penetrometers shaft, more detailed data for
improved stratigraphy profiling, and the ability to
distinguish between drained, undrained and partially drained
conditions at the various sensor locations (Hebeler, 2005).
Figure 2 shows a schematic of the MPFA. Examples of the
unique insights resulting from the multi-sleeve sensor
technology include in-situ determination of the relationship
between interface friction and sleeve surface roughness
(Figure 3) and soil classification using interface behavior
(Figure 4).
4.37 cm
Figure 1. Schematic of the multi-sleeve friction penetrometer along

with a standard CPT module.
(a)
fs
Friction Sleeve
u2
Pore Pressure
qc
Tip Load
(b)
Figure 2. Schematic of the multi-piezo-sleeve friction penetrometer

along with a standard CPT module (a) schematic - brackets indicate
sensor offset from tip in meters and (b) piezo friction sleeve
mandrel design detail.
Its dimensions and external characteristics, with and without

pore pressure sensing capabilities, are similar to the MFA
and MPFA shown in Figures 1 and 2, respectively. However,
the new concept incorporated into the device consists of a
dual load-torsion cell being installed in each sleeve module
528
and location, with the goal of measuring both axial and

torsional shear responses of the soil throughout the same
sounding. In this manner, the effects of special variability
(vertical and horizontal) will be eliminated and more
detailed information about the soils anisotropy and state of
stress can be provided. The proposed texture of the
MPFTAs friction sleeves is the same to the texture of the
MFA and MPFAs sleeves as shown in Figure 5. The
friction sleeve texture pattern consists of machined diamond
shaped features with a height that typically ranges from 0.25
to 2 mm in order to induce different degrees of shearing.
The configuration of penetration angle, diamond width,
diagonal spacing, texture slope and areas with no textural
features ensures that shearing is induced with the soil and
prevents clogging of the textural features.
situ shear vane test. The shear vane is typically used to

characterize the response of soft clays. The reason is that
stiffer soils can compromise the structural integrity of the
shear vane, resulting in blade bending. It is considered that
this is not a limiting factor for the MPFTAs frictional
elements because of their different design and thus stiffer
configuration. It is important to note that the MPFTAs
intent is to the surface interface strength of the soil in the
axial and radial directions, while the shear vanes intent is to
measure the soils undrained shear strength. Finally, as
shown by Chandler (1988), different diameter sizes can
impose strain-rate effects; however since the diameter of the
MPFTA device is constant and only the height of the
diamond texture elements changes, the results of the
MPFTA will not need to be corrected for this and other
potential geometry effects.
Interface Sleeve Stress (kPa)
400
Values from Individual Sleeve Tests (Soundings S17-S22)
S31 - CPT - Smooth - 30H.125S3 - 30H.25S3 - 30H.5S3
S32 - CPT - Smooth - 30H.5S3 - Smooth - 30H1S3
S33 - CPT - Smooth - 30H1S3 - Smooth - 30H2S3
300
200
100
0
0
10
Figure 5. MFA and MFPAs friction sleeves with increasing

diamond height (from left to right)
Normalized Roughness, Rn* (=Rmax (diamond height)/D50 (sand))
Figure 3. Relationship between surface roughness and interface

friction determined using multi-sleeve technology.
Figure 4. Soil Classification Chart based on multi-sleeve data.
3.2 Sleeve Locking Mechanism. For the MFA and MPFA

devices, the axial force is derived from measurements using
a series of bonded strain gauges configured as the fourbranches of a wheatstone bridge. Application of the soil
shear force on the textured sleeves brings them into contact
with a shoulder and the resulting change in length of the
bonded strain gauges changes the output of the Wheatstone
bridge. In order to measure the torque applied when the
sleeve is rotated, the sleeve is temporarily fixed to the core
of the mandrel by an electromagnet which prevents rotation
of the sleeve and instead induces changes in resistance of a
set of orthogonally bonded strain gauges also configured as
the branches of a Wheatstone bridge. Given the magnitude
of the forces on even the most heavily textured sleeves,
relatively low currents are required to lock the
electromagnets and thus sleeves during torsional testing. A
sketch and photograph showing the axial and torsional load
application modes for the new device are shown in Figure 6.
Final designs of the actual combined axial-torsional cell are
being completed. Once measurements at a given sounding
elevation are completed, the electromagnets are turned off
and the penetration of the device and recording of axial
loads is continued. In many instances, the device will be
advanced so that a sleeve is advanced to the same elevation
that the adjacent preceding sleeve was located at in a
previous torsional test so that successive torsional test
measurements are made at the same elevations with sleeves
of increasing texture height. This eliminates the need to
account for lateral and vertical variability since successive
tests are performed on the same material.
3.1 Comparison to Existing In-Situ Testing Systems. The

MPFTA device has relatively little in common with the in-
529
CONCLUSIONS
Significant advances have been made in the last four

decades in the design, use and interpretation of the results
from penetrometer devices used for subsurface
characterization. Similarly, over the past two decades,
significant new insight has been developed into the role of
surface roughness on the behavior of geotechnical interfaces.
An emerging family of innovative devices has been
developed in the last decade that leverages the advances in
performance of penetrometer devices with the new
understanding of interface behavior to produce multi-sleeve
devices that allow for direct in-situ determination of the
relationship between surface roughness and interface shear
as well as the development of shear induced pore pressures
when surfaces of various roughness are sheared against soils.
A unique aspect of this family of devices is the use of
multiple friction sleeves with surface of different roughness
in the same sounding so that the effects of material
variability can be isolated and/or eliminated. To date, all
these devices rely on response of soils during axial
penetration.
there are clear advantages to developing multiple sensor

systems for future investigation studies.
The recent development of various configurations of multisensor systems including the previously presented
generation 1 MFA and generation 2 MPFA as well as the
proposed generation 3 MPFTA device introduced herein
represent a significant departure from traditional practice.
Amongst the benefits of the latter device are:
i) Up to sixteen independent measures of interface shear
ranging from smooth surface sliding to textured surface soil
shearing can be realized in a single sounding in contrast to
the three measures possible with conventional cone
penetration systems.
ii) The effects of different vertical and horizontal stress
states on measured sleeve stresses can be accounted for by
means of the axial and torsional interface stress response.
iii) The procedure for performing combined axial-torsionalpiezo penetration testing of the subsurface using the
proposed MPFTA system involves a series of steps which
allows them to be readily controlled from a remote location
and to be performed using robotic systems.
5
ACKNOWLEDGEMENTS
The initial device development reported herein was funded

in part by a grant from the US National Science Foundation
to the Georgia Tech Research Corporation under Contract #
CMS 9978630.
6
Figure 6. Schematic and photograph of multi-sleeve piezo- frictiontorque penetrometer showing load application modes.
This paper describes the development of a new device that

embodies the attributes of the existing multi-sleeve devices
but incorporates the ability to also conduct torsional friction
penetrometer tests in the same sounding. In contrast to
existing vane shear type devices which involve the
application of a torsional force to a rigid central shaft and
measure the resistance to rotation of a set of blades in a soil,
the new device enables measurement of torsional resistance
with the same textured sleeves used in the axial stage of the
test. This is possible through the use of an innovative
electro-mechanical system that allows independent
measurements of axial and torsional resistance of the sleeves
of the penetrometer device. The availability of
complimentary axial and torsional shear forces along with
the associated pore pressures generated by friction sleeves of
different surface roughness represents a potential disruptive
technology in the in-situ characterization of soil properties
ranging from soil type to soil strength and deformation
properties to assessment of the in-situ state of stress and
associated parameters such as the in-situ stress ratio.
Significant opportunities exist for dramatic advances in
subsurface investigation. Single sensor historical precedent
has guided the design and configuration of in-situ devices,
REFERENCES
Chandler, R.J. (1998). The in-situ measurements of the undrained

shear strength using the field vane, Vane Shear Strength
Testing in Soils. Field and Laboratory Studies. A.F. Richards
(ed.), ASTM STP 1014, ASTM, Philadelphia, pp. 13-44.
DeJong, J.T. (2001). Investigation of Particulate-Continuum
Interface Mechanics and Their Assessment Through a MultiFriction Sleeve Penetrometer Attachment, PhD Dissertation,
Georgia Institute of Technology, Atlanta, May, 360 pp.
DeJong, J.T. and Frost, J.D. (2002). A Multi-Friction Sleeve
Attachment for the Cone Penetrometer, ASTM Geotechnical
Testing Journal, 25, No. 2, pp. 111-127.
DeJong, J.T., Frost, J.D., and Cargill, P.E. (2001). Effect of
Surface Texturing on CPT Friction Sleeve Measurements.
Journal of Geotechnical and Geoenvironmental Engineering,
127, No. 2, pp. 158-168.
Frost, J.D., and DeJong, J.T. (2005) In Situ Assessment of the Role
of Surface Roughness on Interface Response, Journal of
Geotechnical and Geoenvironmental Engineering, 131, No. 4,
pp. 498-511.
Frost, J.D., Hebeler, G.L., and Martinez, A., (2012), Cyclic Multipiezo-friction Sleeve Penetrometer Testing for Liquefaction
Assessment, Proceedings of 4th International Conference
(ISC4)
on
Geotechnical
and
Geophysical
Site
Characterization, Pernambuco, Brazil, Vol. 1, pp. 629-636.
Hebeler, G.L. (2005). Multi Scale Investigations of Interface
Behavior. PhD Dissertation. Georgia Institute of Technology,
Atlanta, August, 772 pp.
Hebeler, G.L., and Frost, J.D., (2006), A Multi Piezo-Friction
Attachment for Penetration Testing, Proceedings of ASCE
Geo-Institute Congress: Geotechnical Engineering in the
Information Technology Age, Atlanta, CD ROM.
Uesugi, M. and Kishida, H., (1986) Frictional Resistance at Yield
Between Dry Sand and Mild Steel. Soils and Foundations,
Vol. 26, No. 4, pp. 139-149.
530
Hydraulic Properties of Glacial Deposits Based on Large Scale Site Investigation

Les proprits hydrauliques des dpts glaciaires bases sur une enqute de chantier grande
chelle
Galaa A., Manzari M.
Coffey Geotechnics, Toronto, Ontario, Canada
Hamilton B.
CH2M Hill, Toronto, Ontario, Canada
ABSTRACT: Glacial deposits by nature comprise variable soil types in relatively short distances. Hydraulic conductivity (K) is the
most important parameter in design of construction dewatering for underground structures. However, determination of proper design
values for K is not an easy task. Due to the inherent variable nature of the glacial deposits, even conventional pumping tests may not
provide reliable design parameter due to its smaller zone of influence compared to that of the actual dewatering for a structure. This
paper describes the methodology created for establishing more representative design values for hydraulic conductivity of glacial
deposits during a large scale subsurface investigation for planned tunnels. The subsurface investigation involved 400 boreholes,
including 88 slug tests and 16 pumping tests. A relation was established between K obtained from the field tests (Kfield) and K
calculated by applying Kozeny-Carman formula (KKC). Subsequently, the calibrated K-C formula was applied to 1,200 grain size
analyses conducted on various soil types. The calculated and measured K were used to form statistical analysis of the parameter and
provide more reliable design values for dewatering.
RSUM : Les dpts glaciaires comprennent des sols variables travers des distances relativement courtes. La conductivit
hydraulique (K) est le paramtre le plus important qui est ncessaire durant la construction des structures souterraines. Cependant, la
dtermination des valeurs de calcul appropries pour K n'est pas une tche facile. cause de la nature variable des dpts glaciaires,
mme les essais de pompage peut-tre ne fourniront pas des rsultats fiables pour une bonne conception pour une bonne conception
parce que les structures dshydrats ont une plus grande zone d'influence. Ce document dcrit la mthodologie cre pour tablir les
paramtres de conception plus reprsentatives au cours d'une enqute de chantier grande chelle pour les tunnels de mtro prvues.
L'tude a port sur 16 essais de pompage avec des puits d'observation associs, et 88 essais de conductivit hydraulique. Une relation
a t tablie entre K obtenue partir des essais sur le terrain (Kfield) et K calcul en appliquant la formule de Kozeny-Carman (KKC).
Par la suite, la formule de K-C calibre a t applique des analyses granulomtriques effectue 1200 chantillons. Les valeurs de K
calcules et mesures ont t utilises pour former une analyse statistique, et pour fournir des valeurs plus fiable.
KEYWORDS: Kozeny-Carman formula, hydraulic conductivity, Glacial Tills, dewatering.
1
INTRODUCTION
The Greater Toronto and Hamilton Area (GTHA), located in

southern Ontario, is Canadas largest and fastest growing urban
region. The Government of Ontario Province through its
transportation authority known as Metrolinx, has embarked in a
massive transportation plan called The Big Move, which is a
25-year, $50 billion plan that will transform regional
transportation across the GTHA. The Eglinton Scarborough
Crosstown (ESC) Light Rail Project is part of that Big Move
program. The ESC is a 19-kilometre light rail transit line (LRT)
that will run along Eglinton Avenue, connecting west to east of
the city. Eleven kilometers of the alignment will be tunneled
underground, crossing well established urban areas which are
densely populated and congested. The tunnel construction is
divided in two contract packages: West Twin Tunnels
Construction and East Twin Tunnels Construction, with Yonge
Street the dividing limit. Dewatering operations will be required
for a total of twenty four structures along the tunnel alignment:
sixteen cross passages, four launch and exit shafts, and six
emergency exit buildings.
In order to meet a very tight schedule while properly
managing subsurface risk and support the design of the tunnel,
an aggressive multi-phase geotechnical investigation program
was undertaken. The geotechnical investigation for the west and
east tunnel contracts was conducted during a two-stage program
between 2010 to mid-2012; which followed by a
hydrogeological study for each section. In summary, about four
hundred (400) shallow and deep sampled boreholes were
advanced including three hundred (300) monitoring wells along
531
the subject alignment to obtain information regarding the

subsurface stratigraphy and groundwater conditions.
Furthermore, eighty eight (88) slug tests and sixteen (16)
pumping tests (150 mm O.D.) were completed as part of the site
specific hydrogeological study. At the time of preparation of
this paper, only the results of eight (8) pumping tests for the
west tunnels are available and used in analyses.
Due to projects very tight schedule and ongoing progress of
design, the proposed locations of some structures were revised
after completion of the pumping tests. Furthermore, it was not
practical to conduct the pumping tests for all of the structures.
Innovative techniques were developed and used to establish
more representative design value of hydraulic conductivity
while not having pumping test at exact location of each
structure and also consider the inherent variable nature of the
glacial deposits. This paper describes the methodology
developed and summarizes the range of hydraulic conductivity
for various types of glacial deposits obtained from this large
scale subsurface investigation which is generally more refined
than older published range for the same deposits.
2
GEOLOGY SETTING
A detailed regional description of the Quaternary geology of the

project area can be found in the Ontario Geological Survey Map
(Sharpe, 1980). The soil deposits in the project area are result of
glacial depositional systems that took place during various
glacial periods. From the published geological data, the GTHA
experienced three glacial and two interglacial periods. This
fluctuating glacial advance and retreat produced a complex

distribution of over-consolidated glacial till layers, separated by
interstadial and interglacial stratified deposits of glaciolacustrine plastic silt/clays and non-plastic silt/sands.
The subsurface overburden encountered during the site
investigation were initially classified into 17 different soil types
(Types 1 through 17). The soil classification system followed
the modified version of Unified Soil Classification System.
Identification of soil origin as till was based on their
heterogeneous structure, the relatively broad grain size
distributions and the documented local geology. Many of the
different soil types demonstrate relatively comparable
engineering characteristics and may possibly have similar
geological origin. Consequently, the various soil types were
consolidated into six engineering classes (Classes A through F).
The six soil classes are as follows:
Class A: Fill and Topsoil

Class B: Interstadial Sand to Gravel
Class C: Interstadial Silt to Sand
Class D : Non-Plastic Till
Class E : Plastic Glacio-lacustrine
Class F : Plastic Till
Class B was divided into two subclasses based on the

percentage of silt and clay particles (<75 m). Sandy soils with
less than 20% silt and clay particles were grouped under Class
B2,3,4 and the rest (> 20% silty and clay) under Class B5,6.
3
ESTABLISHING HYDRAULIC CONDUCTIVITY
Glacial deposits by nature comprise of variable soils types in

relatively short distances. Due to the inherent variable nature of
the glacial deposits at project area, conventional filed pumping
tests may not provide fully reliable results for a proper
dewatering calculation as the zone of influence of a pump test
may only extend a few tens of meters. On the other hand, the
actual dewatering volume of a structure is affected by the
characteristics of surrounding soil within a few hundreds of
meters. Furthermore, the pumping tests were not necessarily at
the exact location of some structures.
It became necessary to complement the hydraulic
conductivity values obtained through field testing in order to
expand the test results to a larger domain or be able to focus on
any specific area. It was decided to use the available semiempirical methods/formulae in literature to complement
hydraulic conductivity values obtained through filed testing
with predicted values based on index properties such as grain
size distributions, pore size distributions and/or specific surface.
The following sections will outline the procedure followed to
predict hydraulic conductivities and provide design parameters.
3.1
Kozeny-Carman formula
Since Kozeny (1927) introduced his theory for a series of

capillary tubes and Carman (1938 and 1956) followed this work
and provided formulations that takes into the account the
tortuosity of the flow path of a fluid in a porous medium. The
following formula presented by Carman was then referred to as
the Kozeny-Carman (K-C) formula (Carrier, 2003).
Details of the formula can be found in the subject references.
In summary, the hydraulic conductivity of the soil can be
estimated as follows:
2
K 1.99 10 4 100 % / { f i /( Dli0.5 Dsi0.5 )} (1 / SF 2 )[e 3 /(1 e )] (1)

Where, e is the void ratio; SF is a shape factor; fi is the
fraction of particles between two sieves (%), denoting the larger
sieve with (l) and the smaller one as (s) in, and Dave-i =
(DliDsi)0.5 is the average particle size, in cm, between two sieve
sizes..
532
The Kozeny-Carman formula takes into account specific

surface area of full range of particle sizes and soil void ratio
which leads to better accuracy than the famous Hazen formula
(Lambe and Whitman 1969) in predicting the hydraulic
conductivity for a wide range of soils. Notwithstanding the
above, the application of K-C formula is constrained by almost
the same limitations as Hazen (Carrier 2003). Such constrains,
as discussed below, arise when dealing with soils at the
extremes of any spectrum such as the grain size, particle size
distribution, particle shape, and particles orientation
(anisotropy).
The formula does not account for the electrochemical forces
between particles and particles and water which disqualify the
formula from being applied to clayey soils. In addition, the
formula assumes laminar flow, which may not be satisfied in
gravels and gravelly sands. The formula does not produce a
close estimate to the specific surface area of particles with
extreme shapes such as platy or flakey particles. Therefore, the
K-C formula may not be applicable in these cases or can be
applied after replacing the calculated specific surface area by
the measured value. Also, K-C formula does not account for soil
anisotropy which is more pronounced in natural deposits than
for laboratory constructed samples.
Locat et al (1984) measured the specific surface area (S) for
several clays and found that clays with low plasticity (8 < PI <
15) have S between 23 and 30 m2/kg and is independent of the
percentage of soil finer than 2 m. Chapuis and Aubertin (2003)
picked a constant number between 23 and 30 m2/kg as an
estimate for S of the soil fraction finer than 2 m and calculated
S for the fraction coarser than 2 m as per original K-C
formula. Consequently, the results of these hybrid methods in
using K-C formula were in good agreement with measured
hydraulic conductivities in laboratory for clayey soils with
PI<15. In this study, the approach proposed by Chapuis and
Aubertin (2003) was followed for plastic glacial tills with PI
less than 15. However, the effect of weathering and factures in
the upper portion of the clayey till deposits must be considered
in any assessment (McKay, 1993; Hendry, 1982).
3.2
Site specific correlation factor for K-C formula
This section outlines the work completed in the field to obtain

in-situ hydraulic conductive (K) for the different soil classes
and explains the approach followed to establish site specific
correlation factor for using K-C formula.
Hydraulic conductivities for each soil class were measured in
the field by a combination of pumping tests and/or falling or
rising head slug tests. The results of 8 pumping tests with
associated observation wells and 88 slug tests conducted along
the tunnel alignment, distributed among six soil classes are used
in this study. The number of the field tests performed on the
aquifers materials was greater than those performed on the
other soil types. However, a significant number of the tests were
performed on both plastic and non-plastic tills.
One grain size distribution analysis was conducted, as
minimum, on the soil samples recovered from within the screen
interval of the 88 slug tests and pumping tests with associated
observation wells. These grain size distributions were
determined by undertaking sieve analysis, in accordance to
ASTM C136-06, and the hydrometer test, in accordance to
ASTM D422-63. These grain size distributions analyses were
used to calculate K based on the K-C formula. After excluding
the tests for samples with PI >15 and/or field test conducted in
the clayey till deposits with obvious signs of weathering and
fracture, K-C formula was applied to about 80 grain size
analyses that were screened as suitable (not within the
limitations of the formula) and correspond with K obtained
from field tests. As a result, for every in-situ measured K in the
field (Kfield) there is a corresponding predicted K from applying
KC formula to the grain size analysis associated with the screen
interval (KKC), as shown in Figure 1.
1.E+00
Correlationline
K(Field)(cm/sec)
1.E01
1.E02
K(field)=3K(KC)
K(field)=1/3K(KC)
1.E03
1.E04
1.E05
1.E06
1.E07
1.E07
1.E06
1.E05
1.E04
1.E03
1.E02
1.E01
1.E+00
K(KozenyCarman)(cm/sec)
Figure 1 In-situ measured field hydraulic conductivity versus calculated

by Kozeny-Carmen Formula (KKC vs. Kfield)
The dashed line represents the equality line and the solid
black line represents the site specific correlation line which has
a slope shown in equation (2).
log Kfield = 1.03log KKC
(2)
The grey lines in Figure 1 represent the boundaries that

encompass 90% of the data points. These lines have the same
slope as the correlation line with 0.5 offset in the log-log scale.
This indicates that Kozeny-Carmen formula with incorporation
of the site specific correlation factor of 1.03 (equation (2))
predicts a K value ranging between 1/3 to 3 times the in-situ
measured field hydraulic conductivity (Kfield) for the glacial
deposits in this specific site. These conclusions are comparable
to the margin obtained from laboratory permeability test results
shown by Chapuis (2002) and Chapuis and Aubertin (2003).
3.3
Overall hydraulic conductivity for each soil class
Hydraulic conductivity (K) values for each soil class of glacial

deposits were calculated using the K-C formula as per method
described in the previous sections for about 1,200 grain size
analyses conducted on various soil types along the alignment.
Equation (2) is then used to correct KKC assuming that 90% of
the predicted values fall between 1/3 to 3 times the actual K in
the field. The statistical parameters were calculated for the
corrected KKC obtained for each soil class in conjunction with
the K values directly obtained from field tests (slug and
pumping tests). The statistical distribution of K for each soil
class is plotted in histograms as shown in Figure 2a to 2e.
The K values obtained from the field tests conducted in the
plastic till deposits (Class F) with obvious signs of weathering
and fracture has also been added to the calculated K values and
other field measurement results which all together included in
the statistical distribution of K for Class F (Figure 2a).
Generally, the higher end of the K distribution in Figure 2a is
associated with the field measured hydraulic conductivity in the
fractured plastic till. This is in conformance with the finding of
other studies in similar soil condition (e.g., DAstous 1989,
Ruland 1991). Although, some of the slug tests conducted on
this fractured zone were as low as the results typically
associated with soil matrix values; which could by the results of
the smeared zone tend to form around augered boreholes.
Figure 2a to 2e Statistical distribution of hydraulic conductivity for

various soil classes of glacial deposits obtained from the investigation.
The K values for Class B2,3,4 (interstadial sand with less

than 20% fines) fit a bimodal distribution (Figure 2e). Further
review of the resutls indicated that the higher peak (10-2 cm/s) is
associated to sand with leass than about 10% fine; while the rest
of the class resutled to the lower peak.
3.4
Design hydraulic conductivity for structures
The zone of influence for 72 hours pumping tests ranged from

15 m to less than 100 m, depending on the location. On the
533
other hand, the zone of influence for actual dewatering volume

of the structures would be a few hundreds of meters and
therefore, the dewatering volume would be affected by the
characteristics of surrounding soil within this larger zone. In
order to assess the reliability of the pumping test results for
dewatering calculation, the uniformity of the soil within the
dewatering zone was verified using the correlation described in
the previous sections.
For each structure location, a zone of influence of 350 m
radius is assumed. Corrected KKC in conjunction with K values
directly obtained from field tests (slug and pumping tests)
within the assumed zones around each structure were pulled out
of the overall data available. Subsequently, the statistical
distributions of K-values for every soil class encountered within
the dewatering zone were prepared for each structure. Examples
of the cumulative distributions are shown in Figure 3a and 3b
for Structure No.1 and No.2.
Based on the localized distribution of the K-values for each
structure, the pumping tests results for some structures fall
within 70 percentile or higher; on the other hand, the results for
other structures could be as low as 20 to 50 percentile.
A detailed review of the results and interpretive subsurface
profile showed that generally when the zone of the influence of
the pumping tests was small, the K obtained from pumping test
tends to be on the lower side of the cumulative distribution.
This has also been augmented where random presence of
pockets/seams of Class C soil within Class B deposits has
dominant effect on pumping test results. The design K-value for
dewatering calculation has been selected based on the result of
the localized distribution of the K-values prepared for each
structure. Two examples are shown in Figure 3.
4
CONCLUSION
piezometers. Physical scale of field measurements may strongly

influence the resulting hydraulic conductivity values.
Figure 3 Localized distribution of hydraulic conductivity for (a) Class

B5,6 in Structure No.1 and Class B2,3,4 Structure No.2.
The authors would like express their gratitude to Metrolinx for

authorizing the preparation of this paper.
6
Glacial deposits comprise of variable soil types in relatively

short distances. Conventional pumping tests may not provide
fully reliable results for a proper dewatering calculation as the
zone of influence of a pump test may only extend tens of meters
while the actual dewatering volume of a structure is affected by
the characteristics of surrounding soil within hundreds of
meters. Presence of pockets/seams with higher silt content
within sandy deposits has dominant effect on pumping test
results. Smaller the zone of influence of the pumping tests, K
obtained from the test tends to be on the lower side of the
cumulative distribution for the dewatering zone of influence.
The pumping test results for some structures could be as low as
20 to 50 percentile of accumulative distribution. It is imperative
to assess the reliability of the pumping test results for
dewatering calculation in the variable glacial deposits;
particularly when the zone of the influence of the pumping tests
is relatively small.
The Kozeny-Carman formula takes into account specific
surface area of full range of particle sizes and soil void ratio and
proven to provide reliable predictions of K for wide range of
soils. Based on the results of this large scale investigation,
Kozeny-Carmen formula with incorporation of the site specific
correlation factor, predicts K values ranging between 1/3 to 3
times the in-situ hydraulic conductivity (Kfield) for the glacial
deposits. This provides a powerful tool in verifying the
reliability of pumping test results in glacial deposits. However,
careful consideration must be given to proper interpretation of
the field test results and applicability of the formula to site
conditions.
It also should be noted that K of weathered zone of clayey
deposits is controlled by flow through the fractures. The field K
measured in this zone could be up to a few orders of magnitude
greater than the clay matrix. Field measurements in this zone
may also be sensitive to smearing during the installation of
534
ACKNOWLEDGEMENTS
REFERENCES
Carman, P. C. 1938. The determination of the specific surface of

powders. J. Soc. Chem. Ind. Trans. 57, 225.
Carman, P. C. 1956. Flow of gases through porous media, Butterworths
Scientific Publications. London.
Carrier, W. D. 2003. Goodbye, Hazen; Hello, Kozeny-Carman. Journal
of Geotechnical and Geoenvironmental Engineering, 129(11),
1054-1056
Chapuis, R.P. and Aubertin, M. 2003. On the use of the Kozeny
Carman equation to predict the hydraulic conductivity of a soil.
Chapuis R.P. 2002. The 2000 R.M. Hardy Lecture: Full-scale hydraulic
performance of soilbentonite and compacted clay liners. Canadian
DAstous et al. 1989. Fracture effects in the shallow groundwater zone
in weather Sarnia-area clay. Canadian Geotechnical Journal, 26,
43-56.
Hendry, M. J. 1982. Hydraulic conductivity of a glacial till in Alberta.
Ground Water 20(2), 162-169.
Kozeny, J. 1927. Ueber kapillare Leitung des Wassers im Boden. Wien,
Akad. Wiss. 136 (2a), 271.
Lambe, T. W., and Whitman, R. V. (1969). Soil mechanics. Wiley, New
York.
Locat, J., Lefebvre, G., Ballivy, G. 1984. Mineralogy, chemistry, and
physical properties interrelationships of some sensitive clays from
Eastern Canada. Canadian Geotechnical Journal, 21 (3), 530-540.
McKay L., Cherry J., and Gillham R 1993. Field Experiments in a
Fractured Clay Till. Water Resources Research, 29(4), 1149-1162.
Ruland W. et al. 1991. The depth of active groundwater flow in a clayey
till plain in southwestern Ontario. Ground Water 29(3), 405-417
Sharpe 1980. Quaternary Geology Series, Quaternary Geology
Toronto and Surrounding Area, Southern Ontario. Ontario
Geological Survey Map 2204.
The seismic SPT test in a tropical soil and the G0/N ratio
L'essai SPT sismique pour le sol tropicaux et la relation G0/N
Giacheti H.L., Pedrini R.A.A.
Universidade Estadual Paulista, Departamento de Engenharia Civil e Ambiental, Bauru SP Brazil
Rocha
B.P.
B.
P. Rocha
Universidade de So Paulo, Departamento de Geotecnia, So Carlos SP Brazil
ABSTRACT: The seismic SPT, a test which associates the up-hole technique to the SPT, is briefly described. The maximum shear
modulus (G0) can be determined together with the N value with this hybrid test. Seismic (Cross-hole, Down-hole and SCPT) and SPT
test data for a Brazilian tropical sandy soil are presented and discussed emphasizing the advantage of using the interrelationship
between the small strain stiffness (G0) and an ultimate strength (N value) to identify different soil behavior. A seismic SPT test was
carried out in this research site and the G0/N ratio is discussed as an interesting index to help characterize tropical soils, similar to
what has been suggested for the Go/qc ratio determined in a single test.
RSUM : Le SPT sismique, qui associe le up-hole au SPT est brivement dcrit. Le module de cisaillement maximale (G0) peut tre
dtermin avec la valeur N de ce test hybride. Des donnes sismiques (Cross-hole, Down-hole and SCPT) et SPT pour un sol sableux
tropical du Brsil sont prsentes et discutes soulignant l'avantage d'utiliser la corrlation entre (G0) et une rsistance la rupture
(valeur N) afin d'identifier le comportement de diffrents sols. Un essai SPT sismique a t ralis dans le site exprimental et la
relation G0/N est discute comme un indice intressant pour aider caractriser les sols tropicaux, de la mme faon que ce qui a t
propos pour le rapport G0/qc mesur dans un essai unique.
KEYWORDS: In situ testing, SPT, seismic, up-hole, tropical soil, G0/N ratio.
1
INTRODUCTION
Site characterization can be defined as the process of identifying

the geometry of relatively homogeneous zones and developing
index, strength and stiffness properties for the soils within these
zones. Some in situ testing can be used as an alternative to the
traditional approach of drilling, sampling and laboratory tests.
Combining stratigraphic logging with a specific measurement in
a in situ test is a modern approach for site characterization.
Some authors have shown that it is possible to incorporate
the measurement of shear wave velocities using the SPT blow
by the up-hole technique. This hybrid test is known as the
seismic SPT (S-SPT), which combines stratigraphic logging,
estimative of geotechnical parameters and determining small
strain stiffness (Go) in one single test similarly to the SCPT.
This paper briefly describes a system to carry out the S-SPT
test and the approach to interpret the seismic data. It also
discusses the applicability of the interrelationship between (Go)
and N value to identify unusual soil behavior based on the tests
carried out in a research sites located in the city of Bauru, inland
of So Paulo State, Brazil emphasizing the advantage of using
the S-SPT test for this approach.
2
2.1
BACKGROUND
Tropical Soils
Tropical soils are formed predominantly by chemical alteration

of the rock, and they are considered a non-textbook type
geomaterial because their peculiar behaviors that cannot be
explained by the principles of classical soil mechanics.
The term tropical soil includes both lateritic and saprolitic
soils. Saprolitic soils are necessarily residual and retain the
macro fabric of the parent rock. Lateritic soils can be either
residual or transported and are distinguished by the occurrence
535
of the laterization process, which is an enriching of a soil with

iron and aluminum and their associated oxides, bonding a
highly porous structure. Saprolitic soil has structural or
chemical bonding retained from the parent rock. The
contribution of this cementation to the soil stiffness depends on
the strain level the soil will experience. Differences between the
mechanical behaviors of the mature (lateritic) and young
(saprolitic) soils have been reported for both natural and
compacted conditions.
2.2
Go/qc Ratio
The pore pressure measurements cannot always be considered

useful to allow an adequate classification of tropical soil based
on CPTU data. The small strain stiffness (Go) and cone tip
resistance (qc) ratio has been suggested as an additional
information for classifying different soil types, especially to
identify soils with unusual compressibility. Schnaid et al (2004)
suggested that the ratio Go/qc provides a measure of the ratio of
the elastic stiffness to ultimate strength and may therefore be
expected to increase with sand age and cementation, primarily
because the effect of these on Go are stronger than on qc. They
proposed a chart and boundaries by correlating Go/qc versus
normalized type resistance (qc1). This chart can be used to
evaluate the possible effects of stress history, degree of
cementation and ageing for a given profile. Three lines divide
upper and lower bounds for cemented and uncemented sands.
Giacheti & De Mio (2008) presented SCPT test results from
three tropical research sites in the State of So Paulo, Brazil and
plotted all the data in the Schnaid et al (2004) chart as shown in
Figure 1. The authors pointed out that the SCPT test allows
calculating Go/qc ratio simplifying interpretation and reducing
site variability. The SCPT data interpretation indicated that the
bonded structure of tropical soils gives Go/qc ratios that are
systematically higher than those measured in cohesionless soils.
The results are in agreement with the propositions of Schnaid et

al. (2004). They also observed that lateritic soils tends achieve a
higher Go/qc ratio than the saprolitic soils.
Classification System proposed by Nogami & Villibor (1981)

for tropical soils was used to define and classify the soils with
regards to its lateritic behavior.
Figure 3. Bauru city, where the studied site is located.
3.2
Figure 1. Relationship between Go and qc (Giacheti & De Mio, 2008).
2.3
Go/N Ratio
Schnaid et al. (2004) suggested that the N values from SPT test
can also be combined with Go, using the Go/N ratio, to help
assessing the presence of bonding structure. This approach is
presented in Figure 2. Viana da Fonseca & Coutinho (2008)
included data from experimental sites from Portugal in this
figure. These authors pointed out that the bonded structure have
a marked effect on the behavior of residual soils, with a Go/N
values considerably higher than those observed in cohesionless
materials. Lines are also shown in Figure 3 to define the upper
and lower bounds for cemented and uncemented sands.
Similarly to what has been presented by Giacheti & De Mio
(2008) for tropical soils based on SCPT data, the
interrelationship between small strain stiffness (Go) and N value
could be used to identify different soil behavior using the
seismic SPT similarly to the SCPT.
SPT and seismic testing data
The typical soil profile for the studied site was defined based on
the SPT tests and it is presented in Figure 4.a, together with N
values correct by 60% efficiency (N60) for all SPT tests (Figure
4.b). The shear wave velocities (Vs) were determined with
cross-hole, down-hole and SCPT tests (Figure 4.c). Total mass
densities were obtained from undisturbed soil samples collected
in a sample pit excavated at the site. They were used to
calculate Go values based on Elastic Theory and the data are
presented in Figure 4.d.
An average Go/N60 ratio for every one meter depth was
calculated, so the Goavr/N60avr values versus depth are presented
in Figure 4.e. The criteria to calculate this ratio was averaging
Go and N60 from all the tests and after that calculating the
average ratio with the closest depth from Go and N60.
Site variability can be assessed based on N60 and Vs values
and these data indicate that the site is quite variable. Giacheti at
al (2003) discussed variability for this site based on several CPT
tests. They also concluded that the site is variable and test data
can be affected by suction and cementation. The authors pointed
out that the SCPT1 shows the presence of a region with low qc
and high Rf between around 10 and 16 m depth. These data are
quite different from those recorded with the SCPT2 test, so Vs
values were not considered to calculate Go for this portion of
the soil profile for the SCPT1 test. This variation is probably
related to the morphogenetic and pedogenetic processes and
probably reflects different degrees of cementation in the profile.
N60
SPT profile
0
1
(a)
10
20
Go (MPa)
Vs (m/s)
30
40 0
200
400
(b)
600 0
Goavr / N60avr
100 200 300 400 0
(d)
(c)
10 20 30 40 50 60
(e)
2
3
4
5
6
7
8
Depth (m)
Figure 2. Relationship between Go and N60 (Schnaid et al 2004,

completed by Viana da Fonseca & Coutinho, 2008).
9
10
SM - SC
11
12
LA'
13
NA'
14
STUDIED SITE
15
16
3.1
The site
The Unesp experimental research site is located inland of the

State of So Paulo, Brazil, in the city of Bauru (Figure 3).
Several site characterization campaigns including SPT, DMT,
PMT, CPT, SCPT, cross-hole and down-hole tests were
previously carried out at the site. A sample pit was excavated to
retrieve disturbed and undisturbed soil blocks to be tested in the
laboratory to characterize the soils and to determine
geotechnical properties.
The subsoil is a sandy soil where the top 13 m has lateritic
soil behavior (LA) overlaying a soil of non-lateritic behavior
(NG) derived from weathering of Sandstone rock. The MCT
17
18
19
20
21
1-Red clayey fine sand
2-Red clayey silty fine sand
CH1
SCPT1
CH1
SCPT1
SCPT2
SCPT2
DH
DH
Figure 4. SPT and seismic testing data and Go/N60 for the studied site.
3.3
The Go/N ratio
It can be observed in Figure 4.e that the average Go/N60 tends

do decrease with depth, with an average value equal to 35
536
between 1 and 6 m depth, 23 between 6 to 13 m depth and 10

below 13 m depth. These results indicate that Go/N60 ratio is
higher in the lateritic soil layer (1 to 13 m depth) and tends to
decrease as the residual soil is less developed.
The average Go and N60 values for the study site were
plotted in the Go/N60 versus (N1)60 chart (Figure 5). Almost all
the data points are in the upper bound for cemented sands which
indicates that the bonded structure of tropical sandy soils
produces Go/N60 that are systematically higher than those
measured in cohesionless soils. It is also interesting to note in
Figures 4.e that the lateritic soils (G0/N60=35 to the upper
portion and 23 to the lower portion) present a higher
cementation than the saprolitic soils (average G0/N60=10).
These results are similar to what had been presented by Giacheti
& De Mio (2008) based on Go/qc from SCPT test (Figure 1)
and indicate the use of the ratio between the small strain
stiffness (Go) and an ultimate strength (N or qc) to identify
unusual soil behavior and degree of evolution of residual soils.
Ratio (Go/pa)/N60
1000
Upper bound
(cemented geomaterials)
4.2
Vs from the S-SPT test
Determining Vs from the S-SPT test data is not straightforward.

Bang & Kim (2007) described two methods: DTR (delay time
between serial receivers) and DTS (delay time between serial
sources). Pedrini (2012) suggested using the DTS method. In
this method, the time interval of the S waves arrival for each
sample depth in which the test was carried out is determined
identifying the exact moment of the first arrival time plotting
the wave receptions generated at different depths. Figure 7
shows a typical wave recordings profile as well as the point of
the first S wave arrival. Another important aspect is the
geometry. Bang & Kim (2007) recommend that Snells Law
(the refraction and reflection during the propagation of waves in
stratified layers of different densities) should be taken into
account when determining the refracted wave path.
Lateritic Soils
Saprolitic Soils
100
Unaged
uncemented sands
Lower bound
10
1
10
100
Normalized (N1)60
Figure 5. Relationship between Go and N60 for the studied site.
4
4.1
THE SEISMIC SPT TEST

Figure 7. Profile of seismic wave and the identification of the common
arrival point of the S waves (Pedrini et al, 2012).
Principle
It is possible to incorporate the shear wave velocity (Vs)

measurements during the SPT test applying the up-hole
technique. This approach has been used in the past and it is
recently presented in detail by Bang & Kim (2007). This hybrid
test allows measuring the SPT N value together with Vs (so Go)
at the same time and in the same borehole. For each sampler
depth (usually at every meter) a seismic wave is generated and
it can be recorded on the ground surface. A schematic
representation of the S-SPT test is show in Figure 6.
Manual SPT Equipment
4.3
Trigger &
Anvil
DAQ
System
Case with
geophones
H1
H2
H3
Hi
3
i
The refracted ray pathway calculated based on Snells Law

depends on various wave velocities and it can be determined by
considering two conditions: the Snells law and a geometrical
criteria. The following assumptions must be done: 1) each
sample layer is equal to the depth where the SPT test was
carried; 2) each layer is homogeneous and the propagated wave
velocity is assumed constant in each layer as show in Figure 6.
An iterative method must be used to solve the equation system
and determine the length (L) that the wave propagates in each
soil layer. Details can be found in Bang & Kim (2007).
L1
L2
L3
Li
Figure 6. Schematic representation of an S-SPT test and a seismic

refracted path (adapted from Bang & Kim, 2007 by Pedrini et al, 2012).
The test equipment is the same currently used for the SPT
test. An arrangement of transducers (usually geophones) placed
in appropriate boxes on the ground surface, a triggering system
and the seismic source, which is the SPT sampler itself, are
added for the seismic SPT test.
537
The S-SPT equipment
The system for carrying out S-SPT tests and the method of
analysis were implemented and described by Pedrini (2012).
The main characteristics of this system are presented by Pedrini
et al (2012) and will be summarized herein.
Bang & Kim (2007) used the drop of the SPT weight as the
source to generate waves while Pedrini (2012) used a 2 kg
sledgehammer. The triggering device was digital, with one
terminal (positive or negative) fitted into the anvil head and the
other attached to the sledgehammer.
Two geophones were installed inside of six boxes placed on
the ground, one vertical and other horizontal oriented in a radial
pattern. A National Instruments, model NI-USB-6353, data
acquisition system was used. It has 16 bits resolution, 32 single
ended channels and 16 differential channels, a digital and
analogue trigger and a receiving rate of 1.25 ms/s. Software in
the Labview and Matlab platforms were developed by Pedrini
(2012) to trigger, capture the waves, signal processing,
represent the traces, analyzing the recorded data and calculating
the velocities.
4.4
The S-SPT test procedure
1000
4.5
N60
SPT profile
0
0
1
10
20
30
40
(b)
200
Go (MPa)
400
600 0
(c)
100 200 300 400
Go / N60
(e)
(d)
3
4
5
7
8
9
10
SM - SC
11
12
LA'
13
NA'
14
15
16
17
18
Saprolitic Soils
100
Unaged
uncemented sands
10
100
Normalized (N1)60
Figure 9. Relationship between Go and N60 for the seismic SPT test.
CONCLUSIONS
It was observed that the average ratio Go/N from several SPT
and seismic tests carried out in the studied site was higher in the
lateritic soil than in the saprolitic soil, particularly in the top
layer. The seismic SPT test was used to derive Go/N values in
the same site. Similar results were achieved with this single test,
which allows determining both parameters simultaneous,
reducing the effects of site variability. Relating an elastic
stiffness (Go) to an ultimate strength (N value) is an interesting
approach to help identify tropicals soils since the low strain
modulus from seismic tests reflects the weakly cemented
structure of lateritic soils while the SPT sampler penetration
brakes down all cementation. The preliminary results from the
seismic SPT test indicate that this hybrid test opens up new
possibilities for geotechnical site characterization of tropical
soils, based on the relationship Go/N, which is similar to the
Go/qc ratio in the SCPT test.
0 10 20 30 40 50 60
(c)(d)
Lateritic Soils
10
Vs (m/s)
(a)
Upper bound
Lower bound
The S-SPT testing data
The N60 values measured during the S-SPT test carried out at
the studied site are presented in Figures 9.b. This hybrid test
allowed determined Vs simultaneously to N every 1 m interval
(Figure 8.c) for calculating Go (Figure 8.d). The Go/N60 values
versus depth are also presented in Figure 8.e for the studied site
with no averaging.
Depth (m)
Ratio (Go/pa)/N60
An S-SPT test was carried out using this system in the studied
site. Seismic data were recorded from waves generated every
one meter depth up to 21 m, right after the N SPT measurement
using the equipment described in the previous sub-item. A six
box arrangement was placed on the ground surface after
removing the top soil to enable better coupling. The distance
between each box (which contains a pair of geophone) was 1.5
m and they were all placed between 4.5 m to 12.0 m away from
the test borehole.
19
20
21
2-Red clayey silty fine sand
Vs - 6,0m
Vs - 8,0m
Vs - 10,0m
Vs - 12,0m
Vs avr
The authors gratefully acknowledge FAPESP (State of So

Paulo Research Foundation) and CNPq (National Council for
Scientific and Technological Development).
Figure 8. S-SPT testing data and Go/N60 for the studied site.
4.6
ACKNOWLEDGEMENTS
The Go/N ratio
The Go/N60 profile (Figure 8.e) obtained from the S-SPT test
data are similar to what was found when averaging all SPT and
seismic test data (Figure 4.e) for the top lateritic layer (1 to 6 m
depth) with a lower average Go/N60 equal to 27, a bit lower than
what was previously found, 35. In the lower part of the lateritic
layer (6 to 13 m depth) it was found an average Go/N60 equal to
14, also lower than what was previously found (23) and the
same average value for the saprolitic layer.
These data were also plotted in the Go/N60 versus (N1)60
chart as shown in Figure 9. All the data points are in the upper
bound for cemented sands. In this case the difference between
lateritic and saprolitic soils is not so clear, just the upper portion
of the lateritic layer reflects a higher degree of cementation. Soil
variability in this particular site probably related to the
morphogenetic and pedogenetic processes, already pointed out
by Giacheti et al (2003) and Giacheti & De Mio (2008) could
explain the observed differences.
538
REFERENCES
Bang, E. S. & Kim, D.S. 2007. Evaluation of shear wave velocity

prole using SPT based up-hole method, Soil Dynamics and
Earthquake Engineering 27, p. 741-758.
Giacheti, H. L. & De Mio, G. 2008. Seismic cone penetration tests on
tropical soils and the ratio Go/qc. 3rd Geotechnical and Geophysical
Site Characterization Conference, ISC3, Taiwain, v.1. p. 12891295.
Giacheti, H. L.; Peixoto, A. S. P. & Marques, M. E. M. 2003. Cone
Penetration Testing on Brazilian Tropical Soils. XII Panamerican
Cambridge/USA, v.1. p. 397-402.
Nogami, J. S. & Villibor, D. F. 1981. Uma nova classificao de solos
para finalidades rodovirias, Simpsio Brasileiro de Solos Tropicais
em Engenharia, Brasil, V. 1, p. 30-41.
Pedrini, R. A. A. 2012. Desenvolvimento de sistema para realizao de
ssmica up-hole em conjunto com sondagem SPT. M.Sc. thesis,
FEB/Unesp. Bauru/SP, Brazil.
Pedrini, R. A. A. & Giacheti, H. L. 2012. The seismic SPT to determine
the maximum shear modulus, 4th Geotechnical and Geophysical
Site Characterization Conference, ISC4, Brazil, CD-Rom.
Schnaid, F.; Lehane, B. & Fahey, M. 2004. In situ test characterization
of unusual geomaterials. 2nd Geotechnical and Geophysical Site
Characterization Conference, ISC2, Portugal, v. 1. p. 49-74.
Viana da Fonseca. A. & Coutinho, R. Q. 2008. Characterization of
residual soils, 3rd Geotech. and Geoph. Site Characterization Conf.,
ISC3, Taiwain, v. 1. p. 195-249.
Compressibility Parameters of Cohesive Soils From Piezocone

Paramtres de compressibilit de sols cohsifs au pizocone
Hamza M.
Faculty of Engineering, Suez Canal University & Chairman of Hamza Associates, Egypt
Shahien M.
Faculty of Engineering, Tanta University, Egypt
ABSTRACT: Drained compressibilty parameters for cohesive soils can be determined by carrying out one dimensional consolidation
tests on undisturbed samples. The compressibility parameters include the compression and recompression indices,
overconsolidation ratio and coefficient of consolidation. Some of these parameters or in other forms have been already correlated in
the literature to results of piezocone. The aim of this paper is to provide additional data on drained compressibility parameters,
focusing on constrained modulus and overconsolidation ratio, for cohesive soils from geotechnical investigations in seven major sites
of river Nile Delta deposits in Egypt where piezocone CPTU data are also available. The results of consolidation tests are used to
evaluate and modify the available correlations(s) with CPTU data. It is believed that the data and analysis in this paper shall be a
valuable contribution to the literature by providing a better ground for improving the current state of the art of estimating the
compressibility parameters from the CPTU data.
RSUM : Les paramtres de compressibilit draine pour les sols cohrents peuvent tre dtermins en excutant un test de
consolidation unidimensionelle sur les chantillons intacts . Ces paramtres incluent les indices de compression et de
recompression, le taux de surconsolidation et le coefficient de consolidation. Certains de ces paramtres ont dj t corrls dans la
bibliographie aux rsultats du pizocone. L'objectif de cet article est de fournir des donnes supplmentaires sur les paramtres de
compressibilit draine en se concentrant sur le module contraint et sur le taux de surconsolidation pour des sols cohrents tudis
dans sept sites majeurs des dpts du Delta de Nil en Egypte, o des donnes de CPTU sont aussi disponibles. Les rsultats dessais
de consolidation sont utiliss pour valuer et modifier les corrlations disponibles avec les donnes de CPTU. On estime que les
donnes et l'analyse prsentes ici seront une contribution valable la bibliographie en fournissant de meilleurs fondements pour
amliorer ltat de lart actuel concernant l'estimation des paramtres de compressibilit partir de donnes de CPTU.
KEYWORDS: constrained modulus, overconsolidation ratio, sample quality designation, piezocone, clay
1
The aim of this paper is to provide additional data on both

constrained modulus and overconsolidation ratio as determined
from oedometer consolidation tests on undisturbed samples of
cohesive soils and CPTU data from seven sites from the Nile
Ddelta deposits. The authors believe that the addition of the data
presented in this paper to the literature provides a better ground
for improving the current state of the art of estimating drained
compressibility parameters from the CPTU data. With such
belief, the data are used to evaluate and modify the available
correlations.
INTRODUCTION
Drained compressibilty parameters for cohesive soils are useful

in; a) carrying out long term settlement analysis, b) providing
key parameters for analysis and design of ground improvement,
and c) profiling undrained shear strength parameters with the
aid of other insitu field investigation equipments such as field
vane and piezocone.
Drained compressibility parameters for cohesive soils can be
determined from End of Primary (EOP) void ratio versus
effective stress relationship that results from carrying out
incremental load one dimensional consolidation tests on
undisturbed samples. The drained compressibility parameters
include the compression and recompression indices,
overconsolidation ratio and coefficient of consolidation. These
parameters can be influenced with variable degrees by quality
of samples used in the tests. (Jamiolkowski et al., 1985 and
Terzaghi et al., 1996). Empirical correlations to estimate these
parameters or equivalent in other forms, from insitu tests such
as piezocone are available in the literature (e.g. Jamiolkowski et
al, 1985, Lunne et al., 1997 and Mayne, 2009). Availability of
such correlations provides a great aid for geotechnical engineers
to estimate such parameters in continuous profiles for a site in
relatively short period of time and perform fewer consolidations
tests for confirmation. However, estimating drained parameters
from undrained piezocone test results could be complicated and
sometimes may have various degrees of uncertainties (Lunne
etl. 1997). Therefore, there is a need for continuous feed of data
from local experiences to confirm, validate, and even modify
the existing correlations.
INVESTIGATED SITES
Comprehensive geotechnical investigation campaigns were

carried out in seven sites of major projects along the north coast
and within the Delta of the Nile River of Egypt. The seven sites
provide full coverage of the Nile Delta deposits starting from
Idku at west of the Nile Delta, to Metobus within the Nile Delta,
to Damietta, to El-Gamil and Port Said further east of the Delta.
Three of these sites were reported in Hight et al. (2000), Hamza
et al. (2002), (2003) and (2005). The seven sites were used by
Hamza and Shahien (2009) to investigate the correlations of
estimating the efective stress friction angle from piezocone data.
The stratifications of the sites are shown in Fig. (1).
The statification of the sites consists of silty sand top layer
over very soft to medium stiff clay layer over sand over stiff to
hard clay. The thickness of the soft clay layer tends to thicken
as moving from west to east of the Delta (Hamza et al., 2005).
539
Soft to
Firm Clay
Limemud
Silty Sand
Overconsolidation Ratio, OCR
Stiff Clay
Stiff Clay
Damietta 3
Damietta 4
10
Depth, m
20
Silty
Sand
Soft
to
Firm
Clay
30
40
Silty
Clayey
Sand
Very
Soft to
Medium
Stiff
Clay
Silty
Clayey
Sand
Silty
Sand
50
60
Stiff
to
Hard
Clay
Silty
Clayey
Sand
Hard
Clay
Very
Soft to
Medium
Stiff
Clay
Silty
Sand
Idku
Metobus
Dammietta 3
Dammietta 4
Port Said 2
El-Gamil
Dammietta 2
2.5
2.0
1.5
1.0
SQD Scale
B
A
0.5
0.0
0
10
Volumetric Strain at 'vo, vo, %
Stiff
to
Hard
Clay
Fig. 2 Overconsolidation ratio (OCR) versus vo as a measure of SQD
3.3. Compression Indices and Moduli
Silty
Clayey
Sand
Hard
Clay
Figure 1. Stratigraphy of the soil formations in the seven sites.
3 COMPRESSIBILITY PARAMETERS FROM

OEDOMETER TESTS
3.1. General
The results of total 125 consolidation tests were used in this
study. The tests were carried out on clay undisturbed samples
that were collected by means of stainless steel thin wall Shelby
tubes with cutting edge sharpened to approximately 5o.
Incremental loading procedure was utilized with a load
increment ratio of 2. End Of Primary (EOP) consolidation was
determined for each load increment using the Taylor method.
EOP void ratio versus logarithm of effective vertical pressure
(e-log v) curves were plotted for each test.
3.2. Overconsolidation Ratio
The overconsolidation ratio, OCR, is defined as the ratio
between the preconsolidation or yield pressure, p, to in situ
effective overburden pressure, vo. The p is the pressure that
distinguishes between low compressibility in the recompression
range and the high compressibility in the compression range.
There are several mechanisms for a deposit to demonstrate a p
(Jamiolkowski et al., 1985 and Mayne et al., 2009). Those
mechanisms include; decrease in vertical effective stress,
freeze-thaw cycles, repeated wetting-drying, tidal cycles,
earthquake loading, desiccation, aging, cementation or
geotechnical bonding. The decrease in effective stress could be
caused by; mechanical removal of overburden, overburden
erosion, rise in sea level, increased groundwater elevations,
glaciation, and mass wasting. The conventional and most
common Casagrande method is used to determine p from the
EOP e-log v curves from the Oedometer tests carried out.
Sample quality was evaluated on the basis of the magnitude
of the volumetric strains, vo, during reconsolidation to vo in
540
The compression, Cc, and re-compression, Cr, indices were

calculated for each test as the slopes of the e-log v curve in
the normally consolidated and the re-compression ranges,
respectively. The recompression index, Cr, was calculated as the
average slope of the unloading-reloading cycle of e-log v
curve between vertical effective stress value of twice of the
preconsolidation pressure, p, and effective overburden
pressure, vo or the average slope of the unloading curve from
consolidation pressure of 3200 kPa.
Compression index values in this study are plotted in Figure (3)
versus natural water content, the Terzaghi et al. (1996) plot for
filling and reference. The water content is a major variable as it
reflects how much water held in the deposit to be squeezed out
upon the increase in effective stress. As expected, the data show a
band that compares relatively well with data from all over the
world as collected originally by Terzaghi et al. (1996). The overall
average of ratio of re-compression to compression indices Cr/Cc is
calculated to be about 0.1.
-6
2.85
Cc=4x10 w
1
Idku
Metobus
Dammietta 3
Dammietta 4
Port Said 2
El-Gamil
Dammietta 2
Damietta 2
3.0
=0
.1
60
Sand
with Silt
Occasionaly
interbeded by
Hard Clay
50
Firm to
Stiff Clay
Sand
with
Silt
Sand
with
Silt
05
w
40
=0
.0
30
Silt
Soft to
Firm Clay
Soft to
Med. Stiff to
Very Stiff
Clay,
Interbeded
with Very
Stiff Peat
Alternating
Soft to
Med. Stiff
Clay,
Organic Silt
& Silty Sand
03
w
Depth, m
20
Silty Sand
Sand - Occas.
Silt and Clay
=0
.0
Silty
Sand
10
oedometer tests as suggested by Andresen and Kolstad (1979).

The Sample Quality Designation (SQD) scale using vo
suggested by Andresen and Kolstad (1979) and modified by
Terzaghi et al. (1996) is used in this paper. Figure (2) shows the
OCR values in this study versus vo. Shown also on the plot, is
the above mentioned SQD scale. The scale suggests that the
majority of samples have quality B to C. Such sample qualities
correspond to verbal scale of very good to good samples.
The OCR values for the clay are in the range of 1 to 2. It
should be noted that OCR values might be influenced by sample
disturbance. As sample disturbance increases (i.e. vo increases),
the OCR value decreases due to the de-structuring of the samples
during sampling. One possible major source for sample
disturbance in Nile Delta deposits is the natural gas exsolution in
the pore water (Hight et al., 2000). The OCR values, for the very
few tests, that are less than 1 were corrected to 1 for use in
evaluations and correlations developed in this study.
Port Said 2
Soft Clay
0.1
10
Silty
Sand
Silty Sand
Silt/
Silty Sand/
Clay
ELGamil
Compression Index, Cc
Metobus
Idku
100
Natural Water Content, %
Figure.3 Data of this study on the compression index versus natural water content
Terzaghi et al (1996) relationship
Constrained modulus is another form of compressibility

parameter instead of the recompression or compression indices.
The following expression is used to estimate the tangent
constrained modulus:
M= v/ = 2.3(1+e)v/Cc
(1)
The general definition of constrained modulus in Equ. (1) is
used in the literature (e.g. Kulhawy and Mayne 1990). There are
several definitions for the constrained modulus depending on
which v and which index, Cc or Cr, used in Equ. (1). It is
expected that the modulus in the compression range is different
than that in the re-compression range. Even in the compression

range, the constrained modulus is dependent on v level (Janbu,
1963). Figure (4) introduces the several definitions of the
constrained modulus using consolidation test data from the Idku
site as an example. The Janbu (1963) approach can be used to
define three constrained moduli as defined in Figure (4) and Equs.
(2) to (4); Mi in the recompression range, Mnp or Mn@p at p and
Mn in the compression range that is dependent on level of v:
Mi= 2.3(1+e)p/Cr
(2)
(3)
Mnp = Mn@p = 2.3(1+e)p/Cc
(4)
Mn= 2.3(1+e)v/Cc
There are investigators (e.g. Sanglerat, 1972, and Abdelrahman
et al., 2005) that are using Mo at vo as in Equ (5)(Fig. 4):
(5)
Mo= 2.3(1+e)vo/Cc
The geotechnical engineer should be cautious as what modulus
is reported or estimated and how it is used in settlement analysis,
because in a lot of literature the reference is given to M without
specifying which modulus is meant such as in Equ. (1). Mo
modulus can be used to estimate both Mi and Mn using Equs. (6)
and (7) to be used for settlement analysis in the recompression and
compression ranges, respectively.
(6)
Mi = MoOCR(Cc/Cr)
(7)
Mn = Mo(v/ pa)
where v is the average pressure between p and the final
pressure due to surface load causing the settlement.
50000
1.5
1.4
1.3
Void Ratio
Mi
40000
1.2
1.1
1.0
0.9
0.8
0.7
1
30000
10
100
1000
10000
50000
Effective Vertical Stress, kPa
20000
Constrained Modulus, kPa
Constrained Modulus, kPa
Idku Site
'p
40000
30000
20000
10000
0
0
10000
500
1000
1500
2000
2500
3000
Mn-'p
Mn
Mo
0
0
100
200
300
400
500
and local heterogeneity. The most common and widely used

correlation is (e.g. Lunne et al. 1997):
p = k (qt-vo)
or OCR = p/'vo = k(qt-vo )/'vo
(8)
It should be noted that empirical constant k in both

expressions in Equ. 8 is the same. Table (1) shows a summary
of k values reported in the literature. According to the table, k is
in the range of 0.14 to 0.5. Mayne (2001) showed that k is
slightly dependent on plasticity index, while Becker (2010)
showed that k is slightly dependent on coefficient of horizontal
pressure at rest. Robertson (2012) suggested an expression that
is dependent on (qt-vo)/'vo and sleeve friction ratio, Fr. The
empirical constant is calculated for the data in this study and is
plotted versus Fr in Figure (5). The expression suggested by
Robertson (2012) was also plotted on the same plot. Figure (5)
shows that the Robertson (2012) predicts well the range of k.
However, it seems that k is slightly increasing with Fr. The
calculated k values are in the range of 0.1 to 0.6 (0.18 to 0.4, if
scatter is ignored) with an average of 0.32, which is consistent
with the existing correlations in the literature.
Table 1. Summary of the parameter k from the literature..
Reference
Comment
Lefebvre & Poulin (1979)

Mayne & Holtz (1988)
Larson & Mulabdic (1991)
Mayne (1991)
0.25- 0.4
0.4
0.29
0.33
Norway & UK sites

World Data
Scandinavian Soils
Cavity Expansion & Critical
State Soil Mechanics Analysis
Leroueil et al. (1995)

Chen & Mayne (1996)
Lunne et al. (1997)
Mayne (2001)
Mesri (2004)
Abdelrahman et al. (2005)
Pant (2007)
Becker (2010)
0.28
Eastern Canada Clays
0.305
205 Clay sites
0.2 0.5
0.65(Ip)-0.23
0.25 0.32
su/p=constant interpretation
0.2 0.5
Port Said Site, Egypt
0.14
Louisiana Soils 7 Sites
0.3
Beaufort Sea Clays Ko=1.5
0.24
Beaufort Sea Clays Ko=2.0
Robertson (2012)
*
SHANSEP & CSSM
* k = [ [(qt-vo)/vo]0.2 / (0.25(10.5+7log Fr)) ]1.25 where Fr = fs/(qt-vo)
1.0
Figure 4 Definition of tangent constrained modulus concept
Piezocone Penetration Tests with pore water pressure

measurements (CPTU) were performed at the sites. A l0 cm2
Piezocone was used to carry out the testing. Records were
made at 2 cm intervals. At each tested depth, cone resistance
(qc), pore water pressures behind cone (u2) and side friction (fs)
were measured. Typical CPTU records at some of the sites
under study are shown in Hight et al. (2000), Hamza et al.
(2003) and Hamza et al. (2005). The corrected tip resistance, qt,
can be calculated as qt=qc+(1-)u2, where is a cone
factor. The net cone resistance, qn, can be calculated as qn= qtvo, where vo is the total overburden pressure.
5
0.6
Robertson (2012)
Average k = 0.32
Range From
Literature
PEIZOCONE PENETRATION TESTS
k = 'p/(qt-vo)
Idku
Metobus
Dammietta 3
Dammietta 4
Port Said 2
El-Gamil
Dammietta 2
0.8
0.4
0.2
0.0
1
(qt-vo)/'vo
20
10
5
1
2
7 8 9 10
Friction Ratio, Fr = [fs/(qt-vo)] 100, %
Figure (5) Empirical constant k for the sites in this study
Ladd and De Groot (2003) proposed the following

SHANSEP type of expression to estimate OCR:
OCR = kOCR[(qt-vo )/'vo]1.25
(9)
Ladd and De Groot reported a value of 0.192 for kOCR based

Boston Blue clay experience. Robertson (2009) suggested
general kOCR value of 0.25. Robertson (2012) suggested the
expression in Equ. (10) to estimate kOCR based on Fr:
PEIZOCONE PENETRATION TESTS
5.1. Stress History or Overconsolidation Ratio

Review of the available correlations between p or OCR and
Piezocone results was carried out by Lunne et al. (1997), Mayne
(2001), Ladd and DeGroot (2003), Powell and Lunne (2005),
Pant (2007), Mayne (2009), Becker (2010) and Robertson
(2012). The cone parameters used in the correlations include qc,
qt, qt-vo, qt-u2, u. Some of these parameters were used with or
without normalization by vo. According to Campanella and
Robertson (1988), there is no unique relationship between OCR
or p and measured penetration induced pore water pressures
and if exists, it is poor because the pore pressures measured is
influenced by the location of the u measurement (i.e. u1, u2 or
u3), clay sensitivity, over consolidation mechanism, soil type
541
kOCR = (2.625+1.75 log Fr)1.25
(10)
The data of Delta clay sites was used to back calculate kOCR
and was plotted versus Fr in Fig. (6). The Robertson (2012)
expression was also plotted on Fig. (6). Figure (6) shows that
Equ. (10) predict well the range of kOCR. However, it seems that
kOCR is slightly increasing with Fr. The average kOCR of the data
in this study was about 0.23 that is consistent with data in
literature.
were recorded at the same depths of the samples. Such

pairing allowed for comprehensive review of the existing
empirical correlations to predict compressibility parameters
from in-situ piezocone results.
4) The OCR of the Nile Delta clays can be best predicted
using Equs. (8) and (9) using average k of 0.32 and average
kOCR of 0.23. Figs (5) & (6) suggest that k and kOCR have the
general tendency to slightly increase with friction ratio, Fr.
5) The Mo can be best predicted using Equ. (11) with average
value of o of 3.5. Settlement analysis can then be carried out
using Mi and Mn that can be calculated using Equs (6) and
(7).
kOCR = OCR/[(qt-vo)/'vo]
1.25
1.0
Idku
Metobus
Dammietta 3
Dammietta 4
Port Said 2
El-Gamil
Dammietta 2
0.8
0.6
Average kOCR = 0.23
Robertson (2009)
Robertson (2012)
Equ. (10)
0.4
0.2
Ladd & DeGroot (2003)
0.0
8 9 10
Fr = [fs/(qt-vo)] 100, %
Figure (6) Empirical constant kOCR for the sites in the study
5.2. Constrained Modulus
Review of the available correlations between M and cone

results for cohesive soil was carried out by Lunne et al. (1997),
Mayne (2001), Pant (2007), and Robertson (2009). Attempts to
correlate M of cohesive soils to cone results have started since
mid sixties of the last century (Sanglerat, 1972). The following
expression shows the general form of the empirical correlation:
MSubscript = Subscript[qParameter]
(11)
The subscript in Equ (11) could be nothing, i, np, n, or o as

in Equs (1 to 5). The empirical constant as well as the cone
parameter, qParameter, used in Equ (11) as reported in literature is
summarized in Table (2). According to the table, o is in the
range of 1 to 14. Sanglerat (1972) showed that o is inversely
dependent on qc. Robertson (2009) suggested that o is directly
related to (qt-vo)/vo with an upper limit of 14. The empirical
constant o is calculated for the data in this study and is plotted
versus (qt-vo)/pa in Figure (7), where pa is a reference pressure
of 100 kPa.. Ignoring some scatter, the calculated o values are
in the range of 1 to 8 with an average of 3.5, which is consistent
with the existing correlations in the literature. Sources of scatter
in Figure (7) include but not limited to; sample disturbance with
its influence on the measured compressibility and natural
variation between the location of borehole from which the
samples were extracted and that of the CPTU testing.
Table (2) Summary of components of empirical Equ. (11) in literature
qParameter
Subscript Range
2.3-7.7
qc
o
1-8 *
qc
o
2.2-3.3
qc
o
3.1
qt
np
3.27
np
qt-vo
Kulhawy & Mayne (1990)
8.25
qt-vo
Senneset et al. (1989)

5-15
i
qt-vo
8
np
qt-vo
Abdelrahman et al. (2005)
1.25
o
qt-vo
Mayne (2009)
5
qt-vo
Robertson (2009)
**
o
qt-vo
* Dependent on type of soil and on qc values
** For Clays (Ic > 2.2)
o= (qt-vo)/vo o 14
Reference
Comment
Bachelier and Parez (1965)

Sanglerat (1972)
Jones & Rust (1995)
Pants (2007)
Flanders Clay
France & Spain Clays
South African Clays
Louisiana Clay
Louisiana Clay
Glava Clay
Glava Clay
Port Said Clay
Vanilla Clays
30
Idku
Metobus
Dammietta 3
Dammietta 4
Port Said 2
El-Gamil
Dammietta 2
Average o = 3.5
20
15
Range from
literature
o = Mo/(qt-vo)
25
10
5
0
0
10
12
14
(qt-vo)/pa
Figure (7) Empirical constant o for the sites in the study
1)
The results of geotechnical investigations in seven sites in

the Nile Delta clays were used in this paper.
2) The compressibility parameters; OCR, Cc and Cr, and Mo,
were calculated from EOP e-logv curves of total 125
consolidation tests carried out on undisturbed samples. The
SQD of the majority of the samples was B to C.
3) The compressibility parameters of each test were paired
with results from neighboring or adjacent piezocone test that
542
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Robertson P.K. 2012. Interpretation of in-situ tests some insights, Proc. 4th Int.
Conf. Geot. & Geoph. Site Characterization, ISC4, Brazil, 1, pp 1-22.
Sanglerat G. 1972. The penetrometer and soil exploration, Elsevier, 464 pp.
Senneset K., Sandven R. and Janbu N. 1989. The evaluation of soil parameters
from piezocone tests, Transportation Research Record, No. 1235, 2437.
Terzaghi K., Peck R.B. and Mesri G. 1996. Soil Mechanics in Engineering
Practice, 3rd Ed. John Wiley and Sons, Inc., p. 549.
Comportement de la structure de sol amlior par inclusions rigides,

supportant une olienne
Behaviour of soil foundation improved by rigid columns, supporting a wind turbine
Haza-Rozier E., Vinceslas G.
Cete Normandie-Centre/DERDI/CER
Le Kouby A.
Universit Paris Est/IFSTTAR
Crochemore O.
Theolia France
RSUM: Dans le cadre du projet national ASIRi (Amlioration des Sols par Inclusions Rigides, 2006-2011), le CER (Centre
dExprimentation et de Recherche du Cete Normandie-Centre) a instrument la structure de fondation dune olienne. Le principe de
fondation est tel que lolienne est fixe sur une semelle rigide, coule sur une couche granulaire de rpartition de charges, dpos sur
le sol en place, amlior par 84 inclusions rigides. Des dplacements verticaux, des pressions totales transmises en tte dinclusion et
sur le sol sont mesurs. Les capteurs sont installs principalement en priphrie de lolienne, dans les zones qui doivent supporter les
variations de contraintes les plus leves. De plus, des extensomtres cordes vibrantes sont installs dans deux inclusions pour
accder aux descentes de charges. Le comportement de la structure est suivi depuis la phase de terrassement, jusquau montage de la
machine, puis durant le fonctionnement de lolienne, jusqu aujourdhui. La plateforme de travail induit un confinement important
des ttes dinclusions. Les pressions se concentrent en priphrie et les dplacements restent faibles. Leffet de la vitesse du vent sur
la distribution des contraintes est tout fait significatif.
ABSTRACT: Within the French National Project ASIRi (Soil reinforcement with rigid inclusions, 2006-2011), CER
(Experimentations and Researches Centre, Rouen) instrumented foundations of a wind turbine. The foundation principle is such that
wind turbine is fixed on a rigid slab, lying on a granular layer, allowing strength distribution on in-situ subgrade improved by 84 rigid
columns. Vertical displacements and total stress sensors at the head of columns and on soil are measured. Sensors are placed on wind
turbine edge essentially, in areas supporting highest stresses variations. Moreover, vibrating wire extensometers are positioned in two
columns in order to measure load distribution. Behaviour of the structure has been monitored since excavation stage, till machine
construction, and then during service working of the turbine wind until now. Working platform induced an important confinement of
columns heads. Pressures are concentred on edge, displacement are still small. The effect of wind speed on load distribution has been
shown to be significant.
KEYWORDS: Instrumentation, rigid columns, foundation, wind turbine
MOTS-CLS: Instrumentation, inclusions rigides, fondation, olienne
1
INTRODUCTION
Lorsqu'une olienne est construite sur un terrain de

caractristiques
mcaniques
mdiocres,
elle
est
traditionnellement fonde sur un rseau de pieux fixs sur sa
semelle de fondation. Cependant, un nouveau type de fondation
fait face cette technique plus traditionnelle : la semelle de
l'olienne repose sur une paisseur de sol, constituant une
couche de rpartition de charges, qui surmonte un rseau
d'inclusions rigides (IR). La qualit mcanique du sol en place
et sa capacit portante sont amliores par la prsence des IR.
Lolienne est alors construite avec une fondation superficielle,
sur un terrain de bonne portance (Figure 1).
damlioration de sol par IR fonctionne (Brianon 2002), le

CER a instrument un tel systme de fondation. Construite par
Theolia, dans un parc Boralex, dans la rgion de Neuchtel en
Bray (76), lolienne 3.6 a t suivie depuis sa construction en
2009 (Haza-Rozier 2011), sa mise en service en aot 2010,
jusqu ce jour (Haza-Rozier & al. 2012).
Cet article dcrit linstrumentation mise en place, lessentiel
des rsultats de mesures et une approche de leffet du vent sur le
comportement de la structure de fondation.
2
2.1
DESCRIPTION DE LOUVRAGE
Profil gotechnique
La coupe gotechnique locale est constitue de 1,6 m de terre

vgtale et de limon, puis de largile silex jusqu 10,60 m de
profondeur (avec des valeurs de module pressiomtrique entre
2,2 et 18,1 MPa). Apparat alors une frange de craie altre sur
1 m (module pressiomtrique entre 2,8 et 12,6 MPa), puis la
craie de plus en plus saine, jusqu 20 m de profondeur (module
pressiomtrique entre 44 et 200 MPa).
Bton de propret
Matelas de rpartition
2.2
Figure 1. Semelle de fondation de lolienne.
Dans le cadre du projet national ASIRi (Amlioration des

Sols par Inclusions Rigides, 2006-2011), du Rseau Gnie Civil
et Urbain, pour mieux comprendre comment une structure
543
Structure de fondation de lolienne 3.6
Lolienne est constitue dun mt de 78 m, fix sur une semelle

rigide de 18m de diamtre et de 2,5 m dpaisseur en son centre
(en bton, fortement ferraille). Cette dernire est pose sur une
couche granulaire de rpartition de charges, de 80 cm
dpaisseur (sol 0/90 mm sur 70 cm et 0/31,5 mm sur 10 cm en
partie suprieure), dont les caractristiques mcaniques ont t

dtermines la boite de cisaillement de grande dimension
(500 x 500 mm), du CER : C = 63,7 kPa et = 53,3. Cette
couche granulaire est mise en place sur le sol renforc par 84
inclusions rigides, de 8 m de long et 0,36 m de diamtre
(Figure 2).
descente de charges. Les capteurs sont relevs automatiquement

toutes les 6 heures depuis le dbut de la construction.
Les mesures sont faites depuis la phase de terrassement,
jusquau montage de la machine, sur une priode de six mois.
Puis, le suivi est men aprs la mise en service de lolienne,
plus de deux ans aprs la pose de linstrumentation.
direction des vents dominants
semelle comprime le sol
17 sur CPT1
18 sur CPT11
T13 sur CPT2
T14 entre CPT2 et B
T12 sur 15
Plateforme de
grutage
15 sur CPT4
T11 sur CPT5

T10 sur 16
16 sur CPT9
19 sur CPT6
T15 sur 19
T16 entre CPT6 et C
C
G
Rampe
daccs
Figure 2. Forage et coulage des IR en fond de fouille.
22
entre CPT8 et G
21sur CPT8
T19 sur CPT 14
T20 sur CPT 7
INSTRUMENTATION

semelle se soulve du sol
Linstrumentation est compose de capteurs lectriques de

dplacement et de capteurs de pression totale (nots
respectivement T et CPT dans la suite), positionns en tte
dinclusion et dans le sol. Ils sont installs sur deux niveaux : un
premier, sous la couche de rpartition, au niveau des ttes dIR (
Figure 3, 14 CPT et 8 T) et un second en partie haute de cette
couche, sous la semelle de lolienne (Figure 4, 8 CPT et 11 T).
T0
IR ref
(dans buse)
CPT1
CPT11
CPT3
CPT4 T5
T4
Plateforme de
grutage
CPT5
CPT9
4 bars
T8
Rampe CPT8
daccs
CPT14
CPT2
T1
T2
T3
CPT12
CPT13
T18 entre A et D
Contrainte sous socle (CPT) 3 bars

Tassement sous socle (CED)
Figure 4. Plan dinstrumentation en partie suprieure de la couche de

rpartition, sous la semelle (2me niveau).
RESULTATS
Les mesures sont acquises pendant la construction de louvrage

et aprs sa mise en service. Les donnes propres de lolienne
(vitesse du vent, orientation de la nacelle, puissance produite)
sont acquises depuis le printemps 2012 et permettent une
premire observation de leffet du vent sur le comportement de
la structure de fondation.
4.1
Transfert des efforts pendant la construction

semelle comprime le sol
CPT10
T17 entre A et E
20 sur A
D
AA
CPT6
CPT7
T7
T6

semelle se soulve du sol
Contrainte sur sol (CPT) 4 bars

Effort sur tte IR (CPT) 10 bars et 4 bars
Tassement au niveau des ttes dIR (CED)
Dformation dans les IR (extensomtres corde vibrante)
Figure 3. Plan dinstrumentation au niveau des ttes dIR (er niveau).
Les capteurs sont installs principalement en priphrie de la

semelle de lolienne, zone qui doit supporter les contraintes et
les variations de contraintes les plus leves. Ils sont ainsi
disposs sur la ligne des vents dominants, afin de mesurer les
plus forts effets du vent.
De plus, des extensomtres cordes vibrantes (notes CV)
sont installs dans deux inclusions pour y dterminer la
544
Depuis la mise en place des CPT, directement sous la semelle

de lolienne, leurs indications ne dpassent pas 65 kPa jusqu
la mise en service. Par contre, les pressions totales mesures sur
9 IR, avant la mise en service de lolienne (Figure 5),
augmentent fortement lors du coulage de la semelle, sauf en son
centre (CPT9), qui reste trs peu sollicit.
Les mesures des CPT1 et CPT2 (comme les CPT7 et CPT8)
diffrent ds ce moment, malgr la proximit des capteurs, mais
leur volutions restent cohrentes.
L'IR situe sous le CPT5 est positionne sous linfluence
dun des appuis de la virole (qui supportera la base du mt de
l'olienne) ; cela explique pourquoi elle est trs fortement
charge. Les diffrences notables entre les valeurs mesures par
les capteurs sinitient cette phase de la construction, pour se
maintenir jusqu la mise en service de lolienne, qui va subir
de fortes sollicitations avant cette date (tests darrt durgence,
survitesse).
Les pressions mesures sur les ttes dIR schelonnent entre
360 kPa (36,6 kN sur lIR) 796 kPa (81 kN), pour une
moyenne de 596 kPa. Les 34 IR situes en priphrie de la
semelle supportent 16 % du poids statique de lolienne.
La pression exerce sur le sol varie entre 100 et 200 kPa,
sans tre maximale en priphrie de la semelle.
En fin de construction, le sol situ dans une frange de 0,5 m
en priphrie de la semelle, reprend 24,4 % du poids de
l'olienne (en considrant une pression moyenne de 120 kPa
exerce).
Figure 5. Pressions totales sur les IR pendant la construction.
Ainsi, cette frange priphrique (soit 22,5 % de la surface

totale de la semelle), reprend 40,4 % de la charge statique totale.
4.2
Figure 7. Variation des pressions sur IR aprs mise en service.
Tassement
Les tassements sont calculs par rapport un capteur de

rfrence, assurment immobile, afin d'annuler les effets des
variations hydriques et de temprature de la zone exprimentale.
La Figure 6 prsente le tassement du sol de fondation au niveau
dlvation des ttes d'IR.
Aprs mise en service, les pressions exerces sur le sol entre

IR, bien que plus chaotiques que durant la construction, ne
fluctuent quasiment pas. Un suivi de plusieurs annes permettra
de confirmer un tel comportement.
4.4
Dformation dune inclusion rigide
Des extensomtres cordes vibrantes (CV) sont installs dans

deux IR, des profondeurs diffrentes, pour accder aux
dformations de lIR et ainsi au mcanisme de transfert des
efforts dans la colonne. Seuls deux CV ont pu tre mesurs dans
la dure, malgr un fort bruit d aux vibrations de louvrage.
Sur la figure 8 sont traces les dformations mesures en partie
suprieure et 1,36 cm de profondeur de lIR coiffe par le
CPT2. La mesure de la pression exerce sur cette IR est
galement prsente.
Figure 6. Tassement du sol de base, au niveau des ttes dIR.
Au cours de la construction, le sol de fondation tasse

lgrement plus que les IR, pour se stabiliser, au moment de la
mise en service, moins de 17 mm (et 10 mm pour les IR). Les
variations releves depuis nexcdent pas 6 mm sur le sol et
en surface de la couche de rpartition de charge.
4.3
Transfert des efforts aprs mise en service
Figure 8. Dformation dune IR et pression exerce sur sa tte (CPT2).
Aprs la mise en service de l'olienne, les mesures montrent

des charges alatoires, du fait des variations de charges
engendres par le vent et la rotation des pales. La variation des
pressions exerces sur les IR, depuis la mise en service de
lolienne (Figure 7), est similaire pour toutes les IR. Les
variations saisonnires sont plus en priphrie de la semelle
quen se rapprochant du centre de la fondation. Ces variations
de pression peuvent avoir une amplitude de 400kPa entre t et
hiver.
545
Ds le coulage de la semelle, lIR sest dforme, de faon

plus accentue en profondeur. Cela peut sexpliquer car la
plateforme de travail (de 30 cm dpaisseur, mise en place pour
permettre laccs la foreuse en fond de fouille) enserre la tte
de lIR et lempche ainsi de se dformer.
Elle reporte les efforts quelle reoit sa surface, comme
ceux que lui transmet lIR, plus en profondeur, sous sa base.
Une dformation mesure plus importante en profondeur peut
faire apparatre la prsence de frottement ngatif le long de la
colonne. Les fluctuations de pression exerce sur lIR sollicitent
galement lIR plus en profondeur.
4.5
Effets du vent
La vitesse du vent et lorientation de la nacelle sont enregistres

en continu. En admettant que les ples sont toujours
perpendiculaires la direction du vent, on peut accder la
valeur de la projection de la vitesse du vent sur laxe des vents
dominants. En la superposant celle du vent, on visualise si le
vent souffle dans cet axe ou non.
Lorsque la vitesse du vent dpasse 8 m/s, le pas
dacquisition des mesures des capteurs est automatiquement
rduit moins dune minute, par le biais dune deuxime
centrale dacquisition. Cela permet daccder leur variations,
exclusivement au cours dun vent violent. Notons que seules les
CPT rpondent instantanment en mesure rapide, alors que les
CV et les T ncessitent plusieurs secondes pour se stabiliser.
4.6
amlior par inclusions rigides, a permis de suivre l'volution

des tassements, pressions exerces et dformation dIR et du
sol, au cours de la construction et pendant la vie de louvrage.
En fin de construction, les efforts se concentrent lgrement
sur la priphrie de la semelle de fondation, ce qui montre un
fonctionnement en fondation rigide.
Variation des pressions appliques
En sintressant aux capteurs positionns dans laxe des vents

dominants, on peut observer lvolution des pressions
appliques, en fonction de la vitesse et du sens du vent
(Figure 9). Il savre que, dans cet axe, lorsque la nacelle
change de sens, les pressions exerces au niveau des ttes dIR
augmentent dun ct de la semelle pour diminuer de lautre
(entour A sur la
Figure 7). Par vent fort, les variations respectives de contraintes
atteignent 200 kPa (entour B). Dans une moindre ampleur, les
pressions exerces sur le sol prsentent le mme type de
variations.
Figure 10. Pression au niveau des ttes dIR (sol et IR), dans laxe des
vents dominant; vitesse du vent et projection sur laxe.
Une fois en service, les pressions varient plus amplement et

voluent avec les variations de temprature saisonnires, qui
impactent la structure de lolienne. La poursuite des mesures
permettra dobserver ventuellement une tendance de
comportement de la structure.
Les tassements du sol et des IR restent faibles. La tte des IR
a tass d1 cm, alors que le sol en place a tass denviron 2 cm
en fin de construction. En service, lamplitude des tassements
ne dpasse pas 5 mm.
Les dformations internes des IR sont difficilement
accessibles par le systme dacquisition install. Cependant, le
mcanisme observ dans la partie suprieure dune IR montre
que la prsence de la plateforme de travail, qui enserre la tte
des IR, a un effet rel sur le comportement mcanique de la
structure, en favorisant le dveloppement de frottement ngatif
le long des colonnes, ce qui ramne plus en profondeur le point
neutre de fonctionnement de la colonne.
Nous poursuivons lanalyse des mesures de tassement et de
dformation dune IR pour accder au comportement dune IR
au cours dun fort coup de vent.
6
Figure 9. Pression au niveau des ttes dIR (sol et IR), dans laxe des
vents dominants; vitesse du vent et projection sur laxe.
4.7
vent
volution des tassements en fonction de la vitesse du
Sur la Figure 10 sont superposes la puissance dveloppe par

lolienne, des mesures de CPT et les mesures de tassement
sous la semelle de lolienne et sur le sol au niveau des ttes
dIR, en priphrie de lolienne, sur laxe des vents dominants.
Lorsque lolienne ne produit pas dlectricit (puissance nulle,
entour sur la figure 10), les pressions sous louvrage diminuent
et le sol semble se relaxer, avant de retrouver sa position lorsque
la rotation des ples reprend. La prsence deau en pied de
semelle peut expliquer ce phnomne car elle nest plus chasse
par leffet dynamique des battements dus aux rafales de vent.
5
CONCLUSION
L'instrumentation du chantier d'une olienne du parc olien de

Boralex, au nord de Rouen, fonde sur une structure de sol
546
REMERCIEMENT
Les auteurs remercient lAgence Nationale pour la Recherche

pour laide financire apporte au montage du projet national
ASIRi, gr par lIREX, dans le cadre du RGCU, ainsi que les
socits Theolia et Boralex qui ont assum une part importante
du cot de linstrumentation. Ils remercient galement la socit
ANTEA, membre du projet national pour le montage du projet,
comme la socit Egis, intervenue lors du montage
exprimental.
7
REFERENCES
Brianon L. 2002. Renforcement des sols par inclusions rigides, tat de

lart en France et ltranger, Irex, Opration du rseau Gnie
Civil et urbain, septembre, 180 p.
Haza-Rozier E. Vinceslas G. Le Kouby A. et Duprez T. 2012.
Instrumentation des fondations dune olienne Cas des inclusions
rigides, Journes Nationales de Gotechniques et de Gologie de
l'ingnieur, JNGG, 4-6 juillet 2012, Bordeaux, France, 561-568.
Haza-Rozier E. 2011. Projet national ASIRi olienne fonde sur
inclusions rigides, rapport de recherche Cete NormandieCentre/CER, juillet, 28 p.
Seismic Response of Superstructure on Soft Soil Considering Soil-Pile-Structure

Interaction
Influence de l'Interaction sol- pieu- structure sur la rponse sismique de la superstructure
sur sol mou
Hokmabadi A.S., Fatahi B., Samali B.
School of Civil and Environmental Engineering, University of Technology Sydney (UTS), Broadway NSW 2007, Australia
ABSTRACT: This paper presents results of shaking table tests and three dimensional numerical simulations to investigate the
influence of Soil-Pile-Structure Interaction (SPSI) on the seismic response of mid-rise moment resiting buildings supported by endbearing pile foundations. Three different cases have been considered, namely: (i) fixed-base structure representing the situation
excluding the soil-structure interaction; (ii) structure supported by shallow foundation on soft soil; and (iii) structure supported by
end-bearing pile foundation in soft soil. Comparison of the numerical predictions and the experimental data shows a good agreement
confirming the reliability of the numerical model. Both experimental and numerical results indicate that soil-structure interaction
induces significant increase in the lateral deflections and inter-storey drifts of the structures on both shallow and end-bearing pile
foundations in comparison to the fixed base structures. This increase in the lateral deformations and in turn inter-storey drifts can
change the performance level of the structure during earthquakes which may be safety threatening.
RSUM : Cet article prsente les rsultats des essais sur table vibrante et trois dimensions simulations numriques pour tudier
l'influence de l'Interaction sol-pieu-structure (ISPS) sur la rponse sismique des btiments pris en charge par les fondations sur pieux.
Trois cas diffrents ont t examins, savoir: (i) la structure de base fixe sans interaction sol-structure; (ii) la structure soutenue par
la fondation superficielle sur sol mou; et (iii) la structure soutenue par la fondation sur pieux dans le sol mou. Les prdictions
numriques et les donnes exprimentales montrent un bon accord. Rsultats exprimentaux et numriques indiquent que l'interaction
sol-structure augmente les dflexions latrales et les drives inter tage des structures en comparaison avec les structures de base
fixes. Cela peut changer le niveau de performance de la structure lors de tremblements de terre qui peuvent tre un problme
d'innocuit.
KEYWORDS: soil-pile-structure interaction, seismic response, shaking table test, FLAC3D, end-bearing pile foundation
1
springs and dashpots are employed to represent the soil

behaviour (e.g. Hokmabadi 2012); (ii) Elastic Continuum
Methods, which are based on Mindlin (1936) closed form
solution for the application of point loads to a semi-infinite
elastic media; and (iii) Numerical Methods. The substructure
methods are the simplest and most commonly used methods,
however, these methods adopting the substructuring concept
rely on the principle of superposition, and consequently, are
limited to either the linear elastic or the viscoelastic domain
(Pitilakis et al. 2008).
The dynamic equation of motion of the soil and structure
system can be written as:
INTRODUCTION
The problem of soil-pile-structure interaction in the seismic

analysis and design of structures has become increasingly
important, as it may be inevitable to build structures at locations
with less favourable geotechnical conditions in seismically
active regions. Influence of the underlying soil on seismic
response of the structure can be ignored if the ground is stiff
enough, and the structure can be analysed considering fixedbase conditions. However, the same structure behaves
differently when it is constructed on the soft soil deposit.
Earthquake characteristics, travel path, local soil properties, and
soil-structure interaction are the factors affecting the seismic
excitation experienced by structures. The result of the first three
of these factors can be summarised as free-field ground motion.
However, the foundation is not able to follow the deformation
of the free field motion due to its stiffness, and the dynamic
response of the structure itself would induce deformation of the
supporting soil (Kramer 1996).
Over the past decades, several researchers (e.g. Tajimi 1969,
Gazetas 1991, Shiming and Gang 1998, Hokmabadi et al. 2011,
Carbonari et al. 2011, Tabatabaiefar et al. 2013) have studied
the seismic soil-pile-structure interaction (SSPSI) and the effect
of this phenomena on the response of the structures. The
developed analytical methods for studying the soil-pile-structure
interaction may be categorised into three groups: (i)
Substructure Methods (or Winkler methods), in which series of
[M]{}+[C]{}+[K]{u}= -[M]{m}g+{Fv}
(1)
where, {u}, {}, and {} are the nodal displacements, velocities

and accelerations with respect to the underlying soil foundation,
respectively. [M], [C] and [K] are the mass, damping, and
stiffness matrices of the structure, respectively. It is more
appropriate to use the incremental form of Equation (1) when
plasticity is included, and then the matrix [K] should be the
tangential matrix and {} is the earthquake induced acceleration
at the level of the bedrock. For example, if only the horizontal
acceleration is considered, then {m}=[1,0,1,0,....1,0]T. {Fv} is
the force vector corresponding to the viscous boundaries. This
vector is nonzero only when there is a difference between the
547
motion on the near side of the artificial boundary and the

motion in the free field (Wolf 1985).
The present research aims to study the effects of SSPSI on
the seismic response of the superstructure by employing the
fully nonlinear method in which main components of the
interaction including subsoil, pile foundation, and superstructure
are modelled simultaneously. For this purpose, a threedimensional explicit finite-difference program, FLAC3D (Itasca
2009), is used to numerically model and examine the influence
of the soil-structure interaction on the seismic response of a 15storey moment resiting building. Two types of foundations
including shallow foundations and end-bearing pile foundations
have been considered. The proposed numerical soil-structure
model has been verified and validated against experimental
shaking table test results.
2
2.1
Controlroom
Modelstructure
Displacement
transducers
Soilmix
SHAKING TABLE EXPERIMENTAL TESTS

Prototype characteristics and scaling factors
In order to provide a calibration benchmarks for the numerical

simulation and to make quantitative predictions of the prototype
response several of shaking table tests have been conducted.
Previous researchers (e.g. Meymand 1998, Chau et al. 2009)
modeled the superstructure as a simplified single degree of
freedom oscillator in which the behaviour of the soil-structure
system may not be completely conform to reality and the higher
modes would not be captured. In the current model tests, unlike
the previous efforts, a multi-storey frame for the superstructure
is adopted representing most of the dynamic properties of the
prototype structure such as natural frequency of the first and
higher modes, number of stories, and density. The experimental
model tests have been carried out utilising the 33 m shaking
table facilities located at structures laboratory of the University
of Technology Sydney (UTS).
The selected prototype structure is a fifteen-storey concrete
moment resisting building frame with the total height of 45 m
and width of 12 m consisting of three spans, representing the
conventional types of mid-rise moment resisting buildings. The
spacing between the frames into the page is 4 m. Natural
frequency of the prototype building is 0.384 Hz and its total
mass is 953 tonnes. The soil medium beneath the structure is a
clayey soil with the shear wave velocity of 200 m/s and density
of 1470 kg/m3. The horizontal distance of the soil lateral
boundaries and bedrock depth has been selected to be 60 m and
30 m, respectively. The building is resting on a footing which is
4 m wide and 12 m long. For the pile foundations case, a 44
reinforced concrete pile group with equal spacing and pile
diameter of 1.25 m and 30 long are considered. The piles are
embedded into the bedrock representing typical end-bearing pile
foundations.
In order to achieve a reasonable scale model, a dynamic
similarity between the model and the prototype is applied as
described by Meymand (1998). Dynamic similarity governs a
condition where homologous parts of the model and prototype
experience homologous net forces. Although small scale models
could save cost, the precision of the results could be
substantially reduced. Considering the specifications of UTS
shaking table, scaling factor of 1:30 is adopted for experimental
shaking table tests on the scale model which provides the largest
achievable scale model with rational scales, maximum payload,
and overturning moment meeting the facility limitations.
2.2
The model structure has been designed employing SAP2000

(CSI 2010) software to meet the required characteristics, and
finally a 50050010 mm steel plate as baseplate, fifteen
4004005 mm horizontal steel plates as the floors and four
500402 mm vertical steel plates as the columns are adopted.
The completed structural model is shown in Figure 1.
Shaking table tests model components
The developed soil-structure model for shaking table tests

possesses four main components including the model structure,
the model pile foundations, the laminar soil container, and the
soil mix. Employing geometric scaling factor of 1:30, height,
length, and width of the structural model are determined to be,
1.50 m, 0.40 m, and 0.40 m, respectively. In addition, the
required natural frequency of the structural model is 2.11 Hz.
548
LaminarSoilcontainer
Shakingtable
Figure 1. Final setup of the shaking table tests for the structure with
end-bearing pile foundation
Similar to the model structure, the model pile is subjected to

the competing scale model criteria. The model piles have a
diameter of 40 mm with L/d ratio of 25. By selecting a
commercial Polyethylene high pressure pipe with Standard
Dimension Ratio (SDR) of 7.4 the model piles fall in the range
of acceptable criteria with 5% deviation from the target value
for EI.
The ideal soil container should simulate the free field soil
response by minimising boundary effects. Since the seismic
behaviour of the soil container affects the interaction between
the soil and structure, the performance of the soil container is of
the key importance for conducting seismic soil-structure
interaction model tests successfully (Pitilakis et al. 2008). A
laminar soil container with final length, width, and depth of
2.10m, 1.30m, and 1.10m, respectively, are designed and
constructed for this study. The employed laminar soil container
consists of a rectangular laminar box made of aluminium
rectangular hollow section frames separated by rubber layers.
The aluminium frames provide lateral confinement of the soil,
while the rubber layers allow the container to deform in a shear
beam manner.
A synthetic clay mixture was designed to provide soil
medium for the shaking table testing considering required
dynamic similarity characteristics. Several mixtures were
examined and finally the desired soil mix (60% Q38 kaolinite
clay, 20% Active-bond 23 Bentonite, 20% class F fly ash and
lime, and water, 120% of the dry mix) produced the required
scaled shear wave velocity of 36 m/s at the second day of its
cure age. Accordingly, the soil density and undrained shear
strength on the second day were determined to be 1450 kg/m3
and 3.14 kPa, respectively.
The shaking table tests have been carried out in three stages:
fixed-base condition, shallow foundations, and end bearing pile
foundations. Since the properties of the designed soil mix is
time depended, the second and third stages should be carried out
in the same age in order to make the results comparable, without

being interrupted by variation of the soil mix dynamic
properties. Two scaled near field shaking events including
Kobe, 1995, Northridge, 1994, and two scaled far field
earthquakes including El Centro, 1940, and Hachinohe, 1968
are adopted. The characteristics of the mentioned benchmark
earthquakes are summarised in Table 1. Displacement
transducers (levels 3, 5, 7, 11, 13, and 15) and accelerometers
(at levels 3, 5, 7, 9, 11, 13, and 15) were installed on the
structure in order to monitor the dynamic response of the
structure and to primarily measure the structural lateral
displacements. The recorded accelerations can be used to check
the consistency and accuracy of obtained displacements through
a double integration in time domain. The final setup of the tests
for the end-bearing pile foundation system on the shaking table
is shown in Figure 1.
Table 1. Utilised earthquake base motions
Earthquake
Year
PGA (g)
Mw (R)
Duration (S)
Northridge
1994
0.843
6.7
30.0
Kobe
El Centro
Hachinohe
1995
1940
1968
0.833
0.349
0.229
6.8
6.9
7.5
56.0
56.5
36.0
4.0) for modelling the superstructure increases the execution

time dramatically and leads to less accurate results.
Because of the different characteristics of the soil and the
superstructure/piles, sliding and separation may occur at the
soilstructure interfaces. Two sets of interface elements are
modelled in this study. For the shallow foundation case, the
interface elements are placed between the foundation and the
soil surface. However, for the pile foundation case, the interface
elements were attached to the outer perimeter of the piles. It
should be noted that in the pile foundation case, there is no
interface or attachment between the foundation and the surface
soil as some gap in the shaking table tests is considered to avoid
any pile-raft behaviour. Therefore, there is not any direct stress
transfer between the foundation slab and the subsoil in the pile
foundation cases. The interfaces were modelled as linear
springslider systems, while the shear strength of the interfaces
was defined by MohrCoulomb failure criterion. The lateral and
axial stiffness of the interface elements are estimated for both
sets separately based on the recommended method given by
Itasca (2009) to ensure that the interface stiffness has minimal
influence on system compliance. Finally, fully nonlinear timehistory analysis is conducted under the influence of the scaled
earthquake records and results in terms of maximum inelastic
lateral deflections, determined for the three mentioned cases, are
recorded.
DEVELOPMENT OF 3D NUMERICAL MODEL
Three-dimensional explicit finite-difference based program

called FLAC3D (Itasca 2009) has been employed to develop the
numerical model for the shaking table tests and to simulate the
response under the seismic loading. Three cases including
fixed-base conditions, the structure supported by shallow
foundations, and the structure supported by end-bearing pile
foundations have been modelled separately and the results are
compared. The dimensions of the numerical models were
chosen similar to the experimental tests. The reason for
choosing the soil deposit thickness of 30 m for the both
experimental and numerical models is that most amplification
occurred within the first 30 m of the soil profile, which is in
agreement with most modern seismic codes calculating local
site effects based on the properties of the top 30 m of the soil
profile (Rayhani and El Naggar 2008).
Experience gained from the parametric study helped to
finalise the adopted mesh size and the maximum unbalanced
force at the grid points to optimize the accuracy and the
computation speed simultaneously. The numerical grid and
model components in FLAC3D are shown in Figure 2.
Adjusting the boundary conditions, in the static analysis in
which the system is under the gravity loads only, the bottom
face of the mesh is fixed in all directions, while the side
boundaries are fixed in the horizontal directions. During the
dynamic time-history analysis, the earthquake acceleration is
applied horizontally at the entire base, while free-field boundary
conditions are assigned to the side boundaries.
Solid elements are used to model the soil deposits, and
Mohr-Coulomb failure criterion is adopted. In addition,
Hysteretic damping of the soil is implemented using the built-in
tangent modulus function as developed by Hardin and Drnevich
(1972). The pile elements and superstructure are modelled with
solid elements considering elastic-perfectly plastic behaviour
with yielding criteria for the elements to control the possibly of
inelastic behaviour in both superstructure and piles. As a
calibration, a FLAC3D analysis was first conducted on a
cantilever pile while the pile was fixed at one end into ground
without the surrounding soil and the different lateral loads were
applied on the free end of the cantilever pile. The recorded
deflection from the FLAC3D model shows less than 2%
difference from analytical predictions, confirming the accuracy
of the model. It should be noted that using the structural
elements such as beam and shell elements in FLAC3D (version
549
Connectionofpiles
tothebaseplate
15storeymodelstructure
Freefieldboundaries
Interfacesbetween
pilesandsoil
Figure 2. Numerical grid and model components in FLAC3D for the

structure with end-bearing pile foundation
The average values of the 3D numerical predictions versus

experimental shaking table results for the maximum lateral
displacements of the fixed-base, shallow foundations, and endbearing pile foundations were determined and compared in
Figure 3. Evaluation of the predicted and observed values of the
maximum lateral displacements indicates that the trend and the
values of the 3D numerical predictions are in a good agreement
and consistent with the experimental shaking table test results.
Therefore, the 3D numerical model can replicate the behaviour
of the soil-pile-structure system with acceptable accuracy and is
rational and appropriate for further studies of the soil-pilestructure interaction effects.
Accordingly, the maximum lateral deflection of the structure
supported by end-bearing pile foundations is increased by 17%
based on the experimental values and 19% based on the 3D
numerical predictions in comparison to the fixed base structure.
Moreover, the maximum lateral deflection of the structure
supported by shallow foundation is increased by 55% based on
the experimental values and 59% based on the 3D numerical
predictions. Thus, pile foundations reduce the lateral drifts in
comparison to the shallow foundation case. This is due to the
presence of stiff pile elements in the soft soil which increase the
stiffness of the ground and influences the dynamic properties of
the whole system such as the natural frequency and damping.
However, in comparison with the fix-based case, soil-pilestructure interaction tends to increase the lateral deformation of
the structure.
comparing predicted and observed results, it has been concluded

that the numerical modelling method is rational and is suitable
for the simulation of the soil-pile-structure interaction under
strong ground motions.
In addition, based on the shaking table results and 3D
numerical investigations it is observed that the lateral
deflections of the structures siting on the end-bearing pile
foundations amplified in comparison to the fixed base model
(approximately 18% in this study). This amplification for the
structure siting on the shallow foundations is more severe
(approximately 57% in this study). Consequently, considering
soil-structure interaction in both cases with and without pile
foundations is vital, and conventional design procedures
excluding soil-structure interaction are not adequate to
guarantee the structural safety for the moment resisting
buildings resting on soft soils.
6
15
14
13
12
11
Storey Number
10
9
8
7
6
Fixed base Numerical Results

Fixed base Exp. Results
Shallow foundation Numerical Results
Shallow foundation Exp. Results
End_bearing piles Numerical Results
End_bearing piles Exp. Results
5
4
3
2
1
0
0
10
20
30
Maximum Lateral Deflection (mm)
Figure 3. Average values of maximum lateral displacements: Shaking

table experimental values versus 3D numerical predictions
The corresponding inter-storey drifts of the average values of

3D numerical model are plotted in Figure 4. Inter-storey drifts
are the most commonly used damage parameters, and based on
FEMA (BSSC 1997) maximum inter-storey drift of 1.5% is the
defined border between life safe and near collapse levels.
According to Figure 4, seismic soil-structure interaction tends to
increase the inter-storey drifts of the superstructure from life
safe zone toward near collapse or even total collapse.
15
14
13
12
11
Storey Number
10
9
8
7
6
5
4
Fixed base
Shallow foundation
End_bearing pile foundation
1
0
0
0.5
1.5
2.5
Inter-storey Drift (%)
Figure 4. Average experimental inter-storey drifts for: (a) fixed-base

structure; (b) Structure supported by shallow foundation; (c) structure
supported by end-bearing pile foundation
The natural period of the system increases due to the soilstructure interaction. Therefore, such increases in the natural
period considerably alter the response of the building frames
under seismic excitation. This is due to the fact that the natural
period lies in the long period region of the response spectrum
curve. Hence, the displacement response tends to increase.
5
CONCLUSIONS
In this paper, a three-dimensional finite difference numerical

model on a soil-pile-structure system has been conducted
together with the experimental shaking table tests. By
550
REFERENCES
BSSC. 1997. NEHRP Guidelines for the Seismic Rehabilitation of

Buildings, 1997 Edition, Part 1: Provisions and Part 2:
Commentary. In: Federal Emergency Management Agency.
Carbonari, S., Dezi, F., and Leoni, G. 2011. Linear soil-structure
interaction of coupled wall-frame structures on pile foundations.
Soil Dynamics and Earthquake Engineering 31 (9): 1296-1309.
Chau, K.T., Shen, C.Y., and Guo, X. 2009. Nonlinear seismic soil-pilestructure interactions: Shaking table tests and FEM analyses. Soil
Dynamics and Earthquake Engineering 29 (2): 300-310.
SAP2000 v14 Analysis Reference Manual. CSI (Computers and
Structures Inc.), Berkley, California.
Gazetas, G. 1991. Formulas and Charts for Impedances of Surface and
Embedded Foundations. Journal of Geotechnical Engineering 117
(9): 1363-1381.
Hardin, B.O., and Drnevich, V.P. 1972. Shear modulus and damping in
soils: desing equations and curves. Journal of the Soil Mechanics
and Foundations Division 98 (7): 667-692.
Hokmabadi, A.S., Fakher, A., and Fatahi, B. 2011. Seismic strain wedge
model for analysis of single piles under lateral seismic loading.
Australian Geomechanics 46 (1): 31-41.
Hokmabadi, A.S., Fakher, A., and Fatahi, B. 2012. Full scale lateral
behaviour of monopiles in granular marine soils. Marine Structures
29(1): 198-210.
Tabatabaiefar, S., Fatahi, B., and Samali, B. Seismic Behaviour of
Building Frames Considering Dynamic Soil-Structure Interaction.
International Journal of Geomechanics (doi: 10.1061/(ASCE)
GM.1943-5622.0000231).
FLAC3D version 4.00 Fast Lagrangian Analysis of Continua in three
dimentions, User's Manual. Itasca Consulting Group, Inc,
Minneapolis, Minnesota, USA.
Kramer, S.L. 1996. Geotechnical earthquake engineering. Prentice Hall.
Meymand, P.J. 1998. Shaking table scale model tests of nonlinear soilpile-superstructure in soft clay. PhD PhD thesis in Civil
Engineering University of California, Berkley.
Mindlin, R.D. 1936. Force at a Point in the Interior of a Semi-Infinite
Solid. Physics 7 (5): 195-202.
Pitilakis, D., Dietz, M., Wood, D.M., Clouteau, D., and Modaressi, A.
2008. Numerical simulation of dynamic soil-structure interaction in
shaking table testing. Soil Dynamics and Earthquake Engineering
28 (6): 453-467.
Rayhani, M., and El Naggar, M. 2008. Numerical Modeling of Seismic
Response of Rigid Foundation on Soft Soil. International Journal of
Geomechanics 8 (6): 336-346.
Shiming, W., and Gang, G. 1998. Dynamic soil-structure interaction for
high-rise buildings. In Developments in Geotechnical Engineering,
eds. Chuhan Zhang and P. Wolf John: Elsevier. 203-216.
Tajimi, H. 1969. Dynamic Analysis of a Structure Embedded in an
Elastic Stratum. In Proc. 4th World Conf. Earthquake Eng.
Santiago, USA. 53-69.
Wolf, J.P. 1985. Dynamic soil-structure interaction. Prentice-Hall,
Englewood Cliffs, New Jersey.
Applicability of the RNK-method for geotechnical 3D-modelling in soft rocks

Applicabilit de la RNK-mthode pour la modlisation gotechnique en 3D en roches tendres
Ivi T.
University of Zagreb, Faculty of Civil Engineering, Kaieva 26, 10000 Zagreb, Croatia
Ortolan .
J. J. Strossmayer University of Osijek, Faculty of Civil Engineering, Drinska 16a, 31000 Osijek, Croatia
Kavur B.
Institut IGH d.d., Janka Rakue 1, 10000 Zagreb, Croatia
ABSTRACT: The RNK-method or the Reference Level of Correlation method represents a procedure for spatial engineeringgeological and/or geotechnical modeling, that was tested on many landslides in Croatia. The method gives the opportunity of
differentiation of minimum shear strength zones, zones of different hydraulic conductivities, and zones of various soil densities. The
application and verification of the RNK-method in soft rock formations found on the landslide area in Gorica Svetojanska (Croatia) is
presented. The presentations providing the full set of relevant information needed to develop representative geotechnical profiles are
also shown. The established geotechnical sliding model is verified by measurements of lateral movements in the landslide area and by
results of corresponding stability analyses
RSUM : La RNK-mthode (mthode du niveau de corrlation de rfrence) reprsente une procdure de modlisation spatiale en
gnie gologique et/ou gotechnique, qui a t teste sur plusieurs glissements de terrain en Croatie. La mthode permet la
diffrenciation des zones de la rsistance de cisaillement minimale, des zones des conductivits hydrauliques diffrentes, et des zones
de densit du sol diverse. L'application et la vrification de la mthode RNK aux formations rocheuses tendres, trouvs sur un site de
glissement de terrain Gorica Svetojanska (Croatie) sont prsentes. On prsente aussi un ensemble complet dinformations
pertinentes pour dvelopper les profils gotechniques reprsentatifs. Le modle gotechnique de glissement tabli est vrifi par les
mesures de mouvements latraux dans la zone de glissement, et par les rsultats danalyse de stabilit correspondante.
KEYWORDS: RNK-method, plasticity index, shear strength, slope stability, spatial geotechnical model.
1
1.1
1.2
INTRODUCTION
The site description
The village Gorica Svetojanska is located in hills area in northwestern part of Croatia. In last several years the intensive
cracking of the walls of local church has been observed. Also,
the soil movements at the slope with graveyard down the church
have been noticed, as well as damages of the small mortuary
structure.
The church of St. Anastasia (St. Ana, Jana in local
dialect) is situated at the plateau of narrow ridge dominating the
nearby valley (Figure 1). The church at this position is
mentioned in historical parish records from second half of 18th
century. It was several times reconstructed and strengthened
after damages caused by stronger earthquakes in late 19th
century.
Local conditions
The site is in seismically active region and in Figure 2 the

frequency of earthquakes (with I > 4) in last 200 years is
shown, supporting the parish records.
The seismic intensities at the church location have been
estimated by common attenuation function compiling the
catalogue records of earthquakes with epicentres in radius R =
75 km from the site (GZ, 2005).
Figure 2. The frequency of moderate and strong earthquakes at the site
In geological profile, generally, the ridges and hills in the

vicinity have the less permeable soft rocks and clayey soils in
upper part, and older, permeable aquifers in lower part of
profile. The aquifers are recharging at higher elevations,
producing artesian or sub artesian groundwater pressures at the
village site. Also, in the vicinity, the mineral water is
commercially extracted and bottled.
Figure 1. The St. Ana church with graveyard.
551
The complex investigations at the location have been made,

including borings and sampling, laboratory tests, water level
measurements and monitoring of church wall movements.
The thorough engineering geology investigations were also
performed, and, in order to obtain reliable geotechnical model
of landslide, the so-called RNK method was used.
2
RNK METHOD - FUNDAMENTAL NOTIONS AND

BASIC DEFINITIONS
PEAK - P OR RESIDUAL FRICTION ANGLE - R ( )
The RNK method (RNK-the acronym in Croatian language) or

the Reference Level of Correlation Method (Ortolan 1996) is a
fully developed method for engineering-geological and
geotechnical modelling. It is primarily intended for the landslide
recognition and the analysis of the slope stability of soils and
soft rock formations. However, the sedimentation fingertip
obtained by geotechnical correlation column can be also used
for reliable association of other test results in clayey sloppy
profiles (Ivsic et al., 2005)
The RNK (Reference Level of Correlation) is defined as an
unequivocally recognizable and visually identifiable (or
graphically defined!) bedding plane or any other reference plane
within a structural feature, in relation to which an altitude of all
studied profiles can be unambiguously defined, with individual
point analysis of any material property. Such plane is a part of a
single vertical lithostratigraphical i.e. engineering geological
and/or geotechnical sequence (engineering-geological and/or
geotechnical correlation column).
The importance of correlation for the slip-surface and/or
slip-zone determination is emphasized by Ortolan (1990).
The plasticity index has proven to be a reliable strength
indicator for cohesive materials (Ortolan 1996, Ortolan &
Mihalinec 1998, Ortolan et al., 2009). The highest values of
plasticity index, but also the liquid limit, correspond to the
lowest expected values of friction angle. This fact allows a new
approach to exact geotechnical modelling. Therefore, testing of
Atterberg plasticity limits on point samples can be
recommended for the identification of zones with lowest shear
strengths. The sample length should not exceed 10cm
(sometimes it should be aslittle as several centimetres, and even
several millimetres). The sampling interval of 0.51.0m is
usually considered sufficient.
The correlation between the plasticity index and angle of
internal friction is given in Figure 3, as developed by various
authors, systemized by Ortolan & Mihalinec (1998) and
enriched by new carefully obtained data.
40
35
Residual friction angle (Ortolan & Mihalinec, 1998)

Peak friction angle (Ortolan & Mihalinec, 1998)
Residual friction angle (1998-2006)
Landslide Hospital Merkur in Zagreb ( 2005/2006)
Landslide Jarpetar near Buje - Istra (2002)
Landslide esmiki west in Zagreb (2002)
Landslide Zalesina: Triassic clays and shales (Ortolan, 1996)
Residual friction angle: Landslide Gorica Svetojanska
46,0
118
Allophane:
JAVA
Halloasyte:
JAVA
119
4
27
30
89
47
3
49
9
6
90
88
60 112
25
91
62
66
107
104
26
117=120
Halloasyte
55
106
95
25
109
18
86
10
113
102
99
Cucaracha
Shale: (15)
1
53 54
44
108
(29-32): Clay from Carboniferous

Shales and Mudstones
84
82
85
65
114
115
31
64
94
19
32
10
51
97
35
36
29
15
30
33
42
45
41
24
37
28
83
Soft Clays (47-49)
77
48
116 34
59
69
22
23
98
40
20
58
76
38
93
56
80
70
78
52
73
16
11
17
75
50
39
111
72
67 43
79
71
46
14
74
63
12
13
21
(20-24): Materials containing

montmorillonite
4.1
0
0
10
20
30
40
DESCRIPTION OF THE LANDSLIDE AND GEOTECHNICAL PROPERTIES OF MATERIALS
The topographic presentation of the neighboring terrain in

Gorica Svetojanska with the contour of the landslide is given in
detailed engineering geology map of the area (Figure 4). Results
of laboratory and in situ investigations, presented in form of
geotechnical correlation column are presented in Figure 5.
Plasticity chart with encircled critical geotechnical zone-2 is
presented in Figure 6. Formations found on the landslide
(calcitic clays and clayey marls) date back to the Pontian.
96
68
105
(25-27): Materials
Containing Hydrous Mica
15
87
110 103
101
(100-107):Triassic
clays and shales 100
20
Very sensitive clays:

4-8 (OTAWA-KANADA: 8)
92
2
61
under study, geotechnical correlation column, and engineeringgeological map with slip-plane contour lines and with clearly
delineated slip areas and hydro-isohypses or hydro-isopiestic
lines at the slip-plane level (Ortolan 1996, 2000).
The geotechnical correlation column is a consistent
engineering-geological and/or geotechnical soil model (design
cross section) in which adequate parameters (defined in
laboratory or in situ either by point method or continuously) can
reasonably be allocated to every defined layer (and portions of
such layers) along the entire height of the vertical sequence of
formations covered by the study. From such geotechnical
correlation column we may in principle differentiate zones of
minimum residual shear resistance, with their thicknesses and
continuities, but also layers with different moisture content,
hydraulic conductivity, natural compaction, compressibility, etc.
The engineering-geological and/or geotechnical correlation
column of an analyzed area is the "key" to the interpretation of
overall engineering-geological and/or geotechnical relationships
in a required number of profiles selected at will for 2D and
spatial analysis, which is especially significant in 3D analysis of
stability.
The consistent use of the RNK-method in the period from
1995 to the present day has resulted in the elaboration of threedimensional geotechnical models for some fifty landslides. In
all of these cases the following parameters were successfully
defined: sliding body geometry, pore pressures and shear
strength parameters for materials along zones of minimum shear
resistance. In combination with existing topographical
documents, this enabled accurate stability analyses and
definition of optimum improvement procedures. The Podsused
landslide may be described as one of the most complex urban
landslide projects in the world (Ortolan 1996, 2000). It is
precisely on this project that the RNK-method has been
developed in full detail, and the reliability of the model was
confirmed with photogrammetric measurements (Ortolan et al.
1995) as well as with three-dimensional stability analyses
(Mihalinec & Stani, 1991).
Most of the studied landslides have been stabilized, in all
cases with great success, and the supervisory work conducted
during remedial works provided positive feedback information
about the correctness of adopted engineering-geological and
geotechnical landslide models, (e.g. at the Granice landslide;
Jurak et al., 2004), and about reliability of the engineeringgeological and geotechnical correlation column (design cross
section). On some projects the reliability of the model was
checked and confirmed by appropriate inclinometer, piezometer
and benchmark measurements.
50
60
70
80
90
100
110
120
130
PLASTICITY INDEX - PI (%)
Figure 3. Correlation between index of plasticity and angle of internal

friction both peak and residual.
The following supporting documents are most often used in

the study of landslides: general geological map of the wider area
552
ANALYSES
Wall movements
The investigation program included the measurements of

relative rotation of church walls using several horizontal and
vertical tilt meters, and, also the change of crack widths during
monitoring period (originally found cracks were 15-20mm
wide). The particular results are shown in Figure 7.
Figure 4. Detailed engineering geology map of the investigated area

11
WL (ALL BOREHOLES)
CH
(RNK m)
SAMPLE OR SPT POSITION WITH RESPECT TO REFFERENCE LEVEL OF CORRELATION
8
7
PLASTICITY INDEX - PI (%)
PI (ALL BOREHOLES)
10
SPT (BOREHOLES NEAR

THE CHURCH)
GEOTECHNICAL
ZONE - 2
SPT (BOREHOLES AT
THE GRAVEYARD)
50
40
CI
PI: SAMPLES FOR RING

SHEAR TEST
60
3
2
RNK
30
CL
-1
MH OH
20
-2
-3
-4
SAMPLES FROM BOREHOLES NEAR THE CHURCH
MI OI
-5
-6
-7
-9
-10
-11
-12
-13
-14
GEOTECHNICAL
ZONE
-15
-16
0
10
20
30
40
50
60
70
80
90
100
LIQUID LIMIT - LL & PLASTICITY INDEX - PI (%); SPT (NUMBER OF BLOWS - TUBE)
Figure 5. Geotechnical correlation column of the landslide.

Figure 6. Plasticity chart of materials from the landslide. The encircled
zone contains samples from preferred slip-zone
553
10
SAMPLE FOR RING SHEAR
ML OL
SC
0
-8
10
SAMPLES FROM BOREHOLES AT THE GRAVEYARD
SF
20
30
40
50
60
70
80
0
90
100
LIQUID LIMIT - LL (%)
The unexpected swaying of eastern part of church was

recorded (i.e. the movements of whole church block had
alterative directions). This has been confirmed by independent
records in horizontal and vertical tilt meters on neighbouring
east and south wall, also accompanied with relative closing or
opening of cracks.
The ground water levels were not measured in the same
frequency, but the collected data indicate possible correlation of
seasonal variations of water levels with the directions of wall
movements.
The whole situation at the site can be described as unstable

(labile) or at the limits of equilibrium. However, even the recent
observations have shown that the net effect of swaying are
slow irreversible displacements in direction of sliding, with
cumulative displacements of 4 - 8 mm in last several years.
Also, some cracks have opened at the western part of church
which was quiet during the intensive monitoring period.
conditions - by obtaining the safety factors near Fs = 1. Also

shown is the expected trend of lowering of safety factor with
rise of ground water level.
These rough estimates are demonstrated for static
conditions, implying that even the low or moderate seismic
activity can significantly reduce slope stability.
5
CONCLUSION
The interaction of engineering geology and geotechnics in the

process of designing geotechnical structures is very important.
In the study of landslides or stability levels of natural and
artificially shaped slopes, unequivocal results can be obtained
by the correlation of formations. This can be done by
introducing the reference level of correlation (RNK-method)
and by looking for the zone of minimum shear strength in the
engineering-geological and geotechnical correlation column.
The creation of reliable geotechnical model is a center of
this process, and it is crucial for the quality of the entire project.
The correlation of the friction angle with the liquid limit or
plasticity index is suggested for correct assessment of shear
strength.
6
Figure 7. Monitoring of church wall displacements.

4.2
Stability analyses
The presented charts using the RNK method describe the

landslide underground conditions and enable the construction of
geotechnical models for engineering analyses in various crosssections.
Figure 8. Model and results of stability analyses
The cross-section A-A (shown in Figure 4) which includes

the church ridge and downhill slope was used for common
stability analyses (Spencer limit equilibrium method). The
layers corresponding to the geotechnical zones in Figure 4, with
several slip surfaces in the layers of lowest strength are shown
in Figure 8. The strength parameters taken in analyses were:
cohesion c=0 kPa (for all layers), and friction angle = 28,
24, 30 (for zones 1, 2-4, 5, respectively). The minimal friction
angle = 24 corresponds to the results of ring shear test and
correlation chart. The ground water levels were varied few
meters from referent level to estimate the influence of possible
variations.
This type of numerical modelling might be understood as
too crude or too approximate for such a complex geologic
situation at the site. However, the results (factors of safety)
reveal that the established geotechnical model (with sequence of
layers, friction angles, water levels) and slip surfaces respecting
the established weakest zones, demonstrate the unstable
554
REFERENCES
GZ. 2005. The catalogue of earthquakes in Croatia, Department of

geophysics, Faculty of Science, University of Zagreb
Ivi, T., Ocvirk, E., Pavlin, . 2005. Geotechnical Aspects of Small
Retention Dam Vir in Croatia. Proc. Ninth International
Symposium on Water Management and Hydraulic Engineering.
Nachtnebel H.P. (ed.). Ottenstein : BOKU-University of Natural
Resources and Applied Life Sciences, 2005. 221-228
Jurak V., Ortolan ., Slovenec D. & Mihalinec Z. 2004. Verification of
Engineering-Geological / Geotechnical Correlation Column and
Reference Level of Correlation (RNK) Method by Observations in
the Slip-Plane Zone. Geologia Croatica 57(2): 191-203
Mihalinec Z. & Stani B. 1991. Three-dimensional slide analysis
procedure (in Croatian). Graevinar, 42(9): 441-447
Ortolan . 1990. Le rle de la methode de correlation dans la
determination des zones de parametres minimaux de resistance au
cisaillement. Proc. of the Sixth Int. Congress IAEG, 6-10 Aug.
1990, Amsterdam. Balkema: 1675-1679
Ortolan . 1996. The creation of a spatial engineering-geological model
of deep multi-layered landslide on an example of the Podsused
landslide in Zagreb (in Croatian). PhD Thesis. University of Zagreb
Ortolan . 2000. A Novel Aproach to the Modeling of Deep Complex
Landslides with Several Sliding Planes. In E. Bromhead, N. Dixon,
M.I. Ibsen (eds) Landslides in Research, Theory and Practice. 3:
1153-1158, Thomas Telford
Ortolan . & Mihalinec, Z. 1998. Plasticity index - Indicator of shear
strength and a major axis of geotechnical modeling. In B. Mari et
al. (eds) Geotechnical hazards, Proc. of the XI-th DanubeEuropean conference on soil mechanics and geotechnical
engineering, Pore, Croatia, 25-29 May 1998. Balkema: 743-750
Ortolan ., Mihalinec, Z., Stani, B. & Pleko, J. 1995. Application of
Repeated Photogrammetric Measurements at Shaping Geotechnical
Models of Multi-layer Landslides. Proc. 6th Int. Symp. on
Landslides. Balkema: 1685-1691
Ortolan ., Zlatovi S. & Vrkljan I. 2009. Geotechnical 3D modeling in
soft rocks using the RNK method. Rock engineering in difficult
ground conditions soft rocks and karst. Proc. of the reggional
symp. of the ISRM, Eurock 2009, Dubrovnik, Croatia, 29-31
october 2009. CRC Press, Taylor & Francis Group: 489-494.
Une nouvelle sonde permettant de mesurer sans extrapoler la pression limite

pressiomtrique des sols
A new probe for measuring the pressuremeter limit pressure of soils without extrapolation
Jacquard C., Rispal M.
Fondasol, Avignon, France
Puech A., Geisler J., Durand F.

Fugro GeoConsulting, Nanterre, France
Cour F.
Calyf, Maisons Lafitte, France
Burlon S., Reiffsteck P.h.

IFSTTAR, Marne-la-Valle, France
RSUM: Une limite actuelle des essais pressiomtriques de type Mnard est lie la difficult datteindre des volumes dexpansion
et des pressions importants sans risque systmatique dclatement. Une nouvelle sonde a t dveloppe qui permet datteindre, mme
sous pressions leves, le doublement du volume du trou et donc la mesure directe de la pression limite conventionnelle du sol. On
dcrit les innovations technologiques qui ont conduit accroitre les performances et la fiabilit des sondes. On prsente ensuite des
essais comparatifs sur diffrents sites montrant les apports techniques et oprationnels du nouveau concept.
ABSTRACT: A present limitation of Menard type pressuremeter tests is due to the difficulty of reaching large expansion volumes and
high pressures without exposing to significant risks of bursting. A new probe has been developed allowing the volume of the hole to
be doubled, even under high pressures: the conventional limit pressure can then be directly measured. Technological innovations
increasing the capabilities and reliability of pressuremeter probes are described. Comparative tests on different sites are presented
demonstrating the technical and operational contribution of the new concept.
MOTS-CLS : essai pressiomtrique Menard, sonde, mesure, membrane
KEYWORDS: Menard pressuremeter test, probe, measurement, membrane
1.
INTRODUCTION
profil limite partir duquel elle oppose une rsistance trs

leve toute dilatation complmentaire. Dans le cas de la
sonde pressiomtrique, ce profil limite, en forme de fuseau,
correspond un volume d'injection de 1100 cm3 dans la
cellule centrale (Figure 1b).
Un dispositif similaire de gaine textile de contention a t
mis en application pour la membrane de la cellule centrale
(rsistance propre pm= 30 kPa). La cellule, munie de ce
dispositif prsente une section parfaitement cylindrique sur
l'ensemble de sa plage d'injection, jusqu' un volume de
1100cm3 (Figure 1a) tout en prsentant une faible rsistance
propre.
La quasi-totalit des essais pressiomtriques raliss partir

de sondes de type Mnard sont arrts avant datteindre la
pression limite du sol, dfinie comme la pression
correspondant au doublement du volume initial du trou
(normes NFP 94-110). Les tentatives pour atteindre cette
pression limite avec les matriels couramment utiliss se
soldent trs frquemment par lclatement de la sonde. Cette
situation nest videmment pas satisfaisante et a conduit
rechercher des amliorations (Cour et al., 2005).
Larticle prsente les caractristiques et les performances
de la sonde pressiomtrique Francis Cour (en abrg sonde
FC) conue de manire atteindre quasi systmatiquement le
doublement du volume de la cavit sans clatement et pour
des niveaux de pression nettement suprieurs ceux tolrs
par les sondes standard.
Des essais comparatifs mens dans diffrentes
formations, avec des matriels standards et avec la sonde FC,
illustrent les capacits de la sonde et ses performances
oprationnelles.
1a
2. SONDE PRESSIOMTRIQUE FRANCIS COUR

La sonde pressiomtrique FC est, selon la norme NF P94110-1, une sonde du type G gaine souple.La longueur de la
cellule centrale est de 210mm ; celle des deux cellules de
garde est de 105mm.. Les cellules ont un diamtre extrieur
de 58 mm. La principale originalit de la sonde rside dans
l'adjonction, autour de la gaine extrieure en lastomre,
d'une gaine textile de contention qui a fait lobjet dun brevet
dpos en 2006 par Francis Cour. Cette gaine, de forme
cylindrique au repos (Figure 1b), a la proprit de se dilater
en opposant une trs faible rsistance, jusqu' atteindre un
Figure 1. Vues de la membrane centrale gonfle 1100 cm3 (1a), de

la gaine de contention non gonfle (1b) et gonfle 1100 cm3 (1c)
La nouvelle sonde pressiomtrique est au final compose de

la membrane de la cellule centrale et de la gaine dcrites cidessus, recouvertes d'une sur-gaine en polyurthane et de
lamelles mtalliques (Figure 2).
555
Tableau 2 : Essais comparatifs dans largile des Flandres

2a
2b
Figure 2. Sur-gaine (2a) et lamelles mtalliques (2b) constituant la

sonde FC.
Les proprits particulires de la sonde en termes de

capacit de gonflement en volume et pression, et de
robustesse, sont illustres par le diagramme d'talonnage de la
sonde, l'air libre, pouss 6 MPa (Figure 3).
VL
[m]
[cm3]
6
7
8
9
10
11
12
668
686
782
742
656
620
720
SONDE FC
EM
Pl*
[MPa] [MPa]
11.5
12.5
15.3
16.5
15.6
14.0
19.7
0.96
1.02
1.15
1.24
1.32
1.33
1.45
VL
[cm3]
680
712
688
716
699
719
763
EM
Pl*
[MPa] [MPa]
8.1
9.4
13.1
10.3
14.3
13.0
11.2
0.99
1.01
1.28
1.29
1.62
1.67
1.68
On constate que :
- entre 6 et 9 m les valeurs de pression limite sont en bon
accord ; au-del les valeurs obtenues par la sonde FC sont
lgrement suprieures mais restent dans la limite des
variations locales indiques par les essais au CPT
lectrique raliss proximit immdiate (Figure 5);
- les modules pressiomtriques mesurs la sonde FC sont
un peu plus faibles (EM,FC / EM, SN ~ 0.75) ;
- les rapports EM/Pl* sont en consquence plus faibles avec
la sonde FC (EM/Pl* ~ 8.5) quavec la sonde SN (EM/Pl*
~ 12.5)
Figure 3. Courbe dtalonnage de la sonde FC, mene 6 MPa.
3.
Profondeur
SONDE SN
ESSAIS COMPARATIFS
Des essais comparatifs ont t mens dune part avec une

sonde FC, dautre part avec une sonde classiquement utilise
par la profession sur plusieurs sites. Le mode opratoire a t
identique pour chaque sonde, et a respect les critres de la
norme NF P94-110-1.
Le tableau 1 prsente les caractristiques dtalonnage et
de calibrage raliss sur les quatre chantiers prsents par la
suite. On note que la sonde FC vrifie bien les critres de la
norme NF P94-110-1 dune sonde gaine souple.
1000
Essai
Volume corrig [cm3]
800
Tableau 1. Caractristiques de la sonde FC et du systme CPVtubulures.

SN: sonde nue ; TF: Tube fendu ; Vs, p el selon NF P 94-110-1
Merville
Dunkerque
Grand Paris Londres
FC SN
FC
SN FC
TF
FC
Vs [cm3] 522 484
595
475 553
510
483
pel[MN/m] 0.27 0.17 0.41 0.34 0.32 0.39
0.35
Etalonnage
VL=VS+2V1
VL=763 cm3
600
PL=1,79
400
EM=11.2 MPa
200
P2=0,96
P1=0,39
0
0.0
3.1 Argile des Flandres (Merville)
0.2
0.4
0.6
0.8
1.0
1.2
1.4
Pression corrige [MPa]
1.6
1.8
Figure 4 : Essai avec sonde FC dans largile des Flandres (-12m)
Largile surconsolide des Flandres est un sol bien connu,

particulirement homogne sur le site exprimental de
Merville. On dispose de nombreux sondages pressiomtriques
et pntromtriques (Puech et al., 2013). On a ralis titre
comparatif deux forages espacs de 5m raliss la tarire
simple 63mm sec, tubs en tte et par passes de forage de
3m. Pour les deux sondes, les conditions opratoires sont
identiques: i) pression diffrentielle (pr+ph)-pk voisine de
0.14MPa, ii) 30m de tubulures coaxiales =3mm, iii) eau
pure. Pour la mesure de grands volumes, la sonde FC a t
couple un CPV pilot PREVO (Jean Lutz S.A.).
Les rsultats sont donns dans le tableau 2. Les valeurs
de Pl* pour la sonde nue (SN) ont t calcules par
extrapolation conformment la norme NF P94-110-1 car le
doublement de la cavit (VL=VS+2V1) na pas t atteint (sauf
essais 7, 10 et 11m). Les valeurs en gras sont obtenues par
interpolation linaire sur les points mesurs. La valeur de Pl*
est toujours mesure directement avec la sonde FC comme
illustr sur le Figure 4 pour lessai 12m.
556
2.0
Figure 6. Essai avec la sonde FC dans les alluvions (-3.5m).
La figure 6 montre lessai 3.5m de profondeur dans les

alluvions avec la sonde FC. Une expansion 700 cm3 a
permis de mesurer directement la pression limite
Figure 5 : Rsultats comparatifs des essais PMT et CPT Merville
Sables de Dunkerque
Sur ce site correspondant un chantier de production

classique, la sonde FC a t utilise dans les mmes
conditions de forage au bilame sous boue, et avec les mmes
critres darrt que la sonde nue SN, soit trois points aprs le
fluage. Une analyse statistique des valeurs mesures a t
mene : elle a concern 11 sondages au total (5 SN et 6 FC)
Les valeurs ont t regroupes selon 3 classes de sable (1a :
sables moyennement compacts, 1b : sables compacts, 1c :
sables trs compacts). Le tableau 3 montre que pour une mise
en uvre identique les rsultats avec les deux types de sonde
sont quivalents pour un total de 191 essais analyss.
Figure 7. Sondages Grand Paris : pressions et volumes atteints pour

chaque essai
Deux essais sur treize raliss avec la sonde TF ont d

tre arrts prmaturment par clatement de la membrane de
sorte que les volumes injects ont d tre limits 440 cm3
(Figure 7). Avec la sonde FC, aucun clatement nest
dplorer pour des essais mens jusqu 800 cm3 (limite
correspondant la capacit du CPV utilis), ou arrts 8
MPa, critre darrt fix au cahier des charges (Tableau 4).
Tableau 4. Valeurs pressiomtriques compares (sondages Grand
Paris)-
Tableau 3. Valeurs pressiomtriques compares (site de Dunkerque)

EM et Pl* en MPa.
10.2
1.5
23
11.4
1.5
0.90
0.97
1b
25
23.8
3.3
32
21.5
2.9
1.11
1.17
1c
45
36.3
4.8
28
37.5
4.7
0.97
1.02
3.3
Rgion parisienne
Deux sondages pressiomtriques ont t raliss 5m de

distance sur un site de la rgion parisienne dans le cadre du
chantier Grand Paris. La sonde classique est de type G avec
tube fendu (TF) et cellule courte de 44 mm. La coupe
lithologique au droit des sondages est :
- 0-7m : alluvions anciennes : limons, sables et graves
- 7 -10m : calcaires de St-Ouen
- 10-20m : sables de Beauchamp.
557
pl*[MPa]
38
EMTF[MPa]
1a
Vl [cm3]
pl*FC
/pl*SN
plFC3*[MPa]
EMFC
/EMSN
plFC*[MPa]
Ratios FC/SN
EMFC [MPa]
Sonde standard SN
83
Pl*
essais EM
Vl [cm3]
Sonde FC
108
essais EM Pl*
Sonde TF
Sonde FC
Profondeur
3.2
3.5
697
30
5.5
4.3
750
74
4.5
5.0
667
41
6.3
4.8
970
36
5.9
6.5
931
61
10.7
10.0
1030
36
>3.5
7.9
839
30
2.8
> 1.8
970
19
>1.7
55
5.8
11.0
629
102
8.4
8.0
730
12.5
889
105 >7.8
>5.3
710 128 >7.1
14.0
893
47
5.3
5.1
710
15.5
833
13
2.1
2.0
730 123 >4.1
17.0
39
6.1
5.6
610
69
>4.2
18.5
152 >7.8 >7.8
710
91
6.8
20.0
883
66
610
61
3.7
5.8
4.8
44
4.2
4. CONCLUSION ET PERSPECTIVES
On constate pour les deux sondes, une concordance

globale entre modules pressiomtriques (EM,FC/EM,TF ~ 1.1).
En revanche le ratio pl*FC/pl*TF est de lordre de 1.3.
Si on reprend linterprtation des essais FC (colonne
pl*FC3) en limitant lextrapolation trois points aprs P2 (ce
quautorise la norme, et ce qui correspond la faon dont
sont traits la plupart des essais en France), on obtient des
valeurs pl*FC3 systmatiquement infrieures denviron 10%
aux valeurs pl*FC. Lextrapolation limite 3 points conduit
ainsi une sous-estimation des pressions limites.
Corrlativement les valeurs de EM/Pl* se trouvent
surestimes.
3.4
La sonde FC constitue une avance technologique

significative dans la mesure des paramtres pressiomtriques
des sols. La conception originale de sa membrane autorise
dans la grande majorit des cas la mesure directe de la
pression limite par doublement effectif du volume de la
cavit.
Sa remarquable rsistance lclatement y compris sous
pression leve permet son emploi dans des terrains
htrognes et rsistants, correspondant au domaine
dutilisation habituel du tube fendu, et autorise ainsi sur les
chantiers des cadences accrues.
La sonde est conforme aux exigences de la norme NFP
94-110-1 pour une sonde gaine souple. Dans des conditions
oprationnelles similaires, la sonde FC et une sonde nue
standard (SN) fournissent des paramtres pressiomtriques
quivalents. Les exemples traits montrent que lextrapolation
de donnes obtenues avec des sondes standard trop faible
capacit dexpansion peut conduire une sous-estimation des
pressions limites.
La gnralisation de ce type de sonde passe par une
amlioration des matriels existants notamment en ce qui
concerne la capacit en volume et pression des contrleurs
pression volume.
Essais haute pression
Des essais haute pression (12 MPa) avec la sonde FC ont t

mis en uvre entre 54 et 66m de profondeur, dans des sables
fins trs compacts de Londres (Thantien). Les deux forages
ont t raliss au taillant en rotation 66 mm avec injection de
boue et mise en place de tubage lavancement. Des essais
haute pression avaient dj t raliss dans ces sables avec
une sonde nue standard et du matriel adapt pour la
circonstance (Massonnet, 2005). Larrt des essais 12 MPa
est d aux limites du contrleur pression-volume et non pas
la sonde qui a permis de mesurer des pressions limites
leves, sans aucun clatement pour les 18 essais. La figure 8
montre un essai 63m de profondeur avec 4 points au-del de
P2, ce qui autorise une extrapolation raliste de la pression
limite (Pl*= 13 MPa; EM= 112 MPa, pour un volume brut
Vmax= 450 cm3 ; Vmax net= 409 cm3).
5. REMERCIEMENTS
Les auteurs remercient la socit Jean Lutz S.A. pour la mise
disposition gracieuse de son matriel et son assistance sur
les chantiers exprimentaux de Fugro et de Fondasol.
6.
REFERENCES
AFNOR. 2000. Norme NF P94-110-1. Essai pressiomtrique Mnard.

Cour F., Puech A., Durand F. 2005. Un pressiomtre de nouvelle
gnration. 2005. Proc. ISP5-PRESSIO (1), 63-73
Massonnet R. 2005. Le pressiomtre sous haute pression. Proc.
ISP5-PRESSIO (1), 81-90
Puech A. et Benzaria O. 2013. Effet du mode de mise en place sur le
comportement statique de pieux dans largile fortement
surconsolide des Flandres. Proc. 18 ICSMGE, Paris
Figure 8. Essai avec la sonde FC dans les sables du Thantien (-63m).
558
Long-term Deformation of the Reclaimed Pleistocene Foundation of the Offshore

Twin Airport
Dformations long terme dune fondation de remblai plistocne rcupr sur mer pour un projet
daroport jumel
Jeon B.G.
Samsung C&T Corporation
Mimura M.
Graduate School of Engineering, Kyoto University
ABSTRACT: A series of elasto-viscoplastic finite element analyses is performed to assess the long-term deformation including the
interactive behavior of the reclaimed Pleistocene foundation due to the adjacent construction of the offshore twin airport. Attention is
paid to the modeling of permeability for the Pleistocene sand gravel layers considering the sedimentation environment. The concept of
mass permeability is introduced to model the actual process of dissipation of excess pore water pressure in the field. It is regarded
as the macroscopic capability of permeability for the individual Pleistocene sand gravel layers by evaluating the permeability not of
each element but of the whole layer in one body. The mechanism for the propagation of excess pore water pressure due to
construction of the adjacent reclamation is discussed through the numerical procedure using the concepts of mass permeability. The
concept of mass permeability for the individual Pleistocene sand gravel layers is found to well function to assess the long-term
deformation including the interactive behavior in the reclaimed Pleistocene foundation.
RSUM : Les dformations long terme dun remblai plistocne en mer sont values a partir dune srie danalyses lastoviscoplastiques par lments finis. Les interactions dues aux travaux damnagement daroport jumel sont aussi prises en compte.
On vise plus particulirement modliser la permabilit du sable/gravier plistocne en considrant la sdimention du milieu. La
dissipation des surpressions interstitielles in-situ est calcule partir dune permabilit massique de lensemble des couches
sable/gravier. Les mcanismes de propagation de surpressions interstitielles induites par le remblai voisin sont dtermins par
modlisation numrique faisant appel au concept de permabilit massique. Lapplication de ce concept semble tre commode pour
valuer les dformations long terme des couches sable/gravier plistocne en interaction avec dautres ouvrages voisins.
KEYWORDS: elasto-viscoplastic finite element analysis, mass permeability, standard hydraulic gradient
1
INTRODUCTION
The development of coastal areas accomplished in Japan has

been outstanding. Kansai International Airport (KIX) was
constructed in Osaka Bay as two man-made reclaimed islands to
minimize noise and pollution in residential areas as well as to
meet the increasing demand for air transportation. Such a largescale offshore reclamation in Osaka Bay is accompanied with
large and rapid settlement of deep Pleistocene clay deposits
(Mimura et al., 2003). Long-term settlement of the Pleistocene
marine foundations due to huge reclamation load has been of
great concern in this project. The seabed deposits of Osaka Bay
have been formed due to the soil supply from the rivers and the
alternating deposits of KIX have been formed due to
sedimentation of clayey soils during transgression and of sandy
to gravelly soils during regression on the sinking base of Osaka
Bay. The Pleistocene clay deposited in Osaka Bay exhibits the
behavior of the quasi-overconsolidated clay without definite
mechanical overconsolidation history. Itoh et al. (2001)
summarized on the basis of the data from elastic wave
exploration and in-situ boring logs that the Pleistocene sand
gravel deposits are not always distributed uniformly in
thickness, consistently and that the amount of fine contents
included in them is significant. The most serious problem
originating from these sand gravel deposits is the permeability
that controls the rate of consolidation of sandwiched Pleistocene
clays. In the sense, the modeling for the quasi-overconsolidated
Pleistocene clay and the evaluation of permeability for the
Pleistocene sand gravel deposits are the significant factors to
assess the long-term behavior of the reclaimed Pleistocene
foundation due to the reclamation of the offshore twin airport.
Mimura and Jang (2004) proposed a concept of compression in
which viscoplastic behavior is assumed to occur even in the
quasi-overconsolidated region less than pc for the Pleistocene
559
clays in Osaka Bay. The procedure has been found to be

versatile and allows for the long-term settlement monitored in
the reclaimed islands in Osaka Port to be described (Mimura
and Jang, 2005a). In the present paper, the numerical procedure
to assess the long-term behavior of the Pleistocene deposits at
KIX in terms of elasto-viscoplasitc FEM is proposed by
introducing the concept of mass permeability and standard
hydraulic gradient for the Pleistocene sand gravel layers. The
validity of the procedure is carefully discussed by comparing
the performed results with in-situ measurements.
2 CONCEPTS OF MASS PERMEABILITY AND
STANDARD HYDRAULIC GRADIENT
Mimura and Jang (2005a) reported when the permeability of
sand gravel layers is considered perfectly drained, onedimensional analysis only considering the characteristic of
clayey soil can be adopted for the consolidation problem
without considering the effect of permeability loss in the those
sand gravel layers. However, the sand gravel layers sandwiched
by the Pleistocene clay layers at KIX were recognized not to
function as perfect drainage layers through the in-situ
measurement of excess pore water pressure. Therefore, the two
or three-dimensional analysis that considers the permeability of
the Pleistocene sand gravel layers is required to assess the longterm behavior of the reclaimed Pleistocene foundation. The
influential factors to evaluate the permeability of sand gravel
layers are the thickness, the horizontal continuity and the fine
contents of them. The permeability of them is different with
places even if they are categorized as the identical ones. But, it
is impossible to evaluate the permeability of sand gravel layers
at every point. It is also very difficult to confirm how the sand
gravel layers under the Pleistocene marine foundation are
10,000m
2nd phase island
1st phase island
Ds1
Dtc
Ma11U
Ma11L
Ma10
Ma9
Doc5&Ma8
Ma7
Ds2
Ds3
131.0m
Ma12
Ds4
Ds5
Ds6
Ds7
Ds8
Ds9
Ma6
Ds10
17,880m
Monitoring point 1
10,000m
2nd phase island
Ma13
A' (Offshore side)
Ds1
Ds2
Ds3
Ds4
Ma11U
Ds5
Ds6
Ma10
Ds7
5,000m
1st phase island
Dtc
Ma12
588.7m
The differential settlement of the individual Pleistocene clay

layers as well as the excess pore water pressure at various
depths, both in the clay and the sand gravel layers, have been
measured at a lot of points of KIX. Figure 1 shows the plan
view of KIX together with the location of representative
monitoring points on the 1st phase island. A series of elasoviscoplastic finite element analyses is carried out along the
representative section shown by A-A at monitoring point 1 in
Fig.1. Figure.2 shows the representative foundation model
assumed to be horizontally even layer that have a constant
thickness and continuous layer based on the boring data at the
monitoring point 1. Figure.3 shows the geologically genuine
foundation model having the inclined base and layers that is
constructed based on the soil exploration and geological survey
data (Kitada et al, 2011). The clay layers increase in thickness
towards the offing and the sand gravel layers drastically change
in thickness horizontally. The continuity of the individual layers
is still guaranteed even for the geologically genuine foundation
1440m 1440m
20.2m
A'
(Onshore side)
(Offshore side)
Fi
gure 2. Representative foundation model of KIX for finite element analysis
at representative section
3 FOUNDATION MODEL AND HYDRAULIC

BOUNDARY
(Representative section)
Ma13
Ma11L
Monitoring point 1
(S1)
5,000m
1440m 1440m
(Onshore side)
A'
17.0m
(Offshore side)
model in the present study. Here, Ma and Ds denote marine clay
148.0m
distributed in practice. The concept of mass permeability is

proposed to evaluate the permeability not of each element but of
the whole layer in one body. It is regarded as the macroscopic
capability of permeability for the individual sand gravel layers
by considering the horizontal continuity, the change in thickness
and the degree of fine contents of them. Mimura and Jeon
(2011) evaluated the mass permeability of the Pleistocene sand
gravel layers using the simple foundation model as shown in
Fig.2. The distribution of sand gravel layers not only in the
loading area but also in the area that can rule out the effect of
the hydraulic boundary condition should be considered to assess
the mechanism of the propagation/dissipation of excess pore
water pressure in the coupled stress-flow analysis. In the sense,
on the basis of the assumption that the hydraulic gradient
derived in the representative foundation model having the
horizontally even layer with constant thickness is regarded as
the standard one for the individual Pleistocene sand gravel
layers, the evaluated mass permeability can be the
representative of the capacity of permeability for the individual
Pleistocene sand gravel layers at KIX. The standard hydraulic
gradient is hence applied to the geologically genuine foundation
model that has been developed to consider the actual stress level
not only of the monitoring point but also of the considered area
for the numerical analysis. Due attention should be paid to the
fact that this assumption is only considered in horizontal
position for the individual Pleistocene sand gravel layers.
Ds8
Ds10
Ds9
Ma9
Monitoring point 1
Doc5&Ma8
Ma6
Ma7
17,880m
Figure 3. Geologically genuine foundation model of KIX for finite

element analysis at representative section
and Pleistocene sand gravel layer respectively. Ma13 is the

Holocene marine clay whereas others are the Pleistocene origin.
For the Holocene clay deposit, Ma13, sand drains are driven in
a rectangular configuration with a pitch of 2.0 to 2.5 meters to
promote consolidation. The lateral boundary of the clay layers is
assumed to be undrained while the one of the sand gravel layers
is assumed to be fully drained. Mimura and Jang (2005b)
reported that when the distance to the boundary is set to be
about 10 times of the loading area, the effect of the hydraulic
boundary condition can be ruled out. Based on the findings, the
same condition is satisfied even for the foundation models used
in the present study. The distance to the offshore and onshore
boundary is set to be 10,000m and 5,000m respectively. The
present two foundation models are divided into finite element
mesh consisting of 8,580 nodal points and 8,378 elements.
2 nd phase island
1st phase island

S2
LOADING CONDITION AND SOIL PARAMETERS
The prescribed final overburden due to airport fill construction

amounts to about 430kPa at the 1st phase island and about
530kPa at the 2nd phase island respectively. The 2nd reclamation
is started after about 13years from the 1st reclamation. In the
present analysis, the permeable capability evaluated from the
concept of mass permeability for the Pleistocene sand gravel
layers is applied for the present finite element analysis. On the
basis of the findings by Itoh et al. (2001), the relatively high
permeable capability are assumed for Ds1,3 10 because they
have been evaluated as gravelly, horizontally continuous and
S3
A (Onshore side)
S
Figure 1. Plan view of Kansai International Airport and the location of
monitoring points on the 1st phase island
560
having enough thickness. On the other hand, very low

permeable capability is assumed for Ds6 and 7 that have been
evaluated to have insufficient thickness with high degree of fine
contents and poorly continuous. The other layers have been
evaluated as the ordinary permeable capability. The used all soil
parameters for analysis are also exactly the same with that used
by Mimura and Jeon (2011).
5
RESULTS AND DISCUSSIONS
The calculated distribution of excess pore water pressure before

and after the construction of the 2nd phase island is shown in
Fig.4 for two foundation models respectively. As shown in
Fig.4, the similar distribution tendency of excess pore water
pressure can be seen for two foundation models. It should be
noted that a large amount of excess pore water pressure still
remains undissipated in the middle Pleistocene clay layers,
Ma10, 9 and Doc5&Ma8 as well as sand gravel layers, Ds6 and
7 before the construction of the 2nd phase island because of poor
permeability of sand gravel layers, Ds6 and 7. In contrast, the
excess pore water pressure in the upper and lower Pleistocene
layers such as Dtc, Ma12,11,7,6 and Ds1,3,9,10 is
monotonically dissipated with time because of high
permeability of sand gravel layer, Ds1,3 and 10. At the
completion of the 2nd reclamation, a large amount of excess
pore water pressure is concentrated in the upper and middle
Pleistocene layers such as Ma12, 10, 9 and Doc5&Ma8 beneath
Before construction of 2nd phase reclamation
(after 13years from construction)
1st phase
the foundation of the 2nd phase island. Here, a due attention

should also be paid to the fact that the increased excess pore
water pressure beneath the foundation of the 2nd phase island is
propagated to that of the 1st phase island. Since the permeability
of the upper and lower Pleistocene sand gravel layers is higher
than the one of the middle layers, a larger amount of excess
pore water pressure in the upper and lower Pleistocene layers is
propagated compared to the one in the middle layers of the
foundation of the 1st phase island.
The calculated horizontal distribution of excess pore water
pressure in the representative Pleistocene sand gravel layers
(Ds3, 6, 10) are shown in Fig. 5 at the time before and after the
construction of the 2nd phase reclamation for both foundation
models. In the present study, the identical permeable capability
for the individual Pleistocene sand gravel layers in two
foundation models is applied by considering the concepts of
mass permeability and standard hydraulic gradient.
However, in Fig.5, it should be noted that the distribution of
excess pore water pressure near the 1st phase island almost
shows a good match for two foundation modes by applying the
concept standard hydraulic gradient whereas the one of the
other region shows the discrepancy distribution with the stress
level. The stress level beneath the foundation of the 1st phase
island is almost the same for two foundation models because the
representative model was developed based on the monitoring
point 1 whereas the one beneath the foundation of the 2nd phase
island is different each other due to change in thickness of
geologically genuine foundation model. It is noteworthy that
(Unit: kPa)
Ma13
Ma12
-60
Ds2
Ma11U
Ds4
Ds5
Ma10
Ds6
-100
Ma9
-120
Ds7
Doc5&Ma8
Ds8
Ma7
-140
Ds9
Ma6
-160
-166
2000
4000
6000
8000
10000
12000
14000
-430
16000
Elevation(m)
Elevation(m)
Upper
Ds4
Ds6
Ma9
Middle
Ds7
Doc5&Ma8
Ds8
Ma7
-140
Lower
Ds9
Ma6
-160
-166
2000
4000
6000
8000
10000
12000
6000
8000
10000
12000
Dtc
Ma11U
-180
Ma11L
-230
Ds1
Ds3
Ma12
Ds5
Ma10
-280
Ds7
Ma9
-330
Doc5&Ma8
-380
-430
Ma7
-480
Ds9
14000
16000
17880
st
1 phase
-6
-26
Upper
Middle
Lower
Ds2
Ds4
Ds6
Ds8
Ds10
Ma6
-530
Ds10
0
4000
Ma13
-130
Ds5
-100
-120
2000
Distance(m)nd
2 phase
Completion of 2 nd phase reclamation
-80
Ma10
Ds8
Ds10
-580
-619
Ds2
Ds3
Ma11U
Ds6
Ds7
Ds9
-530
17880
-30
Ma11L
-6
-26
Ds4
Ma6
Ma7
-480
Ds1
Dtc
Ma12
-80
Doc5&Ma8
-380
Ma13
-60
Ma9
-330
(Unit: kPa)
1 phase
Ds2
Ds5
Ma10
-280
2 phase 1st phase
Completion of 2nd phase reclamation

-40
Ma11U
Ma11L
-230
Ds1
Ds3
Ma12
-180
Distance(m)nd
-18
Dtc
-130
Ds10
0
Ma13
-80
Ds3
Ma11L
-80
-30
Ds1
Dtc
Elevation(m)
Elevation(m)
-40
st
Before construction of 2 nd phase reclamation

-18
14000
16000
-580
-619
17880
2000
4000
6000
8000
10000
12000
14000
16000
17880
Distance(m)
Distance(m)
Figure 4(a). Contour of excess pore water pressure for representative

foundation model at before and completion of 2nd phase reclamation
Figure 4 (b). Contour of excess pore water pressure for geologically

genuine foundation model at before and completion of 2nd phase
reclamation
P.W.P
Ds3
500
400
300
200
100
0
P.W.P
Ds6
500
400
300
200
100
0
Excess pore water pressure(kPa)
500
400
300
200
100
0
Ds10
Geologically genuine foundation

Representative foundation
P.W.P
3000
6000
9000
12000
15000
Center of 1st
phase island
Center of 2nd
phase island
Center of 1st
phase island
Center of 2nd
phase island
500
400
300
200
100
0
P.W.P
Ds3
500
400
300
200
100
0
P.W.P
Ds6
500
400
300
200
100
00
18000
Ds10

P.W.P
3000
6000
9000
12000
15000
18000
Horizontal distance (m)
Horizontal distance (m)

(a) Before the 2nd phase reclamation
(b) Completion the 2nd phase reclamation
Figure 5. Horizontal distribution of excess pore water pressure for the representative Pleistocene sand gravel layers (Ds3, 6, 10) in a horizontal position
561
400
350
300
250
200
150
100
50
0
400
350
300
250
200
150
100
50
0
400
350
300
250
200
150
100
50
0
points S2 or S3 shown in Fig. 2.
Ds6

Measured
Ds10
10
20
30
Start of 2 nd Completion of 2nd

phase island
phase island
Ds3
Start of 2 nd Completion of 2nd

phase island
phase island
Settlement(m)
although the identical permeable capability for the individual
40
50
60
0
20
40
60
80
100
120
140
160
180
200
0
20
40
60
80
100
120
140
0
20
40
60
80
100
120
140
160
Ma12
Ma10
Ma6

Measured
0
10
Elapsed time(years)
30
40
50
60
Figure 7. Comparison of measured and calculated settlement with time

for the representative Pleistocene clay layers
Figure 6. Comparison of measured and calculated excess pore

water pressure with time for the representative Pleistocene sand
gravel layers
Pleistocene sand gravel layers was applied, the calculated

results of excess pore water pressure could show the difference
with the stress level. The calculated excess pore water pressure
time relations for two foundation models are shown in Fig. 6
together with the measured results for the representative
Pleistocene sand gravel layers at the monitoring point 1. It is
noteworthy that the excess pore water pressure in the upper
(Ds3) and lower (Ds10) Pleistocene sand gravel layers is
increased but the one of the middle layer (Ds6) is not increased
due to the construction of the 2nd phase island. The long-term
settlement associated with the phenomenon of propagation of
excess pore water pressure is another serious problem for KIX.
When the excess pore water pressure increases or the
dissipation of excess pore water pressure is hindered due to the
construction of the 2nd phase island, the settlement is also
retarded or slight upheaval can happen (see Fig.7). It is also
found that the calculated performance at the monitoring point 1
shows a good match for two foundation models by applying the
concept of standard hydraulic gradient and can also well
describe the whole process of deformation.
6
20
Elapsed time(years)
CONCLUSIONS
The long-term deformation of the reclaimed Pleistocene

foundation of the offshore twin airport was numerically
evaluated through the elasto-viscoplastic finite element analyses
considering the concepts of mass permeability and standard
hydraulic gradient for the Pleistocene sand gravel layers. The
concept of mass permeability was evaluated as the
representative permeable capacity of sand gravel layers of KIX.
The representative permeable capacity of sand gravel layers was
applied to the geologically genuine foundation model by
introducing the concept of standard hydraulic gradient for the
coupled stress-flow analysis. The concept of mass permeability
for the sand gravel layers was found to well function to assess
the process of excess pore water pressure generation/
dissipation/propagation and long-term settlement in the
reclaimed foundations of KIX. The concept of standard
hydraulic gradient was also found to well reproduce the
representative permeable capacity by comparing the calculated
results for two foundation models. The validity and objectivity
of the proposed concepts will be investigated by applying them
to the additional review sections including the monitoring
562
REFERENCES
Itoh, Y., Takemura, K., Kawabata, D., Tanaka, Y. and Nakaseko, K.

2001. Quaternary Tectonic Warping and Strata Formation in the
Southern Osaka Basin Inferred from Reflection Seismic
Interpretation and Borehole Sequences, Journal of Asian Earth
Science, 20, 45-58.
Kitada, N., Inoue, N., Takemura, K., Fukada, K. and Emura, T. 2011.
Subsurface Structure Model Around Kansai Airport According to
Re- Interpretation of Borehole Data based on Result of KIX18-1
Core. International Symposium on Advances in Ground Technology
and Geo-Information, IS-AGTG, 137-142.
Mimura, M. and Jang, W.Y. 2004. Description of time-dependent
behavior of quasi-overconsolidated Osaka Pleistocene clays using
elasto-viscoplastic finite element analyses, Soils and Foundations,
44(4), 41-52.
Mimura, M. and Jang, W.Y. 2005a. Verification of the Elastoviscoplastic Approach Assessing the Long-term Deformation of the
Quasi-overconsolidated Pleistocene Clay Deposits, Soils and
Mimura, M. and Jang, W.Y. 2005b. Long-term Settlement of the
Pleistocene Deposits due to Construction of KIA, Proceedings of
the Symposium on Geotechnical Aspects of Kansai International
Airport, , 77-85.
Mimura, M. and Jeon, B.G. 2011. Numerical Assessment for the
Behavior of the Pleistocene Marine Foundations Due to
Construction of the 1st Phase Island of Kansai International Airport,
Soils and Foundations, 51(6), 1115-1128.
Mimura, M., Takeda, K., Yamamoto, K., Fujiwara, T. and Jang, W.Y.
2003. Long-term settlement of the reclaimed quasioverconsolidated Pleistocene clay deposits in Osaka Bay, Soils and
Foundations 43(6), 141-153.
Assessment of Scour Potential of a Circular Pier in Silty Sand Using ISEEP

Caractrisation par ISEEP du potentiel d'rosion d'une pile circulaire dans un sable silteux
Kayser M., Gabr M.
Department of Civil, Construction and Environmental Engineering
North Carolina State University, Box 7908, Stinson Drive, Raleigh, NC 27695-7908; PH. (919)515-7904;
ABSTRACT: Work in this paper describes an approach for the assessment of soil scour potential through the use of an In Situ
Erosion Evaluation Probe (ISEEP) that is advanced by water jetting. Soil erosion parameters are assessed for silty sand in terms
of critical stream power, and therefore, critical shear stress, and detachment rate coefficient. Scour depth around a circular bridge
pier was computed using ISEEP data and compared with an empirical approach available in literature for estimating scour depth
in soil similar to the tested in the study. The application of the idea and the utility of this technique to assess scourability profile
are presented and discussed.
RSUM: Le travail prsent dans cet article dcrit une approche pour lvaluation du risque d'affouillement dun sol in situ en
utilisant une sonde drosion quipe de jet deau. Les paramtres drosion sont valus pour les sables limoneux en fonction
dune puissance critique et par consquent en termes dune contrainte de cisaillement critique et dun coefficient exprimant le
taux de dtachement. La profondeur daffouillement autour dune pile de pont a t calcule en utilisant les donnes issues de la
sonde. Elle a t compare celle issue de lapproche empirique pour un sol similaire au sol tudi. Lapplicabilit de lapproche
propose et son utilit pour lvaluation du profil drodabilit sont prsentes et discutes.
KEYWORDS: Bridges, Erosion, Foundation, In Situ, Pier, Probe, Scour, Shear, Soil
1
INTRODUCTION
The assessment of scour and erosion rates of soil profiles

supporting hydraulic structures and critical bridges is vital for
ensuring safe performance under normal flow conditions, as
well as the integrity of their foundation systems during and
after severe storms. Richardson and Davis (2001) highlighted
the importance of assessment of local scour around bridge
piers as it is one of the most common causes of bridge
failure. Several approaches ranging from simple steel
sounding rods to remote sensing have been developed to
assess scour depth after it has occurred. As presented by Lu
et al. (2008) the more sophisticated approaches, including
acoustic doppler and ground penetrations radars, have a high
cost and require frequent maintenance and repair. Even then,
these approaches do not provide an estimate of scour under
future storm events. Current techniques for providing such
information require either the removal of soil samples for
laboratory testing, in a device such as the Erosion Function
Apparatus (EFA) by Briaud et al. (2001), or limiting the
measurements to erodibility of the surface sediments.
Gabr et al. (2012) presented a prototype device, termed
ISEEP (In Situ Erosion Evaluation Probe), for assessment of
scour parameters with depth. ISEEP has been constructed as
simple stainless steel tubes fitted with truncated cone tip. The
cone-tipped vertical probe is attached to a digitally controlled
centrifugal pump that provides controllable and repeatable
water velocity at the tip, with sustained flow rate against any
induced back pressure. As the water jet is induced through
the cone tip, it mobilizes the soil particles. The test data are
analyzed using the stream power (bed shear stress multiplied
by the flow velocity) concept proposed by Annandale (2006)
to account for the nature of the flow conditions induced
during testing. The results from the tests are reduced to
provide critical shear stress (c) and a rate of scour per unit
shear stress (kd). These two values are used in conjunction

with the applied shear stresses (applied) per a given flow type
and as appropriate to the structure being analyzed, to
compute the scour rate (E) using the excess shear model as
follows (Annandale 2006):
E = k d ( applied - c )
(1)
In this study, experimental work and analyses are

conducted, using ISEEP-estimated data, for evaluating
erosion parameters for a soil with 15% clay and 85% sand.
The soil is classified as silty sand according to the Unified
Soil Classification System. Tests are performed with
different jet velocities and critical stream power value (Pc)
and the corresponding c, and kd are evaluated using the data
reduction scheme proposed by Gabr et al. (2012). An
example showing the computation of the scour depth around
a bridge pier using ISEEP-estimated data is presented. The
results are compared with values obtained using empirical
equations reported in literature, and the estimated scour depth
using both approaches is presented and discussed.
2
BRIDGE PIER SCOUR
The magnitude and geometry of local scour at bridge piers in

soil profiles with percent fines content have been
documented in literature (e.g. Hosny 1995, Molinas and
Hosny 1999, Briaud et al. 1999, 2001, and 2004). Hosny
(1995), and Molinas and Hosny (1999) proposed empirical
equations to assess scour depth for saturated and unsaturated
compacted soil with a percent fines that lends a degree of
cohesion to the soil. They reported that the scour depth
decreased as compaction density was increased for the
unsaturated cohesive soil conditions, and scour depth
563
decreased with the decrease of the initial water content for

the saturated cohesive soil. Briaud et al. (1999, 2001 and
2004) presented a method termed SRICOS for predicting
scour in cohesive soils, with such an approach being the
most comprehensive to date in literature.
Scouring experiments around cylinders using clay
sand mixtures were carried out by Hosny (1995), Ansari et al.
(2002), and Debnath and Chaudhuri (2010a, 2010b), among
others, with fines fraction in the range of 0.050.4, 0.10.6,
0.21.0 and 0.050.35, respectively. Hosny (1995), and
Debnath and Chaudhuri (2010a, 2010b) concluded that
maximum scour depth decreases with the increase of fines
content whereas Ansari et al. (2002) indicated that the
maximum equilibrium scour depth in sediments with fine

contents could be higher than that of non-cohesive sediments
under similar experimental conditions. Perhaps one reason
for the difference in conclusions is attributed to the nature of
fine being used in the study. In Ansari et al.s (2002) study,
the soil is reported as having zero Plasticity Index (PI). Table
1 shows several empirical equations to estimate scour depth,
with the corresponding fines fraction and Froude number
range for their applicability. The equations proposed by
Hosny (1995), and Debnath and Chaudhuri (2010a, 2010b)
are only applicable for a rather narrow Froude number (i.e.
0.13 0.33) range, in comparison to Ansari et al.s (2002)
range.
Table 1. Empirical Equations for Estimating Scour Around Bridge Piers for Soils with Fine Contents
Reference
Equation
Conditions
Hosny (1995)
ds/b =18.9(Fr/(1+C))2
C 0.4 and
0.18 Fr 0.33
Ansari et al.
(2002)
dsmc/dsms = 1.51(C*/*)0.2
Debnath and
Chaudhuri (2010b)
ds/b = 8.2Fr
0.79
-0.28
(IWC)
PI = 0 and
0.16 Fr 0.69
0.15
2 -0.38
(s/V )
0.13 Fr 0.20,
W.C. 0.4, C 0.4
and 0.78
1.65
Comment
b = pier diameter, Fr = Froude number = V/(gd)0.5, V =
approach flow velocity, g = gravitational acceleration,
d = depth of flow and C = clay fraction.
dsmc = maximum scour depth for cohesive sediments,
dsms = maximum scour depth for cohesionless sediments
(estimated using equation proposed by Kothyari et al.
(1992)), C* = [%Pc. Cu] / [(s-w).da], * = [%Pc . tan c
+ (1 %Pc) * tan s] / tan s, %Pc = percentage of clay
content, Cu = undrained shear strength of soil, s = unit
weight of soil, w = unit weight of water, da = arithmetic
mean diameter, c = angle of internal friction for clay
and s = angle of internal friction for sand.
C = clay fraction, IWC = initial water content, s = bed
shear strength, = density of water, = V/Vcs, Vcs is
critical threshold velocity for sand and V = approach
flow velocity.
EXPERIMENTAL PROGRAM
Testing was conducted in a circular chamber with a diameter

of 1.0 m (3.3 ft) and a depth of 1.0 m (3.3 ft). Two 1.5 m long
probe sections, with the bottom section fitted with 19 mm
truncated tip, were used for testing. Figure 1 shows the probe
set up prior to testing.
3.1 Test Soil
The test soil was composed of 15% fine grained particles and
85% sand by dry weight. Percent dispersion of the fine
grained fraction was estimated by performing Double
Hydrometer test. Percent dispersion is the ratio of the dry
mass of particles smaller than 0.005 mm diameter, without a
chemical dispersant, to the same type of data from the
hydrometer test but with a chemical dispersant, expressed as
a percentage. A dispersion value higher than 50% was
obtained for the fine grained soil, and therefore the fine
fraction is classified as dispersive. The sand and the fine soil
components were mixed thoroughly with an electrical mixer,
in a drum, until a uniform mix was obtained. The mixing
process was repeated after the soil was transferred to the test
chamber (shown in Figure 1).
564
Figure 1. Photograph of the Probe

Set Up in the Chamber Prior to
Testing
The chamber was filled up to 1m mark with the silty sand

soil and approximately 0.45 kN weight was applied on the
top, to induce consolidation, for a week. Several specimens
were then retrieved for physical characterization of the test
soil. Initial water content of the mixture ranged of 18% 23%. The results from the particle size analysis for three
types of soils are shown in Figure 2, with the test soil
designated as Silty Sand (all soils have been designated
according to Unified Soil Classification System). Table 2
shows the physical and strength properties of the test soil,
with the undrained strength estimated using the Fall Cone
test.
Percent Passing
which no scour is assumed to take place is estimated using

the equation proposed by Briaud et al. (1999):
100
90
80
70
60
50
40
30
20
10
0
Poorly
Graded Sand
max 0.094 V 2 (
Sandy Clay
where, is water density, Re = VD/ is Reynolds number, V

is depth average flow velocity at the location of the pier if the
bridge were not there, D is pier diameter and is kinematic
viscosity of water. In this case, assuming a pier diameter of 1
m and a depth of flow= 2 m, the critical shear stress value is
estimated equal to 1.75 Pa.
Silty Sand
10
1
0.1
0.01
Particle Size (mm)
0.001
Figure 4 shows the equivalent penetration rate per shear

stress function for the averaged test data. During testing, the
probe tip is in close proximity of the soil mass, and erosion
occurs within the jet potential core. The applied shear stress
in this case is estimated using the relationship presented by
Annandale (2006) as:
Figure 2. Grain Size Distribution of Test Soil: Silty

Sand
Table 2. Properties of the Test Soil
Dry unit
weight
(kN/m3) =
17.7
Mean Particle
Diameter, D50
(mm) = 0.26
Undrained Shear
Strength, Cu (kPa)
=5-8
PI=
NonPlastic
C f U 2
Figure 3 shows the results from the testing using four

different run times. Based on the results from previous
testing in a sand pit, Gabr et al. (2012) evaluated a critical
stream power (Pc) value = 24 Watts/m2 for a sand with D50 =
0.30 mm. Using a similar technique of extrapolation
approach, the data in Figure 3 is extrapolated to zero
penetration rate to yield an average Pc value of 16 Watts/m2
for the test soil. Similar to the observation by Gabr et al.
(2012), a minimum of 45 sec run time is needed to provide
a reliable measurement of the penetration rate. To calculate
critical shear velocity from the Pc, the following equation is
used (Annandale, 2006):
(2)
Figure 4. Computed Scour Around Circular Bridge Pier on Silty

Sand Bed; Range between Arrows is Values Estimated using
Empirical Equation .
Penetration rate (cm/s)
where, is unit weight of water, q is the discharge per unit

area, and h is the hydraulic head including the jet velocity
head.
3.5
3
2.5
2
1.5
1
0.5
0
Run time = 15s

Run time = 30s
Run time = 45s
Run time = 60s
10
(4)
where: = applied shear stress to bed in N/m2, U = average

velocity of water at the tip (m/s), = density (kg/m3), and Cf
is a friction coefficient = 0.016 according to Annandale
(2006).
TEST DATA INTERPRETATION
Pc qh
1
1
)
log Re 10
100
Stream Power (Watts/m2)
Figure 3. Extrapolation of the Stream Power to Assess

Critical Stream Power Value (Pc)
Using Equation 2, a critical velocity is back calculated as

0.32 m/s corresponding to a critical stream power value of 16
Watts/m2. As flow field changes around the pier, and
therefore the flow-related shear stress, the shear stress below
The slope of the data for the 45 and 60 secs in Figure 3

provides a parameter equivalent to the detachment rate
coefficient (kd) proposed by Mehta (1991). The kd values of
0.017 cm/sec per N/m2 and 0.015 cm/sec per N/m2 are
estimated, respectively, for the test soil at run times of 45 and
60 seconds. In comparison, kd values of 0.017 cm/sec per
N/m2 and 0.013 cm/sec per N/m2 were observed respectively
for sand at run times of 45 and 60 seconds by Gabr et al
(2012). The Kd value obtained at 60 sec for the test soil is
approximately 13% higher than the value obtained for sand.
This observation agrees with the conclusion made by Ansari
et al. (2002), where the authors indicated that in a lower fines
content (<20%) type of soil, non-plastic fine particles are
carried away as the resistance due to cohesion becomes
insignificant.
5
SCOUR AROUND BRIDGE PIERS
Local scour around bridge piers occurs due to induced shear

stresses associated with flow field changes. Ettema et al.
565
(2011) indicated that the estimation of time-dependent clear

water scour magnitude at bridge piers remains a challenge
during the limited duration of excessive flow as, for example,
in the case of a storm surge. Equation 3 proposed by Briaud
et al. (1999) provides an estimate of the max as a function of
the flow velocity at a round pier. However, in order to assess
the scour depth with time using ISEEP data, a reduction in
max with the progression of scour depth is needed. While a
significant number of studies have been performed for the
assessment of maximum scour at piers, these approaches
were not specifically concerned with evolution of shear
stresses with time and flow field. Data presented by Briaud
et al. (1999) indicated a nearly linear relationship between
the tmax and scour depth) /d (pier diameter), where tis
the shear stress with the progression of scour depth with a
minimum value of critical. An iterative approach is used to
estimate tsince the maximum depth of scour is not known
apriori.
The scour depth around a bridge pier is estimated for a
flow velocity range of 1.0 m/s to 2.0 m/s (Froude number
0.23 to 0.45) with a pier diameter of 1 m and a depth of flow
= 2 m. The computations are performed based on the ISEEP
data and compared with the values from the empirical
equation by Ansari et al. (2002), as the conditions for Ansari
et al. (2002) empirical equation are in agreement with the
percent fines in the test soil. Figure 4 shows scour depth,
normalized with respect to the pier diameter ratio, versus
time for different flow velocities. The scour depth from the
equation by Ansari et al. (2002) is within 4.6-8 D (D = pier
diameter) for a flow velocity range of 1.0 m/s to 2.0 m/s,
which is higher than values estimated using the ISEEP data.
A reason for the deviation can be attributed to the fact that
the maximum shear stress equation developed by Briaud et
al. (1999) was for clay, while the soil in this study is 85%
sand. Furthermore, the application of Ansari et al. (2002)
approach required the definition of the scour level in sand
first which can widely vary depending on the parameters
assumed.
6
The ISEEP approach developed by Gabr et al. (2012) was

used to provide parameters for evaluating scour potential
with time in a 15%-85% silty sand mixed bed. Soil erosion
parameters included critical shear stress and detachment rate
coefficient. Higher detachment rate was obtained for the silty
sand than the sand soil. Application of the ISEEP data to
assess magnitude of scour with time for a circular bridge pier
indicated a scour depth on the order of 1-6 m versus 4.6-8 m
estimated by an empirical equation in literature. The
difference in results is attributed to the difference in the
approach for scour computation and the limitations of
estimating the evolution of shear stresses with time and flow
field. In this case, the applicability of the empirical equation
was somewhat limited since the testing conditions deviated in
terms of soil type and moisture conditions.
7
ACKNOWLEDGEMENTS
This work is supported by the US Department of Homeland

Security under Award Number: 2008-ST-061-ND 0001. The
566
views and conclusions contained in this document are those

of the authors and should not be interpreted as necessarily
representing the official policies, either expressed or implied,
of the U.S. Department of Homeland Security.
8
REFERENCES
Annandale, G. W. and Parkhill, D. L. 1995. Stream Bank Erosion:

Application of the Erodibility Index Method. Proceedings of
International Water Resources Engineering Conference, 2,
1570-1574.
Annandale, G.W. 2006. Scour Technology: Mechanics and Practice.
McGraw Hill, New York.
Ansari, S.A., Kothyari, U.C. and Ranga Raju, K.G. 2002. Influence
of Cohesion on Scour around Bridge Piers. Journal of
Hydraulic Research, 40 (6), 717729.
Briaud, J.-L, Ting, F. C. K., Chen, H. C., Gudavalli, R., Perugu, S.
and Wei, G. 1999. SRICOS: Prediction of Scour Rate in
Cohesive Soils at Bridge Piers. Journal of Geotechnical and
Geoenvironmental Engineering, 125 (4), 237246.
Briaud, J.-L., Ting, F.C.K., Chen, H.C., Cao, Y., Han, S.-W. and
Kawk, K. 2001. Erosion Function Apparatus for Scour Rate
Predictions. Journal of Geotechnical and Geoenvironmental
Engineering, 127 (2), 105-113.
Briaud J.-L., Chen, H.-C., Li, Y., Nurtjahyo, P., Wang, J. 2004. The
SRICOS-EFA method for complex piers in fine grained
soils, Journal of Geotechnical and Geoenvironmental
Engineering, ASCE, Vol 130, No. 11, p1180-1191.
Debnath, K. and Chaudhuri, S. 2010a. Laboratory Experiments on
Local Scour Around Cylinder for Clay and ClaySand Mixed
Beds. Engineering Geology, 111, 5161.
Debnath, K. and Chaudhuri, S. 2010b. Bridge Pier Scour in ClaySand Mixed Sediments at Near-Threshold for Sand. Journal of
Hydraulic Engineering, 136(9), 597-609.
Ettema, R., Constantinescu, G. and Melville, B. 2011. Evaluation of
Bridge Scour Research: Pier Scour Processes and Predictions ,
Contractors Final Report for NCHRP Project 24-27(01),
National Cooperative Highway Research Program, March
2011, 181.
Gabr, M., Caruso, C., Key, A. and Kayser, M. 2012. Assessment of
In Situ Scour Profile in Sand Using a Jet Probe. Journal article
accepted in ASTM Geotechnical Testing Journal, In Press.
Hanson, G. J. and Cook, K. R. 2004. Apparatus, Test Procedures,
and Analytical Methods to Measure Soil Erodibility In Situ.
Applied Engineering in Agriculture, Vol. 20, No. 4, 455-462.
Hosny 1995. Experimental Study of Scour around Circular Piers in
Cohesive Soils. Ph.D. Dissertation, Colorado State University.
Kothyari, U.C., Garde, R.J. and Ranga Raju, K.G. 1992. Temporal
variation of scour around circular bridge piers. Journal of
Hydraulic Engineering, 118(8), 1091-1105.
Lu, J-Y., Hong, J-H., Su, C-C., Wang, C-Y. and Lai, J-S. 2008. Field
Measurements and Simulation of Bridge Scour Depth
Variations during Floods. Journal of Hydraulic Engineering,
134(6), 810-821.
Mehta, A. J. 1991. Review Notes on Cohesive Sediment Erosion. In:
N.C. Kraus, K.J. Gingerich, and D.L. Kriebel, (eds.), Coastal
sediment 91, Proceedings of Specialty Conference on
Quantitative Approaches to Coastal Sediment Processes,
ASCE; pp.40 53.
Molinas, A. and Hosny, M. 1999. Experimental Study on Scour
around Circular Piers in Cohesive Soil. Publication No.
FHWA-RD- 99-186, Federal Highway Administration, U.S.
Department of Transportation, McLean, VA.
Richardson, E.V., and Davis, S.R., 2001, Evaluating Scour at
Bridges (4th ed.), Federal Highway Administration Hydraulic
Engineering Circular No. 18, FHWA NHI 01-001.
Practical Reviews on CO2 Sequestration in Korean Sedimentary Basins and

Geophysical Responses of CO2-injected Sediments
Le comportement pratiques sur la squestration du CO2 dans les bassins sdimentaires corens et
responses gophysiques de CO2 injectes sdiments
Kim A.R., Cho G.C.
Department of Civil and Environmental Engineering, KAIST, Korea
Kwon T.H.
Department of Civil and Environmental Engineering, Washington State University, USA
Chang I.H.
Geotechnical Engineering Research Division, Korea Institute of Construction Technology, KICT, Korea, Co.
ABSTRACT: Geological CO2 sequestration is an effective means of reducing the emission of carbon dioxide. The Korean
government aims to reduce CO2 emissions by 30% comparing to the usual amounts of emissions by 2020. It is expected that
geological CO2 storage technology will account for more than 10% of the reduction of CO2 emissions. The forward strategies and
technologies of CO2 sequestration in Korea need to be determined depending on the geological conditions of potential sites in Korea;
moreover, the geophysical characteristics of CO2 and the reservoirs depend on the geological conditions. However, previous domestic
studies related to geological conditions and the geophysical behavior of Korean sedimentary basins are rare thus far, with only a few
studies focusing on numerical modeling. This study aims to review the geological characteristics of CO2 storage projects around the
world and in Korea while also discussing the suitability for CO2 sequestration. Moreover, a laboratory approach simulating an in-situ
high effective stress condition with silty sand from the Bukpyeong basin is attempted in an effort to determine the geophysical
behaviors. This study offers an improved understanding of the possibility and potential of CO2 sequestration in Korea.
RSUM : La squestration gologique du CO2 est un moyen efficace de rduire les missions de dioxyde de carbone. Le
gouvernement coren a pour objectif de rduire les missions de CO2 de 30 % lchance de 2020. Il est prvu que la technologie
gologique de stockage de CO2 reprsentera plus de 10% de la rduction des missions de CO2. Les stratgies futures et les
technologies de squestration du CO2 en Core doivent tre dtermines en fonction des conditions gologiques des sites potentiels en
Core, d'ailleurs, les caractristiques gophysiques de CO2 et les rservoirs dpendent des conditions gologiques. Toutefois, les
prcdentes tudes nationales relatives aux conditions gologiques et gophysiques sur le comportement des bassins sdimentaires de
la Core sont rares ce jour, avec seulement quelques tudes mettant l'accent sur la modlisation numrique. Cette tude vise
examiner les caractristiques gologiques des projets de stockage de CO2 dans le monde et en Core tout en discutant de leur
pertinence pour la squestration du CO2. En outre, une approche de laboratoire simulant un tat in situ haute contrainte effective
avec du sable limoneux du bassin Bukpyeong est tente dans le but de dterminer les comportements gophysiques. Cette tude
amliore la comprhension et la possibilit ainsi que le potentiel de squestration du CO2 en Core.
KEYWORDS: CO2 sequestration, korean marine sediment, geological condition, geophysical behavior
1
INTRODUCTION
Recently, several methods have been proposed to mitigate

carbon dioxide (CO2) emissions and to decrease the atmospheric
concentration of CO2, including material recycling, the usage of
renewable energy, and nuclear fusion. Among these, carbon
capture and storage (CCS) strategies are considered as effective
methods of reducing the atmospheric concentration of CO2 in a
relatively short time at a low cost compared to other
technologies (Espinoza et al. 2011; Pires et al. 2011). In light of
this, approximately 40 CCS projects (including pilot-tocommercial scale applications) are in the planning or
operational stages around the world (Hosa et al. 2010).
It has been reported that the increasing rate of CO2 emissions
in South Korea is the highest among OECD member countries,
making Korea the seventh largest CO2 emitting nation in the
world (BP 2011). Since 1999, the atmospheric concentration of
CO2 in Korea has always been higher than the global average
(Figure 1). The Korean government plans to reduce its CO2
emissions by 30% compared to the current business as usual
(BAU) value by 2020 (i.e., about 244 Mton/yr; Presidential
Committee on Green Growth, 2011). It is prospected that
geological CO2 storage technology will account for more than
10% of global CO2 emissions (approximately 25 Mton/yr). As a
part of this effort, pilot (10000 tons of CO2) and demonstration
(100000 tons of CO2) scale CO2 sequestration projects, capable
of storing more than 1 Mton of CO2 in total, are currently
planned and being conducted with commercial considerations in
567
Korea (Presidential Committee on Green Growth 2011). This

effort mostly relies on existing geologic data and resources that
were gathered during oil explorations and drilling projects.
However, the current geologic information on onshore and
offshore deep subsurface areas of Korea is insufficient.
Comprehensive geological exploration and database
construction activities are critical for characterizing, selecting,
or at least screening potential storage sites for CO2
sequestration.
Figure 1. Atmospheric concentration of CO2 of the world and in Korea.

