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  • Offshore Site Investigation and Geotechnics: Integrated Geotechnologies - Present and Future

    Încărcat de

    Sharon_SK
    560 vizualizări690 pagini
    It is with great pleasure that the Offshore Site Investigation and Geotechnics (OSIG) committee welcomes you all to London in this Olympic year, and to the 7th International Offshore Site Investigation and Geotechnics Conference. This conference is the longest running conference series specialising in offshore survey and geotechnical engineering. It is unique in providing a dedicated forum where geology, geotechnical investigation and construction engineering are all discussed together. The conference has grown progressively and this year we have our highest ever number of papers, covering all aspects of offshore geology and engineering. The range and breadth of subjects reflect the key areas of current developments with a traditional emphasis on the oil and gas sector, but a growing and strong interest in renewable energy developments. The keynote paper by Eric Cauquil emphasises the need for integration and how we can develop confidence in our ground model, and hence reduce project uncertainties and risk. Richard Jardine and coauthors provide an insight into the complex and increasingly relevant issue of the cyclic loading of soils in their keynote paper. These are complemented by a wide range of papers covering all aspects of the development of an offshore project. We have several papers describing geological studies, including case studies for offshore windfarms, reflecting the growing importance of the renewables industry. There are also papers on pile design, cyclic loading and jack-up spudcan engineering, reflecting the strong interest in geotechnical engineering that is a central theme of this conference. We are also honoured to be asked to host the very first Bramlette McClelland Lecture and we extend a very warm welcome to the International Society for Soil Mechanics and Geotechnical Engineering. Bram McClelland was a huge inspiration to all practitioners of offshore geotechnical engineering, having a great enthusiasm for our industry and building up a company from a small office in Houston to an international company with offices throughout the world. The lecture has been established as the global prestige lecture for offshore geotechnics and the papers will form a key reference in the future. The first lecture will be given by Dr James D (Don) Murff, who knew Bram well and has been at the leading edge of offshore foundation design throughout his career. He will share his lifetime perspective with us, giving an insight into both theory and practice. A further innovation at this conference is the inclusion of sessions in conjunction with Géotechnique and Near Surface Geophysics. These periodicals are leaders in their respective fields and combining them with the conference provides some top quality papers which are easily accessible to the global survey and engineering community. These papers provide an excellent complement to the conference papers and add an additional dimension, as well as widen the access to the conference. I also need to thank the OSIG organising committee, paper reviewers and all the staff at the Society for Underwater Technology for their hard work and efforts in making this conference happen and enabling it to continue the successful track record of previous conferences.

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    It is with great pleasure that the Offshore Site Investigation and Geotechnics (OSIG) committee welcomes you all to London in this Olympic year, and to the 7th International Offshore Site Investigation and Geotechnics Conference. This conference is the longest running conference series specialising in offshore survey and geotechnical engineering. It is unique in providing a dedicated forum where geology, geotechnical investigation and construction engineering are all discussed together. The conference has grown progressively and this year we have our highest ever number of papers, covering all aspects of offshore geology and engineering. The range and breadth of subjects reflect the key areas of current developments with a traditional emphasis on the oil and gas sector, but a growing and strong interest in renewable energy developments. The keynote paper by Eric Cauquil emphasises the need for integration and how we can develop confidence in our ground model, and hence reduce project uncertainties and risk. Richard Jardine and coauthors provide an insight into the complex and increasingly relevant issue of the cyclic loading of soils in their keynote paper. These are complemented by a wide range of papers covering all aspects of the development of an offshore project. We have several papers describing geological studies, including case studies for offshore windfarms, reflecting the growing importance of the renewables industry. There are also papers on pile design, cyclic loading and jack-up spudcan engineering, reflecting the strong interest in geotechnical engineering that is a central theme of this conference. We are also honoured to be asked to host the very first Bramlette McClelland Lecture and we extend a very warm welcome to the International Society for Soil Mechanics and Geotechnical Engineering. Bram McClelland was a huge inspiration to all practitioners of offshore geotechnical engineering, having a great enthusiasm for our industry and building up a company from a small office in Houston to an international company with offices throughout the world. The lecture has been established as the global prestige lecture for offshore geotechnics and the papers will form a key reference in the future. The first lecture will be given by Dr James D (Don) Murff, who knew Bram well and has been at the leading edge of offshore foundation design throughout his career. He will share his lifetime perspective with us, giving an insight into both theory and practice. A further innovation at this conference is the inclusion of sessions in conjunction with Géotechnique and Near Surface Geophysics. These periodicals are leaders in their respective fields and combining them with the conference provides some top quality papers which are easily accessible to the global survey and engineering community. These papers provide an excellent complement to the conference papers and add an additional dimension, as well as widen the access to the conference. I also need to thank the OSIG organising committee, paper reviewers and all the staff at the Society for Underwater Technology for their hard work and efforts in making this conference happen and enabling it to continue the successful track record of previous conferences.

    Drepturi de autor:

    © All Rights Reserved
    Descărcați ca PDF, TXT sau citiți online pe Scribd
    Indicator pentru conținut neadecvat
    560 vizualizări690 pagini

    Offshore Site Investigation and Geotechnics: Integrated Geotechnologies - Present and Future

    Încărcat de

    Sharon_SK
    It is with great pleasure that the Offshore Site Investigation and Geotechnics (OSIG) committee welcomes you all to London in this Olympic year, and to the 7th International Offshore Site Investigation and Geotechnics Conference. This conference is the longest running conference series specialising in offshore survey and geotechnical engineering. It is unique in providing a dedicated forum where geology, geotechnical investigation and construction engineering are all discussed together. The conference has grown progressively and this year we have our highest ever number of papers, covering all aspects of offshore geology and engineering. The range and breadth of subjects reflect the key areas of current developments with a traditional emphasis on the oil and gas sector, but a growing and strong interest in renewable energy developments. The keynote paper by Eric Cauquil emphasises the need for integration and how we can develop confidence in our ground model, and hence reduce project uncertainties and risk. Richard Jardine and coauthors provide an insight into the complex and increasingly relevant issue of the cyclic loading of soils in their keynote paper. These are complemented by a wide range of papers covering all aspects of the development of an offshore project. We have several papers describing geological studies, including case studies for offshore windfarms, reflecting the growing importance of the renewables industry. There are also papers on pile design, cyclic loading and jack-up spudcan engineering, reflecting the strong interest in geotechnical engineering that is a central theme of this conference. We are also honoured to be asked to host the very first Bramlette McClelland Lecture and we extend a very warm welcome to the International Society for Soil Mechanics and Geotechnical Engineering. Bram McClelland was a huge inspiration to all practitioners of offshore geotechnical engineering, having a great enthusiasm for our industry and building up a company from a small office in Houston to an international company with offices throughout the world. The lecture has been established as the global prestige lecture for offshore geotechnics and the papers will form a key reference in the future. The first lecture will be given by Dr James D (Don) Murff, who knew Bram well and has been at the leading edge of offshore foundation design throughout his career. He will share his lifetime perspective with us, giving an insight into both theory and practice. A further innovation at this conference is the inclusion of sessions in conjunction with Géotechnique and Near Surface Geophysics. These periodicals are leaders in their respective fields and combining them with the conference provides some top quality papers which are easily accessible to the global survey and engineering community. These papers provide an excellent complement to the conference papers and add an additional dimension, as well as widen the access to the conference. I also need to thank the OSIG organising committee, paper reviewers and all the staff at the Society for Underwater Technology for their hard work and efforts in making this conference happen and enabling it to continue the successful track record of previous conferences.

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    din 690

    Proceedings of the 7th International Conference

    1214 September 2012


    Royal Geographical Society, London, UK

    OffshOre site investigatiOn


    and geOtechnics
    Integrated Geotechnologies
    Present and Future
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    FOREWORD

    Peter Allan
    OSIG Conference Committee Chair

    It is with great pleasure that the Offshore Site Inves- very warm welcome to the International Society for
    tigation and Geotechnics (OSIG) committee wel- Soil Mechanics and Geotechnical Engineering. Bram
    comes you all to London in this Olympic year, and to McClelland was a huge inspiration to all practitio-
    the 7th International Offshore Site Investigation and ners of offshore geotechnical engineering, having a
    Geotechnics Conference. This conference is the great enthusiasm for our industry and building up a
    longest running conference series specialising in off- company from a small office in Houston to an inter-
    shore survey and geotechnical engineering. It is national company with offices throughout the world.
    unique in providing a dedicated forum where geol- The lecture has been established as the global pres-
    ogy, geotechnical investigation and construction en- tige lecture for offshore geotechnics and the papers
    gineering are all discussed together. will form a key reference in the future. The first lec-
    ture will be given by Dr James D (Don) Murff, who
    The conference has grown progressively and this knew Bram well and has been at the leading edge of
    year we have our highest ever number of papers, offshore foundation design throughout his career. He
    covering all aspects of offshore geology and engi- will share his lifetime perspective with us, giving an
    neering. The range and breadth of subjects reflect the insight into both theory and practice.
    key areas of current developments with a traditional
    emphasis on the oil and gas sector, but a growing A further innovation at this conference is the inclu-
    and strong interest in renewable energy develop- sion of sessions in conjunction with Gotechnique
    ments. and Near Surface Geophysics. These periodicals are
    leaders in their respective fields and combining them
    The keynote paper by Eric Cauquil emphasises the with the conference provides some top quality pa-
    need for integration and how we can develop confi- pers which are easily accessible to the global survey
    dence in our ground model, and hence reduce project and engineering community. These papers provide
    uncertainties and risk. Richard Jardine and co- an excellent complement to the conference papers
    authors provide an insight into the complex and in- and add an additional dimension, as well as widen
    creasingly relevant issue of the cyclic loading of the access to the conference.
    soils in their keynote paper.
    I also need to thank the OSIG organising committee,
    These are complemented by a wide range of papers paper reviewers and all the staff at the Society for
    covering all aspects of the development of an offshore Underwater Technology for their hard work and ef-
    project. We have several papers describing geological forts in making this conference happen and enabling
    studies, including case studies for offshore windfarms, it to continue the successful track record of previous
    reflecting the growing importance of the renewables conferences.
    industry. There are also papers on pile design, cyclic
    loading and jack-up spudcan engineering, reflecting
    the strong interest in geotechnical engineering that is a
    central theme of this conference.

    We are also honoured to be asked to host the very


    first Bramlette McClelland Lecture and we extend a

    1
    2
    BRAMLETTE McCLELLAND:
    OFFSHORE GEOTECHNICAL
    ENGINEERING PIONEER

    Alan G Young, PE
    Geoscience Earth & Marine Services, Houston, Texas
    (a Forum Company)

    Bramlette McClelland started his pioneering journey and was also active as a leader in the Boy Scouts and
    in 1946 to help develop the technical practice of off- numerous other civic and community activities.
    shore geotechnical engineering. The offshore indus-
    trys state of knowledge was in its infancy in the He was a founder and President of McClelland Engi-
    areas of offshore engineering geology, site investiga- neers Inc., a geotechnical engineering company based
    tion methods, laboratory testing methods appropriate in Houston, Texas. From its humble start, the com-
    for marine sediments and analytical methods avail- pany expanded to become an international company
    able for foundation design. In the tradition of other with 14 offices around the world. His leadership skills
    early pioneers, he brought to bear ingenuity, leader- attracted senior fellow employees, such as Mr John A
    ship skills, a zest for knowledge and determination Focht, Jr, Mr Robert L Perkins and Mr William J Em-
    in the development of simple, logical and innovative rich, along with a team of outstanding geotechnical
    solutions for a wide range of extremely complex off- engineering professionals, to support his pioneering
    shore problems. efforts to enhance the practice of offshore geotechni-
    cal engineering. The companys technical contribu-
    My admiration for Bram, as he preferred to be tions to the offshore foundation design practice were a
    called, started the day that I joined McClelland En- significant factor in the development of marine petro-
    gineers, Inc. His lack of pretention, devotion to his leum resources worldwide.
    fellow man and dedication to our profession were his
    guideposts and a source of inspiration to all. Bram
    was an excellent speaker, writer, educator, artist, vi-
    sionary, researcher and, of course, engineer who mo-
    tivated hundreds of geotechnical engineers to pursue
    excellence while applying sound, practical ap-
    proaches to our engineering practice. He possessed
    an uncanny skill for listening attentively to all peo-
    ple, while motivating them to develop their own so-
    lutions to problems that often seemed overwhelming
    to them.

    He was a remarkable person with a broad range of


    interests and hobbies, and was totally devoted to his
    family, church, community and profession. He and
    his beloved wife for 60 years, Virginia, had five
    Photograph of the first offshore geotechnical investigation per-
    children Darcy, Tom, Terry, Jeff, and Martha as formed by Bram McClelland (circa 1947)
    well as seven grandchildren. A founding member of
    Emerson Unitarian Church in Houston, he served as Bram led the pioneering efforts in the late 1940s to
    president of the board of trustees for several years, develop exploration methods for conducting site in-

    3
    vestigations from a floating vessel in the Gulf of He also helped establish the first design practice for
    Mexico. He also conducted the first site investiga- offshore piles and other foundation types. His lead-
    tion for offshore pile design in 1947 for the Califor- ership helped motivate oil companies to fund re-
    nia Co. (Chevron) working from a small temporary search programmes investigating the performance of
    platform with a portable drilling rig. offshore piles exposed to lateral and axial loading
    under cyclic and extreme hurricane conditions. The
    Reflecting on the success of the venture at the 1994 first offshore pile design standard was written with
    OTC Distinguished Achievement Award Luncheon, his help, and it was later adopted by the American
    he said in his acceptance speech: Petroleum Institute as its recommended guidance to
    Fortunately, the water was only 20 feet deep, be used by the offshore industry. He worked with the
    and the Gulf of Mexico that summer was like a National Science Foundation to establish the Off-
    duck pond. Thank God we found better ways shore Technology Research Center at Texas A&M
    to go about it! University and the University of Texas at Austin.

    He understood the need of obtaining high-quality His contributions to our profession extended over
    samples, and helped develop and implement the almost five decades. During this period he wrote
    methods of open-hole drilling and wire-line sam- numerous papers, worked on many technical com-
    pling. He recognised the need to conduct in situ test- mittees and gave lectures to universities and profes-
    ing and implemented the early design of tools for sional societies. Two papers received coveted
    conducting in situ vane and cone penetrometer tests awards from ASCE. His paper, Soil Modulus for
    to investigate and characterise the engineering prop- Laterally- Loaded Piles, co-authored with John A
    erties of offshore sediments. In 2009, he and his co- Focht, Jr, received the James Laurie Prize. Another
    authors were awarded the American Society of Civil paper, Problems in Design and Installation of Off-
    Engineers (ASCE) Hall of Fame award for their shore Piles, co-authored with Focht and Bill Em-
    1971 Offshore Technology Paper entitled, Wire- rich, received the ASCE State-of-the Art of Civil
    Line Probe for Deep Penetration Measurements Engineering Award. In addition to these awards, he
    Ocean Bottom Sediment Strength. was the Ninth Terzaghi Lecturer in 1972, giving a
    paper and lecture entitled, Design of Deep Penetra-
    tion Piles for Ocean Structures.

    He received his masters degree in Civil Engineering


    from Purdue University and his bachelors from the
    University of Arkansas. For his outstanding techni-
    cal accomplishments, he was designated a Distin-
    guished Engineering Alumnus by Purdue University
    in 1965. He was elected to Engineering Hall of Fame
    at the University of Arkansas in 1972, and he re-
    ceived an honorary doctor of engineering degree
    Photograph of Bram McClelland testing and classifying soil from Purdue University in 1984.
    samples offshore (circa 1940s)

    Mr McClelland was also a pioneer in developing


    many of the methods used for offshore foundation
    design. He consulted with the early designers of mo-
    bile exploration jack-up rigs, educating them on po-
    tential soil conditions and suitable foundation types
    to allow safe operation during extreme hurricane
    loading conditions. He was a visionary in terms of
    understanding the risk associated with moving these
    massive rigs to new sites and avoiding catastrophic
    failure. He helped establish methods to analyse the
    foundation performance of mobile jack-up rigs and
    trained geotechnical engineers in the best practices Bramlette McClelland receiving the OTC Distinguished
    for providing this service to rig owners. Achievement Award (May 1986)

    4
    Bram was inducted into the National Academy of career to developing new analytical methods and
    Engineering in 1979 and became a Distinguished improving the practice of offshore foundation de-
    Member of the ASCE in 1986. He served as a mem- sign. I am confident that Bram would be proud to
    ber of the Marine Board of the National Research learn Don Murff is the first presenter of the
    Council, including a term as the Chairman in 1985. McClelland Lectures.
    The Distinguished Achievement Award was given to
    him from the Offshore Technology Conference in
    both 1986 and 1994.

    He was founding board member of the Associated


    Soil and Foundation Engineers (now known as
    ASFE, Inc). He was also a founder and Chairman of
    the Board of Terra Insurance Company. These two
    entities helped educate practising engineers on loss
    prevention to limit their professional liability expo-
    sure and provide liability insurance required to prac-
    tice engineering in our litigious world.

    He is credited with bringing the concept of organisa-


    tional peer review to the design profession via
    ASFE. On 11 October 2005, Bram and ASFE were
    recognised by ASCE for their visionary leadership of
    the peer review programme, which was celebrating
    its 25th anniversary since its creation. ASCE heartily
    endorsed Engineering News Records recognition of
    this programme as one of the 125 most significant
    construction industry innovations of the prior
    125 years. Bram was humbled by the recognition and
    stated:

    Of all the contributions Ive tried to make to


    my profession, peer review has been my
    proudest accomplishment.

    Mr McClelland died on 14 April 2010 in Houston,


    Texas, at the age of 89. He was a remarkable person
    and enjoyed a good life. His strong character, pio-
    neering efforts and numerous professional contribu-
    tions signify why the International Society of Soil
    Mechanics and Geotechnical Engineering (ISSMGE)
    decided to honour Bram by establishing the Bram-
    lette McClelland Lecture. His commitment to our
    profession and example of devoting high standards
    throughout his professional career were an inspira-
    tion to his peers and young engineers who knew him.
    His pioneering role in offshore geotechnical engi-
    neering will be honoured in the future by selecting
    other experts in geotechnical engineering to present
    the Bramlette McClelland Lecture.

    The ISSMGE Offshore committee in February 2012


    selected Dr James D Murff to present the first Bram-
    lette McClelland Lecture. Dr Murff knew Bram and
    was also inspired by him to devote his professional

    5
    6
    INTRODUCTION TO DR JAMES D (DON)
    MURFF: THE FIRST McCLELLAND
    LECTURER

    Dr James D Murff, or Don as he prefers to be ing the offshore industry of the value of centrifuge
    called, was born in 1941 in Houston, Texas, and testing. He also led numerous API research projects
    raised in West University Place when it was a small with Prof Lee, Prof Olson, Prof ONeill, Profs Coyle
    bedroom community on the outskirts of town. In and Briaud, and Prof Tang on pile capacity topics
    1963 he obtained a Bachelor of Science and Engi- such as rate effects, cyclic degradation and reliabil-
    neering from the US Military Academy at West ity. He had a profound influence on offshore practice
    Point. He joined the US Army Corps of Engineers and was the contributing principal author to several
    and served in Texas, Panama and Vietnam. His foundation sections of the API RP 2A-WSD
    meritorious service in South Vietnam earned him the Planning, Designing, and Constructing Fixed Off-
    Bronze Star Medal and the Army Commendation shore Platforms. He authored the sections for the de-
    Medal. sign of shallow foundations (1976), piles in sand
    (1983), piles in clay (1986), the RP 2A conversion to
    Upon his return to the USA, he attended Texas LRFD (1993), and the assessment of existing struc-
    A&M University from which he obtained MS and tures (1994).
    PhD degrees in 1970 and 1972. He then joined the
    offshore division of the Exxon Production Research Prolific as he already was, during his employment at
    Company in Houston, Texas. Throughout the years, Exxon Don undertook yet another daunting endeav-
    he advanced through various levels of responsibility our. In 1990 he became an Adjunct Professor at
    in offshore geotechnical and earthquake engineering. Texas A&M University and, for two years, he de-
    In this capacity he was responsible for planning, veloped and taught a graduate course in Marine
    conducting and implementing geotechnical research; Foundations. This is when I had the pleasure of
    developing geotechnical specifications and design meeting Don for the first time. Don would commute
    methodology for major Exxon platform installations; from Houston to College Station once a week to
    and consulting and troubleshooting for Exxon affili- teach a 4hr class on Monday afternoons. He would
    ates. He eventually achieved the position of Senior start each class with a quote. Many of his students,
    Research Advisor, one of Exxons highest technical including myself, had yet to realise how profound
    levels. Until his retirement in 1999, Don was the go- they were. I cannot resist quoting my favourite:
    to expert and ultimate authority for all geotechnical The White Rabbit put on his spectacles.
    matters for the largest publicly traded oil and gas Where shall I begin, please your majesty?
    company in the world. If Don said, No, they would
    he asked. Begin at the beginning, the King
    not do it; if Don said, Yes, everybody felt good
    said, very gravely, and go on til you come
    about doing it. to the end; then stop.
    In parallel with his career at Exxon, Don was very Lewis Carroll, Alices Adventures in Won-
    active in industry committees, particularly the derland
    American Petroleum Institute (API) Geotechnical
    Resource Group, of which he was a member from This is but one example of the many ways through
    1976 to 2001, and the Chairman from 1978 to 1985. which Don instilled his students with a lifelong
    He led the research project on centrifuge research guidance on how to construct a rigorous argument,
    for offshore piling with Prof RF Scott. This was pio- teach a class, write a report or a technical paper, or
    neering work that became instrumental in convinc- simply conduct oneself as an engineer.

    7
    After his retirement from Exxon in 1999, Don re- Over the last 20 years, I have had the privilege and
    sumed his academic activities and, for ten years, was honour to know Don as a teacher and educator, a
    a Visiting Professor at Texas A&M University. colleague and a mentor. It is therefore with a pride
    and pleasure beyond words that I, on behalf of the
    Don is prolific in published works, with 34 refereed ISSMGE and its Technical Committee 209 on Off-
    journal publications, 2 book chapters, and 60 papers shore Geotechnics, hereby award him the First ISS-
    in conference proceedings. He is also a sought-after MGE McClelland Lecture.
    speaker with more than 24 invited lectures and pan-
    els. His work focused on: applications of centrifuge
    testing and the use of limit analysis for pile founda- Philippe Jeanjean, PhD, PE, M ASCE
    tion; shallow foundation; pipelines; suction anchors; Chairman, ISSMGE TC209, Offshore Geotechnics
    plate anchors; and jack-up foundations in silica and 13 September 2012
    calcareous soils. Some of his internal Exxon publi-
    cations have also been incredibly influential. His
    1982 company memo entitled, Proposed Modifica-
    tions to CAM Clay Model, became the basis for the
    generalised cam-clay model in the commercial finite
    element program ABAQUS, and is referenced in the
    theory manual.

    Dons awards and recognitions are numerous.


    Among others, in 2010 Don was named Distin-
    guished Graduate of the Texas A&M Zachry De-
    partment of Civil Engineering. In 2008, he was
    Elected Distinguished Member of the American So-
    ciety of Civil Engineers. Between 2007 and 2010,
    four of Dons papers published in the 1970s and
    early 1980s were inducted to the ASCE Offshore
    Technology Conference Hall of Fame. In 2006 he
    received the API 30-Year Service Award and Sub-
    committee Resolution of Appreciation. In 1996 he
    was the Honors Lecturer for the University of
    Texas/Texas A&M University Offshore Technology
    Research Center. In 1994 he was the Distinguished
    Lecturer in Geotechnical Engineering, Centre for
    Cold Ocean Resources Engineering, Memorial Uni-
    versity of Newfoundland.

    In 2012, the Dr Don Murff 70 Endowed Fellowship


    was established at the Texas A&M University in
    Dons name to recognise his enormous contributions
    to the industry.

    When talking to the people that worked with Mr


    McClelland, they will say that the hallmark of Mr
    McClelland, his company and the engineers that
    worked with him was the absolute and uncompro-
    mising integrity with which they conducted them-
    selves. This legacy is alive and well with Don, a
    man of his word, who always delivers more than he
    promises, never lets external pressures compromise
    the quality of his advice, and always genuinely wel-
    comes and seeks challenges to his reasoning (even
    from the quietest and youngest voices).

    Today, Don remains a powerful and comforting


    voice in our industry. He still serves as a consultant,
    and many operators continue to call on him for his
    expert opinion and wisdom.

    8
    INAUGURAL McCLELLAND LECTURE:
    ESTIMATING THE CAPACITY OF OFFSHORE FOUNDATIONS

    JD Murff, PhD PE, Dist M ASCE


    Consultant, Austin, Texas, USA
    Formerly Visiting Professor, Texas A&M University, College Station, Texas, USA
    Formerly Senior Research Advisor, Exxon Production Research Co, Houston, Texas, USA

    Abstract
    This paper describes a range of techniques for estimating the capacity of offshore foundations, which has
    always been a main issue in foundation design and remains so today. The paper, however, takes a tack that is
    slightly out of the mainstream by emphasising methods of plastic limit analysis rather than more traditional
    approaches. It begins with a brief history of offshore geotechnical developments, describing how design
    methods have evolved for shallow foundations and pile foundations, and the types of loads, site conditions
    and foundation geometries encountered. A number of simple solutions are provided with detailed example
    problems. This paper proposes that plastic limit analysis methods have the potential to supplement and
    enhance more traditional methods.

    1. Introduction can lend significant advantages to some of the more


    traditional methods. The fact that PLA is underutil-
    I am sincerely honoured to be invited to give the in- ised by practising engineers stems partly from a lit-
    augural McClelland Lecture. I am humbled by the erature that tends to be heavily mathematical and of-
    task before me as I sincerely wish to produce some- ten arcane. The main purpose of the paper therefore
    thing that Bram McClelland would have appreciated. is to take a small step towards demystifying the con-
    At first I leaned toward a subject that more charac- cepts for the mainstream using a number of detailed
    terised his expertise and interest engineering geol- examples. The examples are intentionally simple
    ogy, site investigation and foundation design. On ones so that detailed results can be presented in-
    further reflection however I concluded that Bram de- depth explanation of the theory.
    lighted in developing engineers who followed their
    own interests, not in his image, but in their own Many of the problems encountered in offshore foun-
    unique ways. That is the kind of leader he was. This dation engineering are particularly well suited for
    epiphany led me to select a topic that has long been applying PLA methods. The paper will first provide
    a passion of mine bridging the gap, sometimes a general overview of foundation types that are used
    chasm, between theory and practice. I believe this is in the offshore environment. This will be in an his-
    what he would have wanted from me. torical context starting from early offshore begin-
    nings, such as piers and jackets, to modern issues of
    Estimating foundation capacity has always been a deep-water applications. In the illustrations of the
    central issue in foundation analysis and design. analysis techniques involved, the paper will define a
    Various different methods are employed in this prac- limited number of idealised foundations along with
    tice, many of which involve ad hoc assumptions and typical loading scenarios. It will then demonstrate
    empirical models. While these methods have served how capacity estimates can be made using a range of
    the profession well, advancements have been made available solutions in the framework of PLA. Typi-
    that have not always been fully exploited. This paper cal cases will be analysed including shallow founda-
    focuses on one such advancement, plastic limit tions, pile foundations and systems of these types. In
    analysis (PLA), a methodology that is theoretically the process special emphasis will be placed on char-
    sound, internally consistent and surprisingly simple acterising results using multi-axial failure interaction
    to apply. In the authors experience, this approach diagrams. Finally, the paper will discuss the similari-

    9
    ties and differences between PLA methods and more relatively small owing to the approximately 18ft wa-
    traditional limit equilibrium approaches. ter depth. It is unlikely that there was any knowledge
    of the soil properties and the axial pile capacity was
    2. A Brief History probably based on pile driving formulae such as the
    Engineering News method (Teng, 1962) which was
    Offshore drilling was initially carried out from piers common practice at the time. The installation of this
    extending from the shore as early as the late 1800s, drilling system marked the birth of the modern off-
    as shown in Figure 1. Over the next 50 years, off- shore industry.
    shore drilling was done from a wide variety of plat-
    forms including barges, piled platforms and dredged
    islands. These platforms were sited in the shallow
    bays, marshes, canals, etc., in coastal areas such as
    the Gulf Coast, California coast, Lake Maracaibo
    and the Caspian Sea, among others.

    Figure 2: Kerr-McGee installed the first offshore platform out


    of the sight of land
    The installation of the Kerr-McGee structure was fol-
    lowed in rapid succession by construction of a num-
    ber of other structures. Platform evolution took two
    distinct paths: fixed platforms for production and
    temporary platforms for exploration drilling. The
    jack-up or self-elevating platform (Figure 3a) and the
    floating system (Figure 3b) became the favoured con-
    cepts for exploration drilling structures, but other
    types such as submersibles and posted barges, espe-
    cially for very shallow water, have also been em-
    ployed. These concepts will not be discussed further,
    but instead the paper will concentrate on the founda-
    Figure 1: Drilling and production from piers in late
    tions for permanent production platforms.
    19th century

    The first fixed offshore structure out of the sight of


    land, shown in Figure 2, was installed 10.5 miles
    from the Louisiana shore in 1947 by Brown and
    Root for the Kerr-McGee Corporation. The follow-
    ing is a summary of a description in the book, Off-
    shore Pioneers (Pratt et al., 1997). The drilling deck
    was 38 58ft, barely large enough for the drilling
    derrick. The platform was tended by a large supply
    barge 260ft long. The mooring system for the barge
    consisted of 19 wooden pilings or dolphins arranged
    to buffer the platform from the barge. The platform
    was founded on sixteen 24in steel pipe piles driven
    (a) (b)
    104ft into the seabed. The structure itself was verti-
    Figure 3: Exploration drilling (a) jack-ups operate in water
    cally sided and resembled scaffolding with the piles depths of approximately 100 m or less; and (b) floating vessels
    braced with 9 3/4in pipe to a point 2ft above mean operate in deep water
    low tide. Presumably the structure had mud mats to
    provide temporary support prior to pile installation. The prefabricated pile founded template structure
    Whether there was any account taken of the lateral termed steel pile jacket (SPJ) soon emerged as the
    loads is unknown, but the overturning loads were structure of choice for permanent production facili-

    10
    ties. These structures have bases larger than the hard, flat bottom conditions were often addressed
    decks that is, the sides were sloped or battered to with a new structure type the concrete, gravity
    provide improved resistance to lateral loads and based structure (GBS, see Figure 5). The GBS was
    overturning moments. The concept evolved to ad- found to have significant advantages over conven-
    dress various fabrication, installation and structural tional platforms. These structures have large diame-
    performance issues that were encountered. ter, single piece bases of sometimes 100m or more,
    with shear skirts that penetrate the seabed and pro-
    A schematic of a typical structure is shown in Fig- vide lateral resistance to waves of 100ft or more.
    ure 4a and the actual structure is shown in Figure The foundation is essentially shallow, but the com-
    4b. Note the two types of piles: the main piles are plex multi-axial loading environment and non-
    inserted in and welded to the jacket legs, and skirt
    homogeneous soil conditions present a challenge not
    piles are inserted and grouted into sleeves attached
    only for site investigations and interpretations, but
    near the base of the structure. This configuration
    distributes the overturning loads relatively evenly for foundation capacity analysis as well.
    and adds some redundancy to the overall founda-
    tion capacity. Because of the very soft soils present
    where most of these structures are placed, these
    jackets also have shallow foundations, called mud
    mats, that are used for temporary support before
    and during the piles installation. This basic struc-
    tural/foundation concept, albeit with significant
    improvements and site modifications, has remained
    the primary production platform for shallow water
    up to the present.

    Figure 5: Concrete GBSs are widely used in the central North


    Sea
    Major discoveries in very deep water, such as in the
    Gulf of Mexico, the east coast of South America,
    and the west coast of Africa, have presented still
    new challenges for the marine geotechnical engi-
    neer. In these areas floating systems are primarily
    used to develop the resources, and mooring of these
    systems becomes a major focus. There are a number
    of floating system types and many variations on
    (a) (b) each type. The anchors for the mooring systems in-
    clude a range of concepts including piles, drag em-
    Figure 4: Fixed bottom structures (a) schematic; and bedment and vertically loaded anchors, and suction
    (b) shallow water platform
    caissons.
    SPJs have been employed in a wide range of water
    The tension leg platform with vertical tethers or ten-
    depths and load environments, such as waves, cur-
    dons is usually anchored with piles to resist tension
    rents, ice and earthquakes. The tallest platform of
    or uplift loading as shown in Figure 6a A few of
    this type is Shells Bullwinkle structure at 526m these structures have been anchored with large grav-
    (1725ft) in height and in a water depth of 41m ity bases which typically use ballast to resist signifi-
    (1350ft). Water depths in this range are considered cant parts of the uplift load, for example the sus-
    about the practical limit for SPJ platforms. The fun- tained uplift, whereas inverse bearing capacity and
    damental natural period becomes such that the dy- skirt friction may be designed to resist the peak envi-
    namic response under wave loading is a limiting ronmental loads.
    condition. It therefore becomes more cost effective
    to use floating structures with very long natural pe- Among the other floating structure types are the spar
    riods. (see Figure 6b) and the floating production system
    (FPS, see Figure 6c). These structures have mooring
    The major discoveries in the North Sea, starting in lines that are anchored as discussed earlier. In addi-
    the late 1960s, posed some different challenges to tion, there is a range of submerged, bottom founded
    the offshore industry from those in the Gulf of Mex- facilities deployed in deep water, including mani-
    ico. The huge fields, severe winter storms and the folds, bases for steel catenary risers, subsea produc-

    11
    tion systems, pipelines and pipeline end terminals this problem lies in the making of idealisations
    (PLETs), to name a few. These structures are gener- of the physical world. Now we are all familiar
    ally subjected to multi-axial loads and are often sup- with the process of making idealisations, but
    ported by shallow foundations or mud mats, al- we may indeed be so familiar with it that we
    though suction caissons are also used. Another almost lose sight of the fact that we are making
    approach to support such facilities is to augment idealisations at all.
    mud mats with short, relatively rigid pin piles set in
    It is important to keep in mind the underlying ideali-
    the mats corners.
    sations involved when carrying out calculations.
    Given that the problems must be idealised, how can
    the results be used to predict behaviour or carry out
    designs? In this regard the author is reminded of a
    quote (the source of which has unfortunately been
    lost) of personal and professional importance: the
    purpose of computing is insight, not numbers. It is
    insight that meant to be achieved in these calcula-
    tions. How sensitive are the solutions to things un-
    known? How likely is it to err in characterising the
    input to models? How well do idealisations represent
    reality? What are the consequences of performance
    of foundations outside expected bounds?
    (a) (b)
    While the aim will be to illustrate general ap-
    proaches to solving a range of foundation problems,
    this paper will consider shallow foundations and
    piles as the primary examples and, for these founda-
    tion types, the idealisations implicit in the methods
    described. The paper will focus almost exclusively
    on analysis under undrained conditions, partly be-
    cause it makes the explanations simpler, and partly
    because it is the more common offshore situation.
    The paper will first consider the analysis and design
    of shallow foundations.

    3. Shallow Foundations
    (c)
    Figure 6: Deep water production systems (a) tension leg plat- As discussed earlier there are a number of different
    form; (b) SPAR system; and (c) floating production system offshore applications for shallow foundations and
    each one brings its own set of issues. The following
    This added resistance can help to reduce the neces- sections will discuss a number of the design issues
    sary mat dimensions which can save on installation and how these can influence the idealisation used in
    costs. The number of different applications for mat the analysis and interpretation of analysis results.
    and mat-pile foundations seems to be growing rapidly There will then be a brief discussion on conventional
    to include foundations on which to park various tools analysis methods leading up to more detailed discus-
    and hardware used in development temporarily. This sions of plasticity analysis methods for situations
    paper considers several of the foundation concepts that fall outside the realm of classical methods.
    discussed earlier. It will idealise the foundation and
    typical load conditions, and demonstrate methods for 3.1 Practical issues for designing offshore shallow
    estimating ultimate capacities. As such, a brief men- foundations
    tion of the concept of idealisation seems in order. In 3.1.1 Strength characterisation
    Engineering Plasticity (1969), Calladine states: One of the primary inputs to any capacity calcula-
    tion is the soil strength profile. Typical offshore
    how can mathematics, which is so clear and strength profiles are soft clays, although sands and
    precise, and in so many ways simple, be ap- over-consolidated clays are also encountered. Of
    plied to the physical world which, although ap- course the strength characterisation must be consis-
    parently consistent, is many sided and ex- tent with the method selected for analysis. The is-
    tremely complex? The key to the solution of sues that must be addressed include the following:

    12
    x Is the relevant strength characterisation drained or 3.1.3 Foundation geometry
    undrained behaviour? This will of course depend The foundation geometry will clearly influence the
    on the load characteristics and the drainage condi- methods of analysis. Issues include the following:
    tions in the soil and at soil-foundation interfaces.
    x What is the foundation shape? Analytical solu-
    x What is the resolution of the site investigation? tions are mostly limited to strip footings and cir-
    Site investigations for pile founded structures
    cular footings. Empirical adjustments are required
    sometimes have rather coarse sampling intervals,
    for rectangular footings. Other shapes have to be
    so associated shallow soil profiles may have sig-
    treated as special cases.
    nificant uncertainty in the region critical to shal-
    low foundation performance. x Does the foundation have skirts? When skirts are
    x Is the strength profile best idealised as uniform, included, conduits are required to allow water to
    linearly increasing, layered or otherwise? Con- escape from the skirt compartment during place-
    ventional bearing capacity formulae are based on ment on bottom.
    uniform strength profiles. Limited analytical solu- x Does the foundation have holes in the base to re-
    tions for non-uniform profiles are also available, duce consolidation times? Further, holes can
    and numerical solutions such as finite element squeeze out some of the soft soil at the interface,
    methods are capable of analysing very general
    as well as reduce the time required to relieve suc-
    profiles.
    tion forces, if foundation removal is required.
    x What is the interface soil strength? There is almost
    always a thin veneer of very weak soil right at the x Is the foundation a single footing or a system of
    mudline, such that a flat plate placed on this layer footings, such as a mud-mat system for a plat-
    would have little sliding resistance under form? Designing a foundation within a system of
    undrained conditions. This often suggests the need footings requires consideration of the system as a
    for skirts, or at least assessing how much the inter- whole. For example, the system performance will
    face strength will improve with consolidation? affect the loads that are applied to any individual
    x Will the soils be subjected to cyclic loading? footing.
    How will the strength profile be modified to ac-
    count for this? This list outlines some of the considerations that
    should be taken into account when developing a
    x Is scour an issue? Can scour undermine the foun-
    model for analysing a shallow foundation, carrying
    dation, or reduce its effective embedment?
    out the calculations and interpreting the results.
    3.1.2 Load characterisation 3.2 Conventional methods
    The load characteristics also have a significant influ- 3.2.1 Theory
    ence on problem idealisation. The issues that must This section covers conventional bearing capacity
    be addressed include the following:
    equations, as well as exact solutions to idealised
    conditions. The development of classical methods
    x Is the foundation subjected to multi-axial load-
    for assessing the bearing capacity of shallow founda-
    ing? The primary load of interest is often a verti-
    tions is built on Prandtls solution (1921) for a strip
    cal load, but modifications to analysis methods
    can account for lateral and moment loading as footing on the surface of a weightless, frictional ma-
    well. Torsional loading is a case that needs spe- terial with cohesion and the extension by Reissner
    cial treatment. (1924), which adds the effect of surcharge to
    Prandtls solution. Although this is concentrating on
    x How do the loads vary with time? Are the loads
    undrained behaviour, the relevant solution is a sub-
    of short duration, such as wave or earthquake
    set of the general frictional models, and hence fric-
    loading, or are the loads sustained?
    tion will have to be briefly considered. Prandtl de-
    x Is part of the foundation subjected to uplift load- veloped his solution from first principles for the 2D
    ing? Will the foundation have to be removed after problem of a strip footing. The 2D governing differ-
    its use? If so, how will the suction be broken?
    ential equations of equilibrium provide two equa-
    x Is the foundation to be placed on a slope, which tions in three unknowns: normal stresses and ,
    would result in increased lateral loading and and the shear stress (see Figure 7).
    overturning?
    x If skirts are employed, is the self weight of the The required third equation is the yield condition for
    structure at installation adequate to achieve full the material, in this case the Mohr-Coulomb failure
    penetration? criterion:

    13
    V

    45 45

    Vy
    Wxy
    y
    Wxy B
    Vx Vx
    Wxy Figure 8: Conventional bearing capacity failure mechanism
    Wxy
    Terzaghi also used a value of 5.7 for rather than
    x Vy the theoretical solution of 5.14. The term was not
    Figure 7: General stress state in a body under load rigorously derived but was based on ad hoc assump-
    tions regarding the stress conditions within the fail-


    

     ure mechanism resulting from soil self weight. There
    
    are numerous values for the term found in litera-
    The solution is normally written in the form:  ture (Vesic, 1972), and because of the sensitivity to
    friction angle, the value of the term varies
     widely. Clearly, the self weight term in the equation
    
    becomes relatively more important as the width of
    where is the total vertical capacity per unit length; the footing increases. Terzaghi (1943) also modified
    is the footing area per unit length; is the soil co- the equation to account for embedment and the
    hesion; is the effective surcharge pressure at the shape of the foundation. In addition, various other
    level of the footing-soil interface; and and are corrections for these effects have also been pub-
    dimensionless functions of soil friction angle (). lished (e.g. Brinch Hansen, 1970; Meyerhof, 1953).
    Note that for a material with no cohesion and no
    surcharge, the theoretical bearing capacity for the Many modifications to the classical equation have
    weightless material is zero. The forms of the func- been made by subsequent workers in the field to in-
    tions ( and ) are well documented in literature clude the effects of lateral loading and overturning
    (e.g. American Petroleum Institute (API), 2000). For moment. Using Prandtls approach, Green (1952)
    the special case of (i.e. undrained loading) derived a rigorous solution to the problem of in-
    is substituted for to denote undrained shear clined loading of a rigid punch (footing) on a
    strength. For this case the solution is purely cohesive material (undrained strength), as
    and . follows:

    Figure 8 shows one of the possible failure mecha-  



    nisms corresponding to the characteristic stress solu-
    tion (although mechanisms are not necessarily where:
    unique, the calculated capacity is) for the undrained

    solution. The solution shown consists of rigid 45  
    right triangular wedges beneath the footing and
    along the free surface. The transition zone between where is the average shear stress, , with as
    the two is a radial shear fan in which the radial ve- the lateral load. Figure 9a shows the failure mecha-
    locity is zero and the angular velocity ( ) is con- nism corresponding to this solution and Figure 9b
    stant. As will be discussed in a subsequent section, shows the normalised versus interaction dia-
    elements of this solution are useful in constructing gram. Figure 9b also shows the interaction diagram
    approximate solutions to more complex problems. for a case with increasing soil strength (discussed
    later). Note the similarities to the mechanism for
    The Prandtl equations have been modified to include pure vertical load. Meyerhof (1953), Brinch Hansen
    a semi-empirical term to account for the added (1970), Vesic (1975) and others have proposed load
    strength of the soil due to self-weight, such as pro- inclination correction factors that approximate the
    posed by Terzaghi (1943), giving: behaviour of this solution. This solution satisfies
      equilibrium within the mechanism, but according to

    Houlsby and Puzrin (1999) the stress state has never
    where  is the effective unit weight, is the footing been extended into the rigid region required to be
    width and is a dimensionless function of . considered a complete solution. Interestingly it can

    14
    be shown to be an upper bound as will be demon-
    strated in a subsequent section.
    (a)
    V
    L L

    W &
    45
    M B
    45-Z

    B
    (b) B
    Figure 10: Brinch Hansens eccentricity correction

    In 1973, Davis and Booker published a finite differ-


    ence solution to the problem of undrained bearing
    capacity of a strip footing on the surface of a soil
    with increasing strength with depth. The solution
    was presented in the following form:

     
    
    where is the soil strength at the surface (footing
    soil interface), is the rate of increase in undrained
    strength with depth, and is a dimensionless func-
    tion of the parameter . This solution explic-
    Figure 9: Greens solution (1955) for footing under inclined
    load (a) mechanism; and (b) interaction diagram itly describes the important effect of the strength
    gradient on the unit bearing capacity. For example, it
    In cases where moments are applied to the footing, shows that a wider footing will have higher unit ca-
    the eccentricity or effective offset of the vertical pacity because the failure mechanism is forced
    load () is: deeper into the soil where the strength is greater.

      A number of empirical modifications to the given


    solutions to account for real world complexities have
    been published. For example, various solutions for
    To account for this effect, Brinch Hansen (1970)
    layered soils, such as a soft layer overlying a hard
    proposed that the footing area be reduced so that the
    layer (Brown and Meyerhof, 1969) or sand over clay
    centroid of the effective area of the reduced footing
    (Hanna and Meyerhof, 1980), are available to revise
    is at the point of action of the equivalent offset verti-
    designs as required.
    cal load. An example of this modification is shown
    in Figure 10. This is a conservative approximation as 3.2.2 Applications
    it satisfies conditions for a lower bound solution Probably the earliest applications for bearing capac-
    that is, it satisfies equilibrium and can be shown to ity theory in the offshore industry were for designing
    be at or below yield. mud mats. The first edition of the API recommended
    Subsequent to the publication of these solutions, a practice, RP 2A-WSD (1969), has a very simple sec-
    number of exact solutions have been found using tion which provides formulae for the vertical capac-
    finite difference techniques to integrate the 2D gov- ity of a surface footing on clay and sand. For exam-
    erning equations. Sokolovskii (1965) published a ple, for mats and spread footings on clay RP 2A-
    book of such solutions including problems of bear- WSD states, in its entirety:
    ing capacity, retaining walls and slopes under vary- The ultimate vertical bearing capacity, , of
    ing boundary conditions. Cox et al. (1961) published clay shall be resolved by the equation:
    solutions for the bearing capacity of a circular foot-
    ing on the surface of a weightless Mohr-Coulomb  
    material. This was extended to include materials where is the undrained shear strength of clay
    with weight by Cox et al. (1962). and is the effective overburden pressure.

    15
    There are several things to note regarding this rec- samples that were (a) not representative of the in-
    ommendation. creasing strength profile and (b) probably dis-
    turbed as near mudline samples tended to be. This
    x The equation is intended for vertical load only
    combination of safety factor and very conserva-
    and hence is intended only for support of the
    tive strength assessment can sometimes lead to
    SPJs on-bottom weight. It does not take into ac-
    excessively large mud mats and, in fact, cases
    count the lateral and overturning loads that are
    have occurred where the entire base of an SPJ has
    likely to occur even in a mild environment when
    been one continuous mat.
    an operational storm occurs before the piles
    can be installed. There is no reference to sliding
    x This problem arises when the recommended
    stability under lateral load. SPJ mud mats are
    safety factor is taken literally. In this case, no
    generally flat, steel or timber mats that sit di-
    penetration of the mats was allowed since if a mat
    rectly on the unprepared seabed. As such, the
    sliding resistance of the mats is almost negligi- penetrated it was by strict definition at a safety
    factor of 1.0. As a practical matter however small
    ble. Figure 11 shows typical mud mat layouts
    penetrations are not particularly harmful where
    for SPJs. Probably the reasons there have not
    been more incidents of sliding off station is that the strength gradient is significant as the increas-
    ing strength profile tends to be a self correcting
    the lateral resistances of partially penetrated
    feature of the system. In this case it is often pos-
    horizontal members at the mudline and the ex-
    tensions of structure legs, called leg stubs, that sible to bound the potential penetration and judge
    typically penetrate into the soil several feet. whether that is an acceptable outcome.

    78 ft. x The equation is intended for a single footing only,


    not for a system of footings.

    68 RP 2A-WSD also had a brief section for footings on


    ft.
    sand, which has many of the same issues. These two
    sections comprised the only guidelines for shallow
    foundations and remained unchanged through sev-
    16 inch dia. eral editions, with no provisions were made for slid-
    horizontal framing
    ing stability. A more comprehensive section for
    (a) (b)
    shallow foundations was finally added to RP 2A-
    Figure 11: Mud-mat layout for steel piled jacket (a) schematic WSD in the tenth edition published in March 1979.
    of shallow water platform mud mats; and (b) deeper water In this edition the guidelines published by Vesic
    mud mats (1972) were the primary source and included most
    of the classic bearing capacity concepts discussed in
    x The factor 7.4 is the product of 5.7 (Terzaghis this section, including independent checks for slid-
    strip footing factor) and 1.3 (Terzaghis shape ing stability. These additions were still intended
    factor for a square or circular footing), that is, the primarily for the design of SPJ mud mats, but their
    provision implicitly assumes the mat shape. This inclusion was inspired by the introduction of GBSs
    version is somewhat not conservative as the bear- in the North Sea in the 1970s.
    ing capacity factor is high and a rectangular ver-
    sus strip footing shape is implicitly assumed. As discussed earlier, the GBS is a large diameter
    structure that is especially suited for the hard, flat
    x The equation is for a uniform strength soil profile seabeds in parts of the central North Sea. For most of
    and does not account for the more typical off- these structures, the controlling design loads are lat-
    shore case of an increasing strength with depth. eral loads so that the critical failure mechanism is
    The engineer is faced with picking an appropriate sliding. As such, the importance of establishing an
    shear strength as no guidance is offered in RP accurate soil strength profile near the seabed became
    2A-WSD. apparent. One of the key innovations was the addition
    of skirts to the base of the structure. These skirts were
    x RP 2A-WSD prescribes a factor of safety of 2.0. usually thin steel sheets that penetrate vertically into
    One issue that immediately arises is the possibil- the seabed, typically 13m in length, and provide a
    ity that the mats will penetrate slightly into the positive shear connection with the sea floor.
    seabed because of the weak soils that are typi-
    cally found on the seabed. Oftentimes the The addition of skirts to the base of a mat was not
    strength selected has been taken from shallow without precedent. For example, some mat-type

    16
    jack-up rigs have skirts but are usually limited to the lower bound method, and will be the primary topic
    periphery of the mat. As such, they add some pas- in this paper. It has the added advantage of sharing
    sive resistance but do not necessarily force a sliding many of the attributes of the so-called limit equilib-
    failure on a plane through the skirt tips. An example rium method, which is the geotechnical engineers
    of a skirted mat is shown in the schematic in Figure traditional approach to solving capacity problems.
    12. The skirts are arranged in a grid pattern on the The bound theorems were elucidated by Drucker
    base of the structure with the spacing of the grid and Prager (1952). A version of the upper bound
    small enough to ensure the critical sliding mecha- theorem due to Calladine (1969) is as follows:
    nism is at the tips of the skirts. This recognition of
    the need for skirts to develop lateral resistance had a If an estimate of the plastic collapse load of a
    carryover effect for other shallow foundations, such body is made by equating internal rate of dissi-
    as mud mats that were to be placed on an unprepared pation of energy to the rate at which external
    seabed in other offshore developments. It is an im- forces do work in any postulated mechanism of
    portant design element today, and a discussion of the deformation of the body, the estimate will be
    importance of skirts was included in the tenth edi- either high or correct.
    tion of API RP 2A-WSD (1979).
    This requires the following:

    (1) constructing a possible collapse mechanism


    that is kinematically admissible (that satisfies
    the volumetric constraints within the body, i.e.
    the material does not separate or penetrate
    other material and satisfies the velocity bound-
    ary conditions);
    (2) deriving a virtual work equation by setting the
    work rates of external loads to the internal en-
    ergy dissipation rates (EDR) within the body;
    Vertical Skirts in
    Vertical Skirts in Long
    Direction Short Direction (3) solving the equation for the unknown external
    load, or scale factor for a load envelope; and
    Figure 12: Schematic of shear skirts
    (4) repeating the process varying geometric pa-
    The shallow foundation additions made in this edi- rameters (if any) describing the mechanism to
    tion have been maintained, with minor revisions to find the minimum collapse load for that
    the present-day edition (2000). However, very re- mechanism.
    cently a separate publication, RP2 GEO (2011), has
    been published which provides significantly more The validity of the bound theorems is dependent on
    detail on foundation design. This document is in- the following standard assumptions of plasticity
    tended to support various API publications regarding theory.
    offshore systems, such as RP 2A (fixed bottom x The yield surface, , is convex in stress
    structures), RP 2SK (moorings), and RP 2T (TLP space.
    foundations). An excellent detailed description of
    x Principal stresses and principal strain rates are
    RP2 GEO including a detailed background was pub-
    aligned in stress space.
    lished by Jeanjean et al. (2011).
    x Plastic strain increments ( ) are normal to the
    3.3 Plastic limit analysis detailed mechanisms yield surface such that:
    This section discusses methods for analysis of shal-
    low foundation using PLA. Such techniques are ap-  

    proximate methods that are less rigorous than the
    exact characteristics solutions. However, they are where is a positive scalar. This equation is some-
    much more flexible in their ability to address more what abstract and can be difficult to visualise its
    complex problems, such as non-homogeneous soils, meaning.
    multi-axial loading, foundation embedment, etc.
    Conceptually it means that the stresses that brought
    3.3.1 Theory the material to yield are the ones that control the
    For this discussion, PLA refers to the upper and strain directions. For example, Figure 13 shows a
    lower bound theories of plasticity. The upper bound simple schematic of a yield surface in 2D stress
    method is more flexible and easier to apply than the space.

    17
    energy dissipation rate for any admissible failure
    . . mechanism using virtual work principles.
    VH H

    . . Before discussing applications it should be noted


    H H that there are a number of corollaries to the bound
    . theorems that can be especially useful as discussed
    H
    by Chen (1975). Two of these are particularly im-
    portant and warrant a brief mention:
    .
    H
    . x The plastic collapse load of a system of perfectly
    H plastic elements is independent of the elastic be-
    .
    VH haviour of the material, as long as any deforma-
    Figure 13: Schematic of yield surface showing normality of tion does not significantly change the original ge-
    strain increments ometry.
    x Removing (adding) a constraint from a system of
    As shown, if the stress state is primarily , then the perfectly plastic elements cannot make the system
    primary strain direction is in the direction and stronger (or weaker).
    likewise for other stress states. Since the material
    stress-strain behaviour is non-linear and history de- One of the requirements of a perfectly plastic system
    pendent, it is only possible to determine the strain is that the material remains stable, i.e. it does not ex-
    increment directions independent of the overall hibit strain softening.
    boundary value problem solution. For a given point
    on the yield surface it is possible to determine the
    3.3.2 Applications
    relative values of the strain increment components,
    The best way to explain the upper bound method is
    for example:
    to provide an example of an application.


    Example 1
     This example considers the mechanism shown in

     Figure 14 for a footing subjected to an inclined load.

     It is similar to the mechanism corresponding to
    Greens (1952) solution, shown in Figure 9a, except
    since the scalar cancels in the ratio. There are two that the angle is assumed to be unknown. The so-
    possible modes of deformation in a plastically de- lution for , for the upper bound formulation, is then
    forming material: tangential slip along a failure sur- minimised by varying 
    face or slip plane; and continuous deformation in the
    plastic continuum. The EDR referred to in the upper vo V
    bound theorem can be expressed in terms of strain in-
    crements for a given yield condition as demonstrated
    (e.g. Drucker and Prager, 1952). They derived the W E
    45 D
    dissipation rates for a generalised Von Mises yield A
    criterion for a frictional material with cohesion. Such T
    C
    dissipation equations have been derived for materials B
    obeying other yield conditions. Of particular interest B
    for the purposes here is the Tresca or maximum shear
    stress criterion for a purely cohesive material. The Figure 14: Inclined load failure mechanism
    dissipation equations for this material for the two
    failure modes are as follows: First, a virtual velocity in the downward vertical di-
    rection is assumed. To be admissible, the footing
       and soil wedge must slide parallel to surface AB so
    that the total dissipation along AB is:
    and

       

    where is the relative slip velocity on the failure 
    
    plane, is the undrained shear strength and
    is the absolute value of the numerically largest prin- where the parameters are as previously defined
    cipal strain increment. These equations calculate the and/or shown in Figure 14. At interface BE, the soil

    18
    moves uniformly to be compatible with wedge ABE, Recognising that , Equations 4 and
    so that the dissipation along curve BC is: 20 are identical. It is interesting that the solution de-
    veloped from equilibrium arguments has not proved a
     lower bound but can be shown to be an upper bound.
     It should also be noted that components of the
    mechanism used in this example can often be used to
    
    build mechanisms for other problems. For example,
    At interface EC, the soil again must move uniformly for a footing with a small aspect ratio ( ) a
    so that the dissipation along CD is: 3D approximation can be achieved by assuming a
    vertical failure plane at each end of the footing. This
      requires integrating the EDR over the resulting slip
    surfaces and adding to the total dissipation.
    The sector BCE is a radial shear fan centred at E. To
    be compatible with the other parts of the mechanism, It should be recognised that the mechanism in this
    the radial velocity must be zero and the tangential solution results in vertical and horizontal translation
    velocity is , a constant. This is the only. Since there is no provision in the mechanism
    only continuously deforming region. The only non- for rotation, the solution will not be affected by a
    zero strain rate is: moment included in the loads. Since there is no rota-
    tion, the moment would do no work and hence this
      solution would reveal nothing about the effects of
    moment. It is, however, relatively easy to modify the
    The maximum principal strain rate is then: mechanism to include rotation, as will be shown in
    the next example. Non-homogeneous strengths can
     also be included in the solution by expressing shear
    
    strength as a function of depth in the dissipation
    and the resulting dissipation rate is: terms and integrating over the various slip surfaces


    and the radial shear fan.

     Example 2

     A proposed mechanism to include moment effects
    is shown in Figure 15. Moments can arise due to an

     elevated horizontal load, an eccentric vertical load
    and/or a moment couple. The solution shown in
    Figure 15 was proposed by Brinch Hansen (1970)
    The external work rate is the sum of the rates of both and formulated as an upper bound mechanism by
    the vertical force component () and the horizontal Murff and Miller (1977a). The coordinates, xo and
    component (). The horizontal force is then re- yo, of the centre of rotation of the mechanism are
    placed with the average shear stress () multiplied the optimisation parameters and are varied to find
    by the footing width ( )to give: the least upper bound. There are slightly different
    mechanisms for and which are con-
     tinuous at the transition. It is assumed for
    
    that the footing stays attached to the soil, so
    Setting the work rate equal to the sum of the dissipa- there is no separation of the footing from the soil
    tion rates, cancelling , solving for and simplify- along AE.
    ing, gives:
    Details of the mechanism are as follows: is the
     distance OE; is the distance OI; and is the dis-
    
    tance OA. The footing rotates about , at a vir-
    Now minimising with respect to gives: tual angular velocity of . The failure mechanism in
    the soil on the left of OE is similar but has different
     dimensions than the one to the right of OE. The sec-
    
    tors EFI and EDA are non-deforming elements,
    Solving gives the critical value of as follows: while the sectors FGI and DCA are radial shear fans.
    However, in this case the tangential velocity varies
     with the radius to be consistent with the velocities
    
    along FI and DA. The wedges GHI and CBA deform

    19
    and slip along the boundaries GH and CB. In gen- Note that is now specified without the dot indicat-
    eral, the loads are taken as a vertical load () offset a ing the virtual velocity ( values) have been can-
    distance (e) from the footing centre and a horizontal celled. is then minimised with respect to the coor-
    load ( )at a height ( ) above the footing base. dinates , to find the least upper bound.
    Both and can contribute overturning moments,
    and a moment couple can also be applied. This mechanism accounts for effects of , , and
    and their interactions, and the full surface can
    H V now be plotted using these equations. More typi-
    e cally, 2D interactions are plotted such as vs. ,
    yh
    45 vs. , or vs. . However, in these cases it must
    x B
    C
    A E I 45 H be kept in mind that these plots are cross-sections of
    D
    the overall surface and can be significantly affected
    F G
    by the third load component. The question that then
    arises is how good are these solutions, especially
    since they are upper bounds and hence are not on the
    conservative side.
    y 
    E
    O xo , yo For the linearly increasing strength cases
    Figure 15: Eccentric load failure mechanism , Figure 9b shows that the vertical ca-
    pacity results are decent. Clearly the horizontal ca-
    To carry out the calculations, local coordinate sys- pacity is exact as well, and hence it is likely that the
    tems are used to simplify the process. In the general interaction curve is nearly the exact one as it is for
    cases, integrations are carried out along slip surfaces special case of uniform strength. However, for
    and within deforming regions to get the respective and interactions, experience has shown that this
    EDR values. For varying strengths with depth, the mechanism significantly over-predicts some parts of
    shear strength profile has to be expressed in terms of the yield surface. For example, for small vertical
    the local coordinate system used for the calculation. loads Gourvenec and Randolph (2003) have shown
    These calculations are somewhat tedious, so exam- that the simple scoop mechanism, as shown in Fig-
    ples for typical components are detailed in Appen- ure 16, works well. On the other hand, the scoop
    dix A. The total EDR is determined simply by sum- over-predicts for large vertical loads.
    ming the components. The external work rate is then
    given by the following equation: H

    . M
    E
      yh
    T

    D
    Following the upper bound procedure the total work
    rate is then set to the total EDR: A B
    R

    
    
    B

    Figure 16: Scoop failure mechanism

    
    Details of the scoop mechanism are as follows: the
    distance ( )from the assumed centre of rotation to
    Now appears linearly in each term of the equation the soil surface is the single optimisation variable,
    and is cancelled as the virtual work method dictates. and the load of primary interest is the total moment
    One can then decide which load, or , is of inter- at the footing centroid. This includes any directly
    est, specify the other and solve for the one that is of applied moment, plus the lateral load (), times its
    interest. For example, if the vertical load () is the height ( ) above the soil surface. The circular seg-
    known dead load on the footing and H is the lateral ment AB is rigid, and so the only dissipation is along
    capacity of interest, then the solution for the lateral arc AB, as shown in Figure 16. The EDR is simply
    capacity estimate is: as follows:





    
    
     

    20
    In the general case, the depth (y) for this mechanism
    is:


    

    

    Numerical integration can be used for strength pro-


    files that do not permit analytical integration. The
    external work rate is then set equal to the EDR to
    give:
     

    In this case, accounts for a couple that may be di- Figure 17: Moment vertical load interaction diagrams
    rectly applied to the footing. Either or can be
    solved if the other component is known. For exam-
    ple, if the applied moment, , is known, then is
    as follows:






     

    Optimisation is then carried out with respect to .

    The foregoing provides two relatively simple models


    that provide approximate solutions over a range of
    loads, and some specific results for the two mecha-
    nisms are considered. The mechanism gives
    good results for interaction for example, it
    converges to Greens solution (1952) for .
    Figures 17 and 18 show results for the two failure Figure 18: Moment horizontal load interaction diagrams
    mechanisms for and interactions, respec-
    tively, for the uniform strength case and for the case For horizontal load versus moment interaction
    of increasing strength with depth . ( ), the mechanism only works well for
    horizontal loads near sliding for the uniform strength
    Also shown in these figures are the results scaled case, but does somewhat better for the increasing
    from the plots shown in the paper by Gourvenec and strength case down to near midrange.
    Randolph (2003), referred to here as GR. The GR The scoop mechanism does surprisingly well over
    results are based on more detailed mechanism stud- almost the entire range of horizontal loads. The
    ies combined with finite element results and are be- combination of the two mechanisms is almost an ex-
    lieved to be very close to exact solutions. act fit to the GR results. As pointed out by Bransby
    and Randolph (1998) and emphasised by Gourvenec
    For vertical load versus moment interaction ( ), and Randolph (2003), it is interesting that the hori-
    the mechanism only captures the moment effects zontal load in the direction of increasing moment ac-
    well for relatively large values of vertical load. On tually increases the moment resistance up to a value
    the contrary, the scoop mechanism does well on the of of about 0.6.
    other end of the vertical load scale. In fact, the scoop
    results are independent of centric vertical load. More The foregoing results underscore the importance of
    significant errors are apparent for midrange vertical validating solutions based on assumed mechanisms,
    load values, and the largest errors are for the increas- but also show that some relatively simple mecha-
    ing strength case. These can be improved somewhat nisms can give good results to complex problems.
    by simply correcting the vertical capacity compo- Hopefully these results provide a bit of insight into
    nents by the known over-prediction of the pure ver- how one might go about developing approximate so-
    tical load case which is 7.2% in this case, as shown lutions and sufficient detail regarding the mechanics
    in Figure 9b. of the calculation procedures. The next section will

    21
    discuss some additional strategies for finding mecha-
    
    nisms for various shallow foundation problems. 

    3.3.3 Additional strategies Applying the boundary condition (symmetry),


    As discussed earlier, mechanisms can be constructed at , the function must be zero and
    from components that are found in classical solu- hence the strain rates are:
    tions such as slip circles, radial shear fans and rigid 
     
    or deforming wedges. The intention of the following 
    discussion is to provide further insight into con-
    structing mechanisms by providing examples of The EDR is then:
    strategies that can be used.
     
    Example 3: the squeeze problem
    This paper has previously shown that the yield con-
    dition for undrained strength (purely cohesive be- Since the EDR is a constant throughout the region
    haviour) implies that the plastic deformation will be ABCD, the total dissipation rate is simply:
    incompressible. Since this constraint is necessary, it
    can actually aid in the construction of a velocity
     
    field for a particular mechanism.

    Figure 19 is a schematic in which a strip footing is To complete the solution EDRs at the footing-soil
    placed on a soft, relatively thin, uniform layer over- interface AD (unless the interface is assumed to be
    lying a hard stratum. At the footing interface, it can smooth), the soft-hard stratum interface BC, the pas-
    be expected that the soil will move downward and sive resistance of the wedges CE, and the soil inter-
    be squeezed outward. At the interface between the face CD all must be included. Note that the down-
    soft layer and hard stratum, the vertical movement of ward velocity of the soil beneath the footing and the
    the soil would presumably be zero. upward velocity of the outer wedges give rise to in-
    creased relative velocity at interface CD.
    vo V
    Details of these remaining calculations are provided
    in Appendix B. The failure load, assuming interfaces
    AD and BC are rough, is then:
    A D E
    Soft Layer
    B C
    
    Hard Layer

    Figure 19: Schematic diagram of a proposed squeeze For a smooth footing, the dissipation at the AD in-
    mechanism
    terface is set to zero. Results of the capacity as a
    Since the vertical velocity must vary from at the function of soft layer thickness are shown in Figure
    footing interface, to zero at the hard stratum inter- 20 for the rough footing case.
    face, a simple assumption is that the variation is lin-
    ear, that is:
     

    It is further assumed that is not a function of ,


    and then find a that works by exploiting the in-
    compressibility condition, as follows:

    
    
    This results in the differential equation:

     
    Figure 20: Capacity of footing on thin soft layer with varying
    Integrating this equation yields the simple solution: thickness

    22
    Since one can construct an upper bound mechanism The foregoing sections have attempted to demon-
    for a soft layer thickness of which gives the strate some of the thought processes and procedures
    classical solution ( ) the squeeze mechanism is that can be used for constructing failure mechanisms
    6.61, well above this value. On the other hand, it for upper bound analysis. While the idea of failure
    does provide a useful solution in that it demonstrates mechanisms is familiar to the geotechnical engineer,
    the effect of thin, weak layers in a relative sense. care must be taken to ensure that the mechanisms are
    Defining a scale factor of and kinematically admissible, or in other words that they
    scaling the ordinates of the squeeze solution give the are possible. A more detailed discussion of this as-
    corrected plot in Figure 20. This at least gives a pect of limit analysis is provided later.
    feel for the effect of thin, weak layers.
    3.4 Generalised plastic limit analysis
    A similar approach can be applied to a circular foot- macro-mechanisms
    ing where a cylindrical coordinate system is used. The foregoing analyses have demonstrated the con-
    The soil is assumed to deform in an axisymmetric struction of detailed failure mechanisms to be used
    pattern in keeping with the geometry of the problem. in conjunction with upper bound PLA. This section
    Note that following standard convention ( )is used will consider how failure interaction surfaces can
    here in place of . Again assuming a linear variation themselves be used to derive the performance of a
    of : foundation element. Prager (1959) showed that a
    system of forces that characterise the stress state in a
    
     perfectly plastic structure (including a soil-structure

    system) can be considered generalised stresses and
    and applying the incompressibility constraint to ob- that the corresponding plastic displacements can be
    tain: considered generalised strains. This is true notwith-
    standing the fact that the generalised stresses and

     strains do not have the actual dimensions of stresses
     and strain. For a given set of generalised stresses
    ( ), the generalised strain rates ( ) are
    leads to the equation:
    the work rate conjugates of the stresses, that is:

        

    As before is a function of only. Solving the Where the generalised stresses are moments, the
    equation and applying the boundary condition generalised strains are rotations so that work rate
    ( at ) gives the solution: conjugacy is maintained. The interaction surface
    then plays the role of the yield condition, that is:

      
    

    The strain increments are then: If the structure is composed of perfectly plastic ele-
    ments, the yield function () is convex and other
        tenents of plasticity theory apply. As for the plastic

    stress versus strain relationships, the generalised
    and the EDR per unit volume is: plastic strain rates can be linked to the generalised
    yield condition using the associated flow rule:

     
    
    
    The total dissipation in the zone below the footing is
    then the unit dissipation, multiplied by the volume of These elements can then be used to apply the bound
    the cylinder defining the deforming region. The re- theorems to any assemblage of generalised plastic
    mainder of the EDR components is calculated in a elements, such as a system of footings or piles.
    similar manner to that for plane strain, except that
    the toroidal wedge around the thin zone must deform Before considering relevant problems, it is useful to
    owing to its axisymmetric geometry. In this case the demonstrate the validity of Pragers assertion. For
    circumferential strain is not zero and the velocity example, in the problem discussed earlier of a foot-
    fields are again constructed using the incompressi- ing on uniform strength soil subjected to inclined
    bility condition. The details of the calculations are load, equations 4 and 5 constitute the failure interac-
    described in Murff and Miller (1980). tion surface. This can be rewritten in terms of nor-

    23
    malised vertical load () and horizontal load (), and H for any ratio of . This may, of course, re-
    that is: quire solving a non-linear equation, but the idea has
    particular advantages when analysing a mechanism
     involving a system of foundation elements.
    
    1.5
    
    1

    H/SuB
    1.0
    where: 0.5
    0.644
    0
    0 1 2 3 4 5 6
      V/SuB

    Figure 22: Inclined load interaction surface showing normality
    of the velocity field
    Now the generalised plastic strain rates correspond-
    ing to the generalised stresses and are: For the system of shallow foundations shown in
    Figure 23a, one approach to solving the capacity of
     the system is to construct a mechanism (see Figure
    
    23a) as proposed by Murff and Miller (1977b). A
    and: simpler approach, however, is to represent each foot-
    ing by its multi-axial interaction diagram as sug-
    gested in Figure 23b. This can be easier and more
     accurate, especially if there is an accurate interaction
    
    surface for a single footing.

    where is the ratio of to . The ratio of If, for example, a yield function ( )
    strain rates can then be found, as follows: for a single footing is assumed, the following step-
    by-step approach can be used to determine the sys-
    tem capacity.
    
     1. A virtual rotation of the system is assumed about
    a point with coordinates and , which be-
    Considering a specific example where , come the optimisation parameters. For a planar
    which equals 4 , solving for using the geometry, the mechanism represents all possible
    yield equation ( ) and the ratio motions two translations and a rotation.
    , is then found to equal 12.2. Refer- 2. For any values ( and ), the motion , is
    ring to the failure mechanism in Figure 21, the foot- found for the centres of each footing, noting that
    ing moves downward at an angle of 32.8 to the hori-
    the rotation rate ( ) for all footings is equal to .
    zontal, giving a ratio of
    which checks identically. 3. Now the ratios of virtual translation and rotation
    components are formed, for example:
    vo
    V


    
    W 
    45
    32.8 4. Since the ratios themselves are known from the
    assumed mechanism, this gives three equations of
    this type but only two independent ones (any two)
    B in unknowns , , and .
    Figure 21: Inclined load failure mechanism showing velocity of 5. The third equation needed for solving for , ,
    footing
    and for any footing is the yield condition. Thus
    Figure 22 shows that the strain increment is indeed in principle, the three unknowns can be solved,
    normal to the yield surface, thus for any combination although depending on the complexity of the
    yield condition this may be numerically difficult.
    of and at yield, the ratio of can be deter-
    mined. Alternatively (and perhaps more impor- 6. Given the values of , , and the EDR for any
    tantly), the process can be inverted to determine V footing can be calculated, as follows:

    24
      capacity and hence will be a conservative assump-
    tion (as noted by Chen, 1975).
    7. Equating the virtual work rate of the external
    loads to the EDR, the unknown load or scale fac-
    tor can then be solved for.
    8. One can then systematically vary and to Vt xv
    find the minimum load capacity.
    In as much as the mechanism is planar and the yield Ht
    condition of each footing is correct, minimization will
    lead to the exact solution because we have considered
    all possible failure mechanisms. In fact since we have
    yh H
    calculated , , and at each footing and know the H

    external loads we can check to see whether the solu-


    tion satisfies equilibrium. We will discuss how to in- V V
    vestigate failure out of the plane of loading in our dis- x
    V2
    cussion of pile systems. As we did before, we will use V1

    an example to demonstrate the above ideas.

    V (Xo , yo ) y
    M
    H Figure 24: Schematic of two-footing system with loads

    The system is subjected to its self-weight as well as


    a lateral load. There are two unknowns associated
    with each footing, and . For a given value of
    and , the ratio of virtual velocities at each footing
    is:

    
    .E 
    (a)
    where and are the footing coordinates. Also
    V
    M known from the normality relationships is that:
    H




    


    
    M M M
    V V V The right hand side is known for any value of and
    and hence Equation 55 can be reduced to a quad-
    H H H ratic equation of the form as follows:
    (b)
    Figure 23: Shallow foundation system (a) detailed mechanism;  
    and (b) system represented by interaction surfaces
    where
    Example 4
    This example will consider the planar failure of a    
    
    two footing system, as shown in Figure 24. For the
    purposes of this example, it will be assumed that the
    footings are pinned to the structure at their centroids, Solving and taking the positive root (on physical
    and that the interaction surface is as given in Equa- grounds) gives:
    tions 47 and 48. As noted earlier, removing a con-
    straint from a plastic system, such as replacing a  
    rigid connection with a hinge, will never increase the

    25
    Knowing the , can be directly solved from the useful features of using macro-mechanisms is that
    yield condition (Equations 47 and 48). The total single footing solutions can also include conven-
    EDR is then: tional solutions as well as strictly empirical curve
    fits. One example of the latter is described by Murff
    (1994). This study involved an empirical equation
     for the yield function of circular footings of the form
     that follows:
    As shown in Figure 25 the mathematical interaction
    equation extends beyond the boundaries of the yield 

    surface. Therefore if or are outside the physi-

    cally meaningful range they are reset to their bound-
    ary values, as shown in Figure 25.
    
    H
    vi where / and / are fitting parameters, and and
    vi Angles in this range
    set V=0 are pure compression and pure tension capacity of
    Angles in this range each footing, respectively. As described in Murff
    set V=Vmax (1994), Equation 62 is a mathematically tractable
    vi form so that a spreadsheet can be used to develop
    V system interaction diagrams using the procedures
    Extension of outlined earlier. (Details of the analysis are de-
    interaction curve scribed in Murff, 1994.)
    Figure 25: Interaction surface for single footing reset end
    values

    This adjustment will sometimes lead to an indeter-


    minacy in the footing loads, however, within the
    range of acceptable loads, equilibrium can still be
    satisfied. The total external work rate is then:
    

    Now or can be set equal to a specified value,


    such as self weight of system. Then other com-
    ponent can be solved, for example:
    Figure 26: Normalised interaction diagrams for two-footing
     system for varying normalised load

    Another option is to use conventional bearing capac-

    ity equations as yield conditions. Figure 27 shows
    
    examples of conventional inclination factors that
    Figure 26 shows normalised results of moment ver- are used to modify the basic bearing capacity equa-
    sus horizontal load interaction for a system of foot- tions for a strip footing on clay. All three conven-
    ings with 2B centre-to-centre spacing for a range of tional factors are reasonable matches to Greens ex-
    vertical loads. For small vertical loads the interac- act solution and could be used to approximate
    tion diagram is rectangular i.e. there is no interac- system behaviour.
    tion. The failure mode is sliding for horizontal loads
    near the mudline, or simple overturning for loads at It is noted, however, that Vesics correction is com-
    significantly higher elevations. The interaction dia- posed of straight lines and hence has corners where
    gram grows as the vertical load is increased, but be- the lines intersect. The corners do not have unique
    yond a certain vertical load it begins to shrink (see normals and represent a range of different velocity
    Figure 25). It should be noted that it is relatively directions, as shown in Figure 28. It is thus clear that
    straightforward to add additional footings to the sys- almost all load states derived from the velocity di-
    tem using Equations 55 through 58. rections will be at a corner, and only a minimal
    number of velocity directions will be on the flat por-
    The foregoing example utilised an exact solution for tions of the diagrams. This might not be the best
    single foundations in analysing a system. One of the yield surface representation to use in the upper

    26
    bound method. The foregoing example will consider shows a non-dimensional interaction diagram of
    another system which exploits conventional bearing moment versus vertical load for a single footing. Us-
    capacity equations. ing Equation 64 as a yield condition, the ratio of
    generalised plastic strain rates for an individual foot-
    ing can be written as follows:




    


    

    where the subscript fi refers to footing i. The EDR


    can then be calculated for any postulated failure
    mechanisms for a system of footings where the sys-
    tem rotates about a horizontal axis located at (see
    Figure 30).
    Figure 27: Empirical interaction surfaces compared with
    Greens solution

    H If vi in this range
    set loads here
    If vi in this range
    set loads here If vi in this range
    set loads
    here

    V
    Figure 28: Corners on interaction surface result in non-unique
    velocity directions
    Figure 29: Single footing interaction surface with eccentricity
    correction
    Example 5
    In many instances for mud mats of shallow water
    platforms, the lateral loads will be taken out wholly V
    or in part by horizontal braces embedded in the soil, M
    leg stubs or other protuberances, and/or passive
    pressure on peripheral skirts around mud mats. It
    may only be necessary for the mud mats to resist the Footing i
    vertical loads and overturning moments imposed on .
    E
    the platform. Using the conventional bearing capac-
    ity equation for a strip footing with eccentricity cor- xo
    rection (see Brinch Hansen, 1970), the vertical ca- xv
    xi
    pacity of a footing can now be expressed as:
    Figure 30: Schematic of failure mode for system of footings
     including local moment resistance
    where is the bearing capacity under pure vertical
    load, is the footing width parallel to the load direc- Assuming a virtual rotation rate of , the vertical
    tion and is the load eccentricity ( ). Equa- displacement and rotation rates of footing (i) are
    tion 63 can then be rearranged and expressed as a    
    yield function as follows:
    where is the coordinate of the footing centroid.
    
     Combining Equations 65 and 66 for each footingcan
    For relatively long footings, the strip capacity is be used to solve for .
    simply multiplied by the length ( )to get the total
    system capacity, however, for footings with  

    a shape factor should be applied. Figure 29

    27
    Equation 67 is continuous and extends out of the 3.4.1 Additional strategies
    range of possible values, that is for and As noted in the earlier examples, it is straight-forward
    . Hence as done in the previous example, the to add additional footings to a system, assuming they
    values must be corrected when this occurs. For ex- are of regular shape, aligned with the other footings
    ample, when it should be replaced by and the loading is perpendicular to one of the footing
    , and when it should be set to 0, assum- axes. For footings of different shapes such as triangu-
    lar footings or for diagonal loading, approximations
    ing zero uplift capacity. Alternatively, a percentage
    may be required. For example, it may be necessary to
    of compression capacity could be assigned to the up-
    replace a footing of irregular geometry with an
    lift capacity.
    equivalent rectangular or circular footing of equal
    Knowing the yield condition (Equation 64) can area. Vesic (1972) has also suggested shape correc-
    tions for rectangular footings loaded on a diagonal.
    be used to solve for :
    For a system of footings loaded on a diagonal, one can
    begin by projecting the footings on a vertical plane
     parallel to the load direction and solving for the sys-
    
    tem capacity, assuming the footings are aligned (see
    The total EDR is then: Figure 32). It is then necessary to check for out-of-
    plane failure, as will be discussed in more detail in
    section 4 on pile foundations.
    
     Z

    Setting the work rate of the external loads equal to 2 1 X X


    the total EDR, can be solved for as follows: X
    3 2 4 1

     3 4 y
     Elevation of Loading Plane
    Plan View of System

    Figure 32: Off-diagonal loading with footings projected on


    Figure 31 shows the moment-vertical load interaction plane of loading
    diagram for a fixed two-footing system with spacing
    of  and eccentricity correction. For comparison, the The foregoing sections on shallow foundations have
    interaction diagram for a two-footing system hinged tried to identify various approaches for determining
    at the connections is also shown in Figure 31. Inter- load carrying capacity of individual, as well as sys-
    estingly, fixing the connection against rotation only tems of, shallow foundations. They have emphasised
    results in a very nominal improvement. The interac- methods of PLA and have tried to provide some use-
    tion diagram for a system of hinged footings, where ful examples of how these methods may be applied.
    the uplift capacity is set equal to the bearing capacity, The following sections will take a similar tack for
    is identical to the hinged case with no uplift capacity pile foundations.
    for . However, it extends
    4. Pile Foundations
    linearly upward for to a value of
    at . This section of the paper will follow an approach
    similar to the one followed in the section on shallow
    foundations. It will focus on issues uniquely related
    to piles that is, where issues are the same or simi-
    lar to those already discussed, it will either be briefly
    mentioned in this section or omitted where the issue
    is obvious. Applications for piles vary widely over
    such uses as platform foundations to mooring an-
    chors, and the issues vary significantly among the
    various applications.

    4.1 Practical issues for designing offshore pile


    foundations
    Figure 31: Footing system interaction surfaces with and with- 4.1.1 Strength characterisation
    out effects of local moment resistance
    Strength is clearly the most important soil parameter
    in foundation design and analysis. While many of

    28
    the issues discussed for shallow foundations are also x Will jacket piles be inserted in sleeves with leg
    important for piles, a few different aspects bear spe- stubs? Leg stubs that penetrate into the soil gen-
    cific mention: erally provide substantial benefits in bending re-
    sistance near the mudline.
    x Is soil layering significant? Soil layering is impor- x Are the piles long enough to develop a plastic
    tant for all aspects of pile design, but it can be par- hinge failure mode during loading or are they
    ticularly important in assessing end bearing capac- short enough that failure is likely to be in a fence
    ity. Such questions as whether punch-through of a post mode, that is kicking out at the pile tip?
    hard layer over a soft layer is possible depend
    x Do the piles behave individually or as a group or
    critically on identifying the location, strength and
    as a system?
    thickness of interbedded layers.
    x Is the soil strength affected by loading rate? This The foregoing are important issues to address in de-
    issue is particularly important as it affects the
    ciding the critical design elements and how the
    shaft capacity of piles subjected to rapid loading,
    foundation will be analysed.
    such as from waves or earthquakes.
    x Is the soil susceptible to creep? Piles subjected to 4.2 Conventional methods
    sustained loads, particularly in uplift, may have 4.2.1 Theory
    reduced capacities due to creep. Perhaps more Unlike the structure and history of shallow founda-
    importantly, piles subjected to uplift will tend to
    tions, the conventional methods of pile analysis are
    become unstable if they move upward signifi-
    not grounded in theory but are basically empirical.
    cantly.
    While they are mostly based on conceptual models,
    x Does the load carrying capacity of the pile exhibit
    there are always empirical parameters used to carry
    softening behaviour? Very rigid piles can mobi-
    out the design methodology. There are two distinct
    lise the peak capacity of the soil, whereas piles
    aspects to pile design: axial capacity and lateral per-
    that are very flexible may be limited to the resid-
    ual capacity. formance.
    x How long will it take for the full setup to occur?
    The axial pile capacity is generally assumed to be
    This is especially important in the decision proc-
    the simple sum of the shaft resistance along the pile
    ess regarding when the piles are fit for service.
    walls and the end bearing resistance at the pile tip.
    4.1.2 Load characterisation The basic model for pile shaft capacity in clay soils
    The types, magnitudes and locations of loads must (undrained response) is:
    be well understood to assess the pile requirements.
    
    x Is the pile subjected to multi-axial loading? It is 
    important to consider the possible load interac- where is the pile diameter, is the pile length and
    tions imposed by moment, lateral and vertical is the ratio of shear resistance mobilised at the soil-
    load and torsion. What are the boundary condi- pile interface to local undrained shear strength. As
    tions for the pile analysis? Are the piles free- or
    such, is simply a correlation factor which is a func-
    fixed-headed? tion of a wide range of variables depending on the
    x What are the load durations? Is the pile subjected particular design recipe chosen. The guidelines for
    to short- or long-term loads, or both? evaluating generally are derived from field load
    x Is the pile subjected to uplift loading where creep tests, but have also been influenced by mathematical
    might lead to load shedding and catastrophic fail- models of an idealised installation process. (Addi-
    ure? tional details of the evolution of will be discussed
    x Where are the loads applied? Anchor piles, for in the next section.) The end bearing resistance of a
    example, are less effective in resisting lateral pile in clay is usually taken to be:
    loads if the loads are applied at the pile head.
     
    4.1.3 Foundation geometry
    where is the undrained shear strength at the pile
    The details of the pile geometry can have a strong
    tip and is a bearing capacity factor, which is con-
    influence on the capacity of the pile.
    ceptually similar to that for shallow foundations but
    x Is the pile wall thickness schedule appropriate for essentially empirical in this application. It should be
    the expected failure modes? Generally a thick- mentioned, however, that theoretical constructions,
    ened wall is needed to resist lateral loads (bend- such as cavity expansion theory as described by
    ing) whereas axial loading is not usually limited Bishop et al. (1945), can be used to rationalise
    by stress in the pile. within a reasonable range.

    29
    The soil resistance to lateral movement of the pile is x for depths less than 100ft it was limited to
    usually modelled as non-linear distributed springs, 1000psf; or
    and the pile is modelled as an elastic beam column. x for depths greater than 100ft it was limited to
    The maximum resistance of the springs per unit pile one-third of the effective overburden pressure.
    length (H) is taken to be:
    The unit end bearing was specified as 9 .
     
    Over the 18 years following the publication of the
    where is the local undrained shear strength, is 1st edition of RP 2A-WSD, there has been consider-
    an empirical bearing capacity factor, and is the able controversy over this design procedure. The un-
    pile diameter. Rules for selecting appropriate certainties spawned a number of joint industry stud-
    values have largely been derived from experiments ies, including several efforts to establish
    and field tests, although theoretical underpinnings comprehensive pile load test databases. Extensive
    for some cases have been established. Generally, study of these databases was carried out by Olsen
    increases with depth to account for the effect of the and Dennis (1982), and many different design meth-
    surface proximity until it reaches some maximum ods were proposed.
    value. Guidelines for modifying the spring charac-
    teristics to account for cyclic loading effects have Finally, a consensus evolved and in 1987 a revised
    also been established (e.g. Matlock, 1970). method was published in the 17th edition of RP 2A-
    WSD. The method specified that the shaft friction
    In conventional practice, axial capacity is directly was taken as the undrained shear strength for soft
    integrated into the foundation design. That is, the clays, but that D decreased in a systematic way as
    pile must have sufficient capacity to achieve a des- the ratio increased. It was reasoned that as the
    ignated safety factor when compared to the design soil strength was high relative to the overburden
    axial loads. For analysis of laterally loaded piles, the stress, compared to say a normally consolidated
    pile head loads are applied to the non-linear beam clay, the soil could reduce or even partially lose its
    column model, and the design requirements are contact with the pile and hence result in a smaller
    based on limiting the stresses in the pile to allowable percentage of adhesion. The specific method
    values. The ultimate lateral capacity of a pile is not adopted is a modification of the method proposed by
    usually a consideration. This paper, however, will Randolph and Murphy (1984). The method has re-
    emphasise the piles ultimate lateral capacity and ar- mained essentially the same to present day and is in-
    gue that it provides useful insight into the foundation corporated in the new edition of RP 2GEO.
    behaviour.
    The recommendations for analysis of laterally
    4.2.2 Applications loaded piles included in the 1st edition of RP 2A-
    A very detailed history of APIs axial pile capacity WSD are based on a joint industry programme, as
    recommended practice is presented by Pelletier et al. documented by Matlock (1970). While a number of
    (1993). Only a brief summary will be provided here. studies have been undertaken to generalise and vali-
    It is not known exactly how the earliest offshore date this work, it has remained essentially un-
    piles were designed for axial load, although it is changed to present day and is included in RP2 GEO,
    likely that dynamic formulae such as the Engineer- with only slight editorial comments. It is again em-
    ing News equation (Teng, 1962), in common use at phasised that the proposed method of analysis in-
    the time, were initially employed. However, by 1956 volves modelling the pile-soil system as a linearly
    so-called static methods of analysis, as described in elastic beam column with non-linear soil springs re-
    section 4.2.1, were being used. These methods were sisting the lateral pile movement. The maximum re-
    pioneered for offshore applications by Bram sistance of the soil springs can also be used in an al-
    McClelland and his co-workers and in 1962, and in- ternative analysis in which the lateral capacity of the
    corporated in the standard McClelland Engineers pile-soil system is assessed.
    company reports (Pelletier et al., 1993).
    4.3 Plastic limit analysis detailed mechanisms
    The first edition of API RP 2A-WSD (1969) in-
    The basic theory underlying plastic limit analysis of
    cluded the McClelland procedures for design of axi-
    pile foundations is the same as that for shallow
    ally loaded piles. In this method, the shaft resistance
    foundations. Since this has been described above, we
    was taken equal to the undrained shear strength, ex-
    will only consider applications in this section.
    cept as follows:

    30
    4.3.1 Applications
    
    For the purpose of this paper, the axial and lateral 
    capacities will be considered independently. The
    mechanism associated with axial shaft failure is es- The EDR on the two sides of the soil wedge is then:
    sentially trivial and simply involves evaluating the
    pile-soil bond as given by Equation 71. Because the  
    pile tip is normally deeply embedded, preventing
    any influence caused by surface proximity, and the The work rate of the lateral force is simply , and
    undrained soil is theoretically incompressible, there the work rate in lifting the soil wedge is:
    is no simple mechanism associated with end bearing.

    Assuming there is no softening, it is simply assumed 
    that the resistance is described by Equation 72 and 
    the capacity is the sum of end and shaft capacities as
    where is the effective unit weight and is the
    discussed earlier. Contrary to the axial case, there
    vertical velocity of the wedge. The upper bound
    are a range of possible mechanisms that can be used
    equation is then:
    to investigate the various features of laterally loaded
    piles. Some typical examples are given here.
    
    
    Example 6
    Of the various mechanisms that can be defined to es- Thus the lateral capacity of the translating pile is:
    timate lateral capacity, first one of the simplest mod-
    els must be investigated. This example considers a 
    
    rigid pile idealised as a flat plate with width ( )and
    length (), restrained from rotation but translating The solution is then minimised with respect of to
    laterally (as shown in Figure 33). This is essentially find the best solution. The work done in lifting the
    the mechanism proposed by Reese (1958) using the soil weight is negative since the mechanism is work-
    limit equilibrium method. A comparison of the two ing against gravity. Further the contribution of the
    solutions will be discussed later. soil weight to capacity is, in effect, the average of the
    effective overburden pressure over the pile length,
    The soil failure mechanism proposed is a rigid trian- multiplied by the vertical cross sectional area of the
    gular wedge of soil being pushed up in front of the pile, and is independent of . Such independence oc-
    pile. The pile is initially assumed to be smooth, and curs because the soil is incompressible, so any net
    there is a gap behind the pile so that no suction de- displaced volume in the soil must be displaced up-
    velops. (The implications of these assumptions is ward to the free surface in any admissible mecha-
    discussed in more detail later.) The face of the soil nism. Note that for the contribution of the
    wedge makes an angle () with the horizontal, and sides becomes insignificant and the solution ap-
    the soil strength is assumed to be spatially uniform. proaches the Rankine solution for passive pressure on
    a wall with a critical value of 45.
    B

    C v B An obvious feature of this mechanism is that the av-


    H
    erage pressure continues to increase indefinitely as
    the pile length increases. Clearly at some depth the
    L soil will not be displaced upward but will flow
    around the pile. At that depth and below, the prox-
    T imity of the free surface will have no effect on the
    A resistance. For an infinitely thin plate deeply em-
    bedded and loaded normal to its surface so that soil
    y
    Figure 33: Schematic of idealised pile-wedge translating fail-
    flow around the plate occurs, a characteristics solu-
    ure mechanism tion can be found as shown in Figure 34. The net
    pressure developed on the plate over a unit length in
    As the pile translates to the right, the soil wedge this case is:
    slides up the failure plane. Energy is then dissipated
    on the front of the wedge as it slips along the failure 
    
    surface, as follows:
    Now the mechanism shown in Figure 33 is modified
      to include two zones. The wedge of the previous so-

    31
    lution is assumed to act above the depth ( ) and of both and change as the pile length increases.
    flow around occurs below the depth ( ), as shown The assumption is made that the increase in lateral
    in Figure 35. capacity is totally attributed to the load on the
    added pile increment that is, the load distribu-
    tion on the pile above the increment does not change
    with the added pile increment, so that:
    
    
    or:
    H

    Figure 34: Characteristic solution of deeply embedded flat 
    plate under normal load 
    B Figure 36 shows the results of estimating as a
    function of depth using Equation 83. It also includes
    v
    H a plot of the right hand side of Equation 83 for a
    L L1
    Near Surface case with finite unit weight, specifically the parame-
    Wedge
    ter . For the weightless case, the flow-
    T around zone begins at a depth of .
    can be approximated by the linear function
    Soil Flow
    Around Zone
    . For the finite soil weight case the soil
    weight increases the pressure on the pile, and once
    the combined pressure equals , flow-around
    y is initiated. In this case (i.e. ), it begins
    Figure 35: Schematic of idealised pile-wedge failure with flow- at .
    around at depth

    Then in Equation 78 is replaced with and a term


    is added to account for the dissipation below as
    follows:

    
    

     

    The solution can then be written in a non-
    dimensional form:

    Figure 36: Plot of inferred Np vs. depth values from wedge
     model
    
    Now if it is assumed that there is no gap at the back

     of the pile, an active wedge will form which will be
    identical to the passive wedge and, for any wedge
    
    depth, will double the resistance due to dissipation
    over that part of the mechanism. Obviously this will
    In this model both and are minimisation vari-
    result in reaching the flow-around pressure at a shal-
    ables. It should be noted that this model is no longer
    lower depth. However, the negative work done in
    a rigorous upper bound since details of the wedge-
    lifting the passive soil wedge will be exactly com-
    flow around transition have not been explicitly taken
    pensated by the positive work done by the active soil
    into account. While this solution has reasonable ap-
    wedge, and hence the soil weight will have no net
    peal it is clearly an approximation. represents
    effect on the solution.
    only the contribution of the soil strength to resis-
    tance, and thus to estimate , the unit weight of the The right hand side of Equation 83 for this case is
    soil is set to zero. To find above the flow-around plotted in Figure 36, which shows the flow-around
    zone, is incrementally increased and the minimum transition occurs at . The preceding dis-
    for each value is computed. The optimum value cussion considered a pile rigidly translating through

    32
    the soil as might occur if the pile head is fixed Figure 38 shows a detailed velocity field for the
    against rotation. However, mechanisms involving wedge. The soil in the wedge is assumed to move
    pile rotation are also possible and are discussed in parallel to the boundary AB and to conform to the
    the following example. pile motion along AC. Assuming the virtual velocity
    in the horizontal direction at the pile top is , the
    Example 7 rotation rate ( ) is then equal to . A further as-
    Figure 37 shows possible mechanisms with pile rota- sumption can be made that the resultant velocity var-
    tion. Figure 37a is a free-headed pile rotating rigidly ies linearly with from the pile interface to the
    in the so-called fence post failure mode; Figure 37b wedge face. At any point along the pile-wedge inter-
    is a pile yielding (forming a plastic hinge) at the face, the velocity is:
    mudline and rotating below that point; and Figure

    37c is a pile with two plastic hinges failing in a shear 
    type mode. 

    H H H To accommodate the pile motion ( ) at A and con-


    sequently all along AB, it is then:
    Plastic Hinges

    
    

    It then follows that, within the wedge:


     
    (a) (b) (c)
    A general velocity field within the wedge can then
    Figure 37: Schematics of idealised rotation mechanisms
    (a) free-head pile; (b) pile with plastic hinge at mudline; and be derived as:
    (c) pile with two plastic hinges
    
    Pile rotation can be accommodated by the wedge 
    mechanism discussed previously by allowing the
    and:
    wedge to deform as well as translate (see Figure 38).
    In this mechanism the pile is assumed to rotate rig-
    
    idly about O, the soil below flows around the 
    pile, and the soil above moves in a wedge that is
    both shearing and translating. Slight modifications The relevant strain rates are then:
    of this mechanism, say to account for pile yielding,
    can be made to model the other mechanisms in Fig- 
    
    ure 37 and will be discussed later.

    
    H 
    B X
    C and:

    L1 
    T 
    Lo A
    L After some simplification it is found that:
    .
    E Soil Flow Around 
    o 

    which is a constant over the wedge volume. The to-


    tal EDR within the wedge is then:
    Y

    Figure 38: Schematic of soil wedge to accommodate pile 
    rotation
    

    The EDR on the slip surface is equal to:

    33
    Clearly there are situations where more general de-
     
    scriptions are desired. For example, it is straight-
    forward to include varying degrees of pile roughness
    by adding another dissipation term equal to , mul-
    
    tiplied by the soils vertical velocity relative to the
    The EDR on the two sides of the deforming wedge pile, multiplied by vertical cross-section area of the
    is found by integrating the relative slip velocity over pile in contact with the wedge times . Non-
    the areas, which gives: homogeneous soil strength can also be incorporated
    in the solution by including the soil strength as a
    function of depth in the integrations of EDR over

     surfaces and volumes. Finally in offshore applica-
     tions, pipe piles are normally employed and thus a
    circular geometry is more realistic.
    Below the wedge, it is assumed that the soils unit
    resistance is simply equal to and the local EDR
    is then , which must be integrated over the
    length from to . The total EDR for
    is then:

    
    

    
    

    It should be noted that the velocity changes direc-


    tions at , but so does the resistance, thus the ex- Figure 39: Normalised capacities for rotating and translating
    pressions change. After some simplifications the piles
    EDR below is found to be:
    One solution that has been particularly useful in this
    regard is the characteristics solution developed by
    Randolph and Houlsby (1984) for a deeply embedded
    circular pipe translating perpendicular to its axis.

     They derived solutions using characteristic nets for
    pile-soil interfaces varying between smooth and
    
    rough.

    Using a similar approach for the EDR is: It is interesting that the authors developed the solution
    without formal integration of the characteristic equa-

    tions, but by simple reasoning based on the problem
     symmetry, boundary conditions and well known
     properties of the characteristic curves (Randolph,
    2001.). The force per unit length was found to range
    The work rate of the external forces is set equal to
    from for a smooth pile, to
    the sum of the EDRs for this mechanism. The capac-
    for a rough pile, where c is undrained shear strength
    ity is then minimised with respect to , , and to
    and d is pile diameter. They suggested a linear func-
    find the critical value. Figure 39 shows a plot of the
    tion of the adhesion factor, specifically as a
    normalised capacity for the rotating pile
    good empirical fit to their solutions.
    and the rigidly translating pile demonstrating the
    significant difference in the two. For the ro- Murff and Hamilton (1993) used the Randolph and
    tating pile (or wall) solution is exactly one-half of Houlsby (1984) solution for the deeply embedded
    the Rankine solution as expected. part of the pile along with a modified wedge mecha-
    nism to accommodate a circular pile for shallow
    4.3.2 Additional strategies
    depths. Their proposed failure mechanism is shown
    In the foregoing examples the pile was idealised as a
    in Figure 40.
    smooth, rigid, flat plate in a uniform strength clay.

    34
    4.4.1 Applications
    H
    Gap or Suction
    As discussed previously, the macro-mechanism per-
    Wedge Failure
    H Cosine Velocity spective looks at problems in terms of forces and
    Function
    displacements, rather than specific soil velocity
    Flow-Around fields with their accompanying detailed stress and
    Failure
    Wedge Cross Section
    strain fields. The axial capacity mechanisms alone
    are straightforward and need little discussion, al-
    though some discussion on how they interact with
    Figure 40: Murff-Hamilton failure mechanism for a pipe pile lateral mechanisms will be considered in this sec-
    with circular cross section tion. The lateral mechanisms require a little more at-
    tention.
    They proposed an intuitive mechanism, where the
    soil wedge has a radial velocity of: In the lateral mechanisms there is a defined soil re-
    sistance distribution along the pile, which is a result
    of the soil failure mechanism but is not included ex-
     plicitly. This force distribution may come from em-
    
    pirical methods such as the Matlock (1970) defini-
    where is the pile radius; , , and are cylindrical tion of , or numerical studies such as finite
    coordinates; is the wedge depth; is the element analysis. Alternatively, it may be inferred
    depth to centre of rotation (similar to in the rotat- from limit analysis solutions (as done in the previous
    ing pile example above); and is the exponent. In section) where was estimated. These ideas can
    this velocity field, equal 0 so that resultant ve- again best be explained by means of examples.
    locities are strictly in the planes. The radial ve-
    locity is a maximum at , the very front of the Example 8
    pile, and decays to zero at owing to the This example considers a rigid pile, loaded laterally
    cosine function. Imposing the incompressibility at the top and free to rotate, as shown in Figure 41.
    condition on the velocity field gives: For the purposes of illustration, this example uses a
    simple case where the soil resistance on the pile ()
    is constant with depth. The failure mechanism con-
      sidered is rotation of the pile about a horizontal axis

    at depth (see Figure 41). The dissipation rate is
    which, along with Equation 99 and the boundary then:
    conditions, provides the necessary equations to de-
    fine the complete velocity field. This, in turn, allows 
    one to calculate the strain rates and hence the EDR 
    in the wedge mechanism. Below the wedge is con-
    sidered to be a flow-around zone, which is treated in It should be noted that both velocity and resistance
    a similar manner as the examples given earlier. change directions (signs) below , so that:
    These calculations are detailed by Murff and Hamil-
    ton (1993). Thus the problem can be set up in a simi- 
    
    lar manner to the rotating pile problem (described

    earlier) and solutions obtained by optimising the up-
    
    per bound solution with respect to , , , and , 
    the latter being the radial extent of the wedge at
    . The solution has been exercised for a range The external work rate is , so setting these ex-
    of conditions to determine versus depth profiles pressions equal and simplifying them gives:
    (as previously done in this paper). For example, such

    profiles are developed for a range of interface adhe- 
    sion values and typical soil strength profiles. 

    4.4 Generalised plastic limit analysis Minimising with respect to then gives
    macro-mechanisms , while substituting into Equation 103 gives
    The basic principles of generalised PLA are applica- . Although this is a trivial solution,
    ble to pile problems of interest. Again, only applica- the approach is the same as for more realistic resis-
    tions will be considered in this section. tance and pile descriptions.

    35
    Pile Velocity Profile

    H
       
    



    Lo    
    
    Soil Resistance, R
    . These solutions provide useful back of the enve-
    E
    Soil Resistance, R lope equations that can provide quick insight into a
    problem.

    An additional, related problem of interest is the ca-


    Figure 41: Schematic of a rigid pile, loaded at the top and free
    pacity of a laterally loaded pile, where an anchor
    to rotate line is attached, deeply embedded in the soil so that
    proximity to the mudline has no influence. Assum-
    The piles for steel piled jackets are effectively fixed ing a uniform soil resistance over the section of pile
    against rotation at the mudline and sufficiently deep and a three-hinge mechanism as shown in Figure 42,
    that the pile will not fence post. Because of these the problem is set up in a similar manner to that
    conditions, a possible failure mode will comprise a given earlier.
    formation of two plastic hinges, one at the mudline
    and the other at some depth below the mudline, re-
    sulting in a shear type failure mode as shown in Fig-
    ure 37c. Further, a linearly increasing soil resistance,
    say , is a more realistic model than a con- Plastic Hinges with H
    stant resistance. At each plastic hinge, the pile de- Moments= Mp
    velops a plastic moment resistance of M. These facts
    lead to an EDR in the soil of:
    Soil Resistance, R

     Figure 42: Schematic of a three-hinge failure mechanism for a
    
    deeply embedded anchor line attachment point
    and an EDR, due to the plastic moments, of
    The ultimate capacity of the pile anchor is then:
    .

    The external work rate is simply . Setting the    
    work rate equal to the sum of the dissipation rates, 
    cancelling and solving for gives:

    It is relatively simple to set up numerical solutions
    that have considerably more complexity on a spread-
    
     sheet.

    This expression could be further generalised by in- Example 9


    cluding any soil resistance function in the integral. Having explored the ultimate lateral capacity of sin-
    Further, a free-headed pile that forms a plastic hinge gle piles to some degree, it is of interest to investi-
    below the mudline, such as might be employed as an gate the capacity of pile systems. A simple four-pile
    anchor, can be modelled by changing to . example is considered here. As shown in Figure 43a,
    the pile images are projected onto a vertical plane
    Equation 105 can be integrated analytically, but it is aligned with the lateral load. The planar capacity is
    a simple matter to set up numerical integration then determined for the projected systems, as char-
    where the resistance function can be changed easily. acterised in Figure 43b The failure mechanism is as-
    Finding the optimum for the general case can be dif- sumed to be a virtual rotation ( ) of the system
    ficult, but optimisation routines such as the Solver about a horizontal axis through the point . The
    function, makes the process quite simple even for piles are deeply embedded and fixed to the structure,
    numerical integration. Closed form solutions for the which is assumed to be rigid so they will form plas-
    ideal cases ( and ) can be found easily tic hinges at the connection points and at a depth
    using the standard approach, as follows: (as yet unknown).

    36
    The lateral velocity of the pile above is given as:

    

    
    and the axial velocity at the pile head is:
     

    These results provide the necessary input to calcu-


    late the EDR. The external work rate is:
     
    (a)
    where and are the horizontal and vertical global
    loads on the system, respectively. Then the upper
    bound method can be applied to solve for horizontal
    capacity:



    
    



    
    
    (b)
    Figure 43: Schematic of a four-pile system: (a) pile images 
    
    projected on a vertical plane; and (b) capacity of the planar
    system
    where is the axial pile capacity. Equation 113 is
    then minimised with respect to , , and .
    vxi
    vyi It has been found that determined for an individ-
    ual pile remains relatively constant for the group. In
    addition, the results are very insensitive to it, so
    can be determined prior to the system optimisation.
    . Lo
    xo , yo
    E A simple example of the four-pile system is de-
    . scribed in Table 1. An interaction diagram of hori-
    yoELo zontal load versus overturning moment is shown in
    Mp Figure 45. There are three zones of interest. At small
    moments, say loads near the mudline, the failure is a
    shear mechanism characterised by lateral translation
    Figure 44: Schematic of a generic pile in the four-pile system and double hinges in the piles. At relatively small
    horizontal loads, the failure is overturning character-
    Figure 44 shows a generic pile in the system. The ised primarily by axial failure of the piles. Between
    velocity at the pile head is resolved into components these is a zone of horizontal load-moment interac-
    parallel and perpendicular to the piles axis, and tion, where both bending and axial load in the piles
    , respectively. The rotation rate of the upper sec- are apparent.
    tion of the pile about is then , whereas the
    Table 1: Parameters for analysis of four-pile foundation
    rotation rate of the base of the structure is simply .
    The plastic hinge at the pile head then undergoes a Parameter Value
    net rotation with respect to the structure of 0 and 2
    and the hinge at rotates at . 0.10

    These values allow the EDR of the plastic moments
    to be calculated as: 0.40
    0.50
     
    0.50

    37
    1.40

    1.20

    1.00

    Horizontal Load, Hy/Q


    Inaccessible
    Load Path
    0.80
    Load Path
    Constrained Surface
    0.60
    Critical Surface
    0.40 Load
    Component

    0.20 TFcrit
    Out-of-Plane Failure
    Ti
    Direction
    0.00
    Figure 45: Interaction diagram of lateral load vs. overturning 0.00 0.50 1.00
    moment for a four-pile system Horizontal Load, Hx/Q

    Figure 45 also shows the effects of a vertical load, Figure 46: Interaction diagram of lateral forces in x and y di-
    such as the structure weight that reduces the moment rections with base dimensions B 2B
    capacity but not the shear capacity. This presumes
    4.4.2 Additional strategies
    that the plastic moments in the piles are not signifi-
    cantly affected by the axial loads. In this analysis the In the foregoing, the examples were intentionally
    simple to demonstrate the concepts without the dis-
    failure is assumed to be in the plane containing the
    traction of too many details. It is important to point
    resultant horizontal load. This overly constrains the
    system and does not admit the possibility of an out- out, however, that significantly more realism can be
    included without the analysis becoming too onerous.
    of-plane failure. It would be possible to include the
    Of course at some level of effort a more rigorous
    direction of failure as an additional parameter in the
    optimisation procedure, however, an alternate strat- analysis (such as finite elements) may be called for,
    and in fact at least some such is recommended to
    egy giving the analyst a little more control over the
    calibrate the simpler methods. This section includes
    analysis is preferred. The alternate procedure is
    shown in Figure 46, which is an interaction diagram some added realism that is not too burdensome for
    the purposes of this paper.
    of x and y forces for a fixed load height of for a
    rectangular base of . The region of a pile involved with the lateral failure
    mechanism is also subjected to axial loads or shear
    The rectangular base accentuates the effect of con-
    along the pile. This can result in a reduction in lateral
    straining the failure direction. Note the significant
    capacity due to the interaction of normal and shear
    bulge in the interaction diagram. In this region the
    stresses on the pile face. Aubeny et al. (2002) used re-
    foundation can fail in an out-of-plane direction as
    sults from finite element analysis to characterise this
    demonstrated in Figure 46. As shown in the plot, the
    interaction and include it as a distributed yield surface
    load cannot actually reach the constrained failure
    (over the pile surface) in an upper bound model. This
    surface on this path, since a component of the load
    concept has been shown to be particularly useful in
    will reach the failure at another location first.
    the analysis of large-diameter piles, such as suction
    caissons subjected to inclined loads.
    In this analysis, each possible load path is tested
    against all points on the constrained failure surface Additional modifications for the pile system can also
    to determine at what point a component of that load add realism to the analysis. Examples include pile
    will first reach the surface. Thus the critical magni- batter, variable wall thickness and moment-axial
    tude of the load along the load path is given as: load interaction. Pile batter can be accommodated by
    resolving the velocities parallel and perpendicular to
     the pile axes. Pile wall thickness profiles can be used
    in the search for the depth of the second plastic mo-
    where is the critical load value at the load angle ment. The plastic moment can also be made a func-
    ( ), and represents all possible load values at tion of the axial load by including the axial load-
    the respective angles ( ). The critical or governing plastic moment interaction relationship as a yield
    yield surface is the result of analysing possible load surface in the model, so that rotation rate and axial
    paths from zero to 90. The reduced interaction sur- velocity are generalised strain rates (see Murff,
    face in Figure 46 has been corrected to include the 1987). Of course, it is also straightforward to include
    possibility of out-of-plane failure. additional piles in the model.

    38
    A recent innovative shallow foundation concept uses upper bound equation. These solutions generally do
    short pin piles in the corners of a mud mat to pro- not rigorously satisfy equilibrium and yield in the
    vide additional support and reduce the mud-mat area small. As such, they are actually valid upper bound
    for more efficient offshore handling and installation. solutions, as can be shown by comparing the solu-
    The aforementioned pile system model can be modi- tions with an upper bound formulation. For example,
    fied easily by replacing the lower plastic moment the solution for a laterally loaded pile using the
    mechanism with a rigid pile that kicks out below the wedge mechanism as proposed by Reese (1958) is
    pile rotation depth. considered and shown in Figure 47.

    These ideas are just a few of the modifications that H


    can be incorporated in models previously discussed
    to provide better insight into foundation behaviour.
    This emphasises the significant role that innovation Wt
    plays in constructing mechanisms. PLA provides a
    S2 N
    convenient set of rules for consistently analysing S1
    surprisingly complex models.
    T
    5. Plastic Limit Analysis and the Limit
    Figure 47: Schematic of limit equilibrium solution using the
    Equilibrium Method
    wedge mechanism
    It is sometimes argued that soils do not obey the as-
    The solution proposed was to sum shear and normal
    sociated flow rule, and hence PLA methods do not
    reflect real behaviour. Further, the upper bound forces acting on the various faces of the wedge in
    method gives results that are not conservative in the vertical and horizontal directions, and to solve
    the two resulting equations simultaneously. This
    most applications, and hence limit equilibrium
    methods that focus on satisfying statics should be model includes the normal force on the wedge face.
    preferred. It might therefore be useful to put in per- It is unnecessary to include this force in the upper
    bound solution, as it does no work and does not dis-
    spective the concepts of PLA as related to the limit
    equilibrium method. sipates energy in the deforming mechanism. Further,
    a single, simpler equation results from the virtual
    First, it should be noted that the collapse load esti- work formulation. The upper bound solution, as
    mate is usually not very sensitive to the assumption of given in Equation 78, turns out to be identical to
    associated flow. As pointed out by Davis (1968), this Reeses limit equilibrium solution. Both solutions
    is true even for frictional materials where dilation is require minimisation with respect to the wedge angle
    known to be significantly over-predicted. In a sense to get the best solution (which is the one closest to
    upper bound solutions can be thought of as getting as equilibrium). However, this best solution, while be-
    close to equilibrium as possible for the proposed fail- ing a reasonable approximation, is not the true
    ure mechanism. The early limit equilibrium solutions mechanism and clearly does not satisfy equilibrium
    by Coulomb, Rankine and others were conceived well and yield. This is most evident by the fact that the
    before the principles of plasticity were deduced. In wedge failure surfaces do not intersect free surfaces
    these models, failure mechanisms were constructed at 45. Thus, where the limit equilibrium method
    and an attempt made to satisfy equilibrium and the employs a kinematically admissible mechanism, it
    failure conditions along the hypothesised failure sur- produces the same result as the upper bound solution
    faces. As described in Murff and Miller (1978), the for that mechanism. The upper bound method, how-
    limit equilibrium methods borrow from both the up- ever, is simpler in its formulation and more adapt-
    per and lower bound ideas. They resemble upper able to complex conditions. For example, in contrast
    bounds in that mechanisms are proposed and they re- to the limit equilibrium method the upper bound ap-
    semble lower bounds in the attempt to satisfy global proach easily incorporates deforming regions in the
    equilibrium and yield. However, they do not include mechanism and is much more adaptable to non-
    checks to establish that the mechanisms are kinemati- homogeneous strength profiles.
    cally admissible, or that stress conditions within the
    mechanisms are statically possible. In some applications the ideas of the limit equilib-
    rium method have been extended to non-standard
    In most classic solutions such as that of Coulomb problems, where mechanisms are constructed of
    and Rankine, the solutions are in fact admissible lines simulating intuitive failure surfaces (e.g.
    while the process of imposing global equilibrium seeking to exploit weak layers). Such mechanisms
    and yield is actually equivalent to formulating the may or may not be admissible ones, and hence can

    39
    lead to rather arbitrary results. To illustrate this In cases where more rigorous methods (such as fi-
    point, Figure 48 shows examples of some solutions nite element analysis) are to be used, PLA methods
    that seem reasonable but are not in fact admissible. can play an important role. Preliminary studies can
    Figure 48a attempts to include the effects of moment be used effectively to design the finite element stud-
    loading in a planar mechanism. Again this implies a ies, and to supplement them as they are being carried
    gap opening on the left side, which is inadmissible. out. PLA methods are thus important tools in the en-
    To include moment effects, the mechanism must gineers arsenal and can be exploited to add surpris-
    provide for rotation so that the moment does work ing insight into even complex problems and in-
    and the soil deformation does not include separa- sight is what computation is all about.
    tions. Figure 48b includes rotation of the system
    about a horizontal axis below the footing. As such Acknowledgments
    the velocity of the right corner of the footing (A) is
    greater than the points below it (say at B). Thus if I want to express my sincere appreciation to the In-
    the wedge on the right side is rigid, a gap will form ternational Society of Soil Mechanics and Geotech-
    as shown. The mechanism can be made admissible nical Engineering (ISSMGE) for inviting me to give
    by allowing the wedge to deform. the inaugural Bramlette McClelland Lecture. Bram
    Figure 48c shows a failure mechanism at a deeply was a true visionary and rightly considered the Fa-
    embedded pile tip. In this case, advancing the pile ther of Offshore Geotechnical Engineering. He has
    tip requires the change in volume to be accommo- been a role model for me since I began my career in
    dated in the mechanism. Since the consistent soil this field.
    model is incompressible (for clay) or dilatant (for
    I would like to acknowledge the organisations I have
    sand), the volume change cannot be accommodated
    been affiliated with over the years that have pro-
    unless the mechanism intersects the soil surface.
    foundly influenced my life: The US Military Acad-
    This will generally give a very poor result. For deep
    emy at West Point; the US Army; Texas A&M Uni-
    embedments, the conventional PLA methods cannot
    be used and one must resort to cavity expansion so- versity; and Exxon Production Research Company. I
    lutions (e.g. Bishop et al., 1945) in which the col- have learned valuable career and life lessons during
    lapse pressure is a function of the elastic stiffness my tenures with each, and I am greatly indebted to
    and the soil shear strength. them.
    My wife of 49 years and partner, Jeanie, has sup-
    V
    ported me every step of the way, often cheerfully
    M
    sacrificing her own pursuits to allow me to follow
    V
    mine. My sons, Jim and Roger, have always been a
    Gap source of support and pride.
    (a)
    Soil must
    V penetrate pile There are so many colleagues that have helped me in
    so many ways that I hesitate to name names, but I
    M Gap
    feel I must acknowledge a few that have been so im-
    (c)
    portant. Alan Young, my lab partner in my first soil
    (b) mechanics course has been a friend and mentor since
    Figure 48: Schematic showing example inadmissible failure our days together at Texas A&M; Terry Miller, a
    mechanisms high school classmate, who later became a valued
    colleague and tutored me in the challenging field of
    6. Closing Comments plasticity; Mark Randolph has taught me so much
    and has frequently gone out of his way to publicly
    It has been the intention of this paper to use simple recognise my work; Charles Aubeny who I collabo-
    examples to explain the robust generality of PLA rated with at Texas A&M and who contributed so
    methods and to hint at their ability to obtain ap- much to my education; my friends at BP, Ed Clukey
    proximate and useful solutions to complex problems. and Philippe Jeanjean. Ed has been a colleague for
    It is argued that, properly applied, these methods many years starting with our days together at Exxon;
    achieve the same outcome that more traditional limit Philippe was one of my first students. Both have
    equilibrium methods achieve when correctly formu- gone on to highly successful careers and have kept
    lated. However, the argument here is not to abandon me engaged in interesting and rewarding projects
    traditional methods, but to use PLA methods to build since my retirement from Exxon. And there are
    on the limit equilibrium techniques and add to their many, many more. Thank you.
    generality and consistency.

    40
    Finally I want to acknowledge Jill Rivette, P.E. who Green AP. (1954). The plastic yielding of metal
    is, among other things, an expert in the vagaries of junctions due to combined shear and pressure. J.
    Word, and who has hammered my very, very rough Mech. Phys. Solids 2: 197211.
    drafts of this paper into a thing of beauty. Hanna AM and Meyerhof GG. (1980). Design charts
    for ultimate bearing capacity of foundations on
    References sand overlying soft clay. Canadian Geotech. Jrnl.
    17: 300303.
    American Petroleum Institute (API). (19692000). Houlsby GT and Puzrin AM. (1999). The bearing
    RP 2A-WSD. Planning Designing and Construct- capacity of a strip footing on clay under combined
    ing Fixed Offshore Platforms Working Stress loading. Proc. R. Soc. Lond. 455: 893916.
    Design. 121 editions. Washington, DC: API. Jeanjean P, Watson PG, Kolk HJ and Lacasse S.
    API and International Organization for Standardiza- (2011). The new API Recommended Practice for
    tion (ISO). (2011) ANSI/API Specification RP Geotechnical Engineering: RP 2GEO. OTC
    2GEO. Geotechnical and Foundation Design Con- 20631. Proc. Offshore Tech. Conf., Houston,
    siderations for Offshore Structures. Washington, USA, 138.
    DC: API. Matlock H. (1970). Correlations for design of lateral-
    Aubeny CP, Han SW and Murff JD. (2003). Inclined ly loaded piles in soft clay. OTC 1204. Proc. Off-
    load capacity of suction caissons. Int. Jrnl. Nu- shore Tech. Conf., Houston, USA, 577594.
    merical and Analytical Meth. in Geomechanics Meyerhof GG. (1953). The bearing capacity of foot-
    27: 12351254. ings under eccentric and inclined loads. Proc.
    Bishop RF, Hill R and Mott NF. (1945). The theory Third Int. Conf. Soil Mech. and Found. Engrg.,
    of indention and hardness tests. Proc. Phys. Soc. 440445.
    57: 147159. Murff JD. (1987). Plastic collapse of long piles under
    Bransby MF and Randolph MF. (1998). Combined inclined loading. Int. J. Numerical and Analytical
    loading of skirted foundations. Geotechnique 48: Methods in Geomechanics 11: 185192.
    637655. Murff JD. (1994). Limit analysis of multi-footing
    Brinch Hansen J. (1970). Bulletin 28: A Revised and foundation systems. Proc. Eighth Int. Conf. On
    Extended Formula for Bearing Capacity. Copen- Computer Methods and Advances in
    hagen: Danish Geotechnical Institute. Geomechanics, 233244.
    Brown JD and Meyerhof GG. (1969). Experimental Murff JD and Hamilton JM. (1993). P-ultimate for
    study of bearing capacity in layered clays. Proc. undrained analysis of laterally loaded piles. ASCE
    Seventh Intl. Conf. Soil Mech. Found. Engrg. vol. Journal of Geotechnical Engineering 119: 91107.
    2, 4551. Murff JD and Miller TW. (1977a). Foundation stabil-
    Calladine CR. (1969). Engineering Plasticity. New ity on non-homogeneous clays. ASCE J. of the
    York: Pergamon Press, 318pp. Geotechnical Engineering Division 103: 1083
    Chen WF. (1975). Limit Analysis and Soil Plasticity. 1095.
    Amsterdam: Elsevier, 638pp. Murff JD and Miller TW. (1977b). Stability of off-
    Cox AD, Eason G and Hopkins HG. (1961). Axially shore gravity structure foundations using the upper
    symmetric plastic deformation in soils. Phil. bound method. Proc. Offshore Tech. Conf., Hou-
    Trans. Royal Society of London, Series A, 254: 1 ston, USA, 147154.
    45. Murff JD and Miller TW. (1980). Shallow penetra-
    Davis EH. (1968). Theories of plasticity and the tion of marine foundations. ASCE Proceedings of
    failure of soil masses. In: Lee IK. (ed.). Soil Me- the Symposium on Limit Equilibrium, Plasticity,
    chanics: Selected Topics, 341380. and Generalized Stress-Strain Applications in Ge-
    Davis EH and Booker JR. (1973). The effect of in- otechnical Engineering, ASCE Annual Conven-
    creasing strength with depth on the bearing capac- tion, Hollywood Florida, 139152.
    ity of clays. Geotechnique 23: 551563. Olsen RE and Dennis ND. (1982). Review and com-
    Drucker DC and Prager W. (1952). Soil mechanics pilation of pile test results, axial pile capacity. Fi-
    and plastic analysis or limit design. Qrtly. of Ap- nal report to American Petroleum Institute on Pro-
    plied Mathematics 10: 157165. ject PRAC 8129, Univ. Texas at Austin.
    Gourvenec S and Randolph MF. (2003). Effect of Pelletier JH, Murff JD and Young AC. (1993). His-
    strength non-homogeneity on the shape of failure torical development and assessment of the current
    envelopes for combined loading of strip and circu- API design methods for axially loaded piles. OTC
    lar foundations on clay. Geotechnique 53: 575 7157. Proc. Offshore Tech. Conf., Houston, USA,
    586. 253282.

    41
    Prager W. (1959). An Introduction to the Theory of tion of local coordinates and integrated along EF as
    Plasticity. Reading, MA: Addison-Wesley, 148pp. follows:
    Prandtl L. (1921). Eindringungsfestigkeit und

    festigkeit von schneiden, Zeit. f. Angew. Math. u.

    Mech., 1, 15. 
    Pratt JA, Priest T and Casteneda CJ. (1997). Offshore 
    Pioneers. Houston: Gulf Publishing, 302pp.
    Randolph MF. (2001). Personal communication. For simple strength variations the integration can be
    Randolph MF and Houlsby GT. (1984). The limiting done analytically, but for general variations numeri-
    pressure on a circular pile loaded laterally in cohe- cal integration may be required. For a linearly in-
    sive soil. Geotechnique 34: 613623. creasing strength profile, common in offshore appli-
    Randolph MF and Murphy BS. (1985). Shaft capaci- cations, is as follows:
    ty of driven piles in clay. OTC 4883. Proc. Off-
     
    shore Tech. Conf., Houston, USA, 18.
    Reese LC. (1958) Discussion of Soil Modulus for To calculate the EDR along FG, a local coordinate
    Laterally Loaded Piles by Bramlette McClelland system centred at I is used ( Figure 15). Again, the
    and John A. Focht, Jr. (Proceedings, ASCE, Paper general case requires integration as follows:
    1081), Transactions, ASCE, vol. 123, 10711074.

    Reissner H. (1924). Zum Erddruckproblem. Proc.
    First Int. Conf. on Applied Mechanics, Delft, 
    295311.
    Sokolovskii VV. (1965). Statics of Granular Media. 
    New York: Pergamon Press, 270pp.
    where:
    Teng WC. (1962). Foundation Design. Englewood
    Cliffs, NJ: Prentice Hall, 466pp.  
    Terzaghi K. (1943). Theoretical Soil Mechanics.
    New York: J. Wiley and Son, 528pp. and the depth from the soil surface in local coordi-
    Vesic AS. (1975). Bearing capacity of shallow foun- nates is:
    dations. In: Winterkorn HF and Fang HY. (eds.).
     
    Foundation Engineering Handbook. New York:
    van Nostrand Reinhold, 121147. The EDR in the sector FGI is calculated using the
    same local coordinate system as for FG. In this ra-
    Appendix A: Upper Bound Calculations for
    dial shear fan, however, the tangential velocity var-
    Energy Dissipation Rates for the Brinch Hansen
    ies linearly along the radius ( )as follows:
    Mechanism
     
    This appendix provides examples of detailed upper
    bound calculations of energy dissipation rates for the The only non-zero strain increment term is then:
    Brinch Hansen failure mechanism (see Figure 15)

    including variable soil strength with depth. These ex- 
    amples only describe the right side of the mechanism 
    for . With slight modifications in the values of
    and , the calculations for the other components The maximum principal strain increment is then:
    follow the same pattern. A general description of the
    mechanism is provided in the main text. The rigid 
    
    sector EFI slips along the arc EF because of the vir-
    tual rotation rate ( ) about the center of rotation O at and the EDR is then:
    , . The energy dissipation rate (hereafter called
    EDR) for a uniform strength soil is then:  

     



    


    
    
    where:
    Now, to generalise the result for a variable shear
    strength with depth, must be expressed as a func-  

    42
    The velocity along GH is also equal to , so the In region ABCD, it is assumed that the vertical ve-
    EDR is integrated along GH. The local coordinate locity is given as:
    system for this calculation is a rectangular system

    with origin at G and the axis along GH. The EDR 
    is then: 
    where is the thin layer thickness. Since the defor-
     mation field is incompressible, it can be stated that:
    
      
    
    The depth (y) in local coordinates is then:
    The EDR within region ABCD is then:
    
     
    
    The triangular region GHI is deforming to conform
    to the varying velocity along GI. Using the same co- Since the EDR is constant throughout ABCD, the to-
    ordinate system as for GH, the only non-zero veloc- tal EDR is then simply .
    ity is:
    It can be shown that in region ABCD is a func-
      tion of only by integrating Equation B2 to get:

    Thus the only non-zero strain increment component 
    
    is then:
    Since at the function (), in Equa-

     tion B4 is 0. Assuming the interface strength at BC
    
    is , the dissipation along BC is:
    Since the strain increment is a constant, one can

    carry out the integration in yet a simpler coordinate 
    
    system, with origin at G and the axis parallel to
    the soil surface. The EDR is then:
    If it is assumed that full adhesion of the soil along

    AD, then the EDR is equal to that along BC, or for

    no adhesion the EDR along AD is zero.
    
     From Equation B4, the velocity ( ) along CD is
    equal to . The wedge CED then remains
    where: rigid and the EDR along CE is:

    
      

    As mentioned earlier, the calculations for the re- At the interface CD the vertical velocity of the
    maining components follow in a similar manner. squeezing zone is downward (Equation B1), and the
    vertical velocity of the wedge is upward, given by:
    Appendix B: Upper Bound Calculations for
    Energy Dissipation Rates for the Squeeze  

    Mechanism
    Because the velocities are in opposite directions, the
    This appendix provides examples of detailed upper relative velocity is the relevant value to calculate the
    bound calculations of energy dissipation rates for the dissipation. This is a function of y and is therefore
    squeeze failure mechanism shown in Figure 19. integrated along CD to give:
    7KHEDRs are determined within continuous, thin
    layer ABCD, at the interfaces AD and BC, along the 
    
    slope CE and at the thin layer-wedge interface CD.
    The mechanism is symmetrical, so only the right The EDR terms determined here are summed, multi-
    hand side is detailed here. plied by two (for symmetry) and set equal to the ex-

    43
    ternal work rate ( ). The resulting vertical load
    () given in Equation 37 in the main text is then
    minimised with respect to to give the best upper
    bound.

    44
    DATA INTEGRATION AND UNCERTAINTIES IN GEOHAZARD
    ASSESSMENT
    Eric Cauquil
    Total, Paris, France

    1. Introduction 2. Geographical Information System: A Powerful


    Tool for Data Integration
    With recent developments and application of geo-
    graphical information system (GIS) capabilities, Several decades ago, Terzaghi and Peck wrote:
    geohazard assessments can benefit from detailed
    Site characterization comprises the construction
    data integration. This facilitates the merging of dif-
    of a soil profile by interpolating between drill
    ferent datasets, such as 3D exploration seismic;
    holes and samples, to divide the subsoil into zones
    high-resolution seismic (e.g. HR2D, sub-bottom pro-
    consisting of materials with approximately the
    filer); geotechnical (e.g. boreholes, cone penetration
    same engineering properties (1967).
    tests (CPT)); or environmental (e.g. sampling, visual
    inspection) data. The result of this integration is a At that time, geotechnical engineering was still re-
    conceptual geological model to be used as a support garded as part of civil engineering, relying upon the
    for the geohazard assessment, and which is provided principles of mechanics and hydraulics. Today,
    to the engineering team in charge of a facility de- geotechnical engineering is recognised as an obvious
    sign. The engineering team, however, expects pre- bridge between geology and civil engineering, and
    dictions (time, place, magnitude and probability of in many areas it requires an integrated and multi-
    an event), while most geoscientists can only offer an disciplinary approach. Such an approach linking
    improved forecast (general statement of future pos- geosciences and geotechnical engineering should be
    sibilities). considered in terms of common concerns and re-
    quirements, such as obtaining, organising, validat-
    Geological interpretation relies upon a combination ing, displaying and interpreting surface and sub-
    of data and knowledge of the local geology, but in surface data.
    fact, a high degree of subjectivity may be introduced
    by the geologist when interpreting different datasets. It has only been possible in the last a few years to
    To reduce this subjectivity, the interpreter should properly interpolate geosciences data within a GIS
    conduct an evaluation of the reliability of the model, that allows integration of geophysical, geological
    taking into account the uncertainties related to each and geotechnical data. GIS is today present at all
    dataset (e.g. accuracy, resolution). The quantifica- stages of the exploration and production (E&P)
    tion of uncertainties may be carried out for each process, providing information to facilitate decision-
    dataset, but that of the conceptual geological model making for the selection of a new E&P site, for the
    as a whole is not easy to determine. This paper re- definition of a pipeline route or for optimising the
    views best practice in terms of data integration by schedule of an installation. The tool enables cross-
    means of a GIS and details uncertainties that should functionality within a project by compiling data
    be taken into account. It also addresses considera- from different sources, methods and disciplines. As
    tions related to geostatistics and probabilities, in data from a wide variety of sources evolve over the
    order to provide a reliable conceptual geological course of a project, a GIS provides daily assistance
    model for geohazard assessment. for studies and for project teams.

    45
    Of particular interest is the use of a GIS for geo- architecture must be sufficiently robust to allow
    hazard assessment. The aims of this type of assess- proper interconnectability between data, and to fa-
    ment are to highlight the geological process that may cilitate retrieval of information.
    affect the field exploration and/or development, and
    to understand the potential evolution of the site dur- The use of a GIS for a preliminary geohazard
    ing the life of the E&P operations (Thomas, 2010). assessment allows for the development of a geologic
    As the geohazard assessment generally occurs at the model using geological, geophysical, geotechnical,
    very beginning of a project, it is worth building a environmental and regulatory information. An ap-
    geohazard-oriented GIS architecture at this early propriate combination of geophysical and geotechni-
    stage. However, it should be kept in mind that the cal technologies is an effective means of producing
    GIS will be used throughout the lifetime of the field geological models in the marine environment. In ad-
    (Figure 1). dition, discrepancies or inconsistencies between dif-
    ferent datasets lead to insights and highlight defi-
    For geohazard assessment, a GIS is a valuable tool ciencies in the available information. A GIS should
    for storing, managing, displaying and interpreting therefore be sufficiently flexible to be used by a
    geospatial data from different sources, types and wide variety of professionals, including geoscien-
    formats into one integrated dataset. Taking into ac- tists, engineers and field operators. It should also be
    count the diversity of data and project complexity, sufficiently flexible to incorporate new data in order
    large amounts of data may be provided by different to update and refine the geologic model. In particu-
    survey contractors, thus these data should be struc- lar, integration of factual and interpreted data may
    tured in an efficient and consistent manner. The GIS provide the same type of information, but in differ-
    architecture should present a clear hierarchical clas- ent formats. For example, bathymetric data may
    sification of the geo-database that avoids being exist as either ASCII xyz data, or as shapefiles that
    overwhelmed by the massive data volume. Data- describe contour lines. With new data, it should be
    integrity control is of major importance, in particular possible to include hyperlinks to link available
    quality assurance/quality control (QA/QC) checks documents as logs, laboratory tests, pictures and
    regarding geodetic parameters. The geo-database seismic lines.

    Figure 1: Implementation of the GIS during the lifetime of an E&P project

    46
    With such a GIS architecture, the geohazard expert of uncertainties are differentiated by Dubois and
    has access to different themes of information and to Prade (2000) as follows:
    the means by which to analyse and combine a multi- x Imprecision or inaccuracy is a deviation of a
    tude of parameters. Through the possibility of gen- measurement from a true value.
    erating original models and scenarios, the geohazard x Vagueness or ambiguity is related to the un-
    and risk assessments can be properly conducted. A certainty of non-statistical or non-measurable
    GIS should be considered as a living tool and, properties or objects. Bardossy and Fodor
    most of all, not limited to a simple database. It al- (2004) consider that vagueness is a type of
    lows from a single support the ability to visualise uncertainty related to the method of descrip-
    and interpret, via information correlation, a wide tion or representation. For example, such
    range of data obtained from different techniques vagueness occurs in classifying a soil accord-
    with highly variable resolutions. However, it is not ing to standard classifications system, but in
    sufficient to use only a GIS to obtain a true data in- fact the latter encompasses a wide range of
    tegration. possible soil types and behaviours. When
    comparing two soils with the same classifica-
    The widespread adoption of versatile spatial tools tion, uncertainty naturally exists.
    such as GISs has to be encouraged and accelerated. x Incompleteness (or approximation) is a type
    In addition, users, particularly geologists and of uncertainty occurring when the amount of
    geotechnical engineers using such systems, must ap- information or knowledge (measurement or
    preciate and be committed to the value of data inte- description) is insufficient to perform an
    gration. It may be surprising that even within some adequate evaluation of a given population.
    major E&P companies, geohazard engineers and In earth sciences, major uncertainty results from in-
    geotechnical engineers are still belonging to differ- complete knowledge of a geological process and is
    ent entities without establishing relationships. A related to the ability to understand, measure and/or
    tenuous link exists between geophysicists and ge- describe the system. Engineers and geohazard ex-
    ologists, but the link with geotechnical engineers perts have to face uncertainties at all phases of a pro-
    may not be so obvious for still too many people. ject. Indeed, because of the high variation in type
    Both geohazard specialists and geotechnical engi- and distribution of soil layers, it is inherently natural
    neers must look beyond their narrow specialties and during site characterisation to deal with uncertainty.
    learn to take a more inclusive perspective in assess- For geohazard assessments, uncertainty can be con-
    ing problems and devising solutions. A multidisci- sidered as the lack of adequate information to take a
    plinary approach via the integration of data and the decision during risk assessment and management.
    integration of people is essential today. Interdiscipli-
    nary linkages must become the standard in the de- A particular geological feature (and its geotechnical
    velopment of strategies addressing site-specific chal- parameters) is a highly site-specific phenomenon,
    lenges. Modelling geotechnical problems requires and involves many parameters that vary in space and
    knowledge of the location and nature of geological time. It is not possible to determine all these parame-
    discontinuities. ters, and understanding the feature must therefore be
    based on simplified physical models, empirical
    models and expert judgment. These parameters, and
    Even today many engineers do not fully appreciate the relevant datasets, are very heterogeneous and
    the differences between the natural variability of every dataset has uncertainties of its own. When
    geotechnical parameters, and systematic uncertain- combining these datasets, uncertainties related to the
    ties and bias. The latter are associated with each pa- geological interpretations are introduced, in addition
    rameter as a consequence of the particular methods to the uncertainties of the individual datasets.
    of investigation and measurement used. Further-
    more, there may be uncertainties associated with the Furthermore, the differences in data types and data
    geotechnical model used, and allowance must be density will consequently lead to a geological model
    made for that uncertainty in considering and using a with its own level of uncertainties. Most of the time,
    method of analysis. historical data are not available. While physical
    models are helpful in understanding the relevant
    3. Uncertainties and Geohazard Assessment processes, currently they do not capture the stochas-
    tic nature of these processes in a satisfying manner.
    In mathematics, uncertainty is a lack of certainty in Inevitably, the resulting estimates are subject to
    describing an object, feature or process. Three types large uncertainties. Understanding uncertainty re-

    47
    quires knowing the difference between prediction essential to determine whether observed differences
    and forecasting. Designers expect prediction, but are due to actual environmental variability, or are
    geoscientists can offer only improved forecasting. simply a result of uncertain parameter estimates.
    Geoscientists must then manage that expectation, by
    explaining the limits of their knowledge Heterogeneity is particularly true at the geotechnical
    (Rosenbaum and Culshaw, 2003). scale. The spatial variation of a soil layer can be
    characterised in detail, but only if numerous tests are
    3.1 Uncertainty due to natural variability/ performed. Natural processes bring uncertainty and
    heterogeneity aleatory variability to soil properties that define the com-
    Uncertainty due to natural variability (or heterogene- pressibility and strength of soils. The variability of
    ity) is random by nature and inherent to the natural soil properties is then associated with three major
    properties of all geological features, objects and proc- sources of uncertainty: measurement error, trans-
    esses. This type of uncertainty cannot be resolved formation uncertainty and inherent soil variability.
    even with additional data. Geological properties ob- Measurement error is caused by a measuring instru-
    served at different locations have widely varying val- ment, procedural operator and random testing
    ues. Even if seemingly homogeneous, soils can be effects. Transformation uncertainty is attributed to
    complex engineering materials formed by a combina- semi-empirical and theoretical models for design
    tion of various geological, environmental and phys- parameters (Christian et al., 1994; Phoon and Kul-
    ico-chemical processes (Phoon and Kulhawy, 1999; hawy, 1999; Baecher and Christian, 2003). It is in-
    Baecher and Christian, 2003). This can result in a troduced when measurements are transformed into
    high vertical and horizontal variability of properties. design parameters.

    Indeed, soil properties vary spatially as a result of Inherent soil variability is generally assessed and de-
    depositional and post-depositional processes that scribed using a coefficient of variation (COV equals
    cause variation in properties (Lacasse and Nadim, standard deviation, divided by the mean or best es-
    1994). The higher the variability of a geological fea- timate). The COV represents the measurements with
    ture and object, the larger the uncertainty of its a trend function and a fluctuating component that
    evaluation (Bardossy et al., 2004). However, such characterises the inherent soil variability (Figure 2),
    variability may be structured as a granoclassement, for which basic statistical analysis could be done.
    but also unstructured due to the unexpected and spa- Phoon and Kulhawy (1999) proposed COVs calcu-
    tial position of a feature. This type of variability lated from London clays and obtained variations of
    cannot be exactly predicted. For proper quantitative 40% for some parameters, including density, with a
    examination of spatial variability, it is important to potentially strong impact on geophysical-
    differentiate among the parameter estimate uncer- geotechnical correlations. The use of a COV as a
    tainty, model parameterisation effects and actual dimensionless value could be a helpful measure of
    spatial variability. Rigorous uncertainty estimation is relative dispersion of data around the sample mean.

    Figure 2: Soil variability the spatial variation may be decomposed into a varying trend function (T) and a fluctuating component
    (W); the soil property (S) at a given depth (z) is S (z) =T (z) +W (z)

    48
    Figure 3: Geological reality versus 3D exploration geophysical signature approximately at the same vertical/horizontal scale

    In geophysics, and particularly in seismic data, the ground engineering, where there will always be im-
    natural variability of geological formations is made perfect knowledge of the ground and its behaviour,
    more complex by the fact that similar seismic re- any assessment of hazards must also consider uncer-
    sponses may have different geological origins. Under- tainties. Understanding uncertainty and reporting it
    standing the true significance of an amplitude anom- contributes to reliability of the final interpretation.
    aly requires a detailed investigation, with dedicated Most of the incomplete knowledge is due to a lack
    processing and modelling that sometimes results in of, or low-quality, data.
    several possible interpretations. Geological boundaries
    interpreted from geophysical interfaces define sur- Uncertainties caused by this can be related to accu-
    faces between units of ground with differing rock type racy and precision of field data, including measure-
    (or other properties), and are generally cartographi- ment and data handling errors, or limited, non-
    cally represented as sharp lines on a geological map. representative or unavailable data. In addition, in-
    However, by their nature the boundaries between soft adequate sampling, whether that be related to sample
    sediments are characterised by transition zones and volume or sampling pattern could cause uncertain-
    are therefore indeterminate and gradual. These ties. Typical examples of inadequate sampling are
    boundaries are often constructed on stratigraphical geophysical surveys that use too wide of a line spac-
    principles (i.e. history and sequence of sediment ac- ing, or an inadequate temporal sampling frequency
    cumulation), and the zones are often taken to coincide that does not allow the accurate reconstruction of the
    with the boundaries between geotechnical properties, signal. In geotechnics, this type of uncertainty is
    without having a proper calibration between geo- generally related to the in situ or laboratory meas-
    physical and geotechnical information. urements that could be insufficient and/or have
    errors (e.g. sample preparation, calibration errors)
    During in situ data integration and correlation (e.g. for which the limit of detection must be considered
    boreholes, CPT, wells), geophysical interpreters and that do not allow for a description of the system.
    should always keep in mind the seismic spatial (line Rather than a characterisation of soil properties at
    spacing or bin size) and vertical (time/depth conver- every point, data are used to estimate a smooth
    sion) scale effects that may induce strong distortions trend, and remaining variations are described statis-
    with the geological reality (Figure 3). Hence, inte- tically because of the lack of data.
    gration of sample information and geophysical data
    lead to another source of uncertainty considering Disturbance of a sample during the sampling proc-
    the unpredictable nature of the relationship between ess, as well as the handling and testing of the sam-
    lithofacies and sismofacies. By the end, it must be ple, may modify the physical properties of the
    stressed that natural variability can be studied, quan- sample (Buckley et al., 1994). The degree of sample
    tified and described, but it cannot be diminished. Be- disturbance should be one of the most important
    fore performing the uncertainty assessments, all considerations in geotechnical engineering design.
    datasets should be thoroughly controlled to minimise Collecting representative samples of weak soils at
    the uncertainties related to individual datasets. the mudline can be difficult (Lunne et al., 1998; Ev-
    ans et al., 1998). The uncertainties in geotechnical
    3.2 Uncertainty due to incomplete knowledge, lack engineering are largely inductive: the process starts
    of data and/or low-quality data with limited observations, and then judgment, geo-
    Uncertainty due to incomplete knowledge (or epis- logical knowledge and statistical reasoning are em-
    temic uncertainty) results from measurements that ployed to infer the behaviour of a poorly defined
    are inherently limited, incomplete or redundant. In universe (Baecher and Christian, 2003).

    49
    Obviously in the offshore industry, all acquisition 3.3 Uncertainty due to subjectivity
    systems rely on subsurface positioning accuracy. Geologists are often required to make judgments and
    Classically, these subsurface positioning systems are interpretations in situations of uncertainty where
    affected by a number of factors, including acquisi- data are inadequate to fully constrain any particular
    tion system specification and setup; installation and interpretation. In such case, it is dependent on the
    calibration; frequency content of the signal; and prior knowledge, experience and intuition of the ex-
    environmental conditions. Generally in deep water, pert interpreting the data, and hence the result may
    positional accuracy is in the range of 0.250.5% of be quite subjective. The geological prior information
    water depth. For 1000m water depth, this gives an employed is difficult to assess or quantify, as experi-
    error of about 5m, which is not negligible when ence and knowledge vary from expert to expert, as
    comparing two sets of data supposed to be acquired well as the methods experts may use to generalise
    at the same location. and categorise information. Geological interpreta-
    tions can therefore have some degrees of subjectiv-
    Regarding bathymetry, sound velocity in the ocean ity, and these may dominate the uncertainties related
    is complicated, and uncertainty in the propagation of to the datasets. This applies particularly to geologi-
    sound through the water column is one of the main cal uncertainty, where knowledge on geological his-
    sources of error in modern surveying. In addition to tory and formation processes basically is qualitative
    estimating the measurement uncertainty associated (Nilsson et al., 2007).
    with depth and position of point soundings, addi-
    tional uncertainty can be introduced into representa- Research has shown that all experts are subject to
    tive bathymetry models by various gridding or inter- biases when making probabilistic assessments,
    polating methods. In geophysics, most acquisition which result in inaccurate and uncertain judgments
    systems rely on acoustic propagation of sound in the (Baddeley and Tatler, 2006). For example, numerous
    water column and within the subsurface. These studies have shown that experts find it difficult to
    acoustic propagations are subject to filtering by the assign numerical probabilities to judgments. This is
    transmitting media, and most of the information because sometimes heuristic approaches (rules of
    used for interpretation is the result of this filtering thumb) are used to assess probability, and these
    effect. The sampling and frequency of the signal introduce biases that are well known in cognitive
    affect the resolution and the ability to distinguish psychology (Polson and Curtis, 2010).
    separate features by the minimum distance between
    two features, so that the two can be defined sepa- 3.4 Uncertainty in modelling
    rately rather than as one. The construction of geological models includes the
    use of numerous datasets, each having its own un-
    Even though the inherent vertical resolutions of certainty. A model is a simplification and a generali-
    geophysical tools range from 15cm to 23m, most sation of a problem, usually with a smoothing of the
    positional uncertainties result from inaccurate time- information where parameters are organised in such
    to-depth conversions. For single-channel sources a way that the system can be analysed more readily
    (e.g. pinger, boomer, sparker, chirp), access to the by the end user. Input parameters due to the pres-
    velocity field is generally not possible and arbitrary ence of test errors, insufficient number of tests and
    time-to-depth conversions are used. For multi- the inherent variability of soil properties are the pri-
    channel seismic, stacking velocities are usually too mary sources of model uncertainty. Uncertainties in
    coarsely sampled, and phase shifts (either acquisi- both the accuracy and applicability of numerical
    tion- or processing-related) may cause a seabed in- models and associated simplifications must be con-
    tercept detection error of 2m. Seismic reflections sidered. In addition, these simplifications do not al-
    are caused by contrasts of impedance (the product low extreme values that may be significant to be
    of velocity and density) between sediment layers, taken into account.
    but geotechnical properties are related to plasticity,
    permeability and strength. Furthermore, gradational One of the major difficulties in modelling is to inte-
    changes in sediments observed on sensitive grate parameters having scales ranging from strati-
    geotechnical tools may not generate a reflection on graphical and geotechnical features (centimetre or
    the seismic. Traditionally, epistemic uncertainties millimetre scale) to semi-regional areas (kilometre
    have been handled with logic trees (discrete possi- scale). As discussed earlier, the major added value
    ble values with associated weights), while aleatory from a GIS is the possibility to integrate and visual-
    uncertainties are often handled with probability dis- ise geospatial data obtained from different tech-
    tributions. niques having a wide range of resolution. It is then

    50
    absolutely required to clearly understand the scale of methods produce one deterministic image of the
    each dataset before trying to integrate the different geological context, acknowledging heterogeneity but
    results. For instance in marine geophysics, data reso- not describing it.
    lution increases significantly when progressing from
    3D seismic exploration data to sidescan sonar data With a deterministic approach, model uncertainty
    (Cauquil and Adamy, 2008). For 3D exploration may be classified as low, intermediate or high. Low
    data, the seabed data unit is a bin (a cubic volume) uncertainty of the geological model means that an
    12.5 12.5 5m (with a 2ms sampling rate and a adequate amount of reliable data ensures that a
    75Hz dominant frequency) corresponding to cubic credible geological interpretation can be made. In-
    volume of 780m3. With a 200kHz multibeam echo- termediate uncertainty of the geological model sug-
    sounder (MBES), the data unit is in the order of gests that a limited amount of data are available,
    18m3 with a pixel size of 3 3m and a penetration and/or that the available data are of low quality.
    from a few centimetres to 12m, depending on the Therefore, the geological interpretation is made on
    sedimentology. With a 120kHz sidescan sonar, the the basis of information from adjacent areas and/or
    data unit is again reduced, in the order of 0.6m3 with from indirect information. High uncertainty of the
    only few centimetres of penetration (Figure 4). geological model suggests an absence of data, or
    only a limited amount of data of poor quality.
    Hence, the geological interpretation is primarily
    based on extrapolations from adjacent areas. It is
    then mandatory to verify the models validity
    through a validation protocol (Figure 5). Any new
    data should be considered to test the model, its
    mathematical approach and its robustness.

    Figure 4: Scale factor and value of information

    It must be noted that quantity of information is in-


    versely proportional to the data unit volume. From a
    3D bin, numerous attributes may be extracted, in-
    cluding amplitude, reflectivity, frequency, velocity,
    and phase. From an MBES data unit, depth and
    backscattering can be extracted, while from a sides-
    can sonar data unit, only backscattering of the sea- Figure 5: Verification and validation in aid-computer
    bed may be obtained. It is then very important to un- modelling
    derstand this scale factor effect for geophysical data
    integration and interpretation. It is even more com- Major geohazards are not recurrent processes and
    plex when integration of visual observation or geo- thus cannot be addressed via probabilistic ap-
    technical data is also desired, for which the scale is proaches, as no historical record (frequency of the
    usually centimetres. It is obviously useless to try to event) exists. The geohazard assessment must then
    correlate a CPT profile with 3D exploration data be founded on geological knowledge and field ob-
    unit. Hence, data integration induces new types of servations (proxies) from reliable methods of detec-
    uncertainties, and the model uncertainty will express tion that can locate the potential hazard vertically
    the deviation of the given model from the natural and spatially. The hazard level may then be defined
    reality. Estimating uncertainties are hence only use- directly reflecting the quantity (and quality) of the
    ful if they may alter decisions or interpretations observed proxies and all relevant uncertainties. Ac-
    drawn from the data. cording to this hazard level, the management team
    may choose acceptability, avoidance or remediation
    Descriptive methods are used to create images of of the hazard. As a quantitative approach is rarely
    subsurface geological depositional architecture. possible due to the lack of in situ data, the risk as-
    They involve combining site-specific and regional sessment relies mostly on a qualitative approach for
    data with conceptual depositional models and geo- the identification of a given geohazard and the
    logical insight. Input from natural analogues is gen- mechanisms leading to potential damage (Cauquil,
    erally required, but for a given site, descriptive 2009).

    51
    As discussed earlier, numerous sources of uncertain- tems subsequent state is determined by both the
    ties must be considered during the integration of process predictable actions and a random element
    data in the frame of a geohazard assessment. Even if process. The systems behaviour is intrinsically spo-
    statistical tools for characterising uncertainty are radic, non-deterministic and categorically non-
    well developed, it should be realised that many as- intermittent. In comparison, deterministic models
    pects of uncertainty cannot be quantified, but have to use single estimates to represent the value of each
    be described qualitatively or subjectively. If qualita- variable. To account for uncertainties in determining
    tive descriptions of uncertainty are not allowed, material parameters and the scatter of in situ behav-
    much of the geological knowledge ends up being iour, these variables are usually given in terms of
    excluded. This applies particularly to geological un- ranges. In deterministic numerical calculations,
    certainty where knowledge of geological history and characteristic values have limited variation of pa-
    formation processes basically is qualitative. By the rameter combinations.
    end, too much uncertainty may lead to the inability
    of the model to fully represent the actual shallow 4.1 Probability versus statistics
    geological system. Probability deals with predicting the likelihood of
    future events, while statistics involves the analysis
    4. Dealing with Geological Uncertainties of the frequency of past events. Hence, probability
    theory enables one to find the consequences of a
    In complex geologic settings, geohazard assessments process for a given system, while statistical theory
    must address a variety of uncertainties and the limi- enables one to measure the extent to which the sys-
    tations of available data. Uncertainty must then be tem is correctly described. Despite this clear mathe-
    considered during two very different stages of the matical definition, there is sometimes confusion in
    analyses. First, uncertainty due to natural variability the terminology used by geoscientists. Even with the
    of soil parameters must be evaluated to obtain a de- advances that have been made in the application of
    scription of the system as close as possible to reality. probabilistic analyses for geohazard assessments,
    In the best case scenario, an engineer obtains a sys- there are still controversies and misunderstandings
    tem described for a given state and may then define surrounding their use (Hanson and Schuemann,
    a conceptual ground model. In this case, uncertainty 2005). This paper does not aim to review exhaus-
    due to inherent variability and heterogeneity of tively the statistics and probability approaches often
    stratigraphy and material properties (random vari- used by geoscientists. Instead, it intends to give just
    ables) may be addressed via geostatistical or prob- an outline for understanding the fundamentals of the
    abilistic approaches, which help to obtain a coherent major methods, i.e. the statistics sensus stricto, the
    model. Second, as a proper geohazard assessment is Bayesian approach and the Monte Carlo simulation.
    supposed to provide a range of forecasts based on
    plausible scenarios, the potential hazard must be Statistics can be calculated from a given set of ob-
    characterised in terms of the probability of a meas- served data to gain a better understanding of the dis-
    urable physical parameter exceeding a certain tribution of the variable. Statistical methods are ap-
    threshold during a given period of time. As stated by plied to find causes, quantify effects and compare
    Jeanjean et al. (2003), the approach is to infer the competing causal theories. In geotechnics, under-
    past, understand the present and predict the future. standing and quantifying uncertainty by statistics is
    generally conducted via graphical methods, such as
    In both cases, probabilities may provide tools to histograms, frequency plots, frequency density plots,
    cope with uncertainties in input parameters and in cumulative frequency plots and scatter plots. In addi-
    the model itself. A geohazard assessment requires tion, numerical methods are often used, such as cen-
    the answers to the two following questions: How tral tendency, dispersion, skewness and correlation.
    accurate/reliable is the geological model? How pre-
    dictable is the geological model? Most geological Statistics applied to geosciences and geostatistics is
    investigations deal with random (stochastic) events. driven by the recognition that geological processes
    This is the reason why statistics and probability or parameters are subject to spatial variation. Geo-
    theories are, at present, considered as the basic tools statistical analysis examines spatial relationships, in
    to handle uncertainties in geosciences (Tutmez and addition to establishing statistical distributions of
    Tercan, 2007). A stochastic model is a technique of data. There is then an obvious link between the de-
    presenting data of predicting outcomes that takes velopment of GIS and the application of geostatisti-
    into account a certain degree of randomness or un- cal principles. Each parameter is associated with a
    predictability. With a stochastic process, the sys- location in space, and there is at least an implied

    52
    connection between the location and the parameter. measurements (Cauquil et al. 2005). Finally, multi-
    The principle of geostatistics is to consider that variate geostatistics using physical/mechanical
    points which are very close together tend to have parameters from laboratory tests has demonstrated
    similar characteristics, and conversely points which its validity for the preliminary geotechnical charac-
    are far apart may have different characteristics. Ob- terisation of deposits (Raspa et al., 2008). Geostatis-
    viously, the correlation between points tends to de- tics are also applied heavily in the frame of reservoir
    crease with distance. engineering studies. Guidance and recommendations
    for use of statistical methods for analysis and repre-
    Geostatistical analysis provides a 3D visualisation of sentation of soil data are detailed in report Det Nor-
    spatial variability of soil parameters, through crea- ske Veritas (DNV) RP-C207 (2007).
    tion of soil-parameter maps. This involves drawing
    contour maps of standard deviations of estimated Probabilities rely on the basic concept of the random
    values of a parameter at the places where samples variable, a mathematical model representing a quan-
    have not been taken. Through this visualisation, tity that varies. A random variable model describes
    zones of increased uncertainty (due to higher stan- the possible values of a quantity, and the respective
    dard deviations) can be observed. Geostatistics in- probabilities for each of these values (Gilbert, 1997).
    cludes the use of variograms (describing the degree In geosciences, major probabilistic methods include
    of spatial dependence of a spatial random), kriging Bayesian analysis and Monte Carlo simulation. How-
    (providing a map showing the uncertainty associated ever, probabilistic methods applied to geosciences are
    with the prediction), and multivariate analysis sometimes considered a loose concept covering a di-
    (analysis of datasets with more than one variable, verse range of techniques for expressing and dealing
    taking into account the effects of all variables on the explicitly with uncertainties. In most probabilistic ap-
    responses of interest). The geostatistical approach proaches, a basic concept is the probability density
    has been intensively used for near-surface geophys- function used to model the likelihood of a random
    ics (Jeanne et al., 2008) and particularly in bathym- variable. This is generally defined when the geoscien-
    etry to detect and filter both random acquisition tist considers that a given dataset (as a frequency dia-
    noise and footprints (Herzfeld, 1989; Verfaillie et gram) does not represent a set of realistic sample val-
    al., 2006; Van Dijk et al., 2008), and sidescan sonar ues, or when the quantity of available information is
    (Huvenne et al., 2002). It has been also applied to in- not sufficient. As example, a normal distribution is a
    tegrate and correlate high-definition, high-resolution classical probability density function used to fit a
    (HDHR) velocity fields (Figure 6) with in situ sonic symmetrical bell-shaped histogram.

    Figure 6: Geostatistical approach to control the spatial variation of a velocity field

    53
    Generally, probability theories do not admit transi- new sources of information. The approach is based
    tions, but only distinct sets of values for a given pa- on the idea of expressing uncertainty about the un-
    rameter. Sharp boundaries are defined and transi- known state of nature in terms of probability. In
    tional zones are split into different classes. However, other words, the intention is to assign a probability
    in geosciences, transitions are exceedingly frequent distribution to a variable not observed. The Bayesian
    between soil classifications, geomechanical parame- approach uses all available information, based on
    ters or even between events and processes. Not con- data as well as expert knowledge, and with a certain
    sidering this transitional effect induces a new type of degree of subjectivity.
    uncertainty. To take account of this transition effect,
    a new classification approach has been used based The so-called Bayesian inversion provides a frame-
    on fuzzy set mathematical theory developed by work for combining a priori model information with
    Zadeh, who states that: information contained in the data, to arrive at a more
    more often than not, the classes of objects refined statistical distribution that is, the a posteri-
    encountered in the real physical world do not ori model distribution. Through inverse modelling,
    have precisely defined criteria, or member- the necessary forcings or model configurations that
    ship (1965). allow a given model to reproduce observations may
    be determined. Bayesian statistics rely completely
    This axiom obviously applies perfectly to geo-
    on the specification of a priori model statistics, that
    sciences.
    is, on the knowledge of the model before using the
    Fuzziness is a type of uncertainty or vagueness char- recorded data. In response, Scales and Snieder
    acterising classes that, for various reasons, cannot (1997) states that the Bayesian approach may be
    have or do not have sharply defined boundaries. A used only when the prior information can be justi-
    sample can then belong to more than one class, fied probabilistically. The method is very well de-
    which is a very powerful concept for depicting class veloped for cases where the characteristic under ex-
    overlap caused by vagueness in class definition. The amination has a normal or lognormal distribution
    fuzzy set theory provides a more flexible way to al- (Aczel, 2000), as is generally the case for geotechni-
    low a spectrum of degrees of belief. Application of cal parameters. Therefore, the model uncertainty of a
    Zadehs theory requires a classification of the data geotechnical model may also be characterised using
    called clustering. This is where objects or samples a Bayesian method (Zhang et al., 2012).
    are grouped into classes (clusters) based on their
    similarity in attribute values in a multidimensional Bayesian analysis has been used for very different
    feature space (visualised as a scatter plot). In other problems, such as the correlation of different vari-
    words, samples that have similar attribute values are ables of cliff geometry controlling variations in cliff
    close together in feature space and therefore form a retreat processes (Hapke et al., 2010). Other exam-
    distinct cluster (Pakhira et al., 2005). ples include: planning studies to develop the geo-
    technical model and to identify ground conditions
    In geosciences, classification is based on methods (Garbulewsli et al., 2009); engineering risk assess-
    that rely on delineating classes according to the geo- ment (Faber and Stewart, 2003); and obviously in
    engineers personal insight or expert opinion. The seismic inversions that transform seismic reflection
    advantage of using a statistical clustering technique data into a quantitative rock-property descriptions
    for classification instead of visual interpretation is (Mosegaard and Tarantola, 2002). The Bayesian ap-
    that the method is objective, repeatable and applica- proach may also be used to quantify the value of ad-
    ble to large datasets. An advantage of the fuzzy set ditional soil borings for site investigation, and to see
    approach, from a practical point of view, is the de- if geostatistical models fit available geotechnical,
    termination of an upper and lower bound to the geologic and geophysical data (Gilbert, 2005). It has
    probability in an efficient way. Although integrating also been proposed to use Bayesian analysis in plan-
    geostatistics with fuzzy set theory is a novel direc- ning studies to develop the geotechnical model and
    tion, its applications in uncertainty evaluation are to identify ground conditions (Garbulewsli et al.,
    currently very limited. This new approach has been 2009).
    recently applied for seafloor sediment properties
    (Goff et al., 2004), and for the classification of ben- 4.3 Monte Carlo simulation
    thic habitats (Lucieer and Lucieer, 2009). Monte Carlo simulation is a method for iteratively
    evaluating a deterministic model and simulating the
    4.2 The Bayesian approach behaviour of physical systems using sets of random
    Bayesian methods are usually applied to update in- numbers from probability distributions as inputs.
    formation on parameters of interest in the light of This method is often used when the model is com-

    54
    plex, nonlinear or involves more than just a couple 5. Conclusions
    of uncertain parameters. The first step in a Monte
    Carlo simulation is to generate a probability density While the statistical tools for characterising uncer-
    function of a continuous random variable that can tainty are well developed, it should be realised that
    be integrated to obtain the probability of the ran- many aspects of uncertainty cannot be quantified,
    dom variable taking a value in a given interval. In but have to be described qualitatively or subjec-
    most situations, however, the choice of the prob- tively. Real-world data need to be incorporated into
    ability density function is based on engineering an analysis to the greatest extent possible and in a
    judgment instead of a histogram. The reason is usu- manner that is realistic and appropriate.
    ally because either the sample size of the observa-
    tions is small, or the values measured are not con- Probabilistic approaches are becoming increasingly
    sidered to be representative of the values of the popular for managing uncertainties in geosciences.
    pertinent variable. The mathematics of probability theories are intended
    to represent the real world using mathematical as-
    This type of Monte Carlo approach has been widely sumptions about distribution types and dependences
    applied for slope stability analysis (Zhou et al. 2003; between variables. However, the numerical values
    Watts, 2004; Lacasse and Nadim, 2007; Grilli et al., obtained by probabilistic analysis may be quite sen-
    2009; Leynaud and Sultan, 2010). In this particular sitive to changes in the input distribution parameters.
    case, for a given set of input shear strength parame- Therefore, sensitivity analysis must be conducted to
    ters (mean, standard deviation and spatial correlation examine the potential impact of new data or inter-
    length), the slope stability analysis is repeated many pretation. A sound understanding of the physical
    times until the statistics of the output quantities of in- problem and careful consideration are required to
    terest become stable. The finite-element slope- apply probabilistic methods. No single uncertainty
    stability method makes no a priori assumptions about theory can claim to be able to model all types of un-
    the shape or location of the failure mechanism. In ad- certainties. The application of one method depends
    dition, it offers significant benefits over traditional on the given situation, on the goals of the evaluation
    limit equilibrium methods in the analysis of highly and, most importantly, on the quantity and quality of
    variable soils. The approach is based on the repetition the input data (Bardossy et al., 2004).
    of algorithms with a large number of calculations, in-
    volving variables defined with probability distribu- Statistics involves the analysis of the frequency of
    tions. It then results in a series of numbers with a spe- past events and hence relies on factual values. In
    cific distribution (mean and standard deviation) that contrast, probabilities deal with predicting the like-
    allows estimating the probability of whether the un- lihood of future events and are therefore much more
    known final parameter (i.e. factor of safety in the case subjective. Geoscientists in charge of geohazard
    of slope stability analysis) lies within a certain range assessments must be careful in applying probabilis-
    of values (Leynaud and Sultan, 2010). tic approaches in order to solve uncertainties and to
    avoid replacing lack of data or low-quality data of a
    The use of Monte Carlo simulation is a powerful poorly defined system by probabilities.
    technique for solving uncertainties related to a given
    system. Even if the approach is increasingly applied Since the early stages of offshore exploration and
    by geoscientists, there is still some controversy development, geohazard experts have had to face
    about it. The result of Monte Carlo simulation gives various types of geohazard, including shallow gas,
    information on the distribution of the output given slope instabilities, gas hydrates, shallow water flows,
    the uncertainties in the inputs provided, but there is authigenic carbonates and heterogeneous shallow
    no indication of the sensitivity of the final result to soil conditions. Extensive experience has been ac-
    the individual inputs. It is necessary to determine quired in order to develop oil and gas fields safely.
    dependencies and correlations between the input However, as the nature of geohazards is site- and
    variables, and probability density functions must be time-dependent, geohazard assessment should be
    defined for all uncertain parameters (Bardossy et al., based on geomechanical modelling that takes
    2004). Monte Carlo simulation does not offer insight account of the uncertainty in the modelling of site
    into the relative contributions of various uncertain- conditions, soil parameters, ongoing geological
    ties (e.g. inherent spatial variability of soil properties processes, loads and applied analysis methods.
    and subsurface stratigraphy) to the failure probabil- Guideline exist (OGP, 2009, 2011), and standards
    ity. It also suffers from a lack of resolution and effi- are in preparation (ISO 19901-8, in preparation).
    ciency at small probability levels (Wang et al., Even if uncertainties are partly addressed, these
    2010). documents should clearly evaluate the impact of the

    55
    different types of uncertainties on the final geohaz- Det Norske Veritas (DNV). (2007). DNV-RP-C207:
    ard assessment. Recommended Practice for statistical representa-
    tion of soil data. Olso: DNV, 26pp.
    During the recent conference on disaster risk man- Dubois D and Prade H. (eds.). (2000). Fundamen-
    agement (Stein et al., 2011), some decision-makers tals of fuzzy sets. In: The Handbook of Fuzzy
    expressed that geohazard experts generally underes- Sets. Boston: Kluwer Academic Publisher,
    timate uncertainties. The perception was that experts 647pp.
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    jective evaluators, and that they can be so invested in Ghorbani A, Andenaes E and Shepherd C. (1998).
    their models that they have, or will, not evaluate al- Geotechnical Challenges West of Shetland. In:
    ternative models (Stein et al., 2011). This shows that Proc. Offshore Site Investigation and Foundation
    communication about uncertainties still needs to be Behaviour New Frontiers Conference. London:
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    Gilbert RB. (1997). Probabilistic methods in geo-
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    58
    CYCLIC LOADING OF OFFSHORE PILES: POTENTIAL EFFECTS
    AND PRACTICAL DESIGN
    Richard Jardine
    Imperial College, London, United Kingdom
    Alain Puech
    Fugro Offshore Geotechnics, Nanterre, France
    Knut H Andersen
    Norwegian Geotechnical Institute, Oslo, Norway

    Abstract
    This paper reviews some key issues regarding the cyclic loading response of offshore piled foundations. Start-
    ing with axial loading it considers: the cyclic loading that can be expected; the fundamental responses of piles
    driven in clays and sands; frameworks for understanding axial cyclic response and specifying cyclic soil test-
    ing; and approaches for practical application in design. The review then moves to consider pile responses to
    moment and lateral loading, distinguishing between flexible and relatively rigid piles and anchors. A range of
    possible design approaches is considered and it is argued that current routine practice needs to be reconsid-
    ered. Practical methods now exist to address the potentially highly significant effects on axial capacity of
    piles that experience high ratios of cyclic to average loads. New research and calculation procedures are
    emerging that offer significant improvements in a broad spread of topics.

    1. Introduction tests were performed and, in some cases, changes in


    axial capacity due to set up, cyclic degradation, rate
    Interest in the behaviour of piles under cyclic load- effects or recovery processes were tracked between
    ing grew in the 1980s to meet challenges posed by testing sequences applied to the piles driven in clays.
    inherently fail-unsafe Tension Leg Platforms (with Cyclic failures could be engendered in all cases at
    the first TLP being installed at Hutton in 1984) and loads less than or equal to the static pile capacity.
    heavily loaded deeper water fixed platforms, such as Most of the piles tested were able to sustain large
    the Cognac jacket set in 320m water. Briaud and Fe- numbers of cycles (typically > 100) without generat-
    lio (1986) assembled for API a database intended to ing significant permanent displacements provided
    resemble fine marine sediments covering the cyclic the maximum load remained below 50% of the ulti-
    behaviour of clays in: laboratory tests, cyclic model mate static capacity. Cyclic failure was manifested
    experiments and axially cyclic field pile tests. They by (i) accumulating displacements and (ii) decreases
    considered 16 studies on piles with diameters greater in stiffness. Checks made to assess the effects of
    than 150mm, most of which were strain-gauged to loading rate indicated increases in stiffness and ca-
    measure axial load distributions. Local shaft friction, pacity of 10% per log cycle in clays. Although rate
    pore pressure and radial stress measurements were effects would not be expected to affect capacity sig-
    attempted in some cases, although these parameters nificantly in sands, it was argued that enhanced axial
    are notoriously hard to sense reliably. The response capacities developed in clays to resist any single
    of piles driven in sands was not addressed. sudden impulse applied by storm loading conditions.
    It is noteworthy that long term monitoring of the
    The piles were submitted to significant numbers of Hutton TLP did not indicate any undue foundation
    load cycles (typically 100 to 1,000) with frequencies movements; Stock et al. (1992). It has since become
    generally around 0.1 Hz. Different degrees of one- common to consider any axial degradation due to
    way and two-way cycling were imposed. Static load cycling as being balanced by strain rate effects, with

    59
    uncertainties being covered by the standard factors vary regionally, as illustrated in the broad generali-
    applied in Working Stress Design (WSD) or Load sations offered in Table 1, while the hydrodynamic
    and Resistance Factor Design (LRFD) approaches; loading response depends on the structural form.
    Pelletier et al. (1993) or Randolph et al. (2005). The Axial resistance, and to a lesser extent lateral stiff-
    most recent international offshore design practice ness, may be most important for piled jackets and
    (API RP2GEO, 2011) indicates that consideration anchored structures, while lateral, moment and tor-
    should be given to the potential effects of cycling. sional responses are usually more important for mo-
    But this issue is rarely addressed when considering nopiles supporting wind turbines. We focus first on
    the response of piles driven in standard clays or sil- the response to the axial cycling of relatively long
    ica sands. In contrast, the partial guidance offered by (L/D > 10 where L = embedded length and D = ex-
    API regarding cyclic lateral load deflection behav- ternal diameter) conventional driven steel offshore
    iour is often applied in practice. Specific attention is piles, considering later the response to moment and
    often given to cyclic axial response when dealing lateral cycling and the behaviour of shorter, rela-
    with problematic carbonate sands. In this paper we tively rigid, piles.
    re-review the cyclic response of driven piles, con-
    sidering both sands and clays, focussing initially on Table 1: Broadly general regional Metocean characteristics:
    their axial responses. 100 year events in four offshore development areas

    Maximum Maximum Maximum


    Five main sections are offered between this intro- wind speed, wave height, current
    duction and the final overall conclusions covering: Region m/s m speed, m/s

    USA, Gulf of 50 20 3
    x Offshore cyclic loading characteristics Mexico
    x Fundamental responses to axial load cycling in
    clays and sands West Africa 25 6 1.5
    x Frameworks for understanding axial response and
    N. Norway 39 30 1.8
    specifying cyclic soil testing
    x Approaches for practical application in design UK Atlantic 40 35 2
    x Responses to moment and lateral loading, distin- Margin
    guishing between flexible and relatively rigid
    piles and anchors
    It is common to characterise cyclic loading in terms
    of the average and cyclic components defined in
    It is argued that current routine practice needs to be
    Figure 1. It is often helpful to normalise these meas-
    reconsidered. Practical methods exist to address the
    ures by a static pile capacity Qs. Bearing in mind the
    potentially highly significant effects on capacity of
    different levels of displacement required to mobilise
    axial cycling that imposes high ratios of cyclic to
    base and shaft resistance with long piles, Qs is often
    average loads. New research and calculation proce-
    defined as covering the shaft only. This distinction is
    dures are emerging that are allowing significant im-
    most important with piles driven in sands, where end
    provements to be made in a broad spread of topics.
    bearing is often more important.
    2. Cyclic loading characteristics

    All piled foundations experience a degree of cyclic


    loading, ranging from gentle diurnal temperature
    changes through to significant loading imposed by
    operating plant, tides or extreme environmental con-
    ditions. The impact of cyclic loading depends on the
    loads applied and the interactions between the soil,
    foundation and structure. Millions of cycles imposed
    by rotating blades may lead to accumulated dis-
    placements that approach the critical limits for wind Figure 1: Cyclic loading definitions. Note Qmean is often re-
    turbines, such as a 0.5 degree tilt for monopile foun- ferred to as Qaverage, Qave or Qa, and Qcyclic as Qcyc or Qcy
    dations. The potential losses in foundation resistance
    generated by Metocean load cycling are usually the It is instructive to consider the range of Qcy/Qa ratios
    most important consideration with conventional oil that can be expected in different settings. Seven ex-
    and gas installations. The Metocean characteristics amples from the Authors files are summarised in

    60
    Table 2, showing ratios that vary with platform plexity and cost. Bond et al. (1991) review the prob-
    weight and general arrangements, water depth and lems of measuring pore pressures and local (radial
    Metocean environment. In these examples the worst and shear) stresses accurately on displacement pile
    storm events (the 100 year event for oil/gas and 50 shafts, demonstrating that very stiff cells that con-
    year cases for wind energy) set the design-critical form very closely with the pile surface are required
    conditions for the multi-pile foundations. The aver- to obtain meaningful information, particularly in
    age ratio on the windward side is around 7.8, while stiff soils. Zhu et al. (2009) and Jardine et al. (2009)
    that on the leeward is just above 1.0, the limiting reinforce the same points, while Bond et al. (1991)
    value for the pile loads to become tensile. The show that reliable local stress measurements are
    maximum compressive loads developed on the lee- critically important in testing alternative hypotheses
    ward side Qmax = Qcy + Qa usually comprise the regarding the effects of pile installation, equalisation
    critical conventional design case, although this may and (static or cyclic) load testing.
    alter after accounting for cyclic loading effects. Cy-
    clic effects may be more marked for the tensile load Most test programmes consider only uniform cyclic
    cases, but there are broad spreads of ratios between loading. Relatively few series have been reported
    both wind turbines and conventional oil and gas that cover a fully comprehensive range of Qcy/Qa and
    jackets. Tension is more critical for the tripod wind Qmax/Qs ratios. No study of which we are aware has
    turbine (G) as it can be with some deeper water wind addressed all of the potentially influential factors,
    turbine jacket designs. Merritt et al. (2012) describe such as: pile aspect ratio (L/D), pile end conditions,
    how cyclic loading was addressed in one tripod pro- cyclic period, pile ageing times or the sequences in
    ject where tension loading was critical. which different batches of cycles are applied. Even
    when investigating cyclic behaviour is the primary
    Table 2: Indicative ranges for cyclic loading components; six objective in a field testing programme, economic
    predominantly clay sites, one mainly sand considerations usually lead to individual piles being
    Jacket code, Water Leeward Windward taken to failure more than once, so adding complex-
    Location and type depth, m Qcy/Qa Qcy/Qa ity to test interpretation; Jardine et al. (2006). Cyclic
    tests are often specified as low-cost adjuncts to static
    A West of Shet- 140 0.36 6.69
    land, oil/gas testing programmes, adding further stages of loading
    to piles that have already failed.
    B China sea, 36 0.60 3.0
    oil/gas We review first the extensive cyclic field testing
    C China sea, 49 3.18 4.68 conducted by the NGI on clays between 1980 and
    oil/gas 1990. The focus then shifts to considering experi-
    ments run on clays and sands by Imperial College
    D North sea, 70 0.72 2.47 London and several collaborating institutions be-
    oil/gas
    tween 1982 and 2012, before moving to recap find-
    E North sea, 35 0.72 1.25 ings from cyclic tests by other groups. We highlight
    Wind-turbine jacket at several points the integrated SOLCYP programme
    of research that is currently underway in France
    F North sea, 50 1.13 35.0
    (Puech et al., 2012). While the interpretations made
    Wind-turbine jacket
    by the various teams differ in some key aspects, im-
    G North sea, Wind- 26 to 0.88 1.66 portant common features and conclusions for design
    turbine tripods 33 emerge from the various international research pro-
    grammes.
    3. Fundamental pile responses to axial loading
    3.2 Cyclic test programmes run by NGI
    3.1 Background The NGI conducted field cyclic pile loading tests at
    We review in this section the fundamental responses five clay sites, as reported by Karlsrud and Haugen
    seen in (principally) field tests involving axial cyclic (1985), Karlsrud et al. (1992a, b) and Nowacki et al.
    and static loading of displacement piles installed in (1992). The NGI tests have later been summarized
    clays and sands. by Karlsrud (2012) in his PhD thesis. Three sites in-
    volved Norwegian marine sediments with varying
    Cyclic field testing with driven piles is expensive apparent overconsolidation ratios (or Yield Stress
    and time consuming. Adding instrumentation to re- Ratio, YSR): Haga, a medium plasticity (Ip) clay
    solve shaft and base load distributions adds com- with a moderate YSR, Onsy (low YSR plastic clay)

    61
    and Lierstranda (low YSR, low Ip clay-silt). Two where the number of cycles to failure is plotted as a
    further sets were run in the UK at Pentre, (low YSR, function of the average and cyclic load components
    low Ip glacio-lacustrine clay-silt) and at Tilbrook normalized by the monotonic tension capacity avail-
    Grange (stiff, high YSR, low Ip Lowestoft till over- able just before cyclic testing. The Qmax = Qus diago-
    lying high YSR, very stiff, high Ip Jurassic Oxford nal line corresponds to the static capacity.
    clay). The NGI tests included measurements of axial
    force at multiple levels, local radial stresses and pore
    pressures. Trial pits were also excavated at Haga to
    examine the soil fabric; laboratory test programmes
    were performed to examine soil property variations
    around the test piles. The steel Haga piles were 5m
    long, 153mm in diameter and closed-ended. Closed
    219mm diameter steel piles were installed at the
    other four sites (to maximum depths of 37.5m) by
    jacking or driving from the bases of cased holes pre-
    bored to various depths. Open tubular steel pile sec-
    tions (with 812mm outside diameter) were also
    tested at Onsy and Lierstranda, penetrating to a
    maximum depth of 32.5m.

    Nowacki et al. (1992) reviewed the measurements


    made at the four sites during installation and equali-
    zation. Pile installation was interpreted as being es-
    sentially undrained, except at Pentre where silt lami- Figure 2: Number of cycles to failure Nf at Haga as function of
    nations permitted partial dissipation during Qave and Qc = Qcy normalized by static tension capacity
    penetration and rapid equalization afterwards. Qus = Qs (Karlsrud and Haugen, 1985b)
    Nowacki et al. highlighted the importance of shear
    induced pore pressures (whose sign depended on
    YSR) and a tendency for lower pressures to develop
    around open ended piles. They also noted that set-up
    after driving was considerable in their low YSR
    clays and that pre-testing generally led to further ca-
    pacity gains in the Norwegian clays. However, re-
    peat tests at Pentre and Tilbrook Grange in the UK
    showed capacities generally falling or showing little
    gain between static or cyclic tests.

    The NGI loading tests, which were performed after


    full dissipation of installation pore pressures, gener-
    ally followed a sequence of: (i) static monotonic
    testing to failure, or near failure, in tension (typically
    taking 30 to 60 minutes) before (ii) applying one set
    of cyclic loading parameters (with cyclic periods of Figure 3: Influence of time and monotonic pre-shearing on
    monotonic axial pile capacity at Haga (Karlsrud and Haugen,
    6 to 10s) until either failure developed (as defined by 1985a)
    displacement reaching specified limits) or a large
    number of cycles had been applied without failure, A remarkable feature of the Haga piles, shown in the
    followed by (iii) a further static tension test. A one staged repeat tests illustrated in Figure 3, was the
    day waiting period was imposed between monotonic capacity increases noted between monotonic static
    and cyclic testing at Haga which was not imposed at tests. The strength increase is greater than can ex-
    the other sites. plained by effective stress measurements and is be-
    lieved to be due to pre-shearing, in line with compa-
    The Haga programme, comprising 27 tests, with 26 rable pre-shearing effects observed in laboratory
    run to failure, was NGIs most extensive. The condi- element tests where drainage is allowed after cyclic
    tions under which cyclic failure occurred are sum- loading; Andersen (1988). A 23% upgrade was ap-
    marized by the interaction diagram in Figure 2, plied to the monotonic tension capacities established

    62
    the day before testing to correct for the gains ex- Haga. However, site characteristics appear to have
    pected over the 24 hours before cyclic testing. This less influence at lower Qcy/Qus ratios and the data
    time effect is due to thixotropy (e.g. Andersen and sets compare well when Qcy = Qa. The same is evi-
    Jostad, 2002), dissipation of pore pressure, creep and dent for the Tilbrook Grange case in Figure 5, where
    redistribution of stresses. Karlsrud et al. (2005) pre- the cyclic tests performed by NGI are combined
    sent a correction for time effects on the static capac- with others conducted on the 760mm OD
    ity. The time effect is presently being further studied McClelland Engineers open-pipe pile driven to
    for piles in clay and sand by NGI; Karlsrud (2012). 56m. Both sets of tests concentrated around the Qcy
    = Qa condition and showed modest (10 to 15%) ca-
    The cycling, which was applied at frequencies pacity reductions over tens of cycles. Cyclic tests
    slightly higher than those of typical offshore waves, conducted by NGI at Pentre indicated similar trends.
    leads to failure with Qmax = Qa + Qcy values that fell,
    in all tests, at or below the static capacity line. How- Check static pile tests at Onsy and Lierstranda
    ever, rate effects might allow maximum cyclic loads showed capacity gains of 10-15% and 25-45% re-
    to exceed the static failure line in cases where both spectively between their first and second series of
    the number of cycles and the Qcy/Qa ratio were rela- monotonic and cyclic tests, reflecting the positive
    tively low. A lower bound 1000 cycle contour is also pre-shearing trends seen at Haga. As noted earlier,
    shown below which no failure occurred under the static capacities fell significantly between testing
    applied cycling; note that at Haga this corresponded stages in the Tilbrook Grange pile experiments in-
    to a rather low Qcy/Qus ratio around 0.35 under ex- volving stiff, high YSR clays. Laboratory element
    treme two- way loading. Intermediate Nf = 10 and tests show that drained pre-shearing, which can
    100 contours are indicated; the distance between cause increased shear strength in low YSR clays,
    these and the Qmax = Qus line expresses the loss in may reduce strengths in high YSR clays; Andersen,
    shaft capacity that results from the applied cycling. (1988). However, the Pentre piles driven in clay-silt
    The gap is greatest at the left hand side, where ex- showed capacity reductions of up to 13% even
    treme two-way cycling can halve the shaft capacity through the YSRs were low.
    within 10 cycles. The gap reduces progressively
    moving towards the right hand limit (low level one
    way-cycling) where the cyclic damage becomes neg-
    ligible and rate effects could even allow cyclic ca-
    pacities to exceed the static values.

    Figure 5: Comparison between Tilbrook Grange and Haga cy-


    clic axial pile test capacities (Nowacki et al., 1992)

    The NGI cyclic pile testing programme yielded many


    Figure 4: Comparison of Onsy and Lierstranda cyclic axial further points of interest. Figures 6, 7 and 8 illustrate
    pile test capacities with Haga (Karlsrud et al., 1992b) example trends from Haga test B5/03 showing:

    The cyclic test trends from Onsy and Lierstranda x How pile head displacements accelerated up to
    sites are compared with those from Haga in Figure 4 failure after reaching 80 cycles.
    using another style of interaction diagram, consider- x The way in which purely tension loading led to
    ing only the Nf = 50 case. The normalized cyclic pile local shaft loading with both upward and down-
    capacities are significantly lower in these two low ward (two-way) shearing over the upper two
    OCR clays under extreme two-way loading than at thirds of the pile.

    63
    x The progressive local cyclic failure process, with veloping in the soil mass (at radius r1 or r2) rather than
    cyclic loads transferring downwards as local ca- directly at the interface.
    pacity is degraded in the most heavily cycled up-
    per portion.
    x An interpretation by Jardine (1991) of the local ef-
    fective stress rz - r' path followed as cycling pro-
    gressed at the 3.45m shaft level, based on the local
    radial stress and pore pressure measurements.

    Figure 7: Distributions of maximum and minimum local shaft


    Figure 6: Progression of upwards pile head displacement; stresses rz. Test B5/03 at Haga, also showing level of meas-
    Haga test B5/03; after Karlsrud and Haugen (1983) urements presented in Fig. 8; after Jardine (1991) based on
    Karlsrud and Haugen (1983)
    The interpretation given in Figure 8 shows an effec-
    tive stress path that migrates to the left as radial ef-
    fective stresses fall. The cyclic shear amplitudes
    grow initially as load is transferred progressively
    from overlying pile sections, as shown in Figure 7,
    until a limiting local cyclic failure develops. Rela-
    tively rapid degradation then sets in, with local shaft
    capacity falling by more than 30% over the last 30
    cycles. The field radial stress measurements imply a
    rz/r value at failure (tan 38o = 0.78) that exceeds
    the ultimate vh/v ratio seen in parallel DSS tests
    (0.50 0.05). One interpretation of this anomalous
    result is that the radial stresses may have been un-
    der-recorded by the diaphragm based stress sensors,
    possibly due to cell action effects. Figure 8: Interpretation by Jardine (1991) of local rz - r
    stress path followed during cyclic test B5/03 as shown in Fig-
    Laboratory, X-ray and micro-fabric studies on sam- ure 7, based on Karlsrud and Haugen (1983)
    ples taken around a Haga test pile led Karlsrud and
    Haugen (1983) to identify 3 zones around the shaft,
    as shown in Figure 9: (a) a 15mm thick inner recon-
    solidated remoulded (RR) zone, referred to as being
    completely remoulded where the sensitive clay had
    lost strength due to intensive shearing during installa-
    tion, despite being re-consolidated subsequently to a
    much lower water content than the intact clay, (b) an
    intermediate disturbed zone where systematic verti-
    cal shear distortion and variable shear strength losses
    were clear, and (c) an outer undisturbed region,
    starting 150 to 200mm from the pile, where water
    contents and shear strengths appeared unaffected by Figure 9: Schematic variation of undrained shear strength and
    pile installation. Shaft failure was interpreted as de- shear distortion around Haga test pile (Karlsrud et al., 1992b)

    64
    Karlsrud and Nadim (1990) proposed from this to
    relate local shaft capacity to the shear strengths
    measured in DSS tests on remoulded samples that
    had been reconsolidated to normal (vertical) effec-
    tive stresses matching the radial effective stress
    values rc interpreted as acting on the pile shaft af-
    ter full pore pressure dissipation. The measured
    shear strength was corrected for the interpreted dif-
    ferences in the octahedral effective stresses devel-
    oped in the DSS test and the pile disturbed clay
    zone. rc measurements are summarized in Figure
    10 as ratios of Kc = rc/v0 to K0 where v0 is the
    pre-installation free-field vertical effective stress.
    The rc measurements, which mainly considered
    clays with relatively high values, fall well below
    the theoretical predictions reviewed by Karlsrud et
    al. (1992). Nowacki et al. (1992) developed from a
    different set of pile tests in overconsolidated clays
    alternative plots for Kc as a function of su/v0. As
    discussed later, a review by Chow (1997) of data
    from other groups led her to conclude that the
    Figure 10: Measured and theoretical relationships between Kc
    measurements summarised in Figure 10 may have
    and OCR (YSR); Karlsrud et al. (1992b)
    been under-recorded, possibly due to cell action ef-
    fects.
    3.3 Field research by ICL into fundamental mecha-
    Karlsrud (2012) argues that the uncertainty in the nisms of displacement pile behaviour in clays
    effective stresses in the disturbed zone around the Noting the successful ongoing NGI cyclic pro-
    pile is a weakness in approaches that rely on effec- grammes, the initial main objective of the field re-
    tive stresses. He proposes two alternative empirical search carried out by Imperial College London (ICL)
    approaches. The primary method is an -method from the early 1980s was to establish as reliably as
    where the ultimate shaft friction is given by us= possible the effective stress processes developed
    suDSS, where suDSS is the in-situ undisturbed strength around displacement piles in a wide range of soils,
    determined from DSS tests. The-value is a func- studying how these affect capacity characteristics.
    tion of the normalized strength ratio, suDSS/v0and
    the plasticity index of the clay. The other method is Research was conducted at two sand sites in France,
    a -method, where us=v0. The -value depends and four clay sites in the UK with 102mm Outside
    on the OCR (YSR) and the plasticity index. The - Diameter (OD), up to 20m long, highly instrumented
    method is a modification of the NGI-05 treatment Imperial College Piles (ICPs). We start with the clay
    (Karlsrud et al., 2005), which resembles the con- sites. The first, Canons Park, comprised high YSR,
    ventional API RP2GEO (2011) guidance. One key high Ip stiff Eocene (marine) London clay as re-
    difference is that the Karlsruds approach relies on ported by Bond (1989) and Bond and Jardine (1991,
    DSS tests to provide reference undrained shear 1995). Extensive cyclic testing has been carried out
    strengths. recently on a French outcrop of the same geological
    formation as part of the SOLCYP programme (Ben-
    The NGI team developed an interpretation and de- zaria et al., 2012).
    sign methodology that anticipates several trends in
    behaviour, including scope for monotonic and cyclic The second site was Cowden where comprehensive
    shaft capacities to vary between loading tests due to cyclic testing had already been performed by BRE
    changes in local effective stresses, pre-shearing in (Ove Arup & Partners, 1986) on the high YSR, low
    the surrounding clay and, potentially, thixotropy. Ip stiff clay lodgement till. ICP pile experiments fol-
    Positive effective stress gains are expected over time lowed the intensively studied Bothkennar low YSR,
    in low YSR deposits, particularly those showing low high Ip post-glacial soft clay. See Lehane (1992),
    Ip. However, pre-shearing effects that were positive Lehane et al. (1993) and Lehane and Jardine (1994a,
    at low YSR could be negative in highly overconsoli- b) for details of the Cowden and Bothkennar tests.
    dated deposits. Finally, ICP tests were undertaken at the low YSR

    65
    Pentre clay-silt site where NGI and McClelland En- x Local radial stresses and pore pressures change
    gineers had conducted earlier tests; Chow (1997); considerably during displacement pile installa-
    Jardine and Chow (2007). tion. Low YSR clays show low installation resis-
    tances and sharp set-up as the pore pressures and
    total stresses equalize to long term values. As
    100
    h/R < 20 - Imperial College
    noted by NGI, installation resistance is much
    20 < h/R < 40 - Imperial College greater in high YSR clays, while subsequent set-
    h/R > 40 - Imperial College
    LDP results - Pentre
    up is either less clear or absent.
    NGI A5 - Pentre =8
    x Also as noted by NGI, the equalized Kc ratios de-
    NGI A6 - Pentre h/R
    10 = 30 pend strongly on the initial YSR. Exceptionally
    h/R
    h/R
    = 53 high Kc values were recorded in the high YSR
    Cowden lodgement till and Eocene London clay.
    Kc

    x A new observation was that Kc ratios fall system-


    atically as the relative pile tip depth h/R in-
    1 creases, where h is the final depth of the pile tip
    below the point in question and R = D/2.
    x These two features are addressed together in the
    summary plot reproduced in Figure 11. Chows
    0.1
    measurements at Pentre may be contrasted with
    1 10 100 the lower radial stress measurements reported
    YSR from Karlsrud et al. (1992) and the McClelland
    LDP tests that are also plotted.
    Figure 11: Kc trends with YSR (apparent OCR) and pile tip po-
    sition (h/R) from Lehane (1992), adding measurements at Pen-
    x Clay sensitivity also has a significant impact.
    tre by Imperial College by Chow (1997), Karlsrud et al. (1992) When all other factors are held constant, the in-
    and McClelland Engineers (LDP). stallation resistances and final Kc ratios fall with
    increasing clay sensitivity (Lehane et al., 1994).
    Further cyclic research was carried out on single x Partial drainage during installation reduces the ul-
    piles and pile groups in conjunction with Trinity timate Kc values (Chow, 1997).
    College Dublin, testing lightly instrumented 250mm x Pile tip conditions are also important. Open ended
    square concrete piles driven in soft, low YSR clay- piles develop lower shaft resistances than closed
    silt at Kinnegar, Northern Ireland (Lehane et al., piles. Chow (1997) addressed this practically im-
    2003). As in the NGI programmes, advanced labora- portant issue by introducing a new variable h/R*
    tory testing was run for all sites. Trial pits were ex- into her Kc relationships.
    cavated and sampling performed around piles in- x At the sites investigated by Imperial College, pile
    stalled in the glacial till at Cowden and the stiff shaft capacities were governed by the micro-
    plastic London clay. Samples were also taken from fabric developed during installation with the large
    around the piles installed at Pentre. vertical shear displacement zone formed around
    the shaft, in a volume equivalent to zone A (RR)
    Each clays micro-fabric was analysed by thin- in Figure 9. Detailed fabric analysis on block
    section microscopy. Very stiff Cambridge style samples cut around the piles confirmed similar
    load cells were developed to measure local radial patterns of vertical shear distortion around the
    and shear stresses on the ICP shafts at multiple lev- ICP and NGI piles (Bond and Jardine, 1991).
    els whose dual axis pillar design avoided any sig- x The deposits at all ICP clay sites included signifi-
    nificant cell action errors, even in hard soils. Bond et cant fractions of platy clay particles.
    al. (1991) describe the independent checks made to
    verify the accuracy of the local stress measurements At Pentre the clay particles were aggregated into silt
    that included: (i) comparing local shaft shear stresses sized clusters that could be broken down by intense
    with those from axial load measurements, (ii) estab- large displacement shearing, making this deposit be-
    lishing theoretical links between local shear and have differently to other low plasticity clays whose
    normal stress cell action factors, (iii) comparing silt fractions are dominated by inactive minerals,
    shear and normal stress measurements with labora- such as silica. Rather than undergoing remoulding
    tory interface shear tests and (iv) matching the paral- the clay close to the shaft developed well-ordered
    lel measurements by Coop (1987) at Canons Park shear surfaces, as is often observed in clay landsides.
    with the high quality Oxford instrumented pile. The effective shearing resistances on these residual
    The key features from the measurements made in surfaces could be markedly weaker than in the intact
    clays were: soil.