Data were gathered from Climate Change Information Center
(www.climate.go.kr) and National Oceanic and Atmospheric
Administration (www.noaa.gov).
Proper strategies and technologies for storing CO2 in

geologic formations must be determined with deep
consideration of the geological conditions of the potential sites.
Geological conditions (e.g., the pressure, geothermal gradient,
geology, geochemical characteristics, and mineralogy) govern
the interpretation of the geophysical responses of CO2-storage
reservoirs. Therefore, a fundamental understanding of the
geophysical responses of CO2-containing sediments in Korean
sedimentary basins is required. However, while a few studies
have been conducted on numerical reservoir modeling, there
have been few efforts to examine the geological suitability for
CO2 storage and on geophysical characterizations of Korean
sedimentary basins to date.
This study provides a review and discussion of the
geological conditions and suitability of the potential CO2
storage sites in Korea as well as CO2 storage sites around the
world. Moreover, laboratory experiment results on the P-wave
velocity and the electrical responses of CO2-injected sediments
are presented, in which high in-situ effective stress conditions
were simulated on natural samples cored from the eastern
Bukpyeong basin, which is one of the candidate sites for
geologic CO2 storage.
2 SITE CHARACTERIZATION FOR CO2
SEQUESTRATION
2.1
Site-dependent strategies
CO2 can be stored in various geological formations, such as

(1) deep saline formations, (2) coal beds, (3) depleted oil and
gas fields, and (4) oil and gas reservoirs during enhanced oil and
gas recovery efforts (EOR and EGR). Coal beds absorb and
contain gaseous CO2 in micro-pores in coal. However, the
temperature and pressure effects on the CO2 trapping process in
coals are not well understood (Larsen, 2003). CO2 storage in
depleted oil and gas fields or the use of CO2 for EOR (or EGR)
have been proven as effective GCS methods due to the
geological suitability for CO2 storage, the existence of
geophysical and geological data, and the ready-made
infrastructure used for oil and gas production. However, several
problems remain poorly identified, including well plugging,
leakage induced by the overpressure of pore fluids, and the
injection depth. Deep saline formation is the most promising
method for safe and effective CO2 storage due to its vast
capacity. The potential storage capacity of deep saline
formation is expected to be at least 1000 GtCO2, which is
approximately 200 to 300 times higher than the potential
storage offered by oil or gas fields and coal seams (IPCC,
2005). In particular, sedimentary basins that have permeable
formations (e.g., sandstone) with overlying low-permeable seals
(caprocks) are effective for both CO2 injection and CO2 leakage
prevention. The target depth is deeper than 1000 meters below
the ground surface.
2.2
Selected sites for CO2 sequestration in America, Europe,

and Asia
There are more than 800 sedimentary basins around the

world (St John et al., 1984). Approximately 40 CO2 storage
projects are under operation or in planning in North America,
Europe, Australia, and Asia. Among them, ten onshore projects
in the USA and two onshore projects in Canada are being
conducted. Two onshore projects and three offshore projects in
Europe are being undertaken, and two demo onshore projects in
Japan are being tested (Hosa et al., 2010). Additionally, other
potential sedimentary basins have been investigated and
proposed for pilot-scale testing. For instance, the Alberta basin
in Canada, where natural hydrocarbon resources had been
found, was evaluated to be the most suitable basin in Canada
owing to the existence of adjacent infrastructure (Bachu, 2003).
The offshore Gippsland basin in Australia is considered as an
effective target for CO2 storage due to its complex stratigraphy,
568
high injectivity, low-permeable marginal reservoir, the

existence of several depleted oil fields, and its long migration
pathways (Gibson-Poole et al., 2008). In China, an ECBM
(enhanced coalbed methane recovery) pilot test and a singlewell micro-pilot test were successfully performed at the South
Qinshui basin (Wong et al., 2010).
One of the most well-known CO2 storage attempts is the
Sleipner project, targeting the Utsira Sand formation, which was
launched in 1996. It was the first commercial-scale project to
store CO2 in a saline formation. The geologic condition of this
site is a brine-saturated sandstone layer (250 m thick) with an
overlying thin shale cap layer. Its storage capacity is expected to
be 25 MtCO2 (Hosa et al., 2010). The Nagaoka project at
Nagaoka City, Japan, was the first pilot-scale attempt in Asia. In
this pilot-scale test, CO2 was injected into a Haizume-formation
sandstone layer. The injection efficiency differs between the
two formations (e.g., the Utsira Sand formation and the
Haizume formation). In detail, the Utsira Sand formation (2800
tons/day) has a storage capacity of approximately 70 times that
of the Haizume formation (a maximum 40 tons/day), as the
permeability of the Haizume formation (i.e., 6 mD) is much
lower than that of the Utsira Sand formation (i.e., 5 D) (Hosa et
al., 2010) though both formations have relatively high porosities
(37% for the Utsira formation and 22.5% for the Haizume
formation) and similar injection depths (about 10001100 m).
Therefore, it can be tentatively concluded that the permeability
is a major controlling parameter for CO2 injectivity rather than
the porosity or injection depth.
2.3
Geologic characteristics of sedimentary basins in Korea
There are several potential geologic formations for GCS on

the Korean Peninsula. The porosity, storage capacity, and
geologic characteristics of those proposed sites are listed in
Table 1. However, the geological information of offshore basins
is still poorly identified due to insufficient exploration.
Table 1. Porosity and storage capacity of potential Korean geological
storage sites
Porosity
Storage Capacity
Geologic
(%)
(Mton)
Characterstics
Bukpyeong
N.A.
8771
Saline aquifer
Ulleung
10.62
3,0182
EGR
Jeju
15.72
95,1012
Saline aquifer
Gunsan
102
2542
Saline aquifer
Heuksan
N.A.
N.A.
Saline aquifer
Pohang
N.A.
382
Saline aquifer
1
The values are from Kim et al. (2011) and 2MEST (2008).
Basin
Korean offshore sedimentary basins have thickness ranges

from 3 km to 10 km (MEST, 2008). The vast coverage area and
high porosity of Korean offshore sedimentary basins are
expected to show that these have larger storage capacities than
onshore basins. Moreover, Korean offshore sedimentary basins
show geologically structural similarity with natural hydrocarbon
reservoirs, which indicates good suitability for GCS. For an
example, the Gunsan basin and the Jeju basin show high
potential for GCS because the geologic structures are similar to
natural hydrocarbon reservoirs in analogous Chinese basins
(Hong et al., 2005). The Ulleung basin contains natural gas
deposits and is located more than 1000 m below the sea level.
Thus, structural trapping may be feasible (Hong et al., 2005).
To evaluate the storage and economic efficiencies of
sedimentary basins in Korea, a systematic and quantitative
evaluation method (Bachu 2003) was employed in this study.
Fifteen criteria (e.g., geological characteristics, basin resources,
maturity, and infrastructure, among others) are considered with
weight factors to assess the suitability (Table 2). Bachus (2003)
method classifies the proposed sites with dimensionless values
between 0 and 1. The value can be used as a decision criterion
for assessing the suitability of the proposed sedimentary basins

for geological sequestration and for comparing it with basins in
other countries in which pilot- and commercial-scale projects
are already underway.
Table 2. Scores and weight assigned to the criteria and classes for
assessing sedimentary basin in terms of their suitability for CO2
sequestration in geological media (Bachu, 2003)
Scores
Weight
Criterion
j=1
j=2
j=3
j=4
j=5
Tectonic setting
1
3
7
15
15
0.07
Size
1
3
5
9
0.06
Depth
1
3
5
0.07
Geology
1
3
7
0.08
Hydrogeology
1
3
7
0.08
Geothermal
1
3
7
0.10
Hydrocarbon potential
1
3
7
13
21
0.06
Maturity
1
2
4
10
0.08
Coals and CBM
1
2
5
0.04
Salts
1
2
3
0.01
On/offshore
1
4
10
0.10
Climate
1
2
4
7
11
0.08
Accessibility
1
3
6
10
0.03
Infrastructure
1
3
7
10
0.05
CO2 Sources
1
3
7
15
0.09
3 GEOPHYSICAL RESPONSES OF CO2-CONTAINING

SEDIMENTS
While CO2 leakage from CO2 stored sites could cause
serious environmental problems, geophysical survey techniques
are viable methods to detect CO2 leakage and to identify CO2
movement. Therefore, understanding the geophysical responses
of Korean sediments during CO2 injection and storage is
important to ensure safety.
The most widely used geophysical methods are seismic
surveys using P-waves and electrical resistivity surveys
(Nakatsuka et al., 2010). In particular, feasibility of P-wave
surveys for the detection of CO2 has been examined in
laboratory tests (Shi et al., 2007; Siggins et al., 2010; Xue and
Lei, 2006). Also, it is well known that CO2-containing
formations have less stiffness than brine-saturated formations
do (Daley et al., 2008; Lazaratos and Marion, 1997; Mito and
Xue, 2011). Because the physical properties of unconsolidated
sediments are significantly affected by the effective stress as
well as the formation characteristics, achieving an in-situ
effective stress condition is critical to obtain reliable physical
properties of CO2-containing sediments, though this may not be
the case for cemented porous media. This section presents the
geophysical responses of sediments in which an in-situ effective
stress condition of the potential CO2 storage sites was achieved.
3.1
The evaluation results are summarized in Figure 2. Among

other sites, the Ulleung basin was evaluated to be the most
suitable site for geologic CO2 storage in Korea due to the
presence of nearby infrastructure as constructed for natural gas
recovery.
1
The sediment sampled from the Bukpyeong basin (located

on the east coast of Korea; see Table 1) was used in this study.
The silty sand sample was compacted into a rigid-walled vessel
and was saturated with water. Vertical in-situ effective stress of
15 MPa was then applied. The final porosity resulting from the
applied stress condition was estimated to be 49%.
Table 3. Properties of test specimen
property
Soil type
Specific
(USCS)
gravity
specimen
Silty sand
2.73
0.8
Score
Experimental study
0.6
Permeability
(cm/s)
4.2*10-5
D50
(mm)
0.15
0.4
0.2
0
Figure 2. Scores for suitability for of Korean sedimentary basins.
However, the proposed sites in Korea are less feasible for

geologic CO2 storage compared to the basins in Canada and
Australia. Specifically, the Korean basins show low scores on
the following criteria: size, hydrocarbon potential, maturity, and
infrastructure. Most Korean sedimentary basins, except the
Ulleung basin, are estimated to be of a small-to-medium size,
whereas the Otway and Gippsland basins in Australia are
categorized as large and the Alberta and Williston basins in
Canada are known to be large to giant in size. Moreover, a lack
of boring studies and geophysical exploration exacerbate the
problems of low maturity and insufficient infrastructure. Thus,
more data acquisition and exploration are required to enhance
the reliability of numerical modeling and simulations for the
first Korean pilot project. Additionally, a new alternative
approach involving the use of deep saline formations should be
considered for safe and economic CO2 sequestration in Korea
with consideration of the geological characteristics of Korean
basins and their limitations as regards CO2 injection.
569
The test was performed on saturated silty sand under a

supercritical temperature condition (35C) under the effective
stress (15 MPa). The pore water pressure was maintained at 8
MPa using a back pressure regulator. The specimen was then
flooded with supercritical CO2. After a pre-determined amount
of CO2 was injected into a water-saturated sample, the
geophysical responses (P-wave velocity VP and electrical
resistivity) were measured and the amount of injected CO2 was
estimated by measuring the amount of water expelled from the
vessel.
3.2
Results and analysis
The total amount of water expelled by weight was 29.86 g;

thus, approximately 30% of the pore water was displaced with
supercritical CO2, indicating that the CO2 saturation rate was
~30%. The density and solubility of CO2 at the target
temperature and pressure are 591.85 kg/m3 (NIST) and 1.35
mol/kg of water (Duan and Sun 2003), respectively.
Accordingly, the total calculated amount of injected CO2 was
17.29 g.
Figure 3 shows the decrease in VP during the CO2 injection
process. The decrement range is relatively low compared to preexisting studies (Shi et al. 2007; Siggins et al. 2010). This can
be explained by the fact that the CO2 injectivity in sandy soil
specimens is lower than that in sandstone. The electrical
resistivity increased rapidly as CO2 was introduced. The
convergence of the electrical resistivity indicates a fully
saturated condition in which no more CO2 can be injected (see
Figure 4). The overall results show that CO2 can be detected by
measuring the geophysical properties; however, the injected
amounts and readings of the movement of CO2 are not highly

precise.
P-wave velocity (m/s)
1730
1728
1726
1724
1722
1720
0
50
150
100
Time (min)
Figure 3. The effect on the P-wave velocity of the sediment during CO2
injection.
Electrical Resistivity ()
86
84
82
80
0
100
200
300
400
500
600
700
Time (sec)
Figure 4. The electrical resistivity of the sediment during CO2 injection.
CONCLUSION
The presented study explores practical reviews on Korean

marine sediments for CO2 sequestration in relation to geological
and geotechnical considerations. The geological conditions of
off-shore sedimentary basins in Korea were investigated, and
the suitability of the basins for CO2 storage were evaluated. The
Ulleung basin were found to be the most suitable site for GCS,
although their scores were lower than the scores of some basins
where CO2 storage is currently undergoing or pilot-tested in
Canada and Australia. Geophysical behavior of CO2-storing
sediments is available for field application to monitor CO2
movements and leakages. A laboratory scale experiment
simulating the in-situ condition for measuring geophysical
properties, and the results showed that CO2 can be detected by
measuring geophysical properties but further study is required
to exact understanding geophysical behavior of CO2-storing
Korean marine sediments.
5
ACKNOWLEDGEMENTS
This research was supported by a grant from the Korea Electric

Power Corporation (KEPCO) and by the Block Funding Project
(GP2012-030) of Korea Institute of Geoscience and Mineral
Resources (KIGAM) transferred from the Energy Efficiency &
Resources Program of the Korea Institute of Energy Technology
Evaluation and Planning (KETEP) grant, funded by the
Ministry of Knowledge Economy, Republic of Korea.
6
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Using Multi-scale Sediment Monitoring Techniques to Evaluate Remediation

Effectiveness of the Tsengwen Reservoir Watershed after Sediment Disasters
Induced by Typhoon Morakot
Lin B.-S., Ho H.-C., Hsiao C.-Y., Keck J., Chen C.-Y., Chi S.-Y.
Disaster Prevention Technology Research Center, Sinotech Engineering Consultants, Taiwan
Chien Y.-D., Tsai M.-F.

Soil and Water Conservation Bureau, Council of Agriculture, Taiwan
ABSTRACT: The 2009 typhoon Morakot dumped more than 3,005 mm of rain in mountain areas of the Tsengwen reservoir
watershed and caused unprecedented landslide and sediment-related disasters. Subsequently, the storage capacity of the Tsengwen
reservoir was drastically reduced. In order to increase the longevity of the reservoir and also protect ecosystems and the peoples living
in the upper portions of the watershed, the Taiwan Executive Yuan implemented the "Tsengwen, Nanhua, Wushantou Reservoir
Remediation and Water Resources Protection Act". This study aims to use multi-scale sediment monitoring techniques including field
investigations and multi-stage remote sensing data to identify sediment migration patterns associated with remediated areas of the
Tsengwen reservoir watershed after typhoon Morakot and to guarantee the effectiveness of remediation efforts. A case study of the
Longjiao creek in Tsengwen Reservoir watershed shows that remediation works can not only reduced sediment production due to
erosion and landslides, but future sediment production will also be suppressed. The reduction of sediments carried by the Tsengwen
river will also lead to an increase in the service life of the Tsengwen reservoir.
RSUM : En 2009, le typhon Morakot a dvers plus de 3 005 mm de pluie dans les rgions montagneuses du bassin versant du
rservoir et provoqu des glissements de terrain Tsengwen sans prcdent et les catastrophes sdiments. Par la suite, la capacit de
stockage du rservoir Tsengwen a t considrablement rduit. Afin d'augmenter la longvit du rservoir et aussi de protger les
cosystmes et les populations vivant dans les parties suprieures du bassin versant, le Taiwan Yuan excutif mis en place le
"Tsengwen, Nanhua, Wushantou rservoir d'assainissement et de protection des eaux Loi sur les ressources". Cette tude vise
utiliser multi-chelle des techniques de surveillance des sdiments, y compris les enqutes sur le terrain et sur plusieurs priodes
donnes de tldtection pour identifier les schmas de migration des sdiments associs des zones assainies du bassin versant du
rservoir Tsengwen aprs le typhon Morokot et de garantir l'efficacit des efforts d'assainissement. Une tude de cas du flux Longjiao
dans le bassin versant du rservoir Tsengwen montre que les travaux de rhabilitation peuvent non seulement rduit la production de
sdiments cause de l'rosion et des glissements de terrain, mais la production de sdiments avenir seront galement supprims. La
rduction des sdiments charris par le fleuve Tsengwen conduira galement une augmentation de la dure de vie du rservoir
Tsengwen.
KEYWORDS: Tsengwen reservoir watershed, typhoon Morakot, sediment disasters, remediation effectiveness.
1 INTRODUCTION
In 2009, typhoon Morakot brought heavy rainfall up to 3,005
mm, which was recorded at Alishan rainfall guage station of the
Tsengwen reservoir watershed over a five day period. Also, the
consecutive 72 hour accumulated rainfall exceeded historical
records in Taiwan (SWCB, 2011). This typhoon event induced
massive sediment-related disasters within the watershed, which
caused about 91,080,000 m3 of sediment in the reservoir and
exceeded the original design level (5,610,000 m3/yr).
Afterward, Taiwan government passed Tsengwen, Nanhua,
Wushantou Reservoir Remediation and Water Resources
Protection Act and planned a project for managing and
remediating sediment problems. The primary goals of the
proposed project are to reduce reservoir turbidity levels, extend
the service life of the dam and protect security of the upstream
residents.
Sediment transport and deposit within the watershed is an
unavoidable natural process. It is very important to do field
survey and monitor periodically especially in major sediment
source areas including old debris flow, large-scale landslide and
massive alluvial soil or river terrace deposits. Many researches
has pointed out that the sedimentation of Tsengwen Reservoir
has been serious in flood season due to intense geological
activity. Recently, under the effect of global climate change, the
probability of extreme weather occurrence has increased. In the
mountain area, it can be observed that the magnitude of
571
disasters caused by water-sediment flows, induced by high

intensity and long duration rainfall events, has increased (Lo et
al., 2012; Lin et al., 2012). The mode of sediment transport can
be classified in different ways, according to the mechanics of
sediment transport process, from suspended load to debris flow.
Therefore, the sediment deposited in the Tsengwen reservoir
watershed comes from long-term deposits of the trunk river and
soil erosion as well as slope landslides due to 2009 typhoon
Morakot. It significantly affects water supply to residents and
rapidly reduced storage capacity of reservoir. For validating and
proving the effectiveness of remediation efforts after typhoon
Morakot event, the study integrates multi-scale sediment
monitoring techniques to collect time-dependent monitoring
data and spatiotemporal remote sensing information including
watershed scale, high-resolution airborne LiDAR DTMs. Then,
using the data obtained from the remediated environmental area,
remediation effectiveness of the Tsengwen reservoir watershed
with regard to suppression of soil erosion, vegetative recovery
rate, variation in amount of landslide and sediment trapping
efficiency are quantified. Finally, the proposed procedure of this
study will assist us to track remediation effectiveness, and
reduce sediment yield entering a reservoir or trap eroded
sediment for effective watershed management.
2 OVERVIEW OF ENVIRONMENT
Study area
As illustrated in Figure 1, the Tsengwen reservoir is located in

the southwestern portion of Taiwan. It is the most important
water resource conservation hydraulic structure and the largest
dam in Taiwan. The dam is 400 m in width and 133 m in height,
and mainly serves irrigation, municipal water and power supply
functions for the southern plains and downstream area of Chiayi
county, Tainan and Kaohsiung city shown in Figure 2. The
watershed area of Tsengwen Reservoir is approximately 481
km2, where Tsengwen river is the trunk river originating from
Alishan mountain at elevation of 2,609 m a.s.l. The watershed
shape is similar to a quadrilateral with elevations gradually
increasing from southwest to northeast, and ranging from 100 m
a.s.l and 2,700 m a.s.l. In general, most hill slopes are steeper
than 28.8 and approximately represents over 60% of the study
area. As for the aspect, slopes are mostly west-facing and
southwest-facing in the watershed. There are many fault line
and geologic structures and the geological condition of the
watershed consists mostly of sandy shale, siltstone, and isolated
areas of muddy sandstone, which are prone to more severe
weathering and become weak layers in the rock strata. These
conditions make the slope unstable during heavy rainfall or
strong earthquake shaking. Hence, during the typhoon and flood
season, the combination of huge rainfalls and local weak
geological conditions easily permit the occurrence of sediment
landslides (Lo et al., 2012).
Due to high topographic relief, annual average temperature
ranges from 24 in the plains and 11 in the mountainous
parts of the watershed. According to Alishan rainfall gauge
station, average annual accumulated ranges from 1,950 to 4,980
. Recent extreme rainfalls have caused annual accumulated
rainfall of Taiwan to increase, especially for Alishan, where,
since 2005, annual rainfalls have exceeded 5,000 (see Figure
3). This rate is double the annual average precipitation (2,500
) for Taiwan and over four times of world annual average
precipitation. Rainfall distribution increases from the plains to
the mountains and is mostly concentrated between May and
September when the watershed receives approximately 80% of
the overall annual rainfall.
Figure 1. Graphical location of Tsengwen reservoir watershed in

Taiwan (local coordinate system: TWD97).
572
Figure 2. Topographic map of Tsengwen reservoir watershed (local

coordinate system: TWD97).
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2.1
Figure 3. Time series of annual rainfalls at Alishan gauge station.
2.2
Relation between reservoir sedimentation and major

typhoon events
Presently, the greatest challenge of Tsengwen reservoir is

sedimentation. Whether caused by anthropogenic or natural
factors, both of them directly triggers problems such as
increased turbidity and reduced reservoir storage volume.
Figure 4 illustrates the historical trends of sedimentation in
Tsengwen reservoir concerning major typhoon events.
According to the figure, since completion of reservoir
construction, typhoons repeatedly hit the Tsengwen reservoir. It
can be found that the peaks in the historical sedimentation curve
of Tsengwen reservoir correspond to major typhoon events.
Before 2008, the annual average sedimentation volume is
4,760,000 m3 and still lower than the yearly designed value of
5610,000 m3. However, 2009 typhoon Morakot brought around
91,080,000 m3 of sediment into Tsengwen Reservoir, which
occupies about 12% of the reservoir capacity. After the 2009
typhoon Morakot, the annual average sedimentation rapidly
increases to 7,060,000 m3, exceeding the yearly designed value
by 12.6 times. It is truly believed that massive amounts of
sediment washed downstream. Also, this event seriously
resulted in debris flows and large large-scale landsides along
river flanks and close to human inhabitation in upstream areas,
and threatens longevity of reservoir and significantly affects
water supply to the south area in Taiwan.
Figure 4. Historical sedimentation curve of Tsengwen reservoir with the

major typhoon events
3 MULTI-SCALE SEDIMENT MONITORING AND

EVALUTION METHOD TO REMEDIATION
EFFECTIVENESS
Multi-scale sediment monitoring techniques is used in
Tsengwen reservoir watershed to study remediation
effectiveness and topographical changes. This section describes
the method about how to systematically study and analyze soil
erosion, landslide areas, and sediment trapping in the check
dams from easily measured physical quantities such as depth,
area, and volume by collecting time-dependent monitoring data
and multi-stage remote sensing information in a watershed
scale. A case study of the Longjiao subwatershed was chosen to
be validated with remediation effort. The above proposed
methods are detailed separately below.
3.1
Depth-based evaluation method
Soil erosion estimates were often based on empirical equations,

such as USLE, MUSLE, and RUSLE, etc. These empirical
equations are limited regionally and by spatial distribution of
rainfalls. Therefore, this study focused on the different
vegetated slopes to design erosion pins by some research reports
(Schumn, 1956). Site surveys were conducted to measure
surface erosion depth to investigate the state of slope soil after
erosion from rainfalls. The result was used to assess the
inhibition rate of soil erosion from both remediated and nonremediated hillslopes in order to understand the efficiency of
remediation. To quantify the soil erosion suppression ratio (SSR)
from the measured soil erosion depth of several erosion pins
(see Figure 5) embedded in remediated and non-remediated
hillslopes, we used an index value to depict efficiency of soil
erosion retention after completing remediation. Higher index
values indicate higher soil erosion suppression. Therefore, this
study uses this index (SSR) to understand the remediation
effectiveness of the hillslopes. SSR is defined as follows
SSR (%)
E DR E DN
100%
E DR
(1)
Where SSR is soil erosion suppression ratio (%)EDR is surface

eroded soil depth of remediated hillslope (mm)EDN is surface
eroded soil depth of non-remediated hillslope (mm).
Figure 5. Schematic layout and photos of erosion pins embedded in

remediated/non-remediated hillslope.
3.2
where VIS and NIR stand for the spectral reflectance

measurements acquired in the visible (red) and near-infrared
regions, respectively. The NDVI value is normalized between 1.0 to 1.0. Values of NDVI above a certain threshold
correspond to vegetation coverage area and values below the
threshold correspond to non-vegetation coverage areas, as
shown in Figure 6.
Area-based evaluation method
To understand the evolution of vegetation coverage of the

Tsengwen reservoir watershed resulting from remediation
efforts, multi-spectral high-resolution satellite images from
different periods are adopted to analyze the ratio of green cover
to assess the vegetation restoration after remediation.
Normalized Difference Vegetation Index (NDVI) is currently a
popular method to assess vegetation coverage (Kriegler et al.,
1969). The NDVI is calculated from these individual
measurements as follows:
NDVI
NIR VIS
NIR VIS
(2)
573
Figure 6. Orginal satellite image and the classified image from

results of NDVI.
Once the NDVI has been used to classify the images into
vegetated and non-vegetated zones, the ratio of vegetation
coverage (VR) involved with the total area is estimated, as
shown in Eq. (3).
VR (%)
AV
100%
AC
(3)
Where Ac is a given watershed area, and Av is vegetated area

within a given watershed.
3.3
Volume-based evaluation method
This study compiled satellite images to identify the landslide

distribution. Number of landslides, existing landslide area,
incremental landslide area, and spatial distribution in key
regions were obtained through digital interpretation to
understand its evolution. Further, this was complemented with
multi-period terrain data, established by airborne LiDAR, to
quickly obtain information on terrain changes in each subcatchment area and assess the effectiveness of the remediation
projects. To evaluate the effectiveness of check dams, this study
utilized airborne LiDAR (Light Detection And Ranging)
technology to survey and produce high resolution DEMs of the
Tsengwen reservoir watershed. The pre-event DTM is
subtracted from the post-event DTM. A negative value in the
grid represents failure or erosion, and positive value indicates
deposits. Variation in volume of a grid can be obtained by
multiplying this value by the area of the unit grid (see Figure. 7).
The total volume of landside material and sediment trapped by
the check dam can also be obtained from multiple LiDAR
generated DTMs. Then, sediment discharge and trapping
efficiency of dams can be precisely calculated. It can also be
applied to monitor the accumulated volume of sediment on the
confluence between tributaries and river, growth of alluvial fan,
and large scale wedge like slope failures. Comparison of
LiDAR DEMs from different periods can also indicate terrain
migration and be used to trace sediment transport from
tributaries, especially in extreme typhoon disasters. Sediment
trapping ratio (STR) can be assessed by measuring the volume
of deposited sediment in front of the check dams (Sophie et al.,
2008). If STR after remediation is higher than before
remediation, it means that check dams are effectively
controlling sediment transport and have adequate remediation
efficiency levels. The sediment trapping ratio can be expressed
as
STR(%)
Vd
100%
Vy
(4)
Where Vd is the trapped volume in the check dam(m3)Vy is

the sediment yield from upstream (m3).
Grid Subtraction
6
11
11
13
16
14
14
16
2nd DEM Grid Map
10
15
17
16
19
15
=
19
-4
-4
-5
1st DEM Grid Map
Variation of Volume
= Result x Unit grid area
No data
-1
-3
Results
Erosion Deposition
Figure 7. Grid subtraction in post-event and pre-event digital terrain

elevations
Figure 9. Evolution of vegetation coverage in pre-remediation and postremediation for Longjiao subwatshed.
4.3
4 CASE STUDY
In this paper, case study chooses Longjiao creek located at
downstream area of Tsengwen Reservoir (see Figure 2) for
proving the effectiveness of remediation efforts after typhoon
Morakot, based on real data from multi-scale sediment
monitoring techniques. Then, the proposed depth-area-volume
based methods are all applied to evaluate the ratios of soil
erosion suppression, vegetation coverage and sediment trapping
in the following sections.
4.1
Soil erosion suppression
To effectively measure surface soil loss on remediated and nonremediated hillslopes, ten erosion pins were installed on each of
the hillslopes types to monitor eroded soil depth for each
rainfall events. The monitoring period is from May 14., 2011 to
Oct. 04, 2011. Figure 8 is the diagram of the average
accumulated eroded soil depth on remediated and nonremediated hillslopes. According to the figure, soil erosion of
remediated hillslopes is obviously lower than the remediated.
Compared with others, remediated hillslopes can reduce soil
erosion by about 1.6 mm. This data is input into Eq. (1) and
then the SSR of Longjiao subwatersehd is obtained as below
SSR (%)
18.7 7.25
100% 61.23%
18.7
(5)
The calculated result shows that remediation of hillslops could

reduce erosion amounts by 61.23% of soil loss per unit area and
time. It is evident that remediation can accelerate environmental
vegetation recovery and under good practical sediment control.
20.00
Sediment trapping
Soil and Water Conservation Bureau (2011) has collected three

high-precision digital elevation models from aerial orthoimages
and airborne LiDAR. These measurements can be divided into
pre-remediation and post-remediation. Further, sediment yield
is the total volume of terrain changes such as slope failures and
river erosions by grid subtraction of DTMS. Sediment trapping
ratio (STR) can be assessed by measuring the amount of
sediment trapped in front of the check dams, which has been
listed in Table 1. Compared with the results listed in table 1,
post-remediation STR of Longjiao subwatershed is significantly
higher than pre-remediation by 17.18 times. In the meantime,
the sediment yield after remediation is lower than before
remediation. Through the above results, it was found that
sediment yields were effectively controlled.
Table1 List of Sediment trapping ratio of Longjiao subwatershed
Duration
Sediment yield
(m3)
Sediment trapping
(m3)
STR (%)
pre-remediation
2008~2010
1,548,300
34,540
2.2
post-remediation
2010~2011
149,143
56,373
37.8
Stages
5 CONCLUSIONS
This study systematically integrates multi-scale sediment
monitoring techniques to analyze soil erosion, vegetation
coverage, and sediment trapping from easily measured physical
quantities such as depth, area, and volume in a watershed scale.
Thorough the case study, it suggests that remediation in
Tsengwen Reservoir Watershed are certainly effective and are
able to reduce sediment production and soil loss entering a
reservoir.
18.7
6 REFERENCES
16.00
12.00
8.00
7.25
4.00
0.00
Figure 8. Diagram of average accumualted eroded soil depth on

remediated and non-remediated hillslopes.
4.2
Vegetation coverage
Utilizing NDVI, multi-stage vegetation recovery of the overall

Longjiao subwatershed after remediation was assessed for the
five events. According to Eq. (2) and (3), the ratios of
vegetation coverage were calculated. Figure 9 shows that after
remediation, typhoon Fanapi and typhoon Namodol repeatedly
affected Longjiao subwatershed but the vegetation coverage
ratio (VR) still remained over 80%. This value was estimated by
satellite images and is better than the ratio after typhoon
Morakot. Again, these results show that remediation including
check dams, river bed foundation, and revetment as well as
excavation of deposited sediments, can effectively reduce
sediment yield.
574
Soil and Water Conservation Bureau (SWCB), 2010. Multi-scale

environmental measurements and evaluation of conservation and
management efficiency for Tsengwen reservoir watershed (in
Chinese).
Lo, W.-C., Lin, Bor-Shiun., Ho, H.-C., Keck Jeff k, Yin, H.-Y. and H.Y., Shan 2012. A simple and feasible process for using multi-stage
high-precision DTMs, field surveys and rainfall data to study
debris-flow occurrence factors of Shenmu area, Taiwan, Natural
Hazards and Earth System Sciences, 12, 3407-3419.
Lin, Bor-Shiun, Cheng-Yang Hsiao,Wai-Yi Leung and Shu-Yeong Chi
2012. Using Airborne LiDAR Technology to Analyze Landslide
Hazards in Shih-men Watershed, European Geosciences Union,
General Assembly 2012, 14, EGU2012-2884, Vienna, Austria,
22~27, April.
Schumm, S. 1956. Evolution of Drainage Systems and Slopes in
Badland at Perth Amboy, Bulletin of Geological Society of
America, 67, 597-646.
Kriegler, F.J., Malila, W.A., Nalepka, R.F., and Richardson, W., 1969.
Preprocessing Transformations and Their Effects on Multispectral
Recognition, Proceedings of the Sixth International Symposium on
Remote Sensing of Environment, 97-131.
Sophie L., Tim W. E., Peter B. H., and David J. T. 2008. Sediment
trapping by a tree belt: processes and consequences for sediment
delivery, Hydrological Processes, 22(17), 3523-3534.
Practice and development of the piezocone penetration test (CPTu) in geotechnical

engineering of China
La pratique et le dveloppement de l'essai de pntration au pizocne (CPTu) en Chine
Liu S., Cai G., Du Y.
Institute of Geotechnical Engineering,Southeast University, Nanjing 210096, China
Puppala A.J.
Department of Civil Engineering, The University of Texas at Arlington, Arlington, Texas
ABSTRACT: The cone penetration test (CPT) technique is widely used in field site investigation due to its fast, repeatable, and costeffective advantages. It can provide near-continuous information of soil properties and has a strong theoretical background. In this
paper, the history and current development status of CPT, particular the cone penetration test with pore pressure measurement (CPTu)
in China practice is systematically introduced. The relationship between international standardized CPTu and China CPT is proposed
based on a great number of soils. The paper then presents the review and comparison of the soil characterization methods based on
CPTu tests results in China, including stress history, deformation, consolidation and permeability characteristics.
RSUM: Lessai de pntration au cne (CPT) est largement utilis dans les enqutes de terrain pour ses avantages rapides,
reproductibles et rentables. Il peut fournir des informations quasi continues des proprits du sol et il a une solide thorie. Dans cet
article, lhistoire et ltat et dveloppement du CPT, notamment lessai de pntration au pizocne (CPTu) qui peut mesurer la
pression deau interstitielle est systmatiquement introduit en Chine. La relation entre les rsultats normalise interationale CPTu et
des CPTs en Chine est propose selon beaucoup des donnes. Par la suite, le document prsente lexamen et la comparaison des
mthodes de caractrisation des sols par les rsultats des CPTUs en Chine, y compris lhistorique des contraintes, des dformations,
des caractristiques de permabilit et de consolidation.
KEYWORDS: Site investigation, CPT, CPTu, Engineering Characterization
1INTRODUCTION
The cone penetration test (CPT) has been used for decades to
investigate the properties of soil in situ. Essentially, the test
consists of pushing a penetrometer with a standard geometry
(cylindrical with a diameter of 35.7 mm and a conical point
with an apex angle of 60o) into the soil at a rate of 20 mm/s,
while measuring a number of parameters. The cone penetration
test (CPT) is widely used in-situ testing method, especially in
soft soil exploration. As a new kind of in-situ test technique, the
piezocone penetration test (CPTu) has been attracting wide
attention and widely used in the western developed country. It
has been increasingly used because of its important advantages,
such as simplicity, speed and continuous profiling. The
piezocone, which provides near-continuous measurements of tip
resistance, sleeve friction, and pore water pressure induced
during the penetration, appears to be a powerful tool for
determining the stress history of soft clay deposits.
The mechanical CPT like Dutch cone was developed by
foreign engineers in Shanghai in the early 1930s (Liu and Wu,
2004). In 1954, the Holland mechanical CPT was first
introduced into China. In 1964, the first electric single bridge
CPT was independently produced in China with only one
measurable parameter (e.g., total specific penetration
resistance). Later, the double bridge CPT was developed to
measure the tip resistance and sleeve friction independently in
the 1970s, which is currently used in Chinese standards. The
Holland CPTu was introduced into China in the early 1990s by
Nanjing Hydraulic Research Institute, but its follow-up
development is very slow. The multifunctional CPTu was
introduced into China in 2005 by Southeast University
researchers. In the following years, the related theory analysis
and application practice of CPTu in China have been developed
575
rapidly. In this paper, the relationship between international

standardized CPTu and China CPT is proposed based on a great
number of soils. The paper then presents the review and
comparison of the soil characterization methods based on CPTu
tests results in China, including determination of stress history,
deformation, consolidation and permeability characteristics.
2 COMPARISON BETWEEN INTERNATIONAL
STANDARDIZED CPTU AND CHINA CPT
Due to the inner geometry of a cone penetrometer, the ambient
pore pressure will act on the shoulder area behind the cone.
Therefore, the measured cone resistance should be corrected by
the unequal area effect for the data presentation and
interpretation. In literature works, most of the correlations were
developed based on CPT with cone cross area of 10 cm2 as per
international standardized CPT and CPTu tests. However, in
China, both 15 cm2 and 20 cm2 CPT devices are frequently
used. Therefore, the internationalization of Chinese CPT is
inevitable (Liu and Wu, 2004).
When different sizes of CPT and CPTU are employed, the
question of scale effects inevitably arises. For piezocones
ranging in area from 5 to 15 cm2, the usual assumption, based
on experience summarized by Lunne et al. (1997), is that scale
effects are negligible in soil layers of sufficient thickness
relative to the cone diameter: that is, quantities such as the cone
resistance and excess pore pressure do not depend on the size of
the piezocone. Powell and Lunne (2005) compared the results
using the 10 cm2 and 15 cm2 piezocones in UK clays. The
comparison of various cone sizes and configurations between
China CPT and international standard CPTu device at 28 field
testing sites is presented. To avoid the variability, all the tests
were performed by the same operators. The elevations of the
ground surface at different sites were measured and the

difference of elevation may be considered.
To quantify the differences between CPT and CPTU
measurements, the ratios of the CPTU to CPT cone resistance
and sleeve friction measurements were calculated for each site.
The reference line positioned at an average CPTU to CPT ratio
equal to one in the plots of average ratios represents the
theoretical value if soil variability was eliminated and if there
was no effect of cone size. In general, the ratios of cone
resistance and sleeve friction measurements fluctuate near one,
and the measured values increase with depth. For the soft clay
sites (Figure 1), the average fs ratio of the friction sleeve is
always significantly greater than the average qc ratio. For the
topsoil such as fill and silty clay, the ratios CPTU to CPT
fluctuate drastically. The relationships of derived key
parameters are developed between China CPT and international
CPTu (Table 1). From the perspective of engineering practice, it
is concluded that qt = 1.03 qc fs-CPTu = 1.05 fs-CPT. The
empirical equation can be used as useful engineering tool to
guide use of 10 cm2 international CPTu in China.
Average of CPTU/CPT ratios
0
0
2
4
Cone resistance
Sleeve friction
Depth/m
6
8
Table 2. Typical property values of the soils.

Site
Soil type
Lianyungang
Changzhou
muck
clay
mucky
silty clay
Nanjing
Water
content/%
79.6
23.5
Liquid
limit
75.6
41.8
Plasticity
index
35.8
19.0
41.4
36.4
13.3
Figure 2 shows the relationship between net tip resistance

(qt vo) and the preconsolidation pressure (`p) measured in the
laboratory oedometer test on high-quality samples. Here, n as
shown in Fig. 1 is the number of data available. In Lianyungang
marine clay deposits, the correlation is excellent (r2 = 0.99) for
all the data, and the preconsolidation pressure varies between 29
and 139 kPa. In Changzhou clay site, the correlation is good (r2
= 0.95) for the data, and the preconsolidation pressure varies
between 812 and 1789 kPa. It can be seen from Figure 5 that the
relationship between net tip resistance and the preconsolidation
pressure of Nanjing clay site is also pretty good (r2 = 0.98).
Consequently, we can obtain the value of Nt factor, which is
equal to 2.7 according to the correlation relationship for
Lianyungang lightly overconsolidated clay. Similarly, for
Changzhou lightly to moderately overconsolidated clay, the Nt
factor is 2.2. For Nanjing backswamp clay deposit, the Nt
factor is 2.5. Consequently, the equation defining the correlation
of Lianyungang marine clay site can be expressed as follows:
10
'p
12
qt v0
2 .7
(1)
14
16
1000
p- oed
/ k Pa
Figure 1. Statistical analysis of qc and fs ratios
'
Table 1. Conversion relationships between CPTu and CPT parameters.
100
Soil types
Soft clay
Clay
Stiff clay
Silt
Silty sand
Regression equation
Cone resistance
Sleeve friction
qt = 1.04qc
fs-CPTU = 1.01 fs-CPT
qt = 1.02qc
qt = 1.01qc
qt = 1.03qc
qt = 1.03qc
Li any ungang
Ch a n g z h o u
Na n j i n g
10
100
1000
q t - v 0 / k Pa
Figure 2. The relationship between preconsolidation pressure measured

in oedometer test and net tip resistance
3.2
3 EVALUATION OF ENGINEERING
CHARACTERISTICS BASED ON CPTU TESTS IN CHINA
3.1
n = 2 4 , r =0 . 9 9
n =2 8 , r =0 . 9 5
n =2 0 , r = 0 . 9 8
Stress history
Since the advent of CPTU in geotechnics, nearly 20 different

methods have been suggested for interpreting the
preconsolidation pressure and the overconsolidation ratio of
clays (Mayne 1991). In this study, the three sites with all
sensitive clay deposits in Jiangsu province of eastern China are
selected (Liu et al., 2007). These Quaternary clay deposits are
located at Lianyungang, Changzhou and Nanjing respectively.
Whenever possible, the OCR values interpreted from various in
situ tests were compared with the oedometer values for
Lianyungang marine clay. At the other test sites, in addition to
oedometer results, some field OCR values were deduced from
field performance observation of trial embankments. These field
values provide a reliable basis for evaluating the validity of the
various interpretation methods in Jiangsu clays. Table 2
presents a summary of the typical property values of the soil
layers.
576
Deformation modulus
The one-dimensional constrained modulus, M, as measured in

an oedometer test, has been expressed in terms of a coefficient,
m, and cone resistance:
M m qc
(2)
where m is a correlation factor. In practice, it has been
usual to correlate the modulus M to a penetration resistance. To
estimate one-dimensional constrained modulus M, the
correlation with net cone resistance (qt -v0) is used in the form
(Kulhawy and Mayne, 1990):
M 8.25 qn 8.25 qt vo
(3)
Comparisons between M from CPTU with laboratory
oedometric modulus for various types of soil proposed by
Kulhawy and Mayne (1990) showed that the ratio M -CPTU/ M lab could equal to 2.21 for high-plasticity clays and silty soils. In
Figure 3 the constrained modulus estimated with relationship
(3) is plotted against that determined by laboratory oedometric
tests, carried out on all the types of Jiangsu lagoonal soils. In
our case, the ratio M-CPTU/M-lab is always greater than the unity
and is not influenced by the type of soil or by its cone resistance
value (Cai et al. 2010).
values from laboratory tests and field observations. Schnaid et

al. (1996) and Danziger et al. (1997) showed that, when Teh and
Houlsbys approach was employed to interpret various CPTU
results, the calculated values of ch were of the same order of
magnitude as those measured independently in oedometer tests
in the laboratory. Abu-Farsakh and Nazzal (2005) compared
seven CPTU methods and showed that Teh and Houlsby (1991)
and Teh (1987) methods can estimate ch value better than the
other prediction methods.
Teh and Houlsby (1991) proposed a relationship between a
dimensionless time factor and ch value. The dimensionless time
factor, T *, is defined as:
28
Kulhawy and Mayne(1990)

24
M-CPTU/MPa
20
16
12
CH
CL
ML
M-CPTU=2.21M-Lab
2
R =0 . 9 8
0
0
12
16
20
Figure 3. Measured versus predicted constrained modulus values
To examine the possibility for better correlations to estimate

the constrained modulus from CPTu data, the corrected cone tip
resistance (qt) and the net cone resistance (qt -vo) were plotted
against the laboratory measured constrained modulus as shown
in Figures 4(a) and 4(b). A linear correlation was obtained
between M and qt as follows:
M =3.36qt
R2 =0.78
(4)
And the following linear correlation was also obtained
between M and (qt -v0) given as follows:
M =3.73(qt -v0)
R2 =0.92
(5)
The arithmetic mean and standard deviation of (M-CPTU/Mlab) are 0.85 and 0.23 for the first correlation (M = 3.36qt),
whereas 1.02 and 0.29 for the second correlation [M=3.73(qt vo)].
10
M=3 . 3 6 q t
Me a s u r e d M/ MPa
R =0 . 7 8
0
0
2.3 v' 0
q t / MPa
(a)
30
M=3 . 73 ( q t - v 0 )
2
R =0 . 9 2
20
15
10
Coefficent of consolidation (10-3cm2/s)
0
0
( q t - v 0 ) / MPa
CPTU
Oedometer
(b)
Figure 4. (a) qt~Measured M ; (b) (qt -v0) ~Measured M
Depth (m)
3.3
(8)
RRch
where RR = compression ratio in the overconsolidated

range, and can be obtained from the consolidation tests at the
corresponding stress level.
A comparison of the consolidation coefficient values
measured by CPTu dissipation test and laboratory oedometer
test is presented in Figure 5 in which the CPTU test measures ch
values, whereas the conventional oedometer test measures cv. It
can be seen that the cv values measured by oedometer test are
lower than the ch values measured by CPTu tests. The ch values
of the lacustrine clay measured by the CPTu tests are generally
4-6 times larger than the cv values measured by the
conventional
oedometer
test,
indicating
anisotropic
characteristic of the soil.
Me a s u r e d M/ MPa
T50 2
r
(7)
t 50
where the time factor T50 is related to the location of the
filter element and cone size. For a cone with a cross-sectional
area of 10 cm2 and with a shoulder filter element, T50 = 0.245
(Teh and Houlsby 1991). The t50 is the measured time for 50%
dissipation. The method proposed by Teh and Houlsby (1991)
was used here to interpret the coefficient of consolidation for
the pore pressure dissipation curves in this study.
The coefficient of permeability in the horizontal direction
can be estimated from a CPTU dissipation test and by means of
the correlation factor (kh/kv) proposed by Jamiolkowski et al.
(1985). Baligh and Levadoux (1980) recommended that the
horizontal coefficient of permeability could be estimated from
the expression:
ch
kh
25
ch t
(6)
0.5
r 2 I r
where ch = coefficient of consolidation in horizontal
direction; r = radius of cone, typically 17.85 mm; Ir = rigidity
index, G/Su. Among the methods available for evaluating ch
from piezocone dissipation tests, the one proposed by Teh and
Houlsby (1991) is probably most widely used (Robertson et al.
1992). Teh and Houlsbys (1991) equation is as follows:
T*
28
24
M- l a b /MPa
Consolidation and permeability properties
Many theoretical and semi-empirical methods have been

proposed for deriving the coefficient of consolidation from
CPTu dissipation data. Teh and Houlsby (1991) proposed a
relationship between a dimensionless time factor and ch value
based on numerical analysis of dissipation pore pressure with
the consideration of soil rigidity index parameter. Robertson et
al. (1992) reviewed some dissipation data from piezocone tests,
and concluded that the predicted coefficient of consolidation by
Teh and Houlsby (1991) solution compared well with reference
577
10
15
20
25
Figure 5. Comparison of cv and ch profiles measured from CPTu and

laboratory tests
The kv values measured by oedometer test and kh values

deduced from CPTu test are compared with each other in Figure
6. The values of coefficient of permeability from back-analysis
and falling-head permeability tests are also presented in Figure
6. The comparison shows that the kh values measured by
oedometer are lower than those obtained from CPTu test within
1-2 order of magnitude. The coefficient of permeability of
Taihu lacustrine clay is in the order of 10-5-10-7cm/s. The kh
value measured by falling-head permeability tests agrees well
with that determined by CPTu tests.
kh(cm/s)
1E-8
0
1E-7
1E-6
1E-5
Depth (m)
10
15
CPTU
Falling-head tests
Asaoka back-analysis
Oedometer
20
25
Figure 6. Comparison of kh profiles measured by different methods
4 CONCLUSIONS
The comparison of various cone sizes and configurations
between China CPT and international standard CPTu device at
28 field testing sites is presented. The relationships of derived
key parameters are developed between China CPT and
international CPTu. From the perspective of engineering
practice, it is concluded that qt = 1.03 qcfs-CPTU = 1.05 fs-CPT.
The empirical equation can be used as useful engineering tool to
guide use of 10 cm2 international CPTu in China. The field
CPTu tests were carried out in Jiangsu sites to evaluate the
stress history. Consequently, we obtained the value of Nt
factor, which is equal to 2.7 according to the correlation
relationship for Lianyungang lightly overconsolidated clay. The
results show that ratio of M derived from Kulhawy and Mayne
1990s method to that determined from laboratory oedometric
tests, M-CPTU/M -lab, practically equals to 2.21 for high plasticity
clays. A quick estimation of the magnitude of coefficient of
consolidation ch is proposed by pore pressure dissipation (type
u2) tests from the CPTu database. Comparisons of the results
obtained by different methods indicate that the values of
horizontal coefficient of consolidation determined by CPTu are
typically 4 to 6 times those of laboratory tests. The coefficient
of permeability values measured by laboratory tests are less
than by almost 1-2 orders of magnitude with that determined by
CPTu tests in Jiangsu soft clays.
5 ACKNOWLEDGEMENTS
The work in this paper was funded by the National Natural Scie
nce Foundation (Grant No. 41202203) of China,Twelfth five-y
ear National Science and Technology Support Plan (Project No
. 2012BAJ01 B02) and the Key Project of Natural Science Foun
dation (Grant No. BK2010060) of Jiangsu Province of China.
578
6 REFERENCES
Abu-Farsakh, M.Y. & Nazzal, M.D. 2005. Reliability of piezocone
penetration test methods for estimating the coefficient of
consolidation of cohesive soils. Journal of the Transportation
Research Board. No. 1913, 62-76.
Baligh, M. M. & Levedoax, J. N. 1980. Pore pressure dissipation after
cone penetration. PhD Thesis, Massachusetts Institute of
Technology. Cambridge, Mass, 80-111.
Cai, G., Liu, S., Tong, L., 2010. Field evaluation of deformation
characteristics of a lacustrine clay deposit using seismic piezocone
tests. Engineering Geology, 116(3-4), 251-260.
Danziger, F.A.B., Almeida, M.S.S. & Sills, G.C. 1997. The significance
of the strain path analysis in the interpretation of piezocone
dissipation data. Geotechnique, 47(5): 901-914.
Jamiolkowski, M., Ladd, C.C., Germaine, J.T., and Lancellotta, R.
1985. New developments in the field and laboratory testing of soils:
State of the art. Proceedings of the 11th International Conference
on Soil Mechanics and Foundation Engineering, San Francisco, 1216 August 1985. A.A. Balkema, Rotterdam. Vol. 1, pp. 57-153.
Kulhawy, F.H., and Mayne, P.W. 1990. Manual on estimating soil
properties for foundation design. Report No. EL-68000, Electric
Power Research Institute, EPRI, August 1990. Palo Alto. 306 pp.
Liu, S. Y. and Wu, Y. K. 2004. On the state-of-art and development of
CPT in China. Chinese Journal of Geotechnical Engineering, 26(4),
553-556.
Liu, S. Y. Cai, G. J. Tong, L. Y. Du, G. Y. 2007. On preconsolidation
pressure of clays from piezocone tests. Chinese Journal of
Geotechnical Engineering, 29(4): 490-495.
Lunne, T., Robertson, P.K., Powell, J.J.M., 1997. Cone penetration
testing in geotechnical practice, Blackie Academic & Professional,
Chapman & Hall, London.
Mayne, P.W. 1991. Determination of OCR in clays by piezocone tests
using cavity expansion and critical state concepts. Soils and
Foundations, 31(2): 65-76.
Powell, J. J. M. and Lunne, T. 2005. A comparison of different sized
piezocones in UK clay. Proceedings of the 16th International
Osaka, 729-734.
Robertson, P.K., Sully, J.P., Woeller, D.J. et. al. 1992. Estimating
coefficient of consolidation from piezocone tests. Canadian
Geotechnical Journal, 29(4):539-550.
Schnaid, F., Sills, G.C., Soares, J.M. & Nyirenda, Z. 1996. Predictions
of the coefficient of consolidation from piezocone tests. Canadian
Geotechnical Journal, 34, No. 2, 315-327.
Teh, C.I. 1987. An analytical study of the cone penetration test. PhD
Thesis, Dept. of Civil Engineering, Oxford university.
Teh, C.I. & Houlsby, G.T. 1991. An analytical study of the cone
penetration test in clay. Geotechnique, 41(1): 17-34.
The use of hydro test results for design of steel tanks on stone column improved
ground - a case history
Lemploi des rsultats des essais hydrauliques dans ltude des rservoirs en acier sur le sol
amlior par colonnes de pierre histoire de cas
Matei L.
Geokon-Zagreb, Zagreb, Croatia; University of Rijeka, Faculty of Civil Engineering, Rijeka, Croatia
Mihaljevi I., Grget G.

Geokon-Zagreb, Zagreb, Croatia
Kvasnika P.
University of Zagreb, Faculty of Mining geology and petroleum engineering, Zagreb, Croatia
ABSTRACT: This paper describes hydro tests performed on five large storage tanks (80.000 m3 each) located at the Sisak Oil
Terminal, Croatia. Because of its small stiffness and low water permeability, foundation soil for each tank was improved with 660
stone columns. In order to reduce the risk of accidents, such as fire, breach or leak, a crude oil storage tank requires stringent security
measures. In the case of the Sisak tanks, the hydro tests were conducted as part of technical monitoring to determine a set of
documented and interconnected activities which would provide proof of proper functioning of all elements of a tank structure. In case
of critical deviations from the operation expected, such activities ensure that such deviations are removed or corrected on time by
taking necessary measures approved by experts. Under a procedure for the hydro tests, the phases of tank and bund filling were
defined and each phase was followed by visual inspection and measurements of settlements and deformations of the steel structure.
Design directions for future foundation and hydro tests of tanks were made accordingly.
RSUM : Les essais hydrauliques conduits sur cinq rservoirs de grande taille (chacun de 80,000 m3 ) situs dans le Terminal
ptrolier de Sisak en Croatie, sont dcrits dans louvrage. Compte tenu de petite rigidit et permabilit leau peu importante, le sol
de fondation pour chaque rservoir a t amlior avec 660 colonnes de pierre. Les mesures trs rigoureuses doivent tre prises pour
les rservoirs ptrole brut afin de rduire le risque daccidents tels que feu, rupture ou fuite de ptrole. Dans le cas des rservoirs de
Sisak, les essais hydrauliques ont t conduits dans le cadre de la surveillance technique dont le but tait de dfinir une srie des
activits bien documentes et interconnectes vises prouver le fonctionnement impeccable de tous les lments structurels du
rservoir. Dans le cas dune dviation critique par rapport au fonctionnement normal, ces activits permettent llimination ou la
correction prompte de ces dviations en prenant les mesures appropries approuves par les experts. Dans la procdure pour les essais
hydrauliques, les phases de remplissage du rservoir et de la cuvette de rtention ont t dfinies, et chaque phase a t suivie par une
inspection visuelle et par mesurage du tassement et des dformations de la construction en acier. Les instructions dtudes sont
fournies pour les essais hydrauliques et les essais des fondations futurs.
KEYWORDS: steel tank, stone columns, hydro test, monitoring, settlement
is 73,2 m and 78,2 m respectively. The tanks have 80.000 m3 in

volume and their total and overflow height is 20,6 m and 19,5 m
respectively (Figure 1.).
Foundation soil is horizontally stratified and, therefore, the
soil under all the tanks is of almost the same properties. Because
of its small stiffness and low water permeability, the foundation
soil for each tank was improved with hundreds of stone
columns, which is a technology applied in similar cases of soil
improvement (Raju et al 2004, Ambily and Gandhi 2004).
In order to prevent industrial accidents, viz. fire, breach or
leak of a tank, etc. to happen, a crude oil storage tank requires
special safety measures. For this reason, all tank development
stages such as ground investigations, design, construction,
hydro tests and exploitation, were strictly controlled according
to a highly elaborated plan as laid down in API 653 and EN
14015.
On the basis of in situ and laboratory tests, a numerical
model was created in Plaxis, and all phases of hydrostatic tests
were checked before testing.
INTRODUCTION
During the years 2010 and 2011, five new crude oil storage
tanks were built at the Sisak Oil Terminal.
A-2510 3
80.000 m
A-2509 3
80.000 m
A-2508 3
80.000 m
cross section A-A

N
A-2511 3
80.000 m
0
bund
floating roof
tank
50
100
A-2507 3
80.000 m
150
200 m
Figure 1. The layout plan of the tanks
DESIGN REQUIREMENTS
In the near vicinity of the new tanks, three 80.000 m3 tanks with
floating roofs were installed 30 years ago. During the hydro test
performed on one of them, the yielding of foundation soil
All the tanks are of the same size and have an identical steel
structure with a floating roof and steel bund wall designed in
accordance with API 650. The diameter of the tanks and bunds
579
occurred, which caused tank shell deformations. Such

deformations affected normal operation of the floating roof and
consequently made the use of the tank impossible. The case
described above has not been fully documented, but this is the
reason why the investor imposed strict requirements for tank
behaviour.
Based on the documented cases of soil yielding during tank
foundation works (Bell & Iwakiri, 1980) criteria for design,
construction and use of tanks have been established.
Criteria for maximum total and differential settlement of
tanks were determined according to Marr, et al. (1982), API-650
and API-653. Allowable differential settlements are the
maximum allowable design limits for deformation of the tank
after allowance has been made for construction tolerances.
These comprise combinations of: (a) tilt of the tank; (b) tank
floor settlement along a radial line from the perimeter to the
tank centre; and (c) settlement around the perimeter of the tank.
Foundation and foundation soil are subjected to the highest
load during hydro tests when a tank is filled with water having a
density of 1 t/m3. Later, during tank use, loads on foundations
and foundation soil are lower by about 15 % because the tanks
are filled with crude oil having a density of 0,85 t/m3.
3
OVERVIEW OF GROUND INVESTIGATION WORKS
At the site, 45 geotechnical boreholes were drilled of which

three were 70 m deep. In addition to the boreholes, 18 CPTU
tests were also carried out. From the boreholes, undisturbed soil
samples were continually taken or SPTs performed. A
piezometer was installed in one borehole and a level of ground
water monitored over a number of years. Soil classification tests
as well as strength, stiffness and water permeability tests were
carried out in a laboratory. The investigations showed that the
soil is horizontally stratified.
4
DESCRIPTION OF FOUNDATION
The foundation soil was improved with hundreds of stone

columns. After the soil had been prepared in this way, the tank
shell and bund wall were installed on rigid reinforced concrete
ring while the tank bottom was placed directly on the bedding
prepared.
4.1
Soil improvement
As the foundation soil is horizontally stratified, the soil under

all the tanks has almost the same properties. Because of its
small stiffness and low water permeability, the foundation soil
for each tank was improved with about 660 stone columns.
The depth of the improved soil was approximately 18 m. The
spacing between stone columns varied depending on their
location on the layout plan. Considering that tank structure is
susceptible to planar tilt settlement and non-planar settlement,
stone columns were spaced more closely on the perimeter below
the foundation ring and centre to achieve stronger effect of
improvement.
The quality of improvement was checked by CPTU and
SASW tests and geodetic surveys carried out in control fields
before and after soil improvement. In addition, the data relating
to the installation of stone columns were analyzed. Among other
things, the volume of the gravel pressed into foundation soil
was determined. For each tank, it was found to be about 3% of
the volume of the foundation soil improved. As geodetic
surveys showed negligible soil upheave (a few millimetres), it
can be considered that all the stone pressed into the soil
increased directly its density, i.e. soil compaction.
4.2
Concrete ring foundation
The shells of both the tanks and bund walls were mounted
directly on a rigid reinforced-concrete foundation ring of
580
rectangular cross-section b/h=350/(260-370) cm, with a central

drainage gutter having a width b=60 cm and variable height
h=4080 cm. Outside and inside ring diameters are
Dout=79,00 m and Din=72,00 m respectively.
4.3
Bedding of steel tank bottom
The bottoms of the steel tanks were mounted directly on the

multi-layer bedding prepared as described below.
The foundation soil was levelled and a layer of gravel of
grain size 0-64mm was placed. The layer had 70 cm in
thickness. To prevent soil pollution in case of tank leak, a
HDPE geomembrane was installed in the bedding. The
geomembrane was placed between a geosynthetic clay liner and
clean sand to protect it from damage. Above the geomembrane,
cathodic protection was installed. Additional reinforcement of
the soil below the tanks was achieved by placing sand in
geocells of 20 cm in height.
5
GEOTECHNICAL DESIGN ANALYSIS
On the basis of in situ and laboratory tests, an axisymmetric

numerical model was created in Plaxis 2D-V8. The material
behaviour is represented by the Hardening Soil model.
In a numerical analysis, soil materials of five types were
used and their description and some properties are shown in
Table 1. The analysis included tank installation stages, hydro
tests and tank exploitation.
Table 1. A description of stratified foundation soil
Layer
description
Surface layer of stiff clay
k=0,0002[m/day]; Eoedref=9,4[MPa];
approx
(1)
Eurref=30[MPa]; pref=100[kPa];
0 6
m=0,409
Layer of soft clay
k=0,0002[m/day]; Eoedref=7,8[MPa];
approx
(2)
Eurref=23,4[MPa]; pref=100[kPa];
6 13
m=0,376
Sand with silt and clay
k=0,02[m/day]; Eoedref=16[MPa];
Eurref=50[MPa]; pref=100[kPa]; m=0,5
approx
(3)
Soil below the tanks was improved
13 20
with stone columns as designed
k=1[m/day]; Eoedref=35[MPa];
Eurref=90[MPa]; pref=100[kPa]; m=0
Alternating layers of clay and sand
with silt
approx
(4)
k=0,0002[m/day]; Eoedref=10[MPa];
20 70
Eurref=40[MPa]; pref=100[kPa];
m=0,376
k - permeability; Eoedref reference edometric modulus at
reference stress pref; Eoed =Eoedref(/pref)m edometric modulus;
Eurref= unload/reload modulus
6
6.1
depth [m]
HYDRO TEST
Introduction
In the case of the Sisak tanks, hydro tests were conducted as

part of technical monitoring to determine a set of documented
and interconnected activities which would provide proof of
proper behaviour of all elements of a tank structure.
In case of malfunction or critical deviations from the
expected behaviour, such activities would ensure that these
deviations are removed or corrected on time by taking necessary
measures approved by experts.
Under a procedure for a hydro test, the phases of tank and
bund filling and emptying were defined; after each phase had
-1.0
been completed, visual inspection and measurements of

settlements and deformations of the steel structure were made.
The next phase of the hydro test could begin only after the
analysis of the results of measurements obtained from a
previous one had been made.
Monitoring of each tank settlement involved geodetic
surveys and measurement of settlements by a horizontal
inclinometer. The geodetic surveys included 24 points on the
outside perimeter of the foundation and one point on each of six
manholes allowing access to horizontal inclinometer pipes (HI).
Settlement measurements were made in three 100-m long pipes
running below the tank centre and horizontally declined by 60.
The manholes were located eight meters outside of the
foundation perimeter.
A monitoring programme was planned and carried out in a
similar manner as described in the paper by Berardi and
Lancellotta (2002).
-1.5
-2.0
-3.0
-3.5
-4.0
tank perimeter [m]

-4.5
0
14
12
10
hydro test for

tank A-2507
tank
bund wall
1.0
8
0.5
6
4
2
150
200
250
date [dd/mm/yy]
non-planar
differential settlement [cm]
16
100
Figure 4 illustrates the two phases in which the largest

differential settlements of tank perimeter at the highest load
occurred as well as the phase following tank emptying in which
permanent (plastic) deformations occurred.
Design allowable differential settlements for the cases of
planar tilt settlement and non-planar differential settlement was
44 cm and 0,8 cm respectively. The planar tilt settlement and
non-planar differential settlement obtained by calculation were
1,3 cm and 0,34 cm respectively. The results of measurement
obtained for such settlements were 1,0 cm and 0,32 cm
respectively.
Hydro test results
water level [m]
18
50
Figure 3 Total settlements of the tank perimeter occurred during the

hydro test on Tank A-2507
By way of illustration, the results of settlements obtained from

the hydro test carried out on Tank A-2507 are given. Figure 2
shows time history of tank and bund filling and emptying
together with the graphs showing averaged settlements of HI
pipes at manholes HI, points on the foundation perimeter and
centre.
20
total
settlement
[cm]
-2.5
planar tilt differential

settlement [cm]
6.2
hydro test for tank A-2507

date / water level
26.3.2010 tank=17 m; bund=17m
07.04.2010 tank=19 m; bund=0m
07.06.2010 tank=0 m; bund=0 m
plane of rigid tilt
0.0
0.4
0.3
0.2
0.1
0.0
0
/ 10
/10
/10
/10
/10
/10
/ 10
/10
/10
/10
/ 10
/10
/10
/10
/ 10
/02 6/03 3/03 0/03 7/03 3/04 0/04 7/04 4/04 1/05 8/05 5/05 2/05 9/05 5/06
2
2
1
0
0
2
1
0
0
2
2
0
1
27
1
-0.1
26.3.2010 tank=17 m; bund=17m
07.6.2010 tank=0 m; bund=0m
planar diff. settl. 26.3.2010
planar diff. settl. 07.06.2010
non-planar diff. settl. 26.3.2010
non-planar diff. settl. 07.06.2010
-0.5
0
-1
manhole R=47,5 m
tank periphery - R=39,5 m
tank center R= 0 m
-2
-1.0
-3
-6
-7
-8
100
150
-0.4
250
200
Figure 5 shows total settlements for the three representative

phases of the hydro test measured by horizontal inclinometer.
0
manhole GR-25

horizontal inclinometers along tank diameter
date / water level
26.3.2010 tank=17 m; bund=17m
07.04.2010 tank=19 m; bund=0m
07.06.2010 tank=0 m; bund=0 m
-1
Figure 2 Time history of the hydro test performed on Tank A-2507
According to settlement criteria (Marr et al 1982), the design

defined allowable total and differential settlements for different
settlement patterns. Thus, during the hydro test, the allowable
total settlement of the tank perimeter and tank centre were 15
cm and 31 cm respectively. In a calculation, they were
estimated to be 11 cm and 19,5 cm respectively. However, the
results of measurement obtained for such settlements as shown
on the graph were 3,6 cm and 7,2 cm respectively.
Figure 3 shows total settlements of the tank perimeter for the
two representative phases of the hydro tests in which the largest
settlements occurred at the highest loads. In the third phase, i.e.
when the tank was emptied, permanent (plastic) deformations
occurred.
manhole GR-28
tank periphery GR-13
-2
tank periphery GR-1
-3
-4
-5
total settlement [cm]
-5
50
-0.3
tank perimeter [m]
Figure 4 Differential settlements at the perimeter of Tank A-2507

settlement [cm]
-4
-0.2
tank center
-6
-7
tank diameter [m]

-8
-50
-40
-30
-20
-10
10
20
30
Figure 5 Total settlements of Tank A-2507 (cross-section)
581
40
50
200
180
160
140
120
100
80
60
40
0.0
load [kPa]
-1.0
-2.0
200
180
160
140
120
100
80
60
40
20
Soil improvement described in this paper involved stone

columns installed below each tank. The gravel material pressed
into the soft soil is equivalent to a layer of about 30 cm in
thickness. Since the geodetic surveys showed negligible soil
upheaval (a few millimetres), it can be concluded that the soil
improvement prevented equivalent settlement of 30 cm.
The hydro test showed, as demonstrated in the case of Tank
A-2507, that total settlements are relatively small, i.e. smaller
than estimated by calculation (Figure 6).
For the purpose of comparing actual settlements with those
given in behaviour criteria, the settlements of the tank bottoms
are shown so that displacements corresponding to a rigid body
rotation are given separately from displacements resulting from
non-planar differential settlement. Figure 3 illustrates that the
bedding was mostly displaced as a rigid body, while non-planar
differential settlement was slight. For this reason, it is sure to
say that maximum values of the settlements and their shapes are
within the values required by the relevant standard (Figure 4).
the soil, it is clearly understandable, yet in some cases

disregarded, why such procedures must be applied.
The data collected about the behaviour of the tanks during
the hydro tests were well documented and could be used to
improve design of tanks.
20
CONCLUSIONS
0.0
-3.0
-4.0
-6.0
-8.0
-4.0
-10.0
-18.0
-20.0
-22.0
settlement
[cm]
-16.0
hydro test tank periphery

- measured
A-2507
A-2508
A-2509
A-2510
A-2511
Figure 7. Total settlements of tank perimeters

performed on all five tanks
-12.0
-14.0
settlement [cm]
load [kPa]
-2.0
during hydro tests
ACKNOWLEDGEMENTS
The writers particularly wish to thank Z. Korica and M. Bago

for their support and assistance.
tank center - measured
tank periphery - measured
tank center - Plaxis - calculated
tank periphery - Plaxis - calculated
Figure 6. A comparison of measured and calculated results of

settlements obtained from the hydro test on Tank A-2507.
It was found that the settlements, after the tank had been
emptied, were smaller although they had the same shape. This
proves that the deformations after tank emptying are mostly
elastic (Figure 4). As tank loads by crude oil are less than those
by water, it is expected that subsequent displacements at
operating load will be less than those recorded in hydro tests,
and that no further non-planar differential settlement of the tank
bedding will occur. The same goes for the other four tanks
(Figure 7). The diagram of the settlements of all five tanks
shows that such settlements are about the same when the tanks
are subjected to the same load. As this is normally expected in
the case of horizontally stratified soil, this is proof of proper and
correct measurement of displacement.
As seen in Figure 6, the settlements obtained by calculation
were significantly greater than those measured. An explanation
for different values of settlements should be thoroughly
investigated in further numerical analysis which will take into
consideration the fact that columns and soil act together as
recommended in Ambily and Gandhi (2004).
In the case of the Sisak tanks, the hydro tests proved correct
functioning of the floating roofs, watertightness of the shells
and bottoms, and rigidity of the foundation structure for all
tanks.
The strictly applied procedures regarding soil investigation,
design, hydro test and exploitation ensured safety in execution
and further use. Considering the safety risks and loss of
investment in case of non-allowable differential settlements of
582
REFERENCES
Ambily, A.P.& Gandhi, S.R. 2004. Analysis of hydro test results for
steel tank on stone column improved ground. Proceedings of the
Indian Geotechnical Conference held at NIT Warangal, 420-423.
API-650: American Petroleum Institute (API) standard 650: Welded
tanks for oil storage.
API-653: American Petroleum Institute (API) standard 653: Tank
Inspection, Repair, Alteration, and Reconstruction
Bell, R.A. & Iwakiri, J. 1980. Settlement comparison used in tankfailure study. Journal of the Geotechnical Engineering Division
106, GT2, 153-169.
Berardi, R. & Lancellotta, R. 2002. Yielding from field behavior and its
influence on oil tank settlements. Journal of geotechnical and
geoenvironmental engineering 5, 404-415.
EN 14015:2004, Specification for the design and manufacture of site
built, vertical, cylindrical, flat-bottomed, above ground, welded,
steel tanks for the storage of liquids at ambient temperature and
above
Marr W.A., Ramos J.A. & Lambe T.W. 1982. Criteria for settlement of
tanks. Journal of the Geotechnical Engineering Division 108, GT8,
1017-1039.
Raju, V.R., Hari Krishna, R. and Wegner, R. 2004. Ground
improvement using Vibro Replacement in Asia 1994 to 2004 a 10
year review, Proceedings of 5th Int. Conf. on Ground Improvement
Techniques, Kuala Lumpur, Malaysia.
Interrelationship between deformation moduli from CPTU and SDMT tests

for overconsolidated soils
La corrlation entre le module de dformation de CPTU et de tests SDMT
pour les sols surconsolids
Mynarek Z., Gogolik S.
University of Life Sciences, Poznan, Poland
Sanglerat G.
Ingnieur civil des Ponts et Chausses, Lyon, France
ABSTRACT: At the area of Poland glaciations caused overconsolidation in deep layers of the subsoil. It is imperative to take into
account this fact to calculate the differential settlements of structures subjected to great moments, such as wind turbines. Paper
presents the results obtained from the deformation characteristics estimated from CPTU and SDMT tests in clays Vistula and Riss
glaciations with interbedded layers of fluvioglacial sands.
RSUM : En Pologne les glaciers ont provoqu la surconsolidation des couches profondes. Il est impratif de tenir compte de ce fait
pour calculer les tassements diffrentiels des structures soumises des moments importants telles que les eoliennes. On prsente les
rsultats obtenus partir des caractristiques de compressibilit values partir des essais classiques CPTU et SDMT dans des
argiles de Vistula et Riss avec intercalations de couches de sables fluvioglacieres.
KEYWORDS: deformation modulus of overconsolidated soils, CPTU, SDMT
1
INTRODUCTION
Determination of representative values of constrained moduli

and deformation moduli of soils found in the subsoil is a topical
research problem. It is generally known that deformation and
strength parameters may be determined using laboratory and in
situ tests. In the laboratory method the key element in the
evaluation of quality in case of e.g. an oedometric test is
connected with the quality of samples collected for analyses
(Mynarek 2003, Tanaka 2007). This problem is particularly
evident in overconsolidated deposits. This fact indicated that
soil deformation parameters need to be determined in situ using
DMT, CPTU or SDMT method. Static penetration plays a
particularly important role in forecasting values of deformation
modulus of soils, as with the use of this method we may obtain
a continuous picture of changes in moduli in the subsoil in a 1D or 3-D system (Mynarek et al. 2007). The other testing
techniques determine values of moduli pointwise. In CPTU the
constrained deformation modulus is determined from
correlation relationships. For this reason calibration or
assessment of quality of the identification of this modulus using
SDMT is of considerable practical importance (Marchetti 1999).
This paper discusses this problem together with an assessment
of interrelationships between modulus G0 from CPTU and
SDMT tests.
2
INVESTIGATIONS OBJECTS
Subsoil structure in Poland is highly complicated in terms of

their stratigraphy and lithology. The contact zone of the
building structure with the subsoil is comprised primarily of
deposits from the two last glaciations, as well as different forms
of glacilacustrine deposits.
583
Figure. 1 Location of investigated plots in the region of Poland
The subsoil of the investigated area (Fig. 1) comprises

glacial tills of the Riss and Vistula glaciations, Quaternary and
Pleistocene soils and also Holocene fluvial deposits. The effect
of diversification in terms of the genesis and lithology of soils
in the discussed locations is shown in CPTU classification
systems (Lunne et al. 1997) (Fig.2). In turn, Figure 3 presents
examples of geotechnical profiles and results of CPTU and
DMT. CPTU tests were performed using a Hyson 200 kN static
probe by ap van den Berg, while dilatometer tests were
performed with an original seismic dilatometer by Marchetti.
The value of OCR for soils in CPTU testing was determined

using the nomogram proposed by Wierzbicki (2010), in which
OCR values are established on the basis of cone resistance Qt
and the plasticity index of soil Ip is considered. In the case of
non-cohesive soils OCR values were also assessed applying a
diagram proposed by Wierzbicki (2010). This diagram uses
both tests, i.e. CPTU and DMT, as it is constructed on the basis
of the formula proposed by Mayne (2000).
OCR = 5.04 K01,54
(2)
Figure 2. CPTU Soil classification chart (Lunne et al. 1997).
Figure 4. Relaationship between coefficient OCRDMT/OCRCPTU and

coefficient OCRCPTU (group II and III).
Figure 3. Geotechnical profile with CPTU and SDMT characteristics.

Figure 5. Relationship between OCRDMT and OCRCPTU after calibration
(group II and III)
3 CONCEPT FOR THE IDENTIFICATION OF THE SOIL

PRECONSOLIDATION EFFECT IN SUBSOIL
Identification of the relationship between the genesis of subsoil
and a measure determining the overconsolidation rate, eg.
overconsolidation ratio OCR, is a complex problem. Of the two
discussed methods, CPTU and SDMT, the chance to determine
reliable OCR values is greater for SDMT, since the effect of
preconsolidation is strongly related with the geostatic stress ho.
For this reason in order to obtain a continuous picture of
changes in OCR of the subsoil in the examined locations
calibration was performed for OCR values determined using
cone resistance Qt, applying OCR values determined by SDMT.
In the approach three groups were identified for the discussed
locations: with complete drainage sands (group I),
intermediate soils (group II) and clays (group III) (Fig. 2). The
groups of intermediate soils and clays were identified based on
the content of the clay fraction and the plasticity index Ip.
The values of OCR from dilatometer testing for soils of
groups II and III were calculated from the relationship
(Marchetti (1999):
1,56
OCR = 0.5 (KD)

where: KD horizontal stress index
(1)
584
It results from Figs. 4 and 5 that the relationship between

OCR values from both tests has a high statistical evaluation.
This fact makes it possible to construct a direct dependence
between cone resistance Qt and OCR from SDMT (Fig. 6).
Values of OCR determined from this dependence were used to
supplement data for statistical analysis and next in the profiles
at different levels v0, where SDMT testing was not performed.
Figure 6. Relationship between cone resistance qt and OCRDMT

coefficient.
4 THE RELATIONSHIP BETWEEN DEFORMATION

MODULI AND SHEAR MODULI FROM CPTU AND SDMT
4.1
Constrained deformation modulus M
Concepts for the determination of modulus M from CPTU and

SDMT differ fundamentally. This results from the different
techniques of parameter measurements, which are introduced to
the relationship between the measured parameter and modulus
M. Another factor is connected with the different location of
CPTU and SDMT on the characteristics shear modulus 0
shear strain (Mayne 2000). In the case of CPTU modulus M is
determined from the relationship (Sanglerat 1972, Mayne 2000)
MCPTU = 1 (qt - v0)
(3)
In DMT the dilatometer modulus ED is the starting point for

the determination of modulus MDMT (Marchetti 1999)
MDMT = f (ED, KD, ID)
(4)
where KD horizontal stress index according to Marchetti
(1999)
A modified original formula according to Marchetti for the
determination of RM for preconsolidated glacial tills was given
by Lechowicz et al. (2011).
4.2
Figure 7. Relationship between constrained modulus M0CPTU and M0DMT.
Shear modulus G0
A function which describes the relationship between modulus

G0 or G from SDMT or SCPTU and variables which describe
parameters of the soil medium was given by Lee and Stokes
(1986), Jamiolkowski et al. (1995)
G0 = f (v0, e0, OCR, Sr, C, K, T)
(5)
where: (v0 geostatic effective vertical stress, e0 initial void

ratio, OCR overconsolidation ratio, Sr degree of saturation,
C- grain characteristics, K soil structure, T- temperature.
This relationship may be used to forecast values of modulus
G0 directly on the basis of cone resistance Qt.
4.3
4.3.1
Analysis of results
Constrained moduli MCPTU, MDMT
To calibrate the relationship between moduli MCPTU and MDMT

individual moduli were determined from the following
formulas. For the CPTU test according to Mayne (2000) (eq. no.
3).
This formula was verified by oedometric tests. The analysis
showed that for the tested loams and clays the mean value of
coefficient i was close to 8.25.
Modulus MCPTU for non-cohesive soils was calculated from
dependencies supplied by Lunne et al. (1997) depending on
values qc and including the degree of preconsolidation in these
deposits.
Moduli MDMT were calculated prior to calibration from
original formulas proposed by Marchetti et al. (1999).
Figure 8. Relationship between constrained modules M0CPTU and MDMT

after calibration.
For preconsolidated deposits the moduli determined by

SDMT are higher than those from CPTU (Fig. 7). Obtained
relationships fully confirm the opinion by Marchetti et al.
(1999) on this subject.
Calibration of both moduli in order to describe their changes
in the subsoil with changes in v0 is presented in Figs. 8. It was
assumed in the calibration process that modulus MCPTU is the
reference point.
4.3.2
Shear moduli G0DMT , G0CPTU
The determination of shear modulus from CPTU G0CPTU was

based on empirical dependencies
for non-cohesive soils (group 1) (after Hegazy, Mayne

1995)
Vs = 12,02 qt0,319 fs-0,0466
(6)
G0 = Vs2
(7)
for cohesive soils (groups 2 and 3) relationship

determined using multi linear regression
Group 2
G0 = 41,44 qt + 0,31 Gv0 + OCR 1,71
585
(8)
Group 3
G0 = 41,20 qt + 0,37 Gv0 + 0,88 OCR 28,53
using Inverse Distance Weighting Method (IDW) according to

Mynarek et al. (2007).
(9)
CONCLUDING REMARKS
On the basis of the conducted investigations it may be

concluded that the simultaneous use of CPTU and SDMT
provides a continuous picture of changes in rigidity of subsoil
composed of soils with diverse genesis. The effectiveness of
these methods is emphasized by the high statistical evaluation
for the dependence between deformation and shear strength
moduli from both tests. However, to determine this dependence
it is necessary to apply a calibration function. The calibration
function needs to be specified for the soils, which should be
grouped depending on their grain size, since this variable also
influences relationships between parameters measured in CPTU
and SDMT.
After calibration this relationship may be a useful tool in the
construction of a model for rigidity of subsoil based on shear
strength moduli G0 or M0 moduli.
Figure. 9. Relationship between shear modulus G0DMT and G0CPTU
Figure 10. Relationship between measured G0DMT and G0CPTU after the
calibration.
Figure 11. The model of subsoil stiffness calculated on the G0 values

from CPTU, calibrated by SDMT results.
In order to obtain a continuous picture of changes in the shear

modulus G0 the dependence of G0CPTU was calibrated using
measured values of G0DMT (Fig. 10). Moduli G0CPTU determined
from this relationship may be used in the construction of a
model of rigidity for the subsoil composed of soils of varied
genesis. An example of such a model for the foundation of a
wind turbine is presented in Fig. 11. The model was constructed
586
REFERENCES
Hegazy Y.A. & Mayne, P.W. 1995. Statistical correlations between Vs

and CPT data for different soil types. Proc. of Symposium on Cone
Penetration Testing, Vol. 2:173-178.Swedish Geotechnical Society:
Linkping.
Jamiolkowski M., Lancellotta R., Lo Presti D.C.F. 1995. Remarks on
the stiffness at small strain of six Italian clays. International
Symposium on Pre-failure Deformation Characteristics of
Geomaterials. Hokkaido vol.2: 817-836.
Lechowicz Z., Rabarijoely S., Galas P., Kiziewicz D. 2011. Settlement
evaluation of spread foundations on heavily preconsolidated
cohesive soils. Annals of Warsaw University of Life Sciences
SGGW, Land Reclam.Nr. 43 (2,) pp.113-120.
Lee S. H. H., Stoke K. H. 1986. Investigation of low amplitude shear
wave velocity in anisotropics materials. Geotechnical Report No.
GR 86-6, Civil Engineering Department, University of Texas,
Auatin.
Lunne T., Robertson P. K., Powell J.J.M. 1997. Cone Penetration
Testing in Geotechnical Practice, Blackie Academic &
Professional.
Marchetti S., Monaco P., Calabrese M., Totani G. 1999. The flat
dilatometer test. A report to the ISSMGE Committee TC-16.
Mayne P.W. 2000. Stress-Strain-Strength-Flow Parameters from
Enhanced In-Situ Tests. Proc. International Conference on In-Situ
Measurement of Soil Properties and Case Histories, Bali,
Indonesia: 27-48.
Mynarek Z. 2003. Influence of quality of in-situ tests on evaluation of
geotechnical parameters of subsoil. Proc. of 13th European
Conference on Soil Mechanics and Geotechnical Engineering.
Prague. vol.3.
Mynarek Z., Wierzbicki J., Woyski W. 2007. An approach to 3subsoil model based on CPTU results. Proc. of 14th European
Madrid.
Sanglerat G. 1972. The penetrometer and soil exploration. Elsevier,
Amsterdam.
Tanaka H., Nishida K. 2007. Suction and shear wave velocity
measurements for assessment of sample quality. Proc. of the 3rd
International Workshop on in-situ tests and sample disturbance of
clays. Studia Geotechica et Mechaica No. 1. Technical University ,
Wrocaw.
Wierzbicki J. 2010. Evaluation of subsoil overconsolidation by means
of in situ tests at the aspect of its origin. (in Polish). Rozprawy
Naukowe nr 410. Wydawnictwo Uniwersytetu Przyrodniczego w
Poznaniu. ISSN 1896-1894, 182 pp.
Le Gomcamtre, un nouvel essai in situ adapt la mesure des caractristiques

hydro-mcaniques du sol
The Geomechameter test, a new in-situ apparatus adapted to the measurement of the hydromechanical characteristics of the soil
Monnet J.
UJF-Grenoble 1 CNRS UMR 5521, Laboratoire 3SR, Grenoble
RSUM : Un nouvel appareil dessai in situ, le Gomcamtre a t conu et construit. Cette volution du pressiomtre utilise les
forces produites par un coulement d'eau vertical descendant autour de la sonde de mesure pour gnrer un champ de gravit artificiel.
Cet coulement hydraulique permet de rgler la contrainte effective verticale au niveau de la sonde de mesure. L'influence de cette
contrainte est prise en considration dans l'interprtation des rsultats de lessai. l'origine conu pour la caractrisation mcanique
des sols et notamment pour la mesure indpendante des caractristiques de rsistance (cohsion c, angle de frottement des
caractristiques de dformation (module dlasticit E), l'appareil a t modifi pour la mesure de la permabilit (coefficient k) et de
la sensibilit lrosion du sol. Cette nouvelle version de lappareil de 2004 est quipe de la saisie numrique pour la pression, pour
le dplacement radial de la membrane et dune camra vido pour la mesure de turbidit. Un des avantages de cet appareil est la
mesure simultane des principales caractristiques hydro-mcaniques du sol, notamment dans les digues et des remblais. Le sable fin
dHostun a t choisi comme matriau de rfrence pour l'tude exprimentale du modle rduit test en laboratoire. Les limons de
lIsre ont t choisis pour exprimenter le prototype de ce nouvel appareil dessai in situ. Les rsultats des mesures au gomcamtre
sont valids par la comparaison aux rsultats de lessai triaxial pour les caractristiques mcaniques et lessai Lefranc pour la
permabilit. Cette exprimentation est dveloppe au sein du Projet national Erinoh.
ABSTRACT: A new in situ testing apparatus, the Geomechameter, has been designed and built. It is an evolution of the
pressuremeter, using the forces generated by water flow around the measurement probe. The hydraulic flow allows to control the level
of the vertical stress at the test level. The influence of this stress is taken into account in the interpretation of the test results.
Originally designed for the soil mechanical shearing resistance (cohesion c and friction angle ), deformation resistance (Young
modulus E), the apparatus was modified for the measurement of the permeability (coefficient k) and the sensibility to erosion. This
new version of the 2004 apparatus is equipped with numerical gauge for pressure and radial displacement and video camera for
turbidity measurement. One of its interests is the simultaneous measurement of the main hydro-mechanical characteristics of the soil
inside the soil mass, for the dams and embankments. Hostun thin sand was chosen as a material to undergo the experimental study in
laboratory. Isre loam was chosen to experiment the model of this in-situ apparatus. Results of the geomechameter are validated by
comparison of mechanical characteristics obtained by the triaxial test and by the Lefranc injection test for the permeability. This
experiment is developed with the help of the Erinoh project.
MOTS CLEFS : Erosion interne, essais in situ, modlisation numrique, pressiomtre
KEYWORDS: Internal Erosion, In-Situ Test, numerical modelling, Pressuremeter
1
INTRODUCTION
L'essai pressiomtrique peut tre considr comme un essai de

cisaillement entre les contraintes radiales et circonfrentielles
dans la condition de dformation plane, avec la contrainte
verticale qui est la contrainte normale applique sur le plan de
cisaillement (Baguelin et al., 1978). La limite thorique de l'essai
pressiomtrique est lie au fait que la contrainte verticale est
donne par le poids des terres au repos. Ce test peut tre
considr comme un essai de cisaillement unique et il peut tre
utilis pour dterminer soit l'angle de frottement interne (Hughes
et al., 1977 ; Monnet, 1990 ; Monnet & Khlif, 1994 ; Monnet,
2012) ou la cohsion du sol ; il peut tre utilis aussi dans la
conception des travaux de gnie civil (Monnet & Allagnat,
2002). Lorsque la cohsion et l'angle de frottement interne sont
dtermins conjointement, ils sont relis entre eux dans
l'interprtation du pressiomtre, si bien que la valeur de la
cohsion dpend de l'angle de frottement interne.
Lessai au Gomcamtre a plusieurs avantages.
- Il contrle le niveau de contrainte 3D autour de la sonde. Le
principe de l'essai au Gomcamtre est de crer un gradient
hydraulique (Figure 1) pour contrler la contrainte verticale en la
rglant une valeur approprie. Ce nouvel appareil rgle la
587
contrainte radiale et circonfrentielle par lexpansion de la

sonde. Il permet le contrle de l'tat tridimensionnel des
contraintes autour de la sonde, la paroi du forage.
- Il permet la mesure de la cohsion et de frottement. Une srie
de trois essais raliss avec trois valeurs diffrentes du gradient
hydraulique externe i (Eq.3) permet dimposer trois contraintes
verticales diffrentes. Ces trois contraintes verticales
correspondent trois courbes diffrentes dexpansion radiales
qui sont autant de courbe de cisaillement diffrentes. Ceci
permet de dterminer cohsion et l'angle de frottement interne.
Cette possibilit de mesure locale du couple cohsion-frottement
est d'un grand intrt en Gnie Civil.
- Il permet la mesure du coefficient de permabilit et du
coefficient de consolidation. Le pressiomtre peut galement
mesurer la dissipation de la pression interstitielle autour du
forage lorsque la consolidation est atteinte dans un dlai d'une
heure ou plus (Clarke et al., 1979). Le Gomcamtre amliore
cette mesure par une dtermination simultane du module de
cisaillement et de la permabilit et n'a pas besoin d'attendre
jusqu' la consolidation finale.
- Il permet la mesure du risque de l'rosion interne du sol dans
les barrages et les digues. Ce risque aussi appel suffusion
rsulte des exfiltrations. La suffusion semble tre la principale
cause des incidents hydrauliques observs sur les barrages et les

digues. Sur lensemble des barrages qui prsentent des
dommages ou des ruptures, dans 46% des cas on trouve un
phnomne d'rosion interne (Foster et al. 2000). En France, 70
cas critiques ont dj t dtect.
Dans cet article, nous prsentons la nouvelle version du
Gomcamtre qui a t adapt pour la mesure de la suffusion du
sol dans les digues. Pour valider les principes thoriques de
fonctionnement du Gomcamtre, il est ncessaire d'utiliser un
sol standard qui est connu, homogne et dont l'tat initial est
parfaitement dfini. Tous ces paramtres peuvent tre mesurs
dans une chambre d'talonnage. L'essai de ce nouveau dispositif
est ralis avec une dmarche qualit o chaque tape est
soigneusement contrle. L'essai en chambre d'talonnage est la
premire opration de contrle quil est ncessaire deffectuer.
Nous prsentons une premire srie de test de validation de
lappareil dans des conditions relles in-situ.
2
de gravit. Cette action peut tre considre comme l'action

inverse de l'coulement de l'eau de boulance obtenu par la
relation de Terzaghi (Eq.1) :
icrit sat w w
(1)
DESCRIPTION DU GEOMECAMETRE
2.1 La sonde du gomcamtre

Le prototype de la sonde Gomcamtre est constitu de six
modules diffrents.
- Le module 0 relie la tige de forage la sonde.
- Le module 1 : le packer suprieur isole la circulation
hydraulique autour de la sonde de la partie suprieure du forage.
- Le module 2 : il a deux fonctions diffrentes, l'injection de
l'eau dans le sol et la mesure de la turbidit de l'eau extraite la
base de la sonde.
- Le module 3 : c'est la partie centrale de la sonde. Ses
fonctions consistent imposer une pression contrle au forage
par lexpansion dune membrane et mesurer le dplacement
radial au niveau de la sonde.
- Le module 4 : c'est la cellule de pompage qui sert extraire
l'eau du sol.
- Le module 5 : le packer infrieur qui isole la circulation
hydraulique autour de la sonde du bas du forage.
La sonde doit rpondre plusieurs spcifications :
- Il doit tre possible de dmonter les diffrentes parties pour
les besoins d'entretien de lappareil (changement de
membrane,).
- L'indpendance des quatre circulations liquides doit tre
assure, notamment au niveau des liaisons entre les modules
(pompage, injection, pression de l'air, la pression de l'eau).
- La mesure des pressions, des dformations, des dbits, de la
turbidit, doit tre ralise numriquement et stocke sur microordinateur.
- Lexpansion de la sonde, ainsi que la mesure de la
dformation doit tre possible jusqu la pression limite
(doublement du rayon du forage).
Figure 1: Le principe de lessai gomcamtrique
2.2 Evolution de la sonde du gomcamtre

Cette nouvelle version du gomcamtre (Figure 2) permet
de dterminer le risque de suffusion du sol, par la mesure de la
turbidit de leau extraite, en utilisant une vido camra
embarque dans le module 2.
3
TUDE THORIQUE
3.1 Etude analytique : circulation hydraulique autour de la

sonde gomcamtre
Le Gomcamtre (Figure1) est un appareil qui utilise le flux
hydraulique autour d'une sonde gonflable pour augmenter
localement la contrainte effective verticale dans le plan moyen
de la sonde. La charge hydraulique diminue le long de la
trajectoire lorsque l'eau se dplace dans le sol de la tte jusqu'au
pied de la sonde. Une force est applique aux particules de sol
dans la direction de l'coulement. Dans lessai au
Gomcamtre, ces forces sont semblables l'action des forces
588
Figure 2: Le Gomcamtre, version 3, juin 2012
Lorsque le coefficient de permabilit est suprieur 10-8

m/s, l'expansion de la sonde n'a aucune influence sur la pression
d'eau interstitielle (Cambou et Bahar, 1993 ; Frank et Nahra,
1986) et la pression effective peut tre utilise, mais si le
coefficient de permabilit est infrieur 10-10 m/s, le test ne
peut pas tre effectu car le sol devient non drain. Une
modlisation numrique de l'essai (Senouci et Monnet 1999)
montre que dans une unit de volume du sol, la force applique
par le dbit hydraulique peut tre estime au moyen de la
relation (Eq.2). Dans lessai au Gomcamtre, l'eau est injecte
dans le sol de la cellule d'injection une pression d'injection (pi).
Aprs circulation dans le sol, l'eau est pompe par la cellule de
cellule de pompage ( gauche en bas). On voit dans le plan

mdian que la charge hydraulique reste gale constante -2,6m.
Le gradient i (Eq.3) est donc constant dans le plan moyen,
laugmentation de contrainte (Eq.4) est galement constante dans
le plan moyen.
pompage avec une pression (pp). Le gradient hydraulique (Eq.3)

est obtenu par la diffrence entre la charge hydraulique
l'injection et au pompage. L'augmentation de la contrainte
effective verticale (Eq.4) est associe un coulement
hydraulique de gradient i dans le sol, au niveau de la sonde de
longueur le. La contrainte verticale impose au niveau de la
sonde et la profondeur simule sont ainsi trouves (Eq.5-6):
F i . w .V
(2)
(3)
H p le
v ' ( i w ) l e 2
v ' ' .Z sim ' i. w . le 2 vi '
Z sim (1 i. w '). l e 2 Z i
(4)
(5)
(6)
Figure 5 : Influence du gradient hydraulique sur lexpansion de la sonde

du gomcamtre
Figure 3: Comparaison entre les rsultats numriques du Gomcamtre

pour une profondeur simule Zsim=2.74m et la courbe exprimentale
correspondante avec i = 5.25 = 14,2 kN/m3 ' = 50 kPa)
Figure 6 : Un exemple dessai au Gomcamtre 2,2m de profondeur
TUDE EXPERIMENTALE
4.1 Essai au laboratoire Vrification de linfluence du

gradient hydraulique sur lexpansion de la sonde
Des essais ont t raliss en chambre de calibration avec le
sable dHostun au poids volumique de 16kN/m3 (Figure 5). Ils
montrent que la courbe dexpansion pour un gradient de 3 est audessus de la courbe sans coulement. Le gradient hydraulique
produit une augmentation de la rigidit apparente du sol qui peut
tre interprte comme une augmentation de la contrainte
verticale.
4.2 Essai in situ
mcaniques
Figure 4 : Variation de la charge hydraulique autour de la sonde du

Gomcamtre rsultat Plaxis
Dtermination
des
caractristiques
Des essais in situ ont t raliss sur les digues de lIsre (Figure
6). Pour lessai prsent, le dbit est denviron 40 l/min avec 5 h
de temps d'essai. Ce temps est ncessaire pour atteindre un dbit
stabilis satur, afin que la contrainte verticale soit modifie par
la sonde du gomcamtre. La simulation de la contrainte
verticale est 119kPa pour une contrainte verticale au repos de
55kPa, ce qui correspond une augmentation de 64kPa. Lessai
au gomcamtre permet de mesurer, le module lastique 5MPa,
sur le cycle dchargement rechargement. La comparaison avec
les courbes dexpansion thoriques permet la dtermination de la
cohsion 5kPa et de langle de frottement 30,5.
Des essais triaxiaux de contrle ont t effectus sur des
chantillons de limon recompacts en conditions draines la
mme densit. Les rsultats sont indiqus (Tableau 1). On peut
noter pour niveau de contrainte (100kPa) proche de celui
3.2 Etude numrique : Simulation de lessai par Plaxis

La modlisation numrique (Senouci, Monnet 1999) par
programme d'lments finis Plaxis montre que la variation du
gradient hydraulique calcul donne une variation de la contrainte
verticale (Eq.5) qui permet de dfinir une profondeur simule de
la sonde (Eq.6). Les diffrences entre la courbe numrique
trouv par Plaxis la profondeur simule de 2,74 m (Eq.6) et la
courbe exprimentale pour le gradient hydraulique
correspondant (i = 5,25) sont trs faibles (Figure 3).
La variation de charge hydraulique calcule par Plaxis dans
la masse du sol (Figure 4) montre l'augmentation de la charge
hydraulique impose par la cellule d'injection (sur la gauche,
hauteur moyenne) et la dcharge hydraulique impose par la
589
impose par le gomcamtre, un module de Young qui est trs

proche de la valeur mesure in situ avec une diffrence de 10 %,
une cohsion nulle et un angle de frottement 33,5 qui est
lgrement plus grand de 3 que celui trouv in situ. Cette
diffrence peut tre explique par le fait que lchantillon triaxial
est remani, reconsolid, et que cette procdure exprimentale a
supprim la cohsion.
Un nouvel appareil de mesure in situ a t construit pour

tester le sol dans des conditions de contrainte tridimensionnelle.
Le modle rduit du gomcamtre a montr sa capacit
augmenter la contrainte verticale autour de la sonde pendant
l'expansion de la sonde. Ces conditions ont permis de dterminer
les caractristiques de cisaillement des limons de lIsre en
lasticit, cohsion, frottement avec une bonne prcision.
Linjection de leau produite par le gomcamtre a permis de
mesurer la permabilit du limon.
La sonde du Gomcamtre sera quipe d'une micro camra
vido pour la mesure de la turbidit de l'eau extraite et ainsi
dtecter le seuil de suffusion lintrieur des massifs de sols
comme les digues.
4.3 Essais in situ - Dtermination de la permabilit

Le Gomcamtre permet de mesurer la permabilit par la
mesure du dbit inject, avec la relation de Mnard (Eq.7) :
wQ
1
l

ln
2 l p p 0 r0
2
CONCLUSION
(7)
Lessai au gomcamtre a t ralis le long des berges de

lIsre, dans les limons sablonneux. Le coefficient de
permabilit obtenu est de 1,4 10-6 m/s. Ces rsultats peuvent
tre compars avec les essais Lefranc (Tableau 2), qui ont t
raliss sur le mme site pour le Symbhi. A lexception du
forage P250, la permabilit moyenne mesure par l'essai
Lefranc est 1,1 10-5 m/s et la permabilit minimale est de
1,1.10-6 m/s. La permabilit mesure par lessai au
gomcamtre se trouve dans l'chelle des valeurs de l'essai
Lefranc, mais proche de la valeur minimale mesure. D'autres
expriences doivent tre ralises pour confirmer et expliquer
une telle diffrence.
Tableau 1 : Rsultats de lessai triaxial sur un chantillon
remani reconsolid des Limons de lIsre
3
c
kPa
MPa
kPa
60
100
200
300
2,7
4,5
10
18,9
Figure 7 : Mesure de la suffusion entre un point dinjection

et un point de pompage
degr
0,47
0,42
0,3
0,28
33,5
Baguelin F, Jzquel J.F., Shield D.H., 1978, The pressuremeter and

foundation engineering, Series on Rock and Soil Mechanics, Vol. 2,
Trans. Tech. Publication, 335-406.
Cambou B., Bahar R., 1993, Lutilisation de lessai pressiomtrique
pour lidentification de paramtres intrinsques du comportement du
sol, Revue Franaise Gotechnique (N63): 39-53.
Clarke B.G., Carter J.P., Wroth C.P., 1979, In-situ determination of the
consolidation characteristics of saturated clays, Proc. 5th Europ.
Conf. SMFE, Brighton, Vol.2, 207-213.
Foster M., Fell R., Spannagle M., 2000, The statistics of embankment
dam failure and accidents, Canadian Geotechnical Journal, Vol. 37,
pp. 10001024
Frank R., Nahra R., 1986, Contribution numrique et analytique ltude
de la consolidation autour du
pressiomtre, Rapport recherche
LCPC (N137)
Hughes J.M.O., Wroth C.P., Windles D., 1977, Pressuremeter tests in
sand, Geotechnique, Jnl 27 (N 4): 455-477.
Monnet J, 1990, Theoretical study of elasto-plastic equilibrium around
pressuremeter in sands, Proc. 3rd Int. Symp. Pressuremeter,
Oxford, 137-148.
Monnet J., Allagnat D. 2002, Design of a large soil retaining structure
with pressuremeter analysis, Geotechnical Engineering 155, Issue 1,
71-78.
Monnet J., Khlif J, 1994, Etude thorique de lquilibre lastoplastique
dun sol pulvrulent autour du
pressiomtre, Revue Franaise
Gotechnique (N67): 71-80
Monnet J., 2012,
An Elasto-Plastic analysis of the Pressuremeter
Test in Granular Soil part 1: theory , European J. of Environmental
and Civil Engineering, Vol.16, N6, June 2012, 699-71
Senouci S.M., Monnet J, 1999, Modlisation numrique du
Gomcamtre, Revue Franaise de Gotechnique (N88): 21-35.
Tableau 2 : Rsultats de lessai Lefranc test raliss sur les

digues de lIsre
Profils
Profondeur
m
k
m/s
P 252
P 252
P 250
P 248
P 248
P 248
2
4
3
2
5,8
7,5
2,8 10-5
6.6 10-6
1,1 10-6
> 10-3
6,6 10-6
1,1 10-5
RFRENCES
4.4 Dtermination de la suffusion

La micro camra utilise sur le Gomcamtre a t calibre
avec diffrentes concentrations de sol rod. La densit en
couleur rouge a t utilise pour la turbidit de leau. Le systme
a t calibr dans un rservoir rempli d'un mlange de sable et de
gravier, et la turbidit de l'eau des effluents a t mesure. Il
semble qu'une suffusion apparaisse pour un gradient hydraulique
environ 3. Aprs une valeur d'un gradient hydraulique de 6,
l'analyse de l'image montre que l'eau est claire, mais que parfois
certaines particules passent devant la camra et modifient la
valeur de la densit de couleur rouge (Figure 7). Les essais de
juin 2012 nont pas permis de raliser correctement la mesure insitu. De nouveaux essais sont programms pour juin 2013.
590
Analytical approach for determining soil shear strength parameters from CPT
and CPTu data
Approche analytique pour dterminer la rsistance au cisaillement dun sol partir dessai CPT et
CPTu
Motaghedi H., Eslami A., Shakeran M.
Dept. of Civil Engineering, Amirkabir University of Technology, Tehran, Iran
ABSTRACT: The common approaches for soil strength parameters determination from CPT data are on the basis of bearing capacity
and cavity expansion theories. A new method is proposed for C, prediction using all quantities, qc, u and fs from CPTu considering
bearing capacity mechanism of failure at cone tip and direct shear failure along penetrometer sleeve. One advantage of this method is
improvement the accuracy in the case of erroneous data by using all three output of CPTu. Laboratory test results, the two sets of
nonlinear equations by the proposed approach and existing correlations of C and angle parameters have been compared applying on
a data base compiled from four sources. It has been considered that the internal friction angle which is obtained by current methods is
almost relatively higher than the measured values. Also, the comparison indicates good consistency and low scatter for the proposed
method.
RSUM: Les approches communes pour les paramtres de rsistance des sols, dtermins par CPT, sont bases sur la capacit de
cisaillement et les thories dexpansion des cavits. Une nouvelle mthode a t propose pour C, et utilise toutes les quantits de
prvision, qc, u et fs de CPTu, en considrant la capacit de cisaillement et le mcanisme de failure dans type paramide et failure
cisaillement direct, le long du pntromtre manchon (sleeve). Une des avantages de cette mthode est damliorer exactitude dans le
cas des donns fausse utilisation, tout les trois sortie de CPTu. Les rsultats des essais du laboratoire, les deux combinaisons des
quations non linaires, lapproche propose et les corrlations existantes de c et langle de est compare applique sur quatre bases
de donnes. On considre que la friction interne obtenue par la mthode courante est toujours relativement plus grande que la valeur
mesure, aussi la comparaison montre la bonne consistance et le bas scatter pour la mthode propose.
KEYWORDS: Soil shear strength, Cohesion and friction parameters, CPT and CPTu data, Bearing capacity theory
1
INTRODUCTION
penetrometer penetration mechanism, it is assumed that cone tip

resistance (qc) is equivalent with ultimate load of a deep circular
foundation in subsoil and leads the soil mass to be failed.
Whereas, failure assumption in cavity expansion theory is based
on required pressure for forming of deep hole in an elasticplastic environment which is fitted with the pressure needed for
creation and cavity expansion in the same volume under
identical conditions. So far, Muromachi, 1972, Schmertmann,
1978, Mitchell and durgunoglu, 1983, Robertson and
Campanella, 1988, Kulhawy and Mayne, 1990 have studied on
determination of shear strength parameters from CPT and CPTu
data which solely have presented Su in fine grained or in
granular soils.
Geotechnical investigation by CPTu provide continuous vertical

profile of cone tip resistance (qc), sleeve friction (fs) and pore
water pressure (u2) in every inch of the subsoil depth (Lunne et.
al, 1997). The CPTu test is used in soft to medium deposits, and
not applicable in cemented sand, hard clay and gravelly strata.
The penetrometer is a useful tool to identify of thin layers where
the traditional sampling procedures cannot be employed. Also,
using the CPTu test may distinct the liquefiable or collapsible
soil layers around 50 mm thickness in depth (Tavenas and
Leroueil, 1987), (Eslami and Fellenius, 2004).
In alluvial soils containing gas, determining undrained shear
strength by traditional sampling procedures and using UU
triaxial tests may lead to conservative results. In granular soils,
determining the friction angle () as one of the major soil
strength parameters by using direct shear or triaxial tests
involves uncertainties due to sampling difficulties, confining
pressure simulation and limitations of size effects (Mitchell and
Durgunoglu, 1983). The main advantage of CPTu versus other
in situ test procedures is the relatively elimination of
undisturbed sampling, performance in real condition regarding
stress level and geological aspects. Furthermore, by using the
continuous data in one inch interval of depth, shear strength
parameters (C,), can be obtained which have significant role in
geotechnical designs.
3 ANALYTICAL MODEL FOR C AND BY CPTu DATA

By applying two basic equations on determination of the deep
foundation bearing capacity, one for tip and other for
penetrometer sleeve, using the effective bearing capacity instead
of total stress approach and extension of the relationships, a
dual equation system with two unknowns, can be achieved as
below under static loading conditions.
2 SHEAR STRENGTH PARAMETERS BY CPTU DATA
CN + qN + 0.5 BN = q = q u
2
C +
tan = f
3
(1)
Considering deep bearing capacity factors proposed by

(Junbu, 1974 base failure model) and applying the analytical
Eslami and Fellenius, (1997) model based on CPTu results, the
relations can be summarized as follows:
Two main theories have been implemented for the estimation of

shear strength parameters by using CPT and CPTu results;
bearing capacity (Janbu and Senneset, 1974), (Durgunoglu,
1975) and cavity expansion (Vesic, 1972) approaches. The
methods which are based on bearing capacity theories; for
591
N tan 1 tan . exp2 tan

sin 1
. exp2 tan
cos
N Nq 1 cot , N 2Nq 1 tan
(2)
Eq. 3 is expressed according to empirical results for at
Also, Nq can be achieved from Eq. 4 which is shown as below:

q
3.05 10 1.2
p
N
sin 1
q
. exp6.1 10 2.4 tan
cos
p
(3)
(4)
Jamiolkowski and Robertson, 1988 presented a correlation

for as function of and mean in situ stresses:
(5)
q .
7.89 10

Where and are the vertical total and effective

stresses, respectively.
The lateral stress increases by increasing the relative
density. Usually, in calculation, it is assumed that the lateral
stress value is equal to resistant horizontal stress by acceptable
accuracy as follows:
1 sin

(6)
tan
1 sin
4 2
1 sin
,
q
k .
2 1 2k
3
3
2 1 2k
3
3
which is classified as CL. The bottom layer is containing fine

sea alluvial sand which is observed in depth of 11m to 30m and
is classified as SM. Also, the ground water level is located
below 3m of ground surface. For determining soil shear strength
parameters of filed soil stratification, direct shear, triaxial and
uniaxial tests are accomplished on samples. Also, according to
SPT records in subsurface depths around 10m, the N values are
ranged from 22 to 35, which represent medium to dense relative
density for upper layer. The N values in depth of 10m to 14m
and 14m to 30m vary from 12 to 25 and 22 to 45, respectively,
and classified as dense to high dense coarse grained deposit.
The CPTu profile in Sari Narges Hotel site is shown in Fig. 1.
Site No. 3, East Changi, (Choa et al. 2004); site is a recovery
site which is located in eastern costal of Changi Airport in
Singapore. From geotechnical investigations, it is observed that
the geomaterial is a kind of soft to medium clay.
Site No. 4, University of Texas which is known as A&M
Site, (Briaud and Gibbens, 1994). It is one of the international
site of study in geotechnical basis and is located in Texas
Province, USA. Soil deposits are formed of silty sand.
(7)
(8)
(9)
By substitution Eqs. 2 to 9 in two basic Eq.1 can be achieved

two sets of equation.10 as follow:
N 1
u B tan qN BN tan C
q
tan
2
(10)
q
3
C 7.89 10 1 sin tan2
.
3
2

4 EXPERIMENTAL RECORDS FOR EVALUATION
Geotechnical properties and information including experimental

results from the data base of four sites have been compiled.
These records are containing 25 series of CPT and CPTu data
and shear strength parameters measured by laboratory tests
which are used for evaluating developed model. The site
specifications are briefly reviewed as follows:
Site No. 1, Narenjestan tourism complex, (Mandro Co.,
2012); site is located in southern bank of Caspian Sea in
Mazandaran Province, Iran. According to borehole operations
results, observation and field tests from ground level silty sand
with medium dense deposits is located to the depth of 7.5 m.
Following the depth of 7.5 m the firm silt layer with high
plasticity exist with thickness of 2 m. From depth of 9.5 m
down to end of boring poorly graded, silty sand and sand are
located with of dense condition and classified as an SM, SP.
Site No. 2, Narges Hotel complex, (Sham-e Co., 2012); is
located in southern Caspian Sea Shore in the suburb of Sari city
in Iran. The observation of three boreholes by rotary drilling
indicate that the superficial soil layer consists of alluvial gray
sea sand with some silt which exists to the depth of 11m.
According to USCS this layer is classified as SP, SM or SP-SM.
Between depth of 10m to 14m fine clay and silt layer are
located in dirty green color with the thickness of 1m to 4m
592
Figure 1. CPTu profiles in Narges Hotel Complex, (Sham-e Co., 2012)
The accumulated results of analytical procedure in 25 cases

and also laboratory test results are presented in Table 1.
Table 1. Shear strength parameters according to proposed method and
laboratory test results for 25 measure cases
C (kPa)
Site
Soil
qE
fs
Lab
No.
type
(MPa)
(kPa)
test
SM
SP
SM
MH
SP
SM
SM
SM
SM
SM
SM
SM
SM
30
13
11
13
5
22
40
28
30
18
6
5
7
22
65
50
40
55
110
150
140
135
60
75
30
80
4
4.5
4
50
4
4
4
4
6
6
3
0
6
proposed
Lab
Proposed
test
3.7
5
3.8
49
5
3.5
4.5
5
5.2
8.4
2.5
1
6.6
30
30
31
4
33
33
35
35
34
38
32
32
31
32
31
32
6
31
31
36
37
36
37
31
32
32
IV
IV
IV
IV
IV
CL
SM
CL
ML
SM
CH
CL
SM
SM
SM
SM
SM
4
4
2
2
2
2
2
1
7
8
6
9
70
90
14
55
27
56
78
6
30
60
38
75
29
58
30
28
5
57
35
0
0
0
1
9
30
57
29
29
6.1
56
36
1
1
1.5
1.5
8.4
2
2
12
14
16
5
8
33
36
32
-
2.5
2.7
12
15
16
6
9
34
38
33
8
10
Fig. 2. Comparison between the measured cohesion in laboratory and
estimated cohesion by proposed method
5 VALIDATION OF RESULTS AND DISCUSIONS

The accomplished geotechnical study in each site has been upon
borehole excavations. The samples dependent on soil
stratification and from different depths are taken as distributed
and undistributed specimens. For determining the shear strength
parameters, direct shear, uniaxial and triaxial tests are done on
samples in laboratory. Meanwhile, because of high quality of
sampling in triaxial test and logicality of the test results in
laboratory, it can be more adequate. Four practical cases include
CPT and CPTu test results associated with laboratory test
results and SPT records are used for evaluating the proposed
analytical relations.
The measurement results by laboratory tests and also,
prediction by using analytical procedure, are presented in
Table 1. Evaluation of results expressed the fact that the
suggested procedures not only can spontaneously predict and
determine both shear strength parameters but also it contain
acceptable and reasonable results. Fig. 2 is associated to
evaluation and comparison between laboratory results and
suggested analytical model for determining the cohesion
parameter. The measured and predicted C values show good
agreement which denotes the capability of analytical approach.
Also, Fig. 3 shows the comparison between measured values
and analytical procedure results for internal friction angle within
the range of study in four sites. As for the laboratory results
which are achieved from drained triaxial test and suggested
analytical model, it is observed that the proposed analytical
procedures based on CPT and CPTu in cases with cohesion and
internal friction angle, almost has identical to laboratory results.
The laboratory results are compared with different presented
procedures by researchers are shown in Fig. 4a to 4f. According
to graphs, the achieved friction angle values by other procedures
are always greater than the suggested analytical procedure
values and laboratory results. Meanwhile, it is observed that the
friction angle values from Meyerhof, (1974) results are closer to
bisector line indicating close agreement between the predicted
and measured values. Moreover, the presented analytical
procedure and laboratory results have more coincidence and are
closer to actual values. While, the values obtained from current
methods, are more than the experimental results and analytical
method.
The current procedures do not contain any recommendation
for soil cohesion and it is one of the advantages for the proposed
procedure. Also, it is not depending only one of the test outputs
rather, the entire CPT and CPTu outputs such as qc, fs and u are
used in equations, hence the error creation reaches to minimum
value in inaccurate records, because of the simultaneous
employment of each three output quantities, the other
advantages in the presented analytical procedure contrary to
traditional procedures. Furthermore, the shear strength
parameters derived from actual subsurface failure mechanisms
condition in cone tip and sleeve has been realized reasonably in
proposed relations.
Fig. 3. Comparison between estimated and measured values for friction

angle
Fig. 4. Comparison between estimated and measured values for friction

angle
593
6 CONCLUSIONS
Geotechnical study by CPT or CPTu can determine continuous
vertical profile of cone tip resistance (qc), sleeve friction (fs) and
pore water pressure (u) in every inch of the subsoil depth.
Hence, the shear strength parameters can be well determined
which have major role in geotechnical design.
In this study two main theories have been implemented for
the estimation of shear strength parameters by using CPT i. e.,
bearing capacity in cone tip and direct mode of shear failure in
along penetrometer jacket. So far, different researchers have
studied on determination of shear strength parameters from CPT
and CPTu data which solely have presented Su in fine grained or
angle in granular soils. The entire of CPTu data, qc, fs and u
are used to calculate C and , via bearing capacity theory and
shear stress relation at failure condition. By combining these
relations and applying the proposed analytical Eslami and
Fellenius, (1997) model based on CPTu results and direct shear
failure along cone sleeve, the drained shear strength parameters
values include cohesion and internal friction angle can be
derived simultaneously.
In proposed procedure the error creation reaches to minimum
value through inaccurate records, because of the simultaneous
use of each three output quantities. The existence methods for
determining the internal friction angle are rely on only one of
the test outputs (depending only to qc) while the inaccurate
records creates more error in shear strength parameters. But,
three parameters qc, fs and u are dependent on friction angle in
presented procedure and lead to prorate the error cases. The
current procedures do not contain any recommendation for soil
cohesion and it is one of the advantages in the proposed
procedure. The presented procedure differs from common
procedure results by increasing fine grains in soil. Comparison
with 25 data sets of C and from laboratory tests and predicted
by the proposed method indicate good agreement and
consistency.
7 REFERENCES
Briaud J.L. and Gibbens R.M. 1994. Test and Prediction results for Five
large Footing on Sand, FHWA prediction Symp, ASCE Spec, Publ.
41, 255-262.
Campanella R.G. Robertson P.K. and Gillespie D. 1983. Cone
Penetration testing in deltaic soils. Canadian Geotechnical Journal
20(1) ,23-35.
Durgunglu H.T. 1975. Penetration tests of cohesion soils. Proceedings,
ASCE, Speciality Conference on In-Situ Measurements of Soil
Parameters
Eslami A. and Fellenius B.H. 1997. Pile capacity By Direct CPT and
CPTu Methods Applied to 102 Case Histories. Canadian
Geotechnical Journal 34( 6), 880-898.
Eslami, A. and Fellenius, B.H. 2004. CPT and CPTu Data for Soil Profile
Interpretation: Review of Methods and a Proposed New Approach.
Iranian Journal of Science and Technology, Transaction B 28(1), 6986.
Gottardi G. and Tonni, L. 2009. Analysis and interpretation of piezocone
data from the Treporti test site for the evaluation of compressibility
characteristics of silty soils. DISTART Technical Reort NO. 226,
University of Bologna.
Jamiolkowski M. and Robertson P.K. 1988. Closing Adress: Future
Trends for Penetration Testing. Geotechnology Conference
Penetration Testing in UK, Birmingham.321-342.
Janbu N. and Senneset K. 1974, Effective stress interpretation of in situ
static penetration tests. Proceedings of the European Symposium on
Penetration Testing, ESOPT, Stockholm. 22, 81-93.
Kulhawy F.H. and Mayne. P.H. 1990. Manual on estimating soil
properties for foundation design. Electric Power Research Institute,
EPRI.
Lunne T. Robertson. P.K. and Powell J.J.M. 1997. Cone penetration
testing in geotechnical practice, Blackie Acad. Chapman and
Hall/Routledge Press, London,
Mandro. Consulting Engineers Final Report. 2012. Site Investigation
and Geotechnical Survey for Narenjestan Hotel Babolsar located in
Southern Caspian Sea, North of Iran.
594
Maple. Maplesoft, A Division of Waterloo Maple Inc, 1981-2010.

Mayne P.W. 2007. Cone penetration testing. NCHRP Synthesis 368,
Transportation Research Board, National Academies Press,
Washington, D.C
Mayne P.W. Peuchen J. and Bouwmeester D. 2010. Estimation of soil
unit weight from CPT. Proc., 2nd International Symp. On Cone
Penetration Testing, CPT'10, Huntington Beach, CA.
Meyerhof G.G. 1983. Scale effects of pile capacity. Journal of the
Geotechnical Engineering Division, ASCE. 108(GT3). 195-228.
Mitchell J.K. and Durgunoglu. H.T. 1983. Cone resistance as measure of
sand strength. Journal of the Geotechnical Engineering Division,
ASCE. 104(GT7),. 995-1012.
Na Y.M. Choa V. The C.I. and Chang M.F. 2004. Geotechnical
parameters of reclaimed sandfill from the cone penetration test.
Canadian Geotechnical Journal. 42(1), 91-109.
Robertson P.K. 2009. CPT interpretation a unified approach, Canadian
Geotechnical Journal. 49 (11), 1337-1355.
Robertson P.K. and Campanella R.G. 1988. Guidelines for geotechnical
design using CPT and CPTu. University of British Columbia,
Vancouver, Department of Civil Engineering, Soil Mechanics
Series 120.
Robertson P.K. Woeller D.J. and Finno W.D.L. 1992. Seismic Cone
penetration test for evaluating liquefaction Potential under cyclic
loading. Canadian Geotechnical Journal. 29(4), 685-95.
Senneset K. and Janbu N. 1985. Shear strength parameters obtained
from static cone penetration tests. Strength Testing of Marine
Sediments; Laboratory and In Situ Measurement. Symposium, San
Diego, 1984, ASTM Special technical publication, STP 883, 41-54.
Sham-e Consulting Engineers, Final Report. 2012. Site Investigation and
Geotechnical Survey for Narges Hotel sari located in Southern
Caspian Sea, North of Iran.
Tavenas F. and Leroueil S. 1987. State of the art on laboratory and insitu
stress- strain-time behavior of soft clay. Proc. Intl. Symp. on
Geotechnical Engineering of Soft Soils, Mexico City, 1-146.
Vesic A.S. 1972. Expansion of cavities in infinite soil mass. Journal of
the soil Mechanics and Foundations Division, ASCE, .265-290.
th
Use of penetration testing for determination of soil properties in earth dam

Emploi des essais de pntration pour dterminer les proprits de sol pour barrages en
terre
Mulabdic M.
University in Osijek, Croatia
ABSTRACT: The Paper describes a case of a small earth dam for which remediation work was planned, due to bad
construction and possible damage to the dam that could have occurred during filling of the retention. In order to assure
relevant data for the remediation design solution it was necessary to determine the current state of the compacted dam and
properties of the clay fill in the dam. Investigation work consisted of drilling boreholes and performing in situ test on the
dam, and of laboratory testing of soil samples. CPT and DMT in situ tests were carried out nearby the boreholes on the crest.
Potential of these in situ tests in describing physical and mechanical properties of the clay was analysed, since standard
methods of interpretation of these tests are based on natural soils, while the dam was constructed by compacting clay. It has
been shown that CPT and DMT tests are useful in describing properties of a compacted clay embankment, but also that one
should be cautious in using common methods of interpretation of their test results in case of earth fill embankments.
RSUM : Larticle dcrit le cas d'un petit barrage en terre, pour lequel une remise en tat est planifie cause de mauvaise
ralisation et du danger potentiel dendommagement au cours de remplissage de la retenue. Afin davoir des donnes
pertinentes pour les techniques de confortement il a t ncessaire de dterminer ltat actuel du barrage et les proprits de
largile utilise dans la construction du barrage. Les travaux de reconnaissance ont compris les forages et les essais in situ sur
le barrage, ainsi que les essais en laboratoire. Les essais de pntration au cne (CPT) et les essais au dilatomtre (DMT) in
situ ont t faits auprs des trous de forage dans la crte du barrage. Le potentiel de ces essais dans la description des
proprits physiques et mcaniques dargile est analys, tant donn que les interprtations de ces essais sont bases sur les
sols naturels tandis que largile a t mise en uvre dans le barrage par compactage. It est dmontr que les essais CPT et
DMT sont utiles pour lanalyse dtat du sol compact, mais quil faut tre trs attentif dans lemploi des procds standard
dinterprtation des rsultats de ces essais quand il sagit des essais pour les ouvrages en remblai.
KEYWORDS: earth dam, compacted clay, piezocone test, flat dilatometer test, interpretation
MOTS-CLS : barrage en terre, argile compacte, essai au pizocne, essai au dilatomtre plat, interprtation
1. INTRODUCTION
A small earth dam was built as a part of a future irrigation
system. The dam was about 10-meter high at the deepest
point in depression, and was constructed of the clay from
its vicinity. During the construction of the dam it was
noticed that the construction company didn't fully follow
the design requirements and criteria related to zoned
construction, replacement of foundation soil and degree
of compaction of the lifts of clay. During the filling of the
lake, when only few meters of dam slopes were covered
with water, problems with bottom discharge were
observed and filling of water had to be stopped. It was
decided that the dam should be checked for safety against
sliding and deformability, for which geotechnical
properties of compacted clay in the dam should have
been should have been checked in detail. The site testing
program consisted of drilling boreholes for getting
samples for laboratory testing of clay, of penetration
testing CPT and a flat dilatometer test (Marchetti
dilatometer DMT). This paper presents the results of
analysis of the properties of clay in the dam based on in
situ (CPT and DMT) and laboratory testing. Only
boreholes in the crest were used for the analysis, see
Fig. 1.
Figure 1. Position of in situ tests and boreholes on the dam; most

important work was done on the crest (line B2-C4)
From the samples taken during drilling boreholes

specimens were formed for the laboratory testing
program, which comprised the testing of physical and
mechanical properties of clay from the dam. Fig. 2 shows
the plasticity of clay from the dam, determined on
samples from the B2 and B5 boreholes.
595
th
Figure 2. The clay from the dam was of low plasticity; there
were zones of silty clay at some depths
It was determined that generally clay compaction degree

was under 95 % of Proctor value, that water content was
a bit higher than wopt according to Proctor test and that
clay of somewhat lower plasticity was used than that
which was defined by the design solution.
2. CPT AND DMT TESTS
Four CPT test-boreholes and three flat dilatometer
(DMT) test-boreholes were realised, along the crest of the
dam. General interpretation of test results of these two
test types is established for natural soils, and in this case
there is compacted clay human made soil. Therefore it
was necessary to check the applicability of standard
interpretation methods to compacted clay, for both tests.
Both tests were conducted according to relevant
standards (EN 1997 Part 2:2006). Glycerine was used
as fluid in porous stone in CPT cone. It should be noted
that there is not much experience presented in literature
covering CPT and DMT testing in compacted clay. All
empirical and theoretical expressions for the
interpretation of test results of these two tests are based
on natural soils (Larsson and Mulabdic, 1991, Lunne et
al, 1996, Marchetti, 1980).
2.1. Soil identification
Clay in the embankment was never under water, except
for the part deeper than 9 m as measured from the crest.
That required careful cone filter saturation with glycerine.
CPT soil-type identification was done according to a
widely used chart (Robertson, 1990), and in doing so clay
of low plasticity was identified in most cases, with some
thin layers of silty clay (see plasticity chart in Fig. 2).
Pore pressures measured behind the cone (u2) were
almost zero, or slightly negative, in all depths.
Figure 3. DMT (M1, M2, M3) and CPT tests (C1, C2), over the
dam height (cross-section along the crest). Both, CPT and DMT
tests revealed inhomogeinity in the clay embankment it seems
that almost every lift of clay can be spotted over the dam height;
DMT test illustrate interpreted versus required Mv, and CPT test
interpreted versus required cu
On the other hand, DMT test detected a sandy-silty to

silty-sandy soil type, with very rare clayey-silty thin
layers. Therefore there were almost no data for undrained
strength in DMT interpretation. According to Marchetti
(1980), soil type in DMT test interpretation is related to Id
= (p1-p0) / (p0-u0), and for clay soil-type it should satisfy
0.1 < Id < 0.6. Since the value of Id in compacted clay of
the dam was found to be about or higher than 2
(suggesting a sandy or sandy-silty soil type), and there
was no in situ pore pressure in soil, it could be concluded
that p0 was too small, due to structure of compacted soil
and absence of in situ pore pressures.
2.2. Undrained shear strength by CPT
Undrained shear strength from CPT test is calculated
according to common expression (Lunne et al, 1997)
su
qc v 0
Nk
(1)
Value for Nk=15 was used in this case, which is the mean
value of proposed values for natural soils (suggested
values are Nk=11-19), and it was confirmed to be
applicable for compacted clay as well (Fig. 4).
596
th
would be respected, then bigger portion of the

embankment would show lower values then required
compared to situation illustrated in Fig 3 (M proj) .
250
Su (kPa)
200
150
Mv (MPa)
40
80
120
160
200
100
50
0
0
1000
2000
qT - vo (kPa)
3000
4000
3
4
Figure 4. Nk=15 Nk = 15 for compacted clays was found to be

applicable, based on comparable UU and CPT test results
2.3. Modulus of vertical deformation

6
Comparison of modulus of vertical deformation was

made for relevant results for oedometer and CPT test.
Lunne et al (1997) critically analyse expression for
modulus of vertical deformation from CPT test when
determined as
7
8
Mv DMT M3
Mv CPT C2
M 8,25(qT v 0 )
Mv lab
(2)
10
d (m)
In this case it seems that this value should be devided by

factor of two (Fig. 5). This might be due to the fact that
this general expression has limitations, and becouse
oedometer tests were performed on submerged specimens
while CPT and DMT tests were performed on clay fill in
the embankment that was not submerged. Values of Mv
from DMT test were the highest of these three (Fig. 6)
(Fig. 6).
Figure 6. Modulus of vertical deformation from oedometer (on

submerged specimens) was much smaller than from CPT
interpretation (equation (2)) or even lower if compared to DMT
standard interpretation values (performed on clay layers that
were not submerged)
Fig. 7 presents the sets of CPT and DMT tests with a

view to illustrate soil resistance in relation to depth. It
seems that the results of tests from different locations are
very similar throughout the depth of testing.
Mv (MPa)
0
100
200
10
Figure 5. Relationship between laboratory determined modulus

of vertical deformation and corrected tip resistance for CPT test,
around B5 borehole
qc [MPa]
10
20
10
M3
12
M2
C1
12
M1
14
d (m)
Based on a limited number of available test results, the

expression Mv=4, 3 (qt-vo) seems to better fit test results
than the equation (2). Modulus seems to be half of the
value suggested by that commonly used equation. If
relationship between DMT-Mv and LAB Mv from Fig 6
14
d (m)
Figure 7. CPT and DMT tests in cumulative presentation
597
C2
th
The influence of presence of water on DMT test results

interpretation in terms of modulus Mv was discussed in
Mulabdic and Bruncic (2000) for natural soils. They
concluded that error in water depth assumption had
limited influence on interpreted Mv values. Here we are
dealing with compacted clay, never being submerged,
and obviously soil would be softer if it were submerged.
That is, it is difficult to predict soil modulus Mv for the
state of a submerged embankment fill from an in situ test
performed on a non-submerged embankment fill. Only
comparison as shown in Fig. 6 can be used as a guide for
correcting in situ evaluated parameters to laboratory
values, but even then correction would not be constant
with depth.
these two in situ tests was to determine compacted clay

condition and its physical and mechanical properties in a
continuous profile by depth and at different positions on
dam crest. The tests and the interpretation of their results
were performed according to accepted standards. Based
on analyses of all test results from in situ and laboratory
tests the following conclusions can be drawn from this
case: (1) CPT and DMT detected inhomogeneous clay
conditions very clearly along the depth, both in static
testing and in seismic testing (SDMT), (2) common
interpretation of CPT and DMT test results should be
used with caution, allowing for appropriate corrections
when tests are performed in compacted clays, since they
are developed for natural clays, and here we deal with the
compacted man made soil; (3) it is of importance for
the analysis and perception of clay properties whether the
embankment is dry or submerged at the time of
performing in situ tests; (4) CPT and DMT tests showed
remarkable repeatability and proved to be valuable aid in
characterizing embankment quality, both in terms of
inhomogeinity and physical and mechanical properties;
SDMT results also proved to be particularly useful; (5)
local correlations between laboratory and in situ test
results should always be used, in order to properly
account for effects of the presence of water (submerged
or non-submerged), specific structure of compacted soil,
specific stress distribution and limited experience in
using in situ tests for the characterization of compacted
soils.
Tests marked as M1, M2 and M3 (DMT-tests) were

performed in one run as standard tests and seismic tests
(SDMT), using a special seismic probe installed above
blade (Cavallaro et al, 2006). Fig. 8 shows wave
velocities measured in 0,5-meter depth intervals. Since
velocity is a measure of soil structure and its rigidity,
variability of those two parameters should be regarded as
a basic indication of the variability of soil mechanical
properties. These variabilities are more pronounced in
wave velocity diagrams than in CPT and DMT standard
diagrams. Although velocities generally increase with
depth, there are weaker and stronger intervals at certain
depths in M2 and M1 boreholes. The M3 location shows
constant increase in shear wave velocity by depth.
100
v (m/s)
200
4. ACKNOWLEDGEMENTS
300
400
0,0
0,5
1,0
1,5
2,0
2,5
3,0
3,5
4,0
4,5
5,0
5,5
6,0
M1
6,5
M2
7,0
M3
7,5
8,0
d (m)
Figure 8. Measured shear wave velocity at different SDMT
locations, depth intervals 0,5 m
Cooperation with designing company Elektroprojekt,

Zagreb, Croatia, in the planning, execution and analysis
of investigation work is highly appreciated.
5. REFERENCES
Design solution documentation for Opatovac dam, Elektroprojekt,
Zagreb, 2006.
EN 1997-2:2006. Eurocode 7: Geotechncial design - Part 2Ground investigation and testing.
Larsson, R. and Mulabdi, M. 1991. Piezocone tests in clay.
Swedish Geotechnical Institute, Report No. 42, Linkping,
pp 240.
Lunne, T., Robertson, P.K., Powell, J.J.M. 1997. Cone
Penetration Testing in Geotechnical Practice, E & FN
Spon, pp 312.
Marchetti S. 1980. "In Situ Tests by Flat Dilatometer", ASCE
Journal GE, Vol. 106, No. 3, March 1980, pp 299-321.
Mulabdi, M. and Bruni, A. (2000.). Prilog analizi primjene
dilatometra Marchetti, Graevinar, Vol 52, No. 1, pp 9-17
(in Croatian).
Robertson,P.K. 1990. Soil classification using the cone
penetration test. Canadian Geotechnical Journal, 27 (1),
151-8.
Cavallaro, A., Grasso, S. and Maugeri, M. 2006. Clay Soil
Characterization by the New Seismic Dilatometer
Marchetti Test (SDMT), Proc. 2nd international flat
dilatometer conference.
3. CONCLUSIONS
The paper presented the case of an earth dam of a poor
construction quality. In order to characterize clay fill in
the embankment in terms of its physical and mechanical
properties, CPT and DMT tests were performed in
addition to borings and laboratory testing. The purpose of
598
Diagnosis ofof
earth-fills
and and
reliability-based
design design
Diagnosis
earth-fills
reliability-based
Diagnostic de remblais de terre et conception base sur la fiabilit
Diagnostic de remblais de terre et conception base sur la fiabilit
Nishimura S., Shuku T.
Graduate School of Environmental Science, Okayama University
Suzuki M.
Institute of Technology, Shimizu Co.
ABSTRACT: This research deals with the maintenance strategy of geotechnical structures such as earth-fill dams and river
embankments. To determine the soil parameters, the standard penetration test (SPT) N-values are frequently used. Firstly, a
statistical model for the N-values is determined from sounding test results. In this research, Swedish Weight Sounding (SWS) tests,
simpler than SPT, are employed. Secondly, an indicator simulation is conducted to interpolate the spatial distribution of the N-values,
and the results are utilized to find degraded areas inside the embankments and to maintain the embankments. Based on the statistical
model for the N-values, the shear strength parameter is derived through the empirical relationships, and then a reliability analysis of
the embankments is conducted considering the variability of the internal friction angle. Finally, the effect of improving the
embankments is discussed, comparing the calculated risks of the original state with the improved and restored state.
RSUM : Cette recherche porte sur la stratgie de maintenance des structures gotechniques comme les barrages en remblais de
terre et les digues fluviales. Les valeurs N du test de pntration standard (SPT) sont frquemment utilises pour dterminer les
paramtres du sol. Premirement, le modle statistique de N valeurs est dtermin partir des rsultats des essais de sondage. Dans
cette recherche, on utilise le sondage par poids sudois (SWS), plus simple que le SPT. Deuximement, une simulation indicatrice est
effectue pour interpoler la distribution spatiale de N valeurs, et les rsultats sont utiliss pour trouver les zones dgrades l'intrieur
des remblais, pour l'entretien des remblais. Bass sur le modle statistique de N valeurs, les paramtres de rsistance au cisaillement
sont dduits des relations empiriques, ensuite, l'analyse de fiabilit des remblais est effectue en tenant compte de la variabilit de
l'angle de frottement interne. Finalement, l'effet de l'amlioration du remblai est discut, en comparant lanalyse de risque calcule
partir de ltat initial et de ltat des remblais amliors et restaurs.
KEYWORDS: earth-fill dam reliability-based design, indicator simulation, statistical model of N-value
INTRODUCTION
There are many earth-fill dams for farm ponds in Japan. Some
of them are getting old and decrepit, and therefore, have
weakened. Making a diagnosis of the earth-fills is important for
increasing their lifetime, and an investigation of the strength
inside the embankments is required for this task. In the present
research, firstly, the spatial distribution of the strength
parameters of decrepit earth-fills is discussed, and an
identification method for the distribution is proposed. Although
the strength of earth-fills is generally predicted from the
standard penetration test (SPT) N-values, Swedish Weight
Sounding (SWS) tests are employed in this research as a simpler
method of obtaining the spatial distribution of the N-values.
SWS tests are advantageous in that they make short interval
exams possible, because of their simplicity.
To mitigate disasters, improvement works are conducted on
the most decrepit earth-fill dams. Since there is a recent
demand for low-cost improvements, the development of a
design method for optimum improvement works at a low cost is
the final objective of this research. A reliability-based design
method is introduced here in response to this demand.
Generally, the identification of the spatial correlation of soil
parameters is difficult, since the usual sampling intervals are
greater than the spatial correlation. Therefore, sounding tests
are convenient for determining the correlation lengths. Tang
(1979) determined the spatial correlation of a ground by cone
penetration tests (CPT). Cafaro and Cherubini (1990) also
evaluated the spatial correlation with CPT results. Uzielli, et al.
(2005) considered several types of correlation functions for CPT
599
results.
Firstly, statistical models for the N-values are
determined from the SWS test results.
Secondly, the
relationship between the SPT and the SWS N-values is
modeled, including the transformation error term. The N-value
distributions derived from SWS are spatially interpolated with
the indicator simulation (Journel and Huijbregts 1978), which is
one of the geostatistical methods. The simulated spatial
distribution of the N-values can be used for the health
monitoring of the inside of an embankment. To evaluate the
risk to earth-fill dams, due to the earthquakes, the circular slip
surface (CSS) method is used as the stability analysis method
along with the soil-water coupling finite element method. The
finite element method is used to estimate the normal and the
shear stress values on the slip surfaces. In this study, the Monte
Carlo method (MCM) is combined with the CSS method to
obtain the probability of failure. The procedure for the CSS
method, combined with the MCM, has also been conducted by
Shinoda, et al. (2006) and Yoshida, et al. (2005).
The strength parameter, namely, internal friction angle ,
derived from SWS tests, is considered to be the probabilistic
variable in this research. Additionally, two transformation error
terms, namely, the error terms from the SWS N-value to the
SPT N-value, and from the N-value to the internal friction angle,
are introduced to the MCM. Finally, the risk to an earth-fill
dam is calculated from the costs that would be incurred due to
embankment failure and probability failure. In this study, the
effect of improving an embankment is evaluated as a reduction
in risk between the original and the improved states.
INSITU TEST RESULTS
Although high-density sampling is required in order to evaluate

the spatial distribution of soil parameters, the amount of data is
not sufficient in the general sampling plans. In such cases,
sounding is a convenient way to identify the spatial distribution
structure of soil parameters. In this research, an embankment at
Site H is analyzed, for which SWS tests were conducted at 9
points, at 5-m intervals, along the embankment axis, as shown
in Figure 1. The soil profile of the embankment is categorized
as intermediate soil.
Generally, the strength parameters are assumed based on
standard penetration tests (SPT) with the use of empirical
relationships. In this research, Swedish weight sounding tests,
which are simpler than SPT, are employed instead of SPT.
Inada (1960) derived the relationship between the results of SPT
and SWS. Equation (1) shows the relationship for sandy
grounds, and the relationship is shown in Figure 2.
NSPT 1 0.354
NSWS
(2)
Top of embankment
Plan view of test points
Figure 1. Plan view of embankment and testing interval.
30
25
20
J
J
15
10
JJ
50
C Cij
1 2
J
J
J
J
J
J
150
200
250
(a)
2 exp x i x j lx2 zi z j lz2

2
2 exp
(b)
x j lx2 z i z j lz2 (c)
N e 2 exp x i x j lx z i z j lz
(d)
(6)
i, j 1,2, , M
(3)
The random variable function, s(X), is discretized spatially into

a random vector s=(s1,s2,...,sM), in which sk is a point estimation
value at the location X=(xk, yk, zk). The soil parameters, which
are obtained from the tests, are defined here as S=(S1,S2,..., SM).
Symbol M signifies the number of test points. Vector S is
considered as a realization of the random vector s=(s1,s2,...,sM).
If the variables s1, s2,...,sM constitute the M - variate normal
distribution, the probability density function of can then be
given by the following equation.
C
in which (xk, zk) means the coordinate corresponding to the

position of the parameter sk, and a0, a1, a2, a3, a4, and a5 are the
regression coefficients.
C is the MM covariance matrix, which is selected from the
following four types in this study.
A representative variable for the soil properties, s is defined by

Equation (3) equation as a function of the location X=(x, y, z).
Variable s is assumed to be expressed as the sum of the mean
value m and the random variable U, which is a N(0,1) type
normal random variable in this study.
M 2
Nsw
Wsw(N)
Determination method
f S s 2
Figure 2. Relationship between SWS results and SPT N-values.
STATISTICAL MODEL OF N-VALUES
sX mX U X
100
2 exp x i x j lx zi z j lz
3.1
J
J J
JJ
JJ
J
J
J
J J J J
JJ J
J
J J JJ
JJ
J
J J J JJ
J J J J JJ
J
J
J JJ
JJ J
JJ J J J J
JJ
JJJ
JJ
in which r is an N(0,1) random variable.

3
No.5
No.4
No.3
5m
(1)
in which NSWS is the N-value derived from SWS, NSW is the

number of half rations and WSW is the total weight of the
loads. Based on this data, the variability of the relationship is
evaluated in this study, and the coefficient of variation is
determined as 0.354. The determined -limits are also shown in
Figure 2 with broken lines. Considering the variability of the
relationship, the SPT N-values are derived by
No.2
0
250
500
750
1000
NSWS 0.67NSW 0.002WSW
No.1
t
exp s m C -1s m
2
(4)
in which m=(m1,m2,...,mM) is the mean vector of random

function s=(s1,s2,...,sM) and is assumed to be the following
regression function. In this research, a 2-D statistical model is
considered, namely, the horizontal coordinate x, which is
parallel to the embankment axis, and the vertical coordinate z
are introduced here, while the other horizontal coordinate y,
which is perpendicular to the embankment axis, is disregarded.
k a0 a1 x k a2 zk a3 x k2 a4 zk2 a5 x k zk
(5)
600
in which the symbol [Cij] signifies a i-j component of the

covariance matrix, is the standard deviation, and lx and lz are
the correlation lengths for x and z directions, respectively.
Parameter Ne is the nugget effect. The Akaikes Information
Criterion, AIC (Akaike 1974) is defined by Equation (7),
considering the logarithmic likelihood.
AIC 2 maxln f S S 2L
M ln2 min ln C S m C1 S m 2L
t
(7)
in which L is the number of unknown parameters included in

Equation (4). By minimizing AIC (MAIC), the regression
coefficients of the mean function, the number of regression
coefficients, the standard deviation, , a type of the covariance
function, the nugget effect parameter, and the correlation
lengths are determined.
3.2
Determination of statistical model of SWS N-values
The mean function and the covariance function of the SWS Nvalues, NSWS, are determined with MAIC, and the mean and the
-limits are exhibited in Figure 3. Although the covariance
functions given by Equation (6) were examined, the available
correlation lengths were not identified. Therefore, additional
mean functions are examined. Since the periodic tendency,
whose period is about 10 m along the horizontal axis, is found,

the term sin{(x/5-1/2)} was added to Equation (5). The
determined mean function is
x 1
m 1.98 0.816 sin 0.157z
5 2
(8)
The covariance function is determined by
Cij 0.75 exp x i x j 6.14 zi z j 0.63

Cij 1.24
i j
(9)
i j
The horizontal correlation length is identified to be

approximately ten times of the vertical one. Since this rate is
similar to the values published previously (e.g. Soulie et. al.
1990), the correlation lengths identified here are judged to be
appropriate. The boundary between the base ground and the
embankment is determined based on the SWS results.
The N-distribution predicted based on the determined
statistical models with aid of the indicator simulation method
(Deutsch and Journel 1990), which is one of the geo-statistical
methods, and interpolates the point-estimated N-values, is
exhibited in Figure 4. The horizontal periodicity of the Nvalues is presented according to the figure.
4 RELIAIBILITY-BASED DESIGN OF A FILLEMBANKMENT
4.1
Figure 3. Spatial distribution of NSWS and statistical model.

0
i j
5
10
7
9
15
20
i j
25
15
Figure 4. Predicted spatial distribution of N-value.
Bs
Ac
As
Gr
(a) Original embankment.
Rigid soil
Core
Bs
Ac
Block
As
Gr
(13)
0.5
N1 N SPT v ' /98
(12)
The analytical sections of the original embankment, and the

improved and restored embankment are exhibited in Figure 5.
The embankment is improved by constructing an inclined core,
and by covering the original embankment with the additional
soil for reinforcement. The material properties are given in
Table 1. The soil parameters are determined from the SPT Nvalues and the laboratory soil tests. The Bs means the
embankment material; it is determined from the N-values based
on the SWS results to consider the spatial distribution. The
effective internal friction angle '=d, is obtained from the
conversion, namely, Equation (14) (Hatanaka and Uchida
1996). In the equation, 5.3f is the conversion error, in which f
is an N(0,1) type normal random variable, and the ratio of 5.3 is
the standard deviation.
' 20N1 20 5.3 f
40
13
Cij 0.75 exp y i y j 6.14 hi h j 0.63

Cij 1.24
35
11
A stability analysis is conducted and the risk is evaluated for an

earth-fill dam at Site H to analyze the transversal section, the
mean of the equation. As a mean function, Equation (12) is
proposed by averaging Equation (8) along the x axis, while the
covariance function is defined as Equation (13), in which
coordinate x is replaced by y of Equation (9), and depth z is
replaced by elevation h. This assumption is based on the reason
why the embankments are compacted horizontally in the
construction, and the correlation structure at the same elevation
is homogeneous.
2
Horizontal Coordinate x (m)

10
15
20
25
30
Statistical model of an embankment
m 1.89 0.157z
Depth (m)
(14)
0.5
(15)
in which v' is the effective vertical stress.
(b) Restored embankment.

Figure 5. Cross sections and critical slip surfaces of embankments.
4.2
Reliability analysis
In the stability analysis, the pore water pressure is required; it is

calculated with a saturated-unsaturated seepage finite element
analysis (e.g., Nishigaki 2000). In the restored embankment, the
water table level is dramatically reduced by the existence of the
impermeable zone. Consequently, this reduction can make the
embankment stable.
The circular slip surface method is employed as the stability
analysis in this study. For uncertain factors, the random
numbers are assigned, and the stability of the embankments is
evaluated as the probability of failure with the use of the Monte
Carlo method. For the reliability analysis, Equation (16) is
defined as a performance function, in which the internal friction
angle is a probabilistic parameter. As the load of the
earthquake, the design earthquake intensity of 0.15 is
considered.
n
g fi si li
i1
601
(16)
Table 2. Result of reliability analysis.
Table 1. Parameters of embankment materials.
Fs
Pf
Cf
CF
Original
1.04
0.197
2,000
3,940
Restored
1.62
2,000
CF = C f Pf
original embankment, and the probability of failure is nearly

20%, which seems very high. For the restored embankment, on
the other hand, the probability of failure is nearly zero and the
evaluated reduction in risk is drastic, at a value of 39,400,000
JPY. The reduction value means the effect of the improvement
work for the embankment.
n
f
Figure 6. Slip surface across an element
where f and s are the shear strength and the shear force on the
slip surface exhibited in Figure 6, which shows a slip surface
across a finite element. In the figure, li is the length of the slip
surface of element i, and n is the number of elements, which a
slip circle crosses. The strength, f is defined by the MohrCoulomb law of Equation (17). Normal stress n and shear
force s are defined in Figure 6, and calculated with the soil and
water coupling finite element method in this study. In the finite
element analysis, the pore pressure is estimated in the saturated
zone identified with the saturated - unsaturated seepage
analysis, and the negative pore water pressure in the unsaturated
zone is disregarded. This assumption can simplify the analysis
and make an evaluation for the stability that is on the safe side.
f c' n 'tan '

n '
' ' ' 'cos2

z
2
2
z ' y 'sin2 cos2
s
yz
2
yz
sin2
(1) A method to determine the statistical models of the soil

strength was presented. The indicator simulation, which is one
of the geostatistical methods, was employed. With the proposed
procedure, a detailed spatial distribution of the N-values was
exhibited.
(2) Based on the determined statistical model of the internal
friction angle, including the spatial distribution of the N-values,
the two conversion errors, from the SWS N-value to the SPT Nvalue, and the SPT N-value to the internal friction angle, the
reliability analysis was conducted for an earth-fill embankment,
and the probability of failure was evaluated for the original state
of the embankment and the restored state of the embankment.
By comparing the risks between the original state and the
restored one, the effect of the improvement work of the
embankment was evaluated
6
(18)
This work was partly supported by JSPS KAKENHI

(23248040).
(19)
(20)
For the internal friction angle ' of the embankment material Bs,
is dealt with as a random variable. Firstly, the random numbers
considering the spatial distribution derived from Equations (12)
and (13) are assigned to the NSWS. Secondly, the random
variable NSPT is evaluated by Equation (2) by considering the
conversion error r, and then the ' is obtained with Equation
(14), including the conversion error term 5.3f. The Monte
Carlo method is iterated 1000 times.
4.3
CONCLUSIONS
(17)
in which c' is the effective cohesion, ' is the effective internal

friction angle, z' and y' are the vertical and the horizontal
stresses, yz is the shear stress, and is the angle between a
horizontal plane and a slip surface. The probability failure is
evaluated with Equation (20) through the use of the Monte
Carlo method.
Pf Pr obabilityg 0
Unit (10000 JPY)
Risk evaluation
Two cases of the original embankment and the restored one are
compared, whose cross sections are shown in Figures 5(a) and
(b). In the figures, the representative slip surfaces, which give
the minimum safety factors, are exhibited. In Table 2, the
results of the reliability analysis are shown, in which Fs is the
average factor of safety, Pf is the probability of failure, Cf is the
failure cost, including the damage to houses, agricultural
facilities, and farm lands, and CF is the value of the expected
failure cost. The average factor of safety is almost 1.0 for the
602
ACKNOWLEDGEMENTS
REFERENCES
Akaike H. 1974. A new look at the statistical model identification. IEEE

Trans. on Automatic Control, AC-19 (6), 716-723.
Cafaro F. and Cherubini C. 2002. Large sample spacing in evaluation of
vertical strength variability of clayey soil. Journal of Geotechnical
and Geoenvironmental Engineering 128 (7), 558-568.
Deutsch C.V. and Journel A.G. 1992. Geostatistical Software Library
and Users Guide, Oxford University Press.
Inada M. 1960. Usage of Swedish weight sounding results. Tsuchi-toKiso, J. of JSSMGE 8 (1), 13-18 (in Japanese).
Journel A.G. and Huijbregts Ch.J. 1978. Mining geostatistics, Academic
Press.
Hatanaka M. and Uchida A. 1996. Empirical correlation between
penetration resistance and internal friction angle of sandy soils.
Soils and Foundations 36(4), 1-9.
Nishigaki M. 2001. AC-UNSAF3D User's Manual. (in Japanese).
Shinoda M., Horii K., Yonezawa T., Tateyama M. and Koseki J. 2006.
Reliability-based seismic deformation analysis of reinforced soil
slopes. Soils and Foundations 46 (4), 477-490.
Soulie P., Montes P. and Silvestri V. 1990. Modelling spatial variability
of soil parameters. Canadian Geotechnical Journal 27. 617-630.
Tang W.H. 1979. Probabilistic evaluation penetration resistances.
Journal of the geotechnical engineering, ASCE, 105(GT10). 11731191.
Uzielli M., Vannucchi and Phoon, K. K. 2005. Random field
characterization of stress-normalized cone penetration testing
parameters. Geotechnique 55(1), 3-20.
Yoshida, I., Arakawa, T., Kitazume, T. and OOtsu H. 2005. Study on
seismic probabilistic safety assessment of a slope, Journal of
geotechnical engineering, JSCE, No.785, 27-37.
th
Correlation between cone penetration rate and measured cone penetration

parameters in silty soils
Corrlation entre le taux de pntration dun cne et des mesures de paramtres de pntration au
cne dans les sols limoneux.
Poulsen R., Nielsen B.N., Ibsen L.B.
Aalborg University, Department of Civil Engineering, Aalborg, Denmark
ABSTRACT: This paper shows, how a change in cone penetration rate affects the cone penetration measurements, hence the cone
resistance, pore pressure, and sleeve friction in silty soil. The standard rate of penetration is 20 mm/s, and it is generally accepted that
undrained penetration occurs in clay while drained penetration occurs in sand. When lowering the penetration rate, the soil pore water
starts to dissipate and a change in the drainage condition is seen. In intermediate soils such as silty soils, the standard cone penetration
rate may result in a drainage condition that could be undrained, partially or fully drained. However, lowering the penetration rate in
silty soils has a great significance because of the soil permeability, and only a small change in penetration rate will result in changed
cone penetration measurements. In this paper, analyses will be done on data from 15 field cone penetration tests with varying
penetration rates conducted at a test site where the subsoil primary consists of sandy silt. It is shown how a reduced penetration rate
influences the cone penetration measurements e.g. the cone resistance, pore pressure, and sleeve friction.
RSUM: Dans cet article, on montre comment un changement dans le taux de pntration dun cne affecte les mesures de
pntration de cne, d'o la rsistance du cne, la pression interstitielle et la friction manche en sol limoneux. Le taux normal de
pntration est de 20 mm/s, et il est gnralement admis que la pntration se produit dans de l'argile non draine alors que la
pntration se produit dans le sable drain. Lors de l'abaissement du taux de pntration, l'eau interstitielle du sol commence se
dissiper et un changement de l'tat de drainage est vu. Dans les sols intermdiaires, tels que les sols limoneux, le taux de pntration
de cne standard peut conduire un drainage des conditions qui pourraient tre non draines, partiellement ou totalement dcharge.
Cependant, l'abaissement du taux de pntration dans les sols limoneux a une grande importance en raison de la permabilit du sol et
seulement un petit changement dans le taux de pntration se traduira par des mesures de pntration au cne chang. Dans ce
document, les donnes de 15 essais sur le terrain de pntration au cne, avec diffrents taux de pntration menes sur un site d'essai
o le premier sous-sol se compose de limon sableux, sont analyss. Linfluence dune rduction du taux de pntration sur les
mesures de pntration dun cne, par exemple la rsistance du cne, la pression de pore, et la friction manchon, est dmontre.
KEYWORDS: Silt, CPT, penetration rate, cone resistance, pore pressure, sleeve friction, drainage, in situ testing.
1
INTRODUCTION
The Cone Penetration Test (CPT) is an in situ testing method

that todays geotechnical engineers often make use of when
determining soil parameters, and classifying soil type. The
standard rate of penetration is 20 5 mm/s, (ASTM 2007), and
while the cone is pushed into the ground the cone resistance,
(qc), pore pressure (u2), sleeve friction (fs), and depth (d) are
measured.
During the penetration, the pore water starts to dissipate, and
the dissipation for sands occurs so quickly that the penetration
appears as fully drained, whereas the dissipation happens over
time for clays, for which reason the penetration is undrained in
clays. For intermediate soil, such as silty soils, the penetration is
somewhat in between; that is partially drained.
According to several researchers (Silva and Bolton 2005,
Lehane et al. 2009, Kim et al. 2008, Schneider et al. 2008,
Chung et al. 2006, House et al. 2001), the drainage is dependent
on the soil permeability, compressibility and penetration rate.
The soil permeability and compressibility are both connected to
the soil type. However, the penetration rate is regardless of soil
type 20 mm/s.
When the penetration rate is lowered, the pore water
dissipates (change in drainage condition) which results in an
increased cone resistance (Lehane et al. 2009, Kim et al. 2008,
Chung et al 2006, House et al. 2001). For this reason, the largest
cone resistance that could be obtained corresponds to a fully
drained penetration. This effect has been shown by several
6031
researchers (Chung et al. 2006, House et al. 2001 and Randolph

and Hope 2004) from laboratory tests in clay. Kim et al. (2008)
also conducted laboratory as well as field cone penetration tests
in cohesive soil and found that the soil behaves undrained for a
penetration rate of 20 mm/s and partially drained for a
penetration rate of 0.05 mm/s.
According to Poulsen et al. (2011a), the change in
penetration rate and hence drainage condition has a greater
impact in silty soils where the standard rate of penetration often
induces a partially drained penetration.
This paper analyses data from 15 field cone penetration tests
conducted with a penetration rate varying from 60 to 0.5 mm/s.
Only a short description of the method for the cone penetrations
tests will be given. The results and the interpretation of how a
change in the penetration rate affect the measured parameters,
hence the cone resistance, pore pressure, and sleeve friction will
be given.
2
DESCRIOTION OF EXEPERIMENTAL PROGRAM
The aim of the research is to examine how a change in the cone

penetration rate affects the measured cone penetration
parameters when conducting cone penetration tests (CPT). The
research was carried out at a test site located in the northern
Jutland in Denmark, more specifically at a field near the town
Dronninglund.
3.1
Test site soil stratigraphy
The soil stratigraphy was at the test site identified by means of

two geotechnical boring results. In addition, soil samples were
collected and laboratory tests were executed in order to classify
the soil. Both test results show that the subsoil consists of sandy
silt with clay stripes from approx. 4.5 to 11.4 m below ground
level. Above 4 m, the soil consists of silty sand, and below 11 m
the soil consists of clay with sandy silt stripes. In addition, the
groundwater was encountered at approximately 0.2-0.6 m below
the ground level. Generally, the soil is much layered and
inhomogeneous which makes the soil difficult to classify.
However, in Poulsen et al. (2012a), the soil was overall
classified as sandy silt with clay stripes.
2.2
In Figure 2, the smoothed pore pressure from 4.5 to 11.4 m

for the CPTs conducted with a penetration rate of 60 and 0.5
mm/s can be seen.
6
7
North coordinate (m)
In order to examine how a change in the cone penetration rate

affects the measurements, various cone penetration tests have
been conducted. A total of 15 CPTs with five different
penetration rates were conducted; these were 60, 20, 5, 1, and
0.5 mm/s. All CPTs were conducted with a distance of
approximately 3 m. This was done to make sure that the
drainage of each CPT would not affect the drainage of the other
CPTs. The location of the 15 CPTs can be seen in Figure 1.
60mm/s
20mm/s
5mm/s
1mm/s
0.5mm/s
Borings
577650 577660
East coordinate(m)
577670
Figure 1 Location of the 15 CPTs with penetration rates of 60, 20, 5, 1

and 0.5 mm/s. The coordinates are given UTM coordinates.
During the execution of the CPTs, the cone resistance, (qc),

pore pressure (u2), sleeve friction (fs), depth (d), and the
penetration rate (v) were measured. A more detailed description
of the test site, experimental programme and the validity of the
tests can be found in Poulsen et al. (2012b).
Because of the layered and inhomogeneous soil, the
measured CPT parameters are very fluctuating and hence
difficult to interpret. As a result, the data has been smoothed for
every 50 cm, which was concluded acceptable in Poulsen et al.
(2012b).
3
8
9
10
11
-200
200
400
u2 (kPa)
600
800
1000
Figure 2. Comparison of the smoothed pore pressure conducted with a

penetration rate of 60 and 0.5 mm/s. The figure contains results from 3
CPTs test for each penetration rate. The plotted u0 is an average value.
6336540
6336530
577640
60 mm/s
0.5 mm/s
u0
Cone Penetration Tests
6336550
Pore pressure
Depth (m)
2.1
EFFCT OF PENETRATION RATE IN SILT LAYER
The soil layer classified as sandy silt with clay stripes was
located between 4.5 to 11.4 m below ground level. Only this
layer has been analysed since it is considered to be the silt layer
where the effect of the penetration rate is clearest. As a result,
the following graphs only contain results from 4.5 to 11.4 m.
In the following, it is analysed how a change in cone
penetration rate affects the measured cone resistance, pore
pressure and sleeve friction respectively. As described in
Poulsen et al. (2012b), the soil layer consists of many stripes,
which gives a very fluctuating result for the measured cone
penetration parameters. In order to clearly visualise the effect of
a change in the penetration rate, only the penetration rates of 60
and 0.5 mm/s have been included. This is done as it is the
extreme points corresponding to undrained and fully drained
that are of interest, and the penetration rates of 60 and 0.5mm/s
are closest to these conditions. Consequently, the data from the
CPTs conducted with a penetration rate of 20, 5 and 1 mm/s
have been excluded in the figures.
604
Figure 2 shows that changing the penetration rate from 60 to

0.5 mm/s results in a decreased pore pressure. This is because
the drainage conditions change when the penetration rate is
decreased. From Figure 2, it seems as though the CPT
conducted with a penetration rate of 0.5 mm/s corresponding to
fully drained penetration, since the measured pore pressure is
close to or equivalent to u0.
However, it is not possible to conclude if the CPT conducted
with a penetration rate of 60 mm/s corresponds to undrained or
partially drained penetration. Nevertheless, by lowering the
penetration rate, the penetration changes from undrained or
partially drained to fully drained, which results in a lower pore
pressure.
3.2
Cone resistance
In Figure 3, the smoothed cone resistance from 4.5 to 11.4 m

for the CPTs conducted with a penetration rate of 60 and 0.5
mm/s can be seen.
Figure 3 likewise shows that changing the cone penetration
rate from 60 to 0.5 mm/s results in a change in the cone
resistance. However, a decreased penetration rate results in an
increased cone resistance. The changes observed in the cone
resistance are like the pore pressure caused by changes in
drainage conditions where the penetration changes from
undrained or partially drained to fully drained. This results in a
higher cone resistance.
3.3
Sleeve friction
In Figure 4, the sleeve friction from 4.5 to 11.4 m for the

CPTs conducted with a penetration rate of 60 and 0.5 mm/s can
be seen.
Contrary to the pore pressure and cone resistance, Figure 4
does not show any correlation between the sleeve friction and
cone penetration rate.
140
60 mm/s
0.5 mm/s
Mean values
130
6
120
fs (kPa)
Depth (m)
7
8
110
100
9
90
10
80
11
0
10
qt (MPa)
15
70
0.1
20
Figure 3 Comparison of the smoothed cone resistance conducted with a

CPTs test for each penetration rate.
1
10
Penetration rate (mm/s)
100
Figure 5. The mean sleeve friction plotted against the mean penetration
rate from 4.5 to 11.4 m below ground level. No correlation seems to
exist. The standard rate of penetration of 20 mm/s has been marked with
a dotted line.
350
60 mm/s
0.5 mm/s
300
Fitting curve
Mean values
250
u2 (kPa)
Depth (m)
7
8
200
150
100
10
50
11
20
40
60
80
100
fs (kPa)
120
140
160
0
0.1
180
Figure 4. Comparison of the smoothed sleeve friction conducted with a

CPTs test for each penetration rate.
CORRELATION BETWEEN PENETRATION RATE

AND MEASURED PARAMETERS
1
10
100
Figure 6. Correlation between the mean pore pressure and the mean
penetration rate from 4.5 to 11.4 m below ground level. The standard
rate of penetration of 20 mm/s has been marked with a dotted line.
12
The order of the change in the cone penetrations parameters that

can be anticipated is however difficult to read from Figure 2,
Figure 3 and Figure 4. As a result, the mean value of the entire
silt layer from all CPTs (CPTs with penetration rate of 60, 20, 5,
1 and 0.5 mm/s) can be plotted in a semi logarithmic plot. This
has been done for the sleeve friction in Figure 5.
Just as Figure 4, Figure 5 does not show any correlation
between the mean sleeve friction and the mean penetration rate.
According to Lunne et al. (1997) the sleeve friction does not
give consistent results during cone penetration. The results
shown in Figure 4 and Figure 5 substantiate this, for which
reason caution must be taken when using the sleeve friction to
analyse CPT data.
The mean value for the pore pressure and cone resistance
plotted against the mean penetration rate in a semi logarithmic
plot is seen in Figure 6 and Figure 7. It can be seen that a
correlation between the pore pressure and the penetration rate
(Figure 6) and cone resistance and the penetration rate (Figure
7) exist.
605
Fitting curve
Mean values
10
8
qt (MPa)
0
0.1
1
10
100
Figure 7. Correlation between the mean cone resistance and the mean
penetration rate from 4.5 to 11.4 m below ground level. The standard
rate of penetration of 20 mm/s has been marked with a dotted line.
The correlations appear to be linear, however this cannot be

true since there must exist an upper and lower boundary for the
cone resistance and pore pressure corresponding to fully drained
and fully undrained. The mean values can instead be fitted by an
expression from Chung et al. (2006), which has been modified
by Poulsen et al. (2012b). The expression is given in (1) and (2)
where
is the pore pressure (kPa),
(2)
is the cone resistance
is the penetration rate (mm/s),

is the reference
(MPa),
penetration rate equal to 20 mm/s and au, bu, cu, mu, aq, bq, cq,
and mq are fitting constants.
corresponds to undrained penetration,
The value of
whereas
corresponds to a fully drained penetration.
From Figure 6 and Figure 7, it is not possible to see when the
penetration is undrained or fully drained from the mean values.
For this reason, the constants a and b must be assumed.
However, in Figure 2 the penetration is close to fully drained for
a penetration rate of approximately 0.5 mm/s. This gives an
estimate of the constants au + bu and aq + bq. The value of the
other constants can be seen in Table 1, and the fitting curves for
the pore pressure and cone resistance can be seen in Figure 6
and Figure 7.
Pore pressure, u
350
-290
1.2
1.1
Cone resistance, q
5.3
3.8
3.1
0.9
By lowering the penetration rate so that the penetration

occurs as drained, the cone resistance increases. This can be
expressed as (3) (Poulsen et al. 2012b):
(3)
Where
is the cone resistance corresponding to
drained penetration (MPa),
is the measured cone
resistance determined with a penetration rate of 20 mm/s (MPa),
and
is a coefficient of drainage. The coefficient of drainage,
can for the Dronninglund silt be set to 1.0-1.7 depended on
whether
is undrained ( =1.7), fully drained
( =1.0), or how close to fully drained it is.
CONCLUSIONS
This paper has shown how a change in the penetration rate

affects the measured cone penetration parameters in silty soil.
When using cone penetration tests (CPT) with the standard rate
of penetration of 20 mm/s, the penetration will appear as fully
drained in sandy soils and undrained in clayed soils. However,
for silty soils the standard rate of penetration of 20 mm/s results
in a partially drained penetration. In order to examine which
affect a changed penetration rate has in silty soils on the
measured cone penetration parameters (cone resistance, pore
pressure, and sleeve friction), 15 CPTs with varying penetration
from 60 to 0.5 mm/s have been conducted.
Results from the cone penetration tests conducted with a
penetration rate of 60 and 0.5 mm/s were compared for the cone
resistance, pore pressure and sleeve friction. It was shown that
606
ACKNOWLEDGEMENTS
The project is funded by DONG Energy and associated with the

EUDP programme Monopile cost reduction and demonstration
by joint applied research funded by the Danish energy sector.
The funding is sincerely acknowledged.
7
Table 1. Derived value for fitting constants.
both the pore pressure and cone resistance gave different results
for a penetration rate of 60 and 0.5 mm/s. The pore pressure
measured with a penetration rate of 0.5 mm/s corresponded to
drained penetration, which resulted in the highest cone
resistance. For the sleeve friction, no correlation was seen.
In addition, a correlation between the mean pore pressure
and mean penetration rate, and mean cone resistance and mean
penetration rate was however seen when plotting the mean
penetration rate in a semi logarithmic plot.
Compared to the normal penetration rate of 20 mm/s, a
decrease in the penetration rate leads to an increase in the cone
resistance due to drainage. The increase can be expressed by a
coefficient of drainage,
, that is equal to 1.0 for fully drained
penetration and 1.7 for undrained penetration. The increase
depends on whether the normal penetration rate of 20 mm/s has
been conducted under undrained, partially drained or fully
drained conditions.
For that reason, it can be concluded that a correlation
between the cone penetration rate and the cone resistance and
pore pressure exists. It is an important factor that the cone
resistance is dependent on drainage condition and consequently
the penetration rate. Particularly if a project requires knowledge
of both the undrained soil parameters and the drained soil
parameters. In this case, it can be useful to know when the
penetration is partially drained and how to convert it to a fully
drained penetration or undrained penetration.
REFERENCES
ASTM. 2007. Standard Test Method for Electronic Friction Cone and
Piezocone Penetration Testing of Soils. D5778-07, ASTM,
Pennsylvania.
Chung, S. F., Randolph, M.F., and Schneider, J.A. 2006. Effect of
Penetration Rate on Penetrometer Resistance in Clay. J. Geotech.
Geoenviron Eng.. 132(9), 1188-1196.
House, A. R., Oliveira, J. R. M. S., and Randolph, M.F. 2001.
Evaluating the Coefficient of Consolidation using Penetration
Tests. Int. J. of Physical Modelling in Geotechnics. 3, 17-26.
Kim, K., Prezzi, M., Salgado, R., and Lee, W. 2008. Effect of
Penetration Rate on Cone Penetration Resistance in Satuated
Clayey Soils. J. Geotech. Geoenviron Eng.. 134(8), 1142-1153.
Lehane, B. M., OLoughlin, C. D., Gaudin, C., and Randolph, M. F.
2009. Rate effects on penetrometer resistance in kaolin.
Gotechnique. 41(1), 41-52.
Lunne, T., Robertson, P. K., and Powell, J. J. M. 1997. Cone
Penetration Testing in Geotechnical Practice. 1st ed., Spon Press,
New York, NY, USA
Poulsen, R., Nielsen, B. N., Ibsen, L. B. 2011. Effect of Drainage
Conditions on Cone Penetration Testing in Silty Soils. Proc. 64th
Canadian Geotechnical Conference and 14th Pan-American
Conference on Soil Mechanics and Engineering. Toronto, ON,
Canada
Poulsen, R., Ibsen, L. B., Nielsen, B. N. 2012a. Difficulties Regarding
Determination of Plasticity Index of Silty Soils by use of
Casagrande and Fall Cone Methods. Proc. of Nordic Geotechnical
Meeting. Copenhagen, Denmark
Poulsen, R., Nielsen, B. N., Ibsen, L. B. 2012b. Field Test Evaluation of
Effect on Cone Resistance Caused by Change in Penetration Rate.
Proc. of Nordic Geotechnical Meeting. Copenhagen, Denmark
Schneider, J. A., Randolph, M. F., Mayne, P. W., and Ramsey, N. R.
2008. Analysis of Factors Influencing Soil Classification Using
Normalized Piezocone Tip Resistance and Pore Pressure
Parameters. J. Geotech. Geoenviron Eng.. 134(11), 1569-1576.
Silva, M. F., and Bolton, M. D. 2005. Interpretation of centrifuge
piezocone tests in dilatants, low plasticity silts. Proc., Int. Conf. on
Problematic Soils. Eastern Mediterranean University, Famagusta,
N. Cyprus.
Sampling method and pore water pressure measurement in the great depth (-400m)
Mthode de mesure de pression interstitielle de l'eau d'chantillonnage en grande profondeur
( 400m)
Rito F.
OYO Corporation
Emura T.
Kansai International Airport CO.,LTD
ABSTRACT: Pleistocene clay and sand layers are deposited in the great depth under Holocene soft clay layer at Kansai international
airport area. Since the weight of the reclamation soil is heavy because of its depth of sea water which is reached -20m, it has become
the very important issue that the characteristics of Pleistocene clays are investigated correctly. For this reason, the new type sampling
method which has been called Koken wire line system was developed and the undisturbed samples were obtained by this sampling
system. Sample quality which obtained from great depth was estimated using the range of the strain which was re-consolidated to insitu effective stress by constant strain rate consolidation test. As a result, it was confirmed that the sample quality of these samples had
good quality. On the construction phase of reclamation, cone type measuring equipment of pore pressure for Pleistocene clay and new
type measuring equipment of pore pressure for sand were developed and the excess pore water pressure was measured. As a result of
the examination of these data, the measured value has been had high accuracy. Therefore, the consolidation characteristic of
Pleistocene deposit of Kansai international airport area has been estimated more correct by these useful data.
RSUM : Largile Plistocne et couches du sable sont dposes dans la grande profondeur sous Holocene couche de l'argile
douce Kansai rgion aroportuaire internationale. Depuis le poids du sol de la rclamation est lourd cause de sa profondeur d'eau
de mer qui en est atteinte -20m, il est devenu la question trs importante que les caractristiques d'argiles Plistocne sont enqutes
sur correctement. Pour cette raison, la nouvelle mthode de l'chantillonnage du type qui a t appele 'Koken installent le systme de
la ligne' a t dvelopp et les chantillons non drangs ont t obtenus par ce systme de l'chantillonnage. Gotez la qualit qui a
obtenu de grande profondeur a t estime utiliser la gamme de la tension qui a t rconsolide in-situ stress efficace par preuve
de la consolidation du taux de la tension constante. En consquence, il a t confirm que la qualit de l'chantillon de ces
chantillons avait la bonne qualit. Sur la phase de la construction de rclamation, matriel de la mesure du type du cne de pression
du pore pour argile Plistocne et nouveau matriel de la mesure du type de pression du pore pour le sable a t dvelopp et la
pression de l'eau du pore en excs a t mesure. Par suite de l'examen de ces donnes, la valeur mesure a t eue la haute exactitude.
Par consquent, la caractristique de la consolidation de dpt Plistocne de Kansai que la rgion aroportuaire internationale a t
estime plus correct par ces donnes utiles.
KEYWORDS: Pleistocene clay, Koken wire-line system, Pore water pressure measurement.
1
INTRODUCTION
2 SAMPLING FROM GREAT DEPTH USING KOKEN

WIRE LINE METHOD
Kansai international airport has constructed in the Osaka bay

area. In this area, Pleistocene clay and sand layers are
deposited into the great depth under a Holocene soft clay
layer. Since the weight of the reclamation soil is heavy
because of its depth of sea water which is reached 20m in
depth, it has become the very important issue that the
characteristics of Pleistocene clays are investigated correctly.
Therefore, it has been required high quality sampling and
high-precision consolidation test for the samples deposited
such great depth of 400m in depth.
Port and Airport Research Institute has tried to improve wire

line boring method for the investigation method at the port
and harbor area (Matsumoto K., et al.1981). As a result, new
wire line method called Koken wire line method has
developed. The characteristic of this method is to be able to
obtain undisturbed samples which are stiff clay and sand in
great depth. Koken wire line method has applied for boring
and sampling method of Kansai international reclamation
project.
The system of Koken wire line method is shown in Figure
1 (Okumura T., et al.1982). Three types of specific samplers
have made for Koken wire line method. The structure of these
samplers is shown in Figure 2 and Table 1. Thin-walled tube
sampler with fixed piston is used for soft and stiff clay whose
unconfined compressive strength is under 2MN/m2. Denison
On the construction phase of reclamation, the measurement of

pore water pressure for Pleistocene clay and sand layers has become a
important issue to improve settlement analysis in addition to the
measurement of settlement. As the target depth of the measurement of
pore water pressure reaches 300m in depth, the piezometer and the
permeability test equipment which are usually used in shallow depth
can not use such great depth. The cone type measuring equipment of
pore water pressure for Pleistocene clay named GD-CONE and the
new type measuring equipment of pore water pressure for sand
named H-MHT have been developed. We have been able to measure
the pore water pressure in great depth using these new equipment.
sampler which is rotary double-tube sampler is used for more stiff

clay whose unconfined compressive strength is over 2MN/m2. Rigid
sampler which is double-tube sampler fixed outer tube and inner tube
is used for stiff sand and gravel.
607
what kind of method. Therefore, the estimation of sample

quality has to be examined quantitatively to interpret the
results of constant strain rate consolidation test (CRS test).
The volumetric strain which is consolidated to

the in-situ effective stress, v0, can be used as
Pump
Mud screen
Mixer for mud water
Boring machine
Tank for clean water
Tank for sludge
Suction tank
Tank for mud water
Winch
Casing pipe
(=10,8,6)
Sea level
an indication of sample quality. The relationship between

change of v0 and quality of samples having various degree of
sample disturbance is shown in Table 2 (Andersen A. and
Kolstad P. 1979). The relationship between e/e0 and sample
quality, where e is change in void ratio in recompressing a
sample to in-situ effective stress and e0 is initial void ratio, is
shown in Table 3 (Lunne T., et al. 1997). According to this
figure, when the range of e/e0 is within 0.07, the sample can
regard good quality.
The change of v0 ande/e0 profile of Pleistocene clay
samples with recompression to the corresponding in-situ
effective vertical stress is shown in Figure 3. With few
exceptions, the range of v0 varies within 2% to 4%. It is
apparent that the majority of samples of Pleistocene clay are
good quality. The values of e/e0 vary in a narrow band of
0.04 to 0.07, and are not sensitive with depth. It may be
recalled that if e/e0 is within 0.07, the soil samples can be
considered to be good quality.
The relation between v0 and OCR, e/e0 and OCR of
Pleistocene clay samples is shown in Figure 4. It is obvious
that OCR is almost constant with depth, and is independent of
v0 and e/e0. As the consequence, it is clear that the samples
obtained from great depth in the Osaka bay have good and
uniform quality.
Sea bottom
Boring rod
(=135mm)
Outer tube
Rigid sampler or
Denison sampler
Wire rope
(=9mm)
Water pressure
Thin-walled tube sampler
with fixed piston
Sample
Sampling tube
Figure 1. System of Koken wire line method.

Outer cube
Guide ring
Bit
Piston
Inner cube
Sampling tube
Drain hole
Piston rod
Ball cone clamp

Shoulder ring
Wire
Valve for air extraction
Thin-walled tube sampler with fixed piston

Cutting wedge
Outer tube
Sampling tube
Ball check
Bit
Wing
Inner tube
Shoulder ring
Latch
Table 2. Relationship between volumetric strain (v0) and sample

quality.
v0(%)
1
12
24
410
10
Thrust bearing
Spring
Denison sampler
Metal crown
Bit
Outer tube
Inner tube
Sampling tube
Shoulder ring
Latch assembly
Spring
Sample quality
Very good
Good
Fair
Poor
Very poor
Table 3. Relationship between changing rate of void ratio (e/e0) and

sample quality.
Ball check
Guide ring
Rigid sampler
Overconsolidation
Ratio
Figure 2. Samplers for Koken wire line method.
1-2
2-4
3 ESTIMATION OF SAMPLESQUALITY OBTAINED

FROM GREAT DEPTH
e/e0
Good
Poor
to fair
0.04-0.07
0.07-0.14
0.03-0.05
0.05-0.10
Very good
to excellent
0.04
0.03
Very
poor
0.14
0.10
For particular clay multiply e/e0 by e0/(l+e0) to get the criteria in terms of V0
The samples obtained from great depth which is up to 400m

in depth are influenced not only mechanical disturbance but
also stress release. As mechanical disturbance can avoid
improving sampling technic, stress release cannot avoid even
Table 1. Specification of samplers.
Sampler
Applicated
soil property
Sampler Name
Sampling tube
Outer
Length
diameter
(mm)
(mm)
Remarks
Material
Inner
diameter
(mm)
Thickness
(mm)
Ratio of
Angle of
inside Length
edge
diameter (mm)
()
(%)
Soft clay
Thin-walled tube sampler

with fixed piston
108
4358
Hydraulic type
sampler
Stainless steel
(SUS-304)
90
1250
Stiff clay
Thick-walled tube sampler

with fixed piston
108
4358
Hydraulic type
sampler
Same as the
above
81.1
1170
Stiff clay
Denison sampler
108
2850
Projection length
of edge blade
(20-50mm)
Same as the
above
81.1
0.5
1000
Stiff sand and

gravel
Rigid sampler
108
2875
Same as the
above
90
1000
608
Remarks
Exchange of
edge blade is
possible
Exchange of
edge blade is
possible
-
vo
2
e e o
4 MEASURMENT OF PORE WATER PRESSURE IN

GREAT DEPTH
0.00 0.02 0.04 0.06 0.08 0.10

0
- 50
- 50
4.1 Cone type measuring equipment of pore water pressure for

Pleistocene clay (GD-CONE)
e / e 0=0.07
vo=4%
- 100
- 150
Dept(
h ( mm)
)
Dept
h (( m
)
m)
The measurement of pore water pressure for clay layer is used a

push-in type piezometer (JGS 1313-2003) .This type of
piezometer has a merit which can seal the measuring section
completely and can measure a correct pore water pressure.
Therefore, this is usually used in shallow depth and cannot use
such great depth which is up to 350m in depth because of the
capacity of sensor and the penetrating power of cone.
The cone type measuring equipment of pore water pressure
for Pleistocene clay in great depth called GD-CONE has been
developed. The structure of this equipment is shown in Figure 5.
The characteristics of this cone are as follows:
The tip part which is the penetrating part is very thin in order to
decrease the penetrating resistance and promote the dissipation
of pore water pressure. Its diameter is only 15mm to 20mm.
The upper part of the tip becomes thicker gradually. Its diameter
is 41mm to 56mm. This part is penetrated into the small
borehole, which is drilled in advance, to seal the testing section
completely.
GD-CONE is connected with AQ rod whose outer diameter is
44.5mm and installed into the borehole. During installation of
GD-CONE, the center riser fixed to AQ rod is used in order to
install into the pre-drilled small borehole correctly.
- 100
- 200
- 250
- 300
- 350
- 150
- 200
- 250
- 300
- 350
Over consol
i dat i on
rat) i o ( OCR )
(
OCR
Figure 3. Result of v0 and e/e0 obtained by CRS test.
2. 5
2. 0
1. 5
1. 0
0. 5
4.2 New type measuring equipment of pore water pressure for

sand (H-MHT)
0. 0
0. 0
Over consol(
i dat i onOCR
rat i) o ( OCR )
The pressure gauge of GD-CONE has used a crystal oscillation sensor

which has wide pressure range and high sensibility. The maximum
pressure range is 5MPa and the sensibility has 0.01%FS. The
compensation of atmospheric pressure has been done by using another
pressure gauge on the ground.
1. 0
2. 0
3. 0
vo(%)
4. 0
5. 0
The measurement of pore water pressure for sand layer in great

depth is used a new type measuring equipment of pore water
pressure called H-MHT. The structure and test procedure of HMHT is shown in Figure 6. The characteristic of H-MHT are as
follows:
As the principle of measurement is simple, the reliable
measurement is possible easily.
As the pressure gauge of H-MHT has used a crystal oscillation
sensor too, the high pressure caused in the great depth can
be measured highly precise.
6. 0
2. 5
2. 0
1. 5
1. 0
0. 5
0. 0
0. 00
0. 02
0. 04
0. 06
0. 08
H-MHT can obtain equilibrium water table in a short time because the
specific air valve which is joined to the AQ rod can shut the test
section in order to promote dissipation of pore water pressure
rapidly.
0. 10
Figure 4. Relationship between OCR and v0, e/e0.

Metal filter
Crystal oscillation sensor
Tip part
Connection to AQ rod
(Outer diameter: 44.5mm,
Inner diameter: 34.9mm)
(300mm)
Penetrating part
Pore water pressure measuring part
Sealing part
Length 2,540mm
Figure 5. Structure of cone type measuring equipment of pore water pressure for Pleistocene clay (GD-CONE).
609
Three-way
Pressure regulation
Distributor
Converter
Water table in measuring pipe is

fallen by being given gas pressure
Wire line rod
Computer
Converter
Computer
Nylon tube for packer

pressurization
Gas tube
Air valve
AQ rod
Wire line rod
Underwater connector
Packer
Packer
(Expanded state)
Underwater connector
Drainage pipe
Crystal oscillation sensor
Guide for water flow
Testing
section
Testing
section
Pressure sensor code
Figure 6. Structure of new type measuring equipment of pore water pressure for sand (H-MHT).
4.3 Results and discussion

4.3.1 Estimation of pore water pressure using hyperbolic
method
The diameter of the tip part of GD-CONE is designed of thin
size because pore water pressure is needed to dissipate rapidly.
The standard method to GD-CONE continue to measure for
three hours after penetrating. The adoption value of pore water
pressure is calculated by hyperbolic method using the data
measured after three hours from penetration. In order to
accurate the adoption value, the long hours measurement, 38
hours, has carried out. The results of these data are shown in
Table 4. Since the results of the long hours measurement and
the adoption value by hyperbolic method using three hours
measurement are almost same, the accuracy of hyperbolic
method has been confirmed.
11260
12110
Pore water pressure

of last measuring
time (kPa)
2760
2800
Pore water pressure

by hyperbola
method (kPa)
2700
2702
138917
2700
2702
No.
Investigation
case
Measuring
hours(sec)
1
2
263.47
263.47
Standard
measurement
264.02
Long
measurement
4.3.2 Reliability of sealing of measurement section of GDCONE

Three patterns of penetration of GD-CONE, which is varied
from 30cm, 60cm to 90cm length, have carried out. The results
are shown in Figure 7. These data are almost same despite the
penetrating length. In addition, since the result of pore water
pressure is not same to the mud water pressure of the bore hole,
the seal of measuring section is regarded completely.
6000
Note
Pushing
length: 30cm
1
Pushing
length: 60cm
2
Pushing
length: 90cm
3
kPa
Pore
water pressure (kPa)
5000
4000
Mud water
pressure=2,960kPa
2960kPa
3000
2000
1000
0
2000
4000
6000
8000
Table 5. Comparison between measuring result of pore water pressure

using GD-CONE and H-MHT.
Measuring
method
GD-CONE
H-MHT
Table 4. Application of hyperbola method for measuring result of pore

water pressure.
Altitude
(CDL-m)
4.3.3 Comparison examination of the results by GD-CONE

and H-MHT for Pleistocene clay
The comparative experiments used both GD-CONE and HMHT has been carried out in same depth, which is 170m in
depth. The results are shown in Table 5. Since these data are
almost same, the appropriate of GD-CONE and H-MHT method
for measuring equipment for great depth can be confirmed.
10000 12000 14000 16000 18000 20000
sec
Time (sec)
Figure 7. Difference of test result of pore water pressure by penetrating

length.
610
Altitude
(CDL-m)
172.77
169.12172.77
Pore water pressure

p (kPa)
2006
1984
Excess pore water

pressure u (kPa)
256
257
CONCLUSIONS
Kansai international airport which has been constructed in the

Osaka bay far from 5km from the land area in order to solve
noise pollution has been able to take off and landing of airplane
using two runways whose length is about 4,000m. The
consolidation settlement of 2nd runway, which is related to this
paper, is almost the same like the consolidation analysis. For the
future, the management of consolidation settlement shall be
important for the operation of the airport while the
consolidation settlement will continue for long times. It is
important that the continuing study for the settlement of
Pleistocene clays using the in-situ observation data.
6
REFFERENCES
Matsumoto K., et al. 1981. Undisturbed sampling method using wire

line sampler (in Japanese). Sampling symposium.
Okumura T., et al. 1982. Soil investigation at Kansai international
airport The investigation for great depth- (in Japanese).
Mechanization for construction.
Andresen A. and Kolstad P. 1979. The NGI 54-mm Samplers for
Undisturbed Sampling of Clays and Representative Sampling of
Coarser Materials. State of the Art on Current Practice of Soil
Sampling, Progressing of the International Symposium of Soil
Sampling. Singapore. 13-21.
Lunne T., et al. 1997. Sample disturbance effect in soft low plastic
Norwegian clay. Symposium on Recent developments in Soil and
Pavement Mechanics. Rio de Janeiro. 81-102.
Japanese geotechnical standard (JGS 1313-2003). 2004. Method for
Measuring Pore Water Pressure using Electric Transducer (in
Japanese). Japanese Standards for Geotechnical and
Geoenvironmental Investigation Methods Standards and
Explanations- . 368-376.
Une mthode de classification de la sensibilit des sols au moyen du pizocne

Soils sensibility classification method from piezocone data
Serratrice J.-F.
CETE Mditerrane, Aix en Provence, France
RSUM : Une mthode de classification des sols naturels partir des mesures au pizocne est propose. La mthode procde en
deux tapes et en rfrence aux rsistances draines et non draines mesures l'appareil triaxial sur les sols carotts au pralable dans
le mme site. La mthode est prsente puis deux exemples d'interprtation sont proposs et comments partir de mesures recueillies
en sondages. Les tendances d'volution des mesures au pizocne avec la profondeur dans les massifs argileux homognes rcents
sont examines ensuite.
ABSTRACT: A method of classification of natural soils from piezocone measurements is proposed. The method proceeds in two
steps with reference to drained and undrained strength provided by triaxial testing on soil previously sampled into the same site. The
method is presented and two examples of interpretation are proposed and discussed from data collected in-situ. Evolution trends of
piezocone responses with depth in recent homogeneous clayey deposits are then examined.
KEYWORDS: Soil, penetrometer test, piezocone, triaxial testing, shear strength, soil classification
1
rsistances triaxiales draines et non draines ; 2) valuation de

la sensibilit des sols. Ainsi, les trois mesures du pizocne sont
utilises directement, sans recours des variables normalises.
Cette mthode d'interprtation par analogie l'essai triaxial est
prsente tout d'abord, puis deux exemples d'illustration sont
comments ensuite.
INTRODUCTION
Une mthode de classification des sols est propose ici sur la

base des mesures au pizocne et par analogie avec les
rsistances dtermines l'appareil triaxial. Cette mthode
s'inscrit dans la ligne des mthodes de classification proposes
dans le pass. Senneset et al. (1982) sont les premiers avoir
introduit la variable Bq dfinie comme le rapport entre la
pression d'eau nette u2 u0 et la rsistance nette qt v0, o v0
et la contrainte verticale totale la profondeur considre dans
le massif, u0 la pression hydrostatique, qt la rsistance de pointe
et u2 la pression d'eau mesure en position "u2". Parez et Fauriel
(1988) ont propos un guide de classification (et non pas un
abaque) bas sur la reprsentation de qt en fonction de Bq, qui
s'inspire de celui propos par Senneset et Jambu (1984). Parez
et Fauriel (1988) rappellent ce titre que le guide qu'ils
proposent " ne dispense pas de raliser, sur chaque chantier,
un forage carott.".
Par la suite, Robertson et al. (1986), puis Robertson (1990),
ont propos une classification qui fait intervenir les trois
composantes mesures par l'intermdiaire de variables
normalises de la rsistance de pointe qt et du frottement latral
unitaire fs en accompagnement de la variable Bq.
Fellenius et Eslami (2000) ont propos un abaque donnant la
rsistance effective qE (qE = qt u2) en fonction du frottement
latral unitaire fs. Cette classification prsente l'avantage
d'utiliser directement les mesures pntromtriques ou une
combinaison linaire de celles-ci. Cette rsistance "effective"
avait t introduite par Senneset et al. (1982).
Schneider et al. (2008) proposent un cadre de classification
des sols d'aprs les donnes du pizocne, qui associe la fois
la rsistance de pointe qt et la pression d'eau u2 sous formes
normalises notes Q et U respectivement. Les mesures sont
reprsentes dans trois diagrammes qui combinent les deux
variables Q et U avec Bq, chacun de ces diagrammes tant plus
pertinent qu'un autre, selon la nature du sol, pour tablir la
classification.
La mthode par analogie l'essai triaxial, propose ici,
prconise une utilisation directe de la mesure u2. Elle procde
en deux tapes : 1) classification des sols en rfrence leurs
2
2.1
PRSENTATION DE LA MTHODE
Prsentation
La mthode de classification des sols d'aprs les mesures au

pizocne se fonde sur l'analogie qui peut tre tablie entre les
comportements des matriaux observs en laboratoire
l'appareil triaxial et le fonage d'un pizocne dans ces mmes
matriaux. La mthode procde en deux tapes, en partant des
mesures brutes qt, fs et u2.
A l'tape 1, la rsistance de pointe est dcompose en une
partie isotrope et une partie dviatoire en tenant compte de la
pression d'eau u2. Pour cela, il est fait rfrence aux rsistances
draines et non draines mesures pralablement en laboratoire
l'appareil triaxial. Cette dcomposition permet de classer les
sols, en distinguant les sols argileux dans lesquels se
dveloppent de fortes pressions d'eau, des sols sableux dans
lesquels ces pressions sont gales la pression hydrostatique ou
sont ngatives. L'interprtation se fonde sur les caractristiques
de rsistance mesures partir d'chantillons carotts dans le
site.
L'tape 2 consiste identifier les sols sableux sensibles, de
faible compacit et peu rsistants, exposs au risque de
liqufaction notamment. La mthode se fonde sur les variations
relatives de fs et qt induites par la densification d'un sol. Le
principe de la classification l'tape 2 s'appuie sur des donnes
de la littrature et sur des donnes pntromtriques recueillies
dans diffrents sites en France.
L'intrt de la mthode rside dans l'utilisation simultane
des trois mesures fournies par le pizocne et qui portent en
elles l'effet de la profondeur sur la rsistance (effet du poids des
terres en tant que pression de confinement), pour des sols qui
611
peuvent tre considrs comme normalement consolids dans

leur tat naturel.
2.2
Classification l'tape 1
Des variables quivalentes sont dfinies pour le pizocne par

analogie aux variables p, pT et q de l'essai triaxial. Pendant
l'essai triaxial, p est la pression effective moyenne, pT la
pression totale moyenne et q le dviateur. La rsistance du sol
est dfinie dans le plan des contraintes effectives (p, q) par une
droite de Coulomb de caractristiques Cqc et Mc (ordonne
l'origine et pente) dont dcoulent les proprits effectives c' et '
(cohsion et angle de frottement). En contraintes totales et dans
le plan (pT, q), les caractristiques de rsistance sont Cq cu, Mc cu,
ccu, cu. (l'indice cu signifie consolid non drain).
contraintes totales quivalentes autour du cne. Parmi les trois

droites dfinies en contraintes totales pour reprsenter les
rsistances non draines des sols, la droite la plus proche de ce
point permet de classer le sol.
Un exemple est donn sur la figure 1. Trois mesures
effectues au pizocne dans trois facis diffrents du mme
sondage y sont reportes (figurs pleins). Les pressions p'c sont
d'abord recherches sur la droites des rsistance effectives (en
trait pais). Puis, aprs adjonction de la pression u2, la classe de
sol est dtermine par la droite de rsistance totale la plus
proche (en traits fins, figurs creux). Aprs classification, les
figurs reprsentant les classes de sols sont reports sur les
diagrammes donnant qt, fs et u2 en fonction de la profondeur,
comme sur les figures 3 et 4, puis sur tous les autres
diagrammes drivs. Il apparat clairement sur ces exemples que
les plus fortes pressions u2 sont attribues aux limons argileux,
alors que les plus faibles pressions sont attribues aux sables et
sables limoneux.
2.3
Recherche de la sensibilit des sols l'tape 2
Aprs cette premire tape de classification des sols, l'tape 2

consiste dtecter les sols sensibles. Les sols sont considrs
comme sensibles s'ils appartiennent au quart infrieur gauche du
diagramme (lgfs, lgqE) dlimit par les deux courbes d'quations
qE = 2000 fs 2 et qE = 2 fs 0,16 (qE et fs en MPa).
Figure 1. Principe de la classification des sols l'tape 1 d'aprs les

donnes du pizocne et les rsistances triaxiales.
Dans la mthode par analogie l'essai triaxial, les variables

quivalentes dfinies partir des mesures du pizocne sont p'c,
pc et qt, une pression moyenne effective quivalente p'c, une
pression moyenne totale quivalente pc et la rsistance de pointe
qt. Les rsistances des sols mesures au pizocne sont
supposes s'exprimer au moyen des mme droites de rsistance
dans le plan des contraintes effectives quivalentes (p'c, qt) et
des contraintes totales quivalentes (pc, qt), comme indiqu sur
le graphique de la figure 1.
Tableau 1. Caractristiques des rsistances non draines des sols.
ccu (kPa)
cu ()
Argiles, limons argileux
24
19,5
Limons, limons sableux
33
25,4
Sables, sables limoneux
50
36,9
Sols
Figure 2. Identification des sols sensibles dans le diagramme (fs, qE).
Ces courbes sont indiques sur le diagramme (fs, qE) de la

figure 2, en chelles arithmtiques. Les sols sensibles sont
symboliss par des figurs en rapport avec les croix reprsentant
les classes de sol identifies l'tape 1.
3
EXEMPLES
Ce paragraphe prsente deux exemples d'interprtation des

donnes recueillies au pizocne.
3.1
Dans cet exemple et d'aprs les essais triaxiaux, la droite

dfinie en "contraintes effectives" possde les caractristiques
Mc = 1,5 et Cqc = 0, soit ' = 36,9 et c' = 0. Les trois autres
droites reprsentent les rsistances "consolides non draines"
dont les proprits cu et ccu sont donnes dans le tableau 1 et
qui reprsentent les rsistances des "argiles et limons argileux",
des "limons et limons sableux" et des "sables et sables
limoneux".
Ainsi, dans le graphique (p'c, qt), la mesure de qt permet de
dterminer la contrainte moyenne effective quivalente p'c
gnre par la pointe sur la droite effective (Mc, Cqc). La
contrainte moyenne totale quivalente pc s'obtient alors en
ajoutant la mesure de u2 dans la direction isotrope, ce qui donne
les coordonnes (pc, qt) du point reprsentatif de l'tat de
612
Exemple 1
Le premier exemple concerne des donnes recueillies pendant

une campagne de sondages au pizocne. Trois familles de sols
apparaissent, qui sont indiques dans le tableau 1. Leurs
caractristiques de rsistance ont t mesures au triaxial
partir des chantillons carotts dans le site. Les trois familles de
sols sont frottantes, avec des rsistances effectives communes
(c' = 0 et ' = 36,9 ). Le tableau 1 indique les rsistances non
draines correspondantes.
La classification des sols l'issue des tapes 1 et 2 de la
mthode par analogie est reprsente sur la figure 3 pour l'un
des six sondages. Des sols sableux sensibles apparaissent entre
4 et 6,5 m de profondeur et entre 7,5 et 9,5 m, puis en des points
isols plus en profondeur.
apparaissent aussi et souvent prs de la surface. La frange

superficielle comprend un deux mtres de remblais, qui sont
souvent dtects comme sensibles.
Figure 3. Classification des sols d'aprs les donnes d'un sondage au

pizocne et l'issue des tapes 1 et 2 de la mthode de classification
par analogie l'essai triaxial.
D'aprs la description des sols tablie l'issue des carottages,

les sols argileux reprsentent 16,8 % de l'ensemble des
chantillons, les sols limoneux 8,5 % et les sols sableux 74,7 %,
pour un linaire effectif de 26,5 m de carottage. Ces
pourcentages sont comparer aux proportions des trois familles
de sols fournies par les six pizocnes, qui sont : 9,4 % pour les
sols argileux, 12,1 % pour les sols limoneux et 78,5 % pour les
sols sableux. Une bonne correspondance apparat ainsi entre les
carottages et les sondages au pizocne interprts en rfrence
aux caractristiques triaxiales mesures au laboratoire sur les
chantillons carotts.
3.2
Figure 4. Classification des sols d'aprs les donnes du sondage au

pizocne SF5, site de Soccer Field, Glck (Turquie), l'issue des
tapes 1 et 2 de la mthode de classification par analogie l'essai
triaxial.
Exemple 2
Cetin et al. (2004) proposent une revue de diffrents cas de

rupture de pentes qui se sont produites sur le rivage de la baie
d'Izmit lors du sisme de Kocaeli du 17 aot 1999 en Turquie.
Plusieurs sites de cette rgion ont t explors en 2000 au
moyen de diffrentes techniques parmi lesquelles figurent des
sondages au pizocne.
Tableau 2. Nature des sols dans le site de Soccer Field Glck
(D'aprs Cetin et al., 2004).
profondeur (m)
0 0,5 ou 1,5
0,5 ou 1,5 2,5
2,5 16,5
sol
remblai d'argile silteuse brune
sable silteux et silts
argile silteuse molle trs plastique
Les donnes numriques de quelques sondages au pizocne

ont t importes directement d'une base de donnes
(http://peer.berkeley.edu). Les mesures du sondage SF5 ralis
dans le site de Soccer Field Glck sont utilises ici titre
d'illustration. Le tableau 2 indique le profil des terrains donn
par Cetin et al. (2004) jusqu' 16,5 m de profondeur.
Les sols rencontrs sont des sdiments fins rcents de nature
varie. Des sols sableux apparaissent dans tous les sites
diffrentes profondeurs. Mais des sols silteux et argileux
613
Figure 5. Extrait du profil de la figure 4 pour le sondage au pizocne

SF5, entre 0 et 2,6 m de profondeur.
La classification des sols du sondage SF5 l'issue des tapes

1 et 2 de la mthode par analogie l'essai triaxial est
reprsente sur la figure 4. Les rsistances triaxiales draines et
non draines du tableau 1 ont t adoptes pour effectuer cette
interprtation des donnes. Il apparat des sols sableux sensibles
entre 0,8 et 2,5 m de profondeur, des sols limoneux et argileux
jusqu' 16,5 m avec des pressions u2 positives, puis, au-del, des
sols sableux rsistants et non sensibles. La figure 5 montre un
extrait du profil pntromtrique du sondage SF5 en surface et
marqu par des sols sableux sensibles entre 1 et 2 m de
profondeur.
4
VOLUTIONS AVEC LA PROFONDEUR
Bon nombre d'enregistrements pntromtriques obtenus dans

des argiles molles et publis dans la littrature font apparatre
une augmentation quasi-linaire des mesures avec la
profondeur. Des droites reprsentent l'volution moyenne de la
rsistance qt et de la pression u2 en fonction de la profondeur (et
parfois du frottement latral unitaire fs). De tels profils

apparaissent plus rarement dans les dpts sableux, dont la
lithologie et l'tat initial sont caractriss gnralement par une
forte variabilit spatiale.
L'exprience acquise dans diffrents sites en France
confirme ces tendances. Les gradients d'augmentation de qt avec
la profondeur z varient autour 30 50 dans les argiles, ceux de
u2, autour de 25 40. Pour la rsistance de pointe, ce rsultat
s'explique par la relation empirique donnant l'volution de la
cohsion non draine avec z et la relation donnant l'volution de
la contrainte verticale effective 'v0 avec z :
cu = 'v0 / 3
qt = 15 cu
'v0 = ( - w) z
(1)
soit :
qt = 5 ( - w) z
(2)
avec le poids volumique du sol et w le poids volumique de

l'eau. Avec = 18 kN/m3 et w = 10 kN/m3, il vient :
qt = 40 z
(qt en kPa et z en m)
(3)
La formulation base sur le modle Cam-Clay de Chang et

al. (2001) aboutit des rsultats semblables. En admettant par
exemple que Mc = 1,2 pour le critre de Coulomb (' = 30 ), un
degr de surconsolidation OCR = 1 (argile normalement
consolide), un indice de rigidit Ir = 100 pour un sol mou
(rapport entre le module lastique de cisaillement G et la
cohsion non draine cu, Ir = G / cu) et le rapport de
compressibilit = 0,9 (rapport des coefficients de
compressibilit Cc et de gonflement Cs, 1 Cs/Cc), les
relations suivantes apparaissent :
cu= 0,322 'v0
qt = 12,2 cu + p0
u2 = 5,68 cu + p0
(4)
o p0 est la pression moyenne effective (p0 = ('v0 + 2'h0)/3,

'h0 contrainte effective horizontale). Puis, en admettant un
coefficient des terres au repos K0 = 'h0/'v0 = 0,5, p0 s'crit
p0 = 2 'v0 / 3 + u0. Enfin, avec = 18 kN/m3 et w = 10 kN/m3 :
cu= 2,5 z
qt = 47 z
u2 = 30 z
(cu en kPa et z en m)
(qt en kPa et z en m )
(u2 en kPa et z en m)
(5)
Tableau 3. Pentes des profils pntromtriques dans les sols argileux.

qt/z (kPa/m)
fs/z (kPa/m)
u2/z (kPa/m)
31
0,35
37
38
0,55
31
Exemple
Ces relations donnent des ordres de grandeur des gradients

compatibles avec l'observation. Le tableau 3 indique les pentes
values dans les niveaux argileux des profils pntromtriques
des figures 3 et 4.
5
La mthode propose s'accorde aux mthodes en usage en

matire de reconnaissances pntromtriques, en comprenant
une tape d'identification des sols (profiling), puis une tape de
recherche des sols sensibles. Cette mthode cherche tirer parti
des essais triaxiaux pour interprter les donnes
pntromtriques, ce qui suppose que les reconnaissances
gotechniques prvoient la fois la ralisation de sondages
carotts et de sondages pntromtriques, pour aboutir une
analyse ddie du site. Elle ne vise pas revtir un caractre
universel, en utilisant une classification unique des sols.
Concernant les enregistrements au pizocne recueillis dans
des dpts argileux homognes et rcents, l'exprience fait
apparatre des gradients d'volution des mesures qt et u2 avec la
profondeur qui peuvent tre encadrs par des ordres de grandeur
rptitifs.
CONCLUSION
Une mthode a t propose d'identification des sols partir des

donnes mesures au pizocne. Cette mthode procde en
deux tapes : tape 1, classification des sols ; tape 2,
identification des sols sensibles. L'exploitation des donnes fait
rfrence aux rsistances draines et non draines mesures
pralablement l'appareil triaxial sur les sols carotts dans le
site.
614
RFRENCES
Cetin O.K., Youd T.L., Seed R.B., Bray J.D., Stewart J.P., Durgunoglu
T., Lettis W., Yilmaz M.T. (2004) Liquefaction-induced lateral
spreading at Izmit Bay during the Kocaeli (Izmit)-Turkey
earthquake. J. of Geotech. and Geoenv. Engng., vol. 130, n 12,
1300-1313.
Chang M.F., Teh C.I., Cao L.F. (2001) Undrained cavity expansion in
modified Cam clay: II Application to the interpretation of the
pizocne test. Gotechnique, vol. 51, n 4, pp. 335-350.
Fellenius B.H., Elsami A. (2000) Soil profile interpreted from CPTu
data. "Year 2000 Geotechnics", Geotech. Engng. Conf., Asian
Institute of Technology, Bangkok, Thailand, 27-30 novembre 2000,
18 p.
Parez L., Fauriel R. (1988) Le pizocne. Amliorations apportes la
reconnaissance des sols. Revue Franaise de Gotechnique, n 44,
pp. 13-27.
Robertson P.K., Campanella R.G., Gillepsie D., Greig J. (1986) Use of
piezometer cone data. Use on in situ tests in geotechnical
engineering; Proc ASCE Speciality Conference In Situ '86,
Blacksburg, pp. 1263-1280.
Robertson P.K. (1990) Soil classification using the cone penetration
test. Canadian Geotech. J., vol. 27, n 1, pp. 151-158.
Schneider J.A., Randolph M.F., Mayne P.W., Ramsay N.R. (2008)
Analysis of factors influencing soil classification using normalized
piezocone tip resistance and pore pressure parameters. J. Geotech.
and Geoenv. Engng., vol. 134, n 11, pp. 1569-1586.
Senneset K., Jambu N., Svano G. (1982) Strength and deformation from
cone penetration tests. Proc. 2nd Euro. Symp. on Penetration
Testing, ESOPT-2, Amsterdam, vol. 2, pp. 863-870.
Senneset K., Jambu N. (1984). Shear strength parameters obtained from
static cone penetration tests. Proc. on Strength Testing on Marine
Sediments. Laboratory and In-situ Measurements. ASTM Special
Technical Publication 883, Symp. San Diego, pp. 41-54.
Serratrice J.F. Identification des sols argileux, limoneux et sableux du
plateau deltaque du Var partir de sondages au pizocne, Soumis
au Bulletin des Laboratoires des Ponts et Chausses.
th
Correction of soil design parameters for the calculation of the foundation based
on the results of barrettes static load test
Correction des paramtres de conception du sol pour le calcul sur la base des rsultats de test
de barrettes de charge statique
Shulyatiev O., Dzagov A., Bokov I., Shuliatev S.
Gersevanov institute for soil bases and underground structures, e-mail:niiosp35@yandex.ru.
ABSTRACT: Geotechnical investigations and design works were being performed in 2008-2010 for the construction of Okhta-center
high-rise tower in St. Petersburg. Unique static load tests of 80 m deep barrettes were performed in 2010 as part of design process. 3
barrettes were tested simultaneously as a group and two were tested individually. The tests were planned in such a way as to get the
standard values of bearing capacity of barrettes, and to clarify the parameters of soil needed for the calculation of the barrette
foundation.The comparison of the bearing capacity values with the values calculated using Russian and foreign building codes is
provided. Limitations of currently used codes are shown.
RSUM : Les tudes gotechniques et les travaux de conception ont t ralises en 2008-2010 pour la construction du centre Okhta
haute tour Saint-Ptersbourg. Uniques essais de charge statique de 80 m de profondeur barrettes ont t ralises en 2010 dans le
cadre du processus de conception. 3 barrettes ont t tests simultanment en tant que groupe et deux ont t tests individuellement.
Les tests ont t planifis de manire obtenir les valeurs standard de la capacit portante des barrettes, et de prciser les paramtres
du sol ncessaires pour le calcul de la fondation barrette. La comparaison des valeurs de capacit portante avec les valeurs calcules
l'aide des codes de construction russes et trangres est fournie. Limites des codes actuellement utiliss sont affichs.
KEYWORDS:piles, barrettes, static load test, shaft friction, FEM, bearing capacity, high-rise building.
1
modulus needs to be adjusted to plate loading test modulus, and

if that is not possible soil anisotropy factor needs to be
determined for conversion of soil modulus in the horizontal
direction to the modulus in the vertical direction.
Trial Barrette static test was scheduled as part of the pile
foundation design process. Given the high testing load
"Osterberg" method were considered economically effective.
Given specifics of the method, in addition to pile bearing
capacity assesment, one can provide design engineer with the
possibility of making deep plate loading test.
INTRODUCTION
In recent decades, in Russia there is a steady increase in the

number of tall buildings being built, of which a substantial part
is the building higher than 150 m.
Building heigher then 150m need a special approach to
design. Existing bulding codes in Russia and other countries as
well, can not fulfill the requirements of modern day high-rise
construction. For foundation constructions existing codes are
limited by relatively small depth of ground investigation and
testing loads.
In the current RF building codes plate loading test is
considered as the reference method for soil Young modulus
estimation. According to codes soil modulus determined by
other methods should be adjusted to plate loading test modulus.
It is not always possible, given the great depth of the soil used
as the bearing layer of high-rise building foundation.
This paper discusses the engineering properties of Vendian
clay as a bearing layer of Okhta tower high-rise building in St.
Petersburg. According to building design its pile foundation
will be embedded in Vendian clay layer lying deeper then 45 m
from ground surface.
Building design The project has a device for high-rise
building with pile foundation bearing on Vendian clay layer,
lying with a mark of -45 m B.S.V.
Laboratory tests on odometer and triaxial schemes were
made during ground investigations to study the properties of
Vendian clays. Given the depth of bearing layer pressuremeter
test were selected as in-situ test method.
Laboratory testing of soil extracted from great depth usually
complicated by disturbanceof soil samples, caused by stress
relief and preparation of samples for testing, and by the
complexity of high-precision measurements of deformation of
the sample (especially true for high stiffness soils).
Pressuremeter test, in turn, has no alternatives for soil testing
in-situ at greater depths. Design value of pressuremeter Young
Figure1 .Location of test barretes.
Trial Barrettes were made from the surface of the soil. The
working part of a 65-m barrette was made of B40 grade
reinforced concrete. Barrettes were constructed by the
conventional technology - in the trenches, excavated under the
protection of bentonite slurry.
615
1
th
GEOLOGICAL CONDITIONS
Geological conditions of the construction site can be

described as unfavorable for civil engineering and especially for
high-rise buildings. Weak water-saturated soils lies to the depth
of 30 ... 35 m. Underneath these soils is a layer of moraine
deposits of small thickness. From a depth of 45 m liesVendian
clay. Rock, commonly used as a bearing stratum for high-rise
buildings are located at depths of over 200 m. Considering the
aforementioned facts Vendian clay was selected as the bearing
layer for the Okhta tower pile foundation. Vendian clay is
relatively strong soil and classified as hard clay and weak rock
at the same time. Despite the relatively high strength properties
Vendian clay exhibits long-term development of deformations
in time under load. It should be noted that engineering
properties of these soils in Saint-Petersburg is mostly unstudied.
3
TESTING SETUP
The test program was design in such a way as to achieve the

following goals:Determination of the bearing capacity of
barrette and its individual fragments;Determination of loadsettlement
characteristics
for
"top-down"
loading
scheme;evaluation of the Young modulus for the underlying the
barrette base;Evaluation of interface strength on the shaft of the
barrette.
Three of the five tested group barrettes were equipped with
loading device installed in two levels, two single piles in one
level. Single-level and two-level testing scheme and barrette
part nameingare shown in Fig. 2
4.1
TEST RESULTS
Test of the lower parts of barrettes B1...B5.
The value of the load reached during first stage of testing

was 40MN and 48 MN for second stage.
Bearing capacity of the lower parts of the test group barrette
was 90% of the bearing capacity for a single barretes test, due to
the group effect.
Load-settlement characteristics for barrettes B1B5 shown
on Figure 3 and shows that settlement of Barrette B2, located
between Barrette B1 and B3 is 15% more than that of Barrette
B1. This effect is referred to well-known concepts of group
effect in pile groups. Pile settlement in the group always
exceeds the settlement of single pile, and the settlement of
central pile is highest. With the growth of the number of piles in
the group this effect expected to increase. By means of
mathematical modeling of group testing and achieving the same
group effect, which was observed in the trial, one can confirm
the accuracy of the model input parameters, and to validate its
use for the calculation of the entire foundation.
The elastic component of the Barrette B1 ... B5 base
settlement is 13 ... 20%, and the residual inelastic component
reaches 79 ... 87.6% (Fig. 3), i.e. much of the ground under the
base of Barrette undergone plastic deformation.
In the analysis of Fig. 3 it may be seen that load-settlement
characteristics can be divided into several stages. In the first
phase, with a load values up to 5MN, load held by the shaft
friction on the surface of Barrette part, and movement up to 1
mm recorded. At the 2nd stage of loading barrete part is moved
and load being transferred to barrete base. Soil underneath the
barrete disturbed by drilling began to compact under load.
Settlement of barrete base increases linearly with load until
2040 MN load value is reached. As the barrette part
movement increases, shaft frictions on its side reaches a
maximum value and remain constant to the rest of stage 1. Due
to this effect further increment of load transferred directly to the
barrette base. The final stage is characterized by an increase of
settlement increment per unit increment of load, indicating that
the transition of the ground under the base of barrette to the
plastic state.
Figure2. Scheme of barrete parts namings

Barrettes with one level jacks were tested in one phase, the
pile with two levels - in two stages. In the first stage the lower
part of the pile is loaded with the lower level of the jack. In the
second stage the upper jack level creates load on the middle part
of barrette. During a first stage of testing upper level jacks are
closed and load transfer through them is not different from a
solid barrette section. During loading of the upper level, the
hydraulic system of lower jacks is open into atmosphere,
making them closing or opening freely. During the testing of the
upper level when the lower level is open and jacks are retracted,
the entire load of the upper level of loading is transmitted to the
shaft of the barrette middle fragment. As the criteria for test
advancement standard RF deformation stabilization criteria 0.1
mm/h was used. It is 2.5 times more rigorous then the standard
European 0.25 mm/h. Results comparison with two different
stabilization criteria showed, that application of the criterion of
0.25 mm/h underestimates the magnitude of barrete base
displacement by 30%. Choice of stabilization criteria is
especially important when the testing jack located near the
barrette base in clay soils, as in this case, due to soil
consolidation deformation process is much slower.
616
Figure 3. Stage 1 test results.

In order to clarify the shaft bearing capacity for bottom part
of Barrette B4, the loading increments in the first stages of the
load testing has been reduced from 5MN to 2.5 MN, which led
to an increase in the number of stages in the load range of up to
20 MN from 4 to 8 . An interesting finding was the fact that,
regardless of the number of stages loading time spent on testing
barrette B4 and B5, was similar and was 277 and 259 hours,
respectively.
Concluding the analysis of bottom level testing one can
mention high repeatability of results, which indicates the
th
convergence criteria between the experimental and calculated

values.
homogeneity of the subsoil under the Barrette base and the good
quality of their production.
4.2
Test of the middle parts of barrettes B1...B5.
At the end of the first stage of testing bottom level jacks are
retracted, and their hydraulic system is open. In this
configuration, the lower level of jacks do not transfer the load
from a upper jacks level on the base. In this case, loading of the
upper jack level resisted only by shaft resistance of the middle
barrette part, allowing to accurately determine shaft friction
value.
Figure 5. Comparative charts of data obtained from the

experiment and the results of the calculation.
Comparison of modeling results with the experimental data
shown in Figure 4. The graph shows the results of calculations
with adjusted characteristics of soil is almost equal to the results
of the test. It should be noted that non-compliance of Barrette
behavior during unloading caused by incorrect rapid unloading
procedure.
Figure 4. Stage 2 test results.
Table 1.Adjusted by FEM calculations soil properties.

GE
Soil
number classification
11
Hard clay
12
Hard clay
12
Hard clay
13
Hard clay
Compared with the test of the first stage (lower jack level)
results show significantly greater variation in the ultimate shaft
friction values. Load-settlement curves for the second-stage
tests are shown in Fig. 4.
Load-settlement curves shown on Fig. 3 characterized by
initial almost flat part, with a slightly longer length for Barrette
B2. The angle of the load-settlement curves for B1 and B3
began to increase after the load value of 20 ... 25 MN, and for
B3 35 MN.
The presence of a longer horizontal part on load-settlement
curve for B2 may be due to heterogeneity of soil conditions
along the tested barrette part, or, more likely, due to its central
position in the group.
4.3
Density,
g/cm3
21.3
22.2
21.1
22.3
, Poisson ratio
MPa
50
0.25
200
0.2
105
0.22
252
0.18
17
25
18
27
,
kPa
150
330
200
491
COMPARISON OF OBTAINED SHAFT UNIT

FRICTION WITH BASIC CALCULATION METHOD
RESULTS.
The main purpose of the second phase of the test was to

determine the specific shaft resistance values for middle parts of
Barrette B1 ... B3. Resistance value is determined by dividing
the applied load on the shaft surface area of the middle part of
barrette.
Back-analysis of test results performed by FEM.
One of the most effective tools for the analysis of load test
made by the Osterberg scheme is the reverse calculation method
with regard to elastic-plastic soil properties by means of FEM.
The reverse calculation has several objectives: 1) Calibration
of design parameters of adopted soil model 2) evaluation of the
bearing capacity of single pile in the top down loading
conditions 3) assessment of the applicability and adequacy of
the chosen soil model.
The starting point for the reverse calculations is the soil
properties obtained by laboratory testing. By varying individual
soil model parameters one can identify the most important of
them, and then achieve convergence between experimental and
calculated results.
The first iteration of calculation based on laboratory
determined soil properties showed that the calculated values of
barrete upward movement is 6 times larger than the
experimental values, and downward movement is overestimated
by 2 times. This suggests that the characteristics of soils,
provided through laboratory testing are very different from the
characteristics of the soil in-situ.
Taking into account observed discrepancy the objective was
to find such soil characteristics, which would have shown the
best convergence of calculation with the experiment. Barrette
movement and stress along its body were chosen as
Figure 6. Shaft friction-movement curves.

As can be seen from Fig. 5, for barrette movements of up to
20 mm shaft friction increasing drastically to 190 ... 290 kPa. A
further increase in displacement to 60 mm results in a small
(about 60 kPa) monotonic increment of resistance. The peak
(maximum) value of the shaft resistance was not clearly
617
th
observed as the resistance monotonically increases up to 100

mm movement. By analyzing the obtained movementsresistance curves it can be noted that values of shaft resistance
for Vendian clays can be taken as corresponding barrette shaft
resistance for 40 mm (according to RF building codes)
movement.
Design shaft resistance values provided for assessment of
pile bearing capacity by SP24.13330.2011 at depths greater than
40 m are assumed constant and equal to 50 kPa, which is 4.6 ...
6.4 times less than the values obtained in static Barrette test. For
comparison, ultimate values of shat friction were also calculated
for the most common approaches worldwide: the -method
(Skempton 1959) using undrained strength parameters and
Mohr-Coulomb law. In calculation with the alpha method lower
(=0.3) and upper bound (=0.6) values of alpha were
examined. Resulting specific values of shaft friction values
were 250 and 500 kPa respectively. For calculation by MohrColumb earth pressure at rest coefficient K0 were taken for nonconsolidated soil by well-known Jaky equation and as for
overconsolidated soil with OCR=2,5. Resulting K0 values were
0.66 and 0.99 respectively. Factor of 0.5 for interface strength
also applied according to SP24.13330.2011. Specific shaft
friction values obtained by this calculation method were 270
kPa for K0=0.66 and 460 kPa for K0=0.99.
Thus, the lower limit of the specific shaft friction, calculated
using the mechanical properties of soils were within the values
obtained by the results of static Barrette tests, and the upper
limit value was higher on average of 1.7 times. One of the
reasons for this discrepancy may be that the central parts of
barrette during the first stage of test (lower part testing) has the
5...7 mm upward movement, during which partial mobilization
of shaft friction forces in opposite direction were observed.
6
CONCLUSIONS
Trial works confirmed the technical feasibility of barrettes

construction with cross-section of 1.5 x 3.0 m length of 85 m by
the standard "slurry wall" technology in difficult sub-soil
conditions of St. Petersburg.
It is advised to implement Osterberg testing technique (by
cast in pile submerged jack) for the deep foundation of high-rise
buildings. The method allows to use pile parts as an anchor
system and to clearly determine the values of unit shaft friction
and base resistance. It is recommended to install two levels of
jacks in a pile: one near the base of the pile, and the second in
the middle of the main bearing layer. It is critical to install
several levels of strain gauges in the pile along its length.
Pile testing at construction site should be seen not only as
method to determine pile bearing capacity but as an effective
method to calibrate design parameters of adopted soil model,
and to assess its applicability and adequacy. Soil parameters
provided by ground investigation can by checked and adjusted
if necessary. During design process of tower foundation,
obtained results of unit shaft friction and base resistance should
be used as the control values, against which the calculation
results are checked.
The calculations made on the basis of experimental data
showed what the values of the mechanical properties of soils
determined by the laboratory testing has severely
underestimated soil strength and deformability parameters due
to sample disturbance, the influence of the scale factor & etc.
As a result of the tests it was found that the Vendian clays
can provide high values of shaft friction and base resistance.
The experimental values of shaft friction and base resistance
exceed the ultimate values provided by codes by 4 ... 6 and 1.6
timesrespectively.
618
REFERENCES
Aspects of pile testing for high-rise buildings on the example of ODTS

Okhta tower.High-rise buildings journal 6 (2012).9699.PetrukhinV.P., ShuliatevO.A., BokovI.A., ShuliatevS.O.
Cast-in-situ Bored Piles in London Clay, Geotech,Vol.9.Skempton,
A.W., and Northey, R.D. (1952)
Characterization and Settlement Modeling of Deep Inert Debris Fills

Caractrisation et modlisation du tassement de dpts pais de gravats inertes
Somasundaram S., Khilnani K., Shenthan T.
Advanced Earth Sciences, Irvine, California, USA
Irvine J.
Irvine Geotechnical, Pasadena, California, USA
ABSTRACT: Inert debris fills are difficult to characterize and model by normal geotechnical methods, due to their inherent
heterogeneity, very large particle size, and nested and voided structure. The approach taken to characterize a 54 m deep inert debris
fill, model its settlement behavior under seismic loading and groundwater level rise, and develop remedial measures to render it
suitable for development is presented. Fines migration into open cavities and collapse of nested structure were determined to be the
primary settlement mechanisms for this material. An upper bound estimate of cavity volume vulnerable to fines migration and
collapse was made based on the results of large scale in-situ density and gradation tests. Settlement was estimated for various
percentages of cavities becoming filled, and compared to case histories of dry fill settlement from the San Fernando and Northridge
earthquakes. The proposed remedy involved partial removal of the debris fill and replacement as a compacted fill cap to attenuate the
surface expression of differential settlement occurring in the underlying debris fill. Surface manifestation of settlement was simulated
using FLAC. Charts were developed relating cap thickness to surficial manifestation of differential settlement.
RSUM : Les dpts de gravats inertes sont difficiles caractriser et modliser par les approches gotechniques usuelles, en
raison de leur htrognit intrinsque, de la grande taille des particules qui les constituent, et de leur structure lacunaire et embote.
On prsente une approche utilise pour caractriser un dpt de gravats inertes de 54 m d'paisseur, modliser son comportement de
tassement sous chargement sismique et sous l'effet d'une monte du niveau de la nappe phratique, et dvelopper des mesures de
remdiation en vue de le rendre propre l'utilisation. On a pu montrer que la migration des fines dans les cavits ouvertes, et
l'crasement des structures embotes, constituent les mcanismes principaux responsables du tassement pour ce matriau. Une
estimation par excs du volume des cavits vulnrables par la migration des fines et crasement a t tablie sur la base d'essais
grande chelle de densit in-situ et de granulomtrie. Le tassement a t estim pour divers proportions de remplissage de cavits, et
compar des observations historiques de tassement de remblais secs suite aux sismes de San Fernando et de Nothridge. Le remde
propos implique un retrait partiel du dpt de gravats et son remplacement par une couche de remblai compact, en vue de minimiser
l'expression en surface des tassements diffrentiels survenant dans le dpt de gravats sous-jacent. Le dplacement en surface a t
simul en utilisant le logiciel FLAC. La relation entre l'paisseur de la couche de protection et l'incidence en surface du tassement
diffrentiel a t exprime sous forme d'abaques.
KEYWORDS: inert debris landfills; debris fills; seismic settlemen
1
INTRODUCTION
Inert debris landfills in urban areas are increasingly becoming

potential sites for industrial / commercial redevelopment due to
scarcity of vacant land and a desire by local communities to turn
blighted areas into revenue sources. These fills, generally placed
in abandoned mine pits, could be over 50 m deep and typically
consist of uncontrolled fills of construction and demolition
(C&D) debris. Due to their inherent heterogeneity and very
large particle size they are difficult to characterize and model by
normal geotechnical methods. This case study presents the
approach taken to characterize a deep inert debris fill, model its
settlement behavior under seismic loading and groundwater
level fluctuations, and develop remedial measures to render it
suitable for development.
The inert debris fill, located in the City of Irwindale in
southern California, consists of over 8 million cubic meters of
C&D waste placed over a period of 15 years within a 54 m deep
abandoned open pit gravel mine covering a footprint of 22
hectares. The lower 2 to 12 m of the pit was filled with
hydraulically placed silt, a by-product of aggregate mining
operations. Review of placement records indicated that the inert
debris fill above the silt layer consists of a succession of 1 to 3
m thick lifts of rubble consisting mostly of broken concrete,
brick, tile and asphalt capped with 15 to 30 cm thick lifts of
sandy and silty soils. The soil layers were generally placed and
compacted above each rubble lift to provide a suitable surface
for rubber tired traffic. The entire inert debris fill is capped with
a 3 m thick layer of compacted soil to allow for utility
excavation and structure foundation at the finished surface.
619
Placement records indicate that initially the rubble fills were

placed with some degree of material processing (crushing of
oversize concrete clasts) and compaction. However, much of
the inert debris fill was loosely end dumped with little or no
control of lift thickness, particle size or compaction. The
groundwater level was approximately 36 m below the ground
surface during filling, but could rise by about 12 m based on
historic records. An idealized profile of the fill stratigraphy is
shown in Figure 1.
Compacted Fill Cap
(3 m)
150 to 300 mm
1 to 3 m
Rubble Fill
(Thickness varies)
Potential highest
groundwater level
(24 m below ground surface)
Previous highest
groundwater level in fill
(36 m below ground surface)
Silt Deposit
(Thickness varies)
Figure 1. Debris Fill Stratigraphy
The site is vulnerable to relatively high levels of seismic

loading, with a design peak ground acceleration of
approximately 0.53g per the building code. Deaggregation
analysis indicated the corresponding moment magnitude to be
6.7. The area is zoned for industrial or commercial
development. The owners are evaluating remedial measures to
make the site suitable for building development.
There are no industry-accepted standards or case histories to
predict settlements of inert debris fill containing significant
oversize fragments and significant open cavities. Case histories
of seismic settlements of unsaturated fills are generally limited
to earthfill/rockfill dams and compacted soil fills. Laboratory
cyclic simple shear test data relating cyclic shear strain to
volumetric strain, that may be used to estimate the settlement of
unsaturated fills under seismic shaking, are limited to sands
(Silver and Seed 1971, Pyke et al 1975), and finer grained
compacted fills (Stewart et al 2002). Charles (2008) documents
case histories of long-term settlement and collapse potential of
uncontrolled opencast mining backfills in Britain. The City of
Irwindale is currently conducting a laboratory study to evaluate
the potential for wetting induced settlements (hydrocollapse) in
inert debris fills.
2
FIELD INVESTIGATIONS
Field investigations for this site included Becker hammer

borings, surface and downhole geophysical surveys, downhole
video logging, test excavations and large scale in-situ density
and grain size distribution tests. Neither the Becker penetration
tests (BPTs) nor the surface and downhole seismic surveys,
proved to be suitable to characterize the heavily nested and
voided nature of the fills. The presence of very large size
fragments appear to significantly skew the measured Becker
blow counts and shear wave velocities, making these methods
incapable of adequately differentiating between well
compacted, grading code - compliant fills (derived from the
same debris materials), and the loose debris fills with
voids/cavities. This conclusion has been confirmed by studies
performed by the City of Irwindale at other debris fill sites
(Geomatrix, 2007).
A qualitative evaluation of the voided / nested structure of

the inert debris fill was performed by measuring the rate of
water percolation in large diameter test holes. After completing
the large diameter in-situ density tests, the plastic sheeting used
to line the test hole was pulled out and the water level drop was
monitored. The water levels dropped very rapidly (emptied in a
matter of minutes) in test holes in debris fills, while the water
levels stayed full for several days in the MAD tests holes,
confirming the presence of significant voids / cavities in the
debris fill.
Field bulk gradation tests performed on the bulk samples
excavated from the density test pits showed the following
distribution:
Table 2. Summary of Field Gradation Test Results
Material Size
Boulders (>300 mm)
Cobbles (>75 mm)
Gravels (>19 mm)
Finer than (19 mm)
Range (%)
3 to 23
10 to 25
6 to 20
44 to 66
Average (%)
11
18
14
57
Visual observations of the materials removed from the test

excavations suggest that the oversize fraction is greater than the
amounts listed above, since representative amounts of very
large concrete clasts could not be included in the material from
1.5 m diameter test holes. The actual boulder size fraction (>
300 mm) was estimated to be in excess of 20 percent by weight.
3
SETTLEMENT MODEL
The settlement model used in the analysis considered the

layered nature of the debris fill consisting of a succession of 1 to
3 m thick voided and nested rubble lifts capped by 15 to 30 cm
thick loose to medium dense soil lifts. The total debris fill may
be considered to consist of nested oversize clasts (defined as
materials lager than 19 mm for purposes of this analysis), infill
soils (minus 19 mm fraction that partially fills the cavities
between clasts and also caps individual layers of rubble), and
cavities (Figure 2).
Mapping of two deep test excavations to 21 m depth in the

poorly controlled debris fill, confirmed the layered filling
pattern consisting of thick rubble fill lifts capped by thin soil
layers. The layered filling pattern was also apparent in the BPT
logs. The rubble fill consisted of concrete clasts and blocks up
to 2 m in size (with abundant rebar), mixed with brick, tiles,
asphalt concrete, crushed glass and variable amounts of soil
infill. Large voids, cavities and nesting were very common.
Eight large diameter ring density tests (1.8 m diameter x 1.5
m deep) performed as per ASTM D5030 in the inert debris fill
at various depths (ranging from 5 to 15 m below ground
surface) in the test excavations, and eight sand cone tests
performed on soil layers or soil rich fills gave the following
results.
Table 1. Results of In-situ Density Tests
Material
Inert Debris Fill
Soil Layers
In-situ Dry Density (gm/cc)

Range
Average
1.22 2.03
1.77
1.45 1.86
1.64
Average Void
Ratio
0.43 (et )
0.62 (es)
The in-situ densities of the inert debris fill were compared

to field maximum achievable density (MAD) tests performed on
inert debris materials placed in 30-cm thick lifts and compacted
by 50 passes of heavy earthmoving equipment (combination of
Caterpillar 820 front end loader and 825 compactor). The
corresponding MAD dry densities ranged from 2.03 to 2.13
gm/cc.
620
Figure 2. Debris Fill Structure
When subjected to seismic loading and/or saturation due to

groundwater rise, the predominant mechanisms of settlement in
the debris fill are considered to be partial filling of the cavities
by fines migration (cap soils migrating into the underlying
nested rubble), and collapse of the nested structure. Volumetric
compression of the infill soils and soil lifts will also take place,
but they are considered to be significantly smaller than the two
dominant settlement mechanisms. The volume of cavities
between the nested clasts, as a percentage of the total volume of
fill, will, therefore, form an upper bound of the potential
volumetric strain / settlement of the fill. The volume of cavities
in the fill (Figure 2) as a ratio of the total fill volume, was
estimated as shown below, based on the void ratio of the entire
debris fill, et (calculated from large diameter ring density tests),
void ratio of the infill soils, es (calculated from the sand cone
density tests), the ratio of weight of clasts to weight of infill
groundwater rise, the two components of settlement (seismic

and hydrocollapse) are not considered to be cumulative.
soils, R (from particle size distribution tests), and the specific

gravity of the clasts (Gc) and infill soils (Gs).
The ratio of volume of cavities to volume of solids, ec, and
the relative volume of cavities with respect to the total volume
for debris fill (Pc) may be expressed as:
ec = et es / (1+R.Gs/Gc)
(1)
Pc = ec / (1+ et)
(2)
Average Total Seismic Settlement (mm)

100
200
300
400
500
0
5
Based on the above equations, and using the average values

of et (=0.43), es (=0.62), R (43%/57% = 0.75) and specific
gravity (Gs = 2.65; Gc = 2.4), the average volume of cavities
within the poorly controlled debris fills was calculated at 6.6%
of fill volume. The calculated volume of cavities agrees well
with field experiment estimates of cavity volume made at other
inert debris fill sites in Irwindale with similar materials and
filling practices. Those evaluations included a controlled in-situ
pilot grouting test which resulted in a grout take of 4.4 to 7.2%
of total volume, and an in-situ dynamic compaction test which
resulted in a volume reduction of 5 to 7% of total fill volume
(AMEC, 2008).
Depth (m)
10
15
% of Cavities
Filled (p)
0%
20
10%
20%
25
30%
30
However, not all of the calculated cavity volume is available

for fines migration / collapse. Actual volumetric strain and the
resulting settlement is proportional to the volume of cavities
that are closed or filled with fines in the event of an earthquake
or hydrocollapse caused by rise in groundwater level. This is a
function of many factors including the grain size distribution of
the oversize clasts, accessibility of cavities to overlying infill
soils, cohesion of infill soil and intensity and duration of
seismic shaking, and cannot be reliably estimated in the absence
of material-specific physical modeling. Therefore, a parametric
settlement evaluation considering various percentages (p) of
total cavity volume becoming filled was performed. The results
are summarized as average settlement versus depth plots (Figure
3). The settlements shown in Figure 3 for each value of p,
represent the average of the calculated settlements at six BPT
locations across the site. Although the total thickness of debris
fill was similar at each location (approximately 33 m), the
thickness of the poorly controlled, layered rubble fill vulnerable
to fines migration/collapse was variable (ranging from 15.6 to
25.0 m).
Figure 3 Distribution of Seismic Settlement with Depth
REMEDIAL MEASURES
The remedial measures recommended for limiting settlement at

the site to within agency-defined guidelines or structural
tolerances, consisted of partial removal of the existing debris fill
and replacement with a properly processed and compacted fill
cap. The required cap thickness could also be achieved by a
shallower removal and replacement combined with in-situ
ground improvement of the lower part of the debris fill by
dynamic compaction. With increasing thickness of cap, the fill
thickness left in place that is vulnerable to settlements would
decrease. The cap will also help attenuate the differential
settlement taking place at depth as it manifests at the surface of
the fill cap.
The surface manifestation of settlement was simulated by
numerical modeling using FLAC. A representative twodimensional cross section across the entire site was considered.
The fill cap was modeled as a non-linear elastic perfectly
plastic Mohr-Coulomb material. The initial shear modulus for
the cap was based on the average shear wave velocity of 268
m/sec measured in the compacted fill.
The modulus
degradation curve was based on the Seed-Idriss relationship for
sand. The calculated seismic / hydrocollapse settlement of the
debris fill underlying the fill cap, was applied as nodal
displacement boundary conditions at the base of the cap. Since
the thickness of poorly controlled rubble fill and the
corresponding settlements are variable across the site, the nodal
displacements were specified as randomly varying over the
range of settlements calculated at the 6 BPT locations.
The average settlement corresponding to 20% of cavities

filled (p = 20%), was computed at 28 cm (approximately 1.32%
of poorly controlled debris fill thickness or 0.85% of total debris
fill thickness). The latter value compared favorably with some
case histories of dry compacted fills in southern California
which settled by 0.6 to 0.9 percent of fill thickness during the
M6.6, 1971 San Fernando, and the M6.7, 1994 Northridge
earthquakes, under ground accelerations comparable to the
design ground motions for the site. Considering the significant
heterogeneity of the debris fills, the seismic settlements could
be higher or lower than that predicted for p = 20%. To bracket
this uncertainty, seismic settlements under the design
earthquake were calculated for p ranging from 10% to 30%.
The resulting settlements ranged from 0.4 to 1.1 percent of total
debris fill thickness.
The nodal displacements (n) were generated as follows:

n = min + r. (max - min)
where, r is a random number between 0.0 and 1.0 (determined
by a random number generator for the numerical analyses) and
min and max are the minimum and maximum values,
respectively, of calculated seismic/hydrocollapse settlements,
for a given value of p. The specified random nodal
displacements were applied at 1.5 m horizontal intervals along
the base of the cap. The modeling was performed for p = 10%,
20% and 30%.
A 12 m thick zone of debris fill immediately above the

current groundwater level could become saturated if the
groundwater level was to rise to the historic high groundwater
level. This zone has not been saturated since the time of
placement. Settlement due to groundwater saturation was
considered to result from the same mechanisms of fines
migration and collapse, and was assumed to be of the same
order of magnitude as the seismic settlements. These
settlements, estimated to range from 75 mm to 150 mm, occur
approximately 24 m below ground surface (the depth of the high
groundwater level below ground surface). Because the same
mechanisms (migration of sands into open voids and collapse)
apply to both seismic settlement and settlement due to
Typical FLAC analysis results as illustrated in Figure 4,

show the original and deformed shape (grid) of a segment of the
fill cap as a result of the random differential settlement applied
at the base of the cap, for cap thicknesses of 12, 18 and 24 m,
respectively. As the fill cap thickness increases, the magnitude
of the total and differential settlement of the material left in
621
place decreases, and the attenuation of the surface manifestation

of differential settlement increases. For the case illustrated in
Figure 4, the differential settlement at the base of the cap
decreases from 122 mm to 43 mm as the cap thickness increases
from 12 m to 24 m. The corresponding maximum differential
settlement at the surface (over a 9-m horizontal distance)
decreases from 56 mm to 8 mm.
9m
Max.
Max.
= 55 mm
diff
diff
= 120 mm
(a) 12 m Compacted Soil Cap
Max.
diff
Max.
= 33 mm
= 105 mm
diff
Figure 5. Surface Manifestation of Settlements

(b) 18 m Compacted Soil Cap
Max.
Max.
diff
diff
A settlement model based on partial filling of cavities by

fines migration and collapse of nested structure was
developed. Parametric analyses of various degrees of
cavities filling were performed to account for heterogeneity
of the debris fill and to obtain a range of likely settlements.
Estimated settlements due to seismic shaking ranged from
0.4 to 1.1 percent of total fill thickness with an average of
0.85%.
= 8 mm
= 43 mm
(c) 24 m Compacted Soil Cap
75 m
90 m
105 m
The predicted settlements from this model were compared

to published case histories of seismic settlement of
unsaturated fills under earthquake ground motions similar to
the design ground motions.
120 m
diff - Diffential settlement over horizontal distance of 9 m

- Original grid
- Deformed grid (distortion magnified by a factor of 20)
Figure 4. Sample Results from FLAC Analysis
The results of the surficial manifestation analyses, presented

as plots of surficial total and differential settlements versus
thickness of fill cap (for a range of assumed values of cavities
filled by migration of fines and collapse, p), are plotted in
Figure 5. This chart was used to select a suitable thickness of
removal and replacement based on the differential and total
settlement tolerance of the proposed structures.
5
CONCLUSIONS
The seismic and hydrocollapse settlement potential of

uncontrolled inert debris fills containing significant oversize
clasts could not be evaluated by conventional means.
Laboratory testing of representative material was not feasible
because of particle size limitations. BPTs and seismic shear
wave velocity surveys were ineffective in differentiating well
compacted fills from uncontrolled fills. An alternative approach
consisted of the following steps:
Based on the results of large scale in-situ density
and grain size distribution tests, an upper bound estimate of
cavity volume was made (approximately 6.6% of total
debris fill volume).
The proposed remedy for rendering the site suitable for

building development was partial removal of the uncontrolled
debris fill and replacement as a properly compacted fill cap.
Based on numerical modeling, charts were developed relating
thickness of fill cap to estimated surficial differential settlement.
To meet local building code requirement of maximum 25 mm
differential settlement over a 9-m length, 22 m of removal and
replacement will be necessary. The depth of removal and
replacement may be reduced, provided the differential
settlement tolerance of the structure is increased by structural
improvements such as stiffened foundation systems including
mat foundations, post tensioned slabs and grade beams. The
reliability of predictions by this approach may be increased by
physical modeling of debris fill settlement under the effects of
seismic shaking and saturation, and developing a database of
observed settlements under moderate seismic events.
6
REFERENCES
AMEC Geomatrix, Inc., 2008. Closure geotechnical report, Reliance II

landfill improvements,Vulcan Materials Company, Irwindale.
Charles J.A. 2008. The engineering behavior of fill materials: the use,
misuse and disuse of case histories. Gotechnique 58 (7), 541-570.
Geomatrix, 2007. Documentation of Becker penetration tests, Reliance
landfill improvement, Azusa and Irwindale..
Pyke R, Chan C.K. and Seed H.B. 1975. Settlement of sands under
multidirectional shaking. J .Geotech. Engrg. Div., ASCE, 101(4),
379-398
Silver M.L. and Seed H.B., 1971. Volume changes in sands during
cyclic loading. J. Soil Mech. and Found. Div., ASCE, 97(9), 11711182
Stewart J.P., Bray J.D., McMahon D.J,. Smith P.M., and Kropp A.L.
2001. Seismic performance of hillside fills. Journal of Geotechnical
and Geoenvironmental Engineering, 127(11) 905-919
622
Site Characterization for the HZM Immersed Tunnel

Caractrisation du site pour le tunnel immerg HZM
Steenfelt J.S., Yding S., Rosborg A.
COWI, Copenhagen, Denmark
Hansen J.G.
Ben C. Gerwick, COWI Group Company, Oakland, USA
Yu R.
COWI China, Beijing, Peoples Republic of China
ABSTRACT: The 36 km long HZM Link, crossing the Pearl River estuary between Hong Kong in the east and Macao and Zhuhai in
the west is rated one of the most important current infrastructure projects in China. It is slated for completion in 2016 and consists of a
world record length of 6 km immersed tunnel, two artificial transition islands and some 30 km bridges with a dual three lane motorway. In order to provide the structural designers with the requisite input for proper soil structure interaction analysis a very extensive
site characterisation was carried out comprising geotechnical boreholes, CPTUs and seismic testing with associated advanced laboratory testing. This paper describes the results and calibration of geotechnical boreholes, CPTUs and advanced laboratory tests to provide the requisite tool for inference of ground stratification and stiffness variation to be used in the structural modelling of the immersed tunnel, the design of piles and dredging slopes.
RSUM : La liaison HZM de 36 km de long qui traverse lestuaire du fleuve Pearl entre Hong-Kong lest, Macao et Zhuhai
louest, est considr comme tant lun des plus importants projets dinfrastructure en Chine. Le projet qui doit tre achev en 2016
est compos dun tunnel immerg dune longueur record de 6 km, de deux les artificielles de transition et denviron 30 km de pont
autoroutier deux fois trois voies. Afin dobtenir les lments essentiels pour lanalyses de linteraction entre les fondations et les
structures, une campagne de sondages gotechniques trs dtaille a t mene comprenant des forages, des tests de pntration au
cne (CPTU) et des sondages sismiques ainsi que les tudes en laboratoire correspondantes. Cet article dcrit les rsultats obtenus et
mthodes de calibration des forages, CPTU et des essais en laboratoire mis en uvre afin dobtenir les lments de base ncessaire
pour la dtermination des caractristiques mcaniques des sols utiliser pour la modlisation des lments du tunnel immerg, la dfinition des pieux de fondation et ltude des pentes de dragage.
KEYWORDS: Site characterization, immersed tunnel, CPTU, triaxial testing, undrained shear strength, settlements, spring stiffness.
1
INTRODUCTION
The Hong Kong-Zhuhai-Macao (HZM) Link crosses the Pearl

River Estuary in south-eastern China in the Guangdong province connecting Hong Kong at Shek Wan, Lantau Island to the
Pearl at Macau and to the district of Gongbei, Zhuhai in
mainland China, see Figure 1.
Figure 1. Location of the HZM project in south-eastern China.
The link is 36 km in total length of which 6 km comprises the

immersed tunnel. The remainder consists of two artificial transition islands and low bridges some 30 km in total length.
623
The whole connection has the capacity of a dual three lane

highway.
Provisions for two possible future 570 m wide navigation
channels are planned along the immersed tunnel alignment with
proposed design dredging levels some 15-20 m below existing
seabed level.
The particular challenges for the design of the immersed
tunnel are:
the presence of very soft clays requiring extensive
dredging profiles and soil improvement,
very deep foundation level of the tunnel in order to allow for future navigation channels 570 m wide over
the central part of the tunnel,
up to 23 m sedimentation load over the central part of
the tunnel,
potential of differential settlements due to the highly
varying loading and ground stiffness conditions,
the need for mixed foundation solutions with end bearing or settlement reducing piles near the artificial islands and direct foundation for the central part.
In order to provide the structural designers with the requisite
input for proper soil structure interaction analysis for Detailed
Design, a very extensive site characterisation was required. The
scope and findings of this site characterisation are described in
this paper.
The Project Owner is the HZM Bridge Authority, and the design and construction is being undertaken by a Joint Venture
headed by the contractor China Communications and Construction Company (CCCC) Ltd.
Figure 2. Simplified geological model along the immersed tunnel alignment.
GEOLOGICAL CONDITIONS
The project area is located in the Pearl River drainage basin,

which historically has been shaped as a result of the uplift of the
Tibetan Plateau during the Tertiary and Quaternary Periods,
forming the present-day Pearl River Delta with its network system and estuarine bays (see Figure 1). The river delta is one of
the most important and complex large-scale estuarine systems in
China.
The Holocene development of the delta has been controlled
and affected by the variations in the deposition of sediments,
sea-levels and groundwater levels.
The soil deposits in the present-day Pearl River delta overlying weathered basement rock can be traced back to the Late
Pleistocene and Holocene periods.
These deposits consist of three cycles of upward fining sequences of delta deposits, namely one Holocene and two Pleistocene delta cycle, which have been divided by two previously
exposed and subsequently eroded surfaces.
Based on the described regional geology and the findings of
the site investigations carried out for the project, the soil deposits and rock formations encountered along the alignment of the
immersed tunnel, and in the locations of the artificial islands,
can be grouped into five main units for soil deposits, and two
main units for rock formations:
Marine deposits of clays and sands formed during the Holocene period,
Continental deposits of clays and sand from a once exposed
surface formed during the late Pleistocene period,
Marine alluvial deposits of clays and sands formed during
the Mid to Late Pleistocene period,
Fluvial alluvial deposits of clays and sands formed during
the Early to Mid Pleistocene period,
Residual soils formed during the Early Pleistocene period,
Highly to completely migmatic schists formed during the
Sinian period,
Moderately to completely weathered migmatic granites
formed during the Sinian period.
A simplified geological model is shown in Figure 2.
3
Supplementary Soil investigations were carried out in 20102011: 80 Nos. boreholes, 364 Nos. CPTUs, 20 Nos.
CPTUDs and seismic P-S suspension logging (in 6 Nos.
boreholes) was carried out along the alignment of the immersed tunnel and at the locations of the artificial islands.
The Supplementary Soil investigations formed the main basis

for Detailed Design, and the scope of and specifications for
these investigations were defined by COWI as being a member
of the design and construction Joint Venture. Site and laboratory
works were followed closely by means of inspections carried
out by COWI's geotechnical engineers, in order to ensure that
all works were carried out in accordance with applicable standards.
The boreholes for the Supplementary Soil investigations
were split into two types of boreholes: the GITB-series where
geotechnical in-situ testing was carried out and disturbed samples were retrieved, and the TCB-series that were used entirely
to retrieve undisturbed samples of fine grained soils. Most of
the boreholes were carried out in pairs, each pair consisting of
one GITB borehole and one TCB borehole, and as a general rule
the GITB and TCB boreholes were drilled within five meters of
each other, in order to produce mirror boreholes displaying
similar geological and geotechnical properties. The drilling
depths varied from 29 to 107 m below existing seabed level.
The general distance between boreholes (and borehole pairs)
was on average approx. 200 m in the longitudinal direction.
In general the CPTUs were carried out along three lines parallel to the tunnel alignment at distances of 0 m, +25 m and
-25 m from the tunnel axis. The probing positions were staggered (cf. Figure 3), in order to effectively allow for one CPTU
carried out at 25 m spacing along the projected centreline of the
entire immersed tunnel alignment. Furthermore, additional
CPTUs were carried out near the artificial islands. The CPTUs
were carried out to penetration depths varying from 28 to 43 m
below existing seabed level (basically to refusal in the fluvial alluvial sands and clays underlying soft deposits of marine clays).
A typical arrangement of investigations along the immersed
tunnel alignment is shown in Figure 3.
The complete results of the Supplementary Soil investigations were provided by the geotechnical sub-contractors, Fourth
Harbour Design Institute (FHDI) and Fugro, in native AGS 3.1
format.
SCOPE OF INVESTIGATIONS
Three geotechnical investigation campaigns have been carried

out for the project:
Feasibility Study investigations carried out in 2004 and
2008: Only 16 Nos. boreholes were carried out in the vicinity of the immersed tunnel.
Preliminary Design investigations carried out in 2009:

151 Nos. boreholes were carried out for the artificial islands
and 115 Nos. boreholes, 29 Nos. CPTUs and seismic P-S
suspension logging (in 10 Nos. boreholes) was carried out
along the immersed tunnel alignment.
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Figure 3. Typical arrangement of investigations along immersed tunnel

alignment.
tests in an attempt to quantify and reduce the sample disturbance resulting from sample retrieval, transportation and extrusion. The application of the this initial branch of unloading/reloading conceivably improved the apparent sample quality
significantly, as e.g. evaluated in accordance with NORSOK
(2004), on average from poor to very good/excellent sample
quality.
Triaxial testing of fine grained undisturbed samples was carried out as Consolidated Anisotropic Undrained (CAU) triaxial
tests in accordance with BS1(1990b).
The triaxial tests allowed for site specific calibration of the
Nkt cone factor for determination of realistic undrained shear
strengths based on CPTUs. Secondly, they allowed the value of
su/'pc for the normally consolidated condition (often referred to
as the c/p ratio) to be determined. In this way a site specific
SHANSEP relation could be established allowing determination
of the undrained shear strength variation from actual unloading/reloading cycles as a consequence of construction activities.
DRILLING AND IN-SITU TESTING
Drilling for the Supplementary Soil investigations was carried

out from five drilling barges equipped with suspended rotary
top drive drilling rigs and passive heave compensation.
Three different passive heave compensation systems were
installed on the five drilling barges used for the investigations:
A strictly mechanical weight load system on one barge,
A spring loaded mechanical system on three barges, and
A hydraulic piston system on one barge.
The above mentioned systems were able to be operated with
good results (in terms of heave compensation) at maximum
heave of approx. 0.7 to 1.0 m.
Undisturbed samples (fine grained soils) were primarily retrieved with a 76 mm diameter thin walled stationary piston
sampler with stainless steel seamless sampling tubes of length
1.0 m.
Undisturbed samples were sealed with wax and taped-shut
end caps immediately after retrieval. Storage and transportation
were carried out vertically in wooden boxes filled with shock
absorbing material (coarse sawdust).
SPT testing in coarse grained soils was generally carried out
at 1.5 m intervals, and the hydraulic head in the boreholes was
as a minimum kept at a level corresponding to sea level. The
SPT-N Energy Transfer Ratio (ETR) was determined by carrying out PDA tests of the equipment used from three different
barges.
In situ shear vane testing was performed at 1 m intervals in
fine grained soils using the Chinese electrical vane equipment
with cruciform vanes of dimensions 75 mm x 150 mm for the
softer clays.
CPTU testing was carried out using underwater seabed piezocone penetration systems deployed from barges where the position was maintained by means of 4 heavy anchors. Two different CPTU systems were used, the Wheeldrive Seacalf with
200 kN thrust and the ROSON system with a 100 kN thrust. All
CPTU testing was carried out in accordance with the ISSMGE
(2001) standard.
5
CPTU CORRELATIONS
For the purpose of establishing a detailed geological and geotechnical model of the subsurface conditions, a combination of
cored boreholes and closely spaced CPTU soundings was selected as the primary method of investigating the project site.
The CPTUs and boreholes were generally carried out as described. The locations of the boreholes were arranged to provide
a total of 68 Nos. pairs of boreholes and CPTUs along the
alignment. This allowed for a site specific correlation between
the stratigraphy as encountered within the boreholes and the
corresponding principal CPTU properties with respect to cone
resistance, friction ratio and pore pressure. The boreholes and
CPTUs carried out in pairs were generally positioned within a 5
m distance from each other.
Initially, two approaches were investigated to find the most
appropriate correlation model for the site investigation data,
namely a conventional method developed by Robertson et al
(Lunne et al 1997) and a site specific approach based on pairing
the CPTU and borehole data.
The depiction of the site CPTU results categorised into the
different main geological units and using the Robertson classification chart is shown in Figure 4.
LABORATORY TESTING
Classification testing for the Supplementary Soil investigations

consisted of natural moisture content, bulk and dry density, particle density, Atterberg limits, particle size distributions, maximum and minimum dry densities and organic content.
Incremental loading (IL) oedometer testing was carried out on
both undisturbed fine grained soil samples and reconstituted
coarse grained soil samples in accordance with BSI (1990a).
The specific schedule for the IL oedometer tests on fine
grained samples was designed to take into account the in-situ
and pre-consolidation stress together with the anticipated stress
history imposed by the construction activities.
The maximum net stress increments under the tunnel elements were not expected to lead to exceedance of the in-situ
stresses neither along the middle part of the immersed tunnel
alignment nor towards the artificial islands.
In view of the above, special attention was paid to determine
reliable estimates of the values of the pre-consolidation stress
and the reloading stiffness. The IL oedometer tests carried out
on fine grained samples were performed in two batches:
Batch I IL oedometer tests: Mainly carried out to provide an
estimate of the pre-consolidation pressure (and the virgin
compression index),
Batch II IL oedometer tests: Carried out to provide an estimate of the reloading stiffness from varying unloading
stress levels below the pre-consolidation stress estimated
from the Batch I tests.
Initial unloading/reloading steps from/to the presumed in-situ
stress were included for both the Batch I and II IL oedometer
Figure 4. CPTU results superposed on soils classification chart (Lunne

et al 1997).
Instead, the CPTU data were analysed statistically, yielding representative ranges and frequency distributions of each geological unit with respect to cone resistance, friction ratio and
excess pore pressure. In this way a unique "foot print" was produced for each geological unit as e.g. shown in Figure 5.
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Figure 5. Example of qc frequency distribution "foot print" for Marine

Clay.
Based on the frequency distributions, representative ranges were

established for the three principal CPTU properties, which in
turn were used as filter criteria for a template predicting the
geological unit.
The pore pressures varied greatly within each geological unit
and were not used as a criterion for the geological interpretation, but merely as a guide when visually cross checking the results.
The interpretation template set up in this way worked on the
premise that if a data set fell within the established "foot print"
criteria, the template would subsequently yield the associated
geological unit. The criteria were regarded as a key to a typical
geological interpretation, not an unambiguous analysis. The final geological interpretation was therefore based on additional
factors such as the combined appearance of the qc, Rf and u2
distributions combined with cross referencing to nearby boreholes.
Approximately 400 Nos. CPTUs (including those carried out
during the Preliminary Design investigations) were interpreted
using this method. This allowed for a 3D stratigraphical model
to be set up for the geotechnical interpretation of the subsurface
conditions surrounding the tunnel alignment, see e.g. Figure 6.
7
GEOTECHNICAL INTERPRETATION
The interpretation of the results of the oedometer tests carried

out yielded the modulus number, m, recompression modulus
number, mr, secondary compression index, C, secondary recompression index, Cr, coefficient of consolidation, cv and excess preconsolidation pressure, 'pc (= 'pc - 'v0).
The use of CPTUs was a key element in the evaluation of the
settlement/stiffness variation along the alignment of the Having
established the modulus number, m, for a range of soil deposits
through laboratory oedometer testing, the modulus modifier, a,
can be determined based on the formula:
(1)
where qtM is the stress-adjusted cone resistance and r is a reference stress (=100 kPa).
Based on the modulus number from the oedometer tests and
the stress adjusted cone resistance from CPTU testing, the modulus modifier, a, was derived or each soil deposit from (1).
The modulus modifier is plotted in Figure 7 assessing all oedometer results for fine grained samples. The results shown in
this figure indicate relatively little data scatter and a general
grouping of fine grained soils around 2 to 5 and 60 to 90 for the
coarse grained soils (the latter values are not shown in Figure
7).
Figure 7. Modulus modifier, a, for selected geological units as derived

from oedometer and CPTU testing results.
The recompression branch of the oedometer tests on fine

grained soils indicated a linear correlation rather than a log-linear correlation. Further, the recompression modulus number, mr,
resulting from the reloading branches was found to vary with
load for the fine grained soils. A reasonable approximation was
achieved by applying different mr values above and below an in
situ stress of 100 kPa.
The resulting recompression modulus modifier, ar, was
therefore defined for in situ stress below and above 100 kPa.
Relatively little data scatter was observed in the ar values,
with a general grouping of ar values for fine grained soils
around 14 to 25 and 14 to 33 for in situ stress above and below
100 kPa, respectively.
Figure 6. Example of contour plot generated based on the compiled 3D stratigraphical model showing top of Continental/Marine Alluvial deposits in
the location of the East Artificial Island.
626
The SHANSEP concept derives from the empirical observation

that the ratio of the undrained shear strength, su, to the effective
confining stress, 'v, is approximately constant for a given Over
Consolidation Ratio (OCR) and varies linearly with OCR:
(2)
Table 1. Average values of S and for clay deposits found along the
immersed tunnel alignment.
Nos. of
tests
Marine clay
0.31
0.7
Continental clay
0.40
NA
Marine alluvial clay
0.31
1.0
Marine alluvial clay

with sand laminae
0.36
0.7
S (avg.)
(avg.)
(3)
where v0 is the overburden pressure at the cone tip and qt is the

cone resistance corrected for pore pressure.
For the clay deposits found along the alignment of the immersed tunnel, the Nkt values were found to be 17 on average
for the four deposits referenced in Table 1.
8
(4)
SETTLEMENT/SPRING STIFFNESS CALCULATION
(5)
Here is the vertical strain, 'v is the increase in effective vertical stress from the tunnel ('1-'0), 'p is the preconsolidation
pressure, '0 is the in-situ vertical stress prior to loading, '1 is
the final vertical effective stress and 'r is a reference stress of
100 kPa.
The secondary settlement was calculated from (Terzaghi et
al. 1996):
=
(6)
where C is the secondary compression index, and t/tp is the ratio between the lifespan of the structure and the time for primary consolidation (t/tp = 100 was conservatively assumed).
When the final load was lower than the preconsolidation
stress, the secondary recompression index, Cr, was used instead of C.
The calculation of settlement was terminated at the top of
rock, and due to the limited penetration of the CPTUs into the
fluvial alluvial deposits of sand and gravel, the settlement calculations were based on SPT N data between the bottom of the
CPTUs and the top of rock. An empirical qc/N correlation dependent on the grain size distribution was used (Kulhawy &
Mayne 1990):
The results of the CAU triaxial tests were also used to provide a
correlation to results of CPTU testing, and thereby for providing
an estimate of the Nkt cone bearing factor as used in the following equation (e.g. Lunne et al 1997):

Notes: NA = Not Applicable
and Eq (5) for fine grained soils below and above the preconsolidation stress:
where S is the proportionality constant (also referred to as the

c/p ratio) and is the memory exponent. These values were estimated from the CAU triaxial testing carried out on undisturbed
samples.
The S (or c/p-ratio) value was determined based on CAU
tests loaded anisotropically to >150% of the assumed preconsolidation stress (as determined from the Batch I IL oedometer
tests) and then sheared. The S-value thus determined was used
for the determination of the value for tests loaded anisotropically to below the assumed preconsolidation stress. Due to relatively high uncertainty with regards to the determination of the
preconsolidation pressure, the memory exponent was found difficult to determine with accuracy.
For the clay deposits found along the alignment of the immersed tunnel average S and values shown in Table 1 were
found.
Soil deposit
Eq (4) for coarse grained soils below and above the preconsolidation stress:
= 5.44 .
(7)
where pa is a reference stress of 100 kPa, d50 is the mean grain

size in mm and qc is given in kPa.
The spring stiffness was then calculated as:
=
(8)
The settlement/spring stiffness calculations were carried out in

purposefully set up Excel spreadsheets.
The settlement/spring stiffness calculations were carried out
for some 400 Nos. CPTUs, and considering that each CPTU
could contain up to 6,000 measurement points, running the entire series of calculations could take up to 2 hours.
The variation of calculated settlement and spring stiffness
along the immersed tunnel alignment is shown in Figures 8 and
9, respectively.
Based on the geotechnical interpretation of the geology and settlement characteristics of soil deposits, the settlement and spring
stiffness was calculated for each individual CPTU location.
The settlement analysis was carried out using the Janbu
(1963) tangent modulus method, which accounts for the general
non-linear load deformation relationship of soils. The settlement
equations differ between coarse grained (sandy) and fine
grained (clayey and silty) soils, and whether or not the preconsolidation stress is exceeded.
All in all four different equations were established.
Figure 8. Calculated settlement along immersed tunnel alignment centre
line and lines at 25 m distance from centreline.
627
Figure 9. Calculated spring stiffness along immersed tunnel alignment centre line and lines at 25 m distance from centreline.
CONCLUSION
11 REFERENCES
The design of the 6 km world record long immersed tunnel with

highly variable soil and loading conditions poses significant
challenges to both the geotechnical site characterization and the
soil-tunnel interaction.
The structural tunnel design is very sensitive to differential
settlements and rotations of individual tunnel elements and
segments and thus to variation is soil stiffness along and across
the tunnel alignment. Rather than resolving to empirical rules
for handling the soil stiffness variation (Monte Carlo simulation
or additional sinusoidal variation around the mean stiffness) the
variation was handled directly by the tight mesh of CPTU probing points along and across the alignment.
Thus, the CPTUs provided a strong tool for clear geological
unit delineation and allowed for very detailed settlement and
soil stiffness assessment along the entire tunnel. The CPTU data
were correlated with results from oedometer and CAU triaxial
test results to provide site specific correlations regarding stiffness and undrained shear strength.
The geotechnical site characterization thus facilitated the
tool for interaction between geotechnical and structural design
of the tunnel elements and allowed for a robust and safe design.
10 ACKNOWLEDGEMENTS
The authors gratefully acknowledge the permission by COWI to
publish the paper.
628
COWI 2011. Hong Kong-Zhuhai-Macao Link Immersed Tunnel Detailed Design, Final Geotechnical Interpretative Report.
ISSMGE 2001. International Reference Test Procedure for the Cone
Penetration Test (CPT) and the Cone Penetration Test with pore
pressure (CPTU).
BSI 1990a. British Standard Methods of test for Soils for civil engineering purposes. Part 5. Compressibility, permeability and durability
tests, BS1377:Part 5:1990.
BSI 1990b. British Standard Methods of test for Soils for civil engineering purposes. Part 8. Shear strength tests, BS1377:Part 8:1990.
NORSOK 2004. Standard. G-001. Rev. 2. Marine Soil Investigations.
Lunne, T., Robertson, P.K., Powell, J.J.M. 1997. Cone Penetration Testing in Geotechnical Practice, First Edition.
Massarsch, K.R., Fellenius,B.H. 2002. Vibratory compaction of coarse
grained soils. Canadian Geotechnical Journal 39, 695-709.
Janbu, N. 1963. Soil compressibility as determined by oedometer and
triaxial tests. III European conference on soil mechanics and foundation engineering, Wiesbaden, Vol. 1, pp. 19-25 and Vol. 2, pp.
17-21.
Terzaghi, K, Peck, R.B., Mesri, G. 1996. Soil Mechanics in Engineering
Practice, Third Edition.
Kulhawy, F.H. and Mayne, P.W. 1990. Manual on estimating soil properties for foundation design. EPRI EL-6800, Cornell University.
Proceedings of the 18th International Conference on Soil Mechanics and Geotechnical Engineering, Paris2013
Controversial and Contradictory Evaluations in Analyses of Ground Vibrations

from Pile Driving
valuations controverses et contradictoires
par suite de l'enfoncement de pieux
dans
l'analyse
des
vibrations
de
terre
Svinkin M.R.
VIBRACONSULT, Cleveland, USA
ABSTRACT: Pile driving operations are powerful and wide-spread sources of construction vibrations which may detrimentally
affect adjacent and remote structures, make obstacles for operating sensitive processes and devices, and disturb people. A number of
factors can affect ground vibration from pile installation. Wave propagation from pile driving is a complicated problem, and
different approaches are utilized to analyze this phenomenon. A paper presents several controversial and contradictory issues in
assessment of ground vibrations generated by pile driving such as connections between wave propagation in piles and ground
vibrations, the relationship between pile impedance and intensity of ground vibrations, effects of the hammer energy on ground
vibrations and a possible correlation between pile capacity and ground vibrations. Also, it is important to show the inadequate roles
of condition surveys of structures and monitoring of ground vibrations and the necessity to properly assess crack changes in
condition surveys. Analysis and clarification of various approaches are important for practical applications.
RSUM: Les oprations denfoncement de pieux sont des sources puissantes et trs rpandues de vibrations de construction qui
pourraient affecter de faon nuisible des structures adjacentes et loignes, faire obstacle lutilisation de procds et dappareils
sensibles, et perturber des gens. De nombreux facteurs peuvent affecter la vibration du sol par suite de l'installation de pieux. La
propagation dondes cause par lenfoncement de pieux est un problme compliqu, et diverses mthodes sont utilises pour
analyser ce phnomne. Cet article prsente plusieurs points controverss et contradictoires dans lvaluation des vibrations de sol
gnres par lenfoncement de pieux, telles que des connections entre la propagation des ondes dans les pieux et les vibrations de
sol ; les rapports entre l'impdance des pieux et lintensit des vibrations de terre ; des effets de lnergie percutante sur des
vibrations de sol, et une corrlation possible entre la capacit des pieux et les vibrations de sol. De plus, il est important de montrer
le rle inadapt des conditions de surveillance des structures, du contrle des vibrations de sol et la ncessit d'valuer les
modifications des fissures par les oprations de contrle. L'analyse et la clarification de diverses mthodes sont importantes pour des
applications pratiques.
KEYWORDS: pile driving, ground vibrations, stress wave theory, impedance, energy, survey
correlation between them is possible. For sure, both variables

are dependent on the hammer energy.
On the one hand approximate calculation of expected
ground vibrations and even vibration monitoring yield relative
information on vibration effects on structures, and these results
could be inconclusive. On the other hand condition surveys of
structures before, during, and after pile driving provide complete
information on structural responses to vibration excitations and
this information can be much beneficial than vibration assessment
and measurements.
Clarifications of different ways used for analyses of pile
driving as the source of construction vibrations, ground vibrations
generated by pile driving and various effects of these ground
vibrations on structures, people and sensitive devices are
important to understand the problem and prevent harmful
consequences of pile driving operations.
1. INTRODUCTION
Installation of driven piles creates soil vibrations and
displacements which may affect adjacent and remote
structures, people and sensitive equipment. Therefore, various
approaches are used for evaluation of vibration effects of pile
driving.
There is a trend to connect stress-wave propagation in piles
during pile driving with prediction or calculation of the peak
particle velocity (PPV) of ground vibrations from pile
installation. However, there are ambiguous problems in using
of this approach for assessment of ground vibrations.
Pile impedance affects force and velocity at the pile head in
opposite ways at the same time. Therefore, the pile impedance
effect on the intensity of ground vibrations is not obvious.
Pile driving generates ground vibrations due to the hammer
energy applied to a pile, but some case histories demonstrate
no correlations between the hammer energy and the maximum
velocity of ground vibrations. Other factors such as the depth
of pile penetration into the ground and soil resistance to pile
driving should be taken into account.
The relationship between pile capacity and ground
vibrations is not clear. Moreover, pile capacity and ground
vibrations are outcomes of pile driving and only an accidental
2. STRESS-WAVES PROPAGATION IN PILES AND

GROUND VIBRATIONS
For about forty years, the stress-wave theory is successfully
used for driveability analysis of driven piles and also for
determination of pile capacity at the time of testing, for
example Proceedings of IS-Kanazawa 2012 (2012). In recent
years, there is a trend to connect stress-wave propagation in
629
piles during pile installation with prediction or calculation of

PPV of ground vibrations generated by pile driving, Robertson
(2006) and Massarsch & Fellenius (2008).
The first such an attempt was made by Svinkin (1996) in
favor of the Impulse Response Function Prediction (IRFP)
method for prediction of ground and structure vibrations from
pile driving; the method was developed toward prediction of
complete time-domain vibration records on existing soils,
buildings, and equipment prior to installation of impact
machine foundations, Svinkin (2002). In the application of this
method to pile driving, wave equation analysis was used to
assign a movement of the pile top, but its necessary to
underline that the top pile movement can be assigned
arbitrarily, for example as a damped sinusoid, because ground
vibrations at some distance from a dynamic source depend only
on the dynamic force transmitted on the machine support and
soil properties, Svinkin (2002).
It is necessary to point out that a connection of the stresswave theory with ground vibrations from pile driving has few
problems. First, there are several different programs for signal
matching techniques which produce diverse results for the
same piles and their outcomes depend on variety of soil
conditions and pile types, Svinkin (2012). It is not clear what
software should be used. Second, stress waves in piles
obviously generate internal forces in driven piles. Third,
according to Saint Venants principle, wave propagation in piles
does not affect dynamic field at some distance from a driven
pile.
It is known that impact hammers for pile driving and forge
hammers released comparable amounts of the energy and they
generate similar vibration records of ground vibrations
(Steffens 1974). Therefore, it is reasonable to compare both
dynamic sources and their effects on ground vibrations.
A forge hammer foundation is considered as a rigid body
which transfers impacts loads from a hammer onto the ground.
Dynamic forces in the machine foundation itself are internal
forces generated by stress-waves propagated in the machine
foundation under forge hammer impact. The duration of internal
forces is substantially smaller than the duration of dynamic
forces transferred from a machine foundation onto the ground,
and these two kinds of dynamic forces work in different time
frames. Consequently, internal dynamic forces in hammer
foundations are not taken into account in determination of
dynamic loads transferred from a hammer foundation on the
ground and consideration of ground vibrations generated by
oscillations of forge hammer foundations (Barkan 1962 and
Richart et al. 1970).
In prediction of ground vibrations from operating forge
hammers, ground vibrations depend on the impulse dynamic load
applied to a hammer foundation, the damping coefficient and the
natural frequency of vertical foundation oscillations, and also the
impulse response functions of the considered dynamic systems.
The latter represent the soil medium where wave propagate from
the hammer foundations to destination locations. The
experimental studies showed that at some distances from the
source, ground vibrations become dependent only on the impulse
load transmitted to a hammer foundation and the soil medium
where waves disseminate from the source (Svinkin 2002). These
results are in agreement with a dynamic version of Saint
Venants principle (Timoshenko & Goodier 1951and Karp &
Durban 1997).
A similar picture of a dynamic load transfer from a forge
hammer on its foundation and the ground can be represented for
pile installation. Piles also can be considered as rigid bodies in
which stress-waves propagate from hammer ram impacts and
generate internal forced in piles which are the causes of pile
movement and vibrations. Besides, a pile-soil load transfer is

released by means of both concentrated loads from the pile toe
and distributed loads generated along pile shaft. Similarly to
hammer foundations, at some distances from a pile, as the
dynamic source, ground vibrations become dependent only on the
dynamic load applied to a pile and the soil medium where waves
propagate from the source. It is known that velocities of wave
propagation in piles are about 4000 m/s in concrete piles and
about 5100 m/s in steel ones (PDA 1991). Velocities of shear
wave propagation in the ground are shown in Table 1.
Velocities of surface waves are equal about 0.92-0.96 of the
velocities of shear waves, Barkan (1962).
Table 1. Velocity of shear waves in soils, Savinov (1979)
Soil
Velocity
m/s
120 150
Sand
Sand with gravel
150 250
Loess with natural
130 160
moisture
Plastic clay
150 - 400
It can be seen that that wave propagation in piles under
impact load is much faster process in comparison to wave
propagation in the ground.
Therefore, dynamic loads
transferred from driven piles onto the ground for practical
purposes can be considered as the point impulse load at some
distance from the source, Svinkin (2000).
It can be expected that this conception is correct at distance
derived from an assumption that the time of surface wave
propagation with velocity, cs, in the ground at distance, D, from a
driven pile is 5-10 times larger than the time of stress wave
propagation with velocity, c, in the pile with length, L (Svinkin
2000).
D (5 10)Lcs / c
(1)
Minimum distances from a driven concrete pile as the point

vibration source are shown in Table 2 (coefficient 10 was used).
Table 2. Minimum distance from pile as point vibration source
Pile
Length
m
10
15
20
30
40
cs/c
150/4000
Lcs/c
10Lcs/c
m
m
0.375
3.75
0.5625
5.63
0.8438
8.44
1.125
11.25
1.6875
16.88
Lcs/c
m
0.75
1.125
1.5
2.25
3.0
300/4000
10Lcs/c
m
7.5
11.25
15.0
22.5
30.0
It can be expected at distances determined by equation (1),

that only dynamic forces transferred to piles during pile driving
and soil medium where waves propagate from driven piles will
affect ground vibrations generated by pile driving.
It is important to point out that calculation of expected
ground vibrations during the time of pile installation is irrelevant.
For example, Massarsch & Fellenius (2008) tried to connect
stress-wave propagation in piles under the hammer ram impact
with ground vibrations, but they eventually suggested the old
empirical equation to calculate attenuation of PPV of ground
vibrations generated by surface waves, which contain more
than 2/3 of the total vibration energy, from pile installation
without any connection with the stress-wave theory. Ground
vibrations have to be measured during pile driving operations.
630

th
Proceedings of the 18 International Conference on Soil Mechanics and Geotechnical Engineering, Paris2013
3. PILE IMPEDANCE
4. HAMMER ENERGY
During pile installation, an impulse load from the hammer ram

is applied to the pile top, and dynamic longitudinal force in the
pile is transferred to the surrounding soil. According to Peck et
al. (1974) and Woods (1997), pile impedance affects the force
transmitted down the pile. Pile impedance characterizes the
pile ability to overcome the soil resistance to pile penetration
and develop required capacity.
One of pile impedance, Z, definition can be presented as
Pile installation generates ground vibrations due to the hammer

energy applied to a pile. Obviously, PPV of ground vibrations
have to be a function of the hammer energy transferred on a
pile. However, some case histories demonstrate no correlations
between the hammer energy and PPV of ground vibrations,
Hope and Hiller (2000). It happens due to the effects of soil
conditions, the pile penetration depth, and the soil resistance to
pile penetration into the ground. Nevertheless, the hammer
energy is the major cause of ground vibrations because without
the hammer energy there are no pile penetration into the
ground and ground vibrations.
Z EA / c
(2)
where E is modulus of elasticity of pile material; A is pile

cross-section area; and c is longitudinal stress wave velocity. It
can be seen that impedance depends only on the pile material
and dimensions.
Recognizing the importance of pile impedance for
assessment of to the ground vibration, Heckman and Hagerty
(1978) proposed the equation for the peak particle velocity of
ground vibrations from pile driving as a function of the rated
hammer energy, Wr , and the distance, D, from a driven pile
with the coefficient, k, which is dependent on pile impedance.
vk
Wr
D
(3)
The coefficient, k, is inversely proportional to pile impedance.

It means that driven piles with higher impedance generates
lower PPV of ground vibrations and vice versa.
Svinkin (2000) derived equations for PPV of pile
vibrations, V, and the maximum force, F, measured at the pile
head as
2cWt
ZL
(4)
2cZWt
L
(5)
and
where Wt is the energy transferred to a pile.

Similarly to equation (3), equation (4) shows that the
velocity triggered by the hammer ram impact is an inversely
proportional function of pile impedance. However, equation (5)
displays that the force is proportional to the root square of pile
impedance. It means that pile impedance affects force and
velocity at the pile head in opposite ways.
Case histories presented in a number of publications, for
example Svinkin (2000), demonstrate higher ground vibrations
triggered by installation of high soil displacement piles
(concrete piles and steel pipes with closed ends) in comparison
with low soil displacement piles (H-piles and steel pipes with
open ends). A practical experience is the evidence that pile
impedance affects ground vibrations in the proximity of driven
piles, but this pile property does not affect the dynamic field at
some distance from driven piles in accordance with Saint
Venants principle.
5. PILE CAPACITY AND GROUND VIBRATIONS

Some authors, for example Robinson (2006), found enormous
scatter of PPV of ground vibrations as a function of the
hammer energy. For example, PPV of ground vibrations
changed between about 0.4-21.6 mm/s at the rated energy of
135 kJ and between about 0.9-17.8 mm/s at the transferred
energy of 40 kJ. It happened because other factors mentioned
above affected ground vibrations and in consequence that data
measured at various construction sites with different soil
conditions, pile types and pile driving implementations were
considered together. However, Robinson (2006) suggested a
correlation between ground vibrations and pile capacity
determined during pile driving. He believes that pile-soil
interaction, not energy, is the major influence in the generation
of ground vibrations from driven piles. Obtained conclusions
are not accurate because ground vibrations and pile capacity
are outcomes of the same pile driving process and only an
accidental correlation between them is possible.
It is necessary to say that ground vibrations and pile
capacity for sure depend on the hammer energy because pile
capacity cannot be mobilized without the sufficient hammer
energy. Moreover, during pile driving, the static pile capacity
is determined by signal matching software on the basis of force
and velocity measurements at the pile head. Unfortunately,
different software produces different results. It means that PPV
of ground vibrations are dependant on signal matching
technique used for analysis of testing data. Besides, during pile
installation, ground vibrations should be measured not
calculated because of possible detrimental effects of pile
driving operations and also measured ground vibrations are
more reliable than calculated ones.
6. CONDITION SURVEYS AND VIBRATION
MEASUREMENTS
Approximate calculation of expected ground vibrations and
even vibration monitoring yield relative information on vibration
effects on structures, and these results could be inconclusive.
Moreover, there is uncertainty in application of the existing
vibration limits for assessment of pile driving effects on soils and
structures. Therefore, it is imperative to perform condition
surveys of structures before, during and after pile installation
which provide complete information on structural responses to
vibration excitations. Obtained information can be much
beneficial for analysis of causes of damage to structures than
vibration assessment and measurements. Dowding (1996)
pointed out the necessity of professional performance of a
preconstruction survey.
Condition surveys during pile installation and after the
completion of pile driving are significant for analysis of
possible causes of damage to structures. Each construction site
631
is unique and even similarity of soil deposits does not mean the
same condition of the dynamic settlement development.
Physical evidences of damage to structures from dynamic
sources are very important. Therefore, much attention is
provided for measurement of crack width at condition surveys
of structures during pile driving.
Changes of crack dimensions are the major evidences of
vibration effects on structures. Micrometers are used to
determine changes of crack widths. It is necessary to keep in
mind that each structure has its own breathing because of
microseisms in the earth and human activities inside and
outside structures. Hence, it is typical that crack widths may
vary in time. If crack widths increase without increasing of
crack lengths, it is a safe situation. However, if variations of
crack widths trigger increasing of crack length, it becomes
dangerous for structures. Thus, changes of crack widths alone
are not the indicators of damage to structures from pile driving.
Therefore, it is necessary to measure crack widths together
with assessment of crack length enlargements.
7. CONCLUSIONS
Ground vibrations from pile driving may harmfully affect
structures, people and sensitive devices, and these effects
should be evaluated before and during pile driving operations.
The paper presents several controversial and contradictory
issues in assessment of ground vibrations generated by pile
driving. Analyses of various approaches are important for
practical applications.
A connection of the stress-wave theory with ground
vibrations from pile driving has few problems. There is no
unique solution of stress-wave propagation in the pile because
different signal-matching software provides different
outcomes. Internal forces in piles may somewhat affect ground
vibrations in the proximity of the pile. However, according to
Saint Venants principle, wave propagation in piles does not
affect dynamic field at some distance from a driven pile.
Pile impedance affects ground vibrations in the proximity
of driven piles, but this pile property does not affect the
dynamic field at some distance from driven piles in accordance
with Saint Venants principle.
Pile installation generates ground vibrations due to the
hammer energy applied to a pile. Missing correlation between
PPV of ground vibrations and the hammer energy in some case
histories occurred on account of the effects of soil conditions,
the pile penetration depth, and the soil resistance to pile
penetration into the ground. Nevertheless, the hammer energy
is the major cause of ground vibrations because without the
hammer energy there are no pile penetration into the ground
and ground vibrations.
Pile capacity and ground vibrations are outcomes of the
same pile installation and only an accidental correlation
between them is possible.
Condition surveys should be performed before, during and
after pile driving. Assessment of crack length enlargements has
to accompany measurements of crack widths because changes
of crack widths alone are not the indicators of damage to
structures from pile driving.
Clarification of different views on the problems would be
helpful in practice for assessment of pile driving effects on
surrounding structures.
632
8. REFERENCES
Barkan, D.D. 1962. Dynamics of Bases and Foundations. New York:
McGraw Hill Co.
Dowding, C.H. 1996. Construction Vibrations. Prentice Hall, Upper
Saddle River.
Heckman, W.S. & D.J. Hagerty 1978. Vibrations associated with pile
driving. Journal of the Construction Division, 104(CO4): 385-394.
ASCE.
Hope, V.S. and Hiller, D.M. 2000. The prediction of groundborne
vibration from percussive piling. Canadian Geotechnical Journal,
37, 700-711.
Karp, B and Durban, D. 1997. Towards a dynamic version of Saint
Venants principle. Modern Practice in Stress and Vibration
Analysis. M.D. Gilchrist (Ed.): 251-255. Rotterdam: Balkema.
Massarsch, K. R., and Fellenius, B. H. 2008. Ground vibrations
induced by impact pile driving. SOAP 3, Proceedings of the Sixth
International Conference on Case Histories in Geotechnical
Engineering: 1-38, Arlington, Virginia: OmniPress.
PDA (1991). Pile Driving AmalyzerTM - Manual. Pile Dynamic, Inc.
Cleveland, Ohio.
Peck, R.B., Hanson, W.E. and Thornburn, T.H. 1974. Foundation
Engineering, 2nd ed., New York: John Wiley & Sons, Inc.
Proceedings of IS-Kanazawa 2012. Testing and Design Methods for
Deep Foundations. Proceedings of the 9th International Conference
on Testing and Design Methods for Deep Foundations, Kanazawa,
Japan, 18-20 September 2012.
Robinson, B.R. 2006. Models for Prediction of Surface Vibrations from
Pile Driving Records. A thesis submitted in partial fulfillment of the
Requirements for the degree of Master of Science, NC State
University.
Richart, F.E., Hall, J.R. and Woods, R.D. (1970). Vibrations of soils and
foundations, Prentic-Hall, Inc., Englewood Cliffs, NJ.
Savinov, O.A. 1979. Modern construction of machine foundations and
their calculations. Second Ed. Stroiizdat, Leningrad.
Steffens, R.J. 1974. Structural vibration and damage. Building Research
Establishment Report, HMSO.
Svinkin, M.R. 1996. Overcoming soil uncertainty in prediction of
construction and industrial vibrations. Proceedings of Uncertainty in
the Geologic Environment: From Theory to Practice, C.D.
Shackelford, P. Nelson, and M.J.S. Roth (Eds.), Geotechnical
Special Publications No. 58, ASCE, 2: 1178-1194.
Svinkin, M.R., Roth, B.C. and Hannen, W.R. 2000. The effect of pile
impedance on energy transfer to pile and ground vibrations.
Proceedings of the Sixth International Conference on the Application
of Stress-Wave Theory to Piles. S. Niyama &J. Beim (Eds.): 503-510,
Rotterdam: Balkema
Svinkin, M.R. 2002. Predicting soil and structure vibrations from impact
machines. Journal of Geotechnical and Geoenvironmental
Engineering., 128(7): 602-612. ASCE.
Svinkin, M.R. 2012. Engineering evaluation of static capacity by dynamic
methods. Proceedings of the 9th International Conference on Testing
and Design Methods for Deep Foundations, Kanazawa, Japan, 18-20
September 2012: 179-186. Kanazawa University.
Timoshenko, S.P. and Goodier, J.N. 1951. Theory of Elasticity. New
York: McGrawHill Book Co.
Woods, R.D. (1997). Dynamic Effects of Pile Installations on Adjacent
Structures, NCHRP Synthesis 253, Transportation Research
Board, National Research Council, Washington, D.C.
CPT/PCPT- Based Organic Material Profiling

Matire organique - Le profilage bas sur le CPT/PCPT
Tmay M.T.
Louisiana State University, Baton Rouge, LA, USA and Boazii University, stanbul, Turkey
Hatipkarasulu Y.
The University of Texas at San Antonio, San Antonio, TX, USA
Marx E.R.
Fugro Consultants, Inc., Baton Rouge, LA, USA
Cotton B.
Fugro Consultants, Inc., Kenner, LA, USA
ABSTRACT: Cone and Piezocone Penetration Test (CPT and PCPT) based analysis and modeling is a popular and handy tool for
geotechnical engineers for subsurface investigations and soil characterization. However, effective identification and extent of organic
content proves to be a challenge based on traditional CPT and PCPT data and methodologies. This paper presents a comprehensive
CPT/PCPT-based organic content identification method using Zhang and Tumay (1999) probabilistic soil classification method. The
probabilistic method employs a non-traditional modeling approach that takes the uncertainty of correlation between the soil
composition and soil behavior into account. The method is based the conformal mapping of the Douglas and Olsen (1981)
classification chart which results in the soil classification index (U) and in-situ behavior index (V). The organic content identification
method proposed in this paper uses the in-situ behavior index (V) in combination with the compositional soil classification index (U)
to estimate the organic content. A detailed description of the proposed methodology and a discussion of effective applications are
included in the paper.
RSUM : Le pntromtre quasi-statique et le pizocne (CPT et PCPT) constituent des outils danalyse populaires et pratiques
pour la reconnaissance gotechnique des sites et la caractrisation des sols. Cependant, lidentification des sols organiques ainsi que
lvaluation de la teneur en matire organique partir des donnes classiques obtenues au CPT et au PCPT se sont rvles tre un
challenge. Cet article prsente une mthode dvaluation complte de la teneur en matire organique base sur le CPT et la mthode
de classification des sols probabiliste de Zhang et Tumay (1999). Cette mthode probabiliste utilise une approche de modlisation non
conventionnelle qui prend en compte lala sur la corrlation entre la composition du sol et son comportement mcanique. La
mthode est base sur labaque de classification des sols de Douglas et Olsen (1981) qui permet de dfinir lindice de classification
des sols (U) et lindice de comportement in situ (V). La mthode dvaluation du contenu en matire organique propose dans larticle
utilise lindice de comportement in situ (V) combin lindice de classification (U) pour estimer la teneur en matire organique du
sol. Une description dtaille de la mthodologie propose et une discussion de ses applications sont aussi prsentes dans larticle.
KEYWORDS: CPT, PCPT, Cone Penetration, Soil Classification ,Organic Soils
analyses of two well-documented test sites to illustrate the

effectiveness of CPT/PCPT-based profiling and their correlation
to laboratory test results.
INTRODUCTION
Cone and Piezocone Penetration Test (CPT and PCPT) (ASTM

D5778-12) based analysis and modeling is a popular and handy
tool for geotechnical engineers for subsurface investigations and
soil characterization. Since the 1960s, several modeling
approaches have been developed for soil classification and
evaluation of different soil properties such as the strength and
consolidation characteristics of geomedia. However, effective
identification and extent of organic content has proved to be a
challenge based on traditional CPT and PCPT data and
methodologies. Although some models identify organic
materials as a separate soil class, they do not provide a
continuous profile (for example, Schmertmann, 1978;
Robertson et al, 1986; Robertson, 1990). Considering the
likelihood of having different levels of organic content in any
soil type, a continuous profile will provide additional
understanding and evaluation of the subsurface.
This paper presents a comprehensive CPT/PCPT-based
organic content identification method using Zhang and Tumay
(1999) probabilistic soil classification method. The organic
content identification method proposed in this paper uses the
Zhang and Tumay methods in-situ behavior index (V) in
combination with the compositional soil classification index (U)
to estimate the organic content. A detailed description of the
proposed methodology and a discussion of effective
applications are included in the paper. The paper also presents
CPT-BASED PROBABILISTIC SOIL CLASSIFICATION
Unlike
the
traditional
chart-based
two-dimensional
classification methods, the Zhang and Tumay method uses a
probabilistic region estimation method to address the
uncertainty in misclassifying the soil layers. This statistical
based method provides a profile of the probability or the chance
of having each soil type (clayey, silty, and sandy) with depth.
This method is similar to the classic soil classification methods
which are based on soil composition. The probability of
incorrectly identifying soil type using the tradition CPT
classification charts, especially in transition zones, motivated
the development of the probabilistic region estimation method.
This CPT classification method addresses the uncertainty of
correlation between the soil composition and soil mechanical
behavior.
In the Zhang and Tumay probabilistic method, conformal
mapping was performed on the Douglas and Olsen (1981) chart
to transfer the chart axis from the CPT data (qc, Rf) to the soil
classification index (U) and in-situ behavior index (V). The
conformal transformation is accomplished using the following
equations:
633
x 0.1539R f 0.8870 logqc 3.35
(1)
y 0.2957R f 0.4617 logqc 0.37
(2)
The soil classification index (U) and in-situ behavior index

(V) are given as:
U
a1x a2 y b1 c1x c2 y d1
c1x c2 y d1 2 c2 x c1 y d 2 2
a2 x a1 y b2 c2 x c1 y d 2
c1x c2 y d1 2 c2 x c1 y d 2 2
V 10
(3)
(c1x c2 y d1)(a2 x a1 y b2 )
(c1x c2 y d1 )2 (c2 x c1 y d 2 )2
ORGANIC MATERIAL PROFILING
The proposed profiling method utilizes a combination of the soil

classification index and the in-situ behavior index values where
the [(V-U) > 3.0] indicates significant organic content. The
organic content indicator (V-U) makes it possible to profile the
changes in organic content continuously while acknowledging
the likelihood of having organic material in any given soil
composition.
To illustrate the proposed method, two well documented
data sets from the Mississippi River Long Distance Sediment
Pipeline study located near Barataria Waterway in Jefferson
Parish, Louisiana are considered. Tables 1, 2, and 3 present the
laboratory test results for data sets B-7 and B-28 including
moisture content percentage (ASTM D2216-10), Atterberg
Limits (ASTM D4318-10), and material content finer than No.
200 sieve (ASTM D1140-06). Table 4 presents the organic
content percentages (ASTM D2974-07) for the same data sets.
( a1x a2 y b1 )(c2 x c1 y d 2 )
Table 1. Laboratory testing values for B-7 data set.
(c1x c2 y d1 )2 (c2 x c1 y d 2 ) 2
(4)
The coefficients in equations 3 and 4 are defined as: a1=-11.345,

a2=-3.795, b1=15.202, b2=5.085, c1=-0.269, c2=-0.759,
d1=-2.960 and d2=2.477.
A statistical correlation was then established between the U
index and the compositional soil type given by the Unified Soil
Classification System (USCS) (ASTM D2487-11). A normal
distribution of U was established for each reference USCS soil
type (GP, SP, SM, SC, ML, CL, and CH). Each U value
corresponds to several soil types with different probabilities.
Boundary values were used to divide the U axis into seven
regions as described in Figure 1.
Soil types were further rearranged into three groups: sandy
and gravelly soils (GP, SP, and SM), silty soils (SC and ML)
and clayey soils (CL and CH). Figure 1 also gives the
probability of having each soil group within each region. The
original method gives constant probability of each soil type
(represented by the step lines) regardless of the U value within
the same region (R1 to R7 in Figure 1). This allows for the
sudden drop in the probabilities as the U value crosses the
border from one region to another. This method was further
modified to allow smooth transition of probability (curved
lines) with U values, and hence to provide a continuous profile
of the probability of soil constituents with depth.
Depth
(m)
1.2
3.0
4.9
9.1
Depth
(m)
2.1
2.8
4.3
16.8
Plastic
Limit %
35
22
32
27
Plasticity
Index %
98
16
67
58
Moisture
Content %
72
81
80
50
Liquid
Limit %
44
78
86
69
Plastic
Limit %
20
24
28
23
Plasticity
Index %
24
54
58
46
Table 3. Material passing No. 200 sieve for B-7 and B-28 data sets.
Data Set
B-7
B-28
GS, SP, SM
SC, ML
80
Liquid
Limit %
133
38
99
85
Table 2. Laboratory testing values for B-28 data set.
100
90
Moisture
Content %
125
42
93
74
CL, CH
Depth (m)
1.2
9.1
2.1
3.7
4.2
6.1
8.8
10.7
16.5
Material Passing No.200 Sieve %

89
100
96
27
98
87
27
12
100
Probability (%)
70
Table 4. Organic content values for B-7 and B-28 data sets.
60
50
Data Set
B-7
40
30
20
10
0
R6
R7
-0.14
R5
0.61
R4
1.33
U Value
R3
2.01
R2
B-28
R1
2.7 2.91
Figure 1. Regional boundaries and the corresponding probabilities of

each soil group.
In-situ behavior index (V) provides a profile of soil behavior

and, in combination with the compositional soil classification
index (U), estimates of soil organic content and of soil
rigidity/stiffness (indirectly OCR) can be determined (Tmay
et.al, 2012).
634
Depth (m)
0.6-0.9
1.8-2.1
3.0-3.4
0.6-1.2
2.4-2.8
3.7-4.0
7.2-7.6
Ash Content % Organic Content %

85.42
14.58
96.85
3.15
96.85
3.15
85.95
14.05
84.78
5.22
91.73
8.27
97.10
2.90
Figures 2 and 3 illustrate the CPT sounding values (qc, fs and

Rf) (ASTM D 5778-12), Zhang and Tumay (1999) probabilistic
soil classification soil results with U and V index values,
organic content indicator (V-U), and corresponding lithology
obtained from the boring logs for B-7 and B-28 data sets.
TIP RESISTANCE (qc)
DEPTH (m)
0.0
SLEEVE FRICTION (fs)

0.0
FRICTION RATIO (Rf)

0.0
U INDEX
V INDEX
0.0
Organic Content (V-U)
0.0
0.0
ZT99 Probabilistic
0.0
Lithology
0.0
ORGANIC CLAY (OH),

very soft, black
LEAN CLAY (CL), very
soft to soft, gray and
dark gray
2.0
2.0
2.0
2.0
2.0
2.0
2.0
2.0
4.0
4.0
4.0
4.0
4.0
4.0
4.0
4.0
6.0
6.0
6.0
6.0
6.0
6.0
6.0
6.0

soft, gray, with shell
fragments, and sand
8.0
8.0
8.0
8.0
8.0
8.0
8.0
8.0
FAT CLAY (CH),

soft, gray, with silt
seams
and lenses
10.0
10.0
10.0
10.0
10.0
10.0
10.0
10.0
12.0
12.0
12.0
12.0
12.0
12.0
12.0
12.0
14.0
14.0
14.0
14.0
14.0
14.0
14.0
14.0
16.0
16.0
16.0
16.0
16.0
16.0
16.0
16.0
18.0
18.0
18.0
18.0
0.00
1.00
2.00
18.0
0.00
MPa
0.02
0.04
18.0
0.00
MPa
10.00
20.00
18.0
-5.0
0.0
5.0
0.0
2.0
4.0
-3.0
3.0
9.0
Inorganic | Organic
% Cl a y
% Si l t
% Sa nd
FAT CLAY (CH),

very soft, dark
gray
FAT CLAY (CH),

soft to firm, gray,
with silt
seams and lenses
18.0
%0
%50
%100
%0
%50
%100
Figure 2. CPT-Based organic material profile and lithology B-7 Data Set.
TIP RESISTANCE (qc)
SLEEVE FRICTION (fs)
FRICTION RATIO (Rf)
U INDEX
ZT99 Probabilistic
Organic Content (V-U)
V INDEX
Lithology
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
2.0
2.0
2.0
2.0
2.0
2.0
2.0
2.0
ORGANIC CLAY (OH),

% Cl a y
very soft, dark gray,
% Si l t
with roots, peat, and
% Sa nd
shells
LEAN CLAY (CL), w/organics
FAT CLAY (CH), w/organics
ORGANIC CLAY (OH)
4.0
4.0
4.0
4.0
4.0
4.0
4.0
4.0
6.0
6.0
6.0
6.0
6.0
6.0
6.0
6.0
8.0
8.0
8.0
8.0
8.0
8.0
8.0
8.0
10.0
10.0
10.0
10.0
10.0
10.0
10.0
10.0
12.0
12.0
12.0
12.0
12.0
12.0
12.0
12.0
14.0
14.0
14.0
14.0
14.0
14.0
14.0
14.0
16.0
16.0
16.0
16.0
16.0
16.0
16.0
16.0
FAT CLAY (CH), w/organics
DEPTH (m)
LEAN CLAY (CL), gray

- with sand seams
18.0
18.0
0.00
6.00
MPa
12.00
18.0
0.00
0.05
MPa
0.10
18.0
0.00
5.00
10.00
18.0
-5.0
0.0
5.0
18.0
-2.0
0.0
2.0
4.0
18.0
-3.00
3.00
9.00
SILTY SAND (SM),

very loose to
medium-dense, gray

soft, gray
FAT CLAY (CH),

firm, gray, with
organics and
roots
18.0
%0
%50
%100
%0
%50
%100
Inorganic | Organic
Figure 3. CPT-Based organic material profile and lithology B-28 Data Set.
As illustrated in Figures 2 and 3, the organic content
indicator (V-U) identified the significant organic content in the
sample data sets while providing a continuous profile. When
this information is combined with the CPT-based soil
classification, it provides a better understanding of the
subsurface conditions. For example, laboratory testing values
indicate a fine grained soil with high plasticity index (98%) for
the first meter of the B-7 data set where the organic content test
resulted in 14.58%. The test values show a significant drop after
2.0 meters for the plasticity index (16%) and the organic content
(3.15%). This profile change is clearly illustrated in Figure 2.
Similarly, as shown in Figure 3, the test results show organic
content over 5% for the B-28 data set between 2.5 and 4.0
meters. This value decreases to 2.90% at 7.2 meters.
635
The data capture frequency of the CPT soundings (2 cm/sec)

also allows for the identification of the thinner seams of sandy
and silty sand layers as well as the increases in the organic
content. For example, the soil classification of the B-28 data set
between 8.0 and 12.0 meters shows thin layers of clayey
materials. At these layers, the organic content appears to be
higher that the surrounding silty sand.
4
CONCLUSION
Although there are several CPT-based soil classification models

effectively used in subsurface investigations, accurate
identification of organic materials using CPT soundings
provides a challenge. The organic content indicator (V-U)
proposed in this study offers a continuous profile for the organic
content based on the soil classification and in-situ behavior
indexes as defined by the Zhang and Tumays probabilistic
method.
For the examples provided in this paper, the organic content
indicator shows a strong agreement with the test results and [(VU) > 3.0] indicates an approximate level of 5% organic
material. The CPT-based indicator may provide a useful tool
considering the importance of identifying organic materials
which could lead to problems concerning stability, compaction,
compressibility and usability.
Soil classification effectiveness and accuracy of the Zhang
Tumay (1999) method has been evaluated with several data sets
under different conditions and test sites, and compared with
other classification charts, for subsoil stratigraphy (Tmay et.
al., 2011), multi model comparison (Hatipkarasulu and Tmay,
2011(1)), tip resistance value correction (Tmay and
Hatipkarasulu, 2011), effective area ratio assumption
(Hatipkarasulu and Tmay, 2011(2)), and data reduction effects
(Tmay and Hatipkarasulu, 2012). The method uses a nontraditional approach which takes into account the probability of
having each soil type with depth. The use of soil classification
(U) and in-situ behavior (V) indexes for organic profiling
extends the same concept of accounting for the chance of
having organic material at any given depth. The organic content
indicator (V-U) profiling shows reliable performance in clayey
materials and its further evaluation is imperative for non-clay
organic soils.
5
ACKNOWLEDGEMENTS
This study rests on the interpretations of the field and laboratory

investigations conducted for the Mississippi River Long
Distance Sediment Pipeline Project designed and undertaken by
the Louisiana Department of Transportation and Development
(LADOTD). The contents of this paper reflect the views of the
authors, who are responsible for the facts and the accuracy of
the data presented herein, and do not necessarily indicate
official assessments of the agencies, firms and institutions with
which the authors are affiliated.
6
REFERENCES
ASTM D5778-12. 2012. Standard Test Method for Electronic Friction

Cone and Piezocone Penetration Testing of Soils. ASTM
International, West Conshohocken, PA. DOI: 10.1520/D5778-12.
http://www.astm.org/Standards/D5778.htm
ASTM D2487. 2011. Standard Practice for Classification of Soils for
Engineering Purposes (Unified Soil Classification System). ASTM
ASTM D2216-10.2010. Standard Test Methods for Laboratory
Determination of Water (Moisture) Content of Soil and Rock by
Mass. ASTM International, West Conshohocken, PA. DOI:
10.1520/D2216-10.
636
ASTM D4318-10. 2010. Standard Test Methods for Liquid Limit,
Plastic Limit, and Plasticity Index of Soils. ASTM International,
West Conshohocken, PA. DOI: 10.1520/D4318-10.
ASTM D2974-07a. 2007. Standard Test Methods for Moisture, Ash,
and Organic Matter of Peat and Other Organic Soils. ASTM
ASTM D1140-00. 2006. Standard Test Methods for Amount of
Material in Soils Finer than No. 200 (75-m) Sieve. ASTM
Douglas, J. B., and Olsen, R. S. 1981. Soil Classification using Electric
Cone Penetrometer, Symposium on Cone Penetration Testing and
Experience, Geotechnical Engineering Division, ASCE, St. Louis,
MO, USA, (1981), 209-227.
HatipKarasulu, Y. and Tumay, M.T. 2011(1). Practical visual
presentation approach for CPT-based soil characterization and
modelling. Proceedings of the ASCE Geo-Frontiers Conference:
Advances in Geotechnical Engineering, Dallas, TX, pp. 2387-2396
Hatipkarasulu, Y. and Tmay. 2011(2). Impact of effective area ratio
assumption on PCPT-based soil classification. Proceedings of the
Fourth International Conference on Site Characterization, ISC4:
Geotechnical and Geophysical Site Characterization, Porto de
Galingas Pernambuko, Brazil. pp. 275-282
Robertson, P. K., Campanella, R. G., Gillespie, D., and Greig, J. 1986.
Use of Piezometer Cone Data. Proceedings of the ASCE Specialty
Conference on In Situ86: Use of In Situ Tests in Geotechnical
Engineering, Blacksburg, Virginia, pp. 1263-1280.
Robertson, P. K. 1990. Soil Classification using the Cone Penetration
Test. Canadian Geotechnical Journal, Vol. 1, No. 27, pp. 151-158.
Schmertmann, J.H. 1978. Guidelines for Cone Penetration Test,
Performance and Design. Report No. FHWA-TS-78-209, U.S.
Tmay, M. T. and HatipKarasulu, Y. 2011. Impact of Using Measured
v. Corrected Tip Resistance Values in PCPT-Based Soil
Characterization and Modeling, Proceedings, of the ASCE GeoFrontiers Conference: Advances in Geotechnical Engineering,
ASCE Special Publication No. 211, Dallas, TX, pp. 2544-2553.
Tmay, M. T., HatipKarasulu, Y., Mynarek, Z., and Wierzbicki, J.
2011. Effectiveness of CPT-Based classification methods for
identification of subsoil stratigraphy. Proceedings of the 15th
European Conference on Soil Mechanics and Geotechnical
Engineering, Athens, Greece, pp.91-98.
Tmay, M. T. and HatipKarasulu, Y. 2012 Effects of data smoothing
and reduction on CPT-based probabilistic soil classification.
Proceedings of the Fourth International Conference on Site
Characterization, ISC4: Geotechnical and Geophysical Site
Characterization, Porto de Galingas Pernambuko, Brazil. pp. 843850
Tmay, M.T., Hatipkarasulu, Y., Marx, E.R and Cotton, B. 2012. Multi
Model Subsurface Evaluation for Louisiana I-10 Bridge
Replacement Using Electronic CPT. Proceedings of the Fourth
International Conference on Site Characterization, ISC4:
Geotechnical and Geophysical Site Characterization, Porto de
Galingas Pernambuko, Brazil. pp. 1281-1288
Zhang, Z., and Tumay, M.T. 1999. Statistical to Fuzzy Approach
toward CPT Soil Classification. ASCE Journal of Geotechnical and
Geoenvironmental Engineering, Vol. 125, No. 3, pp. 179 186.
Geotechnical Challenge for Total Cost Reduction related to Construction

of Connecting Bridge with Pile Foundations
Dfi gotechnique pour la rduction totale des cots lis la construction du pont de liaison
avec les fondations sur pieux
Yasufuku N., Ochiai H.
Kyushu University, Fukuoka, Japan
Maeda Y.
West Nippon Expressway Company Limited, Osaka, Japan
ABSTRACT: Changes of geotecnical engineering profile are briefly mentioned based on the density of in-situ investigations and
laboratory tests. Then, the method used for evaluating the vertical bearing capacity of driven piles in the actual design is presented..
The applicability is also verified by comparing the predicted results with the results from the full-scale pile load tests, whose results
were linked with the reduction of the safety factor for design. Finally, the significance of geotechnical investigations including in-situ
and laboratory tests and full scale pile load tests are discussed in terms of the cost performance of the construction of pile foundations
for supporting the connecting bridge. It is concluded that in-situ and laboratory investigation with reasonable geotechnical
considerations can reduce the total cost of the construction of the bridge with pile foundations for New-Kitakyushu airport.
RSUM : Dans ce papier, la politique de base et des concepts pour des tudes gotechniques et de conception fondation sur pieux du
pont qui relie pour la Nouvelle-Kitakysh sont introduits. Les changements de profil gotechnique sont brivement mentionns bass
daprs la densit du terrain (in-situ) et des essais au laboratoire. Ainsi, la mthode utilise pour lvaluation de la capacit portante
des pieux battus conu selon la mthodologie actuelle est prsente sur la base des considrations gotechniques. L'applicabilit est
galement vrifie en comparant les rsultats prdits avec les rsultats des essais en vraie grandeur de chargement de pieux. Les
rsultats ont t compars en termes de rduction du facteur de scurit utilis au dimensionnement. . Enfin, l'importance des tudes
gotechniques y compris les essais in situ et en laboratoire et les essais en vrai grandeur de chargement de pieux sont discuts en
termes de performance des cots de la construction des fondations sur pieux pour soutenir le pont de liaison.
KEYWORDS: cost reduction, field investigations, pile foundations design, bearing capacity
1
INTRODUCTION
A connecting bridge has been constructed on the sea as an

access road for New Kitakyushu airport, which will be opened
in 2005. The length of the bridge is about 2km and 24 piers are
mounted for supporting the bridge. An overview of the
connecting bridge under construction is shown in Figure 1. In
order to clarify the geological and mechanical characteristics of
the ground for supporting the bridge and the manmade airport
island, a large number of in-situ and laboratory tests had been
performed for five years from 1991 to 1995.
In this paper, the basic policy and concepts for geotechnical
investigations and design of this project are introduced. The
changes of geotecnical engineering profile are briefly
mentioned based on the density of in-situ investigations and
laboratory tests. The process of producing a model ground for
design is also made clear, which is used for estimating the
bearing capacity of driven piles. Further the method used for
predicting the vertical bearing capacity of driven piles is
presented based on the geotechnical considerations. The
applicability is also verified by comparing the predicted results
with the results from the full-scale pile load tests, whose results
are linked with the reduction of the safety factor for design.
Finally, the significance of in-situ investigations and full scale
pile load tests are discussed in terms of the cost performance of
the construction of pile foundations for supporting the
connecting bridge.
2
Connecting Bridge
2.1km, 24 piers
Airport site
Aug. 2002
Figure 1. Overview of connecting bridge under construction

Design of foundation
(Reassessment)
(Feedback)
Assessments based on
Geotechnical considerations
Investigation
(Collaboration)
design
Select of possible
models
Decision of sort and
number of field & lab.
tests
Implementation of
site investigation
Verification by
site investigations
Full scale load tests
Field observations
Modeling of ground
Careful selection of soil parameters
Determination of adequate model
Reconsideration of
safety factors et al.
GEOTECHNICAL INVESTIGATIONS AND DESIGN
Figure 2 shows the policy and concept of geotechnical

investigation and design for constructing the connecting bridge
Implementation of rational and

Economical design in total
Figure 2. Collaboration of geotechnical investigations with design
637
Elevation (m)
TP
0
-1 0
-2 0
-3 0
-4 0
-5 0
-6 0
-7 0
-8 0
-9 0
P12
P1
P22
A2
Ac
Ac
Ac
DUs
D Lc
DUc
DLs
D Lc
D Ls
T tc
S chw
S ch
(c ) 1 9 9 4 -9 5
Unconformity
L a n d a rea
D Lc
S ch
T tc
A irp o rt a r ea
S ea a r ea
T
0
-1
-2
-3
-4
-5
-6
-7
-8
-9
Embankment
Ac
Dutf
DLs1
DLc1
DUs
DUc
DLs2-5
Figure 3. Final geotechnical engineering profile obtained

DLc2-6
N-blow values
0
-10
30 50
100
150
N-blow values
200 0 20 50
a) DLs layer
100
150
Figure 5. Model geotechnical engineering map for design
b) DLc layer
Measured N-values
Figure 3 clarified that 1) the investigated ground consists of

alluvial clayey layers with 7-9m thickness and Pleistocene
layers laminated by sandy and clayey soils with 20-60m
thickness below the alluvial layers and also weathered
crystalline schist as the base layer. The corresponding ground is
therefore roughly divided into 3 layers. 2) The undulation of
base layer is extremely high in which the difference becomes
more than 45m. 3) The structure of Pleistocene layers is
complicated and the continuities in horizontal direction are not
so clear, and so the lens shape layers are found here and there.
4) The surface of unconformity in Pleistocene layers is clearly
found from sea area to airport area of which inclination is about
15 degrees in the longitudinal direction.
Evelation,T.P.
-20
-30
Bearing stratum
-40
Averaged N-values
-50
Sch
200
Range of dispersion
-60
Figure 4. Distribution of N-values in DL layer against depth
for New-Kitakyushu airport. As shown in this figure, the field

and laboratory investigations and the engineering design are
conducted based on the clear policy, which includes that:
1) The strong collaboration between geotechnical investigators
and designers should be made for a rational design and
construction in pile foundations.
2) The design parameters should be determined based on the
geotechnical considerations, which reflect the results obtained
from the geotechnical investigations and laboratory soil tests.
The model for estimating the bearing capacity of piles in design
should be based on the geotechnical considerations.
3) A rational bearing stratum should be carefully selected based
on the geological and geotechnical investigations.
4) The predicted performance in design should be checked by a
full-scale model tests as much as possible. The results are
reflected to the reduction of factor of safety for design.
Such policy seems to be strongly linked with the
performance based design, which may become the mainstream
in foundation design near future.
3 GEOTECHNICAL ENGINEERING MAP FOR DESIGN
REFLECTED THE SOIL PROPERTY
3.1 Geological profile with increases of site investigation
Figure 3 shows the final geotechnical engineering profile
mainly by the field investigations from 1992 to 1995, which
covers the land, sea and airport areas. Figure 3 was drawn by
adding the boring data in each pier of the access road, where the
total number of borings became more than 65 with 3500m in
total length, and the geological investigations on the diatom
earth and also volcanic ash deposit with the results of the
seismic exploration. The boring densities of each area in 1992,
1993 and 1995 are roughly 350m, 180m and 70m respectively.
It is judged that the geotechnical engineering profile becomes
more precise with the increasing boring density and quality of
in-situ investigations. The accuracy of geotechnical
investigations is believed to lead to the economical and rational
design and construction, even if the percentage of investigation
cost to the total one might be somewhat increased (see Table 2).
3.2 Model geotechnical engineering map for design

When determining a good bearing stratum for pile foundation,
Japanese design code by Japan Road Association recommends
that the N-values of sandy or sand-gravel layers are grater than
30 blow counts, and also N-values of clayey layers are more
than 20. Figure 4 shows the characteristics of N-values in
Pleistocene sandy and clayey layers obtained from the SPT. The
N-values of both layers tend to become more than 30 in average
when the depth is roughly deeper than 30m T.P. level. Based on
the results, the following guideline for pile foundation design
was determined such that: 1) The layer at 30m T.P level was
judged as an effective bearing stratum for driving the pile
foundation. A steel pipe sheet-pile foundation was selected as a
type of pile foundation in this project, where, all of pile tips are
set up in Pleistocene laminated ground at around 30m T.P.
levels. 2) As shown in Figures 3 and 4, the scatters of N-values
seems not to be small and also it is not easier to distinguish
from the sandy and clayey layers from N-values obtained
because the site consists of the complicated laminated sandy
and clayey layers. In this circumstances, the uniform and
empirical method based on the N-values is not rational and
precise to evaluate the pile bearing capacity. Thus, a method for
evaluating the pile vertical bearing capacity should be
introduced together with a proper geotechnical engineering map
for foundation design, which is derived by geotechnical
Table 1. Soil constants of each layer
N-value
Alluvial clay
Pleistocene
DUs
DUc
DLs1
Sandy
DLs 2-5
DLc1
Clayey
DLc2-6
Gravel DLg
0.0
11.0
30.4
0.0
17.0
40.0
27.0
32.4
47.5
Sch-w
Sch
29.7
98.3
Sandy
Clayey
(Upper)
Pleistocene
(Lower)
M etamorphic rocks
* OCR i
638
Ac
Volucanic Dutf
l d
d t
'
Strength parameters
c'
'
'cv OCR*
(tf/cm3) (tf/m2) (degs.) (degs.)
0.53 0.292
0.0 33.0 1
0.66
0.6 30.0 33.7 1-6
0.90
0.0 37.0 34.6 1-2
0.53
8.1 24.0 36.9 1-6
0.90
2.6 35.4 35.7 1-2
0.53
5.5 32.6 35.7 1-2
0.94
2.6 34.8 35.5 2-8
0.97
4.4 29.6 36.4 2-8
0.99
0.0 36.0 36.0 1
0.90
0.90
th d th
5.7
5.7
22.7
22.7
1
1
bearing capacity strongly depends on the degree of the blockade

effect and thus the precise prediction of the end bearing capacity
was considered to be quite difficult. Then, as shown in Figure 6,
the skin friction mobilized through the internal face of the pile
under the bearing stratum was assumed as the equivalent end
bearing capacity in the design. Therefore, the second term qdA
is expressed as ULfi.
Steel pile with diameters of 1m

Skin friction
mobilized
Bearing stratum
Penetration
depth L
4.2 Evaluation of skin friction

Skin Friction mobilized here
is assumed as pile-tip resistance
Figure 6. Basic idea of pile bearing capacity
considerations based on the results of the large numbers of insitu and laboratory tests. The resultant geotechnical engineering
map and the soil constants of each layers as characteristic values
are summarized in Figure 5 and Table 1, in which the soil
constants are mainly obtained by the standared consolidation
and triaxial undrained and drained compression tests. 3) Fullscale pile load tests are conducted to confirm the validity of the
predicting method used for foundation design. The possibility of
reducing the safety factor for design to 2.5 from 3.0 is
considered through the geotechnical point of view based on the
field investigations, laboratory test results and the accuracy of
the predicting method with full scale pile load tests.
4 EVALUATION OF VERTICAL BEARING CAPACITY
OF DRIVEN PILES
4.1 Basic idea
Specification for Highway Bridge gives a following equation as
an estimating method of the ultimate pile bearing capacity based
on the results of the field and laboratory investigations (JRA,
1996):
R u U Li f i q d A
(1)
Where Ru: ultimate bearing capacity of pile, A: pile tip area, qd:
pile end bearing capacity, U: pile circumference, Li: thickness in
each layer, fi: maximum skin friction of pile. The first and
second terms are related to the skin friction of pile and pile-tip
bearing capacity, respectively. However, the main part of the
vertical bearing capacity of a pile is often mobilized from the
S3
S4
DLc S5
DLs
DLc S6
S7
DLs S8
20
25
30
Strain
gage
15
20
cand 'are the adhesion and friction parameters between pile

and soil, and 'h is the effective lateral stress acting on the pile.
4.2.2 Soil constants as characteristic values
An idea that the adhesion between pile and soils is roughly
equal to the apparent cohesion of soils c is widely used for a
practical design. It is mentioned that the applicability of this
idea is effective, irrespective of type of soils such as clay and
sand (e.g. Tomlinson 1980). Therefore, cin eq. (4) was
assumed to be equal to the apparent cohesion c of soils. In
practical design, the axial pile capacity is estimated for the
settlements of approximately 10% of the pile diameter. The
10% settlements usually exceed those for mobilizing the
maximum skin friction of pile. Further, when considering that
the mobilized mechanism of skin friction between pile and soils
surrounding the pile, it is reasonable to use the friction angles at
the critical state corresponding to sufficiently large
displacement cv as(Yasufuku et al. 1997). Here is
assumed to be conservatively two-third of . is thus given
by
2
(3)
' '
3
where, : effective friction angle at peak strength state.
4.2.3 Coefficient of lateral effective stress K
The mobilization of the skin friction is dependent on the lateral
effective stress 'h and thus in turn is dependent on the
overburden pressure 'v. When considering 'h is given by
K ' v , Eq.(2) is rewritten by
K 1 sin 'OCR sin '
25
30
(b)
(2)
(4)
K is a coefficient of lateral effective stress and v is vertical

effective stress. The coefficient of lateral effective stress K was
estimated from the previous research findings related to the K0value. K-values in Pleistocene clayey layers were determined by
the following equation (Mayne and Kulhawy, 1982).
10
(a)
(a)
f c' h' tan '
f c' K v' tan '
Depth (m)
DLs
Driven Pile
(m)
Depth z
S2
(L=29m)
(MN)
Acl
15
S1
10
Axial force
N-Values
0 20 40 60 0 2 4 6 8 10
1.0m
P12 site
4.2.1 Basic equation

The following basic equation is therefore used for calculating
the skin friction of piles which is determined as the sum of pile
to soil adhesion and friction components:
(c)
(d)
Figure 7. Soil profile, N-values and measured axial force in pile

load test at P12 site
skin friction in practical designs within the limits of allowable

displacement, because relatively large displacements are needed
to mobilize the end bearing capacity. In addition, as a normal
open-end pile is used as a type of pile foundation, the end
639
(5)
where, OCR is over-consolidation ratio defined as the ratio of

the consolidation yield stress pc to the overburden pressure 'v.
Values of OCR, in average and the calculated K-values in
Eq.(5) are measured against elevation. We can say that applying
this equation into the Pleistocene clayey layers, most of Kvalues became more than 1.0. Based on the experimental
evidence, K-value for design was decided as 1.0, irrespective of
type of Pleistocene layers. Thus, the presented model for
evaluating the vertical bearing capacity is expressed as
Ru U Li f i ULf i
(6)
9.19 10
16.2MN
9.5MN
Pile-tip resistance
8.4MN
Total skin friction
4.6MN
(a) P12
N-Values
Measured
Values
Measured
Values
N-Values
Pile-tip resistance
6.5MN 6.4MN
Total skin friction
Total bearing capacity
9.2MN
Predicted
Values
Total bearing capacity
10.0MN
Predicted
Values
10
(b) P22
Figure 8. Comparison of predicted total bearing capacities with

those of pile load tests
2
f i c ' 1.0 ' z tan '
(7)
where, z is an arbitrary depth from the surface and L is a

penetration depth from the bearing stratum (see Figure 6).
summarized in Table 2, which is a result of trial calculation.

Note that the cost is normalized by the cost obtained by the
standard manner for evaluating the pile bearing capacity using
N-values (JRA, 1993) without any full scale pile load tests. For
comparison, the layer of the bearing stratum for each case was
assumed to be same, however, the penetration depth L was
considered to depend on the calculation manner. Total cost are
divided by 2 parts, in which one is the part for the cost related to
the geotechnical investigations which include in-situ and
laboratory soil tests, and full scale pile load tests, and the other
is related to the normalized total pile construction cost in terms
of P1 to P24 piers. The presented manner used here is expected
to cut the cost more than 15% comparing with the total cost by
the standard approach using N-values. Thus even if the cost of
the geotechnical investigations became roughly two times
higher comparing with the general manner, the appropriate insitu and laboratory investigation with a reasonable
considerations can reduce the total cost in the project. This is
due to the highly accurate ground profile and the proper
evaluation method of pile bearing capacity with the results of
the full scale pile load tests which reflected the decrease of
safety factor from 3.0 to 2.5. It is believed that the geotechnical
considerations and manner treated here can give an important
information for the geotechnical investigators, structural
designers and construction engineers.
5 FULL-SCALE PILE LOAD TESTS AND THE

REDUCTION OF FACTOR OF SAFETY
Table 2. Total cost benefit
In order to verify the applicability of the presented model and to

confirm the characteristics of the pile bearing capacity of each
layer, full scale pile load tests were conducted at two
representative sites, which locate at 12P and 22P sites shown in
Figure 3. As an important engineering judgment in this project,
the reduction of the factor of safety from 3.0 to 2.5 for pile
foundation design was discussed through comparing the
predicted results with the results of full scale pile load tests.
Figure 7 shows the soil profiles and N values with depth for
12P site. N-values can be seen to widely change with depth
from nearly zero to more than 20 and also N-values at pile tips
are roughly 30. The steel piles with a diameter of 1.0m were
carefully driven using vibration and hydraulic hummers. The
effective length of each pile was about 30m. Tests were
conducted based on the multi-cycles method, which is
recommended by the JGS (1993). Four strain gauges were
located at each of the cross sections as shown by the dots in
Figure 7.
Figure 8 shows the comparison of the estimating total
vertical bearing capacities with those of full-scale pile load tests
at 12P and 22P sites, in which Eqs. (6) and (7) was used to
calculate the predicted values. The bearing capacity calculated
by the empirical model based on the measured N-values
recommended by JRA is also depicted in this figure. The model
used here can reasonably estimate both total skin friction and
pile tip resistance at both sites, comparing with those from JRA
recommendation. As shown in Table 1 and Figure 3, we have a
clear grasp of the soil characteristics values for each layer and a
practically efficient geotecnical profile. Therefore, the model
can apply very well to evaluate the pile bearing capacity
according to the ground profile at each site, with the
consequence that the accuracy of the prediction clearly
increased and these facts became an important evidence to
reduce the factor of safety for pile foundation design from 3.0 to
2.5.
6
EFFECT OF A REDUCTION IN TOTAL COSTS
The comparison of the cost performance in terms of the

construction of pile foundations driven in P1 to P24 sites is
640
M ethod by Nvalues
M ethod
proposed here
2.11
1
1
0.82
Cost for geotechnical

investigations*
Construction cost for piles
Total cost
0.84
* the cost includes full scale load tests
CONCLUSIONS
An importance of integrating the geotechnical investigations

with pile foundation design was clarified through a case study
in terms of connecting bridge for New-Kitakyushu airport. The
following major conclusions were drawn:
1) A rational method for evaluating the pile bearing capacity
was presented which reflected the soil characteristic values and
geological environmental history. In addition, the applicability
of the presented method was confirmed through full-scale pile
load tests, with the consequence that the safety factors for pile
foundation design were reduced from 3.0 to 2.5.
2) In-situ and laboratory investigation with reasonable
geotechnical considerations can reduce the total cost of the
construction of the bridge for New-Kitakyushu airport.
8
REFERENCES
JSSMFE Standards for Vertical Load Tests of Piles. 1993. Japanese

Geotechnical Society, 113-121.
Japan Road Association. 1996. Specifications for Highway
Bridge Part IV, 330-337(in Japanese).
Mayne P.W. and Kulhawy F.H. 1982. K0-OCR relationships in soils, J.
Geotech. Eng. Div., ASCE, 108(GT6), 851-872.
Ochiai H. and Yasufuku N. 2003. Investigation, design and construction
of the connecting bridge for New-Kitakyushu airport. 9th Annual
Meeting of Chinese Soil Mechanics and Geotechnical Engineering,
1, 214-22
Dynamic CBR as a method of embankment compaction assessment

Dynamique CBR comme une mthode d'valuation de compactage du remblai
Zabielska-Adamska K., Sulewska M.J.
Bialystok University of Technology, Bialystok, Poland
ABSTRACT: In engineering practice, earth construction requires suitable soil compaction, usually relating to the Proctor methods.
Materials of the built-in embankment and the subgrade have their own specifications, dependant on the kind of earth structure and soil
plasticity characteristics. Care should be taken not to use compaction degree (% of maximum compaction) as the only parameter to
assess soil compaction. This applies to both cohesive soil and to fly ash whose permeability and mechanical properties dependent on
moisture content at compaction. Therefore, for these types of soils California Bearing Ratio could be used as a method of compaction
assessment being an indicator of soil bearing capacity. The CBR research was done for both static (classic) and dynamic methods on
fly ash samples without soaking them to replicate field conditions. A load of 2.44 kPa was applied to all the samples subjected to
penetrations. The dynamic CBR tests were conducted by using Light Weight Deflectometer consisting of a falling weight to produce a
defined load pulse of the CBR piston. The CBR test could be used for running compaction control during embankment erection, which
specially refers to dynamic CBR test due to the speed of research execution.
RSUM: Dans la pratique dingnierie, la construction en terre ncessite un compactage du sol adapt, concernant en gnral les
mthodes Proctor. Les matriels encastrs du remblai et de la plate-forme ont leurs propres spcifications, dpendant du genre de la
construction en terre et de caractristiques de plasticit du sol. Il faut prendre soin de ne pas utiliser le degr de compactage (% de
compactage maximum) comme le seul paramtre pour valuer la compactage du sol. Cela sapplique aux sols cohsifs et cendres
volantes dont la permabilit et des proprits mcaniques dpendent de la teneur en humidit au compactage. Donc, pour ceux types
de sol l'indice portant californien pourrait tre utilis comme une mthode dvaluation du compactage tant un indicateur de la
capacit portante. Les recherches CBR ont t effectues pour les mthodes statiques (classiques) et dynamiques sur les chantillons
de cendres voltantes sans les faire tremper reproduire les conditions de terrain. Une charge de 2,44 kPa a t appliqu toutes
chantillons soumis des pntrations. Les tests de dynamique CBR ont t effectus a laide de dflectomtre constitu par la masse
tombante pour produire une impulsion de charge dfinie du piston CBR. Le test CBR pourrait tre utilis pour excuter le contrle du
compactange lors de lrection de remblai, qui se rfre en particulier l'essai dynamique de CBR en raison de la rapidit d'excution
de la recherche.
KEYWORDS: compaction, California Bearing Ratio (CBR), dynamic CBR (CBRd), fly ash, compaction assessment.
1
were done by using impact generator and guide rod, which are
the parts of Light Weight Deflectometer (LWD), and additional
equipment in a CBR piston. A falling weight is to produce a
defined load pulse of the CBR piston that can be used both in
laboratory and field tests. The aim of this study was to prove
that CBR tests could be used as the methods of road
embankment or subgrade compaction assessment. This refers
especially to CBRd test which may be used for running
compaction control during embankment erection due to the
speed of research execution, as well as Light Weight
Deflectometer (Sulewska 2012).
INTRODUCTION
In engineering practice, earth construction requires suitable soil

compaction, usually relating to the Standard and Modified
Proctor methods. Materials of the built-in road embankment and
the subgrade have their own specifications, dependant on the
kind of earth structure and soil plasticity characteristics. Care
should be taken not to use compaction degree (% of maximum
compaction) as the only parameter to assess compaction of
material in embankments. This applies to both cohesive soil and
fly ash. The permeability and mechanical properties of
compacted fly ash are dependent on moisture content present
during compaction, as are properties of cohesive mineral soils
(Turnbull and Foster 1956, Mitchell et al. 1965, ZabielskaAdamska 2006 and 2011). Consequently different values of
geotechnical parameters are obtained for water content on either
side of the optimum water content on the compaction curve, for
the same dry densities. Thus for these types of soils California
Bearing Ratio, CBR, may be used as a method of compaction
assessment, since it is an indicator of ground bearing capacity
broadly used in the design of civil engineering.
The laboratory CBR tests by means of both static (classic)
and dynamic methods were carried out to establish relationship
between bearing ratio and fly ash compaction. Samples,
compacted by the Standard or Modified Proctor methods, were
prepared without soaking them to replicate field conditions
during earth structure erection. The dynamic CBR, CBRd, tests
LITERATURE REVIEW
California Bearing Ratio, CBR, is expressed as the percentage

ratio of unit load, p, which has to be applied so that a
standardized circular piston may be pressed in a soil sample to a
definite depth with a rate of 1.25 mm/min and standard load,
corresponding to unit load, ps, necessary to press the piston at
the same rate into the same depth of a standard compacted
crushed rock.
p
100%
(1)
ps
CBR value is used for evaluation of the subgrade or subbase
strength, and may be applied to assess the resistance to failure
CBR
641
or indicate the load-carrying capacity. It should be noted here

that CBR values in pavement design do not reflect the shear
stresses that are generated due to repeated traffic loading. The
shear stress depends on many factors; none of them is fully
controlled or modelled in CBR test (Rico Rodriquez et al. 1988,
Brown 1996).
In laboratory, CBR penetration test is performed on material
compacted in a specified mould and placed in loading machine
equipped with a movable base that rises at uniform rate used in
forcing the penetration piston into the specimen. Tested
specimens are penetrated directly after compaction or are to be
previously soaked. CBR test in-situ is carried out with a
mechanical screw jack for continuous increase of the applied
load to the penetration piston. A reaction forcing the penetration
piston into the soil is provided by a lorry equipped with a metal
beam and attachments under its rear.
The dynamic CBR, CBRd, test can be performed both in
laboratory and in situ. The test can be conducted as an
alternative to the static CBR test, especially due to the short
period of time required. CBRd advantage, compared with the
classic CBR, is the elimination of a loading frame necessary in
static loading. The CBRd test is carried out with the use of Light
Weight Deflectometer, where a falling weight is used to
generate a defined load pulse on the CBR piston. CBRd is
calculated on the basis empirical formula (Zorn 2002) as:
87.3
(2)
(%)
s 0.59
where 87.3 is the number standing as a value of dynamic
loading including empirical coefficient, and s is the settlement
in millimetres. CBRd is recommended to specify when it is
greater or equalled 20% and is equalled or lower than 150%.
Turnbull and Foster (1956) carried out broad studies on CBR
for compacted mineral soils. They determined penetration
resistance of unsoaked samples of lean clay, compacted by
means of four different energy values and at different moisture
contents. It was proved that the CBR value for compacted clay
is a function for both water content as well as dry density.
Compacted samples reached higher CBR values when higher
energy values were applied. Moisture increase of compacted
samples decreased CBR value and in cases of compacted
samples with moisture contents greater than optimum water
content, penetration resistance was close to zero. Soaking of
samples caused the decrease of CBR value, quite significant in
compacted samples dry of optimum, less significant at
optimum water content. The smallest decrease was observed in
samples compacted at wet of optimum. Rodriguez et al. (1988)
described CBR dependence on compaction parameters
moisture contents and dry densities, as well as on conditions of
compaction energy and methodology of compaction. The
authors point to the fact that the CBR value of the soil
compacted with higher energy value may be lower than that
resulting from the compaction with lower energy value. CBR
dependence on moisture in the process of compaction was
confirmed in the course of studies conducted by Faure and
Viana Da Mata (1994). The authors straightforwardly claim that
dry density resulting from the compaction of a sample does not
have any impact on CBR value which, on the other hand is
influenced by moisture present in the process of compaction.
CBRs relationship with moisture content was also observed in
the case of compacted marl from Saudi Arabia (Aiban 1995),
where marl was subjected to tests at moisture optimum and
moisture on the dry and wet sides of optimum. Moisture
density curves and CBR(w) dependency curves were said to be
similar; the highest CBR values were obtained at optimum
moisture. The studies of the samples tested immediately after
compaction and the soaked samples confirmed that the effect of
soaking is decreased when the samples are compacted at
moisture greater than optimum.
Zabielska-Adamska (2006 and 2011) concluded that the
highest CBR values for unsoaked samples of fly ash (class F)
CBR
642
appear in modified compaction in case of moisture level

below optimum, and in standard compaction in case of
moisture level within or slightly below optimum. In saturated
samples, the highest values for bearing ratio CBR are present in
moisture level equal optimum for both compaction energy
levels. Once optimum moisture is exceeded, CBR value drops
dramatically, regardless of the compaction energy and method
of preparation of samples, soaked or unsoaked. High moisture
results in the loss of contact among fly ash grains. Hence CBR
value dependence on moisture level of fly ash is quite apparent.
CBR of samples compacted by means of modified method for
optimum moisture is almost twice as high than in the case of
optimum compaction by standard method, which points to a
significant influence of compaction energy and dry density. It is
interesting how compaction energy influences CBR in samples
of the same level of moisture, compacted, however, with the use
of different energies. Ash samples with moisture value w,
compacted by Proctor modified compaction, where w>wopt1,
show far lower CBR than samples of the same moisture level w,
but compacted by standard method where w<wopt2. The lowest
CBR in the analysis of various samples of fly ash was obtained
in case of fly ash of the finest graining which influences
increase of optimum moisture and decrease of density of solid
particles. Zabielska-Adamska and Sulewska (2009) studied
relationships between CBR and analysed parameters of various
samples of fly ash by means of Artificial Neural Networks
(ANNs) and as a result concluded that the most relevant
variables were d and relation w/wopt, which confirms the fact
that optimum water content and moisture content at compaction
are the most significant parameters in CBR. Dry density, as
another significant parameter, should be considered as dominant
when comparing CBR values for different fly ash shipments
compacted with the use of different energies.
The results of the dynamic CBR are extremely poorly
represented in the literature, which is probably due to a low
prevalence of this method in the world. The first study of CBRd,
done on the road mineral materials, were presented by
Weingard et al. (1986). A good correlation between test results
was obtained using static and dynamic method. A study
conducted by Schmidt and Volm (2000) is the only one known
to the authors of this paper which presents results of research
with CBRd carried out on cohesive soil with different
compaction. The studies were conducted for silty clay with
moisture content grade from 11 to 18%, and optimum water
content established as 15.6%. As a result of laboratory studies,
the researchers obtained two curves CBRd(w) and CBR(w),
shifted in relation to each other by approximately 57%. In case
of moisture content greater than optimum, the difference
between static values and dynamic values changed to approx.
9%. Higher bearing ratio was obtained in dynamic studies.
CBRd is recommended for control research in embankment
erection with the use fine grained soils compacted at moisture
contents lower than optimum.
2
LABORATORY TESTS
All the tests were conducted on the basis of fly ash from hard
coal burning in Bialystok Thermal-Electric Power Plant, stored
at a dry storage yard. The fly ash shipment corresponded in
graining to sandy silt. Physical parameters are shown in Tab. 1.
The laboratory CBR tests were carried out to establish
relationship between bearing ratio and fly ash compaction. The
tested samples were compacted by two methods: the Standard
Proctor and the Modified Proctor at moisture contents within
the range of wopt5% for each compaction method. The fly ash
samples were saturated 24 hrs prior to the test so that their
moisture content could increase by approx. 2.5%. After that,
they were deposited in sealed containers. Each compaction
curve point was designated on a separate sample. During the
compaction tests, individual samples of fly ash were used only
once, otherwise they could not be regarded as representative

(Zabielska-Adamska 2006). The CBR tests were conducted on
unsaturated samples. All the samples subjected to penetration,
tested both methods static and dynamic, and were loaded with
ASTM 1883-73 recommended load of 2.44 kPa. The static
(classic) CBR research was done on fly ash samples directly
after compaction. Higher CBR value was accepted as a result
D50 (mm)
s (g/cm3)
CU= D60/D10
CC=D302/D60D10
0.0550.065
2.110.01
3.894.25
0.941.03
Modified Proctor method
Standard Proctor method
wopt1 (%)
d max1 (g/cm )
wopt2 (%)
d max2 (g/cm3)
37.00
1.068
45.50
1.009
Table 1. Geotechnical parameters of tested fly ash shipment.

Tested fly ash parameters
Figure 1. CBR research (from the left): static test;

changed mould basis and prepared mould extension for
dynamic CBR; specimen ready for dynamic test (photo
by Zabielska-Adamska).
calculated on the basis of pressing piston resistance, represented

in a given depth 2.5 or 5.0 mm. Next, after levelling off the
surface of the same specimen and replacement of basis of the
mould, dynamic CBR was carried out. The CBRd tests were
conducted using Light Weight Deflectometer (LWD) consisting
of a falling weight (7.07 kN) vertically movable along the guide
rod to produce a defined load pulse (3.6 MN/m2) of the CBR
piston. Electronic measurement system gauged the depth of the
pistons penetration in the tested soil after a single impact. CBR
tests are shown in Figure 1.
Figure 2 represents the results of standard and dynamic CBR
testing, depending on moisture content at compaction, in
relation to compaction curves of fly ash, obtained by means of
two Proctor methods. Static CBR results confirm earlier results
obtained by the author. CBR of unsaturated samples of fly ash
reaches the highest values in the case of samples compacted at
the moisture content lower than optimum. The samples
compacted above optimum water content have still lower CBR
values simultaneously with an increase of moisture content.
These relationships can be observed in both methods of
compaction standard method and modified method. However,
samples compacted with the use of modified Proctor method,
the curve CBR(w) definitely reaches maximum. The shape of
the curves CBRd(w) is similar to that obtained according to the
standard method CBR(w). In the case of modified compaction,
curves CBRd(w) and CBR(w) are characterised by a similar
scope of moisture content; from wopt15% to optimum moisture
content, wopt1 (difference in relation to CBR up to about
2.5%). Once curve CBRd(w) exceeds wopt1, it also exceeds
standard curve, passing CBR by 16% at wopt1+5%. In the case of
standard compaction, at moisture level wopt25%, CBRd value
equals CBR value. After this, as the moisture content increases
the difference also increases and when the moisture level is
equal to wopt2, the CBR difference is exceeded by 5%.
643
CBR MP = 1026.64 + 59.09w 0.82w2

CBRd MP = 467.44 + 27.46w 0.37w2
CBR SP = 297.17 + 16.96w 0.22w2
CBRd SP = 519.42 + 25.88w 0.30w2
(R =0.8751)
2
(R =0.7768)
2
(R =0.8047)
2
(R =0.8468)
Figure 2. CBR test results versus moisture content at compaction in

comparison with compaction curves: MP Modified Proctor method,
SP Standard Proctor method, CBR static test results, CBRd
dynamic test results.
With further increase of moisture content, the difference may be

as high as 13%. Significant differences in the results of the
studies carried out by means of static and dynamic methods, at
moisture level exceeding wopt originate from the differences in
speed of loading and lack of possibility of pore pressure
embankment. The results of studies of CBRd, and CBR, are

closely connected with the characteristics of compaction.
2. The current compaction quality control of fine grained
anthropogenic ground conducted through CBRd tests with
the use of Light Weight Deflectometer producing a defined
load pulse of the CBR piston is recommended in the cases
of embedded material at moisture contents equal optimum
or lower. CBRd studies of anthropogenic ground compacted
at moisture levels exceeding optimum water content may
lead to overstating of the test results due to lack of pore
pressure dissipation after impact ground loading.
3. Dynamic CBR test, using Light Weight Deflectometer,
should be widely used due to its speed and ease of research
as an alternative method to classic method of quality
control in compaction process or assessment of subgrade
bearing capacity.
dissipation in the case of impact loading. Similar observations

can be made during studies on the influence of penetration ratio
on the resistance of saturated clayey soils in cone penetration
tests (Kim et al. 2008).
Figure 3 presents dependence of static and dynamic CBR on
dry density. It can be seen in Figure 3 that there are points
standing out, with the coordinates (d, CBR) obtained in the case
of standard method at moisture content higher than optimum by
at least 2.5%, and in modified method higher by at least 5%.
This is the result of dependence of mechanical parameters of fly
ash on moisture content in the process of compaction. Once
these points are excluded, statistically valid relationships CBR(d) can appear, especially in the case of CBRd values,
where for value CBRd(d) coefficient of determination
R2=0.8675 was obtained (Fig. 4). CBRd dependence on CBR is
also statistically valid. Equation CBRd=17.28+0.52CBR
explains 84.9% of variance in the value of statistic CBR.
4
ACKNOWLEDGEMENTS
This work, carried out in 2012 at the Bialystok University of

Technology, was supported by Polish financial resources on
science. The authors gratefully acknowledge the assistance and
cooperation of M. Piasecki and D. Tymosiak who performed the
laboratory tests.
5
dynamic
static
Figure 3. Relationship between CBR value and dry density with an

indication the points obtained at moisture contents at compaction
w=wopt+(2.55%): MP Modified Proctor method, SP Standard
Proctor method, CBR static test results, CBRd dynamic test results.
Figure 4. CBR value versus dry density excluding the points obtained at
moisture contents at compaction w=wopt+(2.55%), along with 95%
confidence interval.
CONCLUSIONS
1. The dynamic CBR method, as well as static (classic)
method can be used to assess compaction of fly ash and
cohesive soils embedded in subgrade or layers of
644
REFERENCES
Turnbull W.J. and Foster Ch.R. 1956. Stabilization of materials by

compaction. Journal of Soil Mechanics and Foundations Division
82 (SM2), 1-23.
Mitchell J.K., Hooper D.R., Campanella R.G. 1965. Permeability of
compacted clay. Journal of Soil Mechanics and Foundation
Division 91 (SM4), 41-63.
Zabielska-Adamska K. 2006. Fly ash as a material for constructing
sealing layers. Publishing House of BTU, Bialystok. (in Polish)
Zabielska-Adamska K. 2011. Fly ash as a barrier material. In:
GeoFrontiers 2011 Advances in Geotechnical Engineering,
ASTM STP 211, ASTM Int., PA, 947-956.
Sulewska M.J. 2012. The control of soil compaction degree by means of
LFWD. Baltic Journal of Road and Bridge Eng. 7(1), 36-41.
Brown S.F. 1996. Soil mechanics in pavement engineering.
Gotechnique 46 (3), 383-426.
Zorn. 2002. Operating Manual. Light Drop-Weight Tester ZFG 05 for
the dynamic CBR test and the dynamic plate loading test. Gerhard
Zorn Mechanische Werkstatten, Stendal.
Rico Rodrigues A., del Castillo H. and Sowers G.F. 1988. Soil
mechanics in highway engineering. Trans Tech Publication,
Clausthal-Zellerfeld.
Faure A.G. and Viana Da Mata J.D. 1994. Penetration resistance value
along compaction curve. Journal of Geotechnical Engineering 120
(1), 46-59.
Aiban S.A. 1995. Strength and compressibility of Abqaiq marl, Saudi
Arabia. Engineering Geology 39 (3-4), 203-215.
Zabielska-Adamska K. and Sulewska M.J. 2009. Neural modelling of
CBR values for compacted fly ash. In: Proc. 17th Intern. Conf. on
Soil Mechanics and Geotechnical Engineering, Eds. M. Hamza, M.
Shahien, Y. El-Mossallamy, IOS Press - Millpress, Vol. I, 781-784.
Weingart W., Hanebutt J. and Rummert W. 1990. Dynamic laboratory
and field testing device for determination of the CBR value of
mineral concrete. Die Strasse 26 (2), 48-51. (in German)
Schmidt H.-H. and Volm J. 2000. Dynamic CBR test new method of
embankment quality control. Geotechnik 23 (4), 271-274. (in
German)
Kim K., Prezzi M., Salgado R. and Lee W. 2008. Effect of penetration
rate on cone penetration resistance in saturated clayey soils. Journal
of Geotechnical and Geoenvironmental Eng. 134 (8), 1142-1153.
General Report of TC103

Numerical Methods
Rapport gnral du TC103
Mthodes numriques
Chau K.T.
The Hong Kong Polytechnic University, Hong Kong, China
ABSTRACT: This general report summarizes 52 papers being included in the TC103 Session on Numerical Methods. Instead of
summarized each paper, we have provided an overall view of these papers. A master table (Table 3) is given for all 52 papers in terms
of the types of numerical methods empolyed by different authors, together with the full references given at the end of the paper (paper
number follows in alphabetic order). The numerical methods used include finite element method (FEM), finite difference method
(FDM), material point method (MPM), smoothed particle hydrodynamics (SPH), neural network (NN), genetic algorithm (AG), and
finite volume method (FVM). The failure models used in studies include Mohr-Coulomb failure criterion, Drucker-Prager plastic
potential, Cam clay model, Matsuoka-Nakai failure model, and Hoek-Brown failure criterion. These numerical analyses have been
applied to model piles, tunnels, retaining walls, slopes, levees, tailings impoundment, and breakwaters. Errors of and methods of
vailidation for finite element method given by Brinkgreve and Engin (2013) was summarized briefly. Future challenges in numerical
methods are outlined.
RSUM : Ce rapport gnral rsume les 52 articles inclus dans la session du TC103 sur les mthodes numriques. Au lieu de
rsumer chaque article, nous avons fourni une vue d'ensemble de ces documents qui sont dcrits dans un tableau principal en fonction
des types de mthodes numriques employes par diffrents auteurs, avec les rfrences compltes en fin d'article (numros darticles
selon un ordre alphabtique). Les mthodes numriques utilises sont la mthode des lments finis (FEM), la mthode des
diffrences finies (FDM), la mthode du point matriel (MPM), lhydrodynamique de particules liss (SPH), les rseaux de neurones
(NN), lalgorithme gntique (AG) et la mthode des volumes finis (FVM). Les modles de rupture utiliss dans les tudes
comprennent le critre de Mohr-Coulomb, le potentiel plastique de Drucker-Prager, le modle Cam-Clay, le modle de rupture de
Matsuoka-Nakai et le critre de rupture de Hoek-Brown. Ces analyses numriques ont t appliques aux pieux modles, aux tunnels,
aux murs de soutnement, aux pentes, aux digues, aux rsidus miniers et aux brise-lames. Les erreurs et les modalits de validation
pour la mthode des lments finis donne par Brinkgreve et Engin (2013) a t brivement rsumes. Certains dfis venir dans les
mthodes numriques sont prsents.
KEYWORDS: Numerical Methods, Finite Element Method, Finite Difference Method, Mesh-free Method, SPH, MPM
1
INTRODUCTION. FIRST LEVEL HEADING
A total of 52 papers were submitted to the Technical Session of

TC103: Numerical Methods. However, it should be noted that
there is a number of papers included in this TC103 that are
actually somewhat falled into the borderline between TC103
and other techncial committees, including Tc101 Laboratory
Testing, TC 104 In-situ Testing, TC203 Earthquake, TC204
Underground Construction, TC207 Soil-Structure-Retaining
Wall, TC208 Slope Stability, TC211 Ground Improvement,
TC202 Transportation, and TC301 Historical & Case Studies.
Some of these 52 papers included here could well be classified
into these TC sessions. Indeed, it is very difficult to find a
paper which is purely devoted to "Numerical Methods" without
addressing real problems, such as slopes, piles, transportation,
and underground constructons. The Sesssion Chairman is Prof.
H. Nicot, and Session General Reporter is Prof. K.T. Chau. The
main purpose of this general report is to summarize the issues
that these 52 technical papers addressed. Some essential issues
raised by these papers or related issues will be given at the end
of this general report.
It is not an easy job to summarize a wide variety of papers
within a short paper like this. Due to limitation of time and of
printing space, it is impossible for me to review all 52 papers in
great details and present them here. In addition, my summary to
be given here will evitably be constrained by my personal
educational background, my previous research works and my
current interests, on different topics and issues. Neverthless, if I
647
do not do full justice to any author, please offer me your

forgiveness and understanding.
Table 1 summarizes the number of papers from each
continent. Note that we only take the continent of the leading
author of each papers. Geographically, 23 papers are from
Europe, 15 from Asia, 8 from North America, 4 from Australia,
1 from South America and 1 from Africa. It appears that Europe
is most active in ISSMGE meeting but it can likely be
influenced by the location of the conference being at Paris,
France. Proximity always makes travel commitment easier.
Table 2 compiles the country distribution of all 52 papers. A
total of 29 conutries were represented, including 5 from Canada,
4 from Australia, Japan and Norway, 3 from Spain and UK, 2
from Iran, France, The Netherlands, Russia, Singapore and
USA, and 1 from each of the following countries and regions:
Bangladesh, Brazil, China (Mainland), China (Taiwan), Croatia,
Denmark, Egypt, Finland, Germany, India, Indonesia, Ireland,
Mexico, Portugal, South Korea, Switzerland, and Thailand.
Note that this distribution may not be accurate since there are
collaborations from different universities and different countries.
We only count the country of the leading author. In addition,
most of these papers are from universities but there are also
some from consultant firms.
Table 1. Paper distributions among continents
Continent
Africa
Asia
Australia
Europe
North America
South America
P23
P24
P25
P26
P27
P28
P29
P30
P31
P32
P33
P34
P35
P36
P37
P38
P39
P40
P41
P42
P43
P44
P45
P46
P47
P48
P49
P50
P51
P52
Paper No.
1
15
4
23
8
1
Table 2. Geographical distribution of 52 papers
Country
Australia
Bangladesh
Brazil
Canada
China,
Mainland
China, Taiwan
Croatia
Denmark
Egypt
Finland
France
Germany
India
Indonesia
Iran
Paper No.
4
1
1
5
1
Country
Ireland
Japan
Mexico
Netherlands
Norway
Paper No.
1
4
1
2
4
1
1
1
1
1
2
1
1
1
2
Protugal
Russia
Singapore
South Korea
Spain
Switzerland
Thailand
UK
USA
1
2
2
1
3
1
1
3
2
2 CLASSIFICATION OF PAPERS UNDER DIFFERENT

ASPECTS
To help readers to search for information from this Session on
Numerical Methods, different aspects of these papers are
grouped in a tabular form under different aspects. More
specifically, a brief summary of all 52 papers is given in Table 3.
The first column compiles the the types of numerical methods
empolyed by various authors, second cloumn summarizes the
software used if any, and the third column provides the types of
problems that these numerical methods were proposed for.
The paper number actually follows the appearing order of
these papers in the reference section. For example, P1 is
Balkumar et al. (2013) whereas P52 is Yoneda (2013), etc.
Table 3. Classification of 52 papers into different aspects.
Paper
No.
P1
P2
P3
P4
P5
P6
P7
P8
P9
P10
P11
P12
P13
P14
P15
P16
P17
P18
P19
P20
P21
P22
Method
Software used
FEM
Plaxis
FDM
FLAC
FDM
FLAC
FEM
FDM
FLAC
SPH
FEM
Plaxis
FEM
GeoFEA
FEM
Plaxis
FEM
FEM
ABAQUS
FEM
Plaxis
FVM
Riemann solver
FEM
ABAQUS
FEM
FEM
CORONA
RFEM
RFLA
FEM/FDM GA
SPH
-
Applications
Pile
Reinforced earth
Constitutive modeling
Soil-pile interaction
Validation of FEM
Stone column
Retaining wall
Seismic pile
Large scale analysis on PC
Hardening soil model
Strain localization
Pile movement
Excavation
Levee erosion
Pile driving
Soil modeling
Earth structures
Undrained bearing capacity
Tailings
Coastal aquifers
Levee erosion
Galerkin
FDM
LEM
FEM
FEM
FDM
FEM
FDM
Analytic
FEM
FEM
NN
FEM
FEM
FEM
FDM
FEM
FEM
FEM
FEM
FDM
NN
FEM
FEM
MPM
FEM
FEM
FLAC
MUESA
SVSLOPE-3D
ABAQUS
FLAC
FLAC/GA
ABAQUS
ABAQUS
FREW
FLAC-2D
Iwan model
Plaxis-3D
FLAC
GEOASLA
ABAQUS
COTHMA
Soil-structure interaction
Soil-pile-structure interaction
Pore pressure
slope
Bridge/ Soil-structure
Tunnel
Retaining wall
Constitutive law for soft rock
penetrators
Embankments/ Chemical-soil
Tunnel
Retaining wall
Pile-settlement
Cyclic model/ constitutive
Tunnel
Breakwaters
Desication crack
Pile
Deep excavation
Pile/tunnel
Backfill
Soil-structure interaction
Liquefaction
Single pile
Soil-water
Embankment
Slope
Pore water pressure
Methane hydrate
Note that the following abbreviations are used: FEM = Finite

Element Method, FDM = Finite Difference Method, FVM =
Finite Volume Method, SPH = Smoothed Particle
Hydrodynamics, MPM = Material Point Method, RFEM =
Random Finite Element Method, GA = Genetic Algorithm, NN
= Neural Network, and LEM = Limit equilibrium. Table 3 also
provides a quick reference guide to all 52 papers, depending on
the interest of the readers.
2.1
Numerical methods used
2.1.1 Finite difference method

The origin of finite difference method (FDM) probably traces
back to the time of Leibniz and Euler (e.g. Eulers method in
1768), and subsequently evolves into different techniques (e.g.
Runge-Kutta method). The FDM becomes more established
since 1928 after the Courant-Friedrichs-Lewy (CFL) stability
condition was derived for hyperbolic type of partial differential
equations (Courant et al. 1928). Its day-to-day application, of
course, starts with the popularization of computers, especially
personal computers. For the use of finite difference method,
there are 8 papers empolyed FDM and the sofware used is
called FLAC (either 2D or 3D). They include Bennani et al.
(2013), Breugnot et al. (2013), Bryson and El Naggar (2013),
Kwon et al. (2013), Mayoral et al. (2013), Pereira et al. (2013),
Stirling et al. (2013), and Wanatowski et al. (2013). The full
name of FLAC is Fast Lagrangian Analysis of Continua, and it
is a continuum code for modelling soil, rock and structural
behaviour. It employs the explicit finite difference formulation
and suites for modelling multistage geomechanical problems,
such as sequential excavation, backfilling and loading. The
formulation can accommodate large displacements and strains
and non-linear material behaviour, even if yield or failure
occurs over a large area or if total collapse occurs.
2.1.2 Finite element method
Finite element method (FEM) is a numerical technique for
finding approximate solutions to boundary value problems. It
uses either the weighted residue method (e.g. Galerkin method)
or the variational methods via the use of calculus of variations
(e.g. Rayleigh-Ritz method) to minimize an error function (in
the case of weighted residue approach) or a functional (energy
648
in the case of variational approach) in a global sense and

produces a stable solution. FEM encompasses all the methods
for connecting many simple element equations over many small
subdomains, named finite elements, to approximate a
larger domain. Similar to FDM, the origin of FEM is not so
straightforward. As summarized by Oden (1987), it probably
dates back to the time of Hrennikoff (1941) and Courant (1943).
However, this idea was not further pursued then since
computers were still largely unavailable. Decades later, the term
finite element method was coined by the renowned structural
and earthquake engineer Clough in 1960 when he involved in
the design of wings of Boeing aeroplane (Clough, 1960, 1980).
The first finite element book is The Finite Element Method in
Structural ad Continuum Mechanics by O.C. Zienkiewicz
(1967). At least 29 of these papers stated explicitly that finite
element method (FEM) was employed. Among the available
commerical FEM softwares, the most popular ones are
ABAQUS and PLAXIS. Papers used ABAQUS include Elkady
(2013), Hamann and Grabe (2013), Lyngs et al. (2013), Rezaei
et al. (2013), Sadrekarimi and Monfared (2013), and Yapage et
al. (2013). The name and logo of ABAQUS are based on
the abacus calculation tool and is a product of Dassault
Systemes Simulia Corp. founded in USA. Those used PLAXIS
include Balakumar et al. (2013), Chang et al. (2013), Dong and
Anagnostou (2013), Everaars and Peters (2013), and Mirmoradi
and Ehrlich (2013). PLAXIS is a FEM software intended for 2Dimensional and 3-Dimensional geotechnical analysis of
deformation and stability of soil structures, as well as
groundwater and heat flow, in geo-engineering applications
such as excavation, foundations, embankments and
tunnels. Some researchers used custom-made or more
specialized FEM softwares, such COTHMA (Yoneda 2013),
FREW (Smith et al. 2013), GeoFEA (Chaudhary et al. 2013),
CORONA (Hoshina and Isobe 2013), SVSLOPE (Lu et al.
2013), EQWEAP (Chang et al. 2013), and MUESA (Lehtonen
and Lansivaara 2013). In addition, Yesuf et al. (2013) did not
give the name of the FEM that you used. A special form of
FEM called random FEM (or RFEM) is used by Huang et al.
(2013) in considering bearing capacity of clay with
nonhomogeneous properties. Although FEM is probbaly the
most popular numerical methods used in geotechnical problems,
it is not suitable for problems suffering from very large
deformation such that the mesh is highly distorted.
transition of slope failure. This MPM tecnique is particular

useful in modeling large deformation problems, such as
landslides, runouts or anchor pull-out. This formulation uses a
dual description of the media by using Lagrangian material
points and an Eulerian numerical mesh. The MPM, is an
extension of the Particle-in-cell Method (a method developed in
Los Alamos National Laboratory in 1957) in computational
fluid dynamics to computational solid dynamics, and is a Finite
element method (FEM)-based particle method. It is primarily
used for multiphase simulations, because of the ease of
detecting contact without inter-penetration. It can also be used
as an alternative to dynamic FEM methods to simulate large
material deformations, because there is no re-meshing required
by the MPM. It was originally proposed by Sulsky et al.
(1995).
2.1.5 Neural networks
There are three papers adopted neural networks (NN) models in
considering capacity of piles and constitutive modeling. In
particular, Hashash et al. (2013) presented the integration of
self-learning simulations (SelfSim), which is based on neural
network based material model, with laboratory testing to extract
soil-behavior, whereas Shahin (2013) and Wardani et al. (2013)
considered the load-settlement and ultimate bearing capacity of
a single pile respectively. These NN model can be considered
as a kind of artificial intelligence. An artificial neural network,
often just named a neural network, is a mathematical
model inspired by biological neural networks. A neural network
consists of an interconnected group of artificial neurons, and it
processes
information
using
a connectionist approach
to computation. In most cases a neural network is an adaptive
system changing its structure during a learning phase. Neural
networks are used for modeling complex relationships between
inputs and outputs or to find patterns in data.
2.1.3 Smoothed particle hydrodynamics

For the less conventional numerical techniques, smoothed
particle hydrodynamics (SPH) was used by Kamalzare et al.
(2013) and Bui et al. (2013). The SPH method belongs to
mesh-free technique which has been widely adopted in other
areas of mechanics. Smoothed particle hydrodynamics (SPH) is
a computational method used for simulating fluid flows. It was
developed by Gingold and Monaghan in 1977 (Gingold and
Monaghan 1977) and Lucy in 1977 (Lucy 1977) initially for
astrophysical problems. It is a mesh-free Lagrangian method in
which the coordinates move with the fluid, and the resolution of
the method can easily be adjusted with respect to variables such
as the density. This technique can handle very large deformation
and are more suitable for post-failure analysis. In particular,
Kamalzare et al. (2013) used SPH method to invetsiagte levees
erosion due to overtopping of water; and Bui et al. (2013)
considered post-failure simulations of retaining walls using SPH.
In fact, SPH has been used in other geomechanics analysis.
For example, McDougall and Hungr (2004, 2005) had
developed a SPH model for debris flow simulations for 3-D
terrain. Both erosion and entrainment have been incorparoted
into their model. This SPH approach appears better than the
traditional FDM appraoch used by Chau and Lo (2000)
2.1.4 Material point method
A numerical technique called material point method (MPM)
was empolyed by Yerro et al. (2013) to model static-dynamic
649
2.1.6 Genetic algorithm

Pereira et al. (2013) implemented the explicit finite difference
code FLAC and its calibration was done using a Genetic
Algorithm (GA) with Hill Climbing procedure implemented in
MATLAB. The use of these two programs with complete
distinct objectives (MATLAB to the fitting process and FLAC
to the numerical calculations) provides great flexibility to the
implementation of any constitutive model to reproduce the
results from experimental tests. Javadi et al. (2013) incorporated
numerical modelling of seawater intrusion with an genetic
algorithm (GA) to examine different scenarios to control
seawater intrusion including different combinations of
abstraction, desalination and recharge. A Genetic Algorithm
(GA) is a search heuristic that mimics the process of
natural evolution. It is routinely used to generate solutions to
problems of optimization and solution searching.
2.1.7 Finite volume method
"Finite volume" refers to the small volume surrounding each
node point on a mesh, resulting from discretization of the body.
In the finite volume method, volume integrals in a partial
differential equation that contain a divergence term are
converted to surface integrals, using the divergence theorem.
These terms are then evaluated as fluxes at the surfaces of each
finite volume. Because the flux entering a given volume is
identical to that leaving the adjacent volume, these methods
are conservative. FVM is best for solving conservative law in
integral form and can solve for discontinuous solutions. The
most fundamental hyperbolic wave problem with a jump
discontinuity is called the Riemann problem (LeVeque, 2002).
In fact, most of the current nite volume methods make use of
the Riemann problem as the building block, and therefore FVM
literally uses Riemann solver. Most of the FVM solution
schemes used nowadays are of the Godunov-type (Godunov,
1959, LeVeque, 2002). Another advantage of the finite volume

method is that it is easily formulated to allow for unstructured
meshes. Fujisawa and Murakami (2013) presented a threedimensional numerical analysis of embankment breaching
based on the finite volume method, with a Riemann solver, in
solving the shallow water equations for computing the overflow
onto the embankments and the changes in configuration of the
embankment profiles based on the erosion rates of the
embankment materials as a function of the bed shear stress. As
mentioned above, the erosion of levees has been considered by
Kamalzare et al. (2013) using smoothed particle hydrodynamics
(SPH). Therefore, it is recognized that numerical simulations of
the coupling between geomaterials and water become more
important in the case of geohazards, such as strom surges and
tsunami.
2.2
Failure criteria
2.2.1 Mohr-Coulomb failure model

Among the 52 papers, 14 of them adopted the Mohr-Coulomb
failure model in their numerical simulations. They include Biru
et al. (2013), Chaudhary et al. (2013), Dong and Anagnostou
(2013), Everaars and Peters (2013), Hoshina and Isobe (2013),
Kwon et al. (2013), Lehtonen and Lansivaara (2013), Lu et al.
(2013), Lyngs et al. (2013), Mayoral et al. (2013), Rezaei et al.
(2013), Sturm (2013), Yapage et al. (2013), and Yerro et al.
(2013). This failure model remains the most popuplar one.
2.2.2 Plastic potential of Drucker-Prager
The plastic potential of Drucker-Prager was employed by 7
authors, including Biru et al. (2013), Bui et al. (2013), Dong
and Anagnostou (2013), Hoshina and Isobe (2013), Lehtonen
and Lansivaara (2013), Sadrekarimi and Monfared (2013), and
Siddiquee and Islam (2013). The Drucker-Prager model allows
for non-associated flow rule, which is more appropriate for
geomaterials.
2.2.3 Matsuoka-Nakai failure model
In considering the calibration of models for kakriritic rocks,
Dong and Anagnostou (2013) replaced the original MohrCoulomb yield surface by the Matsuoka-Nakai criterion, which
does not have the yield vertex as the Mohr-Coulomb model
does. Thus, potential singularity problem at sharp corner on
yield surface can be avoided (Chau, 2013).
2.2.4 Hoek-Brown failure criterion
When considering the blasting problems for granite, Yerro et al.
(2013) used both Mohr-Coulomb as well as Hoek-Brown failure
crietria in their MPM simulations. The Hoek-Brown failure
model has a nonlinear failure envelop (comparing to the straight
line envelop of Mohr-Coulomb) that appears to fit triaxial tests
data for rocks better.
2.2.5 Cam clay model
Cam clay model has been adopted in Wanatowski et al. (2013)
for soil-liquefaction, in Yao et al. (2013) for elastic-viscousplastic modeling in overconsolidated clays, in Yamada and
Noda (2013) for delayed failure in natural clays, in Pereira et al.
(2013) in modeling hard soils. As demonstrated by Davis and
Selvadurai (2002) and Chau (2013), cam clay model is a natural
consequence of balancing the rate of plastic work and rate of
dissipation (which is assumed as a linear function of shear strain
rate) with normality assumed.
2.3
Analysis by limit equilibrium
A number of studies have adopted the results of limit

equilibrium (LEM) for comparison with their numerical results.
These include Hoshina and Isobe (2013) Lehtonen and
Lansivaara (2013), Lu et al. (2013), Sadrekarimi and Monfared
(2013), and Bui et al. (2013).
650
2.4
Soil versus rock
Among the 52 papers nearly all of them are related to problems

on soils, and only 4 papers considered the deformation in rocks.
These authors are Dong and Anagnostou (2013), James et al.
(2013), Pereira et al. (2013), and Yerro et al. (2013).
2.5
Types of loading conditions
2.5.1 Earthquake loadings

Kwon et al. (2013) considered the soil-pile-structure interaction
under earhquake loadings. Lyngs et al. (2013) considered soilstructure interaction for the seismic analyses of the Izmit Bay
Bridge. When considering the performance of waste rock
inclusions on tailings impoundment, James (2013) also included
earthquake analysis. Wanatowski et al. (2013) considered the
possibility of earthquake induced liquefaction across a wide
spectrum of soils. Siddiquee and Islam (2013) modeled a viscoelasto-plastic material under cyclic loading, and its application
is clearly related to seismic excitation. Chang et al. (2013)
considered the seismic responses of piles subjected to
earthquake excitations.
2.5.2 Dynamic loadings
There at least 9 papers address the dynamic effects in their
analyses. These include Breugnot et al. (2013), Bennani et al.
(2013), Hoshina and Isobe (2013), Kwon et al. (2013), Yamada
and Noda (2013), Hamann et al. (2013), Lyngs et al. (2013),
Yerro et al. (2013), and Stickle et al. (2013).
All other studies mainly deal with static problems.
2.6
Applications to geo-structures
2.6.1 Pile analyses

There are 14 papers out of 52 papers considered the
deformations in piles. They include Balakumar et al. (2013),
Breugnot et al. (2013), Elkady (2013), Tan et al. (2013), Kwon
et al. (2013), Hamann and Grabe (2013), Lyngs et al. (2013),
Wardani et al. (2013), Everaars et al. (2013), Smith et al. (2013),
Sturm (2013), Shahin (2013), Chaudhary et al. (2013), and
Chang et al. (2013). Therefore, behavoir of piles remains an
area of active research. It probably is due to soil nonlinearity
and both static and dynamic soil-pile interactions. The
interaction is particularly important in the case of earthquake
excitations. Although equivalent springs with stiffnesses
depending on the frequency and damping was commonly
calibrated by geotechnical engineers and used by structural
engineers, nonlinearity is seldom incorporated. The study by
Chau and Yang (2001) provided the first step forward in this
direction. Koo et al. (2003) proposed a fully coupled continuum
model for pile-soil-structure interaction and the resonant
frequency and the amplification factor of the coupled system
can differ from those of the soil, pile or structure alone. A 3-D
version of this analysis is given by Chau and Yang (2005).
Shaking table tests by Chau et al. (2009) illustrated that
nonlinear pounding between piles and soil (separation of soil
and pile following by impacts) will cause spikes in the dynamic
responses at the pile cap level. Special contact element needed
to be installed at the interface between soil and piles (Chau et al.,
2009).
In short, we expect pile analysis, especially under seismic
loads, remains an area of active research.
2.6.2 Tunnels
There are 7 papers considered the construction and design for
tunnels. They include Kholmyansky and Sheynin (2013), Dong
and Anagnostou (2013), Rezaei et al. (2013), Tan et al. (2013).
Mayoral et al. (2013), Everaars and Peters (2013), Smith et al.
(2013). We want to emphasize here that some of these tunnels
were proposed in urban areas with existing structures. Such
problems are now becoming more and more common and

important in geotechnical engineering practice as interaction
between the old existing structures and the newly installed geostructures will lead to problems that did not exist in the past. It
is a result of rapid urbanization. For example, Rezaei et al.
(2013) reported that urban development and increasingly
growth of population have been accompanied by a considerable
growth in mechanized Shield tunnelling. For example, Mayoral
et al. (2013) considered numerical analysis of the static behavior
of the intersection of two major metro lines located in a soft
lacustrine clay deposit overlaid by a very dense clayed sand
deposit, in Mexico City. The intersection consists of a new
tunnel excavated under an existing metro station-tunnel system,
using the earth pressure balance, EPB, construction technique.
This required the construction of a support structure for the
station foundation. Actually, these kinds of problems exist in
many developing cities in the world. For example, the MTR
project of Shatin to Central link in Hong Kong also faced
similar problems. Building new railway in developed and
densely populated urban areas is a very challenging task.
Everaars and Peters (2013) considered the case studies of a
large infrastructural railway project through the historical city
centre of Delft, The Netherlands and of an underground
expansion project of the Drents Museum in Assen, The
Netherlands.
results of dynamic analysis based on the finite difference

method under seismic loading to the observations in dynamic
centrifuge tests. Although centrifuge test can provide the
required high stress level typically observed in the field, the size
of particles in soil samples may also present an unwanted scale
effect in soil deformation mechanism.
2.7.2 1-g experiments
As expected, 1-g experiments in laboratory have been the most
commonly used tool in calibrating and validating numerical
models. Various experiments (including direct shear box and
triaxial test) have been reported in the following papers:
Wardani et al. (2013), Stirling and Davie (2013), Ramon and
Alonso (2013), Tanchaisawat et al. (2013), Kamalzare et al.
(2013), Hashash et al. (2013), Sokoli and Szavits-Nossan
(2013), Pinkert and Klar (2013), and James et al. (2013).
2.8
The constitutive modeling of responses of soils and rocks were

considered by Biru and Benz (2013), Biru et al. (2013), Dong
and Anagnostou (2013), Ebrahimian and Noorzad (2013),
Pereira et al. (2013), Siddiquee and Islam (2013), and Yao et al.
(2013). To avoid singularity at the yield vertex of the MohrCoulomb failure surface, Dong and Anagnostou (2013) replaced
the original Mohr-Coulomb yield surface by the MatsuokaNakai criterion. However, this leads to the issue of whether
yield surface vertex is real. Rudnicki and Rice (1975) and
Rudnicki (1984) argued based on the mechanics of sliding
microcrack that yield vertex should exist in rocks. However, as
summarized in Chau (2013) the existence of such yield surface
vertex is inconclusive.
2.6.3. Retaining walls

There are 4 papers considering the application of numerical
methods to retaining walls. These are Sadrekarimi and
Monfared (2013), Smith et al. (2013), Mirmoradi and Ehrlich
(2013), and Bui et al. (2013). Retaining wall design is probably
one of the oldest geotechnical problems that was dealt with
rigor and mathematics. However, today it remains one of the
most difficult problems in geomechanics.
2.6.4 Slopes
There are 5 papers investigating the deformation of slopes (both
natural and cut slopes), including Yerro et al. (2013), Hoshina
and Isobe (2013), Kamalzare et al. (2013), Bryson and El
Naggar (2013), and Lu et al. (2013). Progressive failure of
slopes remains an elusive problem as it is a highly nonlinear
problem. The propagation of shear crack in slopes may play a
crucial role in such process (Palmer and Rice, 1973).
Unfortunately none of the submitted papers summarized in this
report addresses such problem. Numerical simulation of such
progressive failure will be highly sensitive to the constitutive
models. If bifurcation type of instability of slope sliding occurs
(Chau 1995, 1999), numerical modeling will be very difficult.
2.6.5 Levees
Three studies addressed the erosion and instability of levees.
They are Fujisawa and Murakami (2013), Kamalzare et al.
(2013), and Smith et al. (2013). This topic becomes extremely
since the levee failure occurred at New Orleans during the
attack of the South Asian Tsunami in 2004 and the Hurricane
Katrina in 2005. Recently, tsunami disasters in Japan after 2011
Tohoku earthquake further reinforce the importance of this topic.
2.6.6 Breakwaters
Stickle et al. (2013) considered wave-induced nonlinear
dynamic soil response in vertical breakwaters foundation using
Biots (1941) theory extended to include dynamic terms. Note
that Biots (1941) theory allows for the coupling between soil
deformations and pore water pressure fluctuations.
2.7
VALIDATION OF FEM MODELS
As remarked by Brinkgreve and Engin (2013), the use of the

Finite Element Method for geotechnical analysis and design has
become quite popular. It is often the younger generation of
engineers who operate easy-to-use finite element programs and
produce colourful results, whilst the responsible senior
engineers find it difficult to validate the outcome. Brinkgreve
and Engin (2013) presented the recent finding by the NAFEMS
Geotechnical Committee of the Netherlands on the validation of
geotechnical finite element analysis. This is an extremely
important topic that has largely been ignored in the past. The
NAFEMS Geotechnical Committee has concluded that there is
a need for guidelines on validation of geotechnical finite
element calculations. This section summarizes the essential
findings reported in Brinkgreve and Engin (2013).
3.1
Sources of discrepancies
Brinkgreve and Engin (2013) classified the sources of

discrepancies into 6 categories: Simplifications, Modelling
errors, Constitutive modeling, Uncertainties, Software and
hardware issues, Misinterpretation of results. Examples of these
are:
3.1.1 Examples of simplifications
Simplifications are normally made on the geometries of the
problem, on the selection of model boundaries, on material
behaviour, and on the presumed construction process.
3.1.2 Examples of modelling errors
Modelling errors can include input errors, discretisation errors
(meshing), boundary conditions, time integration, tolerances
(tolerated numerical errors), and limitations in theories and
methods (e.g. the use of small deformation theory for problems
with large deflections).
Experimental validation
2.7.1 Centrifuge tests

Kamalzare et al. (2013) used the experimental results of a 150
g-ton geotechnical centrifuge to calibrate their models for
modeling levees erosion. Kwon et al. (2013) compared their
651
3.1.3 Typical issues related to constitutive modelling

In real soils and rocks, their constitutive behaviors may be nonunique arising from non-associated plasticity and strainsoftening, undrained and unsaturated behaviour.
3.1.4 Examples of uncertainties
Assumptions are normally made in numerical modeling because
of the lack of soil data, the lack of spatial variation of soil
properties, the lack of information of shaking information
during an earthquake, and the lack of information of future
developments around the project to be designed. The actual
construction may also deviate from the original design.
3.1.5 Specific software and hardware issues
Users are of no control of the specific implementations made by
the developers of the software. The software may depend on
operating system and configuration of computer. Bugs
(programming flaws in the application software) may exist and
they will only appear when certain constraints or limitations of
the software are encountered. Issues may also come from the
specific implementations of models (for example rounding-off
the corners of the Mohr-Coulomb failure criterion), the iterative
solvers and their numerical solution tolerances, and the parallel
solvers (solution differences depending on the number of
threads or cores being used).
3.1.6 Examples of misinterpretation of results
Some users of FEM may miss-use the safety factors,
misinterpret structural behaviour (if the structure is too much
simplified), overlook essential details (in particular complex 3D
models), and possess insufficient knowledge and understanding
of the modelling software being used.
3.2
Methods of validation
Brinkgreve and Engin (2013) gave the following examples of

validating FEM models and methods: (i) analytical solutions of
elasticity problems, plasticity problems, constitutive models,
dynamic problems, bearing capacity solutions, solutions of flow
and coupled problems, (ii) limit equilibrium solutions for global
safety factors or bearing capacities, (iii) upper and lower bound
solutions (limit analysis), and (iv) benchmarks. The following
aspects of validation were discussed in full details by
Brinkgreve and Engin (2013): (i) Validation of constitutive
models and parameters, (ii) Validation of model boundaries, (iii)
Validation of initial conditions, (iv) Validation of (the accuracy
of) results, (v) Benchmarking, and (vi) Checklists.
This paper is a very useful reference and is a must read for
serious practitioners of numerical analysis and young engineers.
4
CONCLUSION
In this brief report, we have summarized a total of 52 papers

submitted to the area of TC103 Numerical Methods. Instead
of summarized each paper, we have provided an overall view of
where these papers were from. A master table is given for all 52
papers in terms of the types of numerical methods empolyed by
different authors together with the full references given in the
end of the paper (paper number in alphabetic order). The
numerical methods used include finite element method (FEM),
finite difference method (FDM), material point method (MPM),
smoothed particle hydrodynamics (SPH), neural network (NN),
genetic algorithm (AG), and finite volume method (FVM). The
failure models used in studies include Mohr-Coulomb failure
criterion, Drucker-Prager plastic potential, Cam clay model,
Matsuoka-Nakai failure model, and Hoek-Brown failure
criterion. In terms applications, these numerical analyses have
been applied to model piles, tunnels, retaining walls, slopes,
levees, tailings impoundment, and breakwaters. Experiments
652
used in calibrating these numerical models can be classified as

centrifuge tests and 1-g laboratory tests. Finally, the interesting
report on the vailidation of finite element method by Brinkgreve
and Engin (2013) was summarized briefly.
In terms of future challenges, we expect more research work
considering the coupling between FEM and FDM (this was also
considered by Javadi et al., 2013). It is because FEM is good for
far field linear response whereas FDM (as such FLAC) better
suits the near field large deformation and failure. In terms of
multi-physics problems, we expect future developments in
numerical methods for coupling between thermal, electrical,
fluid, solids and chemical problems (like petroleum or thermal
energy extraction problems). Multi-physics problems are
commonly encountered in petroleum mining and geothermal
energy extraction problems. In fact, Yoneda (2013) was
motivated by the extract of methane hydrate (a new source of
energy fuel in Japan). In terms of multi-scale approach, we
expect more refined model for coupling of microscopic
behavior (such as grain rotations and sliding) to macroscopic
behavior (such as plastic yielding) in soils and coupling of
microscopic cracking process to macroscopic damage (at
continuum scale) and material degradation in rocks (Borja,
2011). This is sometimes referred as micro-meso-macro
modeling. For fluid-solid coupling problems, lattice Boltzman
model can be useful in fluid flow simulation modeling. In rock
blasting or fragmentation, computational simulations of
dynamic fragmentation of rocks is another area of active
research.
A typical example of multi-physics and multi-scale problems
in geomechanics is the so-called carbon capture and storage
(CCS). Carbon capture and storage (CCS) (or carbon capture
and sequestration), is the process of capturing waste carbon
dioxide (CO2) from large point sources, such as fossil fuel
power plants, transporting it to a storage site, and depositing it
where it will not enter the atmosphere, normally an
underground geological formation (like man-made rock
caverns). The aim is to prevent the release of large quantities of
CO2 into the atmosphere (from fossil fuel use in power
generation and other industries). Another related problem is
nuclear power waste storage in underground rock layers.
Coupling effect of the thermo-hydro-mechanical responses in
rock becomes very important.
Another area that needs the use of accurate numerical
modeling is related to geohazards and geo-disasters. These
disasters include ground and basin amplification of earthquake
shaking, slope failure and landslides, and tsunami and storm
surge-induced failure of levees and breakwaters.
5
ACKNOWLEDGEMENTS
This paper was written when KTC was fully supported by a

grant from the Research Grants Council of the Hong Kong SAR
Government through Project No. PolyU 5002/08P. The author
is grateful to Prof. Jidong Zhao of HKUST and Prof. Richard
Wan of University of Calgary for helpful discussions.
6
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654
Equivalent pier theory for piled raft design

quivalence de la thorie de la jete pour la conception de radeau empil
Balakumar V.
Simplex Infrastructures Limited, Chennai, Tamil Nadu, India.
Huang M.
Arup Geotechnics, Brisbane, Australia.
Oh E., Balasubramaniam A.S.
GriffithUniversity Gold Coast Campus, Brisbane, Australia.
ABSTRACT: The objective of generating an economical and safe foundation system reducing the settlement rather than eliminating
has led to the change in the design philosophy recognising the fact that most structures can tolerate a certain amount of settlement
The piled raft analyses and design is three dimensional interaction problems, wherein, the applied load is transferred by a
complicated interaction process between the piles and the raft.. The necessity to have a relatively simple design procedure so that the
preliminary design can give adequate but reasonably accurate data for the final analyses is explained. The paper presents such a
simple design process in the form of equivalent pier approach by establishing its applicability by applying it to two cases.Also the
study has brought out the effect of deep compressible deposit sandwiched between two dense layers.
RSUM : Lobjectif de crer un systme de fondation conomique et fiable, par la rduction des affaissements plutt que de leur
radication, a entran un changement dans la philosophie de conception, admettant le fait que la plupart des structures sont capables
de tolrer un certain nombre daffaissements. Les analyses et la conception du radier sur pieux comportent des problmes
dinteraction tri dimensionnels, o la charge applique est transfre par un processus dinteraction complexe entre les pieux et le
pilier. Il est expliqu la ncessit de disposer dune procdure de conception relativement simple, de manire ce que la conception
prliminaire puisse apporter des donnes appropries suffisamment prcises pour les analyses finales. Larticle prsente un
processus de conception aussi simple, sous forme dapproche de pilier quivalent, en prouvant sa faisabilit par son application
dans deux cas. Ltude a galement rvl les effets du dpt fortement compressible coinc entre deux couches paisses.
KEYWORDS: Piled raft, Pier, Peat.
1.
INTRODUCTION
The design of foundation system for structures that cannot

tolerate settlements, the aspect of balancing the performance
and cost, had always been a challenge for the foundation
designers. Due to the complexity involved in the soil structure
interaction analyses, required for an optimum design, designers
have so far been resorting to the traditionally designed pile
foundations system permitting very small limiting settlements.
Even though this approach produces a safe design, the
economics of the design becomes questionable. The objective
of generating an economical and safe foundation system
reducing the settlement rather than eliminating, has led to the
change in the design philosophy Keeping the above objective in
mind researchers like Burland (1995) and subsequently Polous
(2001) had brought out the use of piles with the raft to reduce
the settlement of the raft.This had led the advent of the
combined piled raft foundation system, which provides a skilful
geotechnical concept to design the foundation for structures
which are sensitive to large settlements. The piled raft analyses
is a three dimensional interaction problems, wherein, the load
transfer mechanism is a complicated interaction process by
which the load is shared The interactive process between the
Various procedures based on observational study (Katzenbach
etal.,2000a) small scale model studies such as centrifuge models
(Horikoshi 1995) 1g model studies (Balakumar,2008) and the
resulting interactive process with the numerical modeling
(Clancy 1993; Russo,1998;) supported by the development of
new geotechnical computational facilities (Polous and Small
2007) has led to the the piled raft foundation system being
655
extensively used to support tall and heavily loaded structures in

a successful manner permitting larger settlements close to the
permissible value (Polous,2008;., Yamashita et al .,2010).
2.
DESIGN PROCESS
The satisfactory performances of piled raft largely depend upon

the performance of the pile group of piled raft in providing the
initial stiffness and then allow the raft to have a higher capacity
by functioning as settlement reducer. Hence after ascertaining
the feasibility of the piled raft to support the structure, a
preliminary analyses has to be done to finalize the
computational details of the constituent elements. Primarily the
number, length of the piles, the load shared by the pile group are
the essential parameters in addition to the properties of the
supporting soil layers. In the case of the piled raft the pile
group capacity and the overall capacity of the piled raft play an
important role. The second stage of analyses has to produce
these data in a reliable manner such that when used in the final
analyses, the analyses will produce a design which need not be
subjected to any iteration process. This requirement makes the
procedure to be more realistic and simple enough such that the
computational efforts are minimum and economical. Even
though the existing methods can provide a design approach,
these involve a very detailed computational efforts, not really
warranted for the second stage of design, from the commercial
design organisation point of view.. Therefore it is essential to
have a relatively simple design procedure so that the second
stage of work can give adequate but reasonably accurate data
for the final analyses.
3.
SELECTION OF DESIGN PROCESS
layer is followed by dense sand and hard clay. The Es values of

various layers have been taken based on the N- values from the
standard correlations. The equivalent pier modulus is taken
from the expression,
(1)
Eeq = Es +(Ep-Es)At/Ag
Among the various methods studied, it was considered that the

equivalent pier concept was found to be more suitable. The
applicability of the equivalent pier theory to pled raft analyses
has been established by Horikosh (1995) But the study was
restricted only to a small pile group placed in the center of the
raft , placed on a over consolidated clay layer. Although the
study has produced very important and useful data, the
applicability needs to be validated with other available results
from a general soil profile. In this particular study the results of
two such cases one from the observational study conducted on
an instrumented piled raft supporting a 12 storeyed building and
the other from the parametric study conducted independently
are reanalyzed using equivalent pier concept.
3000 mm
600 mm
0.00 m
Sandy silty clay
2
c = 0.2kg/cm ; = 25
3
2
= 1.6 t/m ; E = 50 N / mm
4.00 m
Clayey silty sand

2
c = 0.1kg/cm
; = 27
3
2
; E = 50 N / mm
= 1.7 t/m
D / 2 = 5.65
4
E for raft = 2.74 x 10 MN / m

0.0
11.00 m
Dense Sand
= 0.3 = 36
3
2
= 20 kN/m ; Es = 30 MN / m
d/2
= 34 ; = 1.8 t/m
2
E = 60 N / mm
14.00 m
650 mm
PIER
13.00 m
Very dense strata

2
E = 70 N / mm
Peat
2
3
2
m
2. Observational study
16.00 m = 0.3 ; s = 25 kN/m = 17 kN/m ; Es = 8 MN /Figure
22.00 m
22.00 m
Dense Sand
3
2
= 0.3 = 36 ; = 20 kN/m ; Es = 35 MN / m
Stiff to Hard clay

2
= 0.3 ; s = 80 kN/m
3
2
= 19 kN/m ; Es = 20 MN / m
Where Eeq is the equivalent pier modulus, Es is the elastic

modulus of the soil, Ep is the elastic modulus of the pile, At is
total cross sectional area of the pile , and Ag is the plan area of
the pile group. The pier considered along with the parameters is
presented in Figure 1.
4.2 The observational study
C / L of PIER
As a part of an extensive research programme, a 12 storeyed

commercial cum residential apartment was designed and
supported on piled raft (Balakumar and Ilamparuthy ) was
instrumented and monitored .The piled raft system comprised of
93piles of 600mm diameter and 14M deep from the bottom of
the raft. The raft thickness was 600mm so that the d/t ratio was
maintained as unity. The layout of piles and other pertinent data
are given in earlier publications .A two pile groups with a
tributary raft diameter of 6m was converted into an equivalent
pier and was loaded in small increments till the settlement
reached 100mm. The pier was resting in a medium dense to
dense sand. The details of the pier,and the geotechnical
parameters together are presented in Figure 2.The analyses in
both the cases were carried out with Plaxis 2D the model and
the mesh are given Figure 3.
Figure 1. Pier & geotechnical data (numerical study)
In this particular case the ratio Le/L namely the ratio of the pier
length to the pile works out to unity and hence the equivalent
length of the pier is taken to be the same as that of the pile.
Once the piles are replaced by a pier then the solution for the
single pile can be applied to estimate the load settlement
characteristics, and the load sharing response; the load shared
by the pier becomes the load shared by the pile group. With this
idealisation it is possible to run the analyses as an axisymmetric
two dimensional problem.
4.
VALIDATION
In order to establish the applicability of the equivalent pier

theory two cases were considered for which published results
are available. The models were selected, one from a parametric
study carried out analytically and the other model was from an
observational study carried out on the behaviour of piled raft
supporting a 12 storied structure.
4.1 Validation based on numerical study
Extensive parametric studies have been carried out in Griffith
university Gold Coast campus and the results had been
published by Oh etal.,( 2008 ).These studies had been based on
the general soil profile compiled from the number of
geotechnical investigation data collected. A 9 pile group (3x3)
with 5d spacing has been considered The spacing of the piles
considered is 5d (d diameter of the pile). The d/t ratio is taken
as unity and accordingly the raft thickness and the pile diameter
have been taken as 800mm. The general soil profile comprises
of 13m thick medium dense to dense sand layer, followed by
3m thick highly compressible organic layer termed as peat. This
Figure 3. Typical mesh PLAXIS 2D
656
5.
RESULTS, ANALYSES, AND DISCUSSION.
75mm.Beyond this level the rate of fall of stiffness further

increases rapidly even for a small increment in the load. In the
case of piled raft with 16.8m deep pier the load corresponding
to 25mm settlement is higher than the previous case by 100%
indicating that the pier mobilises a higher friction in the linear
elastic stage. At 75mm settlement level the increase in the load
taken by the 16.8 m deep pier is higher by 60%, indicating that
the load shared by the pier reduces gradually. and in the case of
18m deep pier this increase is only 15% when compared to
16.8m deep pier.
6.
EFFECT OF PEAT LAYER
The study of the Table 1 and the Figure 6 which presents the
shaft stress distribution with the depth indicates that the load
sharing ratio and the shaft stress indicate an increase and then a
fall. The shaft stress increase commences at a level of 13m and
extends upto 16m level; and then it reduces. In the case of load
sharing ratio the increase takes place at a settlement level of
20mm in the case of 16.8m deep pier and 50mm level in the
case of 18m deep pier. This trend is absent in the case of 12 m
deep pier which is above the peat layer.
Figure 4 Load settlement response
The results obtained from the model 1 are plotted in the form of
load settlement response curves and presented in Figure 4. The
load settlement response of 12m pier is presented separately in
figure 5.
Figure 6 Shaft stress mobilisation (18m deep pile)

Figure 5. Load settlement response 12m pier
The most probable reason for this behavior is that at a higher

load the peat layer generates a negative skin friction causing a
higher load on the pile group. This results in the sudden increase
in the shaft stress and the load sharing ratio value. Figure 6
presents the mobilisation of shaft friction with depth. It is seen
that the shaft friction increases and then falls down rapidly with
depth confirming the ductile behaviour in the sense that major
part of the load is transferred by friction.
For the pier lengths of 12m, 16.8m, and 18mm. At any stage of
settlement, it was found that the load taken by the piled raft was
far higher than the load taken by the unpiled raft for the
corresponding settlement. The results are studied independently
for the three cases analysed, and then they are compared. From
the load settlement response of the unpiled raft and the piled
raft, the load shared by the pier (pile group) is computed at
different settlement levels namely 12mm, 25mm, 50mm, 80mm
and 100mm and has been presented in Table 1.
7.
HYPERBOLIC BEHAVIOUR
Table 1 Load Sharing Ratio At Various Settlement Levels
Pier
length
Settlement
12.0m
12m
m
0.54
16.8m
0.64
0.65
0.60
0.58
0.56
18.0m
0.61
0.56
0.64
0.59
0.59
20mm
50mm
0.53
0.37
80m
m
0.30
100mm
0.25
In the case of load settlement response of all the three cases, in

the initial stages upto a settlement level of 25mm,the piled raft
exhibits a higher stiffness, with the very small rate of change in
the stiffness. As seen from the table 1, the loads shared by the
pier in the initial stages are higher and then gradually reduces
with settlement. This indicates that the major part of the applied
load is taken by the pile group or the pier. Beyond this level the
rate of fall in the stiffness increases rapidly indicating that the
full friction has been mobilised and the raft starts taking a
higher load. This stage exists upto a settlement level of
Figure 7 Chins graph (12m pier)
The curve relating to the 12m deep pier exhibits in a distinct

manner a three phase behaviour; namely OA, which is a linear
elastic stage AB a viscoplastic stage and BC the plastic stage.
In the other two cases the third stage is has not reached mainly
because the piled was still capable of taking higher
load.Typically the piled raft with 12 m pier depth had exhibited
a hyperbolic behaviour and it has been loaded close to failure
657
has exhibited a hyperbolic behaviour. It has been established

that the hyperbolic behaviour can be expressed in terms of
Chin-Kondtner type functions, when the inverse of the stiffness
is plotted against settlement, a linear plot can be obtained. In
that case the inverse of the slope gives the asymptotic ultimate
capacity of the pier. Accordingly as atypical case the load
settlement response of the piled raft with 12m pier was plotted
as Chins graph. Figure 7
The asymptotic ultimate capacity was found to be of the order
of 750kN, indicating that the asymptotic ultimate capacity is
three times the capacity at the elastic limit and 1.5 times the
load corresponding to the elasto plastic stage. This would mean
that the capacity has to be limited to the load corresponding to
the elasto plastic stage. Therefore the limiting capacity of the
piled raft can be the capacity at a settlement level of 10% of the
pile diameter when the pile can be seated in the noncompressible layer and when the pile has to pass through a
compressible layer, and then the negative friction has to be
accounted for.
8.
OBSERVATIONAL STUDY MODEL
Figure 8 Load settlement response pier
Figure 8 presents the load settlement response of the pier

representing the pile group and the raft which forms a part of
the piled raft supporting the structure. Here it is seen that the
elastic stage is seen upto a load level of 200kN per sq.m.
However in the analyses the pressure was applied continuously
whereas during construction the load was applied in gradual
manner over a period of time.
However the settlement shown by the equivalent pier analyses
is 12 mm as against the observed value of 14mm reported in the
referred publication, The load sharing behaviour and the shaft
stress mobilisation exhibited a similar trend as in the case of
earlier model and as observed in the observational study. In this
case the load level was found to be well with in the elastic
limits. The settlement observed from the observational study
was 14mm and from the pier analyses the settlement obtained
was 12mm indicating a very close agreement indicating that the
equivalent pier concept can fill the need of a simple design
procedure.
9.
CONCLUSIONS
The extensive study carried out on the two independent cases

adopting the equivalent pier theory has established that the
equivalent pier theory, although involves numerical
approximation, the performance of the piled raft in both the
cases predicted by equivalent pier theory is in conformity with
the earliar works by Oh etal.,(2008) and Balakumar (2008)The
study has further pointed out that in the case of piled rafts with
the pile group passing through seams of compressible layer the
behaviour is affected by the mobilisation of negative skin
friction and the equivalent pier concept is able to predict this
effectively.The compressible layer generates negative skin
friction and increases the load on the pile as shown by the
increase in the load sharing ratio and then allows the pile group
658
behaviour to be ductile. In short the equivalent pier theory is an

ideal theory for the piled raft analyses.
10.
REFERENCES
Clancy P. (1993), Numerical Analysis of Piled Raft Foundations,

University of Western Australia, PhD Thesis.
Katzenbach R., Arslan V. and Moorman ch (2000a), Numerical
Stimulations of Combined Piled Raft Foundations for the New
High Rise Building, Max in Frankfurt am main, Proc. 2nd Int.
Conf. on Soil Structure Interaction in Urban Civil Engineering.
.
Poulos H.G. (2001), Piled Raft Foundation: Design and
Application, Geotechnique, Vol. 51, No. 2, pp 111-113
Horikoshi K. (1995), Optimum Design of Piled Raft Foundations,
Dissertation submitted for the degree of Doctor of Philosophy,
University of Western Australia.
E.Y.N OH, M. Huang, C. Surarak, R.Adamec and
A.S.Balasubramaniam (2008), Finite Element Modeling for Piled
Raft Foundation in Sand, Eleventh East Asia Pacific Conference
on Structural Engineering & Construction (EASEC 11).
Polous H.G. (2008), The Piled Raft Foundation for the Burj Dubai
Design & Performance. IGS Ferroco Terzaghi, Oration 2008.
Balakumar.V (2008), Experimental Studies of Model Piled Raft on
Sand and Field Study of Prototype Behavior. PhD. Thesis, Anna
University, Chennai.
Burland J.B. (1995), Piles as Settlement Reducer 18th Italian Congress
on Soil Mech., Pavia.
Russo G. (1998), Numerical Analyses of Piled Rafts, Intl. Jnl. Num.
and Anl. Methods in Geomech, Vol. 22, pp. 477-493.
Small J and Poulos, H.G. (2007) A Method of Analysis of Piled Raft,
10th Australia Newzeland Conference on Geo Mechanics, PP. 555.
Yamashita.K , Hamada.J, Yamada.T. (2010), Field Measurements On
Piled Rafts with Grid-Form Deep Mixing Walls on Soft Ground,
Geaotechnical Engineering-SEAGS Vol.42 No 2 June 2011
Interprtation dessais dextraction de renforcements mtalliques haute adhrence

dans un massif en Terre Arme soumis un chargement dynamique cyclique
Interpretation of pullout tests of high adherence steel reinforcements in a Reinforced Earth
structure under a cyclic dynamic loading
Bennani Y.
Dpartement technique et scientifique de Terre Arme Internationale, Vlizy, France
Soyez L.
Egis Structure et Environnement, Egis Gotechnique, Saint Quentin en Yvelines, France
Freitag N.
Dpartement technique et scientifique de Terre Arme Internationale, Vlizy, France
RSUM : Entre 2007 et 2009, l IFSTTAR et la SNCF ont ralis une exprimentation en vraie grandeur dun ouvrage en Terre
Arme soumis un chargement ferroviaire sur un grand nombre de cycles. Linterprtation des essais dextraction darmatures, sous
chargements statique et dynamique cyclique, concluait en une baisse de lordre de 15% du coefficient de frottement apparent solarmature lie aux chargements dynamiques de louvrage. Depuis, ces travaux ont t analyss au moyen de modlisations numriques
dynamiques aux diffrences finies qui ont permis de mieux comprendre les mcanismes mis en jeux. Cet article prsente dans un
premier temps le phnomne de chenille observ. En effet une analyse fine de linterface sol-armature indique que le dplacement
relatif serait command par la contrainte verticale exerce par le sol sur larmature et que ce dplacement se produirait lorsque celle-ci
serait minimale. Dans un second temps, les essais dextraction raliss en 2009 ont t simuls laide du modle de louvrage. Les
enseignements de cette simulation ont men une rinterprtation des rsultats obtenus et ont montr que les mesures sur louvrage
ne permettent pas de mettre en lumire une rosion de la capacit dadhrence lie au chargement dynamique.
ABSTRACT: Between 2007 and 2009, IFSTTAR and SNCF realized a full scale instrumental Reinforced Earth structure submitted to
a high number of rail load cycles. The interpretation of reinforcing strip pullout tests under static and dynamic loads came with a loss
of 15% of the apparent friction coefficient due to the dynamic loading of the structure. In the meanwhile, these works were analyzed
thanks to finite difference dynamic numerical models that enabled to get a better understanding of the mechanisms involved. This
article first presents the caterpillar phenomenon that was observed. In fact, a close analysis of the soil-reinforcement interface
during a pull-out test indicates that the soil/strip relative displacement is governed by the vertical stress applied by the ground on the
reinforcement: the displacement happens when the stress is at its minimal level. Second, the pullout tests were simulated using a
numerical modelling of the structure. The teachings of this simulation enabled the authors to reinterpret the test results and to show
that the no reduction of pullout capacity due to dynamic loading can be concluded form the full scale test results.
MOTS CLES : Interaction sol structure, remblai renforc, adhrence, dynamique, modlisation numrique, ferroviaire
KEYWORDS: Soil-structure interaction, reinforced fill, adherence, dynamic, numerical modelling, railroad
1
INTRODUCTION.
Le fonctionnement de la Terre Arme repose sur la mobilisation

du frottement entre le remblai et les armatures. La mise en place
de renforcements dans des massifs de remblai technique fait de
lensemble un bloc composite auto-stable capable de supporter
des surcharges trs leves. Cest ce qui explique lutilisation
rpandue des ouvrages en Terre Arme dans diverses
applications routires, ferroviaires, hydrauliques et industrielles.
Linteraction sol-armature dpend de la nature du
renforcement (gomtrie, matriau constitutif), de la nature et
de la densit du remblai, ainsi que de la pression de confinement
(Schlosser et Elias, 1978). La dfinition du coefficient
dinteraction * est principalement dtermine partir dessais
dextraction darmatures enterres dans des ouvrages ou dans
des cuves dextraction de laboratoire. Ce coefficient est utilis
pour la justification du critre dadhrence dans la stabilit
interne des ouvrages en sol renforc.
Lutilisation darmatures mtalliques inextensibles fait de la
Terre Arme une solution davenir pour le dveloppement
ferroviaire (Freitag et al, 2011). Linfluence des vibrations sur
le frottement sol-armature a fait lobjet de plusieurs tudes,
notamment les travaux de Murray et al. (1979) ainsi que le mur
exprimental de Millville en Virginie (1983) ralis par la
socit Terre Arme. Murray et al. ont conclu que la diminution
de la force dextraction darmatures lisses correspond la
diminution de la contrainte verticale instantane et que le
659
coefficient dinteraction nest pas dgrad par les vibrations.