    66
    Qmax/Qs values were set as high as 0.9. A 10% ca-
    pacity reduction would be expected under similar
    test conditions in the generally less plastic, lower
    YSR and more contractant, Norwegian clays (see
    Figures 2 and 4), which as noted later, are unlikely
    to develop low shear surfaces close to the pile
    shaft.

    200 14
    0
    D
    0 B
    E

    Shear stress, Wrz (kPa)


    11
    D
    100
    D C 3
    B E
    B E
    2
    C 1 C A
    0
    200 A 300 400 500 A 600 700 800 900
    -50
    Radial effective stress, Vrr' (kPa)

    (a)
    150

    Shear stress, Wrz (kPa)


    0
    100 11
    0
    E D C
    6
    50 E DB B
    ED B
    A A
    0
    100 A 200 300 400 500 600 700 800
    Radial effective stress, V rr' (kPa)
    Figure 12: Approximately 15mm wide by 40mm high thin sec- -50

    tion image through clay adhering to shaft of ICP piles tested at


    Pentre, after Chow (1997), showing multiple cylindrical verti- (b)
    cal residual shear surfaces Figure 13: ICP tests in London clay: shaft loading effective
    stress paths at three shaft levels from (a) path ABCDE with one
    An onion skin fabric developed in highly plastic unload-reload cycle on fast installed pile; and (b) monotonic
    London clay (Bond and Jardine, 1991) with polished test on slow jacked pile; after Bond and Jardine (1995)
    shear surfaces that depended on the velocity of in-
    stallation. Families of shear surfaces formed around
    the Pentre piles (Chow, 1997), as illustrated in Fig-
    ure 12. Matt textured shear surfaces were observed
    at the pile-soil interfaces formed in Cowden till;
    painted piles developed much lower friction inter-
    faces (Kitching, 1983).

    The ICP instrumentation allowed the local rz - r


    effective stress paths to be followed during static or
    cyclic testing. As shown in Figure 13, the Canons
    Park tests in London clay (which has critical state
    cs around 22o) generally followed steeply inclined
    paths that rose until they hit peak limits after
    which local shaft failure took place. Fast jacked or
    driven piles develop peak local around 12-14o
    (well below cs) but fail in a brittle manner with ult Figure 14: Cyclic response in ICP test in London clay at Can-
    falling to 8-10o post peak. Slowly jacked piles fail in ons Park on slow jacked pile, after Bond (1989)
    a ductile manner with peak = ult around 8-10o.
    The static shaft failure characteristics illustrated in
    Only limited cyclic testing was performed with the Figure 13 contribute to the London clays low suscep-
    ICPs. Figure 14 illustrates trends from one such test tibility to cyclic loading. The clays low values limit
    conducted by Bond (1989) at Canons Park. Three the rz/r ratios that can be applied to the surrounding
    batches of one-way cycles were imposed with soil mass to values well below peak or critical state
    Qcy/Qa values in the 0.4 to 0.6 range, each involving tan . The residual strength surfaces developed in
    tens of cycles. It is interesting that these had little or such clay rich soils constitute cut-offs that limit the
    no impact on pile head movements or radial effec- cyclic damage that can be developed as a fraction of
    tive stresses and hence shaft capacity, even when the the static shaft capacity, although multiple limited

    67
    displacement slip reversals on these surfaces can de- ing, reflecting the permanent effects of the particle
    grade the resistances to residual values. Tests by Ben- re-orientation process. Pellew (2002) and Pellew and
    zaria et al. (2012) in the related Merville clay con- Jardine (2008) investigated long term ageing trends
    firmed that cyclic effects are similarly muted over a at Canons Park, showing that chemical and bacterial
    wider range of Qcy/Qa ratios in such clays. action tended, over 19 years, to partially strengthen
    the shear surfaces formed around the piles. Whether
    The Merville programme comprised comprehensive the same processes can apply to deeply submerged
    cyclic loading tests on four 13.5m long 406mm offshore piles remains to be investigated.
    diameter steel piles driven in Flandrian clay at
    Merville, north France as part of the SOLCYP Rate check tests at Merville showed that shaft capac-
    project (Benzaria et al., 2012). This high YSR ity rose by just below 10% when the test displace-
    Eocene plastic clay is from the same geological ment rate was increased twenty fold; similar rate ef-
    formation as the London clay. Figure 15 presents fects were found in check tests on driven and jacked
    data from one set of cyclic and static experiments. piles at Canons Park by Pellew (2002).
    As at Canons Park, the first sequence (C1) of cycles
    between 0 and 1000kN did not generate significant The peak and ultimate values measured with the
    pile head displacement, even though this test ICPs varied widely with soil type. The summary
    extended to 3000 cycles. The peak capacity made in terms of normalized effective stress paths
    developed in the following monotonic test (S1) was given in Figure 16 show angles that are the lowest in
    both high and equal to the monotonic capacity plastic London clay and the highest in the Holocene
    proved with a virgin control pile. The pile Bothkennar clay-silt. The latter contains organic and
    underwent brittle static failure (S2 to S4), reflecting glacial rock flour particles that lead to far higher
    the final stages of reorientation in the partially and values, with the high YSR Cowden till show-
    developed residual shear surfaces set up by driving, ing intermediate values.
    following the pattern shown by fast jacked piles in
    London clay; see Figure 13.

    Figure 15: Driven pile behaviour in Flandrian high YSR clay Figure 16: Normalised loading effective stress paths from field
    equivalent to London clay under Cyclic (C with 3000 cycles tests with ICP as updated from Lehane (1992) by Chow (1997)
    each) and Static (S) test stages; Benzaria et al. (2012)
    Average peak angles of 17o in compression tests and
    A second cyclic test C2 that imposed the same load- 23o in tension were measured at Pentre, declining in
    ing conditions, but with its maximum load now fal- most cases to ultimate values around 16o. A wide
    ling close to the current (degraded) capacity, gener- range of individual angles (11o to 25o) were recorded
    ated an additional 7mm of pile head displacement by the four levels of ICP instruments deployed in 16
    over 3000 cycles, but had little impact on the mono- loading tests, reflecting mainly the transitional be-
    tonic capacity developed in the final S4 test stage. haviour of the progressively degrading silt-sized
    Little or no axial medium term capacity recovery clay aggregates. The maxima reflected brittle peaks
    was seen in Flandrian or London clay after load test- following fast pre-shearing while the minimum ap-

    68
    plied when the clay aggregates had broken down 
    fully under large shear displacements to give highly
    polished final shear surfaces.

    The interface shear angles measured in parallel inter-


    face ring-shear laboratory tests showed generally
    similar features and matched the average field val-
    ues. The drained interface tests performed for all
    sites followed the procedure recommended by Jar-
    dine et al. (2005). They employed the same steel as
    the piles, had similar surface roughness, included
    fast pre-shearing stages and appropriate effective
    stress levels. In some low plasticity soils, for exam-
    ple Cowden till, the presence of a hard steel inter-
    face appeared to encourage grain separation and give
    residual strength lower than the ultimate values seen
    in soil-soil ring shear tests.
    Figure 17: Cyclic failure criterion, potentially equivalent to Nf
    The BREs programme of cyclic tests at Cowden in- = 1000 contour, from BRE cyclic tests on Cowden lodgement
    volved 10 steel piles of 203 to 457mm diameter, glacial till, after Ove Arup & Partners (1986)
    driven to depths of around 10m. An overall sum-
    mary of the multiple tests conducted (some involv- Ridgway and Jardine (2007) postulated that a class
    ing many thousands of cycles) led to the cyclic fail- of high and clays and clay-silts exists that can
    ure criterion shown in Figure 17, which could be both particularly sensitive to unusually negative
    perhaps be regarded as being equivalent to the Nf = effects of displacement pile installation and also de-
    1000 contour in NGI plots such as Figure 2. As liver unusually strong time-capacity set-up trends. It
    shown in Figure 16, Cowden till develops relatively is not clear how widespread such deposits are inter-
    low angles (around 20o) when sheared against steel nationally. Only one other comparable high quality
    in comparison with its critical state angle of around test was identified from Sandpoint Ohio (Fellenius et
    30o. This feature protects the high YSR lean clay al., 2004). Ridgway and Jardine (2007) suggested
    from the cyclic shear stresses that could be imposed that piezocone tests showing unusually low friction
    if had been higher. The greatest loss in tension ca- ratios and high pore pressure ratios might be indica-
    pacity seen under high level one-way loading was tive of the potentially problematic deposits.
    around 10%, only a third of that expected under
    similar conditions in the lower YSR Haga clay (see Further static and cyclic field experiments were per-
    Figure 2), noting that the latter is more contractant formed in low YSR, plastic and organic, Sleech
    under shear and probably develops higher values. clay-silts at Kinnegar, Northern Ireland under a joint
    The research at Cowden included trial pit excava- Trinity College Dublin (TCD)-Imperial College pro-
    tions that verified the role of reduced friction inter- gramme (Lehane et al. 2003a, b). Load tests were
    face shear surfaces, as reported by Ove Arup & conducted on single 250mm square concrete piles
    Partners (1986) and explored in micro-fabric studies driven to 6m depth and on three groups of five piles
    performed by Kitching (1983) at Imperial College. driven on a 1m square grid with an additional central
    pile. While the Sleechs typical cs is 33o, values
    Ridgway and Jardine (2007) report ring shear inter- from ring-shear tests against concrete interfaces var-
    face and other experiments on samples from Lier- ied with sand and organic content (Strick van Lin-
    stranda and Onsy, finding high angles (28 to 31o) schoten, 2004). The silty clay that dominated the test
    and moderate sensitivities. NGIs virgin pile capac- piles capacities showed of 15o to 16o, while tests
    ity measurements at the two sites fell markedly below against standard stainless steel interfaces gave 12o
    (by 64 and 30% respectively) best estimates for ca- to 13o. Higher values were measured in the upper
    pacity made with the ICP. The standard API proce- sandy Sleech. The relatively low angles applying to
    dure also seriously over-estimated the test piles ca- the lower Sleech are likely to have shielded the piles
    pacities. Re-tests conducted several days after their from cyclic loading effects.
    initial failures showed capacity gains of around 30%
    at Lierstranda and Onsy, confirming historical indi- One-way load-controlled cyclic loading (and sup-
    cations of very strong set-up with timber piles in porting static tests) were conducted to failure on
    similar soils. both single piles and groups under both compression

    69
    and tension conditions. Lehane et al. (2003) inter- the low values), although more severe effects
    preted the group action as being deleterious to both could be expected under high level two-way loading.
    static and cyclic capacities, leading to peak group McCabe and Lehane (2006) recognise that group ef-
    loads falling below the sum of the individual piles, fects could be influenced by site variability and the
    despite the absence of any equivalent pier failure definitions adopted for failure. Group effects are dif-
    mechanism. Figure 18 indicates the cyclic test com- ferent in sands and further investigation is needed of
    binations imposed on the pile groups, while Figure the governing mechanisms.
    19 summarises the outcomes. In this case, the final
    shaft capacities developed after several hundred one-
    way cycles conducted with Qcy/Qs [Qa/Qs 0.1], 3.4 Fundamental aspects of axial static and cyclic
    are compared to the static capacity prior to testing. behaviour in sands
    In this case the severity of loading is defined by the The data obtained from the ICP experiments per-
    ratio of Qmax, cyclic = (Qcy + Qa) to the initial Qs. The formed in loose Labenne dune sand and dense ma-
    onset of significant shaft capacity degradation (taken rine sand at Dunkirk (both of which are in France)
    here as 5% loss) occurs at Qmax /Qs 0.9, while for are reported by Lehane (1992), Lehane et al.
    the whole group degradation starts at 0.75 and at a (1993), and Chow (1997). The key observations
    still lower ratio 0.6 for the centre pile. made were:

    x The radial effective stresses, rc, developed


    against the pile shafts at any given depth after in-
    stallation depend principally on the local CPT tip
    resistance qc and fall even more steeply than with
    clays as the relative pile tip depth h/R increases.
    They are weakly dependent on the free field ver-
    tical effective stress v0.
    x The shaft stresses, rc, show modest gains with
    time over the days following installation.
    x Slow static pile loading led to local rz - r stress
    paths that curve to the left before undergoing lo-
    cal phase transformation and then climbing to the
    right, following paths of gently reducing until
    shaft failure is reached at critical state points.
    x Laboratory interface ring-shear tests can match
    Figure 18: Cyclic loading combinations imposed on 5-pile
    groups G1, G2 and G3 in clay-silt at Kinnegar, the field values. Investigations of pile surface
    after Lehane et al. (2003) material and roughness indicate typical values be-
    tween 25 and 30o for silica sands, independent of
    the initial relative density effects; Yang et al
    (2010) or Ho et al (2011).

    Figure 19: Effects of cyclic degradation for single piles and 5-


    pile groups in tension tests at Kinnegar; after Lehane et al.
    (2003)

    The interpreted trends suggest maximum capacity


    losses of around 15% for single piles and 20 to 25%
    for the group under one-way conditions. Reference
    to Figure 2 shows that cyclic degradation was milder Figure 20: Local cyclic shaft failure criteria from ICP tests in
    for single piles than that seen at Haga (largely due to sand at Labenne and Dunkirk. Open symbols = unfailed

    70
    Nf= Nf = number of cycles to failure
    Fontainebleau test NE34 sand. Noting that chamber
    1.0 1 boundary conditions can have important effects, a
    wide range of stress and displacement controlled

    y
    wa
    o
    conditions has been investigated; Rimoy et al.

    Tw
    0.8

    y
    (2012). The first phase of experiments by the joint

    wa
    e
    On
    Imperial College-Institut National Polytechnique de
    Qcyclic/QT

    0.6 Unstable
    5
    1 Grenoble (INPG) team, led to the overall behaviour
    10
    10
    4
    4 summarised in Figure 21, where stable, metastable
    0.4
    100 170 66 and unstable zones of behaviour are identified in a
    500
    500 Meta-Stable single interaction diagram comparable to that given
    1000
    0.2 in Figure 2. However, in this case the N=1000 con-
    >1000
    Stable tour falls below that found with Haga clay.
    0.0
    -0.2 0.0 0.2 0.4 0.6 0.8 1.0 The 36mm diameter 1m long Mini-ICP has the same
    Qmean/QT
    local stress measuring capabilities as the larger ICP
    Figure 21: Cyclic stability diagram from Mini-ICP piles in-
    stalled in medium dense Fontainebleau NE 34 sand under a
    used for field testing (Jardine et al., 2009). Effective
    vertical confining pressure of 150 kPa in the large INPG cali- stress paths that typify the responses seen under sta-
    bration chamber; after Rimoy et al. (2012) ble through to unstable conditions are shown in Fig-
    ures 22 to 24. Tsuha et al. (2012) and Rimoy et al.
    Modest packets of one way cyclic loading were in- (2012) give further details regarding these experi-
    cluded in two of the Labenne and Dunkirk ICP tests. ments, noting that cycling within the stable region
    The pore pressures measured in both showed a fully leads to minor reductions in local radial effective
    drained response. While this can also be expected at stresses but axial capacity gains due to changes in
    field scale in clean sands, partially drained behav- dilatancy. However, unstable cycling reduces radial
    iour might apply in lower permeability deposits as effective stresses sharply and degrades shaft capac-
    may be checked by inspecting piezocone data and ity substantially. Intermediate responses are seen
    applying consolidation analyses. Neither test led to under metastable conditions. It is interesting that the
    overall cyclic pile failure, but an analysis of the local piles generally showed only modest stiffness reduc-
    stress conditions showed that two-way failure devel- tions during cycling up to the points where their lo-
    oped at the upper pile instrument positions, with lo- cal effective stress paths met the local phase trans-
    FDO rz - r stress paths reaching the local phase IRUPDWLRQ OLQHV DQG HQJDJHG WKH OLPLWLQJ  YDOXHV
    transforPDWLRQ SRLQWV DQG OLPLWLQJ  DQJOHV )LJXUH As with the field ICP tests on clays and sands, the
    20 shows the outcomes expressed as local failure latter angles are predicted well by appropriate inter-
    points plotted in a cyclic interaction diagram where face ring shear tests.
    the shaft shear stresses are normalized by the local
    shaft shear stress maxima.

    Building from Lehane (1992), Chow (1997) summa- Leading A


    200
    rised all available data regarding the stress condi- Following B G'=27o
    tions developed around piles driven in sands, ex- Trailing C
    Shear stress Wrz (kPa)

    tended her analysis to consider open-ended piles and 100


    conducted data base checks that validated the simple
    ICP-05 design rules of Jardine et al. (2005). Subse-
    0
    quent re-evaluation of pile design principles for
    sands by Fugro and NGI led to alternative ap-
    proaches incorporating a number of common factors, -100
    as did work at UWA by Lehane et al (2005). The
    ICP-05, NGI-05 (Clausen et al, 2005), Fugro-05 and Direction of
    -200 radial stresses
    UWA-05 methods are all recognized in the Com-
    mentary section of the industry standard recommen-
    0 100 200 300 400 500
    dations (API RP2GEO 2011) for offshore design. Radial stress Vr (kPa)

    Returning to the response expected in sands to axial Figure 22: Effective stress paths from stable cyclic Mini-ICP
    cycling, an extensive study has been made recently tests in Fontainebleau NE 34 sand, 1000 cycles applied; after
    with a reduced scale Mini-ICP displacement pile Rimoy et al. (2012)
    installed in a calibration chamber filled with dry

    71
    halve capacity within just a few cycles, while 1000
    cycles applied with Qcy/Qs = Qa/Qs = 0.25 provoked
    200 Leading A ' o
    a fully stable response, and shaft capacity gains
    G =27
    Following B comparable to those seen in the INPG calibration
    Trailing C
    chamber tests.
    Shear stress Wrz (kPa)

    100

    Figure 26 illustrates the remarkable shaft capacity-


    0 time trends identified at Dunkirk from both experi-
    ments on virgin piles and multiply tested piles. In-
    dividual virgin pile tests showed the strong axial
    -100
    capacity growth with age indicated as the IAC trend.
    While static and cyclic failures followed primarily
    Direction of
    -200 radial stresses ductile load-displacement curves, unloading after
    testing to failure degraded shaft capacity markedly.
    0 100 200 300 400 500 Capacity losses developed through moderate levels
    Radial stress Vr (kPa)
    of cycling tended to recover over extended rest peri-
     ods, while low level cycling was beneficial (Jardine
    Figure 23: Effective stress paths from metastable cyclic Mini-
    ICP tests in NE 34 sand; 1000 cycles applied; after Rimoy et et al., 2006; Jardine and Standing, 2012).
    al. (2012)

    200 Leading A ' o


    Following B G =27
    Trailing C
    Shear stress Wrz (kPa)

    100

    -100

    -200 Direction of
    radial stresses

    0 100 200 300 400 500


    Figure 25: Summary interaction diagram from cyclic tests on
    Radial stress Vr (kPa)
    steel tubular piles driven in dense sand at Dunkirk; after Jar-
     dine and Standing (2000)
    Figure 24: Effective stress paths from unstable cyclic Mini-ICP
    tests in Fontainebleau NE 34 sand; 1000 cycles applied; after
    Rimoy et al. (2012)

    The first comprehensive set of full scale cyclic tests


    to be performed on sands appears to be that under-
    taken in dense Dunkirk marine sand by Jardine and
    Standing (2000, 2012). Multiple cyclic tests to fail-
    ure were conducted by Imperial College on six 19m
    long, 457mm OD, steel pipe piles, interspersed with
    static tension tests that tracked changes in the piles
    static capacities. These tests are considered to have
    been fully drained. The first key outcome was the in-
    terpreted failure trends plotted as a normalized inter-
    action diagram in Figure 25, which broadly matches
    the IC-INPG calibration chamber tests given in Fig-
    ure 21, showing slightly less sensitivity to extreme Figure 26: Tension capacity-time trends for both virgin (IAC
    two-way loading. Perhaps surprisingly, the Dunkirk trend) and multiply tested (O to E and O to D) steel tubular
    piles driven in dense sand at Dunkirk, normalised by ICP pre-
    cyclic trends are comparable to those shown for dictions; after Jardine et al. (2006)
    Haga in Figure 2. High level two-way cycling could

    72
    Further analysis of the Dunkirk piles cyclic load- Table 3: Five further notable cyclic testing programmes
    displacement trends is given by Rimoy et al. (2013) Test reference Main characteristics
    who show that (i) cyclic stiffnesses show generally
    modest changes until cyclic failure is approached Empire, LA Pile: 4 pile segments, D=356mm,
    while (ii) permanent displacements develop accord- Kraft et al., 1981 16.2m long, open ended
    ing to a more complex pattern which depends on Installation: driven between 30 and
    both Qcy/Qs and Qa/Qs. 110m penetration
    Soil: firm becoming stiff to very
    stiff, highly plastic clay
    3.5 Cyclic field testing programmes by other inter- Testing: at 4-10 days and 320 days;
    national groups tension; compression; variable speed
    Before moving on to offer a brief mid-point sum- static; one-way cyclic compression
    mary and consider the alternative frameworks de-
    Plancot, F Pile: D=273mm, 13m long, closed
    veloped from the NGI and ICL field research pro- ended
    grammes, we pause to consider briefly some Puech and Jezequel,
    Installation: driven
    1981; Puech, 1982
    significant field cyclic loading tests conducted by Soil: compressible silts, loose sands,
    other groups. The experiments outlined in Table 3 silty clays
    were all reported between 1975 and 1990 and only Testing: tension, constant amplitude
    and storm loading
    partially documented results are available in the
    public domain. Where sufficient information could Pile: D=273mm, 17m long, closed
    be extracted from the publications, the results have Cran, F ended
    been plotted in a normalised cyclic capacity diagram Installation: driven
    Puech et al., 1982
    (Figure 27) of the type presented in Figures 4 or 5. Soil: Highly plastic clay (OCR=2)
    Testing: tension, constant ampli-
    tude, storm loading, sustained ten-
    sion, 10 000 cycles

    Pile: D=762mm, 22m long


    Beta pile, CA Installation: driven through cleaned
    (= Aquatic Park) 58m sleeve pile between 58 and 80m
    penetration
    Pelletier and Doyle,
    Soils: very stiff to hard silty clay,
    1982 lightly overconsolidated
    Doyle and Pelletier, Testing: tension/compression; 1-
    1985 way / 2-way; load rate effect; load
    history checks.

    Pile: D=772mm, 71m long (55m in-


    WD58A, LO strumented)
    Installation: driven
    (Mississippi delta)
    Soil: underconsolidated high plastic-
    Bogard and ity soft silty clay
    Matlock, 1998 Testing: tension/compression; 1-
    way/2-way; rate of loading; load his-
    Figure 27: Normalised cyclic capacity diagram showing tory; tests at 2hours, 4, 16 and 29
    ranges considered in field tests by other groups months after installation.

    The tests all employed:


    Cyclic shear reversal was noted near the pile heads in
    x Steel pipe piles with diameters greater than some one-way tests and all two-way tests. In most
    273mm driven predominantly in clays or silts, cases incremental static or rapid monotonic load tests
    x Strain-gauge measurements of axial load distri- were performed before and after cyclic sequences to
    bution and local shaft friction, pore pressure sen- define pre and post-cyclic capacities. Several pro-
    sors and total pressure sensors, grammes included studies of the effects of resting pe-
    x Significant numbers of cycles (typically 100 to riods imposed between testing sequences. The key
    1000, but up to 10 000) observations were generally coherent with the
    x Loading frequencies generally close to 0.1Hz to mechanisms and patterns outlined in the two preced-
    simulate wave loading, varied in some cases to ing sections. We summarise below the most signifi-
    investigate loading rate effects cant outcomes from the experiments.

    73
    x Reasonable correspondence between the
    integrated data set of one-way loading tests
    (performed with Qmin close to zero) and the Nf =
    50 one-way cyclic failure curves from the NGI
    experiments at Haga, Lierstranda and Onsy;
    x Cyclic failure was experienced under one way
    conditions when Qmax/Qus was relatively high,
    typically above 0.8. This ratio was considered by
    some authors as a load threshold above which
    cyclic failure could occur by plunging or pull out
    of the pile under accumulating displacements. As
    noted in the earlier NGI and ICL programmes,
    Figure 28: Cyclic versus static creep loads for the Cran pile;
    cyclic failure can be engendered by two-way yo = pile head displacement under constant static loads, ymax =
    cycling at far lower Qmax/Qus ratios. pile head displacement under maximum cyclic load (Puech,
    2012, personal communication)
    Cyclic tests and static incremental tests on the Cran
    pile, which was installed in a soft, low YSR, highly
    plastic clay, showed ductile failure in all cases. The
    ultimate static tension pile capacities decreased
    gently over time under the applied testing sequence,
    whereas the static creep limit load remained
    unchanged. The latter limit is a key criterion in the
    French Civil Engineering industry and is defined as
    the point in a static load maintained test where a
    sharp change occurs in the rate of displacement of
    the pile head under constant load as shown in Figure
    28. A similar criterion can be defined for one-way
    cyclic loading tests (with Qmin = 0) as the Qmax value
    where the permanent displacement rate accelerates Figure 29: Cyclic versus static creep loads for the Plancot
    sharply. The Cran tests indicated similar static and pile; yo = pile head displacement under constant static loads,
    ymax = pile head displacement under constant maximum cyclic
    cyclic creep load points. load (Puech, 1982)

    The Plancot pile driven in silty clays and loose sands Interest in this case led to a suite of eight ring-shear
    wassubmittedtosimilarloadingsequences )LJXUH interface studies being performed at Imperial Col-
     Behaviourappearstohavebeengovernedbythe lege on WD58A samples taken by Fugro in 2000.
    response of the loose silty sand layer which proved to These confirmed a profile of ductile peak values
    be very contractive during cycling loading. However, falling around 26o in the upper part of the WD58A
    the ultimate tension capacity Qus and the static creep profile (where 36% < Ip < 53%) and lower peak an-
    load Qcs increased significantly as the test series gles around 19o that fell post-peak to reach minima
    progressed with 0.65 < Qcy/Qus < 0.85, while the around 12o in the deeper more plastic (Ip = 68%)
    cyclic creep threshold fell about 40% below that for clays. Bearing in mind the earlier discussion,
    static testing. The offshore experiments conducted on stronger cyclic degradation could be expected in the
    the large piles driven for the WD58A platform in the low YSR (<1.0), high , upper layers. The lower
    Gulf of Mexico constitute perhaps the most important values available at depth would have partially
    case study. Extreme two-way cycling tests led to shaft shielded the deeper sections from cyclic loading.
    capacity losses ranging between 50 and 85% of those However, any eventual failure would have to be brit-
    available before cycling, confirming the potential ef- tle, as was seen in the field. ICP calculations based
    fects outlined earlier from the NGI and ICL pro- on these new laboratory data provided good matches
    grammes (for example in Figures 2 and 4). It is also to static field axial capacity and the radial effective
    important to note that some capacity recovery took stress measurements (Saldivar, 2002; Jardine et al.,
    place over extended rest periods. Bogard and Matlock 2005). Kovacevic et al. (2012) give further informa-
    (1998) noted that slickensided shear surfaces had tion on the low residual shear strengths of other,
    formed in the clay cakes they sampled from around much deeper water Gulf of Mexico plastic clays,
    the shafts of the WD58A piles when they were finally showing that these material characteristics also im-
    extracted, confirming the importance of residual shear pact very considerably on regional underwater slope
    strength in these Gulf of Mexico soils. stability.

    74
    Other observations that can be summarised from 3.7 Summary of key points regarding axial cycling
    these international field tests are: Our review of field loading tests, which covers a wide
    range of soil types, pile sizes and loading configura-
    x For all tests reported, cycles could be re-run in tions, leads to the following broad conclusions:
    the initially stable domain after the pile had failed
    under 1-way cycling without causing any marked x Axial cyclic loads applied with periods similar
    further degradation of capacity; to those in offshore storms could cause large pile
    x Displacement controlled tests that imposed fully head movements and cyclic failures to develop
    reversed two-way loading to failure caused severe under maximum loads lower than the piles
    degradation with capacity losses of 50 and 85% static axial capacities at all of the clay and sand
    respectively for the Beta and WD58A piles; sites.
    x For the test conditions considered, cyclic failure x Rate effects apply in clays that help to resist sin-
    in clays was always the result of accumulated gle impact loads, but cannot halt the progressive
    permanent displacements, and associated sharp accumulation of displacements and degradation
    decreases in cyclic pile-head stiffness. Cyclic of static shaft capacity under cyclic loads.
    stiffness did not change greatly until the onset of x The most significant losses in axial capacity de-
    cyclic failure, as illustrated best by the tests at velop in sands and low YSR, sensitive clays -
    Cowden (McAnoy et al., 1982) and Merville pile particularly those with high and interface
    (Benzaria et al., 2012); shear .
    x Rate effects were evident in clays. Increases in x The responses depend critically on the style of
    pile stiffness in excess of 10% per log cycle were loading. The most severe effects apply under ex-
    reported for the Empire tests and increases in treme two-way conditions which can involve axial
    capacity of 8 to 10% per log cycle of loading rate capacities halving within a small number of cycles.
    were reported for the Beta and Merville piles. x Significant cyclic losses could be seen in piles
    that did not show significant brittleness under
    3.6 SOLCYP programme 20082012 static loading.
    As mentioned already, a major programme, termed
    x Cyclic loading levels could be identified below
    SOLCYP, has been underway in France since 2008,
    which large numbers of cycles could be applied
    investigating the behaviour of bored and driven piles
    without significantly affecting load-displacement
    under cyclic loading in sands and clays through a
    behaviour. The highest normalised zero damage
    range of laboratory, field and theoretical approaches
    levels were seen in high YSR clays having low
    (Puech et al., 2012). Cyclic field tests have been per-
    values.
    formed on driven steel piles at two sites. The first is
    x There was clear field evidence that residual shear
    Merville, North of France where stiff to very stiff
    fabric plays an important role in developing low
    overconsolidated (YSR of about 6) plastic Eocene
    friction shear surfaces in soils containing consid-
    Flanders clay is encountered below 3m depth. Ten test
    erable fractions of active clay particles. However,
    piles were installed, including 4 driven closed ended
    such surfaces were not thought to have developed
    tubular steel piles each 13.5 long and 406mm in di-
    at NGIs Norwegian clay sites.
    ameter.
    x A class of problematic clays appears to exist that
    They were instrumented with removable extensom- has low plasticity, develops high values of and
    eters; loading experiments conducted during 2010 in- , but gives low axial static capacities, shows
    cluded conventional incremental static, rapid load strong long term set-up trends and is particularly
    (CRL) and cyclic tests. The latter included high level susceptible to axial cyclic loading.
    cyclic tests that failed after relatively few cycles and x Strong set-up effects and recovery after moder-
    those that extended to very large numbers (>10,000) of ately damaging cyclic loading were seen in sand.
    relatively low amplitude cycles. Test details and pre- Responses ranging from positive effects of pre-
    liminary results are presented by Benzaria et al. shearing through to inexorable capacity decline,
    (2012). The second programme is underway on similar were observed in multiple re-tests on clays.
    piles installed near Dunkirk in the post-glacial Flan- x Cyclic failure involved a progressive top-down
    drian sands. Considering the availability of previous process. As with static capacity this trend is ex-
    cyclic pile testing by Imperial College in the same acerbated by possible local shaft capacity brit-
    sands at a neighbouring site (see Jardine and Standing tleness and is most marked with long relatively
    2000, 2012 and Rimoy et al., 2013) only two steel flexible piles that can unzip downwards from
    piles have been driven and tests are being conducted to the upper region of initially marked cyclic deg-
    complement and extend the existing dataset. radation.

    75
    x Cyclic degradation may be exacerbated in clays cyclic loading that are based on contour diagrams of
    by pile group action. pore pressure and shear strains; Andersen (1976),
     Andersen et al., 1994). These procedures use pore
    4. Frameworks for Understanding and Modelling pressure or cyclic shear strain as degradation pa-
    Axial Cyclic Response rameters and account for non-linear variations of
    pore pressure and strains with number of cycles and
    The NGI and ICL test programmes have been inter- cyclic shear stress. We describe later in Sections 5
    preted through different frameworks that lead to al- and 6 how the NGI framework has been applied in a
    ternative approaches for modelling the axial re- range of codes (PAXZY, PAX 2, UDCAM and
    sponse and specifying laboratory testing to derive PDCAM) to offer numerical predictions for the load-
    cyclic soil parameters for practical analysis. Both displacement pile behaviour of piles driven in clays.
    approaches recognize that offshore pile behaviour
    under axial cycling is likely to be dominated by the
    shaft response. Cyclic failure is progressive and se-
    vere shaft degradation is likely to develop before the
    pile tip carries any significant part of the cyclic load-
    ing. Both also acknowledge that the soil conditions
    around the shaft are kinematically constrained. Fol-
    lowing the scheme shown in Figure 30, circumferen-
    tial strains cannot develop due to symmetry, while
    vertical strains must match the very low values de-
    veloped by the relatively rigid pile, unless slip oc-
    curs. The only possible significant normal strain
    components are radial, which can only develop in
    saturated soils if consolidation or swelling can take
    place. Any radial movements that do take place have Figure 30: Stress coordinates around a pile shaft under axial
    to accommodate the stiffness of the surrounding soil loading; after Jardine (1991)
    mass, leading to changes in total stresses as strains
    occur and pore pressures equalise. The Imperial College effective stress approach fo-
    cuses on the conditions developed close to the shaft.
    The NGI have followed a total stress approach for Simple Coulomb laws govern local shear failure
    clays that relates shaft resistance to local Direct with interface shear values which usually fall well
    Simple Shear (DSS) undrained shear strengths, and below the soils critical state angle and can be meas-
    predicts these strengths through tests on remoulded ured in ring-shear interface tests. Local sliding may
    samples consolidated to the radial effective stresses initiate either at the interface or on shear bands
    that are predicted to apply after all installation in- formed in the adjacent soil mass. Jardine (1991,
    duced pore pressure and total stress changes have 1994) considered the r reductions developing on
    equalized, following a scheme such as that shown in such shear surfaces as the key driver leading to cy-
    Figure 30. NGI followed a similar approach to pre- clic shaft capacity degradation for both sands and
    dict the set-up along the skirt walls of suction an- clays, with local slipping starting once the radial ef-
    chors, where they accounted for both the stress fective stress reductions lead to the effective stress
    changes described above and the thixotropy effect Coulomb failure criterion being met, as seen for ex-
    that occurs in parallel with the pore pressure redis- ample in Figures 22 to 24. Careful field tests by Le-
    tribution; Andersen and Jostad (2002). hane (1992) and Chow (1997) at Bothkennar and
    Pentre confirmed that similar local effective stress
    NGI also envisage that cyclic effects can be paths are followed in drained and undrained static
    predicted by mapping results from undrained cyclic pile loading tests, largely as a result of the severe ki-
    DSS tests to predict the progressive development of nematic constraints outlined in Figure 30 and de-
    cyclic and permanent strains. The latter lead to scribed above.
    predictions for pile displacements and changes in
    local DSS shear strengths, which are translated into Almost all clays and sands (including those that di-
    shaft capacity changes. The latter usually involve late under static shear) tend to contract when sub-
    losses, but gains are also possible due to sustained jected to significant cyclic loading, provided the ef-
    drained pre-loading or thixotropic effects. NGI de- fective stress paths do not cross the soils phase
    veloped procedures to determine accumulated pore transformation lines (as defined by Ishihara, 1992).
    pressure and reduction in effective stresses due to Local slip is then seen as the main cause of perma-

    76
    nent pile head movements developing under cy- rise, fall or remain constant. Predictions of field be-
    cling. Shear stiffness changes may also develop in haviour rely on developing relationships between
    the soil mass prior to this point that can be modelled, normal effective stress and cyclic loading parame-
    but these are seen as being of secondary importance. ters through field data or cyclic DSS, Triaxial or
    The ICL interpretation anticipates that the most im- Hollow Cylinder Apparatus (HCA) laboratory tests.
    portant soil-pile factors affecting cyclic loading re- The approach requires laboratory test samples to be
    sponse are: consolidated to the radial effective stresses predicted
    by the ICP methodology, which typically anticipates
    x The soils (pre-failure) dilatancy characteristics higher radial effective stresses than the NGI ap-
    under small to moderate cyclic shear straining. As proach. The samples may be remoulded before test-
    is well known, the tendency to contract is gener- ing when dealing with sensitive clays.
    ally more marked with: low YSR deposits than
    heavily overconsolidated strata; low Ip soils than Jardine and Standing (2000) and Jardine et al. (2005)
    fat clays; loose sands than dense, and granular set out a simple method for predicting the potential
    media with crushable rather than hard grains; reduction of local shaft resistance for piles subject to
    x The local angles of interface shearing resistance. groups of uniform load cycles in clays or sands.
    6RLOVZLWKORZYDOXHVOLPLWWKHrzr ratios and Undrained DSS tests on sands and clays showed that
    degree of cyclic damage that can be developed. LQ FDVHV ZKHUH vhv  WDQ  WKH UHODWLYH ORVVHV LQ
    Piles can impose far more significant cyclic load- QRUPDO HIIHFWLYH VWUHVV
    v
    vc) were nearly inde-
    ing, and sustain more significant damage, in soils pendent of the average shear stresses applied and
    that dHYHORSKLJKDQJOHV([DPSOHVLQFOXGHWKH could be expressed with reasonable accuracy as sim-
    Haga and Bothkennar clays, as well as sands. ple functions of the normalised cyclic shear stress
    x Progressive failure in brittle soils. As with static DPSOLWXGH cycmax stat) and number of cycles (N)
    capacity this trend is exacerbated with long rela- such as:
    tively flexible piles that can unzip downwards
    from the upper region of initially marked cyclic
     (1)
    degradation.

    The ICL methodology is essentially the same for


    Suitable laboratory tests may be undertaken to de-
    sands and clays. Storm loading conditions will usu-
    termine the material coefficients (A, B and C) and
    ally lead to a principally undrained response in
    define rates of radial effective stress reduction under
    clays. When permeabilities are high enough in sands
    cycling for both clays and sands; see for example
    to give drained conditions during storms, volume
    Jardine et al. (2011). Parameters can also be cali-
    changes can develop that provide scope for possible
    brated against suitable field or model tests as de-
    radial straining close to the pile shaft. If the response
    scribed for example by Jardine and Standing (2000),
    is dilative, as in the final stages of static loading to
    (2012). Noting that the average loss of radial effec-
    failure, the expanding interface shear zone reacts
    tive stress broadly determines the loss of static shaft
    against the surrounding soil mass and generates ra-
    UHVLVWDQFH Qstat), the relative loss of shaft resis-
    dial stress increases. The reverse applies when the
    WDQFH Qstat/Qmax stat) can be expressed as a similar
    sand close to the shaft contracts under cyclic load-
    function of the normalised cyclic load amplitude
    ing, as shown in the pre-failure stages illustrated in
    (Qcy/Qmax stat) as follows:
    Figures 22 to 24. It may be argued that Constant
    Normal Stiffness (CNS) tests match these kinematic

    conditions. However, it is hard to set fully appropri-
     (2)

    ate CNS values during practical applications as they
    depend on (i) the sands anisotropic, non-linear and
    pressure dependent stiffness and (ii) the inverse of The expression can be manipulated to both make
    the piles outside diameter. Constant volume explicit predictions for cyclic losses during specified
    (undrained) tests provide upper bound, infinite CNS, storms (adjusting between packages of cycles fol-
    conditions that may be more useful for design. lowing an equivalent number of cycles procedure)
    or give the global cyclic interaction diagram pre-
    In the above framework, shaft capacity reduces in sented in Figure 31 for the Dunkirk test piles. The
    clays in step with the local radial effective stress A, B, C parameters were developed for this case
    changes and degradation takes place independently initially by reference to undrained cyclic DSS tests
    of the local undrained shear strength which could on another North Sea sand. As described by Jardine

    77
    and Standing (2000), further adjustments were made based on the same principles where permanent de-
    to give an improved match with the Dunkirk field flections could develop progressively due only to lo-
    tests leading to the following constants: A = -0.126; cal shaft slip movements. The model was applied to
    B = -0.100, C = 0.45. The lines of constant Nf (num- explore how extreme storms could impact on a typi-
    ber of cycles to failure for a given load amplitude) cal large Central North Sea offshore oil or gas plat-
    resemble reasonably well those interpreted from the form, considering realistic ground conditions and
    field tests. wave spectra in full soil-structure analyses. It was
    concluded that cyclic loading could impact signifi-
    cantly on the ultimate performance of a well de-
    signed platform founded on steel piles driven in
    standard clays and sands.

    The approach described above to determine the


    loss in effective stresses due to cyclic loading has
    similarities with the approach used by NGI in the
    early phase of the North Sea gravity platform de-
    sign. The approach can be seen as a simplification
    of their contour diagram accumulation proce-
    dures.

    5. Approaches for Practical Design

    5.1 Graduated approach


    New approaches of varying complexity are emerg-
    ing that can offer practical assessments of axial
    Figure 31: Interaction diagram from simple ABC global
    cyclic loading effects. Examples where designers
    model and field trends from Dunkirk cyclic pile tests have taken explicit account of axial cyclic loading
    are given by Aldridge et al. (2010), Evans et al.
    As proposed by Poulos (1988), and proven in field (2010), Jardine et al. (2011) and Merritt et al.
    tests at Dunkirk and other model tests (Richter et al., (2012).
    2010 and Rimoy et al., 2012), cycling applied below
    certain levels can lead to both a fully stable response Graduated approaches for cyclic pile design are pro-
    and potential increases in shaft resistance. Also posed in Figure 32 considering both axial and lateral
    shown in Figure 31 is the Qcy/Qmax stat limit for the loading treatments. In each case the first step is to
    Dunkirk pile case: decide whether any cyclic analysis is warranted. It is
    assumed that the geotechnical data required for static

     

    (3) design is available, as are the expected pile sizes and
    critical design loads. Loading is often only charac-
    terized by the ULS load (maximum load under ex-
    The global approach does not explicitly capture the treme environmental conditions). The composition
    local mechanisms involved in the reduction of pile of the average and the cyclic components in the ULS
    resistance due to cyclic axial loading (see for exam- design storm must also be known to make even a
    ple Rimoy et al., 2012) and cannot be applied to soil screening assessment.
    profiles that are highly non-uniform, especially over
    the upper half of the shaft. It is acknowledged that Axial loading interaction diagrams offer useful
    shaft capacity reduction is not uniform over the guidance to assess whether cyclic loading could be
    shaft, but propagates from the pile head to its toe as critical for the soil-pile configuration. As a first es-
    cyclic loading progresses, depending on the number timate, a piles potential sensitivity to cyclic load-
    of cycles and the flexibility of the pile. ing can be gauged by comparing the ULS event, as
    defined by the (Qcy/Qs; Qa/Qs) load point, with the
    A variant of the same approach that addresses the zero damage contour and other contours (for exam-
    local non-homogeneity and progressive failure was ple that for Nf = 100) at which significant damage
    developed in a study for the UK Health and Safety is likely. These contours have to be estimated from
    Executive (HSE), as reported by Atkins (2000). either field or model tests involving comparable
    Slightly different values of A, B and C were chosen soil conditions, or from well-calibrated sets of cal-
    for use with Equation 1 in a local cyclic T-z model culations.

    78
    dominated in Cases A to F, while tension was more
    critical in Case G. Pile end resistance and group ac-
    tion are not considered in this simple illustration, but
    should be addressed in practice. The zero damage
    and Nf = 100 failure contours were chosen to be
    broadly representative of sands and clays that are
    relatively, but not extremely, susceptible to cyclic
    loading and represent a combination of the Dunkirk
    and Haga pile test data presented earlier. However,
    we emphasise that any practical assessment must
    address the specific soil conditions: piles driven in
    high YSR plastic London or Flandrian clays (at
    Canons Park or Merville) would merit contours that
    plotted at far higher levels, while the contours for
    the more susceptible Lierstranda or Onsy sites
    would be set at lower levels.

    The illustrative cases shown in Figure 33 have ULS


    events that plot above the no-damage contour, so
    some damage can be expected at each site. Detailed
    (a) Axial response assessment method assessments made for two of the intermediate cases
    confirmed that significant degrees of axial cyclic ca-
    pacity degradation would be expected during these
    structures design storms. Cases A, B, E, D, F and G
    show a progression of reducing proximity to the Nf =
    100 contour, and hence increasing potential of cy-
    cling loading degradation. Case C plots above the Nf
    = 100 contour, indicating a considerable potential im-
    pact on this structures foundation performance. Cy-
    clic loading can reduce the safety factor below the 1.5
    based on static shear strength very significantly, but
    by degrees that differ in each of the cases considered.

    Analyses of routine operating conditions are likely


    to indicate loading states that remain well below
    the zero damage line. Most platforms loading
    states will only cross this limit during major
    storms; low level cycling may even be beneficial.
    Stock et al. (1992) report on the long term meas-
    urements made of the Hutton TLPs piles, detailing
    their satisfactory performance under long term cy-
    (b) Lateral response assessment method
    cling. The cyclic field tests reviewed above also in-
    Figure 32: Flow charts for cyclic design for axially and laterally dicates that in most cases recovery will take place
    loaded piles. Approaches that can be applied in current practice between storms that impose minor cyclic loading
    are highlighted yellow. Approaches requiring further develop-
    ment are highlighted in green damage. The major design aim is therefore to en-
    sure that capacities remain adequate at the end of
    the critical design storm.
    Figure 33 plots the range of storm loading condi-
    tions for the platforms listed in Table 2 to illustrate No equivalent simple screening can be proposed yet
    the first stage screening process. In this simplified for lateral loading. By analogy with axial loading,
    treatment we assume that all the piles were designed critical situations may perhaps be identified by de-
    to give WSD factors of safety of 1.5 with respect to veloping from experiments or analyses equivalent
    their most critical single ULS storm load; higher fac- iso-contours of relative pile head displacements y/B
    tors were in fact adopted in several of the practical as functions of normalised average and cyclic load
    cases considered. Leeward, compressive condition components.

    79
    Most critically loaded piles It has been argued that the detrimental effect of cy-
    Cases A to G from Table 2 cles can be captured from good quality experiments
    1
    Platform A on model or field pile tests. Degradation laws have
    Platform B been proposed by, for example, Poulos (1982) with
    Platform C various forms, the simplest of which is:
    0.8
    Platform D
    Platform E P(N)/P(1) = k.N-m (4)
    Platform F
    0.6 or P(N)/P(1) = 1- t.Ln(N) (5)
    Platform G
    Qcyc/Qs

    Zero damage
    where P(N) and P(1) are the value of the property P
    0.4 Linear (FoS = 1.5)
    being considered (which can be undrained shear
    strength or radial effective stress) at cycle N and 1
    Haga
    Nf = 100 respectively; m is an exponent depending on the
    0.2 contour type of soil; and k or t are factors depending on the
    average load and cyclic amplitude. Accumulated ax-
    ial or lateral pile head displacements (or rotations, or
    0 secant stiffness) can be expressed by:
    0 0.2 0.4 0.6 0.8 1
    Qave/Qs
    P(N)/P(1) = k.Nm (6)
    Figure 33: Illustration of potential cyclic effects; WSD, FoS =
    1.5 design conditions compared with Dunkirk zero damage and or P(N)/P(1) = 1+ t.Ln (N) (7)
    Haga Nf = 100 contours in normalised cyclic interaction
    diagram
    where m and t depend on the load characteristics, the
    Detailed site-specific analysis may be undertaken if pile-soil system (rigidity) and the installation
    the initial assessment suggests that cyclic effects method.
    could be significant. This requires far closer atten-
    tion to the loading conditions. The more or less ran- Three types of cyclic analyses can be applied to the
    domly distributed loads resulting from simulations pile-soil system: global pile analyses, local beam
    of the extreme events are usually decomposed into column analyses and FEM analyses. In global pile
    organized parcels containing a given number of cy- analyses, the response of the pile head (axial or lat-
    cles with constant values of average and cyclic eral displacements), the axial capacity, or the maxi-
    loads. The loads change from one parcel to the next. mum pile moment are first calculated under mono-
    Cycle-counting methods (derived from rainflow tonic conditions. These results are then modified by
    analyses) are generally used to transform actual load applying the degradation laws, offering an approach
    histories into idealised series of cycles (e.g. Puech et which may be sufficient for relatively short piles and
    al., 2012 or Merritt et al., 2012). homogeneous soil conditions.

    The analyst needs then to quantify the detrimental Local beam-column analyses are more appropriate
    effect of cycles. As noted above, degradation of soil for long flexible piles and cases with complex soil
    properties (strength, effective stresses, stiffness) can layering. The transfer curves may comprise:
    be determined in the laboratory by performing cyclic
    triaxial, DSS or Hollow Cylinder Apparatus tests. x Envelopes, such as the cyclic API P-y curves
    Degradation of soil-pile interface properties can also described in Section 6, (equivalent cyclic T-z
    be investigated in cyclic direct shear or constant curves have yet to be recommended by API or
    normal stiffness (CNS) soil-steel interface tests. It is ISO)
    anticipated that soil degradation properties could x Cyclic P-y or T-z curves obtained by degrading
    also be obtained from specifically devised in-situ static capacity using simple degradation laws
    cyclic pressuremeter tests (PMTc) or cyclic pene- x Cyclic T-z curves generated by a more sophis-
    trometer tests (CPTc), as outlined by Puech et al. ticated algorithm, such as those described be-
    (2012). However, specific procedures have yet to be low.
    developed and calibrated. Approaches such as the
    simplified Imperial College method outlined above Completely implicit numerical analyses, such as Fi-
    or the NGI procedures detailed later in Section 5.2 nite Element approaches where realistic constitutive
    can be applied. laws are specified for the soil and the soil-pile inter-

    80
    face and individual cycles are modelled fully, appear Under cyclic loading, the accumulation of perma-
    to be of principally academic interest at present. nent displacement is controlled by the parameter
    However, explicit procedures where accumulation which defines a yield point that is engaged on re-
    laws are used to describe the effect of cycles are be- loading. The post-yield plastic displacements are
    coming feasible for practical application. In all ap- considered as equivalent to post-peak monotonic
    proaches the disturbance caused around the pile by displacement. This leads to a gradual degradation of
    installation must be considered. When lateral load- the shaft friction from peak to residual. An implicit
    ing is applied one must also consider whether gap- assumption is that the load-transfer exhibits post-
    ping may develop along the upper part of the pile peak softening. The safe cyclic range can be varied
    and other lateral cyclic loading damage occur below in a way similar to that proposed by Goodman for
    the extreme region where shaft contact is lost. These metals. As noted above, many soil types that are
    features reduce the piles axial capacity. susceptible to axial cyclic loading also show ductile
    static behaviour.
    5.2 Simplified computer codes for axial analyses
    Three examples of simplified computer codes that Other similar codes are available commercially. As
    can be applied in practical cyclic analyses are out- noted earlier, Atkins (2000) report an alternative T-z
    lined below. formulation based on the simple A, B, C ICP pro-
    cedure described above that could reproduce the
    RATZ load displacement behaviour of cyclic tests at Dun-
    The code RATZ (Randolph, 1994) utilizes a beam- kirk with reasonable accuracy. In this approach pile
    column T-z load-transfer approach to simulate the slip was the sole source of permanent pile head de-
    response of the soil surrounding the pile. The basic flection under cycling.
    load-transfer scheme is illustrated in Figure 34. Un-
    der monotonic loading, the T-z curve consists of: PAXZY and PAX2
    The original NGI cyclic axial pile code PAXZY was
    (i) A linear stage o= kw/ro that extends up to a developed by Karlsrud et al., (1986), while a simpli-
    fraction p of the peak shear stress ( is a pa- fied version, PAX2 was described by Nadim and
    rameter between 0 et 1) Dahlberg (1996). PAXZY follows the principles pro-
    (ii) A parabolic stage with initial gradient k and posed by Goulois (1982). T-z springs are established
    final gradient of zero when = p by integrating with respect to radius the shear strains
    (iii) A softening stage, where the current value of rz developed in the disk of soil surrounding the pile
    shaft friction is related to the absolute pile segment. The soil around the pile is divided into the
    displacement by : three zones as specified earlier in Figure 9. The cyclic
    soil response is based on shear strain contour dia-
    [ (
    o = p 1.1(p f ) 1 exp 2.4(w/wres ) )] (8) grams of the type presented in Figure 35, which show
    the average and cyclic shear strains as functions of
    where f is the residual value of shaft friction, average and cyclic shear stresses after a given number
    reached after an additional displacement of wres, of cycles. This type of contour diagram is routinely
    with w being the post-peak displacement. The pa- used for foundation design of Gravity Base offshore
    rameter controls the shape of the strain softening platforms and anchors (e.g. Andersen, 2004).
    curve.

    Figure 35: Contour diagram defining average and cyclic shear


    strains as functions of average and cyclic shear stresses after a
    Figure 34: Load-transfer T-z curve used in RATZ given number of cycles; after Andersen (2004)

    81
    Ideally, contour diagrams should be established for all SCARP
    the three zones around the pile. However, the inner SCARP (Poulos 1989) applies a simplified boundary
    reconsolidated remoulded zone is assumed to gov- element formulation in which the soil mass is repre-
    ern capacity and displacements. The shear loading sented by an elastic continuum. Allowance is made
    contour diagrams are established from cyclic DSS for pile-soil slip along the interface and end-bearing
    tests on reconsolidated remoulded clay. Karlsrud failure by specifying limiting values of the pile-soil
    and Nadim (1990) suggested ways of correcting the stress at each element of the pile. Strain-softening
    DSS test result to allow for possible differences in oc- behaviour of the interface can also be considered.
    tahedral effective normal stress between the DSS and For cyclic loading, the program allows for three ma-
    the in situ stress conditions. jor effects of cyclic loading:

    It is assumed that the cyclic load history that the pile (i) Degradation of shaft and end-bearing resis-
    is exposed to can be expressed as a number of load tances and soil modulus
    parcels where each parcel contains a certain number (ii) Loading rate effects
    of cycles with constant average and cyclic loads. (iii) Accumulation of permanent displacements
    The pile response can be calculated at the beginning under non-zero average loads
    and end of each load parcel. The diagram in Figure
    35 is used to establish relationships between average The reverse plastic stress model, proposed by
    shear stress, a, and average shear strain, a, and be- Matlock and Foo (1979) is applied in which degra-
    tween cyclic shear stress, cy, and cyclic shear strain, dation D develops progressively during cycling
    cy. The two relationships are not independent, how- with:
    ever, and iterations are performed. These first apply
    the average load and use the a - a relationship to D = (1 - ) (D Dmin) + Dmin (9)
    find the a distribution. The cyclic loads are then
    combined with the cy - cy relationship to calculate where:
    the cy distributions over the pile. The latter is then D = Current value of degradation factor
    applied with the a - a relationship to recalculate the D = Degradation factor for previous cycle
    a distribution. Iteration continues until acceptable Dmin = Minimum possible degradation factor
    convergence is obtained between the calculated a = Degradation rate parameter
    and cy distributions along the pile.
    The shaft resistance scheme is shown in Figure 37.
    However, SCARP tracks three degradation factors:
    The effects of cyclic loading on capacity and dis-
    D for shaft resistance, Db for base resistance and DE
    placements are taken into account by using strain
    for soil modulus. Each expresses the ratio between
    contour diagrams of the type shown in Figure 36.
    the particular parameter and its corresponding value
    The strain accumulation procedure (Andersen,
    under static loading.
    1976), is followed over the cyclic load history, and
    the equivalent number of load cycles at the begin-
    As discussed earlier, pile capacities and pile head
    ning and end of the specified load parcels is deter-
    stiffnesses tend to increase (at least in clays) with the
    mined. The iterative pile response analysis is then
    logarithm of the loading rate. A loading factor DR is
    repeated with the contours diagrams developing the
    applied in SCARP to the values of ultimate skin and
    new set of loads and equivalent number of cycles.
    base resistance and the soil modulus:

    Figure 36: Cyclic shear strain as function of cyclic shear stress Figure 37: Strain-softening model curve used in SCARP
    and number of cycles; after Andersen (2004)

    82
    DR = 1 = F log10 (/r) (10)

    where:
    F = Rate coefficient (typically 0.1 to 0.25)
    = Actual loading rate
    r = Reference loading rate (from static loading
    test)

    The incremental permanent soil displacements at the


    end of each cyclic parcel are computed from Diyal-
    jee and Raymond (1982)s empirical expression:

    Sp = SpN[nX + (mN/N)] (11) Figure 38: Fatigue curves computed by RATZ compared to
    laboratory data on carbonate sediments (Randolph, 2003)
    where:
    Sp = Increment in permanent soil displacement Guidance regarding input parameter selection for
    between cycle N and N+N SCARP is limited. Large ranges of values are pro-
    X = Change in stress level between cycle N and posed, based on laboratory and model tests with
    N+N principally carbonate materials. The shaft resistance
    SpN = Permanent soil displacement at cycle N degradation is linked to cyclic pile displacement,
    m, n = Experimentally determined parameters, based on model pile test data. However, it is not
    which are different for the shaft and base clear whether full-scale pile degradation should be
    X = (Po + 0.5Pc) /Qc linked to: (i) cyclic displacements normalised by pile
    Po = Mean load of loading parcel diameter, (ii) cyclic slip displacements (the differ-
    Pc = Cyclic load amplitude of loading parcel ence between total cyclic displacement and dis-
    Qc = Ultimate static capacity of the pile placement required to cause slip at soil-pile inter-
    face) or (iii) normalized cyclic slip displacements.
    The above incremental displacements are treated as One of the aims of the SOLCYP project (Puech et al,
    external soil movements applied over each cycle 2012) is to provide additional experimental data
    of analysis. The imposed external soil move- linking cyclic laboratory element and in-situ tests on
    ments result in increased permanent displacement clays and silica sands to trends from experiments on
    of the pile. Comparative studies by Chin and Pou- models of various scales and full scale piles.
    los (1992) and others have shown that RATZ and
    SCARP lead to broadly comparable static load- Worked calculation examples have demonstrated
    displacement predictions, despite their fundamen- that PAXZY is able to predict stress redistribution
    tally different approaches. However, the two codes under cyclic loading under different combinations of
    cyclic loading predictions can diverge considerably. average and cyclic loads along the pile. As noted
    Their use is most highly documented in relation to earlier, two-way starts at the pile top and gives pro-
    carbonate sediments. Further investigation and gressive degradation from the top. Figure 39 shows a
    calibration over a wider range of geomaterial types comparison between the measured response of a test
    is needed to increase confidence in quantitative pile at Haga with that calculated with PAXZY. Al-
    predictions. though the calculations underestimate the displace-
    ments developed over the last 30 cycles, the predic-
    Codes such as RATZ may be used to predict the tions capture the average and cyclic displacements
    number of cycles to failure for different combina- trends over the first 90 cycles closely.
    tions of cyclic amplitudes and mean shear stresses.
    Fatigue curves deduced in this way are compared in The introduction of PAX2 allowed the NGI ap-
    Figure 38 with laboratory data (triaxial and con- proach to be applied more easily and rapidly. This
    stant normal stiffness (CNS) tests) obtained on cal- simplified code assumes that the cyclic shear strain
    carenite samples. Equivalent studies appear to be is independent of Wa, eliminating need to iterate the
    absent or limited for other soil types, although Le- Wa and Wcy-Jcy relationships. The programme contains
    hane et al. (2004) describe the successful applica- a database of normalized stress-strain functions, and
    tion of RATZ in analyses of the Kinnegar cyclic the equivalent number of cycles can either be speci-
    loading tests on soft clay-silt, which were described fied or estimated automatically based on storm dura-
    in Section 3.3. tion, soil type, platform type, and ratio between av-

    83
    erage and cyclic loads. Parallel analyses made with development has been the replacement of the Reese
    PAX2 and RATZ show at least reasonable agree- et al. (1974) method for sands by the ONeill and
    ment for the static and cyclic load cases. Murchison (1983) formulation (although it may be
    argued that the latters data base is only marginally
    representative of offshore piles). P-y curves for car-
    bonate sediments have also been proposed from
    static and cyclic centrifuge test results and soil char-
    acterization from CPT data (Wesselink et al, 1988;
    Novello, 1999), but these developments have yet to
    be recognized in the industry-standard guidance.

    While widely used, the P-y and T-z procedures have


    limitations and imperfections that merit attention.
    Close field monitoring of the Hutton Tension Leg
    Platform (Jardine et al., 1988) and Magnus Platform
    Foundations (Sharp 1993) in the North Sea showed
    that industry standard T-z and P-y analyses com-
    bined with elastic pile group interaction factors un-
    Figure 39: Calculated and measured response of test pile at
    der-predicted static and cyclic foundation stiffness
    Haga (Karlsrud and Nadim, 1990) considerably. More advanced non-linear numerical
    procedures based on advanced small-strain labora-
    6. Lateral and moment loading response tory testing gave far better predictions (Jardine and
    Potts, 1988; 1993). Additional questions regarding
    The response of piles to lateral cyclic loading de- P-y curves include:
    pends critically on the relative slenderness and flexi-
    bility of the piles. Relatively slender jacket piles re- x When should the alternative static and cyclic for-
    spond quite differently to low length-to-diameter mulations be applied?
    (L/D) monopiles or anchors. x Should the cyclic P-y curves be restricted to only
    being used to check piles load displacement re-
    6.1 Response of relatively flexible jacket piles sponses at the end of their design storm?
    From the structural point of view, offshore jacket x The cyclic P-y envelope curves do not account for
    piles are relatively flexible. Horizontal displace- any cyclic load characteristics or number of cy-
    ments are usually concentrated in the upper ten di-
    cles. How do these factors affect response?
    ameters of the pile and become negligible at depths
    x Are loading rate effects significant and should
    greater than 20D. Moments applied to the platform
    static P-y curves be modified for simulating sud-
    are resisted by push-pull axial forces in the founda-
    tion piles. Beam column calculations employing lat- den impact loads?
    eral load transfer (P-y) curves constitute the recog- x Which type of P-y curve should be used for fa-
    nized procedure for analysing the base shear tigue analyses?
    response of offshore piled jacket structures. The in- x Is it justified to apply the standard procedures to
    dustry-standard guidance documents (API RP2GEO, piles of much larger diameters than those consid-
    DNV, ISO 19902) recommend procedures for de- ered in the original 1970s and 1980s data base?
    veloping static and cyclic P-y curves for com-
    monly encountered clay and sand soils on the basis Further points of current debate that require resolu-
    of routine site investigation testing. tion have arisen from centrifuge tests on kaolin and
    sands. While Doyle et al. (2004) conclude that their
    Cyclic P-y curves were first derived for soft clays centrifuge tests on kaolin confirm the remarkable
    (Matlock, 1970), stiff clays (Reese and Cox, 1975) validity of Matlocks method when applied to a sin-
    and sands (Cox et al., 1974, Reese et al., 1974) from gle pile similar tests reported by Jeanjean (2009)
    tests on relatively small diameter (123/4 to 24 called into question the current Np factors for esti-
    O.D.) piles submitted to cyclic loading batches con- mating the ultimate lateral resistance of soft clays.
    sidered representative for jacket piles experiencing Jeanjeans suggestion that Matlocks criteria are
    Gulf of Mexico storms. The aim was to provide en- overly conservative has been endorsed by similar
    velope curves that would capture the response of a SOLCYP project tests (Khemakhem, 2012; Khe-
    pile loaded monotonically at the end of the extreme makhem et al., 2012). In a similar vein, recent SOL-
    (centennial) storm. The most significant subsequent CYP centrifuge tests (Rakotonindriana, 2009) on sil-

    84
    ica sand indicated P-y curves that conform better at indicate that pile diameter increases have a more
    small displacements to the softer formulation given than linearly proportional effect on spring stiffness
    by Reese et al. (1974) than to the current API-ISO and also improve the static and cyclic lateral capac-
    recommendations. ity more than expected by the API formulation. In
    the latter, the initial stiffness of the P-y curve is in-
    6.2 Lateral response of anchor piles dependent of the pile diameter D and increases
    The lateral behaviour of piles used to anchor floating linearly with depth z:
    structures is usually simulated by P-y procedures. It
    is unclear whether the non-symmetrical two-way P-y Epy = (dp/dy) y=0 = ksandz (13)
    curves determined from experiments in the 70s are
    conservative when applied to anchor piles. Centri- More consistent results are apparently obtained by
    fuge tests with sands have shown that one-way cy- making the initial stiffness less sensitive to depth in
    clic loading leads to an accumulation of far greater sands and more dependent on the pile diameter.
    lateral displacements than symmetrical two-way Sorensen et al. (2010) propose:
    loading (Craig and Kan, 1986; Rosquot, 2004). Re-
    cent 1-g model tests by Leblanc et al. (2010) suggest Epy = 50 000 (z/zref)0.6 (D/Dref)0.5 3.6 (14)
    that intermediate cases may be more critical.
    where zref = Dref =1m; z and D in meters; = sand
    friction angle in radians; Epy in kPa.
    6.3 Combined response of rigid piles
    Offshore wind turbines that are founded on monopiles
    Saue et al. (2010) and Grimstad et al. (2012) present
    and (free standing or braced) caissons installed for oil
    finite element analyses of monopiles under cyclic
    and gas operations often have diameters in excess of
    loading performed with the NGI accumulation
    5 meters and slenderness (L/D) ratios in the range of
    model described previously that predict smaller (lat-
    5 to 10. Wind turbines are designed to work as soft-
    eral and rotational) pile head displacements and
    stiff structures, with first natural frequencies that fall
    lower bending moments and shear forces than stan-
    between their two critical excitation frequency bands
    dard P-y calculations.
    (1P and 3P) in order to avoid resonance. The 1P and
    3P bands, which correspond to the rotor rotation and Accumulation of horizontal displacements under
    the blade passing frequencies, typically fall around prevailing wind directions over the lifetime of a
    0.3 Hz and 1 Hz respectively (Leblanc, 2010; Gavin wind turbine is currently only addressed by applying
    et al., 2011). The first natural frequency is sensitive to the cyclic API P-y curves that were developed
    the horizontal foundation stiffness characteristics and from essentially 2-way loading tests on long flexible
    needs to be determined with a high level of confi- piles experiencing large pile head displacements.
    dence. Long-term cyclic loading of the foundation The cyclic P-y envelope curves do not account for
    may change the soil stiffness, and hence foundation any specific cyclic load characteristics. As reviewed
    frequencies, as well as leading to irreversible defor- below, recent experiments show that designing the
    mations accumulating. Any significant stiffness shift foundations to meet the ULS load conditions does
    could move the system towards resonance and fatigue not on its own ensure the avoidance of problems due
    problems, while significant tilts could affect turbine to permanent displacement accumulating during cy-
    operability. clic loading that may exceed those associated with
    static failure.
    Current wind industry standards (G.L., 1999 or
    DNV, 2010) specify API/ISO P-y procedures for Alternative methods are emerging that derive cyclic
    horizontal load-deformation analysis. Recent meas- P-y relationships to represent local soil-pile interac-
    urements on instrumented structures demonstrate tion over given loading histories and numbers of cy-
    that these methods can overpredict the natural fre- cles. Little and Briaud (1988), followed by Long and
    quencies, see for example Khn and Watson Vanneste (1994), proposed modifying the static P-y
    (2000). Achmus et al. (2005; 2008; 2010) and Au- curves by applying a degradation factor to the
    gustesen et al. (2009) inter alia have compared static soil modulus according to:
    static lateral load-deflection predictions made for
    large monopiles in sands under monotonic loading Kpy(N) / Kpy(1) = N-m (15)
    by both finite element and P-y calculations, report-
    ing that the standard API method may not be ap- where Kpy(1) and Kpy(N) denote the soil reaction
    propriate for assessing pile head deflections. Cen- modulus on the first and Nth load cycle respectively,
    trifuge tests performed by Aderlieste et al. (2011) and m is an empirically determined degradation pa-

    85
    rameter that depends on the installation method, soil The cyclic behaviour of monopiles is inevitably
    density and load characteristics. linked to their ultimate capacity, an issue which also
    requires further attention. Monopiles experience
    Peralta (2010) compares for sands pile head deflec- combinations of vertical (V) and horizontal (H)
    tions calculated using both API cyclic P-y curves loads and also significant over-turning moments
    and her modified degrading P-y procedure (Figure (M) that cannot be carried by the push-pull axial
    40). With a 2m diameter pile the API prediction action that applies to jacket piles. Current routine
    matches that expected from the degrading ap- practice often applies standard P-y calculations and
    proach after about 1000 cycles of the maximum the conventional horizontal displacement criteria of
    load, whereas for a 5m diameter pile the API method a vertical mudline tangent and a zero-toe-kick re-
    under-predicts the deflections after 10,000 cycles by quirement to determine the minimum penetration.
    a factor of 2. The data bases presently available to Krolis et al. (2010) and Kuo et al. (2012) demon-
    calibrate such approaches comprise only a small strate that this practice may be overconservative.
    number of tests, most of which involved flexible
    piles and fewer than 50 load cycles: further meas- The P-y method assumptions may be inappropriate
    urements are clearly needed. Centrifuge testing in for large, low L/D, piles (Lam, 2009) that behave as
    sands and clays involving large numbers of cycles rigid bodies, with a rotating point located above the
    (N>1000) is being performed within the SOLCYP pile toe as shown on Figure 41. One approach to
    project: the first results in clay are presented by considering their ultimate capacity is to treat the
    Khemakhem et al. (2012). complex interactions between load components by
    deriving 3-D yield surfaces in the V, H, M space,
    following the methodology recently recognized by
    API RP2GEO for shallow foundations with depth
    to diameter ratios <1. Similar treatments have been
    applied to suction emplaced caissons with L/D ra-
    tios between 1 and 4; see Zdravkovic et al. (2001),
    Andersen et al. (2005), Palix et al. (2005),
    Gourvenec (2007) and Kay and Palix (2010). Pre-
    liminary work by Fugro that extends the concept to
    piles with L/D ratios up to 15 indicates that the
    yield envelope in the M-H plane changes from an
    elliptic to a bayleaf shape as illustrated on Figure
    42.

    Offshore wind turbine monopile foundation design


    may then be considered in two separate phases:

    x Assessment of the embedment depth through a


    yield envelope approach, noting that only the
    first quadrant (M+, H+) is relevant for wind tur-
    bines.
    x Determination of the tilts and displacements by
    finite element simulations that match shear
    moduli to the strain levels developed and the
    loading mode involved. See for example Abdel-
    Rahman and Achmus (2005) or Kuo et al.
    (2012).

    Detailed consideration of cyclic loading effects


    may then follow, as considered further in Sections
    6.4 and 6.5. We anticipate that simpler approaches
    that account for the specific loading characteristics
    Figure 40: Cyclic load-pile head deflection curves in sand us- and numbers of cycles may become available as
    ing degraded p-y curves with yN= y1.Nm and comparison with experience is gained from calculations calibrated
    cyclic API p-y curves (Peralta, 2010)
    against field monitoring.

    86
    ford (Leblanc et al., 2010) and at Leipnitz Univer-
    sity, Hannover (Peralta, 2010). In both cases, the
    tests were performed under 1g conditions. Scaling of
    displacements and stiffness was proposed based on
    pile properties and sand density. Only rigid piles
    were used at Oxford whereas rigid and flexible piles
    were used at Hannover. Purely drained behaviour
    was considered, although some pore pressure cou-
    pling could be expected in field cases involving
    large diameter piles and/or low permeability sands
    or clays.

    The key outcomes appear to be:

    Figure 41: Rigid pile with D/B=10. Failure pattern under pure x Stiff piles installed in sand develop accumulating
    horizontal load Ho. PLAXIS 3D simulation (courtesy Fugro)
    rotations under the large number of cycles gener-
    ated by wind (operational loading) and waves
    (extreme loading)
    x The accumulated rotation is largely dependent on
    the loading characteristics which must be known
    in detail in order to make accurate predictions.
    x The loading scheme defined by Leblanc et al. with
    parameters relating to amplitude c, maximum
    level b, number of cycles N is outlined in Figure
    43. Leblanc et al., 2010 express the accumulated
    rotation (N) as:

    (N)/s = Tb(b, Rd) Tc(c) N0.31


    (a)
    where S = rotation under static load and N =
    number of cycles. Tb and Tc are given in Figure
    44 as functions of the cyclic load characteristics
    and the sands relative density, Rd. Large varia-
    tions in accumulated rotation are observed.

    (b)
    Figure 42: Examples of normalised yield envelopes for rigid
    piles in clays under undrained conditions from PLAXIS 3D
    analyses with a uniform soil profile (a) in M-H plane for V<
    0.5 Vo; and (b) in V-H plane (courtesy Fugro) Figure 43: Characterisation of moment loads in terms of b and
    c with b = Mmax/MR and c = Mmin/MR with MR = static mo-
    6.4 Recent experimental work investigating the cy- ment capacity (Leblanc et al., 2010)
    clic lateral-moment response of low L/D monopiles
    The extensive use of large diameter monopiles (typi- x The least favourable loading case consists of non-
    cally 4 to 6m) for offshore wind turbines in northern symmetrical two-way moment loading (c = -
    Europe has posed new design questions. Research 0.6) which may not be as expected intuitively.
    has been undertaken with model piles in sands sub- x Peraltas (2010) experiments also indicate that for
    mitted to large numbers of cycles (typically 104 to rigid piles the horizontal displacements (and rota-
    105) and full ranges of cyclic conditions at both Ox- tions) accumulate according to:

    87
    precisely for her soil-pile systems. However, the
    advantages of this simplified approach may out-
    weigh its lack of accuracy when quantifying the
    accumulation of deflections under variable cyclic
    loading (Puech et al., 2012).

    6.5 Hybrid numerical analyses of cyclic loading


    Noting the difficulties of fully implicit analyses of
    cyclic loading problems, NGI developed a hybrid
    procedure based on the strain contour framework;
    Andersen (2009). Here the cyclic and average shear
    strains and the pore pressures are input from soil
    element experiments as functions of cyclic and aver-
    age shear stresses and number of cycles. The strain
    accumulation procedure (Andersen, 1976) is used
    to establish an equivalent number of cycles to the
    maximum wave that gives the same cyclic effect as
    the (actual) irregular design storm. In cases where
    drainage can occur the pore pressure can be used as
    the accumulated damage parameter instead of the
    shear strain (Andersen et al., 1992).

    The procedure normally involves selecting a typical


    element in the soil mass and assuming that its nor-
    Figure 44: Functions relating Tb and Tc to relative density Rd
    and load characteristics b and c (Leblanc et al., 2010)
    malized cyclic shear stresses cy/max vary in propor-
    tion to the normalized applied foundation cyclic load
    composition, Fcy/Fmax. Once an equivalent number of
    yn/y1 (or N/1) = Nm (17) uniform cycles has been determined, the relation-
    x The exponent m is a soil-pile characteristic value ships between cyclic shear stress and shear strain
    and independent of the cyclic load ratio c. Val- and between average shear stress and shear strain
    ues of m falling in the range 0.10-0.15 for short, can be found from the experimental contour dia-
    rigid piles and 0.07-0.10 for long, flexible piles grams of the type shown in Figure 35 (Andersen and
    were interpreted from experiments reported by Hoeg, 1991). These relationships are then input as
    Little and Briaud (1988) and Long and Vanneste stress-strain relationships in a finite element pro-
    (1994). gram. The procedure has been used routinely in de-
    x Peralta (2010) concluded that a logarithmic law is sign to calculate both cyclic and permanent dis-
    more appropriate with flexible piles: placements during design storms and soil spring
    stiffnesses to assess structural dynamic behaviour of
    yn/y1 (or n/1) = 1+tln(N) (18) foundations such as gravity base platforms, skirted
    x The parameter t is a characteristic of the soil-pile foundations, anchors and monopiles.
    system (including EpIp) and independent of the
    cyclic load ratio c. Application to other data sets
    (including the 34 full scale sand tests in the Long 2

    and Vanneste (1994) data base, as reanalysed by 1,8

    Lin and Liao (1999)) yields t values between 0.18


    Ratio yN/y1

    1,6
    and 0.25; Figure 45 illustrates this database.
    x Lateral and Moment cycling increased pile head 1,4 Hettler (1981)
    Bouafia (1994), Li et al. (2010)
    stiffness, independently of the relative density. 1,2 Lin et Liao (1999)
    Verdure et al. (2003)
    This contrasts with the current degradation of API Peralta - Flexible (2010)
    1
    P-y curves to account for load cycling. 0 250 500 750 1000

    x Applying load patterns in a range of different or- Number of cycles N

    ders, Peralta found that final accumulated dis-


    placements could vary by up to 25% depending Figure 45: Accumulated cyclic displacements calculated from
    on the order in which batches were applied. Ef- different data bases and accumulation laws; modified from
    fectively, Miners rule did not appear to work Peralta (2010)

    88
    NGI has recently developed a new model for finite
    element analysis, UDCAM, where the strain accu-
    mulation calculation is implemented at each integra-
    tion point within the numerical analysis (Grimstad et
    al., 2012). The average and cyclic environmental
    loads are applied in parcels that represent the real
    storm composition. Improved modelling is provided
    of the cyclic and average shear stress distributions
    and the redistribution of shear stresses due to stress
    concentrations and cyclic degradation. Grimstad et
    al. (2012) present an example where the code is used
    for a 3D analysis of an offshore wind turbine mono-
    pile under cyclic environmental loads. Another soil Figure 46: Principle of Wichtman et als 2004 mixed proce-
    dure for cyclic loading calculations.
    model, PDCAM, which focuses on pore pressure ac-
    cumulation, is being tested for application in situa- x The strain accumulation from the second cycle
    tions where pore pressures dissipate partially or fully onwards is calculated by means of a simplified
    during storms. accumulation law that assumes constant cyclic
    strain amplitudes.
    6.6 Full finite element analyses of cyclic loading
    Although highly challenging, complex cyclic load- x The explicit calculation is interrupted after prede-
    ing boundary value problems can be considered by fined numbers of cycles and the strain amplitude
    finite element analysis. Numerical strategies that updated by control cycle assessments made with
    capture cyclic strain accumulation by both implicit the full implicit model.
    and explicit methods have been considered.
    Wichtman (2005) applied the proposed approach to
    In the implicit, time domain, procedure, each cycle model granular media in cyclic soil element tests,
    is calculated with an appropriate constitutive model combining a hypoplastic constitutive model and an
    and iterated over many small strain increments. accumulation law based on extensive laboratory test-
    Elasto-plastic models (such as Prevost, 1977; Mroz ing on sands.
    et al., 1978; Chaboche 1994), endochronic models
    (Valanis and Lee, 1984) or hypoplastic models (e.g. Modelling approaches are also being explored
    Gudehus, 1996 or Niemunis and Herle, 1997) can be within the SOLCYP project. As described by Papon
    considered. This procedure becomes difficult after a (2010), Cao et al. (2012) and Bagigli (2011), these
    significant number of cycles (say 50) because (i) include:
    computational resource costs become high and (ii) x Implementation and comparison of constitutive
    and errors can accumulate with the constitutive models including bounding surface (Dafalias and
    models and integration algorithms that may be em- Herman, 1982) and multiple kinematic bubble
    ployed. When considering large numbers of cycles, yield surface approaches (Al Tabbaa, 1987;
    the explicit procedure appears more appropriate. The Grammatikopoulou, 2004)
    accumulation of residual strains developing under x Implementation of constitutive laws for soil-
    cycling is treated similarly to the problem of creep structure interfaces.
    under constant load. A review of explicit models x Treatment of large number of cycles using the
    (including Boukovalas et al., 1984;Gotschol, 2002; skipped cycle and time-homogenization
    Kaggwa et al., 1991 and Diyaljee and Raymond, schemes.
    1982) can be found in Wichtman (2005) who notes
    a need for an explicit model exists which delivers Significant improvements can be expected over the
    the accumulation rates of the volumetric and the de- following years in developing representative consti-
    viatoric strains. Wichtman, Niemunis and Trian- tutive cyclic laws for soils and interfaces, as well as
    tafyllidis (2004) have recently developed a proce- numerical procedures that can cope with high num-
    dure that combines implicit and explicit elements as bers of cycles. We note that implicit time domain
    illustrated in Figure 46. The main steps are: FE analysis is widely used in geotechnical earth-
    quake engineering to simulate the seismic response
    x The first irregular cycle and the second regular of various geotechnical structures (Kontoe et al.,
    cycle of each regular cyclic parcel are calculated 2012) employing constitutive models of varying
    implicitly with the full constitutive model. complexity (Kontoe et al., 2011). Although the P-y

    89
    approach is still widely used in earthquake engineer- x Cyclic failure is affected by local shaft capacity
    ing, time domain FE analysis is being applied for brittleness and is most marked with long rela-
    foundations such as caissons and pile groups where tively flexible piles that can unzip progressively
    the P-y assumptions are invalid (e.g. Maheshwari et from the top down. Degradation may also be ex-
    al., 2004, Dakoulas and Gazetas 2008). acerbated in clays by pile group action.
    Alternative paradigms for understanding cyclic re-
    Full resolution of practical engineering problems by sponse have been set out and related to procedures
    means of advanced FE simulations is likely to prove for making quantitative design assessments. An il-
    highly demanding. But offshore Geotechnics may be lustrative example considering seven platforms of
    able to learn from advances in seismic analysis; various configurations sited in three different re-
    earthquake engineering models can be extended and gions was used to demonstrate that cyclic axial deg-
    modified to allow improvements in understanding radation can be expected to impact on a significant
    and modelling the response of a wide range of off- proportion of offshore installations and needs to be
    shore foundations to combined VHM cyclic loading. considered more rigorously than is the case in cur-
    rent routine practice.
    7. Summary and Conclusions
    Following from a summary of currently feasible and
    This paper has presented a review of historical and emerging techniques for quantifying axial cycling
    recent experimental investigations of pile behaviour effects, a brief review was made of recent and his-
    under cyclic loads, concentrating first on axial re- torical developments in considering lateral and mo-
    sponse. Eight main conclusions are drawn from the ment cyclic loading. A distinction was made be-
    review of available field tests: tween relatively flexible standard offshore jacket
    x Axial cyclic loading applied during storms can piles and relatively short and rigid monopile or cais-
    lead to large pile head movements developing son foundations. Practical methods now exist to ad-
    under maximum loads well below the static axial dress the potentially important effects on axial ca-
    capacities of offshore piles in both clays and pacity and new calculation procedures are emerging
    sands. that will allow significant improvements to be made
    x Rate effects apply in clays that help to resist sin- in a broader spread of related topics. Issues requiring
    gle impact loads. But these do not apply to the further investigation were identified and considera-
    same extent in sands and cannot halt the progres- tion given to the analysis of foundations under com-
    sive accumulation of permanent cyclic displace- bined vertical, horizontal and moment loading, be-
    ments. fore reviewing possible approaches for fully implicit
    x The most severe effects apply when extreme two- numerical analysis of offshore foundations under
    way cycling is applied to sands or sensitive low cyclic loads. It appears that offshore geotechnical
    YSR clays that have high and interface shear engineers may be able to benefit by applying and ex-
    values. tending recent advances from earthquake geotechni-
    x Normalised cyclic loading levels exist below cal engineering.
    which large numbers of cycles can be applied
    without impacting significantly on load- Overall, it is argued that current practice needs to be
    displacement behaviour. These zero damage reconsidered. Cyclic loading effects can be more
    curves are most favourable in high YSR clays important than has been appreciated in design, par-
    that develop low values resulting from residual ticularly for structures with high ratios of cyclic to
    shear surfaces during installation and under load- average loads. It is recommended that a graduated
    ing. cyclic assessment process should be applied that
    x Problematic low plasticity clays exist that show starts with simple summary interaction diagrams and
    high and values but develop low axial static progresses, if required, to full analyses of site spe-
    capacities and are highly susceptible to cyclic cific soil-structure analyses considering local storm
    loading. loading conditions.
    x Strong set-up effects and recovery after moder-
    ately damaging cyclic loading have been ob- Acknowledgments
    served in pile tests conducted in these problem
    clays, and with sands. The authors wish to acknowledge the many contri-
    butions made by their current and former colleagues
    x Multiple re-tests on clays show responses ranging
    at Imperial College, Fugro and Norwegian Geotech-
    from positive pre-shearing effects to inexorable
    nical Institute to their work on the cyclic behaviour
    capacity decline.

    90
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    *(2+$=$5'6$1'*(2/2*<
    
    PHENOMENOLOGY OF THE CONSOLIDATION OF MARINE
    CLAY WITH METHANE GAS

    Ral Nava Castro


    Fugro-Chance de Mexico, Ciudad del Carmen, Campeche, Mexico
    Jean M E Audibert
    Geotechnical Consultant, Houston, Texas, USA
    Willard DeGroff
    Fugro Consultants, Inc, Houston, Texas, USA
    Paul Ruckman
    Fugro-Chance de Mexico, Ciudad del Carmen, Campeche, Mexico

    Abstract
    The results from 1D consolidation tests on gassy clay samples, containing uniformly distributed methane gas
    bubbles, indicate that their compressibility is delayed compared to samples of the same clay without gas.
    This behaviour is believed to be due to the interaction of the gas bubbles with both the clay platelets and the
    pore water, which generates menisci representing zones of high pressure and partial load sharing between the
    gas bubbles to the soil structure as the clay particles confine the methane gas. As time passes, the gas becomes
    part of the structure, and a new structure is formed consisting of a combination of the pore water, gas and clay
    particles. In this new structure, the gas is confined and behaves as a spring, which temporarily increases the
    rigidity of the structure until the applied load exceeds the confining stress provided by the intermolecular
    forces developed by the clay particles, at which time conventional consolidation occurs.

    1. Introduction gas, in order to be able to evaluate the ef-


    fects of methane content. This task is truly
    In soil mechanics, it is customary to consider that impossible to achieve in reality.
    marine soils are completely saturated. However, x Even the best sampling techniques are not
    several studies have identified that numerous types adequate, because it is impossible to avoid
    of gas exist in marine sediments, with methane gas sample disturbance during sampling, espe-
    being the most common (Claypool and Kaplan, cially when attempting to recover gassy
    1974; Schubel, 1974; Christian and Cranston, 1977; soils. This is due to the deleterious effects of
    Esrig and Kirby, 1977; Bhasin and Leland, 1978; gas expansion, as the confining pressure is
    Whelan et al., 1978). Gas accumulation in marine reduced to essentially zero when the soil is
    sediments can result from different processes. In the brought up to the surface.
    case of clays, gas is prevented from escaping from x It would be very difficult (if not impossible)
    the soil into the water column because of the low to differentiate between natural variability
    permeability of clay soils. Over time a gaseous soil between samples and the true influence of
    or a soil forms containing thin layers of methane gas effects.
    gas, which can lead to the formation of gas hydrates
    Therefore, an attractive and practical alternative is
    under appropriate temperature and pressure condi-
    to carry out laboratory tests on clay samples that are
    tions.
    manufactured under controlled conditions in the
    laboratory. For this research programme, soft and
    Trying to measure and understand the effects of
    firm clay samples were reconstituted without gas
    methane gas on the compressibility behaviour of
    and with two levels of methane gas content. Differ-
    clay soils using natural samples from the field is
    ent tests were performed on these specially prepared
    confronted by various challenges. These include the
    samples to determine how the compressibility and
    following:
    shear strength characteristics of the soil varied with
    x It would require obtaining a series of high- the gas content (Nava, 2010). Test results have af-
    quality undisturbed samples of exactly the forded a better understanding of how methane gas is
    same clay, with various amounts of methane trapped inside the marine clay and how the new

    101
    structure (i.e. clay particles, pore water and methane ter content of ~150%. After mixing the clay slurry
    gas) behaves when external pressures are applied. In and zeolite saturated with methane gas, the resulting
    addition, the data obtained shed some light on how sample was consolidated in a large incremental load
    the clay compressibility is affected by the presence consolidometer to produce soft and firm marine
    of methane bubbles within the clay matrix. clay specimens (using 48.3kPa and 193.2kPa, re-
    spectively) with and without methane gas (Nava et
    2. Method to Reconstitute Clay Samples with al., 2008; Nava, 2010).
    Methane Gas

    As mentioned earlier, the most effective and only


    practical way to measure the effects of methane gas
    on the properties of marine clay is to manufacture in
    the laboratory a series of identical clay samples with
    and without methane gas. Previous researchers have
    attempted to create such samples by injecting gas
    into soil samples a technique that has proven to be
    inadequate and plagued with many problems. To
    create clay samples with evenly distributed methane
    gas, the zeolite molecular sieve technique (Nages-
    waran, 1983; Nava, 2010) was used. The zeolite has
    the ability to take up gas molecules into its crystal-
    line structure, and subsequently release them in fa-
    vour of polarised compounds, such as water.

    After thoroughly mixing clay slurry with zeolite


    saturated with methane gas and resting the mixture
    Figure 1: Finely and evenly distributed gas bubbles in recon-
    for 24hr, homogeneously distributed gas bubbles stituted clay sample (Sample FZ7)
    were successfully created within the clay mass
    (Figure 1), as the methane gas is expelled from the To consolidate the samples, an acrylic chamber
    zeolite. The use of zeolite allowed the distribution 20cm in diameter and 38.1cm in height was used,
    and creation of methane gas bubbles inside the clay, with metallic porous stones to allow water flow
    mimicking the natural accumulation process that during consolidation. The load was applied with a
    occurs in marine sediments. The process was previ- pneumatic piston. Each load interval (except for the
    ously evaluated through experiments (Nava, 2010), last one) was applied until the primary consolida-
    one of which consisted of measuring the time to re- tion stage was defined, following the criteria estab-
    lease gas from the zeolite. It was found that the lished by Terzaghi (1944) and ASTM (2011). The
    maximum amount of gas released occurred in the last load increment was applied until the secondary
    first hours, indicating that mixing the slurry with consolidation was defined, and then the unloading
    the zeolite saturated with gas would not affect the process was started.
    generation of gas in a short period of time. Mixing a
    small amount of zeolite with the clay slurry is ac- This research programme included two phases: the
    ceptable, as it does not affect the cohesive behav- first phase was from 2006 to 2009, and the second
    iour of the clay. This is because the zeolite mineral- one started at the beginning of 2011 and is still in
    ogy is similar to that of clay, and its specific gravity progress, so results for firm clay are not presented.
    (2.372.41) is close to that of Gulf of Mexico ma- The second phase of this research covers the recon-
    rine clay (Nageswaran, 1983; Nava, 2010). stitution of samples with zeolite, but without gas in
    order to further confirm the non-existent influence
    2.1 Reconstitution of clay samples with and of zeolite on basic soil behaviour.
    without methane gas
    Marine clay samples recovered from the Gulf of 2.2 Appearance of clay with methane gas
    Mexico (liquid limit of 7090% and a plastic limit Figure 2 shows how gas affects the texture and ap-
    ranging between 20% and 25%) were used to re- pearance of the clay mass, for a clay sample with
    constitute clay with methane gas. The samples were 7% of zeolite saturated with methane gas before and
    fully remoulded and mixed into a slurry, with a wa- after performing a controlled rate of strain (CRS)

    102
    test. Before this test (Figure 2a), small circular laboratory test results (Nava, 2010). It can be ex-
    voids were visible, indicating the presence of small, pected that the dynamic properties will also be dif-
    evenly distributed methane gas bubbles. After the ferent from those without gas.
    test (Figure 2b), fewer, yet larger voids indicated
    the formation of larger gas bubbles created by the
    coalescing of many small bubbles. An emanation of
    methane gas occurred once the applied load could
    no longer be supported by the clay platelets and the
    gas. This phenomenon is similar to what occurs in
    marine sediments and how the pockmarks are cre-
    ated on the seafloor representing large methane gas
    bubbles, which merged together due to the induced
    overburden load.

    (a)

    Figure 3: X-ray photograph of a reconstituted clay sample


    with 7% of zeolite saturated with methane gas

    2.3 Test nomenclature


    To identify each sample and load interval during the
    incremental consolidation test, the following
    nomenclature was used. The first letter designates
    whether the sample was soft S or firm F clay.
    The second letter Z was followed by a number
    (b)
    indicating the percent of zeolite mixed with clay
    slurry (i.e. 0, 7% and 15%). The third letter C was
    followed for a number designating the load interval.
    For example, a sample designated as SZ7C1
    indicates: soft marine clay with 7% zeolite saturated
    with methane gas, during its first load interval. To
    differentiate samples from the second stage the
    letters ng were added before the load interval,
    indicating no gas was added to the sample for
    example, SZ7ngC1 (see Figure 4).

    3. Incremental Consolidation Tests Results


    Figure 2: Marine clay with 7% zeolite saturated with methane
    gas (a) before; and (b) after CRS consolidation process The incremental consolidation test for the prepara-
    tion of test samples closely followed the ASTM
    Figure 3 is an X-ray photograph of a reconstituted D2435 (2011) recommendation. For the clay with
    clay sample, which shows how the gas was distrib- methane gas, the time deformation readings were
    uted along the clay sample. In addition, it shows increased to obtain a better detail for the consolida-
    how a few gas accumulations formed inside the tion curve. Before applying the first load interval,
    samples, very much in the same way as in natural water was observed coming out of the sample, with
    samples retrieved from the seafloor. The X-ray the accumulations of water being around 1cm on
    photo presents some similarity with those obtained both sides of the sample. It is theorised that this oc-
    by Schubel (1974) and Whelan et al. (1975). As a curred because the gas forced water out the sample
    consequence, the mechanical properties of the clay as it was released from the zeolite while, at the
    with methane gas are different, as shown by static same time, the sample increased in height.

    103
    (a) (b)

    (c) (d)

    Figure 4: Consolidation curves for soft clay: (a) first; (b) second; (c) third; and (d) fourth load intervals

    3.1 Soft and firm clay results partial load transfer from the methane gas bubbles to
    Figures 4 and 5 present the compression curves for the soil structure. Under this condition, gas bubbles
    soft and firm clay samples, respectively. Observing are brought near a critical pressure state (Schuurman,
    those curves, it is possible to conclude that the con- 1966). The total stress increment is transferred to the
    solidation curves of clay with methane gas are cate- soil structure by the pore fluid (Nageswaran, 1983),
    gorised by three features. The first feature is the ini- formed of two components pore water and meth-
    tial part and is categorised by the prolongation of the ane gas. It can be deduced from the results that, dur-
    straight line, when it is compared with the curve of ing the process of consolidation, the gas is re-
    the clay with no gas. The second feature is catego- arranged or re-distributed inside the clay (Nava,
    rised by convexities or steps, which are related to the 2010). Because of this process, the gas bubbles are
    initial compression of gas bubbles. This results in a able to support part of the induced load, with the
    partial dissipation of the pressure developed and newly formed structure reacting in opposite direction
    maintained by the methane gas. These two initial to the load. This is supported by the fact that, in
    features represent a re-arrangement of methane gas some load intervals, the clay with methane gas ex-
    bubbles inside the clay. perienced less deformation. This indicates that the
    methane gas is participating in bearing the load, thus
    The third feature is related to the formation of me- requiring more load to obtain the same consistency
    nisci, which represent zones of high pressure and than that for the clay without methane gas.

    104
    (a) (b)

    (c) (d)

    (e) (f)

    Figure 5: Consolidation curves for firm clay: (a) first; (b) second; (c) third; (d) fourth; (e) fifth; and (f) sixth load intervals

    105
    The previous behaviour suggests that the gas inter- strain, and unloaded for approximately one
    acts with pore water and clay platelets to bear the in- logarithmic cycle. The second phase was set up to
    duced load, because the load is distributed in the reach 25% strain, concluding with the rebound of the
    whole media (i.e. pore fluids and clay particles), as sample, for approximately one logarithmic cycle.
    long as the structure reaches the equilibrium under
    the acting load. This phenomenon is possibly due to 4.1 Soft clay
    the low permeability of the clay, thus reducing the Compressibility curves (Cassagrande construction
    effective stress in the clay structure, although there is and Beckers work method) are shown in Figure 6,
    an increment in the normalised shear strength (Nava, from which it can be observed that:
    2010). During this process and due to the load, some
    (a) the virgin portion of the clay with more gas
    layers of gas form inside the clay, such as that occur-
    content (CRS-SZ15) approaches the curve of
    ring in marine soils (Nava et al., 2011). In this condi-
    the clay with less gas content (CRS-SZ7), from
    tion, the gas supports more load as its confining in-
    ~8% to 20% strain, and the compressibility
    creases. As a consequence, there is an increment on
    curve of CRS-SZ15 over-shoots the curve of
    the rigidity of the gas bubbles, causing the gas to be-
    the clay with less gas content (CRS-SZ7) from
    have as rigid-plastic inside a structure with minor ri-
    the first phase of the test;
    gidity (Vesic, 1972).
    (b) the CRS-SZ15 required a slightly higher
    effective vertical stress to get the same strain;
    The convexity and menisci parts indicate that two
    and
    limits exist when the pressure is developed. They are
    (c) curve CRS-SZ7ng and CRS-SZ15ng plot at
    related to the confining provided by the clay platelets
    the left side of the corresponding ones with gas
    (i.e. intermolecular forces, as postulated by Nava et
    (CRS-SZ7 and CRS-SZ15), indicating that
    al., 2008). In addition, they are associated with the
    samples with gas require more pressure than
    surficial tension between the water-gas interface
    those without gas to get the same axial strain.
    (Schuurman, 1966; Wheeler, 1986; Sill, et al., 1991)
    and with the expansion and contraction limits of gas From these results, it can be concluded that the gas is
    bubbles (Wheeler, 1986; Sill et al., 1991). These bearing part of the induced load, and there is an
    components are apparently governing the state of interaction between clay platelets, pore water and
    stress in the new structure. methane gas. The new structure is able to bear more
    load, once the clay platelets confine the gas, creating
    4. Controlled Rate of Strain Test Results a more rigid structure. This is due to the gas bubbles
    becoming stiffer as the process continues, until the
    CRS tests were performed to quantify the stress supported by the gas or the confining pressure
    compressibility characteristics of soft and firm clay, of the clay is exceeded.
    with and without methane gas. The tests were
    performed in general accordance with ASTM As a consequence, there is a change in the pressure
    D4186-06 (2006), and were developed in two of the gas, producing a stress concentration in the
    phases. The first phase was set up to reach 15% same way that occurs in a metal hole (Neuber, 1946).
    (a) (b)

    Figure 6: Compressibility curves for soft clay: (a) Cassagrande construction; and (b) Beckers method

    106
    This is supported by the fact that more load was re- Compressibility curves (Casagrande construction
    quired to have the same axial strain. In addition, the and Beckers work method) are shown in Figure 7.
    axial strain is not half (or less than half), considering The compressibility curve of CRS-FZ15 (more gas)
    that the sample contains at least double the amount is to the right of CRS-FZ7 (less gas), which
    of zeolite saturated with gas. indicates that more effective vertical stress is
    required for a clay with more gas to reach the same
    The soil compressibility process is mainly due to the strain. Figure 7b shows that the compressibility
    gas bubble compression, and secondarily to the ex- curve of the clay with more methane gas plots nearly
    pulsion of the pore water, as occurs in a normal on top of the clay with no gas, at ~0.007 of total
    process of consolidation. Finally, although the gas is work, indicating the influence of the amount of
    participating to bear part of the load, there is not a methane gas in the sample.
    significant change in the preconsolidation pressure
    (Table 1), which decreased as the amount of gas in- In this case, unlike the soft clay there is a change in
    creased, as is expected for a soft clay containing gas. the preconsolidation pressure (Table 2), which
    increases as the amount of gas increases. This is
    Table 1: Preconsolidation pressure of soft clay with and with- probably because firm clay with higher methane gas
    out gas
    content is more rigid than the clay with less gas
    Sample Interpreted Preconsolidation pressure content, as perhaps the gas fills up the voids better.
    (Vp), kPa As a consequence, more load is required to reach the
    Casagrandes Becker et al., same axial strain, which allows better interaction to
    method 1936 1987 take place between gas and clay platelets and pore
    CRS-SZ0 45.5 41.7 water.
    CRS-SZ7 26.8 33.0
    CRS-SZ15 17.7 21.2 Table 2: Preconsolidation pressure of firm clay with and
    without gas
    4.2 Firm clay
    As mentioned previously, this research programme Sample Interpreted Preconsolidation pressure
    was developed in two phases. This is the reason why (Vp), kPa
    there are only three curves for the firm clay (samples Casagrandes Becker et al.,
    with zeolite and gas, and samples with no zeolite). method 1936 1987
    The samples with zeolite and no gas are in the CRS-FZ0 108.2 123.1
    process of being tested. Despite this, it was possible CRS-FZ7 25.4 28.2
    to obtain a good idea on how the clay with and CRS-FZ15 43.6 52.2
    without gas behaves.
    (a) (b)

    Figure 7: Compressibility curves for firm clay: (a) Cassagrande construction; and (b) Beckers method

    107
    5. Conclusions Soils Using Incremental Loading. West Consho-
    hocken, PA: ASTM.
    During consolidation of a gassy clay, a new structure Becker DE, Crooks JHA, Been K and Jefferies MG.
    is formed by the intermolecular forces. This new (1987). Work as a criterion for determining in situ
    structure results from the interaction between the and yield stresses in clays. Canadian Geotechnical
    methane gas, pore water and clay particles, which Journal 24: 549564.
    helps bear the induced load. As a result, there are Bhasin RN and Leland MK Jr. (1978). Methane in
    some changes in the characteristics of the clay, Marine Sediments. Research and development.
    including the following: Report No. 0576-930. McClelland Engineers Inc.,
    x During consolidation, some menisci are gen- Geotechnical Consultants, Houston, Texas.
    erated, which represent zones of high pres- Christian HA and Cranston RE. (1997). A method-
    sure and partial transfer of the load to the ology for detecting free gas in marine sediments.
    pore water and the clay particles. Canadian Geotechnical Journal 34: 293304.
    x The pore fluid has different characteristics of Claypool GE and Kaplan IR. (1974). The origin and
    permeability. distribution of methane gas in marine sediments.
    x The consolidation is delayed, due to gas In: Kaplan IR. (ed.). Natural Gases in Marine
    presence. Sediments. Marine Science Vol. 3. New York:
    x In soft clay, there is a reduction in the inter- Plenum Press, 99139.
    preted consolidation pressure as the gas con- Esrig MI and Kirby RC. (1977). Implication of gas
    tent increases. content for predicting the stability of submarine
    x In firm clay, the interpreted consolidation slopes. Marine Geotechnology 2: 81100.
    pressure increases as the gas content in- Nageswaran S. (1983). Effect of Gas Bubbles on the
    creases. This points out that there is a certain Sea Bed Behaviour. PhD thesis, Oxford Univer-
    amount of gas where the behaviour of the sity, United Kingdom.
    compressibility seems beneficial. Nava CR. (2010). Influence of methane gas on the
    x It seems that when the clay has more gas, mechanical properties of marine clay. MSc the-
    there is a better transmission of the applied sis, Instituto Politcnico Nacional, Mexico (in
    stress, increasing the consistency and rigidity Spanish).
    the new structure. Nava CR, Koh CWE and Baerewald P. (2011). Ver-
    tical and horizontal migration of gas through the
    As this research was self-funded, only a minimum of marine sediments of the Gulf of Mexico. Proc.
    tests were performed and thus it is not possible to 30th International Conference on Ocean, Offshore
    establish strong trends in the behaviour of gassy and Arctic Engineering, OMAE2011.
    sediments. However, the data obtained afforded a Nava CR, Audibert JME, Torres ACR, DeGrof W
    better understanding of how the methane gas is and Ruckman P. (2008). Gas Effects on the Com-
    trapped inside the marine clay and how the new pressibility of the Marine Clay of the Gulf of
    structure behaves when external loads are applied. Mexico. XXIV Reunin Nacional de Mecnica de
    Suelos. Aguascalientes, Mxico (in Spanish).
    Acknowledgments
    Neuber H. (1946). Theory of Noten Stresses. Ann
    This research effort was funded and supported by Arbor, MI: Edwards Bros.
    Fugro Consultants, Inc; Fugro McClelland Marine Schubel JR. (1974). Gas bubbles and the acoustically
    Geosciences, Inc; and Fugro Chance de Mexico. The impenetrable, or turbid, character of some estua-
    authors are most grateful for their support. rine sediments. In: Kaplan IR. (ed.). Natural
    Gases in Marine Sediments. Marine Science Vol.
    References 3. New York: Plenum Press, 275-298.
    Schuurman E. (1966). The compressibility of an
    ASTM. (2006). D4186-06 Standard Test Method for air/water mixture and a theoretical relation be-
    One-Dimensional Consolidation Properties of tween the air and water pressures. Gotechnique
    Saturated Cohesive Soils Using Controlled-Strain 16: 269281.
    Loading. West Conshohocken, PA: ASTM. Sills GC, Wheeler SJ, Thomas SD and Gardner TN.
    ASTM. (2011). D2435 Standard Test Methods for (1991). Behavior of offshore soils containing gas
    One-Dimensional Consolidation Properties of bubbles. Gotechnique 41: 227241.

    108
    Terzaghi K. (1944). Theoretical soil mechanics.
    London: Wiley.
    Vesic AS (1972). Expansion of cavities in infinite
    soil mass. Journal of the Soil Mechanics and
    Foundations Division 98: 265290.
    Wheeler SJ. (1986). The Stress-Strain Behaviour of
    Soils Containing Gas Bubbles. PhD thesis, Oxford
    University, United Kingdom.
    Whelan T III, Coleman JM, Suhayda JN and Garri-
    son LE. (1975). The Geochemistry of Recent Mis-
    sissippi River Delta Sediments: Gas Concentration
    and Sediment Stability. OTC 2342. Proc. Offshore
    Tech. Conf. Houston, USA, 7184.
    Whelan T III, Ishmael JT and Rainey GB. (1978).
    Gas-Sediment Interaction in Mississippi Delta
    Sediments. OTC 3166. Proc. Offshore Tech.
    Conf., Houston, USA, 10291036.

    109
    110
    SAFEGUARDING COLDWATER CORAL REEFS: A METHOD
    FOR MAPPING AND CHARACTERISATION

    KE OConnell
    Fugro Survey Limited, Great Yarmouth, UK
    PM Collins
    Fugro ERT (A division of Fugro GeoConsulting), Great Yarmouth, UK

    Abstract

    Scientists have only really started to explore cold-water coral ecosystems in the last decade. Cold-water corals
    create intricate structures that enhance the complexity of the seabed, providing a unique 3D habitat for mobile
    organisms and a stable substrate that sedentary animals may colonise. However, these types of coral are slow-
    growing and highly susceptible to damage from anthropogenic activities, and are considered to be threatened
    or declining in a number of regions worldwide. Accordingly, government bodies regulating the offshore
    industry increasingly require accurate mapping and assessment of coral reefs, so that potential detrimental
    impacts on these valuable structures may be minimised. This paper presents a practical and cost-effective
    approach to identifying and delineating coral reefs formed by Lophelia pertusa, using standard geophysical
    survey methods (i.e. sidescan sonar and multibeam echosounder (MBES)) and high-resolution underwater
    photography. Comparison is made with other mapping techniques, and the potential use of slope and aspect
    analysis is discussed.

    1. Introduction ibbean Sea, as well as occasionally in the Indian and


    Pacific Oceans (Roberts et al., 2009a). On a global
    Contrary to popular belief, coral reef ecosystems are scale, the evidence suggests that reefs are more fre-
    not found solely in shallow tropical waters. How- quent in areas of deeper aragonite saturation horizon
    ever, the remoteness of the majority of these struc- (ASH), such as the North Atlantic and Norwegian
    tures, at depths of between 50m and 7000m (Frei- Sea, where the ASH can exceed 2000m (Guinotte et
    wald et al., 2004), has limited research into the dis- al., 2006). In northwest Europe, the distribution and
    tribution and ecological functioning of these habitats growth of reefs have been linked to hydrocarbon
    until the last decade (Freiwald and Roberts, 2005). seeps (Hovland and Thomsen, 1997); tidal-induced
    downwelling and bottom currents (Davies et al.,
    There are thought to be 622 species of true scler- 2009); and the accelerated currents along the
    actinian cold-water corals, including 17 species Norwegian shelf (Thiem et al., 2006). L. pertusa acts
    known to form reefs (Roberts et al., 2009a). While as an ecosystem engineer, creating complex bio-
    six of these species are considered to be more sig- herms that support an array of species for instance,
    nificant due to their widespread distributions, they 358 taxa were identified on the Mingulay reefs alone
    typically form small bushy colonies of less than 2m (Roberts et al., 2009b).
    in diameter. In contrast, Lophelia pertusa the most
    common reef-building coral forms colonies up to Reefs also provide habitat for commercial fish, e.g.
    several metres wide and is capable of forming exten- monkfish, pollock and redfish (Freiwald et al.,
    sive reefs composed of live and dead coral skeleton. 2004). Consequently, fishermen often target areas of
    The largest known Lophelia reef is the 40km-long, reef growth, causing widespread damage to the
    3km-wide Rst reef (Foss et al., 2005). corals. Foss et al. (2002) estimated that between
    30% and 50% of Norwegian reefs showed signs of
    L. pertusa is most prevalent in the North Atlantic, damage, mostly from trawling. In addition, as oil
    but is also found internationally, encompassing parts and gas exploitation moves into progressively
    of the Mediterranean Sea, Gulf of Mexico and Car- deeper waters, there is the potential for damage to

    111
    cold-water coral reefs. The principal mechanisms the seabed camera frame, giving an accuracy of 5m.
    include physical damage from drilling, anchoring The geophysical survey grid comprised 58 main lines
    and pipeline laying, and smothering by drilling that were 8km in length, orientated 26/206, with
    muds, cuttings and cement. 125m line spacing. There were 8 crosslines that were
    6.5km in length, orientated 116/296, with 1km line
    In response to the mounting evidence for both the spacing. MBES and sidescan sonar data were ac-
    importance of cold-water coral reefs as natural habi- quired simultaneously on all lines. A hull-mounted
    tats and their susceptibility to anthropogenic impact, Simrad EM1002 MBES was used to acquire ap-
    they have become increasingly protected around the proximately 120% data coverage, which was proc-
    world. In northwest Europe, L. pertusa reefs are pro- essed using Fugro Starfix to a 3 3m cell size. Sides-
    tected by a combination of the European Commis- can sonar data was acquired using an Edgetech 4200-
    sion (EC) Habitats Directive and the Norwegian Ac- FS to give approximately 240% seafloor coverage of
    tivities Regulations. Both of these place a legal re- 120kHz data. Coda GeoSurvey was then used for the
    quirement on offshore developers to identify, map slant range correction, quality control (QC) and mo-
    and assess the quality of any coral reefs that could saicing of all sonar lines.
    be impacted by their proposed developments.
    2.2 Coral mapping
    This paper outlines a coral mapping method utilising The complete sidescan sonar mosaic of the survey
    standard geophysical site and pipeline/cable route area was reviewed using Surfer v10 to identify and
    survey techniques, together with seabed photo- delineate any potential reefs. A variety of acoustic
    graphy ground-truthing. This method is demon- signatures were attributed to L. pertusa aggregations
    strated using a case study regarding a geophysical (see Figure 1), with the vast majority occurring on
    survey of the Cooper site. This site is located in the the berms (sides) of iceberg plough marks, which
    Norwegian Sea, in an area heavily scoured by ice- were prevalent throughout the site. Lophelia reefs
    bergs and glaciers during the last ice age. The poten- are often found on the edges of plough marks, likely
    tial use of slope aspect analysis of bathymetry data is related to the greater availability of hard substrate
    discussed, together with a comparison of the utility and exposure to food-bearing currents (Mortensen et
    of the proposed survey methodology with other al., 2001). Reef signatures included areas of high
    commonly advocated survey techniques (Foss et and mottled reflectivity, typically with acoustic
    al., 2005; Roberts et al., 2009b). In this study, the shadows indicating increased seabed rugosity and
    term reef refers to a single feature comprising elevated relief. Many features also displayed the
    accumulated coral skeleton (dead or alive), as cauliflower pattern described by Foss et al.
    described by Foss et al. (2005). (2005), caused by the combined effect of several
    individual hemispherical colonies within a reef.
    2. Case Study Cooper Site Survey
    The delineated coral reefs were then overlain on two
    The Cooper survey was performed by Fugro Survey different sonar mosaics composed of different sides-
    Ltd, on behalf of Centrica Energi, onboard the M/V can sonar lines, those running in a southwest to
    Fugro Meridian in MayJune 2011. The site is lo- northeast direction and vice versa. Features appear
    cated in Norwegian offshore continental shelf block differently on a sonar record when surveyed from
    6506/11 of the Norwegian Sea. The aim of the envi- different angles. This ensured that all suspected coral
    ronmental survey was to map and characterise any mounds were delineated. The coral distribution map
    occurrences of Lophelia reef within the 8.5 7.5km was then draped over a digital terrain model to
    survey area. assess whether any potential reefs had been over-
    looked.
    2.1 Geophysical data acquisition
    While a number of different geophysical techniques 2.3 Camera ground-truthing
    were utilised during the survey, this study focused on A total of 22 camera transects and 2 stationary drop-
    the acquisition and interpretation of those data that down deployments were carried out, covering a cu-
    were used to map and characterise coral reef habitat mulative distance of 6.4km. Sampling locations
    (i.e. multibeam echosounder (MBES), sidescan sonar were selected in order to ground-truth all acoustic
    and seabed photography data). Vessel positioning was facies represented within the survey area and to pro-
    by Fugro Starfix differential global navigation satel- vide sufficient data to evaluate the predicted coral
    lite system (GNSS) using Starfix.BP solution. A Sim- boundaries. Transects were typically positioned
    rad HiPAP 500 ultra-short baseline (USBL) system along, or perpendicular to, the sides of iceberg
    was used to position the sidescan sonar towfish and plough marks to assist delineation of corals.

    112
    A C

    Figure 1: Extracts from the sidescan sonar mosaic showing acoustic signatures attributed to Lophelia pertusa reef (dark patches
    denote high reflectivity, and light patches denote low reflectivity or acoustic shadows cast by elevated seabed features):
    (a,b) unscaled examples; and (c) example overlaid with habitat classified seabed photography interpretation

    Seabed photography data was acquired using a comprised two or more small reefs, separated by
    Sonar Equipment Systems (SES) deepwater, high- these two peripheral zones. Although it may have
    resolution digital stills camera, as well as video been possible to distinguish Lophelia framework
    camera, mounted within a subsea camera frame. from the zones of mixed sediment and Lophelia rub-
    Photographs were taken at regular intervals during ble, this would have needlessly complicated the in-
    each camera deployment, with additional photos terpretation. In addition, it would inevitably have led
    taken in areas of sediment change or potentially sen- to some areas of reef being incorrectly classified as
    sitive habitat. non-reef habitat. As such, no amendments were
    made to the coral map.
    2.4 Habitat classification
    Delineation of habitat boundaries was undertaken 2.6 Slope aspect analysis
    using video footage, while the still photographs pro- Based on the propensity for Lophelia reefs to de-
    vided additional detail on the sediments and associ- velop on the sides of iceberg plough marks orien-
    ated fauna. Habitat classification was based on the tated perpendicular to the residual seabed current
    three zones described by Foss et al. (2005): live direction, the relationship between slope angle and
    Lophelia; dead Lophelia; and Lophelia rubble. This aspect (i.e. direction) was investigated further using
    classification was refined to include non-Lophelia Surfer v10.
    habitat (soft and mixed sediments), and further detail Table 1: Habitat classification system
    on the proportion of live coral (Lophelia good, mod- Classification Description
    erate and poor) based on unpublished thresholds
    1 Soft Typical soft sediments
    proposed by Det Norske Veritas (2009). The classi- sediments
    fication system used during this study is shown in 2 Mixed Mixed sediment (gravel, cobble, boulder),
    Table 1, and example photographs of Lophelia reef sediments often found on the flanks of plough marks
    habitat are shown in Figure 2. 3a Lophelia Dead Lophelia rubble typically found
    rubble around areas of coral growth
    2.5 Coral map validation 3b Lophelia Dead coral structure no live colonies of
    Interpreted habitat classifications were overlaid on dead L. pertusa are observed in these areas
    predicted coral maps and the complete sidescan 3c Lophelia Mostly dead coral, but with small patches of
    sonar mosaic to assess the maps accuracy. This in- poor live L. pertusa
    dicated that the delineated coral boundaries typically 3d Lophelia -
    Reefs of both live and dead L. pertusa
    included peripheral zones of mixed sediment and moderate
    Lophelia rubble, but it was not possible to resolve 3e Lophelia Apparently intact colonies of mostly living
    these habitats. Furthermore, delineated reefs often good L. pertusa

    113
    3b: Lophelia Dead: Dead structures with no living colonies of hard coral present

    Sponges on Dead coral


    Sponges on
    Dead coral
    Dead coral
    Red fish

    3c: Lophelia Poor: Dominated by dead hard coral with relatively small patches of live hard coral

    Sponges on Soft coral


    Sponges on Dead coral
    Dead coral

    Red fish
    L. pertusa
    L. pertusa L. pertusa
    Dead coral

    3d: Lophelia Moderate: Reefs containing both dead and living colonies of hard coral

    L. pertusa
    L. pertusa

    L. pertusa
    Dead coral
    Dead coral

    3e: Lophelia Good: Apparently intact coral reefs, comprising mostly living colonies

    Soft coral
    Soft coral Soft coral

    Dead coral
    L. pertusa

    L. pertusa
    L. pertusa

    Figure 2: Photographs of the different Lophelia reef habitats (from top to bottom) dead, poor, moderate, and good

    3. Results gravelly clay (<0.1m thick) with areas of slightly


    gravelly clays. Coarser substrate (cobbles/small
    Water depths across the site (referenced to mean sea boulders) occurred on the flanks of some iceberg
    level) varied from 231.5m in the northeast, to plough marks, while some plough marks also par-
    347.8m in the westsouthwest, giving a range of tially infilled by slightly gravelly sand. A total of
    116.3m. The seabed was highly irregular due to the 2224 coral reefs were delineated within the survey
    presence of numerous iceberg plough marks, which area, all of which were located on the sides of ice-
    generally trended northeast to southwest, and exhib- berg plough marks. The reefs were generally less
    ited depths of up to 7m compared to the ambient than 4.0m high (though on occasions they reached
    seabed. The seabed sediments comprised a thin in- up to 6.5m) and covered an average area of 701m2.
    termittent veneer of slightly sandy, occasionally The delineated reefs encompassed a combined area

    114
    of 1.56km2, however, as these boundaries included (the life cycle of coral is described by Roberts et al.,
    mixed-sediment habitat (28.6%), the true area of Lo- 2009b). The presence of substantial quantities of coral
    phelia habitat was likely to be 1.11 km2 (1.75% of rubble around the reefs is unsurprising given the per-
    the total site area). The density of reefs increased sistence of coral debris. Rubble from the Mingulay
    with depth toward the southwest of the site (Figure reefs was dated up to 3864 33 years Before Present,
    3), up to ~50 reefs per square kilometre. This pattern taken to be year 1950 (Roberts et al., 2005).
    was attributed to increased iceberg scouring and
    coarse substrate in deeper areas, rather than the Coral reefs were typically observed on the steep
    effect of hydrostatic pressure. slopes of iceberg plough marks, and rarely occurred
    on the highest topographic point of these features,
    All seven habitat classes (Table 1) were recorded as observed by other authors (Freiwald et al., 2004;
    during the survey. The total distance covered by Dolan et al., 2008). Several studies have also inves-
    the camera ground-truthing transects was just over tigated the relationship between environmental
    6.4km, of which 25% (1.6km) was classified as L. variables and the distribution of cold-water corals
    pertusa habitat. The majority (50.5%) of coral on a local scale (Mortensen et al., 2001; Dolan et
    habitat was formed from broken coral fragments al., 2008). Two terrain factors, slope angle and as-
    (i.e. Lophelia rubble), while the remainder (20.9%) pect angle, were measured to investigate their rela-
    comprised reef framework (8.6% dead, 5.9% poor, tionship with the distribution of coral reefs in the
    3.9% moderate and 2.5% good). The total area of Cooper survey area. A subset of the digital terrain
    different Lophelia habitat classes within the Coo- model (see Figure 4) was interrogated to identify
    per site was estimated by scaling the ground- the limits of slope and aspect that best approxi-
    truthing observations up to the predicted total area mated the distribution of delineated corals. Seabed
    of coral reef (Table 2). Lophelia good category surface with a southeast aspect of 130 and slopes
    was estimated to cover just 0.06% of the Cooper of over 1.7 were found to coincide well with the
    site, while Lophelia rubble category, the most corals. These settings delimited approximately 30%
    abundant coral habitat, was expected to comprise of the total seabed surface and 86% of the total
    1.24% of the site. coral area.
    Table 2: Lophelia habitat 4. Discussion
    Lophelia Transect distance Estimated total area
    Habitat over coral habitat [m] within site [km2] The mapping methodology described in this paper
    Good 57 (2.5%) 0.04 (0.06%) effectively identified and delineated 2224 coral
    Moderate 89 (3.9%) 0.06 (0.10%) reefs, 44 of which were verified by seabed photog-
    Poor 134 (5.9%) 0.09 (0.14%) raphy ground-truthing. This density of corals is con-
    Dead 195 (8.6%) 0.13 (0.21%) sidered to be high for Norwegian Sea iceberg plough
    Rubble 1148 (50.5%) 0.79 (1.24%) mark habitat. Foss et al. (2005) report the occur-
    Total * 1623 (71.4%) 1.11 (1.75%) rence of ~1500 coral reefs (150 40m on average)
    * Excludes mixed sediment in the Trna region, although this was almost five
    times the size of the current survey site. However,
    Live coral in the Cooper field was often (though not the small size of the reefs is consistent with previous
    exclusively) limited to one side of the reef structures, surveys in this region, where the heterogeneous na-
    most likely due to current effects. Mienis et al. (2006) ture of the heavily scarred seabed is more conducive
    suggest that the growth of coral reefs in the Rockall to the formation of small reefs in areas of favourable
    Trough was strongly governed by current flow, com- substratum and hydrodynamics.
    prising elongated structures orientated to the main
    current. Individual coral reefs within the Cooper field Depth-related patterns in reef density are common
    exhibited the typical cauliflower pattern described by for surveys of iceberg plough mark habitat. These
    Friewald et al. (2002) and Foss et al. (2005). These patterns are typically attributed to increased scouring
    cauliflower patterns were often associated with a low- of bathymetric highs, which results in more coarse
    reflectivity trail, generally ellipsoidal in shape. The substrate for coral settlement and reef development.
    trail represented coral rubble and mixed sediment and In the current survey, however, both the degree of
    extended down-slope (Roberts et al., 2005) or down- iceberg scouring and the density of coral reefs in-
    current (Masson et al., 2003) of the intact coral reef. crease with depth. While the reason for increased
    scouring in deeper areas of the site is unclear, the
    This peripheral material is likely to have derived from relationship between the level of scour and the den-
    natural degradation of the skeletal structure over time sity of reefs is still apparent.

    115
    Figure 3: Interpreted and confirmed coral reefs overlaid on sun-illuminated multibeam bathymetry data

    116
    higher current flow over positive topographic fea-
    tures would maximise food supply to the coral pol-
    yps and be less susceptible to sediment smothering
    (Davies et al., 2009; Roberts et al., 2009b). Coral
    distribution is also reliant on the availability of hard
    substrate, which is limited, in heavily scoured areas
    such as the Cooper site, to the flanks of iceberg
    plough marks.

    Coral reefs from the Cooper site were found to cor-


    relate well (86% overlap) with southeasterly facing
    slopes of 130 and gradients of over 1.7. Dolan et
    al. (2008) investigated a number of terrain factors
    that essentially act as proxies for the direct influence
    of currents, sedimentation and food supply. They
    used these factors to predict the distribution of coral
    reefs on the flank of a carbonate mound in the Por-
    cupine Seabight, Ireland. The initial results from the
    Cooper site highlight the potential of multibeam data
    to predict suitable coral habitat, using a similar ap-
    proach to Dolan et al. (2008).

    In a review of coral mapping methods by Foss et al.


    Figure 4: Agreement of interpreted and confirmed coral reefs
    (2005), it was noted that mapping using sidescan
    with selected terrain variables, slope angle and orientation sonar may be hampered by the grazing angle and
    acoustic shadows caused by seabed relief. As a con-
    Lophelia habitats were dominated by accumulations sequence, close but spatially distinct reefs may be
    of coral rubble, which accounted for 50.5% of the interpreted as a single reef. This problem was
    delineated coral patches, while living coral habitat avoided in the current study by reviewing the sepa-
    (good, moderate and poor) comprised just 12%. rate sonar mosaics using odd and even lines only.
    Roberts et al. (2009b) reported a comparable propor- While the aforementioned issue might lead to coral
    tion of live coral at the Mingulay reefs, with only colonies being overlooked in surveys with <100%
    10% of coral facies comprising living coral. cover, it is unlikely to be an issue for this or other
    commercial site and pipeline/cable route surveys,
    The main limitation of the Cooper survey method is which typically acquire >200% cover.
    that while it was possible to estimate the proportions
    of different reef habitats present across the survey Huhnerbach et al. (2007) highlighted the potential
    area, it was not possible to map the distribution of for computer-assisted sidescan sonar interpretation
    each habitat (i.e. good through to dead reef) without to improve the accuracy of coral maps. The system
    ground-truthing each reef. In addition, the Lophelia used by Huhnerbach was able to distinguish open
    rubble and mixed sediment habitats could not be coral framework from dead, sediment-clogged
    resolved from the sidescan sonar data, as 28.6% of framework and coral rubble, but could not resolve
    delineated coral areas were thought to comprise areas of live and dead open coral framework. How-
    mixed sediment. Similarly, Roberts et al. (2005) ever, automated sidescan sonar processing software
    were unable to distinguish between L. pertusa reef have been available since the 1990s, but have yet to
    and coral rubble. For this reason, offshore develop- be taken up by the survey industry. This is mainly
    ers should undertake coral mapping surveys once a because of the requirement for seabed sampling to
    provisional development footprint has been defined. calibrate the software and the time-consuming na-
    This will allow seabed ground-truthing to focus on ture of the interpretation. In addition, the limited
    assessing reef quality in any areas of potential envi- breadth of analyses undertaken by the software
    ronmental impact. means that manual interpretation is still required
    (e.g. to locate and describe seabed contacts and de-
    Coral reefs in the Cooper site were concentrated on bris). Thus, while textural classification of sidescan
    southeast facing slopes, suggesting that near-bed sonar data has the potential to improve coral map-
    currents were an important influence. Recent studies ping, this is unlikely to be used during commercial
    have suggested that corals growing in areas of coral mapping surveys until it has been adopted by

    117
    the offshore geophysical survey industry as a Guinotte JM, Orr J, Cairns S, Freiwald A, Morgan,
    whole. L and George R. (2006). Will human-induced
    changes in seawater chemistry alter the distribu-
    The utility of the aforementioned geophysical survey tion of deep-sea scleractinian coral Enalopsam-
    techniques is limited by the data resolution. With mia. Transactions of the San Diego Society of
    hull-mounted or surface-towed systems, the effective Natural History 4: 141146.
    resolution of the acoustic signature decreases with Hovland M and Thomsen E. (1997). Cold-water cor-
    increasing water depth, limiting the potential to dis- als are they hydrocarbon seep related? Marine
    criminate what could be sub-metre-sized patches of Geology 137: 159164.
    live coral among predominantly dead reef framework. Hhnerbach V, Blondel P, Huvenne VAI and
    To this end, the advent of automated under-water ve- Freiwald A. (2007). Habitat mapping of a cold-
    hicles fitted with geophysical equipment, and in some water coral reef off Norway: A comparison of
    cases seabed cameras, may provide data to the neces- visual and computer assisted methods to interpret
    sary fine-scale resolution to allow better discrimina- sidescan sonar data. In: Todd BJ and Green HG.
    tion of coral. (eds.). Mapping the Seafloor for Habitat Charac-
    terisation: Geological Association of Canada. St
    Acknowledgments Johns: Geological Association of Canada, 297
    308.
    The authors wish to thank Centrica Energi for sup- Masson DG, Bett BJ, Billet DSM, Jacobs CL,
    porting the publication of this paper, and colleagues Wheeler AJ and Wynn RB. (2003). The origin of
    at Fugro who provided technical advice or guidance deep-water, coral-topped mounds in the northern
    in particular, O Dyson and L Smith. Rockall Trough, Northeast Atlantic. Marine
    Geology 194: 159180.
    References Mienis F, van Weering T, de Hass H, de Stigter H,
    Huvenne V and Wheller A. (2006). Carbonate
    mound development at the SW Rockall Trough
    Davies AJ, Duineveld GCA, Lavaleye MSS, Berg-
    margin based on high resolution TOBI and seis-
    man MJN and Van Haren H. (2009). Downwel- mic recording. Marine Geology 233: 119.
    ling and deep-water bottom currents as food sup- Mortensen PB, Hovland MT, Foss JH and Furevik
    ply mechanisms to the cold-water coral Lophelia DM. (2001). Distribution, abundance and size of
    pertusa (Scleractinia) at the Mingulay Reef com- Lophelia pertusa reefs in mid-Norway in relation
    plex. Limnology and Oceanology 54: 620629. to seabed characteristics. Journal of the Marine
    Det Norske Veritas. (2009). Guideline Visual Biological Association of the United Kingdom 81:
    Mapping using ROV. Rev 01, 2009-04-30 581597.
    Dolan MFJ, Grehan AJ, Guinan JC and Brown C. Roberts JM, Brown CJ, Long D and Bates CR.
    (2008). Modelling the local distribution of cold- (2005). Acoustic mapping using a multibeam
    water corals in relation to bathymetric variables: echosounder reveals cold-water coral reefs and
    Adding spatial context to deep-sea video data. surrounding habitats. Coral Reefs 24: 654669.
    Deep-Sea Research I 55: 15641579. Roberts JM, Wheeler A, Freiwald A and Cairns S.
    Foss JH, Mortensen PB and Furevik DM. (2002). (2009a). Cold-water corals: the biology and ge-
    The deep-water coral Lophelia pertusa in Norwe- ology of deep-sea coral habitats. Cambridge:
    gian waters: distribution and fishery impacts. Cambridge University Press, 334pp.
    Roberts JM, Davies AJ, Henry LA, Dodds LA, Du-
    Hydrobiologia 471: 112.
    ineveld GCA, Lavaleye MSS, Maier C, Van
    Foss JH, Lindberg B, Cristensen O, Lundlv T, Soest RWM, Bergman MJN, Hhnerbach V, Hu-
    Svellingen I, Mortensen PB and Alvsvg J. venne VAI, Sinclair DJ, Watmough T, Long D,
    (2005). Mapping of Lophelia reefs in Norway: Green SL and Van Haren H. (2009b). Mingulay
    experiences and survey methods. In: Freiwald A reef complex: an interdisciplinary study of cold-
    and Roberts JM. (eds.). Cold-water Corals and water coral habitat, hydrography and biodiversity.
    Ecosystems. Berlin: Springer, 359391. Marine Ecology Progress Series 397: 139151.
    Freiwald A and Roberts JM. (2005). Cold-water Thiem , Ravagnan E, Foss JH and Bernsten J.
    corals and ecosystems. Berlin: Springer. (2006). Food supply mechanisms for cold-water
    Freiwald A, Foss JH, Grehan A, Koslow T and corals along a continental shelf. Journal of Ma-
    Roberts JM. (2004). Cold-water Coral Reefs. rine Systems 60: 207219.
    Cambridge: United Nations Environmental Pro-
    gramme World Conservation Monitoring Centre
    (UNEP-WCMC).

    118
    THE EFFECT OF RISING GAS ON SUBMERGED FOUNDATIONS
    AND STRUCTURES

    DW Cox PhD MICE FGS CEng


    Consultant
    Formerly Taylor Woodrow Construction, and University of Westminster, London, UK

    Abstract
    Rising gas occurs naturally and as a result of drilling, injection and construction activities, such as air jetting,
    fracturing, jet grouting and tunnelling. The effect of rising gas is difficult to quantify or model, but is known
    to reduce the bearing capacity of both shallow and deep foundations. Under gravity based structures (GBS) it
    can cause problems of flotation and subsequent base sliding and internal over pressure. Storm waves can liq-
    uefy shallow gaseous deposits. Gas venting facilities are essential but not always provided on offshore struc-
    tures. The paper discusses rising gas in terms of sources, pathways, flow calculations, gas experiments trials,
    and calculations, settlement effects and precautions, as well as its effect on GBS, on bearing capacity (espe-
    cially during storms) and on shallow and deep foundations.

    1. Sources of Gases and consequently gas tends to rise (like water) via par-
    ticularly weak or high permeability anomalies, or
    The most obvious sources of gases are hydrocarbons breaks in strata. However, unlike water, the gas ex-
    rising naturally or as a result of drilling operations. pands as it rises and is not necessarily in pres-
    Additionally gases, such as nitrogen, are injected as sure/volume equilibrium with its surroundings. This
    liquid into strata to increase well production, while gives rise to local changes in effective stress, local
    other gases are injected for storage or disposal. changes in permeability and the formation of spring.
    Compressed air is used in tunnels, caissons, jet Other natural manifestations are geysers, seabed
    grouting and jetting. There are also volcanic gases, pockmarks and gas chimneys. These are discussed in
    hydrates and organic deposits releasing methane. Hovland (1989). The mechanism is utilised in under-
    water airlifts, such as for offshore mining and air jet-
    2. Flow Pathways ting for water wells, and occurs in well blow-outs.
    Pathways for rising gas are mainly dependent on the
    Approximate calculations of the flow of gas are dis-
    lamination and dip of the strata and local anomalies
    cussed by Muskat (1937). As a rough guide, the
    such as faulting, joints or weaknesses. Layers of gas
    permeability to gas is about 50 times the permeabil-
    can be trapped below individual laminations or
    ity to water, in a steady-state condition. However,
    cyclotherms (due to seasonal depositional changes in
    because the gas volumes are changing during flow,
    particle size). Seismic surveys show numerous
    the conventional equations for flow need significant
    strong ghost reflections, which correspond to the
    modification. In addition, the presence of gas re-
    pattern of lamination but cannot usually be distin-
    duces the permeability to water. This is beyond the
    guished in recovered core. A likely explanation is
    scope of the paper particularly as the flow is a vary-
    that trapped gas provides the ghost reflection.
    ing volumetric mixture of gas and water. The phys-
    ics of rising gas flow is discussed in Cathles et al.
    An example of the lateral flow of gas occurs in geo-
    (2010) and Su et al. (2010).
    technical work when compressed air is used as a drill-
    ing fluid in rotary (or down the hole) drilling. The air 3. Model Experiments Attempted with Rising Gas
    lifts the cuttings, but can also escape laterally and ap-
    pear in adjacent boreholes. Shot hole blasts can show A 0.5m-deep glass tank was filled with submerged
    a similar behaviour. The vertical (cross-strata) perme- sand compacted to give a uniform density. More
    ability is much lower than the horizontal permeability, permeable drainage layers were constructed at the

    119
    top and base, and gas/air was supplied in the base short skirts to increase the depth of penetration and
    layer at a slight excess pressure. The gas/air rose un- improve sliding and bearing stability, as well as
    evenly, surfacing at particular points. When the ex- scour protection. Voids between the raft and the sea-
    cess gas/air pressure was increased, the upward flow bed may be subsequently grouted. When the sub-
    was sufficient to dislodge some of the sand, acting as merged GBS storage tanks above the raft are filled
    a local air lift so that surface springs formed. A lar- with oil at a lower density than water, there are sig-
    ger, similar experiment was carried out in a rein- nificant reductions in downward forces, due to flota-
    forced concrete (RC) tank that was 2m deep and had tion.
    a plan area of 2 8m. When in use for previous ex-
    periments, the tank was filled with compacted sand Storm waves create high lateral forces on the GBS,
    at a consistent known density and flooded. Then and can cause lateral sliding of the base in the soil
    0.5m-diameter plate bearing tests were carried out below the skirt toe level. During design, ballast can
    with known hydraulic gradients or water levels in the be placed on the tank roof and in perimeter trays to
    sand. The experiments originally proved the effect of increase the downward weight and hence resist slid-
    pore pressure and hydraulic gradient on bearing ca- ing. An accumulation of rising gas, either below the
    pacity (Mojabi, 1984). GBS raft or in the GBS tanks above, will reduce the
    self-weight and increase the risk of sliding. This gas
    A prototype test for the effect of rising gas was at- needs venting, and carefully controlled provision is
    tempted with the tank flooded and with the addition required at both GBS locations. This is not always
    of excess gas/air pressure, introduced into the base present on existing GBS tanks, so some precaution-
    drainage layer. However, as with the previous ary planning might be worthwhile.
    smaller model, the air escaped at isolated springs.
    No representative or reasonable pore pressure could Apart from flotation, gas accumulating internally in
    be recorded, because of the local variations in flow, the GBS will be at the pressure of the base of the
    so the test was abandoned. Part of the difficulty was gas/water interface, which may be many metres be-
    caused by air entering hydraulic piezometers, and low the roof. This trapped gas applies an internal
    hence pressure sensors are preferable in these cir- overpressure to the walls and roof equivalent to the
    cumstances. Waste water aeration tanks at sewage height of water displaced. This is an onerous condi-
    treatment plants operate on a similar principle. Per- tion.
    forated pipes supply air, which rises through a
    granular diffuser bed with the waste water above. 5. Effect of Gas on Bearing Capacity and Sliding
    Small differential settlements or tilt (of about 1 in Resistance during Storms
    500) of a large 50 10m deep RC aeration tank
    structure at Halifax were sufficient to inhibit uni- During a storm the water pressure at the seabed rises
    form diffusion, limiting aeration to one end of the and falls as a proportion of the height of water above
    tank. This sensitivity suggests that attempts to di- and the wave dimensions. This has been recorded by
    rectly measure the change in bearing capacity with piezometers. Below the seabed, the water pressure in
    change in air/water flow will need careful prepara- the soil the pore pressure rises and falls with the
    tion. A partially drawn down sewer aerator tank wave loading at the seabed interface (discussed in
    could possibly be used for plate bearing tests on the detail by Okusa, 1985). If the soil is saturated, there
    granular diffuser material to demonstrate the effects is no significant volume change, the pore pressure
    of rising gas. carries the wave load and the effective stress in the
    soil skeleton is unchanged as the wave passes.
    4. Effect of Rising Gas on Offshore Structures
    The presence of gas (partial saturation), which com-
    Apart from the effects on foundations (discussed in presses, allows part of the wave load to be trans-
    the following sections) there can be significant ef- ferred to the soil skeleton. The remainder causes the
    fects on gravity-based structures (GBS). Two impor- pore pressure to rise and fall by some reduced
    tant ones are flotation, and gas overpressure within amount, as compared to the saturated case. The ratio
    submerged cellular structures. GBSs often consist of depends on the pore pressure coefficient (B). The gas
    a series of submerged vertical cellular RC oil tanks is beneficial under the peak of a storm wave, as the
    sitting on a thick raft. The raft may bear on the sea- effective stress in the soil skeleton increases, im-
    bed or may be suspended on a grillage of sleeper proving the resistance to sliding and increasing the
    walls. The raft also has external and some internal general bearing capacity of the soil for foundations.

    120
    However, during the subsequent passage of a wave becomes a foam, despite the fluid having a lower av-
    trough, the total stress on the seabed falls while the erage density because of the gas content. The flota-
    pore pressure remains high because of the pre- tion forces and pore pressure depend on the liquid
    compressed gas in the soil pores. This results in a se- column and, in this sense, are unaffected by the gas
    rious reduction in the effective stress, a reduction in bubbles. The more complex behaviour is due to the
    the resistance to sliding and a reduction in bearing compression or expansion of the gas with changes in
    capacity of foundations. It also extends to the depth pore pressure in the surrounding liquid, as well as
    or thickness of the seabed that experiences the flow. As gas rises, the liquid phase pore pressure
    unloading effect of the wave trough. The lateral ex- should fall hydrostatically, but as the gas expands, it
    tent depends on the wavelength. tends to maintain the liquid pore pressure or displace
    the liquid. This tends to reduce effective stress and
    There are differences in the effects within and out- can result in an accelerating upward flow and even-
    side the GBS footprint. A possible beneficial effect tual liquefaction. This process is used in flotation
    is that the passage of storm waves also causes rock- tanks to separate minerals and in jet grouting.
    ing and stress reversals under the GBS foundations,
    which in turn can cause a progressive rise in pore 7. Permeability and Pockmarks
    pressure with each wave. If there is insufficient time
    between waves for pore pressure dissipation, then Variations in vertical permeability tend to stem gas
    failure can occur. The presence of the gas reduces flow, which can accumulate below the less perme-
    the progressive development of the pore pressure able layers. This can result in a series of water tables
    caused by shear reversals. between trapped gas zones. Other related effects are
    dissolved gas coming out of solution with pressure
    6. Effect of Rising Gas on Bearing Capacity: change and surface tension forces, which both in-
    Effective Stress hibit upward flow. This tends to concentrate upward
    flow in local areas of weakness.
    Variations in soil bearing capacity depend mainly on
    the effective stress, which is the difference between Where larger amounts of gas are rising, there is a
    two variables: the total stress applied externally; and possibility of instability and a local quick condition
    the pore fluid pressure applied internally. The pore where a pockmark (blow-out), or a spring initiates at
    fluid may be water, gas or a mixture of both. The the surface and gradually funnels down (Hovland,
    changes in pore water pressure depend on the hydro- 1989). Jetting with compressed air is a similar proc-
    static pressure, related to fluid self-weight and the ess. As with a geyser, this flow is initially likely to
    dynamic or kinetic pressure related to flow. If the be cyclic but smoothing as the flow path becomes
    pore fluid pressure exceeds the total stress, then the more defined. The effect on foundations would
    effective stress becomes zero and the soil liquefies, probably be complete failure if the vent coincided
    preceded by bearing capacity failure. with a foundation. There has been one failure of a
    jack-up foundation in the Gulf of Mexico, where
    The changes in pore gas pressure have no hydrostatic large amounts of liquid nitrogen have been injected.
    component due to the gas self-weight, which is neg- There are also known gas vents which have devel-
    ligible. Changes depend on flow, and since the gas is oped near some offshore wells.
    compressible, pore gas pressure is also related to
    changes in gas volume. The soil liquefies (zero ef- 8. Shallow Foundations
    fective stress) if the gas flow and hence pressure
    gradient is sufficient. This effect is used in fluid The basic Terzaghi (1943) bearing capacity equation
    bed technology for various industrial processes. The for the ultimate bearing pressure is:
    changes in mixed gas/water pore pressure are more q = 1/2 B N where (1)
    complex. While the water column is continuous
    through the soil pores, the hydrostatic component of b w Lw (2)
    pore pressure due to self-weight remains unchanged. where b is the saturated bulk density; w is the water
    Once the gas content is such that the pore fluid con- density; i is the hydraulic gradient (upward +ve); B
    sists of bubbles of water in gas, rather than bubbles is the breadth of footing; and N is the bearing capac-
    of gas in water, the relationship changes. A simpli- ity factor. This is given by:
    fied example of this is the ability to float in a gase-
    ous bubble bath, which remains unchanged until it N  Np2 1)/tan(45 /2) (3)

    121
    where is the angle of friction of soil; and kp is the saturation 80%) . The pore pressure coefficient (B) is
    coefficient of lateral earth pressure. This is given by: assumed to be 0.2.
    kp = 1 + sin/1 sin (4) In practice the effects of depth, soil properties and
    Equation 1 can be simply derived by considering the wavelength are taken into account in estimating the
    frictional mechanics of two wedges: one under the pore pressure and total stress above and below the
    foundation and one under the adjacent soil, which is seabed (Okusa, 1985). For the purposes of simplicity
    displaced laterally as the foundation penetrates. in demonstration, a very long wavelength has been
    assumed. The 10m wave trough is then assumed to
    Equation 1 has been in satisfactory use for almost a unload the bed by 100kN/m2 total stress, which
    century, but it had no full-scale experimental proof changes the pore pressure by 0.2 100 = 20kN/m2.
    of the relationship with effective stress until investi- This leaves the pore pressure high, and the effective
    gated by Mojabi (1984), and a series of undergradu- stress and bearing capacity are reduced with a loss of
    ate project students at the University of Westminster 80% at 10m below seabed level and 40% at 20m.
    (19801985). The results are summarised in Figure 1
    from Mojabi (1984) and Cox (1986). As is theoreti-
    cally predicted, the experiments confirmed the bear-
    ing capacity is directly related to the effective stress
    and hydraulic gradient. It also suggested the possibil-
    ity of substantial changes in bearing capacity with
    changes in pore pressure gradient, as would also oc-
    cur with rising gas.

    As discussed earlier, small amounts of static trapped


    gas have no direct effect on the hydrostatic condi-
    tions, but a significant effect occurs during storms
    when wave troughs cause a reduction in total stress.
    Small amounts of trapped gas can then cause tempo-
    rary reduction of effective stress and bearing capac-
    ity, and eventually shallow liquefaction under wave
    troughs. This behaviour can be predicted, or detected
    and monitored, and the effects estimated using the
    basic equations. This is shown on Figure 2, where a
    10m-deep wave trough in 30m mean water depth oc- Figure 1: Variation of ultimate bearing pressure with
    curs over a soil bed with 10% gas voids (degree of hydraulic gradient

    Figure 2: Changes in bearing capacity because of 10m wave and 10% gas in sand

    122
    The upward flow problem conventionally arises in (a)
    deep excavations for rafts or dry docks. To deter-
    mine the likely loss in bearing capacity, the hydrau-
    lic gradient is predicted by flow nets and monitored
    by vertical pairs, or arrays, of piezometers below the
    base, which should detect any significant general
    hydraulic gradient (but not localised pockets). The
    studies would need to be extended to detect the pres-
    ence of gas. Where there is upward flow and notice-
    able amounts of gas are rising, then a more detailed
    study is required, as the condition could accelerate.
    Much depends on the source and flow rates, as well
    as the geological structure. There is currently no ef-
    fective way (known to the author) of monitoring lo-
    calised and often intermittent gas flow from the sea-
    bed (or ashore). However, gas pockets may show on
    geophysical surveys.

    9. Deep Foundations

    The basic behaviour assumed for pile end bearing is


    q = Nq p' (5)
    where Nq is the bearing capacity factor, with Nq  (b)
    kp2; and p' is the vertical effective stress (at pile tip
    level). The pile skin friction (at any given depth) is
    usually assumed to be:
    S = K WDQ p' (6)
    where k is the coefficient of lateral earth pressure;
    and WDQis the coefficient of skin friction.

    The effect of changes in pore water pressure on pile


    bearing capacity was demonstrated by testing 12
    full-scale driven piles inside a ring of de-watering
    and recharge wells (Armishaw and Cox, 1979). Ex-
    periments where the effective stress (p') was varied
    by raising or lowering the water pressure and where
    the piles were retested confirmed the basic behaviour
    that the bearing pressure and skin friction are pro-
    portional to effective stress. The effects are similar
    to those for shallow foundations. Figure 3 shows
    some of the results. As previously mentioned, the
    pile bearing capacity will alter with changes in hy- Figure 3: (a) Change in end bearing; and (b) change in
    drostatic pressure or flow. skin friction

    x 010m: sand, water level at ground level;


    Rising gas will not directly affect the hydrostatic x 1020m: silt/clay restricting gas rising;
    conditions, but if sufficient gas pressure accumulates x 2030m: coarse sand with trapped gas and lit-
    below a less permeable strata near pile tip level, then tle water; and
    there could be a reduction in effective stress and a x 3040m: saturated sand.
    significant fall in bearing pressure. The effects of a
    trapped or rising gas pocket are shown on Figure 4, The presence of the gas pocket reduces the effective
    where a pocket of gas is assumed to be trapped be- stress and bearing capacity at depths of 1030m by up
    low a 10m thick clay/silt layer. The strata are as- to 50%. This assumes a small amount of gas is present
    sumed to be: and ignores the volume changes as the gas rises.

    123
    Figure 4: Effect of gas pocket on bearing capacity

    10. Driven Piles the difference between the load settlement curve for a
    foundation loaded at high effective stress, and one for
    The experiments, which were on driven piles, an identical foundation loaded with a low effective
    showed that for driven piles the end bearing relation- stress. This is diagrammatically shown in Figure 5,
    ship was as follows: where two load settlement curves are overlaid.
    q = Nq p' + C (7)
    where C depends on the amount of pre-stress locked
    in around the pile tip by driving the pile.

    This does not immediately change with the normal


    changes in effective stress. It is indirectly allowed
    for in conventional pile design by higher Nq values
    for driven (or base grouted) piles, than for bored or
    augured non-displacement piles. In some circum-
    stances, this may be misleading when considering
    the effects of pore pressure change on driven piles at
    higher effective stresses.

    11. Settlement

    Rising gas has two effects on settlement. The pres-


    ence of gas during the passage of wave peaks leads
    to a higher effective stress, because the gas bubbles
    temporarily reduce the pore pressure. This could
    cause a progressive shake-down during storms. The
    extent is not investigated in this paper, but the extra Figure 5: Settlement caused by reducing effective stress
    loading is clearly significant.
    Where the foundation load is held constant and the
    The various reductions in effective stress discussed effective stress reduced, the initial settlement is
    previously due to trapped gas pockets cause settle- slightly reversed by elastic expansion of the individ-
    ment of both shallow and deep foundations. This was ual particles (as measured), which tends to mask the
    measured in both the plate bearing tests and pile tests. foundation penetration. The final part of the settle-
    The amount of settlement can be roughly predicted as ment is shear due to a widespread reduction in the

    124
    shear strength on reducing effective stress. Conse- rently based on the American Petroleum Institute
    quently, the initial settlements are small but the final (API) RP 2A-WSD (2000), the International Organi-
    ones substantial and more sudden. This is discussed zation for Standardization (ISO) 19901-4 (2003)
    in more detail in Cox (1986, 1992). codes, which give more realistic empirically derived
    values for the design constants. The Terzaghi deriva-
    As can be seen from the diagram, if the load is kept tion is used to simplify the theory. The experiments
    constant and settlement is achieved by reducing the described were all conducted on granular soils.
    bearing capacity/effective stress, then the initial set- There are no published related tests on clay known
    tlements are very small but can rapidly accelerate, to the author. The behaviour of clay is likely to be
    eventually to complete failure. This occurred ex- similar, but factors such as lateral stresses, drainage
    perimentally in the plate and pile tests. When a and fissures due to overconsolidation are likely to
    foundation is conventionally loaded, the initial part differ.
    of the settlement is due to elastic compression of the
    individual particles. The final part of the settlement References
    is due to progressive increase in shear movement be-
    tween particles. The shear strength at which failure American Petroleum Institute (API). (2000). RP 2A-
    occurs depends on the in situ effective stress. WSD Planning, Designing and Constructing
    Fixed Offshore Platforms Working Stress De-
    12. Precautions and Reservations sign, 21st edition. Washington, DC: API.
    Armishaw JW and Cox DW. (1979). Effects of
    Measurements of permeability (vertical and horizon- changes in pore water pressures on the carrying
    tal) and pore pressures are required before construc- capacities of driven piles in sand and gravel.
    tion and subsequently pore pressures during opera- Proc., Conf. Recent Developments in the Design
    tion of the facilities. Pressure gradients can be and Construction of Piles. London: Institution of
    detected by vertical pairs or strings of piezometers Civil Engineers, 227236.
    both below and around offshore structures. A means Cathles LM, Su Z and Chen D. (2010). The physics
    of detecting gas rising requires development. Vent- of gas chimney and pockmark formation. Marine
    ing both the structure and the soil around and below and Petroleum Geology 27: 8291.
    needs to be part of the design. The subsoil can be Cox DW. (1986). Discussion/contribution. In Hurst
    vented by drilled or driven drains, wicks or vibroflo- CW and Wilkinson WB. Rising groundwater lev-
    tation type columns, though care must be taken to els in cities. Groundwater in Engineering Geol-
    avoid impeding skirt penetration by densification. ogy (Special Publication No 3): 9597.
    Cox DW. (1992). Piling in and around scour hollows
    With regard to foundations, piles are generally pref- in London and the possible effects of rising
    erable to shallow foundations because they are less groundwater. Proc. Conf Piling and European
    susceptible to liquefaction below wave troughs in Practice. London: Institution of Civil Engineers.
    the presence of gas. Currently, there is no reliable Hovland M. (1989) The formation of pockmarks and
    means of detecting small lateral movements of a their potential influence on offshore construction.
    GBS during storms. Regular precise measurements Quarterly Journal of Engineering Geology and
    of position with satellite laser ranging (SLR) can be Hydrogeology 22: 131138.
    used to predict future behaviour under more severe International Organization for Standardization (ISO).
    conditions. Further experiments and trials are re- (2003). Petroleum and natural gas industries --
    quired to determine the exact effects of rising gas. Specific requirements for offshore structures --
    There are existing mathematical simulations devel- Part 4: Geotechnical and foundation design con-
    oped for other industries which might be applicable. siderations. Geneva: ISO.
    For example, jet grouting where both gas and water Mojabi MS. (1984). The effect of pore water pres-
    are injected might prove a useful model. sure and foundation size on ultimate bearing pres-
    sure. MPhil Thesis, Polytechnic of Central Lon-
    The paper is intended to indicate the general prob- don, University of Westminster
    lems of rising gas on foundations. The descriptions, Muskat M. (1937). Flow of homogenous fluids
    calculations and terminology have been simplified to through porous media. New York: McGraw Hill.
    do this within a limited space. Some of the theoreti- Okusa S. (1985). Wave induced stresses in unsatu-
    cal uncertainties are discussed in Cox (1992). The rated submarine sediments. Gotechnique 35:
    conventional calculation of bearing capacity is cur- 517532.

    125
    Su Z, Cathles LM, Chen D and Wu NY. (2010).
    Computation on free gas seepage and associated
    seabed pockmark formation. The 6th Int Symp on
    multiphase flow, heat mass transfer and energy
    conversion. AIP Conference Proceedings, 1030
    1035.
    Terzaghi K. (1943). Theoretical Soil Mechanics.
    New York: Wiley.

    126
    DOGGER BANK A GEO CHALLENGE

    C Cotterill, D Dove and D Long


    British Geological Survey, Edinburgh,UK
    L James, C Duffy and S Mulley
    RPS Group, Woking, UK
    CF Forsberg
    Norwegian Geotechnical Institute, Oslo, Norway
    TI Tjelta
    Forewind, Reading, UK

    Abstract
    The Dogger Bank zone is the largest of the Round 3 offshore wind zones extending over ~8660km2. It is
    located between 125km and 290km northeast of Yorkshire on the Dogger Bank, a topographic high point in
    the middle of the North Sea, with water depths of 1863m. The sheer size of this zone is considerably greater
    than that of standard shallow-water oil and gas site investigations, leading to the generation of extremely large
    data volumes to manage, interpret and move between partners. This paper outlines the methodologies that
    Forewind, a consortium of energy companies, is utilising to prepare for the zones development. This includes
    activities undertaken to date to develop a 3D model of the geology, stratigraphy and geotechnical conditions
    to assist in optimal selection of wind turbine foundations, both location and type. Survey programmes and
    preliminary results also are presented and discussed, illustrating experiences with ultra-high resolution
    multichannel sparker, shallow gas, glacial tectonics and fractured clays.

    1. Introduction x Tranche B (1500km2) has been identified


    and partially surveyed in 2011; survey work
    In June 2008, the Crown Estate announced the was completed in spring 2012, alongside
    opening of nine development zones within UK data interpretation and model development;
    waters for offshore wind farm leasing, with a and consent application is to be made in
    combined target energy output of 25GW. In January 2013.
    2010, the successful bidders for each development
    x Tranches C and D are to be decided.
    zone were announced, and Forewind Ltd a
    consortium comprising Statoil, Statkraft, Scottish
    and Southern Energy (SSE), and RWE npower 2. Regional Setting
    renewable was awarded the development rights for
    Dogger Bank. Dogger Bank exists as an isolated topographic high
    point in the centre of the North Sea (Figure 1a). The
    Forewind is committed to securing the necessary high extends into both UK and Dutch territorial
    Zone Appraisal and Planning (ZAP) consents for waters. However, the UK segment under
    construction and development of the Dogger Bank consideration for a Round 3 wind farm is situated
    zone. To achieve this end, Forewind has developed between 125290km northeast of Yorkshire, with
    an intensive programme of geophysical, geological, water depths ranging from 1863m below lowest
    geotechnical, metocean, biological and archae- astronomical tide (LAT).
    ological surveying which will encompass the entire
    zone (8660km2), undertaken in four tranches. The Regional mapping of the North Sea basin completed
    planned programme of surveying each tranche is as
    follows: by the early 1990s (Cameron et al., 1992) describes
    the Quaternary geology across the Dogger Bank as
    x Tranche A (2000km2) has been identified and comprising a series of marine intertidal, pro-glacial
    surveyed in 2010/2011; data interpretation and and sub-glacial cycles. These cycles represent the
    model is to be developed in 2011/2012; and significant climatic changes of this period, as well as
    consent application is to be made in 2013. the influences of three main glaciations that affected

    127
    the North Sea basin the Elsterian, Saalian and location of Dogger Bank at the juxtaposition
    Weichselian. However, seismic stratigraphies between the southern and central North Sea led to
    developed by the British Geological Society (BGS) inconsistencies in the correlation between the
    relied on extrapolation from other areas where no historically mapped BGS seismo-stratigraphies
    stratigraphic boreholes had been drilled to aid developed for each area (British Geological Survey
    geological descriptions, and little commercial (BGS) 1986, 1991; BGS and Rijks Geologische
    investigation had been performed. In addition, the Dienst, 1986, 1991).

    Figure 1: (a) Gridded regional bathymetry showing the relative location of geomophological features with respect to Dogger Bank.
    The Dogger Bank Zone is outlined in red, with the UK median line marking the extent of UK waters DIGBath for UK waters,
    GEBCO for non-UK; (b) Dogger Bank Round 3 zone outline overlain onto the greater London and Home Counties region to
    illustrate areal extent. Line surrounding London marks the location of the M25 motorway; and (c) illustration of the areal extent of
    survey data acquired to date (February 2012), including connecting cable route surveys

    128
    It is likely that Dogger Bank formed during the last To date, Forewind has commissioned 14 geophysical
    glaciation (Weichselian) to affect the North Sea and geotechnical surveys. A reconnaissance
    basin, between 30 000 and 15 000 BP, in a pro- geophysical survey over the entire Dogger Bank
    glacial tundra-like environment. The bank is formed Round 3 zone commenced in May 2010 following
    from a core of Pleistocene ice-proximal sediment. It field trials of shallow seismic sources and receivers.
    is surrounded and covered by a veneer of variable Detailed geophysical and bathymetric surveys have
    thickness comprising mobile Holocene sediments, been carried out, comprising sub-bottom profiling
    predominantly re-worked glacial sand and gravels. with both pinger and sparker (providing resolution to
    Kuhlmann and Wong (2008) describe iceberg scars 500ms two-way travel time). In addition, surveys for
    and palaeontological evidence for sea-ice existing multibeam bathymetry (100% coverage across
    across the Dogger Bank in the Dutch sector, Tranches A and B and corridors across the regional
    although no evidence of similar features has been area), dual frequency sidescan sonar and
    recorded in the UK sector. magnetometer data were designed to meet the seabed
    clearance, environmental baseline and ZAP
    Dogger Bank is part of a larger landmass, commonly requirements.
    termed as Doggerland, that formed a land bridge
    between mainland Europe and Great Britain. This In order to achieve data coverage without extensive
    occurred during sea level lows associated with infill due to the shallow water, a main-line spacing
    significant ice sheet buildup, where there was the of 100m was adopted with 500m spaced cross-lines.
    potential for both hominid and animal occupation The acquisition of Tranche A geophysical data took
    (Gaffney et al., 2007). As sea levels rose at the end approximately five months using two vessels.
    of the last glaciation, meandering fluvial systems Tranche B and cable export routes recommenced in
    initially cut down through Dogger Bank, followed by spring 2012, by four vessels. These are augmented
    complete marine inundation sometime between by borehole sampling, CPTUs and downhole
    600010 000 BP (Shennan et al., 2000; Fitch et al., wireline log acquisition to aid tie-in between the
    2005). Dogger Bank therefore represents a geophysical and geotechnical aspects of the project.
    topographic feature that has been subjected to Table 1 and Figure 1c summarise the volume and
    numerous influences and environments from areal extent of data collected as of February 2012.
    fluvial to marine, aeolian tundra to lacustrine and
    pro-glacial to glaciated. Such varied exposure The 2010 geotechnical phase of the investigation
    increases the complexity associated with the was designed to explore as great of a variety of
    sedimentation processes and features. interpreted seismic profiles as possible. Site
    operations were conducted from standard oil and gas
    3. Methods industryspecification, dynamically positioned,
    geotechnical drilling ships. Borehole sampling and
    The fundamental challenge faced by Forewind is that testing were conducted through heave compensated
    the area of study is incredibly large when compared drill pipe, and comprised piston and push sampling
    to Round 1 or 2 offshore wind farm areas, or to recover high-quality 72mm-diameter samples at
    shallow-water survey areas for the oil and gas 41 locations to maximum borehole depths of 47m.
    industry. In other words, this is not a typical 3 3km Downhole testing was conducted using 3m stroke
    site survey (Figure 1b). Geotechnical and geological
    CPTU units, while seabed continuous push CPTU
    data from samples and piezocone tests (CPTU) are
    tests were conducted at 96 locations using a seabed-
    used to extrapolate potential lithology and
    deployed 24-tonne unit to penetrations of up to 40m
    geotechnical properties of the soils across more than
    below the seabed. Offshore laboratory facilities
    tens of kilometres. Although a number of boreholes
    enabled limited geotechnical analysis and reporting
    have been drilled to ground truth the vast amount of
    seismic data acquired to date (see Table 1), they to be undertaken along with planning for the onshore
    represent an overall low density of data. This phase of testing.
    extrapolation challenge has become parti-cularly
    Onshore laboratory testing commenced in November
    relevant recently, as preliminary results indicate that
    2010 and was completed in April 2011. A 2011
    there are rapid lateral and vertical changes in the
    geotechnical borehole campaign was undertaken to
    sediments and their geotechnical properties
    associated with deposition proximal to an ice investigate seismic anomalies and the potential for
    margin, and subsequent ice driven deformation and shallow gas within the very shallow soils of Dogger
    compression. Bank.

    129
    Table 1: Summary of geophysical and geotechnical datasets acquired to February 2012 across the Dogger Bank Round 3
    wind farm zone

    Area Instrument Coverage / Number ~ Data volume (GB)


    Multibeam bathymetry and acoustic
    Regional 16% coverage (1431km2) 575
    ground discrimination systems (AGDS)
    Regional Dual frequency sidescan sonar 16% coverage (1431km2) 1230

    Regional Sparker, pinger, magnetometer 7152 line km 295


    Regional 2010 CPTUs/boreholes 96/41 1

    Tranche A Multibeam bathymetry 100% coverage (2020km2) 820

    Tranche A Dual frequency sidescan sonar 100% coverage (2020km2) 1850

    Tranche A Sparker, pinger, magnetometer 22 000 line km 780


    Tranche A 2011 Boreholes/wireline logs 14/13 1

    Tranche A Environmental sampling and camera 103 150

    Tranche B Multibeam bathymetry and AGDS 70% coverage (1090km2) 450

    Tranche B Dual frequency sidescan sonar 70% coverage (1090km2) 1140

    Tranche B Sparker, pinger, magnetometer 10 900 line km 450

    Export Cable Route Multibeam bathymetry and AGDS 95% coverage (430km2) 173

    Export Cable Route Dual frequency sidescan sonar 80% coverage (325km2) 620

    Export Cable Route Pinger/sub-tow boomer 7275 line km 154


    Export Cable Route Environmental sampling and camera 76 70
    Reports 10

    This investigation used the standard drilling, historical interpretations and lithological designations
    sampling and testing spread with additional safety that were based on the best available datasets, often
    systems. Specialist equipment included the Bengt- from decades ago. These findings indicate that there
    Arne Torstensson (BAT) probe and wireline is a significant improvement in multiple areas with
    logging. The BAT probe was used to obtain pore the current data resolutions that the Forewind surveys
    fluid samples and give near real-time information on are acquiring. These include the following:
    the presence of any free gas, as well as the
    concentration of any gas in solution within the pore x The core of Dogger Bank comprises pro-
    fluids. Wireline logging of pilot holes was utilised to glacial/terrestrial soils deposited in a
    provide information on the presence of free gas prior freshwater system and is not considered to be
    to conducting sampling and testing boreholes. The a marine deposit.
    wireline tools also aided stratigraphic inter- x Geological formations can now be sub-divided
    pretations, and enabled targeted soil testing and into different sub-units, each having slightly
    sampling, and BAT sampling. different lithologies and geotechnical
    properties.
    4. Results x Previously undetectable geohazards can now
    be identified, such as complex shallow
    Preliminary interpretations of the regional dataset, channelling and small sand bodies where there
    when combined with the detailed work undertaken is a potential for shallow gas to accumulate.
    on the high-resolution datasets from Tranches A and x Different sequences of channel infill and
    B, have revealed many unexpected findings. These bedform development can be established.
    new interpretations have highlighted the impact of x Thin, laterally variable units that might prove
    high-resolution data coverage and the recent hazardous to foundation installation jack-up
    developments in remote sensing technologies on platforms can be recognised.

    130
    x The effect of glacio-tectonism on the soils of within the period generally assigned to represent the
    Dogger Bank can be identified. marine transgression and flooding of Dogger Bank,
    x The intense glacially derived deformation can again with clear sequences of infill. However, recent
    now be mapped and the resulting impact on C14 dating of organic material obtained by Wessex
    soil conditions, shear strengths and Archaeology (6190 BP) suggests that the inundation
    associated properties can be assessed. is closer to the predicted dates (70006000 BP) of
    Shennan et al. (2000). This is contradictory to the
    These are amongst a few examples of how radically alternative published transgression dates of 10 000
    improved the understanding of the Dogger Bank has 7500 years ago (Fitch et al., 2005) and therefore
    become. The following sections highlight some of places inundation as being more recent than
    the most significant areas where the improvement in previously believed.
    data resolution has aided the development of a
    comprehensive, yet continually evolving, 3D model. 5.2 Glacio-tectonics and deformation
    A significant degree of sediment deformation was
    5. Discussion observed in the high-resolution Tranche A sub-
    bottom profiles. The deformation ranged from soft
    5.1 Seismic stratigraphy sediment deformation of the upper 3040m that
    The regional sub-bottom dataset appeared to predominantly terminated at a laterally continuous,
    correlate fairly well (apart from some localised high-amplitude reflector. This was where the base of
    discrepancies) with the Quaternary succession the Dogger Bank formation was believed to be,
    interpretation from BGS presented by Cameron et al. although locally the deformation could be seen to
    (1992) and refined by Stoker et al. (2011). However, punch through this horizon. Within this deformation,
    the high-resolution tranche surveys revealed that there was a combination of short wavelength (5
    Dogger Bank has a far more complex geological 20m) folding, some minor thrusting and large areas
    story than previously thought. They show multiple where all internal stratigraphy had been destroyed,
    sub-units within previously recognised formations, resulting in a chaotic seismic character.
    and numerous cycles of channelling became evident
    within multiple formations. The deepest set of The western and northwestern area of Tranche A
    channels mapped are believed to be the Swarte Bank showed a very different style of deformation, with the
    tunnel valleys formed by sub-glacial meltwater effects reaching up to 120m below the seabed. The
    during the Elsterian glaciation (e.g. Praeg, 2003). deformation here was a combination of soft, large
    wavelength (50100m) folding and more brittle
    Above the Elsterian glacial surface there are at least faulting. It also had thrusting causing lateral and
    two further surfaces, each containing channels. vertical overriding of older sediments onto younger
    These surfaces are sub-horizontal and comprise sediments by up to 500m on, presumably, the glacial
    predominantly sandy sediments. It is upon this that downstream side, and listric faulting on the upstream
    the Dogger Bank formation is deposited. Its base is side. In addition, there was a distinct seismic character
    cut by multiple meandering channel systems, associated with this zone of multiple thrust planes,
    thought to have formed through pro-glacial outwash whereas the listric faulting has been associated with a
    channels running across a relatively flat tundra band of acoustically blank sediments immediately to
    landscape prior to the building of the Dogger Bank the west of the thrusts. This band was, in turn,
    feature. Within the Dogger Bank formation are a followed by a zone where clear, laterally continuous,
    number of cyclical clay-rich to sand-rich sub-units. laminated sediments were mapped. The thrusts
    These also have multiple channel systems, some of originated on a decollement zone at ~100120m depth
    which stop at the base of the Dogger Bank horizon below the seabed. This configuration indicates a
    and others incise into the underlying formation. combination of (glacial) vertical loading and
    horizontal shear leading to failure.
    The cyclicity of the sub-units within the glacially
    derived Dogger Bank formation suggests that As the majority of the deformation is associated with
    seasonal fluctuations, or possibly ice-front advance the Dogger Bank formation itself, it is proposed that
    and retreat drivers, are linked to the style of sediment this represents glacio-tectonic deformation as a
    deposition across Tranche A. There are also result of fluctuating ice sheet margins in proximity
    significant buried, and later in-filled, fluvial to this region during the Weichselian glacial period.
    channels that appear to lie seismo-stratigraphically The high-resolution nature of the data has given

    131
    unprecedented insight into the formation of this were deliberately drilled with pilot holes, and well
    feature, which is proposed to be a push-moraine logging and in situ pore water sampling were
    sitting at the leading edge of an ice sheet in a pro- performed to investigate the operational hazard of
    glacial environment. shallow gas. The interpretation of results from this
    campaign have concluded that there is no free gas
    One possible hypothesis is that proximity to the present at the seismic anomalies tested, but various
    leading edge of the ice sheet resulted in freezing to gases are dissolved in the pore water. The 2011
    depth of sediments and the more brittle style of campaign has confirmed that the blowout was
    deformation. The zone of acoustic blanking probably caused by depressurisation induced by
    potentially represents an area where the ice load sampling procedures. This has led to improved
    gradients (steep near the ice margin) caused operating procedures for the recovery of samples.
    downward listric movements that tilted and
    fragmented the underlying sediments. This may have A number of prominent sand units have been
    resulted in the destruction of internal laminations, identified across the area during the investigation
    combined with scattering of acoustic energy due to phases. These have subsequently been proven to be
    the inclination of the reflectors. The ice may have associated with the seismic anomalies identified.
    overridden the thrust zone, flattening any surface Ongoing evaluation of wireline logs has shown the
    expression of faulting. It may have then advanced presence of low density, low velocity clean sand
    into zones where deformation was softer due to units, which correlate with the seismic anomalies
    presence of glacial outwash and the possible and the depths at which the largest volumes of
    proximity of pro-glacial lakes. dissolved gas were sampled in the in situ pore water.
    Further analyses of the results from this survey are
    There are many hypothesised locations for the currently ongoing to establish the precise material
    southernmost edge of ice during the Weichselian (e.g. and behavioural relationships.
    Jelgersma, 1979; Huuse and Lykke-Andersen, 2000;
    Shennan et al., 2000; Hubbard et al., 2009; Boston et 5.4 Physical properties
    al., 2010). It is hoped that future mapping of thrust The main unit into which any foundation will be
    and fold orientations will help determine which ice emplaced is the Dogger Bank formation, which has
    masses, from which orientation, resulted in the been shown to be lithologically variable. This reflects
    formation of Dogger Bank. It may also reveal the the irregularity of reflectors mapped in the seismic
    nature of the resulting ice/sediment interaction, ice profiles, as described in section 5.1. Shear strengths
    sheet fluctuations and compressional forces that drove are typically firm to very stiff or hard, but often show
    internal deformation. In addition, the relationship decreases with depth. This may reflect permafrost
    between the mode of glacial tectonism and conditions during deposition or desiccation of
    encountered geotechnical properties of the Dogger sediments. Lateral geotechnical continuity can be
    Bank sediments may be further explored. Comparison limited, based on results from closely spaced
    will be made with terrestrial examples, such as the boreholes and CPTUs.
    north Norfolk coast, and with active glacial settings to
    improve the deformation aspect of the 3D model. Examination of borehole and CPTU data indicates
    the presence of distinct layers of high plasticity soils
    5.3 Seismic anomalies and shallow gas occupying two zones within the Dogger Bank
    Following the initial appraisal of regional seismic formation. The shallowest zone sits immediately
    data, the proximity and connectivity of seismic beneath seabed sediments or equivalent. The second
    anomalies to the seabed and the known presence of appears to coincide with the basal part of the Dogger
    peats in the Dogger Bank area, the presence of Bank formation, while the deepest equates to a
    shallow gas within 40m of seabed was not separate clay unit below the base of the formation.
    considered to be the likely explanation of the Plasticity values within these cohesive soils are
    numerous bright spots seen in the seismic data. recorded in the upper region of high plasticity to
    However, drilling operations in 2010 were disrupted very high plasticity (LL 50 90, PI 3555). A small
    by a shallow gas blowout. In 2011 a drilling number of profiles have high to very high plasticity
    campaign, specifically to investigate the potential for material throughout the profile. Preliminary
    shallow gas, was devised to assess and sample all assessments indicate that these characteristics may
    types of seismic anomalies encountered within the be associated with area-specific structural evolution,
    top 50m of Dogger Bank. The seismic anomalies deformation and subaerial exposure. Conversely,

    132
    significant numbers of clay profiles exhibit very low turbines to be installed (~2000), means that
    liquid and plastic responses (LL 2040, PI 1025), untraditional methods have been adopted for its
    which is more typical of traditional North Sea glacial development. The data acquired on the 2.5km grid is
    material. The precise relationships of these materials too ambiguous for use on the 3D model, and it
    will be established in the course of ongoing and reinforces the need to acquire a 100m-line spaced
    future analysis. data for sufficient horizontal resolution for this
    model. The results of all the various investigations
    Several recovered cores show evidence of fabric with are being collated in a geographic information
    slickensides and fracturing. This has resulted in system (GIS) database that will ultimately allow site-
    discrepancies in the shear strengths between specific queries. It will also provide the various
    undisturbed and remoulded triaxial results, with latter geophysical, geological and geotechnical parameters
    giving apparent increases in strength and sensitivities as depth profiles. This will enable preliminary
    of less than 1. The presence of potential weak, pre- factors that would impact the design parameters of
    sheared planes reflects large-scale fault thrusts evident the turbine foundations to be readily available for
    in the seismic record suggestive of a component of any location. The development of a model that will
    lateral stress from an active ice front at, or close to, present surfaces and suitable parameters in 3D is
    the site. Ongoing work is aimed at understanding soil also planned. The predicted parameters will then be
    strength and the detectable extent of sample checked on a site-by-site basis before final
    disturbance from sampling and gas coming out of the installation.
    solution and how this has affected the anomalous
    undrained shear strengths encountered. The scale and evolving complexity of this project
    has demanded input from numerous groups and
    5.5 Salinity companies. A multidisciplinary team, with members
    In a number of boreholes, low salinities were covering different areas of expertise and skill sets,
    measured during the in situ BAT tests. Some has been gathered over the last two years to assist
    laboratory testing of recovered sediments was then Forewind. What has become evident is the need for
    undertaken by Fugro, with the results ranging from clear communication and direction between the
    0.0020.024kg/kg, indicating fresh to brackish numerous companies and personnel involved. This is
    (seawater is commonly 0.035kg/kg) and therefore essential in order to coordinate the interpretation and
    replicating the low salinities observed during the management of vast quantities of data and synthesise
    geotechnical acquisition. The geological model has them into a format that is easily understandable for
    clearly shown that although the site is currently the licensing process team and the foundation design
    located in the middle of an epi-continental sea, this engineers, all working within the tight timescales set
    has not always been the case. The area was exposed by the overall project development deadlines. These
    to a terrestrial, potentially tundra-like environment requirements necessitate regular communications,
    for the majority of the time during which sediments workshops and a large file transfer protocol (FTP)
    from the foundation zone depths were being site readily accessible by all parties (but secure
    deposited. This depositional environment, combined against misuse). In addition, a clear method for
    with the presence of freshwater pro-glacial lakes and quality assessment and quality control of the many
    outwash channels, might explain the presence of low technical notes being produced as a result of data
    salinity pore water lenses captured between clay interpretation is required.
    seals. However, other hypotheses have also been
    proposed, one of which is the migration of fresh to The survey findings to date have proven to be an
    brackish water along the fracture and thrust plains absolute necessity for a fully calibrated engineering-
    focused 3D understanding of the Dogger Bank
    observed in the seismic dataset. Further analysis is
    development area. Results of studies pursued thus
    required to define the exact source and age of these
    far have confirmed the perceived 3D complexity of
    fresh to brackish water lenses. What is certain is that the area, from both a geotechnical and geological
    their presence must be considered when undertaking point of view. In addition, they will ultimately
    future geotechnical testing of samples. enable the area to be categorised in the full
    geotechnical context required for engineering
    6. Conclusion development. This categorisation will permit
    geotechnical or engineering provinces to be defined
    The large acreage covered by the Dogger Bank wind and refined. It will also enable selected project areas
    farm zone, combined with the vast number of to be optimised and provide engineering data for the

    133
    most cost-effective foundation solution possible. Cameron TDJ, Crosby A, Balson PS, Jeffery DH,
    Without the ongoing and proposed processes, overall Lott GK, Bulat J and Harrison DJ. (1992). United
    development and construction costs for the Dogger Kingdom Offshore Regional Report: The Geology
    Bank area would be significantly higher. of the Southern North Sea. London: HMSO for
    the British Geological Survey, 152pp.
    It is clear that the 3D model being developed for Fitch S, Thomsen K and Gaffney V. (2005). Late
    Tranche A and part of Tranche B is a living work Pleistocene and Holocene depositional systems
    that will grow and evolve as understanding of the and the palaeogeography of the Dogger Bank,
    geo-complexities of Dogger Bank broadens. With North Sea. Quaternary Research 64: 185196.
    further high-resolution datasets still to be acquired, Gaffney V, Thomson K and Fitch S. (eds.). (2007).
    the project partners will continue to assess all new Mapping Doggerland: The Mesolithic Land-scapes
    data against the current model, refine the seismo- of the Southern North Sea. Oxford: Archaeopress.
    and lithostratigraphies and develop comprehension Hubbard A, Bradwell T, Golledge N, Hall A, Patton
    of the relationship between the glacially derived H, Sugden D, Cooper R and Stoker M. (2009).
    sediment deformation and the resulting changes in Dynamic cycles, ice streams and their impact on
    geotechnical properties of the soils. They will also the extent, chronology and deglaciation of the
    assess the different depositional environments for BritishIrish ice sheet. Quaternary Science
    their effect on the physical properties of the soils Reviews 28: 758776.
    and generally gain a better understanding of the Huuse M and Lykke-Andersen H. (2000).
    overall complexities that are the geo challenge of Overdeepened Quaternary valleys in the eastern
    Dogger Bank. Danish North Sea: morphology and origin.
    Quaternary Science Reviews 19: 12331253.
    Acknowledgments Jelgersma S. (1979). Sea level changes in the North Sea
    basin. In: Oele E, Schuttenhelm RTE and Wiggers
    The authors would like to thank Geotechnical A. (eds.). The Quaternary History of the North Sea.
    Engineering and Marine Surveys (GEMS), Gardline Uppsala: University of Uppsala, 233248.
    and Fugro for their assistance in acquiring the Kuhlmann G and Wong TE. (2008). Pliocene
    geophysical and geotechnical datasets. They would paleoenvironment evolution as interpreted from
    3D-seismic data in the southern North Sea, Dutch
    also like to thank Norwegian Geotechnical Institute
    offshore sector. Marine and Petroleum Geology
    (NGI), RPS, BGS and Wessex Archaeology for the
    25: 173189.
    work undertaken so far in processing and
    Praeg D. (2003). Seismic imaging of mid-
    interpreting the preliminary results. Above all, the Pleistocene tunnel-valleys in the North Sea basin,
    authors would like to thank Forewind (Statoil, Journal of Applied Geophysics 53: 273298.
    Statkraft, SSE and RWE npower) for the funding Shennan I, Lambeck K, Flather R, Horton B,
    that has made this work possible. Mcarthur J, Innes J, Lloyd J, Rutherford M and
    Wingfield R. (2000). Modelling western North
    References Sea palaeogeographies and tidal changes during
    the Holocene. In: Shennan I and Andrews J. (eds).
    Boston CM, Evans DJA and Cofaigh C. (2010). Holocene Land-Ocean Interaction and
    Styles of till deposition at the margin of the Last Environmental Change around the North Sea.
    Glacial Maximum North Sea lobe of the British- Special Publications 166. London: Geological
    Irish Ice Sheet: an assessment based on Society, 299319.
    geochemical properties of glacigenic deposits in Stoker MS, Balson PS, Long D and Tappin DR.
    eastern England. Quaternary Science Reviews 29: (2011). An overview of the lithostratigraphical
    31843211. framework for the Quaternary deposits on the
    British Geological Survey (BGS). (1986). 54N 0 United Kingdom continental shelf. British
    California Quaternary Geology 1:250,000 Map Geological Survey Research Report, RR/11/03.
    Series. Keyworth, UK: BGS.
    British Geological Survey. (1991). 55N 0 Swallow
    Hole Quaternary Geology 1:250,000 Map Series.
    Keyworth, UK: BGS.
    BGS and Rijks Geologische Dienst. (1986). 54N
    2E Indefatigable Quaternary Geology 1:250,000
    Map Series. Keyworth, UK: BGS.
    BGS and Rijks Geologische Dienst. (1991). 55N
    2E Dogger Quaternary Geology 1:250,000 Map
    Series. Keyworth, UK: BGS.

    134
    THE ROLE OF ARCHAEOLOGY IN OFFSHORE SITE
    INVESTIGATION FOR RENEWABLE DEVELOPMENTS

    Dr SHL Arnott and Dr PA Baggaley


    Wessex Archaeology, Salisbury, UK

    Abstract
    The importance of mitigating the impact of offshore renewable energy developments and their associated in-
    frastructure on the marine historic environment has been widely recognised by the Crown Estate, developers
    and curators for a number of years. Over the last 15 years offshore renewable schemes have given archaeolo-
    gists access to large areas of seafloor that would not have otherwise been subject to archaeological investiga-
    tion. Marine archaeology is a constantly evolving field, and understanding of it is increasing as more offshore
    developments take place. The initial assessment of the archaeological resource within a development area be-
    gins at the Environmental Impact Assessment (EIA) stage. As the project progresses the archaeological miti-
    gation works are covered by a Written Scheme of Investigation (WSI) setting out the need for further, targeted
    archaeological assessments using data acquired during the site investigation process. This allows archaeolo-
    gists to refine their understanding of what material is present within the development area and to adjust their
    advice accordingly. This paper shows examples of how archaeological sites are identified and studied using
    standard site investigation techniques, along with possible mitigation strategies.

    1. Introduction Wind Research into the Environment (COWRIE),


    2007). The National Policy Statement for Renewable
    Increasingly over the last 15 years, marine planning Energy Infrastructure (Department of Energy and
    within UK waters has routinely considered the po- Climate Change (DECC), 2010) also makes specific
    tential impact of developments on the maritime ar- reference to the potential for historic assets to be im-
    chaeological resource, termed heritage assets or pacted either directly through the physical siting of
    archaeological assets in legislation. These assets any development itself, or indirectly through changes
    range from the remains of vessels, aircraft and asso- to the marine environment (such as scour). These
    ciated debris to historic landscapes, as well as re- publications highlight the need for developers to
    mains deriving from the history of the British Isles demonstrate that such impacts have been considered.
    and its inhabitants exploitation of the sea (Roberts
    and Trow, 2002). English Heritage assumed respon- The UK Marine Policy Statement (MPS) issued in
    sibility for marine archaeology for the first time in March 2011 emphasises, among other objectives, the
    2002, when its remit was extended out to the 12 nau- need to ensure a sustainable environment that pro-
    tical mile limit around England. Recently, the Ma- motes healthy, functioning marine ecosystems and
    rine and Coastal Access Act 2009 makes provision protects marine habitats, species and heritage assets.
    for the protection of archaeological material in both The MPS provides the high-level policy context
    inshore and offshore waters. As a result of the 2009 within which national and sub-national Marine Plans
    Act, as well as the Marine (Scotland) Act 2010 and will be developed. This framework is intended to en-
    the Northern Ireland Marine Bill, new licensing sure consistency in marine planning across the UK
    bodies for marine planning are being introduced marine area. Public authorities taking authorisation
    across the UK that will further increase the protec- or enforcement decisions that affect, or might affect,
    tion of historic assets (HM Government, 2011). the UK marine area are required by the Marine and
    Coastal Access Act 2009 to do so in accordance with
    In addition to new legislation, the offshore renew- the MPS, unless relevant considerations indicate
    able sector in the UK has taken the lead in ensuring otherwise (HM government, 2011).
    that marine archaeology is considered during the de-
    velopment of schemes, with the production of the The MPS section on the historic environment de-
    Historic Environment Guidance for the Offshore Re- fines the approach that should be taken to heritage
    newable Energy Sector (Collaborative Offshore assets during marine planning. During the develop-

    135
    ment and implementation of Marine Plans, the avail- of the EIA. This includes the identification of miti-
    able evidence in relation to the significance of any gation measures where significant effects are antici-
    identified heritage assets (or the potential for such pated. Consequently, decisions regarding consent,
    assets to be discovered) should be taken into ac- and any conditions that are to be attached to it, can
    count. Consideration should also be given as to how be expected to take account of any likely significant
    they are managed. The MPS states that the marine effects on the historic environment identified by
    plan authority, working with the relevant regulator EIA, including the mitigation that is proposed. There
    and advisors, should adopt a general presumption in is the specific requirement to address the historic en-
    favour of the conservation of designated heritage as- vironment the architectural and archaeological
    sets within an appropriate setting. heritage and landscape as part of the EIA. The re-
    quirements of EIA are defined in the European
    This growing legislative framework has led to ar- Council Directive on Environmental Assessment
    chaeological contractors, as part of a developers 85/337/EEC (amended in 1997 by Directive
    project team, developing methodologies to rapidly 97/11/EC). The Directive has been incorporated into
    assess the likely presence of archaeological assets UK law through a series of regulations and policies.
    that may be affected by a development. This ar- In practice, EIA has rapidly emerged as the central
    chaeological advice begins with the Environmental process for considering the historic environment for
    Impact Assessment (EIA) to help avoid important all the foregoing reasons, as well as for satisfying
    assets. It then continues through the construction EIA regulations themselves (COWRIE, 2007).
    phase of the development to help mitigate chance
    discoveries. Finally, archaeological contractors are During this stage of a development, it has become
    also involved in the post-construction monitoring of common both for geophysical data to be acquired,
    developments, to assess how any changes in the and for this to be assessed for the presence or ab-
    physical environment may be affecting known ar- sence of archaeological material. This assessment
    chaeological sites. can be correlated with the results of an archaeologi-
    cal desk-based assessment in order to characterise
    2. Archaeology and the Planning Process the archaeological resource within an area.

    The dynamic character of the marine environment 2.2 Written scheme of investigation
    and the lower baseline of archaeological knowledge Once a development scheme has been given plan-
    at sea mean that the level of unspecified risk of ar- ning consent, a Written Scheme of Investigation
    chaeological discoveries is generally higher on the (WSI) needs to be prepared. Historically used in ter-
    seafloor than on land. In contrast, the construction restrial planning to secure mitigation measures, the
    teams flexibility in the event that a significant site is use of WSIs has transferred successfully to the ma-
    discovered is generally lower on the seafloor than rine sphere. In recent years, WSIs have become a
    land. The possible effects of an offshore renewable common means of securing archaeological mitiga-
    energy scheme on the historic environment may be tion for marine development. They provide details of
    considered by regulators in determining whether to the archaeological actions required by consent, thus
    give consent, or what conditions might apply. The precluding the need to include such details within
    presence of archaeological assets may have implica- the consent itself. WSIs are commonly used in land-
    tions for the design of a scheme, either because addi- based archaeology, invoked by conditions on plan-
    tional statutory consents are required, or because of ning consents, and they have found increasing use in
    the constraints they place on construction. There is consenting offshore renewables and other marine
    also the risk of incurring costs and delays as a result schemes. They are living documents that can be
    of unexpectedly discovering an important archaeo- reviewed and revised through agreement between the
    logical site in the course of construction. This possi- developer and the regulator. As such, they are espe-
    bility is likely to be an incentive to careful consid- cially suitable for adapting archaeological measures
    eration of the historic environment when developing to reflect the results of new data or surveys (Crown
    a scheme (COWRIE, 2007). Estate, 2010a).

    2.1 Environmental impact assessment Guidance for producing WSIs is provided in the
    In the course of developing applications, the poten- document Model Clauses for Archaeological Written
    tial impact of the development on the marine historic Schemes of Investigation: Offshore Renewables Pro-
    environment has to be addressed through the process jects (Crown Estate, 2010a). This document makes

    136
    many references to a retained archaeologist, and an made to legal and other requirements in respect of
    explanation of this role is outlined in section 2.2.1. wreck, aircraft, human remains and ordnance
    Some of the model clauses are included in the fol- (Crown Estate, 2010a).
    lowing summaries of the themes covered by an ar-
    chaeological WSI in sections 2.2.2 to 2.2.8. 2.2.4 Archaeological exclusion zones
    Archaeological best practice states that the preferred
    2.2.1 Retained archaeologist approach to the presence of potential archaeological
    The developer is responsible for implementing the sites is to preserve in situ or preservation by re-
    conditions attached to the consent for the develop- cord (COWRIE, 2007). Archaeological exclusion
    ment. This includes the archaeological WSI, and any zones (AEZ) are aimed at mitigating sites by avoid-
    other archaeological obligations relating to the re- ance. These are agreed between the developer and
    quirements of the regulator. The developer should archaeological curators and will be the principal
    retain the services of a suitably qualified and experi- means used to preserve in situ any features or depos-
    enced archaeologist operating with the backing of an its of known or potential archaeological interest. The
    established archaeological organisation (the retained Offshore Renewables Protocol for Archaeological
    archaeologist). This is to ensure the effective imple- Discoveries (see section 2.3 of this paper; Crown Es-
    mentation of the archaeological WSI and any other tate, 2010b) provides for temporary exclusion zones
    commitments in relation to archaeology in delivering (TEZ) to be introduced when discoveries are made.
    the development. The TEZ may be lifted following advice, or may
    form the basis of an AEZ in the event that further
    2.2.2 Archaeological recording, reporting, data man- disturbance should be avoided.
    agement and archiving
    Each package of archaeological works is subject to a The developer will require its contractors to conduct
    method statement that is consistent with the all construction activity in a way that prevents any
    scheme-specific WSI and the model clauses. Method impacts by construction or related works within any
    statements are to be prepared for the developer by ei- AEZs. This includes impacts from plant and equip-
    ther the retained archaeologist, or the archaeological ment that is not directly engaged in construction. Al-
    contractors monitored by the retained archaeologist though AEZs are fixed, provision is made for their
    on behalf of the developer (Crown Estate, 2010a). A alteration following appropriate archaeological in-
    WSI must include details of provision for, and the vestigation and consultation, if this becomes neces-
    methods of, the following: sary before or during construction.
    x indexing and recording systems;
    2.2.5 Marine geophysical investigations
    x data management; The specification of any proposed further marine geo-
    x position fixing and levelling; physical surveys whose primary aim is non-
    x reports; archaeological in nature will be subject to advice from
    x post-fieldwork assessment; the retained archaeologist. This is to ensure that ar-
    x analysis and publication; and chaeological input is provided at the planning stage
    x archiving. and will enable archaeological considerations to be
    taken into account without compromising the primary
    2.2.3 Archaeological samples and artefacts objective of the survey. Where a survey is carried out
    Deposits (i.e. sediments) of archaeological/histori- primarily to meet archaeological objectives, it will be
    cal/cultural interest that do not comprise artefactual done by a survey company with the appropriate ar-
    remains will not be considered to be finds, but may chaeological expertise and will include geophysicists
    be subject to sampling. Any artefactual material sub- with appropriate archaeological expertise onboard.
    sequently discovered in the course of processing
    such samples would be treated as finds thereafter. Where archaeological objectives have been added to
    For each programme of archaeological work, envi- a non-archaeological survey (e.g. engineering or en-
    ronmental sampling strategies and methods includ- vironmental), consideration will be given to having
    ing those for processing, assessing and/or analysing an archaeologist or geophysicist with appropriate ar-
    samples are to be set out in the method statement chaeological expertise onboard during the acquisi-
    for the archaeological work. Generic requirements tion of data. The onboard archaeologist will advise
    for handling, labelling, packaging and storing sam- on the suitability, for archaeological purposes, of the
    ples and artefacts are included. Reference is to be data being acquired and will be able to propose,

    137
    through communication with the retained archaeolo- neering, ecological or other non-archaeological
    gist, minor changes to the survey method, equipment purposes, the developer will seek archaeological
    settings, etc. in order to optimise archaeological re- input at the planning stage of the survey. The sur-
    sults, and thereby minimise the need for repeat sur- vey specification will be informed by previous
    veys (Crown Estate, 2010a). stages of the project, including any documentary
    studies, geophysical assessments and geotechnical
    2.2.6 Marine geoarchaeological investigations analyses so that archaeological considerations can
    The specification of any proposed geotechnical sur- be taken into account (Crown Estate, 2010a). Fol-
    veys will be subject to advice from the retained ar- lowing the completion of a non-archaeological
    chaeologist to ensure that archaeological input is diver/ROV survey, all data, including video foot-
    provided at the planning stage and to enable archaeo- age, will be reviewed by an archaeological contrac-
    logical considerations to be taken into account. The tor with appropriate expertise.
    geotechnical specification will also be informed by
    any previous stages of work, for example archaeo- Archaeological diver or ROV-based investigations
    logical interpretation of geophysical data (Crown Es- will take place where the primary objectives are ar-
    tate, 2010a). chaeological and the diving is led by archaeolo-
    gists. These investigations may be required where
    Archaeological curators will be consulted regarding clarification is sought in order to confirm or alter
    the proposed locations of geotechnical work, and re- existing TEZs or AEZs, or where it is not possible
    sults of each stage of investigation will be provided. to protect an archaeological site through the use of
    A structured approach will be taken for any neces- an AEZ.
    sary archaeological analysis of the material obtained
    2.2.8 Archaeological watching briefs
    to satisfy the requirements of the archaeological cu-
    A watching brief is a formal programme of ar-
    rators for delivery of the required mitigation meas-
    chaeological monitoring. It will involve attendance
    ures. Consultation will be held between the archaeo-
    by an archaeological contractor during ground-
    logical contractor (and retained archaeologist) and
    works in the terrestrial or inter-tidal zone, during
    the contractor undertaking geotechnical investiga-
    offshore obstruction clearance and other activities
    tions, in order to enable the relevant samples to be
    associated with the scheme (Crown Estate, 2010a).
    retained for geoarchaeological analysis (Crown Es-
    It is not cost-effective or practicable for a watching
    tate, 2010a). Sediments of Pleistocene and Holocene
    brief to be held throughout the full construction
    age are particularly of interest for archaeology.
    process of an offshore development. An archaeolo-
    The retained archaeologist will review bore- gist will attend development activities that are op-
    hole/vibrocore/cone penetration test (CPT) logs on erating in areas considered to be of medium or high
    completion of the geotechnical investigations carried archaeological potential, as defined by the relevant
    out by the geotechnical contractor. If the review of curator. The watching brief will allow for either
    logs identifies sedimentary horizons with archaeo- constant or intermittent monitoring as appropriate,
    logical potential, a selection of core samples will be based on the requirements of the scheme-specific
    split and recorded archaeologically for a range of pa- WSI and method statements. In areas of low poten-
    laeo-environmental indicators and dating material. tial (where monitoring does not take place), a Pro-
    Archaeological recording may identify sedimentary tocol for Archaeological Discoveries (PAD) will be
    horizons with the potential for the preservation of in operation.
    palaeo-environmental evidence. If so, sections of
    core containing such evidence will be sub-sampled 2.3 Protocol for Archaeological Discoveries
    for environmental indicators (such as plant macros, PADs are systems of monitoring for unexpected or
    pollen, diatoms, ostracods and foraminifera) and for incidental finds relating to the historic environment.
    scientific dating. They have come into use predominantly in the ma-
    rine sphere, where construction tends to be a 24hr
    2.2.7 Diver/remotely operated vehicle investigations operation, involving multiple vessels, and where
    Investigations by divers or a remotely operated ve- conventional watching briefs (routinely used in the
    hicle (ROV) may be made for either archaeological terrestrial sector) are not cost-effective (Crown Es-
    or non-archaeological purposes. In order to maxi- tate, 2010b). They are recommended in the Historic
    mise the potential benefits of any proposed Environment Guidance for the Offshore Renewable
    diver/ROV surveys undertaken primarily for engi- Energy Sector (COWRIE, 2007).

    138
    geophysical data were acquired to support the de-
    A PAD is specific to archaeology and should be used tailed design of the proposed offshore wind farm and
    at all stages of the development process where ar- to assess the turbine locations with regard to seabed
    chaeological information may be obtained. This in- obstructions/features (including UXOs), as well as
    cludes all pre-development surveys, such as benthic seabed habitats and sediments.
    sampling, obstruction surveys and other such opera-
    tions. It should be noted that a PAD is a safety-net Wessex Archaeology was required to process and in-
    only exercise. Anticipated scheme impacts on the terpret geophysical data covering the proposed loca-
    historic environment will have been taken into ac- tions for geotechnical site investigations to satisfy
    count prior to consent and, wherever possible, dealt the conditions of the WSI. The data were assessed by
    with either in advance or by the implementation of Wessex Archaeology to determine the presence of
    an archaeological WSI. The PAD in no way detracts any objects of potential archaeological interest, and
    from the basic tenet that impacts on the historic en- by the survey company to detect UXOs and seabed
    vironment should be considered and addressed in the obstructions, or features that would impact on the
    earliest stages of the development process. drilling process. Anomalies and features flagged by
    the two assessments differ owing to the specific
    PADs have been used very effectively in other in- types of features targeted for different purposes. Al-
    dustries most notably the Marine Aggregate Indus- though some features can be reported by both as-
    try (MAI) Protocol used in the aggregate dredging sessments, the interpretations may vary as can the
    sector (British Marine Aggregate Producers Associa- positions, because of different parts of a feature be-
    tion (BMAPA) and English Heritage, 2005). To ing used to provide the position data. Following on
    date, more than 650 individual finds have been in- from this geophysical review, divers investigated a
    vestigated as a result of more than 200 reports, such number of sites interpreted as potentially of archaeo-
    as the important lithic tool assemblages found in logical interest, or possibly containing UXOs, during
    dredging licence area 240. These discoveries are a series of ground-truthing investigations.
    helping to directly inform the advice given to indus-
    try by the archaeological curators. A number of 3.1 Aims and objectives
    previously unknown archaeological sites have been The aim of the investigation was to perform the ar-
    recognised due to assemblages and artefacts chaeological interpretation of the sections of marine
    reported through the MAI Protocol. Details of the geophysical data collected from the borehole loca-
    MAI Protocol and the important discoveries tions. The objectives were as follows:
    that have been made can be found at
    www.wessexarch.co.uk/projects/marine/bmapa. The x to characterise the borehole location areas
    MAI Protocol has proven to be a cost-effective miti- and to develop conclusions on the pres-
    gation measure with huge benefits for industry and ence/absence, extent and form of material of
    the protection of local heritage. archaeological interest based on the interpre-
    tation of the geophysical data;
    3. Case Study: Site Investigation at an Offshore x to minimise the risk in terms of damage to ar-
    Wind Farm chaeology caused by the proposed geotechni-
    cal investigations;
    In 2011 Wessex Archaeology provided the archaeo- x to minimise the risk of costs or delays in-
    logical assessment of geophysical data for an off- curred by the developer either through dam-
    shore wind farm site prior to the drilling of bore- age to equipment through contact with sub-
    holes for geotechnical site investigations. The stantial archaeological material, or through
    geophysical data acquired consisted of high- the required mitigation associated with the
    resolution sidescan sonar and magnetometer data, in- discovery of an important archaeological site
    tended for detection of unexploded ordnance (UXO), during the operations.
    and multibeam bathymetry data. The data were ac-
    quired in corridors covering several turbine positions 3.2 Geophysical review methodology
    each. Wessex Archaeology was commissioned to Wessex Archaeology was required to process side-
    undertake geophysical assessment of the main tur- scan sonar and magnetometer data that covered
    bine base locations subject to, and in advance of, boxes measuring 120 120m and centred on each
    geotechnical borehole survey. A borehole was to be proposed borehole location. Instead of each borehole
    drilled at each of the proposed turbine locations. The location box being surveyed individually, the boxes

    139
    were surveyed in corridors with 7 lines at 10m spac- and southern rig positions. The buffers enabled
    ing acquired in each and an additional 3 cross-lines nearby sites that are not centred in the leg or moon
    at each borehole location. Such dense line spacing pool locations, but that may extend into them to be
    resulted in high-resolution magnetometer coverage, highlighted as likely to be impacted.
    which is required for UXO surveys.
    3.3 Geophysical results
    To provide the client with as specific and detailed an A total of 51 sites of potential archaeological interest
    assessment as possible, Wessex Archaeology re- were noted within the borehole location boxes. Only
    quested the details of the drilling rig and procedure anomalies with their centre point within the boxes
    to be implemented. An AutoCAD drawing of the rig were included. Those that had their centre point just
    was provided with the positions of the jack-up legs outside, but could extend inside, were excluded.
    and moon pools indicated. The boreholes were to be This was done on the basis of information from the
    drilled using the rig aligned north-south and with the client stating that only features at the drilling rig lo-
    port moon pool centred over the borehole location. cation were likely to be impacted. Of the 51 sites
    Further information was given that the rig may be within the borehole location boxes, only 20 were
    positioned either way round, that is, with the bridge covered by the rig positions. Of these, nine were
    at the northern or southern end. Wessex Archaeology found within leg buffers, five of which were in the
    had to determine the positions of the legs and moon northern rig position and the other four in the south-
    pool relative to the borehole location with the rig in ern rig position. All of the affected boreholes had
    either orientation. Buffers then had to be applied to sites covered by leg buffers in only one rig position.
    account for the inaccuracy in positioning of the rig There were 10 sites covered by the buffered rig posi-
    and the geophysical data. This process is illustrated tions that were not covered by the leg buffers. All
    in Figure 1. but a single site were covered by one rig position
    only. In addition, a single site was situated within the
    Figure 1a shows a simplified version of the Auto- moon pool buffer of a drilling rig location.
    CAD drawing of the drilling rig, with the positions
    of the moon pool and legs highlighted. The rig is Although none of the anomalies identified were
    shown here in the northern position with the bridge classified as being of certain archaeological inter-
    to the southern end, and the majority of the rig ex- est, they were all of potential archaeological origin.
    tending to the north. Figure 1b shows both possible It was therefore recommended that action was
    orientations of the rig. In both orientations the moon taken to avoid impact on these anomalies where
    pool is at the borehole location. Both the sets of leg possible. All of the anomalies located within the rig
    positions and the moon pool position were buffered leg buffers could be avoided by simply ensuring
    by 7m. This value was made up of two elements. that a particular rig orientation was used. For those
    First, the dynamic positioning of the rig was stated anomalies covered by leg buffers in the southern rig
    to be accurate to within 2m. Second, to take into ac- position, the northern rig position could be used
    count the uncertainty in the accuracy of the geo- and vice versa.
    physical data positioning an additional 5m was in-
    cluded. The uncertainty was due to the lack of details A single anomaly was situated within a moon pool
    of the accuracy of the ultra-short baseline (USBL) buffer, and hence changing the orientation of the rig
    system used for positioning the geophysical survey would not alter the impact on the anomaly. This
    equipment. anomaly could only be avoided by drilling the bore-
    hole in a different location. However, when doing so
    In addition to the two possible orientations of the rig, the presence of other anomalies at the locations of
    a further factor influencing its positioning is the the legs of the rig in this new position would need to
    heading. The rig can be positioned with an accuracy be assessed. Alternatively, if the location of the
    in its heading of 11. This variation is shown in borehole could not be altered, it was recommended
    Figure 1c, giving the resulting variation in the leg that the site of the anomaly be surveyed by diver or
    buffers and buffered rig position. Only the northern ROV prior to installation of the drilling rig. Such in-
    rig orientation is shown in this figure for clarity. The vestigation should include support from a suitably
    effect on the southern rig position is a mirror image experienced marine archaeologist to identify the
    of this, swung through 180 with the axis of rotation source of the anomaly, and to characterise and estab-
    centred on the moon pool. The resulting, simplified lish its importance if it proves to be of archaeologi-
    buffers are shown in Figure 1d for both the northern cal origin.

    140
    Figure 1: Determination of buffers used to assess the impact of the proposed drilling rig positions on sites of potential archaeologi-
    cal interest: (a) rig aligned north-south with the bridge to the southern end; (b) both possible orientations of the rig; (c) variation
    in rig position and buffers resulting from accuracy in rig heading of 11 (only northern orientation shown); and (d) simplified
    buffers for both the northern and southern rig positions

    141
    This particular anomaly was only detected in the mine if it was free from a magnetic signature. Where
    magnetic data. No object was seen on the seabed at potentially archaeological material was encountered,
    this location in the sidescan sonar data. It was there- the find was immediately reported by the developer
    fore presumed to be buried within the seabed sedi- to Wessex Archaeology. Advice was then given to
    ment. the client on the actions necessary in the circum-
    stances of the discovery.
    The possible archaeological sites outside the drilling
    rig leg buffers, but still within borehole location
    boxes, are less likely to be impacted by the actions
    of drilling. However, they should be taken into ac-
    count during planning and the installation phase of
    the turbine bases to avoid impacts to these features.

    3.4 Products
    A summary gazetteer of all sites of archaeological
    potential was produced with full details given of the
    dimensions and appearance of each site. Detailed in-
    formation on the coverage or otherwise of the site by
    either the northern or southern rig position, leg buff-
    ers or moon pool buffer was included. This allowed
    the client to clearly distinguish those sites that were
    at greatest risk of impact during the proposed drill-
    ing operations. For each borehole location box, a
    data sheet was produced for each type of data within
    which features of archaeological interest were inter-
    preted. A large image of the magnetometer or sides-
    can sonar data was overlain with the outline of the
    borehole location box (smaller examples are shown Figure 2: Magnetometer data over a borehole location box,
    in Figures 2 and 3). The rig positions and buffers overlain with the drilling rig buffers and positions of anomalies
    were also shown, along with the positions of all sites interpreted as sites of archaeological potential
    of archaeological potential. This enabled the client to
    clearly see the impact of each orientation of the drill-
    ing rig on the sites. Full details of each anomaly con-
    tained within the borehole location box were also
    given.

    3.5 Ground-truthing
    Wessex Archaeology conducted an archaeological
    review of the ground-truthing survey of anomalies at
    the turbine base locations subject to, and in advance
    of, the geotechnical borehole survey. The anomalies
    were investigated as part of UXO diving investiga-
    tions, and reports of possible archaeological material
    encountered were made to Wessex Archaeology.
    Diving survey data consisting of still and video im-
    ages, diver track plots and reported results from the
    investigation of geophysical anomalies surrounding
    11 proposed borehole locations were assessed by
    Wessex Archaeology.

    All divers employed an Aquascan DX200 handheld


    magnetometer. Wherever it was safe and practicable Figure 3: Sidescan sonar data over a borehole location box,
    to do so, boulders or rocks with a magnetic signature overlain with the drilling rig buffers and positions of anomalies
    were moved, and the area was re-scanned to deter- interpreted as sites of archaeological potential

    142
    Still and video images acquired by the diving con- measuring 58nT (Figure 2). The object is described
    tractor were interpreted by Wessex Archaeology for as a small anchor measuring 0.6 0.1 0.1m with
    potential cultural heritage and archaeological mate- spade flukes and is probably of the admiralty or
    rial. Diver reports and track plots were also assessed, fishermans pattern. It appears to be heavily cor-
    and the results were compared with the geophysical roded based on the images provided. The size of this
    interpretation of the borehole locations. The data anchor would indicate it belonged to a small vessel
    provided by the diving investigations were also and is probably 19th century in date, although it is
    compared with the recent and historic geophysical difficult to come to any firm conclusions with the in-
    assessments undertaken in the development area by formation available. It is possible it is from one of
    Wessex Archaeology. Any material could then be the ancillary boats of a larger vessel.
    potentially linked to known or potential wrecks in
    the vicinity of the discovery, where they existed. 3.6.2 Item 2
    This object was discovered following a diver survey
    A total of 15 sites of potential archaeological interest of a magnetic anomaly with a magnetic amplitude
    were reviewed at 11 turbine locations. Only sites at measuring 79nT. The object described by the divers
    drilling rig locations that were likely to be impacted is constructed of iron or steel, and measures ap-
    were investigated. Those for which impact could be proximately 0.7 0.7 0.2m. Although most of the
    avoided by accurate positioning of the drilling rig object was buried, the diver was able to establish ap-
    were not dived. Six discoveries of archaeological in- proximate size using a handheld magnetometer. The
    terest were made, along with two that remain of po- object had chain link attached to it and was de-
    tential interest. Of the discoveries of archaeological scribed as heavily corroded. The corroded and con-
    interest, four were left in situ and will be avoided creted nature of the discovery indicates that it has
    during the site investigation and construction phases, been on the seabed for a considerable time. The size
    one was moved away from any proposed develop- and general description of this find is consistent with
    ment impact, and one was recovered to the surface mine bases that were laid in the North Sea during
    for archaeological interpretation. Following assess- hostilities with Germany between 1914 and 1918.
    ment of the data resulting from the diving investiga-
    tion, Wessex Archaeology then gave advice to the 3.6.3 Item 3
    client on appropriate follow-up actions. Subsequent This object was discovered following a diver survey
    to these ground-truthing investigations, geotechnical of a magnetic anomaly with an amplitude of 133nT.
    data were acquired to support the detailed design of The item consists of composite iron and wood, with
    the proposed offshore wind farm and to assess the a toothed iron ring and wooden barrel coming off
    turbine locations with regard to engineering and con- the ring. It is heavily corroded. The object was ini-
    struction concerns. tially identified as a possible torpedo tail section by
    the diver. However, on recovery it was clear that it
    3.6 Ground-truthing results was not explosive ordnance related, and it was sent
    The diving investigation of anomalies led to the dis- to Wessex Archaeology for archaeological assess-
    covery of six items that are considered to be of an ment. The object was assessed to be part of a pump-
    archaeological nature (discussed in the following break windlass mechanism (the pawl rim and one
    sections). A further two anomalies were classified as barrel) of 19th century date. Windlasses are horizon-
    of possible archaeological origin. These were mag- tal winding mechanisms for heavy lifting tasks, such
    netic anomalies that were detected by the divers, but as weighing anchor, and would have been a standard
    for which no source could be found. It is likely that item on most sailing vessels (Stone, 1993).
    the causative objects were buried in the seabed and
    were therefore not accessible to the surveying diver. 3.6.4 Items 4, 5 and 6
    These anomalies are likely to represent further debris These objects were discovered following a diver
    associated with the debris field of a nearby known survey of sidescan and magnetic anomalies, with a
    wreck. In addition, two sites were shown to be metal large magnetic amplitude measuring 3222nT. Figure
    items of non-archaeological interest. A further five 3 shows the sidescan data and locations of the
    sites were discovered to be natural in origin. anomalies. The main object, Item 4, was described
    by the divers as a large anchor measuring 2.6 0.2
    3.6.1 Item 1 0.2m and of the admiralty or fishermans pattern. It
    This object was discovered following a diver survey appears to be corroded, based on the images pro-
    of a magnetic anomaly with a magnetic amplitude vided, and has clearly been on the seabed for some

    143
    time. The additional anomalies, Items 5 and 6, UXO and archaeological investigations, archaeolo-
    proved to be anchor chain and other debris appar- gists are proving to be an integral and cost-effective
    ently associated with the anchor. part of the site investigation process. Ground-
    truthing of archaeological interpretations as part of
    3.7 Mitigation the site investigation process is crucial to increasing
    Four of the discoveries of archaeological significance archaeological knowledge of the area under investi-
    (Items 1, 2, 5 and 6) were geographically recorded and gation. In addition, it is proving to be vital towards
    left in situ. The windlass (Item 3) was recovered to improving the accuracy of future archaeological in-
    Wessex Archaeology for archaeological interpretation terpretations of geophysical data both for site inves-
    and recording. The large anchor (Item 4) was reposi- tigation purposes and other objectives.
    tioned, due to engineering constraints and following
    prior consultation with the retained archaeologist Acknowledgments
    (Wessex Archaeology) to a drop location outside of
    the construction zone. It was reported under the PAD The authors would like to thank our client for the
    (Crown Estate, 2010b) as it was lifted, but it was not permission to include, anonymously, the case
    recovered for archaeological assessment. study.

    References
    Where objects are left in situ, it is recommended that
    they are avoided during future development and con- British Marine Aggregate Producers Association
    struction activities. For this purpose, a buffer of 50m (BMAPA) and English Heritage (EH). (2005).
    was recommended to be applied to project charts and Protocol for the reporting of finds of archaeo-
    navigation software. This would help facilitate the logical Interest. Prepared by Wessex Archae-
    avoidance of impacts on these sites during installa- ology. London: BMAPA and EH. Available at
    tion. This also applied to the two anomalies that re- www.wessexarch.co.uk/projects/marine/bmapa/
    mained of potential archaeological interest. The pos- arch-interest.html, accessed on 7 July 2012.
    sible archaeological sites outside the area of Collaborative Offshore Wind Research into the En-
    immediate impact posed by site investigations, but vironment (COWRIE). (2007). Historic Environ-
    still within borehole location boxes, are less likely to ment Guidance for the Offshore Renewable En-
    be impacted by the actions of drilling. However, they ergy Sector. Prepared by Wessex Archaeology.
    will still be taken into account and circumvented dur- London: The Crown Estate.
    ing planning and installation phases of the turbine Crown Estate. (2010a). Model Clauses for Archaeo-
    bases or cables to avoid impacts to these features. logical Written Schemes of Investigation: Off-
    shore Renewables Projects. Prepared by Wessex
    4. Discussion Archaeology. London: The Crown Estate.
    Crown Estate. (2010b). Protocol for Archaeological
    The consideration of the UKs archaeological assets Discoveries: Offshore Renewables Projects. Pre-
    is now routinely undertaken during the development pared by Wessex Archaeology. London: The
    of offshore renewable schemes, which begins during Crown Estate.
    the planning process and continues to the construc- Department of Energy and Climate Change (DECC).
    tion phase and post-construction monitoring. As (2010). Revised Draft National Policy Statement
    such, archaeological input is required both prior to for Renewable Energy Infrastructure (EN-3).
    and post consent being granted. The archaeological London: The Stationery Office.
    assessment of geophysical data is the key to provid- HM Government. (2011). UK Marine Policy State-
    ing cost-effective archaeological advice in order to ment. London: The Stationery Office, 47pp.
    reduce the risk of chance discoveries, which may Roberts P and Trow S. (2002). Taking to the Water:
    adversely impact the scheme in terms of increased English Heritages Initial Policy for the Man-
    costs and delays to the construction programmes. agement of Maritime Archaeology in England.
    London: English Heritage. Available at
    This paper has provided particulars of the level of www.english-heritage.org.uk/publications/taking-
    detail of archaeological input that can be provided at to-the-water, accessed on 7 July 2012.
    the site investigation stage. This is often conducted Stone DL. (1993). The Wreck Divers Guide to Sail-
    using geophysical data which is primarily acquired ing Ship Artefacts of the 19th Century. Vancou-
    for UXO assessments. By achieving such synergies ver: Underwater Archaeological Society of Brit-
    between high-resolution geophysical surveys for ish Columbia, 94pp.

    144
    EVIDENCE OF TERTIARY INTRUSIVE ROCK AT THE WEST OF
    DUDDON SANDS OFFSHORE WIND FARM

    MA Liingaard and M Mygind


    DONG Energy A/S, Fredericia, Denmark
    S Thomas and M Clare
    Fugro GeoConsulting Ltd, Wallingford, UK
    A Pickles
    Arup, Leeds, UK

    Abstract
    The West of Duddon Sands Offshore Wind Farm is located in the Irish Sea off the English coast. The site is
    currently being developed by a joint venture between Scottish Power Renewables and DONG Energy. During
    the site maturation phase the interpretation of geophysical survey data revealed localised bedrock cropping out
    close to seabed in the southern part of the site. This outcropping bedrock influenced the layout of the site and
    was identified as intrusive igneous rock of Tertiary age. A variety of different site investigation methods were
    used to identify the intrusive igneous rock, ranging from seismic profiling and magnetic gradiometer to in situ
    sampling and testing, and onshore laboratory testing. Due to the extensive heat impact of the intrusion, the
    mechanical properties of the surrounding native rock formation (Mercia Mudstone Group) have been altered.
    This metamorphic evidence has been detected up to ~250m from the intrusions.

    1. General Instructions During the initial feasibility phase, the wind turbines
    were distributed evenly across the site in a rectangu-
    The West of Duddon Sands (WDS) Offshore Wind lar pattern. However, during the concept develop-
    Farm is located in the Irish Sea off the English coast, ment phase, the interpretation of the geophysical
    close to Walney Island (Figure 1). The site is catego- survey data revealed localised bedrock cropping out
    rised as a Round 2 site by the Crown Estate and is close to the seabed in the southern part of the site.
    currently being developed by a joint venture between The bedrock was identified as intrusive igneous rock
    Scottish Power Renewables and DONG Energy. The of Tertiary age. As the preferred foundation type for
    the site was driven large-diameter monopiles with
    wind farm is part of an East Irish Sea cluster of off-
    transition pieces, the areas with shallow depth from
    shore wind farms, including Walney (DONG En- seabed to bedrock were circumvented in the final
    ergy, Scottish and Southern Energy, and OPW), Or- layout to avoid time-consuming large-diameter drill-
    monde (Vattenfall) and Barrow (DONG Energy and ing and potential pile driving refusal (Figure 1).
    Centrica).

    Figure 1: Location of the West of Duddon Sands Offshore Wind Farm in the East Irish Sea. The map includes the Walney,
    Ormonde and Barrow sites, and the final layout of the site is shown to the right

    145
    2. Origin of Intrusive Igneous Rock The main evidence for igneous activity in the Irish
    Sea basin is provided by dike swarms, such as the
    Subsurface intrusions of igneous rock may occur in Fleetwood Dyke Group (Jackson et al., 1995), al-
    volcanic or near-volcanic settings, where overpres-
    though intrusions in the form of extensive sill com-
    sure exists in a deep growing magma chamber.
    Overpressure often leads to fracture of the chamber plexes also occur. Mapping from aerial magnetic
    walls and expulsion of pressurised gas and magma, surveys suggests that the Fleetwood Dyke Group is
    which force their way through the overlying country up to 600m wide, trends west-north-west for ~50km
    rock. The nature of igneous intrusions is typically and features a sharp northerly dip (Figure 3). The
    governed by discontinuities within the country rock, age of the emplacement of the Fleetwood Dyke
    and may exploit bedding planes to form a sill. Alter- Group is ~61.565.5 million years BP based on
    natively, it may vertically cross-cut the bedding K-Ar whole-rock dating (Evans et al., 1973), which
    along fault planes and form a dike (Figure 2). Where is similar in age to onshore equivalents from North
    the surrounding country rock is cool enough, at some Wales.
    distance from the heat source, these molten dikes
    and sills will freeze in situ, preserved as highly
    Geophysical and well data from block 113/27 to the
    competent igneous rock. Intrusion of igneous mate-
    rial within sedimentary rocks often results in modifi- west of the WDS site provide the evidence for igne-
    cation by metamorphism of the sedimentary rock ous intrusions as a series of vertical and inclined
    upon contact with the intruded body. Deposits that dykes composed of microgabbro, also known as
    are in close contact with the intruded igneous body dolerite (Arter and Fagin, 1993). Igneous rock is also
    may be altered with regard to physical properties, interpreted to have penetrated into the Mercia Mud-
    structure and mineralogy. The extent of modification stone to create large bodies of igneous material that
    can only be determined by sampling of such material are parallel to bedding, forming sills to the west of
    close to the margins of an intruded structure. the WDS site in quadrant 113 (Arter and Fagin,
    1993). These sills are shown in Sherritt (2009) and
    3. Regional Geological Evidence of Intrusive
    sketched in Figure 3. Jackson et al. (1995) suggest
    Igneous Rock
    that these sills occur at depth and are not clearly
    The opening of the northeast Atlantic in the late Pa- visible on seismic records.
    leocene, at ~56 million years BP, resulted in rifting,
    increased thermal activity and associated volcanic The distribution of the Cardigan Bay Till deposits at
    activity in northern and western Britain (Dewey and the WDS site, and to a lesser extent the more recent
    Windley, 1988). Effects of these processes are ob- Quaternary sediments, was largely controlled by the
    served in the present-day bedrock of the Irish Sea, influence of the bedrock profile on advancing and re-
    including folding, faulting within the Mercia Mud- treating ice sheets. The highly competent pinnacles
    stone Group (a sequence of reddish brown silty clay- of igneous bedrock may have provided resistance to
    stones featuring evaporite interbeds) and intrusions glacial erosion, whereas the less competent Mercia
    of igneous rock. Mudstone may have provided an easier path for ice
    movement. The localised erosion of Mercia Mud-
    stone therefore created in a depocentre for infill by
    glacial and glaciomarine sediments (Figure 4a).

    4. Site Investigations at West of Duddon Sands

    The initial phase of investigations at WDS included


    a bathymetric and geophysical survey, which was
    performed in 2005 for the WDS wind farm site, and
    a proposed export cable route to shore. Data
    acquired included bathymetric (multibeam echo-
    sounder and sidescan sonar), sub-bottom (pinger
    and chirp) and magnetic (magnetic gradiometer)
    datasets. During this survey, various magnetic
    Figure 2: Conceptual schematic to show country rock, such as anomalies were identified that were deemed too
    Mercia Mudstone, (a) prior to intrusion; and (b) post-
    intrusion. Features such as dikes (cross-cutting bedding) and large to be related to wrecks or unexploded ord-
    sills (parallel to bedding) are annotated. Red arrows indicate nance (UXO), and were therefore categorised as
    direction of intruding igneous rock geological phenomena.

    146
    Figure 3: Magnetic anomalies in the vicinity of WDS; anomalies in red and blue colours are inferred from maps given in Jackson et
    al. (1995) and Sherritt (2009), respectively

    Figure 4: (a) Annotated Boomer profile highlighting geophysical interpretation of igneous intrusion; (b) magnetic gradiometer
    plot); and (c) example core photographs of bedrock type

    147
    A more detailed geophysical survey, including single with some internal structure visible, such as inclined
    and multibeam echosounder, sidescan sonar and and curvilinear reflectors. This is interpreted as the
    Boomer profiler techniques, was performed over an country rock deposits of the Mercia Mudstone
    area of 8.5 9.0km in 2008. Thus survey was Group, which are locally faulted and have antiformal
    conducted to provide sub-bottom data to the depth fold.
    limit of engineering consideration and to ensure sea-
    bed clearance from obstructions such as wrecks and The second response is of extremely high amplitude,
    boulders. The Boomer data highlighted an irregular which masks any internal structure of the underlying
    bedrock contour, with its upper surface varying from unit. No structure is visible due to ringing of the
    6.548.0m below seafloor. The shallowest occur- seismic signal within the rock mass, which is caused
    rences, present as a horseshoe-shape in the south of by an extreme contrast in impedance with the overly-
    the site, were identified to correspond with an ex- ing soils. This is interpreted as the upper surface of
    tremely high amplitude response on sub-bottom pro- igneous bedrock, including dike and sill complexes.
    files (Figure 4). This was interpreted as highly com- The lateral contact between the two responses is
    petent bedrock that has preferentially resisted abrupt, as shown by near vertical contacts in Figure
    erosion during Quaternary glaciations, thus creating 4a (Boomer profile). This suggests a sudden change
    a relative bedrock high. Reconnaissance geotechni- in bedrock conditions over a relatively short dis-
    cal data were also acquired in 2008, comprising tance. The greater the depth to bedrock occurrence,
    seven seabed cone penetration tests (CPT) to a the less discernible the two characters become be-
    maximum depth of 40m and eight 6m vibrocores. cause of loss of signal attenuation.
    These provided an early calibration of the material
    properties of the shallow soils, and correlation with 5.2 Geophysical evidence: magnetic gradiometer
    the interpreted depth to bedrock at several locations, data
    as identified by high cone resistance values and test The background magnetic response trend across the
    refusals. WDS site is observed to be ~06 nanoTesla (nT),
    however, certain areas of the site show anomalous
    In 2010, a dedicated geotechnical drilling vessel and magnetism (Figure 4b, the magnetometer plot inset
    a jack-up barge were deployed to acquire geotechni- for Boomer profile). Most notably, a horseshoe-
    cal data for detailed site calibration and design. Over shaped pattern of extremely high magnetic anoma-
    a period of almost three months, 226 seabed CPTs lies (80100nT) is observed with an axis trending
    were acquired, 29 combined CPT and sampling north-west to south-east. Low anomalous values
    boreholes were progressed to a maximum depth of (40nT to 10nT) occur within the central part of the
    68.4m, and downhole seismic logging and high pres- horseshoe in the south of the site. This pattern corre-
    sure dilatometer testing were performed. The off- lates well with the morphology of the interpreted re-
    shore campaign was followed by an extensive ad- gional sill complex shown in Figure 3. A linear fea-
    vanced geotechnical laboratory testing programme. ture, trending north-west to south-east cuts across
    the northeastern corner of the WDS site within
    5. Local Evidence of Intrusive Igneous Rock which extreme, high, magnetic anomalies (up to
    80nT) are observed. The orientation and location of
    Evidence for igneous intrusion of the Mercia Mud- this feature is in good correlation with the Fleetwood
    stone at the WDS site is provided from various data Dyke Group.
    sources. This includes localised high amplitude re-
    sponses from seismic data, magnetic anomalies from 5.3 Calibration of geophysical responses with
    magnetic gradiometer data and geotechnical sam- geotechnical data
    pling of igneous rock by coring, discussed in the fol- During the 2010 site investigation, a predictive bed-
    lowing paragraphs. rock map was created, based on the strong correla-
    tion between high amplitude responses on Boomer
    5.1 Geophysical evidence Boomer data profiles and high magnetic values. This predictive
    The upper bedrock surface, as identified from sub- map was validated and refined as data became avail-
    surface Boomer profiles, provides two distinctly dif- able, and was a valuable planning tool for the site
    ferent seismic responses. Across most of the site, investigation. Of the 29 boreholes performed in
    where bedrock is at its deepest, a diffuse low relative 2010, 13 encountered microgabbro (a fine grained
    amplitude response is observed. The acoustic charac- igneous rock), with the remainder sampling Mercia
    ter below this response is hummocky and diffuse, Mudstone as the bedrock material (Figure 4c). The

    148
    geophysical responses were found to correlate well neous bedrock is much shallower than that indicated
    with bedrock type as shown in Figure 5. Mercia by Jackson et al. (1995), which indicates that the sill
    Mudstone is represented by lower amplitudes on shown in Figure 3 is a deeply buried igneous body
    Boomer profiles and a negligible magnetic response. or plug not easily resolvable on seismic records.
    Igneous rock (microgabbro) is represented by higher This is proven not to be the case, with microgabbro
    amplitudes on Boomer profiles and a large magnetic having been sampled as shallow as 6.5m below sea-
    response. A strong logarithmic trend is identified be- floor.
    tween the depth to igneous bedrock and magnetic re-
    sponse. It can therefore be inferred that where mag- 5.4 Geological interpretation at the West of Duddon
    netic variations in excess of 10nT occur, that Sands site
    igneous bedrock is likely to be less than 25m below The Mercia Mudstone Group was deposited during
    seafloor. The combined responses, highlighted in the Triassic (205245 million years BP) in a shallow
    Figure 5, show a good degree of correlation with the marine through to continental subaerial and aeolian
    publically available data. However, the depth to ig- environment (Jackson et al., 1995).

    Figure 5: Summary of geophysical responses and calibration with geotechnical data

    149
    Following its deposition, the Mercia Mudstone creation of an irregular bedrock relief since the early
    Group was subject to minor faulting and folding, un- Paleocene. In contrast, the present-day seafloor is
    til ~61.5 million years BP. At this point, regional relatively flat and of low relief, which is primarily
    thermal activity resulted in the localised intrusion of attributable to multiple phases of glacial, glacio-
    the site by igneous bodies, including the Fleetwood marine and marine deposition over the last 250 000
    Dyke to the northeast. It is postulated that the intru- years (see Figure 6).
    sion locally replaced substantial units of evaporite
    minerals, by dissolution and subsequent infiltration. 6. Strength and Deformation Characteristics in
    This led to the creation of the sill in the south, form- Comparison with Native Rock
    ing a large laterally continuous body of igneous rock
    that is approximately parallel with bedding (Arter The characteristics of the rock have been investi-
    and Fagin, 1993). This was a significant thermal gated through rotary coring, point load index (PLI)
    event and induced contact metamorphic effects with and unconfined compressive strength (UCS) testing
    the Mercia Mudstone within which the sill was in- of core samples and downhole seismic testing. To
    truded. assess the potential variations in characteristics of
    the rock parameters as a result of the Tertiary igne-
    The effects of residual tectonic uplift and several ous intrusion, the site was divided into zones, as
    glaciations have led to localised erosion and the shown in Figure 7.

    Figure 6: Simplified geological evolution of the WDS site

    150
    ure 8. For the testing at this site, a PLI correlation
    factor of 17 gives a good agreement with the UCS
    tests. Measurements of the small strain shear
    modulus, G0, derived from the results of downhole
    seismic testing within the Gabbro are also shown in
    Figure 8.

    The variation of strength and stiffness of the native


    Mercia Mudstone has been investigated by consider-
    ing the difference in results between zones 1 and 2.
    UCS test results from boreholes in zone 1 are pre-
    sented in Figure 8, along with the data for boreholes
    in zone 2. These plots show a wider range of
    strengths were recorded in zone 1, with values of be-
    tween 0.2MPa and 100MPa. With the exception of a
    small number of tests, the range of results for zone 2
    Figure 7: Zoning of site around igneous intrusion was between 0.2MPa and 10MPa. This shows that
    while the lower bound values in both zones are
    The extent of the igneous intrusion was established comparable, there are a greater number of higher
    from the geophysical surveys mentioned earlier. In strengths recorded in zone 1 than in zone 2. These
    Figure 7, zone 1 (red) envelopes all the boreholes that high strength measurements may be an indication of
    are up to 250m from the intrusion (blue). Zone 2 metamorphosis of the Mercia Mudstone adjacent to
    (green) envelopes all the boreholes between approxi- the igneous intrusion. The small strain shear stiffness
    mately 250 and 600m. Zone 3 (yellow) includes bore- has also been derived for the native Mercia Mud-
    holes more than 600m from the intrusion, although stone from downhole seismic testing. The results are
    the two boreholes that are included in zone 3 did not presented in Figure 8 for zones 1 and 2.
    contain any rock strength tests.
    These plots show a similar trend to the strengths
    The results from UCS and PLI tests of samples of measurements, with comparable lower bound values
    Gabbro from the igneous zone are presented in Fig- of small strain shear stiffness for Mercia Mudstone

    Figure 8: Comparison of unixial compressive strength and shear modulus for igneous rock and
    native rock in zones 1 and 2

    151
    in zones 1 and 2, but higher upper bound values in Geology of Northwest Europe: Proceedings of the
    zone 1 compared to zone 2. Again, this may be taken 4th Conference. Geological Society of London,
    to be an indication that some metamorphosis of the 835843.
    Mercia Mudstone in close proximity to the igneous Dewey JF and Windley BF. (1988). Palaeocene-
    intrusion has occurred. Oligocene tectonics of NW Europe. Early Tertiary
    volcanism and the opening of the NE Atlantic. In:
    7. Conclusion Morton AC and Parson LM. (eds.). Special Publi-
    cation of the Geological Society of London, No.
    Regional geological reports can often provide a use- 39, 2534.
    ful geological setting for planning providing valu- Evans AL, Fitch FJ and Miller JA. (1973). Potas-
    able input for feed studies and general planning of sium-argon age determination on some British
    the geophysical and geotechnical site investigations. Tertiary igneous rocks. Journal of the Geological
    The combination of both magnetic gradiometer and Society 129: 419443.
    sub-bottom profiling for seismic interpretation is a Jackson DI, Jackson AA, Evans D, Wingfield RTR,
    powerful tool for locating intrusive units, with re- Barnes RP and Arthur MJ. (1995). The Geology
    spect to determining the horizontal extent, as well as of the Irish Sea. British Geological Survey.
    verifying the depth to the intrusion. The latter may United Kingdom Offshore Regional Report.
    have serious impact of the layout and the foundation Sherritt International Oil and Gas Ltd (2009). Relin-
    concepts for wind farm developments. Furthermore, quishment Report License P1549 Block 110-05.
    subsequent ground-truthing employing in situ sam-
    pling and testing, as well as onshore laboratory test-
    ing, is vital.

    Magnetic surveys are usually employed in offshore


    wind farm developments to detect ferrous objects
    resting on or in the seabed. They are done in order to
    assess the risks of hazards such as UXO, wrecks and
    pipelines. However, the presence of magnetic intru-
    sive rock can mask the magnetic field of hazardous
    manmade ferrous objects, thereby resulting in in-
    creased risks for the offshore wind farm develop-
    ment. The risk of magnetic blanking should be
    considered for future developments, and multiple
    sources of detecting man-made ferrous objects
    should be applied (e.g. combining bathymetry, sides-
    can sonar and seismic readings with magnetic read-
    ings). The base rock surrounding the intrusive rocks
    may be metamorphic due to the extensive heat im-
    pact of the magma intrusion. At the West of Duddon
    site, the extent of the metamorphic range was ~250m
    into the native rock.

    Acknowledgments

    The authors acknowledge Scottish Power Renew-


    ables and DONG Energy for permission to present
    the paper and the GIS assistance from Sren Johan-
    nessen (DONG Energy).

    References

    Arter G and Fagin SW. (1993). The Fleetwood Dyke


    and the Tynwald Fault Zone, Block 113/27, East
    Irish Sea Basin. In: Parker JR. (eds.). Petroleum

    152
    CONDUCTOR JETTING EXPERIENCES IN DEEPWATER
    OFFSHORE GHANA AN INVESTIGATION INTO
    GEOTECHNICAL AND OPERATIONAL INFLUENCES ON
    SUCCESS, AND ESTABLISHMENT OF FUTURE BEST PRACTICE

    B Mackenzie and M Francis


    Fugro GeoConsulting Ltd, Wallingford, UK
    I Garrett and B Teggart
    Tullow Oil plc, London, UK

    Abstract
    Tullow Oil has installed jetted well conductors at deepwater sites offshore Ghana. Variability in axial load-
    carrying performance was observed. A study was initiated to understand the various influences on conductor
    performance, distinguishing between those that were non-controllable (e.g. geology, soil conditions) and those
    that were controllable (e.g. installation practice, well design). Influence metrics were developed and system-
    atically examined against conductor performance to search for trends and relationships. An understanding of
    the expected regional soil variability over the development area was reached through an engineering geologi-
    cal review. The study defined future best practice recommendations for conductor jetting, which now consti-
    tute established installation practice for ongoing operations in the area. This paper describes the study and its
    findings, and emphasises how its success hinged on Tullow Oils ability to make available geophysical and
    geotechnical data, together with comprehensive jetting and drilling operations records.

    1. Introduction opment area offshore Ghana, as a function of


    various factors, including geotechnical condi-
    1.1 Background tions, conductor/jetting assembly configura-
    Tullow Oil and its development partners are devel- tion, soak time and, importantly, controllable
    oping the Jubilee field, which spans the Deepwater operational parameters (such as applied
    Tano and West Cape Three Points blocks in deep- weight on bit (WOB) and reciprocation);
    water offshore Ghana (Figure 1). During the period x to develop an understanding of the causes of
    from November 2008 to February 2010, conductors conductor slumping, placing particular em-
    were installed by jetting at 17 locations within the phasis on those factors that are operationally
    development area. Water depths ranged from controllable; and
    ~10801560m. At three of the locations, the con- x to use this understanding to define quantita-
    ductors slumped several metres into the seabed tive future best practice recommendations to
    when the weight of the surface casing was trans- minimise the risk of future jetted conductor
    ferred from the drill string. The jetting technique difficulties in the prospect area.
    used has been described by various authors, includ-
    ing Evans et al. (2002) and Jeanjean (2002), which 2. Jetting Database and Study Approach
    all inform that the inevitable soil disturbance asso-
    ciated with jetting, even if performed under con- 2.1 Jetting operations database
    trolled conditions, can make short-term loading a The database of 17 jetted installations was consid-
    critical issue. ered to have a useful and meaningful amount to base
    attempts to understand the various influences on
    1.2 Study objectives conductor performance. Table 1 summarises the
    In light of the jetting experiences encountered, a dataset, including selected key parameters. The con-
    study was initiated with the following key objec- ductor diameter was 36 inches throughout. These pa-
    tives: rameters represent a subset of the overall set of po-
    x to enable reliable estimates of jetted conduc- tential influences investigated during the study (as
    tor axial capacity to be made for this devel- described in section 2.2).

    153
    Figure 1: Vicinity map, Jubilee Field, offshore Ghana

    Table 1: Summary of jetting operations data


    Well Water depth Bit size Weight on bit Reciprocation Penetration Soak time Indicative load
    (m) (in) (Final, klb/%*) (m total /post-last joint**) (m) (days) (klb)
    1 1246 17-1/2" 101 / 85% 498 / 394 71.0 4.82 322
    2 1236 26" 130 / 92% 119 / 78 83.0 4.95 440
    3 1314 26" 159 / 107% 224 / 8 84.0 4.27 361
    4 1148 26" 145 / 88% 344 / 16 83.0 2.99 370
    5 1351 26" 105 / 74% 95 / zero 83.0 3.54 387
    6 1352 26" 133 / 94% 194 / 24 83.5 3.32 384
    7 1325 26" 145 / 98% 146 / 64 82.8 3.42 374
    8 1325 26" 143 / 96% 106 / 40 83.2 2.39 361
    9 1326 26" 149 / 100% 20 / 10 83.2 2.45 373
    10 1265 26" 140 / 94% 128 / 34 83.4 3.54 322
    11 1320 26" 140 / 97% 148 / 92 82.7 3.31 339
    12 1098 26" 130 / 88% 98 / 20 83.5 3.76 323
    13 1082 26" 111 / 78% 146 / 50 83.0 2.68 375
    14 1520 26" 140 / 98% 332 / 86 83.5 2.29 375
    15 1521 17-1/2" 140 / 99% 964 / 330 83.5 2.56 320
    16 1321 17-1/2" 132 / 93% 1024 / 274 83.5 3.70 337
    17 1565 26" 115 / 81% 326 / 186 83.5 4.22 365
    * of available weight, this being governed by the weight of the conductor plus jetting string assembly below seafloor at any time
    ** reciprocation applied after making final drill string connection before reaching target depth

    2.2 Study approach weight and hence, crucially, load demand. The
    The overall approach was to consider all potential study then progressed to reviewing all the available
    influences on jetted conductor performance, data, in order to develop and compile metrics for
    broadly categorised into non-controllable (e.g. soil each potential influence on performance for each
    conditions) and controllable (e.g. installation prac- well. Table 2 summarises the potential influences
    tice, well design), as well design dictates casing and associated metrics considered.

    154
    Table 2: Summary of potential influences and associated metrics considered for conductor performance

    Influence / Parameter Metric Expected effect on performance (based on existing experience)


    Controllable
    Installation WOB applied Final achieved and Final WOB essentially demonstrates immediate post-jetting capacity, hence the higher the
    practice profile, as absolute better, within the available operational constraints to maintain drill string tension. Study
    or % of available range: 74% to 107%.
    Reciprocation Total accumulated Relative soil/conductor movement degrades soil strength to residual value, and excessive
    or accumulated movement further reduces strength, as it introduces fluid. Upper soil contributes less to
    post-final joint overall capacity, so arguably excessive reciprocation at early penetrations is less damaging.
    Conversely, reciprocation during final approach to target depth is expected to be more
    critical. Study range: 201020m total, 0390m post-last joint.
    Final connec- Penetration at Soil strength can set up while making a joint, and the increased friction may need to be
    tion which final overcome using reciprocation in order to resume penetration potentially damaging the
    connection made strength. Hence, some operators seek to make the final joint when the conductor is as far
    above its destined target depth as possible. Study range: 5280m.
    Speed Installation time Penetration rate may correlate with degree of jetting control, however, no pre-existing ex-
    pectations exist. Arguably it depends on certain soil properties, e.g. undrained strength,
    sensitivity or swelling potential. Overall jetting times: typically 412hr.
    Mud Pressure, flow rate Mud pressure and flow rate (and bit placement see below) will govern the amount of soil
    erosion around the conductor shoe. Ideally, only the internal soil plug is eroded (controlled
    jetting).
    Jetting /drill bit Size, placement Bit size is dictated by casing design, so it is not an independently controllable parameter
    behind tip during the actual installation. It affects the ability to remove the soil plug, hence smaller bit
    size may, indirectly, necessitate more reciprocation.
    Conventional best practice places the jetting nozzles sufficiently far behind the tip to avoid
    erosion of soil below and outside the tip. Bit placements were not known for this study,
    and this influence, along with nozzle configuration, was not considered further.
    Soak time Days Post-jetting capacity increases with soak time (defined from end of jetted penetration)
    through the phenomenon of consolidation. Study range: ~2.55 days.
    Well Conductor Final penetration The greater reciprocation required to install a longer conductor may offset the greater ca-
    design penetration pacity that it should otherwise achieve because of its greater embedded shaft area. Study
    range: consistently 8384m, with one exception of 71m.
    Surface casing Diameter/thickness, Surface casing and cementing string, plus conductor weight, all appropriately buoyed, col-
    profile setting depth, lectively define the vertical load at the conductor/soil interface. Indicative load was calcu-
    buoyed weight lated for this study as the conductor plus surface casing weight in seawater. The omission
    of cementing string weight was offset by not allowing for added buoyancy of the inner cas-
    ing in cement. Indicative loads range: 320440klbs.
    Scheduling Installation date Potential learning curve effect.
    Non-Controllable
    Environment Water depth There were no pre-conceived expectations on tendency for water depth to directly impact
    jetted conductor performance.
    Geology and (Including) soil Jetting is suited to the range of normally or lightly under- to overconsolidated clay strength
    soil conditions strength, coarse profiles generally expected in the worlds deepwater basins. Abnormally low or high
    layers strength soils may render the method less successful. Similarly, localised higher resistance
    coarse layers in an otherwise suitable clay profile may require damaging levels of recipro-
    cation.

    For the non-controllable geological influences, ex- searching for trends and relationships. This allowed
    pected regional soil variability was assessed in a dedi- the causes of slumping to be hypothesised and ulti-
    cated engineering geological review. This placed the mately future best practice jetting recommendations to
    wells in a regional geological setting, informed by the be drafted, including quantitatively defined, controlla-
    available geotechnical and geophysical data provided ble installation parameters.
    by Tullow Oil. This was also coupled with a wider
    knowledge of soil conditions and depositional history 3. Initial Performance Comparison with Wider
    held by the study team. Metrics describing the con- Industry Experience
    trollable influences, for example, the amount of recip-
    rocation or casing weight, were extracted from the An initial comparison was made between the ob-
    comprehensive jetting operations data provided by served conductor performance and expectations
    Tullow Oil. The study then systematically examined based on industry experience. This involved viewing
    the influence metrics against conductor performance, the back-figured post-jetting unit skin friction (fs, in

    155
    kPa) with undrained shear strength (su, in kPa) to es- 600
    Installation experience

    timate the average (D) value. This empirical factor Successful


    Failed

    relates fs to su in clay soils; fs is simply the product of 500

    Reciprocation (accumulated post-final connection) [m]


    D and su. For driven conductors in soft clay, long-
    term D can approach unity, and might typically be in
    the region of 0.3 immediately post-driving. This is in 400

    contrast to long jetted conductors, where D can be as


    low as 0.05 immediately after controlled jetting, or 300
    even 0.025 after uncontrolled jetting. In other words,
    the conductor/soil interface can only mobilise 5% of
    the soils shear strength after controlled jetting, and 200

    only half of this again if jetting is uncontrolled. Un-


    controlled jetting generally means excessive recipro-
    100
    cation or drilling fluid broaching around to the out-
    side of the conductor shoe. The back-figured D
    values all fell within the overall expected bounds, 0
    and so the study progressed with no obvious anoma- 70 80 90 100 110
    Final WOB (of available) [%]
    lies in terms of back-figured fs.
    Figure 2: Reciprocation versus Final WOB
    4. Study Part I: Controllable Influences
    Figure 3 presents capacity versus soak time, and its
    4.1 Weight on bit and reciprocation purpose is to compare the soak time-dependent ca-
    Experience suggests that WOB and reciprocation pacity gain with existing expectations. Experience
    are two highly influential and interacting parame- suggests that conductors jetted under controlled con-
    ters for jetted conductor performance. A simple yet ditions exhibit an approximate constant increment in
    effective graphical method was devised to view the capacity per log cycle of time, with time zero taken
    two influences together and is shown in Figure 2, as 0.01 days. A typical expectation would be 100klb
    which distinguishes the slumped conductors. Re- per log cycle (Jeanjean, 2002). Hence, for example,
    ciprocation was that accumulated post-final joint one day after jetting, a conductor would be expected
    (see Table 2); this was found to be more critical to gain an approximate extra 200klb axial resistance,
    than overall total reciprocation. The influence of and so on.
    individual stroke lengths was not considered. WOB
    is plotted as percentage of available force at final 500
    Installation experience
    penetration. From Figure 2, the following observa- Successful
    Failed
    tions were first made: 450

    x Of 17 tested conductors, three of the four most 400

    highly reciprocated conductors slumped. 350


    x No slumping occurred where reciprocation
    (post-final joint) was limited to <150m. 300
    Axial Capacity [Klbs]

    x Of the 13 tested conductors for which >85% 250


    available WOB was applied, only one
    slumped, and this had the highest amount of 200

    total reciprocation and the second highest post- 150


    last-joint reciprocation.
    100
    4.2 Final penetration, load and soak time
    50
    The foregoing observations hinted at a conclusion
    regarding failure cause. However, before accepting 0
    this, the possible significance of other influences 0.01 0.1 1 10

    listed in Table 2 was investigated. For instance, fail- Soak Time (log) [days]

    ure may simply have been caused by some conduc- Figure 3: Immediate, estimated long-term and demonstrated
    tors having to support a heavier surface casing, or long-term axial capacity versus soak time
    having a shorter soak time before being loaded.

    156
    Clustered at the very left of Figure 3 is the time tial controllable influences in Table 2 were investi-
    zero capacity dataset for this study, whose overall gated. Regarding bit size, 3 of the 17 tested conduc-
    range is projected to a 10-day range using the rule of tors were jetted with a 17-1/2-inch-diameter bit, and
    thumb just described. Superimposed on the graph are all others with a 26-inch bit (Table 1). Of the three
    the discrete data points demonstrating capacity ver- jetted with a 17-1/2-inch bit, two slumped. This cor-
    sus actual soak time. For the successful conductors, roborates with Akers (2008), who found that, in gen-
    the demonstrated capacity is a minimum: the con- eral, the use of a larger bit results in a higher jetting
    ductor sustained this load with a factor of safety of at success rate. However, these same two conductors
    least 1.0. For the slumped conductors, the demon- also utilised a lower proportion of available WOB.
    strated capacity is a maximum, although all that is All three conductors jetted with a 17-1/2-inch bit ex-
    known is that the factor of safety was less than 1.0. perienced high levels of reciprocation.

    Examination of the loading and penetration data (not For the remaining potential influences, the following
    shown) and the soak time data (Figure 3) enabled the observations were made after examining the relevant
    further observations, which are related in this sec- data (overall conclusions and best practice recom-
    tion. First, there was no clear link between load de- mendations arising are drawn later). First, there was
    mand and tendency for failure within the dataset. no link between overall jetting time/rate of penetra-
    Conductors having relatively high load demands did tion and eventual load-carrying performance. There
    not fail, whereas others with mid-range or even be- was also no discernible link between the range of
    low average loading were incapable of sustaining drilling mud parameters observed within the dataset
    this. One conductor had a level of reciprocation and performance. This observation is based on ex-
    which caused others to slump under load, but did not amining full installation profiles for each well and
    fail. It also had amongst the lowest load demands in single-value metrics. In addition, the studied wells
    the dataset. Hence, low load demand cannot be ruled were drilled between November 2008 and February
    out as a potential mitigating influence on otherwise 2010. Within this schedule, the first, penultimate and
    non-ideal installation practice. The one short con- last installed conductors slumped. There is therefore
    ductor (see Table 1) failed, even under a relatively no overall learning curve effect whereby failures
    low load. were constrained to earlier wells.

    Another observation was that there was no clear link 5. Study Part II: Geology and Soil Conditions
    between soak time and tendency for failure within
    the dataset. Indeed, two of the three slumped con- 5.1 Regional geological setting
    ductors had relatively long soak times within the A geological study was performed with the objective
    studied data range. Viewed alone, this observation is of identifying any influences (such as variability) in
    contrary to existing expectations. However, the con- the expected su profile, or individual geological fea-
    ductor that sustained the highest load demand also tures and processes that may have affected conductor
    had the single highest soak time. The data generally performance in localised instances within the wider
    corroborate the 100klb per log cycle rule of thumb development area.
    for capacity gain, for conductors jetted without ex-
    cessive reciprocation. For excessively reciprocated The Deepwater Tano and West Cape Three Points
    conductors, the same rule of thumb appeared to blocks are located 56km south of Half Assini, off-
    over-predict post-jetting capacity gain. In summary, shore west Ghana. The Jubilee field, spanning these
    there was insufficient spread of parameters within blocks, has been the focus of several geophysical
    the available dataset to consider any further, region- and geotechnical site investigations. The main geo-
    specific recalibration of existing methodology for logical feature surrounding the Jubilee field is the
    predicting capacity gain. continental slope with large submarine channels.
    This slope dips to the southwest between ~3 and 6,
    4.3 Further potential controllable influences with water depth ranging from 100m to >1800m
    The foregoing observations steer further towards a over the field. There are three channels trending
    conclusion that WOB and reciprocation (post-last northeast to southwest identified in the Jubilee field
    connection) are the most critical controllable pa- (Figure 1), whose deposits include coarser grained
    rameters, with length and soak time having a secon- sediment as identified by sand layers and lamina-
    dary effect, at least within the studied dataset. Before tions. The channel banks have slope angles between
    taking this conclusion forward, the remaining poten- 10 and 25. Two seismo-stratigraphic units (denoted

    157
    A and B) were identified from the available geo- carrying capacity. Similarly there was no observed
    physical data, as summarised in Table 3. correlation between conductor performance and sea-
    floor slope angle or proximity to channel features.
    Table 3: Seismo-stratigraphic summary of Jubilee field Shallow gas within units A and B could conceivably
    Seismo-strati- Seismo-strati- Depth range to base of cause variable soil conditions. A measure of the
    graphic unit graphic horizons unit proximity to the shallow gas pockets within units A
    (m below seafloor) and B was calculated for all conductors from the
    A H0 to H10 23 to 76 well clearance reports. This assessment indicated no
    B H10 to H20 312 to 637
    apparent correlation between mapped shallow gas
    proximity and conductor performance.
    Seismo-stratigraphic unit A generally occurs from
    the seafloor throughout the Jubilee field, although it
    thins in the channels. This unit is well layered, with
    low amplitude reflectors, and it displays waveform
    bedding, which is common of contourite deposits.
    The sediments are laterally continuous, therefore soil
    conditions of this unit are expected to be relatively
    uniform and conformable across the Jubilee site. The
    geotechnical borehole data show high plasticity,
    normally consolidated clays with relatively low
    submerged unit weights (3.06.0kN/m3), high mois-
    ture contents (between 80% and 150%) and su gradi-
    ents slightly greater than 1kPa/m.

    Unit B underlies Unit A and is characterised by Figure 4: Western channel characteristics (from Tullow Oil)
    amorphous and irregular seismic signatures with
    fault zones, erosional surfaces and channel fill thick- 5.2.2 Undrained shear strength
    nesses mapped from sub-bottom profiler data. The cone penetration test (CPT) data within the cen-
    tral channel feature (Figure 1) showed an su profile
    5.2 Geophysical and geotechnical data analysis 10% higher compared to the surrounding area. This
    One of the three slumped conductors is located in was consistent with the expectation of erosion within
    the centre of the Jubilee field, another is 14km to the the channel and exposure of older, more consoli-
    west, and the third is 10km to the southeast. The dated sediment. This, however, did not adversely af-
    available geotechnical data are focused on the centre fect the performance of the one conductor jetted in
    of the field and to a maximum depth of 30m below the immediate vicinity of a channel feature. Al-
    seafloor. Therefore, data had to be extrapolated ver- though remoulded strength was not explicitly used
    tically and horizontally in order to extend the ground for jetted capacity assessment, data were reviewed
    model to all conductor locations. and sensitivities were found to be in the range of
    1.53.0, which was considered typical.
    5.2.1 Geological feature proximity
    Top hole prognoses and well clearance reports were One of the slumped conductors lies in 1565m water
    made available for all conductor locations by Tullow depth, which is the deepest of those studied. Experi-
    Oil. These provided a site-specific summary of the ence of Gulf of Guinea contourite soils suggests that
    anticipated ground conditions at each conductor lo- lower su would be expected as the water depth in-
    cation. They identified proximity and depth to inter- creases, due to an increased percentage of siliceous
    preted fault zones, sand layers, buried channel fea- ooze content. However, back-analysis of average fs
    tures and fluid escape features, plus a seismo- (as described in section 3) shows no decreasing trend
    stratigraphy to a penetration of ~2000m. The channel versus water depth. In any case, two other conduc-
    banks contain fault zones identified between 8m and tors that were also jetted in >1500m water depth
    35m below seafloor, as shown in Figure 4. These have successfully sustained their load demand.
    fault zones occur at five of the conductor locations, Therefore, while a tendency for lower bound su re-
    however, none of these exhibited abnormal perform- mains a possibility in the deeper waters of the area,
    ance. Therefore, this geological feature was not con- this was not considered to be a significant contribut-
    sidered to be associated with diminished load- ing factor to jetted conductor performance.

    158
    5.2.3 Likelihood of coarse-grained layers 6.2 Future best practice recommendations
    The site investigation data identified sand layers lo- A study objective was to apply the understanding
    cated in the thalweg of the central channel in the Ju- developed to define quantitative future best practice
    bilee field. The channels are depocentres for coarse recommendations. This has been achieved, and they
    material moving down the continental slope. This have now been adopted as standard jetting operation
    brings an increased likelihood of encountering sand practice by Tullow Oil in its ongoing development
    layers within the surface channels and similarly in of the area. Eleven further conductors have since
    buried channels. These coarse-grained layers were been successfully jetted using these best practice
    concluded not to have had any effect on jetting and recommendations. The key quantitative recommen-
    subsequent conductor performance among the stud- dations are represented graphically in WOB (final
    ied dataset. Overall, based on the engineering geo- applied, as percentage available) versus reciproca-
    logical model, the soil conditions at the slumped tion (accumulated, post-final joint) space on Figure
    conductor locations are considered insufficiently dif- 5. The figure is divided into quadrants (or zones)
    ferent to those elsewhere within the study area for based on quantified WOB and reciprocation guide-
    geology to have been a contributing factor to relative lines. The ideal zone (Zone 1) is where final WOB
    conductor performance. exceeds 90% of that available, and reciprocation
    post-final joint is limited to <150m.
    6. Study Findings and Best Practice Recommen-
    dations Figure 5 identifies a further zone (Zone 2) that al-
    lows a greater degree of reciprocation, up to 350m,
    6.1 Key study findings but this must be offset by increasing the target WOB.
    The key findings given in this section relate solely to Zone 2 is for cases where the conductor cannot be
    the axial load-carrying performance of the studied advanced while maintaining Zone 1 reciprocation
    dataset. However, comparison with wider industry guidelines, e.g. where a smaller bit is used. The re-
    experience is noted, where appropriate. maining zones represent combinations of WOB and
    reciprocation that are not recommended.
    The study identified WOB (final applied) and recip- 600
    rocation (particularly post-final joint) as the two ZONE 4: Avoid, poor practice Installation experience
    Successful

    most influential parameters affecting conductor per- Failed

    formance; three of the four conductors having the 500


    Reciprocation (accumulated post-final connection) [m]

    highest post-final joint reciprocation slumped. There


    is no clear link between load demand and tendency
    400
    for failure within the dataset. However, the one con-
    ductor that had a high amount of reciprocation and
    yet didnt fail, also had a relatively low load de- 300
    mand. Within the range of soak times applied (ap-
    proximately 2.55 days, with average 3.4 days), no Zone 2: Apply with caution,
    may be unavoidable with
    clear link between soak time and tendency for 200
    smaller bit size
    slumping can be distinguished from the other influ-
    ZONE 3: Avoid, ZONE 1: Ideal, good practice
    ences. However, the data generally corroborated an 100 unreliable practice

    expected post-jetting capacity gain of 100klb per log


    cycle of time for conductors jetted without excessive
    reciprocation. Where excessive reciprocation has 0
    70 80 90 100 110
    been used, this rule appears to have over-predicted Final WOB (of available) [%]
    available capacity and should not be used.
    Figure 5: Future best practice recommendations: quantitative
    and graphical representation in WOB versus reciprocation
    The use of a 17-1/2-inch bit, as opposed to a 26-inch
    space
    bit, required more reciprocation. However, this does
    not need to be viewed as a constraint on well design, The >90% WOB guidance on Figure 5 relates to fi-
    so long as sufficiently high WOB is applied to nal achieved WOB, and hence does not give any
    achieve and demonstrate immediate capacity. Fi- guidance on WOB profile. WOB profile options
    nally, geology was not considered to have been a range from achieving >90% early and holding;
    contributing factor to conductor slumping in the building linearly to target value (after Jeanjean,
    studied area. 2002); or holding a smaller value (e.g. 7580%) then

    159
    building to >90% only close to target depth (percent- Evans TG, Feyereisen S and Rheume G. (2002). Ax-
    age of that instantaneously available throughout). A ial capacities of jetted well conductors in Angola.
    review of composite WOB profiles, done as part of In: Proc., 5th Offshore Site Investigation and Geo-
    the study, showed that the set of successful installa- technics Diversity and Sustainability. London:
    tions encompasses all three of these approaches. The Society for Underwater Technology (SUT).
    best practice recommendations do not therefore pre- Jeanjean P. (2002). Innovative design method for
    scribe a particular WOB profile, so long as >90% is deepwater surface casings. SPE 77357, San Anto-
    eventually achieved. nio, TX: Society for Petroleum Engineers.

    Regarding soak time, the recommendation is simply


    to maintain current Jubilee field practice where fu-
    ture conductors are installed to Zone 1 guidelines.
    However, it is recommended to increase soak time to
    a minimum of five days for Zone 2 conductors, and
    possibly to wait for the cement around the surface
    casing to set before transferring its weight onto the
    conductor.

    7. Conclusions

    The availability of a good-sized database of jetting


    operations enabled a systematic approach to be taken
    to this study. The consideration of influence metrics
    ultimately allowed quantitative best practice recom-
    mendations to be developed and communicated
    graphically. These recommendations are now being
    implemented in ongoing operations in deep-water
    offshore Ghana. Eleven further conductors have
    since been jetted, all successfully, using the zone
    guidelines in Figure 5.

    The study relied on Tullow Oil making available


    both its geotechnical and shallow geophysical survey
    data, such that these could be integrated into an en-
    gineering-focused ground model, built as part of the
    study. It also relied on the availability of comprehen-
    sive jetting records, well schematics and drilling rig
    operations data, again provided by Tullow Oil. The
    quantified best practice recommendations have been
    developed specifically for the subject development
    area offshore Ghana, and for the range of well design
    parameters considered. Variance from these prevail-
    ing conditions should be considered before the ap-
    plication to other geographical prospects or signifi-
    cantly different well configurations. The study
    approach, however, does give an investigative
    framework applicable to other datasets.

    References

    Akers TJ. (2008). Jetting of structural casing in


    deepwater environments: Job design and opera-
    tional practices. SPE 102378. San Antonio, TX:
    Society for Petroleum Engineers.

    160
    NUMERICAL SIMULATIONS OF HYDRO SOUND EMISSIONS
    DUE TO OFFSHORE PILE DRIVING

    Marius Milatz, Katja Reimann and Jrgen Grabe


    Institute of Geotechnical Engineering and Construction Management
    Hamburg University of Technology (TUHH)

    Abstract
    Numerical simulations of hydro sound emissions due to offshore pile driving are presented in this paper. With
    the help of the finite element method (FEM) the propagation of sound waves evoked by a single hammer impact
    on an idealised monopile structure is simulated, taking into consideration the influence of ram energy and
    boundary conditions such as the seabed. The research presented in this paper investigates the possibility of a fu-
    ture prognosis of hydro sound emissions when offshore piles are driven into the ground. The aim is to develop
    technology that helps wind farms to be constructed without endangering noise-sensitive marine mammals.

    1. Offshore Noise Emissions


    Close to the pile, hydro sound levels of more than
    1.1 Hydro sound as a consequence of impact 200dB re 1Pa have been measured, where re
    driving 1Pa signifies the reference sound pressure in the
    With the fast development of renewable energies and acoustic medium water used to calculate a sound
    a growing awareness of ecological and sustainable level of decibels. Fortunately these enormous sound
    issues, the wind energy industry has begun to reach levels are reduced as the wave propagates further
    for very rough and difficult, but promising regions to into the ocean, with the distance-dependent reduc-
    build new wind farms, particularly the vast and tion, called the transmission loss (TL; see Brek-
    windy offshore areas surrounding the German hovskikh and Lysanov, 2003). Different formulae for
    coasts. In order to cope with enormous wind and TL are used in order to predict the loss of hydro
    wave loading, a pile foundation is, in most cases, sound as a function of travel distance from the
    chosen as the foundation system of a wind turbine. source at the offshore construction site. In the fol-
    All loads have to be directed into the seabed with lowing logarithmic relationship from Betke and
    large steel piles which have to be driven into the Schultz-von Glahn (2008), the TL is calculated by:
    seabed by means of impact hammers. Depending on r
    the pile type, the diameter and especially the density TL k log 2 [dB] (1)
    of the subsoil, the impact energy is the most impor- r1
    tant factor in successfully driving the pile to its re- with the ratio of the larger distance (r2), where the
    quired depth. sound is to be predicted to a closer distance (r1) and
    a constant (k), which is generally set to a value of 15
    Every hammer impact upon the steel structure leads for the prediction of sound attenuation in the North
    to a normal pressure wave propagating through the Sea and 20 for the Baltic Sea.
    pile, which is accompanied by oscillations in long-
    itudinal and lateral directions due to imperfections Despite the natural effects of noise attenuation due
    and a soil reaction at the pile tip in the seabed. to the TL, data of sound levels evoked by impact
    These oscillations lead to a sound pressure wave driving confirm that even at large distances from a
    propagating in radial direction from the pile into the pile, enormous hydro sound levels are encountered.
    sea. Simultaneously, due to the dynamic reaction If a source level of 210dB is assumed at a distance of
    force at the pile toe, the seabed area close to the pile 5m from the pile, according to Equation 1 the sound
    acts as a source of hydro sound, whose intensity is level at a distance of 500m would be reduced to
    still a question of research. 180dB, which is still very high.

    161
    1.2 Risk for marine life erly project hydro sound propagation and assist in
    From biological research, it is known that loud noise optimising techniques of sound attenuation. With the
    emissions influence marine life whose survival de- help of validated numerical simulation models, these
    pends on their sensitive sense of hearing, such as goals can be reached. In this paper, some research on
    seals and whales. In the North and Baltic Sea espe- this approach is presented, in the hopes of develop-
    cially, the harbour porpoise could be endangered by ing a sophisticated model of hydro sound prediction
    impact driving of offshore pile foundations. Biolo- in order to balance the advance of renewable ener-
    gists as well as environmentalists warn that this spe- gies and respecting environmental protection.
    cies could be seriously damaged by underwater
    sound waves. Very loud noises could temporarily, or 2. Numerical Simulations
    in the worst case permanently, lead to a shift of the
    porpoises hearing threshold and thus deprive the 2.1 Numerical model
    animals of their most important sense of communi- The numerical simulations presented in the follow-
    cation and orientation. ing sections have been performed with the commer-
    cial finite element (FE) program Abaqus/Explicit. It
    1.3 Legal situation and its influence on construction uses an explicit time integration scheme in order to
    of offshore wind farms in Germany solve the dynamic sets of equations. Thus, the
    In Germany, the federal agency Bundesamt fr explicit FE-code is well suited for the simulation of
    Seeschifffahrt und Hydrographie (BSH) is responsi- highly dynamic processes, such as impact driving of
    ble for the authorisation procedure of offshore wind piles. For the numerical simulations, an axisymmet-
    farms. In a BSH standard, it states that emissions of ric FE-model has been created that consists of an
    hydro sound have to be monitored and documented elastic soil half-space of seabed with the tubular mo-
    during all phases, from the construction process to nopile sticking into it around the axis of rotation.
    the operating phase within the life of a wind farm Above the pile, a pile driver is modelled as a free-
    (BSH, 2007). In co-operation with the German envi- fall mass that impacts the pile head. In contact with
    ronmental agency, the Umweltbundesamt (UBA), the pile and soil surface, an acoustic medium is situ-
    the BSH has determined limiting values of hydro ated which is meshed with axisymmetric acoustic
    sound emissions. These have been set to 160dB for elements, while the structural components of the
    the so-called broadband sound exposure level (SEL), model consist of structural finite elements. In total
    and 190dB for the peak hydro sound level, both at a 104 892 FEs are in use.
    distance of 750m from a construction site. Due to
    these strict legal regulations, construction firms must The total length of the pile is 80m, of which 30m are
    demonstrate their intent of adhering to these limiting embedded into the seabed and 40m account for the
    values. On the one hand, this is beneficial for envi- water depth under typical North Sea conditions. The
    ronmental protection purposes, however, it repre- remaining 10m of the pile, which has an outer di-
    sents a risk for the development of renewables such ameter of 3.30m and a constant wall thickness of
    as offshore wind energy. 80mm, are not submerged. The dimension of the FE
    model in radial direction is set to 60m in order to al-
    1.4 Noise protection methods and aims of research low for a certain distance of undisturbed wave
    Different approaches to noise protection have been propagation with a hydro sound velocity of nearly
    applied in order to reduce the influence of impact 1500m/s in salty water (Brekhovskikh and Lysanov,
    driving upon marine life. The simplest, though un- 2003). An important factor in every FE model is the
    satisfactory, approaches account for methods of scar- boundary condition, which represents a given solu-
    ing off marine animals and afterwards monitoring tion at the edges of the model. The numerical model
    the density of them in the surroundings of offshore comprises sound pressure as an acoustic degree of
    construction sites before performing the first ram freedom and displacements as mechanical degrees of
    impact. The best solution would instead be to reduce freedom. Therefore the two types of boundary condi-
    hydro sound at its source by optimisation of pile in- tion have to be implemented at the models bounda-
    stallation methods, or to use sound protection tech- ries to infinity. The bounding finite elements of the
    nologies such as the so-called bubble curtain. soil are connected to structural infinite elements
    (Lysmer and Kuhlemeyer, 1969; Zienkiewicz, 1983),
    Offshore measurement campaigns are very cost- whereas the acoustic boundary is idealised with the
    intensive and always bring a certain degree of risk. help of so-called impedance-type boundary condi-
    Therefore, the offshore industry is in need of theo- tions. Both types of boundary condition aim at
    retical models of noise prediction which can prop- quiet boundaries with no reflections of pressure

    162
    waves or sound waves back into the model. A ro- mechanical soil behaviour is highly non-linear in re-
    tated view of the FE model, its components and ality, with the material reacting differently to loading
    boundary conditions is demonstrated in Figure 1. and unloading. The FE analyses presented here focus
    on the hydro sound emissions, and thus these ideali-
    sations of soil behaviour are tolerated. Furthermore,
    the idealisation of soil as an elastic half-space is a
    commonly used approach when studying dynamic
    wave propagation.

    The linear elastic material law requires two parame-


    ters: Youngs modulus (E); and Poissons ratio ().
    In addition, the mass density () must be given, as a
    dynamic analysis with effects of mass inertia is per-
    formed. To account for both the hydrostatic water
    pressure at the seabed and the water saturated state
    of the soil, all calculations are performed based on
    total stress relationships. This means that the soil
    density is set to the density at saturation of the soil.
    The formulation takes into consideration the mass
    Figure 1: Rotated view of the axisymmetrical FE-model with
    inertia of a water saturated soil. The appearance of
    detail of pile head and impact mass
    excess pore water pressures is, however, neglected
    Dealing with transient geotechnical problems and by the model.
    their numerical solution always requires the prescrip-
    tion of initial conditions. The soil and pile structures Another linear material law is used to describe the
    have to be established in a state of equilibrium, acoustic behaviour of the water. For this calculation,
    without deformations, but under certain initial stress the bulk modulus (K) and density () of seawater
    conditions caused by gravity before the analysis step have to be defined in order to account for wave
    of interest (the ram impact) is run. For the soil, geo- propagation in an acoustic medium. The material pa-
    static conditions are applied, meaning that the prin- rameters for the three materials steel, soil and water
    cipal soil stresses in the initial analysis step follow are listed in Table 1. All temperature-dependencies
    the direction of gravity. As a result, the ratio of lat- are neglected in the analysis.
    eral to vertical stresses is the coefficient of earth
    Table 1: Material parameters used in the FE calculations
    pressure at rest (K0). In the next preliminary analysis
    steps, the piles gravity is slowly ramped up, while it Material Material parameter
    is allowed to slip into the soil with activated contact E [N/m] K [N/m] [-] [kg/m]
    boundary conditions at the interface between pile Steel 2.1x1011
    0.3 7850
    and soil elements. Soil 1.0x108 0.3 2000
    Water 2.28x109 1000
    The interaction between the mechanical structure of
    pile and soil, and the acoustic domain is accounted With the material constants E, K and the speed of
    for by a bidirectional coupling. A node-to-node con- sound (c) can be calculated for solids and fluids as
    straint at the interface between the structural and follows:
    acoustic FE mesh allows for the acoustic nodes be-
    ing driven by the oscillating mechanical structure of E
    csolid [m/s] (2)
    pile and soil. The converse occurs for the acoustic U
    medium (water), having a damping effect on the
    K
    structure. To describe physical material behaviour in c fluid [m/s] (3)
    FE calculations, different constitutive equations can U
    be implemented. For simplification, a linear elastic
    material law is applied for this case to describe the In order to simulate sound wave propagation in a
    stress-strain relationship of the soil and the steel transient analysis accurately, the coarseness of the
    components within the model. For small strains, this FE mesh must be chosen in a way that corresponds
    material law is acceptable for steel. However, for the to the distance travelled by the wave in the smallest
    soil it represents a very rough idealisation, as the time increment (according to Abaqus). In addition,

    163
    limitations have to be followed that concern the 3. Results
    minimum model size, as well as the maximum ele-
    ment length, in order not to cut off the frequency- 3.1 Validation of the FE model
    spectrum of a sound wave signal. As a validation of the accuracy of modelling sound
    wave propagation and the decrease of sound pres-
    2.2 Numerical simulations of hydro sound emissions sure as a function of distance from the source, simu-
    The purpose of the numerical simulations is to lated sound pressures are evaluated at different dis-
    model hydro sound propagation due to impact driv- tances from the pile. Figure 2 illustrates the
    ing in an accurate way. They also need to consider calculated contour plot of the wave pressure field
    boundary conditions such as the oscillating pile and and soil stresses at different time-steps after the
    seabed, in order to get a validated model for hydro simulated impact of the hammer. The points at
    sound prediction. Several factors have been studied which a time-history output is recorded during the
    with the help of the numerical model and different FE analysis are also shown. The points in the water
    analyses have been run. A visualisation of sound (W1-W3), at the boundary between soil and water
    pressure results as a function of distance from pile (B1-B3) and within the soil of the seabed (S1) are
    allows the comparison of the results to TL formu- situated at equally spaced distances of 20m, 40m and
    lae, their extrapolation to larger distances and vali- 60m away from the pile. A pressure wave travels
    dation of the numerical results. Using the varying through the pile, which starts the propagation of a
    free-fall heights of the impact hammer, different radial sound pressure wave front in the acoustic me-
    impact energy levels can be prescribed and their in- dium. From the distance it has travelled and the time
    fluence on maximum sound pressure levels can be after impact, a speed of sound of about 1500m/s can
    studied. be calculated, which fits well with the theoretical
    value cfluid, calculated with the given material pa-
    Another interesting field of study is the soil vibra- rameters. At 21.5ms after impact, the pressure wave
    tion in the surroundings of the pile, which declines within the pile reaches the bottom and is reflected to
    with larger distances but also acts as a surface-like the top again, initialising a second wave front in the
    sound source. What proportion of the energy input water.
    into the soil reverberates in the water is still an un-
    answered question, but the results of numerical The evaluation of the time-history data at points
    simulations can help towards assessing the impor- W1W3 reveals that at close distances to the pile,
    tance of this influence upon hydro sound. Similarly, sound pressures reach above 200dB re 1Pa. This
    the influence of the subsoil profile is of importance corresponds to measured data of ram impact induced
    because soil parameters, such as density and stiff- hydro sound. Figure 3 shows the hydro sound pres-
    ness, will affect the drivability of the pile. More im- sure signal due to a single ram impact at point W1. It
    pact energy has to be applied to a stiffer subsoil, also shows a calculated solid-borne sound pressure
    leading to higher hydro sound emissions and a dif- at the soil to water boundary B1 and within the soil
    fering reaction of the pile in its axial direction. S1 at a distance of 20m from the pile. This has been
    converted from vertical vibration velocity of the soil
    After having studied the principal effects upon structure according to Equation 4 (Mser, 2007) as:
    sound emissions in the FE model, it can be used to p soil v soil c soil U soil [N/m] (4)
    simulate the influence of techniques of hydro sound
    mitigation, such as the bubble curtain, in order to where vsoil is the vertical vibration velocity, csoil is
    protect marine life. the wave velocity in soil (according to Equation 2)
    and soil is the density.

    Figure 2: Contour plots of sound pressure and stresses within the seabed at discrete time steps after ram impact

    164
    Figure 3: Calculated signals of hydro sound and vertical Figure 4: Calculated transmission loss versus common TL-
    mechanical vibration formulae

    It can be seen that the shock wave is recorded first


    and mainly within the water phase. It is then accom-
    panied by a very small peak at the interface before
    arriving at soil point S1 with a strong amplitude and
    a growing signal at the boundary layer. In Figure 4,
    the peak sound exposure levels calculated from the
    sound pressure time-history data at the points W1
    W3 are plotted. The calculated values are compared
    to common formulae of TL (Equation 1) for the
    North and the Baltic Seas and to the frequently used
    Thiele formula (Equation 5). This equation accounts
    for a frequency dependence of TL (Thiele and
    Schellstede, 1980) and is given as follows:

    TL (19.07  0.185 F ) (log( R)  3) 


    (5)
    (0.174  0.046 F  0.005 F 2 ) R Figure 5: FFT frequency spectrum of calculated hydro sound
    signals
    where R[km] is the distance from the sound source,
    and F contains the frequency (f) and is given by: The fact that the main frequencies are not captured
    by the FE model, as well as the deviation of calcu-
    f lated TL, could be due to errors within the model
    F 10 log (6) which fails to reproduce real boundary conditions of
    kHz sound propagation. The Eigen modes of the pile may
    From the plotted data it can be observed that the cal- not be captured properly by boundary conditions, or
    culated transmission loss lies between the TL-curves the material parameters. Alternatively, the material
    based on Equation 1 for the North and the Baltic laws or the coarseness of the FE mesh could be rea-
    Sea, and the Thiele formula evaluated for a 100Hz son for the deviations. Another parameter study
    signal. could help to define the most important influences
    and dependencies of parameters and boundary condi-
    The result of a fast Fourier transform (FFT) of the tions.
    numerical results of sound pressure level are illus-
    trated in Figure 5. The main frequencies are between The influence of different impact energy levels has
    100Hz and 300Hz. This calculated frequency spec- been demonstrated by Schultz-von Glahn et al.
    trum only accounts for the lower portion of real (2006). From measured data of hydro sound, a nearly
    measured spectra of hammer impact-induced hydro linear relationship in a semi-log scale between im-
    sound, which comprise prevalent frequencies be- pact energy and received hydro sound level can be
    tween 100HZ and 1000Hz. deduced. In Figure 6, the calculated peak sound lev-

    165
    els at different distances from the pile are visualised used method is the so-called bubble curtain, which
    in dependence of the prescribed impact energy level. uses a wall of air bubbles around the hydro sound
    A comparison of these results with other studies source in order to reduce sound emissions. Two ef-
    (Schultz-von Glahn et al., 2006) shows good agree- fects are responsible for the functionality of this
    ment and the already mentioned linear relationship method. First, an impedance change between air and
    can be confirmed. If the relationship is known, it will water phase increases the ratio of reflected to arriving
    allow for a prediction of the sound level at the sound pressure (Henn et al., 2008). Second, a com-
    source, and further extrapolation to larger distances plex frequency dependent effect of oscillating air
    in the sea can be done. In addition, the increase in bubbles helps to reduce the hydro sound level. The
    sound levels can be assessed when more powerful resonance frequency of the air bubbles depends on
    impact hammers are to be used. their size, and their vibrations have to be in the right
    frequency consuming high amounts of sound energy,
    In semi-log scale the calculated data describe a linear thus scattering hydro sound waves (Medwin and Clay,
    relationship with a gradient (n) of 10 in the follow- 1998).
    ing Equation 7, which is plotted against the calcu-
    lated data in Figure 6: An FE model is applied to simulate the noise mitiga-
    tion capability of a bubble curtain, which is mod-
    E elled as a discrete wall of an idealised thickness of
    'L n log 2 [dB] (7)
    E1 0.5m at a distance of 10m from the axis of rotation.
    For the bubble curtain, the acoustic material parame-
    The results show that with the help of the FE ters and K of an idealised mixture of air and water
    model, several physical dependencies (such as the according to Equations 8, 9 and 10 are used. A varia-
    transmission loss or the influence of impact energy) tion of the volumetric air portion nair, defined as the
    can be captured to a certain extent. The calculated ratio of the air volume Vair to the total volume V =
    hydro sound peak levels in particular reach realistic Vwater + Vair, allows for a parameter study in order to
    values. Accounting for the observed deviations, find out the influence of air portion on the attenua-
    further research is needed concerning the manifold tion of hydro sound. The calculated relationships be-
    influences, such as boundary conditions and mate- tween hydro sound level and volumetric air portion
    rial properties. are shown in Figure 7 for different distances from
    the pile, and the formulae are given as follows:

    Vair
    nair [-] (8)
    V
    U mixture (1  nair ) U water  nair U air [kg/m] (9)
    K mixture (1  nair ) K water  nair K air [N/m] (10)

    Figure 6: Calculated hydro sound levels in dependence of


    impact energy

    3.2 Simulation of hydro sound mitigation


    In Germany, hydro sound mitigation has become very
    important for offshore construction companies be-
    cause of the environmental regulations in place.
    Therefore, efforts are being made to develop and im- Figure 7: Calculated hydro sound reduction as a function of
    prove technologies for noise protection. A frequently volumetric air portion of a bubble curtain

    166
    It can be seen that a significant reduction of hydro Bundesamt fr Seeschifffahrt und Hydrographie
    sound level only appears for very high volumetric (BSH). (2007). BSH Standard Untersuchung
    air portions above 90%. This is due to the fact der Auswirkungen von Offshore Windener-
    that not all effects of the bubble curtain can be gieanlagen auf die Meeresumwelt (StUK 3).
    modelled with the presented approach. As this is an Henn H, Sinambari R, Fallen M and Erhard C.
    approach of continuum mechanics with field pa- (2008). Ingenieurakustik: physikalische Grundla-
    rameters being distributed homogeneously over the gen und Anwendungsbeispiele, Vieweg + Teub-
    continuum, only the attenuation effects of imped- ner.
    ance changes between air and water phase can be Lysmer J and Kuhlemeyer RL. (1969). Finite dy-
    modelled. Further effects, such as sound energy namic model for infinite media. J. Engineering
    consumption caused by the resonance of air bub- Mechanics 95: 859877.
    bles, cannot be taken into account and need other Medwin H and Clay CS. (1998). Fundamentals of
    approaches of FE analysis, or other computational Acoustical Oceanography. San Diego: Academic
    fluid dynamics (CFD) simulations. Press.
    Mser M. (2007). Technische Akustik. Berlin:
    4. Conclusion Springer-Verlag.
    Schultz-von Glahn M, Betke K and Nehls G. (2006).
    The results of the presented numerical simulations Minderung des Unterwasserschalls bei Rammar-
    show that many physical principles of sound propa- beiten fr Offshore-WEA Praktische Erprobung
    gation can at least be qualitatively described with the verschiedener Verfahren unter Offshore-
    help of acoustic FE approaches. Nevertheless, more Bedingungen, ITAP-GmbH, Bio Consult SH,
    theoretical research work is needed in order to de- F+Z Baugesellschaft mbH, Menck GmbH, im
    velop a model that accounts for all effects in a quan- Auftrag des Umweltbundesamtes.
    titative manner. In addition, measured data from real Thiele R and Schellstede G. (1980). Standardwerte
    offshore construction sites is also required to vali- zur Ausbreitungsdmpfung in der Nordsee. FWG-
    date the numerical model. A currently running pro- Bericht 1980-7. Forschungsanstalt der
    ject of offshore construction companies, manufac- Bundeswehr fr Wasserschall und Geophysik.
    turers of impact hammers, acousticians and Zienkiewicz OC, Emson C and Bettess P. (1983). A
    geotechnical engineers from the Hamburg University novel boundary infinite element. Intl J. Numerical
    of Technology are gathering mechanical and hy- Methods in Engineering 19: 393404.
    droacoustical data from offshore impact driving, in
    order to improve and validate the numerical ap-
    proaches.

    A validated model could help predict acoustic emis-


    sions caused by offshore pile driving and simplify
    the design process of techniques of sound attenua-
    tion. This could help with coping with the ambitious
    goals of renewable energy without neglecting the
    protection of the environment.

    References

    Betke K and Schultz-von Glahn M. (2008). Prog-


    nose des Unterwassergerusches beim Bau und
    Betrieb des Offshore-Windparks Borkum-West
    (alpha-ventus) und Messung des Hinter-
    grundgerusches im Planungsgebiet, ITAP In-
    stitut fr technische und angewandte Physik
    GmbH.
    Brekhovskikh LM. and Lysanov YP. (2003). Fun-
    damentals of Ocean Acoustics, 3rd edition. Lon-
    don: Springer-Verlag.

    167
    

    168
    '(9(/230(176,16,7(,19(67,*$7,21
    7(&+12/2*<$1'
    (19,5210(17$/&216,'(5$7,216
    
    WIRELINE LOGGING FOR DEEPWATER GEOHAZARD
    ASSESSMENT THE LAST 10 YEARS AND THE NEXT 10

    Adrian Digby
    Fugro GeoConsulting, Houston, Texas, USA

    Abstract
    It has been 10 years since the presentation of Wireline logging for deepwater geohazard assessment (Digby,
    2002) given at the 5th International Conference of Offshore Site Investigation and Geotechnics (OSIG). This
    paper compares the state of wirelining logging for geological site investigation then to now, and the improve-
    ments made as a result of the lessons learned over the past decade. In those 10 years there has been a gradual
    improvement in the equipment available and a refinement of the methods used to improve the percentage of
    borehole logged through-the-bit. In addition, a number of new developments are on the horizon which will
    further widen the availability of high-quality geophysical borehole data in the shallow section of deepwater
    prospects. The most significant advance, however, has not been operational improvements, but in the under-
    standing of how to use the wireline data to allow the best integration of the geophysical and geotechnical data
    sets routinely acquired for geohazard assessment.

    1. Introduction been where the lowest quantity and the poorest quality
    of geophysical borehole data are available. (The poor
    Wireline logging and related techniques (such as quality is primarily caused by the large borehole di-
    logging while drilling (LWD)) are widely used in ameter.) Therefore, the need for this data has perhaps
    virtually every field of geological site investigation not been fully appreciated and the fact that good data
    involving boreholes. The techniques, of course, could be obtained has not been realised.
    were first developed in the oil exploration industry,
    where the techniques still reach their greatest so- For exploration purposes, this may be inconsequen-
    phistication and widest range of use. However, tial, as the shallow section is above the primary tar-
    some sections of the oil and gas industry still rarely gets for investigation the reservoir sections. For
    have such data available from their boreholes. The field development, however, this shallow section can
    geotechnical investigations offshore for field de- hold many traps for cost-effective and risk-adverse
    velopment only have this data if clients are already development. The cemented surface casing is the
    aware of significant problems to the development foundation on which a well both hangs and sits. Its
    that conventional drilling and sampling cannot integrity is fundamental. Leaking surface casing re-
    readily define. sulting from the ill-advised or poor placement of the
    surface string can be costly and potentially disas-
    Geotechnical investigations are often carried out in trous. Soils in the shallow section and at the surface
    very shallow depths for anchor emplacements and casing shoe level can be over-pressured, under-
    pipe line manifolds, etc., that may only require inves- consolidated, faulty and hence readily fractured and
    tigation to 30m or less. Many companies and geotech- poorly bonded to the casing when cemented. Poor
    nical specialists are unaware of the benefits that can bonding can be a serious risk both to well emplace-
    result from high-resolution, high-quality borehole ment and long-term production.
    geophysics, or of the fact that it is available for off-
    shore geotechnical investigations. Even if it is not To investigate boreholes between 50m and 400m deep
    available directly, it could be assumed that the explo- challenges the conventional geotechnical investigation
    ration and development well data may be of use. The methods both practically and economically. A method
    shallow sections of a well, before the surface casing is to obtain better data in this section was employed 12-
    cemented and well control is established, have always plus years ago using the geotechnical investigation

    171
    boreholes and a slimline logging system (Digby, obtained in the reservoir section were not possible.
    2002). Since then, a number of deep-water develop- LWD data, mostly gamma and resistivity, were pro-
    ments have used the slimline wireline logging tools vided, but the high signal-to-noise ratios in large-
    for medium-depth boreholes mainly between 50m and diameter holes and the large sample intervals com-
    400m deep. From these investigations lessons have bined to make this data largely insufficient for geo-
    been learned and the techniques used have developed. technical purposes.
    The results have shed light on the properties of the
    shallow section, and most importantly, the borehole 2.3 Orders of deployment and logging runs
    geophysics data has encouraged more accurate and This has also remained remarkably consistent over
    precise correlation between geotechnical and geo- the years. An in-pipe run is carried out first from full
    physical datasets in such investigations. depth to mudline, and the tool design of the neutron
    and gamma sensors in particular have to be adequate
    In 2002 these techniques were initially used in deep to produce good quality data with reasonable signal-
    water, but the technique is valuable in all offshore to-noise ratios from within the pipe. The original
    environments and with the further innovations since tools had good signal-to-noise ratios within pipe, but
    2002 described in this paper, the use of high-quality did not regularly have dual spacing for the neutron
    high-resolution borehole geophysics for engineering measurement. It was for the assessment of borehole
    purposes is now available and recommended in all conditions before pipe was pulled that dual spacing
    offshore environments. was seen as essential, and this was a significant im-
    petus to the development of the new set of tools.
    2. Equipment Developments Dual spacing refers to two sensors being placed at
    two separate distances from the source. The return-
    2.1 Situation in 2002 ing signal for the longer spacing travels a higher per-
    The slimline tools used in the first three years of centage of its path through the borehole wall, com-
    providing shallow-section wireline logging in deep pared to the shorter spaced signal. Comparison of the
    water were inherited from the mining industry. Al- two over the length of the log reveals where the
    though they provided good data and the high- borehole gauge varies and breakout has occurred.
    resolution logs produced by the tight sampling inter- These areas may be unstable if the bit is pulled back
    vals were worth their deployment, it could be seen and logging is carried out in the open-hole. The dual
    that more and better data would be beneficial. With spacing now provided allows better chance of pull-
    the confidence provided by a number of successful ing the bit back to the optimum location to maximise
    applications of off-the-shelf tools, a set of specifi- the open-hole logged section.
    cally designed tools were constructed. Since 2002,
    several improvements have resulted from deploy- After running in-pipe, the experience from drilling
    ment of these new tools, and a number of aspects of the hole and the evidence of the neutron and gamma
    the initial systems have been retained, as they have logs, together with site specific targets and restraints,
    proved highly successful. dictate how far up the bit is to be pulled before open-
    hole logging is carried out. The tool travels through
    2.2 High resolution the bit hence slimline tools are required and are
    The most significant property of these original logs used to log in the open-hole. The first run always in-
    that has been preserved with the new equipment de- cludes a calliper, which confirms borehole condition
    sign is the small, vertical sampling intervals for all and verifies that logging with nuclear sources can be
    tools. All logs continue to be run at a 2-inch (50mm) carried out safely. The neutron and density tools are
    or smaller vertical sampling interval. Traditional oil- usually run separately. Interference of the signals and
    field sampling intervals of 6 inches (150mm) are not the extra cost of a pass through connection around
    adequate for the geotechnical investigations into the the source have meant normal programmes that are
    shallow section. The variable, but often wide, sam- usually performed include one non-nuclear run, one
    pling intervals of LWD logs in the rapidly drilled with neutron and one with density.
    shallow section from exploration and development
    wells are also often inadequate for geotechnical as- 2.4 Motion compensation
    sessments. Although high-resolution wireline data in The original motion compensation system has
    the reservoir were universally provided, the large- proved robust, effective and suitable for a number of
    diameter of the shallow section down to the surface drilling vessels. It has been used successfully on at
    casing shoe meant that high-resolution data routinely least half a dozen drilling vessels.

    172
    2.5 Modular tool configuration 2.7 Dual spacing
    The original tools described in the 2002 paper re- The advantage of dual spacing for the in-pipe logs is
    quired separate runs down the hole for each tool. Al- also applicable for open-hole logs. Dual spacing is
    though tools often had multiple functions, there were employed for neutron (porosity), density and electri-
    handling and practical limits to the length of an indi- cal (induction and resistivity) logs. Weak soils rarely
    vidual tool that could be deployed. This was restric- provide good borehole gauge throughout a drilled
    tive and resulted in five or more runs being needed hole. To eliminate this borehole effect and to ensure
    to get full parameter coverage. Otherwise, a com- analysis of the data can be done, dual spacing is a
    promise number was decided and some useful pa- considerable advantage.
    rameters were not included in the log suite. In re-
    sponse, the new set of tools were designed to be 2.8 Calliper logs
    stackable and allow greater flexibility when design- Calliper logs may not command the prestige of a
    ing logging runs, thus decreasing the number of range of more sophisticated logs, but they are an es-
    separate runs to one in pipe and three in the open- sential dataset. Initially it was assumed that just know-
    hole. A modular system typical of that used in oil ing the variability of borehole diameter to allow cor-
    well logging is now used. rections for borehole effects would be sufficient
    information. The realisation that the analysis of bore-
    2.6 Sonic logs hole breakout could reveal details about soil structure,
    Until 2000, data from small diameter borings were pressure anisotropy and, in particular, faulting orienta-
    rarely available, but assumptions about the uniform- tions and intersections with the borehole has meant
    ity of soil properties in deepwater shallow sections that oriented (X-Y) callipers have now become an es-
    were soon shown to be untrue when these early wire- sential tool (see sections 3.7 and 3.10).
    line logs were obtained in a variety of sedimentary
    environments. These showed that velocity profiles of 3. Analytical Developments
    the shallow section were typically very variable and
    complex, and that gradual increases in velocity and 3.1 Variability of the shallow section
    soil strengths with depth were the exception, not the Understanding the variability of the shallow section
    norm. The velocity variations were good indicators and correlating log values with the soil properties
    of variations in soil properties, particularly of soil has recently produced some surprises. Previous as-
    strengths, so it was clear that every effort should be sumptions that the shallow section in deep water was
    made to obtain the very best sonic data. a relatively uniform and uninteresting must have
    been based on the lack of detailed geological data.
    From the outset, full wave form acoustic data was However, the initial logs in a variety of deepwater
    seen as essential, but initially it was difficult to ob- environments show this is far from the case. Vari-
    tain a wide enough time window for both p-wave ability on both a stratigraphical scale and a detailed
    and shear wave velocity values to be recorded in bed-by-bed scale have been revealed by the early
    soils typical of the shallow section. The mining logs. Thin atypical beds associated with hydrocarbon
    tools were designed for rock, not soils. The specifi- seepage, bed-limited gas hydrate deposits and mass
    cally designed tools used now are designed with a transport (erosion) deposits that have far more com-
    recordLQJ WLPH ZLQGRZ RI XS WR V, as a time plicated and fine-scale structures than originally
    window that allows a velocity of less than thought have all been revealed by these logs.
    250m/s for the near spaced sensor at 0.91m to be
    recorded. Faulting are identifiable in logs and can be more ac-
    curately defined in number and structure than by
    Another original innovation was the manner of de- solely relying on offsets in the seismic sections. Cor-
    ployment of the sonic tools. As the logging was done relation with soil properties using density, porosity
    through the bit where centralising the tool was not and velocity data has been used to put geotechnical
    possible, the logs were recovered with the tool run- sampling into a wider structural context. The 100%
    ning along the borehole wall. The interpretation of coverage provided by the logs is invaluable, as it al-
    the data was less straightforward than with a central- lows the intermittent samples to be put into a full
    ised tool, but the data proved reliable and provided borehole context and helps determine whether a rep-
    good correlation with both the existing geophysical resentative sampling programme has been achieved.
    survey data and the geotechnical data. This soft Unusually weak or strong intervals may have been
    side-walling procedure has been retained. missed by traditional geotechnical investigation pro-

    173
    cedures, but the 100% coverage of the logs will re- more in error. Eliminating this error is a vital step in
    veal whether the samples are truly representative. correlation of geophysical and geotechnical data.
    The correlation with the geotechnical sampling is an
    invaluable benefit and the first step in the integration 3.4 Depth corrections
    of geophysical and geotechnical data. The second Wireline logs providing accurate measurements of
    step is the correlation with the geophysical data (de- the depth of a hole may seem like a minor advantage.
    scribed in section 3.2). The depth is thought to already be known by adding
    up the drill pipe used. Contrary to this assumption,
    3.2 Correlating boreholes with geophysical surveys over the last 10 years, an average of 1 in 9 (or 11%)
    As with any wireline log, the logs produced in the pipe tallies were found to be in error or suspect when
    shallow section are invaluable for correlation be- the log depths revealed additional information. That
    tween sampling boreholes and the seismic data. is not an inconsiderable number. All of these errors
    Sonic velocities and densities measured in the bore- were of one pipe, and so a shift of 30ft (9.14m) in
    hole are the properties that determine the seismic re- expected depth to measured depth always causes
    sponse, where correlation between the borehole logs concern. There are more subtle and difficult errors to
    and seismic data can be expected and assumed. The consider. This can relate to changes in the seabed
    borehole logs can be used to help establish a regional level during drilling and, in particular, erosion
    structure. Porosity and gamma logs can also reveal caused by the back flow of pressured fluids up the
    major depositional boundaries, as well as changes in annulus. On one occasion, the seabed frame settled
    acoustic velocities, and help put together a more by 11ft (3.35m); fortunately, the CCTV on the frame
    complete geological picture. The wireline logs can confirmed the settlement, and the log interpretation
    indicate depositional processes from log structure, was not the only indicator of such an unusual event.
    and deposits such as turbidites and debrites can be
    identified allowing correlation with the seismic data. 3.5 Super-slow Stoneley waves
    With the sonic data recovered from the shallow sec-
    Apart from correlation with the geophysics, the wire- tion in deep water, it was discovered that late arri-
    line data is also at a much higher resolution. There- vals could be detected unrelated to p-waves or p-
    fore, it is possible to identify events, such as individ- wave multiples. The arrivals were not detected on-
    ual turbidites, at a far finer scale than is possible from shore where the acoustic tool was centralised. It was
    the highest resolution seismic data. Even the 2cm only when the tool was run up the side wall, but
    sampling interval that used the wireline logs may be without hard callipering to the wall (the soft side-
    too coarse resolution for the smallest events. On one walling), that these arrivals were detected. Shear
    site, investigated samples that were recovered identi- waves would not travel up the borehole wall at the
    fied a series of events that were just 1cm-thick turbid- velocities expected in the shallow section. The criti-
    ite deposits. The seismic data had been interpreted as cal angle was such that they would travel off away
    a series of deposits averaging well over 1m per event, from the borehole after the initial acoustic energy hit
    and even the high-resolution wireline data suggested the borehole wall.
    1050cm per event. On this occasion, only high-
    quality samples told the true picture. The waves recorded were understood to be super-
    slow Stoneley waves guided up the borehole wall.
    3.3 Velocity profiles These waves have been used both onshore and in
    The variability in the shallow section applies to ve- shallow water to identify shear wave properties by
    locity as well as other properties. Without a detailed using suspension logging techniques at chosen
    velocity profile obtained from the logs, it is impossi- depths and a number of returns stacked. They have
    ble to provide accurate time/depth conversions of the not been used or recorded in continuous mode (as far
    seismic data. This is the final step in the integration as is known) other than with this type of deployment.
    of the geophysical and geotechnical data. The major- Analysis of these returns has shown their close rela-
    ity of sites are drilled with only sketchy data regard- tionship to true shear waves. The example in Figure
    ing shallow section velocities. Often where salt is the 1 shows the p/s ratio is not constant in the shallow
    first definite horizon identified in offset wells, poly- section. The highlighted sections limited by the pur-
    nomials based on the depth to salt are all that is ple lines show late arrivals of the super-slow
    available. Even in areas with many previously drilled Stoneley waves, indicating two sections of high p/s
    wells, these assumptions on depth can be 5% or ratio due to surprisingly low s-wave velocity.

    174
    planes of weakness that usually cause boreholes to
    break out to the line of weakness. Using oriented cal-
    lipers, generally one of the set of arms in a four-arm
    calliper will follow the maximum diameter of the
    borehole. The borehole breakouts then provide a dis-
    tinctive pattern in the calliper log (see Figure 3). The
    vertical extent of the borehole breakout provides the
    dip of the fault, and the oriented calliper log pro-
    vides the dip direction.

    This analysis was carried out on a highly faulted


    site in the Gulf of Mexico, and when similarity
    cubes were examined, the location and orientation
    of the faults were confirmed. The dip direction has
    been found to be remarkably consistent with the
    orientation of the feature on the seismic similarity
    slice. The faults observed were often not previously
    identified or suspected. Indeed the ratio on one site
    was 7:1, that is, seven faults crossed the boring
    when only one was previously identified from
    seismic data. Further fault analysis, particularly in-
    vestigating indications that a fault is potentially ac-
    tive, could be carried out using the temperature log
    (see section 3.9).

    3.8 Gas hydrates


    Identifying the presence of gas hydrates directly
    from seismic data is difficult and relies upon related
    Figure 1: Section of full waveform log with super slow Stoneley
    effects such as bottom simulating reflectors (BSR)
    (shear) waves and p-wave arrivals
    rather than direct measurement. The most sensitive
    3.6 Seismic inversion geophysical measurement for the presence of gas hy-
    Seismic data, as normally presented, has the advan- drates is the electrical conductivity of the soil. Gas
    tage of showing boundaries, and hence structure, hydrate is highly resistive, compared to normal pore
    very well. However, it has the disadvantage that fluids, and provides a sharp contrast in resistivity
    without additional data, the properties between the with background in the same way that resistive liq-
    reflectors are, at best, conjectural and usually unde- uid or gaseous hydrocarbons are identified in a res-
    fined. The wireline logs in the shallow section pro- ervoir. The induction and resistivity logs are there-
    vided density and acoustic velocity data which could fore very sensitive to the presence of gas hydrate and
    be used to invert the seismic data and to provide the have been able to identify concentrations well below
    acoustic impedance values for each unit. The use of those identifiable from seismic data. Gas hydrate in
    seismic inversion for reservoir analysis using log de- clay is indeed very difficult to identify with any other
    rived acoustic and density data for control is well logging method.
    known. In addition, there appears to be great poten-
    tial for this technique when the detailed acoustic logs 3.9 Fluid flows
    obtained from the shallow section are available for Temperature changes across faults have been iden-
    full band inversions (Hamilton et al., 2005). At pre- tified on a number of occasions. Locating faults
    sent, this technique has been used only sparingly that either delimit pressure regimes, or are allowing
    (example presentation shown in Figure 2). flow of fluids from deep, is a significant factor
    when analysing the risk that faulting presents to
    3.7 Faults field development. On a recent investigation 6 out
    The use of oriented calliper tools provides a very of 28 faults showed evidence of flow. Although 3
    important benefit when identifying and orienting were identified by offsets close to mudline and
    faults that cross the borehole. In the shallow section therefore considered live, the other 3 had not pre-
    these faults are represented by steeply inclined viously been identified.

    175
    Figure 2: Seismic inversion example: borehole location shown as vertical band; low impedance low gamma clays arrowed green;
    and high impedance sands arrowed yellow

    Figure 3: Sketch of typical breakout pattern at a fault identified by oriented calliper log

    3.10 Borehole ovality particularly in areas with anticipated overpressures


    One unexpected feature revealed by the oriented cal- in adjacent sands. The assumption is that they indi-
    liper logs is the occasional evidence of strongly oval cate anisotropic pressure distribution at particular
    borehole cross-sections. These have been noticed levels, while the experience has been that these areas

    176
    are restricted to certain horizons. No quantitative pect of shallow geotechnical drilling that perhaps has
    values have been derived in these locations to indi- not currently been given the attention that it should.
    cate how significant the pressure anisotropy has to
    be to cause this effect. Currently, such an observa- 4.2 Logging while pulling
    tion remains only a warning that something usual is A recently lodged patent describes how logging can
    present. This appears to be an excellent field for fu- be carried out on withdrawal of the bit with mini-
    ture research. mum impact on the rig time. The concept is to drop a
    wireless single-stacked sonde down the hole after
    4. Future Developments drilling is completed. Before the sonde is dropped,
    the bit is lifted by the length of the sonde that is re-
    4.1 Mud control quired to protrude below the bit. This protrusion
    One of the greatest unknowns when approaching an provides the open-hole logs as the pipe and bit are
    investigation offshore where wireline data is re- recovered, and the remainder of the sonde in the bit
    quired from the shallow section is just how far back provides the in-pipe logs. The sonde is secured in a
    the bit can be pulled and how much stable open hole landing rig in the bottom-hole assembly just behind
    will be available. In the early days, it was truly the bit, with the catching ring placed in the appropri-
    guesswork and the only controllable factor was en- ate position on the sonde. The purpose of this simple
    suring the logging-in-pipe was high quality. Experi- deployment is to obtain a log while the pipe is being
    ence has revealed that certain things can be done to pulled, a task that is required for every borehole
    reduce this uncertainty, with mud control being the whether logging is carried out or not. A single run
    most significant of these. will limit the number of measurements that can be
    obtained, and the logs are recoded into the sondes
    Two recent investigations in shallow water have memory. However, the lack of added vessel cost
    shown how important mud weight and viscosity can should mean that even with these restrictions, the
    be. Many drilling platforms for geotechnical work added value of the additional data will be consider-
    offshore have limited ability to weigh up the mud, able.
    thus leading to compromises. These two examples
    show that where despite the restrictions of small- 4.3 Acoustic inversion
    scale geotechnical investigation, mud weight or vis- The potential from inverting ultra-high-resolution
    cosity can be used to stabilise holes effectively. seismic data using the wireline log data for well con-
    trol has not yet been realised. It was proven as prac-
    An investigation from near shore jack-up barges did tical some years ago, but the author is not aware of
    not have the possibility of using barite weighted an investigation that has planned this data process
    mud, as space and supplies were not available. The and presentation from the outset. The potential for
    solution was to use a very high viscosity polymer using inverted data as the background from which
    mud, with a Marsh funnel viscosity of 120. All the the samples could be correlated would seem to make
    borings stayed open to just 5m below mudline and this process an obvious option.
    may have been viable even shallower, but the data
    above 5m was not significant for the project. A sec- 4.4 Gamma spectroscopy
    ond investigation in the North Sea had the difficulty Gamma spectroscopy is a widely used tool in wire-
    of drilling through irregular, unpredictable and weak line logging, both for oil exploration and some
    sands in a very variable succession of till and recent mining applications. Deepwater sediments are usu-
    marine sediments. The mud weight used, despite the ally heavily dominated by clays, which vary con-
    borings being mostly less than 50m deep, was siderably in their thorium, uranium and potassium
    12.5lbs/g. The heavy mud successfully kept bore- content depending on their mineralogy. That varia-
    holes open to within 2m of the seabed on a number tion is a very good indicator of the ratio of smectite
    of occasions, and open-hole logs were obtained up to to illite clay. The geotechnical properties of these
    2m below mudline. two clay families are very different and are behind
    the variability in plasticity and sensitivity of many
    These high weight or high viscosity muds were used deepwater clay sediments. Having a gamma spec-
    as slugs, were placed before pulling the bit and were troscopy log to ensure that samples are representa-
    not used for the normal drilling process. The success tive would seem very valuable. The tools are not
    of these two approaches indicates the importance of expensive and are easily available, providing suffi-
    good mud design in keeping boreholes stable, an as- cient lead-in time is given.

    177
    5. Discussion sity and Sustainability. London: Society for Un-
    derwater Technology.
    In many respects, the use of wireline logging in geo- Hamilton IW, Hartley B, Anghuleta C and Digby AJ.
    technical investigations offshore is still in its in- (2004). Turning high resolution geophysics up-
    fancy. Aspects, such as the inversion and the wider side-down: Application of seismic inversion to
    use of gamma spectroscopy, have been available and site investigation and geohazard problems. OTC
    discussed for some time, but as yet have still not 16096. Proc. Offshore Tech. Conf., Houston,
    been implemented. Even with the current investiga- Texas.
    tions using the current standard set of geophysical
    measurements, virtually every investigation that the
    author has been involved with recently has resulted
    in new and more extensive uses of the data. The
    most significant advance has undoubtedly been the
    integration of the geophysical and geotechnical site
    investigation data using the borehole wireline data as
    a platform for that integration.

    The wireline data is continuous and provides full


    coverage within the borehole, compared to the in-
    termittent nature of sampling, and makes measure-
    ments that can be directly related to those samples
    (such as porosity and density). In the same way that
    intermittent samples can be contextualised by con-
    tinuous wireline data, the latter being restricted to
    borehole locations can be contextualised by the geo-
    physical surveys covering full 2D or 3D space. The
    borehole wireline logs are taking the same measure-
    ments of acoustic velocity and density as the geo-
    physical data and, as with the sampling, a correlation
    is available. In addition, once this correlation is
    made, borehole wireline logs can provide an accurate
    time/depth correction that avoids the inevitable
    smudging of any attempted correlation if the wire-
    line data is not available.

    This technique is still relatively new, and many of


    those involved with the geohazard investigations in
    deep water still have only a passing acquaintance
    with the techniques. Hence, they may be reluctant to
    commit a clients money and time to an additional
    dataset that they are not confident that they can use
    fully. The most important step in getting this tech-
    nique used on a routine basis may be in using the
    experience from those two investigations that have
    provided open-hole logging nearly to mudline and
    developing the ideas of LWP to make the add-on
    costs, particularly for shallow drilled boreholes
    much less significant.

    References

    Digby AJ. (2002). Wireline logging for deepwater


    geohazard assessment. In: Proc 5th Intl Conf Off-
    shore Site Investigation and Geotechnics Diver-

    178
    TECHNICAL VETTING OF FREE-FALL CONE PENETROMETER
    P Jeanjean
    BP America, Inc, Houston, USA
    D Spikula and A Young
    Geoscience, Earth and Marine Services, Inc, Houston, USA

    Abstract
    The paper describes the vetting process to validate a new free-fall cone penetration test (CPT) tool. First, the
    analytical model to calculate the dynamic embedment of the tool is described, and the model predictions are
    compared with laboratory and field tests results. Then the tip resistance and pore pressure measured with the
    new tool are compared to those measured with conventional methods at two Gulf of Mexico deepwater sites.
    The paper demonstrates that the dynamic embedment depth of the new CPT tool can be reliably predicted and
    that the tool measurements compare well with those of conventional seabed-based methods.

    1. Introduction Because the CPT rod is entirely housed inside the


    barrel, the depth interval to which CPT data can be
    1.1 Purpose of the new tool acquired cannot be greater than the length of the
    An innovative cone penetration test (CPT) rig was barrel. However, by carefully planning the dynamic
    recently developed, and is extensively described in penetration of the tool, overlapping CPT profiles can
    Young et al. (2011). The tool is deployed from non- be obtained down to a depth of about 40m, thereby
    drilling vessels and dynamically inserted into the generating a composite continuous CPT profile from
    seabed using conventional jumbo piston coring the seafloor to the depth of interest. The CPT data
    (JPC) deployment techniques. A CPT rod, which is can then be calibrated in the top 1518m with shear
    located inside the JPC core barrel during deploy- strength measurements from JPC samples.
    ment, is then monotonically pushed into the seabed
    below the CPT barrel. Two types of barrel, 11.6m This strategy in combining the available data is illus-
    (short-barrel) and 17.7m (long-barrel), are available. trated in Figure 2. Not all the data in Figure 2 need
    In 2011, the suite of tools was further expanded to to be acquired at all locations of interest, as judi-
    include a seabed unit. For this unit, the CPT is not cious acquisition of a dataset is encouraged.
    penetrated dynamically into the seabed but starts a
    monotonic push at the seafloor (Figure 1). Seabed
    CPT
    Short barrel Long barrel
    Seabed frame JPC core
    short CPT CPTlong CPT Composite profile
    CPT
    Strength Strength Strength Strength Seafloor
    Strength
    Depth

    15-18m
    CPT core barrel

    Core head
    ~40m
    Figure 1: CPT seabed unit on deck of deployment vessel Figure 2: Combining JPC, seabed CPT, short-barrel CPT and
    (courtesy of B Bernard, TDI-Brooks) long-barrel CPT data to obtain a composite strength profile

    179
    The ability to correctly predict the embedment of the where m is the mass of penetrator; z is depth; t is
    CPT tool is critical in ensuring that there is a depth time; g is acceleration of gravity; Fbw is the buoy-
    interval where the short-barrel CPT data can be ancy force in water with Fbw = wgV, w is the den-
    overlaid with the JPC data and long-barrel CPT data. sity of water; V is the volume of penetrator; is
    The following section details the development of the the inertial drag force of water with Fdw
    embedment prediction model.
    ; Cdf is the fluid drag coefficient;

    2. Development of Penetration Model and Ap is the frontal projected area of penetrator.

    2.1 Formulation of the model In soil, the governing equation of motion is taken as:
    The key publications used to develop the penetration
    (2)
    model herein include True (1976) and OLoughlin et
    al. (2004). The forces acting on a typical anchor where, in addition to previously defined variables,
    penetrator and the free-fall CPT penetrator are Fbs is the buoyancy force in the soil with Fbs = sgV,
    shown in Figure 3. s is density of soil; Fp is the soil end bearing resis-
    tance of all surfaces perpendicular to the penetrator
    trajectory with  ; Rf is the

    strain rate factor with O ; is strain

    rate multiplier; Vs is the reference velocity; Nc,i is the
    bearing capacity factor for ith surface; Su,i is the shear
    strength at depth of ith surface; Api is the area of ith
    surface; Fs is the soil skin friction resistance of all
    surfaces parallel to the penetrator trajectory with
     ; is the adhesion factor for
    nth surface; Asn is the area of nth surface; Fds is the

    inertial drag force with  ; Cd is


    the drag coefficient with  ; Cdf is

    fluid drag coefficient; Cds is the soil drag coefficient;

    and  . This model was implemented in a

    Microsoft Excel spreadsheet and is solved via finite
    difference techniques with a time interval of 10ms.

    2.2 Small-scale laboratory experiments


    In 2006, a series of small-scale experiments were
    performed in the C&C Technologies laboratory in
    Houston, USA. Three types of penetrators, as shown
    in Figure 4, were dropped and allowed to free fall
    into a tub of reconstituted Gulf of Mexico clay. The
    models were 0.5m long with a shaft diameter of
    31mm and a mass of 2kg. They had fins for over
    80%, 60%, and 40% of their length, and had an
    interchangeable nose section which could be round,
    angled at 30, or angled at 60 (Figure 4). Nine
    penetrators were therefore available.
    Figure 3: Forces acting on (a) a typical anchor penetrator;
    and (b) the free-fall CPT rig penetrator
    The soil bed was made of reconstituted Gulf of Mex-
    ico clay, which was thoroughly mixed and let to re-
    These forces are expressed in two sets of equations. consolidate for two weeks. The clay had a plasticity
    In water, the governing equation of motion is taken index of 56, an average water content of 85%, a
    as: shear strength of about 1.8kPa (as measured with T-


    (1) bar and minivane tests) and a sensitivity of 1.5. A
    T-bar test was run immediately before each test.

    180
    Figure 4: Model penetrators tested in Gulf of Mexico clays
    0 anchor is falling in air
    The shaft section of the penetrators was hollow and 1 anchor nose hits air/water interface
    contained an on-board instrumentation package, 2 anchor nose hits water/soil interface
    which included one accelerometer and one incli- 3 anchor nose is entirely penetrated
    nometer, as shown in Figure 5. 4 fins start to embed into soil
    5 top of anchor is at soil/water interface (i.e.
    anchor is embeddded over its entire length)
    Figure 6: Example of measured and predicted acceleration
    record during penetration

    The measured penetration depths for all tests com-


    pare favourably with the predicted ones (Figure 7).
    The ratio of measured over-predicted penetration
    depths has a mean of 0.98 and a coefficient of varia-
    tion (COV) of 0.05.
    Figure 5: Model penetrators instrumentation package
    1

    The analytical model (Equations 1 and 2) was used


    with the input parameters of Table 1. The side adhe- 0.9
    Measured Penetration Depth (m)

    sion factor (D was varied until the predicted em-


    bedment depth matched the measured embedment 0.8
    depth. The reference velocity (Vs) is representative
    of typical direct simple shear (DSS) testing condi-
    0.7
    tions.

    Table 1: Input parameters for anchor penetration model 0.6

    Parameters Value
    Side adhesion factor, D 0.4 0.5
    0.5 0.6 0.7 0.8 0.9 1
    Body end bearing factor, Ncb 9
    Predicted Penetration Depth (m)
    Fin end bearing factor, Ncf 7.5
    Fluid drag coefficient, Cdf 0.57 Figure 7: Measured versus predicted final penetration depth
    for small-scale laboratory penetration tests
    Soil drag coefficient, Cds 0.7
    Strain rate multiplier, O 0.1
    2.3 Verification with large-scale field data
    Reference velocity, Vs (m/s) 1.0E-7 The analytical model was then tested against two
    sets of full-scale tests results: the Deep Ocean Model
    A typical measured acceleration profile during the Penetrator (DOMP) experiments and torpedo anchor
    anchor dynamic penetration is shown in Figure 6. tests by Petrobras. The DOMP experiments (Free-
    The predicted profile is also shown and captures key man and Burdett, 1986) were conducted to study the
    phases of the penetration. feasibility of burying radioactive waste in deep

    181
    ocean sediments through free-falling penetrators. 40
    The soil strength profile for DOMP I tests is (1.7 +
    35
    1.0z) kPa, and the soil strength profile for DOMP II
    tests is (5.4 + 1.1z) kPa, where z is the depth in

    Measured Penetration Depth (m)


    30
    metres. Figure 8 illustrates the designs and scale of
    the penetrators used in the DOMP II field tests. 25

    20
    Lab. small scale tests
    15
    Petrobras Torpedo Pile -
    10 Medeiros (2002)
    DOMP I and II tests - Freeman
    and Burdett (1986)
    5 1:1 line

    0
    0 10 20 30 40
    Predicted Penetration Depth (m)
    Figure 9: Measured versus predicted final penetration depth
    for DOMP tests and torpedo anchor test

    3. Prediction of Free-Fall CPT Penetration


    Depth

    3.1 Free-fall CPT geometry and test setup


    The geometry of the free-fall CPT penetrator is
    shown in Figure 10 during the dynamic penetration
    Figure 8: Shape and size of penetrators used in the DOMP II
    field tests (Freeman and Burdett, 1986)
    in to the soil.

    Medeiros (2002) reports the results of field tests


    with torpedo anchors developed by Petrobras. For a
    torpedo anchor weighing 400kN (dry), 12m long and
    with a 0.76m outside diameter (OD), the medium
    penetration was 29m at a drop height of 30m in
    normally consolidated clay with shear strength equal
    to (5 + 2z) kPa. Additional publications of installa-
    tion records for other types of penetrators, such as
    the OMNI-Max anchor (Zimmerman et al., 2009), or
    deep penetrating anchors (Sturm et al., 2011;
    OLoughlin et al., 2004) do not offer a complete set
    of information in order to verify the model herein.

    The penetration model was used with the same val-


    ues shown in Table 1 to hindcast the final penetra-
    Figure 10: Geometry of free-fall CPT during dynamic
    tion depths of the DOMP and torpedo penetrators. penetration
    The only exception was the numerical values of the
    fluid drag coefficient (Cdf), which depends on the The CPT rig is typically released (or triggered) only
    shape of the penetrator. A value of Cdf = 0.33, as 1m or so above the seafloor, with little free fall in
    quoted by Fernandes et al. (2005), was used to hind- the water column. The CPT data acquisition module
    cast the results of Medeiros (2002). Values of Cdf be- records time, acceleration, tip resistance, pore pres-
    tween 0.1 and 0.2 were used for the DOMP I and II sure and sleeve resistance during free fall and the
    tests, depending on the penetrator. subsequent monotonic push.
    As illustrated in Figure 9, the prediction model per- 3.2 Predicted and measured deceleration
    formed well, with the same side adhesion factor (D Figure 11 shows an example of measured accelera-
    of 0.4. The measured penetration depths were about tion profile during a typical deployment and the cor-
    15% higher than the predictions. responding model predictions.

    182
    Acceleration (m/s2) or Velocity (m/s)
    Table 2: Input parameters for free-fall CPT penetration model
    -25 -20 -15 -10 -5 0 5 10 15 Parameters Value
    0
    Side adhesion factor, D varies
    Field Acceleration Core barrel end bearing factor, Ncb 9
    Predicted Acceleration
    5 Core head end bearing factor, Nch 9
    Field Velocity
    Predicted Velocity Fluid drag coefficient, Cdf 1.0
    CPT tip penetration (m)

    Soil drag coefficient, Cds 0.7


    CPT core head impacts the seafloor 10
    in model prediction Strain rate multiplier, O 0.1
    Reference velocity, Vs (m/s) 1.0E-7
    15

    To simplify the prediction process, an Dfactor of 0.4


    20 is proposed for the short-barrel deployments and an
    Dof 0.2 is proposed for the long-barrel deployments.
    25 Figure 12 shows that good agreement is obtained if
    these values are used. The ratio of measured over-
    Figure 11: Typical example of measured and predicted accel-
    eration profile for a CPT deployment; the model is tweaked un-
    predicted embedment depth is 0.98 on average for
    til the correct final penetration is calculated (with alpha = 0.2 the 24 CPT deployments.
    in this example)
    25

    As can be seen, the initial acceleration after the CPT


    is released is not equal to the acceleration of gravity Measured Penetration Depth (m)

    (g). Experience indicates that the initial acceleration


    20
    is about 75% of g, and the initial velocity is in the
    order of 12m/s (Bernard, 2012). In addition, it can
    be observed that the model will predict a sharp break
    in acceleration when the core head impacts the sea-
    15 Free Fall CPT - Short Barrel -
    floor. alpha = 0.4
    Free-Fall CPT - Long Barrel -
    However, the measured data suggest that the accel- alpha = 0.2
    1:1 Line
    eration profile is perturbed even when the core head
    is still a few metres above the seafloor. In Figure 11, 10
    10 15 20 25
    the acceleration starts decreasing at a CPT tip pene- Predicted Penetration Depth (m)
    tration of 16m, although the core head physically
    Figure 12: Measured versus predicted free-fall CPT penetra-
    penetrates the seafloor only when the tip is at a tion depths for 24 deployments
    penetration depth of 17.7m. This occurs because the
    pendant wire is getting taut prior to the core head 3.4 Overall performance of penetration model
    reaching the seafloor (Bernard, 2012). The global performance of the prediction model is
    shown in Figure 13. All the tests have been hindcast
    3.3 Predicted and measured penetration depths with an Dvalue of 0.4, except for the long-barrel
    The penetration depth of the free-fall CPT rig was CPT drops, which have been hindcast with an
    hindcast for 13 short-barrel deployments and 11 Dvalue of 0.2. The lower side adhesion factor (D
    long-barrel deployments using the parameters in value for the long-barrel drops is believed to be the
    Table 2. These parameters are similar to the parame- result of continuous water entrapment at the
    ters in Table 1, except for the fluid drag coefficient. barrel/soil interface as the CPT barrel continues to
    This coefficient has little effect on the calculated penetrate to deeper depths.
    penetration depth because the velocities of the CPT
    rig in water are low. Indirect evidence of water entrapment at the
    soil/penetrator interface was observed during the
    Only the side adhesion factor (D was varied in order
    laboratory small-scale tests. The penetrators were
    to empirically match the observed penetration of the
    CPT rig. For the long-barrel deployments, hindcast first dropped completely in air, without a water layer
    Dvalues ranged from 0.16 to 0.27 with a mean of above the soil bed. The best-fit side adhesion factor
    0.22 and a COV of 16%. For the short-barrel (D to hindcast the penetration depths of these tests
    deployments, hindcast Dvalues ranged from 0.36 to was 0.7, which corresponds roughly to the inverse of
    0.54, with a mean of 0.42 and a COV of 13%. the soil sensitivity (1/1.5 = 0.67). However, when a

    183
    0.3m layer of water was added on top of the soil bed, ing or mass wasting events. These sediments are un-
    the best-fit D (as previously described) dropped to derlain by debris flow deposits down to the termina-
    0.4. This suggests that water was being entrapped tion depths of the CPTs (Figure 14).
    along the penetrator surface during penetration, even
    though that surface was relatively smooth and free
    of major protuberances. This increase in water in the Seafloor
    soil reduces the steel/soil friction to a value below
    that of the soil remolded shear strength.

    40

    35

    Depth of 18m
    Measured Penetration Depth (m)

    30

    25

    20 Debris flow deposits


    15
    Laboratory small-scale tests
    10 Free-Fall CPT - Short Barrel
    Free-Fall CPT - Long Barrel
    5 DOMP I and II Tests - Freeman and Burdett (1986)
    Petrobras Torpedo Pile - Medeiros (2002)
    1:1 line Figure 14: Sub-bottom profiler record at calibration site 1
    0
    0 5 10 15 20 25 30 35 40
    Predicted Penetration Depth (m) The second calibration site consisted of parallel-
    Figure 13: Measured versus predicted penetration depths for bedded hemiplegic sediments interbedded with thin
    all penetrators analysed mass wasting events down to 22m (Figure 15). At
    that depth, an erosional unconformity was present,
    It should be noted that the CPT barrel is not smooth with an unknown thickness of sediments having
    but is made of 3m (10ft) sections with an external been removed. At both sites, the free-fall CPT data
    diameter of 0.14m. These sections are connected to was acquired at a seafloor location within 20m of
    each other with couplings that have an external di- where the conventional seabed-CPT test was per-
    ameter of 0.16m (see Figure 10). These protruding formed.
    couplings are speculated to exacerbate water en-
    trapment at the soil/barrel interface, thereby result-
    ing in a decreased friction at a given depth as an in- Seafloor

    creasing length of barrel penetrates past that depth.


    The overall performance of the prediction model is
    robust for the database herein, and allows confident
    calculation of the CPT rig dynamic final penetration
    depth.

    4. Comparison of Free-Fall CPT Data with


    Conventional Systems Erosional unconformity
    at depth of 22m

    4.1 Description of validation sites


    The proper performance of the free-fall CPT tool Figure 15: Sub-bottom profiler record at calibration site 2
    sensors was verified and validated by comparing the
    cone tip resistance, pore pressure and sleeve friction 4.2 Comparison of tip resistance and pore pressure
    resistance obtained with this tool with those acquired TDI-Brooks, Inc, performed the free-fall CPT tests
    by conventional seabed CPT systems. and provided the results as a Class A prediction
    (i.e. without knowledge of the data acquired by con-
    Two validation sites were selected in deepwater ventional seabed CPT tools). Figure 16 shows the
    Gulf of Mexico. In the top 18m, the first site consists comparison of the corrected cone tip resistance and
    of uninterrupted parallel-bedded hemiplegic sedi- pore pressure response between the free-fall CPT
    ments that have not been affected by erosion, fault- and the conventional seabed CPT rig at site 1.

    184
    Figure 16: Comparison of CPT tip resistance and pore pres- Figure 17: Comparison of CPT tip resistance and pore pres-
    sure between free-fall CPT and conventional systems at site 1 sure between free-fall CPT and conventional systems at site 2

    Figure 17 shows the comparison of corrected cone Second, the tip resistance and pore pressure meas-
    tip resistance and pore pressure response between urements obtained with this tool compared very well
    the free-fall CPT and the conventional seabed CPT with measurements obtained with conventional sea-
    system at site 2. During the monotonic push, the bed-based systems at two Gulf of Mexico deep-
    measured tip resistance and pore pressure compared water sites. The authors therefore believe that this
    very well between the two systems. At site 1, the new CPT tool can reliably acquire CPT data at pre-
    free-fall CPT corrected tip resistance was, on aver- dominantly soft clay sites, which can be judiciously
    age, 12% higher than that of the conventional sys- incorporated into new strategies to acquire fit-for-
    tem. A comparison between the free-fall CPT sleeve purpose geotechnical data in the top 40m below the
    friction measurements and those of the conventional seafloor.
    system is not presented because the free-fall CPT
    friction sleeve did not provide reliable measure- Acknowledgments
    ments at these two sites.
    The small-scale laboratory penetrator tests described
    5. Conclusions herein were conducted in 2005 and 2006 in the C&C
    Technologies laboratory in Houston, Texas, under
    This paper describes the technical validation process the direction of Steve Garmon. His ingenuity and
    of the new free-fall CPT (the CPT Stinger; Young et willingness to experiment are gratefully acknowl-
    al., 2011). First, a rigorous analytical model initially edged. Dr Bernie Bernard, TDI-Brooks, Inc, is ac-
    developed for deepwater gravity anchors was modi- knowledged for the passion and enthusiasm he dis-
    fied and calibrated to predict the dynamic final pene- played throughout the development and validation of
    tration of the CPT. A single parameter, the side adhe- the free-fall CPT rig. The authors are grateful to BP
    sion factor (D was varied to match the measured America, Inc, for permission to publish.
    penetration depths of 24 deployments, and D values References
    of 0.2 and 0.4, respectively, are recommend to predict
    the behaviour of the long- and short-barrel CPTs. Bernard B. (2012). Personal communication.

    185
    Fernandes AC, de Araujo JB and Diniz RG. (2005).
    Hydrodynamic aspects of the Torpedo anchor in-
    stallation. Proceedings OMAE 2005, Halkidiki,
    Greece, Paper OMAE 2005-67201.
    Freeman TJ and Burdett JRF. (1986). Deep ocean
    model penetrator experiments. Commission of the
    European Communities Nuclear Science and
    Technology series, Report No. EUR10502.
    Medeiros CJ. (2002). Low cost anchor system for
    flexible risers in deep water. OTC 14151. Proc.
    Offshore Tech. Conf., Houston, USA.
    OLoughlin CD, Randolph MF and Richardson M.
    (2004). Experimental and theoretical studies of
    deep penetrating anchors. OTC 16841. Proc. Off-
    shore Tech. Conf., Houston, USA.
    Sturm H, Lieng JT and Saygili G. (2011). Effect of
    soil variability on the penetration depth of dy-
    namically installed drop anchors. OTC 22396.
    Proc. Offshore Tech. Conf., Houston, USA.
    True DG. (1976). Undrained vertical penetration
    into ocean bottom soils. PhD Thesis, University
    of California, Berkeley.
    Young A, Bernard B, Remmes B, Babb L and
    Brooks J. (2011). CPT Stinger An innovative
    method to obtain CPT data for integrated geo-
    science studies. OTC 21569. Proc. Offshore
    Tech. Conf., Houston, USA.
    Zimmerman E, Smith M and Shelton JT. (2009). Ef-
    ficient gravity installed anchor for deepwater
    mooring. OTC 20117. Proc. Offshore Tech.
    Conf., Houston, USA.

    186
    RATE-EFFECT CORRECTION METHODS FOR FREE-FALL CPT
    DATA IN DEEPWATER GULF OF MEXICO AN OPERATORS
    PERSPECTIVE
    Russell L Buhler and Jean ME Audibert
    ExxonMobil Development Company, Houston, USA

    Abstract
    A new geotechnical investigation tool called the CPT Stinger has recently been developed to acquire geotech-
    nical information cost effectively at deepwater sites. Combining jumbo piston core (JPC) sampling with the
    CPT Stinger (deployed using the same rigging as the JPC) provides a full geotechnical profile at a given loca-
    tion, down to a depth of 35m below mudline. Cone penetration test (CPT) data are collected during initial
    free-fall insertion of the CPT Stinger apparatus. These data could be used to provide a continuous stratigraph-
    ic profile from mudline down to the depth where conventional CPT data (push rate of 2cm/s) are acquired, if a
    reliable and repeatable method for correcting the free-fall insertion data could be developed. Several methods
    have previously been proposed to correct soil shear strength for rate of loading effects. These methods are
    evaluated in this paper by comparing their results to data acquired in 2011 at a deepwater site in the Gulf of
    Mexico. The paper gives an operator's perspective on the potential of different methodologies in correcting
    free-fall CPT Stinger data for deepwater site investigations.
    1. Introduction standard push rate of 2cm/s (American Society for
    Testing and Materials (ASTM), 2007). Interpretation
    Deepwater geotechnical acquisition is a cost inten- and testing of the JPC soil samples and standard
    sive activity that causes operators to evaluate trade- 2cm/s CPT push can be completed using standard
    offs between project economics and the relative val- geotechnical practice to provide a complete profile
    ue of the information being gathered. Operators are for the full 35m below the mudline (BML) depth of
    continuously evaluating more economical options evaluation.
    for acquiring high quality data that can be used for
    design. Downhole and wheel-drive cone penetration Due to the high cost of deepwater geotechnical ac-
    tests (CPT) have been commonly and reliably used quisition discussed previously, all data collected was
    for many years to provide a continuous geotechnical used, including data collected during free-fall inser-
    profile in offshore applications. A new system has tion. This was done instead of discarding the free-
    been recently developed called the CPT Stinger, and fall data and relying solely upon the results of the
    it proposes to reduce geotechnical data acquisition JPC laboratory testing programme in the shallow
    costs by combining the traditional jumbo piston core stratigraphic region. The goal was to implement a
    (JPC) sampling technique with a CPT system that is technically defensible method to correct the free-fall
    deployed with the same equipment. data to replicate what would have been obtained if a
    standard 2cm/s push had been used in this zone. Due
    The CPT Stinger essentially replaces the JPC core to the limited number of sites investigated during the
    barrel and liner with the CPT cone, data logger, rod acquisition programme, it was concluded that using
    assembly and power and control modules (Young et previously proposed and peer-reviewed methods of
    al., 2011). After deployment, the system is lowered correction for rate effects should be the starting
    to a depth just above the seabed target location. point. This paper presents the results of the evalua-
    Once triggered, the system is allowed to freefall into tion of several methods that have been published and
    the sediment like a JPC, with speeds approaching provides an operators perspective on the potential
    10m/s. The system uses the skin friction from the of the different methodologies in correcting free-fall
    barrel and weight of the core head as a reaction force CPT data based on the results of a recent survey us-
    to extend the rod and cone deeper into the soil at a ing the CPT Stinger technique.

    187
    2. Background

    Rate of loading effects on the shear strength of clays


    has been recognised since the early 1950s
    (Casagrande and Wilson, 1951). In general, an in-
    crease in the rate of shear results in an increase in
    undrained shear strength. The problem has been ad-
    dressed many times since for various applications and
    a wide range of rates. The following sections high-
    light the most applicable previous work and proposed
    methods for correcting for rate effects. Literature re-
    view for these purposes was focused on studies that
    evaluated the in situ rate correction most com-
    monly, the vane shear test. Some statnamic and dy-
    namic pile load studies (e.g. Randolph and Deeks,
    Figure 1: Normalised shear strength versus strain rate (from
    1992) could add value to this loading rate correction Sheahan et al., 1996)
    assessment and will be used to aid future analyses.
    As shown in Figure 2, Sheahan et al. (1996) found
    2.1 Logarithmic method that the increase in shear strength for OCR 1 speci-
    The logarithmic method has been suggested for use mens was caused by the suppression of the shear-
    in correcting pile capacity and CPT cone resistance induced pore pressure and an increase in the effec-
    (qc) for rate effects by Bea and Audibert (1979) and tive stress friction angle.
    Vivatrat (1978), respectively. A version of the pro-
    posed correction is given by:

    (1)

    where su is the undrained shear strength at tested ve-


    locity; su.ref is the undrained shear strength at refer-
    ence velocity; is the material constant; v is the
    tested velocity; and vref is the reference velocity.
    Lunne et al. (1997) summarised Vivatrats findings
    that qc increased by 10% per log cycle increase at a
    rate of penetration between 1mm/s and 200mm/s in
    normally consolidated Boston Blue Clay (BBC) and
    East Atchafalaya Basin Protection Levee (EABPL)
    clay. These findings were used as the basis for the
    suggestion by Young et al. (2011) that free-fall CPT
    Stinger data, including qc, sleeve friction (fs) and
    pore pressure (u2), could individually be corrected
    for velocity effect using this method.

    The method was further investigated using the re-


    sults of several K0 anisotropically consolidated-
    undrained (CAUC) triaxial compression tests on re-
    sedimented BBC, with an emphasis on the effect of
    the overconsolidation ratio (OCR) by Sheahan et al.
    (1996). The study found that for the high strain rate Figure 2: Summary plots of mechanism: (top) normalised
    region, which is more applicable for free-fall CPT shear-induced pore pressure; and (bottom) friction angle at
    penetration, the value from Equation 1 is relatively peak versus strain rate (from Sheahan et al., 1996)
    constant at 9.5% 2%. For samples with an OCR of
    2.2 Power method
    1, the rate effects are most pronounced, as seen in
    An alternative model was proposed by Riggins
    Figure 1. Owing to the trend of increasing rate ef-
    (1981), based on the results of large-scale simple
    fects with decreasing OCR, it would stand to reason
    shear tests, that leads to a straight line on a log-log
    that rate effects should be highest for underconsoli-
    plot of shear strength vs. testing rate. This model is
    dated clays, which are representative of most deep-
    represented by:
    water sites.

    188

    magnitude. A summary of these data is shown in
    (2) Figure 4, where it can be seen that for a wide range

    of shearing rates and soil types, values between
    where is the material constant. Briaud and Garland 5% and 10% match the trends well and bound the
    (1984) expanded on this model to propose best-fit majority of the data.
    exponent values based on water content (w), plastic-
    ity index (PI) and liquidity index (LI). The majority
    of laboratory and pile load test data evaluated by
    Briaud showed the values to fall between 2% for
    hard clays and 8% for soft clays.

    A large amount of work has been done since the


    1950s to evaluate the rotation rate effect on vane
    shear testing. Biscontin and Pestana (1999) provide
    a good summary of the previous work and identify a
    gap in the analysis of rates of rotation that would be
    more representative of seismic or wave loading con-
    ditions. Similar to this paper, they evaluated the ex-
    isting methods to determine which was most effec-
    tive to account for rate effects based on their results.
    They found that the power method better estimated
    the increase in shear strength with increasing rate of
    shearing. The logarithmic method tended to under- Figure 3: Summary of peak conditions for shear vane tests
    predict the increase in shear strength at very high (from Biscontin and Pestana, 1999)
    shearing rates, as shown in Figure 3.
    2.3 Square root method
    When the power method was used with values be- A modified version of the power method was re-
    tween 5% and 10%, Biscontin and Pestana (1999) cently proposed by Abelev and Valent (2009) and is
    found that the method provided a better fit over the given by:
    entire range of study. This agreement was signifi-
    cantly expanded by Peuchen and Mayne (2007). (3)

    They presented shear strengths from a large collec-
    tion of field and laboratory vane over nine orders of where is the material constant.

    Field and Lab Vane Strength Data at Different Rotation Rates Askim

    3.0 Backebol

    B-Kaolin Mix I

    B-Kaolin Mix II
    Normalized Vane Strength, s u/su0

    2.5
    B-Kaolin Mix III

    Bromma Clay
    2.0
    Carribean Calcareous
    Ooze
    Gulf of Mexico

    1.5 Pacific Red Clay

    Santa Barbara

    Ska Edeby
    1.0
    Sussex (w = 61%)

    Sussex (w = 55%)
    0.5 Sussex (w = 42%)

    Reference Rate

    0.0 Bound 1 10%


    0.0001 0.001 0.01 0.1 1 10 100 1000 10000 100000 Bound 2 5%

    Rotation Rate, dT/dt (deg/min)


    Figure 4: Normalised vane strengths versus rotation rate (from Peuchen and Mayne, 2007)

    189
    The goal of Abelev and Valents (2009) study was to 3. Deepwater Project Overview
    evaluate the rate of loading effects in the upper
    ranges that had not received much attention in pre- The project site was located in the central Gulf of
    vious studies. It found that while the data used to Mexico in ~2100m water depth. The intent of the
    produce the logarithmic and power methods span programme was to characterise the surficial material
    many orders of magnitude, most data do not reach for the design of flowlines, subsea equipment and
    the high range of shear rates characteristic of marine temporary anchoring for mobile offshore drilling
    dynamic penetration events. Abelev and Valent units (MODU). The authors of this paper served as
    chose the vane test as the testing method and a soft the company representatives offshore with the dual
    Gulf of Mexico clay prepared at various water con- purpose of monitoring quality control and determin-
    tents as the testing medium. The range of rates ing the potential of this relatively new site investiga-
    evaluated were 90360,000/min or ~1 order of tion technology for future projects. The site investi-
    magnitude greater than the data range from Figure 3. gation programme consisted of a combination of box
    cores, piston cores, JPCs and CPT Stingers. This pa-
    The results showed that the logarithmic and power per focuses on the results of the JPCs and CPT
    methods did not represent the best fits. In response, Stingers, and summarise the findings.
    Abelev and Valent developed what they called the
    modified power function. The modification called 3.1 Testing programme
    for two material constants: an exponent and a coeffi- A total of six locations were selected to acquire
    cient. They recognised that adding a material con- JPC and CPT Stinger combinations. The combina-
    stant may be an undesirable complexity, thus they tion selected included one JPC, and one short and
    fixed the exponent at 0.5, which worked well with one long CPT Stinger. The rationale was to provide
    the dataset. The results of the study are presented in a complete profile consisting of JPC samples or
    Figure 5. The plot compares the calculated shear standard (2cm/s) CPT testing to the target depth of
    strength values at various rates with the different 35m. A summary of the average penetration, recov-
    rate correction methods. As can be seen, the square ery and testing depths for the different acquisition
    root method provides a significantly better fit over types from this project are presented in Table 1.
    the entire range of rates investigated. Unfortunately, Young et al. (2011) provides an summary of CPT
    values for the coefficient were not presented by Stinger operations, which is outside the scope of
    Abelev and Valent (2009). this paper.

    Figure 5: Normalised shear strength versus normalised rotational rate (from Abelev and Valent, 2009)

    190
    Table 1: JPC and CPT Stinger investigation depths
    Sampling Free-fall Static push
    JPC 019m
    Short CPT 014m 1424m
    Long CPT 020m 2036m

    An extensive laboratory testing programme was


    conducted on the JPC samples that included the fol-
    lowing: multi-sensor core logging (MSCL); X-
    radiography; index testing (water content, unit
    weight, Atterberg limits, degree of saturation, spe-
    cific gravity, hydrometer, carbonate content and salt
    content); torvane; minivane (undisturbed, remolded
    and thyxotropy); unconsolidated undrained (UU) tri-
    axial compression; controlled rate of strain (CRS)
    consolidation; static, cyclic, creep and rapid direct
    simple shear; and K0 triaxial compression and exten-
    sion tests.

    4. Results
    Figure 6: Interpreted sub-bottom profile
    4.1 Interpretation of stratigraphic profile
    The undrained shear strength profile was interpreted
    through analysis of the field and laboratory vane,
    torvane, static direct simple shear tests, and standard
    push CPT. The results of the static DSS tests, when
    adjusted for sample disturbance through the SHAN-
    SEP method, were determined to be the best meas-
    ure of undrained shear strength. The interpreted pro-
    file is summarised in Table 2.
    Table 2: Interpreted undrained shear strength profile
    Depth su (kPa)
    09m 1.92 + 0.177kPa*z
    935m 9.09 + 0.622kPa*(z-9)

    Most of the testing locations showed a significant


    variation in shear strength in both the laboratory
    testing and CPT data between 12m and 18m. This
    was verified using the interpretation of the sub- Figure 7: Estimated in situ overburden stress and preconsoli-
    bottom profile, which indicated a mass transport dation pressure versus depth
    complex in that range. A summary of the upper 25m
    of the sub-bottom profile showing key stratigraphic 4.2 Free-fall CPT correction results
    features used during interpretation is shown in Fig- The first step in this study was determining the rate
    ure 6. The sub-bottom profile images were com- correction on u2 values, since this is an integral
    bined with the results of MSCL data, the moisture value in deriving corrected cone resistance (qt). It
    content profile, the undrained shear strength profile. was consistently found that no correction on u2 was
    needed to align the free-fall and static CPT data.
    and the preconsolidation stresses derived from the
    This matched a common finding of several CPT rate
    CRS consolidation tests. This combined profile indi- correction studies (e.g. Lunne et al., 1997). The ex-
    cated that the soils are under-consolidated from cellent fit of the free-fall data to static data is shown
    mudline to ~25m BML, becoming normally consoli- in Figure 8. Once u2 was determined to not be af-
    dated below 25m. The preconsolidation pressures fected, the authors focus turned to the qc correction.
    measured from the CRS consolidation tests using the The paper by Young et al. (2011) showed that the
    Casagrande and Becker methods are shown in Fig- logarithmic method to correct qc provided good
    ure 7, with the estimated in situ overburden stress agreement with the static CPT overlap. Analysis for
    and preconsolidation pressures. this paper began using the same technique.

    191
    CPT_L
    Free-Fall
    Penetra-
    tion

    CPT_S
    Static
    (2cm/s
    ) Push

    Figure 8: Comparison of rate effect correction methods

    192
    Similar performance was found in the deceleration more data are gathered at a range of sites and soil
    zone of the free-fall CPT data that overlapped with conditions, based on these findings, there is potential
    the short static CPT push. However, using the for a single method being developed to correct the
    method with the same material constant caused a no- full range of penetration rates.
    table over-prediction of the shear strength in the up-
    per sediments. Young et al. (2011) did not provide a 5. Summary and Conclusions
    derived and corrected su based on the logarithmic
    method for comparison to the available JPC data. This paper provides a summary of published meth-
    Since the area of greatest interest for this paper is su
    ods for correcting for rate effects in geotechnical
    in the zone between mudline and static CPT push
    (~0-14m), additional methods were evaluated to ad- testing. These methods were then applied to six
    just the shear strength over-prediction. JPC/CPT Stinger combinations at a site in the deep-
    water Gulf of Mexico. The following conclusions
    The three methods discussed in section 2 were can be drawn from this study:
    evaluated for each JPC/CPT Stinger combination us-
    x The measured u2 values during free-fall pene-
    ing the material constants shown in Table 3. These
    tration do not need to be corrected for rate ef-
    constants were based on the recommendations of
    fects to obtain equivalent results that would be
    those from previous studies. The goal was to find a
    received during a standard push CPT.
    correction method that would make the corrected
    dynamic CPT data match the JPC laboratory testing x The square root and power methods using
    results and standard push CPT. More simply, the conventional ranges show the most potential
    correction should adjust the interpreted undrained for correcting qc for rate effects caused by in-
    shear strength from the free-fall CPT, to align it with creased correction at the highest rates of pene-
    the interpreted shear strength profile from Table 2. A tration (~10m/s).
    summary of the uncorrected and corrected shear x All three methods can correct the rapid decel-
    strength values interpreted from the CPT using the eration period accurately, however, the mate-
    Table 3 values are summarised in Figure 8. Only the rial constants used to reach this agreement
    long CPT correction is shown for clarity. In addi- over-predict the shear strength in the under-
    tion, the velocity profiles are shown for reference to consolidated zone encountered at this site.
    the magnitude of the correction needed. x No single existing method and material con-
    stant was identified that was able to accurately
    Table 3: Material constant values used correct the full range of penetration rates at
    Method Variable Value Reference
    this site.
    Logarithmic 10.5% Young et al., 2011 As more CPT data are collected using the free-fall
    Power
    5% Peuchen and technique, these correction methods show great po-
    10% Mayne, 2007 tential for being improved and utilised to correct the
    Square root 3% This study data consistently to represent what would be recov-
    ered during a standard 2cm/s push. The authors hope
    The square root method ( 3%) and the power that this paper encourages collaboration from other
    method ( 10%) provided a better fit with the operators that are using the same geotechnical acqui-
    shear strength profile based on the results of JPC sition techniques. An industry-accepted method of
    laboratory testing. However, the relationship tended using free-fall CPT data would provide a significant
    to diverge once the cone began the rapid decelera- first step to gaining flexibility in site investigation
    tion during the final stages of penetration. This is il- programmes.
    lustrated in Figure 8 from 14m to 20m and corrobo-
    rates with the findings of Aubeny and Shi (2006). Acknowledgments
    They postulated that this is the results of elastic re-
    bound of the soil, which is not considered in the cor- The authors would like to acknowledge the follow-
    rection. On the other hand, the logarithmic ( ing individuals for their contributions: Bernie Ber-
    10.5%) and power ( 5%) laws more closely nard of TDI-Brooks acquired and processed the CPT
    match the conventional (2cm/s) CPT data from the Stinger data offshore; Dan Spikula of GEMS pro-
    short CPT data, but significantly under-correct qc vided technical guidance for the laboratory testing
    during the accelerating period of the free fall. programme; Steve Garmon of C&C supervised the
    advanced laboratory testing; and William Frank and
    All three methods show potential for repeatable use Patrick Wong of ExxonMobil Development Com-
    at different times during free-fall penetration. As pany encouraged the authors to publish this paper.

    193
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    thesis, Massachusetts Institute of Technology,
    Abelev A and Valent P. (2009). Strain-rate depend- Cambridge, Massachusetts.
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    Gulf of Mexico. MTS/IEEE Biloxi Marine Brooks J. (2011). CPT Stinger An Innovative
    Technology for Our Future: Global and Local Method to Obtain CPT Data for Integrated Geo-
    Challenges, OCEANS 2009. science Studies. OTC 21569. Proc. Offshore
    American Society for Testing and Materials Tech. Conf., Houston, USA.
    (ASTM). (2007). ASTM D5778-07 Standard Test
    Method for Electronic Friction Cone and Piezo-
    cone Penetration Testing of Soils. West Consho-
    hocken, PA: ASTM International.
    Aubeny CP and Shi H. (2006). Interpretation of im-
    pact penetration measurements on soft clays. J.
    Geotech. Geoenviron. Eng. 132: 170177.
    Bea RG and Audibert JME. (1979). Performance of
    dynamically loaded pile foundations. Second In-
    ternational Conference of Behaviour of Offshore
    Structures. London: Imperial College, 728743.
    Biscontin G and Pestana JM. (1999). Influence of
    peripheral velocity on undrained shear strength
    and deformability characteristics of a bentonite-
    kaolinite mixture. Research Report UCB/GT/99-
    19, Department of Civil and Environmental Engi-
    neering., University of California, Berkeley.
    Briaud JL and Garland E. (1984) Influence of Load-
    ing Rate on Axially Loaded Piles in Clay. Re-
    search Report for the American Petroleum Insti-
    tute. College Station, TX: Civil Engineering
    Department, Texas A&M University.
    Casagrande A and Wilson SD. (1951). Effect of rate
    of loading on the strength of clays and shales at
    constant water content. Gotechnique 2: 251263.
    Lunne T, Robertson PK and Powell JJM. (1997).
    Cone Penetration Testing in Geotechnical Prac-
    tice. New York: Blackie Academic/Routledge
    Publishing.
    Peuchen J and Mayne P. (2007). Rate effects in vane
    shear testing. In: Proc, 6th Intl Offshore Site In-
    vestigation and Geotechnics Conference: Con-
    fronting New Challenges and Sharing Knowl-
    edge. London: Society for Underwater
    Technology.
    Randolph MF and Deeks AJ. (1992). Dynamic and
    static soil models for axial pile response. Proc.
    4th Int. Conf. on Application of Stress-Wave
    Theory to Piles, The Hague, 314.
    Riggins M. (1981). The Viscoelastic Characteriza-
    tion of Marine Sediment in Large Scale Simple
    Shear. PhD Dissertation, Civil Engineering De-
    partment, Texas A&M University.
    Sheahan TC, Ladd CC and Germaine JT (1996).
    Rate-dependent undrained shear behavior of satu-
    rated clay. Journal of Geotechnical Engineering
    122: 99108.

    194
    EFFECTS OF GAS EMANATION ON THE MECHANICAL PROP-
    ERTIES OF THE FOUNDATION SOILS OF THE GULF OF MEXICO

    Ral Nava Castro


    Fugro-Chance de Mxico, Ciudad del Carmen, Campeche, Mxico
    Kuat C Gan
    Fugro-McClelland Marine Geosciences, Houston, Texas, USA
    Wilbert E Koh Cambranis
    PEMEX Exploracin y Produccin, Ciudad del Carmen, Campeche, Mexico

    Abstract
    In 1998, a gas emanation occurred in the Gulf of Mexico in an area with shallow gas accumulations, so soil
    properties were evaluated through two site investigations carried out in 1998 and 2002. The 2002 study was a
    site investigation that explored both the geophysical and geotechnical aspects of the effects of the gas emana-
    tion on the foundation soil properties for four boreholes. Around the site, geotechnical studies in 1978, 2008
    and 2011 were conducted for foundation design of platforms. When comparing the results from different stud-
    ies, the following effects were observed. First, it was found that the water content and unit weight of the clay
    and sand decreased with the presence of gas. Second, the shear strength of the clay could decrease or increase
    with the presence of gas, similar to what was discovered in Nava (2010), while in sand a decrease could occur.

    1. Introduction 1.1 Geological features and conditions at the inves-


    tigation area
    One of the most complex phenomena that occur in The investigation area is characterised by a deep-
    the marine sediments is the sudden or gradual expul- seated, normal, geologically inactive fault that
    sion of gas from shallow accumulations. It becomes crosses the entire area. There are several shallow gas
    problematic when it occurs next to a platform and al- accumulations spread around the fault and through-
    ters the properties of the foundation soils, as it has out the investigation area. The fault extends to a sig-
    been shown to occur by several researchers (Whelan nificant depth below the seafloor and even to the
    et al., 1977; Nageswaran, 1983; Wheeler, 1986; Rad reservoir. The water depth in the study area varies
    et al., 1994; Nava, 2010). This results in the bearing from ~41.5m in the south-east, to ~45.5m in the
    capacity of the foundation soils being affected. north-east. The seafloor is smooth and has a regional
    slope of ~0.03q (0.06%) to the north-east (Nava et
    In the investigation area, a gas emanation occurred al., 2011). The soil stratigraphy across the area gen-
    in 1998 next to Platform A. As a result, special ma- erally consists of a surficial unconsolidated clay
    rine investigations were performed in 1998 and 2002 overlying inter-layered dense to very dense granular
    to evaluate how the foundation soil properties soils, as well as stiff to hard clays interspersed with
    changed after the gas emanation (Nava and Barrera, some thin silt layers. The thickness of the surficial
    2000; Koh, 2005; Nava et al., 2011). This paper unconsolidated clay layer varies from ~3.5m to
    compares the results from the 1998 and 2002 stud- ~17.0m, decreasing in thickness to the south. Four
    ies, with the results from geotechnical investigations sand strata were identified where the majority of the
    performed in the investigation area before the gas gas was located in 2002, although the possibility that
    emanation occurred and after the 2002 study. Results the clay strata were also saturated with gas could not
    from the 1978, 1998, 2002, 2008 and 2011 geotech- be discounted.
    nical studies are summarised, relating the physical
    and mechanical characteristics of the foundation 1.2 Geotechnical studies
    soils among the boreholes and theorising how the There are a few opportunities to compare the soil
    gas emanation altered the soil properties. properties before and after a gas emanation for an

    195
    offshore site. This comparison study is possible be- (CPTU) and remote vane tests. These were in addi-
    cause several studies have been performed over time tion to push sampling in cohesive soils and percus-
    in the vicinity of the original geotechnical investi- sion sampling in granular soils. Even without in situ
    gated site, A1_1978. This is where the borehole was test data for boreholes A1_1978 and AIa_1978, it
    performed for the foundation design of the pile- was possible to relate and compare the geotechnical
    supported Platform A. After the gas emanation in properties interpreted from the results of the labora-
    1998 at site A2a_1998, two geotechnical boreholes tory test data of two 1978 boreholes, with laboratory
    (A2a_1998 and A2C_1998) were conducted to and in situ test data of post-1978 boreholes. The
    evaluate the characteristics of the foundations soils comparison exercise has detected differences in soil
    after the gas emanation. This was followed by sev- properties between them.
    eral studies performed in 2002 (AG1 through AG4)
    for the same purpose. Two additional geotechnical 2. Soil Stratigraphy
    studies were performed in 2008 (AT) and in 2011
    (A2b) for platform foundation design. Since borehole A1_1978 was drilled prior to the gas
    emanation and close to the gas emanation site at Plat-
    The comparison is also supported using data from form A (Nava et al., 2011), it was used as a reference
    two relatively distanced boreholes performed in to determine the effects of the gas emanation on the
    1978 and 2008 for platform foundation design, mechanical properties of the foundation soils. In addi-
    which are AIa_1978 (3198m away) and AIb_2008 tion, laboratory and CPTU data from two of the recent
    (3262m away). As illustrated in Figure 1, the nearest boreholes, AG2_2002 and A2b_2011, located away
    site to the original borehole A1_1978 is 37m away from the gas emanation site (Figure 1), were used to
    and the farthest site is 3262m away. In spite of the supplement the insufficient and poor quality data col-
    relatively large distances between some of the bore- lected in some of the strata in the original, percussion
    holes, there are several similarities in geotechnical sample-only borehole A1_1978. The non-gas-affected
    properties and soil stratigraphy among them. clays of Strata I and IV in boreholes AIa_1978,
    AG4_2002 and AIb_2008, located 3198m, 2742m
    and 3262m away from the gas emanation site, respec-
    tively, were also used as reference sites in the com-
    parative study with boreholes that were drilled after
    the gas emanation and located close to the gas emana-
    tion site. The generalised soil stratigraphy in borehole
    A1_1978 is described in Table 1.

    Table 1: Generalised soil stratigraphy in borehole A1_1978


    Stratum Depth (m) Description
    From To
    I 0.0 8.2 Very soft to soft calcareous clay
    II 8.2 11.9 Coral and shell fragments
    III 11.9 13.1 Dense carbonate clayey silt
    IV 13.1 25.9 Very stiff calcareous clay
    V 25.9 39.3 Dense to very dense fine to silty
    fine sand
    VI 39.3 43.6 Stiff calcareous clay
    VII 43.6 52.1 Dense carbonate sandy clay to
    clayey sand
    VIII 52.1 57.0 Very stiff calcareous clay
    IX 57.0 75.0 Dense to very dense calcareous
    silty sand
    X 75.0 78.9 Cemented carbonate sand to cal-
    carenite
    Figure 1: Borehole map XI 78.9 83.2 Hard calcareous clay
    XII 83.2 86.3 Dense calcareous silty fine sand
    The main difference among these site investigation XIII 86.3 88.7 Very stiff calcareous clay
    studies is that those carried out in 1978 had only XIV 88.7 93.9 Dense silty fine sand
    percussion sampling with no in situ testing pro-
    grammes, while the studies conducted in 1998 and The soil stratigraphies of the rest of the boreholes are
    after had in situ piezocone cone penetration tests quite similar to that of borehole A1_1978. However,

    196
    there are natural variation in thickness for each stra- tively in Figure 3. Only those clay strata that have
    tum and some differences in the soil composition, lower water content profiles than the reference bore-
    especially in the granular soils. For instance, Strata II hole A1_1978 as a result of gas emanation are dis-
    and III vary from coral and shell fragments, or car- cussed here. Those that have natural differences in
    bonate clayey silt to siliceous carbonate silty sand to water content (e.g. due to a higher rate of consolida-
    sandy silt across the various boreholes. Other local- tion as a result of higher content of silt or sand inclu-
    ised soil types that were not encountered in borehole sions within the clays) are not discussed.
    A1_1978 include a peat layer in borehole
    AG3_2002, and a gravel layer and several layers of
    cemented sandstone and claystone in borehole
    AT_2008.

    This comparative study includes findings from high-


    resolution geophysical survey data indicating gas ac-
    cumulation in some of the sand strata, as reported in
    Nava et al. (2011). In summary, gas accumulations
    were found in boreholes AG1_2002 (in every sand
    stratum), AG3_2002 (in the entire stratigraphy) and
    AG4_2002 (in the last two sand strata, see Figure 6).
    In the case of borehole AT_2008, where nearby shal-
    low gas accumulations were identified from geo-
    physical survey data, a gas kick was encountered at
    a depth of 107.3m while drilling the borehole.

    2.1 Atterberg limits


    The original borehole (A1_1978) has six clay strata.
    Only the upper five clay strata are considered in this
    comparison study. The bottom clay stratum (Stratum
    XII) is not compared in the study since the layer is
    not well defined in the nearest boreholes (A2a_1998
    and AT_2008). The plasticity data from those strata Figure 3: Clay and sand water content profiles
    are plotted collectively in Figure 2, which indicates
    that the clays are predominantly medium to high
    plasticity clays. 2.2.1 Water content in clay
    Figure 3 shows no significant difference in the inter-
    preted water content profiles in Stratum I (0.08.2m)
    and Stratum IV (13.125.9m). The exception is for
    boreholes A2a_1998, AG3_2002 and AT_2008 where
    the water content profiles at the bottom half of Stra-
    tum IV are lower. These zones correspond to the pres-
    ence of H2S odour, gas blisters or pockets of hydro-
    carbon. In Stratum VI (39.343.6m), the water content
    profiles in boreholes AT_2008 and A2b_2011 are
    slightly lower, and they correspond to the presence of
    H2S odour in the boreholes. In Stratum VIII (52.1
    57.0m), H2S odour was present in boreholes AT_2008
    and A2b_2011, as were hydrocarbon and hydrocarbon
    odour in borehole AG3_2002. The water content pro-
    files in this stratum of the mentioned boreholes are
    Figure 2: Plasticity chart lower than borehole A1_1978. In Stratum XI (78.9
    83.2m), the lower water content profiles (30%) in
    2.2 Water content boreholes A2a_1998 and AG3_2002 correspond to
    The interpreted water content profiles in the clay and the presence of gas blisters, or hydrocarbon and hy-
    sand strata in all the boreholes are presented collec- drocarbon odour.

    197
    2.2.2 Water content in sand the top of the stratum, and gradually increases to
    It is difficult to determine with certainty that the dif- 33% at the bottom of the stratum. In the same sand
    ference in the interpreted water content profiles in stratum in boreholes AG3_2002 and A2b_2011, the
    the same sand unit among the boreholes is due to gas lower profiles of 4% and 22%, respectively, coincide
    emanation when the composition of the granular with the presence of H2S and oil odour. The inter-
    soils is variable. This difference could also result in preted water content profile in the granular stratum
    variable water contents. For instance, the granular (below 106m; calcareous silty fine sand) in borehole
    soil in Stratum VII in borehole A1_1978 comprises A2a_1998 is 26% and 30%. In the same sand stra-
    sandy clay to clayey sand with a water content pro- tum in boreholes AG1_2002 and AG3_2002, the
    file of 34%. This stratum was also identified in lower profiles of 920% and 6%, respectively, coin-
    borehole AT_2008 with H2S odour, but its water cide with the presence of hydrocarbon.
    content profile is higher (38%).
    2.3 Unit weight
    Another example is Stratum XII (83.286.3m), The interpreted submerged unit weight profiles in
    which is classified as silty find sand and has a water the clay and sand strata in all the boreholes are pre-
    content profile of 22% in borehole A1_1978. In this sented collectively in Figure 4.
    same stratum in borehole AT_2008, the sand sam-
    ples were saturated with hydrocarbon, yet the water
    content is 20%, which is only 2% less than that
    A1_1978. On the contrary, in borehole A2a_1998
    the sand samples in same stratum have no indication
    of gas blisters and hydrocarbon, but the borehole has
    a much lower water content profile of 8%. Even
    though gas blisters, hydrocarbon and hydrocarbon
    odour are not present in the samples in this situation,
    it is assumed that the lower water content profile in
    borehole A2a_1998 was due to the effect of gas
    emanation before the borehole was drilled.

    Despite the difficulty mentioned earlier, using bore-


    hole A2a_1998 as a reference, it was possible to de-
    termine the effects of gas emanation on the water
    content in sand. For example, the interpreted water
    content of the granular stratum (7.910.7m; siliceous
    carbonate silty sand to sandy silt) in borehole
    A2a_1998 is 43%. In the same stratum in borehole
    A2b_2011, the lower water content of 22% is attrib-
    uted to the presence of hydrocarbon. Similarly, in the
    same granular stratum, lower water contents were
    found in borehole AG2_2002 (36% with H2S odour Figure 4: Clay and sand submerged unit weight profiles
    from 7.3 to 11.9m) and in borehole AG1_2002 (24%
    with H2S and oil odour from 7.3 to 11.0m). The sub- 2.3.1 Unit weight in clay
    sequent three examples further demonstrate that the The unit weight profiles in Stratum IV (very stiff
    gas emanation has resulted in lowering the water calcareous clay) of boreholes A2a_1998 and
    content in the sand. The interpreted water content of AT_2008 between 10m and 18m are lower than that
    the granular stratum (22.337.5m; fine to silty fine of the same stratum in borehole A1_1978. This also
    sand) in borehole A2a_1998 is 25%. In the same coincides with the presence of H2S odour and gas
    sand stratum in borehole AG1_2002, the lower water blisters in boreholes A2a_1998 and AT_2008. In the
    content of 22% is attributed to the presence of H2S case of borehole AG3_2002, where gas and hydro-
    odour and hydrocarbon. carbon were present in the samples from Stratum I
    (very soft to soft calcareous clay) and Stratum IV,
    The interpreted water content profile in the granular the unit weight profiles in the two strata are clearly
    stratum (54.977.4m; siliceous carbonate to calcare- lower than those in borehole A1_1978 before the gas
    ous silty fine sand) in borehole A2a_1998 is 28% at emanation.

    198
    In Stratum VI (39.343.6m; stiff calcareous clay), 3. Shear Strength
    the unit weight profile in borehole A1_1978 is
    7.70kN/m3, which is higher than the unit weight pro- 3.1 Shear strength in clay
    file of 7.38kN/m3 in borehole A2a_1998 where gas The interpreted shear strength profiles in the clay
    emanation occurred. Similarly, in Stratum VIII strata in all the boreholes are presented collectively
    (52.157m; very stiff calcareous clay) the profiles in in Figure 5a. In Stratum I, it is observed that in bore-
    boreholes A2a_1998 and AG3_2002 at 6.13kN/m3 hole AG3_2002, the shear strength profile of 2.4kPa
    and 7.38kN/m3, respectively, are lower than the pro- at the seafloor gradually increases to 23kPa at 9.1m.
    file of 7.70kN/m3 in borehole A1_1978 before the It is also higher than those in boreholes A1_1978,
    gas emanation event. A2a_1998, AG2_2002, AT_2008 and A2b_2011
    (Figure 5b). Samples from all these boreholes have
    2.3.2 Unit weight in sand indication of gas presence (i.e. H2S odour).
    Below Stratum XII (silty fine sand), the unit weight
    profile is 9.43kN/m3 in borehole A1_1978. In bore- Furthermore, as discussed earlier samples from this
    hole A2a_1998, the unit weight profile is 7.85kN/m3 stratum in borehole AG3_2002 also have hydrocar-
    between 88.7m and 103.3m. In borehole AT_2008, bon and the lowest unit weight profile among all the
    the unit weight profile is 7.07kN/m3 between 86.9m boreholes. Figure 6 from Nava et al. (2011) indicates
    and 103.9m, and 8.8kN/m3 between 103.9m and that borehole AG3_2002 has gas and/or hydrocarbon
    120m. In borehole AG3_2002, the unit weight is throughout the depth of the borehole. However, its
    7.85kN/m3 between 96m and 102.7m. These lower shear strength profile in Stratum I is almost identical
    profiles coincide with the presence of H2S and oil to that in borehole A2C_1998, which has no gassy
    odour, and the soil samples were saturated with hy- soils in the stratum. This may indicate that the shear
    drocarbon. In the first granular stratum (~5.5 strength profile in borehole AG3_2002 may be rep-
    12.5m), three unit weight profiles, A2a_1998 resentative of an undisturbed profile. This finding
    (7.85kN/m3), AG1_2002 (8.95kN/m3) and indicates that when clay is partially to fully saturated
    3
    AG2_2002 (8.64kN/m ), are lower than those in with gas, the clay may exhibit a decrease or increase
    boreholes AT_2008 and A2b_2011, which had an in shear strength, similar at what was discovered in
    identical unit weight profile of 9.43kN/m3 with no Nava (2010).
    gas presence. The lower profiles are attributed to gas
    emanation, H2S and oil odour. In the case of the sec- Sills et al. (1991) points out that the shear strength of
    ond granular stratum (~25.341.1m) there are three a clay soil with gas may increase or decrease de-
    lower unit weight profiles, A2a_1998 (9.9 pending on the specific values of the total and opera-
    8.3kN/m3), AG1_2002 (9.43kN/m3) and AG3_2002 tive stresses. These results indicate that the shear
    (7.07kN/m3), which are compared to 10.2kN/m3 in strength of clay soil may not be weaker after a gas
    boreholes AT_2008 and A2b_2011. The lower pro- emanation event, as the gas may be reacting to the
    files coincide with the presence of H2S odour. load, bearing part of it initially (Nava, 2010).

    In the case of the fourth granular stratum (~54.5 For Stratum IV, the interpreted shear strength profile
    77.4m), boreholes AT_2008 and A2b_2011 had an of borehole A1_1978 is likely influenced by percus-
    identical unit weight profile of 8.64kN/m3, compare sion sampling technique used in the 1978 investiga-
    to 7.85kN/m3 in borehole AG3_2002. This low tion (Quiros et al., 1983; Nava et al., 1999). It is pos-
    value is because the granular soil in the stratum in sible that the undisturbed shear strength is higher
    borehole AG3_2002 was saturated with hydrocarbon than that plotted in Figure 5a. The effects of sam-
    and had oil odour. In the case of the granular soils pling technique on shear strength interpretation in
    between ~86.0m and ~104m, boreholes A2a_1998 borehole A1_1978 and the finding (discussed in the
    (7.85kN/m3), AG1_2002 (7.85kN/m3 from 94.5 to preceding paragraph) on the effect of gas concentra-
    106.8m), AG3_2002 (7.23kN/m3 from 82 to 96m, tion on shear strength in clay were both considered.
    and 7.85kN/m3 from 96 to 102.7m), AT_2008 Based on these effects, the shear strength profiles of
    (7.07kN/m3) and A2b_2011 (7.07kN/m3) had unit the nearby 1998 and later boreholes, where push
    weight profiles that are lower than borehole sampling technique was used in clay soils and were
    AG2_2002 (9.43kN/m3). The lower profiles are at- affected by gas, could be identical, lower or higher
    tributed to gas emanation and the presence of gas than the undisturbed profile of borehole A1_1978
    blisters, hydrocarbon and hydrocarbon odour. drilled prior to the gas emanation event.

    199
    Figure 5: (a) Shear strength profiles; and (b) magnification of Stratum I

    Below are further examples showing that when clay


    is partially to fully saturated with gas after the gas
    emanation, the clay exhibits a lower or higher shear
    strength.

    In Stratum VI clays, boreholes A2a_1998,


    AG1_2002 and AT_2008, have H2S and have identi-
    cal shear strength profiles of 114.9kPa. Borehole
    A2b_2011, also has gas, but has a much higher pro-
    file (196.3kPa at 41.2m decreasing to 162.8kPa at
    48.2m). In Stratum VIII clays, borehole AG3_2002,
    with gas and hydrocarbon (Figure 6) has a much
    higher shear strength profile (239.4kPa) than those
    boreholes that have no gas traces (boreholes
    A1_1978, A2a_1998 and AG2_2002), or have only
    H2S odour (boreholes AG1_2002, AT_2008 and
    Figure 6: Gas distributed through the soil (Nava et al., 2011)
    A2b_2011).
    Another observation in the Stratum IV clays is that
    in borehole AT_2008, H2S is present and the water The opposite trend can be observed in the Stratum
    content profile increases gradually within the stratum XI clays. The profile in borehole AG3_2002
    (Figure 3). However, the shear strength increases (162.8kPa), which has gas and hydrocarbon, is much
    gradually from around 134.1kPa at the top of the lower than the profile in borehole A1_1978
    stratum to 172.4kPa at 17.7m, and then decreases (217.9kPa), which has no gas traces. This is proba-
    gradually to 124.5kPa at 20.1m. This is followed by bly because the amount of gas in the stratum in
    a gradual increase to 167.6kPa at the end of the stra- borehole AG3_2002 is greater than those in the up-
    tum, which is probably due to the fluctuation of gas per clay strata, and as a result, the shear strength
    content within the stratum. In borehole A2a_1998, drops. This further supports the observation that
    H2S is also present and the water content remains there is a threshold where further increase in the gas
    constant at 36% below 18.3m (Figure 3). However, concentration would be detrimental to the shear
    the shear strength profile continues to increase strength of the clay soil (Nava, 2010). It is also ob-
    gradually beyond 180kPa at 18.3m to 191.5kPa at served in this stratum that the remoulded shear
    22.3m. This is probably due to the gas emanation strength in borehole AG3_2002 is higher than the
    (Nava et al., 2011). undisturbed strength test value (Fugro, 2002).

    200
    3.2 Shear strength in sand data were measured. Similar situation occurred in
    The strength characteristic in the sand strata is com- Stratum XII where I c is not reduced in borehole
    pared using the interpreted effective internal friction AG3_2002, which was saturated with hydrocarbon
    angle (I c). This is an indirect indication of its rela- and oil odour (Table 2). However, I c in Stratum XII
    tive density evaluated from sampler blow count in- of borehole A1_1978 could be higher if in situ
    formation and/or in situ CPTU data. The interpreted CPTU data were measured. The opposite trend oc-
    I c of the sands in the respective strata are shown in curred in borehole AT_2008, that is, the stratum was
    Table 2, with borehole A1_1978 as the reference saturated with hydrocarbon and I c was reduced.
    borehole. It is observed that I c for Stratum V was
    reduced from 35q in borehole A1_1978 prior to the In Stratum XIV, I c in borehole A2a_1998, which
    gas emanation event, to 2030q in boreholes was saturated with hydrocarbon, has the value as that
    A2a_1998, AG1_2002 and AG3_2002, which have in borehole A1_1978 (Table 2) prior to the gas ema-
    either H2S odour or hydrocarbon and hydrocarbon nation. It seems that I is not affected by the pres-
    odour. The I c in borehole A1_1978 could be higher ence of hydrocarbon, but I c in borehole A1_1978
    if in situ CPTU data were measured (e.g. I c = 40q in could be higher if in situ CPTU data were measured.
    borehole A2b_2011). In borehole AT_2008, there In the same stratum, boreholes AG1_2002,
    was gas emanation during the drilling operations AG3_2002, AT_2008 and A2b_2011 either has gas
    (occurred at a depth of 41m depth), but I c did not blisters, or saturated with hydrocarbon and hydro-
    change (35q). This may indicate that I c for the stra- carbon odour, and I c was reduced to 2025q.
    tum, if no gas is present, may be similar to that in
    borehole A2b_2011 (i.e. I c = 40q). In this comparative study, it is inferred that the dif-
    ferences in the soil properties is due to the presence
    Table 2: Effective internal friction angle (Ic) of H2S or oil odour, gas blisters and hydrocarbons,
    as several researchers have discovered similar results
    Stratum Borehole I'
    during their experiments (Whelan, 1977; Nages-
    A1_1978 35 waran, 1983; Wheeler, 1986; Sills et al., 1991; Rad
    A2a_1998 30/20 et al., 1994; Nava et al., 2008; Nava, 2010). Differ-
    V (fine to silty fine
    sand, 25.939.3m)
    AG1_2002 30/35/30 ences due to other factors, such as sample distur-
    AG3_2002 30 bance during sampling and amount of clay or silt
    AT_2008 35 content in granular material, were not considered in
    this study.
    A1_1978 30
    IX (calcareous silty
    A2a_1998 25/35
    sand, 57.075.0m) 4. Conclusions
    AG3_2002 28/30
    A1_1978 30 The comparison has shown that in general, the water
    XII (calcareous silty
    AG3_2002 30 content and unit weight profiles are reduced by the
    fine sand, 83.286.3m)
    AT_2008 20 presence of gas (H2S, gas blisters, gas emanation or
    A1_1978 30 hydrocarbon). The results have indicated that when
    clay is partially to fully saturated with gas, the shear
    A2a_1998 30
    strength of the clay may decrease or increase. For
    XIV (silty fine AG1_2002 20
    sand, the comparison study indicates that the effec-
    sand, 88.793.9m) AG3_2002 25 tive internal friction angle may decrease due to the
    AT_2008 20 presence of gas.
    A2b_2011 25
    Note: Boreholes with same internal friction angle and/or with- From the comparison, it can be concluded that the
    out any gas presence are not included in the table. strength of a gassy clayey soil may not necessarily be
    weaker due to the presence of gas. Instead, the re-
    In Stratum IX, I c was identical, reduced or increased sults indicated that the gas plays an important role in
    from 30q in borehole A1_1978 to 2535q in bore- the soil behaviour. The gas may be reacting to the
    holes A2a_1998 and AG3_2002 (Table 2), where the bearing or consolidation pressure, supporting part of
    boreholes either have H2S odor or hydrocarbon and the pressure initially, as was seen in Nava (2010).
    hydrocarbon odour. However, I c in Stratum IX of Establishing a critical gas concentration where the
    borehole A1_1978 could be higher if in situ CPTU shear strength of the clay would increase or decrease

    201
    (would decrease for sand) requires exhaustive re- Wheeler SJ. (1986). The stress-strain behaviour of
    search. soils containing gas bubble. PhD thesis, Oxford
    University.
    References Whelan T, Coleman JM, Suhayda JN and Roberts
    HH (1977). Acoustical penetration and shear
    Fugro-McClelland Marine Geosciences, Inc. (2002). strength in gas-charged sediment. Marine Geo-
    Geotechnical and Geochemical Investigations, technology 2: 147159.
    Bay of Campeche, Mexico. Report Nos. 0201-
    4642-1 through -4, and -7, Reports to Petrleos
    Mexicanos.
    Koh CWE. (2005). Determination of the effect of
    gas on the mechanical properties of foundation
    soils of marine platform. MSc thesis, UNACAR,
    Campeche, Mexico (in Spanish).
    McClelland Engineers, Inc. (1978). Geotechnical In-
    vestigation, Bay of Campeche, Mexico. Report
    No. 0178-090-5, Report to Petrleos Mexicanos.
    Nageswaran S. (1983). Effect of gas bubbles on the
    sea bed behaviour. PhD thesis, Oxford Univer-
    sity.
    Nava CR. (2010). Influence of methane gas on the
    mechanical properties of marine clay. MSc thesis,
    Instituto Politcnico Nacional, Mexico (in Span-
    ish).
    Nava CR and Barrera NP (2000). Securing the plat-
    form in the presence of gas. Interview, Magazine
    of Mexican Petroleum Institute. 34 (in Spanish).
    Nava CR, Barrera P and Rojas E. (1999). Effect of
    modern sampling techniques in geotechnical ex-
    ploration on the shear strength of marine soils for
    platform design. INGEPET EXPL-6-PUB-12.
    Peru (in Spanish).
    Nava CR, Audibert JME, Torres ACR, DeGrof W
    and Ruckman P. (2008). Gas effects on the
    compressibility of the marine clay of the Gulf of
    Mexico. XXIV Reunin Nacional de Mecnica de
    Suelos. Aguascalientes, Mxico (in Spanish).
    Nava CR, Koh CWE and Baerewald P. (2011). Ver-
    tical and horizontal migration of gas through the
    marine sediments of the Gulf of Mexico. Proc.
    30th International Conference on Ocean, Off-
    shore and Arctic Engineering, OMAE2011. Rot-
    terdam, the Netherlands.
    Quiros GW, Young AG, Pelletier JA and Chan JM-
    C. (1983). Shear strength interpretation for Gulf
    of Mexico clays. Proc. Geotechnical Practice in
    Offshore Engineering, ASCE.
    Rad SN, Vianna JDA and Berre T. (1994). Gas in
    soils. II: effect of gas on undrained static and cy-
    clic strength of sand. Geotechnical Journal 120:
    716736.
    Sills GC, Wheeler SJ, Thomas SD and Gardner TN.
    (1991). Behavior of offshore soils containing gas
    bubbles. Gotechnique 4: 227241.

    202
    SYNERGIES BETWEEN SEABED SURVEYS FOR ENGINEERING
    AND ENVIRONMENTAL APPLICATIONS A MORE EFFICIENT
    APPROACH
    Richard Salisbury
    Fugro GeoConsulting Limited

    Paul Collins
    Fugro ERT

    Abstract
    There has been rapid growth in the requirement for environmental baseline and habitat surveys in the North
    Sea and elsewhere in the world during recent years, to the extent that these, rather than pre-engineering sur-
    veys, are increasingly becoming the main driver for seabed survey work carried out in advance of offshore
    developments. Seabed surveys for engineering applications and environmental considerations are convention-
    ally treated as separate exercises for planning and data analysis purposes. Different groups of specialists often
    work independently despite the high degree of overlap between conventional geophysical, seabed sample and
    photographic datasets. Pre-engineering and environmental surveys have different objectives, but a more inte-
    grated approach to survey planning and consideration of preliminary results would lead to efficiencies in data
    collection and the early identification of constraints. By working more closely together, engineering geo-
    physicists and environmental scientists can resolve the apparently contradictory interpretations sometimes
    made from geophysical and environmental datasets collected from the same area. Confidence in survey results
    would increase and value would be added to both pre-engineering and environmental conclusions.

    1. Introduction ated biota. To achieve this, hydrographic and geo-


    physical techniques are normally supplemented by
    Seabed surveys have been carried out routinely for seabed photo-graphy and the collection of grab sam-
    many years to provide the information necessary for ples. These are subsequently analysed for their bio-
    safe and efficient installation of offshore facilities, logical, chemical and sediment grain size content.
    installations and infrastructure. Hydrographic and
    marine geophysical techniques produce datasets that Although offshore environmental baseline and moni-
    provide essential information on water depths, sea- toring surveys have been carried out in the UK and
    bed topography and the nature and distribution of other countries for many years, there were no legal
    seabed sediments. Seismic profilers define the seis- requirements to collect such data. Any environmental
    mic stratigraphy of foundation zone sediments surveys were therefore carried out at the discretion of
    which, when integrated with geotechnical informa- operators and often limited to large-scale develop-
    tion, provide soil province maps essential to the con- ments, or proposed projects in areas of known envi-
    ceptual and detailed design of offshore structures. ronmental sensitivity. However, since the introduc-
    tion of formal legislation on environmental impact
    Because mainly of the demands of the offshore oil assessments (EIA) and strategic environmental as-
    and gas industry, seabed surveys for pre-engineering sessments (SEA) around the world, the requirement
    purposes are a mature science, although substantial for collecting sound environmental baseline and
    markets also exist in the subsea cable industry and, monitoring data has increased significantly over the
    more recently, in the offshore renewables industry. last decade. In addition, multilateral agreements and
    Seabed surveys for environmental purposes employ policies, such as the European Habitats and Envi-
    many of the same techniques, but their purpose is ronmental Liability Directives (Council Directives
    very different, as they focus on the classification and 92/43/EEC and 2004/35/EC, as amended), have fur-
    monitoring of the seafloor environment and associ- ther emphasised these requirements.