Lexprimentation de Millville a permis aux auteurs de conclure
que les vibrations diminuent la rsistance dextraction mais que,
l encore, cette diminution correspond lallgement provoqu
par lacclration verticale.
Plus rcemment, entre 2007 et 2009, lIFSTTAR et la SNCF
ont poursuivi ces tudes afin dapprofondir le comportement des
ouvrages en Terre Arme sous sollicitations ferroviaires. Une
exprimentation en vraie grandeur a t ralise dans le
contexte de ce programme de recherche (Soyez, 2009). Les
rsultats de lexprimentation ont montr une trs bonne
compatibilit de louvrage avec les applications ferroviaires
lexception de lvolution du coefficient dinteraction avec les
cycles de chargement. Cet article revient sur les essais
dextraction en les rinterprtant laide dune tude numrique
aux diffrences finies.
2
2.1
LE FROTTEMENT DANS LA TERRE ARMEE

Dfinition du frottement apparent
Il est communment admis que la rsistance dancrage dR dune

longueur lmentaire darmature dl sexprime de la manire
suivante :
dR 2.b.dl. 'max
(1)
avec b la largeur de larmature et max la contrainte de

cisaillement maximale sur chaque face de cet lment
darmature. Par ailleurs, la contrainte maximale de cisaillement
mobilisable localement est lie la contrainte verticale
applique localement la profondeur de llment darmature.
Cette contrainte maximale mobilisable est dfinie par la relation
suivante :
'max * 'v . 'v
(2)
avec v la contrainte verticale effective. Ainsi la rsistance

caractristique dancrage Rf;k sur une longueur La sobtient par
intgration de lensemble des rsistances dancrage lmentaires
dR. Elle sexprime de la manire suivante :
L
R f ; k 2b
'v x 'v x dx
*
(3)
x L La
Cette formulation de la rsistance caractristique Rf;k permet

de tenir compte des variations spatiales de la contrainte verticale
le long de larmature qui peuvent tre gnres par des charges
concentres. Elle est couramment utilise pour la justification
des cules de pont en Terre Arme.
Les valeurs du coefficient dinteraction * ont fait lobjet de
nombreuses tudes qui ont permis de calibrer des valeurs
enveloppe . Elles varient conventionnellement de 0* pour
une contrainte (virtuelle) nulle tan pour les valeurs de v
suprieures 120 kPa. Le lecteur pourra se rfrer lAnnexe A
de la norme franaise NF EN 14475 donnant les valeurs
normatives du coefficient de frottement apparent pour les
armatures mtalliques haute adhrence.
2.2
Prsentation des rsultats du programme de recherche
Le plot exprimental (cf. Figure 1) a t ralis au Centre

dExprimentation Routire de Rouen (CER).
Figure 2. Disposition des armatures extraites en statique sans surcharge,

en gris clair, et sous vibrations, en gris fonc (daprs Soyez 2009)
Les valeurs de rsistance dancrage proposes initialement

(Soyez, 2009) (cf. Tableau 1) indiquent des valeurs suprieures
en dynamique par rapport celles en statique. La surcharge en
statique tant nulle, la surcharge dynamique oscillant entre 20 et
90 kN gnre des contraintes verticales appliques sur
larmature plus leves.
Tableau 1. Forces maximales dextraction (kN) des armatures situes au
niveau des deux lits suprieurs daprs Soyez (2009).
Armature
Fmax
Louvrage, dune hauteur totale de 4,1 m, a t soumis

deux grandes phases de chargements. La premire phase
correspond des essais cycliques multifrquences sur un trs
grand nombre de cycles et la seconde phase des essais de
chargement statique de grande intensit. Entre ces deux phases,
des essais dextraction ont t effectus quatre niveaux de
confinement diffrents et pour deux zones diffrentes (cf. figure
2). La premire zone correspond un domaine dinfluence
directe de la surcharge (armatures 14, 34, 46 et 26) tandis que la
seconde zone est considre hors dinfluence (12, 37, 49 et 29).
La surcharge correspond ici un chargement cyclique
sinusodal entre 20 et 90 kN la frquence de 28 Hz, simulant
le passage dun train type TGV une vitesse denviron 300
km/h.
660
37
46
49
39.8
36.9
56.1
47
Lanalyse du frottement apparent est ensuite ralise partir

des rsistances dancrage. La mesure instantane de la
contrainte verticale le long de larmature pendant le chargement
tant difficile, les rsultats des essais ont t interprts partir
de la valeur moyenne des contraintes (cf. Tableau 2). Cette
hypothse mne conclure en une baisse de 1ordre de 15% du
frottement apparent pour le niveau suprieur de renforcement.
Tableau 2. Comparaison des coefficients * obtenus lors des essais
dextraction statiques et dynamiques pour les deux lits suprieurs
daprs Soyez (2009).
Armature
34
37
46
49
4.2
4.4
8.6
10.1
*dyn/ *stat
Figure 1. Coupe longitudinale du plot exprimental du CER (daprs

Froumentin et al. 2008).
34
0.94
0.85
Le paragraphe prsente la simulation numrique dun essai

dextraction sous chargement dynamique et permet de revenir
sur cette hypothse de contrainte moyenne.
3
APPORT DE LA MODLISATION NUMRIQUE
Les modles numriques ont t raliss laide du logiciel 2D

aux diffrences finies FLAC version 7.0 (Fast Lagrangian
Analysis of Continua) dvelopp par ITACSA. Ce programme
permet de modliser les ouvrages gotechniques et en
particulier les structures en sols renforcs laide du modle
strip . FLAC possde aussi un module dynamique permettant
dintroduire par exemple des surcharges variation temporelle.
3.1
FLAC et le modle strip
Le modle strip a t dvelopp afin de simuler le

comportement de bandes de renforcements discrtes. Le modle
reproduit fidlement les essais dextraction sous chargement
statique. Linteraction sol-armature est modlise par un ressort
et un patin (cf. Figure 3). Le ressort permet de dfinir la raideur
de linterface et donc de modliser la capacit du renforcement
mobiliser rapidement ou non le frottement. La raideur
attribue au ressort est issue de la courbe de lessai dextraction.
Le patin permet de dfinir le critre de glissement issu de
a)
lenveloppe de rupture en cisaillement, de faon similaire celle

prsente dans le paragraphe prcdent.
Raideur axial
Armature HA
Nud
Critre de
glissement
Raideur de
linterface
Figure 3. Schmatisation du modle de larmature dans FLAC.
b)
Une armature est discrtise en plusieurs segments, rgis par

le modle strip . Le glissement de larmature par rapport au
sol est le rsultat dune saturation du cisaillement sur un
ensemble de segments. Cette saturation est elle-mme contrle
par plusieurs paramtres tels que la distribution instantane de
la contrainte verticale, le niveau instantan de dplacement
relatif, la raideur du sol ainsi que la raideur du renforcement.
3.2
Modlisation dun essai dextraction sous chargement

dynamique cyclique
Afin de mieux comprendre les mcanismes en jeu lors dun

essai dextraction sous chargement dynamique, la configuration
de louvrage exprimental de Rouen a t modlise et lessai
dextraction a t simul numriquement. Lobjectif tant dans
un premier temps de comprendre le phnomne de mobilisation
lchelle locale, les paramtres du modle armature
(raideur dinterface et critres de glissement) nont pas t cals
pour reprsenter les essais de Rouen. La raideur dinterface
utilise pour les chargements statiques ainsi que les valeurs
normatives du coefficient dinteraction ont t attribues aux
paramtres dinterfaces sol-armature.
Un essai dextraction correspond un chargement artificiel
bien spcifique impos larmature. Cette dernire est soumise
une vitesse dextraction constante et faible (1mm/min selon
NF P 94-222:1995). Pendant lextraction, le dplacement de
larmature en tte et la rsistance dancrage sont enregistrs.
Ces conditions peuvent tre reproduites grce loption
dynamique du logiciel FLAC.
3.2.1
Analyse du cisaillement lchelle locale
Au dbut de lessai simul, la rsistance dancrage crot alors

en mme temps que le dplacement de la tte de larmature.
Puis la rsistance atteint un pallier partir duquel la rsistance
dancrage est sensiblement constante alors que larmature se
dplace globalement par rapport au sol.
Dans cette phase, ltude fine du cisaillement au niveau
dun des segments permet de bien mettre en vidence
lvolution de la rsistance dancrage locale pendant la phase de
glissement de larmature (cf. figure 4). Les conclusions de
lanalyse sont les suivantes :
- la rsistance de cisaillement crot progressivement
jusqu ce que la contrainte verticale atteigne son
minimum cyclique (T1)
- le cisaillement chute alors brutalement, indiquant une
perte dadhrence locale momentane (T2)
- puis la contrainte verticale augmente nouveau et une
reprise dadhrence est constate sur le modle (T3)
Les conclusions de cette premire tude sont en accord avec
celles obtenues par Murray et al (1979) indiquant que la
diminution de la rsistance dancrage correspond un
allgement de la contrainte verticale. En effet, ltude montre
que cest la fin de la phase de dchargement, quand la
contrainte verticale atteint son minimum cyclique, que le
glissement a lieu.
661
Figure 4. Evolution de leffort de cisaillement et de la contrainte

verticale au niveau dun segment darmature : a) Evolution instantane
du cisaillement et de la contrainte verticale en fonction du temps, b)
Evolution du cisaillement en fonction de la contrainte verticale avec
superposition de lenveloppe de rupture.
Il semble important de noter que les conclusions de cette

premire tude numrique sont indpendantes des paramtres
du modle numrique. Plusieurs simulations, pour diffrentes
frquences de sollicitations, et pour diffrents paramtres
gotechniques (modules de sols, amortissements, etc.) apportent
les mmes conclusions.
3.2.2
Estimation de ladhrence sous chargement dynamique

cyclique : un phnomne de chenille
Cette premire simulation permet de conclure que la

rsistance dancrage lors dun essai dextraction est dtermine
par le minimum local atteint par la contrainte applique le long
de larmature au cours du chargement dynamique, et non par la
contrainte moyenne.
En dynamique, la contrainte de cisaillement mobilisable
linstant t, une abscisse x est donne par la relation suivante :
'max x, t * 'v x, t 'v x, t
(4)
Ainsi la rsistance lextraction sous chargement sinusodal

entre t=0 et la priode T du signal peut tre dfinie par la
relation :
L
R f ; k 2b
*
'v min x 'v min x dx
x L La
(5)
avec vmin(x) la contrainte verticale minimale labscisse x
le long de larmature au cours du cycle.
En raison de la vitesse de propagation des ondes de
cisaillement et de compression dans le sol, la contrainte
verticale minimale vmin(x) nest pas atteinte linstant o la
sollicitation sur la voie est minimale, mais avec un dcalage
temporel. Par ailleurs, le minimum de contrainte vertical locale
nest pas atteint simultanment tout au long de larmature (du
fait de la vitesse de propagation des ondes de compression dans
le sol). Le glissement sol/armature nest donc pas simultan sur
toute sa longueur, mais progressif. Le comportement de
larmature peut donc tre assimil au dplacement dune

chenille .
3.3
Retour louvrage exprimental
A laide du logiciel FLAC, un essai dextraction dans des

conditions similaires celles des essais raliss sur le plot
exprimental de Rouen a t simul.
Afin de tenir compte de la diffusion 3D de la sollicitation
applique dans notre modle 2D, une correction de la valeur de
la charge applique sur la traverse a t ralise. Le calcul des
incrments de contraintes verticales a t ralis en appliquant
une diffusion suivant la thorie de Boussinesq. Le modle est
donc cibl sur un lit darmatures donn, et les paramtres de
charge 2D sont dtermins pour chaque lit tudi. Par ailleurs,
les paramtres du modle tels que les caractristiques
gotechniques, et lamortissement du remblai, ont t au
pralable valids en comparant les incrments de tractions
mesurs aux valeurs numriques enregistres. Une bonne
correspondance entre le modle et lexprimentation a t note.
En se fondant sur la courbe enveloppe minimale des
contraintes appliques sur larmature suprieure [armature pour
laquelle la plus grande baisse de frottement a t calcule dans
Soyez (2009)], et en prenant comme valeur cible la rsistance
lextraction mesure, il a t recalcul, laide de la formule de
la rsistance dextraction prcdemment dfinie (cf. Eq. 1), la
courbe bilinaire de la variation du coefficient de frottement
apparent * en fonction de la contrainte verticale.
La rinterprtation du coefficient de frottement partir de la
contrainte minimale locale dtermine numriquement
nindique pas de baisse du frottement (cf. Figure 5). En effet la
plage de variation du frottement apparent (entre 10.8 et 9.2), en
fonction de la contrainte verticale, pendant la phase dynamique,
est trs semblable la courbe en statique sans chargement. Une
analyse similaire sur les autres lits a abouti aux mmes
conclusions
Figure 6. Comparaison entre lessai dextraction simul et celui mesur

en dynamique 28 Hz
CONCLUSION
Cet article analyse les mcanismes en jeux lors dun essai

dextraction sous sollicitation dynamique comme ceux raliss
sur louvrage exprimental de Rouen. La simulation numrique
a permis, sous les hypothses du modle armature du
logiciel aux diffrences finies FLAC, de valider que ce nest pas
la contrainte moyenne mais la contrainte minimale au cours des
cycles de chargement qui est dterminante pour linterprtation
de ces essais. Une rinterprtation du frottement apparent
partir de cette nouvelle comprhension des phnomnes
indiquerait quaucune perte de frottement na t enregistre.
Cette tude combinant la fois lexprimentation et lanalyse
numrique apporterait donc des conclusions similaires celle
donne par Murray et al (1979).
De plus, en se basant sur les rsultats exprimentaux et cette
nouvelle comprhension des phnomnes en jeu, une analyse
dtaille du niveau de scurit instantan douvrages soumis
des chargements dynamiques cycliques comme les ouvrages
sous voies ferres circules grande vitesse parat possible.
5
REMERCIEMENTS
Nous tenons tout particulirement remercier Rseau Ferr de

France pour avoir rendu public le mmoire de thse de M.
Laurent Soyez.
6
Figure 5. Comparaison des coefficients de frottement apparent dans le

cas statique et dans le cas dynamique 28 Hz
La courbe bilinaire du frottement apparent obtenue a

ensuite t introduite dans le modle armature afin de
simuler lessai dextraction et de confronter ce dernier la
courbe exprimentale obtenue. Lors de cette simulation la
raideur dinterface (dterminant la pente de la monte en charge
au dbut de lessai) na pas t modifie par rapport la valeur
usuelle base sur le calage dessais statiques. La comparaison
entre les deux courbes indique que le modle reproduit
fidlement lessai dextraction sous chargement dynamique (cf.
Figure 6).
662
REFERENCES
AFNOR, 1995. Renforcement des sols Ouvrages en sols rapports

renforcs par des armatures ou nappes peu extensibles et souples.
NF P 94-222. Aot 1995. Paris
AFNOR, 2009. Calcul gotechnique Ouvrage de soutnement
Remblai renforcs et massifs en sol clou. NF P 94-270, Juillet
2009. La plaine Saint-Denis. Paris
CEBTP. 1975. Procs verbal dessais Mur experimental de Triel sur
Seine. Non publi
Floss R. and Thamm B.R. 1979. Field measurements of a Reinforced
Earth retaining wall under static and dynamic loading. Colloque
international sur le renforcement des sols: Terre Arme et autres
techniques. Paris. Vol. III, 183-188.
Froumentin M. et al. 2008. Comportement des ouvrages sous charges
ferroviaire Application au cas des ouvrages de soutnement en sol
renforc et en remblai. Rapport interne, V2.0, CETE N-C/CER
Freitag N. et al.2011. Terre Arme: Une solution davenir pour le
dveloppement ferroviaire. Symposium International Georail. Paris
Murray R.T et al. 1979. Pullout tests on reinforcements embedded in
uniformly graded sand subjected to vibration. Design parameters in
geotechnical engineering, Proceedings of the 7th European
Conference on Soils Mechanics and Foundation Engineering,
Brighton, Vol.III, 115-120
Schlosser F. Guilloux A. 1981. Le frottement dans le renforcement des
sols. Revue franaise de gotechnique 16, 65-77.
Soyez L. 2009. Contribution ltude du comportement des ouvrages de
soutnement en sol renforc, soumis des charges dexploitation
ferroviaire. Thse de doctorat, Ecole Nationale des Ponts et
Chausses, 312 p.
th
Proceedings
of the 18 International Conference
On non-coaxial
stress-dilatancy
theorieson Soil Mechanics and Geotechnical Engineering, Paris 2013
th
Sur les thories de non co-axialit contrainte/dilatance
On non-coaxial stress-dilatancy theories

Biru Tsegaye A., Benz T.
Norwegian
University
Science
and Technology
(NTNU)
Sur
les thories
deofnon
co-axialit
contrainte/dilatance
Anteneh Biru & Thomas Benz

Norwegian University of Science and Technology (NTNU)
ABSTRACT: The influence of non-coaxiality between principal stresses and principal strain increments on mechanical behavior of
soils has been investigated both experimentally and theoretically. In this paper, two non-coaxial stress-dilatancy theories for soils are
considered. The theoretical frameworks are investigated and inconsistencies are pointed out. Then a possible way of reconciling these
inconsistencies is proposed. Furthermore, a semi-empirical evolution equation is proposed for the degree of non-coaxiality.
ABSTRACT: The influence of non-coaxiality between principal stresses and principal strain increments on mechanical behavior of
soils has been investigated both experimentally and theoretically. In this paper, two non-coaxial stress-dilatancy theories for soils are
RSUM : L'influence, sur le comportement mcanique des sols, de la non co-axialit entre les contraintes principales et les
considered. The theoretical frameworks are investigated and inconsistencies are pointed out. Then a possible way of reconciling these
dformations principales, est l'objet d'tudes tant exprimentales que thoriques. Dans le prsent article, deux thories de non coinconsistencies is proposed. Furthermore, a semi-empirical evolution equation is proposed for the degree of non-coaxiality.
axialit contrainte/dilatance sont considres. La structure thorique a t analyse, et certaines divergences ont pu tre releves entre
les deux thories. Une solution pour les concilier est alors propose. De plus, une quation semi-empirique est propose pour
RSUM : L'influence, sur le comportement mcanique des sols, de la non co-axialit entre les contraintes principales et les
exprimer le degr de non co-axialit.
dformations principales, est l'objet d'tudes tant exprimentales que thoriques. Dans le prsent article, deux thories de non coaxialit
contrainte/dilatance
sontnon-coaxial
considres.
La structure
thorique
a t analyse, et certaines divergences ont pu tre releves entre
KEYWORDS:
non-coaxiality,
plastic
dissipation,
stress-dilatancy
les deux thories. Une solution pour les concilier est alors propose. De plus, une quation semi-empirique est propose pour
exprimer le degr de non co-axialit.
1 INTRODUCTION
where Mp is plastic dissipation and cD is degree of (non-)
KEYWORDS: non-coaxiality, non-coaxial plastic dissipation, stress-dilatancy
coaxiality,
Several stress-dilatancy formalisms assume coaxiality between
rs + r s
s - s3
principal stress and principal plastic strain increments. The two
p = 1 1 p 3 3 & q = 1
(2)
1frequently
INTRODUCTION
and cD is degree of (non-)
where
applied stress-dilatancy formalisms are that follow
r1 M+ r3is plastic dissipation
3 - r1r3
from Taylors
(1948) formalisms
work hypothesis
Rowesbetween
(1962)
coaxiality
Several
stress-dilatancy
assumeand
coaxiality
are mean ,stress and deviatoric stress respectively where s1 is
stress-dilatancy
theory.
Both
assume
coaxiality.
As
shown
in
r1s1 + r3s3
s -s
principal stress and principal plastic strain increments. The two
= 1 and3 s3 is the minor principal stress,
p =major
& qstress
(2)
the
principal
Biru and Benz
(2013)
the two approaches
can are
be seen
frequently
applied
stress-dilatancy
formalisms
that from
followa
r1 + r3
3 - r1r3
common
point.
In
spite
of
this
fact,
the
two
approaches
bear
ri are such that r1 r3 1 for plane strain,
r 2
r3 2 for
from Taylors (1948) work hypothesis and Rowes (1962)
s1 is
are
mean stress and deviatoric stress respectively1 where
differences.
stress-dilatancy
theory. Both assume coaxiality. As shown in
2
r
2
triaxial
extension
and
triaxial
compression.
The
1
3
The
possible
influence
of
non-coaxiality
on
stress-dilatancy
the major principal stress and s3 is the minor principal stress,
Biru and Benz (2012) the two approaches can be seen from a
behavior point.
of geomaterials
been
first
out in de Jong
corresponding work conjugate strain rate measures,
common
In spite ofhasthis
fact,
thepointed
two approaches
bear
ri are such that r1 r3 1 pfor plane
r1 2
r3 2 for
strain,
(1976). Gutierrez and Ishihara (2000) introduced non-coaxiality
e1 - e3p
differences.
p
p
p
p
e
=
,
(3)
e
=
r
e
+
r
e
&
2
v
1 extension
1
3 3
intoTheTaylors
hypothesis.
Later, Gutierrez
and Wang
triaxial
andq 2r1 r r+
3
possiblework
influence
of non-coaxiality
on stress-dilatancy
r32 triaxial compression. The
1
(2009)
introduced
non-coaxiality
to
Rowes
stress-dilatancy
behavior of geomaterials has been first pointed out in de Jong
corresponding
workrate conjugate
strain
rate respectively;
measures,
are volumetric strain
and deviatoric
strain rate,
theory. Gutierrez
In this paper,
two approaches
of incorporating
effect
p
p
(1976).
and the
Ishihara
(2000) introduced
non-coaxiality
e
e
and
3
of degree
non-coaxiality
into plastic
dissipation
andand
hence
into
,
(3)
evp = r1e1p + r3e3p & eqp = 2 1
into
Taylors
work hypothesis.
Later,
Gutierrez
Wang
r1 + r3
stress-dilatancy
formalisms
are
investigated.
Differences
in
the
(2009) introduced non-coaxiality to Rowes stress-dilatancy
3r1r3 sin jcv
ms
, deviatoric strain rate, respectively;
(4)
M cvvolumetric
=
two approaches
are pointed
and a possible
way are
of
are
strain rate and
theory.
In this paper,
the twoout
non-coaxial
approaches
3 - (r3 - r1 )sin jcv
reconciliation
is
proposed.
and
investigated. Differences in the two approaches are pointed out
where jcv is the friction angle at constant volumetric strain.
and a possible way of reconciliation is proposed.
3r1r3 sin jcv
2 ON THE NON-COAXIAL TAYLOR AND ROWE
s
,
(4)Eq.
M cvmThe
= stress-dilatancy
relationship
obtained by rearranging
STRESS
DILATNCY
RELATIONSHIPS
3
r3 - r1 )sin jcv
(1) is of the(form
2 ON THE NON-COAXIAL TAYLOR AND ROWE
STRESSfocuses
DILATNCY
where jcv is the friction angle at constant volumetric strain.
This section
on the RELATIONSHIPS
non-coaxial Taylor (Gutierrez and
Ishihara
2000)
and
non-coaxial
Rowe
(Gutierrez
and
Wang
stress-dilatancy
relationship obtained by rearranging Eq.
ms
This section focuses on the non-coaxial Taylor (Gutierrez and
MThe
(5)
y = M cv - cD M s ,
(1)
is
of
the
form
2009)
stress-dilatancy
theories.
The
two
approaches
are
Ishihara 2000) and non-coaxial Rowe (Gutierrez and Wang
p
p
where M y = ev eq is dilatancy ratio and M s = q p is stress
investigated
and differences
are pointed
2009)
stress-dilatancy
theories.
The out.
two approaches are
ratio.
M y = M cvms - cD M s ,
(5)
For plane strain condition, Eq. (5) simplifies to
p
p
where M y = ev eq is dilatancy ratio and M s = q p is stress
investigated and differences are pointed out.

2.1
Non-coaxiality for extended Taylor work hypothesis
2.1
Non-coaxiality
for of
extended
Taylor
workwork
hypothesis
The non-coaxial
version
extended
Taylor
hypothesis
(Gutierrez
and
Ishihara
2000),
for
triaxial
compression,
triaxial
The non-coaxial version of extended Taylor work hypothesis
extension
and
2D
plane
strain
deformation
modes,
is
given
by
(Gutierrez and Ishihara 2000), for triaxial compression, triaxial
ratio.
(6)
sin ym = sin jc - cD sin j m ,
For plane strain condition, Eq. (5) simplifies to
From this extension, the following points can be noted.
Firstly, in this modification the plastic dissipation remains
unaffected
non-coaxiality
(See Figure 1a) but the stress(6)
jc cD sin j m ,
sin y m = sinby
From this extension, the following points can be noted.
Firstly, in this modification the plastic dissipation remains
unaffected by non-coaxiality (See Figure 1a) but the stress-
extension and 2D plane strain deformation modes, is given by

p = pe p + c qe p = M ms pe p ,
(1)
M
cv
p = pe p + c qe p = M ms pe p ,
M
v
D
q
cv
q
(1)
663
1
th
dilatancy relationship is. Secondly, the phase transformation

line, i.e., evp = 0 requires
1
M cv M cv ,
cD
implying dependence on degree of non-coaxiality.
M pt =
(7)
plastic shear strain rate and jm is mobilized friction angle; and
jc is critical state friction angle. The resulting non-coaxial

stress-dilatancy equation is
0.5
D /pp
0.4
0.3
c=0.2
sin y mR = cD sin ymR .
c=0.4
For cD = 1 and when the interparticle friction angle jm in
c=0.6
terms of the critical state friction angle jc , Rowes original

stress-dilatancy relationship is recovered.
c=0.8
0.2
si are principal stress components and ei p are the conjugate

plastic strain rate components projected along the principal
stress components (coaxial components), g p = e1p - e3p is
(10)
c=1
From Eq. (8), the maximum plastic dissipation

0.1
1 - cos jc p
Np,max = 2 pcD
g ,
sin jc
occurs when the mobilized friction ratio is
0
0
0.2
0.4
0.6
0.8
sinm
1 - cosjc
.
(12)
sin jc
If Rowes stress-dilatancy relationship, i.e., Eq. (9) is
approximated by
sin jm = sin ymR =
0.4
-sinm
(11)
0
0
0.2
-0.4
0.4
0.6
0.8
sinm
sin ymR sin jm - sin jc .

such that the plastic dissipation in Eq. (8), simplifies to
c=0.2
(13)
c=0.4
-0.8
c=0.6
b
c=0.8
Np pcD sin jc g p .
The non-coaxial dilatancy angle will then be
(14)
sin y m cD (sin jm - sin jc ) .
(15)
c=1
Figure 1: a) Normalized plastic dissipation rate according to the
modified plastic dissipation in Eq. versus mobilized friction angle for
different degrees of non-coaxiality jc = 300 , b) Plots of dilatancy ratio
versus stress ratio for different degrees of non-coaxiality, for Eq.
As can be seen from Figure 1b, the stress-dilatancy plots

rotate around a value at zero stress ratio. Hence the higher the
degree of non-coaxiality (i.e., the less the value of c) the higher
the phase transformation stress ratio is; consequently the more
contractive the model behaves.
Unlike the non-coaxial Taylor work hypothesis in Eq. (1)

(Gutierrez and Ishihara 2000), the non-coaxial extension of
Rowes stress-dilatancy equation in Eq. (8) (Gutierrez and
Wang 2009) or the simplified form given in Eq. (14) implies
dependence of plastic dissipation on degree of non-coaxiality.
Furthermore, in the non-coaxial extension of Rowes stressdilatancy equation, the phase transformation remains unaffected
by the degree of non-coaxiality, i.e., for sin y mR = 0 one
obtains sin ymR = 0 sin j pt = sin jc .
2.2
Non-coaxiality for Rowes stress-dilatancy theory
Rowe (1962) assumed coaxiality between principal stresses and

principal strain rates when he derived his stress-dilatancy
relationship. De Jong (1976) questioned the validity of this
assumption.
Gutierrez and Wang (2009), considering a plane strain
condition, modified Rowes (1962) stress-dilatancy theory for
non-coaxiality which when reworked gives a non-coaxial plastic
dissipation according to
p = s e p + s e p = pc (sin j + sin y ) g p ,
N
m
mR
1 1
3 3
D
(8)
where
sin ymR = -
sin jm - sin jc
,
1 - sin jm sin jc
(9)
664
For clarity, the normalized plastic dissipation rate and

dilatancy ratio are plotted against the sine of mobilized friction
angle, sin jm , in Figure 2 for different values of degrees of noncoaxiality. Comparison of plots in Figure 1 and Figure 2
illustrates that the proposed theoretical modifications given in
Eq. (1) and Eq. (8) fundamentally differ and their difference is
too huge to ignore. This difference has been pointed out in
Tsegaye et al. (2012).

th
results demonstrate that the degree of non-coaxiality is an

evolving state variable. Thornton and Zhang (2006) from their
DEM simulations pointed out that at any stage of shearing,
during simple shear deformation, the angle of non-coaxiality
depends on the mobilized angle of shearing resistance, the rate
of dilation, the initial stress state, and the applied loading path.
Post bifurcation evolution tendency of degree of non-coaxiality
is controversial. For example, the tests by Vardoulakis and
Georgopoulos (2004) show that degree of non-coaxiality
vanishes even during post bifurcation deformation whereas
Gutierrez and Vardoulakis (2007) show that degree of noncoaxiality increases during post bifurcation deformation
The authors find a semi-empirical equation for evolution of
degree of non-coaxiality with stress ratio, for plane strain
deformation mode, as
0.5
0.4
D /pp
c=0.2
c=0.4
0.3
c=0.6
0.2
c=0.8
c=1
0.1
0
0
0.2
0.4
0.6
0.8
sinm
dcD = 2p RD cD (1 - cD )
0.4
0.2
-0.4
0.4
c=0.2
0.6
0.8
sinm
c=0.4
c=0.6
-0.8
c=0.2
0.4
c=0.4
c=0.8
c=1
0.3
c=0.6
c=0.8
0.2
c=1
0.1
ab
0
0
different degrees of non-coaxiality jc = 300 ; b) Plots of dilatancy ratio
0.2
0.4
0.6
0.8
0.2
0.4
0.6
0.8
versus stress ratio for different degrees of non-coaxiality, for Eq.
2.3
(19)
0.5
0
D /pp
1
d Ns ,
CN + Ns
sinm
Proposal of a possible reconciliation
The two approaches, as demonstrated for plane strain

deformation mode, are not consistent with each other. The
selection of one over the other may require experimental
evidences. The authors do not come across sufficient
experimental data to clearly choose one over the other. It is,
however, self evident that both cannot hold to describe the same
phenomenon. The authors propose an alternative work
hypothesis,
p = pc M ms e p ,
M
D
cv q
-sinm
0.4
0
-0.4
sinm
c=0.2
c=0.4
-0.8
(16)
c=0.6
c=0.8
such that the difference is reconciled.

There are other ways by which Eq.(16) can be obtained,
which shall not be discussed here. The resulting stress-dilatancy
equation now becomes
M y = cD ( M cvms - M s ) .
c=1
ab
different degrees of non-coaxiality jc = 300 ; b) Plots of dilatancy ratio
(17)
versus stress ratio for different degrees of non-coaxiality, for Eq.(18)
For plane strain deformation mode, Eq. (17) simplifies to
where
sin y m = -cD (sin jc - sin jm ) .
Ns =
(18)
The hypotheses put forward by Gutierrez and Ishihara (2000)

and Gutierrez and Wang (2009), amplify the differences
between Taylors work hypothesis and Rowes minimum
energy hypothesis. However, in the modification proposed here
the difference between Eq.(10) and Eq. (18) is the same as that
of the stress-dilatancy relationship from Taylors work
hypothesis and Rowes minimum energy ratio hypothesis
(Figure 3).
Note that although for the sake of simplicity a constant
degree of non-coaxiality is used here; various experimental
p j
s1
and CN = tan 2 + c
4
2
s3
(20)
and RD is a parameter that controls the rate at which the initial

degree of non-coaxiality vanishes with stress ratio, Figure 4.
The equation implies that non-coaxiality vanishes with stress
ratio and increases when d Ns < 0 . See for example Roscoe
(1970), Arthur et al. (1986) for experimental justification.
665
CONCLUSION
In this paper, the inconsistencies between the non-coaxial

extension of Taylors work hypothesis (Gutierrez and Ishihara
2000) andand
Rowes
stress-dilatancy
theory
(Rowe
Proceedings of the 18th International Conference on Soil Mechanics
Geotechnical
Engineering,
Paris
2013 1962,
Gutierrez and Wang 2009) are discussed. A new non-coaxial
extended Taylor work hypothsis is proposed such that
differences are reconsiled. A semi-emperical equation for
th
Proceedings of the 18 International Conference on Soilevolution
Mechanics
Geotechnical
Engineering,
2013
of and
non-coaxiality
with
stress ratioParis
is proposed.
1
=1
R
0.8
.5
=2
R=3
=1
c[-]
0.6
0.4
0.2
1
3
N
Figure 4: Evolution of degree of non-coaxiality with stress ratio, Ns

for cD0 0.24 and C N = 3
CONCLUSION
In this paper, the inconsistencies between the non-coaxial

extension of Taylors work hypothesis (Gutierrez and Ishihara
2000) and Rowes stress-dilatancy theory (Rowe 1962,
Gutierrez and Wang 2009) are discussed. A new non-coaxial
extended Taylor work hypothsis is proposed such that
differences are reconsiled. A semi-emperical equation for
evolution of non-coaxiality with stress ratio is proposed.
4
REFERENCES

Paris.
Arthur J.R.F., Koenders, M.A. & Wong, R.K.S. 1986. Anisotropy in
mechanica 64 (1-2), 19-29.
Roscoe, K.H. 1970. The influence of strains in soil mechanics.
Gotechnique 20 (2), 129-170.
De Josselin De Jong, G. 1976. Rowes stress-dilatancy equation based
on friction. Gotechnique 26 (3), 527-534.
Gutierrez, M. and Wang J. 2009. Non-coaxial version of Rowes stressdilatancy relation. Granular Matter 11 (2), 129-137.
Gutierrez M., Ishihara K. Non-coaxiality and energy dissipation in
granular materials. Soils and Foundations 2000; 40 (2):4959.
Rowe P.W. 1962. Stress-dilatancy relation for static equilibrium of an
assembly of particles in contact. Proc. R. Soc. A-269:500-527.
Thornton C. and Zhang, L. 2006. A numerical examination of shear
banding and simple shear non-coaxial flow rules. Phi. Mag 86, N0.
21-22, 3425-3452
Taylor D.W. (1948). Fundamentals of soil mechanics. New York:
J.Wiley and Sons.
Tsegaye A.B., Nordal S. and Benz T. 2012. On shear volume coupling
of soils. 2nd Int. Symp. On Constitutive Modeling of Geomaterials.
REFERENCES

Paris.
mechanica 64 (1-2), 19-29.
Gotechnique 20 (2), 129-170.
granular materials. Soils and Foundations 2000; 40 (2):4959.
21-22, 3425-3452
Taylor D.W. (1948). Fundamentals of soil mechanics. New York:
J.Wiley and Sons.
Tsegaye A.B., Nordal S. and Benz T. 2012. On shear volume coupling
666
th
th
On the geometry of plastic potential surfaces and isochoric stress paths

On the geometry of plastic potential surfaces and isochoric stress paths
Sur la gomtrie des surfaces potentielles plastiques et des chemins de contraintes isochores
Sur la gomtrie des surfaces potentielles plastiques et des chemins de contraintes isochores
Biru Tsegaye A., Benz T.,Nordal S.
Norwegian
university
of Science
Technology
Anteneh
Biru,
Thomas
Benz &and
Steinar
Nordal(NTNU)
Norwegian university of Science and Technology (NTNU)
ABSTRACT: In this paper, isochoric stress paths are studied considering an elastic perfectly plastic model and a simple hardening
plasticity model.
Bothpaper,
associated
and stress
non-associated
rules
are considered.
The perfectly
effect of geometry
of plastic
functions
ABSTRACT:
In this
isochoric
paths are flow
studied
considering
an elastic
plastic model
and a potential
simple hardening
on
the
evolution
of
stress
paths
is
illustrated.
Plastic
potential
functions
of
the
Mohr-Coulomb
type
and
the
Drucker-Prager
type are
plasticity model. Both associated and non-associated flow rules are considered. The effect of geometry of plastic potential functions
considered.
Finally,
relevant
conclusions
are given.
on
the evolution
of stress
paths
is illustrated.
Plastic potential functions of the Mohr-Coulomb type and the Drucker-Prager type are
considered. Finally, relevant conclusions are given.
RSUM : Dans cet article, des chemins de contraintes isochores sont tudis, en considrant deux modles: un modle lastique
parfaitement
plastique,
et un des
modle
simple
durcissement
plastique.
lois d'coulement,
tantdeux
associes
queunnon-associes,
sont
RSUM
: Dans
cet article,
chemins
de contraintes
isochores
sontLes
tudis,
en considrant
modles:
modle lastique
considres. plastique,
L'effet de et
la gomtrie
fonctions
potentielles
plastiques,
l'volution
des chemins
de contraintes,
a t illustr.sont
Les
parfaitement
un modledes
simple
durcissement
plastique.
Lessur
lois
d'coulement,
tant associes
que non-associes,
fonctions
potentielles
plastiques
de
types
Mohr-Coulomb
et
Drucker-Prager
sont
considres.
Enfin,
des
conclusions
sont
donnes
sur
considres. L'effet de la gomtrie des fonctions potentielles plastiques, sur l'volution des chemins de contraintes, a t illustr. Les
l'ensemble
de ces sujets.
fonctions
potentielles
plastiques de types Mohr-Coulomb et Drucker-Prager sont considres. Enfin, des conclusions sont donnes sur
l'ensemble
de cesMohr-Coulomb
sujets.
KEYWORDS:
yield surface, deviatoric plane plots, deviatoric non-associativity,
KEYWORDS: geometric non-coaxiality, deviatoric non-associativity, deviatoric plane plots,
1
INTRODUCTION
15
1Several
INTRODUCTION
soil models of varying degree of complexity, many of
them
within
the elastoplastic
have been developed.
Several soil models
of varyingframework,
degree of complexity,
many of
Often,within
limited
types of deformation
are developed.
plotted for
them
the elastoplastic
framework,modes
have been
illustration
of types
model ofresponses.
In this
paper,
two simple
Often,
limited
deformation
modes
are plotted
for
elastoplastic
models
are
considered
and
various
isochoric
stress
illustration of model responses. In this paper, two simple
paths are plotted
in aare
deviatoric
plane
that the
mobilization
elastoplastic
models
considered
andsuch
various
isochoric
stress
of
different
stress
paths
relative
to
the
strain
increment
direction
paths are plotted in a deviatoric plane such that the mobilization
is different
investigated.
of
stress paths relative to the strain increment direction
The
mobilization of stress relative to (plastic) strain increment
is investigated.
is studied
in non-coaxiality
theories.toFindings
that (e.g.,
The
mobilization
of stress relative
(plastic)indicate
strain increment
Thornton andtheories.
Zhang 2006,
Arthur
et al. that
1986):
isRoscoe
studied1970,
in non-coaxiality
Findings
indicate
(e.g.,
1970,
non-coaxiality
vanishes
with Arthur
plasticet al.
shear
strain
Roscoe
Thornton and
Zhang 2006,
1986):
although contradicting
exist shear
during strain
post
non-coaxiality
vanishes reports
with plastic
bifurcation
deformation
states
(e.g.,
Vardoulakis
and
although contradicting reports exist during post
Georgopoulos
2004,
Gutierrez
and
Vardoulakis
2007).
bifurcation deformation states (e.g., Vardoulakis and
Georgopoulos
for an isotropic
state,Gutierrez
plastic strain
increments and
stress
2004,
and Vardoulakis
2007).
paths
show
reasonable
coaxiality.
for an isotropic state, plastic strain increments and stress

Additionally
usefulreasonable
observations
can be inferred from a limited
paths show
coaxiality.
numberobservations
of true triaxial
tests
in literature.
For example,
Similar
can be
inferred
from a limited
number for
of
isotropic
state
and
proportional
loading,
the
tests
by
Yamada
true triaxial tests in literature. For example, for isotropic
state
and Ishihara
(1981),
and Jafarzadeh
(2008) show
and
proportional
loading,
the tests etbyal.Yamada
and that
Ishihara
at
lower
mobilizations,
for
radial
proportional
loading in
(1981), and Jafarzadeh et al. (2008) show that
deviatoric
plane, stress
also radial.loading
At higher
ata lower
mobilizations,
forpaths
radialare
proportional
in
strain
increment
show
some
amobilization
deviatoric plane,
stress
paths are vectors
also radial.
At higher
deviation fromstrain
the radial
direction
but are
reasonably
mobilization
increment
vectors
show
some
close (seefrom
for example,
Figure
1). but are reasonably
deviation
the radial
direction
close
the strain
direction
and1). the plastic strain rate
(see forrate
example,
Figure
directions
are
nearly
the
same.
the total strain rate direction and the plastic strain rate
directions
stresses and
straintheincrements
direction are hence
are nearly
same.
reasonably
stresses
andcoinciding.
strain increments are hence reasonably
Direction of strain
increment
15
0
0
Direction
of strain
Failure stress
increment
-15
-15
Failure stress
-30
-30
-15
-15 0
0 15
15
-30
-30
-15
-15
0
0
15
15
Figure 1: Plots of effective stress path and orientation of deviatoric

strain increment in the deviatoric plane (according to Yamada and
Figure 1: Deviatoric plots of effective stress path and orientation of
Ishihara
1979), Qstrain
= Lode
angle. (according to Yamada and Ishihara
plastic
deviatoric
increment
1979).
2 ELASTO PLASTIC FRAMEWORK

2 ELASTO PLASTIC FRAMEWORK
Generally, in plasticity theory strain rate is additively
decomposed
elastic and
plastic
the stress
Generally, into
in plasticity
theory
strainsuch
ratethat
is additively
increment andinto
the strain
are related
decomposed
elasticincrement
and plastic
such asthat the stress
= C EP and
, the strain increment are related as
(1)
increment
where
= CepC
,EP is the elastoplastic tangent stiffness tensor and(1)may
be decomposed
where
Cep is theaselastoplastic tangent stiffness tensor and may
EP
= C E + C Pas,
(2)
beCdecomposed
ep
C
= CCe E+ is
C pthe
, elastic stiffness tensor and C P is the stiffness
(2)
where
degradation
plasticity.
where
the to
elastic
stiffness tensor and C p is the stiffness
Ce is due
Furthermore,
it
is
assumed
degradation due to plasticity. that a stress state obeys a certain
(yield) function
plasticthat
strains
are state
oriented
normal
to a
Furthermore,
it isand
assumed
a stress
obeys
a certain
plastic function
potential and
function.
plastic
flow is normal
distinguished
(yield)
plastic The
strains
are oriented
to a
associated
if the function.
potential The
function
is the
as the yield
plastic
potential
plastic
flowsame
is distinguished
function. Elastoplastic
constitutive
for as
soiltheusually
associated
if the potential
function ismodels
the same
yield
consider
plastic
potential
functions
different
from
yield
function. Elastoplastic constitutive models for soil the
usually
function. plastic
The plastic
flowfunctions
rule is then
calledfrom
non-associated
consider
potential
different
the yield
flow rule.TheAsplastic
will be
the called
following,
geometric
function.
flowshown
rule isinthen
non-associated
properties
various
surfacesin affect
the response
of these
flow
rule. of
Asthewill
be shown
the following,
geometric
models. of the various surfaces affect the response of these
properties
models.
coaxial.
Note: In the following sections stresses and friction angles are
effective.
Note:
In the following sections stresses and friction angles are
effective.
667
1
1
th
ELASTIC PERFECTLY PLASTIC MODEL WITH

MOHR-COULOMB YIELD FUNCTION
max=5
A plastic potential
surface
Elastic-perfectly plastic abstractions are relatively simple and

despite their shortcomings very popular. The main derive for
their popularity is perhaps their similarity with limit equilibrium
and linear elastic solutions and simple abstractions. However,
some aspects of these models are still unexplored and
overlooked.
In this section, a linear elastic perfectly plastic Mohr-Coulomb
model with a linear elastic stiffness tensor following Hoeks law
v
e
Cijkl
= 2G dik d jl +
d jk d jl ,
(3)
1 - 2v
C
yield surface
strain increments are oriented normal to the failure surface

given in Eq. (5).
It should be mentioned here that, although Eqs. (5) and (6) can
be used for implementation of the model, in this study they are
used for a short presentation only. The implementation is done
by sorting eigenvalues of the stress tensor such that the MohrCoulomb criterion is established by choosing the major and the
minor principal stresses.
In Figure 3, pure deviatoric strains, i.e., isochoric condition, are
applied and stress paths are plotted in the normalized deviatoric
plane. The plots indicate that some stress paths deflect towards
triaxial extension and compression modes. The less the
maximum dilatancy angle the more is the deflection. At failure,
the stress paths are therefore different from the principal strain
rate increment directions, hence generally non-coaxial to the
strain increment direction. This non-coaxiality is inherent to the
geometry of the potential surface in the deviatoric plane and
hence distinguished here as geometric non-coaxiality. Often,
typical plots are illustrated for triaxial extension and
compression states. However, the stress paths in between do not
follow the trends of triaxial extension and compression stress
paths as shown in Figure 3. Reasons are
since the plastic potential function is a function of the

major and the minor principal stresses, the intermediate
stress state is not corrected for plasticity. Hence,
touching the Mohr-Coulomb line does not guarantee
that the stress state be a constant.
the geometry of the potential surface causes a drift,

since the normal to the surface is not necessarily coaxial
to the current stress path.
the drift may be amplified by deviatoric nonassociativity.

Considering one of the six sectors in the normalized -plane
(Figure 2), two Mohr-Coulomb lines with friction angles j1
where s = - 13 : , is the deviatoric stress tensor and

p = 13 : is the mean normal stress. The peak friction angle,
j p , is a model parameter and a = c cot j p is called attraction
(Janbu 1973a), where c is cohesion.

The corresponding Mohr-Coulomb type plastic potential
function may be written as
(6)
where maximum dilatancy angle, ymax , is additional model

parameter.
The Lode angle dependent functions qj and qy can be found
(7)
where
j , y =
3 - sin (j p , ymax )
3 + sin (j p , ymax )
(8)
and
p 1
2 q .
6
q is the Lode angle defined here as
q1,2 =
3 3 J
1
q = arcsin - 3/ 23
2 J 2
3
2
1
when ymax = j p , associated flow rule is recovered and plastic
Here, the Mohr-Coulomb criterion is cast into a yield

function. The Mohr-Coulomb criterion can be written in terms
of stress invariants as
6sin j p
3
f =
s : s - qj
(5)
( p + a) 0 ,
2
3 - sin j p
Stresses enclosed within the failure surface are elastic. On the

failure surface, all strains are plastic. Generally, ymax j p .
wherein f is the yield function and g is the plastic potential

function, x, = x .
from trigonometric considerations in Figure 2 as

3j , y
qj , y =
2 j , y sin q1 + sin q2
p=35
Figure 2: One sector of the Mohr-Coulomb surface (normalized by

deviatoric stress at triaxial compression) in deviatoric plane in relation
to a corresponding Mohr-Coulomb plastic potential function. A:
Triaxial compression, B: Triaxial extension.
Kroneckers delta.
The stiffness degradation due to plasticity, C p , is established
from the consistency condition in plasticity theory as
Ce : g , f , : C e
,
(4)
Cp = f , : Ce : g ,
3
2sin ymax
s : s - qy
: ,
2
3 - sin ymax
is considered; where the shear modulus G and Poissons ratio,

v , are elasticity parameters; and dij is the so called
g=
(9)
and j2 make an angle of
3 wj 2 4 + wj21 - 4wj1 - wj1 4 + wj2 2 - 4wj 2
a = arcsin
2
2
4
+
+
1
w
w
1
w
w
(
)(
)
j
j
j
j
1
1
2
2
(11)
with each other. This angle introduces deviatoric nonassociativity when the yield function and the plastic potential
function assume different angles, which is the case for nonassociated flow. Deviatoric associativity may be achieved
simply by considering qy = qj .
(10)
where J 3 = det s , J 2 = 12 trs 2 (det = determinant, tr = trace).

For triaxial compression and extension deformation modes, the
Lode angle, q , is p 6 and - p 6 respectively.
668

th
0.6
160
1.5
0.6
80
0
-1.5
40
1.5
p=350, max=00
p=350, max=50
0
-1.5
sin ym = -
0 0.02 0.04 0.06 0.08 0.1
800
600
q
400
0
-1.5
1.5
200
p=350, max=350
0
-1.5
30
sin jm - sin jc
,
1 + sin jm sin jc
(15)
where jc is the critical state friction angle.

Consequently, the stiffness degradation due to plasticity is given
by
Ce : g , f , : Ce
Cp = .
(16)
f , : Ce : g , - H
1000
1.5
20
The mobilized dilatancy angle is calculated from Rowes stressdilatancy relationship, which in assuming sign convention of
soil mechanics, is given by
q 200
100
10
0.6
0
1.5
0.2
0.4
sinm
Figure 4: a) Hardening rule: mobilization of the sine of friction angle

with plastic shear strains b) Plot of mobilized dilatancy angle with
mobilized friction angle according to Rowes stress-dilatancy rule.
400
-0.2
0
300
-1.5
0
0 0.02 0.04 0.06 0.08 0.1
1.5
0.2
0.2
0
-1.5
0.4
0.4
sinm
sinm
120
0 0.02 0.04 0.06 0.08 0.1
Figure 3: Plots of isochoric stress paths (for radial isochoric strain

increments, a) in a deviatoric plane (normalized by mean normal stress)
b) p-q plane and c) shear strain deviatoric stress plot, for an elastic
perfectly plastic Mohr-Coulomb model with a Mohr-Coulomb plastic
potential function. For all simulations G=5000kPa and v=0.3 are used.
The term, H , added here is called hardening modulus and is

obtained as
2
2
(17)
H = G p (1 - hm ) d g p f ,sin jm : g , ,
3
80
1.5
60
q 40
This, however, will not fully solve the drift problem as

illustrated in simulations using ymax = j p , i.e., associated
0
-1.5
plasticity (Figure 2).

4
0
-1.5
SIMPLE ELASTIC PLASTIC HARDENING MOHRCOULOMB MODEL
1.5
To formulate a simple hardening model, the peak friction angle,

j p , and the maximum dilatancy angle, ymax , in Equations (5)
0.008
160
120
q
0
mobilized dilatancy angle, ym , respectively (see Figure 4). The

increment of the sine of the mobilized friction angle is related to
the plastic shear strain increment according to
p (1 - h )2 d g p ,
d sin j = G
(12)
-1.5
80
0
p=350, c=300
40
1.5
0
-1.5
p = G p p , h = sin j sin j , G p
where G
m
m
p
0.004
200
and (6) are replaced by mobilized friction angle, jm , and
p=300, c=300
20
1.5
is a model
0.008
300
1.5
parameter, called plastic shear modulus and d g is the plastic

shear strain increment and here is defined as
3
(13)
d g p = tre p 2 ,
2
where e p = p - 13 p : is the plastic deviatoric strain rate
tensor.
The plastic volumetric strain increment, d evp = d p : , is
calculated as
d evp = sin ym d g p ,
(14)
where sin ym is the mobilized dilatancy angle.
p
0.004
200
q
0
-1.5
100
0
1.5
p=350, c=00
0
-1.5
0.004
0.008
Figure 5: Effective stress path plots for radial isochoric strain

increments, a) deviatoric plane (normalized by mean normal stress), b)
p-q plane, c) deviatoric strain-deviatoric stress, for elastic plastic MohrCoulomb model with Mohr-Coulomb plastic potential function. For all
simulations G=30000, Gp=30000 and v=0.3 are used.
669
th
where f ,sin jm = f sin jm . When hm = 1 , Equations (4) and

(16) are identical which means that all strains are then plastic.
As shown in Figure 5 the isochoric stress paths now start
drifting early towards triaxial extension and compression
modes. As plasticity starts early on, the drift is severe in the
case of this simple hardening model. A drift of such an extent is
not observed experimentally.
Associated flow rule can be retrieved by putting jc = 00 such
80
q
0
-1.5
1.5
0.004
0.008
200
160
120
q
Isotropy and radial mapping
As shown herein before, Mohr-Coulomb type plastic potential

function introduces unrealistic drift in stress path for radial
strain increments. For an initially isotropic state, such a drift is
not supported by experiments. True triaxial tests show that for
an initially isotropic state and proportional loading, stress paths
are nearly radial. Hence, radial mapping may be a reasonable
assumption. Radial mapping can be interpreted that plastic
strains orient themselves towards isotropic stress state (i.e.,
radial to the hydrostatic axis). Coaxiality is maintained between
principal strain increments and principal stresses for radially
proportional loading paths.
Radial mapping can be easily achieved by considering Lode
angle independent potential functions. For pressure sensitive
materials like soils a function of the Drucker-Prager type,
ensures radial return.
In Figure 6, responses of an elastic perfectly plastic model with
a Mohr-Coulomb yield function and Drucker-Prager plastic
potential function are plotted. As shown in the plots, isotropic
radial strain increments produce radial stress paths. There is no
deviatoric drift. The strength variation in between triaxial
extension and compression is captured. Notice, however, the
minimum strength is not due to triaxial extension but an inbetween state that is located at the shortest distance from the
hydrostatic axis. Figure 7 illustrates response of the simple
hardening model with a Drucker-Prager plastic potential
function to isochoric radial strain increments. The response in
the deviatoric plane remains radial and the plots in p-q plane
and -q plane are smooth.
5.2
p=350, max=00
1.5
0
RADIAL MAPPING AND A POSSIBLE

GENERALIZATION
Radial mapping has been used by a number of authors (e.g.,

Benz 2007, Tsegaye1 2010, Tsegaye et al. 2012). The
implication of radial mapping is next investigated for the
elastoplastic models considered in sections 3 and 4.
5.1
40
0
-1.5
that ym = jm . The plots shown in Figure 5 demonstrate that

associated flow rule is not a solution to the drift problem.
Moreover, isochoric effective stress paths in the p-q plane are
highly unrealistic.
5
120
1.5
Anisotropy and radial mapping
Anisotropy can be due to fabric constraint and/or induced by

loading history, for example during deposition. It is important to
remark here that if a generalization is to be made, at this stage it
rests on very limited experimental data. For example
considering the tests by Jafarzadeh et al. (2008), if each test was
performed on a sample prepared at a different initial void ratio,
stress path contours at constant deviatoric strain may not give a
correct picture of the deviatoric response contours.
1
Previous papers by the first author are published under the last
name Tsegaye.
670
-1.5
80
0
p=350, max=50
40
1.5
0
-1.5
0.004
0.008
Figure 6: Plots of isochoric stress paths (for radial isochoric strain

increments, a) in a deviatoric plane (normalized by mean normal stress)
b) p-q plane and c) shear strain deviatoric stress plot, for an elastic
perfectly plastic Mohr-Coulomb model with a Drucker-Prager plastic
potential function. For all simulations G=5000kPa and v=0.3 are used.
50
1.5
40
30
q
20
0
-1.5
1.5
p=300, c=300
10
0
-1.5
1.5
0.004
0.008
80
60
q 40
0
-1.5
1.5
20
p=350, c=300
0
-1.5
0.004
0.008
Figure 7: Effective stress path plots for radial isochoric strain

increments, a) deviatoric plane (normalized by mean normal stress), b)
p-q plane, c) deviatoric strain-deviatoric stress, for an elastic plastic
Mohr-Coulomb model with Drucker-Prager plastic potential function.
For all simulations G=30000 kPa, Gp=30000 kPa and v=0.3 are used.
Aside from that, the following observations could be noted.
Initial anisotropy fades away during plastic deformation
At larger mobilizations the critical state surface is not

significantly affected by anisotropy.
The use of radial mapping for anisotropic initial stress state
yields
non-coaxial principal stress and principal strain

increments. Since the direction of plastic strains is
known a priori, the degree of non-coaxiality can be
calculated as a state variable.
fading memory of anisotropy and non-coaxiality with

plastic distortion.
mechanica 64 (1-2), 19-29.
Benz, T.: Small-strain stiffness and its numerical consequences.

PhD Thesis. Stuttgart University. Germany (2007).
Technical Committee 103 / Comit

technique
103
Gotechnique
20 (2),
129-170.

th
M. and
and Wang
J. 2009. Non-coaxial
Rowes stressProceedings of the 18 International Conference on SoilGutierrez,
Mechanics
Geotechnical
Engineering,version
Paris of
2013
dilatancy relation. Granular Matter 11 (2), 129-137.
A more general approach may be devised by establishing a focal
granular materials. Soils and Foundations 2000; 40 (2):4959..
point for the direction of plastic strain increments. For example,
Jafarzadeh,
F, Javaheri, H, Sadek, T. and Muir, Wood. D, 2008.
if the center of the Drucker-Prager surface is shifted due to
Simulation of anisotropic deviatoric response of Hostun sand in
anisotropy, an evolution rule can be established such that the
true triaxial tests. Computers and Geotechnics 35 (6), 703-718.
anisotropic center moves towards the hydrostatic axis as plastic
Janbu N. 1973a. Shear strength and stability of soils, the applicability of
deviatoric strains accumulate.
the Colombian material 200 years after the ESSAI, in Norsk
geoteknisk forening. Oslo: Norwegian Geotechniccal Institute, 16 CONCLUSION
47.
Pande G.N, Pietruszczak S. 1986. Symmetric tangential stiffness
Due to advances in finite element packages, many soil models
formulation for non-associated plasticity. Computers and
are implemented in general stress-strain space. Often however
limited stress-strain paths are plotted to demonstrate model
responses. In this paper, considering two simple models, stress
paths are plotted in the deviatoric plane. When a MohrTaylor, D.W. (1948). Fundamentals of soil mechanics. New York:
Coulomb type plastic potential function is implemented,
J.Wiley and Sons.
unrealistic drift of stress paths towards triaxial extension and
compression states is observed. The drift may be corrected by
using radial mapping in the deviatoric plane. The possible
21-22, 3425-3452.
consequence of radial mapping during anisotropic initial stress
Tsegaye, A.B. 2010. Plaxis liquefaction model. Report No.1 Plaxis,
state is discussed.
b.v., Delft, the Netherlands.
Tsegaye, A.B., Brinkgreve, R. Bonnier, R. Galavi, V. Benz, T. 2012. A
7 REFERENCE
simple effective stress model for sands-multiaxial formulation and
evaluation. Sec. Int. Conf. on Performance -Based Design in
Earthquake Geotechnical Engineering.
mechanica 64 (1-2), 19-29.
Tsegaye, A.B., Nordal S. and Benz T. 2012. On shear volume coupling
Benz, T.: Small-strain stiffness and its numerical consequences.
PhD Thesis. Stuttgart University. Germany (2007).
Yamada, Y. and Ishihara, K. 1979. Anisotropic deformation
characteristics of sand under three dimensional stress conditions.
Gotechnique 20 (2), 129-170.
granular materials. Soils and Foundations 2000; 40 (2):4959..
Jafarzadeh, F, Javaheri, H, Sadek, T. and Muir, Wood. D, 2008.
Simulation of anisotropic deviatoric response of Hostun sand in
true triaxial tests. Computers and Geotechnics 35 (6), 703-718.
Janbu N. 1973a. Shear strength and stability of soils, the applicability of
the Colombian material 200 years after the ESSAI, in Norsk
geoteknisk forening. Oslo: Norwegian Geotechniccal Institute, 147.
Pande G.N, Pietruszczak S. 1986. Symmetric tangential stiffness
formulation for non-associated plasticity. Computers and
Taylor, D.W. (1948). Fundamentals of soil mechanics. New York:
J.Wiley and Sons.
21-22, 3425-3452.
Tsegaye, A.B. 2010. Plaxis liquefaction model. Report No.1 Plaxis,
b.v., Delft, the Netherlands.
Tsegaye, A.B., Brinkgreve, R. Bonnier, R. Galavi, V. Benz, T. 2012. A
simple effective stress model for sands-multiaxial formulation and
evaluation. Sec. Int. Conf. on Performance -Based Design in
Earthquake Geotechnical Engineering.
Tsegaye, A.B., Nordal S. and Benz T. 2012. On shear volume coupling
Yamada, Y. and Ishihara, K. 1979. Anisotropic deformation
characteristics of sand under three dimensional stress conditions.
671
Modlisations de linteraction sol-pieux pour le calcul dimpdances dynamiques

Numerical modelling of soil-pile interaction and evaluation of dynamic impedances
Breugnot A., Allagnat D.
Egis Gotechnique, Grenoble, France.
Baguelin F., Schlosser F.

Experts, Fondasol, Paris, France.
Osmani E., Servant C.

Eiffage, Neuilly s/Marne, France.
RSUM : Pour le projet du Grand Stade de Lille, deux mthodes ont t appliques pour dterminer les impdances des pieux sous
les sollicitations dynamiques. Ces mthodes, qui tiennent compte du comportement fortement non-linaire des sols, selon une loi de
dgradation des modules en fonction de la distorsion, sont prsentes pour limpdance horizontale, et leurs rsultats compars. La
premire, mthode analytique simplifie, a fourni les valeurs de projet de ltude dinteraction sol-ouvrage. Celles-ci ont t valides
par la deuxime mthode, qui est une modlisation numrique tridimensionnelle par diffrences finies (Flac3d).
ABSTRACT: For the Grand Stade de Lille project, the dynamic impedances of piles have been determined by two different methods.
They both account for the non-linear behaviour of soils, as described by a modulus reduction curve with respect to shear strain. They
are presented for the case of the horizontal impedance and their results are compared. The first method, which is simplified and of
analytical type, has provided the design values for the soil-structure interaction analysis. These values have been validated by the
second method, which is a three-dimensional numerical modelling using finite differences (Flac3d)
MOTS-CLeS : Fondation, pieux, impdance, dynamique, interaction sol-structure, modlisation numrique.
KEYWORDS: Foundation, pile, impedance, dynamic, soil-structure interaction, numerical modelling
INTRODUCTION
Dans le cadre des tudes des fondations du Grand Stade de Lille

Mtropole, Eiffage a confi aux bureaux dtudes gotechniques
Fondasol et Egis Gotechnique la mission de dtermination des
impdances dynamiques des pieux.
Cette tche a t conduite en deux temps, utilisant deux
approches diffrentes:
des modles analytiques simplifis ont dabord t
labors par Fondasol, et ont permis de donner
rapidement des valeurs de rfrence, Krf.
ensuite, une vrification par modlisation numrique a
t ralise par Egis Gotechnique laide du logiciel
Flac3D (diffrences finies, Itasca 2009).
Dans cet article, on se limite la question de la
dtermination des impdances horizontales Kx . La gologie et
les caractristiques gomcaniques du site, les systmes de
fondations sur pieux sont dabord prsents. Puis on expose,
successivement pour la mthode analytique et pour la
modlisation numrique, les mthodologies de calcul et les
valeurs obtenues pour Kx , avec une comparaison des rsultats.
combles ont t rencontres (boulis crayeux, coulis de

remplissage). En de, des marnes compactes ont t reconnues.
Le niveau de nappe est situ plus de 10m de profondeur
par rapport au toit de lhorizon crayeux.
1.2
Louvrage est fond sur des pieux fors, de longueur 15 20m,

dont la tte correspond au toit de lhorizon crayeux et dont
lancrage se situe au-del des terrains dcomprims par la
prsence danciennes galeries, partiellement combles par un
coulis de remplissage. Les pieux, au nombre de 821, se
rpartissent en 297 pieux de diamtre 0,52m, 132 de diamtre
0,62m, 215 de diamtre 0,72m et 177 de diamtre 0,92m. Au
droit de chacun des quatre poteaux (appels mga-poteaux )
supportant lensemble de la charpente, le systme de fondation
est compos dun groupe de 8 pieux de diamtre 0,92m,
disposs selon un cercle de 6,4m de diamtre. Ces pieux sont
considrs parfaitement encastrs dans la semelle. A linverse,
les pieux des autres fondations sont considrs comme articuls
en tte.
1.3
2
1.1
CONTEXTE
Gologie
Le site dimplantation du Grand Stade de Lille prsentait en

surface, sur une paisseur de lordre de 6m, des formations
superficielles (limons, sables et remblais), qui ont t
intgralement dcaisses jusqu la tte dun horizon crayeux
compact. Dans la couche de craie sableuse marneuse dune
paisseur de 15 17m environ, des galeries partiellement
673
Fondations
Donnes gotechniques
Les campagnes de reconnaissances gotechniques initiales ont

t compltes par des investigations destines :
- dune part obtenir les paramtres gotechniques de type
dynamique, notamment les modules de sol aux faibles
dformations. Ainsi 3 sondages cross-hole ont t raliss.
- dautre part effectuer un zonage plus prcis du module
pressiomtrique Em , base de lestimation des modules de sols
aux dformations habituelles, de lordre du pourcent. Pour ce
faire, 36 sondages pressiomtriques ont t raliss.
Les modules pressiomtriques Em, donnent les modules
statiques, dYoung Estat et de cisaillement Gstat par :
2.Em
Estat
(1)
2.(1)
Le paramtre est le coefficient rhologique de la mthode
pressiomtrique. Le coefficient de Poisson a t fix 0.33.
Dans le domaine des trs petites dformations, de lordre de
10-5, les essais cross-hole permettent de dduire le module de
cisaillement maximal Gmax et le coefficient de Poisson partir
des vitesses des ondes de cisaillement Vs et de compression Vp ,
et de la masse volumique selon les Equations 2.
Estat
Gstat
Gmax . VS
2 V p2 / Vs2
(2)
2 2 V p2 / Vs2
La corrlation entre Gmax et le module pressiomtrique Em a

donn dans la majorit des cas un rapport Gmax/Em denviron 9,
valeur classique, mais, en partie suprieure de lhorizon
crayeux, on a observ sur deux sondages, entre 5m et 15m de
profondeur, des valeurs plus leves, de 20 ou plus.
Les proprits mcaniques permettant de caractriser la
dformabilit des matriaux en statique ou trs petites
dformations sont rcapitules dans le Tableau 1 pour la zone
Sud, une des 3 zones dfinies partir des sondages cross-hole.
Un zonage plus prcis, comportant 7 zones, a t tabli partir
des sondages pressiomtriques.
Tableau 1. Synthse du modle gotechnique dfini pour la zone Sud de
louvrage.
Craie
tendre
Craie
sableuse
Marne1
(kg/m3)
1800
1900
2000
2000
Vs (m/s)
510
870
830
640
470
1440
1380
820
(-)
0.38
0.38
0.42
0.44
Em (MPa)
50
120
150
150
(-)
1/2
2/3
2/3
2/3
Estat (MPa)
200
360
460
460
70
130
160
160
Mthodologie de calcul
Dans la mthode analytique, lvaluation de limpdance

horizontale Kx a t dveloppe partir de deux bases :
a) La solution du pieu infiniment long, de diamtre B, soumis
une charge horizontale Fx en tte, avec un module de
raction k constant, reliant une profondeur donne la
raction p et le dplacement horizontal ux . Le pieu est soit
articul en tte, soit encastr dans le chevtre sans rotation.
ou
p=Kf/B.ux
(3)
La solution (a) donne la longueur lastique de transfert L0 et

le dplacement en tte ux0 , le moment maximal Mmax , et
limpdance Kx , en fonction de Kf , du module du bton du
pieu Eb (=30000 MPa) et du module dinertie I (=B4/64):
(4)
L0 = [4 Eb.I/Kf]0.25
ux0 = n Fx /L0/Kf
n={2 ;1}
(5)
Mmax = m Fx L0
m={0.32 ;1}
(6)
Kx = Kf L0 /n
n={2 ;1}
(7)
Par convention dcriture, le paramtre n ou m prend la

premire valeur entre crochets {} pour le pieu articul en tte, la
deuxime valeur pour le pieu encastr en tte.
Ltude (b) donne la distorsion au bord du pieu et permet
de la relier au dplacement ux0 . Aprs diverses transformations
des quations originelles, on obtient les relations :
Gstat
(MPa)
2.1
METHODE ANALYTIQUE VALEURS DE PROJET
b) Ltude thorique du mcanisme de raction latrale des

pieux (Baguelin, Frank, Sad, 1977).
Gmax
(MPa)
p=k.ux
Marne
2
Epaisseur
(m)
Figure 1. Loi de dgradation des modules simplifie.
= ux0/B.2(1+)/.s
(8)
s = 0.808 +0.265 Ln(k L0 /B)

Pour les dformations intermdiaires, on fait appel une
interpolation suivant une loi dite de dgradation des modules,
indique ci-aprs.
1.4
Loi de dgradation des modules
Pour les deux approches, mthode analytique et modlisation

numrique, et dfaut de donnes bibliographiques concernant
lvolution du module lastique dans les craies et les marnes, la
loi simplifie illustre la Figure 1 a t retenue pour tous les
sols. Les seuils de distorsion sont : max = 10-5 et stat = 10-2.
Dans ces conditions, la loi est caractristique dun matriau de
type sable ou argile peu plastique .
674
k={7/15;12/15}
(9)
Pour un effort en tte donn Fx , on tient compte de la nonlinarit des modules (loi de dgradation) par un processus
itratif. La valeur initiale de Kf est la valeur statique Kf(stat)
habituelle (courte dure dapplication), donne par la mthode
pressiomtrique, en prenant en compte une valeur moyenne du
module Em sur la couche superficielle, sur 2 4m dpaisseur :
K f ( stat )
12 Em
4
0.6
max(0.6; B)

2.65
3 max(0.6; B)
0.6
(10)
On obtient une premire valeur 1 de la distorsion, en

gnral infrieure la valeur stat du diagramme de la loi
dgradation (Figure 1), ce qui donne un coefficient
multiplicateur M1 , que lon applique au module Kf(stat) :
M1 = G{1}/G{stat}
(11)
Kf,1 = M1 . Kf(stat)
(12)
On continue par itrations : partant de Mi-1 et de Kf,i-1 , on

obtient Mi et Kf,i = Mi . Kf(stat) la ime itration. Il suffit en
gnral de 4 ou 5 itrations pour obtenir la convergence mieux
de 1/1000. Avec les donnes du projet, la valeur finale de M
sest tablie entre 4 et 7, selon les zones et les efforts appliqus,
avec en particulier un rapport Gmax/Em trs variable.
Une mthode statique et une mthode dynamique sont

tudies conjointement dans le but de calculer les raideurs
dynamiques des fondations sur pieux, en tenant compte la fois
de la stratification dtaille du sol, du torseur deffort induit
dans les fondations et des frquences des modes de rponse de
la structure.
Le logiciel Flac3D (diffrences finies) (Itasca 2009) est
utilis pour la modlisation numrique. Une illustration du
modle est donne Figure 2.
M
2.2
Application au projet
Tz
Le Tableau 2 montre quelques rsultats fournis comme valeurs

de rfrence pour le projet. Pour les mgapoteaux, un
coefficient deffet de groupe de 0.75 0.8 a t propos sur la
base des rgles du Fascicule 62 titre V du CCTG.
Tx
Tableau 2. Exemples de valeurs de rfrence de la raideur horizontale

condition
en tte
encastr
diamtre
mgapoteau SO
0.92 m
60 MPa
20
Fx (pieu isol)
200 kN
400 kN
Raideur Kx
3903 MN/m 3325 MN/m
pieu zone AF
0.52 m
0.72 m
0.92 m
15 MPa
"
"
"
"
"
162 MN/m
304 MN/m
480 MN/m
99 MN/m
239 MN/m
402 MN/m
0.52 m
0.72 m
0.92 m
50 MPa
"
"
"
"
"
540 MN/m
926 MN/m
1409 MN/m
436 MN/m
792 MN/m
1238 MN/m
0.52 m
0.72 m
0.92 m
70 MPa
"
"
"
"
"
739 MN/m
1250 MN/m
1890 MN/m
612 MN/m
1084 MN/m
1676 MN/m
pieu zone AD
articul
pieu zone AM
Em
Gmax /Em
Figure 2. Modle numrique des fondations constitues dun groupe de

pieux et reprsentation dun torseur appliqu.
La comparaison des valeurs de Kx issues du modle

analytique et de celles issues de la modlisation numrique est
fournie en fin du 3.
Les valeurs de Kx relatives un effort moyen Fx=200kN ont
t retenues, et une fourchette a t applique aux valeurs de
rfrence : Kx(min)=2/3.Kx(rf.) et Kx(max)=1.5 Kx(rf.). Il a
t propos de ngliger lamortissement.
A lissue de ltude dinteraction, les pieux ont t vrifis
vis--vis de leffort {N, M, T}, combinant une composante
statique correspondant aux efforts permanents et une
composante dynamique. La variation de ces grandeurs avec la
profondeur le long du pieu est telle que la valeur maximale a
lieu en tte, sauf pour le moment dans le cas du pieu articul.
Dans le cas gnral, il est donc ais de combiner les valeurs en
tte des deux composantes pour obtenir la valeur maximale
rsultante. Il nen va pas de mme pour le moment du pieu
articul en tte, le moment maximal (Eq. 6) a lieu la
profondeur zmax= /4.L0 , fonction de la longueur lastique L0 ,
et la valeur la profondeur z dpend aussi de L0 et elle est
donne par :
M ( z ) Fx L0 exp( z / L0 ) sin( z / L0 )
(13)
Les longueurs lastiques L0 tant diffrentes pour les deux

composantes, il faut associer deux fonctions de z pour
dterminer le moment maximal et sa profondeur correspondant
la combinaison statique + dynamique.
3 MODELISATION NUMERIQUE VALIDATION DES

VALEURS DE PROJET
3.1
Mthodologie de calcul
Les impdances de fondation, ou ressorts quivalents, K, sont

dfinies comme le rapport entre leffort (force ou moment)
appliqu en tte de fondation P, et le dplacement correspondant
U (translation ou rotation) :
K
P
U
Dans le calcul statique, la prise en compte de la non linarit

du comportement du sol repose sur un processus itratif
permettant dvaluer, pour un chargement donn, la distorsion
et le module associ dans chaque maille de sol du modle
numrique 3D, par application de la loi de dgradation
(Figure 1). Lhypothse dlasticit est vrifie a posteriori. La
rsistance la traction dans le sol a t annule de telle faon
que linteraction pieu-sol ne fasse pas intervenir de traction. Le
bton des pieux est modlis par une loi lastique linaire
caractrise par les proprits instantanes du bton :
Ebton = 32 500 MPa ; bton = 0.2 ; bton = 2500 kg/m3.
Les variations du taux de distorsion et du module de
cisaillement G dans le sol autour de la tte dun pieu sont
illustres Figure 3, dans le cas dun pieu soumis un effort
horizontal. A noter que la dgradation du module lastique nest
significative que sur les premiers mtres de sol (sur une
paisseur de lordre de 2.5 5B).
Figure 3. Reprsentation du taux de distorsion et de la dgradation du

module de cisaillement G induit par la non-linarit du comportement
du sol.
Dans le calcul dynamique, un dplacement harmonique u(t)

de pulsation (voir Eq. 15) est impos en tte de fondation et
la raction correspondante p(t) est calcule. Les fonctions
dimpdances K() sont des nombres complexes, et sont
dfinies comme le rapport des transformes de Fourier de la
raction p(t) et du dplacement impos u(t) (Eq. 15).
u t A.sin .t
K ()
TF u (t)
TF p (t)
(15)
Dans ce contexte, la fondation est reprsente par un ressort

coupl un amortisseur, dfinis pour chaque pulsation teste.
(14)
675
Dans ce qui suit, seules les raideurs frquentielles seront

prsentes.
Les modules lastiques introduits dans un calcul dynamique
sont ceux issus dun calcul statique correspondant, en tenant
compte que le modle retenu est lastique dans lapproche
dynamique. Lamortissement interne du sol (classiquement de
lordre de 2 10 %) est modlis par un amortissement
visqueux de type Rayleigh.
3.2
Rsultats dimpdance horizontale Kx . Comparaison des

valeurs des deux mthodes
Le Tableau 3 montre les valeurs de limpdance statique Kx

donnes par les deux mthodes, analytique et numrique, pour
un pieu isol, avec des paramtres gotechniques moyens
correspondant la zone Sud.
Tableau 3 : Raideurs statiques Kx (en MN/m).
galement t dveloppe pour ce paramtre, donnant des

valeurs projet se situant environ 120% des valeurs de la
modlisation numrique pour les pieux isols. Mais pour les
pieux en groupe des mgapoteaux, dans lapproche simplifie,
le coefficient defficacit a t estim 0.75 daprs les rgles
du Fascicule 62 titre V du CCTG, alors que la modlisation
numrique aboutit environ 0.66. Il en rsulte une
surestimation denviron 36% par les valeurs de projet.
Lincidence sur leffort vertical dinteraction Fz est moindre
(moins de 10%).
En ce qui concerne les fondations supportant les mgapoteaux (groupe de 8 pieux), linfluence de la frquence sur le
calcul des impdances nest pas plus significative que pour un
pieu isol (voir Tableau 5).
Tableau 5 : Impdance dynamique (en MN/m) du mode de translation
verticale (Fz = 600 kN) pour un groupe de 8 pieux de la zone Sud de
louvrage.
200kN
400kN
400kN
EffortFx
articule
articule
encastre
Liaison
di amtreB mthode analytique numrique analytique numrique analytique numrique
0.52m
337
380
282
340
0.92m
854
800
762
730
1661
1310
Il savre que les valeurs de la mthode analytique se situent

entre 83% et 107% des valeurs statiques de la modlisation
numrique. Elles rentrent donc dans la fourchette 66% - 150%
prise en compte dans les calculs dinteraction fondationsouvrage.
En ralit, les valeurs de projet ont t lgrement
diffrentes des valeurs thoriques de la mthode analytique. La
raison en est que le paramtre s (Eq. 9) a t fix partir dune
valeur moyenne du rapport L0/B en statique, alors que, dans la
mthode, il doit dcouler dune valeur L0/B dynamique,
rsultant des itrations. Pour leffort Fx=200 kN , retenu en
projet pour tous les types de pieux, il en rsulte une sousvaluation des valeurs projet , denviron 5% pour le pieu
articul, denviron 12% pour le pieu encastr. Les valeurs
projet ne sortent donc pas de la fourchette admissible.
A noter galement que la liaison en tte des pieux (fonction
des dispositions constructives permettant la transmission des
moments) est un paramtre majeur du calcul.
Par ailleurs, le coefficient de groupe pour les fondations des
mgapoteaux a t estim 0.85 en projet, alors quil a t
calcul 0.55 par la modlisation numrique, donnant au final
un rapport 1.65 entre valeur de projet et valeur de la
modlisation numrique, rapport qui dpasse lgrement la
limite suprieure de la fourchette de tolrance.
Le tableau 4 donne les valeurs de limpdance dynamique
donnes par le calcul dynamique dans la gamme de frquence
[0.5 Hz 5 Hz].
Tableau 4 : Impdance dynamique Kx (en MN/m) pour Fx = 400 kN et
un pieu articul
Frquence :
0.5 Hz
2 Hz
5 Hz
B =0.92m
690
720
720
0.5 Hz
2 Hz
5 Hz
dpieux =0.92m
(8 pieux)
24 000
23 900
23 400
CONCLUSION
La mthode analytique simplifie labore par Fondasol pour la

dtermination de limpdance horizontale Kx des pieux tient
compte de la loi de dgradation des modules de sol. Elle
sapplique des pieux avec des conditions de liaison en tte
simples (articulation ou encastrement sans rotation) et elle
ncessite la connaissance, en tte de pieu, du module
pressiomtrique et du module Gmax aux trs petites
dformations. Elle a fourni les valeurs de projet des 821 pieux
de louvrage.
La modlisation numrique tridimensionnelle mise en uvre
par Egis Gotechnique laide du logiciel Flac3D permet de
tenir compte du comportement non linaire et de la stratification
dtaille des sols, des gomtries complexes (effet de groupe) et
de leffet inertiel dune sollicitation dynamique. Elle a permis
de valider les valeurs de projet proposes. La faible incidence
de la frquence sur la valeur de limpdance, dans le domaine
des basses frquences, pertinentes pour linteraction fondationsouvrage, a pu tre dmontre.
5
REFERENCES
Baguelin, F., Frank, R., Sad, Y.H. (1977), "Theoretical study of lateral
reaction mechanism, Gotechnique 27, No.3, pp.405-434
Fascicule 62 titre V du CCTG (1993), Rgles techniques de conception
et de calcul des fondations des ouvrages de Gnie Civil, Ministre
de lEquipement, du Logement et des Transports.
Itasca Consulting Group. 2009. Flac3D v4.0. Theory and Background.
Dynamic analysis. Minneapolis, Minnesota USA.
On voit que linfluence de la frquence sur la valeur de

limpdance horizontale reste limite, environ 5%, dans le
domaine des basses frquences qui donne des efforts
dinteraction significatifs sur les fondations. Ceci justifie a
posteriori de lavoir nglige en valeurs Kx projet .
Lamortissement correspondant au mode de translation
horizontal reste limit (<2%) sur le domaine frquentiel tudi.
3.3
Frquence :
Autres rsultats de la modlisation numrique
La modlisation numrique a fourni aussi des rsultats pour

limpdance verticale Kz , correspondant un mode de
translation verticale. Une approche analytique simplifie a
676
Validation of geotechnical finite element analysis

Validation d'analyse par lments finis pour la gotechnique
Brinkgreve R.B.J.
Delft University of Technology & Plaxis bv, Delft, The Netherlands
Engin E.
Plaxis bv, Delft, The Netherlands
ABSTRACT: The use of the Finite Element Method for geotechnical analysis and design has become quite popular. It is often the
younger generation of engineers who operate easy-to-use finite element programs and produce colourful results, whilst the responsible
senior engineers find it difficult to validate the outcome. The NAFEMS Geotechnical Committee has concluded that there is a need
for guidelines on validation of geotechnical finite element calculations. The first author is a member of this committee and the main
author of a reference document on validation of numerical modelling in geotechnical engineering. This paper contains the highlights
of the aforementioned document. After defining the term Validation, sources of discrepancies between a real project and its
corresponding finite element model are described. In addition, the paper presents various methods to validate geotechnical finite
element calculations. The paper ends with some conclusions and a list of references for further reading.
RSUM : L'utilisation de la mthode des lments finis pour l'analyse et la conception en gotechnique s'est gnralise. C'est
souvent la plus jeune gnration d'ingnieurs qui utilise des programmes d'lments finis et produit des rsultats avec des figures
pleines de couleurs, quand les ingnieurs seniors trouvent difficile la validation de ces rsultats. Le comit gotechnique NAFEMS a
conclu que des recommandations pour la validation des calculs gotechniques utilisant les lments finis sont ncessaires. Le premier
auteur est un membre de ce comit et l'auteur principal d'un document de rfrence sur la validation des modlisations numriques en
gotechnique. Cet article contient les points principaux de ce document. Aprs la description du terme Validation, les sources de
divergence entre un projet concret et le modle lment fini correspondant sont dcrites. De plus, cet article prsente des mthodes
varies pour valider des calculs lments finis en gotechnique. L'article se termine par les conclusions et une liste de rfrences pour
une lecture approfondie.
KEYWORDS: Finite element method (FEM), validation, verification, benchmark, numerical modelling, discrepancies.
1
Considering the use of geotechnical finite element software,

it is often the younger generation of engineers who perform the
numerical modelling and produce colourful results; sometimes
without fully understanding the backgrounds and limitations of
the constitutive models and the numerical methods used in the
software. Supervisors, i.e. project managers or senior engineers,
often find it difficult to validate the outcome, especially when
these do not match with what they would expect based on their
experience. This leads to the conclusion that there is a need for
guidelines on validation of geotechnical finite element
calculations, which was the primary motivation for the
NAFEMS Geotechnical Committee to write a publication on
validation of finite element models for geotechnical engineering
applications. This paper summarizes the main issues addressed
in the NAFEMS publication.
The next chapter 2 starts with a definition of the term
Validation and other related terms. Before elaborating various
methods of validating finite element models for geotechnical
applications in Chapter 4, an overview of possible discrepancies
between a real project and the corresponding finite element
model is presented in Chapter 3. The last chapter contains the
main conclusions of this paper.
INTRODUCTION
In the past decennia the Finite Element Method (FEM) has been
used increasingly for the analysis of geotechnical engineering
applications. Besides developments related to the method itself
the role of the FEM has evolved from a research tool into a
daily engineering tool. It has obtained a position next to
conventional design methods, and offers significant advantages
in complex situations. However, as with every other method, the
FEM also has its limitations. These limitations are not always
recognized by users of finite element software, which can lead
to unreliable designs.
Despite the development of easy-to-use finite element
programs, it is difficult to create a good model that enables a
realistic analysis of the physical processes involved in a real
project and that provides a realistic prediction of design
quantities (i.e. displacements, stresses, pore pressures, structural
forces, bearing capacity, safety factor, drainage capacity,
pumping capacity, etc.). This is particularly true for
geotechnical applications, because the highly non-linear and
heterogeneous character of the soil material is difficult to
capture in numerical models. When using the finite element
method, soil is modelled by means of a constitutive model
(stress-strain relationship) which is formulated in a continuum
framework. The choice of the constitutive model and the
corresponding set of model parameters are the most important
issues to consider when creating a finite element model for a
geotechnical project. It forms the main limitation in the
numerical modelling process, since the model (no matter how
complex) will always be a simplification of the real soil
behaviour. Hence, some features of soil behaviour will not be
captured by the model.
WHAT IS VALIDATION?
Validation is concerned with the accuracy at which a model

represents reality. In order to use the results from a model
reliably in the design process, a proper validation of the model
is required. Another term that is often used in relation to
validation is Verification. To give more insight in the meaning
677
of validation and verification, the modelling process of Reality

is divided into four steps, as visualised in Figure 1.
In the first step (1) the complex physical reality is abstracted
into a simplified conceptual model. The main aim of this
modelling step is to determine the crucial processes and to
reformulate reality in a conceptual model by applying valid
simplifications such that the main phenomena as observed in
reality are retained in the model.
approximations and errors, it is necessary to identify each of

these components and their role in and contribution to the
discrepancy as a whole. Identifying possible individual
discrepancies may result in an improvement of the model and a
possible reduction of the overall modelling error. It may also
enable a quantification of the variation of design quantities by
considering parameter uncertainties and their possible value
ranges. Discrepancies may be divided into the following
categories: Simplifications, Modelling errors, Constitutive
models, Uncertainties, Software and Hardware issues and
Misinterpretation of results.
3.1
Figure 1. Visualisation of the modelling process from Reality to a

Computer model, and the position of Validation and Verification.
The second step (2) is the translation of the conceptual

model into a mathematical model. The mathematical model is
the mathematical formulation of the processes identified in the
conceptual model. Examples of mathematical models are the set
of partial differential equations describing equilibrium in a
continuum, and the constitutive model (stress-strain
relationship) describing the soil deformation behaviour.
The third step (3) is the translation of the mathematical
model into a numerical scheme. This generally requires a
discretisation of the problem in space and/or time.
The fourth step (4) is the implementation of the numerical
scheme into a computer model using a programming language
or using a modelling package.
The process to verify that a model or method has been
properly implemented in a computer program is called
Verification (b). Validation, on the other hand, is the process to
make plausible that a computer model includes the essential
features for a real situation to be analysed and the results
obtained with the model are representative for the situation in
reality (a).
All the above steps may involve differences between the
computer model and reality. Considering existing dedicated
finite element software packages, it is the developers of such
packages who take most of the above steps and decide about the
mathematical formulation, the numerical schemes and the
implementation of models in their software. Therefore, the
responsibility of software developers mainly lies in the
verification of the software and the proper documentation of the
models and methods implemented in the software. For users of
existing software packages the division of the modelling process
into different steps is still relevant, although their position is
different. Starting from a practical engineering problem, users
first decide about the most relevant phenomena to be modelled
(conceptual model). By using an appropriate software package,
they select, apply and combine several of the implemented
models and methods to create a computer model for their
analysis. It is their responsibility to make plausible that the
model is a good representation of reality. Hence, the process of
validation is primarily their responsibility.
3
SOURCES OF DISCREPANCIES
In this chapter we will focus on the sources of discrepancies

between reality and finite element models. Since a numerical
model involves several components that may introduce
678
Simplifications
Simplifications are the results of modelling choices made by the

user of a software package. These are made in different parts of
the modelling process. Examples of simplifications are:
Geometrical simplifications
Selection of model boundaries
Simplifications in material behaviour
Simplifications in the construction process
For every simplification of reality the user needs to be aware
of its consequences.
3.2
Modelling errors
In addition to the aforementioned simplifications there is a

variety of other sources of modelling errors. Some of these can
be reduced when they are recognized; some can even be
completely avoided. Examples of modelling errors are:
Input errors
Discretisation errors (meshing)
Boundary conditions
Time integration
Tolerances (tolerated numerical errors)
Limitations in theories and methods (e.g. smalldeformation theory)
The process of validation can help to identify and quantify
such modelling errors.
3.3
Constitutive modelling
Probably the most important part of the numerical modelling

process is the selection of the constitutive model the
determination of the corresponding model parameters. Real soil
behaviour may involve several features that can be observed
and measured in lab tests and in situ, but which are still difficult
to capture in a homogenized continuum formulation. Apart from
the limitations of the constitituve models themselves with
respect to real soil behaviour, some typical issues related with
different aspects of constitutive modelling are highlighted here:
Non-uniqueness related to non-associated plasticity and
strain-softening
Undrained behaviour
Unsaturated behaviour
Software developers need to properly document the
constitutive models used in their software, whereas users need
to be aware of the typical issues related to constitutive
modelling in general and the possibilities and limitations of the
models used in their applications.
3.4
Uncertainties
In the aforementioned sections it was assumed that the

behaviour in reality would be fully known and that modelling
discrepancies are the result of the modelling process only. The
fact is that there are many aspects in a real project that are not
completely known (yet) or which cannot be measured
accurately. In other words, there are uncertainties about what
we need to model precisely to reflect the real construction
process and the conditions that are applied to the real structure
during its lifetime. Examples of uncertainties are:
Lack of soil data
Spatial variation of soil properties

Loading conditions during an earthquake
Future developments around the project to be designed
Design versus the actual construction
In order to deal with uncertainties, various methods are
available, such as:
Global safety factor approach
Partial factor approach
Probabilistic analysis
Parametric analysis
Users of finite element models in which such methods have
been implemented need to be aware of the possibilities and
limitations of these methods.
3.5
Software and hardware issues
Although some models or processes may seem to be uniquely

described by their mathematical model, the outcome of these
models or processes, when implemented in computer software,
might deviate from their original formulation; either
deliberately or by accident. Here, the focus is on specific
software and hardware issues that might lead to discrepancies in
the outcome of a computer model which cannot immediately be
influenced by users because they are
result of specific implementations made by the
developers of the software
result of the used operating system
result of the used computer configuration.
Examples of such software or hardware issues are:
Bugs (programming flaws in the application software)
Specific implementations of models (for example
rounding-off the corners of the Mohr-Coulomb failure
criterion)
Iterative solvers and their numerical solution tolerances
Parallel solvers (solution differences depending on the
number of threads or cores being used)
3.6
Misinterpretation of results
If the modelling process has been completed, the calculation has

finished successfully and results have been obtained, it is not
the end of the story. It should be realised that the computer
model does not directly provide the answer to the original
engineering problem. Therefore, a translation needs to be made
from the results of the computer model towards the engineering
and design issues. The translation and (mis)interpretation of
results may also lead to discrepancies between the real situation
and the computer model. Examples where misinterpretation of
results might occur are:
Interpretation of safety factors
Structural behaviour (if the structure is too much
simplified)
Overlooking essential details (in particular complex 3D
models)
In general: Insufficient knowledge and understanding of
the modelling software being used.
All this is subject of the validation process. In the next
chapter, various methods of validation and other procedures are
described in order to (im)prove the quality of finite element
models and the modelling results.
4
METHODS OF VALIDATION
In the previous sections several sources of discrepancies

between a real project and its finite element model have been
identified. In order for a particular project to manage the
uncertainties and to reduce the discrepancies, the finite element
model must be validated.
Before considering validation of a computer model for a
practical application, it is relevant to verify that the models and
methods implemented in a software package are reliable. In the
679
first place this is a responsibility of the software developers, but

also users should consider performing a verification of models
and methods that are relevant for the solution of their
engineering problem. Verification is done by comparing the
results of computer models for typical situations with known
solutions. Examples of such solutions are:
Analytical solutions of elasticity problems, plasticity
problems, constitutive models, dynamic problems,
bearing capacity solutions, solutions of flow and
coupled problems.
Limit equilibrium solutions (approximations) for global
safety factors or bearing capacities.
Upper and lower bound solutions (limit analysis).
Benchmarks (see Section 4.5).
After a proper verification of the models and methods to be
used in a finite element model, the finite element model itself
needs to be validated. Validation of the model as a whole will
not be enough to make plausible that the results that are
obtained from the model are representative for the real situation.
In fact, discrepancies in individual components may
accidentally cancel each other out if they are not validated
individually. The validation process should therefore also
comprise the individual components of the modelling process in
addition to validation of the integral model. This also gives
insight in the accuracy of the individual modelling components.
The following sections briefly describe the validation of
individual components of a finite element model.
4.1
Validation of constitutive models and parameters
The selection of a constitutive model should be based on an

evaluation of the capabilities (and limitations) that the model
has to describe the essential features of soil behaviour for the
application at hand. In that respect, the constitutive model
provides the qualitative description of soil behaviour, whereas
the parameters in the model are used to quantify the behaviour.
The composition of the model plus parameters can be regarded
as the artificial soil that is used in the finite element model,
which should be representative for the real soil behaviour in the
application. Before considering the numerical model in full
detail, it makes sense to evaluate the behaviour of the artificial
soil (= model + parameters) separately in particular stress
paths. Therefore it is useful to check the behaviour of the soil in
simplified soil lab tests simulations in element tests or using a
single stress-point algorithm.
The results of the lab test simulations can be compared with
real test data. This provides insight in the possibilities and
limitations of the model to describe particular features of soil
behaviour and the accuracy at which it does so. Moreover,
parameters could be optimised to make a best fit to the test
data. However, it should be noted that the stress paths, stress
levels and strain levels in the real application can be
significantly different than those in the soil lab tests. Hence, a
good fit between the results of a simulated test and the real test
data is not a guarantee that the artificial soil is a good
representation of the real soil in the practical application.
Nevertheless, the numerical simulation of soil lab tests is, in any
case, relevant to qualitatively understand the behaviour of the
artificial soil and should therefore be considered in the
validation process.
In contrast to soil lab tests, in-situ tests cannot be simplified
to a single stress point model. However, some in-situ tests can
still be modelled as a simplified boundary value problem in the
finite element method. The simplified modelling of in-situ tests
can be used to optimise stiffness and strength properties, and
they could be useful as part of the validation process. An
example of such a model test is the pressuremeter test, modelled
as a cavity expansion problem.
The validation of the selected soil model and parameters on
the basis of soil lab tests is not sufficient to make plausible that
the artificial soil will sufficiently resemble the real soil in the
engineering application. Since the soil stiffness and strength

properties are highly dependent on the stress and strain levels
(or void ratio) encountered as well as the loading history and
direction (anisotropy), it is necessary to estimate the stress
levels, the stress paths, the strain levels (or void ratio) and the
movement direction at different locations in the geometry and to
relate these to the conditions for which the model parameters
are deemed to be valid. The estimation may be based on
engineering judgement, but it might also be considered to
perform a preliminary analysis with a preliminary set of model
parameters in order to support the estimation. If necessary, soil
layers can be divided into sub-layers in which representative
values of model parameters are used.
As part of the validation of model parameters for the
engineering application it might also be considered to perform a
preliminary analysis on a semi one-dimensional soil column
representing the ground profile at the project location. In the
case that the project involves mainly vertical loading, the soil
column analysis can be used to check if the calculated
settlements match the expected settlements (based on
engineering judgement or conventional settlement calculations).
Some parameters will have a dominant influence on the
outcome of the numerical analysis whereas other parameters
may have little influence. In order to evaluate which parameters
have a high influence, a parametric analysis may be performed.
In a parametric analysis parameters may be varied individually
in order to evaluate their influence on the results (sensitivity
analysis), or combined in order to evaluate the variations in
results. Parameters with a high influence need to be given most
attention. Additional soil investigation may be required in order
to be able to determine these parameters more accurately in an
attempt to reduce the uncertainties in results.
After the final analysis with definite parameters has been
performed it is necessary to validate the stress levels, stress
paths, strain levels (or void ratio) and loading directions as
obtained from the finite element model and to check whether
these correspond with what has been assumed in the first place
and what is deemed to be valid for the selected parameters.
4.2
Validation of model boundaries
Model boundaries are introduced to limit the extent of the finite

element model and calculation time. It has to be validated
whether the outcome of the finite element model is not
influenced by the particular choice of the model boundaries
(Figure 2a vs. 2b). This can crudely be done by redoing the
analysis with model boundaries taken further away from the
main modelling object and comparing the results, but that may
be a time-consuming way of working. It should at least be
verified after any finite element analysis that changes in stress
and strain near the model boundaries are relatively small. This
is not required near (vertical) symmetry boundaries. However,
in the latter case it should be validated that the symmetry
conditions are properly applied.
In the case of a dynamic analysis, users should check that
there is no spurious reflection at the model boundaries. This is
primarily of interest for the vertical model boundaries. The best
way to check this is by creating an animation of the velocities in
the model. If the bottom boundary is taken at the top of a
bedrock layer, reflections may occur and are not unrealistic.
Figure 2. Generated initial stresses in a slope problem. a. Proper

distribution based on Gravity procedure. b. Gravity procedure with
inappropriate boundaries. c. Wrong distribution using K0-procedure.
680
4.3
Validation of initial conditions
In order to make an accurate prediction, it is necessary to

initialise the stress in the model as much as possible in
correspondence with the situation in reality (Figure 2a vs. 2c).
The initial situation in the model may involve total or effective
stress components, pore water pressures, pre-consolidation
stress, void ratio and other state parameters, depending on the
constitutive model(s) being used. Most soil constitutive models
involve at least some sort of stress-dependency. Moreover, the
initial stress state directly influences the forces in soil retaining
structures. In the case of time-dependent behaviour, the initial
state may have influence on the settlement rate. Therefore, the
validation of the initial conditions is a necessary part of the
validation process.
In an effective stress analysis, it is essential to create a
realistic distribution of initial pore water pressures. Simple
hydrostatic pore pressure distributions may be generated on the
basis of a phreatic level (Figure 3b), whereas more complicated
situations may require a separate groundwater flow calculation
to be performed (Figure 3c). In the latter case, realistic
hydraulic conductivities (permeabilities) are required, which are
often difficult to obtain from soil investigation data. That is why
modellers often abuse the phreatic level tool to create more
complicated pore pressure distributions based on non-horizontal
level sections. Care has to be taken with such an approach, since
in reality non-horizontal levels imply groundwater flow and
possibly non-hydrostatic pore pressure distributions. A jump
in the phreatic level should definitely be avoided, since this
would cause a similar jump in pore pressure all the way down in
the layer, which is highly unrealistic (Figure 3a).
Figure 3. Generated pore water pressure distribution in an excavation

problem. a. Wrong distribution based on a jump in the phreatic level
b. Improved distribution using interpolation between high and low head
under excavation c. Distribution based on groundwater flow calculation
(increased horizontal permeability)
Generated pore pressures should be validated against

measured pore pressure distributions in the field. It should be
validated that the pore pressure distribution is continuous and
smooth; jumps are suspicious and are likely to be the result of
a wrong way of modelling.
4.4
Validation of (the accuracy of) results
The previous sections focused on essential components of the

model that are part of the modelling process. It also needs to be
validated that the finite element mesh is fine enough to produce
sufficiently accurate results. In case of doubt, the model can be
recalculated with a refined mesh. After the individual model
components and the model as a whole have been validated, and
numerical results have been obtained, there are various ways to
validate the results for the practical problem as considered. The
following methods can be used to validate the results of finite
element models:
Comparison with measurements (if the project is
already under construction)
Comparison with design charts.
Comparison with experience and common practice
Comparison with simplified models (e.g. reduced
dimensions; 1D vs. 2D or 2D vs. 3D)
Comparison with other software.
When considering a project in an urban environment,
experiences with previous projects in the neighbourhood can be
of great help in the validation of numerical models, since soil
conditions may be quite similar. Here, it should be realised what
the differences are in loading conditions, duration of the

construction process and influences from adjacent buildings,
between the new project and the existing projects, and how that
affects the numerical model.
Care should be taken to use common practice and experience
to design a new project on a larger scale than the projects on
which common practice and experiences are based. Because of
the high non-linear character of soil behaviour, the design of a
larger system is not simply an extrapolation from a smaller size
project. This principle in the design process should also be
realised when using finite element models.
It might be worth to model a project with different software
packages and compare the results. No doubt, this will lead to
different results, whereby the engineer should realize that the
different packages may use different models and methods, and
there could be differences in the way how these models and
methods have been implemented. However, when it was
intended to create very similar models, the results should be less
than 10% different from each other to conclude that they are
actually similar. This is a necessary condition for a positive
validation, but it is not the only condition, since modelling
errors can still be made in one or both software packages, such
that the results are still within 10% difference from each other.
It could be that two errors in one model accidentally cancel each
other out and still lead to results that are more or less right. It
can also be that errors made in both packages lead to similar
results, which are both wrong. Therefore the validation of
numerical models purely on the basis of a comparison with
other software is not a sufficient validation. In fact, both models
need to be validated individually and other types of validations
(as described above) need to be performed as well.
Considering the modelling of the same situation in different
software packages brings us to the issue of Benchmarking.
4.5
validation process. In summary, benchmarks can serve the

following purposes:
To verify computer software.
To train unexperienced geotechnical engineers to help
them becoming familiar with numerical analysis.
To let modellers prove their competence in numerical
analysis of geotechnical problems.
To make modellers aware of differences in results for a
well-defined problem, irrespective of their origin. This
point highlights the importance of validation of
numerical models.
To highlight the importance to use appropriate
constitutive models.
To identify limitations of the present state of the art in
numerical modelling in practice (Carter et al., 2000).
To date this is still true.
4.6
A checklist of the various sources of discrepancies, as described

in Chapter 3, can be helpful to remind the numerical modellers
of the possible modelling errors that they could make. Thinking
about the various sources of discrepancies will increase the
awareness of possible mistakes and will lead to better computer
models. In the NAFEMS document (Brinkgreve, 2013) an
extensive checklist is given, based on various sources of
discrepancies. Moreover, a list of possible questions that
modellers may ask themselves as part of the validation process
is included in the document. The checklist and the list of
possible questions may also be used by managers and
supervisors to get an impression how well a model has been
validated by the engineer.
5
Benchmarking
A Benchmark, in the framework of validation and verification,

is a well-defined example problem for which a reference
solution exists, whereas the term Benchmarking can be defined
as the process to evaluate the variation in results from different
modellers or different computer software for a well-defined
example problem. Although the latter definition is probably
mostly related with how users translate the example problem
into a computer model and how they interpret the results, it can
also be used to benchmark different software packages against
each other or against the reference solution. According to
NAFEMS, a Benchmark is a standard test designed to probe the
accuracy or efficiency of a finite element system or model
(Baguley, 1994). This definition clearly addresses the role of the
system (hardware + software), but also involves the role of the
user in creating an appropriate and accurate finite element
model.
The solution of a benchmark example is not a theoretical
solution, but a reference solution that is considered to be a right
solution for that particular problem. Most benchmarks are
simplified practical problems for which no analytical solution
exists. Modellers can use a benchmark to check if they obtain a
similar solution with their own software. Since the solution is
obtained using numerical methods, a small deviation (few
percent) from the reference solution is likely to occur and is
quite acceptable. Larger deviations may still be acceptable,
depending on the type of problem and the level of detail that is
provided with the benchmark. Published benchmarks have
shown that quite large differences can occur, which underlines
the need for validation of numerical models.
A number of benchmark examples for geotechnical
engineering have been defined and published (e.g. Jeffries,
1995; Schweiger, 1998, 2002, 2006; Andersen et al., 2005).
In conclusion, benchmarks are not only useful for
verification purposes, but they are also relevant for the
681
Checklists
NON-TECHNICAL ISSUES
In addition to the technical issues related to the validation of

finite element models for geotechnical applications, there are a
number of non-technical issues involved with the validation
process. Such issues include decisions, responsibilities and
organizational issues, which are to be considered primarily by
the management of a company or a project. Nevertheless, it
should be realised by each individual working on numerical
modelling that these issues exist.
5.1
Availability of data
Besides knowledge and experience, another key issue to be able

to make an accurate finite element model is the availability of
data. This involves:
Geometric data
Soil data
Structural data (if structures are involved)
Data of external conditions (loads, water levels,
adjacent structures)
Information about the construction process
Soil data is probably the most important, although this is not
always recognized by project owners. In practice, there is often
a lack of soil investigation data because it costs money. It is
important to convince clients or project owners of the need of
sufficient and good quality soil investigation. It does not only
reduce the uncertainties in ground conditions, but it will also
facilitate the validation of model parameters, thereby reducing
the risk that the design is inadequate because it is based on
insufficient or wrong geotechnical data.
5.2
Responsibilities
Regarding the use of numerical models for geotechnical

engineering applications and the use of its results for
geotechnical engineering and design, four main responsibilities
can be identified.
Responsibility of the engineer (user of finite element

software)
Responsibility of the supervisor (manager)
Responsibility of the organisation (engineering
company)
Responsibility of the software developer (software
company)
It is the primary responsibility of the engineer (user of finite
element software) to create a computer model and to determine
the required parameters such that the model accurately
represents the real project and captures the phenomena that lead
to the quantities that need to be determined or interpreted from
the model (deformations, stresses, structural forces, flow, etc.).
This responsibility includes a proper validation of the model
and its components. It is also the responsibility of the engineer
to report any lack of data and the consequences thereof to his or
her supervisor or client.
It is the primary responsibility of the supervisor (manager)
of the modelling engineer or the project manager to check that
the model created and used by the project engineer is a reliable
model on the basis of which the project can be properly
analysed and/or designed with the required safety level. This
responsibility involves a check on how and to what extent the
model has been validated. For supervisors without advanced
numerical modelling experience themselves this may be
regarded as a difficult task, but it remains their responsibility.
This NAFEMS book is intended to provide at least some
guidelines for managers to discuss key elements of the
numerical modelling process with their engineers. Together
with his/her technical expertise and experience from other
projects, the supervisor should obtain a good impression of the
quality of the results obtained from a numerical model.
It is the primary responsibility of the organisation in which
numerical models are being used to create an environment in
which the importance and complexity of numerical modelling is
realised on all levels. If numerical modelling is part of their
activities, it should be included in their quality procedures. The
organisation should be structured such that there is sufficient
knowledge and room, not only to create numerical models but
also to validate models and to control the process from the early
stage of numerical modelling to the interpretation of the results
towards the geotechnical design. Just like any other subject,
numerical modelling is continuously evolving and new methods
become available. This requires organisations to invest in
facilities (literature, courses) to let their staff acquire the
necessary knowledge to remain up-to-date in order to use
numerical models with state-of-the-art technology in an
appropriate way.
It is the primary responsibility of the software developer to
produce software that has been sufficiently verified and that is
(ideally) free of programming errors. Moreover, it is also the
responsibility of the software developer to properly document
the models and methods that are implemented in the software
and make this documentation available to the user.
6
CONCLUSIONS
In this paper a summary is given of a NAFEMS document on

validating finite element models for geotechnical engineering
purposes (Brinkgreve, 2013). The document may be used by
engineers who actually build the numerical models and interpret
the results, as well as by supervisors and project managers who
are responsible for the overall design of a project. Validation, in
the context of this document, is the process to make plausible
that a finite element model includes the essential features for a
real situation to be analysed and its results are representative for
the situation in reality.
After defining validation and related terms, the paper first
describes sources of discrepancies between a real project and its
finite element model. Insight in the sources of discrepancies is
682
essential for a proper validation of the model and to reduce

modelling errors.
The main chapter is devoted to the various methods of
validation. The process of validation involves a validation of the
model as a whole, as well as a validation of the various model
components. Particular model components that need to be
validated are the geometry, the model boundaries, the material
(including soil) behaviour, the finite element mesh, the initial
conditions and the calculation phases. Results obtained from the
model should be checked against results obtained from other
analysis methods, design charts, experience, common practice
and measurements, if available.
The last chapter describes some non-technical issues related
with decisions, responsibilities and organisational issues to
control the quality of numerical modelling as part of the
geotechnical engineering and design process. In the first place it
emphasizes on the availability (or lack) of data and the need to
convince the client or project owner of the essence of good
quality soil investigation. In the second place, it highlights the
importance to spend time and money on education and training.
The latter is a common responsibility of the engineer and the
organization in which he or she is employed.
7
ACKNOWLEDGEMENTS
The authors would like to thank the NAFEMS Geotechnical

Committee for their feedback on the original document and for
their consent to publish this summarizing paper.
8
REFERENCES
Andersen K.H., Murff J.D., Randolph M.F., Clukey E.C., Erbrich C.T.,
Jostad H.P., Hansen B., Aubeny C., Sharma P., Supachawarote C.
(2005). Suction anchors for deepwater applications. Proc. Frontiers
in Offshore Geotechnics (eds. Gourvenec & Cassidy). Taylor &
Francis, London, 3-30.
Baguley D., Hose D.R. (1994). How to Understand Finite Element
Jargon, NAFEMS, London.
Brinkgreve R.B.J. (2013). Validating numerical modelling in
geotechnical engineering. NAFEMS, London.
Carter J.P., Desai C.S., Potts D.M., Schweiger H.F. and Sloan S.W.
2000. Computing and computer modelling in geotechnical
engineering. Proc. GeoEng 2000, Int. Conf. on Geotechnical and
Geological Engineering, Melbourne. Technomic, 1157-1252.
Jeffries R.M. (1995). Interclay II project. A coordinated benchmark
exercise on the rheology of clays. Final report. European
Commission, Nuclear science and technology, report EUR 16498.
NAFEMS i.c.w. ASME (2009). What is Verification and Validation?
Leaflet. NAFEMS, London. www.nafems.org.
Schweiger H.F. (2002). Results from numerical benchmark exercises in
geotechnics. Proc. 5th European Conf. Numerical Methods in
Geotechnical Engineering (ed. P. Mestat). Presses Ponts et
chaussees, Paris, 305314.
Schweiger H.F. (2006). Results from the ERTC7 benchmark exercise.
Proceedings NUMGE 2006 (ed. H.F. Schweiger). Taylor &
Francis, London, 3-8.
Evaluation of the efficiency of different ground improvement techniques

valuation de l'efficacit des diffrentes techniques d'amlioration des sols
Bryson S.
Stantec Consulting Ltd., Fredericton, NB, Canada
El Naggar H.
University of New Brunswick, Fredericton, NB, Canada
ABSTRACT: There are two primary reasons why developments continue in areas with poor subgrade soil conditions. The first is the
lack of space and increased pressure to develop within a particular region. The second is for economic reasons such as road
construction where it is not feasible, and may not be physically possible, to modify routes to avoid crossing areas of soft soils. This
paper investigates the performance of various ground improvement methods used in construction of embankments on soft soils using
three-dimensional numerical modeling.
Multiple forms of ground improvements were analyzed including deep soil mixing, light-weight fill, and stone columns. The
efficiency of each type of ground improvement was evaluated based on the reduction of predicted settlement compared to a baseline
model where improvements were not used. It is suggested that the economic feasibility of ground improvements be highly dependent
on the geographic location of the site; however, the gain in performance may be worth the extra material costs in some cases.
RSUM : Il y a deux raisons principales pour lesquelles on continue dvelopper dans les zones o les conditions du sol de
fondation sont mauvaises. La premire est le manque d'espace, ainsi quune pression accrue se dvelopper dans une rgion donne.
La seconde tant, pour des raisons conomiques telles que la construction de routes o il n'est pas probable, et peut-tre pas
physiquement possible, de modifier les routes pour viter de traverser les zones de sols mous. Cet article examine la performance des
diffrentes mthodes d'amlioration des sols utilises dans la construction de remblais sur sols mous en utilisant la modlisation
tridimensionnelle numrique.
De multiples formes d'amlioration du sol ont t analyses, y compris un sol de mlange profond, lgrement rempli et en colonnes
de pierre. L'efficacit de chaque type d'amlioration des sols a t value en fonction de la rduction de tassement prdit par rapport
un modle de rfrence o des amliorations n'ont pas t utilises. Il est suggr que la faisabilit conomique des amliorations du
sol est fortement tributaire la situation gographique du site, cependant dans certains cas le gain en performance vaut la peine
davoir des cots supplmentaires de matriels.
KEYWORDS: Ground improvement, deep soil mixing, light-weight fill, stone columns, embankments, soft soils
1
INTRODUCTION
Lack of space, increased pressure to develop within a particular

region or any other economic or political motivations are all
valid reasons for developments to continue in areas with poor
subgrade soil conditions. There are several methods of
improving the properties of soft soils to reduce the postconstruction settlement or to improve the stability and the
overall performance of embankments and dams. Improvement
techniques used in construction of embankments and dams on
soft clay such as stone columns, deep soil mixing,
vibrocompaction, etc., are becoming increasingly popular in
North America. The San Pablo Dam, Sunset North Basin Dam,
the Clemson Upper and Lower Dams, and the I-95/Route1
project are all examples of case studies in the United States
where ground improvements have been implemented under
foundations of dams and embankments.
Methods of construction of embankments on soft soils have
been well documented; however, to the authors knowledge,
there is a lack of literature related to the comparison and process
of selecting ground improvements. The main purpose of this
study was to investigate the performance of various ground
improvement methods used in construction of embankments on
soft soils using three-dimensional numerical modeling to
identify which method is most efficient at reducing settlements
for the considered case.
683
NUMERICAL MODEL
The parametric analyses completed for this study were done

using an explicit three dimensional finite difference numerical
model. Materials modeled using the finite difference method are
represented by polyhedral elements to which variables are
assigned at discrete locations and the zones will behave
independently. The explicit time marching scheme calculates
the velocity and stresses for every element during each time step
based on the initial values. The new stresses and velocities are
then applied to the elements to be used in the following time
step. The model uses the velocity and time step to determine the
displacements for each element. The finite difference methods
allow grid points within the model to move and deform as
incremental displacements are applied during each time step
which makes it better suited to be used for analysis of nonlinear
large strain problems, such as the deformation of soft soil
during embankment construction (Itasca 2009).
2.1
Model details
For the purpose of the parametric study a baseline model was

developed using assumed stratigraphy, embankment
dimensions, and material properties. The assumed stratigraphy
was a 6 m thick layer of loose silt, overlying 2 m of normally
consolidated, soft clay, over sandstone bedrock. The design
embankment used in the model was 6 m high, with a crest width
of 6 m and 3H:1V side slopes (see Figure 1). It was assumed
that the ground improvements would extend as far as the toe of
the embankment side slopes to the bottom of the soft clay.
Material properties were defined based on average values

found in the literature review and are described in greater detail
under the section titled Physical Properties. The groundwater
table was assumed to be located at the surface of the loose silt
deposit. The model was built to maintain a maximum aspect
ratio of 3:1 between elements in the x, y, and z directions and
used planes of symmetry to reduce the total number of elements
in each model. The embankment was constructed in several
phases to simulate more realistic loading conditions.
The groundwater table was modeled using a normal
groundwater force rather than using a groundwater flow model.
This was done to simplify the analyses as the behavior of the
groundwater within the soil was not the focus of the study. As a
result the simplified groundwater conditions the Mohr Coulomb
constitutive model was used to simulate soil response.
Figure 1. Model Stratigraphy
3
3.1
METHODS OF GROUND IMPROVEMENTS

Stone columns
Stone columns, like sand drains, enhance the drainage

properties of soft soils, however, the interlocking granular
nature provides additional shear strength to the surrounding
soils compared to sand drains. Stone columns can be installed as
either independent columns or as continuous walls or panels of
columns. Stone columns reduce settlements by promoting soil
arching which transfers the embankment loading to the stiffer
columns once the soft surrounding soils begin to yield (Terzaghi
1943). Typically stone column wall thicknesses and area
replacement ratio (ARR) range between 0.4 and 1.2 m and 10%
to 30%, respectively (Abusharar and Han 2011). Analyses were
completed for stone columns panels with thicknesses of 0.4 m,
0.8 m, and 1.2 m with spacings corresponding to an ARR of
30%.
3.2
Deep mixed columns
Deep mixed columns (DMC) are very similar to stone columns

in terms of typical dimensions, and promoting soil arching to
transfer loading to panels rather than insitu soil. Deep mixed
columns are constructed by mixing lime or cement and insitu
soil to create a column, or panel of columns, of stronger soil
which carries embankment loads and reduces expected
settlements. The primary difference between stone columns and
deep mixed columns is that strength of stone columns is
dependent on the friction angle of the aggregate and
confinement from surrounding soils (Abusharar and Han 2011);
while deep mixed columns have internal strength from
cohesion. It is noted that the deep mixed columns are
constructed such that they are continuous panels and the flow of
groundwater will be inhibited or significantly reduced. For
comparison purposes, panel thicknesses of 0.4 m, 0.8 m, and
1.2 m with spacings corresponding to an ARR of 30% were
used to analyze the efficiency of the deep mixed columns.
684
3.3
Light weight fill
An alternative to improving the in situ soil in order to increase

the bearing capacity is to reduce the total loading. Light weight
fills such as sawdust, tire derived aggregate, and geofoam are
frequently used during construction of embankments on soft
soils to minimize consolidation, differential settlements, and/or
construction schedules. Analyses were completed using both
sawdust and geofoam as embankment fills, ranging between 2
and 4 m in thickness, to compare against the results of the
ground improvement methods listed above.
3.4
Comparison of methods
Several factors may impact the suitability of each method for a

particular site and may govern which method is selected over
another as follows:
Stone and deep mixed columns cause densification
of the surrounding soil as a result of displacements
during installation. Larger columns and smaller
spacing will increase densification.
Stone columns are highly permeable and therefore
will reduce the liquefaction potential of a material
by allowing excess pore pressures to dissipate.
Specialized equipment is required for construction
of stone/deep mixed columns.
Light weight aggregates may be placed with typical
construction equipment.
Strength characteristics of deep mixed soils may be
influenced by geochemical properties of the
surrounding soil (Jacobson et al., 2003) and thus
rigorous mix designs are recommended for all
sites.
Sawdust may degrade over time due to its organic
nature; however, rates of degradation may be
minimized by limiting exposure to free oxygen and
moisture.
Geofoam is susceptible to rapid degradation when
exposed to hydrocarbons; therefore geosynthetic
liners are often installed.
Cost-benefit comparisons for the different methods are
highly dependent on the location of particular sites and the
availability of materials and therefore have not been included as
part of this study.
4
PHYSICAL PROPERTIES
For the purpose of the parametric study typical values described

in literature or published case studies were used as input soil
parameters for the numerical models. In FLAC3D, the Mohr
Coulomb constitutive model requires wet density, internal angle
of friction, cohesion, tensile strength, and bulk and shear
modulii. The bulk and shear modulii are both functions of the
Youngs modulus and Poissons ratio of a material that are
calculated using the following equations:
Bulk
Modulus,
(1)
Shear Modulus,
(2)
A summary of the physical and elastic material properties

are provided in Table 1. The material properties were assumed
values unless noted otherwise.
Table 1. Physical Properties

Parameter
(kg/m3)
5
()
E
(Pa)
5
c
(Pa)
0.385
3.0e55
Bedrock
2200
1.93e10
30
Clay
1631
2.00e6
0.46
1.5e4
Loose Silt
1835
1.24e7
27
0.3
3.03e7
34
0.4
3.03e76
362
0.46
Deep Mixed Soil
1631
1.25e9
32
0.26
3.4e5
Sawdust
10403
8.50e5
323
0.053
Embankment Fill
Stone
2039
1983
reduction in stresses. The decrease in soil arching effectiveness

is attributed to the increased spacing between columns. In this
analysis a constant replacement ratio was maintained, therefore,
as the column diameter increased the spacing was increased as
well.
0.097
1.1e54
1
2
3
Oliveira et al, 2011, Abusharar and Han, 2011, Rowe and
Soderman, 1984, 4Geotech Systems Corporation, 1993, 5Itasca, 2009,
6
Kulhawy and Mayne, 1990, 7Hazarika, 2006
Geofoam
15
3.76e6
32
NUMERICAL MODELING RESULTS
To evaluate the efficiency of each method of ground

improvement a baseline model was run which simulated the
construction of a 6 m embankment without neither ground
improvements nor light weight fill. All results have been
normalized against the vertical displacements and vertical
stresses calculated using the baseline model.
5.1
Figure 2. Comparison of predicted settlements at the interface between

the embankment and the ground surface based on different methods of
ground improvements
Settlement
Settlements calculated at the top of the silt layer at the

centerline of the embankment were used for comparisons.
Figure 2 illustrates magnitudes of settlement calculated for each
method. The baseline model predicted a total settlement of
0.170 m. The model with 2 m of sawdust showed negligible
improvement while the models with 4 m of geofoam, and
400 mm deep mixed columns, were the most effective with
predicted settlements of 0.040 m, or a 76% reduction. It can be
seen from Figure 2 that in general the geofoam and the deep
mixed coulmns performed better than the sawdust and the stone
columns with respect to the reduction of settlement.
5.2
Figure 3. Comparison of predicted vertical stresses near the surface of

bedrock based on different methods of ground improvements
Vertical stress
Figure 3 shows the maximum vertical stresses calculated near

the surface of bedrock for the different considered ground
improvement methods in comparison to the baseline model. For
illustration purposes only one example for each method is
provided. The following paragraphs include results for all of the
analyses carried out.
The baseline model predicted a vertical stress of 217 kPa
near the surface of bedrock. The model with 4 m of geofoam, as
expected, experienced the greatest reduction in predicted
vertical stresses at 32% of the baseline value, or 68 kPa. The
difference in vertical stress was based on comparison of the
vertical stresses between the respective models and the baseline
calculated at the same point. The stone and deep mixed
columns, as result of the stiffness contrast between the column
material and surrounding soils, are attracting additional loads
due to soil arching. The ability of the stone columns to
accumulate stress from soil arching is limited because the
columns are yielding themselves; however, the trend is still
visible as shown in Figure 4. Figure 5 illustrates how soil
arching reduces the vertical stresses as the columns diameter
increases to a point at which is becomes less effective. The
percentage difference in vertical stress is based on a comparison
of the vertical stresses calculated at the centerline of the column
and the midspan between columns for each model near the
ground surface. It is noted that the behavior for both types of
columns is very similar and that the overall strength
characteristics will determine the magnitude of the percentage
685
Figure 4. Comparison of predicted vertical stresses calculated at the top

of the silt layer based on variable methods of ground improvements
4. Under constant area replacement ratios, soil arching

becomes more effective as column diameters
decrease.
8
ACKNOWLEDGEMENTS
The authors would like to acknowledge the financial support

provided by the New Brunswick Innovation Foundation (NBIF)
and the University Research Fund (URF) of the University of
New Brunswick.
9
Figure 5. Reduction in effectiveness of soil arching effects as column

diameter increases while maintaining a constant area replacement ratio
based on vertical stresses calculated near the top of the loose silt.
DISCUSSION
The results presented in this study revealed that sawdust is not

very beneficial as a standalone method as it is still reasonably
dense and highly compressible. As the strength of stone
columns is a result of both the friction characteristics of the
aggregate and the confinement from surrounding soils, in cases
where there is minimal confining pressure the columns will
deform (bulge) under the embankment loading. The anticipated
lateral loads in the stone columns should be considered to
confirm that there is adequate confinement within loose
cohesionless soils to prevent excessive internal deformation of
the column.
Deep mixed columns are very effective at reducing the
settlements due to the development of soil arching which is
clearly illustrated in the vertical stress plots where the stress
concentrations correspond with the midpoint of the columns
within the model. As shown in Figure 5 the soil arching is
increasingly effective as the diameter (and spacing) decrease. It
is anticipated that a limiting diameter exists where the diameter
will be controlled by the size of the mixing equipment that is
commercially available. Based on the analysis completed, for a
consistent area replacement ratio, the deep mixed columns
attract 35% more load due to soil arching than the
corresponding stone column.
Geofoam minimized settlements because it is so light in
comparison to other materials. With a density of 15 to 30 kg/m3
it is substantially less dense than other light weight aggregates
such as sawdust which has a density of approximately
1040 kg/m3.
7
CONCLUSIONS
This study focused on just four types of methods used to

minimize overall settlements of embankments constructed on
loose silt but in future studies it would be interesting to compare
performances of columns (deep mixed or stone) vs panels of
columns at constant replacement ratios, and then to compare the
benefits of various replacement ratios. Increased lateral
confinement as a result of berms or sheet piles may also reduce
deformations, in addition to the use of geosynthetics for internal
structural support within the embankment, or a combination of
methods.
Based on the parametric analyses completed the following
guidelines are proposed which may be used to assist in the
selection of a method to reduce settlements.
1. The loose soil unit must be thick enough that there is
adequate confinement for stone columns to be
effective.
2. Deep mixed columns and geofoam may provide similar
final results if utilized in the correct quantities.
3. Under constant area replacement ratios, settlements
increase as column diameters increase.
686
REFERENCES
Abusharar S.W. and Han J. 2011. Two-dimensional deep-seated slope

stability analysis of embankments over stone column-improved soft
clay. Engineering Geology (120), 103-110.
GeoTech Systems Corporation. 1993. Styropor Technical Information.
Great Falls, Virginia, USA.
Hazarika H. 2006. Stress-strain modeling of EPS geofoam for largestrain applications. Geotextiles and Geomembranes (24), 79-90.
Itasca. 2009. FLAC3D Version 4.0 User Manuals. Minnesota.
Jacobson J.R, Filz, G.M. and Mitchell J.K. 2003. Factors affecting
strength of lime-cement columns based on a laboratory study of
three organic soils. Report VRTC 03-CR16 Virginia Transportation
Research Council, Charlottesville, Virginia, USA.
Kulhawy F.H and Mayne P. 1990. Manual on Estimating Soil
Properties for Foundation Design. Cornell University, Ithaca, New
York, USA.
Oliveira P.J, Pinheiro J.L.P and Correia A.A.A. 2011. Numerical
Analysis of an Embankment Built on Soft Soil Reinforced with
Deep Mixing Columns: Parametric Study. Computers and
Geotechnics (38), 566-576.
Rowe R.K and Soderman K.L. 1984. Comparison of predicted and
observed behaviour of two test embankments. Geotextiles and
Geomembranes 1 (2), 142-160.
Terzaghi K. 1943. Theoretical Soil Mechanics. New York, John Wiley
& Sons.
US Department of Transportation Federal Highway Administration
(FHWA). 2001. Ground Improvement Technical Summaries
Volume I and II. Publication No. FHWA-SA-98-086R.
Large deformation and post-failure simulations of segmental retaining walls using

mesh-free method (SPH)
Simulations de grandes dformations et post-rupture des murs de soutnement segmentaires
utilisant la mthode des mailles-libres (SPH)
Bui H.H., Kodikara J.A, Pathegama R., Bouazza A., Haque A.
Department of Civil Engineering, Monash University, Melbourne, Vic 3800, Australia.
ABSTRACT: Numerical methods are extremely useful in gaining insights into the behaviour of reinforced soil retaining walls.
However, traditional numerical approaches such as limit equilibrium or finite element methods are unable to simulate large
deformation and post-failure behaviour of soils and retaining wall blocks in the reinforced soil retaining walls system. To overcome
this limitation, a novel numerical approach is developed aiming to predict accurately the large deformation and post-failure behaviour
of soil and segmental wall blocks. Herein, soil is modelled using an elasto-plastic constitutive model, while segmental wall blocks are
assumed rigid with full degrees of freedom. A soft contact model is proposed to simulate the interaction between soil-block and
block-block. A two dimensional experiment of reinforced soil retaining walls collapse was conducted to verify the numerical results.
It is shown that the proposed method can simulate satisfactory post-failure behaviour of segmental wall blocks in reinforced soil
retaining wall systems. The comparison showed that the proposed method can provide satisfactory agreement with experiments.
RSUM : Les mthodes numriques sont extrmement utiles pour obtenir un aperu du comportement des murs de soutnement en
sol renforc. Cependant, les approches numriques traditionnelles tels que l'quilibre limite ou mthodes d'lments finis sont
incapables de simuler les dformations importantes et le comportement post-rupture des sols et les blocs de bton des murs de
soutnement segmentaires. Pour contourner cette limitation, une nouvelle approche numrique est prsente dans cet article. Le sol
est modlis l'aide d'un modle lasto-plastique, tandis que les blocs segmentaires muraux sont supposs tre rigides avec une degr
de libert total. Un modle de contact souple a t dvelopp pour modliser l'interaction entre le sol-bloc et bloc-bloc. Un modle
exprimentale en deux dimensions dun effondrement dun mur de soutnement renforc a t ralis pour vrifier les rsultats
numriques. Il est montr que la mthode de simulation propose permet de simuler le comportement post-rupture des blocs de mur
segmentaires des murs de soutnement renforc. La comparaison a montr que la mthode propose peut fournir un accord
satisfaisant avec les rsultats exprimentaux.
KEYWORDS: retaining wall modelling, segmental walls, large deformation and failure, mesh-free, SPH.
1
modelled by spring and dashpot systems (Cundall & Strack,

1979). The main advantages of this approach are that it can
handle large deformation and failure problems; and the concept
is relatively simple and easy to implement in a computer code.
Thus, DEM could be considered an ideal method to simulate the
full degrees-of-freedom motion of the retaining wall blocks in
SRW systems. However, to model soil behaviour, DEM suffers
from low accuracy because suitable parameters for the contact
model are difficult to determine. The discontinuous deformation
analysis (DDA) method proposed by Shi et al. (1998) has also
been applied to geotechnical applications, but is mainly used for
rock engineering, etc. Other continuum based mesh-free
methods such as the mesh-free Galerkin element method (EFG),
material point method (MPM), particle in cell method (PIC),
etc., could be also applied to simulate large deformation of soil.
However, these methods are quite time consuming and
complicated to implement into a computer code as they consist
of both interpolation points and the background mesh. On the
other hand, the smoothed particle hydrodynamics (SPH) method,
originally proposed by Gingold & Monaghan (1977), has been
recently developed for solving large deformation and postfailure behaviour of geomaterials (Bui et al. 2007-2012; Pastor
et al. 2009, Blanc et al. 2012) and represents a powerful way to
understand and quantify the failure mechanisms of soil in such
challenging problems. In this paper, taking into consideration
this unique advantage, SPH is further extended to simulate large
deformation and post-failure of SRW systems.
INTRODUCTION
In recent years, segmental retaining walls (SRWs) have

received great attentions for their low material cost, short
construction period, ease of construction, and aesthetic
appearance. They have been used as an effective method to
stabilize cuts and fills adjacent to highways, and embankments,
amongst many other applications. Because of the flexible
structural materials used (no mortar, or concrete footing), SRWs
can tolerate minor ground movement and settlement without
causing damage or cracks. In addition, dry stacked SRW
construction allows free draining of water through the wall face,
thereby reducing hydrostatic pressure build-up behind the wall.
Thus far, several analytical and numerical approaches have
been developed to assist SWR design. Among these techniques,
the finite element method (FEM) has been frequently applied to
investigate stability and settlement of segmental retaining wall
systems. FEM has also been used to simulate seismic loadinduced large deformation of SRW systems. However, because
of the mesh-based nature, FEM suffers from mesh entangling
when dealing with large deformation problems, even when the
updated Lagrangian method is adopted. Re-meshing may help
to resolve this problem but the procedure is quite complicated.
It is also worth mentioning that the free rotation motion of
retaining wall blocks in SWR systems could not be modeled by
FEMs. As an alternative for such computational complications,
it is attractive to develop mesh-free methods. So far, the most
popular mesh-free method applied in geotechnical engineering
is the discrete element method (DEM) which tracks the motion
of a large number of particles, with inter-particle contacts
687
SIMULATION APPROACHES
2.1
f I 1 J 2 k c 0
Soil modelling in SPH framework
In the SPH method, motion of a continuum is modeled using a

set of moving particles (interpolation points); each assigned a
constant mass and carries field variables at the corresponding
location. The continuous fields and their spatial derivatives are
taken to be interpolated from the surrounding particles by a
weighted summation, in which the weights diminish with
distance according to an assumed kernel function. Details of the
interpolation procedure and its application to soil can be found
in Bui et al. (2008). The motion of a continuum can be
described through the following equation,
g f ext
where I1 and J2 are the first and second invariants of the

stress tensor; and and kc are Drucker-Prager constants that
are calculated from the Coulomb material constants c (cohesion)
and (internal friction). In plane strain, the Drucker-Prager
constants are computed by,
9 12 tan
kc
3c
(6)
9 12 tan 2
g p I 1 J 2 constant
(7)
where is a dilatancy factor that can be related to the

dilatancy angle in a fashion similar to that between and
friction angle . Substituting Equation (7) into Equation (4) in
association with the consistency condition, that is the stress
state must be always located on the yield surface f during the
plastic loading, the stress-strain relation of the current soil
model at particle a can be written as,
d a
2Ga ea K aa a
dt
a 3K a a (Ga / J 2 a ) sa
(2)
(8)
where e is the deviatoric strain-rate tensor; s is the

deviatoric shear stress tensor; and is the rate of change of
plastic multiplier of particle a, which in SPH is specified by
3 a K aa (Ga / J 2 a )sa a
(9)
9 a K a a Ga
where the strain-rate tensor is computed by
1
u u
2
(10)
When considering a large deformation problem, a stress rate

that is invariant with respect to rigid-body rotation must be
employed for the constitutive relations. In the current study, the
Jaumann stress rate is adopted:
a a a a a a
where
(3)
where De is the elastic constitutive tensor; is the strain rate

tensor; and
is its plastic component. An additive
decomposition of the strain rate tensor has been assumed into
elastic and plastic components. The plastic component can be
calculated using the plastic flow rule,
g p
p
and
2
The non-associated plastic flow rule specifies the plastic

potential function by,
(1)
where and denote Cartesian components x, y, z with the

Einstein convention applied to repeated indices; a indicates the
particle under consideration; a and b are the densities of
particles a and b respectively; N is the number of neighbouring
particles, i.e. those in the support domain of particle a; mb is
the mass of particle b; C is the stabilization term employed to
remove the stress fluctuation and tensile instability (Bui et al.,
2011); W is the kernel function which is taken to be the cubic
Spline function (Monaghan & Lattanzio 2005); and fext a is the
unit external force acting on particle a.
The stress tensor of soil particles in Equation (2) can be
computed using any soil constitutive model developed in the
literature. For the purpose of soil-structure interaction, the
Drucker-Prager model has been chosen with non-associated
flow rule, which was implemented in the SPH framework by
Bui et al. (2008) and shown to be a useful soil model for
simulating large deformation and post-failure behaviour of
aluminum rods used in the current paper as model ground. The
stress-strain relation of this soil model is given by,
D e : ( p )
tan
where u is the displacement; a raised dot denotes the time

derivative; is the density; is the total stress tensor, where
negative is assumed for compression; g is the acceleration due
to gravity; and fext is the additional external force(s). The total
stress tensor of soil is normally composed of the effective stress
() and the pore-water pressure (pw), and follows Terzaghis
concept of effective stress. Because the pore-water pressure is
not considered, the total stress tensor and the effective stress are
identical throughout this paper and can be computed using a
constitutive model.
In the SPH framework, Equation (1) is often discretized
using the following form,
N

a Wab g a f ext
ua mb a2 b2 Cab
a
b 1
b
a
(5)
(4)
where is the rate of change of plastic multiplier, and gp is

the plastic potential function. The plastic deformation occurs
only if the stress state reaches the yield surface. Accordingly,
plastic deformation will occur only if the following yield
criterion is satisfied,
688
(11)
is the spin-rate tensor computed by
1
u u
2
(12)
As a result, the final form of the stress-strain relationship for

the current soil model is modified to
d a
a a a a 2Ga ea K a a a
dt
a 3K a a (G / J 2 ) a s a
(13)
Equations (2) and (13) are finally integrated using Leapfrog

algorithm to describe the motion of soil medium. Validation of
this soil model with SPH has been extensively documented in
the literature (Bui et al. 2008-2012), and reader can refer to

these references for further details on the validation process.
2.2
Rigid body motion of retaining wall blocks
The segmental retaining wall simulated in this paper is

comprised of individual rectangular blocks; each is assumed as
a rigid body and has complete degrees-of-freedom. The motion
of the block can be determined by specifying the motion of the
central mass and the rotation about its mass central. The
equation of motion of the central mass is given as follows,
dV
F
dt
(14)
where M is the central mass, V is the velocity vector of the

central mass, F is total force vector acting on the body. The
equation of rotation about the central mass is,
d
I
T
dt
(15)
where I is the inertial moment, is the angular velocity

which is perpendicular to the plane of the motion, and T is the
total torque about the central mass.
In the computation, the rectangular block is represented by
the set of boundary particles that are equi-spaced around the
boundary. Denoting the force vector acting on each boundary
particle i located on the moving block is fi, Equations (14) and
(15) can be rewritten, respectively, as follows,
dV
fi
dt
i
d
I
k (ri R) f i
dt
(16)
dri
V ( ri R )
dt
(18)
n d ai ( ha hi ) / 2
(21)
cn 2 mai K ai
(22)
k cs vais
f asi ai s
0
In this paper, a soft contact model based on a concept of the

spring and dash-pot system is proposed to model the interaction
between soil and retaining wall blocks and between blocks.
Accordingly, the radial force acting between two particles can
be calculated using the following equation,
(19)
where K is the radial stiffness; n is the allowable

overlapping distance between two particles; cn is the radial
damping coefficient; vn is the relative radial velocity vector
between particle a and particle i; ha and hi are the initial
distance (so-called smoothing length in SPH) between soil
particles and between boundary particles, respectively; and dai is
the distance between two particles. The stiffness, overlapping
689
( ha hi ) 2d ai
(ha hi ) 2d ai
(23)
where kai is the shear stiffness; s is the relative displacement

between the two particles in the shear direction; cs is the shear
damping coefficient; vs is the relative shear velocity vector
between particle a and particle i. These unknown variables can
be calculated using the following relationships,
k ai 4Geq heq n
(24)
s vais dt
(25)
cn 2 mai k ai
(26)
where Geq is the equivalent shear modulus. The current shear

force must satisfy Coulombs friction law which implies that the
maximum shear force must not exceed the maximum resisting
force,
s n
f a i
s
(27)
Finally, these forces are converted to the conventional

coordinate system and added to Equations (2), (16) and (17) to
progress the motion of soil and rigid bodies.
3
Contact force model
(ha hi ) 2d ai
( ha hi ) 2d ai
(20)
f asi
The force fi acting on a boundary particle on the rigid body is

due to the surrounding soil particles or boundary particles that
belong to different rigid bodies. This force can be calculated
using a suitable contact model which will be described in the
next section.
K ai n3 / 2 cn vakn
f ani
0
K ai Eeff heff / 3
where Eeq and heq are equivalent Youngs modulus and

smoothing length, respectively. The contact force in the shear
direction which is perpendicular to the radial direction can be
calculated in the same manner,
(17)
where ri and R are vector coordinates of boundary particle

and central mass, respectively. The rigid body boundary
particles move as a part of the rigid body, thus the change on
position of boundary particle i is given by,
2.3
distance and damping coefficient can be calculated using the

following relationships,
OUTLINE OF MODEL TEST
Two-dimensional experiments of retaining wall collapse were

conducted to validate the SPH numerical results. Figure 1
shows a schematic diagram of the two-dimensional
experimental setup and Figure 2 shows the initial setup
condition of the model ground and retaining wall blocks in the
experiment. The size of the model ground is 15cm in height and
50cm in width at the base. Aluminum rods of 5cm in length,
having diameters of 1.5 to 3mm and mixed with the ratio 3:2 in
weights, are used as the model ground. The total unit weight of
the model ground is 23kN/m3. The retaining block is 3.2cm in
width, 2.5cm in height, and 5cm in length, which is
manufactured from aluminum (Youngs modulus of 69GPa and
unit weight of 26.5kN/m3). In the experiment, the segmental
retaining wall system was constructed by successively placing
one block on the top of the other with an overlapping of 1.9cm,
followed by filling the model ground at each layer. To visualize
the failure pattern of the model ground, square grids
(2.52.5cm) were drawn on the specimen. The experiments
were initiated by quickly removing the stopper stand and digital
photos were taken to record the failure process as well as the
final configuration of the retaining wall system after collapse.
Model ground
(Aluminium bars)
Retaining blocks
a) Experimental results
Stopper barrier
5cm
Figure 1. Schematic diagram of 2D experimental model.

Model ground
(Aluminium bars)
Wall blocks after collapse

6
Stopper stand
5 4
2 1
b) Computed results
5cm
Retaining blocks
Wall blocks after collapse

6
5 4
2 1
5cm
6
5
4
3
Figure 3. Comparison between experiment and SPH simulation.

2
1
CONCLUSION AND FUTURE WORKS
Figure 2. Initial setting condition of the model test.
In addition, tests were conducted to measure static friction

coefficients. It was found that the static friction () between
retaining wall blocks is 0.62, between wall block and the
bottom wall boundary is 0.60, and between the retaining wall
block and model ground is 0.56. The experiment series were
conducted starting from one block and then gradually increasing
the number of blocks in the retaining wall system until the
retaining wall collapsed. It was observed that the retaining wall
system collapsed when reaching 6 blocks. Accordingly, a
numerical model consisting of 6 retaining wall blocks was
conducted for the benchmark study.
4
RESULT AND DISCUSSION
The model test shown in Figure 2 was simulated using 11,304

SPH particles arranged in a rectangular lattice with an initial
separation of 0.25cm. Rigid blocks were created by placing
boundary particles uniformly around the boundary at a constant
distance. In order to simulate the smooth surface, half of particle
spacing was chosen for the rigid body boundary particles.
Model ground parameters including elastic modulus E =1.5MPa,
Poissons ratio = 0.3, friction angle = 19.8o, dilatant angle
= 0o, and cohesion c = 0kPa were taken similar to those used in
Bui et al. (2008). The unit weight of the ground model is s =
23kN/m3. The friction coefficients between the rigid blocks,
between the block and the bases of the wall boundary, and
between the block and the ground model were taken to be
similar to those measured in the experiment as mentioned in
Section 3. The boundary conditions for the model ground are
restrained with a free-slip boundary at the lateral boundaries and
fixed in both directions at the base.
Figure 3 shows the comparison between the experiment and
the computation. It can be seen that, because the complete
degrees-of-freedom of the rigid body was taken into
consideration, the computed result could predict fairly well the
behaviour of all rigid blocks observed in the experiment after
the SWR system collapsed. The final run-out distance of Block
No.1 in the simulation is 67.5cm from the left-most solid
boundary. This result is in very good agreement with that
observed in experiment (68cm). It is suggested that the
proposed soft contact model could be applied to simulate the
soil-structure interaction in the SRW system. However, further
refinement of the contact model should be considered to provide
more accurate prediction of the retaining wall blocks and the
model ground as the simulation results showed a slight overprediction of the failure zone observed in the experiment.
690
This paper presented a novel numerical approach for simulation

of large deformation and post-failure of segmental retaining
wall. It was shown that the proposed method provides good
agreement with the experimental results. The most significant
advantage of the new method is that the complete degrees-offreedom of the retaining wall blocks, which could not be
simulated using traditional numerical approaches, can now be
simulated in the proposed numerical framework. Large
deformation and post-failure behaviour of geomaterials can also
be readily simulated. To broaden the application of the proposed
numerical approach, further implementations such as coupling
with geo-grid reinforcement, modelling seismic earthquake
loading, and bonding between blocks should be considered in
the future. Full extension to three-dimension code would yield
significant benefits to gain further insights into the mechanisms
of SWR.
6
REFERENCES
Bui H.H, Sako K, Fukagawa R. 2007. Numerical simulation of soilwater interaction using smoothed particle hydrodynamics (SPH)
method. Journal of Terramechanics, 44, 339-346.
Bui H.H, Fukagawa R, Sako K. and Ohno S. 2008. Lagrangian meshfree particle method (SPH) for large deformation and post-failure of
geomaterials using elastic-plastic soil constitutive model,
Geomechanics, 32, 1537-1570.
Bui H.H, Fukagawa R, and Sako K. 2011. Slope stability analysis and
discontinuous slope failure simulation by elasto-plastic smoothed
particle hydrodynamics (SPH). Gotechnique, 61, 565-574.
Bui H.H. and Fukagawa R. 2012. An improvement of SPH for saturated
soils and its application to investigate the mechanisms of
embankment failure: Case of hydrostatic pore-water pressure,
Geomechanics. doi: 10.1002/nag.1084.
Cundall P.A, Struck ODL. 1979. A discrete numerical model for
granular assemblies. Gotechnique, 29, 47-65.
Gingold R.A., Monaghan J.J. 1977. Smoothed particle hydrodynamics:
Theory and application to non-spherical stars. Mon. Not. Roy.
Astron. Soc., 181: 375-389.
Monaghan J.J. 2003. SPH elastic dynamics. Computer Methods in
Applied Mechanics and Engineering, 190, 6641-6662.
Monaghan J.J, Lattanzio J.C. 1985. A refined particle method for
astrophysical problems. Astronomic & Astrophysics, 149,135-143.
Pastor M., Haddad B., Sorbino G., Cuomo S., Drempetic V. 2009. A
depth-integrated, coupled SPH model for flow-like landslides and
related phenomena. International Journal for Numerical and
Analytical Methods in Geomechanics, 33, 143-172.
Shi G.H. 1988. Discontinuous deformation analysis: a new numerical
model for the static and dynamics of block systems. Ph.D. thesis,
University of California, Berkeley.
Comparative Study on EQWEAP Analysis with 2D/3D FE Solutions

tude comparative sur l'analyse EQWEAP avec des solutions 2D/3D FE
Chang D.-W., Wang Y.-C.
Tamkang University, Taipei, Taiwan
Wu W.-L.
CECI Engineering Consultant Inc., Taipei, Taiwan
Chin C.-T.
Star Energy Corporation, Taipei, Taiwan
ABSTRACT: The seismic responses of the piles using one-dimensional wave equation analysis EQWEAP are compared to the ones
from 2D and 3D finite element analyses based on PLAXIS and MIDAS GTS programs. It is found that the solutions of 1D wave
equation analysis are compatible to those from finite element analyses providing that the site conditions and structural geometry are
relatively simple. Moreover, pile deformations are found mainly governed by the ground motions at the same direction. The effects of
ground motions at different directions are rarely important to the pile displacements. These observations suggest that the
one-dimensional EQWEAP analysis is an applicable tool in estimating the seismic responses of piles under the earthquake.
RSUM: Les rponses sismiques des pieux en utilisant une analyse EQWEAP donde dquation unidimensionnelle sont compares
celles des analyses 2D et 3D par lments finis bass sur des programmes PLAXIS et MIDAS GTS. On retrouve que les solutions
des analyses dquations dondes 1D sont compatibles avec celles des analyses par lments finis pour autant que les conditions du
site et la gomtrie structurelle soient relativement simples. De plus, des dformations de pieux se retrouvent principalement rgies
par des mouvements du sol dans la mme direction. Les effets de mouvements de sol dans des directions diffrentes ne sont que
rarement importants pour les dplacements de pieux. Ces observations suggrent que lanalyse unidimensionnelle EQWEAP est un
outil utilisable dans lestimation des rponses sismiques des pieux sous le tremblement de terre.
KEYWORDS: seismic analysis, pile, wave equation analysis, finite element analysis
1 INTRODUCTION
One-dimensional wave equation analysis can be used to monitor
the time-dependent dynamic responses of piles under earthquake.
An uncoupled analysis termed as EQWEAP models the seismic
ground motions from lumped mass analysis, and superimposing
the ground motions to the piles via the discrete wave analysis
has been proposed (Chang et al., 2006, 2008, 2009a and 2012).
Alternative models can be used for soils with liquefaction
potential. The available ones including the use of soil
parameter reduction coefficient (SPRC), the excess pore water
pressure (EPWP) and the pseudo dynamic earth pressures
obtained by modifying the permanent/cyclic displacement
profiles (Tokimatsu and Asaka, 1998) or the maximum earth
pressures (Japan Road Association, 1990). Such modeling is
rather convenient for massive computations required in
performance based design of piles. The authors have
demonstrated a couple of case studies on bridge pile foundations
using such analysis with probability analysis (Chang et al, 2010
2013a,b). This study intends to verify the 1D wave equation
analysis with the 2D/3D FE analyses. The comparative studies
were conducted using PLAXIS and MIDAS GTS programs.
2 1D WAVE EQUATION ANALYSIS EQWEAP
To model the seismic responses of the piles, the EQWEAP
analysis has been suggested for years (Chang et al., 2001, 2008
and 2009). To obtain the solutions, free-field ground responses
due to the earthquake was calculated first. A simple lumped mass
analysis on horizontal layered soils was adopted to obtain the
ground responses due the earthquake. The soil displacements
691
were then applied to the discrete wave equations with the

expressions of finite difference schemes. Figure 1 illustrates the
discrete pile segments and the equilibrium to derive the wave
equations. For large earthquake excitations whereas the ground
soils are liquefiable, the so-called soil parameter reduction
coefficient (JRA, 1996) could be used. Alternatively, more
rigorous solutions were achieved using the excess pore water
pressure (EPWP) model. The generations and dissipations of the
excess pore water pressures can be simulated by using proper
soil models. Once the ground responses were resolved, one could
choose the P-y and t-z soil models and other types of empirical
formulations to model the soil stiffness and strength parameters
for the wave equation analysis. Some people use the cylindrical
wave propagation theory to calculate for the elastic/inelastic soil
stiffness. The model parameters must be calibrated carefully in
order to obtain rational results of the simulations. In addition, a
transformed radiation damping model (Chang et al, 2000) was
used to compute time-dependent damping of the soils. In such
analysis, a good control of the superstructural loads is important.
The structural loads and inertia force of the pile cap as well as
the lateral earth pressures on the cap were analyzed properly, and
then applied to the piles. The seismic responses of a single pile
can be predicted using the time-dependent ground motions. In
the seismic impacts, the pile-to-pile interaction effects could be
ignored (Chang et al., 2009b). Such analysis can serve as a fast
and rational design tool for the seismic performance of piles
(Chang et al, 2010).
3 2D AND 3D FE ANALYSES FOR COMPARISONS
Finite element (FE) analysis has been extensively used to model
the dynamic pile foundation behaviors due to mechanical and

seismic loads since 1960s.
The seismic responses of the pile
the numerical models used for MIDAS and the verifications of

the solutions by varying the width of the analytical mesh.
Figure 6 depicts the maximum pile displacements occurred
along the piles at the five tasks and Figures 7~11 present the
pile displacement time histories recorded at different locations.
It can be seen that the maximum pile displacements and the
displacement time histories from these analyses are very
similar with each other. Table 3 indicates the computation time
used in each analysis and their ratios via the computer in use.
Table 1 Geotechnical information of numerical model in this study
Depth
(m)
0~4
Figure 1. Schematic layout of EQWEAP analysis
10~20
foundation can be modeled closely by three-dimensional FE

analysis. The geometric conditions of the site and the structure
can be captured in details by a 3D FE modeling. The concerns
of the loadings interfered with the shape of the structure are
sometimes very important to the analysis. For example, if a
torque is applied to the pile foundation where the pile cap has
irregular shape and/or the piles are not in symmetric
orientation, the 3D FE analysis will provide the most
appropriate solution for sure. For simplicity of applications, 2D
FE analysis has been frequently conducted for pile foundations.
In both analyses, one needs to be cautioned about the sizes of
the mesh and the elements in use. The type of element
sometimes is also important, especially for nonlinear problems
and time-domain analysis using explicit integration scheme.
The solutions need to be checked to ensure their stability. In
this study, the 2D PLAXIS program and 3D MIDAS GTS
program are respectively used to simulate the pile responses.
Both programs are well known civil engineering software and
have been used in many studies and projects. Detailed
introduction of these programs can be found in Wang (2012).
One shortcoming of using these programs is that the pile
nonlinearities are unable to model properly through the use of
beam elements or the isoparametric plane/solid elements in the
packages. Nonlinearities of the concrete structure need to be
enhanced in these programs.
20~40
Soil
(kN/m3)
SPTN
()
Vs
(m/s)
SF
Sand
18
30
115
CM
19
28
171
SM
20
14
33
192
CM
20
11
28
222
SM
20
21
34
221
CM
20
14
35
241
SM
20
30
30
248
Sungshan
formation VI
Sungshan
formation V
Sungshan
formation IV
Sungshan
formation III
Sungshan
formation II
Sungshan
formation I
4~10
40~50
50~60
60~70
Layers
Table 2 Material parameters and structural dimensions in use

Parameters and dimensions of piles
Bridge pile foundation 33 piles
Pile diameter: 2m, Pile length: 60m
Design vertical loads: Ordinary 9000 kN, Seismic 18000 kN,
Horizontal load = 10~15% vertical loadMaximum steel bar Ar = 2%
E=30 MN/m2= 0.15=24 kN/m3
Model parameters used for soils
Approach
EPWP
Method/model parameter
Finns EPWP model
where C1=0.8, C2=0.79,
C3=0.45, C4=0.73; R =
0.00031(100-Dr)2 +
0.0062; m=0.43, n = 0.62,
k2 = 0.0028; Seed and
Idrisss model of G/Gmax
where K2,max = f(Dr);
and Skemptons equation
where Dr (%) = f(N1,60)
Spring and damper

Spring: Ks = nhx ;
empirical relationships
of SPT-N and nh could
be found in Johnson
and Kavanagh (1968)
Damper: Transformed
damping (Chang and
Yeh, 1999)
NOTE: Vs=80N^1/3 for sand, Vs=100N^1/3 for clayey soils.
4 COMPARATIVE STUDIES ON NUMERICAL MODELS

A bridge pile foundation of an expressway in Hsinchuang
District in New Taipei City, Taiwan was studied by EQWEAP,
PLAXIS and MIDAS GTS analyses. Table 1 depicts the
geological conditions and the properties and parameters of the
soils at the site. Table 2 presents the soil models and model
parameters used in each analysis. Acceleration time histories of
1999 Chi-Chi earthquake (M=7.3 and local intensity of IV) at a
near-by seismic station TAP017 were used to simulate the
seismic responses of the model piles. Studies were made for
following tasks, 1. Linear analysis for piles located in elastic
homogeneous layers. 2. Nonlinear analysis for piles in inelastic
homogeneous layers. 3. Nonlinear analysis for piles in inelastic
interlayer. 4. Effects of the seismic intensity. 5. Effects of the
seismic excitations from other directions. Due the linearity of
the pile elements used in PLAXIS and MIDAS GTS programs,
the numerical studies were made assuming that the pile remain
in linear elasticity. For homogeneous layer system, an averaged
shear velocity of the soils was computed using the equivalent
travel-time method. The original shear wave velocity of the
soil can be obtained by empirical formulations with SPT-N
values. Figure 2 and Figure 4 show the numerical models used
for PLAXIS and the verifications of the solutions by varying
the width of the analytical mesh. Figure 3 and Figure 5 show
Figure 2. Discrete mesh used in 2D PLAXIS analysis
Figure 3. Discrete mesh used for 3D MIDAS GTS analysis
692
65
921chichi TAP017 PGA(EW)=0.29g
100
60
D70_GP_Ground 0m
Max Displacement (cm)
50
EQWEAP
PLAXIS
55
MIDAS
0
-50
Displacement (cm)
50
45
Width Convergence Test
40
35
0
200
400
600
800
1000
1200
-100
100
D70_GP_Ground -30m
50
EQWEAP
PLAXIS
MIDAS
0
-50
-100
100
D70_GP_Ground -60m
Width (m)
50
Figure 4. Influences of the analytical mesh used in PLAXIS
EQWEAP
PLAXIS
MIDAS
0
92.5
-50
Width convergence test
-100
Max Displacement (cm)
10
20
90.0
30
40
50
60
Time (s)
Figure 7. Pile displacement time- history for No.1 case study
100
87.5
D70_GP_Ground 0m
50
EQWEAP
PLAXIS
0
85.0
Displacement (cm)
-50
921chichi Tap017 PGA(EW)=0.51g
82.5
0
50
100
150
200
250
Width (m)
Figure 5. Influences of the analytical mesh used in PLAXIS

0
EQWEAP
EQWEAP
PLAXIS
0
-50
-100
100
D70_GP_Ground -60m
PLAXIS
PLAXIS
MIDAS
10
D70_GP_Ground -30m
50
EQWEAP
EQWEAP
PLAXIS
-100
100
10
50
10
EQWEAP
PLAXIS
30
20
Depth (m)
20
Depth (m)
Depth (m)
20
30
-50
-100
30
10
20
30
40
50
60
Time (s)
40
40
40
50
50
50
Figure 8. Pile displacement time-history for No.2 case study
(2)
(1)
60
(3)
60
40
80
20
40
60
80
Displacement (cm)
Displacement (cm)
20
D70_GP_Ground 0m
40
60
50
80
0
-50
D70_921
EQWEAP
PLAXIS
EQWEAP
PLAXIS
Displacement (cm)
EW
MIDAS
10
EW+U
Displacement (cm)
100
60
EW+NS
EW+NS+U
20
D epth (m )
D epth (m )
10
30
40
20
-100
100
D70_GP_Ground -35m
50
EQWEAP
PLAXIS
0
-50
-100
100
D70_GP_Ground -70m
50
EQWEAP
PLAXIS
50
921chichi Tap017 PGA(EW)=0.51g
(4)
(5)
PGA=0.12g
30
0
20
40
60
Displacement (cm)
80
60
60
PGA(NS)=0.45g
PGA(U)=0.16g
-50
70
80
90
100
-100
Displacement (cm)
10
20
30
40
50
60
Time (s)
Figure 6. Maximum pile displacements obtained from the analyses

for tasks No.1~No.5
693
5 CONCLUDING REMARKS
50
This paper discusses the numerical solutions for seismic

responses of the piles from one-dimensional wave equation
analysis EQWEAP with those from two- and three-dimensional
finite element analyses using PLAXIS and MIDAS GTS
programs. Linear and nonlinear solutions were both checked
for a homogeneous soil system, whereas the nonlinear
solutions were verified for the interlayer system. It was
concluded that the solutions from these analyses are agreeable
at a variety of seismic intensities. In addition, the pile
displacements were found nearly independent with the seismic
excitations at other directions. Therefore it is concluded that
the one-dimensional analysis can provide rational solutions to
the seismic responses of the piles while it requires much less
time for computations.
D40_GP_Ground 0m
EQWEAP
PLAXIS
MIDAS
Displacement (cm)
PGA=0.12g
-50
50
D40_GP_Ground -15m
EQWEAP
PLAXIS
MIDAS
PGA=0.12g
-50
50
D40_GP_Ground -30m
EQWEAP
PLAXIS
MIDAS
6
PGA=0.12g
-50
0
10
20
30
40
50
60
Time (s)
150
D70_921_Ground 0m
Case 1 EW
75
Case 2 EW+U
Case 3 EW+NS
Case 4 EW+NS+U
Displacement (cm)
-75
921chichi earthquake
-150
150
D70_921_Ground -30m
Case 1 EW
75
Case 2 EW+U
Case 3 EW+NS
Case 4 EW+NS+U
0
-75
-150
150
D70_921_Ground -60m
Case 1 EW
75
Case 2 EW+U
Case 3 EW+NS
Case 4 EW+NS+U
0
-75
-150
0
10
20
30
40
50
60
Time (s)
Table 3 Comparisons on time required in various analyses

EQWEAP
case
PLAXIS
MIDAS/GTS
free field
node numbers
14
1600
2000
time
3 min
15 min
60 min
time ratio
1512
case
piles
node numbers
11
6000
5500
time
5 min
45 min
150 min
1930
time ratio
platform
CPU
RAM
OS
AMD X2 250
3.00 GHz
4.00GB
Windows 7
REFERENCES
Chang, D.W. and Lin, B.S. 2006. EQWEAP~a Simplified Procedure to

Analyze Dynamic Pile-Soil Interaction with Soil Liquefaction
Concerns. Proc., 2nd Taiwan-Japan Joint Workshop on
Geotechnical Hazards from Large Earthquake and Heavy Rainfall,
Nagaoka, 155-162.
Chang, D.W., Cheng, S.H. and Lin, B.S. 2008. Discrete Wave Equation
Analysis for Seismic Responses of Piles, Proc., 8th International
Conference on the Application of Stress Wave Theory to Piles,
Lisbon, Portugal, September, 285-292.
Chang, D.W., Yang, T.Y., Cheng, S.H., Chin, C.T., Su, T.C. and Huang,
F.K. 2009a. Pile Design Practice and Seismic Performance
Concerns in Taiwan, Proc., IS-Tokyo 2009-International
Conference on Performance-Based Design in Earthquake
Geotechnical Engineering-from case history to practice, Tsukuba,
Japan, June, 1559-1566.
Chang, D.W., Wang, Y.L., Chang, H.K. and Jang G.R. 2012. SPRC and
EPWP modeling for EQWEAP analysis on piles, Proc.,
IS-Kanazawa 2012- 9th International Conference on Testing and
Design Methods for Deep Foundations., Kanazawa, Japan,
885~890
Tokimatsu, k. and Asaka, Y. 1998. Effects of liquefaction Induced
Ground Displacement on Pile Performance in the 1995
HyogokenNambu Earthquake, Special Issue of Soils and
Foundations, 2, 163-178.
Japan Road Association 1990. Specification for Highway Bridges, Part
V, Seismic Design.
Chang, D.W., Yang, T.Y. and Yang, C.L. 2010. Seismic Performance of
Piles from PBEE and EQWEAP Analyses, J. of Geotechnical
Engineering, SEAGS/AGSSEA, 41(2), 79-86.
Chang, D.W. Cheng S.H. and Wang Y.L. 2013a. One-Dimensional
Wave Equation Analyses for Pile Responses Due to Horizontal
Ground Motions of Earthquake, submitted to Soils and
Foundations. (under review)
Chang, D.W., Sung, S.H., Lee, S.M., Askar Zhussupbekov and Erlan
Saparbek. 2013b. On Seismic Performance and Load Capacities
for Pile Design, Proc., 18th International Conference on Soil
Mechanics and Geotechnical Engineering, Paris September 2~5
Chang, D.W., Lee, S.H. and Chin, C.T. 2001. Wave Equation Analyses
for Seismic Grouped Pile Response. Proc., 15th International
Conference on Soil Mechanics and Geotechnical Eng., Istanbul,
Turkey, 859-862.
Japan Road Association. 1996. Specification for Highway Bridges,
Part V, Seismic Design.
Chang, D.W., Roesset, J.M. and Wen, C.H. 2000. A Time-Domain
Viscous Damping Model Based on Frequency-Dependent
Damping Ratios. Soil Dynamics and Earthquake Engineering, 19,
551-558.
Chang, D.W., Lin, B.S. and Cheng, S.H. 2009b. Lateral load
distributions on grouped piles from dynamic pile-to-pile
interaction factors. International Journal for Numerical and
Analytical Methods in Geomechanics, 33,(2), 173-191.
Wang. 2012. Comparison of Wave Equation and FEM Analyses on
Seismic Behaviors of Pile Foundations, Master Thesis, Graduate
Institute of Civil Engineering, Tamkang University, Tamshui,
Taiwan (in Chinese).
694
Large-Scale Geotechnical Finite Element Analysis on Desktop PCs

Analyse par lments finis de problmes gotechniques de grandes dimensions sur ordinateur de
bureau
Chaudhary K.B.
GeoSoft Pte Ltd, 2 Kaki Bukit Place, #03-00 Tritech Building, Singapore 416180
Phoon K.K.
Department of Civil & Environmental Engineering, National University of Singapore, Block E1A, #07-03, 1 Engineering
Drive 2, Singapore 117576
Toh K.C.
Department of Mathematics, National University of Singapore, Block S17, 10 Lower Kent Ridge Road, Singapore 119076
ABSTRACT: With the development of new hardware and software technologies, the trend of using three-dimensional finite element
analysis in geotechnical engineering is growing recently. However, the solution of realistic large-scale problems still demands a
significant amount of computational time and resources. The computational time can be even longer for the ill-conditioned systems
when the stiffness of different elements differs by several orders of magnitude. In this paper, we demonstrate how the recent
development of block diagonal preconditioning has effectively reduced the computational time of iterative solvers so that large-scale
finite element analysis can be performed in a reasonable time on Desktop PCs using GeoFEA.
RSUM : Avec le dveloppement des nouvelles technologies matrielles et logicielles, l'analyse tridimensionnelle par lments finis
en gotechnique est de plus en plus utilise. Cependant, la solution de problmes de grandes dimensions rels exige toujours une
quantit importante de temps de calcul et de ressources. Le temps de calcul peut tre encore plus long pour les systmes mal poss,
lorsque la raideur des diffrents lments diffre de plusieurs ordres de grandeur. Dans cet article, nous montrons comment le
dveloppement rcent de prconditionnement diagonale par blocs a permis de rduire le temps de calcul des solveurs itratifs de sorte
que l'analyse de problme de grandes dimensions par lments finis peut tre effectue dans un dlai raisonnable sur les ordinateurs
de bureau utilisant GeoFEA.
KEYWORDS: Large-scale finite element analysis, iterative solvers, preconditioning, GeoFEA, Desktop PC.
1
The recently proposed block diagonal preconditioners

(Chaudhary et al., 2011, 2012) have shown to have effectively
mitigated the ill-conditioning issues due to significant constrasts
in stiffness as well as hydraulic conductivity of the materials in
such problems.
This paper discusses the feasibility of 3D analysis with the
implementation of these latest developments in preconditioned
iterative solvers in GeoFEA, a commercial software package
(http://www.geosoft.sg/). The results and how geometric
idealizations can sometimes lead to erroneous results will be
elaborated through using a case study of a basement excavation
in Singapore.
INTRODUCTION
With the advancement of new hardware and software

technologies (sophisticated finite element programs), fairly
large-scale analyses are within the reach of geotechnical design
offices and the emphasis of designs and analyses has been
shifting from simple or empirical approaches to large-scale
three-dimensional (3D) finite element modelling. 3D analysis is
also useful in understanding the complex soil-structure
interation problems. However, significant amount of time and
large memory requirement for storage are the major challenges
for 3D analysis because a large number of finite elements are
required to represent the problem realistically. The resulting
system of equations has, in general, the form:
Ax b
1
(1)
PRECONDITIONERS
The finite element discretization of the Biots coupled

consolidations equations is usually expressed in 22 block
linear system (Smith and Griffiths, 1997):
where A N N is known as coefficient matrix, x N is the

vector of unknowns, b N is the force vector. N is the
dimension of the linear system, that is, the degrees of freedom
(DOFs) of the discretized mesh. Solution of this linear system
(Eq. 1) is one of the most expensive computational parts in
finite element analysis. For large linear systesms, Krylov
subspace iterative method is popularly used to solve (Cipra
2000) them because of smaller memory requirement than direct
solvers. However, for Krylov subspace iterative methods to be
successful or efficient, preconditioning plays an important role.
In geotechnical engineering, consolidation is a general
phenomenon, for which the coefficient matrix A can be severely
ill-conditioned (Chan et al. 2001, Ferronato et al. 2001, Lee et
al. 2002). Some effective preconditioners have been proposed in
the past decade for Biots (Biot 1941) consolidation equations;
see, for example, Gambolati et al. (2011), Chen and Li (2011)
for a brief review. Besides consolidation equations, highly
heterogeneous soil profile or soil-structure interaction problems
can further exaggerate the numerical instability of the solution.
K
BT
B u f

C p Cpt
(2)
where K is solid stiffness matrix, C is fluid stiffness matrix, B is

displacement-pore pressure coupling matrix, u is displacement
increment, p is excess pore pressure increment, f is nodal
load increment, and pt is nodal pore-pressure at current time
step. Chaudhary et al. (2012) observed that the performance of
existing preconditioners based on above 22 block form of the
coefficient matrix may deteriorate significantly for the problems
with significant contrasts in material properties, such as in soilstructure interaction problems. They proposed to partition the
solid stiffness matrix K such that the coefficient matrix A takes
a 33 block form, which has more flexibility to construct
695
optimal preconditioners for such problems. Comparing Eqs. (1)

and (2):
P
B T
K
A
L
T
B C B T
1
L
G
B2T
B1
with K P
B2
LT
L
.
G
(3)
where P is the stiffness matrix corresponding to stiff materials,

G is the (soft) soil stiffness matrix, L is the stiff material-soil
connection matrix, and B = [B1, B2]T. The proposed block
diagonal preconditioners have the following form:
P
0
0
M 1 0 diag (G )
0
diag ( S )
0
0
M2
0
G
P
with H BT
0 MSSOR( H )
2
(4)
B2
C
(5)
S C B1T diag ( P) 1 B1 B2T diag (G ) 1 B2

is
an
where,
approximation to the Schur compelement matrix and is a nonzero parameter, which is set to -4 based on an eigenvalue
theorem developed in (Phoon et al. 2002). Whether a material is
considered stiff so that the use of above preconditioners can be
advantageous is largely problem dependent. Our numerical
experiences suggest that the material 1 would be considered
stiffer than material 2 if the ratio of Youngs modulus of
material 1 (E1) to material 2 (E2) is greater than 300-400 for the
use of above preconditioners.
In general, the linear system is more prone to numerical
instability (even with direct solvers) if this ratio grows very
large. However, the theoretical block diagonal preconditioner
has turned this curse into an advantage (see the theorem in
Chaudhary et al. 2012), which is the basis of these inexact block
diagonal preconditioners. Thus, an even better performance can
be achieved if the problem involves several orders of difference
in stiffness properties. This is because the sensitivity of stiffness
contrast of materials is effectively minimized when the
submatrix P is solved directly (such as Cholesky factorization)
in M1 and M2. The only limitation of the above preconditioners
is that the size of submatrix P should be such that its direct
factorization is not very expensive to compute with the
available random access memory (RAM) of the computer.
However, the memory demands of these preconditioners are
still much more affordable than applying an incomplete LU
factorization preconditioner to the entire A or even entire K,
because the size of P is usually much smaller than that of A (or
K) for most of the geotechnical problems. The preconditioner
M2 has an edge (up to about 2 times faster) over M1 due to the
modified symmetric successive over-relaxation approximation
(Chen et al. 2006) of lower-right 22 submatrix of A. This is
also helpful in minimizing the effect of contrasts in hydraulic
conductivity of the materials. However, M1 is easier to be
implemented and parallelized than M2. Both of these
preconditioners have been implemented in GeoFEA.
2
2.1
CASE STUDY BASEMENT EXCAVATION

Site Condition
Figure 1 shows the plan view of the excavation site. The 36

storey condominium housing development project has 2 levels
of basement excavation for carparks at Ardmore Park,
Singapore. As shown in Figure 1, there are three types of
retaining systems used in this project: (1) Circular sheet pile
cofferdam with concrete ring waling in WS-A, (2) Corner strut
696
system in WS-B, WS-D and WS-E, and (3) Ground anchors in

WS-C and WS-D. The ground surface was sloping downwards
from North (RL 117.5m) to South (RL 112.5m). The depth of
excavation varies due to sloping ground and was about 14m for
the central cofferdam area (WS-A), and about 7.7m for outside
it.
The top
top 1.8m to 5.5m of soil is fill material with average
SPT N-values estimated to be 3. This is underlain by residual
soil derived from Bukit Timah Granite Formation. This residual
zone is classified into GVI-1 and GVI-2 with a thickness
ranging from 7.1 to 11.8m and 4.4 to 8.9m respectively. The
residual zone is followed by zones of completely weathered
Bukit Timah Granite Formation, GV-1 and GV-2. GV-1 ranges
from homogeneous to non-homogeneous subsurface material
with thickness varying from 3.1 to 10.0m. The SPT N-values
lies between 24 and 51. The thickness of GV-2 zone is from 5.7
to 7.7m with SPT N-values lying between 53 and 94. The soil
underneath consists highly weathered Bukit Timah Granite
Formation GIV with SPT N-values well above
100blows/300mm. Most of the excavations are carried out in
residual soil derived from Bukit Timah Granite Formation.
Table 1 shows the soil properties used in the analysis.
A
2
1
WS-D
WS-E
A
WS-A
WS-B
WS-C
Figure 1. Plan view of the project site with strutting system

Table 1. Idealized soil profile used in the analysis.
Sublayer
Fill
GVI-1
GVI-2
GV-1
GV-2
GIV
Hard
Stratum
Depth
(m)
014.3
1.820.6
9.727.9
12.835.6
18.937.7
26.143.9
25.541.2
SPT
0-12
6-24
11-47 24-62 50-100 >100
>100
value
E,
9,000 15,000 38,000 80,000 155,000 650,000 950,000
kN/m2
1
5
7
5
20
150
200
c',
kN/m2
',
26
27
28
34
34
36
36
degree
'
0.3
0.3
0.3
0.3
0.3
0.3
0.3
k,
510-8 210-7 110-7 110-7 110-7 110-6 110-6
m/s
OCR
1.5
1.2
1.2
1.1
1.1
1.1
1.1
2.2
Finite Element Analysis
The finite element analysis was conducted using GeoFEA

version 9.0 (2012). The finite element mesh of the model is as
shown in Figure 2. The geometry and ground profile were
closely tried to replicate the real situation. The dimension of the
model is 176m long by 141m width. The total number of
elements used is 198,127 inclusive of 53,673 elements for
structural elements. The structural elements are sheet pile,
struts, walers, piles, etc. in this analysis, as shown in Figure 2b.
This generated a total degrees-of-freedom (DOFs) of 855,645.
Note that in the excavation analysis, the total DOFs changes in
each stage due to excavation of soil (removal of elements) and
installation of struts (inclusion of elements). Hence, the stiff
DOFs (related to stiff materials) as well as total DOFs vary for
different construction stages. The stiff DOFs range from
227,028 to 248,034 in different stages which are in the range of
30 to 40% of the total DOFs in respective stages. The element
types used in the analysis are as follows:
a) Steel struts and walers were modeled using 3-noded linear
elastic beam elements. A preload of 100kN was applied at
each strut. This was achieved in GeoFEA by applying
100kN load at each connection point of struts with walers
before installing the struts.
b) The sheet piles were modeled using 10-noded tetrahedron
elements. The section modulus of the 0.3m wall is taken to
that of equivalent to the section modulus (EI) of the FSP
IV sheet pile, which has been used in the site.
c) All soil types were modeled using 10-noded tetrahedron
elements. All soil types were modeled using MohrCoulomb models with associated flow rule.
The side boundaries are restrained laterally and the bottom
boundary is fixed in all directions. The water table is set at RL
112.5m, lowest ground surface level in the model, so that no
area is inundated. The sheet pile was assumed to be wished-inplace.
To model the whole excavation process, 41 increment blocks
(or stages) were necessary besides the initial step (0) to compute
the initial stresses. The excavation was carried out parts-byparts as marked in Figure 1. The excavation was started from
WS-A up to RL 101.5m, and followed to WS-D, WS-C, WS-B
and WS-E up to 108m, respectively. The construction sequence
consisted of alternate layers of excavation and installation of
struts. Four layers of circular ring beam were installed within
the circular pit as strutting system for the excavation from RL
115.5m to RL 101.5m. After excavating to the desired level, the
pile cap and tower footing were constructed, 4th ring at RL
104m was removed, and backfilled up to RL 107.1m. Similarly,
the excavation at WS-D was carried out to RL 108m with 2
levels of strut at corners and 2 levels of soil anchors inclined at
an angle of 10 downward into the ground near WS-C. WS-C
has only one level of strut at RL 110m as the excavation depth
is shallower that other zones due to sloping ground. Note that,
in actual construction, the soil anchors were replaced by raker
system. Areas WS-B and WS-E both have two levels of corner
struts at RL 113m and RL 110m, and RL 115m and RL 111m,
respectively. Total pore pressures boundary conditions were set
to zero on each exposed faces after excavation to represent a
dried excavation pit. A surcharge of 2kPa was applied to each
slope cuts as to represent the 10mm thick lean concrete.
All the stages were modeled with 5 load increments to
account for nonlinear soil behavior except for the final
excavation stage of WS-E, which was modeled with 20 load
increments. This was decided to reduce the out-of-balance loads
redistribution by the Newton-Raphson method resulting from
equilibrating the external and internal forces. This gives a total
of 221 load increments including in situ stress computation.
As linear elastic model was used for structural elements and
Mohr-Coulomb model with associated flow rule was used for
all soil types, the coefficient matrix A (Eq. 1) is symmetric
indefinite. Hence, the symmetric quasi-minimal residual
697
(SQMR) solver (Freund and Nachtigal 1994) was used in

conjunction with M1 and M2 preconditioners for the solution.
The solution with M2-SQMR was completed in 48 hours and 11
minutes. Thus, the average solution time for each load
increment was 13.1 minutes only. However, the average time
for M1-SQMR was about 20 minutes for each load increment.
This is considerably faster, given the size and complexity of the
problem. The solution was carried out on DELL XPS 8300
Intel Core i7-2600 CPU @ 3.40GHz with 16GB RAM.
Note that, there is no memory issue for the same sized problem
on a PC with 8GB RAM as well. This shows that the large-scale
simulations involving materials of strongly varying material
properties are feasible for routine geotechnical analyses using
above solvers in GeoFEA.
(a)
(b)
Figure 2. Finite element mesh: (a) Overall geometry, and (b) Structural
elements and strutting system
2.3
Two-Dimensional Idealization
Various types of idealizations are frequently made in the finite

element analysis of many geotechnical problems in order to
simplify the analysis. However, geometric idealization is often
situational and less amenable to generalization compared to
other idealizations such as numerical or material (Lee, 2005).
The studied problem was also analyzed with two-dimensional
plane strain and axisymmetric analyses along a section A-A, as
shown in Figure 1, to compare the outputs.
2.4
Comparison with Field Measurements
Figure 3 shows the computed and measured wall deflection

after the excavation of all zones was completed. The measured
wall deflection profiles were obtained from inclinometers
installed just behind the walls. The computed deflections are
taken from the sheet pile sections around the locations of the
inclinometers. As shown in Figure 3, the computed deflection
profile from plane strain analysis is too far off from the
measured profile, indicating its limitations for such geometries.
The deflection profile from axisymmetric analysis is somewhat
closer to the measured profile at section 2. However, the
monitoring team has concluded that the localized large
deflection at section 2 could be due to the presence of heavy
vehicles park beside the location of the inclinometer near that
section. Considering the uncertainties and complexities
involved in the actual construction as well as in the analysis, the
computed deflection profiles from 3D analysis and measured
deflection profiles are in reasonable agreement. The 3D analysis
(Figure 4) also shows that, that zone near section 2 is more
critical in terms of deflection and more attention is required. In
addition, the 3D analysis provides different deflection profiles
at different locations, such as corner effects, which is difficult to
achieve with simple idealizations.
118
Reduced Level (m)
114
110
106
102
3D FEM
Axisymmetric
Plane Strain
(b)
(a)
98
-30
-15
0
15
30
Wall deflection (mm)
45
-30
Measurement
-15
0
15
30
Wall deflection (mm)
45
Figure 3. Deflection profiles of sheet pile wall: (a) at section 1, and (b)
at section 2. Section 1 and 2 are as shown in Figure 1.
Figure 4. Deformed shape of the sheet pile wall with deflection vectors.
(Deformed shape is scaled to 200 times).
CONCLUSION
The latest developments in preconditioning has led to

significant improvement in computational times of iterative
solvers and open up exciting possibilities of conducting largescale 3D analyses on Desktop PCs. This will be helpful in
698
simulating complex geotechnical problems with strongly

varying material properties as simple idealizations may not be
sufficient in many cases.
4
ACKNOWLEDGEMENTS
The authors would like to acknowledge Dragages Singapore

(Pte) Ltd for providing the data related to studied project work.
The authors would also like to thank Dr. Hong Sze Han and
Zhang Guo-Qin of GeoSoft Pte Ltd for the help on creating the
mesh and for valuable discussions.
5
REFERENCES
Biot M.A. 1941. General theory of three-dimensional consolidation.