    203
    At present, it is not only good practice, but often a Table 1: Comparison of pre-engineering and environmental
    legal requirement to develop environmental baseline, survey drivers, techniques and products
    habitat and monitoring survey programmes. They are Pre-Engineering Environmental
    generally required to obtain the necessary permits for Surveys Surveys
    intrusive offshore activities, including wildcat explo- Overall x Rig site survey x Baseline survey
    Purpose x Field development x Habitat survey
    ration wells, oil and gas field developments, subsea survey x Monitoring survey
    pipelines/cables and renewable energy sites. x Pipeline route survey x Special purpose,
    x Cable route survey e.g. survey of po-
    Data analysis for environmental baseline and moni- x Wind farm foundation tential sensitive
    toring surveys typically involves taxonomic identi- survey habitat or fish
    spawning ground
    fication of macrofauna (animals retained by a
    Equipment x Echo sounders x Echo sounders
    0.5mm or 1.0mm sieve), chemical analysis for hy- used x Side scan sonar x Side scan sonar
    drocarbons, metals and organics, and particle size x Seismic profilers x Sediment samplers
    analysis (Convention for the Protection of the Ma- x Sediment samplers x Seabed cameras
    rine Environment of the North-East Atlantic x Cone penetrometer
    (OSPAR), 2004). These are highly specialised and tests
    detailed procedures that require careful and time- What is x Water depth x Seabed topography
    consuming work by experienced scientists and must being de- x Seabed topography x Seabed composition
    fined
    be followed by data interpretation and report prepa- x Seabed composition x Biological diversity
    ration. Therefore, environmental survey reports x Object detection x Chemical concen-
    x Foundation zone seis- trations
    typically take a minimum of three months to pro- mic stratigraphy x Sensitive habitats
    duce after the fieldwork ends. Products x Maps showing the x Maps showing the
    above above
    For this reason, habitat (or biotope) reports are often x Hydrographic survey x Baseline report
    compiled on an approximately one-month turn- report x Habitat report
    around, to provide an initial assessment of environ- x Seabed characterisation x Monitoring report
    report
    mental character and the presence or absence of habi- x Foundation zone char-
    tats of potential conservation importance. However, acterisation report
    these less detailed reports are not always sufficient to
    allow environmental permitting to proceed, particu- 2. Key Project Activities
    larly in areas of perceived environmental sensitivity.
    In contrast, pre-engineering reports can normally be It should be noted that while the three key project
    produced in one month for a standard pre-drilling activities are described separately, there may be sig-
    site. nificant overlap in the timing of each. Although sur-
    vey planning is likely to commence onshore, this
    Pre-engineering and environmental survey work is process will continue until all acquisition has been
    often combined into the same survey contract, with completed, with geophysical and environmental
    fieldwork carried out in the same survey cruise. As a sampling strategies typically undergoing several it-
    result, it is increasingly common that the environ- erations based on the results of initial interpretation.
    mental aspects are in the critical path for meeting the
    statutory pre-development requirements, rather than 2.1 Survey planning
    the pre-engineering aspects. Environmental require- The first stage in planning any survey will be a desk
    ments are thus becoming the main driver for seabed study, the process of which is summarised as follows:
    surveys.
    x define the information requirement;
    x investigate what is already known;
    Despite the similarities between the purposes of pre-
    x complete a gap analysis;
    engineering and environmental surveys, the use of
    x define the survey requirement; and
    many of the same survey techniques, and the compa-
    rable interpretation objectives and reporting products x design the survey.
    (outlined in Table 1), these surveys are typically This process is well understood for pre-engineering
    treated as separate exercises. This paper presents the surveys (International Association of Oil and Gas
    case for closer cooperation between pre-engineering Producers (OGP), 2011), but not for environmental
    geophysicists and environmental scientists during the surveys. The latters stated purpose from the outset
    three key project activities: survey planning; offshore is usually to collect new data so that conditions can
    data acquisition; and data interpretation. be defined at a specific point in time. It is suggested

    204
    that if the scope of survey desk studies were to be tion). In recent years, the emphasis for survey strate-
    widened to include environmental survey require- gies has shifted toward stations in areas of different
    ments, further operational efficiencies may be acoustic facies or depth (so-called intelligent sam-
    achievable. pling) as a proxy for the presence of different envi-
    ronmental conditions and associated fauna. This shift
    Pre-engineering surveys normally are designed to assists development plans that are often subject to
    provide complete coverage of the seabed over the iterative changes before a final route or location is
    area of interest, with a sufficient margin around the selected, potentially rendering a more location-
    edge. Line spacing is determined by the range of the specific survey strategy ineffective. As two of the
    sonar and echo sounder systems to be used, which in main stated objectives of both pre-engineering and
    turn depends on the type and characteristics of the environmental surveys are to define the seabed
    systems, how they will be deployed and the resolu- topography and seabed composition (Table 1), opera-
    tion required. Figure 1 shows a typical site survey tional efficiencies may be possible at the planning
    line pattern for a semi-submersible rig, designed to stage if the sampling programmes for both purposes
    provide information for a single drilling location and are treated as a single exercise. Therefore, any subse-
    the associated anchor positions. A pipeline or cable quent data interpretation may make maximum use of
    route requires a linear survey with lines run parallel ground-truthing information at environmental sam-
    to the route to provide coverage over a corridor of pling stations and use of environmental information
    particular width. A sampling programme using grabs at ground-truthing sampling stations.
    or cores often is carried out following the geophysi-
    cal survey for ground-truthing purposes. Final bathymetry and seabed features maps assist in
    the identification and delineation of different habitats
    or biotopes (these terms are used interchangeably to
    describe both a substratum and its associated biota).
    This ensures that sampling and photographic pro-
    grammes are planned in an efficient way to provide
    the information needed to define them. This approach
    is perhaps most useful when investigating an area of
    seabed that has certain characteristics. For example,
    an area might have high or mottled acoustic reflectiv-
    ity that may indicate either a change in the seabed
    composition (e.g. increased coarse sediment or in-
    termittent clay exposures), or the presence of bio-
    genic fauna (e.g. reefs formed by the polychaete
    worm Sabellaria spinulosa, or mussel beds formed
    by Mytilus edulis or Modiolus modiolus). A carefully
    planned video or photographic transect would be a
    straightforward way of confirming this.

    2.2 Offshore data acquisition


    Acquisition of geophysical and environmental survey
    data is normally undertaken as part of a multi-
    disciplinary cruise. On larger vessels (>50m), such as
    that typically used by the oil and gas industry, teams
    of pre-engineering geophysicists and environmental
    scientists are likely to remain onboard throughout the
    survey. This approach is to be recommended as it
    Figure 1: Typical site survey line plans: (top) a North Sea semi- facilitates better interdisciplinary communication, so
    submersible rig; and (bottom) a route survey that the developing geophysical survey programme
    and environmental sampling strategy can be refined
    Historically, environmental sampling stations were to take into account the preliminary findings of other
    located in areas of predicted environmental impact specialists. This interaction is more difficult on
    (e.g. with regular spacing along a proposed pipe- smaller vessels (<50m), as space limitations often
    line/cable route, or sampling along the arms of a cru- mean that the geophysics and environmental ground-
    ciform centred on a proposed well or platform loca- truthing aspects of the survey are undertaken sepa-

    205
    rately. It is therefore necessary to establish clear lines out purely for environmental purposes, similar line
    of communication between pre-engineering geo- plans are likely to be used and similar maps pro-
    physicists and environmental scientists. This allows duced. A great deal of valuable environmental infor-
    initial results to be disseminated between the separate mation can be gained from these maps, but this is
    teams and avoids reports with inconsistent or contra- enhanced if the interpretation strategies of the pre-
    dictory interpretation. engineering survey geophysicist and the environ-
    mental scientist are co-ordinated.
    If a significant geohazard or other constraint is iden-
    tified during the course of a pre-engineering geo- The environmental samples and video/photographic
    physical survey, it is standard practice for the survey transects will give a lot information on the sediment
    programme to be modified so that this constraint can type and the nature of any outcrops that will be use-
    be avoided by the final development footprint. How- ful for ground-truthing the pre-engineering survey. It
    ever, environmental sensitivities are not always given is perhaps an obvious point that this should be made
    due consideration as potential constraints. This in- available to the pre-engineering survey interpreter,
    creases the chance that an additional survey may be but this important transfer of information does not
    required to remedy deficiencies in the original sur- always happen.
    vey. It is appreciated that it may not be clear during
    the survey whether an identified area of potential en- 3. Case Studies
    vironmental sensitivity will preclude development at
    that location. Even so, survey personnel should adopt The following case studies are presented to demon-
    a precautionary approach and acquire sufficient data strate some of the points made earlier, namely:
    (both geophysical and environmental) to avoid/re-
    x the benefits of environmental sampling for in-
    route around the feature if it is later shown to be a
    terpretation of seabed features;
    constraint.
    x the importance of sensitive habitats as envi-
    ronmental constraints;
    2.3 Data interpretation
    Review and analysis of data will most likely begin x improved diagnostic analysis using coordi-
    offshore, in order to help refine the survey strategy to nated data interpretation; and
    satisfy the interpretation objectives. For pre- x an example of best practice for integrated
    engineering surveys, these objectives may be sum- pre-engineering and environmental surveys.
    marised as follows:
    3.1 Arabian Gulf case study
    x investigate seabed composition through the Figure 2 shows a side scan sonar record from a habi-
    correlation of acoustic and ground-truth data; tat mapping survey carried out in the Arabian Gulf.
    x locate and assess the significance of man- In this case the survey was carried out only for envi-
    made objects; and ronmental purposes and had no pre-engineering ob-
    x locate and assess natural geohazards such as jectives, but it is included here to illustrate the impor-
    steep slopes, vents, hard grounds, shallow tance of environmental science input into any inter-
    gas, faults and pockmarks. pretation of seabed conditions from side scan sonar
    data.
    For environmental surveys the interpretation objec-
    tives may be summarised as follows: The lower part of the side scan sonar image is char-
    x identification, delineation and character- acterised by an area of high reflectivity with a dis-
    isation of habitats, with particular emphasis tinct mottled texture. Seabed photographs taken from
    on those that are rare and/or of conservation within the area of mottled texture show that the sea-
    importance; bed is covered by prickly penn shells (Pinna sp.),
    x assessment of environmental quality (chemi- which are large, slow growing upright bivalves that
    cal and biological) at the time of survey to can grow up to 20cm high. The photographs also
    provide a temporal benchmark against which provide the means to readily interpret the side scan
    previous baseline or future monitoring sur- sonar data correctly.
    veys can be compared.
    Without these seabed photographs it would be diffi-
    The bathymetry and seabed features maps created cult to come to the correct interpretation. The mottled
    from pre-engineering survey data constitute the ideal seabed might be interpreted as highly reflective
    starting point for environmental interpretation. In- cobbles or nodules, and core or grab samples com-
    deed, on those occasions where surveys are carried monly taken to ground truth pre-engineering surveys

    206
    may not provide sufficient information because of necessary to undertake the environmental sampling
    the sparse distribution of the shells. This is perhaps during a separate survey phase after completion of
    an unusual example, but it serves to illustrate benefits the geophysical survey. The environmental survey
    of integrating pre-engineering and environmental strategy comprised sediment sampling and seabed
    objectives at both the survey planning and the inter- photography at a number of locations picked to char-
    pretation stages of seabed surveys. acterise the full range of depths and sediments (as
    indicated by acoustic facies), as well as a number of
    a) features consistent with the presence of potential sen-
    sitive habitats.

    Several patches of ross worm reef, formed by S. al-


    veolata, were identified and delineated by correlating
    the seabed habitats viewed on camera transects to the
    side scan sonar record. The limited size and the posi-
    tion of these reefs away from the proposed survey
    route meant that they did not qualify as environmental
    constraints. However, a large horse mussel (M. modio-
    lus) bed was identified which preliminary camera
    b) transects indicated spread across the entire width of
    the survey corridor (Figure 3). Fortunately, it was pos-
    sible to acquire additional sonar data and, together
    with seabed photographs, identify a suitable route
    around this feature that satisfied the UK regulators.

    This case study demonstrates the value of undertak-


    ing integrated pre-engineering and environmental
    surveys, although in this case the scale and complex-
    ity of the survey scope necessitated separate geo-
    physical and environmental phases. There is an in-
    Figure 2: Data example from Arabian Gulf showing: (a) side-
    scan sonar record with highly reflective mottled seabed caused
    herent risk with such an approach that environ-
    by large muscle-like prickly penn shells; and (b) seabed photo- mental constraints will be identified which require
    graph showing prickly penn shells from the same area further investigation by geophysical survey. To
    minimise survey costs, environmental sampling is
    3.2 Irish Sea case study commonly undertaken from smaller vessels incapa-
    This survey was carried out in 2009 along a proposed ble of collecting geophysical data. As this example
    interconnector cable route between Ireland and North has demonstrated, cost savings achieved through use
    Wales. Several vessels were used to acquire a com- of smaller, less well equipped vessels may be out-
    bination of geophysical, geotechnical and environ- weighed by the additional expense of having to re-
    mental data. Due to the scale of the survey, it was mobilise a specialised geophysical survey vessel.
    

    Original geophysical
    survey corridor Interpreted boundary
    of mussel bed

    Original geophysical
    Additional survey corridor
    geophysical survey
    Lines

    Figure 3: Side scan sonar mosaic from the Irish Sea showing mottled high reflectivity of a horse mussel bed and inlaid seabed pho-
    tograph; the coloured dots represent seabed photograph interpretation (red = live mussels present, orange = >70% shell,
    yellow = 5069% shell, green = 2049% shell, blue = 019% shell)

    207
    3.3 Central North Sea case study Environmental samples were collected at various
    This case study is a rig site survey in which geo- points in the survey area. Those taken in the area of
    physical data was collected for seabed clearance pur- Forth Formation confirmed the interpretation of silts
    poses, as well as to investigate anchoring conditions and sand, but those taken at the Coal Pit Formation
    prior to the installation of a semi-sub drilling rig. outcrop contained a lower proportion of fines (Sam-
    Seabed sampling and video transects were also car- ple 1A in Figure 6), as well as sand and gravel. No
    ried out as part of a habitat investigation. clay was recovered, and no signs of clay were no-
    ticed from the seabed photographs. This presents a
    Interpretation of the geophysical dataset identified a situation where, for pre-engineering purposes, there
    seismic horizon on sub-bottom profiler data. This is a seabed outcrop that consists of clay, but for envi-
    was interpreted to be the interface between the Coal ronmental purposes, the habitat is based on sand and
    Pit Formation and the overlying Forth Formation, gravel with a smaller amount of silt. It should be
    which is typical for this area of the central North Sea noted that the distinction between clay and silt at the
    (Figure 4). The Coal Pit Formation has been widely seabed is significant for environmental purposes, be-
    sampled by geotechnical boreholes, and although it cause metals are adsorbed onto clay particles but not
    can be highly variable, it is usually recorded as onto silt particles (Forstner and Whittmann, 1979).
    SAND, stiff silty CLAY, and inter-laminated CLAY However, for geotechnical purposes, both clay and
    and fine silty SAND. Gravel, pebbles and dropstones silt are cohesive soils and behave in a similar way.
    are also present. The overlying Forth Formation has a
    different seismic character and consists of soft silts Two groups working independently may easily pre-
    and sands (Gatliff et al., 1994). In this case the Coal pare separate reports that contradict each other, so
    Pit Formation outcrops at the seabed within the sur- there is a need to explain this apparent conflict. In
    vey area, where it appears on side scan sonar records addition, it is important to find a way to fully use all
    as an area of mottled and slightly higher reflectivity the data available to provide a better quality interpre-
    (Figure 5). This was described as predominantly clay tation for both pre-engineering and environmental
    in the original interpretation of the pre-engineering
    purposes.
    survey, which relied only on side scan sonar data and
    gravity cores.
    In this case, it was suggested that where the Coal Pit
    Formation outcrops, the clay has been winnowed
    away by currents thus leaving predominantly sand at
    Whitethorn
    the seabed and sufficient gravel to produce the higher
    Forth Member reflectivity on side scan sonar records originally in-
    Formation terpreted as clay. Clay may have been recorded in
    Fitzroy
    Member gravity cores, but the grab samples showed that it is
    10m not present within 10cm of the seabed and therefore
    it is not relevant to the seabed habitat. So was the
    Coal Pit
    Formation original interpretation of seabed sediments wrong?
    Technically perhaps it was, and environmental scien-
    tists would probably agree, but a description of clay,
    when gravity cores show that this is present immedi-
    ately below the seabed, is probably not misleading
    Figure 4: Sub-bottom profiler data showing Coal Pit Formation
    and will be very useful for those concerned with an-
    outcrop and boundary with Forth Formation
    choring or other invasive activities.

    This example demonstrates that the term seabed


    means different things to different people. Environ-
    mental scientists consider the seabed to be the sur-
    face sediment layer within which most marine mac-
    rofauna reside typically the top 510cm, although
    the precise depth varies according to the depth of
    oxygen penetration (Dauwe et al., 1998). In contrast,
    engineers, mariners and most others with an interest
    in the seabed will be more interested in its substance.
    Figure 5: Side scan sonar record showing small patches of A veneer of sand or gravel is of little significance to
    higher reflectivity at Coal Pit Formation outcrop originally any engineering activity if it overlays a clay substra-
    interpreted as CLAY tum.

    208
    Figure 6: Seabed features map from North Sea site survey showing environmental sampling stations and percentage of fines in sea-
    bed samples
    In this case, the grab samples and seabed photo- physical interpretation. In this case reef-like
    graphs collected for environmental purposes have aggregations of the polychaete worm Sabel-
    been able to refine the pre-engineering interpretation, laria spinulosa were suspected from the sonar
    providing an example of good cooperation at the in- mosaic and later confirmed by seabed photog-
    terpretation stage and an understanding of the inter- raphy (Figure 8). Another area of Sabellaria
    ests of others. All information can be used to benefit reef was detected at KP 190 (Figure 9), in this
    both studies. case characterised by a lack of ripples evident
    on the sonar mosaic indicating more stable,
    3.4 Case study of a pipeline route survey in the non-mobile sediment.
    southern North Sea 3. The results of the environmental sample
    This survey, carried out in 2010, was a pipeline route analysis and seabed photography classifica-
    survey in the southern North Sea for both pre- tion were used to refine the geophysical in-
    engineering and environmental purposes. The survey terpretation.
    involved the collection of geophysical, geotechnical 4. A correlation process was carried out to make
    and environmental data in both near-shore and off- sure that the geophysical interpretation was
    shore phases. There was good cooperation between consistent with the environmental and geo-
    the different technical specialists involved at all technical samples and descriptions.
    stages of planning, data interpretation and reporting. 5. One of the results was a seabed features map
    At the end of the survey, a series of integrated and that was more detailed than if it had been pre-
    consistent reports were delivered. Key to the success pared from a pre-engineering geophysical
    of this survey was that all reports were compiled and survey on its own (see Figure 7, which com-
    issued from the same office. The main stages in de- pares the pre-engineering seabed features map
    livery of the integrated report are summarised below: with the sonar mosaic presented in the habitat
    1. The geophysical survey was planned and exe- investigation report).
    cuted in a conventional way. A preliminary
    4. Conclusions
    seabed map was produced from an interpreta-
    tion of echo sounder and side scan sonar data. Consideration of both pre-engineering and environ-
    A section of this map at KP 54 is shown (up- mental needs at all stages of planning seabed surveys
    per part of Figure 7). will provide operational benefits for both. Use of all
    2. The map was used to pick the environmental of the data acquired for both pre-engineering and en-
    sampling stations and video transects to vironmental purposes in an integrated interpretation
    achieve both systematic coverage of the route will improve the quality of both aspects of a survey
    and to investigate areas of possible sensitive and, in some cases, can be essential in coming to the
    biotopes identified from the preliminary geo- correct conclusions.

    209
    Figure 7: Southern North Sea pipeline route survey showing pre-engineering seabed features chart and sonar mosaic from the
    habitat investigation report

    x Pre-survey planning should consider both


    pre-engineering and environmental survey
    requirements.
    x All parties involved in commissioning and
    undertaking offshore surveys should be
    aware of potential environmental con-
    straints. In the event that sensitive habitats
    are encountered, sufficient geophysical data
    and environmental ground-truthing data
    Figure 8: Sonar mosaic and seabed photograph showing should be acquired to relocate/re-route
    Sabellaria spinulosa on the proposed pipeline route. around them.
    x Ground-truthing programmes should be de-
    Area of Sabellaria signed to optimise data acquisition for both
    spinulosa aggregation pre-engineering and environmental pur-
    Fine to medium
    sand with gravel poses.
    and shell frag- x Pre-engineering and environmental special-
    ments ists should make full use of all available
    Biotope: A5.611:
    Sabellaria spinulosa
    ground-truthing data to inform and ensure
    on stable circalittoral the reliability of their assessments, bearing
    mixed sediment in mind the sampling efficiency of different
    seabed ground-truthing gear.
    Coarse sand with
    gravel and shell Biotope: A5.4:
    fragments Sublittoral
    Interpreted maps of acoustic facies (i.e. seabed fea-
    tures) are required by specialists from both disci-
    Figure 9: Side sonar mosaic from North Sea route survey
    plines, so a common approach to seabed mapping
    showing interpretation of biogenic reef area (Sabellaria reef)
    should be developed to avoid duplication of effort.
    Key points for efficient integration of pre- This will ensure that the produced maps satisfy
    engineering and environmental survey and report- both pre-engineering and environmental require-
    ing include the following: ments.

    210
    Acknowledgments

    The authors wish to thank EirGrid plc, Centrica


    Energy Upstream and E.ON UK plc for allowing
    the use of their survey data. Staff at Fugro in Great
    Yarmouth and Edinburgh are thanked for their
    helpful advice and assistance with the production
    of this paper, especially Jacco Veenboer, Richard
    Walters, Jim McDougall, Geraint Harris-Bryant,
    Grant Taylor, Barbara Hodds and Lauren Molloy.

    References

    Convention for the Protection of the marine Envi-


    ronment of the North-East Atlantic (OSPAR).
    (2004). OSPAR Guidelines for monitoring the
    environmental impact of offshore oil and gas
    activities. Reference 2004-11E. London:
    OSPAR Commission, 19pp.
    Dauwe B, Herman PMJ and Heip CHR. (1998).
    Community structure and bioturbation poten-
    tial of macrofauna at four North Sea stations
    with contrasting food supply. Marine Ecology
    Progress Series 173: 6783.
    Forstner U and Whittmann G. (1979). Metal Pollu-
    tion in the Aquatic Environment. New York:
    Springer-Verlag, 486pp.
    Gatliff RW, Richards PC, Smith K, Graham CC,
    McCormac M, Smith, NJP, Long D, Cameron
    TDJ, Evan, D, Stevenson AG, Bulat J and
    Richie JD. (1994). The Geology of the Central
    North Sea. British Geological Survey. United
    Kingdom Offshore Regional Report. London:
    Her Majestys Stationery Office.
    International Association of Oil and Gas Producers
    (OGP). (2011). Guidelines for the conduct of
    offshore drilling hazard site surveys. Report
    No. 373-18-1.

    211
    212
    ENVIRONMENTAL IMPACT OF SUBSEA TRENCHING
    OPERATIONS
    S Gooding
    Geomarine Ltd, Prestwick Park, Newcastle, UK
    K Black
    Partrac Consulting, Newcastle, UK
    P Boyde and S Boyes
    CTC Marine Projects, Darlington, UK

    Abstract
    Subsea trenching operations are routinely performed to provide protection for pipelines, umbilicals and power
    cables. The increase in offshore wind farm developments and the focus on environmental impact from new
    regulatory bodies and the public have focused attention on trenching operations. This paper reviews the meth-
    ods of trenching routinely used and their impact on the seabed. Two case studies are presented showing the
    actual and modelled effects of trenching operations. Consideration is given on methods that could be used for
    real-time monitoring of trenching operations.

    1. Introduction the seabed, or lowered into an open trench that is


    deep enough to provide protection (Machin, 2000).
    There is frequently a requirement to bury pipelines To create a trench in the seabed, numerous subsea
    and cables into seabed sediments to protect them trenching tools have been developed, though all of
    from external threats. A variety of trenching tech- the machines can be classified as one of three basic
    niques are used that are dependent on the seabed types: ploughs, jet trenchers or mechanical cutters.
    sediments present and the nature of the product be- Hybrid machines, which use a combination of the
    ing trenched. The trenching operations can have a techniques, exist but can normally be recognised as
    potentially adverse effect on the seabed environ- being primarily of one kind or another. The basic
    mental conditions, through lifting sediment parti- principles of the three methods are described in the
    cles into the water column and disturbing the sea- following sections.
    bed surface sediments. This paper reviews the op-
    eration of the different trenching techniques avail- 2.1 Ploughing
    able, including jetting, ploughing and mechanical Ploughs derive historically from agricultural
    cutting tools. It then assesses and discusses the im- ploughs and work in the same way a mass of
    pact of these techniques on the seabed environment. sediment is sheared out of the ground. Ploughs are
    This is then placed in the context of naturally oc- subdivided into two groups, cable ploughs and
    curring events, such as sediment mobility, and an- pipeline ploughs. A cable plough cuts a narrow ver-
    thropogenic activities, such as fishing and aggre- tical sided trench, lifting and squeezing a relatively
    gate dredging. small wedge of sediment into the side of the trench
    wall. It makes only a space big enough to fit the
    2. Trenching Operations Method and Impacts product. Very little spoil is lifted out of the trench.
    A pipeline plough generally uses a 35 V-shaped
    Submarine cables, umbilicals and pipelines must be share to cut trenches up to 2.5m deep. The seabed
    protected from damage, which could be caused by is caused to shear and the spoil material is lifted up
    accidental impact from ships anchors or trawling and out of the trench, in either cohesive sediments
    activities. Fatigue of products can also occur if the blocks or as a non-cohesive mass. The spoil is posi-
    seabed around them is scoured by wave or tidal cur- tioned onto the seabed and shaped in to stable piles
    rents. To mitigate against these effects, pipelines, by mouldboards, which prevent the spoil falling
    umbilicals and cables are routinely buried beneath back into the trench.

    213
    2.2 Jet trenching material and excavate or lift the material out of the
    In non-cohesive sediments, jet trenchers operate by trench. Dredge pumps are routinely used to assist in
    injecting water into the sediment matrix, which lo- clearing spoil from the base of the trench, ejecting
    cally increases the pore pressure and reduces the ef- the material to either side of the vehicle.
    fective stress (Peng and Capart, 2006). This causes
    liquefaction of the sediments. If a pipeline or cable 2.4 Impact of trenching operations
    is lying on the surface and has a specific gravity Subsea trenching operations are used to create
    greater than that of the sediment/water slurry, the trenches that are generally between 0.7m and 2.5m
    product will sink into the trench. Over time as the deep. For special projects or operations in ice prone
    excess water dissipates, the sediment consolidates areas, the depth of trench may be required to in-
    over the product. crease upwards of 5m. The relative width of the
    trench depends on the trenching technique used and
    In cohesive sediment, a trench is cut with jets on the the overall target depth. Of particular interest at the
    front of a jet leg by a combination of sediment fail- present is the large volume of trenching required in
    ure: (a) the shear forces induced by water flowing relatively shallow water for the installation of both
    tangentially to the material surface; (b) bearing pres- export and array cables associated with wind farms.
    sure failure caused by the stagnation of a water jet Trench depths and widths for these are generally
    impinging normally on the sediment material sur- 0.72.0m and 0.51.5m, respectively. Figure 1
    face; and (c) hydro-fracturing caused by the increase shows typical profiles left after jet trenching opera-
    in water pressure in a shallow cavity in the sedi- tions in a range of seabed conditions.
    ments. The trench is cleared by rear facing water
    jets, which lift material out of the trench (Machin et Figure 2 shows the trench profiles created by plough
    al., 2001). In all sediment types, jetting causes mate- and mechanical cutting operations. As can be seen,
    rial to be lifted into suspension, with coarse material spoil heaps either side of the trench are better de-
    settling rapidly out of suspension and fines being fined, which is a result of less material being lifted
    dispersed. into suspension during operations. However, the
    area of direct influence on the seabed is much
    2.3 Mechanical cutting greater. Pipeline plough operations affect a corridor
    Mechanical cutters generally use chains modified up to 25m wide, particularly from backfill ploughs
    from the mining industry to cut a slot, or Vshaped, where the seabed is being scraped to move material
    trench in the seabed. The chains break up the seabed back into the trench.

    Cohesive sediment (a) Soft clay: Minimal deposits from the excavation of the trench
    are deposited on the surrounding seabed. Most material is de-
    posited at a greater distance from the trench. Up to 70% of ma-
    terial is lost.

    (b) Firm/stiff clays: The firmer sediment does not completely


    fluidise, so lumps of clay are deposited as noticeable spoil
    heaps on either side of the trench. Approximately 5070% of
    material is lost.

    Non-cohesive sediment (c) Loose sands: The loose nature of this material makes it rela-
    tively easy to jet. Most material is returned to the trench, and
    about 30% material is lost resulting in localised collapse of the
    trench. Usually good cover depths are achieved.

    (d) Dense sands: This material collapses, but because of the


    higher relative density of the sands, a steeper side slope occurs.
    Sand fluidised during trenching does not generate any notice-
    able spoil heaps, and 1530% of material is lost mainly fines.

    Layered seabed (e) Layered sediment formations: The profile adopts a mixture
    of characteristics depending on the profile.

    Figure 1: Jet trench profiles in varying seabed conditions

    214
    3.3 Turbidity measurement
    Various technological approaches (and instruments)
    have been developed over the last 50 years to meas-
    ure the concentration of suspended sediment in
    aquatic systems. Generally the methods can be sepa-
    rated into two approaches: optical and hydroacous-
    tic. The main commercially available optical meth-
    ods include transmissometry, nephelometry and op-
    tical backscatter sensors (OBS). OBSs are entirely
    point sensors, that is they measure SSC at a single
    point only. If measurements are required at different
    locations, then more than one sensor is needed.
    Figure 2: Typical plough trench profile
    Moreover, the measurement volume of point sensors
    is comparatively small, ranging from ~101 cm3 for
    3. Turbidity OBS sensors, to ~10-1 cm3 for nephelometers.
    3.1 Introduction Sediment concentration can also be measured
    Liberation (or re-suspension) of the seabed caused through a hydroacoustic methodology. Transmission
    by cable installation operations gives rise to near- of a sound pulse through clear water and through a
    bed, turbid plumes of sediment. Turbidity is a gen- turbid suspension differs on account of the presence
    eral and colloquial term meaning the optical prop- of the particles. The theory describing these
    erty that causes light to be scattered and absorbed by interactions has been developed (e.g. Thorne and
    particles and molecules, rather than transmitted in Hanes, 2002), from which it is possible to derive the
    straight lines through a water sample (Environ- sediment concentration at different ranges from the
    mental Protection Agency (EPA), 1999). Simply source of the sound pulse. The chief advantage and
    stated, turbidity is the measure of relative clarity of a difference from the optical methods is that it
    liquid. The specific, measureable quantity associated measures turbidity along a narrow plane at distances
    with turbidity is the suspended sediment concentra- of tens of metres from the sensor itself that is, it is
    tion (SSC) that is, the dry mass of sediment within a non-point measurement. Since sediment plumes
    a specific volume (kg m-3). For most realistic situa- may rise and spread away from the installation
    tions, including cable installation, collection of wa- vehicle during cable installation, it may thus be a
    ter samples to determine the SSC during the installa- preferable measurement approach.
    tion process is not practical. Nowadays, a range of
    turbidity sensors have been developed which can Regardless of which method is used (water) samples
    measure SSC directly in situ, continuously and at of suspended sediment under consideration are re-
    high frequency (e.g. 1Hz). Development of these quired for calibration (see Holdaway et al., 1999, for
    sensors has transformed the ability to measure, and practical application). In the specific context of ca-
    therefore understand, the processes contributing to ble installation it is unlikely these are available, in
    the generation of turbidity and to the magnitude and which case samples of the bottom can be used. If
    fate of re-suspension. there are significant differences in particle size along
    a route, samples should ideally be collected from
    3.2 Regulatory background each major sediment type. Calibration of optical
    Some developers may collect data on turbidity as a sensors is relatively straightforward, while the hy-
    matter of good practice and to show environmental droacoustic method is not so readily calibrated. In
    awareness and willingness in front of the regulator. principle, the latter would require real-time water
    However, within UK territorial waters both domestic sampling during the cable trenching operation,
    and international (European) legislation provide the which is difficult to achieve. Notwithstanding this,
    ultimate drivers that create statutory obligations for the hydroacoustic method remains useful even if un-
    the collection of turbidity data. The principal legisla- calibrated, as it can indicate the extent of sediment
    tive items are the European Commission (EC) Habi- plumes (i.e. areas of greater acoustic backscatter)
    tats Directive (Council Directive 92/43/EEC) and around the trench apparatus, even if it cannot pro-
    the Environmental Impact Assessment Directive vide estimates of concentration.
    (Directive 85/337/EEC (amended 1997/1002). Regu-
    latory mandation requires the collection of turbidity 3.4 Plume dispersal, measured and modelled
    data, usually as a condition or caveat on the license Measurement of the plumes arising from trenching
    or permit that allows installation. operations is achieved by fixing turbidity sensors

    215
    onto the trenching apparatus in locations where tur- 4. Seabed Disturbance from Trenching
    bidity is generated, or placing turbidity sensors at
    strategic locations close to the trench route. Meas- 4.1 Benthic fauna
    uring the wider (spatial) development of the plume Inevitably the cable installation process represents a
    is, in principle, possible using the acoustic Doppler severe physical disturbance to animals that live in or
    current profiler (ADCP) technology, but calibration on the seabed. The impact of sediment upon benthic
    is (as noted earlier) rather difficult. The ADCP communities varies, depending on factors such as
    method is particularly sensitive to changes in parti- volume and sediment characteristics of the dis-
    cle size, and therefore an extensive set of water charged material, water depth, local hydrodynamics,
    samples is usually required to provide a robust as- types of organisms inhabiting the route corridor and
    sessment of concentration. For the most part, this is similarity of liberated to surface (Windom, 1976).
    not practical during trenching operations, although
    in theory, a vessel-mounted ADCP could be used to Displacement of the sediment within the trench will
    collect uncalibrated backscatter data that would in- destroy seabed habits on a very localised basis.
    dicate regions of higher sediment concentration. Where coarser sediments are resuspended, their
    However, the potential for interference of the sur- probable fate is to settle back in the very near-field
    vey vessel with the trenching equipment would be (~100m), which may impact upon benthic species
    very high. sensitive to smothering. Farther afield (within 1
    2km of the cable route) there may also be a deposi-
    An alternative approach is to model the formation- tion of finer particles, which may give rise to effects
    dispersion of the liberated sediment. Off-the-shelf on the benthic biota. In comparatively shallow
    numerical models are available commercially (e.g. coastal systems benthic animals have, to an extent,
    Danish Hydraulic Institutes MIKE series of models adapted to the dynamic sedimentary conditions that
    and Delft 3D) for such purposes. Nowadays, these prevail, and are consequently capable of withstand-
    models can address a wide range of coupled fluid- ing local sedimentation rates (e.g. Smith and Rule,
    sediment phenomena, and provide a simple-to-use 2001).
    graphical user interface (GUI) for the input of data
    and visualisation of results. When provided with the Far-field deposition of fine grained sediment may
    relevant input data (e.g. particle size distribu- thus not be a significant issue in many cases of cable
    tion/settling velocity spectra, sediment density, wa- installation. Indeed, filter-feeding organisms entrain
    ter temperature and salinity, tidal ellipse) the models particles from the water column using a variety of
    can map the fate of a turbid plume through a number feeding appendages. An increase in the concentra-
    of tidal cycles. Typical model outputs include: the tion of suspended organic particles in the lower lay-
    maximum point of (tidal) excursion; the dilution and ers of the water column represents an increase in
    sedimentation (deposition) through time; the depos- food supply, and so filter-feeding animals generally
    ited layer thickness; and typical suspended sediment benefit. There is a good deal of evidence from other
    concentrations. surveys that disturbance of biota by dredging may
    release sufficient organic materials to enhance the
    Models are especially useful, as the range of pa- species diversity and population density of organ-
    rameters delivered via the results is beyond that isms outside the immediate zone of deposition of
    which could be established by measurements. In ad- particulate matter (Jones and Candy, 1981).
    dition, their ability to represent concentrations over
    wide spatial scales and through time is a particularly Equally, the severe physical disturbance to habitats
    useful attribute of models. However, as noted by created by the trenching equipment is, in terms of
    Black et al. (2007): the utility of models is propor- magnitude, far above the scale of any natural proc-
    tional to their ability to accurately represent real- ess. Most coastal macrobenthic communities would
    world processes. All models would forever remain be unlikely to survive the mechanical upheaval asso-
    exercises in applied mathematics if they are not cali- ciated with trenching. Most soft bodied organisms
    brated to provide as accurate a representation of re- (e.g. lugworms) would suffer bodily rupture. Filter
    ality as they can. They also require validation, a feeding species (e.g. mussels) living in the surface of
    process in which model predictions are tested route sediments would be displaced and choked.
    against an entirely independent dataset. Section 7 Only mobile species, such as bottom-dwelling fish,
    provides a case study of the use of a model to deter- mobile invertebrates (e.g. crabs, shrimps) may be
    mine plumes arising through the trenching process. able to avoid the trenching process by relocating.

    216
    Areas close to the cable (trench) route will likely it persists then re-population rates will inevitably be
    experience large-scale (cm dm) deposition, largely longer. The main causes will be the change in habi-
    of coarser material. These will physically smother tat and the absence of benthic species adapted to the
    benthic habitats with a layer of sediment. While the different sediment type. Data from the aggregate
    sediment may frequently be no different in terms of dredging arena (albeit a different form of dredging)
    composition to surface sediments, the sheer mass indicate typical re-population rates for fine deposits
    and thickness of the sediment layer will overwhelm (characterising coastal ecosystems such as the Dutch
    both mobile and sessile species, as well as deposit Waddensea) of ~l3 years in areas of strong cur-
    and filter feeding species. Fish caught in the deposi- rents, and up to 510 years in areas of low current
    tion event will likely experience clogging of gill velocity (van der Veer et al., 1985). Lenhard and
    rakers and gill filaments by particulate matter. Since Birkland (2006) demonstrate that for the Danish
    trenching is neither a regular nor natural process, Horns Rev development, recovery of benthic fauna
    there is no driver for biota to adapt to such high lev- community structure and biomass was ongoing two
    els of environmental disturbance. The conceptual years after the major part of the cable trenching was
    benthic impact arising from deposition of sediment completed.
    during the trenching process is highly similar to that
    found in seabed deposits surrounding more conven- While the foregoing indicates potential changes to
    tional dredging (e.g. for aggregate resources): a sig- benthic fauna due to trenching, it is important to re-
    nificant fall in species numbers, population density member that the net footprint of the entire cable cor-
    and biomass of benthic organisms. ridor is relatively small in relation to the regional
    seabed area. Moreover, trenching is a time-limited
    4.2 Re-population process, and therefore impacts are envisioned to be
    Re-population of the seabed close to the trench fol- temporary. Finally, while the changes to the sedi-
    lowing large-scale near-field deposition will inevita- mentary environment are expected to occur, these
    bly occur. The rate of recovery is, however, highly need to be placed within the context of changes due
    variable; it will depend on the type of community to natural (and other anthropogenic) forcings. This
    that inhabits the seabed in the surrounding area and issue is discussed further in section 5.
    the textural characteristics of the deposited layer.
    Since the trenching process excavates sediment to a 5. Turbidity and Seabed Disturbance by Other
    depth of ~0.71.0m and some sediments are known Causes
    to be stratified vertically, the re-population process
    may be altered if the deposited layer is different to 5.1 Natural causes
    the native seabed. Rapid rates of initial recolonisa- In order to adequately describe the magnitude of the
    tion might be expected for some coastal deposits environmental impact of the sediment disturbed be-
    where the organisms are mainly mobile opportunis- cause of trenching operations, it is necessary to set
    tic species that have a rapid rate of reproduction and trenching operations within a context that includes
    growth, and where the deposited layer is highly turbidity generation due to both natural processes
    similar to the surrounding seabed. Such organisms and other anthropogenic causes. If, for example, the
    may be able to recolonise the deposits by migration sediment concentrations generated by trenching op-
    of the adults, such as through transport on tidal cur- erations are lower than either (or both) of these other
    rents (Hall, 1994), or by colonisation and subsequent forcings, are transient rather than persistent and lib-
    growth of larvae from neighbouring populations. erate only highly similar sediment into suspension
    These processes may occur immediately after cessa- then there cannot be a serious adverse environmental
    tion of trenching, but it may take months to years for impact. This comparative approach is the means
    the benthic community assemblage to return to the through which environmental impacts are conven-
    pre-trenching status quo (Newell et al., 1998). tionally considered within environmental impact as-
    sessments (EIA).
    Where trenching has liberated substantial quantities
    of sediment different (e.g. finer) than the surround- Surficial seabed sediments are subjected to two natu-
    ing seabed, a deposited layer that is different to the ral forcings, which can lift material into suspension.
    immediately surrounding may be formed. It may These forcings are: (a) friction due to tidal currents;
    constitute a habitat that may thus be alien to the and (b) friction due to oscillatory, wave-induced mo-
    indigenous macrobenthic community. Although tidal tions. Tidal currents prevail across all shelf sea
    transport and exposure to wave action may change sediments. However, wave action is very much a
    the physical characteristics of the deposited layer, if seasonal phenomenon, and penetration of wave en-

    217
    ergy to the bed is water depth dependent. Theoretical reading, rather than a sediment concentration
    estimates can be made of the frequency of sediment taken down-current displayed an average
    mobilisation. Similarly, estimates of probable sedi- reduction of 0.72% per metre between 20m
    ment concentrations under a range of wave-current and 30m readings, and an average drop of
    conditions can be determined. In most cases, a me- 3.2% per metre between 30m and 50m read-
    tocean monitoring campaign will be commissioned ings.
    during the early stages of the project development. x Up-current FTU readings displayed an aver-
    In addition, information may be available from pre- age reduction of 6.2% per meter between
    viously published studies. Parr et al. (1998), for ex- 20m and 30m readings and an average drop
    ample, quote annual mean suspended solids concen- of 0.45% per metre between 30m and 50m
    trations around the English and Welsh coast of typi- readings.
    cally 1110mg l-1. x Based on the average readings taken, turbid-
    ity levels fell by 66.8% down-current and
    5.2 Anthropogenic causes 65.4% up-current between 20m and 50m
    Besides trenching operations, other anthropogenic from the RT-1.
    activities cause the suspension and movement of
    sediment. Such activities include aggregate and It was estimated from these results that the turbidity
    other mineral(s) extraction, benthic trawling, anchor- level would fall to ambient levels within 66m of the
    ing and offshore construction vessel operations (e.g. trencher.
    scour around jack-up legs). In a similar comparative
    approach to that described earlier, and to set the im- The results of monitoring in sand areas showed the
    pact from trenching operations into context, the following:
    magnitude of sediment concentration arising from
    trenching operations can be compared to concentra- x FTU readings taken down-current displayed
    tions caused by the range of (ongoing or already an average reduction of 2.28% per metre be-
    permitted) anthropogenic activities. The relative im- tween 20m and 30m readings, and an aver-
    pact of each activity can then be compared on a par- age drop of 2.93% per metre between 30m
    ity basis. and 50m readings.
    x Up-current FTU readings displayed an aver-
    6. Case Study 1: RT-1 Operation age reduction of 1.57% per meter between
    20m and 30m readings, and an average drop
    CTC Marine Projects undertook a series of trenching of 2.55% per metre between 30m and 50m
    trials of the RT-1 trencher on the North West Shelf readings.
    of Australia. RT-1 is a 2.35MW trenching system x Based on the average readings taken, turbid-
    designed to cut a 2.0m deep trench with 45 V- ity levels fell by 88% down-current and 77%
    shaped sides in hard and cemented ground. A series up-current between 20m and 50m from the
    of four dredge pumps are fitted to the trencher to RT-1.
    remove spoil, the largest eject material at a height of
    6m above seabed at the rear of the machine. It was estimated from these results that the turbidity
    level would fall to ambient levels within 70m of the
    A key element of the trials was an assessment by a trencher.
    CTC subcontractor of the environmental impact of
    the trencher. The data acquired included turbidity 7. Case Study 2: Plume Modelling/Dredging
    and noise monitoring during trenching operations Operations
    and remotely operated vehicle (ROV) surveys prior
    to and post-trenching. The trials were conducted at There are, at present, two major offshore wind farm
    four locations, selected for varying seabed condi- developments in the outer sea areas of both the Firth
    tions and ranging from well cemented calcarenite, to of Tay and Firth of Forth (Figure 3). In the former,
    loose to medium dense carbonate sands. Monitoring Repsol Nuevas Energias UK Ltd is developing the
    was conducted at 20m, 30m and 50m offsets from Inch Cape site, designated to have up to 180 turbines
    the machine in both the up and down current direc- with an estimated installed capacity of 1000MW and
    tions. The results of monitoring in hard ground areas a potential yield of over 3000GWh per year. Farther
    showed the following: south, off Fife Ness, Mainstream Renewable Power
    is developing the Neart na Gaoithe site, designated
    x Formazin turbidity unit (FTU) readings to have 75125 turbines with an estimated installed
    which is a raw (uncalibrated) instrument capacity of 420MW.

    218
    (a)

    Figure 3: Map showing the locations of the Inch Cape and


    Neart na Gaoithe offshore wind farms (map source: United
    Kingdom Hydrographic Office (UKHO))
    (b)
    The Neart na Gaoithe site is presently going through
    the consenting process. To date, a wide range of site
    surveys (i.e. metocean, geophysical and environ-
    mental surveys), including along two prospective
    cable routes and landfalls, have been undertaken in
    support of the EIA. These have contributed towards
    a detailed conceptual model for the site. The data
    collected are of sufficient quality to be used as input
    to a numerical hydrodynamic model developed for
    the site by Intertek METOC/Partrac Consulting.

    Investigations into the plumes likely to be formed


    during trenching, and their magnitude and spatial
    extent, were undertaken for the southern of the two
    prospective routes using the model. Data on the (c)
    sediment characteristics was obtained from surface
    samples collected along the cable route. All tidal
    current information was available from the model,
    which was calibrated using the data collected during
    the oceanographic monitoring campaign. Data on the
    volumes and rates of production of nearbed sus-
    pended sediment were obtained through a consulta-
    tion with industry cable installation specialists.
    Typical cable burial depths for offshore wind farms
    are 0.71.0m, with trench widths of ~0.30.7m. Av-
    erage rates of progress for their cable installation are
    of the order 300400m per hour, which gives 1800
    2400m of excavation per half tide. A total volume of
    sediment liberated per hour is ~150m3, or 222 600kg
    (assuming a porosity of ~0.4). A worst case scenario Figure 4: Predicted sediment deposition thickness due follow-
    would be created by using the finest observed and ing cable trenching at three locations along the Torness export
    assuming 100% liberation into suspension. cable route (Neart na Gaoithe offshore wind farm)

    The model was run assuming a moving discharge It is immediately clear, regardless of the position
    and over a spring-to-spring (16-day) tidal period. along the cable route, that a sediment plume gener-
    The sediments were introduced into the water col- ated is aligned with the dominant tidal axis (ap-
    umn 3m above the bed at three different locations proximately NNESSW). In addition, the material is
    along the export cable route. Figure 4 shows the re- distributed (deposited) both north and south of the
    sults of the model simulations. release point, and also laterally. A slightly broader

    219
    plume is found for the middle simulation, which is a References
    result of finer bottom sediments at this location. As
    expected, a region of greater deposition thickness Black K, Athey S, Wilson P and Evans D. (2007).
    (1.00.1mm) is found closer to the route, with lower The use of particle tracking in sediment transport
    thicknesses in an area around this (0.100.01mm). studies: a review In: Balson PS and Collins MB.
    Thicknesses of 10-2mm are approximating a single (2007). Coastal and Shelf Sediment Transport.
    grain diameter. Beyond ~23km from the cable Geological Society of London, Special Publica-
    route deposition (if it occurs) is too low to be de- tions 274, 7391.
    fined. The impact zone is, therefore, relatively nar- Environmental Protection Agency (EPA). (1999)
    row around the cable route. Although no data are Guidance Manual for Compliance with the Interim
    available on deposition thicknesses due to natural Enhanced Surface Water Treatment Rule: Turbid-
    processes, natural variability in deposition thick- ity Provisions, Chapter 7. EPA Publication Num-
    nesses due to tidal and wave action are likely to be at ber: 815R99010. Washington, DC: EPA, 216pp.
    least equal in magnitude and probably greater. This Hall SJ. (1994). Physical disturbance and marine
    is especially the case in the inshore regions and dur- communities: life in unconsolidated. Oceanogra-
    ing autumn and winter storms. The preliminary con- phy and Marine Biology: an Annual Review 32:
    clusion is therefore that excessive localised sedimen- 179239.
    tation due to trenching activities is not anticipated to Holdaway GP, Thorne P, Flatt D, Jones SE and
    occur, although a measureable impact area is able to Prandle D. (1999). Comparison between ADCP
    be defined using the model. and transmissometer measurements of suspended
    sediment concentration. Continental Shelf Re-
    8. Concluding Remarks search 19: 421441.
    Jones G and Candy S. (1981). Effects of dredging on
    Trenching to bury cables and pipelines is necessary the macrobenthic infauna of Botany Bay. Journal
    to protect these assets from damage. The basic sub- of Marine and Freshwater Research 32: 379399.
    sea trenching methods (water jetting, ploughing and Lenhard S and Birklund J. (2006). Chapter 4: In-
    mechanical cutting) to a greater or lesser extent will fauna, epifauna and vegetation Change in diver-
    give rise to an environmental (sediment) impact on sity and higher biomass. In: Danish Offshore
    the surrounding seabed. Either through good practice Wind Key Environmental Issues. Published by
    efforts or regulatory mandate, data are usually col- DONG Energy, Vattenfall, The Danish Energy
    lected in relation to the sediment impact. This is Authority and The Danish Forest and Nature
    achieved through collection of turbidity data. Agency, 144pp.
    Through advances in marine instrumentation, mod- Machin J. (2000). Recent research on cable jet bur-
    ern sensors are now available to measure turbidity in ial. Marine Technology Society Journal 34: 510.
    Machin JB, Manga FD, Mangal JK and Girard J.
    situ both quickly and continuously. The chief con-
    (2001). Recent Research on Stiff Clay Jetting.
    cern of generated turbidity is the effect on local ben-
    OTC 13139. Proc. Offshore Tech. Conf., Hous-
    thic and fauna, and the time for recovery considered.
    ton, USA.
    Large-scale disturbance is considered to be restricted
    Newell RC, Seiderer LJ and Hitchcock DR. (1998).
    to the immediate vicinity of the trench, less than
    The impact of dredging works in coastal waters: a
    10m either side, whereas fine sediments may be dis- review of the sensitivity to disturbance and sub-
    placed between 50m and 2km. However, in order to sequent recovery of biological resources on the
    review the significance of these impacts, these need sea bed. Oceanography and Marine Biology: an
    to be judged in comparison to other natural (e.g. Annual Review 36. London: University College
    storm) and non-natural (e.g. fishing, dredging) proc- London Press, 127178.
    esses that also generate turbidity. Parr W, Clarke SJ, Van Kijk P and Morgan N.
    (1997). Turbidity in English and Welsh Tidal
    Two case studies have been presented describing Waters. Report to English Nature.
    both the actual and modelled impact of trenching Peng ATH and Capart H. (2006). Underwater sand
    activities from mechanical cutting and jet trenching. bed erosion and internal jump formation by trav-
    While the current capability in both modelling and elling plane jets. Journal of Fluid Mechanics 595:
    measurement of turbidity is relatively advanced, it is 143.
    concluded that more study and data is desirable, par- Smith SDA and Rule MJ. (2001). The effects of
    ticularly with regard to real-time measurement dur- dredge spoil dumping on a shallow water soft-
    ing cable trenching operations, to increase the un- sediment community in the Solitary Islands Ma-
    derstanding of the marine environmental impact of rine Park, NSW, Australia. Marine Pollution Bul-
    trenching operations. letin 42: 10401048.

    220
    Thorne PD and Hanes DM. (2002). A review of
    acoustic measurements of small-scale sediment
    processes. Continental Shelf Research 22: 603
    632.
    Van Der Veer MJN and Bergman JJ. (1985).
    Dredging activities in the Dutch Wadden Sea:
    effects on macrobenthic infauna. Journal of Sea
    Research 19: 183190.
    Windom HL. (1976). Environmental aspects of
    dredging in the coastal zone. CRC Critical Rev.
    Envir. Cont. 7: 91109.

    221
    222
    DYNAMIC PENETRATION OF A SPHERE IN CLAY

    J Morton and CD OLoughlin


    Centre for Offshore Foundation Systems, Perth, Australia

    Abstract
    This paper describes field tests in which a 250mm steel sphere was allowed to free fall through water from
    drop heights of up to 2m and dynamically embed the soft clay underlying the water. Instrumentation housed
    within the sphere measured accelerations in three orthogonal axes, as well as rates of rotation about those
    three axes. The data were used to calculate velocities and displacements of the sphere during free fall in water
    and embedment in soil. Reasonable agreement was obtained between the measured velocity profiles and ve-
    locity profiles predicted using a simple approach based on strain rate dependent shearing resistance and fluid
    mechanics drag resistance.

    1. Introduction ous assessment of dynamic penetration effects. Data


    from lake tests in which a substantially solid steel
    Understanding the processes associated with dy- sphere dynamically embedded very soft clay after
    namic penetration of rigid bodies from water into freefall in water are presented. The data are then
    soft soil is challenging. This is principally because used to validate an embedment model based on
    of: strain rate dependent shearing resistance and fluid
    (a) an ill-defined transition from water to soil mechanics drag resistance.
    and selection of appropriate material re-
    sponses in this zone; 2. Site Description and Soil Properties
    (b) an extreme strain rate dependency at high
    penetration velocities; and 2.1 Site location and description
    (c) uncertainties regarding the soil-structure in- Tests were conducted in Lower Lough Erne, North-
    terface behaviour for complex geometries. ern Ireland (see Figure 1). The lake is the third larg-
    est in Britain and Ireland, with an area of 109km2,
    There are a number of applications for dynamic and is part of the complex Erne system, with a
    penetration of rigid bodies, including installation of catchment of 4212km2.
    dynamically installed anchors, free-fall gravity core
    samplers and in situ characterisation tools. Previous
    work in this arena include centrifuge studies reported
    by Poorooshasb and James (1989), Richardson et al.
    (2006), OLoughlin et al. (2004, 2009); field tests
    reported by Freeman et al. (1984), Lieng et al.
    (2010); and numerical studies reported by Einav et
    al. (2004), Nazem and Carter (2010), Raie and Tas-
    soulas (2006). In these studies, the geometry of the
    rigid body tends to be rather complex, to the extent
    that a number of simplifying assumptions are re-
    quired in order to address the problem.

    In this paper, the geometry is simplified to a sphere


    for which the soil mechanics is quite well behaved Figure 1: Site location and bathymetric map of Lower Lough
    (Randolph et al., 2000). This permits a more rigor- Erne (after Lafferty et al., 2006)

    223
    The lower lake, which is situated in County Ferman-
    agh, is located in a deep glacial trough. The lakebed
    is largely composed of fine-grained sediments and
    limestone debris of boulder clay (Lafferty et al.,
    2006). At the test site, the lakebed is extremely soft
    to depths of at least 8m (Colreavy et al., 2012), and
    the superficial deposits are principally underlain by
    Carboniferous Limestone (Gibson, 1998).

    2.2 Soil classification


    A number of bulk excavated samples have been ob-
    tained from the test site from depths up to 2.5m, and Figure 2: Typical undrained shear strength profiles at the test
    some preliminary classification tests have been car- site
    ried out. Initial results are outside the range that is
    normally expected for soft clays. Natural moisture 3. Test Equipment and Testing Procedures
    contents are high throughout, with values in the
    range of 270520%. The Atterberg limits are also 3.1 Steel sphere
    high, with plastic limits of 130180% and liquid The custom-made mild steel sphere (Figure 3a,c) is
    limits of 250315%, and plasticity index values are 250mm in diameter and consists of two hemispheres
    in the range of 120175%. In all cases, the moisture that are bolted together with an internal vertically
    content is ~1.5 times the liquid limit. The unit orientated cylindrical void, to accommodate instru-
    weight is constant with depth and only marginally mentation and a motion logger. This motion logger
    higher than that of water at 10.5kN/m3. Scanning (Figure 3b) is housed inside the vertically orientated
    electron microscopy images of oven dried samples void and is protected from water ingress by an
    of the clay revealed significant amounts of diatoms O-ring seal. The sphere and data logger weigh 620N
    and other unidentified microfossils (Colreavy et al., in air and have a submerged weight of 549N in wa-
    2012). The presence of these microfossils is known ter. Dynaline Max 12mm-diameter rope was used
    to influence soil behaviour and contributes to high for deploying the sphere and recovering it from the
    liquid limits, high porosity and unusual compressi- lakebed after penetration.
    bility (Mitchell and Soga, 2005). Similar unusual
    characteristics and index properties have also been
    reported for Mexico City clay, which also contains
    significant amounts of microfossils (Mesri et al.,
    1975; Diaz-Rodriguez et al., 1998).

    2. Shear strength profiles


    Colreavy et al. (2012) present penetration data from
    T-bar and piezoball tests conducted at the testing site
    to depths of up to 8m. The penetration tests were
    performed using a lightweight cone penetrometer
    testing rig mounted on a floating pontoon. All pene-
    tration tests were conducted at the standard penetra-
    Figure 3: (a) Sphere separated to show internally housed data
    tion rate of 20mm/s in an attempt to ensure logger housed; (b) motion logger and underwater housing; and
    undrained conditions. Typical undrained shear (c) sphere suspended over the water prior to a drop
    strength profiles are provided in Figure 2 for the up-
    per 2m, as this is the depth of interest for the dy- 3.2 Motion logger
    namic penetration tests. The data in Figure 2 have The motion logger (Figure 3b) was designed to cap-
    been interpreted from the net penetration data re- ture the motion history of free-fall projectiles for
    ported by Colreavy et al. (2012) using the commonly periods up to 4hr. The motion logger is mounted on
    adopted resistance factor N = 10.5 (DeJong et al., an underwater housing 185mm long and 42mm in
    2004; Chung and Randolph, 2004). These strength diameter. The housing fits securely within the
    profiles represent an undrained shear strength gradi- spheres internal hollow chamber. Motion is meas-
    ent, k = 1.4kPa/m, which is in the range considered ured using a three-component 13-bit accelerometer
    typical for deepwater sediments (Randolph, 2004). (ADXL 345) and a three-axis 16-bit gyro sensor

    224
    (ITG 3200). It is logged by an ARM MBED logger fore rebounding slightly. This rebound is thought to
    to a 2GB microSD card within the logger sampling be due to the stored elastic energy in the clay. Simi-
    data at up to 800 samples per second. These sensors lar results have been reported in other free-fall ex-
    measure accelerations on three orthogonal axes and periments (e.g. Dayal and Allen, 1973; Chow and
    rates of rotation about the same three orthogonal Airey, 2010).
    axes.
    The horizontally orientated y-axis accelerometer
    When the instrumentation housing is located within trace indicates that the sphere rotated during penetra-
    the sphere, the z-axis of the accelerometer is vertical tion in soil, as the y-axis trace does not return to the
    (parallel to gravity) and the x- and y-axes are hori- same position as before the test (when hanging verti-
    zontal (perpendicular to gravity). The accelerometer cally in water (~0m/s2)). Rotation derived from the
    has a resolution of 0.04mm/s2 and detects accelera- horizontally orientated x- and y-axes of the tri-axis
    tion up to 16g (~157m/s2). The gyroscope sensor accelerometer is compared with the rotation derived
    has a resolution of 0.07/s with a full range of from the x- and y-axes of the gyro sensor in Figure
    2000/s. Integrating rotation rates (measured using 4b. During the test, the angle of rotation was less
    the three-component gyroscope) allowed tilt to be than 3 in the x-axis, whereas the sphere rotated
    measured while the sphere was accelerating in water steadily to 15 in the y-axis. This rotation highlights
    or decelerating in soil. These measurements were the need to adjust the accelerations measured on the
    used to adjust the accelerations measured on the z-axis of the accelerometer during free fall in water
    z-axis of the accelerometer so that they correspond to and penetration of the lakebed.
    that on the vertical plane.

    3.3 Field testing procedure


    The sphere was deployed from various drop heights
    to examine the embedment response of the sphere
    over a range of impact velocities. Depending on the
    required release height above the lakebed, the ex-
    periments were conducted from a jetty, a floating
    pontoon or a self-propelled hopper barge. Care was
    taken to ensure that each installation site was at least
    2m (8 sphere diameters) from existing test sites. In
    each test, a portable crane (for the jetty and pontoon
    tests) or a fixed crane (for the barge tests) was used
    to suspend the sphere at the pre-selected release
    height. Release was achieved using a quick release
    shackle. The embedment depth of the sphere was
    measured by lowering a submersible camera posi-
    tioned on a weighted platform, in order to focus on
    known markings on the retrieval rope. Figure 4: (a) x, y and z axis acceleration traces from a typical
    test; and (b) x and y axis rotation traces from the same test 4
    4. Test Results and Analysis
    4.2 Acceleration profile interpretation
    4.1 Acceleration profile The velocity and displacement of the sphere was ob-
    A typical acceleration trace from the horizontally tained by numerically integrating the z-axis accel-
    orientated x- and y-axes and the vertically orien- eration (once for velocity and twice for displace-
    tated z-axis is shown in Figure 4a. The z-axis ac- ment). As discussed earlier, velocities and displace-
    celeration trace changes abruptly at 0.3s, from zero ments determined in this manner are only representa-
    when hanging vertically in water to ~10m/s2 after tive of velocities and displacements in the vertical
    the quick release shackle was pulled and the sphere direction when the z-axis accelerations are adjusted
    started to free fall. During free fall, the net accel- for tilt. This adjustment is included as a pre-
    eration decreases as inertial drag on the sphere in- processing step before numerical integration. Figure
    creases with increasing velocity. Impact at the 5 shows velocities and displacements that were cal-
    lakebed is apparent at ~0.6s, when the sphere de- culated from the z-axis acceleration profile shown in
    celerates rapidly and then comes to rest at ~1.4s be- Figure 4a.

    225
    4.3 Velocity and embedment depth profile fied as the shear strength of clays is well known to
    Figure 6 shows the velocityembedment depth pro- be a function of strain rate (Casagrande and Wilson,
    files for 0.5m and 1m release height above the lake- 1951; Graham et al., 1983).
    bed. The profiles show the velocity increasing from
    zero at the release height to ~3m/s and ~4m/s for the
    0.5m and 1m drop heights, respectively. As expected
    IRU ORZ GURS KHLJKWV  VSKHUH GLDPHWHUV  WKH Ye-
    locity does not reach terminal velocity in water. In
    fact, it actually continues to increase during initial
    penetration of the soil. This is due to the very low
    resistance afforded by the very soft sediments near
    the lakebed surface.

    At some depth, the resistance available from the soil Figure 5: z axis acceleration trace for the test shown on
    exceeds the submerged weight of the sphere and the Figure 4 together with corresponding velocity and
    displacement traces
    sphere begins to decelerate. Similar profiles have
    been reported by OLoughlin et al. (2009) from cen-
    trifuge tests on dynamically installed anchors. Ulti-
    mately, the sphere comes to rest in the soil as indi-
    cated by zero velocity (in the lakebed) in Figure 6.
    This eventual embedment depth is 1.15m and 1.35m,
    respectively, for the 0.5m and 1.0m drop heights and
    is in agreement with independent direct sight meas-
    urements using the underwater camera (Figure 7).
    The availability of continuous velocity profiles, such
    as that shown in Figure 6, allows embedment predic-
    tion models to be verified and calibrated. This paper Figure 6: Velocity profiles in water and soil for release heights
    describes such an embedment model and uses the of 0.5m and 1m
    data reported here to assess its performance.

    . Embedment Depth Prediction

    The embedment of bodies penetrating soil after free


    fall in water may be quantified by considering New-
    tons second law of motion and the forces acting on
    the body during penetration. Several studies (e.g.
    True, 1976; Aubeny and Shi, 2006; Audibert et al.,
    2006; OLoughlin et al., 2004) have adopted such an
    approach, with variations on the inclusion and for-
    mulation of the various forces acting on the body Figure 7: Measuring the embedment depth using markers on
    during penetration. A similar approach is adopted the retrieval rope taken with the underwater camera
    here, with the forces acting on the body during pene-
    tration shown by Figure 8, leading to a governing
    equation of:

    d 2z
    m Ws  R f Fb  Fd (1)
    dt 2
    where m is the sphere mass; z is the penetration
    depth below the lakebed; t is the time after impact
    with the soil; Ws is the submerged weight of the
    sphere in clay; Rf is a strain rate function; Fb is the
    bearing resistance; and Fd is inertial drag resistance. Figure 8: Forces acting on the sphere during penetration in
    The inclusion of the strain rate function (Rf) is justi- soil

    226
    Fb is formulated as: surface (OLoughlin et al., 2009). Inertial drag is
    formulated as:
    Fb N c su A p (2)
    1
    where Nc is the tip-bearing capacity factor for a Fd C d UA p v 2 (5)
    sphere taken as 10.5 (DeJong et al., 2004; Chung 2
    and Randolph, 2004); Ap is the projected area of the where Cd is the drag coefficient, dictated largely by
    sphere; and su is the undrained shear strength at the object geometry (blunt objects exhibit a large Cd
    sphere tip. The dependence of shearing resistance on while streamlined bodies exhibit smaller Cd); is the
    strain rate is accounted for in Equation 1 by scaling density of the soil; Ap is the projected area; and v is
    the bearing resistance using a power strain rate law the velocity. An appropriate Cd for the sphere can be
    (Biscontin and Pestana, 2001), expressed as: determined by considering Equation 1 during free
    E fall in water, rather than embedment in soil. As such,
    J the bearing resistance term in Equation 1 becomes
    Rf (3)
    J zero, the submerged weight (Ws in Equation 1) and
    ref
    the density () relate to water rather than soil. The
    where is the strain rate parameter, J is the strain governing equation in water then becomes:
    rate and J ref is the reference strain rate associated
    1 d 2z
    with the reference value of undrained shear strength. Ws  Cd UAp v 2 m (6)
    2 dt 2
    In the field test, the undrained shear strength was
    measured using a 113mm piezoball penetrating at The theoretical velocity profile for the sphere freefall-
    20mm/s, so that v/d = 0.2s-1. As similar amounts of ing in water can be constructed from a finite differ-
    remoulding are to be expected during dynamic pene- ence approximation of Equation 6. These theoretical
    tration of the sphere as in static penetration of the profiles are shown in Figure 9, together with experi-
    piezoball, it becomes reasonable to replace the strain mental velocity profiles for drop heights of 0.5m, 1m
    rate terms in Equation 3 with v/d to give: and 2m. Lower and upper bounds to the experimental
    E data are obtained using Cd of 0.3 and 0.4, with an av-
    v d erage Cd of 0.35 providing the best overall fit to the
    Rf (4)
    v d measurements. This is in agreement with (Richardson,
    ref
    2008), which determined Cd = 0.35 for a sphere using
    where (v/d)ref = 0.2s-1. Back-analysis of dynamically computational fluid dynamics.
    installed anchor data from centrifuge tests indicates
    that the strain rate parameter is in the range =
    0.050.15 as vav/d increases from 500 s-1 to 4250s-1
    (OLoughlin et al., 2009). Values of vav/d in the field
    tests reported here are typically equal to 20. As such,
    an appropriate for use in Equation 4 should be at
    the lower extreme of the range 0.050.15, and would
    therefore be similar to parameters deduced from
    variable rate penetrometer tests (e.g. = 0.05 from
    Chung et al., 2006; or = 0.06 from Lehane et al.,
    2009). The model can be further refined by account- Figure 9: Measured and theoretical velocity profiles of the
    ing for the transition from a shallow to a deep failure sphere free falling in water
    mechanism during shallow penetration and for the
    buoyancy effects as the ball transitions from water The experimental velocity profiles of the sphere
    into soil (White et al., 2010). However, these re- penetrating the lakebed are shown in Figure 10. The
    finements are not warranted here as the unit weight velocity profiles correspond to a 0m, 0.5m, 1m and
    of the soil is close to that of water and the ball typi- 2m release height above the lakebed. In addition,
    cally embeds by several diameters. Figure 10 shows the theoretical velocity profiles that
    were constructed using a finite difference approxi-
    The inclusion of the fluid mechanics inertial drag mation of Equation 1, and the soil and model pa-
    (Fd) in Equation 1 is warranted in view of the very rameters introduced and discussed earlier in the pa-
    soft viscous clay that is often encountered at the clay per (i.e. Nc = 10.5, = 0.05, Cd = 0.35).

    227
    equivalent to over 6 sphere diameters. Reasonable
    agreement was obtained between the measured ve-
    locity profiles and predicted velocity profiles using a
    simple approach based on strain rate dependent
    shearing resistance ( = 0.05) and fluid mechanics
    drag resistance (Cd = 0.35).

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    to reduce with increasing impact velocity, as the dif- ling penetrometer test into clay. In: Gourvenec S
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    ported by OLoughlin et al. (2009) from centrifuge Chung SF and Randolph MF. (2004). Penetration re-
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    are the test where the sphere was released from the Effect of penetration rate on penetrometer resis-
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    SDFWYHORFLW\PV 7KLVLVFRQVLGHUHGWREHGXHWR Colreavy C, OLoughlin CD and Ward D. (2012).
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    1.4kPa/m, which underestimates the actual undrained 4th Int. Conf. on Geotechnical and Geophysical
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    . Conclusions DeJong JT, Yafrate NJ, DeGroot DJ and Jakubowski
    J. (2004). Evaluation of the undrained shear
    This paper presents field tests undertaken to evaluate strength profile in soft layered clay using full-
    the behaviour of a simple geometry dynamically flow probes. Proc. 2nd Int. Conf. on Site Charac-
    penetrating soft clay. The tests, which were under- terisation. Rotterdam: Millpress, 679686.
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    229
    230
    LOW LOGISTICS AUVs AN ADVANCED SURVEY TOOL

    Andrew McMurtrie and Philip Banks


    NCS Survey Ltd, Westhill, Aberdeen, UK

    Abstract
    A relatively new technology outside of military applications is low logistics autonomous underwater vehicles
    (AUV). These vehicles can be programmed with a mission, deployed from a vessel or directly from shore,
    execute their mission and return with a variety of different data. Using a suite of sensors these vehicles pro-
    vide a quiet and stable platform for the acquisition of high-resolution data. This paper covers the capabilities
    of the systems and presents some applications and advantages to the user, as well as some data from projects
    performed to date. This includes rig site surveys, some of which are in restrictive locations, route surveys and
    general offshore subsea surveys.

    1. Introduction
    x A major UK contractor is known to have per-
    formed two scopes with a Teledyne (previ-
    Autonomous underwater vehicles (AUV) have been
    ously Hafmynd) Gavia AUV: one in 2006 for
    operating in the upstream oil and gas sector for well
    BP Azerbaijan and one in 2008 for BP in the
    over 10 years. In 1995 Kongsberg started the
    UK.
    HUGIN project with the first commercial survey be-
    x Woodside Energy, based in Perth, Australia,
    ing performed in 1997 for Statoils Aasgaard pipe-
    ordered a Gavia AUV in 2008, which was
    line route. Since then, the HUGINs have built an im-
    subsequently delivered and sold in 2009 to a
    pressive track record of performing large area survey
    survey company operating from Perth. This
    very effectively, often in deep water and generally
    allowed the company to operate the vehicle
    operated from dedicated, specialised vessels.
    for Woodside and perform primarily pipeline
    inspection scopes.
    There is no doubting the benefits of these vehicles
    for large surveys, especially in the deep waters of oil x Shell Nigeria utilised a Remus 100 from Hy-
    and gas exploration, however, there is a developing droid (now part of Kongsberg) in two sepa-
    need for smaller surveys in relatively shallow water. rate scopes in 2009 for pipeline inspection.
    The manufacturers of some smaller vehicles have re- These smaller vehicles often referred to now as
    alised the benefits of their vehicles, which have pri- low logistics, lightweight, compact or mini AUVs
    marily serviced military applications (e.g. mine are now being used more often especially by a few
    counter measures (MCM)). Similarly, the end cli- key end clients who have realised their benefits. This
    ents, the oil and gas operators, have seen the benefits paper will review some of these projects and high-
    of using these smaller vehicles for some of their sur- light the benefits of using such technology for vari-
    vey requirements. Unfortunately for the oil and gas ous applications.
    operators, there has not been a survey/service com-
    pany operating such vehicles on a commercial basis. 1.1 Background
    Throughout the life of an oil or gas field, from its
    This situation only started to change in the last few initial discovery to decommissioning, a multitude of
    years, with said vehicles being used to perform sur- survey services are required. Within the offshore in-
    veys in the oil and gas market. A few examples of dustry, there has always been a desire to reduce costs
    these relatively early operations known to the au- but not at expense of quality or safety. Niche mar-
    thors are as follows: kets have opened within the survey sector for high

    231
    technology solutions for operations traditionally re- 2.2 Capabilities
    quiring an extensive support infrastructure, such as The Gavia is equipped with a variety of survey
    remotely operated vehicle (ROV) based surveys. equipment and sensors, which are listed as follows:

    AUVs are used extensively by navies across the x L1/L2 global positioning system (GPS) re-
    world. By transferring this military application to the ceiver;
    commercial arena, this offers a mature platform x Kearfott T24 inertial navigation system
    without time-consuming research, development and (INS);
    trials. The low logistics AUV, from its military x Teledyne RDI 1200kHz Doppler velocity log
    background, is designed to be quickly transported (DVL);
    around the world for expedient mobilisations on to x Imagenex obstacle avoidance sonar (OAS);
    vessels of opportunity. As such, the low logistics x SeeByte Autotracker;
    AUV fit well into this niche market. x high definition (HD) colour camera;
    x Marine Sonics 900/1800kHz SSS;
    x Geoswathe 500kHz MBES;
    2. Low Logistic AUVs An Advanced Survey Tool
    x acoustic modem;
    2.1 Introduction x Iridium satellite phone; and
    The Gavia AUV has been successfully used for x wireless local area network (WLAN) com-
    pipeline inspection and hydrographic survey appli- munications on surface.
    cations since mid-2009. It has a track record of pro-
    viding high-quality multibeam echosounder (MBES) The GPS is used to position the vehicle on the sur-
    and sidescan sonar (SSS) data for use in pipeline in- face and to seed the INS with a GPS position prior
    tegrity assessment, scour monitoring and debris to each dive. The DVL is used to augment the INS
    clearance surveys. At the time of writing, 19 discrete position and aid the positional drift. The main pay-
    projects for 8 different clients have been carried. load of still colour camera, MBES and SSS dictate
    Over 125 dives have now been completed, during the applications for which the vehicle can be used,
    150 days of operations, performing ~1200 line km of and this paper focuses on these applications in par-
    data acquisition. ticular.

    The AUV has proved itself to be an effective tool 2.3 Applications


    for pipeline inspection in the near-shore and off- 2.3.1 General
    shore environment. Key successes have been the The type of operations performed by these AUVs
    ability to position it close to the survey target and fall into three distinct categories, each of which have
    obtain high- quality SSS and MBES sensor data. been performed for a number of end clients located
    The AUV also has the capability to be launched around the world, including southern Argentina,
    from a stand-off position when working in re- Gulf of Mexico, Persian Gulf, Caspian Sea and
    stricted areas, such as platforms, removing the re- North Sea. These three discrete categories are:
    quirement to take vessels into potentially hazard- x pipeline inspections;
    ous areas. For applications, including harbour x site and route surveys (or hydrographic sur-
    surveys, site surveys and general bathymetric sur- veys); and
    veys, the AUV has proved its ability to acquire x seabed monitoring surveys.
    high-quality data in an efficient manner. The AUV
    can be launched from either the jetty or small boat The last category could be classified as a subset of
    without the prerequisites of welding large davits or the second, but it is worth considering these sepa-
    over-the-side mounts. rately.

    Due to the large volume of data that the AUV col- 2.3.2 Pipeline inspection
    lects, the challenge remains of processing the data in One of the key objectives when utilising an AUV for
    an acceptable and defined time frame. The process- pipeline inspection is for all parties to fully under-
    ing path has been refined over the operational life of stand what data can be acquired and in which for-
    the AUV to maximise the data quality, while mini- mat(s) the data can be delivered within the report
    mising the time required to present a result to the and charts. Such low logistics AUVs can and are re-
    client. Operational methods and software have been placing both ROV and remotely operated towed
    developed to improve the efficiency and quality of vehicle (ROTV) scopes. It should be recognised that
    the data presented to the client. low logistics AUVs are not a complete replacement

    232
    low logistics AUVs are not a complete replacement
    for ROVs and currently do not have the ability to
    carry the same payload. For example, AUVs do not
    carry a pipetracker (for tracking buried pipelines)
    and multiple video cameras (to provide a view of
    different parts of the pipeline).

    Figure 2: Pipeline inspection using MBES in very shallow wa-


    ter in the Caspian Sea
    Where the pipeline is exposed, the AutoTracker
    module can be utilised. This relies on the active
    tracking of the pipeline using the SSS to navigate a
    Figure 1: Pipeline inspection using MBES to ascertain pipeline parallel offset line from the pipeline. Because the
    movements pipeline will not be visible in the SSS record when
    The scope of work involved during such inspections the vehicle is directly above it, navigating a route
    is the acquisition of SSS, MBES and image data to al- where the vehicle is vertically above the pipe is not
    low for an assessment of the condition of the pipe. possible. This is obviously a development opportu-
    This can be broken down into the following key aims: nity to improve the capability of such vehicles
    (currently under ongoing discussions between vari-
    x identifying the horizontal position of the pipe ous suppliers involved).
    and any areas of lateral movement using SSS
    and MBES; The AutoTracker is best utilised as a fast reconnais-
    x identifying the vertical position of the pipe in sance tool to quickly inspect long sections of ex-
    relation to the natural seabed, highlighting posed pipe for damage, or where absolute position-
    any areas of suspension, burial or trenched ing constraints are less stringent. Any events
    pipeline; observed during such a mission could be localised
    x identifying any seabed features or contacts during a subsequent mission.
    likely to affect the integrity of the pipeline
    that are either man-made or natural; and 2.3.3 Site and route surveys
    x identifying the pre-lay and post-lay trench ex- Unlike the pipeline inspection scopes detailed previ-
    tents and any areas of natural backfill. ously, where the end client must manage its expecta-
    tions of traditional methodology (i.e. ROV) being
    These pipeline inspection scopes have been per- more advanced/capable, the site and route survey re-
    formed by one of two methods. The first method is quirements are more easily achievable by a low lo-
    to use the known position of the pipeline to fly a pre- gistics AUV in a like-for-like manner. Site and route
    programmed mission. This is normally along an off- surveys normally require the acquisition of SSS,
    set line before returning along the same length of MBES and sub-bottom profiler (SBP). The AUV can
    pipeline on the other side and then running a line provide a platform for these specific sensors, with
    along the top of the pipeline. The second method is the added benefit of placing them closer to the target
    to use the SeeByte Autotracker software to allow the under investigation than would otherwise be the case
    AUV to be guided and to adjust its pre-programmed for vessel-deployed systems.
    mission according to where the pipeline is actually
    observed/detected by the SSS. The scope of works during such operations has in-
    volved the acquisition of SSS and MBES to allow
    The majority of the pipeline inspection work per- for the safe navigation of a modular drilling unit
    formed to date has been executed using the first (MODU) into a harbour, site survey alongside exist-
    method, as this has the advantage of maintaining ing platform, or pipeline route or pre-lay surveys.
    tight control over the horizontal positioning by op- (At the time of writing, delivery of a SBP module is
    timising the performance of the INS. The data is pending, precluding any discussion on field experi-
    also compartmentalised into discrete sections allow- ence.) The requirement of these scopes can be bro-
    ing data processing to be performed expediently. ken down into the following key objectives:

    233
    x identifying any debris (using SSS and/or was completed successfully to the satisfaction of the
    MBES) likely to impact on planned drilling or client, and additional work was performed with the
    pipe lay operations; vehicle while it was available on location.
    x providing precise bathymetric survey using
    MBES system to confirm the navigable water Project B
    depths; and It has been observed that the capabilities of these
    x providing information on the seabed slope and low logistics AUVs can be complementary for some
    identifying man-made deformation of the sea- clients needs. During 2010, two separate debris
    bed from spudcans or dredging operations. clearance surveys were performed for a client prior
    to bringing a jack-up drilling rig alongside a plat-
    The fact that the vehicle provides a very quiet and form, thus tying together two normally fairly unre-
    stable platform allows the mounted sensors to ac- lated scopes (i.e. rig site survey and rig positioning).
    quire high-quality data records. When comparing the A 500 500m grid was surveyed, along with the
    configuration of a low logistics AUV to hull route of each proposed anchor wire for the pull-in
    mounted or towed sensors, which are influenced by operation. These surveys were all done at short
    greater motions and increased noise near the surface, notice and in a short time period, with close co-
    the platform of an AUV is at a distinct advantage. operation with the client to ensure the best weather
    window was utilised. Both surveys were performed
    from a small vessel operating during daylight only in
    this case (although night-time operations have been
    performed in other cases). The first of the surveys
    took place during the month of January when the
    weather in the North Sea can be particularly hostile.

    Several project examples will be illustrated with ac-


    tual data in this paper, but one of the main benefits
    of the acquired data quoted by our end users is the
    Figure 3: Bathymetric site survey close to fixed platform
    high quality of both the SSS and MBES. This is
    Much of the work performed by these vehicles has primarily due to the quiet stable platform on which
    been in very close proximity to existing infrastruc- the payload is deployed but with the AUV operating
    ture. Such infrastructure invariably imposes limits on close to the seabed, the MBES is always of a very
    the safe approach distance of surface vessels, espe- high resolution.
    cially with towed sensors. Therefore, a low logistics
    AUV is advantageous when the survey location is
    located close to platforms. With respect to water
    depth, many of the projects have been performed in
    less than 15m, although one the largest scopes to
    date is an extensive programme in excess of 100m.

    Project A
    In addition to being able to work in restricted loca-
    tions, these vehicles also have the advantage of be-
    ing relatively easy to mobilise anywhere around the
    world, especially for locations where suitable vessels
    may not be available to perform a traditional vessel-
    mounted/towed sensor-type survey. One such exam-
    ple was when a client mobilised a vehicle to the
    southern tip of Argentina to perform a small scope of Figure 4: Jack-up rig debris clearance survey
    work of just two days. The AUV scope was to per-
    form a pipeline route survey to fill the gap between 2.3.4 Seabed monitoring surveys
    the beach survey and the end of the survey per- These vehicles have been used on a number of occa-
    formed by an offshore vessel. The length of the route sions specifically to observe changes in the seabed
    was less than 1km, but with a nearly 10m tidal range over time, as well as for scour monitoring. The abil-
    the environment was extremely harsh. The scope ity of the vehicle to work in close proximity to an

    234
    existing subsea structure and obtain high-resolution potentially hazardous operation of transiting a small
    data, both around and under it, can provide the end craft under a jack-up rig located close to a produc-
    client with many advantages. Several of these pro- tion assets was completely removed.
    jects have made use of a vessel already on hire to the
    client, which is often the most expensive part of any
    offshore operation, and thus maximising this asset.
    This also proves the advantage of using AUVs with
    respect to using vessels for simultaneous operations.

    The scope of work involved during these repeat sur-


    veys in water depths ranging from 7m to 110m tends
    to be to monitor localised changes in the seabed
    morphology. Other objectives are:
    x providing precise bathymetry around existing
    structures as bench line survey for future
    comparison; and
    x providing multiple surveys at various epochs
    to highlight by means of seabed differencing Figure 6: Jack-up rig scour survey SSS
    charts changes in seabed morphology.
    Performing surveys close to existing structures pro-
    Project C vides a known target that can be used during post-
    The first such project performed by Gavia was a processing to assist with the removal of INS drift.
    scour monitoring project around the spudcan feet of Such techniques therefore lend themselves to the
    a jack-up drilling rig in ~10m of water less than 2km comparison of relatively small seabed sites for com-
    from shore, in harsh environmental conditions. The parison over time. Such operations are currently be-
    slack water periods were initially used, but subse- ing performed in 100m of water with high-resolution
    quent scopes in the same area have worked at other results.
    points in the tidal cycle, thus proving the versatility
    of these vehicles. 2.4 Launch and recovery
    One of the key benefits of low logistics AUVs is the
    fact that they can be launched from a vessel of op-
    portunity, or even without the need for a vessel at
    all. Surveys have been performed by deploying the
    vehicle from a generic launch and recovery system
    (LARS) using a crane located on the quayside and
    carrying the vehicle by hand into the water from the
    shore.

    Figure 5: Jack-up rig scour survey MBES

    Previously, the client was required to stop drilling


    operations and utilise a small vessel with hull-
    mounted MBES to transit under the jack-up rig.
    However, using a low logistics AUV, it was possible
    to continue drilling operations and launch the AUV
    from the standby vessel located outside the 500m
    zone of the platform. Along with the better quality
    bathymetric data from a quiet stable data acquisition
    platform, the client saw major health and safety
    benefits to its operations. Using the AUV meant the Figure 7: AUV LARS from rig standby vessel

    235
    Even when weather conditions offshore are not suit- been appropriate. One of the main processes that has
    able for launch and recovery, the vehicle can still be required an in-house application is the mosaicing of
    launched from a sheltered harbour, transit to a work- the SSS, which proved challenging in the early pe-
    site near shore, perform the work and return to the riod of post-processing. An AUV processing tool
    harbour. Surveys have been performed in this man- (APT) was developed, which subsequently improved
    ner previously. Such surveys have obvious benefits the flow of data processing. A recent addition to this
    to the client, such as removing the need for even a tool is the capability to mosaic still images into an
    near-shore vessel (although it is advisable to have a SSS mosaic.
    small craft available for unplanned recovery) and
    lifting some weather limitations for such scopes.

    A simple, generic system has been developed that can


    be launched from any vessel with a small crane capa-
    ble of lifting 200kg. The AUV operator flies the vehi-
    cle out of the LARS using a ruggedised laptop with a
    WLAN capability, and then sends the start mission
    command to initiate the dive and mission. At the end
    of the mission when the AUV surfaces, the operator
    takes control again and flies the vehicle back into its
    garage before recovering the vehicle back onboard for
    data download, battery changes and upload of a new Figure 8: Still image mosaic within an SSS mosaic
    mission. One of the key benefits of these systems dur-
    ing launch and recovery is the ability to have full con- 2.6 Benefits
    trol of the vehicle between leaving the LARS and the There are a number of benefits from utilising low lo-
    start of the dive. Some larger AUVs commence their gistics AUVs in the offshore environment. To date,
    mission as soon as they are deployed from the vessel. the majority of these surveys have been performed in
    If there is a problem with the vessel, the AUV or the the upstream oil and gas sector. This is primarily be-
    configuration of both with respect to the start point of cause this sector has a good understanding of the ca-
    the missions, then collisions have been known to oc- pabilities and limitations of the larger AUVs, which
    cur. As such, an important health and safety element have been used for many years. The capabilities of
    is addressed. these low logistics AUVs should be capable of being
    transferred to the offshore renewable market, but to
    2.5 Data post-processing date, the authors are not aware of such vehicles be-
    While it is not the intention to dismiss this aspect of ing used in this sector.
    the overall data process, the subject of post-
    processing AUV-acquired data is outside of the To summarise, the benefits low logistics AUVs are:
    scope of this paper. The payload of these vehicles is x excellent data quality;
    mainly standard industry sensors (e.g. Geoswathe x deployable from beach, rigid inflatable boat
    MBES, RDI Workhorse DVL, etc.). The main dif- (RIB), standby vessel or any vessel of oppor-
    ference of data acquisition with these sensors on an tunity;
    AUV is that it is not possible to alter any x no restrictions on vessel;
    settings/parameters during the actual acquisition, x no tracking required;
    unlike such sensors that are vessel-mounted or x reduced requirement for LARS;
    x speed and ease of deployment from base; and
    towed which can usually be altered. The main ad-
    x low cost solution.
    vantage of data acquired by an AUV is the high
    quality, primarily due to the sensors being mounted
    on a quiet stable platform. This leads to cleaner data 3. Conclusions
    that requires less manual input.
    It can be concluded that there is a definite require-
    Over time, the data flow has been modified to im- ment within the upstream oil and gas sector for the
    prove both data quality and efficiency/expediency of use of this technology. Operators such as BP, Shell,
    the post-processing. Some in-house software has Total, Chevron and ConocoPhillips have all demon-
    been developed since the initial delivery of the first strated such a need, and some are utilising these ve-
    two vehicles, where off-the-shelf software has not hicles on a regular basis.

    236
    There is still a large percentage of potential end
    users who could benefit from low logistics AUVs
    but are possibly unaware of their existence, their ca-
    pabilities or the availability of the service within
    their marketplace.

    Acknowledgments

    The authors acknowledge each of their employers


    clients who have embraced the technology of low
    logistics AUVs and supported the development of a
    tool that was created for mine counter measures
    (MCM) and other military applications, into a com-
    mercially viable solution in the offshore environ-
    ment. It is the intention to present many data exam-
    ples from the variety of scopes during the operation
    of such low logistics AUVs, and the authors would
    like to thank the various clients who have given
    permission to allow this data to be presented.

    237
    238
    RECENT DEVELOPMENTS IN DEEPWATER SEAFLOOR
    GEOTECHNICAL AND MINERAL EXPLORATION DRILLING

    PK Robertson, J Gregg, T Boyd and C Drake


    Gregg Marine, Moss Landing, California, USA

    Abstract
    Traditionally offshore geotechnical drilling has been carried out using drilling systems that are mounted on ei-
    ther floating or fixed platforms on or above the water surface. However, as site investigations have moved
    into deeper water there is a move toward drilling systems located on the seafloor to provide greater efficiency
    and improved accuracy. This paper describes a new seafloor drilling system, which is capable of working in
    water depths of up to 4000m and is rated to drill to a depth of ~150m below the seafloor. The remotely oper-
    ated system integrates established drilling technology with proven telemetry and controls. The flexible nature
    of the wire-line drilling technology enables efficient use of standard sampling systems, as well as downhole
    testing systems (including cone penetration tests (CPT), downhole sensors and borehole geophysical tools).
    The paper focuses on the new developments and shows results from recent sea trials and projects.

    1. Introduction x good depth control;


    x good sample quality;
    As energy and mineral exploration move into x good in-situ test data quality;
    deeper water, there is a growing need for high- x improved safety.
    quality drilling, sampling and in situ testing of
    near-surface seafloor sediments. Projects in deep Yetginer and Tjelta (2011) showed that seafloor
    water often require a variety of structures to be drilling could be three to five times more efficient
    placed on and in the seafloor. Hence, a detailed than surface drilling in 1300m water depth and soft
    evaluation of the seafloor sediments has become sediments. Gregg Marine Inc of California, USA,
    increasingly important. Traditionally, offshore geo- has designed and built a seafloor drill. It has success-
    technical drilling has been carried out using drilling fully completed sea trials and its first geotechnical
    systems mounted on either floating or fixed plat- site investigation project using the new Gregg sea-
    forms at or above the water surface (i.e. surface floor drill (GSFD). This paper describes the GSFD
    drilling). However, as site investigations have ad- system and presents some results from the recent tri-
    vanced into deeper water, there has been a move als and project.
    toward drilling systems located on the seafloor to
    2. Gregg Seafloor Drill
    provide greater efficiency and improved accuracy
    (i.e. seafloor drilling). 2.1 Drilling system
    The drill frame is approximately 5.4 3.8 6.6m,
    Osborne et al. (2011) provided a summary of exist- weighs 10 000kg in air when fully loaded and can
    ing remotely operated seafloor drilling systems and operate in up to 4000m of water. The drill uses a
    summarised the advantages and limitations of vari- hollow drilling head that can operate in both direc-
    ous systems. Yetginer and Tjelta (2011) evaluated tions at up to 500rpm. Drill rods are 1.5m long and
    the effectiveness of seafloor drilling technology in can reach a maximum drill depth of 150m below the
    terms of productivity, safety and other commercial surface. The drill can take core sizes from N-series
    considerations when compared to conventional tech- up to P-series (up to 85mm core and 75mm diameter
    niques. The advantages of remotely operated sea- thin-walled tubes). Handling and storage is con-
    floor drilling systems are: trolled by a Schilling Titan T4 manipulator arm con-
    x high productivity and efficiency; trolled and logged manually and visually by the
    x greater flexibility of operations; driller/operator.

    239
    The outer HQ size casing is advanced with the ap-
    propriate cutting shoe that cuts a slight kerf (16mm),
    which reduces friction on the uphole casing. A bot-
    tom hole assembly (BHA) comprises a latching sys-
    tem connected behind the first joint of casing and the
    landing ring for core and testing tools to latch. The
    tools can be lowered and raised via wire-line using a
    Marshall Pardy toggle latch. The core barrel can be
    fitted with a wide variety of tools for sampling mate-
    rials from soft sediments to hard rock. A ball valve
    above the rotary head allows passage of the core
    tools without breaking the top casing joint and can
    be closed to pump mud into the tools. Figure 1: LCD displays for Gregg seafloor drill

    To improve efficiency, a set of fingers on the 2.3 Wire-line sampling


    chuck can grab the top of the casing without thread- Sampling is done with a wide range of tooling using
    ing. Subsequent casing is presented to the head with wireline, triple-tube core barrels for ground that var-
    the Schilling Titan T4 manipulator arm, along with ies from stiff soils to hard rock. Soft soils can be
    the core barrels. A V-shaped receiver at the base of sampled using wireline, thin-walled conventional
    the drill platform guides each new string of casing push samplers, as well as thin-walled piston sam-
    and aligns it for threading onto the previous string. plers for very soft sediments. The core barrels are
    Three independent sets of clamps allow for rapid patented, licensed centre core wireline tooling that
    breaking and retrieval of drill string and inner and utilises an aluminium lightweight core barrel re-
    outer casings. trieval system to save weight.

    2.2 Launch and recovery system 2.4 Wireline CPT


    A Dynacon general purpose remotely operated vehi- In situ testing, such as CPT, can be carried out using
    cle (ROV) winch with telescoping A-frame, passive a second wireline real-time monitoring system. CPT
    heave compensator and Linksyn compatible docking is performed in a downhole mode with a 1.5m
    head, is used for launch and recovery of the GSFD. stroke. CPT data are transmitted and viewed in real-
    The telescoping A-frame allows placement of the time to the data acquisition system in the control
    GSFD into the water under positive control. The cabin on deck appearing on one of the LCD displays.
    Dynacon launch and recovery system (LARS) has The wireline system provides flexibility to incorpo-
    proven to be extremely fast and safe. rate a range of other in situ tests (such as T-bar and
    vane shear test). The GSFD provides a flexible sea-
    2.3 Umbilical floor system, where hard layers can be drilled and
    The Vectran umbilical is made by OYO GeoSpace sampled, combined with real-time CPT in the softer
    and is almost neutrally buoyant in water (391g/m). soils. An added advantage is the excellent depth con-
    The umbilical supplies 200kVA at 3.3kVAC, 3-PH trol that is possible using a seafloor system. The
    50/60Hz for the powerful 150hp drill motor. A new wireline CPT can also incorporate a new cone that is
    termination design provides 95% strength capacity designed for improved accuracy in deep water. De-
    of over 85 tons and allows for rapid field repair and tails on the Gregg patented cone design for deep wa-
    maintenance. ter is provided by Boggess and Robertson (2011).
    The GSFD has the flexibility to perform cyclic T-bar
    2.4 Telemetry and controls and/or ball-cone test, as well as slim-line borehole
    Telemetry and controls were supplied by Schilling geophysical profiles. Precise depth control also pro-
    Robotics using proven ROV technology. The GSFD vides a stable seafloor platform to install specialised
    has eight cameras for monitoring activities. Software instrumentation (e.g. piezometers).
    alarms, diagnostics, digital telemetry systems and
    system event logging provide the operator with sig- 3. Sea Trials
    nificant diagnostic capabilities. The heads-up-
    display (HUD) system has nine LCD monitors for Sea trials were carried out over a four-week period
    displaying selected video and subsea information, as during the summer 2011, at a site north-west of
    illustrated in Figure 1. Vancouver and in water depths up to 250m. Al-

    240
    though the drill is rated to a maximum water depth 4. Geotechnical Site Investigations
    of 4000m, the sea trials were carried out in a shal-
    lower, more controlled marine environment. Figure During October to December 2011, the GSFD was
    2 shows the GSFD during the sea trials. used for geotechnical site investigations at four sites
    in offshore Western Australia (WA) and in water
    Drilling was carried out in ground that varied from depths ranging from 110m to 380m. Drilling and
    hard granite rock to very soft soil sediments. High- sampling were carried out to depths up to 28m be-
    quality core was obtained in the rock and stiffer low the seafloor. A total of 54 boreholes at 21 loca-
    soils, while thin-walled tube samples were obtained tions were drilled, with a total of 536 samples soil
    in the soft sediments. Example drill core in a range obtained using a 60.3mm-diameter, 762mm-long,
    of ground is shown in Figure 3. thin-walled (1.6mm wall thickness) Hvorslev-type
    piston sampler, which was modified to operate using
    a wireline. Many of the boreholes comprised con-
    tinuous piston sampling in the soft sediments. Figure
    4 shows the GSFD during launching using the
    Dynacon LARS. Sample recovery varied depending
    on soil conditions, for example 100% was obtained
    in the soft clay-like soils, while zero recovery oc-
    curred in 45 samples in very loose sands. Average
    recovery was about 85%.

    Figure 2: Gregg SeaFloor Drill (GSFD) during sea trials near


    Vancouver, Canada

    Figure 3: Example of core samples in rock and stiff soils Figure 4: Gregg Seafloor Drilling with Dynacon LARS during
    during sea trials a project in offshore Western Australia

    241
    Figure 5: Example real-time, downhole, wireline CPT showing measured tip resistance (qc), sleeve friction (fs) and pore pressure
    (u2 location) using Gregg Seafloor Drill (all data referenced to seafloor) in offshore Western Australia in water depth of 450m

    A total of 75 CPT soundings were made using either tinuous pushing with the DCPT is achieved using
    the Gregg DeepCPT (DCPT) seafloor system, or the semi-circular griper plates that provide a large con-
    GSFD. The DCPT system is capable of pushing full- tact area with the push rods to minimise stresses on
    size (either 10cm2 or 15cm2) cones and T-bar tests in the rods. Details on the DCPT seafloor system are
    water depths of up to 4000m. The DCPT system also given by Boggess and Robertson (2011). CPTs using
    incorporates Schilling telemetry and robotic compo- the DCPT seafloor system for the site investigations
    nents to ensure efficient operation and exact place- in Western Australia were generally less than 25m
    ment on the seafloor. The control systems include below the seafloor, based on client specifications.
    four underwater cameras to monitor all aspects of
    the operation. The DCPT system has a submerged Downhole, real-time, wireline CPT using the GSFD
    weight of 10 000kg, but can achieve a reaction force were carried out to a maximum depth of 50m below
    of up to 200kN using a suction anchor base. Con- seafloor. The sediments were composed of mostly

    242
    loose and soft carbonate sands and silts. The proce- in Offshore Geotechnics II. London: Taylor and
    dure for the downhole wireline CPT was modified to Francis, 299304.
    produce a near-continuous CPT profile. The bore- Yetginer AG and Tjelta TI. (2011). Seabed drilling
    hole was drilled to a depth 300mm above the termi- versus surface drilling a comparison. In:
    nation depth of the previous CPT push. The wireline Gourvenec S and White D. (eds.). Proc. Int.
    cone was then lowered to the bottom of the borehole. Symp. Frontiers in Offshore Geotechnics II.
    The drill casing was raised ~1.5m to latch the cone, London: Taylor and Francis, 327331.
    which was then pushed using the BHA drill casing.
    Data collection began when the cone reached the
    previous test depth resulting in a near-continuous
    profile. A typical real-time downhole CPT profile is
    shown in Figure 5. Subsequent to the project de-
    scribed here, the GSFD has been successfully used
    on another project in offshore Western Australia in
    water depths up to 1200m.

    5. Summary

    Gregg Marine Inc has designed and built a seafloor


    drilling system that can drill, sample and perform in
    situ tests (e.g. CPT) from the seafloor in water
    depths of up to 4000m. The new seafloor drilling
    system was designed and operated by drillers. The
    remotely operated system integrates established drill-
    ing technology with proven telemetry and controls.
    The flexible nature of the wireline drilling technol-
    ogy enables efficient use of standard sampling sys-
    tems, as well as downhole testing systems (including
    CPT, downhole sensors and borehole geophysical
    tools).

    Experience using the new downhole, wireline CPT


    has been good with near-continuous CPT profiles
    obtained to a depth of 50m below the seafloor. The
    Dynacon LARS proved to be fast, efficient and safe,
    and the Schilling Robotics telemetry also proved to
    be reliable and efficient.

    Acknowledgments

    The authors would like to thank the staff of Gregg


    Marine Inc and Greatship Subsea Solutions for their
    assistance in this work.

    References

    Boggess R and Robertson PK. (2011). CPT for soft


    sediments and deepwater investigations. OTC
    21244. Proc. Offshore Tech Conf, Houston,
    Texas.
    Osborne JJ, Yetginer AG, Halliday T and Tjelta TI.
    (2011). The future of deepwater site investiga-
    tion: Seabed drilling technology? In: Gourvenec
    S and White D. (eds.). Proc. Int. Symp. Frontiers

    243
    

    244
    TESTING A NEW SUBMERSIBLE DRILL RIG

    F Romero, MJ Devincenzi and N Prez Garca


    Igeotest SL, Figueres, Spain
    M Arroyo and A Deu
    Department of Geotechnical Engineering and Geosciences, Technical University of Catalonia (UPC), Spain

    Abstract
    The paper describes the main features and initial underwater field-testing results of a remotely operated sub-
    mersible drill rig designed to obtain continuous cores of soil and/or rock up to 6m long in water depths of
    200m. The rig mast angle is hydraulically actuated covering 90 of altitude. This enables both a fully horizon-
    tal position used for deployment onto, and recovery of the rig from, the seabed, as well as a fully vertical posi-
    tion during coring. The frame is equipped with positioning and inclination sensors for accurate register of core
    orientation. Coring equipment with diameter of up to 133mm can be mounted in the rig, thus enabling the re-
    covery of relatively large-diameter cores. The coring operation is fully instrumented and all the drill operation
    parameters such as torque, thrust, advance, injection rate and pressure are recorded. The equipment is deploy-
    able from a variety of platforms.

    1. Introduction purposes, where there are currently a number of dif-


    ferent equipment alternatives, with very different
    The need for marine geotechnical soil investigations implications as for the deployment means required.
    is clearly increasing. Apart from the already sea-
    soned drivers of this industry (e.g. harbour and Following a recent proposal from the International
    coastal developments), or the unrelenting trend to- Organization for Standardization (ISO) 67/WG7
    wards underwater resource exploitation by the ex- (2010a), marine sampling equipment can be catego-
    tractive industries, development of marine renewable rised by its deployment mode and drilling capabili-
    energy resources, particularly for wind, is quickly ties into non-drilling systems, seafloor drilling sys-
    approaching maturity. No matter the purpose, a geo- tems and vessel drilling systems. Although all of
    technical soil investigation is still composed by a se- them require a vessel or platform from which to be
    quence of sampling and in situ testing operations. launched, only the last category requires a specialist
    What is specific of marine soil investigation is the drill ship with rare and highly prized features (e.g.
    requirement for specialist vessels or platforms from heave compensation, accurate positioning) to ensure
    which to launch and control those operations. The appropriate sample quality.
    costs associated with their deployment and mobilisa-
    tion are usually the main item in any marine soil in- To facilitate marine site investigation, it is therefore
    vestigation campaign (Gourvenec and Randolph, highly desirable to expand the range of tools that al-
    2011), and the choice of which type of low seafloor drilling. Some systems are already
    vessel/platform to use requires careful consideration. available, but they are designed for operation in very
    deep waters and, as a result, are relatively un-
    Obviously important amongst the factors that need to economical in shallower areas. This paper describes
    be considered are the required investigation depth, the MiniDrill, a system specifically designed to al-
    the water depth at the site and the expected nature of low seabed drilling at relatively shallow depths
    the soils under investigation. Perhaps even more es- (<200m). It also gives an overview of the different
    sential factors to establish are the quality level of the categories of sampling equipment that are available
    data and the ability of the vessel to deploy the neces- for marine site investigation, and the technical char-
    sary equipment and, therefore, the nature of that acteristics of the MiniDrill equipment. The results of
    equipment. This is particularly true for sampling a recent (January 2012) underwater field trial at Bar-

    245
    celona harbour are reported, and the paper concludes duced by this vibration procedure allows the sampler
    with some considerations about the likely field of to enter into dense sands, gravels or stiff clays, at-
    application of the current equipment and its planned taining sample lengths of up to 8m. However, those
    development. very same changes induced by the system on the soil
    result in recovered samples whose state is not repre-
    2. Marine Sampling Equipment sentative of the soils in situ. It is therefore com-
    monly accepted that vibrocore samples are of me-
    2.1 Non-drilling mode type samplers dium to low quality and, in most cases, only good for
    The non-drilling mode as described by ISO TC identification purposes.
    67/WG7 includes all the instruments that are pene-
    trated to terminal depth in a single stroke. The most 2.2 Vessel-based drilling
    complex subcategory of these instruments includes Vessel drilling is used here as a generic name for
    piston corers deposited on the seabed within a self- geotechnical site investigation drilling operations
    sustaining frame, like the Norwegian Geotechnical undertaken from the sea surface. A variety of plat-
    Institute (NGI) deepwater seabed piston sampler forms are in use for the purpose, and a first distinc-
    (Lunne et al., 2008). However, the number and use tion can be established between seabed-mounted
    of such instruments remains very limited, and the structures, such as jack-ups and floating platforms.
    large majority of instruments within this category are Geotechnical drilling from a jack-up platform is in
    simply lowered standing alone until they intercept most respects similar to land operations a process
    the seabed. Devices within this category include that facilitates the transfer of equipment and proce-
    spoons or grabs of a clamshell design, launched to dures from land to marine operations. However,
    recover surface samples from the seabed, though jack-up construction and operation costs grow very
    these samples are clearly disturbed. Better quality of quickly with sea depth. Typically for water depths
    surface samples (<50cm) is attained using box-type above 3040m, there are no platforms aimed solely
    sampler (box corer), which, through the operation for site investigation purposes. While there are in-
    of a cutter mechanism, is able to take samples of soft deed many larger jack-ups in the market, competi-
    soils largely intact. tion of other uses (e.g. hydrocarbon exploration, re-
    newable construction) makes their operating costs
    Open-end gravity samplers, with lengths from 3m to quickly prohibitive for site investigation.
    8m, penetrate the seabed by their own weight. To al-
    low increased kinetic energy on impact (and therefore Barges are a good solution in calm waters, but for
    penetration), they were early on provided with release open waters, ships are the only practicable floating
    mechanisms (Hvorslev, 1949). Further penetration alternative. (The use of semisubmersible platforms
    might be attained by incorporating a piston mecha- remains marginal for the same reasons as that for the
    nism within the sampling tube, so that underpressure larger jack-ups.) The operation of a geotechnical
    on top of the sample can help penetration. The drill from the surface of a ship imposes stringent re-
    Kullenberg design is the most popular within this quirements for station-keeping and heave compensa-
    subcategory of samplers in which samples of up to tion. Good station-keeping is necessary to ensure the
    30m have been recovered in soft soils (International integrity of the drill string. Similarly, heave compen-
    Society for Soil Mechanics and Geotechnical Engi- sation is necessary to maintain depth accuracy and to
    neering (ISSMGE), 2005). The quality and amount of control drill bit load, without which it is difficult to
    the sample obtained is, however, very sensitive to op- limit soil disturbance.
    eration details (e.g. cable recoil, piston shape). De-
    tailed instrumentation of these samplers is possible The design and complexity of those systems are also
    but has been generally limited to research. Neither clearly dependent on the water depth in which the
    simple gravity nor piston samplers are able to pene- ship is operating. As the priorities and needs of the
    trate stiff soils or rocks, and penetration can fail when extractive industries have been dominant, until very
    surface crusts or hardpans are present on site. recently, for marine site investigation, many existing
    geotechnical drill ships are mainly geared for deep-
    A more energetic subsea sampling system is one that water site investigation (several hundred to several
    uses vibration. Such samplers (vibrocorers) are thousand metres). Therefore, they tend to be some-
    penetrated by rotational vibration imposed on them what excessive for more near shore work. In vessel-
    by an eccentrically tied mass. The sampler and driv- based drilling, sampling might take place using a va-
    ing equipment are lowered to the seabed in a frame riety of procedures and equipment. Piston-based and
    and remotely actuated there. The soil changes in- push samplers, as well as rotary coring and percus-

    246
    sion sampling, have all been used and generally de- system with the tower folded in horizontal direction
    ployed on a wireline. A detailed description of the is 7.51m (Figure 1). These dimensions allow for easy
    capabilities and sample quality attainable with these storage of the system and ancillary equipment within
    systems is given by ISO TC 67/WG7 (2010a). a 40ft container that is well suited for transportation
    purposes. The height of the system when the tower is
    2.3 Seabed-based drilling placed at vertical position is 7.5m, and the equip-
    These systems are landed on the seabed and hoisted ment weight is 56kN in air. These characteristics al-
    from the support vessel, typically using a dedicated low deployment from most conventional ship-
    launch and recovery system. An umbilical connects mounted frames. Three sealed vessels able to with-
    the system to the vessel to provide remote control stand 3MPa of external pressure house the hydraulic
    and power. Tensioned winches might be employed central plant, the distribution unit (Figure 2) and the
    to isolate the seabed system from the vessel instrumentation and control electronics.
    motion.

    While the use of seabed-based cone penetration test


    (CPT) systems is well established, the borehole
    sampler with remote control is a relatively new con-
    cept, but its implementation has produced great en-
    thusiasm. The most notable development in this re-
    spect is the portable remotely operated drill (PROD;
    Carter et al., 1999; Pennington and Kelleher, 2007),
    a sophisticated robotic system for subsea geotechni-
    cal investigation, capable of drilling up to 100m
    from a fixed location on the seabed in water depths
    of up to 2000m. A disadvantage of PROD is that
    Figure 1: MiniDrill with tower plied in horizontal position and
    there are not many in existence, therefore they are relevant dimensions in millimetres
    relatively rare. In addition, they are not ideally suited
    for shallower waters. Yetginer and Tjelta (2011)
    found a performance break-even point between
    surface and seabed-based drilling at around 150m
    water depth for both continuous sampling and com-
    posite boreholes to 40m bml. In shallower waters,
    PROD was less productive.

    Included in this category is also the practice of using


    divers to operate underwater, hydraulically actuated,
    electrically powered drill rigs, similar to those de-
    scribed by Bogossian et al. (2005). Of course, both
    the speed of operation and the water depth limit of
    these systems are constrained by the safety of the
    divers. In addition, quality assurance may be difficult
    or nonexistent. Another potential disadvantage lies
    in the fact that diving and geotechnical drilling are
    separate skills not always found in the same person,
    therefore potentially requiring more personnel and
    costs.

    3. Equipment Description

    3.1 General layout


    The equipment is assembled within a self-supporting
    rectangular frame, on top of which the drill mast is
    mounted. The mast is allowed an altitude rotation of
    Figure 2: MiniDrill with tower standing and dimensions in
    0120 with respect to the base. The tower support millimetres
    structure occupies 8.4m2, and the length of the whole

    247
    The sampler head driver can provide up to 300daN.m 3.3 Monitoring and control
    of drilling torque at a speed of 200rpm. The pump for The MiniDrill has been instrumented with sensing
    the flushing medium can deliver up to 60L/m of mud elements for three different purposes, the first being
    at 50 bar pressure. The equipment is powered from positioning. A global positioning system (GPS) re-
    the surface through an electric umbilical wire. The ceptor, a pressure transducer, two tiltmeters and a
    electrical power required is up to 15kw/400V. A con- compass mounted on the external frame enable accu-
    trolled winch with rated speed up to 20m/s is used to rate positioning. The relative angle of mast and
    deploy and re-cover the umbilical. frame is also recorded with a tiltmeter. Other in-
    struments are employed to obtain a detailed re-
    3.2 Sampling equipment cording of all the aspects relevant to the drilling op-
    For sampling the MiniDrill now mounts the TRI- eration. These include: applied torque, rotational
    PLEX system, or triple tube core barrel system for speed, thrust, mast-parallel displacement of the sam-
    soft and hard soils. This comprises a 6m core barrel pler, flow rate and pressure of the flushing medium.
    made of three concentric tubes, and a bearing ar- As is well known (Reiffsteck, 2011; ISO, 2010b),
    rangement in the core barrelhead (Figure 3). A core drilling data might be employed to obtain correla-
    catcher is included close to the tip. The sampler is tions with other geotechnical parameters, such as
    advanced into the soil by pushing and/or rotation. cone resistance. Finally, a digital camera is mounted
    Flushing of the drill bit takes place between the on the frame within a sealed compartment to enable
    outer and inner metallic tubes. A transparent PVC visual inspection of the positioning, drilling, etc. All
    lining is used to recover the sample (except for hard the data is digitally recorded and can also be exam-
    rocks) when unloading the rig on the surface. The ined in real time by the system operator (Figure 4). It
    inner core has 6m total length but might be easily cut is worth mentioning that the accuracy of the trans-
    into smaller pieces. The core(s) are then capped, ducing system is such that the sampler depth below
    sealed and then stored in vibration-proof core boxes. the seafloor can be estimated with less than the 5cm
    uncertainty. This is within the limit suggested by
    ISO TC 67/WG7 (2010a) to be considered as the Z1
    accuracy class, which is the highest possible level.

    Figure 4: Snapshot of the instrumentation monitoring screen

    All the data stream is transferred through the umbili-


    Figure 3: Triple core system (Tecso) cal cable to the surface. The system operator is then
    able to control relative elevation of the mast-frame,
    The selection of this sampling equipment for the the sampler advance rate (or the vertical thrust), and
    MiniDrill was based on ISO 22475-1 (2006), which the rotation rate or torque applied by the drill, as
    categorises this sampling equipment in category A. well as the flow rate (or pressure) of the flushing cir-
    This means that when sampling clay, clayey and cuit. For robustness, the control system is coded into
    cemented composite soils (presumably meaning a programmable logic controller (PLC), which is
    marls, claystones, shales) or boulder clay, samples of then interfaced with a PC to enable network access
    the highest quality (quality class 1) are attainable. On and, therefore, remote follow-up of the operator ac-
    the other hand, this sampling method is deemed un- tions. A snapshot of the main touchpad operation
    suitable for sampling non-cohesive soil. screen is shown in Figure 5.

    248
    were not recovered. Lack of recovery of these mate-
    rials was also a systematic feature of nearby onshore
    soundings, even when those were using piston Os-
    terberg-type samplers. However, up to 2m of a soft
    sandy silt and silty clay core was recovered (de-
    scribed later). After extraction the cores were cut
    into 1m-long sections and sealed for transportation
    purposes.

    During the trial it was observed that the recovery of


    the soft soil core was best when the MiniDrill was
    lifted from the bottom, with the mast tower in a
    horizontal position UHFRYHU\m). The presence of
    the core catcher was also helpful for the purpose, but
    with this soft material, was not enough by itself to
    Figure 5: Snapshot of the equipment control board
    compensate the unfavourable effect of gravity when
    4. Field Testing lifting with the mast on a vertical position (recovery
     m with core catcher, and no recovery without
    4.1 Field operation it). It was thus confirmed that the ability to rotate the
    After several successful onshore trials in which 6m- tower to a horizontal position does increase the po-
    long cores of hard clays and rocks were obtained, the tential for sample recovery.
    first underwater test of the MiniDrill took place
    within Barcelona harbour. The selected site was
    within the new southwards extension of the port. Up
    to 15m water depths were attainable from a newly
    built dock using ordinary lifting equipment. The
    convenience of this arrangement was countered by
    the fact that the soils present at the site were, for the
    most part, highly unsuitable for the sampling equip-
    ment that is mounted on the MiniDrill. Previous
    soundings, as well as piezocone penetration test Figure 6: MiniDrill deployment at Barcelona harbour
    (CPTU) data in the area, indicated that the soil
    column included loose fine sand layer of around 3
    4m thickness, sandwiched between recently depos-
    ited mud and a soft clay layer VX  N3D  :RUVH
    still, because of the closeness to the new dock wall,
    there was a fair chance to find some rockfill boulders
    from the dock base in erratic locations.

    A total of four soundings were performed in one day.


    Deployment of the equipment went on very Figure 7: Drillbit descent into the sea and subsea coring op-
    smoothly (see Figure 6), despite the fact that the eration as seen from the unit frame-mounted camera
    hoisting necessary to accommodate the land-based
    lifting equipment is more cumbersome than that
    used on a ship. All the sensors and actuators oper-
    ated without trouble and the unit mounted camera re-
    trieved detailed images of the drilling process (Fig-
    ure 7). As feared, rockfill boulders were found in the
    first sounding location. They were drilled without
    major inconvenience or delays and left their trace in
    the perforation drill record (see Figure 8).

    The other three perforations took place on the profile


    of loose sands, silts and soft clays. The loose sands Figure 8: Log of drilling parameters

    249
    4.2 Examination of drilling parameters well as possible heterogeneities (e.g. fissures, in-
    It was possible to compare the drilling parameters clusions), allows selection of the best zones from
    with records from nearby CPTU, which had been which to obtain specimens for laboratory testing. A
    performed onshore from the tip of fill while the dock medical CT scanner (Siemens Somaton Spirit)
    was being constructed. A Somerton-type index (ISO, with 130keV maximum energy was used. The basic
    2010b) can be computed from the drilling record us- principle underlying CAT imaging is Beers law,
    ing the following equation: which relates the incident intensity (I0) and trans-
    2
    mitted intensity (I) of an X- or gamma-ray beam
    F VR passing over an entire transverse section by means
    Sd (1)
    S 0 VA of a linear attenuation coefficient () (e.g. Duliu,
    1999), giving:
    where F is the down thrust; S0 is the drill bit area; VR
    is the rotational speed (at the drill wall); and VA is I I 0 exp  P x (2)
    the drilling speed. Plotting this index alongside the
    where x is the sample width. Image post-processing
    cone tip resistance reveals an interesting similitude
    of the CAT results used the free software Gimias
    between both traces. Figure 9 shows that the upper
    (2010). Figure 10 shows a vertical section through
    meter of the MiniDrill record corresponds to perfora-
    one core. The attenuation scale varies from white
    tion of a rockfill boulder. The first sand layer de-
    (maximum attenuation or high material density), to
    tected on the CPTU record (at an elevation of 15)
    black (minimum attenuation or low density). It is
    was not present at the drilling site, but the alternance
    apparent that several areas within the core have suf-
    of sands and silts seems to have been well captured
    fered a significant amount of remoulding most
    by the drilling based index. Of course, a quantitative
    likely because of coarser material in-between being
    correlation between drilling parameters and cone tip
    washed away. It is, however, also visible that several
    resistance can only be established on a site per site
    sections of the core maintain the fine horizontal lay-
    basis (Reiffsteck, 2011).
    ering that is characteristic of the local silts.

    Figure 9: Comparison of cone tip resistance (from nearby


    land-based CPTU) and Somerton index (from MiniDrill pa-
    rameters); and soil behaviour type from CPTU record

    4.3 Core inspection


    The cores were translated to the geotechnical labo-
    ratory at the Technical University of Catalonia
    (UPC) for examination and testing. A computerised
    axial tomography (CAT) scan was performed on
    the core samples to examine their internal structure.
    Figure 10: CT scan of a 1m-long core retrieved on sandy silt
    Visualising the sedimentary structure of the soil, as

    250
    4.4 Soil testing erly calibrated, the systematic recording of drilling
    As indicated in Figure 10 a specimen was obtained operation parameters might be used for quantitative
    from the apparently best-preserved section of the inference about soil properties (e.g. ISO, 2010b).
    core for laboratory testing. Grain size distribution The characteristics of the MiniDrill system (stroke
    and plasticity tests run on a nearby sample identified depth, sampling procedure, relative lightness) make
    the material as a non-plastic sandy silt (15% clay, this equipment an interesting alternative to using vi-
    50% silt, 35% fine sand). A constant rate of strain brocores in relatively shallow water projects
    (CRS) oedometric test was performed on the speci- (<200m), where knowledge of the upper metres of
    men. The compression curve obtained in the test is the soil profile is critical (e.g. pipelines, cables,
    plotted in Figure 11. From the oedometric compres- dredging, skirted foundations).
    sion curve, a coefficient of compression (Cc) of
    0.027 and a swelling coefficient (Cs) of 0.002 can be The submarine trials at Barcelona harbour described
    obtained. The initial void ratio is 0.79 and water in this paper proved the ability of the equipment to
    content was 28%. These values are in agreement operate underwater, drilling through rockfill and soft
    with previous baseline data from the area. soils. The nature of the soft soils at the trial location
    (fine sands and silts) was unsuitable to attain large
    0.79 recovery with the triple core barrel equipment. How-
    ein-situ V'in-situ ever, the siltier sections were recovered without
    0.78 much damage, as indicated by the test performed.
    Horizontal tilting of the mast helped to increase re-
    covery. A qualitative agreement between a drilling
    0.77
    deduced index and previous CPTU records was also
    Void ratio, e (-)

    observed.
    0.76
    Acknowledgments
    0.75
    We acknowledge the support received from Romero
    Oleohidraulica, Geomytsa and APB (Barcelona Port
    0.74 Authority) for the performance of the work reported
    in this paper. The MiniDrill development was also
    0.73 supported by the Ministry of Science and Innovation
    0.1 1 10 100 1000 10000
    of Spain (CDTI) through research grant DEX-
    Vertical effective stress, Vv' (kPa) 560100-2008-149.
    Figure 11: CRS oedometric test on a retrieved specimen References

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    mally consolidated, porous, but relatively stiff, mate- geotechnical diving bell equipment used in Bra-
    rial. The ratio 'e/e0 at the estimated in situ vertical zil to perform nearshore and offshore geotechni-
    effective stress is 0.016. According to the well- cal investigations. In: Gourvenec S and Cassidy
    known criteria of Lunne et al. (1997), such value M. (eds.). Frontiers in Offshore Geotechnics: IS-
    would correspond to samples of the highest quality FOG 2005. London: Taylor and Francis: 957
    (very good to excellent). Although this classifica- 959.
    tion was initially proposed for finer soils, it has also Carter JP, Davies PJ and Krasnostein P. (1999). The
    being applied to silt samples (Long et al., 2010). future of offshore site investigation robotic
    drilling on the seabed. Australian Geomechanics
    5. Conclusion 34: 7784.
    Duliu OG. (1999). Computer axial tomography in
    The MiniDrill is a remotely operated submarine drill geosciences: an overview. Earth-Science Reviews
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    of up to 200m. The sampling equipment mounted on Gimias. (2010). Graphical Interface for Medical Im-
    the MiniDrill (triple tube core barrel) has been se- age Analysis and Simulation, Gimias_v1.2.0.
    lected according to ISO 22475-1 (2006) to perform Centre for Computational Image and Simulation
    optimally in cohesive soils and rocks. In silts and Technologies in Bio-medicine (CISTIB) / Univer-
    sands sample recovery will be limited but, if prop- sitat Pompeu Fabra (UPF), Barcelona.

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    Gourvenec S and Randolph M. (2011). Offshore
    Geotechnical Engineering. Oxford: Spon Press,
    550pp.
    Hvorslev MJ. (1949). Subsurface Exploration and
    Sampling of Soils for Civil Engineering Purposes.
    Vicksburg: Waterways Experiment Station, U.S.
    Army Corps of Engineers.
    International Organization for Standardization ISO.
    (2006). ISO 22475-1. Geotechnical investigation
    and testing Sampling methods and groundwater
    measurements. Part 1: Technical principles and
    execution. Geneva: ISO.
    ISO. (2010a). ISO TC 67/WG7. Working Draft ISO
    19901-8. Marine Soil Investigations, 3rd com-
    plete document. Geneva: ISO.
    ISO. (2010b). ISO/TC 182/WG1. Working Draft
    ISO 22476-X. Geotechnical Investigation and
    testing Field testing-Part X: Measuring while
    drilling. Geneva: ISO.
    International Society for Soil Mechanics and Geo-
    technical Engineering (ISSMGE). (2005). Geo-
    technical and Geophysical Investigations for Off-
    shore and Nearshore Developments. Technical
    Committee 1 (TC 1). London: ISSMGE.
    Long M, Gudjonsson G, Donohue S and Hagberg K.
    (2010). Engineering characterisation of Norwe-
    gian glaciomarine silt. Engineering Geology 110:
    5165.
    Lunne T, Berre T and Strandvik S. (1997). Sample
    disturbance effects in soft low plasticity Norwe-
    gian clay. Proc. Symp. Recent Dev. Soil and
    Pavement Mechanics, Rio de Janeiro. Rotterdam:
    Balkema, 8192.
    Lunne T, Tjelta TI, Walta A and Barwise A. (2008).
    Design and Testing Out of Deepwater Seabed
    Sampler. OTC 19290. Proc. Offshore Tech.
    Conf., Houston, USA.
    Pennington D and Kelleher P. (2007). PROD deliv-
    ers an accurate site investigation at Maari. In:
    Proc. 6th Intl. Offshore Site Investigation and
    Geotechnics Conf. London: Society for Underwa-
    ter Technology, 8188.
    Reiffsteck P. (2011). Facteur dinfluence des pa-
    ramtres de forage. In: Proc. 15th European
    Conf. Soil Mechanics and Geotechnical Engi-
    neering, vol 1. Lansdale, PA: IOS Press, 6771.
    Yetginer AG and Tjelta TI. (2011). Seabed drilling
    vs surface drilling a comparison. In: Gourvenec
    S and White D. (eds.). Frontiers in Offshore
    Geotechnics II. London: Taylor and Francis, 327
    331.

    252
    THE ROLE OF SITE SURVEYS IN CARBON CAPTURE AND
    STORAGE
    D Long and M Akhurst
    British Geological Survey, Edinburgh, UK

    Abstract
    To constrain the increase in atmospheric carbon dioxide (CO2) concentrations, there are European and na-
    tional drives to develop carbon capture and storage (CCS) schemes for the permanent geological storage of
    CO2 from industrial sources in deeply buried strata. Currently, offshore sites are considered preferable to
    geological store in strata onshore. Although the target storage reservoirs, saline aquifers or former hydro-
    carbon fields are often at depths of 1km or more, knowledge of the shallow area is important. This is not only
    for the positioning of infrastructure, wells, pipelines, etc., but also in the monitoring of any potential leakage
    from the reservoir over the sites lifetime, which may span 2550 years. Baseline and repeat surveys are nec-
    essary and may need to cover a considerably wider area than the expected plume extent in the reservoir, de-
    pending on the predicted gas leakage pathways. Hence a complete geological model is required from the pro-
    posed reservoir at a depth that is up to and includes the seabed.

    1. Introduction developed and, in the short and medium terms, are


    not yet sufficient to replace electricity generation by
    It is a recognised concern that carbon dioxide (CO2) the combustion of coal and gas. Fossil fuel powered
    concentrations are increasing both in the atmosphere generation is also more flexible to meet sudden in-
    and the oceans, and that there are consequent ad- creases in demand for supply, unlike wind, wave
    verse effects on the climate (Intergovernmental and nuclear powered generation.
    Panel on Climate Change (IPCC), 2007). The rising
    CO2 concentrations are raising global temperatures In the short to intermediate term (tens to hundreds of
    because of their greenhouse gas effect, as well as years), there will remain a need for electricity by
    increasing acidity in the worlds oceans. Man-made coal or gas fuelled generation until targets for power
    contributions include CO2 from the burning of fossil from renewable sources are met. In the longer term,
    fuels for power generation and other industrial proc- industrial processes such as the production of steel
    esses. Targets for reducing national emissions of and cement for concrete will continue to produce
    greenhouse gases to the atmosphere have been set CO2. To avoid emissions to the atmosphere, meth-
    by legislation within the UK by the Climate Change odologies are being developed, tested and refined to
    Act 2008 and the Climate Change (Scotland) Act capture CO2 at industrial point sources for transport
    2009. Plans to achieve the targets include greater by pipeline or by shipping it to a geological site
    efficiency in the use of electricity, decreased elec- suitable for the permanent storage of CO2.
    tricity use and implementation of low-carbon tech-
    nologies for power generation, such as generation of The method of injecting CO2 into subsurface strata,
    electricity from renewable resources (wind, wave, piped from industrial sources, has been used to en-
    solar, nuclear powered and hydro-electrical genera- hance recovery from oil fields onshore in the United
    tion schemes). In addition, the capture of carbon di- States and Canada. For example industrially sourced
    oxide emitted from fossil-fuelled power stations and CO2 has been used to enhance recovery of oil from
    other industrial sources, and its geological storage in the Weyburn oilfield since 2000 and for geological
    deeply buried rocks known as carbon capture and storage of CO2 (International Energy Agency (IEA),
    storage (CCS), is another option to reduce CO2 2006). Investigations to identify geological sites suit-
    emissions to the atmosphere. able and feasible for CO2 storage are being conducted
    in developed and developing nations around the
    Energy generation from renewable sources is in- world (Scottish Carbon Capture and Storage, 2011;
    creasing, but many of the technologies are newly Gammer et al., 2011).

    253
    Within the European Union (EU), regulations are in shore storage capacity of the Netherlands, Germany
    place for the implementation of CCS in member and Denmark combined (SCCS, 2009).
    states with pilot and demonstrator plants in both on-
    shore and offshore settings. There is an onshore Geological storage for demonstrator projects will
    CCS site within a depleted gas field at Lacq in use depleted hydrocarbon fields, while commercial
    southwest France (de Marliave, 2009) where injec- storage sites are anticipated to be within saline aqui-
    tion commenced in 2010. Carbon dioxide within fer sandstones, as these have greater storage vol-
    natural gas produced from the Sleipner field in the umes. The requirement for site survey activities for
    Norwegian North Sea has been re-injected and offshore CCS project infrastructure will be similar
    stored within sandstone in strata overlying the gas to that associated with the production and transport
    reservoir since 1996 (Chadwick et al., 2008). Con- of oil and gas. In addition, there is also a require-
    cerns from the public in the vicinity of proposed ment to survey and monitor the injection site to
    storage sites onshore at Schwarze Pumpe, Germany, demonstrate it is suitable for storage. This serves to
    and at Barendrecht, the Netherlands, suggest that the establish a baseline of observations prior to com-
    public currently favours offshore sites within mencement of injection, and repeat surveys are con-
    Europe. ducted to confirm the injected CO2 remains stored
    deep in the subsurface.
    2. Prospect of Global Need for Carbon Storage
    and Capture Storage sites for CO2 are required to demonstrate
    their performance and permanent storage of CO2
    International and national projections for the num- with these baseline surveys and repeat surveys for
    ber of future CCS projects that will be needed to monitoring decades after injection has finished and
    meet greenhouse gas emission reduction targets the store sites are closed. Monitoring surveys to ver-
    have been prepared. The Technology Roadmap by ify the position and migration of injected CO2 are
    the International Energy Agency (2009) envisages currently undertaken by ship-borne seismic surveys,
    100 CCS projects globally by 2020 and over 3000 as at the Norwegian Sleipner Field (Chadwick et al.,
    projects by 2050. Within Europe, its forecast is for 2008). These are costly and the development of pas-
    14 projects by 2020 and more than 300 by 2050. sive monitoring methods with systems installed on
    the seabed is the objective of technological research
    The UK government states in its strategy for low and testing.
    carbon industry that one-third of industrial carbon
    emissions reduction will be from CCS. In addition, 3. Shallow Section Requirements for CCS
    fossil fuel powered energy generation with CCS is
    expected to be cost competitive with other low car- Site selection for CCS will be decided using deep-
    bon technologies in the 2020s (UK Government, focused seismic data, such as 3D seismic surveys, to
    2011). The UK secretary of state for energy gave a locate and model former reservoirs or saline aqui-
    commitment to support up to four commercial- fers. Optimum conditions include a porous reservoir
    scale CCS projects in 2010. Candidates for these and a competent seal above the reservoir (Chadwick
    demonstrator projects are applicants for EU et al., 2008). Faults that affect the cap rock need to
    NER300 funding and include sites offshore Scot- be tight. In the absence of a completely tight cap
    land and England. rock, modelling of the zone above the potential stor-
    age site will be required to predict the fate of in-
    Offshore storage may be within depleted hydro- jected dense phase fluid.
    carbon fields and sandstones containing saltwater
    (saline aquifers). The CO2 storage capacity offshore It should be noted that the gas will have to be injected
    UK in depleted hydrocarbon fields that are very well under pressure, and that will have an impact on pre-
    known from the exploration and production of oil existing pore waters in the storage reservoir. This in-
    and gas is around 6500Mt (Department of Trade and crease in pressure will advance far ahead of the in-
    Industry (DTI), 2006; Scottish Carbon Capture and jected fluid and may alter the physical properties of
    Storage (SCCS), 2009). The potential storage capac- the storage site (Figure 1). For example, it may open
    ity in saline aquifer sandstones is estimated to be up fractures, influencing the flow of the fluid. The
    between 25 000 and 66 000Mt of CO2. This estimate reservoir pressure will drop rapidly immediately after
    is of major significance for Europe, as it approxi- injection ceases and will gradually return to just
    mates the storage capacity beneath the Norwegian above normal over hundreds of years. As the pressure
    sector of the North Sea and is greater than the off- decreases the CO2 density will change.

    254
    Figure 1: Modelled CO2 and pressure footprints after 50 years of injection at a possible CCS site. Free CO2 gas saturation and
    change in pressure is due to injection in MPa (courtesy of David Noy, Sam Holloway and Andy Chadwick, British Geological
    Survey)

    To model the behaviour of the fluid and determine marks or lithologies including methane-derived
    potential fluid leakage pathways, a detailed knowl- authigenic carbonate cements, indicate previous
    edge of the geometry of the overlying sediments fluid migration. Establishing baseline conditions is
    will be required. This is particularly important in the vital for future monitoring.
    shallow section with its greater permeability. Fea-
    tures that could influence migration pathways in the 4. Site Surveys
    overburden include faults, pre-existing gas chim-
    neys and stratigraphical features such as connected A desk study is important as with any site survey.
    sand bodies. In the North Sea, and other areas previ- For CCS projects using depleted hydrocarbon fields,
    ously subjected to glaciations, these include in-filled pre-existing data such as site surveys for wells
    sub-glacial channels and buried iceberg plough- drilled in the exploration and development of the
    marks, which can create potential high-permeability field will equally be important. Likewise any envi-
    pathways with great lateral extent. Their presence ronmental data collected as part of the original field
    would mean that surveys of the shallow section may development will provide essential long-term con-
    have to cover a considerably larger area than that of trol on a subsequent baseline study. However, the
    the proposed storage site. Similarly, laterally exten- surface area that will need to be included is likely to
    sive sand-filled bodies in the shallow section may be considerably greater than that examined in the
    exist in fluvial systems on continental shelves that original field development (Figure 2), so site sur-
    have previously been sub-aerially exposed. veys of neighbouring wells will become useful. If a
    saline aquifer is to be exploited there is potentially
    Proposed CCS developments will require site sur- an extensive dataset to be sought to provide the first
    veys to determine the ground conditions for any in- assessment of the shallow geological conditions.
    stallations, such as an injection platform, pipelines Access to previous data may rely on how that data
    to the site to transport the CO2, and to establish the has been archived, particularly where the ownership
    geological model for gas leakage. In evaluating the of petroleum exploration and/or development li-
    shallow section to create the geological model and cences have changed hands and are not coincident
    to predict how any leaking gas might migrate, it is with CCS licence ownership.
    important to identify pre-existing evidence of gas
    migration. Usually this gas is methane of biogenic Some of the necessary information for the geologi-
    origin, but may be petrogenic and include higher cal sequence above the reservoir can come from pre-
    hydrocarbons. Other gases, including CO2, can be existing 3D seismic surveys if a former reservoir is
    found as a natural gas seeping to the seafloor. These being utilised. However, new data may well have to
    gases show up as acoustic anomalies or blanking on be gathered if the original surveys acquisition pa-
    seismic survey profiles. Bedforms, such as pock- rameters were not appropriate for the shallow sec-

    255
    tion. If new 3D data is being collected to model the monitoring the actual behaviour against its predic-
    storage reservoir, then the acquisition parameters tions. Correlating observed changes with those of
    should be tuned to give maximum resolution from predicted model is vital. This model may be updated
    seabed to the reservoir. as monitoring data is gathered. When fluid is in-
    jected into a storage site, it is necessary to show that
    it remains within the intended storage site strata.
    This requires regular surveys throughout the life-
    span of the storage site. Even when injection ceases
    the CO2 can continue to migrate within the store.
    Responsibility for the injection site can only be
    handed back to the licensing authority (i.e. the state)
    when agreed with the regulator and only when the
    licensee can demonstrate that the injected gas is in a
    stable location and that no leakage is occurring.

    5.1 Seismic surveys


    The usage of repeat seismic surveys to demonstrate
    the absence of changed conditions will require high
    confidence in positioning. As 3D seismic surveys
    Figure 2: Diagrammatic depiction of lateral extent of CCS will be run to monitor the storage strata, the acquisi-
    storage complex and site tion parameters of the survey must be designed to
    maximise the resolution from the storage level and
    Seismic profiling is the traditional methodology to throughout the sequence above right up to the sea-
    assess the shallow geology. These will include chirp floor. The Sleipner CO2 injection site has fortui-
    or boomer systems for the very near seabed, and tously had seven surveys (Figure 3) since it began in
    sparkers for slightly greater depths. Both sidescan 1996 until 2008, where injection is planned until
    sonar and multibeam echosounder will provide 2016 within the Utsira formation at around 1000m
    valuable information on the topography and the below seabed.
    acoustic reflectivity of the seafloor against which
    change can be monitored. To characterise the physi-
    cal properties of the geological model, the pre-
    existing geotechnical data from the emplacement of
    any installations will be useful, along with well logs
    of the upper sections of any site investigation bore-
    holes. If new boreholes are required for the installa-
    tion of the CCS project infrastructure, then obtain-
    ing data on permeability will contribute to the geo-
    logical model.

    In establishing the baseline conditions, identifying


    active seepage sites such as pockmarks will need to
    include determination of the seepage rate. This may
    require visual inspection and could support the use
    of biological surveys to determine environmental Figure 3: 2D high-resolution seismic line through the Sleipner
    conditions prior to any injection. Geochemical stud- CO2 plume within the Utsira formation in 2006
    ies may be needed to determine fluxes. The results
    from any previous environmental or site survey can Past experience of mapping shallow gas with high-
    be utilised towards establishing the variability resolution seismic profiling, such as pinger and
    within a baseline against which future monitoring boomers, will be crucial. Although these systems
    can be assessed. can detect changes in gas close to the seabed, to de-
    tect leaking gas before it approaches the seafloor,
    5. Monitoring During the Lifetime of Carbon seismic systems with greater penetration (albeit with
    Capture and Storage lower resolution) need to be applied (such as a
    sparker). When running 2D surveys the replication
    An important component of any CCS project is de- of survey lines is important in recognising change in
    veloping the predictive model of fluid flow and then the migration of acoustic responses attributable to

    256
    gas. It should be noted that shallow gas may be im- that might change from a baseline. However, the
    aged on the seismic profile, but that alone does not natural variation may be quite large and may need
    confirm CO2 migration. Marine sediments fre- consideration when designing both baseline and
    quently have methane within them that could ex- monitoring surveys. For example, seasonal changes
    solve and appear as a zone of acoustic blanking. have to be recognised. In the event of seepage at the
    seabed, it can be expected that microfaunal commu-
    It is possible to gain further information using multi- nities will respond quicker than macrofaunal ones,
    component seismic, as well as mapping reflectors and these could be initially detected by non-
    and acoustic facies with single channel seismic. This biological surveys. For example, bacterial mats
    would allow for both P and S wave values to be could develop to be detected by acoustic methods.
    used to look at microfracturing, showing dilatency
    as pressures change that exhibit the first signs of While a CO2 gas seepage could be recognised first
    leakage. However, obtaining S-wave values requires from biological data (for example, by detecting
    seabed seismometers, which obviously greatly in- changes in the behaviour of benthic fauna), it is more
    creases the cost of the surveys and monitoring. likely that biological studies will monitor the impact
    Therefore, when planning a CCS store a decision of a seepage site or event and provide information on
    has to be made on whether to lay out a network of recovery following any mitigation efforts. The range
    seabed seismometers to be used in repeated surveys of changes that could be detected (abundance, diver-
    over the stores lifetime. sity, physiology) should allow the impacts of seepage
    to be quantified. However, biological techniques are
    5.2 Gravimetric and electromagnetic methods costly in respect of time, with results usually avail-
    Fine-scale changes in the gravity field over the res- able some time after data acquisition.
    ervoir can support seismic interpretation of fluid
    emplacement within the storage site. Some surveys Ecosystem monitoring to provide information on
    (such as those taking gravity measurements) require CO2 leakage is under development. Identification of
    repeated returns to fixed locations to determine the early response of particular species to elevated
    change. At Sleipner concrete benchmarks have been CO2 levels and tolerance levels are being undertaken
    positioned to ensure repeatability of gravity meas- onshore (e.g. West et al., 2005) and offshore (e.g.
    urements (Nooner et al., 2006; Alnes et al., 2008). Langenbuch and Portner, 2004; Ishida et al., 2005),
    This is done with a remotely operated vehicle as well as in the North Sea, as part of the
    (ROV) and provides a platform to monitor other as- CO2ReMoVe project. Such studies include recovery
    pects, such as video surveys at repeat sites. These and examination of physical samples collected by
    gravity blocks also provide targets to act as controls divers or camera-guided devices. Other samples are
    on repeated multibeam bathymetry surveys. more randomly selected, such as those collected by
    box corers and grabs that are not guided to points of
    In a similar way to gravity, electromagnetic (EM) interest. There are also non-invasive techniques such
    methods complement seismic data to monitor as using video and stills cameras to survey the fauna
    changes induced by injection of CO2. This requires of the seafloor.
    variable electrical fields at the seabed to induce sec-
    ondary fields giving information on the resistivity Research on the response of specific marine organ-
    structure beneath. As CO2 is resistive when it is in- isms has included laboratory-based aquarium ex-
    jected into a saline reservoir, there will be a change periments (e.g. Langenbuch and Portner, 2004).
    in the EM properties as the conductive pore waters Ishida et al. (2005) used a benthic chamber penetrat-
    are displaced. ing the seabed sediments, and following injection
    into the chamber of CO2-rich water and monitoring
    5.3 Environmental surveys for change from baseline the response of the contained organisms, concluded
    CO2 emissions at the seabed may acidify the water, that calcium-carbonate organisms are likely to be
    placing benthic communities under stress. Studies at the worst affected by elevated CO2 levels. They also
    natural CO2 seepage sites (Hall-Spencer et al., 2008) noted an increase in bacterial activity more than
    indicate that biodiversity decreases. However, the 20 000ppm, which was believed to be an increase of
    dissolution of CO2 into the water will lead to a rapid bacteria adapted to high CO2 levels.
    dispersement of the CO2 as currents sweep waters
    away. Biological monitoring occurs at many levels, A limitation of studying areas with natural CO2
    from identifying species communities to the health seeps is that the ecosystem has already adapted to
    of individual organisms. The former involves as- increased CO2 levels, so some early bio-indicators
    sessing both the abundance and diversity, and how may not be obvious. In additional, this technique

    257
    does not quantify the amount of CO2 leakage. Ma- addition, the geophone has to be powered and must
    rine observation requiring divers is also likely to be collect high-density data over very long periods of
    expensive and will have limitations on water depth. time. Any receivers placed on the seabed will need
    However, a study in the Aegean Sea where the natu- to be tied back to a platform for real-time data
    rally escaping gas is dominated by CO2 showed a transmission, or have battery systems replaced and
    large diversity of microbial species with several new data downloaded at regular intervals. Seabed in-
    taxa documented. The epifauna abundance and di- struments are also vulnerable to fishing activity.
    versity was also high compared with sites away Even so, the technique is proven by the oil and gas
    from the seepage location, though no vent-specific industry where it is used to monitor hydraulic frac-
    species were found (Dando et al., 2000). Examina- turing and structural imaging in mountainous re-
    tion of a large North Sea pockmark attributed to a gions. Most microseismic events in oilfields are of
    CO2 blowout noted increased biological abundance the magnitude 1 to 3 on the Richter scale, with
    and diversity, but attributed this to the geomorphol- slip vectors of a few microns (le Floch et al., 2008).
    ogy of the structure rather than the formerly escap- Microseismicity has also been used for monitoring
    ing gas (Thatje et al., 1999). Many methane seepage CO2 injection for enhanced oil recovery (EOR).
    sites have extensive bacterial mats that provide a
    conspicuous seafloor feature that can be recognised 5.5 Tiltmeters
    by video or sidescan sonar. CO2 seepage with a low Gas extraction has been known to cause ground sub-
    flux may not form a bedform, but may trigger a bac- sidence, so it is logical that CO2 injection may cause
    terial change in the seabed sediment that could be ground movement (Winthaegen et al., 2005). Tilt-
    recognised on video or sidescan sonar. meters can be deployed either at the surface or
    downhole to monitor small changes in strain in the
    5.4 Microseismic monitoring reservoir, cap rock or overburden. This technique
    Changes in pressure can induce mechanical failure has been used in hydrocarbon extraction and is es-
    resulting in microseismic activity. Injection of CO2 tablished in other fields of study such as monitoring
    gas and the resulting increase in reservoir pressure volcanic sites and dams, but has not yet been proven
    may induce similar events, as can the extraction of for use with CO2.
    fluids from a reservoir. In microseismic or passive
    seismic monitoring, low-level seismic events are The pressure in the pore space will increase as CO2
    recorded using surface or downhole receivers. The is injected, and this can result in small ground
    events are measured and triangulated, and the main movements which could be detected using a sensi-
    objective of this is to identify the position of failure tive tiltmeter. Such ground movements could indi-
    events caused by the migration of the pressure front cate the areal extent of the pressure footprint, which
    and the gas. This will contribute to the predictive will be larger than the injected CO2 footprint (Figure
    model of the storage site and, in extreme cases, sup- 1). However, the cost of installation and providing
    port or negate claims for any induced seismic hazard real-time information offshore will be considerably
    due to CO2 injection. greater than for onshore storage sites. Tiltmeters are
    currently being deployed on land at the In Salah
    The error of calculating the position of the micro- CO2 storage site in Algeria, but costs for downhole
    seismic events increases as distance from the moni- or marine tiltmeter surveys will be considerably
    toring borehole or seabed seismometer increases. It higher than land-based monitoring.
    is also affected by the stratigraphy and seismome-
    ters ability to conduct sound. The type of move- 6. Former Wells
    ment along the fracture that generates the micro-
    seismic event is also inferred from the geophone Former wells will be of greatest concern, as they are
    response, which is used to assess if the microseismic potential conduits to the surface within the footprint
    event is associated with CO2 injection or other of a storage site. The seal around the well has to be
    sources (e.g. oilfield operations). The technique can secure, but after cement plugging the well, the seal
    also be used to map the velocity structure of the may degrade over time particularly when in contact
    subsurface using velocity tomography. By monitor- with CO2. Confirmation that the cement seal re-
    ing over time, this method could theoretically be mains intact and no leakage is occurring may re-
    used to map migration of the plume through induced quire high-resolution surveys around former wells
    fracturing or fracture reactivation. and monitoring of wellhead locations even with
    permanent video or acoustic systems. Seal integrity
    A limitation of the technique is that it is a passive may also be under threat when pressures rise in the
    seismic tool relying on natural or induced events. In storage level due to CO2 injection. This may rely on

    258
    wells and their seals working beyond the lifetime for Acknowledgments
    which they were designed. However, if leakage is
    observed at a former well site, it will be necessary to The authors thank a range of agencies that have
    show that it is coming from the CO2 storage level funded projects assessing the development of a CCS
    and not from a different horizon, such as the wells industry. These include the Scottish CCTS Devel-
    target or from shallow gas in the upper section. opment Study consortium, and the Measurement,
    Monitoring and Verification project for Energy
    Seismic surveys would provide the main basis for Technology Institute (ETI). The authors publish this
    establishing whether there is evidence of migration paper with the permission of the Executive Director
    vertically up the outside of the wellbore and later- of the British Geological Survey (NERC).
    ally into the overburden. These would be deployed
    in star-configuration over the wellbores and across References
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    260
    62,/3523(57,(6$1'&<&/,&
    %(+$9,285
    
    SOLCYP: A FOUR-YEAR JOINT INDUSTRY PROJECT ON THE
    BEHAVIOUR OF PILES UNDER CYCLIC LOADING

    Alain Puech
    Fugro-France, Nanterre, France
    Jean Canou
    ENPC-Navier, Marne-la-Valle, France
    Christian Bernardini
    IREX, Paris, France
    Alain Pecker
    Geodynamique et Structure, Bagneux, France
    Richard Jardine
    Imperial College, London, United Kingdom
    Alain Holeyman
    Universit Catholique de Louvain, Louvain-la-Neuve, Belgium

    Abstract
    SOLCYP is a research and development project conducted in France to: (i) understand the physical phenom-
    ena conditioning the response of piles to vertical and horizontal cyclic loads; (ii) develop advanced design
    methods; and (iii) initiate pre-normative development of methodologies that may later be included in national
    and international codes or professional standards. The potential applications include conventional structures,
    such as electricity pylons or chimneys, high rise towers and high speed train bridges. However, a central em-
    phasis is also given to more novel foundations for offshore and onshore renewable energy engineering. The
    paper describes the objectives and overall technical content of the project. Several companion papers focus on
    more specific aspects and the results obtained so far.

    1. Introduction ment in an ambitious research and development pro-


    ject to address the present lack of guidance regarding
    The oil and gas industry has developed various pro- piles under cyclic loading.
    cedures for considering the effects of large wave cy-
    clic loads on foundations for offshore structures. De- The SOLCYP project (French acronym for piles un-
    sign guidelines include the American Petroleum der cyclic solicitations) was launched in 2008 with
    Institute (API) RP 2GEO (2011); Det Norske Veritas the objectives of:
    (DNV) Foundations (1992) and the International Or-
    x understanding the physical phenomena condi-
    ganization for Standardization (ISO) 19901-4
    tioning the response of piles subject to verti-
    (2003). In addition, the offshore turbines industry is
    cal and horizontal cyclic loads;
    progressively adapting such methodologies given in
    x defining a methodology to assess the behav-
    DNV-OS-J101 (2011) and Federal Maritime and
    iour of cyclically loaded piles;
    Hydrographic Agency (BSH) publication entitled,
    Design of Offshore Wind Turbines (2007). x developing design methods;
    x initiating pre-normative actions with a view
    Surprisingly, the effects of cyclic loading on founda- to introducing new methodologies in national
    tions are largely ignored in most civil engineering (and international) codes or professional
    and building activities. French codes and Eurocode7 guidelines.
    (2007) reflect this poor level of consideration. A The project has a total budget approaching 5 mil-
    committee working under the umbrella of the French lion, financed by Agence Nationale de la Recherche
    national agency, IREX, called for national engage- (ANR) and Ministry for Ecology, Sustainable De-

    263
    velopment, Transports and Housing (MEDDTL) and structures such as wind turbines, bridges and cranes
    private companies from the civil engineering and en- can provide critical new information.
    ergy sectors. Details can be found on the project
    website at www.pnsolcyp.org. Measured load histories are often composed of a
    succession of load variations of irregular amplitude
    This paper describes the objectives and overall tech- and relatively random distribution with time. How-
    nical content of the project. Several companion pa- ever, laboratory cyclic soil element tests most usu-
    pers focus on specific aspects and initial outcomes. ally apply load series of fixed frequency and regular
    The term cyclic loading is used in this paper gen- amplitude. Cycle-counting methods (derived from
    erically to characterise variable loads that have rain-flow analyses) are routinely used in (metal) fa-
    clearly repeated patterns and a degree of regularity in tigue analyses to transform actual load histories into
    amplitude and return period. Cyclic loads may be es- idealised series of cycles (e.g. American Society for
    sentially environmental (e.g. wave, wind) or opera- Testing and Materials (ASTM), 2005). Similar ap-
    tional in origin. proaches are proposed for soils (see Figure 1). For
    metallic materials, Miners damage concept
    2. Characterisation of Cyclic Loads (Downing and Socie, 1982) is applied to derive
    equivalent cyclic load patterns from S-N curves (ob-
    It is common in building works and civil engineering tained by plotting the number of cycles to failure of
    to consider applied loads as essentially static or samples submitted to the series of constant cyclic
    quasi-static. Critical loads are defined by the maxi- stress amplitudes).
    mum values expected under various load cases (op-
    erational, extreme, accidental, etc.). It is currently Analytical procedures have been developed to assess
    possible to consider the response of soil elements equivalent number of cycles to failure for geotechni-
    under cyclic loading in terms of: cal cases. Multistage cyclic loading methods have
    been applied to pore pressure generation and defor-
    x mean load and cyclic load amplitude: these
    mation analyses by Andersen (1988), Kaggwa et al.
    components affect the evolution of permanent
    (1991) and Lin and Liao (1999). A major limitation
    and reversible deformations differently;
    is that Miners hypothesis has not been verified
    x loading frequency: this parameter determines
    comprehensively for soils. Little is known regarding
    whether the response is drained or undrained
    the effects of frequency and load history on stability
    in relation to the soils compressibility and
    and deformation analyses.
    permeability characteristics;
    x rate of loading: this also has a direct impact
    on the undrained shear strength of clays. Peri-
    ods of rest between cycles, or series of cycles,
    can allow total or partial drainage and pore
    pressure dissipation; and
    x number of cycles: these, which characterise a
    cyclic event, can vary from a few critical cy-
    cles (as in small earthquakes to thousands or
    millions of cycles, for example under railway
    bridges).

    These aspects are familiar in offshore oil and gas ap-


    plications, which have wave loading periods of typi-
    cally 10s, or restoring forces on anchored vessels
    with periods of typically 100s. (The maximum num-
    ber of significant load cycles considered in such
    studies is typically less than 1000.) However, a
    greater awareness of these issues is required urgently
    in general civil engineering. The cyclic loading ap-
    plied to the foundations of a wider variety of onshore
    and coastal structures need to be characterised prop-
    Figure 1: Transforming an actual load history into a series of
    erly. Collecting typical load case histories is part of regular amplitude cycles (BSH, 2007)
    SOLCYPs work. Measuring pile head loads in

    264
    3. Cyclic Response of Soils 4. Behaviour of Soil-Pile Interfaces

    The response of soils to cyclic loading is often inves- The failure mechanisms of piles under monotonic
    tigated in the laboratory using cyclic triaxial (CTX) axial loading are largely localised at, or very close,
    and cyclic direct simple shear (DSS) tests. Samples to the soil-pile interface. The processes followed de-
    are often consolidated anisotropically (typically un- pend on the characteristics of the soil, the pile mate-
    der K0 conditions) and sheared cyclically under rial and the mode of installation.
    undrained conditions. Such tests may consider dif-
    ferent stress paths (e.g. DSS, CAUC, CAUE) to ac- In recent years significant advances have been made
    count for soil anisotropy. The variable shear stresses in understanding the friction mobilisation along
    applied in cyclic testing stages are characterised by a driven piles. In sands, driving which can be con-
    mean component and a cyclic component oscillating sidered as a series of repeated extreme loading
    around the mean. The latter generates excess pore events causes:
    pressures in the sample and irreversible deforma-
    x severe crushing of the grains, so that the
    tions, which can be decomposed into mean and cy-
    range of interface friction angles is relatively
    clic components. The response depends on:
    narrow, irrespective of the initial grain size
    x soil type; distribution and relative pile roughness (e.g.
    x soil state (density of sands, degree of consoli- Kolk et al., 2005; Yang et al., 2010);
    dation of clays); x a progressive decrease of the mobilised soil-
    x effective stress level, consolidation style and pile friction developed at a given level as the
    applied stress paths; and pile tip advances. This friction fatigue (h/R)
    x cyclic stress characteristics in particular cy- phenomenon influences the radial effective
    clic stress amplitude, the possibility of shear stress distribution at end of installation (e.g.
    stress reversal and frequency. Lehane et al., 1993; Jardine et al., 2005).

    A convenient way to capture the complete response Whether or not friction can increase under subse-
    of a particular soil is to construct cyclic interaction quent monotonic loading depends on sand density
    diagrams. Strain contour diagrams (Andersen, 1988) and pile dimensions. Dilation effects can be signifi-
    give the number of cycles to failure of cyclically cant for small-diameter short piles, but may be minor
    loaded samples as a function of the mean and cyclic for very large-diameter steel driven piles.
    shear stress component (non-dimensionalised by the
    static undrained shear strength). Results can also be In clays, failure generally develops at or near the
    expressed as ISO values of excess pore pressures, clay-pile interface, and installation may create a sys-
    permanent deformations or cyclic deformations. tem of reduced strength residual shear surfaces (Jar-
    Contour diagrams may be proposed for particular dine et al., 2005). However, it has been argued that
    testing modes (e.g. DSS, triaxial CAUC, triaxial full continuum failure may take place in other cir-
    CAUE) and loading frequencies. The laboratory test- cumstances. Cyclic DSS tests can provide a model
    ing programmes can be tailored to obtain a set of for the conditions close to the shaft that can help
    relevant contour diagrams. A limited number of characterise the undrained shear strength properties.
    complete diagrams are available for particular, This is useful in cases where failure involves neither
    stereotypical soils, such as Norwegian Drammen a residual surface nor soil-interface slip (Karlsrud
    clay (Andersen and Lauritzen, 1988) and Gulf of and Nadim, 1990). Effective stress analyses have
    Mexico Marlin clay (Jeanjean et al., 1998). been proposed when residual surfaces or interface
    slips govern, as is common in many clays.
    A complete characterisation of the cyclic response of
    four materials is planned within SOLCYP: (1) Cyclic DSS tests may also be applied in these cases
    Speswhite clay, a kaolinite widely used for centri- to predict the rates of radial effective stress, and
    fuge testing; (2) Merville clay, an Eocene overcon- hence local shaft capacity, degradation under cycling
    solidated Flanders clay geologically equivalent to the (Jardine et al., 2005). Pile capacity in clays may be
    UK London clay; (3) Fontainebleau sand, a fine governed by peak or residual interface friction. The
    poorly graded reference sand; and (4) Dunkirk sand. failure pattern, ductile versus brittle, depends on the
    These materials are used for model testing clay fabric, which is affected by the past stress his-
    (Speswhite and Fontainebleau) or field experiments tory of the soil and the mode of installation (driven
    (Merville and Dunkirk). versus cast in place). Progressive failure where the

    265
    ultimate (residual) shaft resistance is reached in the with a friction mantle that can cycle vertically about
    upper layers before the deeper strata near the pile toe a mean position.
    have reached their peak resistance is a major con-
    cern for long flexible piles. Ring shear interface tests 6. Axial Pile Response and Friction Degradation
    provide critical information regarding the degree of
    brittleness and its rate of mobilisation with post-peak The most visible detrimental effects of cyclic load-
    displacement (Jardine et al., 2005). ing on the axial response of a pile are: (a) a reduc-
    tion of ultimate capacity, related to reductions in lo-
    One specific SOLCYP task is to investigate the be- cal skin friction; and (b) reductions in pile head
    haviour of soil-pile interfaces via laboratory testing. stiffness (or increased displacements). The degrada-
    Steel-soil interfaces, which represent the type of tion of skin friction is not homogeneous along the
    driven piles used in offshore and port foundations, pile wall, but propagates from head to toe under in-
    and concrete-soil interfaces, representing bored creasing severity of the cyclic loading and number of
    piles, are considered. The objective is to establish cycles. The flexibility of the pile determines the dis-
    testing procedures for characterising soil-pile inter- tribution of friction along the pile. Series of centri-
    faces under cyclic loading. Several devices or test fuge tests on model piles have been performed in
    types have been implemented, as follows: Fontainebleau sand and Speswhite clay, with a view
    of deriving stability diagrams such as those proposed
    x shear-box testing at constant normal stiffness
    by Poulos (1988). Tests are being conducted using
    (CNS) in Fontainebleau and Dunkirk sands
    the large centrifuge of IFSTTAR (formerly LCPC) in
    (Pra-ai and Boulon, 2011);
    Nantes. Stability diagrams have been generated, an
    x cyclic DSS tests in clays with a high number
    example of which is shown in Figure 2. This dia-
    of cycles;
    gram illustrates the number of cycles for bored piles
    x model pile tests with high numbers of cycles leading to failure as a function of the mean and cy-
    (>10 000) in sands and clay within small clic load components, normalised by the pile capac-
    calibration chambers (Tali, 2011); and ity under monotonic loading (Guefresh, 2012).
    x ring shear interface tests (Yang et al., 2010).

    5. Cyclic Pile Design Parameters

    The response of soils to cyclic loading is complex.


    While laboratory testing has been applied in practice,
    there is a need for recognised methodologies to
    guide cyclic parameters selection for design. Suit-
    able documents will be developed for this purpose in
    collaboration with TC209 of the International Soci-
    ety of Soil Mechanics and Geotechnical Engineering
    (ISSMGE). Design guidance will also be offered on
    cyclic interface parameters.

    In France geotechnical parameter selection is mainly


    based on in situ testing. Pressuremeters are the most
    commonly used tools for onshore projects, although Figure 2: Stability diagram for axial cyclic tests on model piles
    the cone penetration test (CPT) is becoming more in the centrifuge dense Fontainebleau sand cast in place
    widely used. Preliminary static and cyclic tests using piles (from Guefresh, 2012)
    the PAF 76 self-boring pressuremeter (SBP) were
    conducted in the beginning of the 1980s. Results Highly instrumented displacement pile tests are also
    were promising and the cyclic shear moduli Gc that being performed in the large calibration chamber of
    was obtained compared favourably with observa- the 3S-R Laboratory in Grenoble. These tests (car-
    tions made on a highly instrumented pile submitted ried out in collaboration with Imperial College Lon-
    to axial tension loads (Puech et al., 1982). This re- don) provide valuable data (see Figure 3) on the mo-
    search avenue is being reactivated by SOLCYP, and bilisation of interface pile-sand friction and its
    attempts are being made to investigate the potential evolution with number of cycles (Tsuha et al., 2012;
    of cyclic CPT tests. A prototype tool is envisaged Rimoy et al., 2012).

    266
    fects along the pile walls; and the progressive trans-
    fer of load from the pile head towards the toe.

    7. Cyclic Design of Axially Loaded Piles

    The final objective of the SOLCYP project is to pro-


    pose methods for designing piles under cyclic axial
    and lateral loading. The full design may involve
    complex processes that may not necessarily be justi-
    fiable for everyday practice. The objective is to pro-
    pose different approaches corresponding to increas-
    ing levels of complexity and elaborate criteria to
    determine the appropriate level of analysis. Design
    approach criteria should be based on:
    Figure 3: Stress paths measured in calibration chamber along
    a model displacement pile in Fontainebleau sand. Two-way x sensitivity of structure to displacements and
    large amplitude cycles generate successive phases of dila- rigidity;
    tive/contractive behaviour at soil-pile interface x relative importance of cyclic component with
    (Tsuha et al., 2012) regard to permanent and mean component;
    x nature of the soil and potential sensitivity to
    In situ pile tests are being conducted at two experi-
    cyclic loading; and
    mental sites. The first is at Merville in the north of
    x potential economic, human and environmental
    France, where overconsolidated plastic Eocene Flan-
    consequences of poor cyclic performance.
    ders clay is encountered below 3m depth. Ten test
    piles were installed in March 2011, including 4 The relative success of current civil engineering
    driven closed-ended tubular steel piles, 4 four bored practice (which often ignores the effect of load cy-
    piles and 2 screwed piles. The piles are 13.5 long cles) demonstrates that, in many cases, cyclic load-
    with diameters of 406420mm. Series of load tests ing effects can be accommodated through reasonable
    were conducted over May to June 2001, including engineering judgment and conventional safety con-
    conventional incremental static tests, rapid load and siderations. But this is not always the case. Well
    cyclic load tests. The latter covered both tests that documented stability diagrams may be very useful in
    failed after relatively small numbers of large cycles, identifying those critical loading conditions that jus-
    and those that extended to very large numbers tify special consideration in design.
    (>10 000) of relatively low amplitude cycles. Details
    and preliminary results are presented in a companion Cyclic axial pile analysis can already be tackled
    paper (Benzaria et al., 2012). through the load transfer curve analyses. Recom-
    mendations for constructing (t-z) curves (i.e. rela-
    A similar testing programme is planned on piles in- tionships between mobilised soil-pile shear transfer
    stalled near Dunkirk in the post-glacial Flanders and local pile displacement) for monotonic loading
    sands. The number of driven piles has been reduced, are available (see API, 2011; ISO, 2003). These
    due to the availability of previous cyclic pile testing curves are conveniently used in simple structural fi-
    by Imperial College in the same sands at a nite element (FE) models where the pile is generally
    neighbouring site (Jardine and Standing, 2000). The considered as a linear elastic rod. Developing cyclic
    Dunkirk tests were completed in spring 2012. Inter- t-z curves that could model given shear stress ampli-
    pretation is ongoing at time of paper publication. tudes and particular numbers of cycles would be a
    decisive step forward in the design of piles under cy-
    It is expected that the concept of pile stability dia- clic loading. Specialised software has been devel-
    grams, developed for field tests on clays by Karlsrud oped to model the cyclic response of piles, such as
    and Haugen (1985) and applied to sands by Jardine SCARP (Poulos, 1989), RATZ (Randolph, 2003) or
    and Standing (2000), can be extended to encompass PAXCY (Karlsrud and Nadim, 1990). In these mod-
    the new enlarged experimental database. It is also in- els, the interface shear strength degradation during
    tended that interpretation of the instrumented pile cycling controls the resulting plastic deformation.
    tests will allow an improved understanding of the
    following: degradation phenomena taking place It is anticipated that the experimental data gathered
    along cyclically loaded piles; local degradation as a within SOLCYP (including soil and interface behav-
    function of stress history; distribution of cyclic ef- iour, in situ SBP and cyclic CPT tests, model pile tests

    267
    and in situ pile tests) will provide sufficiently repre- x Cyclic p-y curves are also inappropriate for
    sentative and reliable elements to derive degradation modelling cases where horizontal displace-
    laws in sands and clays. They should also allow for ments remain small, as they assume mecha-
    the evaluation and possible calibration of existing nisms that require relatively large displace-
    software, and finally the proposal of preliminary sets ments (e.g. Cao et al., 2005).
    of cyclic t-z curves. This is one of the more challeng- x Cyclic p-y envelopes are not applicable when
    ing SOLCYP tasks (Benzaria et al., 2011). Simpler considering in-storm stiffness response under
    global approaches may also prove useful in practice dynamic or slow cyclic loading.
    (Jardine et al, 2005).
    The SOLCYP project may not be able to resolve all
    8. Lateral Pile Response the foregoing questions, however, it is committed to
    making advances in two directions. The first in-
    Current design methodologies for assessing the re- volves developing a methodology to assess the hori-
    sponse of piles under lateral loads most frequently zontal cyclic response of flexible piles subject to
    refer to the concept of load transfer, or p-y curves. loading histories other than typical offshore storms.
    Recommendations for constructing static p-y curves This might be based on developing true cyclic p-y
    that reproduce local horizontal soil-pile interactions relationships that relate to given numbers of cycles
    under monotonic loading can be found in offshore (N = 10, 100, 1000, ...) and a stepping procedure that
    codes and standards, considering soils from silica or follows specified loading histories. Such true cyclic
    carbonate sands to soft or stiff clays. They are based curves are being derived from the SOLCYP centri-
    on either ODERUDWRU\GDWD HJXVHRIWKH50 parame- fuge tests (Khemakhem, 2012; Khemakhem et al.,
    ter), or in situ data (e.g. use of shear modulus G ob- 2012) with Fontainebleau sand and Speswhite clay
    tained from pressuremeter tests). (see Figure 4).

    The offshore oil and gas industry uses cyclic p-y The second avenue concerns the behaviour of short
    curves for designing jacket piles under extreme envi- rigid piles or caissons under lateral loading. The 3D
    ronmental loading. Potential problems exist in ex- FE analyses (FEA) will be used to derive vertical,
    trapolating this approach to other applications. Cy- horizontal and moment (VHM) envelopes for rigid
    clic p-y curves were derived in the 1970s on the circular foundations with a slenderness ratio (L/B) in
    basis of tests performed on relatively small-diameter the range 5 to 15. The FEA will also be used to study
    piles (123/424in) for soft clays (Matlock, 1970), the associated failure patterns. It is expected that the
    stiff clays (Reese and Cox, 1975), and sands (Cox et methodology currently employed for assessing the
    al., 1974). The piles were submitted to series of cy- cyclic response of offshore suction emplaced cais-
    clic loads, representative of load histories imposed sons can be adapted to these embedment ratios. The
    by Gulf of Mexico storms on jacket piles. The final lateral rigidity of these foundations will be investi-
    results were envelope curves, which aimed to re- gated by introducing appropriate constitutive laws
    produce the soil-pile response of piles monotonically into the FEA.
    loaded at the end of the extreme event (the centen-
    120
    nial storm). The limitations are as follows: C12S3ins
    x Cyclic p-y curves (as in API/ISO documents) Hm =200kN
    are applicable for modelling the head dis- Hc =100kN
    Soil resistance (kN/m)

    80 n=130 cycles
    placements and maximum bending moments
    of long flexible piles of moderate diameter af- z=6m

    ter a storm loading history. z=5.25m


    40
    x They are used, perhaps inappropriately, to z=4.5m
    model the response of large-diameter offshore z=3.75m
    jacket piles that remain flexible because of z=3m
    0
    their large aspect ratios.
    x Present p-y curve formulations are not valid
    for the caisson piles employed in wind turbine
    monopiles, where the assumption of a flexible -40
    0 0.2 0.4 0.6 0.8 1 1.2
    system with independent soil slices acting at Pile displacement (m)
    different depths is no longer applicable (Lam, Figure 4: Cyclic p-y curves obtained on model piles in the cen-
    2009). trifuge NC clay (Khemakhem, 2012)

    268
    9. Numerical Modelling Bagigli Y. (2011). Modlisation du comportement
    cyclique des sols et des interfaces sol-structure,
    Simulating the cyclic response of piles by continuum Thse, Ecole Centrale de Lyon.
    models is an extremely challenging task. Several is- Benzaria O, Le Kouby and Puech A. (2011). Ex-
    sues are critical. For example, describing the cyclic perimental and numerical analysis of the cyclic
    behaviour of soils requires sophisticated constitutive axial response of a single pile. Proc. 15th
    laws that often involve many parameters. These pa- ECSMGE, Athens.
    rameters are difficult to measure. Extensive (and ex- Benzaria O, Le Kouby A and Puech A. (2012). Cy-
    pensive) series of complex laboratory tests are clic axial load-tests on driven and bored piles in
    needed. Modelling the behaviour of interfaces under overconsolidated clay. In: Proc. 7th Offshore Site
    cyclic loading is an additional area that has received Investigation and Geotechnics: Integrated Geo-
    only limited consideration to date. Finally, imple- technologies Present and Future. London: So-
    menting these laws into FE models presents difficul- ciety for Underwater Technology (SUT).
    ties when large numbers of cycles are considered. BSH. (2007). Standard/Design of Offshore Wind
    Calculation times rapidly become excessive and un- Turbines. Hamburg: Federal Maritime and
    controlled divergence in the calculation process may Hydrographic Agency.
    arise. BSH. (2011). Guidance for use of the BSH standard
    Design of Offshore Wind Turbines. Hamburg:
    SOLCYP team members are making progress in the Federal Maritime and Hydrographic Agency.
    following directions: Cao J, Li Y, Tjok KM and Audibert JME. (2005).
    Validation of the use of the beam-column method
    x improving constitutive laws for describing the for suction caisson design In: Gourvenec S and
    behaviour of soils (Bagigli, 2011); and Cassidy M. (eds.). Proc. Int. Symp. Frontiers in
    x developing alternative methods to the cycle- Offshore Geotechnics, ISFOG 2005. London:
    by-cycle simulation technique, such as the time Taylor and Francis.
    homogenisation method (Papon, 2010), or Cao J, Mroueh H and Burlon S. (2012). Skipped cy-
    skipped cycles method (Cao et al., 2012). cles method for geotechnical structures under
    large number of cycle loads. In: 7th Int. Conf. on
    10. Conclusion Offshore Site Investigations and Geotechnics: In-
    tegrated Geotechnologies Present and Future.
    The SOLCYP project is an ambitious research and London: SUT.
    development programme aimed at investigating the Cox WR, Reese LC and Gubbs BR. (1974). Field
    behaviour of piles under cyclic loading. Key aspects testing of laterally loaded piles in sand. OTC
    are being addressed either experimentally or numeri- 2079. Proc. Offshore Technology Conference,
    cally. The first results, some of which are presented Houston, USA.
    at this conference, have been promising. The final Det Norske Veritas (DNV). (1992). Classification
    objective is to develop guidelines for the design of Note 30-4, Foundations. Olso: DNV.
    pile foundations under cyclic loading, with special
    DNV. (2011). DnV-OS-J101 Design of Offshore
    attention to novel structures such as wind turbines.
    Wind Turbines Structures, DnV Offshore Stan-
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    270
    DEVELOPMENT OF DEGRADATION LAWS FOR DESCRIBING
    THE CYCLIC LATERAL RESPONSE OF PILES IN CLAY

    M Khemakhem, N Chenaf, J Garnier, C Favraud and P Gaudicheau


    LUNAM Universit, IFSTTAR Nantes, Dpartement GER, Bouguenais, France

    Abstract
    Centrifuge tests were performed to investigate the cyclic response of piles in soft clay under lateral loads.
    Typical data are presented and discussed. The accumulation of pile-head displacements and maximum bend-
    ing moments with number of cycles in particular are examined. Power law models fitted on experimental data
    are proposed to describe the effect of large numbers of cycles.

    1. Introduction Zhang et al., 2011) emphasise the significance of


    progressive accumulation of pile head displacements
    Pile foundations of offshore structures used for the with applied number of load cycles. For piles in
    oil and gas or wind farm industries are subjected to clays, increases in maximum bending moments are
    large cyclic horizontal loads resulting mainly from correlatively observed. It has been found that both
    the action of waves and wind. Pile design proce- phenomena could generally be described by degra-
    dures are essentially based on the application of rec- dation-type laws, which are mostly exponential or
    ognised standards or professional recommendations, logarithmic in form. Degradation laws for describing
    among which the American Petroleum Institute the effect of cycles on the strength and stiffness of
    (API) RP 2A (2000) is the most commonly used. It clays were introduced by Idriss et al. (1978). Briaud
    proposes a design methodology for horizontally and Felio (1986) revisited the concept and proposed
    loaded piles based on the use of local pile-soil trans- a power law for describing the pile head displace-
    fer (p-y) curves. ments of piles in clay submitted to cyclic axial loads.

    Monotonic, as well as so-called cyclic, p-y curves The most significant advances are presently being
    are provided for both sands and clays. The cyclic p-y made in sands in response to the demand of the off-
    curve concept requires some attention. It was de- shore wind farm industry. On the basis of extensive
    rived in the 1970s on the basis of pile tests per- series of laboratory tests on rigid and/or flexible
    formed on relatively small-diameter (123/424-inch) piles, Peralta (2010) and Leblanc et al. (2010) have
    piles for soft clays (Matlock, 1970), stiff clays proposed power laws, or logarithmic formulations,
    (Reese et al., 1975; Reese and Welch, 1975) and to describe the evolution of pile head displacements
    sands (Cox et al., 1974; Reese et al, 1974). The piles as a function of the number of cycles. In France,
    were subjected to a series of cyclic loads representa- Rosquot (2004), Rosquot et al. (2007) and Rako-
    tive of load histories imposed by Gulf of Mexico tonindriana (2009) have proposed logarithmic ex-
    storms to jacket piles. The final result was an enve- pressions to interpret series of centrifuge tests in
    lope curve, which is aimed at reproducing the re- sands.
    sponse of a pile monotonically loaded at the end of
    the extreme event (e.g. the centennial storm). The The primary objective of the work reported in this
    procedure did not take cyclic load characteristics paper is to develop a representative database for
    and number of cycles explicitly into account. flexible piles subjected to cyclic horizontal loads in
    soft clay. An extensive series of centrifuge tests
    More recent laboratory tests (Craig and Kan, 1986; were performed at IFSTTAR, involving a large
    Kitazume and Miyajima, 1994; Jeanjean, 2009; range of load characteristics and a significant num-

    271
    ber of cycles (up to 1000). A particular attention is Cone penetrometer tests (CPTs) were carried out in
    paid to the evolution of pile-head displacements and flight at the end of the second consolidation phase
    maximal moments as a function of number of cycles. just before pile loading. The penetrometer rod is
    Power law models are then used to fit the experi- 300mm long and 12mm in diameter. The cone was
    mental curves. pushed into the soil at a rate of 5mm/s to measure
    the cone tip resistance (qc). After Garnier (2001), the
    2. Centrifuge Experimental Setup undrained shear strength (Su) may be calculated us-
    ing a correlation with qc expressed as:
    Tests were conducted in the IFSTTAR geotechnical
    centrifuge in operation in Nantes (Cort and Garnier, qc 18.5 S u (1)
    1986). The model at the scale 1/50 was designed to
    satisfy classical scaling laws (Garnier et al., 2007). A typical undrained shear strength profile varies
    linearly with depth, as shown in Figure 2. The inter-
    2.1 Clay sample face between layers reveals local anomalies in the
    Speswhite kaolin clay was used to model the soil. shear strength profile at about 6m and 12m. The Su
    Main physical properties are listed in Table 1. idealised profile is represented by a linear trendline
    fitted to the data.
    Table 1: Physical proprieties of kaolin clay
    Average bulk unit weight J 17.5kN/m3
    Final average water content w = 50%
    Compression index Cc = 0.33
    Vertical index of consolidation Cv = 3 10-7 m/s
    Swelling index Cs = 0.06

    Clay samples were prepared in a cylindrical con-


    tainer 895mm in diameter and 475mm in depth. The
    depth of the soil model is ~400mm. A 20mm-thick
    sand layer was first placed at the bottom of the con-
    tainer. Three clay layers were then successively Figure 1 : Consolidation pressure applied at 1g and profile of
    placed, each layer being prepared as follows. First, a resulting overconsolidation ratio at 50g
    clay slurry was prepared with an initial average wa-
    ter content of about 100%. The slurry was mixed to
    ensure full saturation and was then poured into the
    container. The first layer was consolidated incre-
    mentally. When the consolidation of this layer was
    achieved, the second slurry was placed above and
    then consolidated by the same process.

    Consolidation pressures applied to each layer are


    presented in Figure 1. This first consolidation phase
    at 1g was followed by an in-flight consolidation
    phase, in which the clay sample was consolidated
    under its self-weight of 50g. Ground settlements and
    pore water pressures in the soil were measured to
    control the in-flight consolidation process. In gen- Figure 2 : Typical undrained shear strength profile
    eral, a 3hr consolidation time is required. The over-
    consolidation ratio under in-flight conditions (at 2.2 Model pile
    50g) after pressure equalisation is shown in Figure Flexible model piles were manufactured to simulate
    1. The clay sample is lightly overconsolidated with at 50g a prototype steel pile with a diameter of B =
    an average overconsolidation ratio (OCR) value of 0.9m and an embedment depth of D = 16m. The
    about 2. A surface water layer ~15mm thick (at model pile is made of an aluminium pipe, with a
    model scale) was maintained above the ground sur- wall thickness of e = 1mm. Mechanical and geomet-
    face throughout the centrifuge tests to ensure full ric proprieties of both prototype and model piles are
    saturation in the soil sample. summarised in Table 2.

    272
    Table 2: Mechanical and geometric proprieties of prototype using a servo-actuator (4) controlled from the centri-
    and model pile fuge control room. The lateral load is recorded by a
    Material Prototype pile Model Pile (1/50) load transducer (5) mounted in the servo-actuator.
    Steel Aluminium All transducers are connected to a data acquisition
    L (m) 18 0.360 system (HBM spider) to provide real-time in-flight
    D (m) 16 0.320 measurements.
    B (m) 0.9 0.018
    E (MN/m) 2 105 7.4 104 Piles are instrumented with 21 pairs of electrical-
    e (mm) 15 1 resistance strain gauges (Wheatstone bridge configu-
    EpIp (MNm) 895 1.43 10-4 ration) protected by a gel-coat layer to waterproof the
    gauges (Figure 4). This protective layer increases the
    The pile is installed by augering a hole at 1g before model pile diameter by 6%. For the tests, the piles
    rotating the centrifuge, and drilling is performed were loaded in the laboratory as cantilever beams to
    without water above the ground surface. The pile is calibrate the gauges. Several cycles of loading were
    then carefully introduced into the hole. In all tests, applied to remove hysteresis from the strain gauge re-
    the pile head is free to rotate. The lateral load is ap- sponse. The strain gauges were placed along the
    plied at 2m above the ground surface at prototype model pile at a constant spacing of 15mm. This corre-
    scale (2.2 times the pile diameter). sponded to a moment measurement level every 0.75m
    below the ground surface at prototype scale. The up-
    2.3 Instrumentation per gauge was located at 0.5m below the soil surface,
    The type of instrumentation used in this study is pre- and the lower on was placed at 0.75m above the pro-
    sented in Figure 3. totype pile tip, as shown in Figure 4.

    (1) Drainage layer


    (2) Soil settlement transducer
    (3) Horizontal displacement transducers
    (4) Servo - actuator
    (5) Load transducer
    (6) Pore pressure transducer Figure 4: Instrumented model pile with strain-gaug
    Figure 3: Schematic model set up and instrumentation
    2.4 Characteristics of the cyclic loading
    A drainage layer of sand (1) is placed at the con- A typical record of applied cyclic load is given in
    tainer bottom to accelerate the consolidation of the Figure 5. The input was sinusoidal with an average
    clay sample. Pore pressure transducers (No. 6 in load (Hm), a constant cyclic amplitude (Hc) and a
    Figure 3 key) and soil settlement transducers (2) are maximal load (Hmax) (Hmax = Hm + Hc). The load was
    used to control the consolidation process in flight, as applied in force control mode at a rate ensuring
    mentioned earlier. The lateral pile-head displace- undrained conditions around the pile. This rate was
    ment is recorded by a displacement transducer (3) estimated in accordance with the methodology used
    mounted in front of the loading point. The pile head to interpret T-bar tests at the University of Western
    is extended upward to install two additional dis- Australia by House et al. (2001). A loading fre-
    placement transducers. These additional records en- quency of 0.25Hz was used. Table 3 gives the details
    sure redundancy of the measurement of pile dis- of the cyclic tests performed in term of cycle number
    placement and rotation. The lateral load is applied (n) and values of Hm, Hc and Hmax applied. The

    273
    maximum number of applied cycles was 1000. Re- lustrated in Figure 6. The spatial extent depended on
    sults of 17 tests are considered in this paper. loading intensity and number of cycles. Even for
    symmetrical two-way tests, the print was non-
    symmetrical; the most important lobe was in the di-
    rection of the first loading.

    Figure 5: Beginning of cyclic load sequence and notations

    Table 3: Pile cyclic test summary (prototype scale)


    Figure 6: Residual deformation around pile after cyclic
    Test n Hm Hc Hmax Load
    loading (test C10S4ins)
    [kN] [kN] [kN] type
    C07S2ins 500 150 100 250 One-way
    In previous studies involving similar piles and soil
    C09S1ins 40 150 200 350 Two way
    conditions (Khemakhem et al., 2010), a gap in the
    C09S2ins 1000 100 50 150 One-way
    back of the pile had been observed under high levels
    C10S1ins 1000 150 50 200 One-way
    of monotonic load. With the applications of cyclic
    C10S2ins 570 200 50 250 One-way
    loads, the gap alternatively opens and closes squeez-
    C10S3ins 1000 200 50 250 One-way
    ing the entrapped water and forcing it upward. The
    C10S4ins 130 250 100 350 One-way
    velocity of the water may be sufficient to create
    C11S1ins 1000 200 100 300 One-way some erosion around the pile. According to Reese
    C11S2ins 1000 200 50 250 One-way and Van Impe (2001), the gapping and scouring
    C11S3ins 180 200 100 300 One-way process may significantly contribute to the degrada-
    C12S1ins 100 0 150 150 Two-way tion of the soil reactions close to the surface.
    C12S2ins 1000 300 50 350 One-way
    C12S3ins 100 200 100 300 One-way 3.2 Typical data
    C14S1ins 50 100 150 250 Two-way A typical cyclic lateral load-displacement curve is
    C16S1ins 600 200 75 275 One-way shown in Figure 7. The corresponding bending mo-
    C16S3ins 300 250 75 275 One-way ment profiles at the end of each cycle under maximal
    C16S4ins 150 150 150 300 Two-way load Hmax are presented in Figure 8. Results are pre-
    sented in prototype scale.
    Most of the tests were one-way cyclic loading, that
    is Hc < Hm (the pile was always pulled in the same
    direction). Four two-way tests (involving reversal of
    the resulting force on the pile, i.e. Hc > Hm) were
    also carried out. The maximum value of Hmax ap-
    plied to the pile (350kN) corresponded to the lateral
    load producing a pile head lateral displacement of
    20% of the pile diameter under monotonic loading.
    This could be considered as the pile ultimate resis-
    tance (Khemakhem et al., 2010).

    3. Experimental Results

    3.1 Visual observations


    A residual deformation was observed around the pile Figure 7: Cyclic lateral load-displacement relationship at
    pile-head
    at the end of each test (one-way and two-way) as il-

    274
    Figure 8: Bending moment profiles at the end of cycles under
    maximal load Hmax

    Large pile head displacements developed during cy-


    cling, and the test was stopped after 130 cycles. The Figure 9: Evolution of normalised pile head displacements
    with number of cycles
    hysteretic behaviour reflects the energy dissipation.
    Simultaneously cyclic loading generated a progres-
    sive increase of the bending moments in the pile
    well above the values obtained during the first
    monotonic loading (n = 1). In addition, the position
    of the maximum bending moments deepened with
    the succession of the cycles. It was determined that
    the accumulation of pile head displacements and the
    increase of the bending moments are the result of a
    degradation of the soil reactions in the upper part of
    the pile, which leads to a transfer of loads to deeper
    depths offering greater soil resistance.

    3.3 Synthetic presentation


    Figure 9 represents the evolution with number of cy-
    cles (n) of the normalised pile-head displacement
    (yn/y1), where yn and y1 are the pile head displace-
    ments under Hmax at cycle n and 1, respectively (see
    Figure 7). Figure 10 represents the maximum bend-
    Figure 10: Evolution of normalised maximum bending
    ing moment (Mmax,n/Mmax,1) for various values of cy-
    moments with number of cycles
    clic amplitude (Hc) and maximal load (Hmax), where
    Mmax,n and Mmax,1 are the maximum bending moment Under the same maximal load (Hmax) and for a given
    in the pile under Hmax at cycle n and 1, respectively number of cycles, the accumulation of pile head dis-
    (see Figure 8). placement is faster for higher cyclic amplitude. This
    A representative set of data including both two-way is also the case for the maximum bending moment.
    and one-way loading cases is presented. The obser- The response of the pile may be grouped in two
    vations noted are discussed in this section. First, categories regardless of the type of loading (one-
    two-way loadings generate higher cumulative dis- way versus two-way).
    placements at pile head and higher maximal bending
    moments than one-way loadings. This may be in re- In the first category, pile displacements increase
    lation with a more severe development of the gap- abruptly without any trend toward stabilisation,
    ping/scouring process mentioned previously. Logi- while in the second category a certain steady-state is
    cally, full reversal of the load (C12S1ins test with Hc being reached within the first 100 cycles. The
    = Hmax) seems more detrimental to the pile than par- maximum bending moment tends to stabilise, re-
    tial reversal (C09S1ins test with Hc < Hmax). How- gardless of the evolution of pile-head displacements
    ever, additional two-way tests with lower cyclic am- (assuming pile constitutive material remains in the
    plitude would be required to confirm these results. elastic domain).

    275
    4. Degradation Laws The calculation is given as follows:
    4.1 Pile-head displacements M max,n
    P nD n !1 (3)
    Only tests reaching a steady-state are considered in M max,1
    this section. Typical normalised pile head displace-
    ment curves yn/y1 = f(n) are selected for illustration where P and D are empirical degradation parameters,
    (Figure 11). A power law model seems very well depending on loading conditions. Variations of these
    adapted to describe the physical phenomena: parameters as a function of ratio Hc/Hmax are shown
    in Figure 14. The coefficient P appears to be inde-
    yn pendent of the ratio Hc/Hmax, with a value close to 1.
    k na n !1 (2)
    y1 The exponent Dclearly increases with Hc/Hmax and
    the best-fit straight line through the origin is:
    where k and a are empirical degradation parameters.
    These parameters were calculated by best fit regres- Hc
    (4)
    D 0.25
    sion analysis throughout the entire database. Figure H max
    12 shows that coefficient (k) remains close to 1,
    whereas exponent (a) is in the range of 0.10.2. The effect of cyclic loading on the normalised
    Both parameters seem to be independent of the ap- maximum moment can then be expressed as:
    plied load expressed by the ratio Hc/Hmax, which re- M max,n
    flects the severity of cycles within the investigated P n 0.25 H c / H max
    n !1 (5)
    M max,1
    domain.

    4.2 Maximum bending moments


    The evolution of the normalised maximum bending
    moment Mmax,n/Mmax,1 is also described by a power
    function, as illustrated in Figure 13.