Journal of Applied Physics 12(2), 155-164.
Chan S.H., Phoon K.K., and Lee F.H. 2001. A modified Jacobi
preconditioner for solving ill-conditioned Biot's consolidation
equations using symmetric quasi-minimal residual method.
Geomechanics 25(10), 1001-1025.
Chaudhary K.B., Phoon K.K., and Toh K.C. 2011. Inexact block
diagonal preconditioners to mitigate the effects of relative
differences in material stiffnesses. International Journal of
Geomechanics, doi: 10.1061/(ASCE)GM.1943-5622.0000197.
Chaudhary K.B., Phoon K.K., and Toh K.C. 2012. Effective block
diagonal preconditioners for Biots consolidation equations in
piled-raft foundations. International Journal for Numerical and
Analytical Methods in Geomechanics, DOI: 10.1002/nag.1127.
Chen X., Toh K.C., and Phoon K.K. 2006. A modified SSOR
preconditioner for sparse symmetric indefinite linear systems of
equations. International Journal for Numerical Methods in
Engineering 65(6), 785-807.
Chen X. and Li L. 2011. Some issues in research on block
preconditioning for coupled Biots linear system. Proc. Of 2nd
International Conference on Mechanic Automation and Control
Engineering, 15-17 July 2011, Inner Mongolia, China, 2574-2577.
Cipra B.A. 2000. The best of the 20th century: Editors name top 10
algorithms. SIAM News 33(4), 1-2.
Ferronato M., Gambolati G., and Teatini P. 2001. Ill-conditioning of
finite element poroelasticity equations. International Journal of
Solids and Structures 38(34-35), 5995-6014.
Freund R.W. and Nachtigal N.M. 1994. A new Krylov-subspace method
for symmetric indefinite linear systems. Proc. 14th MIACS World
Congress on Computational and Applied Mathematics, Atlanta,
USA, 1253-1256.
Gambolati G., Ferronato M., and Janna C. 2011. Preconditioners in
computational geomechanics: A survey. International Journal for
Numerical and Analytical Methods in Geomechanics 35, 980-996.
GeoFEA. 2012. Finite element software, version 9.0. GeoSoft Pte Ltd,
Singapore, http://www.geosoft.sg/
Lee F.H., Phoon K.K., Lim K.C., and Chan S.H. 2002. Performance of
Jacobi preconditioning in Krylov subspace solution of finite
element equations. International Journal for Numerical and
Analytical Methods in Geomechanics, 26(4), 341-372.
Lee F.H. 2005. Some issues in idealization in FE analysis. Proc. of
Underground Singapore, Singapore, 229-240.
Phoon K.K., Toh K.C., Chan S.H., and Lee F.H. 2002. An efficient
diagonal preconditioner for finite element solution of Biots
condolidation equations. International Journal for Numerical
Methods in Engineering 55(4), 377-400.
Calibration of a modified hardening soil model for kakiritic rocks

talonnage d'un modle modifi d'crouissage des sols pour les roches kakiritiques
Dong W., Anagnostou G.
ETH Zurich, Switzerland
ABSTRACT: The response of weak rocks to tunnel excavation is usually analysed by assuming that the ground behaves as a linearly
elastic, perfectly plastic material obeying the Mohr-Coulomb yield criterion. This model fails, however, to map the non-linear stressstrain behavior and the stress dependency of stiffness observed in triaxial testing on typical weak tectonized rocks such as kakirites.
As a consequence, an equivalent Youngs modulus has to be adopted, which may prove to be a difficult task. The present paper shows
that a modified hardening soil model, whose parameters can be determined by common triaxial tests, describes the behavior observed
under triaxial testing conditions better than the Mohr-Coulomb model under different stress levels. It also eliminates the need for
more or less arbitrary assumptions concerning the Youngs modulus.
RSUM : Lors de la conception, la raction de la roche l'excavation du tunnel en terrain tendre est gnralement analyse en
assumant un comportement lastique linaire, parfaitement plastique du matriau en utilisant le critre de plasticit de MohrCoulomb. Cependant, ce modle ne permet pas la description du comportement contrainte-dformation non-linaire ainsi que la
dpendance de la rigidit l'gard des contraintes observes dans les essais triaxiaux sur des roches tendres tectonises comme les
kakirites. Par consquent, le module d'Young quivalent doit tre appliqu, ce qui peut, en fonction du degr de la non-linarit
actuelle et de la variation de la contrainte de confinement, se rvler tre une tche difficile. Le prsent document montre qu'un
modle modifi d'crouissage des sols, dont les paramtres peuvent tre dtermins par des essais triaxiaux courants, dcrit mieux le
comportement observ sous diffrents niveaux de contraintes dans des conditions de test triaxial qu'avec le modle de MohrCoulomb. Ce modle limine galement le besoin de hypothses plus ou moins arbitraires concernant le module d'Young. (roches
poussantes, modle modifi d'crouissage des sols, dpendance de la rigidit l'gard des contraintes.)
KEYWORDS: squeezing ground, modified hardening soil model, stress dependent stiffness
1
INTRODUCTION
The relationship between rock pressure and displacement of the

excavation boundary is important for tunnel design particularly
under so-called squeezing conditions (Kovri 1998).
Considerable uncertainties persist with respect to quantifying
this relationship, because it depends essentially on the
constitutive behavior of the ground. The latter is usually
considered as a homogeneous, isotropic, linearly elastic and
perfectly plastic material obeying the Mohr-Coulomb yield
criterion. This model (hereafter referred to as MC model) is
widely used in engineering practice, because it accounts for
some important aspects of actual ground behavior, is relatively
simple and contains a small number of easily identifiable and
familiar parameters. However, the MC model cannot map some
features of the rock behavior observed in triaxial tests. More
specifically, triaxial tests on kakirite samples (a typical
squeezing rock from the Alps) show that the stress-strain
behavior is pronouncedly nonlinear and inelastic right from the
start of deviatoric loading, while the MC model exhibits linear
elastic behavior before yielding. Another drawback of the MC
model is that it cannot map the observed stress dependency of
stiffness. Applying the modulus determined at some stress
levels to other stress levels may lead to inaccurate predictions.
Due to the linearity of the MC model, an equivalent Youngs
modulus has to be adopted, which besides being theoretically
questionable may (depending on the degree of the actual nonlinearity and confining stress variety) prove to be a difficult
task.
The present paper investigates whether an alternative
constitutive model can better map the observed behavior under
triaxial conditions. The considered model represents a slight
699
modification of the well-known Hardening Soil model (HS

model) of the PLAXIS finite element code and will be referred
to hereafter as the Modified Hardening Soil model (MHS
model). Section 2 of the present paper introduces the model,
while Section 3 determines the model parameters using the
results of laboratory tests on kakiritic samples. Finally, the
capability of the MHS model is discussed by comparing it with
the MC model under triaxial drained shear conditions and
different confining pressures (Section 4).
2
MODIFIED HARDENING SOIL MODEL
The detailed description of the original HS model can be found

at Brinkgreve and Vermeer (1997). Benz et al. (2008) extended
the original model by formulating the yield function in terms of
the Lode angle. This makes it possible to replace the original
Mohr-Coulomb yield surface easily by alternative failure
criteria such as the Matsuoka-Nakai criterion, which considers
the effect of the intermediate stress, does not exhibit
singularities and simplifies, therefore, the numerical
implementation.
The MHS model is slightly different from the HS model with
respect, (i), to the dependency of the yield surface on the Lode
angle, (ii), to the dilatancy law and, (iii), to the cap hardening
part, which is not taken into account in the present model. The
present Section outlines the formulation of the MHS model
under triaxial test conditions. All stresses hereafter are effective
stresses. Compressive stresses are taken as positive.
Figure 1. Hyperbolic stress-strain relationship in a CD triaxial test.
The MHS model is formulated within the framework of elastoplasticity; the axial strain 1 is divided into an elastic part and a
plastic part:
1 1e 1p
(1)
The elastic part of the axial strain depends linearly on the

deviatoric stress q (Fig. 1).:
q
Eur
(2)
0.5
where Eur denotes the elastic unloading-reloading modulus. The

latter depends in general on the minimum principal stress 3
according to the following power law:
Eur Eur , ref
3 c f cot f
pref c f cot f
(5)
From Eqs (1), (2) and (4) we obtain the following relationship
between the deviatoric stress and the plastic axial strain:
q
1
q
1p 0 .
2E50 1 q / qa Eur
0.5
-1
y = 1.884x - 0.2424
R = 0.9671
un-/reloading stiffness
secant stiffness
-2
LN(3*/pref*)
Figure 3. Relationship between E/Eref and 3*/pref* in a log-log scale
Since the material is continuously yielding during primary

loading, the left-hand-side of Eq. (6) represents the yield
function:
f ( , sps )
q
1
q 2 ps
s .
2E50 1 q / qa Eur 3
(7)
(4)
E50, ref
Eur .

Eur , ref
0
-0.5
-1.5
where qa and qf denote the asymptotic deviatoric stress and the

deviatoric stress at failure, respectively (Fig. 1). The latter is
usually taken equal to a fraction of the asymptotic stress (i.e.,
qf = Rf qa, where Rf is a constant). E50 is the secant stiffness in
primary loading at q = 0.5 qf and depends on the minimum
principal stress 3 via the same power law as the unloadingreloading modulus does:
c f cot f
E50 E50, ref 3
pref c f cot f
-0.5
(3)
where Eur,ref, cf and f denote the modulus at a reference

pressure pref, the final cohesion and the final friction angle,
respectively. The two shear strength parameters are identical
with the cohesion and the friction angle of the standard MC
model.
The MHS model adopts the basic idea of the HS model,
which is to formulate the plastic part of the axial strain in such a
way, that the overall response during primary loading in drained
triaxial tests fulfills Duncan and Changs (1970) hyperbolic
relationship:
q
1
1
for q qf,
2 E50 1 q / qa
0
-1
y = 0.9104x - 0.0041
R = 1
LN(E/Eref)
1e
Figure 2. (a) Deviatoric stress and, (b), volumetric strain as a function of

axial strain under a radial stress of 5 MPa (parameters: Table 1)
This formulation contains as hardening parameter the plastic

shear strain sps instead of the plastic axial strain 1p . This
substitution is possible provided that the plastic volume changes
p
1.5 1p ).
are relatively small ( sps 1p 3p 1.5 1p 0.5 vol
During hardening, the mobilized shear strength parameters
increase from zero to their final values. The yield function (Eq.
7) can be written in terms of the mobilized friction angle m. In
order to reduce mathematical formalism, we apply Caquots
(1934) transformation to the normal stresses and formulate the
yield condition and plastic potential in terms of the transformed
average and deviatoric stresses, which reads as follows:
p* ( 1* 2 3* ) / 3 p c f cot f
(8)
q q .
(9)
*
1
*
3
During yielding the stresses fulfill the Mohr-Coulomb criterion

with the mobilized friction angle m (Eq. 10). At failure, q
reaches qf and m reaches f in Eq. (10).
(6)
700

q* q
2sin m *
3 .
1 sin m
(10)
Substituting Eq. (10) into Eq. (7) and considering that qf = Rf qa

leads to Benz et al.s (2008) formulation of the yield function:
f ( , sps )
3 q*
4 E50
1 Rf
1
1 sin f
sin f
sin m
1 sin m
3 q*
sps ,
2 Eur
(11)
As mentioned by Benz et al. (2008), Eq. (11) is not limited to

the Mohr-Coulomb failure criterion. In order to consider the
effect of intermediate stress and simplify the numerical
implementation they adopted the smooth Matsuoka-Nakai yield
surface:
I1* I 2* (1 sin 2 m ) I 3* (9 sin 2 m ) 0 ,
(12)
where I1*, I2* and I3* are the transformed stress invariants.
Based on this equation, the mobilized friction angle can be
expressed in terms of the stress invariants and inserted into Eq.
(11), which leads to the yield function of the MHS model for
the Matsuoka-Nakai criterion.
The adopted flow rule is non-associated and corresponds to
the cone-shaped plastic potential Drucker-Prager function:
(
) q* p *
6sin m
,
3 sin m
If the mobilized friction angle is lower than the critical

mobilized friction angle, the mobilized dilatancy angle is
negative, which means that the behavior is contractant.
Otherwise the behavior is dilatant. The critical mobilized
friction angle depends on the final values of the friction and
dilatancy angles:
sin cs
sin f sin f
1 sin f sin f
(15)
As mentioned above, the MHS model does not include the cap
hardening part of Benzs (2008) HS model. Under the
conditions prevailing in triaxial tests as well as in the ground
around deep tunnels, the stress path corresponds to mainly
deviatoric shearing. The behavior can be solely simulated by the
deviatoric hardening part, i.e. without considering cap
hardening. In the absence of the latter, the parameters can be
determined using conventional triaxial tests (no oedometric or
isotropic compression tests needed) and the numerical
implementation is simplified.
Table 1. Parameter values
MC model
Parameters
Set 1
Set 2
Set 3
E [MPa]
1800
1000
1600
6.4
6.4
[]
Other parameters: = 0.3, c = 0.569 MPa, = 30
(13)
MHS model
where m denotes the mobilized dilatancy angle. The original

HS model assumed Rowes (1962) dilatancy law, which,
however, greatly overestimates the contractant behavior at low
mobilized friction angles (Benz 2008). The MHS model adopts
the relation of Soreide (1990):
sin m sin cs sin m

sin m
,

1 sin m sin cs sin f

(14)
where cs is the so-called critical mobilized friction angle. This

parameter marks the boundary between contractant and dilatant
behavior.
701
Parameter
Set 1
Set 2
0.91
1.88
Other parameters: Eur,ref = 1800 MPa, E50,ref = 1152

MPa, pref = 5 MPa, = 0.3, cf = 0.569 MPa, f =
30, = 6.4, Rf = 0.9
The MHS model has a total of nine parameters, four of them

(Eur,ref, E50,ref, pref, m) are used to determine the moduli Eur and
E50. Another 4 parameters are same as in the Mohr-Coulomb
model (, cf, f and f). The last parameter Rf, which defines the
ratio between qf and qa, is usually taken equal to 0.9. As with
the MC model, all the parameters have a clear physical meaning
and can be determined using conventional triaxial tests.
PARAMETER IDENTIFICATION
The calibration of the model parameters is illustrated by

considering the example of a typical kakirite sample taken from
the Sedrun section of Gotthard Base Tunnel (Anagnostou et al.
2008). The sample was subjected to a multistage consolidated
drained test (CD test) under consolidation pressures of 2, 5 and
9 MPa. The solid lines in Figures 2a and 2b show the deviatoric
stress and the volumetric strain, respectively, as a function of
the axial strain for a confining pressure of 5 MPa. The nonlinearity of the stress-strain relationship before failure is
significant. The unloading curves in Figure 2a show that
irreversible strains develop right from the start of deviatoric
loading.
The shear strength parameters of the MC model can be
determined in the usual manner, i.e. from the regression line in
the principal stress diagram. The dilatancy angle of the MC
model can be determined from the slope of the 1 and vol curve
(Fig. 2b), taking into account that the slope, i.e.
b
2sin
.
1 sin
(16)
Three parameter sets were chosen for the MC model, which are
different with respect to the Youngs modulus and the dilatancy
angle (Table 1). Parameter set 1 assumes that the Youngs
modulus is equal to the unloading-reloading modulus. Set 2
adopts the secant modulus as Youngs modulus in order to
better map the stress curve. Set 3 is slightly different from set 1
and was chosen in order to better map the volumetric strain
behavior (Fig. 2). Poissons ratio, which typically is in the range
0.20-0.35, was taken equal to 0.30.
The MHS model has, as mentioned in Section 2, nine
parameters, four of which are the same as for the MC model (,
cf, f and f). The reference mean stress pref is chosen as 5 MPa,
which means that the moduli Eur,ref and E50,ref were determined
under a radial stress of 5 MPa. The parameter m of the power
law that expresses the stress dependency of the moduli (Eqs. 3
and 5) can be determined from the slope of the (E/Eref) over
(3*/pref*) regression line in a log-log diagram (Fig. 3).
According to Figure 3, m is equal to about 0.9 or 1.9 depending
on the considered modulus (unloading-reloading or secant). In
order to consider the influence of m, both parameter sets will be
considered in the computations of the next Section.
4
MODEL BEHAVIOR IN TRIAXIAL DRAINED TESTS
The dashed lines in Figure 2 show the behavior of the MC

model for the three-parameter sets of Table 1. Parameter set 1
overestimates the stress before failure. Set 2 better predicts the
stress before failure, but cannot reproduce the unloadingreloading behavior satisfactorily, of course. In addition, as
yielding occurs at a larger axial strain, the reversal in the
volumetric behavior occurs also later in the case of set 2. Set 3
was chosen in order to map the volumetric strain behavior
better. It presents of course the same problem as set 1
(overestimation of the pre-failure stress or, equivalently,
underestimation of the pre-failure strain for given axial stress).
The behavior of the MHS model (solid line with points in
Figure 2) can be easily determined by stepwise integrating the
constitutive equations in a spreadsheet. The line applies to both
parameter sets: As the radial stress is kept constant during
deviatoric loading, the moduli Eur and E50 remain constant and,
since in the test of Figure 2 the radial stress is equal to the
reference stress (5 MPa), Eur = Eur,ref, E50 = E50,ref and the
parameter m of the power law is irrelevant. The MHS predicts a
non-linear stress-strain curve, which maps the observed
behavior better than the MC model, but slightly underestimates
the deviatoric stress close to failure, i.e. it reaches the ultimate
state more slowly than observed. The MHS model maps well
702
the measured peak volumetric strain, but reaches the peak value
later than observed.
One important feature of the MHS model is that it accounts
for the stress dependency of the deformation moduli. This is
why we examined the model behavior also under radial stresses
that are different than that in the test used for the parameter
determination (5 MPa). Figures 4 and 5 apply to radial stresses
of 2 and 9 MPa, respectively.
Consider the case of a lower radial stress (2 MPa, Fig 4). The
MC model greatly overestimates the stress before reaching
failure and greatly underestimates the peak volumetric strain. In
the case of a higher radial stress (9 MPa, Fig. 5), parameter set
2, which is based upon the secant modulus and maps the
observed behavior for the reference radial stress of 5 MPa well
(Figure 2), shows the greatest deviation from the test results
(both with respect to pre-failure stress and to the volumetric
strain). On the other hand, sets 1 and 3, which did not
reproduced the behavior in the reference case of 5 MPa well,
lead now to acceptable results.
The MHS model better maps the observed behavior over the
considered radial stress range, although it may also overestimate
the pre-failure stress particularly at lower radial stresses.
5
CONCLUSIONS
The MHS model has four parameters more than the widely used
MC model. The parameters have, however, a clear physical
meaning and can be determined from the same test results as the
MC model. The MHS model predicts the behavior under
different stress levels better than the MC model. This may be
significant for modeling the conditions around deep tunnels in
weak rock, where the minimum principal stress decreases
significantly in the vicinity of the opening. The effect of the
constitutive law on the response of the ground to tunnel
excavation under drained or undrained conditions is currently
under investigation.
6
ACKNOWLEDGEMENTS
The authors appreciate the financial support of the Swiss

National Science Foundation (project 200021-137888).
7
REFERENCES
Anagnostou, G., Pimentel, E., Cantieni, L. 2008. AlpTransit Gotthard

Basistunnel Teilabschnitt Sedrun, Felsmechanische Laborversuche
Los 378 Schlussbericht., vol Nr.080109. Inst. fr Geotechnik,ETH
Zrich.
Benz, T., Wehnert, M. and Vermeer, A. 2008. A Lode Angle Dependent
Formulation of the Hardening Soil Model.
Brinkgreve, R. B. J. and Vermeer, P. A. 1997. Plaxis finite element code
for soil and rock analysis-Version 7.
Caquot, A. 1934. Equilibre des massifs afrottement interne. GauthierVillars, Paris, France.
Duncan, J. M. and Chang, C.-Y. 1970. Nonlinear Analysis of Stress and
Strain in Soils. Journal of the Soil Mechanics and Foundations
Division. v. 96, no. 5, pp. 1629-1653.
Kovri, K. 1998. Tunnelling in Squeezing Rock. Tunnel. v. 5, no. 98,
pp. 12-31.
Rowe, P. 1962. The stress-dilatancy relation for static equilibrium of an
assembly of particles in contact. Proceedings of the Royal Society
of London. Series A, Mathematical and Physical Sciences. v. 269,
no. 1339, pp. 500-527.
Soreide, O.K. 1990. Mixed hardening models for frictional soils. PhD
thesis, Norwegian University of Science and Technology (NTNU),
Trondheim.
Numerical investigations of shear strain localization in an elasto-plastic Cosserat

material
Investigations numriques sur les dformations en cisaillement dans un matriau lastoplastique
de type Cosserat
Ebrahimian B.
School of Civil Engineering, Faculty of Engineering, University of Tehran, Tehran, Iran
Noorzad A.
Faculty of Water and Environmental Engineering, Power and Water University of Technology, Tehran, Iran
ABSTRACT: The phenomenon of strain localization in narrow zones, called shear bands, is mainly related to the micro-structure of
granular materials. This phenomenon cannot be modeled properly within the framework of classical continuum especially in the postbifurcation regime due to the lack of characteristic length of the micro-structure. For finite element calculations, Cosserat (micropolar) continuum is an effective regularization technique to remove the numerical difficulties when shear localization occurs. The
paper presents numerical investigations of shear strain localization in plane shearing of an infinite granular layer as well as biaxial
compression of a specimen using micro-polar (Cosserat) continuum approach. It is shown that the micro-polar effects i.e., Cosserat
rotations, micro-curvatures and couple stresses are significant in the emerged shear bands. Shear banding pattern is significantly
affected by the prescribed micro-polar boundary conditions of entire system as well as geometry of specimen. It is confirmed that the
proposed elasto-plastic Cosserat model is capable to predict the evolution of micro-polar effects within the shear band.
RSUM : Le phnomne de localisation des contraintes dans des zones troites, appeles bandes de contraintes, est principalement
prsent dans des microstructures de matriaux granulaires. Ce phnomne ne peut pas tre modlis correctement au moyen de
continuum classique, en particulier pour un rgime de postbifurcation, cause du manque de critres de longueur des microstructures.
Pour des calculs par lments finis, un continuum Cosserat (micropolaire) est un moyen technique qui permet de supprimer les
difficults numriques lorsque des cisaillements apparaissent. Cet article prsente les investigations numriques de dformations en
cisaillement en plan pour une couche granulaire infinie ainsi que la compression biaxiale dun spcimen en ayant recours un
continuum micropolaire (Cosserat). Il est montr que les effets micropolaires, comme les rotations Cosserat, les micros-courbures et
les couples de contraintes sont significatifs dans les bandes de cisaillement apparentes. La structure de bandes de cisaillement est
affecte de manire significative par les conditions micropolaires aux limites du systme complet ainsi que par la gomtrie du
spcimen. Il est confirm que le modle lastoplastique Cosserat propos est en mesure de prvoir lvolution deffets micropolaires
dans la bande de cisaillement.
KEYWORDS: strain localization; micro-polar (Cosserat) continuum; characteristic length; granular materials; micro-polar effects.
1
INTRODUCTION
The evolution of shear bands in granluar bodies is strongly

related to the micro-properties of material (Hall et al. 2010).
Shear band thickness is influenced by the soil grain size which
cannot be modeled properly with classical continuum models
due to the lack of a material characteristic length. As a
consequence, the shear band thickness is characterized by the
element size in finite element simulations, and the predicted
load-displacement curves are unreliable in the post-bifurcation
regime (de Borst 1991). In order to overcome this shortcoming
of classical continuum models and deal with such a complex
phenomenon within the framework of continuum mechanics,
micro-polar or the so-called Cosserat continuum models may be
used, which offer the possibility to include the mean grain
diameter as characteristic length (Mhlhaus 1986). The
presence of characteristic length allows taking into account the
microscopic inhomogeneities triggering shear localization (e.g.
grain size, size and spacing of micro-defects) observed
experimentally in granular materials. In this paper, an elastoplastic Cosserat continuum model is proposed which takes into
account micro-rotations (Cosserat rotations), micro-curvatures,
non-symmetric shear stresses, and couple stresses. The mean
grain diameter as characteristic length is also incorporated into
the model formulations. For plane strain condition,
implementation of the model in a finite element program is
outlined. Due to the presence of a characteristic length of the
micro-structure, the considered boundary value problems are
mathematically well-posed and the shear band thickness
703
predicted form finite element calculations is mesh independent,

provided the element size is small enough. The performance of
the present model is demonstrated by the numerical simulations
of large monotonic plane shearing and biaxial comression
leading to fully developed plastic flow. The focus of the
investigations is on studying the evolution of micro-polar
effects within the granular body. The influence of additional
non-standard Cosserat boundary conditions on the pattern of
shear banding is also considered. In particular, it is investigated
how the rotation resistance of soil grains in contact with
boundaries influences the location and evolution of shear
localization.
2
THE ELASTO-PLASTIC COSSERAT MODEL
According to Vardoulakis and Sulem (1995), the objective or

Cosserat strain rate tensor can be defined as
n 1
n ij
n 1
n
n
c
E ij n
ij
ij
(1)
where, E ij = classical strain rate tensor; ij = classical spin

tensor; ijc = Cosserat spin tensor which is given by
ijc eijkkc
(2)
where, eijk = Ricci permutation tensor; and kc = Cosserat

rotation. The micro-curvature vector of deformation or the
gradient of soil grain rotation can be given by
ij n cj ,i
(3)
In this paper, the single hardening elasto-plastic Lades

model (Kim and Lade 1988, Lade and Kim 1988), enhanced
with Cosserat rotations and couple stresses, (Ebrahimian et al.
2012), is used. The model has a non-linear elasticity function
and assumes non-associative flow rule and high non-linear
plastic work-based hardening function. The enhancement is
carried out through the second stress and deviatoric stress
invariants in order to incorporate the effects of characteristic
length of micro-structure and couple stresses:
2
2
2

J 2 11 22 33 22 11 33 12 21

2
m m
l2
2
1
2
2
(4)
I II
1
mm
12 21 11 22 11 33 22 33 1 2 2
2
l
(5)
where, ij = stresses; mi = couple stresses; and l = material

characteristic length. In 2D Cosserat continuum, the stress
tensor is expressed in the following vector form:
11 22 33 12 21
m1
m2
(6)
It is worth mentioning here that the stress vector is a nonsymmetric vector due to the effect of couple stresses. Similarly,
the objective strain vector, including strain and micro-curvature
of rotations, is non-symmetric and given by
11 22 33 12 21
l1
l 2
(7)
stresses, plastic work, void ratio, etc.) are updated using the
explicit forward Euler integration scheme. The NewtonRaphson method is employed to fulfill the static equilibrium
equations. For the quadrilateral 4-noded element:
4
X i
N k
X ik
j k=1
j
(11)
4
ui
N k
uik
j k=1 j
(12)
where, i = material point position at time (t) in the local coordinate system; Xi = material point position at time (t-t) in the
global co-ordinate system; N = standard bi-linear shape function
for computing strains, positions and etc. at nodal points. In the
global system, for the body with volume (V), surface (S), total
number of elements (NE) and total number of nodes (NN):
(
K
(
K
(13)
T
n 1
( N T M )d n 1S n1 I N T c d n 1V
n1 BCO 2 m d V )
(14)
T
n 1
( N T n 1T )d n 1S n1 N T b d n 1V
n1 B d V )
n 1
n1
where, K (K = 1, 2, ..., NE) = element number; k (k = 1, ,

4) = node number for a given element; T = traction force; M =
traction couple stress; I = first moment of inertial for the micromedium; = micro-medium density; b = body force per unit
volume; c = body couple per unit volume; BCO2 = element
matrix; and B = strain-nodal displacement matrix. In this sense,
the residual load vector should be vanished to satisfy the below
equilibrium equation:
((
c T n 1
R m ( u )T
n 1
R ) 0
(15)
In finite element implementation, each node in the plane

strain Cosserat continuum will have the following degrees of
freedom:
where, c is virtual Cosserat rotation; and u is virtual

displacement.
U u1
u2 3c
(8)
The constitutive relations used in the current work are

homogenous in time (time-independent behavior); however,
dimensionless time representation is used to avoid using the
differential representation; hence, the following constitutive
laws can be used:
(9)
where, [D] = elasto-plastic stiffness matrix in terms of both

stresses and couple stresses. The present micro-polar Lades
single hardening model is implemented in a finite element
program in order to investigate the phenomenon of shear
localization in granular soil.
3
FINITE ELEMENT FORMULATIONS
Incorporating the Cosserat couple stresses and rotations, the

virtual work equation in an updated Lagrangian reference is
written as
Sij nn1ij n1mi nn1i dV n1R
n 1
(10)
where, Sij = the second Piola-Kirchhoff stress; and R =

external virtual work. For finite element implementation, a
quadrilateral isoparametric 4-noded element with nodal
displacement and rotational degrees of freedom is formulated
for plane strain condition. Geometric non-linearity is considered
for finite deformation. Based on this type of element, a bi-linear
shape function is used. All the internal state variables (such as
704
NUMERICAL INVESTIGATIONS OF MICRO-POLAR

EFFECTS WITHIN SHEAR BANDS
For numerical investigations of the evolution of micro-polar

effects in granular materials under shearing, firstly a plane
granular soil layer located between very rough parallel
boundaries is considered. Particularly, a section with the initial
height of h0 = 4 cm and the width of b = 10 cm is discretized by
4-noded elements. Apart from stress and displacement boundary
conditions of non-polar continuum, additional non-standard
micro-polar kinematical boundary conditions, i.e. couple stress
and Cosserat rotation boundary conditions, must also be defined
for the present model. Here, special micro-polar boundary
conditions are introduced across the lateral boundaries of
infinite layer due to the symmetry condition with respect to any
vertical section (Ebrahimian et al. 2012). The top surface of
granular layer is assumed to be fixed not to occur sliding and
rotating. The vertical pressure (P0 = 100 kPa) is kept constant at
the top surface of layer. However, the height of layer can be
changed as the result of dilation or contraction of material under
shearing. Concerning the interaction between granular layer and
bounding structure, it is supposed that the soil grains are
captured by the very rough surface of bounding structure at the
bottom. Furthermore, the vertical displacement is zero (u2 = 0)
along the bottom (x2 = 0). A quasi-static shear deformation is
initiated through constant horizontal displacement increments,
prescribed at the bottom surface of granular layer. It is assumed
that the granular layer is initially homogeneous and isotropic
(initial void ratio = 0.6). The calibrated material constants for a
dense silica sand given in (Ebrahimian et al. 2012) are used in
following numerical simulations.
40
U1B/h0=4.500
U1B/h0=2.500
U1B/h0=1.000
U1B/h0=0.500
U1B/h0=0.125
35
30
X2/d50
25
15
10
5
0
0.3
0.6
0.9
1.2
1.5
c
Cosserat rotation, 3 (Rad)
1.8
2.1
Figure 1. Distribution of Cosserat rotation across normalized height of

granular layer under P0 = 100 kPa for different U1B/h0 (e0 = 0.6, d50 = 1
mm).
The normalized micro-curvature ( 2* ), distributed across

normalized layer height, is presented in Figure 2. Based on this
figure, the values of 2* are high in the shear band. This result is
in agreement with the numerical calculations which use discrete
element method (Oda and Iwashita 2000). In parts where the
normalized micro-curvatures ( 2* ) are nearly zero, the material
behaves as a rigid body. The sign of normalized microcurvature ( 2* ) is sharply switched at the middle of shear band,
shown in Figure 2.
40
U1B/h0=4.500
U1B/h0=2.500
U1B/h0=1.000
U1B/h0=0.500
U1B/h0=0.125
35
30
X2/d50
25
20
15
10
5
0
-1.0
-0.8
-0.6 -0.4 -0.2 0.0

0.2 0.4 0.6
Normalized micro-curvature,
0.8
U1B/h0=4.500
35
30
U1B/h0=2.500
U1B/h0=1.000
U1B/h0=0.500
25
U1B/h0=0.125
20
15
10
5
0
-0.0010
-0.0005
0.0000
0.0005
Normalized couple stress, m* 2
0.0010
Figure 3. Distribution of normalized couple stress across normalized

height of granular layer under P0 = 100 kPa for different U1B/h0 (e0 =
0.6, d50 = 1 mm).
20
0.0
40
X2/d50
According to Figure 1, the Cosserat rotations have their

significant values in the shear band located at the middle of
layer, while outside the shear band, the values are nearly zero.
These results are in accordance with the experimental
observations (Hall et al. 2010). The maximum values of
Cosserat rotation occurs where shear strain localization may be
developed under continuous shearing. The thickness of shear
band can be detected with respect to the distribution of Cosserat
rotation based on its high values. This indicates that micro-polar
effects in granular materials are significant when shear
localization appears as also detected in experiments (Hall et al.
2010).
1.0
Figure 2. Distribution of normalized micro-curvature across normalized

height of granular layer under P0 = 100 kPa for different U1B/h0 (e0 =
0.6, d50 = 1 mm).
Figure 3 illustrates the non-uniform distribution of

normalized couple stresses ( m2* ) across the normalized height of
granular layer. As displayed in this figure, the distribution of
m2* is critically non-linear where the horizontal displacement of
bounding structure increases. The variation of m2* depends
significantly on the values of horizontal displacement applied to
the bounding structure. Although, couple stress within the shear
band cannot be measured experimentally due to its small
magnitude, it can be detected by soil grain rotation which is
visible in the experiments (Hall et al. 2010) and DEM
simulations (Oda and Iwashita 2000).
705
According to the Figures 1-3, micro-polar quantities are

noticeable within the shear band during plane shearing. The
shear band is characterized by significant Cosserat rotations and
pronounced micro-curvatures. High quantities of couple stresses
are obtained at the shear band edges. The contour plot of void
ratio and deformed configuration of granular layer in the
residual state for an initially homogeneous void ratio of e0 = 0.6
after horizontal displacement of u1B = 1.50 h0 are presented in
Figure 4. The brighter zones, in the plot, are of higher void
ratios as a result of dilatancy or where failure may start. Based
on this figure, the deformation of large shearing are obviously
concentrated within a narrow band at the middle of the layer.
The predicted thickness of shear band is about 23 d50.
Figure 4. Deformed configuration of granular layer under P0 = 100 kPa

after U1B = 1.5 h0 along with contour plot of void ratio (e0 = 0.6, d50 = 1
mm)
Herein, the shear band formation is investigated in a biaxial

compression test. For numerical modeling, a dry granular
cuboid with a height h0 = 20 cm, a width b = 8 cm and a unit
depth is considered. The specimen is laterally conned by an
external pressure of 70 kPa and kept between two opposing
horizontal plates. In nite element calculations, initial
homogeneous state is assumed with initial void ratio, (e0 = 0.6)
and mean grain diameter, (d50 = 1 mm). Afterwards, the axial
quasi-static deformation in granular material is initiated through
a constant vertical displacement increment prescribed to the top
plate. Finite element simulations of biaxial compression test are
carried out for three different element sizes. The finite element
meshes consist of 640, 2560 and 10240 elements. The deformed
meshes along with contour plots of void ratio at vertical
compression of u2/h0 = 10% are presented in Figure 5. The
complete shear band is already emerged shortly after the peak
state. This result coincides with the solution of a bifurcation
analysis (Vardoulakis 1980). Shear band is characterized by an
increase of void ratio (Figure 5). This result confirms the
experimental findings by Desrues et al. (1996). The width of
shear band has an almost constant value of 14 d50 for all mesh
sizes. The inclination of shear band with respect to the
horizontal axis has a nearly constant value of 55. Both the
thickness and inclination of shear band are in satisfying
agreement with the experimental results (Alshibli and Sture
2000).
(a) coarse mesh

(b) medium mesh
(c) fine mesh
Figure 5. Deformed finite element mesh along with contour plot of void
ratio for (a) coarse mesh, (b) medium mesh, and (c) fine mesh
It has been reported from experimental observations of

biaxial compression tests (Alshibli and Sture 2000) that the
behavior of granular materials is dependent on the boundary
conditions of specimen. The following simulations illustrate the
boundary condition effect on the shear band formation. The
finite element calculations are performed for two separate cases:
(1) smooth and (2) very rough surfaces at the top and bottom of
specimen. The obtained finite element results are compared
with those of experiments (Alshibli and Sture 2000). Figure 6
displays that multiple shear bands develop in the specimen
when the bottom boundary is very rough (Figures 6(c) and
6(d)). The finite element results demonstrate that shear band
location and mode are highly influenced by the prescribed
boundary conditions, prescribed along the top and bottom
surfaces of specimen (Figures 6(a) and 6(c)), which are
consistent with experimental observations (Figures 6(b) and
6(d)) (Alshibli and Sture 2000). According to finite element
results, two principal mechanisms of shear banding may occur
in granular materials under plane strain compression: in the first
mechanism, a single shear band is formed inside the specimen
(Figures 6(a) and 6(b)), while in the second, more than one
shear band can occur if the movement of bottom boundary is
restrained under plane strain condition (Figures 6(c) and 6(d)).
(a)
(b)
(c)
(d)
Figure 6. Comparison between shear banding patterns obtained from

numerical simulations and experiments (Alshibli and Sture 2000): (a)
and (b) free rotational boundary, (c) and (d) restrained rotational
boundary
The behavior of granular material is also affected by the

geometry of specimen. If the length to width ratio of specimen
would be larger than 2.0, then the failure will not, to some
extent, be affected by the boundary conditions and a single
shear band is formed (Figure 5). For the ratio equal to 2.0, a
complicated pattern of shear banding is developed within the
specimen, as shown in Figures 7(a)-7(c). For smaller values of
length to width ratio, a reflection of shear band is observed
when it hits the bottom rigid boundary (Figures 7(d)-7(f)).
Axial strain = 2%
(a)
Axial strain = 5%
(b)
Axial strain = 13%

(c)
706
Axial strain = 0%
Axial strain = 5%
Axial strain = 13%
(d)
(e)
(f)
Figure 7. Shear band formation process in biaxial specimen with
different geometries: (a), (b), (c) length to width ratio = 2, and (d), (e),
(f) length to width ratio = 1.33
CONCLUSION
An extended elasto-plastic Lades model along with

embedded Cosserat rotations and couple stresses, can simulate
properly the localization phenomenon in the granular materials
under different loading conditions. Polar quantities are
noticeable in the shear band. Cosserat rotations, increasing void
ratios, high gradient of micro-curvatures and couple stresses can
be used to identify the shear band. The couple stress values is
found to be very small in magnitude compared with the stresses;
however, they have significant effects on the material behavior,
partucularly in the softening regime. Location and evolution of
shear bands are mainly affected by the micro-polar kinematical
boundary conditions and rotation resistance of soil grains
prescribed along the boundries. The length scale and size of
specimens have substantial influence on observed pattern of
shear banding in granular materials.
6
REFERENCES
Hall S.A., Bornert M., Desrues J., Pannier Y., Lenoir N., Viggiani G.
and Bsuelle P. 2010. Discrete and continuum analysis of localised
deformation in sand using X-ray CT and volumetric digital image
correlation. Gotechnique 60(5), 315-322.
de Borst R. 1991. Simulation of strain localization: a reappraisal of the
Cosserat continuum. Engineering Computations 8, 317332.
Mhlhaus H.B. 1986. Shear band analysis in granular materials by
Cosserat theory. Ingenieur Archiv 56, 389-399.
Vardoulakis I. and Sulem J. 1995. Bifurcation Analysis in
Geomechanics. Blackie Academic & Professional, Glasgow, UK.
Lade P.V. and Kim M.K. 1988. Single hardening plasticity model for
frictional materials. Computers and Geotechnics 6, 13-29.
Kim M.K. and Lade P.V. 1988. Single hardening constitutive model for
frictional materials. Computers and Geotechnics 5, 307-324.
Ebrahimian B., Noorzad A. and Alsaleh M.I. 2012. Modeling shear
localization along granular soilstructure interfaces using elastoplastic Cosserat continuum. International Journal of Solids and
Structures 49, 257278.
Oda M. and Iwashita K. 2000. Study on couple stresses and shear band
development in granular media based on numerical simulation
analyses. International Journal of Engineering Science 38, 17131740.
Vardoulakis I. 1980. Shear band inclination and shear modulus in
biaxial tests. International Journal of Numerical and Analytical
Methods in Geomechanics 4, 103-119.
Desrues J., Chambon R., Mokni M. and Mazerolle F. 1996. Void ratio
evolution inside shear bands in triaxial sand specimens studied by
computed tomography. Gotechnique 46, 529-546.
Alshibli K.A. and Sture S. 2000. Shear band formation in plane strain
experiments of sand. ASCE Journal of geotechnical and
geoenvironmental engineering 126(6), 495-503.
Effect of Excavation-induced Movements on Adjacent Piles

Effets des mouvements causs par une excavation sur les pieux voisins
Elkady T.
Faculty of Engineering, Cairo University, Giza, Egypt (Currently, King Saud University, Riyadh, Saudi Arabia)
ABSTRACT: This paper aims at investigating the effect of excavation-induced movements on the lateral deflections and bending
moments of piles situated within the influence zone of a cantilever side-supported excavation. For this purpose, a series of non-linear
finite element analyses were performed to assess the effects of excavation depth, distance of the pile from the side supported
excavation, pile stiffness, and wall stiffness. Results indicate that distance of pile from side supported excavation and excavation
depth have a significant effect on the lateral deformations and bending moment of the pile; while side support stiffness has a less
markable effect. Charts for the preliminary evaluation of pile head lateral deflection and bending moments in piles were developed.
RSUM : Cet article vise examiner l'effet des mouvements induits par une excavation sur les dformations latrales et les
moments de flexion des pieux placs dans la zone d'influence dune excavation soutenu par un mur encastr. Dans ce but, une srie
d'analyses aux lments finis non-linaires a t ralise pour valuer les effets de la profondeur de lexcavation, de la distance du
pieu la paroi de lexcavation, du diamtre du pieu et de la rigidit du mur. Les rsultats montrent que la distance de pieu la paroi et
la profondeur de lexcavation ont un effet significatif sur les dformations latrales et le moment de flexion du pieu; alors que la
rigidit du mur a moins d'effet. Des diagrammes pour l'valuation prliminaire du dplacement latral de la tte du pieu et des
moments de flexion dans le pieu ont t tablis.
KEYWORDS: Finite element, pile, side-supported excavation.
1
INTRODUCTION.
Side-supported deep excavations are typically performed in

urban densely populated cities for the construction of basements
and cut and cover tunnels. Inspite of quality control applied
during side support constrcution, some degree of side support
lateral movement is unavoidable. This lateral movement is
expected to generate lateral movements in soil, which in turn
affect the perfomance of nearby pile foundations. Soil lateral
movements will impose addtional lateral deflection and bending
moment to the pile.
Several researches have used numerical modeling to evaluate
the performance of pile adjacent to side supported excavations.
Finno et al. (1991) and Goh et al. (2003) used lateral
movements observed in the field to examine the behavior of a
nearby pile. Finno et al. (1991) adopted a plane strain finite
element code; while Goh et al. (2003) used a simple analytical
model where the pile was discretized into discrete (linear
elestic) beam elements with the soil-pile interaction modeled
using a series of non-linear springs. Ong et al. (2006) and
Leung et al (2006) used a numerical analysis similar to that
adopted by Goh et al (2003) and obtained good agreement with
results of centrifuge models of a single pile in clay and dense
sand nearby a side-supported excavation. Although research
exists for the use of three-dimensional finite element in
analyzing the response of piles due to lateral soil movements
and open excavations; there is limited research directed towards
analyzing performance of pile under coupled wall-soil-pile
interaction (Pan et al 2002, Miao et. al 2006, Kok et al. 2009).
This paper presents the results of numerical simulations
performed using a 3D finite element approach to evaluate the
behavior of a single pile nearby a cantilever side-supported
excavation. Design variables considered in this study included
pile stiffness, wall stiffness, distance of pile from side-support,
and excavation depth. Relative contribution of the different
707
design variables on the pile head lateral deflection and

maximum bending moment was discussed.
1
1.1
FINITE ELEMENT ANALYSIS

Finite element mesh
Three-dimensional stress deformation analyses were performed

using the finite element program ABAQUS (2010). The model
consists of three parts; namely, soil, pile and wall of depth 10
m. Soil and piles in the model were discretized using solid
tetrahdron elements that have nodes with 6 degrees of freedom.
The wall was modelded as a planar shell that have both axial
and bending stiffness. Main features and dimensions of the
finite element model is shown in Figure 1.
Figure 1. Finite Element Mesh
Interaction at the pile-soil and wall-soil interface was

modeled using a master-slave surface contact formulation
developed by Hibbitt et al. (1998) and built in ABAQUS. In
this formulation, two contact surface pairs with specific

interaction model were defined. At the pile-soil and wall-soil
interface, a basic Coulomb frictional interaction model was
assigned to define the interaction between the soil and wall
surfaces. This model defines the maximum allowable frictional
(shear) stress that can be transferred across the interface as the
contact pressure between the contacting bodies multiplied by a
friction coefficient. For the purpose of this study, a friction
coefficient () of 0.50 was assumed.
Input parameters and model variables
Input parameters considered in the analyses included soil

mechanical properties (density, shear strength parameters, and
elastic modulus) as well as pile and wall material properties.
The soil considered for this study was medium dense sand
modeled as an isotropic elasto-plastic material with a Mohr
coulomb failure criterion as provided in Table 1. The pile and
wall were modeled as isotropic linearly-elastic materials defined
by moduli of elasticity, density, and passions ratio shown in
Table 2.
Model variables considered in assessing the effect of wall
stiffness (Ewall Iwall), pile stiffness, excavation depth- to pile
length ratio (H/L), and distance of pile from the wall (X) are
summarized in Table 3. It should be noted that pile diameter (d)
was considered as a representation of pile stiffness.
Furthermore, wall stiffnesses shown in Table 3 correspond to
different steel sheet pile section moduli defined by PU steel
sheet pile walls.
1.3
Modeling approach
The finite element modeling was executed in three stages. The

first stage involved the generation of the initial effective
geostatic stress within the model. This was performed by
applying a gravity load of 10 m/sec2 on the entire model. At the
end of this stage, the analysis output was checked to ensure
triangular distribution of vertical stress (i.e., increasing with
depth) accompanied by small vertical deformations. In the
second stage, the pile and wall was introduced and contacts
along pile-soil and wall-soil interface were activated. Finally,
staged excavation was modeled by the removal of model
elements in phases each of 1 m thick up to a total excavation
depth of 5 m. Output fields monitored at the end of each
excavation stage included lateral deflection and axial strain
along pile shaft. Based on the axial strain along the pile shaft,
the bending moment distribution along the pile was calculated
using Eq (1).
M(z) b (z)
Epile I pile
Table 1. Input parameters of soil

Parameter
Cohesion (c, kPa)
Angle of friction (, degree)
Poissons ratio
Density (, kg/m3)
Elastic modulus (E, kPa)
Value
5
35
0.35
1800
50000
Table 2. Input parameters of pile and wall

Component
Density
Elastic
modulus
(, kg/m3)
(E, MPa)
Pile
2500
25
Wall
7800
200
Table 3. Modeling variables
Variable
Pile diameter (d)
Pile distance from the wall (X)
Wall stiffness (Ewall Iwall)
Poisson's ratio
0.15
0.30
Value
300, 600, 1000 mm
2, 4, 8 m
1.45x105, 6.10x104,
2.32x104 kN.m2
0.1, 0.2, 0.3, 0.4, 0.5
Excavation depth-to-pile length ratio (H/L)
Pile lateral deflection (mm)

-6
-5
-4
-3
-2
-1
0
0
1
2
3
(1)
where M(z) is the bending moment at any depth z from pile

head; b(z) = bending strain at depth z from pile head = (12)/2; 1 2= axial strains at outermost elements located on both
sides of neutral axis; Epile is the elastic modulus of pile; Ipile is
the moment of inertia of the pile; and r is the radius of the pile
2
7
8
9
RESULTS AND DICUSSION
This section summarizes main findings obatined from the finite

element analyses. For clarity and paper page limitaiton, only
results related to d = 600 mm will be illustrated in figures
presenetd in this section.
2.1
Pile Depth (m)
1.2
excavation depth and decreased with increase in pile distance

from the wall (X). Furthermore, change in the profile of lateral
deflection was observed for pile of X = 2 m when H/L increased
from 0.4 to 0.5 signifying that the pile underwent excessive
lateral deformation due to wall deformation. The magnitude
and shape of the lateral deflection at H/L = 0.5 depends on the
pile stiffness (i.e., d).
Bending moment distributions along pile length for different
X and H/L are illustrated in Figure 3. From Figure 3, it is
observed that, for H/L < 0.4, bending moment had a one sided
parabolic distribution; however, for H/L = 0.5, bending moment
distribution showed degree of moment direction reversal. This
is attributed to significant change in lateral deformation profile
(Figure 2). The degree and magnitide of moment direction
reversal decreased with increase in X as shown in Figure 3.
Furthermore, it was observed that the degree of moment
reversal increases with increase in pile stiffness.
Lateral deflection and bending moment distribution along

pile
Figures 2 and 3 show distributions of pile lateral deformation

and bending moment for different excavation depths. As shown
in Figure 2, pile lateral deflection increased with increase in
708
10
X = 2 m, H/L = 0.4
X = 4 m, H/L= 0.4
X = 8 m, H/L = 0.4
X = 2 m, H/L= 0.5
X= 4 m, H/L= 0.5
X= 8 m, H/L = 0.5
Figure 2 Lateral defelction distribution along pile (d = 600 mm, Ewall Iwall
= 6.10 x104 kN.m2)
maximum moment due to excessive deflection underwent by the

pile as H/L approaches 0.5.
8
H/L = 0.1
H/L = 0.2
H/L = 0.3
Pile head lateral deflection (mm)
H/L = 0.4
H/L = 0.5
5
4
3
2
1
0
(a) for H/L= 0.5
0
Bending Moment (kN. m)
-6
-4
-2
10
15
Wall Stiffness (EI x 104 , KN.m 2)
20
Figure 4. Effect of wall stiffness on pile head lateral deflection (d=600

mm)
4
0
20
H/L = 0.1
H/L = 0.2
H/L = 0.3
H/L = 0.4
H/L = 0.5
2
15
5
6
7
8
X= 8 m
X=2 m
X= 4 m
Max. Bending Moment (kN.m)
Pile Depth (m)
3
10
-5
10
(b) for H/L = 0.4
-10
0
Figure 3 Bending moment distribution along pile shaft (d = 600 mm,

Ewall Iwall = 6.10 x104 kN.m2)
2.2
10
15
Wall Stiffness (EIx104 , KN.m2 )
20
Figure 5. Effect of wall stiffness on maximum the bending moment (d=

600 mm)
Effect of wall-stiffness
Variation of pile head lateral deflection and maximum bending

moment with wall stiffness are shown in Figures 4 and 5;
respectively. From these figures, it is apparent that wall stiffness
has an insignificant effect on both pile head deflection and
maximum bending moment for H/L < 0.30. Specifically, the
percent decrease in pile head deflection ranged from 1.7% to
5.2% with increase in wall stiffness; while the percent decrease
in maximum bending moment ranged from 1.5% to 7.8% with
increase in wall stiffness. For H/L greater than 0.3, the wall
stiffness seem to have a more markable effect with percent
decrease in pile head deflection ranging from 12.5% to 20% and
percent decrease in maximum bending moment ranging
between 25% and 62% with increase in wall stiffness. It should
be noted that Figure 4 show reversal in bending moment sign
(from negative to positive) indicating reversal in the location of
709
2.3
Effect of excavation depth and pile distance from the wall
The effect of excavation depth (expressed as H/L) and distance

of pile from wall (X) on the lateral deformation and maximum
bending moment of pile due to excavation induced movements
are illustrated in a combined plot shown in Figure 6. With
respect to the pile lateral deflection, it is observed that H/L has a
significant effect on lateral deflection. The maximum increase
in pile head lateral deflection ranged between 6% and 11.3% as
H/L increases to 0.5. It can be further inferred from Figure 6
that the pile head deflection is highly sensitive to X for H/L >
0.30. In particular, the percentage decrease in pile head lateral
deformation was observed to range between 14% and 60% with
increase in X for H/L > 0.30.
On the other hand, it is apparent from figure 6 that H/L has a
small effect on the maximum bending moment in the pile with
-8
-6
-4
0
2
3
4
6
12
0
14
0
0.1
0.2
0.3
0.4
Excavation ratio (H/L)
0.5
25
20
10
H/L has a pronounced effect on pile head lateral

deformation that is further highlighted for X equal to 2 m.
H/L and X have a insignificant effect on the maximum
bending moment in the pile with percent increase in bending
moment varying from 0.5% to 6% with increase in H/L.
Pile stiffness has an insignificant effect on pile head
deflection up to H/L equal to 0.4; however, for H/L equal to
0.5, the contribution of pile stiffness is heightened due to
excessive wall and pile deflection.
Pile stiffness showed a significant influence on maximum
bending moment with maximum impact apparent at H/L =
0.5.
7
Pileheaddeflection(mm)
-2
4
Max. Bending Moment (kN.m)
Pile head deflection (mm)
15
10
5
0
3
5
10
15
0.6
20
Deflection X = 2 m
Deflection X = 4 m
Deflection X= 8 m
Mmax X = 2 m
Mmax X = 4 m
Mmax X= 8 m
300
Figure 6. Variation of pile head lateral deflection and maximum

bending moment with excavation ratio d = 600 mm (EwallIwall = 6.10
x104 kN.m2)
2.4
Effect of pile stiffness
The effect of pile stiffness (expressed as pile diameter) on the

pile head lateral deformation and maximum bending moment is
illustrated in Figure 7. From Figure 7, it is observed that pile
stiffness has an minimal effect on pile head deflection up to H/L
equal to 0.4 (percent difference ranging between 2% and 10%);
however, for H/L equal to 0.5, the contribution of pile stiffness
is heightened due to excessive pile deflection (percent
difference varying from 13% to 21%). In contrast, pile stiffness
showed a significant influence on maximum bending moment
with maximum influence apparent at H/L = 0.5.
3
CONCLUSIONS
Main conclusions that can be deduced from this study can be

summarized in the folllowing points:
Distribution of lateral pile deflection along pile depth show
similar trends with pile head deflcetion in the range of 3 mm
for H/L=0.4. For H/L=0.5, wall undergoes rotation causing
excessive lateral deflection in pile and transformation in the
pile deflection profile.
Profiles of bending moment distribution along pile length
show single sided parabolic distrition; however, when
excessive deformation occurs (i.e., at H/L=0.5) reversal in
bending moment distribution was observed. The degree of
bending moment reversal is highly dependent on distance of
pile from supported excavation (X) and pile stiffness (d).
Wall stiffness (Ewall Iwall) has minimal effect on pile head
deflection and maximum bending moment for H/L < 0.30.
However, for H/L > 0.30, the wall stiffness effect was more
pronounced.
710
MaximumBendingMoment(kN.m)
percent increase in bending moment varying from 0.5% to 6%

with increase in H/L. On the other hand, X had a significant
effect on pile maximum bending quantified by an observed
decrease ranging between 10% and 60% with increase in X.
Positive moment observed in Figure 6 indicates reversal in
maximum moment location as described in section 2.1.
600
900
Pilediameter(mm)
DefH/L=0.1
DefH/L=0.3
DefH/L=0.5
BMH/L=0.2
BMH/L=0.4
25
1200
DefH/L=0.2
DefH/L=0.4
BMH/L=0.1
BMH/L=0.3
BMH/L=0.5
Figure 7 relationship between pile diameter and pile head deflection and
maximum bending moment (X = 2 m, EwallIwall = 6.10 x104 kN.m2).
REFERENCES
ABAQUS 2010. Users Manual version 6.10.

Finno R.J., Lawrence S.A., Allawh N.F. and Harahap I.S. 1991.
Analysis of Performance of Pile Groups Adjaent to Deep
Excavation. Journal of Geotechnical Engineering 117 (6), 934955.
Goh A.T.C., Wong K.S., Teh C.I. and Wen D. 2003. Pile Response
Adjacent to Braced Excavation. Journal of Geotechnical and
Geoenvironmental Engineering 129(4), 383-386
Kok S.T., Bujang B.K.H., Jamoloddin N., Mohd. Saleh J., and Gue S.S.
2009. A case study of passive piles failure in open excavation. DFI
Journal 3 (2), 50-57.
Leung C.E, Ong D.E.L and Chow Y.K. 2006. Pile behaviour due to
excavation-induced soil movement in clay II: Collapsed Wall.
Journal of Geotechnical and Geoenvironmental Eng 132 (1), 45-43.
Miao L.F., Goh A.T.C., Wo N.K.S. 2006. Three-dimensional finite
element analysis of passive pile behavior, International Journal for
Numerical and Analytical Methods in Geomechanics 30, 599-619.
Ong D.E.L, Leung C.E. and Chow Y.K. 2006. Pile behaviour due to
excavation-induced soil movement in clay I:Stablewall. Journal of
Geotechnical and Geoenvironmental Eng 132(1), 36-44.
Pan J.L., Goh A.T.C., Wong K.S. and Selby A.R. 2002. Threedimensional analysis of single pile response to lateral soil
movements, International Journal for Numerical and Analytical
Methods in Geomechanics 26 (8), 747-758.
Finite Element Modelling of D-wall Supported Excavations

Modle elment finis dexcavations soutenues par parois moule
Everaars M.J.C., Peters M.G.J.M.
Grontmij Nederland BV
ABSTRACT: Two different methods of Finite Element Modelling (FEM) of diaphragm walls are explained. Both methods are
applied in state of the art geotechnical practice and comprise beam elements (Method 1) and elasto-plastic volume elements (Method
2). Selection of the appropriate method is not clear in advance and depends upon project specific requirements. In this paper the
selection process is illustrated based on two cases. The first case is a large infrastructural railway project through the historical city
centre of Delft, The Netherlands. The second case is an underground expansion project of the Drents Museum in Assen, The
Netherlands.
RSUM : Cet article dtaille deux modles de parois moules laide de la mthode des lments finis (FEM). Les deux mthodes
suivent les derniers dveloppements en gotechnique utilisant des lments de poutre (Mthode 1) et des volume lasto-plastiques
(Mthode 2). La mthode approprie sest avre dpendante des besoins spcifiques pour un projet donn. Le processus de slection
est dcrit dans cet article laide de deux exemples. Le premier est un projet dinfrastructure ferroviaire de grande envergure dans le
centre historique de la ville de Delft, Pays-Bas. Le second porte sur un projet dagrandissement souterrain du muse Drents Assen,
Pays-Bas.
KEYWORDS: Deep excavations, Diaphragm wall, Jet grout wall, Tunneling, Finite element modelling.
1
INTRODUCTION
Practical Finite Element Modelling (FEM) is important in

geotechnical design of excavations. It is a powerful tool were
excavations are located in urban areas. In those areas the impact
on the environment is high. Application of FEM plays a role in
risk and damage control. Where space is scarce, underground
structures, such as tunnels and basements, often support
buildings. Other assignments may involve construction close to
existing historical buildings. Staged construction of such
structures and the impact to their environment can be analysed
in all-embracing calculation models.
This paper discusses two cases of D-wall supported
excavations. Attention is paid to practical modelling
approaches. In FEM D-walls may be modelled as elasto-plastic
beam elements, or as linear elastic, non-porous volume
elements. Both methods of D-wall modelling are appropriate.
However a distinct selection can not be made in advance. The
selection depends on project specific functional conditions.
What information shall be delivered by the model? Is the D-wall
vertically loaded, or does it only retain? What are the
environmental conditions? Should soil deformations between
the excavation and adjacent buildings be minimised? Or, are
structural connections required, between for example D-wall
and floors, in order to model the behaviour of the total
underground construction?
For two cases the selection of the modelling approach is
discussed. The first case is the design of a railway tunnel
through the historical city centre of Delft, The Netherlands.
Here the elasto-plastic beam elements are applied. The other
case concerns the underground expansion of the Drents
Museum in Assen, The Netherlands. For the design of the
expansion of the Drents Museum the linear elastic, non-porous
volume elements were applied to model a jet grout wall. Both
projects cannot be compared by means of soil conditions or
nature of the proposed developments. The cases are used to
711
provide background for discussion of benefits and

disadvantages of both methods.
Selection and application of modelling methodologies and
the application of calculation results in the design may provide
the reader information to support the selection of the elastic
beam elements, or the linear elastic volume elements for other
projects.
2 FEM MODELLING OF DIAPRAGHM WALLS 2
METODS
For design purposes two methods are commonly applied for
finite element modelling of diaphragm wall supported
excavations (CUR 231, 2010). This section explains the two
methods in detail. Advantages and disadvantages are provided
that may contribute to pre-selection of the model that fits best to
the specific project features. The two models can be described
as follows:
Method 1: elastic (or elasto-plastic) beam element;
Method 2: linear elastic or Mohr Coulomb, non-porous
volume element.
Modelling diaphragm wall as beam element (Method 1)
requires input parameters such as w (kN/m2), EI (kNm2/m), EA
(kN/m), n (-), Rinter (-), Mpl (kNm/m) and Npl (kN/m). The latter
two parameters apply to the elastoplastic model. Current
generation of user friendly FEM software (Plaxis) do not
comprise material models simulating concrete behaviour. The
properties of the diaphragm walls should be varied manually.
Where the bending moment exceeds the cracking limit the
Youngs modulus (Euncracked, MPa) should be reduced (generally
to Ecracked, 10,0 MPa to 12,5 MPa). Diaphragm walls have high
weights and often a bearing function. In order to model such
features in FEM a fixed-end-anchor (spring element) should
be defined at the bottom of the diaphragm wall beam. The
vertical spring stiffness of this fixed-end-anchor can be fitted to
NEN 9997-1 (2011) or equivalent. The parameter Rinter is the

ratio tan()/tan(). Smear of bentonite should be considered.
The advantages of this Method 1 are: the bending moments,
shear and normal forces and deformations can directly be read
from the beam, structural connections to floors and struts can
easily be defined and the method is suitable for strength
analyses of the wall.
Disadvantages are: possible numerical problems caused by
the mesh in the area around the tip of the beam and fixed-endanchor and the unrealistic stress distribution below the tip of the
beam element. There is a work around for the first disadvantage
by extending the interface into underlying strata. The second is
important where group effects are significant. Here application
of Method 2 may be considered or a crossbeam could be
introduced at the beam tip. The vertical spring stiffness of the
beam/crossbeam should again be fitted to NEN 9997-1 (2011).
Application of Method 2 comprises linear elastic or MohrCoulomb volume elements. The elements are modelled with
realistic dimensions (thickness and height). The required input
consists of parameters such as (kN/m3), Euncracked/cracked (MPa,
like Method 1) and Rinter (-). When using Mohr Coulomb,
additional strength parameters as c and are required.
The advantages of Method 2 are: better visualisation of
behaviour, proper calculation of stresses and deformations in
the soil, more stable numerical calculation process (especially
where walls have a bearing function) and a more realistic
vertical deformation behaviour at the tip (especially when
interaction with the environment is considered at tip level) and
of the wall itself (especially when the thickness is not constant).
Disadvantages are: load-settlement behaviour not in
accordance with NEN 9997-1 (2011), bending moments and
forces can not easily be extracted from the volume element and
structural connections to the diaphragm walls are difficult to
model. When using Mohr Coulomb for mixed or injected walls,
information of soil strength and stiffness is required for the
determination of strength and stiffness of the D-wall by using
empirical relations (Van der Stoel, 2001). Concerning the first
disadvantage, the spring stiffness can be fitted to standard loadsettlement curves by introducing a thin dummy volume element
below the diaphragm wall. A work around for the second
disadvantage is modelling a beam inside the linear elastic
volume element. This beam should not contribute to the
strength and stiffness of the diaphragm wall. Where struts are
required, or other structural connections, a dummy plate may be
introduced to the model having EI 0 kNm2.
It should be noted that installation effects and uncertainties
at the soil-wall interface (smear) make bearing capacity and
vertical stiffness hard to predict. It is common practice to apply
the design approach of bored piles to situations where cast insitu concrete walls are considered.
3
3.1
CASE INTRODUCTION
2.
3.
4.
Finite element models (Plaxis 2D and Plaxis 3D) were used

to assess the deformations of the tunnel system. The diaphragm
walls have typical thicknesses of 1.0 m and have standard
widths of 7.3 m. Standard excavation stages consider two strut
levels; the first just below surface level and the second at 50%
of the final excavation level. The model does not take account
of interaction of soil and foundation slabs. It assesses green
field deformations outside the tunnel trench. The deformations
at foundation level can be extracted from the model.
The design approach outlined below was adopted for the
prediction of deformations:
1. The ground deformations are assessed (SLS) as a result of
the construction of the diaphragm walls for panel widths of
3.8 m and 7.3 m (Plaxis 3D)
2. The required dimensions of the diaphragm wall are
determined with an elastic beam model using bi-linear
ground springs in (ULS and SLS) in combination with
structural analyses (ESA PT).
cable and pipe trenching.
the tunnel trench excavation taking account of detailed
construction stages (Plaxis 2D). This model continues from
step 3 and uses the input from step 2.
5. Finally the results of step 1 and 4 are combined. Where the
deformation requirements were not met additional
measures have to be taken, as described below.
Additional efforts to meet the deformation criteria of
buildings focus on further limiting the deformations of the
diaphragm walls by:
Excavation in stages, were the groundwater in the building
pit also is lowered in stages.
The panel width can be reduced to 3.8 m.
The struts could be pre-stressed to reduce elastic shortening
of the steel cross section and to pre-stress the ground at the
active side of the retraining walls.
3.2
Railway tunnel Delft
The Delft railway tunnel project comprises the design and

construction of a 2.4 km long, four track double railway tunnel
in the historical city centre. The excavation level is
approximately 10 m below ground surface. Nearby buildings
are supported by shallow foundations at very close distances
from excavations. Therefore, a top-down multi-propped
construction sequence, using diaphragm walls was adopted.
Construction of the diaphragm walls near critical buildings
require additional measures to limit deformations of the
diaphragm walls in order to meet the criteria for angular
distortion and horizontal strain of buildings along the tunnel
alignment. The deformations of foundations of contiguities are
an accumulation of deformations, as follows:
1. Earthworks for underground infrastructure (pipes and
cables) in the narrow area between the buildings and the
712
diaphragm wall. At some places the distance is less then

4.0 m and the excavation depths over 2.5 m.
Removing obstacles of the historic town defense walls at
the proposed route of the diaphragm walls (excluded from
the analyses, impact is negligible).
Trench deformations during excavation with the ground
supported by bentonite mud or similar. Once the
reinforcement cage has been lowered into place, concrete
is tremmied into the slot, displacing the mud.
Deformations as a result of staged excavation of the
strutted tunnel trench.
Drents Museum Assen
The Drents Museum is located on a historical rich site in the

city centre of Assen, the provincial capital of Drenthe. As a
result of further development and growth of the museum, a new
large underground exhibition hall is realised. The expansion
provides an underground connection of the exhibition hall with
the monumental main building. To realise this connection, an
underground excavation right underneath the monumental
Bailiffs House is executed.
The excavation, to a level of about 8 m below ground
surface, is realised in two separate building pits: the main
excavation for the exhibition hall and the indoor excavation
(Figure 1) below the monumental Bailiffs House. The indoor
wet deep excavation is retained by jet grout walls (VHPgrouting). These walls also support and reinforce the existing
shallow foundations (Figure 2). To achieve the required wall
thickness of about 1.0 m up to 1.5 m two rows of columns are
installed in a triangular mesh of 0.6 m to 0.7 m. Each column
has a grout diameter of about 0.9 m with an overcut of about 0.2

m up to 0.3 m. The column dimensions are verified by
continuous monitoring of jet pressure and injected grout
volumes.
The jet grout walls are installed from foundation level (NAP
+9.0 m) to tip level at NAP -2.5 m (Figure 2). To reduce the risk
of failure of the foundations the installation sequence of the
grout columns is adjusted. At critical locations larger intervals
between fresh casted columns is applied. The columns are
reinforced to obtain the required strength and stiffness.
FEM analysis with PLAXIS 2D and 3D is used to assess the
wall thickness and excavation sequence with underwater
concrete floor and anchor piles. And to predict and postdict the
deformations of the existing foundations.
Figure 1. Indoor wet excavation.
To model the jet grout wall with Mohr Coulomb, the

strength and stiffness were calculated by means of the ultimate
compression strength fc = UCS using the empiric relations of
Van der Stoel (2001):
c' 0.2 0.3 f c
' ' soil 0 5 o
E50; sand 800 fc
; E50;clay 500 f c
0, 5
0,67
; 0,2
Where modelling ground surface response at the active side

should be emphasised for (temporary and multiple) supported
walls, Method 1 is recommended.
In cases of modelling vertically loaded walls, interaction
with neighbouring pile foundations or other walls (group
effects) Method 2 is recommended.
4.2
Railway tunnel Delft Method 1
Primary focus for this project was assessment of the

deformations of buildings and monuments. The allowable
deformations of the contiguities are very small and were
according to an amplified Boscardin and Cording (1989)
approach. They are combinations of angular distortion and
horizontal strain. Most buildings in Delft are supported by
shallow foundations with foundation levels at about 0.8 m
below ground surface.
In co-operation with structural engineers the tunnel outline
was designed. Detailed geotechnical analyses comprised FEM
in order to assess the interaction of the tunnel construction with
the environment for each distinguished construction stage. A
flexible design model was required to allow for rapid
modifications in the model where the building deformation
criteria were not met.
The emphasis was put on surface settlement assessment and
verification of preliminary structural design. Method 1 was the
appropriate model.
Along the tunnel alignment the buildings were classified
based on the allowable additional deformation, from slight to
negligible. The condition of each building was accurately
recorded. This way imperative behavioural design could be fit
to each individual building case.
Finite element models (Plaxis 2D and Plaxis 3D) were used
to assess the deformations of the tunnel system. The model does
not take account of interaction between soil and foundation
slabs. It assesses green field deformations outside the tunnel
trench. The deformations at foundation level can be extracted
from the model.
Using a cross section over Phoenixstraat 30 and Spoorsingel
25 (Figure 3) the deformation analyses is explained. Figure 4
shows a location map with the location of the example cross
section. The building Phoenixstraat 30 has an old part which is
in poor conditions (class IV) and a new part which is in fair
conditions (class II). There is a basement below the building at
about 2.0 m below ground surface. The building Spoorsingel 25
(class III) opposite of Spoorsingel 30 does not have a basement.
This building has a foundation level at 0.8 m below ground
surface.
Figure 2. Jet grout wall.
4
4.1
SELECTION OF METHOD
General
Modelling method selection is part of the design process. The

engineer should have an overview of environmental features
such as foundation types of contiguities, dimensions and soil
profile and properties. To make the selection several questions
need to be answered. What information should the model
produce? What loads are applied on the diaphragm wall
(vertical, lateral, both)? Should deformations be quantified of
buildings supported by shallow foundations or deep
foundations? Are the retaining walls connected to concrete slabs
and temporary struts? Are properties of such structural elements
critical to the performance of the construction in relation to
deformations.
713
Figure 3. Cross section FEM Method 1
Calculations proved that additional measures are required to

limit the horizontal deformation of the diaphragm wall during
the first excavation stages. Measures selected for this cross
section are the introduction of additional struts at surface level
and the use of 3.8 m wide diaphragm wall panels (standard
width 7.5 m).
Figure 6. Cross section FEM Method 2.

Figure 4. Cross section location map.
Figure 5 presents an up-scaled graph based on Boscardin and

Cording (1989). It shows that the most critical construction
stage for Phoenixstraat 30 is at the end of the construction of the
eastern tunnel tube (about 50% the total construction period).
RESULTS DEFORMATION PREDICTION
CROSS SECTION PHOENIXSTRAAT 30 - SPOORSINGEL 25
1,2
Class IV (red)
Horizontal strain x10 -3
Class III (orange)

0,8 Class II
Figure 7. 3D-FEM postdiction of vertical displacements.

Note: Figure 7 should be read in combination with Figure 6.
Class II (yellow )
Ph30-II-50%
0,6
Ph30-II-End
Class III
SP25-III-50%
0,4
The main reason for selection of Method 2 was to assess

foundation deformations as well as swell deformations of the
bottom of the excavation based on realistic stress distribution.
SP25-III-End
Ph30-IV-50%
0,2
Ph30-IV-End
Class IV
0
0
0,5
1,5
2,5
Angular distortion x10-3
CONCLUSIONS
Figure 5: Verification of allowable building deformations

Comments Figure 5:
Phoenixstraat 30, new part (class II): II-50% (construction stage),
II-End (final stage)
Phoenixstraat 30, old part (class IV) IV-50% (construction stage),
IV-End (final stage)
Spoorsingel 25 (class III) III-50% (construction stage), III-End
(final stage)
The critical construction stage for Spoorsingel 25 is the final

stage. Further, the verification of deformation criteria proves
that the combination of horizontal strain and angular distortion
is met during all intermediate design construction stages.
4.3
In this paper two methods are described for finite element

modelling of diaphragm wall supported excavations.
Advantages and disadvantages are given that may contribute to
pre-selection of the model that fits best to the specific project
features.
Method 1 was applied for modelling the railway tunnel in
Delft because of the requirement of flexible design models in
combination with shallow foundations sensitive to
deformations.
For the case in Assen Method 2 was selected. The
requirements for this case better agree with the advantages of
better visualisation of wall and soil behaviour and calculation of
stresses and deformations in soil, wall and foundation.
Drents Museum Assen Method 2
One of the critical requirements was the maximum tolerated

settlement and heave of the foundation during the excavation
below the monumental building. The maximum allowable
vertical displacement for the foundations is 5 mm to 10 mm
which corresponds to relative rotations of 1:500 to 1:1,000. The
existing foundations are modeled as separate shallow
foundations (including basement) as shown in Figure 6.
To evaluate the applied geotechnical calculation models and
the predicted soil and structural behaviour, post diction analyses
with 3D-FEM have been performed (Figure 7) based on the
latest monitoring results during execution. Due to the wet
excavation, the foundation settlement was 4 mm to 9 mm. After
dewatering the excavation, the postdicted foundation rebound
was about 4 mm to 5 mm due to developing tension resistance
in the anchors below the elastic underwater concrete floor
during the instantaneous swell of the underlying soil layers and
the primary swell of the deeper slightly over-consolidated clay.
714
ACKNOWLEDGEMENTS
The authors would like to thank their colleague Remy Delpeuch

for the translation of the abstract into decent French.
7
REFERENCES
Boscardin, M.D. and Cording, E.J., 1989. Building Response to

Excavation-induced Settlement. Journal of Geotechnical
Engineering (ASCE). 115(1), 1-21
CUR 231, 2010. Handboek diepwanden, Ontwerp en uitvoering.
Stichting CURNET, Gouda, 2010
EN 9997-1, 2011. Geotechnical design of structures -Part 1: General
rules. Nederlands Normalisatie Instituut, December 2011
Van der Stoel, A.E.C., 2001. Grouting for pile foundation
improvements. Delft University of Technology, 2001
3D simulation of overtopping erosion on embankments by shallow-water

approximation
Simulation en 3D d'une rosion par dbordement sur des remblais, avec approximation
en eau peu profonde
Fujisawa K., Murakami A.
Graduate School of Agriculture, Kyoto University, Kyoto 606-8530, Japan
ABSTRACT: Recently, the failure of embankments, such as levees and small embankment dams for irrigation reservoirs, has
occurred more frequently because of a greater chance of severe typhoons and localized heavy rains. Overflow, a phenomenon in
which the water level exceeds the height of the embankments, is known as a primary cause of embankment breaks. The purpose of
this study is to develop a numerical method which can predict the breach process of an embankment caused by overflow. This paper
presents the three-dimensional numerical analysis of embankment breaching. The finite volume method, with a Riemann solver, is
applied to numerically solve shallow water equations for computing the overflow onto the embankments and the changes in
configuration of the embankment profiles are successively calculated in accordance with the erosion rates of the embankment
materials as a function of the bed shear stress exerted onto the embankment surface. In order to achieve a stable computation, the
surface gradient method is incorporated into the finite volume discretization. The proposed method has enabled three dimensional
breaching of embankments to be stablely computed.
RSUM : Rcemment, les dfaillances des remblais comme les digues et les petits barrages en remblais pour les rservoirs
d'irrigation, se produisent plus frquemment en raison d'une augmentation des typhons violents et de fortes pluies localises. Le
dbordement, phnomne dans lequel le niveau d'eau dpasse la hauteur des remblais, est connu comme tant la principale cause de
rupture des remblais. L'objectif de cette tude est de dvelopper une mthode numrique qui permette de prdire le processus d'une
rupture de remblai cause par dbordement. Cet article prsente l'analyse numrique tridimensionnelle d'une rupture de remblai. La
mthode des volumes finis, avec un solveur de Riemann, est applique pour rsoudre numriquement des quations en eau peu
profonde pour le calcul du trop-plein sur le remblai, et les changements dans la configuration du profil du remblai sont
successivement calculs selon les taux d'rosion des matriaux de remblai en fonction de la contrainte de cisaillement exerce sur la
surface du remblai. Afin de raliser un calcul stable, la mthode du gradient de surface est incorpore dans la discrtisation par les
volumes finis. La mthode propose a permis d'effectuer des calculs trs stables de ruptures de remblais en trois dimensions.
KEYWORDS: embankment, overtopping, overflow, erosion, numerical simulation, shallow water equations
1
INTRODUCTION
Recently, the failure of embankments, such as levees and small

embankment dams for irrigation reservoirs, has occurred more
frequently because of a greater chance of severe typhoons and
localized heavy rains. Overflow, a phenomenon in which the
water level exceeds the height of the embankments, is known as
a primary cause of embankment breaks. Actually, Foster et al.
(2000) statistically investigated the failure and the incidents
involving embankment dams around the world, and reported
that such failure accounted for approximately 50% of these
incidents. Overflow is a major threat to embankments made of
earth materials; and thus, interest in the failure of embankments
triggered by overflow has been growing. Visser (1998) and
Coleman et al. (2002) investigated the breaching process of
cohesionless embankments during overtopping failure, while
Zhu (2006) focused his investigation on the failure process of
cohesive embankments. Hanson et al. (2005) conducted largescale overflow-embankment tests using silty sand and a clayey
material, and Hanson et al. (2011) integrated the material
properties for embankment breach.
This paper is dedicated to develop a tool to compute the
three dimensional breaching process of embankments caused by
overflow, since it enables the damage to the earth structure and
the time up its break to be predicted in advance of severe
events, such as typhoons, floods and tsunamis. This paper
presents a numerical analysis of embankment erosion using
shallow water equations, which are often applied to the
computation of overland flows. The finite volume approach,
combined with the surface gradient technique (Zhou et al.
2001), is applied to numerically solve shallow water equations
715
for computing the overflow onto the embankment, and the

changes in configuration of the embankment profiles are
successively calculated in accordance with the erosion rate of
the embankment material as a function of the bed shear stress
on the embankment surface.The results of three dimensional
analysis of embankment erosion due to overflow are presented
in this paper.
2
GOVERNING EQUATIONS
The following shallow water equations are used to describe the

behaviour of overflowing water onto an embankment:
U F G
S
t
x y
(1)
in which
uh
vh
h
2
U uh , F u h gh / 2 , G
uvh
,
vh
v 2 h gh 2 / 2
uvh

S S 0 S f gh z / x ghS fx
ghz / y ghS
fy
(2)
where U is the state variable vector, F and G are the flux

vectors, S is the source term vector, h is the flow depth, u and v
are the flow velocities along the x and y directions, respectively,
g is the acceleration due to gravity, z is the height of the flow
bed, respectively, and Sfx and Sfy are the energy slopes in the x
and y directions, respectively. Energy slopes Sfx and Sfy can be

estimated by using the Manning formula as follows:
S fx
n 2u u 2 v 2
h4/3
S fy
n 2v u 2 v 2
h4 / 3
(4)
where E and denote the erosion rate and the porosity of the
soil bed, which means the embankment surface here,
respectively. The erosion rates of soils are related to the bed
shear stress, and previous studies on this topic have found the
following relationship between the erosion rates and the bed
shear stress:
( c )
E
0
c
c
(5)
where and are the material constants for the erodibility of

soils and c denotes the critical bed shear stress which
determines the onset of bed erosion. Bed shear stress is
obtained from energy slopes Sfx and Sfy as follows:
S f gh S 2fx S 2fy
(6)
where is the density of water. In this analysis, the governing

equations are the system of the partial differential equations of
equations (1) and (4), and the four variables to be solved are h,
u, v and z.
3
3.1
L R
(3)
where n denotes the Mannings roughness coefficient. The

above shallow water equations are obtained by integrating the
NavierStokes equations over the flow depth with the
assumptions of the uniform velocity distribution in the vertical
direction and the hydrostatic pressure distribution. Although the
overflowing water of an embankment does not maintain the
hydrostatic pressure distribution when it undergoes rapid
changes in the bed slope on the crest, equation (1) is adopted as
the governing equation for the water flow onto the
embankments for simplicity.
The progression of soil erosion, induced by overland flows,
can be described as follows:
z
E
t
1
NUMERICAL METHOD
Finite volume method
So far, several numerical methods have been proposed to solve

the shallow water equations. We employ the basic procedure
proposed by Yoon & Kang (2004) and apply the concept of the
surface gradient method (SGM) by Zhou et al. (2001) to the
reconstruction of the state variables. A finite volume approach
to unstructured grids is applied to equation (1) and the
triangular cells are used for the spatial discretization. As shown
in Figure 1, state variables u, v and h are stored at their
centroids, while variable z is computed at the vertices of the
triangular cells. Integrating equation (1) over the area of the ith
triangular cell, the following spatially discretized equations are
derived with the aid of the divergence theorem:
dU i
1 3 *
(7)
Eij ij S i
dt
Ai j 1
where Ui, Si and Ai denote the state vector, the source term
vector and the area of the ith cell, respectively, E*ij is the normal
flux through the jth side of the cell, and ij is the length of the
side. Normal flux E*ij is computed at the cell face by a Riemann
j=2
Ui
i
rij
j=3
j=1
k
zk
Figure 1. Triangular cells and placement of variables.
solver. This study employs the approximate HLL Riemann

solver proposed by Harten et al. (1983), which determines the
normal intercell flux as follows:
EL
0 SL
S E S E S S (U U )
L
R
L R
R
L
E* R L
S L 0 S R (8)
SR SL
SR 0
ER
where subscripts L and R mean the left and the right sides of the
cell boundary. (The direction of the outward normal vector is
considered rightward.) The values with subscripts are defined at
the middle of the cell sides and are calculated by the linearly
reconstructed data explained later. SL and SR are the wave
speeds. The detailed procedures for computing the wave speeds
and the normal flux are referred to in Yoon & Kang (2004).
3.2
Linear reconstruction and surface gradient method
To achieve second-order-accuracy of the numerical computation,

the variables, such as u and v, need to be linearly distributed
within the finite volume cells, each of which stores their values
at the centroids. This procedure is carried out based on the data
of the neighbouring cells and is called linear reconstruction.
When a variable is linearly reconstructed on the ith cell, the
following procedures are to be completed:
1. The unlimited gradient of the cell, which means the
regular or the ordinary gradient, is evaluated using the data
at the centroids of the neighbouring cells.
l
2. The limited gradient of the cell is calculated from the
unlimited gradients of the cells shearing the interfaces.
3. The following linear interpolation with the obtained limited
gradient reconstructs the variable on the cell:
irec (ri ) i ri ( ) li
(9)
where ri is the position vector relative to the centroid of the
ith cell and irec (ri ) is the reconstructed variable on the cell
as a function of ri.
Details of the above first and second procedures, for calculating
the unlimited and the limited gradients, are referred to in Yoon
& Kang (2004).
The state variables of the shallow water equation, u, v and h,
must be evaluated at the cell interface in order to compute the
normal flux given by equation (8). Let the height of water
surface h+z) at the ith cell centre be defined as
1
(10)
zk
3 k
where subscript k is the index for the cell vertices. (Note that the
values of z are not stored at the centroids, but at the vertices.)
The surface gradient method (Zhou et al. 2001), which
guarantees stable computation of steady solutions, gives the
state variables at the midpoint of the jth side, (uh)ij, (vh)ij and hij,
as follows:
i hi
(uh) ij (uh) i rij (uh) li
716
t=(tx, ty)
(11)
(vh) ij (vh) i rij (vh) li
(12)
hij ij z ij i rij ( ) li z ij
(13)
where zij is the height of the flow bed at the midpoint of the jth
side of the ith cell, which is obtained as the average of the bed
height at the two vertices making the side, and rij is the position
vector from the cell centre to the midpoint of the side. As seen
in equations (11) to (13), momentums (uh)ij and (vh)ij on the cell
face are directly evaluated with their unlimited gradients, while
flow depth hij is calculated by subtracting zij from ij after the
height of water surface ij is evaluated on the cell face with its
unlimited gradient.
3.3
Treatment of source term
The source terms in equation (1) are divided into the slope and
the friction terms seen as S0 and Sf in equation (2). The
treatment of these terms has a great influence on the accuracy of
the numerical scheme. When the surface gradient method is
employed, adequate attention needs to be paid to balance the
first numerical flux term and the second source term on the
right-hand side of equation (7) under a steady state. For this
purpose, the second and third components of slope term S0 are
rewritten in the following form:
g
(14)
gh z g ( z )z gz z 2
2
Then, these components of the ith cell are numerically evaluated
as
(15)
gh z i g i z i g z 2 i
2
in which
3
1
z i
zij ij t ij
Ai
j 1
z
2
1 3
z ij2 ij t ij
Ai j 1
(16)
where tij denote the normal unit outward vector at the jth side of
the ith cell. The slope term of S0, calculated from equations (15)
and (16), can be balanced with the numerical flux term, and the
right-hand side of equation (7) vanishes under the steady
condition of no-flow velocity and a constant water level.
In treating the friction source terms, a simple explicit
method may induce numerical instabilities when the water
depth is very small. To overcome this problem, the friction
terms are treated in a fully implicit way with the operatorsplitting technique proposed by Yoon & Kang (2004).
dU i
(17)
S f ,i
dt
dU i
1 3 *
(18)

E ij ij S 0, i
dt
Ai j 1
The right-hand side of equation (17) includes only friction

source terms. Equations (17) and (18) are solved in implicit and
explicit ways, respectively.
3.4
Alteration of flow bed elevation
The values of u, v and h are stored at the centroids of the cells,

while the values of z are placed at the vertices. The height of
flow bed z changes in accordance with the erosion rate of the
bed material, which is a function of the bed shear stress related
to the flow velocity and the flow depth. Therefore, the values of
u, v and h at the vertices must be known and the linearitypreserving interpolation method proposed by Holmes & Connel
(1989) is used to calculate their vertex values. From these
values at the vertices, the temporal changes in the flow bed are
computed by the following equation:
scheme was applied for the time integration of the spatially

discretized equations (18) and (19), which simultaneously
solved the shallow water equations and the temporal changes in
the bed height.
4 NUMERICAL SIMULATION
While the governing equations of equations (1) and (4) are
solved over the two-dimensional computational domain, i.e., x-y
plane, the elevation changes of water surfaces and erosion beds
can be succesively computed, which implies that the numerical
methods can produce quasi-three-dimensional results over twodimensional computational domain. This is a great advantage
for reducing computational load of three-dimensional numerical
analyses which usually need enormous computational effort and
time. An example of three-dimensional numerical simulation of
embankment breaching induced by the concentration of
overtopping water flow is presented herein.
Figure 2 shows the initial profiles of embankment and water
surface and the imposed boundary conditions. The embankment
has the dimensions of 30cm in height, 130cm in bottom length
and 60cm in thickness. The centre of the crest is 2cm lower than
the other part to induce the concentration of the overflow. 2,050
finite volume cells with 1096 nodes were used for the spatial
discretization. As the boundary conditions for the water flow,
the inflow per unit width at a rate of 0.029 m3/s/m was given
from the extreme upstream (the right extreme in Figure 4), and
the free outfall condition and the free slip condition were
imposed onto the downstream end and the sides of the
calculation domain, respectively. The steady flow velocity and
flow depth under these boundary conditions were adopted as the
initial conditions for the water flow on the embankment. The
flow velocity vector field is shown in the x-y plane of Figure 4.
For the embankment material properties, a porosity of 0.395, a
critical shear stress of c=0.1Pa and erodibility constants of
=8.4210-5 m/s/Pa3/2 and =1.5 were given. The value of the
Mannings roughness coefficient was assumed to be 0.0158.
Figure 3 shows the computed embankment profiles and
water surfaces 100 and 600 seconds after the initiation of the
embank-ment erosion. As seen in the figure, the central part was
dominantly eroded, the overflowing water concentrated there
and a flow channel passing through the embankment appeared.
The grey cells on x-y plane indicate the dry surface which
appeared because of the flow concentration. The numerical
results shown in Figure 3 reflect the stability and the feasibility
of the proposed method for three-dimensional analysis.
5
CONCLUSIONS
This paper has presented the numerical simulation of

embankment erosion caused by overflow. As the governing
equations, the two-dimensional shallow water equations were
adopted as the governing equations for describing the water
flow onto embankments, and the temporal changes in the flow
bed were formulated by the erosion rates. The finite volume
method was employed for the spatial discretization of the flow
domain, and the HLL Riemann solver was used to evaluate the
flux through the cell interfaces. The surface gradient method
(SGM) was incorporated into the finite volume approach; this
enabled the stable computation of the flow field on the erosion
surface having complex undulation. The three-dimensional
analysis has shown the natural and stable results of embankment
breaching which includes the concentration of water flow and
embankment erosion, and the creation of the breach channel.
dz k
E
(19)
k
1 k
dt
which is the ordinary differential equation with respect to t at
the kth vertex based on equation (4). The TVD Runge-Kutta
717
Free outfall boundary

Water surface
0.3
0.2
1.4
0.1
1.2
0.6
x coordinate: m
0.8
0.5
0.4
0.6
0.3
0.2
0.4
0.1
Flow velocity field
Embankment profile
0.2
Inflow boundary (0.0029 m3/s/m)
Figure 2. Initial and boundary conditions for three-dimensional simulation.
100 sec
0.25
0.2
0.15
0.1
0.05
0
0.6
1.4
1.2
1
0.5
0.8
0.4
Dry cell
0.6
0.3
0.2
0.4
0.1
x coordinate: m
0.2
600 sec
0.25
0.2
0.15
0.1
0.05
0
0.6
1.4
1.2
1
0.8
0.5
0.4
0.3
Dry cell
0.6
0.4
0.2
0.1
0.2
x coordinate: m
Figure 3. Computed embankment profiles eroded by concentrated water flow (100 and 600 seconds after overflow).
REFERENCES
Coleman E. S., Andrews D. P. and Webby M. G. 2002. Overtopping

breaching of noncohesive homogeneous embankments. Journal of
Hydraulic Engineering 128 (9), 829-838.
Foster M., Fell R. and Spannagle M. 2000. The statistics of
embankment dam failures and accidents. Can. Geotech. J. 37,
1000-1024.
Hanson G. J., Cook K. R. and Hunt S. L. 2005. Physical modeling of
overtopping erosion and breach formation of cohesive
embankments. Transactions of the ASAE 48 (5), 1783-1794.
Hanson G. J., Temple D. M., Hunt S. L., and Tejral R. D. 2011.
Development and characterization of soil material parameters for
embankment breach. Applied Engineering in Agriculture 27 (4),
587-595.
Harten A., Lax P. D., and van Leer B. 1983. On upstream differencing
and Godunov-type schemes for hyperbolic conservation laws. SIAM
Rev. 25 (1), 3561.
Holmes D. G. and Connel S. D. 1989. Solution of the 2D Navier-Stokes
equations on unstructured adaptive grids. Proc. 9th AIAA
Computational Fluid Dynamics Conference, Technical Papers
(A89-41776 18-02), 25-39.
718
Visser P. J. 1998. Breach growth in sand dike. Delft University of

Technology, Netherlands, PhD thesis.
Yoon T. H. and Kang S. 2004. Finite volume model for two
dimensional shallow water flows on unstructured grids. Journal of
Hydraulic Engineering 130 (7), 678-688.
Zhou J. G., Causon D. M., Mingham C. G. and Ingram D. M. 2001. The
surface gradient method for the treatment of source term in the
shallow-water equations. Journal of Computational Physics 168,125.
Zhu Y. 2006. Breach growth in clay-dikes. PhD thesis, Delft University
of Technology, Netherlands.
Numerical Investigations on Vibratory Sheet Piling in Embankments using

a Multi-Phase Material
tudes numriques des effets de vibrofonage sur les berges en utilisant une approche
multi-phasique
Hamann T., Grabe J.
Hamburg University of Technology, Institute of Geotechnical Engineering and Construction Management
ABSTRACT: The influence of vibratory driving on the surrounding soil is difficult to predict due to complex mechanical processes in
the soil. Effects like soil compaction, subsidence or a temporary reduction of the soil's shear strength can occur as a result of the
dynamic loading. In case of water saturated soil additional effects like excess pore water pressure or soil liquefaction can occur. When
driving piles in the area of embankments these effects can cause great deformations of the embankment and the driven pile. In this
paper the lateral drift of a sheet pile wall due to the installation process in the area of an embankment is simulated by use of the finite
element method using a coupled 2-phase approach to consider the development of excess pore water pressure and the resulting
effects. The deformation mechanism and the mechanical processes in the soil are investigated. Further the calculated deformations of
the sheet pile are compared to measurement data. A comparison of the results of a fully drained analysis and a coupled analysis
considering the development of excess pore water pressure is done.
RSUM : L'influence du vibrofonage sur le sol environnant est difficile prvoir en raison de phnomnes mcaniques complexes
dans le sol. Les effets tels que la compaction du sol, l'affaissement ou la rduction temporaire de la rsistance au cisaillement du sol
peuvent se produire sous leffet dune charge dynamique. Dans le cas dun sol satur en eau, des effets supplmentaires tels que des
surpressions interstitielles ou la liqufaction des sols peuvent se produire. Lors de linstallation de pieux proximit dune berge, ces
effets peuvent causer de grandes dformations de la berge et du pieu. Dans cette tude, le dplacement latral d'une paroi de
palplanches d au processus dinstallation proximit dune berge est dtermin en utilisant la mthode des lments finis. Une
approche biphasique est utilise pour estimer le dveloppement de la surpression interstitielle de leau et des effets qui en rsultent. Le
mcanisme de dformation et les phnomnes mcaniques dans le sol sont tudis. Les dformations calcules pour la palplanche sont
compares aux rsultats de mesure. Pour finir, la comparaison des rsultats d'une analyse parfaitement draine et dune analyse
biphasique est effectue.
KEYWORDS: water saturated soil, soil liquefaction, two-phase approach, finite element method, installation process
INTRODUCTION
The influence of vibratory driving on the surrounding soil is

difficult to predict due to complex mechanical processes in the
soil. Effects like soil compaction, subsidence or a temporary
reduction of the soil's shear strength can occur as a result of the
dynamic loading. In case of water saturated soil additional
effects like excess pore water pressure or soil liquefaction for
water saturated loosely layered sands can occur. In particular,
during driving of piles in embankments, such as railway
embankments or shoreline stabilisations, these effects can
influence the stability of the embankment and lead to a lateral
drift of the driven pile or large deformations of the
embankment. In practice, pile driving guides are usually used to
prevent a drift of the pile during installation.
The finite element method provides a powerful tool for
investigation of mechanical processes in soil during vibratory
driving. Deformations of the embankment and the pile as well
as the reaction forces can be predicted to design a pile driving
guide.
In this paper, the lateral drift of a sheet pile wall of a quay wall,
which has occurred due to the installation process, is simulated
numerically. The soil is modeled by the use of a dynamic
coupled 2-phase approach to investigate the mechanical
processes in the soil and the development of excess pore water
pressure during the vibratory driving. The deformation of the
sheet pile and the soil as well as the reaction forces of a pile
driving guide are investigated and compared with in-situ
719
measured data. In previous three-dimensional calculations

(Hamann and Grabe 2012a, Hamann and Grabe 2012b), in
which the coupled approach was not yet available, fully drained
conditions were assumed for simplification. In this paper
simulations assuming coupled conditions with a predefined
permeability and simulations assuming drained conditions are
carried out and compared with each other to analyse the
influence of excess pore water pressure on the deformations and
reaction forces.
2
CONSIDERED CASE OF DAMAGE
As part of a power plant expansion a sheet pile wall acting as a

new waterfront was built up in the area of an embankment
consisting of sand. The sheet piles of type AZ 41-700 were
vibrated as double piles with a vibratory frequency of f = 36 Hz
using an upper and lower pile driving guide as shown in Figure
1.
During the vibratory driving a lateral drift of the pile and the
pile driving guide occurs. At the investigated cross section of
the embankment horizontal deformations into the direction of
the waterside of uh = 13 cm at measuring point 1 and uh = 9 cm
at measuring point 2 were detected due to the installation
process.
3
NUMERICAL MODELING
The described case of damage is simulated numerically by use

of the finite elmente software Abaqus/Explicit (Dassault
Systmes 2009). A total stress analysis is carried out to consider
the development of the pore water pressure for the area below
the water level as presented in Pichler et al. (2012).
3.1
Numerical Model
As a current restriction of the dynamic coupled 2-phase

approach two-dimensional plain strain analysis have to be
carried out. The geometry and dimensions of the investigated
cross section as well as the height of the water level are depicted
in Figure 1. At the bottom and sideways surface of the soil body
of the finite element model (see Figure 2) the displacement
boundaries are fixed in vertical and horizontal direction and a
hydrostatic pore water pressure is assumed. The sheet pile is
modeled as a deformable body with a linear elastic material
behavior. A Youngs modulus of E = 210,000 MN/m and a
Poissons ratio of = 0.3 are assumed for the steel. Due to the
elastic material behavior of the sheet pile a realistic wave
propagation within the pile and lateral oscillations of the pile
during the vibratory driving can be modeled. The sheet pile is
modeled wished-in-place at its final penetration depth. The
underlying assumption regarding the penetration process is, that
the surrounding soil is mainly influenced by shaft friction. Toe
resistance plays a minor role. The point of load application is at
the head of the sheet pile.
(1996) and von Wolffersdorff (1996) in the formulation of von

Wolffersdorff (1996) with the extension of intergranular strains
by Niemunis and Herle (1996) is used. Modeling the sand by
use of hypoplasticity, typical characteristics like dilatancy,
contractancy, different stiffness for loading and unloading as
well as the dependency of the stiffness from the void ratio and
mean pressure can be considered. The sands, present in the
embankment, are relativ inhomogeneous regarding their
composition. Hypoplastic material parameters of the sands in
situ are not available. For simplification the parameters of a socalled Karlsruher Sand are used for each soil layer, even
though they comply with some layers insufficiently. A
distinction between the three soil layers depicted in Figure 1 is
done by specifying the bulk density in terms of an initial void
ratio as depicted in Figure 1. The material parameters of
Karlsruher Sand used in the analysis are given in Table 1.
In simulations considering coupled conditions for areas of the
embankment consisting of water saturated sands the hypoplastic
constitutive model of the solid skeleton is extended. A
continuity equation for the water phase to describe the
development of the pore water pressure is introduced (Pichler et
al. 2012). The flow of the water through the sand is described
by Darcys law (Darcy 1856). The permeability was determined
by soil tests and is assumed to kf = 1.010-4 m/s for each soil
layer.
Table 1. Hypoplastic material parameters of Karlsruher Sand.
Parameter
()
hs
(MPa)
n
(-)
ed0
(-)
ec0
(-)
ei0
(-)
(-)
30
5,800
0.28
0.53
0.84
1.00
0.13
(-)
mT
(-)
mR
(-)
R
(-)
R
(-)
(-)
1.05
0.0001
0.5
6.0
Karlsruher
Sand
Parameter
Karlsruher
Sand
3.3
Contact formulation
The contact between pile and soil is modeled by use of a surface

to surface contact algorithm (Dassault Systmes 2009). An
angle of wall friction of = 2/3 with a friction angle of =
30 is assumed. An undrained soil behaviour is assumed at the
contact surface between pile and soil.
Figure 1. Top: cross section of the embankment; bottom: engaged pile

driving guide.
3.4
Discretisation
The finite element model depicted in Figure 2 is discretised with

approx. 15,000 four-node plain strain elements with reduced
integration and hourglass control.
3.5
A geostatic stress state with a hydrostatic pore water pressure

distribution is defined as initial condition. The vibratory driving
of the sheet pile is simulated displacement-controlled to prevent
a penetration of the sheet pile into the finite element mesh of the
soil body as it happens in a force-controlled simulation.
Therefore a harmonically oscillating vertical displacement is
applied to the head of the sheet pile as an external loading for a
period of 10 s. The magnitude of the oscillation is determined
Figure 2. Finite element model with discretisation.
3.2
Loading
in a short foregoing force-controlled simulation
Constitutive model of the sand
A hypoplastic constitutive model is used to describe the nonlinear and anelastic behavior and the dynamic compaction
process of the sand being present in the embankment
realistically. The hypoplastic model in the version of Gudehus
720
with a dynamic vibrating force of Fdyn = 1500 kN. After the

vibratory driving no external loading except gravity is applied
to the model for a period of 10 s to investigate the behavior of
consolidation in the model.
RESULTS
Considering an elastic pile driving guide as in reality was not

possible in the numerical simulation due to numerical
instabilities of the analysis caused by too many interactions in
the model. For simplification the investigation of the presented
case of damage is done by studying two limit cases:
1. Free-riding vibratory driving without a pile driving guide
2. Assumption of a rigid pile driving guide
The behavior of the real pile driving guide is to be expected
between these two limit cases. Furthermore the deformations
and reaction forces of the sheet pile obtained by an analysis
with coupled conditions (kf = 1.010-4 m/s) are compared to
results obtained by assuming fully drained. The difference and
the error done by assuming fully drained conditions can be
shown.
4.1
Deformation mechanism
Due to the vibratory driving a cyclic shearing of the soil and a

rearrangement of the soil particles with the result of soil
compaction occurs in the near-field of the sheet pile. The
deformation mechanism of the embankment shown in Figure 3
can be divided into two zones. In the first zone, in the near-field
of the sheet pile, the soil is moving in approximately vertical
direction due to soil compaction with the result of surface
settlements. In a second zone at the surface of the embankment
a layer of soil is sliding down the embankment into the
compacted near-field and pushes against the installed sheet pile.
This is the main reason of the observed horizontal deformations
of the sheet pile wall. The presented deformation mechanism is
in accordance to results of fully drained conditions of the soil
(Hamann and Grabe 2012b).
behavior of the evolution of the deformation can be seen in both

cases, a further increase of the deformations can be assumed in
case of a longer simulation time. A possible limit of the
deformation in case of a longer simulation time will be reached
faster with a drained analysis.
In case of coupled conditions a very fast increase of the
deformation after the beginning of the vibratory driving occurs
due to soil liquefaction in the near-field of the pile. Afterwards
the deformations are increasing slower, since the soil is
compacted slower due to the development of excess pore water
pressure. The movement of the layer of soil sliding down the
embankment and thus the deformation of the sheet pile is
slower. At the end of simulation horizontal deformations of uh1
= 11.5 cm at measuring point 1 and uh2 = 5.5 cm at measuring
point 2 are calculated.
It has to be considered, that the deformations illustrated in
Figure 4 are calculated for the case of a free-riding vibratory
driving and that restrictions resulting of a two-dimensional
analysis have to be observed. In reality the single double piles
are installed one by another and the used pile driving guide
which is fixed at the already installed piles can also drift
laterally due to the installation process.
Figure 4. Evolution of horizontal deformation of measuring point 1 and

2, comparison of coupled (kf = 1.010-4 m/s) and fully drained
conditions of the soil, free-riding vibratory driving.
4.3
Figure 3. Deformation mechanism of the embankment for
coupled conditions of the soil, free-riding vibratory driving.
4.2
Horizontal deformation of the sheet pile
The evolution of the deformation of the sheet pile with respect

to time are shown in Figure 4 for the case of a free-riding
vibratory driving with coupled and fully drained conditions. In
case of a rigid pile driving guide the deformations are smaller
than 5 mm and thus not illustrated. The great difference
regarding deformations of coupled and fully drained conditions
is caused by the velocity of soil compaction. In case of fully
drained conditions no excess pore water pressure and thus no
resistance against a reduction of the void volume can develop.
Hence the whole deformation mechanism of the embankment
caused by soil compaction, consisting of a layer of soil sliding
down the embankment and pushing against the sheet pile,
develops faster as for coupled conditions. Since no asymptotic
721
Reaction forces of the pile driving guide
The evolution of the horizontal reaction forces of a rigid pile

driving guide with respect to time is given in Figure 5 for the
case of coupled and fully drained conditions. The direction of
action of the reaction forces is depicted in Figure 1. Due to the
cyclic shearing of the soil caused by the vibratory driving a very
fast decrease of the horizontal and vertical stress state in the
near-field of the sheet pile occurs (Hamann and Grabe 2012b).
Furthermore a layer of soil is sliding down the embankment and
pushes against the sheet pile, which leads to a sided loading of
the pile, see Figure 3. Thus a fast increase of the reaction forces
occurs at the beginning of the vibratory driving in both cases.
In case of fully drained conditions a further increase of the
reaction forces can be observed because the layer of soil sliding
into the compacted near-field and thus the sided loading of the
pile becomes bigger with progressing soil compaction.
In case of coupled conditions the reaction forces decrease after
the initial increase. The evolution of the reaction forces is the
result of a complex interaction of a sided increase of excess
pore water pressure due to the layer of soil sliding into the nearfield and pushing against the pile and a simultaneously occuring
consolidation. Furthermore the horizontal effective stress state
is reduced in the near-field up to a locally limited soil
liquefaction arround the pile.
4.4
Distribution of pore water pressure and effective stress
ACKNOWLEDGEMENTS
The presented investigations were carried out in the framework

of the research training group Ports for Container Ships of
Future Generations funded by the Deutsche Forschungsgemeinschaft (DFG). The DFG is greatly acknowledged for
funding this work.
The distribution of the pore water pressure and the effective

stress in the area of the embankment is shown in Figure 6 after
10 s of vibratory driving. A distinct increase of the pore water
pressure in an area of approx. 2.4 m arround the pile can be
observed. Excess pore water pressure of approx. uw = 20 kN/m
in the upper area of the near-field and uw = 60 kN/m at the pile
toe arise.
Regarding the effective vertical stress state a reduction of the
effective vertical stress state can be observed in the near-field.
In a distance of 1.0 m around the pile a temporary soil
liquefaction occurs. On the passive side of the pile the area
becomes little larger at the surface area.
Figure 6. Distribution of pore water pressure and effective stresses in

the area of the embankment after 10 s of vibratory driving.
Figure 5. Evolution of horizontal reaction forces of the upper and

lower support, comparison of coupled (kf = 1.010-4 m/s) and fully
drained conditions of the soil, rigid pile driving guide.
CONCLUSIONS
The numerical simulation of a case of damage, arised during the

installation process of a sheet pile wall in the area of an
embankment was presented. By use of the finite element
method the mechanical processes in the soil during the vibratory
driving can be explained e.g. a temporary and locally limited
soil liquefaction. The calculated deformations of the installed
sheet pile are in the range of the measurement data in case of a
coupled analysis. Thus the deformation mechanism can be
reproduced qualitatively correctly and in a quantitative
acceptable way. The results of a fully drained analysis show
great deviations to the measurement data. Regarding the
calculated reaction forces of a pile driving guide a fully drained
analysis provides also a different evolution of the reaction
forces with respect to time compared to a coupled analysis.
In case of water saturated soil a consideration of

the development of excess pore water pressure
and the resulting effects seems to be of great importance for a
numerical simulation or a prediction of geotechnical problems
as presented.
722
REFERENCES

Paris.
Dassault Systmes 2009. Analysis User-Manual. Abaqus 6.9.
Gudehus, G. 1996. A comprehensive constitutive equation for granular
materials. Soils and Foundations 36(1), 1-12.
Hamann T. and Grabe J. 2012a. Numerical investigations on vibratory
sheet piling in embankments. Proceedings of Baltic Piling Days
2012 in Tallinn (Estonia), electronically published.
Hamann T. and Grabe J. 2012b. Numerische Untersuchungen zur
Rammung von Profilen in Bschungen. Proceedings der 4. VDIFachtagung Baudynamik 2012, VDI-Berichte 2160, 625-640.
Niemunis, A. and Herle, I. 1996. Hypoplastic model for cohesionless
soils with elastic strain range. Mechanics of cohesive-frictional
materials 2(4), 279-299.
Pichler T., Pucker T., Hamann T., Henke S. and Qiu G. 2012. HighPerformance Abaqus simulations in soil mechanics reloaded chances and frontiers. Proc. of International Simulia Community
Conference in Providense, Rhode Island/USA, pp. 237-266.
von Wolffersdorff, P.-A. 1996. A hypoplastic relation for granular
material with a predefined limit state surface. Mechanics of
cohesive-frictional materials 1, 251-271.
th
Combined
Combined computational-experimental
computational-experimental Laboratory
Laboratory Testing
Testing for
for Soil
Soil Behiavor
Behavior
Modeling
Combinaison dessais numriques et exprimentaux pour la modlisation du comportement

des
sols
Combinaison
dessais numriques et exprimentaux pour la modlisation du comportement des
sols.
Hashash Y.M.A., Asmar R., Moon S.
Y. M.A.
Hashash
Dept.
of Civil
and Environnemental Engineering, Univ. of Illinois at Urbana-Champaign, Urbana, USA
Dept. of Civil and Environmental Engineering, Univ. of Illinois at Urbana-Champaign, Urbana, U.S.A
R. Asmar & S. Moon

Dept. of Civil and Environmental Engineering, Univ. of Illinois at Urbana-Champaign, Urbana, U.S.A
ABSTRACT: Solving complex boundary value problems in geotechnical engineering requires a soil constitutive model that reliably
captures soil behavior under general loading conditions. Laboratory testing has greatly contributed to the development of constitutive
models that reflect soil nonlinear and anisotropic behavior. Available laboratory tests are interpreted assuming uniform stress and
strain states within a tested specimen and therefore provide information on material behavior within a narrow range of stressstrain
paths and do not cover general loading conditions which occur in field problems. This paper presents the integration of self-learning
simulations (SelfSim) inverse analysis framework with laboratory testing to extract soil-behavior. Application of this framework to
Direct Simple Shear (DSS) tests shows that it is possible to characterize soil behavior over a wide range of stress paths from a single
test. The paper also describes the development of a modified triaxial testing device intended to impose non-uniform loading
conditions to increase the range of stresses and strains that can be extracted via SelfSim. The new device represents an important step
towards a tighter integration between laboratory testing and constitutive model development.
RSUM : Rsoudre des problmes complexes aux limites en gotechnique ncessite un modle constitutif de sol qui capte de
manire fiable le comportement du sol dans des conditions gnrales de chargement. Les essais en laboratoire ont grandement
contribu l'laboration de modles de comportement qui refltent le comportement non-linaire et lanisotrope du sol. Les essais de
laboratoire disponibles sont interprts en supposant que les tats de contraintes et de dformation sont uniformes au sein de
lprouvette teste. Ceci permet de fournir des informations sur le comportement du matriau dans une gamme troite de chemins
contrainte-dformation, et ne couvrent pas les conditions gnrales de chargement qui se produisent dans les problmes rels. Cet
article prsente l'intgration de l'auto-apprentissage des simulations (SelfSim) dans le cadre dune analyse inverse partir dessais en
laboratoire pour obtenir le comportement du sol. L'application de cette approche aux essais de cisaillement simple direct (DSS)
montre qu'il est possible de caractriser le comportement du sol sur une large gamme de chemins de contrainte partir d'un seul test.
Le document dcrit galement le dveloppement d'un dispositif d'essai triaxial modifi destin imposer des conditions de
chargement non uniformes pour augmenter la gamme des contraintes et des dformations qui peuvent tre obtenues par SelfSim. Le
nouveau dispositif reprsente une tape importante vers une intgration plus troite entre les essais de laboratoire et llaboration d'un
modle constitutif.
KEYWORDS: SelfSim, direct simple shear (DSS), triaxial shear, inverse analysis, constitutive modeling.
1
Regardless of the extent of non-uniform conditions within

the test itself, interpretation of stressstrainstrength response is
based on the assumption of uniform conditions. The design of
complex boundary value engineering problems whereby soils
are sheared under general loading conditions requires material
constitutive models that can represent soil behavior under these
loading conditions. The process of development of material
constitutive models is lengthy and requires numerous tests to
cover a broad range of loading paths. However, all available
models are developed based on limited behavior measured by
existing laboratory tests. This limited information generally
results in a model that may not be justifiable for representing
loading conditions that differ substantially from the ones in
laboratory tests.
A weak link clearly exists between laboratory testing and
material modeling. Hashash, Ghaboussi and co-workers, over
the last decade, successfully developed an integrated testanalysis framework to build a stronger link between material
testing and material modeling. This is accomplished through the
use of a biologically inspired inverse analysis framework, selflearning simulations (SelfSim), which uses a neural network
(NN)-based material model to extract non-uniform stressstrain
INTRODUCTION.
In geotechnical engineering problems, soil behavior

interpretation is commonly based on laboratory tests, such as
triaxial, plane strain, and direct simple shear tests (Ladd and
Foott 1974, Jamiolkowski et al. 1985, Mesri and Choi 1985).
These tests or devices allow soil behavior to be evaluated under
a range of loading modes, and provide in-depth understanding
of soils stressstrainstrength behavior (Bolton 1986,
Jamiolkowski et al. 1985, Ladd et al. 1977). Uniform stress and
strain states within the specimen are generally imposed in the
device designed for laboratory testing and the soil response
corresponding to a single loading path is provided. Measured
soil response is interpreted assuming the specimen is a single
element and is sheared uniformly even from devices such as the
Direct Simple Shear (DSS) device, which generates nonuniform stresses and strains. This is due to the lack of means to
extract the complex stress-strain behavior with a specimen. Due
to this uniformity requirement or assumption, laboratory testing
can only reveal a narrow range of soil behavior, which is
significantly different from the general loading conditions
experienced by the soil in the field.
723
1
th
states from global measurements of load and displacement of

boundary value problems such as deep excavations and seismic
response of downhole arrays (Ghaboussi et al. 1998, Hashash et
al. 2004, Tsai and Hashash 2008). Laboratory tests imposing
non-uniform stressstrain within the soil are used within the
SelfSim framework. Fu et al. (2007) applied the SelfSim
framework to simulated laboratory triaxial specimens sheared
with no-slip frictional ends, and Hashash et al. (2009) applied
the SelfSim framework to drained triaxial compression tests to
extract soil stress-strain. The SelfSim inverse analysis algorithm
provides a unique opportunity to extract multiple paths of
complex soil behavior from a test with nonuniform boundary
conditions. The algorithm is unconstrained by prior assumptions
on soil behavior such as anisotropy and nonlinearity.
This paper presents the integration of self-learning
simulations (SelfSim) inverse analysis computational engine
with the widely used DSS test and a newly developed next
generation triaxial laboratory testing device that imposes nonuniform loading on a soil specimen beyond frictional ends. The
stress paths after SelfSim learning are extracted within the
specimens in terms of the relationship between principal stress
direction () and intermediate principal stress ratio (b) to
interpret soil behavior that is not described sufficiently in
conventional laboratory test due to limited information.
2
As shown in Figure 1, SelfSim framework consists of two

steps: 1) In Step 1, a laboratory test with constrained boundary
loading conditions is performed and measurements of force and
displacement are obtained at each loading step; 2) In Step 2, a
numerical model is developed to represent the test with the
corresponding measurements. Two parallel finite element (FE)
analyses, Step 2a and Step 2b, are performed at each loading
step. In these analyses a NN material model is employed that
continuously evolves and learns new behavior through the
SelfSim process instead of a conventional material model.
Initially the soil response is unknown and the NN soil model is
pre-trained using stress-strain data that reflect linear elastic
response over a limited strain range. The FE analyses are
performed to simulate the applied forces in Step 2a and the
measured boundary displacements in Step 2b. The computed
stresses from boundary forces in Step 2a and the computed
strains from boundary displacements in Step 2b are respectively
acceptable approximations of the actual stresses and strains
experienced throughout the specimen. The stresses from Step 2a
and the strains from Step 2b are extracted to form stress-strain
pairs. These stress-strain pairs are used to re-train the NN soil
model in the next step. The parallel analyses and the subsequent
NN material model training, SelfSim learning cycle, are
performed sequentially for all loading steps and they are
repeated till the solution converges when both analyses provide
similar results. This results in a single SelfSim learning pass.
Several SelfSim learning passes are needed to extract soil
behavior used in training a NN soil model that will adequately
capture global measurements of force and displacement. The
framework extracts material behavior via a continuously
evolving constitutive model and thus is not constrained by
conventional constitutive model assumptions.
SELFSIM FRAMEWORK
SelfSim is a biologically inspired evolutionary inverse analysis

framework that implements and extends the Autoprogressive
algorithm to solve a wide range of engineering problems. The
Autoprogressive algorithm was originally proposed by
Ghaboussi et al. (1998) and applied to structure and material
tests (Ghaboussi and Sidarta 1998). Shin and Pande (2000)
implemented this algorithm on simulated structures and
introduced it in the context of self learning finite element code.
SelfSim treats the soil specimen as a BVP (Boundary Value
Problem) instead of a single element test and extracts the
nonuniform stresses and strains from within a specimen using
external load and displacement measurements.
Pj
The SelfSim framework is applied to K0 normally consolidatedundrained direct simple shear (CK0UDSS) tests, performed on
normally consolidated re-sedimented Boston Blue Clay (BBC)
(Ahmed 1989). SelfSim learning is performed on Test DSS14
up to 1.97% shear strain divided into 11 loading steps. The 3D
FE model is developed as a cylindrical specimen with a height
of 1.96 cm and a diameter of 6.68 cm. The specimen is assumed
to have frictional loading cap and base that can produce nonuniform stress-strain distribution during shear. The
consolidation process is not simulated but considered as an
initial anisotropic state of stress (v0=1176kPa, h0=623kPa),
from which shearing commences.
SelfSim learning is initiated with a trained NN constitutive
model representing linear elastic behavior in the shear strain
range of 0.07%. This linear elastic behavior is removed once the
learning process starts. The global measurements, such as
vertical loads, horizontal loads, and lateral displacements in x
(longitudinal, in the direction of shearing) and y (transverse)
directions, from CK0UDSS test are employed in SelfSim
learning. After initialization, SelfSim learning is conducted in 4
stages over all 11 loading steps using the updated NN material
model from each stage.
Figure 2 shows comparisons of the global target responses
and model responses after SelfSim learning, including
normalized shear stress, normalized vertical stress, and lateral
displacement. Through the process of SelfSim learning, the
computed global responses match the global target responses of
force and displacement measurements for DSS14 at the learning
final stage. Thus, SelfSim learning makes it possible to extract
sufficient information about the soil behavior to learn the global
response. The stress behavior at integration points is extracted
in a half slice of the specimen using a cylindrical coordinate
system.
Figure 3 shows the extracted stresses in the plot between
intermediate principal stress ratio (b) and the principal stress
1. Laboratory test
jh
Measurments of current
loading step j
P
j-1 j j+1
h
2. SelfSim learning: FE analyses to extract stress strain behavior
SelfSim applied to current loading step j
2b) Apply displacements=>

extract strains
Pj
jh
Current soil model
2a) Apply loads=>

extract stresses
Pj
Integration point
j
Database for
training
Computed displacements No
measurements
Retrain NN based soil model
Yes
APPLICATION OF SELFSIM TO DSS TESTS
j1 j1
SelfSim moves to next loading step j+1

Figure 1. SeflSim framework applied to DSS laboratory test.
724
2
Numerical analysis on prediction for residual deformation of earth structure using

rigid plastic dynamic deformation analysis
tude numrique pour prvoir la dformation rsiduelle dun ouvrage en terre
l'aide de lanalyse de la dformation dynamique rigide plastique
Hoshina T., Isobe K.
Nagaoka University of Technology
ABSTRACT: Recently, some deformation for against earth structure has been allowed in the current design code. Elastic plastic
deformation analysis can evaluate properly of behavior of the ground. But may not be able to evaluate appropriate the amount of
residual displacement from problems of initial stress and stress history. From such problem, we propose dynamic deformation
analysis based on the rigid plastic constitutive model like limit equilibrium method.
RSUM: Rcemment, une certaine dformation des ouvrages en terre a t autorise dans les codes de dimensionnement actuels.
Lanalyse de la dformation plastique-lastique permet d'valuer exactement le comportement du sol. Pourtant, elle nest approprie
pour la mesure de la dformation rsiduelle des problmes de contrainte initiale et dhistoire de contrainte. Face aux problmes cidessus, nous proposons une analyse de la dformation dynamique base sur un modle constitutif rigide-plastique comme la mthode
d'quilibre limite.
KEYWORDS: rigid plastic constitutive equationdynamic deformation analysisresidual deformation
1
INTRODUCTION
Recently, the stability evaluation is done by a residual

deformation from viewpoint of rationalization in the designing
earth structure. Example, it has been proposed the elasto plastic
deformation analysis method using the elasto plastic
constitutive equation as a method to predict the residual
deformation. The analysis method can properly evaluate
behavior of the ground. But there are some problems as such
effect by stress history and initial stress, and setting of analysis
parameters. Therefore, may not be able to evaluate properly a
residual displacement against conditions of target problem. In
addition, it feels limitation of applicability against complex
problems of the slope because the governing equation is
expressed by incremental equation.
In this study, we developed a rigid plastic dynamic finite
deformation analysis based on the rigid plastic finite element
method (RPFEM) assuming the rigid plastic theory to the soil
material. The RPFEM has been applied to the stability
evaluation as such the bearing capacity problems of the earth
structure in the geotechnical engineering field. It has advantage
that it isn't necessary assuming slip surface, and considering a
geometric nonlinearity is easy, and applicability to express the
ground characteristic is good. Therefore, it can reasonably
express behavior of the earth structure.
In this paper, we will explain about formulation of the proposed
method used a rigid plastic constitutive equation. In addition,
we will do simulations of the bearing capacity problem in the
horizontal ground and the slope. And, we will show
applicability to deformation problems by the proposed method
from simulation's results.
2
2.1
resistance based on the mohr coulomb's failure criterion is

coefficients. The tensile stress has been defined positive.
f ( )= I1 +
( ) =
1

e=
3 +1 2 e
2
h ( )= v -
(2)
e = v - e = 0
3 2 + 1 2
h
3

2
= I ( ) =

e
+
3
1
2
(3)
(4)
Finally, it is obtained the equation (5) as the rigid plastic

constitutive equation from the equation (2) and the equation (4).
In addition, the condition equation (3) has been incorporated to
the constitutive equation (5) by applying the penalty method (
is the penalty constant) because speed up of calculation.
The rigid plastic constitutive equation
727
(1)
A stress decompose to a stress and a stress . Here, the

stress can define by a strain velocity, the stress can not
define by the strain velocity. The stress is expressed from
the associated flow rule. The stress is expressed using a
condition equation (volume change characteristic) on the strain
velocity and the indefinite constant. Here, is the strain
velocity. e is a equivalence strain velocity. v is a volume
strain velocity. I is a unit tensor.
ANALYSIS METHOD
We formulated the rigid plastic constitutive equation using the

Drucker-Prager yield function from the upper bound theorem of
the limit theorems. Here, I1 is first invariable value of stress
tensor. J2 is second invariable value of deviatoric stress tensor.
And, and relate to a cohesion and an angle of shear
J2 - = 0
2.2
+ (v - e) I 2
e
3 +1 2
(5)
3 2 +1 2 e
3
Formulation of the governing equation
A magnitude of strain velocity in the rigid plastic constitutive

equation (a relationship of the stress and the strain velocity) is
indefinite value. It has been proposed an analysis method using

the constrained condition to restrict a magnitude of
displacement velocity in the ultimate bearing capacity problems.
But, it can not apply the constrained condition in the
deformation analysis. Therefore, we defined the magnitude of
displacement velocity using the equation of motion (using the
momentum) in this study.
The equation (6) is the equation of motion at the reference
, is a mass, an acceleration, a
configuration. Here, , u
nominal stress at the reference configuration. g is a gravitational
acceleration.
Div 0 g
0u
(6)
It is obtained a weak form by to apply the principle of virtual

work to the equation of motion (6). In addition, it is obtained
the equation (7) as a weak form of equation of motion by to
update to the current configuration from the reference
configuration besed on the updated lagrange method. Here, V,
Sis a volume boundary, a sress boundary at the current
configuration. , is a mass, a ttrue stress at the current
configuration.
u dV
: div u dV u
V
(7)
t u dS g u dV
S
As shown in the equation (5), the rigid plastic constitutive

equation has characteristic that the true stress is decided from
the boundary problems at the current configuration because
there are not effect by the stress history. The rigid plastic
dynamic deformation analysis is formulated as shown in the
equation (8) by to apply the rigid plastic constitutive equation to
the equation (7). Here, it need to repetition calculation because
the equation (8) is the nonlinear equation having a acceleration
(displacement acceleration), a displacement velocity and a
displacement. Therefore, we carried out analysis by the direct
substitution method in this study. In addition, the proposed
method applied the implicit method by the wilson s method
because the equation (8) has the acceleration (displacement
acceleration) and the displacement velocity of unknown.
V 3 2 +1 2 e : div u dV
3
v e I
3 2 +1 2
VERIFICATION OF ANALYSIS METHOD
This chapter will show result of the limit bearing capacity

analysis and the dynamic deformation analysis against the
analysis condition at the Table 1 and the horizontal ground
model at the Figure 1. This calculation does not consider the
body force. And, it does not update coordinate from the
reference configuration based on the infinitesimal deformation
theory to compare to the theoretical solution.
The Prandtl has shown the theoretical solution (2 + )c in the
limit bearing capacity of the horizontal ground. The theoretical
solution of the limit bearing capacity is obtained 102.83 kPa
from the Table 1.
Next, we show the equivalence strain velocity distribution and
the collapse mode of the ground at the Figure 2 as result of the
limit bearing capacity analysis using the rigid plastic
constitutive equation (5). The collapse mode expresses by to use
a displacement which multiplied a displacement velocity to any
time. It showed that has been obtained similar collapse mode
when compared to the Prandtls theoretical collapse mode.
In addition, this analysis obtained 104.87 kPa as the limit
bearing capacity.
Next, we show the result (a relationship of the loading and the
displacement acceleration, the displacement velocity, the
displacement) of the dynamic deformation analysis used the
rigid plastic constitutive equation (5) of the proposed method at
the Figure 3. We applied a loading velocity of 10.0 kPa/sec (a
time interval t of 0.1 sec/step) as the analysis condition. It is
F0
15.0
30.0
Figure 1. Analysis model [Length unit : m]
Table 1. Analysis condition

: div u dV
e
Angle of shear resistance []
0.0
Cohesion c [kPa]
20.0
Unit weight
t [kN/m3]
Initial loading F0 [kPa]
u dV
t u dS g u dV u
emax
0.0
20.0
emin
for u
(8)
The equation of motion expresses dynamic behavior of the
ground against action force. There is a characteristic that an
equilibrium of disagreement between the external load and the
internal stress by the inertia force is satisfied from viewpoint of
the static equilibrium equation. Therefore it can keep the
equilibrium by the inertia force against the external load of if
the ground can not bear. However, there is a possibility to occur
sudden deformation because of large acceleration (displacement
acceleration) due to the inertia force. Therefore, it is expressed
the velocity effect of bearing capacity with dynamic behavior
by the inertia force even if the ground's strength is constant.
728
Figure 2. The collapse mode and the equivalence strain velocity

distribution by the limit bearing capacity analysis (the limit bearing
capacity is 104.87 kPa)
1.0
0.6
0.4
Displacement
-1.5
Displacement acceleration
Displacement velocity
-2.0
0.2
-2.5
0.0
Displacement velocity [m/sec]
-1.0
Displacement acceleration [m/sec^2]
-0.5
0.8
Displacement [ m]
F0
0.0
1:1.5
36.0
20.0
30.0
94.0
Figure 5. Analysis model [Length unit : m]
-3.0
Table 2. Analysis condition
Loading [kPa]
Figure 3. Relationship of the loading and the displacement acceleration,

the displacement velocity, the displacement
Angle of shear resistance []
10.0
Cohesion c [kPa]
50.0
Unit weight
emax
Initial loading F0 [kPa]
emin
(a) Loading84.0 kPa
t [kN/m3]
18.0
180.0
occur the equivalence strain velocity of the bulb form at the

initial loading. After it indicated the similar deformation mode
against the Prandtls theoretical collapse mode with increase of
the loading.
It indicated that the rigid plastic dynamic deformation analysis
can evaluate properly against the limit bearing capacity
problems of the horizontal ground from the above simulation
results.
4 VERIFICATION OF EFFECT BY THE LOADING
HISTORY
(b) Loading99.0 kPa
This chapter will verify applicability of the proposed method

against deformation behavior by the loading history such as
increase or decrease. We show the analysis model at the Figure
5. This model has inclination of slope of 11.5. The loading
applied to top of slope as the loading velocity of 10.0 kPa/sec
(time interval t of 0.1 sec/step). The boundary condition of
displacement gave the restraint condition of the model bottom
and the horizontal restraint condition of the model side. The
parameter assumed the cohesive soil (the Table 2).
4.1
(c) Loading105.0 kPa
We show result of the limit bearing capacity analysis at the

Figure 6. This Figure shows the equivalence strain velocity
distribution and the collapse mode. Here, this collapse mode is
expressed from displacement which multiplied displacement
velocity to any time. It obtained the collapse mode which shows
the slip line (the large shear zone of the equivalence strain
velocity) of the circular arc form toward the toe of slope from
the top of slope as result of the limit bearing capacity analysis.
And it obtained 195.94 kPa as the limit bearing capacity.
4.2
(d) Loading116.0 kP
distribution by the dynamic deformation analysis
shown to occur deformation if the loading exceeds 105.0 kPa

(Figure 3). It indicated that the proposed method can obtain
similar result against the Prandtls theoretical solution and the
limit bearing capacity analysis because this loading value is the
limit bearing capacity. In addition to that, we show the
equivalence strain velocity distribution and the deformation
mode against each loading at the Figure 4. It indicated that
The limit bearing capacity analysis
The bearing capacity deformation analysis
Next, we show result of the deformation analysis considering

the loading history against the bearing capacity problem of
slope at the Figure 5. We carried out three cases of the case [1]
constant increase, the case [2] keep after constant increase, the
case [3] decrease after constant increase, as the analysis cases.
In addition, we carried out comparison of calculation based on
the infinitesimal deformation theory or the finite deformation
theory because it verify effect of the geometry form. Both
theories obtained 196 kPa as the same limit bearing capacity
against the limit bearing capacity analysis's result because the
displacement increased after the loading exceeds the loading
196 kPa. We show the collapse mode based on the finite
deformation theory in the case [1] at the Figure 7. This collapse
mode is expressed from the displacement which it is obtained
from the deformation analysis. This collapse mode obtained
729
theoretical solution and the limit bearing capacity analysis in the

Hoshina, T. Ohtsuka
horizontal ground to verify applicability of the proposed method.
applicability of rigid p
And we were carried out simulation in the slope to show that it
structures, Journal of ap
can evaluate properly deformation behavior of the ground
Japanese)
against
theMechanics
loading history.
We showed that
it can evaluate
Proceedings of the 18th International Conference
on Soil
and Geotechnical
Engineering,
Paris 2013 JSTP. 1994. Non-linea
properly problems such as effect of the geometry form by using
(in Japanese)
the proposed method from these result.
emax
emin
emin
730
emin


distribution by the dynamic deformation analysis (the limit bearing
distribution by the dynamic deformation analysis (the limit bearing
340.0
12.0
[1]
[2]
[3]
300.0
340.0
260.0
8.0
12.0
Loading [ kPa]
Loading [ kPa]
[1]
[2]
[3]
300.0
220.0
260.0
180.0
4.0
8.0
0.0
4.0
220.0
140.0
-4.0
0.0
[1]
[2]
[3]
180.0
100.0
140.0
60.0
100.0
20.0
0
60.0
[1]
2 [2]4
[3]
-8.0
-4.0
6
10
12
14
16
18
-12.0
20-8.0
Time [ sec]
20.0
-12.0history
Figure 8. Difference
of the residual displacement by the loading
0
2deformation
4
6
8 10 12 14 16 18 20
in the infinitesimal
theory
Time [ sec]
300.0
Figure 8. Difference
of the residual displacement by the loading2.0history
in the infinitesimal deformation
theory
[1]
1.5
260.0
300.0
[2]
[3]
220.0
260.0
Loading [ kPa]
Loading [ kPa]
[1]
[2]
[3]
180.0
220.0
1.5
0.5
1.0
0.0
0.5
-0.5
140.0
180.0
0.0
-1.0
[1]
[2]
[3]
100.0
140.0
60.0
100.0 0
2.0
1.0
Displacement [ m]
Displacement [ m]
emax
emax
Displacement [ m]
Displacement [ m]
similar result against the collapse mode obtained by the limit

bearing capacity analysis showing at the Figure 6.
Next, we show a relationship of the loading and the
displacement
based on
theories
the Figure
the
similar
result against
the both
collapse
modeto obtained
by 8theand
limit
Figure capacity
9. Firstly,
we explain
result
based
on 6.the infinitesimal
bearing
analysis
showing
at the
Figure
deformation
theorya atrelationship
the Figure 8.ofIf the
[1], it and
indicated
Next,
we show
the case
loading
the
the rapid increase
of the displacement
by 8occurrence
displacement
basedinclination
on both theories
to the Figure
and the
of the9.acceleration
with
the loading
Figure
Firstly, we(displacement
explain resultacceleration)
based on the
infinitesimal
speed by continuing
theFigure
loading
it exceeds
the limit
deformation
theory at the
8. Ifafter
the case
[1], it indicated
bearing
capacity.inclination
If the caseof[2],
it indicated similar
increase
the
rapid increase
the displacement
by occurrence
against(displacement
the case [1]. acceleration)
But it indicated
increase
ofinclination
the acceleration
with the loading
inclination
smaller than
case [1].after
If the
[3], itthe
indicated
speed
by continuing
thetheloading
it case
exceeds
limit
the inclination
keep [2],
the itconstant
(the
bearing
capacity. which
If the case
indicateddisplacement
similar increase
residual against
displacement)
theit indicated
unloadingtheafter
the
inclination
the case with
[1]. But
increase
displacement
increased.
This
behavior
shows
occur
the strain
inclination
smaller
than the
case
[1]. If the
caseto[3],
it indicated
velocity
in the which
ground keep
by to the
receive
effect displacement
of previous motion
the
inclination
constant
(the
after the unloading.
So, it iswith
conceivable
that the displacement
residual
displacement)
the unloading
after theis
kept by to increased.
occur theThis
acceleration
of opposite
displacement
behavior shows
to occurdirection
the strainto
convergeinbythe
a gap
of the
as the
dynamical
reason.
velocity
ground
byloading
to receive
effect
of previous
motion
Secondly,
we explain
based onthat
thethe
finite
deformation
after
the unloading.
So, itresult
is conceivable
displacement
is
theory
Figurethe9. acceleration
If the case [1],
indicateddirection
the increase
kept
byattotheoccur
of itopposite
to
inclination
the of
displacement
exceeds the
limit bearing
converge
by of
a gap
the loading after
as theitdynamical
reason.
capacity like
result ofresult
the based
infinitesimal
theory.
Secondly,
we explain
on the deformation
finite deformation
However
it indicated
gentle
inclination
the
theory
at the
Figure 9. the
If the
caseincrease
[1], it indicated
theagainst
increase
infinitesimal
deformation
theory.
If itthe
case [2],
indicated
the
inclination
of the
displacement
after
exceeds
theitlimit
bearing
inclination
keep
displacement
after increased
capacity
likewhich
result
of the
theconstant
infinitesimal
deformation
theory.
the displacement
by the
to keep
constant
loading like
the case
However
it indicated
gentletheincrease
inclination
against
the
[3] of the infinitesimal
This
inclination
infinitesimal
deformation deformation
theory. If thetheory.
case [2],
it indicated
theis
different inclination
the case
[2] of the
infinitesimal
inclination
which keep against
the constant
displacement
after
increased
deformation
theory.
It iskeep
conceivable
that deformation
the
displacement
by to
the constant
loading like decreased
the case
because
the limit
bearing capacity
of theinclination
ground byisto
[3]
of theincreased
infinitesimal
deformation
theory. This
occur effect
of embedment
deformation
of the
ground by
different
inclination
against with
the case
[2] of the
infinitesimal
the loadingtheory.
as thisIt is
reason.
If the that
casedeformation
[3], it indicated
the
deformation
conceivable
decreased
inclination
whichthe
keep
thebearing
constant
displacement
like thebycase
because
increased
limit
capacity
of the ground
to
[3] of
theofinfinitesimal
deformation
theory.
occur
effect
embedment with
deformation
of theHowever
ground byit
indicated
theIfresidual
is smaller
the
loadingtheas inclination
this reason.
the casedisplacement
[3], it indicated
the
than the which
infinitesimal
theory from
inclination
keep thedeformation
constant displacement
like effect
the caseof
embedment.
It is proved deformation
that it can evaluate
of the
[3]
of the infinitesimal
theory. effect
However
it
geometrythe
form
by based the
on the
finite displacement
deformation theory
from
indicated
inclination
residual
is smaller
all analysis
cases.
than
the infinitesimal
deformation theory from effect of
applicability
of evaluate
the finiteeffect
deformation
It has beenIt shown
embedment.
is proved
that it can
of the
analysis by
theby
proposed
method
fromdeformation
this chapter's
result.
But
geometry
form
based on
the finite
theory
from
theanalysis
proposed
method has the problem that it can't calculate by to
all
cases.
of theapplicability
finite element
shear
deformation
with
ofbythe
finite
deformation
Itoccur
has distortion
been shown
deformation
the ground.
Example,
as the case
[1] ofBut
the
analysis
by theofproposed
method
from such
this chapter's
result.
finite
deformation
it need
to improve
the
proposed
methodtheory.
has theTherefore
problem that
it can't
calculateso
bythat
to
can be
applied of
to the
large
deformation
calculation
of the ground.
occur
distortion
finite
element by
shear deformation
with
Example, such
the remesh
techniques.
Wecase
are[1]
going
deformation
of theasground.
Example,
such as the
of theto
improve
this problem
in the
future. it need to improve so that
finite
deformation
theory.
Therefore
can be applied to large deformation calculation of the ground.
5 CONCLUSIONS
Example,
such as the remesh techniques. We are going to
improve
this problem
in theplastic
future.dynamic deformation analysis
We developed
the rigid
using
the
rigid
plastic
constitutive
equation to predict the
5 CONCLUSIONS
residual deformation of the earth structure. The proposed
method
has characteristic
thatdynamic
it can be
done deformation
We
developed
the rigid plastic
deformation
analysis
analysis
the stress
boundary
problems
whichtoto predict
apply inthe
the
using
theinrigid
plastic
constitutive
equation
rigid plastic
constitutive
equation
difficulty.The
Therefore
the
residual
deformation
of the
earth isstructure.
proposed
proposedhasmethod
can do the
analysis by
method
characteristic
thatresidual
it can deformation
be done deformation
collapseinofthethe
earth
structure.
We compared
analysis
stress
boundary
problems
which to the
applyPrandtls
in the
theoretical
and the
limit bearing
capacityTherefore
analysis inthe
the
rigid
plasticsolution
constitutive
equation
is difficulty.
horizontalmethod
groundcan
to verify
of the proposed
method.
proposed
do theapplicability
residual deformation
analysis
by
And we of
were
simulation
the slope to
that it
collapse
thecarried
earth out
structure.
We incompared
theshow
Prandtls
can evaluate
properly
the ground
theoretical
solution
and thedeformation
limit bearingbehavior
capacity of
analysis
in the
against the
loading
history.
We showed
that
it can method.
evaluate
horizontal
ground
to verify
applicability
of the
proposed
properly
problems
effect of in
thethe
geometry
using
And
we were
carriedsuch
out as
simulation
slope toform
showbythat
it
the proposed
these result.
can
evaluate method
properlyfrom
deformation
behavior of the ground
against the loading history. We showed that it can evaluate
properly problems such as effect of the geometry form by using
the proposed method from these result.
[1]
2 [2] 4
[3]
-0.5
-1.5
-1.0
-2.0
6
8
Time [ sec]
10
12
14
-1.5
-2.0 history
Figure 9. 60.0
Difference of the residual displacement by the loading
0
2
4
6
8
10
12
14
in the finite deformation
theory
REFERENCES
Time [ sec]
Figure 9. Difference of the residual displacement by the loading history

in the
finite deformation
theory
Hoshina,
T. Ohtsuka,
S. and Isobe, K. 2011. Discussion on
applicability of rigid plastic dynamic deformation analysis to soil
6structures,
REFERENCES
Journal of applied Mechanics JSCE. Vol.14, 251-259. (in
Japanese)
Hoshina, T. Ohtsuka, S. and Isobe, K. 2011. Discussion on
JSTP. 1994.
Finite
Elementdeformation
Method, CORONA
applicability
of Non-linear
rigid plastic
dynamic
analysisPublisher.
to soil
(in Japanese)
structures,
Journal of applied Mechanics JSCE. Vol.14, 251-259. (in
Japanese)
JSTP. 1994. Non-linear Finite Element Method, CORONA Publisher.
(in Japanese)
Undrained bearing capacity of spatially random clays by finite elements and limit
analysis
Capacit portante des argiles non draines des champs alatoires par lments finis et analyse
limite
Huang J., Lyamin A.V.
The University of Newcastle, Australia
Griffiths D.V.
Colorado School of Mines, USA
Sloan S.W., Krabbenhoft K.

The University of Newcastle, Australia
Fenton G.A.
Dalhousie University
ABSTRACT: This paper combines the random field methodology with the upper and lower bound finite element limit analysis
algorithms (Sloan 1988, 1989) to study the bearing capacity of undrained clays with spatially varying shear strength. The results of
the Random Field Limit Analysis (RFLA) analyses are compared with existing results obtained by elastic-plastic Random Finite
Element (RFEM) analyses (Griffiths and Fenton 2001). It is shown that RFEM results are bounded by RFLA ones. The difference
(Nd) between the upper (Nu) and lower (Nl) bound bearing capacities in random soils is shown to be a lognormally distributed
random variable. The effects of spatial correlation length and coefficient of variation of undrained strength on Nu and Nl are also
studied.
RSUM : Ce document combine la mthode des champs alatoires avec les limites infrieure et suprieure des algorithmes
danalyse par lments finis limites (Sloan 1988, 1989) pour tudier la capacit portante des argiles non draines variant dans lespace
avec la rsistance au cisaillement. Les rsultats de lanalyse de limiter le champ alatoire (RFLA) des analyses sont compars avec les
rsultats actuels obtenus par lasto-plasticit des lments finis (Random RFEM) analyses (Griffiths et Fenton, 2001). Il est montr
que les rsultats RFEM sont dlimits par les RFLA. La diffrence (Nd) entre la tige (Nu) et infrieure (Nl) li capacits portantes dans
les sols alatoires se rvle tre une variable alatoire une distribution lognormale. Les effets de la longueur de corrlation spatiale et
coefficient de variation de la rsistance non draine sur Nu et Nl sont galement tudis.
KEYWORDS: bearing capacity, limit analysis, finite element method, random field.
1 INTRODUCTION
Limit analysis has been used in geotechnical practice for
decades as a means of estimating the ultimate strength of
structures. Starting from early 80s (e.g., Sloan 1988, 1989),
Sloan and his colleagues combined the bound theorems with
finite element method and mathematical programming
techniques. The resulting methods inherit all the benefits of the
finite element approach and are applicable to a wide range of
problems involving arbitrary domain geometries, complex
loadings and heterogenous material properties. The Random
Finite Element Method (RFEM) (Fenton and Griffiths 2008)
combines elastoplastic finite elements and random field theory
in a Monte-Carlo framework. It has been proved to be able to
assess the reliability of a wide range of geotechnical problems
including settlement, seepage, consolidation, bearing capacity,
earth pressure and slope stability.
In this paper, we combines the finite element limit analysis
method developed by Sloan and his colleagues with random
field theory. The framework is very similar to RFEM, but three
components are combined together, namely, bound theorems,
finite element method and random field theory. The finite
element limit analysis utilizes recent developments of convex
optimization algorithms. The random field is generated by the
Local Averaging Subdivision method developed by Fenton and
Vanmarcke (1990). The method is then used to investigate the
statistical bounds of the bearing capacity of a smooth rigid strip
footing (plane strain) at the surface of an undrained clay soil
731
with a shear strength cu ( u 0 ) defined by a spatially varying

random field.
The study starts with a deterministic analysis which shows
the bearing capacity obtained by finite element method is
bounded by the ones obtained by limit analysis. By introducing
spatial variability, the robustness of finite element limit analysis
involving heterogenous soil properties is tested. It is shown that
the limit analyses always bounds the finite element analysis no
matter how heterogenous the soils are. Although the RFEM
always gives estimations lie between the lower and upper
bounds, RFLA gives quantitative error estimation which RFEM
cannot offer. The probabilistic analysis is then carried out. It is
shown that even the mean upper bound bearing capacity factors
are lower than the Prandtl solution in all cases. This confirms
that using mean soil strength with deterministic analysis or first
order probabilistic estimate will be on the unconservative side.
In addition, a worst case spatial correlation length is observed
where mean bearing capacity is minimized. This suggests that
the spatial variability of soil strength has to be taken into
account properly.
2
REVIEW ON FINITE ELEMENT LIMIT ANALYSIS
The lower and upper bound theorems of classical plasticity

theory is a powerful tool for analysing the stability of problems
in soil mechanics. The theory assumes a perfectly plastic soil
model with an associated flow rule. The lower bound theorem
states that any statically admissible stress field will furnish a
lower bound (or safe) estimate of the true limit load.
maximize
subject to
A = p p 0
T
Nc
(1)
f ( ) 0
where A is an equilibrium matrix, is a vector containing
stresses, and the external load consists of a constant part p 0 and
a part proportional to a scalar parameter , f defines the yield
conditions.
A statically admissible stress field is one which satisfies (a)
the stress boundary conditions, (b) equilibrium, and (c) the yield
condition (the stresses must lie inside or on the yield surface in
stress space).
The upper bound theorem states that the load (or the load
multiplier), determined by equating the internal power
dissipation to the power expended by the external loads in a
kinematically admissible velocity field, is not less than the
actual collapse load. Based on the duality between the upper
and lower bound methods, Krabbenholf et. al (2005) derived a
upper bound formulation in terms of stresses rather than
velocities and plastic multipliers. This allows for a much
simpler implementation and general nonlinear yield conditions
can be easily dealt with.
maximize
subject to
B = p p 0
T
qf
where q f is the bearing capacity and cu is the undrained shear

strength of the soil beneath the footing. For a homogeneous soil
with a constant undrained shear strength, N c is given by the
Prandtl solution, and equals 2 or 5.14.
The lower bound and upper bound bearing capacity factor
are found to be 5.02 and 5.19 respectively. The bearing capacity
factor obtained by FEM analysis is 5.12. Although the FEM
result lies in between the lower
B and upper bound bearing
capacity factors, it lacks error estimation on the limit load.
q=Q/B
2B
5B
(2)
f ( ) 0
Figure 1. Finite element mesh for limit analysis
where B =ALN and A is the area of elements, N contains

the interpolation functions and L is defined as (for linear
triangular elements)
0
/ y
/ x
LT
/ y / x
0
It should be mentioned that matrix B in Eq. (2) can be
amended to include kinematically admissible discontinuities,
which have previously been shown to be very efficient (e.g.,
Sloan and Kleeman 1995).
Although both upper and lower bound methods formulated
as Eqs. (1) and (2) with a Tresca failure criterion are ready to be
solved by public available second order cone programming
packages (e.g., SeDumi, Mosek), our in-house limit analysis
program (Lyamin and Sloan 2002a and 2002b) is used in this
study.
DETERMINISTIC ANALYSES
PROBABILISTIC DESCRIPTIONS OF STRENGTH

PARAMETERS
In this study, the dimensionless shear strength parameter cu is

assumed to be a random variable characterized statistically by a
lognormal distribution (i.e. the logarithm of the property is
normally distributed). The lognormally distributed shear
strength cu has three parameters; the mean, c , the standard
deviation c and the spatial correlation length ln c . The
variability of cu can conveniently be expressed by the
dimensionless coefficient of variation defined as
u
Vcu
of
cu
(3)
cu
cu
(4)
cu
The parameters of the normal distribution (of the logarithm

can be obtained from the standard deviation and mean of
as follows:
cu )
ln cu
The bearing capacity analyses use an elastic-perfectly plastic

stress-strain law with a Tresca failure criterion. Triangular
constant stresslinear velocity element is used for both upper
and lower bound analysis in this study. A mesh is shown in Fig.
1 consisting of 4000 triangular elements. The strip footing has a
width of 10 elements. The bottom of the mesh while the sides
are allowed to move only in the vertical direction. Plastic stress
redistribution in RFEM analysis is accomplished using a
viscoplastic algorithm. For RFEM analysis, 8-node quadrilateral
elements and reduced Gaussian integration in both the stiffness
and stress redistribution parts of the algorithm (Smith and
Griffiths 2004). The mesh for RFEM analysis is not shown but
one can easily figure it out by treating four triangular elements
as a square 8-node quadrilateral element.
Rather than deal with the actual bearing capacity, this study
focuses on the dimensionless bearing capacity factor N c ,
defined as
ln 1 Vc2u
(5)
ln cu ln cu ln2 cu
2
(6)
A third parameter, the spatial correlation length ln c , will

also be considered in this study. Since the actual undrained
shear strength field is assumed to be lognormally distributed, its
logarithm yields an underlying normal distribution (or
Gaussian) field. The spatial correlation length is measured with
respect to ln cu . In particular, the spatial correlation length
( ln c ) describes the distance over which the spatially random
values will tend to be significantly correlated in the underlying
Gaussian field. Thus, a large value of ln c will imply a
smoothly varying field, while a small value will imply a ragged
field.
In the current study, the spatial correlation length has been
non-dimensionalized by dividing it by the width of the footing
B and will be expressed in the form,
u
cu
ln cu / B
732
(7)
of c and Vc , 1000 realizations of the Monte Carlo process

were performed, and the estimated mean and standard deviation
of the resulting 1000 bearing capacity factors were computed.
Figure 4 shows how the estimated mean bearing capacity factor,
N and N , varies with c and Vc (The RFEM results were
omitted due to length limit). The plot confirms that, for low
values of Vc , N and N tend to the deterministic Prandtl
value of 5.14. For higher values of Vc , however, the mean
bearing capacity factors fall steeply, especially for lower values
of c .What this implies from a design standpoint is that the
bearing capacity of a heterogeneous soil will on average be less
than the Prandtl solution that would be predicted assuming the
soil is homogeneous with its strength given by the mean value.
The influence of c is also pronounced with the greatest
reduction from the Prandtl solution being observed with values
0.5 . Figure 6 shows the influence of c and Vc
around c
on the estimated coefficient of variation of the bearing capacity
factor . The plots indicate that N and N are positively
correlated with both c and Vc . It is also interesting to note
that there are essential no difference between VN and VN .
RANDOM FINITE ELEMENT LIMIT ANALYSIS
The RFLA involves the generation and mapping of a random

field of properties onto a finite element mesh. Full account is
taken of local averaging and variance reduction over elements,
and an exponentially decaying (Markov) spatial correlation
function is incorporated. To be consistent with local averaging
procedure, four linear triangluar elements within a square area
were assigned a constant property in both lower and upper
bound analysis. It should be mentioned that random properties
are also assigned to the kinematically admissible discontinuities
involved in upper bound analysis. The analysis is repeated
numerous times using Monte-Carlo simulations. Each
realization of the Monte-Carlo process involves the same
underlying mean, standard deviation and spatial correlation
length of soil properties, however the spatial distribution of
properties varies from one realization to the next. Following a
suite of Monte-carlo simulations, the mean and coefficient of
variation of the bearing capacity factor can be easily estimated.
Figure 2 shows a typical deformed mesh at failure by lower
bound limit analysis with a superimposed greyscale
1 , in which lighter regions indicated
corresponding to c
weaker soil and darker regions indicated stronger soil. In this
case the dark zones and the light zones are roughly the width of
the footing itself, and it appears that the weak (light) region near
the ground surface to the left of the footing has triggered a quite
non-symmetric failure mechanism.
Figure 3 compares RFLA and RFEM for ten typical
simulations. It can be seen from Figure 2 that the RFEM is
always bounded by the RFLA results.
Prandtl, 5.14
5.0
LB, c =0.125
4.5
LB, c =0.25
u
u
LB, c =0.5
4.0
LB, c =1.0
u
3.5
LB, c =2.0
3.0
LB, c =4.0
2.5
UB, c =0.125
UB, c =0.25
2.0
UB, c =0.5
u
1.5
UB, c =1.0
u
1.0
UB, c =2.0
u
0.5
0.0
UB, c =4.0
1.0
2.0
3.0
4.0
Vc
Figure 4. Estimated mean bearing
capacity factors N and N
verse the coefficient of variation of undrained shear strength
u
Prandtl, 5.14
5.0
LB, Vc =0.125
4.5
LB, Vc =0.25
u
u
LB, Vc =0.5
4.0
FEM
LB
UB
5.0
LB, Vc =2.0
u
6.0
5.5
3.5
c
LB, Vc =1.0
Figure 2. Typical deformed mesh and greyscale at failure with

c
1 . (the darker zones indicate stronger soil)
3.0
LB, Vc =4.0
2.5
UB, Vc =0.125
2.0
UB, Vc =0.25
u
u
UB, Vc =0.5
u
1.5
UB, Vc =1.0
u
1.0
UB, Vc =2.0
u
0.5
0.0
4.5
UB, Vc =4.0
1.0
2.0
3.0
4.0
c
Figure 5. Estimated mean bearing
verse the spatial correlation length of undrained shear strength
u
Nc
4.0
3.5
2.0
LB, c =0.125
3.0
LB, c =0.25
u
2.5
LB, c =0.5
1.5
LB, c =1.0
u
2.0
LB, c =2.0
u
10
V c
5
Realization
LB, c =4.0
1.0
UB, c =0.125
u
Figure 3. Comparison of lower and upper bounds with finite
UB, c =0.25
u
element analysis for ten typical simulations.
UB, c =0.5
0.5
UB, c =1.0
u
UB, c =2.0
PROBABILISTIC ANALYSES
0.0
0.0
Analyses were performed using the input parameters in the

range 0.125 c 4 and 0.125 Vcu 4 . For each combination
u
733
UB, c =4.0
1.0
2.0
3.0
4.0
Vc
Figure 6. Estimated coefficient
of variation of the bearing
u
120
This is expected since the same random field was used for both
lower and upper bound analyses. The histogram of the
difference between the lower and upper bounds is plotted in
Figure 9, which is also well fitted by a lognormal distribution.
Although nothing is known in elementary probability theory
about the distribution of the difference of two lognormals,
Figure 9 suggests the difference is a lognormally distributed
random variable, at least when the two lognormals are strong
correlated.
100
Frequency
80
60
40
20
10
12
14
16
18
Nl
Figure 7. Histogram and log-normal fit for the computed lower bound
2 and Vc 1
bearing capacity factors when c
u
120
CONCLUDING REMARKS
The paper has investigated the bearing capacity factor using

both lower and upper bound limit anlysis combined with
random field theory. The mean upper bound bearing capacity
factors are always lower than the Prandtl solution using mean
soil strength. The main conclusion is that by implicitly
assuming an infinite spatial correlation in traditional first order
probabilistic analysis (e.g., First Order Second Moment and
First Order Reliability Method) may overestimate the mean
bearing capacity factor. When performing probabilistic analysis
of bearing capacity of strip footings, spatial variability must be
properly considered to avoid unconservative designs.
100
ACKNOWLEDGEMENT
Frequency
80
The authors wish to acknowledge the support of (i) The

Australian Research Council Centre of Excellence for
Geotechnical Science and Engineering (ii) NSF Grant CMMI0970122 on "GOALI: Probabilistic Geomechanical Analysis in
the Exploitation of Unconventional Resources."
60
40
REFERENCES
20
10
Nu
12
14
16
18
20
Figure 8. Histogram and log-normal fit for the computed upper bound
2 and Vc 1
bearing capacity factors when c
u
120
100
Frequency
80
60
40
20
0.2
0.4
0.6
0.8
1
Nd
1.2
1.4
1.6
1.8
Figure 9. Histogram and log-normal fit for the difference

between the computed lower and upper bound bearing capacity
2 and Vc 1
factors when c
u
Figures 7 and 8 show histograms of lower and upper bounds

of bearing capacity factors with best-fit lognormal distributions
c
2 and Vc 1 . The Pearson's
for the case where
coefficient of correlation between the lower and upper bounds
was found to be 0.9995, which implies a strong correlation.
u
734
Fenton, G. A., and Griffiths, D. V., 2008. Risk Assessment in