    Figure 13: Comparison of experimental and fitted function


    Mmax,n / Mmax,1 = g(n)

    Figure 11: Comparison of experimental data and fitted func-


    tion yn / y1 = f(n)

    Figure 14: Parameters of the fitted function Mmax,n/Mmax,1 =


    g(n) versus cyclic load ratio Hc/Hmax

    4.3 Discussion
    The analysis of the database suggests that power
    Figure 12: Parameters of fitted function yn / y1 = f(n) versus laws are well adapted to describe the evolution with
    ratio cyclic load Hc/Hmax
    the number of cycles of pile head displacements and

    276
    the maximum bending moments of piles subjected to Further testing is required to extend the validity of
    cyclic lateral loadings in clays. Degradation parame- the findings to a larger range of cyclic load charac-
    ters have been found independent of the load charac- teristics and investigate the impact of clay character-
    teristics (a, k and P), or linearly dependent on the ra- istics (e.g. mineralogy, strength, overconsolidation
    tio Hc/Hmax (D). ratio) on the degradation parameters. It is anticipated
    that the proposed type of approach (already sug-
    It can be reasonably assumed that degradation pa- gested by several authors for sands) will open the
    rameters may depend on the characteristics of the way to new design methodologies for piles subjected
    clay (e.g. shear strength, overconsolidation ratio). to horizontal cyclic loading in a near future.
    According to Poulos (1982), the effects of cyclic
    degradation are less severe for soft clays than for Acknowledgments
    stiff clays. Further testing is required to investigate
    these aspects and extend the validity of the findings This work is funded by the Pays de la Loire Region
    to a larger range of cyclic load characteristics. It is (through the research network R2GC) and by the
    worth noting that similar approaches were presented French Project Sollicitations Cycliques des Pieux
    by others (e.g. Peralta, 2010; Leblanc et al., 2010) (SOLCYP), a cooperative research project managed
    for describing the pile head displacements of piles in by IREX with the financial support of ANR,
    sands subjected to lateral cyclic loads. The exponent MEDDTL, Drast and RGCU. Their support is
    of the power law was found independent of the cy- greatly acknowledged.
    clic load characteristics, which is consistent with
    present observations in clay. A significant difference References
    is that, as demonstrated by Rosquot (2004),
    Rosquot et al. (2007) and Rakotonindriana (2009), American Petroleum Institute (API). (2002). RP 2A-
    bending moments in sands are only marginally af- WSD Recommended Practice for Planning, De-
    fected by the succession of cycles. signing and Constructing Fixed Offshore Plat-
    forms Working Stress Design. Washington,
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    loads. The principle would include evaluating first Geotechnical Journal 23: 362371.
    pile head displacements y1 and bending moments Cox WR, Reese LC and Grubbs BR. (1974). Field
    Mmax,1 using the standard p-y curve procedure and testing of laterally loaded piles in sand. Proc. Off-
    then calculating yn and Mmax,n as an explicit function shore Technology Conference, Houston, USA,
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    Cort JF and Garnier J. (1986). Une centrifugeuse
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    An extensive series of centrifuge tests was per- 528.
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    Garnier J. (2001). Modles physiques en gotech-
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    nique. I-Evolution des techniques exprimentales
    mum bending moments with the number of cycles.
    et des domaines d'application. Revue Franaise
    de Gotechnique 97: 329.
    Power law models provide a very good description of
    Garnier J, Gaudin C, Springman S, Culligan PJ,
    the evolution of the normalised pile head displace-
    Goodings D, Konig D, Kutter B, Phillips R,
    ments (yn/y1 = f(n)) and of the maximum bending
    Randolph MF and Thorel L. (2007). Catalogue of
    moments in the pile Mmax,n/Mmax,1 = g(n) (see Equa- scaling laws and similitude questions in geotech-
    tions 2 and 3). The degradation parameters k, Dand nical centrifuge modelling. International Journal
    Pwere found independent of the loading characteris- of Physical Modelling in Geotechnics 7: 124.
    tics. The exponent Dwas found linearly increasing House AR, Oliveira, JR and Randoplh MF. (2001).
    with the ration Hc/Hmax, where Hc and Hmax are the Evaluating the coefficient of consolidation using
    cyclic amplitude and the maximum value of the cyclic penetreation tests. International Journal of
    load, respectively (see Equation 4). Physical Modelling in Geotechnics 3: 1726.

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    Idriss IM, Dobry R and Singh RD. (1978). Nonlinear rigid pile in soft clay. Journal of Geotechnical
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    Houston, USA, 23pp.
    Khemakhem M , Chenaf N, Garnier J, Rault G,
    Thorel L and Dano C. (2010). Static and cyclic
    lateral pile behavior in clay. Proc. 7th Interna-
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    Kitazume M and Miyajima S. (1994). Lateral resis-
    tance of a long pile in soft clay. Centrifuge 94:
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    Leblanc C, Houlbsy GT and Byne BW. (2010). Re-
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    lateral loading. Gotechnique 60: 7990.
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    clique. Thse de doctorat. Ecole Centrale de
    Nantes-Universit de Nantes, 305pp.
    Rosquot F, Thorel L, Garnier J and Canepa Y.
    (2007). Lateral cyclic loading of sand installed
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    fuge modeling of the cyclic lateral response of a

    278
    LOCAL AND GLOBAL BEHAVIOUR OF AXIAL CYCLIC LOADED
    INSTRUMENTED MODEL DISPLACEMENT PILES IN SAND

    Siya Rimoy and Richard Jardine


    Department of Civil and Environmental Engineering, Imperial College London, UK
    Matas Silva and Pierre Foray
    LAB3SR- UMR5521, Grenoble-INP, UJF-Grenoble 1, CNRS, Grenoble, France
    Cristina Tsuha
    Department of Geotechnical Engineering, University of Sao Paulo, Brazil
    Zhongxuan Yang
    Department of Civil Engineering, Zhejiang University, Zhejiang, China

    Abstract
    This paper describes the first phase of an extensive campaign of axial cyclic loading tests performed on inten-
    sively instrumented displacement piles installed in large pressurised calibration chamber. The chamber was
    filled with medium dense silica sand that combined measurements of the effective stress paths developed
    along the pile shaft and within the sand mass at different distances from the shaft. The paper also outlines the
    evolution of the local interface effective stress paths during cyclic loading. Three different styles of cyclic re-
    sponse stable, metastable and unstable are identified and linked to the global degree of cyclic stability. In-
    creases or decreases in shaft capacity induced by cycling can be related to the cyclic loading parameters and to
    the local mechanical behaviour of the pile-sand interface and the sand mass. The second phase of testing,
    which involves many more cyclic experiments, is currently underway.

    1. Introduction However, they also noted that low-level, one-way


    loading cycles accelerated beneficial shaft capacity
    The pile foundations of offshore platforms, as well as increases (setup) with time. Rimoy and Jardine
    wind and water turbines, experience environmental (2011) reported triaxial creep tests in which cyclic
    cyclic loading. These cycles can affect the stress con- perturbations were found to affect the onset of creep
    ditions in the soil mass close to the pile and, conse- involving volumetric dilation. Bowman and Soga
    quently, the pile stiffness and capacity. Significant (2005) had argued that these could accelerate setup
    degradation of pile skin friction (reduction of static in sands
    shear resistance) due to cyclic loading has been noted
    in field scale tests on clays (Karlsrud et al., 1986) and This paper reports results from the first phase of a
    in sands (Jardine and Standing, 2000). new research programme that aims to improve the
    interpretation and understanding of the field tests at
    Model tests by Chan and Hanna (1980) indicated Dunkirk and elsewhere. The key contribution has
    that the main factors affecting the cyclic behaviour been the measuring of the stress state evolution: (i)
    of piles are the following: the number of cycles; the on the surface of a displacement pile; and (ii) in the
    magnitude of the repeated load related to the maxi- surrounding sand mass. A range of cyclic loading pa-
    mum static capacity; relative amplitude of the load rameters under well controlled environmental condi-
    cycles; loading frequency: pile loading history; em- tions are taken into consideration. This work is a part
    bedded pile depth; and soil characteristics. Further of a joint research programme between the Labora-
    tests with model piles installed in surcharged sand toire 3SR (Grenoble Institute of Technology) and
    tanks confirmed that shaft capacity degradation Imperial College London. The programme is con-
    grows markedly as the relative level of cyclic load- cerned with the effects of time and cycles on dis-
    ing increases (Poulos, 1989; Al-Douri and Poulos, placement pile behaviour in silica sand. The work
    1994; Chin and Poulos, 1996; Le Kouby et al., 2004; contributes to the industrial joint industry projects
    Tali, 2011). Jardine and Standing (2000) and Jardine (JIP) supported by Shell, the Health and Safety Ex-
    et al. (2006) also concluded from full-scale tests at ecutive (HSE) and Total, and to the French National
    the Dunkirk site described by Chow et al. (1996) that SOLCYP programme described by Puech et al.
    high-level cycling damages pile shaft capacity. (2012).

    279
    The experiments were conducted in a 1.2m-diameter trol, as described by Huang and Hsu (2005). A
    calibration chamber at Grenoble Institute of Tech- closed-loop temperature control system was imple-
    nology (Grenoble-INP), and involved installing a mented to achieve closely controlled and programma-
    highly instrumented mini Imperial College Pile ble temperatures over long-term monitoring periods.
    (ICP) into reconstituted, pressurised siliceous sand.
    Stress measurements were made in the sand mass by 2.2 Test sand
    sand sensors placed at different levels to monitor the The calibration chamber was filled with NE34 Fon-
    vertical, radial and circumferential stresses ('z, 'r, tainebleau sand. The sand was placed by air pluvia-
    and ', respectively). tion adjusted to obtain a medium dense state. Table
    1 shows the index properties of NE34 sand. Inde-
    2. Calibration Chamber Testing pendent, standard cone penetration tests (CPT) were
    conducted on sand samples under a vertical stress of
    2.1 Calibration chamber
    150kPa. The cone resistance (qc) traces obtained for
    The Grenoble calibration chamber (Figure 1) is
    NE34 sand show quasi-constant 23 2MPa sections,
    composed of three cylindrical elements each 0.5m
    as shown in Figure 2.
    high and with a 1.2m internal diameter. The cham-
    ber base and top cover consist of 100mm thick Table 1: Index properties of NE34 Fontainebleau sand
    plates. Constant vertical stresses (v) of ~150kPa
    are imposed by a membrane fixed on the internal Specific
    Grain D10 D50 D60
    Sand gravity e e
    face of the upper plate, filled with water and con- shape (mm) (mm) (mm) max min
    (Gs)
    trolled by a water/nitrogen interface pressure-
    Sub-angular/
    regulation system. A single, 2mm-thick, latex rubber NE34
    sub-rounded
    2.65 0.150 0.210 0.230 0.90 0.51
    sheet was installed over the chambers inner wall in
    most tests. This helped provide near K0 conditions,
    while reducing wall friction between the sand and Additional details of the sands mechanical behav-
    the tank, and ensuring better stresses homogeneity iour are given by Yang et al. (2010) and Altuhafi
    within the chamber. Following concern that the far- and Jardine (2011). They both report laboratory low
    field stress boundary conditions might not be fully and high pressure triaxial tests, as well as shear box
    matched with the 1.2m-diameter chamber, three new and interface shear tests. Yang et al. (2010) also de-
    lateral boundary membrane segments were added. scribe the micro-mechanical aspects of the grain-
    They allowed for stress control during pile installation crushing that takes place beneath the pile tip and
    and were fixed around the chamber in the latest within the sharply defined compacting interface
    (phase 2) test series to better simulate field conditions. shear zone, which develops around the pile shaft un-
    These modifications allow for active radial stress con- der high normal stress conditions.

    Electric Jack

    Force gauge
    Pile instruments output
    Guidance system
    Stress sensors output
    100 mm 0.00 m
    Reference level
    60 mm Top membrane
    Copper tubes surrounding Steel col-
    PVC disc Top level of sensors,
    the outside of the chamber 46R
    -0.33 m
    for temperature control
    -0.52 m
    ~990 mm 26R Mini ICP
    penetration Middle level of sensors, h/R=29.4
    -0 79 m
    9R Bottom level of sensors, h/R=14.4
    -1.05 m

    Bottom membrane (not pressurised) 18 oC Fontainebleau sand Lateral membranes


    -1.50 m -1.30 m
    Base plate

    Figure 1: Schematic of the 3S-R calibration chamber with the mini-ICP installed (September 2011)

    280
    x a temperature sensor; and
    qc (MPa)
    x micro-electro-mechanical system (MEMS)
    0 5 10 15 20 25 30
    0 inclinometer sensors.
    A tip ALC was added nearest to the mini-ICP cone
    200 to improve separation of the base and shaft contribu-
    tions to the total pile capacity. This additional cell
    Pile depth (mm)

    400 was implemented first in the ICP3 test series.


    ICP1
    ICP2 2.4 Sand stress sensors
    600
    ICP3 Sand stress sensors of different types and capacities
    ICP4 were installed inside the chamber, with tests adopt-
    800
    ing up to three different levels, termed top (T), mid-
    dle (M) and bottom (B). The sensors used were type
    1000 PDA or PDB manufactured by Tokyo Sokki Ken-
    kyujo Company TML, and type Kyowa PS/D by
    1200 Kyowa Electronics Instruments Company. On each
    level, the sensors were placed to monitor the radial,
    Figure 2: Summary qc tip resistances from the phase 1 mini- vertical and hoop stresses at the distances given in
    ICP tests
    Table 2. Sensors are located at different radial dis-
    2.3 Mini-Imperial College Pile tances to minimise mutual interference. The cables
    The 36mm-diameter, closed-ended, stainless-steel from all the sensors run radially to the chamber wall,
    mini-ICP (Jardine et al., 2009) comprises three in- vertically up to the sand surface and finally out of
    strument clusters, with a solid 60 cone fitted at the the chamber.
    pile tip and a pile cap (Figure 3). The clusters are
    Table 2: Sand stress sensors positions adopted for the phase 1
    oriented at 120 intervals around the pile shaft to test series
    minimise shaft bending effects.
    Depth below Sensors positions (r/R)*
    Sensor
    Test sand surface Circum
    100 mm levels Radial Vertical
    (mm) ferential
    1500 Top 190
    1400
    ICP1 Middle 550 2,3,5,8,20 3,5,8 2,3,5,8
    Cable
    1300
    Bottom 830
    Top 430 2,3,5, 3,5,8, 2,3,5,8,
    1200
    d =36mm ICP2 8,12,16, 12,16, 12,16,
    Bottom 700
    1100 Axial load cell 20 20 20
    1000 Surface stress transducer Top 270
    +Temperature sensor +Inclinometer ICP3
    900 Middle 460 2,3,5,8 2,3,5,8 2,3,5,8
    mm

    ICP4
    h( h(c
    m)

    Bottom 730
    )

    800
    TRAILING, h/R = 41.7
    700 R = pile radius *r/R: relative radial distance from the pile axis (where R is the pile ra-
    600 dius and r is the sensor distance from pile axis)
    500
    om

    FOLLOWING, h/R = 21.7


    DD

    400
    m

    2.5 Mini-Imperial College Pile installation


    ta
    nn
    cce
    frro

    pp
    ilile
    ttip
    a

    e
    ip
    isist

    ef

    ,,

    fs Circuit board
    300

    200
    Q
    Axial load cell (ALC)
    The piles were installed to a standard final embed-
    100
    r
    ! rz
    Surface stress transducer (SST)
    +Temperature sensor
    LEADING, h/R =6.7
    ded depth of 0.98m by non-monotonic jacking. The
    0
    +Inclinometer sensors
    penetration rate was varied between 0.5 mm/s and
    120o 120o
    2.0mm/s and had jack strokes of 5mm, 10mm or
    o
    Three cells positioned at 120 spacing
    around pile
    20mm in different installation. The pile head loads
    Figure 3: Typical configuration mini-ICP (Jardine et al., 2009) were reduced to zero at the end of each stroke.
    As shown in Figure 3, the three clusters are respec- 2.6 Cyclic and static load testing procedure
    tively referred to as leading, following and trailing After allowing for ageing periods following pile in-
    (A, B, and C). Each cluster contains: stallation, static compression (C1) and tension load-
    x an axial load cell (ALC), which can be used ing tests were performed. A range of low- and high-
    to derive the average pile skin friction; level cyclic loading tests, with parameters as defined
    x a surface stress transducer (SST) to measure in Figure 4, were then conducted interspersed with
    radial total stress (r) and shear stress (rz); tension capacity check tests.

    281
    ties available after each cyclic loading episode. Prior
    load testing can affect the piles responses to subse-
    quent cyclic and static loading (Jardine et al., 2006).
    The reference tension tests allowed such changes to
    be tracked.

    2.7 Tension loading tests


    The static tension loading results are summarised in
    Table 4, while examples from ICP2 of the initial and
    post-cycling load-displacement curves are shown in
    Figure 4: Definition of axial cyclic loading parameters for the Figure 5.
    model displacement piles tests (Tsuha et al., 2012)
    Table 4: Static pile load tests
    The low-level, one-way cyclic tests (OW) were all Test Test ID QT (kN) Comments
    T1 9.2 After C1
    carried out under load-control and involved purely
    ICP1 T2 10.8 After OW1
    tensile conditions. These tests engaged up to ~60% T3 4.9 After TW1
    of the tension shaft capacity (QT). Higher level, two- T1 12.1 After C1
    way (compression and tension) cyclic tests (TW) T2 13.2 After OW1
    were then conducted under both load and displace- ICP2 T3 14.0 After OW2
    ment control. Table 3 summarises the programme of T4 13.7 After OW3
    the phase 1 tests. T5 8.7 After TW1
    T1 12.5 After C1
    Table 3: Summary of cyclic loading programme ICP3 T2 10.9 After OW1
    T3 4.8 After TW1-4
    Test ID Cycles Load (kN) Description T1 11.5 After C1
    ICP1-OW1 Qcyclic/QT=0.22 T2 13.9 After OW1
    1000 0 to 4.0 ICP4
    (MS) Qmean/QT=0.22
    T3 5.5 After TW1
    ICP1 Disp. con-
    ICP1-TW1 *Qcyclic/QT=0.41 T4 6.0 After OW2
    100 trol (4 to
    (US) Qmean/QT=0.06
    5mm)
    ICP2-OW1 Qcyclic/QT=0.12 -16
    1000 0 to 3.0
    (S) Qmean/QT=0.12
    ICP2-OW2 Qcyclic/QT=0.20 -14 After OW low-level cycling
    1000 0 to 4.8
    (S) Qmean/QT=0.20
    Pile head tension load (kN)

    ICP2 ICP2-OW3 Qcyclic/QT=0.28 -12


    500 0 to 6.8
    (MS) Qmean/QT=0.28
    Disp. con- Before cycling
    ICP2-TW1 *Qcyclic/QT=0.48 -10
    100 trol (2 to
    (US) Qmean/QT=0.15
    3mm) -8
    ICP3-OW1 Qcyclic/QT=0.38
    100 0 to 9.6
    (US) Qmean/QT=0.38 -6 After TW high-level
    ICP3-TW1 Qcyclic/QT=0.54 cycling
    1 5.0 to 8.0
    (US) Qmean/QT=-0.08
    -4
    ICP3-TW2 Qcyclic/QT=0.40
    ICP3 199 5.0 to 5.0
    (US) Qmean/QT=0.06
    ICP3-TW3 Qcyclic/QT=0.44
    -2
    50 5.0 to 7.0
    (US) Qmean/QT=0.02
    ICP3-TW4 Qcyclic/QT=0.44
    0
    37 5.0 to 10.0 0.0 -0.5 -1.0 -1.5 -2.0 -2.5 -3.0 -3.5
    (US) Qmean/QT=0.02 Displacement (mm)
    ICP4-OW1 Qcyclic/QT=0.15
    7000 0 to -3.5
    (S) Qmean/QT=0.15 Figure 5: Tensile load-displacement curves of ICP2
    ICP4-TW1 Qcyclic/QT=0.23
    ICP4 600 4.0 to 4.0
    (MS) Qmean/QT=0.06
    ICP4-OW2 Qcyclic/QT=0.21 The tests indicated a clear relationship between the
    50 2.3 to 4.6
    (MS) Qmean/QT=0.63 piles cyclic responses and the level of cyclic loading,
    * Average Qcyclic/QT relative to the piles tension capacities. As presented
    in Tables 3 and 4, low-level cycling led to modest
    Load cycling was applied at relatively low frequen- gains in tension capacity, while high-level cycling in-
    cies, ranging from below 0.5 cycles per minute for flicted considerable damage. Damage appeared to
    the large displacement tests, to nearly 2.5 cycles per have developed under OW loading (with Qcyclic =
    minute for the low-level load controlled tests. Ten- Qmean) only when the amplitudes exceed around 25
    sion tests were carried out under displacement con- 30% of the tension shaft capacity. Under optimal cy-
    trol at rates of ~0.01mm/s, to check the shaft capaci- clic conditions, pile capacity can benefit with tension

    282
    shaft capacity increasing by around 20% after a large
    number of cycles (as seen also in the field tests by -12
    Jardine et al., 2006). However, high-level cycling ICP4-OW1 Stable
    could lead to shaft failure, as well as tensile capacity -10 ICP4-TW1 Metastable
    halving, within a few tens of cycles. ICP3-TW2 Unstable

    Cummulative displacement (mm)


    les
    -8
    cyc
    3. Discussion of Experimental Results 0
    10
    mm/
    -6 1
    Unstable
    3.1 Cyclic tests
    The cyclic experiments responses were classified ac- -4 10% Pile dia.
    cording to their cyclic failure characteristics into three
    groups: stable, metastable and unstable. Cyclic failure -2 Metastable
    was identified in any test where: (i) accumulated dis- 1mm/104 cycles
    0
    placements (s) reached 10% of the pile diameter (i.e. Stable
    3.6mm); or (ii) displacement rates (ds/dN) showed a
    2
    sharp increase (i.e. d2s/dN2 rose markedly). Displace- 0 200 400 600 800 1000
    ment rates (ds/dN) are considered slow if less than Cycles, N
    1mm/104 cycles, and fast if more than 1mm/100 cy-
    cles. The responses were then classified as: Figure 6: Examples of displacement cycle trends for stable,
    metastable and unstable tests
    x stable, if no failure develops before N = 1000,
    with slow and reducing rates of permanent Nf= Nf = number of cycles to failure
    displacements; 1.0 1

    x unstable, if failure occurs with N < 100; and

    y
    wa
    o
    metastable, if failure develops with 1000 > N >

    Tw
    x 0.8
    100, or if permanent displacement rates fail to

    y
    wa
    e
    On
    stabilise at slow values.
    Qcyclic/QT

    0.6 Unstable
    Examples of the behaviour seen during the cyclic 1
    5
    tests are shown in Figure 6. The distribution of the 10
    10 4
    0.4 4
    piles cyclic responses in a cyclic stability interaction 100 170 66
    diagram based on the normalised amplitude and 500
    500 Meta-Stable
    mean values of cyclic loading is summarised in Fig- 0.2
    1000
    ure 7. The diagram extends that introduced for the >1000
    Dunkirk field tests by Jardine and Standing (2000), Stable
    and further details are given by Tsuha et al. (2012). 0.0
    -0.2 0.0 0.2 0.4 0.6 0.8 1.0
    Qmean/QT
    3.2 Effective stress paths during cyclic tests Figure 7: Shaft stability diagram for phase 1 cyclic tests on
    Details of the effective stress paths deduced from the ICP1 to ICP4 (Tsuha et al., 2012)
    measurements made of radial and shear stresses on
    the mini-ICP interface during cyclic loading are pre- Figures 9 and 10 show the local interface stress paths
    sented by Tsuha et al. (2012). Examples of the effec- developed along the pile under one- and two-way
    tive stress paths followed on the pile surface during metastable cyclic loading, respectively. All paths ap-
    stable, metastable and unstable tests are given in proach the interface failure envelopes as cycling con-
    Figures 811. Figure 8 shows the interface stress tinues, either asymmetrically under OW loading, or
    paths, followed by the three clusters at the sand-pile more symmetrically in the TW tests. The milder OW
    interface during stable loading. Following paths that metastable test (Figure 9) shows a pattern that is
    resemble those in low-amplitude, constant volume or broadly similar to the stable test, except that its final
    constant normal stiffness (CNS) simple shear tests cycles engage the = 27 limit for interface shear
    (see Dejong et al., 2003), the radial stresses slowly (Yang et al., 2010), leading to the onset of local slip.
    reduced (with the stress paths migrating to the left) However, the more severe TW test developed a dif-
    as cycling continued, indicating a tendency towards ferent butterfly wing effective stress pattern in
    contraction. In this case, the test halted before the ef- which larger slip displacements generated dilatant
    fective stress paths reached the static interface shear loading stages are followed by sharply contractive
    failure envelope as established by Yang et al. (2010). unloading phases.

    283
    200 Leading A 200 Leading A
    Following B G'=27o Following B G'=27o
    Trailing C Trailing C
    Shear stress Wrz (kPa)

    Shear stress Wrz (kPa)


    100 100

    0 0

    -100 -100

    Direction of
    -200 radial stresses -200 Direction of
    radial stresses

    0 100 200 300 400 500 0 100 200 300 400 500
    Radial stress Vr (kPa) Radial stress Vr (kPa)

    Figure 8: Interface shear versus radial stress path plots for cy- Figure 10: Interface shear versus radial stress path plots for
    clic loading test ICP4-OW1 (stable) cyclic loading test ICP4-TW1 (metastable, becoming unstable)

    200 Leading A 200 Leading A


    Following B
    G'=27o Following B G'=27o
    Trailing C Trailing C
    Shear stress Wrz (kPa)

    Shear stress Wrz (kPa)

    100 100

    0 0

    -100 -100

    Direction of Direction of
    -200 radial stresses -200
    radial stresses

    0 100 200 300 400 500 0 100 200 300 400 500
    Radial stress Vr (kPa) Radial stress Vr (kPa)

    Figure 9: Interface shear versus radial stress path plots for cy- Figure 11: Interface shear versus radial effective stress path
    clic loading test ICP2-OW3 (metastable) plots for the cyclic loading test ICP2-TW1 (unstable)

    The change points where the contractive behaviour The unstable effective stress paths illustrated in Fig-
    switches to become dilatant fall on the interface ure 11 show broad similarities with those in Figure
    phase transformation line described by Tsuha et al. 10 for the high-level TW metastable cycles. The
    (2012). They also discuss the effective stresses de- principal differences relate to the rate at which the
    veloped within the surrounding sand mass. paths progress to meet the static interface shear fail-
    ure envelope and, subsequently, phase transforma-
    Close inspection of Figures 9 and 10 shows the tion. The unstable TW cyclic effective stress paths
    tests follow a classical, top-down, cyclic progres- moved sharply to the left soon after cycling started,
    sive failure process. Shaft resistance instability reducing the radial effective stresses. Local interface
    starts from Clusters C and B, and their effective slip started as an early stage. As with the higher cy-
    stress paths approach the failure line and exhibit clic level metastable tests, the local interface stress
    contractive/dilative behaviour. However, Cluster A paths underwent interface phase transformation and
    remains within the initial contractive zone of be- climbed the interface failure line during both for-
    haviour. ward and reverse pile slip stages, collapsing after

    284
    each to develop butterfly wing patterns. In most with the cyclic interaction diagram shown in Figure
    cases, the failure was nearly symmetrical. 7 and the capacity trends listed in Table 4, the main
    outcomes are as follows:
    Tsuha et al. (2012) give further analysis of the sand-
    x Large numbers of low level stable cycles can
    shaft interface effective stress paths and those devel-
    lead to modest (up to 20%) gains in shaft ca-
    oped in the sand mass. They also link the stable, me-
    pacity.
    tastable and unstable styles of response to the onset
    x Unstable cycling leads to marked reductions
    of different stages of kinematic yielding in the sand.
    in capacity after relatively few cycles.
    When making this connection, they refer to the ex-
    x Metastable cycling leads to outcomes that
    perimentally based framework set out by Kuwano
    span between these extremes. The OW tests,
    and Jardine (2007). In addition, their interpretation
    with Qcyclic = Qmean reported in Figure 12, in-
    of stress path probing tests on silica sands is compa-
    dicate that the neutral loading level (where
    rable to the NE34 sand employed for the reported
    cycling neither improves nor degrades capac-
    model pile tests.
    ity) falls around the Qcyclic/QT = 0.25 level.
    3.3 Effects on shaft capacity
    As noted earlier, load cycling could either improve 4. Conclusions
    pile capacity, or degrade shaft resistance sharply.
    This paper has reported axial cyclic loading tests on
    The conditions under which the different styles ap-
    intensively instrumented model displacement piles
    plied were identified in Figure 7. This interaction
    installed in large pressurised calibration chamber
    diagram was developed principally from load
    filled with medium dense NE34 silica sand. The key
    controlled tests. The high-level displacement
    points to emerge from the first phase of tests are that
    controlled experiments also provided relevant in-
    three different styles of cyclic response have been
    formation, but their paths tracked across the load-
    identified stable, metastable and unstable and re-
    defined space. This reflected changes in the cyclic
    lated to the global degree of cyclic stability. The cy-
    stiffness of the piles and, in tests involving compres-
    clic load combinations under which the three styles
    sion, load transfer to the toe. As noted by Tsuha et
    apply have been identified in a non-dimensional cy-
    al. (2012), the diagram developed from their calibra-
    clic stability interaction diagram. This diagram is
    tion chamber model tests is broadly similar to that
    broadly similar to that derived from large scale field
    derived from large-scale field tests in medium dense
    tests in silica sands.
    silica sand by Jardine and Standing (2000).
    The instrumentation deployed allowed the effective
    40 ICP1-OW1 (MS) stress paths developed along the pile shaft and
    ICP2-OW1,OW2 (S)
    OW3 (MS)
    within the sand mass at different distances from the
    30 ICP3-OW1 (US) shaft to be followed during cyclic loading. Finally,
    ICP4-OW1 (S)
    20 ICP4-OW2 (MS) the local interface effective stress paths developed
    during cycling followed three styles that correlated
    10 Interpreted trend with the cyclic loading parameters. This revealed the
    'QT/QT(%)

    0
    local mechanical behaviour of the pile-sand interface
    and the sand mass.
    -10
    A second phase of testing, which involves many
    -20
    more cyclic experiments, is currently underway with
    -30 the same equipment.
    -40
    Acknowledgments
    0.0 0.2 0.4 0.6 0.8 1.0
    Qcyclic/QT The authors gratefully acknowledge the support of
    Figure 12: Summary of effect cyclic loading on tensile capacity Shell UK; the UK Health and Safety Executive
    (HSE); the UK Engineering and Physical Sciences
    Figure 12 shows the particular effect of one-way ax- Research Council; Total France; Centre National de
    ial cyclic loading on tensile capacity as summarised la Recherche Scientifique (CNRS); the French Pro-
    earlier by Foray et al. (2010). Taken in combination gramme ANR SOLCYP; UK Royal Society; and

    285
    Natural Science Foundation of China (No. Karlsrud K, Nadim F and Haugen T. (1986). Piles in
    51011130162). The authors also thank S Ackerley, clay under cyclic axial loadingfield tests and
    A Bolsher, C Dalton, M Emerson, F La Malfa, B computational modelling. Proc, 3rd Int. Conf.
    Rey and JB Toni for their contributions. Numerical Methods in Offshore Piling, Nantes,
    France.
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    Malaysia (IEM), vol. 1, 447452. cyclic loading. Proc Intl Symp Deformation Char-
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    shore Tech. Conf., Houston, USA. structure sous solicitations cycliques; Application
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    286
    TEMPERATURE EFFECTS ON LABORATORY STRENGTH
    MEASURED ON SOFT CLAYS SAMPLED IN DEEPWATER AND
    COLD ENVIRONMENTS
    T Lunne and CS Gue*
    Norwegian Geotechnical Institute, Oslo, Norway
    *Also NGI-G&P, Malaysia

    S Perkins and M Selvig


    Montana State University, United States

    Abstract
    In the Norwegian Sea, sea-bottom temperatures can be as low as 1.9C in water depths greater than 1000m.
    In other deepwater areas, such as the Gulf of Guinea and the Gulf of Mexico, sea-bottom temperatures can be
    as low as 5C. However, the standard practice up to now has been to carry out laboratory tests at room tem-
    perature (i.e. 20C). Previous studies have indicated that testing at room temperature can result in laboratory
    measured strengths 1020% lower than tests at in situ temperatures. Results from extensive parallel labora-
    tory testing (at room temperature and at in situ temperature) on eight different types of soft clay are presented
    here, covering intact and remoulded specimens with the range of plasticity of 16120%. This study quantifies
    the temperature effects on testing and storing of deepwater samples. The investigated soil parameters concen-
    trate on the undrained shear strength (su) and preconsolidation stress (pc). All the parallel tests showed that su
    increased on average of 2% to 40% when tested at cold temperature. With one exception, where a similar in-
    crease in measured pc of 9% to 38% was observed. Recommendations are given for procedures for testing,
    transporting and storing deepwater samples to arrive at the closest possible representative soil design parame-
    ters for in situ conditions.

    1. Introduction with the purpose of quantifying the temperature ef-


    fects on testing and storing of deepwater samples.
    In the Norwegian Sea, sea-bottom temperatures can The investigated soil parameters include su, pc and
    be as low as 1.9C in water depths greater than coefficient of consolidation (cv). Another main ob-
    1000m. Due to the salt content of the pore water jective of the study has been to give recommenda-
    (typically about 30g/l), the soil does not freeze. In tions for procedures for testing, transporting and
    other deepwater areas, such as the Gulf of Guinea storing deepwater samples to arrive at realistic and
    and the Gulf of Mexico, sea-bottom temperatures representative soil design parameters for in situ con-
    can be as low as 5C. ditions.

    The standard practice up to now has been to carry 2. Summary of Previous Work
    out laboratory tests on specimens taken from the
    seabed at room temperature (i.e. 20C). Previous The possible testing error introduced by conven-
    studies (e.g. Perkins and Sjursen, 2009) have indi- tional sample storage and testing practices for cer-
    cated that testing specimens at room temperature can tain seafloor soils experiencing a temperature dif-
    result in laboratory measured undrained shear ference as great as 20C between the in situ and
    strength (su) and preconsolidation stress (pc) of 10 laboratory room temperature has been recognised
    20% lower than testing at in situ temperatures. since the 1960s (Plum and Esrig, 1969). However,
    most studies dating back to then were focused on
    In connection with field developments in deep wa- the effects of elevated temperatures associated with
    ter, the use of low values of su and pc can lead to various industrial applications. This section sum-
    foundation solutions that are unnecessarily conserva- marises currently available studies, concentrating
    tive and costly. The Norwegian Geotechnical Insti- on the effects of cold temperature, and suggests an
    tute (NGI) and Montana State University (MSU) has explanation for the mechanisms leading to these ef-
    carried out a joint industry research project (JIP) fects.

    287
    2.1 Effect of cold temperature on undrained shear
    strength and preconsolidation stress
    Mitchell (1964) performed isotropically consoli-

    Pc/ pc @ 20 oC or V1/ V1 @ 20oC


    dated undrained triaxial compression (CIUC) tests
    on remoulded San Francisco Bay mud (clay) at tem-
    peratures ranging from 4.7C to 31.4C. Specimens
    were prepared at room temperature by mixing the
    soil to a water content of 37% and compacting
    specimens by kneading compaction. Specimens
    were saturated in the triaxial device using backpres-
    sure and then consolidated and sheared at the test o

    temperature. Slightly lower water contents were ob-


    Figure 1: Variation of normalised preconsolidation stress, or
    served for tests at increasing temperature, which re- vertical effective stress with temperature (Leroueil and
    sulted from greater expulsion of water during con- Marques, 1996)
    solidation at the higher temperatures. During shear,
    excess pore water pressure was approximately 8% 2.2 Possible consolidation effect caused by increase
    lower at the peak when temperature was decreased in temperature
    from 20C to 4.7C, and undrained shear strength In general, temperature has two major effects on
    was approximately 9% greater. soils, namely: (a) thermal expansion of solid parti-
    cles and pore water, and (b) thermally induced modi-
    Perkins and Sjursen (2009) performed consolidated fication of the strength of contacts between particles.
    anistropically undrained compression (CAUC) tests Mitchell (2005) provides a detailed explanation of
    on intact specimens of Troll clay. The clay was at the combined effect of these phenomena on the tem-
    an in situ temperature of 7 C when sampled. Dur- perature-volume-effective stress behaviour of soils
    ing transport and handling, samples experienced in drained or undrained conditions. Under drained
    variation in temperatures ranging from 10C to conditions, water is expelled as temperature in-
    20C. Samples were stored in a humidity room at creases. The effect of weaker particle contacts due to
    7C until testing and were allowed to acclimate to higher temperatures is partially offset by the
    the test temperature for one day prior to testing. strengthening effect of lower void ratio.
    Tests were performed at room temperature and at
    0C. Undrained shear strength was seen to be be- Leroueil and Marques (1996) summarised the results
    tween 8% and 21 % greater for the cold tempera- of CIUC and CAUC tests at various temperatures
    ture tests. (see Figure 2). They showed that for undrained con-
    ditions, pore water pressure increases lead to a de-
    A number of studies exist showing the effect of tem- crease in the effective stress. For drained tests, a
    perature on the preconsolidation stress of clays (see temperature increase results in the drainage of water
    Figure 1). The majority of these studies involved or consolidation of the clay. These results showed
    temperatures both above and below room tempera- that a temperature increase created a pore water
    ture. Leroueil and Marques (1996) summarised these pressure increase and consolidation. A temperature
    studies by plotting pc (or the effective stress at a decrease caused a pore water pressure decrease and
    given void ratio) normalised by the pc (or the effec- expansion of the clay. Although the temperature
    tive stress at a given void ratio) measured at 20C range shown in Figure 2 is above room temperature,
    against test temperature. These results are shown in it is expected that a similar effect will be seen for
    Figure 1, where the results from Perkins and Sjursen temperatures in the range zero to room temperature.
    (2009) have been added. The results show apprecia-
    ble data scatter, but indicate that preconsolidation
    stress measured at near 0C can be about 20% higher
    than that measured at 20C.

    Several studies have reported on the effect of cold


    temperature on the coefficient of consolidation and
    have shown conflicting results. Laguros (1969)
    showed the coefficient of consolidation to increase
    from 6% to 64 % as temperature decreased from
    21C to 1.7C. Perkins and Sjursen (2009) showed
    the coefficient of consolidation to decrease by ap- Figure 2: Effects of temperature changes on saturated illite
    proximately 34% as temperature decreased from under drained and undrained conditions (Leroueil and
    20C to 0C. Marques, 1996)

    288
    Table 1: Summary of clays tested

    'e/e0
    Tem-
    wc LL Ip IL OCR (sample State of
    Clay suC/Vvo perature Sampler
    (%) (%) (%) (%) ** qual- soil
    scenario
    ity)***
    Offshore
    95 0.27 Reconsti-
    Africa ~138 ~87 ~0.62 2 N/A i), ii), iii) N/A
    115 0.37 tuted
    (OA)*
    Norwegian
    28 0.31 Reconsti-
    Sea 1 ~36 ~16 ~0.66 2 N/A i), ii), iii) N/A
    33 0.41 tuted
    (NS1)*
    Norwegian
    51 30 0.62 Reconsti-
    Trench 2 ~60 ~1.14 2 N/A i), ii), iii) N/A
    79 39 0.81 tuted
    (NT2)*
    Offshore
    80 85 40 0.54 Reconsti-
    Egypt 1 ~1.33 2 N/A i), ii), iii) N/A
    160 106 110 0.70 tuted
    (OE1)*
    Onsy, Sherbrooke sampler
    67 32 1.2 0.38 0.013
    Norway ~60 ~1.08 Intact iv), v) (Lacasse et al.,
    71 40 1.3 0.46 0.039 (1)
    (OS)* 1985)
    Norwegian
    57 58 35 1.6 0.45 0.011 iv), v), Deep water sampler
    Trench 1 ~1.08 Intact
    73 61 39 3.3 0.73 0.030 (1) vi) (Lunne et al., 2006)
    (NT1)
    Norwegian PROD 44mm
    51 1.3 0.36 0.024 i), ii) v),
    Sea 2 (NS2) ~60 ~35 ~1.29 Intact sampler (Kelleher
    89 1.8 0.48 0.095 (1-3) vii)
    et al., 2008)
    Offshore Drilling mode
    Angola 76 108 45 1.5 0.38 0.029 75mm piston sam-
    ~0.60 Intact ii), viii)
    (AG) 96 121 120 1.9 0.41 0.047 (1-2) pler (ISSMGE,
    2005)
    * Clays are carried out within the JIP. *** Sample quality is evaluated after i) Stored & tested at 0.5C
    The others are tested in connection criteria presented by Lunne et al. ii) Stored & tested at 21C
    with consulting projects at NGI. (1997a), for OCR 12 iii) Stored at 21C & tested at 0.5C
    1. 'e/eo < 0.04, very good to excellent iv) Stored & tested at 7C
    ** OCR at the tested range 2. 0.04 < 'e/eo < 0.07, good to fair v) Stored at 7C & tested at 21C
    3. 0.07 < 'e/eo < 0.14, poor vi) Stored at 21C & tested at 7C
    4. 'e/eo > 0.04, very poor vii) Stored at 7C & tested at 0.5C
    viii) Stored & tested at + 5C

    3. Clays Tested tested by CAUC triaxial and oedometer tests at in


    situ and room temperatures.
    Altogether tests on eight clays are included in this
    study, as listed in Table 1. Specifically for the JIP, Table 1 summarises the key characteristics of the
    four clays were reconstituted at a temperature of soil properties and the test temperature for each clay
    0.5C, and high-quality block samples were obtained included in this study. For the four reconstituted
    at NGIs test site in Onsy, where temperature was soils tested specifically within the JIP, the sample
    about 7C. For all these clays, the testing environ- quality has no influence on the results. For Onsy
    ment was well controlled (described below). clay, also tested within the JIP, high-quality samples
    were obtained using the Canadian Sherbrooke sam-
    In connection with various consulting projects, NGI pler. As can be seen from Table 1, the sample qual-
    had the opportunity to test several offshore clays ity is in the category 1 very good to excellent. Ta-
    with varying in situ temperatures, as shown in Table ble 1 also gives reference to the type of sampler used
    1. For these clays, the testing environment was not for the obtaining clays tested within consulting pro-
    as well controlled as for the other clays, and not all jects at NGI. The samples from the Norwegian
    tests were at the same depth. However, these tests Trench 1 (NT1) was also of very good to excellent
    are valuable as they indicate what might be achieved quality, while for the other 2 clays the sample qual-
    in a practical consulting project. All clays were ity ranged from very good to excellent to poor.

    289
    3.1 Laboratory testing programme, procedures and x stored at room temperature and tested at low
    equipment temperature; and
    The four sets of tests on reconstituted material were x stored at low temperature and tested at room
    carried out at MSU, while the remaining tests were temperature.
    done at NGIs laboratory in Oslo. The constant rate The purpose of including the two last scenarios was
    of strain consolidation (CRSC) tests followed the to check if a consolidation effect due to temperature
    procedures described by Sandbkken et al. (1986). cycling, as shown by Leroueil and Marques (1996)
    The rate of strain was controlled so that the pore (see section 2.2) had any practical effect on the test
    pressure measured at the bottom of the sample never results.
    exceeded 15% of the total applied stress. The CAUC
    tests at NGI followed the procedures described by 4. Laboratory Test Results
    Berre (1982). The CAUC tests at NGI were carried
    out on specimens consolidated to the best estimate
    A typical example of the stress-strain curves and
    of in situ stress conditions. The testing at cold tem- stress paths from the parallel CAUC tests of intact
    peratures at NGI was performed in a so-called envi-
    undisturbed clay specimens at various temperature
    ronmental room where the temperature can be con- scenarios is shown in Figure 3. Figure 3a shows the
    trolled to 0.25qC.
    results of the clay specimens from Norwegian Sea 2
    (NS2) in terms of the shear stress versus axial strain
    Reconstituted soils tested at MSU were formed by
    for sets of tests at various temperature scenarios. It
    mixing the soils to a water content equal to ap-
    can be observed that the peak shear stress value for
    proximately 1.5 times the soils liquid limit. The soil
    the set of tests where the specimens were stored and
    slurry was placed in tubes and consolidated in tested at 0.5C is higher by 16% compared to the test
    increments to a vertical effective stress of 60kPa.
    carried out at 21C. Meanwhile, the peak shear
    Consolidation occurred over a period of four months
    stress value for the set of tests where the specimens
    with the tubes contained in a cold chamber main-
    were stored at 7C and tested at 0.5C is higher by
    tained at 0.5qC. Specimens for testing were then ob-
    9% compared to the test carried out at 21C. Simi-
    tained by extruding soils from the tubes, which was
    larly, Figure 3b shows the results in terms of the
    also done in the cold chamber.
    stress paths from the sets of tests at various tempera-
    ture scenarios.
    For the CAUC triaxial testing, it was found neces-
    sary to pre-soak the membranes in salt water (30g/l
    salt). Nevertheless, it was found that for the tests that
    lasted more than 3-4 days and with low temperatures
    < 1C, the membranes experienced a stiffening ef-
    fect, which in some cases seriously influenced the
    test results. This finding triggered a comprehensive
    membrane testing programme with the purpose of
    defining a limiting set of testing procedures to avoid
    membrane stiffening effects.

    This membrane testing programme is ongoing at the


    time of preparing this paper, and the results and con-
    clusions will be published in a future paper. The re-
    sults of all tests carried out so far have been scruti-
    nised to make sure that only reliable results are
    included presently. One conclusion was that tests
    with a duration of more than three to four days could
    have problems. Therefore, all results included here
    (see summary in Table 1) were based on tests having
    a duration of less than two to three days.

    Basically two, three or four types of temperature


    scenarios were included in the testing programme
    for each clay:
    x stored and tested at a low temperature
    (0.5C, 5.0C or 7.0C);
    x stored and tested at room temperature Figure 3: (a) Stress-strain curves; and (b) stress paths from
    (21C); offshore Norwegian Sea 2 clay

    290
    Figure 4a shows the results of the reconstituted clay 27% for the test carried out at +0.5C compared to
    specimens from offshore Africa (OA) in terms of the the test carried out at 21C. Similarly, Figure 5b
    shear stress versus axial strain for sets of tests at shows the results in terms of the axial strain versus
    various temperature scenarios. Here, the temperature effective axial stress in linear scale for the same tests
    effects due to the sample storage temperature can be at various temperature scenarios.
    evaluated. It can be observed that the peak values for
    the specimens tested at 0.5C, which were stored at
    0.5C and 21C, indicated very similar peak shear
    stress values. They are higher by 23% and 26%, re-
    spectively, compared to the test stored and carried
    out at 21C. Similarly, Figure 4b shows the results in
    terms of the stress paths from the same tests. These
    results indicate that any effects of temperature
    change during storage are small compared to the
    change in temperature during the test itself.

    30

    (b)

    20

    10

    Figure 5: Oedometer (a) stress-strain curves semi-log scale;


    and (b) linear scales with coefficient of consolidation from off-
    0 shore Norwegian Sea 2 clay
    0 10 20 30 40 50
    Effective Mean Stress, p' = ( a' + r')/2 (kPa)
    Figure 6a shows the incremental loading (IL) oe-
    dometer tests results of the reconstituted clay speci-
    Figure 4: CAUC triaxial (a) stress-strain curves and (b) stress
    paths from reconstituted Offshore Africa clay
    mens from OA. This is given in terms of the axial
    strain versus effective axial stress in semi-
    Figure 5 shows a typical example of the stress-strain logarithmic scale for sets of tests at various tempera-
    curves in semi-logarithmic and linear scales from the ture scenarios. It can be observed that the pc values
    parallel CRSC oedometer tests of in situ undisturbed computed from the tests for the specimens tested at
    clay specimens at various temperature scenarios. 0.5C, which were stored at 0.5C and 21C are rela-
    Figure 5a shows the results of the clay specimens tively similar. They are higher by 18% and 19%, re-
    from NS2, in terms of the axial strain versus effec- spectively, compared to the test stored and carried
    tive axial stress in semi-logarithmic scale. It can be out at 21C. Similarly, Figure 6b shows the results in
    observed that the pc value computed from the set of terms of the axial strain versus effective axial stress
    tests where the specimens were stored at 0.5C is in linear scale for sets of tests at various temperature
    higher by 9% for the test carried out at 0.5C com- scenarios. These results again indicate that any ef-
    pared to the test carried out at + 21C. Meanwhile, fects of temperature change during storage are small
    the pc value computed from for the set of tests compared to the change in temperature during the
    where the specimens were stored at 7C is higher by test itself.

    291
    Figure 7: Undrained shear strength from CAUC triaxial tests
    and CPTU from Offshore Norwegian Sea 2

    Estimated Preconsolidation Stress, p'c, kPa,


    (%)

    0 25 50 75 100 125 150 175 200


    0
    a
    Axial Strain,

    1
    2
    3
    4
    Depth below seabed, m

    5
    6
    7
    Figure 6: Oedometer (a) stress-strain curves semi-log scale;
    and (b) linear scales from reconstituted Offshore Africa clay 8
    9
    Figure 7 shows the undrained shear strength as
    measured in all the parallel CAUC triaxial tests (one 10
    at the cold temperature and one at the room tempera- 11
    ture) versus depth from NS2. The profiles of su (in- 12
    cluded in Figure 7) were interpreted from two 13
    CPTUs near the sampling location. An Nkt factor of
    14
    13 was used in the original soil investigation, which
    was found to correspond well with su as measured in 15
    CAUC triaxial tests at the standard room tempera-
    Figure 8: Preconsolidation stress from CRSC oedometer tests
    ture. and the estimated preconsolidation stress from CPTU from off-
    shore Norwegian Sea 2
    The continuous su profile derived from the CPTU
    should give a realistic picture of the variation of su Figure 8 shows the pc, as interpreted by the
    with depth. The CAUC triaxial tests carried out at Casagrande method, versus depth from NS2. The pc
    0.5C clearly indicate a higher su compared to the versus depth interpreted from the CPTU profile is
    tests carried out at 21C, by about 924%. It can be also included in this figure. According to Lunne et
    seen that the pair of parallel tests at around 12.5m is al. (1997b) the most consistent correlation between
    only marginally higher by about 2%. However, there CPTU results and pc is pc = k * (qt vo) where k is
    is some uncertainty in this comparison due to varia- an empirical factor usually in range 0.20.35, de-
    tion in sand content. The samples around this depth pending on clay type (e.g. Chen and Mayne, 1996;
    showed occasional pockets of sand which may have Lunne and Powell, 2005).
    affected the determination of the su value. Such
    variation in su is not uncommon for an in situ su pro- For the soft clay investigated here, a value of
    file. k = 0.24 was found to work well. The measured cone

    292
    resistance (qt) is corrected for pore pressure effects in pc is due to the variation of in situ soil conditions,
    (e.g. Lunne et al., 1997b), and vo is the total vertical as well as the subjective nature of the interpretation
    stress. It can be observed that the pc computed from of pc from the oedometer test results. Figure 9b also
    tests carried out at 0.5C are higher than the tests shows a decrease in pc from the tests carried out at
    carried out at 21C, in the range of 2527%. the colder temperature compared to those at the
    room temperature for the NT2 clay. The reason for
    5. Evaluation of Results this apparent anomalous behaviour has not been
    found. In the following evaluations of results, pc
    Figure 9a shows the ratio of the normalised values for NT2 clay is disregarded.
    undrained shear strength of the tests carried out at
    the colder temperature with those at the room tem-
    perature from all the tested clays described earlier.
    Similarly Figure 9b shows the ratio of the normal-
    ised preconsolidation stress interpreted by the
    Casagrande method from the tests carried out at
    colder temperature with those at room temperature.
    Normalisation of su and pc with the vertical effec-
    tive stresses are used to reduce the strength or stress
    differences caused by depth differences in the pairs
    of parallel tests at room temperature and colder tem-
    peratures. In Figure 9a, it can be seen that the in-
    crease in su from the tests carried out at the colder
    temperature compared to those at the room tempera-
    ture range, is approximately from 2% to 33%. The
    large variation in the increase in su is mainly due to
    the variation of in situ soil conditions, in particular
    the Norwegian Sea Clay 2 (NS2), where the increase
    in su range is approximately from 2% to 24%. This is
    discussed in more detail later.

    The reconstituted clays, which consist of clay sam-


    ples from Offshore Africa (OA), Norwegian Sea 1
    (NS1), Norwegian Trench 2 (NT2) and Offshore
    Egypt 1 (OE1), show a smaller scatter in the in-
    crease in su compared to the in situ undisturbed clay
    specimens. This is presumably due to the more con-
    sistent reconstituted clay specimens which elimi-
    nates the variations of in-situ soil conditions. The in-
    crease of su due to the lower test temperature from
    OA, NS1, NT2 and OE1 clays are in the approxi-
    mate ranges of 2326%, 2831%, 2730% and 16
    30%, respectively. The scatter of increase in su is
    slightly larger for the OE1 clay because the clay
    specimens contained occasional small pebbles that
    needed to be removed and patched during sample
    trimming. This may have also led to small changes
    in strength behaviour from test to test. However,
    even though the results from the undisturbed clay
    specimens had more scatter and were not as consis-
    tent as the results of the reconstituted specimens due Figure 9: Increase in (a) normalised undrained shear strength
    to the variation of soil properties with depth, it is and (b) normalised preconsolidation stress
    important to note that all tests from this study have
    consistently indicated higher su for tests carried out The coefficient of consolidation (cv) and the coeffi-
    at the colder temperatures. cient of permeability (k) for all the oedometer tests
    at the colder temperature were consistently lower
    Figure 9b shows that the increase in pc from the compared to those at the room temperature. There-
    tests carried at the colder temperature compared to fore, the temperature has an effect on the soil per-
    those at the room temperature range approximately meability, in which it increases with temperature. As
    from 9% to 38%. The large variation in the increase shown by Janbu (1970), the viscosity of pore water

    293
    depends on temperature and affects the coefficient of
    permeability. According to Janbu (1970), the value
    of k at 5C is about 0.66 times the k value at room
    temperature. As described earlier, most of the testing
    at the colder temperature were carried out at 0.5C,
    while the tests for NT1 clay were carried out at 7C
    and those for AG clay were carried out at 5C. In
    order to have a better evaluation of the overall tem-
    perature effects on all the clays tested in this study,
    an attempt has been made to adjust the results to
    0.5C. For ease of interpretation they are based on
    Figure 1, where the increase in vo and pc is propor-
    tional to the change in temperature, in particular for
    the temperature range from 30C to 0C. It is there-
    fore assumed that the increase in su or pc is propor-
    tional with the increment for the low temperatures as
    in Figure 1.

    Figure 10 summarises the percentage increase in su Figure 10: Summary of increase in suC and pc with reference
    and pc with reference to 0.5C and 21C. The lower to 0.5C (clays shaded in grey were carried out within the JIP)
    values of percentage increase in su from the NS2 35
    clay are due to the uncertainties discussed earlier. In Average su
    Average p'c

    addition, they are given only half the weight com- 30

    pared to the other values when working out overall 25

    % increase in suC
    % increase in p'c
    average values for NS2 clay. Based on all the clays 20

    tested in this study, the overall average (of the aver- 15

    age increment of suc and pc of each clay) increases 10

    in su and pc, as the tests carried out at the colder 5

    temperature have been found to be 25% for su and 0


    (a)
    23% for pc. It can be observed in Figure 10 that the 10 20 30 40 50 60 70 80 90 100
    Ip (%)
    range of increase in su and pc are 240 % and 9 35

    38%, respectively. 30

    25

    Efforts have been made to investigate the influence


    % increase in suC

    % increase in suC
    % increase in p'c

    % increase in p'c

    20

    of other soil properties on temperature effects on soil 15


    strength and preconsolidation stress. Figure 11
    shows the percentage increase in su and pc for the
    10

    Average su

    tests carried out at the colder temperature as a func- 5


    (d)
    Average p'c

    tion of (a) plasticity index (Ip); (b) overconsolidation 0


    0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
    ratio (OCR); (c) water content and (d) liquidity in- IL

    dex (IL). It can be observed that there are no clear Figure 11: Summary of increase in suC and pc with reference
    trends for temperature effect to vary with Ip, OCR, to 0.5C with (a) Ip; (b) OCR; (c) water content; and (d) IL
    water content and IL. As is evident from Table 1 the (large symbols are carried out within the JIP)
    clays have a wide range in classification parameters
    and OCR. 6. Summary and Recommendations
    As mentioned in section 3, the temperature during
    Several series of parallel CAUC and CRSC tests on
    sampling (or reconstitution), storage and testing
    were more controlled for the five clays tested within soft clays have been carried out at room temperature
    the JIP, compared to the clays tested in connection (~21C) and low in situ or reconstitution tempera-
    with consulting projects at NGI. The latter clays also ture (~ 0.5C, 5C and 7C). Overall, the tests show
    had more variation in soil properties, as specimens significantly higher su and pc when tested at low
    tested at in situ and laboratory temperatures were not temperature compared to those at room temperature.
    from exactly the same depth. These differences can Tests carried out in connection with the JIP were
    explain why there are wider ranges in the percentage subject to very well controlled temperature regime
    increase in su and pc, as shown in Figures 10 and during sampling (or reconstitution), storing and test-
    11. Although more scatter in the results are shown in ing. These tests showed moderate scatter in the re-
    these clays, the increase in su is still 240% and the sults with increases in su and pc varying between
    increase in pc is 927%. 10% and 30%, when results of tests at cold tempera-

    294
    ture were corrected to 0.5C. One exception is the many useful and constructive comments. NGI re-
    pc values for one reconstituted clay, which did not ceived support from the Norwegian Research Coun-
    show an increase when tested at low temperature. cil and MSU from the US National Science Founda-
    Laboratory tests also indicated that if the specimens tion. The authors would also like to thank several
    were subject to a temperature change during storage, members of NGIs laboratory for their careful work.
    the measured pc and su values were not significantly
    different from the tests, where such a temperature References
    change during storage did not occur. However, more
    data is desirable before concluding firmly on this. Berre T. (1982). Triaxial testing at the Norwegian
    Geotechnical Institute. Geotechnical Testing
    Results of some tests carried out in connection with
    Journal 5: 317.
    NGI consulting projects are also included in this pa- Chen BSY and Mayne PW. (1996). Statistical rela-
    per. For these tests the temperature regime during tionship between piezocone measurements and
    storage were not as well controlled and the soils stress history of clays. Canadian Geotechnical
    were not as uniform. These circumstances resulted Journal 33: 448-498.
    in more scatter in the results, but the increase in su Janbu N. (1970). Gruunlag i Geoteknikk. Tapir For-
    was still 240% and the increase in pc was 927%. lag, Trondheim, Norway.
    The overall average of the increase in su and pc Laguros JG. (1969). Effect of temperature on some
    when tested at low temperature (corrected to 0.5C), engineering properties of clay soils. Effects of
    compared to testing at room temperature, were 25% Temperature and Heat on Engineering Behavior
    and 23%, respectively. of Soils, Highway Research Board, Special Report
    103. Washington, DC: Highway Research Board,
    It is concluded that there is a potential to increase in 186193.
    su and pc measured at room temperature for soft Leroueil S and Marques MES. (1996). Importance of
    clays by 1020%, if the sea-bottom temperature is Strain Rate and Temperature Effects in Geotech-
    < 7C. However, a correction should not be done nical Engineering. Measurement and Modeling
    Time Dependent Soil Behavior, Geotechnical Spe-
    unless selected site-specific tests at low temperature
    cial Publication No. 61, 160.
    have been carried out in parallel to standard tests at
    Lunne T, Berre T and Strandvik S. (1997a). Sample
    room temperature. Based on evaluation of parallel disturbance effects in soft low plastic Norwegian
    tests at room and low temperatures, a correction fac- Clay. Proc. of Symp. Of Recent Developments in
    tor may be developed. In order to avoid problems of Soil and Pavement Mechanics. Rio de Jeneiro,
    membrane stiffening in CAUC tests, the following Brasil, 81102.
    should be taken into account in the tests conditions: Lunne T, Robertson PK and Powell JJM. (1997b).
    x temperature: > 1C; Cone penetration testing in Geotechnical Practice.
    Spon Press, Taylor & Francis Group.
    x test duration: < 3 days Lunne T and Powell JJM. (2005). Use of CPTU data
    x membranes should be pre-soaked in salt water. in clays/fine grained soils. Studia Geotechnica et
    It is recommended to store and transport the samples Mechanica 27: 34.
    to be tested at low temperature at sea-bottom tem- Marques MES. (1996). Influncia da velociadade
    perature, but not below 1C. de deformao e da temperature no adensamento
    de argilas naturais. MS thesis, University of Rio
    7. Future Challenges de Janeiro, Brazil.
    Mitchell JK. (1964). Shearing Resistance of Soils
    as a Rate Process. ASCE Journal of Soil Mechan-
    In connection with deepwater foundation design, ics and Foundation Engineering Division 90: 29
    other strength related properties are needed. Contin- 61.
    ued research and development at NGI is presently Mitchell JK. (2005). Fundamentals of Soil Behavior,
    investigating temperature effects on strength anisot- 3rd Edition. New York: John Wiley and Sons, Inc.
    ropy and variations in rate of shearing. The findings Perkins SW and Sjursen MA. (2009). Effect of
    from this ongoing work will be reported in a future Cold Temperature on Properties of Unfrozen Troll
    paper. Clay. Canadian Geotechnical Journal 46: 1473
    1481.
    Acknowledgments Plum RL and Esrig MI. (1969). Some temperature
    effects on soil compressibility and pore water
    The authors would like to acknowledge the follow- pressure. Effects of Temperature and Heat on En-
    ing participants in the JIP upon which this paper is gineering Behavior of Soils, Highway Research
    based: Petrobras, Statoil, BP and the Seabed Project. Board, Special Report 103. Washington, DC:
    Dr Rune Dyvik at NGI reviewed the paper and gave Highway Research Board, 231242.

    295
    Sandbkken G, Berre T And Lacasse, S. (1986).
    Oedometer testing at the Norwegian Geotechnical
    Institute. Presented at ASTM Symposium on Con-
    solidation of Soils Laboratory Testing, Fort
    Lauderdale, Florida, USA.

    296
    INTERFACE SHEAR TESTING OF GULF OF GUINEA
    SEDIMENTS: IMPLICATIONS FOR THE DESIGN OF HOT-OIL
    PIPELINES AND SUCTION CAISSONS
    MYH Kuo and MD Bolton
    University of Cambridge, UK
    A Puech
    Fugro Offshore Geotechnics, France

    Abstract
    Interface shear tests undertaken with a Cam-shear device have been conducted on very soft clay core samples
    from the Gulf of Guinea. These tests have been completed at normal effective stresses applicable to pipelines
    and suction caissons. Pipeline tests were conducted on rusted and coated steel, and on smooth and rough
    polypropylene interface material at speeds of 0.050mm/s and 0.001mm/s. Tests relevant to suction caisson in-
    stallation and extraction were conducted on a rusted steel plate at shear rates of 1mm/s and 5mm/s. It is shown
    that the interface friction value is strongly influenced by both the shearing rate and the interface roughness,
    leading to the following conclusions. Firstly, rough and smooth interfaces produce comparable peak interface
    friction values. However, shearing on rough interfaces can produce lower residual friction values than on
    smooth interfaces. Secondly, slow shearing can produce residual interface friction values that are significantly
    higher than obtained during fast shearing. Thirdly, the apparent roughness of an interface is likely to be a
    function of the existing natural soil structure, which includes robust faecal pellets ranging in proportion from
    20% to 50% by dry mass. The paper concludes by highlighting relevant implications for the design of pipe-
    lines and suction caissons located in similar sediments.

    1. Introduction the development of soil-interface friction is therefore


    required for suction caissons installed into these
    1.1 Background deeper sediments.
    Very soft offshore sediments within the Gulf of
    Guinea present sizeable challenges for the design of A key reason for the complexity in understanding
    pipelines and suction caissons that are to be installed and interpreting the behaviour of shearing on inter-
    into these sediments. Undrained shear strength pro- faces is the variability of the structure of natural
    files of these sediments typically exhibit high values sediment, which is linked to its origins. These soils,
    at shallow depths, corresponding to what is com- as with many other offshore sediments, have been
    monly referred to as a crust. Peak strength values processed by many generations of biological
    of the crust may exceed 15kPa at a depth of 1m be- agents, including bacteria and burrowing inverte-
    fore reducing to normally consolidated strengths by brates (Kuo, 2011). These agents in turn influence
    2m depth. The presence of the crust influences the the rate of chemical alteration that might occur over
    design of pipelines by limiting the self-embedment time. The sediments that are located at a greater
    to a depth of 0.20.3m. During operation, thermally depth within the soil profile would at one time have
    induced cycling of the pipelines due to hot product been exposed to similar biological and chemical
    flowing through initially cold pipelines causes pipe agents that currently modify the shallower sedi-
    walking and ratcheting in the axial direction, and ments. Thus, the interface friction issues affecting
    pipe buckling in the lateral direction. Therefore, the suction caisson installation may be similar to those
    safe design of pipelines relies on predicting the inter- for shallow pipelines.
    face friction that develops during shearing between
    the pipeline coating and the seabed into which the Investigations undertaken by White et al. (2011)
    pipe is embedded. Furthermore, Colliat et al. (2010) illustrate the behaviour of a section of long-pipe
    highlighted the potential for unexpectedly rapid shearing axially against West African soils. These
    penetration of suction caissons installed into West tests demonstrate that for the particular test pipe
    African sediments, the cause of which at present is used, which had a relatively smooth interface (3Pm),
    poorly understood. A similar need for understanding the interface friction value (P was strongly influ-

    297
    enced by the induced rate of shearing. Drained fric- Samples were wet-sieved following Kuo (2011) and
    tion values greater than 0.7 were measured for slow Kuo and Bolton (2011) to determine the abundance of
    tests, whereas undrained shearing induced friction faecal pellets present in the samples.
    values between 0.2 and 0.5 that fell as low as 0.1 for
    very fast tests were observed. 2. Series 1 Tests

    The mechanisms that are involved during shearing 2.1 Interface materials
    against interfaces of different roughness are, how- A representative steel plate was used for these inter-
    ever, currently poorly understood. In this study, vari- face tests. One side was coated (painted) to produce
    ous pipeline and suction caisson materials were a smooth surface, while the other side was left un-
    tested to investigate the influence of roughness on coated to allow oxidisation to occur, thus producing
    peak and residual interface friction values. This pa- a rough surface. A profilometer was used to measure
    per provides explanations for the observed friction the representative roughness of both sides. This
    values based on a consideration of the micro- analysis determined that the coated surface exhibited
    structural interaction between the sheared soil and a consistent, large-scale waviness, which was also
    the interface material. noticeable under unaided, visual inspection. These
    undulations were approximately 80Pm from peak to
    1.2 Test methodology trough over a 6mm wavelength. At a microscale,
    The samples that are presented in this paper have however, the coated interface also exhibited a micro-
    been sourced from a number of deepwater locations roughness of approximately 2Pm, corresponding to a
    within the Gulf of Guinea, offshore West Africa, us- relatively smooth surface. As the uncoated surface
    ing box core and Stacor equipment to obtain high- was allowed to oxidise, some areas exhibited prefer-
    quality samples (Borel, 2002). The Cam-shear de- ential corrosion, producing a rougher interface than
    vice, described in Kuo (2011), was used to undertake other areas. The measured roughness therefore
    interface shear tests on these samples in three test se- ranged from more than 100Pm to less than 10Pm.
    ries.
    2.2 Series 1 results
    Series 1 tests were undertaken on a Stacor sample The Cam-clay model (Schofield and Wroth, 1968)
    (84mm in diameter) at eight depths. Two vertical ef- has been used as a framework to aid interpretation of
    fective stresses of 3kPa and 6kPa, relevant to pipe- the data. This has been conducted using a friction
    lines and shallow penetration depths of suction cais- factor (P*), defined as soil-soil shear strength di-
    sons, were considered. Tests were run at 0.050mm/s vided by normal stress, irrespective of whether the
    (fast) and 0.001mm/s (slow) on a rusty steel plate process of shear had induced excess pore pressures
    and a coated steel interface, which was representa- in the sample. Based on Kuo et al. (2010) with a
    tive of pipeline and caisson interfaces. Series 2 tests comparable sediment, a value of P* = 0.6 has been
    were undertaken on smaller-diameter core samples. assumed for fully drained, soil-soil shearing of these
    These samples were from depths of between 1.0m high plasticity clays. An adhesion factor (D , defined
    and 1.5m, and were sheared on polypropylene inter- as the shear strength observed for interface sliding
    faces that had been manufactured to roughness val- (maximum or residual) divided by the maximum
    ues of 5m and 100m. Similar to Series 1, the tests soil-soil shear strength, was taken to be 0.8 (again
    were run at 0.050mm/s and 0.001/s. Series 3 tests based on Kuo et al., 2010).
    were completed on Stacor samples from 8m to 15m,
    under normal effective stresses of 16kPa to 30kPa. Figure 1 presents the peak strength results from tests
    These tests were specific to suction caisson installa- run on coated and uncoated interfaces. By applying
    tions, with significantly higher shear rates of 1mm/s the assumed adhesion factor of D= 0.8, P is now
    and 5mm/s, corresponding to installation under suc- taken to be P= 0.8P*, or 0.48. The key points of this
    tion and self-weight, respectively. figure are as follows:

    Series 2 samples were extruded and trimmed into x An upper bound peak strength for the un-
    45mm-diameter PTFE shear boxes, whereas Stacor coated interface Wmax,UB) is approximated by
    samples were extruded and trimmed into 70mm- 0.8W*max,mean for tests undertaken on virgin
    diameter PTFE shear boxes. All samples were ad- samples at 0.05mm/s, where W*max,mean is de-
    hered to the interface material using silicone sealant fined by the Cam clay yield surface passing
    prior to consolidation, permitting only upwards drain- through the arithmetic mean of V'c found
    age through porous filter paper and the top cap. Once when undertaking soil-soil tests at 0.05mm/s.
    consolidated, the sealant was removed before shearing x Likewise, an upper bound for the coated in-
    against the interface material. The Cam-shear permits terface is approximated by 0.8W*max,mean for
    split-plane shearing for soil-soil strength determina- tests undertaken on previously sheared sam-
    tion, which was undertaken after interface testing. ples tested at 0.001mm/s.

    298
    x The uncoated interface generally produces a tron microscope (ESEM) scans and optical micros-
    higher interface strength than the coated in- copy show that these grains are predominantly fae-
    terface, with the influence greater at higher cal pellets, as shown in Figure 4. These are observed
    vertical effective stress. to be rounded and capsule-shaped with a length to
    x Neither shearing rate nor previously shearing, diameter ratio of about 2:1.
    in the case of the slow tests, appears to influ-
    ence the peak measured interface strength
    significantly.

    Figure 1: Peak interface strength rough and smooth


    interfaces

    Figure 2 presents the residual strengths, measured at


    the end of interface shear tests. This corresponds to
    shear distances of about 75mm. The key points noted
    from this figure are that the upper bounds for un-
    coated and coated interfaces correspond to a de-
    creased adhesion factor of 0.75. In addition, at a ver-
    tical effective stress of 3kPa, the presence of a Figure 3: Percentage of coarse grain material by dry mass in
    coating has less influence than at 6kPa, where the natural samples
    uncoated interface produces a noticeable increase in
    strength.

    Figure 2: Residual interface strength rough and smooth


    interfaces
    Figure 4: ESEM micrographs of coarse grain material: (top
    2.3 Faecal pellets left) greater than 212Pm; (top right) 150212Pm; (bottom left)
    Faecal pellets were not immediately apparent in 63150Pm; and (bottom right) 20 63Pm
    natural samples during the preparation of test sam-
    ples. Wet sieving, however, produced variable The micrographs of pellets greater than 150Pm were
    amounts of coarse-grained material (as shown in imaged using the variable-pressure secondary elec-
    Figure 3) for samples taken from depth of 0.10.4m. tron detector. Micrographs of samples smaller than
    This demonstrates that between 20% and 30% of dry 150Pm were imaged using the back-scatter detector
    weight of the tested material comprises grains ex- to allow sufficient resolution of the particles at high
    ceeding 63Pm in size. Environmental scanning elec- magnification. The sample imaged from 63Pm ex-

    299
    hibits some desiccation, causing pellets to shrink and pectation. Furthermore, the uncoated surface exhib-
    crack. Material between 20Pm and 63Pm contains a ited a large variation in roughness. The shearing be-
    larger number of diatoms, however, clay agglomer- haviour is governed by the ratio of the particle size
    ates are the most abundant material in this fraction. to the roughness of the interface. Given that the larg-
    The agglomerates do not exhibit the smooth, est particles are approximately 300Pm, it is sug-
    rounded textures of faecal pellets found in fractions gested that on the coated interface, the samples will
    greater than 150Pm. Nevertheless, they are found to only see the 2Pm undulations, and not the large-scale
    be very compact and contain micro-voids, as ob- waviness that have a wave length of about 7mm.
    served in the bottom-right image of Figure 4. These
    agglomerates may be fragmented faecal pellets. On the uncoated interface, the samples experience
    both very rough (greater than 100Pm from peak to
    2.4 Discussion trough) and smooth (less than 10Pm) shearing. This
    2.4.1 Interface shear strength is therefore likely to cause some variation in the
    The behaviour of both natural and remoulded sam- measured strength.
    ples sheared on uncoated (rough) and coated
    (smooth) interfaces is in contrast to the behaviour 3. Series 2 Tests
    observed by Bolton et al. (2009), Kuo and Bolton
    (2011) and Colliat et al. (2010). Two key differences Interface strengths for shearing of portable remotely
    in the results are: operated drill (PROD) samples on the rough and
    smooth coatings are shown in Figure 5. The key
    x uncoated interfaces produce higher shear
    points to be drawn from this figure are as follows:
    strength than coated interfaces; and
    x neither peak strengths nor residual strengths x the two interfaces produce comparable intact
    fall to zero on uncoated interfaces. peak strength;
    x the smooth interface is less destructive to the
    It is suggested that these differences may be attrib-
    samples structure than the rough interface,
    uted to the variance in abundance and distribution of
    therefore resulting in a higher residual
    faecal pellets and the existence of open, water-filled
    strength;
    burrows in the natural samples. The percentage by
    x the peak strength of intact samples (denoted
    dry mass of grains larger than 63Pm is found to be
    as U in Figure 5) is generally higher than the
    between 20% and 30% in the Series 1 samples. Crust
    peak strength values of previously sheared
    samples tested by Kuo and Bolton (2011) contained
    samples; and
    between 30% and 60% faecal pellets by dry mass, of
    x the shearing rate does not have a significant
    which larger pellets (greater than 300Pm) were
    influence on the measured interface strength.
    clearly visible during sample preparation. A large
    number of open burrows had also been observed in
    these crust samples. Kuo and Bolton (2011) attrib-
    uted the high crust shear strength (up to 15kPa) to
    the large percentage of faecal pellets in tested sam-
    ples. When the natural material was abraded by
    shearing on rough interfaces, it was suggested that
    positive excess pore pressures were generated. These
    were caused by the expulsion of water from collaps-
    ing macro-pores, which could lead to hydroplaning
    and dramatically reduced interface shear strengths.

    The lower numbers of faecal pellets, no observed


    pellets larger than 300Pm and the low numbers of Figure 5: Summary of interface strengths on rough and smooth
    open, water-filled burrows in the Series 1 samples coatings
    currently under discussion are therefore suggested to
    be the cause of the higher interface strengths. Lower The friction factors are also shown, indicating that the
    burrow numbers may indicate that the pellets were intact samples may achieve P= 0.6 before reducing to
    not created in situ, but instead may have been trans- a residual value of 0.30.4 for the rough interface, or
    ported some distance prior to sedimentation within between 0.50 and 0.65 for the smooth interface.
    the soil profile at the location of Series 1 samples.
    The shearing mechanism evoked by shearing on
    2.4.2 Influence of interface roughness these two interfaces is likely to be significantly dif-
    As indicated by the roughness analyses undertaken ferent. Interlocking of the sample onto the rough
    on the tested interfaces, the coated surface is no coating will occur during consolidation followed by
    smoother than the uncoated surface, contrary to ex- tearing of the material when sheared. Conversely,

    300
    no interlocking occurs with the smooth interface,
    and thus the interface strength will solely be due to a
    sliding mechanism. This second mechanism, how-
    ever, is able to generate friction factors that are lar-
    ger than those obtained from the rough interface at
    large displacements.

    For undisturbed samples (denoted as U), it is ob-


    served that the slower rate of 0.001mm/s produced a
    higher friction value for shearing on both rough and
    smooth interfaces. For samples that had been previ-
    ously sheared, the converse was observed, with a
    lower peak friction value for the slower speed. The
    roughness had a greater influence on the friction fac-
    tor for slow tests than for fast tests based on these
    results. For fast tests, the dominating factor was
    whether the sample was intact or pre-sheared. Figure 6: An optical microscope image of glauconised and
    chemically altered faecal pellets
    A comparison between Series 1 and 2 peak interface 4.2 Series 3: suction caisson test results
    strengths (Figures 1 and 5) demonstrates that the Se- 4.2.1 Influence of shear rate
    ries 2 interfaces produce lower strength values for the Figure 7 presents the peak and residual strengths of
    rough interface, and higher values for the smooth in- interface tests undertaken at shearing rates of 1mm/s
    terface when compared to Series 1 tests. These results and 5mm/s. Each test was sheared for a minimum of
    may be interpreted in either of two ways. The first in- 150mm. It is observed that neither the shearing rate
    terpretation is based on the assumption that higher in- nor the applied normal stress strongly influences the
    terface strengths are produced by shearing on rougher peak friction factor, which has an average value of
    interfaces. Thus, the rough interface tested in Series 1 0.62. The residual strength while shearing at 5mm/s
    would be assumed to be rougher than that in Series 2, falls to a lower bound of P= 0.25 (V'v = 1624kPa),
    and vice versa for the smooth interface. The alterna- whereas shearing at the slower rate of 1mm/s pro-
    tive interpretation is the converse: that rougher inter- duces a higher friction coefficient of 0.55.
    faces are more destructive to the natural structure. By
    damaging the soil structure, positive excess pore pres-
    sures generated are unable to dissipate quickly
    enough, thus reducing interface effective stress and
    resulting in smaller measured strengths.

    4. Series 3: Suction Caisson Testing

    4.1 Sample materials


    As explained earlier in this paper, core samples for
    suction caisson tests were undertaken on Stacor
    samples from depths of 815m significantly deeper Figure 7: First cycle peak and residual interface shear
    than samples for pipeline testing. Faecal pellets were strengths for fast and slow shearing
    observed in these samples, with proportions by dry
    These results indicate that shearing at the faster rate
    mass of over 50%. Glaucanisation and other chemi-
    is likely to produce positive excess pore pressures
    cal alteration were evident in these samples, result-
    that are unable to dissipate quickly enough, thus re-
    ing in very robust faecal pellets, observed with an ducing the effective stress at the sheared interface. It
    optical microscope and shown in Figure 6. is noted that the samples tested at V'v = 30kPa do not
    generate the same low values of residual strength
    Roughness profiles of the rusty steel plate were measured for the smaller normal stresses, though the
    again determined using a profilometer, and demon- values are still found to be smaller than the slow test.
    strated a very large variation in roughness. The nor- It is somewhat surprising that a change of shearing
    mal stresses applied to the samples during the con- rate by only a multiple of 5 has such a significant in-
    solidation period and caisson shearing were fluence on the measured strength. Conversely, an or-
    determined assuming that the samples have a unit der of magnitude change in shear rate (a multiple of
    weight of 4kN/m3 and K0 = 0.5. 50) for the Series 2 samples only resulted in small

    301
    changes in strength. This may indicate that shearing strengths is not as significant as for the first shear,
    speeds between 0.001mm/s and 1mm/s fall within a though it is still observed that fast tests produce con-
    region that represents partially drained shearing. sistently, if only slightly, lower residual strength val-
    Shearing at 5mm/s may be sufficiently fast to invoke ues. This variance in observation may be due to the
    undrained shearing, resulting in lower residual natural structure of the sample being damaged dur-
    strengths. The interface roughness also has a signifi- ing the first shearing event.
    cant influence on the shearing behaviour generated
    during interface shearing, with rougher sections A summary of the variation in the interface friction
    causing greater damage to the soil, thus potentially factor with cumulative displacement for slow and
    reducing the interface friction value (discussed fur- fast speeds is shown in Figure 9. It can be seen that
    ther in section 5.1). the pause of 20hr for the two fast tests only increases
    the peak strength. The residual friction factor returns
    Figure 8 presents results for the second shearing to a value of 0.4, which is comparable to the other
    phase that are complementary to those shown in Fig- fast tests. The sample that was subject to an 18hr
    ure 7. The second shearing phase was undertaken in pause, while shearing at the slow speed demonstrates
    the reverse direction to the first shear. The results an increase in both peak and residual friction factors.
    indicate that the average peak strength obtained from The slow test completed after a pause of 4.5hr did
    shearing in the reverse direction is higher than the not demonstrate a significantly different interface
    first shear, with P = 0.69. A pause of approximately friction response to tests without a pause.
    1hr was permitted between the first and second
    shears. Two samples were permitted to reconsolidate
    for 20hr prior to the second shear (as indicated in
    this figure). These pauses were undertaken to pro-
    vide information on the influence of pull-out resis-
    tance of installed suction caissons. The peak
    strengths for these two samples are significantly
    higher than those obtained by only a short pause. A
    long pause, however, only influences the peak
    strength. It is found that the residual strength for
    both short and long pause tests produce Pav = 0.40,
    while the average friction factor for residual slow
    tests is 0.54. However, it is observed that the value
    of P is more strongly influenced by the applied nor- Figure 9: Variation in peak friction factor with increasing
    mal stress than for the first shear. shear number

    Figure 8: Second cycle peak and residual interface shear Figure 10: Variation in friction factor with cumulative shear-
    strengths for fast and slow shearing ing displacement

    The increased strength generated by pausing prior to 4.2.2 Influence of additional shear cycles
    the second shear may be due to consolidation of ma- The variation in peak friction factor plotted against
    terial remoulded during the first shear. This re- the number of shearing cycles is shown in Figure 10.
    moulding and reconsolidation leads to densification This shows that the peak friction factor for slow tests
    of the material. When subject to the second shearing remains at ~0.7 (shown as a dotted line), whereas for
    event, the soil's attempts to dilate strongly influence the fast tests the friction factor is more varied. This
    the measured strength. Once remoulded, however, indicates that the accumulation of shear strain, ex-
    the soil rapidly reduces in strength, resulting in a re- perienced by the soil at the slow shear rate, does not
    sidual strength significantly lower than the peak strongly influence the measured friction. Pauses of
    strength. The influence of shear rate on residual 18hr and 20hr are shown to increase the measured

    302
    friction value for tests undertaken at both slow and patible interface in terms of particle size. In com-
    fast shear speeds. parison, reduced interface strength on the rough in-
    terface may be due to significant plastic deformation
    The variation in residual friction factor is also shown (tearing) of sample during shearing and mixing with
    in Figure 10, which demonstrates that the slow tests water trapped within the valleys of the rough inter-
    generate a friction factor of about 0.5. This is face. These silty clay samples not only comprise
    slightly higher than the average value of 0.4 for the small particles of 210Pm, but also contain larger
    fast tests. At the end of the fourth shearing cycle, the particles comprising faecal pellets (20300Pm). Ex-
    sample has experienced over 600mm of shear strain, tending the concept of soil-interface compatibility,
    equivalent to a lateral displacement of at least eight the rough interfaces of between 10Pm and 100Pm
    sample diameters. This figure indicates that once tend to interlock with the faecal pellets. Kuo (2011),
    disturbed, the residual shear friction value quickly however, has shown that these compacted capsules
    attains a relatively consistent value. of clay, silt and other detritus are susceptible to de-
    struction when sheared against a rough interface.
    The process of fast shearing (in an undrained man-
    4.2.3 Comparison with Series 1 and 2 tests
    ner) forces pellet fragments into the water-filled val-
    A comparison of Series 1, 2 and 3 with ring-shear leys, thus generating positive excess pore pressures
    test data from Colliat et al. (2010) is shown in Figure that cannot dissipate sufficiently quickly. This
    11. This figure demonstrates the variation in inter- causes the effective stress to reduce and, in turn, re-
    face shear strength across normal stresses from sults in a reduced interface friction value.
    15kPa to more than 60kPa. Cam-shear testing, how-
    ever, highlights a strong influence of pauses in test- 5.2 Implications for suction caissons
    ing, particularly for fast tests. The key observations that have significant implica-
    tions for the design, installation and pull-out capaci-
    ties of suction caissons in these particular materials
    are as follows:
    x peak interface strength is independent of rate
    of penetration/extraction;
    x rate of penetration/extraction governs residual
    interface friction value;
    x pauses in installation and/or extraction sig-
    nificantly influence interface soil resistance;
    and
    x slower rates generate less variability in peak
    friction values and thus also in sensitivity.
    Figure 11: Comparison of Series 1, 2, 3 and Colliat et al.
    (2010) strength data Penetration rates of 1mm/s (suction) and 5mm/s
    (self-weight) for suction caisson installation were
    5. Discussion considered. At these installation rates, the results
    presented here indicate that peak soil resistances are
    5.1 Implications for pipelines approximately 60% of the applied confining stress.
    For low effective stress conditions applicable to The intact soil shear strength (not presented here) is
    pipelines, Series 1 and 2 tests demonstrate that the found to be approximately 80% of the confining
    key parameter governing interface friction values is stress. This is about double of what would be ex-
    the pipe coating roughness. It is observed that once pected if the sediment were normally consolidated. If
    the peak interface friction is overcome (similar val- continuously penetrated, the resistance of a suction-
    ues for rough and smooth interfaces for the first installed caisson would then progressively decrease
    shear), the subsequent residual friction value for an by a factor of roughly one-half. If pauses are allowed
    apparently rough interface is significantly lower than to occur during the installation process, it should be
    for a smooth interface. These observations indicate expected that after each short-term pause, the pene-
    that contrary to common belief, smooth pipeline in- tration resistance would largely recover. If, however,
    terfaces may behave in a more frictional manner than a longer pause is initiated, the succeeding peak pene-
    rough interfaces when shearing against both natural tration resistance may be even higher.
    and disturbed soils.
    When installations are allowed to penetrate under
    It is proposed that good interlocking exists between self-weight and thus at the higher rate of 5mm/s, the
    the smooth interface (approximately 5Pm) and the initial peak friction coefficient of about 0.6 is fol-
    silty clay material with a particle size of 210Pm. lowed by a rapid reduction in interface friction to
    The soil will therefore be sheared against a com- values as low as 0.25, if the samples tested are re-

    303
    garded as representative of the undisturbed material. sidual test conditions, are therefore much lower than
    These low values will continue to be encountered, for the smooth interface. Testing of significantly
    should penetration be allowed to continue without deeper Stacor samples at normal stresses relevant to
    significant delays in installation. If longer delays are suction caissons highlights the propensity for fast
    encountered, the subsequent peak friction factor at tests to generate much lower residual strengths than
    recommencement of penetration may far exceed the slow tests.
    initial friction (see Figures 10 and 11).
    Pauses in testing of 20hr cause an increased peak
    Once overcome, however, the peak friction will strength for fast tests, but do not significantly in-
    again rapidly drop to less than 0.4. These observa- crease the measured residual strength. It is likely that
    tions are in good agreement with White et al. (2011), the sample undergoes consolidation during the
    which demonstrates that a similar phenomenon oc- pause. Thus during the subsequent shearing, the
    curs when pauses are permitted between subsequent soil's suppressed attempts to dilate causes an in-
    sweeps of the long pipe tests. The values of residual creased interface strength. In general, it is observed
    interface friction are found to be slightly higher than that fast interface tests produce more erratic peak
    field measurements by Colliard and Wallerand behaviour than slow tests.
    (2008) and Colliat and Colliard (2010). Based on the
    findings presented here, the natural soil structure and References
    penetration rate will influence the friction values.
    The natural soil structure may be specific to a par- Bolton MD, Ganesan SA and White DJ. (2009).
    ticular field or region, and the rate of penetration SAFEBUCK Phase II: Axial pipe-soil resistance
    during the field observations may be highly variable summary report. CUTS Report no. SC-CUTS-
    (as indicated by Lee et al., 2005). 0705-R1. Technical report. Cambridge, UK: Uni-
    versity of Cambridge.
    It should be noted that during penetration of a suction Borel D, Puech A, Dendani H and de Ruijter M.
    caisson, the proportion of the interface that develops (2002). High quality sampling for deep water geo-
    peak and residual friction varies. Initially, at shallow technical engineering: the STACOR Experi-
    depths, peak friction values dictate the behaviour as ence. Ultra Deep Engineering and Technology,
    the tip of the caisson continues to penetrate into virgin Brest.
    soil. With increasing depth, however, the relative per- Colliard D and Wallerand R. (2008). Design and in-
    centage of the caisson experiencing shear along pre- stallation of suction piles in West Africa deepwa-
    sheared soil increases. Therefore, after only a small ters. Proc. 2nd BGA Int. Conf. Foundations.
    penetration distance under self-weight, the caisson Colliat JL and Colliard D. (2010). Set-up of suction
    should effectively penetrate with relative ease, and at piles in deepwater Gulf of Guinea clays. In:
    a lower frictional resistance than might otherwise be Gourvenec S and White D. (eds.). Frontiers in Off-
    expected. If halted, however, the frictional resistance shore Geotechnics II. London: Taylor and Francis.
    would return to, or exceed, the initial peak resistance. Colliat JL, Dendani H, Puech A and Nauroy JF.
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    This paper presents the results of three series of in- Kuo MYH. (2011). Deep ocean clay crusts: behav-
    terface tests undertaken on natural core samples iour and biological origin. PhD thesis, University
    from deepwater West African sediments against a of Cambridge.
    range of different interface materials. Interface test- Kuo MYH and Bolton MD. (2011). Faecal pellets in
    ing of shallow samples for pipeline shearing behav- deep marine soft clay crusts: implications for hot-
    iour has demonstrated that a rough interface is sig- oil pipeline design. In: Proc. Ocean, Offshore and
    nificantly more damaging to the natural structure Artic Engineering. Rotterdam: OMAE.
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    sults in the generation of positive excess pore pres- (2010). New evidence for the origin and behav-
    sures that do not dissipate, thus causing a reduction iour of deep ocean crusts. In: Gourvenec S and
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    These observations are strongly dependent on the Lee YC, Audibert JME and Tjok KM. (2005). Les-
    natural structure of the sediment. Laboratory testing sons learned from several suction caisson installa-
    of soils from each specific site of interest should tion projects in clay. In: Gourvenec S and Cassidy
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    Schofield A and Wroth CP. (1968). Critical state
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    White DJ, Arasu GS, Bolton MD, Bruton, DAS and
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    305
    306
    CYCLIC AXIAL LOAD TESTS ON DRIVEN PILES IN
    OVERCONSOLIDATED CLAY

    Omar Benzaria
    Fugro-France and IFSTTAR, Paris, France
    Alain Puech
    Fugro-France, Nanterre, France
    Alain Le Kouby
    IFSTTAR, Paris, France

    Abstract
    As part of the French national research project SOLCYP, an extensive series of static and cyclic axial pile
    load tests has been carried out in the overconsolidated Flandrian clays from northern France (Merville ex-
    perimental site). Tests were performed on 4 driven closed-ended pipe piles (with a depth of 406mm, length of
    13m and wall thickness of 15mm); 4 bored piles; and 2 screwed piles (with a depth of 420mm and length of
    13m). All piles were instrumented with retrievable extensometers for measuring the load distribution along
    the pile wall. The paper describes the context of the pile tests and presents preliminary static and cyclic test
    results obtained on the driven piles. The example of pile B4 under one-way tension loading is taken to illus-
    trate the type and quality of data acquired.

    1. Introduction 1.2 The SOLCYP project


    SOLCYP is an ongoing research and development
    1.1 Background project launched in 2008 in France with the
    Cyclic axial and lateral loading on offshore, near- objective of understanding the physical phenomena
    shore and onshore structures may be essentially of conditioning the response of piles subject to vertical
    environmental (e.g. wave, wind) or industrial origin. and horizontal cyclic loads. It also aims to develop
    Loading histories include a large variety of loading advanced design methods and initiate pre-normative
    modes (e.g. tension, compression, one-way, two- actions, with a view of introducing the proposed
    way), cycle amplitude and frequencies. methodology in national and international codes or
    professional standards. Project objectives and tech-
    A keynote paper in these conference proceedings nical content are detailed in a companion paper by
    by Jardine et al. (2012) presents the potential Puech et al. (2012) in these conference proceedings.
    effects of cyclic loading on the response of As part of this project, a series of static and cyclic
    offshore piles. Practical engineering methods in use axial pile load tests is being conducted on two
    in the offshore industry (oil and gas, windfarms) experimental sites: Merville (over-consolidated clay)
    are reviewed. Key aspects that are of interest to the and Dunkirk (dense sand).
    pile designer are as follows: (i) the potential
    reduction on the ultimate axial capacity; (ii) the 1.3 Scope of paper
    number of load cycles of a given load that the pile This paper refers to the field tests conducted at the
    can sustain before cyclic failure; and (iii) the Merville site. A large volume of data has been
    evolution of displacements of the pile head during gathered that is still under interpretation. The
    cyclic loading (pile stiffness). objective of this paper is mainly to describe the
    experimental context and the testing philosophy,
    In the building and civil engineering domain, the rather than entering into a detailed interpretation of
    effects of cyclic loading on foundation piles are the effects of cyclic loads. Results of axial static load
    poorly understood and largely ignored in practical tests performed on the driven piles are presented. Pile
    design. Professional standards and regulations B4, a closed-ended steel pile installed by driving and
    provide limited guidance for designing piles under subject to one-way tension loads, is used to illustrate
    cyclic loading. the type and quality of data acquired.

    307
    2. Description of Field Tests at Merville 1998; Borel and Reiffsteck, 2006). Additional
    information on effective strength parameters and
    2.1 Soil conditions shear moduli of the Merville clay can be found in
    The experimental site is located at Merville, France, Canepa et al. (2002) and Ferber and Abraham
    and the soil is composed of a thin cover of silty (2002). Further testing is ongoing.
    materials overlaying the Flandrian clay formation.
    The Flandrian clay was deposited during the
    Ypresian period (beginning of Eocene) in a marine
    gulf extending over the north of France, Belgium
    and the southeast of England. It is geologically
    equivalent to Boom clay and London clay, and
    exhibits very similar physical and mechanical
    properties (Josseaume, 1998; Meng, 2001; Bond
    and Jardine, 1991). A water table fluctuates within
    the upper silts according to seasons. At the time of
    tests the water level was at 2m below ground level
    (BGL). It is difficult to assess a water level in the
    highly impermeable and micro-fissured Flandrian
    clay, as piezometric measurements give unconsistent
    information.

    The Flandrian clay is encountered at about 3.5m


    BGL. Between 3.5m and 7.0m, the clay is weathered
    and highly fissured. The first series of laboratory
    tests conducted on clay samples recovered at the pile
    locations indicates water contents of 3035%,
    slightly lower than the plasticity limit. The liquid Figure 1: Summary of soil conditions at Merville pile test
    location
    limit and the plasticity index are high (wL 90
    100%, and Ip  55%). This high plasticity is 2.2 Piles tested
    consistent with the composition of the clay fraction Ten test piles and 13 reaction piles were installed in
    (about 50% montmorillonite). March 2011 at the Merville site. The test piles
    include:
    At the end of the Pleistocene , the surface of the soil x 4 closed-ended tubular steel piles (B),
    was probably some 200m above the present level. 406mm in diameter and 13m in length. The
    The overconsolidation ratio determined from high- piles were installed in 4m prebored holes,
    pressure oedometer tests (Josseaume, 1998) is of the then driven to target depth with a IHC 30
    order of 6. hydraulic hammer;
    x 4 bored piles, 420mm in diameter and 13m in
    The undrained shear strength profile at the test
    length. They were augered and grouted; and
    location, as shown on Figure 1, is derived from:
    x 2 screwed piles, 420mm in diameter and 13m
    x piezocone cone penetration tests (CPTU), in length.
    assuming a Nkt factor of 20 (where Nkt = (qt
    Only the driven steel piles (B) are considered in this
    vo) / Su);
    paper.
    x Menard pressuremeter tests (PMT), applying
    the correlation (Su) of Pl*/12+30 proposed
    by Amar and Jezequel (1998) where: 2.3 Load testing programme
    o Su is the undrained shear strength, and The piles were tested in the period MayJune 2011.
    o Pl* is the net limit pressure; The programme included reference static, rapid
    x available results of unconsolidated-undrained static and cyclic axial load tests.
    (UU) and consolidated isotropic undrained
    (CIU) triaxial tests. 2.3.1 Reference static load test
    The load was applied in accordance with the
    Previous tests carried out on the Flandrian clay International Society for Soil Mechanics and
    disclosed reasonably similar values (Josseaume, Geotechnical Engineering (ISSMGE, 1985)

    308
    recommended procedure and in conformity with the in compression; one-way cyclic tests in tension; and
    French standard for static load (Association two-way cyclic tests (see Figure 3).
    Franaise de Normalisation (AFNOR), 1999). The
    load was applied in 10 increments of 1hr each. The
    test was stopped when the pile head displacement
    reaches 10% of the pile diameter (about 40 mm).
    The objective of this test was to establish a reference
    static capacity (Qr) for each type of pile in compres-
    sion and tension.

    2.3.2 Rapid static load test


    This test is similar to the reference static load test,
    but the load is maintained only 3mins per increment.
    The rate of loading is then 20 times more than in the
    reference test. The test is stopped as soon as a
    rapidly increasing pile head displacement is ob-
    served to preserve the pile for further testing. The Figure 3: Two-way pile load test set up at Merville
    purpose of this test is to: (i) assess the effect of the
    rate of loading on the bearing capacity of the piles; 2.4 Instrumentation
    and (ii) serve as a convenient tool to assess the static Piles were instrumented and monitored during
    capacity after selected sequences of loading (e.g. driving (Figure 4b). Results are not discussed here.
    post cyclic capacity).

    2.3.3 Cyclic load test


    Cyclic load tests were composed of series of cycles
    of constant load amplitude. Each series is defined by
    the following: the average load (Qav); the cyclic load
    amplitude (Qc); the frequency (f); and the number of
    cycles (N) (see also Figure 2). Cyclic loads were
    applied with a computer-controlled cyclic jack
    capable of applying sinusodal cyclic loads up to 100
    tons and at frequencies up to 1Hz. The majority of
    the tests were done at 0.5Hz.

    a) b)

    Figure 4: (a) Location of retrievable extensometers; and (b)


    view of instrumented pile during driving.
    Figure 2: Parameters describing the cyclic load
    All piles were instrumented with Laboratoire Central
    A large range of load histories were applied, des Ponts et Chausses (LCPC) retrievable exten-
    including series of small amplitude cycles and great someters (Rocher-Lacoste et al., 2011). On driven
    number of cycles (N > 10 000), and series of large steel piles, two columns of extensometers were in-
    amplitude cycles leading to cyclic failure after a stalled in two 54mm tubes positioned diametrically
    small number of cycles. Cyclic failure was obtained opposite from each other and welded to the outside
    on virgin piles, or on piles already submitted to static of the pile wall (Figure 4a). The system provides the
    or cyclic load histories. Three great types of cyclic load distribution in the pile metre by metre. This al-
    loading modes were carried out: one-way cyclic tests lows for the calculation of the skin friction and end

    309
    bearing mobilisation at any time of the loading se- between the pile head loads (about 230kN) can be
    quence. Previous tests had demonstrated the reliabil- interpreted as the full end bearing capacity (Qp)
    ity of the retrievable extensometers under cyclic which can be written as:
    loading.
    Qp Su.Nc. Ap (1)
    3. Static Test Results on Driven Steel Piles where Ap = 0.13 m2 and Su = 170kPa at 13m BGL.
    This would lead to a reasonable Nc factor of 10.4.
    3.1 Static reference capacity The static reference pile capacity has been taken as
    Static reference load tests were carried out two 1427kN in tension and 1545kN in compression.
    months after pile installation. Figure 5 shows the
    pile head displacements of piles B1 and B3 during In the pre-peak domain, very small displacements
    the reference load tests (S1) in compression and ten- are observed during the 1hr constant load phases,
    sion, respectively. In both cases, test S1 is applied on even at high loading levels. This is emphasised in
    a virgin pile. Figure 6 presenting the rate of displacement of the
    piles for each load increment. The conventional
    creep load is very close to the ultimate load.

    Figure 5: Load-displacement response of three driven piles


    under first static loading (static test on virgin pile)
    Figure 6: Determination of creep load for piles B1 and B3

    Both piles exhibit a peak capacity for a pile head 3.2 Rate effect
    displacement of 6mm (about 1.5% of pile diameter). The pile head displacements of pile B2, subjected to
    The post-peak behaviour is the result of: a rapid load test S1 (also on virgin pile), is shown for
    x compression: strain-softening of the ultimate comparison in Figure 5. There is clearly an increase
    skin friction and progressive mobilisation of in pile capacity of about 910%. This result is con-
    the end-bearing. At peak the end bearing sistent with preliminary results of triaxial tests with
    capacity mobilised is only in the order of variable shearing rates performed on the Merville
    120kN (approximately 8% of peak clay, which show an isotach response of the material
    resistance); and and an increase in shear strength of about 8% per log
    x tension: strain-softening of the ultimate skin cycle. Loading rate effects on pile capacity in clay
    friction and progressive loss of the suction have been mentioned by several authors (e.g. Kraft
    below the pile toe. At peak the suction et al., 1981; Karlsrud and Haugen, 1985).
    mobilised is about 150kN (approximately
    3.3 Shaft friction
    10% of peak resistance).
    The axial load (Qn) in each pile element (n) can be
    Assuming that for a pile tip displacement of 5% of calculated as follows:
    pile diameter (which corresponds to about 20mm of Qn [ n En S n (2)
    pile tip displacement, or 26mm of pile head
    displacement), most of the end bearing capacity is where En is the elastic modulus of pile element; Sn is
    mobilised. However, the suction below the base has the cross-sectional area of pile element; and n is the
    decreased to a negligeable value, and the difference axial strain in pile element (from strain gauge). Fig-

    310
    ure 7 presents a typical axial load distribution for 4. Typical Cyclic Test Results on Tension Pile B4
    pile B4 and different load steps of tension static test
    S1. 4.1 Load history of pile B4
    The case of pile B4 is taken to illustrate typical
    results obtained under cyclic loading. Over a 68-day
    period from the end of driving, the pile was sub-
    jected to series of static and cyclic axial pile loads,
    as summarised in Table 1.

    Table 1 : Loading sequences applied to driven pile B4

    f Qm Qc No. of
    Tests Type Date
    (Hz) (kN) (kN) cycles
    Driving 14/03/11
    20/06/11
    B4C1 Cyclic 0.5 500 490 3000
    14:55
    Rapid 20/06/11
    B4S1
    static 17:38
    Very 20/06/11
    B4S2
    rapid 18:20
    Rapid 20/06/11
    Figure 7: Axial load distribution for static test B4S1 B4S3
    static 18:25
    The skin friction (Fn) on each pile section can be ob- 21/06/11
    B4C2 Cyclic 0.5 500 485 94
    tained: 10:00
    Qn 1  Qn Rapid 21/06/11
    Fn (3) B4S4
    static 10:20
    SDn Ln
    where Ln is the length of pile element, and Dn is the
    diameter of pile element. Figure 8 presents the skin 4.2 Overall load-displacement behaviour
    friction at three selected levels down the pile under The cumulative load-displacement response of pile
    the peak of static loading for test B4S1. The friction at B4 to the series of loading sequences is shown in
    level I (z = 4.4m) in the upper part of the pile indicates Figure 9.
    initiation of strain-softening, followed by shear stress
    reversal at pile rebound during unloading.

    Figure 8: Typical skin friction mobilisations obtained under Figure 9: Cumulative load-displacement response of pile B4
    tensile static loading (pile B4 rapid test S1) under the overall loading sequence

    311
    The first sequence of loading (B4C1) applied to the Park tests performed in London clay. Bond and Jar-
    virgin pile consisted of large amplitude cycles, cor- dine (1995) later recommend interpreting results in
    responding to the maximum capacity of the jack. the framework of an effective stress analysis, and
    With reference to the ultimate capacity measured on conclude that shaft capacity is controlled by slip-
    pile B3 (Qu = 1427kN), the loading sequence was page along discontinuities in the soil, which are cre-
    characterised by Qav = 35% Qu, and Qc = 34.3% Qu. ated next to the pile skin by pile installation and
    After 3000 cycles, no significant movement of the dominate the piles subsequent behaviour. The an-
    pile head could be observed. The pile was then sub- gle of interface friction that can be mobilised is con-
    jected to a rapid static test (B4S1). The test was trolled by the degree of particle orientation (function
    stopped for a pile head displacement of 6mm corre- of pile installation mode) and decreases from a peak
    sponding to the displacement at failure in reference to post-peak ultimate value. Specific laboratory test-
    test B3S1. A load of 1394kN was reached that is ing is ongoing to fully characterise the mechanical
    consistent overall with the reference capacity of pile behaviour of the Flandrian clay and provide sound
    B3 (Qu = 1427kN). No clear effect of the rate of data for interpreting the results.
    loading (as pointed out in section 3.2) was visible.
    4.4 Pile cyclic stiffness
    A very rapid monotonic test (B4S2) was immedi- The pile head cyclic stiffness can be defined as:
    ately applied to the pile. The load was continuously
    Qmax  Qmin
    increased to reach failure in about 3mm. A maxi- Kc (4)
    mum load was registered at 1395kN followed by a Dmax  Dmin
    brittle failure of the pile that experienced a head dis- where D is the pile head displacement.
    placement of about 13mm in 19sec. Simultaneously,
    the capacity dropped to about 1039kN. A second The pile head displacements over the 3000 cycles
    rapid static test (B4S3) confirmed the 25.7% loss in of the B4C1 series are shown in Figure 10. The
    reference capacity (Qu = 1060kN at peak). A post- hysteresis loop is remarkably stable, and the cyclic
    peak displacement of 6mm was experienced, accom- stiffness remains constant at Kc = 356kN/mm. The
    panied by an additional loss in capacity (980kN at pile head displacements corresponding to series C2
    end of test). are illustrated in Figure 11. Moderate permanent
    displacements are generated during the first 57 cy-
    About 15hr later, the pile was submitted to a cyclic cles, where an acceleration in pile head movements
    load series B4C2 similar to B4C1. The maximum cy- is observed. The hysteresis loop increases progres-
    clic load (Qmax) was close to the ultimate capacity at sively in size, and the pile fails suddenly after 94
    the end of rapid static test B4S3. The pile failed in cy- cycles, resulting in a cumulated permanent dis-
    clic mode after 94 cycles. At failure the monitoring placement of about 8mm (about 2% of pile diame-
    system was unable to control displacements until the ter).
    safety mechanism stopped the oil feeding. This re-
    sulted in an additional displacement of the pile head
    of about 17mm, but without any significant loss in re-
    sistance capacity. Immediately after, a rapid post-
    cyclic static test (B4S4) was performed. The resis-
    tance increased gently to a maximum value of about
    875kN without any sign of strain softening. The loss
    in capacity due to the cyclic sequence was about 9%.
    Further cyclic series (not shown here) were applied to
    the pile, resulting in additional degradation of the ul-
    timate capacity. Brittle post-cyclic response was no
    longer observed.

    4.3 Preliminary interpretative considerations


    The response of pile B4 to the series of applied load-
    ing sequences indicates a brittle failure mode with a
    rapid post-peak decrease in capacity by around 30%.
    This presents some similarity with the results ob- Figure 10: Load-displacement response of pile B4 under cyclic
    tained by Bond and Jardine (1991) in the Canons test C1 (N = 3000)

    312
    1500 cycles. As the pile is far from its ultimate
    capacity, the loss in skin resistance resulting from
    the skin friction degradation in the upper portion of
    the pile is compensated by a (slight) increase in
    skin friction mobilisation in the lower portions of
    the pile.

    5. Conclusions

    As part of the SOLCYP project, an ambitious pro-


    gramme of cyclic axial loading has been performed
    on field-scale driven, bored and screwed piles in-
    stalled at Merville in the Flandrian overconsolidated
    clays of northern France. This paper is limited to a
    general overview of the field test conditions and pre-
    liminary results obtained on the 4 closed-ended steel
    pipe piles (406mm in diameter and 13m in length).
    Under static loading, the failure is brittle, with a
    rapid post-peak decrease in capacity by around 30%.
    Figure 11: Load-displacement response of pile B4 under cyclic This behaviour is expected to be in relation with the
    test C2 (cyclic failure at N = 94) mechanical properties of the overconsolidated Flan-
    drian clays and the mode of installation (driving).
    Further work is required to provide an explanation
    of the field test data.

    Extensive series of cyclic load tests have been ap-


    plied on the instrumented piles. They include tests:
    (i) on virgin piles as well as on prefailed piles; and
    (ii) with a high number of moderate amplitude
    cycles (N > 10 000), or those leading to failure
    under a moderate number of cycles. The database is
    of good quality and provides accurate measurements
    for assessing both the overall response of the pile
    (pile head stiffness) and local pile-soil interactions
    (skin friction mobilisation). A particular effort will
    be devoted to the derivation of skin friction degrada-
    tion laws and construction of t-z curves appropriate
    Figure 12: Typical evolution of maximum skin friction with to simulate the local response of clay-pile interfaces
    number of cycles (pile B4, test C1) under cyclic loading.
    A noticeable result is that the cyclic stiffness re- Acknowledgments
    mains stable over the entire sequence at a value (Kc
    = 350kN/mm) that is quasi-identical to test C1. Results presented in this paper have been obtained
    Similar findings were reported by McAnoy et al. within the framework of the French Projet National
    (1982) for the cyclic tests carried out in the Tilbrook SOLCYP. SOLCYP is a joint industry project dedi-
    Grange glacial tills. cated to the behaviour of piles submitted to cyclic
    loading. The project, driven by IREX, involves 12
    4.5 Skin friction under cyclic loading contracting or consulting companies of the civil en-
    Figure 12 presents a typical example of the evolu- gineering sector, and 6 university and research labo-
    tion of the maximum skin friction mobilised during ratories. The project is funded by the partners,
    test C1 at three different levels. At 4.4m penetra- Agence Nationale de la Recherche; Ministre de
    tion, the ultimate value of the static skin friction is lEcologie, du Dveloppement Durable, des Trans-
    mobilised under the first cycles of the applied ports et du Logement; and Fdration Nationale des
    maximum cyclic load. A progressive degradation Travaux Publics. The authors are indebted to the
    of the maximum skin friction with the number of partners for granting permission to publish the re-
    cycles is visible. Stabilisation seems to occur after sults.

    313
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    mination de la courbe dvolution du module de
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    International PARAM 2002, Paris, Presses de
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    Josseaume H. (1998) Proprits mcaniques de
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    314
    AXIAL PILE CAPACITY OF WIND TURBINE FOUNDATIONS
    SUBJECT TO CYCLIC LOADING

    B Stuyts, D Cathie, H Falepin and A Burgraeve


    Cathie Associates, Brussels, Belgium

    Abstract
    As offshore wind projects move into deeper waters, tripod and jacket structures are becoming more favour-
    able as support structures for offshore wind turbines. These structures are much lighter than traditional jackets
    for oil and gas platforms, and the cyclic loading is a larger proportion of the loads. The response of piles in
    dense to very dense North Sea sands subject to long-term cyclic axial loads is complex, and there are no stan-
    dard methodologies to predict the effect of cyclic loading on the pile capacity. This paper briefly reviews
    available methods for assessing degradation of axial pile capacity due to cyclic loading. Foundation response
    under irregular storm loading is considered, and a new analytical approach for calculating pile capacity deg-
    radation is proposed. The method has been successfully validated against the Dunkirk pile load tests (Health
    and Safety Executive (HSE), 2000a) compared with the results of cyclic (T-Z) analysis, and applied to several
    large wind farm projects in the German sector.

    1. Introduction applied to two example cases. First, good correspon-


    dence with the Dunkirk pile test database (HSE,
    The response of tripod and jacket piles to long-term 2000a) is demonstrated. Second, the results for an
    cyclic axial loads is complex, and there are no gen- example tripod pile in dense to very dense North Sea
    erally accepted methodologies to predict the effect sands are discussed.
    of cyclic loading in sand. Moreover, the majority of
    recent research on the effects of cyclic loading 2. Cyclic Axial Loading of Offshore Wind
    focused on cyclic lateral loads on monopiles. Turbines

    For tripod piles, the majority of the moment arising 2.1 Cyclic loading of jackets and tripod structures
    from wind and wave loading on the structure is As noted earlier, for tripod and quadripod structures,
    transferred to axial loads on the individual piles. wave and wind loads are converted to axial com-
    Typical axial loading during design storm events is pression and tension forces on the piles. Therefore,
    discussed in section 2 of this paper. The analysis of cyclic axial loading is a much greater concern for
    cyclic loads for subsequent capacity degradation them than for monopiles, for which cyclic lateral
    analysis is also outlined. Section 3 of this paper con- loads control the design. Moreover, tripod and jacket
    tains a brief review of the response of the soil adja- piles usually behave in a flexible manner, according
    cent to the pile during cyclic axial loading. During to the flexibility criterion by Poulos and Hull (1989).
    high-intensity cyclic axial loading, the pile capacity This makes accumulation of irrecoverable lateral
    will reduce, and non-recoverable displacement at the displacements much less likely, although accumula-
    pile head will accumulate. The effect of cyclic lat- tion of irrecoverable differential axial displacements
    eral loading on the axial capacity is also considered. leading to inclination of the tower could be a
    concern.
    Methods for axial degradation analyses are reviewed
    in section 4, together with the available pile test Compared to tripod and jacket structures for tradi-
    data. A new analytical approach using basic tional oil and gas platforms, the permanent loads for
    geotechnical principles is also presented in this sec- offshore wind turbines are generally lower, but the
    tion. Finally, in section 5, the analytical method is cyclic loading is a more significant portion of the

    315
    total load (with cyclic amplitudes of approximately build-up, peak and decay of a storm event in terms
    50% of total design load). High amplitude cyclic of the ratio of significant wave height (Hs) to the
    loads can degrade pile capacity during storm events. maximum significant wave height for the storm
    Therefore, the effects of cyclic axial loading need to (Hs,max). Load histories may be simulated for each
    be considered in detail when designing foundations phase of the storm and combined together to calcu-
    for these structures. late the cyclic axial pile loads during the design
    storm.
    To enable the foundation designer to quantify the
    potential degradation of axial pile capacity, a rapid 2.3 Load analysis for cyclic capacity analysis
    calculation method is required. To date, most axial 2.3.1 Equivalent uniform cycle methods
    capacity degradation methods rely on a combination Analysing foundation response for a complex time
    of a degradation formula and axial pile response history of axial loads is time consuming and lacks
    analysis. These methods are fairly complex and are model calibration. Equivalent uniform cycle con-
    not implemented in commercial software packages cepts were developed in earthquake engineering to
    (HSE, 2000b; Richter et al., 2010). bridge the gap between irregular load histories and
    calculation models developed for uniform cycles
    2.2 Design storm events (Seed, 1975). The procedures outlined were devel-
    Load calculations for offshore wind turbines are oped for liquefaction analysis and soil dynamics.
    usually carried out using simulation software, which Whether a similar method can be applied to cyclic
    incorporates the entire wind, wave and current cli- axial pile loading is debatable, first because of the
    mate. Loads at the pile head are generated for a large maximum wave which has to be included in the load
    number of load combinations, specified in national history. Second, there is an inadequate database of
    or international standards (Germanischer Lloyd, cyclic pile load tests to calibrate equivalent uniform
    2005; Det Norske Veritas (DNV), 2010; Bundesamt cycle models. Further information on equivalent uni-
    fr Seeschifffahrt und Hydrographie (BSH), 2007) form cycle models is given in Stuyts et al. (2011).
    and corresponding to different modes of the turbine
    (e.g. operating, stand-still, emergency shutdown). In 2.3.2 Storm load analysis from simulated load
    the majority of cases, the design is governed by the calculations
    load case with the combination of wind intensity, The storm history from NORSOK can be subdivided
    wave climate, water level and current for a 50-year into a number of blocks as shown in Figure 1. For
    return period. Characteristic loads are therefore no each of the blocks, the metocean conditions are
    longer deterministic values, but rather statistical re- calculated and the axial loads are generated for a
    alisations from a combined metocean model. sufficient time interval.

    To ensure that the axial load corresponding to the 1.2


    maximum wave is included in the randomly gener- 1.0
    ated loading history, the maximum 50-year wave is
    Hs/Hs,max [-]

    0.8
    usually added to the statistically generated wave his-
    tory. This guarantees that the peak ultimate limit 0.6
    state (ULS) load, corresponding to the maximum 50- 0.4
    year wave, is included at least once in the loading
    0.2
    history. This peak load can be significantly higher
    than other loads generated for the storm history. For 0.0
    foundation design in which cyclic degradation is not 0 5 10 15 20 25 30 35
    considered, the ULS load is checked against the Duration [hr]
    static capacity. For design of a foundation subject to
    Figure 1: 35hr storm (NORSOK, 2007) subdivided in sub-
    high amplitude cyclic loading, this is not sufficient blocks
    since significant cyclic degradation cannot occur be-
    fore the ULS peak. Therefore, a design storm in Load cycles can be extracted from the time histories
    which the ULS peak is contained at least once needs of axial load, and a histogram of cycle packets can
    to be considered. be created as shown in Figure 2. These cycle packets
    are characterised by three values:
    Guidance on the evolution of wave heights during a x average load level (Eavg);
    35hr storm history is given in NORSOK (2007). The x cyclic load amplitude (Ecyc); and
    storm history presented in this standard includes x number of cycles in the packet (Ni).

    316
    Cyclic loads arising from wave loading usually x Cyclic axial loading with amplitude greater
    have much higher amplitudes than the load cycles than 25% of the shaft capacity causes progres-
    generated by the wind action on the turbine. This sive densification of the soil around the pile.
    should be taken into account when extracting load Cycling below the threshold value might be
    cycles from the signals. The loads in the histogram beneficial for pile capacity.
    can be normalised by the required static pile capac-
    ity (Rk). x Soil densification leads to a relaxation of the
    effective radial stress ( ) on the steel-soil
    interface.
    x The ultimate shaft friction decreases as the
    normal stress on the pile-soil interface reduces,
    3500 leading to an increased utilisation of the avail-
    able unit shaft friction.
    3000
    HSE (2000b) formulates a model to quantify the re-
    Number of cycles, Ni


    2500 duction in radial stress due to cyclic load-
    ing. The radial stress degradation model is presented
    2000
    in Equation 1:
    1500

    1000 (1)

    500
    where is the cyclic shear stress amplitude on the
    0 pile wall; is the ultimate unit shaft friction
    (in compression or tension); Ni is the number of cy-

    cles; is the initial radial effective stress; and A,
    B, and C are model parameters. The model parame-
    ters were determined from cyclic direct simple shear
    (DSS) tests on very dense North Sea sand (A =
    Figure 2: Example histogram of cyclic loads for a 35hr 0.083, B = 0.06, C = 0.355).
    storm
    3.2 Cyclic pile capacity reduction: field and model
    The histogram in Figure 2 shows that the majority of tests
    the loads during the storm are fairly low-intensity Several authors report degradation of pile capacity
    cyclic loads (Ecyc/Rk < 0.1), which are not likely to during cyclic loading (Chan and Hanna, 1980;
    cause significant cyclic degradation. A limited num- Nauroy et al., 1985; Abbs et al., 1988; Hewitt, 1988;
    ber of high-intensity cycles are generated from the Lee, 1988; Poulos and Hull, 1989; Schwarz, 2002).
    peak period of the storm (including a notable contri- However, to the authors knowledge, the only full-
    bution from the ULS peak). These cycles are shown scale database of cyclic axial field tests on driven
    in black in Figure 2. Such high-intensity loads have pipe piles in dense sand is the test database from
    the potential to cause axial capacity degradation Dunkirk (HSE, 2000a; see Table 1). These tests
    (Jardine et al., 2005) and their cumulative effect showed that during axial cyclic loading in tension,
    should be examined carefully. the piles exhibited a progressive reduction in capac-
    ity with increasing number of cycles and increasing
    3. Response of Driven Piles to Cyclic Axial load intensity.
    Loading
    This degradation response can be modelled by inte-
    3.1 Cyclic pile-soil interaction: element level grating the element model from Equation 1 over the
    Field tests carried out at the Dunkirk site (HSE, length of the pile, and applying successive cycles of
    2000a) show that high-intensity cyclic loading load. In the regions with the highest ratio of shear
    causes degradation of the radial stress on the pile- stress to ultimate unit shaft friction, the shaft capac-
    soil interface for driven piles in dense to very ity reduces as cyclic axial loading progresses. The
    dense sand. The following mechanisms are under- highest degradation usually takes place in the upper
    stood to control the degradation of axial pile ca- regions of the pile, leading to load transfer towards
    pacity: deeper layers.

    317
    Table 1: Summary of cyclic tests carried out at Dunkirk (HSE, resistance with displacement, and in which the axial
    2000a) pile flexibility contributes to higher cyclic displace-
    Test No Ni Rk,start Rk,end Eavg Ecyc ments at the top of the pile than the bottom. Jardine
    (kN) (kN) (kN) (kN) et al. (2005) developed the interaction diagram,
    2.R2.CY2 200 2317 2050 700 700 shown in Figure 3, based on the series of full-scale
    2.R3.CY3 13 2050 1650 950 950 cyclic tests on driven piles in dense sand at Dunkirk
    (Table 1). The authors recommend normalising both
    2.R4.CY2 221 2963 2100 1000 1000
    average and cyclic load by the shaft capacity, since
    2.R4.CY3 3 2100 1700 1250 750
    the shaft resistance will be fully mobilised before
    2.R5.CY2 345 2464 2000 1250 750 significant base resistance is developed.
    2.R5.CY3 27 2000 1350 700 700

    2.R6.CY2 1 2000 1585 1250 750


    1.0
    2.R6.CY4 24 1585 1300 700 700
    0.9 N=1
    2.C1.CY3 41 840 620 -40 600
    2.C1.CY5 12 620 515 -20 420
    0.8
    Note: Tension = positive, Rk,start = tension capacity (measured N=10
    or inferred) at start of cycling, Rk,end = tension capacity (meas- 0.7
    ured or inferred) at end of cycling N=20
    0.6
    Ecyc/Rk,shaft [-]
    N=50
    3.3 Pile head settlement accumulation
    0.5 N=100
    Together with a reduction in shaft capacity, irrecov-
    N=200
    erable displacements at the pile head also accumu- 0.4
    late during cyclic loading. For tripods, accumulated N=400

    differential displacements leading to tripod inclina- 0.3


    tion are a concern. The limiting inclinations for wind
    turbine operation should be clarified with the wind 0.2
    turbine manufacturer (DNV, 2010).
    0.1

    3.4 Influence of cyclic lateral loading 0.0


    As cyclic lateral loads can also cause densification 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
    of the soil around the pile and a reduction of the Eavg/Rk,shaft [-]
    radial stress, axial pile capacity can potentially be
    affected by lateral cycling. This effect has not yet Figure 3: Interaction diagram proposed by Jardine et al.
    been assessed thoroughly through field or scale (2005) based on Dunkirk cyclic tests
    model tests. For offshore pile design, a design
    approach can be adopted whereby the unit skin fric- The interaction diagram shown in Figure 3 contains
    tion is reduced down to a certain depth below sea- contours up to N = 400, as the Dunkirk tests did not
    bed. This is to account conservatively for the un- explore larger numbers of cycles. The cyclic re-
    known effect of cyclic lateral loading. This depth sponse below the N = 400 line is not well character-
    can be assessed from a lateral response analysis. ised and will be stable below a certain load level.
    Further details are given in Stuyts et al. (2011). Low level cyclic loading could even lead to an in-
    crease in the rate of pile setup.
    4. Axial Capacity Degradation Models
    To date, the high-cycle axial response of driven steel
    4.1 Interaction diagrams piles has not been tested sufficiently. Field or model
    Poulos and Hull (1989) propose a cyclic stability tests demonstrating whether high-cycle axial degra-
    concept categorising the pile behaviour into three dation occurs would be very valuable. Although no
    zones: unstable, metastable and stable. Cyclic loads test data is available for driven offshore tubular
    with average load (Eavg) and cyclic load amplitude piles, Kirsch et al. (2011) extend the cyclic stability
    (Ecyc) are normalised by the characteristic pile capac- contours up to N = 1e6. This extrapolation is based
    ity (Rk) to determine whether they lie in the stable or on tests on grouted micropiles. The relevance of
    unstable/metastable zone. Poulos and Hull (1989) these tests for offshore steel pipe piles is debatable.
    developed this diagram for long offshore piles in The interaction diagram proposed by Kirsch et al.
    clay soils, which experience degradation of the shaft (2011) is shown in Figure 4.

    318
    4.3 A new analytical approach for cyclic axial
    0.7 degradation calculations
    N=1e0
    When irregular storm loads are considered, a ra-
    0.6 tional approach is required to assess the influence of
    each packet of Ni load cycles with given average
    0.5 load level (Eavg) and cyclic amplitude (Ecyc). A
    N=1e1
    damage variable (D) can be defined as the ratio of
    0.4 N=1e2 applied cycles during the packet (Ni) and the number
    Ecyc/Rk

    N=1e3 of cycles to failure (Nf) for the given load combina-


    0.3 N=1e4 tion (Ecyc and Eavg). Each packet of cycles can be
    N=1e5 assumed to cause an increment of damage (Di,) to
    0.2 N=1e6 the axial pile capacity of a driven pile. Superposition
    of the damage due to all cycle packets in a 35hr
    0.1 storm will lead to an overall calculated reduction in
    pile capacity.
    0.0
    0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
    To implement this approach for use in pile design,
    Eavg/Rk three building blocks are needed. The first one is an
    Figure 4: Interaction diagram proposed by approach to assess the number of cycles to failure
    Kirsch et al. (2011) (Nf) for a given cyclic load level characterised by
    Ecyc and Eavg. The interaction diagrams from section
    Although the interaction diagrams are an intuitive 4.1 fulfil this requirement. Second, a relationship
    tool to use during pile design, there are limitations needs to be established between the ratio of Ni to Nf
    when using them for offshore wind turbines. These and Di, as given by a damage law such as a linear
    types of diagram are developed for uniform cycles, damage law, or the law proposed by de Alba (1975).
    whereas irregular storm loads consisting of various These laws are commonly used in liquefaction
    combinations of cyclic and average load levels can- analysis and are shown in Figure 5. Lastly, a rela-
    not readily be analysed. A more sophisticated design tionship needs to be established between Di and pile
    approach is required to analyse the 35hr design capacity reduction (5k,i).
    storm.
    1.0
    4.2 Cyclic load transfer (T-Z) curves
    Cyclic axial load transfer curves were developed Linear
    0.8
    by Randolph (2003). The program RATZ progres- de Alba
    sively reduces the unit shaft resistance as cyclic
    loading is applied based on an appropriate degra- 0.6
    dation law. The software is able to handle multiple
    Di

    average and cyclic load levels. Based on the unit 0.4


    skin friction calculated with the Imperial College
    Pile (ICP) capacity method (Jardine et al., 2005),
    0.2
    a cyclic axial degradation tool was developed us-
    ing the degradation formula in Equation 1 (HSE,
    2000b). 0.0
    0 0.2 0.4 0.6 0.8 1
    This model was calibrated to tests R3 and R4 from Ni/Nf
    Dunkirk. Although the cyclic axial load transfer Figure 5: Damage laws
    methods offer results that compare well with the
    available measured data, the computation time in- The relationship between Di and 5k,i can easily be
    volved can be prohibitive for detailed parametric developed by considering two extreme cases. For
    studies. In the following section, a simple analytical zero damage, the formula needs to predict zero re-
    cyclic degradation tool is presented that allows a duction in pile capacity. For full damage (Di = 1 rep-
    rapid assessment of the effect of cyclic loading on resenting failure), the maximum load during the cy-
    pile capacity for every turbine location. Critical cle (Emax,i) is equal to the degraded pile capacity
    wind turbine locations for axial pile design can thus (Rk,i 5k,i). The degradation equation from Equa-
    be identified quickly. tion 2 fully captures this behaviour:

    319


    (2) calibrated on these tests. The simulated response
    also shows a better match than the results of the cy-
    The flow chart in Figure 6 shows how the analytical clic T-Z analysis (HSE, 2000b).
    method is applied for calculation of the pile capacity
    1.0
    reduction during a 35hr storm.
    0.9 Nf=1

    0.8
    Nf=10
    0.7
    Nf=20

    Ecyc/Rk,shaft [-]
    0.6
    Nf=50
    50
    0.5 Nf=100
    00 2.R3.CY3
    Nf=200
    0.4 2.R4.CY3
    Nf=400
    0.3 2.R4.CY2
    2.R3.CY2
    0.2
    0.1
    0.0
    0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
    Eavg/Rk,shaft [-]
    Figure 7: Load combinations for Dunkirk tests R3 and R4 in
    the Jardine et al. (2005) interaction diagram

    2.4
    2.3
    Tension capacity [MN]

    Figure 6: Axial capacity reduction calculation process 2.2


    . Application of Analytical Cyclic Capacity 2.1
    Reduction Model 2.0
    1.9 R3 -
    .1 Dunkirk pile tests R3 and R4 Measured
    1.8
    The pile tests R3 and R4 have been back-analysed Cyclic T-Z
    using the interaction diagram of Jardine et al. 1.7 curves (HSE,
    2000b)
    (2005), a linear damage law and the pile capacity 1.6 Simulated

    degradation formula (Equation 2). The load combi- 1.5


    nations given in Table 1 are plotted in the Jardine 0 50 100 150 200 250 300
    interaction diagram in Figure 7. Interpolating be- Ntotal [-]
    tween the cyclic contours leads to numerical values (a)
    for the number of cycles to failure (Nf). For the first 3.1 R4 - Measured
    stage of the cyclic tests, the calculated number of
    2.9 Cyclic T-Z curves
    cycles to failure lies between 200 and 400. For the
    Tension capacity [MN]

    (HSE, 2000b)
    second stage, the number of cycles to failure is on 2.7 Simulated
    the order of 10 cycles. Applying the linear damage 2.5
    law and Equation 2 leads to the axial pile capacity
    2.3
    degradation plotted in Figure 8 (simulated line). The
    results from the analysis with cyclic T-Z curves 2.1
    (HSE, 2000b) are also plotted for comparison. 1.9
    The results of the model simulation show that a con- 1.7
    servative estimate of the pile capacity degradation 1.5
    during the first stage of the test is obtained. During 0 50 100 150 200 250 300
    the second stage of the test, the cyclic degradation
    (b) Ntotal [-]
    model predicts cyclic failure. This corresponds well
    with the rapid drop in capacity, which was also ob- Figure 8: Pile capacity degradation calculated for pile
    served in the tests (HSE, 2000a). This good match is tests (a) R3 and (b) R4
    logical since the interaction diagram (Figure 7) was

    320
    .2 Generic dense sand profile reducing pile penetration. For piles embedded be-
    The cyclic storm history from Figure 2 was applied tween 20m and 25m, the pile clearly would not have
    to a 2.5m outside diameter (OD) open-ended driven the required cyclic capacity.
    pile embedded in dense sand. For relatively light-
    weight steel structures, the tension capacity is usu- Experience from German wind farm sites shows that
    ally critical for pile design. The initial shaft capacity the pile penetration chosen based on static ULS de-
    in tension was calculated according to the ICP sign is usually above the cyclic threshold. This is
    method (Jardine et al, 2005) and presented as the mainly due to the large difference between the ULS
    solid line in Figure 9 for pile penetrations from zero peak and the other loads during the storm history. To
    to 40m. The histogram from Figure 2 was also ap- account for the high degree of uncertainty on the
    plied in combination with interaction diagrams by calculated pile capacity degradation, a partial safety
    Jardine et al. (2005) and Kirsch et al. (2011). A factor should be applied to the calculated degrada-
    linear damage accumulation law was used. The cal- tions. In the example, a partial factor of 2.0 was
    culated capacity reduction can be subtracted from used. Note that the influence of the soil profile is
    the initial pile capacity, leading to a reduced pile captured through the use of the initial static capacity
    capacity after the 35hr storm. The dashed line in (calculated with cone penetration test (CPT) meth-
    Figure 9 shows the reduced pile capacity in tension ods). For mixed soil profiles where the load transfer
    calculated using the Jardine et al. (2005) diagram, to the different layers is complex, the analytical
    while the dashed-dotted line shows the reduced model described here may not be applicable and
    capacity using the Kirsch et al (2011) interaction should be verified with cyclic T-Z approach.
    diagram.
    . Conclusions
    Axial capacity [MN]
    0 10 20 30 40 Cyclic axial capacity degradation can be a design is-
    0 sue for offshore wind turbines with tripod or jacket
    Static tension capacity foundations. During storms, progressive axial capac-
    5
    ity reductions may occur. A new method for assessing
    Cyclic tension capacity cyclic axial capacity degradation in relatively homo-
    Depth below mudline [m]

    10 (Jardine et al diagram)
    geneous soil profiles is proposed for an irregular
    Cyclic tension capacity
    15 (Kirsch et al diagram) storm history. The method uses a combination of a
    cyclic interaction diagram, a damage law and a pile
    20 capacity reduction formula. The method shows good
    agreement with the Dunkirk pile load tests.
    25
    The use of the method is demonstrated for a generic
    30 soil profile consisting of dense sand and a 35hr
    storm. The influence of the choice of interaction
    35
    diagram on the results clearly shows that further cy-
    clic axial pile testing is required to increase the level
    40
    of confidence in the cyclic behaviour of piles. The
    Figure 9: Pile tension capacity degradation for a generic soil
    method can be applied to any soil profile consisting
    profile with dense sand predominantly of sand. The model may be less reli-
    able in mixed soil profiles where load transfer to
    Figure 9 clearly shows that there is a threshold pile weaker layers occurs. Cyclic T-Z analysis could be
    penetration below which cyclic loading has little or considered for such cases.
    no influence on the pile capacity. This threshold
    penetration depends on the interaction diagram used References
    in the degradation calculation. The Jardine et al.
    (2005) diagram predicts a shallower threshold pene- Abbs AF, Bell RA, Khorsid MS and Jewell RJ.
    tration, since no degradation is assumed for load (1988). Evaluation of pile friction from conduc-
    levels with Nf > 400. The extension of the Kirsch et tor load tests. Proc. Int. Conf. on Calcareous
    al. (2011) interaction diagram to higher cycle num- Sediments, Perth, WA.
    bers leads to a deeper threshold penetration. For pile Bundesamt fr Seeschifffahrt und Hydrographie
    penetrations shallower than the threshold penetra- (BSH). (2007). Standard design of offshore wind
    tion, cyclic capacity reductions increase rapidly with turbines. Hamburg: BSH.

    321
    Chan SF and Hanna TH. (1980). Repeated loading Schwarz P. (2002). Beitrag zum Tragverhalten von
    on single piles in sand. Journal of Geotechnical Verpresspfhlen mit kleinem Durchmesser unter
    Engineering Division 106: 171188. axialer zyklischer Belastung, Heft 33 der
    De Alba P, Chan CK and Seed HB. (1975). Deter- Schriftenreihe Technische Universitt Mnchen,
    mination of Soil Liquefaction Characteristics by Lehrstuhl und Prfamt fr Grundbau, Boden-
    Large-Scale Laboratory Tests. Report No. EERC mechanik und Felsmechanik.
    75-14, Earthquake Engineering Research Center, Seed HB. (1975). Representation of irregular stress-
    University of California, Berkeley. time histories by equivalent uniform stress series
    Det Norske Veritas (DNV). (2010). DNV-OS-J101 - in liquefaction analysis. Report No EERC 75-29.
    Design of offshore wind turbine structures. Stuyts B, Irvine J and Cathie DN. (2011). Assessing
    Hamberg: DNV. the stability of pile tripod foundations for off-
    Germanischer Lloyd. (2005). Guideline for certifica- shore wind turbines under cyclic loading. Proc.
    tion of offshore wind turbines. Hamburg: Ger- 8th International Conference on Structural Dy-
    manischer Lloyd. namics, Leuven, Belgium.
    Health and Safety Executive. (HSE). (2000a). Pile
    Load Testing Performed for HSE Cyclic Loading
    Study at Dunkirk, France, Volume 1. Offshore
    Technology Report OTO 2000 008. Norwich:
    HSE.
    HSE. (2000b). Cyclic Degradation of Offshore Piles.
    Prepared by WS Atkins Consultants Ltd. Off-
    shore Technology Report OTO 2000 007. Nor-
    wich: HSE.
    Hewitt CM. (1988). Cyclic response of offshore pile
    groups, PhD thesis. University of Sydney.
    Jardine R, Chow F, Overy F and Standing J. (2005).
    ICP design methods for driven piles in sands and
    clays. London: Thomas Telford.
    Kirsch F and Richter T. (2011). Ein einfaches
    Nherungsverfahren zur Prognose des axial-
    zyklischen Tragverhaltens von Pfhlen, Bau-
    technik 88, Heft 2, 113120.
    Lee CY. (1988). The behaviour of grouted piles in
    offshore foundations, PhD thesis. University of
    Sydney, Australia.
    Nauroy JF, Brucy F and LeTirant P. (1985). Static
    and cyclic load tests on a drilled and grouted pile
    in calcareous sand. Proc. Beh. of Offshore Struc-
    tures (BOSS), Amsterdam, 577587.
    NORSOK. (2007). Actions and Action Effects. Nor-
    sok Standard N-003. Rev.2. Lysaker: NORSOK.
    Poulos HG and Hull TS. (1989). Pile behaviour
    theory and application. Gotechnique 39: 365
    415.
    Randolph MF. (2003). RATZ Version 4-2: Load
    transfer analysis of axially loaded piles. Techni-
    cal report, School of Civil and Resource Engi-
    neering, University of Western Australia, Perth,
    Australia.
    Richter T, Kirsch F and Mittag J. (2010). Bemes-
    sungskonzepte fr axial-zyklisch belastete Pfhle
    Ein berblick und neue Anstze', DGGT
    (Hrsg.) Vortrge zur Baugrundtagung, Mnchen,
    Germany.

    322
    EXPERIMENTAL INVESTIGATION OF CYCLICALLY AXIALLY
    LOADED PILES
    M Rouainia
    Newcastle University, Newcastle upon Tyne, UK
    M Ramsey
    Geomarine Ltd, Newcastle upon Tyne, UK
    Formerly of Newcastle University, Newcastle upon Tyne, UK
    B Stuyts
    Cathie Associates, Diegem, Belgium

    Abstract
    This paper presents the results of a series of laboratory tests performed on model piles in dense sand to inves-
    tigate the axial response and tensile capacity. The test schedule was designed to impose varying cyclic loads
    followed by static tensile tests to measure the improvement or degradation in pile capacity. The degree of
    degradation was calculated by using a simplified axial degradation model, a formulation that encompasses
    average and cyclic loads along with a prediction of the number of cycle to failure of the pile. The results indi-
    cated that few intensity cyclic loading rapidly leads to shakedown behaviour. The model predicted no capac-
    ity degradation during low-intensity cycling at low load levels with minimal degradation in the high-intensity
    cyclic loading tests. Measurements of tensile capacity after high intensity compressive cycles, which showed
    varying amounts of degradation, indicate that very low cyclic load levels need careful consideration in any
    degradation formulation. Load levels that did not cross a threshold, dependent on the load application history,
    showed little or no degradation. This threshold will be higher if low load level cycling has improved capacity
    and lower if degradation has occurred in previous loading cycles.

    1. Introduction empirical methods for offshore oil and gas platform


    foundations (Poulos, 1989). This lack of theoretical
    A large body of literature is available on the subject understanding has been recognised and has led to a
    of loading of piles used for offshore structures of number of full-scale instrumented pile tests in sands
    different types, such as oil and gas platforms. How- being carried out. These included a series of tests by
    ever, there is wide acknowledgement that the under- Chow and Jardine (1996) at Dunkirk with open-
    standing of the axial response to cyclic loading of ended piles of up to 760mm in diameter in sand,
    tubular steel piles in sand is currently limited (Byrne which led to revised methods of calculating shaft
    and Houlsby, 2003; Cathie, 2010). There is evidence capacity. These piles are still relatively small in
    for both axial pile capacity degradation and im- terms of proposed pile diameters of monopile and
    provement of static capacity for given sets of cir- jacket-truss foundations used for deeper water off-
    cumstance dependent on soil type, foundation design shore wind farms, where diameters of up to 5m are
    and the type of cycling (Chow and Jardine, 1996). In becoming more common (Wichtmann et al., 2008).
    the case of sand, cyclic loading is expected ulti- This current research is concerned with small-scale
    mately to reduce the axial capacity of the pile itself. modelling of these piles and, in particular, the piles
    As noted by Abdel-Rahman and Achmus (2011), used in jacket-truss structures that are more prone to
    there is a need for a method of calculating axial pile the effects of cyclic axial loading.
    capacity degradation with regard to load magnitude
    and number of load cycles. This is important in rela- 2. Test Equipment and Materials
    tion to the improvement of economic design meth-
    ods and the number of wind farms proposed to be 2.1 Test sand
    constructed in the coming years. Particle size distribution (PSD) tests, in general ac-
    cordance with BS 1377-2 (British Standards Institute
    The subject of the axial response of tubular steel (BSI), 1990), were initially carried out on six com-
    piles in dense sand subjected to irregular or low load mercially available sands to determine suitability for
    level cyclic loading has traditionally relied upon the model testing. With the exception of the Leyton

    323
    Buzzard sand, the commercial names have been re- low the pile, extending to approximately three pile
    tained. It was determined that a fine or very fine diameters, did not interact with the walls or the floor
    quartz sand would be the most effective in this re- of the test tank. It was concluded that the pile was
    spect, with the plastering sand shown in Figure 1 be- not affected by any boundary conditions.
    ing the most applicable. This was air-dried and
    passed through a 2mm sieve to remove any foreign
    objects and particles over that size. The test sand
    was defined as a poorly graded slightly silty sand
    with a D50 of 0.07mm, a coefficient of uniformity
    (Cu) (D60/D10) of 2.67 and a coefficient of curvature
    Cg(D302/(D60 D10)) of 0.84. Maximum and mini-
    mum dry densities were determined to be 1.5Mg/m3
    and 1.31Mg/m3, respectively.

    Figure 2: Test tank and GDS mount

    Figure 1: PSD analysis of potential test sands

    2. Laboratory test equipment


    The tank used for testing was a prefabricated steel
    container, with internal measurements of 860 860
    600mm. It had corrugated side panels to provide
    lateral stiffness, floored with 12mm plywood and
    lined with heavy duty polythene. A standard piece of
    laboratory test equipment produced by GDS Instru-
    ments, which included a general upgrade of software
    with specific changes made for tension start testing,
    was used to both drive and impart cyclic loads to the Figure 3: Finite element model of pile in test tank
    model pile. An 8kN load cell was attached to the dy-
    namic loading system, and the ram stroke was 2.3 Model pile
    83.5mm. To facilitate a means of both installing and Initial thoughts were to model a 35m-long, 4m-
    loading (static and cyclic) the model pile, a frame- diameter pile at a 1:100 scale. However, the only
    work to mount the dynamic triaxial loading system commercially available tubing had a 38.1mm diame-
    head was fabricated from steel U channel sections. ter and a 1.5mm wall thickness, which is equivalent
    This included a number of holes to allow the height to a 3.8m full-scale pile but with a wall thickness of
    and lateral position of the head to be altered. Figure 2 150mm. Using the American Petroleum Institute
    shows a schematic representation of the test equip- (API, 2000) guidelines on pile wall thickness, it was
    ment. apparent that keeping the 1:100 scale would not be
    possible, as this would result in the model pile wall
    2.2 Pre-testing for boundary effects thickness being a mere 0.45mm which was not
    A 3D finite element model was run to ensure that commercially available. The pile cap had a M10
    there were no boundary effects; the results are threaded hole, centrally positioned to allow the pile
    shown in Figure 3. The modelled pressure bulb be- to be connected to the load cell of the dynamic triax-

    324
    ial loading system. In addition, it had a 3mm clear tension (Ft). Using dynamic equipment attached to
    drilled hole to allow venting of any excess air pres- the pile, a series of static tests was performed by ap-
    sure that could potentially limit plugging of the pile plying load at the same rate as in the cyclic tests (i.e.
    during jacking in. The outside pile shaft was altered 8s per cycle or 0.125Hz). Results of these tests
    by sand blasting to produce a scaled surface rough- showed the point of critical failure of the soil/pile in-
    ness more representative of a full-scale pile. This terface friction, equivalent to 2.5mm of displace-
    was then measured at four points along the shaft us- ment. Beyond this, displacement increased with
    ing a Mitutoyo Surftest 401 Analyser to determine a minimal additional force. Values of 2.8kN for Fc and
    centre line average roughness (RCLA) value. These 0.325kN for Ft were derived from these tests. These
    YDOXHVUDQJHGIURPDPLQLPXPRIPWRDPD[i- values were then used to define cyclic load levels for
    mum of 1.9P ZLWK DQ DYHUDJH RCLA value of all cyclic tests. In the case of Ft, this would also be
    P7KLVLVVOLJKWO\OHVVWKDQRIWKHP the value used as a datum for the tensile pullout tests
    value quoted by Jardine et al. (1998) on full-scale performed after each cyclic test.
    piles.
    A displacement of 2.5mm waVHTXLYDOHQWWRRI
    3. Testing Procedure pile diameter, which is in good agreement with the
    findings of Jardine et al. (1998). However, this is
    3.1 Test tank filling and compaction less than the generally accepted industry criterion
    Initial filling of the tank was carried out in layers as ( RI SLOH GLDPHWHU) for pile failure. At 1 RI
    a means of determining initial and final densities. pile diameter (3.8mm) there was a marked devia-
    Fourteen buckets of sand, each weighing ~12kg, tion away from the linear portion of the loading
    were poured in and spread evenly to cover the bot- curve. It was thus felt that the value may be non-
    tom of the tank to a depth of 160mm, giving an ini- conservative.
    tial density of 1.3Mg/m3. Mechanical vibration was
    used to compact this layer down to 140mm in an Table 1: Cyclic test schedule
    overlapping pattern, giving a final density of Test Start Ni Favg/ Max Fcyc/ Favg Rk,shaft
    1.5Mg/m3. This process was repeated four times to No Rk,shaft Rk,shaft [N] [N]
    produce a compact sand mass filling the tank to 3 HI Comp. 80 0.3 0.292 840 2800
    ~580mm depth, with a density of ~1.5Mg/m3. 4 HI Comp. 30 0.3 0.292 840 2800
    5 HI Comp. 80 0.3 0.292 840 2800
    3.2 Model pile installation 6 HI Comp. 75 0.3 0.225 840 2800
    7 HI Tens. 80 0.3 0.303 98 325
    The limited stroke of the dynamic equipment meant
    8 HI Tens. 30 0.3 0.294 98 325
    that the pile had to be installed through a number of
    9 HI Tens. 80 0.3 0.296 98 325
    steps programmed in the equipment software that 10 HI Tens. 75 0.3 0.202 98 325
    controlled the rate of insertion. The pile shaft was 11 LI Comp. 1700 0.3 0.150 840 2800
    marked 350mm from the tip to allow each pile to be 12 LI Comp. 700 0.3 0.152 840 2800
    inserted to the same depth. It required a total of four 13 LI Comp. 1700 0.3 0.150 840 2800
    full steps and one partial step to embed the pile to 14 LI Comp. 1500 0.3 0.100 840 2800
    the correct depth. Using dynamic equipment to in- 15 LI Tens. 1700 0.3 0.169 98 325
    sert the pile made it possible to measure the force 16 LI Tens. 700 0.3 0.154 98 325
    used for the pile insertion process. After the first pile 17 LI Tens. 1700 0.3 0.154 98 325
    had been inserted, the equipment head was moved to 18 LI Tens. 1500 0.3 0.055 98 325
    the position for the second pile placement. Note: Ni = number of cycles; Rk,shaft = pile capacity
    (measured/inferred at start of testing, compressive or tensile)
    3.3 Cyclic and static test schedule
    The test schedule (see Table 1) consisted of a num- 4. Simplified Cyclic Axial Degradation Model
    ber of static compression and tension tests as a
    means of determining initial capacities. These were One method of analysis employed in this research
    followed by mirrored (rising load/falling load) cyclic consists of a series of equations that form the simpli-
    tests with varying loads and cyclic amplitudes in fied cyclic axial degradation model developed by
    each stage. Each cyclic test was followed by a static Cathie Associates. This model has been developed
    tension, or pullout, test to failure for comparison by combining and modifying a number of elements
    with initial static tests. Static loading tests to failure proposed in work carried out by De Alba et al.
    were carried out first to determine the ultimate bear- (1975), Jardine et al. (2005), Mittag and Richter
    ing capacity of the pile in both compression (Fc) and (2005), and Richter et al. (2010). These works cover

    325
    damage accumulation law, interaction diagrams and tion, Fmax,i is the maximum force applied during the
    axial resistance calculations, respectively. cycle packet and Rk,i is the characteristic shaft resis-
    tance either at the start, or as a result of any accumu-
    De Alba et al. (1975) suggested that a damage ac- lated degradation from previous cyclic episodes.
    cumulation law, as used in earthquake engineering
    to describe the accumulation of pore water pressure, The model formulation accumulates damage, and
    would be appropriate for liquefaction analysis of therefore degradation of shaft resistance from pre-
    sands. This is given by: ceding cycle packets is an inherent feature of the
    calculation. Jardine et al. (2005) indicate that a

    threshold exists for the magnitude of cyclic loading.
          (1) For this, loads below the threshold do not cause deg-

    radation of capacity and could actually lead to ca-
    where Di is the dimensionless damage in load packet pacity improvement. These threshold values were
    (i), ni is the number of cycles in I; and Nf is the num- not included in the formulation of the model to en-
    ber of cycles to failure for the load level in i. Mittag sure conservative predictions.
    and Richter (2005) expanded the Jardine et al.,
    (2005) interaction diagram to encompass cycle 5. Results
    numbers up to N = 1 106. They derived a simple
    analytical formula for the number of cycles to failure Each suite of tests showed uniform cyclic load ap-
    given by: plication was achieved as shown by the clear hys-
    teresis loops (e.g. see Figure 4) leading to a pro-

        (2) gressive increase in displacement as each stage
    
    progressed. The angle of the axis of the hysteresis
    The number of cycles to failure (Nf) can also be de- loops in each stage became steeper, indicating that
    rived from other interaction diagrams, such as that strain hardening of the soil was occurring as the tests
    proposed by Jardine et al. (2005). The choice of in- proceeded. Failure did not occur during any of the
    teraction diagram will affect the computed pile ca- tests, as each stage parameters was set to apply half
    pacity degradation and should therefore be evaluated of the cycles required to produce failure of the pile.
    carefully. The relevance of the pile tests used for There was a trend in the accumulation of displace-
    calibrating high-cycle behaviour in the interaction ment that was seen in all high intensity compressive
    diagram needs to be assessed. Although the high- start tests (36). However, the rate of accumulation
    cycle behaviour of the interaction diagram proposed of displacement was linked more to the cyclic load
    by Mittag and Richter (2005) was defined based on level in each stage than the number of cycles ap-
    another pile type, it was selected for this study be- plied. This was the only set of tests that did not show
    cause it led to the most conservative results. shakedown behaviour, meaning that plasticity oc-
    curred during the cycles.
    When combined with Equation 1, the damage in-
    crement can be specified as:


       

    (3)

    where Nf,i is the number of cycles to failure for a


    given load packet. This number is dependent on both
    cyclic and average load, as well as the characteristic
    pile resistance at the beginning of each cycle packet.

    The damage variable (Di) needs to be a normalised


    quantity varying from 1 (failed state) to 0 (intact
    state). This must be done for each load level consid-
    ered to determine the axial pile resistance degrada- Figure 4: Test 3 cyclic loading output
    tion, as follows:
    The high intensity tensile start tests shown in Table

      (4) 2 (tests 710) all show a rapid decrease in accumula-
    
    tion of displacement characteristic of shakedown
    where 'Rk,i is the characteristic shaft resistance deg- behaviour. The cyclic amplitude and number of cy-
    radation for the cyclic load packet under considera- cles appeared to accumulate very little displacement,

    326
    especially when D50 = 0.07mm particle size was by Poulos, there should not be any degradation in
    considered. This shakedown behaviour would ap- capacity.
    pear to be the likely cause of the improvement in
    post cyclic loading static tensile capacity.
    Table 2: Tensile capacity test results
    Test Measured Tensile Degradation Model Pre-
    No. Capacity Change dicted Loss of Compres-
    [%] sive Capacity [%]
    3 0.3 loss 0.35
    4 22.5 loss 0.3
    5 11.1 loss 0.13
    6 5.5 gain 0.13
    Figure 5: Positions of test data using Jardine et al. (2005) in-
    7 53.2 gain 0.15
    teraction diagram
    8 12.3 gain 0.04
    9 30.2 gain 0.02
    10 4.3 gain 0.01
    11 8 loss 0.04
    12 35.1 gain 0.04
    13 42.4 gain 0.01
    14 4 gain 0.01
    15 40.3 gain 0.01
    16 6.8 gain 0
    17 12.9 gain 0
    18 36.3 gain 0

    6. Discussion

    Jardine and Standing (2000) suggests that low load


    level cycling with cycle numbers above N = 400
    should result in capacity improvement. This was
    seen in this testing with the exception of Test 11, Figure 6: Cyclic stability diagram from Poulos (1988) showing
    ZKLFK VKRZHG DQ  UHGXFWLRQ LQ FDSDFLW\ &Rm- positions of generated data
    ment cannot be made on the improvement or degra-
    dation of compressive capacity as this was not It should be noted that as a result of the size of the
    measured during the test schedule. model and the 1G condition in which the testing
    took place, there is significant divergence from a
    As mentioned earlier, the number of cycles to failure full-scale test. This is demonstrated by the differ-
    can also derived from other interaction diagrams, ences in values, such as the ratio of Ft/Fc = 0.12
    such as that proposed by Jardine et al. (2005). Figure which is very low when compared to values quoted
    5 shows the test conditions relative to the contour by De Nicola and Randolph (1993) of Ft/Fc = 0.7. In
    lines in the Jardine et al. (2005) interaction diagram. this current study, it is possible that this can be at-
    The data points lie in the region where numbers of tributed to the lack of overburden pressure attained
    cycles to failure in excess of 400 are expected. in the sand tank used for testing. An increasing
    overburden pressure with increasing depth implies
    All tests performed are within the cyclically stable that lateral forces at depth should also increase,
    or cyclically metastable zones on the Poulos which in turn should increase the radial forces
    (1989) stability diagram (see Figure 6. As suggested around the pile and therefore the tensile capacity. As

    327
    there is very little overburden pressure in this trial formulation. Computers and Geotechnics 34:
    and given the aforementioned assumption, this could 151163.
    go some way to explaining why the measured tensile American Petroleum Institute (API). (2000). Rec-
    capacity is very low. ommended practice for planning, designing and
    constructing fixed offshore platforms. API Rec-
    One factor that also influences the Ft/Fc ratio is the ommended Practice 2AWSD (RP2A-WSD), 21st
    slenderness ratio (L/d) of the pile, as described by edition, Dallas.
    Byrne BW and Houlsby GT. (2003). Foundations for
    Alawneh et al. (2007), in which an increasing L/d ra-
    offshore wind turbines. Phil. Trans. of the Royal
    tio (of pile compressibility) reduces the Ft/Fc ratio. Soc. 361: 29092930.
    This implies that the variance between Ft and Fc be- Cathie D. (2010). Borkum West II Development,
    comes greater. The model pile used in these tests cyclic loading analysis. Internal Document Ref.
    had L/d = 11. When compared to the range sug- C113T15. Cathie Associates.
    gested by Alawneh et al. (2007), this ratio is also Chow FC and Jardine RJ. (1996). Investigations into
    very low, indicating a very stiff pile with a high the behaviour of displacement piles for offshore
    Poissons ratio and low compressibility. In such a foundations. Ground Engineering 29: 2425.
    case, the implication is that all deformation is occur- De Alba P, Chan CK and Bolton Seed H. (1975).
    ring within the soil mass around the pile with mini- Determination of Soil Liquefaction Characteris-
    mal contribution from the pile itself. tics by Large-scale Laboratory Tests. Seattle:
    Shannon & Wilson
    7. Conclusion De Nicola A and Randolph MF. (1993). Tensile and
    compressive shaft capacity of piles in sand. J. of
    A number of cyclic loading tests were carried out on Geotech. Eng., 119(2): 1952-1973.
    model piles in dense sand to investigate the axial re- Jardine RJ and Standing JR. (2000). Pile Load Test-
    sponses and tensile capacity after cyclic loading. ing Performed for HSE Cyclic Loading Study at
    Load levels were varied in up to three stages during Dunkirk, France. 2 vols. Offshore Technology
    each test, with the aim of producing data for use in Report OTO 2000 007. London: HSE.
    the simplified axial degradation model. The results Jardine RJ, Overy RF and Chow FC. (1998). Axial
    capacity of offshore piles in dense North Sea
    indicate that low intensity cyclic loading generated
    sands. J. of Geotech. and Geoenv. Eng. 124: 171
    the greatest improvement in pile capacity, as meas-
    178.
    ured in tensile pullout tests after cyclic loading. The Jardine R, Chow F, Overy F and Standing J. (2005).
    tests that began with tensile cyclic loading tended to ICP Design Methods for Driven Piles in Sands
    show the greatest improvement in post-cyclic capac- and Clays. London: Thomas Telford.
    ity. There was some initial accumulation of dis- Mittag J and Richter T. (2005). Beitrag zur Bemes-
    placement that decreased rapidly, leading to shake- sung von vertical zyklisch belasteten Pfhlen, in
    down behaviour developing. The model predicted no Festschrift zum 60. Geburtstag von Heern, Schrif-
    capacity degradation during the low-intensity cy- treihe Geotech. Univeritt Kassel, Heft.
    cling, and minimal degradation in the higher inten- Poulos HG. (1989). Pile behaviour theory and ap-
    sity cyclic loading tests. plication. Gotechnique, 39(3), 365-415.
    Richter T, Kirsch F and Mittag J. (2010). Bemes-
    It is therefore postulated that amplitude and number sungskonzepte fr axial-zyklisch belastete Pfhle
    of cycles are not as critical to the amount of dis- Ein berblick und neue Anstze. Pre-print (as
    placement as is the direction in which the cyclic load- reviewed in Cathie Associates report C131T23 is-
    ing starts. As for a full-scale pile, shakedown will sue 02).
    probably occur long before the first storm event.
    Therefore, the pile should be cyclically stable as long
    as the loads are below the threshold for degradation.

    References

    Abdel-Rahman K and Achmus M. (2011). Numeri-


    cal modelling of tension piles under axial cyclic
    loading. Proc. 2nd Intl Symp on Computer Ge-
    omech, Cavat-Dubrovnik, Croatia.
    Alawneh AS, Nusier OK and Sharo AA. (2007).
    Poisson's ratio effect on compressive and tensile
    shaft capacity of driven piles in sand: theoretical

    328
    STABILITY OF CAST IN PLACE PILES IN SAND UNDER AXIAL
    CYCLIC LOADING
    A Guefrech, G Rault, N Chenaf, L Thorel and J Garnier
    LUNAM Universit, IFSTTAR, GER, Physical Modelling in Geotechnics Group, France
    A Puech
    Fugro-France, Nanterre, France

    Abstract
    The behaviour of non-displacement piles installed in dense Fontainebleau sand and subject to both static
    and cyclic vertical loads is investigated in a geotechnical centrifuge at a scale of 1:23. Different loading se-
    quences with several combinations (one- and two-way) have been applied. The influences of the cyclic load
    amplitude and mean amplitude are analysed.

    1. Introduction covered the full range of loading modes (monotonic


    versus cyclic; compressive versus tensile; and one-
    Numerous types of structure experience significant way versus two-way).
    cyclic loading. Cyclic loads may be essentially envi-
    ronmental (e.g. wave, wind) or operational in origin. 2. Experimental Work
    The oil and gas industry has developed procedures
    Centrifuge physical modelling is a widespread tech-
    for considering the effects of large wave cyclic loads
    nique in the geotechnical field. It makes it possible
    on foundations for offshore structures (e.g. Ameri-
    to reproduce in situ stresses in a small-scale model.
    can Petroleum Institute (API), 2011). The offshore
    The full-scale geotechnical model (P) and the small-
    wind farm industry is progressively adapting such
    scale model (M) are linked through scaling laws, de-
    methodologies.
    duced from equilibrium equations. The main scaling
    Comparatively, the effects of cyclic loading on factors (x* = xM/xP) used in this study are listed in
    foundations are largely ignored in most civil engi- Table 1 where N is the centrifuge acceleration, or g-
    neering and building activities. The French national level. The tests were carried out at the IFSTTAR
    programme, SOLCYP (Puech et al., 2012), aims to geotechnical centrifuge facility under a g-level of
    investigate the effects of cyclic loadings on piles. 23.
    The experimental part of the project includes both Table 1: Scaling factors
    large-scale and model pile testing, which will be Parameter Scaling Factor
    performed in calibration chambers and in the centri- Length and displacement "* = 1/N
    fuge. The main objective of the centrifuge tests is to Density U* = 1
    study the stability of piles in sands and clays subject Acceleration g* = N
    to a large variety of cyclic loading histories. Centri- Stress V* = 1
    fuge testing has proved its efficiency in conducting Force F* = 1/N2
    extensive series of tests, as it allows a large range of
    parameters to be varied while keeping associated 2.1 Model pile design
    costs relatively low, when compared to in situ test-
    The model piles are aluminium cylinder rods 18mm
    ing (e.g. Craig, 1988).
    in diameter and 560mm in height. These dimensions
    This paper focuses on the results of the first series of were chosen in order to simulate at 23g a prototype
    tests conducted at the IFSTTAR (formerly LCPC) pile similar to the piles used in the field at the Mer-
    centrifuge facility in Nantes, France. The mode of ville and Dunkirk test sites. These sites are located
    installation of the model piles is intended to simulate in the North of France. Piles are 0.42m in diameter
    soil-pile interactions relevant for cast-in-place piles. and have a 13m embedment depth (Benzaria et al.,
    The tests, conducted in dense Fontainebleau sand, 2012). The model pile was also designed to avoid

    329
    scale effect with soil particles, following the classi-
    cal scaling laws (Garnier et al., 2007).

    The pile surface is rough, and this roughness was


    obtained by mechanical machining. It is character-
    ised by a normalised roughness Rn (Lings and Dietz,
    2005), defined as the ratio between Rmax and d50
    (Figure 1) and is equal to 0.5 for all tested piles.

    Figure 3: Piles after positioning the top half of the strongbox

    Figure 1: Normalised roughness definition

    2.2 Sand preparation


    The piles were installed in Fontainebleau sand,
    which has a minimum density (Udmin) of 1.417g/cm3
    and a maximum density (Udmax) of 1.736g/cm3
    (Sobesol, 2007). The particle size distribution is
    given in Table 2. The dry sand was filled in a
    strongbox using the air pluviation technique (Figures
    2 and 3). The relative sand density was controlled by
    adjusting the falling height, the flow rate and the
    speed of the automatic hopper. The steel strongbox
    is rectangular with inner dimensions of 1200mm in
    length, 800mm in width and 720mm in depth
    (Figure 4).

    Table 2: Particle size distribution of Fontainebleau sand


    Size (mm) 0.5 0.2 0.1 0.08
    Passing (%) 100 35.4 0.5 0.2 Figure 4: Rectangular strongbox with model pile positions

    Eight piles were pre-installed in the container before


    sand pluviation, with a minimum distance from the
    walls equal to 10 times the pile diameter following
    the recommendations for CPT implantation (Bolton
    et al., 1999). The distance between the pile tip and
    the bottom of the container was equal to 8.9 times
    the pile diameter. This installation technique was in-
    tended to simulate the behaviour of non-
    displacement, or cast-in-place, piles.

    The sand falling height was kept constant during the


    pluviation in order to obtain 92% in density index
    (ID), given by:
    U d max U  U d min
    ID . (1)
    U U d max  U d min
    Density controls were performed after tests when the
    sand was removed from each container using two
    Figure 2: Pluviation above the piles pre-installed in the bottom calibrated boxes previously placed at the bottom
    half of the strongbox (see Figure 4).

    330
    2.3 Testing devices 2.4 Loading procedures
    Figure 5 shows the complete test setup. The axial Before starting loading tests, each sand deposit was
    loading was applied to the pile (labelled 2 in Figure subject to an in-flight preconditionning phase,
    5) using an electric actuator (1) fixed to rigid steel which consisted of raising the g-level three times be-
    beams set on the container (3). A special mechanical tween 0 and 23g. During this sequence, unique for
    knee-joint linked the top of the pile to the force each container, the piles were totally free. The cen-
    transducer (4) directly screwed on the tie rod of the trifuge was stopped to link one pile to the testing de-
    actuator. This device avoids overturning moment in vice and then restarted to reach 23g step by step.
    the pile and provides a perfect axial link during the The servo-actuator position was adjusted step by
    two-way loadings. The vertical displacement of the step to keep the measured force equal to zero. Com-
    pile head was measured by two laser displacement pressive and tension static loading tests were carried
    transducers (5) placed symmetrically on either side out first, as reference tests, in each container to es-
    of the pile top. The data was recorded in the control timate the ultimate vertical load Vrc and Vrt, respec-
    room using an HBM data acquisition module named
    tively. For these static tests, the servo-actuator was
    Spider 8 (Thorel et al. 2008).
    controlled in displacement at a rate of 1mm/min. Vrt
    is determined when the measured load reaches a
    peak value and Vrc is estimated at the slope breaking
    point of load-displacement curve (see Figure 6).

    Figure 6: Determination of the ultimate compression


    strength

    The quasi-static tests provided a control of the re-


    peatability of the sand preparation and served to de-
    fine the relative amplitude of the cyclic loads.

    For the cyclic tests, as soon as the g-level was


    reached, the force control mode was used to perform
    the cyclic sequences. Four parameters are needed to
    describe the cyclic sequence:
    x mean load (Vm);
    x load amplitude (Vc);
    x period of the cycle; and
    x number of cycles.

    First, the load was increased up to the mean value


    (Vm) at a constant rate of 4daN/s, corresponding to
    the similar static loading increment. Then the sinu-
    sodal cyclic signal was applied at a frequency of
    0.1Hz. The cyclic load components were expressed
    as a rate of the ultimate bearing capacity deduced
    from the static loading tests. A typical load history
    Figure 5: Test setup for centrifuge model pile record is shown in Figure 7.

    331
    Figure 7: Schematic cyclic loading sequence

    Conventionally, positive load and displacement are


    selected for compressive tests (static and cyclic).
    Failure under cyclic loading is assumed when the
    measured displacement of the pile head reaches 10%
    of the pile diameter (1.8mm at model scale).
    Figure 8: Load versus displacement for compressive static
    3. Experimental Results tests (C: container; T: test)

    3.1 Static pile behaviour


    All results are presented in prototype scale. The static
    tests (pure compression or pure tension) are used to
    determine the ultimate load capacity. Figures 8 and 9
    show the load versus the normalised pile head dis-
    placement for compressive and tension loading tests,
    respectively, performed in different containers.

    For compressive tests (Figure 8), the slope breaking


    point is used to identify the ultimate compression re-
    sistance (Vrc). The mean value outcome from seven
    tests is 3.2MN within 0.13MN deviation. For ten-
    sion tests (Figure 9), only the shaft friction is mobi-
    lised along the pile. The peak characterises the ulti-
    mate resistance of the soil; 2.2MN is the ultimate
    tensile bearing capacity (Vrt) within 0.12MN devia-
    tion. The curves show a good repeatability of the Figure 9: Load versus displacement for tension static tests
    pile behaviour under static loading, which results
    largely from the good reproducibility of the sand de-
    posit preparation by the air pluviation technique.

    3.2 Typical cyclic pile behaviour


    Cyclic loading of pile is classically split in two cate-
    gories: one-way or two-way tests. The latter is ob-
    tained when the cyclic magnitude (Vc) is greater than
    the mean load value (Vm) whatever the sign of Vm.

    3.2.1 One-way tests


    Figure 10 presents the load versus pile head dis-
    placement for a typical one-way tension cyclic test.
    After 460 cycles the displacement reaches 10% of
    the pile diameter corresponding to the failure crite-
    rion; however, the test is continued up to 1000 cy-
    cles and is stopped after a displacement as large as
    Figure 10: Load versus pile displacement for a typical one-
    27% of the pile diameter.
    way tension cyclic load test

    332
    3.2.2 Two-way tests The increase of the cyclic load magnitude acceler-
    The total load versus the pile displacement for a ates the soil failure, and so reduces the number of
    typical two-way test is presented in Figure 11. cycles to failure.

    Figure 12: Trends in pile head displacements for two-way tests


    with compressive mean value

    Figure 11: Load versus pile displacement for a typical two-


    way tension cyclic load test

    The curve characterises a typical behaviour of the


    pile with a progressive settlement as a first phase
    and a fast extraction in a second phase. The failure
    occurred at the seventh cycle, while the test was in-
    terrupted after 16 cycles with a displacement equal
    to 141% of the pile diameter. For other two-way
    tests (not presented in this paper), failure occurred
    after a few dozens of cycles and, in each case, at a
    much lower number of cycles than for one-way tests.

    The pile displacements versus time for two cyclic


    loading tests characterised by a positive (compres- Figure 13: Pile displacement versus time for different load
    sive) ratio of the mean load and the same cyclic am- amplitudes
    plitude (Vc/Vrc = 0.4) are shown in Figure 12. In both
    cases the first cycles generate a downward move- 4. Conclusions and Discussion
    ment (settlement) of the pile. Then, depending on
    the magnitude of the mean value, sudden or progres- The behaviour of pile foundations under static and
    sive reversal in the displacement direction takes cyclic vertical loading is a key objective of the
    place and the pile fails in pull out mode. French SOLCYP project, which is a joint industry
    project dedicated to the behaviour of piles submitted
    3.3 Effect of cyclic magnitude on pile displacement to cyclic loadings. Extensive series of centrifuge
    Figure 13 compares the evolution of pile head dis- tests in sands are being conducted to complement
    placements of three tests with same mean value Vm = data from in situ pile tests. This paper focuses on the
    0.6 Vrc and three different cyclic load amplitudes results of centrifuge model tests in dense Fontaine-
    (Vc/Vrc = 0.1, 0.2 and 0.3). Pile settlements increase bleau sand. The piles were pre-installed in the con-
    with the number of cycles until failure. For the tests tainer before sand pluviation to simulate the re-
    characterised by Vc/Vrc = 0.3 and 0.2, the number of sponse of cast in place piles. Various cyclic loads
    cycles to reach failure (10% of pile diameter) are combinations have been applied to the pile model.
    117 and 1394, respectively. The pile loaded by
    Vc/Vrc = 0.1 accumulates a settlement of about 8.4% A good repeatability of the ultimate loads under
    of the pile diameter after 2500 cycles. The number monotonic loading was observed from one container
    of cycles to failure for this test can be estimated as to another. Moreover, the number of cycles to reach
    4190 cycles by linear extrapolation. failure under similar cyclic load patterns was found

    333
    reasonably close. This reflects the high level of con- technical centrifuge modelling. Int. J. Physical
    trol of the installation technique and loading proce- Modelling in Geotechnics 7: 124.
    dures and gives confidence in the significance of the Lings ML and Dietz MS. (2005). The peak strength
    results. As expected, the number of cycles to reach of sand-steel interfaces and the role of dilation.
    failure decreases with the severity of the cyclic Soils and Foundations 45: 114.
    component. A general observation is that piles have Poulos HG. (1981) Cyclic axial response of single
    been found to be very sensitive to cyclic loading.
    piles. Journal of the Geotechnical Engineering
    This is attributed at this stage to the installation
    mode. Division 107: 4158.
    Puech A, Canou J, Bernardini C, Pecker A, Jardine
    The main final objective of these tests is the obten- R and Holeyman A. (2012). SOLCYP: A four-
    tion of stability diagrams as introduced by Poulos year joint industry project on the behaviour of
    (1981). New series of tests are planned, including piles under cyclic loading. In: Proc. 7th Off-
    tests in medium dense sand and some tests involving shore Site Investigation and Geotechnics: Inte-
    different modes of installation aimed at simulating grated Geotechnologies Present and Future.
    the response of displacement piles. London: SUT.
    Sobesol. (2007). Procs verbal des essais en labora-
    Acknowledgments toire sur le sable de Fontainebleau, 10pp.
    Thorel L, Rault G, Garnier J, Murillo C, Gaudicheau
    Results presented in this paper have been obtained P, Nel A and Favraud C. (2008). Macro-gravity
    within the framework of the French Projet National measurements on reduced-scale models of geo-
    SOLCYP. The project, driven by IREX, involves technical structures. Bulletin de Liaison des
    12 contracting or consulting companies of the civil Ponts et Chausses No. 272273 Spcial
    engineering and energy sectors, as well as six uni- Mtrologie: 93131.
    versities and research laboratories. The project is
    funded by the partners, Agence Nationale de la Re-
    cherche, Ministre de lEcologie, du Dveloppement
    Durable, des Transports et du Logement, and
    Fdration Nationale des Travaux Publics. The au-
    thors are indebted to the partners for granting per-
    mission to publish the results

    References

    American Petroleum Institute (API). ANSI/API


    Specification RP 2GEO. Geotechnical and Foun-
    dation Design Considerations for Offshore Struc-
    tures. Washington, DC: API.
    Benzaria O, Puech A and Le Kouby A. (2012). Cy-
    clic axial load tests on driven piles in overcon-
    solidated clay. In: Proc. 7th Offshore Site Inves-
    tigation and Geotechnics: Integrated
    Geotechnologies Present and Future. London:
    Society for Underwater Technology (SUT).
    Bolton M, Gui MW, Garnier J, Corte JF, Bagge G,
    Laue J and Renzi R. (1999). Centrifuge cone
    penetration tests in sand. Gotechnique 49: 543
    552.
    Craig WH. (1988). Centrifuge models in marine and
    coastal engineering. In: Craig WH, James RG
    and Schofield AN. (eds.). Centrifuges in Soil
    Mechanics. Rotterdam: Balkema, 149168.
    Garnier J, Gaudin C, Springman SM, Culligan PJ,
    Goodings D, Konig D, Kutter B, Phillips R,
    Randolph MF and Thorel L. (2007). Catalogue
    of scaling laws and similitude questions in geo-

    334
    A CONSTITUTIVE MODEL OF SOIL BASED ON VARIABLES
    RELATED TO THE INTERNAL STATE OF THE MATERIAL
    Y Bagagli and E Vincens
    Universit de Lyon, Laboratoire de Tribologie et Dynamique des Systme, Ecully, France

    Abstract
    A precise modelling of the soil behaviour requires accurately taking into account the internal state of the ma-
    terial and its changes during a complex loading. The aim of this work is to design a constitutive model that
    can reproduce the soil response under a cyclic loading in drained and undrained conditions with a unique set
    of parameters. Specifically, the Cambou, Jafari and Sidoroff (CJS) model an elastoplatic model com-
    pounded with two plastic mechanisms, isotropic for the first one and deviatoric for the second one has been
    improved to include the internal state of the soil better by means of a volumetric state variable and a variable
    related to the anisotropy of normals at contacts between grains.

    1. Introduction 2. General Form of the Constitutive Model

    The complex nature of loading of pile foundations in The CJS constitutive model for soil is composed of
    offshore applications (oil production), as well as in an elastic mechanism (hypo-elasticity), an isotropic
    in-shore applications (aeolian), requires equally plastic mechanism with isotropic hardening and a
    complex constitutive models for soils and pile-soil deviatoric plastic mechanism with both an isotropic
    interfaces. In such systems, the internal state of the and a kinematic hardening. The increment of total
    material (volume element of soil or interface pile- deformation is split into three components related to
    soil) is bound to evolve greatly throughout the cyclic each one of the mechanisms:
    loading. If any change in the physical nature of the
    material (e.g. breakage) is not consider, the change H tot H e  H ip  H dp (1)
    of the internal state throughout a cyclic loading is of
    two kinds: one related to non-oriented phenomena where H e , H ip , H dp are the increments of the elastic
    and other related to oriented phenomena. This mechanism, isotropic plastic mechanism and devia-
    change can be observed through two internal vari- toric plastic mechanism, respectively.
    ables: the void ratio in relation with non-oriented
    phenomena, the anisotropy for oriented phenomena. 2.1 Elastic mechanism
    The elastic mechanism follows the Hooke law de-
    Although void ratio changes are easy to assess fined by two parameters, the volumetric compressi-
    throughout experiments, simple access to informa- bility modulus (Ke) and the shear modulus (Ge). The
    tion related to anisotropy is more difficult to obtain. increment of the elastic deformation is related to the
    Thus constitutive models for soils and interface pile stress increment following:
    soils generally take into account the changes of the
    material properties by considering the mere influ- H e
    A G e , K e V (2)
    ence of density change. In this work, an existing
    where A G e , K e is a fourth-order tensor.
    constitutive model for soils called the Cambou,
    Jafari and Sidoroff (CJS) model, which was previ- 2.2 Isotropic plastic mechanism
    ously developed and named after that research team The yield criteria associated to the isotropic plastic
    (Cambou et al., 1989), has been modified to take mechanism is given by:
    into account better the internal state changes
    throughout cyclic loadings. f i p' , Q p 'Q (3)

    335
    where p' is the effective mean pressure and Q is the
    Phase transformation
    thermodynamic force. The mechanism is associated
    surface
    and the hardening law is defined by an isotropic
    hardening, depending on the internal hardening vari-
    Deviatoric yield
    able (q), as shown in Equation 4, where Oi is the
    surface
    plastic multiplier. The flow rule is defined by Equa-
    tion 5. Q is related to the evolution of the hardening
    variable (q), as shown by Equation 6.

    wf i
    q Oi Oi (4)
    wQ
    wf i Oi
    Hijip Oi G ij (5)
    wV ij 3
     Failure surface
    Q K p q (6)
    Figure 1: Different surfaces in the deviatoric plane associated
    to reference states or to the deviatoric yield criteria
    where Kp is the plastic volumetric compressibility
    modulus and G ij is the Kronecker symbol. where A, Rm and a are parameters; and is a func-
    tion involving a parameter 0 that limits the harden-
    2.3 Deviatoric plastic mechanism ing and allows softening for the material.
    The deviatoric mechanism is defined by a yield sur-
    face as follows: The flow rule is non-associated and is defined by:
    f d
    V ij , R, X kl q II h T  RI 1 (7)
    Hijdp Od G d Od
    wg d
    (11)
    wV ij
    where is the Lode angle; R and h T are the mean
    radius and the shape function of the yield surface, where Gd is defined in order to satisfy the dilatancy
    respectively (Figure 1); and q II is the distance in the law. The latter is as:
    deviatoric plane between the current state and the sII
    dp
    sij .deij
    centre of the deviatoric yield surface, which has its dH vdp E  1 (12)
    location defined by the tensor X ij . sIIc sII
    q II is given by: where is a parameter; vdp is the volumetric plastic
    deformation corresponding to the deviatoric mecha-
    q II sij  I 1 X ij (8) nism; eijdp is the deviatoric part of the tensor of de-
    formations corresponding to the deviatoric mecha-
    where s is the deviator of the stress tensor; R and nism; sII is the second invariant of the stress tensor;
    X ij are also thermodynamic forces associated to the and sIIc is the corresponding value for the same pres-
    hardening. The radius (R) of the deviatoric yield sur- sure and same Lode angle on the phase transforma-
    face can increase (isotropic hardening) and the cen- tion surface. This rate of deformation was limited to
    tre of the surface can move according to the value a value in the contractive domain, which tends to
    of X ij (kinematic hardening). counterbalance a bad modelling of phenomena for
    small values of the deviator s. The phase transforma-
    The hardening laws for the isotropic and kinematic tion surface (or characteristic surface) separates the
    hardening are respectively given by: stress space in the deviatoric plane into two do-
    mains: an inner domain, where contractive volumet-
    1, 5
    ARm2 p I ric deformations can take place; and an outer do-
    R with p Od I 1 1   main, where only dilative volumetric deformations
    R m  Ap 2
    3Pa
    can take place. This surface (see also Figure 1) is de-
    fined as:
    1, 5 fc sIIc h T  Rc I1 (13)
    wf d
     IX ij I 1
    
    X ij d
    O .a.I 1 dev (10)
    wqij 3Pa where Rc is the mean radius of the surface and thus

    is a parameter of the model.

    336
    2.4 Reference states Lade and Bopp, 2005) from different initial densi-
    The model is based on the definition of two refer- ties, showed that:
    ence states: critical and failure. The critical state is a n
    unique state for a material obtained at large defor- eq Dr p'
    eq
    K K 1  (17)
    10 pa
    0
    mations in terms of stress ratio, void ratio and ani-
    sotropy (Poulos, 1981). It also does not depend on
    the initial conditions (e.g. density, anisotropy) on the where Dr is the relative density (%). Moreover, it
    loading history. The critical state is associated with a was observed that K0e and K0p were roughly related
    surface defined in a similar way to the phase trans- by K0e /K0p = e/p = cste. This ratio was considered as
    formation surface and involves a mean radius (Rcrit), a parameter for the model.
    which is a parameter for the model. A critical state
    line is also defined as the final state for the material 3.2 Reference states
    in the plane (e-log(p)) and has the following form: The critical state is unique, so all the parameters
    9
    used to define it depend on quantity such the grad-
    c c pc ing, the average mean diameter of grains, angularity
    e e  ccrit c (14)
    crit 0
    pcrit and spherical shape of grains. This is not the case for
    the failure surface and the phase transformation sur-
    where e0c, ccrit and are parameters. This form is face, which are known to be dependent on density
    used by Li and Wang (1998). The failure surface has (Negussey et al., 1988; Li and Dafalias, 2000). As
    the same form as Equation 13 and involves a mean pressure and density have related impact on the be-
    radius (Rfail). haviour of soils, the state variable () defined by
    Been and Jefferies (1985) was introduced as:
    3. Dependency of Properties on the Internal State c
    \ ( pc) e( pc)  ecrit ( pc) (18)
    For the sake of simplicity, the dependency of pa- For example, if > 0, the volumetric deformations
    rameters on the internal state was generally only in- on a triaxial stress path are exclusively contractive.
    troduced with respect to the void ratio, since it is the As gets increasingly more negative, the material is
    more convenient way to check if any exist. At the able to exhibit increasingly more dilative volumetric
    very moment when this single dependency is not deformations on a given stress path. Then, the mean
    enough to explain actual phenomena, a dependency radius of the failure surface is given as:
    on the anisotropy will be introduced. Nevertheless,
    quantifying this dependency is not an easy task, and R fail Rcrit . 1  D fail .\ if  (19)
    one-way cyclic tests are required for this purpose.
    and Rfail = Rcrit otherwise. In Equation 19, fail is a
    parameter, while Rcrit is a parameter defining the ra-
    3.1 Isotropic volumetric properties
    This study was performed by simulating isotropic dius of the critical surface in the deviatoric plane.
    compression tests for different sands at different ini- The mean radius of the phase transformation surface
    tial densities. The elastic volumetric compressibility is written:
    modulus and the plastic one have the same form, Rc Rcrit . 1  D c .\ (20)
    given as:
    where c is a parameter.
    n n
    p' p'
    Ke K 0e and K p K 0p (15) 3.3 Parameters of the deviatoric mechanism
    pa pa Parameter a, involved in the kinematic hardening,
    where K0e and K0p are supposed to depend on the drives the stiffness of the material under a given de-
    density and pa is a reference pressure. viatoric stress path. It necessarily depends on density
    and a more refined form was written with respect to
    If Keq is considered the modulus taken into account the state variable (), and given as:
    both the elastic and plastic properties, then it is
    a a0 . exp  D a .\ (21)
    given by the following:
    1 1 1 where a0 and a are parameters.
     p (16)
    K eq K e
    K
    Parameter drives the stiffness of the material with
    Some numerical studies performed on the basis of regard to the generation of volumetric deformations
    actual tests, on different sands (Lee and Seed, 1967; (dilatancy law). For example, cyclic deviatoric tests

    337
    show a hardening in the capability of the material to x 1 parameter for anisotropy A.
    generate volumetric deformation caused by the in-
    In addition, values of emin and emax are necessary to
    crease of the density (Youd, 1972; Seed and Silver,
    compute the relative density. The assessment of this
    1972). is also written according to the state vari-
    set of parameters requires a total of four tests:
    able () as:
    x 1 cyclic isotropic test;
    E E 0 . exp D E .\ (22) x 2 monotonous triaxial tests with different ini-
    tial states (different values of ) with an
    where E 0 and are parameters. unloading from a large deformation state;
    and
    Finally, the simulation of different sequences of one- x 1 one-way cyclic triaxial test involving dif-
    way cyclic axisymmetric triaxial tests showed that ferent series of cycles with different levels of
    accommodation can hardly take place when the level deviatoric stress.
    of the cyclic deviatoric stress increases if a single
    dependency on the state variable () is used. In this From this set of tests, it is possible to assess cor-
    case, the stiffening of the response could not be at- rectly all the model parameters. However, the use of
    tributed to an increase of density, since few plastic undrained or two-ways cyclic test can increase the
    volumetric deformations were generated when cy- accuracy of the parameter identification.
    cling. It was instead related to the increase of the av-
    5. Results
    erage anisotropy through each series of cycles.
    The constitutive model developed in this paper was
    From a modelling point of view, the accommodation used to model triaxial tests performed on Hostun
    (large reduction of cumulative plastic deformations sand (Mohkam, 1983) and Toyoura sand (Verdugo
    throughout cycling) is generally monitored by pa- and Ishihara, 1996). For each type of sand, several
    rameters a and A. In this work, only a dependency of types of tests were performed from different initial
    parameter A with the anisotropy, which seemed states (initial void ratios), but all these tests were
    more relevant, was considered. This dependency modelled with a unique set of parameters. In this pa-
    took account of the variable XII, the norm of the ten- per, only results involving Hostun sand are pre-
    sor giving the location of the centre of the deviatoric sented, and the set of parameters used is indicated in
    yield surface. It is given by: the Table 1.
    A A0  N A X II (23) Table 1: Set of parameters identified for Hostun sand
    where Parameter Value Parameter Value
    emin 0.529 emax 0.82
    X II X ij X ij (24) K0eq, (Pa) 17.106 e/p 0.75
    G0e(Pa) 8.106 N 0.6
    where A is a parameter. 0.86
    Rcrit 0.28 e0 0.76
    4. Parameter Set ccritc 0.008 Z 0.9
    A0 2.10-5 A 20.10-5
    This model needs to identify 19 parameters: Rm 0.12
    a0 5.10-5 a 3
    x 4 parameters for the elastic and the isotropic 0 -0.6 1
    mechanisms (K0eq, e/p G0e and n); 1
    c 2.5
    x 1 parameter for the deviatoric mechanism ();
    fail -2
    x 3 parameters for the isotropic hardening (A0,
    A and Rm); 5.1 Monotonous drained triaxial tests
    x 2 parameters for the kinematic hardening (a0 In Figure 2 the simulation of drained triaxial tests
    DQGa); for a confining pressure of 400kPa and three differ-
    x 3 parameters for the dilatancy law (0, and ent initial void ratios (ei) are presented. It can be no-
    ); ticed that the set of parameters correctly allows
    x 1 parameter for the phase transformation state simulating actual monotonous triaxial tests. Other
    (c); results for different confining pressures (100kPa,
    x 4 parameters for the critical state (Rcrit, e0, ccritc 200kPa and 600kPa) are not shown, but the quality
    and ); of the prediction was in the same order of that in
    x 1 parameter for the failure state (fail); and Figure 2.

    338
    (a) (a)

    ei=0.55
    ei=0.64

    ei=0.73

    (b)
    (b)
    ei=0.73

    ei=0.64

    ei=0.55

    Figure 2: Simulation of drained triaxial tests for a confining


    pressure of 400kPa: (a) deviatoric stress; and (b) volumetric Figure 3: Simulation of a cyclic drained triaxial test for a con-
    deformations (Mohkam, 1983) fining pressure of 400kPa: (a) deviatoric stress; and (b) volu-
    metric deformations (Mohkam, 1983)
    (a)
    5.2 Two-ways cyclic drained triaxial tests
    In Figure 3, the result of a simulation of a two-way
    cyclic drained triaxial test for a confining pressure of
    400kPa and an initial void ratio (ei) of 0.715 are
    shown. In Figure 3b the hardening of the densifica-
    tion process was obtained by considering the de-
    pendency of parameter in the dilatancy law with
    the state variable (). One of the limitations of the
    model is noticeable in Figure 3a, where the stress
    path is not correct when reloading. It seems that the
    elastic radius of the deviatoric yield surface is too
    large at the end of the unloading. This aspect was (b)
    also found in former versions of the model and could
    not have been corrected in this work in an easy way.
    Further research is required in this respect.

    5.3 One-way cyclic drained triaxial tests


    In Figure 4 a one-way cyclic triaxial test for a Hos-
    tun sand at a confining pressure of 200kPa, and an
    initial void ratio of 0.753 is presented. Four se-
    quences, compounds of five cycles, are performed
    with growing maximal stress ratios. In Figure 4a,
    only the first and the last cycles of each sequence are
    Figure 4: Simulation of a one-way cyclic drained triaxial test
    represented. for a confining pressure of 200kPa: (a) deviatoric stress; and
    (b) volumetric deformations (Mohkam, 1983)
    This series of tests was used to identify the parame-
    ters associated to the elastic radius and specially to Thus, it could not be considered as a series of tests
    settle the dependency of parameter A with the aver- for a validation of the model. Nevertheless, it can be
    age level of anisotropy in each sequence of cycles. noticed that the accommodation of the material is

    339
    correctly addressed for different levels of cyclic de- sented. Comparing the simulation with the actual
    viatoric stresses. test (not shown), it can be noticed that the first part
    of the simulation (until cycle 6) was close to what
    5.4 Monotonous undrained triaxial tests was measured throughout the experiment. Neverthe-
    As the identification of the parameters is generally less, when the effective stress path reached the fail-
    performed using drained tests, undrained tests are ure surface in extension. or in compression during
    usually used for the validation of the constitutive the experiment, the material experienced a cyclic
    model. This path at constant volumetric deforma- mobility characterised by phases with a loss of stiff-
    tions involves a full coupling between the plastic ness in between phases where the sample gained
    mechanisms. In Figure 5 the results obtained for some strength again. The constitutive model is not
    three undrained tests involving Hostun sands at dif- capable of addressing this feature. It was also not
    ferent initial densities for a confining pressure of possible to understand what kinds of phenomena
    100kPa are presented. were activated at the local scale when cyclic mobil-
    ity took place. Therefore, simulations of such tests
    (a) using a discrete element method could be very help-
    ful in this respect.

    (a)

    ei=0.55

    ei=0.64

    ei=0.73

    (b)

    ei=0.73

    (b)
    ei=0.64

    ei=0.55

    Figure 5: Simulation of undrained triaxial tests for a confining


    pressure of 100kPa: (a) deviatoric stress; and (b) pore pres-
    sure (Mohkam, 1983)

    The results are generally in good agreement with the


    Figure 6: Simulation of two-way undrained triaxial tests for a
    experimental tests. It can be observed that a depar- confining pressure of 200kPa: (a) deviatoric stress; and (b)
    ture occurs between the actual test and the simula- effective stress path (Mohkam, 1983)
    tion for the sample, having an initial void ratio of
    0.55 for deformations greater than 5%. When focus- 6. Conclusion
    ing on experiments, a sudden stop for the decrease
    of pore pressure can occur, which could be inter- A constitutive model for soils taking into account
    preted as a lack of dilatancy within the sample due some aspects of the internal state of the material was
    to a possible phenomenon of localisation. presented. This model has two plastic mechanisms
    and involves 19 parameters. The identification of
    5.5 Two-ways cyclic undrained triaxial test theses parameters requires four different experimen-
    In Figure 6, simulations of an undrained two-way tal tests. The properties of the model depend on a
    cyclic test for a sample with an initial void ratio of state variable, which is related to non-oriented phe-
    0.707 and a confining pressure of 200kPa are pre- nomena within the material. This dependency cor-

    340
    rectly addresses the simulation of monotonous triax- Negussey D, Wijewickreme WKD and Vaid YP.
    ial tests from an isotropic state and a variety of ini- (1988). Constant-volume friction angle of granu-
    tial densities. It can also address two-way cyclic lar materials. Canadian Geotechnical Journal 25:
    tests when the average anisotropy within the mate- 5055.
    rial remains small when cycling. Poulos SJ. (1981). The steady state of deformation.
    J. Geotech. Engng. Div. 105: 201255.
    In order to correctly simulate one-way triaxial tests, Seed HB and Silver MLS. (1972). Settlement of dry
    where the average anisotropy tends to increase in a sands during earthquakes. J. Soil Mech. Found.
    given sequence of cycles, a dependency of some Division 98: 381397.
    model parameters with the anisotropy is introduced. Verdugo R and Ishihara K. (1996). The steady state
    For this work, the model was found suitable to of sandy soils. Soils and Foundations 36: 8191.
    model the phenomenon of accommodation through- Youd TL. (1972). Compaction of sands by repeated
    out cycling. Although the cyclic mobility needs to shear straining. J. Soil Mech. Found. Division 98:
    be addressed more precisely, the model was vali- 709725.
    dated for a vast amount of different triaxial tests on
    both drained and undrained conditions. It is there-
    fore considered suitable to model the cyclic behav-
    iour of soils for several decades of cycles.

    Acknowledgments

    The results presented in this paper have been ob-


    tained within the framework of the French project
    SOLCYP ANR07PGCU-005-09. SOLCYP is a joint
    industry project dedicated to the understanding and
    modelling of the behaviour of piles submitted to cy-
    clic loadings. The authors acknowledge the French
    Agency of Research (ANR) for its financial support
    to the project.

    References

    Been K and Jefferies MG. (1985). A state parameter


    for sands. Gotechnique 35: 127132.
    Cambou B, Jafari K and Elamrani K. (1989). An
    elastoplastic model for granular material using
    threee mechanisms. In: Pietruszak S and Pande
    GN. (eds.). Proc. Numerical Model in Geome-
    chanic, NUMOG III. Oxford: Elsevier, 18.
    Lade PV and Bopp PA. (2005). Relative density ef-
    fects on drained sand behavior at high pressures.
    Soils and Foundations 45: 113.
    Lee KL and Seed HB. (1967). Drained strength
    characteristics of sands. J. Soil Mech. Found. Di-
    vision 93: 117141.
    Li XS and Dafalias YF. (2000). Dilatancy for cohe-
    sionless soils. Gotechnique 50: 449460.
    Li XS and Wang Y. (1998). Linear representation of
    steady-state line of sand. J. Geotech. Geoenvion.
    Engng. 124: 12151217.
    Mohkam M. (1983). Contribution ltude expri-
    mentale et thorique du comportement des sables
    sous chargements cyclique. Phd Thesis, Univer-
    sit Scientifique et Mdical & Institut National
    Polytechnique de Grenoble.

    341
    342
    CLAY SLURRY STRENGTH IMPROVEMENT USING CALCIUM
    HYDROXIDE

    J Kennedy and J Oliphant


    Technip, Aberdeen, UK
    T Davies
    University of Glasgow, UK

    Abstract
    To investigate whether chemical additives could be effective at accelerating the strength regain of a clay
    slurry, a series of laboratory tests were undertaken at the University of Glasgow using a range of additives.
    Bothkennar clay was used in the test programme, with a small addition of bentonite to replicate the plasticity
    of the Witch Ground clays found in an area of the North Sea. To produce the slurry, water was added to the
    samples to increase the water content to 1.5 and 2.0 times the liquid limit. The results of the test programme
    found that calcium hydroxide can significantly improve the strength of the soil over 1-day, 3-day, 7-day, 30-
    day and 1-year time periods, for a range of dosing concentrations of 15%. This paper presents the laboratory
    test results and highlights the potential use of calcium hydroxide offshore.

    1. Introduction calcium hydroxide, Ca(OH)2 (slaked lime), was the


    most effective additive and, as such, this paper only
    Clay slurries can loosely be defined as cohesive soils presents its test results. The results are presented for
    with moisture contents in excess of their liquid limit clay slurries with moisture contents of 1.5 and 2.0
    (LL). The use of additives to increase the strength of times LL for 1-day, 3-day, 7-day, 30-day and 1-year
    such weak slurries has received relatively little atten- time periods, for a range of dosing concentrations
    tion, although there is an increasing commercial im- from 1% to 5%.
    perative, associated with offshore developments, for
    pursuing this ground-strengthening technique. For
    2. Calcium Hydroxide (Slaked Lime) Additive
    example, clay slurry is produced offshore during jet
    trenching in clay soils where near rectangular
    trenches are formed, which generally are partially The effects of lime and lime products on soils at
    filled with slurry. The slurry provides little resis- typical moisture contents have been well-established
    tance to the uplift movement of trenched pipelines by numerous studies (e.g. Transportation Research
    and is typically removed and replaced with either Board (TRB), 1987; Rajasekaran and Narasimha
    rock dump, or more competent in situ material ob- Rao, 2002). The chemical reaction between lime and
    tained by destabilising the side walls of the trench. soil is a pozzolanic bonding reaction between the
    An increase in the strength of the slurry as it is ini- alumina and silica components of the clay minerals.
    tially formed in the trench could reduce the need for The calcium ions form calcium silicate hydrate and
    rock dumping or a subsequent under-reaming pass. calcium aluminate hydrate. The pozzolanic reaction
    consumes the lime itself, which implies that greater
    This paper presents the results from laboratory tests dosage rates lead to higher strengths (Paige-Green et
    undertaken at the University of Glasgow to investi- al., 1990). The literature also suggests that the
    gate the influence of a range of chemical additives pozzolanic reaction rate is affected by temperature.
    on accelerating the strength improvement of clay Thus, it should be noted that laboratory test results
    slurries. The additives tested included calcium hy- obtained at a temperature of ~20C may need to be
    droxide, sodium alginate, aluminium sulphate, alu- interpreted cautiously in applications to conditions
    minium potassium sulphate, potassium sulphate, chi- in the North Sea, where the ambient temperature is
    tosan and polyvinyl alcohol. It was found that around 4C.

    343
    3. Experimental Methodology Nc is essentially constant, and its value is taken to be
    12 in this paper.
    3.1 Sample preparation
    Bothkennar clay was used in the test programme, To ensure that loading takes place under undrained
    with a small addition (8%) of bentonite to replicate conditions, the loading rate must be sufficiently
    the plasticity of the Witch Ground clays (LL = 50%) rapid to prevent any consolidation of the underlying
    found in an area of the North Sea. The LL and plas- material. If it is too rapid, the loading rate will in-
    tic limit (PL) were found to be 49% and 26%, re- duce additional viscous resistance. Thus, there is a
    spectively. The calcium hydroxide was supplied by critical loading rate which yields minimum shear
    Fisher Scientific UK Ltd in the form of a fine white strength (Chung et al., 2006). However, the meas-
    powder, which became a milky suspension in water. ured undrained shear strength is not highly sensi-
    To simulate seawater, a 3.5% salt solution (prepared tive to loading rate (typically 10% per decade
    by dissolving natural sea-salt in de-ionized water) change in strain rate). At this laboratory scale, the
    was used. optimum penetration rate was determined to be
    c20mm/min.
    The clay slurries were prepared from the dry state by
    mixing in the salt solution in a mechanical mixer 3.3 Strength of additive-free slurry
    under vacuum for a period of 1hr. The moisture con- Although the concept of an undrained shear strength
    tent of the slurry samples was increased to 1.5 and for a slurry is questionable, it is useful to have some
    2.0 times the LL. Samples were then taken from the measure of the strength of these soils against which
    resulting slurry and decanted into an electrical mixer, the improvement obtained by dosing can be gauged.
    in which the additive, in a suspension of 100mL wa- The strengths of soils at the LL do not have unique
    ter, was added. This secondary mixing was timed at values, although they are known to lie within a rela-
    30s. Additive concentrations (defined as the ratio of tively narrow range. Wroth and Wood (1978) have
    the weight of additive to the weight of soil solids) of suggested a nominal value of Su = 1.7kN/m2, while
    up to 5% were employed. The samples were then the undrained shear strength at the PL is assumed to
    stored under water in cylinders (150 100mm di- be 100 times higher. Logarithmic extrapolation of
    ameter plexiglass) for up to 12 months. To inhibit the these data suggests that the corresponding strengths
    migration of the slurry into the bath, the open-topped of slurries at water contents of 1.5wLL and 2.0wLL
    sample cells were sealed by filter paper. will be of the order of 0.1 kN/m2 and 0.01 kN/m2,
    respectively. Evidently, such low strengths are insuf-
    3.2 In situ strength tests ficient to perform any significant load-bearing role.
    Strength testing of the soil samples was undertaken
    in the sample cells, using a miniature penetrometer 4. Results
    rig fabricated for this study. The essential elements
    of the rig are an accurately machined, flat disc Figure 1 shows the depth profile of net bearing pres-
    mounted on a shaft. It is constrained by a lubricated sure for a typical test (3-day test, 2.5% dosage and
    guide-frame to travel vertically downwards under w = 2.0wLL). The apparent low net bearing pressure
    load into the soil sample. Thus, under conditions of near to the surface is partly attributable to diffusion
    undrained loading, the undrained shear strength may of water into the sample, which is particularly evi-
    be estimated as: dent in longer-term tests. Loading is initially applied
    incrementally, without regard for the strain-rate until
    (1)
    failure is initiated. In Figure 1, a gradual transition
    where qu is the bearing pressure during penetration, takes place, but in stronger admixtures the change in
    q0 is the net overburden pressure and Nc is the bear- slope is more abrupt. The bearing pressures meas-
    ing capacity factor. The bearing pressure is meas- ured below the middle third of the sample are pro-
    ured directly, while the net overburden pressure is gressively affected by the proximity of the rigid
    estimated from the depth of penetration and any in- base, and these results are discarded. The undrained
    flow into the cavity. At this scale, the net overburden shear strength of the sample is taken to be the value
    pressure is a small fraction of the bearing pressure. measured at mid-depth (0.55kN/m2). The small
    The bearing capacity factor (Nc) can be calculated variation in bearing pressure, with depth through the
    from theoretical and numerical data (Houlsby and middle third of the sample, is believed to be mainly
    Martin, 2003; Salgado et al., 2004) for various pene- attributable to the effects of sample confinement
    tration depths. At sample mid-height (and deeper), within the test cell, rather than any depth-related in-
    which corresponds to approximately five diameters, crease in Nc.

    344
    120 5
    1 day strength
    4.5 3 day strength
    100 7 day strength
    4 40 day strength

    Undrained Shear Strength (kPa)


    80 3.5
    Depth (mm)

    3
    60
    2.5

    2
    40
    1.5

    20 1

    0.5
    0
    0 2 4 6 8 10 12 0
    1 2 3 4 5
    Net Bearing Pressure (kPa)
    % Calcium Hydroxide

    Figure 1: Typical bearing pressure profile (3-day test, Figure 2: Effect of time and calcium hydroxide dosage on
    2.5% dosage and w = 2wLL) undrained shear strength (w = 1.5wLL )

    The results from the 1-day to 30/40-day tests at ini- 2.5


    tial slurry water contents of 1.5wLL and at 2.0wLL are 1 day strength
    presented in Figures 2 and 3, respectively, for a 3 day strength
    range of dosing concentrations from 1% to 5%. The 7 day strength
    2
    results show that the soil strengthens over time at all
    Undrained Shear Strength (kPa)

    30 day strength
    concentrations. Comparing these results to the
    strength of additive free slurry at 1.5wLL and at
    2.0wLL, it can be seen that substantial increases in 1.5
    soil strength can be achieved. For instance, the soil
    strength can increase up to 8 times higher after 40
    days at a 4% dosage for soil at 1.5wLL. This assumes 1
    an increase in the strength of the additive-free slurry
    from 0.1kPa to 0.5kPa after 40 days to account for
    any consolidation and thixotropy (C-Core, 2002). In
    addition, the observed rate of increase of strength 0.5
    with time suggests that the strength gain is far from
    complete at 30/40 days. It is interesting to note that
    from the tests at 1.5wLL (Figure 2), there appears to 0
    be a peak strength achieved around a dosage of 2% 1 2 3 4 5
    to 3% for the 1-day and 3-day tests. However, this % Calcium Hydroxide
    peak is not apparent at the 7-day and 30-day tests.
    For the tests at 2.0wLL this peak is present for the Figure 3: Effect of time and calcium hydroxide dosage on
    1-day and 30-day tests. Comparing Figures 2 and 3, undrained shear strength (w = 2.0wLL)
    it is evident that at the higher water content (2.0wLL),
    the strengths are less than those at 1.5wLL with corre- This result appears to hold regardless of time, up to
    sponding dosages. 30/40 days, between dosing and testing. In contrast,
    the strength ratio of the additive-free clay slurries at
    Figure 4 presents the normalised strengths of dosed these two water contents is ~10, and hence, the soil
    soils with respect to water content and time. The strengths are converging. Thus, the dosed strength of
    strength data is normalised to the corresponding such soils is not primarily a function of initial water
    strength measured at 1.5 wLL. The figure shows that content (initial strength). It should be noted that the
    the strengths obtained at water contents of 1.5wLL normalised strength ratio shown in Figure 4 is de-
    are, in the short term, only ~2 times greater than the pendent on soil plasticity with higher strength ratios
    strengths obtained at a water content of 2.0wLL. observed in soils of lesser plasticity and vice-versa.

    345
    1 5. Conclusion
    0.9 To investigate whether calcium hydroxide could be
    effective at accelerating the strength regain of a clay
    Normalised Undrained Shear Strength

    0.8
    slurry, a series of laboratory tests were undertaken.
    0.7 The principal variables of the study were additive
    concentration, time and water content. In particular,
    0.6 the major practical objective was to determine
    1 day strength whether relatively low additive doses could yield sig-
    0.5
    3 day strength nificant strength gains within a short period of time,
    0.4 7 day strength even at very high water contents. It was also impor-
    tant to determine whether such gains were permanent.
    0.3 30/40 day strength

    0.2 The results show very weak clay slurries can gain
    substantial strength by the addition of modest doses
    0.1 of calcium hydroxide. Early strength gains are rapid,
    but the soil strength continues to increase with time,
    0
    indicating that the strength regain is permanent. Ini-
    1.5 1.6 1.7 1.8 1.9 2
    tial water content has very little effect on long-term
    Water Content / Water Content at LL strength, and the dosed strength is primarily a func-
    tion of dosage rate. From a construction perspective,
    Figure 4: Normalised strength of calcium hydroxide dosed
    soils with time dosing of such slurries by injection suggests it could
    be used as a method of initial soil treatment prior to
    Long-term (1-year) tests have shown that the gravity or vacuum consolidation.
    strength regain continues, and as such it can be con-
    References
    cluded that the strength regain is permanent. The re-
    sults of these long-term tests at 1.5wLL have given C-Core (2002). Backfill and Rockdump Model Test-
    undrained shear strength values of ~30kPa, 4kPa and ing. Internal Technip Report.
    3.5kPa for dosage rates of 4%, 3% and 2%, respec- Chung SF, Randolph MF and Schneider JA. (2006).
    tively. The results suggest that significant further Effect of penetration rate on penetrometer resis-
    strength gain beyond 1 year is likely to occur. The tance in clay. Journal of Geotechnical and
    data are consistent with the observation that the Geoenvironmental Engineering 132: 11881196.
    pozzalanic process consumes an increasing volume Houlsby GT and Martin CM. (2003). Undrained
    of calcium hydroxide over time. bearing capacity factors for conical footings on
    clay Gotechnique 53: 513520.
    The remarkably high strengths developed after 1 Paige-Green P, Netterberg F and Samson LR.
    year should be compared with the strengths of the (1990). The Carbonation of Chemically Stabilised
    un-dosed soil at this water content, namely Road Construction Materials: Guide to its Identi-
    c0.1kN/m2. These strengths were recorded, as fication and Treatment. Report DPVT-123. Preto-
    usual, over the middle third of the samples. In these ria, South Africa Division of Roads and Transport
    long-term tests, it was noteworthy that the upper Technology, 49pp.
    4050mm of the samples had become extremely Rajasekaran G & Narasimha Rao S. (2002). Com-
    soft, which suggests that diffusion of water into the pressibility behaviour of lime-treated marine clay.
    samples had taken place. Some evidence of such Ocean Engineering 29: 545559.
    softening had been noted in the medium-term tests, Salgado R, Lyamin AV, Sloan SW and Yu HS.
    but the depth of penetration had been proportion- (2004). Two- and three-dimensional bearing ca-
    pacity of foundations in clay. Gotechnique 54:
    ately less.
    297306.
    Transportation Research Board (TRB). (1987). Lime
    Other test data (not shown) indicate that the Stabilization Reactions, Properties, Design and
    strengths measured in these long-term tests is prac- Construction. State-of-the-Art Report No. 5.
    tically independent of initial water content. This is Washington, DC: TRB.
    consistent with a trend observed in the medium Wroth CP and Wood DM. (1978). The correlation of
    tests, which suggests a decreasing influence (over index properties with some basic engineering
    time) of water content on the strength of dosed properties of soils. Canadian Geotechnical Jour-
    soils. nal 15: 137145.

    346
    STABILITY OF SUBMARINE FOUNDATION PITS

    J Bubel and J Grabe


    Institute of Geotechnical Engineering and Construction Management,
    Hamburg University of Technology, Germany

    Abstract
    Various foundation types for offshore wind energy converters (OWEC) are currently discussed and used.
    Shallow offshore foundations can rarely be placed on the seafloor, as weak soils usually need to be excavated
    to place the foundation structure on more stable ground, thus resulting in anthropogenic submarine pits. Steep
    but stable slopes of the pit meet both economic and ecologic aims as they minimise material movement and
    sediment disturbance. Natural submarine slopes of sandy soils are usually less steep in reality than in theory.
    According to Terzaghi (1957) the angle (E) between slope and the horizontal ground surface of cohesionless
    soil is at most equal to the critical state friction angle (Mcrit). However, hydrodynamic forces act on the slopes
    and natural submarine slopes are already shaped by perpetual loads of waves, tide and mass movements. Arti-
    ficial slopes of foundation pits do not appear and behave as natural submarine slopes, or as theoretically pre-
    dicted. Physical simulations of different scales were used to analyse the stability of artificial submarine slopes
    with sandy soil of the North Sea. The laboratory tests focused on gravitational forces and impacts from the
    excavation processes. In addition, numerical simulations of wave-induced bottom pressure supported consid-
    erations of suggested submarine pit slope angles. Based on these slope angles, in situ tests will be performed
    and both dredging process and resulting foundation pits will be surveyed.

    1. Introduction gle are nearly impossible (Rathschek, 2004). Perma-


    nent artificial underwater slopes from sand winning
    Submarine foundation pits are usually necessary for show much lower angles of about 6 to 10. This
    gravity based foundations to place the structure on flattening is thought be caused by currents, waves
    stable ground. The required depth of projected pits and tidal influences.
    in the German North Sea varies from 2m to 7m, and
    the excavation of temporary submarine foundation Principally, three forces cause the instability of
    pits results in huge amounts of dredged material. submarine slopes: gravity, hydrodynamic forces and
    From economic and ecologic points of view, this seismic activities. First, gravity provides a mecha-
    amount should be reduced to the only what is most nism for general downslope movement of the parti-
    necessary. Steep slopes are most efficient, but their cles and consolidation of the sediments. Instability
    stability must be proven and be guaranteed at least occurs when stresses exceed the soils shear strength,
    until construction work finished. and movements continue until the slope reaches a
    fully stable condition. This process can be evoked by
    Neglecting disturbances from waves (etc.), the angle artificial changes of the seafloor, i.e. due to dredging
    () between the slope and the horizontal should be or deposited materials.
    equal to the critical state friction angle (crit; Ter-
    zaghi, 1957). This theoretical assumption can be The second main force is the different hydrodynamic
    validated only in laboratory tests if an undisturbed impacts that affect the submarine slope stability.
    slope is specifically created with the slope angle of Fluid flow may cause erosion due to sediment trans-
    = crit (e.g. by cautiously removing overlaying portation and near-surface elutriation of fine parti-
    sand). Since dredging affects the resulting slopes, cles. In addition, pore water pressure differences are
    initial inclinations up to the critical state friction an- induced by waves, which lead to horizontal flow in

    347
    the seabed and may induce liquefaction in sand or flattened and a temporary stable slope developed
    silt deposits (Henkel, 1970). This phenomenon is automatically. Gravity and local pore water pressure
    caused by excess pore water pressure accumulation, differences mainly affected the resulting slope incli-
    which results in decreased or lost shear strength. nation. Hydrodynamic forces, such as currents and
    Hence, hydrodynamic forces are split in two main waves, were not applied, although minor currents
    effects: erosion or transportation of the top seabed occurred, induced by soil particle movements and
    soil particles; and pore water pressure alteration flow reflections at the basin walls.
    within the soil body. Finally, earthquakes and tec-
    tonic activities distribute energy and release stresses The experimental basin has the following dimen-
    at one or several points. This causes seismic waves, sions: length = 3.20m; height = 1.80m and width =
    propagating vertically to the soil surface, and shear 0.2m. Due to the limited width, all experiments fo-
    stresses, which might result in a loss of soil strength cused on a 2D cross-section consideration rather
    (Poulos, 1988). However, earthquakes and tectonic than using a true 3D approach. The smooth acrylic
    activities are not assumed to be relevant for tempo- glass walls may have had a minor influence on con-
    rary stability of artificial submarine slopes and thus tacting soil grains, but would have had a considera-
    are neglected in this research. bly larger impact on fluid flow within the fluid
    phase, as well as within the soil body. All experi-
    The initial maximum slope angle evoked by excava- ments used Cuxhaven sand, a very fine slightly silty
    tion, without hydrodynamic forces acting on the sand with a small range of grain size (uniformity co-
    slope, was analysed by several physical simulations. efficient (Cu) of 1.5) that is typical for the German
    This range of possible maximum and previously North Sea. The critical state friction angle (crit) was
    dredged slope inclinations was then used for nu- 33, and the permeability depended on the void ratio
    merical simulations. They focused on the behaviour (e), as presented in Figure 1. Cone penetration tests
    of foundation pits under cyclic wave induced bottom (CPT) of a projected location showed loose to me-
    pressure, as well as resulting pore water pressure and dium dense soils within the first few metres of
    pore water flow. depth.

    2. Excavation

    The projected locations of offshore wind energy


    converter (OWEC) farms in the German North Sea
    feature water depths of 3045m. Different types of
    dredging vessels may be used in these areas, for ex-
    ample, a trailing suction hopper dredger (TSHD,
    used, e,g. in Thornton Bank; Peire et al., 2009) or a
    grab dredger, which is also considered to be practi-
    cable for the excavation of submarine foundation
    pits. Both suction and grab dredgers initially pro-
    duce almost vertical cuts in the top soil. The depth of
    these cuts depends on the used technique, but varies
    from several decimetres to about 1.5m. The resulting
    steep slopes flatten until a steady state is reached.
    This process is predominantly driven by gravity Figure 1: Permeability of Cuxhaven sand
    load, but hydrodynamic impacts may subsequently
    affect the stability. Pore water pressure sensors were installed to detect
    potential undrained behaviour. The model setup for
    2.1 Physical models of resulting slopes the vertical cut is shown in Figure 2. Once the re-
    The cut resulting from the excavation was analysed taining wall was released, the slope developed
    and modelled to derive a technical maximum slope automatically. Since the used soil is a very fine sand,
    inclination for submarine foundation pits. The be- this took up to 30min. The development of the slope
    haviour of the soil adjacent to the cut was also ana- generated by a 1.0m-deep vertical cut is shown in
    lysed in several tests with different cutting depths of Figure 3. The following aspects were observed:
    1.01.5m, which presented typical depths at proto- While the slope was still changing, there was a steep
    type scale. This scenario was realised by removing a slope at the top which moved slowly from the right
    vertical retaining wall from the soil. The vertical cut to the left side, with a maximum velocity of

    348
    80mm/min. Occasionally, soil agglomerations 2.2 Pore water pressure distribution
    moved downwards on shear planes, developing in Pore water pressures were measured at different lo-
    the very steep part of the slope. The final shape of cations within the initial soil and water domain (see
    the slope had an average slope angle () of Figure 2). The sensors were attached to the back
    15.625.0. The upper part of the slope was gener- wall of the basin to minimise disturbances and
    ally steeper than the lower part (see Figure 4). Aver- measure pore water pressure at a distance of about
    age slope angles of three physical tests are presented 5cm to the back wall, which was needed to reduce
    in Table 1. the impact of the impermeable wall. The moving
    slope was assumed to pass and thus uncover some
    sensors while others would always stay covered with
    soil. Pore water pressure (PWP) sensor 1 was as-
    sumed to depict the hydrostatic pressure until cov-
    ered with soil.

    Pore water pressures normalised by the static pore


    water pressure are presented in Figure 5. Variations
    of the hydrostatic pressure due to evoked waves and
    Figure 2: Model setup of a vertical cut currents were negligible, as demonstrated by PWP
    sensor 1. Two dominant peaks of the sensors 2 to 5
    were identified: at about 80s and about 390s (see Fig-
    ure 5). Sensor 4 reported both peaks with almost a
    1020s delay. The first peak was induced by the lift-
    ing of the retaining plate, holding back the soil in ini-
    tial state. Once the initial state became instable and
    started to change its appearance, pore water pressure
    was decreased by up to 1.5kPa, or 14%. The closer
    Figure 3: Flattening of a 1m-deep vertical cut with time the sensor was to the initial cut, the higher the meas-
    ured reduction of pore water pressure.

    The second dominant peak resulted from a moving


    soil agglomeration (see Figure 6). Since PWP sensor
    2 was already uncovered, the peak was measured by
    sensors 3 to 5 only. Both events of pore water pres-
    sure reduction showed increased influence the closer
    the sensor was located to the water-soil boundary.
    Figure 4: Change of the slope due to dynamic loading However, Rathscheck (2004) reports increased pore
    water pressure up to the initial state before the slope
    Table 1: Comparison of final slope angles generated by a reaches the sensor. This effect was reproduced by
    vertical cut before and after an impact the moving slope of this experiment. Pore water
    pressure differences fully dissipated once the slope
    Cutting depth Average slope angle E
    surface was closer than about 5cm to the sensor.
    before impact after impact
    1.00m 25.0 27.7
    1.10m 21.5 22.6
    1.50m 15.6 20.0

    Dynamic impulses were applied to the slope to


    simulate flattening impacts. The slope was previ-
    ously left untouched for 1hr to allow the sediments
    to settle. However, the upper soil layer, previously in
    motion, was still very weak and thus easily actuated.
    Instead of reducing the slope angle, the dynamic im-
    pact led to a steeper slope (see Figure 4). Weak par-
    ticles moved downwards along the slope and were Figure 5: Pore water pressure distribution normalised by the
    disposed of when reaching the bottom. hydrostatic pressure

    349
    These stresses basically affect the residual pore wa-
    ter pressure, as well as the transient pore water pres-
    sure of grain skeleton and pore water coupled re-
    sponse. Excess pore water pressure may be
    accumulated if the soil state encourages it, which
    depends on bulk density and permeability. The pres-
    sure profile due to wave loading, illustrated for a
    Figure 6: Slope shape at t = 80sec and t = 390sec with moving
    single ocean wave in Figure 7, is given by:
    soil agglomeration

        (1)
    3. Slope Stability
    where x is the horizontal co-ordinate relative to the
    Once an excavation process is finished, the gener- node of the wave; L is the wave length; T is the
    ated foundation pit will be left open for up to 10 wave period; t is time; and p0 is the pressure ampli-
    weeks. The duration depends on the schedule of the tude. The pressure amplitude is, in turn, given by:
    whole dredging and installation works of the
    OWEC farm site. Hence, hydrodynamic forces (e.g.
       (2)
    currents and waves) need to be considered to ensure
    temporary stability of the created slopes. Tide and
    currents act on the seabed and may create erosion where H is the wave height, h is the water depth and
    or transportation of the top seabed soil particles. In is the unit weight of water.
    addition, wave-induced bottom pressure results in
    pore water pressure alteration and pore water flow.
    Large storm events are not supposed to occur, since
    dredging and installation works are not to be per-
    formed during winter periods. However, time slots
    with excellent weather conditions are rare, and thus
    storm events may still arise even in summer time.
    Therefore, the influence of waves also needs to be
    considered.

    Both main effects of hydrodynamic forces, erosion


    or transportation of the top seabed soil particles and
    pore water pressure alteration within the soil body,
    should be analysed separately. This paper focuses on
    numerical simulations of wave-induced bottom pres-
    sure and resulting pore water pressure and flow. Al-
    though interaction between fluid flow, pore water
    pressure and soil deformation is expected, currents Figure 7: Wave-induced bottom pressure (Poulos, 1988)
    are not considered. Besides in situ measurements,
    this will be the next challenge. According to Ishihara and Yamazaki (1984), deep-
    water conditions occur at h/L <0.5. In this study,
    The commercial finite element (FE) code Simulia wave-induced bottom pressures were small (Poulos,
    Abaqus/Standard 6.11 was used for the numerical 1988) and were not supposed to affect the seabed
    simulations. Ocean wave conditions of the German stability. The ocean wave conditions of a particular
    North Sea were applied, demonstrating typical wave location A, 50km offshore with water depth (h) of
    conditions for the location of foundation pits for 35m, were used for the numerical simulations and
    OWEC gravity based foundations. presented in Table 2. Both significant and maximum
    wave parameters for several return periods were
    3.1 Wave-induced bottom pressure given. The significant wave height (Hsign) described
    The effect of waves on the seabed stability depends the storm event and might be used as a dominant
    on several boundary conditions. The stress applied condition to analyse the event. In contrast, the
    to the seabed can be approximated using the Airy maximum wave height (Hmax) statistically rarely oc-
    linear wave theory and assuming small wave ampli- curred during the storm event, but possibly caused
    tudes relative to the water depth (Poulos, 1988). significant effects.

    350
    Table 2: Ocean wave conditions, location A cal simulations were used for the numerical simula-
    Return Significant Maximum tions: H:L = 1:1.7 (rit 2.5), 1:2 (26.6), and
    period H [m] T [s] L [m] H [m] T [s] L [m] 1:3.5 (16). In addition, different wave and soil pa-
    1 year 6.9 8.7 67.2 13.1 11.1 116.8 rameters were analysed to depict their influence on
    5 years 7.7 9.2 75.1 14.5 11.8 130.9 the slope stability.
    10 years 8.1 9.4 78.6 15.3 12.0 136.5
    25 years 8.6 9.7 83.6 16,2 12,4 108,1 3.2.1 Geometry and mesh
    50 years 9.0 9.9 145.2 16.9 12.7 152.0 The submarine foundation pit was modelled by a 2D
    cross-section along a main axis. Since currents were
    The bottom pressure amplitude () of Equation 2 not present in the model, vortices and irregular flow
    was calculated using wave parameters of Table 2 due to the pit in the seabed were not considered and
    and expected water depths (see Figure 8). Although only one side of the pit was modelled. The square
    wave parameters sets were only valid for a particular foundation pit was 10m in depth. The chosen soil
    location with a particular water depth, the given pa- section is 120m in width and 40m in depth. The
    rameters were used to demonstrate the considerable slope was located in the middle of the section and
    impact of the water depth (h). The normalised by had a height of 10m and a width of 17m (1:1.7) to
    indicated the maximum extra bottom pressure in- 35m (1:3.5), depending of the inclination.
    duced by the ocean waves. Deepwater conditions
    with negligible influence occurred for p0/h < 0.01. The geometry for the foundation pit with 1:2 slope
    Thus the significant wave height of an 1-year storm inclination is shown in Figure 9. The 2D model used
    event in about 30m water depth indicated the transi- four-node plane strain quadrilateral, bilinear dis-
    tion from deep water into intermediate conditions. placement, bilinear pore pressure elements (CPE4P).
    All larger storm events could possibly affect the Since the computation focused on the slope and its
    seabed stability (Poulos, 1988). surrounding, the mesh size was decreased from the
    left, right and bottom boundary to the slope (see
    Figure 9). The whole model was represented by
    about 6200 to 11 200 elements, depending on the
    slope inclination. Nodes next to the highlighted
    marks in Figure 9 were selected to analyse and com-
    pare the results of all computations.

    3.2.2 Initial conditions


    The initial effective stress state was applied using a
    user subroutine (SIGINI) for Abaqus, which initially
    applied a K0-stress state according to Jaky (1948).
    The initial lateral stress coefficient (K0) was set to
    0.46 for the Cuxhaven sand with a friction angle
    (crit) of 33. The vertical stress distribution fol-
    Figure 8: Normalised wave-induced bottom pressure amplitude lowed the slope inclination without regard to
    of different wave heights rounded edges of the equal stress contours. Further-
    more, a hydrostatic distribution of pore water pres-
    3.2 Numerical models of submarine slopes sure corresponding to the free water surface was ini-
    Submarine foundation pits for gravity based founda- tially provided. A geostatic step was used prior to
    tions are currently dredged using typical slopes applying wave loads to ensure a fully consolidated
    (H:L) of 1:5 to 1:8. The chosen inclination depends initial state and well-shaped stress contours.
    on the experience of the dredging company, the
    dredger to be used and the soil to be dredged. For in- 3.2.3 Loads
    stance, the gravity based foundation pits of Thornton Wave loads were applied by a distributed pressure
    Bank (Belgium) had slopes of 1:8 along the dredg- load on the top soil surface. The sinusoidal pressure
    ing direction, and 1:5 across the width (Peire et al., load equated to the wave-induced bottom pressure
    2009). calculated using Equation 1 with wave parameters of
    Table 2 and the given water depth. The water depth
    Steeper slopes are expected to be sufficiently tempo- depends on the current location in -direction and
    rarily stable. To prove this expectation, different in- increases within the foundation pit. Slope stability is
    clinations based on the results of the previous physi- more affected by waves travelling from the upper

    351
    Figure 9: Geometry and mesh of the modeled section with 1:2 slope inclination

    slope edge in the direction of the slope base than 1992; Gudehus, 1996). Further improvements of the
    vice versa. Therefore, wave loads were applied start- soil behaviour regarding intergranular strains were
    ing at the left boundary of the model and travelling also included (von Wolffersdorff, 1996). The inter-
    with the corresponding wave speed to the right. This action of pore water pressure and soil skeleton was
    load distribution was realised by another user sub- implemented into the standard element formulation
    routine (DLOAD) for Abaqus. of the used CPE4P elements, whereas the hypoplas-
    tic constitutive model was implemented by a fourth
    3.2.4 Boundary conditions user subroutine (UMAT) for Abaqus. The hypoplas-
    Boundary conditions for the soil matrix were applied tic parameters to simulate the Cuxhaven sand can be
    at the left, right and bottom boundary. Left and right found in Table 3.
    margins were horizontally retained, and vertical dis-
    placement of the bottom boundary was prevented. Table 3: Hypoplastic parameters of Cuxhaven sand
    Further boundary conditions for the pore water pres- c hs n ed0 ec0 ei0
    sure were created around the whole model.
    [] [MPa] [-] [-] [-] [-] [-] [-]

    The bottom boundary is generally deep enough to be 33 4767 0.116 0.600 1.22 1.403 0.147 1.360
    modelled impermeable. To simplify the left and right mT mR R R
    boundaries, three different conditions are possible: (a) [-] [-] [-] [-] [-]
    hydrostatic pore water pressure distribution corre- 2.0 6.304 9.45810-4 0.936 1.485
    sponding to the free water surface; (b) hydrostatic
    pore water pressure distribution corresponding addi-
    tionally to the current wave-induced bottom pressure; CPTs of the assumed location showed loose to me-
    or (c) hydrostatic pore water pressure distribution dium dense soils within approximately the top 20m
    preventing any flux. The latter was used, since the fo- depth. Therefore, the initial void ratio (e0) of the
    cus of the numerical simulation was on the slope in whole soil body was set to 0.80. This simplified the
    the middle of the model. Therefore, incorrect pore soil body to a homogeneous medium dense soil.
    water pressures close to the boundary were of minor Medium dense Cuxhaven sand has a specific weight
    interest and should not affect the slope stability. An- ( 19.0kN/m3 and a dry unit weight () of
    other boundary condition was applied on the upper 14.45kN/m3.
    boundary of the model, loaded by the wave-induced
    bottom pressure. To apply the pressure load com- 3.2.6 Results
    pletely to the pore water pressure, a pore pressure The resulting deformation of an 1:2 inclined slope
    boundary condition varying simultaneously with the due to 11 and 22 waves of an 1-year storm event
    applied load was used. This was provided by a third (Hsign) is shown in Figures 10a,b, respectively. Only
    user subroutine (DISP) for Abaqus. small deformations occur, but with obvious ten-
    dency. However, large storm events last several
    3.2.5 Constitutive model hours with 103 to 104 individual waves. Since com-
    A hypoplastic constitutive model was used to de- putation costs would be extreme, simulations with
    scribe the soil (Kolymbas, 1991; Bauer, 1992; Wu, more than 100 waves were not performed. There-

    352
    Figure 10: Displacement caused by an 1-year storm event (Hsign): (a)11 waves above an 1:2 slope; (b) 22 waves above an 1:2
    slope; (c) 22 waves above an 1:1.7 slope; and (d) 22 waves above an 1:3 slope

    fore, only the trend of slope flattening due to the in- rupted wave generated by the user subroutine. The
    duced bottom pressure can be discussed, if slope resulting nodal displacement after 45 waves in soft
    failure does not occur during the first waves. The soil, with e0 = 1.00, was about four times the dis-
    displacement is directed towards the foundation pit placement in dense soil, with e0 = 0.70. However,
    with a maximum displacement at the slopes base. the difference was evoked within the first 20 to 25
    The displacement accumulated during the first 22 wave cycles.
    waves cycles, and the resulting displacement was
    larger for steeper slopes. Figures 10c,d show the de- All computations showed only marginal accumula-
    formation of an 1:1.7 and an 1:3.5 slope, respec- tion of the displacement during the last 20 cycles.
    tively. Both resulting maximum displacements were Excess pore water pressure accumulation did not oc-
    still very small (<1cm). cur for the chosen soil and wave parameters. The
    wave induced bottom pressure deformed slightly at
    3.2.7 Parametric variations the slope, but did not demolish the 1:2 slope, at least
    Several soil parameters contribute to the stability of not during the first 45 wave cycles. The soil perme-
    submarine slopes. Void ratio and permeability may ability (k) usually depends on the void ratio (e) as
    alter between different locations. Thus the impact of shown in Figure 1. However, constant values were
    both parameters on the slope stability was analysed. used for the parameter alternation to clearly indicate
    Unless otherwise indicated, all computed variations the influence.
    used the model with 1:2 slope inclination, a water
    depth (h) of 35m, an initial void ratio (e0) of 0.80 The k factor was shifted from 5 10-4m/s to 5
    and the according permeability from Figure 1. The 10-6m/s, and this permeability is of significance if
    10-year storm event wave parameters (significant) excess pore pressure accumulates and the soils shear
    were used to clarify potential impacts. strength decreases. However, the analysed values
    did not evoke any shear strength decrease, and thus
    The initial void ratio indicated the soil state. Labora- differences between the varied computations were
    tory tests of the Cuxhaven sand determined e0,min = minimal. The results of reference node N40 are
    0.60 for the densest state and e0,max = 1.22 for the shown in Figure 12. The chosen soil parameter
    loosest state. Since very dense soil is not expected in variations did not cause any collapse, but the void
    the upper soil layer, the initial void ratio was varied ratio, in particular, influenced the deformation proc-
    from e0 = 0.70 to 1.00. The results of reference node ess. Although the displacement was small, the
    N40 (given in Figure 9) are shown in Figure 11. The impact of the void ratio on the deformation was
    slightly misshaped plot at 200s was caused by a cor- obvious.

    353
    Physical simulations and in situ tests may help to-
    wards understanding the behaviour of pore water
    pressure under wave-induced bottom pressure. There-
    fore, in situ measurements are currently planned with
    various pore pressure sensors next to and within sub-
    marine slopes. The offshore campaign will last about
    one year and will be located some 120km offshore the
    German coast. The measurement concept is still in
    development, and the installation is planned to begin
    in autumn 2012. Extended numerical simulations will
    be performed to investigate the soil behaviour under
    cyclic loading with more than 100 wave cycles, and
    to analyse further parameters, such as all wave events
    given in Table 2, and soil saturation.
    Figure 11: Variation of e0 node displacement caused by an
    10-year storm event (Hsign) References

    Bauer E. (1992). Zum mechanischen Verhalten


    granularer Stoffe unter vorwiegend domet-
    rischer Beanspruchung. PhD Thesis, Institut fr
    Bodenmechanik und Felsmechanik der Univer-
    sitt Karlsruhe, Germany. 130.
    Gudehus G. (1996). A comprehensive constitutive
    equation for granular materials. Soils and Foun-
    dations 36: 112.
    Henkel DJ. (1970). The role of waves in causing
    submarine landslides. Gotechnique 20: 7580.
    Ishihara K. and Yamazaki A. (1984). Wave-induced
    liquefaction in seabed deposits of sand. Seabed
    mechanics 1: 139148.
    Jaky J. (1948). Pressure in silos. Proc 2nd Interna-
    tional Conference on Soil Mechanics and Foun-
    Figure 12: Variation of k node displacement caused by an dation Engineering, vol 1, 103107.
    10-year storm event (Hsign) Kolymbas D. (1991). Computer-aided design of
    constitutive laws. International Journal for Nu-
    merical and Analytical Methods in Geomechanics
    4. Conclusion and Outlook
    15: 593604.
    Peire K, Nonneman H and Bosschem E. (2009).
    Excess pore pressure accumulation and therefore Gravity based foundations of the Thornton Bank
    progressively reduced shear strength never occurred offshore wind farm. Terra et Aqua 115: 1929.
    in the numerical simulations. Furthermore expected Poulos HG. (1988). Marine Geotechnics. London:
    slope failures also did not occur during the analysed Unwin Hyman.
    22 to 45 wave cycles. Submarine slope failure is in Rathscheck JC. (2004). Laboruntersuchungen zum
    most cases a slow phenomenon, however, the slope Versagen von Unterwasserbschungen. Kleine
    inclination used in these simulations was steep and Vertieferarbeit, Institut fr Geotechnik und
    thus faster deformation response was expected. Baubetrieb, TU Hamburg-Harburg.
    Small soil deformations, which occurred, may re- Terzaghi K. (1957). Varieties of submarine slope
    duce pore water pressure and consequently suction failures. Publication of Norwegian Geotechnical
    power may arise (as shown by the physical models). Institute No. 25, 116.
    This reduces the slope deformation speed and tem- von Wolffersdorff PA. (1996). A hypoplastic rela-
    porarily stabilises the loaded pit. Since large storm tion for granular material with a predefined limit
    events last for hours, the computations might contain state surface. Mechanics of Cohesive-Fractional
    Materials 1: 251271.
    more wave cycles. Numerical results of cyclic load-
    Wu W. (1992). Hypoplastizitt als mathematisches
    ing with small accumulation implied the risk of Modell zum mechanischen Verhalten granularer
    dominating numerical failures. Thus results of sev- Stoffe. PhD Thesis, Institut fr Bodenmechanik
    eral hundred cycles do not only need strong compu- und Felsmechanik der Universitt Karlsruhe,
    tational power, but also need to be scrutinised. Germany.

    354
    LABORATORY MEASUREMENT OF THE REMOULDED SHEAR
    STRENGTH OF CLAYS WITH APPLICATION TO DESIGN OF
    OFFSHORE INFRASTRUCTURE

    DJ DeGroot
    University of Massachusetts Amherst, USA
    T Lunne and KH Andersen
    Norwegian Geotechnical Institute, Oslo, Norway
    AG Boscardin
    University of Massachusetts Amherst, USA

    Abstract
    Remoulded shear strength is an important design parameter for several offshore geotechnical engineering ap-
    plications, including design of skirted anchor and foundation systems, and for submarine slope stability analy-
    sis. However, there are significant differences in the equipment and test procedures used in practice to meas-
    ure the remoulded shear strength. The paper gives results from tests conducted on a variety of clays with very
    soft to stiff consistencies, using various methods of remoulding and laboratory devices. The results show that
    different remoulded shear strength values were obtained depending on the method of remoulding and test de-
    vice used. In some cases the difference was significant, which could have important consequences for design.
    Based on the results of this study, the paper recommends remoulding procedures and laboratory test devices
    for measuring the remoulded shear strength of clays.

    1. Introduction used are the fall cone, laboratory vane and uncon-
    solidated undrained triaxial test. For field methods
    The remoulded undrained shear strength (sur) of fine the most common is the field vane test (although
    grained soils is an important parameter in the design mostly onshore) and, more recently, full-flow pene-
    of offshore infrastructure and for analysis of subma- trometers. Differences in equipment and test proce-
    rine landslides. For example, in the design of skirted dures inevitably result in different sur values for a
    (suction) anchors and foundations, it is a key para- given soil. Variables include (among others):
    meter for calculation of the penetration resistance x how the equipment and test procedure re-
    and the under pressure required for installation. The moulds the soil;
    sur also influences the side shear resistance after x how the equipment shears the soil;
    penetration is completed (i.e. setup), and thereby the x whether the test is a direct or indirect meas-
    holding capacity of an anchor and the bearing capac- ure of the shear strength;
    ity and settlement of a skirted foundation. For off- x equipment sensitivity; and
    shore slope stability analyses, the sur influences the x shearing rate.
    failure mechanism and progressive failure of a
    potential submarine landslide. Differences even exist among various country stan-
    dards for the same measurement device (e.g. field
    The geotechnical engineering literature shows that vane, fall cone). It is evident that there is no consis-
    there is a large variety of laboratory and in situ tent, internationally recognised procedure or stan-
    equipment being used to measure sur. Laboratory dard for determining sur.
    measurement of sur has the significant advantage
    over measurement of the intact undrained shear This paper presents a summary of results from a
    strength (su) because sample disturbance for the joint industry project (JIP) that had as its objective
    former is generally not an issue. However, it remains to develop recommendations for laboratory meas-
    a relatively complex parameter to evaluate, as results urement of the remoulded shear strength for off-
    can vary greatly depending on the degree of re- shore applications. The project scope included de-
    moulding and the measurement method used. His- veloping a database of sur values for a variety of
    torically, the most common laboratory procedures soils and test methods from Norwegian Geotechni-

    355
    cal Institute (NGI) and University of Massachusetts Table 1: Summary of common laboratory methods for
    (UMass) Amherst projects; conducting laboratory determining remoulded shear strength
    tests to study uncertain aspects of the behaviour of Test Comments
    remoulded soils (e.g. rate effects, anisotropy); and Fall cone (FC) x uses a relatively small amount of soil;
    evaluating the appropriate use of sur in offshore specimen x test is quick and easy to perform;
    projects. remoulded by x interpretation is by theory or empirical cor-
    hand relation, which is usually in reference to
    2. Background lab vane or field vane;
    x different calibration factors according to
    Norwegian and Swedish standards, espe-
    2.1 Definitions cially for low sur values;
    In this paper, the remoulded shear strength is in ref- x different mass and angle cones required to
    erence to a condition of undrained shear and thus the cover broad range of sur values, and there is
    prefix undrained is taken to be understood and is discontinuity in the calibrations for differ-
    not used. The remoulded shear strength is defined ent size and shape cones.
    herein as the minimum possible undrained shear Triaxial x direct measure of sur;
    strength of a clay at a specific water content. This UUC x requires more soil than FC test;
    specimen x self-standing specimens are often tested
    minimum value for a given effective stress after re- remoulded by under unconfined conditions (e.g. uncon-
    moulding should correspond to a failure envelope hand fined compression test (UCT));
    defined by the effective stress friction angle at the x confined specimens are more time-
    residual state. However, whether it is in fact possible consuming to prepare and test, and mem-
    to obtain this minimum value for a given test (or de- brane correction can be significant for low
    sign problem) depends on the amount of energy and sur specimens;
    method used to remould the soil, clay mineralogy, x cell pressure can increase effective stress if
    specimen is not completely saturated;
    pore water chemistry and the measurement method. x difficult to impossible to accurately test
    soils with very low sur;
    Related to the remoulded shear strength is the sensi- x can use to study anisotropy and rate effects.
    tivity (St) of a soil. It is defined as the ratio of the Laboratory x direct measure of sur;
    undrained shear strength of an intact clay sample to vane x requires more soil than FC;
    that of the remoulded condition (i.e. St = su/sur). For (HLV or MLV) x hand vane uses fast rate of shearing;
    laboratory measurement, su is influenced by sample specimen x motorised laboratory vane allows for con-
    remoulded by trolled rotation of vane at a specified rate;
    quality, and so is the sensitivity. multiple-quick x test is often performed with soil remaining
    rotations of in the sample container (tube) to first
    2.2 Laboratory methods vane, or by measure su, followed by use of vane to
    The laboratory equipment and test methods most hand, or by quickly remould soil and then measure sur;
    commonly being used in current offshore site inves- combination of x different size vanes required to cover a
    both
    tigation practice to measure sur are the fall cone broad range of sur values;
    (FC), motorised laboratory vane (MLV), and triaxial x can be used to study rate effects.
    unconsolidated undrained compression (UUC) tests.
    Table 1 provides a summary of basic procedures, as 3.1 Test soils
    well as the pros and cons, for these three test meth- The JIP test programme used a large variety of on-
    ods. Other less common methods include torvane shore and offshore soils from around the world, as
    (TV), handheld laboratory vane (HLV), pocket listed in Table 2. A total of 15 were offshore and 5
    penetrometer (PP), ring shear, rheometer lab vane onshore. Of the 20 soils tested, 18 were marine de-
    and miniature full-flow penetrometers. posits. The index and classification properties
    spanned a wide range. All were fine-grained soils,
    3. Test Soils and Experimental Methods with most classified as either a low plasticity clay or
    a high plasticity clay. Two of the soils were strictly
    In addition to data collected from the literature and classified as silts (i.e. Atterberg limits plot just be-
    past NGI and UMass Amherst projects, several low the A-line in a Casagrande plasticity chart). The
    major test programmes were conducted during this soils represent a broad range of soil classification
    JIP, for which various methods of measuring sur properties from low to high liquid limits and plastic-
    were performed to provide data for making compari- ity indices. Almost all were tested at their natural
    sons among the different methods. In addition, a water content, with a majority having a liquidity in-
    limited series of tests were performed to study sur dex of 0.751.5. The corresponding remoulded shear
    anisotropy and the influence of strain rate on sur. strength values were typically less than 15kPa.

    356
    Table 2: Summary of remoulded shear strength values and Table 3: Laboratory equipment and test procedures
    classification properties of clays tested used
    Site sur(FC)1 w2 wL Ip IL Dimensions/
    Test Procedures
    Location (kPa) (%) (%) (%) (-) Geometry
    Langeled Fall cone 10g/60q, x NS 8015, SIS SS 27125
    1.846.0 11104 24105 569 0.222.00
    North3 (FC) 60g/60q, x hand remoulded
    Landeled3 3 57 53 28 1.10 100g/30qcones x rate = free fall
    Tordis3 14 2847 2836 1118 1.002.00 Triaxial D = 54 x ASTM D2850
    Vigdis3 0.71.3 3537 3137 1419 1.401.70 UUC H = 2D x hand remoulded
    x standard strain rate = 1%/min
    Gja3 15 6080 6070 3040 0.751.50
    Motorised D = 12.7 & 20 x ASTM D4648, BS1377-7
    Mongstad3 0.54.0 5680 1770 540 0.891.80
    lab vane H = D & 2D x VR, HR, HR-VR
    Freke3 39190 1441 2555 1432 0.000.18 (MLV) x IRU95URWDWLRQV
    3
    Troll A 17 4085 5267 2740 0.781.80 x rate = 1, 10, 90 and 1000/min
    Kristin4 7175 1668 3257 1733 0.000.30 Handheld D = 19 & 33 x not standardised
    Angola A 5
    2 162 148 99 1.10 lab vane H = D x VR
    (HLV) x rate3 = 10/s
    Angola B5 4 147 153 101 0.94
    Torvane D = 47.6 x not standardised
    Dalia6 5 127 136 90 0.90
    (TV) x hand remoulded
    6
    Shah Deniz 3 69 68 40 1.00 x rate3 = 10/s, hand turn, tf < 5s
    7
    Beaumont 8 64 78 43 0.70 x correlated to UUC test (Sibley
    Boston8 2 55 48 21 1.50 and Yamane, 1966)

    Burswood 8
    8 63 73 32 0.75 Pocket D = 25.4 x not standardised
    8
    penetrome- x hand remoulded
    Leda 1 90 59 27 2.30 ter (PP) x correlated to UUC test
    8
    Onsy 5 66 73 38 0.88 x rate = hand push, tf < 2s
    8
    Kaolin 4 61 63 28 0.95 Notes: 1. D = diameter (mm) and H = height (mm); 2. HR =
    Notes: 1. sur (FC) values using NS factors (see section 3.2.2); hand remoulded before doing the laboratory test, and VR =
    2. w = either natural water content, or as tested water content; remoulding by multiple-quick vane rotations; 3. rate is operator
    3. North Sea; 4. Norwegian Sea; 5. West Africa; 6. Caspian dependant, thus rate given is approximate.
    Sea; 7. Gulf of Mexico; 8. Onshore.
    3.2.1 Remoulding procedures
    3.2 Test equipment
    This paper presents results from tests performed Hand-remoulded specimens were prepared by
    with laboratory equipment that is most commonly thoroughly remoulding an intact specimen by hand
    used in practice to measure sur. This included the using a mixing tool, such as a spatula. Occasionally,
    FC, LV (handheld and motorized), and UUC as de- FC tests were performed during the mixing process
    scribed in Table 1. Some tests were also performed to determine if a minimum and constant sur value
    with the TV and PP (although this device generally was obtained. Remoulding was typically performed
    did not work well on the soft remoulded soils and no in a humid environment and as quickly but thor-
    results are presented herein). Table 3 presents a oughly as possible, to maintain constant water con-
    summary of the test equipment and procedures used. tent. It was generally possible to remould the soft,
    Three other experimental methods were explored in more sensitive clays quickly (in minutes), whereas
    the JIP including the newly developed parting for the stiff clays it took considerable effort and time
    strength test (Dyvik 2008), miniature full-flow pene- to remould. (This included, on occasion, the use of a
    trometers, and the push cone (Boscardin et al., rubber mallet to help in breaking down the intact
    2012). However, these new methods are not as yet soil, which in such cases was kept in a plastic bag.)
    used in regular practice (with the recent exception of MLV tests also used the vane for remoulding via
    miniature full-flow penetrometers for box core test-
    multiple quick rotations of the vane. Measurements
    ing, e.g. Low et al., 2008; DeGroot et al., 2010) and
    of the remoulded shear strength were made as
    thus results are not presented in this paper.
    quickly as possible after remoulding and specimen
    Table 3 notes that the MLV tests were performed in preparation to avoid thixotropic hardening.
    accordance with both American Society for Testing
    and Materials (ASTM) and British Standards Insti- 3.2.2 Interpretation of fall cone data
    tute (BSI) standards for which there is a large differ- There is a significant difference between the Norwe-
    ence in the rate of rotation. In ASTM D4648 the gian and Swedish calibration factors for interpreta-
    specified rate is 60 to 90/min while for BS1377-7 it tion of the FC test. In Norway, FC data are inter-
    is 6 to 12/min. preted using the values given in the Norwegian

    357
    Standard (NS) NS8015, which are from the 1946 nificantly depending on soil sensitivity. However,
    Swedish Geotechnical Institute (SGI) calibrations consistent trends among the test soils were found for
    for the 10g/60, 60g/60 and 100g/30 cones (SGI, the subsequent measures of sur, with sur(I-VR)
    1946). However, the Swedish Standards Institute 1.29sur(HR-VR), and sur(HR) sur(HR-VR).
    (SIS, 1991) uses the calibration factors that were
    16
    first derived by Hansbo (1957, 1962) and subse- From Fall Cone:
    quently updated by Wiesel et al. (1985). They follow su(Intact)
    sur(FC: Norway) = 2.9 kPa
    14
    the relationship proposed by Hansbo (1957) so that: sur(FC: Sweden) = 1.9 kPa

    su = KQ/h2 (1) 12 I = Intact


    R = residual
    where K is the empirical correlation factor, Q is the VR = vane remoulded
    HR = hand remoulded

    Shear stress [kPa]


    weight of the cone and h is the final depth of pene- 10

    tration. SIS recommends values of K = 1.0 for the


    8 sur(I-R)
    30 cones and 0.25 for the 60 cone. These K factors
    were determined primarily by calibration of the
    6
    100g/30 cone to the field vane and then correlating
    the 60 cones to it. The NS factors for the 60 cones
    4 sur(I-VR)
    (10g and 60g) are about 1.6 times greater than the sur(HR-VR) sur(HR)
    SIS factors. For the 100g/30 cone, the difference
    2
    depends on the depth of penetration with the NS fac-
    tor ranging from about 1.0 to 1.2 times greater than
    0
    the SIS factor. 0 25 50 75 100 125 150

    Angular Rotation [degrees]


    4. Experimental Results
    Figure 1: Shear stress versus angular rotation for MLV tests
    conducted on Troll clay (DeGroot et al., 2010)
    4.1 Method of remoulding
    Possible soil remoulding options for a specific test It is noted that most of the clays tested in this project
    device include hand-remoulding, device-remoulding had low to very low sur values. Only a couple were
    or a combination of the two. For the FC, UUC, TV stiff clays with relatively high sur values (>50kPa).
    and PP tests, hand-remoulded specimens must be Such clays, and especially very stiff clays, are diffi-
    prepared. For the MLV, remoulding can be per- cult to remould, as it requires a significant amount of
    formed with the device (i.e. multiple quick rotations effort and time to thoroughly remould such soils.
    of the vane). Alternatively, the device can be used to
    test a hand-remoulded specimen, or a combination 4.2 Comparison of measurement devices
    of the two can be used. Figure 2 plots results of sur measurements for several
    soft onshore and offshore soils. The trends shown in
    As an example, Figure 1 presents results from MLV this plot were consistent among all soils tested in the
    tests performed on an intact sample of the Troll clay JIP with only a few exceptions. The collective data
    from the North Sea. These tests show the influence set, for which most of the sur values were less than
    of the method of remoulding on sur. The sample was 15kPa, show:
    first tested to measure the intact (I)su and the post- x sur(FC:NS) using the NS factors gave the
    peak residual shear strength (I-R). It was subse- highest values followed by sur(TV), which
    quently remoulded through multiple quick rotations were only slightly lower (~ 10% on average);
    of the vane and again tested (I-VR). Thereafter, the x the lowest values were measured for the
    sample was thoroughly remoulded by hand (HR) and MLV using HR-VR test conditions and the
    placed in a mold. It was then tested and subject to a BS rate of rotation of 10/min;
    final remoulding through multiple quick vane rota- x sur(FC:NS) values were 1.6 sur(FC:SIS) and
    tions (HR-VR). In each case, the measured sur values is simply the difference in the NS and SIS
    progressively decreased. The corresponding St val- calibration factors for the 60g/60 cone,
    ues ranged from 2 to 12, depending on which value which was used for a majority of the tests;
    of sur was used to compute St. x sur(FC:NS) values were about 2.0sur (MLV:
    HR) and 2.3sur(MLV:HR-VR) using the
    Similar results to that in Figure 1 were found for ASTM rate of 90/min for the MLV. Results
    other clays tested, with sur(I-R) always being the for sur(MLV:I-VR) were more scattered al-
    largest and sur(HR-VR) being the lowest. Differences though a majority of the values were less
    between values of sur(I-R) and sur(I-VR) varied sig- than sur(FC:NS) by a factor of about 1.52.0;

    358
    x the differences in sur(FC:NS) and sur(MLV) most clays are anisotropic, then the use of St to esti-
    noted above are even greater for MLV tests mate sur implies that remoulded soils would also be
    conducted at the slower BS rate of 10/min; anisotropic. Two sets of UU tests were performed on
    x HLV results from tests performed on HR a remoulded clay with shearing in triaxial compres-
    specimens were more scattered but on aver- sion (sur(TC)) and extension (sur(TE)). In all cases,
    age were less than sur(FC:NS) by a factor of the stress-strain curves did not exhibit a distinct peak
    about 2.0; and shear stress, which is typical for UU tests on re-
    x UUC tests were difficult to perform on sam- moulded soils, and therefore sur was defined at both
    ples with low sur values but for the tests that a strain (Ha) of 10% and 15%. The sur(TC) at Ha =
    were successful sur(UUC) values were less 15% equalled 6kPa and 18kPa for the two sets, and
    than sur(FC:NS) and greater than sur both sur(TE) values were somewhat lower. The re-
    (MLV:HR) performed at the BS rate of rota- sulting anisotropy ratios sur(TE)/sur(TC) equalled 0.7
    tion. and 0.9 (atHa = 10%), and 0.8 and 0.9 (at Ha = 15%).
    Based on this limited dataset, a preliminary conclu-
    10 sion is that remoulded soils may exhibit some stress
    Values after MLV label equal Boston
    rotation rate used in degrees/min Burswood
    induced anisotropy. However, this measured anisot-
    8
    Onsoy ropy is somewhat smaller than would be calculated
    Angola A
    Angola B
    from dividing the intact compression and extension
    Dalia strengths by the sensitivity.
    Langeled
    6 Shah Deniz
    sur (kPa)

    5. Analysis and Evaluation of Results

    4 Based on the literature and the experience gained in


    this project, the following observations and conclu-
    sions are made regarding test equipment and proce-
    2
    dures for measuring sur.

    0 5.1 Method of remoulding


    The MLV results, as summarised in Table 4, clearly
    S)

    TV

    0
    )

    0
    IS

    )-9

    )-1
    )-9
    (N

    (S

    R
    R
    FC

    showed that when evaluating different methods of


    FC

    -V

    -V
    (H

    R
    LV

    (H

    (H

    measuring sur, it is important to consider the


    M

    LV

    LV
    M

    Measurement Method method in which the soil is remoulded and the po-
    tential relevancy of that method to a specific design
    Figure 2: Trends in sur values measured by different methods
    problem. It also shows that comparison of meas-
    for several offshore and onshore soils
    ured sur data among various measurement tech-
    4.3 Rate effects niques must account for the method and degree of
    Several test series were conducted in the project to remoulding.
    investigate rate effects for remoulded soils using the
    Table 4: Various measures of the remoulded shear strength in
    UUC and MLV tests. In almost all cases the soils reference to the MLV test
    showed an increase in the remoulded shear strength
    Range Definition Measure
    with an increase in rate of shearing, although to
    varying degrees. On the whole, the rate effect was in Highest: Intact (I) Undisturbed undrained shear
    the order of 1015% increase in shear strength per strength (su)
    decadal increase in strain rate, for the range of shear Intact-residual Measured post-peak during initial
    strain covered by these tests. These data confirm the (I-R) shearing of the intact specimen
    conclusion of Lunne and Andersen (2007) that the Intact-vane Multiple quick rotations of the
    well-known influence of shear rate on the undrained remoulded vane after completion of the in-
    shear strength of intact clays also appears to apply (I-VR) tact test
    for remoulded soils. Hand re- Steady state (post-peak) resis-
    moulded (HR) tance of HR test specimen
    4.4 Anisotropy Lowest: Hand re- Steady state resistance of HR
    Undrained shear behaviour of intact soils exhibits moulded specimen measured after apply-
    considerable inherent and stress induced anisotropy. vane ing multiple quick vane rotations
    remoulded
    Little is known, however, if the same behaviour oc-
    (HR-VR)
    curs for undrained shear of remoulded clays. Since

    359
    5.2 Fall cone zone in a field vane test with a standard 40mm vane
    Interpretation of FC measurements relies on semi- rotated at 612/min is about 2.5104%/hr. In cases
    empirical correlations and different size cones are where the dimensions or the rate of rotation deviate
    needed to cover a range of sur values. The SIS cali- from the standard field vane (e.g. MLV), the rate in
    bration factors are different than the NS factors and the concentrated shear zone is scaled by assuming
    appear to be more rational. (They are calibrated in that the rate of shear strain is proportional to the rate
    reference to the field vane test and follow theoretical of rotation. The HLV is manually operated, and the
    considerations for all cone sizes and geometries.) speed of rotation is therefore operator dependent. It
    For soils with sur up to about 10kPa, the SIS calibra- is estimated that a typical rate of rotation is about
    tion factors tend to give sur values similar to, or 10/s, giving a shear strain of about 100 times the
    slightly less than, that measured for the MLV(HR). standard field vane (i.e. 2.5106%/hr).
    In contrast, the NS calibration factors give much
    greater sur values. The FC is suitable for measure- Table 5: Summary of shear rates and rate effects for laboratory
    tests performed to measure remoulded shear strength
    ment of St, but often involves using a different cone
    for measurement of sur than that used to measure su. Test1 Test rate2 Shear Strain Rate in Rate factor4
    Shear Zone (%/hr)3
    5.3 Motorised laboratory vane FC free fall 2.50106 (but calibrated 1.50
    The MLV is the most versatile laboratory test de- (SIS)5 to FVT = 2.50104 %/hr) (2.5104 %/hr)
    vice. It can cover a large range of shear strengths MLV 10q/min 2.50104 1.50
    90/min 2.25105 1.67
    (0.5100kPa), test at different rates and measure the
    remoulded shear resistance of soil samples at a vari- HLV ~10/s 2.50106 1.85
    ety of states (i.e. I-R, I-VR, HR, HR-VR). When tf < 5s
    testing intact specimens, the magnitude and rate of UUC 60%/hr 90 1.16
    shear strength degradation with increasing vane rota- TV ~10/s 90 (calibrated to UUC) 1.16
    tion can be directly measured. Data reduction is tf < 5s
    straightforward and no correlations are used. It also PP tf < 2s 90 (calibrated to UUC) 1.16
    has the advantage of simulating the field vane test. Notes: 1. Test dimensions/geometry given in Table 2; 2. Rates
    The MLV is suitable for measurement of St, al- listed are nominal test rates, and are operator dependent for
    HLV, TV and PP, thus given values are approximate; 3. Axial
    though as with all laboratory measurements of sensi-
    strain rate converted to shear strain as J = 1.5H; 4. Relative to
    tivity, sample disturbance may result in too low St standard triaxial and direct simple strength (DSS) tests with 3
    values. Insertion of the vane may also cause some 4.5%/hr. 5. Equivalent strain rate for NS calibration unknown.
    additional disturbance.
    Koumoto and Houlsby (2001) estimate that the
    5.4 Unconsolidated-undrained compression test strain rate in the FC test is about 1.0106%/hr for the
    The UUC test provides a direct measure of sur, and 30 cone, and about 2.5106%/hr for the 60 cone.
    tests can be conducted at various strain rates. The However, the SIS calibration is based on correlation
    test is, however, difficult to perform on low sur soils to the field vane test, and thus the equivalent strain
    (<5kPa). For such soils, the membrane and area cor- rate for the SIS FC is taken as that of the field vane
    rections are significant. The UUC test is suitable for test (2.5104%/hr). The equivalent strain rate for the
    measurement of St. The unconfined compression test NS FC calibration factors is uncertain because they,
    (UCT) is difficult to impossible to perform on low as best as can be determined, are based on correla-
    sur soils (<5kPa). tion to a combination of laboratory tests performed
    at rates that were not published. For the UUC test, it
    5.5 Torvane and hand laboratory vane is assumed that the shear strain is uniform within the
    The TV and HLV tests are generally not recom- specimen. The TV and PP tests were developed by
    mended, because there is a greater tendency for op- calibration against UUC and UCT tests.
    erator dependence for these devices. The TV tends
    to give sur values similar to FC(NS). The data in Table 5 show that the rate of shear strain
    ranges over many orders of magnitude among the
    5.6 Rate effect factors various laboratory tests. The shear strain rate factor
    Table 5 summarises the rates used in the various presented is defined as the ratio between the shear
    laboratory tests. The estimated shear strain rate in strength at a given rate, divided by the shear strength
    the shear zone for each test was estimated as fol- for a reference laboratory testing shear strain rate of
    lows. Randolph and Andersen (2006) estimated that 34.5%/hr. The increase in shear strength with strain
    the theoretical rate of strain in the concentrated shear rate was computed using the relationship proposed

    360
    by Lunne and Andersen (2007), which is nonlinear 6.2 Selection of sur for design and analyses
    (in semi-log space) showing an increase in the rate The remoulded shear strength for design analyses
    effect with an increase in strain rate. The analysis can be determined in two ways: direct measurement
    has some uncertainty given the assumptions made, of sur; or dividing the intact strength by the sensitiv-
    but nevertheless the range in the rate effect is sig- ity (i.e. sur = su/St). In both cases, it is crucial to keep
    nificant. It shows the importance of accounting for in mind conclusions derived from the laboratory
    rate effects when evaluating sur from different test tests given in sections 4 and 5, as follows:
    methods and when assigning sur values in design. x sur depends on the type and degree of re-
    moulding;
    6. Design Applications
    x sur is rate dependent in a manner similar to
    The remoulded shear strength is an important pa- intact clays; and
    rameter in several offshore foundation design situa- x based on a few preliminary tests, sur may be
    tions. The following describes some of these with anisotropic (although less than intact clays).
    more details provided by the design-focused papers Since these conditions may vary for different design
    of Randolph et al. (2005) on challenges of offshore cases, the remoulded shear strength depends on the
    geotechnical engineering, and Andersen et al. (2008) problem that is being analysed. For instance, the rate
    on deepwater geotechnical engineering. of shear strain along foundation skirts during pene-
    tration and the rate of shear strain in the shear zone
    6.1 Applications of a slope may be quite different and may also differ
    For skirted anchors and foundations, the remoulded from the rate used in the laboratory.
    shear strength is a key parameter for calculation of
    the penetration resistance and the under-pressure re- Since the degree of strength anisotropy is likely to
    quired for installation. The remoulding occurs when be different for intact and remoulded clays, the sen-
    the skirt is penetrated into the ground, and is caused sitivity should also be determined from tests that
    by a bearing capacity failure at the skirt tip and large are representative of the stress path for the design
    shear strains along the side of the skirt as it moves problem. The sensitivity must be determined from
    relative to the clay. The penetration resistance is tests with the same rate of strain on intact and re-
    proportional to the remoulded shear strength and moulded clay. However, since the effect of strain
    governs the penetration depth that can be achieved, rate is the same for intact and remoulded clay, this
    as well as the required under-pressure to reach a rate does not need to be the same as in situ. One
    specified depth. The remoulded shear strength also uncertainty is that the sensitivity will be underesti-
    influences the side shear resistance after completed mated if it is based on the intact strength from dis-
    penetration (setup), and thereby the holding capacity turbed samples.
    of an anchor and the bearing capacity and settle-
    ments of a skirted foundation. Estimating post- Using sur directly and sur = su/St will give the same
    installation capacity also requires information on the result, provided that the three factors discussed ear-
    state and the thixotropic, consolidation and shear lier are considered correctly. In practice, however,
    behaviour of the remoulded soil. These design issues one approach can be more convenient than the other.
    are also relevant to that of pile driving and capacity For example, the experience from back calculation
    design of pile foundation systems. of suction anchor penetration resistance reported by
    Andersen et al. (2005) shows that the penetration re-
    For slope stability analyses, the remoulded shear sistance of skirts is most conveniently calculated by
    strength influences the failure mechanism and the a remoulded shear strength determined by dividing
    progression of a potential slide. In slopes with strain the intact DSS by the sensitivity. The reason is that
    softening clays, narrow shear zones with high shear the DSS test is reasonably representative for the
    strains may develop if the slope is subjected to exter- stress path along the anchor wall and is run with a
    nal triggers. The shear strength in this zone may ap- rate of shear strain similar to the rate of shear strain
    proach the remoulded shear strength, and the sensitiv- in the remoulded zone along the skirt wall. The in-
    ity of the clay may govern whether the slope fails or tact strength profile also has to be established to cal-
    not. If the slope fails, the remoulded shear strength culate the skirt tip resistance during penetration and
    will influence how far down-slope the slide masses for the subsequent holding capacity analyses. If the
    will move (run-out distance), and whether the slide penetration resistance is based on the measured sur, a
    masses will be a threat for down-slope infrastructure. strength measurement has to be calibrated to the
    The movement and sensitivity will also influence the stress path along the anchor wall and a correction
    degree of progressive failure that may occur. factor has to be applied to convert it to a representa-

    361
    tive rate of strain. This is also possible, but may be handheld lab vane and Torvane are not recom-
    more cumbersome. mended. The UUC test is suitable for testing of stiff
    soils, and for investigating rate effects and anisot-
    7. Summary and Recommendations ropy. For testing hand-remoulded specimens, the test
    should be conducted as soon as possible (<1min) af-
    The remoulded undrained shear strength of clays is a
    ter preparation of the test specimen to avoid
    relatively complex parameter to evaluate, because
    thixotropic effects. If there is uncertainty about how
    test results can vary greatly depending on the degree
    thoroughly the test specimen has been remoulded,
    of remoulding and the measurement method used.
    consecutive tests should be conducted, with addi-
    Key test equipment and procedure variations include
    tional remoulding between tests, until a near con-
    the following:
    stant minimum shear strength is recorded.
    x some devices require a remoulded test
    specimen to be prepared while others can be 7.1.1 Motorised laboratory vane
    used to remould an intact specimen; MLV tests should be conducted using the equip-
    x some devices directly measure sur while oth- ment, test procedures and reporting requirements de-
    ers rely on empirical correlations; and scribed in either ASTM D4648 (2009) or BS 1377-7
    x the strain rate applied in the test. (2007). A key difference between these two stan-
    dards is the recommended rate of rotation, which is
    Based on the results presented in this paper, the fol- 612/min for the BSI versus 6090/min for
    lowing recommendations are made for measurement ASTM. The su and sur values can be expected to be
    of the remoulded shear strength (see Table 6). These about 1015% higher for the faster ASTM rate be-
    recommendations cover fine-grained soils over a cause of rate effects, while the corresponding St val-
    wide range of plasticity and are largely based on re- ues should be about the same for both.
    sults from soils with low values of sur (<15kPa).
    The specimen test conditions should be clearly
    Table 6: Summary of laboratory test types and recommenda-
    tions for measurement of sur specified and reported with the two key options be-
    ing: intact-vane remoulded (I-VR) and hand re-
    Test moulded (HR). Preference should be given to con-
    Item
    FC UUC MLV HLV TV ducting I-VR testing when samples are available in
    Opera- tubes or liners. Vane remoulding should be con-
    34 4 45 23 23 ducted using a minimum of 510 rapid rotations of
    tor1
    Amount little medium medium medium little the vane, followed by conducting the vane test
    soil2 (4) (15) (10) (10) (4) within 1min of the vane remoulding process. (Note:
    Range
    the 510 rotations is per the ASTM standard, but
    0.5370 5500 0.5100 0.5120 0.5245 some soils require more than 5 rotations to fully
    sur kPa
    remould, thus a minimum of 10 is preferred. BSI
    Re-
    mould- HR HR
    IR/VR/ IR/VR/ HR only requires 2 rotations, which is most often too
    HR HR few.)
    ing3
    Notes issue with can study can hand op- hand op-
    NS vs SIS anisotropy study erated erated 7.1.2 Fall cone
    calibration and rate rate ef- In spite of some of the shortcomings of the FC test, its
    effects fects continued use is recommended. The reasons include
    Recom key test, good for key test not not that there is extensive experience with this device, it
    om- due to sig- sur >15kPa for sur recom- recom- can cover a large range of shear strength, and it uses
    menda- nificant <100kPa mended mended only a relatively small volume of soil. FC tests should
    tions experience
    be conducted using the equipment, test procedures
    Notes: 1. Operator dependency rating of 15 (5 = operator in- and reporting requirements described in Norwegian
    dependent); 2. Sample length (cm) required to measure both in-
    tact and remoulded shear strength in brackets (sample dia.
    Standard (NS) 8015 (Norsk Standard, 1988) or Swed-
    >75mm); 3. IR = intact remoulded, VR = vane remoulded, HR ish Standards Institute (SIS) SS 27125. However, an
    = hand remoulded; 4. All tests are suitable for measuring St. important conclusion from this project is that the sig-
    nificant difference between the NS and SIS calibra-
    7.1 Laboratory methods tion factors should be studied and taken into account.
    Laboratory measurement of the remoulded shear The SIS calibration factors appear to be more ra-
    strength and sensitivity should be conducted using tional, as they are based on a combination of theory
    the motorised laboratory vane and/or the FC. The and calibration to a well-known shear strength test

    362
    (FV). In any case, when reporting FC data, the stan- the vane (minimum of 25 rotations according to the
    dard used should be noted. NS; 10 rotations according to ASTM) followed by
    rotation at 612/min to measure sur. Unfortunately,
    For computation of sensitivity (St), the NS and SIS most of the equipment currently available offshore
    calibrations will give the same value if the meas- cannot conduct the quick rotations. Instead, it is rec-
    urements of su and sur are made with either of the ommended that to measure sur offshore in a reliable
    60 cones. However, if su is measured with a 30 way (similar to onshore methods and in the MLV),
    cone and sur is measured with a 60 cone, then the geotechnical contractors should be encouraged to
    SIS calibration factors will result in a higher St, al- develop and offer equipment that can conduct 20 ro-
    though the amount higher is not constant and de- tations in less than ~5min.
    pends on the measured values.
    The piezocone is very common in offshore site in-
    7.1.3 Unconsolidated undrained compression test vestigations, and sometimes the sleeve friction is
    The UUC test is more suitable for stiffer soils and is used to estimate sur. However, Lunne (2010) points
    a useful test for studying rate effects and anisotropy. out problems with the reliability of sleeve friction
    The test should be conducted using the equipment, measurements, and it is therefore not recommended
    test procedures and reporting requirements described to use the sleeve friction to estimate sur.
    in an internationally recognised standard (e.g.
    ASTM D2850 or BS 1377-7). . Future Challenges

    7.2 In situ testing The conclusions and recommendations given in this


    While the focus of this paper is on laboratory testing, paper are based mostly on soils with sur less than
    some comments are given to follow on in situ testing, about 15kPa. Measurement of the remoulded shear
    which is also an important aspect of offshore site in- behaviour of stiff clays was not studied in any detail.
    vestigations. The two main options for in situ meas- These soils are difficult to remould, and research
    urement of sur are the field vane (FV) and full flow needs to be conducted on appropriate remoulding
    penetrometers (T-bar and ball). Both have the advan- techniques and measurement methods for stiff clays.
    tage of providing a measure of the intact shear resis- The FC calibration factors for the NS are signifi-
    tance and thereafter remoulding the soil in situ. The cantly different from the SIS standard, and there is a
    FV does this through multiple rapid rotations and the pressing need to re-evaluate the FC calibrations fac-
    full-flow probes via cycling testing. This is a signifi- tors in the NS. More UUC tests to evaluate sur ani-
    cant advantage, since the degradation behaviour from sotropy using a range of clays should be performed
    peak to residual to fully remoulded can be measured. to obtain a larger database and a better understand-
    ing of this important effect.
    Lunne et al. (2011) provide guidelines for use of
    full-flow penetrometers and the FV in deepwater Acknowledgments
    soft clays. Most of these recommendations are also
    relevant to their use in shallow-water depths. The authors acknowledge the following participants
    DeJong et al. (2010) outline recommended practice in the JIP upon which this paper is based: BP Explo-
    for onshore full-flow penetrometer testing, much of ration Operating Company Ltd; Statoil ASA; Saudi
    which is also relevant for offshore practice. Interpre- Aramco; and Petronas Carigali Sdn Bhd. This work
    tation of T-bar and ball data requires corrections to was also supported in part by the National Science
    be applied to the measured data and an appropriate Foundation under grant OISE-0530151 and the Re-
    N-factor to convert the measured resistance to sur. search Council of Norway. The authors also thank
    Yafrate et al. (2009) and Low et al. (2010) present their colleagues and students at NGI and UMass
    recommended N-factors for estimating sur from cy- Amherst for their contributions to the project.
    clic full-flow penetrometer data. It is important to
    note that the N-factor for remoulded and intact con- References
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    364
    3,3(/,1(6$1'*5$9,7<%$6('
    6758&785(6
    
    A NEW FRAMEWORK FOR AXIAL PIPE-SOIL RESISTANCE,
    ILLUSTRATED BY A RANGE OF MARINE CLAY DATASETS

    AJ Hill
    BP, Sunbury, UK
    DJ White
    University of Western Australia and Advanced Geomechanics, Western Australia
    DAS Bruton
    Crondall Energy, Hampshire, UK
    T Langford and V Meyer
    Norwegian Geotechnical Institute, Oslo, Norway
    R Jewell and J-C Ballard
    Fugro GeoConsulting, Belgium

    Abstract
    The interaction between the seabed and unburied pipelines is one of the key uncertainties associated with
    deepwater and/or high pressure, high temperature (HPHT) pipeline design. Emerging research is shedding
    light on this important topic that is not currently well understood. BP has amassed a considerable quantity of
    data from different basins ranging from conventional in situ measurements of soil properties (supplemented
    by two campaigns using Fugros SMARTPIPE) to model testing at the Norwegian Geotechnical Institute
    (NGI) and the University of Western Australia (UWA). Added to this, standard and advanced low stress inter-
    face shear testing has been carried out in laboratories at the University of Texas, Austin, UWA and Fugro.
    These tests were designed to address the key mechanisms governing axial pipe-soil interaction behaviour,
    spanned a large range of pipe properties and sliding velocities, and included episodes of post-sliding reconso-
    lidation. New data from all of these sources are given in this paper, along with a theoretical framework devel-
    oped to synthesise these results and contribute to improved practice for the design of pipelines that are suscep-
    tible to walking, buckling and other forms of movement.
    1. Introduction In the analytical calculations (the simplest case) the
    task for the axial pipe-soil response involves identi-
    It is well known that the interaction between surface- fying and quantifying the key parameters controlling
    laid pipelines and the seabed is extremely complex. the ultimate sliding resistance. From these, a friction
    The challenge for geotechnical and pipeline engi- factor is derived, which is defined simply by the
    neers is to model this interaction in a manner that ratio of the force required to slide the pipe axially, to
    can be efficiently applied in design calculations and the pipe submerged weight. Across the industry there
    analyses. In addition, this modelling will need to is a great disparity between the approaches used by
    produce safe and reliable results, while faithfully re- different designers for this task. The SAFEBUCK
    producing the relevant physical processes in play. joint industry project (JIP) has been addressing axial
    Design calculations for buckling and walking can be pipe-soil interaction for more than five years (White
    classified as either analytical or numerical. et al., 2011). It has collated a large range of data and
    identified the key parameters, but currently no gen-
    In analy-tical calculations, the pipe-soil response is erally accepted basis for calculating axial friction
    modelled as rigid-plastic, characterised by a single factors has yet emerged.
    parameter the ultimate resistance. This is com-
    monly expressed in a non-dimensionless way as a This paper and parallel work performed on carbonate
    friction factor (i.e. the axial resistance (T), divided soils (White et al., 2012) supports the improvement
    by the submerged pipe weight (W) per unit length). of design practice by illustrating how new high-
    In numerical calculations, the response may be elas- quality data have been used to calibrate a new theo-
    tic-plastic (i.e. bi-linear), or may be a more complex retical framework for axial pipe-soil resistance. As a
    piecewise linear variation.

    367
    result, the data both field and laboratory can be In addition, the alpha approach implicitly assumes
    synthesised in a logical manner. Using the resulting undrained conditions apply during sliding, which
    framework, it is possible to more confidently inter- may not be the case. The new framework outlined in
    polate or extrapolate the particular conditions in the this paper includes the influence of the pipe weight
    laboratory and field tests to the particular conditions on the strength of the surrounding soil.
    relevant for the design of each pipeline and each in-
    service load case. For example, rapid buckling and Of course, there remains uncertainty associated with
    slow expansion may lead to different soil responses the new model, arising from both the model itself
    and require analyses using different friction factors. and the derivation of suitable input parameters. De-
    sign approaches need to account for this, and it is
    Much of the emphasis by researchers to date has been generally necessary to produce low, best and high es-
    towards establishing the residual axial resistance timates. For these values to be used meaningfully in
    when the pipe has been displaced far enough to mobi- a reliability context, they should also be associated
    lise a steady level of sliding resistance. The assess- with a particular probability of exceedence. Unlike
    ment of this single parameter can be very challenging. offshore pile design, where empirical approaches for
    Prediction of the full cyclic load-displacement re- axial resistance have been validated through the
    sponse (analogous to the t-z response for piles) has not availability of high-quality load tests, no such data-
    yet been researched in detail and is often neglected. base of field observations exists for pipelines.
    As discussed later, the datasets gathered in this work,
    particularly the monitoring from in-place systems, Controlling axial and lateral global movements, in-
    highlight the need for understanding the full axial cluding buckling, walking and end expansion, is a
    load-displacement response better. relatively recent design strategy (Bruton et al., 2007).
    However, satisfactory levels of design reliability can
    Recent field monitoring data allow the theoretical still be achieved in pipeline systems in the face of
    framework proposed for determining ultimate values greater geotechnical uncertainty relative to pile de-
    of friction to be validated through back-analysis of sign principally because pipelines are more toler-
    operating systems. This is critical in closing the de- ant of movements. Monitoring and validation of the
    sign loop for providing verification via an applica- design assumptions, in particular the end expansions
    tion of the observational approach. There also exists and lateral-buckling/walking behaviour, remains an
    a wide range of geotechnical characterisation tools important aspect of the operational management of
    available under the general headings of in situ tests, pipelines laid on the seabed.
    model tests and laboratory tests. Data are presented
    here from most of the tools and the relative merits of The level of in-service monitoring of the local and
    each technique are discussed. global displacements of pipeline systems is increas-
    ing, but there is much to be done before the
    The benefits provided by the new framework are
    geotechnical understanding of axial pipe-soil interac-
    discussed. The proposed approach captures the tran-
    tion is as mature as pile design. Even with the rare
    sition between drained and undrained behaviour, and
    and extremely valuable data provided from instru-
    accounts for the influence of pipeline coating rough-
    mented systems, calibration of theoretical frame-
    ness, pipe weight, soil fabric and soil stress history.
    works is complicated. This stems from the number
    By using an effective stress approach, the framework
    of influencing parameters and whole-system ef-
    more robustly addresses undrained behaviour and the
    fects, such as the interaction of lateral buckling and
    drained-undrained transition than a traditional total-
    axial walking, and the effects of any anchoring or
    stress approach. Although the traditional alpha ap-
    other restraints.
    proach (where shear resistance is calculated by mul-
    tiplying an undrained shear strength by an adhesion
    Not all projects warrant the comprehensive pro-
    factor ) is convenient, the major difficulties are:
    grammes of testing and analysis presented here.
    (i) deciding the value of alpha and undrained Some pipeline systems will not be as sensitive to
    shear strength to use (and accurately assess- the geotechnical input as others. In future there will
    ing the near-surface strength, and any not be the same requirement to examine fundamen-
    changes caused by the pipe); and tal behaviour in the way that there is today, because
    (ii) the uncertainty associated with integrating of the improved understanding that is emerging.
    the resistance over the area of pipe in contact Recommended approaches for the process of char-
    with the seabed. acterising axial pipe-soil interaction are suggested

    368
    at the end of this paper. Finally, although the au- drained to fully undrained conditions. As these ex-
    thors believe the proposed framework is a signifi- tremes give very different results, neither a wholly
    cant step forward, there is potential for refinement. drained or wholly undrained approach is sufficient.
    Some key areas for further theoretical development An undrained or total stress approach is also ham-
    are discussed, as well as tools to provide data to pered by the need to assess an appropriate undrained
    support it. strength to characterise the failing soil at the pipe
    surface. Attempts to use the in situ undrained
    2. Data Acquisition for Axial Pipe-Soil Interaction strength require an adjustment via the alpha parame-
    ter (akin to the adhesion factor in pile design), but
    A variety of techniques are available for gathering model tests show a wide variation in the back-
    data for the assessment of pipeline as-laid embed- calculated values of alpha.
    ment and the resulting axial pipe-soil interaction.
    These methods are summarised in Table 1. This Given these uncertainties, current industry recom-
    table shows the key attributes of each method, and mendations from codes and guidelines are somewhat
    explains the data each provides. All of these tools limited and highly empirical. For example, the
    were used to support the analysis of pipelines in BP SAFEBUCK guidance recognises the widely scat-
    projects in one particular basin. The different forms tered evidence from model tests. For design use, it
    of data were interwoven, using the theoretical provides simple curve fits that envelope the avail-
    framework (described in section 3) to provide vali- able model test data (which itself is limited to a sin-
    dated design recommendations. To illustrate the gle soil type) to provide a relationship between axial
    scope of this comprehensive set of studies, the inves- friction factor and pipe bearing stress. However,
    tigations for this basin are summarised as follows: these recommendations are accompanied by strong
    x in situ tests: over 30 box cores and 50 T-bars, 2 caveats, given the limited scope of the database and
    SMARTPIPE campaigns providing 4 successful the empiricism involved.
    tests with a range of pipe weights and 2 axial dis-
    placement rates (0.04mm/s and 0.15mm/s); 3.2 New framework
    x onshore model testing: small- and large-scale The new framework for assessing axial pipe-soil
    pipe model tests, a total of 12 tests in which >200 resistance overcomes the two principal limitations
    axial sweeps were performed, at speeds between described earlier: (i) the consideration of only fully
    0.0005mm/s and 1mm/s, with 3 different pipe drained or fully undrained conditions; and (ii) the
    coating roughness levels and a range of pipe use of wholly empirical curve fits to model test
    weights (1.86.0kPa). data. Instead, the framework uses concepts from
    x laboratory testing: 12 drained tilt table tests and critical state soil mechanics to describe both
    12 interface shear-box tests spanning drained and drained and undrained strengths for the pipe-soil
    undrained rates of sliding, with a range of stresses interface. These are linked to fundamental soil
    and interface materials. properties that can be determined from element
    tests, as well as from model pipe tests in the labora-
    3. Assessment of Axial Pipe-Soil Interaction tory or at the seabed.

    3.1 Conventional practice The four main elements of the framework are illus-
    The conventional methods for estimating axial pipe- trated and colour-coded in Figure 1, and are dis-
    soil interaction forces can be divided into two ap- cussed in more detail by White et al. (2012). They
    proaches: the alpha (or total stress); and beta (or are as follows:
    effective stress). As for conventional foundation en-
    gineering, a total stress analysis provides a simple x a curved effective stress failure envelope (in
    approach for undrained conditions, and an effective red);
    stress analysis is used for drained conditions. These x a drained-undrained transition, associated
    two methods and their advantages and limitations with pore pressure generation and a viscous
    are well documented elsewhere (White and effect (in blue)
    Randolph 2007; Oliphant and Maconochie 2007;
    x an interface efficiency linked to roughness
    Randolph and White 2008; Jewell and Ballard 2011;
    (green); and
    White et al., 2011; White and Cathie, 2011). In
    summary, in fine-grained soils the typical velocities x a wedging effect from the curved pipe
    during pipeline axial movement span from fully surface (in purple).

    369
    Table 1: Data acquisition techniques for axial pipe-soil interaction

    Key Variants or Data Maturity Relative Schedule Further


    Type Description
    Attributes Alternatives Provided Cost Issues Information
    Box Cores
    Large (0.5m) Seabed or Shear strength Proven concept Inexpensive Equipment Hill and Jacob,
    undisturbed downhole weight and although range equipment but readily available 2008
    sample piston cores moisture content of equipment depends on but not all survey Kelleher et al.,
    Testing and Other physical types provide deployment vessels are 2011
    sub-sampling ROV-mounted and chemical differing quality vessel cost equipped to Low et al., 2008
    feasible offshore sampling tools testing deploy box cores
    Miniature Visual profile Offshore
    penetrometers testing provides
    can be deployed fast results
    on deck into box
    T-bar Penetrometer
    In-situ Testing

    Large bearing Cone Penetration Proven Inexpensive Equipment Randolph et al.


    area (200 40mm Ball and cyclic technology equipment but readily available 1998
    dia. typ.) resistance depends on but not all survey Randolph, 2004
    Repeatable Toroid gives indirect deployment vessels are Kelleher et al.,
    Controlable (Yan et al., 2011) measure of vessel cost equipped to 2011
    Easier undisturbed deploy this tool
    interpretation and remolded
    relative to CPT shear strength
    SMARTPIPE (Fugro)
    Real 225mm Also possible Axial load New technology Expensive Relatively short Hill and Jacob,
    diameter pipe. to test lateral displacement Two offshore but mostly due duration on site 2008
    Pore pressure response response deployments to deployment and interpretation Denis and
    measurement No other similar Range of pipe 2008 and 2009 vessel cost Currently relies De Brier, 2010
    Good control equipment but weights, velocities, Two planned on vessels with White et al.,
    Variable weight toroid concept sizes and coatings deployments 20Te A-frame 2011
    and displacement could give smaller possible in 2012 to accommodate
    velocity scale axial response L.A.R.S
    Model Testing (NGI)
    Range of pipes Also possible Axial and lateral Current variant Moderately Long duration, Langford et al.,
    sizes, and coating to test lateral load-displacement of setup is expensive and relies on offshore 2007
    3
    Pore pressure response response in relatively new needs bulk (3-4m ) samples which
    measurement Top driven or reconsolidated but concept has samples from then need to be Bruton et al.,
    Good control wire driven. soil (reuseable) been developed offshore reconstituted and 2009
    Onshoree Model Testing

    Extensive Earlier variant Range of pipe for more than reconsolidated.


    parametric studies at Cambridge weights and 15 years
    possible University velocities

    Centrifuge Testing (UWA)


    Small sample Better suited Axial and lateral Proven concept Moderately Short duration, White and
    (150 litre) required for lateral testing load-displacement but relatively expensive but only if facility is Gaudin, 2008
    Good control than axial response in recently tailored needs small available but
    Extensive Earlier variant reconsolidated to pipe-soil samples from relies on Gaudin et al.,
    parametric studies at Cambridge soil (reuseable) interaction testing. offshore recovery of 2011
    possible University Range of pipe offshore samples
    weights and
    velocities
    Tilt Table (UT Austin)
    Small sample Ring shear - Drained Proven concept Inexpensive Short duration, Pederson et al.,
    Repeatable variable speed but conditions origins in liners but needs small but relies on 2003
    Simple designed for Visual evidence for landfill and samples from recovery of Najjar et al.,
    Soil Element Laboratory Testing

    mechanism and higher stresses of failure surface modified for offshore offshore samples 2007
    interpretation CamShear Reconstituted pipeline design
    Designed for low variable speed but sample more than 10 years
    normal stresses not as repeatable Range of pipe
    Multiple interfaces CamTor weights
    and normal stresses new device under
    possible development by
    Fugro/Cambridge
    Low Stress Shearbox (UWA) Proven concept
    Low stress and As above Range of but only recently Inexpensive Short duration - White and
    variable velocity responses from modified for but needs small but relies on Cathie, 2011
    Small sample drained to pipeline design, samples from recovery of White et al.,
    Repeatable undrained and care required offshore offshore samples 2012
    Simple mechanism Reconstituted to minimise
    and intepretation sample machine friction

    370
    Figure 1: Mechanisms affecting axial pipe-soil interaction

    The fundamental strength criterion of the pipe-soil Figure 1 shows the corresponding variation in resis-
    interface is an effective stress failure envelope. This tance with sliding velocity, and its blue S-shaped
    is curved at low stresses (e.g. Pederson et al., 2003; profiles can be fitted by a logarithmic sigmoid func-
    Najjar et al., 2007) leading to a decay in drained fric- tion (House et al., 2001). High shearing rates also
    tion factor with increasing stress level (as illustrated lead to viscous effects, which can be fitted by a
    by the red lines in Figure 1). hyperbolic sine function (Randolph, 2004). It has
    been demonstrated in shear box tests that soil which
    At faster rates of shearing, partially or fully is initially contractile (i.e. on the wet side of the
    undrained conditions will prevail, and positive or critical state) will harden through episodes of
    negative excess pore pressure will be generated. Fig- undrained or partially-drained failure (White et al.,
    ure 2 illustrates dilatant and contractile undrained 2012). This behaviour can be quantified using the
    stress paths, relative to a drained (thus constant Vcn) state para-meter (\), which is the difference between
    path, for soils with different over-consolidation ra- the current void ratio and that at the critical state
    tios (OCR) and therefore different volume change (Been and Jefferies, 1985). A positive state parame-
    tendencies. ter leads to contractile behaviour and volumetric
    hardening through episodes of undrained or par-
    Rate-adjusted faster failure
    tially-drained failure, while a negative state parame-
    Shear stress, W

    failure envelope
    failure envelope ter leads to softening as the dilatant soil swells.
    Vcnf
    ru = 1
    Vcno
    Vcnf
    Wf The final two aspects of the framework are an allow-
    Drained
    stress path smoother ance for interface roughness (see green lines in Fig-
    interface ure 1 and 2) and wedging around the pipe surface
    Vcnf Roughness- (White and Randolph, 2007).
    Wf Vcnf adjusted failure
    Wf
    envelope
    4. Example Datasets
    Low OCR High OCR
    undrained undrained
    stress paths stress path
    4.1 Element tests shear box and tilt table data
    A set of interface shear box results for a single soil
    Vcno Normal effective stress, Vcn
    type are summarised in Figure 3, which shows the
    Figure 2: Idealised stress paths during interface failure residual sliding resistance recorded at the end of the

    371
    first cycle in each test. Most of the tests were on revealing any modifications that are needed to ac-
    normally consolidated samples, revealing a back- count for the in situ conditions (e.g. the natural soil
    bone curve linking the drained limit of tan G (with G, fabric) relative to the behaviour of the same soil
    the interface friction angle, being slightly influenced when reconstituted in the NGI laboratory.
    by stress level). The tests also revealed an undrained
    limit that, by definition, corresponds to the normally Figure 4 shows typical axial load-displacement, pore
    consolidated undrained strength ratio ((su/V'v)nc, or pressure and pipe settlement data that are gathered
    c/p ratio). during the NGI tests. A series of consecutive sweeps
    are shown for two different normalised pipe weights
    0.9 All rough, Vn = 4 kPa, OCR = 1, unless indicated otherwise of V/D = 1.5kPa and 3.5kPa, respectively, where V is
    0.8 Vn = 2 kPa the vertical pipe-soil load and D is the pipe diameter.
    Vn = 2.4
    These sweeps were during the middle of the testing
    Residual stress ratio, W/Vn

    0.7 OCR = 3
    -10 kPa
    Vn = 8 kPa
    0.6
    OCR = 2
    programme for each pipe weight. The clay was ini-
    0.5 tially consolidated to an effective stress of 6kPa. In
    Vn = 2 kPa
    0.4 each case, the first sweeps (marked 0 and shown in
    0.3 Vn = 8 kPa blue in Figure 4) were performed at very slow veloci-
    0.2 Smooth
    ties of 0.001mm/s and 0.0005mm/s. The subsequent
    0.1 Circles: Tilt table
    Diamonds: Shear box sweeps (sweeps 1 and beyond, shown in red), were
    0
    0.0001 0.001 0.01 0.1 1 performed at very fast velocities of 1mm/s or 5mm/s,
    Velocity (mm/s) without any significant set-up periods.
    Figure 3: Element test characterisation of residual interface
    strength The results show how the pipe behaviour changes
    with pipe weight and velocity. In both cases, the
    As shown in Figure 3, the effect of a smoother inter- change to a higher velocity causes an increase in
    face is clear, and so is the enhancement of undrained mobilised shear stress. This coincides with a clear
    strength through over-consolidation. The latter effect development of large negative excess pore pressure,
    fits with critical state soil mechanics theory (e.g. which tends towards zero during the remainder of
    Wroth, 1984). Tilt table results are also shown in the sweep series as the resistance decreases.
    Figure 3. These are drained results (but are marked
    at a nominal low value of velocity for illustrative 1.5
    V/D = 1.5 kPa
    3.0
    V/D = 3.5 kPa
    1
    purposes). Tilt table tests appear to be more repeat- 1.0
    0 1
    2.0
    3
    Shear stress, W (kPa)

    5
    Shear stress, W (kPa)

    3 0
    able than some current programmes of shear box 0.5 1.0
    0.0
    testing. This is attributed to the influence of machine 0.0
    -0.5 4 -1.0 6
    friction, which can have a significant influence on -1.0 -2.0 4
    2
    2
    low stress shear box tests, unless very careful meas- -1.5 -3.0
    0.2
    ures are used to minimise and correct for this effect. 0.2
    0 1
    0
    pore pressure ratio, ru
    pore pressure ratio, ru

    0.0
    1
    4 0.0
    -0.2
    4.2 Pipe tests large scale and in situ -0.4
    3
    2 5
    6
    4
    To support pipeline design for BPs projects, a wide -0.6
    -0.2 3
    2
    range of pipe-soil characterisation studies have been -0.8 -0.4
    performed, encompassing all of the techniques listed 0.468 0.54
    Normalised penetration, z/D

    Normalised penetration, z/D

    0
    in Table 1. Complementary sets of large-scale axial 0.470
    2
    0.56
    1
    0
    pipe-soil interaction tests have been performed in the 0.472
    3
    1
    4
    0.58 3
    2

    4
    laboratory at NGI and in situ at a water depth of up
    0.474 0.6 5 6
    to 2050m, using the Fugro SMARTPIPE.
    0.476 0.62
    0 100 200 300 400 0 100 200 300 400
    The testing philosophy was that the NGI activity Displacement (mm) Displacement (mm)

    would provide a systematic study of all relevant


    Figure 4: Typical NGI test results for two different normalised
    variables including pipe weight, roughness, veloc- pipe weights. Data from several consecutive sweeps are plotted
    ity, movement history, and OCR. Then from these against pipe displacement, showing shear stress, pore pressure
    variables the new framework (Figure 1) could be ratio and normalised penetration. Labels show sweep number
    calibrated. The SMARTPIPE testing provides a Blue lines are very slow (0.0005mm/s and 0.0010mm/s), and
    smaller dataset in the core of the parameter space, red lines are very fast (1mm/s and 5mm/s). V is the simulated
    pipe weight during sweeps
    which validates the calibrated framework while also

    372
    Pipe penetration, as expected, is greater for the heav- tional weight of the pipe during the hydrotest (as-
    ier pipe where even the slowest initial sweep exhib- suming it is maintained long enough for full pore
    its penetration and positive excess pore pressure. It is pressure dissipation).
    encouraging that one may capture the complexities
    of interface shear behaviour in terms of effective 4.3 In-service monitoring and back-analysis
    stress at such low levels of consolidation stress. In-service monitoring is critical to validate design
    assumptions and refine theoretical models. Back-
    The NGI tests performed at very slow speeds were analysis of monitoring data usually requires finite
    used to calibrate the non-linear effective stress fail- element (FE) modelling of the whole pipeline to cap-
    ure envelope for the pipe-soil interface, which is ture the complex interactions between pipe walking
    shown in Figure 5. Also shown in this figure is the and lateral buckling, as well as any end or mid-line
    calculated stress path, which is based on average restraints. To validate the assumed axial and lateral
    stresses distributed over the pipe surface, from one resistances, FE back-analyses can be tuned to match
    SMARTPIPE test. The stress path follows the failure buckle shapes observed in the field. However, dif-
    envelope closely, and the unload-reload stages are ferent combinations of axial and lateral friction coef-
    comparable to the responses seen in cyclic undrained ficients can give the same result. In addition, match-
    ing axial friction coefficients to the thermal
    soil element tests.
    expansion is problematic because measurements are
    often sporadic, and typically the axial resistance has
    3
    NGI model test
    only a small influence on the amplitude. More reli-
    residual state able back-analyses can be achieved by matching the
    2 cumulative cyclic displacement of a walking pipeline
    Start of over a large number of operating cycles.
    first
    Shear stress, Wf (kPa)

    1 sweep
    SMARTPIPE Monitoring of one deepwater pipeline for walking
    stress path installed on very soft high plasticity clay provided a
    0 back-calculated axial friction coefficient in the range
    0 1 2 3 4 5 6
    of 0.350.40. This represented a value between the
    -1 drained and undrained extremes. In this example,
    end expansions were monitored continuously using
    seabed transponders, which not only gave the walk-
    -2
    ing rate per cycle but also the maximum velocities at
    which they took place. The measurements were
    -3 made at the pipeline end, where the displacement
    Normal effective stress, V'n (kPa)
    rates are highest. These data provide some validation
    Figure 5: Comparison of residual states in drained NGI of the new framework, although the effect of the ve-
    model tests, and a stress path from a partially-drained Fugro
    SMARTPIPE test
    locity variation along the line was not incorporated
    in this comparison (see Figure 6). However, back-
    analyses of walking should not focus solely on the
    One of the fundamental differences between the limiting axial resistance, since the mobilisation dis-
    laboratory and in situ model tests is that in the for- tance (i.e. the displacement required to reach maxi-
    mer, the OCR, is known because the soil in the test mum resistance) also has an influence on the walk-
    tank is reconsolidated using a controlled pre- ing rate. Typically, a bi-linear axial response is used
    consolidation pressure. For the SMARTPIPE tests, in FE analyses with equal loading and unloading
    the OCR can be estimated via the in situ undrained stiffness levels. In this case, the walking rate reduced
    shear strength ratio, but this is complicated in the with the mobilisation distance (Carr et al., 2006).
    real pipeline situation where the soil immediately
    around the pipe is heavily remoulded during pipelay. To demonstrate the impact of this on the predicted
    As a result, the soil in contact with the pipe may not walking rate, a sensitivity analysis was carried out
    exhibit the in situ strength, including any enhance- for a given seabed slope (in this case 0.9) and ther-
    ment from OCR. The implication from a design per- mal transient (50C/km) acting on a 2km length of
    spective is that the only over-consolidation that can pipe. Figure 7 shows the combinations of ultimate
    be relied on to increase the strength beyond normally axial friction and elastic mobilisation displacement,
    consolidated conditions is that created by the addi- which predicted the same walking rate. It is impor-

    373
    tant to always consider pairs of friction and mobili- may also occur. As a result, the initial strength is
    sation distance when back-analysing walking. The usually lower than the in situ strength at that same
    back-analysed axial frictions referred to earlier were depth, even though reconsolidation may occur. The
    based on a mobilisation distance that was consistent undrained strength during axial movements may of-
    with the NGI and SMARTPIPE results. ten be controlled by the pre-consolidation pressure
    imposed by the pipe. Caution is therefore required
    1.2 Observed Model when interpreting tests, so that the influence of any
    approx. max. end uncertainty surcharge pressure imposed during sample prepara-
    Axial friction factor, T/W

    1 (LE-BE-HE)
    expansion rate tion is considered in the back-analysis. In model
    0.8
    tests, this surcharge pressure may control the
    Calibrated axial
    0.6
    model (BE) undrained sliding resistance, whereas in the field it is
    0.4 more likely to be controlled by the consolidation
    0.2 Back-analysed axial stress imposed by the pipe itself (based on the ex-
    friction range perience described in this paper).
    0
    0.0001 0.001 0.01 0.1 1
    Velocity, v (mm/s) Thirdly, and most importantly, the datasets have
    shown that the four elements of the framework illus-
    Figure 6: Comparison of calibrated axial friction model with trated in Figure 1 can be identified and isolated. By
    back-analysed response from observed walking rates
    capturing each of these effects in simple calculation
    methods that are based on well-established soil me-
    0.6 20mm/cycle walk
    chanics principles, it is possible to provide better de-
    sign recommendations. The new framework has led
    Axial friction factor, T/W

    40mm/cycle walk
    0.5
    50mm/cycle walk to recent BP projects using design ranges of axial re-
    0.4 60mm/cycle walk
    80mm/cycle walk
    sistance that are narrower than what can be achieved
    0.3 with existing guidance.
    0.2

    0.1
    5.2 Strategy for design process
    Design values of axial friction factor are updated at
    0
    intervals during a project, as new geotechnical data
    0 10 20 30 40 50
    Axial mobilisation displacement (mm)
    are obtained and the pipeline parameters are refined.
    The lower bound axial resistance is a critical pa-
    Figure 7: Example of effect of axial response on walking rate rameter. Refinement of this value ideally upwards
    is a key aim when planning and interpreting soil
    5. Design Implications characterisation studies and pipe-soil model tests.
    An important outcome from these studies has been
    5.1 Key insights from new framework and datasets the observation that in low permeability marine
    Prior to the new framework and recent datasets be- clays, undrained or partially drained conditions can
    ing available, design guidance such as that described occur and be sustained during pipeline compres-
    in section 3.1 was somewhat limited. The process of sion/expansion on shutdown and restart. This situa-
    devising this new framework and back-analysing the tion can apparently be maintained through many cy-
    various datasets has led to some key insights, which cles of movement.
    highlight the limitations of conventional approaches.
    As a result, the initial design value of axial friction
    First, it has been found that the velocities of pipe factor at the start of a project should be based on the
    movement during operational events can extend into normally consolidated strength ratio ((su/Vcv)nc). It
    the undrained or partially drained regions for many should not based on the drained interface friction
    natural marine clays. As a consequence, both drained angle (G), which may not be mobilised at operational
    and undrained conditions, and the linkage between velocities and would therefore be unconservative.
    them, should be considered in design. The use of (su/Vcv)nc assumes that the pipe is suffi-
    ciently rough to mobilise the full internal soil
    Secondly, when assessing the undrained sliding re- strength, and that full consolidation has been permit-
    sistance, the soil in contact with the pipe is often ted under the pipe weight prior to axial movement.
    dragged down from the original mudline (Dingle et In addition, it involves the conservative assumption
    al., 2008; Zhou et al., 2008), and soil remoulding that the mudline soil does not have a preconsolida-

    374
    tion pressure greater than the pipe bearing pressure. packages to continuously record pipeline end move-
    The adopted value of (su/Vcv)nc needs to be consistent ments. Finally, this work has reinforced the observa-
    with the low stress level beneath the pipe. Given the tion that increasing coating roughness boosts axial
    starting point of (su/Vcv)nc, recommendations can be friction. However, in order for designs to fully bene-
    refined and the lower bound potentially raised as fit from this effect, further work is required to estab-
    the project progresses using two parallel activities: lish standard methods for characterising and measur-
    ing coating roughness.
    x improved analysis: incorporates in the analysis
    other effects that raise the estimate of axial resis- 6. Conclusions
    tance (e.g. wedging, vertical pre-consolidation by
    hydrotesting, partial or full drainage during sliding); The unique combination of data collected and pre-
    x improved parameter selection: uses project- sented in this paper has enabled the development and
    specific characterisation data to reduce the soil calibration of a framework (depicted in Figure 1 and
    property uncertainty (see Table 1). described further by White et al., 2012) for predict-
    ing the axial resistance between pipelines and clayey
    These activities are inevitably interwoven. Better seabeds. A key feature of this model is that the
    soil characterisation will improve the analysis, and undrained strength, which represents the lower
    close communication between the geotechnical ana- bound resistance for normally consolidated condi-
    lysts and the pipeline designers is a key part of this tions, has been calculated using a critical state-type
    process. For example, the degree of drainage de- framework to assess the excess pore pressure. This
    pends on the pipeline velocity, which in turn de- has been coupled with a curved effective stress fail-
    pends on the assumed level of friction. Iteration will ure envelope that has been applied to all drainage
    therefore be needed between the geotechnical calcu- conditions. The result is a more robust theoretical
    lations and the pipeline structural analyses. basis than a total stress approach to undrained
    strength.
    The overall pipeline assessment should reflect the
    uncertainty associated with the local geotechnical The model has been partially verified against an oper-
    conditions, and the potential impact of the uncer- ating pipeline. It has also been demonstrated that the
    tainty level on the pipeline design. In new basins, mobilisation displacement of an assumed bi-linear ax-
    more comprehensive studies are appropriate, given ial response is also a key parameter for predicting
    the potential for unexpected behaviour. SMART- walking. A consistent methodology is now available,
    PIPE and/or large-scale model testing might be con- which captures the transition from undrained to
    sidered. In a basin for which significant characterisa- drained behaviour in the event that a specific design
    tion data and operating experience already exist, a warrants examination of this complexity. The relative
    particular project may only require conventional in merits of different characterisation tools have been re-
    situ and soil element tests, or perhaps small-scale viewed, and some suggestions have been made where
    pipe-soil modelling. future improvements would be beneficial. However,
    the subject is still maturing and, although significant
    5.3 Future equipment development steps in understanding have been made, these theo-
    As understanding of axial friction improves, the retical models require further validation and refine-
    types of measurements that are needed become ment using similarly high-quality data and interpreta-
    clearer. There is scope for improving and refining tion for application to other soil types. Finally, the
    soil laboratory testing equipment to achieve tests at value of monitoring has been demonstrated. Further
    low stresses, large strains and varying speeds. Simi- gathering of such data is a critical aspect of the valida-
    larly, offshore equipment and processes could be re- tion of these developments.
    fined. More advanced testing could be performed
    offshore on the intact surficial soil in box cores. For Acknowledgments
    example, a toroidal device (Yan et al., 2012), or
    similar, could be placed in the box and rotated to The authors wish to thank BP regional project teams
    measure the large-strain shear resistance. A larger for supporting this effort over several years, and the
    scale model could be deployed on the seabed. Upstream Engineering Centre for having the fore-
    sight to allocate the time and funds for this important
    Section 4.3 highlights the value of field monitoring, work. Particular thanks go to Mike Crawford, Ber-
    and the need to deploy simple but robust instrument nadette Weber, Ed Clukey, Eric Liedtke and Trevor

    375
    Evans at BP; Bob Gilbert at University of Texas, Langford TE, Dyvik R and Cleave R. (2007). Off-
    Austin; Neil Simpson of Atkins Subsea; and Fraser shore pipe-line and riser geotechnical model test-
    Bransby of Advanced Geomechanics. ing: practice and interpretation. Proc. Conf. on
    Offshore Mechanics and Arctic Engineering, San
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    377
    378
    A NEW FRAMEWORK FOR AXIAL PIPE-SOIL INTERACTION,
    ILLUSTRATED BY SHEAR BOX TESTS ON CARBONATE SOILS

    DJ White
    University of Western Australia and Advanced Geomechanics, Australia
    ME Campbell
    Advanced Geomechanics, formerly of University of Western Australia, Perth, Australia
    NP Boylan
    Advanced Geomechanics, formerly of University of Western Australia, Perth, Australia
    MF Bransby
    Advanced Geomechanics, Nedlands, Western Australia

    Abstract
    The axial sliding resistance between a surface-laid pipeline and the seabed is an important design parameter
    that influences the pipeline end expansions, as well as lateral buckling and cyclic walking responses. This pa-
    per describes a new framework for quantifying axial pipe-soil interaction and reports data from interface shear
    box testing of three carbonate soils in support of this approach. The framework uses concepts from critical
    state soil mechanics, and encompasses the influences of stress level, pipeline roughness and shearing rate
    including drainage and viscous effects. Each of these effects is independently quantifiable and relevant to de-
    sign. Typical pipeline expansion rates span drained and undrained behaviour on deepwater mud, and typical
    pipeline coatings are often in the transitional range between fully rough and fully smooth. In addition, at the
    stress levels relevant to pipelines, the effective stress failure envelope is non-linear. The laboratory data com-
    prises interface shear box tests on a range of carbonate sediments spanning from sand to fine silt. Novel pro-
    cedures are used to replicate the history of loading and consolidation experienced by soil beneath a pipeline,
    revealing the consequent changes in the interface strength. The new framework provides a basis for integrat-
    ing characterisation data from soil element tests and model tests of pipe-soil interaction. This has led to an
    improvement in design practice, through the use of recommendations that are more robust.

    1. Introduction 2. Theoretical Framework

    The axial resistance between a surface-laid pipeline 2.1 Limitations of conventional practice
    and the seabed affects the in-service end expansions Conventional methods for estimating axial pipe-soil
    and cyclic axial walking, as well as the initiation and interaction forces take either a fully drained beta
    growth of lateral buckles. More accurate predictions approach, or they adopt an undrained strength al-
    of axial resistance can lead to improved pipeline de- pha approach as described in White and Randolph
    sign through a reduced requirement for anchoring of (2007), Oliphant and Maconochie (2007) and White
    the pipe, simpler end terminations and a more reli- and Cathie (2011). A limitation of these approaches
    able buckling strategy. High rates of walking pre- is that either fully drained or fully undrained condi-
    dicted from overly conservative, lower bound values tions are assumed to apply, yet for undrained condi-
    of axial resistance can be problematic in design. This tions it is common for changes in the soil strength
    paper describes a new theoretical framework that profile caused by the pipeline to be overlooked.
    captures the various mechanisms that control axial
    resistance. The shear box is a useful tool for charac- As a result, current industry recommendations can
    terising pipe-soil interaction behaviour. Results from lead to wide ranges of design axial resistance, noting
    interface shear box tests on three different carbonate that high and low estimates generally need to be con-
    soils are used to illustrate some of the mechanisms sidered to establish a robust design. Recommended
    that control axial pipe-soil resistance. methodologies are either derived from somewhat scat-

    379
    tered databases of model tests results (e.g. Bruton et 3. Interface Shear Box Testing
    al., 2009), or they involve significant simplifications
    of the underlying behaviour. For example, the in situ 3.1 Introduction
    strength profile with depth is assumed to apply when The direct shear box was one of the first devices in-
    calculating the axial shear stress on the pipeline, ig- vented for testing the strength of soil in the labora-
    noring drag-down or changes in strength from distur- tory. It was utilised in much of the seminal early
    bance and reconsolidation. work on the strength of sands and clays (e.g. see
    Taylor and Hvorslev reviewed by Schofield and
    .2 New framework Wroth, 1968; Schofield, 2005). These studies gener-
    The new framework for assessing axial pipe-soil re- ally used the shear box to perform slow tests in
    sistance overcomes the two principal limitations de- which drained conditions were targeted.
    scribed earlier: (i) consideration of only fully drained
    or fully undrained conditions; and (ii) the use of em-
    A limitation of the shear box compared to the
    pirical curve fits to model test data. Instead, the
    triaxial and simple shear devices, is that drainage is
    framework uses concepts from critical state soil me-
    typically uncontrolled. To achieve fully drained
    chanics to describe both drained and undrained
    conditions on the failure plane, the test must be
    strengths for the pipe-soil interface. These strengths
    performed sufficiently slowly. For example, Bolton
    are also linked to roughness and stress level effects.
    (1991) suggested that displacement rates of
    The four main elements of the framework are illus-
    0.000017mm/s and 0.00017mm/s or less are re-
    trated schematically by each colour in Figure 1, and
    quired for drained conditions to be achieved when
    are discussed in sequence in section 0, with refer-
    testing clays and silts. However, pipelines typically
    ence to test data. The elements are:
    exceed these speeds of movement during operation
    (i) a curved effective stress failure envelope (in (e.g. Bruton et al., 2007), and so partially or fully
    red); undrained conditions are to be expected on silty
    (ii) a drained-undrained transition, associated with and clay-sized soils. To support pipeline design, it
    pore pressure generation and a viscous effect is therefore logical to ignore the conventional re-
    (in blue); quirements of an acceptable shear box test. In-
    (iii) an interface efficiency linked to roughness stead, it is recommended to pursue testing that de-
    (in green); and liberately involves some build-up of excess pore
    (iv) a wedging effect due to the curved pipe sur- pressure, leading to partially or fully undrained
    face (in purple). shearing.

    Wedging factor
    Friction coefficent: T: Axial sliding resistance
    ] = f(w/D)
    Pipe: T/W = (1-ru) ru: Excess pore pressure
    Interface: /n = (1-ru) ratio, 'u/Vn
    Embedment, w/D

    Pipe wedging: = tan


    ] = f(w/D) Virgin strength
    Viscous
    T/W increases with (dilatant)
    rate effect
    embedment (w/D) Softening
    and roughness (rn)
    Volumetric
    hardening
    Friction:
    with cycles
    /cn =
    and/or time \=
    Rou 0
    gh
    Decreasing state parameter, \

    G=
    l
    na

    I Virgin strength
    io

    (contractile)
    sit

    Increasing OCR

    Smo ,
    ion
    an

    oth
    r i c t vel
    Tr

    e f
    r f a c ss le
    g i n t e g stre Drai
    n
    e d u c i reasin n
    (ru = ed
    R h in c 0)
    Relative wit Sliding
    Pipe weight, W or
    roughness, rn normal effective stress, cn velocity, v Und
    raine
    (in drained conditions) d

    Figure 1: Mechanisms affecting axial pipe-soil interaction

    380
    Constant volume shear box tests have been per- tion, the normal load on the specimen is usually im-
    formed previously for various research studies (e.g. posed by relatively compact dead-weights. A set of
    Tsubakihara and Kishida, 1993), and constant vol- these weights were fabricated from anodised steel at
    ume ring shear tests are also used to simulate rapid UWA (see Figure 4).
    sliding failures within landslides (e.g. Sassa et al.,
    2004). Interface shear box tests are performed by re- Vertical
    placing the lower half of the shear box with a plate, displacement
    which in this case represents the surface coating of transducer
    the pipeline (see Figure 2). Teflon bushel
    Stainless steel
    guide bar
    Vertical dead
    weight: stainless
    steel cylinder

    Anodised steel
    shear box

    Figure 4: Detail of dead weight loading system

    The instrumentation logged during testing com-


    prises the horizontal displacement of the interface,
    Figure 2: Specimen after interface shear box test the vertical displacement of the top cap and the hori-
    zontal load imposed on the interface. The shearing
    3.2 Standard apparatus and low stress refinements phase can consist of cycles with or without interven-
    The advanced soil testing laboratory at the Univer- ing pauses periods, which are automatically se-
    sity of Western Australia (UWA) is equipped with quenced by computer control.
    three computer-controlled shear box apparatus, all of
    which have been modified to feature a low stress op- 3.3 Test programme
    erating capability. These modifications have been This paper reports selected results from a pro-
    performed to improve the element testing capability gramme of interface shear box testing using three
    for support of pipeline design. Two of these devices different natural carbonate soils, taken from the
    are Geocomp ShearTrac-II-DSS systems, which can North West Shelf of Australia, with the properties
    be operated as simple shear or direct shear devices listed in Table 1.
    (see Figure 3).
    Table 1: Properties of tested soils
    Vertical displacement Horizontal Soil Classification D50 (mm) Fines LL PL PI
    transducer (LVDT) load cell Carbonate silt
    P 0.02 85% 57% 32% 25%
    with mud
    Carbonate
    IN 0.07 65% 65% 35% 30%
    sandy silt
    Carbonate silty
    IS 0.19 30%
    sand

    All specimens were prepared by normal consolidation


    from a wet slurry. The interface was rough steel, suf-
    ficient to mobilise soil-soil failure. The influence of
    drainage was investigated by testing each soil at
    shearing speeds of 0.001mm/s, 0.01mm/s, 0.1mm/s
    and 1mm/s. A base case normal stress (imposed dur-
    Figure 3: Overview of Geocomp shear testing system ing consolidation and shearing) of Vn = 2.5kPa was
    used. Additional tests were performed at the slowest
    The ShearTrac systems are equipped with micro- and fastest rates using Vn = 5kPa. All tests were cy-
    stepper motors and feedback systems for normal and clic, beginning at the mid-point of the cyclic range.
    shear load control. However, for low stress opera- The cyclic range was 5mm from the initial position,

    381
    with each cycle having a cumulative displacement of Horizontal Displacement (mm)
    20mm, including two reversals. The full cycle of
    0
    shearing allowed any offset in the horizontal load to -6 -4 -2 0 2 4 6
    be identified (when a steady resistance was reached).
    -0.25
    Two forms of cycling were performed: continuous
    cycling; and cycling with consolidation periods of

    Vertical Displacement (mm)


    -0.5
    30min between each cycle. Up to 20 cycles were per-
    formed in a single test. It is good practice to continue
    -0.75
    logging data beyond the end of the cycles in order to
    identify any continuing settlement after the shearing
    stage. This would indicate that the shearing was not -1
    fully drained.
    -1.25
    3.4 Typical results
    A set of typical results from a test on Soil IN -1.5
    (sandy silt), normally consolidated to 2.5kPa and
    sheared at 0.01mm/s, are shown in Figures 5 and 6. -1.75
    The test involved five continuous cycles. The mo- Figure 6: Typical settlementdisplacement response (Soil IN)
    bilised shear stress almost stabilised at ~2kPa by
    the end of the first 10mm-long reverse sweep, but 4. Results and Interpretation
    continued to rise slowly throughout the cycling se-
    quence. Meanwhile, the specimen settled through- 4.1 Effective stress failure criterion
    out the cycling, indicating contraction of the soil. The effective stress failure envelope of an interface
    After completion of the final cycle, the specimen is slightly curved at residual (or constant volume)
    did not settle, indicating that no excess pore pres- conditions, reflecting the influence of stress level on
    sure was present at the end of the test. However, friction angle. This is illustrated by the red plane of
    the shape of the settlement curves within each cy- Figure 1 (Pedersen et al., 2003, White and Randolph,
    cle, and the progressive rise in resistance through- 2007). The results from the tests on sand and sandy
    out the test, indicated that undrained or partially silt at 0.001mm/s achieved drained conditions, as
    drained conditions were achieved at the start of the evidenced by the lack of settlement after the end of
    test. In the interpretation of these results, the resid- shearing. The test on silt at 0.001mm/s was not fully
    ual resistance (Wres) within a given cycle is taken as drained, because the specimen settled after comple-
    the average of the values measured at points A and tion of the test, with the post-test settlement curve
    B (Figure 5) in that cycle. having a t90 period of ~3hr. The slowest silt tests
    therefore provided a lower bound on the drained
    4 strength.
    A
    3 In Figures 7 and 8, the results from this study are
    compared with equivalent data from previous studies
    2 that used non-carbonate soils. The high angles of
    Shear Stress,  kPa)

    friction of the carbonate soils are clearly evident, as


    1
    is the curvature of the failure envelope. From a pipe-
    0 line design perspective, these results highlight the
    -6 -4 -2 0 2 4 6 potentially beneficial high axial resistance in drained
    -1 conditions that can be found in carbonate soils com-
    Cycle 1 pared to non-carbonate soils.
    -2 Cycle 2
    Cycle 3 4.2 Excess pore pressure and undrained failure
    -3 If the rate of sliding is too fast for drained conditions
    Cycle 4
    B to prevail, excess pore pressure is generated at the
    -4 Cycle 5
    interface. If the soil is contractile (i.e. on the wet side
    Horizontal Displacement (mm) of the critical state) the excess pore pressure will be
    Figure 5: Typical shear stressdisplacement response (Soil IN) positive, and if it is dilatant, it will be negative.

    382
    The state of the soil on the wet or the dry side is
    1.4 Soil IS (silty SAND) linked to the overconsolidation ratio (OCR). The re-
    Soil IN (sandy SILT) sulting excess pore pressure at failure, in combination
    1.2 UTTT Soil P (SILT) with the effective strength of the soil, controls the
    GoM
    undrained strength. Intermediate rates of shearing lead
    Residual stress ratio, Wres/V'no

    clays
    1 to concurrent dissipation and a lower absolute level of
    excess pore pressure. This behaviour is illustrated in
    0.8 Figure 9 by the results from the silt tests across a
    range of velocities, alongside previously published
    0.6
    data from interface shear testing of soils. The high
    drained strength of the carbonate silt (Figures 7 and 8)
    UTTT kaolin Marine clay
    (Hill et al. 2012) is also reflected in a higher undrained strength relative
    0.4 to the other soils shown. To model the behaviour
    shown in Figure 9, it is necessary to define the
    0.2 UTTT: UTexas tilt table. Data from Pedersen undrained strength limit (and also the viscous effect),
    et al. (2003) and Najjar et al. (2006).
    All other data from UWA interface shear box. as well as the S-shaped transition curve. The stress
    0 history and normalised soil engineering property
    0 2 4 6 8 (SHANSEP) type methods (e.g. Ladd and Foott,
    Normal effective stress, V'n (kPa) 1974) are often used to predict undrained strength as a
    Figure 7: Variation in drained strength with effective stress function of the overconsolidation ratio and the nor-
    level mally consolidated undrained strength ratio. This ap-
    6
    proach has previously been applied to axial pipe-soil
    interaction (Jewell and Ballard, 2011).
    Soil IS (silty SAND)
    5 An alternative approach is to use the Cam-clay
    Soil IN (sandy SILT)
    Residual shear stress, Wres (kPa)

    framework to calculate the excess pore pressure at


    4 Soil P (SILT) undrained failure and hence the effective stress.
    Marine clay Then this is used in combination with the non-linear
    (Hill et al. 2012) effective stress failure envelope (see section 0) to
    3 UTTT
    GoM calculate the undrained strength. In this way, a con-
    clays sistent effective strength is applied regardless of the
    2 drainage conditions. From critical state soil mechan-
    Soil P (SILT) results ics theory (e.g. Wroth, 1984; Muir Wood, 1991), the
    represent a lower bound
    1 to the drained strength
    excess pore pressure at undrained failure ('uf) de-
    due to partial drainage pends on the initial normal effective stress, V'no, the
    UTTT kaolin (see arrows on Figure 7) OCR and the Cam-clay parameters, r (which is the
    0
    0 2 4 6 8 NCL-CSL spacing ratio) and / (which is the plastic
    volumetric strain ratio). Simplified to 1D conditions,
    Normal effective stress, V'n (kPa)
    it is given by:
    Figure 8: Effective stress failure envelopes derived from test
    data 'uf/V'no = 1 (OCR/r)/ (1)
    1.2 Storeblt till (Steenfelt 1993) OCR = 1 in
    all cases
    The effect of OCR was not specifically investigated
    in this study, but the undrained normally consoli-
    Residual stress ratio, Wres/V'no

    1 Soil P (SILT)
    Marine clay dated interface strength of the mud was approxi-
    0.8 (Hill et al. 2012) mately 40% of the drained strength (at the residual
    stage of the first cycle, see Figure 9). If r = e (Euler's
    0.6
    number) as per original Cam-clay (Schofield and
    0.4 Wroth, 1968), then a value of / = 0.85 is back-
    calculated, which is typical compared to other soils
    0.2 UWA kaolin (Muir Wood, 1991).
    (White & Cathie 2011)
    0
    0.0001 0.001 0.01 0.1 1 Various different mathematical functions can be
    Velocity (mm/s) used to fit the S-shaped drained-undrained transition
    Figure 9: Effect of velocity on interface shear strength and the viscous enhancement. Many studies have fit-

    383
    ted logarithmic sigmoid functions to the drained- the cyclic test data, which also reveals the influence
    undrained transition in penetration problems (e.g. of intervals of consolidation between the cycles.
    House et al., 2001; Chung et al., 2006). The curves
    shown in Figure 9 use a hyperbolic sine function to The measured values of residual stress ratio
    generate a viscous effect above a particular threshold (Wres/V'no) from tests performed on Soil P at speeds of
    rate, which is consistent with a rate process model 0.01mm/s and 1mm/s are shown in Figure 10 (the
    for strength (e.g. Mitchell et al., 1968). results for 0.01mm/s are shown offset for clarity).
    The cyclic hardening effect is clearly evident and oc-
    4.3 Interface roughness effects curs at an enhanced rate (with cycle number) if con-
    The roughness of the interface also has an effect on solidation episodes are permitted between each cy-
    the sliding resistance (as illustrated by the green cle. After five cycles interspersed by consolidation
    plane of Figure 1). Two mechanisms apply. First, the periods, the undrained strength at 0.01mm/s had
    roughness influences the interface friction angle, and risen ~50% of the way to the drained limit. At
    therefore the effective strength failure envelope. The 1mm/s, 20 cycles of failure and reconsolidation were
    present study did not include variations in interface sufficient to raise the sliding resistance to equal the
    type. However, other published data shows that the apparent drained limit. This increase in sliding resis-
    efficiency of the interface (i.e. the proportion of the tance through episodes of failure and reconsolidation
    internal soil strength that is mobilised) can be corre- is an encouraging observation from a design per-
    lated to the relative roughness, rn = Ra/D50, where Ra spective. Any increase in axial resistance during the
    is the surface roughness and D50 is the mean particle operating life of a pipeline will lead to an attenuation
    size (Subbha Rao et al., 1998, 2000; Sun et al., 2003; of any walking.
    Dietz and Lings, 2006; Lehane et al., 2007). These
    trends are evident across the full range of particles 1.4
    Soil P (SILT) With consolidation 20
    Residual stress ratio, Wres/V'no

    from clay-sized to gravel-sized. However, there re- 1.2 intervals between cycles
    mains significant scatter between different soils, 1 5
    1
    perhaps due to particle shape and grading effects or 0.8 5
    from fabric or structure. Therefore, site-specific test-
    0.6
    ing is generally warranted. The interface roughness Without consolidation 1 1
    0.4
    also affects the level of excess pore pressure gener- intervals between cycles 1
    ated during sliding. This is shown by data from shear 0.2
    Numbers indicate cycle number
    box tests that incorporate pore pressure measure- 0
    ments (e.g. Tsubakihara and Kishida, 1993). 0.0001 0.001 0.01 0.1 1
    Velocity (mm/s)
    Figure 10: Cyclic hardening (silt specimen Soil P)
    4.4 Wedging
    Shown in Figure 1 in purple is a wedging factor,
    which allows for the higher total normal force It is important to add a cautionary note to this dis-
    around the pipe surface compared to the pipe sub- cussion. In a shear box test, failure is forced to occur
    merged weight (White and Randolph, 2007; along approximately the same failure plane in all cy-
    Gourvenec and White, 2010; Krost et al., 2011). cles. In contrast, failure around a pipeline can occur
    This effect can create a 1020% enhancement of the on any circumferential surface close to the pipe sur-
    axial resistance for typical pipeline embedments. face. In this case, the hardening effect described ear-
    lier will simply shift the failure plane away from the
    4.5 Effect of cyclic history pipe surface into unhardened soil (as discussed at
    The discussion of excess pore pressure generation length by White and Cathie, 2011). A scaling ad-
    and undrained strength in section 4.2 is concerned justment is therefore needed to link the hardening
    with the initial strength, assuming that failure occurs observed in a shear box to the hardening around a
    without a significant change in water content. How- pipeline.
    ever, if consolidation occurs concurrent with failure,
    then the undrained strength will change. The general 5. Implications for Design
    tendency is for the strength of the failing soil to ap-
    proach the critical state, at which no further excess 5.1 Integration of characterisation data
    pore pressure will be generated. In this state, the The general methodology described earlier has been
    drained and undrained strengths are equal. The rate used on several projects to integrate different types
    at which this end state is approached with cumula- of characterisation data that support the assessment
    tive displacement (or number of cycles) is shown by of axial pipe-soil interaction. The various different

    384
    data sources are reviewed by Hill et al. (2012). They roughness under consideration, and should also be
    range from simple lab and in situ tests to measure chosen considering potential softening or remould-
    soil and interface strengths, to model tests in the ing over long sliding distances. A similar conclusion
    laboratory and the field that aim to simulate pipe-soil was reached by Hill et al. (2012), supported by field
    interaction. monitoring observations.

    To best utilise this data, it is necessary to integrate it To refine the design guidance as the project ad-
    in a systematic way, with a consistent theoretical vances, the optimum blend of characterisation data
    background. The framework shown in Figure 1 pro- should be assembled. The test programme should be
    vides this context. It allows the different datasets to focused on the potential project benefits. For exam-
    be cross-checked against each other in a detailed ple, for gas pipelines that may heavily over-
    way, and provides a robust basis to then interpolate consolidate the surrounding soil through flooding,
    or extrapolate to the precise design situation under the beneficial effect of OCR on undrained interface
    consideration. The actual pipelines being designed strength should be targeted in an element test pro-
    will have bearing pressures, roughnesses, velocities gramme.
    and cyclic movement histories that inevitably differ
    from any particular piece of characterisation data. 6. Conclusions
    However, once the framework is calibrated against
    the characterisation data, it can be used to generate Pipelines move axially along the seabed due to vari-
    the particular axial pipe-soil resistance that is re- ous processes, such as thermal and pressure induced
    quired for the design. This process is illustrated in expansion. A key design parameter to help predict
    Figure 11. this response is the axial pipe-soil resistance, or
    friction. This parameter is strongly affected by sub-
    5.2 Evolution of advice during projects tle mechanisms, including the influence of stress
    Design values of axial friction factor evolve during level, pipeline roughness and shearing rate. A suite
    projects, and so initial recommendations must often of interface shear box testing, analogous to the be-
    be on the basis of minimal geotechnical data. The re- haviour of a pipeline-seabed interface, was per-
    sults presented in this paper show that, at practical formed to support the evaluation of an improved
    velocities of pipeline movement, undrained condi- theoretical framework for axial pipe-soil interaction.
    tions can be mobilised in fine-grained soils. As a re- The tests used novel procedures enabling the stress
    sult, the starting point for any lower bound recom- history and consolidation experienced by soil be-
    mendation should be the normally consolidated neath a pipeline to be modelled. The results of these
    strength ratio (assuming the soil is expected to be tests have demonstrated some of the concepts that
    contractile if it is dilatant then the drained resis- form the basis of the framework and illustrate the
    tance will control the lower bound). This undrained beneficial mechanisms that may raise the axial sea-
    strength ratio should be relevant to the interface bed resistance during the lifetime of a pipeline.

    Lab tests
    Wedging factor
    ] f(w/D) Friction coefficent :
    Pipe : T/ W = ( 1-ru )
    Embedm ent, w/D

    Interface: /n = (1-ru )
    Pipe wedging:
    ] f(w/D) = tan
    Increasing Volumetric hardening
    embedment (w/D) with cycles and/ or time Viscous
    and roughness (rn ) rate effect

    In situ Integration using


    Friction:

    tests
    /n =

    sound theory
    \=
    R ou 0
    gh
    Increas ing s ta te
    l

    G=
    na

    param eter, \

    I
    t io

    Virgin strength
    si

    Sm
    an

    o ot le ( drained- undrained
    a n g ve l
    Tr

    h
    on backbone curve)
    ic ti e ss le
    g fr str
    u cin sin g D r ai
    R e d c rea ne d

    Model Relative
    w it h in

    tests Field roughness , rn Velocity , v

    tests Total stress , n

    Improved design recommendations:


    x reduced uncertainty (LB UB range)
    x utilisation of beneficial mechanisms to
    optimise design values (e.g. higher LB)

    Figure 11: Acquisition and integration of data for assessment of axial pipe-soil interaction

    385
    Drawing on concepts from critical state soil mechan- Jewell RJ and Ballard J-C. (2011). Axial pipe-soil
    ics and encompassing the influences of stress level, interaction a suggested framework. OTC 22010.
    pipeline roughness and shearing rate, the analysis Proc. Offshore Technology Conference, Houston.
    framework that has emerged offers an improvement USA.
    in design practice. The framework further provides a Krost K, Gourvenec SM and White DJ. (2011). Con-
    basis of integrating data from multiple sources dur- solidation around partially-embedded submarine
    ing the project design phase, as well as any operating pipelines. Gotechnique 61: 167173.
    feedback. This integration enhances the accuracy and Ladd CC and Foott R. (1974). New design procedure
    precision of design, reducing risk and cost. for stability of soft clays. Journal of Geotechnical
    Engineering 100: 763786.
    Acknowledgments Lehane BM, Schneider JA and Xu X. (2007). CPT
    based de-sign of displacement piles in siliceous
    The authors thank Andy Hill (BP) and Paul sands. Proc. Int. Workshop on Recent Advances
    Brunning (Subsea 7) for their encouragement of this of Deep Foundations, Yo-kosuka, Japan, 6986.
    research area. Mitchell JK, Campanella RG and Singh A. (1968).
    Soil creep as a rate process. J. Soil Mech. Found.
    References Div. 94: 231253.
    Muir Wood D. (1991). Soil Behaviour and Critical
    Bolton MD. (1991). A Guide to Soil Mechanics. State Soil Mechanics. Cambridge, UK: Cam-
    London: McMillan. bridge University Press, 488pp.
    Bruton DAS, Carr M and White D. (2007). The in- Najjar SS, Gilbert RB, Liedke E, McCarron B and
    fluence of pipe-soil interaction on lateral buckling Young AG. (2007). Residual shear strength for
    and walking of pipelines the SAFEBUCK JIP. interfaces between pipelines and clays at low ef-
    In: 6th Int. Conf. Offshore Site Investigation and fective normal stresses. J. Geotech. and Geoenv.
    Geotechnics: Confronting New Challenges and Engng 133: 695706.
    Sharing Knowledge. London: Society for Under- Oliphant J and Maconochie A. (2007). The axial re-
    water Technology (SUT), 133150. sistance of buried and unburied pipelines. In:
    Bruton D, White DJ, Langford TL and Hill A. Proc. 6th Int. Conf. Offshore Site Investigation
    (2009). Techniques for the assessment of pipe- and Geotechnics: Confronting New Challenges
    soil interaction forces for future deepwater devel- and Sharing Knowledge. London: SUT, 125132.
    opments. OTC 20096. Proc. Offshore Technology Pedersen RC, Olsen RE and Rausch AF. (2003).
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    Chung SF, Randolph MF and Schneider JA. (2006). effective stresses. Geotechnical Testing Journal
    Effect of penetration rate on penetrometer resis- 26: 71783.
    tance in clay. J. Geotech. and Geoenv. Engng Sassa K, Fukuoka H, Wang G and Ishikawa N.
    132: 11881196. (2004). Undrained dynamic loading ring-shear
    Dietz M and Lings M. (2006). Postpeak strength of apparatus and its application to landslide dynam-
    interfaces in a stress-dilatancy framework. J. Geo- ics. Landslides 1: 719.
    tech. and Geoenv. Engng 132: 14741484. Schofield AN. (2005). Disturbed Soil Properties and
    Gourvenec SM and White DJ. (2010). Elastic solu- Geotechnical Design. London: Thomas Telford,
    tions for consolidation around seabed pipelines. 216pp.
    OTC 20554. Proc. Offshore Technology Confer- Schofield AN and Wroth CP. (1968). Critical State
    ence, Houston, USA. Soil Mechanics. Glasgow: Blackie Academic.
    Hill A, White DJ, Bruton DAS, Langford T, Meyer Subbha Rao KS, Allam MM and Robinson RG.
    V, Jewell R and Ballard J-C. (2012). A new (1998). Interfacial friction between sands and
    framework for axial pipe-soil interaction, illus- solid surfaces. Proc. Instn Civ. Engrs, Geotechni-
    trated by a range of marine clay datasets. In: Proc. cal Engineering 131: 7582.
    7th Int. Conf. Offshore Site Investigation and Subbha Rao KS, Allam MM and Robinson RG.
    Geotechnics: Integrated Geotechnologies Pre- (2000). Drained shear strength of fine-grained
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    haviour between normally-consolidated clay and
    steel by two types of direct shear apparatus. Soils
    and Foundations 2: 113.
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    subsea pipelines. In: Gourvenec S and White D.
    (eds.). Frontiers in Offshore Geotechnics II. Lon-
    don: Taylor and Francis, 87123.
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    Int. Journal of Offshore & Polar Engng 17: 193
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    387
    388
    LATERAL RESISTANCE OF ROCK-DUMPED PIPELINES

    J Kennedy, M Banimahd and J Oliphant


    Technip, Aberdeen, UK

    Abstract
    To satisfy flow assurance criteria, it is sometimes required to restrain the pipeline against any movement that
    could prevent free drainage of the pipeline during a shutdown. Rock dumping of a surface pipeline is a viable
    restraining solution, provided it is properly designed to withstand lateral (and upheaval) buckling load coming
    from the pipeline. The available solutions for lateral resistance have been developed for buried pipelines
    under a flat seabed, and consequently do not take account of the geometry effect relevant to rock berms. They
    have also been mostly developed for in situ sand conditions, which do not necessarily reflect the properties of
    the rock or gravel forming the rock berm. In this paper, the lateral resistance of a pipeline buried under a rock
    berm is investigated using the finite element (FE) method. The developed FE model is validated against the
    buried pipeline problem with available solution. The effects of geotechnical properties such as friction and
    dilation angles, and also geometry of the rock berm, are then investigated using the developed model. The
    findings of this paper are finally discussed towards appropriate engineering design of rock-dumped pipelines.

    1. Introduction where is the submerged unit weight of soil; H is


    the soil cover depth over pipeline (to seabed level);
    Rock-dumping a pipeline on the seabed is often un- D is the pipeline outside diameter; and Nq is the peak
    dertaken to provide resistance against lateral buck- bearing capacity factor. Note that for upward pipe
    ling of the pipeline. As such, it is essential to have movement, H is taken as the depth from seabed to
    an understanding of the lateral resistance provided the centre of the pipeline (Yimsiri et al., 2004). In
    by the rock-dump. This resistance is a function of this paper, however, only lateral pipe resistance is
    the ratio of rock-dump cover depth to pipeline dia- considered, and as such the H adopted in this paper
    meter (H/D), constructed rock-berm geometry, in- is the depth from the seabed to the base of the pipe-
    ternal friction angle and in situ relative density of the line.
    rock, and the diameter of the pipeline. Experimental
    and numerical research on the lateral resistance of For lateral pipe movement the soil failure mecha-
    buried pipelines (Trautmann and ORourke, 1983, nism at shallow embedment ratios (H/D) occurs at
    1985; Yimsiri et al., 2004; Karimian et al., 2006; Di the seabed surface (global failure), while at deeper
    Prisco and Galli, 2006; Badv and Daryani, 2010) has depths, local shear failure occurs around the pipe
    thus far focused on a flat seabed, and consequently (local failure). It has been reported that the critical
    does not take into account the rock-berm geometry embedment ratio for lateral pipe movement (ratio
    effect. In addition, the research has mainly looked at after which Nq becomes approximately constant)
    in situ sand, not rock, conditions. ranges from ~12 to 16, depending on the peak fric-
    tion angle of the sand ( ), for a flat seabed and
    The ultimate lateral or uplift resistance of a pipeline relatively small-diameter pipeline (Yimsiri et al.,
    buried in sand, per unit length, can be calculated 2004; Badv and Daryani, 2010).
    from (American Society of Civil Engineers (ASCE),
    1984): The lateral resistance of a small-diameter pipeline
    buried under shallow embedment rock-berms of
    (1) various geometries was investigated through finite

    389
    element (FE) modelling, the results of which are Table 1: Rock-berm parameters considered in this paper
    presented in this paper. The developed FE model Rock- () H (m) D (m) Crest
    was validated against available solutions for pipe- berm () (kg/m) Width
    lines buried in sand (i.e. drained conditions) on a flat slope (m)
    40 20
    seabed. A parametric study of the influence of the 40 37
    rock-berm geotechnical properties ( and dila- Flat N/A
    50 20
    tion angle )) on the pipeline lateral resistance was 50 45
    also undertaken. It should be noted here that 40 20
    DQG  DUH LQWHUGHSHQGHQW WKH GLODWLRQ DQJOH FDQ 40 37
    1V:3H 9.5 0.90 0.324
    50 20
    therefore be estimated based on the following equa- 50 45
    tion given by c: 1
    40 20
      (2) 40 37
    1V:2H
    50 20
    50 45
    2. Finite Element Modelling
    The FE models were developed using Abaqus 6.10-
    2.1 General considerations 1, and small-strain simulations were undertaken to
    A 2D representation of the rock berms is considered investigate the ultimate lateral resistance of the pipe-
    in this paper. Figures 1 and 2 illustrate the 2D FE lines. Lateral displacement was induced in the rigid
    models of a pipeline buried under a flat seabed and pipeline by pulling the pipe laterally at a constant
    buried under a rock berm with a slope of 1V:3H, re- horizontal velocity of 0.2m/s from the reference
    spectively. For simplicity, only the rock material was point at the centre of the pipe. Displacement bound-
    modelled, and in reality there would be an interface ary conditions were imposed on all the nodes of the
    between the seabed and the overlying rock. As such, pipeline, and there was no nodal rotation or vertical
    this paper only considers fully drained lateral resis- movement of the pipe. The interaction between the
    tance and does not assume any settlement of the pipe- pipeline and the soil were modelled in Abaqus
    line into the seabed. In addition, the pipe-soil inter- through general surface to surface contact. The
    face friction factor used in the simulations was 0.2, Mohr-Coulomb constitutive model was employed
    assuming a very smooth pipeline surface. Using this for the rock. The elastic Youngs modulus was as-
    factor conservatively limits the influence of the pipe- sumed to be 100MPa, and elastic Poissons ratio was
    rock interface on the passive resistance of the rock. assumed to be 0.3.

    The ultimate lateral resistance was estimated based


    on load-displacement response curves obtained from
    the simulations. The ultimate force was defined as a
    certain load level where the gradient stiffness of the
    response changed significantly. A check was also
    made to ensure that the full failure surface was de-
    Figure 1: 2D FE model of a pipeline buried under a flat veloped at the estimated failure load level.
    seabed
    2.2 Model validation
    Prior to undertaking the simulations shown in Table
    1, the flat case finite element model was validated
    against available shallow embedment solutions for
    pipelines buried in sand, with 4445 and
     1416 (Trautmann and ORourke, 1983; Yim-
    siri et al., 2004; Karimian et al., 2006; Badv and
    Daryani, 2010).
    Figure 2: 2D FE model of a pipeline buried under a rock
    berm (slope 1V:3H) Figure 3 shows the force-displacement curve found
    during the FE simulation of the validation case (flat
    Table 1 presents the rock-berm parameters investi- seabed,    From Figure 3 the ul-
    gated in this paper, where and were taken timate lateral force can be taken to be 21kN. Adopt-
    from the properties of typical crushed rock used in ing Equation 1, this gives Nq  7.7. This value
    the North Sea. closely matches the findings from Yimsiri et al.

    390
    (2004) for the lateral pipe movement of a pipe bur- Figure 4 presents the failure mechanism for the vali-
    ied under a flat seabed, with DQG . dation case at the ultimate lateral resistance found
    Yimsiri et al. (2004) undertook FE analyses of lat- from the force-displacement curve (21kN). It can be
    eral pipe movements of a small-diameter pipe for seen that the full global failure surface is developed
    different embedment ratios and found that for an at this pipe displacement level.
    H/D ratio of 2.78 (as in this paper), Nq 8.

    30000

    25000
    Peak Force
    Force (N/m length)

    20000

    15000 FLAT 44-16 Figure 4: Lateral failure mechanism developed at ultimate


    lateral force from validation case (flat seabed, = 44,
     
    10000
    3. Parametric Study
    5000
    3.1 Effect of geotechnical rock properties
    0 Figure 5 presents the force-displacement curves
    0.0000 0.0010 0.0020 0.0030 found from the flat seabed FE simulations with vary-
    Displacement (m) ing DQGDQJOHVIt can be seen that increas-
    ing both the DQGDQJOHVLQFUHDVHVODWHUDOUe-
    Figure 3: FE analysis result from validation case (flat sistance significantly. These findings match the
    seabed,   findings of Yimsiri et al. (2004) and Badv and Dary-
    ani (2010).
    Table 2 gives a range of Nq values found in the
    available literature for flat seabed cases with similar In addition, the Nq values calculated from the curves
    H/D ratios. Trautmann and ORourke (1983) and given in Figure 5 closely match the lateral pipe
    Karimian et al. (2006) undertook large-scale tank movement design charts proposed by Yimsiri et al.
    experiments using sand, while Badv and Daryani (2004) for angles of 35, 40 and 45, as well
    (2010) undertook FE modelling of the soil-pipe in- as the H/D ratio of 2.78.
    teraction. In all the studies, it was found that Nq in-
    creases with H/D until a critical embedment ratio is 50000 FLAT 50-45
    reached, at which point Nq remains constant with FLAT 50-20
    45000
    any further increase in H/D. It is interesting to note FLAT 40-37
    that Badv and Daryani (2010) also found that at a 40000 FLAT 40-20
    fixed H/D ratio the pipe diameter can influence Nq, 35000
    Force (N/m length)

    as a reduction in D results in an increase in Nq at a


    fixed H/D ratio. 30000
    25000
    Table 2: values found in literature for pipelines buried
    under a flat seabed 20000
    Authors  D H/D 15000
    () () (m)
    Trautmann and 10000
    44 16 0.102 2.78 9
    ORourke (1983) 5000
    Yimsiri et al.
    44 16 0.102 2.78 7 to 8 0
    (2004)
    0.0000 0.0010 0.0020 0.0030
    Karimian et al.
    45 14 0.324 2.75 8.5 Displacement (m)
    (2006)
    Badv and Daryani Figure 5: FE analysis result from flat seabed simulations
    44 15 0.200 2.78 11
    (2010) with varying DQGDQJOHV

    391
    It can be seen from Figure 5 that the mobilisation 12.0
    displacement required to develop peak resistance Flat
    ranges between 1mm and 1.5mm for an H/D ratio of 1V:3H slope
    10.0

    Peak Bearing Capacity Factor Nq


    2.78. For shallow embedment failure mechanism, 1V:2H slope
    Yimsiri et al. (2004) found that increasing the H/D
    ratio increases the mobilisation displacement. 8.0

    3.2 Effect of rock-berm geometry 6.0


    Figure 6 plots the dimensionless force Nq against
    IRUDIL[HG ,WFDQEHVHHQWKDWas the
    slope angle of the rock berm increase from 0 (flat 4.0
    seabed) to 26.5 (1V:2H) Nq reduces at both 
    40 and . Figure 6 also highlights that the 2.0
    steeper the rock-berm slope, the lower the rate of in-
    crease in lateral resistance with . For example,
    0.0
    at WKHUHLVRQO\D6% difference between 35 40 45 50
    the Nq values of the flat seabed case and of the peak ()
    1V:3H slope case, whereas at WKHUHLVD
    21% difference. Figure : FE simulation results for different rock-berm
    JHRPHWULHV  
    Figure 7 plots Nq against the slope angle of the rock
    berm. It can be seen that the rate of reduction in Nq
    increases significantly with the change in berm 16.0
    50-45
    geometry from 1V:3H slope to 1V:2H slope. Figure 50-20
    14.0
    7 also shows that the influence of DQGRQNq 40-37
    Peak Bearing Capacity Factor Nq

    reduces with an increase in the slope angle. It is 12.0 40-20


    thought that if the berm crest width was reduced,
    then Nq would also reduce. Similiarly, if the berm 10.0
    crest width was increased, then Nq would tend to-
    wards the flat seabed case. Comparing the FE results 8.0
    for the 1V:3H slope case to analytical methods based
    6.0
    on Rankine earth pressure theory, it was found that
    the analytical method under predicts Nq by a factor of 4.0
    between 2 and 3, depending on  DQG  $V
    such, analytical methods may be very conservative. 2.0

    These results have direct implications on the design 0.0


    of subsea rock-dumped small-diameter pipelines. To 0 10 20 30
    optimise the resistance of a rock-dumped pipeline to Slope Angle ()
    lateral movement, for a given embedment ratio rock-
    berm slopes should be limited to 1V:3H (for limited Figure 7: FE simulation results for different rock-berm
    geotechnical properties
    berm crest widths), and rock with a high internal
    friction angle should be used. The dilation angle of
    the rock can be estimated from the friction angle us-
    ing Equation 2. If steep rock-berm slopes are un-
    avoidable, then the friction angle and dilatancy of
    the rock becomes less important. As a comparison of
    the failure mechanisms Figures 8 and 9 illustrate the
    plastic strain distribution, at the peak lateral load, of
    a pipeline buried under a flat seabed and buried un-
    der a rock berm with a slope of 1V:3H, respectively
    (   DQG     7KH JOREDO IDLOXUH Figure 8: Lateral failure mechanism at peak load of
    mechanisms are fully developed in both cases. pipeline buried under flat seabed  DQG  

    392
    cil on lifeline earthquake engineering. New York:
    ASCE.
    Badv K and Daryani E. (2010). An investigation into
    the upward and lateral soil-pipeline interaction in
    sand using finite difference method. Iranian
    Journal of Science and Technology, Transaction
    B: Engineering 34: 433445.
    Di Prisco C and Galli A. (2006). Soil-pipe interac-
    Figure 9: Lateral failure mechanism at peak load of pipeline tion under monotonic and cyclic loads: experi-
    buried under a rock-berm slope 1V:3H  DQG mental and numerical modelling. Advances in
      Geomaterials and Structures, AGS 06.
    Karimian H, Wijewickreme D and Honegger D.
    4. Conclusion (2006). Buried pipelines subjected to transverse
    ground movement: comparison between full-scale
    In this paper, the lateral resistance of shallow em- testing and numerical modelling. Proceedings of
    bedment rock-dumped small-diameter pipelines OMAE2006: 25th Int. Conf. on Offshore Mechan-
    (H/D   has been investigated numerically. ics and Artic Engineering.
    This resistance is a function of the embedment ratio, Trautmann CH and ORourke TD. (1983). Behav-
    rock-berm geometry, rock internal friction angle, iour of pipe in dry sand under lateral and uplift
    constructed rock in situ relative density and diameter loading. Geotechnical Engineering Report.
    of the pipeline. The effect of the geometry of the Ithaca, NY: Cornell University, 8387.
    rock berms for different friction and dilation angles Trautmann CH and ORourke TD. (1985). Lateral
    has been addressed. The main findings are summa- force-displacement response of buried pipe.
    rised below: Journal of Geotechnical Engineering 111: 1077
    x increasing the angle of the rock-berm slope 1092.
    beyond 18 significantly reduces the lateral Yimsiri S, Soga S, Yoshizaki K, Dasari GR and
    resistance; ORourke TD. (2004). Lateral and upward soil-
    x increasing both the peak friction angle and pipeline interactions in sand for deep embedment
    the dilation angle of the rock increases the conditions. Journal of Geotechnical and Geo-
    lateral resistance; and environmental Engineering 130: 830842.
    x the steeper the rock-berm slope, the less in-
    fluence the internal friction angle and dila-
    tancy of the rock have on the lateral resis-
    tance.
    Comparing the FE results for the 1V:3H slope case
    to analytical methods based on Rankine earth pres-
    sure theory, it was found that the analytical method
    is very conservative. Thus, to optimise the design of
    rock-dumped pipelines, FE analysis is recom-
    mended. Overall, the results of this investigation
    have provided a case study on the effect of rock-
    berm geometry on the lateral resistance of rock-
    dumped pipelines. The findings have direct implica-
    tions on the design of subsea rock-dumped pipelines.
    To optimise the resistance of small-diameter pipe-
    lines to lateral movement for a given embedment ra-
    tio, rock-berm slopes should be limited to 1V:3H
    (for limited berm crest widths), and rock with a high
    internal friction angle should be used.

    References

    American Society of Civil Engineers (ASCE).


    (1984). Guidelines for the seismic design of oil
    and gas pipeline systems. ASCE Technical Coun-

    393
    394
    IMPROVING THE PERFORMANCE OF OFFSHORE PIPELINE
    PLOUGHS USING VIBRATION

    A Zefirova, MJ Brown and AJ Brennan


    University of Dundee, Dundee, UK
    S Boyes
    CTC Marine Ltd, Darlington, UK

    Abstract
    Pipelines are often buried in the seabed using ploughs to protect against man-made and natural hazards. The
    depth of burial is influenced by the soil conditions and plough progress rates required to meet contract dead-
    lines. Plough progress rates may be a function of the towing vessel capabilities. Being able to reduce plough
    tow forces, increase the rate of progress or increase ploughing depths without significant increases in tow
    forces may offer considerable commercial advantages to the ploughing industry. One possible means of im-
    proving pipeline plough performance is through inducing vibration in the plough and surrounding ground.
    This paper reports the findings of a pilot study looking at the effects of plough vibration on tow forces and
    plough depth. The results show that vibration at 77102Hz resulted in increased plough depth by up to 38%
    in dense sand, with limited average increases in tow forces of 46%.

    1. Introduction ures, such as rock dumping, which may not have been
    anticipated when costing the project.
    Offshore pipelines may be installed below the sea-
    bed using ploughing techniques to ensure protection Attempts to improve ploughing efficiency and to al-
    against human activity, such as fishing and anchor- low flexibility in dealing with difficult ground con-
    ing. Burial also reduces thermal losses when pump- ditions have led to the modification of plough de-
    ing hot product and the associated problems of up- sign, such as the incorporation of share heel tracked
    heaval buckling (UHB) as a result of thermal drive systems and share jetting capability. Vibration
    expansion during pipeline start-up and operation. of a plough to improve performance has been used
    There is also the desire to bury pipelines signifi- in a limited number of offshore cable ploughs, but
    cantly deeper than current normal industry require- does not appear to have been used in pipeline
    ments, to allow exploitation of cold region resources ploughs. This may be due to the perceived risk of
    where the depth of iceberg scour may pose a threat vibration to the on-board plough instrumentation and
    to shallow buried pipelines. control systems. However, if it is felt that the bene-
    fits of vibro-ploughing are significant, then further
    Ploughing in difficult and unforeseen ground condi- development could be made to isolate sensitive
    tions may require higher tow forces than anticipated, plough equipment.
    which may lead to slower ploughing rates than is
    commercially desirable. It may also result in single The benefits of vibrating excavation devices in the
    plough passes that are not at the required burial depth, agricultural field has been recognised for some time.
    and thus the need for multi-passing. For instance, in For instance Niyamapa and Salokhe (2000) studied
    dense to very dense fine sand it is often common to the force requirements and stress distribution under
    propose multi-pass ploughing for trench depths in ex- vibratory tillage tools oscillating at frequencies of
    cess of 1.5m to avoid low ploughing progress rates. It 4.515.6Hz. Their results showed that with an in-
    may also become difficult to control the ploughs crease in oscillating frequency, horizontal and verti-
    depth which may result in trench and pipeline out-of- cal forces acting on the blades decreased. Average
    straightness (OOS) that can increase the risk of UHB. normal soil stresses were also lower under vibrating
    This could require further additional mitigation meas- conditions compared to the non-vibrating condition.

    395
    Vibration is also used widely in civil engineering; logging rates set to ten samples per second. Further
    for instance, it is used to increase progress rates in detail of the experimental setup is presented by
    driving sheet piles in coarse granular soils. Typi- Bransby et al. (2010) and Lauder (2011).
    cally, the vibrations used in pile driving are low fre-
    quency (2040Hz) to avoid resonance of the soil.
    Fleming et al. (2009) suggest that the vibration ef-
    fectively fluidises the soil immediately adjacent to
    the pile, which significantly reduces the shaft fric-
    tion. According to Fleming et al. (2009), installation
    of the piles can also be undertaken using frequencies
    up to 100Hz, however, this method of installation
    has not been thoroughly investigated. At frequencies
    of around 100Hz, coarse grained soils are reported
    to fluidise close to the point where frictional resis-
    tance on pile shaft is negligible. Vibro-replacement
    activities such as stone column installation (where Figure 1: Schematic of the plough and testing tank setup
    the action of vibration is coupled with the addition
    of pressurised fluid to aid soil penetration) are typi- 2.2 Model vibro plough development
    cally performed at frequencies of 3050Hz (Slo- Model testing was carried out at 1g under laboratory
    combe et al., 2000). conditions. Testing consisted of pulling a scale
    model plough (Figure 2) through 1000mm of sand
    This paper presents the results of a pilot study at with continuous measurement of tow force and
    model scale to investigate the validity of using vi- plough displacement. The plough was constructed as
    bration to improve ploughing efficiency. Tests were a 1/50 scale model in terms of dimensions, and 1/503
    undertaken in saturated sand beds prepared at a scale in terms of mass. This resulted in a model
    range of relative densities with a 1/50 scale plough plough that was 344mm long (excluding the mould
    pulled at a range of velocities. In addition to varying boards), with a mass of 1.347kg prior to installation
    the soil and ploughing conditions, vibration frequen- of the vibration system.
    cies were also varied in an attempt to identify the
    key frequency range required for the greatest The plough was also fitted with a forecutter in ad-
    ploughing efficiency. vance of the main share to reduce rate dependent
    tow forces in fine grained soils (Lauder et al., 2012).
    2. Experimental Investigation Previous research by Lauder (2011) also compared
    the behaviour of model ploughs at 1/10, 1/25 and
    2.1 Model ploughing test setup 1/50 scale (modelling of models). Lauder (2011)
    The testing apparatus and experimental setup are concluded that the scaling of model tow forces was
    shown in Figure 1. Tests were undertaken in a rigid well represented by the scaling factors outlined by
    tank 2.0 0.5 0.5m. Prior to testing, the model Brown et al. (2006).
    plough was placed on the sand and attached by an
    angled tow wire to a moving carriage. The carriage
    was constrained to move in a horizontal plane only.
    During a test, the carriage was pulled forwards by a
    second tow line connected to a winch at the opposite
    end of the tank. A 20kg capacity load cell was con-
    nected to the ploughs tow wire and used to measure
    the tow force during ploughing.

    A 200mm stroke linear variable differential trans-


    former (LVDT) was used to measure the depth of
    the plough and was mounted on the carriage. A draw
    wire transducer (DWT) was used to measure the
    horizontal displacement of the carriage and to allow
    determination of plough displacement. The outputs
    from the instruments were logged on a 16bit, Na- Figure 2: Model pipeline plough with water tight casing
    tional Instruments (NI) USB-6211 card with the attached to protect the vibration system

    396
    variable-speed do-it-yourself (DIY) hand sander at- taken in the loose dry sand, the beds were prepared
    tached to the plough. Based upon the success of by stirring to bring to a loose state and a relative
    these early trials a system was developed based upon density of 28%. To prepare the dense sand beds air
    the eccentric loading components from the hand pluviation was employed using a slot pluviator with
    sander, coupled to a new low-voltage direct-current a minimum sand fall height of 800mm. The pluvia-
    (DC) motor to avoid safety concerns associated with tor was 540mm wide, with a slot gap maintained at
    testing with alternating current (AC) in water. 4mm to achieve comparable relative density be-
    tween beds. For the dense beds the sand was pre-
    The vibration system consists of a DC motor with a pared at a density (Dr) of 65%. To form the saturated
    shaft and an eccentric weight attached to it. The beds, the base drainage layer was then flooded
    Como Drills 791RE385 motor was used with the slowly from the base until there was free water over
    maximum no load speed of 11 500rpm (Figure 3). the whole sand surface. The free water surface was
    A tachometer was then used to measure the rpm to then carefully raised until it was 25mm above the
    ensure that at least 6000rpm could be achieved when sand surface (Figure 1) and left for 1hr to ensure wa-
    the unit was driving the eccentric weight. By calcu- ter level equilibrium.
    lation, it was determined that 6000rpm corresponded
    to a frequency of 100Hz. Control of the frequency 2.5 Testing programme
    was achieved by varying the voltage driving the DC The tests undertaken are outlined in Table 1. Many
    motor. Once the vibration system was incorporated, early tests were carried out in dry sand to verify
    the mass of the plough increased to 2.210kg, or a plough kinematics and to test the new apparatus, but
    buoyant mass during ploughing of 1.961kg. It is ac- their results are not reported. In the first column of
    knowledged that the inclusion of the vibration sys- Table 1, T is the test number, D represents a test
    tem on the model plough results in a significant in- carried out in dense sand and L refers to loose
    sand. D or L is then followed by a pair of num-
    crease in plough weight, which would not reflect
    bers that refer to the average plough speed and the
    such an addition at prototype scale. With further de- input frequency of vibration, respectively. Where
    velopment of the equipment, the vibration system tow forces are referred to in the paper, these are the
    would have to be reduced in size and weight to re- average values calculated after transition of the
    flect a prototype installation. plough where the tow forces had reached a steady
    state. Similarly, the trench depth is the average
    trench depth measured relative to the sand surface
    after transition. Note that the loads, dimensions and
    masses are at model scale.
    Table 1: Summary of saturated model testing programme
    Tests Average plough Frequency of
    speed, v (m/h) vibration, f (Hz)
    Dense tests
    T1-D52-39 39 52
    T2-D77-39 39 77
    T3-D102-39 39 102
    Figure 3: Schematic of the model pipeline plough showing the T4-D52-79 79 52
    inner components of the vibration system T5-D77-81 81 77
    T6-D102-77 77 102
    2.3 Material properties Loose tests
    The sand used in this study was fine Congleton sand. T7-L52-40 40 52
    This was poorly graded sand with D60 = 0.14mm and T8-L77-39 39 77
    T9-L102-42 42 102
    D10 = 0.10mm. Results from direct shear testing T10-L52-86 86 52
    gave a Iccrit = 32 and ccrit = 24q from interface tests. T11-L77-101 101 77
    Standard laboratory tests revealed max = 1.758t/m3, T12-L102-75 75 102
    min = 1.461t/m3 and Gs = 2.63.
    3. Results
    2.4 Sand bed preparation 3.1 Saturated tests in dense sand
    To allow saturation of the sand bed, a free draining Typical plough tow force-displacement data is
    layer of dense gravel was placed at the base of the shown in Figure 4 for a test undertaken in dense
    tank. This was then covered by a geo-membrane to saturated sand with the plough moving at an average
    separate the sand and the gravel. For tests under- rate of 39m/h. Although this speed is relatively low,

    397
    saturated sand with the plough moving at an average reduction in plough depth, which is occurring to-
    rate of 39m/h. Although this speed is relatively low, wards the end of the test. Due to the length limita-
    it was chosen to mimic prototype speeds in difficult tions of the testing bed, final steady-state behaviour
    ploughing conditions. Previous work by Brown et al. was not achieved but it is assumed that such a state
    (2006) found that the results of model ploughing at with similar tow force and depth magnitudes to zone
    1/50 scale compared closely to prototype behaviour, 2 would have been reached if tank length had been
    where model velocities approached prototype full- available.
    scale speeds (i.e. no additional scaling was neces- In order to investigate the effect of both plough ve-
    sary). The observed behaviour has been broken locity and the input frequency of vibration, the
    down into zones from 1 to 5. The plough is operat- plough was towed at two average rates (39m/h and
    ing in a normal mode (i.e. not vibrating) for zones 1, 79m/h) in six tests, with three tests carried out at
    2 and 5, whereas for zones 3 and 4, the plough is vi- each velocity. Each individual test started with a
    brating (in this case the excitation is at 77Hz). non-vibratory stage, followed by a zone during
    which vibration occurred at one of three frequencies
    (52Hz, 77Hz, 102Hz). The effect of vibration on
    trench depth for these tests is shown in Figures 5 and
    6 and is summarised in Table 2. The plough depth
    recordings are shown normalised by the trench depth
    achieved at steady-state (D0). The steady-state depth
    was achieved during the vibrational stage (Dv).
    Figure 5 appears to show that the depth of the
    plough increases with increasing frequency of vibra-
    tion with only a 14% increase in depth for the test at
    52Hz (Table 2). When the frequency was increased
    to 77Hz, the ploughing depth increased by 32%
    more than the non-vibrated case and 102Hz provided
    Figure 4: T2-D77-39 tow force and plough depth versus 38% additional trench depth. Figure 6 and Table 2
    horizontal displacement (dense sand, average plough velocity show that as the plough speed was increased, very
    39m/h)
    similar depth gains were achieved at the higher fre-
    In zone 1 (which is referred to as the transition quencies, but there was only a 6% increase at the
    zone), the plough is towed from a position where the lowest frequency. Comparison of the effect of vibra-
    main share is resting on the sand surface until it tion on the measured tow force during the vibra-
    reaches a steady-state depth and tow force in zone 2. tional stage (Fv) with that without vibration (F0)
    The depth gradually increases up to the steady-state suggests an average of 46% increase in tow force.
    depth, whereas the tow force initially increases The 6% increase is associated with the higher veloc-
    abruptly as the frictional resistance of the share and ity (Table 2 and Figure 7).
    skid contact points is overcome. The tow force then
    increases more gradually until reaching a steady-
    state value.

    At the beginning stage of zone 3, the power to the


    vibratory system is activated, causing an instantane-
    ous drop in tow force that appears to result in a more
    gradual increase in plough depth. In zone 4, the
    plough is still vibrating, but the tow force appears to
    have increased to a magnitude close to the steady-
    state tow force achieved prior to vibrating the
    plough (zone 2). The depth also becomes constant,
    but at 32% greater depth than in zone 2. The vibra-
    tion is then switched off (zone 5), which causes a
    sudden increase in tow force followed by a reduction
    in force that again appears to be aligning to the
    steady-state seen after transition in zone 2. This in- Figure 5: Normalised plough depth changes due to vibration
    crease in tow force is associated with a more gradual at various frequencies (dense sand, plough velocity 39m/h)

    398
    little increase in depth (7%) and a slight reduction in
    tow force. In contrast, when the towing speeds were
    increased, less gain in plough depth occurred during
    vibration (1120%) and the increase in tow force
    was low.
    Table 3: Summary of the change in plough depth and tow force
    due to vibration in loose sand
    Tests Average steady Average steady state
    state depth tow force
    f (Hz) D0 (mm) Dv (mm) F0 (N) Fv
    Dv/D0 (N) Fv/F0
    T7-L52-40 52 29.1 31.1 1.07 20.8 20.4 0.98
    T8-L77-39 77 24.2 40.5 1.67 21.1 25.3 1.20
    T9-L102-42 102 23.7 35.9 1.52 19.9 21.8 1.10
    T10-L52-86 52 22.1 25.4 1.15 21.5 23.9 1.11
    T11-L77-101 77 19.7 22.0 1.11 25.3 25.7 1.02
    Figure 6: Normalised plough depth changes due to vibration T12-L102-75 102 19.2 23.0 1.20 23.9 24.2 1.02
    at various frequencies (dense sand, plough velocity 79m/h)

    Figure 7: Effect of frequency on normalised tow force and Figure 8: Effect of frequency on normalised tow force and
    plough depth in dense saturated sand plough depth in loose saturated sand

    Table 2: Summary of the change in plough depth and tow force 4. Discussion
    due to vibration in dense sand
    Tests Average steady Average steady state It is apparent from the tests undertaken in loose and
    state depth tow force
    f (Hz) D0 (mm)Dv F0 (N) Fv
    dense sand that inducing vibration in the plough
    (mm) Dv/D0 (N) Fv/F0 generally leads to significant increases in ploughing
    T1-D52-39 52 30.3 34.5 1.14 18.7 19.4 1.04 depth with no, or relatively small, increases in tow-
    T2-D77-39 77 25.7 33.8 1.32 18.3 18.2 1.00 ing force. The ability to achieve such significant ad-
    T3-D102-39 102 22.2 30.6 1.38 19.4 21.0 1.08
    T4-D52-79 52 18.9 20.0 1.06 19.8 20.4 1.03
    ditional depth without additional tow force require-
    T5-D77-81 77 12.7 17.4 1.37 23.2 23.7 1.02 ments offers significant benefits to offshore
    T6-D102-77 102 20.3 28.3 1.39 21.1 23.6 1.12 ploughing operations. The benefits seem greatest in
    dense sands, with input frequencies in the range of
    3.2 Saturated tests in loose sand 77102Hz.
    Similar testing was undertaken in loose sand beds
    with three lower speed tests undertaken at an aver- In dense sand, the benefits also seem independent of
    age velocity of 40m/h. Three tests at higher speeds plough velocity over the limited range of speeds
    were also undertaken at 75m/h, 86m/h and 101m/h. tested. If it is assumed that the vibrational system is
    Results from the loose sand tests are summarised in capable of exciting the plough and locally surround-
    Figure 8 and Table 3. For the three tests with an av- ing soil at the same frequency as the motors input
    erage velocity of 40m/h, but with different vibra- frequency, then the findings are consistent with the
    tional frequencies, greater relative depth (5267%) observations made by Fleming et al. (2009). Where
    and tow force increases were noted at the higher fre- typically sheet pile installation is undertaken at low
    quencies of 77Hz and 102Hz in the loose sand frequency (2040Hz), installation can be undertaken
    (Table 3). At the lower frequency though, there was at up to 100Hz, at which point sands are fluidised

    399
    close to the point where frictional resistance on pile
    shaft is reduced close to zero.

    In loose sands the effect of vibration does not appear


    as consistent. There is significantly greater increases
    in plough depth at low speed, but reduced increases
    at higher velocities. There also appear to be greater
    increases in tow force during the vibrational stage,
    which may offset the benefits gained through in-
    creased depth of ploughing induced by vibration.
    Thus it would appear that vibration offers the great-
    est gains in soils of increasing density, but further
    testing is required in sands prepared over a wider
    range of relative densities to verify this.
    Figure 9: Tow force versus plough depth, compared with the
    Similarly, as the true frequency and amplitude of the Cathie and Wintgens (2001) relationship (T2-D77-39)
    soil and plough have not been directly determined,
    further work is required to verify the actual specifi- Figure 9 shows a second lower curve that represents
    cation for the input vibration required to achieve the Equation 1 with Cw set to zero. This term represents
    greatest benefits. This could be achieved by further the interface friction factor between the plough and
    instrumentation of the plough and surrounding soil the sand. The tow forcedepth relationship appears
    with devices such as micro-electro-mechanical sys- well represented by the assumption that the vibration
    tem (MEMS) accelerometers. These initial findings reduces the interface frictional resistance of the
    suggest that vibration at frequencies above 52Hz plough to a negligible amount. This is only a postu-
    have the greatest potential for increased plough lated mechanism, as the vibration induced by the
    depths, and that vibration at 77Hz may be an opti- plough would not likely be sufficient to disrupt the
    mum value. resistance associated with the passive wedge (Cs)
    that extends out in front of the plough (Lauder,
    In an attempt to investigate the mechanism of vibra- 2011). The previously discussed results do not seem
    tion performance enhancement, the Cathie and to be significantly affected by the rate of ploughing,
    Wintgens (2001) model was used to analyse the tow- so it is not clear how the vibration effects the Cd
    force depth relationship (Figure 9), and is given as: component.
    F = CwWc + CsJcD3 + CdvD2 (1) Previous work carried out by Hawe (2009) and Ca-
    halane (2010) at Dundee on vibrating flat surface
    where Cw, is the interface friction factor; Cs is the footings has indicated that soil immediately adjacent
    passive soil resistance; Cd is the rate dependent soil to the vibrating object can fluidise very locally, and
    resistance; Wc is the plough submerged weight, Jc is permit subsequent large deformations both horizon-
    the effective unit weight of the in situ soil; v is the tally and vertically. Both the physical evidence and
    plough velocity; and D is the plough depth. The Cw, the behaviour of Cw suggest that a similar process is
    Cs and Cd parameters required for Equation 1 were operating in tests presented here. Vibration may be
    selected based upon the recommendations of Cathie locally fluidising sand around the vibrating parts of
    and Wintgens (2001). the plough, resulting in increased vertical penetra-
    tion and reduced interface friction. As the findings
    From Figure 9, it can be seen that the tow force is reported here only form a pilot study, further work
    initially higher than that predicted because the would be required to establish the validity of the
    plough has not reached steady-state (where Equation postulated mechanisms leading to deeper ploughing
    1 is valid). Between 2026mm, the tow forcedepth when the plough is vibrating.
    relationship matches that predicted as steady-state is
    achieved. On commencing vibration, there is a sig- 5. Summary and Conclusions
    nificant drop in tow-force followed by the plough
    increasing in depth, which results in the tow force The results of this limited pilot study to investigate
    returning to a similar magnitude to that seen during the effects of inducing vibration in a model pipeline
    steady-state non-vibration ploughing (Figure 4). plough suggest that:

    400
    x vibration has the ability to allow ploughing at Cahalane H. (2010). Vibrating loads on liquefiable
    increase depths with only relatively small in- soils. BEng dissertation, University of Dundee,
    creases in tow force; UK.
    x with input frequencies of 77102Hz for tests Cathie DN and Wintgens JF. (2001) Pipeline trench-
    in dense sands ploughing depths increased by ing using plows: performance and geotechnical
    3239%; and hazards. OTC 13145. Proc. Offshore Tech.
    x in loose sands, the effect of vibration did not Conf., 114.
    appear as consistent with significantly Fleming K, Weltman A, Randolph M and Elson K.
    greater increases in plough depth at low (2009). Piling Engineering, 3rd edition. Lon-
    speed, but reduced increases at higher don: Taylor and Francis.
    speeds. Hawe C.E. (2009). Vibrating loads on liquefiable
    soils. MEng dissertation, University of Dundee,
    It has been postulated that the gains in depth may be UK.
    caused by a reduction in the interface frictional re- Lauder K. (2011). The performance of pipeline
    sistance between the plough and the sand, but fur- ploughs. PhD thesis, University of Dundee, UK.
    ther research is required to verify this. Lauder K, Brown MJ, Bransby MF and Boyes S.
    (2012). The influence of incorporating a fore-
    The results of this pilot study suggest that vibro cutter on the performance of offshore pipeline
    ploughing may offer significant benefits to plough- ploughs. Applied Offshore Research J. (submit-
    ing operations, such as achieving greater ploughing ted for consideration).
    depth in dense sands without the need for multi- Niyamapa T and Salokhe V. (2000). Force and pres-
    passing. This may be beneficial in extending the sure distribution under vibratory tillage tool.
    operating range of existing ploughs and allow deep Journal of Terramechanics 37: 139150.
    burial of pipelines where iceberg scour is a risk. Slocombe BC, Bell AL and Baez JI. (2000). The
    Such benefits would seem to justify developments densification of granular soils using vibro meth-
    in vibration isolation for the plough on-board sys- ods. Gotechnique 50: 715725.
    tems to allow high-frequency plough vibration. As
    this is a limited pilot study, further work is required
    to investigate the findings at increased ploughing
    speed and over a greater range of frequencies and
    soil conditions.

    Acknowledgements

    The authors would like to thank the Engineering and


    Physical Sciences Research Council (EPSRC) for
    funding the first author to develop the vibration sys-
    tem under its vacation scholarship programme. The
    authors would also like to thank CTC Marine Ltd for
    funding that allowed the development of the model
    testing facilities.

    References

    Bransby MF, Brown MJ, Hatherley A and Lauder K.


    (2010). Pipeline plough performance in sand
    waves. Part 1: Model testing. Canadian Geo-
    technical Journal 47:4964.
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    (2006). The influence of soil properties on
    ploughing speed for offshore pipeline installa-
    tion. 6th Int. Conf. on Physical Modelling in
    Geotechnics ICPMG06, 709714.

    401
    402
    EFFECT OF GAPPING ON THE UPLIFT RESISTANCE OF A
    SHALLOW SKIRTED FOUNDATION

    DSK Mana, S Gourvenec, MF Randolph and MS Hossain


    Centre for Offshore Foundation Systems, University of Western Australia, Perth, Australia

    Abstract
    Offshore shallow foundations may be subjected to uplift due to overturning or buoyancy loading. Peripheral
    (and often internal) skirts can enable transient tension loads to be resisted because of negative excess pore
    pressures developed between the underside of the foundation top cap and the soil plug confined by the skirts.
    Uncertainty exists with regard to the duration over which these negative excess pore pressures can be main-
    tained and the effect of a gap forming along the skirt-soil interface on the transient and sustained holding ca-
    pacity. This paper presents results from drum centrifuge tests carried out on a shallow skirted foundation sub-
    ject to transient and sustained uplift in a lightly overconsolidated clay. Results from baseline tests with an
    intact skirt-soil interface are compared with tests in which a gap was created along the skirt-soil interface
    prior to transient and sustained uplift. The results are promising, showing for example that uplift loads of 40%
    of the peak undrained capacity were maintained for up to two years without significant foundation displace-
    ment when an intact foundation-soil interface was maintained. However, they also reveal that the presence of
    a gap may halve the time to reach similar displacements.

    1. Introduction foundation lid and the soil plug, provided a complete


    seal of the foundation is maintained. Generation of
    Shallow skirted foundations are widely used off- these negative excess pore pressures results in the
    shore to support small platforms, seabed protection mobilisation of reverse end bearing that is, a
    structures, storage tanks, and subsea frames for oil general shear failure, as observed in compression but
    wells and pipelines, as well as for larger fixed- in reverse. General design practice is to assume a
    bottom and floating structures (e.g. Stve et al., simple pullout failure of the foundation (alone or
    1992; Tjelta, 1994; Bye et al., 1995; Watson and with the soil plug) to calculate uplift capacity, which
    Humpheson, 2007). Skirted foundations are also an may be an order of magnitude lower compared with
    attractive option for mooring or supporting current that accounting for reverse end bearing capacity.
    meters and wind turbines offshore. Skirted founda- Some skirted foundation designs, notably for plat-
    tions may comprise a top plate (or lid), a peripheral forms rather than subsea structures, have considered
    skirt, and sometimes internal skirts or a cluster of uplift capacity due to passive suction based on the
    individual skirted units connected together. Regard- findings from problem-specific experimental and
    less of configuration, the foundation penetrates the analytical studies (e.g. Dyvik et al., 1993; Bye et al.,
    seabed, confining a soil plug inside the structural 1995).
    members. The presence of a skirt assists in installa-
    tion (by providing lateral restraint as the foundation Goodman et al. (1961) first demonstrated experi-
    approaches the seabed) and allows the vertical loads mentally that vacuum anchorage (or uplift capacity
    acting on the foundation plate to be transferred to due to suction) is possible in moist soils by conduct-
    the skirt tip level, through the confined soil plug. ing tests on an inverted cup. Wang et al. (1975,
    When these foundations are subjected to uplift, 1977) studied suction capacity underwater by con-
    negative excess pore pressure sometimes referred ducting 1g model tests. From those, they derived
    to as passive suction (relative to ambient water equations for the break-out resistance as a function
    pressure) can develop between the underside of the of foundation geometry, soil conditions, foundation-

    403
    soil interface friction and adhesion, and the suction In this paper, results are presented from a series of
    beneath the foundation plate, with the aid of Mohr- drum centrifuge tests conducted on a skirted founda-
    Coulomb failure theory and finite element analyses tion model with an embedment ratio of 0.2 in lightly
    (FEA). Various experimental investigations have overconsolidated clay subjected to transient and sus-
    also explored the reverse end bearing potential of tained uplift. Peak bearing capacity and displace-
    skirted foundations (or suction caissons) under ment rates of uplift tests with an intact skirt-soil in-
    monotonic and cyclic, transient and sustained load- terface are compared with results from tests with a
    ing in a range of soil types (Andersen et al., 1993; pre-formed gap along the skirt-soil interface. The re-
    Puech et al., 1993; Watson et al., 2000; Randolph sults help improve the understanding on the effect of
    and House, 2002; Watson and Randolph, 2006; gapping at the skirt-soil interface on the transient
    Acosta-Martinez et al., 2008; Acosta-Martinez and and sustained uplift capacity of shallow skirted
    Gourvenec, 2008; Gourvenec et al., 2009). foundations.

    Previous studies show promising potential for nega- 2. Centrifuge Modelling


    tive excess pore pressures to be developed and main-
    tained by shallow skirted foundations for transient, 2.1 Drum centrifuge
    and perhaps extended, loading durations. Such stud- All the tests discussed in this paper were conducted
    ies generally have addressed uplift capacity for in- at 200g in the drum centrifuge facility at the Centre
    tact skirt-soil contact, but one of the key field factors for Offshore Foundation Systems (COFS) at the
    affecting uplift capacity is the presence of a gap (i.e. University of Western Australia (UWA) (Stewart et
    a tension crack) at the skirt-soil interface. In the off- al., 1998). The drum centrifuge comprises an annu-
    shore environment, foundations can be subject to lar channel, in which the soil sample is placed for
    large horizontal load and moment that can lead to testing, and an actuator, to which the model is con-
    formation of a gap between the skirt wall and the nected. The annular channel of the centrifuge has an
    surrounding soil. The presence of a gap results in a outer diameter of 1.2m, radial depth of 200mm and
    shortening of the drainage path for water into the channel height of 300mm. The actuator that controls
    skirt compartment, and hence leads to faster dissipa- the movement and positioning of the model is
    tion of the negative excess pore pressure. This may mounted on a central tool table that can be rotated
    result in full reverse end bearing capacity not being relative to the channel. Computer-based wireless
    mobilised throughout the loading period, thereby re- data acquisition and control systems are used for the
    ducing uplift resistance. precise control of the channel and the actuator.

    The effect of gapping on the short and long term up- 2.2 Foundation model and instrumentation
    lift capacity of skirted foundations has been previ- The model foundation used in this study has a proto-
    ously investigated for a circular skirted foundation type diameter (D) of 12m and skirt depth (d) of 2.4m
    with embedment ratio of 0.3 in lightly overconsoli- (with an embedment ratio of d/D = 0.2) tested at
    dated kaolin using a series of beam centrifuge tests 200g. Figure 1 shows the side elevation of the foun-
    (Acosta-Martinez et al., 2010). The results reported dation model and the inside of the skirt compart-
    indicate the significance of a gap on uplift resis- ment. The model is equipped with four total pressure
    tance, particularly in the case of a time delay be- transducers (TPT) and two pore pressure transducers
    tween gap formation and transient uplift and for sus- (PPT).
    tained uplift in the presence of a gap.

    Some studies have been reported in the literature ad-


    dressing the effect of gapping on the holding capac-
    ity of longer suction caisson foundations (Randolph
    et al., 1998; Randolph and House, 2002; Coffman et
    al., 2004; Supachawarote et al., 2005). However,
    these have focused on the loss of lateral capacity,
    rather than the gradual loss of passive resistance at
    the base of the caisson (as is considered in this
    study). The effect of a gap on uplift resistance is ar-
    guably more critical for skirted foundations than for
    suction caissons because of the shorter drainage Figure 1: Skirted foundation model
    paths in to the skirt compartment of the former.

    404
    As seen in Figure 1, two TPTs and one PPT are set (vD/cv) of ~60, where v is the velocity, D is the di-
    flush on the underside of the foundation lid along ameter (5mm in this case) and cv is a representative
    the diameter. The readings from these transducers value of the coefficient of consolidation. A value of
    assist in installation and measuring stress variations 2.6m2/year for cv was selected based on 1D consoli-
    below the plate during uplift. Two TPTs are set flush dation tests (Acosta-Martinez and Gourvenec,
    on the outer face of the skirt wall and diagonally op- 2006). Loading response is considered to be
    posite to each other, to measure the radial stress undrained if the value of this dimensionless velocity
    variations along the skirt wall during installation, term is greater than 30 (Finnie and Randolph, 1994).
    gap generation and uplift. These TPTs also help in
    checking the verticality of the foundation during in- Shear strength corresponding to full flow around is
    stallation, while the PPT at the skirt tip level is used calculated as (Stewart and Randolph, 1994):
    to study the drainage of water near the skirt tip. In
    P
    addition to these transducers, a load cell, fitted be- su (1)
    tween the foundation shaft and the actuator, meas- N T bar DT bar
    ures the total load resistance of the foundation dur- where P is the force acting per unit length of the T-
    ing the tests. bar cylinder, NT-bar is the T-bar factor (10.5 for full
    flow-round) and DT-bar is the diameter of the T-bar
    A poppet valve, which opens and closes under air cylinder.
    pressure, was used to enable drainage of water from
    inside the skirt compartment during installation and Figure 2 shows the shear strength profile of the LOC
    complete sealing during uplift to take place in-flight. soil sample, derived from T-bar tests and incorporat-
    Complete sealing was ensured by conducting a sim- ing correction for buoyancy and shallow embedment
    ple preliminary test. The foundation was immersed (White et al., 2010). The shear strength profile can
    in the surface water above clay sample with the pop- be idealised as varying linearly according to:
    pet valve open. It was then sealed and lifted above
    the water surface. Due to the difference in pressure su sum  kz (2)
    in and around the skirt, the water inside the skirt
    where su is the shear strength at any depth (z), sum is
    compartment should be lifted up. The suction devel-
    the shear strength at the mudline and k is the rate of
    oped beneath the lid was monitored through the PPT
    increase in shear strength with depth. For the soil
    readings. The foundation was held in place for an
    sample used in this study, values of sum = 6.2kPa and
    hour and the sealing was confirmed by no loss of
    k = 0.96kPa/m were obtained from a representative
    suction inside the skirt compartment.
    line drawn through the calculated shear strength pro-
    files.
    2.3 Soil sample preparation and characterisation
    A lightly overconsolidated (LOC) kaolin clay sample s u (kPa)
    0 5 10 15 20
    was prepared within the drum channel. Properties of
    the kaolin are well established by Stewart (1992) and 0
    Prototype depth, z (m)

    Acosta-Martinez and Gourvenec (2006), and consist Tip level, su0 = 8.5kPa
    2 s um = 6.2kPa
    of the following: liquid limit (LL) = 61%; plastic limit
    k = 0.96kPa/m
    (PL) = 27%; and specific gravity (Gs) = 2.6. The LOC 4
    sample was prepared by normally consolidating clay
    slurry, prepared at twice the liquid limit, inside the 6
    channel at 200g for seven days. Undrained T-bar tests
    (Stewart and Randolph, 1991) were conducted on the 8
    soil sample. The complete consolidation of the clay
    10
    was ensured from a linear shear strength profile with
    the rate of increase in shear strength with depth ap- Figure 2: Shear strength profile from T-bar tests
    proaching unity. The upper 60mm of the normally
    consolidated clay sample was scraped off to achieve 3. Test Procedure
    slight overconsolidation.
    Installation and uplift of the foundation were carried
    Undrained T-bar tests were subsequently carried out out at 200g. The poppet valve was open during instal-
    to characterise the shear strength of the LOC sam- lation of the foundation for the egress of water from
    ple. All T-bar tests were carried out at a rate of inside the skirt compartment. The poppet valve was
    1mm/s, corresponding to a dimensionless velocity closed immediately after the foundation top plate

    405
    rested fully on the soil surface. A gap was formed, if tion, with an intact skirt-soil interface and with a
    required, and 5min waiting time was allowed for the gap. Measured (qm) and net resistance (qnet) are plot-
    excess pore water pressures generated around the skirt ted against the normalised penetration depth of the
    to dissipate before commencing the uplift test. For the skirt tip. Net resistance is the measured resistance
    tests with a gap at the skirt-soil interface, the gap was corrected for overburden and weight of soil plug,
    created by moving the foundation horizontally by ro- expressed as:
    tating the actuator through an angle of 0.5 in the
    Wsoilplug
    horizontal plane. This resulted in a gap of around qnet qm  J cz  (3)
    4mm normal to the skirt at the soil surface. The gen- A
    eration of gap was confirmed through transducer where c is the effective unit weight of the soil sam-
    readings and images from a CCTV camera showing ple; z is the depth of the skirt tip from the clay sur-
    the top view of the foundation. face; Wsoilplug is the submerged weight of the soil
    plug inside the skirt compartment; and A is the base
    Figure 3 shows the readings from TPTs on the ex- area of the foundation. The equation assumes full
    ternal face of the skirt wall. During gap generation, a contact between the soil plug and the foundation
    sudden drop in the reading can be seen for the TPT plate. It also neglects the effect of soil heave and
    on the gap side, while a sudden increase in reading backflow. Measured installation resistance is identi-
    can be seen for that on the intact side. Further, dur- cal in both tests, demonstrating the accuracy in the
    ing pullout, the pressure on the gap side is consid- test procedure and the load cell readings.
    erably reduced compared to that during installation,
    confirming the presence of a gap. Transient tests
    Installation & extraction resistance (kPa)
    were carried out under displacement control with an -100 -50 0 50 100
    applied foundation velocity of 0.1mm/s, giving
    Normalised skirt tip level, z/D

    0
    vD/cv of ~70.
    qm
    Total pressure on skirt wall (kPa) 0.05
    -10 0 10 20 30 40 50
    qnet
    Intact 0.1
    Normalised skirt tip level, z/D .