Geotechnical Engineering. John Wiley & Sons, New York.
Fenton, G. A., and Vanmarcke, E. H., (1990). Simulation of
random fields via local average subdivision. J Eng Mech,
ASCE, 116(8):17331749
Griffiths, D.V., and Fenton, G.A., Bearing capacity of spatially
random soil: The undrained clay Prandtl problem revisited,
Gotechnique, 54(4), 351--359, 2001.
Krabbenhft, K., Lyamin, A.V., Hjiaj, M., and Sloan, S.W.
2005. A new discontinuous upper bound limit analysis
formulation. International Journal for Numerical Methods in
Engineering, 63: 1069-1088.
Lyamin, A.V., and Sloan, S.W. 2002a. Lower bound limit
analysis using non-linear programming. International
Journal for Numerical Methods in Engineering, 55: 573611.
Lyamin AV, Sloan SW. Upper bound limit analysis using linear
finite elements and non-linear programming. International
Journal for Numerical and Analytical Methods in
Geomechanics 2002b; 26:181 216.
Sloan, SW (1988) Lower bound limit analysis using finite
elements and linear programming, Int J Numer Anal Meths
Geomech, 12(1), pp.61-77
Sloan, SW (1989) Upper bound limit analysis using finite
elements and linear programming. International Journal of
Numerical and Analytical Methods in Geomechanics, 13(3),
263-282.
Sloan SW, Kleeman PW. Upper bound limit analysis using
discontinuous velocity fields. Computer Methods in
Applied Mechanics and Engineering 1995; 127:293314.
Smith IM, Griffiths DV. Programming the finite element
method. 4th edition, John Wiley & Sons: Chichester, 2004.
On the use of waste rock inclusions to improve the performance of tailings

impoundments
Sur l'utilisation d'inclusions de roches striles pour amliorer la performance des parcs rsidus
miniers
James M., Aubertin M.
Dpartement des gnies civil, gologique et des mines, cole Polytechnique, Montral
Bussire B.
Chaire industrielle CRSNG Poly-UQAT Environnement et gestion des rejets miniers, Universit du Qubec en AbitibiTmiscamingue
ABSTRACT: A novel co-disposal method, consisting of the placement of waste rock in tandem with tailings, improves the
environmental and geotechnical performance of surface impoundments. The waste rock is used to create linear inclusions within the
tailings. These inclusions, being more permeable and more rigid than the tailings, improve the performance in several ways, such as
facilitating consolidation of the tailings and augmenting the physical stability of the impoundment. The benefits of this new concept
are being evaluated by means of in situ and laboratory testing, analytical and numerical methods and monitoring at a tailings
impoundment where it is being implemented.
RSUM : Une mthode de co-disposition, qui consiste placer des roches striles en tandem avec des rsidus miniers, amliore la
performance environnementale et gotechnique des parcs rsidus. Les striles sont alors utiliss pour crer des inclusions linaires
dans les rsidus. Ces inclusions, plus permables et plus rigides que les rsidus, amliorent la rponse de plusieurs faons, en facilitant
par exemple la consolidation des rsidus et en augmentant la stabilit physique du parc. Les avantages de ce nouveau concept,
prsent ici, sont valus au moyen dessais in situ et en laboratoire, de mthodes analytiques et numriques, et par le surveillance
dun parc rsidus o il est mis en uvre.
KEYWORDS: waste rock, tailings, inclusions, co-disposal, consolidation, stability, liquefaction, seismicity.
1
INTRODUCTION
Mining and mineral extraction produce two primary forms of

solid waste: waste rock excavated to reach ore of economic
value and tailings composed of particles of crushed rock from
the milling process.
Generally, waste rock and tailings are stored on the surface
separately, the waste rock in piles and the tailings in
impoundments. The generation of acid mine drainage (AMD),
the leaching of heavy metals, the presence of contaminants
remaining after ore processing, and the physical stability of the
structures formed by these wastes are critical and costly
considerations during operations and after the closure of mining
facilities.
Aubertin et al. (2002a) proposed a co-deposition method that
creates inclusions of permeable, rigid waste rock in deposits of
relatively impermeable, soft tailings. The use of such inclusions
can result in significant improvement in the environmental and
geotechnical performance of the disposal facitlity. This paper
describes the concept and the expected improvements in the
response of the impoundment based on in situ and laboratory
testing, analytical and numerical studies, and observations at a
site where it is currently in use.
2
2.1
Figure 1. General range of grain size distributions for tailings and waste
rock from hard rock mines (adapted from Gamache-Rochette 2004 and
Bussire 2007).
MINE WASTES
Tailings
Tailings are typically produced as slurry composed of rock

particles and process water. The particles range in size from
colloids (less than 0.001 mm) to fine sands (> 0.075 mm) with
the silty fraction dominating. The behavior of tailings is
determined by the grain size distribution, water content and
plasticity. Tailings from hard rocks mines tend to be non-plastic
and are the subject of this research. Typically, the grain size
distribution of such tailings lies within the range shown on
For most mines, tailings are deposited hydraulically in

impoundments formed by retention dykes and consolidate under
their own weight. The predominance of fine particles results in
low consolidation rates and porewater pressure build up during
filling. For practical reasons, such as waste water storage and to
prevent acid generation, the water level in tailings
impoundments is often kept near the surface. Such a mass of
loose, saturated, cohesionless material is particularly susceptible
to liquefaction. Numerous failures of tailings impoundments
have been associated with seismically-induced liquefaction,
while impoundment failure from other causes often results in
Figure 1.
735
static liquefaction (Aubertin et al. 2002a; James 2009; Azam

and Li, 2010).
The release of tailings following the failure of an
impoundment is the one of the most serious risks associated
with mining and historically has caused numerous fatalities and
enormous environmental damage (ICOLD 2001).
2.2
Waste Rock
Waste rock, the silt to boulder size particles of broken rock

excavated to access ore, is a byproduct of mining. It may be
chemically inert or reactive, depending on the mineral
composition. In any event, it must be stored safely and
indefinitely at a reasonable cost. The grain size distribution of
waste rock generally falls in the range shown on Figure 1. The
gradation of waste rock results in a permeable material with a
relatively high stiffness and frictional strength. In geotechnical
terms, waste rock can be considered as rockfill.
3
Two issues which must be addressed are the infiltration of

the tailings into the waste rock and the ability of the tailings to
support the successive stages of waste rock placement. These
are discussed later in this paper.
Waste rock inclusions are currently being used at a gold
mine in western Quebec to help manage the tailings and
accelerate their consolidation. Figure 3 is photograph of an
inclusion at the mine. Surveillance and in situ testing of the
performance of these inclusions is ongoing.
WASTE ROCK INCLUSIONS
The construction of a tailings impoundment with waste rock

inclusions would proceed as follows: a) construction of the
starter dyke; b) placement of a thin layer of waste rock on the
bottom and sides of the impoundment; c) placement of waste
rock along pre-designated routes within the impoundment (local
heaps can also be placed not shown here); d) hydraulic
deposition of tailings. For each stage of raising of the dyke, the
placement of additional waste rock on top of the existing
inclusions is followed by tailings deposition.
The resulting configuration of the impoundment with
inclusions is shown schematically on Fig 2.
Figure 3. A waste rock inclusion in a tailings impoundment at a mine in

western Quebec.
Figure 2. Schematic representation of a tailings impoundment with

waste rock inclusions.
The basic premises of the method are that the waste rock being
more permeable and stronger than the tailings would accelerate
drainage and thus consolidation of the tailings, while providing
some physical reinforcement of the tailings. This is somewhat
similar to the use of gravel columns in deposits of soft clay or
silt for consolidation and reinforcement (Adalier et al. 2003).
The expected benefits of waste rock inclusions include
accelerated consolidation and compartmentalization of the
tailings, increased stability of the impoundment, and secure
placement of waste rock in the impoundment, additional waste
management options, and additional closure options.
736
WASTE MANGEMENT AND CONSOLIDATION
Depending on the respective volumes of tailings and waste rock

produced, using waste rock inclusions could allow much of the
latter to be placed in the impoundment and eventually
submerged, significantly reducing the potential for AMD and
possibly eliminating the need for a separate disposal facility for
the waste rock. In some instances the reactive waste rock could
be used to form inclusions, which will remain submerged, while
the nonreactive waste rock is stored conventionally in piles.
Tailings could be discharged from conduit on the top of the
inclusions (as is done at the above mentioned mine), as well as
on the crest of the dyke, allowing for a more even distribution
of the tailings within the impoundment. In wide impoundments
this would result in additional volume for storage and more
flexible placement schemes.
The hydraulic conductivity of waste rock allows the
inclusions to act as drains within the tailings, accelerating
consolidation which leads to more rapid strength gain and
liberates more water which may be reused at the site. Parametric
numerical modeling of tailings consolidation with and without
waste rock inclusions by Jaouhar (2012) and Bolduc (2012)
indicates that waste rock inclusions can lead to a significant
increase in the rate of consolidation, depending on the spacing
of the inclusions, the thickness of the deposit, and the hydraulic
conductivity of the tailings. The accelerated rate of
consolidation is due to the reduced length of drainage paths
within the tailings as shown on Figure 4.
There can be some infiltration of the tailings into the waste
rock during placement and consolidation. The grain size
distribution of the waste rock tends to be highly heterogeneous,
in part due to segregation during transportation and placement.
Based on field observations at the site where inclusions have
been installed, many drainage pathways remain viable despite
the infiltration of tailings. Laboratory testing of the effect of
tailings infiltration on the flow through waste rock is currently
underway.
With respect to the stability of the inclusions within the
impoundment, the consolidation of the adjacent drained tailings
provides adequate bearing capacity for the support of the

successive levels of waste rock.
Rupture
Earthquake magnitude, Mw
7.5
7.25
7
6.75
6.5
WRI
Conventional
6.25
6
0
Figure 4. Schematic of the reduced drainage paths for consolidation

with waste rock inclusions.
STATIC AND SEISMIC STABILITY
2
4
6
8
Horizontal displacement of the crest (m)
Figure 5. Horizontal displacements of the crest of a conventional and a
reinforced (WRI) tailings impoundment as a function of earthquake
magnitude (adapted from James 2009).
Most tailings impoundment failures are the result of, or lead to,
the liquefaction and flow of tailings. The liquefaction resistance
of tailings increases with consolidation. Therefore, accelerated
consolidation provided by waste rock inclusions reduces the
tendency for liquefaction of the tailings during operations,
particularly when the water table can be lowered below the
tailings surface (producing unsaturated conditions).
James (2009) conducted parametric dynamic numerical
analysis of a 20-m-high, upstream-raised tailings impoundment,
with and without waste rock inclusions. The dynamic loads
were equivalent to the occurrence of earthquakes of moment
magnitude 6.5 to 7.5 with epicentral distances of 30 km from
the site. It was found that the presence of the inclusions
significantly reduced the horizontal deformation of the
impoundment, particularly at the dyke crest. In the case of the
largest magnitude event (7.5), the simulations indicated that the
inclusions prevented rupture of the impoundment. The
horizontal displacement of the crest of the impoundments
obtained from the calculations versus the earthquake
magnitudes are shown on Figure 5. The improved performance
of the impoundment with waste rock inclusions (WRI) is due to
the reinforcing effect of the inclusions. Due to the relatively low
permeability of the tailings, the inclusions did not reduce the
development of excess porewater pressures during shaking,
except in their immediate vicinity.
Tailings impoundments can also fail due to the dissipation of
excess porewater pressure generated during and after
earthquake shaking (Ishihara 1984). With inclusions, these
excess porewater pressures can be dissipated without adversely
affecting the stability of the impoundment (James 2009). The
positive effect of inclusions on excess pore water pressure
development and dissipation was also demonstrated using tests
on a seismic simulator (Ppin et al. 2012).
737
LIMITING THE CONSEQUENCES OF FAILURE
During the dynamic numerical analysis described above, it was

found that the presence of waste rock inclusions significantly
limited the extent of deformation within the impoundment
during shaking. The simulation results also indicated that in the
event of a rupture of the retention dyke, the quantity of tailings
released, and thus the consequences of failure, would be
significantly reduced by the presence of the inclusions. Waste
rock inclusions can thus reduce the risks associated with tailings
impoundment failure.
7
MINE CLOSURE ASPECTS
By accelerating consolidation and compartmentalizing the

tailings, the use of waste rock inclusions can permit faster or
staged closure of the tailings impoundment. For example, a
cover for long-term prevention of AMD can readily be installed
on the surface of consolidated tailings (Bussire 2007).
Consolidation of the tailings during operations will result in less
effluent from the impoundment following closure.
Additionally, waste rock in the tailings impoundment will
not require any closure work in addition to whats necessary for
the tailings. If all of the waste rock can be placed in the
impoundment (as can be the case for underground mines), there
will be no waste rock piles to reclaim following closure.
8
ONGOING RESEARCH ACTIVITIES
The research activities described above are part of an integrated

research program on the use of waste rock inclusions in tailings
impoundments being conducted by the authors group. Other
research activities completed or in progress on this subject are
described below.
In situ testing consisting of piezocone testing and test pit
excavation was completed in the tailings impoundment of
another gold mine in Quebec to characterize the state of the
tailings in situ (James 2009).
Conventional and dynamic testing of tailings was conducted
on tailings samples to evaluate their static and dynamic
properties and behavior. Dynamic testing included cyclic simple
shear (James 2009) and cyclic triaxial tests (Poncelet 2012).
Additional cyclic triaxial testing is in progress.
Parametric numerical modeling studies of the consolidation
of tailings with and without waste rock inclusions were
conducted to establish baseline parameters for the dimensioning
of waste rock inclusions (Jaouhar 2012; Bolduc 2012).
Seismic table testing of tailings with and without inclusions
was conducted to evaluate their behavior under a range of
conditions, e.g. drained or undrained, flexible or rigid (Ppin et

al. 2012).
The cyclic simple shear testing and shaking table testing
were modeled numerically to verify and calibrate a constitutive
numerical model used to simulate the dynamic behavior of
tailings (James 2009).
Large-scale laboratory testing of the interaction between
tailings and waste rock inclusions with respect to infiltration
and drainage capacity and the potential for clogging is in
progress.
An actual impoundment with WRI is being monitored to
assess its response following tailings deposition.
9
CLOSURE
Waste rock inclusions can provide a number of environmental

and geotechnical benefits and are a viable option in the
sustainable development and operation of mining facilities.
Ongoing work is underway to further validate the concept and
the results presented here.
10 ACKNOWLEDGEMENTS
The authors gratefully acknowledge the support of the Industrial
NSERC Polytechnique-UQAT Chair in Environment and Mine
Wastes Management.
738
11 REFERENCES
Adalier, K., Elgamal, A., Meneses, J., & Baez J. I. (2003). Stone
Columns as Liquefaction Countermeasure in Non-plastic Silty
Soils. Soil Dynamics and Earthquake Engineering, 571-584.
Aubertin, M. Mbonimpa, M., Jolette, D., Bussire, B., Chapuis, R.P.,
James, and Riffon, O. 2002. Stabilit gotechnique des ouvrages de
retenue pour les rsidus miniers: Problmes persistants et mthodes
de contrle. Dfis & Perspectives: Symposium 2002 sur
l'environnement et les mines, Rouyn-Noranda, CIM. Proceedings
on CD-ROM.
Azam, S., Li, Q. (2010). Talings dam failures : A review of the last one
hundred years. Geotechnical News. Vol. 28, no 4, pp. 50-54.
Bolduc, F. L. (2012). UNE TUDE SUR LUTILISATION DES
ROCHES STRILES COMME INCLUSIONS DRAINANTES
DANS LES RSIDUS MINIERS M.Sc. thesis, cole
Polytechnique de Montral, Canada.
Bussiere, B. (2007). Hydro-Geotechnical Properties of Hard Rock
Tailings from Metal Mines and Emerging Geo-environmental
Disposal Approaches. Canadian Geotechnical Journal, 44(9), 10191052.
Gamache-Rochette, A. (2004). Une tude de caraterisation en
laboratoire et sur le terrain des ecoulements de l'eau dans les roches
steriles. M.Sc. Thesis. Ecole Polytechnique de Montral, Canada.
Ishihara, K. (1984). Post-Earthquake Failure of a Tailings Dam due to
Liquefaction of the Pond Deposit. Proceedings of the International
Conference on Case Histories in Geotechnical Engineering, StLouis USA, (pp. 1129-1143). New York: ASCE.
International Commission on Large Dams (ICOLD). (2001). Tailings
Dams Risk of Dangerous Occurrences Lessons Learnt From
Past Experiences. Bulletin No. 121. Commission Internationale des
Grands Barrages, Paris.
James, M. 2009. The Use of Waste Rock Inclusions to Control the
effects of Liquefaction in Tailings Impoundments. Ph.D. thesis,
Department of Civil, Geological, and Mining Engineering, Ecole
Polytechnique, Montreal, Canada.Jaouhar E. M. 2012. On the use
of waste rock to accelerate the consolidation of tailings. M.Sc.
thesis, cole Polytechnique de Montral, Canada.
Ppin, N., Aubertin, M., James, M. (2012) A seismic table investigation
of the effect of inclusions on the cyclic behaviour of tailings.
Canadian Geotechnical Journal 49(4): 416-426.
Poncelet, N.. 2012. laboration et implmentation dun protocole de
laboratoire pour ltude de potentiel de liqufaction de rsidus
miniers. M.Sc. Thesis, cole Polytechnique de Montral, Canada.
Numerical modelling
modelling and
and control
control of
of seawater
seawater intrusion
intrusion in
in coastal
coastal aquifers
aquifers
Numerical
Modlisation numrique
numrique et
et contrle
contrle des
des intrusions
intrusions deau
deau de
demer
merdans
dansles
les aquifres
aquifresctiers
ctiers
Modlisation
A. A. Javadi
& M. S. Hussain
Javadi
A.A., Hussain
M.S.
Universityof
ofExeter,
Exeter,Exeter,
Exeter,UK
UK
University
H. F. Abd-Elhamid
Abd-Elhamid
H.F.
Zagazig University,
University,Zagazig,
Zagazig, Egypt
Egypt
Zagazig
M. M. M.M.
Sherif
Sherif
UnitedArab
ArabEmirates
EmiratesUniversity,
University,Al
AlAin,
Ain,UAE
UAE
United
ABSTRACT: This paper presents the results of an investigation into numerical modelling and control of seawater intrusion. A
coupled
transient This
density-dependent
element
has been into
usednumerical
for modelling
of seawater
intrusion.
Also, aintrusion.
new cost-A
and control
of seawater
ABSTRACT:
paper presentsfinite
the results
of model
an investigation
modelling
effective
presented for effective
seawater
coastal
aquifers.
methodology
coupled method
transientisdensity-dependent
finite control
elementofmodel
has intrusion
been usedin for
modelling
of This
seawater
intrusion.ADR
Also,(Abstraction,
a new costDesalination
and Recharge)
includes
abstraction
of saline
water, desalination
recharge
of a part
the excess desalinated
water to
effective method
is presented
for effective
control
of seawater
intrusion in and
coastal
aquifers.
Thisofmethodology
ADR (Abstraction,
the
aquifer while
rest of the
desalinated
waterofcan
be used
domestic consumption.
been integrated
Desalination
and the
Recharge)
includes
abstraction
saline
water,fordesalination
and recharge The
of a simulation
part of the model
excess has
desalinated
water to
with
an genetic
to examinewater
different
scenarios
control seawater
intrusion
including different
of
the aquifer
whilealgorithm
the rest of(GA)
the desalinated
can be
used fortodomestic
consumption.
The simulation
model hascombinations
been integrated
abstraction,
desalination
and(GA)
recharge.
The main
objectives
of the model
are toseawater
minimize
the totalincluding
capital and
operational
costs of the
with an genetic
algorithm
to examine
different
scenarios
to control
intrusion
different
combinations
of
abstraction
recharge wells
and the The
salt concentrations
Thetoresults
show
thecapital
proposed
ADR systemcosts
performs
abstraction,and
desalination
and recharge.
main objectivesinofthe
theaquifer.
model are
minimize
thethat
total
and operational
of the
significantly
better
than using
or recharge
wells alone
it givesThe
the least
cost
andthat
leastthe
salinity
in theADR
aquifer.
abstraction and
recharge
wellsabstraction
and the salt
concentrations
in theasaquifer.
results
show
proposed
system performs
significantly better than using abstraction or recharge wells alone as it gives the least cost and least salinity in the aquifer.
RSUM : Cet article prsente les rsultats dune tude sur la modlisation numrique et le contrle des intrusions deau de mer. Un
couplage
densit
variable
par lments
finis asur
tlautilis
pour modliser
les intrusions
deaudes
deintrusions
mer. De plus,
une
numrique
et le contrle
deau
denouvelle
mer. Un
RSUMtransitoire
: Cet article
prsente
les rsultats
dune tude
modlisation
mthode
prsente
pour unvariable
contrlepar
optimis
desfinis
intrusions
deaupour
sale.
Cette mthodologie
Desalination
and
couplageest
transitoire
densit
lments
a t utilis
modliser
les intrusionsADR
deau(Abstraction,
de mer. De plus,
une nouvelle
Recharge)
inclut
lextraction
deau
saline,
le
dessalement
et
la
recharge
dans
laquifre
dune
partie
de
lexcs
deau
dessale
tandis
mthode est prsente pour un contrle optimis des intrusions deau sale. Cette mthodologie ADR (Abstraction, Desalination and
que
le reste inclut
deau lextraction
dessale peutdeau
tre utilise
pour
un usage domestique.
modle
de simulation
a t de
intgr
laide
algorithme
Recharge)
saline, le
dessalement
et la rechargeLedans
laquifre
dune partie
lexcs
deaudun
dessale
tandis
gntique
(GA)
dans
le
but
dexaminer
diffrents
scnarios
pour
le
contrle
des
intrusions
deau
de
mer
incluant
algorithme
que le reste deau dessale peut tre utilise pour un usage domestique. Le modle de simulation a t intgr laide dun diffrentes
combinaisons
dextraction,
de dessalement,
et de recharge.
Lobjectif
du modle
est de minimiser
cotincluant
total et le
nombre
gntique (GA)
dans le but
dexaminer diffrents
scnarios
pour principal
le contrle
des intrusions
deau de lemer
diffrentes
doprations
pour
lextraction
et
la
recharge
des
puits
ainsi
que
la
concentration
en
sel
dans
laquifre.
Les
rsultats
montrent
que la
combinaisons dextraction, de dessalement, et de recharge. Lobjectif principal du modle est de minimiser le cot total et le nombre
mthode
ADRpour
propose
donne et
delabiens
meilleurs
rsultats
et la recharge
des laquifre.
puits seulesLes
du rsultats
fait quelle
conduitque
unla
doprations
lextraction
recharge
des puits
ainsique
quelextraction
la concentration
en sel dans
montrent
cot
et
une
salinit
dans
laquifre
minimaux.
mthode ADR propose donne de biens meilleurs rsultats que lextraction et la recharge des puits seules du fait quelle conduit un
cot et une salinit
dans laquifre
KEYWORDS:
numerical
modelling,minimaux.
seawater intrusion, optimal management, abstraction, recharge
KEYWORDS: numerical modelling, seawater intrusion, optimal management, abstraction, recharge
1 INTRODUCTION.
1 INTRODUCTION.
Seawater intrusion is a major problem threatening water
resources
many parts
the world.
The intrusion
of saline
Seawater inintrusion
is aof major
problem
threatening
water
water
in groundwater
special
category
of
resources
in many partsisofconsidered
the world. aThe
intrusion
of saline
pollution,
making
groundwater
resources
unsuitable
for
human,
water in groundwater is considered a special category of
industrial
irrigation
uses. Mixing
of unsuitable
2-3% salinity
would
pollution, and
making
groundwater
resources
for human,
render
the
fresh
groundwater
resources
unsuitable
for
human
industrial and irrigation uses. Mixing of 2-3% salinity would
consumption.
A 5%
mixing ofresources
salinity with
freshwater
in an
render the fresh
groundwater
unsuitable
for human
aquifer
is
enough
to
make
the
aquifer
unsuitable
for
any
consumption. A 5% mixing of salinity with freshwater inuse
an
(Abd-Elhamid
and toJavadi,
2011).
Seawater
intrusion
hence
aquifer is enough
make the
aquifer
unsuitable
for any
use
reduces
the freshwater
storage
in Seawater
coastal aquifers
in
(Abd-Elhamid
and Javadi,
2011).
intrusionand
hence
extreme
can result instorage
abandonment
of freshwater
reduces cases
the freshwater
in coastal
aquifers supply
and in
wells.
Remediation
of groundwater
could of
befreshwater
very costly
and
extreme
cases can result
in abandonment
supply
could
a long time
depending oncould
the source
andcostly
level and
of
wells. take
Remediation
of groundwater
be very
salinization.
As
a
result,
groundwater
resources
should
be
could take a long time depending on the source and level of
protected
fromAs
saltwater
intrusion,
using suitable
measures.
salinization.
a result,
groundwater
resources
should To
be
control
saline
intrusion,
a
seaward
hydraulic
gradient
should be
protected from saltwater intrusion, using suitable measures.
To
maintained
andintrusion,
a proportion
of hydraulic
the fresh-water
control saline
a seaward
gradientshould
should be
be
allowed
to
flow
into
the
sea.
Risks
of
saline
intrusion
clearly
maintained and a proportion of the fresh-water should
be
limit
the extent
which
coastal
aquifer
can be
developed
for
allowed
to flowtointo
thea sea.
Risks
of saline
intrusion
clearly
water
supply.
The
management
of
a
coastal
aquifer
is
concerned
limit the extent to which a coastal aquifer can be developed for
with
an acceptable
landward
of the
waterdeciding
supply. The
managementultimate
of a coastal
aquiferextent
is concerned
saline
water
and
calculating
the
appropriate
discharge
of
with deciding an acceptable ultimate landward extent of the
freshwater
necessary
to maintain
seawater-fresh
water
saline water
and calculating
the the
appropriate
discharge
of
interface
that position.
A numbertheof seawater-fresh
methods have water
been
freshwaterin necessary
to maintain
proposed
seawaterAintrusion
of
interface to
in control
that position.
number including:
of methodsreduction
have been
pumping
rates,
relocation
of
pumping
wells,
use
of
subsurface
proposed to control seawater intrusion including: reduction of
barriers,
recharge, ofartificial
of
pumping natural
rates, relocation
pumpingrecharge,
wells, useabstraction
of subsurface
saline
water
and
combination
techniques
(Todd,
1974).
This
barriers, natural recharge, artificial recharge, abstraction of
739
study presents a cost-effective methodology to control seawater

intrusion
in and
coastal
aquifers. techniques
This methodology
(ADRThis
saline water
combination
(Todd, 1974).
Abstraction,
Desalination
and
Recharge)
consists
of
three
steps;
study presents a cost-effective methodology to control seawater
abstraction
of brackish
fromThis
the saline
zone, desalination
intrusion in
coastal water
aquifers.
methodology
(ADR of
the
abstracted
brackish
water
using
reverse
Abstraction, Desalination and Recharge) consistsosmosis
of three (RO)
steps;
treatment
and recharge
of the
thesaline
treated
water
into the
abstractionprocess
of brackish
water from
zone,
desalination
aquifer.
of the abstracted brackish water using reverse osmosis (RO)
Generally,
the seawater
intrusion
a highly
treatment
process
and recharge
of theistreated
waternonlinear
into the
process.
Spatial
and
temporal
simulation
of
this
process will
aquifer.
require
numerical
such
as the finite
or
Generally,
themethods
seawater
intrusion
is aelement
highly method
nonlinear
finite
difference
method
to
solve
the
nonlinear
governing
process. Spatial and temporal simulation of this process will
equations
of flow
transport
through
require numerical
methodsand
such assolute
the finite
element method
or
saturated/unsaturated
porous
media.
Numerical
simulation
finite difference method to solve the nonlinear governing
models
can be
to examine
a limited transport
number of through
design
equations
of used
flow
and solute
options
of
these
management
methods,
by
trial
and
error
(e.g.
saturated/unsaturated porous media. Numerical simulation
Mahesha,
andto Rastogi
al., 2004).
models can1996
be used
examine aet limited
number However,
of design
optimization
toolsmanagement
can be combined
withby
simulation
to
options of these
methods,
trial and models
error (e.g.
search
for the1996
optimal
in a wide
search
space of
design
Mahesha,
andsolution
Rastogi
et al.,
2004).
However,
variables.
optimization tools can be combined with simulation models to
In recent
a number
models
been
search
for theyears,
optimal
solutionofinsimulation
a wide search
spacehave
of design
combined
with
optimization
techniques
to
address
groundwater
variables.
management
problems.
Theof simulation
combined models
simulation
and
In recent years,
a number
have been
optimization
model
can
identify
an
optimal
management
combined with optimization techniques to address groundwater
strategy
by considering
appropriate
managementsimulation
objectives and
management
problems.
The combined
and
constraints.
The
genetic
algorithm
(GA)
optimization
tool has
optimization model can identify an optimal management
the
capability
to deal appropriate
with a wide
range of objectives
optimization
strategy
by considering
management
and
problems.
These
techniques
have
been
applied
by
a number
of
constraints. The genetic algorithm (GA) optimization
tool has
researchers
to coastal
Different
simulation
the capability
to dealaquifer
with aproblems.
wide range
of optimization
models
(orThese
Meta techniques
models) have
GA to
problems.
havebeen
been integrated
applied by with
a number
of
optimize
different
management
schemes Different
to limit simulation
seawater
researchers
to coastal
aquifer problems.
models (or Meta models) have been integrated with GA to

optimize different management schemes to limit seawater
intrusion. These studies have generally focused on controlling
progressive advancement of saline water, mainly in the two
dimensional areal section. Maximization of the total pumping
rate from wells, minimization of the total recharge rate into
wells and minimization of the total amount of concentration in
the aquifer are the major objective functions of these studies
(e.g., Sreekanth and Datta, 2010 ; Dhar and Datta, 2009; ELGhandour et al., 2008; Eusuff and Lansey, 2004; Gordu et al.,
2001 and Cedeno and Vemuri, 1996).
This study presents the development of a coupled transient
density-dependent finite element model for simulation of fluid
flow and solute transport in soils and its application to simulate
seawater intrusion in coastal aquifers. In order to effectively
determine the optimal solution for control of seawater intrusion
the simulation model is integrated with a GA optimization
model to examine three scenarios: abstraction of brackish water,
recharge of fresh water, and combination of abstraction,
recharge and desalination (ADR). The objectives and
constraints of these management scenarios include minimizing
the capital and operation costs, minimizing salt concentrations
in the aquifer, and determining the optimal depth, location, and
abstraction/ recharge rates of the wells.
2
SIMULATION-OPTIMIZATION METHODOLOGY
In this work, an in-house finite element model,

(Saturated/Unsaturated Fluid flow and solute Transport SUFT), has been used to study saltwater intrusion in coastal
aquifers. The model uses a hybrid finite element and finite
difference methods to solve density-dependent flow and
transport mass balance equations. The model can handle a wide
range of real-world problems including the simulation of
groundwater flow and solute transport separately and coupled
fluid flow and solute transport, in addition to saltwater intrusion
in coastal aquifers. It has been validated against a number of
case studies from the literature. The details of mathematical
formulation and numerical implementation of the model can be
found in Abd-Elhamid and Javadi (2011). In addition, an
optimization model based on a simple genetic algorithm (GA)
was integrated with the simulation model to optimize the
arrangements for control of seawater intrusion. The GA has
been used, as a powerful search and optimization algorithm, in
many fields of engineering. It consists of some procedures that
search for solutions of complex optimization problems based on
the Darwinian theory of survival of the fittest where the
strongest offspring in a generation are more likely to survive
and reproduce. In this technique an initial set of possible
solutions (initial population) is randomly generated. Each
member of the initial population is encoded as a chromosome
with binary bit string. Cycles of evaluation, selection, crossover
and mutation are repeated in an iterative process, where the
population of chromosomes evolves to make a new generation
in each cycle. The chromosomes for the optimal solution are the
final outcome of these cycles (Sivanandam and Deepa, 2008).
In the developed simulation-optimization process, the GA
repeatedly calls the SUFT model to compute state variables
(pressure head and concentration) for different sets of generated
design variables. After computing the objective function and
evaluating its fitness, the processes of selection, crossover, and
mutation are performed in the GA procedure to update the
values of decision variables. The new values of decision
variables are then returned to SUFT and the process is repeated
until it satisfies optimal criteria or it reaches the maximum
generation number.
APPLICATION
The simulation-optimization model was applied to one of the

most popular benchmark problems in seawater intrusion in
coastal aquifers, widely known as Henrys saltwater intrusion
problem. Henry's problem involves seawater intrusion in a
confined aquifer, subject to three different boundary conditions:
constant recharge flux of freshwater on the left boundary,
hydrostatic seawater pressure on the right boundary and
impermeable boundaries along the top and bottom of aquifer as
shown in Figure (1). The parameter values used for numerical
simulations are summarized in Table (1). The aquifer domain is
represented by 661 nodes and 200 quadrilateral isoparametric
elements, each of size 10 m by 10 m. The domain considered is
100 m high and 200 m long. Freshwater concentrations (c=0)
and natural steady-state pressures are set as the initial conditions
everywhere in the aquifer. The problem is analyzed using the
developed finite element model, and the results are compared
with some results reported in the literature. The seawater wedge
is chosen to be represented by 0.5 isochlor, which is an
approach adopted by many researchers.
Rastogi et al. (2004) considered the dispersion coefficients to
be velocity dependent under steady state conditions and selected
values for longitudinal and transverse dispersivities as 0.5 and
0.1 m respectively. The same approach is used in the current
work and the results are compared with a number of known
solutions from the literature. Figure (2) shows these results in
terms of the position of 0.5 iso-concentration lines.
Figure 1. Boundary conditions of Henrys problem

Table 1. The parameters used in Henrys problem
Dm
Qin
k
n
g
w
s
o
T,L
: coefficient of water molecular diffusion [m2 / s]

: inland fresh water flux [m3/sec]
: permeability [m2]
: porosity [-]
: gravitational acceleration [m / s2]
: density of fresh water [kg/m3]
: density of sea water [kg/m3]
: density of fresh water [kg/m2]
: fluid viscosity [kg / (m.s)]
: transverse and longitudinal dispersivity [m]
Figure 2. 0.5 Isochlor lines for steady-state variable dispersion
740
6.6*10-6
6.6*10-5
1.0 *10-9
0.35
9.8
1000
1025
1000
0.001
0.0
FORMULATION OF MANAGEMENT MODELS
The developed simulation-optimization model was applied to

the hypothetical aquifer in order to seek the optimal costeffective strategy to control seawater intrusion. The aquifer was
subjected to three management scenarios: abstraction of
brackish water, recharge of fresh water, and combination of
abstraction, recharge and desalination (ADR). The main
objectives of these scenarios were to minimize the total
construction and operation costs of management process and
also to minimize the total concentration of salt in the aquifer.
These multiple objective functions are represented
mathematically using a single scalar objective function
(Qahman et al., 2009 and Park and Aral, 2004) for each scenario
as follows:
Management model 1 (Abstraction only)
. . .
. . .
(1)
and 2 to prevent/control seawater intrusion. Locations, depths,

and abstraction/recharge rates of the abstraction and recharge
wells are considered as decision variables. Figure (3) shows the
decision variables considered in the simulation-optimization
model. Based on the available decision variables in each
scenario, the management objectives are achieved within a set
of constraints including side constraints for well depths, well
locations and abstraction/recharge rates as:
0.0 < QA,R (m3/sec) < 0.1,
0.0 < LA,R (m) < 200.0 and
0.0 < DA,R (m) < 100.0.
In these management models the costs are considered based
on the available data from literature. According to the literature
these costs are considered as (Qahman and Larabi, 2006):
-cost of installation/drilling of well per unit depth: US$1000,
- cost of abstraction per cubic meter: US$0.42,
- cost of recharge per cubic meter: US$0.48,
- cost of treatment (desalination) per cubic meter: US$0.6
- price of water per cubic meter: US$1.5..
The GA parameters used are: population size = 100,
probability of crossover = 0.7, and probability of mutation =
0.03. Typical CPU time used for 100 generations is about 3 h on
an Intel Core i7 8 at 2.8GHz with 8GB RAM.
Management model 2 (Recharge only)
. . .
. . .
(2)
Management model 3 (Abstraction, Desalination and

Recharge ADR)
. . .
. . . .
(3)
. . .
Figure 3. Schematic sketch for potential locations and depths for the
abstraction and recharge wells
where
f is the objective function in terms of the total cost.
N is the total number of nodes in the domain.
c is the total amount of solute mass in the aquifer (mg/l).
P1, P2, P3 ,P4 and P5 are the weighting parameters.
DA is the depth of abstraction well (m).
QA is the abstraction rate (m3/s).
CA is the cost of abstraction ($/m3).
CT is the cost of treatment ($/m3).
CDW is the cost of installation/drilling of well ($/m).
QR is the recharge rate (m3/s).
DR is the depth of recharge well (m).
CR is the cost of recharge ($/m3).
CPW is the price of water ($/m3).
In the first scenario the effect of continuous abstraction of

brackish water from the well was considered. This model has
three decision variables: location, depth and rate of abstraction.
In the second scenario the aquifer was subject to artificial
recharge of freshwater into a well as the strategy to increase the
hydraulic gradient of groundwater toward the sea. Location,
depth, and recharge rate are considered as the decision variables
to be optimized to reduce the total cost. The third management
scenario was developed by combining management models 1
741
The results obtained from the simulation-optimization process

for all management scenarios in terms of the optimal depth,
location and rate of the abstraction/recharge well with the
corresponding total costs are summarized in Table (2). The total
cost required to control seawater intrusion using the first
management model is determined as $2.62 million per year. The
optimal depth is 90m, the optimal location is 50m from the
seashore, and the optimal abstraction rate is 0.083m3/s, while
the total concentration in the aquifer is reduced from 167 to 149
mg/l. In the second management scenario, the total cost is $5.72
million per year, the optimal depth is 60 m, the optimal location
is 90m from the seashore, and the optimal abstraction rate is
0.095m3/s, while the total concentration has reduced from 167
to 151 mg/l. Using management model 3, the total cost is $1.32
million per year. The optimal depths for abstraction and
recharge wells are 90m and 80m, respectively; the optimal
locations for abstraction and recharge wells are 50m and 110m
from the seashore, and the optimal rates for abstraction and
recharge wells are 0.018m3/s and 0.048m3/s, respectively. The
total concentration in the aquifer is reduced from 167mg/l to
142mg/l.
Although, all three management models reversed seawater
intrusion into the coastal aquifer and moved the transition zone
between the seawater and freshwater toward the sea, the third
management model is the most cost effective strategy to control

the seawater intrusion in this hypothetical aquifer. The cost of
this model is about 50% of the abstraction only scenario and
25% of the recharge scenario. The reason for this lowest cost is
partly because the cost associated with the supply of water used
for recharge does not apply in this case as the required water is
provided primarily from the treatment of the abstracted saline
water. In addition, the excess treated water can be directly used
for other purposes. The other aspect of efficiency of this model
is about minimization of total concentration of salinity in the
aquifer as it reduced the total concentration in the system by
15% , while the first and second scenarios reduced it by 1011%. Figure (4) clearly shows the capability of third model in
controlling the further advance of the freshwater/seawater
interface in comparison with other models.
Table 2. Summary of the results obtained from the simulationoptimization models for the hypothetical case study.
Model
L
(m)
D
(m)
Q
(m3/sec)
No
Management
Abstraction only
50
90
Recharge only
90
Abstraction
and
Recharge
Total
C
Cost
($/year)
167
-0.083
149
2.62E+6
60
0.095
151
5.72E+6
50
90
-0.048
142
1.32E+6
110
80
0.018
Figure 4. 0.5 isochlors from simulation-optimization models for the

hypothetical case.
CONCLUSIONS
This paper presented the development and application of a

simulation-optimization model to control seawater intrusion in
coastal aquifers. A coupled transient density-dependent finite
element model was used to simulate the seawater intrusion
problem. This simulation model was linked with a genetic
algorithm to optimize control arrangements for a hypothetical
aquifer using three management scenarios: abstraction of
brackish water, recharge of fresh water, and combination of
abstraction and recharge. The efficiencies of the proposed
management scenarios in controlling seawater intrusion in terms
of both the solute concentration in the aquifer and the total costs
(of construction and operation) of the management policy were
evaluated using this integrated model. The optimal locations,
depths, and rates of abstraction and/or recharge wells in each
scenario were determined. The results show that all three
scenarios could be effective in controlling sea intrusion but
using model 3 (a combination of abstraction and recharge wells)
resulted in the least cost and salt concentration in aquifers and
maximum movement of freshwater/saline water interface
742
towards the sea. The results also show that for the case study
considered in this paper, the amount of abstracted and treated
water is three times the amount required for recharge; therefore,
the remaining treated water can be used directly for different
purposes. Finally, ADR is an effective tool to control seawater
intrusion and can be applied in areas where there is a risk of
seawater intrusion.
7
REFERENCES
Abd-Elhamid H.F. and Javadi A.A. 2011. A density-dependant finite

element model for analysis of saltwater intrusion in coastal
aquifers, Journal of Hydrology 401( 3-4), 259-271.
Cedeno W. and Vemuri V. R. 1996. Genetic algorithms in aquifer
management. Journal of Network and Computer Applications 19
(2), 171187.
Dhar A. and Datta B. 2009. Saltwater intrusion management of coastal
aquifers-I: linked simulation-optimization. Journal of Hydrologic
Engineering 14(12), 1263-1272.
EL-Ghandour H. A., EL-Gamal M. A., Saafan T. A., Abdel-Gawad H.
A. 2008. Optimal management of saltwater intrusion in coastal
aquifers using genetic algorithm technique. Proceeding of 12th
International Water Technology Conference (IWTC12),
Alexandria-Egypt, 1317-1343.
Eusuff M. M. and Lansey K. E. 2004. Optimal operation of artificial
groundwater recharge systems considering water quality
transformations. Water Resources Management Journal 18, 379
405.
Gordu F., Yurtal R. and Motz L.H. 2001. Optimization of groundwater
use in the Goksu delta at Silifke. First International Conference on
Saltwater Intrusion and Coastal Aquifers Monitoring, Modeling,
and Management (SWICA-M3), Essaouira, Morocco, Turkey, 1-10.
Henry H. R. 1964. Effects of dispersion on salt encroachment in coastal
aquifers. Seawater in coastal aquifers, US Geological Survey Water
Supply Pap, 1613-C. 7084.
Lee C.H. and Cheng R.T. 1974. On seawater encroachment in coastal
aquifers. Water Resources Research 10(5), 1039-1043.
Mahesha A. 1996. Transient effect of battery of injection wells on
seawater intrusion. Journal of hydraulic engineering 122(5), 266
271.
Park C. H. and Aral M. M. 2004. Multi-objective optimization of
pumping rates and well placement in coastal aquifers. Journal of
Hydrology 290(1-2), 80-99.
Pinder G. F. and Cooper H. H. 1970. A numerical technique for
calculating the transient position of the saltwater front. Water
Resources Research 6(3), 875-882.
Qahman K. and Larabi A. 2006. Evaluation and numerical modeling of
seawater intrusion in the Gaza aquifer (Palestine). Hydrology
Journal 14(5), 713-728.
Qahman K., Larabi A., Ouazar D., Naji A. and Cheng A.H.D.
2009. Optimal extraction of groundwater in Gaza coastal aquifer.
Journal of Water Resource and Protection 4, 249-259.
Rastogi A. K., Choi G.W. and Ukarande S.K. 2004. Diffused interface
model to prevent ingress of seawater in multi-layer coastal aquifers.
Journal of special hydrology 4(2), 131.
Sivanandam S. N. and Deepa S. N. 2008. Introduction to genetic
algorithms. Springer-Verlag, New York.
Sreekanth J. and Datta B. 2010. Multi-objective management of
saltwater intrusion in coastal aquifers using genetic programming
and modular neural network based surrogate models. Journal of
Hydrology 393(3-4), 245-256.
Todd D. K. 1974. Salt-water intrusion and its control. Water technology/
resources. Journal of American Water Works Association 66 (3),
180-187.
Computer Simulation of Levees Erosion and Overtopping

Simulation numrique de l'rosion et de la surverse de digues
Kamalzare M., Zimmie T.F.
Civil & Environmental Engineering department, Rensselaer Polytechnic Institute, Troy, NY, USA
Han T.S., McMullan M., Cutler B.

Computer Science department, Rensselaer Polytechnic Institute, Troy, NY, USA
Franklin W.R.
Electrical Engineering department, Rensselaer Polytechnic Institute, Troy, NY, USA
ABSTRACT: Improved computer models of erosion have been developed, considering soil hydraulic conductivity. The models deal
with erosion of levees, dams and embankments due to overtopping. The simulations trace the formation of rills and gullies, beginning
with initial overtopping and continuing to final breaching. Physical models performed at 1-g and high g using a geotechnical
centrifuge have been used to calibrate the models. Previous models did not consider soil hydraulic conductivity, and although results
were quite good for the formation of rills and gullies and sediment quantities, breach times were underestimated. Essentially the water
flow was treated as if passing over a solid surface, not entering the soil, and the total water flow was available for erosion. Thus,
breach times were underestimated. Soil erodibility parameters had to be adjusted to achieve good agreement with breach times. The
new models developed consider soil hydraulic conductivity, and produce good agreement with the performance of the physical
modeling.
RSUM : Des modles numriques amliors de l'rosion ont t dvelopps, qui prennent en compte de la conductivit hydraulique
du sol. Les modles traitent de l'rosion des digues, des barrages et des remblais par surverse. Les simulations permettent de suivre la
formation de rigoles et de ravines, sinitiant avec la surverse et se poursuivant par la brche finale. Les modles physiques "1-g" et "g"
l'aide d'une centrifugeuse gotechnique ont t utiliss pour talonner les modles. Les modles prcdents ne considraient pas la
conductivit hydraulique du sol, et mme si les rsultats taient assez bons pour la formation des rigoles et de ravines et des quantits
de sdiments, les temps ont t sous-estims pour la formation de la brche. En particulier, le dbit de l'eau a t trait comme s'il
scoulait sur une surface solide, ne pntrant pas dans le sol, et donc le dbit total d'eau tait disponible pour l'rosion. Ainsi, les
temps pour la brche ont t sous-estims. Les paramtres d'rodabilit du sol ont d tre ajusts afin de parvenir un bon accord
entre le temps de formation de la brche. Les nouveaux modles dvelopps considrent la conductivit hydraulique du sol, et les
rsultats sont en bon accord avec les rsultats de la modlisation physique.
KEYWORDS: Erosion, Levees, Computer Simulations, Physical Modeling.
1
INTRODUCTION
Post Hurricane Katrina field surveys showed that rolled,

compacted clay filled levees performed well with minor erosion
occurring when overtopped, whereas hydraulic filled levees
with silt and sand performed poorly. Clayey material often
required long haul distances that slowed construction progress,
thus nearby granular material was often used instead (Sills et al.,
2008).
As computer capabilities progress in representing hurricane
induced storm surges, a need arises to improve understanding of
the overtopping erosion potential and to provide associated
guidance for more rational design parallels. Dean et al. (2010)
and Holmes et al. (2011) presented a three-dimensional smooth
particle hydrodynamics (SPH) simulator for modeling grain
scale fluid flow in porous media. The versatility of the SPH
method has driven its use in increasingly complex areas of flow
analysis, including the characterization of flow through
permeable rock for both groundwater and petroleum reservoir
research. SPH provides the means to model complex multiphase flows through such media; however, acceptance of the
methodology has been hampered by the apparent lack of actual
verification within the literature, particularly in the threedimensional case. The accuracy of results for low Reynolds
number flows is highly dependent on the implementation of noslip boundary conditions. They also presented a new, robust and
numerically efficient, method for implementing such boundaries
in SPH. Simulation results for friction coefficient and
permeability were shown to agree well with the available
Levee failures often occur due to overtopping and seepage,

which creates erosive processes, portending to the breaching of
the levee and catastrophic damage on the adjacent flood plain.
Planning for such emergencies for levee or dam breaches
requires reliable predictions, especially on complex
terrain. Griffis (2007) addressed the overall design of the
engineering works, discussing the natural and engineered floodprotection structures and strategy for major hurricanes
concerning New Orleans. His evaluation assessed the
improvements necessary to protect from the damaging effects of
water. After analyzing the failures of the natural system and of
the levees, floodwalls, pumping stations, and the absence of
flood gates on the canals, he concluded that the design storm
specified by congressionally authorized projects deserved
reconsideration, and that engineering design reviews should be
reorganized and implemented. In order to make such
improvements the properties of soil, especially the erodibility of
it, had to be evaluated. Wan and Fell (2004) describe the
development of two erosion rate tests, the Hole Erosion Test
(HET) and Soil Erosion Test (SET), which measure soil
erodibility. Using an Erosion Function Apparatus (EFA), Briaud
et al. (2008) investigated the erodibility of several different
types of soil, classifying the soils by erodibility based on degree
of compaction, erosion rate, water velocity and hydraulic shear
stress. Xu and Zhang (2009) found that in addition to soil type,
the degree of compaction affects erosion resistance, increasing
with compaction effort, particularly with fine soils.
743
benchmarks. Although much work has been done to simulate

erosion, very little of the results have been validated.
A primary objective of this research was validation of the
computer simulation by laboratory experimentation. Therefore
in this paper, laboratory tests with different soils have been
performed to improve the computer simulations of levee
erosion. Some tests had been performed using different
mixtures of two soils, and the effects of different percentages of
clay had been investigated (Kamalzare et al. 2012). The
emphasis of this paper was to investigate the effect of water
flow on the erosion. Therefore, all the tests were performed on
one mixture of soil but various water flow rates were used. To
better evaluate the effects of water flow on real levees, some
centrifuge tests have also been performed which simulate full
scale prototype levees and embankments.
2
TEST MATERIALS AND PROCEDURES
A mixture of two soils have been used in the tests represented

herein, a clay soil (Kaolinite Clay) and a granular soil (Nevada
120 Sand). Tests were performed on mixtures of 25% clay and
75% sand. Maximum dry density and optimum water content of
the sand and clay were 16.4kN/m3 and 11% for the sand and
12.8kN/m3 and 29% for the clay respectively. Table 1 lists the
physical characteristics of the mixed soil.
Table 1. Soil Characteristics
Property
Mixed soil
D10 (mm)
0.074
D30 (mm)
0.11
D60 (mm)
0.19
Coefficient of uniformity
2.57
Coefficient of curvature
0.86
Liquid limit
17
Plastic limit
11
Permeability
10e-5 cm/s
USCS symbol
SC
The maximum dry unit weight for the soil sample was
15.4kN/m3. Samples were prepared to achieve a relative density
of 90% of the maximum dry density (13.9kN/m3) and used the
optimum water content (10%) which has been calculated
according to AASHTO T99-70 / ASTM D698-70 (A-method).
The models used in this research were constructed in an
aluminum box. The geometry of the model levee was
determined similar to conventional levees before construction of
the model began. Some tests were also performed in boxes with
different sizes to find the effect of levee dimensions on the
results. The compaction of soil was conducted manually by
using a plastic hammer to strike the steel plate, which was
placed on top of the soil until reaching the target unit weight.
The erosion processes described in this paper refer to hydraulic
erosion. Small-scale erosion on earthen embankments is being
studied, modeled and eventually simulated, with respect to the
formation of rills and gullies. Validation of the simulation is a
primary focus in this research, so scaled-down model levees are
used to perform erosion experiments at 1-g and at higher
levels of g in a geotechnical centrifuge. The results of
experiments to date are presented in the following sections.
Different water flows were used and complex geometries and
boundary conditions utilized to quantitatively assess the effects
of differing conditions. The physical models serve as the basis
for developing accurate, digital simulations of the embankment
erosion processes. To illustrate the dimensions of the levee, a
schematic picture of the model is shown in Fig. 1.
744
Figure 1. Dimensions of the modeled levee in the medium box
The time elapsed from initiation of initial rill erosion began at

the crest of the landside slope to the time the eroded channel
reached the crest on the waterside slope (tbreach) was measured
during the tests. Photographs and videos were taken before,
during and after each test. The width and depth of the rills were
also measured after failure of the levee.
In order to simulate some large scale measurements
centrifuge tests were performed at 25gs (Fig. 2(a)). Since in
high g tests water will be heavier, erosion will occur much
faster than 1-g. A high speed camera with capability of
60,000 pictures per second (pps) was used to take pictures and
record videos during the tests in centrifuge. Three other cameras
were also recording videos from different angles. These videos
and pictures were being used to evaluate the results of digital
simulations and computer predictions.
Fig. 2(b) shows a levee after a centrifuge test. The green lines
are colored sand that was used for the purpose of better viewing
in the crest of the levee. Since the water is 25 times heavier in
this centrifuge test, pebble size sands overlaying a piece of
geotextile were used in the left side of the box, where water was
added to the levee from a hose, to prevent erosion. To collect
the overtopped water, an empty space was left underneath the
levee. The overtopped water passed through a small gap in the
right side of the levee and was collected underneath the levee.
The erosion time was about 5 minutes for a water flow equal to
0.56 lit/min. However in the centrifuge time and dimensions
will scale by g, and this would be equal to 100 minutes in full
scale prototype time. The tested levee would also simulate a
17.50m long prototype levee with 1.78m height and 7.90m
width.
(a)
(b)
Figure 2. (a). RPI 150 g-ton geotechnicall centrifuge, (b). The eroded
levee after the centrifuge test
To model the system numerically, the high resolution

particle-based Lagrangian methods based on Smooth Particle
Hydrodynamics (SPH) was used, which was first presented by
Gingold et al. (1977). This method is based on the NavierStokes equations and discretized into a set of particles. The
solution is based on momentum and mass conservation
equations:
/ + () = 0
(/ + . ) = + + ^2
(1)
(2)

where v is the velocity field, p is the density field, is the

pressure field, g is gravity, and is the viscosity of the
fluid. Fluid implementation in this research was primarily based
on Muller et al. (2003) but has been expanded to use a novel
grid-based data structure and traversal ordering that allows the
system to be computed more efficiently and to be spread across
more CPU Cores than was previously possible. To model the
soil a set of statically placed erodible particles was used as
introduced by Kristof et al. (2009) and Muller et al. (2003).
Three types of particles were used in this simulation; soil
particles, boundary particles (soil particles near a water
particle), and water particles. The method introduced by Briaud
et al. (2008) was used to model the transfer of mass from
boundary particles into water particles based on the shear stress
between the water and soil.
= (
Figure 4. Permeability simulation result produced using proper

and values matched physical test result: particles were marked
blue if above 78% saturated (top soil sample saturation), green if
above62% saturated (middle soil sample saturation)and red if
above 32% saturated(bottom soil sample saturation)
Levee erosion was simulated, taking permeability into

account. For each of the simulations approximately 450,000
water and 2,500,000 soil particles were introduced (Chen et al.,
2011). The erosion rate in the simulation, Z, (mm/hr) is
modeled by using Eq. 6:
(3)
where K is the shear stress constant, n is the flow behavior

index, vrel is the velocity relative to the solid surface, l is the
distance between the fluid and boundary particle, Ke is the
erosion strength, c is the critical shear stress, Mb is the mass of
a boundary particle, and j is a particle within the smoothing
radius.
The model presented by Toon et al. (2008) was used in the
next step of simulation, after modeling water that permeates into
the soil. To do this, the properties porosity and permeability
were added to all of the soil particles in the system. These were
used to model the capillary pressure gradient (Eq. 4), which
gives rise to the Darcy flux (Eq. 5). The fluid mass is then
integrated using explicit Euler integration.
= , , = (1
= .
, )
0
+ 0.1 >
Z=
(6)
where is the hydraulic shear stress (Pa) and c is the critical

shear stress. Since the values of a and c are different for
different materials, their values have to be determined for each
material used in physical experiments. In the authors previous
experiments, pure sand and sand-clay mixtures (85% sand and
15% clay) have been used. In previous simulations, the value
for a was estimated to be 187 and 93 for pure sand and sandclay mixtures respectively, and the value for c was estimated to
be 2.0 and 3.0. A series of simulations on those two materials
have been run, as well as some imaginary materials whose
erodibility lies between the erodibility of those two materials
(Chen et al., 2010). In order to determine the values of the
parameters for the material used in the current experiments, a
comparison between the results of previous simulations and the
results of current physical experiments have been done.
Water ow rate, geometry of the levee surface, and
erodibility of the soil were identified as three major components
in the formation of channels during erosion simulation. A total
of 27 computer simulations have been run, one for each possible
combination of three different ow rates, levee down-slope
angles, and erodibility values. For flow rates, values of 8, 11,
and 14 mL/s, were chosen. For erodibility values, 137, 159, and
187 alpha-values, representing the range from sand-clay mixture
made up of approximately 10% clay to pure sand were chosen.
Finally, for levee slope, dry-side slopes of 4:1, 5:1, and 6:1,
typical ranges found in real levee design were chosen. For each
simulation result, the time to breach was visually determined,
and has been identified by the Dam-Break Flood Forecasting
Model.
) (4)
(5)
Where kc and 0<<1 control the strength of the potential, mpj

is the fluid mass of s dirt particle, K is the permeability, and >0
controls flow.
To determine the proper and , a physical permeability test
was performed using a soil mixture whose permeability and
porosity properties are used in the computer simulation (Fig. 3).
Figure 3. Physical saturation tests using soil and clay mixture
CONCLUSIONS
Times to breach statistics were observed to be based

primarily on the flow rate of the water rushing over the levee.
This appears logical, as a higher velocity implies more shear
stress, and more opportunity to surpass the soil's critical shear
stress and cause erosion. Secondarily, soil erodibility impacted
the level of erosion as well. Within a single flow rate's time set,
highly erodible soil failed first. The slope of the levee geometry
had minimal impact on times to breach, an observation that is
somewhat surprising considering how important levee slope is
in the design of levees, as it has an impact on levee seepage and
levee stability. However, at present our simulation does not
After the physical test, 3 soil samples were taken from the
top, middle and bottom of the oil cylinder to gather saturation
statistics. Then 103 computer simulations were executed using
different alpha and beta values to do a statistical analysis of the
impact of each variable on the saturation simulation result at the
given sampling heights. The alpha and beta values acquired
from the analysis above produced the following result (Fig. 4)
in which the time that the wet line took to reach the bottom and
the saturation values at all sampling heights agreed with what
the physical test demonstrated.
745
3
model seepage or piping, nor does it consider large

deformations of the levee due to mudslides or surface fracture.
If these phenomena were modeled, the results may indicate
levee slope as a more important factor during overtopping
conditions.
Fig. 5 shows a visualization of the average times to breach
of each experimental flow rate, levee slope, and soil erodibility.
2. At higher water flows, most of the water will overtop the

levee and the amount of water that seeps through the levee is
negligible compared to overtopped water.
3. At smaller water flows (smaller than 0.4 lit/min), the
amount of water that seeps through the soil is significant
compared to the amount of water that overtops.
4. At small water flows, seepage plays a significant role on
controlling the erosion. That is, long term seepage may
eventually cause failure, but for short times it tends to reduce
erosion.
4
Figure 5 A visualization of the average times to breach of each

experimental flow rate, levee slope, and soil erodibility. Each data
point represents a single erosion simulation, and planes are colored
to represent the points that were used to determine a single
characteristic's average time to breach. For instance, in the left
image, all data sets with a flow rate of 8 mL/s are represented by
red, 11 mL/s by green, and 14 mL/s by blue data points. The bars on
each axis represent the average time to breach of all data points of
the corresponding color, and each image compares averages across a
single characteristic. We can see that levee slope and erodibility
have little effect on the times to breach, whereas flow rate has a
major impact
ACKNOWLEDGEMENTS
This material is based upon work supported by the National

Science Foundation under Grant No. 0835762.
5
An interesting outlier in our data was the fastest flow rate

(14 mL/s) and the highest erodibility value (187). All levee
slopes in this category failed within 20 seconds of each other,
and it was not the fastest time to breach, as would be expected.
This result may indicate that there is a critical flow rate past
which any flow is too destructive to adhere to any general
trends. However, it is more likely that this anomaly is a result of
the number of channels witnessed, an additional observation
made of the test results.
The number of channels that formed under each testing
condition was also observed. We designated the number of
channels by two numbers, n/m, where n is the number of
channels visible on the down slope side of the levee, and m is
the number of channels that reached full breach during the test.
The majority of tests presented a 1/1 channel result, meaning
exactly one primary channel formed and it reached breach
condition. The majority of tests in which a 2/2 channel
formation was observed had flow rates of 14 mL/s, whereas the
majority of the tests with flow rate of 8 mL/s had a 1/1 channel
condition. The tests with flow rate of 11 mL/s provided both 2/1
and 1/1 channel conditions, but no 2/2.
The large number of tests with fast flow rates and multiple
channel formations could account for the slower breach times
for faster flow rates, as more soil is being eroded from two
different locations along the levee, instead of a single channel.
Since the total eroded volume is higher with faster flow rates,
this appears logical.
As it can be seen, an investigation of various overtopping
quantities dealing with levee erosion has been performed in this
research. Digital simulations have been presented to predict the
time that it would take the levee to breach under different water
flows. Additional centrifuge tests are planned. Since the
breaching in centrifuge tests happens rapidly, some
modification may be needed for the centrifuge tests; e.g. using
cameras with higher quality to capture better images and videos
during and after the tests. It will help to observe and measure
the exact breaching time during centrifuge tests; because even a
few seconds in high g tests represents a significant amount of
prototype time. The following conclusions can also be drawn
from the study:
1. Higher water flow will lead to smaller tbreach. That is, in
similar levees with different water flows, breaching would
happen faster in the one which undergoes a higher water flow.
746
REFERENCES
Briaud, J. L., Chen H. C., Govindasamy, A. V., and Storesund, R.

(2008). Levee erosion by overtopping in New Orleans during the
hurricane
Katrina.
Journal
of
Geotechnical
and
Geoenvironmental Engineering, ASCE, 134: 618-632.
Chen, Z., Stuetzle, C. S., Cutler, B., Gross, J. A., Franklin, W. R, and
Zimmie, T. F. (2011). Analyses, simulations and physical
modeling validation of levee and embankment erosion.
Proceedings of Geo-Frontiers, Advances in Geotechnical
Engineering, Dallas, Texas, USA.
Chen, Z., Stuetzle, C. S., Cutler, B., Gross, J. A., Franklin, W. R., and
Zimmie, T. F. (2010). Quantitative analysis of simulated erosion
for different soils. 18th ACM SIGSPATIAL International
Conference on Advances in Geographic Information Systems
(ACM SIGSPATIAL GIS 2010), San Jose, CA, USA.
Dean, R.G., Rosati, J.D., Walton, T.L., and Edge, B.L. (2010).
Erosional equivalences of levees steady and intermittent wave
overtopping. Ocean Engineering, 37: 104-113.
Gingold, R. A., and Monaghan, J. J. (1977). Smoothed particle
hydrodynamics: Theory and application to non-spherical stars.
Monthly Notices of the Royal Astronomical Society, 181: 375-389.
Griffis, F.H. (Bud). (2007). Engineering failures exposed by Hurricane
Katrina. Technology in Society, Vol. 29, 2, pp 189-195.
Holmes, D. W., Williams, J. R., and Tilke, P. (2011). Smooth particle
hydrodynamics simulations of low Reynolds number flows
through porous media. International Journal for Numerical and
Analytical Methods in Geomechanics, 35: 419-437.
Kamalzare, M., Stuetzle, C., Chen, Z., Zimmie, T., Cutler, B., and
Franklin, W. (2012). Validation of Erosion Modeling: Physical
and numerical GeoCongress 2012, Oakland, California, USA.
Kristof, P., Benes, B., Krivanek, J., and Stava, O. (2009). Hydraulic
erosion using smoothed particle hydrodynamics. Computer
Graphics Forum, 28: 219-228.
Muller, M., Charypar, D., and Gross, M. (2003). Particle-based fluid
simulation for interactive applications. ACM SIGGGRAPH
/Eurographics Symposium on Computer Animation,: 154-159.
Sills, G. L., Vroman, N. D., Wahl, R. E., and Shwanz, N. T. (2008).
"Overview of New Orleans Levee Failures: Lessons Learned and
Their Impact on National Levee Design and Assessment." Journal
of Geotechnical and Geoenvironmental Engineering, ASCE,
134(5): 556-565.
Toon, B. A., and Dutr, P. (2008). Porous flow in particle-based fluid
simulations. ACM Transactions on Graphics (TOG),27 (3),
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Construction of Levees. Engineer Manual. Washington D.C.:
Department of the Army.
Wan, C. F., and Fell, R. (2004). "Investigation of Rate of Rate of
Erosion of Soils in Embankment Dams." Journal of Geotechnical
and Geoenvironmental Engineering, ASCE, 130(4): 373-380.
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Rockfill Dams." Journal of Geotechnical and Geoenvironmental
Engineering, ASCE, 135(12): 1957-1970.
Using 3D numerical solutions for the simplified modelling of interaction of soil and
elongated structures
Utilisation de solutions 3D numriques pour la modlisation simplifie de l'interaction des sols et
des structures allonges
Kholmyansky M.L., Sheynin V.I.
NIIOSP Research Institute, Moscow, Russian Federation
ABSTRACT: The problem of interaction of linearly deformable structure and linearly deformable soil is stated in a general form and
then defined more precisely for an elongated structure that is rigid in transversal direction. Both loads acting on the structure and on
the soil outside the structure (induced by of surface and/or subsurface construction, geological processes etc.) are considered.
Numerical method for solution of corresponding equations is developed based on Galerkin boundary elements and numerically
implemented. Examples of concentrated load and tunnelling effects on beam-like structure resting on half-space are considered.
RSUM : Le problme de l'interaction dune structure dformable linaire et dun sol linaire est pos sous une forme gnrale puis
dfini plus prcisment pour une structure allonge rigide dans le sens transversal. Les charges agissant sur la structure et sur le sol
l'extrieur de la structure (induite par une construction en surface ou en souterrain, par des processus gologiques, etc) sont
considres. Une mthode numrique pour la solution des quations correspondantes est dveloppe sur la base des lments de
frontire de Galerkin et mise en uvre numriquement. Des exemples de charge concentre et deffets dus au creusement de tunnels
sont tudies pour des structures assimilables une poutre reposant sur un demi-espace.
KEYWORDS: half-space, deformable structure, soil-structure interaction, tunnelling effects, boundary elements, Galerkin method.
1
INTRODUCTION
Development of methods of soil-structure interaction with most

adequate simulation of real conditions is one of the most
important of research in structural mechanics and soil
mechanics. The extensive literature and review of some
problems may be found elsewhere (e.g., Gorbunov-Posadov e.a.
1984).
In recent years the researchers attention is increasingly
attracted to the study of soil mass effect due to natural or maninduced processes on above-surface and sub-surface structures.
In such problems it is usually impossible to be restricted to
conventional idealizations.
At the same time it is possible to choose a class of structures
with elongated zone of contact with soil, when one zone
dimension is significantly less than another: buildings with strip
foundations, underground pipelines, transportation tunnels etc.
Three-dimensional soil-structure interaction analysis in these
cases may be simplified.
In such a way, analysis of solution for a beam on a halfspace under concentrated load (Biot 1937) has led to the
Winkler model that was used for calculation of beams on soil
surface and pipes within it (Vesic 1961, Attewell e.a. 1986).
Corresponding model has some known disadvantages and needs
some development. Comparison of Winkler and half-space
models for elongated structures was performed in the papers
(Klar 2004, Fischer and Gamsjger 2008).
At present time finite element is widely used for solving the
problems of soil-structure interaction. However its application
in case of domain with length and breadth of different orders of
magnitude encounters additional difficulties in course of
numerical implementation.
As a consequence, in case of elongated contact zones of
deformable structures interacting with soil continuum another
approach is needed that allows for geometrical features of the
problems and makes it possible to develop a numerical
calculation algorithm simple and providing sufficient accuracy.
2 SOIL-STRUCTURE INTERACTION
747
2 SOIL-STRUCTURE
2.1
Problem statement INTERACTIOn
2.1 Problem statement
2.1.1 The soil
A problem of interaction between structure and linearly
deformable soil is considered in discrete or continuum
statement. In many instances, for example for tunnels and
pipelines, the pressure exerted on soil is of small or moderate
level; that makes possible disregarding nonlinearity. Effects
both on structure and soil are permitted. The general form of the
flexibility method for the linearly deformable soil is the
following:
C p w
*,
(1)
= vector of displacements in the contact zone; C =

where w
flexibility matrix in discrete case or corresponding operator in
continuum case; p = vector of loads on the ground in the
* = vector of displacements in the contact zone
contact zone; w
due to the forces exerted on soil outside the structure under
consideration.
The last value is non-zero when other structures are present
or some geological processes are developing; it is supposed that
corresponding loads on do not depend on the presence of the
structure considered, i.e. back effect does not take place.
2.1.2 The structure
The .structure is supposed linearly deformable too. The
equations of the stiffness method for it read
p Kw p * ,
(2)
where p = vector of loads transferred to the structure from its

(strip) footing; K = matrix (or operator) of the stiffness of the
structure, reduced to the nodes of footing axis; w = vector of
displacements for the nodes at the footing axes; p* = vector of

loads transferred to the footing from the structure (dead loads,
live loads on the floors, wind loads etc.).
p p j N j ,
where pj = specific normal load on j.

As a consequence Galerkin method provides instead of Eq. 5
its discrete form
2.1.3 The footing

Elongated footing may be supposed rigid in the transversal
direction. It gives the possibility to express the displacements of
the contact zone via the displacements of the footing giving the
following expression:
1
cij p j a j ( Aw)
a j ( w*) ,
mi
j 1
w Aw .
(3)
(8)
where aj(u) = average u over the boundary element j; mj

area of j;
The loads on the footings transferred from the soil are summed
up according to the formula
p Bp .
(7)
j 1
cij
(4)
N i , C N j N i ( x, y )(C N j )( x, y )dxdy
N i ( x, y )(C N j )( x, y )dxdy
(9)
2.2
General system of equation

[ , ] = scalar product of the two functions expressed by
integral of their product over .
If i a rectangle (x1xx2, y1yy2), then in Eq. 9
Eq. 1 and Eq. 3 give:
C p Aw w*,
(5)
C N i
while Eq. 2 and Eq. 4 give:

Bp Kw
p* ,
(6)
In further consideration system of Eq. 5 and Eq. 6 will be given

concrete expression.
Model substantiation and Galerkin method
Small breadth of soil-structure contact zone leads to small depth

of deformable soil layer that allows considering the soil mass as
homogeneous continuum. Hence the computational domain may
be supposed homogeneous half-space; its linearity was
supposed earlier. Only normal loads on its surface are
considered; tangential loads are zero.
Earlier one of the authors obtained (Kholmyansky 2007) the
solution for three-dimensional problem about the system of
rigid punches on the half-space obtained with the boundary
element method and using Boussinesq solution.
Two specific variants of general numerical method of
weighted residuals where compared: collocation method and
Galerkin method (Finlayson 1972); the latter showed higher
accuracy and was chosen for further work.
Efficiency of that approach was illustrated by the fact that
the equilibrium of several hundreds of punches was considered
without difficulties. This paper continues to use that approach
for the discretization of Eq. 5.
3.2
Operator discretization
For discretization of the operator C , that describes the flexibility

of deformable foundation the simplest piecewise-constant basis
functions are chosen. The footing-soil contact zone divided
into n boundary elements j.
Each basis function corresponds to boundary element; the
function is unity for the points of the element and zero outside.
That makes the pressure field piecewise-constant and equal to
linear superposition of basis functions Nj:
748
(10)
F(a,b) = displacement of the point of origin under the action of

unit load on the rectangle with the abscissas of its corner points
x = 0 and x = a and with ordinates y = 0 and y = b:
F ( a , b)
3 SOIL MODELLED BY LINEARLY DEFORMABLE

HOMOGENEOUS HALF-SPACE
3.1
F ( x2 x, y2 y ) F ( x2 x, y1 y )
;
F ( x1 x, y2 y ) F ( x1 x, y1 y )
1
E
a b
(x
y 2 )1/ 2 dxdy ;
(11)
0 0
E, = deformation modulus and Poisson ratio of soil. The

formula obtained is a form of the well known method of
computation of half-space surface settlement by the
superposition of rectangular loads (see Terzhagi 1943). Another
form (Kholmyansky 2007) of well-known expression (see
Terzhagi 1943) for F(a,b) was obtained:
F ( a , b)
1
a Arsh(b / a) b Arsh(a / b) ;
E
(12)
From this point on only uniform rectangular grids of boundary

elements are considered. Integration for the computation of
scalar product in Eq. 9 is performed numerically with the Gauss
22 cubature formula .
The main difference of the described discrete method from
the well known Zhemochkin method (Zhemochkin and
Sinitsyn 1947) is the fact that the Galerkin approach is used
instead of collocation approach..
4
STRUCTURE MODELLED BY A BEAM
In case of narrow and stiff in transversal direction footing the

are determined by the
displacements of points in contact zone w
displacements on the footing axis; elements of matrix A are
units and zeros. Elements of matrix B are units and zeros too;
matrix B is transposed to A:
B AT .
(13)
The structure model is supposed to be the Bernoulli-Euler beam.
For the discretization of the well known ordinary differential
equation of beam bending and computation of stiffness matrix K
the method of real finite elements was applied
(Karamansky 1981).
t = 103
The essence of this method consists in concentration of

bending ability in discrete points. If the beam with bending
stiffness E1I1 is decomposed to the parts of length l the
bending stiffness at each point is
r E1I1 / l .
(14)
The stiffness matrix for a beam with free ends
1 2 1 0 0
2 5 4 1 0
r 1 4 6 4 1
K 2
l 0 1 4 6 4
0 0 1 4 6
...
...
...
...
.
...
...
(15)
t=1
5 CALCULATION OF BEAMS ON ELASTIC HALFSPACE

5.1
Concentrated load
The beam with plan dimensions 351 resting on the half-space

with unit concentrated force in the centerpoint was calculated .
Different beam stiffness values were considered; they were
described by the flexibility index (Gorbunov-Posadov
e.a. 1984):
Ea 3b
2(1 2 )E1 I1
t = 103
(16)
where a, b = half-length and half-breadth of the beam. Contact

zone boundary element decomposition was to unit squares. The
calculation results are shown on Figure. 1 and demonstrate the
effect of the beam stiffness in the longitudinal direction: the
pressure diagram shows changes from the rigid punch type for
t = 103 to alternating-sign type for t = 103; for the intermediate
value t = 1 there are maxima both in the center of the beam
under the concentrated load and at the ends.
5.2
Concentrated load
For the calculation of bending of the beam that models an

elongated structure we accept formula (Attewell e.a. 1986) for
the settlement of the of the soil surface due to tunnelling with
the account for the position of the tunnel face (the structure
back effect on the structure is neglected):
w *
xi x f
e 2 I G
G
I I
2I
Vs
Figure 1. Contact pressure under the footing of the beam on the halfspace with concentrated load for flexibility index t = 103; 1; 103. The
part of the diagram symmetrical about the axis of the structure is not
shown.
(17)
where Vs = volume of lost ground; 2I = width of the settlement

trough between the inflection points; , = coordinates ( axis =
projection of the tunnel axis on the soil surface, axis is
perpendicular to axis ); xi and xf coordinates of the tunnel
initial and final points;
1
1 1
.
G e 2 d
erf
2 2 2
2
Figure 2. Relative position of the tunnel and the structure.
Consider different tunnel positions relative to the existing

elongated structure, influenced by the tunnelling. The structure
is the same as in the previous example; flexibility index is 1.
The half-width of the settlement trough is taken equal to the
half-length of the structure. The general layout scheme of the
structure and the tunnel with the corresponding parameters,
describing their mutual position is shown on the Figure 2.
(18)
749
(1)
A similar (from the geomechanical viewpoint) approach to

calculation of beam-like structures on soil deformed by
subsurface works was developed in (Pushilin and
Sheynin 2006), where the model was confined to the planar
case. This approach allows allows to write down an ordinary
differential equation for the beam deflection and formulate a
finite-difference algorithm of its solution. Stresses in a beamlike structure on Winkler foundation whos deformations are
induced by a nearby excavation are determined in, e.g.
(Ilyichev e.a. 2006).
6
CONCLUSION
A numerical method was developed for the solution of soilstructure interaction problems of elongated deformable
structures (rigid in transversal direction) on linear half-space. It
was supposed that soil is deformed under the effect of additional
outer sources, e.g. tunnelling. Numerical results were obtained
for the most practically typical special case, when the structure
may be modeled by a beam with finite bending stiffness in
longitudinal direction and infinitely rigid and of finite breadth in
transversal direction. The cases of load application both on the
structure and on the soil continuum due to tunnelling were
considered. Results for different beam stiffness and tunnelstructure layout are obtained and analyzed.
(2)
(3)
. 3. Contact pressure due to tunnelling under the footing of the beam

with flexibility index t = 1 on the half-space
Results are obtained for three cases (see Figure 3):

(1) Symmetrical layout with long tunnel perpendicular to
the longitudinal axis of the structure: x0 =0; xi = 1000; xf = 1000;
= 90.
(2) Tunnelling up to the structure axis perpendicular to the
longitudinal axis of the structure. Parameters are the same as in
case (1) except xf = 0.
(3) Tunnelling with the angle = 60 to the longitudinal axis
of the structure up to the end of the structure: x0 =0; xi = 25.5;
xf = 10.
In all the cases there are no effects on the structure except
soil induced effects, so contact stresses are self-equilibrated. In
the case (1) there are two axes of symmetry, in case (2) only
one.
750
REFERENCES
Attewell P.B., Yeates J., Selby A.R. 1986. Soil movements induced by
tunnelling and their effects on pipelines and structures. Glasgow,
Blackie.
Biot M.A. 1937. Bending of an infinite beam on an elastic foundation.
Publications from the Graduate School of Engineering, Harvard
Univ. (203).
Finlayson B.A. 1972. The method of weighted residuals and variational
principles. Academic Press, New York.
Fischer F.D., Gamsjger D. 2008. Beams on foundation, Winkler
bedding or halfspace a comparison. Technische mechanik.
28 (2), 152-155.
Gorbunov-Posadov M.I., Malikova T.A., Solomin V.I. 1984.
Calculation of structures on elastic bed. Stroyizdat, Moscow.
Il'ichev V.A., Nikiforova N.S., Koreneva E.B. 2006. Method for
calculating bed deformations of buildings near deep excavations.
Soil Mechanics and Foundation Engineering. 43 (6), 189-196.
Karamansky T.D. 1981. Numerical methods of structural mechanics.
Stroyizdat, Moscow.
Kholmyansky M.L. 2007. On the load distribution among separate
foundations. Proc. of RSSMGFE 50-th anniversary conference.
RSSMGFE, 2, 160-164.
Klar A., Vorster T.E.B, Soga K., Mair R.J. 2004. Soil-pipe-tunnel
interaction: comparison between Winkler and elastic continuum
solutions. Technical Report of the University of Cambridge
CUED/D-SOILS/TR 332. Cambridge.
Pushilin A.N. and Sheynin V.I. 2006. Assessment of stress in the
structures arising from construction of underground opening. 75th
anniversary of NIIOSP (Proc. of NIIOSP), 66-73.
Terzaghi K. 1943. Theoretical soil mechanics. Wiley, New York.
Vesic A.S. 1961. Bending of beams resting on isotropic elastic solid J.
Eng. Mech. Div. 87 (EM2), 35-53.
Zhemochkin B.N. and Sinitsyn A.P. 1947. Practical methods of
calculation for beams and slabs on elastic foundation without using
the Winkler hypothesis. Gosstroyizdat, Moscow.
3D Dynamic Numerical Modeling for Soil-Pile-Structure Interaction in Centrifuge

Tests
Modlisation numrique dynamique en 3D de l'interaction sol-pieu en centrifugeuse
Kwon S.-Y., Kim M.-M.
Seoul National University, Seoul, Republic of Korea
Kim S.g-H.
Ministry of Land, Transfer and Maritime Affairs, Seoul, Republic of Korea
Choi J.-I
University of California, Los Angeles, Los Angeles, CA, USA
ABSTRACT: 3D dynamic analysis based on the finite difference method was performed, to simulate the dynamic behavior of a soilpile-structure system under seismic loading, which was observed from dynamic centrifuge tests. For the centrifuge tests, model piles
were placed in a so-called equivalent shear beam box. The acceleration time histories of 12 sine waves and 10 scaled earthquake
events were used as input motions. The 3D numerical modeling was formulated in a time domain, to effectively simulate the
nonlinear behavior of soil. As a modeling methodology, the soil medium was divided into near field and far field, the latter of which
was not affected by soil-pile-structure interaction. The mesh was created only for the near field, to reduce the computing time. Far
field response was applied as a boundary condition at the boundary of the near field. Soil nonlinearity was considered by adopting a
hysteretic damping model and an interface model, which can simulate separation and slip between the soil and pile. The 3D modeling
method was calibrated, by comparing the numerical modeling result with that of the dynamic centrifuge test. Finally, the 3D modeling
method established in this research was evaluated, by comparing the numerical modeling results with those of other centrifuge tests.
RSUM : Une analyse 3D dynamique, fonde sur la mthode des diffrences finies, a t ralise afin de simuler le comportement
dynamique du systme sol-pieu-structure sous chargement sismique qui a t observ dessais dynamiques en centrifugeuse. Pour les
essais en centrifugeuse, le pieu modle tait plac dans une bote de cisaillement pour poutre . Les acclrogrammes de 12 vagues
sinusodales et de 10 tremblements de terre ont t utiliss comme donnes de calcul. La modlisation numrique 3D a t formule
dans un domaine temporel pour simuler efficacement le comportement non linaire du sol. Comme mthode de modlisation, le sol a
t divis en champ proche et en champ lointain, ce dernier ntant pas affect par linteraction sol-pieu-structure. Le maillage a t
cr seulement pour le champ proche afin de rduire le temps de calcul. La rponse du champ lointain a t applique comme
condition la limite du champ proche. La non-linarit du sol a t considre en adoptant un modle damortissement hystrtique et
un modle dinterface qui peut simuler la sparation et le glissement entre le sol et le pieu. La mthode de modlisation 3D a t
calibre en comparant les rsultats de la modlisation numrique avec les essais dynamiques en centrifugeuse. Enfin, la mthode de
modlisation 3D tablie dans cette recherche a t value en comparant les rsultats de la modlisation numrique avec les rsultats
dautres essais en centrifugeuse.
KEYWORDS: Centrifuge tests, Numerical analysis, Finite difference method, Dynamic soil-pile interaction
INTRODUCTION
Prediction of the behavior of pile foundations under strong

earthquake loading is very important. Recently, the design
procedure for evaluating pile behavior under strong earthquake
loading has been modified, particularly after a series of megaearthquakes, such as the Great East Japan (3/11) Earthquake.
However, dynamic analysis of the soil-pile system is a very
complicated procedure, different from the static case, and is
affected by many factors, such as soil nonlinearity and dynamic
soil-pile interaction.
Many researchers have investigated the soil-pile-structure
interaction (SPSI) effect on pile foundations (e.g. Kaynia and
Kausel 1982, Dobry and Gazetas 1988, Markis and Gazetas
1992, Klar and Frydman 2002, Martin and Chen 2005) in the
frequency domain. However, analysis in the frequency domain
is not straightforward, and requires the Fourier transformation
for application. In addition, it is difficult to consider the
nonlinearity of soil in this analysis. Therefore, seismic analysis
in the time domain is an effective procedure to consider the
nonlinearity that occurs during strong earthquake motion. 3D
continuum modeling of the soil-pile system is one of the most
accurate techniques among dynamic analysis methods, although
this is difficult to apply, due to its complexity and lengthy
analysis time.
751
In this study, three-dimensional continuum modeling of the

soil-pile system using the FDM (Finite Difference Method)
program, FLAC-3D, was performed. The seismic responses of
soil-pile-structure observed in centrifuge tests were compared,
to calibrate and validate the applied 3D nonlinear FDM analysis.
The analysis mainly focused on internal responses of the pile,
such as peak bending moment of the pile foundation.
2
CENTRIFUGE TESTS
Dynamic centrifuge model tests(Yoo et al. 2012) were

performed at a condition of 40g centrifugal acceleration, using
the KOCED centrifuge at KAIST (the Korea Advanced Institute
of Science and Technology). The tests evaluate the dynamic
behavior of piles embedded in a model soil, which consists of a
dry-dense sand layer. A typical test layout is presented in Fig. 1.
The model soil consists of Jumunjin sand, with a relative
density of 80%. The model container used for the centrifuge
tests reported in this paper is the ESB (equivalent shear beam)
box. The internal dimension of the ESB box is 50cm x 50cm x
65cm. Model piles with a concentrated mass of 1.4kg were
made with aluminum pipes, and fixed at the bottom of the ESB
box, in order to simulate a rock-socketed pile. Strain gauges
were attached on both sides of the pile according to depth, in
order to measure the bending moment of the pile during

vibration. The maximum bending moment of the pile was
calculated, using the following equation.
M max
( L R )
I
y
(1)
compression tests and resonant column tests. L1 and L2 were

determined as 0.5 and 3.65, respectively, by parametric analysis,
and used to calibrate the G/Gmax- curve of the numerical model
(Fig. 2)
6 s (1 s )
(2)
log e
M s 2 (3 2 s )
L 2 L1
10
L L
where, L and R are the normal stresses at the left and right
outermost pile mesh integration points, respectively; y is the
distance between the integration points and the central axis; and,
I is the the moment of inertia of the pile.
Table 1 shows the test programs. All values are given in
prototype dimensions, which are converted according to scaling
laws for centrifuge testing (Taylor 1995, Iai et al. 2005) As
shown in Table 1, tests were performed under various input
frequency and acceleration conditions, using 12 sine waves and
10 seismic waves. Three different pile diameters were used for
the tests. Calibration was performed after the numerical
modeling, which was carried out for the centrifuge test using the
pile with the largest diameter of 2.5cm and thickness of 0.1cm.
The same procedure was repeated for a pile with a diameter of
1.8cm and thickness of 0.1cm, and the suggested method of
numerical modeling was validated by comparing the results.
Where Mt is the tangential shear modulus, s 2

, L=log10,
L1&L2 = Coefficient; and = is shear strain, L2 L1
1.2
L1=0.5, L2=-3.65
Measured
Calculated
0.8
ax
m
G
/ 0.6
G
0.4
0.2
0
0.000001
0.0001
0.01
100
Fig. 2 Calibration of G/Gmax (Jumoonjin Sand)
The maximum shear modulus of soils depends on the

confining stresses according to depth (Hardin et al. 1978), and
for this study, the calculation of the maximum shear modulus of
soils was made using Eq. (3). The coefficients A and n were
determined by prior test results (Yang 2009).
Gmax AF (e)(OCR ) k Pa1n ( m' )n
(3)
where, F (e) 0.3 0.7e2 , e is the void ratio, m' is the average
principal stress,Pa is the atmosphere pressure, and coefficients A
and n are 247.73 and 0.567, respectively.
3.2 Interface model
Fig. 1 Layout and Instrumentation

Table 1. Test program
Case
a1
a2
a3
b1
b2
Base input
frequency(Hz)
(a) Sinusoidal wave
1
2
3
(b) Real earthquake
Input motion
Ofunato
Nisqually
Amplitude of
base input(g)
0.05, 0.13,
0.25, 0.45
0.06, 0.13,
0.25, 0.36,
0.51
The interface between pile foundation and surrounding soil

undergoes slippage and separation during strong earthquake
motions. The interface model should consider this kind of
phenomena accordingly. For this study, an interface model that
can simulate the soil-pile separation, of slippage in the normal
and shear directions, was adopted. The applied interface model
uses normal and shear stiffness of the interface, in order to
estimate the spring constant, and the constant is represented as
Eq. (4) (Itasca Consulting Group 2006). The shear modulus
used in Eq. (4) considers the nonlinear behavior of soil, as
represented in 3.1. Therefore, the nonlinear behavior is also
considered in the interface model. Parametric study on the
stiffness showed that the numerical modeling results and test
results were most similar when the shear stiffness and normal
stiffness were identical in value; therefore identical values were
applied (kn=ks=1.511010N/m):
kn max[
3
3D FINITE DIFFERENCE ANALYSIS
K (4 / 3)G
]
zmin
(4)
where K and G are the bulk and shear modulus of the soil zone,
respectively; and zmin is the smallest dimension of an
adjoining zone in the normal direction.
3.1 Soil model

The soil model adopted in this study mainly consists of two
parts, which are the constitutive model and the damping model.
During a strong earthquake, soils show nonlinear plastic
behavior, while large displacements take place. In order to
simulate this type of behavior, the Mohr-Coulomb elastoplastic
model was used as the constitutive model. The nonlinear
behavior of soils was simulated by applying a hysteretic
damping model. As shown in Eq. (2), in the hysteretic damping
model, the tangential shear modulus is represented as a function
of shear strain (Itasca Consulting Group 2006). L1 and L2 of
Eq. (2) represent the decrease rate and decrease starting point of
G/Gmax of the G/Gmax- curve, respectively. In this study, the
G/Gmax- curve of Jumoonjin sand is obtained by triaxial
752
3.3 Boundary condition

The most important aspect of boundary conditions for
numerical modeling of pile foundations is the simulation of
semi-infinite boundary conditions. When the proper boundary
conditions are not applied, the input motion generates a
reflected wave, resulting in an inaccurate simulation of actual
motion. In addition, if modeling is done with an endless number
of meshes, analysis time greatly increases, resulting in difficulty
for numerical analysis for various conditions, and decrease of
analysis efficiency. Therefore, in order to overcome the
problems stated above, simplified continuum modeling was
adopted (Kim et al. 2012). Fig. 3 shows a layout of the
simplified continuum model. Fig. 4 shows the mesh that is used

in this study.
pile diameter : D
10D
20D
(a) Input acceleration : 0.13g
Fig. 3 Simplified continuum

modeling
Fig. 4 Mesh of the simplified

continuum model
CALIBRATION AND VERIFICATION OF THE

NUMERICAL MODEL
(b) Input acceleration : 0.25g
4.1 Calibration of the numerical model

Calibration of the proposed modeling method was performed by
comparing results between dynamic centrifuge tests and 3D
numerical simulation. The case of a pile with a diameter of
100cm and wall thickness of 4cm at the prototype scale was
used in this procedure.
4.1.1 Response to sinusoidal waves
The peak bending moments along the depth, obtained by
experiment and numerical analysis, are shown in Fig. 5. As the
base input acceleration increases, the pile response increases,
both in centrifuge test and FLAC-3D. It is observed that there is
good agreement between the computed and measured values.
The peak bending moment profile obtained from numerical
simulation well predicts the location at which maximum
bending moment occurs, and the infitie depth of the pile. As the
input acceleration increases, the discrepancy between computed
and measured values increases slightly. The average
discrepancy through various input motions was 10%. In
particular, when the input acceleration was 0.13g, the peak
bending moment profiles obtained by experiment and numerical
analysis were almost identical along the depth, as shown in Fig.
5 (a). The peak bending moment
(c) Input acceleration : 0.45g

Fig. 6 Peak bending moment according to frequency
profiles when the input accleration was 2Hz and 3Hz were
similar to the profile at 1Hz.
The peak moment values varied considerably with the base
input frequency, as shown in Fig. 6. The amplitude of response
became highest for an input frequency of 1Hz. This resonance
occurs both in the centrifuge test and FLAC-3D, which means
that the proposed modeling method is capable of simulating the
important dynamic characteristic. As input acceleration
increases, the discrepancy between the measured value and
computed value increases at 1Hz, due to resonance. In most of
the input motions, the peak bending moment value obtained
from numerical analysis agrees well with that from the
centrifuge test.
Fig. 7 shows a comparison between the peak bending
moments measured in the centrifuge test, and those calculated
in FLAC-3D analysis. All the points are located near the 1:1
line, meaning that the modeling method proposed in this study
has the ability to simulate pile behavior reasonably well.
Fig. 5 Peak bending moment along the pile (1Hz)
Fig. 7 Comparison between the test and FLAC

results(sine wave)
753
5.
CONCLUSION
3D numerical analysis is proposed to simulate the dynamic

behavior of a soil-pile system observed in dynamic centrifuge
tests(Yoo et al. 2012). Calibration and verification were then
carried out, to validate the applicability of the proposed
modeling methodology.
(1) Calibration of the proposed model is performed for the case
of a pile with a diameter of 100cm and wall thickness of 4cm.
Both in the centrifuge test and numerical model, resonance
occurs at the same frequency (1Hz), and peak bending moments
obtained from the proposed model agree well with those from
the centrifuge test.
Fig. 8 Peak bending moment along the pile (Nisqually)
4.1.2 Response to a real earthquake event

The analysis for real earthquake events, which is meaningful in
practice, was performed, to validate the modeling method
proposed in this study. In this stage, the acceleration record of
the Nisqually earthquake (2001) was used for the input motion.
The peak moment profiles along the pile, as obtained by
centrifuge test and numerical simulation, are shown in Fig. 8.
As the base input acceleration increases, the response increases,
both in the centrifuge test and FLAC-3D. These results are
consistent with the results for the sinusoidal wave. Also, it can
be seen that the results obtained from the numerical model agree
reasonably well with the values recorded during the centrifuge
test; and the average discrepancy was within 15%.
4.2 Verification of the numerical model
Another case of the centrifuge test with a pile diameter of 72cm
Fig. 9 Peak bending moment along the pile (1Hz)
and pile wall thickness of 4cm at the prototype scale, is

modeled by the proposed modeling method, and a comparison
between the measured value and computed value was performed,
to verify the applicability of the proposed modeling method.
The peak moment profiles along the pile, obtained by centrifuge
test and numerical simulation, are shown in Fig. 9. The peak
bending moment profile obtained from numerical simulation
well predicts the centrifuge test, and the discrepancy between
the measured and computed values is within 10%. Therefore, it
can be concluded that the numerical model proposed in this
study has the ability to simulate the dynamic behavior of a soilpile system under various input conditions. Also, it will be able
to be applied to the practical seismic design of pile foundations
for various conditions.
754
(2) Applicability of the proposed model is verified for the case

of a pile with a diameter of 72cm, and wall thickness of 4cm.
The peak bending moment profile obtained from numerical
simulation well predicts the centrifuge test, and the discrepancy
between the measured and computed values is within 10%.
Therefore, it can be concluded that the numerical model
proposed in this study has the ability to simulate the dynamic
behavior of a soil-pile system under various input conditions.
Also, it will be able to be applied to the practical seismic design
of pile foundations for various conditions.
6. ACKNOWLEDGEMENTS
This work was supported by the SNU SIR Group of the
BK21 Research Program funded by the Ministry of
Education, Science and Technology.
7.
REFERENCES
Boulanger, R.W. and Curras, C.J. 1999. Seismic Soil-Pile-Structure

Interaction Experiments and Analyses. Journal of Geotechnical and
Geoenvironmental Engineering, Vol.125, No. 9, pp. 750-759
Dobry, R. and Gazetas, G. 1988. Simple method for dynamic stiffness
and damping of floating pile groups. Geotechnique,38, 557-574.
Hardin, B. O. 1978. The nature of stress-strain behaviour of soils.
Earthquake engineering and soil dynamics, 1, 3-90.
Iai, S., Tobita, T. and Nakahara, T. 2005. Generalised scaling relations
for dynamic centrifuge test. Geotechnique,55(5), 355-362.
Itasca Consulting Group, Inc. 2002. FLAC3D(Fast Lagrangian Analysis
of Continua in 3Dimensions) User's Guide, Minnesota, USA.
Kaynia, A. M. and Kausel, E. 1982. Dynamic behavior of pile groups.
2nd International Conference On Numerical Methods in Offshore
Piling, Texas University, Austin, 509-532.
Kim S H, Kwon S Y, Kim M M, Han J T. 2012. 3D Numerical
Simulation of a Soil-Pile System Under Dynamic Loading. Marine
Geosources & Geotechnology. 30(4), 347-361.
Klar, A. and Frydman, S. 2002. Three-Dimensional Analysis of Lateral
Pile Response using Two-Dimensional Explicit Numerical Scheme.
Journal of Geotechnical and Geoenvironmental Engineering, 128 (9),
775-784
Makris, N. and Gazetas, G. 1992. Dynamic pile-soil-pile interaction.
Part II: Lateral and seismic response. Earthquake Engineering and
Structural Dynamics, 21, 145-162.
Martin, G.R. and Chen, C. Y. 2005. Response of piles due to
lateral slope movement. Computers and Structures, Vol. 83, pp.
588-598
Taylor, R.N. 1995. Centrifuge in modelling: principles and scale effects.
GeotechnicalCentrifugeTechnology, 19-33
Yang E K. (2009). Evaluation of dynamic p-y curves for a pile in sand
from 1g shaking table tests. Ph.D. Dissertation, Seoul National
University.
Yoo M T, Han J T, Choi J I, Kim M M. 2012. Comparison of Lateral
Pile Behavior under Static and Dynamic Loading by Centrifuge Tests.
GeoCongress 2012. Oakland, CA, USA. 2048-2057
Two methods for estimating excess pore pressure in LEM

Deux mthodes pour estimer lexcs de pression interstitielle
Lehtonen V., Lnsivaara T.
Tampere University of Technology
ABSTRACT: Two methods for estimating excess pore pressure in undrained effective stress LEM calculations are presented. The
new methods take into account the excess pore pressure from undrained yielding of clay, which traditionally has been difficult to
model without the use of FEM. The method ru calculates yield-induced excess pore pressure based on an initial yield surface. The
work-in-progress method MUESA also takes into account factors such as overconsolidation and non-triaxial stress states. The paper
also discusses the implicit overestimation of shear strength in undrained effective stress calculations. It is suggested that failure state
pore pressure is universally used in the calculations to obtain a theoretically more sound definition of the factor of safety (F). The new
definition of F is also compatible with = 0 stability calculations. A calculation example is presented.
RSUM: Cet article prsent deux mthodes pour estimer lexcs de pression interstitielle de porosit dans les calculs LEM dun
espace ferm. Les nouvelles mthodes tiennent compte de l'excdent de pression interstitielle dans la production non draine de
l'argile, ce qui a toujours t difficile modliser sans l'utilisation d'lments finis. La mthode ru calcule le rendement induit par
excs de pression interstitielle reposant sur une surface d'lasticit initiale. Le mthode de travail MUESA en cours tient galement
compte des facteurs tels que la surconsolidation ainsi que les tats de contrainte non triaxiaux. Le document tudie galement la
surestimation implicite de la rsistance au cisaillement non drain dans les calculs de contraintes effectives. Il est suggr que ltat
des pressions interstitielles dfaillantes est universellement utilis dans les calculs dans le but dobtenir une dfinition thoriquement
plus solide du facteur de scurit (F). La nouvelle dfinition de F est galement compatible avec les calculs de stabilit = 0.
Larticle propose un exemple de calcul.
KEYWORDS: stability, pore pressure, modeling, LEM, clay, embankment
1
INTRODUCTION
In this paper two methods of modeling excess pore pressure in

undrained effective stress LEM calculations are presented. The
theoretical grounds leading to an overestimation of shear
strength are discussed.
In Finnish practice embankment stability on clayey subsoils
is commonly calculated using undrained shear strength (su)
measured with vane shear testing. This often results in
unrealistically low factors of safety, which underestimates the
safety and causes problems in directing stability improvement
measures. The problem mostly lies in uncertainties in
determining of su.
In undrained effective stress analyses the uncertainty in
parameters is generally smaller, but the problem lies in the
estimation of pore pressure at failure state. In limit equilibrium
(LEM) calculations the yield induced pore pressure is usually
totally disregarded, which then results in an overestimation of
safety. In finite element (FEM) analysis yield induced pore
pressure is possible to account for, but it requires the use of
quite advanced soil models and proper understanding of the
influence of model parameters on the development of pore
pressure.
It is thus recognized that there is a need for effective
engineering tools that account for the yield induced pore
pressure in a simple LEM calculation.
2
THEORETICAL BACKGROUND
The excess pore pressure response of soft clay is a complex

process with many affecting factors such as the stress history of
the clay, rate and direction of loading, structural anisotropy etc.
The excess pore pressure response of clay can (conceptually)
be divided into two components p and p, which represent
755
changes in total mean stress and effective mean stress,

respectively (Figure 1).
Figure 1. Components of excess pore pressure in (p, q) space.
The total stress component p represents excess pore pressure

caused by a change in the total stress state of the soil element.
As the clay is in undrained state and the total volumetric strains
equal to zero (assuming isotropic elasticity), the excess pore
pressure component is equal to change in total mean stress p.
When clay is yielding in the undrained state there will also
be a pore pressure component p that is caused by the
reorganizing of the clay structure. Normally consolidated or
lightly overconsolidated soft clays usually have a tendency for
volumetric compression while yielding. In the undrained state
this must be offset by excess pore pressure (again due to the
assumption of zero volumetric strains).
In constitutive soil models it is often assumed that for
overconsolidated clays the stress-strain response is elastic, i.e.
p is constant in undrained loading. The behavior changes when

the initial yield locus is reached and the clay begins to yield.
The direction of the undrained stress path is then determined by
the tendency of the clay fabric to compress or dilate. The
direction and shape of the stress path (and at the same note, the
amount of excess pore pressure) depends on several factors such
as the shape and size of the initial yield surface, initial stress
state and the rate of loading.
According to Lnsivaara (1999) a high strain rate results in
less excess pore pressure than a comparably lower strain rate
due to effects related to undrained creep. The result of this
behavior is that high strain rates result in higher undrained shear
strength than comparably lower rates.
2.1
Failure pore pressure in LEM
In conventional undrained c- calculations there is an inherent

overestimation of shear strength when for any factor of safety F
> 1. This is caused by the fact that for a given loading the
mobilized excess pore pressure is used in calculating the
equilibriums and shear strength. This approach disregards the
further increase of excess pore pressure between the mobilized
stress state and failure (which is not a problem in drained
calculations).
Shear stress is traditionally defined in LEM as:
f
e
(1)
Overprediction
of strength
where e is the equilibrium shear stress, f the corresponding

shear strength and F the factor of safety. This definition implies
a very specific stress path that is highly unrealistic in undrained
loading, for example under an embankment. (Tavenas et al
1980).
The corresponding definition of shear stress effectively
compares the mobilized shear stress e to an unrealistically
large strength f that can never be attained because of further
pore pressure buildup between the mobilized state and failure
(Figure 2). This pore pressure behavior is common for soft
normally consolidated or slightly overconsolidated clays that
generally exhibit compressive behavior.
fu
il
Fa
ure
te
sta
uil
Eq
s
um
ibri
tate
Figure 1. Overprediction of shear strength in typical undrained effective

stress calculations. (Lnsivaara et al 2011)
Consequently the definition of the factor of safety in undrained

c- calculations is actually different from the factor of safety
in = 0 calculations. In = 0 calculations the mobilized shear
stress e is always compared to a value of su that represents the
shear strength fe that can actually be mobilized for a given set
of physical conditions (consolidation, rate and direction of
shearing etc). The two otherwise conflicting definitions coincide
at F = 1. As a conventional undrained c- calculation for soft
clays will overestimate shear strength when F > 1, one cannot
756
even in theory expect the same result from a corresponding =

0 calculation (Leroueil et al 1990).
In light of this issue it is not enough just to accurately model
the mobilized excess pore pressure, but the implicit
overestimation of the factor of safety should also be taken into
account if possible. At the least, the designer needs to be aware
of these theoretical differences between the two methods and
interpret the results accordingly.
A proposed workaround for the overestimation of shear
strength is to universally use failure state pore pressure in the
calculation even for F > 1, regardless of the actual mobilized
pore pressure. This can be achieved in LEM if the effective
stress path from the initial state to failure (and the
corresponding excess pore pressure) can be approximated. In
(n, ) stress space this assumption places the effective normal
stress to its value at failure, thus giving the ability to compare
the shear stress with the shear strength at failure.
Since and F are co-dependent in LEM the mobilized shear
stress in the failure pore pressure formulation will be
slightly different from the corresponding traditional pore
pressure formulation. Whether the difference will be positive or
negative depends on several factors. According to studies with
the method MUESA (section 2.3) the induced error on the
factor of safety is small when compared to the overestimation of
shear strength caused by the traditional use of mobilized pore
pressure.
What the use of failure pore pressure does is effectively to
substitute an incorrect effective normal stress to obtain a more
realistic calculated shear strength. In LEM this can be
considered an acceptable tradeoff as the main purpose of LEM
is to obtain the factor of safety. If applied correctly, the shear
strength and thus the factor of safety will have a more realistic
value for F > 1 (when compared to the traditional approach of
using mobilized pore pressure). At F = 1 the two different
approaches coincide.
Two calculation methods for modeling the amount of yieldinduced pore pressure in undrained effective stress LEM
calculations are proposed in the following section. Both
methods employ an anisotropic yield surface to describe the
change of effective mean stress when clay is loaded to failure.
2.2 Method 1: ru
The method ru was developed for normally consolidated clays.
It should be considered as a simple engineering tool to model
yield-induced pore pressured for stability calculations of old
embankments.
Finnish soft clays are usually only very slightly
overconsolidated, mainly due to aging. Under old embankments
the clays have generally become normally consolidated.
If failure occurs, excess pore pressure will thus have
developed corresponding to a stress change from the initial in
situ state at the K0NC line to the failure state. The most critical
event corresponds to slow loading or long loading time allowing
for the yield induced pore pressure to develop. Excess pore
pressure from yielding can now be simply calculated as the
horizontal difference of the intersection of K0-line with the
initial yield surface, and the intersection of the failure line with
the yield surface in the (p, q) stress space. For this a proper
estimation of the yield surface is needed. It has been shown
(Lnsivaara 1995, Lnsivaara 1999) that the initial yield surface
can be estimated by knowing only the friction angle and the
preconsolidation pressure of the clay.
This can further be utilized by applying a pore pressure
parameter similar to the generally used ru, with the exception
that it now stands for yield induced pore pressure and should be
applied to effective vertical stress. This pore pressure parameter
is referred as ru and is defined as:
uey
1
ru '
f (v 0 ' , )
v 0 ' v 0 '
(2)
where uey = yield induced excess pore pressure. The graphical

solution for ru (Lnsivaara 2010) is shown in Figure 3.
0,26
pore pressure parameter ru'
0,24
0,22
0,2
0,18
0,16
0,14
0,12
0,1
18
20
22
24
26
28
30
32
34
friction angle
Figure 2. Effective stress pore pressure parameter ru as function of

friction angle (Lnsivaara 2010). The solution is valid for normally
consolidated (K0) clays.
This simple method is strictly valid only for active loading, and
in the passive part of the failure envelope the pore pressure
increase would be higher. However, as discussed by Lnsivaara
(2010) this error is compensated by the fact that next to the
embankment the soil is at least slightly overconsolidated, which
in turn leads to proportionally lower excess pore pressure.
2.3 Method 2: MUESA
The calculation method MUESA (Modified Undrained
Effective Stress Analysis) is partly derived from the method
UESA proposed by Svan (1981). MUESA accounts for
anisotropy, non-triaxial stress states and overconsolidation
In MUESA the amount of excess pore pressure is calculated
based on stress changes in relation to the initial stress state
(before the start of undrained loading). Excess pore pressure u
is expressed as:
u p p '
(3)
For a given slip surface, an initial stress state along a slip

surface is calculated assuming K0-conditions. This assumption
is not very accurate for slopes but is reasonably valid for
embankments on nearly horizontal soil. The initial stress state is
defined as the state before undrained loading, such as a traffic
embankment without external loading. The embankment with
traffic load applied would then be the design stress state.
An initial assumption for the pore pressure (e.g. ground
water + excess pore pressure) acting on the bottom of each slice
is made. The limit equilibrium is then calculated in regular
fashion (with the loading in place), using this initial pore
pressure assumption. The desired LE method (e.g. MorgensternPrice, Janbus simplified etc.) can be used. The stress state (n,
) resulting from the equilibrium is used to calculate the next
assumption for u. The process continues iteratively until pore
pressure converges. The value of the initial assumption (within
realism) has no effect on the final result but good assumptions
lead to fast convergence.
To calculate excess pore pressure its two components p and
p need to be calculated. The component p can be calculated
by using basic principles of continuum mechanics and the
assumption of the Mohr-Coulomb failure criterion. The two
compared stress points are the initial total mean stress p0 and
either mobilized or failure total mean stress (pmob or pf).
A three-dimensional stress space (with three principal
stresses) is used to determine p so that non-triaxial stress states
757
can also be considered (p = p(1, 2, 3)). The principal stresses

are easily derived using basic continuum mechanics.
The effective stress component p is derived from the yield
surface formulation of the constitutive soil model S-CLAY1
(Wheeler et al 2003). S-CLAY1 is in good agreement with tests
done on soft, lightly overconsolidated clays. The only
parameters needed to define the initial yield surface are the
friction angle and the vertical consolidation pressure c.
To obtain p the effective mean stress at failure pf needs to
be calculated. In the current formulation of MUESA it is
assumed that the stress path follows the initial yield surface in
the normally consolidated state (no volumetric hardening), and
the stress path terminates at the intersection of the yield surface
and the failure line. The assumption of no volumetric hardening
can be regarded as the absolute maximum for the amount of
excess pore pressure and minimum of shear strength and the
calculation is thus on the safe side. The effective mean stress at
failure pf is solved as the intersection of the S-CLAY1 yield
surface and the DruckerPrager failure surface in the principal
stress space (1, 2, 3).
In MUESA the use of failure pore pressure is considered as
described in Section 2.1. The use of failure pore pressure is
fairly simple as only the initial and failure stress states need to
be considered, and the actual stress path in between can be
disregarded. The method seems to be most sensitive to
assumptions regarding anisotropy, especially in the passive end
of the slip surface. Hardening will be implemented in the future.
3
CALCULATION EXAMPLE
A calculation example is a test embankment from Salo, Finland,

where a full-scale railway embankment failure experiment was
carried out in 2009 (Lehtonen 2011). An embankment on
sensitive clay soil was quickly brought to failure, simulating a
very heavy train coming to a standstill. Extensive pore pressure
measurements were continuously conducted.
Table 1. Soil properties in the example.
Soil
layers
Emb.
Sand fill
Dry crust
Clay
[kN/ '
3
m ] []
20
19
17
15
c'
[kPa]
38
35
0
0
25
dsu
su
POP
[kPa/m
[kPa]
[kPa]
]
30
12
1.5
20
ru'
0.2
The soil conditions and calculation parameters are give in Table

1. A small embankment is loaded with a 2.5 m wide rain load.
The subsoil consists of a fill layer of sand, dry crust and a soft,
slightly overconsolidated clay layer (POP = 20 kPa). Under the
soft clay there are layers of clayey silt and moraine, but these
are disregarded here as the slip surface is not located in them.
Ground water level is near the bottom of the dry crust.
Figure 3. Soil geometry and slip surface used in the example. Soil layers
from top down are embankment, sand fill, dry crust, clay and clayey silt.
A same slip surface that approximates the actual failure

geometry in the experiment was used for all calculations (Figure
4). All calculations were made with the Morgenstern-Price
method with interslice force function f(x) = sin (x).
In the ru calculation additional excess pore pressure from
the loading was modeled to ensure realistic shear strength in the
loaded slices. The MUESA calculation modeled the
overconsolidation POP = 20 kPa in the clay layer, while the ru
calculations assumed normally consolidated conditions as
described in Section 2.1. In addition, a = 0 calculation was
made using su values measured with vane shear testing.
Table 2 compares the factor of safety at 30 kPa external load,
as well as the magnitude of the failure load.
It is seen that results (Table 2) with both new methods are
plausible and in fairly good agreement both with the results of
the = 0 calculation and actual observations from the
experiment. It must however be noted that the = 0 calculation
is still subject to inaccuracies and uncertainties of its own, but
here the extensive soil investigations reduce the uncertainties
involved.
The methods are intended as simple and effective calculation

tools for basic design purposes.
The method ru offers a simple pore pressure parameter for
modeling yield-induced excess pore pressure at failure.
The method MUESA is used to take into account the various
factors that affect excess pore pressure in undrained c-
calculations. It also makes it possible to universally use failure
pore pressure. This makes the calculation theoretically
comparable to = 0 calculations. MUESA is still in
development stage, and will be refined further.
These new calculation methods offer an analytical approach
to modeling excess pore pressure in LEM. While they cannot
take into account all the factors that an ideal FEM calculation
could, they can nevertheless be considered very useful and
effective engineering tools.
Table 2. Calculation results.
ru
1,43
Failure load
[kPa]
74
MUESA
1,37
64
su
1,48
71
F for 30 kPa load
The calculated excess pore pressure levels (Figure 5) are

reasonably close to what was measured at the site before failure
(taking into account how LEM does not distribute excess
loading). At failure excess pore pressures of 10...15 kPa were
measured on the centre part and passive end of the failure zone,
while much higher pressures were measured under the
embankment.
Figure 4. Calculated excess pore pressure levels for load q = 30 kPa
The test embankment eventually failed at a load of 87 kPa.

Many factors lead to this high failure load, one of the most
significant being the time-dependency of pore pressure increase.
It has been estimated that the failure could well have occurred at
a load of ca. 70 kPa, if enough time would have been given for
pore pressure to develop at that load level.
MUESA in its current development state has a tendency to
overestimate the excess pore pressure because volumetric
hardening is not accounted for. This will be rectified in
upcoming versions.
4
CONCLUSIONS
In this paper a concept of universally using failure pore pressure

in undrained effective stress calculations is proposed. Two
calculation methods for modeling excess pore pressure in
undrained effective stress stability calculations are presented.
758
ACKNOWLEDGEMENT
The authors thank the Finnish Transport Agency for the funding
of the research project.
REFERENCES
Lehtonen, V. (2011). Instrumentation and analysis of a railway

embankment failure experiment. Research reports of the Finnish
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clays. Ellis Horwood Ltd, 360 p.
Lnsivaara, T. (2010). Failure induced pore pressure by simple
procedure in LEM. In: Benz, T. et al. (eds.). Numerical Methods
in Geotechnical
Engineering. Proceedings of the Seventh
European Conference on Numerical Methods in Geotechnical
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509-514.
Lnsivaara, T. (1999). A study of the mechanical behavior of soft clay.
Doctoral thesis, Department of Geotechnical engineering, NTNU
Trondheim
Lnsivaara, T. (1995). A critical state model for anisotropic soft soils.
Proceedings of the 11th European Conference on Soil Mechanics
and Foundation Engineering, ECSMFE, Vol. 6, Copenhagen.
Lnsivaara, T., Lehtonen, V. & Mansikkamki, J. (2011). Failure
induced pore pressure, experimental results and analysis. 2011 PanAm CGS Geotechnical
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Svan, G. (1981). Undrained effective stress analysis. NTH Trondheim,
160 p.
Tavenas, F., Trak, B. & Leroueil, S. (1980). Remarks on the validity of
stability analyses. Canadian Geotechnical Journal 17, 61-73
Wheeler, S., Ntnen, A., Karstunen, M. & Lojander, M. (2003). An
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Comparison of 3D Finite Element Slope Stability With 3D Limit Equilibrium Analysis

Comparaison de la stabilit des lments 3D pente finie avec l'analyse limite d'quilibre 3D
Lu H.H., Xu L.M., Fredlund M.D.
SoilVision Systems Ltd., Saskatoon, SK., Canada
Fredlund D.G.
Golder Associates Ltd., Saskatoon, SK., Canada
ABSTRACT: The two-dimensional (2D) limit equilibrium analysis is widely used in geotechnical engineering for slope stability
analysis. Three-dimensional (3D) slope stability analysis is rarely performed although all slope failures are 3D in reality. The 3D
shear strength reduction (SSR) technique using finite element method (FEM) analysis and 3D limit equilibrium method (LEM) based
on columns to predict a factor of safety for slopes have been in existence for decades. Recent software tools allow the improved
analysis of 3D slope stability through LEM and SSR techniques. The purpose of this paper is primarily to compare 3D FEM-SSR
analysis with 3D LEM analysis through the examination of benchmark slope stability analysis examples. The results indicate that
there is reasonable agreement between these two methods.
RSUM : L'analyse d'quilibre limite en deux dimensions (2D) est la mthode d'analyse de stabilit des pentes la plus couramment
utilise en gotechnique. L'analyse de stabilit des pentes en trois dimensions (3D) est rarement effectue bien que tous les
glissements de terrain sont en ralit tridimensionnels. La technique de la rduction de rsistance au cisaillement (SSR) en 3D
utilisant la mthode des lments finis (FEM), ainsi que l'analyse d'quilibre limite (LEM) en 3D base sur des colonnes pour prdire
un facteur de sret pour des pentes, existent depuis des dcennies. Les codes de calcul rcents permettent d'amliorer l'analyse de
stabilit des pentes en 3D l'aide des techniques de LEM et de SSR.
Le but de cet article est principalement de comparer l'analyse de FEM-SSR en 3D avec l'analyse de LEM en 3D travers des
exemples de rfrence d'analyse de stabilit. Les rsultats indiquent qu'il y a un accord raisonnable entre ces deux mthodes.
KEYWORDS: 3D Slope Stability Analysis, Shear Strength Reduction, Limit Equilibrium Method, Finite Element Method.
1
INTRODUCTION
The 2D LEM is widely used in geotechnical engineering for

slope stability analysis. However all slope failures are 3D in
reality. The 2D approach is generally considered to be
conservative in that 3D influences of geometry are not
accounted for in a 2D analysis. Furthermore, the assumption
that 2D analyses lead to conservative factors of safety is correct
only when the critical pessimistic section of the 3D model is
selected for the 2D analyses. It is time consuming to ensure that
the 2D section model is the critical pessimistic 2D section for
some general slopes. The use of 3D slope stability analysis is
important to model real world problems, to make the designs
more economic, and to provide a guide for 2D designs. It is
useful, for example, to know exactly what percentage the 3D
FOS is higher than the 2D analysis. The most common methods
for 3D slope stability analysis are 3D LEM based on columns
and 3D SSR based on FEM analysis.
1.1
3D LEM slope stability analysis
3D LEM slope stability analysis is traditionally based on an

extension of 2D LEM analysis. Many researchers have done
work on 3D LEM analysis (Hovland 1977, Hungr, Zhang 1988,
Salgado and Byrne 1989, Lam and Fredlund 1993, Cheng, etc.
2005). The slicing method in 2D analyses has been extended
into 3D analysis with columns by various authors due to the
popularity of 2D LEM slicing methods. Some of the benefits of
the 2D slicing method include its ability to accommodate
complex geometries, variable soils, water pressure conditions
and different reinforcement systems, etc..
The majority of the 3D LEMs are based on the assumption
that the failure direction is pre-defined in order to derive the
FOS equations, i.e. the failure sliding direction is not part of the
slope stability analysis solution. Location of the critical failure
surface and its direction is a tough global optimization problem.
759
Jiang (1997), Yamagami and Jiang (1997) provided a

optimization-minimization procedure (OMP) for their Dynamic
Programming (DP) (Baker, 1980) and random number
generation technique to find the critical slip surface and
corresponding sliding direction. Cheng and Yip (2003) derived
3D asymmetric slope stability analysis equations based on
extensions of simplified Bishop, simplified Janbu and
Morgenstern-Price methods, and the direction of slide can be
determined from 3D force/moment equilibrium equations. Their
formulation is equivalent to Yamagami and Jiang's OMP.
SoilVision Systems Ltd. (SVS) has incorporated all the
popular 3D LEMs into its commercial 3D slope stability
analysis software - SVSLOPE 3D. Recently SVS has added a
new feature to search for the critical slip surface sliding
direction in 3D, which is similar to Jiang (1997)'s procedure.
This feature enables the modeling of 3D slopes by the LEM at
any angle and is applicable for municipal designs including
calculation of setback distrances as well as the stability of open
pits in the mining industry as well as other applications.
1.2
3D FEM-SSR slope stability analysis
The finite element method (FEM) has been extensively used to

analyze various geotechnical problems. To perform slope
stability analysis with the FEM, the SSR technique dictatates
that the soil shear-strength is gradually reduced until failure
conditions occur. The factor of safety (FOS) for a SSR analysis
is defined as the ratio of the shear strength of the soil to the
shear stress developed along the critical failure surface. This
relationship is presented in the following equations.
where and are the cohesion and angle of internal friction
for the Mohr-Coulomb shear strength parameters. and
are
factored shear strength parameters. SRF is called the strength
reduction factor. In order to reach to the state of limiting
factored shear strength parameters. SRF is called the strength

reduction factor. In order to reach to the state of limiting
equilibrium, the SRF is gradually increased. This means that the
soil shear strength becomes weaker, until it is no longer possible
Proceedings
the 18thtoInternational
Conference
on Soil
for
the FE modelofanalysis
reach convergence.
At this stage,
it Mechanics and Geotechnical Engineering, Paris 2013
can be said that failure of the slope occurs and the FOS equals
the SRF. Non-convergence within a specified number of
Figure 2. Contour of total displacement of 3D FEM-SSR analysis for
iterations and tolerance is an indicator of slope failure because
example 1 at the final stage.
of the absence of force equilibrium (i.e. stress and displacement
distributions
that
satisfy
the
equations
of
equilibrium
cannot
be
equilibrium, the SRF is gradually increased. This means that the
established based on the factored set of shear strength
soil shear
strength becomes weaker, until it is no longer possible
parameters).
for the FE
model analysis to reach convergence. At this stage, it
The FEM-SSR analysis has been shown to be a powerful and
can bea useful
said that
failure of
the slope occurs
thestability
FOS equals
alternative
to conventional
LEMand
slope
analysis
the SRF.
Non-convergence
specified
of
technique,
Griffiths et alwithin
(1999,a 2007),
Wei,number
etc. (2009).
iterations
and tolerance
anhas
indicator
of slope
becauseinto
SoilVision
Systems is
Ltd.
incorporated
the failure
3D FEM-SSR
of theits
absence
of force
equilibrium
(i.e. stress
and displacement
commercial
package
- SVSOLID
3D. Consequently,
the 3D
distributions
thatissatisfy
the equations
be
FEM-SSR
now readily
availableoftoequilibrium
geotechnicalcannot
engineering
established
practice.based on the factored set of shear strength
parameters).
The
analysis has been shown to be a powerful and
2 FEM-SSR
EXAMPLES
a useful alternative to conventional LEM slope stability analysis
Figure 3. Y-section view of the contour of the total
2.1 Example
- 3Dalslope
with 2007),
external Wei,
load etc. (2009).
technique,
Griffiths 1 et
(1999,
Figure 3. Y-section
view of1the contour of the total displacement for
displacement
for example
SoilVision Systems Ltd. has incorporated the 3D FEM-SSR into
example 1
Wei, Cheng and Li (2009) considered a slope with a
its commercial
package
- SVSOLID
3D.
Consequently,
theshow
3D a
rectangle area
of vertical
external
loading
in order to
FEM-SSR
is 3D
nowfailure
readily
available
to geotechnical
distinct
surface.
As shown
in Figure engineering
1, the vertical
practice.
distribution loading length is 8m and width is 2m, while in Wei,
etc. (2009) many different combinations of length and width
2 EXAMPLES
were considered. The edge of the loading is 1m away from the
crest of the slope. The magnitude of the distribution load q is
2.1 equal
Example
- 3DThe
slope
to 1001kPa.
soilwith
shearexternal
strengthload
properties are cohesion
of 20 kPa, an angle of internal friction of 20 degrees and a unit
Wei,
Cheng
(2009)
considered
a slope
with
a
weight
of 20and
kPa.Li Table
1 shows
the results
of the
various
rectangle
area of
vertical
external
ordertheto distinct
show a3D
analyses.
Figure
2 and
Figure loading
3 clearlyinshow
distinct
3D failure
shown in Figure
the vertical
failure
surface surface.
based onAs
a FEM-SSR
analysis.1,Figure
4 shows
distribution
loading
8m and
is 2m,analysis.
while inItWei,
the critical
sliplength
surfaceisbased
on width
a 3D LEM
can be
etc. (2009)
many
combinations
length
seen that
bothdifferent
the failure
slip surfaceofshape
andand
FOSwidth
values
were considered.
The edge
of the
1m away
from the FEM-SSR
result
andloading
the 3DisLEM
result from
matchthe
well
crest of
thetheslope.
of the distribution load q is
with
Wei etThe
al. magnitude
(2009) result.
equal to 100 kPa. The soil shear strength properties are cohesion
Figure
4. Critical
slip mass
the 3DofLEM
with explosive
Figure
4. Critical
slipofmass
theanalysis
3D LEM
analysis view
with
of 3D FOS
for the of
slope
Exampleand
1 a unit
for example
1 for example 1
of 20 Table
kPa, 1.
anComparison
angle of internal
friction
20indegrees
explosive
view
weight of 20 kPa. Table 1 shows the results of the various
SVSLOPE3D
etc( 2009)
analyses. Figure
2 and Figure SVSOLID3D
3 clearly show the Wei,
distinct
3D
(SSR)
failure surface(LEM)
based on a FEM-SSR
analysis. Figure 4(SSR)
shows
2.22.2
Example
2 - A2 nonsymmetrical
slope
with
corners
Example
- A nonsymmetrical
slope
with
corners
the critical slip1.359
surface based on a1.402
3D LEM analysis. It1.42
can be
One
analysis isis that
that
Oneofofthe
theadvantages
advantagesofofthe
the 3D
3D FEM-SSR
FEM-SSR analysis
seen that both the failure slip surface shape and FOS values
thethe
sliding
in advance.
advance.AA
slidingdirection
directiondoes
doesnot
notneed
need to
to be
be specified
specified in
from the FEM-SSR result and the 3D LEM result match well
limitationforfor 3D
3D column-based
column-based LEMs
LEMs is that the
limitation
the sliding
sliding
with the Wei et al. (2009) result.
directionofofthe
thecritical
criticalslip
slip surface
surface is
is another
another variable
direction
variable which
which
mustbebedetermined
determinedthrough
through aa searching
searching procedure.
procedure. A
must
A new
new
Table 1. Comparison of 3D FOS for the slope in Example 1
featurehas
hasbeen
beenadded
added inin SVSLOPE
SVSLOPE 3D to search
feature
search for
for the
the
criticalslip
slipsurface
surface direction
direction with
with optimization.
optimization. There
SVSLOPE3D
SVSOLID3D
Wei, etc( 2009)
critical
There isis
continuedusefulness
usefulnessininthe
theLEM
LEM because
because of
of its
continued
its computational
computational
(LEM)
(SSR)
(SSR)
efficiency.
Computational
times
for
FEM-SSR
efficiency. Computational times for FEM-SSR methods
methods are
are
significantlyhigher
higherthan
thanfor
for LEM
LEM analysis.
analysis. This
This efficiency
1.359
1.402
1.42
significantly
efficiency isis
particularlyuseful
useful inin performing
performing aa 3D
3D analysis
particularly
analysis when
when the
the
number of computations is significantly increased. The purpose
number of computations is significantly increased. The purpose
of this example is to test the efficiency of both 3D FEM-SSR
of slope
this example
is to test the efficiency of both 3D FEM-SSR
stability analysis and 3D LEM slope stability analysis for
slope stability analysis and 3D LEM slope stability analysis for
Figure 1. The geometry of the slope with external load in SVSLOPE 3D
general slopes without evident sliding direction information
available.
In this example, a general asymmetrical slope with inclined
corners is considered. As shown in Figure 5 and Figure 6, there
are three slopes with different inclinations, the right slope's
Conference on Soil Mechanics and Geotechnical Engineering, Paris 2013
inclination
is 1:2, the left slope's inclination is 1:1.5 and the
2
middle slope's inclination is 1:1.3 respectively. This model is
the soil to the
digitized from Jiang (1997). The soil's Mohr-Coulomb shear
surface. This
strength parameters are a cohesion of 5 kPa and an angle of
Figure
1.
The
geometry
of
the
slope
with
external
load
in
SVSLOPE
3D
s.
internal friction of 12 degrees.
Table 2 shows the comparison from different analysis
results. Jiang (1997) shows a FOS = 0.96 based on 3D
Simplified Janbu method with DP searching. The FOS from
FEM-SSR analysis is 0.941. The contour of the final
nternal friction
displacement at the final stage is shown in Figure 7. The critical
and
are
d the strength
slip mass based on 3D LEM analysis is shown in Figure 6. The
te of limiting
FOS is 0.957 and 0.977 separately for Simplified Bishop and
means that the
Spencer method. The critical slip direction also needs to be
onger possible
found. As shown in Figure 8, the critical slip surface direction is
At this stage, it
43 degree counter-clock wise from the negative x direction. It
Figure
2.
Contour
of
total
displacement
of
3D
FEM-SSR
analysis
for
he FOS equals
can be seen clearly that both the shape and slip direction are
example
1
at
the
final
stage.
d number of
Figure 2. Contour of total displacement of 3D FEM-SSR analysis for
ailure because
example 1 at the final stage.
d displacement
ium cannot be
760
hear strength
a powerful and
Simplified Janbu method with DP searching. The FOS from

FEM-SSR analysis is 0.941. The contour of the final
displacement at the final stage is shown in Figure 7. The critical
Figure 8. Plot of rotation angle vs. FOS for Example 2
slip mass based on 3D LEM analysis is shown in Figure 6. The
Technical
Committee
103
/
Comit
technique 103
FOS is 0.957 and 0.977 separately for Simplified Bishop and
Table 2. Comparison of 3D FOS for the slope in Example 2
Spencer method. The critical slip direction also needs to be
found. As shown in Figure 8, the critical slip surface direction is
SVSLOPE3D
SVSOLID3D
Jiang( 1997)
43 degree counter-clock wise from the negative x direction. It
(LEM)
(SSR)
(LEM+DP)
can be seen clearly that both the shape and slip direction are
veryclose
closebetween
betweenthetheFEM-SSR
FEM-SSRanalysis
analysisand
andthetheLEM
LEM Table 2. Comparison
of
3D
FOS
for
the
slope
in
Example
2
very
0.957 (Bishop),
0.941
0.96
analysis
seen
Figure
6 and
Figure
analysis
asas
seen
inin
Figure
6 and
Figure
7. 7.
0.977 (Spencer)
SVSLOPE3D
(LEM)
0.957
(Bishop),
CONCLUSIONS
0.977 (Spencer)
SVSOLID3D
Jiang( 1997)
(SSR)
(LEM+DP)
0.941
0.96
An actual slope failure occurs along the most critical sliding

direction that is often unknown for general 3D slopes.
3 Determination
CONCLUSIONS
of the critical slip surface and its FOS involves
the search for the criticl sliding direction. One of the advantage
An actual slope failure occurs along the most critical sliding
of FEM-SSR technique is that it does not need to specified the
direction that is often unknown for general 3D slopes.
sliding direction in advance, however it can not give the exact
Determination of the critical slip surface and its FOS involves
sliding direction angle value either. SVSLOPE 3D provides an
the search for the criticl sliding direction. One of the advantage
optimizaton technique that can find the critical sliding direction
of FEM-SSR technique is that it does not need to specified the
as part of FOS search.
sliding direction in advance, however it can not give the exact
sliding direction angle value either. SVSLOPE 3D provides an
Based on Example 1 it can be seen that both the failure slip
optimizaton technique that can find the critical sliding direction
surface shape and FOS values from the FEM-SSR result and the
as part of FOS search.
3D LEM result match well with the Wei et al. (2009) result. The
second example also demonstrates the similarity of results
Based on Example 1 it can be seen that both the failure slip
between analyzing a complex 3D slope stability geometry
surface shape and FOS values from the FEM-SSR result and the
where the direction of the slip may have an effect on the
3D LEM result match well with the Wei et al. (2009) result. The
calulated FOS.
second example also demonstrates the similarity of results
between analyzing a complex 3D slope stability geometry
These results demonstrate the usefulness of both 3D LEM and
where the direction of the slip may have an effect on the
FEM-SSR methodologies for the analysis of slope geometries
calulated FOS.
and loading conditions which are fundamentally 3D in nature.
Figure
Plan
view
elevation
contour
Example
Figure
5. 5.
Plan
view
of of
elevation
contour
of of
Example
22
These results demonstrate the usefulness of both 3D LEM and

FEM-SSR methodologies for the analysis of slope geometries
4 REFERENCES
and loading conditions which are fundamentally 3D in nature.
Baker R. 1980. Determination of the critical slip surface in slope
stability computations. Int. J. for Numerical and Analytical
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Methods in Geomechanics, 4, 333-359.
Cheng Y.M. 2003. Locations of critical failure surface and some further
Baker studies
R. 1980.
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of the critical
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surface
in slope30
on slope
stability analysis.
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Geotechnics
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in Geomechanics,
333-359.
Cheng
Y.M.,
Liu H.T., Wei4,W.B.
and Au S.K. 2005. Location of
Cheng critical
Y.M. 2003.
Locations of critical
failure surface
and some
three-dimensional
non-spherical
failure surface
byfurther
NURBS
studies
on slope
Computers and
30
functions
and stability
ellipsoidanalysis.
with applications
to Geotechnics
highway slopes.
(3),Computers
255267. and Geotechnics 32 (6), 387-399.
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Y.M.,
Liuand
H.T.,
Wei
W.B.
andSlope
Au S.K.
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of
Griffiths
D.V.
Lane
P.A.
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analysis
by finite
critical
three-dimensional
failure surface by NURBS
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functionsD.V.
andand
ellipsoid
withR.M.
applications
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Griffiths
Marquez
2007. Three-dimensional
slope
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and Geotechnics
32 (6), 387-399.
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by elasto-plastic
finite elements, Gotechnique, 57
Griffiths
and Lane P.A. 1999, Slope stability analysis by finite
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H.J.Gotechnique,
1977. Three-dimensional
slope stability analysis method.
Griffiths
D.V. and
2007.
Three-dimensional slope
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Eng Marquez
Div, ASCER.M.
103 (9),
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stability
elasto-plastic
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Hungr
O., analysis
Salgado by
F.M.
and Byrnefinite
P.M.elements,
1989. Evaluation
of a three(6),dimensional
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Hovland
H.J. 1977. Journal,
Three-dimensional
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Hungr O., Salgado F.M. and Byrne P.M. 1989. Evaluation of a threedimensional method of slope stability analysis. Canadian
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Jiang J.C. 1997. Determination of the three-dimensional critical slip
3 surface in slope stability analysis, PhD thesis, the University of
Tokushima, Tokushima, Japan.
Lam L. and Fredlund D.G. 1993. A general limit equilibrium model for
three-dimensional slope stability analysis, Canadian Geotechnical
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Wei W.B., Cheng Y.M. and Li L. 2009. Three-dimensional slope failure
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Computers and Geotechnics, 36 (1-2), 7080.
Yamagami T. and Jiang J.C. 1997. A search for the critical slip surface
in three dimensional slope stability analysis. Soils and Foundation
37 (3), 16.
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Figure
Critical
slip
mass
Example
2 from
LEM
analysis
Figure
6. 6.
Critical
slip
mass
of of
Example
2 from
thethe
3D3D
LEM
analysis
Figure
7 Contour
total
displacement
from
FEM-SSR
analysis
Figure
7 Contour
of of
total
displacement
from
FEM-SSR
analysis
Figure 8. Plot of rotation angle vs. FOS for Example 2
761
Modelling of soil-structure interaction for seismic analyses of the Izmit Bay Bridge
Modlisation de linteraction sol-structure pour lanalyse sismique du pont de la baie dIzmit
Lyngs J. H., Kasper T., Bertelsen K.S.
COWI A/S, Denmark
ABSTRACT: The Izmit Bay Bridge will carry the new Gebze-Orhangazi-Bursa-zmir motorway across the Sea of Marmara at the
Bay of Izmit, Turkey. The suspension bridge with 1550 m long main span will be subjected to strong seismic events. The tower
foundations are prefabricated reinforced concrete caisson structures that are installed on prepared gravel beds on Pleistocene deposits,
reinforced by driven steel pile inclusions. The design allows for limited permanent displacements in the subsoil and in the gravelcaisson interface during high magnitude seismic events, in order to limit the forces imposed on the superstructure. The displacements
and forces in the bridge during seismic events are calculated in displacement-based time history analyses in a global finite element
model. This paper describes how the behaviour of the gravel bed and the reinforced subsoil is modelled by distributed sets of vertical
and horizontal translational springs, dashpots and gapping elements. The nonlinear horizontal springs are based on hyperbolic
relations, generalised in two dimensions, coupled with the local vertical stress and capable of producing hysteresis according to the
extended Masing rules. The paper demonstrates an advanced, yet feasible, modelling method that has been put into practice.
RSUM : Le pont de la baie d'Izmit portera la nouvelle autoroute Gebze-Orhangazi-Bursa-Izmir dans la baie d'Izmit en Mer
Marmara, en Turquie. Le pont suspendu avec une trave principale 1550 m de long sera soumis de fortes contraintes sismiques. Les
fondations des pylnes sont des caissons en bton arm prfabriqus installs sur des assises granulaires prpares sur les dpts du
Plistocne renforcs par des pieux en acier. Afin de rduire les forces exerces sur la superstructure lors dvnements sismiques de
magnitude leve, le concept de fondation autorise des dformations permanentes linterface entre le caisson et lassise granulaire
ainsi que dans les matriaux du sol naturel. Les dformations et efforts dans la superstructure lors d'vnements sismiques sont
calculs sur la base dacclrogrammes de dplacements dans un modle global aux lments finis. Cet article dcrit les mthodes de
modlisation du comportement de lassise granulaire et du sol renforc par un ensemble de ressorts verticaux et horizontaux,
amortisseurs et ouvertures. La modlisation des ressorts horizontaux non-linaires est base sur des relations hyperboliques,
gnralises en deux dimensions, associes la contrainte verticale locale et capable de produire une hystrsis selon les rgles
gnralises de Masing. L'article montre une mthode de modlisation complexe, nanmoins ralisable et qui a t mise en pratique.
KEYWORDS: Foundation design, Suspension bridge, Seismic time history analysis, Soil-structure interaction, Finite element
MOTS-CLS : tudes des fondations, Pont suspendu, Analyse sismique par acclerogramme, Interaction sol-structure, lments finis
1
INTRODUCTION
The Izmit Bay Bridge, shown in Figure 1, is a suspension bridge

with a steel superstructure
The bridge is currently under construction and has a 1550 m
main span and two 566 m long side spans. The bridge deck is a
steel box girder, which carries six road lanes and is located
between 60 and 80 m above the sea level. The top elevation of
the tower is 252 m above the sea level. Each tower has two steel
legs and two steel cross-beams, and their foundations consist of
a pre-fabricated concrete caisson placed on a gravel bed on
improved soil at 40 m water depth. The anchorages of the
bridge are concrete gravity structures.
Figure 1. Global geometry model of the bridge.
The project site in the north-western part of Turkey is

located in the area of the North Anatolian Fault with high
seismicity. The North Anatolian Fault stretches over
approximately 1600 km in east-western direction along the
Black Sea coast of Turkey. It is a major right lateral strike slip
fault that forms the tectonic boundary between the Eurasian
Plate and the Anatolian block of the African Plate. The North
763
Anatolian Fault zone forms a narrow band that splays into three
strands in the eastern Marmara Sea region. The northern strand
occupies the Izmit Bay and projects across the project
alignment, presenting the greatest seismogenic hazard source in
the site area. A number of earthquakes with moment magnitudes
Mw between 7 and 8 have been recorded in the region. A
project-specific seismic hazard study has been carried out based
on a detailed review of the literature.
Three different seismic events with different return periods
and seismic performance criteria were defined as a basis for the
seismic design of the bridge: For the Functional Evaluation
Earthquake (FEE) with a return period of 150 years, immediate
access to normal traffic and minimal damage (essentially elastic
performance) are required. For the Safety Evaluation
Earthquake (SEE) with a return period of 1000 years, limited
access within days, full service within months and repairable
damage without closure to traffic are required. For the No
Collapse Earthquake (NCE) with a return period of 2475 years,
significant damage without collapse is allowed. For the FEE,
SEE and NCE, the rock outcrop peak ground acceleration is
0.25g, 0.65g and 0.87g, respectively.
Time history analyses with a global finite element model (cf.
Figure 3) formed the basis for the seismic design of the bridge.
For each of the three seismic events, seven sets of near surface
displacement time histories with three orthogonal components
were derived from site response analyses for each bridge
foundation.
This paper focuses on the soil-structure interaction
modelling of the tower foundations by means of distributed sets
of vertical and horizontal translational springs, dashpots and
gapping elements, which form the support of the tower
foundation caissons in the global model and to which the
displacement time histories are applied in the seismic analyses.

The springs, dashpots and gapping elements have been derived
to provide a realistic, best-estimate representation of the
nonlinear soil-structure interaction during seismic events based
on unfactored material parameters.
2
TOWER FOUNDATIONS
The concept of limiting the seismic forces in the superstructure

by seismic base isolation of the bridge piers (FIB 2007) has
previously been used e.g. for the Rion-Antirion cable-stayed
bridge in Greece (Yang et al. 2001). The pier foundations were
placed on a gravel bed on soil improved with steel pile
inclusions, which are not connected to the foundations. Such a
solution allows for rocking, gapping and sliding of the
foundations. The same concept is used for the tower foundations
of the Izmit Bay Bridge.
The tower foundation caissons with a 54 x 67 m footprint
area are placed on a 3 m thick gravel bed, as shown in Figure 2.
13 x 15 rows of 2.0 m diameter and 34.25 m long driven steel
pile inclusions with wall thicknesses of 20 to 25 mm are used to
improve the subsoil under each caisson in order to provide
sufficient bearing capacity and limit the permanent
displacements within the subsoil under ship impact and seismic
events.
The ground conditions of the tower foundations are
characterised by sand and clay layers. The spacing of the pile
inclusions is 5 m in both directions. The pile inclusions stop
within the gravel bed, 0.75 m below the gravel bed surface.
3
Figure 3. IBDAS global finite element model of the bridge.
Use of distributed foundation supports

Horizontal response coupled to vertical force
Non-linear, hysteretic spring formulation
Two-dimensional generalisation of springs
Global model
The global finite element model is established in IBDAS (cf.

Figure 3). The entire bridge is described in a single model,
capable of non-linear construction phase modelling, response
spectrum analysis as well as fully non-linear time domain
calculations.
3.2
Figure 2. Tower foundation vertical section.
MODELLING CONCEPT
In order to model the above mentioned foundation

characteristics in sufficient detail, a finite element
representation of the soil-foundation interface is developed and
implemented in COWI's FE-software for bridges, IBDAS
(Srensen et al. 1990). Special features for this soil-foundation
model include:
3.1
respect to the location below the foundation base plate. The

discretization of the distributed supports was investigated, and it
has been found that a 13-by-15 grid provided sufficient
resolution and accuracy.
Distributed supports
In typical applications for global modelling, the soil-structure

interface of a caisson may be represented by a single-point
support stiffness matrix, see e.g. (Lam et al. 2007).
The principle is shown to the left in Figure 4. By modelling
the interface as single-point support, the foundation bottom
must be modelled as a rigid structure, which implies that no
stresses inside the concrete caisson are calculated directly.
In order to generate such stresses directly during time
domain analyses, and to provide a detailed modelling of the
nonlinear behaviour under combined loading, it has been
decided to use distributed springs, as sketched to the right in
Figure 4.
In Figure 4, the springs are shown as single sets of springs,
for simplicity. Actually, for each spring-supported part of the
foundation area, a full set of horizontal and vertical springs and
dashpots is assigned, as sketched in Figure 5.
As a sufficiently accurate approximation, all sets of
distributed springs are defined identical, with no variation with
764
Figure 4. Principle of "single-point support" (left) and "distributed

supports" (right).
3.2.1 Vertical elements

The vertical elements consist of two linear springs coupled in
series, a dashpot and a gapping element, cf. Figure 5. The
purpose of having two springs is to make it possible to
distinguish between the response in the gravel bed and in the
reinforced soil below the gravel bed. Since both springs are
linear, both material and radiation damping are included in the
dashpot. It has been evaluated that the linear approach provides
a very reasonable approximation to the push-over response, cf.
Section 4.2.
3.2.2 Horizontal elements
The horizontal elements consist of two non-linear springs, cf.
Figure 5. The backbone curve for the gravel spring is defined as
a function of the vertical force measured at the gapping element,
by the expression:
,
,
1
||

where is the horizontal translational coordinate, is the

horizontal force, is the force in the associated vertical spring,
0.7 is the interface friction coefficient, is the initial
stiffness and is the representative foundation area covered
by the spring set.
The soil spring is defined from the same principle, but
independent of the vertical force:

1 , ||
where is a maximum shear stress.

Unloading and reloading is defined with hysteretic
behaviour. Since material damping is embedded in the
hysteretic behaviour, the dashpot only includes radiation
damping.
3.3
105 MPa
35
3 m
where and are the thickness and the oedometer

modulus of the gravel bed. The oedometer modulus of 105 MPa
corresponds to the unloading stiffness measured in plate loading
tests of a comparable gravel bed.
4.2
Vertical soil springs
The linear vertical soil springs are calibrated such that the
behaviour of the tower foundations under a vertical load plus an
overturning moment in IBDAS matches that in a 2D plane
strain finite element model in Plaxis. The Plaxis model
considers both the gravel bed and the pile-reinforced subsoil
and is shown in Figure 8.
Hysteretic behaviour
All nonlinear springs are defined with hysteretic behaviour

according to the extended Masing rule, as described by Kramer
(1996).
An example of a hysteretic force-displacement curve is
shown in Figure 6.
Figure 6. Hysteretic curve following Masing behaviour.
Figure 5. Detailed view of each set of distributed springs. The dotted

loops show which elements are referred to as "gravel" and "soil"
behaviour.
3.4
Figure 7. Discretized lateral F-u supports around each spring location,

each representing a 1D non-linear F-u relation for their space angle.
Two-dimensional generalisation
The terms "vertical" and "horizontal" are used in the above for
springs and dashpots. While the vertical component involves no
further complications, the horizontal springs and dashpots shall,
however, be defined in the two horizontal dimensions. Since the
springs are nonlinear and hysteretic, this definition is nontrivial.
The intended behaviour is obtained by actually applying in
total eight non-linear springs, distributed in the horizontal plane.
The concept is illustrated in Figure 7. The full angular space is
covered by symmetry in the spring definitions.
4
4.1
DETERMINATION OF PARAMETERS
Figure 8. 2D Plaxis model, north tower.
Vertical gravel springs
The linear vertical gravel springs are determined as
765
modelling. Plastic bending moments of 14.5 MNm and 22.2

MNm are defined in the models for the north and south tower,
respectively, corresponding to the moments for which the
characteristic structural capacities of the piles are fully utilized.
The base resistance of the 2 m diameter piles is assumed to
be negligible. Shaft resistance is modelled using the interface
strength parameters listed in Table 1 and 2. Undrained shear
strength and consequently interface strength are defined as
increasing from a value at the top of the layer to a value at the
bottom of the layer. The interface strength parameters account
for the differences between the actual geometry and the 2D
plane strain approximation.
A reasonable agreement between the overturning behaviour
in the IBDAS model and the 2D Plaxis model can be achieved
with vertical soil spring stiffnesses of = 9.0MPa/m
A and = 4.5MPa/m A at the north and south tower,
respectively. This is illustrated for the north tower in Figure 9.
Table 1. Material parameters, north tower.

[]

[kPa]
[]
[kPa]
-40.0

[kN
/m ]

[MPa]
Gravel
Top
level
[m]
18.0
78
45
51.5
N1
-43.0
17.5
411
40
28.0
N1A
-47.0
18.0
411
35
24.0
N2
-51.5
18.6
348
77 to
96
24.2
to
45.3
N3/5
-60.5
19.0
265
38
26.4
-64.5
18.9
239
104
to
341
53.6
to
214.3
ID
10
-177.1
(to 184.7)
18.9
239
4.3
A 3D finite element model in Abaqus is used to determine the

load-displacement behaviour of the gravel bed. Exploiting
symmetry, a 5 m wide, 2.5 m deep and 3 m high gravel body
with one half of a pile is used to represent one pile in an
infinitely large pile group, as shown in Figure 10.
The front, back and bottom face of the gravel body are
constrained in normal direction, while repetitive boundary
conditions (Law and Lam 2001) are applied to the left and right
sides. The pile is only allowed to rotate around its base.
Coulomb friction contact is modelled between the stiff caisson
bottom slab and the gravel with a friction coefficient = 0.7.
Coulomb friction contact is also modelled between the inside
and outside of the pile and the gravel with a friction coefficient
= 0.4.
400
Table 2. Material parameters, south tower.

Top
level
[m]

[MPa]

[]

[kPa]
[]
[kPa]
-40.0

[kN
/m ]
18.0
77
45
51.5
S2
-43.0
17.6
203
41 to
70
10.7
to
41.4
S3
-59.5
18.9
78
33
22.3
S4
-63.5
18.9
161
107
to
137
54.3
to
80.8
-78.5
20.9
575
35
-96.0
20.1
133
241
to
268
-112.5
21.1
104
40
-137.5
(to 200.0)
20.9
387
300
ID
Gravel
Horizontal gravel springs
Figure 9. Calibration of vertical soil springs at the north tower by

matching the overturning behaviour in the IBDAS model with the
overturning behaviour in the 2D Plaxis model.
All soils and the gravel bed are modelled with the MohrCoulomb material model with a Poisson's ratio = 0.3. All
soils are modelled as undrained materials using the effective
strength parameter for sand layers and the undrained shear
strength for clay layers.
The gravel bed is modelled as a drained material. Stiffness
values corresponding to the equivalent shear moduli from the
site response analyses in ProShake are applied. Table 1 and 2
show the stiffness values for the NCE seismic event. For the
FEE and SEE, the values are higher due to the lower strain
levels in these seismic events.
The piles are modelled as linear elastic-perfectly plastic with
equivalent stiffness parameters due to the 2D plane strain
766
Figure 10. 3D Abaqus model for determination of gravel bed springs.

Figure 12. Calibration of horizontal soil springs at the north tower by
matching the push-over behaviour in the IBDAS model with the pushover behaviour in the 2D Plaxis model.
The Mohr-Coulomb material model with = 8 kN/m3,

3
The
= 78Mohr-Coulomb
MPa, = 0.3, material
= 45 model
and =
15is=used
for the
with
8 kN/m
,
The pile
is modelled
as a rigid
The
gravel.
= 78 MPa,
= 0.3,
= 45 and
= 15body.
is used
forloadthe
displacement
behaviour
is determined
by body.
applying
gravel.
The pile
is modelled
as a rigid
Thedifferent
loadvertical
loads
to
the
caisson
bottom
slab
and
pushing
it in
displacement behaviour is determined by applying different
horizontal
direction.
vertical
loads
to the caisson bottom slab and pushing it in
The hyperbolic
horizontal
direction. backbone curves with , = 30
MPa/m
match the results
fromcurves
the 3Dwith
finite element =
model
30
The hyperbolic
backbone
,
reasonably
well,
shown in
Figure
MPa/m
match
theasresults
from
the 11.
3D finite element model
4.4 Horizontal
springs
reasonably
well, assoil
shown
in Figure 11.
4.4
Horizontal backbone
soil springscurves of the horizontal soil springs
The hyperbolic
are hyperbolic
calibrated based
on a curves
verticaloftower
foundationsoil
load
plus a
The
backbone
the horizontal
springs
horizontal
force
withona alever
arm.tower
The lever
arm is load
chosen
such
are
calibrated
based
vertical
foundation
plus
a
that
it
represents
the
average
observed
lever
arm
in
the
seismic
horizontal force with a lever arm. The lever arm is chosen such
timeit history
analyses
with theobserved
global model.
that
represents
the average
lever arm in the seismic
A
reasonable
agreement
between
the push-over behaviour in
time history analyses with the global model.
theA IBDAS
model
and thebetween
2D Plaxis
model canbehaviour
be achieved
reasonable
agreement
the push-over
in
=
2.1MPa/m and
with
an
initial
stiffness
the IBDAS model and the,

2D Plaxis model can bea maximum
achieved
shearanstress
= 0.70 MPa at
north tower, cf.
Figure 12,
2.1MPa/m and
a maximum
with
initial
stiffness
, =the
= 0.35MPa/m and
maximum
and stress
,
shear
= 0.70 MPa at theanorth

tower, cf.shear
Figurestress
12,
=
0.22 MPa at
the
south
tower.
=
0.35MPa/m and
a
maximum
shear
stress
and
,
4.5
0.22 MPa at the south tower.
=Dashpots
4.5
Dashpotsdistributed material and radiation dashpots have
The vertical
been
deriveddistributed
based on linear
elastic
in Gazetas
The vertical
material
and formulas
radiationgiven
dashpots
have
1991
and
the
spring
stiffness
according
to
Section
4.2. The
been derived based on linear elastic formulas given in Gazetas
A at4.2.
the north
dashpot
= 0.97MPa
1991
andcoefficients
the spring are
stiffness
according s/m
to Section
The
=
0.74MPa
s/m
A
at
the
south
tower.
tower
and
dashpot coefficients are = 0.97MPa s/m A at the north

Similarly,
on Gazetas
1991
andsouth
the spring
0.74MPa
s/m A
at the
tower. stiffness
tower
and =based
according
to
Section
4.4,
the
horizontal
distributed
radiation
Similarly, based on Gazetas 1991 and the spring stiffness
s/m
dashpot coefficients
are determined
as distributed
= 0.24MPa
according
to Section 4.4,
the horizontal
radiation
at
the
north
tower
and
=
0.11MPa
s/m
A
at the
A
dashpot coefficients are determined as = 0.24MPa s/m

the north tower and = 0.11MPa s/m A
at the
Asouthattower.
south tower.
Figure 12. Calibration of horizontal soil springs at the north tower by

matching the push-over behaviour in the IBDAS model with the pushFigure 12. Calibration of horizontal soil springs at the north tower by
over behaviour in the 2D Plaxis model.
matching the push-over behaviour in the IBDAS model with the pushover behaviour in the 2D Plaxis model.
RESULTS
RESULTS
5.1
Relativedisplacement
displacements
The relative
between the centre of the caisson and
the
free-field
displacements
of thethe
soilcentre
is exemplified
in Figure
The relative displacement between
of the caisson
and
13.
Irreversible
displacements
of
the
caissons
are
clearly
visible.
the free-field displacements of the soil is exemplified in Figure
13.
displacements
5.2Irreversible
Hysteretic
behaviour of the caissons are clearly visible.
5.2
Hysteretichysteretic
behaviourbehaviour is indeed produced in the
The intended
finite
element
model,
as it
can be observed
in Figure
14. in the
The intended hysteretic
behaviour
is indeed
produced
finite
model,
as it can be
observed in Figure 14.
5.3 element
Response
in individual
springs
5.3
in individual
springsthe overall behaviour of the
WhileResponse
the above
curves illustrate
foundations,
the curves
response
in individual
soil and
gravel springs
While
the above
illustrate
the overall
behaviour
of the
can provide the
information
local magnitude
displacement
foundations,
responseon
in the
individual
soil and of
gravel
springs
in provide information on the local magnitude of displacement
can
the interface between soil and structure (gravel springs)
in theinterface
soil volume
below
theand
gravel
bed (soil
springs)
the
between
soil
structure
(gravel
springs)
-
the soil volume below the gravel bed (soil springs)

This distribution can be of importance for evaluating how
onerous
a plastic deformation
is. The gravel
spring can
be
This distribution
can be of importance
for evaluating
how
considered
ductile,
where
plastic
deformation
typically
can
be
onerous a plastic deformation is. The gravel spring can be
attributed ductile,
to sliding
in plastic
the gravel-foundation
interface.
considered
where
deformation typically
can beIn
contrast,
plastic
deformation
in
the
soil
springs
must
typically
attributed to sliding in the gravel-foundation interface. In
be attributed
to deformation
incipient yielding
thesprings
improved
ground,
and
contrast,
plastic
in theinsoil
must
typically
its
magnitude
should
therefore
be
given
great
consideration.
be attributed to incipient yielding in the improved ground, and
An example
of these
displacements
is shown
in Figures 15
its magnitude
should
therefore
be given great
consideration.
and
16.
The
spring
is
located
at
a
foundation
corner
point, and
An example of these displacements is shown in Figures
15
the 16.
gapping
behaviour
in the gravel
spring cancorner
be seen
as stressand
The spring
is located
at a foundation
point,
and
free
displacements
(horizontal
partsspring
of thecan
dashed
lineasatstress=0
the
gapping
behaviour
in the gravel
be seen
in Figure
16). Further,
it can parts
be observed
that atline
this atlocation,
free
displacements
(horizontal
of the dashed
=0
majority
the displacements
occur in the
inthe
Figure
16).ofFurther,
it can be observed
thatgravel
at thisspring.
location,
the majority of the displacements occur in the gravel spring.
Figure 11. Load-displacement curves from the FE model and fitted

hyperbolic backbone curves.
Figure 11. Load-displacement curves from the FE model and fitted
hyperbolic backbone curves.
55.1RESULTS
Relative displacements
Figure 13. Relative displacement for seven NCE time histories, north
tower.
Figure 13. Relative displacement for seven NCE time histories, north
tower.
Figure 14. Force vs. relative displacement between foundation and soil
in the bridge longitudinal direction. NCE seismic time histories, north
tower.
The difference in the maximum value of the shear stress in
tower.
theThe
soildifference
and gravel
springs
is due value
to theofradiation
in the
maximum
the sheardashpot
stress inin
parallel
withgravel
the horizontal
spring,
cf. Figure
5. dashpot in
the
soil and
springs soil
is due
to the
radiation
parallel
with the
spring, cf. Figure 5.
5.4 Impact
ofhorizontal
non-linearsoil
effects
5.4
767
Impact of non-linear effects
Figure 14. F
in the bridg
tower.
The dif
the soil an
parallel wi
5.4
Impa
rth tower by
th the push-
th
tower.Proceedings of the 18 International Conference on Soil Mechanics and Geotechnical Engineering, Paris 2013
The difference in the maximum value of the shear stress in

the soil and gravel springs is due to the radiation dashpot in
parallel with the horizontal soil spring, cf. Figure 5.
5.4assess
Impact
non-linear effects
To
theofconsequences
of allowing the soil-structure
interface
to undergo
some plastic
To assess
the consequences
of deformation,
allowing thea comparative
soil-structure
calculation
the global
made, with the
following
interface towith
undergo
somemodel
plasticisdeformation,
a comparative
changes:
calculation with the global model is made, with the following
- gapping elements deactivated
changes:
- -all
non-linear
springs
linearised with the initial stiffness
gapping
elements
deactivated
- -horizontal
material
damping
incorporated
by dashpot
all non-linear
springs
linearised
with the initial
stiffness
- horizontal material damping incorporated by dashpot
Thus, the soil-structure interface will behave fully linearly.
The Thus,
impactthe
of soil-structure
this for the bridge
structure
can befully
assessed
by
interface
will behave
linearly.
observing
theofextreme
envelope,
which
is plotted
The impact
this formoment
the bridge
structure
can be
assessedfor
by
the
north tower
Figure moment
17.
observing
the in
extreme
envelope, which is plotted for
the north tower in Figure 17.
Figure 15. Bridge longitudinal displacements, NCE series 1, s-y- corner

point,
north
Figure
15. tower.
Bridge longitudinal displacements, NCE series 1, s-y- corner
point, north tower.
6 CONCLUSIONS
6 CONCLUSIONS
An advanced, non-linear model of the soil-structure interaction
for
tower foundations
has been
model
An the
advanced,
non-linear model
of theestablished.
soil-structureThe
interaction
includes
distributed
springs has
for been
three-dimensional
dynamic
for the tower
foundations
established. The
model
analyses.
single-point
supports, this dynamic
has the
includes Compared
distributedto springs
for linear
three-dimensional
following
analyses. benefits:
Compared to single-point linear supports, this has the
Possibility
following
benefits:to calculate distributed stresses under the
during distributed
time-historystresses
analysesunder the
- foundation
Possibilitydirectly
to calculate
Direct
modelling
of the
horizontal
shearanalyses
capacity in the
foundation
directly
during
time-history
interface,
dependent shear
on capacity
the interface
- soil-structure
Direct modelling
of the horizontal
in the
friction
coefficient
and ondependent
the time-varying
vertical
soil-structure
interface,
on the interface
< . and on the time-varying vertical
force,
F,
friction
coefficient
Thus,
modelling
. of foundation gapping is also
force,proper
F, <
and modelling
the overallof moment-rotation
curve
is
- achieved,
Thus, proper
foundation gapping
is also
directly
made
dependent
on themoment-rotation
vertical force. curve is
achieved,
and
the overall
The
shearmade
stresses
in the interface
does also
incorporate
directly
dependent
on the vertical
force.
from torsional
moment
( ). does also incorporate
- shear
The shear
stresses in
the interface
Separate
indication
of displacements
in the gravel
shear from
torsional moment
( ).
interfaceofand
in the subsoil.in the gravel
- bed/foundation
Separate indication
displacements
Possibility
to calibrate
bed/foundation
interfacewith
and inpseudo-static
the subsoil. continuum
element
accuracy; continuum
also for
- finite
Possibility
to models
calibratewith
withgood
pseudo-static
varying
vertical force,
which
is difficult.also for
finite element
models
withnormally
good accuracy;
varying vertical force, which normally is difficult.
Thus, by the detailed modelling of dynamic behaviour, it is
possible
in modelling
a practicalofmanner
displacementThus,tobyimplement
the detailed
dynamica behaviour,
it is
based
verification
for large
where seismic
energy
possible
to implement
in aearthquakes,
practical manner
a displacementisbased
dissipated
by foundation
rocking with
some
verification
for large earthquakes,
wheregapping,
seismic energy
controlled
and by
limited
slidingrocking
and permanent
horizontal
is dissipated
foundation
with gapping,
some
displacements
within
the subsoil.
controlled and
limited
sliding and permanent horizontal
displacements within the subsoil.
7 ACKNOWLEDGEMENTS
7 ACKNOWLEDGEMENTS
The authors gratefully acknowledge the permission by Owner
NMAYG
and
The authors/ Nurol-zaltin-Makyol-Astaldi-Yksel-Gay
gratefully acknowledge the permission by Owner
Contractor
Infrastructure Systems CO., Ltd. to publish this
NMAYGIHI
/ Nurol-zaltin-Makyol-Astaldi-Yksel-Gay
and
paper.
Contractor IHI Infrastructure Systems CO., Ltd. to publish this
paper.
8 REFERENCES
8 REFERENCES
Figure 16. S-axial stress-displacement curves, NCE series 1, s-y- corner

point,
north
Figure
16. tower.
S-axial stress-displacement curves, NCE series 1, s-y- corner
point, north tower.
Fdration internationale du bton (FIB) 2001. Seismic bridge design

and retrofit
- structuraldusolutions.
State-of-art
report. bridge
Bulletindesign
39.
Fdration
internationale
bton (FIB)
2001. Seismic
Sprint-Digital-Druck,
Stuttgart.
and retrofit - structural
solutions. State-of-art report. Bulletin 39.
Gazetas
G. 1991. Foundation
vibrations, Chapter 15 in H. Y. Fang
Sprint-Digital-Druck,
Stuttgart.
(Ed.): G.
Foundation
Engineering
Handbook.
Van Nostrand
Gazetas
1991. Foundation
vibrations,
Chapter
15 in H.Reinhold,
Y. Fang
New
York.
(Ed.):
Foundation Engineering Handbook. Van Nostrand Reinhold,
Kramer
S. York.
L. 1996. Geotechnical earthquake engineering. PrenticeNew
Hall, New
Kramer
S. L.Jersey.
1996. Geotechnical earthquake engineering. PrenticeLaw H.K.
Lam
I.P. 2001. Application of periodic boundary for large
Hall, &
New
Jersey.
pile
of Application
Geotechnical
and Geoenvironmental
Law
H.K.group.
& LamJournal
I.P. 2001.
of periodic
boundary for large
Engineering
(10), 889-892.
pile group.127Journal
of Geotechnical and Geoenvironmental
Lam Engineering
I.P., Law H.K.
and 889-892.
Martin G.R. 2007. Bridge Foundations:
127 (10),
Modeling
Large
PileandGroups
Caissons
Seismic
Design.
Lam
I.P., Law
H.K.
Martinand
G.R.
2007. for
Bridge
Foundations:
Technical
U. Seismic
S. Department
ModelingReport
Large MCEER-07-0018,
Pile Groups and 12/1/2007.
Caissons for
Design.
ofTechnical
transportation,
Highway Administration.
ReportFederal
MCEER-07-0018,
12/1/2007. U. S. Department
Srensen
K.A., Jakobsen
P.F. Highway
and Andersen
G.B. 1990. IBDAS, an
of transportation,
Federal
Administration.
integrated
bridge
designP.F.
andand
analysis
system.
Int. IBDAS,
Conf. onan
Srensen
K.A.,
Jakobsen
Andersen
G.B.3rd
1990.
Short
and Medium
Bridges,
105-116,system.
Toronto.
integrated
bridge Span
design
and analysis
3rd Int. Conf. on
Yang Short
D., Dobry
R. andSpan
Peck,
R.B. 105-116,
2001. Foundation-soil-inclusion
and Medium
Bridges,
Toronto.
interaction
modeling
forPeck,
Rion-Antirion
Bridge
seismic analysis. 4th
Yang
D., Dobry
R. and
R.B. 2001.
Foundation-soil-inclusion
Int.
Conf. modeling
on Recentfor Advances
in Geotechnical
interaction
Rion-Antirion
Bridge seismic Earthquake
analysis. 4th
Engineering
Dynamics,
San Diego.
Int. Conf. and
on Soil
Recent
Advances
in Geotechnical Earthquake
Engineering and Soil Dynamics, San Diego.
Figure 17. Envelopes of extreme moment in the north tower, NCE

event,
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768
Numerical Analysis of a Tunnel Intersection

Analyse numrique de l'intersection de tunnels
Mayoral J.M., Romn-de la Sancha A., Osorio L., Martnez S.
Institute of Engineering at UNAM, Mxico, D.F.
ABSTRACT: This paper presents a numerical study of the static behavior of the intersection of two major metro lines located in a soft
lacustrine clay deposit overlaid by a very dense clayed sand deposit, in Mexico City. The intersection consists of a new tunnel
excavated under an existing metro station-tunnel system, using the earth pressure balance, EPB, construction technique. This required
the construction of a support structure for the station foundation. This structure was built inserting metallic beams under the
foundation, and supporting these beams with metallic frames. In order to build the support structure, a couple of excavations were
previously carried out at each side of the station foundation, using Milan walls. A 3D finite differences model was developed to
simulate the construction procedure. An elasto-plastic model with a Morh-Coulumb failure criterion was used to represent the stressstrain soil behavior of the geomaterials found at the site. The vertical and horizontal displacements in the soil mass due to the
construction of the support structure and the excavations of the tunnel were computed. From the numerical study, insight was gained
regarding the behavior of this type of structures built in very soft clay.
RSUM : Cet article prsente une tude numrique du comportement statique de l'intersection des deux principales lignes du mtro
Mexico situes sur des dpts d'argile lacustre doux superpos d'un sable argileux. L'intersection consiste en un nouveau tunnel
excav sous le systme d'un tunnel de station de mtro existant, en utilisant la technique de construction pression de terre, EPB. Il a
t pour ceci ncessaire de construire une structure de support pour les fondations de la station de mtro. Cette structure a t ralise
en insrant des poutres mtalliques sous les fondations, et en supportant ces poutres par l'intermdiaire d'un cadre mtallique. Afin de
construire la structure du support, il a t ralis auparavant deux excavations de chaque ct des fondations de la station en utilisant
des murs Milan. Un model tridimensionnel des diffrences finies a t dvelopp pour simuler la procdure de construction. Il a t
utilis un modle lasto-plastique Morh-Coulomb pour la reprsentation du comportement contrainte-dformation des gomatriaux
rencontrs sur le site. Les dplacements verticaux et horizontaux se produisant au sein du sol suite la construction du support
structurel et l'excavation du tunnel ont t calculs.
KEYWORDS: tunnel intersection, numerical model, finite differences.
769
19.45
RE
A
RM
FO
AIRPORT
VIADUCTO
19.40
TES
INTERSECTION
GEN
19.35
Studied site
ERMITA
MEZICALTZINGO
ATLALILCO
CIRCUITO
INTERIOR
F
RI
CO
PAN
C. U.
19.30
-99.20
PE
RI
T L AL
Construction of tunnels induce changes in the original stress

state of a soil mass. These modifications lead to displacements
[1, 2], which, in some cases, may affect nearby buildings due to
differential settlements on the surface. For that reason, these
stress changes and displacements have to be studied to
guarantee the safety of such structures. This problem becomes
more challenging in tunnel intersections, where tunnel-tunnel
interaction must be assessed. This can be achieved by numerical
analysis. In this paper, a numerical analysis of the static
behavior of an intersection between a new tunnel of a major
metro line and an existing metro station located in Mexico City
is presented. The site is found in the so-called Transition zone
(zone II), where clays and silty clays of medium to high
compressibility are overlaid by a very dense clayed sand
deposit. The project site location, and the Mexico City
geotechnical zoning [3] are shown en Figure 1. The intersection
consists of a new tunnel excavated under an existing metro
station, using the EPB technique. The existing metro station is a
box type structure 8.7 m wide and 6.3 m tall, which was built
first excavating and casting the walls with the Milan method,
second, removing the soil in-between the walls in order to form
the box structure, and third, casting a cover slab on top of the
walls to form the box. The street level was achieved by means
of a filling placed over the slab. The new tunnel has a diameter
of 10.18 m. The primary lining is comprised of seven precast
reinforced concrete dowels 1.5 m long and 0.40 m thick that
integrates a ring. Grouting operations to fill up the void left
between the ring and tunnel wall were performed

simultaneously with the lining installation. Two working areas
were excavated for construction operations at both sides of the
intersection (see Figure 2), also by the Milan method.
INSU
R
INTRODUCTION.
LATITUDE
-99.15
-99.10
AV.
TL
HUA
C
-99.05
-99.00
LONGITUDE
Zone I
Zone IIIb
Zone II
Zone IIIc
Zone IIIa
Zone IIId
GRAPHIC SCALE
0
2.5
10 km
Figure 1. Project site location and geotechnical zoning
These excavations were supported with metallic frames to avoid

excessive lateral displacements. The boring machine went from
one area to the other one underneath the existing station. A soilcement improvement was used in the entrance and exit of the
intersection. After the new tunnel was completed, two runways
were built at both sides of the tunnel for operating purposes. A
plan view and a cross section of the intersection are shown in
Figures 2 and 3 respectively.
Ground level
Depth, Water content, % Blow counts, N

Deep,
m
m
100 200 300 400
10 20 30 40
Description
Filling. Gray sandy clay with gravel.
ST
Existing
line
Soft olive-brown sandy clay.
ST
Water table
ST
Very soft to soft olive and

olive-brown clay with
volcanic glass and roots.
ST
ST
10
ST
ST
10.18
New line
50/30
50/05
50/10
15
ST
20
25
30
35
ST = Shelby tube
40
Medium to firm olive-gray

and brown clay with fine
sand lenses.
50/10
50/10
50/15
50/16
50/10
50/15
50/30
50/15
50/15
50/10
50/05
50/05
50/07
50/08
50/10
50/17
50/07
50/12
50/10
50/11
50/10
50/07
50/09
50/05
50/07
50/10
50/15
50/10
50/08
50/05
50/05
50/10
50/15
50/15
50/15
50/15
50/15
50/05
50/15
50/12
50/15
Very compact clayed

sand and hard sandy clay
with gravel.
Figure 4. Ground conditions found at the site
NUMERICAL MODELING
3.1 Description of the model

The analysis of the intersection behavior was carried out using
the computer software FLAC3D [4], which is based on the finite
differences technique. This software allows analyzing stress and
strain states in three dimensions generated by loading and
unloading process in elasto-plastic materials. The implemented
model for the analysis is shown in Figure 5, it is comprised by
271,530 zones. In this figure, it can be seen also the location of
the existing tunnel, one of the excavations at the side of the
intersection, and the location of the new tunnel. The base of the
model was considered fixed in the three degrees of freedom and
the vertical faces, which limit the model, were fixed for
horizontal displacements but free to move vertically. The
geomaterials were modeled assuming an elasto-plastic behavior
with a Mohr-Coulomb failure criterion. The material properties
of the soil and reinforce concrete elements are summarized in
table 3.1 and table 3.2 respectively. The primary lining and
other structural elements were modeled as linear elastic.
Figure 2. Plan view of the intersection

SOIL-CEMENT
IMPROVEMENT
EXCAVATION
EXISTING
METRO
LINE
METALLIC
FRAMES
MILAN WALL
Table 1. Soil properties used in the analysis
SOIL-CEMENT
IMPROVEMENT
EXCAVATION
BOTTOM SLAB
NEW METRO
LINE
CONCRETE RING
Material
Figure 3. Cross section of the intersection
SOIL CONDITIONS
Manmade Fill
Typical subsoil conditions found at the site are presented in

Figure 4. The top layer is a 1 m thick manmade fill of sandy
clay and gravel. Underlying this fill a 3 m thick layer of very
soft to soft olive-brown sandy clay is found, with water contents
ranging around 50%, and standard penetration test, SPT, blow
counts around 1. This layer rests on top of a 6.75 m thick very
soft to soft olive and olive-brown clay layer with volcanic glass
and roots, with water contents going from 75% and 400%, and
SPT blow counts ranging from 1 to 5. This stratum is underlain
by a 5 m thick, medium to firm olive-gray and brown clay layer,
with fine sand lenses, and water contents between 10% and
250%, and SPT blow counts between 14 and over 50. Finally,
below this layer and until the maximum explored depth, a very
dense clayed sand with gravels, exhibiting water contents
between 20% and 60%, and blow counts over 50, is found. The
water table is located 4.5 m below ground surface.
770
Soft clay
Very Soft clay
Medium clay
Very dense sandy clay
Mohr-Coulomb
parameters
c
[kPa]
[kPa]
28
0.35
4500
12
25
0.28
3100
10
25
0.28
1800
25
30
0.30
7400
60
40
0.30
17000
= Poisson Ratio, E = Elastic Modulus
Table 2. Concrete parameters used in the analysis

Compression
strength at
28 days, fc
(kPa)
29420
Elastic
Modulus , E
(MPa)
Poisson
ratio,
17000
0.20
3.2 Analysis stages

The analysis procedure includes the next stages:
a) Calculation of the initial stress state generated by selfweigh and the piezometric conditions.
b) Calculation of the stress state generated by the
construction of the existing metro line. This stage considers the
excavations, and casting of the walls and slabs (bottom and
cover) at the same time.
c) Calculation of the stress state and vertical displacements
generated by the excavations at both sides of the intersection. In
this stage, it is considered that the excavations are made
simultaneously with the walls and the slabs (bottom and cover),
so that, the horizontal support is present only at the level of the
slabs.
maximum horizontal displacements occur in the walls of the

excavation and have a magnitude of about 0.7 cm. Similarly,
figure 8 shows the horizontal displacements along the
longitudinal direction of the new tunnel axis after stage c. The
maximum displacements are between 1.4 and 1.7 cm and occur
in the walls of the excavation, in the west side of the
intersection.
Figure 7. Horizontal displacements in transverse direction (stage c)
Figure 5. 3D Finite differences model
d) Calculations of the stress state and displacements

generated by the excavation of the new tunnel. In this stage the
tunnel support (primary lining) is also installed.
e) Calculation of the stress state and displacements
generated by the excavation and construction of the runways of
the new tunnel.
Figure 8. Horizontal displacements in longitudinal direction (stage c)
ANALYSIS RESULTS
4.2 Excavation and construction of the new tunnel line
(stage d)
4.1 Excavations at sides of the intersection (stage c)

Figure 6 shows the vertical displacements computed in the stage
c. The maximum expansion occurs at the bottom of the
excavation, in the east side of the intersection with a magnitude
of 2.2 cm. This expansion is in agreement with the low
compressibility soils that are found at the bottom of the
excavation.
Figure 9 shows the vertical and horizontal displacements

computed after analysis stage d, in which it can be observed the
following:
Close to the existing metro line, vertical expansions of

about 0.3 cm are generated. In the intersection zone, the tunnel
crown settles 0.3 cm while the bottom expands 0.6 cm.
Nearby the existing metro line, the maximum horizontal

displacement in the transverse direction to the new tunnel axis is
about 0.4 cm, and points towards the new tunnel axis.
On the other hand, due to the construction of the new line
outside the excavations, and in the intersection zone, the
following effects occur:
Figure 6. Vertical displacements after stage c
Figure 7 shows the horizontal displacements in the

transversal direction to the new tunnel axis after stage c. The
771
The new tunnel crown settles 0.4 cm and the bottom

expands 1.5 cm.
The maximum horizontal displacement in the transverse

direction to the new tunnel is 0.8 cm, and tends to open the
sides of the tunnel.
The maximum horizontal displacement in the

longitudinal direction is 0.1 cm, and tends to push towards the
center of the excavations. The computed horizontal
displacements are small, which shows that the excavations walls
and soil-cement improvement work efficiently to reduce such
movements. Likewise, the expansions are small due to the low
compressibility of the soil at the bottom of the excavations.
In order to understand the intersection behavior, Figure 10

shows the vertical and horizontal displacements in the new
tunnel at the intersection zone, which shows the following:
The maximum expansion in the new tunnel bottom is

0.5 cm, while the tunnel crown settles 0.1 cm. Thus, the tunnel
lining tends to move towards the tunnel axis 0.6 cm.
The maximum displacements in transverse direction to

the new tunnel are about 0.2 cm and occur at both sides of the
tunnel.
The maximum displacements in longitudinal direction

are of 0.05 cm and occur in the tunnel bottom, in opposite
direction respect to the tunnel crown, and also interact with the
excavation wall at the west side of the intersection.
Figure 10. Vertical and horizontal displacement after stage d in the

intersection zone.
CONCLUSIONS
Regarding the excavations at the sides of the intersection

(stage c), it can be concluded that both horizontal displacements
are small, and thus, the excavation will be adequately supported
by the excavation walls, and it will not pose any risk to the
future stability of the structure. With respect to the excavation
and construction of the new tunnel, it was found that overall, the
excavation and construction of the new tunnel will not affect the
existing one. In addition, the numerical study also shows that
the excavations walls and the soil-cement improvement
efficiently reduce the movements of the tunnel lines.
Figure 9. Vertical and horizontal displacement after stage d
4.3 Excavation and construction of the runways of the new

tunnel line (stage e)
From the vertical and horizontal displacements computed after

analysis stage e, the following is observed:
The maximum expansion in the proximity of the new

tunnel is about 0.05 cm, and at the bottom of the runways is of
0.1 cm.
The maximum horizontal displacement in transverse

direction to the new tunnel is 0.1 cm.
The maximum horizontal displacement in longitudinal

direction around the tunnel and the runways is 0.4 cm and close
to the existing line is about 0.2 cm.
These results show that the construction of the runways will
not affect the behavior of the intersection.
772
REFERENCES
Manuel Melis Maynar, and Luis Medina Rodriguez. 2005. Predicted

versus measured soil movements induced by shield tunnelling in
the Madrid Metro extension. Can. Geotech. J. 42: 11601172.
M. Migliazza, M. Chiorboli, G.P. Giani. 2009. Comparison of analytical
method, 3D finite element model with experimental subsidence
measurements resulting from the extension of the Milan
underground. Journal of Computers and Geotechnics 36. 113124.
RCDF. 2004. Mexico City Building Code
Itasca Consulting Group. 2009. FLAC3D, Fast Lagrangian Analysis of
Continua in 3 Dimensions, Users Guide. Minneapolis, Minnesota,
USA.
Numerical Evaluation of the Behavior of Reinforced Soil Retaining Walls

Simulation numrique du comportement de murs de soutnement en sol renforc
Mirmoradi S.H., Ehrlich M.
Dept. of Civil Engineering, COPPE, Federal University of Rio de Janeiro, UFRJ, RJ 21945-970, Brazil
ABSTRACT: In this article, the behavior of reinforced soil walls was studied by performing a numerical analysis using the finite
element method. The numerical approach was validated with the results of a wrapped-faced full-scale reinforced soil wall. In addition,
parametric studies were carried out with different combinations of: facing type, reinforcement stiffness, compaction efforts, and shear
resistance parameters of the backfill soil. Results indicated that for depths below which the vertical induced compaction stresses are
less than the overburden stress, the maximum tension in the reinforcements is the same, irrespective of the values of compaction
effort. However, for lower depths, the tension in the reinforcements increased with the induced compaction stress. In addition, for the
block facing wall, the maximum tension in the reinforcement occurred near the mid-height of the wall. However, for the wrapped
faced wall, the maximum values occurred close to the bottom of the wall. An increase of reinforcement stiffness led to greater values
of tension in the reinforcement for both wrapped and block faced walls. Moreover, an increase of backfill soil shear resistance led to
lower values of tension in the reinforcements.
RSUM : Dans cet article, le comportement des murs en terre arme a t tudi en effectuant une analyse numrique utilisant la
mthode des lments finis. L'approche numrique a t effectue en se basant sur les rsultats d'un mur en terre arme lchelle
relle avec un parement enrob dune nappe gosynthtique. De plus, des tudes paramtriques ont t ralises avec diffrentes
combinaisons de type de parement, de rigidit darmature, defforts de compactage et de paramtres de rsistance au cisaillement du
remblai. Les rsultats ont indiqu que, pour des profondeurs au-dessous desquelles la contrainte verticale de compactage tait
infrieure la contrainte de surcharge, la tension maximale dans larmature tait la mme, quelles que soient les valeurs de l'effort de
compactage. Toutefois, pour des profondeurs infrieures, la tension dans larmature augmentait avec la contrainte de compaction. De
plus, pour le parement mural en bloc, la tension maximale dans l'armature s'est produite environ mi-hauteur du mur. Cependant,
pour le parement mural enrob par une nappe gosynthtique, les valeurs maximales se sont produites prs du pied du mur. Une
augmentation de la rigidit de larmature a conduit de plus grandes valeurs de tension dans l'armature, aussi bien pour le parement
mural en bloc que pour le parement mural enrob par une nappe gosynthtique. En outre, l'augmentation de la rsistance au
cisaillement du remblai a entran une baisse des valeurs de tension dans larmature.
KEYWORDS: Numerical modeling ; Reinforced soil ;Walls ; Compaction effort ; Facing stiffness ; Reinforcement stiffness ;
1
INTRODUCTION
The behavior of reinforced soil was evaluated using finite

element method in the middle 70s (e.g., Romstad et al., 1976).
In recent decades, several numerical analyze using the codes of
the finite element method or finite difference method have been
performed to consider the different geometry and parameters of
GRS walls. Examples are reported by Ling and Leshchinsky
(2003), Hatami and Bathurst (2006), and Guler et al. (2007),
among others.
The purpose of the present study is the numerical evaluation
of the behavior of reinforced soil retaining walls using the finite
element method. The numerical analysis was carried out using
the PLAXIS 2D computer program. The modeling was
validated with the results of a full-scale reinforced soil wall
experiment performed at the Geotechnical Laboratory of
COPPE/UFRJ. Parametric studies were carried out with
different combinations of: facing type, reinforcement stiffness,
compaction efforts, and shear resistance parameters of the
backfill soil.
2
MODEL VALIDATION
The finite element program PLAXIS (Brinkgreve and Vermeer,

2002) was used for the numerical evaluation of the compaction
effect on the behavior of reinforced soil walls. Full-scale
reinforced soil wall modeling, performed at the Geotechnical
773
Laboratory of COPPE/UFRJ, was used for validation of the

performed analyzes.
The physical model used in this study simulated the behavior
of a 6.8 m high wrapped faced wall (considering the surcharge
load values up to 100 kPa) representing a portion of the
prototype (see Fig. 1). The model wall was 1.4 m high with a
facing inclination of 6 to the vertical. The length and the
vertical spacing of the geogrid were 2.12 m and 0.4 m,
respectively. The value of axial reinforcement stiffness was
equal to 600 kN/m. The model wall was constructed in seven
soil layers, each 0.2 m thick. Layers were compacted by using
both a light vibrating plate (Dynapac LF 81) and a vibratory
tamper (Dynapac LC 71-ET). Equivalent vertical induced
stresses due to soil compaction of 8.0 kPa for the vibrating plate
and 63 kPa for the vibratory tamper were determined. The soil
unit weight after compaction was 21 kN/m3. The soil friction
angles, determined by triaxial and plane strain tests, were 42
and 50, respectively. Tensions were monitored in the
reinforcements numbered 2, 3, and 4 (see Fig. 1). Load cells
were installed at four points along the reinforcement. The reader
is directed to the paper by Ehrlich et al. (2012) for additional
information about the construction process, the evaluation of the
induced vertical stress due to soil compaction, and the
instrumentation for the performed physical modeling.
Table 1. Input parameters for validation analysis.

Parameter
Value
Backfill Soil
Peak plane strain friction angle ( )
50
Cohesion c (kPa)
1.0
Dilation angle ( )
0.0
Unit weight (kN/m3)
21
Figure 1. View of prototype and model.
Fig. 2 shows the geometry of the numerical model used in

the performed analyzes. Note that the simulated geometry
represented the prototype. To compare the values determined
with PLAXIS and the measured ones, the summations of the
mobilized maximum tension in the reinforcements a, b, and
c (see Fig. 2), which were representative of the verified values
in the 2nd, 3rd, and 4th reinforcement layers in the physical
model, were used (see Fig. 1). The wall was 6.8 m high and the
length of soil mass assumed in the performed analysis was 11
m. The length and the vertical spacing of reinforcements were
4.8 m and 0.4 m, respectively. The wrapped facing with an
inclination of 6 to the vertical was modeled. In the performed
study, the hardening soil model was applied, which is a
hyperbolic soil model, very similar to the model of Duncan and
Chang (1970). Boundary conditions of the performed numerical
modeling consider horizontal restriction for the right side, and
horizontal and vertical restrictions for the bottom of the wall.
Stage construction was considered; for every 0.2 m of soil
placed, the layer was compacted, until the final wall height was
reached. Compaction was simulated by applying a single loadunload stress cycle of 63 kPa distribution load at the top and
bottom of each backfill soil layer. This simple approach might
represent the actual multi-cycle load-unload stress path during
compaction (Ehrlich and Mitchell, 1994).Table 1 shows the
input parameters used in this validation. The backfill soil
stiffness and resistance parameters were determined from planestrain tests.
(kPa)
42500
(kPa)
31800
(kPa)
127500
Stress dependence exponent m
0.5
Failure ratio Rf
0.7
Poissons ratio
0.25
Reinforcement
Elastic axial stiffness (kN/m)
600
Face
Elastic axial stiffness (kN/m)
60
2
Elastic bending stiffness (kNm /m)
Zeq= Z +
1.0
(1)
where Z, q, and are the real depth of the specific layer,

surcharge load value, and soil unit weight, respectively. As
shown, the values measured from the physical model were
properly represented by both the analytical method (Ehrlich and
Mitchell, 1994) and the numerical (PLAXIS) method. However,
for the values of equivalent depth lower than the compaction
influence depth, i.e., Zeq < 3 m, the results of the numerical
simulation using PLAXIS was more accurate than the Ehrlich
and Mitchell (1994) method (maximum difference less than
6%). When surcharge load values increased, (i.e., Zeq > 3 m),
the measurements, and the values predicted by the Ehrlich and
Mitchell (1994) method and PLAXIS, fully agreed.
Fi
gure 2. Model geometry adopted from prototype.
In Fig. 3, the FEM results are evaluated. This figure shows

the comparison of the determined summation of the maximum
reinforcement tensile stress, Tmax, with those observed from the
physical modeling study, and also the values predicted by the
Ehrlich and Mitchell (1994) method. For details about the
prediction of Tmax by this method, the reader is directed to the
papers by Ehrlich and Mitchell (1994) and Ehrlich et al. (2012).
The equivalent depth of the soil layer (Zeq) is defined by:
774
Figure 3.Comparison of predicted and measured summations of

maximum tensions along the 2nd, 3rd, and 4th reinforcement layers.
PARAMETRIC STUDY
Parametric studies were carried out with different combinations

of facing type, reinforcement stiffness, compaction efforts, and
shear resistance parameter of the backfill soil. In these analyzes
the same geometry of the validation model was considered.
Facing type was evaluated considering block and wrapped
facing wall. No compaction condition and compaction effort
equal to 120 kPa were considered in addition to the 63 kPa
compaction effort used for model validation. The modular
blocks were simulated as linear elastic units. The interface
property defined by Hatami and Bathurst (2006) was used to
simulate the block-block interface. Table 2 presents the value of
the parameters used in the performed analyzes. Note that
is
the relative soil-reinforcement stiffness index (Ehrlich and
Mitchell, 1994), calculated by
Si = Jr/kPaSv
(2)
where Jr is the tensile stiffness modulus of reinforcement, Sv is

the vertical reinforcement spacing, Pa is the atmospheric
pressure and k is the modulus number (hyperbolic stress-strain
curve model).
RESULTS
Fig. 5 shows the values of Tmax versus depth for different

compaction efforts (i.e., no compaction, 63 kPa, and 120 kPa)
for block (dotted line) and wrapped (solid line) faced walls. In
performed analyses reinforcement stiffness index, Si, equal to
0.025 was assumed. Comparison of the curves related to the
results considering or not considering the induced stress due to
compaction shows a very consistent representation of the
expected behavior for block and wrapped faced walls. For a
depth greater than the compaction influence depth, i.e., Z > Zc,
the effect of compaction vanishes because the geostatic stress
overcomes the induced stress due to the backfill soil compaction
and Tmax for the analyzes considering or not considering the
induced stress due to backfill soil compaction would be the
same. Zc is given by zc,i divided by the soil unit weight
(zc,i/). However, for depths lower than the compaction
influence depth (Z < Zc), Tmax would be greater than the
corresponding values for the condition of no compaction. This
behavior is verified in both models with different facing types.
These results agree with the reported physical modeling results
by Ehrlich et al. (2012), which evaluated the effect of
compaction on the behavior of GRS walls.
In addition, Fig. 5 indicates that for the block faced wall, the
maximum tension in the reinforcement occurred almost in the
reinforcements placed at the mid-wall height. However, for the
wrapped faced wall, the maximum value occurred at a lower
level (close to the bottom of the wall). The difference in this
behavior might be attributed to the combined effect of facing
stiffness and toe resistance, which is different in these two types
of wall.
Figure 4. Model geometry used in parametric study.

Table 2. Input parameters used for parametric study.
Parameter
Value
Modular block properties

Model
Linear elastic
Size, (m m)
0.4 0.2
(length height)
Unit weight (kN/m3)
21.8
Poissons ratio
0.15
Stiffness modulus (kPa)
1 106
Figure 5.Values of Tmax versus depth for different compaction efforts.

Solid and dotted lines represent wrapped and block faced walls,
respectively.
Block-block interface
Friction angle (o)
57
Cohesion (kPa)
46
Soil-reinforcement stiffness index Si
0.01, 0.025, 0.1, 0.25, 1
Fig. 6 presents the values of the summation of Tmax versus

different reinforcement stiffness for block and wrapped faced
wall. In this figure, the solid and dashed lines represent results
related to the backfill soil modeled with cohesion values equal
to 1 kPa and 10 kPa, respectively.
Fig. 6 shows that for both facing types, the value of
summation of maximum tension in the reinforcement, Tmax,
increases with reinforcement stiffness. For the wrapped faced
wall, the rate of increase of Tmax for the lower reinforcement
stiffness is less compared with the verified ones for the higher
values of Si. However, for the block faced wall, this rate is
almost constant, irrespective of the reinforcement stiffness
values. Furthermore, comparison of the curves related to
Backfill soil
friction angle ( )
20, 35, 50
Cohesion c (kPa)
1, 10
Compaction effort (kPa)
0, 63, 120
775
different cohesions, i.e., 1 kPa and 10 kPa, displays that lower

cohesion led to a greater value of Tmax, irrespective of facing
type. For the wrapped face wall, the difference between the
determined values of Tmax was greater for lower values of Si,
where the cohesion of the backfill soil was assumed equal to 1
kPa and 10 kPa. Note that the difference in the determined
results decreased with an increase of Si. However, for block
facing the inverse behavior was verified. This discrepancy
might be related to toe resistance and lateral movement
restriction verified in the block faced wall, compared with the
mobilized one in the wrapped faced wall.
Figure 6.Values of the summation of Tmax versus reinforcement stiffness

for no compaction condition and different facing types. Solid line:
cohesion equal to 1 kPa, dashed line: cohesion equal to 10 kPa.
Fig. 7 indicates the values of the summation of Tmax versus

friction angle of the backfill soil, determined in the performed
analyzes considering block and wrapped faced walls. In this
figure, the solid and dashed lines represent results related to the
wall in which the backfill soil is modeled with cohesion values
equal to 1 kPa and 10 kPa, respectively. As shown for both the
block and wrapped faced walls, Tmax declines with an increase
of the backfill soil friction angle. However, the rate of decrease
for the wrapped faced wall is greater than that of the block faced
wall, and this behavior was clearer for the wall where the
backfill soil was modeled with a cohesion value equal to 10
kPa. Fig. 7 also shows that for the wall where the backfill soil
was modeled with a greater friction angle, Tmax is less affected
by the magnitude of the backfill soil cohesion. This behavior
can be clearly seen for the block faced wall.
In this paper, the behavior of reinforced soil walls was studied

through numerical analyzes carried out using the finite element
method. The numerical analysis was performed using the
PLAXIS 2D computer code. The modeling was verified with
the results of a full-scale reinforced soil wall experiment
performed at the Geotechnical Laboratory of COPPE/UFRJ.
Comparison of measured maximum reinforcement tensile stress
and values predicted by both PLAXIS and the Ehrlich and
Mitchell (1994) method show good agreement. In addition,
parametric studies were carried out with different combinations
of: facing type, reinforcement stiffness, compaction efforts, and
shear resistance parameters of the backfill soil. Analysis of the
results showed that:
Comparison of the results for different values of compaction
effort shows that for depths greater than the compaction
influence depth, i.e., Z > Zc, the effect of compaction vanishes
because the geostatic stress overcomes the induced stress due to
backfill soil compaction and the maximum tension in the
reinforcement, Tmax, for the analyzes considering or not
considering the induced stress due to backfill soil compaction
would be the same. However when Z < Zc, Tmax would be
greater than the corresponding values for the condition of no
compaction.
The summation of the maximum tension in the
reinforcement Tmax, increases with reinforcement stiffness.
For the wrapped faced wall, the rate of increase of Tmax for the
lower reinforcement stiffness is less compared with the higher
ones. However, for the block faced wall, this rate is almost
constant, irrespective of the reinforcement stiffness value.
Tmax for the walls modeled with greater backfill soil cohesion
is less than that for those with lower backfill soil cohesion,
irrespective of facing type. For block faced wall, for analyzes
where the cohesion of backfill soil was assumed equal to 1 kPa
and 10 kPa, the difference between Tmax for lower
reinforcement stiffness values was less compared with higher
reinforcement stiffness. However, for the wrapped faced wall,
the inverse behavior was verified.
An increase of backfill soil friction angle leads to lower
values of Tmax. However, the rate of decrease for the wrapped
faced wall is greater than that for the block faced wall.
Furthermore, for walls in which the backfill soil was modeled
with greater friction angle, Tmax is less affected by the
magnitude of the backfill soil cohesion.
6
Figure 7. Values of the summation of Tmax versus friction angle of the

backfill soil for no compaction condition and different facing types.
Solid line: cohesion equal to 1 kPa, dashed line: cohesion equal to 10
kPa.
776
CONCLUSIONS
REFERENCES
Brinkgreve, RBJ., Vermeer, PA. (2002). PLAXIS: nite element code

for soil and rock analyses. version 8. Balkema.
Duncan, J. M., Chang, C. Y. (1970). Nonlinear analysis of stress and
strain in soil. Journal of the Soil Mechanics and Foundations
Division, ASCE, 96, No. 5, pp. 16291653.
Ehrlich, M., Mirmoradi, S.H., Saramago, R.P. (2012). Evaluation of
the effect of compaction on the behavior of geosynthetic-reinforced
soil walls. Geotextiles and Geomembranes 34, pp. 108-115.
Ehrlich, M., Mitchell, J.K. (1994). Working stress design method for
reinforced soil walls. J. Geotech. Eng., ASCE, Vol. 120 (4), pp.
625-645.
Guler, E., Hamderi, M., Demirkan, M. M. (2007). Numerical analysis
of reinforced soil-retaining wall structures with cohesive and
granular backfills. Geosynthet. Int. J., 14, No. 6, pp. 330-345.
Hatami, K., and Bathurst, R.J. (2006). A numerical model for
reinforced soil segmental walls under surcharge loading. J.
Geotech. Geoen. Eng., ASCE, 132(6), pp. 673684.
Ling, H. I., and Leshchinsky, D. (2003). Finite element parametric
study of the behavior of segmental block reinforced-soil retaining
walls. Geosynthet. Int. J., 10(3), pp. 7794.
Romstad, K.M., Herrmann, L.R., and Shen, C.K. (1976). Integrated
Study on Reinforced Earth - I: Theoretical Formulation. J.
Geotech. Eng., ASCE, Vol. 102, No. GT5, pp. 457-472.
Application of Genetic Algorithms with Hill Climbing Procedure to a Constitutive

Model for Hard Soils and Soft Rocks
Application des algorithmes gntiques avec la mthode de gradient un modle constitutif
pour sols durs et roches tendres
Pereira C., Caldeira L.
National Laboratory for Civil Engineering, Lisbon
Maranha das Neves E., Cardoso R.

ICIST, Instituto Superior Tcnico, Lisbon Technical University
ABSTRACT: For engineering applications, the complex behaviour of hard soils / soft rocks can be modelled using advanced
constitutive models, although they require a great number of parameters. The application of Genetic Algorithms with a local search
technique has proven to be a useful tool to be used in their determination. A constitutive model for hard soil / soft rocks was used to
fit the experimental results measured in tests performed in marl specimen. This model was implemented in the explicit finite
difference code FLAC and its calibration was done using a Genetic Algorithm with Hill Climbing procedure implemented in
MATLAB. The use of the two programs with complete distinct objectives (MATLAB to the fitting process and FLAC to the
numerical calculations) provides great flexibility to the implementation of any constitutive model to reproduce the results from
experimental tests.
RSUM : Pour les applications en ingnierie, le comportement complexe des sols durs / roches tendres peut tre modlis l'aide de
modles constitutifs avancs mme sils ncessitent un grand nombre de paramtres. Lemploi des algorithmes gntiques avec une
technique de recherche locale, sest avr un outil utile pour la dtermination de ces paramtres. Un modle de comportement pour les
sols durs/ roches tendres a t utilis pour ajuster les rsultats exprimentaux mesurs lors de tests sur des chantillons de marne. Ce
modle a t mis en uvre dans le code aux diffrences finies explicite FLAC et son calibrage a t fait en utilisant un algorithme
gntique avec la procdure Hill Climbing install dans MATLAB. Lutilisation conjointe de ces deux programmes avec des
objectifs compltement diffrents (MATLAB pour lajustage des paramtres et FLAC pour les calculs numriques) donne une grande
flexibilit cette technique pour la mise en uvre de modles constitutifs pour reproduire les rsultats dessais.
KEYWORDS: Genetic Algorithm, Hill Climbing procedure, constitutive model, hard soils / soft rocks, marls.
1
INTRODUCTION
In general, marls are classified as hard soils / soft rocks, HSSR,

and exhibit evolutive behaviour, since their mechanical and
hydraulic properties are strongly affected by suction and stress
changes, related with plastic strain, wetting / drying cycles and
others weathering processes (Cardoso 2009). Evident physical
degradation results from these changes.
HSSR are often treated as bonded materials in which links
(cements or other physical connections) provide additional
strength and stiffness to the soil structure. Progressive rupture of
these bonds, caused by stress and suction changes, affects
irreversibly the hydro-mechanical behaviour of these materials.
Several constitutive models for HSSR can be found in the
literature (Nova 2005, Gens and Nova 1993, Kavvadas and
Belokas 2001, Hashiguchi 2009). Most of the existing models use
bond degradation as a function of the accumulated plastic strains
and damage laws to represent the behaviour of these materials.
An extensive experimental programme was developed in
order to characterise the physical, mechanical and hydraulic
properties of Abadia marls, dated from the Upper Jurassic. These
geomaterials occurred and were used in the A10 motorway
(Arruda dos Vinhos, Portugal). For the numerical modelling of
structures formed with these marls, a nine parameter
constitutive model based on the two yield surfaces concept
presented by Gens and Nova (1993) was developed and applied.
For the evaluation of these parameters a genetic algorithm (GA)
was implemented.
Previous GA application for parameter determination
purposes allowed demonstrating the efficiency and flexibility of
this procedure (Pal et al. 1996). Also the association of a local
search technique, like Hill Climbing (HC), improved the
convergence of GA (Taborda et al. 2011).
777
In this paper, a GA with an embedded HC procedure was

implemented in MATLAB to fit a HSSR constitutive model to
the marls experimental results. The constitutive model
formulation is herein presented and was implemented in the
explicit finite difference code FLAC (through the programming
language C++).
2
CONSTITUTIVE MODEL FOR HSSR
In the constitutive model presented in this section all the

stresses considered are effective stresses. This model has two
yield surfaces, and , based on modified Cam Clay yield
surface (see Figure 1), defined as:
=
+ +
(1)
(2)
where represents the bonded material yield surface (current

yield surface), the idealised yield surface of the unbounded
material corresponding to the limiting case of destructured soil,
= tr3 and = dev are the mean and deviatoric parts
of the effective stress tensor , respectively, is a material
parameter, and are the yield mean stress of the
unbonded and bonded materials, respectively, and is the yield
mean stress in tension of the bonded material.
d d
(11)
Through the consistency condition, defined as
: d
d
d
: d
d
d
d 0

d
the plastic multiplier, , is obtained by
Figure 1. Representation of the models yield surfaces, in a (p,q) space.
When = 23 , the modified Cam Clay yield surface is

obtained for . The two yield surfaces concept follows the
work presented by Gens and Nova (1993).
The elastic behaviour is governed by the following
hypoelastic model
d d d 2d
1
2
3
3 1 2
2 1
and the value of is defined as

(9)
where represents the part of the yield mean

stress corresponding to the bond effects and defines the value
of as a function of .
According to the same author, the hardening laws of the
and take the form of Eqs. 10 and 11, where parameter
depends on the bond fragility, since it measures the rate at
which the bonds are broken and the soft rock is transformed into
a destructured soil, is the normal compression line slope of
the unbounded material, controls the value of dilatancy at
failure, d is the plastic volumetric strain increment and d is

the deviatoric part of the plastic strain tensor increment.
d
d d
(10)
778
tr dev .
(13)
(14)
(15)
(16)
The increment of the effective stress tensor, d, is defined as
(6)
(8)
tr
(5)
where is the plastic multiplier.

This model has two hardening laws: (i) the first one is
related with the behaviour of the unbonded yield surface, ,
and (ii) the second one is related with the decrease of the space
between both yield surfaces as a result of debonding.
Based on the work presented by Nova (2005), the bonding
effects can be quantified by a parameter b, defined as
(4)
(7)
with
(3)
where d is the increment of the elastic effective stress tensor,

the fourth order elastic stiffness tensor, and the elastic
bulk and shear modulus, respectively, the Poissons ratio, d
the elastic volumetric strain increment, d the deviatoric part of
the elastic strain tensor increment and the swelling lines slope.
An associated plastic flow law is considered. Therefore, the
plastic strain rate, d takes the form
d
(12)
d d
(17)
This constitutive model requires the definition of nine

parameters: six constants (, , , , and ) and three initial
values (, , , and ), in addition to the initial stress
and strain tensor, and , respectively.
MARLS PROPERTIES AND EXPERIMENTAL TESTS
An extensive set of experimental tests was performed to

characterise the behaviour of the marls studied in unsaturated
states (Cardoso 2009, Muralha et al. 2011). The tests performed
on rock specimens for characterising the mechanical properties
of this marl are unconfined compression tests, Brazilian splitting
tests, oedometric tests and isotropic compression tests followed
by triaxial tests. Unsaturated states were achieved using vapour
equilibrium as controlled suction technique (Cardoso, 2009).
Only the results of the triaxial tests performed under constant
suction 39 MPa ( 75%) are analysed in this paper.
The model adopted was used to this unsaturated material
after computing effective stresses using Eq. 18 proposed by
Alonso et al. (2010)

(18)
where, is the effective stress tensor, the net

stress tensor, the total stress tensor, the air pressure, s the
suction, the degree of saturation and the parameter that
corrects the global degree of saturation to discount the
microstructural degree of saturation, which quantifies the
immobile water within the soil that does not affect volume
changes. For 39 MPa, 35% considering the water
retention properties of the marls determined by Cardoso (2009).
For this material 4.56. Assuming 0,
325.1 kPa.
The stress paths adopted in these tests consisted of a first stage
where isotropic compression was applied, followed by the
increment of the axial stress until shear failure. Two
unloading / reloading cycles were applied in the isotropic
compression phase under the confinement mean stress
corresponding to the beginning of the shear phase. Five tests were

performed under this constant suction, having different confining
pressures: 4 MPa (tests 3 and 4), 8 MPa (tests 6 and 8), and
12 MPa (test 12) (Muralha et al. 2011). Only test 12 is analysed in
this paper because it differs from the others due to the fact that
one unloading / reloading cycle was applied in shear phase. This
cycle is important to characterise the shear stiffness in the elastic
range necessary for the constitutive model. The curves
corresponding to the two loading stages are shown in Figure 2.
For this test 12 MPa at the beginning of the shear phase.
Initial
population
Numerical
simulation
Evaluation
of fitness
Crossover
Generation
of 25% new
individuals
Selection of
the 25% best
individuals
Mutation (not
applied in this
paper)
MODEL CALIBRATION
The parameters for the constitutive model were determined by

fitting the experimental results found in test 12 using a GA and
a HC procedure implemented in MATLAB. The constitutive
model was implemented in FLAC.
Numerical
simulation
Perform new iteration

until exit criterion is
satisfied
Evaluation
of fitness
Hill
Climbing
Figure 3. Scheme for implementing HC procedure into the GA in

MATLAB with the numerical simulations in FLAC.
Table 1. Limits of the search area of each parameter.
0
Parameter
Max
Min
Parameter
Max
Min
0.007
0.002
3.0
0.0
0.030
0.008
pcb,ini
8000
3000
1.85
1.20
bini
3.0
0.0
10
0.35
0.25
ini
0.5
0.0
v (10-3)
12
GA are assumed to be global search methods used to solve

optimisation problems (see Pal et al. 1996). They employ
concepts from the theory of natural evolution, such as selection,
mutation, inheritance and crossover. HC procedure is a local
direct search optimisation technique which, starting from a
given initial solution, attempts to improve it by randomly
altering its characteristics. The linkage between GA and HC
was done according to the recommendations presented in
Renders and Bersini (1994) and Taborda et al. (2011).
A simplified diagram illustrating the implementation process
is presented in Figure 3. The algorithm starts with the definition
of the initial population. For this problem, the initial population
was randomly generated and was composed by 256 individuals.
Each individual had 8 parameters (8 genes), which are the
parameters of the model previously defined. In fact they should
be 9 parameters but was considered to be zero because the
experimental curves measured in the shear phase tended to a
horizontal line (Figure 2b and c). The limits of the search area
of each parameter are presented in Table 1. The limits of
ensure , > , (Eq. 8).
Mutation, usually introduced in GA methods to avoid their
early convergence into a unique solution, is replaced by
coupling HC to GA because HC modifies the genes in each
iteration.
The numerical simulation of each individual was performed
by FLAC with the purpose to reproduce test 12 in both isotropic
compression and shear stages. The unloading / reloading cycles
from the two stages were considered.
The evaluation of each individual was made by measuring
the area between the numerical and the experimental curves
defined in spaces (i) , (ii) and (iii) , where
14
16
0.0
a)
2.5
5.0
7.5
10.0
12.5
p (MPa)
40
35
q (MPa)
30
25
20
15
10
5
0
0
b)
10
15
20
25
30
q (10-3)
0
2
v (10-3)
4
6
8
10
12
2
=
3
14
16
c)
10
15
20
25
30
q (10-3)
(19)
represents the deviatoric strain. The results were considered on

dimensionless spaces to avoid scale effects. The 25% best
individuals were selected to the next iteration.
Figure 2. Experimental data of the test 12 defined in total stresses: a)

isotropic phase, b) and c) shear phase.
779
The following iteration started with the random generation of

more 25% of individuals, always using the limits presented in
Table 1. After a random process where pairs of parents were
formed, the crossover of the individuals was done with
alternate with variable probability crossing method (Taborda
et al. 2008, cited by Azeiteiro 2008). The other 50% of
individuals were generated by this manner, using the
information of their progenitors.
FLAC was used to test the 75% new individuals, which were
evaluated using the procedure of measure the areas between the
numerical and the experimental curves. After this, a new HC
was applied only to the 25% best individuals, and the rest of the
procedure was repeated until 150 iterations. A visual validation
of the results was done.
The final results are presented in Figure 4 for all the spaces
considered, namely (i) , (ii) and (iii) . The
final parameters are in the Table 2. A good agreement was found
between the numerical and the experimental data of test 12.
0
5
isotropic
phase
v (10-3)
10
Model
Test 12
15
20
shear
phase
25
30
0
a)
10
15
20
35
q (MPa)
30
25
20
15
10
Model
Test 12
5
0
5
10
15
20
25
30
q (10-3)
15
Model
Test 12
17
v (10-3)
19
21
23
25
27
29
c)
10
15
Value
Parameter
Value
0.0041
2.059
1.414
20
0.0111
0.284
7396.5
0.304
2480.1
CONCLUSIONS
The constitutive model for HSSR used to simulate the

behaviour of Abadia Marls requires 9 calibration parameters.
Their calibration was done by fitting numerical results to
experimental curve using a Genetic Algorithm with Hill
Climbing procedure implemented in MATLAB. The physical
meaning of the parameters was ensured by a proper definition of
their search limits.
The simulation of the triaxial test on one specimen subjected
to isotropic compression until reaching 12MPa, followed by
shear until almost 35MPa, was done using FLAC. The
comparison between the numerical and the experimental results
shows a good agreement. This proves that this type of
algorithms can be used in the determination of numerical
parameters of constitutive models.
The link between MATLAB and FLAC used as
complementary numerical tools provides great flexibility to this
type of algorithms, for the determination of parameters of
constitutive models with results from any experimental test.
6
40
Parameter
25
p (MPa)
b)
Table 2. Final parameters for the model.
25
30
q (10-3)
Figure 4. Comparison between the results obtained by the constitutive

model and the test 12: a) v p, b) q q and c) q v.
780
REFERENCES
Alonso, E.E., Pereira, J.-M., Vaunat, J. and Olivella, S. 2010. A

microstructurally-based effective stress for unsaturated soils.
Gotechnique, 60(12), pp. 913-925.
Azeiteiro R.N. 2008. Application of genetic algorithms to calibrate soil
behaviour models. Master Thesis, Faculty of Sciences and
Technology, University of Coimbra (in Portuguese).
Cardoso R. 2009. Hydro-mechanical behaviour of compacted marls. PhD
Thesis, Instituto Superior Tcnico, Lisbon Technical University.
Gens A. and Nova R. 1993. Conceptual bases for a constitutive model
for bonded soils and weak rocks. Geotechnical Engineering of
Hard Soils Soft Rocks, 485-494, Balkema, Rotterdam,
Hashiguchi K. 2009. Elastoplasticity theory. Lecture Notes in Applied
and Computational Mechanics, Volume 42, Springer.
Kavvadas M. and Belokas G. 2001. An anisotropic elastoplastic
constitutive model for natural soils. Computer Methods and
Advances in Geomechanics, 335-340, Balkema, Rotterdam.
Muralha J., Cardoso R., Maranha das Neves E. and Caldeira L. 2011.
Hydro-mechanical characterization of Jurassic marls to study load
degradation. Proc. XV European Conference on Soil Mechanics
and Geotechnical Engineering, 647-652, Athens, Greece.
Nova R. 2005. A simple elastoplastic model for soils and soft rock. In
Soil Constitutive Models: Evaluation, Selection and Calibration,
ASCE, Geotechnical Special Publication, No. 128, 380-399.
Pal S., Wathugala G. and Kundu S. 1996. Calibration of a constitutive
model using genetic algorithm. Computers and Geotechnics, 19(4),
325-348.
Renders J.M. and Bersini H. 1994. Hybridizing genetic algorithms with
hill-climbing methods for global optimization: Two possible ways.
Proceedings of the First IEEE Conference on Evolutionary
Computation, Orlando, FL, USA. Vol. 1, 312-317.
Taborda D.M.G., Pedro A., Coelho P.A.L.F. and Antunes D. 2011.
Impact of the integration of a hill climbing procedure on the
performance of a genetic algorithms-based software. Proc. 2nd
International Symposium on Computational Geomechanics
COMGEO II, Cavtat, Croatia, International Centre for
Computational Engineering.
Taborda D.M.G., Coelho P. A.L.F, Antunes D. and Antonio P. 2008.
Genetic algorithms as a calibration method for constitutive models.
XI Congresso Nacional de Geotecnia, Portugal (in Portuguese).
Analytically and experimentally based resistance factors for "full-flow"

penetrometers
Rsistance-facteurs pour "full flow" pntromtres, bas sur rsultats analytiques et exprimentaux
Pinkert S.
Department of Civil Engineering, University of Calgary, Calgary, Canada.
Klar A.
Faculty of Civil and Environmental Engineering, Technion Israel Institute of Technology, Haifa, Israel.
ABSTRACT: There are several geotechnical problems for which the formulation of large deformations is vital for their solution.
Among these problems are in-situ penetration tests. In this paper, a new numerical approach is used to solve such problems efficiently
with the aim to calibrate fundamental soil properties to fit the global penetration resistance obtained from experimental studies. The
utilized numerical method treats the continuum as rigid plastic with a non-uniform strength field, where the spatial distribution of
strength is determined by converting time changes into spatial distributions using the governing equation of steady state flow. For this
purpose, the method employs an upstream weighting technique for determination of information flow within the domain. Using the
suggested method, the resistance factors for in-situ T-bar and ball penetrometers were obtained under a various soil conditions. These
included the rate effect on the soil, strain softening and anisotropy, all of which affect the shear strength of the soil. General
expressions for the resistance factors of the T-bar and ball penetrometers are finally suggested for engineering use.
RSUM : Il ya plusieurs problmes gotechniques pour lesquels la formulation des grandes dformations est vitale pour leur
solution. Parmi ces problmes, les tests de pntration in situ. Dans cet article, une nouvelle approche numrique est utilise pour
rsoudre ces problmes de manire efficace. Lobjectif est de calibrer les proprits fondamentales du sol pour sadapter la
rsistance la pntration globale obtenue partir des rsultats exprimentaux. La mthode numrique, qui a t utilise, reprsente le
continuum comme plastique rigide avec une intensit de champ non uniforme, o la rpartition spatiale de la rsistance est dtermine
par des changements de temps e convertir les distributions spatiales en utilisant des quations de dbit en rgime permanent. A cet
effet, le procd met en uvre une technique de pondration pour la dtermination de lamont du flux dinformation dans le domaine.
Lutilisation de la mthode propose, les facteurs de rsistance pour lin situ T-bar pntromtre et le pntromtre billes ont t
obtenus dans un sol diffrent. Les analyses incluent les effets du sol ; taux effet, adoucissement et l'anisotropie, qui tous affectent la
rsistance au cisaillement du sol. Expressions gnrales pour les facteurs de rsistance du pntromtre barre en T et le pntromtre
billes sont finalement suggrs d'utiliser l'ingnierie.
KEYWORDS: full-flow, penetration test, in-situ, undrained shear strength.
INTRODUCTION
3.5 cm
c
25
T-bar
781
3.5 cm
4c
In situ continuous penetration tests have the ability to

characterize the soil profile with minimal disturbance.
Commonly, the test is performed by inserting a penetrometer at
a constant rate while measuring the resistance force, with which
the soil strength may be correlated.
This paper focuses on T-bar and ball penetrometers,
presented in Fig. 1, which have been used increasingly over the
last decade especially in offshore engineering (Randolph, 2012).
These devices are also called full-flow penetrometers, since
the soil can flow fully around them (ignoring the presence of the
leading shaft). The penetration resistance of the full-flow
penetrometers is less affected by the additional volume that is
being pushed into the ground (comparing to the CPT), as it is
mainly governed by the flow-around failure mechanism. In
other words, the behavior is practically independent of the
elastic stiffness.
During the penetration process, soil elements which were
located below the penetrometer are later found above it.
Consequently, the undrained shear strength might be disturbed
along this path due to the cumulative shear strains and rotations
the soil elements had experienced. Therefore, in order to
evaluate the relation between the global penetration resistance
and the soil undisturbed undrained shear strength, a thorough
investigation of both the failure mechanism of the soil and the
different soil strength effects should be performed.
Ball
11.3 cm
Figure 1. The T-bar and ball penetration devices.
UPSTREAM WEIGHTING METHOD
For this aim, this paper utilizes the topological ordering based
upstream weighting method developed by Klar and Pinkert
(2010). The methods formulation is relevant to undrained
conditions and for problems in which the overall behavior is
governed by plastic flow (and not by elastic deformation). The
method considered the penetration process as steady state
problem, from the penetrometer point of view, in which time
changes are interchangeable with spatial distribution. The
strength field obtained efficiently by integrating state variables
along streamlines. Rather than backtracking and integrating
each element behavior along its individual streamline, the

method utilizes topological ordering based on upstream
weighting, and calculates the cumulative information within the
flow direction. The use of this method allows consideration of
various aspects of soil behavior, including rate effect, strain
softening and anisotropy. General agreement between the
results of this method and the numerical re-meshing method
of Zhou and Randolph (2007, 2009) exists. It should be noted
that the upstream weighting method has the engineering
advantage of being an upper-bound solution, and thus
necessarily conservative for evaluating strength values from
penetration resistance.
3
ST=2,
0.16
1:1
0.12
0.1
Eq. 3
0.08
0.06
0.02
0
3.1. Strain rate effect:

The strain rate factor used in this work is based on Dayal and
Allen (1975), and is the basis of many other works (e.g.,
Randolph, 2004, Einav and Randolph, 2005, Yafrate and
DeJong, 2007, Klar and Osman, 2008, Klar and Pinkert, 2010,
Zhou and Randolph, 2007&2009), given by:

su
1 logmax
,1
(2)
ref
su 0
where is the maximum engineering shear strain

rate 1 3 , ref is the reference shear rate associated with
su0 (1%/hour for standard CU triaxial test) and is the soil
viscosity parameter. Yafrate et al. (2009) suggested extracting
directly from the global resistance of two penetration tests at
different penetration rates using the same logarithmic relation as
Eq. 2, applied directly on the velocity. Pinkert (2012) utilized
the upstream weighting analyses to show that used in Eq. 2
is not the same parameter which describes the increasing in the
global penetration resistance due to the increase in the
penetration rate, , as can be shown in Fig. 2.
In addition to the numerical analyses, Pinkert (2012)
developed an algebraic relation between these two parameters,
given by:
1 5 *
(3)
q1 / q2 1
*

logv / d 1 / v / d 2
where q is the penetration resistance (in stress units), v is the
penetration velocity, d is the penetrometer diameter, and the
subscripts 1 and 3 denotes two different penetration tests.
=1
=0
Ball
=1
=0
Tbar
0.04
0.05
0.1
0.15
(used in the strength law)
0.2
0.2
ST=20,
0.16
The soil strength might be modified due to different soil effects.

The formulation of the undrained shear strength in this work
describes shear rate strengthening, fr , strength degradation due
to accumulation of shear strains, fss, and due to the influence of
large rotations in anisotropic soils, fan. The effect of these three
factors on the undrained shear strength is given by:
(1)
su f r f ss f an su 0
where su is the undrained shear strength and su0 is the reference
(undisturbed) undrained shear strength. The above soil strength
effects were rigorously studied and presented below:
95=50
0.14
0.18
SOIL STRENGTH
0.2
0.18
95=10
0.14
1:1
0.12
0.1
Eq. 3
0.08
0.06
=1
=0
Ball
0.04
0.02
0
=1
=0
Tbar
0.05
0.1
0.15
0.2
(used in the strength law)
Figure 2. versus for the all range of friction ratio (0 1), and
for different softening properties, after Pinkert (2012).
3.2. Strain softening effect

The strain softening factor used in this work was developed by
Pinkert (2012), and may be considered a modification of the
common strain softening model used in all previous works
(e.g., Randolph, 2004, Einav and Randolph, 2005, Yafrate and
DeJong, 2007, Klar and Osman, 2008, Klar and Pinkert, 2010,
Zhou and Randolph, 2007&2009), given by:
su
1
1 3 / 95
e
(4)
1
su 0 ST ST
where ST is the soil sensitivity (=su0/su,residual), is the
cumulative engineering strain rate, is the amount of
required for 95% remolding and is a constant.
Theparameter does not exist in all previous (aforementioned)
works. Pinkert (2012) showed that a value of 2/3 for gives a
good fit to the decay function observed in cyclic penetration
tests, under a wide range of soil sensitivities. Note that the
relation between 95 and N95 (the number of cycles required to
achieve 95% degradation in the measured resistance, in a cyclic
penetration test) as presented in Einav and Randolph (2005) is
somewhat inconsistent, since N95 is associated with degradation
from the first insertion which cannot truly represent an
undisturbed state (since does not remain zero at the first
insertion). For that reason, Pinkert (2012) suggested a
theoretical parameter, N*95, which is related to N95, and thus can
be extracted from field test results. The expression for
evaluating from cyclic field test results is given by:
*
2/3
95 2 p N 95
2 p N 95
0.5 2 / 3
3/ 2
(5)
where N95 can be correlated with ST following Yafrate et al.

(2009):
(6)
N 95 9.6ST0.27
and p is the average magnitude of shear strain undergone by
soil elements passing through the failure mechanism in
individual penetration, which can be estimated based on values
presented in Zhou and Randolph (2009) for both T-bar and ball:
p ,Tbar 0.83 logST 3.09
(7)
p , ball 1.1 logST 2.62
782
0.438
N ball 2 N ball ,ref 1 0.55 log ST

S 1.8
1 11T
4.2 *
v / d
1 * log
2 1
*
v / d ref
1 5
Fig. 3 shows the agreement between the results obtained using

the new softening model (Pinkert, 2012) and the commonly
used softening model, for one of the examined test sites
reported by Yafrate et al. (2009). Similar agreement was
obtained for the other sites. This degradation model is later used
in the creation of a general expression for engineering use.
(10)
3.3. Anisotropy effect:

where NTbar,ref =11.98 and Nball,ref =15.23, which relate to the
conventional penetration velocity and penetrometer geometry,
for a non-viscous soil. (v/d)ref is equal to 0.5 for T-bar and 0.18
for ball. The parameter * may be evaluated from at least two
test results, at different v/d ratios, according to Eq. 3 and the
value of ST can be evaluated using the first insertion and first
extraction of the penetrometer (Yafrate et al., 2009):
Klar and Pinkert (2010) examined the effect of soil anisotropy.

In this specific problem the resistance is also affected by the
rigid body rotation which soil elements experience through the
penetration process. Two models of anisotropy were considered:
[a] in which the anisotropy ratio remain constant with
degradation, and [b] in which the anisotropy ratio diminishes
with increasing cumulative shear strains. It was found that if an
average undrained shear strength value (i.e. average of the
undrained shear strengths measured in the horizontal and the
vertical directions) is used in the normalization of the resistance
factor, the effect of anisotropy is minimal. Consequently, the
measured penetration resistance may only indicate on the
average strength.
3.7
q
ST in
(11)
qout
where qin and qout are the penetration resistances (=P/A) at the
first insertion and extraction, respectively, in a cyclic
penetration test.
5
CONCLUSIONS
The paper utilizes an advance numerical approach, which is

calibrated using field experimental tests results, to produce a
unified expression for the evaluation of the undrained shear
strength from full-flow penetrometers (T-bar and ball). The
resulting expressions may be used for determination of the soil
undrained strength value, by a set of minimum two tests, one
cyclic and the other under different penetration rate.
6
Dayal U. and Allen J.H. 1975. Effect of penetration rate on strength of

remolded clay and sand samples. Canadian Geotechnical Journal
12 (3), 336348.
Einav I. and Randolph M. 2005. Combining upper bound and strain path
methods for evaluating penetration resistance. International
Journal for Numerical Methods in Engineering 63 (14), 1991-2016.
Klar A. and Osman A. S. 2008. Continuous velocity fields for the T-bar
problem. International Journal for Numerical and Analytical
Methods in Geomechanics 32, 949963.
Klar A. and Pinkert. S. 2010. Steady state solution for cylindrical
penetrometers. International Journal for Numerical and Analytical
Method in Geomechanics 34, 645-659.
Pinkert S. 2012. Solution of steady state plastic flow problems in
saturated clays, PhD dissertation, Technion - ITT, Israel.
Randolph M. F. 2004. Characterisation of soft sediments for offshore
applications. Proc. 2nd Int. Conf. on Site Characterisation 1, 209
231, Porto.
Randolph, M.F. 2012. Offshore Geotechnics the Challenges of
Deepwater Soft Sediments. ASCE Geotechnical Special Publication
No. 226: Geotechnical Engineering State of the Art and Practice:
Keynote Lectures from GeoCongress 2012. 241-271.
Yafrate N. J. and DeJong J. T. 2007. Influence of penetration rate on
measured resistance with full-flow penetrometers in soft clay. In
New Peaks in Geotechnique, GeoDenver. Denver. US.
Yafrate N.J., DeJong J.T., Degroot D. and Randolph
M.F. 2009. Evaluation of remolded shear strength and sensitivity of
soft clay using full flow penetrometers. Journal of Geotechnical
and Geoenvironmental Engineering 135 (9), 1179-1189.
Zhou H. and Randolph M.F. 2007. Computational techniques and shear
band development for cylindrical and spherical penetrometers in
strain-softening clay. International Journal of Geomechanics 7(4),
287-295.
Zhou H. and Randolph M. F. 2009. Numerical investigations into
cycling of full-flow penetrometers in soft clay. Geotechnique
59(10), 801812.
Figure 3. Normalized cyclic penetration resistance results for each

cycle, n, of the (1) experimental results, (2) the numerical results using
the commonly used stain softening model and (3) the numerical results
using the new strain softening model.
ALGEBRAIC EXPRESION FOR ENGINEERING USE
The above trends and solutions were unified to result in a single

algebraic expression, which was calibrated using the topological
ordering based upstream weighting method developed by Klar
and Pinkert (2010). The range of calibration corresponds to
*0.15, ST50 and 0.05v/d12.5. For engineering use, the
undisturbed undrained shear strength, su0, may be evaluated as
follows:
P
(8)
su 0
AN i
where P is the measured penetration force, A is the projected
area of the penetrometer, and Ni is the resistance factor for Tbar and ball as given by:
0.114
N Tbar 1 N Tbar ,ref 1 0.22 log S T

ST 7
1 15
4.5 *
v / d
1 * log
1 1
*
v
/ d ref
1
5
REFERENCES
(9)
783
Analysis of ettringite attack to stabilized railway bases and embankments

Analyse de lattaque chimique par ettringite de remblais et plateformes ferroviaires stabilises
Ramon A.
Department of Geotechnical Engineering and Geosciences, UPC, Barcelona, Spain
International Center for Numerical Methods in Engineering (CIMNE), UPC, Spain
Alonso E.E.
ABSTRACT: Two cases of massive sulphate attack to cement treated embankments and track bases in a high speed railway line are
described. In the first case, two large access embankments to a railway viaduct were treated with jetgrouting columns. In the second
case a compacted cement treated soil was placed over a rigid concrete caisson. The treated layer, 1.5 m thick, expanded at a
continuous rate of 0.9-1.3 mm/month. In the two cases the soil was excavated from nearby cuts in gypsiferous Tertiary (Oligocene)
claystones. Ettringite and thaumasite crystals were found within the expanding levels. The chemical evolution of an interface between
a cement treated body and a compacted soil is presented. Solutions adopted to remediate the created problem are briefly described.
RSUM : On dcrit dans cet article deux cas dattaque par sulfates, la premire dans un remblai trait au ciment et la deuxime dans
une plateforme ferroviaire de train grande vitesse. Plus prcisment, le premier cas traite de deux grands remblais daccs un
viaduc de chemin de fer qui avaient t stabilis avec des colonnes de jet-grouting. Le second cas considre une couche de sol
compact traite au ciment et reposant sur des caissons rigide en bton. Dans les deux cas, le sol tait le matriau provenait
dexcavations proches dans des argilites tertiaires (Oligocne) gypsifres. La couche traite 1,5 m dpaisseur a gonfl un taux
continu de 0.9 1.3 mm / mois. Des cristaux d'ettringite et thaumasite ont t trouvs dans les niveaux gonflants. Larticle prsente
l'volution chimique qui se produit linterface entre un corps trait au ciment et un sol compact. Les solutions adoptes pour
remdier au problme sont brivement dcrites.
KEYWORDS: Swelling, ettringite, gypsum, sulphate attack, embankments
1
INTRODUCTION
Sulphate attack in cement and lime treated soils has been often
reported in stabilised road bases and subbases when the soil has
some proportion of gypsum, or the treated soil is exposed to
sulphated waters. Sulphate attack results in loss of strength and
significant heave (Sherwood, 1962; Mitchell & Dermatas, 1992;
Puppala et al., 2003; Rajasekaran, 2005). Some of these studies
discuss the minimum sulphate content which triggers the attack.
Sherwood (1962) described an unconfined compressive strength
reduction of 24% of treated soil when the sulphate content was
as low as 0.25%.
Sulphate attack leads to the development of ettringite
(Ca6[Al(OH)6]2(SO4)326H2O). This mineral crystallises in
bundles of elongated filaments. The development of ettringite
implies a destruction of the strength of the cement paste and a
substantial
swelling.
Another
mineral,
thaumasite
(Ca6[Si(OH)6]2(CO3)2(SO4)224H2O), develops also as a
consequence of sulphate attack. In both minerals, the presence
of water is remarkable. The development of ettringite and
thaumasite follows a complex process which has been described
by Mitchell & Dermatas (1992) and Mohamed (2000). The
highly basic environment (pH in excess of 12) created by the
hydration of cements calcium oxide is capable of dissolving the
clay minerals and releasing Al and Si ions. High pH also favors
the dissolution of sulphate minerals, which provides Ca++ and
SO4-- ions. Ettringite precipitates when aluminum released from
clays, calcium from cement or lime and sulphates combine with
water molecules. Carbonic acid, present in the pore water and
the dissolution of calcite leads to precipitation of thaumasite,
once ettringite is present. Crystals develop in the pore solution.
Most of the geotechnical literature on sulphate attack
concerns the stabilisation of compacted road bases and subbases. In those cases the treatment is applied to relatively thin
layers and the sulphate attack results in surface heave and
785
reduction of soil strength. In contrast, the two cases affected by

sulphate attack described here concern larger soil masses in
railway embankments. Field observations, laboratory tests and
remedial measures are described below.
2
PALLARESSOS EMBANKMENTS
Thaumasite and ettringite crystal growth is at the origin of an

intense expansion that affected two embankments, 18 meters
high, located in the Madrid-Barcelona high speed railway. The
case of sulphate attack to Pallaressos embankments is described
in detail in Alonso and Ramon (2012).
The embankments were made of compacted sulphated
Tertiary claystone. The embankments material belongs to the
same geologic formation where Lilla tunnel (Alonso et at.,
2012) and Pont de Cand bridge (Alonso and Ramon, 2012),
have experienced severe heave problems due to gypsum crystal
growth.
Pallaressos embankments give access to a bridge 196 meters
long. A transition wedge was built next to abutment structures
in both embankments in order to provide a progressive change
of stiffness when trains approach the rigid bridge structure.
Cement treated soil was used for the construction of both
wedges (Figure 1).
Heave of the surface of embankments, near the abutments,
was detected at an early time after the end of the embankments
construction during the track levelling monitoring carried out
periodically by the railway administration. Afterwards a grid of
jet grouting columns was executed on both embankments to
stabilize the embankment material. However, heave rate did not
stop after the jet grouting treatment. Continuous extensometers
installed in boreholes through the embankments showed that
strains were developing in the upper 8-10 m of the
embankments (Figure 2).
dangerous state of passive stresses had been developed on the

upper 8-10 m of the embankment. A total force against the
bridge abutments of 2.32MN/m, induced by swelling of
embankments, was calculated.
3
3.1
Figure 1. Design of the embankment
Inclinometers installed in boreholes indicated that swelling

deformations occur not only in the vertical direction, but also in
the horizontal direction. Monitoring of topographic marks
installed on the surface of the embankments confirmed that a
volumetric swelling was deforming the embankments. The
distribution of displacements along the embankment axis agrees
with the intensity of the jet-grouting treatment.
SOIL TREATMENT OVER UNDERPASS

Introduction
The second case concerns a rigid reinforced concrete caisson

structure 11.2 m wide and 6.25 m high, built under the railway
tracks to allow for the crossing of an aqueduct. The structure
was capped by a layer of cement treated soil, 1.5 m thick.
Above, base and ballast layers complete the layered system
supporting the railway tracks. Figure 4 shows a cross section of
the caisson. Material for the fill came from a nearby cut in the
same railway line. The exposed slopes showed the soil
formation: a Tertiary red claystone with abundant gypsum
veins.
Figure 4. Cross section of the caisson of the underpass.
Periodic track levelling detected a progressive heave of the

tracks above the caisson. The maximum accumulated vertical
displacement measured in July 2011 was about 12 cm.
Figure 2. Vertical strains measured by sliding micrometer EV-1.1
3.2
Ettringite and thaumasite crystals were found in all the

samples of embankment material, recovered from boreholes,
that were analyzed by means of X-ray diffraction (XRD) and
scanning electron microscope with an energy dispersive
spectrometer (SEM-EDS) (Fig. 3). The combination of
sulphates from the soil, alumina and silica released from clay
minerals because of the alkaline environment, calcium from
cement components, present in the transition wedges and in the
jet-grouting treatment, and also from gypsum, carbonates
released from calcite and the availability of water from rainfall
leads to the formation of ettringite and thaumasite. The
formation of thaumasite and ettringite is essentially unlimited
because of the availability of the necessary components for its
formation in the embankments. It was concluded that
deformations in the embankments will proceed for a long time if
no remedial measures were carried out.
Field data
Topographic levelling of the caisson didnt show any vertical

displacement of the structure. This indicated that the vertical
displacements measured at the rail tracks were a result of the
behaviour of the material placed above the concrete caisson. A
convex surface, centred in the caisson axis, was also visible in
the field (Figure 5). In addition, the thickness of the ballast layer
was noticeably lower in the bulging area, because of the
necessary periodic ballast thickness correction. Two high
precision ( 0.003 mm/m) vertical continuous extensometers
(SL-1 and SL-2), 10 m long, were installed in boreholes located
in the caisson backfill material, close to the concrete structure.
Both extensometers recorded the development of vertical strains
at both backfills within the upper 4 m (Figure 6 and Figure 7).
A maximum heave rate of 1.33 mm/month was measured
between 17th, February 2012 and 19th, April 2012. A heave rate
of 0.91 mm/month was recorded during the same period at the
same depths in the other backfill (SL-2).
Continuous cores and undisturbed samples were recovered
from boreholes performed for the installation of extensometers.
A few SPT tests were also performed in borings SL-1 and SL-2
at depths of 0.6-2.50 m. The recorded values (N = 46, 25, 39,
26, 42) reveal a compact material although the presence of
gravels complicate the interpretation. A borehole 2.8 m long
was also drilled above the caisson, centred along the axis of
the caisson. A value N = 20 was measured in this location at
a depth of 1.30-1.90 m. Interestingly, the material recovered
Figure 3. Ettringite needles and thaumasite flat crystals found in a tested
sample from Pallaressos embankments
A finite element model of embankment swelling was

developed to calculate the swelling loads against the bridge
abutments and also to estimate the state of stress on the
embankments (Alonso and Ramon, 2012). It was found that a
786
from boreholes at depths varying from 1.2 to 2.75 m was found

to be soft and wet or very wet. At those depths the existence of
a heavily weathered material with presence of a mixture of
cement and some sand was also observed.
Heave
Figure 5. Bulge of the surface above the caisson. Observe the reduced
thickness of the ballast layer
3.3
Figure 7. Accumulated vertical displacements measured by a continuous

extensometer
Laboratory tests
A mineralogical analysis by means of X-ray diffraction on

samples recovered from the upper meters of boreholes revealed
the presence of ettringite and gypsum in the material recovered
from the treated (classified as low plasticity clay and sand
mixtures).Calcite, quartz, dolomite and illite were also found.
The presence of wet material can be probably related with the
ettringite crystal growth because the crystalline structure of
ettringite crystals content a high percentage of water.
Figure 8. Swelling vertical strains recorded in free swelling tests
Figure 6. Vertical strains measured in depth along the continuous

extensometer SL-1 installed within the backfill of the concrete caisson
Identification tests were performed on samples recovered

from boreholes drilled at the backfills and above the caisson.
Sulphate and soluble salts content tests were also conducted on
some of the recovered samples. The soluble sulphate content
obtained in all samples is lower than 1%. The water contents in
the samples tested from boreholes SL-1 and SL-2 are
respectively 8.4% and 11%. A maximum value of water content
of 16.1% was measured in the laboratory in a sample recovered
from the layer placed above the caisson. The values of dry
density and water content in the tested samples indicate that the
materials located in the upper layers in the vicinity of the
caisson not only have increased in humidity but they had also
lost density. The increase in humidity and the decrease in
density are related to the crystal growth associated with the
sulphate attack to cement.
Free swelling tests were performed on samples prepared with
the material recovered in boreholes. Undisturbed samples as
well as samples compacted at the dry density corresponding to
the Normal Proctor test were tested. All samples were partially
submerged in water and were placed inside a cold-storage
chamber at a constant temperature of 8C during the test to
reproduce favourable conditions for ettringite and thaumasite
growth. Two types of samples were tested with material from
each location. Figure 8 shows the vertical swelling strains
measured during the free swelling tests performed. Swelling
evolves in time in all the samples tested without signs of
levelling off.
787
CHEMICAL MODELLING
With the purpose of getting an improved understanding of the

sulphate attack, a simulation of the processes taking place at the
soil-cement interface was performed with the help of a general
purpose transport and chemical reactions program (RETRASO:
Reactive Transport of Solutes: Saaltink et al., 2005). RETRASO
solves the coupled hydraulic transport processes and the
chemical reactions. The code handles mineral precipitation and
dissolution reaction under a large set of experimental kinetic
and equilibrium laws.
A simple 1-D problem, illustrated in Figure 9a, was
analyzed. Two porous materials, the compacted soil and a
cement grout, interact through a common interface. Only diffuse
processes are considered. There was an interest in knowing the
evolution and distribution of constituents in space (on both sides
of the interface) and time, and the pH of the medium, a key
piece of information to explain the sulphate attack. This
geometry is especially relevant for the attack of jet grouting
columns in Pallaressos embankments.
Initial equilibrium values, pH = 7.7 and pH = 12.4, were
calculated for aqueous solutions in equilibrium with soil and
cement, respectively. Then, RETRASO was used to obtain the
precipitated or dissolved amounts of calcite, dolomite, gypsum,
ettringite, kaolinite, quartz and portlandite (calcium hydroxide).
Some results are given in Figure 9 for a calculation period of
five years.
The pH maintains a high value on the cement side of the
interface. A plume of high pH values migrates progressively
towards the soil (Fig. 9b). In parallel, an ettringite front
advances (Fig. 9c) in the cement medium. In 5 years, a deep
penetration is calculated ( 1.5 m). The sulphate attack started
(against the treated wedge and, later, against jet grouting
columns) in 2006 soon after the end of the embankment
construction. The calculated depth of the ettringite front in
Figure 9c suggests that the attack has currently (2012) affected
the whole volume of the grouted columns. In fact, in all samples
from embankments recovered at different positions, ettringite
and/or thaumasite was identified. Kaolinite is being
progressively dissolved in the soil, starting at the interface.
(excavated piles which reach the substratum) were first built.

Once the rail tracks were underpinned, the upper part of the
embankments was excavated in stretches and reinforced
concrete slabs were slid in place. An open gap, 3 m thick, was
left between the lower surface of the slabs and the new upper
surface of the embankments.
The solution of the heave problem above the caisson requires
the removal of the cement treated layer and its substitution by a
stable compacted granular material. This operation will not
impair the circulation of trains.
(a)
The authors acknowledge with thanks the technical and

economic support provided by ADIF (National Agency for
Railway Infrastructure). Thanks are also given to contractors
and IIC, for their contribution to the identification and
characterization of the geotechnical conditions of the material,
and to professors E. Vzquez, Dr. M. Barrera and E. Tauler for
their contribution in the identification of minerals.
(b)
Moles of SO4-2/kg of water
(c)
(d)
Figure 9. Analysis of the soil-cement reactions with the program
RETRASO. (a) Geometry of the problem; (b) Evolution and distribution
of pH; (c) Volumes of ettringite and (d) Concentration of sulphate.
The consequence is the release of Al ions, necessary for

ettringite precipitation. The concentration of sulphate increases
at the interface and immediate vicinity (Fig 9d), which induces
the precipitation of ettringite.
Even if the analysis performed is quantitative, the calculated
volume fraction of precipitates (or dissolved species) is not
believed to be representative. The real problem is exceedingly
complex: the reactive surface is unknown (a small value, 0.14
m2/m3, was adopted in the calculation model), there are
uncertainties on the validity of the kinetic equations, the pore
water was probably under significant suction values for most of
the time, initial volume fractions and diffusion coefficients were
estimated, etc. Therefore, no attempt was made to couple the
chemical calculations with the observed heave. Nevertheless,
the chemical analysis performed provided a good understanding
of sulphate attack.
5
ACKNOWLEDGEMENTS
CONCLUDING REMARKS
The field swelling records suggested that heave of the treated

embankments and above the caisson could continue for years at
a sustained rate. Modifying the thickness of the ballast cushion
below the rail tracks could not cope with the expected medium
term heave. Forces against the abutment wall in the case of the
embankment were damaging the bridge and a passive state of
stress, menacing the rail tracks, had developed in the upper part
of embankments.
It was then decided to excavate the upper 6 m of the
embankments in the stretch affected by sulphate attack. Also, it
was decided to support rail tracks by a structure founded on
piles on both sides of the embankment. Supporting piles
788
REFERENCES
Alonso, E. and Ramon, A. (2012). Massive attack to cement treated

railway embankments made of compacted sulphated clay.
Gotechnique, in print.
Alonso, E. E. and Ramon, A. (2012). Heave of a railway bridge induced
by gypsum crystal growth. Field observations. Printed online in
Gotechnique.
Alonso, E.E., Berdugo, I.R. and Ramon, A. (2012). Extreme expansive
phenomena in anhydritic-gypsiferous claystones: the case of Lilla
tunnel. Gotechnique, in print.
Mitchell, J.K. & Dermatas, D. (1992). Clay soil heave caused by limesulphate reactions, ASTM Special Technical Publication, 1135,
4164.
Mohamed, A. M. O., 2000. The role of clay minerals in marly soils on
its stability. Engineering Geology 57, 193-203.
Puppala, A.J., Wattanasanticharoen, E. & Punthutaecha, K. (2003).
Experimental evaluations of stabilisation methods for sulphate-rich
expansive soils. Ground Improvement, 7, No.1, 2535.
Rajasekaran, G., (2005). Sulphate attack and ettringite formation in the
lime and cement stabilized marine clays. Ocean Engineering, 32,
11331159.
Saaltink, M., I., Ayora, C. & Olivella, S. (2005). Users guide for
RetrasoCodeBright (RCB). Departament of Geotechnical
Engineering and Geo-Sciences, Technical University of Catalonia.
Institute of Earth Sciences Jauma Almera, Spanish Research
Council (CSIC), Barcelona. 111 p.
Sherwood, P.T. (1962). Effect of sulphates on cement and lime
stabilized soils. HRB Bull., 353, 98107.
The influence of buildings and ground stratification on tunnel lining loads using
finite element method
L'influence des btiments et de la stratification du sol sur les charges de revtement du tunnel
utilisant la mthode dlments finis
Rezaei A.H.
Ph.D. student, Faculty of Civil Engineering, University of Tabriz, Tabriz, Iran
Katebi H., Hajialilue-Bonab M.

Associate Professor, Faculty of Civil Engineering, University of Tabriz, Tabriz, Iran
Hosseini B.
M.Sc in Geotechnical Engineering
ABSTRACT: Urban development and increasingly growth of population have been accompanied by a considerable growth in
mechanized Shield tunnelling. Commonly precast concrete segments used as tunnel lining in mechanized tunnelling and include
relatively considerable part of tunnelling cost. The optimum design of lining that decreases tunnelling cost needs to accurate
evaluation of loads act on lining. In this study, the effects of soil stratification, buildings geometry, position and weight on lining
loads were studied. A 2D finite element model was applied to simulate the conventional procedure of tunnel excavation and lining
using Abaqus software (Ver 6.10). The geometry of tunnel, lining segments, injection grout and around soil properties were adapted
from under construction Tabriz urban railway line 2 project. The results show that ground stratification and building properties
(especially the position of buildings) have considerable effects on lining loads. From the viewpoint of structural design, the buildings
effect on lining is critical when the surface buildings are unsymmetrical.
RSUM : Le dveloppement urbain et de plus en plus la croissance de la population s'est accompagne d'une croissance
considrable dans le domaine de Tunnelier. Communment prfabriqu segments de bton utiliss comme revtement de tunnel en
tunnel mcanis et inclure une partie relativement importante du cot tunnel. La conception optimale du revtement qui diminue les
cots tunnel besoins d'une valuation prcise des charges agir sur la revtement du tunnel. Dans cette tude, les effets de la
stratification du sol, la gomtrie du btiment, la position et le poids des charges de revtement ont t tudis. Un modle par
lments finis 2D a t utilis pour simulation de la procdure classique d'excavation du tunnel et revtement en utilisant le logiciel
Abaqus (version 6.10). La gomtrie du tunnel, voussoirs, coulis d'injection et autour des proprits du sol ont t adaptes au tunnel
de mtro de Tabriz (line 2) qui est en cours de construction. Les rsultats montrent que la stratification du sol et les proprits de
construction (en particulier la position des btiments) ont des effets considrables sur les charges de revtement. Du point de vue de la
conception structurelle, l'effet btiments sur le revtement est essentiel lorsque les btiments de surface ne sont pas symtriques.
KEYWORDS: FEM, Abaqus, mechanized tunnelling, tunnel lining loads, surface buildings, stratification.
INTRODUCTION
Urban development and increasingly growth of population have

been accompanied by a considerable growth in tunnel
construction for subways, railway underpasses, and urban
highways and a continuous development of tunneling
technology in recent years. Besides conventional excavation
methods such as the New Austrian Tunneling Method (NATM)
shield tunneling is now a well established method which allows
for tunnel advances in a wide range of soils and difficult
conditions such as high ground water pressures, soft soils or
small cover depths. It is well known that segments production
cost accounts for a large amount of the total shield tunnel
construction cost and one of the effective methods to reduce this
cost is to design the segments more efficiently.
In the usual design method the earth pressure acting upon the
segment lining is calculated by the overburden pressure or
Terzaghis loosening earth pressure according to the stratum
condition and the overburden height (Official Report of the
International Tunnelling Association 2000). In this method only
the weight of surface buildings are considered as a uniform
surcharge pressure. Nowadays, the modern shield technology
equipped with precise pressure control system at cutter face and
simultaneous backfill grouting system makes it possible to build
a tunnel without loosening the surrounding ground. Therefore,
the actual earth pressure cannot be correctly predicted by
conventional methods (Hashimoto et.al 2002).Some of the field
measurement results have shown that the loads acting on the
789
tunnel lining adopted in the design might be greater than the

actual loads, particularly in case of good ground conditions
(Mashimo and Ishimura 2003).
The effect of soil layering on the ground response to
tunnelling has been investigated by several researchers (Grant
and Taylor 2000). The focus of these studies has been on
tunnelling induced settlement and stability of the ground above
the excavated tunnel. In comparison with ground movements,
little attention has been paid to the effects of the overlying strata
on the stresses developing in the tunnel lining. Therefore, more
study about evaluation of loads act on lining is required and the
insights obtained from this study can contribute to an
improvement of load consideration in shield lining design. The
objective of this study is to investigate the influence of surface
buildings and ground stratification on lining loads.
In engineering practice different methods are often used to
calculate lining stresses (Nunes and Meguid 2009).In this study,
a 2D finite element model is applied to simulate the
conventional procedure of tunnel excavation and lining
installation stages properly. The geometry of tunnel, lining
segments, injection grout and surrounding soil properties were
adapted from under construction Tabriz urban railway line 2
project.
2
NUMERICAL MODELLING
Tunneling is often modelled two-dimensionally although it is a

three-dimensional (3D) problem since a full 3D numerical
analysis often requires excessive computation resources (both

storage and time). During tunnel construction, a volume of soil
squeezing into the opening creates deformations around and
above the tunnel, which cannot be simulated directly in 2D
finite element analysis. Hence, various methods have been
proposed to take account of the stress and strain changes ahead
of the tunnel face when adopting 2D plane strain analyses to
simulate tunnel construction (Karakus 2007).
In this study, a two-dimensional finite element multistep
simulation model for shield-driven tunnel excavation is
presented. The model takes into account all relevant
components of the construction process as separate components
in model (including: soil and ground water, tunnel lining and
tail void grouting). The buildings were simulated by an elastic
beam at the surface of the models. Each surface beam has an
equivalent moment of inertia (I) and thickness (t) representing
the associate building. The surrounding soil above the ground
water level was discretized by 4-node first order fully integrated
continuum elements (CPE4) and the tunnel liner and elastic
beams (representing buildings) simulated as 2-node linear
Timoshenko beam elements. The under groundwater soil and
the grout material are modelled as saturated porous media using
pore pressure elements (CPE4P). The time dependence of the
grout material characteristics due to hydration is modelled in a
simplified manner by employing a time-dependent Youngs
modulus and Poissons ratio. The soil behavior is assumed to be
governed by an elastic perfectly-plastic constitutive relation
based on the MohrCoulomb criterion with a non-associative
flow rule.
The behavior of lining concrete is assumed to be linearly
elastic with properties which are usual for C45/55 concrete
(E=36000MPa, =0.2). For considering decrease of rigidity at
segment joints, a transfer ratio of bending moment is
introduced. This aspect is transferred to numerical analyses with
Correction of the elastic modulus of the ring, according to
modification factor =0.3:
Ec
(1 ) ECLS
(1 0.3) 36000
25200Mpa
Tabriz with 160 km2 area and the population about 1,600,000 is
one of most populated and important cities in northwestern of
Iran. TURL2 about 22 km in length will connect eastern part of
the city to its western part. This line comprises a single tunnel
which has been constructed using one earth pressure balance
EPB-TBM with a cutting-wheel diameter of 9.49 m and a shield
with external diameter of 9.46 m in front of shield that induce
overcut equal to 1.5 cm in each side of shield. For lining of the
tunnel, 35 cm-thick precast concrete segments with a length of
150 cm are installed just behind the shield.
Geologically, in central part of the route, based on conducted
studies in the corridor of TURL2, soil is mainly silt with low
plasticity (ML) and silty sand (SM) and water table is about 9m
deep. Geotechnical specifications used for soil layers of the
models are presented in Table1. Mechanical properties of tunnel
liner and tail void grout, utilized in the numerical simulations,
are summarized in Table2.
Table1. Geotechnical specifications used for soil layers of the model
ID
Elastic
modulus
(kPa)
Dry
Wet
density density
(KN/m3) (KN/m3)
Cohesion
(kPa)
Internal
friction
angle
Dialation
angle
SM
16.25
20
40000
34
ML
16.8
20.35
25000
17
25
In general the grout pressure value considered 0.5 bar more

than applied face support pressure. Therefore, the required face
pressure for each model calculated and in accordance with
calculated value, the grout pressure adopted for each model.
Table 2. Material properties used in numerical simulations
Unit
Compressive Elastic
weight
strength
modulus
(KN/m3)
(MPa)
(MPa)
Material
Poisson
ratio
Tunnel liner concrete
25
40
25200
0.2
Tail void grout (fluid)
18
0.47
Tail void grout (hardened)
18
20
0.3
(1)
Where Ec is the virtual modulus of the ring and Ecls is the

concrete modulus. During the parametric studies, the geological
features were considered unchanged and similar to the Tabriz
metro line2 site conditions that described later. The ground
water ingress into the tunnels during construction phase is not
considered in this study. The excavation and construction of the
tunnel are simulated in 5 stages. In the first phase, the geostatic
equilibrium achieved and in second step the building is
constructed, but the corresponding deformations are not taken
into account in further steps. In excavation step inside the tunnel
the soil is excavated by de-activating the corresponding volume
elements and allows that the tunnel border moves radialy
accordance with overcutting value. In next step, the lining
installed and grout elements are activated in the fluid state
simultaneous with application of the injection pressure. After
installing step the injection pressure removed and the
mechanical characteristic of grout elements changed to
hardened one. Based on similar projects, under good operative
conditions, time duration of excavation step considered 5400
seconds and the time of lining ring erection considered 900s.
Boundary conditions, element types and mesh density of the
numerical models were selected based on several sensitivity
analyses as not to influence the results. The finite-element mesh
extends to a depth of two times the tunnel diameter (D) below
the tunnel spring line and laterally to a distance of 6D from the
tunnel centerline. The locations of the lateral and bottom
boundaries are selected so that the presence of the artificial
boundaries does not significantly influence the stress-strain-pore
pressure field in the domain. The modelled domain was 120 m
in width and 45 m in depth, consisting approximately 10,000
nodes and 2,000 elements.
CHARACTERISTICS OF TABRIZ METRO LINE 2
790
PARAMETRIC STUDIES
The effects of buildings geometry, position and weight on

lining loads were studied. Four types of 3, 5, 8 and 10 story
buildings above the center of the tunnel were modelled to apply
the effect of surface buildings weight. For each floor, 10 kN/m2
was considered as weight load. In addition study of geometry
effect on the model turned out to be possible through modelling
of buildings with different width and different distance from
tunnel center. The lining stresses of tunnel bored in coarse
grained sand overlain by soft soil layer are compared to induced
stresses in lining of tunnel in a homogeneous sandy soil. The
values of above parameters have been selected based on Tabriz
metro line 2 data and its urban conditions, as introduced in
Table 3.
Table 3. Factors and their values used in parametric studies
Parameter
Description
Values
Z0
Tunnel center depth
13.8m ,18.4m, and 23m (according to

C/D=1, C/D=1.5 and C/D=2 respectively)
Building weight
30, 50, 80 and 100 (KN/m2)
Buildings width
10, 15, 20, 30 and 40m
Distance between tunnel

and building centers
0, 10, 20, 30 and 40m
Edge to edge distance

between buildings
15 m, 20 m, 30m, 40m (corresponding

to width of the streets along the route)
5.2
RESULTS
In figure 3, sample illustration of building width effect is shown

which reveals that the increase of building width increases axial
force and bending moment in tunnel lining.
Utilizing about 240 two dimensional plane strain finite element

models and conducting parametric studies by ABAQUS
software, the effects of important parameters such as tunnels
depth, buildings weight, width and their locations on the
surface together with soil stratification on the loads acting on
the lining were evaluated. It is to be noted that in models tunnel
lining divided into 24 sections and in presented graphs is
angle between center of each section and tunnel crown.
5.1
Building width (B)
Tunnel depth (Z0)
As illustrated in figure 1, the existence of the surface building

leads to more forces compared to the green-field condition.
However, the effect of the buildings on the lining forces will be
reduced when the depth of the tunnel increases i.e. for shallow
tunnels, surface buildings will have larger effects on lining
forces. In Figure 2 the increase percentage of axial force due to
10 story building located above center of tunnels in various
depths in respect of Green-field condition presented. The
maximum axial force (induced in side walls and marked with
line in figure 2) increases 70, 35 and 20 percent, respectively.
Figure 3. Induced axial force for various building widths
Figure 4, presents the increase percentage of internal forces

for various building width values respect to B=10m for different
loads. As shown in the figure the building width has a more
effect on axial forces compared to bending moments .With
increase of building width, its effect on bending moment
gradually decreases. Also it could be seen that with decrease of
building load the effect of building width on lining loads
reduces.
Figure 1. Axial force for various building load and tunnel depth
[building 15m width above tunnel center]
Figure 4. Increase percentage of structural forces respect to B=10m for
various building loads
The effect of tunnel depth in Green-field condition is greater

compared to presence of buildings i.e. as tunnel depth increase,
the axial force of lining compared to C/D=1, increases in both
condition but more increase in Green-field condition could be
seen. Also in Greenfield condition the most increase occurs in
tunnel crown whereas the presence of building has a more effect
in tunnel invert.
5.3
Location of the buildings on surface
As described in table 4, different locations of building were

considered. In figure 5, a sample illustration of this parameter
effect is shown for buildings with 10 m width and 10 stories on
lining axial force of tunnel located at depth of 18.4 m. As
shown, as a general rule with increase of building distance from
tunnel centerline the effect of building on lining forces reduce.
This reduction depends on building width and depth of tunnel.
For shallow tunnels and building with small width the effect of
building load vanishes in smaller distance .For example as
shown in figure 10 in the case of C/D=1.5 and B=10m , in
distance of E=30m the effect of building existence is
inconsiderable and the induced axial forces graph is
approximately the same as green-field condition.
Figure 2. Increase percentage of axial force for various tunnel depth

respect to green-field condition [B=15m, 10story, e=0]
Based on obtained results, with increase of tunnel cover

induced bending moment in green-field condition increases. In
the tunnel cover equal to 1.5 and 2 time of tunnel diameter,
maximum bending moment (induced in tunnel invert) increase
20% and 37% respectively compared to 1D cover. When the
building load applied on model, in proportion of building load,
the maximum bending moment in comparsion with green-field,
increases and occurs in tunnel crown but the increase of depth
does not have considerable effects on induced maximum
moment especially in high story buildings. Only negligible
increase in bending moment occurs in lining shoulders as tunnel
becomes depper.
Figure 5. Assessment of Building distance to tunnel center line, 10story

Building, B=10 m, Z0=18.4 m
791
5.4
Edge to edge distance of building (L)
The figure6 shows that the increase of L decreases the influence

of the structure on lining loads. Also, it can be seen that with
reduction of building load the influence of L on induced loads
decreases. The obtained results show that in the case of building
existence in both sides of tunnel, maximum bending moment
occurs in lining invert. This is in converse of case that building
loads apply above the tunnel center that the maximum bending
moment occurs in lining crown.
Figure 8. Assessment of building weight Building located centrally
The increase in lining forces due to building loads

disappears as Z0 increase. For example percentage of increase in
maximum axial force and bending moment due to building
loads summarized in table 4 for various tunnel depth and
building loads compared to green-field condition. As a general
rule, building weight effect is higher for shallow tunnels
whereas, the decrease of building width and increase of distance
to tunnel center reduces the weight effect.
Figure 6. Assessment of edge to edge distance of buildings - Building
located symmetrically on both sides, 10 and 5 stories.
5.5
Soil stratification
In this study the effects of soil stratification were considered in

two parts. At first part based on mentioned geotechnical section
of study region of Tabriz metro line 2 corridor, a two layer soil
include sand overlying by silty soil (ML) modeled. The
thickness of silt layer that locate above water table adopted
equal to 9m. In second part a homogeneous silty soil is modeled
and the effects of soil properties are studied. Figure 7 shows the
effect of soil stratification and tunnel surrounding soil types on
the lining loads for various tunnel depths.
In both green-field condition and building existing state,
presence of silt layer increase lining loads slightly and with
increase of tunnel depth the effect of silty layer reduces .A
considerable growth in lining structural forces occurs when
excavation of tunnel done in silty soil and for deep tunnels this
effect is greater. It seems that because of approximately equal
unit weight of two soil types, the greater lateral pressure
coefficient (K0) of silt layer causes more ground pressure on
lining and greater structural forces induced in lining.
Table 4. Increase percentage of structural forces

C=1D
C=1.5D
C=2D
building
N(kN) M(kN.m) N(kN) M(kN.m) N(kN) M(kN.m)
10 story
70
112
35
79
20
55
8 story
58
92
27
63
16
44
5 story
35
60
17
40
10
28
3 story
20
36
10
24
17
Using characteristics of the Tabriz metro line 2 and code of

ABAQUS software, 240 two dimensional numerical models
were analyzed and According to the results of parametric
studies conducted in this research:
As a general rule, the existence of surface buildings in 2D
plane strain analysis will cause the lining loads increase
compared to the green-field condition. However, the influence
value depends on the combination of geometrical and
mechanical parameters of the tunnels, buildings and
surrounding soil.
According to characteristics of study region of the Tabriz
metro line 2 corridor, the buildings with 5 and more story has a
considerable effects on lining loads. For shallow tunnels these
effects is greater and with increase of tunnel depth building
effects decrease.
Based on obtained results in this study, existence of silty
layer above the sandy soil has not considerable effects on lining
loads, but when tunnel excavated in silty soil lining loads
increase intensively compared to tunnels excavated in sand.
7
Figure 7. Assessment of soil layers types, centrally located 10 story
building
In 2-layer ground the effect of silt layer is small and

decrease with increase of tunnel depth .Conversely, in silty soil,
growth of axial force and bending moment increases as tunnel
depth increase.
5.6
Building weight
The effects of building weight on the lining loads for tunnel

depth (Z0) of 18.4m have been illustrated in figure 8. As it is
shown, increasing the building weight in numerical simulations
will result in increase of lining loads in comparison with greenfield; however the exact influence of building weight depends
on tunnel depth, soil type and buildings parameters.
792
CONCLUSIONS
REFRENCES
Official Report of the International Tunnelling Association. 2000.

Guidelines for the Design of Shield Tunnel Lining. Tunnelling and
Underground Space Technology (15) , 303-331.
Hashimoto T. Nagaya J. Konda T. Tamura T. 2002. Observation of
lining pressure due to shield tunneling. Geotechnical aspects of
underground construction in soft ground, IS-Toulouse, Kanster et
al. (eds), Specifique, 119124.
Mashimo H. and Ishimura T. 2003.Evaluation of the load on shield
tunnel lining in gravel, Tunnelling and Underground Space
Technology (18), 233241.
Nunes M.A. and Meguid M.A. 2009. A study on the effects of
overlying soil strata on the stresses developing in a tunnel lining,
Tunnelling and Underground Space Technology (24), 716722.
Karakus M. 2007. Appraising the methods accounting for 3D tunneling
effects in 2D plane strain FE analysis. Tunnelling and Underground
Space Technology (22) ,4756.
Numerical Investigation of The Mobilization of Active Earth Pressure on Retaining

Walls
Enqute numrique de la mobilisation de la pression de la terre active sur les murs de retenue
Sadrekarimi A., Damavandinejad Monfared S.
Western University, Department of Civil and Environmental Engineering, Spencer Engineering Building, London, Ontario,
Canada. N6A 5B9.
ABSTRACT: The correct estimate of lateral earth pressure is important for the design of earth retaining structures. This study
presents an investigation into the lateral earth pressure distribution on a wall and in particular the effect of arching at deeper levels of
backfill for both at-rest and active conditions. Three-dimensional numerical simulations are performed using the ABAQUS finite
element software. The effect of wall displacement, wall-backfill interaction, subsoil-wall interaction, subsoil-backfill interaction, soil
modulus and friction angle on the mobilization of an active condition are investigated. The results of these simulations indicate that
the true lateral stress distribution on a wall is non-linear and backfill arching increases by wall displacement and backfill-subsoil
friction while increasing friction between the backfill and wall or subsoil and wall has no substantial effect on arching. The results are
further compared with those from physical model tests. An active state is mobilized at wall displacements smaller than those
suggested by Terzaghis physical model tests. By increasing backfill-subsoil friction and backfill stiffness, the active state is
mobilized at smaller wall displacements.
RSUM: L'estimation correcte de la pression latrale des terres est importante pour la conception de structures de soutnement.
Cette tude prsente une tude sur la distribution de la pression latrale des terres sur un mur et en particulier l'effet darche en partie
infrieure du remblai la fois au repos et en pousse. Des simulations tridimensionnelles numriques sont ralises en utilisant le
logiciel ABAQUS dlments finis. L'effet du dplacement de la paroi, de linteraction mur - remblai, de linteraction sol-mur, du
module du sol et de l'angle de frottement sur la mobilisation de la pousse sont tudis. Les rsultats de ces simulations montrent que
la distribution relle des contraintes latrales sur un mur est non linaire et que leffet darche dans le remblai augmente avec le
dplacement de la paroi et le frottement entre remblai et sous-sol, alors que laugmentation du frottement entre le remblai et le mur ou
le sous-sol et le mur n'a pas d'effet substantiel sur cet effet darche. Les rsultats sont ensuite compars avec ceux d'essais sur modles
physiques. Un tat de pousse est mobilis pour des dplacements infrieurs ceux suggrs par les essais de Terzaghi sur des
modles physiques. En augmentant le frottement entre le sous-sol et le remblai et la raideur du remblai, l'tat actif est mobilis pour
des dplacements de la paroi plus petits.
KEYWORDS: finite element, retaining wall, active earth pressure, arching, displacement, numerical modeling.
1
INTRODUCTION
Estimating lateral earth pressure has been one of the earliest

concerns in civil engineering and designing retaining structures.
The most widely used theories of earth pressure are those of
Coulomb (1776) and Rankine (1857) that are both based on the
limit equilibrium theory. These classical methods have been
used widely because of their simplicity. However, they provide
little information regarding the distribution and magnitude of
lateral earth pressures produced by different magnitudes of wall
displacement. These methods are only valid for the limiting
condition of sufficient ground and wall movements to mobilize
an active state and do not provide any information for the
conditions prior to the active state. Thus, several experimental
(Terzaghi 1934; Sherif et al. 1984) and numerical (Clough and
Duncan 1991; Mei et al. 2009; Salman et al. 2010) studies have
been performed in order to evaluate the contributions of these
factors on the lateral earth pressure distribution. This study
presents a finite element numerical modeling investigation of
the lateral earth pressure distribution and impact of wall
displacement, wall-backfill interaction, subsoil-backfill
interaction, backfill modulus and internal friction angle on the
mobilization of an active condition. The numerical modeling
results are then compared with experimental data of Terzaghi
(1934) and Sherif et al. (1984).
793
NUMERICAL MODELING
Analyses are carried out using the ABAQUS finite element

code. A model is developed for a 3 m wide by 10 m high
retaining wall with plane strain boundary conditions that are
chosen to minimize container boundary effects on the backfill
sand. The wall and soil are modeled using 3D solid elements.
The concrete wall is modeled as an elastic material using a
linear isotropic elastic model. The extended Drucker-Prager
plasticity model is used with a non-associated flow rule in this
study for non-linear analyses of the backfill sand behavior. The
parameters of this model are based on triaxial compression tests
on Ottawa quartz sand (Sadrekarimi 2009). A non-dilatant flow
is assumed ( = 0) to model a loose backfill sand. The choice of
zero dilatancy angle was selected based on the extensive
experimental experiences of the first author. For loose
contractive sands (for which their state lies above the critical
state line), the mobilized friction angle becomes equal to the
critical state friction angle or in other words there is no negative
or positive dilatancy angle (Manzari and Dafalias 1997; Been
and Jefferies 2004). Accordingly, since our analyses simulate a
loose contractive backfill, we use the critical state friction angle
(32o) with zero dilatancy to model the loose backfill.The
properties of the backfill/foundation soil and wall are
summarized in Table 1.
Table 1. Properties of the backfill/foundation soil and wall

material
Soil
(kN/m3)
E
(MPa)
()
()
14.4
115
0.3
32
Concrete
24.0
30,0001
0.2
wall
1
a very large Youngs modulus (E) is assigned to the wall to model
a stiff concrete retaining wall that does not deform under the applied
backfill soil stresses.
Tangential and normal interactions at backfill-wall, and

backfill-subsoil interfaces are taken into account using surfaceto-surface contact interaction with surface-to-surface
discretization method to enforce an overall contact condition
over regions nearby slave nodes rather than only at individual
slave nodes. A finite-sliding formulation is used at these
interfaces, which allows any arbitrary motion of the surfaces
including separation, sliding and rotation of the surfaces. A hard
contact model is used to define the normal contact pressureoverclosure relationship between the wall (master) and the
backfill (slave). Tangential interaction between the wall and the
backfill is defined using the static-kinetic exponential decay
function. A geostatic stress field procedure, in which gravity
loads are applied, is used as the first step of the analysis to
verify that the initial geostatic stress field is in equilibrium with
applied loads and boundary conditions. The analysis is followed
by a number of static analysis stages to reach an active state.
3
NUMERICAL RESULTS.
The vertical stress distributions behind the wall at an at-rest

condition ( = 0.000H) and at different wall movements () are
presented in Figure 1. According to this figure, vertical stress
distribution becomes non-linear and decreases with wall depth
(from the linear stress distribution) and increasing wall
displacement. We anticipate that this non-linearity is produced
by the arching of the backfill soil (within the failure wedge)
between the wall and the backfill outside of the failure wedge.
Arching is developed by the relative displacement at the
interface of the backfill failure wedge and the backfill outside of
the failure wedge. Without any wall movement, there is no
relative displacement and therefore no arching or vertical stress
reduction. As demonstrated later, backfill arching significantly
affects lateral stress distribution on the wall.
Figure 1: Vertical stress distributions behind the wall for different

amounts of wall displacement ()
Figure 2 presents the horizontal stress distributions at an atrest condition and at different wall movements () as well as
that from the Coulombs theory. These are calculated for a
model wall with a wall-backfill interface friction angle (wb) of
20o, wall-subsoil interface friction angle (ws) of 15o, and
backfill-subsoil interface friction angle (sb) of 32o. The finite
794
element pressure distribution diagram for = 0.000H matches

the at-rest stress diagram with a horizontal stress coefficient of
0.47 (based on Ko = 1 sin 32o from Jaky 1944). The finite
element results indicate that the horizontal stress distribution
behind a wall becomes non-linear with wall movement. As
illustrated in Figure 1, with increasing wall displacement,
backfill soil arching also increases and the total lateral trust
(area of the horizontal stress distribution diagram) decreases.
Furthermore, although the horizontal stress distribution
diagrams almost converge for 0.0003H, they are very
different from the horizontal stress distribution diagram
produced by Coulombs method as this method does not take
into account the effect of backfill soil arching. Despite this
limitation, the total horizontal thrust from Coulombs method is
close to that obtained from the finite element analysis.
Figure 2: Horizontal stress distributions at different wall

displacements as well as that from Coulombs method for a wall with
sb = 32ows = 15o andwb = 20o
In Figure 3, lateral stress distribution for models with

different sb values are presented at a wall movement of =
0.0001H. The results show that the influence of arching
increases by increasing sb. This is produced by the backfillsubsoil interaction. At sb = 5o there is very little resistance from
the subsoil and thus the backfill outside of the failure wedge
follows the movement of the failure wedge, thus reducing soil
arching. With increasing sb the backfill is restrained from
horizontal movement, the relative displacement between the
backfill failure wedge and the backfill outside of the failure
wedge increases, and thus arching and lateral stress reduction
increase.
Figure 3: Lateral stress distributions for models withws = 15o ,

wb = 20o, and with different magnitudes of sb
Lateral stress reduction by arching is presented in Figures 4,

5 and 6 for different magnitudes of sb , wb and sw respectively
in models with different wall movements. These figures
illustrate that the influence of backfill sand arching on lateral
stress reduction is characterized by the ratio of the horizontal

earth pressure coefficient at a particular wall movement, K(/H)
to the at-rest horizontal pressure coefficient (Ko). K(/H) is
obtained by normalizing total lateral thrust by H2/2. By
increasing sb, the rate and the magnitude of horizontal earth
pressure reduction significantly increase and converge for
sb > 5o. The effect of wall movement (/H) on horizontal stress
reduction is most significant for /H < 0.0005, after which it
levels off as an active condition is mobilized. An active state
(K(/H)/Ko) 0.61) is reached at smaller /H as sb increases,
or in other words a greater sb would limit the amount of wall
movement required to reach an active failure state in the backfill
soil. Figure 8 illustrates that the mobilization of an active failure
condition is fairly independent of backfill soil modulus.
stress reduction increases with increasing wall displacement and

sb whereas wb and sw have no substantial effect on arching.
Figure 4 clearly indicates that there is no effect of backfill soil
arching for sb = 0o and = 0.0000H conditions. Thus,
Coulombs method could be considered as a special case for
which sb = 0o. However, = 0.0000H (absolute at-rest
condition) may not be practically possible as any yielding wall
would slightly move during construction and backfilling,
causing significant horizontal stress reduction. According to
Figure 4, for a backfill and subsoil of the same sand (' = sb) a
horizontal stress reduction of at least 30% is a prudent
assumption (as ' 30o - 34o for most sandy soils).
The influence of soil arching on lateral stress reduction is
quantified as the ratio of (pa pi) to pi, in which pa is the lateral
stress at walls base that includes the effect of soil arching and
pi is the lateral stress that would have developed without any
backfill soil arching. pi is obtained by the linear extension of the
lateral stress distribution curve down to walls base.
Figure. 7: Effect of wall movement and sb on K(/H)/Ko for

retaining walls with wb = 20oand sw = 15o
Figure 4: Arching-induced lateral stress reduction for wb = 20o at
different magnitudes of wall translation and sb
Figure 8: Effect of wall movement and backfill modulus (E) on

K(/H)/K0 for retaining walls with wb = 20o , sw = 15o and sb = 32o
Figure 5: Arching-induced lateral stress reduction for sb = 32o and
sw = 15o at different magnitudes of wall translation and wb
The influence of soils friction angle on the mobilization of

an active state is presented in Figure 9. The results show that
the amount of displacement that is required to mobilize an
active state is independent of soils internal friction angle which
agrees with findings from physical model experiments (Sherif et
al 1984). The results further show that the active horizontal
earth pressure coefficient decreases by increasing soils friction
angle.
Figure 6: Arching-induced lateral stress reduction for sb = 32o and

wb = 20o at different magnitudes of wall movement and sw
Figures 7 and 8 show the influence of sb and backfill soil

modulus (E) on lateral stress reduction and the mobilization of
an active state with wall movement (), respectively. Lateral
Figure 9: Effect of wall movement and soils friction angle () on

K(/H)/K0 for retaining walls with wb = 20o , sw = 15o and sb = 32o
795
In Figure 10, the impact of wb on the mobilization of an

active state with wall movement is presented. While the results
show that increasing wall friction leads to reduced lateral
stresses, there is no substantial effect on the amount of wall
displacement required to mobilize an active condition. Similar
to Figure 7, an active failure condition is mobilized at about =
0.0004H.
0.001H 0.002H. These displacement are smaller than that ( =

0.004H) suggested by Clough and Duncan (1991) for reaching
an active state in loose sands. Although the active stresses are
more-or-less similar in all studies, the initial lateral stress
coefficients are broadly different, which could likely be due to
differences in backfill soil density and friction angle. Note that
both Sherif et al. (1984) and Terzaghi (1934) report linear
distributions for the active stress diagrams behind walls rotating
about their base. While the effect of backfill soil arching is
discussed in this study, we suspect that the difference in walls
mode of movement (rotation versus horizontal movement)
could be the reason for not seeing arching in the physical model
tests.
5
In this paper, the lateral earth pressure acting on a rigid

retaining wall was studied using the finite element analysis
method. The results of the simulations showed that the true
earth pressure distribution is non-linear mainly due to soil
arching effect at deeper levels and backfill-subsoil interaction to
a lesser extent. The results indicated that the influence of
backfill arching increases with wall displacement and backfill
subsoil friction while increasing friction between the backfill
and wall or subsoil and wall has no substantial effect on
arching. The results were compared with those from physical
model tests of Terzaghi (1934) and Sherif et al (1984). The
results of these simulations showed that an active state is
mobilized at wall displacements smaller than those suggested
by the Terzaghis physical model experiments but larger than
those suggested by Sherif et al. (1984). The outcomes of this
study further indicate that by increasing backfill-subsoil
friction, the active state becomes mobilized at smaller wall
displacements. The results also showed that although increasing
wall-backfill interface friction leads to reduced lateral stresses,
this has no effect on the wall displacement required to mobilize
an active condition.
Figure 10: Effect of wall movement and wb on the mobilization of

K(/H)/K0 for retaining walls with sb = 32o and sw = 15o
CONCLUSIONS
COMPARISON WITH PHYSICAL MODEL TESTS
Figure 11 compares the finite element analyses of this study

with the lateral earth pressures from physical model tests
(Terzaghi 1934; Sherif et al. 1984). Comparisons are made with
Sherif et al. (1984) results at the depths of soil pressure gages
SP5 (depth/wall height = 0.22) and SP4 (depth/wall height =
0.38), whereas the lateral earth pressure coefficient from the
overall earth pressure diagram is used for presenting Terzaghi
(1934) data. Note that the lateral stresses from the finite element
analyses are for walls moving horizontally, while Terzaghi
(1934) and Sherif et al. (1984) experiments were conducted on
walls rotating about their base. Accordingly, wall displacement
() corresponds to the displacement measured at walls midheight for Terzaghi (1934) experiments, and is calculated from
the amount of wall rotation at the corresponding depths for
Sherif et al. (1984) experiments.
REFERENCES
ABAQUS Users Manual, version 6.10. 2010. Hibbitt, Karlsson and

Sorenson Inc., Pawtucket, R.I.
Been, K., and Jefferies, M. (2004). Stress-dilatancy in very loose
sand. Canadian Geotechnical Journal, 41: 972 989.
Clough, G.W. and Duncan, J.M. 1991. Earth pressures. Foundation
engineering handbook. 2nd ed. (H.Y. Fang, ed.) Van Nostrand
Reinhold, New York, NY. pp. 223 - 235.
Coulomb, C.A. 1776. Essai sur une application des re`gles des maximis
et minimis a` quelques proble`mes de statique relatifs a`
larchitecture. In Me`moires Acade`mie Royale Pre`sentes par
Divers Savants, Paris. Vol. 7, pp. 343382.
Jaky, J. 1944. The Coefficient of Earth Pressure at Rest. Journal of the
Society of Hungarian Architects and Engineers, Budapest,
Hungary, pp. 355.
Manzari, M.T., and Dafalias, Y.F. 1997. A critical state two-surface
plasticity model for sands. Gotechnique, 47(2): 255272.
Mei, G. Chen, Q. and Song, L. 2009. Model for predicting
displacement-dependent lateral earth pressure. Can. Geotech. J. 46:
969975 (2009).
Rankine, W.J.M. 1857. On the stability of loose earth. Philosophical
Transactions of the Royal Society of London, 147(1 January): 927.
Sadrekarimi, A. 2009. Development of a new ring shear apparatus for
investigating the critical state of sands. Ph.D. Thesis, University of
Illinois, Urbana-Champaign.
Salman, F.A. Al-Shakarchi, Y.J. Husain, H.M. and Sabre, D.K., 2010.
Distribution of earth pressure behind retaining walls considering
different approaches. International Journal of the Physical Sciences
Vol. 5(9), pp. 1389-1400.
Sherif, M.A. Fang, Y.S. and Sherif, R.I. 1984. Ka and K0 behind
rotating and non-yielding walls. Journal of Geotechnical
Engineering, 110(1): 4156.
Terzaghi, K. 1934. Large retaining-wall tests: I Pressure of dry sand.
Engineering NewsRecord, 85(1 February): 136140.
Figure 11: Effect of wall movement on horizontal stress reduction and

the mobilization of an active condition based on the numerical analyses
of this study and the experiments of Terzaghi (1934) and Sherif et al.
(1984)
According to Figure 11, lateral stresses and their rate of

reduction decrease with wall displacement in all studies.
However, the initial rate of lateral stress reduction is the largest
in Sherif et el. (1984) experiments, followed by the finite
element analyses and Terzaghis experiments. As a result, the
active state is reached at smaller displacements ( = 0.0003H)
in Sherif et al.s experiments, followed by = 0.0004H in the
finite element analyses, and Terzaghis experiments at =
796
Artificial intelligence for modeling load-settlement response of axially loaded (steel)

driven piles
Application de lintelligence artificielle la modlisation de la courbe effort-tassement des pieux
battus (en acier) soumis un chargement axial
Shahin M.A.
Department of Civil Engineering, Curtin University, Perth WA, Australia
ABSTRACT: The design of pile foundations requires good estimation of the pile load-carrying capacity and settlement. Design for
bearing capacity and design for settlement have been traditionally carried out separately. However, soil resistance and settlement are
influenced by each other and the design of pile foundations should thus consider the bearing capacity and settlement in-separately.
This requires the full load-settlement behavior of piles to be well predicted. However, it is well known that the actual load-settlement
behavior of pile foundations can only be obtained by load tests carried out in-situ, which are expensive and time-consuming. In this
paper, artificial intelligence (AI) using the recurrent neural networks (RNN) is used to develop a prediction model that can resemble
the full load-settlement response of steel driven piles subjected to axial loading. The developed RNN model is calibrated and
validated using several in-situ full-scale pile load tests, as well as cone penetration test (CPT) data. The results indicate that the RNN
model has the ability to predict well the load-settlement response of axially loaded steel driven piles and can thus be used by
geotechnical engineers for routine design practice.
RSUM: Le dimensionnement des fondations sur pieux ncessite une estimation prcise de la capacit portante et du tassement dun
pieu. Traditionnellement, la dtermination de la capacit portante et du tassement dun pieu est effectue de manire spare.
Cependant, la rsistance du sol et le tassement du pieu sont interdpendants. Ainsi, le dimensionnement des fondations sur pieux
devrait considrer de manire simultane la capacit portante et le tassement du pieu. Ceci ncessite une bonne prdiction de la courbe
effort-tassement du pieu. Cependant, il est bien connu que la courbe effort-tassement du pieu ne peut tre obtenue que par des essais
de chargement du pieu in-situ, et qui sont coteux et consommateurs en temps. Dans cet article, lintelligence artificielle (IA) utilisant
les rseaux de neurones rcurrents (RNN) est utilise pour dvelopper un modle de prdiction qui simule la courbe effort-tassement
des pieux en acier soumis un chargement axial partir des essais in-situ. Le modle RNN dvelopp est calibr et valid en utilisant
plusieurs rsultats dessais de chargement de pieux in-situ, ainsi que des rsultats dessais pntromtriques (CPT). Les rsultats
obtenus indiquent que le modle RNN a la capacit de prdire avec prcision la courbe effort-tassement dun pieu en acier charg
axialement et il peut ainsi tre utilis dans la pratique par les gotechniciens.
KEYWORDS: artificial intelligence, recurrent neural networks, pile foundations, load-settlement, modeling.
1
INTRODUCTION
Bearing capacity and settlement are the two main criteria that
govern the design process of pile foundations so that safety and
serviceability requirements are achieved. Design for bearing
capacity is carried out by determining the allowable pile load,
which is obtained by dividing the ultimate pile load by an
assumed factor of safety. Design for settlement, on the other
hand, consists of obtaining the amount of settlement that occurs
when the allowable load is applied to the pile, causing the soil
to consolidate or compress. Design for bearing capacity and
design for settlement have been traditionally carried out
separately. However, Fellenius (1988) stated that: The
allowable load on the pile should be governed by a combined
appraoch considering soil resistance and settlement
inseparately acting together and each influencing the value of
the other. In addition, there is a strong argument regarding the
definition of the ultimate pile load and many methods have been
proposed in the litearture, some result in interpreted ultimate
loads that greatly depend on judgement and the shape of the
load-settlement curve (1980). Consequenlty, for design
purposes, the full load-settlement response of piles needs to be
well predicted and simulated; the designer can thus decide the
ultimate load and comply with the srevieability requirement.
Good prediction of the full load-settlement response of pile
foundations needs thorough understanding of the load transfer
along the pile length, which is complex, indeterminate and
difficult to quantify (Reese et al. 2006). The actual load-
797
settlement response of pile foundations can only be obtained by

carrying out load tests in-situ, which is expensive and timeconsuming. On the other hand, the load-settlement response of
pile foundations can be estimated using many methods available
in the literature. However, due to many complexities, available
methods, by necessity, simplify the problem by incorporating
several assumptions associated with the factors that affect the
pile behavior. Therefore, most existing methods failed to
achieve consistent success in relation to the predictions of pile
capacity and corresponding settlement. In this respect, the
artificial intelligence (AI) can be efficient as they can resemble
the in-situ full-scale pile load tests without the need for any
assumptions or simplifications. AI is a data mining statistical
technique that has proved its potential in many applications in
geotechncial engineering (see Shahin et al. 2009).
In this paper, the feasibility of using one of the most
commonly used AI techniques, i.e. recurrent neural networks
(RNN), is used for modeling the load-settlement response of
steel driven piles subjected to axial loading. To facilitate the use
of the developed RNN model for routine design by
practitioners, the model is translated into an executable program
that is made available for interested readers upon request.
2. OVERVIEW OF RECURRENT NEURAL NETWORKS
The type of neural networks used in this study are multilayer
perceptrons (MLPs) that are trained with the back-propagation
algorithm (Rumelhart et al. 1986). A comprehensive description

of backpropagation MLPs is beyond the scope of this paper but
can be found in Fausett (1994). The typical MLP consists of a
number of processing elements or nodes that are arranged in
layers: an input layer; an output layer; and one or more
intermediate layers called hidden layers. Each processing
element in a specific layer is linked to the processing element of
the other layers via weighted connections. The input from each
processing element in the previous layer is multiplied by an
adjustable connection weight. The weighted inputs are summed
at each processing element, and a threshold value (or bias) is
either added or subtracted. The combined input is then passed
through a nonlinear transfer function (e.g. sigmoidal or tanh
function) to produce the output of the processing element. The
output of one processing element provides the input to the
processing elements in the next layer. The propagation of
information in MLPs starts at the input layer, where the network
is presented with a pattern of measured input data and the
corresponding measured outputs. The outputs of the network are
compared with the measured outputs, and an error is calculated.
This error is used with a learning rule to adjust the connection
weights to minimize the prediction error. The above procedure
is repeated with presentation of new input and output data until
some stopping criterion is met. Using the above procedure, the
network can obtain a set of weights that produces input-output
mapping with the smallest possible error. This process is called
training or learning, which once has been successful, the
performance of the trained model has to be verified using an
independent validation set.
In simulations of the typical non-linear response of pile loadsettlement curves, the current state of load and settlement
governs the next state of load and settlement; thus, a recurrent
neural network (RNN) is recommended. A recurrent neural
network proposed by Jordan (1986) implies an extension of the
MLPs with current-state units, which are processing elements
that remember past activity (i.e. memory units). The neural
network then has two sets of input neurons: plan units and
current-state units (Figure 1). At the beginning of the training
process, the first pattern of input data is presented to the plan
units while the current-state units are set to zero. As mentioned
earlier, the training proceeds, and the first output pattern of the
network is produced. This output is copied back to the currentstate units for the next input pattern of data.
The data used to calibrate and validate the model were obtained
from the literature and included a series of 23 in-situ full-scale
load-settlement tests reported by Eslami (1996). The tests were
conducted on sites of different soil types and geotechnical
conditions, ranging from cohesive clays to cohesionless sands.
The pile load tests include compression and tension loading
conducted on steel driven piles of different shapes (i.e., circular
with closed toe and H-pile with open toe). The piles ranged in
diameter between 273 and 660 mm with embedment lengths
between 9.2 and 34.3 m.
3.1
Model inputs and outputs
Six factors affecting the capacity of driven piles were presented

to the plan units of the RNN as potential model input variables
(Figure 2). These include the pile diameter, D (the equivalent
diameter is rather used in case of H-pile as: pile perimeter/),
embedment length, L, weighted average cone point resistance
over pile tip failure zone, qc tip , weighted average sleeve friction
over pile tip failure zone, f stip , weighted average cone point
resistance over pile embedment length, qc shaft , and weighted
average sleeve friction over pile embedment length, f s shaft . The
current state units of the neural network were represented by
three input variables: the axial strain, a ,i , (= pile
settlement/pile diameter), the axial strain increment, a ,i , and
pile load, Qi. The single model output variable is the pile load at
the next state of loading, Qi+1.
Figure 2. Architecture of the developed recurrent neural network.
In this study, an axial strain increment that increases by

0.05% was used, in which a = (0.1, 0.15, 0.2, , 1.0, 1.05,
1.1, ) were utilized. As recommended by Penumadu and
Zhao (1999), using varying strain increment values results in
good modeling capability without the need for a large size
training data. Because the data points needed for the RNN
model development were not recorded at the above strain
increments in the original pile load-settlement tests, the loadsettlement curves were digitized to obtain the required data
points. This was carried out using Microcal Origin version 6.0
(Microcal 1999) and then implementing the cubic spline
interpolation (Press et al. 1992). A range between 14 to 28
training patterns was used in representing a single pile loadsettlement test, depending on the maximum strain values
available for each test.
It should be noted that the following aspects were applied
to the input and output variables used in the RNN model:
Figure 1. Schematic diagram of the recurrent neural network.
3. DEVELOPMENT OF NEURAL NETWORK MODEL

In this work, the RNN model was developed with the computerbased software package Neuroshell 2, release 4.2 (Ward 2007).
798
The pile tip failure zone over which qc tip and f stip were
calculated is taken in accordance with Eslami (1996), in
which the influence zone extends to 4 D below and 8 D
above pile toe when the pile toe is located in
patterns is monitored until no significant improvement in the

error occurs. This was achieved at approximately 10,000
training cycles (epochs). Figure 3 shows the impact of the
number of hidden layer nodes on the performance of the RNN
model. It can be seen that the RNN model improves with
increasing numbers of hidden layer nodes; however, there is
little additional impact on the predictive ability of the model
beyond 8 hidden layer nodes. Figure 3 also shows that the
network with 19 hidden layer nodes has the lowest prediction
error; however, the network with 8 hidden nodes can be
considered optimal: its prediction error is not far from that of
the network with 19 hidden nodes, and it has fewer connection
weights and is thus less complex. As a result of training, the
optimal network produced 9 8 weights and 8 bias values
connecting the input layer to the hidden layer and 8 8 weights
and one bias value connecting the hidden layer to the output
layer.
nonhomogeneous soil of dense strata with a weak layer

above. Also, in non-homogeneous soil, when the pile toe is
located in weak strata with a dense layer above, the
influence zone extends to 4 D below and 2 D above pile toe.
In homogeneous soil, however, the influence zone extends
to 4 D below and 4 D above pile toe.
Both measurements of cone point resistance and sleeve
friction are incorporated as model inputs. This allows the
soil type (classification) to be implicitly considered in the
RNN model.
Several CPT tests used in this work include mechanical
rather than electric CPT data and thus, it was necessary to
convert the mechanical CPT readings into equivalent
electric CPT values as the electric CPT is the one that is
commonly used at present. This is carried out for the cone
point resistance using the following correlation proposed by
Kulhawy and Mayne (1990):
50
45
1.19
(1)
40
Normalized MSE ( E5)
qc
q
0.47 c
p
a Electric
p a Mechanical
For the cone sleeve friction, the mechanical cone gives

higher reading than the electric cone in all soils with a ratio
in sands of about 2, and 2.53.5 for clays (Kulhawy and
Mayne 1990). In the current work, a ratio of 2 is used for
sands and 3 for clays.
3.2
30
25
20
15
Data division and preprocessing
10
The next step in the development of the RNN model is dividing

the available data into their subsets. In this work, the data were
randomly divided into two sets: a training set for model
calibration and an independent validation set for model
verification. In total, 20 in-situ pile load tests were used for
model training and 3 tests for model validation. A summary of
the tests used in the training and validation sets is not given due
to the lack of space. Once the available data are divided into
their subsets, the input and output variables are preprocessed; in
this step the variables were scaled between 0.0 and 1.0 to
eliminate their dimensions and to ensure that all variables
receive equal attention during training.
3.3
35
5
0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
No. hidden nodes
Figure 3. Effect of number of hidden nodes on RNN performance.
3.4
Model performance and validation
The performance of the optimum RNN model in the training

and validations sets is given numerically in Table 1. It can be
seen that three different standard performance measures are
used, including the coefficient of correlation, r, the coefficient
of determination (or efficiency), R2, and the mean absolute
error, MAE. The formulas of these three measures are as
follows:
Network architecture and internal parameters
Following the data division and the preprocessing, the optimum

model architecture (i.e., the number of hidden layers and the
corresponding number of hidden nodes) must be determined. It
N
should be noted that a network with one hidden layer can
(Oi O )( Pi P )
approximate any continuous function if sufficient connection
i 1
r
(2)
weights are used (Hornik et al. 1989). Therefore, one hidden
N
N
2
2
(Oi O ) ( Pi P )
layer was used in the current study. The optimal number of
i 1
i 1
hidden nodes was obtained by a trial-and-error approach in
which the network was trained with a set of random initial
weights and a fixed learning rate of 0.1; a momentum term of
N
2
0.1; a tanh transfer function in the hidden layer nodes; and a
(Oi Pi )
(3)
sigmoidal transfer function in the output layer nodes. The
2
i 1
R
1
following number of hidden layer nodes were then utilized: 2, 4,

N
2
(Oi O )
6, , and (2I+1), where I is the number of input variables. It
i
1
should be noted that (2I+1) is the upper limit for the number of
hidden layer nodes needed to map any continuous function for a
network with I inputs, as discussed by Caudill (1988). To obtain
1 N
MAE
Oi Pi
(4)
the optimum number of hidden layer nodes, it is important to
N i 1
strike a balance between having sufficient free parameters
(connection weights) to enable representation of the function to
where N is the number of data points presented to the model; Oi
be approximated and not having too many, so as to avoid
and Pi are the observed and predicted outputs, respectively; and
overtraining (Shahin and Indraratna 2006).
To determine the criterion that should be used to terminate
O and P are the mean of the predicted and observed outputs,
the training process, the normalized mean squared error
respectively.
between the actual and predicted values of all outputs over all
799
2000
1800
Validation set
1600
1400
Load(kN)
The coefficient of correlation, r, is a measure that is used to

determine the relative correlation between the predicted and
observed outputs. However, r sometimes may not necessarily
indicate better model performance due to the tendency of the
model to deviate toward higher or lower values, particularly
when the data range is very wide and most of the data are
distributed about their mean (Das and Sivakugan 2010).
Consequently, the coefficient of determination, R2, is used as it
can give unbiased estimate and may be a better measure for
model performance. The MAE eliminates the emphasis given to
large errors, and is a desirable measure when the data evaluated
are smooth or continuous. The performance measures in Table 1
indicate that the optimum RNN model performs well and has
good prediction accuracy in both the training and validation
sets. Table 1 also indicates that the RNN model has consistent
performance on the validation set with that obtained on the
training set.
1200
1000
800
600
400
Test1
200
Test2
Test3
RNNModel
0
0
5 6 7 8 9 10 11 12 13 14 15
Pilesettlment/pilediameter(%)
Figure 5. Simulation results of RNN model in the validation set.
Table 1. Performance results of the optimal RNN model.

Performance measures
Data sets
r
R2
MAE (kN)
Training
0.998
0.996
34
Validation
0.994
0.988
38
4. CONCLUSION
The performance of the optimum RNN model in the training

and testing sets is further investigated graphically, as shown in
Figures 4 and 5. It should be noted that, for brevity, only five of
the most appropriate simulation results in the training set are
given in Figure 4. These five simulations are chosen because
they reflect the entire range of the in-situ pile load-settlement
tests used in this study. As can be seen in Figures 4 and 5,
excellent agreement between the actual pile load tests and the
RNN model predictions is obtained, in both the training and
validation sets. The nonlinear relationships of the loadsettlement response are well predicted, and the results
demonstrate that the RNN model has a strong capability to
simulate the behavior of steel driven piles.
4800
4400
Training set
4000
3600
Load(kN)
3200
2800
2400
Test1
Test2
Test3
2000
Test4
Test5
RNNModel
1600
1200
800
400
0
0
5 6 7 8 9 10 11 12 13 14 15
Pilesettlment/pilediameter(%)
Figure 4. Some simulation results of RNN model in the training set.
800
This work presented in this paper has used a series of full-scale

in-situ pile load-settlement tests and CPT data collected from
the literature to develop a recurrent neural network (RNN)based model for simulating the load-settlement response of steel
driven piles. The results indicate that the RNN model was
capable of simulating the behavior of steel driven piles
reasonably well. The graphical comparison of the loadsettlement curves between the RNN model and experiements
showed an excellement agreement and indicates that the RNN
model can capture the highly non-linear load-settlement
response of steel driven piles. To facilitae the use of the
developed RNN model, it is translated into C++ code and
executable program, which are made available upon request.
5. REFERENCES
Caudill M. 1988. Neural networks primer, Part III. AI Expert 3 (6), 5359.
Das S.K. and Sivakugan N. 2010. Discussion of: intelligent computing
for modeling axial capacity of pile foundations. Canadian
Geotechnical Journal 47, 928-930.
Eslami A. 1996. Bearing capacity of piles from cone penetration test
data. PhD Thesis, University of Ottawa, Ottawa, Ontario.
Fausett L.V. 1994. Fundamentals neural networks: Architecture,
algorithms, and applications, Prentice-Hall, Englewood Cliffs, NJ.
Fellenius B.H. 1980. The analysis of results from routine pile load tests.
Ground Engineering 13 (6), 19-31.
Fellenius B.H. 1988. Unified design of piles and pile groups.
Transportation Research Record 1169, 75-81.
Hornik K., Stinchcombe M. and White H. 1989. Multilayer feedforward
networks are universal approximators. Neural Networks 2, 359366.
Jordan M.I. 1986. Attractor dynamics and parallesim in a connectionist
sequential machine. Proceedings of the 8th Annual Conference of
the Cognitive science Society, Amherst, MA, 531-546.
Reese L.C., Isenhower W.M. and Wang S.T. 2006. Analysis and design
of shallow and deep foundations, John Wiley & Sons, New Jersey.
Rumelhart D.E., Hinton G.E. and Williams R.J. 1986. Learning internal
representation by error propagation. arallel Distributed Processing,
Rumelhart D.E. and McClelland J.L., eds., MIT Press, Cambridge.
Shahin M.A. and Indraratna B. 2006. Modelling the mechanical
behaviour of railway ballast using artificial neural networks.
Canadian Geotechnical Journal 43 (1), 1144-1152.
Shahin M.A., Jaksa M.B. and Maier H.R. 2009. Recent advances and
future challenges for artificial neural systems in geotechncial
engineering applications. Journal of Advances in Artificial Neural
Systems, doi: 10.1155/2009/308239.
Ward. 2007. NeuroShell 2 Relaese 4.2, Ward Systems Group, Mass.
A visco-elasto-plastic multi-surface cyclic model

Un modle visco-lastoplastique F\FOLTXHjVXUIDFHVPXOWLSOHV
Siddiquee, S.A., Islam K.
Civil Engineering Department, BUET, Dhaka, Bangladesh
ABSTRACT: Modeling a visco-elasto-plastic material under cyclic loading has been a big issue due to the complexity of the problem.
Single surface nonlinear kinematic hardening models, two yield bounding surface models, multi-segment backstress models showed
some success in this field. Still, all these models fail in case of modeling cohesionless soil with pressure sensitivity and softening. In
this paper, a visco-elasto-plastic multi-surface model is proposed for cyclic loading. This model is originally proposed by Mroz
(1967) and has been extended to conhesionless soil by Prevost (1985). In this research, the model is extended to include the effect of
rate of loading. The integration of incremental elasto-plastic equation is carried out by steepest descent return mapping algorithm.The
dilatancy of dense sand has been modeled using non-associated flow rule. The non-associated flow has been attained by using Rows
stress-dilatancy equation relating angle of internal friction to dilatancy angle by material constants. The viscous behavior is introduced
through the incorporation of three component model into the basic constitutive equations. The quality of the simulation is assessed
and limitations are discussed.
RSUM : Modlisation d'un matriau visco-lasto-plastique sous chargement cyclique a t un gros problme en raison de la
complexit du problme. Simple surface cinmatique non linaire des modles de durcissement, deux modles de rendement de
surface de dlimitation, les modles backstress multi-segments ont montr un certain succs dans ce domaine. Nanmoins, tous ces
modles ne dans le cas de la modlisation des sols sans cohsion avec sensibilit la pression et adoucissantes. Dans cet article, un
visco-lasto-plastique multi-surface du modle est propos pour le chargement cyclique. Ce modle est propos l'origine par Mroz
(1967) et a t tendu au sol conhesionless par Prvost (1985). Dans cette recherche, le modle est tendu pour inclure l'effet de la
vitesse de chargement. L'intgration progressive de l'lasto-plastique quation est effectue par dilatance retour la plus grande pente
cartographie algorithm.The de sable dense a t modlis en utilisant la rgle d'coulement non associe. Le flux non associ a t
atteint en utilisant stress dilatance Row quation reliant l'angle de frottement interne l'angle de dilatance par les constantes du
matriau. Le comportement visqueux est introduit travers la constitution de trois modle de composants dans les quations de base
constitutifs. La qualit de la simulation est value et limitations sont discutes.
KEYWORDS: multi-surface, cyclic model, elasto-visco-plasticicty, cohesionless, dilatancy.
1
INTRODUCTION
Mathematical modelling of material behavior was of great

interest during the last century due to the progress of digital
computer. As a result, several constitutive models were
proposed by the researchers to simulate the response of
materials under monotonic loading as well as cyclic loading
under the general framework of elasto-visco-plasticity.
Materials are often subjected to transient and cyclic stresses due
to earthquake or other source of dynamic load. A number of
models have been introduced by many researchers to simulate
this cyclic stress-strain behaviour of materials, such as Prager
(1956), Mrz (1967), Hossain et al. (2007), Hossain, Siddiquee
and Tatsuoka (2005) etc. These cyclic response calculations of
the material are modeled through kinematic hardening, isotropic
hardening and/or a combination of both. But, most of these
cyclic models are unable to reproduce the memory effect of
materials, which eventually produces a closed or near-closed
hysteretic stress-strain loop. In this paper, multi-surface model
has been put forward with the three component model to
accommodate the viscous property. The elasto-plastic
incremental equations aof multi-surface model are integrated
here by return mapping algorithm. The family of multi-surface
models proposed by Mroz (1967), Prevost (1975), Kohey and
Jamali (1999) and others possess the inherent ability to follow
the Masings law. But most of these models were proposed for
pressure independent materials. A pressure dependent onedimensional formulation was presented in Tatsuoka el at.,
801
(2003). In this paper, the cyclic behavior in 3D stress space is

simulated by introducing a new framework in which the
dimensionless kinematic hardening rate is varied according to
the instantaneous stress value at that point along the stress path.
When the direction of the loading is reversed, the initial rate of
hardening is restored and the rate of variation of hardening is
scaled according to modified Masings law. As a result a closed
hysteretic stress-strain loop is obtained due to cyclic loading.
2
CONSTITUTIVE EQUATIONS
2.1. Small Strain Theory

The kinematic hardening rule evolves with the accumulative
plastic strain. Since the present model has been developed
within the small strain range, the total strain increment can be
divided into its elastic and plastic parts as follows:
(1)
d d e d p
ij
e
d ij
ij
ij
where,
represents the elastic components of strain defined
by hooks law, d p represents the incremental plastic strain. As
ij
the material is pressure sensitive, Hooks law can be envisaged
in the form of Bulks modulus, K and shear modulus G. In this
paper, both the modulus is variable and depends on the mean
pressure. The plastic strain components are determined by the
flow rule and consistency condition.
p
p
G G
B B
1 p
1 p
1
1
So
(2)
ij
Where, n= experimental parameter, p1=reference normal stress,

G1 and B1 are also experimental parameters.
2.2. Yield function and plastic potential
The material model used in this paper is a generalized elastoplastic, pure kinematic hardening one. A simple hyperbolic
equation (Tatsuoka et al., 1993, Hossain et al., 2007) has been
used as the evolution function of yield surface. The yield
surface used is a generalized Drucker-Prager one given by;
(3)
f n sij pij sij pij m2 p2 0

ij
m
s p ij sij p ij
m ij

is the kinematic deviatoric tensor defining the coordinates
RETURN MAPPING ALGORITHM
In this algorithm, elastic trial stress is returned to the current

yield surface, following the existing hardening law and flow
rule. In this way, the incremental elasto-plastic relation is
integrated in a robust way (Simo and Ortiz, 1986). In this
particular scheme, stress tensor is divided into two components,
deviatoric stress ( sij ) and mean stress (p). ij is designated as
angle of the center line of the concentric cone in the context of
pure kinematic hardening. Expanding the yield function into a
Taylors series gives Eq. (15)-
of the yield surface center in deviatoric stress sub-space; m is

the material parameter defining the opening of the cone, n is the
number of yield surfaces.
A plastic potential function (g) is selected such that the
deviatoric plastic flow is associative. A non-associative plastic
flow rule is used for its dilatational component. So the
deviatoric component of plastic potential is defined same as the
yield function. The dilatational or plastic volumetric component
is defined by Rows dilatancy relationship given by
(4)
R K d
f s ij , p, ij 0
f sij , p,ij
Where, R v and d d p d p for loading and viceh

v
h
f
sij
(15)
dsij
f
p
dp
ds ij 2G d
2.3. Kinematic hardening rule
2G
A pure kinematic hardening rule is formulated as follows:
ij
ij
direction of translation of the yield surfaces. a = amount of

translation determined through the consistency condition as
follows:
If the yield function was isotropic, then it could be described
by eq. (6) and (7) and for kinematic surface, by eq. (8) & (9) -
f
ij
dij
f
ij
f ij,ij 0
f
ij
dij
f
ij
p
ij
f
ij
a pH
ij
dij
dij 0
ij
(9)
(11)
f
sij
2G
g
s
ij
f s , p,
ij
ij
f
s
ij
H
1
f sij , p, ij
(10)
(16)
g
s ij
(17)
(18)
d
for plane strain
Combining Eqs. (15), (16) and (17) and using Pragers

kinematic hardening rule defined in Eq. (13) the plasticity
multiplier can be derived-
(7)
(8)
d ij
a f
as it has been known that d

situation.
(6)
dij 0
dp
K d
Where, = deviatoric component of tensor defining the
f ij, 0
ij
K D
v
As it has been defined that
p
d
v and d p D d p
D d
D
D
v
p
d
(5)
ij
Now considering the followings facts:
versa for unloading, K is the material constant.
(14)
Where m and ij are the plastic parameters associated with

the next outer surface of the nested yield surfaces.
ij
ij
ij
, where p is the mean normal stress (i.e., hydrostatic stress

component) , s is the desiatoric component of stress tensor,
(13)
f ij
ij ij
The yield surfaces are all self-similar conical surfaces in
general three-dimensional stress space. The yield surfaces are to
be translated by the current stress point upon contact. In order to
avoid the overlapping of the surfaces, the direction of
translation of the active yield surface is chosen such that
pH
2G
s p
ij
f
p
KD H
0
(19)
(20)
KD H
Using the trial stresses, following integrated elasto-plastic

stresses and kinematic hardening parameter are obtained as
shown in Eq. (19) and Eq. (20).
(12)
ij
802
f
s ij s 2G
ij
s
ij
pKD
ir
f
always proportional to the instantaneous value of
is a non-linear function of instantaneous value of
(21)
(22)
1
d pH
ij
f
ij
(23)
ir
g v (
ir {1 g v ( ir )}
ir
ij
where g v (
Updated variables are
s p
ij
ij
ij
(24)
prev
d
ij
ij
ij
(25)
ir
ir
while it is
as:
(26)
(27)
ir )
is the viscosity function, which is always zero

ir (19b)
or positive and given as follows for any strain ( ) or stress
) history (with or without cyclic loading):

ir
ir
m
(28)
1) }] ( 0)
rir
ir
ir
ir
where
is the absolute value of ; and , r and m
are positive material constants. According to this model, as far
as ML continues along a fixed stress path, the viscous stress
v
component, , is a unique function of instantaneous values of
ir
ir
and , independent of previous loading history. The
term new of the model name comes from that, with the
original isotach model (Suklje, 1966), the stress (therefore
v ) isir a function of instantaneous strain rate, v / t ,
not , while, with the new isotach model, is a function
ir
of . This difference results into significant variations in the
model behaviour, in particular during stress relaxation with =
0 and immediately after a step change in during otherwise
ML at a constant .
g v ( ) [1 exp{1 (
VISCO-PLASTIC FORMULATION
The loading rate effects due to material viscosity on the

stress-strain behavior of sand (not due to delayed dissipation of
excess pore water) are often very important in geotechnical
engineering practice. A number of researchers (Tatsuoka et al.
2002; Tatsuoka, 2004) reported significant loading rate effects
observed in laboratory stress-strain tests on sand under drained
conditions; i.e., effects of strain rate and its change on the
stress-strain relation, creep deformation and stress-relaxation
during otherwise monotonic loading (ML) at a constant strain
rate.
Within the framework of the general non-linear threecomponent model (Fig. 1), Di Benedetto et al. (2002) and
Tatsuoka et al. (2002) proposed a set of stress-strain models to
simulate the effects of material viscosity on the stress-strain
behaviour of geomaterial (i.e., clay, sand, gravel and
sedimentary softrock). They showed that the viscous property of
clean sand (i.e., uniform sand) is different from that of clay in
that the viscous effect decays with an increase in the irreversible
strain and proposed a specific model to describe the above (i.e.,
the TESRA model explained below).
In this paper, it is shown that this model can be smoothly
implemented in a FE code (Siddiquee et al., 1996, Siddiquee et
al., 2006). Then, the shear stress shear (or axial) strain
relations obtained from typical drained plane strain compression
(PSC) tests performed at fixed confining pressure on clean
sands (i.e., Toyoura and Hostun sands), reported by Di
Benedetto et al. (2002) and Tatsuoka et al. (2002), that were
simulated by the FE code embedded with the TESRA
Temporary Effect of Strain Rate and Acceleration) model are
reported.
IMPLEMENTATION
The model is implemented in one-element FEM with Plane

strain idealization (Siddiquee et al., 1999, 2001a, 2001b). The
material data for the initial configuration of the concentric cones
of Drager-Prager yield surfaces (Figure 2) are adopted from the
research work done by Prevost (1985). The viscous property
was set arbitrarily to show the capability of this model by
setting the values of the constants of Eq. (28). Here in this
paper, =05 and m=0.5 were adopted. The reference value of
ir
loading rate, r =1.0e-8 is set for the analysis. In this paper,
f
ij is used instead of in eq. (28) as the model is driven by
the movement of ij .
EP2
EP1
( , ...)
f
ir
v ( ir , ir , ...)
V
ir
E1e ( )
Figure 1 General non-linear non-linear three-component
e
model
Although Di Benedetto et al. (2002) and Tatsuoka et al.
(2002) showed at least three different functional forms of the
viscous component, , were proposed. In this paper, the
simplest form (New Isotach) was adopted to describe the
loading rate effects of clay-like materials, for which, for
Figure 2. Visualization of concentric cones of Drager-Prager

surfaces in Open-GL window.
primary ML along a fixed stress path, the current value of
v
803
3.
0.04
Displacements, cm
0.4
0.02
ACKNOWLEDGEMENTS
The authors wish to thank Professor Fumio Tatsuoka for

allowing the authors to use the viscous three component model.
0.00
-0.02
0.2
-0.04
-50
50
100
150
200
250
300
350
400
450
500
Pseudo time
4.
Sin()
0.0
Symmetric Modulus
Initial anisotropy
Elasto-visco-plastic solution
Di Benedetto,H., Tatsuoka,F. and Ishihara,M. (2002),

Time-dependent shear deformation characteristics of sand and
their constitutive modeling, Soils and Foundations, Vol. 42,
No.2, pp.1-22.
Hossain, M. R., Siddiquee, M. S. A., Ahmad, S. I., 2007,
Modeling nonlinear stress-strainrelations of materials, 6th
International Symposium on New Technologies for Urban
Safety of Mega Cities in Asia, Dhaka, 2007 (CD-ROM)
Hossain, M.R., Siddiquee, M.S.A, Tatsuoka, F, 2005,
Development Of A Cyclic Model For Pressure Insensitive
Soil, Proceedings of the Japan Bangladesh Joint Seminar on
Advances in Bridge Engineering, August, 2005, Dhaka
Khoei, A.R. and Jamali N., 2005, On the implementation of
a multi-surface kinematic hardening plasticity and its
applications, International Journal of Plasticity 21, 1741-1770.
Mrz, Z., 1967, On the Description of Anisotropic
Workhardening, J. Mech. Phys. Solids, 15, 163.
Ortiz, M. And Simo, J. C., 1986, An analysis of a new class
of integration algorithms for elastoplastic constitutive relations,
International Journal for Numerical Methods in Engineering,
Vol. 23, pp.353-366
Prager, W., 1956, A New Method of Analyzing Stresses and
Strains in Work Hardening Plastic Solids, J. Appl. Mech., 23,
795- 810.
Prevost, J. H., 1985, A simple plasticity theory for frictional
cohesionless soils, Soil Dynamics and Earthquake Engineering,
4(1), 9-17.
Siddiquee, M. S. A., Tanaka, T. and Tatsuoka F., 1996,
Tracing the equilibrium path by Dynamic Relaxation in
materially nonlinear
problems, International Journal of
Numerical Analysis Methods in Geomechanics, Vol. 19, pp.
749-767.
Siddiquee,M.S.A., Tanaka,T., Tatsuoka,F., Tani,K. and
Morimoto,T., 1999, FEM simulation of scale effect in bearing
capacity of strip footing on sand, Soils and Foundations, Vol.39,
No.4, pp.91-109.
Siddiquee, M. S. A., Tatsuoka, F., Tanaka, T. , Tani, K.,
Yoshida, K. and Morimoto, T., 2001a; Model tests and FEM
simulation of some factors affecting the bearing capacity of
footing on sand, Soils and Foundations, Vol.41, No.2, pp.53-76.
Siddiquee, M. S. A. and Tatsuoka, F., 2001b, Modeling
time-dependent stress-strain behaviour of stiff geomaterials and
its applications, Proc. 10th International Conference on
Computer Methods and Advances in Geomechanics
(IACMAG), Tucson, Arizona on January 7-12.
Siddiquee, M. S. A., Tatsuoka, F. and Tanaka, T., 2006,
FEM simulation of the viscous effects on the stress-strain
behaviour of sand in plane strain compression, Soils and
Foundations, Vol. 46, No. 1, 99108.
Suklje, L. 1969, Rheological aspects of soil mechanics,
Wiley-Interscience, London.5
Tatsuoka, F., Siddiquee, M. S. A., Park, C. S., Sakamoto, M.
and Abe, F., 1993, Modeling stress-strain relations of sand,
Soils and Foundations, Vol. 33, No. 2, 60-81, June.
Tatsuoka,F., Ishihara,M., Di Benedetto,H. and Kuwano,R.
2002, Time-dependent shear deformation characteristics of
geomaterials and their simulation, Soils and Foundations, Vol.
42, No.2, pp.103-129.
Tatsuoka, F., Masuda, T., Siddiquee, M. S. A. and Koseki, J.
2003, Modeling the stress strain relations of sand in cyclic
plane strain loading, Journal of Geotechnical and
Geoenvironmental Engineering, ASCE, May.
-0.2
Very slow loading rate

High loading rate active only on 2
High loading rate active on all 1 - 6
-0.4
-0.6
-1.5
-1.0
-0.5
0.0
0.5
1.0
1.5
Shear strain, = 1 - 3 (%)
Figure 3. Fixed amplitude cyclic loading simulation showing

the variation of Sin() versus Shear strain, .
1.2
Volumetric strain v = 1 + 3 (%)
0.8
0.6
0.4
Symmetric Modulus
Initial anisotropy
Elasto-visco-plastic solution
Very slow loading rate
High loading rate active only on 2
High loading rate active on all 1 - 6
0.04
Displacements, cm
1.0
0.02
0.00
-0.02
-0.04
-50
50
100
150
200
250
300
350
400
450
500
Pseudo time
0.2
0.0
-0.2
-0.4
-0.6
-0.8
-1.0
-1.2
-1.5
-1.0
-0.5
0.0
0.5
1.0
Shear strain, = 1 - 3 (%)
Figure 4. Fixed amplitude cyclic loading simulation showing the

variation of Volumetric strain, v versus Shear strain, .
ANALYSIS AND RESULTS
A fixed amplitude displacement control analysis has been

carried out by using dynamic relaxation. There were a total of
10 yield surface nested concentrically as shown in Figure 2. The
yield surfaces were activated one after another. The activation
of an yield surface is decided by the proximity tolerance
(f=0.0001). When two consecutive yield surfaces yields due to
loading and difference between them becomes less than the
tolerance, then the larger aperture yield surface is activated. In
Figure 2, the currently active yield surface is designated by red
color. The model is integrated through a return mapping
algorithm. The determination of exact value of proximity
tolerance is a limitation to this implementation.
The results of the analysis are shown in Figure 3 and 4.
Three type of analysis are carried out in this research. First
analysis was very slow loading analysis, showed in black
colored slid line. The other two analyses are carried out at
higher speed of loading. It has been found that viscous effect of
loading rate is pronounced much when the viscous formulation
is based on all components of initial shear angles (ij).
7
REFERENCES
CONCLUSIONS
A visco-elasto-plastic multi-surface model is developed for

cyclic loading. In this research, the original model is extended
to include the effect of rate of loading. The integration of
incremental elasto-plastic equation is carried out by steepest
descent return mapping algorithm.The dilatancy of dense sand
has been modeled using non-associated flow rule via direct
inclusion of Rows stress-dilatancy relationship.
804
The design and construction of temporary works for Limerick Immersed Tube
Tunnel
Design et construction des travaux temporaires du tunnel-tube immerg de Limerick
Smith A. K. C.
Coffey Geotechnics Ltd.
Thorup O.
John Sisk & Son Ltd.
Hudson J.
Haydn Evans Consulting, formerly MLM Consulting Ltd.
ABSTRACT: An immersed tube tunnel has been constructed across the River Shannon downstream of Limerick. Enabling works
either side of the river comprised two 130 x 30 m retained excavations. Ground conditions at the site consisted of up to 20 m of soft
alluvial soils overlying thin and intermittent glacial deposits on top of limestone. The excavations were retained by combi-walls of
1420 mm tubes and pairs of sheet piles, with the maximum height between supports being 15 m. During construction of the southern
section, considerable problems were experienced with the installation of the base slab underwater. Radical changes were therefore
made to the already complex construction sequence for the northern section. This required very close cooperation between the
construction team, the geotechnical designers and the structural designers. The aim of this paper is to show how this cooperation was
achieved, thus enabling float-out of the first tunnel unit to take place on programme on 7th September 2008.
RSUM : Un tunnel-tube immerg traversant la rivire Shannon a t construit en aval de Limerick. La ralisation des travaux ont
ncessit deux excavations de retenue de 130x30m. Les conditions de sol du chantier consistaient en 20m de sols alluviaux mous
couvrant des dpts glaciaires minces et intermittents recouverts de calcaire. Les excavations taient retenues par des combi-murs
faits de tubes de 1420mm et de paires de palplanches avec une hauteur maximale de 15m entre les supports.Pendant la construction de
la section Sud nous avons expriment des problmes considrables quant l'installation de la dalle de base immerge. Il a donc fallu
engager des changements radicaux dans la construction dj complexe de la section Nord. Tout ceci a ncessit une troite
coopration entre l'quipe de construction, les concepteurs gotechniques et les concepteurs structuraux. Le but de cet article est de
montrer comment on a pu parvenir cette coopration qui nous a permis de placer la premire unit du tunnel le 7 Septembre 2008,
comme programm.
KEYWORDS: Tunnels, excavations, retaining walls, temporary works, alluvial clays
The tunnel is 675 m long, and is formed of five precast units

each 100 m long, 25 m wide and 8 m high, with a cut and cover
section at each end. The units were constructed in an in-line
casting basin on the north side of the river, then floated out
through a temporary retained excavation and sunk in a dredged
trench in the river.
INTRODUCTION
Limerick Immersed Tube Tunnel forms part of the new

Limerick Southern Orbital Road. It crosses the River Shannon
about 3 km downstream of the city centre (Figure 1).
Design and construction were carried out by Direct Route

(Construction) Ltd, a joint venture of John Sisk and Son, Lagan,
Roadbridge and Strabag.
John Sisk and Son were also responsible for the design of the
enabling works for the northern float-out and southern cut and
cover sections, assisted by their consultants Webber Associates
(subsequently Coffey Geotechnics) and MLM Consulting.
2
GROUND CONDITIONS AND SOIL PROPERTIES
A schematic section of the ground along the line of the tunnel is

presented on Figure 2. Ground level is approximately at datum.
On the south side is Bunlicky Lake, an artificial lake created
following excavation by the nearby cement factory. Ground
conditions comprise up to 20 m of soft alluvial clay overlying a
thin and intermittent layer of glacial deposits then
Carboniferous (Visean) Limestone.
Figure 1. Location of tunnel
805
1
Undrained Shear Strength (kPa)

20
40
60
80
Depth (m)
Figure 2. Schematic ground section along line of tunnel
The properties of the alluvial clay dominated the design of

the tunnel. They were investigated primarily using static cone
penetration tests (CPTs). Figure 3 shows a typical CPT profile.
There is a thin crust, below which the strength decreases, then
gradually increases again with depth. Between 11.5 and 13.5 m
the end resistance increases significantly, and this layer is
believed to be a paleo-surface which at some time has dried out.
Below it, the cone resistance decreases substantially. Over
much of the depth of the clay, the sleeve friction is zero. This is
believed to result from the very sensitive nature of the clay,
which liquefies as it is penetrated by the cone, so the friction
sleeve measures no strength. The measured pore pressures were
correspondingly very high.
0
0
0
Total Cone Resistance, qt (MPa)

2
4
6
8
50
100
150
Sleeve Friction fs (kPa)
200
Friction Ratio (%)

0 2 4 6 8
Pore Pressure Ratio

-1
0
1
2
Depth (m)
UUs: U100 samples

In-situ vanes
UUs: push samples
DSSs: push samples
Cone tests, Nkt = 17
Design profile
10
15
20
Figure 4. Undrained shear strength results for alluvial clay
It may be noted that the design shear strength profile

corresponds to a value of the ratio su/v of between 0.30 and
0.35. This is comparatively high for a normally consolidated
clay. Two cone tests were carried out from the top of the flood
levees, where the value of v would be expected to be 80 to
100 kPa greater, but to have been applied for a comparatively
short period. These gave higher shear strengths, but a lower
value of su/v of 0.24, consistent with what would be expected
for normally consolidated clay. It is therefore believed that the
high strength ratio of the clay results from some form of aging.
3
100
DESCRIPTION OF ENABLING WORKS
As briefly described above, the tunnel units were constructed in

an in-line casting basin on the north side of the river. They
were floated out through an open-ended retained excavation
130 m by 30 m (Figure 5). A bulkhead 30 m from the casting
basin end retained the river, and was removed when the casting
basin was flooded. On immersion, the tunnel units were placed
in a trench dredged across the river. The first unit was
connected to a cut and cover section at the southern side of the
river. This was constructed in a second retained excavation,
also 130 m by 30 m, which was essentially a closed-ended box.
10
15
20
Figure 3. Typical static cone test profile
Figure 4 shows a composite plot of cone resistance, plotted

as interpreted undrained shear strength, together with the design
profile adopted and results from undrained triaxial tests on
U100 samples and from vane tests carried out in boreholes.
Both the triaxial tests and the vane tests gave much lower values
than the cone tests. It was believed that the very sensitive
nature of the clay led both to sample disturbance and to
disturbance below the base of the borehole. In order to verify
the design profile, high-quality Mostap push samples were
taken using the cone equipment, and subjected to
unconsolidated undrained and direct simple shear tests. These
gave values straddling the design profile from the cone tests,
and hence gave additional confidence in its use. Buggy and
Peters (2007) derived a very similar shear strength profile for
the approach roads to the tunnel.
Figure 5. Northern float-out section
Retention for both structures was provided by 1420 mm

tubes and pairs of sheet piles. On the north side of the river, the
glacial deposits overlying the limestone were not continuous.
Dowels were therefore drilled into the limestone to provide toe
806

structural element forces in different wall sections were then

passed to the structural engineers in both tables and graphs.
Thus, for example, Figure 7 shows the forces in the dowels,
struts and base slab restraining the bulkhead. The large effect of
the tides, particularly on the base slab, is very evident. This
added further complexity to the analysis, since it was necessary
to consider the effects of construction stages being carried out at
different stages of the tide. Thus one of the most difficult and
important aspects of the design was, not so much the analyses
themselves, as keeping track of the different cases that had been
analysed, and checking that all cases had been considered.
fixity for the tubes. On the south side, where glacial deposits
were continuous, dowels were required only where the walls
were directly exposed to the river.
The walls were connected by a concrete capping beam. The
capping beams were propped by 914 mm diameter tubes at
5 mOD. The southern cut and cover section was also propped
by a base slab. Excavation of the box and casting of the base
slab were carried out underwater, before the excavation was
pumped dry to enable construction of the tunnel section.
The northern float-out section was propped by a base slab on
the northern side of the bulkhead. The bulkhead marked the
northern extent of the immersed tunnel units: after they were
installed, the bulkhead was resealed around the tunnel, the
casting basin pumped dry, and the northern cut and cover
section of tunnel constructed on the base slab.
On the river side of the bulkhead, the float-out unit was
excavated to between -12 and -13 mOD. There was no base
slab on the river side, so the wall had no structural support
between the struts at 5 mOD and the toe dowels at
about -20 mOD.
Design calculations showed that, where the river flood
levees abutted the walls of the excavations, they would impose
excessive bending moments in the tubes. The bunds were
therefore removed and replaced by sheet piles to a distance of
15 m from the walls, and ground level was reduced to datum.
1000
500
0
-500
Toe Dowels
Top Struts
Base Slab
-1000
Construction Stage
In
st a
ll
C
In
iti
a
om l Co
n
bi
- W di t i
on
all
s
an
d
str
Ra
u
i se
Ex
t
ca
tid
va
el
te
e
ve
un
l
de
rw
In
sta
at e
ll
r
Ba
se
Sl
ab
Lo Dew
we
ate
rt
r
id
el
Ra
e
v
i se
el
Dr
tid
ed
el
ge
ev
to
el
-1
2
Lo
m
OD
we
rt
id
el
Ra
ev
i se
el
tid
el
Fl
ev
oo
el
d
Bu
lk
he
ad
Element Force (kN/m)
1500
Figure 7. Calculated forces in structural elements
DESIGN OF NORTHERN FLOAT-OUT SECTION
The forces thus calculated were then used to carry out

structural design of the remainder of the section. As well as the
structural analysis of the walls considered as embedded walls,
assessments also had to be made of both lateral and shearing
overall stability of all or part of the overall structure. Figure 8
shows the forces acting on the float-out section north of the
bulkhead. In order to achieve stability of this section, both the
capping beam and the dowels in the limestone needed to
provide substantial resistances.
As described above, the southern cut and cover excavation was

a closed-ended rectangular box. The construction sequence was
therefore reasonably straightforward. The northern float-out
section was much more complex, and is therefore the main
subject of this paper.
It is well known that the stresses and displacements induced
in propped excavations are very dependent upon the
construction sequence. In the case of the float-out section, this
dependency was compounded by the effects of the river tides
and by the fact that different sections of wall effectively had
different construction sequences, which resulted in complex
interactions between the walls.
With this in mind, a set of isometric drawings was produced
to illustrate the entire construction sequence stage by stage.
Figure 6 shows the drawing for a single stage, which may be
used to illustrate the complexities of the design. Although the
isometric drawings were produced as an aid to the designers,
they proved invaluable during construction, helping site staff to
manage progress, and being used as a basis for reassessment
when considering changes to the construction sequence.
Figure 8 Forces acting on float-out section north of bulkhead
Shearing stability was a less obvious problem, for at first

sight the entire structure might be considered to be a rigid box.
However, it was realized that the sheet piles between the pipes
could deflect out of plane. They thus provided no resistance to
rotation of the piles about their toe, the dowels having very
small moment capacity. A small model was constructed to
demonstrate this effect (Figure 9). In order to provide stability,
three anchors inclined at 45, each of working capacity 1 MN,
were installed from each capping beam into the limestone.
During construction, survey markers were installed on top of
the capping beam. After excavation on the river side of the
bulkhead, it was found that the structure was oscillating about
5 mm between high and low tide. Forces were measured in
selected struts using strain gauges and also by jacking them
away from the capping beam. Measured forces were found to
be lower than calculated values.
Figure 6. Isometric drawing of construction stage
The full construction sequence was analysed using the

embedded retaining wall software FREW. The calculated
807
3
This operation demonstrated again how much easier

excavation was in the dry rather than underwater.This factor,
together with a change in the design of the permanent tunnel
works, led to a requirement to excavate in the dry on the river
side of the bulkhead also. A construction sequence was devised
(Figure 11), which again involved the use of temporary struts
(this time at two levels), the exclusion of the river by means of
bunds outside the walls, and the reduction of ground level
outside the walls. Other features were a sheet pile wall across
the open end of the excavation, a 1:5 slope down from the sheet
pile wall, and a 3 m thick mass concrete slab at -12 mOd as
permanent works to support the northernmost tunnel unit.
Figure 9 Model to illustrate potential shear mechanism

Figure 11. Section through new construction measures
5 CHANGES TO CONSTRUCTION OF FLOAT-OUT

SECTION
These proposals were set out on a colour-coded plan, to

facilitate their checking by the design consultants. The
checking led to some minor changes in detail, and to the
identification of one potential major problem. This involved the
stability of the end slope, which although only 1:5, would be
15 m high after excavation for the mass concrete slab. A simple
calculation using Taylors curves demonstrated that an average
shear strength of 33 kPa was required to achieve a safety factor
of 1.3 against undrained failure, considerably greater than the
design values (Figure 4). The slope was therefore flattened still
further, to about 1:8. Its toe was raised to -6 mOD, and further
excavation at the toe supported by an anchored sheet pile wall.
These works were successfully implemented, and float-out
of the first tunnel unit took place on programme on 7th
September 2008.
Design calculations had indicated that excavating north of the

bulkhead in the dry would lead to excessive moments in the
piles. It was therefore intended to install temporary sheet piles
between this area and the casting basin, and to excavate and cast
the base slab under water. During construction of the southern
cut and cover section, considerable difficulties were
experienced maintaining a suitable surface for underwater
casting of the base slab, due to large volumes of suspended silts
slowly settling there. In addition, excavation underwater,
although practicable, was much slower than excavating in the
dry. It was therefore decided to develop a strategy for
excavating north of the bulkhead in the dry.
By this time considerable experience had been gained in
construction of the casting basin. Although not as deep as the
two structural sections, it was a substantial excavation in its
own right. It was retained by sheet piles with anchors at high
level, inclined at 45. Despite the free length of up to 30 m
through soft clay, installation into the limestone to achieve a
working anchor load of 1 MN had become reasonably routine.
The sheet piles were also retained by struts below the casting
basin floor. Before the permanent struts were installed, the
walls were supported by temporary hydraulic struts.
A combination of these techniques was adopted for the
float-out section. The key to their success was the reduction of
the external soil and water forces on the walls. This was
achieved (Figure 10) first by constructing a bund at the far
southern end of the section to prevent the river from acting
against the bulkhead. Then 2.5 m deep excavations were made
outside each wall. Temporary struts were installed between the
side walls at -6 mOD, and anchors installed at the same level in
the bulkhead.
CONCLUSIONS
Successful construction of the Limerick Tunnel enabling works

was achieved despite the complexity of the structures and the
challenging nature of the ground conditions. Technically, one
of the most important factors was that the forces on the
structures were dominated by water and ground levels, and
therefore that significant advantages could be achieved if these
levels could be controlled and hence varied.
Most of the analyses were carried out using
industry-standard software. Simple calculations for force and
moment equilibrium slope stability proved also to be of great
value. Perhaps more important than the calculations was the
identification of mechanisms that needed to be analysed. Tools
to aid understanding of these included isometric diagrams
(Figure 6), graphs (Figure 8), a physical model (Figure 9) and
colour-coded plans. Such simple but effective tools enabled
designers and constructors to achieve a common understanding
of the project and hence its successful completion.
7
REFERENCE
Buggy, F. And Peters, M. 2007. Site investigation and characterisation

of soft alluvium for Limerick Southern Ring Road Phase II,
Ireland. Proc. IEI Conference on Soft Ground, Port Laoise,
paper 1.6.
Figure 10. Measures adopted to enable construction in the dry
808
4
The application of the Iwan soil model on a deep excavation

Lapplication du modle de sol dIwan sur une excavation profonde
Sokoli I., Szavits-Nossan A.
Faculty of Civil Engineering, University of Zagreb, CROATIA
ABSTRACT: Based on the Iwan model, numerical simulations of well documented construction of anchored diaphragm wall
supporting the 20 m deep excavation in Berlin sand were carried out. The model incorporates the critical state concept by using two
sets of elastic-plastic elements, one set for the volumetric response, and the other for shear. The parameters for the model were
derived from laboratory and in-situ tests on Berlin sand, and from data for some well tested sands (Erksak, Toyoura, Portaway,
Ticino, Ottawa). The results show that the model is capable of describing well the observed behavior of the diaphragm wall in all
construction stages. These results are compared with published results obtained by the advanced MIT-S1 model.
RSUM : Fondes sur le modle dIwan, des simulations numriques de la construction bien documente d'une paroi moule
ancre, soutenant l'excavation de 20 m de profondeur dans le sable de Berlin, ont t effectues. Le modle incorpore les concepts de
la mcanique des sols de ltat critique l'aide de deux ensembles dlments lastoplastiques, un ensemble pour la rponse
volumtrique, et l'autre pour le cisaillement. Les paramtres du modle ont t obtenus partir des essais en laboratoire et in situ sur
le sable de Berlin, et en utilisant les donnes sur des sables bien tests (Erksak, Toyoura, Portaway, Tessin, Ottawa). Les rsultats
montrent que ce modle est bien capable de retracer le comportement observ de la paroi moule dans toutes les tapes de la
construction. Ces rsultats se comparent bien avec les rsultats publis obtenus en utilisant le modle avanc MIT-S1.
KEYWORDS: constitutive models, sand behavior, Iwan system, diaphragm wall, finite element analysis, critical state.
INTRODUCTION
The parallel system of simple elastic-plastic elements,

introduced by Iwan (1967) is very powerful tool for modeling
the behavior of solid materials within the framework of
continuum mechanics. The model is capable to trace almost any
given stress-strain curve under steady straining and to account
for unloading and reloading behavior without any extra rule. It
also accounts for Masings rules for cycling loading (Masing,
1926) even for irregular cycles. Based on results of triaxial
testing of sands, the model is developed into generalized 3D
effective stress soil model for sand. The model is calibrated and
verified on some well tested sands (Erksak, Toyoura, Portaway,
Ticino, Ottawa) showing the great capabilities to predict the
complex sand behavior in wide range of stress, strain and
densities and for different drainage conditions by using a simple
set of soil parameters (Sokoli, 2010).
In this paper the model is applied for simulating the
performance of the support system for 20-m-mdeep excavation
in Belin sand. The main goal was to validate the performance of
the Iwan sand model used in complex numerical simulation, and
to compare the results with published results obtained by using
the advanced soil model MIT-S1 (Nikolinakou, 2011). The
simple set of parameters for Berlin sand was derived by using
the available results of laboratory and in-situ soil investigations
together with interpretation of the results used in MIT-S1
numerical analysis.
2
(Figure 1) that distinguished shear from volumetric

compression, which is often assumed in soil modeling (Colins
et al. 2007). First Iwan system is used for modeling the shear
behavior of sand in drained triaxial test (CID), while the second
is used for the triaxial isotropic compression (ISO).
Second unit of the model is the set of material functions which
describes the characteristic behavior of sand observed in triaxial
testing. Material functions are used to define the shape of
backbone curves under steady shearing and compression for
different state of sand (state of stress, strain and density). The
backbone curves are used to calculate the strength and stiffness
of each spring-slider element of 3D Iwans system, by using the
pre-defined limit displacements of each element.
IWAN SOIL MODEL
Iwan soil model consists of three characteristic units. The basic

unit is Iwan three-dimensional spring-slider system that defines
the development of elastic and plastic strains for any given 3D
increment of strain. It is made of two separate Iwan systems
809
a)
b)
Figure 1. One-dimensional Iwan distributed element model; a) parallel
system of simple elastic-plastic elements; b) model response for primary
loading and unloading
The unique shape of backbone curve is used for isotropic

compression, while the shape of the shearing backbone curve
depends on the state of sand.
The third unit of the model is the set of input parameters that
consists of: material parameters (characteristic for each type of
sand), parameters of initial conditions (initial void ratio e0, over
consolidation ratio OCR and K0NC coefficient for primary
consolidation) and parameters of Iwan system (set of limit
displacements for shearing and compression uiy).
Detailed description of the 1D Iwan system can be found in
Iwan (1976) and Segelmen and Star (2008), and description of
the generalized 3D Iwan sand model in Sokoli (2010). The
model is developed within the critical state concept (Muir
Wood, 1990). It accounts for following characteristics of real
sand behavior:
- unique critical state line;
- single Mohr-Coulomb (MC) strength parameter for
critical state (angle of internal friction for critical state);
- increase of peak strength for dense sand at low stress level
- MC failure criteria for general 3D stress space;
- high stiffness at small strains;
- stiffness reduction due to shearing;
- stress dependent dilatancy accounting for phase
transformation line concept;
- limit compression line concept for isotropic compression
- development of hysteresis for unloading and reloading
according to Massing rule
3
SOIL PROPERIES AND MODEL PARAMETERS
The soil profile at the site is characteristic for the geology of the
central area of Berlin that consists of saturated deposits of
quaternary age, reflecting three different glacial periods.
Typical profile at the site includes 3-4 m of fill, overlaying three
primary sandy till units: (1) S0, upper Holocene sand,
approximately 6 m with lower 1-m-thick organic soil unit; (2)
S1 glacial sands from the late Pleistocene period that are
typically 10 m thick; and (3) S2 glacial sand from the early
Pleistocene that are encountered approximately 22 m below the
ground surface. The local groundwater table is located 2 m
below the ground surface.
Berlin sand is poorly graded, fine-medium sand with rounded
particles, which are associated with fluvio-glacial deposition.
Mineral composition is mainly Quartz and Feldspar. The basic
physical properties of Berlin sand are: emin = 0.39, emax = 0.59,
Gs = 2.65, d50 = 0.38, Cu = 3.0; Cz = 1.2. When compared with
other natural sands of similar particle size, shape and grading, it
is apparent that Berlin sand exhibits very low formations void
ratios and has a small range of formation conditions.
Mechanical properties of Berlin sand were tested with detailed
laboratory test program including a series of one-dimensional
consolidation tests up to high confining stresses, and including
drained and undrained triaxial tests for wide range of initial void
ration (e0 = 0.43 0.60) and consolidation pressure (p = 100,
500 and 800 kPa). The in-situ properties of sand units were
tested by heavy dynamic probing test (DPH) and cross-hole
measurements of shear velocity propagation. In this study only a
data available from published test results were used
(Nikolinakou, 2011).
3.1
b) To derive the parameters to best fit the material functions

used in MIT-S1 soil model (important for comparison of
the numerical simulation results performed by MIT-S1
and IWAN sand model)
c) To calibrate the material parameters by performing the
triaxial test simulations and compering the results to the
available published test results
d) To adopt material parameters from Iwan sand model
calibration performed on different types of sand (Sokoli,
2010)
Material parameters are defined for the set of material functions
describing the behavior of real sand observed in triaxial tests
(drained or undrained shearing and isotropic compression). All
material functions are related to the state of sand which is
defined by current void ratio e, current isotropic pressure p,
current critical void ratio ecv(p) and state index Is, defined
similarly to the standard density index:
Is ecv e /ecv0 emin)
(1)
Minimum void ratio parameter is taken directly from laboratory
test (emin = 0.39) while the in-situ profile of initial void ratio is
accepted from MIT-S1 numerical model (e0S0 = 0.6, e0S1 = 0.53,
e0S2 = 0.4). The initial soil density is interpreted according to the
DPH in situ measurements by using empirical correlations.
The initial K0 values were not directly measured. In the MIT-S1
numerical analysis the values are interpreted according to DPH
soil profile and taking in to account the geological deposition of
sand layers. The following values are accepted: (K0S0 = 0.5, K0S1
= 1.0, K0S2 = 1.0).
Input parameters for Iwan sand model
The priority in defining the input parameters for the Iwan sand
model was the following:
a) To take material parameters directly from available
published results of laboratory test or to accept the values
adopted for MIT-S1 soil model, based on interpretation of
soil investigations (Nikolinakou, 2011)
810
Figure 2. a) Critical state line (CSL) interpretation and comparison of

predicted and measured isotropic compression of Berlin sand; b)
Backbone curve for isotropic compression of Berlin sand derived from
odometer tests
ecv / sc p'/ pref
(2)
The parameters are derived to best fit the CSL line adopted for
MIT-S1 soil model ( = 2.35, sc = 3544, = 0.385; pref = 100
kPa). The value of CSL line for zero isotropic pressure defines
the material parameter ecv0 = 0.60 (Figure 2.a).
Shear strength is defined by following expressions (similar to
concept proposed by Jeffries and Been 2006):
MC Mcv kM Is
(3)
where MC is the peak strength ratio for drained triaxial test

(Mc = qp / pp; qp peak deviator stress; pp effective isotropic
pressure at peak strength); Mcv is the strength ratio for critical
state of sand (Mcv = 6sin(cv)/[3-sin(cv)]; cv = 31o friction
angle for critical state taken from results of triaxial tests). Peak
strength parameter kM = 1.3 is calibrated by numerical
simulations of CID test and by comparing the results to the
available measurements (Figure 3.a).
Initial shear stiffness of the sand G0 is defined by following
expression (proposed by Pestana and Salvati 2006):
G0 Ae1.3 p' / pref m
Figure 3. Comparison of predicted and measured results of CID triaxial

test for danse and loose sample of Berlin sand
Table 1. Iwan sand model parameters. (a) material parameters for Berlin
sand; b) initial state parameters; c) Iwan system parameters; * adopted
from Iwan model calibration Sokoli, 2010)
Parameter [unit]
a)
Minimum void ratio
symbol
value
emin
0.389
a)
Fiction angle for critical state [ ]
cv
31
a)
Peak strength parameter
kM
1.3
a)
Initial shear stiffness parameter [kPa]
67.000
a)
Power exponent for stiffness
0.33
a)
Poissons ratio
0*
a)
Critical state line
2.35
sc
3544
0.385
0.03 *
a1
0.16 *
a2
0.60 *
d1
2.0 *
d2
-0.5 *
28
e0
0.4 0.6
OCR
1.0
NC
0.5
y
i
0.01 - 50
a)
a)
Shear backbone curve
Dilatancy
a)
Compression backbone curve
b)
Initial void ratio
b)
Over consolidation ratio
b)
c)
K0 for normal consolidation

Limit strains (20 elements) [%]
K0
Critical state line (CSL) is defined by the following expression

proposed by Sheng et. al. (2008):
(4)
where m = 0.33 is power index accepted as proposed for

MIT-S1 soil model, and A = 67.000 kPa is initial shear stiffness
parameter derived to best fit the initial stiffness profile proposed
for MIT-S1 numerical simulation.
Backbone curve for isotropic compression is defined by
following expression (hyperbola):
ve v / 1vv
(5)
where ve is elastic component of volumetric strain, v is natural

volumetric strain and v = 28 is material parameter for sand
compression derived as best fit approximation of isotropic test
results (Figure 2.b). The odometer tests performed on Berlin
sand are interpreted as isotropic compression tests by using K0
value according to Jakys correlation K0 = 1 sin = 0.5.
All remaining material parameters are adopted from model
calibration preformed on different types of sand (Erksak,
Otawa, Ticino, Toyoura, Botanja, Cambria). Parameters are
used for backbone curve of triaxial shearing (double hyperbola
function similar to stiffness reduction curve proposed by Fahey
and Carter 1993) and stress dependent dilatancy function
(integrated function as combination of expressions proposed by
Li and Dafalias 2000, and Gutierrez 2003).
Input parameters for Iwan system are also adopted from model
calibration (number of spring-slider elements nIw = 20; limit
displacements for shearing and compression for each element
spanning evenly the range of strains 0.01% to 50% in
logarithmic scale).
4
NUMERICAL ANALYSIS
Numerical analysis of deep excavation are performed within the

commercial finite-element program Plaxis 2D (Brinkgrawe,
2008). The geometry and boundary conditions of the model are
adopted from the numerical analysis performed by the advanced
model MIT-S1 (Nikolinakou, 2011). Two wall sections were
analyzed (MQ3 and MQ5). Soil profile is modeled by three
horizontal soil layers with underground water level 2 m below
the surface level.
811
Figure 4. Comparison of measured and predicted displacement of

diaphragm wall at MQ3 profile (excavation depth = 21.4 m; wall
thickness = 1.5 m, height = 28.78 m; anchor free length = 34.5 m, fixed
length = 8.0 m, dip angle = 35 o, prestress = 540 kN, spacing = 1.0 m);
(1) prestressing of geotechnical anchor; (2) final excavation.
Figure 5. Comparison of measured and predicted displacement of

diaphragm wall at MQ5 profile (excavation depth = 20.1 m; wall
thickness = 1.2 m, height = 27.20 m; anchor free length = 26.5 m, fixed
length = 8.0 m, dip angle = 25 o, prestress = 292 kN, spacing = 1.2 m);;
(1) prestressing of geotechnical anchor; (2) final excavation
The retaining structure is modeled by using plate elements for

diaphragm wall and using anchor / geotextile elements for
geotechnical anchors. The analysis is performed in three
characteristic phases: (0) excavation to the anchor installation
level; (1) installation and pre stressing of the anchor;
(2) excavation to the final depth. Detailed information about
structure elements, geometry of the excavation pit and material
properties can be found in Nikolinakou (2011).
5
DISCUSSION AND CONCLUSION
A numerical simulation of isotropic compression of Berlin sand

(Figure 2.a) shows the capability of the IWAN model to predict
the volumetric strain development following the concept of
limit compression line. IWAN model accurately predicts
measured sand behavior, and overall behave similarly to the
MIT-S1 soil model.
Numerical simulation of drained triaxial tests (Figure 3.a)
shows the capability of the IWAN model to predict the real sand
behavior of dense and loose samples. Comparing the results to
the results gained by MIT-S1 soil model, the prediction of peak
strength, stress reduction and dilatancy is more accurate.
Prediction of displacements for the deep excavation using
IWAN model (Figure 4 and 5) are similar to predictions using
MIT-S1 model. Minor deviation of results can be observed for
the final excavation depth on MQ5 profile while all other
simulations give almost same results. Comparing predictions to
inclinometer measurements of wall displacements, the same
trend can be observed. For the case of anchor prestressing wall
displacements are toward the back soil, and attain typical shape
of inward movement for the final excavation.
Observed results add to the confidence of using IWAN soil
model in complex numerical simulation. The model predicts
well real sand behavior for wide range of stress, strain and
densities by using a single set of input parameters. Material
parameters for the shear and dilatancy, calibrated to several
sand types, may be used with confidence, while the basic
parameters can be derived from basic laboratory and in situ
tests.
812
REFERENCES
Brinkgrawe R.B., Broere W. and Waterman D. 2008. PLAXIS 2D

Version 9, Plaxis bv. Delft
Collins I.F., Muhunthan B., Tai A.T. and Pender M.J. 2007. The
concept of a 'Reynolds-Taylor state' and the mechanics of sands.
Gotechnique 57 (5), 437-447.
Fahey M. and Carter J.P. 1993. A finite element study of the
pressuremeter test in sand using a nonlinear elastic plastic model.
Canadian Geotechnical Journal 30, 348-361.
Gutierrez M. 2003. Modeling of steady-state response of granular soils.
Soils and Foundations 43 (5), 93-105.
Iwan W. D. 1967. On a class of models for the yielding behavior of
continuous and composite systems. Journal of Applied Mechanics,
34 (3), 612-617.
Jefferies M. and Been K. (2006). Soil liquefaction - A critical state
approach. Oxon: Taylor & Francis.
Li X.S. and Dafalias Y.F. 2000. Dilatancy for cohesionless soils.
Gotechnique 50 (4), 449-460
Masing G. 1926. Eigenspannungen und Vervestigung beim Messing.
Proceedings, Second International Congress of Applied Mechnaics
(pp. 332-335). Zrich: Orell Fssliverlag.
Muir Wood D. 1990. Soil Behavior and Critical State Soil Mechanics.
Cambridge, UK: Cambridge University Press
Nikolinakou M.A., Whittle A.J., Savidis S. and Schran U. 2011.
Prediction and Interpretation of the Performance of a Deep
Excavation in Berlin Sand, Journal of geotechnical and
Geoenvironmental Engineering, ASCE, Nov.2011.
Pestana J.M. and Salvati L.A. 2006. Small-Strain Behavior of Granular
Soils. I: Model for Cemented and Uncemented Sands and Gravels.
Journal of Geotechnical and Geoenvironmental Engineering 132
(8), 1071-1081.
Segelman D.J. and Star M.J. 2008. Inversion of Masing models via
continuous Iwan systems. International Journal of Non-Linear
Mechanics, 43, 74-80.
Sheng D., Yao Y. and Carter J. P. 2008. A volume-stress model for
sands under isotropic and critical states. Canadian Geotechnical
Journa, 45, 1639-1645.
Sokoli I. 2010. A sand model embedded into the generalized Iwan
system, unpublished PhD Thesis, Faculty of Civil Engineering
Zagreb (in Croatian, unpublished)
Numerical modelling of desiccation crack induced permeability

Modlisation numrique de la permabilit induite par la fissuration des sols
Stirling R.A., Davie C.T., Glendinning S.
Newcastle University, Newcastle-upon-Tyne, UK
ABSTRACT: The development of cracking as a result of desiccation and the apparent increase in permeability of cracked fill is
increasingly under investigation. Rainfall infiltration into soil surfaces that experience cracking increases due to the additional,
preferential transmission of water. This in turn results in cycles of rapidly elevated pore water pressure and is widely cited as a
significant mechanism for strength reduction that leads to embankment failure. A two-phase flow numerical model that allows the
partially saturated behaviour of the desiccated medium to be captured is presented based on the finite difference code FLAC 2D. The
material properties of the developed model, including soil stiffness and strength, are incorporated as a function of drying. The model
has allowed investigation into the factors influencing the incidence and scale of cracking.
RSUM : Linfiltration des prcipitations dans les sols sensibles la dessiccation augmente comme rsultat de la transmission
prfrentielle, additionnelle deau. Ce phnomne se traduit par des cycles de pression interstitielle rapidement leve, et est
largement cit comme un mcanisme important de la rduction de la rsistance qui conduit la rupture des remblais. Un modle
numrique de lcoulement diphasique, permettant la prise en compte du comportement partiellement satur du milieu dessch, est
prsent. Ce modle est bas sur un code de calcul de diffrences finies, FLAC 2D. Les proprits du matriau du modle, y compris
la rigidit et la rsistance du sol, sont incorpores comme fonction du schage dans la description de la courbe caractristique sol-eau.
Le modle a permis galement lvaluation des principaux facteurs qui influencent l'incidence et l'ampleur de la fissuration des sols.
KEYWORDS: Numerical modelling, Unsaturated soils, Soil behaviour
1
INTRODUCTION
Cracking within clay fills has been an accepted phenomenon

for many decades. The engineering study of desiccation
cracking has been motivated by its impact upon the
effectiveness of many earth structures including liners (Philip et
al 2002), foundations (Silvestri et al 1992), cuttings and
embankments (Smethurst et al 2006) due to an apparent
increase in water infiltration.
Desiccation cracking is the product of volumetric shrinking
of clays brought about by a reduction in soil-water content.
Cracking initiates when tensile stresses generated by increasing
suctions exceed the soil strength, which in itself, is controlled
by soil water content. Variability in soil-water content is
primarily
the
result
of
seasonal
fluctuation
in
precipitation/evaporation in addition to the transient demands of
vegetation and the infiltration potential of the soil surface and is
therefore largely governed by climate.
Predicted climate change scenarios are recognised to have
the capacity to more frequently bring about conditions
conducive to the increased occurrence of this behaviour because
of the increased occurrence of warmer and drier summers
experiencing rainfall events of shorter duration and higher
intensity (Hulme et al 2002, Jenkins et al 2010).
Progressive failure is thought to be largely governed by
permeability which is in turn controlled by the micro- and
macro-scale structure of the soil. Previous studies have
established that current permeability measurement techniques
produce discrepancies between both laboratory and field
established values and numerically simulated pore-water
pressure values (Smethurst et al 2006, Rouainia et al 2009).
These differences have been identified as being caused by
permeability values ranging by up to three orders of magnitude
(Nyambayo and Potts 2005, Rouainia et al 2009). Albrecht and
Benson (2001) identified the same increase in hydraulic
813
conductivity of three orders of magnitude in laboratory testing

of small cracked samples when compared to equivalent noncracked samples of the same material. This supports the notion
that it is the presence of pervasive cracks that results in the
elevated permeability. An empirically reasoned permeability
modification has been employed in the modelling of
embankment pore pressures (Nyambayo et al 2004).
Many researchers have attempted to model the mechanisms
involved in crack initiation and propagation, particularly with
respect to crack pattern. Kodikara and Choi (2006) present a
simplified analytical model for laboratory cracking which has
subsequently been implemented by Amarasiri et al. (2011) into
a distinct element code. Their work describes the modelling of
cracking behaviour in slurried clays under given laboratory
boundary conditions and incorporates material changes due to
drying. More recently, work has been carried out using the finite
element method to investigate the development of tensile
stresses associated with desiccation (Trabelsi et al 2011, Peron
et al 2012). In contrast, this work models partially saturated
flow throughout the medium induced by a simulated
evaporation boundary and combines this mechanism with the
ability to capture a fracturing geometry.
2
TWO-PHASE FLOW
Modelling has been carried out using the commercial finite

difference code, FLAC (Fast Lagrangian Analysis of Continua)
(ITASCA, 2002). The internal programming language, FISH,
has allowed material variables to be defined as a function of
water content. Given the fundamental influence of water content
in desiccation cracking, it is important to be able to capture the
partially saturated behaviour of the medium. To do this, the
Two-phase Flow (tp-flow) option available with FLAC was
used.
shear orientations. Interface property values were derived

primarily from standard laboratory tests (e.g. direct shear test).
However, interface normal and shear stiffness were calculated
according to the relative stiffness and size of neighbouring
elements. As with continuum stiffness, interface stiffness was
updated while stepping using the relationship with water
content.
The magnitude of tensile strength for a given soil is widely
recognised to be dependent upon the soil water content and
therefore, suction present (Heibrock et al 2003, Nahlawi et al
2004, Tamrakar et al 2005, Trabelsi et al 2011). Laboratory
testing was conducted using an adapted standard direct shear
apparatus on samples of the modelled clay at varying water
content. The identified trend input to the model is presented in
Figure 2.
The tp-flow option allows the flow of two immiscible fluids

to be modelled whose proportions are representative of soil
saturation. Darcys law is then used to define the wetting and
non-wetting fluid flow according to their relative pressures.
Capillary pressure is fundamentally linked to the effective
saturation and is considered in this work using the van
Genuchten approximation (van Genuchten 1980). The relative
permeability of each fluid is considered to be a fraction of the
saturated coefficient of permeability dependent upon the
effective saturation.
Coupled fluid-mechanical modelling was conducted in
which volumetric deformation causes changes in fluid
pressures. Similarly, changes in effective stress result in
volumetric strain, with the pore pressure increment weighted by
the level of saturation (Itasca 2002).
3
MATERIAL PROPERTIES
3.1 Continuum properties

For simplicity, the soil was assumed to behave elastically,
although non-linear behaviour was captured as described below.
Youngs Modulus, E (MPa), in partially saturated soils is a
function of water content, (%), this relationship was derived
experimentally for the material modelled using constant water
triaxial tests. These data are presented in Figure 1.
The properties required by the software were dry density,
bulk and shear moduli. The bulk and shear moduli were
calculated using the Youngs modulus from Figure 1 and a
Poissons ratio of 0.3 (Tomlinson 2001). These moduli were
updated at each time-step of the analysis using code developed
in FISH and were based on changes in element water content.
The initial dry density of the soil was 1.65Mg/m3, based upon
sampling of a full scale trial embankment at Newcastle
University (Hughes et al 2007).
Figure 2 Tensile strength of compacted clay as a function of water

content.
In addition to the dependency of interface tensile strength

with water content, variability in soil strength was also included
using a normally distributed random number facility about the
experimentally derived value. This variability was included to
enable a degree of the inherent heterogeneity of compacted clay
to be better captured. The implications of this method on crack
initiation and spacing is discussed later.
Restrained shrinkage at the base of clay has been shown to
have a great influence on the generation of the tensile stress that
leads to cracking (Peron, et al., 2009). The clay-mould interface
properties incorporated were based upon laboratory trials of
compacted clay shrinkage in specially constructed moulds.
3.3 Hydrological Properties
To implement the two-phase flow calculation, van
Genuchten properties of the clay were obtained from the soil
water retention curve established using the Filter Paper
Technique. These data are presented in Figure 3 alongside the
implemented fitted van Genuchten approximation.
The curve describes the general trend of increasing suction
with decreasing soil water content. It is this increase in suction
that is understood to bring about an increase in soil stiffness and
strength, in addition to shrinkage strain required for the
development of tensile stress.
The saturated mobility coefficient input to FLAC was
calculated from the coefficient of permeability and the dynamic
viscosity of water. The permeability value used was measured
from un-cracked sites on a trial embankment constructed using
the modelled clay fill (Hughes et al 2007).
Figure 1 The trend in Youngs modulus at varying water content.
3.2 Interface properties

Interfaces were sited vertically throughout the mesh with
regular spacing. The use of interfaces enables separation of the
mesh into discrete regions between which slip and separation
can occur, subject to criteria set by interface properties and so
provide locations for potential cracking.
The Interface bond will break when tensile stresses exceed
the tensile strength or when shear stresses exceed the shear
strength of the individual interface. Separation can then occur
along the interface segment (delineated by node pairs) where
this condition is met.
The interface properties comprise the friction angle;
cohesion; tensile strength and stiffness in both the normal and
814
Figure 5 Illustration of the drying boundaries a) Initial upper surface b)

Upper surface plus exposed sample ends and c) Upper surface, exposed
ends plus crack walls.
Figure 3 Soil water characteristic curve.
NUMERICAL MODEL
Soil
Mould
Interfaces
RESULTS
An example of the output geometry from a typical

simulation is provided in Figure 6a alongside a representative
laboratory experiment. It can be seen that shrinkage of the
modelled clay has taken place, represented by the difference in
total length between the mesh simulating the clay and that of the
fixed mould. Towards the outer boundaries of the clay mesh, the
edge is seen to curve from the vertical. This realistic behaviour
is captured by the ability of the model to generate the non-linear
negative pore pressure gradient through the depth of the mesh.
By applying a drying condition to the outer surface, primarily
the upper boundary, this region has been found to develop the
greatest suction magnitudes. Additionally, the overall residual
height of the mesh following drying is found to have reduced
from the pre-drying condition.
2mm
The model developed in this work was based on experiments

conducted to investigate the desiccation cracking of compacted
clay fill in the laboratory. As such, the geometry (Figure 4),
material behaviour and initial conditions were based on these
experiments.
The modelled mould consisted of a 190x2 element thick
region located beneath the mesh representing the clay and was
fixed in space. The remaining mesh comprised 190x17
quadrilateral elements, 94 vertically orientated interfaces and 95
horizontal interfaces, the latter forming a single plane between
the base of the clay mesh and the mould. All boundaries of the
sample mesh remained free to shrink/swell in any orientation.
Plane-stress was configured given the finite out-of-plane depth
of the modelled scenario.
Figure 4 Geometry of the model mesh.
An evaporative drying condition was applied to the exposed,

upper surface of the clay. The drying flux was numerically
simulated by application of a discharge boundary condition
statically located at the upper surface of the model mesh (5a).
During the early stages of experimental drying, shrinkage
was observed as both ends of the soil sample, away from the
mould ends resulting in an increase in the exposed surface area
of the sample. Therefore, in addition to simulated discharge
from the upper surface of the sample mesh, the transient
behaviour of the exposed end surfaces was accommodated.
Furthermore, the evaporative surface area increases upon the
onset of cracking and this is also included. At every simulated
hour of drying, each interface is assessed for separation (i.e.
crack opening). When separation is identified, the exposed
crack wall is subjected to the dynamic discharge condition. An
example evolution of the drying boundary geometry is
illustrated in Figure 5.
The model requires a drying rate to be applied to the surface,
this was determined from laboratory experiments where mass
loss is considered to be solely that of water.
815
a)
0
1E1m
Flowvectors
ScaledtoMax =1E7
MaxVector=8.045E8
0
2E7
5E2m
b)
Figure 6 a) Model geometry output (side elevation) and an inset

example laboratory experiment (plan elevation) and b) Cracked
geometry with flow vectors.
Flow may be seen in Figure 6b to predominantly act in the

upward direction throughout the medium. In the vicinity of
separated interfaces, flow is shown to occur toward the crack
wall contributing to the overall drying mechanism of the model.
The ability to capture the development of tensile stress
throughout the medium is vital for the simulation of crack
initiation and growth conditions. A representative contour plot
of total horizontal stress is presented in Figure 7. Most clearly
depicted is the generation of greatest tensile stress localisation
about the modelled crack tip. As the propagation of interface
separation takes place it is found that the magnitude of this
stress concentration increases. However, upon full separation of

the mesh, this tip stress is relieved as propagation is halted. The
mesh is then free to shrink further subject to the basal friction
condition.
Figure 7 Distribution of total stress in the horizontal orientation.
The formation of shallow compressive stress concentrations

at the upper surface, such as that shown between existing cracks
in Figure 7 is considered to be the indicator of crack initiation
loci. The progressive development of such surface stress
concentrations away from previous crack formation is evidence
of sequential crack formation. The incorporation of tensile
strength variability across the many interfaces has allowed this
phenomenon not to dominate, therefore avoiding symmetry in
the resultant crack pattern. Simultaneous growth of primary
cracking at spacing relative to the progressive development of
surface stress is evident in Figure 6a, shown by the fully
penetrating cracks. The initiation of minor cracks at the surface
has led to stress relaxation and inhibited further pervasive
cracking.
Growth of basal tensile stress concentrations are shown to
result from the imposed shear conditions at the clay-mould
interface. These are found to contribute to the propagation of
interface separation approaching the base of the clay. However,
clay tensile strength is consistently exceeded at the evaporative
outer boundary initially.
6
CONCLUSIONS
This work is set in the context of cracking due to seasonal

drying in compacted, engineered fills used in the construction of
infrastructure embankments.
The model presented is capable of replicating the non-linear,
partially saturated state that results from the application of a
drying flux. Through incorporating interface elements, the
model is not only able to model the stress field generated
through drying but is capable of simulating the cracking
behaviour of an engineered fill undergoing desiccation. It is
recognised that the placement of predefined, potential cracking
sites has the inherent tendency to bias the distribution of
cracking. However, attempts have been made to include a
degree of heterogeneity in tensile strength throughout a finely
discretised mesh. Through this, a combination of spontaneous
and sequential crack initiation processes is captured much like
the development of primary and second order cracking recorded
in the field.
The use of a dynamic, evaporative boundary condition is
incorporated in an attempt to capture the transient nature of
surface permeability under drying.
7
ACKNOWLEDGEMENTS
The authors would like to thank Stuart Patterson for help

with laboratory work, Dr Joao Mendes for triaxial data and Dr
Peter Helm for his helpful advice in the use of the numerical
software.
816
REFERENCES
Albrecht B. A. and Benson C. H. 2001 Effect of desiccation on

compacted natural clays. J. Geotechnical and Geoenvironmental
Eng. 127 (1), 67-75
Amarasiri A. L., Kodikara J. K. and Costa S. 2011 Numerical modelling
of desiccation cracking. Int. J. Numerical and Analytical Methods
in Geomech. 35, 82-96
Heibrock G, Zeh, R. M. and Witt K. J. 2003 Tensile strength of
compacted clays. Preceedings of the international conference
'From Experimental Evidence towards Numerical Modelling of
Unsaturated Soils. Weimar, Germany
Hughes P., Glendinning S. and Mendes J. 2007 Construction, testing
and instrumentation of an infrastructure testing embankment.
Proceedings of the Expert Symposium on Climate Change
Modelling, Impacts & Adaptations, Singapore, 159-166
Hulme M., Jenkins G. J., Lu X., Turnpenny J. R., Mitchell T. D., Jones
R. G., Lowe J., Murphy J. M., Hassell D., Boorman P., McDonald
R. and Hill S. 2002 Climate change scenarios for the United
Kingdom: The UKCIP02 Scientific Report, Tyndall Centre for
climate change research, Norwich
ITASCA 2002 FLAC Users Guide. ITASCA, Minnesota
Jenkins G., Murphy J., Sexton D., Lowe J., Jones P. and Kilsby C. 2010
UK climate projections: Briefing report. 2. UK Climate Impacts
Programme
Kodikara J. K. and Choi X. 2006 A simplified analytical model for
desiccation cracking of clay layers in laboratory tests. ASCE
Geotechnical Special Publication 2, 2558-2569
Nahlawi H., Charkrabarti S. and Kodikara J. 2004 A direct tensile
strength testing method for unsaturated geomaterials. ASTM
Geotechnical Testing Journal. 27 (4), 1-6
Nyambayo V. P. and Potts D. M. 2005 A new permeability model for
shrinkable soils undergoing desiccation. Proceedings of the
International Conference on Soil Mech. and Geotechnical Eng. 2,
831-836
Nayambayo V. P., Potts D. M. and Addenbrooke T. I. 2004 The
influence of permeability on the stability of embankments
experiencing seasonal pore water pressure changes. Advances in
Geotechnical Eng.: The Skempton Conference, Thomas Telford,
London, 898-910
Peron H., Laloui L., Hu B. L. and Hueckel T. 2012 Formatio of drying
crack patterns in soils: a deterministic approach. Acta Geotechnica,
1-7
Peron H., Hueckel L., Laloui L. and Hu L. B. 2009 Fundamentals of
desiccation cracking of fine-grained soils: experimental
characterisation and mechanisms identification. Can. Geotechnical
J. 46, 1177-1201
Philip L. K., Shimell H., Hewitt P. J. and Ellard H. T. 2002 A fieldbased test cell examining clay desiccation in landfill liners. Q. J.
Eng. Geol. and Hydrol. 35, 345-354
Rouainia M., Davies O., O'Brien T. & Glendinning S. 2009 Numerical
modelling of climate effects on slope stability. Eng. Sustainability,
162 (ES2), 81-89
Silvestri V., Sarkis G., Bekkouche N. and Soulie M. 1992
Evapotranspiration, trees and damage to foundations in sensitive
clays. Can. Geotechnical Conference. 2, 533-538
Smethurst J. A., Clarke D. and Powrie W. 2006 Seasonal changes in
pore water pressure in a grass-covered cut slope in London clay.
Geotechnique. 56, 523-537
Tamrakar S. B., Toyosawa Y., Mitachi T. and Itoh K. 2005 Tensile
strength of compacted and saturated soils using newly developed
tensile strength measuring apparatus. Soils and Foundations, 45 (6),
103-110
Tomlinson M. J. 2001 Foundation design and construction. 7th ed.
Pearson Education, Harlow, England
Trabelsi H., Jamei M., Zenzri H. and Olivella S. 2011 Crack patterns in
clayey soils: Experiments and modelling. Int. J. Numerical and
Analytical Methods in Geomech., 36 (11), 1410-1433
van Genuchten M. T. 1980 A closed-form equation for predicting the
hydraulic conductivity of unsaturated soils. J. Soil Soc. Am. 44 (5),
892-898
The tip resistance in layered soils during static penetration

La rsistance en pointe dans les sols stratifis pendant une pntration statique
Sturm H.
Norwegian Geotechnical Institute (NGI), Oslo, Norway
ABSTRACT: The maximum resistance during static penetration in layered soils is in general governed by the presence and properties
of embedded granular layers; even so if these layers are thin compared to the dimensions of the penetrating object. In order to
optimize the installation process as well as weight and geometry of the penetrating structure, it is important to assess reliably adequate
strength parameters of these layers. By means of Finite Element calculations, normalized penetration resistance of a sand layer with
varying properties embedded in soft clay have been determined. The results are presented in diagrams which can be used directly in a
design.
RSUM :La rsistance des sols stratifis pendant une pntration statique dpend en gnral de la prsence et des caractristiques
des couches granulaires, mme si ces couches sont minces compares aux dimensions de lobjet pntrant. Afin doptimaliser
linstallation et le poids/gomtrie dune structure pntrante, il est ncessaire dtablir de faon fiable les paramtres de rsistance de
chaque couche. La rsistance la pntration normalise pour une couche de sable entre deux couches dargile molle a t tablie par
lments finis. Les rsultats sont prsents sous forme dabaques qui peuvent tre utilises directement en dimensionnement.
KEYWORDS: Penetration resistance, thin sand layers, numerical simulations, hypoplasticity, parametric study.
1
INTRODUCTION AND MOTIVATION
The maximum resistance during static penetration in layered

soils is in general governed by the presence and properties of
embedded granular layers. The actual value of the resistance
depends on the properties and state, i.e. density and stress, of
the granular layers, as well as on the geometrical boundary
condition, i.e. the relative thickness of the layers referred to the
diameter of the penetrating object. Where relatively thin
granular layers are present, the assessment of adequate strength
parameters is a particular challenge, and there is always the
danger of underestimating or overestimate the resistance, which
can have significant impact on the design.
This paper presents a numerical parametric study where a
thin sand layer embedded in soft clay has been analysed.
Relative density and thickness of the sand, undrained shear
strength of the surrounding clay and the vertical effective
consolidation stress have been varied. The results are
summarised in diagrams with normalised resistance factors. A
simple procedure is proposed for superimposing the different
influencing effects. This allows applying the results to a wide
range of use cases; even to relatively thick sand layers where
the state and properties may change with depth. Examples
where the results of this study can be used are predicting the
penetration resistance of prefabricated piles, bearing capacity of
the tip of an installed pile and achievable penetration depth of
dynamically installed torpedo piles (Sturm et al., 2011) to name
but a few.
2
APPROACH AND ASSUMPTIONS
The relevance of size effects in the design are well known and
were already studied previously by Vreugdenhil et al. (1994)
using analytical methods, and Ahmadi and Robertson (2005)
using numerical methods. Also in this study, a numerical
approach has been adopted similar to the one proposed by
817
Cudmani and Sturm (2006). With this model, they could predict
qualitatively and quantitatively correct the mechanism and
actual value of the tip resistance during static and dynamic
penetration in both granular and soft soils.
Figure 1 Deformed FE mesh at halfway penetration through the sand

layer.
Figure 1 shows a detailed view of the tip of the

axisymmetrical Finite Element (FE) mesh used in this study.
The tip is somewhat rounded in order to improve the numerical
stability of the contact formulation; the average opening angle,
however, still corresponds to a CPT tip. To reduce excessive
mesh distortion, a small initial opening gap under the tip of
r0=r/10 has been accounted for. Cudmani (2001) has shown that
these modifications have only a small impact on the actual value
of the penetration resistance, but improve robustness and

numerical stability, and allow large deformation FE simulations
using implicit codes such Abaqus/Standard; which has been
also used in the present study.
The width of the FE model amounts 100r, the height
(68+N)r, where N varies between 0.5 and 40 according to the
considered thickness of the sand layer. Roller boundaries have
been used at bottom and vertical outer boundary, while the free
surface on top was charged with a constant surface load. The
penetration calculation started with a tip in-place at 8r below
the upper surface.
Effective vertical consolidation stress between 50

kPa and 400 kPa (ref=100 kPa) using k0=0.75,
Layer thickness between 0.5r and 40r (tref=1r),
And relative density between 25% and 100%
(Dr,ref=50% which equates a void ratio of e=0.86).
RESULTS
Figure 3 shows the penetration resistance in a fully drained sand

layer for constant stress, density and soil properties but different
layer thicknesses. In addition the penetration resistance in sand
or clay are plotted as upper and lower boundary, respectively.
Figure 2 Linearization of soil properties and assessment of the

equivalent tip resistance.
In order to make the results general applicable, a thin sand

layer has been considered allowing linearising of state and soil
properties as shown in Figure 2; meaning strength and stress
have been assumed constant. To compare the different results of
the parametric study, an equivalent tip resistance Teqsand of the
sand layer has been determined by integrating the loaddisplacement curve and dividing it by the corresponding layer
thickness; transition from b) to c) in Figure 2.
3
SIMULATIONS AND PARAMETRIC STUDY
The clay behaviour has been described with a linear elastic,

perfectly plastic model using the Mohr-Coulomb failure criteria.
For the sand, the hypoplastic model in the version proposed by
von Wolffersdorff (1996) has been used, incorporating the
intergranular strain extension proposed by Niemunis and Herle
(1997). The parameters adopted are listed in Table 1.
Figure 3 Tip resistance depending on the thickness of the drained sand

layer. The results are normlised by the residual resistance in clay.
Table 1 Hypoplastic and intergranular strain parameters of the sand

layer.
hs
n
ed0
ec0
ei0
c
32.8 625 [MPa] 0.33 0.67 1.05 1.21 0.18
1.12
m2
2
m5
2
Rmax
0.001
0.1
The clay has been modelled undrained using a poison ratio

of 0.495. In the simulations where undrained conditions of the
sand layers have been assumed, a bulk modulus of 2.2 GPa has
been used for the pore water.
In order to prevent any affects of the vertical roller boundary
on the penetration resistance due to the incompressibility of the
clay, the FE model is divided vertically into two parts, where
the outer part serves as a compensating layer. This layer has a
poison ratio of 0.25, or a bulk modulus of 0.0 GPa, respectively,
and proportionally scaled properties with reduced stiffness.
Sturm and Andresen (2010) have employed the same approach
successfully for simulating the penetration and stress set-up of
Torpedo Piles.
In the presented parametric study the following parameters
have been varied (the values in brackets were adopted in the
reference simulation used for the normalisation):
Strength of the surrounding clay between 25 kPa

and 250 kPa (su,ref=50 kPa),
818
Figure 4 Tip resistance depending on the relative density of the drained

sand layer. The results are normlised by the residual resistance in clay.
The shape of the curves are qualitatively similar to the

analytical solutions proposed by Vreugdenhil et al. (1994) but
are much smoother than the numerical simulations presented by
Ahmadi and Robertsen (2005), which used an explicit FE code.
A layer thickness of more than 40r is required to reach the
resistance of the sand layer. This agrees to the study from
Vreugdenhil at al. (1994), which indicated even a larger value

of approximately 100r.
The stiffness of the sand layer is apparently independent of
the layer thickness, which becomes evident from the congruent
transition curves when approaching and penetrating the sand
layer. An increase or decrease, respectively, of the stiffness can
be seen, however, for varying relative densities as shown in
Figure 4. A similar result is obtained when varying the clay
strength and the vertical consolidation stress; not shown.
Figure 5 presents the equivalent tip resistance in drained
sand normalised with the equivalent tip resistance of the
reference simulation using the reference parameters listed in
Section 3, viz.
The equivalent strength of the drained sand layer in the

reference model amounts (Teqsand/Tclay)ref=3.44.
can be well reproduced by the FE model using the hypoplastic

formulation (Cudamni and Sturm, 2006), it is believed that the
lower normalised relative resistances at high relative densities
are affected by the layer thickness. The sand is squeezed
horizontally but also vertically into the softer clay which results
in a lower resistance. The squeezing can be well seen in the
deformed mesh when high densities and low undrained shear
strengths for the clay are used. In some cases it lead to distorted
elements introducing numerical difficulties. These simulations
have not been included in the presented diagrams. The vertical
squeezing explains also the higher resistances under undrained
conditions compared to drained conditions. The excess pore
pressure is less than during penetration in pure undrained sand
with similar properties, resulting in higher effective stresses
under the tip and hence higher penetration resistance.
In case of very thin to thin layers, the effect of the thickness
on the penetration resistance is almost independent of the
drainage conditions of the sand. However, when plotting these
curves over a larger range, as shown in Figure 7, it becomes
apparent that the effect is larger under drained conditions. In
addition the theoretical residual maximum normalised resistance
for drained and undrained conditions are plotted in Figure 7.
The curves approaching the theoretical values only
asymptotically, but it is reasonable to assume a value of
approximately 80r to 100r as an upper limit at which a further
increase of the thickness has a negligible effect on the
equivalent resistance.
Figure 5 Normalised resistance of the drained sand layer depending on

the shear strength of the clay, effective consolidation stress, thickness of
the sand layer and relative density of the sand.
Figure 6 presents the normalised equivalent tip resistance in

undrained sand normalized with the corresponding reference
simulation using the same reference parameters.
Figure 7 Normalised resistance of the drained and undrained sand layer
depending in the layer thickness.
5
5.1
Figure 6 Normalised resistance of the undrained sand layer depending

on the shear strength of the clay, effective consolidation stress,
thickness of the sand layer and relative density of the sand.
The curves of the normalized resistances of both drained and

undrained sand are very similar. Almost identical curves are
obtained for varying shear strengths of the clay layer.
The effective consolidation stress has only a small influence
on the resistance in undrained sand, which is plausible since the
relative density governs the undrained strength of sand.
More pronounced is the effect of the relative density being
larger under undrained conditions. The double-bended curve is
somewhat unexpected. However, the resistances at low densities
(25% and 37.5%) are in practice less relevant. Noticeably,
however, is, that the actual values are smaller than expected
based on the diagrams proposed Baldi et al. (1986). But since
the tip resistance in pure sand as measured by Baldi et al. (1986)
819
APPLICATION RANGE AND LIMITATIONS

Application
In order to use the results shown in Figure 5 to Figure 7 for

other design cases than the ones simulated, the different
normalised resistance factors just need to be multiplied. For
example, the normalised resistance of a drained sand layer with
su,clay=12.5 kPa, v=200 kPa, t=2r and Dr=100% is
=1.211.251.141.54=2.66 or Teqsand=3.442.66=9.15Tclay,
respectively, where Tclay=Ncr2su,clay with su,clay=12.5 kPa.
This value agrees well with the result of a corresponding FE
calculation.
The plausibility of this approach becomes apparent from the
following simple example: considering two drained sand layers
with equal density and thickness embedded in normal
consolidated clay but at different depths. The vertical effective
stress and the strength of the normal consolidated clay increase
linearly with depth. The equivalent tip resistance should be then
almost equal in both sand layers, meaning that both effects
should cancel out, given that the sand resistance is stress
independent. This, however, is not the case in the hypoplastic
formulations. Thus, the resistances are only approximately
similar within a range of 50%.
In practice, the diagrams are used to estimate the scaling
effects and to provide input for sensitivity studies. Starting point
in most cases will be a CPT profile indicating the presence of a
sand layer, for which an appropriate equivalent resistance needs

to be assessed for the considered design case of the structure.
Where soil and state properties cannot be linearised, an
upper and lower equivalent resistance can be assessed using the
diagrams. The resistance can be then interpolated linearly
between both values. Due to the squeezing effect,, the scaling
factors accounting for changes in relative density, shown in
Figure 5 and Figure 6, may underestimate the actual resistance
of relatively thick layers. Thus, the diagrams proposed by Baldi
et al. (1986) might be used instead.
In order to consider different penetration rates, meaning
partially drained conditions of the sand layer, a fully drained
and a fully undrained equivalent resistance need to be
determined. Given that the drainage and hydraulic boundary
conditions are comparable between the reference test, e.g. a
CPT measurement, and the structure to be designed, one can
interpolate between the two values using one of the approaches
discussed by Danziger and Lunne (2012).
The diagrams can be also used where viscous-type rate effect
matters. In this case the penetration rate used in the soil
investigation should corresponds to the penetration rate of the
structure to be designed.
5.2
Limitations
The diagrams cannot be directly used for multi-layered soils

where sand layers interfere with each other, meaning that the
resistance in the clay is affected by both an upper and a lower
granular layer.
In this study, a stress ratio of k0=0.75 has been used. The
diagrams can be employed to other stress case only, when the
stress state is corrected for the effective mean stress, which
governs the response of the sand layer in the hypoplastic
formulation. Preliminary FE calculations indicate that the
curves are very similar to ones presented in Figure 5 to Figure
7. However, further calculations needs to be performed to
confirm that.
Only one sand type has been considered in the presented
parametric study. Due to the normalisation, the diagrams should
be applicable to other sands as well. FE simulations, in which
other soil properties for the sand have been used, showed
quantitatively similar curves. However, additional simulations
should be performed to confirm the normalisation and the
general applicability of the diagrams to other materials.
Not considered by the hypoplastic model is grain crushing.
At high penetration pressures, grains may crush, which is
accompanied by a change of the soil properties. Although FE
calculations indicate that the diagrams are applicable to other
sands with different properties than the one analysed, the
properties should not change during penetration. Grain crushing
affects the grain size distribution and the limiting void ratios,
meaning that for example also the relative density changes.
Thus, the diagrams cannot be applied when grain crushing is
expected.
6
SUMMARY AND OUTLOOK
In this contribution, the effect of thin sand layers on the

penetration resistance is discussed. By means of FE simulations,
a comprehensive parametric study has been performed varying
thickness and relative density of a sand layer embedded in soft
clay. In addition, the strength of the clay and the vertical
consolidation stress has been systematically varied. The results
are presented in normalised diagrams of which the influencing
factors can be read out. To superimpose different effects, the
corresponding factors need to be simply multiplied. The
plausibility of this approach has been shown and possible
application cases have been discussed.
To overcome some of the limitations and existing
uncertainties, further FE simulations are planned to perform, in
which in particular the stress ratio k0 and the soil properties are
820
varied systematically. It is believed that different soil properties

do not affect the presented diagrams and the effect of the stress
ratio can be represented by an additional normalised curve.
In addition to numerical studies, model and field tests should
be performed to reinforce the approach proposed.
7
REFERENCES
Ahmadi M.M. and Robertson P.K. 2005. Thin-layer effects on the CPT
qc measurement. Can. Geotech. J. 42: 1302-1317.
Baldi G., Belotti R., Ghionna N., Jamiolkowski M. and Pasqualini E.
(1986), Interpretation of CPTs and CPTUs. 2nd Part: Drained
penetration resistance. 4th International Geotechnical Seminar,
Field Instrumentation and In-Situ Measurements, Singapore, 143153
Cudmani R. 2001. Statische, alternierende und dynamische Penetration
nichtbindiger Bden. Ph.D thesis, Karlsruhe, Germany.
Cudmani R. and Sturm H. 2006. An investigation of the tip resistance in
granular and soft soils during static, alternating and dynamic
penetration. Int. Sym. on vibratory pile driving and deep soil
compaction TRANSVIB 2006, Paris, France.
Danziger F. and Lunne T. (2012), Rate effect on cone penetration test in
sand, Geotechnical Engineering Journal of the SEAGS & AGSSEA
Vol. 43 No. 4, 72-81
Niemunis A. and Herle I. (1997), Hypoplastic model for cohesionless
soils with elastic strain range, Mechanics of Cohesive-Frictional
Materials, Vol. 2, 279-299
Sturm H. and Andresen L. 2010. Large deformation analysis of the
installation of dynamic anchors. NUMGE 2010, Trondheim,
Norway.
Sturm H., Lieng J.T. and Saygili G. 2011. Effect of soil variability on
the penetration depth of dynamically installed drop anchors. OTC
Brasil 2011, Rio de Janeiro, OTC 22396.
Vreugdenhil R. Davis B. and Berrill J. 1994. Interpretation of cone
penetration results in multilayered soils. Int. J. Num. Ana.
Methods, Vol. 18: 585-599.
Wolffersdorff P.-A. v. (1996), A hypoplastic relation for granular
material with predefined limit state surface, Mechanics of
Cohesive-Frictional Materials, Vol. 1, No. 3, 251-275
Measured and Simulated Interactions between Kenaf Geogrid Limited Life

Geosynthetics (LLGs) and Silty Sand Backfill
Interactions mesures et simules entre knaf gogrille limite Gosynthtiques vie
(LLGs) et de remblai de sable limoneux
Tanchaisawat T.
Department of Civil Engineering, Faculty of Engineering, Chiang Mai University, THAILAND
Bergado D.T., Artidteang S.