    0
    .

    Gap side
    0.05 0.15
    Intact side Gap
    0.1 0.2
    Installation
    0.25
    0.15
    Uplift
    Figure 4: Undrained uplift resistance of foundation, with intact
    0.2 skirt-soil interface and with gap
    Pressure drop Pressure increase
    0.25 on gap side on intact side The uplift response is affected by the presence of the
    Figure 3: Changes in radial stress (TPT measurements) during gap on the skirt-soil interface, although in both tests
    gap generation a peak resistance is mobilised at relatively low dis-
    placement (w/D < 0.03), followed by diminishing re-
    The sustained load tests were load-controlled, with sistance. The foundation with an intact skirt-soil in-
    prescribed loads (q) equivalent to 10%, 20%, 40% terface mobilises a higher peak resistance, but a
    and 60% of the peak undrained uplift capacity (qu) more brittle post-peak response than the foundation
    of the foundation with intact skirt-soil interface. Al- with a gap. Rapid loss of resistance, indicating com-
    though they were load-controlled, a safe driving ve- plete loss of suction beneath the top cap, occurs at a
    locity which is the velocity at which the founda- displacement approaching half the skirt depth, com-
    tion is smoothly driven out of the soil after losing pared with one-quarter of the skirt depth in the pres-
    suction of 0.01mm/s was prescribed to prevent un- ence of a gap. Reduction in resistance with uplift
    controlled pullout. displacement is influenced by the foundation mov-
    ing into softer soil, loss of foundation embedment
    4. Results and loss of suction. The first two of these influences
    are likely to have a similar impact in both tests
    4.1 Transient loading (aside from a small amount of swelling local to the
    Figure 4 compares the resistance measured by the gap), resulting in the dissipation of suction within
    load cell during installation and uplift of the founda- the soil plug is the critical factor.

    406
    Figure 5 shows the TPT and PPT readings on the Bearing capacity factor, Nc0
    underside of the foundation plate for the tests shown 0 2 4 6 8 10 12
    in Figure 4. A continuous decrease in the negative 0

    Foundation displacement, w/D(%)


    excess pore pressure initially generated is observed 1
    with increasing uplift displacement. The rate of de- 2
    crease in excess pore pressure is less than the rate of 3
    the decrease in the total resistance consisting of the 4
    loss of resistance due to the foundation moving into 5

    .
    Intact
    softer soil and the loss of embedment. The sudden 6
    Gap
    drop in the resistance due to the complete loss of 7
    suction is also evident in Figure 4. 8
    LB UB
    9
    Pressure at skirt top plate (kPa) 10
    -100 -50 0 50 100
    Figure 6: Undrained bearing capacity factors (UB: upper
    0 bound, LB: lower bound)
    Normalised skirt tip level, z/D

    TPT near centre


    0.05 PPT near centre 4.2 Sustained loading
    Figure 7 shows the time-displacement behaviour of
    0.1 the foundation under selected sustained loads. Time
    Intact
    .

    dependent displacements, due to water draining into


    0.15
    the skirt compartment, are also shown in the figure;
    Gap
    0.2
    immediate displacements have been deducted from
    the total foundation displacements.
    0.25
    6
    Foundation displacement,w/D(%)

    Figure 5: TPT and PPT readings under the foundation plate Intact
    during undrained uplift 5
    Gap
    q = 0.6qu
    4
    4.1.1 Bearing capacity factors q = 0.4qu q = 0.2qu
    Undrained bearing capacity factors (Nc0) were calcu- 3
    .

    lated from the net bearing pressures and shear 2


    q = 0.1qu
    strength of the soil, using the following expression:
    1
    qnet
    N c0 (4)
    su 0 0
    0 2 4 6 8 10
    where su0 is the shear strength at the skirt tip level, Time (years)
    updated with foundation displacement (w). Figure 6 Figure 7: Time-displacement response during sustained
    compares the bearing capacity factors for founda- uplift
    tions with intact and gapped skirt-soil interface,
    along with limit solutions for the same value of Data were recorded up to a foundation displacement
    kD/sum as the experimental study (Martin, 2001). w/D = 10%, or for a prototype duration of 10 years,
    whichever was achieved first. Automatic safe dis-
    For uplift tests with an intact skirt-soil interface, a placement control was invoked once the rate of dis-
    peak bearing capacity factor approaching 10 was ob- placement reached 0.01mm/s, as is evident for the
    tained. This lies close to the theoretical upper bound higher load levels. Real holding times were identi-
    (UB) value of bearing capacity factor for the founda- fied with the aid of the PPT under the top cap. Fig-
    tion geometry and soil shear strength heterogeneity ure 8 shows the PPT readings for the foundation test
    considered in this study. The value of peak bearing with an intact skirt-soil interface subject to 40% of
    capacity factor for the foundation with a gap at the its peak undrained uplift capacity. The negative ex-
    skirt-soil interface was around 15% lower. Note that cess pore pressure remains relatively constant, be-
    if the shear strength at the original depth of the skirt fore dramatically dropping off when drainage
    tips is used in Equation 4 (as would generally be the reaches the underside of the top cap.
    case in design calculations), then the peak bearing
    capacity factors would be reduced by 23% for the The presence of the gap has a clear effect on the sus-
    given shear strength profile. tained load response, increasing the rate of dis-

    407
    placement by up to twofold. For example, under an 0.7
    Intact: w/D = 2%
    uplift load of 0.4qu, a normalised foundation dis- Intact: w/D = 1%
    0.6
    placement w/D = 2% was reached in 2.25 years by Intact: w/D = 0.5%
    Gap: w/D = 2%
    the foundation with an intact foundation-soil inter- 0.5 Gap: w/D = 1%
    Gap: w/D = 0.5%
    face, and in 1.25 years by the foundation with a gap. 0.4

    q/qu
    The increase in displacement rate (reduction in hold- 0.3
    ing time) is due to the shorter drainage path for wa-
    0.2
    ter to travel into the skirt compartment.
    0.1
    Pore water pressure beneath top plate (kPa) 0
    -50 0 50 100
    0.01 0.1 1 10 100
    0 Time (years)
    Normalised skirt tip level, z/D

    0.05 Figure 9: Degradation of uplift resistance with time


    q = 0.4qu
    0.1 x had a limited effect on the ultimate undrained
    uplift capacity but, more significantly,
    0.15 caused complete loss of suction at smaller
    displacement of the foundation; and
    0.2
    x approximately doubled the rate of displace-
    0.25
    ment of the foundation, reducing the holding
    time to around half of that for a foundation
    Figure 8: Pore pressure response under top plate during sus- with an intact skirt-soil interface.
    tained loading for foundation with intact skirt-soil interface
    This study has considered uniaxial transient and sus-
    Generally the results are promising, showing that an tained vertical uplift. Uplift resistance and the for-
    uplift load of 40% of the peak transient uplift load mation and propagation of a gap will be affected by
    was held for over a year, while lower loads (1020% the action of horizontal and moment loads. Those
    of qu) were held for several years with minimal dis- actions in turn may have an adverse effect on foun-
    placement (w/D < 2%), even with the presence of a dation performance. Further study investigating the
    gap. potential development of a gap and the effect of
    gapping under combined loads would be a valuable
    4.3 Degradation of uplift capacity with time addition to the existing database.
    Figure 9 shows the sustained uplift data presented in
    terms of the time taken for displacements of 0.5%, The presence of a gap at the skirt-soil interface is
    1% and 2% of the foundation diameter to be reached clearly important to foundation response. The possi-
    for different levels of uplift load. The dotted lines bility of gap formation and the associated conse-
    represent estimated times at which the displacements quences should be taken into account if considering
    were reached for the cases, where the target dis- a skirted foundation before relying on negative ex-
    placements were not reached in ten years. They were cess pore pressures. A method of mitigating forma-
    obtained by extending the time-displacement curves tion of a gap, or reducing its adverse effect on the
    shown in Figure 7. The plot reiterates the finding suction capacity, would also be a valuable advance.
    that, for all the cases, the time taken for the founda- This issue is currently being explored in an attempt
    tion to displace through a given distance can be to find measures to prevent gap formation and to re-
    halved because of the presence of a gap at the skirt- tard the rate of drainage should a gap form.
    soil interface.
    Acknowledgments
    5. Conclusions
    The work described in this paper forms part of the
    activities of the Centre for Offshore Foundation Sys-
    The paper presents results from drum centrifuge tems, which was originally established under the
    tests of transient and sustained pullout tests con- Australian Research Councils Special Research
    ducted on a shallow skirted foundation, with em- Centre scheme and is now supported by the state
    bedment ratio d/D = 0.2, in a lightly overconsoli- government of Western Australia through the Centre
    dated clay. The effect of the presence of a gap at the of Excellence in Science and Innovation programme.
    skirt-soil interface was the main focus of the study. The work presented in this paper was supported
    The results show that the presence of a gap: through ARC grant DP0988904, which is gratefully

    408
    acknowledged. The technical support provided by Proc. 15th Int. Conf. on Soil Mechanics and Geo-
    drum centrifuge technician, Mr Bart Thompson, and technical Engineering, Istanbul, vol 1, 743746.
    electronics support by Mr Philip Hortin and Mr John Puech A, Iorio J-P, Garnier J and Foray P. (1993).
    Breen, is also gratefully acknowledged. Experimental study of suction effects under mud-
    mat type foundations. In: Proc. Canadian Con-
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    Geotechnical Journal 47: 218229.

    410
    CENTRIFUGE MODELLING OF A HYBRID FOUNDATION FOR
    SUBSEA EQUIPMENT
    C Gaudin, MF Randolph and X Feng
    Centre for Offshore Foundation Systems, University of Western Australia, Perth, Australia

    EC Clukey and P Dimmock


    BP Exploration, Houston, USA and Sunbury, UK

    Abstract
    The performance of a hybrid foundation for subsea systems, defined as a shallow skirted mat foundation
    featuring short piles at the mat corners, has been investigated through a series of centrifuge tests. The
    foundation, with and without corner piles, was subjected to eccentric monotonic loading along the x, y and z
    axes, resulting in combined loading over 6 degrees of freedom. Modes of yielding were identified and the
    contribution of the corner piles to the bearing, sliding, overturning and torsional capacities of the hybrid
    subsea foundation was quantified. Results revealed that (a) centrifuge modelling could capture the strain
    hardening arising from the plunging nature of the mat foundation yield; and (b) the addition of the corner
    piles to the shallow mat resulted in a change of yielding mode from shearing at the mat invert to overturning,
    with a significant increase in the foundation capacities. Consequently, corner piles appear to be an efficient
    option to reduce the size of the subsea system foundation required to withstand a given set of combined
    loading.

    1. Introduction research programme between BP Exploration and


    the Centre for Offshore Foundation Systems,
    Subsea mats are used in deep waters as foundations University of Western Australia (UWA), has been
    in soft normally consolidated (or lightly over- undertaken to:
    consolidated) clay to support facilities such as
    pipeline terminals, jumpers, riser bases and 1. determine the mode of collapse of the mat and
    manifolds. They are typically subjected to various the hybrid subsea foundation, as well as the
    combinations of loading in all six degrees of contribution of each element to the bearing,
    freedom. In some cases, a mat may not provide sliding, overturning and torsional capacity;
    sufficient resistance against bearing, sliding or 2. quantify the contribution of the pinned piles to
    overturning failure. The use of pinned piles in each the hybrid subsea foundation performance; and
    corner of the mat may then be considered to increase 3. establish a robust design framework accounting
    the sliding and overturning capacity of the for the contribution of the corner piles.
    foundation. Such a foundation is defined here as a
    hybrid subsea foundation. The programme focused on short-term monotonic
    loads, where an undrained response is generally
    Hybrid subsea foundations have already been expected. Cyclic loading may be expected to
    deployed in situ, but neither formal guidance nor generate gradual strength increase due to
    experimental data existed at the time to assist in their consolidation between cyclic sequences.
    design. In addition, the behaviour of the hybrid Consequently, undrained monotonic loads are
    foundation is still uncertain, notably with respect to considered to drive the design, which for subsea
    the effect of the piles on the foundation behaviour equipment is essentially governed by serviceability
    and their contribution to the overall foundation criteria. The research programme involved three
    capacity. modelling streams, as follows:

    To investigate the behaviour and performance of 1. Analytical modelling was undertaken to


    the hybrid subsea foundation, a collaborative establish the hybrid foundation uniaxial

    411
    capacities (V, Hx, Hy, Mx, My and Mz) and to The mat also features two loading poles from which
    develop relevant capacity interaction diagrams. horizontal loads are applied. One is placed in the
    2. The core of the programme involved physical centre of the mat and is used to apply the load in the
    modelling of a subsea mat and a hybrid y direction, while the second one is located along the
    foundation, which was used to observe and y axis and is used to apply the load in the x direction.
    compare the yielding modes and to understand The length of the poles and the distance to the centre
    and quantify the contribution of the corner of the mat results in the horizontal loads applying
    piles. overturning and torsional moments about the x, y
    3. Numerical modelling was subsequently and z axes. Hence the foundation can be subjected to
    undertaken to validate the uniaxial capacities a full 6 degrees of freedom (DOF) loading
    established by the analytical modelling stream combination.
    and the load displacement response observed
    during the physical modelling. Table 1: Hybrid foundation dimensions and loadings (in
    prototype dimensions)
    Dimensions Unit
    The outcome of the programme is a design Width B 7.62 m
    methodology that is based on specific combined Length L 15.24 m
    yield envelopes, established from the observations of Mat Skirt depth d 0.38 m

    yielding modes from the physical modelling stream Skirt spacing ee 1.91 m
    Spacing ratio e/d 5.0 (-)
    and calibrated from the physical and numerical Length (below skirt tip) H 8.76 m
    modelling results. The methodology is presented in Diameter D 0.91 m
    detail in Dimmock et al. (2012) and is not repeated Piles
    Bend. Stiff EI 1.40 GPa.m4
    x-inset from mat corner to
    in the present paper. Instead, this paper focuses only pile centre
    b 0.74 m

    on the physical modelling stream and compares the y-inset from mat corner to
    l 0.74 m
    pile centre
    yielding modes of a subsea mat and a hybrid Lateral load Fx -66.7 kN
    foundation. Lateral Load Fy 91.2 kN
    Axial load Fz 480 kN
    Loads
    2. Experimental Setup Overturning moment Mx 453 kN.m
    Overturning moment My 432 kN.m
    Torsion Mz -389 kN.m
    2.1 Model and instrumentation
    A model mat foundation was manufactured from a In the second stage of the testing programme the mat
    solid piece of aluminium (Figure 1). The mat is 76.2 was reinforced by adding four piles, one at each
    152.4mm (W L). It features external and internal corner. The four model piles were manufactured
    skirts that are 3.8mm in length and have a thickness from hollow aluminium tubes with the prototype
    of 0.5mm. The internal skirts form compartments dimensions summarised in Table 1. The piles were
    that are 14.7mm2. Each of those compartments closed ended, 9.14mm in diameter and 91.4mm in
    features four drainage holes (one in each corner) that length (below the mat invert).
    is 2mm in diameter. Prototype dimensions, at a
    testing acceleration of 100g, are summarised in A tapered pile slot, with internal angle of 7.5, was
    Table 1. located at each corner of the mat. To ensure a pin
    connection of the pile with the mat, thus providing a
    conservative model of the lateral pile resistance, the
    piles had an 11mm-diameter spherical head to fit
    within the tapered pile slot of the mat. A locking cap
    was then placed over the pile head to prevent any
    vertical displacement of the piles relative to the mat
    (either upward or downward).

    The mat and the hybrid foundation included four


    pore pressure transducers to monitor the suction at
    the mat invert and two tilt sensors to monitor the
    mat inclination along both the x and y directions. In
    addition, nine displacement transducers were
    connected to the mat at three corners to measure
    Figure 1: Hybrid foundation model, symbol convention and displacements in the x, y and z directions. These
    loadings measurements were subsequently converted, using

    412
    a least squares approach, into Gx, Gy, Gz the load values in Table 1 (referred to as design
    displacements and Tx, Ty, Tz rotations at the loads, as relevant to in situ conditions) were reached
    foundation centroid. simultaneously. Consequently, the programme
    investigated only one loading path.
    2.2 Facility and test setup
    All tests were performed in the UWA beam By applying the horizontal loads at the extremity of
    Acutronic Model 661 geotechnical centrifuge the loading poles (as illustrated in Figure 1),
    (Randolph et al., 1991) at an acceleration of 100g. overturning moment Mx and My and torsion Mz were
    The centrifuge has a swinging platform radius of generated, with values provided in Table 1. The
    1.8m with a nominal working radius of 1.55m, and vertical load (Fz) corresponded to the self-weight of
    is rated at 40 g-tonnes (equating to a maximum the foundation and was maintained constant
    payload of 200kg at an acceleration of 200g). The throughout the testing.
    platform seats standard rectangular strongboxes,
    which have internal dimensions of 650 390 The testing procedure for the mat included three
    325mm (L W H), representing a prototype test phases. In the first phase, the mat was installed at 1g,
    bed of up to 13 80 60m (L W D) at 200g. A with the skirt embedded into the soil. In the second
    headroom of 900mm above the strongbox allows phase, the sample was spun at 100g. This resulted in
    equipment to be mounted to perform in-flight a reconsolidation phase during which the soil settled
    events (such as penetrometer or foundation tests). under the foundation self-weight (expressed as load
    Fz in Table 1) and experienced some strength
    2.3 Soil preparation and characterisation increase due to consolidation. The magnitude of the
    Lightly overconsolidated samples were reconstituted strength increase was not measured, but was
    from commercially available kaolin clay. The clay estimated as no greater than 15%. The virgin soil
    was first reconstituted as a slurry and subsequently strength was conservatively used for all subsequent
    consolidated in-flight by spinning the centrifuge at strength normalisation. In the third phase, the loads
    100g continuously for four days. Once consolidation were applied continuously, first to the values
    was achieved, the top 20mm of the clay was scraped presented in Table 1 and then until yield was
    to create lightly overconsolidated samples with reached.
    small strength intercepts.
    The procedure was similar for the hybrid foundation
    Undrained shear strength profiles were derived from test. In the first phase, the piles were placed in the
    T-bar penetrometer tests (Stewart and Randolph, mat pile slots through a vertical guide, so only the
    1994) using an interpretation method developed by tip of the piles penetrated the soil. In the second
    White et al. (2010), which accounts for the soil phase, the piles were allowed to penetrate under self-
    buoyancy and shallow penetration mechanisms. This weight into the soil. The weight of the piles was
    interpretation method provides a more accurate chosen so that full installation could be achieved
    assessment of the strength of the soil at very shallow under self-weight. This was followed by a
    depth. Results indicated a linear strength profile with reconsolidation phase, similar to the one undergone
    depth, with a strength intercept of about 0.6kPa and by the mat. The loading phase was identical to the
    a strength gradient of 1kPa/m. This results in a mat loading phase.
    strength ratio (kB/su0) of 7.8, where B is the width of
    the mat foundation and su0 is the shear strength at the 3. Test Results
    level of the skirt tips.
    3.1 Foundation motion and load-displacement curves
    2.4 Testing programme and procedure A detailed presentation of the centrifuge results is
    A total of four tests were performed at 100g, two of contained in proprietary reports (Gaudin and
    which are reported here. Both the skirted mat and Randolph, 2010; Gaudin et al., 2010), but key
    the hybrid subsea foundation were submitted to the outcomes are presented in this paper.
    same loading configuration to enable direct Displacements along the x, y and z axes were
    comparison of the test results and investigation into recorded by the nine displacement sensors and were
    the benefit provided by the corner piles. Horizontal plotted against the load developed along the x and y
    loads were applied in the x and y direction (as axes. They were subsequently translated into 3D
    described in Table 1). The two loads were applied motion of the mat foundation and the hybrid subsea
    simultaneously, but at different loading rates (fast foundation, with a typical example presented in
    enough to ensure undrained conditions). Therefore, Figure 2. The 3D motion was established at

    413
    different loading stages and illustrates the general
    motion of the foundation and the dominant mode of
    yielding. It is evident from Figure 2 that the mat
    foundation experienced greater horizontal
    displacements for the same level of load, with a
    much more pronounced torsional motion compared
    with the hybrid subsea foundation.

    The nine displacement measurements were


    subsequently converted into Gx, Gy, Gz displacements at
    the foundation centroid, and Tx, Ty, Tz rotations. They
    were plotted against the load resultant, as illustrated in (a)
    the example presented in Figure 3. These plots
    provided a direct comparison of the mat foundation
    and hybrid capacities, and gave further insight into the
    foundation yielding modes. As seen in Figure 3, the
    hybrid subsea foundation exhibits a significantly
    higher horizontal capacity. Similar observations are
    made for the moment capacity (not presented here).
    The yielding loads, as defined in the following section,
    are increased by a factor of 8.4 for the horizontal
    resultant and 7.6 for the moment resultant. Note that
    the negative displacements experienced by the mat
    foundation centroid in the early stage of loading result
    from the torsion and rotation of the mat. (b)

    3.2 Definition of the foundation yield Figure 2: 3D motion of (a) the mat foundation; and (b) the
    hybrid subsea foundation at four times the loads provided in
    Examination of the load displacement curves along Table 1
    the six axes indicates a very stiff response in the
    early stage of loading, followed by a rapid increase 1000

    of displacements (and rotations) with loads (and 800 HSF: Fy-Gy Mat yield
    moments). Loading curves were not characterised by HSF yield
    600
    a peak which would allow for a clear identification
    Lateral loads, Fx, Fy (kN)

    of yield. Consequently, yield has been defined for 400


    Mat: Fy-Gy

    both the mat foundation and the hybrid subsea 200


    Design
    Design load
    loadFy=
    Fy=91.2
    91.2kN
    kN
    foundation as the point where the rate of increase of
    0
    horizontal displacement with horizontal load Design load Fx= -66.7
    increased significantly. This is somewhat arbitrary -200

    and some judgement is indeed required to establish -400


    Mat: Fx-Gx

    the exact position of the yielding point. The live


    -600
    footage taken during the tests were used to assist in HSF: Fx-Gx

    the process. -800


    -0.05 0.00 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40 0.45 0.50
    Centroid displacements, -GGx, Gy, (m)
    4. Yielding Mode Identification Figure 3: Load displacement response at the mat and hybrid
    subsea foundation centroid. Foundation yield is indicated by a
    4.1 Methodology red symbol
    Identification of the yielding modes is vital towards
    understanding the behaviour of the mat and the
    hybrid foundation. Identifying the modes for this 2. evaluating the dimensionless loads (V/Asu0,
    programme involved examination of the foundation H/Asu0, etc.) and the ratio to ultimate capacities
    motion and comparison of the loads with respect to (V/Vult, Hx/Hx,ult, etc.) at various stages of
    the uniaxial capacities. The main steps were: loading; and
    3. identifying the instantaneous centre of rotation
    1. estimating the dimensionless uniaxial ultimate by comparing the relative magnitude of the
    capacities of the subsea mat along the six axes displacement and rotation of the centroid along
    of freedom (Vult/Asu0, Hx,ult/Asu0, etc.); and about the vertical axis, to those along and

    414
    about the two horizontal axes; and by 1. Stage 1 corresponds to the design load values
    comparing the dimensionless loads with the provided in Table 1.
    estimated dimensionless uniaxial ultimate 2. Stage 2 corresponds to the foundation yield as
    capacities, to identify the yielding mode for defined in section 3.2.
    each test. 3. Stage 3 corresponds to a torsional rotation of
    1.5 about the z axis. This is a commonly
    It is important to note that the uniaxial capacities do
    accepted yield criterion for subsea systems (for
    not indicate the ultimate load that the foundation
    design under serviceability conditions).
    may be able to withstand in each direction during
    multi-directional loading. Due to interaction Table 2: Ultimate normalised uniaxial capacities for the
    between load components, and changes of geometry rectangular skirted foundation
    following yield, each uniaxial ultimate capacity may
    be reduced due to interaction, or increased as the Vult/Asu0 Hx,ult/Asu0 Hy,ult/Asu0 Hres,ult/Asu0

    foundation embeds further during rotation. The 14.77 1.28 1.17 1.25
    uniaxial capacities, however, do provide a useful Mx,ult/ALsu0 My,ult/ABsu0 Mres,ult/ALsu0 Mz,ult/ALsu0
    reference to judge the dominant mode of yielding for 2.54 1.91 2.31 0.39
    each test, by comparing the relative magnitude of the
    ratio of load to ultimate uniaxial capacity with Results are tabulated as the ratio to the uniaxial
    sliding, overturning moment and torsion. Moreover, ultimate capacity (V/Vult, H/Hult and M/Mult) in
    yield envelopes used for design are derived from Table 3. They are discussed later for each foundation
    explicit consideration of the individual load type and each loading stage, and the focus is mainly
    components, and an accurate evaluation of each on the ratio of load to uniaxial ultimate capacities
    uniaxial ultimate capacity is essential in the design (for the mat alone), notably the ratio of the loading
    process. resultants Hres/Hres,ult, Mres/Mres,ult and the ratio
    Mz/Mz,ult.
    4.2 Mat foundation uniaxial ultimate capacities
    Although various analytical solutions exist for Two points are important to note for the subsequent
    establishing the uniaxial capacities of skirted strip analysis 1:
    or circular foundations, none covers explicitly the
    present case i.e. a rectangular skirted foundation 1. For all tests, the ratio V/Vult is lower than 0.5.
    on heterogeneous soils. Consequently, finite There is considerable evidence (Bransby and
    element analyses (FEA) were performed with Randolph, 1998; Gourvenec, 2008; Yun et al.,
    Abaqus, modelling the centrifuge conditions. The 2009) that for a value lower than 0.5, the V-H or
    FEA assumed a Tresca soil, with a constant V-M interaction is not significant. Therefore,
    stiffness index (E/su) of 1000, a unit weight (J') of the effect of vertical loading (foundation self-
    6kN/m3 and a strength profile (su) of 0.6 + z kPa weight) is not discussed further during the
    (with z equal to the depth in metres). The soil analysis of the mat foundation and hybrid
    interface (skirt and mat invert) was considered subsea foundation yielding modes (though it
    rough. would evidently need to be accounted for in
    design in cases where V/Vult > 0.5).
    Analyses were performed to determine the ultimate
    2. The calculation of the uniaxial ultimate capacity
    uniaxial capacities in the six degrees of freedom (V,
    (and hence of the various H/Hult and M/Mult
    Hx, Hy, Mx, My and Mz) and the horizontal and
    ratios) depends directly on the value of shear
    moment resultant (Hres and Mres) for the two
    strength adopted. For consistency, the strength
    centrifuge tests. Results are presented in Table 2 in
    at the skirt tip depth has been adopted as
    normalised dimensions. Note that the results were
    presented in section 2.3. This is a conservative
    validated by comparison to existing solutions for
    value, as the mat foundation and the hybrid
    strip and circular skirted foundations (when
    subsea foundation both experienced full
    relevant) and to analytical calculations using upper
    consolidation prior to testing, resulting in an
    bound analysis (Gaudin et al., 2010).
    increase in soil strength beneath the mat,
    estimated to be up to 15%.
    4.3 Dimensionless foundation capacities
    Loads, overturning moments, torsion, displacements
    of the foundation centroid and rotations in the 6 1
    As discussed in section 5, the applied Hy (and moment Mx)
    DOF have been evaluated for the two centrifuge values were lower than the design values in Table 1 because of
    tests at three different stages of loadings, as follows: a delay in applying load in the y direction.

    415
    Table 3: Centrifuge tests results load ratios to the uniaxial the vertical displacement Gz and the rotation about
    capacities of the mat alone for the three loading stages
    the vertical axes Tz. Results are presented in Table 4
    for the three loading stages.
    Stage 1
    Test V/Vult Hx/Hx,ult Hy/Hy,ult Hres/Hres,ult These ratios provide insight on the sliding of the mat
    Mat
    1
    0.29 0.46 0.27 0.55 relative to the overturning moments and on the
    torsion relative to the overturning moments,
    HSF 0.29 0.46 0.67 0.80
    respectively.
    Mx/Mx,ult My/My,ult Mres/Mres,ult Mz/Mz,ult
    5. Centrifuge Tests Interpretation
    Mat 0.04 0.26 0.12 0.58
    HSF 0.10 0.26 0.15 0.58 5.1 Mat foundation
    Stage 2 At Stage 1 (corresponding to the design loads as
    Test V/Vult Hx/Hx,ult Hy/Hy,ult Hres/Hres,ult provided in Table 1), all ratios of loadings to
    Mat 0.29 0.47 0.27 0.55
    respective ultimate uniaxial capacities are
    significantly lower than 1. This does not necessarily
    HSF 0.29 1.59 2.36 2.79
    indicate that yield is not reached at this load level, as
    Mx/Mx,ult My/My,ult Mres/Mres,ult Mz/Mz,ult the capacity along the loading direction considered
    Mat 0.04 0.27 0.12 0.59 will be reduced by the combined effect of loadings
    HSF 0.35 0.91 0.54 2.00 in other directions. In fact, the loads reached at yield
    Stage 3
    (Stage 2) are similar to the design loads, indicating
    significant interactions between H, V and M, and
    Test V/Vult Hx/Hx,ult Hy/Hy,ult Hres/Hres,ult
    potentially the inability of the mat foundation to
    Mat 0.29 1.30 1.76 2.15 withstand the design loads (depending on the yield
    HSF 0.29 4.55 6.60 7.86 criteria adopted).
    Mx/Mx,ult My/My,ult Mres/Mres,ult Mz/Mz,ult
    Mat 0.26 0.74 0.42 1.63 It should be noted that once the load had reached the
    HSF
    design load along the x direction, the load along the
    0.99 2.59 1.53 5.72
    y direction was significantly lower than the targeted
    design load (Fx/Fy = 1.88 instead of 0.8). This was
    Table 4: Centrifuge test results displacements of the centroid due to a slight delay in applying the load along the y
    and rotations direction. This delay led to a different load path
    Stage 1
    being applied than the one intended. This was
    Gx Gy Gz Tx Ty Tz Gres Tres corrected in Stage 3 of loading, where the ratio Fx/Fy
    Tests Gres/Gz Tres/Tz
    (m) (m) (m) (rad.) (rad.) (rad.) (m) (rad.) was about 0.8. Due to this slight delay and the
    M at -0.0028 -0.0004 0.0019 0.0002 0.0017 0.0007 0.0028 1.467 0.0017 2.472 resulting lower Fy, it is difficult to compare the
    HSF -0.0002 0.0007 -0.0006 0.0002 0.0002 0.0001 0.0007 -1.282 0.0003 2.965 relative magnitude of the horizontal and moment
    Stage 2 resultant for Stage 2.
    Gx Gy Gz Tx Ty Tz Gres Tres
    Tests Gres/Gz Tres/Tz
    (m) (m) (m) (rad.) (rad.) (rad.) (m) (rad.)
    M at -0.0030 0.0000 0.0020 0.0002 0.0017 0.0007 0.0030 1.463 0.0020 2.506
    However, it appears that both the normalised sliding
    HSF 0.0010 0.0030 0.0030 0.0007 0.0027 0.0009 0.0030 1.132 0.0030 3.268 (Hres/Hres,ult) and torsion (Mz/ Mz,ult) are higher than
    S tage 3 overturning moments (Mres /Mres,ult), indicating that
    Tests
    Gx Gy Gz Tx Ty Tz Gres
    Gres/Gz
    Tres
    Tres/Tz
    the dominant mode of yielding is by sliding and
    (m) (m) (m) (rad.) (rad.) (rad.) (m) (rad.) torsion. These observations are identical for Stage 3
    M at -0.0210 -0.0010 0.0220 -0.0060 0.0430 0.0260 0.0210 0.949 0.0430 1.659
    of loading, at a rotation of 1.5 about the centroid.
    HSF 0.1210 0.0820 0.0410 0.0010 0.0540 0.0260 0.1460 3.547 0.0540 2.062
    Note that results in Table 3 indicate an increase of
    the ratio Hy/Hy,ult with respect to the other ratios, due
    to the increase in loading rate along the y direction
    4.4 Dimensionless displacement and rotation at the to achieve the targeted ratio Hx/Hy of 0.8. It is
    centroid important to note that for the yield criterion for
    The displacements Gx, Gy, Gz and rotations Tx, Ty, Tz at torsional rotation about the z axis, the loads reached
    the foundation centroid were reduced to resultant along the x and y axis were about 2.8 times higher
    horizontal displacement Gres (defined as than the design loads. The choice of the design
    ) and rotation Tres (defined as criterion (yield or displacement/rotation) is therefore
    ). They were subsequently normalised by critical in the design of the foundation.

    416
    Further insight may be obtained about the mat account has been taken of the contribution from the
    foundation behaviour by analysing the displace- piles in calculating the uniaxial ultimate capacities.
    ments and rotation of the centroid presented in
    Table 4 for the two tests and the three loading At Stage 1 all ratios H/Hult and M/Mult are lower than
    stages. They confirm the observations made about 1. Even accounting for the combined interaction of
    the relative magnitude of Hres/Hres,ult, Mres/Mres,ult and all loadings, these ratios and the very limited
    Mz/Mz,ult. The ratio Gres/Gz provides an indication of displacements experienced by the foundation at the
    the level of horizontal displacement due to sliding design load stage indicate that the hybrid subsea
    (and torsion), with respect to the level of vertical foundation is able to withstand the design loads.
    displacement (associated with the rotation of the mat Note that some of the ratios are higher than those
    about the x and y axes) due to overturning moment. from the mat foundation test, because of the delay in
    Mat and hybrid subsea foundation rotations due to applying the load along the y direction.
    Mx and Mz result in rotation about the edge of the
    foundation, and hence vertical displacement of the As the loads increase towards Stage 2, the horizontal
    centroid. At design loads, Gres/Gz is higher than 1, load ratio increases significantly, with the ratio
    indicating that the mat foundation is experiencing Hres/Hres,ult reaching a value of 2.79. In contrast, the
    more sliding than overturning. However, at the third ratio Mres/Mres,ult is limited to 0.54 and Mz/Mz,ult
    loading stage beyond yield, the ratio decreases reaches 2.0. Again, the actual values of these ratios
    indicating that the mat foundation was penetrating are not relevant to the state of the hybrid subsea
    into the soil as a result of the increasing effect of foundation against yield (as the ultimate capacities
    overturning moments. do not account for the contribution of the piles).
    However, their relative magnitudes clearly indicate
    The ratio Tres/Tz decreases during the third stage of that the piles have contributed significantly in
    loading, indicating the increasing influence of increasing the sliding capacity of the hybrid subsea
    torsion over overturning moment. Hence the foundation. The pile contribution to torsional
    combined analysis of the mat foundation loads (with resistance is also significant, but the contribution to
    respect to uniaxial ultimate capacities and the mat overturning resistance seems lower in comparison to
    horizontal displacements) and rotations (with respect the contribution to the sliding and torsional
    to the vertical displacements and torsional rotation) capacities. Moving towards loading Stage 3, the
    indicates that the dominant mode of yielding for the ratios increase significantly, but remain within the
    mat foundation is sliding, assisted by torsion. same relative proportions. For Stage 3, it appears
    Overturning moments do not appear to be a critical then that overturning moments (and notably about
    design issue for the mat foundation. The conclusion the y axis) may be the dominant mode of yielding,
    is limited to cases where the vertical load is low in with the sliding and torsion being limited by the
    comparison to the vertical capacity, which is contribution of the piles.
    commonly the case for this type of subsea
    foundation. Application of a higher vertical load The more pronounced effect of overturning
    would reduce the overturning moment capacity and moments on the motion of the mat is also illustrated
    potentially change the modes of yielding. by the variation of the ratio Tres/Tz over the three
    loading stages and in comparison with the mat
    Other results of this combined analysis is that the foundation test. A value of 2.97 was measured at
    mat foundation is able to withstand up to 2.8 times Stage 1 for the hybrid subsea foundation test, which
    the design loads, if a yield criterion corresponding to is higher than for the mat (Tres/Tz = 2.47) indicating
    rotation about the z axis of 1.5 is adopted. Beyond that more rotation due to overturning moment is
    yield, sliding and torsion remain the dominant taking place, with respect to torsion. (Note that the
    failure modes, though overturning rotations become delay in applying Fy for the mat might have limited
    increasingly pronounced. Note that these comments the development of overturning moment, especially
    are consistent with the observations made from the in Stage 1.) However, confidence in the observations
    3D motion of the foundation (see example in Figure made is augmented by the results of Stage 3, for
    2a) and video observations made during testing. which the delay was fully recovered. This higher
    (Tres/Tz) ratio remains consistent over the three
    5.2 Hybrid subsea foundation loading stages.
    A similar analysis is conducted for the hybrid
    foundation test, though the values of Hres/Hres,ult, The interpretation of the evolution of the ratio Gres/Gz
    Mres/Mres,ult and Mz/Mz,ult are indicative only since no is more challenging. The ratio appears to be higher

    417
    than that for the mat foundation test, potentially
    indicating more sliding than overturning moment for
    the hybrid subsea foundation. However, the
    transition from a negative value of 1.28 at design
    loads to a positive value of 1.13 at yielding loads
    indicates a significant magnitude of vertical
    displacement, which is due to the rotation of the mat
    about the front face, caused by overturning
    moments. The increase of the ratio Gres/Gz between
    loading Stage 2 and loading Stage 3 (in contrast to
    the reduction observed during the mat foundation)
    clearly indicates that sliding (and potentially torsion)
    becomes significant beyond yield.

    To summarise the analysis, it may be noted that the


    dominant mode of yielding for the hybrid subsea
    foundation is overturning moment (notably about the
    y axis) until the foundation reached yield. As evident
    from Table 3, both the sliding and torsion resistance
    are significantly increased by the contribution of the
    piles. In addition, the hybrid subsea foundation is
    able to withstand up to 10 times the design loads, if
    a yield criterion corresponding to rotation about the
    z axis of 1.5 is adopted.

    5.3 Instantaneous centre of rotation


    The mat and the hybrid subsea foundation are
    experiencing a combination of translation and
    rotation. For each test, the position of the Figure 4: ICR for rotation about the z axis of 1.5
    instantaneous centre of rotation (ICR) has been (scale in mm)
    evaluated for both tests at a rotation of the centroid
    about the z axis of 1.5 (Stage 3). They are presented From the load displacement responses and the
    in Figure 4, which clearly indicates a position of the displacements and rotation in Table 4, it is
    ICR closer to the centroid for the mat foundation established that the mat foundation behaviour can be
    than for the hybrid subsea foundation. This means divided into the following three phases:
    that for a similar magnitude of lateral displacement,
    the hybrid subsea foundation experiences much less At the beginning of loading (Stage 1), the mat
    rotation. In other words, the mat foundation experienced essentially sliding and torsion with
    experiences more torsion relative to sliding for the very limited rotation about the x and y axes.
    loading stage, compared to the hybrid subsea This results in sliding, notably along the x axis
    foundation. and torsion being the dominant displacement
    modes. The position of the ICR indicates that
    5.4 Contribution of the piles to the hybrid subsea torsion was dominant over sliding.
    foundation capacity and behaviour At yield and beyond (Stage 2 to Stage 3), the
    By comparing the loads along the x and y directions rate of rotation about the y axis increased
    between both tests (either at yield or at a rotation of significantly. This contrasts with the rate of
    the centroid of 1.5 about the centroid, i.e. the horizontal displacements, which remained
    second and third stages of loading), it is evident that relatively constant beyond yield. The mat
    the addition of piles to the hybrid subsea foundation rotation about the y axis caused the front face of
    results in a significant increase of capacity. This the mat foundation to embed significantly into
    increase is measured with respect to load- the soil, increasing the sliding resistance and
    displacement behaviour along the horizontal axes. acting as a natural pivot for the mat motion. It is
    However, the problem is more complex as the important to note that centrifuge modelling is
    addition of piles also results in a change of the basic able to capture this strain hardening response.
    foundation response. Furthermore, the design However, the level of torsion with respect to
    criterion might be different for both foundations. sliding remained unchanged.

    418
    From that point onwards, the mat foundation 2. The addition of corner piles to the mat
    still experienced significant torsion and sliding, foundation changed the mode of yielding. The
    but with an equally important rotation about the piles significantly increased the size of the yield
    y axis (while rotation about the x axis remained envelope in M-H space, notably with respect to
    small). the ultimate H. Consequently, sliding resistance
    was increased in a greater proportion and
    Consequently, the relative importance of the three overturning moment became a more significant
    modes prior to yield appears to be (in decreasing mode of yielding. Foundation displacements
    order) torsion, sliding and overturning. under the design loads were negligible. Yield
    was identified to occur at a load magnitude 6.3
    This behaviour is in contrast with that of the hybrid times the design loads if a load yield criterion is
    subsea foundation, which can be divided into the adopted, or 10 times the design load if the
    following two phases: rotation yield criterion is adopted.
    3. Consequently, by adopting a rotation yield
    Prior to yield (up to Stage 2), the mat experienced criterion where yield is reached at a rotation
    significant rotation about the y axis in addition to about the z axis of 1.5, the factor of safety for
    sliding. The position of the ICR also indicated the mat foundation was about 2.8. It was about
    that sliding dominated over torsion. This resulted 10 for the hybrid subsea foundation. In both
    in overturning about the y axis and sliding being cases, displacements under design loads were
    the dominant yielding modes. negligible and were unlikely to raise any
    At yield and beyond (Stage 2 to Stage 3), sliding serviceability issues.
    along the x direction became dominant over
    overturning, while torsion remained unchanged. These conclusions form the basis of a design
    methodology, which is discussed in Dimmock et al.
    As a result, the relative importance of the three (2012).
    modes prior to yield appears to be (in decreasing
    order) overturning moment, sliding and torsion. Acknowledgments
    Hence, the addition of the piles to the mat
    The work presented was supported by BP
    foundation resulted in a significant increase of the
    Exploration. BP exploration funding support and
    torsion and sliding capacity. The piles also
    permission to publish is gratefully acknowledged.
    contributed to an increase in the overturning moment
    This project forms part of the activities of the Centre
    capacity, though to a smaller extent.
    for Offshore Foundation Systems (COFS), currently
    supported as a node of the Australian Research
    6. Conclusions
    Council Centre of Excellence for Geotechnical
    Science and Engineering, and by the Lloyds
    Centrifuge tests in slightly overconsolidated clay
    Register Educational Trust.
    were performed to investigate the mode of yield of a
    skirted mat and a hybrid subsea foundation under 6 References
    DOF loading. The interpretation of the centrifuge
    tests has resulted in the following conclusions: Bransby MF and Randolph MF. (1998). Combined
    loading of skirted foundations. Gotechnique 48:
    1. Sliding, under biaxial horizontal loads and 637655.
    torsion, was the dominant yielding mode for the Dimmock P, Clukey E, Randolph MF, Murff JD and
    mat foundation. At design loads, the foundation Gaudin C. (2012). Hybrid subsea foundations for
    experienced very limited displacements in all subsea equipment. Journal of Geotechnical and
    directions, lower than 1% of the foundation Geoenvironmental Engineering (under review).
    width. Yield, from a loading point of view, Gaudin C and Randolph MF. (2010). Hybrid Subsea
    occurred at a load level roughly equal to the Foundation. Report on centrifuge modelling to
    design loads. However, by adopting a rotational BP Exploration. GEO 10517. Crawley, WA:
    yield criterion where yield is reached at a University of Western Australia.
    rotation about the z axis of 1.5, the loads Gaudin C, Randolph MF and Feng X. (2010).
    reached were about 2.8 times the design loads Hybrid Subsea Foundation. Report on centrifuge
    (independent of any other displacement yield modelling to BP Exploration. Interpretation. GEO
    criterion, which would limit the pure 10546. Crawley, WA: University of Western
    translation). Australia.

    419
    Gourvenec SM. (2008). Effect of embedment on the
    undrained capacity of shallow foundations under
    general loading. Gotechnique 58: 177186.
    Randolph MF, Jewell RJ, Stone KJL and Brown TA.
    (1991). Establishing a new centrifuge facility.
    Proceedings of the International Conference on
    Centrifuge Modelling, Centrifuge 91, Boulder,
    Colorado, 39.
    Stewart DP and Randolph MF. (1994). T-bar
    penetration testing in soft clay. Journal of
    Geotechnical Engineering 120: 22302236.
    White DJ, Gaudin C, Boylan N, Zhou H. (2010).
    Interpretation of T-bar penetrometer tests at
    shallow embedment and in very soft soils.
    Canadian Geotechnical Journal 47: 218229.
    Yun GJY, Maconochie A, Oliphant J and Bransby F.
    (2009). Undrained capacity of surface footings
    subjected to combined V-H-T loading.
    Proceedings of the 19th International Offshore
    and Polar Engineering Conference, vol. 1, 913.

    420
    EXPERIMENTAL YIELD SURFACE FOR SOIL-PIPELINE
    INTERACTION IN VERY SOFT SOILS

    M Orozco-Calderon
    Geomechanic Engineer, Mexico
    LN Equihua-Anguiano
    Universidad Popular Autnoma del Estado de Puebla, Mexico
    P Foray
    Laboratoire 3S-R, University of Grenoble, France

    Abstract
    Flowlines and pipelines installed in deep-sea waters are submitted to axial and lateral loads due to the effects
    of flow stoppages and starts, thermal influences and internal pressure. To study the phenomenon of soil-
    pipeline interaction, a physical model was used and special emphasis was given to the application of large
    horizontal loads coupled with vertical loads. This paper focuses on the experimental results of two sideswipe-
    type tests with a pipeline model in a very soft soil with undrained shear strength of ~3kPa. Experimental yield
    envelopes are also included. The experimental tests revealed that for very shallow pipe embedments the
    maximum horizontal load is obtained for a value of V/Vmax = 0.5, and that for larger embedments this value is
    in the order of 0.2.

    1. Introduction 2. Setup and Testing Procedures

    The design of pipelines installed in deep-sea waters 2.1 Experimental setup


    is still a challenge for offshore geotechnical engi- The actual experimental setup was used by Branque
    neering. Flowlines and pipelines can be submitted to (1998) and Foray et al. (2005) to study the liquefac-
    combined vertical and horizontal loads, thermal ex- tion process around pipelines in sand. To study phe-
    pansion and internal pressure, among other loadings. nomenon of soil-pipeline interaction in soft soils,
    Changes of temperature can subject the pipelines to large modifications to that setup were made in order
    buckling and excessive lateral displacement. to apply and better control large horizontal dis-
    placements. In addition, a vertical loading system
    The pipeline laying installation is not a guarantee of was installed. The setup consisted of a large rigid
    their penetration embedment and, consequently, tank having internal dimensions of 2m in length, 1m
    their stability. The problem of untrenched pipelines in width and 1m in depth. Only 0.4m depth was
    has been studied and reported in literature (Murf et filled with the soft soil.
    al., 1989; Brennodden and Stokkeland, 1992;
    Cassidy, 2004; Fontaine et al., 2004; Cathie et al., A trolley supporting the pipeline model could slide
    2005; Zhang and Erbrich, 2005; Cheuk and Bolton, horizontally. To minimise friction, two profile rails
    2006; Dendani and Jaeck, 2007; Bruton et al., 2008; were installed and four carriages were used. This
    Tian and Cassidy, 2008; among others). combination of profiles and carriages ensures free
    horizontal displacement and can support vertical load-
    A physical model was used to understand the ings. Transversal displacements are not possible with
    mechanisms of interaction between pipe and soil this system. More details of the experimental setup can
    through a lateral visualisation, and then to simulate be found in Orozco-Calderon and Foray (2010).
    the pipe response under combined vertical and hori-
    zontal loads. This paper concentrates on the results 2.2 Model pipe
    obtained using sideswipe tests with large and short The pipeline model was made of PVC and had a di-
    horizontal displacements, in order to obtain an ex- ameter of 0.2m and a length of 0.9m. Its cross-
    perimental yielding envelope of the pipe. section was half of the circumference. Different

    421
    masses could be added at the top of the pipe to simu- sideswipe tests presented here. As the soil was
    late different weights. The pipeline model could placed in layers with the same water content, it was
    move freely vertically between two guides. Alterna- not consolidated and thus it was not necessary to
    tively, the top of the pipe could be connected to a simulate a gradient of shear strength.
    motor-driven jack to apply vertical loading with a
    constant rate velocity. 2.6 Testing programme
    This paper presents three types of test that were car-
    2.3 Horizontal loading system ried out in order to study the pipeline-soil interaction.
    For the study of soil-pipeline interaction during The first test was carried out using vertical loading
    large horizontal displacements, a large, high- (vertical push-in test) on model pipes with two dif-
    precision, rolled thread screw was installed. A ferent diameters: 0.1m and 0.2m. Two tanks were
    brushless servo-motor could move the trolley hori- prepared with an undrained shear strength constant
    zontally under controlled levels of displacement. It with depth, with values of 2.5kPa and 6kPa, respec-
    was possible to apply different time-displacement tively. The pipes were penetrated at a rate of
    curves. Between the rolled screw and the trolley a 0.44mm/s. The second test was a sideswipe type test
    load sensor was installed to measure the horizontal with large horizontal displacements and consisted of
    load. repeated pipe penetration (10mm). Then the vertical
    position of pipe was held constant, and subsequently
    2.4 Vertical loading system large horizontal displacements (600mm) were ap-
    The vertical loading system was composed of a lin- plied, which removed the top soil layer. The experi-
    ear actuator controlled by a brushless servo-motor, ment was repeated four times, each time penetrating
    with a 10kN maximum load and 0.1mm/s minimum the pipe into the soil to obtain the same embedment.
    velocity. A load sensor was installed between the ac- The testing programme is described in Table 2, where
    tuator and pipeline model. The rolled screw and ver- z = pipe embedment (m) and D = pipe diameter (m).
    tical actuator operated using in-house software
    Table 2: Sideswipe tests with large cyclic horizontal
    VisuCuve 5, programmed in LabView. displacement
    First stage, vertical Second stage, horizontal
    2.5 Test soil Ampli-
    The soft soil used to fill up the tank was formed by Test Depth z/D No. of Period
    tude
    mixing kaolin and bentonite in equal proportions (mm) cycles (s)
    (mm)
    with natural water. This artificial mixture simulated Ev1 8.2 0.041 2 600 200
    the characteristics of plasticity and undrained shear Ev2 9.6 0.048 2 600 200
    strength of soft soils of deepwater seabed. The com- Ev3 11.0 0.055 2 600 200
    parisons are given in Table 1, where w = water con- Ev4 9.4 0.047 2 600 200
    tent (%), wL = liquid limit (%) and wP = plastic limit
    (%). The third test was a sideswipe type with short hori-
    zontal displacements. This type of test was per-
    Table 1: Index properties of the natural and artificial soils
    formed to obtain the yielding curve for different pipe
    Soil description w w wL wP embedments, and a total of 10 pipe tests were done.
    (%) (%) (%) (%)
    Two stages were applied: in the first stage, the pipe
    Gulf of Guinea, natural soil 150-200 170 125
    was penetrated to a particular depth to obtain a ver-
    Kaolin 0.6* 47 19
    tical failure load (Vmax). In the second stage, the ver-
    Bentonite 14* 310 260
    50 bentonite/50 kaolin 7* 150** 163 132
    tical load was reduced to a given V/Vmax value. Sub-
    *In powder; **soil in the tank
    sequently, the corresponding vertical position was
    kept constant during the horizontal displacements,
    The undrained shear strength was obtained by and the average horizontal rate was 4.5mm/s. The
    miniature vane test and fall-cone test, and was con- results of four tests for the same depth are presented
    trolled by the amount of water content. The variation in Table 3.
    of the undrained shear strength with depth was ob-
    tained by using a T-bar penetrometer that was 10mm To determine experimentally the failure load of
    in diameter and 65mm in length, according to proce- pipelines, it is possible to perform a displacement
    dure adopted by Stewart and Randolph (1994) and vector direction controlled test. The pipe follows a
    Puech et al. (2010). The tank was filled up with the displacement path (G analogous to the tests pre-
    artificial soil mixture (0.4m depth), and the average sented by Ngo-Tran (1996). All test series are in-
    undrained shear strength was 3kPa for the series of cluded in Orozco-Calderon (2009).

    422
    Table 3: Sideswipe tests with short horizontal displacement
    0 800
    Test First stage, vertical Second stage, horizontal Vertical Horizontal

    Vertical displacement, mm

    Horizontal disp., mm
    Displace- 600
    Depth Rate Vmax V/Vmax place-
    z/D (mm/s) (kN/m) ment 400
    20
    (mm)
    3-1 0.20 0.2 2.0 1.0 45 200
    3-2 0.17 0.2 2.0 0.5 50
    0
    3-3 0.24 0.2 2.0 0.42 50
    40
    3-4 0.27 0.2 2.0 0.25 40
    -200
    0 1000 2000
    Time, s
    3. Experimental Results
    Figure 1: Vertical and large horizontal displacements during
    the sideswipe tests
    3.1 Vertical penetration results
    The results of vertical penetration were fitted to a
    function more simple than that proposed by Murff et 1.5
    Test
    Ev1Ev1 Test
    Ev2Ev2 Test
    Ev3Ev3 Test
    Ev4Ev4
    al. (1989). Vertical load-displacement curves could

    Vertical load, kN/m


    be expressed as a function of a single parameter cor- 1
    responding to the normalised pipe embedment. The
    experimental Equation 1 was obtained from nine
    0.5
    vertical tests with two pipe diameters and is given
    as:
    0.51 0
    V z
    7.0 (1) 0 10 20 30 40
    Dsu D Vertical displacement, mm
    where V = vertical load (kN/m), su = undrained shear Figure 2: Paths of vertical load during the first and second
    strength (kPa), D = pipe diameter (m) and z = pipe stages of the sideswipe tests
    embedment. Maximum relative depths close to
    z/D = 1 could be reached, z = pipe embedment (m)
    and D = pipe diameter (m), as the trench behind the 1 Cycle 1
    Vertical load, kN/m

    pipe remained open with vertical walls. Cycle 2

    0.6
    3.2 Sideswipe tests with large cyclic horizontal
    displacement 0.2
    Figure 1 shows the vertical and largest horizontal
    displacements with time. The vertical loads during Ev2 = 9.6 mm
    -0.2
    entire test for both stages are presented in Figure 2. -0.5 -0.25 0 0.25 0.5
    The vertical loading path is very close to the predic- Horizontal load, kN/m
    tion obtained from Equation 1 and Murff et al.
    (1989) solution for a partially embedment pipe. Figure 3: Typical sideswipe test result for a pipe embedment of
    z/D = 0.05

    During the two horizontal cyclic displacements the For the last three sideswipe tests listed in Table 2,
    vertical position was held constant. For the first the yielding curve was taken and plotted on Figure
    horizontal cycle, the soil in front of the pipe was 4. The curves are lower than the yield envelope pro-
    displaced totally, then the horizontal load was in- posed by White and Randolph (2007).
    creased and the vertical load decreased. Their initial
    trace in the vertical-horizontal loads plane could be The maximum normalised horizontal load (H/Hmax)
    considered as a yield surface (Martin, 1994). At the is available near V/Vmax = 0.5 for all tests. The
    end of each cycle, peaks of horizontal load are ob- maximum pipe depth for all tests is z/D = 0.05. An
    tained. A typical trace of combined loading is shown approximate yield envelope for this pipe embedment
    in Figure 3. In the second cyclic horizontal dis- can be described by:
    placement, the trace is lower. This could be ex-
    1.30 1.30
    plained by the fact that the soil in front of the pipe is H V V
    removed and only friction is present. The curve 6.10 1  (2)
    H max Vmax Vmax
    slope can be related to coefficient friction (P .

    423
    To obtain the maximum vertical load (Vmax), Equa- senting the yielding surface do not have an exact
    tion 1 can be used. parabolic shape. The Figure 7b shows the same val-
    ues H/Vmax plotted as a function of the normalised
    pipe embedment (z/D). It can be noted that the hori-
    1 zontal break-out load increases with initial pipe em-
    bedment. At shallow depth the normalised horizontal
    loads are close to H/Vmax = 0.4.
    H/Hmax

    0.5 Ev2
    Ev3 (a)
    Ev4
    This work
    W-R 2

    Vertical load, kN/m


    0
    0 0.25 0.5 0.75 1
    V/Vmax 1
    Figure 4: Experimental yield envelopes for very shallowly em- Test c3-1 Test 3-23-2
    bedded pipe with z/D = 0.05 Essai 3-1 Essai
    Essai
    Test 3-33-3 Essai
    Test 3-43-4
    0
    3.3 Sideswipe tests with short horizontal 0 20 40 60
    displacement Vertical displacement, mm
    In order to establish the experimental yielding enve- (b)
    lope for different pipe embedments, different side-
    swipe tests were performed. Typical load-displace- Horizontal load, kN/m
    1
    ment results are shown in Figure 5 for a relative pipe
    embedment of z/D = 0.2. The vertical penetration
    load results are similar to those obtained from Equa- Essai
    Test 3-13-1
    0.5 Essai
    Test 3-23-2
    tion 1. Test results of all sideswipe tests are shown Essai
    Test 3-33-3
    Essai
    Test 3-43-4
    in Figure 6. In Figure 6a, the horizontal loads are
    normalised by the maximum horizontal load, and the 0
    vertical loads are normalised by them corresponding 0 20 40 60
    to Vmax. The maximum values of H/Hmax are closer to Horizontal displacement, mm
    a V/Vmax = 0.25 than to V/Vmax = 0.5. Figure 5: Load-displacement results for a pipe depth of
    z/D = 0.20
    The surface proposed by White and Randolph (a)
    (2007) does not completely match the results. Figure 1 W-R
    6b shows that when the horizontal load is divided by
    Vmax, the surface does not return to zero for small
    H/Hmax

    0.6
    vertical loads. The shape of the experimental failure
    envelopes is similar to the results of finite elements 0.2
    calculations presented in the case of a fully bonded
    pipe-soil interface by Merifield et al. (2008). It can -0.2
    be expressed as follows: 0 0.5 1
    V/Vmax
    2.23
    H V (b)
    0.58 1  (3) Test
    Essai3-13-1
    Vmax Vmax Essai3-23-2
    Test
    0.5 Essai3-33-3
    Test
    Essai3-43-4
    Test
    H/Vmax

    For another pipe embedment (z/D = 0.330.38) the 0.3


    surface shape is similar to that of Figure 6b, and
    Equation 3 is only slightly modified. 0.1

    The peak values of H/Vmax obtained from the tests -0.1


    carried out at different pipe embedment are shown in 0 0.5 1
    Figure 7a. The results correspond to tests with an V/Vmax
    initial value of V/Vmax = 1 or less. The interval of Figure 6: Typical sideswipe test result for pipe depth of
    vertical normalised load (V/Vmax) of horizontal load z/D = 0.20. Normalised results of H/Hmax V/Vmax com-
    pared with White and Randolph (2007) yield surface: (a) hori-
    peak is 0.20.6. This means that the curves repre- zontal load normalised and (b) curve fitted

    424
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    White DJ and Randolph MF. (2007). Seabed charac-
    terisation and models for pipeline-soil interaction.
    Proc., 17th Intl Offshore and Polar Engrg Conf,
    ISOPE 2007, Lisbon, Portugal, 758769.
    Zhang, J and Erbrich, CT. (2005). Stability design
    of untrenched pipelines geotechnical aspects.
    In: Gourvenec S and Cassidy M. (eds.). Proc.
    Int. Symp. Frontiers Offshore Geotechnics: IS-
    FOG 2005. London: Taylor and Francis, 623
    628.

    426
    FAILURE MECHANISMS IN SOFT SOIL BERMS DURING
    LATERAL BUCKLING OF PIPELINES: A CENTRIFUGE
    MODELLING STUDY USING PIV ANALYSIS
    A Rismanchian and DJ White
    Centre for Offshore Foundation Systems, University of Western Australia, Perth, Australia
    HRC Dingle
    Arup Geotechnics, Bristol, UK
    Formerly of the University of Western Australia

    Abstract
    The design of pipelines using controlled lateral buckling is sensitive to the resistance caused by soil berms. To
    investigate the behaviour of these berms, an experiment was carried out using a model pipe photographed
    through a window in a centrifuge strongbox. The processed images, using particle image velocimetry (PIV),
    indicated a failure mechanism consisting of a bearing-sliding zone in the intact seabed, plus a sliding failure at
    the berm base. During cyclic movements, distinct failure planes exist between the slices of berm added in
    each cycle, and are reactivated in subsequent cycles. It is also shown that the equivalent lateral friction factor
    (referenced to the horizontal and vertical directions) is influenced by the local slope of the seabed. However,
    the intrinsic equivalent friction between the pipe and the seabed, based on forces referenced to local seabed
    slope, remains constant (away from large soil berms). This observation highlights an important effect on the
    pipe-soil resistance.

    1. Introduction risk of fatigue failure and ovalisation. On the other


    hand, low horizontal resistance increases the prob-
    Pipelines in deep waters are normally laid on the ability of unwanted rogue buckles along a pipeline.
    seabed and often transport hot products at high pres- Small variations in the horizontal resisting force can
    sure, tending to cause elongation. However, this is have a major effect on the pipeline global response
    restrained by axial friction between the pipe and the (Bruton et al., 2007). Understanding the soil failure
    seabed, causing high axial compressive forces to be mechanisms during active berm growth, and the in-
    generated within pipelines. These can be relieved by teraction of active and dormant berms, is an impor-
    planned buckling. The displacement of the crown of tant step in the development of reliable models for
    a buckle can be up to 10 or 20 pipe diameters. Pipe- the horizontal resistance during lateral pipe move-
    lines scrape some soil in front as they displace later- ments. So far, researchers have used various as-
    ally, forming an active berm. On changing the dis- sumed failure mechanisms in sand and clay to un-
    placement direction, the pipe leaves the active berm derpin calculations of pipe-soil resistance (see
    behind to become a dormant berm and creates an- Figure 1). However, these have been based on ideal-
    other active berm against the opposite face. During ised mechanisms guided only by soil deformations
    each operation and shutdown cycle, pipelines buckle observed at the surface.
    and straighten, scraping more soil on either sides of
    the pipe and creating a trench with two dormant This paper presents the use of particle image ve-
    berms along the edges. Through the lifetime of a locimetry (PIV) and close range photogrammetry to
    pipeline, operational conditions may change causing study additional data from the tests reported by
    the displacement amplitude to increase. In such Dingle et al. (2008). The data show the mechanisms
    cases, the pipe may collect and remobilise the dor- involved in the growth of an active berm, interaction
    mant berms. of an active and dormant berm, and finally the re-
    mobilisation of a dormant berm as a result of an in-
    Pipelines are often designed to have controlled buck- crease in buckle amplitude. In addition, the effect of
    les in predetermined positions to release the axial seabed slope on the equivalent friction factor, that is,
    compressive forces. High horizontal resisting force the ratio of horizontal to vertical soil resistance
    leads to buckles with high curvatures, increasing the (H/V), is analysed.

    427
    and the resulting velocity fields were calibrated
    against installed target markers on the window using
    close range photogrammetry (White et al., 2003).
    The horizontal pipe speed in Test 2 was 0.2mm/s to
    allow enough pictures to be captured while main-
    taining undrained soil behaviour in each sweep. The
    tests are described in more detail by Dingle et al.
    Active (2008).
    berm
    Pipe
    Dormant 2.2 Model pipe
    berm Two different model pipes were used for these tests
    (Table 1). Each model pipe was rigidly attached to a
    loading arm connected to vertical and horizontal ac-
    General bearing tuators (Figure 2), which can operate under load or
    failure
    Loose sand displacement controlled conditions. The vertical
    load was measured at a frequency of 20Hz through a
    Figure 1: Assumed failure mechanism in (a) clay (White et al., load cell positioned immediately above the model
    2007); and (b) loose sand (Rismanchian, 2008)
    pipe. The vertical load readings were used, via a
    2. Test Methodology feedback control system, to move the vertical actua-
    tor up and down to maintain the constant applied
    2.1 Test programme vertical load during horizontal motion.
    The purpose of the test programme was to study soil
    Table 1: Model pipe properties
    failure mechanisms through photographs taken while
    the lateral movement of a pipeline was modelled Test Diameter Length Weight Speed
    against a window in a centrifuge model test. More name (m) * (m) * (kN/m) * (mm/s)**
    information about the beam centrifuge facility at the Test 1 0.8 5.6 3.3 1.0
    University of Western Australia (UWA) is given by Test 2 0.8 3.2 N/A 0.2
    Randolph et al. (1991). To avoid boundary effects, * Prototype scale ** Model scale
    such as friction between pipe and glass, a test was
    conducted in a large strongbox (Test 1) and the pipe
    trajectory in this test was used as input for the test
    against the window (Test 2).

    In Test 1, the model pipe was pushed into the soil up


    to an invert embedment of 0.45D, where D is the
    pipe diameter. It was then moved horizontally with a
    constant speed of 1mm/s at model scale under con-
    stant vertical load (Table 1), with the pipe free to
    move vertically. The trajectory of the first three cy-
    cles of this test was used as input for Test 2. In Test
    1 the lateral displacement amplitude was equal to
    4D. In Test 2, to study the behaviour when the am-
    plitude is increased, the trajectory of the fifth sweep Figure 2: Test arrangement
    of Test 1 was manipulated and the amplitude in-
    creased to 5D. During the subsequent reverse sweep, 2.3 Soil sample
    the trajectory was merged back with the Test 1 re- The soil samples were produced from commercially
    sults. available Kaolin clay mixed with water to a water
    content of 120% twice the liquid limit to form a
    A Canon S80 digital camera was used to take photo- slurry. This slurry was poured on top of a sand layer
    graphs of the model pipe and the surrounding soil covered with a filter paper acting as bottom drain-
    during Test 2. The camera was in continuous image age. All tests were performed at a centrifuge accel-
    capture mode and installed on a second horizontal eration of 40g. However, to lightly overconsolidate
    actuator, which was able to move with the same the clay, it was consolidated in 160g. In addition, to
    speed as the model pipe. Therefore, in all photos the introduce a strength intercept at mudline, a 20mm
    pipe was located at the centreline of the images. thick layer of sand was added on top of a porous mat
    These photos were processed using PIV software, placed on top of the clay. After consolidation, this

    428
    layer of sand was removed and the soil surface was u/D (-)
    0 1 2 3 4 5
    scraped flat. Similar strength profiles were targeted 0
    in both tests. Figure 3 illustrates the strength profiles B
    A C
    of these two samples measured by T-bar tests. Equa- 0.1 D M
    tions of the linear fits to these curves are also de- L
    F
    picted, showing only a slight difference (15%) in the 0.2 J
    K
    E

    w/D (-)
    mudline intercept, with the gradients being identical. P I
    H
    The submerged unit weight of the consolidated clay 0.3 G
    N
    () was 6.5kN/m3. O

    Su (kPa)
    0.4 Q
    Su (kPa)

    Sweep 1 (Fig.5) Sweep 2


    0.5
    2 Sweep13(Fig.5)
    Sweep (Fig. 7) Sweep24
    Sweep
    Sweep35(Fig.7)
    Sweep (Fig.8) Sweep45 (Fig.9)
    Sweep
    1.5 p
    Sweep 5 (Fig.8) Sweep 6 (Fig.6)
    First sweep Sweep 6 (Fig.6) Third sweep
    1
    ?
    0.5

    H/V (-)
    0

    -0.5

    -1

    -1.5
    Figure 3: Soil strength profiles in tests 1 and 2 (Dingle et al., 0 1 2 3 4 5
    2008) u/D (-)

    In Test 2, after the desired soil profile was achieved, Figure 4: Pipe invert trajectory (top) and equivalent friction
    factor (bottom)
    the window was temporarily removed and black
    powder was spread on the side face of the soil to
    produce a high-contrast texture. This texture enabled Figure 4 illustrates a peak in the horizontal resisting
    tracking of soil deformations by image analysis. force at the breakout. As the pipe rose towards the
    mudline, the equivalent friction factor approached a
    3. Test Results: Trajectory and Lateral Resistance constant value. At the end of the first sweep, the
    pipe left the active berm at the extremity of the dis-
    The pipe invert trajectory and measured equivalent placement cycle to become a dormant berm. To-
    friction factor for the tests are illustrated in Figure 4. wards the end of the third sweep, the new active
    H is positive when opposing movement in the posi- berm collided with the dormant berm from the first
    tive u direction, leading to the equivalent friction sweep. At the moment of the collision, the equiva-
    factor having a negative sign during the sweeps in lent friction factor started to rise until it reached a
    the negative u direction. The load data were taken plateau. In the fifth sweep, the active berm hit the
    from Test 1, but the trajectory data were from Test dormant berm earlier than the third sweep, because
    2, which differed from Test 1 as the amplitude of the the dormant berm was now larger. Again, the
    third cycle was extended from 4D to 5D. Therefore, equivalent friction factor started to rise from the
    it was necessary to estimate the trend of the equiva- time of collision until it reached a plateau. The rea-
    lent friction factor over this range, based on experi- son for having these plateaus is explored in section
    ence from other similar tests, and this estimate is 4.2, based on the observed soil deformation pat-
    shown with a dashed line. As a result of this manipu- terns.
    lation of the trajectory, the berm size in the sixth
    sweeps of Test 1 and 2 are not equal, which would To study the effect of the local soil slope on the lat-
    change the loads. So, the equivalent friction factor eral resistance, snapshots of the behaviour at two in-
    from Test 1 for this final sweep is not plotted. stants, denoted P and Q (Table 2) at u/D = 0.7 were
    considered in sweeps two and four. These are
    At the end of the first sweep of Test 1, the pipe en- marked with + in Figure 4. At these instants, the
    tered into the zone of soil disturbance from a previous active soil berms had cross-sectional areas of 40%
    test. Naturally, since the trajectory of Test 1 was used and 18% of the pipe area in sweeps 2 and 4, respec-
    as the actuator input in Test 2, the same downward tively (based on the area of seabed swept by the pipe
    movement occurred in the first sweep of this test. invert in successive sweeps). In addition, they had

    429
    travelled the same distance (implying almost the paper, where there is a clear failure plane, it is
    same level of disturbance and remoulding). As a re- marked with a solid thick line, while less distinct
    sult, it would be expected that the equivalent friction failure planes are marked with thin solid lines. Relic
    factor in the second sweep would be higher than the failure planes from the previous sweeps are indi-
    fourth sweep. However, the reverse was the case. It cated by dashed lines.
    is discussed in section 5 that this observation can be
    linked to the local slope of the trajectory. In the first sweep, because of the initial embedment of
    the pipe, a large active berm was created. In other
    Table 2: Snapshots used for PIV analysis (see Figure 4) sweeps, the pipe began at zero embedment on revers-
    Snapshot Seabed ing, relative to the new seabed surface created in the
    Description u/D w/D H/V previous sweep, so the active berm grew in size from
    name slope (q)
    A 2.2 0.03 0.54 0.7 zero. In both cases, the failure mechanism comprised
    First sweep B 3.2 0.04 0.53 -2.1 two principal elements: a bearing-sliding failure im-
    (Figure 5) C 3.8 0.09 0.45 -7.0 mediately ahead of, and below the pipe; and sliding
    of the berm over the mudline ahead of the pipe. As
    D 3.9 0.11 0.46 -5.9
    the pipe moved, the sliding-bearing failure plane re-
    Third sweep E 3.5 0.18 0.44 1.0 mained unchanged (e.g. as shown at B, C and D in
    (Figure 7) F 4.0 0.17 0.60 0.6 Figure 5). When the length of this failure plane ap-
    G 3.3 0.27 0.44 1.6 proached zero, a new failure plane was initiated,
    Fifth sweep
    (Figure 8)
    H 3.4 0.26 0.49 1.7 jumping further ahead of the pipe (e.g. formation of a
    I 3.9 0.22 0.71 5.9 new failure plane between A and B in Figure 5). The
    J 4.1 0.20 N/A 7.9 heave at the front of the bearing-sliding mechanism
    K 4.4 0.17 N/A 6.2
    feeds soil upwards into the soil berm.
    Berm push
    (Figure 9) L 4.7 0.14 N/A 5.1
    Close examination of the velocity vectors showed
    M 5.0 0.11 N/A 3.4
    that the front of the berm slid rigidly over the soil
    Sixth sweep N 3.7 0.29 N/A -3.3 surface. The mudline in this experiment had a finite
    (Figure 6) O 2.9 0.32 N/A 0.0 undrained shear strength, which could support the
    2nd sweep P 0.7 0.29 -0.4 -12.3 berm without sinkage. In addition to these two
    3rd sweep Q 0.7 0.40 -0.6 -5.8 main components of the failure mechanisms, there
    is always a minor flow of soil from just in front of
    4. Failure Mechanisms: Analysis of Images the pipe invert towards the back of the pipe. This
    flow of soil is illustrated with the thin dashed lines
    The variation in lateral resistance as active berms are under the pipe in Figure 5. The upward motion of
    formed, and when active and dormant berms merge, soil from the bearing-sliding mechanism into the
    currently cannot be reliably predicted, because the berm led to a discontinuity within the berm be-
    underlying failure mechanisms are not understood. tween the upwards-moving soil and the front of the
    To support the development of theoretical models berm, which only slid forwards. This discontinuity
    for this behaviour, the detailed soil failure mecha- can generate a crack in the berm (snapshots C and
    nisms at key moments during the test were investi- N). As the berm remoulded, the texture was lost,
    gated. These instants are marked on Figure 4 and leading to poorer identification of the velocity
    their details are shown in Table 2. Three particular fields at the front of the berm. However, the
    categories of failure mechanism were investigated movement here was purely forward translation, so
    and are discussed in the following sections: (i) active little information was lost.
    berm growth (section 4.1); (ii) active and dormant
    berm collisions (section 4.2); and (iii) dormant berm 4.2 Berm collisions: sweeps 3 and 5 images
    remobilisation (section 4.3). Figures 7 and 8 illustrate velocity fields and failure
    zones when the active and dormant berms collide in
    4.1 Active berm growth: sweeps 1 and 6 images the third and fifth sweeps, respectively.
    The left-hand sides of Figures 5 and 6 depict the ve-
    locity fields produced from PIV analysis and close- When this collision began in the third sweep, initially
    range photogrammetry. The simplified zones of fail- it did not introduce any shear deformation within the
    ure are illustrated on the right-hand sides of these dormant berm from sweep 1. At this stage, the active
    figures, where the instantaneous pipe motion direc- berm was squeezed between the pipe and the dormant
    tion is also shown (by a white arrow). In these fig- berm, while it slid upwards on the back of the dor-
    ures and the subsequent similar ones given in this mant berm (snapshot E in Figure 7).

    430
    Figure 5: Berm growth in the first sweep: (left) velocity fields and (right) deduced failure zones

    Figure 6: Berm growth in the sixth sweep: freshly scraped soil follows the geometry of the pipe

    At the time of collision, the equivalent friction factor the trench dug by the pipe, increasing the extent of
    started rising until the dormant berm was fully mobi- the resulting dormant berm compared to sweep one.
    lised, and began to slide along the same failure
    planes as the previous sweep (snapshot F). Once this In sweep five, when the berms collided, the new ac-
    mechanism was fully mobilised, the horizontal resis- tive berm was squeezed between the pipe and the
    tance stabilised (Figure 4). When the pipe reversed dormant berm created in the third sweep (snapshot
    direction, the squeezed active berm collapsed into G).

    431
    Figure 7: Collision of active and dormant berms: These berms do not form a homogeneous berm

    Figure 8: Collision of an active berm with a dormant berm produced in two previous cycles: The dormant berm retains the memory
    of failure planes from previous sweeps

    At this stage, there was shearing between the three After this stage, the whole dormant berm was re-
    combined active berms, but the original active berm mobilised and behaved as a new large active berm,
    from sweep one had not yet been mobilised it re- matching the failure mechanisms described in sec-
    mained stationary. With further motion of the pipe, tion 4.1. The scraped soil was lifted upwards, while
    the failure plane under the part of the dormant berm being squeezed and remoulded, towards the crown
    created in the first sweep was remobilised (Snapshot of the berm.
    I in Figure 8). Now that all of the berm was mobi-
    lised, the equivalent friction factor reached a plateau. A diagonal sliding plane separated it from the for-
    The bigger berm in this sweep produced a higher re- ward-moving front part of the berm. Velocity vec-
    sistance, compared to sweep three (compare snap- tors of the sliding part of the berm at the front were
    shots F and I in Figures 7 and 8, and the resistance in parallel to the soil surface and were not affected by
    Figure 4). the pipe motion direction.

    432
    4.3 Dormant berm remobilisation: sweep 5 images trajectory of the pipe invert traces out the new sea-
    When the pipe moved beyond the displacement limit bed surface profile created when soil is scraped
    of the previous sweeps, the whole dormant berm was away during a lateral sweep. This assumption ne-
    remobilised, becoming a large active berm (Figure glects any small heave of soil at the rear of the
    9). The whole front of the dormant berm had equal pipe. Given that the seabed slope varies locally, an
    horizontal velocity (Figure 9), which contrasted with alternative form of friction factor can be defined as
    Figure 8, where the berm was not fully mobilised. the intrinsic friction, int = +9, where + and 9
    Between the front of the dormant berm and the pipe, are components of H and V parallel and perpen-
    a diagonal shearing plane remained, separating the dicular to the slope, respectively (see Figure 10).
    horizontally moving front of the berm from a block This gives the following:
    in front of the pipe that had an upwards component
    of movement (Figure 9). Because of this buffer V tan T  H
    P int (1)
    zone, the pipe trajectory could be upwards while the V  H tan T
    front of the berm simply slid sideways, mobilising
    lateral resistance from basal sliding. Using the equation above and considering the slope
    of pipe trajectory (calculated from Figure 4a and
    5. Effect of Trajectory on Friction Factor shown in Figure 11a), the mobilised intrinsic friction
    factor varied, as shown in Figure 11b. This figure il-
    The measured equivalent friction factor in Figure 4 lustrates that the intrinsic friction factors of points P
    is the ratio of H/V, where these values are the pipe- and Q are equal, even though the conventional
    soil forces resolved in the horizontal and vertical equivalent friction, H/V, differs. It also shows that
    directions. The pipe movement creates a sloping the intrinsic friction, referenced to the local seabed
    seabed profile. A simple assumption is that the slope, is a more fundamental quantity.

    Figure 9: Berm push: Dormant berm is fully remobilised, becoming a large active berm with one internal shear plane

    433
    Even a gentle seabed slope typical of the trench
    Do
    wn
    hil
    formed by a lateral buckle can significantly alter
    l the effective friction that would apply in an equiva-
    lent analysis that neglects the vertical topography of
    the seabed. This observation has implications for the
    + most effective methodology for incorporating the ef-
    V
    fects of soil berms, and the corresponding trenches,
    in models for pipe-soil resistance during buckling.
    9 T
    Figure 10: Free body diagram of pipe on a slope 6. Conclusions
    u/D (-)
    0 1 2 3 4 5 The behaviour of an element of pipe within a lateral
    25 (a) buckle was modelled in a geotechnical centrifuge.
    20 PIV image analysis was used to study the growth
    Slope (degrees)

    15 and interaction of soil berms during cyclic lateral


    10 sweeping. These studies showed that the growth and
    5 movement of a berm arises from two principal fail-
    0
    ure mechanisms: (i) a bearing-sliding failure in front
    -5
    -10
    of the pipe, which pushes soil from the seabed up
    -15 into the berm; and (ii) a sliding failure as the front of
    -20 the berm rides, as a rigid block, over the seabed.
    -25
    1.5 Sweep 1 Sweep 2 The interaction of dormant and active berms is
    Sweep 3 Sweep 4
    Sweep 5 P&Q schematically summarised in Figure 12. Berms cre-
    1 ated in different sweeps do not form a homogeneous
    Sweep 6
    mass when they merge as a dormant berm. Instead,
    0.5
    int +9 (-)

    they remain distinct, sliding relative to each other


    0 along failure planes that are reactivated in successive
    cycles. In this test, when the pipe was pushed be-
    -0.5 yond a previous cyclic limit, it did not ride over the
    (b)
    large dormant berm, but slid it across the seabed,
    -1 remobilising the previous mechanism. The intrinsic
    -1.5
    friction factor was defined as the equivalent friction
    0 1 2 3 4 5 referenced to the local inclination of the seabed,
    u/D (-) where the topography of the seabed was assumed to
    Figure 11: Slope of pipe trajectory (top) and intrinsic be defined by the previous pipe invert trajectory.
    friction factor (bottom) in test 1 This intrinsic friction appeared to be a more funda-
    mental quantity, showing a more consistent trend
    throughout the test compared to H/V.

    Acknowledgments

    The first author receives scholarship support from


    UWA and top-up scholarships from the Centre of
    Offshore Foundation Systems (COFS) and the Soci-
    ety for Underwater Technology (SUT) Perth. The
    second author is supported by an Australian Research
    Council (ARC) Future Fellowship (FT0991816). The
    centrifuge model tests presented here were supported
    by the SAFEBUCK Joint Industry Project.

    References

    Bruton D, Carr M and White DJ. (2007). The


    Figure 12: Schematic illustration of active - dormant berm in- influence of pipe-soil interaction on lateral
    teraction during cycles of lateral movement buckling and walking of pipelines the

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    Offshore Site Inv. and Geotechnics: Confronting
    New Challenges and Sharing Knowledge.
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    Dingle HRC, White DJ and Gaudin C. (2008).
    Mechanisms of pipe embedment and lateral
    breakout on soft clay. Canadian Geotechnical
    Journal 45: 636652.
    Randolph MF, Jewell RJ, Stone KJL and Brown TA.
    (1991). Establishing a new centrifuge facility.
    Proc. International Conference Centrifuge 91,
    Boulder, Colorado.
    Rismanchian A. (2008). Soil pipeline interaction in
    lateral buckling. MPhil. University of
    Manchester, 223pp.
    White DJ, Cheuk CY and Bolton MD. (2007).
    Large-scale modelling of soilpipe interaction
    during large amplitude cyclic movements of
    partially embedded pipelines. Canadian Geo-
    technical Journal 44: 977996.
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    deformation measurement using particle image
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    435
    436
    3,/('(6,*1
    
    DEVELOPMENT OF PILE DESIGN METHODOLOGY FOR AN
    OFFSHORE WIND FARM IN THE NORTH SEA
    AS Merritt, FC Schroeder
    Geotechnical Consulting Group LLP, London, UK
    RJ Jardine
    Imperial College London, UK
    B Stuyts, D Cathie
    Cathie Associates SA/NV, Diegem, Belgium
    W Cleverly
    GL Noble Denton, Slough, UK

    Abstract
    This paper describes aspects of the foundation design methodology developed for the Borkum West II off-
    shore wind farm in the German North Sea, comprising 40 turbines supported on piled tripods in water depths
    of approximately 30m. The foundation design evolved during a technical due diligence process, which offered
    the opportunity to review the site investigation data and cyclic loads, to reconsider the effects of cyclic loads
    on pile resistance and to modify pile lengths and wall thicknesses to mitigate pile tip integrity risk during
    driving in very dense sands. The re-evaluation of the design storm concluded that axial pile capacities could
    decrease by up to 25% because of cyclic loading at some turbine locations, but could be almost unaffected by
    cycling at others. The technical review involved a collegiate process that contributed to the development of
    acceptable foundation designs and mitigated risks relating to pile installation and foundation performance.

    1. Introduction
    The financing of the project called for a technical
    The Borkum West II wind farm is currently being due diligence review, which was undertaken by
    developed by Trianel Windkraftwerk Borkum SgurrEnergy Ltd. In addition, Geotechnical Consult-
    GmbH in the North Sea, approximately 45km off- ing Group (GCG) was also engaged to undertake an
    shore northern Germany (Figure 1). The first phase independent geotechnical design review, which de-
    of this project includes the construction of forty veloped into a collaborative design process. The
    5MW turbines. The hub height is approximately principal objective was to identify and mitigate
    90m above sea level, and the rotor diameter is 116m. geotechnical risks and to develop an agreed founda-
    The turbines are supported in water depths of 26m to tion design methodology. The review areas included
    33m by tripod structures designed by Offshore Wind (i) site investigations and interpretation; (ii) pile in-
    Technologie GmbH. Figure 2 illustrates the general stallation and driveability; (iii) static pile resistance;
    arrangement of the steel tripods, which have an outer
    footprint diameter of 28m. The legs are founded on
    2.48m-diameter driven piles and support a central
    column to which the turbine tower is connected.

    Geotechnical engineering was undertaken for the


    project by Cathie Associates (CA) SA/NV, Belgium.
    The ground investigations, interpretation and foun-
    dation designs were performed in accordance with
    the standards for offshore wind farms, published by
    the Bundesamt fr Seeschifffahrt und Hydrographie
    (BSH, 2007, 2008; also known as the Federal Mari-
    time and Hydrographic Agency). Some aspects of
    the foundation design methodology, such as analysis
    of cyclic loading effects, were not covered explicitly
    by the design codes available at the time, but were
    Figure 1: Location of Borkum West II offshore wind farm
    developed during the project design phase.

    439
    and (iv) storm load characterisation and the effects Axial resistance was the critical design consideration
    of cyclic loading on pile axial resistance and lateral for the tripod piles, and these were assessed using
    loading response. the Imperial College Pile (ICP) method (Jardine et
    al., 2005). Good quality site investigations are re-
    quired to provide:
    x continuous CPT/CPTU profiles;
    x unit weight measurements;
    x soil-steel interface friction angles from ring
    shear tests;
    x yield stress ratio measurements of clays from
    in situ tests, laboratory triaxial tests, intact
    oedometer tests and index properties; and
    x sensitivity measurements, potentially from
    intact and remoulded, intact and reconsti-
    tuted oedometer tests, or index property
    measurements.

    Ideally, cyclic simple shear or triaxial tests should


    also be performed in cases where cyclic loading ac-
    tion may be important (Jardine, 1994).

    Figure 2: Tripod support structure The site investigations and interpreted geotechnical
    design parameters represent a potential risk to the
    This paper discusses how key geotechnical risks satisfactory design and performance of the founda-
    were identified, addressed and mitigated to develop tions and were assessed during the design review.
    a final design that satisfied the requirements of the The CPT/CPTU boreholes generally provided good
    certifying authorities and project financiers. quality cone resistance profiles. The qc profiles were
    sufficient to characterise the silica sands, and the
    2. Site Investigations and Interpretation piezocone profiles allowed differentiation of the
    sand and silt/clay layers from their pore water pres-
    The site investigations undertaken to characterise the sure responses during penetration. However, at some
    project site and inform selection of the turbine loca- locations the CPTs had been stopped and the holes
    tions and foundation designs were performed in ac- drilled out after maximum cone resistances of
    cordance with BSH (2008). A geophysical survey 50MPa had been reached. This at times limited the
    was conducted to investigate the sites geological characterisation of the densest sand layers. The high-
    structure, its degree of lateral variability, the seabed capacity cones utilised in some soundings recorded
    bathymetry and other features. Phased geotechnical qc values of up to 110MPa. Example CPT profiles
    surveys comprising cone penetration test (CPT)/ are shown in Figure 3 for (a) one location where
    piezocone penetration test (CPTU) boreholes with medium-to-very dense sands were encountered
    additional soil sampling were undertaken and corre- above clay/silt layers that extended below the design
    lated with the geophysical survey data to determine pile length; and (b) another location where a thick
    detailed stratigraphy and geotechnical design pa- layer of very dense sand was encountered.
    rameters for each turbine location. The variations in
    ground conditions across the site required a single Laboratory tests on pushed samples recovered be-
    CPT/CPTU borehole at each turbine location. One tween CPT strokes provided particle size distribu-
    sounding was considered sufficient to characterise tions and index properties that were used in
    conditions over the 28m-diameter tripod foundation conjunction with the piezocone profiles to designate
    footprint. The ground conditions consisted princi- silt and clay layers. Design values of the sensitivity
    pally of dense to very dense, fine to medium grained and yield stress ratio for the identified clay layers
    sand. The CPT cone resistance (qc) profiles showed were assessed by several methods that considered all
    considerable variations in sand state across the site. the available information. This included unconsoli-
    The qc values often exceeded 50MPa and rose above dated-undrained (UU) triaxial tests, oedometer tests
    100MPa at some locations. Layers of medium dense and index tests, together with empirical correlations
    silt and stiff to very stiff clay were identified at some and parameters derived from the CPT records. As
    turbine locations. the clay layers were infrequent and relatively thin,

    440
    only limited data was available to determine clay pa- in north-west Australia (Randolph et al, 2005), and
    rameters for specific turbine locations. All of the Valhall in the North Sea, where thick layers of very
    available laboratory and in situ test data was re- dense silica sand were encountered at depth (Alm et
    viewed holistically in a ground model approach, al., 2004).
    which also addressed the interpreted geological his-
    tory of the site to ensure that reasonable and consis- The initial pile designs for Borkum West II were
    tent parameters were selected. based on a 2.48m diameter and 50mm wall thickness
    (D/t = 50). This configuration was found acceptable
    for probable pile driving stresses and fatigue design,
    but the D/t ratio was higher than is typically adopted
    for oil and gas developments in the North Sea (UK
    sector), where D/t ratios between 15 and 45 are
    common and are, on average, around 27 (Jardine,
    2009). Piles with D/t ratios of 37 to 62 were success-
    fully driven in dense to very dense sands (qc of 30
    60MPa) at the Alpha Ventus wind farm close to
    Borkum West II; see Figure 1. However, several of
    the Borkum West II turbine locations show qc values
    that are significantly higher than at Alpha Ventus;
    see Figure 3b. Some of the higher qc sand layers at
    Borkum West II also have greater thicknesses than
    at Valhall, where piles with D/t = 42 buckled during
    driving.

    Considering the initial pile designs and ground con-


    Figure 3: Example CPT profiles (a) sand with clay layers; ditions, a qualitative pile driving risk assessment
    and (b) very dense sand layer
    was undertaken to evaluate and mitigate critical pile
    Data from soil-steel interface ring shear testing was failure mechanisms identified by MSL Engineering
    available to determine interface friction angles for Ltd (2001). These were:
    the sand, silt and clay soils. An average design value x local buckling at the tip under dynamic driving
    was adopted for the sands in the check calculations. stresses; and
    The available test data did not indicate any signifi- x extrusion buckling related to high lateral soil
    cant variation in interface friction with median grain pressures acting on piles with out-of-roundness
    size over the range studied, as noted in recent re- imperfections.
    search by Ho et al. (2010).
    To address these risks, the individual turbine loca-
    Cyclic shear testing was not included in the ground tions were categorised based on the CPT profiles,
    investigations. While such testing is rarely included considering the maximum qc values and the thick-
    for piled structures, cyclic loading effects can be a ness of very dense sand layers. At locations where
    significant issue in the design of offshore wind tur- qc,max < 80MPa, the risk of buckling was considered
    bine foundations. As described later, cyclic effects to be low and the original 50mm wall thickness was
    were assessed in this case by reference to earlier retained. However, the risk of pile tip buckling was
    full-scale test programmes on North Sea sands. considered excessive at locations where qc,max >
    Overall, the review confirmed that all the essential 80MPa over significant lengths of the profile. For
    geotechnical information required was available to those locations, the pile wall thickness was increased
    allow an independent interpretation of parameters to 70mm, giving D/t = 35. Overall, pile wall thick-
    for check calculations to assess the pile designs. nesses were increased at eight turbine locations. All
    piles were specified with straight-edged tips, as
    3. Pile Driving Risk Assessment chamfered pile tips can increase the risk of buckling
    during driving.
    When driving piles in very dense sands, there is a
    risk of damage propagating from the pile tips up- To mitigate the risk of extrusion buckling involving
    wards, particularly for piles with high diameter to a progressive growth of out-of-roundness during
    wall thickness (D/t) ratios. Pile buckling failures driving, further procedures were specified to (i)
    have been documented on some offshore oil and gas avoid pile damage during handling, and (ii) verify
    installations, for example at the Goodwyn platform the pile ovality remains within specification imme-

    441
    diately prior to driving. The pile installation se- 5. Assessment of Cyclic Loading Effects
    quence and instrumentation were also designed to
    provide early warnings of any pile driving problem The design review considered the characterisation of
    at high risk locations. Early identification would the design storm and the effects of cyclic lateral and
    trigger additional mitigation measures that could be axial loading on pile resistance. It followed an ap-
    implemented before returning to drive piles at other proach similar to that applied in earlier projects, in-
    high risk locations. cluding the Clair 1 West of Shetland platform
    described by Evans et al. (2010) and Jardine et al.
    4. Assessment of Static Axial Pile Resistance (2011). The Borkum West II project adopted a Euro-
    code style design criteria as required by German
    The design review included independent verification regulations, which differ from the standard offshore
    of the resistance of the piles. Calculations were per- approaches, and were also checked by an offshore
    formed to check axial resistance and lateral loading load and resistance factor design (LRFD) method.
    response at a number of turbine locations. These cal-
    culations initially took the pile lengths and wall 5.1 Storm characterisation
    thicknesses assigned after completing the pile driv- The Borkum West II turbine foundations had to be
    ing risk assessment. The ground conditions consid- designed for a 50-year design storm. The build-up
    ered covered locations with low, high and typical and dissipation of this 35hr storm were based on
    CPT profiles, as well as conditions where clay layers guidance given by BSH (2011), resulting in the
    are interbedded with the sands. storm build-up chart shown in Figure 4. While
    NORSOK (2007) does not include wind speed in its
    As discussed in section 2, the ground investigation recommendations, the wave height build-up and dis-
    data was independently interpreted to develop de- sipation is the same as that shown in Figure 4.
    sign CPT profiles and geotechnical parameters for
    each check location. Particular attention was given 1.2 Design wind speed steps

    to sub-dividing CPT profiles finely in order to accu-


    Normalised wave height, wind speed

    Design wave height steps


    Wave height
    1.0
    rately identify silt/clay layers. The simplified design
    Wind speed
    ULS event

    qc profiles were defined on a metre-by-metre (or 0.8


    finer) basis, as shown in Figure 3.
    0.6

    In relatively uniform cases, the qc values assigned to 0.4


    calculate base resistance were assessed from the av-
    0.2
    erage cone resistance profiles over 1.5 pile diameters Build-up Peak Decay
    above and below the pile tip. However, where the 0.0
    profiles indicated very marked variations, or a -17.5 -12.5 -7.5 -2.5 2.5 7.5 12.5 17.5
    Time from peak of storm (hr)
    weaker soil layer below the pile toe, the design qc
    values were reduced to account for the potential im- Figure 4: Storm build-up chart (BSH, 2011)
    pact on end bearing. The interpretation of qc records
    can significantly influence the axial pile resistance Ten 600s coupled hydrodynamic/structural analyses
    calculated using CPT-based design methods. While were performed for each of the seven steps of the
    these interpretations may be partially subjective, storm build-up profile to obtain time histories for the
    careful inspection and interpretation minimises the axial load variations applicable to the tripod founda-
    sensitivity of the calculated pile resistance to the se- tion piles. Figure 5 shows one such time-history for
    lection made, and improves the reliability of the de- the worst tension pile during the peak of the storm.
    sign method. Wave-induced loads led to the highest cyclic ampli-
    tudes. It should be noted that the ultimate limit state
    The static axial pile capacities (in both compres- (ULS) event was included in one of the 600s time-
    sion and tension), which were calculated inde- histories during the peak of the storm.
    pendently by GCG and CA, generally showed
    good agreement with no systematic differences Cyclic field pile and laboratory soil element tests
    and matching within 510% in both compression conducted to assess the effects of cyclic loading on
    and tension at most locations checked. However, pile resistance usually apply regular amplitude cy-
    at some individual locations more significant dif- cles with fixed frequencies. However, as shown in
    ferences (up to 20%) followed from different in- Figure 5 the design load time-histories comprise a
    terpretations of the CPT design profiles and succession of non-uniformly distributed irregular
    geotechnical parameters. amplitude load cycles. In order to transform the de-

    442
    sign load time-histories into idealised series of uni- certain depth below the ground surface. One ex-
    form cycles with a given cyclic load amplitude pected consequence is reduced axial pile resistance
    (Qcyc) and average load (Qavg), as outlined schemati- within the zone of influence of the cyclic lateral
    cally in Figure 6, significant peaks and troughs were loads. It should be noted that research into the ef-
    identified in each of the 70 time-histories (as indi- fects of cyclic lateral loading on piles is active, and
    cated in Figure 5). new design methods are currently under develop-
    ment (e.g. Puech et al., 2012).

    Recent research by Dhrkop (2010) on one-way cy-


    clic lateral loading of rigid monopiles in sands indi-
    cates that lateral cycling has a potentially significant
    effect over a zone of influence that extends to a
    depth of 2.6 pile diameters. Dhrkop proposes a
    method for reducing the soil stiffness within this
    zone to account for the effects of cyclic lateral load-
    Figure 5: Chart of 600s time history for worst tension pile ing on the piles lateral load-displacement response,
    during peak of 35 hour design storm (compression negative; using a reduction factor based on the magnitude of
    tension positive) the cyclic load and the depth below the pile head.
    This methodology does not consider some of the pa-
    rameters that are believed to be influential, including
    the detailed cyclic lateral loading history applied by
    storm conditions. However, this method is expected
    to be comparatively conservative for flexible tripod
    piles subject to two-way lateral cycling. Although
    many of the Borkum West II tripod piles have L/D
    ratios towards the lower limit of the usual range for
    Figure 6: Idealised series of uniform load cycles offshore piles, it was considered reasonable in this
    (BSH, 2011) case to adopt the Dhrkop methodology to assess the
    response of the piles to cyclic lateral loading through
    The 35hr design storm was thus discretised (ac- a modified version of the conventional p-y analysis.
    counting for the assumed length of each of the seven
    steps of the storm build-up chart indicated in Figure It was also agreed during the design review that the
    4) into a series of idealised uniform load cycles. This lateral loading cycles could affect the axial resis-
    is shown in Figure 7, which includes a total of nearly tances as well. The factors adopted by Dhrkop of-
    15 000 load cycles. fered a reasonable engineering approach to represent
    the effects of cyclic lateral loading on the axial resis-
    tance of the piles. The same reduction factors were
    applied to the unit shaft friction within the zone of
    influence of cyclic lateral loads, as follows:

    W 1 ( z) Alat ( z )W i ( z )
    0.343 z z (1)
    if 0.343 d 0.9
    Alat ( z ) 0.9 D D
    1 otherwise

    where Alat(z) is the lateral reduction factor on the


    unit shaft friction; W1(z) is the reduced unit shaft fric-
    tion distribution; and Wi(z) is the initial unit shaft fric-
    tion distribution. The depth (z) is measured from the
    Figure 7: Histogram of uniform load cycles during 35 hour de-
    sign storm for worst tension pile (compression negative; ten- seabed level reduced by the design scour depth.
    sion positive) The above lateral reduction factors were applied to
    the static axial pile resistance calculated by the ICP
    5.2 Cyclic lateral load effects on axial resistance method, before proceeding to review the degradation
    Cyclic lateral loading of piles can reduce the axial that might be caused by cyclic axial loading. Con-
    and lateral stiffness of the surrounding soil over a sidering the turbine locations checked in the design

    443
    review, lateral cyclic loading was estimated by this function of the normalised cyclic load amplitude
    approach to reduce static axial shaft resistances by (Qcyc/Qmax stat), as follows:
    approximately 37%.
    'Qstat Qcyc C
    A B  N (3)
    5.3 Cyclic axial load effects on axial resistance Qmax stat Qmax stat
    When significant cyclic loading is applied (for ex-
    ample by storms), pile axial resistance can be de-
    graded to values lower than the static resistance. The interaction diagram presented in Figure 9 was
    Poulos (1988) proposed a cyclic stability chart that developed using Equation 3 by direct calibration
    categorised the pile response as stable, meta-stable with the Dunkirk field tests presented in Jardine et
    or unstable for given number of load cycles (N), as al. (2005), using the following constants: A = 0.126;
    indicated schematically in Figure 8. B = 0.100, C = 0.45.

    1.0
    Nf = 1 Borkum West failure lines
    0.9 Dunkirk field tests
    BKWII cyclic damage limit
    0.8

    10
    0.7
    20

    Qcyc. / Qmax stat


    0.6 50

    100
    0.5
    200

    0.4 400

    1000
    0.3

    Figure 8: Schematic representation of cyclic stability diagram 0.2

    after Poulos (1988)


    0.1

    0.0
    The Borkum West II analysis was based on the ef- 0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0

    fective stress approach as set out by Jardine et al. Qavg. / Qmax stat

    (2005) for predicting the potential reduction of local Figure 9: Cyclic interaction diagram
    shaft resistance for piles that were subject to groups
    of uniform load cycles in clays or sands. Relative The global approach using these values gives lines
    ORVVHVLQUDGLDOHIIHFWLYHVWUHVV
    r
    r0) can be ex- of constant Nf (number of cycles to failure for a
    pressed as a function of the number of load cycles given load amplitude), which are very similar to
    (N) and the normalised cyclic shear stress amplitude those derived from the Dunkirk field tests. This ap-
    (cycmax stat), for example, as: proach is different to the local approach applied in-
    dependently by WS Atkins Consultants (2000), who
    'V
    r W cyc C
    A B  N chose slightly different values for A, B and C. Also
    V
    r 0 W max stat (2) shown in Figure 9 is a limit to Qcyc/Qmax stat, below
    which it is assumed that cycling does not degrade
    Cyclic simple shear (CNS) or triaxial tests may be pile resistance. This cyclic damage limit has been
    undertaken to determine the material coefficients (A, defined as follows:
    B and C) and define rates of radial effective stress
    reduction under cycling using Equation 2, as in the Qcyc Qavg
    Clair project (Jardine et al., 2011). As no such data  0.31  (4)
    was available for Borkum West II, reference was Qmax stat Qmax stat
    made to the Dunkirk field tests on piles driven in
    North Sea sand, as reported by Jardine and Standing As proposed by Poulos (1988) and proven in field
    (2000). tests at Dunkirk and model tests (Richter et al.,
    2010; Rimoy et al., 2012), cycling applied below
    During the review process, a simplified global ap- certain levels can lead to both a fully stable response
    proach was developed recognising that the average and potential increases in shaft resistance.
    loss of radial effective stress determines the loss of The global approach does not explicitly capture the
    VWDWLF VKDIW UHVLVWDQFH Qstat). The relative loss of local mechanisms involved in the reduction of pile
    VKDIW UHVLVWDQFH Qstat/Qmax stat) was expressed as a resistance due to cyclic axial loading (see e.g. Ri-

    444
    moy et al., 2012). It is acknowledged, for example, about 1025%. Broadly similar results were ob-
    that shaft friction reduction is not homogeneous but tained by the CA CATZ analysis.
    propagates from the pile head to its toe under in-
    creasing severity of the cyclic loading and number 5.4 Design approach
    of cycles, with the flexibility of the pile determining The design criteria adopted for Borkum West II in
    the distribution of friction along the pile shaft. If re- relation to axial pile load resistance, accounting for
    quired, the expression for the local reduction in ra- cyclic load reductions, was based on the Eurocode
    dial effective stress (Equation 2) can be input into T- methodology and terminology set out by Richter et
    Z formulations, which have been shown to repro- al. (2010) using the following governing inequality:
    duce the Dunkirk full-scale pile tests. Such an ap-
    proach has been applied in offshore soil-structure E d ,i d Rd ,i  J QK R ,d 'Rk (5)
    interaction analyses (e.g. WS Atkins Consultants, where:
    2000). The code CATZ (Cathie Associates TZ
    model) was applied to perform calculations of this 6Ed,i is the sum of the design (factored) actions
    type at selected Borkum West II pile locations, (using a partial factor Jf = 1.35);
    whereas the simplified global approach was used to 6Rd,i is the design (factored) value of the axial pile
    analyse selected turbine locations for the purposes of resistance (using a partial factor JR = 1.4);
    the design review. JQ is the partial safety factor for unfavourable
    load conditions (JQ = 1.5);
    7KHORVVHVRIVWDWLFVKDIWUHVLVWDQFH Qstat) expected KR,d is a model factor for the determination of
    during each of the uniform groups of load cycles ly- 'R,k (KR,d = 1.2);
    ing above the cyclic damage limit can be assessed 'Rk is the characteristic reduction in pile re-
    using Equation 3. The ultimate overall impact of the sistance due to cyclic loading.
    design storm can then be estimated by applying an
    equivalent cycle method effectively curve hopping This inequality defines the design criterion as requir-
    between groups of load cycles. This treatment im- ing the sum of the design actions to be less than or
    plicitly assumes that Miners hypothesis holds equal to the sum of the design resistance, minus the
    (Miner, 1945). While this has not been verified design (factored) value of the reduction in pile re-
    comprehensively for soils and little is known regard- sistance due to cyclic loading.
    ing load history effects, the approach was able to
    reasonably predict the impact of multi-stage tests on The design actions were derived from the single ex-
    the Dunkirk driven piles (WS Atkins Consultants, treme ULS event occurring during the peak of the
    2000). 50-year design storm, making allowances for uplift
    and out-of-vertical loads. The axial pile resistance
    The discretisation of the design storm resulted in a was calculated using Equation 5. For the tension
    total of nearly 15 000 uniform load cycles in groups case, the weight of the pile and the soil plug were
    with given cyclic load amplitudes and average loads included, albeit using a partial factor of JR = 1.0.
    (see Figure 7). To determine which load cycles re-
    quired assessment, the cyclic load amplitude and av- When applying this inequality during the design re-
    erage load for each group were normalised by the view, pile shaft resistance values (reduced after lat-
    corresponding static shaft resistance (Qmax stat) and eral cyclic loading effects) were used in the 6Rd,i
    compared with the cyclic damage limit. Depending term. The reductions in pile resistance due to axial
    on the value of Qmax stat determined for each turbine cyclic loading effects were thus included only in the
    location, different groups of uniform load cycles 'Rk term. Richter et al. (2010) do not discuss the ef-
    were included to calculate the decrease in axial shaft fects of lateral cyclic loading, and therefore they
    resistance in response to axial cyclic loading. At lo- could also be included in the 'Rk term rather than
    cations with a relatively large axial shaft resistance the 6Rd,i term. Based on this approach, the review
    (such as in Figure 3(b)), no load cycles lay above the identified some cases with minor shortfalls in ten-
    cyclic damage limit and no reduction of shaft resis- sion resistance, leading to minor extensions of the
    tance was predicted. At locations with lower axial design pile lengths.
    shaft resistance (such as in Figure 3a), up to around
    100 load cycles (out of a total of nearly 15 000) lay Offshore oil and gas designers often apply a reliabil-
    above the cyclic damage limit. At locations where ity-based LRFD approach. Using this approach with
    damaging cyclic axial loads occurred, their com- the load factors suggested by Jardine et al. (2005)
    bined effect was estimated to degrade the shaft resis- for unmanned structures, indicates that the original
    tance (on top of lateral cyclic load reductions) by pile designs for Borkum West II were generally suf-

    445
    ficient. It should be noted that the latter LRFD fac- Dhrkop J. (2010). Zum Einfluss von Aufweitungen
    tors are more onerous than those recommended by und zyklischen Lasten auf das Verformungs-
    American Petroleum Institute (API, 2011). verhalten lateral beanspruchter Pfhle in Sand. In:
    TU Hamburg, Verffentlichungen des Instituts fr
    6. Conclusions Geotechnik und Baubetrieb, Heft 20.
    Evans TG, Finnie I, Little R, Jardine RJ and
    Key aspects of the pile design methodology for the Aldridge TR. (2010). BP Clair Phase 1 Geo-
    Borkum West II wind farm developed during a col- technical assurance of driven piled foundations
    laborative technical review process are reported in in extremely hard till. In: Gourvenec S and White
    this paper. In addition to reassessing the site investi- D. (eds.). Proc. 2nd Int. Symp. Frontiers in Off-
    gation data and the static pile resistance design, the shore Geotechnics. London: Taylor and Francis,
    review considered pile driving risks and the assess- 495500.
    ment of cyclic loading effects. Ho YK, Jardine RJ and Anh-Minh N. (2010).
    Large displacement interface shear between
    The high-quality site investigation data allowed reli- steel and granular media. Geotechnique 61:
    able application of the ICP design method, with in- 221234.
    dependent calculations showing generally good Jardine RJ. (1994). Review of offshore pile design
    agreement of static axial pile resistances between for cyclic loading: North Sea clays. Offshore
    different parties. Lateral loading analyses also indi- Technology Report, OTN 94 157.85. London:
    cated satisfactory performance after allowing for HSE.
    negative effects of cyclic loading. The pile driving Jardine, R.J. (2009). Review of technical issues re-
    risk assessment led to wall thickness increases at lating to foundations and geotechnics for offshore
    several turbine locations to minimise the risk of tip installations in the UKCS. Research Report
    buckling in very dense sands. RR676. HSE, London.
    Jardine RJ and Standing JR. (2000). Pile load testing
    A detailed characterisation of the design storm and
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    OTO 2000 007. London: HSE.
    tances were unlikely to degrade under storm loading.
    Jardine RJ, Chow FC, Overy R and Standing JR.
    However, for turbine locations with relatively low
    (2005). ICP Design Methods for Driven Piles in
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    Sands and Clays. London: Thomas Telford.
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    Jardine RJ, Aldridge T and Evans TG. (2011). Off-
    chosen design methodology led to some pile lengths
    shore foundation engineering in extremely dense
    being extended marginally. Checks involving an
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    447
    448
    AXIAL CAPACITY OF OFFSHORE PILES DRIVEN IN SAND
    USING FOUR CPT-BASED METHODS
    S Knudsen, T Langford, S Lacasse and PM Aas
    Norwegian Geotechnical Institute, Oslo, Norway

    Abstract
    The axial capacity of tubular steel piles for offshore installations is often based on the recommended practice
    of the American Petroleum Institute (API, 2007, 2011). In the Commentary, API includes four CPT-based
    methods for predicting the axial pile capacity in sand. The paper compares the axial capacity of large-
    diameter piles in sand as predicted by the four CPT methods with the capacity as predicted by the API
    method. The calculated capacity and unit shaft friction are shown for different pile diameters and sand densi-
    ties. The results highlight the wide range in predicted capacity, and the dependency of the unit skin friction on
    pile diameter for some of the methods. However, the measured average unit skin friction from the available
    static pile load tests, albeit on smaller diameter and short piles, do not show such trend.

    1. Introduction The pile load test databases used to evaluate the sta-
    tistics of the different CPT methods include up to 85
    Four cone penetration test (CPT) based methods for pile tests in sand. The tests in the databases are pri-
    calculating the axial capacity of piles in sand are in- marily on piles with a diameter less than 0.8m,
    cluded in the American Petroleum Institute (API) which is much smaller than typical offshore piles.
    RP 2GEO commentary. The API/International Or- The pile lengths vary from a few metres to nearly
    ganization for Standardization (ISO) committee is 100m, but most of the piles are between 5m and
    currently discussing reducing the number of CPT 25m, thus shorter than typical offshore piles. In ad-
    method(s) and placing those in the main text instead. dition to pile geometry and soil conditions, the data-
    Before a decision is made, it is important to under- bases use pile material, pile end condition and direc-
    stand the implications of each method, especially tion of loading as sorting parameter to create subsets
    when the methods are to be applied beyond the for evaluating the predictive performance of the dif-
    range of available verification data. ferent methods.

    This paper provides a partial evaluation of the meth- 2. Calculation Methods for Offshore Piles in Sand
    ods through an examination of the statistics of the
    methods and a parametric study of piles in medium 2.1 Axial pile capacity
    dense to very dense sand. The study highlights the The axial pile capacity of piles in compression (Qc)
    predicted dependency of the unit skin friction on pile and tension (Qt) for plugged open-ended piles is cal-
    diameter for some of the CPT methods. This study is culated by:
    part of a larger effort to document the adequacy and
    reliability of axial capacity calculation methods for Qc Q f ,c  Q p SD f c ( z )dz  qAp (1)
    piles in sand. The complete results are reported in a
    Qt Q f ,t SD f t ( z )dz (2)
    companion paper (Knudsen et al., 2012). This paper
    studies the axial capacity of driven piles of mainly where Qf,c and Qf,t are the shaft friction capacity in
    two diameters in sands of two densities using the
    compression or tension; Qp is the end bearing capac-
    API main text method and the four preferred
    CPT methods in the recommended practice (API, ity; fc or ft is the unit skin friction in compression or
    2007, 2011). The soil parameters are representative tension, respectively; z is the depth below seafloor; q
    of those found offshore, and the study considers re- is the unit end bearing at the pile tip; D is the pile
    alistic pile diameters, including those greater than outside diameter; and Ap is the gross end area of the
    the diameters of the test piles that were used to de- pile. For piles in tension, end bearing is not relevant,
    velop, verify and accept the CPT methods. while for piles in compression the capacity is the

    449
    sum of shaft friction and end bearing. In general, The UWA-05 method was developed by the Univer-
    open-ended tubular steel piles drive unplugged (i.e. sity of Western Australia (UWA) as part of a study
    they core), and when they are statically loaded, suf- to compare the three other CPT methods. It is essen-
    ficient inner friction may be mobilised to cause the tially a modification and simplification of the
    pile to act as fully plugged (API, 2011). Whether the ICP-05 method. It has a similar formulation, but re-
    piles exhibit plugging or coring behaviour can be de- duces the number of parameters and introduces an
    fined within the method, or based on recommenda- area ratio. A simplified method is suggested for
    tions in API (2011). In addition, the weight and large offshore piles.
    buoyancy of the pile steel and/or soil plug are con-
    sidered in the axial pile capacity calculation. The Fugro-05 method was developed mainly from a
    calibration with the large Euripides pile load tests,
    2.2 CPT methods for offshore piles and has a somewhat similar form to that of the
    A majority of offshore piles worldwide are desi- ICP-05 method for the friction fatigue effects. The
    gned according to the RP 2A-WSD (API, 2007). In skin friction is a function of cone resistance, effec-
    addition to the method in the main text, the Com- tive stress and pile diameter.
    mentary on Axial Pile Capacity in Sand introduces
    four CPT methods for predicting the axial pile ca- The NGI-05 method is an empirical approach devel-
    pacity in cohesionless soils. The CPT methods are oped over many years, using the Norwegian Geo-
    described in the API main text as the preferred, technical Institute (NGI) database of 85 pile load
    more reliable and better methods, having shown tests from 35 locations and experience with the re-
    closer predictions of pile load test results and sults of instrumented pile load tests. The develop-
    covering a wider range of cohesionless soils than ment work is aimed at a simple formulation of skin
    the API main text method. The four CPT methods friction. In the NGI-05 method, the skin friction de-
    are the following: pends on cone resistance (or relative density), effec-
    tive stress, open- or closed-end tip, tension or com-
    1. Simplified ICP-05 (API, 2007, 2011) pression loading and pile material (steel or
    2. Offshore UWA-05 (Lehane et al., 2005a,b) concrete).
    3. Fugro-05 (Kolk et al., 2005)
    4. NGI-05 (Clausen et al., 2005) All four CPT methods include the effects of friction
    fatigue (Brucy et al., 1991; White et al., 2004). This
    The methods are also included in the new RP 2GEO effect is taken into account by evaluating local skin
    (API, 2011) and in the ISO 19902 (2007). They will
    friction at incremental depths along the pile relative
    also be included in the next revision of ISO 19901-4
    to the depth of the pile tip.
    (2003). Lehane et al. (2005a) and Schneider et al.
    (2008) described the formulations of skin friction 3. Comparison of Axial Pile Capacities
    and end bearing for each method.
    3.1 Statistics from earlier studies
    2.2.1 API main text method Different studies have presented statistics of calcu-
    The API method for sands was intended for long lated to measured capacity ratios (Qc/Qm) for the
    piles in medium dense to dense sands. It is recog- API main text and the CPT methods (e.g. Jardine et
    nised in practice that the API method over-predicts al., 2005; Lehane et al., 2005a; Schneider et al.,
    the capacity of piles in loose to medium dense sand. 2008). These studies have used the same pile load
    tests, but with some test results interpreted slightly
    2.2.2 CPT methods for piles in sand differently.
    The simplified ICP-05 method is a conservative ap-
    proximation of the approach described in Jardine et Schneider et al. (2008) presents the ratio of calcu-
    al. (2005), where dilatancy is ignored and some pa- lated to measured capacities for the API and four
    rameter values are conservatively rounded off. This CPT methods. Results are expressed in terms of
    simplification was agreed by the joint API RG7/ISO geometric mean (PgR), median and the standard de-
    WG10 Committee. The full Imperial College Pile viation of the natural log of the Qc/Qm ratios (VlnR).
    (ICP) method is a theoretically based approach For a perfectly reliable calculation method, PgR and
    based on many years research. The skin friction is a the median should be unity, and VlnR should be zero.
    function of cone resistance, effective stress, change Table 1 shows the Schneider et al. (2008) statistics
    in radial effective stress, interface friction angle and of the four CPT methods in terms Qc/Qm. Tables 2
    pile diameter. Factors account for an open or closed- and 3 present similar statistics for subsets of open-
    end tip and for tension or compression loading. and closed-end steel piles, noting that concrete

    450
    closed-end piles in tension are included in the latter standard deviation), the four CPT methods provide
    due to the limited number of tests on steel piles. more accurate estimates than the API method.

    Table 1: Performance of API and CPT methods for 77 pile load If the database is filtered to include only open-end
    tests (compression and tension) from Schneider et al. (2008) steel piles in tension and compression as used off-
    Method PgR* Median VlnR** shore, a more relevant comparison could be ob-
    API 0.76 0.78 0.60 tained. For open-end steel piles loaded in tension
    ICP-05 0.91 0.92 0.27 and therefore resisted only by shaft friction (Table
    UWA-05 0.92 0.90 0.25 2), the four CPT methods show a bias within 8%,
    Fugro-05 1.04 1.11 0.35 medians close to unity (except for the Fugro-05
    NGI-05 1.01 0.96 0.31 method), and standard deviations between 0.16 and
    *
    geometric mean; **standard deviation of ln(Qc/Qm) 0.32. For piles in compression, the bias increases to
    13%. The median is still close to unity (except for
    Table 2: Performance of API and CPT methods for open-end the Fugro-05 method), and standard deviations be-
    steel piles in tension (16 piles) and compression (17 piles) from tween 0.19 and 0.31. As before, for open-end piles
    Schneider et al. (2008) in both tension and compression, the four CPT
    Tension Compression methods provide improved estimates compared to
    Method PgR* Median VlnR** PgR* Median VlnR** the API method.
    API 0.73 0.66 0.64 0.72 0.84 0.59
    ICP-05 0.96 0.92 0.16 0.87 0.98 0.29 For steel and concrete closed-end piles loaded in
    UWA-05 0.97 0.98 0.19 0.96 0.95 0.19 tension (Table 3), all the CPT methods except the
    Fugro-05 0.92 0.85 0.32 1.13 1.18 0.31 Fugro-05 method show a bias between 15% and 8%
    NGI-05 1.04 0.97 0.29 1.00 1.02 0.25 on the conservative side. The medians are in the
    * **
    geometric mean; standard deviation of ln(Qc/Qm) same range and standard deviations between 0.29
    and 0.42. For piles in compression, again excluding
    Table 3: Performance of API and CPT methods for closed-end the Fugro-05 method, the bias is between 10% and
    piles in tension (12 steel and concrete piles) and compression +2%, and the medians are within 15%. The standard
    (15 steel piles) from Schneider et al. (2008) deviations are close to 0.30. For closed-end piles in
    Tension Compression both tension and compression, the four CPT meth-
    Method PgR* Median VlnR** PgR* Median VlnR** ods provide improved estimates compared to the
    API 0.84 0.79 0.90 0.76 0.81 0.50 API method.
    ICP-05 0.88 0.84 0.31 0.92 0.89 0.29
    UWA-05 0.85 0.89 0.29 0.90 0.85 0.28 The statistics by Schneider et al. (2008) confirm that
    Fugro-05 0.78 0.89 0.38 1.16 1.16 0.32 the CPT methods provide more reliable estimates of
    NGI-05 0.92 0.90 0.42 1.02 0.94 0.32 pile capacity than the API method. The standard de-
    * **
    geometric mean; standard deviation of 0 viations in Tables 1 to 3 are likely amplified by
    other factors, including sand relative density, pile di-
    These tables indicate that using the 77 load tests ameter and pile length. Further refinement of the da-
    both in tension and compression (Table 1), the NGI- tabase has the disadvantage of limiting the number
    05 and Fugro-05 methods show a bias below 5% on of pile load tests on which statistical estimates can
    the non-conservative side (NGI-05 with an average be made. Section 4 of this paper focuses on one of
    1% higher capacity than measured, Fugro-05 with an these factors pile diameter. A discussion of the
    average 4% higher capacity). The ICP-05 and other factors is addressed in Knudsen et al. (2012).
    UWA-05 methods show a bias closer to 10% (9% Identifying the most reliable method is challenging,
    and 8%, respectively) on the conservative side. The because each of the ICP-05, UWA-05 and NGI-05
    medians are within 11% of unity for all CPT meth- methods show the smallest bias and smallest stan-
    ods, and the standard deviations are between 0.25 dard deviation depending on the case. Based on the
    and 0.35 for the four CPT methods. They are large statistics given in Tables 1 to 3, the Fugro-05 and
    perhaps because of the different pile types (tension API methods appear to show the poorest perform-
    and compression, steel and concrete piles, and open- ance and largest standard deviation in both tension
    and closed-end piles). The comparison has the statis- and compression.
    tical advantage of a large (77) number of data points,
    however, the diversity in the database can mask the 3.2 Reference database
    bias and uncertainty of the different methods for There is a need for establishing a shared industry
    specific purposes. In all respects (mean, median and database with accepted interpretations of key pile

    451
    load tests and site characterisation data. When re- The open-end pile geometry was taken as:
    searching for this paper, it became clear that differ- x length, L = 50m;
    ent interpretations were made of specific pile load x diameter, D = 0.53.0m;
    tests and site characterisation data, thereby creating x wall thickness, wt = D/30 (representative for
    additional challenges when comparing the different piles in the load test database and offshore
    methods. The developers for each design method of- piles in very dense sand with hard driving).
    ten have their own preferred pile load tests and may
    be privy to information that could explain results for 3.3.2 Capacity in tension
    key tests. Therefore it is reiterated here that the in- Figure 2 presents the calculated capacity in tension
    terpretation of key pile load tests, including load- for 1.0m and 2.5m diameter piles for Dr of 40%
    displacement curves and site characterisation data, and 90%, with the API and the four CPT methods.
    should be critically reviewed by an expert panel and For the 1.0m-diameter pile loaded in tension (com-
    made available through a website. The result of this parable to the largest piles in the load test data-
    review would be a public database with all the nec- base), the results for the very dense sand follow the
    essary information for geotechnical engineers to trends shown in Tables 1 to 3. For the medium
    evaluate the various design methods with greater dense sand, the four CPT methods agree well, but
    awareness of the technical implications. The geo- as expected, the API method calculates a much
    technical profession and offshore industry would higher capacity.
    benefit from such a development. This initiative was
    earlier suggested by several others, including Send-
    ers (1999) and in oral presentations at the 2005
    International Symposium on Frontiers in Offshore
    Geotechnics (ISFOG).

    3.3 Parametric study


    3.3.1 Idealised sand and pile geometry
    The sand profiles for the parametric study have CPT
    cone resistance (qc) profiles (Figure 1) correspond-
    ing to relative densities (Dr) of 40% and 90%. The
    increase in qc with depth below seafloor (z) for a
    uniform relative density and using an effective unit
    weight of J' = 10kN/m3, was described as follows:
    x medium dense sand: qc = 1.9z0.5;
    x dense to very dense sand: qc = 6.6z0.5.
    For the ICP-05 method, a constant volume friction
    angle G= 29 is assumed at the interface between the
    sand and the pile wall.

    Figure 2: Axial pile capacities in tension: pile diameter 1.0m


    Figure 1: Idealised sand profiles for parametric study (top) and 2.5m (bottom); sand relative density of 40% and 90%

    452
    For the 2.5m-diameter pile and very dense sand, the For the 1.0m-diameter pile (comparable to the larg-
    trend of the capacities calculated by the CPT meth- est piles in the load test database) loaded in com-
    ods relative to the API method is very different to pression, the results for the very dense sand at a
    that with 1.0m diameter. Nonetheless, the capacities depth of about 30m follow the trends shown in Ta-
    calculated by the ICP-05, UWA-05, NGI-05 and bles 1 to 3. However, at a depth of 10m the five
    API methods at 50m depth are similar, and the high- methods show very different results. The capacities
    est and lowest capacities are calculated by the ICP- converge around 30m depth and diverge again
    around 50m depth. For the medium dense sand, the
    05 and UWA-05 methods. Fugro-05 gives a much
    four CPT methods show good agreement. Again, the
    higher capacity for the larger diameter piles than the API method predicts a much higher capacity. For the
    other methods. 2.5m-diameter pile and very dense sand, the results
    and position of the different methods relative to the
    3.3.3 Capacity in compression API method again change completely. It can be ob-
    Figure 3 presents the calculated compression capac- served that the ICP-05, UWA-05 and NGI-05 meth-
    ity for 1.0m and 2.5m diameter piles for Dr of ods give reasonably similar capacities at a depth of
    40% and 90%, with the API and the four CPT meth- 50m. However, the capacity is significantly higher
    ods. than that from the API method. As with the pile
    loaded in tension, the Fugro-05 method gives a
    much higher capacity for the larger-diameter pile
    compared to the other methods.

    3.4 Application in design


    The required pile tip depths for a 2.5m diameter pile
    can vary significantly with calculation methods for a
    typical range of idealised soil conditions and design
    loads. Figure 4 shows the required pile depth for
    relative densities of 40% and 90% and design loads
    of 12MN in tension and 20MN in compression. The
    required pile tip depths vary by a factor of 2 to 3,
    depending on the method used. The authors propose
    that the geotechnical engineer should use each of the
    calculation methods to define a range of results and
    visualise a series of profiles of capacity with depth.
    The design capacity should be based on a careful
    evaluation of the results, with consideration of the
    following: the performance of the methods; com-
    parison of the methods with the most relevant pile
    load tests in the database; past experience at sites
    with similar conditions; and engineering judgment.

    4. Effect of Pile Diameter


    Depth below seafloor, z (m)

    The previous section showed significant differences


    in pile capacity in comparative calculations with the
    API and the four CPT methods in idealised medium
    dense and very dense sands, especially for large-
    diameter piles. The significance of this is exacer-
    bated by the fact that there are almost no pile load
    tests on piles with diameter greater than 1.0m.
    Achmus and Mller (2010) compared the axial ca-
    pacities of piles in tension using the four CPT meth-
    ods and the API method. The normalised Q/QAPI-
    values increase significantly with pile diameter for
    the ICP-05, UWA-05 and Fugro-05 methods. How-
    Figure 3: Axial pile capacities in compression: pile diameter ever, the NGI-05 method does not predict an in-
    1.0m (top) and 2.5m (bottom); sand relative density of 40% crease in capacity as a function of pile diameter
    and 90% compared to the API method.

    453
    is defined as the integrated local unit skin friction
    divided by the pile length.

    Figure 6 illustrates the calculated average tensile


    unit skin friction for a pile length of 50m in a me-
    dium dense sand (Dr = 40%). The available pile load
    tests for steel piles in sand with relative densities be-
    tween 40% and 62% from the NGI database (pile
    lengths 631m) are also shown in the figure. In the
    database, a subset of pile load tests are categorised
    as high quality tests and referred to as super piles,
    which were given more weight when the NGI-05
    method was calibrated. Pile length also affects aver-
    age skin friction due to friction fatigue, but the pur-
    pose of including the data is to show the diameters
    for which pile load tests are available.
    Relative density, Dr (%)
    0 10 20 30 40 50 60 70 80 90 100
    0
    API Compression, F = 20 MN
    ICP-05 simp Pile diameter 2.5 m
    10 UWA-05 offs.
    Fugro-05 Depth below seafloor, z (m)
    NGI-05
    20

    30

    40

    50

    Figure 4: Required pile tip depths for 2.5m diameter pile in


    tension (upper diagram) and compression (lower diagram)

    Figure 5 shows the local unit skin friction in tension Figure 5: Effect of pile diameter on calculated local unit skin
    as calculated by the different methods for pile di- friction in tension for a pile length of 50m very dense sand
    ameters of 1.0m and 2.5m for a 50m-long pile in
    very dense sand. All methods except for the API and
    NGI-05 methods show a strong effect of the pile di-
    Average tensile unit skin friction (kPa)

    ameter on the calculated local unit skin friction. The


    ratio between the local unit skin friction in tension of
    a 2.5m- and a 1.0m-diameter pile varies from 1.0 (no
    effect, API and NGI-05) to 2.2 (Fugro-05). This de-
    pendency is not believed to be an intended effect of
    the three CPT methods. However, it is a result of the
    extrapolation of a method calibrated using pile di-
    ameters less than 1.0m to significantly larger pile di-
    ameters. The predicted dependency of skin friction
    on pile diameter has not been justified by pile load
    tests. Pile load tests on large pile diameters are
    needed to investigate such effects. Similar trends are
    obtained for piles in compression and also for piles
    in medium dense sand. These results are shown in
    Knudsen et al. (2012). To study the effect of pile di-
    ameter, the average unit skin friction was obtained
    with the CPT methods for a range of pile diameters Figure 6: Effect of pile diameter on calculated average tensile
    (pile length of 50m). The average unit skin friction unit skin friction for a pile length of 50m medium dense sand

    454
    crease for the Fugro-05 method is approximately a
    factor of 2 for the same case. The increase in calcu-
    lated average tensile unit skin friction with pile di-
    Average tensile unit skin friction (kPa)

    ameter is caused by the formulations of skin friction


    in the ICP-05, UWA-05 and Fugro-05 methods.
    These three methods were carefully calibrated
    against pile load tests on smaller diameter piles, with
    a focus on friction fatigue effects for different
    length/diameter ratios. However, the extrapolation of
    these effects to larger diameter piles gives very high
    unit skin frictions. Such trend has not been justified
    by pile load tests.

    Similar trends were seen on the average unit skin


    friction in compression. The ICP-05, UWA-05 and
    Fugro-05 methods show large increases as the pile
    diameter increases. In compression, the API and
    NGI-05 methods show no effect of pile diameter.
    Figure 7: Effect of pile diameter on calculated average tensile The same trends were also seen for shorter pile
    unit skin friction for a pile length of 50m very dense sand lengths. These results are presented in Knudsen et al.
    (2012). Figures 6 and 7 illustrate method depend-
    Figure 7 illustrates the calculated average unit skin ency, which is of great significance for the design of
    friction for a pile length of 50m in a very dense sand large-diameter piles offshore. Figures 6 and 7 sug-
    (Dr = 90%). The available pile load tests for steel gest that the methods should be used with caution,
    piles in sand with relative densities between 75%
    especially with large diameter piles (>1m).
    and 97% from the NGI database (pile lengths
    547m) are also shown in the figure. In Figures 6
    and 7, full designates the full method to be used for Most importantly, there is no evidence in the data-
    small-diameter piles (D < 0.76m) for the ICP-05 and base of pile load tests that the average tensile unit
    UWA-05 methods, as described in Jardine et al. skin friction increases significantly with pile diame-
    (2005) and Lehane et al. (2005a). ter (Figure 8). At this time, an approach similar to
    that given by the API method is suggested for very
    For the pile and soil conditions modelled, there is a dense sand, where the unit skin friction does not in-
    striking difference in results from the four CPT crease with pile diameter.
    methods as the pile diameter and Dr change. For
    medium dense sand, the ICP-05, UWA-05 and NGI-
    05 methods give similar results for pile diameters
    less than 1.5m using full methods for the small di-
    ameter piles. For larger piles, the range of predicted
    average unit skin friction increases significantly. The
    average tensile unit skin frictions from the CPT
    methods are, as seen before, significantly lower than
    the API capacities. The NGI-05 and API methods
    show no effect of pile diameter, whereas the ICP-05,
    UWA-05 and Fugro-05 methods show up to double
    the average tensile unit skin friction when increasing
    the pile diameters from 1m to 3m for a pile length of
    50m.

    The effects become even clearer for the very dense


    sand (Figure 7). The NGI-05 and API methods show
    no effect of pile diameter and an average tensile unit
    skin friction within 4%. The ICP-05 and UWA-05
    methods show an increase in average unit skin fric- Figure 8: Effect of pile diameter on average unit skin friction
    tion of about 50% for pile diameters increasing from in tension from NGI database
    1m to 3m for a pile length of 50m. The relative in-

    455
    The parametric analyses represent idealised condi- References
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    with previous researchers, it is recommended that Kolk HJ, Baaijens AE and Senders M. (2005). De-
    the interpretation of key pile load tests should be sign criteria for pipe piles in silica sands. In:
    critically reviewed by an expert panel. The results Gourvenec S and Randolph M. (eds.). Proc. Intl.
    should be made publicly available with the neces- Symp. Frontiers in Offshore Geotechnics, ISFOG.
    sary information for geotechnical engineers to apply London: Taylor and Francis, 711716.
    the various design methods. It is necessary to en- Lehane BM, Schneider JA and Xu X. (2005a). A
    courage a greater awareness of all the implications Review of Design Methods for Offshore Driven
    of the methods. The profession and oil and gas in- Piles in Siliceous Sand. UWA Rep.No. GEO
    dustry would greatly benefit from such initiative. 05358, The University of Western Australia. Ge-
    omechanics Group, Perth, Australia.
    Acknowledgment Lehane BM, Schneider JA and Xu X. (2005b). The
    UWA-05 method for prediction of axial capacity
    The authors would like to thank the reviewers for of driven piles in sand. In: Gourvenec S and
    their constructive comments. Randolph M. (eds.). Proc. Intl. Symp. Frontiers

    456
    in Offshore Geotechnics, ISFOG. London: Taylor
    and Francis, 683689.
    Schneider JA, Xu X and Lehane BM. (2008). Data-
    base Assessment of CPT-Based Design Methods
    for Axial Capacity of Driven Piles in Siliceous
    Sands. J. Geotechnical and Geoenv. Eng. 134:
    12271244.
    Senders M. (1999). Characteristics for a pile load
    test database. Field and Laboratory Measure-
    ments in Geotechnical Engineering. Proc. 13th
    Young Geotechnical Engineers Conference,
    Santorini, Greece, 318327.
    White DJ and Lehane BM. (2004). Friction fatigue
    on displacement piles in sand. Gotechnique 54:
    645658.

    457
    458
    FIELD LATERAL LOAD TEST ON MONOPILE IN DENSE SAND
    P Doherty, W Li and K Gavin
    University College Dublin, Ireland
    B Casey
    Mainstream Renewable Power, Ireland

    Abstract
    The vast majority of offshore wind farms constructed to date are supported on monopile foundations. These
    monopiles consist of a large diameter (>4m) open-ended steel piles driven into the seabed to a specified pene-
    tration. While laterally loaded piles have been used for many years in the offshore oil and gas sector, they
    typically have diameters below 2m and a slenderness ratio (ratio of pile length to diameter) in excess of 20. In
    contrast, monopiles used in the offshore wind sector typically have slenderness ratios of 5 to 8. Design meth-
    ods developed for relatively slender flexible piles are unlikely to provide accurate predictions of the response
    of more rigid monopiles to loading. This paper presents the results of a field test performed on an instru-
    mented monopile installed at a dense sand research site in Blessington, Ireland. The pile, which had an exter-
    nal diameter of 340mm, was driven into the dense sand to a slenderness ratio of 6. It was also instrumented
    with 11 levels of strain gauges to capture the load transfer and bending moments along the shaft. The load test
    results show that conventional design procedures, such as the Det Norske Veritas (DNV) or the American Pe-
    troleum Institute (API) approaches, grossly underestimated the lateral capacity of the monopile. At the end of
    the paper, a 3D finite element analysis of the pile load test is presented.

    1. Introduction ing. In this paper the results of a lateral load test per-
    formed on a model-scale, rigid monopile driven into
    There has been a significant drive to develop off- dense sand at the University College Dubin dense
    shore wind energy resources in the last 20 years. To sand research site are presented. It is noted that the
    date, most offshore wind turbines (>75%) have been aspect controlling the design of large-diameter piles
    constructed on monopile foundations in relatively is normally serviceability requirements, that is, the
    shallow water (<30m). Monopiles are large open- need to minimise rotations under cyclic loading.
    ended steel tubes, with typical diameters (D) that are Therefore, the research programme is focused on
    between 4m and 7m, and embedded lengths (L) typi- understanding the response of rigid monopiles to cy-
    cally less than 30m. This gives a resulting slender- clic lateral loading. However, the focus of this paper
    ness ratio (L/D) of between 5 and 7. The next gen- is to compare the ultimate resistance of rigid mono-
    eration of wind farm developments will be piles installed in dense sand to the capacity predicted
    constructed mostly in water depths larger than 30m, using conventional design methods.
    which is beyond the expected limiting water depth
    of 25m for monopile (Det Norske Veritas (DNV), 2. Background and Current Design Methodology
    2007). Because these foundations present a proven,
    relatively low-cost foundation option for offshore The industry standards for offshore wind farm de-
    wind turbines, there is an urgent need to update de- sign are those recommended by DNV (2007). With
    sign methods, which were developed for flexible respect to laterally loaded piles, the DNV offshore
    piles, to account for the geometry of these new standards mimic the earlier guidelines published by
    foundations. the American Petroleum Institute (API), which are
    now documented in an updated API 2010 document.
    As there is a dearth of load test data for rigid piles Both of these approaches adopt a winkler spring
    installed in dense sand, a first step in the develop- model, known as the p-y approach. This model as-
    ment of any such design approach is physical test- sumes the soil provides lateral restraint to the pile

    459
    through a series of decoupled springs, with the mo- (a)
    bilised soil reaction (p) dependent on the deflection 5 100
    at that depth (y).
    4.5 90

    Values of Coefficients C1 & C2


    2.1 API guidelines 4 80

    Values of Coefficient C3
    For granular soils, the maximum ultimate soil reac- 3.5 70
    tion (pu) determined by the API approach is depend-
    3 60
    ent on the pile diameter (D), internal friction angle
    2.5 C2 50
    (I) effective soil unit weight (J) and depth below
    ground surface (z). The ultimate soil resistance is de- 2 40
    termined to be the minimum of the soil reaction gen- 1.5 30
    erated by a modified shear wedge failure (pus), at C1
    shallow depths, and the resistance to modified block 1 20
    C3
    flow failure of the soil at deeper levels (pud). There- 0.5 10
    fore, the ultimate resistance at a given depth is de- 0 0
    termined by the minimum of pus and pud, calculated 20 25 30 35 40
    from Equation 1 and 2, respectively:
    )ULFWLRQDQJOH
     GHJUHHV
    (1)
    (b)
    (2)
    Friction angle,
     GHJUHHV
    The coefficients c1, c2 and c3 are determined from 28 29 30
    Figure 1. 36 40 45
    80
    Very Loos Medium Dense Very
    The p-y curve is described by Equation 3, where k is Loos e Dense
    the initial modulus of subgrade reaction and is de-
    pendent on the soil relative density (Dr), as shown 60 Sand
    by Figure 1. It is calculated as follows: above the
    N 03DP

    water
      (3)
    40
    where A is a depth dependent modification factor.
    This was suggested by Reese et al. (1974) to account Sand
    for the differences between experimental observa- 20 below
    tions and theoretical wedge/block failure resistances. the
    The value of A can be determined by Equation 4 for water
    static loading: 0
    0 20 40 60 80 100
    (4) 5HODWLYH'HQVLW\'U 
    This approach was originally developed by Reese et Figure 1: Design parameters for monopiles (DNV, 2007)
    al. (1974) from load tests conducted on flexible
    610mm-diameter open-ended tubular piles installed 2. Recent developments
    in medium dense sand at Mustang Island. The A pa- A number of researchers have used finite element
    rameter is an empirical factor developed to match analyses to investigate the behaviour of large-
    this set of test results. This method was subsequently diameter monopile foundations. Lesny et al. (2004)
    calibrated by Murchinson and ONeill (1984) using found that the API approach tended to overestimate
    a database of small diameter (<2m) pile load tests. the subgrade modulus for large-diameter piles and
    could therefore be conservative in some instances.
    The current research was undertaken to understand They proposed a diameter-dependent correction fac-
    the potential contrast between the lateral load re- tor be applied to the initial subgrade modulus (k).
    sponse of flexible and rigid piles. It particularly is This observation was supported by Achmus and Ab-
    concerned with those installed in dense sand typi- del-Rahman (2005), who presented the results of 3D
    cally encountered in the North Sea, where the mobi- finite element analyses that found that for the same
    lised friction angles may exceed the upper bound applied load, the deformations of a 7.5m-diameter
    value of 40q considered in the DNV (2007) ap- pile were significantly underestimated by the API
    proach. approach. The reason given by the authors for this

    460
    deviation was that the API method overestimated the 3.2 Test methodology
    soil stiffness at large depths. Because of the dearth A 3m-long open-ended steel pile was manufactured
    of field test data, these analyses have not been cali- from an offshore conductor pipe. The pile had an
    brated against field test data. outer diameter (OD) of 340mm and a wall thickness
    (t) of 13mm. The pile was then driven to an embed-
    3. Field Testing ment (L) of 2.2m using a 5-tonne Juntann hammer,
    which resulted in an aspect ratio (L/D) of 6.5. Strain
    3.1 Site description gauges were bonded in diametrically opposite pairs
    The field test presented in this paper was conducted externally on the pile shaft. This was to provide an
    indication of the load transfer and the moments mo-
    at a dense sand research site in Blessington, a small
    bilised during load testing (see Figure 3a). Two mild
    village located 25km to the south-west of Dublin, steel channels were welded to the outside of the pile
    Ireland. The test area is a dedicated research site shafts to protect the instrumentation; this increased
    within an active quarry, where the underlying depos- the bending stiffness (EI) to 390 000kNm2.
    its of uniform sand have been confirmed by exten-
    sive excavations. The dense sand at this site was (a)
    formed by combined glacial and fluvio-glacial ac-
    tion that has impacted the engineering properties of
    the deposit. The interbedded sand layers have a par-
    ticle grading from silty sand to coarser sand, depend-
    ing on the lake level at the time of deposition. The
    site is heavily overconsolidated from a combination
    of post-depositional glacial processes and more re-
    cent excavations at the quarry, resulting in a maxi-
    mum preconsolidation pressure in the range of
    8001400kPa at ground surface. The sand is fine
    with D50 ranging from 0.10.15mm. The moisture
    content measured in a series of boreholes has a range
    of 10 2%.

    Cone penetration tests (CPT) were conducted adja-


    cent to the test pile and are shown in Figure 2. The
    cone tip resistance (qc) was found to increase from
    approximately 10MPa at ground surface, to 25MPa
    at 10m depth. The relative density of the deposit was (b)
    determined to be close to 100%.

    &377LS5HVLVWDQFHTc 03D
    0 10 20 30 40
    0

    3
    'HSWK] P

    5
    Figure 3: (a) Details of pile instrumentation; and (b) load test
    6 assembly

    7 Following installation of the model piles at the Bless-


    ington test site, the lateral loading apparatus illustrat-
    8
    ed in Figure 3b was constructed. The static load was
    9 applied using a hydraulic jack connected to a pump,
    with the load control provided by an electronic load-
    10 cell mounted in-line with the loading point 0.4m
    Figure 2: Cone penetration tests at Blessington site above the ground level. The displacements and pile

    461
    head rotation were measured using linear variable highest value explicitly employed in the API guide-
    displacement transducers connected to the pile head. lines for dense sand, and adopting a higher value to
    The strain gauges, load cell and displacement trans- increase the capacity closer to the measured re-
    ducers were all logged on a Vishay system 5000 data sponse would involve extrapolating the design code
    logger system at a sampling rate of 1Hz. The pile was well outside the empirical formulation, possibly in-
    loaded until lateral displacements greater than 10% of validating completing the empirical parameters such
    the pile diameter were achieved. Reaction was pro- as the A value shown in Equation 4.
    vided by concrete kentledge blocks, which were
    stacked vertically adjacent to the pile.

    3.3 Experiment results


    The lateral load-displacement behaviour is shown in
    Figure 4. The displacements considered are the
    ground-line displacements (LVDT-3 in Figure 3).
    The load-displacement response was relatively stiff
    for applied loads up to 35kN, although the stiffness
    reduced somewhat until the load reached 95kN at a
    ground-line displacement of 8mm (2.5% of the pile
    diameter). Thereafter, large pile displacements were
    mobilised as the pile head load approached the ulti- Direction of loading
    mate resistance of 110kN.

    120 Figure 5: Cracking developing around pile during load test


    /DWHUDO/RDGN1

    100 The profile of measured bending moment and the


    80 values predicted using the API method at two load
    levels (27kN and 49kN) are shown in Figure 6. The
    60 API method under-predicted the moment resistance
    at the 27kN load level, where from Figure 4 it was
    40 Measured
    seen to under-estimate pile displacement. The API
    20 API predicted
    method provided a good fit to the measured moment
    response at the 49kN load level, where it is clear that
    0 the measured and predicted load-displacement re-
    0 10 20 30 40 sponse are almost equal. For loads above 50kN the
    *URXQGOLQHGHIOHFWLRQ PP API method would be expected to under-predict the
    Figure 4: Load-displacement response moment resistance of the pile as the lateral load re-
    sistance was significantly under-estimated.
    From the earliest loading stages, small hairline
    cracks were visible radiating outwards from the pile.
    As the load levels increased and the deflections ap-
    proached 5mm, a gap developed behind the pile.
    This was coupled by a sharply defined crack radiat-
    ing from the pile diameter perpendicular to the load-
    ing direction. The crack pattern is illustrated in
    Figure 5 and suggests that the final pile failure
    occurred along very distinctive failure planes in the
    partially saturated, overconsolidated deposit.

    The load-displacement response predicted using the


    API method (with a maximum friction angle of 40q
    for the dense Blessington sand) is shown in Figure 4.
    The API provided a reasonable prediction of the ini-
    tial measured response, albeit overestimating the
    stiffness, for applied loads up to 40kN. Thereafter,
    the load resistance was underestimated significantly.
    It is worth noting that the friction angle of 40 is the Figure 6: Measured moment profile

    462
    4. 1XPHULFDO0RGHOOLQJ . Comparison
    The load-displacement behaviour of the lateral
    4.1 Background loaded pile is compared in Figure 8 to both the finite
    A 3D finite element analysis was also undertaken element model analysis and the API prediction. The
    using Plaxis software. The pile was modelled as a 3D prediction of the pile resistance grossly over-
    hollow cylinder using plate elements with a bending estimates the initial pile stiffness response with the
    stiffness of 390 000kNm2. The model geometry ex- resistance approaching the measured response at lar-
    tended over six diameters either side of the pile (see ger strains (greater than 20mm). Future analysis that
    Figure 7). The sand material was modelled using the considers the small strain stiffness response, using
    hardening soil parameters proposed by Tolooiyan the Plaxis hardening small strain stiffness material
    and Gavin (2011) for Blessington sand, given in model, will be applied in an attempt to better capture
    Table 1. An interface layer was included between the initial stiffness response.
    the pile shaft and the adjacent soil. The friction gen-
    erated along the interface was assumed to be 75% of A cross-section through the pile diameter in Figure 9
    the soil-soil frictional strength. shows the mobilisation of shear stresses at a ground-
    line displacement of 22mm.
    Table 1: Parameters assumed in FEM model

    Input pDUDPHWHUVIRU+6PRGHO Value


    3 20 140
    Unit weight, J (kN/m )

    Loading stiffness, (kPa) 44,000 120

    Unloading stiffness, (kPa) 155,000 /DWHUDO/RDG N1
    25,000 100
    Oedometric stiffness, (kPa)
    Cohesion (kPa) 0 80
    Ultimate friction angle (q) 42.4
    Ultimate dilatancy angle (q) 6.6 60
    Poisson ratio 0.2 Measured Data
    Power, m 0.4 40
    FEM Analysis
    Rf 0.8
    20
    Tensile strength (kPa) 0 API Prediction
    Initial void ratio, einit 0.373 0
    Minimum void ratio, emin 0.373 0 10 20 30
    Maximum void ratio, emax 0.373
    'HIOHFWLRQ PP
    Relative density, Dr (%) 100
    Preconsolidation pressure,
    (kPa) 800 Figure : Comparison of load-displacement response
    Reference pressure, pref (kPa) 100

    The FE model included 13 169 elements and 21 663


    nodes. The soil was modelled as multiple discrete
    layers to account for the varying overconsolidation
    ratio (OCR) profile with depth.

    Figure 9: Mobilised shear strengths

    Maximum mobilised shear strengths greater than


    500kPa were developed in the finite element model
    analysis, which were observed near the pile toe. The
    mobilised shear stresses clearly indicate a point of
    Figure 7: Total displacement pattern for FEM model rotation beneath the ground, where the pile deflects

    463
    in the opposite direction to the applied load at 1.7m from low loading conditions, and therefore cannot
    depth. The pile deflections are shown as a function be designed to maintain toe fixity as prescribed in
    of depth in Figure 10, where the API profile is seen some guidelines. Further experimental work is re-
    to predict higher displacements at a given load level quired to consider piles of different slenderness ra-
    in comparison to the finite element model output. tios and larger diameters. It is anticipated that this
    Despite this difference, excellent agreement is work will lead to an improved p-y formula that ac-
    achieved regarding the point of rotation, with both counts for the in situ stress state and can be used for
    analyses indicating a rotation point of 1.7m below dense sands.
    ground level. A sensitivity study should be per-
    formed to assess whether this trend is consistent for $FNQRZOHGJPHQWV
    different pile geometries and whether the conven-
    tional p-y formula is an accurate qualitative tool for The authors wish to express their gratitude to Main-
    predicting lateral pile behaviour and lateral failure stream Renewable Power; Irish Research Council for
    mechanisms. This would suggest that there is merit Science and Technology (IRCSET); Science Founda-
    in pursuing a modified p-y approach to overcome the tion Ireland (grant number 10-RFP-GEO2895); and
    existing limitations of the API method. Enterprise Ireland for co-financing these field tests.
    The first author is grateful for funding received under
    (a) /DWHUDO'HIOHFWLRQ P (b) /DWHUDO'HIOHFWLRQ P the University College Dublin Chinese Scholarship
    0.3 0.3 Scheme.

    References
    -0.002 0 0.002 0.004 0.006 -0.01 0 0.01 0.02
    -0.2 -0.2
    Achmus M and Abdel-Rahman K. (2005). Design of
    monopile foundations for offshore wind energy
    plants. Proc. of the 11th International Conference
    'HSWK P

    'HSWK P

    -0.7 -0.7
    FEM FEM

    API API
    on Soil Mechanics and Geotechnical Engineer-
    -1.2
    ing.
    -1.2
    American Petroleum Institute (API). (2010). RP2A:
    Recommended Practice for Planning, Designing
    -1.7 -1.7 and Constructing Offshore Platforms, 18th edi-
    tion. Washington, DC: API.
    Det Norske Veritas (DNV). (2007). Offshore Stan-
    -2.2 -2.2 dard DNV-OS-J101: Design of Offshore Wind
    Figure : Pile deflections at loads of (a) 40kN; and Turbine Structures. Hovik: DNV.
    (b) 60kN Lesny K, Richwien W and Wiemann J. (2002)
    Grndungstechnische Randbedingungen fr den
    It is worth noting that the tests and analysis were Bau von Offshore-Windenergieanlagen in der
    conducted in partially saturated sand, where the piles Deutschen Bucht. Bauingenieur Band 77,
    underwent fully drained loading conditions. Future S. 431 438.
    work should consider the applicability of these find- Murchinson JM and ONeill MW. (1984). Evalua-
    ings to subsea conditions where the sand will be tion of p-y Relationships in Cohesionless Soil.
    fully saturated. "Analysis and Design of Pile Foundations" Pro-
    ceedings of a symposium in conjunction with the
    5. Conclusions and Future Research ASCE National Convention.
    Reese LC, Cox WR and Koop FD. (1974). Analysis
    The API approach is not able to capture the lateral of Laterally Loaded Piles in Sand. Proc of the VI
    loading response of piles in dense sand deposits. OTC. Dallas, Texas.
    However, accurately calibrated finite element mod- Tolooiyan A and Gavin K. (2011). Modelling the
    els are a possible means of predicting the load- Cone Penetration Test in sand using Cavity Ex-
    displacement response, although the analysis is quite pansion and Arbitrary Lagrangian Eulerian Finite
    sensitive to the input parameters, such as the K0 Element Methods. Computers and Geotechnics
    value. Further refinement of the model is required to 38:482490.
    capture the initial stiffness response.

    Laterally loaded piles that have a low slenderness ra-


    tio are likely to undergo toe displacements even

    464
    MODIFICATION OF THE API P-Y FORMULATION OF INITIAL
    STIFFNESS OF SAND
    D Kallehave, C LeBlanc Thilsted and MA Liingaard
    DONG Energy A/S, Fredericia, Denmark

    Abstract
    Monopiles are currently the preferred concept of support structures for offshore wind turbines. However, ex-
    periences from operating offshore wind farms indicate that the current design guidelines (e.g. American Pe-
    troleum Institute (API)) under-predict the soil stiffness for large-diameter monopiles. Due to the structural
    dynamic of a wind turbine, it is unconservative to both over-predict and under-predict the soil stiffness. Only
    an exact prediction is conservative. The objective with this paper is to introduce an approximate method for
    determining the soil stiffness of sand regarding large-diameter monopiles by modifying the initial stiffness of
    the API p-y formulation. The modification introduces both a stress level and a strain level correction derived
    on basis of sound theoretical considerations without introducing new empirical parameters. It has been shown
    by benchmarking with full-scale measurements from Walney offshore wind farm that the modified approach
    provides a more accurate determination of the total soil stiffness, although it is still under-predicted.

    1. Introduction shore wind turbines located in sand profiles in the


    Walney offshore wind farm (see Figure 1) reveal an
    The p-y curves evolved primarily from research in under-prediction of the wind turbine structures fun-
    the oil and gas industry, as the demand for large damental frequency of ~57%. Figure 1 shows the
    pile-supported offshore structures increased during relative frequency deviation (fRel) being the differ-
    the 1970s and 1980s. Research has included testing ence between the measured and predicted frequency
    of full-sized piles in sand under both static and cy- relative to the predicted frequency. Each dot repre-
    clic loading conditions. The p-y curves for piles in sents a 10min average measured value in the period
    sand described by Reese et al. (1974) and ONeill 15 August 2011 to 26 September 2011. The meas-
    and Murchison (1983) led to recommendations in ured frequencies are seen to drop slightly at high
    the American Petroleum Institute (API) standards wind speeds, which is most likely due to an in-
    for oil and gas installations (2011). In 2004 these creased load cycle amplitude at such wind speeds.
    recommendations were adopted in the Det Norske
    Veritas (DNV) standard (2004), which represents the Under most circumstances and particularly for static
    current state of the art for design of monopiles in the structures, under-predicting the stiffness is conserva-
    offshore wind industry. The p-y curves for piles in tive. However, because of the structural dynamic of
    sand were developed based on full-scale load tests a wind turbine, both over-predicting and under-
    on long, slender and flexible piles with a diameter of predicting the soil stiffness is unconservative. Only
    0.61m (Reese et al., 1974). In addition, they have an exact prediction is conservative. It must be em-
    been widely applied to relatively shorter and stiffer phasised that the p-y curves have never been devel-
    piles with diameters up to 6.0m in the offshore wind oped with the objective to accurately predict the soil
    turbine industry. stiffness for large-diameter piles.

    The impacts of applying p-y curves empirically de- The objective of this paper is therefore to present
    veloped outside the verified range can now be ob- modifications to the current p-y curves that result in
    served. Nacelle measurements from DONG En- a better prediction of the soil stiffness. From a com-
    ergys offshore wind turbines show that the funda- mercial point of view, under-predicting the soil
    mental frequencies are much higher than best- stiffness increases uncertainties, adds additional but
    estimate predictions using the API p-y formulation unnecessary costs to the industry and decreases the
    for piles in sand. This may be due to an under- feasibility of the monopile foundation. Moreover, in
    prediction of the soil stiffness. For example, full- the worst case it could have a negative influence on
    scale measurements for three randomly chosen off- the structural lifetime.

    465
    where A = 0.9 is a factor to account for cyclic load-
    ing; k is the initial modulus of sub-grade reaction ac-
    cording to Reese et al. (1974); z is the depth; and pu
    is the modified ultimate soil resistance, according to
    Bogard and Matlock (1980). It is given by:

     (2)

    where c1, c2 and c3 are factors depending on the in-
    ternal friction angle of the sand; D is the diameter of
    the pile; and is the effective soil weight. In the cur-
    rent formulation, the initial slope of the p-y curve is
    assumed to be:

    (3)
    The tangent hyperbolic shape of the p-y formulation
    was first suggested by Parker and Reese (1970) as
    the best fit of p-y curves to be described as a con-
    tinuous function providing a smooth transition be-
    tween the initial slope of the curve and the ultimate
    soil resistance. This shape then assumes that the deg-
    radation of stiffness as a function of increasing de-
    formation can be represented by the tangent hyper-
    bolic function. In addition, it can be assumed that the
    shape of the curve is scaled mainly through the ulti-
    mate soil resistance.

    ONeill and Murchison (1983) show that the cur-


    rently applied method is a best estimate after review-
    ing a database of full-scale load tests with diameters
    in the range of 51mm to 1.22m. They concluded that
    it could not reasonably be expected to under-predict
    static pile-head displacement by more than about
    70%, or static maximum moment by more than
    about 20%, although over-predictions in both cases
    can be higher. Over-predicting the pile-head dis-
    placement is equivalent to under-predicting the soil
    stiffness and would result in an under-prediction of
    the fundamental frequency of the wind turbine struc-
    ture, as shown in Figure 1.

    The API p-y curves for two different pile diameters


    is shown in Figure 2. They are D = 0.61m, which is
    equivalent to the pile diameter in the Mustang Island
    tests reported by Reese et al. (1974), and D = 6m,
    which is a typical pile diameter for offshore wind
    Figure 1: Relative frequency deviations from three offshore turbine monopile foundations. The p-y curves are
    wind turbines in the Walney offshore wind farm
    shown plotted for a depth of 8m and for an internal
    friction angle of 39 equivalent to the Mustang Is-
    2. Review of the API p-y formulation land test site. The considerations shown in Equations
    2 and 3 are directly observed in the figure.
    The API p-y formulation for piles in sand (API,
    2011), are based upon the recommendations from 2.1 Governing parameters
    ONeill and Murchison (1983) and Reese et al. A review of input parameters and the chosen shape of
    (1974). The lateral soil resistance (p) as a function of the API p-y curve is needed to identify short-comings
    the lateral deflection (y) are then assumed as: that could potentially explain why a larger soil stiff-
    ness is observed for large diameter piles, as shown in
    

    (1) Figure 1. The governing parameters are the ultimate
    soil resistance, the initial modulus of subgrade reac-

    466
    tion, the initial stiffness distribution with depth and proximately two times steeper for a 6m-diameter
    finally the representation of the strain level. pile than a 0.61m diameter pile for a deformation
    level of 1mm. It is easily observed form Figure 2
    that the API p-y formulation do not properly account
    for changes in strain levels in the soil as a result of
    diameter variations.

    Figure 2: The p-y curves for piles in sand: (solid line)


    D = 0.61m and (dashed line) D = 6m, with z = 8m

    2.1.1 Ultimate soil resistance


    Figure 3: Degradation of shear modulus as a function of shear
    Considering the ultimate soil resistance obtained
    strain: (hollow markers) D = 0.61m; (solid markers) D = 6m;
    from Equation 2, the expression represents the fail- () y = 0.02mm; () y = 1mm; () y = 5mm
    ure mode of shallow and deep soil layers. It is also a
    slight simplification of the ultimate soil resistance by The concept of considering the strain level in the soil
    Reese et al. (1974), which used large efforts to de- is supported by the diameter effects included in the
    rive a rigorous theoretical basis for ultimate soil re-
    p-y formulation for piles in clay (Stevens and Au-
    sistance. This basis accounts for the pile diameter,
    and it is currently assumed to be equally applicable dibert, 1979). Stevens and Audibert recasted existing
    to large-diameter piles. The formulations were p-y formulations for piles in clay with a dependency
    adopted by API and have long, proven track records on pile diameter. After reviewing a broader database
    from the oil and gas industry. Thus, in respect of ul- of load tests, including large-diameter piles, they
    timate soil resistance, the formulation by Reese et al. were able to derive an expression for the initial p-y
    (1974) is considered adequate in this paper for the slope increasing with the square root of pile diame-
    design of large-diameter piles, although they might ter. Later research has revealed that a gradual transi-
    turn out to be over-conservative. tion between the modulus reduction behaviour of
    sand and clay (e.g. Ishibashi and Zhang (1993) sup-
    2.1.2 Effects of strain level porting that a formulation similar to that of Stevens
    First, a lateral depth related to the diameter of the and Audibert) could potentially be equally applica-
    pile, in which strains are mobilised as, for example, ble for piles in sand.
    the concept in Terzaghi (1955) of bulb of pressure,
    is assumed. The average shear strain () mobilised 2.1.3 Initial sub-grade reaction modulus
    for a lateral pile movement (y) in the soil around the The applied initial sub-grade reaction modulus (k) is
    pile are given by Kagawa and Kraft (1980), after
    obtained from Meyer and Reese (1979) and is di-
    Matlock (1970):
    rectly evaluated from Reese et al. (1974). The initial

    (4) sub-grade reaction modulus is defined from the the-

    ory of linear elasticity (Terzaghi, 1955). Therefore,
    where is Poissons ratio. By keeping y constant, it when considering the behaviour of sand, it is appli-
    then follows that the shear strain decreases as the di- cable for very small strain levels (<105). This sug-
    ameter increases. Decreased shear strains yield an gests that in general the initial sub-grade reaction
    increase of soil shear modulus, which will effec-
    modulus should be applied when determining the
    tively increase the p-y stiffness as the diameter in-
    creases. This is shown in Figure 3 following the initial slope of the p-y curve. As shown in Figure 3,
    stiffness degradation approach given in Khouri the soil modulus is already affected for deformations
    (1984). The markers illustrate the concept for lateral larger than 0.02mm for the Mustang Island test setup
    deformations for a 0.61m and a 6m diameter pile, re- and reduced to ~50% for a deflection of 1mm. A lin-
    spectively. Following the results of Figure 3, the earisation of this part of the curve would therefore
    slope of the p-y curve should theoretically be ap- seem logical, although it would result in k being a

    467
    function of a specific strain level. In this paper, the It is the opinion of the authors that k should be con-
    initial sub-grade reaction modulus is not investigated sidered as the initial modulus of sub-grade reaction
    even though it could be subjected to variations not and hence a constant. However, the soil modulus
    accounted for in the API approach. In general an in should be evaluated based on the correct strain level.
    situ evaluation of k would yield more accurate re- It is therefore questionable if the API p-y formulation
    sults. is the best estimate for evaluating deformations of
    large-diameter piles when the choice of the shape of
    2.1.4 Initial stiffness profile the curve and n depends on a particular deflected
    The current p-y formulation assumes the initial stiff- shape of the pile.
    ness to increase linearly with depth, however, as is
    well recognised for sand, the response is governed 3. Suggestions for Modifications
    by the isotropic stress level. A common attempt to
    account for the influence of isotropic stress level can Based on this review of the governing parameters, the
    be made by expressing the soil modulus (E) as: API p-y formulation seems to provide a poor repre-
    sentation of the small strain stiffness variation with

    depth and the rate of stiffness degradation with in-
    (5)

    creasing shear strain. Considering the behaviour of
    other geotechnical structures, Clayton (2011) ana-
    where is the effective stress level; the value of lysed the deformation of a retaining wall by a range
    is a reference soil modulus; and
    is a reference of constitutive models. He concluded that high initial
    effective stress level for which . This formu- stiffness, coupled with stiffness degradation with in-
    lation is equally applicable to the shear modulus of creasing strain, is needed to mimic the pattern of ob-
    the sand (G). served ground surface movements for structures that
    take the soil to intermediate strain levels. Clayton also
    states that predicted displacement patterns are sensi-
    Much research has been carried out to determine the tive to most parameters, including very small strain
    variation of the small strain soil moduli E and G as a stiffness, rate of stiffness degradation, and anisotropy.
    function of the confining pressure. Hertz (1881)
    found that n = 0.33 for uniform spheres by applying A need for modification of particularly the small
    contact theory, and Goddard (1990) reported n = 0.5 strain stiffness variation with depth and the rate of
    for conical asperities. Based on measurements on real stiffness degradation with increasing shear strain
    soil Hardin and Richart (1963), Hardin and Black could be justified to obtain a more accurate determi-
    (1968) and Drnevich and Richart (1970) all suggested nation of the soil stiffness for large-diameter piles.
    applying n = 0.5 as a representative value. Consider- This justification could be based on the strain levels
    ing the range of values reported in the literature, Hry- observed in Figure 3 and the fact that the API ap-
    ciw and Thomann (1993) reported values of n ranging proach has been fitted to a particular deformation
    from 0.39 to 0.72 based on bender element tests on shape (Parker and Reese, 1970). As a matter of
    choice, it is proposed to maintain the overall format
    various sands. Wichtmann and Triantafyllidis (2009)
    of the API p-y formulation, but include an isotropic
    carried out 163 resonant column tests on 25 different stress level correction for the small strain soil
    grain size distributions of quartz sand with sub- modulus. In addition, a strain level correction is to
    angular grain shape. They found n ranging from 0.41 be included to account for the rate of stiffness deg-
    to 0.58, increasing with decreasing uniformity of the radation with increasing strain in the formulation of
    sand grains. Furthermore, Wroth et al. (1979) re- the initial stiffness. The proposed modifications take
    ported values of n to vary from 0.435 at very small their set-point from the Mustang Island tests (Reese
    strains, to 0.765 at very large strains. et al., 1974).

    Parker and Reese (1970) discussed the representa- 3.1 Depth effects
    tion of the initial stiffness of the p-y curve in a for- On basis of fundamental behaviour of sand, and using
    mat equivalent to Equation 5. They concluded that that is approximately proportional to z, it is rea-
    for a realistic problem, k and n may not be constants, sonable to assume that the formulation could be
    extended to account for the effective stress level by:
    but may be functions of a number of parameters, one
    of which is the deflection of the pile. Since the varia-
      (6)
    tion in soil modulus with depth may be approxi-
    mated by a straight line for a particular deflected where is a reference depth identified from the
    shape, the use of Equation 3 as a computational original formulation and n is a site specific parame-
    technique is valid. ter expected to be in the range of 0.40.7.

    468
    The deflections in the Mustang Island tests (Reese et where D0 is a reference diameter that is equal to the
    al., 1974) were primarily in the upper 5m (200 pile diameter used to derive the original formulation

    inches) of the soil, and the moment peak was ~2.5m D0 = 0.61m; is the initial soil stiffness; and m is
    (100 inches) below the seabed. Thus, if = 2.5m is a diameter exponent. Stevens and Audibert suggest
    used, then the modified formulation should remain applying m = 0.5 for clay. Tabulated values for m(y)
    consistent with the Mustang Island tests. This modi- have been included in Table 1 for realistic values of
    fication causes a slightly higher stiffness above z = y after the stiffness degradation approach by Khouri
    2.5m and a slightly lower stiffness below z = 2.5m. (1984) and for a pile diameter of 6m.
    The curves fitted for the Mustang Island tests in
    Reese et al. (1974) are reproduced in Figures 4 and Table 1: Diameter exponent for varying lateral displacement
    5. It is seen that the measured moment peaks were
    y [mm] 1.0 2.5 5.0 7.5 10.0
    actually above the predicted moment peaks. This
    supports the conclusion that the soil stiffness must M 0.29 0.41 0.52 0.58 0.63
    have been higher above =2.5m and lower below z
    = 2.5m. While this correction may have a small ef- Due to the nonlinear formulation of the stiffness
    fect on the Mustang Island results, the effective degradation, m is a function of the deformation
    stress correction is important when scaling to larger shape of the pile. Therefore, the highest values of m
    and stiffer piles, where layers of higher stress level are applied for the top soil layers in which the pile
    are mobilised. deformations are largest, and conversely, the smaller
    values are applied for lower soil layers. However, as
    a first approximation a constant value of m is as-
    sumed. By choosing m = 0.5, the stiffness of the top
    soil layers will be under-predicted while the stiffness
    of the lower layers will be over-predicted. It is there-
    fore estimated that this will be a representative value
    when evaluating the total soil stiffness.

    3.3 Modified formulation


    A modified formulation of the initial stiffness of the
    p-y curve therefore applies. Combining Equations 6
    and 7 gives:

      (8)

    Figure 4: Static Mustang Island test (Reese et al., 1974)
    where D0 = 0.61m and z0= 2.5m to ensure that the
    formulation is consistent with the Mustang Island
    tests. The modified formulation accounting both for
    strain and stress level dependency is illustrated in
    Figure 6 for a pile with D = 6m, together with the
    individual contributions to the modified stiffness.
    The figure is plotted for m = 0.6, as this value has
    been used in the benchmark study in section 4.

    For completeness, the unmodified API p-y curve il-


    lustrated in Figure 2 is reproduced and plotted to-
    gether with the modified p-y curves in Figure 7.
    They are plotted in a depth of 8m, which is below
    the reference depth. Hence the initial stiffness of the
    Figure 5: Cyclic Mustang Island test (Reese et al., 1974)
    p-y curve for the D = 0.61m pile decreases, whereas
    the initial stiffness of the D = 6m pile increases. Ap-
    3.2 Strain level effects plying Equation 8 instead of Equation 3 is therefore
    The approach by Stevens and Audibert (1979) sug- expected to give a more accurate evaluation of the
    gest the diameter to be included in the formulation as: soil stiffness, and hence the fundamental frequency
    of wind turbine structures supported by monopile


    (7) foundations.

    469
    cal parameters. It has been found that the proposed
    modifications provide a better prediction of the fun-
    damental frequency, although they have only been
    verified for structures within one wind farm.

    Figure 6: Modified p-y stiffness with D = 6m: (Solid thin line)


    Equation 3; (dotted-dashed line) Equation 6; (dashed line)
    Equation 7; (thick solid line) Equation 8, m = 0.6.

    Figure 7: The p-y curves for piles in sand: (solid lines) D =


    0.61m; (dashed lines) D = 6m and X= 8m; (thin lines) unmodi-
    fied API p-y curve; (thick lines) modified API p-y curve

    3.4 Benchmark study of full-scale measurements


    To validate Equation 8, the modification of the API
    p-y formulation has been benchmarked against full-
    scale measurements from the same three wind tur-
    bines in the Walney offshore wind farm (see Figure
    1). The results are shown in Figure 8 assuming m =
    0.6. In general, the modified p-y formulation gives a
    better prediction of the fundamental frequency and
    hence the total soil stiffness, although it still under-
    estimates the fundamental frequency with ~24%.
    Based on the current level of knowledge, it is unwise
    to assign the evaluated effects in the modified ap-
    proach higher importance. More detailed analysis
    and in situ measurements are needed to determine
    and understand the complexity in the results and the Figure 8: Benchmark of modified p-y formulation using
    effects causing the remaining stiffness. Equation 8 with full-scale measurements

    3. Discussion and Future Works A site-specific evaluation of the governing parame-


    ters k, m and n might therefore be required when
    The proposed modifications to the API p-y formula- considering other structures. The current tuning has
    tion have been derived on basis of theoretical con- only been made considering the total soil stiffness
    siderations without the introduction of new empiri- and a constant strain level correction has been as-

    470
    sumed. However, it should be noted that a strain During periods with high mean wind speed, a de-
    level correction depending on the deflection of the crease of the fundamental frequency is observed. As
    pile would be more accurate. The resultant p-y soon as the wind speed decreases, the fundamental
    curves have not been compared to experimental de- frequency increases to the same value as previously
    termined p-y curves for large-diameter piles. This is observed for similar wind speed. This is expected to
    necessary to increase robustness of the proposed be directly related to the variations of soil stiffness.
    modification. Therefore it is only recommended to Based on this consideration and the current level of
    extend the formulation to other sites if more detailed knowledge, degradation of soil stiffness has not been
    investigations and site-specific parameters are taken observed.
    into account.
    Therefore, the proposed modifications of the API p-
    The results presented in Figures 1 and 8 only covers y formulation provide a more accurate yet conserva-
    a period of one and a half months within the first tive approach in the determination of the total soil
    years of the Walney offshore wind farm lifetime. It stiffness than the unmodified approach. It is also be-
    could therefore easily be argued that the fundamen- lieved that the soil stiffness will not degrade with
    tal frequency of the wind turbine structures would time. This hypothesis will need to be verified by
    decrease over time due to cyclic degradation of the longer data records.
    soil. This is why application of a stiffer soil response
    should only be done with great caution. Although 4. Conclusion
    based on a five-month long record of the fundamen-
    tal frequency for more wind turbines and corre- The current API p-y formulation was found to sig-
    sponding wind speeds, it has been found that varia- nificantly underestimate the stiffness of sand. An at-
    tions in the fundamental frequency are due to tempt was made to derive corrections to the initial
    variations in the wind speed, as illustrated in Figure stiffness of the API p-y curve by adding both a
    9. stress-level and a diameter correction. These correc-
    tions were derived on basis of sound theoretical con-
    siderations without the introduction of new empiri-
    cal parameters.

    The modified p-y formulations were benchmarked


    against three randomly chosen wind turbine struc-
    tures on the Walney offshore wind farm. Measure-
    ments of the fundamental frequency showed that
    they provide a better estimate of the total soil stiff-
    ness, although the best-estimate fundamental fre-
    quency still under-predicts the actual frequency of
    the structures.

    Benchmarking with full-scale measurements for


    large-diameter piles is found to be the best approach
    for a possible reformulation of the currently applied
    API p-y formulation. However, the proposed modi-
    fications must be benchmarked with full-scale
    measurements from structures within more offshore
    wind farms. In addition, the theoretical p-y curves
    must be compared with experimental p-y curves ob-
    tained from large-diameter piles before a complete
    and rigorous p-y formulation can be obtained. Nev-
    ertheless, it is a fact that the actual soil stiffness is
    under-predicted by the actual approach and that the
    modified formulation provides a better prediction of
    the measured fundamental frequency of the struc-
    tures.

    Finally, long-term effects were considered based on


    Figure 9: (Top) Evaluation of long-term variation of the rela- the currently available data covering a five-month
    tive 1hr average fundamental frequency for one offshore wind period. It was concluded that the soil stiffness is not
    turbine; (bottom) corresponding wind speed expected to degrade over time, although longer time-
    series is needed to verify this.

    471
    References port No. 117-2. Austin, TX: Center for Highway
    Research, The University of Texas at Austin.
    American Petroleum Institute (API) and Internation- Reese L, Cox WR and Koop FD. (1974). Analysis of
    al Organization for Standardization (ISO). (2011). laterally loaded piles in sand. OTC 2079. Proc.
    ANSI/API Specification RP 2GEO. Geotechnical Offshore Tech. Conf., Houston, USA.
    and Foundation Design Considerations for Off- Stevens JB and Audibert JME. (1979). Re-
    shore Structures. Washington, DC: API. examination of p-y curve formulations. 11th An-
    Bogard D and Matlock H. (1980). Simplified calcu- nual Offshore Technology Conference, Houston,
    lation of p-y curves for laterally loaded piles in USA.
    sand. Unpublished Report. Houston: The Earth Terzaghi K. (1955). Evaluation of coefficients of
    Technology Corporation, Inc. subgrade reaction. Gotechnique 5: 297326.
    Clayton CRI. (2011). Stiffness at small strain: re- Wichtmann T and Triantafyllidis T. (2009). Influ-
    search and practice. Gotechnique 61: 537. ence of the grain-size distribution curve of quartz
    Det Norske Veritas (DNV). (2004). DNV-OS-J101 sand on the small strain shear modulus Gmax.
    Offshore standard: Design of offshore wind tur- Journal of Geotechnical and Geoenvironmental
    bine structures. Hellerup, Denmark: DNV. Engineering 135: 14041418.
    Drnevich VP and Richart Jr FE. (1970). Dynamic Wroth CP, Randolph MF, Houlsby GT and Fahey
    prestraining of dry sand. Journal of Soil M. (1979). A review of the engineering properties
    Mechanics and Foundations Div 96: 453467. of soils with particular reference to the shear
    Goddard JD. (1990). Nonlinear elasticity and modulus, Report CUED/D-SOILS TR75. Cam-
    pressure-dependent wave speeds in granular bridge: University of Cambridge.
    media. Proc R Soc London 430:105131.
    Hardin BO and Black LB. (1968). Vibration
    modulus of normally consolidated clay. Journal of
    the Soil Mechanics and Foundations Div 94: 353
    369.
    Hardin BO and Richart Jr FE. (1963). Elastic wave
    velocities in granular soils. Journal of the Soil
    Mechanics and foundations Div 89: 3365.
    Hertz H. (1881). ber die Berhrung fester
    elastischer Krper. Journal fr reine und
    angewandte Mathematik 92: 156171.
    Hryciw RD and Thomann TG. (1993). Stress-
    history-based model for of Cohesionless soils.
    Journal of Geotechnical Engineering 119: 1073
    1093.
    Ishibashi I and Zhang X. (1993). Unified dynamic
    shear moduli and damping ratios of sand and clay.
    Soils and Foundations 33: 182191.
    Kagawa T and Kraft LM. (1980). Lateral load-
    deflection relationships of piles subjected to dy-
    namic loadings. Soils and Foundations 20: 2040.
    Khouri NQ. (1984). Dynamic properties of soil,
    MSc thesis, Department of Civil Engineering,
    Syracuse University.
    Matlock H. (1970). Correlations for design of later-
    ally loaded piles in soft clay. OTC 1204. Proc.
    Offshore Tech Conf, Houston, USA.
    Meyer BJ and Reese LC. (1979). Analysis of single
    piles under lateral loading. Research report No.
    244-1. Austin, TX: Center for Transportation Re-
    search, The University of Texas.
    ONeill MW and Murchison JM. (1983). An evalua-
    tion of p-y relationships in sands. Research Rep.
    No. GT-DF02-83. Houston: Department of Civil
    Engineering, University of Houston.
    Parker Jr F and Reese LC. (1970). Experimental and
    analytical studies of behaviour of single piles in
    sand under lateral and axial loading. Research Re-

    472
    A MODEL STUDY OF HOW PRE-DRILLING AFFECTS
    DISPLACEMENT PILE CAPACITY IN STIFF CLAYS

    Ana Carneiro
    DONG Energy, UK
    Formerly at Imperial College London, UK
    Richard Jardine
    Imperial College London, UK

    Abstract
    Premature refusal can pose a threat to driven pile installation. One contingency measure that has been applied
    is pre-drilling ahead of the pile tip to ease driving. While some practitioners may assume that carefully con-
    ducted drilling will not give any adverse effect, little evidence is currently available to assess the possible im-
    pact on long-term axial capacity. This paper describes a standard gravity (1g) small-scale model laboratory
    study in which 18 small closed-ended piles were jacked into constrained 300mm cubes of stiff high overcon-
    solidation ratio (OCR) natural London clay, with and without pre-drilling. Four control piles were also in-
    stalled without any boring. Pile loading tests performed after appropriate equalisation periods showed that
    pile capacity reduced systematically as the ratio of the drill hole-to-pile solid area ratio increased. The model
    experiments showed comparable reductions in capacity to those in earlier model and field studies on soft
    Mexico City clays. An effective stress analysis is suggested to help the application of the model tests to other
    soils types and pile geometries. Capacity reductions are concluded to be likely when pre-drilling is performed
    in highly overconsolidated offshore clays. The results have implications for both new piling operations in ex-
    ceptionally hard clays and the re-analysis of existing installations in a broader spread of soil types, where re-
    fusal may have resulted from pile hammer capacity limitations.

    1. Introduction One perceived problem with the procedure was its


    potential impact on the critical static axial capacity
    1.1 Use of pre-drilling to ease pile installation of the installed piles. Practical steps can be taken to
    Driving refusal has been encountered frequently dur- minimise drilling disturbance (see McClelland et al.,
    ing offshore foundation pile installation. One field 1969; Sullivan and Ehlers, 1973). However, little
    contingency measure applied to achieve target pene- clear evidence exists to quantify the impact on ca-
    tration with tubular piles has been pre-drilling ahead pacity of pre-drilling, particularly with very hard
    of the tip to ease driving. Other steps have included clays. This uncertainty has also to be faced when re-
    air-lifting, jetting and drilling out of the pile core. analysing existing foundations where pre-drilling
    The development of more powerful hammers and had been applied to ease pile driving.
    improved driveability predictions has reduced the
    incidence of refusal events, but consideration still Pre-drilling has also been used widely to reduce ur-
    has to be given to this possibility when dealing with ban pile driving vibration disturbance, particularly in
    unusually hard or dense materials. For example, Ev- Mexico City. Model experiments have shown that
    ans et al. (2010), Aldridge et al. (2010) and Jardine pre-boring does affect the axial capacity of friction
    et al. (2011) discuss how drilling ahead was consid- piles driven into very soft, very high plasticity Mex-
    ered in the initial design and later in the foundation ico City clays, as supported by field studies (Saldi-
    assurance plans. The plans were developed for the var and Jardine, 2005). Figure 1 presents the results
    2.59m-diameter (8595mm wall thickness) platform from model pile tests by Rojas (1993), which in-
    piles driven to 29m penetration in the very hard cludes his interpreted linear global trend line. While
    Clair field tills encountered West of Shetland (UK). a negative effect is clear, the data are scattered,

    473
    though the results may have been affected by the tinuously during installation, and during slow pile
    range of pile cross-sectional shapes considered. loading that was performed after extended equalisa-
    tion periods. The main aim was to find how the re-
    1.1
    Triangular piles
    sistances to penetration (during installation), and
    1.0
    0.9 Circular piles
    how the subsequent static shaft capacities are af-
    0.8
    Square piles
    fected by the ratio of the pre-bore cross sectional
    0.7
    area to that of the solid pile (APB/AP).
    Pu/Pus

    0.6
    0.5
    0.4
    0.3
    2.2 Procedures
    0.2
    Pu- Max pile load without preboring
    The clay employed for testing was sampled in 2003
    0.1
    0.0
    Pus- Max pile load with pre-boring from open excavations as two large, high-quality
    0.0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 (hand-carved) block samples. The sampling was part
    APB / Ap of the Imperial College/Heathrow Terminal 5 Lon-
    Figure 1: Influence of preboring diameter on the bearing ca- don clay research project (Gasparre et al., 2007;
    pacity of friction piles after Rojas (1993) Hight et al., 2007; Nishimura et al., 2007). The
    blocks had been sealed carefully on site with multi-
    Given the present uncertainty, Evans et al. (2010) ple layers of cling film and wax. Expanding polyure-
    considered that field scale tests in appropriate soils, thane foam had been injected to fill all spaces be-
    or advanced numerical analyses, would be necessary tween the samples and their rigid encasing plywood
    to evaluate the possible impact of pre-drilling on ax- boxes. The boxes were stored undisturbed until their
    ial capacity in the hard low plasticity Clair field tills. upper top plates were opened for testing by gently
    This paper describes a simple 1g small-scale labora- releasing their securing screws. The rest of the sam-
    tory study conducted on closed-ended model piles to ple in each box remained intact and rigid. Table 1
    give a preliminary view of potential pre-drilling ef- gives details of the overall testing programme.
    fects in stiff high OCR clays.
    Table 1: Overall testing programme
    2. Experiments and Procedures Test and drill hole Tip depth Dates

    2.1 Testing objectives and scheme Ref Diameter (mm) Installa- Static test
    (mm) tion
    The key objective was to undertake load tests to
    C1 control 235.00 12/07/10 13/07/10
    failure on a statistically significant number of piles
    C2 control 228.00 19/07/10 20/07/10
    installed with a range of pre-bore sizes. A total of 18
    D1 3.15 224.50 07/07/10 08/07/10
    installations were made with 7.83mm-diameter,
    closed-ended roughened brass piles. The cone-tipped D2 4.75 228.50 16/07/10 19/07/10
    piles, illustrated in Figure 2, were air-abraded before D3 6.35 230.00 14/07/10 16/07/10
    installation to give centre line average (CLA) D4 3.95 227.00 14/07/10 17/07/10
    roughnesses of around 10m, which is typical of in- D5 4.75 223.00 09/07/10 10/07/10
    dustrial piles. They were jacked into constrained D6 7.95 228.50 15/07/10 15/07/10
    300mm cubes of stiff, highly overconsolidated (high D7 3.15 232.50 30/06/10 01/07/10
    OCR), plastic natural clay, with final tip penetra- C3 control 221.8 20/07/10 21/07/10
    tions of around 220230mm. C4 control 225.0 24/07/10 26/07/10
    D8 6.95 233.8 21/07/10 22/07/10
    D9 7.95 227.6 27/07/10 28/07/10
    D10 6.95 224.5 29/07/10 30/07/10
    D11 6.95 228.5 22/07/10 23/07/10
    D12 6.35 224.1 23/07/10 24/07/10
    Figure 2: Overall dimensions of brass test piles D13 3.95 226.8 26/07/10 27/07/10
    D14 4.75 228.0 29/07/10 31/07/10
    Fourteen of the installations involved advancing co-
    axially into holes that had been pre-drilled to
    190mm. The pre-drilled holes had a range of diame- Grids of pile installation locations were then marked
    ters between 3mm and 8mm. Four further control out as shown schematically in Figure 3. The pile-to-
    piles were installed without any pre-boring. The pile pile and pile-to-wall spacings were kept at 75mm,
    head loads and displacements were monitored con- just below 10 pile diameters. At these spacings, in-

    474
    teractions between piles and with the boundaries The block samples were positioned within the load-
    should be minimal. Prior to each test, the relevant ing frame so that the intended pile installation loca-
    block was taken to the laboratory workshop, and a tion lay on the machines axis. Eight out of nine in-
    guided vertical drill tool used to bore the single stallations involved an eccentric configuration, and
    borehole required for the installation. Spirit levels so clamps were applied to fix the block rigidly be-
    were employed to ensure a vertical approach, and fore the pile installation commenced. As shown in
    the drilling was advanced with minimal vertical Figure 4, the model pile was attached to an axial
    thrust to avoid disturbance. The flights of the drill load cell and a loading collar, and the conical tip
    bits were cleaned carefully between successive drill was located into the pre-bore hole or, in the case of
    advances and retreats to avoid any tendency to dis- the control piles, positioned with its tip in the starter
    place, rather than remove, the clay. In cases where hole. A long-displacement linear variable differen-
    no pre-bore was required, a nominal small-diameter, tial transformer (LVDT) was mounted on the pile
    shallow-depth starter hole was made to aid the pile and the installation commenced. The two lubri-
    positioning. The open borehole was covered with cated piles installed into 7.95mm-diameter holes
    cling film, and the block was taken to the tempera- were coated with silicone grease before jacking into
    ture controlled laboratory and mounted within the nominally oversized holes. This step minimised the
    loading frame arrangement illustrated in Figure 4. shaft resistance (Qs) and facilitated the identification
    of the base resistance (Qb).

    The piles were installed by advancing the motorised


    loading ram at 0.05mm/s. Care was taken to ensure
    the pile and hole were vertical and to minimise non-
    coaxiality between the piles and boreholes. Jacking
    had to be halted twice during each installation to re-
    set the loading ram. The brief pauses had no clear ef-
    fect on the load-penetration curves, which simply re-
    turned to their former trends. The pre-bored piles
    showed a marked load pickup between their pre-bore
    end and their final penetration depths. Freshly
    melted wax was applied around the top of the pile
    after installation to prevent drying during subsequent
    equalisation and load testing.

    Estimates were made for the time (t) required to


    Figure 3: Scheme of pile tests; plan view of blocks achieve full equalisation of pore pressures and total
    stresses after installation. Linear consolidation solu-
    tions give t = Tv r2/cv, where a conservative estimate
    for the effective coefficient of consolidation (cv) is
    1m/year. Subsequently, assuming a time factor (Tv)
    of 50, for piles of this radius (r), full equalisation is
    reached after around 6hr. With the exception of test
    D6 (which was left for 12hr) all test piles were left
    to rest for periods of 1 to 3 days to ensure full stabi-
    lisation.

    After completing their equalisation stages, the piles


    were load tested to failure by advancing the loading
    ram to achieve a total pile head settlement of up to
    2mm (25% of the diameter) under nominally con-
    stant rates of penetration. System compliance led to
    slightly different rates of pile head settlement. The
    load-displacement traces typically showed peaks
    that developed around 2030min into each test, with
    Figure 4: Equipment for installing and load testing piles displacement rates around 0.0002mm/s, which were
    approximately 1/250 times slower than were applied

    475
    during installation. The pile top was re-sealed with 1) and 270kPa (block 2). Sample size effects may
    melted wax after each test, and the block was pre- also have been influential.
    pared for its next installation. Some re-testing of
    piles was performed to check for possible ageing ef-
    fects over the three-week experimental period.
    These proved to be negligible. The blocks were later
    dissected to inspect the soil fabric and soil-pile inter-
    face zone, as well as perform index and 38mm-
    diameter triaxial tests.