School of Engineering and Technology, Asian Institute of Technology, THAILAND
ABSTRACT: New types of natural fiber reinforcing materials have been introduced recently in geotechnical applications; for
example, jute, coir, sugarcane bagasse. Natural fibers can be modified into woven geogrid and used in geotechnical engineering
applications and generally classified as Limited Life Geosynthetics (LLGs). The natural fiber used for this study was roselle or Thai
Kenaf which was made into geogrid with opening size of 4 mm was investigated. Locally available silty sand was used for compacted
backfill material. Large scale pullout and direct shear tests were performed in order to investigate interaction mechanism of kenaf
geogrid and compacted sand. Numerical simulation was studied in terms of its reinforcement mechanism on plane strain mode. From
the results of sensitivity analyses, the interaction coefficient and axial stiffness of the geogrid were found to be important parameters
affecting the efficiency of geogrid. The interaction coefficient Rinter is 0.9 for pullout mechanism and 0.6 for direct shear mechanism.
The recommended parameters for these reinforced systems have been introduced to use as sustainable geosynthetics. Furthermore,
Kenaf geogrid which is LLGs concept can be widely promoted for natural fiber application in many countries.
RSUM: De nouveaux types de matriaux en fibres naturelles de renfort ont t introduits rcemment dans les applications
gotechniques, par exemple, le jute, le coco, la bagasse de canne sucre. Les fibres naturelles peuvent tre modifis en tiss gogrille
et utilis dans les applications d'ingnierie gotechnique et gnralement classs comme Gosynthtiques dure de vie limite (LLGs).
La fibre naturelle utilise pour cette tude tait knaf oseille ou thalandais qui a t faite en gogrille avec l'ouverture de la taille de 4
mm a t tudie. Sable limoneux disponible localement a t utilis comme matriau de remblai compact. Retrait grande chelle
et essais de cisaillement direct ont t ralises afin d'tudier mcanisme d'interaction de kenaf gogrille et de sable compact. La
simulation numrique a t tudie en fonction de son mcanisme de renforcement du mode de dformation plane. D'aprs les
rsultats des analyses de sensibilit, le coefficient d'interaction et de la rigidit axiale de la gogrille se sont rvls tre des
paramtres importants qui influent sur l'efficacit de la gogrille. Le Rinter coefficient d'interaction est de 0,9 pour mcanisme de
retrait et de 0,6 pour le mcanisme de cisaillement direct. Les paramtres recommands pour ces systmes renforcs ont t mis en
place pour l'utiliser comme gosynthtiques durables. En outre, le knaf gogrille qui est le concept LLGs peut tre largement promu
pour la demande de fibres naturelles dans de nombreux pays.
KEYWORDS: interaction, geogrid, kenaf, simulation.
1
SUSTAINABLE GEOSYNTHETICS
Living sustainably, according to many, requires that we use

resources to meet our present needs without compromising the
ability of future generations to meet their needs. Living
sustainably does not, however, require that we live in thatch
huts that periodically biodegrade. According to the free online
encyclopedia, the definition of sustainability is simply the
capacity to endure. People, resources, and the environment are
all intertwined. We have an impact on the environment when
we extract raw materials, manufacture, install, use and dispose
of our products. This is why endurance counts. A longer lasting
geosynthetic product delays the repeat of the manufacturing
cycle, uses fewer resources, costs less money and causes less
stress on the environment.
Belton (2008) hit the sustainable issue head-on by
illustrating how geotextiles and geogrids save large quantities of
natural materials, mainly stone aggregate for highways,
railroads, parking lots, and building foundations. They also
described the use of on-site soils for use in walls and slopes
rather than using imported sands and gravels. In addition they
bring into context the carbon footprint of both materials and the
processes involved in obtaining these materials, e.g.,
transportation from quarries to construction sites. Interestingly,
the intent of this tax was to increase the use of recycled
materials but it appears to more immediately play into the use of
geosynthetics, to all of our advantage. Robinson and Quirk
821
(2008) give several tables of aggregate thickness saved using

geogrids in highway base courses. They also illustrate aggregate
savings when using geodrains, fin drains, and geocomposites in
walls and bridge abutments. Lastly, they described the many
uses of these drainage geosynthetics in waste containment.
Landfills require drainage of leachate at their base, drainage of
water at the surface, and sometimes drainage within the waste
mass itself.
2 NATURAL FIBERS REINFORCEMENT FOR GREEN
TECHNOLOGY
Environment protection is important because construction
represents a major contribution to climate change, resource
depletion and pollution at a global level. This strategy for more
sustainable construction is a significant step towards a more
successful, socially and environmental friendly atmosphere
making a strong contribution to the better quality of life
signaled by our sustainable development strategy (Mwasha,
2009).
The biobased geotextiles research project has been
conducted by several Institutions in United Kingdom by Sarsby
et., al. (2006), Mwasha (2005), Mwasha and Sarsby (2003).
Today most biodegradable geotextiles are used in erosion
control where they serve to stabilize the soil surface while
natural vegetation is established. There are other numerous
ground engineering situations where the critical period for

stability is immediately, or very shortly, after construction, e.g.
any form of foundation loading of free-draining or slowdraining soils. In such situations it is common practice to
incorporate geosynthetic basal reinforcement to provide an
additional stabilizing force. The stability of the system will
improve in time and so the stabilizing force, which needs to be
provided by the geosynthectic, will diminish. After a certain
time (typically between a few months and a few years) the
whole system will be stable with little or no assistance from the
geosynthetic in many cases the geosynthetic becomes totally
redundant. In such a situation, the use of a non-conventional
geosynthetic, which has a limited, but predictable working life,
is sound engineering practice. This is the concept of limited life
geotextiles (LLGs). In this paper, the interactions between
Kenaf geogrid which is a kind of Limited Life Geosynthetics
(LLGs) have been measured and numerically simulated.
3 INTERACTION BETWEEN BACKFILL SOIL AND
REINFORCEMENT BY PULLOUT AND DIRECT SHEAR
TEST
Figure 2. Components of pullout resistance for geogrid reinforcement

(Jewell et al., 1984)
In reinforced earth structures, the interaction between grid

reinforcement (e.g. inextensible and extensible grid
reinforcements) and soil can be simplified into two types: a)
direct shear resistance and b) pullout resistance. Direct shear
resistance can be represented as soil sliding over the reinforcing
material, but for pullout resistance, it is the pulling of
reinforcements out from the fill material. The dashed line shown
in Fig. 1 represents the potential failure of a typical reinforced
structure. Such direct shear and pullout resistance can be
investigated by conducting direct shear and pullout tests under
various soil types and a range of normal stresses, respectively.
Figure 3. Pullout machine (Artidteang et al., 2012)
Figure 1. Interactions between soil and reinforcement
3.1. Pullout mechanism

Pullout resistance of grid reinforcements embedded in backfill
soils basically consists of two resistance contributions; the
former is frictional resistance and the latter is passive or bearing
resistance. In case of geogrid reinforcements, the shape of
longitudinal and transverse ribs are flat, therefore, the frictional
resistance can be mobilized along not only the surface area of
the longitudinal ribs, but also the surface area of the transverse
ones as shown in Fig. 2.
Pullout test was conducted to determine displacement and
structure of LLGs reinforcement layer needed to achieve active
limit state in order to exploit reinforcements load capacity
properly (Artidteang et al., 2012). The pullout machine which
performed testing is show in Fig. 3. Pullout force was measured
by a load cell connected to the data logger. High strength wires
were connected to the longitudinal rib and the other ends were
connected to the LVDTs to measure the displacement (Fig. 4)
822
Figure 4. Position of LVDTs attached on the woven kenaf LLGs

(Artidteang et al., 2012)
3.2. Direct shear mechanism

Direct shear resistance between soil and grid reinforcement
generally consists of three components. The first component is
the shearing resistance between the soil and the surface area of
grid reinforcement, the second component is the soil-to-soil
shearing resistance at the apertures of grid reinforcement, and
the last component is the resistances from soil bearing on the
bearing surfaces of grid reinforcement (Jewell et al., 1984) see
Fig 5.
The large-scale direct shear test conducted for evaluating
the friction between backfill soils only and between kenaf LLGs
and backfill soil. A photograph of device is shown in Fig. 6

(Artidteang et al., 2012). Kenaf LLGs was prepared by
dimension of 300 mm by 500 mm and it was folded at one end
and placed between compacted backfill soils which compacted
to optimum moisture content in the upper and lower direct shear
box, as shown in Fig. 7.
the soil surface, and pullout loading was then given by applying
prescribed displacement to the reinforcement at the opening
front node of the pullout box to a desired value.
Finite element mesh for pullout box with PLAXIS program is
shown in Fig. 8. Table 1 shows the input parameter for pullout
test simulation.
Figure 8. Pullout test simulation

Table 1 Input parameters for pullout test simulation
Compacted Sand
Normal Stress
Figure 5. Components of the direct shear resistance of grid

reinforcement (Jewell et al., 1984)
Maximum Dry Density,

Cohesion ,c
Friction Angle ,
Young Modulus, E50
Rinter
Kenaf Geogrid
Modulus of Elasticity, E
Length
20, 40, 60 kPa

18.1 kN/m3
11.0 kN/m2
35o
6000 kN/m2
0.5, 0.6, 0.7, 0.8, 0.9, 1.0
50 kN/m2
0.9 m.
4.2. Direct shear test simulation

The large scale direct shear box was modeled by as shown in
Fig. 9. Six-node triangular elements were used as soil elements,
and geogrid elements were used simulating the reinforcement.
The upper and lower interface elements of the reinforcement
were modeled by thin layer elements. The elastic perfectlyplastic model was used to simulate the behaviour of soil-geogrid
interfaces. Air-bag pressure was simulated by vertical loading
applied directly to the soil surface, and shear loading was then
given by applying prescribed displacement to the side nodes of
the upper box. Finite element mesh for direct shear test with
PLAXIS program is shown in Fig. 5. Table 2 shows the input
parameter for direct shear test simulation.
Figure 6. Large scale direct shear apparatus (Artidteang et al., 2012)
Table 2 Input parameters for direct shear test simulation

Compacted Sand
Normal Stress
Maximum
Dry
Density,
Cohesion, c
Friction Angle,
Young Modulus, E50
Rinter
Kenaf Geogrid
Modulus of Elasticity, E
Length
Figure 7. Kenaf LLGs folded with sand backfill (Artidteang et al., 2012)
4 NUMERICAL SIMULATION
INVESTIGATION
FOR
LABORATORY
4.1. Pullout test simulation

The interaction between soil and reinforcement (Kenaf geogrid)
can be simulated in term of pullout and direct shear tests of grid
and compacted sand by using PLAXIS. Six-node triangular
elements were used as soil elements, and geogrid elements were
used to simulate the reinforcement. The upper and lower
interface elements of the reinforcement were modeled by thin
layer elements. The elastic perfectly-plastic model was used to
simulate the behaviour of sand-geogrid interfaces. In PLAXIS
program, the shear modulus and strength parameters of the
interface were automatically calculated from the surrounding
soil parameters using the interaction coefficient, R. Air-bag
pressure was simulated by vertical loading applied directly to
823
5.
40, 80, 120 kPa

18.1 kN/m3
11.0 kN/m2
35o
6000 kN/m2
0.5, 0.6, 0.7, 0.8, 0.9, 1.0
50 kN/m2
0.3 m.
RESULTS AND DISCUSSIONS
5.1. Pullout mode

In this study, the interaction coefficient (R) between the
reinforcement and backfill material was chosen as variable
parameter. The numerical simulations were conducted by
varying the interaction coefficient until the predicted results
coincide with the laboratory results as shown in Fig 10. The

comparison between laboratory test and predicted results are
made in Fig. 11 for pullout test. The results of simulation
captured well with laboratory test results.
After the maximum pullout resistance, the predicted results
show constant residual strength as compared to the measured
results. The reason might be consideration of PLAXIS to
geogrid element as rough sheet which did not show any
damages in geogrid as it occurred in laboratory. Average backcalculated interaction factor for Kenaf and compacted sand is
0.9 in pullout mode.
100.00
90.00
Shear Stress (kPa)
0.00
0.000
Pullout Force (kN/m)
0.020
0.025
0.030
0.035
0.040
0.045
0.050
Figure 12. Direct shear test between FEM and laboratory test results
6.
0.010
0.020
0.030
0.040
0.050
0.060
0.070
0.080
0.090
0.100
R = 0.9
= 60 kPa (FEM)
= 20 kPa (LAB)
= 40 kPa (LAB)
= 60 kPa (LAB)
15.00
10.00
5.00
0.010
0.020
0.030
0.040
0.050
0.060
0.070
0.080
0.090
0.100
Horizontal Displacement (m)
7.
Figure 10. Pullout test between FEM and laboratory test results
5.2. Direct shear mode

For direct shear test simulation, the interaction coefficient (R)
also varied in order to parametric study for this variable as
shown in Fig. 12. The sensitivity analysis show that the
interaction coefficient (R) of 0.6 is good fit with laboratory
results. The comparison between laboratory test and predicted
results are made in Fig. 13 for direct shear test. The results of
simulation captured well with laboratory test results.
90.00
80.00
70.00
60.00
50.00
R=0.5 FEM
R=0.6 FEM
R=0.7 FEM
30.00
R=0.8 FEM
R=0.9 FEM
20.00
R=1.0 FEM
Lab Results
10.00
0.005
0.010
0.015
0.020
0.025
0.030
0.035
0.040
0.045
ACKNOWLEDGEMENTS
This study is part of research granted by Thailand Research

Fund (TRF) in cooperated with Commission of Higher
Education and Chiang Mai University under New Researcher
Project FY 2011. Laboratory test data were obtained from the
Asian Center for Soil Improvement and Geosynthetics (ACSIG)
of the Asian Institute of Technology, Bangkok, Thailand.
8.
REFERENCES
Artidteang S., Bergado D. T., Tanchaisawat T. and Saowapakpiboon S.

2012. Investigation of tensile and soil-geotextile interface strength
of kenaf woven limited life geotextiles (LLGs). Lowland
Technology International, 14(2), 1-8.
Belton J. 2008. Using geosynthetics to meet the challenge of improving
material resource efficiency. Proceedings of EuroGeo4, Scotland,
Paper #128, 7-10
Brinkgreve R. B. and Broere W. 2003. PLAXIS 2D Version 8 Manual.
Balkema, A. A., Rotterdam, Brookfield, Netherland.
Jewell R. A., Milligan G. W. E., Sarsby R. W. and Dubois D. 1984.
Interaction between soil and geogrids, Proceedings of the
Symposium on Polymer Grid Reinforcement in Civil Eng., Thomas
Telford Limited, London, U.K., 19-29.
Mwasha A. 2005. Limited life geotextiles for reinforcing an
embankment on soft ground. PhD Thesis, University of
Wolverhampton, U.K.
Mwasha A. and Sarsby R. 2003. Use of vegetable fibre geotextiles
(VFGs) for ground improvement. Proceedings Cobra, University
Wolverhampton, U.K.
Robinson P. N. J. and Quirk C. M. 2008. The UK aggregate levy and its
implications to geosynthetics. Proceedings of EuroGeo4, Scotland.
Sarsby R., Mwasha A., Searle D. and Karri R. S. 2008. Sisal fibre
geotextiles for soil strengthening. Proceedings of the 8th
International Geosynthetics Conference, Millpress Science
Publisher. ISBN:90 5966 044 7.
100.00
40.00
CONCLUSIONS
The purposes of this study are to assess the interactions between

the Kenaf geogrid and compacted sand as well as perform the
numerical simulations by finite element analyses. Sensitivity
analyses were also performed for the pullout and direct shear
test by varying the interaction coefficient. The back-calculated
from numerical simulations average values of interaction
coefficients were found to be similar as to the measured results.
The interaction coefficient and axial stiffness of the geogrid
were found to be important parameters affecting the efficiency
of geogrid. The interaction coefficient Rinter is 0.9 for pullout
mechanism and 0.6 for direct shear mechanism. These
parameters are useful for analysis and design of reinforced soil
structure using kenaf geogrid and compacted sand. Limited Life
Geotextiles (LLGs) from Kenaf geogrid can be used as natural
fibers for sustainable geosynthetics.
= 20 kPa (FEM)
= 40 kPa (FEM)
Pullout Force (kN/m)
0.015
Figure 9. Parametric study of Rinter for normal stress of 40 kPa.
Shear Stress (kPa)
0.010
R0.9 FEM
0.00
0.000
0.005
R0.8 FEM
5.00
0.00
0.000
40.00
10.00
R0.6 FEM
10.00
20.00
50.00
R0.5 FEM
R1.0 FEM
25.00
60.00
20.00
15.00
30.00
= 120 kPa (Lab Results)
30.00
R0.7 FEM
0.00
0.000
= 120 kPa (FEM)
70.00
= 40
LAB
20.00
= 80 kPa (FEM)
80.00
30.00
25.00
= 40 kPa (FEM)
0.050
Figure 11. Parametric study of Rinter for normal stress of 120 kPa.
824
Interaction between structures and compressible subsoils considered in light of soil

mechanics and structural mechanics
Etude de linteraction sol- structures la lumire de la mcanique des sols et de la mcanique des
stuctures
Ulitsky V.M.
State Transport University, St. Petersburg, Russia
Shashkin A.G., Shashkin K.G., Vasenin V.A., Lisyuk M.B.

Georeconstruction Engineering Co, St. Petersburg, Russia
Dashko R.E.
State Mining Institute, St. Petersburg, Russia
ABSTRACT: Authors developed FEM Models software, which allows solving soil-structure interaction problems. To speed up
computation time this software utilizes a new approach, which is to solve a non-linear system using a conjugate gradient method
skipping intermediate solution of linear systems.
The paper presents a study of the main soil-structure calculations effects and contains a basic description of the soil-structure
calculation algorithm. The visco-plastic soil model and its agreement with in situ measurement results are also described in the paper.
RSUM : Les auteurs ont dvelopp un logiciel aux lments finis, qui permet de rsoudre des problmes dinteractions solstructure. Pour lacclration des temps de calcul, une nouvelle approche a t utilise: qui consiste a rsoudre un systme non linaire
par la mthode des gradients conjugus,
qui ne ncessite pas la solution intermdiaire des systmes linaires.
Cette communication prsente une tude des principaux effets des calculs sol-structure, et une description de lalgorithme de calcul
sol-structure . Le modle visco-plastique pour le sol et la bonne concordance avec les rsultats des mesures sont galement dtaills. .
KEYWORDS: soil-structure inrteraction, soil non-linear models, numerical modeling
INTRODUCTION
Necessity soil-structure interaction calculations (SSI) is becoming

more and more obvious to a majority of both geotechnical and
superstructure designers. SSI produces one major effect that can
be expressed by a simple formula subsoil behaviour considered
= superstructure loads changed. The effect has been certainly
known for a long time. Indeed, a theoretical epure of contact
stresses under an absolutely rigid plate is a parabola with
infinite values under plate edges. A real epure is of a
characteristic trough shape. Stresses at the plate foot are a
reflection of this epure. Correspondingly, stresses inside the
plate itself will be equally non-uniform. However, the essence
of the matter is that loads distribution in this or that structure
depends on a whole range of factors, including, but not limited
to, structural layout, spatial rigidity, deformation characteristics
of structural materials, and subsoil yield properties.
The degree of difference between an SSI-based calculation
and that for traditional non-yielding supports can be expressed
as factor Kssi = ssi/tr , where ssi stresses in a certain point
based on SSI, tr stresses in the same point based on
traditional separate calculation. Based on our sample numerical
analyses that factor may reach the value of 4 for typical building
layouts (Fig. 1), which establishes practical necessity for SSI
design.
Factor KSSI tends towards 1 with subsoil rigidity increase,
i.e. on condition that subsoil approaches a non-compressible
state. With decrease of subsoil rigidity the factor increases to
certain limits following which it no longer displays any
significant change (and, of course, the greater the subsoil yield,
the greater the settlement). The highest stress concentration is
observed in the lower edge of transverse walls in layout ,
because in this layout stresses cannot be transferred to
longitudinal exterior walls.
The dependency shown in Fig. 1 cannot certainly be used
directly in practical design applications in view of the fact that it
was obtained for some generalized and simplified structural
building layouts. Practical SSI effects are considerably more
difficult and versatile.
825
Estr/Eoed
Kssi
Transverse walls with spacing 6 m
Cellular structure
Longitudinal walls
Fig. 1. Dependency of KSSI value on relation of superstructure and
subsoil stiffnesses Estr/Eoed for various building layout types
2 MAJOR PROBLEMS OF PRACTICAL SSI

APPLICATION
So, expediency of SSI application in practical analyses
seemingly being beyond doubt, one should simply go ahead
using SSI-based computations in ones routine design activities.
However, when practically attempting analyses a designer faces
several problems which we attempt to classify below.
2.1
Technical problems
Technical complicacy of SSI analyses. SSI analyses pose a

challenge even for contemporary, rapidly advancing, computer
technologies.
Commercial dearth of codes capable of SSI calculations
catering to the interests of both superstructure and geotechnical
engineers.
Closed-in character of commercially available codes: they
are essentially black boxes, never revealing the ways in which
the models of materials and soils actually work.
Unavailability of an instrument with which to study
behaviour of various models of soils and materials.
2.2
Unsolved problems of soil mechanics
Imperfection of models representing soil behaviour. It seems

that there are dozens of models of soil-behaviour, however,
often, in real life one is faced with situations of being unable to
find a requisite model capable of effective and correct solution
of a practical problem.
Insufficiency of initial input parameters submitted as results
of site investigation.
Limitations of models and dearth of good quality input
parameters often yields imprecise modelling results.
2.3
Organizational problems
Absence of unified data base on in situ monitoring of buildings

and structures. Improvement of models and practice of analyses
is impossible without comparison with in situ monitoring data.
Nevertheless, despite many construction projects built all
around the world, there are only single instances of well
documented in situ monitoring.
Sharing responsibility between geotechnical and superstructure engineers.
3 NEW RELEASE OF FEMMODELS SOFTWARE
(FEM MODELS 3.0) AS A POSSIBLE INSTRUMENT OF
SSI PROBLEMS SOLUTIONS
The list of problems necessary to be solved in order to enhance
SSI reality is a heavy one. Is there a possibility to overcome
them?
Such instrument can be found in the new release of
FEM Models 3.0 software. Technical SSI problems can
obviously be resolved by creating an efficient programme code
capable of rapid SSI problems solutions. Additionally, creating
an efficient software medium for such analyses can remove a
number of other problems. For example, in when a convenient
programme capable of catering to the interests of both
superstructure and geotechnical engineers equally well is
created organizational problems listed above are largely
removed, because division of labour and sharing responsibility
can be realized within the framework of a single analysis profile
soil-structure.
The new release is being created under the auspices of
ISSMGE TC 207 Soil-Structure Interactions and Retaining
Walls. The larger portion of the software is structured as an
open source, involving maximum openness and availability.
3.1. 3-D modelling medium. The medium is created based on
a very effective open software source OpenCascade, capable of
performing solid modelling using logical operations with
figures, their geometric transformations, etc. The profile editor
contains rather simple modelling instruments, perfectly
accessible to engineers who are the end-users of the software.
An important task is introduction of adaptive finite-element
meshes into the modelling medium architecture. Adaptive
meshes move a significant portion of the task to provide
solution accuracy to the computation algorithm.
3.2. Non-linear equations solver. When using finite element
method, non-linear differential equations within the limits of
investigated areas are reduced to solution of systems of nonlinear algebraic equations. The task of this software component
is an effective solution of large systems of nonlinear equations.
3.3. Integrated Engineering Environment (IEE) provides a
possibility to perform engineering computation (in the form of
formulas and simple algorithms), as well as solution of
parametric problems by finite elements methods using
components 2.1 and 2.2 described above. IEE is a java based
tool and provides all possibilities of a state-of-the-art high-level
programming language aimed at simplifying writing of
mathematical formulae and algorithms (work with matrices,
numerical modelling and so on). The codes of finite-element
models and materials models are written in the same
environment in the most transparent and accessible form. The
826
objective of this environment is to make complex non-linear

models more accessible for study and improvement.
3.4. Library of finite elements and materials models. All
models of elements and materials are stored in the library with
an open source, which makes their analysis and verification
easier. This library makes it possible not only to use preset finite
elements solutions, but also to add some of ones own design.
3.5. Library of parametric problems to be used in design
practice. This library provides a possibility for engineers to
solve specific practical problems without an in-depth study of
finite-element programmes. For instance, the way SSI analyses
are performed by the authors is such that numerical analyses are
always correlated with available analytical solutions, which
yield approximated results. Such approach eliminates potential
for significant errors. Using the library of parametric problems
the user is given a possibility, for instance, to make both an
ordinary analytical calculation of settlements and a numerical
computation, following which both results can be collated.
All parts of the programmes (except the solver) are of open
source type. To ensure a fastest possible solution it is suggested
to use a special highly effective server. To increase computation
quality, collection of data on well-documented case histories is
actively underway with participation of ISSMGE T 207 Soil
Structure Interaction. In future based on this work it is planned
to build a method of testing soil-models as regards their
correspondence to in situ data.
4 USE OF NON-LINEAR SOIL MODELS FOR
MODELLING SUBSOIL IN SSI APPLICATIONS
The issues of adequate choice of soil model to properly
represent subsoil action are covered in every detail in the paper
(Shashkin, 2010a).
The most promising approach to building the model in our
opinion is the so called Double Hardening, which perhaps
would better be referred to as Independent Hardening. In this
approach hardening zones during isotropic and deviatoric
loading develop independently, which is confirmed
experimentally. An example of the model, built based on that
principle is he Hardening Soil Model (HSM). However, the idea
of independent hardening in it is not brought to its logical
conclusion.
Additionally, the standard HSM model assumes isotropic
hardening, which can not be proved experimentally. At
multidirectional, specifically, cyclic loading (Fig. 2) the model
yields results radically different from the experiments.
40
20
-0.2
-0.1
0.1
0.2
20
1
40
Fig. 2. Strain-load dependency at cyclic loading: 1 as evidenced by

experiments; 2 according to isotropic hardening models
To remove the above-described discrepancies the present

authors developed their own model featuring independent
anisotropic hardening. Compared with the HSM model the
dependencies for hardening in volumetric and deviatoric
directions have been significantly simplified and purged of

contradictions. Somewhat more detailed equations for the model
are contained in the paper of Shashkin (2010a). A fundamental
addition is introduction of anisotropic hardening (Fig. 3).
1
2
3
5 EXAMPLE OF SSI ANALYSES USED IN

CONTEMPORARY DESIGN PRACTICE
2
3
collated in Fig 4. As one can see from the figure, this model
provides a good accuracy of settlement calculation, and,
accordingly, can be used in day-to-day SSI analyses.
Fig. 3. A diagram of development of hardening area according to the

assumed model featuring anisotropic hardening: (a) hardening during
first loading, (b) change of location of hardening during reverse loading
Measured Settlement (mm)
During deviatoric loading the hardening zone in the model

develops anisotropically and is directed towards loading. When
the loading direction is changed the hardening zone moves, and
its size does not increase until the hydrostatic axis remains
within that zone. At translational movement of the hardening
zone, with loading ongoing in the opposite direction, the strain
is doubled, according to the Masing rule. As a result, the model
provides a correct representation of soil behaviour at
multidirectional loading. In that, taking into account anisotropy
of strain hardening, according to the assumed approach, does
not require introduction of any additional model parameters in
contrast to the isotropic hardening model.
A correct representation of soil behaviour under loading
following unloading and under multidirectional loading is
relevant not only for cyclic loading tasks (as it may initially
appear). Multidirectional loading of subsoil is encountered in
modelling of any building with a complex underground part,
which is very common in contemporary design. Indeed, when
bulk excavation is performed subsoil experiences a reduction of
volumetric stresses and a corresponding increase of deviatoric
stresses. As the superstructure is being added, volumetric
stresses increase, whereas deviatoric stresses at first decrease
and then increase in the opposite direction. Any model that does
not take into account hardening anisotropy, as shown by Fig. 8,
will radically underestimate strains present at the stage of
building the superstructure. Therefore, a proper account of
anisotropy hardening appears rather important as regards SSI.
Calculated Settlement (mm)

Fig. 4. Comparison of numerical analyses of settlements performed
through the offered non-linear independent hardening model and
monitoring results: 1 perfect fit between computed and observed
settlements, 2 linear approximation, 3 standard deviation
The model was tested based on the settlement database

created under the auspices of ISSMGE TC 207, under the
programme of data collection for well-documented case
histories. Numerical analyses and monitoring results are
827
Below we shall give an example of how effectively SSI

analyses can be used in real day-to-day design applications.
St. Nicholas Naval Cathedral is located in the town of
Kronshtadt (Fig. 5). It was built in 1902-1913 according to the
project of V.A. Kossiakoff. In this cathedral an idea of a
classical cruciform church with a domed roof was fulfilled. This
idea was realized first in the famous St. Sophia Cathedral in
Constantinople. In fulfilling ancient architectural traditions new
structural materials, introduced in the beginning of the 20
century, have been used. The main dome is supported by the
system of steel beams. The dome is made of the reinforced
concrete. Four big pillars are the main supporting elements of
the cathedral. Due to the presence of the boulders the author of
the project decided to construct foundations made of cast-inplace reinforced concrete avoiding construction of piles.
Immediately after the construction completion the
differential settlement was recorded with the value of about
4 cm.
Fig. 5. St. Nicholas Naval Cathedral in Kronshtadt
During the Cathedrals life a lot of cracks have been

developed. In May 2009 a sharp local increase of a crack in one
of the abutments was observed. This endangered the stability of
the whole structure. A special programme of cathedral structural
survey, research and development of salvation measures was
put forward. The key issue of this investigation was to find out
the reasons of cracks development.
Some dangerous cracks in the cathedrals structures are
shown in Fig. 6.
Fig. 6. Cracks in the vaults of the cathedral
Full structural survey of the cathedral was completed. The

condition of the foundations and subsoil was estimated.
Dynamic sounding of the subsoil was made and detailed
geophysical investigation was performed. Soil samples from the

holes were taken; main properties of soil were determined.
A series of soil-structure interaction computations has been.
The computation profile is shown in Fig. 7. All main structural
elements, foundations, and subsoil layers have been
incorporated in the computation profile. All main findings
during the condition survey of structural elements, foundations,
and subsoil have been taken into account in computations.
Fig. 9. Location of possible calculated cracks development and real

observed crack locations
The given example demonstrate that SSI calculations can

become an important tool in design practice, ensuring the most
effective design solutions without compromising overall safety
and reliability of buildings and structures.
Fig. 7. Computation profile of the cathedral
Soil-structure interaction calculations showed that the

cathedral is subject to non-uniform settlements. The reason of
these settlements is the different loads acting to the main
bearing structures of the Cathedral (Fig. 8-9). Such nonuniformity of loads is quite typical for the temples characterized
by cross-cupola structural scheme. The most heavily loaded are
central pillars by which the central cupola is supported. Hence,
the pillars are subject to bigger settlements. The calculated nonuniform settlements (Fig. 8) correspond well to the results of the
geodetic measurements. The observed settlement differential is
about 13-22 mm.
Computations show that the zones of development of tensile
stresses in brickwork well agree with the locations of actual
cracks. In particular, taking into account non-uniform settlements
we have a characteristic system of cracks in the semi-domes in
altar and Western parts of the Cathedral (Fig. 9).
The main conclusion of the conducted investigations and SSI
computations is that currently there is no danger of an
immediate collapse of the Cathedral. Local mostly endangered
structural elements are: the main dome, its supporting elements
and semi-domes in Eastern and Western parts of the cathedral.
Local reinforcement must be provided as soon as possible. This
reinforcement must be based on the detailed analysis.
General strengthening of the monument was executed on the
basis of SSI computations as required both by local codes (TSN
50-302-2004) and International codes.
CONCLUSIONS
1. Proper engineering account made of soil-structure interaction

is essential not only for unique projects but also for run-of-themill buildings and structures. Analyses of typical buildings
layouts show that SSI computation may reveal stress increases
exceeding 4-times the stresses computed for rigid subsoils.
2. Application of soil-structure interaction analyses in design
practice is associated with a number of problems, which can be
mostly resolved by means of FEM models 3.0 release. The
former releases of the software used by Georeconstruction
Institute in their design practice for 10 years revealed efficiency
of the unified approach towards combined soil-structure
modelling within a single software package.
3. The algorithm for solution of non-linear equation systems
targeted at cracking highly complex non-linear SSI problems
does not contain an enclosed cycle for solution of linear
subproblem while tackling a linear problem, which significantly
reduces solution time. Convergence of the algorithm is proved
for rather general and relatively easily met conditions.
4. The offered non-linear soil model is able to accommodate
strain hardening anisotropy, which feature is of high importance
for soil-structure interaction analyses used for design of
buildings with a complex underground section.
7
REFERENCES
Golub G., Van Loan, Ch. 1999. Matrix Computations. Moscow, Mir
Publishers.
Munksgaard, N. 1980. Solving Sparse Symmetric Sets of Linear
Equations by Preconditioned Conjugate Gradients, ACM
Transactions on Mathematical Software (TOMS), Vol. 6 No. 2, pp.
206-219
Shashkin, A.G. 2010a. Critical analyses of most widely used non-linear
soil models. Engineering Geology. Moscow. No 3,. pp. 29-37 (in
Russian)
Shashkin, A.G. 2010b. Depicting deformation behavior of clay soil with
visco-elasto-plastic mdel. Engineering Geology. Moscow. No 4,.
pp. 22-32 (in Russian)
Shewchuk J.A. 1994. An Introduction to the Conjugate Gradient
Method Without the Agonizing Pain
Voevodin, V.V. and Kuznetsov, Yu.A. 1984. Matrix and calculations.
Moscow. Science Publishers (in Russian)
Wolfe, P. 1969. Convergence conditions for ascent methods. SIAM
Rev. 11 (2), pp. 226235.
Fig. 8. Contours of computed of settlements of the Cathedral, cm
828
Rapid Drawdown Analysis using Strength Reduction

Analyse dabaissement rapide utilisant la force de rduction
VandenBerge D.R., Duncan J.M., Brandon T.L.
Virginia Tech, Blacksburg, VA, USA
ABSTRACT: The undrained shear strength during rapid drawdown is controlled by the properties of the embankment fill material and
the consolidation stresses prior to drawdown. Current design methods use limit equilibrium analyses to evaluate both the
consolidation stresses and the stability of the slope after drawdown. The method described in this paper uses the finite element
method to calculate the consolidation stresses throughout the slope during steady state seepage before drawdown. Undrained shear
strengths are calculated for all nodes in the model based on the major principal effective consolidation stresses and the results of ICU
triaxial tests. The undrained strength of each element in the model is determined by interpolation from the strengths at the
surrounding nodes. Using these strengths and an elastic-plastic constitutive model, the stability of the slope is evaluated by the
strength reduction method. Back analysis of rapid drawdown failures suggests that undrained strengths from ICU tests should be
reduced by 30% for the rapid drawdown condition.
RSUM : La rsistance du sol non drain pendant labaissement rapide est contrle par les proprits des matriaux de remplissage
du remblai et des contraintes de consolidation avant labaissement. Les mthodes de design actuels lanalyse dquilibre limit pour
valuer aussi bien la consolidation des contraintes que la stabilit des pentes aprs labaissement. La mthode dcrite dans cet article
utilise la mthode des lments finis pour calculer les contraintes de consolidation tout au long de la pente pendant
linfiltration en tat permanent avant labaissement. Les rsistances du sol non drain sont calcules pour tous les nodules du modle
en fonction des majeur principal consolidation stress et des rsultats dessais triaxiales ICU. La rsistance du sol non drain pour
chaque lment du modle est dtermine par linterpolation des rsistances aux nodules environnants. En utilisant ces rsistances et
un modle constitutif lastique-plastique, la stabilit de la pente est value par la mthode de la rduction des rsistances. La rtroanalyse des dfaillances des abaissements rapides semble indiquer que les rsistances non drains dessais ICU devrait diminuer dun
30% pour conditions dabaissement rapide.
KEYWORDS: rapid drawdown, finite element, strength reduction, total stress analysis, earth dams, slope stability
INTRODUCTION
Rapid drawdown (RDD) has long been recognized as one of the

critical design conditions for the upstream or riverside slope of
dams and levees. The rapid drawdown condition occurs when
the water level adjacent to a slope or embankment is lowered
quickly after a long period of being elevated either at the normal
operating level for a dam or in the case of levees, during a
prolonged flood. Rapid removal of the supporting water load
from the upstream face of the embankment, combined with
changes in pore pressure, results in an undrained unloading
condition in which total stresses decrease, but shear stresses
within the embankment increase. Both effective stress and total
stress methods have been developed to analyze stability during
rapid drawdown and are discussed in the following sections.
1.1
Effective stress methods
The principal difficulty with effective stress methods is that the

pore pressures during the drawdown must be known, and
drawdown is an undrained loading condition. Estimating pore
pressures during undrained loading is a difficult and uncertain
undertaking.
Bishop (1954) proposed the B method to estimate pore
pressures at the end of drawdown. The B method assumes that
the changes in pore pressure during drawdown are equal to the
changes in major principal stress. Li and Griffiths (1988)
approximated the pore pressures at the end of drawdown by
829
means of transient seepage analyses. Lane and Griffiths (2000)

used assumptions similar to the B method along with finite
element strength reduction analysis.
These effective stress methods result in pore pressures at the
end of drawdown that do not reflect the tendency of the soil to
dilate or compress. Thus they result in the same pore pressures
at the end of drawdown for poorly compacted and wellcompacted soils. In reality, the pore pressures at the end of
drawdown for poorly compacted soils are much higher than for
well-compacted soils, because well-compacted soils tend to
dilate under the increased shear stresses during drawdown.
Thus neither the B method nor the transient seepage analysis
method, which do not reflect the quality of compaction of the
fill, can provide a useful evaluation of stability during
drawdown, and should not be used for this purpose.
Berilgen (2007) computed pore pressures during drawdown
using an elastic-plastic constitutive model that included the
effects of shear dilation. This procedure would be expected to
result in more realistic estimates of pore pressure at the end of
drawdown, but unfortunately requires analyses using complex
constitutive relationships.
1.2
Total stress methods
Total stress methods do not require pore pressures at the end of

drawdown to be estimated. The effect of these pore pressures is
instead accounted for in the undrained strengths of the
compacted soil. Well-compacted soil is stronger than poorly
compacted soil, reflecting the fact that the pore pressures due to
undrained loading are smaller when the soil is compacted well.

This advantage has led to the adoption of total stress analyses in
the United States. Total stress analyses have been developed
through the work of Lowe and Karafiath (1960), Duncan et al.
(1990), and the U. S. Army Corps of Engineers (2003).
These methods relate the undrained strength of the soil
determined from consolidated-undrained laboratory tests to the
effective stresses in the embankment before drawdown. As
developed by Lowe and Karafiath (1960), Duncan et al. (1990),
and the U. S. Army Corps of Engineers (2003), the undrained
strength was related to the stresses along the trial failure
surface, which were determined by limit equilibrium analyses.
Limit equilibrium analyses were used because the finite element
method was largely unavailable when the method was
developed. Today, with finite element capabilities more
routinely available, it seems more logical to use finite element
analyses to evaluate the stress state prior to drawdown, as
described here. The principal steps in the total stress method
described here are:
Evaluate the consolidation stresses in the embankment using
finite element analyses, modeling steady seepage conditions
with the water level high;
Use these stresses, with the results of consolidatedundrained triaxial tests, to determine undrained strengths
throughout the embankment; and
Determine the factor of safety after drawdown by the finite
element strength reduction method.
2
The geometry of the embankment being analyzed is represented

by a finite element model. The model should include
appropriate boundary conditions, mesh density, element type,
etc.
The long-term effective consolidation stresses control the
undrained strength during drawdown.
The consolidation
stresses within the embankment are determined using a finite
element model that includes steady state seepage and long-term
boundary loads, such as the reservoir water. At this stage, all of
the soils are modeled using linear elastic stress-strain properties.
Determination of the appropriate undrained shear strength
for RDD is the most important and the most complex step in the
analysis. The undrained strength, su, of a compacted soil can be
related to the major effective consolidation stress, 1c, and
other factors, such as the minor principal consolidation stress,
anisotropic strength and deformation characteristics,
compaction prestress effects, and the degree of principal stress
rotation from consolidation to failure. If strengths are being
determined using samples taken from an existing earth
embankment, the additional factors of disturbance and
recompression will also influence the measured strengths.
Isotropically consolidated undrained, ICU, triaxial
compression tests on specimens compacted to the same relative
compaction as the soil in the field are relatively easy to perform,
but they do not replicate all of the factors mentioned earlier,
such as stress rotation, anisotropy, and compaction prestress,
which also influence the undrained strength. In the proposed
method, the effects of these factors are included by applying an
empirical adjustment factor, R, to the strengths measured in
ICU tests, i.e. the adjusted strength is expressed as
100 su ICU
EXAMPLES
The proposed method is compared to the limit equilibrium

method, using the RDD failures at Pilarcitos Dam and Walter
Bouldin Dam as benchmark cases.
PROPOSED METHOD OF ANALYSIS
su ADJ
well-documented case histories, the value of R was found to be

70. Additional well-documented case histories of RDD failure
would make it possible to refine this value. Some of the
laboratory tests from the cases analyzed here were performed on
samples taken from the embankments. The value of R
determined for these cases may include effects of disturbance
and recompression, which would not be reflected in tests on
samples compacted in the laboratory.
The adjusted undrained strength is used in the analysis of
stability after drawdown. The model geometry from the
consolidation stress analysis is used along with modified
constitutive and strength properties to calculate the factor of
safety by the strength reduction method.
For the stability analysis, undrained strengths are assigned to
those portions of the model where negligible drainage will
occur during drawdown. Drained strength parameters are
assigned to the portions of the zones where drainage will occur.
These include zones of materials with high permeability and
areas near the surface of the slope where the drainage path is
short. The depth of this drained zone along the slope surface
can be estimated using one-dimensional consolidation theory.
This paper follows the recommendations of Griffiths and
Lane (1999) and uses non-convergence as the failure criterion in
the strength reduction analysis.
(1)
where:
su-ADJ = undrained strength adjusted for the influence of the
factors noted above; and
su-ICU = undrained strength measured in ICU laboratory tests.
The value of the empirical factor R must be determined by
back analysis of RDD failures. Based on the two available,
830
3.1
Pilarcitos Dam
Pilarcitos Dam is a 23.8 m high homogenous earth dam built

from compacted sandy clay with a total unit weight of 21.2
kN/m3. The lower 17.7 m of the upstream slope is inclined at
2.5H:1V, and the upper 6.1 m is inclined at 3H:1V. The longterm water level was 1.8 m below the crest.
A rapid drawdown slide occurred in 1969 after the reservoir
level was lowered 10.7 m over the course of 43 days. This case
has been considered by a number of researchers, including
Wahler and Associates (1970) and Duncan et al. (1990).
Laboratory strength tests were performed on samples from
the embankment by Wahler and Associates (1970). A drained
zone 0.46 m thick (measured perpendicular to the slope face)
was used for the drawdown analysis. This depth corresponds to
90% dissipation of excess pore pressure in 43 days, based on an
assumed coefficient of consolidation of 46 cm2/day.
The Pilarcitos Dam finite element model was created using
the software Phase2 v.8.011. A rigid foundation was assumed
and the nodes along the base of the embankment were fixed.
The consolidation stress analysis assumed linear elastic stress
strain behavior with E = 10.8 MPa for both the consolidation
stress and drawdown analyses. Poissons ratio, , was assumed
to be 0.42 for the drained portion of the embankment, and 0.49
for the undrained portion. The drained zones in the drawdown
analysis used a drained friction angle of 45 based on the
Wahler and Associates (1970) tests. The stresses prior to
drawdown were calculated in three-stages, using effective stress
analyses. Gravity loads within the embankment were applied in
the first stage. The boundary loads of the water in the reservoir
were applied in the second stage. In the third stage, pore
pressures corresponding to steady state seepage were assigned
to the nodes in the embankment.
The ICU triaxial compression test data obtained by Wahler
and Associates (1970) was used to express undrained strength
as a function of 1c as shown in Figure 1. The ICU strength
(solid) line was fitted to these points and also to match the
analysis. The proposed method predicts a relatively deep failure

zone that intersects the base of the embankment, whereas the
slip surface observed in the field encompasses a considerably
smaller portion of the embankment. The cause of this
difference is not known.
Undrained shear strength, su (kPa)
general trend in the drained secant friction angle and pore

pressure response observed in the tests. The strength line fits
the data below 200 kPa well with the exception of one outlier,
which developed lower pore pressures during shear. The
adjusted undrained strengths were calculated using R = 70 as
explained earlier.
The values of 1c at each node were exported from the FE
analysis into a spreadsheet. The undrained strength was
calculated for each node using the R = 70 adjusted strength
envelope shown in Figure 1. The undrained strength for each
element was then calculated by the FE software using TIN
interpolation from the nodal values.
3.2
In 1975, a rapid drawdown failure occurred at Walter Bouldin

Dam in Alabama when the water level in the reservoir dropped
9.8 m over the course of 5-1/2 hours. This catastrophic
drawdown rate was caused by the failure and breach of a
different section of the dam. The dam cross-section at the
location of the RDD failure is shown in Figure 3. The soils
were poorly compacted, which led to both the breach and the
RDD failure.
ICU Data
100
Walter Bouldin Dam
ICU (R=100)
R = 70
50
0
0
50
100
150
Figure 3. Cross-section of Walter Bouldin Dam
200
For the finite element consolidation stress analysis, the soils

were all assigned linear elastic stress strain properties with E =
47.9 MPa. The riprap and base layer of clayey sandy gravel
were assigned = 0.3. The other three soils were assigned =
0.35. Pore pressures corresponding to the full reservoir height
of 14.3 m above the base of the embankment were assigned
throughout the cross-section, assuming a horizontal piezometric
surface since the information required to perform a steady-state
seepage analysis was not available. The nodes along the base of
the embankment were fixed while the downstream boundary
was restrained in the horizontal direction.
The undrained strengths in Figure 4 are based on ICU
triaxial tests performed by Whiteside (1976).
Major effective consolidation stress, '1c (kPa)
Figure 1. Undrained strengths for Pilarcitos Dam analyses
Undrained shear strength, su (kPa)
Elastic-plastic stress strain behavior was used for the

drawdown analysis. Following the recommendation of Griffiths
and Lane (1999), a dilation angle of 0 was assumed. The
drawdown analysis was performed in two stages. In the first
stage, the initial body forces, stresses, and boundary conditions
for the normal operating conditions were applied. In the second
stage, the water level and reservoir loading were reduced to the
drawdown levels and a strength reduction analysis was
performed to evaluate the factor of safety. The critical strength
reduction factor, SRFcrit, was calculated for the adjusted strength
with R = 70.
In Table 1, the strength reduction factor of safety is
compared to the limit equilibrium factor of safety calculated by
the Duncan, Wright, and Wong (DWW) method (1990) . It can
be seen that, with a value of R = 70, the finite element strength
reduction method is in close agreement with the widelyaccepted DWW method.
Table 1. Summary of RDD stability analyses for Pilarcitos Dam
Method of Analysis
Factor of Safety
Finite Element Strength Reduction

with R = 70
1.01
DWW Limit Equilibrium
1.04
SM-SC
ML
CL
100
SM-SC
ML
CL
Points - laboratory data

Lines - strength models
50
0
0
50
100
150
200
Major effective consolidation stress, '1c (kPa)
Figure 4. Undrained strengths (R=100) for Walter Bouldin Dam
The value of 1c at each node calculated in the

consolidation analysis was exported into a spreadsheet, and
undrained strengths were calculated using the ICU strengths
shown in Figure 4. Adjusted strength values for each node were
calculated using the data in Figure 4, with R = 70. The adjusted
undrained strength of each element in the finite element mesh
was computed using TIN interpolation.
The factor of safety against slope instability was calculated
using the strength reduction method, as explained previously.
The results are summarized in Table 2. It can be seen that the
agreement is good between factors of safety calculated by the
Figure 2. Nodal displacement vectors from Pilarcitos Dam strength

reduction analysis, SRFcrit = 1.01, R = 70
The nodal displacement vectors shown in Figure 2 illustrate

the failure mechanism predicted by the strength reduction
831
DWW method and the finite element strength reduction method

with R = 70, as it was for Pilarcitos Dam.
The shallow failure mechanism observed in RDD failures is

not predicted by the analyses, and the reason for this
discrepancy is not known.
Table 2. Summary of RDD stability analyses for Walter Bouldin Dam

Method of Analysis
Factor of Safety
Finite Element Srength Reduction

with R = 70
1.05
DWW Limit Equilibrium
1.02
In Figure 5, the observed failure surface and the critical

circle from limit equilibrium are superimposed on the nodal
displacement vectors from the finite element analysis. The
methods generate essentially the same result. Both result in
deeper rupture zones than observed in the field. Again, the
cause of this discrepancy is not known.
Figure 5. Nodal displacement vectors from Walter Bouldin Dam

strength reduction analysis, SRFcrit = 1.05, R = 70
ADVANTAGES AND DISADVANTAGES
Compared to the widely accepted limit equilibrium procedure

for rapid drawdown stability analysis, the proposed finite
element method has a number of strengths and advantages:
It follows the conventional approach for analysis of rapid
drawdown and other short-term loading problems by using
total stress stability analysis.
The use of the finite element method to determine the
consolidation stress state is an improvement over the use of
limit equilibrium methods for this purpose. In 1960, when
Lowe and Karafiath developed their groundbreaking
method, using limit equilibrium to calculate consolidation
stresses was the only choice. Today, however, with finite
element analyses becoming widely available, it is logical to
use the finite element method for calculation of
consolidation stresses.
Representing undrained strength as a function of 1c alone
is a simple means of including the most important factor
controlling undrained strength the major principal
consolidation stress. It makes use of ICU triaxial tests,
which are easy to perform, widely used, and relatively
inexpensive.
The reduction factor R is a simple means of adjusting for
differences between the ICU laboratory tests and field
conditions, namely unequal major and minor principal
consolidation stresses, anisotropic strength and deformation
characteristics, compaction prestress effects, and principal
stress rotation from consolidation to failure.
The method could be just as easy (or easier) to implement as
limit equilibrium methods once a specific module is
programmed into commercial finite element codes.
Disadvantages of the proposed method include:
Finite element strength reduction analysis may not yet be
readily available in all geotechnical engineering
organizations.
The recommended value of R = 70, although consistent with
available experience at Pilarcitos Dam and Walter Bouldin
Dam, is based on only two case histories.
832
CONCLUSIONS
A total stress representation of strength is appropriate for

undrained problems because the very great difficulty in
predicting pore pressures during undrained loading makes it
infeasible to use effective stress analyses for these cases. The
proposed method uses a total stress representation of undrained
strength.
Undrained strength of the embankment soil is characterized
as a function solely of the major effective consolidation stress.
Other factors, such as anisotropic consolidation, principal stress
rotation from consolidation to failure, plane strain conditions,
and laboratory recompression, which also affect undrained
strength, are included in the method through an empirical
adjustment factor, R.
Based on the two best-documented case histories for RDD
(Pilarcitos Dam and Walter Bouldin Dam), it is concluded that a
value of R = 70 is appropriate for both cases. As further cases
become available, they should be examined closely to determine
if R = 70 is appropriate in those cases also.
6
ACKNOWLEDGEMENTS
The authors would like to thank Rocscience Inc. for the research
licenses of Phase2 and Slide used to perform the finite element
and limit equilibrium analyses. This work was funded by the
Virginia Tech Institute for Critical Technology and Applied
Science, the Virginia Tech Center for Geotechnical Practice and
Research, and the Charles Edward Via Department of Civil and
Environmental Engineering.
7
REFERENCES
Bishop, A. W. (1954). The use of pore-pressure coefficients in

practice, Geotechnique, 4(4), 148-152.
Berilgen, M. M. (2007). Investigation of stability of slopes under
drawdown conditions, Computers and Geotechnics, 34, 81-91.
Duncan, J. M., Wright, S. G., and Wong, K. S. (1990). Slope stability
during rapid drawdown, Seed Memorial Symposium Proceedings,
Vol. 2, BiTech Publishers, Ltd., Vancouver, B.C., 235-272.
Griffiths, D. V. and Lane, P. A. (1999). Slope stability analysis by
finite elements, Geotechnique, 49(3), 387-403.
Lane, P. A. and Griffiths, D. V. (2000). Assessment of stability of
slopes under drawdown conditions, Journal of Geotechnical and
Geoenvironmental Engineering, 126(5), 443-450.
Li, C. O. and Griffiths, D. V. (1988). Finite element modeling of rapid
drawdown, Numerical Methods in Geomechanics, Innsbruck 1988,
ed. Swoboda, 1291-1296.
Lowe, J. and Karafiath, L. (1960). Effect of anisotropic consolidation
on the undrained shear strength of compacted clays, Research
Conference on the Shear Strength of Cohesive Soils, ASCE,
Boulder, CO, 837-858.
United States Army Corps of Engineers (2003). Slope stability,
Engineer Manual 1110-2-1906, U.S. Army Corps of Engineers,
Washington, D.C.
Wahler, W. A. and Associates (1970). Upstream slope drawdown
failure investigation and remedial measures, Pilarcitos Dam,
Report to the San Francisco Water Department, June 1970, as cited
in Duncan et al (1990).
Whiteside, S. L. (1976). A study of the rapid drawdown failure in the
Walter Bouldin Dam, Technical Report CE-211, Stanford
University, August 1976, as cited in Duncan et al. (1990).
Validation of computational liquefaction in plane strain

Validation de liqufaction simule en dformation plane
Wanatowski D.
Nottingham Centre for Geomechanics, University of Nottingham, United Kingdom
Shuttle D.A., Jefferies M.G.

Golder Associates Ltd, Nottingham, United Kingdom
ABSTRACT: This paper presents a validation of computational liquefaction in plane strain for a user-defined model that closely
replicates liquefaction across a wide spectrum of soils. The results of triaxial and plane strain compression tests on Changi sand (used
in large reclamation projects in Singapore) are utilized for property determination and validation respectively. The stress-strain
behaviour is computed using a user-defined implementation of the NorSand general plasticity model in the FLAC numerical platform.
Reasonable matches are obtained between the plane strain data and the computed responses, both in terms of stress-path and stressstrain behaviour. This accomplishes one necessary step towards allowing engineering practice for liquefaction damage
assessment/mitigation to use a convenient computational platform anchored in a proper mechanics-based representation of soil
behaviour.
RSUM: Cet article prsente une validation de liqufaction simule en dformation plane dans le cas dun modle original qui
reproduit de prs la liqufaction dans une large gamme de sols. Les rsultats dessais triaxiaux et de compression en dformation
plane sur du sable Changi (employ dans les grands projets de remblaiement Singapour) sont utiliss respectivement pour la
dtermination de ses proprits et pour la validation du modle. Le comportement contrainte-dformation est calcul en introduisant
le modle de plasticit gnral NorSand dans le code de calcul FLAC. Les tests de validation et les simulations quivalentes
prsentent des rsultats plutt proches, que ce soit en termes de parcours de contrainte ou de comportement contrainte-dformation.
Les pratiques de construction concernant les estimations/attnuations des dgts dus la liqufaction peuvent ainsi tre facilites par
lutilisation de cette approche numrique associe une reprsentation mcanique correcte du comportement des sols.
KEYWORDS: sand, liquefaction, plane-strain, constitutive modelling.
INTRODUCTION
Earthquakes remain an ever-present hazard, with soil

liquefaction continuing to be a dominant mechanism in the
consequent infrastructure damage and losses (e.g. the recent
Chirstchurch events). Although the geologically-based
NCEER method (Youd et al. 2001) underlies most current
earthquake hazard reduction practice in geotechnical
engineering, the limitations and flawed physics of the NCEER
aproach are becoming increasingly recognized. These
limitations can be overcome by adopting advanced constitutive
models, possible in engineering practice with the user defined
model facility of commercial numerical analysis platforms (e.g.
as available in the popular FLAC and Plaxis platforms).
The past decade has also witnessed a greatly increased
demand for metals, an economic trend that seems unlikely to
change as BRIC group living standards continue to approach
those in the developed world. Metals must be mined, and one
result of mining is vast quantities of ground rock tailings,
which are produced as part of ore extraction. Usual mining
practice is to impound tailings using dams. A new trend with
tailings is to reduce their water content during deposition and
stack the tailings above the retaining dam economically
attractive, but with the obvious potential for large scale release
of these waste materials to the environment if a liquefactiondriven flowslide develops (e.g. failure of the Merriespruit
Tailing Dam analysed by Fourie et al. 2001).
Liquefaction can be triggered by various mechanisms
(Jefferies and Been 2000, Chu et al. 2003) but, regardless of
trigger, the greatest damage (deformation) arises when the post-
833
liquefaction strength is less than the pre-liquefaction stress state

a situation captured in laboratory tests that focus on static
liquefaction.
This paper presents a plane strain validation using a critical
state based model that closely replicates liquefaction across a
wide spectrum of soils. Plane strain approximates the conditions
that arise in most geotechnical construction, certainly far more
so than the triaxial paths that underlie current geotechnical
understanding. Here, conventional triaxial compression tests are
used for property determination, and subsequently static
liquefaction tests in plane strain are used as the validation case.
The tested material is Changi sand, a sand used at large
reclamation projects in Singapore (Wanatowski and Chu 2007,
2012). The stress-strain behaviour is computed using a userdefined implementation of the NorSand general plasticity model
(Jefferies 1993, Jefferies and Shuttle 2002) in the FLAC
numerical platform (Shuttle and Jefferies 2005). Reasonable
matches are obtained between the plane strain data and the
computed responses, both in terms of stress-paths and stressstrain behaviour. This accomplishes one necessary step to allow
engineering practice for liquefaction damage assessment/
mitigation to use a convenient computational platform anchored
in a proper mechanics-based representation of soil behaviour.
2
2.1
LABORATORY EXPERIMENTS
Changi sand
Changi sand is a subangular marine dredged silica sand used for

the Changi land reclamation project in Singapore. The Unified
Experimental set-up
All plane strain tests were performed in a plane-strain apparatus

developed by Wanatowski and Chu (2006). The plane-strain
condition was imposed by two metal vertical platens, fixed in
position by two pairs of horizontal tie rods. The lateral stress in
the 2=0 direction (i.e. intermediate principal stress, 2) was
measured by four submersible pressure cells with two on each
vertical platen.
The plane-strain testing system was fully automated. A
digital hydraulic force actuator was mounted at the bottom of a
loading frame to apply axial load. The actuator was controlled
by a computer via a digital load/displacement control box. The
control box adjusted the movement of the base pedestal to
achieve a desired rate of load or rate of displacement so that
either deformation-controlled or load-controlled loading mode
could be applied. The vertical load was measured by an internal
load cell. A pair of miniature submersible linear variable
differential transformers (LVDT) was used to measure the
vertical displacement. An external LVDT was also used to
measure the axial strain when the internal LVDTs run out of
travel. The cell pressure was applied through a digital
pressure/volume controller (DPVC). Another DPVC was used
to control the back pressure from the bottom of the specimen
while measuring the volumetric change at the same time. The
free-end technique (Rowe and Barden 1964) was adopted to
reduce the boundary frictions and to delay the occurrence of
non-homogeneous deformations. For details of the testing
arrangement, see Wanatowski and Chu (2006).
The triaxial experiments were carried out using a fully
automated triaxial testing system described by Chu and Leong
(2001). The testing system comprised of a computer, a triaxial
machine, a hydraulic actuator, and three digital pressure/volume
controllers (DPVCs) and a data-logger. The dimensions of the
triaxial specimen were 100 mm in diameter by 200 mm in
height. As in the plane-strain apparatus, the free-end technique
(Rowe and Barden 1964) was adopted in all the tests to
minimize the bedding errors and to delay the occurrence of nonhomogeneous deformations.
2.3
Results
The initial conditions of three isotropically consolidated

undrained (CIU) triaxial compression tests conducted on very
loose Changi sand are summarized in Table 1, where 1, 2
and 3 are the vertical, zero strain horizontal, and in-plane
horizontal principal effective stresses respectively, p0 is the
mean effective consolidation pressure and e0 is the initial void
ratio.
Deviatoric stress invariant, q (kPa)
2.2
and Chu 2007, 2008) is also shown in Figure 1(a) and gives a
critical stress ratio, Mtc, = 1.35, corresponding to a friction angle
of 33.4. As shown in Figure 1(a), in all tests the effective stress
paths increased gradually towards the peak state and then traced
down towards the CSL suggesting flow liquefaction behaviour.
By connecting the peak points of the undrained stress paths
shown in Figure 1(a), the instability line (IL) as defined by Lade
(1993) can be determined. The zone bounded by the IL and the
CSL has been called the zone of instability in which loose sand
will become unstable when an undrained condition is imposed.
The stress-strain curves of the three CIU triaxial tests are
shown in Figure 1(b). All the stress-strain curves show a similar
response; that is a sharp increase in deviatoric stress to a peak
followed by strain softening. It can be seen from Figure 1(a)
that all the undrained effective stress paths were approaching
the CSL determined from CID tests on very loose sand
(Wanatowski and Chu 2006, 2007, 2008). Therefore, the CSL
shown in Figure 1(a) can be considered the same as the steadystate line (SSL) for axisymmetric conditions (Poulos et al
1985).
1000
CSLtc (tc = 1.35)

(from CID triaxial tests)
800
600
Instability Line
400
200
CU26
Name
CU26
CU11
CU70
U04
U05
1
150
400
800
139.5
300
2
150
400
800
91
147
3
150
400
800
59.5
142
p0
150
400
800
97
196
e0
0.888
0.887
0.880
0.935
0.915
CK0U
U06
458
246
189
298
0.899
CU70
200
400
600
800
1000
(a)
1000
800
CU70, e0 = 0.880
600
400
CU11, e0 = 0.887
200
CU26, e0 = 0.888
0
0
10
15
20
25
Major principal strain, 1 (%)
Table 1. Summary of sample conditions prior to undrained shearing.

Type
CIU
CIU
CIU
CK0U
CK0U
CU11
0
0
Soil Classification System describes the sand as a medium

grained, poorly graded, clean sand. Changi sand contains
approximately 12% of shells and has been used in a number of
experimental studies. Its index properties are given in
Wanatowski and Chu (2006, 2007).
(b)
Figure 1. Results of CIU triaxial tests on loose Changi sand.
The effective stress paths of these tests are shown in Figure

1(a). The critical state line in triaxial compression (CSLtc)
determined from drained tests on very loose sand (Wanatowski
834
Table 1 also summarizes the initial conditions of three K0

consolidated undrained (CK0U) plane-strain compression tests
carried out on loose Changi sand. The effective stress paths and
the stress-strain curves of these tests are presented in Figures
2(a) and 2(b), respectively. The critical state line in plane strain
(CSLpsc) as determined by drained CK0D plane-strain tests on
loose Changi sand (Wanatowski and Chu 2006, 2007) is also
shown in Figure 2(a). Its slope in the deviatoric stress invariant

(q) versus mean effective stress (p) plane is Mpcs = 1.16,
corresponding to a friction angle of 36.0 It can be seen from
Figure 2(b) that strain softening occurred in all the tests.
Therefore, using the same definition as for the triaxial tests, the
instability line for plane-strain conditions can be drawn through
the peak points of the undrained effective stress paths, as shown
in Figure 2(a). Similar to the triaxial CSLtc (see Figure 1a), the
value Mpsc under plane-strain conditions does not appear
affected by stress level within a narrow stress range. It can also
be seen from Figure 2(a) that all the effective stress paths
approach the CSLpsc. Therefore, the CSLpsc can be considered
the same as the SSL, as established earlier in Figure 1(a) for
axisymmetric conditions (Wanatowski and Chu 2007, 2008).
400
CSLpsc (psc = 1.16)
Instability
Zone
(from CK0D plane-strain tests)

300
U06
Instability Line
U05
200
U04
100
0
0
100
200
300
400
other critical state models, but with the addition of a plastic

hardening modulus (H, required because the yield surface is
decoupled from the critical state) and a dilatancy parameter ()
which scales the dilation rate to . Cam Clay (Schofield and
Wroth, 1968) is a special case of NorSand requiring particular
choice of plastic hardening modulus and initial state. Originally
derived for triaxial compression (Jefferies 1993), NorSand was
extended for 3D stress states by Jefferies and Shuttle (2002);
there have been further minor revisions to capture the evolution
of the critical friction ratio with strain (Jefferies and Shuttle
2005).
3.2
Calibration
All of the eight NorSand parameters for Changi sand were

determined from standard triaxial tests following the procedures
reported in Jefferies and Shuttle (2005). The NorSand CSL was
determined from loose CID triaxial tests. All other parameters
were determined from dense CID triaxial tests. As a single
NorSand parameter set is applicable to the full range of
densities and initial states, the calibration involves obtaining a
reasonable fit to all drained tests (rather than the best fit a
particular test). A typical fit is shown in Figure 3 for test CD04
(p0 = 150 kPa, e0 = 0.654); as seen here, the fits to the
volumetric strain evolution is usually excellent as is the shear
stiffness to peak strength, but the post-peak strength tends to
exceed that measured (a presumed consequence of the test data
being determined from overall deformation of the whole
sample). For Changi Sand, the parameter set is: Mtc = 1.35,
= 0.75 at 1 kPa, 10 = 0.106, N= 0.5, = 4.4, H = 124-880,
G/p0 = 200 to 700, =0.2.

600
400
300
U06, e0 = 0.899 (p c' = 298 kPa)

200
U05, e0 = 0.915 (p c' = 198 kPa)
100
U04, e0 = 0.935 (pc' = 97 kPa)
NorSand
Changi Sand
0
10
15
10
15
0
20
(b)
Figure 2. Results of CK0U plane-strain tests on loose Changi sand.
3.1
200
Major principal strain, (%)
400
Volumetric strain, v ( %)
(a)
NUMERICAL MODELLING
-1
-2
-3
-4
-5
-6
-7
NorSand model
NorSand is an isotropically hardening-isotropically softening

critical state model that captures a wide range of particulate soil
behaviour. It has two particular features, both controlled by the
state parameter (): i) accurate representation of dilatant soils
using an internal cap to the yield surface (the locus of this cap is
the Hvorslev surface); and, ii) the yield surface generally does
not intersect the critical state, but only moves to that condition
with shear strain. The NorSand parameter set is common to
835
Figure 3. Calibration of NorSand for Changi sand to triaxial test CD04

(H= 280, G/p0 = 700).
3.3
Validation
NorSand was validated in plane strain by using the parameter

set from the triaxial calibration (above) to predict the behaviour
of very loose undrained plane strain tests. The fit to CK0U plane
Deviatoric stress invariant, q ( kPa)
strain test U05 is shown in Figure 4 with both the stress-strain

and effective stress-paths being shown. The initial stress state
was rather close to the instability limit so that only a small
increase in the deviatoric stress caused a transition into a static
liquefaction situation.
A rather good fit between the measured and computed
stress-strain behaviour is evident on Figure 4 with the brittle
strength loss being closely modelled. However, a small offset is
apparent in the fully-liquefied strength.
250
NorSand (PS)
Changi Sand PS-U05
200
150
100
50
0
0
10
250
200
150
100
50
0
50
100
150
200
250

Figure 4. NorSand simulation of loose Changi sand in plane strain.
The match of simulation to measured behaviour of Changi

sand is not as good for the stress-path (Figure 4). The sand
shows instability at a lower slope to the instability line than the
simulation, although the peak undrained strength itself is very
closely predicted. This mismatch of the stress-path may seem
surprising given the good fit to the stress-strain response, but in
fact the mismatch in the stress-path all develops in the initial
0.2% of so of 1 and that is not readily seen in Figure 4. There
are a range of possible issues when considering the mismatch
between NorSand and measured data: broadly, there are
potentially both experimental and/or theoretical errors.
In the case of test errors, there could be differences between the
reported and actual sample void ratio, over-idealization in the
CSL, or indeed inaccuracies in the stress sensors themselves
(for 2 in particular).
Regarding theoretical errors, there are two areas for
concern: stress-dilatancy and work-hardening. Stress-dilatancy
follows in part from the Second Law of thermodynamics and
would seem robust, but there are legitimate concerns about the
coefficient M. NorSand includes both an idealization for how M
varies with 2 (i.e. Lode angle) as well as a particular
idealization for the evolution of M with state parameter (i.e.
strain). Both idealizations are open to refinement. However, it
is thought that the more likely case of the mismatch between
computed and measured stress-paths lies in the hardening law as
it is this hardening limit that actually controls the slope of the
836
CONCLUSIONS
Despite plane strain being widely accepted as a good analogy

for many field slope failures, plane strain remains a relatively
unusual test condition. Undrained plane stain testing that
replicates liquefaction is even rarer, and provided an
opportunity to assess the ability of a good mechanics based
model (i.e. one whose properties are invariant with stress level
and void ratio), to predict the behaviour of very loose undrained
plane strain tests. The selected constitutive model, NorSand,
was calibrated to standard triaxial tests that are similar to those
available from commercial testing laboratories.
The match between the plane strain experimental and
predicted NorSand response matches rather well, providing
confidence in this mechanics-based methodology. What is
intriguing is that this match has been achieved with very simple
idealizations of the underlying physics of soil behaviour.
5
15
instability line. NorSand presently projects the hardening limits

seen in dense samples linearly to loose states; further
investigation of hardening limits for both loose states and plane
strain conditions is warranted.
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and its implication for slope stability. Canadian Geotechnical
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as a possible explanation for the Merriespruit tailings dam failure.
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Youd T., Idriss I., Andrus R., Arango I., Castro G., Christian J., Dobry
R., Finn W., Harder L., Hynes M., Ishihara K., Koester J., Liao S.,
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Robertson P., Seed R., and Stokoe K. 2001. Liquefaction
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Analysis of Ultimate Bearing Capacity of Single Pile Using the Artificial Neural
Networks Approach: A Case Study
Analyse de la capacit portante ultime dun pieu unique l'aide de la mthode des rseaux de
neurones artificiels : une tude de cas
Wardani S.P.R.
Civil Eng. Dept, Engineering Faculty, Diponegoro University & Indonesian Road Development Association, Indonesia
Surjandari N.S.
Civil Eng. Department, Engineering Faculty, Sebelas Maret University, Indonesia
Jajaputra A.A.
Professor Emeritus at Institut Teknologi Bandung & Visiting Professor at Diponegoro University, Indonesia
ABSTRACT: Degree of certainty, accuracy, complexity, and non-linearity are things that are adhere to geotechnical problems.
Solutions using conventional approaches, although were still used in geotechnical problems require a large number of assumptions for
the determination of geotechnical parameters. Currently new approaches emerge, including the "artificial intelligence", one of which
is a neural network (NN).This study aims to apply NN model for prediction of ultimate bearing capacity of single pile foundation, was
named NN_Qult model. The results of analysis model were then compared with Meyerhof, 1976 and Briaud ,1985 formulas. At the
stage of modeling, data from full-scale pile load test and SPT were used. The selected input variables are: d (pile diameter), L (length
of the pile embedded), the N60 (shaft) value, and the N60 (tip) value. The study generates design Charts that are expected to predict
the ultimate bearing capacity of a single pile foundation. The results showed that neural networks can be used for prediction of
ultimate bearing capacity of single pile foundation. This is particularly due to the sensitivity analysis results indicated the suitability
of artificial neural network model with existing theories.
RSUM : Degr de certitude, prcision, complexit et non-linarit sont des difficults inhrentes aux problmes gotechniques.
Les approches conventionnelles, bien que toujours utilises dans les problmes gotechniques ncessitent un grand nombre
d'hypothses pour la dtermination des paramtres gotechniques. Actuellement de nouvelles approches mergent, notamment
l'intelligence artificielle , dont l'une des formes est le rseau de neurones (NN). Cette tude vise utiliser le modle de rseau de
neurones pour la prvision de la capacit portante ultime de fondation sur pieu unique, elle a t dnomme le modle NN_Qult. Les
rsultats du modle d'analyse ont ensuite t compars avec les formules de Meyerhof, 1976 et de Briaud, 1985. Lors de l'tape de la
modlisation, des donnes provenant dessai de chargement de pieux grandeur nature et de donnes SPT ont t utilises. Les
paramtres retenus sont les suivants: d (diamtre du pieu), L (longueur du pieu), les valeurs N60 (frottement latral et rsistance de
pointe). L'tude a abouti des graphiques de conception prvus pour prdire la capacit portante ultime d'une fondation sur pieux
unique. Les rsultats ont montr que les rseaux neuronaux peuvent tre utiliss pour la prdiction de la capacit portante ultime de
fondation sur pieu unique. Cela est notamment d aux rsultats de l'analyse de sensibilit qui a indiqu la cohrence du modle de
rseau de neurones artificiel avec les thories existantes.
KEYWORDS: Ultimate bearing capacity, a single pile foundation, the neural network models, design Chart.
1
relative ease (Javadi et al., 2001; Hashash et al., 2004; Right

and Faez, 2004).
The purpose of this study is to make an artificial neural
network model for calculating the limit bearing capacity of a
single pile foundation and then its ability is compared with
some existing methods.
INTRODUCTION.
Mathematical model (white box model) is a form that has been

established in the field of science. This model was created using
the basic principles of physics and mechanics followed by a
series of observations, used for simulation, prediction, and
analyze the behavior of a system. Appropriate mathematical
model when the underlying condition of a system are known,
the measured uncertainty and inaccuracy did not reduce the
accuracy of the model (Grima, 2000; Rahman and Mulla, 2005).
Problems in geotechnical engineering are generally complex, so
that its exact solution is the probability (Djajaputra, 1997;
Griffith et al., 2002). Uncertainty and inaccuracy is almost
always found as to seek geotechnical parameters. There are
many factors that are not known with certainty because only a
limited number of sampling used. This condition leads to the
use of mathematical models for the solution in a difficult
geotechnical problems (Rahman and Mulla, 2005; Prakoso,
2006).
Artificial neural network model has been started in the field
of geotechnical engineering. The difference between neural
network model and matematical model is the artificial neural
network model does not require the initial assumption of
physical laws (a priori any physical law) of a system, when new
data are found, so the ability to predict can be upgraded with
2. BASIC THEORY
2.1 Ultimate bearing capacity of single pile foundations.
The axial limit bearing capacity (ultimate) of the pile
foundation (Qult) is assumed to be the result of 2 (two)
mechanisms i.e. the side friction resistance of foundation (Qs)
and end bearing resistance of foundation (Qt) so that the net
ultimate bearing capacity due to the axial load pressure is as in
Eq. 1 (Bowles , 1988).
(1)
by:
Qult
Qt
Qs
W
837
=
=
=
=
ultimate bearing capacity

end bearing resistance
friction resistance
weight of pile foundation.
average. The closer the value 1 (one) indicates the more

accurate.
2.1 Static Load Test Pile Foundations

Currently static load test yield in the most reliable way to
determine the load capacity, but has some weakness i.e cost
and time-consuming. Poulos and Davis (1980) stated that one
of the usability of this test is its ability to compare between
static load limit bearing capacity obtained from the dynamic
and static formulas. Load test results in accordance with ASTM
D-1143 shown as a load-movement curve. Prakash and Sharma
(1990) described the full procedure for determining the limit
bearing capacity of static load test results with some methods of
interpretation.
2.3 Artificial Neural Network Model
3. RESEARCH METHODS
This study was conducted in several major stages i.e
preliminary, model development, model verification, and
calibration model. The resulting final model named NN_Qult.
In this study, the results of static load test was used as a
reference for measuring the precision and accuracy of modeling
results with the ANN approach. Some of the conventional
formulas (Meyerhof, 1976 and Briaud,1985 in Coduto, 1994)
were chosen for its performance compared with the results of
ANN modeling approaches.
Artificial Neural Network (ANN) is the information processing

system that has performance characteristics such as human
nerve network. Artificial neural network is a dynamic system (a
system that can be changed) as it can be trained and have the
ability to learn. Neural networks can work well even in the
presence of confounding factors such as uncertainty,
inaccuracy, and partial truth in the processed data (Fausett,
1994; Kurup and Dudani, 2002; Nugroho, 2003; Jeng et al.,
2005; Wang et al., 2005).
Neural network consists of several interconnected neurons.
Neurons transform information received via the connection to
the discharge of other neurons. On artificial neural networks,
this connection is called a weight. Information (input) is stored
at a particular value on the corresponding weights are then sent
to other neurons by the arrival of a certain weight. Input will be
processed by the propagation function that will sum the values
of all weights that come. The sum is then compared with a
threshold value, usually through an activation function of each
neuron. Neurons will be activated when the input is passed a
certain threshold value, but if not and vice versa. Neurons that
are activated will send the output via the output weights to all
the neurons connected with it. This process is described in
Figure 1 (Kusumadewi and Hartati, 2006).
3.1 Preliminary Phase
Figure 1. Tipical of an Artificial Neural Network (Kusumadewi dan

Hartati, 2006)
3.2 Model Verification
Fausett (1994) and Kasabov (1998) classified models based

on artificial neural networks i.e. network architecture (single
layer, multi layer, competitive layer), presence or absence of
feedback connections (feed-forward networks and feedback
networks), the method of determining the connection
weights/training/ algorithm (unsupervised and supervised), and
activation function (Identity, Step Binary, Binary Sigmoid,
Sigmoid Bipolar).
2.3.1 Evaluation of Precision, Accuracy, and Robustness ANN
Modeling Results
Cooper and Emory (1997) in Somantri and Muhidin (2006)
defined the precision as a measure of how much something
means to give consistent results. Precision closely with a variety
of data, measured by the coefficient standard errors. The smaller
the standard error coefficient means higher precision. Accuracy
is how well an instrument measures what it is supposed to be
measured, therefore the level of accuracy is measured using the
838
Data was collected from the Final Report of Investigations and

Axial Static Load Test Reports of load pile foundation. Datas
taken at several building projects on the Java Island that use
pile foundation.
To manufacture the artificial neural network model in this
study, there are several things that need to be considered such
as model input variable selection, data management, the
determination of the model architecture, network criteria
selected as the final model (Shahin et al.,2001). The selection
of the model input variables was based on a prior knowledge
(Maier and Dandy, 2000 in Shahin et al.,2001).
The available data was divided in to the proportion of 2/3
for the phase of training (i.e. training and testing) and 1/3 for the
validation phase (Hammerstrom ,1993 in Shahin et al.,2001).
Training set for adjusting the connection weights, testing set to
check the ability of the model in several variations of the
training phase, the validation set to estimate the ability of the
model that has passed through phases of training to be applied.
Another thing to note is the pattern of each sample data set used
for training and validation phases were expected to represent the
same population, then some random combination tried to obtain
some consistency in the statistical value of the mean, standard
deviation, minimum, maximum, range (Shahin et al., 2002b).
Because of the unavailability of the method for determining
the optimum architecture, so in this study, fixing the number of
hidden layers and choosing the number of nodes in each layer
were conducted. Determination of a network was selected and
some combinations of networks were trained. Observed output
and predicted output were compared qualitatively by looking at
a visual comparison of plot points of data and quantitative by
statistical parameters test.
Model verification was conducted by sensitivity analysis.

Sensitivity analysis is a method for extracting the influence of
the relationship between input variables with output variables
on the network. The first experiment with installing the first
input variable values vary between the mean values standard
deviation or between the minimum and maximum value while
the other input variables fixed at the mean value of each.
Similar experiments carried out at the other input variables. This
process will generate a graph the relationship between each
input variable versus network predicted output variables. The
strength of the final model assessed the suitability of the final
model with the existing theory (Shahin et al., 2002a; Samui and
Kumar, 2006).
3.3 Calibration Model
Sensitivity analysis phase produces the final model i.e
NN_Qult. The model was then tested with the full-scale static
load test as a validation. Some selected conventional formulas
were chosen and compared with the final model NN_Qult. The
tools used to perform comparison were a few statistic
parameters. Comparison of the ultimate bearing capacity

predicted results and the measurement results (Qult_p / Qult
_M) were used as a comparative analysis of variables.
Comparison of Qult_p / Qult _M in the range of 0 to with
optimum value equal to one. Mean () and standard deviation
() of Qult_p /Qult_M was an indicator of the accuracy and
precision of the method was analyzed.
4. RESEARCH FINDINGS
Final Model of NN_Qult have a 3 network configuration
hidden nodes were trained on the 1000 epoch, learning rate =
0.5 and momentum = 0.5. Connection weights and bias values
NN_Qult models are summarized in Table 1. Image network
architecture shown in Figure 2 NN_Qult models, has 4 (four)
input variables (d, L, N60 (shaft), and N60 (tip)) and 1 (one)
variable output (Qult).
Figure 5. Graph of Relation of N60(shaft) versus Qult Variable
Tabel 1. Weight and bias for NN_Qult Model

Figure 6. Graph of Relation of N60(tip) versus Qult Variable
4.2 Result of Model Calibration

4.2.1 Graphically Method Evaluation
Result of Model calibration by graphically method can be seen
in Figure 7 until Figure 9.
Figure 7. Calculation Result of Qult from NN_Qult and Static Loading Test.
Figure 2. Network structure of NN_Qult Model
4.1 Sensitivity Analysis of NN_Qult Model

Sensitivity analysis of NN_Qult model was performed on four
input variables, namely: d, L, N60 (shaft), and N60 (tip). The
results of sensitivity analysis are given in Figure 3 to Figure 6.
Figure 8. Qult from Meyerhof 1976 and Static Loading Test
Figure 3. Graph of Relation of
versus Qult Variable
Figure 9. Qult from Briaud 1985 and Static Loading Test
Based on Graphically evaluation, there were two values

reviewed, namely coefficient of determination (R2) and the
gradient/slope of the regression line (m). R2 value close to 1
(one) means that the regression line closer to the data
distribution. Value of m close to 1 (one) means that the
regression line close to the best fit line, it is the line
Figure 4. Graph of Relation of N60(shaft) versus Qult Variable
839
representing the distribution of data in which the predicted

value equal to the measured value. R2 for models NN_Qult,
Meyerhofs formula (1976) and Briauds formula (1985)
respectively were 0.695: 0.421, and 0.399. m for the model
NN_Qult, Meyerhofs formula (1976), Briauds formula (1985)
respectively were 0.673: 0.398, and 0.327.
The R2 value from the regression line generated by NN_Qult
closest to the data distribution when compared to the regression
line generated by the Meyerhof s formula (1976) and Briauds
formula (1985). Qult generated by NN_Qult closest Qult static
loading test results of the test when compared with Qult that
produced Meyerhofs formula (1976) and Briauds formula
(1985). This condition indicates that the predicted value of the
research model most closely with observed value.
4.2.2 The Analytical Evaluation
In the evaluation of analytically there were 2 (two) values were
reviewed to calculate the mean value and standard deviation.
Mean () for the model NN_Qult, Meyerhofs formula (1976),
and Briauds formula (1985) respectively were 1.27; 1.68, and
1.78. Standard deviation () for the model NN_Qult,
Meyerhofs
formula (1976) and Briauds formula (1985)
respectively were 0.52; 0.34, and 0.33.
In this study, the statistical parameters used to evaluate the
performance of the method are coefficient of determination
(R2), the gradient (m), mean (), and standard deviation (). The
Rank Index (RI) was made to quantify the total performance of
each method. RI is the algebraic sum of the ratings obtained
from all of the criteria used (Titi and Farsakhs, 1999). RI values
closest to 1 (one) is considered as a method that has the best
performance. Table 4 is a recapitulation of all the statistical
parameters obtained from the calculations that have been done.
Three statistical parameters, namely R2, m, and is considered
best when approximately equal to 1 (one), while for is
considered best when approximately equal to 0 (zero), so for
consistency of the calculation, then the special statistic
parameter , the value to be is the same compared with the
absolute value (1 - ).
Table 4. Perform Evaluation of Some Models
Referring to Table 4, it appears that for the model results

(NN_Qult ) provide RI value is the most closed to 1 (one) or the
optimum value, so that it can be said that the model results of
the research has the highest performance among the methods
are comparable, despite differences in RI values is not too big.
4.2.3 Design Chart Based on Final Model
Based network architecture that has been verified by sensitivity
analysis and has been calibrated with the results of static load,
so that created a graph that is expected to be used for initial
design purposes. Model NN_Qult produce design charts. One
example of the design chart shown in Figure 10.
Figure 10. Example of Design Chart of NN_Qult Model
840
5. CONCLUSIONS
The new calculation of the ultimate bearing capacity by the
artificial neural network model is given in chart form. The
design chart is used as a tool to calculate the ultimate bearing
capacity of a single pile in sand soil. This is particularly due to
the sensitivity analysis results indicated the suitability of
artificial neural network model with existing theories. The
results of the model have the highest performance among the
other methods, even though the difference is not too big.
6. REFERENCES
Bowles, J.E. (1988), Foundation Analysis and Design, Mc. Graw Hill
Book Company, Singapore, xix+1004p.
Coduto, D.P. (1994), Foundation Design, Principles and Practices,
Prentice Hall International, Inc., New Jersey, xx+796p.
Djajaputra, A.A (1997), Konsep Beban Terfaktor Dalam Perancangan
Tiang Bor, Proceeding Seminar PILE97, Bandung, pp.14-1s/d14-3.
Fausett, L.(1994), Fundamentals of Neural Networks (Architectures,
Algorithms, and Applications), Prentice Hall, xv+449p.
Griffith, D.V., G.A. Fenton, N. Manoharan (2002), Bearing Capacity of
Rough Rigid Strip Footing on Cohesive Soil: Probability Study,
Journal of Geotechnical and Geoenvironmental Engineering, pp.
743-755.
Grima, M.A. (2000), Neuro-Fuzzy Modeling in Engineering Geology:
Applications to Mechanical Rock Excavation, Rock Strength
Estimation, and Geological Mapping, PhD thesis, Delft University
of Technology.
Hashash,Y.M.A., S. Jung, and J. Ghaboussi (2004), Numerical
Implementation of a Neural Network Based Material Model in Finite
Element Analysis, International Journal for Numerical Methods in
Engineering, pp. 59:989-1005.
Jeng,D.K., S.M. Bateni, and E. Lockett (2005), Neural Network
Assessment for Scour Depth Around Bridge Piers, Research Report
No R855, Department of Civil Engineering Sydney NSW, Australia.
Kasabov, N.K. (1998), Foundations of Neural Networks, Fuzzy Systems,
and Knowledge Engineering, The MIT Press, x+419p.
Kurup, P.U. and N.K. Dudani (2002), Neural Networks for Profilling
Stress History of Clays from PCPT Data, Journal of Geotechnical
and Geoenvironmental Engineering, pp. 569-579.
Nugroho, A.S. (2003), Pengantar Soft Computing, Kuliah umum ilmu
komputer.com.
Prakash, S. and H.D. Sharma (1990), Pile Foundations in Engineering
Practice, John Wiley & Sons, Inc., xxx+734p.
Prakoso, W.A. (2006), Desain Pondasi Dalam Berbasis Keandalan dan
SNI 03-6747-2002, Prosiding Pertemuan Ilmiah Tahunan X (PIT
X) Himpunan Ahli Teknik Tanah Indonesia, Jakarta, pp. 121-130.
Rahman, M.S., and M. Mulla (2005), Fuzzy Neural Network Models for
Geotechnical Problems , NCDOT Research Project, USA.
Samui, P. and B. Kumar (2006), Artificial Neural Network Prediction of
Stability Numbers for Two-Layered Slopes With Associated Flow
Rule,
Electronic
Journal
Geotechnical
Engrg,
http://geotech.civeng.okstate.edu/ejge/paper0626/index.html
Shahin,M.A., M.B. Jaksa, and H.R. Maier (2002a), Artificial Neural
Network-Based Settlement Prediction Formula For Shallow
Foundations On Granular Soils,Australian Geomechanics, pp.45-52.
Shahin,M.A., H.R. Maier, and M.B. Jaksa (2002b), Predicting
Settlement of Shallow Foundations Using Neural Networks,
Journal of Geotechnical and Geoenvironmental Engineering, pp.
785-793.
Shahin, M.A., M.B. Jaksa, and H.R. Maier (2005), Neural Network
Based Stochastic Design Charts for Settlement Prediction, Canadian
Geotechnical Journal, pp. 42:110-120.
Somantri, A. dan S.A. Muhidin (2006), Aplikasi Statistika Dalam
Penelitian, Penerbit Pustaka Setia Bandung, 410p.
Wang, X., B. Li, D. Lockington, D. Pullar, and D.S. Jeng (2005), SelfOrganizing Polynomial Neural Network for Modeling Complex
Hydrological Processes, Research Report No. R861, Department of
Civil Engineering Sydney NSW, Australia.
Simulation of Delayed Failure in Naturally Deposited Clay Ground by Soil-water

Coupled Finite Deformation Analysis Taking Inertial Forces into Consideration
Simulation de rupture diffre d'un sol d'argile naturelle sdimentaire l'aide de l'analyse des
dformations finies de squelette coupl eau-sol en tenant compte de la force d'inertie
Yamada S., Noda T.
Nagoya University, Japan
ABSTRACT: A bearing capacity analysis was carried out for a highly structured naturally deposited clay ground using the soil-water
coupled finite deformation analysis code GEOASIA, which takes inertial forces into consideration and employs the SYS Cam-clay
model, which is capable of describing the work of the soil skeleton structure. The following results and conclusions were obtained. 1)
When a ground that exhibited localization of deformation and formation of a circular slip failure accompanied by load reduction as a
result of loading by displacement control was loaded by load control, it failed dynamically in association with acceleration motions
after reaching the peak load obtained during displacement control. To date, the bearing capacity problem has only been dealt with
quasi-statically, but it is essential to take inertial forces into consideration in order to reproduce this type of failure behavior. 2) Using
the analysis code, it was possible to reproduce the behavior before, during, and after the delayed failure phenomenon, as well as
whether or not there is a load threshold for occurrence of delayed failure. To reproduce this type of phenomenon, a time-dependent
constitutive equation is not necessarily required.
RSUM : Nous avons effectu l'analyse de capacit portante d'un sol d'argile naturelle sdimentaire ayant dvelopp une structure
l'aide du programme GEOASIA d'analyse des dformations finies de squelette coupl eau-sol en tenant compte de la force d'inertie, et
quip du modle SYS Cam-clay qui inclut la fonction de la structure du squelette du sol. Les rsultats sont indiqus ci-dessous. 1) La
soumission d'une charge au sol par commande de dplacement produit une localisation des dformations et simultanment la cration
d'une rupture coulissante en forme d'arc alors qu'en soumettant une charge par commande de charge, aprs avoir atteint le pic de
chargement de la commande de dplacement, le sol subit une rupture dynamiquement avec l'acclration de l'activit. Jusqu' prsent,
le problme de la capacit portante n'avait t trait que de manire quasi-statique mais afin de reproduire ces comportements de
rupture il est ncessaire de prendre en compte de la force d'inertie. 2) Il est possible de reproduire le comportement avant, pendant et
aprs la rupture du phnomne de rupture diffre l'aide du mme programme d'analyse du seuil de charge s'il y a rupture diffre.
Pour reproduire ce phnomne, une quation constitutive dpendante du temps n'est pas forcment ncessaire.
KEYWORDS: Inertial force, Soil-water coupled finite deformation analysis, Delayed failure.
1
INTRODUCTION
Starting in the 1990s, the Nagoya University geo-mechanics

group has been engaged in developing soil-water coupled finite
deformation analysis employing an elasto-plastic constitutive
equation (Asaoka et al. 1994). In 2002, with the goal of
developing a constitutive equation capable of handling the full
range of mechanical behavior of a wide range of soil textures
from clay to sand and intermediate soil, the group proposed the
SYS Cam-clay model as an elasto-plastic constitutive equation
based on the concept of the soil skeleton structure (Asaoka et al.
2002). More recently, the group developed a soil-water coupled
finite deformation analysis code GEOASIA that accounts for
inertial force (Noda et al. 2008), which enables the simulation
of ground deformation and failure behavior without having to
distinguish between static and dynamic problems.
While the importance of accounting for inertial force is
widely recognized in seismic response analysis, the same cannot
be said for phenomena that, up to this point, have been handled
as quasi-static bearing capacity problems. Thus, in this paper,
taking the bearing capacity of a highly structured naturally
deposited clay ground as an example, we demonstrate that there
are situations in which it is important to account for inertial
force, even in the case of phenomena that have traditionally
been treated as quasi-static. Furthermore, in order to show the
robustness of the soil-water coupled skeleton approach, we
again employ the GEOASIA code to demonstrate the possibility
of simulating delayed failure of ground, which previously was
explained as a rheological property of the soil skeleton, without
841
having to impose a time dependence on the constitutive

equation.
2
ANALITICAL CONDITIONS
The simulations were performed using the soil-water coupled

finite deformation analysis code GEOASIA, which accounts for
inertial force, mounted with the SYS Cam-clay model to
represent the work of the soil skeleton structure. The finite
element mesh and boundary conditions used in the simulations
are presented in Figure 1. Computations were conducted under
two-dimensional plane strain conditions. We examined the
loading of a rigid frictional foundation, represented in the
simulations by imposing linear constraint conditions (distances
constant and angles constant; Asaoka et al. 1998) on the nodes
constituting the foundation. In order to prevent asymmetrical
motion of the foundation due to slight numerical errors, we
fixed horizontal displacement of the central node of the
foundation and imposed direction constant condition. The
material constants used in the simulation were adjusted to
reproduce the elasto-plastic behavior of a typical clay soil
(degradation rate of overconsolidation is greater than the
degradation rate of structure, and development of anisotropy is
slow). In the initial stage prior to analyzing the bearing capacity
problem, we simulated the consolidation following the removal
of a load (98.1 kPa) from the surface of a normally consolidated
clay ground with highly developed structure and anisotropy up
to the achievement of a steady state. The bearing capacity
200
Vertical load (kPa)
analysis was performed on the overconsolidated ground that

was not affected by the surface load (material constants and
initial values were estimated based on Noda et al. 2007).
Loading was accomplished in two ways, either by controlling
the displacement or by controlling the load. In the displacement
controlled case, a forced vertical displacement was imposed on
the central node of the foundation at a sufficiently fast rate
(10-5cm/sec) to ensure little migration of pore water within the
ground. In the load controlled case, a load was added to the
central node of the foundation at a rate of 0.015 kPa/sec. The
loading rate, in this case, was adjusted so that the total time
required to reach the peak load obtained by displacement
control would be approximately the same as in the displacement
controlled case.
(a)
100
with inertial term

without inertial term
0
10
20
30
40
Settlement (cm)
Figure 2. Relationship between

(displacement controlled case).
(a) Settlement 35cm

(A) With inertial term
vertical
load
and
settlement
100
(a) Settlement 35cm

(B) Without inertial term
s (%)
Figure 1. Finite element mesh and boundary conditions.
Figure 3. Shear strain distributions (displacement controlled case).
3 BEARING CAPACITY ANALYSIS UNDER DISPLACEMENT AND LOAD CONTROLLED CONDITIONS
3.2
In this paper, the bearing capacity analyses were conducted

under both the displacement controlled and load controlled
conditions employing a quasi-static approach, whereby the
inertia term is ignored and only the equilibrium of force is taken
into consideration, and a dynamic approach, whereby time
integration of the equation of motion enables the handling of
dynamic problems. In so doing, we demonstrate the need to
account for inertial force when simulating the behavior, which
includes accelerated motion, of soil undergoing failure.
3.1
Displacement controlled case
Here we consider the effect of inclusion (or omission) of the

inertial term in the displacement controlled case. The
relationship between load and settlement and the shear strain
distributions are presented in Figures 2 and 3, respectively.
First, it is evident that inclusion (or omission) of the inertial
term has little or no effect on the simulation outcome. This is
because, in the displacement controlled case where the
foundation is moved at a constant velocity, the resulting ground
acceleration is negligible and can, for all practical purposes, be
ignored. Furthermore, it can be seen that, in the displacement
controlled case, the deformation is localized and results in the
development of a circular slip failure accompanied by load
reduction. Such behavior characteristically occurs when a
highly structured naturally deposited clay ground experiences
rapid loading, with the soil components above the slip line
exhibiting softening accompanied by plastic compression (Noda
et al. 2007). In addition, it can be seen how the load increases a
second time when displacement continues to be imposed after
the initial reduction in load. As is evident from the upheaval of
ground on either side of the foundation, this can be attributed to
uplifting of the slipped soil mass and can be said to be the result
of finite deformation.
842
Load controlled case
Next, we examine the effects of the inertial term in the load

controlled case. The relationship between load and settlement is
presented in Figure 4. The results for the displacement
controlled case (with inertial term) are shown in the same
figure. The quasi-static approach not accounting for the inertia
term only allows simulation up to point (a) in Figure 4, which
represents the peak load in the displacement controlled case. In
contrast, the dynamic approach enables the simulation to
continue beyond the point of peak load in the displacement
controlled case. We see that the load continues to cause nearly
constant settlement, and the load begins to increase again after a
certain point. The shear strain distributions corresponding to
time points (a) to (c) in Figure 4 are presented in Figure 5. In
the simulation including the inertial term, the deformation is
localized, resulting in development of a circular slip line similar
to that observed in the displacement controlled case. The time
histories of vertical acceleration, velocity, and displacement
(positive in the downward direction) for the central node of the
foundation are presented in Figure 6. (Only velocity data is
shown for the quasi-static analysis.) It can be seen in the
dynamic analysis that accelerated motion begins after point (a)
on Figure 6, which represents the peak load in the displacement
controlled case. After reaching a peak, acceleration transitions
to deceleration and motion once again converges to
approximately zero through repeated cycles of acceleration and
deceleration. In accordance with this acceleration history,
velocity reaches a peak and thereafter converges to zero. During
this time, displacement continues to increase, resulting in
settlement on the order of 80 cm. A mere 2 to 3 seconds are
required for this movement to occur. The majority of the nearlyconstant settlement due to load seen in Figure 4 occurs during
this short time. Meanwhile, it can be seen in Figure 6 (B) that
velocity increases rapidly even in the case of the quasi-static
-300
-200
-100
0
100
200
300
0
(a)
(b)
(c)
100
with inertial term (displacement controlled case)

with inertial term (load controlled case)
without inertial term (load controlled case)
0
Acceleration (cm/sec )
Vertical load (kPa)
200
Velocity (cm/sec)
20
40
60
80
100
Settlement (cm)
Displacement (cm)
Figure 4. Relationship between vertical load and settlement (load

controlled case)
(a)
(c)
(b)
(a)
(c)
50
(b)
100
0
20
(a)
40
(b)
60
(c)
80
100
8754
8756
8758
Time (sec)
8760
8762

Velocity (cm/sec)
(a) Commencement of accelerated motion

(just prior to failure)
100
(b) During accelerated motion

(during failure)
0
50
100
8758
8760
8762
8764
Time (sec)
8766
8768
(B) Without inertial term

Figure 6. Time history of acceleration, velocity, and displacement of the
central node of the foundation (load controlled case)
(c) Cessation of accelerated motion

(immediately after failure)
s (%)
failure involving accelerated motion and failure due to static

forces.
Figure 5. Shear strain distributions (load controlled case)
simulation resulting in partial failure. However, the velocity

increase is more sudden than in the simulation accounting for
the inertia term and dissipates instantaneously, precluding
further calculation. The velocity change calculated using the
approach accounting for the inertia term results in a maximum
acceleration on the order of 0.25g, much more moderate than
that predicted in the quasi-static analysis. Naturally, this is
because the inertial force resists changes in motion. The
upheaval of ground on both sides of the foundation after failure
can be confirmed in Figure 5. In finite deformation analysis, it
can be imagined that this upheaval plays a significant role in the
transition from accelerated motion to static motion.
Next, comparing the results of the displacement and load
controlled cases in Figure 4, we see that the behavior predicted
is the same up to the point of peak load (a) for the displacement
controlled case. We understand the accelerated motion observed
in the load controlled case occurring after achieving the peak
load in the displacement controlled case as resulting from
external forces that cannot be accounted for statically. If we
change our perspective to that of an observer moving with the
foundation, the inertial force can be said to be an apparent force
that compensates for the deficit in the equilibrium of forces.
Whereas the behavior predicted in the load controlled case
coincides with that for the displacement controlled case up to
the initiation of accelerated motion at point (a), it can be seen
that the behavior at the conclusion of accelerated motion (point
(c)) is not consistent with the relationship between load and
settlement predicted in the displacement controlled case. This is
because the soil elements undergo a different stress history in
In order to simulate delayed failure, we increased the vertical

load up to 125, 126, 127, 128, 129, and 130 kPa under the load
controlled condition and then left the load in place. Taking the
discussion in the previous section into consideration, we
performed an analysis using the approach accounting for inertial
force.
The resulting relationship between the vertical load and
settlement is presented in Figure 7 (corresponding to symbols
(a)-(c), (a), (a) in Figures 7 to 10, respectively). It is evident
that there is a significant difference between the settlement for
final loads up to and including 127 kPa and those greater than or
equal to 128 kPa. The relationship between the elapsed time
during a constant load and the displacement velocity in the
central part of the foundation is presented in Figure 8. In the
case of final loads greater than or equal to 128 kPa, similar to
the other cases, the settlement initially and gradually approaches
convergence, but at a certain point the displacement velocity
increases rapidly, after which the settlement again approaches
convergence. The shear strain distribution for the 128 kPa load
after point (c) at which the displacement velocity increases
rapidly is presented in Figure 9. It is evident in the 128 kPa load
case that delayed failure has occurred. As can be seen in Figures
7 and 8, delayed failure occurred for all loads greater to or equal
to 128 kPa. Meanwhile, for all loads up to and including 127
kPa, the consolidation continuously approached convergence.
The existence of a threshold load value above which failure
occurs and below which failure does not occur has long been
verified through experiments on triaxial samples (e.g.
Murayama & Shibata 1956). Up to this point, such phenomena
observed in saturated soils have been treated as a rheologic
843
SIMULATING DELAYED GROUND FAILURE
Vertical load (kPa)
140
(a)"
(a)'
(a)
130
(o)
127 kPa
126 kPa
125 kPa
(b)
(c)
130 kPa
129 kPa
128 kPa
120
110
displacement controlled case

load controlled case
100
0
20
40
60
80
100
Settlement (cm)
Figure 7. Relationship between vertical load and settlement (load

constant case)
108
(b)
105
q = 128 kPa
106
q = 129 kPa
q = 130 kPa
Displacement velocity (cm/day)
107
(a)
(a)"
(a)'
101
100
10-1
10
-2
10-2
Figure 9. Distribution of shear strain (load: 128 kPa)
q = 126 kPa
q = 125 kPa
10-1
q = 127 kPa
100
Time (day)
-300
-200
-100
0
100
200
300
(a)
227506
(b)
227508
(c)
227510 227512
Time (sec)
227514
Figure 10. Time history of acceleration of central node of foundation

(load: 128 kPa)
CONCLUSIONS
In this paper, a bearing capacity analysis was carried out for a

highly structured naturally deposited clay ground using the soilwater coupled finite deformation analysis code GEOASIA,
which takes inertial forces into consideration and employs the
SYS Cam-clay model, which is capable of describing the work
of the soil skeleton structure. The following results and
conclusions were obtained.
1) When a ground that exhibited localization of deformation
and formation of a circular slip failure accompanied by load
reduction as a result of loading by displacement control was
loaded by load control, it failed dynamically in association
with acceleration motions after reaching the peak load
obtained during displacement control.
2) To date, the bearing capacity problem has only been dealt
with quasi-statically, but it is essential to take inertial forces
into consideration in order to reproduce this type of failure
behavior.
3) Using the analysis code, it was possible to reproduce the
behavior before, during, and after the delayed failure
phenomenon, as well as whether or not there is a load
threshold for occurrence of delayed failure. To reproduce
this type of phenomenon, a time-dependent constitutive
equation is not necessarily required as an inherent nature of
soil skeleton.
4) For the delayed failure phenomenon, the soil-water coupling
effect is particularly important for the consolidation
behavior before and after failure, and inertial effects are
particularly important for the dynamic failure behavior
while a constant load is maintained.
REFERENCES
Asaoka, A., Nakano, M. and Noda, T. 1994. Soil-water coupled

behaviour of saturated clay near/at critical state, Soils and
Asaoka, A., Noda, T., Yamada, E., Kaneda, K. and Nakano, M. 2002.
An elasto-plastic description of two distinct volume change
mechanisms of soils, Soils and Foundations, 42(5), 47-57.
Noda, T., Asaoka, A. and Nakano, M. 2008. Soil-water coupled finite
deformation analysis based on a rate-type equation of motion
incorporating the SYS Cam-slay model. Soils and Foundations,
45(6), 771-790.
Asaoka, A., Noda, T. and Kaneda, K. 1998. Displacement/traction
boundary conditions represented by constraint conditions on
velocity field of soil, Soils and Foundations, 38(4), 173-181.
Noda, T., Asaoka, A. and Yamada, S. 2007. Some bearing capacity
characteristics of a structured naturally deposited clay soil, Soils
and Foundations, 47(2), pp. 285-301.
Murayama, S. and Shibata, T. 1956. On the Rheological characters of
clay, Journal of JSCE, 40, 1-31, in Japanese.
(c)
103
0 s (%)
(c) After delayed failure
104
102
100
Acceleration (cm/sec )
property of soil and have been described using viscoplastic

constitutive equations. In contrast, the results presented here
demonstrate that delayed failure and the existence of a threshold
load value for the occurrence (or lack thereof) of delayed failure
can be simulated as a soil-water coupling effect without having
to impose a time dependence on the soil skeleton. The time
history of vertical acceleration of the central node of the
foundation around the time of delayed failure for the 128 kPa
load case is presented in Figure 10. Similar to the behavior
observed in the load-controlled case in Figure 6, it is evident
that the behavior during failure involves accelerated motion. As
such, it is necessary to account for inertial force in order to
reproduce the behavior that occurs during this delayed failure.
Furthermore, in the 128 kPa load case presented in Figure 8, the
momentary increase in displacement velocity followed by a
secondary convergence indicates a return to static consolidation
following the convergence of accelerated motion. Thus, the soilwater coupling effect is particularly important in understanding
the consolidation behavior before and after failure, and the
effects of inertial force are particularly important in
understanding the dynamic failure experienced under constant
load. It should be kept in mind that even if it is possible to
reproduce the behavior of the ground right up to the point of
failure by using a time-dependent constitutive equation, if the
analytical tool used to solve the boundary value problem does
not account for inertial force, it will not be possible to reproduce
the behavior after that point.
101
Figure 8. Relationship between time and displacement velocity (load

constant case)
844
An elastic-viscous-plastic modeling of time-dependent behaviors of

Un modle lasto-visco-plastique pour les argiles surconsolids
Yao Y.P., Kong L.M.
School of Transportation Science and Engineering, Beihang University
ABSTRACT: The instant normal compression line is proposed by analyzing the existing theories and experimental results. Based on
the creep law, the relationship between the aging time and the overconsolidation parameter is built. With the reloading equation of the
UH model used to calculate the instant compression deformation, a one-dimensional stress-strain-time relationship is proposed.
Furthermore, the characteristic rate that is a function of the overconsolidation parameter is defined. Then a three-dimensional elasticviscous-plastic constitutive model is suggested by incorporating the equivalent time into the current yield function of the UH model.
The proposed model can describe not only creep, rate effect and other viscous phenomena, but also shear dilatancy, strain softening
and other behaviors of overconsolidated clays. Besides, it needs only one additional parameter (the coefficient of secondary
compression) to consider the creep law compared with the modified Cam-clay model.
RSUM : Une ligne de compression normale instantane est propose en se basant sur les thories existantes et sur les rsultats
exprimentaux. Base sur la loi de fluage, la relation entre le temps de vieillissement et le paramtre de surconsolidation est tablie.
En utilisant l'quation de rechargement du modle UH pour calculer la dformation de compression instantane, on propose une
relation contrainte-dformation-temps unidimensionnelle. Par ailleurs, on dfinit le taux caractristique qui est fonction du paramtre
de surconsolidation. Ensuite, un modle tridimensionnel visco-lasto-plastique est propos en intgrant un temps quivalent dans la
fonction de charge actuelle du modle UH. Le nouveau modle peut dcrire non seulement l'effet de fluage, leffet de taux et d'autres
phnomnes visqueux, mais galement dilatance, adoucissement et d'autres comportements d'argiles surconsolids. En outre, il ny a
besoin que d'un seul paramtre supplmentaire (le coefficient de compression secondaire) dans la loi de fluage par rapport au modle
Cam-clay modifi.
KEYWORDS: creep, viscoplasticity, stress-strain, overconsolidation, three-dimensional.
1
INTRODUCTION
Viscosity refers to the time-dependency of stress-strain

relationship of clays. The phenomena related to viscosity
include creep and rate effect which would change the
engineering properties of clays and result in such engineering
problems as ground settlements and landslides. Therefore,
numerous studies on viscosity have been conducted and large
numbers of constitutive models have been developed. The
models considering viscosity could be built with the empirical
method, the viscoelastic method or the viscoplastic method.
However, the empirical models are strictly limited to the
specific boundary and loading conditions, and the linear
viscoelastic models are not well valid for the behaviors in the
range of large strains. Hence, more and more studies are
focusing on the viscoplastic models (e.g., Kutter and
Sathialingam 1992, Yin and Graham 2002, Yin et al. 2010).
Nevertheless, most of the models proposed so far are only
applicable to normally consolidated (NC) and slightly
overconsolidated (OC) clays. Although a few viscoplastic
models have been extended to describe viscosity of OC clays
(e.g., Kutter and Sathialingam 1992), they are all complex and
have plethoric parameters. Hence it is necessary to build a new
elastic viscoplastic model for OC clays.
reference stress point ( p , q ) which is the corresponding point of

(p, q) at the same stress ratio (=q/p). The UH model defines
the overconsolidation parameter R to reflect the degree of
overconsolidation of clays. R is the ratio of the current stress to
its corresponding reference stress. A smaller value of R
corresponds to a larger OCR (overconsolidation ratio). The
expression of R is
p
p
(1)
In the UH model, the potential failure stress ratio Mf is

suggested to reflect the strength of OC clays. Mf is expressed as
follows (Yao et al. 2012).
p, q
p, q
px
UH MODEL
px
Figure 1. Current and reference yield surfaces of the UH model.
The UH model (Yao et al. 2009) is a constitutive model for OC

clays based on the modified Cam-clay model (MCC). As shown
in Figure 1, there are two yield surfaces in the UH model, i.e.,
the current yield surface and the reference yield surface. The
current yield surface is the one where the current stress point (p,
q) lies. p is the mean effective stress and q the generalized
deviatoric stress. The reference yield surface passes the
845
M
f 6
1
R R R
M2
12(3 M)
(2)
where M is the stress ratio at the critical state. Based on the

concept of the potential failure ratio, the UH model changes the
M4 4
dH f4
d v
M 4
(3)
where vp is the total plastic volumetric strain.

By combining the elliptical yield function and the unified
hardening parameter, the current yield function of the UH
model can be written as
p
2 1
f1 ln
(4)
ln 1 2 H 0
M cp
px0
where px0 is the initial intersection point of the current yield

surface and axial p. cp=()/(1+e0). is the slope of the normal
compression line (NCL) in e-lnp plane, the slope of rebound
curve in e-lnp plane, e the void ratio and e0 the initial void ratio.
Because the reference surface represents the normally
compressed states of clays, the UH model adopts the yield
function of MCC as the reference yield function.
p
2
1
(5)
ln(1 2 ) vp 0
px0
cp
M
where px0 is the initial intersection point of the reference yield
surface and axial p.
f 2 ln
INSTANT NORMAL COMPRESSION LINE
3.1
Instant compression and delayed compression
As shown in Figure 2, in tests the isotropic compression

represented by NCL experiences some test time because of the
limitation of permeability. If clays creep for the same time from
different points on NCL, such as C and C, the final states will
shape a line parallel to NCL, i.e., CD=CD (Bjerrum 1967).
With the creep time changing, the line of final states will move
and form a series of parallel lines, as shown as lines 1 Day,
10 Days and 100 Days. In light of this phenomenon, it is
inferred that above NCL there must be a compression line for
which the creep time is 0. The line reflects the normally and
instantaneously compressed characteristics of clays. Thus, it is
called instant normal compression line (INCL) in this paper.
If remolded clays prepared in tests are assumed to be not
influenced by time, their states can be represented by point A on
INCL in Figure 2. ACD is the consolidation process which is
traditionally divided into primary compression AC and
secondary compression CD. However, the time of the primary
compression of soft clays is so long that creep also exists in the
primary compression. So the consolidation was divided into
instant compression and delayed compression in accordance
with the concept of INCL. That is to say, ACD is equivalent to
ABD that includes instant compression AB and delayed
compression BD. In the instant compression, the total stresses
are supposed to be imposed on the clay skeleton
instantaneously. In the delayed compression effective stresses
are constant, and the clay deforms only due to the time.
3.2
change of pac is small. Therefore, this paper assumed that the

value of pac will not vary when the rate is large enough. That is,
while the rate keeps increasing, the loading curve in Figure 3 is
not going to move upwards indefinitely, and there will be a
bounding line which is actually INCL.
4
1-D EVP RELATIONSHIP
According to the concept of INCL and the theory of instant

compression and delayed compression, the total volumetric
strain is additively decomposed into the following:
v vs vt vse vsp vtp ve vp
Figure 2. Division of isotropical consolidation process.
v1 v 2 v 3 v 4
2.5
2.0
b
xa
y c
1.5
1.0
0.5
0.0
846
v1
v 2
v 4 v 3
Figure 3. Schematic graph of 1-D rate effect.
One-dimensional (1-D) rate effect
As shown as in Figure 3, the curves of isotropic compressions at

various constant strain rates are all parallel to INCL. Moreover,
when the volumetric strain rate is larger, the position of the
loading curve is higher, i.e., the apparent preconsolidation
pressure pac is increasing with the strain rate. Figure 4 illustrates
the results of 1-D oedometer consolidation tests with constant
strain rates on several kinds of clays (Yin et al. 2010). v is the
volumetric strain rate and p0 the initial mean effective stress.
The results are fitted by the hyperbolic function. The positive
correlation between pac and the volumetric strain rate is obvious.
However, the change of pac is decreasing gradually with the
strain rate increasing. When the strain rate is large enough, the
(6)
where vs is the volumetric strain under effective stresses, i.e.

the instant strain including elastic strain vse and plastic strain
vsp . vt denotes the volumetric strain influenced by time
effects, i.e., the delayed strain. The strain due to time effects is
irreversible, so vt vtp . ve is the elastic volumetric strain that
only occurs on account of stresses. vp is the plastic volumetric
strain containning vsp and vtp .
pac p0
hardening parameter of MCC into the unified hardening

parameter H that is expressed as
Backebol clay
Berthierville clay
Bothkennar clay
-6
5.0x10
-5
1.0x10
v s 1
-5
1.5x10
-5
2.0x10
Figure 4. Relationships between apparent preconsolidation pressure and

volumetric strain rate (Yin et al. 2010).
4.1
Instant strain
The proposed model adopts the function of the reloading line of

the UH model to calculate the instant strain. Assuming in eq.
(4) to be zero and considering the elastic strain, the 1-D stressstrain equation of the UH model can be expressed as

M 4 dp
dvs =
+
1 + e0 1 + e0 M 4 p
f
where dta is the aging time increment, and dt the real time
increment. Although the aging time is not equal to the real time,
the increments of them are the same.
(7)
4.3
If states of clays are initially on INCL, the reloading line will

coincide with INCL.
4.2
By combining eqs. (6), (7) and (10), the 1-D stress-strain-time

relationship of OC clays can be expressed as
Delayed strain
dv =
Dots in Figure 5 represent the data of an oedometer

consolidation test on clays (Zhu 2000). The process before C
belongs to the primary compression AC in Figure 2, and the one
after C is the secondary compression CD. In the semilogarithmic coordinate system, the data points of CD form a line
approximately. So the formula of the creep can be expressed as
e
e Celn(t 1)
4.4
ecr = Ce
(9)
Ce dta
C
e Rdt
1 + e0 ta +1 1 + e0
1-D prediction
4.4.1
Characteristic rate
In Figure 6 the compression curves of different rates are parallel
to INCL finally. When the rate is larger, as curve 5.70 %/h
shows, clays show overconsolidated behaviors. When the rate is
slower, as curve 1.1410-1 %/h shows, clays behave in a
similar way of underconsolidated clays. If clays just behave as
normal consolidation when being compressed with a certain
rate, then the certain rate will be defined as the characteristic
rate. The characteristic rate is a function of R.
where ta denotes the aging time and Ce .

The delayed strain increment is derived from eqs. (8) and
(9), as shown as follows:
dvtp =
(11)
Figure 6 shows the predicted results of isotropic compressions

on OC clays (initial R=0.5) at constant rates of void ratio. The
row 1-D in Table 1 illustrates the values of parameters used in
the prediction.
where e is the void ratio of the point on INCL at current p, t the

time and Ce the coefficient of secondary compression.
to
Clays
develop
from
normal
consolidation
overconsolidation with creeping. The time effects on clays are
equivalent to making clays stiff and aged. So the elapsed time
of the creep is called the aging time. It was pointed out that the
creep rate is dependent on the current state and independent of
the paths (Yin et al. 2002). Therefore, the state of clays can be
represented by one path, e.g. the path of creep. That is, the state
of clays is able to be described by the aging time. Besides, in elnp plane, R can also reflect the state of clays. Hence, the aging
time and R are related with each other. The relationship between
them can be derived as
ta R 1
dp M 4 dp Ce
R dt
+
+
1+ e0 p 1 + e0 Mf4 p 1 + e0
If clays are loaded instantaneously, i.e., dt=0, then the

relationship will be changed into the stress-strain relationship of
the UH model.
(8)
1-D stress-strain-time relationship
M4
R 1 4
M f
-1
(12)
When the states of clays are on INCL, Mf=M so that the

characteristic rate is infinite, which means the instant
compression curve goes back to INCL at last.
4.4.2
Relaxation
If clays are being isotropically compressed at a very slow rate,
as curve 5.7010-3 %/h in Figure 6, on the curve there will be
a part where e is almost invariant but p is decreasing. At this
time, the behavior of clays is similar to relaxation. The
difference between this type of curves and other curves is that
the beginnings of the former lie on the left of the creep path,
which indicates that the creep path is a boundary determining
whether the relaxation exists. Consequently, during the isotropic
compression, if the current strain rate of clays is smaller than
the creep rate, then the loading curve will exhibit the relaxation
feature.
(10)
1.40
1.35
1.30
1.25
1.20
1.15
1.10
1.05
e e
10
11
e e e e e e e e e e
Figure 5. Experimental data of isotropic consolidation tests (Zhu 2000).
Table 1. Parameters adopted in the predictions.

M
v
Parameters
Ce
1-D
0.1
0.02
0.0100
1.35
3-D
0.2
0.04
0.0046
1.27 0.1
e0
1.00
1.26
p0(kPa)
100
60
1.2
Rate: %/h
Infinity
5.70
1.1
1.1410-1
5.7010-3
1.0
0.9
0.7
100
EVP UH MODEL
5.1
Hardening parameter
Compared with the UH model, the EVP UH model considers

the viscoplastic strain of clays. Consequently, according to eqs.
(3) and (6), the hardening parameter of the EVP model should
be composed of the instant hardening parameter Hs and the
delayed hardening parameter Ht.
0.8
10
1000
1
sp
tp
s
t
H
d v d v H H
Figure 6. Predicted curves of isotropic compressions at constant rates.
847
(13)
(M 4 4 ) / (M f4 4 ) .
where
150
The parameter of time effects is assumed to be t and

incorporated into the current yield function. So the current yield
function of the EVP UH model is assumed as
p
2
1
t
0
ln 1 2 t
H s +H
(14)
f3 ln
c
px0
M
p
t =
Ce M f4
R dt
M4
100
50
50
500
300
400
50
100
Predicted: Measured
Infinity
15
15
1.5
1.5
0.15
0.15
300
Shear strain rate: %/h
150
150
200
200
Predicted Measured
Infinity
15
15
1.5
1.5
0.15
0.15
50
0
0.00
0.05
0.10
0.15
Shear starin rate: %/h
100
0
0.20
100
200
300
400
500
Figure 8. Comparison between predicted and measured results of

triaxial undrained compressions at various rates.
2.0
1.0
Test
Predicted
OCR=1
OCR=2
OCR=4
OCR=8
0.8
1.5
0.6
1.0
0.4
Test Predicted
where is the Poissons ratio. The elastic modulus is
E 3(1 2 )(1 e0 ) p / . The plastic strain rate can be

expressed as:
f

s t
ij

ijp
(17)
s and t are the time-independent and time-dependent

plastic factor, respectively. p and q are the rates of stresses.
0.5
0.0
0.00
OCR=1
OCR=2
OCT=4
OCR=8
0.05
0.10
0.15
0.2
0.20
0.0
0.0
0.2
0.4
0.6
0.8
p/pc
1.0
1.2
1.4
Figure 9. Comparison between predicted and measured results of

triaxial undrained compressions on clays having different
initial OCRs.
CONCLUSIONS
This paper established a new EVP framework by assuming the

existence of the instant normal compression line. Furthermore,
the 1-D EVP relationship was proposed by adopting the
reloading line of the UH model as the instant compression line.
Then with the equivalent time incorporated into the current
yield function of the UH model, the 3-D EVP model was built.
Compared with MCC, the proposed model needs only one
additional parameter (the coefficient of secondary compression).
Shear creep
Figure 7 shows calculated stress paths of the undrained creeps

with constant shear stresses. In the predictions, clays are
instantaneously loaded first. Then the shear stresses remain
unchanged in order to make clays creep under time effects. The
paths in Figure 7(a) and Figure 7(b) are for low stress ratios
(q/p<MErreur ! Source du renvoi introuvable.) and high
stress ratios (q/p>M), respectively. The values of parameters
adopted are shown in the row 3-D of Table 1.
6
350
200
The time has no effects on the elastic law. So the elastic strain
increments are still calculated by Hooke law.
3 1 2
2 1
d ve
dp
d de
dq
(16)
E
3E
5.4
150
250
Constitutive relationship
C M f4 (M 2 2 ) 2
2
pR
c p p 2
q e
2 1 e
4
4
4
M
M
M
0
100
Figure 7. Stress paths of shear creeps: (a) at low stress ratios, and (b) at
high stress ratios.
100
5.3
150
50
(15)
where t is not the real time but the equivalent time, indicating
the time effects on clays. In the proposed model, INCL
represents the instantaneously normally consolidated states and
its position is not affected by time. Therefore, the EVP model
still takes eq. (5) as the reference yield function. However,
when time effects are considered, the plastic volumetric strain
consists of both the strains due to stresses and time, i.e.,
p
sp
tp
v v v .
CSL
OCR=2
OCR=4
OCR=8
CSL
100
Because the yield function is also workable in the isotropic

compression, the function of t can be obtained by substituting
=0 into eq. (14).
200
OCR=1
OCR=2
OCR=4
Yield functions
q: kPa
5.2
VERIFICATION
The predicted results by the proposed model are compared with

the test data of Hong Kong Marine Deposits (Zhu 2000). The
parameters are displayed in the row 3-D of Table 1.
Figure 8 shows the predicted and measured results of the
triaxial undrained compressions at various constant strain rates
on clays having the same initial OCR. Figure 9 illustrates the
predicted and measured results of tests at the same constant
strain rate (1.5 %/h) on clays having different initial OCRs.
Because the confining pressures imposed on clays of various
OCRs are different from each other, the results are normalized.
848
REFERENCES
Bjerrum L. 1967. Engineering geology of Norwegian normallyconsolidated marine clays as related to settlements of buildings.
Geotechnique 17(2), 83-118
Kutter B.L. and Sathialingam N. 1992. Elastic viscoplastic modelling of
the rate-dependent behaviour of clays. Geotechnique 42(3), 427441
Yao Y.P., Gao Z.W., Zhao J.D., et al. 2012. Modified UH model:
constitutive modeling of overconsolidated clays based on a
parabolic Hvorslev envelope. J Geotech Geoenviron Eng 138(7),
860-868
Yao Y.P., Hou W. and Zhou A.N. 2009. UH model: three-dimensional
unified hardening model for overconsolidated clays. Geotechnique
59(5), 451-469
Yin J.H., Zhu J.G. and Graham J. 2002. A new elastic viscoplastic
model for time-dependent behaviour of normally and
overconsolidated clays: theory and verification. Can Geotech J
39(1), 157-173
Yin Z.Y., Chang C.S., Karstunen M., et al. 2010. An anisotropic elastic-viscoplastic model for soft clays. Int J Solids Struct 47(5), 665677
Zhu J.G. 2000. Experimental study and elastic visco-plastic modelling
of the time-dependent stress-strain behaviour of Hong Kong marine
deposits. Hong Kong: The Hong Kong Polytechnic University
Failure Modes for Geosynthetic Reinforced Column Supported (GRCS)

Embankments
Failure
Modes for Geosynthetic Reinforced Column Supported (GRCS)
Embankments
Les modes de rupture de massifs renforcs par colonnes sol-ciment et gosynthtique (GRCS)
supportant
remblais
Les
modes des
de rupture
de massifs renforcs par colonnes sol-ciment et gosynthtique (GRCS)
supportant des remblais
Yapage N.N.S., Liyanapathirana D.S., Leo C.J.
School Yapage,
of Computing,
Engineering andand
Mathematics,
N.N.S.
D.S. Liyanapathirana
C.J. Leo University of Western Sydney, Locked Bag 1797,
Penrith,
NSW
2751,
Australia
School of Computing, Engineering and Mathematics, University of Western Sydney, Locked Bag 1797,
Penrith, NSW 2751, Australia
ABSTRACT: Deep cement mixed columns are widely used to support highway embankments constructed on soft compressible
ground. Current design procedures for these embankments consider the sliding failure for external stability and the shear failure of
deep cement mixed
for internal
Other
suchembankments
as collapse failure,
slip circle
failure,
punching
ABSTRACT:
Deep (DCM)
cement columns
mixed columns
are stability.
widely used
to failure
supportmodes
highway
constructed
on soft
compressible
shear failure
(overall
local) andforbending
failure of DCM
columns
are also
significant
for column
embankments.
ground.
Current
designorprocedures
these embankments
consider
the sliding
failure
for external
stabilitysupported
and the shear
failure of
However,
stillmixed
there (DCM)
are uncertainties
in identifying
the critical
these
Hence,
this paper
investigates
deep
cement
columns for
internal stability.
Otherfailure
failuremodes
modesforsuch
as embankments.
collapse failure,
slip circle
failure,
punching
some failure modes
reinforced
column
supported
(GRCS)
embankments
the finite
elementembankments.
method. The
shear
(overallfor
or Geosynthetic
local) and bending
failure
of DCM
columns
are also
significant using
for column
supported
embankment
traffic
loads are gradually
increased
to bringfailure
the embankment
to the
verge of failure.
Bending
failure
of DCM
However,
stilland
there
are uncertainties
in identifying
the critical
modes for these
embankments.
Hence,
this paper
investigates
columns
and modes
subsequent
shear failure reinforced
for internalcolumn
stability,
local punching
overallusing
punching
failureelement
and excessive
some
failure
for Geosynthetic
supported
(GRCS) failure,
embankments
the finite
method. total
The
settlement failure
identified
fromgradually
the finiteincreased
element analysis
and discussed
detail.
embankment
and are
traffic
loads are
to bringresults
the embankment
tointhe
verge of failure. Bending failure of DCM
columns and subsequent shear failure for internal stability, local punching failure, overall punching failure and excessive total
settlement failure are identified from the finite element analysis results and discussed in detail.
RSUM : Les colonnes profondes ralises par mlange sol-ciment sont trs utilises pour soutenir des remblais de route construits
sur sol mou compressible . Les procdures actuelles de conception pour ces remblais considrent la rupture par glissement pour la
stabilit externe
et la rupture
par cisaillement
des mlange
colonnessol-ciment
(DCM) sol-sont
ciment
pour la stabilit
interne.des
D'autres
modes
de rupture
tels
RSUM
: Les colonnes
profondes
realises par
trs utilises
pour soutenir
remblais
de route
construits
que l'effondrement,
le glissement
circulaire,actuelles
le poinonnement
de cisaillement
(globalconsidrent
ou local) etlalarupture
flexionpar
desglissement
colonnes depour
DCM
sur
sol mou compressible
. Les procdures
de conception
pour ces remblais
la
sont galement
les remblaisdes
soutenus
par(DCM)
colonnes.
reste
des incertitudes
en identifiant
modestels
de
stabilit
externe significatifs
et la rupturepour
par cisaillement
colonnes
sol-Cependant,
ciment pouril la
stabilit
interne. D'autres
modes delesrupture
rupture
critiques pourle ces
remblais.
Par consquent,
cette communication
tudie
quelques
modes
de flexion
rupturedes
pour
des remblais
de
que
l'effondrement,
glissement
circulaire,
le poinonnement
de cisaillement
(global
ou local)
et la
colonnes
de DCM
GRCS
par la mthode
des lments
Le remblai
les colonnes.
charges deCependant,
la circulation
sont des
graduellement
pourlessapprocher
sont
galement
significatifs
pour les finis.
remblais
soutenusetpar
il reste
incertitudesaugments
en identifiant
modes de
de la rupture.
rupture
critiques pour ces remblais. Par consquent, cette communication tudie quelques modes de rupture pour des remblais de
GRCS par la mthode des lments finis. Le remblai et les charges de la circulation sont graduellement augments pour sapprocher
de la rupture.
KEYWORDS: deep cement mixed columns, embankment, finite element method, strain softening, progressive failure.
KEYWORDS: deep cement mixed columns, embankment, finite element method, strain softening, progressive failure.
1. INTRODUCTION
1Geosynthetic
INTRODUCTION
reinforced
column
supported
(GRCS)
embankments are widely used in infrastructure development
Geosynthetic
column
(GRCS)
projects in urbanreinforced
and metropolitan
areas insupported
most countries.
The
embankments
are
widely
used
in
infrastructure
development
design process should critically consider the behavior of single
projects
areas insystem.
most countries.
The
columnsin
as urban
well asand
themetropolitan
global embankment
A number
of
design
process
should
critically
consider
the
behavior
of
single
possible failure mechanisms for these embankments are
columns
the global
embankment
system.
A number
of
discussedasinwell
the as
literature.
Numerous
research
efforts
have been
possible
failure
mechanisms
for
these
embankments
are
expended to understand the failure modes for GRCS
discussed
in theusing
literature.
Numerous
research
efforts have
been
embankments
centrifuge
modelling,
numerical
modelling
expended
to understand
the failure(Broms
modes
forKitazume
GRCS
and case histories
of field performance
1999,
embankments
using
centrifuge
modelling,
numerical
modelling
and Maruyama
2007)
and thereby
to develop
analysis
and
and
case
histories of
field performance
Kitazume
design
procedures
incorporating
possible(Broms
failure1999,
modes.
Current
and
Maruyama
2007)
and thereby
to develop
design
procedures
for these
embankments
only analysis
consider and
the
design
procedures
incorporating
possible
failure
modes.
Current
sliding failure for external stability and the shear failure
of
design
procedures
for thesestability
embankments
only EuroSoilStab
consider the
DCM columns
for internal
(CDIT 2002,
sliding
for external
the shear
2002). Itfailure
is recently
found stability
that otherandfailure
modesfailure
such of
as
DCM
columns
internal
stability
(CDIT
2002, shear
EuroSoilStab
collapse
failure,forslip
circle
failure,
punching
failure
2002).
is recently
other failure
modesfailure
such as
around It
column
heads found
(overallthat
or local),
and bending
of
collapse
failure,are
slipalso
circle
failure, for
punching
shear failure
DCM columns
significant
GRCS embankments
around
heads2004,
(overall
or local),
bending2007).
failure of
(Kivelo column
1998, Broms
Kitazume
andand
Mauyama
DCM
columns
are
also
significant
for
GRCS
embankments
There are many case histories demonstrating that these
(Kivelo
1998,
Bromsare
2004,
Kitazume
Mauyama
foundation
systems
likely
to haveand
slope
stability2007).
problems,
There
are
many
case
histories
demonstrating
that these
although they significantly improve the bearing capacity
and
foundation
are likely
to haveinherent
slope stability
reduce the systems
excessive
settlements
in softproblems,
ground.
although they significantly improve the bearing capacity and
reduce the excessive settlements inherent in soft ground.
849
Progressive failure has been identified by Broms (2004) and

bending failure has been observed by Terashi (2003).
The main focus of this paper is to identify the critical failure
modes related
to GRCS
embankments.
In Broms
this finite
element
Progressive
failure
has been
identified by
(2004)
and
analysis,failure
the has
bending
failure of
individual
columns and
bending
been observed
by Terashi
(2003).
subsequent
a slip
shear
failure
are
The maindevelopment
focus of this of
paper
is to surface
identify the
critical
failure
investigated.
failure
modes are Incritical
for element
internal
modes
related These
to GRCS
embankments.
this finite
stability ofthe
GRCS
embankments.
In addition,
and overall
analysis,
bending
failure of
individuallocal
columns
and
punching failure
modes relevant
for surface
the stability
fill layers
subsequent
development
of a slip
shearoffailure
are
are investigated.
investigated.
These failure modes are critical for internal
stability of GRCS embankments. In addition, local and overall
2 DESCRIPTION
OF THE
NUMERICAL
MODEL
AND
punching
failure modes
relevant
for the stability
of fill
layers
MODEL PARAMETERS
are investigated.
2 DESCRIPTION OF THE NUMERICAL MODEL AND
The geometry of the problem used in this study is shown in
MODEL PARAMETERS
Figure 1. The embankment is supported by DCM columns with
1 m diameter and 2.5 m center to center column spacing in each
direction.
The of
model
usedinfor
thestudy
analysis
are given
The
geometry
the parameters
problem used
this
is shown
in
in Table
The
embankment
constructed
in stages
expending
Figure
1. 1.
The
embankment
is is
supported
by DCM
columns
with
fill layer
followed
by five
m thick
layers.
Each in
layer
is
10.5
mm
diameter
and
2.5 m center
to 1center
column
spacing
each
applied over
a period
of one month
andforthethewaiting
period
after
direction.
The
model parameters
used
analysis
are given
each
fill layer
0.5 months. Finally
the traffic
applied.
in
Table
1. Theis embankment
is constructed
in load
stagesis expending
0.5 m fill layer followed by five 1 m thick layers. Each layer is
applied over a period of one month and the waiting period after
each fill layer is 0.5 months. Finally the traffic load is applied.
Figure 1.Geometry and boundary conditions for numerical model of the embankment.
3 IDENTIFICATION OF FAILURE MODES USING FEM
The geosynthetic reinforcement is modelled as a linear

elastic perfectly plastic material using the Von-Mises failure
criteria and the embankment fill, platform fill, soft clay, and silt
were modelled as elastic perfectly plastic materials, using the
Mohr-Coulomb failure criteria.
An extended version of the Mohr-Coulomb model is used to
simulate the strain softening behavior of the cement admixed
soil (Yapage et al. 2012). This material extension has been
incorporated into the finite element code, ABAQUS/Standard,
through the user defined field subroutine, USDFLD.
The constitutive model is calibrated using triaxial test data
found in the literature for cement admixed Singapore and Hong
Kong marine clays. The parameters for the strain softening
model in the analysis are peak friction angle, = 30,
= 13 , peak cohesion,
= 90,
residual friction angle,
= 70, peak dilation angle, = 5 ,

residual cohesion,
= 0 , Plastic deviatoric strain at

residual dilation angle,
peak, , = 2% and at residual, , = 12%.
Various instability criteria to identify the failure state during

numerical analysis can be found in the literature: (i) Abrupt
increase in nodal displacements or deformations at a certain
location of the embankment, (ii) Initiation, development and
distribution of plastic strain, shear strain or yielded material
zone in a particular location and (iii) Non-convergence state
within a user-defined maximum number of iterations for the
solution. In this research first and second criterion are used to
identify the failure mechanisms.
4
FAILURE MODES ASSOCIATED WITH

EMBANKMENTS SUPPORTED OVER DEEP CEMENT
MIXED COLUMNS
4.1 Combination of bending and shear failure modes
Figure 2. Failure mode of an embankment for internal stability

(Broms 2004).
Table 1. Material properties used in numerical model.
Note: E is tangential elastic modulus, is Poissons ratio, is

the unit weight, is the effective cohesion intercept, is the
effective friction angle, is the permeability, is the effective
dilation angle, J is the tensile stiffness of the geosynthetic, t is
the thickness of the geosynthetic layer, i is the interaction
coefficient between geosynthetic and platform fills
850
In this study, it is found that the bending failure and subsequent

slip surface shear failure are critical for internal stability of
GRCS embankments. Broms (2004) illustrated the probable slip
surface for columns located in the active zone as shown in
Figure 2. Therefore, the analysis is carried out considering the
full cross section of the embankment giving allowance to
develop an asymmetric slip surface.
The plastic hinge formation within the finite element model
is shown in Figure 3. When the shear strain development with
gradual loading is investigated, higher shear strains initially
develop closer to the top of the columns at the center of the
embankment and then they progressively develop towards the
bottom of the columns closer to the embankment toe. During
this process, DCM columns fail one by one due to bending
failure. When the maximum bending moments within the
columns exceed the moment carrying capacity of columns,
plastic hinges will develop at these locations as illustrated in
Figure 3. The soft soil in between these columns experience
considerable shear distortions due to abrupt deformation of
damaged columns. The resulting slip surface is not circular and
it is a slip band with a certain thickness as shown in Figure 3.
Columns closer to the embankment toe have a single plastic
hinge, while the middle columns have two plastic hinges with
approximately same distance in between them. When there are
two plastic hinges developed in the column, one should be at the
location of the maximum positive bending moment and the
other one should be at the location of the maximum negative
bending moment. It can be observed that this failure mechanism
agrees well with the critical slip surface given by Broms (2004)
shown in Figure 2.
The bending failure mode mainly depends on the tensile

strength of DCM columns. According to Figure 4, axial loads
acting on columns induce compressive stresses within the
column cross section, while the moment load induces both
compressive and tensile stresses. Therefore, stress distribution
within the column cross section may experience tensile stresses,
depending on the magnitude of bending and axial stresses acting
on columns. DCM columns fail when the resultant tensile stress
exceeds the tensile strength of columns.
Figure 3. Deformed shape of the finite element model.

According to Broms (2004), the tensile strength of DCM
columns are typically 10 to 20% of the unconfined compressive
strength. However EuroSoilStab (2002) recommended that the
columns created by dry method should not be subjected to
tensile stresses due to the uncertainty in the tensile strength of
DCM columns. Navin (2005) also recommended that the
columns should be designed to satisfy the zero tensile stress
condition at any point across the column cross section.
reinforcement plays a significant role in resisting the bending

failure of columns. Additionally, closer column spacing, larger
diameter columns, or reinforcing the columns with steel bars or
cages, can be used to withstand the tensile stresses developed
within the DCM columns and thereby to protect columns
against bending failure (Wong and Muttuvel 2011).
Kitazume (2008) proposed a simple stability calculation to
assess embankments over improved grounds against ultimate
bending failure. However, he has not considered the traffic load
over the crest and the tension developed within the geosynthetic
layer. He assumed that the envelope of failure plane of columns
is horizontal. However, the failure plane is an inclined plane as
shown in Figure 3. Therefore, a new stability equation should be
developed against the bending failure considering the inclined
slip surface. In that equation, the active earth pressure due to the
embankment load, Pae, soft clay, Pac, and the traffic load, Pat,
should be considered as shown in Figure 5 to calculate the
driving moment. Resisting moment should consist of the
contributions from passive earth pressure of the soft clay, Ppc,
embankment and traffic load over the columns, Pel, self-weight
of columns, Psw, tension in the geosynthetic, Tgs, the skin
friction mobilized along the surface of columns and the shear
strength of clay between columns as shown in Figure 5. The
resultant of driving and resisting moments due to loads applied
on columns should not exceed the bending strength of DCM
columns.
Figure 5. Load distribution over columns for embankment in

consideration for the bending failure analysis.
It is important to determine how the gradient of this failure
line varies with geometry and material properties of the
embankment. To achieve this, a detailed parametric study needs
to be carried out before developing analytical equations for the
stability calculation against bending failure.
Figure 4. Induced stress distribution in DCM columns.

To avoid negative stress conditions;
> 0 1
+
4.2 Punching failure of fill layers
can be defined as follows.

and
2
4
=
3
32
where Ri is vertical load and Mi is resultant moment applied on

columns.
The bending strength or the resistance against bending is
mainly governed by the tensile strength of DCM columns.
Numerical results show that the axial load is low for the
columns closer to the toe of the embankment compared to
middle columns. Therefore bending failure of columns is likely
to initiate closer to the toe of the embankment. The geosynthetic
reinforcement provides a resisting moment against the moment
induced by the lateral earth pressure to reduce the tensile stress
developed within the columns. Therefore, the geosynthetic
=
=
851
It is important to investigate the failure modes related to

embankment fill layers such as punching, slip circle or lateral
spreading. However, only punching failure is discussed in this
paper.
The punching failure can be categorized into two types:
local punching failure and overall punching failure. When
column heads are considered, the clay in between columns
settles more than the columns. Therefore, it is possible for
column heads to penetrate into the fill layers, which is known as
the local punching shear failure. If overall punching shear
failure occurs, it is clearly visible at the crest of the
embankment, developing an irregular surface with humps at
the column locations and depressions in between columns.
Punching failure can be identified from the excessive shear
strains above the columns, and excessive differential settlements
at the base of the embankment in numerical modelling.
To identify these failure modes, two different numerical
analyses were carried out with two different embankment height
to clear spacing ratios. One embankment is 5.5 m high and other

one is only 2.5 m high. The columns have 1 m diameter and the
centre to centre spacing is 2.5 m in each case. The computed
settlement profiles at the crest and the base of the embankment
during 30 years of service life are shown in Figures 6 and 7 for
low (2.5 m) and high embankments (5.5 m), respectively.
more problematic for high embankments especially with

floating DCM columns where columns penetrate partly into the
clay layer without reaching a stiff base layer. Therefore,
embankment design practice should also aim to prevent failure
due to excessive total foundation settlement.
5 CONCLUSIONS
Figure 6. Settlement profile for 2.5 m high embankment.

Figure 6 clearly illustrates humps and depressions at the
crest of the low embankment. Consequently overall punching
failure is possible and this might be the crucial factor in
determining the loss of serviceability of the embankment.
Therefore overall punching is critical when the embankment
height is low.
For the high embankment, even though there is a
considerable differential settlement at the base of the
embankment, it has not been transferred to the crest of the
embankment and produced a fairly even embankment crest
(Figure 7) showing the possibility of local punching failure.
Therefore embankments with higher fill thickness relative to the
column spacing are vulnerable to local punching failure.
This paper investigated possible failure modes for GRCS

embankments. The finite element results show that the bending
failure is a critical failure mode for internal stability. Once the
plastic hinges are formed, the embankment fails due to
propagation of a slip surface, which is mainly governed by the
tensile strength of the columns. Some weaknesses in existing
analytical equations for calculation of stability against bending
failure are identified and parameters to be considered for a new
stability calculation are proposed. Overall punching failure is
critical for low embankments and local punching failure is
crucial for high embankments. It is important to establish a
reliable equation for the critical height, considering different
column layouts and geometries to avoid overall punching
failure. High embankments are vulnerable to excessive total
foundation settlement and therefore necessary precautions
should be taken in the design process. Overall this paper
identified some failure modes to be considered in the
development of design procedures to evaluate the overall
stability of GRCS embankments and proposed some future
research directions to improve the current design practice.
6
The authors would like to acknowledge the financial support for

this research provided by the Australian research council and
Coffey Geotechnics Pty Ltd under LP099058.
7
Figure 7. Settlement profile for 5.5 m high embankment.

Placing a stiffer geo-membrane immediately on top of the
columns can mitigate local punching failure. Overall punching
failure can be minimised by increasing the efficacy of columns,
area ratio of columns, stiffness of the geosynthetic, thickness of
the load transfer platform by placing more layers of
geosynthetic, and embankment height relative to the column
spacing to develop effective soil arching.
From the numerical results, it could be identified that the
critical height to clear spacing ratio is important in controlling
the overall punching shear failure. This ratio can be used to
ascertain the development of full arching within the fill layers
and thereby to ensure that there are no localized differential
settlements at the crest of the embankment. However, the
critical height defined in current design guidelines is not
consistent.
4.3 Failure due to excessive total foundation settlement
According to Figure 7, it is clear that for high embankments,
excessive total foundation settlement is more crucial than the
differential settlement. Excessive foundation settlement can be
852
ACKNOWLEDGEMENTS
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The Material Point Method: A promising computational tool in Geotechnics

La mthode du point matriel : un outil prometteur de calcul en gotechnique
Yerro A., Alonso E.
Pinyol N.
International Center for Numerical Methods in Engineering (CIMNE), UPC, Barcelona, Spain
ABSTRACT: In recent years, the Material Point Method (MPM) has been applied to a number of geotechnical problems and has been
extended to solve coupled flow-deformation problems. The dynamic formulation and the dual description of the media (lagrangian
material points and an eulerian numerical mesh) provide the MPM the capabilities of handling problems involving large
displacements and deformations. The paper presents four examples with the aim of highlighting the dynamic formulation and the
capability of the method to analyze in a unified mathematical framework the static-dynamic transition of a slope failure.
RSUM: Ces dernires annes, la Mthode du Point Matriel (MPM) a t appliqu un certain nombre de problmes
gotechniques et a t tendu rsoudre les problmes coupls de flux-dformation. La formulation dynamique et la double
description du mdia (des points matriels lagrangiens et du maillage de calcul eulrien) fournissent au MPM la capacit rsoudre
des problmes impliquant de grands dplacements et de grandes dformations. Le document prsente quatre exemples afin dillustrer
la nature dynamique de la formulation et la capacit de la mthode pour analyser la transition statique-dynamique dune rupture dun
talus avec un systme de calcul unifi.
KEYWORDS: material point method, large deformations, slope failures, dynamics, consolidation.
1
the full domain of the problem. The standard shape functions

provide the relationship between the material points and the
nodes of any point of the domain.
The MPM formulation for a mechanical problem was
presented by Sulsky et al. (1995). They discretized the equation
of dynamic momentum balance. MPM has also been extended
to solve coupled hydro-mechanical problems in granular media
based on the well known equations described in Zienkiewicz &
Shiomi (1984) and Verruijt (2010). Two different formulations
have been applied, the most common one based on the solid
velocity-liquid pressure formulation (Zabala & Alonso, 2011),
and a solid velocity-liquid velocity formulation (Jassim et al.
2012).
INTRODUCTION
Problems involving large deformations such as the dynamic

evolution of landslides or problems involving history-dependent
constitutive models are of great interest in the geotechnical
field.
The capability of the material point method (MPM) to deal
with large displacements and its natural dynamic formulation
make this technique an important numerical tool to tackle a
number of geotechnical problems, such as landslides (Beuth et
al., 2008), run-outs (Andersen & Andersen, 2009) or
installation of structures (pile driving and anchor pull-out
(Beuth et al, 2007).
In this paper two different features of the method are
illustrated in different examples. First, the dynamic nature of the
formulation is emphasized in two cases. Afterwards, the
capability of the method to analyze the static-dynamic transition
of a slope failure in a unified mathematical framework is
illustrated in two additional examples.
2
OUTLINE OF MPM FORMULATION
The MPM (Sulsky et al. 1995) represents the material as a

collection of unconnected points so-called material points where
the mass is concentrated (see Fig.1). Then, the density of the
mixture can be expressed as
x, t
Np
m x x
p1
(1)
Figure 1. Discretization in material points and a finite element

mesh used in MPM.
th
in which mp and xp are the mass and the position of the p

material point, (x) is the Dirac delta function, and Np is the
total number of material points. An important assumption is that
the mass assigned to each material point remains fixed during
the calculation, thus assuring mass conservation. Other
quantities such as velocities, strains and stresses, are also
carried by the material points. Otherwise the governing
equations are solved in a support numerical mesh, which covers
853
3
3.1
3.2
EXAMPLES OF DYNAMIC FORMULATION

Wave propagation in a blasting problem
The dynamic formulation of the MPM is useful to study some

geotechnical problems such as the determination of stress and
deformation in the vicinity of a blasting.
In the case analyzed the detonation is applied in a fractured
granite rock mass, which is covered by a more superficial layer
of sand 5m thick. Both materials have been modeled using a
Mohr-Coulomb constitutive law (see parameters in Table 1)
which has been obtained from a linear approximation of the
rock failure Hoek-Brown criterion at a mean stress of 2MPa.
The problem is three-dimensional and, taking into account
two planes of symmetry, a cubic geometry is modeled (see Fig.
2). The blasting is simulated by means of a horizontal pressure
acting on a borehole 8 m long on one of the edges as shown in
Figure 2. This pressure is applied as a triangular ramp loading
during 0.034 seconds, with a maximum of 2.5 GPa at 0.017
seconds. The mesh was made denser in the vicinity of the
borehole.
Oedometric consolidation
Consider the consolidation of a soil defined in Table 2. The

sample is a 1m long column, in which traction of 1 kPa was
applied and maintained at the upper boundary. The bottom is
impervious.
The aim of this example is to show the difference between
the (static) Terzaghi analytical expression, and the dynamic
solution, calculated via the MPM code. Moreover, the effects of
damping in the dynamic solution has been analyzed.
Table 1. General characteristics of the granite rock and the sand.
granite
Material parameter
Specific weight (kN/m )
sand
25
23
Young modulus E (MPa)
10000
100
Poisson ratio
0.33
0.33
Cohesion c (kPa)
600
50
42
35
Frictional angle ()
Figure 2. Simulation scheme, dimensions

discretization of the blasting problem.
and
initial
The rapid application of the load generates a wave which

extends in all directions throughout the domain. The speed of
the wave propagation depends on the Young modulus and the
specific weight of each material: 250m/s in the upper sand and
2500m/s in the granitic rock.
The evolution of the calculated displacement field is
presented in the Figure 3. The maximum displacements are
concentrated in the area of the blasting and they are of the order
of 10-4m. The larger the affected area the lower is the
displacement amplitude of the wave front.
Figure 4 presents the stress paths for three points (P1, P2 and
P3) located at a depth of 20m and at distances of 10, 20 and
50m respectively from the origin of the blast. The Hoek-Brown
rock failure criterion with the corresponding parameters of the
granite is also represented in the figure. Only P1 reaches the
Hoek-Brown failure criterion.
Figure 3. Displacements produced by the pressure wave

propagation at different times after the blasting: (a) 0,01s; (b)
0,03s; (c) 0,06s.
Figure 4. Stress paths in the p-q plane for points P1, P2 and P3.
854
Two different simulations of the problem were made, the

first one is a purely dynamic one and the second one is affected
by an extra damping at the bottom, which was imposed with the
aim of reaching earlier the static solution.
Table 2. General characteristics of the tested soil.
Material parameter
23
10
2
Intrinsic permeability k (m )
10-10
Porosity n
0.3
Water viscosity (kg/ms)
10-3
Water bulk modulus K (MPa)
300
Figure 6. Evolution of the pore pressure for the deepest material

point.
Figure 5 shows the evolution of the pore pressure along

depth at different times for both simulations. Figure 6 provides
the evolution of the pore pressure of the material point located
at the bottom of the sample. The numerical solution is naturally
damped in any case because of the coupling term of the hydromechanical formulation, which is explained by water flow in
soil pores (at t2 both MPM numerical solutions fit the static
solution). However, the implementation of viscous boundaries
(extra damping) is essential to damp the solution as quick as
possible if the aim is to capture the quasi-static equilibrium. At
t1 (Fig. 5 and 6) the MPM solution with extra damping almost
adjusts the static solution while the MPM solution with fixed
boundary on the bottom still has a strong dynamic behavior.
The constitutive model used in both cases is the MohrCoulomb criterion. The first case is characterized by a frictional
material, while the second is a cohesive material. In order to
initiate the failure of the slopes the strength parameters were
suddenly decreased. In the first simulation, the friction angle
has been reduced from 42 to 28 whereas the undrained
strength was reduced from 100kPa to 10kPa. Other common
material parameters are given in Table 3.
Table 3. Material parameters for the simulation of slope stability cases
Material parameter
16
10
Poisson ratio
25
Figure 7a shows the initial particle distribution for both

simulations, and figures 7b and 7c show the two final
distributions after the failure. In both simulations large
deformations occur but the typology of the movement is
completely different. For the frictional material, a shallow
failure is developed and the main part of the movement occurs
during the first 50 seconds. On the contrary, the failure induced
for the cohesive material is deeper and in this case the time
elapsed to stabilize the slope is around 450 seconds.
This example shows the great importance of the strength
parameters and their evolution in the geometry and formation of
a failure. The method provides in a natural way the highly
deformed geometry of the slope after failure.
4.2
Figure 5. Comparison of analytical and MPM solutions (with

and without extra damping on the bottom) for one-dimensional
consolidation at different times (t1=0.02s, t2=0.1s, t3=0.2s,
t4=0.5s, t5=1s).
4
4.1
SLOPE FAILURES
Simple case
Two plane strain theoretical cases are presented below. Both

simulations have been solved using a purely mechanical
formulation and they concern slope failures with the same initial
geometry and boundary conditions (the lowest boundary of the
model is fixed and horizontal displacements are restricted in the
lateral boundaries.
855
Aznalcllar dam
The Aznalcllar dam failure was described in Alonso & Gens

(2006). In a recent contribution, Zabala & Alonso (2011)
described an MPM analysis of the dam using a strain softening
constitutive model for the foundation soil.
A significant result of the analysis was an accurate
prediction of the geometry of the failure surface. Also the first
few meters of displacement after the instability where modeled.
A saturated porous media was considered and the hydromechanical interactions were formulated in MPM. The model
was two-dimensional and a regular computational mesh was
used. A non-associated strain softening Mohr-Coulomb
constitutive law was implemented and calibrated for the clay
foundation. Figure 8 shows the development of the failure
surface preceding the final rupture. Figure 9 shows the
deformation of the mesh. The position of material points
provides a direct visual representation of the failure.
Figure 9. Model of Azalcllar dam few seconds after the tailings

liquefaction. Particle displacements are not amplified. (Zabala &
Alonso, 2011).
CONCLUSION
The Material Point Method is a potentially powerful tool in the

geotechnical engineering because its capabilities to model
dynamical problems and to integrate the analysis of failures and
the subsequent large displacements. Four examples have been
presented in this work, illustrating all this capacities in
mechanical and coupled hydro-mechanical frameworks.
6
ACKNOWLEDGEMENTS
The first author acknowledge the scholarship FPI provided by

the Spanish Ministry of Science and Innovation (MICINN).
Also acknowledge the support received from the Collegi
dEnginyers de Camins, Canals i Ports de Catalunya.
7
Figure 7. (a) Initial geometry and particle distribution for both

cases; (b) Final displacements for the frictional material; (c)
Final displacements for the cohesive material.
Figure 8. Construction sequence and development of contours of equal

equivalent deviatoric plastic strain (from Zabala & Alonso, 2011).
856
REFERENCES
Alonso, E. E., & Gens, A. (2006). Aznalcllar dam failure. Part 1: Field
observations and material properties. Gotechnique, 56(3), 165
183.
Andersen, S., & Andersen, L. (2009). Modelling of landslides with the
material-point method. Computational Geosciences, 14(1), 137
147.
Beuth L., Benz T., Vermeer P.A., Coetzee C.J., Bonnier P., Van Den
Berg P. (2007).Formulation and Validation of a Quasi-Static
Material Point Method, 10th International. Symposium on
Numerical Methods in Geomechanics (NUMOG), Rhodes,
Greece
Beuth, L., Benz, T., Vermeer, P. A., & Wickowski, Z. (2008). Large
deformation analysis using a quasi-static Material Point Method.
Journal of Theoretical and Applied Mechanics, 38(1-2), 4560.
Jassim, I., Stolle, D., & Vermeer, P. (2012). Two-phase dynamic
analysis by material point method. International Journal for
Numerical and Analytical Methods in Geomechanics.
doi:10.1002/nag
Sulsky, D., Zhou, S.-J., & Schreyer, H. L. (1995). Application of a
particle-in-cell method to solid mechanics. Computer Physics
Communications, 87(12), 236252. doi:10.1016/00104655(94)00170-7
Verruijt, A. (2010). An Introduction to Soil Dynamics.Springer. Berlin,
Heidelberg.
Zabala, F., & Alonso, E. E. (2011). Progressive failure of Aznalcllar
dam using the material point method. Gotechnique, 61(9), 795
808. doi:10.1680/geot.9.P.134
Zienkiewicz, O. C., & Shiomi, T. (1984). Dynamic behaviour of
saturated porous media; the generalized Biot formulation and its
numerical solution. International Journal for Numerical and
Analytical Methods in Geomechanics, 8, 7896.
Development of excess pore-water pressure in thawing process of frozen subgrade

soils: Based on analytical solutions and finite element method.
Dgel des sols et variation de la pression d'eau interstitielle: application de mthodes analytiques et
des lments finis.
G.Y.Yesuf & I. Hoff
Norwegian University of Science and Technology, Trondheim, Norway
J. Vaslestad
Norwegian Public Roads Administration, Oslo, Norway
ABSTRACT: The spring thaw of a frozen soil is controlled by boundary conditions and soil thermal properties. Frozen soils have
substantially reduced permeability and the melting water in the thaw front cannot drain through the still-frozen soil. Consequently,
temporary excess pore-pressure is generated in the process which degrades the shear strength of the soil. This will ultimately reduce
the bearing capacity in roads. In this paper, analytical solutions and a finite element method are used to estimate the thawing rate of
frozen soils, in which a very good agreement is obtained for one-dimensional thawing. Axisymmertic geometry was used in Abaqus
FEA to model the pavement layers with a sinusoidal surface temperature. From the numerical simulation, it was obtained that a
constant rate of thawing can be assumed for frozen subgrade layers for one directional top-bottom thawing. The excess pore-water
pressure largely depends on the initial ground temperature as well as on the magnitude of surface temperature.
RSUM : Le mcanisme de dgel des sols est dtermin par les conditions limites et les proprits thermiques des matriaux. Les
sols gels ont une permabilit sensiblement rduite. De plus, lors du dgel, l'eau ne se draine pas toujours au mme rythme que la
fonte. Une fonte rapide entraine un excs de pression interstitielle, ce qui diminue la rsistance au cisaillement et entrane une
diminution considrable de la portance des sols et des chausses. Ce papier prsente les rsultats de l'estimation du taux de dgel des
sols par des mthodes de rsolution analytique et des lments finis. Une trs bonne corrlation est obtenue dans le cas de la
simulation du dgel en une dimension. Les couches de chausses ont t modlises dans Abaqus FEA par gomtrie asymtrique, en
appliquant une courbe de temprature de surface sinusodale. Une simulation numrique a permis d'tablir l'hypothse d'un dgel
unidirectionnel depuis la surface, taux constant. L'excs de pression interstitielle dpend grandement de la temprature initiale du sol
et de la temprature de surface.
KEYWORDS: FEM, pore-water pressure, temperature, thawing, thawing rate
1
INTRODUCTION
pressures of up to 0.90m above the drainage level was

registered during thawing.
The problem of spring thawing has no exact solution.
Analytical solutions for heat conduction are well known and are
obtained from the Newmanns solution (Carslaw and Jaeger
1959). Nixon(1973) formulated an approximated analytical
solution from the theory of consolidation and principle of heat
conduction for the development of excess pore water pressure
following the thawing process. This analytical solution is valid
for thawing of soils over thick ice layers. The impact of
seasonal frost penetration on pavement has been widely studied,
with considerably less focus on thaw weakening from thawing
(Simonsen and Isacsson 1999).This paper discusses on the rate
of thawing (thaw advancement) in the frozen soil layers in
pavements and the subsequent excess pore water pressure. The
study is based on the existing analytical solutions and finite
element method (FEM). The general FEM program, Abaqus has
been used to model the thawing process. The thawing process is
widely understood qualitatively. For example, the type of
subgrade soils that are frost susceptible are well known
(Johnson et al. 1986; NPRA 2011) and some empirical
correlations exist relating the depth of frost penetration to the
Freezing Index (Andersland and Ladanyi 2004). The study
presented here focuses on the quantitative explanation of the
thawing process based on the thermal properties of pavement
materials and thermal boundary conditions. With a better
understanding of the thawing process, optimization process can
be carried out during the design phase, operation and
maintenance of roads.
Climate condition is one of the factors that affect design and

performance of pavements. Epecially in cold regions, seasonal
freezing and thawing process may occur in subgrade soils. The
extent of damage on the pavement surface due to freezing and
subsequent thawing of subgrade soils depends on many factors
such as the thermal gradient, availability of water in the sub-soil
layers, frost susceptibility of the soil, consolidation coefficient,
permeability and drainage conditions. If the rate of generation
of water exceeds the discharge capacity of the soil, excess pore
pressure will develop, which can lead to failure of foundations
and slopes (Morgenstern and Nixon 1971). A pavement
structure will be most susceptible to breakup during the period
when excess water cannot drain downward through still-frozen
soil. A major practical aspect of predicting the thawing
mechanism can be for effective road management (especially
for countries that imposed load restriction during spring
thawing) and maintenance programs. When the bound layer of
a road is thinner, the anticipated traffic load in the subgrade is
high. Consequently, the excess pore water pressure(in the short
term) during thawing increases, partly due to the phase change
from the ice state, and partly due to the additional load from the
traffic. The cumulative effect can be severe and this has been
true in many cases especially for low-traffic volume roads since
maintenance budgets are relatively low and appropriate
drainage is missing. Full scale tests conducted at the Vormsund
test road (Nordal and Hansen 1987) showed that the excess
pore-water pressure developed during the spring thaw was the
primary reason for the reduced bearing capacity. Pore water
857
1
1.1
Thermal properties of soils
The principle of heat transfer in frozen soils is governed by

conduction. The effect of radiation is negligible. The heat
transfer process by convection is also minimal for fine-grained
soils with very low permeability. During freezing, some of the
water film is removed and ice crystals partially fill the voids
between soil particles. This reduces the conductivity path for
soil with low moisture content. In the contrary, experimental
tests at high moisture content and densities showed increased
conductivities in the frozen state, since ice fills the pores
completely (Becker et al. 1992, Penner et al. 1975). The thermal
conductivity of ice is more than four times greater than that of
water (Penner 1970). In the thawing process of frozen soils, the
amount of water in the frozen state plays a significant role in the
development of pore water pressure. Some assumptions are
made in the analyses in this paper such as the frozen soil is fully
saturated, the heat transfer mechanism is only by conduction,
and the thermal conductivity of the soil is isotropic.
properties of the soil, listed in Table (1) are used both for the
analytical analysis and numerical simulation. For the numerical
input, temperature dependent thermal properties are used for the
frozen and thawed states. A frozen soil is almost impermeable
and a very low permeability, 1 x 10 m/s, is used for
the ground temperature less than zero degree Celsius.
2 ANALYTICAL AND NUMERICAL SOLUTIONS FOR

THE THAWING PROCESS
Figure 1. Specific heat, latent heat definition (Abaqus FEA, 2011)
Nixon and McRoberts (1973) studied on the thawing rate of

homogeneous frozen soil subjected to a step increase in
temperature from (Tg) in the ground to (Ts) at the surface. The
analythical formulla relating the depth of thawing to the square
root of time, based on Newmanns solution (Carslaw and Jaeger
1959) is shown in Eq. 1.
X=a t
(1)
Where X is the depth of thaw, t is the time and is a
constant determined from Newmans rigorous equation. When
the ground temperature is close to zero, the equation from
Newmann is simplified as (Nixon and McRoberts 1973);
Unit
Value
J/m.s.0C
m2/s
m/s
kg/m3
J/m3
J/kg
0
C
0
C
1.05
1.1 x 10-6
2.5 x 10-7
1820
1.73 x 108
3.34 x 105
12
0
The conductivity of the frozen soil is assumed to be twice

that of the thawed soil. Similarly, the stiffness of the frozen soil
is assumed to be 100 times that of the stiffness in the thawed
state. The amount of frozen water is directly related to the
moisture content. For fully saturated soils, a reasonable
assumption of void ratio can be made from the following
relationship.
(2)
Where
is the constant in Eq. 1.
u is the diffusivity of the unfrozen soil ( /.
K u is the thermal conductivity of unfrozen . . ).
cu is the volumetric heat capacity of unfrozen . ).
L is the volumetric latent heat of the soil ).
is the applied constant surface temperature ).
is the error function.
2.1
Table 1: Input parameters

Parameters
Thaw conductivity
Consolidation coefficient( )
Permeability(k)
Unit weight()
Latent heat of soil(volumetric)
Latent heat of water
Surface temperature
Ground temperature
e=
w* Gs
S
(3)
Where is the void ratio, is the water content, Gs is the
specific gravity of the soil, and is the degree of saturation
( 1 for fully saturated condition). In reality, the void ratio of
soils varies greatly upon freezing and thawing. The permeability
of the soil can be defined as a function of void ratio in the
numerical simulation.
Finite element analysis
In the thawing process, temperature has a direct effect on the

water flow field in saturated and unsaturated soils which
undergo drainage and consolidation upon thawing. As a result
of this, the heat flow and fluid flow equations are coupled
mathematically through the phase change component and an
optimization procedure is incorporated into the computational
scheme (Harlen 1973). In a saturated soil, the latent heat
absorbed/released on the thaw-freeze front has a major impact
on the rate of thawing. In the numerical scheme, the latent heat
can be defined in two ways (Xu et al., 2009). It can be included
in the heat conduction equations or it can be defined by using
temperature dependent specific heat as shown in Figure (1). To
ensure the accuracy of this method, the time increments or the
maximum temperature change in each increment should be
limited to assure the energy balance and a uniform temperature
field is defined as initial condition. In this analysis, the latent
heat is assumed to be released between -0.1 and 0. Thermal
858
Figure 2. Comparison of analytical solution and numerical simulation

the temperature data is established. A Fourier transformation is

used to obtain the Fourier coefficients which are used as input
in Abaqus to provide a smooth increment of temperature for
each time increment.
The stiffness of the thawed soil in the numerical analysis is

determined from Poissons ratio and the modulus which is
related to the coefficient of consolidation (Janbu 1970, Berntsen
1993). Some variables for predefined fields in Abaqus are
defined. The initial pore water pressure is set to zero. The initial
temperature of the frozen soil(ground temperature) in assumed
to be zero to compare the results with the simplified Neumanns
solution in Eq. 2.The soil is also considered to be fully saturated
prior to thawing. Detailed procedures for defining predefined
fields, initial conditions, and thermal boundary conditions
are available in the Abaqus FEA.The analytical solution from
(Eq. 2) has been compared with the result obtained from a
numerical analysis using axisymmetric geometry and coupled
temperature-pore pressure elements in Abaqus. The thawing
depth from the numerical simulation is obtained by plotting the
time at which the temperature is changed from negative to
positive) at selected nodes in the frozen soil layer. A very
good agreement is obtained from the analytical solution and
numerical simulation (see Figure 2).
2.2
Excess pore-water pressure

Figure 3: Numerical model
One of the consequences of spring thawing is that the frozen

water is melted upon thawing. Consequently, excess pore water
is generated depending on the overburden stress from the
pavement layers and external loading from the traffic. In the
case where a thick ice layer exists, an excess pore water
pressure can develop even from self-weight loading of the soil
lying on the ice layer. This phenomenon was modeled
analytically by Nixon(1973). The analysis is based on the
principle of heat conduction and Terzaghis one-dimensional
consolidation theory. From the coupled numerical analysis
(using Abaqus), it is possible to obtained excess-pore water
pressure. The amount of excess pore water pressure is very
sensitive the volumetric thermal expansion of pore water in the
voids of the frozen soil and the stiffness of the frozen soil. So, a
direct consideration of the output from the numerical analysis
may be misleading. Since we can accurately predict the
advancement of thawing by using the numerical analysis, we
can relate the development of excess pore water to the thawing
rate. A hydrostatic pore water pressure can be assumed for a
thawed soil if no additional loading exists. For example, for a
frozen subgrade soil under a pavement, the excess pore water
pressure will be the total overburden pressure (asphalt, base and
sub-base layers) including the loading from the traffic. This
assumption is valid for undrained conditions. In many cases,
subbase materials (aggregates) facilitate the dissipation of
excess pore water pressure. Then, post-thaw consolidation
follows. Detail analysis of one-dimensional thaw consolidation
is presented in Morgenstern and Nixon(1971).
2.3
Table 2: Thermal properties of the asphalt and base layers

Parameters
Unit
Asphalt
Conductivity
Specific heat
Coefficient of expansion
J/m.s.0C
J/kg.0C
/ 0C
Value
Base-course
0.75
0.5
920
850
2.2 x 10-5
3 x 10-6
Figure 4 Temperature variation during spring thawing
Assuming a uniform initial ground temperature Tg=-20C the

temperature distribution in the frozen subgrade due to the
change of surface temperature on the pavement surface is
shown in Figure 4. It is noted that it takes about 90 days for the
frozen layer to start thawing from the time since the surface
temperature has been greater than 0. Full scale field tests
(Nordal and Hansen 1987) showed a time period of 70 days for
the temperature measurement at 1.93m below the pavement
surface for the subgrade soil temperature to be changed from
negative to positive temperature(in degree celcius). Nordal and
Hansen measured the temperature variations at at depth of
0.05m, 0.15m, 0.63m, 0.93m and 1.93m. The measurements
showed that the surface temperature is higher than the data used
in our numerical analysis. In accounting this fact, the
approximation obtained from the numerical analysis can be
accounted for practical case studies.
The analytical solutions for temperature distributions (for
example Stephans formula) relate the thawing depth to be
Modelling of thawing subgrades in pavements
Most of the analytical solutions available in the literature for

the thawing process are based on a one step temperature
increment on the surface. In reality, the change of surface
temperature is neither a step change nor constant. It is closer to
a sinusoidal curve. An advantage is gained by using numerical
analysis for different boundary conditions and pavement layers.
An axisymmetric geometry is modeled in Abaqus as shown in
Figure 3. This modeling(geometrically) is a reasonable
approximation for isotropic behavior of pavement materials and
an efficient computation time is obtained for the numerical
thermal analysis. The assumed thermal properties of the asphalt
materials and base course are listed in Table 2. The frozen
subgrade is modeled in the same way described in section 2.1.
A sinusoidal surface temperature is considered based on a local
weather data in Norway (Figure 4). The sinusoidal equation for
859
3
proportional to the square root of time of thawing. Based on the

results from the FEM analysis, when sinusoidal surface
temperature and thermal properties of pavement layers such as
asphalt and base layers are considered, the thawing depth can be
directly proportional to the rate time (see Figure 5).
time. This assumption is valid for constant surface temperature.

The numerical simulation based on a sinusoidal surface
temperature has shown that for the case of frozen layers in
pavements, a constant rate of thawing is obtained. A higher
thawing rate in less permeable frozen soils results in high excess
pore water pressure. The late spring thawing can be predicted
from the change in pavement temperature from available
climatic data, and thermal and physical properties of the
pavement materials. This has a significant importance in road
design and maintenance planning in cold climate regions. The
development of excess pore water pressure highly depends on
the temperature distribution in the pavement layers and traffic
load and initial states. The excess pore water pressure
development is also largely dependent on the physical
properties of the thawed soil such as the coefficient of
consolidation and permeability.
4
ACKNOWLEDGEMENTS
The research is carried out at the Norwegian University of

Science and Technology (NTNU) with the financial support
from the Norwegian Public Roads Administration.
Figure 5: Thawing rate in frozen subgrade under a pavement.
An average of 110 days is required for the frozen layer to

start thawing for the given thermal properties and boundary
conditions assumed in this analysis. No significant difference is
observed for the variation of the initial ground temperature on
the thaw rate. Constant rate of thawing in subgrades(in terms of
mm/day) has been observed in different field tests reported in
Dor (2004).
Figure 6: Excess pore pressure at soil-ice interface for a constant

surface temperature. The curves are based on the analytical solution of
Nixon(1973).
It can be observed (in Figure 6) from analytical solution of

Nixon(1973) that the time required for the development of
maximum excess pore water pressure at the soil-ice interface
(thawing period) is the same regardless of the temperature
gradient . In the contrary, the maximum excess pore water
pressure generated when the surface temperature is 30, is
twice the maximum excess pore pressure generated at a constant
surface temperature of 10. This comparison is only for selfweight loading of the soil and the expected excess pore water
pressure can be very high depending on the overburden pressure
from the pavements and traffic loading.
3
CONCLUSION
In the previous analytical methods of thaw depth calculations,

the Stephans method is commonly used and the thaw depth is
assumed to be proportional to the square root of the thawing
860
REFERENCES
Abaqus FEA, D S Simulia. 2011 Dassault Systmes.

Andersland, O.B. and Ladanyi, B. 2004. Frozen Ground Engineering.
2nd ed. The American Society of Civil Engineers and John Wiley
& Sons, Inc.
Becker, B.R., Misra, A. and Fricke, B.A. 1992. Development of
Correlations for Soil Thermal Conductivity. International
Communications in Heat and Mass Transfer, 19(1), 59-68.
Carslaw, H.S. and J.C. Jaeger 1959. Conduction of Heat in Solids. 2nd
ed. Oxford University Press.
Berntsen, G. 1993. Reduction of bearing capacity during thawing(in
Norwegian), Norwegian Institute of Technology: Trondheim,
Norway.
Dor, G. 2004. Development and validation of the thaw-weakening
index. International Journal of Pavement Engineering,. 5(4), 185192.
Harlan, R.L. 1973. Analysis of Coupled Heat - Fluid Transport in
Partially Frozen Soil. Water Resources Research, 9(5), 1314-1323.
Janbu, N. 1970. Grunnlag i geoteknikk(in Norwegian)., Trondheim:
Tapir Forlag.
Johnson, T.C., R.L. Berg, E.J. Chamberlain,D.M. Cole. 1986. Frost
Action Predictive Techniques for Roads and Airfields: A
Comprehensive Survey of Research Findings. Cold Regions
Research and Engineering Laboratory CRREL report 86-18.
Morgenstern, N.R. and Nixon, J.F. 1971. One-dimensional
consolidation of thawing soils. Canadian Geotechnical Journal,
8(4), 558-565.
Nixon, J.F. 1973. Thaw-Consolidation of Some Layered Systems.
Nixon, J.F. and McRoberts, E.C. 1973. A study of some factors
affecting the thawing of frozen soils. Canadian Geotechnical
Journal, 10(3), 439-452.
NPRA. 2011. Hndbok 018: Road construction standards (in
Norwegian). Norwegian Public Roads Adminstration.
Nordal, R.S. and Hansen, E.K. 1987. The Vormsund Test Road, Part 4:
Summary report, Norwegian Road Research Laboratory.
Penner, E. 1970. Thermal Conductivity of Frozen Soils. Canadian
Journal of Earth Science, 7(3), 982-987.
Penner, E., Johnston, G.H. and Goodrich, L.E. 1975. Thermal
Conductivity Laboratory Studies of Some Mackenzie Highway
Soils. Canadian Geotechnical Journal, 12(3), 271-288.
Simonsen, E. and Isacsson, U. 1999. Thaw weakening of pavement
structures in cold regions. Cold Regions Science and Technology,
29(2), 135-151.
Xu, J., Abdella, B., Eltaher, A., and Jukes, P. 2009. Permafrost Thawing
- Pipeline Interaction Advanced Finite Element Model. in
Proceedings of the ASME 2009 28th International Conference on
Ocean, Offshore and Arctic Engineering, OMAE2009. Honolulu,
Hawaii, USA, 1-6.
Prediction of stress and strain for the seabed and production well during methane
hydrate exploitation in turbidite reservoir
Prediction
contraintes
et des dformations
lemer
fondetdedelapuits
mer pendant
et pour lelexploitation
puits pendant
Prdiction des
de stress
et dformation
pour le fondpour
de la
lexploitation
de mthane
dans
rservoir de turbidite
d'hydrate de dhydrates
mthane dans
le rservoir
duun
turbidit
Yoneda J.
National Institute of Advanced Industrial Science and Technology, Tsukuba, Japan
ABSTRACT: During MH production, there are concerns about the settlement of the seabed and the possibility that negative friction
will occur along production well due to change in effective stress induced by water movement due to depressurization, dissociation of
MH, methane gas generation and thermal change, which are all inter-connected. The authors have developed a multi phase coupled
simulator using finite element method named COTHMA. Stresses and deformation of methane hydrate vicinity production well and
the deep seabed ground were predicted which simulating NANKAI trough where is planned as Japan's first offshore production test
area.
RSUM : Pendant la production de gaz d'hydrate de mthane, il peut y avoir des phnomnes de tassement du fond marin et de
frottement ngatif autour du puits. Ces problmatiques sont dues des changements de la contrainte effective induits par un ensemble
de phnomnes coupls : coulements d'eau dus la dpressurisation, dissociation des hydrates de mthane, gnration de mthane et
changements thermiques. Les auteurs ont dvelopp un outil de simulation numrique multiphasique par lments finis, nomm
COTHMA. Les contraintes et les dformations au voisinage du puit de production et du fond marin en profondeur ont t simules
dans le cadre du site de NANKAI qui est prvu pour tre le premier site de test de production off-shore du Japon.
KEYWORDS: methane hydrate, effective stress, deformation, finite element, multi phase
1
INTRODUCTION
2. CIRCUMFERENCE ENVIRONMENT OF THE WELL
Recent investigations have indicated that methane hydrate (MH)

could become a potential future energy resource. In the MH
extraction project, a well is drilled into the sea floor from a
marine platform. Then, fluids in the well are either heated or
depressurized to induce MH dissociation and the dissolution of
methane gas is collected in-situ. During MH production, there
are concerns about the settlement of the seabed and the
possibility that negative friction will occur along production
well due to change in effective stress induced by water
movement due to depressurization, dissociation of MH,
methane gas generation and thermal change, which are all interconnected. The authors have developed a multi phase coupled
simulator
using
finite
element
method
named
COTHMA(Coupled thermo-hydro-mechanical analysis with
dissociation and formation of methane hydrate in deformation
of multiphase porous media). Reliability of the simulator is
being established by predicting experimental model tests and
performing parametric study (Sakamoto, 2010). In this paper,
predict stresses and deformation of methane hydrate vicinity
production well and the deep seabed ground which simulating
NANKAI trough where is planned as Japan's first offshore
production test area.
In this study, production well was constructed in the simple
geological model of NANKAI trough for evaluating the strain
of the seabed and stress which apply to the well by
depressurization. Joint elements were used for the interface
between different material, casing-cement-soil. And stress
changing have been evaluated during methane hydrate
production by calculating stresses of soil and cement along the
water depth.
861
2.1. Geological property of MH reservoir

Methane hydrate reservoir which is targeted in Japan's first
offshore production test is the sediment called turbidite. It has
changed from sand to mud gradually in 50cm and hundreds of
layer have overlapped with it. Methane hydrate bearing in this
sand layer. These methane hydrate reservoir exist under
hundreds meter overburden. In this research, the seabed ground
is targeted where hydrate reservoir has the mud layer for the cap
lock.
2.2. Composition of MH Production well
The production well will be constructed into the shallow
sediments in methane hydrate exploitation besides the oil
engineering. However, the production well must have bearing
capacity for heavy production equipment and itself. In drilling
process, firstly, the strata are drilled with muddy water.
Secondary, casing pipe is putted into borehole. Then, muddy
water between strata and casing pipe replace with cement slurry
from bottom of the casing pipe to the top of the well. Finally,
bearing capacity of this production well increase with cement
hardening.
3.
SIMULATION METHOD
Basic Features of Multiphase coupled analysis is as follows.

Analysis of complex processes on multi-phase (Solids,
liquid and gases).
Disregard the flow of solid phases (soil, hydrate and ice).
Treatment of ice solidification/melting.
Treatment of MH dissociation/re-formation.
Consider about mass change of each phase due to methane
hydrate dissociation and re-formation.
Consider the influence of phase changing and energy flow

rule target on solid, liquid and gas phase.
The temperature of soil particle, pore water, methane gas,
methane hydrate and ice is same in local area. It is assumed
that heat conduction is performed promptly.
Disregard the deformation of solid phase in equation of
continuity for hydrate and law of the conservation of energy.
Sea bottom
Point D
Point C
Point B
Point A
4.
Casing
Cement
Joint 1
Joint 2
Joint 3
SIMULATION MODELS
4.1. Geological Model and Boundary Conditions

A simulation was performed assuming MH production using the
depressurization method employed in the eastern Nankai
Trough region in Japan. The analysis was performed assuming
an elasto-plastic axi-symmetry problem. Finite element mesh
for model of seabed is shown on Figure 1 (a). The model,
consists of 18054 elements and 18512 nodes, has an area of
450m depth 1000m diameter, and is located at 1000 m water
depth. It is assumed that the layer 290m~340m from the ground
surface as the MH-bearing layer with a MH saturation level
which were investigated at the time of test boring in Nankai
Trough. The conditions for each boundary are follows. (1) Top
of the model are permeable for pore water and gas, and
temperature fixed. (2) Periphery (Right side) of the model is
permeable for water and gas, and temperature fixed. (3) Bottom
of the model is permeable for water and gas, and temperature
fixed. (4) Borehole (left side) is impermeable for water and gas
exclude the depressurization area, and zero heat flux. The
production well has three parts which are casing made with steel,
cement and soil. Then, it has three set of interfaces that is shown
in figure 3 (b). First interface (joint 1) is between casing and
cement. Interface between cement and soil is second (joint 2).
Third interface (joint 3) is between casing and soil. These
interface are modeled by using joint element which proposed by
Desai (1984). Methane hydrate reservoir was depressurized over
24 hours from depressurization area where the pore pressure
decreases from hydrostatic pressure to 3 MPa at bottom of the
borehole. This area was made to open hole. Methane gas is
produced by maintaining the pressure at the area of
depressurization for the next 60 days.
4.2. Material Parameter
Simulation was performed having assumed seabed ground to be
liner elastic and perfect plastic material. The material
parameters were shown in Table 1 & Table 2. Parameters which
have no core were determined from the research in the past.
5.
SIMULATION RESULTS
Figure 3(a) shows the effect of production on the distribution of

water pressure. The figure expands and shows the nearby area
from depressurization source. It is seen that the reduction in the
pressure is centered at the area of depressurization.
Depressurization area was extended rapidly in first 10 days, and
the tip of depressurized area attained 20m from production well.
The depressurized area expand in horizontally more next 10
days. The strata about 50m in radius was depressurized from the
production well after 60 day. The layer for which
depressurization was conspicuous is observed under methane
hydrate reservoir. This layer has high permeability for
horizontally, because the hydrate saturation compared low with
upper reservoir. The hundreds of sand and mud layer have
overlapped in hydrate reservoir which has various permeability,
(b)Modeling for
production well
(a) Geological modeling

Figure 1. Finite element analytical model
(18054 elements, 18512 nodes)
Table 1. Material parameters.
unit
Index
Elastic modulus
Poisson's ratio
Permiability
Porosity
MH saturation Sh
Temperature
(Van Genuchten)
n (Van Genuchten)
Immovement water saturation
Residual gas content
MH-bearing layer
MPa
mD
K
-
Mud layer
80
E=700Sh+100
0.4
0.4
Measured value of core
-4
-4
5.810
5.3
0.1
0.1
5.810
5.3
0.1
0.1
2650
1000
soil
kg/m
water
kg/m
gas
kg/m
MH
soil
water
gas
MH
soil
water
gas
MH
kg/m
J/(kgK)
J/(kgK)
J/(kgK)
J/(kgK)
J/(msK)
J/(msK)
J/(msK)
J/(msK)
Index
Unit
Joint 1
Joint 2
Joint 3
Friction angle
Cohesion
Shear modulus
Elastic modulus
45
2
28
80
20
0
28
80
20
0
28
80
Density
Soil specific heat
Thermal conductivity
913
1050
4190
2100
2010
1.7
2.915
0.586
0.03
0.45
Table 2. Interface strength
MPa
MPa
MPa
however, it turns out that it depressurize in general uniformly.

The results are because of high pressure difference about 10
MPa. Figure 3(b) shows the distribution of MH saturation ratios
with the decomposition of MH. The region spreads by about
20m wide from the production well at 10 day past. The area of
methane hydrate dissociated was spread gradually followed by
depressurization which was shown in Figure 3(a). It is observed
that the area spread horizontally 30m in 20 days, and 50m in 60
days. Dissociation of methane hydrate has not stopped yet after
the 60 days in depressurized area. In addition, methane hydrate
which exists 20m in radius from production well has not
product completely, because it has self-preservation effect.
Figure 3(c) shows the distribution of methane gas content.
Signs that methane is generated could be confirmed as methane
hydrate dissociate. The elements with a high gas content being
restricted to the range of 10m from the production well, though
the gas generated area was still spreading. Generated gases
moved at high speed with water which generated by
dissociation of methane hydrate too. It seems that the high gas
content elements generated because the gases from the
surroundings gathers for near production well. Figure 3(d)
shows the distribution of vertical displacement. It was
862
1 day
10 days
60 days
(b) Hydrate saturation
(a) Water pressure
(c) Gas saturation
(d) Vertical displacement
Normalized vertical displacement
Figure 3. Distribution of each value around production area.

1.0
0.5
0.0
-0.5
-1.0
0
Point
Point
Point
Point
10
A
B
C
D
20
30
40
50
60
70
Elapsed time (day)
Figure 4. Normalized vertical displacement of each point.
observed that there is a neutral section from depressurization

source horizontally which has not deformed vertically from the
figure. A lower part of reservoir heaved vertically by effect of
consolidation centered on depressurization source with 10 MPa
pressure difference. On the other hand, a upper part of reservoir
has deformed downward into the perpendicular. The
deformation near production well appeared greatly rather than
settlement of sea bottom in the result of 60 days. The area of
deformation is almost same as the area of a depressurization.
And furthermore, it is clear that there is a few influence of the
motion on the whole stratum in case of short production.
Relationship between vertical displacement of each point of
strata and elapsed time is shown in figure 4. Each point A to D
were shown in Figure 1 (b), and these points are located near
production well. Here, the figure shows normalized results by
maximum displacement for understanding qualitatively. Point A
shows maximum displacement where located at borehole
bottom. This point has heaved upward into the perpendicular
because the consolidations of methane hydrate reservoir and
lower layer. Point B has also shown some heaving, while Point
C has subsided. Therefore, it is expected that the neutral point
exists between Point B and C. And Point A which is sea bottom

hardly deformed. Any deformation is heading for convergence
in about 50 days. However, it is necessary to examine long term
analysis for understanding whole movement of seabed ground
during methane hydrate production.
Maximum and minimum principal stress vector of each
element were shown in figure 5(a). Maximum principal stress
illustrated in blue vector and minimum principal stress
illustrated in red vector in this figure. High horizontal stress
appeared in neighborhood of depressurization source in first day.
High stress generated by effective stress increase with reducing
pore water pressure, and the stratum was horizontally
compressed to the production well. Then, the vector diagram
changes gradually. High horizontal stress still appeared in
neighborhood of depressurization source in the result of after 10
days. However, High vertical stress has appeared on the ground
about 10m away for depressurization source. And the maximum
principal stress vectors are distributed like arch structure over
the upper and lower sides. Moreover it have supported upper
layer. Therefore, settlement of sea bottom hardly appears in
case of short production. It become clear that arching effect
prevent settlement of upper layer and sea bottom by a
depressurized area spreads almost circularly.
Figure 5(b) shows the shear strain distribution at the seabed.
Note that shear strains occur at the boundary of MH-bearing
layer and the upper/lower layer like a wedge as a result of
differential settlement. Shear stress which caused by differential
settlement becomes maximum in 10 days past from
depressurization start, and it reached about 2MPa shear stress
and 3% of shear strain in this analysis.
863
simulation.
It is confirmed that high tensile stress appear on cement
about 50m range above the depressurization area, and
compression stress appear on open hole which is
depressurization area. Moreover, it became clear that near Point
B where is a junction of a casing and open hole part becomes
neutral point.
1 day
6.
10 days
60 days
(a) Principal stress of each element

near depressurization area
(b) Shear stress
(Maximum stress, Black; Minimum stress, Gray)
Figure 5. Stress vector and shear strain by depressurization.

Normalized vertical stress of cement
Depth (m)
-1100
-0 .8
-0 .6
-0 .4
-0 .2
0 .0
0 .2
Point D
1 day
10 days
20 days
30 days
40 days
50 days
60 days
Compression
-10 50
-1.0
Tension
-1.2
-10 00
CONCLUSIONS
A multi phase coupled simulator using finite element method

named "COTHMA" had used for predicting stresses and
deformation of methane hydrate vicinity production well and
the deep seabed ground which simulating NANKAI trough
where is planned as Japan's first offshore production test area.
According to analytical results, depressurization area was
extended rapidly in first 10 days, and the tip of depressurized
area attained 20m from production well. the elements near
production well are compressed by increased effective stress
due to depressurization. Then, a lower part of reservoir heaved
vertically by effect of consolidation centered on
depressurization source with 10 MPa pressure difference. On
the other hand, a upper part of reservoir has deformed
downward into the perpendicular. And there is a neutral section
from depressurization source horizontally which has not
deformed vertically.
The maximum principal stress vectors are distributed like
arch structure over the upper and lower layer. Moreover it have
supported upper layer. Therefore, deformation of seabed ground
near production well is greater than bottom of sea's. However,
high tensile stress appear on cement about 50m range above the
depressurization area, and compression stress appear on open
hole which is depressurization area. It was found that the
settlement of the seabed cause negative friction along
production well.
7.
ACKNOWLEDGEMENTS
This research has been conducted under the auspices of the

MH21 Research Consortium on the national methane hydrate
exploitation program planned by ministry of economy, trade
and industry (METI). Thanks are due to our sponsors and
partners.
We appreciate insightful discussions and supports of Dr.
Houlang and Mr. Takiguchi.
-1150
-12 00
-12 50
Point C
8.
-1300
REFERENCES
Point B
Depressurization source
Point A
-1350
Figure 6. Normalized vertical stress y of cement
Figure 6 shows the relationship between water depth and

vertical stress of cement during methane hydrate production.
The results were plotted for each different elapsed time, and
compression is positive in the figure. In addition, it was
normalized by maximum stress to make qualitative
understanding easily. Firstly, compressive stress appeared from
seabed to -1280m and tensile stress appeared below on the first
day. The initial stress by self-weight is distributed linearly.
However, tensile stress has occurred because production well
was jerked by the settlement of depressurized area. Ten days
after, tensile stress was applied dramatically on where -1100m
to -1300m. It is considered that the high tensile stress acted on
cement through the interfaces of cement and strata because the
upper layer deform downward by methane hydrate reservoir had
consolidated. The stresses decline 50 days after in this
Desai, CS, Zaman, MM, Lightner, JG and Siriwardane, HJ. 1984.

Thinn-layer for interfaces and joints, Int. J. of Numerical &
Analytical Methods in Geomechanics, 8, 19-43.
Sakamoto, Y, Masayo, K, Kuniyuki, M, Norio, T, Takeshi, K and
Tsutomu, Y. 2009. Numerical Study on Dissociation of Methane
Hydrate and Gas Production Behavior in Laboratory-Scale
Experiments for Depressurization: Part 3-Numerical Study on
Estimation of Permeability in Methane Hydrate Reservoir. Int J
Offshore and Polar Eng, 19(2), 124-134.
864

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Foreword

ISSMGE The State of the Society (2009-2013)

Distinguished Colleagues, Dear Friends,

My vision as President was

Fig. 1 Presidents of ISSMGE

Fig. 2 The 2009-2013 ISSMGE Board Members (in India)

3. The tenure of the chairs of the TCs is four years renewable

THE BOARD (2009-2013)

I had a great team of 11 Board members who helped me

We have a total of 86 member societies (Fig. 4). On the map of

BOARD LEVEL COMMITTEES

One of the first step was the creation of Board Level

Fig. 4 ISSMGE Member Societies in 2013

We had a great discussion on the possible change of name of the

THE NAME OF OUR SOCIETY

Fig. 3 ISSMGE Organization Chart.

Some of the accomplishments and changes created by these

Fig. 5 Location of the TC Chairs and sponsoring member societies

The Technical Committees (TCs) were reorganized in three

Table 1 ISSMGE Technical Committees

Laboratory Stress Strain Strength Testing of Geomaterials

Physical Modelling in Geotechnics

Geo-Mechanics from Micro to Macro

Underground Construction in Soft Ground

Limit State design in Geotechnical Engineering

The TCs were given the opportunity to create an honour lecture

Webinars are lectures presented over the internet as follows.

Fig. 7 Webinar series and location of computers connected to the first

1. Scour and Erosion Briaud, USA, 23rd Aug 2011

2. Intelligent Compaction Correia & Chang, Portugal, 25th

SAN DIEGO, USA

In 2009, we had the Terzaghi Oration which is selected by the

Fig. 8 ISSMGE Awards

Fig. 10 President Briaud on the road

11 THE ISSMGE FOUNDATION

Fig. 9 The 80 places I visited during my Presidency.

13 THE INTERNATIONAL JOURNAL OF

Fig. 11 ISSMGE 22 Foundation donors

Fig. 13 GeoMap within GeoWorld: the new geotechnical engineers

Fig. 12 ISSMGE 42 Corporate Associates

21 THE PROGRESS REPORTS

17 THE ISSMGE BULLETIN

Fig. 16 Improved reliability of geotechnical projects (courtesy of

TEXAS A&M UNIVERSITY

To finish I will borrow a saying from ASFE. When it comes to

Fig. 18 The Professional family

8th Terzaghi Oration

Protecting society from landslide hazard and mitigating the

The ISSMGE hosted seven Terzaghi Orations. Table 1 lists the

Landslides represent a major threat to human life, constructed

Over the past decade, the geotechnical profession has moved in

though belonging to after-the-fact sagacity, lessons learned

THE VESTFOSSEN SLIDE

The slide occurred in 1984 and involved 50,000 m3 of soil that

Table 3. Impact of natural disasters in Europe (1900-2000)

OVERVIEW OF CASE STUDIES

Terzaghi Oration / Allocution Terzaghi

the sum of driving forces. The calculations considered strain

100 below 12 m. The overconsolidation ratio below the drying

Figure 5 presents the results of the limit equilibrium stability

Table 5. Result of limiting equilibrium analyses of Vestfossen slide.

Figure 5. Result of limiting equilibrium analyses of Vestfossen slide

Figure 3. Stress-strain curves and effective stress paths from triaxial