    3. Characteristics of Soil Samples

    The blocks utilised were sampled from Unit C2 of


    the London clay at 16.5m Ordnance Datum Newlyn
    (ODN), about 6.5m below the original ground sur-
    face (Gasparre et al., 2007; Hight et al., 2007; Ni- Figure 5: Effective stress paths from undrained unconsolidated
    tests on samples from undisturbed regions of blocks 1 and 2
    shimura et al., 2007). Surveys undertaken in 2003 at
    this level indicated a stiff fissured, highly overcon-
    solidated clay with mean plastic (PL) and liquid (LL) It is not thought that any appreciable loss of satura-
    limits of around 27% and 66%, and with in situ wa- tion had occurred over this period. Calculations
    ter contents falling a little below the PL. The samples based on the average measurements results and the
    contained occasional shells and other hard inclu- isotropic swelling slope ( = e/lnp, or 0.021)
    sions. measured by Gasparre et al. (2007) suggest that av-
    erage water content reductions since 2003 of just
    If the clay were fully saturated, then the careful 0.6% would be sufficient to explain the 2010 test re-
    block sampling would have involved no significant sults.
    disturbance and the soils response to stress release
    could be considered as ideally elastic. In addition, It is recognised that suctions can increase during
    the mean effective stresses (p) developed under sample preparation and test assembly. The triaxial
    undrained triaxial conditions and isotropic cell pres- test suctions therefore could have been higher than
    sure would match both the block samples suction those applying in the blocks during the pile tests.
    values and the clays in situ p values (e.g. Hight et The effective stress paths developed in the 2010
    al., 2007). The shear strength (Su) depended on the tests indicated slightly lower peak q/p ratios
    p values and on whether fissures were present in (around 1) than the tests in Gasparre et al. (2007) at
    test specimens. The test Su values could therefore the original effective stress levels, which gave q/p
    vary with sample size. The 2003 measurements around 1.2 for those that were not affected by fis-
    made on blocks and rotary cores of p and triaxial sures. Considerable brittleness was evident, with
    undrained S gave averages around 100kPa and weak residual shear surfaces forming post-peak on
    200kPa, respectively, on 100mm-diameter speci- slip planes.
    mens samples at this level.
    4. Presentation and Discussion of Results
    Tests carried out in 2010 for the present pile ex-
    periments indicated mean PL = 28.5% and LL = 4.1 Installation
    72.5%, while the water content measurements were Examples of the load-displacement trends seen dur-
    more scattered. The 38mm-diameter triaxial tests ing installation are presented in Figure 6. The results
    showed that Su and the average suction were higher show some scatter, which reflects both sample het-
    (as a result of seven years of storage from 2003 to erogeneity and testing technique. As the latter gen-
    2010), increasing to around 245kPa and 455kPa, re- erally improved with time, the authors present first
    spectively. Block 1 was generally weaker, showing the data from block 2. However, results from the
    smaller gains in p and Su than block 2. Figure 5 tests on both blocks are presented in the later dia-
    shows the effective stress paths (in Cambridge co- grams, showing the same overall trends.
    ordinates) from undrained unconsolidated tests con-
    ducted with pore pressure measurement on 38mm- The piles with larger pre-bores generally gave lower
    diameter samples from undisturbed regions of installation resistances and larger jumps as they ap-
    blocks after testing, giving mean Su = 215kPa (block proached the 190mm base-of-hole depth. The piles

    476
    lubricated with silicone grease before installation in Installation
    Block 1 & 2 Block 1
    7.95mm-diameter pre-bores showed minimal resis- 1.8
    tance down to 190mm. Data from their final pushes 1.6
    Block 2

    dQ/dL / dQ/dL(control) )
    gave base resistances Qb = 120N for block 1 and 1.4

    175N for the stronger block 2. Dividing these values 1.2

    by base areas and mean triaxial Su values gives re- 1.0

    spective values for the bearing capacity factor (Nc) of 0.8

    0.6
    12.1 and 13.5. Although Nc = 9 is commonly as- 0.4
    sumed, Chow (1997) found higher values in all the in- 0.2
    strumented field case histories reviewed, while Bond 0.0
    and Jardine (1989) recorded Nc 16 in instrumented 0.0 0.2 0.4
    APB / Ap
    0.6 0.8 1.0

    field pile tests in stiff fissured London clay at Canons


    Figure 7: Pile head load-penetration gradients, normalised by
    Park.
    control test values, assessed across 50180mm penetration
    Load (N) Control C4
    0 100 200 300 400 500 600 700 800 900 1000
    range and plotted against APB/AP
    0
    Control C3

    Hole D13 (3.95 mm)


    Installation
    Hole D14 (4.75 mm) Block 1 & 2 Block 1
    50
    1.8
    Hole D8 (6.95 mm) Block 2
    1.6
    Displacement (mm)

    Hole D12 (6.35 mm)


    100 1.4

    Qs/Qs (control)
    Hole D11 (6.95 mm)
    1.2
    Hole D10 (6.95 mm)
    1.0
    150
    0.8

    Lubricated 0.6
    200 pile
    0.4

    0.2

    250 0.0
    0.0 0.2 0.4 0.6 0.8 1.0
    Figure 6: Pile head load-penetration depth trends followed in APB / Ap
    nine pile installations on block 2
    Figure 8: Pile shaft resistances at end of installation, normal-
    ised by control test values and plotted against APB/AP
    The total load (Q) curves show slopes that are rela-
    tively steady between 50mm and 180mm penetra- 4.2 Static loading
    tion (L). The dQ/dL gradients observed over the Static load tests were performed on all piles. As with
    latter part of this range, divided by the pile circum- the installation data, the general trends seen in the
    ference (D), give a measure of the average shaft block 2 tests are illustrated first and summarised in
    shear resistances (rz) mobilised towards the end of Figure 9. The load-displacement curves are
    installation. Figure 7 plots dQ/dL for all tests (apart interpreted as showing small peaks in shaft
    from the lubricated piles) against APB/AP. The re- resistance after displacements of 0.150.60mm,
    sults are normalised by the average of the three followed by some growth in overall resistance as the
    control tests. base capacity is mobilised. In this paper, the ultimate
    shaft resistances are interpreted by deducting the Qb
    The first trial test on block 1 has been excluded, as it values measured with the lubricated piles during
    was not fully successful. The results show scatter installation, from the total resistances observed after
    due to differences between the two blocks, hetero- 1mm of head settlement. It is clear that the piles with
    geneity within each block and potential limitations larger pre-bores have lower total and shaft capaci-
    of the testing procedures. The trend line shown has ties. The lubricated pile installed in a 7.95mm-
    been found from a regression that was constrained to diameter hole has almost no shaft capacity.
    give a normalised resistance of unity at APB/AP = 0.
    It also happens to pass close to the value interpreted The static testing results are also presented in Fig-
    for the Mexico City clay tests (0.6) at APB/AP = 0.8 ures 10 to 12, which consider: the trends for shaft
    (see Figure 1). The penetration data can also be con- capacities related to the respective control values
    sidered by taking the final shaft resistance values, (Figure 10); the equivalent mean alpha values found
    computed after deducting the end resistances and in static testing, where = rz/Su and Su is based on
    plotting these against APB/AP. This leads to the simi- the triaxial tests for each block (Figure 11); and the
    lar, but slightly less scattered normalised trends trends for static shaft resistance values compared to
    shown in Figure 8. those developed during installation (Figure 12).

    477
    Generally, Figures 10 and 11 show broadly the same
    trends as the installation data. The static resistance is
    20% 10% lower than the installation value in all
    cases. This is probably due to a combination of the
    equalisation processes applying in this high OCR
    clay and the potential rate effects resulting from the
    relatively fast jacking installation rates, compared to
    the static testing stage displacement rates. Bond and
    Jardine (1995) found that displacement rate effects
    could influence shaft capacity by around 5% per log
    cycle, suggesting a 12% rate effect on shaft resis-
    tance in this case. Figure 12 indicates a trend for the
    Figure 9: Pile head load-displacement behaviour from static
    loading tests on nine piles installed in block 2
    static shaft capacity-to-installation shaft resistance
    ratio to reduce with APB/AP.
    Static Load
    Block 1 & 2 Block 1 The model tests could not cover open-ended piles.
    1.8
    Block 2
    Suitably thin-walled tubes would be very hard to
    1.6
    1.4 make and would very likely plug at an early stage
    Qs/Qs (control)

    1.2 Rojas 1993 during installation. However, it may be possible to


    1.0
    0.8
    apply the closed-ended results to open, fully-coring,
    0.6 tubular piles by simply substituting the solid area of
    0.4 the pile walls in the APB/AP ratio. For the 2.59m-
    0.2
    0.0
    diameter, 90mm wall thickness Clair piles described
    0.0 0.2 0.4 0.6 0.8 1.0 earlier, a 600mm pre-bore diameter would give a
    APB / Ap mid-range APB/AP = 0.4 value, for which the loss of
    Figure 10: Pile shaft resistances during static loading, normal- static shaft capacity would amount to about 30% in
    ised by block 2 control test values and plotted against APB/AP Figure 10.

    4.3 Effective stress evaluation


    Axial shaft factor Block 1
    0.7 An effective stress evaluation can be made of the
    0.6 Block 2 model tests, by considering the two special cases of:
    0.5
    0.4 x full displacement pile installation, applying

    0.3 the Imperial College Pile (ICP) clay proce-


    0.2
    dures described by Jardine et al. (2005); and
    0.1
    0.0
    x neutral or wished-in-place installation,
    0.0 0.2 0.4 0.6 0.8 1.0 where APB/AP is close to unity and any minor
    APB / Ap drilling disturbance effects are cancelled out
    Figure 11: Equivalent pile shaft alpha values developed during by any slight outward displacement of soil
    static loading plotted against APB/AP
    during pile penetration jacking into the pre-
    Qsstatic/ Qs(instal) vs Area ratio
    bored hole.
    Block 1 & 2

    1.8 Block 1 The details of the roughness, straightness and distur-


    1.6
    Block 2
    bance of the borehole wall, along with drilling fluid
    1.4
    effects, would be highly likely to influence the out-
    Qsstatic/ Qs(instal)

    1.2
    1.0
    comes of any tests or field installations involving
    0.8 APB/AP close to unity, leading to highly variable re-
    0.6 sults. The neutral analysis is instead considered as
    0.4
    a hypothetical limit for piles with APB/AP < 1.
    0.2
    0.0
    0.0 0.2 0.4 0.6 0.8 1.0 The ICP calculations performed assumed that the
    APB / Ap constraining influence of the sample sealing cling-
    Figure 12: Pile shaft resistances during static loading, normal- film layers and the foam packing had no effect. The
    ised by initial end of installation values and plotted against average suction measured in each block after pile
    APB/AP testing (420kPa and 470kPa in blocks 1 and 2, re-

    478
    spectively) were assumed as the initial free-field Static Load
    Block 1 & 2
    vertical effective stresses (v0). A vertical yield 900.0

    stress (vy) of 1MPa (giving a yield stress ratio of 800.0


    Block1
    Block2
    2.27) and a stress sensitivity of 2.3 were taken from 700.0 Predictions
    ICP KC Predictions
    Gasparre (2005) interpretation of intact and reconsti- 600.0
    KC=K0

    Qs(N)
    500.0
    tuted oedometer tests on samples from the same C2 400.0
    unit. The sensitivity was adjusted marginally (as 300.0

    recommended by Gasparre, 2005) to allow for the 200.0

    assumed suction increases developed during storage. 100.0


    0.0
    0.0 0.2 0.4 0.6 0.8 1.0

    Bond and Jardine (1995) show that displacement APB / Ap


    pile installation sets up residual shear surfaces in Figure 13: Shaft resistances from static tests on blocks 1 and 2
    London clay that are later exploited during subse- compared to linear trends derived from effective stress inter-
    quent load testing to failure. Inspection of the clay pretation
    blocks after testing confirmed that smooth striated The Qs values deduced from the pile load tests are
    residual shear surfaces had been created close to the plotted in comparison with the effective stress esti-
    shaft or at the pile-soil interface. The effective stress mates for blocks 1 and 2 in Figure 13 (excluding the
    analysis had to capture this key physical phenome- data from the lubricated piles). While the data are
    non. With this in mind, the ultimate interface shear scattered, the effective stress predictions appear to
    angle was taken as ult = 9o. This was based on the be reasonable and run roughly parallel to the general
    average of matching interface ring shear tests on trend. The calculations are, however, critically de-
    London clay at similar stress levels by Bond and pendent on the values adopted for the initial block
    Jardine (1995), who found 10o, and the 8o noted by suctions and the ultimate effective interface shear
    Narayana (2010) in ring shear interface tests on angle.
    London clay from Heathrow Terminal 5. The ICP
    closed-ended shaft capacities given for the afore- The effective stress treatment outlined earlier could
    mentioned parameters (with ult = 9o) and the model be applied tentatively to open-ended coring piles by
    pile shaft dimensions are 482N and 415N for blocks substituting their solid cross-sectional area into the
    1 and 2, respectively. The second neutral capacity APB/AP ratio and adopting the Kc expressions speci-
    calculation assumed that the radial effective stresses fied for open-ended piles in the ICP approach. How-
    acting after perfect installation would be rc = r0 ever, full-scale tests, or sophisticated strain path (or
    and would match the suction in each block. Calcu- other) numerical analyses, may be required to give
    lating that loading to failure leads to rf/rc = 0.8 further confirmation of the potential differences in
    (as in the ICP procedure for displacement piles) and the effects of pre-coring on open- and closed-ended
    taking ult = 9o again leads to neutral shaft capaci- piles.
    ties of 280N and 325N for blocks 1 and 2, respec-
    tively. 5. Summary and Conclusions: Implications of
    Pre-Boring
    Adopting the linear relationship suggested by Fig-
    ures 1 and 12 between the two special cases for The small-scale model tests described in this paper
    APB/AP = 0 and 1.0 allows estimates to be made for show four primary results:
    local shear capacity in pre-bored sections. This is
    done by adding a proportional reduction factor (Rf) x Pre-boring reduced the soil resistance to in-
    to the effective stress calculations: stallation in stiff high OCR London clay by a
    factor of up to 2.
    f = Rf 0.8 Kc v0 tan ult (1) x The reduction factor grew systematically
    with the ratio of pre-bore-to-pile cross-
    Rf = 1 + APB/AP (K0/Kc 1) (2) sectional areas (APB/AP).
    x Pre-boring reduced long-term static shaft ca-
    where the Kc and K0 values depend on numerous fac- pacity in a similar, though possibly more
    tors (local relative pile tip depth (h/R), yield stress marked, way to installation resistance.
    ratio, sensitivity, etc.). It therefore may be expected x The trends seen are close to those established
    that the ratio between K0/Kc and the APB/AP = 0 and by other workers in model and field tests on
    1.0 limits will vary from case to case. soft low OCR Mexico City clay.

    479
    A simplified effective stress approach has been set (eds.). Frontiers in Offshore Geotechnics II.
    out to evaluate the potential effects over a wider London: Taylor and Francis, 495500.
    range of ground conditions, and a suggestion offered Gasparre A. (2005). Advanced laboratory charac-
    as to how the results could be applied to open-ended terisation of London Clay. PhD thesis, Imperial
    offshore piles. Full-scale tests or analyses may be College London.
    required to investigate the problem in greater detail. Gasparre A, Nishimura S, Minh NA, Coop MR and
    However, the preliminary small-scale tests indicate Jardine RJ. (2007). The influence of structure on
    that pre-boring performed to ease pile driving in the the behaviour of London Clay. Gotechnique 57:
    field is likely to impact negatively and significantly 1931
    on static load carrying axial capacity. The implica- Hight DW, Gasparre A, Nishimura S, Minh NA,
    tions should be recognised when this step is adopted Jardine RJ and Coop MR. (2007). Characteristics
    in new installations. It is also an important factor to of the London Clay from the Terminal 5 site at
    consider when re-analysing the foundations of exist- Heathrow Airport. Gotechnique 57: 318.
    ing structures that have been installed with the aid of Jardine RJ, Chow FC, Overy RF and Standing JR.
    such comparable interventions. (2005). ICP design methods for driven piles in
    sands and clays. London: Thomas Telford.
    Finally, there are circumstances where pre-boring Jardine RJ, Aldridge T and Evans TG. (2011). Off-
    can be used successfully to aid driving through shore foundation engineering in extremely dense
    boulders, or relatively thin or shallow hard layers. In glacial tills West of the Shetland Islands. Proc.
    addition, pre-boring may help when driving piles to ECSMGE, Athens.
    design depths where axial resistance is less critical McClelland B, Focht JA and Emrich WJ. (1969).
    than lateral or moment carrying capacity. The latter Problems in design and installation of offshore
    consideration often applies, for example, to piles. Journal of the Soil Mechanics and Founda-
    monopile wind turbine foundations. tions Division 95: 14911514.
    Narayana M. (2010). A study of the residual shear
    Acknowledgments
    strength characteristics of remoulded UK mud-
    rocks. MSc dissertation, Imperial College Lon-
    The authors gratefully acknowledge the assistance
    don.
    given by the technical staff at Imperial College and
    Nishimura S, Minh NA and Jardine RJ. (2007).
    the work of former colleagues on the Heathrow
    Shear strength anisotropy of natural London
    Terminal 5 London clay research project.
    Clay. Gotechnique 57: 4962.
    Rojas E. (1993). Static behaviour of model friction
    References
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    Saldivar EE and Jardine RJ. (2005). Application of
    Aldridge TR, Carrington TM, Jardine RJ, Little R,
    an effective stress design method to concrete
    Evans TG and Finnie I. (2010). Driven pile
    piles driven in Mexico City clay. Canadian Geo-
    design in extremely hard till for BPs Clair 1
    technical Journal 42: 14951508.
    platform. In: Gourvenec S and White D. (eds.).
    Sullivan RA and Ehlers CJ. (1973). Planning for
    Frontiers in Offshore Geotechnics II. London:
    driving offshore piles. Journal of the Construc-
    Taylor and Francis, 477482.
    tion Division 99: 5979.
    Bond AJ and Jardine RJ. (1995). Shaft capacity of
    displacement piles a high OCR clay. Gotech-
    nique 45: 323.
    Bond AJ and Jardine RJ. (1989). Instruments for
    measuring the effective stresses acting on a pile
    jacked into overconsolidated clay. In: Geotechni-
    cal Instrumentation in Practice. London: Thomas
    Telford Ltd, 583605.
    Chow FC. (1997). Investigation into displacement
    pile behaviour for offshore foundation. PhD the-
    sis, Imperial College London.
    Evans TG, Finnie I, Little R, Jardine RJ and
    Aldridge TR. (2010). BP Clair Phase 1 Design
    and assurance of driven piled foundations in
    extremely hard till. In: Gourvenec S and White D.

    480
    COMPARISON OF PILE DRIVEABILITY METHODS IN NORTH
    SEA SAND
    T Byrne, P Doherty and K Gavin
    University College Dublin, Ireland
    R Overy
    SHELL UK Ltd, UK

    Abstract
    Significant research effort has been put into the formulation of improved design procedures for the calculation
    of the axial capacity of open-ended piles in sand. Methods, such as the Imperial College Pile (ICP) and the
    University of Western Australia (UWA-05), estimate the medium-term capacity of piles at relatively large
    displacements (typically 10% of the pile diameter). To use these approaches in pile driveability analyses,
    some additional factors need to be taken into account. In addition to the significant influence of dynamic ef-
    fects, such factors include the absence of pile ageing and the relatively low displacement mobilised during in-
    dividual hammer blows. In this paper, pile driving records from the installation of two open-ended steel piles
    installed in medium dense to dense North Sea sand are considered. The piles are a 0.762m-diameter skirt pile
    supporting a jacket structure and a 4.2m-diameter monopile, respectively. The piling records are used to test
    the accuracy of existing pile driveability models by comparing the measured and predicted blow counts. The
    latter are determined by incorporating the static resistance to driving (SRD) and dynamic damping parameters
    in a 1D wave equation analysis program. The possibilities of using recent static capacity formulae (e.g. ICP
    and UWA-05) to predict driveability were also explored.

    1. Introduction in the offshore sector had a diameter that was less


    than 2m. This paper aims to evaluate the accuracy of
    Pile driveability is an integral component of the existing driveability approaches for larger diameter
    process of offshore pile design and is often the de- piles installed in dense sands. It also investigates the
    termining factor in the selection of an appropriate feasibility of applying more recent static capacity
    driving system. Accurately predicting the pile re- models, namely the Imperial College Pile (ICP) and
    sponse to driving is becoming increasingly impor- University of Western Australia (UWA-05) methods
    tant, with the use of large 36m diameter steel mo- to pile driveability. Two case histories from SHELL
    nopiles becoming commonplace. Pile driveability UKs database of North Sea pile installations are
    assesses the ability for a pile to be economically used to assess the driveability models in the paper.
    driven with an acceptably low risk of refusal and, ul-
    timately, to reach a desired penetration or capacity 2. The Sites
    within a reasonable number of blows without over-
    stressing the steel. The cyclic driving stresses ap- To investigate the influence of pile diameter on the
    plied to the piles can also impact on the fatigue life accuracy of existing design methods, two sites were
    of the steel. Factors which influence driveability in- selected that had broadly similar soil conditions, al-
    clude the makeup of the hammer driving system, beit their relative densities did differ at given depths.
    pile dimensions and soil resistance. At Skiff, 0.762m-diameter piles were installed and at
    the Caravel site, a 4.2m-diameter monopile was
    Methods to estimate the soil resistance to driving used.
    that are commonly used in industry include proce-
    dures proposed by Toolan and Fox (1977), Stevens 2.1 Skiff
    et al. (1982) and, more recently, Alm and Hamre The Skiff platform is located in Block 48/20 of the
    (2001). Many of these empirical design approaches southern North Sea in the UK sector. It forms part of
    were developed when the majority of piles installed SHELLs Sole Pit development, with a water depth

    481
    of 26m. The platform consists of a 5m square steel
    jacket with the topsides supported by four leg piles,
    which also act as the well conductors. An additional
    four skirt piles were required to support the struc-
    ture, and these are used for analyses in this paper.
    The platform was installed in April 2000 using a
    jack-up rig. Soil conditions at the site comprise 75m
    of dense sand overlying mudstone. The cone pene-
    tration test (CPT) point resistance (qc) profile is
    shown in Figure 1. Interface friction angles for the
    sand varied from 28 to 30. Clay layers were pre-
    sent in 9.511m and 3134m. The undrained shear
    strength of the upper clay layer was in the soft to
    firm range (3050kPa), while the lower clay was
    much stiffer, with an undrained strength of |400kPa.

    An IHC S-90 hydraulic hammer was selected for


    driving both the skirt and leg/conductor piles, with
    the conductors requiring drill-drive techniques. The
    hammer, capable of delivering up to 90kNm of en-
    ergy, drove the skirt piles to the required penetration
    of 34m. An in-depth analysis of the Skiff platform
    pile installation and evaluation of capacity are given
    by Overy and Sayer (2007). The skirt piles had an
    outer diameter of 762mm and a wall thickness of
    38.1mm. The platform was installed by Maersk, Figure 1: Skiff CPT profile
    with two of the four piles instrumented and moni-
    tored during driving. Selected blow counts were ana-
    lysed by Heerema using TNOWAVE to signal
    match the stress waves.

    2.2 Caravel
    The Caravel platform is located in Block 49/20 of
    the southern North Sea and was developed using a
    Trident Monotower structure. The facility is un-
    manned and sits in a water depth of 31m. The mono-
    pile was installed in August 2007 with a final pene-
    tration of 31.5m.

    Soil conditions are described as medium dense to


    dense sand to 78m, inter-bedded with clay layers
    present in 22.524.0m, 27.030.0m and 3538m.
    The CPT profile is shown in Figure 2. The interface
    friction angle of the medium dense to dense sand
    was in the range of 2930. Undrained shear
    strength measurements on the clay layers revealed
    strengths that varied from 150kPa to 400kPa. A
    MHU-600 series hydraulic hammer, capable of sup-
    plying up to 600kNm of energy, was used to drive
    the monopile, which had an outer diameter of
    4200mm and wall thickness varying from 50mm to
    65mm. The monopile was instrumented and moni-
    tored during driving, which was performed by
    Heerema Marine Contractors. The pile dimensions at Figure 2: Caravel CPT profile
    both sites are summarised in Table 1.

    482
    Table 1: Pile properties strength can be estimated indirectly from the liquid-
    Property Skiff Caravel ity index based on relationships according to Skemp-
    ton and Northey (1952). For a fully coring pile, the
    Pile length (m) 41 40.5 unit toe resistance is applied to the pile annulus and
    Outer diameter skin friction to the internal and external shaft
    762 4200 equally.
    (mm)

    Section Wall Section Wall


    length thickness length thickness
    3.2 Stevens et al. (1982)
    (m) (mm) (m) (mm) For cohesive soils, a model developed by Semple
    Pile makeup and Gemeinhardt (1981), which relates the unit skin
    21 65
    friction to clay stress history using the over consoli-
    41 38.1 4 60 dation ratio (OCR), is adopted. The unit skin friction
    15.5 50 is first calculated from API RP 2A (1981) method-
    Final penetra- ology and adjusted incrementally by a capacity fac-
    34 31.5
    tion (m) tor determined empirically from wave equation
    Hammer type IHC S-90 MHU-600
    analysis. The unit toe resistance in clay is estimated
    as per the API code. In granular materials, both unit
    Water depth toe and skin resistances are calculated using the
    26 31
    (m) standard static capacity procedures outlined in the
    Follower(s) Multiple sections Single section 1981 API code. The model defines lower and upper
    bound static resistances for plugged and unplugged
    3. Methods conditions. Large open-ended driven pipe piles are
    typically fully coring during installation, and un-
    The total resistance of a pile to driving includes the plugged procedures are adopted in this paper. Two
    initial static resistance to driving (SRD), increases in cases are considered, a lower bound case where the
    pile capacity due to viscous rate effects and dynamic internal shaft friction is taken as half the external
    increases in capacity due to inertia. A number of skin friction. In the upper bound analyses, both are
    driveability SRD approaches have been presented equal.
    over the years and are still commonly used in North
    Sea pile design today. The methods developed in the 3.3 Alm and Hamre (2001)
    late 1970s and early 1980s do not account directly The Alm and Hamre approach was first introduced
    for friction fatigue, which is now widely accepted as in 1998, with an updated version presented in 2001.
    having a significant influence on pile driveability. The update sought to address issues with variability
    Recent SRD models include such effects and are and uncertainty in selection of soil parameters, and
    calibrated using piles of larger diameters and mod- modelling changes in radial stress during driving. A
    ern underwater hydraulic hammers. Three drive- direct correlation for both unit base (qb) and shaft
    ability approaches have been selected for the pur- (f) resistance with the CPT (qc) was introduced as a
    poses of this paper, and a brief summary of each is result. This model incorporated friction fatigue di-
    described. The performance is assessed against the rectly in its formulation and was calibrated using a
    recorded blow counts, and their suitability for use database of piles of lengths of up to 70m and di-
    with monopiles is investigated. ameters up to 2.7m. A detailed procedure for im-
    plementing this approach is given in Alm and
    3.1 Toolan and Fox (1977) Hamre (2001).
    This SRD model calculates both the shaft and toe re-
    sistance separately. The unit toe resistance, for sands 3.4 Advanced cone penetration test models
    and clays alike, is evaluated from a weighted aver- Considerable advances have been made in assessing
    age of the cone resistance (qc) over a number of pile the capacity of piles under static loading in recent
    diameters above and below the pile tip. The unit skin years. Improved understanding in particular of the
    friction in sands is calculated as a fraction of the re- pile-soil interface response from effective stress
    corded cone point resistance (1/300 for dense sand), measurements on instrumented piles have led to the
    or may be calculated in accordance with the Ameri- development of the ICP and UWA-05 models for
    can Petroleum Institute (API) RP 2A (1981), and is predicting the capacity of piles to static loading.
    limited to 120kPa. In clays, skin friction is set equal While these methods were not developed as an SRD
    to the remoulded shear strength of the clay. If soil model for driving, given modifications they should
    sensitivities are not measured, remoulded shear be considered relevant and applicable.

    483
    Previous driveability approaches were based on nied by a set of damping factors and quake values.
    static analyses, and it is proposed to apply the ICP Quake is defined as the displacement required to
    and UWA-05 to predict driveability as one would achieve yield. The parameters used in this paper,
    for a static analysis, using the procedures specified which are taken from the original references, are
    in Jardine et al. (2005) and Lehane et al. (2005), re- presented in Table 2.
    spectively. Overy and Sayer (2007) describe a case
    study where the ICP approach was implemented to GRLWEAP has a comprehensive catalogue of
    investigate drill-drive operations at the Skiff site. hammer types, with a database of their properties,
    They reported that the method gave a reasonable es- hammer mass, etc. Comprehensive driving records
    timate of the measured soil resistance. Schneider and from each site include details of delays and tempo-
    Harmon (2010) used a modified version of the rary length during installation, allowing the hammer
    UWA-05 method to perform driveability analyses on performance/efficiency to be modelled correctly in
    piles from three sites. order to realistically simulate the driving process.
    For this paper, soil profiles calculated from the mod-
    4. Static Resistance to Driving and Wave els were incremented to give approximately 100
    Equation Analysis elements for input into GRLWEAP. Issues arose
    In pile driveability analyses, a wave equation pro- with methods that incorporated friction fatigue, as
    gram can be used to analyse the enthru energy from the distribution of shaft friction varies with pile tip
    each hammer impact. In this paper GRLWEAP Off- penetration. Schneider and Harmon (2010) found
    shore 2010 (Pile Dynamics) was used to perform the that the shape of the shaft friction distribution had
    analyses. During driving, a pile experiences both little effect on the resultant bearing graph. They sug-
    static and dynamic resistances. The dynamic forces gest that the change in shaft capacity between two
    are represented by damping factors in GRLWEAP, successive increments could be used to calculate the
    which account for inertial and viscous rate effects. pseudo average shaft friction (f,avg):
    The SRD is usually estimated using static capacity
    approaches for both the end resistance and shaft fric- (1)

    tion. The SRD value is highly dependent on the soil where QS,L is the cumulative shaft resistance at tip
    types and mode of installation (i.e. whether the pile
    depth; QS,L-1 is the cumulative shaft resistance at
    is coring or plugged). Although no soil plug meas-
    urements were made at the sites considered in this the previous depth increment; L is the depth in-
    paper, the piles at Caravel would most likely have crement; and D = pile diameter.
    been fully coring. In addition, it is probable that the
    Skiff piles would be coring (or partially plugged) 5. Analysis and Discussion
    according to ICP recommendations. In both in-
    stances, the piles are considered fully coring for the 5.1 Driveability models
    purposes of the analyses. The driveability predictions provided by the Toolan
    and Fox, Stevens et al. and Alm & Hamre methods
    Models used to evaluate SRD were discussed in sec- are compared to the measured response at the Skiff
    tion 3. It is usual for an SRD model to be accompa- and Caravel sites in Figures 3 and 4, respectively.

    Table 2: Quake and damping values

    Sand Clay Reference

    Method Quake Damping Quake Damping


    (mm) (s/m) (mm) (s/m)
    Side Toe Side Toe Side Toe Side Toe

    Alm and Hamre 2001 2.5 2.5 0.25 0.5 2.5 2.5 0.25 0.5 Alm and Hamre (1998)
    Toolan and Fox 1977 2.5 2.5 0.17 0.5 2.5 2.5 0.66 0.03 Hirsch et al. (1976)
    Stevens et al., 1982 2.5 2.5 0.27 0.5 2.5 2.5 0.1 0.5 Stevens et al. (1982)
    UWA 2005 2.5 2.5 0.25 0.5 2.5 2.5 0.65 0.5 Schneider and Harmon (2010)
    ICP 2005 2.5 2.5 0.16 0.5 2.5 2.5 0.65 0.5 GRLWEAP standard values

    484
    ranged by a factor of 5. In contrast, all methods
    (with the exception of those assuming full plugging)
    provided good estimates of the resistance of the
    4.2m-diameter pile at Caravel. Specific comments
    on the individual methods can be put forward as out-
    lined in the following paragraphs.

    The Toolan and Fox method over-predicted blow-


    counts by 50100% at Skiff, while providing an ex-
    cellent prediction at Caravel. This suggests that the
    method may have a bias with respect to pile diame-
    ter.

    The Stevens et al. (1982) method produced four pro-


    files of the predicted response at each site. The pre-
    dictions varied significantly based on the assumption
    of plugging and whether upper bound or lower
    bound (conservative) properties are assumed. In
    practice, the use of the lower bound plugged condi-
    tion is recommended for use in dense sand. This is
    Figure 3: Existing driveability predictions for Skiff
    shown to provide a reasonable fit to the measured
    resistance at Skiff. However, for the monopile at
    Caravel, the plugged condition resulted in predic-
    tions of pile refusal at 35m below seabed level.

    The Alm and Hamre (2001) method provided a good


    best estimate and sensible upper bound prediction at
    both Skiff and Caravel. The inclusion of a mecha-
    nism to account for the effect of friction fatigue
    gives Alm and Hamre a distinct advantage over the
    previous two methods discussed.

    5.2 Calculating soil resistance to driving from static


    resistance models
    In an effort to improve pile driveability models, the
    ICP and UWA-05 approaches were applied at the
    two sites. These models included both the effects of
    friction fatigue and soil plugging. In the first in-
    stance, the approaches were applied as per the rec-
    ommendations of their respective guidelines and as
    intended for a static capacity analysis to obtain an
    upper-bound resistance. Standard quake and damp-
    Figure 4: Existing driveability predictions for Caravel ing values were used, as summarised in Table 2.
    Hammer stroke height and efficiency values were
    adjusted in the modelling process to represent the Predictions obtained from implementing the ICP and
    pile enthru recorded from pile instruments during UWA-05 procedures in their raw form are pre-
    driving. Noting that the methods were developed for sented in Figures 5 and 6 (as ICP and UWA). As ex-
    jacket structure piles where diameters typically pected, both approaches severely overestimate the
    range from 0.6m to 2m, it is interesting to note the blow counts for Skiff and Caravel alike, with prema-
    wide range of predictions at the Skiff site (where the ture refusal expected. It is clear that modification of
    pile diameter was 0.762m). In general, the methods the approaches is necessary to account for factors,
    over-predicted the pile resistance for the first 15m of which include:
    penetration. While the methods bounded the meas-
    ured response for depths >15m, the predictions x pile ageing (capacity increase with time);

    485
    x mechanism of base failure;
    x uncertainties over the contribution of internal
    shaft friction; and
    x relatively low displacements experienced dur-
    ing a hammer blow.
    Chow et al. (1997) and others have demonstrated
    that the shaft capacity of piles in sands increases
    with time. Both the ICP and UWA-05 approaches
    are calibrated using pile tests conducted between 9
    and 10 days after installation. The shaft resistance
    may therefore be overestimated leading to slight
    overestimation of the blow counts. The extent of this
    increase is difficult to quantify and is dependent on
    the in situ state of the sand and the installation pro-
    cedure for other features.

    With respect to base failure mechanisms, the ICP


    method has a procedure to predict whether plugged
    or unplugged failure occurs. In the case of un-
    plugged failure, the full CPT resistance is applied
    over the annular base area only and the plug resis-
    tance (internal shaft friction) is not considered ex-
    plicitly. In the UWA-05 method, the plug is assumed
    not to fail during static loading and a modified unit
    base resistance (which accounts for the effective
    area ratio) acts over the gross area of the pile. This
    accounts for the reduced base stiffness developed Figure 5: Static predictions and modifications for Skiff
    during coring installation of the pile. While this may
    produce an accurate static capacity, it does not
    model or represent the interaction between the pile
    and soil plug during driving, as noted by Overy and
    Sayer (2007) for North Sea pile installations.

    Schneider and Harmon (2010) suggest modifications


    of the UWA-05 approach for estimating base resis-
    tance. They suggest that a value of 0.35qc is as-
    sumed to act on the pile annulus, while the soil plug
    develops internal friction, which is equal to 50% of
    the external friction. Adopting these assumptions in
    Figures 5 and 6 (as UWA S&H 1.5 Ext) provided a
    good fit for the monopile at Caravel, however, it
    predicted early refusal (at |24m below seabed level)
    at Skiff. Ignoring the contribution of internal friction
    (UWA S&H 1.0 Ext) resulted in excellent predic-
    tions of the pile response at both sites.

    The base capacity estimated by both the ICP and


    UWA-05 are based on pile tip displacements (wb) of
    up to 10% of the pile diameter, (i.e. wb/D = 0.1).
    This settlement is far in excess of the penetration per
    blow experienced by the pile during installation by
    driving. For the two sites in question the average
    pile displacement during a hammer blow was ~7mm,
    and a reduction factor must be applied to the mobi-
    lised resistance. Figure 6: Static predictions and modifications for Caravel

    486
    A simple three-stage base resistance-settlement noting that one limitation of the analysis to date is
    model, proposed by Gavin and Lehane (2007), was that the accumulated impact of successive hammer
    employed to calculate the base resistance mobilised impacts on the non-linear loading stiffness of the
    during each hammer blow. The model, shown in base settlement model shown in Figure 7 is not con-
    Figure 7, consists of the pile tip displacement (wb), sidered. This adaptation to the modelling process
    normalised by the pile diameter (D) plotted against will be considered in future work.
    the base resistance (qb). The residual base stresses
    (qbres) associated with pile driving can be ignored for Additional work to include the effects of pile ageing,
    large fully coring piles. The resistance has linear cyclic loading and dynamic properties of the pile re-
    displacement until a yield strain (wby/D) is reached sponse are necessary to refine driveability models.
    (assumed to occur at 1.5%), followed by a non- However, the dominance of pile base resistance in
    linear stage of parabolic form to a strain of 10% (i.e. the dynamic resistance suggest that the simple modi-
    qb of 0.1). The linear stage (wb/D < wby/D) is con- fication given in this paper provides an effective
    trolled by the small strain stiffness (E0). Ideally, E0 method of allowing improved design procedures to
    should be derived from shear wave velocity meas- be adopted for offshore driveability studies.
    urements using a seismic cone or bender element
    tests on high-quality lab samples. In practice, how-
    ever, it may also be approximated using correlations
    with CPT qc data, such as those reported by Robert-
    son (1990) and Schnaid et al. (2004). The linear por-
    tion of the curve can be described by:

     (2)

    where k is  E0/(1-2) and is the Poissons ratio.


    The parabolic portion (wby/D < wb/D < 0.1) is given
    as:

    (3)

    The unit base resistances computed from the UWA-


    05 and ICP methods were adjusted to a reduced
    value using this model and input into GRLWEAP
    for analysis, retaining the original unit shaft values. Wby/D

    The results obtained are also shown in Figures 5 and


    6 (as Alt B Mob). The displacement level (wb/D) Figure 7: Base resistance-settlement model (after Gavin and
    was assessed for an equivalent diameter (Deq) of the Lehane 2007)
    pile, which had the same cross-sectional area as a
    solid steel pile. The base resistance (qb) was deter- 6. Conclusions
    mined according to the wb/Deq ratio. The method
    provided good predictions of the pile resistance at Current approaches to predict driveability were de-
    both sites for both the UWA-05 and ICP procedures. veloped for relatively small-diameter piles. Extrapo-
    lation of these empirical design approaches to large
    The modified UWA-05 and ICP performed equally diameter monopiles should be undertaken with ex-
    well, if not better than Alm and Hamre the current treme caution. Modern static capacity models, such
    best driveability approach. Given the limited number as the ICP and UWA-05 approaches, were shown to
    of sites investigated in this paper, further research provide good predictions of the driveability of piles
    would be required at additional locations to verify in the North Sea when a modification factor was in-
    the initial findings and have a statistical basis to troduced to account for the reduced base resistance
    quantify degrees of certainty in the accuracy of a mobilised during a hammer blow. Further experi-
    prediction. Overall, the findings are promising and mental work is required to investigate the effects of
    could potentially be developed to form a new pile ageing, improve cyclic loading models and con-
    method of predicting pile driveability. It is worth sider dynamic parameters.

    487
    Acknowledgments Schneider JA and Harmon IA. (2010). Analyzing
    Drivability of Open Ended Piles in Very Dense
    The authors wish to express their gratitude to Sands. Journal of the Deep Foundation Institute
    SHELL UK for supplying records of the installa- 4: 3244.
    tions. The first author is grateful for European Semple RM and Gemeinhardt JP. (1981). Stress his-
    Commission EU FP7 funding, and the second author tory approach to analysis of soil resistance to pile
    acknowledges support from Irish Research Council driving. OTC 3969. Proc. Offshore Tech Conf,
    for Science, Engineering and Technology (IRCSET). Houston, USA.
    Enterprise Ireland and Mainstream Renewable Skempton AW and Northey RD. (1952). The sensi-
    Power are also thanked for their support. tivity of clays. Gotechnique 3: 4051.
    Stevens RS, Wiltsie EA and Turton TH. (1982).
    References Evaluating pile driveability for hard clay, very
    dense sand and rock. OTC 4205. Proc Offshore
    Alm T and Hamre L. (2001). Soil model for pile Tech Conf, Houston, USA.
    driveability predictions based on CPT interpreta- Toolan FE and Fox DA. (1977). Geotechnical plan-
    tion. Proc. 15th International Conference on Soil ning of piled foundations for offshore platforms.
    Mechanics and Geotechnical Engineering, Istan- Proc. Institution of Civil Engineers, London, Part
    bul, Turkey, vol. 2, 12971302. 1, vol. 62.
    American Petroleum Institute (API). (1981). RP 2A
    Planning, Designing and Constructing Offshore
    Platforms, 12th edition. Washington, DC: API.
    Chow FC, Jardine RJ, Brucy F and Nauroy JF.
    (1997). Time related increases in the shaft capaci-
    ties of driven piles in sand. Gotechnique 47:
    353361.
    Gavin KG and Lehane BM. (2007). Base load-
    displacement response of piles in sand. Canadian
    Geotechnical Journal 44: 10531063.
    Hirsch TJ, Carr L and Lowery LL. (1976). Pile Driv-
    ing Analyses-Wave Equation Users Manual. TTI
    Prog. Implementation Package, vol. IIV.
    Jardine R, Chow F, Overy R and Standing J. (2005).
    ICP Design Methods for Driven Piles in Sands
    and Clays. London: Thomas Telford.
    Lehane BM, Schneider JA and Xu X. (2005). The
    UWA-05 method for prediction of axial capacity
    of driven piles in sand. In: Gourvenec S and Cas-
    sidy M. (eds.). Proc. Int. Symp. Frontiers in Off-
    shore Geotechnics, ISFOG 2005. London: Taylor
    and Francis, 683690.
    Overy R and Sayer P. (2007). The use of ICP design
    methods as a predictor of conductor drill-drive in-
    stallation. In: Proc. 6th Intl Offshore Site Investi-
    gation and Geotechnics Conference: Confronting
    New Challenges and Sharing Knowledge. Lon-
    don: Society for Underwater Technology (SUT),
    333340
    Robertson PK. (1990). Soil classification using the
    cone penetration test. Canadian Geotechnical
    Journal 27: 151158.
    Schnaid F, Lehane BM and Fahey M. (2004). In-situ
    test characterization of unusual geomaterials. In:
    Proc 2nd Intl Conf Site Characterization, Porto,
    Portugal, 1922 September, vol. 1, 4974.

    488
    PILE DRIVING IN CARBONATE SOILS AND ROCK OF THE
    AUSTRALIAN NORTH WEST SHELF A CASE STUDY

    P Brunning
    Subsea7, Singapore
    B Ishak
    SapuraAcergy, Kuala Lumpur, Malaysia

    Abstract
    Driven piles are often used for supporting jackets and providing anchors for mooring patterns. In non-
    carbonate conditions, driveability assessments are routine and generally reliable. However, piles are now
    more frequently being installed in areas where carbonate seabed conditions prevail and the database of off-
    shore installation experience in calcareous soil and rock is still relatively small. Offshore pile installation time
    is costly, and reliable prediction of driveability is essential towards selecting the correct piling hammer and
    predicting driving conditions including potential refusal. This paper considers a recent project on the North
    West Shelf of Australia where significant oil and gas field developments are planned. It highlights the chal-
    lenges of installing driven piles in weakly cemented calcareous sands and calcarenite, and demonstrates how
    back-analysis of driving data can play an important role in predicting the field outcome, especially that related
    to risk of premature refusal and the requirement for contingency measures such as relief drilling equipment.

    1. Introduction located in the southern Timor Sea offshore Austra-


    lia. The project involved installation of a wellhead
    An increasing number of offshore oil and gas fields platform (WHP) jacket and a moored floating pro-
    are being exploited in areas of the world where cal- duction storage and offloading (FPSO) facility ap-
    careous seabed sediments (commonly referred to as proximately 1.5km apart in 80m water depth. Both
    carbonate soils) prevail, and the pace of develop- the WHP jacket and the FPSO catenary mooring
    ment has been nowhere greater than for the North lines were anchored to the seabed using large diame-
    West Shelf and Bass Strait areas of Australia. Many ter (96in) driven open-ended steel tubular piles. The
    of the planned developments for these areas will FPSO mooring pattern comprised three clusters of
    utilise driven piles for anchoring mooring systems three anchor piles, which are denoted by clusters A,
    and subsea structures, or for supporting platforms, B and C in this paper.
    but past experiences have shown that calcareous
    soils can pose problems for both the pile designers A significant period of time elapsed between ini-
    and the installer (e.g. King and Lodge, 1988). At one tially installing the WHP jacket skirt piles and sub-
    end of the scale, there are the problems associated sequent driving of the FPSO anchor piles. This has
    with the extremely low shaft resistance mobilised on allowed the time to perform back-analysis of the
    driven piles when compared to silica sand, with sub- WHP pile driving records to enable more reliable
    sequent reduction in capacity such as that docu- predictions of soil resistance to driving (SRD) for
    mented for the Rankin A Platform (Jewell and Khor- the site, and hence improve prediction of driveability
    shid, 1988). At the other end of the geotechnical for the FPSO anchor piles.
    scale is the risk of pile refusal or pile tip buckling in
    cemented soils and calcarenite, such as that experi- This paper describes the key events related to piling
    enced when driving the Goodwyn Platform piles in chronological order to illustrate the evolution of
    although in that case some of the pile collapse was pile driving assessments and predictions made at
    attributed to high d/T ratios as well as hard driving various points during the project. It also presents
    conditions (Gerwick, 2000). comparisons between those predictions and the ac-
    tual blow counts recorded during installation. For
    This paper addresses the problem of driving in hard example, temporary plugging of one pile was ob-
    carbonate conditions, particularly calcarenite, by served and there were two cases of freefall. Possible
    considering recent experiences gained from a project reasons for these phenomena are discussed.

    489
    2. Site Characterisation each plot represent a simplified stratigraphic se-
    quence at the investigated locations to illustrate the
    Two phases of geotechnical investigations (2004 and distribution of calcarenite layers at the sites.
    2007) and associated laboratory test programmes
    have been undertaken to characterise the site and to Shallow geology is similar at all locations and is
    provide data to facilitate the design of the platform characterised by a sequence of carbonate deposits
    and subsea foundations. The 2004 offshore investi- that are highly variable, particularly in a vertical
    gation included borehole drilling and sampling, to- sense. It comprises up to 1m of uncemented loose
    gether with cone penetration tests (CPTs). One deep sand overlying a profile of inter-bedded calcareous
    borehole (~76m) was drilled at the proposed WHP cemented sands and gravels and beds of very weak
    location, and four shallow boreholes (up to ~25m) at to weak calcarenite. There is a relatively strong
    the proposed anchor locations. Due to revisions of layer of calcirudite (often referred to as caprock)
    the field layout, a supplementary geotechnical inves- that is found immediately beneath the superficial
    tigation was performed in 2007 comprising rotary sand.
    coring, piston sampling and CPTs to a depth of 25m
    depth at the mooring anchor clusters and 28m depth The geological profile is in fact somewhat more
    at the WHP. complex than this suggests because the sections that
    are denoted as sand are in reality a heterogeneous
    mix of highly fractured calcarenite, cemented and
    uncemented sands, and corals with the widespread
    occurrence of fissures and cavities. However, for the
    purposes of this study the simplistic division into ei-
    ther sand in which continuous CPT data could be
    obtained, or calcarenite where CPTs typically met
    refusal, appropriately accounts for the different re-
    sistances to driving evident in these two categories
    of material.

    Values of unconfined compressive strength (UCS)


    from laboratory testing are also plotted on Figure 1
    at the appropriate sample depths. Laboratory test re-
    sults show very high calcium carbonate contents in
    excess of 98% for all materials tested.
    WHP Cluster A

    3. Pile Details

    The WHP jacket is supported by nine insert piles


    with the primary piles driven to a penetration
    depth of 16.1m, followed by drilling out and a
    secondary 72in pile inserted to 26m and grouted
    up. The nine anchor piles are open-ended, steel tu-
    bular piles of between 27m and 28m in total
    length. Driving of all piles was performed using a
    600kJ hammer. Table 1 presents the key properties
    of the two pile types.
    Table 1: Pile properties
    Property WHP Anchor
    Number 9 9
    Diameter (in) 96 96
    Cluster B Cluster C Embedded length (m) 1616.25 23.522.5
    Figure 1: CPT profile and simplified stratigraphic sequence Submerged weight (kN) ~700 ~1200
    Wall thickness (mm) 64 80
    A cone tip resistance profile from each site is pre- Shoe length (m) ~2 2.5
    sented in Figure 1. The vertical bars on the right of Shoe wall thickness (mm) 90 100

    490
    4. Anchor Pile Driveability Assessment
    Pre WHP Installation The results of the anchor pile driveability assessment
    indicated that practical refusal would occur for the
    In the early stages of the project, before any piling upper bound strength profile at various depths at all
    works were undertaken in the field, a pile drive- three pile clusters. Blow counts in excess of 2000
    ability assessment was performed for the anchor blows/m were predicted in the calcarenite layers.
    piles. It is assumed that a similar driving assessment Blow counts of this magnitude exceed both the
    was originally carried out for the WHP piles before American Petroleum Institute (API) and hammer
    they were driven, but this data is not available to the supplier refusal criteria.
    authors so it is not possible to compare predicted and
    actual driving parameters. This assessment led to concerns by the pile designer
    that the number of permissible blow counts before
    For the anchor piles, both upper and lower bound as- reaching practical refusal could result in excessive
    sessments of SRD were made on behalf of the pile fatigue damage. The pile refusal criteria was there-
    designer using the UWA-05 method (Lehane et al., fore set at a blow count of 200 blows/m. There did
    2005). Wave equation analyses were performed to not appear to be any engineering justification for
    predict the driveability of the anchor piles against limiting blows to such a level, but it is significantly
    this SRD envelope with a 600kJ hammer operated at lower than the API refusal criteria which, for exam-
    90% efficiency. Both upper and lower bound analy- ple, allows nearly 1000 blows/m up to 1.5m of con-
    ses were based on unplugged driving behaviour and secutive driving. Although in this instance it seemed
    assumed a 50% reduction in internal shaft friction to be an overly cautious approach, the predictive
    due to a pile shoe. SRD, driving and fatigue analyses were performed
    prior to the WHP jacket installation, and hence the
    Because directly measured strength data (UCS) (by assessment could not take advantage of hind-casting
    means of UCS test) was only available from cores by correlating field and predictive blow counts.
    taken from zones of cone refusal where there is no
    cone tip resistance (qc) data, there was great diffi- In anticipation that refusal at 200 blows/m would
    culty in determining an appropriate direct UCS/qc re- occur several times during anchor pile installation,
    lationship for calcarenite. Consequently, there are the pile designer and the operator at the time decided
    uncertainties in extending an inferred qc profile that relief drilling equipment would have to be made
    across these data gaps. This is highly relevant for available during piling operations as a contingency
    pile driving assessments since these zones represent- measure to drill out any hard material beneath the
    ing layers of calcarenite are where the highest resis- pile toe, as required, to enable the pile to be ad-
    tances to driving and possible refusal would occur. vanced to its target penetration depth. The cost of
    having such a spread in a state of readiness offshore
    A commonly accepted relationship between cone tip and the vessel time involved is not insignificant.
    resistance and unconfined strength for the North
    West Shelf carbonate materials is UCS = qc/20 (Er- 5. Anchor Pile Driveability Assessment Post
    brich, 2004; Neubecker and Erbrich, 2004). This WHP Installation
    value was adopted for the first driveability assess-
    ment with unit base resistance taken as 40% of qc. Following installation of the WHP jacket and laying
    This led to an estimate of a maximum SRD of about of some of the subsea pipelines, the field was ac-
    100MN in the strongest layers (~15MPa) of cal- quired by a different operator, which awarded the
    carenite. The lower bound strength profile was based outstanding installation work (including the FPSO
    on an average profile of the data with vertical inter- mooring system) to SapuraAcergy and Subsea7. Part
    polation across the gaps. This led to a large span be- of this work included performing a pile driveability
    tween upper and lower bound qc values for the cal- assessment before driving the FPSO anchor piles.
    carenite layers and consequently a large difference Since the WHP piles had already been driven, blow
    in predicted driveability. Therefore it was deter- count versus penetration data was now available for
    mined that refusal would not occur under lower back-analysis to generate an inferred SRD to help
    bound conditions, but would occur if upper bound improve the reliability of the predictive driving
    conditions existed. This type of conclusion is not analysis. Particular aims of this exercise were to re-
    without precedent and often arises where there are assess the requirement for the relief drilling equip-
    large uncertainties with regard to upper and lower ment and to confirm that the 600kJ hammer was the
    bound strength profiles. correct choice.

    491
    Since the WHP piles were driven at varying efficien- this only for poor to fair quality rock (rock quality
    cies, it was necessary to construct families of blow designation (RQD) < ~50%). For sand/low RQD
    count versus efficiency curves for different penetra- rock, unit end bearing is derived from the in situ
    tion depths that accounted for: (i) the distribution of horizontal effective stress Vh = K05o tan G. The
    soil and rock layers above the pile tip at any penetra- method recommends a value of 0.7 for K0, where 5o
    tion; and (ii) the distribution of end bearing to shaft is the effective overburden pressure and G is the soil-
    friction for any given depth. These curves were gen- pile friction angle, and, for an unplugged pile, sug-
    erated by making multiple runs in the wave equation gests full (100%) internal shaft friction component
    software GRLWEAP. An example of one of these as an upper bound resistance and 50% internal fric-
    sets of curves is shown in Figure 2. tion for a lower bound resistance. For higher quality
    rock (RQD > ~50%) unit end bearing (qb) is corre-
    lated to the unconfined compressive strength of rock
    (u) by qb = uNu, with a value of 3 recommended for
    the dimensionless bearing capacity factor (Nu).

    The predicted SRD based on Stevens unplugged


    driving resistance is plotted on Figure 3, which in
    calcarenite shows very good correlation to the in-
    ferred SRD for a range of Nu between 2 and 3. In
    carbonate sand, the predicted SRD is based on Ste-
    vens lower bound assumption of 50% internal shaft
    friction, which matches or slightly over-predicts the
    inferred SRD. Given that the upper bound SRD
    Figure 2: Example of SRD vs. blow count curve family based on 100% internal shaft friction (not plotted)
    would over-predict the SRD even further, this sug-
    Using this tool it is possible to develop an inferred gests that this upper bound approach is probably
    SRD over the complete driving depth. This exercise over-conservative.
    was undertaken for all the nine WHP skirt piles and
    the results are plotted on Figure 3. The highest SRD
    of up to 30MN is in the layer of calcirudite at a
    depth of 24m. Beneath this, in the carbonate sands
    and highly fractured calcarenite, the SRD is rela-
    tively constant with a depth of 4 to 6MN. A further
    rise in SRD is observed close to the target penetra-
    tion depth of 16m, where another layer of calcarenite
    is encountered.

    Having generated an inferred SRD, the next step was


    to compare it to standard predictive algorithms, and
    it was found that the Stevens method (Stevens et al.,
    1982) gave the closest match to the inferred data.
    This is perhaps not surprising since the Stevens Figure 3: Plot of inferred SRD vs. predicted SRD (Stevens
    method is based partly on pile driving experience in method)
    carbonate sands and calcarenite in the Middle East,
    and is normally the algorithm of choice for assessing Having verified that the Stevens method is appropri-
    SRD in carbonate soils and rock. The match was ate for predicting SRD at this site and reasonably as-
    only valid for the unplugged driving case, which suming that all piles will be driven in an unplugged
    gave a strong indication that all the WHP piles had manner, it was then possible to make a more reliable
    penetrated in a coring manner. driving assessment for the different geological pro-
    files at the three anchor clusters.
    The Stevens method assumes that driving a pile into
    very weak to weak carbonate strata will fracture the The key conclusion of this work is that the antici-
    rock, reducing it to a granular material. Therefore pated blow counts for the unplugged driving case
    sand parameters can be used to compute unit skin would not likely exceed the limiting refusal crite-
    friction and unit end bearing, but the method limits rion of 200 blows/m, although there was a slight

    492
    risk of refusal within 0.5m of the final pile embed-
    ment depth. This opened up the question as to
    whether the contingency relief drilling spread was
    strictly necessary. In this particular case the opera-
    tor opted to take the equipment and bear the cost
    despite understanding the small likelihood of hav-
    ing to use it.

    6. Comparison of Anchor Pile Installation Data


    with Predictions

    To verify the conclusions derived from the WHP pil-


    ing data, it is useful to compare predicted to actual
    blow counts for the mooring piles post-installation.
    For this exercise the predicted blow counts were Cluster A
    based on the efficiency observed for the WHP pile
    installation, with hammer efficiency set at 80% in
    the calcarenite and 68% for all other material.

    6.1 Clusters A and B


    Actual blow count data recorded in the field is plot-
    ted on Figure 4 and shows a very good match with
    the range of predicted blows. This again confirms
    that the piles were driving in an unplugged manner
    and Stevens lower bound case. Blow counts were
    generally far less than the 200 blows/m limit, with
    only one or two exceptions where blows exceeded
    200/m over very short driving distances.

    Freefall was not predicted by any of the analyses, so Cluster B


    it is interesting to note that two of the piles in cluster
    B experienced a 23m freefall from a depth of about Figure 4: Observed vs. predicted blow count for clusters A
    14m. This can be seen in Figure 4 as zero blow and B
    counts. The reason for this occurring is not clear
    from the geotechnical datasets. It is possible, but 6.2 Cluster C
    unlikely, that voids were encountered that were not Pile 4 in cluster C appears to have become temporar-
    detected by the CPT soundings. The CPT profile is ily plugged at a depth of 10m but returns to un-
    continuous over this interval, with cone tip resis- plugged behaviour at 12m penetration (Figure 5).
    tance varying between 10 and 15MPa, and gives no Figure 6 presents the same data but shows the pre-
    indication of voids. The third pile in the cluster also dicted resistance based on plugged driving. During
    drove very easily in this zone, so most likely a very this interval of temporary plugging, the blow count
    weak layer of material was present. increased to about 800/m, which is comparable to
    the predicted blow count of around 1000 blows/m
    It is possible to use the freefall to make a crude es- for the plugged case. In theory, piling operations
    timate of the minimum shaft resistance required to should have stopped at this point, and the relief drill-
    prevent freefall. The submerged weight of the pile ing equipment should have been mobilised to drill
    is 1200kN, which implies a maximum shaft resis- out the hard material. However, analysis performed
    tance Wf of around 9kPa, if end bearing is assumed onboard was able to demonstrate that the total cumu-
    to be negligible and provided that there is no reduc- lative stresses imparted on the pile at this point had
    tion applied to the contribution of the internal shaft been less than expected. Therefore, the fatigue dam-
    resistance. Although the exact mechanism of the age limits would not be compromised by this rela-
    freefall is unknown, this inferred maximum shaft tively short interval of hard driving.
    resistance is in the same order as reported by other
    investigators (e.g. Schneider et al., 2007) for car- While it is not possible to conclude with any cer-
    bonate sand. tainty as to why the pile plugged at this point, it may

    493
    be significant that piling was stopped at 10m depth to generate an inferred SRD. This was then to com-
    just before the onset of plugged behaviour. All the pare it to standard predictive algorithms of the Ste-
    anchor piles were driven with the aid of a pile guide vens method, which gave the closest match to the in-
    frame, which supports the pile and hammer system ferred data. This strongly suggests that the WHP
    until it has sufficient embedment to be stable. In this jacket piles penetrated in an unplugged manner and
    case stability was reached at about 10m penetration provided the confidence to use the Stevens method
    at which point piling was temporarily suspended (unplugged driving) to predict the anchor pile blow
    while the guide frame was opened to allow the pile count versus depth profile for the FPSO anchor
    pad-eye and hammer sleeve through. The stoppage piles.
    time for each pile was about 1 hour.
    For carbonate sand the Stevens lower bound case of
    50% internal shaft resistance appears to match more
    closely to the inferred SRD than assuming full inter-
    nal shaft friction.

    The results of this exercise indicate that blow counts


    would not exceed the limiting refusal criteria of 200
    blows/m and suggests that the relief drilling equip-
    ment would not be required. However, for many
    contingent reasons the relief drilling equipment was
    mobilised for the project despite its significant cost
    but its improbability of being used.

    Fatigue damage analyses should be based on the


    most likely driving scenario, which is (specifically
    Cluster C
    for this particular site, but more generally for large
    Figure 5: Observed vs. predicted (unplugged) blow count diameter offshore piles) that penetration is in an un-
    plugged manner. Therefore setting refusal criteria
    based on plugged conditions is likely to be over-
    conservative and to lead to unnecessarily onerous re-
    fusal criteria.

    Freefall observed for two of the piles implies a


    maximum mean shaft resistance of 9kPa, which is
    comparable to other data for carbonate sand.

    Temporary plugged behaviour was observed in one


    pile after a stoppage in driving, but it is unclear
    whether this was due to the setup occurring during
    the stoppage, or if another mechanism played a part.

    Figure 6: Observed vs. predicted (plugged) blow count References

    These stoppages do not appear to have had any ad- Erbrich CT. (2004). A new method for the design of
    verse effect on the other piles, and there is no evi- laterally loaded anchor piles in soft rock. OTC
    dence of higher resistances at the start of the re- 16441. Proc. Offshore Tech. Conf., Houston,
    USA.
    drive. It is therefore unclear as to whether the plug-
    Gerwick, B. (2000). Construction of Marine and
    ging was simply caused by entering a harder layer of Offshore Structures, 2nd edition. New York:
    calcarenite at this depth, or whether there may have John Wiley and Son, 657pp.
    been some set-up effects during the stoppage time. Jewell RJ and Khorshid MS. (eds.). (1988). Pro-
    ceedings of the Conference on Engineering of
    7. Conclusions Calcareous Sediments, vol. 1 and 2. Perth, Aus-
    tralia: Balkema.
    Blow count and hammer efficiency data from the King R and Lodge M. (1988). North West Shelf de-
    WHP jacket pile installation has been back-analysed velopment the foundation engineering chal-

    494
    lenge. In: Jewell RJ and Khorshid MS. (eds.).
    Proceedings of the International Conference on
    Calcareous Sediments, vol. 2, 333342.
    Lehane BM, Schneider JA and Xu X. (2005.). The
    UWA-05 method for prediction of axial capac-
    ity of driven piles in sand. In: Gourvenec S and
    Cassidy M. (eds.). Proc. Int. Symp. Frontiers in
    Offshore Geotechnics, ISFOG 2005. London:
    Taylor and Francis, 683689.
    Neubecker SR and Erbrich CT. (2004). Bayu-Undan
    substructure foundations: Geotechnical design
    and analysis. OTC 16157. Proc. Offshore Tech.
    Conf., Houston, USA.
    Schneider JA, White DJ and Lehane BM. (2007).
    Shaft friction of piles driven into siliceous, cal-
    careous and micaceous sands. In: Proc. 6th Intl
    Offshore Site Investigation and Geotechnics
    Conf. London: SUT, 367382.
    Stevens RS, Wiltsie EA and Turton TH. (1982).
    Evaluating pile driveability for hard clay, very
    dense sand, and rock. OTC 4205. Proc. Off-
    shore Tech Conf, Houston, USA.

    495
    496
    SOIL STRENGTH SETUP AFTER PILE-DRIVING CESSATION
    Run Liu and Shuwang Yan
    State Key Laboratory of Hydraulic Engineering Simulation and Safety, Tianjin University, Tianjin, China

    Abstract
    With the development of deep-sea resource exploration, long steel-pipe piles of large diameter are widely
    used in offshore platform constructions. Some steel piles may have a diameter that exceeds 2m, and length
    that exceeds 100m. For such piles, it is almost impossible to accomplish continuous pile driving, as it may be
    affected by complicated environmental conditions of the sea, the welding of pile connections and the hammer
    replacement. After a long-term cessation of pile driving, it might become harder to resume and sometimes re-
    fusal can even happen. Analyses showed that the soil permeability, the crack development in the soil sur-
    rounding the pile, the duration of cessation and the soil-plug effect in the pile pipe are the main factors affect-
    ing the soil strength and skin friction. Based on the effective stress principle and the cavity expansion theory,
    a method has been proposed to evaluate the excess pore water pressure in the soil surrounding the pile during
    pile driving. In addition, the 1D wave equation has been introduced into the pile-driving analysis. The soil
    properties in the pile driving analysis are modified in terms of the measured data until the calculated results
    match the driving records. Therefore, the pile bearing capacity after refusal can be eventually determined.

    1. Introduction times ceases the pile-driving process in the clay


    layer in order to avoid re-driving difficulties. How-
    Long steel-pipe piles of large diameter have been ever, even though driving has ceased in the clay
    widely used in offshore engineering. Due to the layer, the re-driving is still usually difficult and
    complexity of working conditions offshore, factors sometimes even meets refusal. If the pile does not
    such as weather conditions, ship arrangement and penetrate to the design depth and refusal occurs, de-
    hammer replacement, may prevent piles (deep pene- cisions must be made whether to stop driving and to
    tration pile) from being driven to the design eleva- cut off the pile length. Compared with pile founda-
    tion continuously, and driving interruptions can take tions onshore, plate loading tests are difficult to
    place. In this paper, resuming driving after driving carry out offshore. As a result, studies on the
    cessation is called re-driving. It can take hours, days mechanism of the soil strength recovery and setup
    or even a few weeks to restart the pile-driving proc- after refusal, and evaluation of the pile bearing ca-
    ess. Long-term cessation can lead to excess pore wa- pacity under this condition, become the predominant
    ter dissipation and soil strength setup. Setup refers approaches to solve the problems.
    to the increase in shaft capacity that occurs after
    driving, due to dissipation of installation-induced The success of the piling and the pile bearing capac-
    excess pore pressures and concomitant increases in ity are governed by the properties and varying
    effective stresses within the soil (Whittle and Su- strength of the soil surrounding the pile during the
    tabutr, 2005). pile driving. Therefore, it is of great interest to study
    the soil responses and variations during the pile
    In practice, considering that the permeability in clay driving. Research efforts over the last 50 years have
    is less than that in sand and the cohesive soil concentrated on pore water pressure generation and
    strength setup is slower, the field engineer some- dissipation in the soil surrounding the pile during

    497
    pile driving. Most of the studies focus on monitoring posed to evaluate the excess pore water pressure in
    the excess pore water pressure induced by the pile- the soil surrounding the pile during driving. The 1D
    driving process (Bjerrum and Johannessen, 1960; wave equation has been introduced into the pile-
    Soderman and Milligan, 1961; Lo and Stermac, driving analysis. Based on the driving records, the
    1965; Airhart et al., 1969; DAppolonia and Lambe, back-analysis method has been applied to estimate
    1971; Eigenbrod and Issigonis 1996; Hwang et al., the pile bearing capacity after refusal.
    2001). The results of these studies indicated that the
    maximum excess pore water pressure induced by 2. Excess Pore Water Pressure during Continu-
    pile driving may be greater than the effective over- ous Pile Driving
    burden stress in the soil. Remarkable strength setup
    took place in the re-driving and the static loading Continuous pile driving causes excess pore water
    tests (Matsumoto et al., 1995; Bhushan, 2004; pressure generation and accumulation in the sur-
    Camp, 2004; Howard et al., 2004; Ho and Lim, rounding soil, which can significantly exceed the
    2004; Hussein et al., 2004; Whittle and Sutabutr, initial total overburden stress. This is caused by the
    2005; Paikowsky et al., 2005; Bullock et al., 2005). cavity expansion behaviour due to the pile penetra-
    tion and the dynamic behaviour due to the hammer
    These data indicate that the strength setup was asso- impact.
    ciated with the dissipation of pore pressure, leading
    to an increase in the effective stresses in the sur- 2.1 Cavity expansion behaviour
    rounding soil. Some researchers have also reported Pile driving is related to the interaction between the
    the change of excess pore water pressure as a func- pile and its surrounding soil, and the propagation of
    tion of distance and time after driving cessation (Tan a stress wave along the pile from the hammers im-
    et al., 2004). Setup factors have been introduced into pact. It is assumed that the expansion caused by pile
    the evaluation of the soil strength increase after driv- penetration is analogous to a cavity expansion. The
    ing cessation (Stevens, 2004; Rausche et al., 2004; excess pore water pressure caused by the pile pene-
    Hannigan et al., 1998). These studies indicate that tration can be deduced from the cavity expansion
    setup factors can vary widely between values of less theory (Vesic, 1972) and the Henkel (Henkel, 1959;
    than 1 (relaxation) to 10 or more. Bishop and Henkel, 1953) pore water pressure equa-
    tion (Wang and Sun, 2004; Tang et al., 2002). The
    Previous research (Whittle, 1992) has also shown following applies in the plastic zone and elastic
    that there are many soil properties that can affect zone, respectively:
    predictions of soil stresses and pore pressures during R
    continuous pile driving and subsequent consolida- 'u su [2 ln  (1.73 A f  0.58)] (1)
    r
    tion. For example, small strain stiffness properties
    2
    and post-peak strain softening (sensitivity) affect the R
    'u su [0.578(3 A f  1) ] (2)
    radial extent and magnitude of the installation ex- r
    cess pore pressures, while the initial stress history where Af is the pore water pressure parameter
    (the overconsolodation ratio (OCR)) and radial (which is between 0.5 and 1.0 for normally consoli-
    compressibility (within the installation zone of dis- dated clay); R is the radius of the plastic zone; r is
    turbance) affect the subsequent dissipation. Fur- the distance between the calculated point and the
    thermore, the pile-driving energy and the duration of centre of the cavity; and su is the undrained soil
    driving cession also affect the values of setup fac- strength. The radius of the plastic zone in Equation 2
    tors. Given this complexity, the development of can be calculated as follows:
    generalised solutions for prediction of pore pressure
    dissipation and pile setup is highly unlikely (Whittle E
    and Sutabutr, 2005). R r (3)
    2(1  P ) su

    In this paper, a method based on the effective stress where E is the elastic modulus, P is the Poisson ra-
    principle and the cavity expansion theory is pro- tio, and the other symbols are as above.

    498
    2.2 Effect of hammer energy The procedure of stress transfer can be expressed in
    In offshore engineering, especially for large-diameter the following equations. The initial stress in the
    deep-penetration steel-pipe piles, in order to attain the foundation before pile-driving is calcuated as:
    desired impact force the hammer energy needs to
    V V c  u0 (7)
    reach 2300kJ or higher. The high-energy hammer
    strikes the top of the pile repeatedly, which disturbs where is the total stress, is the effective stress,
    the soil within a certain radius around the pile pipe. and u0 is the initial pore water pressure, which is
    The soil skeleton is destroyed or squeezed severely now the hydrostatic pressure. The strength of the
    around the pile, which causes the excess pore water foundation soil is given by:
    pressure to increase dramatically. There is a little re- (8)
    Wf V c tan M (V  u 0 ) tan M
    search on the relationship between the strike energy
    and the pore pressure, because it is difficult to per- The foundation soil stress during pile driving is
    form a field test and to obtain measurement data. In given by:
    this paper, based on the dynamic consolidation
    V V c  u0  u (9)
    method for soft soil ground improvement, an empiri-
    cal equation has been proposed to estimate the excess where u is the excess pore water pressure. The
    pore water pressure in the clay layer due to the ham- strength of the foundation soil is given by:
    mers strike force (Qian and Yin, 1996). The maxi- (10)
    Wf V c tan M (V  u 0  u ) tan M
    mum pore water pressure (umax) caused by the dy-
    namic compaction can be calculated as follows: This clearly indicates that the soil strength decreases
    due to the increase of excess pore water pressure.
    u max 0.625('V sd )1.10 (4)
    After driving cessation, excess pore water pressure
    where sd is the sphere dynamic stress increment, translates into effective stress, given as follows:
    calculated as:
    V c V  u0  E k u (11)
    1 v
    'V sd 'V ad (5) The strength of the foundation soil is given by:
    3(1  v)
    Wf V c tan M (V  u 0  E k u ) tan M (12)
    where ad is the axial dynamic stress increment.
    where Ek is the pore pressure factor expressed as the
    During pile driving by hammer action, the dynamic ratio of excess pore water pressure transformed into
    stress decreases after achieving the peak value. Be- excess effective stress. As shown in Equation 12, the
    cause of this, the soil expands and pore water pres- dissipation of excess pore water pressure leads to in-
    sure decreases by an increment of us, which can be creased soil foundation strength.
    estimated by the following empirical equation:
    4. Factors Affecting Soil Strength Increase after
    us 0.304('V sd )1.20 (6)
    Driving Cessation
    where ad can be calculated by a pile-driving
    analysis program. 4.1 Soil permeability
    The time required for dissipation of excess pore wa-
    3. Effective Stress Increase after Driving ter pressure can differ, because of the different drain-
    Cessation age conditions of soil layers encountered in different
    offshore projects. This is the case even if the pile
    After driving cessation, the accumulated excess pore types are the same and the pile-soil interfaces are
    water pressure dissipates rapidly. Water begins to similar. For long piles that penetrate several layers of
    flow laterally out of the disturbed zone, and the soil soil, usually the speed of excess pore water pressure
    consolidates. Based on the effective stress theory, as dissipation is higher because of the high permeability
    pore water pressure dissipates, the effective stress of the seafloor sandy or silty soils. The fact that the
    and the soil strength surrounding the pile increases, permeable layer shortens the drainage paths also
    which leads to the increase of pile capacity, or setup. leads to the expedited clayey soil consolidation.

    499
    4.2 Cracks in the soil length and 400mm in outer-diameter, was driven to
    Pile driving with a high-energy hammer squeezes a soft rock, a very high u of 880kPa was generated
    and disturbs the surrounding soil severely and de- in the soil plug during continuous driving. After a
    stroys the soil skeleton, which may lead to cracks break of 65hr in pile driving, the total driving resis-
    occurring around the pile. According to hydraulic tance at the first blow of re-driving reached 8.0MN.
    fracturing theory because of the low tensile strength This was more than three times as much as the total
    of the soil, once the water pressure is higher than the driving resistance measured at the end of installation
    constrained pressure a crack will occur in the soil. driving. The corresponding set per blow was only
    During continuous pile driving, the excess pore 1mm. It can be seen that the soil plug effect is a sig-
    water pressure keeps accumulating and will reach a nificant contributor to the pile re-driving difficulty
    certain value that will lead to the soil crack. The or even refusal.
    available data and research results show that the
    cracks occur in the soil about 10m under the ground 5. Back-Analysis Method Based on the Driving
    surface during pile driving (Tomlinson, 1970). The Record
    cracks in the soil increase the number of drainage
    paths and accelerate the soil consolidation rate. As discussed previously, the soil strength setup, ac-
    companied by the increase of pile shaft friction and
    4.3 Duration of driving cessation end-bearing resistance, is the dominant reason for
    The excess pore water pressure dissipation and the the refusal during re-driving. Therefore, to estimate
    effective stress increase are closely related to the du- the soil strength after driving cession is the focus of
    ration of pile driving cessation. Based on 1D con- the pile re-driving analysis. However, the influence
    solidation principle, the degree of soil consolidation factor on the soil setup is complex, and it is difficult
    is a function of time. In other words, the soil con- to calculate the soil strength after driving cession us-
    solidation degree is higher when the drainage time is ing conventional methods. Based on the field driv-
    longer. ing records and the proposed Equation 12, a back-
    analysis method has been established to estimate the
    4.4 Soil plug effect soil resistance after driving cessation. In this
    Interaction between the soil plug and pipe pile is the method, the accurate driving record, foundation soil
    key problem in pile driving analysis. During con- properties and hammer characteristics are of great
    tinuous pile driving, not only does the pore water importance. The back-analysis method is summa-
    pressure in the soil outside the pile pipe increase rised in the following paragraphs.
    with the decrease of soil strength, but the soil inside
    the pile pipe is also severely disturbed, which leads The 1D wave equation is applied to analyse the con-
    to the creation of high pore water pressure. As dis- tinuous pile driving and simulate the driving proc-
    cussed previously, the high pore pressure may de- ess. Comparison is then done between the pile driv-
    stroy the soil skeleton and lead to cracking. As a re- ing analysis results and the field measurement data
    sult, during continuous pile driving the soil plug using curves of blow counts versus pile penetration
    barely forms inside the pile pipe, and the friction be- depth. The soil properties are modified in pile-
    tween the pipe inner wall and soil is not significant, driving analysis in terms of the measured data until
    which is beneficial to pile penetration. the calculated results match the driving records.
    Then Equations 1 to 12 are applied to calculate the
    After driving cession, the excess pore water dissi- excess pore water pressure in the soil surrounding
    pates and the effective stress increases, which leads the piles caused by the continuous pile driving. This
    to the soil strength setup and the increase of the fric- will aid in estimating the setup factor with consid-
    tion between the soil and pipe inner wall. The soil eration of the driving cessation time and the other
    plug will eventually approach its maximum height influence factors. Finally, the results of the equa-
    within the pile, causing difficulty in pile re-driving. tions are introduced in the pile re-driving analysis.
    Available literature on field tests (Matsumoto et al., The refusal phenomenon is simulated by modifying
    1995) show that when a steel pipe pile, of 11m in the soil properties in the clay layer to attain a soil re-

    500
    sistance that approaches the field data. The pile seen, the relationship of calculated blow counts ver-
    bearing capacity after refusal can be estimated with sus penetration depth is similar to the observed data,
    this soil resistance. which indicates that the calculation parameters for
    the ground soil in the analysis is close to those in
    6. Case Study real conditions.

    6.1 Project description The maximum excess pore water pressure, due to
    A platform jacket has six steel pipe piles. The pile of continuous pile driving in the cohesive layers pre-
    104m in depth and 1524mm in diameter is driven in dicted using the proposed method, are provided in
    very dense fine silty sand of 9.3m depth. During the Table 1.
    pile driving procedure, a driving cession for about
    15 days occurs after the pile penetration depth Blow counts per 30 cm
    reaches 88.7m. All six piles meet refusal. The foun- 0 20 40 60 80 100
    0
    dation soil properties are given in Table 1. The field
    driving records are shown in Figure 1. 20 'DWD
    &DODFXODWLRQ

    Penetration depth(m)
    40
    6.2 Back-analysis method application Observed data

    In pile installation, a hammer of IHC 500 has been 60 Calculated value


    used to drive the pile continuously to 88.7m. Based 80
    on the field driving records, the 1D wave analysis
    100
    method is applied to pile driving analysis and simu-
    lates the process of pile driving. Figure 1 illustrates
    the pile-driving analysis results by trial. As can be Figure 1: Blows versus penetration depth during driving

    Table 1: Soil properties

    Calculation results
    No. Soil de- Soil depth Submerged Strength Unit side Unit end Plastic Excess Consoli- Increased
    scription (m) unit weight (kPa) resistance- resistance radius pore dation pile shaft
    (kN/m-3) (kPa) (MPa) (m) pressure degree resistance
    (kPa) (%) (kPa)
    0.02.0 7.8/9.0 4/7.5 0/6 0.04/0.07 9.5 28.1 50 67.2
    1 Silty clay
    2.03.0 9.4/9.4 16/16 8/10 0.14/0/14 6.2 70.5 50 127.6
    2 Silty sand 3.020.1 9.2/10.0 8/57 0.31/2.3
    3 Silty clay 20.124.2 10.0/10.0 40/70 40/64 0.36/ 0.63 4.0 211.5 50 1818.2
    4 Silt 24.226.5 10.5/10.5 67/67 2.84/2.90
    5 Clay 26.528.0 9.3/9.3 100/100 81/83 0.90/0.90 3.3 388.8 50 1172.1
    6 silt 28.034.2 11.0/11.0 81/81 4.80/4.80
    7 Silty clay 34.237.4 9.5/9.5 100/100 93/97 0.90/0.90 3.6 344.4 50 2617.0
    8 Silty sand 37.443.6 10.2/10.8 67/96 2.90/9.60
    9 Silty clay 43.657.0 10.0/10.0 160/80 132/80 1.44/0.72 3.1 535.1 50 7916.0
    Silty fine
    10 57.066.0 10.5/10.5 96/96 9.60/9.60
    sand
    11 Silty clay 66.068.5 10.0/10.0 105/105 105/105 0.94/0.94 4.6 296.1 50 1876.3
    Silty fine
    12 68.588.6 10.0/10.0 96/96 9.60/9.60
    sand
    13 Silty clay 88.693.0 11.0 120/120 120/120 1.08/1.08 4.0 333.9 50 83.2
    Silty fine
    14 93.097.7 9.8/9.8 96/96 9.60/9.60 Refusal
    sand
    Note: The unit side resistance and unit end resistance were calculated using the American Petroleum Institute RP 2A (API, 1993).
    The strength properties of all the clay layers are only listed in the table for calculation purposes.

    501
    The consolidation degree prediction and correspond- the pile. The two sensors were installed symmetri-
    ing pile shaft resistance are given in the table as cally at the opposite sides on the same plane under-
    well. According to the in situ study of pile driving neath the pile surface. The distance between the
    (Hwang et al., 2001), the predicted dissipation time centre of sensors and the top of pile is between
    based on the 1D model is far greater than the values 17.6m and 19.2m. The sensor arrangement is shown
    obtained from in situ tests. The differences average in Figure 3.
    about 120 times larger than values obtained from in 2 3
    situ tests.
    B

    With reference to this study, the soil crack action


    was considered in estimating the degrees of the soil
    A
    consolidation, which led to a higher consolidation
    degree and a shortened dissipation time. Based on
    High strain test pile
    the forgoing simulation of continuous driving proc-
    esses, the IHC S800 hammer was applied to the pile
    Figure 3: Sensor arrangement
    re-driving analysis in accordance with the driving
    records and the calculated soil resistance (Table 1). According to the construction conditions, a hammer
    In terms of the results of the excess pore water pres- with an energy of 1000kJ was selected, with nine
    sure, only the resistance of the cohesive soil layer blows for each pile driving. The response signals for
    increased in the pile re-driving analysis. The plot of each strike were recorded. The best response signals
    blow counts versus penetration depth was obtained from the measurement data were used to simulate
    from many parallel calculations. Figure  2illus- the standard waves. Test results are given in Table 2.
    trates that increasing the resistance in the cohesive
    layers can simulate the refusal phenomenon during Table 2: Dynamic analysis test results of pile capacity
    pile re-driving.
    Blow counts per 30 cm No. 1 2 3 4 5 6
    0 100 200 300 400 Bearing
    0 49.5 53.4 50.6 48.5 48.3 49.8
    capacity (MN)
    20
    Penetration depth(m)

    40 Engineering experiences show that the results of the


    pile foundation dynamic test usually are 1.01.5
    60
    times higher than that of a plate loading test. The
    80 comparison between measured and calculated pile
    Hammer refusal
    100
    bearing capacity illustrates that the field test results
    are very close to the calculated one. After driving
    cession, the pile bearing capacity is increased to
    Figure 2: Blows versus penetration depth after setup 42.5MN. Therefore, the proposed method can be
    viewed as acceptable since it yields a reasonably
    The soil properties used in the pile re-driving analy- accurate estimate of pile bearing capacity.
    sis were close to the ground soil actual conditions
    after the pile driving cession. The adjusted soil pa- 7. Conclusions
    rameters can be used to estimate the pile bearing ca-
    pacity. Back-analysis shows that the minimum and This paper investigates the soil strength setup after
    maximum values for pore water pressure factor (Ek) pile driving cessation and presents an empirical
    are 0.0 and 0.5, respectively. In terms of the corre- method of determining the pile bearing capacity af-
    sponding method in the criterion (API, 1993), the ter refusal. The methodology is based on the cylin-
    pile bearing capacity is 42.5MN after refusal. drical cavity expansion theory, the effective stress
    principle and the actual pile driving records. The
    6.3 Validation of proposed methodology main reasons for the increase of pore water pressure
    The validity of the proposed back-analysis method in the soil surrounding the piles during continuous
    in this study can be quantified by comparing predic- driving are the pile cavity expansion behaviour and
    tions with field measurements. For verification rea- the hammers impact effect. The pore water pressure
    sons, a high strain dynamic test was performed in caused by the former effect can be calculated by the
    situ to measure the pile bearing capacity. The strain cylindrical cavity expansion theory and the attendant
    sensors and acceleration sensor were installed along pore water pressure equation. The pore pressure

    502
    caused by the hammers impact can be estimated by Camp WM. (2004). Drilled and driven foundation
    the empirical formula of dynamic consolidation. The behaviour in a calcareous clay. ASCE Geo-
    soil permeability, the extent of cracks in the soil sur- Support, 1-18.
    rounding the pile, the duration of driving cession and DAppolonia DJ and Lambe TW. (1971). Perform-
    the soil plug effect are all factors influencing the soil ance of four foundations on end-bearing piles. J.
    strength setup, re-driving difficulty and even refusal. Soil Mech. Found. Div. 97: 7793.
    Eigenbrod KD and Issigonis T. (1996). Pore-water
    The back-analysis method proposed in this paper is pressures in soft to firm clay during driving of
    based on the driving records and back-analysis of piles into underlying dense sand. Canadian Geo-
    the soil parameters until the pile-driving analysis re- technical Journal 33: 209218.
    sults agree with the driving records. The back- Hannigan P, Goble G, Thendean G, Likins G and
    analysis results indicate that the minimum and Rausche F. (1998). Design and Construction of
    maximum values of pore water pressure factor (Ek) Driven Pile Foundations. Publication FHWA
    of cohesive layers are 0.0 and 0.5, respectively. The H197-013.
    adjusted soil resistance is used to estimate the pile Henkel DJ. (1959). The relationships between
    bearing capacity. The application in a case study strength, pore-water pressure and volume change
    validated the back-analysis method with reasonable characteristics of saturated clays. Gotechnique 9:
    accuracy. 119135.
    Ho CE and Lim CH. (2004). Dynamic measurement
    Acknowledgments and analysis of pile driving through thick soft
    clay. In: Current Practices and Future Trends in
    The work described in this paper was funded by Deep Foundations. ASCE Geotechnical Special
    Program for New Century Excellent Talents in Uni- Publication 125, 329347.
    versity (NCET-11-0370), Innovative Research Howard R, Schneider J, Mcneilan T and Robins P.
    Groups of the National Natural Science Foundation (2004). Pile driving Indicator Program Results,
    of China (51021004), China National Natural Sci- Pier 400 Container Wharf, Port of Los Angeles,
    ence Foundation (50309009) and China 863 Founda- California. ASCE Geo Trans, 526535.
    tion (2004AA616100). Hussein M, Mondello B and Alvarez C. (2004).
    Simulated pile load-movement incorporating an-
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    440458.

    504
    INSTRUMENTATION AND FULL-SCALE LATERAL LOAD TEST-
    ING OF A BATTER PILE GROUP AT INTERSTATE 10 TWIN SPAN
    BRIDGE

    Murad Abu-Farsakh
    Louisiana Transportation Research Center, Louisiana State University, Baton Rouge, LA, USA
    Xinbao Yu, PhD
    Department of Civil Engineering, University of Texas at Arlington, Arlington, TX, USA
    Binay Pathak
    Department of Civil and Environmental Engineering, Louisiana State University, Baton Rouge, LA, USA

    Abstract
    A new Interstate 10 (I-10) Twin Span Bridge over Lake Pontchartrain was recently constructed to replace the
    old bridge that was heavily damaged by Hurricane Katrina in 2005. A large portion of the bridge is supported
    by batter pile group foundations. To evaluate the performance of batter pile foundations under lateral loading,
    a selected pier (M19 eastbound) of the new bridge was instrumented and used to monitor the pier during a
    unique full-scale lateral load testing. The M19 pier foundation consists of 24 precast prestressed concrete
    (PPC) 33.53m (110ft) long batter piles, among which 8 piles were instrumented with microelectromechanical
    sensor (MEMS) in-place inclinometers (IPI), and 12 piles were instrumented with strain gauges. The test was
    conducted by pulling the M19 eastbound and westbound piers toward each other by using high-strength steel
    tendons. A maximum of 8320kN (1870 kips) lateral load was applied in increments. A high-order polynomial
    curve fitting method was applied to fit the measured rotation profiles from the IPIs. The fitted rotation curves
    were then used to deduce the bending moment, shear force and soil reaction profiles. The calculated moments
    from curve fitting were compared with the moments calculated from strain gauges, and the results showed
    good agreements. The p-y curves of the soils at different depths were back-calculated, and the results showed
    little evidence of group effect.

    1. Introduction et al., 2009) performed full-scale lateral load tests to


    study the lateral resistance of vertical single piles
    Pile foundations are usually designed to support and pile groups. Their findings indicated that piles in
    highway bridges and other structures, primarily to group usually undergo larger displacement than that
    safely carry superstructure axial loads deep into the of single piles for the same given load per pile. The
    ground. However, in many cases structures (such as lateral resistance is expected to increase when using
    bridges, quays and harbours) are subjected to lateral batter piles instead of vertical piles because of the
    loads caused by high winds, wave action, water pres- effect of pile inclination. Part of the applied lateral
    sure, earthquakes and ship impacts. Therefore, it be- load will be transferred to axial loads on batter piles.
    comes essential to understand the resistance behav- In addition, the bending moments caused by super-
    iour of piles and pile groups to lateral loads. The structure vertical loads can partly negate the lateral
    problem of laterally loaded single piles and pile load effect (Zhang et al., 2001, Rajashree and
    groups has been under investigation for more than Sitharam, 2001).
    three decades. However, the non-linear behaviour of
    soil and soil-pile interaction, group interaction effect Several methods, such as elastic method (Poulos,
    and uncertainties make analyses of lateral behaviour 1971), strain wedge model (Ashour et al., 2002) and
    of piles complex. So far, the full-scale lateral load p-y curves (e.g. Matlock, 1970; Reese, 1974), have
    tests are considered to be the most effective method been developed for the analysis of lateral loaded
    for understanding the behaviour of laterally loaded piles. Among these methods, the p-y curves is con-
    piles. Several researchers (e.g. Matlock et al., 1980; sidered the most satisfactory and popular method.
    Brown et al., 1987; Rollins et al., 2005; and McVay The most important task of interpreting the results of

    505
    lateral load tests is to back-calculate p-y curves. The 3. Subsurface Soil Condition at M19 Pier
    development of p-y curves from full-scale lateral
    load tests depends on interpretation of instruments, Comprehensive subsurface exploration was carried
    such as inclinometer or strain gauge. out at the M19 pier as part of the wider subsurface
    soil exploration along I-10 Twin Span Bridge. One
    Several interpretation approaches have been devel- soil boring was performed close to the M19 pier
    oped for back-calculating the p-y curves. Examples down to 60.8m (200ft), and Shelby tube samples
    include piecewise polynomial curve fitting (e.g. were extracted for laboratory testing, such as uncon-
    Dunnavant, 1986), high order polynomial curve fit- solidated-undrained (UU) triaxial tests. Standard
    ting method (e.g. Wilson, 1998) and weighted resid- penetration tests (SPT) were also conducted in sandy
    ual method (e.g. Wilson, 1998). However, all these layers. In addition, five cone penetration tests (CPT),
    methods are only applied to the bending moment da- four at corners and one at centre of foundation, were
    ta obtained from strain gauge measurements. For in- conducted at the site to define soil profile and to find
    terpretation data from the inclinometer, Brown et al. any variation of soil properties across the foundation
    (1994) applied the best-fit curve method using least site.
    square technique. In addition, Liao and Lin (2003)
    derived the deflection function of lateral loaded piles
    based on the conservation of energy concepts. Nip
    and Ng (2005) assumed a fourth order polynomial to
    represent the shape of soil reaction profile and de-
    rived the function of the deflection profile to the
    match measured profile from inclinometers.

    To study the lateral response of batter pile groups, a


    unique full-scale lateral load test was conducted at
    M19 eastbound pier (consisting of 24 batter piles) of West- East-
    the Interstate 10 (I-10) Twin Span Bridge over Lake Bar
    Pontchartrain, Louisiana. This paper presents analy-
    sis of the lateral load tests and the derivation of p-y
    curves using the high-order polynomial curve fitting Figure 1: Photo of M19 eastbound and westbound piers site
    method. Full details of instrumentation and the de-
    sign of lateral load test can be found in Abu-Farsakh The site exploration at M19 pier revealed the subsur-
    et al. (2011). face soil stratigraphy to consist of medium to stiff
    silty clay, to clay soil with silt. It also found sand
    2. Description of M19 Pier pockets and seams down to 33.53m (110ft) depth
    (undrained shear strength ranging from
    An 8.64km (5.4-mile) long, new I-10 Twin Span 26.8193.4kPa (0.282.02tsf)) with a layer of medi-
    Bridge over Lake Pontchartrain between New Orle- um dense sand between 10.67m (35ft) and 14.33m
    ans and Slidell, Louisiana, was recently built. It re- (47ft). (SPT N values range from 16 to 22.) Medium
    placed the old bridge that was heavily damaged from dense to very dense sand with inter-layers of silty
    the storm surge and water waves associated with sand, clayey sand, and silty clay soil was found be-
    Hurricane Katrina. The M19 pier is the second pier tween 33.53m (110ft) and 48.77m (160ft). (SPT N
    south of the marine traffic underpass. It supports values ranging from 3 for loose clayey sand to 86 for
    60.96m (200ft) long steel girders on the north side very dense sand.)
    and 41.15m (135ft) long concrete girders on the
    south side. The foundations of M19 piers consist of 4. Instrumentation and Lateral Load Test
    24 precast prestressed concrete (PPC) 33.53m
    (110ft) long battered piles (batter angle of 1:6) with The Louisiana Department of Transportation and
    an outer dimension of 0.91m (36-inch) and a circular Development (LADOTD) decided to install a struc-
    void of 0.572m (22.5-inch). The average embedded tural health monitoring system (SHM) at the M19
    length of the piles is 26.52m (87ft). The size of M19 eastbound pier for short-term and long-term moni-
    pile cap (or footing) is 13.41m (44ft) long, 12.92m toring of the bridge. Its purpose was to validate the
    (42.5ft) wide and 2.13m (7ft) deep. The water depth analysis method used in the design of batter pile
    is 3.66m (12ft) below pile cap. Figure 1 presents the group foundations, and to monitor the structural
    M19 eastbound and westbound piers site. health of the new I-10 Twin Span Bridge. The SHM

    506
    includes both substructure and superstructure in- x preloading each tendon to 1334.5kN (300
    strumentations (see Abu-Farsakh et al. (2011) for kips);
    details). As part of substructure instrumentation of x increasing the load incrementally to
    the M19 pier, 8 selected piles were equipped with 2668.9kN/tendon (600 kips/tendon);
    microelectromechanical sensor (MEMS) in-place in- x unloading to 1334.5kN (300 kips);
    clinometers (IPI), and 12 selected piles were
    equipped with resistance-type sister bar strain gaug- x reloading incrementally to 4448.2kN/tendon
    es. The locations of these piles are shown in (1000 kips/tendon);
    Figure 2. x unloading again to 1334.5kN/tendon (300
    kips/tendon); and
    x finally cutting the strands.

    The estimated total time of testing was 6hr. The test


    was unloaded earlier at a maximum applied load of
    8320kN (1870 kips) when the stroke in one 600-ton
    jack reached its maximum.

    IPI, Sister Bars


    Figure 2: Plan view of M19 pier footing with layout of sub-
    structure instrumentation

    An IPI consists of a string of tilt sensors connected


    together and placed permanently in the pile through
    a PVC casing. The IPIs measure the rotation in each Figure 3: Setup of lateral load test at M19 pier
    string in a direction perpendicular to the axis of the
    string. Six MEM sensors were placed at elevations Survey station prisms were installed at M19 east-
    of 1.52m (5ft), 4.57m (15ft), 7.62m (25ft), 10.67m bound and westbound, M17 eastbound, and M20
    (35ft), 13.72m (45ft), and 19.81m (65ft) from the eastbound to monitor the movements of footings and
    bottom level of the pile cap. The lowest one was tied bent caps of the M19 piers using automated laser
    to an anchor point at the bottom of PVC casing at survey system. Direct measurements from IPIs give
    25.91m (85ft) from the bottom of the pile cap. Two inclinations or rotation angles of the installed sen-
    pairs of strain gauges were installed in each of the sors. For convenient visualisation of the pile deflec-
    12 piles at locations of 4.88m (16ft) and 6.4m tions, the IPI measurements were converted to lat-
    (21ft) from the pile top before pile cut-off to meas- eral deflection profiles using trigonometry. Figure 4
    ure the strain distribution, and hence the bending presents the deflection profiles for selected piles 11
    moments in the piles. and 8.

    A unique lateral load test was designed and conduct- The charts indicate that most of the lateral defor-
    ed at M19 eastbound pier to assess the validity of mation occurred within the upper 15.2m (50ft) of
    current design methodology for batter pile group the piles. The maximum lateral deformation meas-
    foundations in Louisiana. Two hydraulic jacks were ure at 1.52m (5ft) from the bottom level of the pile
    used to provide lateral loads by pulling M19 east- cap ranged from 1.5cm (0.59 inch) to 1.7cm (0.67
    bound and westbound piers toward each other. High- inch). This is in agreement with the measured lat-
    strength steel tendons were run through pile caps via eral deformations of the pile cap using the auto-
    the pre-installed 10.16cm (4-inch) diameter PVC mated laser survey, which are 1.68cm (0.66 inch)
    pipes. Figure 3 presents a photo of lateral load test and 1.47cm (0.58 inch) for north-west and south-
    setup at M19 pier. The designed sequence of this test west corners of the M19 eastbound pier, respec-
    includes: tively.

    507
    (a) unit length; and EI is the flexural stiffness of the
    Displacement (cm)
    pile.
    0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
    0

    2
    Several methods have been proposed to interpret the
    inclinometer data from lateral load tests of piles to
    4
    deduce the bending moment, shear force and soil re-
    action profiles (e.g. Brown et al., 1994; Nip and Ng,
    Depth below pile cap (m)

    8
    2005). In this study, the back-analysis method for
    1st row / Pile 11
    p-y curves, which assumes the shape of soil reaction
    10
    Load profile with depth (Pz) follows a fourth order poly-
    12
    2535 kN nomial, was used as given in Equation 2:
    3425 kN
    14 4315 kN  (2)
    5250 kN
    16 7030 kN Integrating Equation 2 three times, the rotation pro-
    7760 kN
    18 8320 kN
    file can be obtained as a seventh order polynomial
    function, as follows:
    20
    0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
      ( 3)
    (b) Equation 3 was used in this study to fit the measured
    Displacement (cm)
    0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
    rotation profiles obtained from IPIs using least re-
    0 sidual error regression analysis. Since the pile cap is
    2
    2.13m (7ft) thick reinforced concrete, the pile-cap
    connection was considered here as a fixed end with
    4
    rotation ( ). In addition, the IPI measure-
    ments showed that the rotations at 19.81m (65ft) are
    Depth below pile cap (m)

    8
    minimal and therefore were treated as 0 ( ).
    4th row / Pile 8
    An example of curve fitting of rotation for pile 11 at
    10
    Load 7760kN (1745 kips) load is shown in Figure 5. The
    12
    2535 kN charts also compare the calculated lateral defections
    3425 kN
    14 4315 kN derived from fitted rotation curve (by integrating
    5250 kN Equation 3) with the measured deflections. Figure 5
    7030 kN
    16
    7760 kN
    demonstrated that the seventh order polynomial fit-
    18 8320 kN ted function was able to capture the measured rota-
    tion profile. Once the rotation profile is fitted into a
    20
    0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 function, the moment, shear force and soil reaction
    profiles can be deduced by differentiating the rota-
    Figure 4: Deflection profile for pile 11 and 8 at different load tion in Equation 1 and multiplying it by the flexural
    increments
    stiffness of the PPC pile (EI). The elastic modulus
    5. Interpretation of Inclinometer Data (E) was assumed to be a constant (E = 35 094MPa
    (5.09 106psi)) since the pile deformation was with-
    If piles are considered as flexible elastic beams, and in the elastic range. The E value was estimated here
    beam on elastic foundation theory is used, the lateral from the results of 28 days of compression strength
    response of the pile can be calculated by solving the tests on cylindrical specimens. The p-y curves at dif-
    differential equations of deflection curve (or rota- ferent depths can also be developed from the calcu-
    tion), as follow: lated soil reactions and corresponding deflections
    obtained at different load increments.
    
    (1a)

    6. Results and Analyses

    (1b)

    6.1 Bending moment profile
    The profiles of bending moment at different loads
    (1c)

    were calculated using Equation 1a. The calculated
    where y is the lateral deflection; z is the depth below moment profiles for selected piles 8 and 11 are
    the pile top; is the rotation; M is the bending mo- shown in Figure 6, where the zero depth in the graph
    ment; V is the shear force; P is the soil reaction per corresponds to the pile-cap head.

    508
    (a) (a)
    Rotation (radian) Moment (kN-m)
    0 0.02 0.04 0.06 0.08 0.1 -600 -400 -200 0 200 400 600 800 1000
    0 0

    2 2
    1st row / pile 11
    4 4

    6
    6

    Depth below pile cap (m)


    Depth below pile cap (m)

    8
    8 1st row/ Pile 11
    10
    10

    12
    12

    14
    14

    16
    16
    18
    18
    20
    20

    (b)
    Displacement (cm)
    0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2 (b)
    0
    Moment (kN-m)
    2 -600 -400 -200 0 200 400 600 800 1000
    0
    4
    2
    6
    4
    Depth below pile cap (m)

    8 1st row / pile 11


    6

    Depth below pile cap (m)


    10 Load 7760 kN
    8 4th row/ Pile 8
    measured displacement
    calculated displacement
    12 10 Load
    2535 kN
    14 12 5250 kN
    8320 kN
    16 14

    18 16

    18
    20

    20
    .
    Figure 5: (a) Curve fitting of measured rotation profile; and
    (b) calculated deflection profile Figure 6: Bending moment (kN-m) profiles for each row in pile
    group: (a) pile 11/1st row; and (b) pile 8/4th row
    The maximum positive bending moments occurred
    at the pile-cap heads for all piles and all load levels.
    The magnitude of the moment rose with the increase (4)

    of load increments from 2535kN (570 kips) to
    8320kN (1870 kips). The moments developed at the where t is tensile strain (+); c is compressive strain
    ground level (3.66m (12ft) from the pile top) is (); and h is the horizontal distance between gauges
    about 5055% lower than that at the pile top. A spaced at equal, but opposite, distances from the
    review of bending moment curves shows that the neutral axis. According to Rollins et al. (1998), this
    depth to the first zero moment increases as the load approach cancels out any contribution due to axial
    increases. The depth of zero moment for row 1 is strain, leaving only strains due to bending, and
    less than that for row 4. Such trend is also seen for hence makes it possible to accurately compute the
    the depth to maximum negative moment. This find- bending moment. Two moment locations can be
    ing is consistent with previous study on the analysis calculated from the instrumented strain gauges
    of vertical pile groups loaded laterally (McVay et SG1 at 3.35m (11ft) from pile top and SG2 at
    al., 1998). Measurements from strain gauges were 1.83m (6ft) lower than SG1. The measured mo-
    also used to calculate the bending moment at certain ments from strain gauges at SG1 location are com-
    locations along the pile length, which can be used to pared with the calculated moments from IPI for pile
    validate the IPI measurements. The moment was 7, as depicted in Figure 7, which shows good
    calculated from the strain gauges using the following agreement. The moments for the other piles also
    equation (Rollins et al., 1998): show similar trend.

    509
    10000
    (a)
    30
    3rd row / Pile 7
    Moment at 3.35m. below pile top 28 Pile Position

    8000 26 1 st row / pile 11


    2 nd row / pile 6
    24
    3 rd row / pile 7
    22 4 th row / pile 8

    Soil resistance force (kN/m)


    6000 20
    Load (KN)

    18

    16

    14
    4000
    12

    10

    8
    2000 Moment
    Inclinomter Moment 6
    Strain gague Moment
    4

    2
    0
    100 200 300 400 500 600 0
    0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8
    Moment (KN-m) Displacement (cm)
    (b)
    Figure 7: Comparison between measured and calculated 30
    moments
    28
    Pile Position
    26 1st row / pile 11
    6.2 Back-calculated p-y curves 2nd row / pile 6
    24
    The soil reaction profile corresponding to each load 22
    3rd row / pile 7
    4th row / pile 8
    increment can be determined by differentiating the
    Soil resistance force (kN/m)

    20
    rotation function (Equation 3) three times. The p-y 18
    curves at selected depths can then be deduced from 16
    the soil reaction profiles obtained at different load 14
    levels. The comparison of p-y curves for different 12
    piles (6, 7, 8 and 11) are presented in Figure 8 for 10

    depths 3.05m (10ft) and 6.1m (20 ft) below ground 8

    level, which can be used to analyse the pile group 6

    response and their interaction. 4

    The charts indicate that the leading pile 11 (row 1) 0

    has the larger soil reaction compared to the other 0 0.2 0.4 0.6 0.8 1
    Displacement (cm)
    1.2 1.4 1.6 1.8

    rows. The CPT soundings show that the soil profile Figure 8: Comparison of p-y curves of each row pile: (a) 3.05
    close to pile 11 has higher undrained shear strength m below GL; and (b) 6.1 m below GL
    as compared to the soil close to other pile locations.
    This could explain why pile 11 has less lateral de- The bending moment and soil reaction profiles were
    flection and higher soil resistance. Other than that, then derived using elastic beam theory. The p-y
    the p-y curves for all piles are close. Taking into curves at different depths were also generated from
    consideration the pile spacing at loading direction, the derived soil reaction profiles at different load in-
    which is 4.3D (D is the pile width), one can con- crements. The calculated moments deduced from
    clude that the group effect is negligible. Further curve fitting were compared with the moments cal-
    study is needed to verify this statement. The figures culated from measurements of strain gauge, and the
    also show that the soil becomes stiffer with depth, results showed good agreements between them.
    and therefore has larger soil reaction. Analysis of p-y curves for piles at different row loca-
    tions showed no evidence of group effect.
    7. Conclusions
    This paper presents the analysis of lateral load tests Acknowledgments
    that was conducted at a selected pier of I-10 Twin
    Span Bridge over Lake Pontchartrain to evaluate the This research project is funded by the Federal
    lateral response of batter group pile foundation. IPI Highway Administration (FHWA), the Louisiana
    measured rotations with depth were fitted into a sev- Department of Transportation and Development
    enth order polynomial function using the least resid- (State Project No. 736-99-1437), and the Louisiana
    ual error regression analysis. Transportation Research Center (LTRC Project No.

    510
    07-1ST). The authors greatly appreciated the help eral load. J. Geotechnical and Geoenvironmental
    and support provided by Da Ha and Allen Marr from Engrg. 127: 604612.
    Geocomp Corporation, and Zhongjie Zhang and Reese LC, Cox WR and Koop FD. (1974). Analysis
    Mark Morvant from LTRC. of laterally loaded piles in sand. Proc. Offshore
    Technology Conference, Houston, USA.
    References
    Rollins KM, Lane JD and Gerber TM. (2005).
    Abu-Farsakh M, Yoon S, Ha D, Marr W, Yu X and Measured and computed lateral response of a pile
    Zhang Z. (2011). Development of a substructure group in sand. J. of Geotechnical and Geoenv.
    instrumentation system for monitoring a smart Engrg. 121: 103114.
    pier at the new I-10 Twin Span Bridge. ASTM Rollins MK, Peterson TK and Weaver JT. (1998).
    Geotechnical Testing Journal 34: 332343. Lateral load behavior of full scale pile group in
    Ashour M, Norris G and Pilling P. (2002). Strain clay. J. of Geotechnical and Geoenvironmental
    wedge model capability of analyzing behavior of Engineering 124: 468478.
    lateral loaded isolated piles, drilled shafts, and pile Wilson D. (1998). Soil-Pile Superstructure interac-
    groups. J. of Bridge Engrg. 7: 245254. tion in liquefying sand and soft clay. Ph.D. Dis-
    Brown DA, Hidden SA and Zhang S. (1994). De- sertation, University of California at Davis.
    termination of p-y curves using inclinometer data. Zhang LM, McVAy MC, Han SJ, Lai PW and
    Geotechnical Testing Journal 17: 150158. Gardner R. (2001). Effects of dead loads on the
    Brown DA, Reese LC and ONeill WM. (1987). lateral response of battered pile groups. Canadian
    Cyclic lateral loading of a large-scale pile group. Geotech J. 39: 561575.
    J. of Geotechnical and Geoenv. Engrg. 114:
    12611276.
    Dunnavant TW. (1986). Experimental and analytical
    investigation of the behavior of single piles in
    overconsolidated clay subjected to cyclic lateral
    loads. Ph.D Dissertation, University of Houston,
    USA.
    Liao CJ and SS Lin. (2003). An analytical model for
    deflection of laterally loaded piles. J. Marine Sci-
    ence and Technology 11: 149154.
    Matlock H. (1970). Correlations for design of later-
    ally loaded piles in soft clay. Offshore Technolo-
    gy Conference, Houston, USA.
    Matlock H, Ingram WB, Kelley AE and Bogard D.
    (1980). Field tests of the lateral load behavior of
    pile groups in soft clay. Proc. Offshore Technolo-
    gy Conference, Houston, USA.
    McVay M, Zhang L, Molnit T and Lai P. (1998).
    Centrifuge testing of large laterally loaded pile
    groups in sands. J. of Geotechnical and
    Geoenvironmental Engineering 124: 10161026.
    McVay MC, Wasman SJ, Consolazio GR, Bullock
    PJ, Cowan DG and Bollmann HT. (2009). Dy-
    namic soilstructure interaction of bridge sub-
    structure subject to vessel impact. Journal of
    Bridge Engrg. 14: 716.
    Nip DCN and Ng CWW. (2005). Back analysis of
    laterally bored piles. Geotechnical Engrg. 158:
    6373.
    Poulos HG. (1971). Behavior of laterally loaded piles:
    II-Pile groups. J. Soil Mech. Found. Div. 97: 733
    751.
    Rajashree SS and Sitharam TG. (2001). Nonlinear
    finite-element modeling of batter piles under lat-

    511
    512
    RESEARCH ON THE FACTORS INFLUENCING THE DRIVING OF
    VERY LONG PILES IN THE BOHAI GULF
    S Yan, Z Huo and L Zhao
    School of Civil Engineering, Tianjin University, Tianjin, China

    Z Fan
    Offshore Oil Engineering Co Ltd, Tianjin, China

    Abstract
    Piles used for oil platform foundation in Bohai Gulf, China, are usually over 100m long and 2m in diameter.
    Such long piles have to be manufactured in segments before installation because of transformation and hoist-
    ing difficulties. The segments of the pile are assembled during installation by welding one to another, which
    often takes one or more days for two pile segments. After pile segment assembling, it proves to be difficult to
    restart the successive penetration. In this paper the mechanism of pile refusal is discussed and the process of
    driving a segmented pile is simulated using a finite element program. The calculated results show that when
    the stick-up stability is satisfied, increasing the length of the last segment of the pile and assembling the pile
    segments when the pile tip stays in a clay layer can greatly ease the difficulty of restarting pile driving.

    1. Introduction This paper discusses the build-up and dissipation


    characteristics of excessive pore pressure in the soil
    In recent years, more and more oil platforms with and the results of the pile drivability analysis pro-
    six or eight legs have been adopted in Bohai Gulf, duced by using a finite element program, which is
    China. The leg piles with diameters of 2m or more based on the 1D wave equation. From these results,
    have to be driven about 100m below the seabed. a reasonable pile configuration is suggested that is in
    Due to transportation and hoisting difficulties, these accordance with the capability of the driving ham-
    piles have to be manufactured in segments before, mers and soil properties, and can greatly reduce the
    and assembled during, installation. Assemblage re- risk of pile refusal.
    quires a successive segment to be attached to a for-
    merly penetrated one by welding and often takes one 2. Mechanism of Pile Driving
    day or more for two segments. During this period of
    time, the build-up of excess pore pressure in the soil Figure 1 shows the typical pile driving records of
    below and around the pile dissipates, to some extent. the Well Head Platform E (WHPE) in the Bohai
    This increases the strength of the soil and makes re- Gulf, which is one of the refusal cases in this area.
    starting the successive penetration very difficult. As shown in the chart, when the pile is driven con-
    Even pile refusal may sometimes take place, which tinuously, the soil resistance (identified by the blow
    is usually very costly and time-consuming. This is- account for every 30cm penetration) increases
    sue has been encountered quite often in Bohai Gulf smoothly. This may be due to several influencing
    and has puzzled the designers there for years. factors, such as the following:

    In order to avoid pile refusal, it is essential to con- 1. the structure of the soil around the pile has
    duct accurate and rigorous pile driveability analyses, been disturbed, causing the soil resistance to
    upon which comprehensive construction schemes, decrease;
    procedures and correlative management system can 2. excessive pore pressure in the soil has accu-
    be established. Accurate prediction of the driving re- mulated to a high level, causing the effective
    sponse is also important to estimate the capacity of a confining stress on the soil-pile interface to
    pile and to select a suitable hammer system. reduce;

    513
    3. the soil-pile interface has been polished by pressure can be estimated by the cavity expansion
    the frequent relative movement between the solution in elasticity theory (Vesic, 1972).
    soil and the pile surface, causing the inter-
    face frictional coefficient to diminish. Hwang et al. (2001) performed a very detailed in
    situ test on pile driving, and compared their meas-
    The first and second factors will cause both tip bear- ured data with the published results obtained by
    ing capacity and the normal stress acting on the soil- other researchers (e.g. Bjerrum and Johannessen,
    pile interface to decrease. The total penetration re- 1960; Milligan and Soderman, 1961; Lo and Ster-
    sistance is the sum of the tip bearing resistance and mac, 1965; Airhart et al., 1969; DAppolonia and
    the shaft frictional force on the soil-pile interface. Lambe, 1971). The comparison is shown in Figure
    The latter is the product of the effective normal 2, in which the maximum excessive pore pressure
    stress on the soil-pile interface and the frictional co- ('umax) was normalised by the effective overburden
    efficient of the soil-pile interface. Therefore, al- (Vvo), and the distance away from the pile (r) is
    though the normal stress on the soil-pile interface normalised by the radius of the pile (a).
    increases with pile penetration, the corresponding
    effective normal stress increases at a much smaller
    ratio than the total normal stress. As a result, the in-
    terface friction is greatly reduced from the initial
    state.

    It is obvious that without the resistance reduction


    induced by these influencing factors, driving a pile
    would be very difficult or even impossible. The rea-
    sons for pore pressure build-up and dissipation,
    along with the phenomenon of hydraulic fracturing,
    are explained by the following sections.

    Figure 2: Variation of normalised maximum excess pore pres-


    sure ratio with distance to pile driving (Hwang et al., 2001)

    Figure 2 shows that near the pile (r/a 10), the ac-
    cumulated pore pressure can rise to a value that is
    much higher than the effective overburden. With in-
    creased distance (r/a > 10), the accumulated pore
    pressure decreases steadily. The excess pore water
    pressure build-ups may be induced by several rea-
    sons, including:
    x soil expansion, caused by pile penetration;
    Figure 1: Pile driving records of the platform WHPE x soil disturbance, caused by the relative
    movement of the pile and the soil around it;
    2.1 Pore pressure build-up during pile driving x stress waves caused by the pile driving.
    During pile driving, great energy is generated by the
    driving hammer. Some of the energy does the direct
    work to overcome the penetration resistance, and 2.2 Phenomenon and principle of hydraulic fracturing
    another portion is transferred to the surrounding Research results have shown that when the excess
    soils, thus changing their properties. This causes ex- pore pressure is increased to a high level, the hy-
    cessive pore water pressure to accumulate. At the draulic fracturing phenomenon will occur in the soil
    same time, the penetration of the pile wall will push (Clark, 1949; Bjerrum et al., 1972; Seed, 1976).
    the soil mass aside, which will apply additional This technique is used for oil and gas production. By
    pressure to the soil around the pile and induce more applying high water pressure to the drilling hole,
    excessive pore pressure. This part of excessive pore fracturing of the soil or rock wall of the drilling hole

    514
    will take place. During this process, many fissures proven that for larger-diameter piles, the plug is
    will develop in the soil or rock near the wall, which rarely formed during penetration (Nishida et al.,
    will greatly increase the permeability of the soil or 1985; Paikowsky and Whitman, 1990). Therefore, if
    rock. Therefore, oil or gas can be driven out from designed appropriately, a pile can be driven to the
    the soil stratum to the well through these fissures penetration continuously.
    much faster than passing through the pores between
    soil particles. This can provide a more effective As mentioned earlier, a long pile has to be manufac-
    method for oil and gas production. Vanghan (1971) tured by segments because of transformation and
    put forward a formula (Equation 1) to predict the hoisting difficulties. During pile installation, a suc-
    hydraulic fracturing based on a specially designed in cessive segment has to be assembled to the segments
    situ experiment: that have been driven to the soil. Pile extension usu-
    ally takes one day or more. During this period of
    u f ! mV z  V t (1)
    time, the excessive pore pressure will dissipate very
    where m is between 1 and 2, depending on the stress quickly, the soil strength will regain rapidly and the
    distribution; uf is the pore pressure; Vz is the over- pile will probably become fully plugged. This will
    therefore make restarting the driving of the pile very
    burden; and Vt is the tension strength of the soil.
    difficult. In Bohai Gulf, refusal cases usually take
    Considering the depth of the drilling hole, Vt is quite
    place when attempting to restart pile driving after
    small and can easily be neglected. Since the exces-
    pile extension.
    sive pore pressure induced by pile driving is at such
    a high level, there is no doubt that the hydraulic
    3.1 Numerical simulation to the pile driving process
    fracturing will take place in the soil surrounding the
    For long and large dimension piles, it is essential to
    driven pile.
    conduct accurate and rigorous pile driveability
    analysis, upon which comprehensive construction
    2.3 Dissipation of excess pore water pressure due to
    schemes, procedures and correlative management
    pile driving
    system are based. Accurate prediction of the driving
    During pile driving, the pore pressure both generates
    response is also important to estimate the capacity of
    and dissipates, and the accumulated pore pressure is
    a pile and to select a suitable hammer system. Some
    the offset result of the two opposing processes. The
    commercial software, such as TNO and GRLWEAP,
    pore pressure generating rate is always greater than
    are available for pile driving analysis. These pro-
    the dissipating rate. Once pile driving ceases, the ac-
    grams are based on the 1D wave equation and de-
    cumulating process also stops while the dissipating
    veloped from useful engineering experience. In
    process continues and the soil around the pile under-
    these programs, a fatigue factor is consistently in-
    goes consolidation, with a decrease in water content
    troduced to account for the extent of the soil distur-
    and an increase in mean effective stress. The consoli-
    bance by pile driving. The fatigue factor can be de-
    dation process is well described by Randolph (2003).
    fined as:
    The pore water drains out through these fissures X
    2

    E
    much faster than through the soil voids. Therefore
    Y 5 (2)
    the consolidation coefficient (cv) is much higher
    than that of the soil in the initial state. Hwang et al. where is the fatigue factor; Y is the designed pene-
    (2001) compare the in situ observed data with that tration and X is the specified pile tip penetration.
    calculated with the Terzaghis 1D consolidation the- According to Equation 2, the discount of the driving
    ory at the same location. The initial coefficient of cv resistance decreases in areas 5m above the bottom of
    is 6 10-3cm2/s according to the laboratory test re- the pile tip. The fatigue effect on the area near the
    sults. The predicted dissipation time based on the tip of the pile can be neglected.
    1D model is 120 times greater than that observed
    from in situ tests, which means that the cv is 120 With proper input parameters and the data of the
    times greater than the initial value after pile driving. stresses developing in the pile during pile driving,
    the software can predict the blow account per feet
    3. Pile Restarting Analysis penetration and even the bearing capacity of the
    pile. With the predicted blow account, the depth and
    During pile driving, a plug may form that causes the the type of hammer used, the driveability of the pile
    driven pile behaviour to become close-ended and can be established. When software is used to analyse
    greatly increases the difficulty to drive. It has been the drivability of a pile that is being driven segment

    515
    by segment, the input parameters need to be deter- The following case study demonstrates how these
    mined according to the specified geological condi- measures can greatly reduce the risk of refusal when
    tions. restarting pile driving.

    Calculated results have shown (Vesic, 1972) that the 4. Case Study
    excessive pore pressure induced by the cavity ex-
    pansion is much higher than that induced by other A practical engineering case is presented to demon-
    means, such as the dynamic effect. When restarting strate the analysis procedure proposed in this paper.
    the pile, since less penetration is taking place the
    excessive pore pressure is more likely to be induced 4.1 Project background
    by the dynamic effect, which may not be able to dis- The WHPE platform is one of the platforms con-
    turb the soil enough to allow further penetration. structed in the Bohai Gulf, China. The pile founda-
    That is why it is so difficult to restart driving a pile. tion of this platform consists of 8 piles, as shown in
    The degree of pore pressure dissipation depends on Figure 3. Each of the piles is 141m long and consists
    the interval time between ceasing and restarting of 4 segments of 61m, 30m, 25m and 25m. The out-
    driving. side diameter is 1676mm, and the designed penetra-
    tion for the piles is 96m. The details of the piles are
    Considering the high speed of pore water dissipa- given in Table 1.
    tion, the soil around the pile will regain a large por-
    tion of its strength (Dutt and Ehlers, 2009). To pre- The MENCK MHU 800S hammer was used for
    dict the driveability of the pile restarted after an driving the piles. The parameters for the hammer are
    interval for pile extension, and for the purpose of listed in Table 2. The water depth was 27.6m, and
    obtaining a conservative estimation with the soft- the geological profile of the construction site is
    ware, it is reasonable to treat the pile to behaviour as shown in Table 3.
    close ended, and set the value to equal to 1 for all
    positions for the first 30cm penetration. If the calcu-
    20
    lated blow account to drive the pile to penetrate 1 2 3 4
    30cm is too large, the risk of refusal may arise. In A
    this way, the strength recovery due to the dissipation
    of the accumulated pore pressure can be considered N
    in the analysis. B

    3.2 Measures for preventing refusal when restarting Figure 3: Pile positions
    a pile
    Several measures can be taken to reduce the refusal Table 1: Specification of the piles
    risk for restarting a segmented pile. First, the
    strength recovery ratio of the soil depends on the Segments Length Wall Restart of Expected
    (m) thickness driving penetration
    time for pore pressure dissipation, which strongly (mm) penetration (m)
    influences the driving resistance. Therefore, cutting (m)
    down the pile extension time is the most effective 1 61.0 50 2223
    measure to minimise the refusal risk. Second, refusal 2 30.0 85 4748
    96
    usually takes place when the last segment of the pile 3 25.0 50 7173
    is assembled. It is common knowledge that driving 4 25.0 50
    resistance in sand is much higher than in clay.
    Therefore, it is recommended to keep the pile tip in
    a clay layer instead of in a sand layer when extend- Table 2: Hammer specifications
    ing the pile segment. Third, driving resistance at Hammer specs MENCK MHU800S
    smaller penetration is lower than that in larger pene-
    tration. Therefore, keeping the pile tip at a smaller Ram weight (KN) 434.7
    penetration can make restarting the pile easier. This Maximum stroke (m) 1.84
    means the length of the last segment of the pile
    Length of ram (mm) 6490
    should be designed as long as possible, provided the
    other conditions such as stick-up stability are satis- Diameter of ram (mm) 1097
    fied.

    516
    Table 3: Geological profile given in Figure 5. It can be seen that the blow num-
    Stratum Soil Penetration Unit skin Unit end bers for restarting the piles increased rapidly with
    description /m friction bearing the restarting penetrations. Refusal would take place
    /kPa /MPa
    even when restarting at a little more than 60m pene-
    (1) Clay 0.03.0 0/10.5 0.03/0.11
    tration.
    (2) Loose silt 3.84.6 5.0/7.7 0.17/0.28
    (3) Fat clay 4.66.4 14.4/17.3 0.21/0.21 Another platform in the same area, the Production
    (4) Sandy silt 6.411.4 18.2/35.5 0.96/1.89 Storage Platform (PSP), has a similar design, but the
    (5) Silty sand 11.414.6 44.1/57.5 3.78/4.94 lessons of driving refusal from the WHPE platform
    (6) Clay 14.620.6 66.1/64.2 1.21/0.86 had been taken into account by changing the struc-
    (7) Sandy silt 20.625.8 65.2/78.0 3.49/4.42
    ture of the pile. The total length of the pile is 140m,
    and it is divided into two segments. The upper and
    (8) Silty sand 25.834.6 91.8/91.8 8.84/9.18
    lower segments are 58m and 82m in length, respec-
    (9) Sandy silt 34.641.2 78.0/78.0 4.59/4.59
    tively. The designed penetration is 101m, and the
    (10) Silty sand 41.248.6 91.8/91.8 9.18/9.18 MHU1200S hammer was applied for driving. The
    (11) Dense silt 48.651.6 78.0/78.0 4.59/4.59 bottom segment was penetrated to a depth of 51m
    (12) Hard clay 51.661.0 155.2/163.9 1.77/1.77 where a clay layer exists. The rest of the segment
    (13) Silty sand 61.071.2 91.8/91.8 9.18/9.18 was assembled at this position and was driven suc-
    (14) Shelly sand 71.276.8 78.0/78.0 4.59/4.59
    cessive to the designed penetration.
    (15) Hard clay 76.888.9 208.0/225.0 2.16/2.16
    Figure 6 shows the record of penetration versus
    (16) Sandy silt 88.998.9 81.0/81.0 4.78/4.78 blow account and gives the simulated results. It can
    be seen that it is much easier to restart the pile at
    4.2 Driving process and simulation results this depth in a clay layer rather than in a sand layer.
    Driving records for pile A2, A3, A4 and B3 are This project progressed very smoothly.
    shown in Figure 1. The pile sank into the ground for
    about 10m with the self-weight and hammer weight,
    and then the soil was penetrated by hammering to a Records
    depth between 20m and 22m. Following this, the Records
    second segment was assembled. From Figure 1 it Records
    can be seen that a few more blows were needed to Records
    restart the driving of the piles. After overcoming the
    resistance caused by soil strength recovery, the driv-
    ing process became normal.

    The third segment was assembled at a depth of


    4748m in the sand layer. The driving records show
    that many more blows were needed to restart the
    driving of the pile after more than 20 days of delay
    due to weather, waves and other reasons. Once a
    small advance was made, the resistance of plugging Figure 4: Pile driving process (recorded and simulated)
    was greatly diminished and pore pressure around the
    pile was regenerated, which led to the reduction of
    soil resistance, or blow counts. The last segment was
    assembled at depth 7173m.

    When the assembling work was finished in about


    one day, it was found impossible to drive these piles
    further, even when the more powerful MHU1200S
    hammer was used. The pile driving process and the
    restarting penetration of 7173m was simulated with
    the proposed procedure and software GRLWEAP.
    The results are shown in Figure 4. The blow num-
    bers needed for restarting the piles at different pene- Figure 5: Blow accounts needed for restarting the piles at def-
    trations were also calculated, and the results are erent penetrations

    517
    Dutt R and Ehlers C. (2009). Setup of large diameter
    driven pipe piles in deepwater normally consoli-
    dated high plasticity clays. OMAE2009-79012.
    Proc. Conf. Offshore Mech. Arctic Eng.
    Hwang JH, Liang N and Chen CH. (2001). Ground
    response during pile driving. J. Geotechnical
    and Geoenvironmental Engineering 127: 939
    949.
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    sure during pile-driving operation, Proc. on the
    6th Int. Conf. on SMFE, vol 2, 285289.
    Milligan V and Soderman LG. (1961). Capacity of
    friction piles in carved clay increased by electro-
    osmosis. Proc. 5th Int. Conf. on Soil Mech. and
    Figure 6: Pile driving process (recorded and simulated)
    Found. Engrg., Dunod, Paris, vol 1, 319326.
    Nishida Y, Sekiguchi H, Matsumoto T, Hosokawa S
    5. Conclusions and Hirose T. (1985). Drivability of steel pipe
    piles into diatomaceous mudstone in the con-
    The large diameter and very long piles used in oil struction of Notojima Bridge. Proc. Int. Symp.
    platform construction have to be manufactured by on Penetrability and Drivability of Piles, San
    segments. The segments of the pile are assembled by Francisco, vol 1, 187190.
    welding to one another during installation. Assem- Paikowsky SG and Whitman RV. (1990). The ef-
    bling two pile segments often takes one day or longer. fects of plugging on pile performance and de-
    After pile segment assembling, it proves to be very sign. Canada Geotechnical Journal 27: 429
    difficult to restart the successive penetration. The 440.
    process of driving a segmented pile is simulated with Randolph MF. (2003). Science and empiricism in
    a finite element program and the mechanism of pile pile foundation design. Gotechnique 53: 847
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    that when the stick-up stability is satisfied, increasing Seed HB. (1976). Hydraulic Fracturing and Its Pos-
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    Bohai Gulf has proven the adopted measures de- Failure, vol 12, 139.
    scribed in this paper to be very effective. Vaughan PR. (1971). The use of hydraulic fracturing
    tests to detect crack formation in embankment
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    (1969). Pile-soil system response in cohesive Foundations Division 98: 265290.
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    Bjerrum L and Johannessen IJ. (1960). Pore pres-
    sure resulting from driving piles in soft clay.
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    Bjerrum L, JKTL Nash, RM Kennard and RE Gib-
    son (1972). Hydraulic fracturing in field perme-
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    Clark JB. (1949). Hydraulic process for increasing
    the productivity of wells. Journal of Petroleum
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    DAppolonia DJ and Lambe TW. (1971). Perform-
    ance of four foundations on end-bearing piles.
    ASCE J. Soil Mech. Found. Div. 97: 7793.

    518
    LATERAL RESISTANCE OF HYBRID MONOPILE-FOOTING
    FOUNDATIONS IN COHESIONLESS SOILS FOR OFFSHORE
    WIND TURBINES
    HS Arshi and KJL Stone
    University of Brighton, Brighton, UK

    Abstract
    Current offshore foundation technology is being transferred successfully to the renewable energy sector. Still,
    there is clearly scope for developing foundations that are more tuned to the needs of the renewable power
    systems such as wind turbines. One such approach is the hybrid monopile-footing system with a proven re-
    cord of improving the ultimate lateral resistance, particularly in cohesionless soils. This paper builds on to the
    previous studies by investigating the behaviour of the hybrid system, such as the effect of footing size, the
    magnitude of pre-loading and its significance in developing sufficient contact pressure beneath the footing,
    and the importance of the degree of rigidity.

    1. Introduction chalk. Consequently, it is necessary to install the


    monopiles, generally by driving, through the soil and
    Due to the needs of ongoing developments in the oil into the rock, to achieve adequate lateral stiffness
    and energy sector, the design of offshore founda- and moment resistance to carry the applied loads.
    tions is constantly evolving. In the hydrocarbon ex-
    traction sector, exploration and development is mov- One of the recently developed solutions for increas-
    ing into ever deeper water, resulting in extremely ing the lateral resistance of deepwater monopiles is
    the hybrid monopile-footing system. The role of the
    challenging geotechnical conditions. The develop-
    footing is to provide a degree of rotational restraint
    ment of sites for offshore wind farms (such as at the pile head, leading to an improvement in the
    Round 2 and 3 in the UK) is also extending into lateral resistance of the pile. The use of a relatively
    deeper water. The increase of wind turbine generator thick pile cap has been shown to lead to an increase
    capacity is requiring significant development in in the lateral resistance through the development of
    foundation design to generate economic and practi- passive soil wedges (Mokwa, 1999). It therefore acts
    cal solutions to the installation of these deepwater in a similar way to the behaviour of skirted founda-
    wind farms. tions (Bransby and Randolph, 1998).

    The main challenge for deepwater foundations is the As schematically represented in Figure 1, this foun-
    loading conditions. Offshore foundations are gener- dation system has a circular footing that is attached
    ally subject to combined loading conditions consist- to the monopile at mudline. The 2D analogy of this
    ing of self-weight of the structure (V), relatively high system is that of a retaining wall with a stabilising
    horizontal loads (H) and large bending moments base (Powrie and Daly, 2007). Where the plate di-
    (M). The preferred foundation system to date has ameter is relatively small, the system is similar to a
    been the monopile, which has been successfully em-
    single capped pile, for which methods have been de-
    ployed for the majority of the offshore wind turbines
    installed. The advantage of the monopile is that it veloped for analysing the influence of the pile and
    can be installed in a variety of different soil condi- pile cap under axial loading (Poulos and Randolph,
    tions even when loading conditions are very high. 1983). The effect of the pile cap on the lateral per-
    For instance, in many of the proposed offshore wind formance of single piles has been investigated by
    farm locations superficial seabed deposits are often others (Kim et al., 1979; Mokwa and Duncan, 2001,
    underlain by weak rocks, such as mudstones and 2003; Maharaj, 2003).

    519
    eral resistance is also examined. Moreover, the rela-
    tionship of the ratio between the diameter of footing
    to pile and its effect on the lateral resistance of the
    pile is reported. This ground model is felt to be of
    particular relevance for offshore wind farm devel-
    opment and its potential economical benefits.

    2. Experimental Procedure

    2.1 Materials and model preparation


    Medium dense sand models were prepared by pulva-
    tion sand into a box measuring 310 210 240mm.
    Rounded to sub-rounded uniformly graded quartz
    sand (Fraction D from David Ball Ltd) with an aver-
    age particle size of 0.25mm was used for the ex-
    periments. The maximum and minimum void ratios
    were 1.04 and 0.59, respectively, with corresponding
    dry unit weights of 12.6kN/m3 and 16.1kN/m3. The
    Figure 1: Schematic illustration of the prototype hybrid system critical state angle of friction was measured using di-
    rect shear box test and was found to be 32.
    The lateral response of piles has also been exten-
    sively reported in the literature, and various methods The model foundation system comprised a 10mm
    of analysis have been proposed by numerous re- thick, 150mm-long steel rod and 5mm-thick steel
    searchers (e.g. Matlock and Reese, 1960; Broms, plates. The plates had three different diameters of
    1964; Poulos, 1971; Reese et al. 1974; Randolph, 40mm, 60mm and 80mm, corresponding to pile-to-
    1981; Duncan et al., 1994; Zhang et al., 2005). The footing ratios of 0.4, 0.6 and 0.8 (see Figure 2). The
    bearing capacity problem has also been investigated footings were fabricated in such a manner to give the
    under different loading conditions relevant to off- option of having one-directional vertical translations
    shore foundations (e.g. Houlsby and Puzrin, 1999; of the pile about the footing (i.e. translations along
    Gourvenec and Randolph, 2003). the y-axis). The installation of the model piles re-
    quired pushing the pile to about 70% of the desired
    Previous investigations carried out at one gravity in depth by hand, followed by driving the rest of the
    sandbox tests (Stone et al., 2007, 2010; Arshi pile via light tapping using a hammer until the re-
    2011, 2012; Arshi and Stone, 2011), together with quired penetration depth was achieved.
    2D numerical modelling (El-Marassi et al., 2008;
    Arshi et al., 2011) have shown that the lateral stiff-
    ness and ultimate capacity of the monopile are en-
    hanced by the addition of the footing. Preliminary
    centrifuge model tests have also indicated that for
    cohesionless soils, the ultimate lateral capacity of a
    monopile is enhanced by the presence of a footing
    (Stone et al., 2011). In contrast, centrifuge tests per-
    formed on clay samples did not indicate much im-
    provement in the lateral performance of the mono-
    pile (Lehane et al., 2010). However, it should be
    noted that these centrifuge tests are not directly
    comparable, since the relative geometries of the pile
    and bearing plates were significantly different in Figure 2: Model foundation system
    both studies.
    2.2 Test procedure
    This paper focuses on analysing the load transfer All experiments took place in a single gravity
    mechanism within the system and investigating how Wykeham-Farrance loading rig at the University of
    loads are transferred through different elements Brighton, designed to load piles both horizontally
    within the foundation system. The influence of the and vertically. For tests involving only vertical load-
    degree of rigidity at pile head (boundary condition in ing, the load was applied directly to the top of the
    the connection between pile and footing) on the lat- footings and/or piles, whereas the tests involving

    520
    lateral loading used a wire and pulley arrangement, pile-only tests, represented in terms of moment and
    as illustrated in Figure 3. pile head rotation, is shown in Figures 5, 6 and 7, and
    has been used as a benchmark for analysing the be-
    WF loading rig haviour of the hybrid foundation system.

    600
    Pulley arrangement 80 mm
    500

    Applied Moment (Nmm)


    Model foundation system 400

    300 60 mm

    200

    100 40 mm

    0
    Figure 3: Test arrangement for the model foundation system 0 2 4 6 8 10 12 14 16 18 20
    under lateral loading Rotation at Pile Head ()

    A summary of the programme is presented in Table Figure 4: Moment-rotation plot for vertical footing-only tests
    1. Footing-only tests were carried out to determine
    the bearing capacity of footings with three different
    diameters and free from dead loads. This involved 3000 H80
    Applied Moment (Nmm)

    loading the footings vertically at the centre and


    measuring the relative vertical deflections. The de- 2500 H60
    flections were measured using two LDVTs attached
    to the far corners of the footings. For the pile-only 2000 H40
    and hybrid system tests, dead loads were inserted on
    1500
    top of the piles, which were then pulled laterally and PW2
    the relative lateral deflections were measured using 1000
    the LVDTs.
    500
    Table 1: Summary of single gravity model tests
    ID Type Connection Vertical 0
    load* (N) 4 6 8 10 12 14 16 18 200 2
    F40 Footing Rotation at pile head ()
    F60 Footing
    Figure 5: Moment-rotation plot for hybrid foundation system
    F80 Footing
    with varying footing sizes
    PW1 Pile 1000
    PW2 Pile 5000
    PF1W2A1 Hybrid Rigid 5000
    PF1W2A2 Hybrid Free 5000 3000
    PF2W2A1 Hybrid Rigid 5000
    PF3W1A1 Hybrid Rigid 1000 2500
    PF3W1A1 Hybrid Rigid 5000 HW2
    Applied Moment (Nmm)

    * self-weight of foundation neglected


    2000

    3. Results and Analysis HW1


    1500
    PW2
    To differentiate the contribution of the different ele- 1000
    ments comprising the hybrid system, the individual PW1
    performance of each element was investigated sepa- 500
    rately. Figure 4 shows the plot of applied moment
    versus relative rotation for individual footing tests. 0
    This plot shows the behaviour of footings with three 0 2 4 6 8 10 12 14 16 18 20
    Rotation at pile head ()
    diameters of 40mm, 60mm and 80mm corresponding
    to ultimate bearing capacities of 65Nmm, 240Nmm Figure 6: Moment-rotation plot for pile and hybrid foundation
    and 490Nmm, respectively. The performance of the system test with varying dead loads

    521
    3000 40% higher when the pile was free. In a free system,
    dead loads are carried fully where magnitude of
    Free
    2500 dead loads is directly proportional to the bearing ca-
    Applied Moment (Nmm)

    pacity of the footings.


    2000 Rigid
    The behaviour of the hybrid system was numerically
    1500 analysed using the computer program LPILE, and
    the results are illustrated in Figure 8. Although this
    1000 program does not have an option for adding the foot-
    ing to the pile and creating a hybrid system, it does
    500 allow the user to introduce bending moments to the
    pile head in all directions. To illustrate the behaviour
    0 of the system, the resistance of the footings was cal-
    0 2 4 6 8 10 12 14 16 18 20 culated analytically and added to the ultimate resis-
    Rotation at pile head () tance of the fully free pile. The different pile-to-
    Figure 7: Moment-rotation plot for hybrid foundation system footing diameter ratios are shown as dashed red lines
    test with different degrees of rigidity at pile head in Figure 8. Furthermore, the chart shows how the
    resistance of the hybrid system compares to piles
    A total number of five tests were carried out on the with different degrees of rigidity.
    hybrid system, and the results have been presented
    in Figures 5, 6 and 7. All tests had a dead load of 6000
    Fully fixed
    5000N (with the exception of PF3W1A1), and the
    75% regidity
    degree of rigidity between at the pile-footing con- 5000 50% regidity
    nection was set as fully fixed for all tests (except for 25% regidity
    PF1W2A2). The tests followed the same moment- Fully free
    Applied Moment (Nmm)

    rotation pattern, with differences in the values of ini- 4000



    tial stiffness and the ultimate lateral resistance. 

    From the plot in Figure 4, it is apparent that the 3000


    bearing capacity of circular footings increases as the 
    3.0
    diameter increases. The contribution from the addi-
    2000
    tion of the footings to the pile is illustrated in Figure
    5, where the initial stiffness and the ultimate lateral
    resistance are significantly higher for the hybrid sys- 1000 
    tem. The hybrid system with the smallest footing 2.0

    had a 67% increase in value of the ultimate lateral


    resistance. However, the additional 50% and 100% 0
    increase in the diameter of the footings only boosted 0 4 8 12 16
    the ultimate lateral resistance by an additional 20% Rotation at pile head ()
    and 50%, respectively. Figure 8: Moment-rotation plot for hybrid foundation system
    obtained using LPILE
    Dead loads play a major role in advancing the lateral
    resistance of the hybrid system. This is best illus- . Discussion and Conclusion
    trated in Figure 6 where pile-only and hybrid sys-
    tems have to sustain dead loads of 1000N and It was demonstrated that the addition of the footing
    5000N. Clearly, the increase in the performance is to the pile, which creates a hybrid system, increases
    significantly higher for the hybrid system (27% in- the initial stiffness and the ultimate lateral resistance
    crease) compared to the pile-only system (12%). of each monopile. Individual tests were carried out
    to establish the ultimate bearing capacity that would
    Figure 7 shows two tests carried out in the same hy- be mobilised on the underside of the footings of the
    brid system but with different degrees of rigidity. hybrid system. Clearly, the actual degree of rigidity
    For the systems under experiment, it was observed provided at the pile head depends on several factors
    that having the pile free (along the y-axis) from the such as the size of the footing, the initial contact of
    footing seemed to improve the performance of the the bedding with soil surface and the stiffness of the
    system, as the ultimate lateral resistance was about soil beneath the footing.

    522
    If the actual capacity of the pile is very high, it is Journal of Geotechnical Engineering 120: 1018
    difficult to get good positive contact between the 1033.
    footing and the soil until the system starts to rotate. El-Marassi M, Newson T, El-Naggar H and Stone
    This means that the stiffness does not increase sig- KJL. (2008). Numerical modelling of the per-
    nificantly. A more efficient system would require formance of a hybrid monopiled-footing founda-
    good contact between the footing and the soil that tion. Proc. 61st Canadian Geotechnical Confer-
    remains present during the loading cycle. In a fully ence, GeoEdmonton 2008. Edmonton, (Paper No.
    rigid system, the drawback is that the pile needs to 480), 97104.
    be rather short in order to allow the working loads to Gourvenec S and Randolph M. (2003). Effect of
    generate the contact pressure underneath the footing. strength non-homogeneity on the shape of failure
    However, the results here show that it is possible to envelopes for combined loading of strip and cir-
    overcome this by designing the system with a sliding cular foundations on clay. Gotechnique 53: 575
    connection, where vertical translations of the pile are 586.
    permitted. Houlsby GT and Puzrin AM. (1999). The bearing
    capacity of a strip footing on clay under com-
    The results of this investigation are limited to 1g bined loading. Proc. R. Soc. London Ser. A., vol.
    tests. A comprehensive series of centrifuge tests is 455, 893916.
    currently being undertaken. The results of the tests, Kim JB, Singh LP and Brungraber RJ. (1979). Pile
    together with a series of 3D numerical model study, cap soil interaction from full scale lateral load
    will be reported in the near future. tests. Journal of Geotechnical Engineering 105:
    643653.
    References Lehane BM, Powrie W and Doherty LP. (2010).
    Centrifuge model tests in piled footings in clay
    Arshi HS. (2011). Structural behaviour and perform- for offshore wind turbines. Proceedings of Inter-
    ance of skirted hybrid monopile-footing founda- national Conference in Physical Modelling in
    tions for offshore oil and gas facilities. Proceed- Geotechnics, ICPMG2010. Rotterdam: Balkema.
    ings of the Institution of Structural Engineers: Maharaj DK. (2003). Load-deflection response of
    Young Researchers Conference 11. London: IS- laterally loaded single pile by nonlinear finite
    tructE Publications, 8. element analysis. EJEG.
    Arshi HS. (2012). A new design solution for increas- Matlock H and Reese LC. (1960). Generalized solu-
    ing the lateral resistance of offshore pile founda- tions for laterally loaded piles. Journal of Soil
    tions for wind turbines located in deep-water. Mechanics and Foundations Division 86: 6391.
    Proceedings of the Institution of Structural Engi- Mokwa RL. (1999). Investigation of the Resistance
    neers: Young Researchers Conference 12. Lon- of Pile Caps to Lateral Loading. Ph.D Thesis.
    don: IStructE Publications, 10. Virginia Polytechnic Institute, Blacksburg, Vir-
    Arshi HS and Stone KJL. (2011). An investigation ginia.
    of a rock socketed pile with an integral bearing Mokwa RL and Duncan JM. (2001). Experimental
    plate founded over weak rock. Proceedings of the evaluation of lateral-load resistance of pile caps.
    15th European Conference of Soil Mechanics and Journal of Geotechnical and Geoenvironmental
    Geotechnical Engineering. Amsterdam: IOS Engineering 127: 185192.
    Press, 705711. Mokwa RL and Duncan JM. (2003). Rotational re-
    Arshi HS, Stone KJL and Newson TA. (2011). Nu- straint of pile caps during lateral loading. Journal
    merical modelling on the degree of rigidity at pile of Geotechnical and Geoenvironmental Engineer-
    head for offshore monopile-footing foundation ing 129: 829837.
    systems. 9th British Geotechnical Association Poulos HG. (1971). Behaviour of laterally loaded
    Annual Conference, London. piles: Part I-single piles. Journal of the Soil Me-
    Bransby MF and Randolph MF. (1998). Combined chanics and Foundations Division. 97(SM5):
    loading of skirted foundations. Gotechnique 48: 711-731.
    637655. Poulos HG and Randolph MF. (1983). Pile group
    Broms BB. (1964). Lateral resistance of piles in co- analysis: a study of two methods. Journal of Geo-
    hesionless soils. Journal of the Soil Mechanics technical Engineering. 109: 355372.
    and Foundation Division 90: 123156. Powrie W and Daly MP. (2007). Centrifuge model-
    Duncan JM, Evans LT and Ooi PS. (1994). Lateral ling of embedded retaining wall with stabilising
    load analysis of single piles and drilled shafts. bases. Gotechnique 57: 485497.

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    Randolph MF. (1981). The response of flexible piles
    to lateral loading. Gotechnique 31: 247259.
    Reese LC, Cox WR and Koop FD. (1974). Analysis
    of laterally loaded piles in sand. Offshore Tech-
    nology Conference, vol II (Paper No. 2080), 473
    484.
    Stone KJL, Newson TA and Sandon J. (2007). An
    investigation of the performance of a hybrid
    monopole-footing foundation for offshore struc-
    tures. In: Proc. 6th Intl. Conf. Offshore Site Inves-
    tigation and Geotechnics. London: Society for
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    Stone KJL, Newson T and El Marassi, M. (2010).
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    Balkema, 829833.
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    Engineering 131: 7883.

    524
    AXIAL BEARING CAPACITY OF DRIVEN PILES IN
    ACCORDANCE WITH API AND DNV

    S Jegandan*
    INTECSEA (UK)
    NI Thusyanthan*
    CAPE GURXS
    DJ Robert*
    Monash University (*Formerly .:/WG)HWFKDP6XUUH\8. 

    Abstract
    Piles are a fundamental part of most offshore structures, thus assessment of pile capacity is critical for the de-
    sign and installation of offshore structures. Currently, there are various codes that provide guidance on the pile
    capacity assessment. The most common ones are from the American Petroleum Institute (API) and Det Nor-
    ske Veritas (DNV). As each code provides a slightly different design approach and utilises different safety
    factors, it is often not easy to compare the pile designs of different code directly. Furthermore, the most ap-
    propriate design methodology is often chosen based on the available input parameters, such as geotechnical
    properties or cone penetration test (CPT) results. For a single design case, adapting the different codes can re-
    sult in different pile length requirements, which are purely due to different methodology and associated safety
    factors used in codes. This paper aims to provide an overview of all common pile design methodologies and
    present a comparison of design pile lengths resulting from the use of these codes.

    1. Introduction field tests. Thus, the suitable design approach is cho-


    sen based on the available soil.
    The assessment of the axial bearing capacity of piles
    varies in different codes in terms of methodology 2.1 API RP 2A-WSD working stress design method
    and safety factors. As a result, the outcome of the Upon availability of soil properties such as
    pile length assessment differs from one code to an- undrained shear strength (Su) or friction angle ( I ' ),
    other. Nevertheless, axial bearing capacity of the pile API 2A-WSD (2000) presents the following meth-
    is a single value and perhaps has an offset from the odology for pile capacity assessment. In cohesive
    results obtained from bearing capacity assessment soils, unit skin friction (f) can be assessed by f = F,
    based on various methods outlined in different where is a dimensionless factor and F is the
    codes. The objective of this paper is to present the undrained shear strength of the soil at the point in
    variation of pile length for a single compressive load question. To calculate , this is given by:
    based on methodologies presented in the codes from
    the American Petroleum Institute (API, 1993, 2000) D 0.5\ 0.5 where \ d 1.0 or
    and (DNV, 1992, 2008, 2011).
    D 0.5\ 0.25 where \ ! 1.0 (1)
    2. Methodology
    with the constraint that < 1.0, where   FS0' for
    API and DNV codes describe slightly different ap- the point in question, and S0' is the effective overbur-
    proaches to assess the axial bearing capacity of a den pressure at the point in question. In cohesionless
    pile. These codes provide guidance for the calcula- soil, unit skin friction (f) can be computed by I S0',
    tion of pile length in common soil conditions, such where is dimensionless skin friction factor. values
    as clay (cohesive) or sand (cohesionless). The as- for open-ended piles driven unplugged are given in
    sessment also depends on the type of soil informa- Table 1. Unit end bearing (q) is assessed by q = 9F for
    tion available. Examples of such parameters are cohesive soils. In cohesionless soils, it is assessed by
    laboratory test results showing soil properties such q = NqS0', where Nq is dimensionless bearing capacity
    as undrained shear strength and friction angle, or the factor (Irom Table 1) and S0' is effective overburden
    in situ cone penetration test (CPT) data from the pressure at the depth in question.

    525
    Table 1: 'HVLJQSDUDPHWHUVIRUFRKHVLRQOHVVVRLO(API, 2000)
    Relative density Soil description Shaft friction Limiting shaft friction End bearing Limiting end bearing
    factor (E values (kPa) factor (Nq) values (kPa)
    Very Loose Sand
    Loose Sand
    Loose Sand-Silt Not Applicable Not Applicable Not Applicable Not Applicable
    Medium Dense Silt
    Dense Silt
    Medium Dense Sand-Silt 0.29 67 12 3000
    Medium Dense Sand 0.37 81 20 5000
    Dense Sand-Silt
    Dense Sand 0.46 96 40 10 000
    Very Dense Sand-Silt
    Very Dense Sand 0.56 115 50 12 000

    The ultimate pile capacity is assessed by adding total PDE < I PE QD and PDO < I PO QD (3)
    skin friction and total end bearing as shown by:
    where PDE (or PDO) is the axial pile load for extreme
    QD Q f  QP fAS  qAP (2) (or operational) environmental conditions deter-
    mined from a coupled linear structure and nonlinear
    foundation model using factored loads; PE is the
    where Qf is the skin friction resistance (in force
    pile resistance factor for extreme environmental
    units); QS is the total end bearing (in force units); f is
    conditions (= 0.8); PO is the pile resistance factor
    the unit skin friction capacity (in stress units); As is
    for operating environmental conditions (= 0.7); and
    the side surface area of pile; q is the unit end bearing
    QD is the ultimate axial pile capacity determined by
    capacity (in stress units); and AS is the gross end
    adding total skin friction and total end bearing (as
    area of pile.
    shown in WSD method).
    The allowable pile capacity is determined by divid-
    Load factors on gravity loads are given by:
    ing the ultimate pile capacity by safety factor rele-
    vant to loading type on pile. Safety factors corre- Q 1.3D1  1.3D2  1.5 L1  1.5 L2 (4)
    sponding to various loading types are presented in
    where D1 self-weight of the structure; D2 is the dead
    Table 2.
    load imposed on the platform by weight of equip-
    Table 2: 6DIHW\IDFWRUfor allowable SLOH FDSDFLW\ ments and other objects; L1 is the live load and 1 in-
    (API, 2000) cludes the weight of consumable supplies and fluids
    Load condition Factor of safety in pipes; and L2 is the short duration force exerted on
    Design environmental conditions with 1.5 the structure from operations such as lifting and
    appropriate drilling loads drilling.
    Operating environmental conditions dur- 2.0
    ing drilling operations For load factors on wind, wave and current loads, un-
    Design environmental conditions with 1.5 der extreme condition the following factors are used:
    appropriate producing loads
    Q 1.1D1  1.1D2  1.1L1  1.35(We  1.25 Dn ) (5)
    Operating environmental conditions dur- 2.0
    ing producing operations
    where We is the force applied to the structure because
    Design environmental conditions with 1.5 of the combined action of the extreme wave (typi-
    minimum loads (for pullout)
    cally 100-year return period) and associated current
    and wind. Under operating condition, the following
    2.2 API load UHVLVWDQFHIDFWRUGHVLJQ method factors are used:
    Unlike WSD method, safety factors are used to ac-
    count for uncertainty in loading in pile resistance in Q 1.3D1  1.3D2  1.5L1  1.5L2  1.2(We  1.25 Dn ) (6)
    the load resistance factor design (LRFD) method.
    According to API RP 2A-LRFD (1993), the axial 2.3 CRQHSHQHWUDWLRQWHVW based methods
    pile resistance should satisfy the following condi- The CPT-based methods apply for piles in sand and
    tions: are based on direct correlations of pile unit friction

    526
    and end bearing data with cone tip resistance (qF) friction and end resistance as in API WSD method
    values from CPTs. These methods can be used in presented in section 2.1.
    both API-WSD and API-LRFD based designs as al-
    ternatives to soil property based designs in sand. Ac- Method to assess unit skin friction and end resis-
    cording to API RP 2A-WSD (2000), the CPT based tance for cohesive soil is exactly same as in API
    methods are preferred to those based on soil parame- WSD method, with same coefficients and limits.
    ters, as the former have shown statistically closer Similarly, the method to assess unit skin friction and
    predictions of pile load test results. end bearing in cohesionless soil is same, except unit
    skin friction, which is defined as:
    The four recommended CPT-based methods for co-
    hesionless soil are: fs = .So WDQ < f1 (7)

    x simplified Imperial College Pile (ICP) 2005; where K is the lateral earth pressure, taken as 0.8;
    x Offshore University of Western Australia and is the soil-pile interface friction angle.
    (UWA) 2005;
    The factors and limits are slightly different from API
    x Fugro 2005; and WSD method presented in Table 1 and are shown in
    x Norwegian Geotechnical Institute (NGI) Table 3. It must be emphasised that the DNV CN
    2005. 30.4 (1992) is based on API RP 2A (1987) and still
    Details of the pile capacity assessment based on has not been updated since in its first edition. It is
    these methods are given in detail in API RP 2A- also still referred in DNV OS C201 (2011) for foun-
    WSD (2000) and hence not reproduced in this paper. dation design.
    These methodologies have been followed for the pile
    capacity assessment based on CPT data. The unit end resistance of plugged piles in cohe-
    sionless soil (qS) may be taken as:
    2.4 DNV qS = So Nq < ql (8)
    Similar to API, DNV also provides WSD and LRFD
    methods for pile capacity assessment but with differ- where So is the effective overburden pressure at the
    ent safety factors. DNV-OS-C201 code (2011) re- pile tip elevation; Nq is bearing capacity factor; and
    ports structural design of offshore units according to ql is limiting end bearing as given in Table 3. In pile
    WSD method. However, this code does not provide capacity assessment, safety factor of 1.5 (as in Table
    a specific foundation design method. Instead, it 1) was used to compare required pile length accord-
    states that the foundation design must be carried out ing to DNV WSD method with API WSD.
    according to the LRFD method (as described later in
    this section), to the DNV CN 30.4 (1992), or to other Pile capacity design guidelines according to LRFD
    acceptable standards. In this paper, in order to com- method is described in DNV-OS-C101 (2008). For
    pare the resulting pile lengths from each design determination of design soil resistance against axial
    method, the axial pile capacity assessment using the pile loads in ultimate limit state (ULS) design, a ma-
    WSD method has been carried out based on DNV terial coefficient J m = 1.3 must be applied to all
    CN 30.4 (1992). According to this source, the com- characteristic values of soil resistance (e.g. to skin
    pression capacity of pile is sum of cumulated skin friction and tip resistance).

    Table 3: 'HVLJQSDUDPHWHUVIRUFRKHVLRnless soil (DNV, 1992)


    Relative density Soil description  Ge- f1 (kPa) End bearing Limiting end bearing
    grees) factor Nq values (MPa)
    Very Loose Silt 15 48 8 1.9
    Loose Sand-Silt
    Medium Silt
    Loose Sand 20 67 12 2.9
    Medium Sand-silt
    Dense Silt
    Medium Sand 25 81 20 4.8
    Dense Sand-Silt
    Dense Sand 30 96 40 9.6
    Very Dense Sand-Silt
    Dense Gravel 35 115 50 12.0
    Very Dense Sand

    527
    For pile foundations of structures where there are lit- for a given design scenario was assessed in accor-
    tle to no possibilities for redistribution of loads from dance with the codes considered in this paper. These
    one pile (or group of piles) to another, larger mate- outcomes were then compared in terms of pile length
    rial coefficients than those given earlier must be required to carry an unfactored axial load of
    used. This may for example apply to pile founda- 2000kN, which comprised a dead load of 1000kN, a
    tions for tension leg platforms or to deep draught live load of 600kN and an environmental load of
    floaters. In such cases the material coefficient shall 400kN. Since the aim was to focus on the pile design
    not be taken less than J m =1.7 for ULS design. For methods in codes, scour around the pile and other
    calculation of design lateral resistance, the following secondary aspects were not considered in the as-
    material coefficients must be applied to characteristic sessment.
    soil shear strength parameters for ULS) design: m =
    1.2 for effective stress analysis m = 1.3 for total stress Soil data from an offshore platform location were
    analysis. For accidental limit state (ALS) and service- used in the pile capacity assessments. Samples were
    ability limit state (SLS) design, the material coeffi- taken from the site and the required soil properties
    cient Jm may be taken as equal to 1.0. were obtained from onshore laboratory tests. These
    soil data were then used for LRFD and WSD meth-
    When considering load factors, for analysis of ULS, ods defined in the API and DNV codes. CPT data
    two sets of load combinations must be used when from offshore survey in the same location were also
    combining design loads as defined in Table 4. The used for CPT based methods recommended by API-
    combinations denoted as (a) and (b) in Table 4 must WSD. These soil data and the CPT data are shown in
    be considered in both operating and temporary con- Table 5 and Figure 1, respectively.
    ditions. The load factors are generally applicable for
    Table 5: 6RLOSURSHUWies obtained from laboratory tests
    all types of structures, but other values may be speci-
    fied in the respective object standards. Depth Soil Submerged Friction an- Undrained
    (m) unit weight gle (degrees) shear strength
    Table 4: Load IDFWRUVIRUGLIIHUHQWFRPELQDWLRQV (DNV, 2008) (KN/m3) (kPa)
    02.3 Sand 9.5 30
    Combination of design Load categories
    loads G Q E D 2.33.2 Clay 10 150
    (a) 1.3 1.3 0.7 1.0 3.215 Sand 10 32.5
    (b) 1.0 1.0 1.3 1.0 1525 Hard 11.3 328
    Load categories are: G: permanent load; Q: variable func- clay
    tional load; E: environmental load; and D: deformation load

    The code further states the following aspects when


    considering load factor:
    1. When permanent loads (G) and variable func-
    tional loads (Q) are well defined (e.g. hydro-
    static pressure), a load factor of 1.2 may be
    used in combination (a).
    2. If a load factor f = 1.0 of G and Q loads in
    combination (a) results in higher design load
    effect, the load factor of 1.0 must be used.
    3. Based on a safety assessment considering the
    risk for both human life and the environment,
    the load factor f for environmental loads
    may be reduced to 1.15 in combination (b) if
    the structure is unmanned during extreme
    environmental conditions.

    3. Pile Capacity Assessments

    To demonstrate the differences in the resulting pene-


    tration depth requirement, required pile penetration Figure 1: &RQHUHVLVWDQFH from CPT data

    528
    4. Results for loading and soil resistance in WSD method. In-
    stead, a combined safety factor of larger value is con-
    An open ended pile with an outer diameter of sidered to evaluate the allowable capacity. Thus, dif-
    610mm and wall thickness of 19mm was consid- ferent loading types will not make any difference in
    ered in the analysis. It was assumed that the pile the required pile capacity in WSD method, as only the
    could be installed to the desired penetration depth total load on the pile is considered in the assessment.
    without refusal or any fatigue issues. Pile capacity
    was assessed from the design methods based on The minimum required penetration depths in accor-
    soil properties, and the results are presented in Fig- dance with each design method are summarised in
    ure 2. Both plugged and unplugged states of the Table 6. According to this table and as shown in
    pile are shown by separate curves where appropri- Figure 3, there is a slight difference between the
    ate. External skin friction and the end bearing of outcome of the assessment when using the differ-
    the total pile cross-section were summed to evalu- ent methods in the API and DNV codes. However,
    ate the ultimate capacity of the pile in plugged con- the minimum required penetration depth for a given
    dition. In unplugged state, internal and external load at a particular site would be single value. In
    skin frictions were added to the end bearing of the other words, a pile driven to a certain depth has
    pile annulus area to calculate the ultimate capacity compression capacity of a single value. Therefore,
    of the pile. Punch-through effect due to the pres- the difference noticed in the results is purely due to
    ence of weaker soil layers was considered, with the the differences in design guidelines, such as the
    depth of influence zone of 2.5 times pile diameter adopted safety factors adopted and empirical coeffi-
    in soil properties based methods. cients used. Some design methods incorporate con-
    servatism to overcome uncertainty in load and soil
    Pile capacity results from CPT data based methods properties. Nevertheless, it is difficult to point out
    are presented in Figure 3. Both unplugged and where the conservatism exists in each design ap-
    plugged pile capacity curves are plotted only for proach without measurement of pile capacity from
    NGI-05 method. However, pipe piles are generally field tests, which is beyond the scope of this paper.
    plugged as stated in API (2007). The required load
    capacity is shown by a vertical red dotted line in all Table 6: 6XPPDU\RIPLQLPXPUHTXLUHGSHQHWUDWLRQGHSWK
    cases. This load requirement is either factored or un- results
    factored depending on design method. Design method Required penetration
    depth (m)
    In WSD methods, safety factor of 1.5 was used in cal- API: WSD 20.3
    culations to derive the allowable pile capacities, API: LRFD 21.6
    which were then compared with working load of DNV: WSD 20.3
    2000kN. In API LRFD method, load factors of 1.3, DNV: LRFD 20.4
    1.5 and 1.35 were used for dead load, live load and
    CPT based: simplified ICP-05 18.4
    environmental load, respectively, and a material resis-
    tance factor of 0.8 was used in line with API (1993). CPT based: offshore UWA-05 18.2
    In DNV LRFD method, load factor of 1.3 was used CPT based: Fugro-05 17.8
    for both dead and live loads. A load factor of 0.7 was CPT based: NGI-05 17.6
    used for environmental load, along with material
    safety factor of 1.3, which was based on DNV guide- Among the results from methods based on soil prop-
    lines (2011). Material safety factors in LRFD methods erties, the WSD methods showed a slightly less
    were applied on load capacity of the pile. penetration requirement compared to LRFD meth-
    ods. As the assessment of ultimate pile capacity was
    5. Discussion the same among these two methods, the difference in
    required pile penetration depth is due to the differ-
    The primary difference between WSD and LRFD ence in safety factors used in these methods.
    methods is how the uncertainty of loading is consid-
    ered in the design. In LRFD, a partial safety factor is When the pile capacity assessment methods based on
    incorporated with each type of loading to account for soil properties and CPT data are compared, it is evi-
    uncertainty in the loading. In addition, partial safety dent that longer pile penetration is required if as-
    factors are used to account for material uncertainties. sessment is carried out based on soil properties com-
    In contrast, no separate safety factors are considered pared to design methods based on CPT data.

    529
    (a) (b)

    F  (d)

    Figure 2: 3LOHFDSDFLW\UHVXOWVEDVHGRQVRLOSURSHUWLHV: (a) API: WSD; (b) API: /5)' F '19: WSD ZLWKDVDIHW\IDFWRURI
    (DNV, 1992); and (d) DNV: LRFD

    530
    (a) (b)

    F (d)
    Figure 3: 3LOHFDSDFLW\UHVXOWVEDVHGRQVRLOSURSHUWLHV: (a) SimSOLILHG,&3-05; (b) Offshore UWA-05;
    F )XJUR-05; and (d) NGI-05

    Even though CPT based design methods result in however, the important one is that the CPT based
    comparatively smaller penetration depths, design design methods are relatively new, and calibration
    codes such as API emphasise that the methods based from field test is limited for these methods. On the
    on CPT data must be used only by experienced engi- other hand, methods based on soil properties in ac-
    neers. This caution can be caused by several aspects, cordance with both API and DNV have been in use

    531
    for many years, and there is vast amount of field data
    to support their performance.

    6. Summary and Conclusion

    Eight difference methods of evaluating the pile pene-


    tration length requirement for a driven pile are pre-
    sented and discussed in this paper. Among the WSD
    and LRFD methods based on both the API and
    DNV, the LRFD method shows a slightly longer
    penetration requirement than WSD method. This is
    associated with influence of safety factors used in
    both methods. According to the results, CPT based
    methods shows a smaller penetration requirement
    compared to design methods based on soil proper-
    ties. However, these methods must be used only by
    experienced engineers, as they are relatively new and
    the field data calibration for these methods are lim-
    ited, particularly for offshore piles.

    References

    American Petroleum Institute (1987). RP 2A Plan-


    ning, designing, and constructing fixed offshore
    platforms, 17th edition. Washington, DC: API.
    API. (1993). RP 2A-LRFD Planning, Designing and
    Constructing Fixed Offshore Platforms Load
    and Resistance Factor Design. Supplement 1,
    1997. Washington, DC: API.
    API. (2000). RP 2A-WSD Planning, Designing and
    Constructing Fixed Offshore Platforms Work-
    ing Stress Design, 21st edition. Errata and Sup-
    plement 3, October 2007. Washington, DC: API.
    Det Norske Veritas (DNV). (1992). DNV CN 30.4
    Foundations. Classification Notes 30.4. Hvik,
    Norway: DNV.
    DNV. (2008). DNV-OS-C101 Design of Offshore
    Steel Structures, General (LRFD Method). Hvik,
    Norway: DNV.
    DNV. (2011). DNV-OS-C201 Structural Design of
    Offshore Units (WSD Method). Hvik, Norway:
    DNV.

    532
    6/23(67$%,/,7<$1'$5&7,&
    
    PROBABILISTIC SLOPE STABILITY ANALYSIS IN THE WEST
    NILE DELTA, OFFSHORE EGYPT

    P Dimmock
    BP Exploration, Sunbury on Thames, UK
    B Mackenzie
    Fugro GeoConsulting Ltd, Wallingford, UK
    A J Mills
    Halcrow Group Ltd, Birmingham, UK

    Abstract
    Probabilistic slope stability analysis has been performed for the West Nile Delta (WND) deepwater area, off-
    shore Egypt. It has been used to minimise geohazard risk for the WND subsea development. The analysis was
    premised on earthquakes being the predominant trigger of slope instability, exacerbated in the past by excess
    pore pressures generated by relatively rapid sediment accumulation. Earthquake-induced slope displacements
    calculated using the Newmark method were mapped to a pseudostatic safety factor to facilitate area-wide char-
    acterisation of slope failure probability. The annual probability of slope failure was assessed across the WND
    development area within ArcGIS, incorporating mapped variable geological controls (e.g. soil strength, slope
    angle) as inputs. Failure probabilities were spatially generated using the concept of slope facets, defined as areas
    of seabed with similar expected susceptibility to slope failure, based on geomorphological examination.

    1. Introduction The geotechnical failure mechanisms and model in-


    puts used in the PSA are consistent with the obser-
    BP Egypt and its equity partners, RWE Dea Group vations, data and interpretation developed and used
    and Egyptian Natural Gas Holding Company in the historical-based expert judgment approach.
    (EGAS), have embarked on a programme of sub- The PSA model was supported by:
    sea natural gas developments in the West Nile
    x geomorphological interpretation, including
    Delta (WND) deepwater area. A systematic
    slope failure geometry and depth;
    method has been adopted to mitigate geohazard
    risk in the area, using a multi-disciplinary team x engineering geological input, based on site
    approach to risk identification and quantification investigation data and used to estimate soil
    (described in Evans et al., 2007; Evans, 2011). The strength and unit weight;
    various geohazards identified have been high- x probabilistic seismic hazard assessment and
    lighted by Moore et al. (2007), foremost of which non-linear site response analysis; and
    is the potential for slope instability. The slope x excess pore water pressure assessment based
    failure type posing most risk in the area is first- on basin modelling.
    time slab slides (Figure 1). These are translational The PSA is premised on an infinite slope mechanism
    planar failures with a shallow shear surface, a operating under undrained conditions and with a
    compression zone at the toe, and a pull-apart win- pseudostatic application of cyclic earthquake loads.
    dow and tension zone at the head.

    This failure type has been the subject of both an ex-


    pert judgment assessment and probabilistic stability
    analysis (PSA) to best constrain the associated risk.
    The former was conducted in multi-disciplinary
    workshops, based primarily on historical event fre-
    quency and informed by variations in environmental
    controls (including sedimentation rate and related
    pore pressures). The latter, and the subject of this
    paper, is considered a geotechnical assessment of
    slope failure probability.
    Figure 1: Example slab slides in the WND

    535
    Although the infinite slope model is a relatively x Rm represents model bias () allowing for
    simplistic mechanism, it is nevertheless a reasonable side shear, passive compression and active
    approximation of the planar failure mechanism evi- tension in slab failures, otherwise not in-
    dent in WND slab slides. Equivalent pseudostatic cluded in the basic infinite slope formulation.
    earthquake loads were derived via a Newmark A value of 1.1 was applied, based on previ-
    (1965) sliding block model. This provides a means ous analysis experience;
    of relating earthquake-induced displacement to x z is the shear surface depth below seabed
    failure for the range of soils, earthquake loads and (m), which is the limit of disturbance below
    slopes encountered throughout the entire study area. seabed of sediment as interpreted by high-
    resolution seismic data (Figure 2). Shear
    2. Objective and General Approach depths are generally consistent among slides
    within a given terrain unit, and typically
    The PSA objective was to provide numerical esti- range from 3m to 9m within the WND shal-
    mates of the annual probability of future slab slide low sediments;
    occurrences in the WND area. They would then be
    x J is the soil submerged unit weight and Jw is
    given as an input into the natural geohazard risk
    the unit weight of water (kN/m3);
    evaluation. The general approach followed four key
    x su is the normally consolidated undrained soil
    steps, as listed below and expanded upon in the fol-
    shear strength (kPa) at the depth (z) of the
    lowing sections:
    shear surface;
    1. development of numerical maps of determi- x ru is the excess pore water pressure ratio (),
    nistic slope factor of safety (FOS); defined as the ratio between the excess pore
    2. probabilistic modelling to develop relation- water pressure (see section 3.2) and the sub-
    ship between probability of failure and de- merged confining stress;
    terministic FOS; x T is the seabed slope angle (degrees), derived
    3. aggregate failure probability for all earth- from the autonomous underwater vehicle
    quake scenarios; and (AUV) seabed digital terrain model;
    4. spatially aggregate all-earthquake annual x kseis is the peak seismic acceleration coeffi-
    failure probabilities. cient (), equal to the peak horizontal ground
    Slope stability was assessed using an infinite slope acceleration (m/s2) normalised by g, which is
    mechanism incorporating a pseudostatic application the acceleration due to gravity (see sec-
    of earthquake motion. This relatively simple ap- tion 3.3.1); and
    proach has the advantage of being easy to apply in x C is the pseudostatic seismic coefficient (), a
    probabilistic methods, and also over large areas multiplier on kseis to give an appropriate
    where there is considerable variation in material pa- pseudostatic value (see section 3.3.2).
    rameters. To provide estimates of slope failure prob-
    ability over the entire WND development area, ex-
    tensive use was made of numerical mapping
    techniques, using ArcGIS software. Project-specific
    enhancements were also applied to the Newmark
    model to assess the affect of soil strain-softening and
    cyclic strength degradation.

    3. Numerical Mapping of Deterministic Slope


    Stability (PSA Step 1)

    3.1 Deterministic factor of safety


    The pseudostatic infinite slope equation used to pro-
    vide deterministic estimates of FOS under undrained Figure 2: Slab slide in section (AUV chirp data)
    conditions is as follows:
    3.2 Excess pore water pressure
    Rm .su (1  ru ) (1)
    FOS z
    Superimposed on the deep pore pressure regime con-
    ' z
    J dz sin(T ) cos(T )  Ck seis (J '  J w )dz cos 2 (T ) trolled by long-term sedimentation from the Messin-

    0 0 ian (~5.5 million years BP) is a second shallow,
    where: short-term regime controlled by rapid sedimentation
    during the sea level rise between ~15 and 7.5 thou-

    536
    sand years BP. During this period, sedimentation rived at this value after applying a Newmark sliding
    rates were estimated to peak above 10mm/yr, in con- block analysis to more than 350 accelerograms.
    trast to rates averaging only 0.2mm/year over the They concluded that earth dams, with pseudostatic
    last 7.5 thousand years. safety factors greater than 1.0 using C = 0.5, would
    not develop dangerously large deformations. With
    As part of the slope stability assessment, a review this in mind, the C factor was calibrated such that a
    was performed of evolution of excess pore water target slope displacement aligned with a FOS of 1.0.
    pressure and its influence as a conditioning factor on For this application, a permanent displacement of
    slope instability in the WND. The aim was to syn- 0.1m was selected as a suitable threshold beyond
    thesise all available data that provided direct meas- which slide motion may become of engineering sig-
    urement, or allowed inference, of excess pore water nificance.
    pressure. Data sources included:
    For the calibration, numerous Newmark analyses
    x measured (in situ piezocone dissipation tests
    were performed that covered a range of permutations
    and standpipe piezometers);
    of input parameters. Each Newmark analysis pre-
    x predicted (basin modelling using soil con-
    dicted a permanent downslope displacement. For
    solidation data from laboratory tests, or in-
    each analysis, a corresponding assessment of FOS
    ferred from in situ dissipation tests); and
    was also made using Equation 1, but with C varied
    x inferred (soil strength). to give an FOS of 1.0. The results can be plotted as a
    graph of C factor required to give FOS = 1.0, versus
    The results of this review indicated negligible pre- corresponding Newmark-predicted displacement
    sent-day excess pore water pressure, but that excess (Figure 3).
    pore pressure ratios may have peaked at 0.4 at ~10m
    depth in the past.

    3.3 Earthquake loading


    3.3.1 Peak seismic acceleration coefficient, kseis
    DAppolonia carried out a nonlinear site response
    analysis of the WND area and provided values of
    peak ground acceleration at the mudline for different
    recurrence intervals. Best estimate values were de-
    rived (Table 1), corresponding to different assump-
    tions regarding the shape of the shear stiffness deg-
    radation curve.

    Table 1: Summary of peak seismic acceleration coefficients as


    function of earthquake recurrence period
    Figure 3: Pseudostatic C factor giving FOS = 1.0 versus target
    Earthquake recur- kseis () soil displacement
    rence interval (years)
    Best estimate
    Although there is a certain amount of scatter in the
    100 0.058 data, it is possible to fit a trend line that relates C
    200 0.065 factor to Newmark displacement, as shown in Figure
    500 0.075 3. This relationship can be used to define a value of
    2000 0.087 C that will yield a specified target displacement,
    5000 0.094 which was a value of 0.23 for a displacement of
    10 000 0.099 0.1m in this case (dashed line in Figure 3). The stan-
    dard deviation in the value of C was estimated to be
    3.3.2 Determination of the pseudostatic C factor 0.08, which was useful when it came to modelling
    As noted earlier, kseis represents the peak seismic ac- the problem probabilistically (see section 4). For a
    celeration and therefore needs a multiplier to repre- more onerous target displacement of e.g. just >1cm,
    sent an appropriate pseudostatic acceleration. This the C factor was found to be ~0.5 (dashed line in
    multiplier is termed the pseudostatic seismic coeffi- Figure 3) which is identical to the criterion of
    cient, or pseudostatic C factor for short. Hynes- Hynes-Griffin and Franklin (1984) and Eurocode
    Griffin and Franklin (1984) and Eurocode (BSI, (British Standards Institution (BSI), 1996). Con-
    1998) both suggest using C = 0.5. The former ar- versely, if the critical displacement is relaxed to

    537
    1.0m, the applicable C factor reduces to 0.15. In ure probability. This was based on the belief that
    other words, a lesser proportion of kseis acts in Equa- there is negligible excess pore water pressure pre-
    tion 1, giving a higher FOS for a given set of input sent in the shallow WND soils. For hindcast prob-
    parameters. abilistic modelling (discussed later in section 7), ru
    was varied to reflect the credible range of past ex-
    3.4 Method enhancement for strain-softening and cess pore water pressure. Finally, kseis was varied us-
    cyclic degradation ing the best estimate values summarised in Table 1.
    Laboratory test data suggest that the WND shallow This led to a different numerical map of FOS being
    soils in general are not particularly susceptible to developed for each modelled earthquake recurrence
    softening under monotonic strain (strain- interval.
    softening), or strength degradation under cyclic
    loading conditions. However, certain consolidation 4. Probabilistic Stability Modelling
    test results, when viewed against Burlands (1990) (PSA Step 2)
    framework of intrinsic soil properties, suggest po-
    tential for abnormal strength loss due to soil destruc- 4.1 Monte Carlo simulation
    turation. On this basis it was considered important to Probabilistic slope stability evaluation explicitly ac-
    assess the effect of varying degrees of strain- counts for uncertainties in the mechanical properties
    softening and cyclic strength degradation in the of soils, as well as modelling uncertainties in the
    PSA. analysis. This type of analysis can be carried out in a
    number of ways, including the use of: first order re-
    Enhancements were made to the Newmark rigid liability method (FORM); second order reliability
    block model to account for these effects. These en- method (SORM); and Monte Carlo simulation. The
    hancements were based on the principle of allowing latter has wide applicability to problems involving
    the soil strength, reflected in the yield acceleration probability, and was used for the WND probabilistic
    in a Newmark analysis, to be degraded throughout assessment.
    the earthquake time history. In this way, any defi-
    ciency between the yield acceleration and the ap- 4.2 Probabilistic infinite slope equation
    plied earthquake acceleration is increased as the At the heart of a Monte Carlo simulation lies the
    earthquake progresses, resulting in larger accumu- generation of random values of the main variables
    lated displacements. Strain-softening strength (or from prescribed probability distributions. The prob-
    yield acceleration) degradation is linked to dis- abilistic variant on the undrained infinite slope equa-
    placement, whereas cyclic strength degradation is tion is presented in Equation 1 is:
    typically associated with number of shear stress cy- Rm .(Fsu / FNk ).su (1 ru ) (2)
    cles. In both cases, strength degradation characteris- FOS
    z z
    tics were fitted to the laboratory test data. FJ 'J ' dz sin(T ) cos(T )  Ckseis (FJ 'J '  J w )dz cos2 (T )

    0 0

    The relationship between the pseudostatic C factor, where Fsu is the dispersion or uncertainty in the
    FOS and slope displacement was reassessed using ground model prediction relative to the measured
    the enhanced Newmark model for the strain- strength; FNk is the additional uncertainty in inter-
    softening and cyclically degrading soil strength. It preting the measured strength from in situ site in-
    was found that using a C value of 0.55 (rather than vestigation data; and FJ s the uncertainty in sub-
    0.23, as was assessed previously for no strength deg- merged unit weight (J).
    radation) would attach the same displacement-FOS
    meaning for the strain-softening and cyclically de- In the probabilistic variant, the C factor was also
    grading soil. treated as a probabilistic variable, with a standard de-
    viation of 0.08 about a mean of 0.23, which is its de-
    3.5 Numerical mapping terministic value (section 3.3.2). Probability distribu-
    Having established the deterministic input parame- tions were derived by comparing predictions, as made
    ters, Equation 1 was applied in a numerical mapping for deterministic modelling, with test data, and by
    exercise using ArcGIS Spatial Analyst. Of the input performing statistical analyses on these comparisons.
    parameters, su, z, J, J and T are spatial variables and
    were created as map-based inputs, mapped at a 15m 4.3 Pseudostatic FOS versus probability of failure
    pixel resolution. The C factor was fixed at 0.23 (as In order to derive a relationship between pseu-
    derived in section 3.3.2), and the parameter ru was dostatic FOS and probability of failure of a slope,
    set to zero for the purposes of estimating future fail- approximately 200 pseudostatic deterministic analy-

    538
    ses were performed, in which the depth of the slip curve can be built. The all-earthquake-aggregated
    surface (z), peak seismic acceleration coefficient p(f,a) is obtained as the integral of this hazard curve
    (kseis), soil strength profile (su) and the slope angle with respect to probability of exceedance. As a point
    (T) were modified. The pseudostatic deterministic of reference, the all-earthquake-aggregated p(f,a)
    FOS was calculated for each combination, and a was found to be typically 2.5 to 4.0 times the p(f,a)
    Monte Carlo simulation was also run, each with associated with the 200 year earthquake alone.
    1 million trials.
    6. Spatial Aggregation of Slope Failure
    In each trial, instead of using deterministic values, Probability (PSA Step 4)
    values were chosen at random from the probability
    distributions. Each simulation provided a probability The final PSA step involves expressing map-based
    of failure (conditional given the earthquake being p(f,a) values, which have been generated on a pixel-
    modelled), termed p(f|E). Hence, a dataset of nearly by-pixel basis in the numerical mapping environ-
    200 points of deterministic FOS and corresponding ment, into a more meaningful slope stability context.
    conditional probability of failure (p(f|E)) was estab- Specifically, the step provides p(f,a) values per slope
    lished. Figure 4 shows the results, where it can be facet. A standard approach to predicting future land-
    seen that all the data points fall close to a single ex- slide locations is to identify the conditioning or con-
    ponential trendline (note: vertical scale is log). This trolling factors that give rise to an existing landslide
    relationship linked pseudostatic deterministic FOS population, and to map the distribution of these key
    and failure probability. Given that pseudostatic de- factors over the unfailed areas of the site. For WND,
    terministic FOS had already been numerically the seabed was divided up into relatively small slope
    mapped across the WND (see section 3.5), this alge- facets that were defined as areas of the seabed of
    braic link was then exploited to numerically map comparable susceptibility to slope failure by slab
    probability of slope failure. sliding. Comparable susceptibility of the seabed was
    determined by landslide susceptibility mapping
    (LSM).

    LSM is an expert judgment process that compares


    the spatial distribution and morphology of existing
    landslides to the distribution of interpreted controls
    of failure (such as seabed slope and the presence of
    existing crack networks). The purpose of LSM is to
    identify and define areas of the seabed of compara-
    ble susceptibility to landsliding (i.e. with a similar
    combination of controls and conditioning factors).
    Areas of the seabed that exhibit a greater number of
    observed controls are interpreted as having greater
    susceptibility to landsliding than areas that do not
    show these same combinations of controls. For ex-
    Figure 4: Relationship developed between conditional prob-
    ability of slope failure given an earthquake and deterministic ample, if slab slides are generally associated with
    FOS moderate slopes (e.g. >2.5) and slope-normal crack
    networks, then a seabed area of 5 adjoining a crack
    5. Aggregation of Failure Probability for All pattern would be more susceptible than a slope in an
    Earthquake Scenarios (PSA Step 3) area devoid of cracks on a <2.0 slope. All controls
    being equal, a greater number of controls for an area
    PSA step 2 provides a suite of p(f|E) maps, with one of seabed would imply a greater susceptibility to
    map per earthquake scenario. Following on from landsliding. This enables each slope facet to be as-
    this, step 3 aggregates earthquake-specific p(f|E) signed a qualitative measure of relative susceptibil-
    values into an overall annual failure probability ity to failure, which can be compared to the output
    (p(f,a)) for all earthquake scenarios. This can be from the PSA. Observation of the spatial distribution
    achieved by using the fact that the acceleration val- of landslides in WND indicates that they tend to be
    ues, on which p(f|E) is based, are derived on an an- located in particular slope ranges and geographic
    nual probability of exceedance basis. By plotting settings. For example, in some terrain units, slab
    annual probability of exceedance (the reciprocal of slides typically occur on gentle to moderate slopes
    recurrence interval) versus p(f|E), a type of hazard (2.57.5), as well as in association with regional

    539
    crack patterns controlled by the presence of struc-
    tural highs at depth.

    Given these observations, the seabed was divided


    into slope facets, and slope facets were ranked with
    likelihoods of failure from negligible to high. The
    rankings were relative, based upon the combination
    of factors most frequently associated with existing
    landslides in any given terrain unit, and which as-
    sumed no specific probability ranges. Figure 5 illus-
    trates the principles behind the definition of slope
    facets and the five major controls associated with
    slab slide failures. Failure probabilities per slope Figure 6: Failure probability shaded map (excerpt), overlain
    facet were obtained in ArcGIS by overlaying a fail- by slope facet polygon map
    ure probability map with a slope facet polygon map
    (Figure 6 shows an excerpt). ArcGIS was then used Table 2: Summary of principal parameters used in different
    methods for assessing susceptibility to slab slide failure
    to extract zonal statistics specifically mean failure
    probability from the failure probability map for Parameter EJ- EJ - EJ PSA
    each slope facet polygon. TU SF HF
    Regional delta geomorphology 9 9
    7. Benchmarking and Discussion of PSA Results Historical frequency 9 9
    Environmental modifiers 9
    The PSA results have been benchmarked against Slope facets 9 9
    failure probabilities obtained by expert judgment to Local seabed slope 9 9
    provide greater confidence in the PSA model. The Seabed cracking 9 9
    basis for the assessments made by the expert judg- Local geomorphological features 9
    ment and PSA approaches are shown in Table 2. Soil strength 9
    From this table it is clear that, although not entirely Earthquake loading 9
    independent, the approaches are informed by a num- Pore pressures 9
    ber of different parameters/controls. EJ = expert judgment; TU = terrain unit; SF = slope facets;
    HF = historical frequency
    The PSA output was spatially aggregated from slope
    facet level to terrain unit level for comparison with 7.1 Hindcast PSA predictions
    the expert judgment probabilities. The comparison By varying certain model inputs to match controls as
    showed that the predictions were typically within an they existed in the past, the PSA was used to esti-
    order of magnitude. In addtion, the PSA output for mate failure probability, or frequency, associated
    each slope facet was compared to the results of ex- with past conditions, a process termed hindcast
    pert judgment based LSM. The same patterns of modelling. The hindcast modelling proceeded in
    relative susceptibility were observed. three steps as outlined as follows:

    1. determine PSA-predicted failure frequency as


    a function of excess pore water pressure (the
    PSA was run for various excess pore water
    pressures to establish a relationship with
    failure frequency);
    2. estimate variation of pore water pressure with
    time using basin modelling, anchored by
    measurements of excess pore water pressure
    in the present day;
    3. combine the results of steps 1 and 2 to derive
    failure probability versus time.

    The results from steps 1 and 2 were combined to


    provide hindcast failure frequency since the early
    Figure 5: Principles behind the definition of slope facets Holocene (see Figure 7). The assumptions differen-

    540
    tiating the upper and lower bound trends shown in dating was performed on a small subset (5%) of the
    this plot are briefly summarised as follows: total slab slide population, yet this failure distribu-
    tion was assumed representative of the complete slab
    x upper bound: ru from basin model-predicted
    slide set. The result of this projected historical fail-
    trend; both failed and unfailed slope facets
    ure count with time is shown in Figure 7. The count
    included in spatial aggregation of failure
    is in 250 year bins, which corresponds to the reso-
    probability; and
    lution of the geochronological dating. The historical
    x lower bound: ru from basin model-predicted
    slab slide failure count and the hindcast PSA trend-
    trend, but modified over approximate second
    lines are shown from 8000 years BP to present-day,
    half of Holocene to give zero present-day
    noting that the failure frequency is normalised by the
    value; spatial aggregation of individual slope
    maximum 250-year count of mapped slab slides.
    facet failure probabilities performed using
    unfailed slopes only.
    Two positive observations can be made with regard
    1.5
    1.5
    60
    to the comparison of historical slab slide frequency
    Mapped slab slides, WND development buffer area with the PSA hindcast trendlines (see Figure 7):
    Mapped slab slides - 'Bin' divisions
    Failure Frequency (/max mapped slab slide frequency)

    Lower bound PSA prediction


    Upper bound PSA prediction
    (a) There appears to be an underlying trend of
    reducing slab slide frequency with time,
    1.0
    40 which agrees with the PSA hindcasting.
    (b) The total number of slab slides is of similar
    magnitude to those predicted by the PSA
    hindcasting over the period represented.
    0.5
    20
    However, due to the unpredictable episodic nature of
    earthquake occurrence, it is accepted that no firm
    conclusions can be drawn from this comparison in
    0
    terms of substantiation of the PSA model.
    8,000 6,000 4,000 2,000 0
    Years BP
    8. Conclusions
    Figure 7: Hindcast PSA predictions versus historical failure
    frequency Probabilistic slope stability analysis has made an
    important contribution to mitigate natural geohazard
    If hypothesising a best estimate trend between the risk in the WND deepwater development area.
    lower and upper bounds, it would follow the upper Twinned with an expert judgment approach, the
    bound trend in the early Holocene (when the failed PSA has provided greater confidence in the assessed
    facets had not yet failed and hence their inclusion in risk associated with slab slides. The procedure
    the aggregation is valid). The trend would then pro- adopted relates probabilistic slope failure to deter-
    gressively transition to the lower bound by the pre- ministic FOS, which is then readily applied spatially
    sent-day (no longer valid to include failed facets in within geographical mapping software. The PSA
    the aggregation, and zero excess pore-water pressure was applied to slope facets, defined by geomor-
    believed to govern). Hence, the lower bound is the phological assessment as areas of the seabed pos-
    best estimate of the present-day (and field develop- sessing comparable susceptibility to slope failure by
    ment timescale) slide failure frequency within the slab sliding. The results of the PSA have been used
    WND development buffer area. It is important to to minimise risk to the planned subsea development
    emphasise that the lower and upper bounds are by informing positioning of facilities and flowlines.
    trendlines and, as such, do not represent the epi-
    sodicity of earthquake-induced slope failure. On this Acknowledgments
    basis the focus of the comparison is on the underly-
    ing trend to the historical slope failure frequency, Thanks to the broader WND Geohazard Assessment
    rather than the peaks and troughs of the record. Team, of which the authors are part, for performing
    the work that is reported herein. Thanks also to BP
    Historical failure frequency is estimated from a Egypt and its equity partners, RWE Dea and the
    combination of geomorphological interpretation, Egyptian Natural Gas Holding Company, for their
    seismic interpretation and geochronological dating permission to publish this paper. Furthermore, the
    analysis. It should be noted that geochronological authors acknowledge contributions made by

    541
    DAppolonia, which provided the seismic hazard as-
    sessment and non-linear site response analysis, and
    Norwegian Geotechnical Institute (NGI), which per-
    formed various slope stability analyses and basin
    modelling.

    References

    British Standards Institute (BSI). (1996). Eurocode


    8: Design Provisions for Earthquake Resistance
    of Structures. Part 5, Foundations, Retaining
    Structures and Geotechnical Aspects, DD ENV
    1998-5:1996. London: BSI.
    Burland JB. (1990). On the Compressibility and
    Shear Strength of Natural Clays. 30th Rankine
    Lecture. Gotechnique 40: 329378.
    Evans TG. (2011). A systematic approach to off-
    shore engineering for multiple-project develop-
    ments in geohazardous areas. In: Gourvenec S
    and White D. (eds.). Frontiers in Offshore Geo-
    technics II, London: Taylor and Francis, 332.
    Evans TG, Usher N and Moore R. (2007). Manage-
    ment of geotechnical and geohazard risks in the
    West Nile Delta. Proc. 6th Intl. Offshore Site In-
    vestigation and Geotechnics Conference: Con-
    fronting New Challenges and Sharing Knowl-
    edge. London: Society for Underwater
    Technology (SUT).
    Hynes-Griffin ME and Franklin AG. (1984). Ration-
    alizing the seismic coefficient method. Miscella-
    neous Paper, G-84-13. Vicksburg, Mississippi:
    U.S. Army Corps of Engineers Waterways Ex-
    periment Station.
    Moore R, Usher N and Evans TG. (2007). Integrated
    multidisciplinary assessment and mitigation of
    West Nile Delta geohazards. Proc. 6th Intl. Off-
    shore Site Investigation and Geotechnics Con-
    ference: Confronting New Challenges and Shar-
    ing Knowledge. London: SUT.
    Newmark NM. (1965). Effects of earthquakes on
    dams and embankments. 5th Rankine Lecture.
    Gotechnique 15: 139160.

    542
    INVESTIGATION OF A CANYON SYSTEM OFF CTE DIVOIRE
    TO DETERMINE PRESENT DAY RISK OF SLOPE INSTABILITY
    FOR A FIELD DEVELOPMENT

    K Ware, JF Weston and JA Dickinson


    RPS Energy, Woking, UK

    Abstract
    Assessment of slope stability and seabed risk using individual disciplines can produce uncertain results be-
    cause of generic solutions. The integration of disciplines allows a more robust solution and increases confi-
    dence in the prediction of long-term risk levels ahead of detailed field design. The Baobab field lies on the
    continental slope offshore Cte dIvoire, West Africa, where a preliminary field layout within a complex can-
    yon system led to considerable concern about the long-term integrity of the development. A coring pro-
    gramme was planned to establish the timing of slope failure and activity at the seafloor. Biostratigraphic and
    sedimentological analyses of the late Pleistocene and Holocene section added high value to the assessment of
    the stability of the slopes under the modern regime. They were particularly useful in assessing the influence
    of the present-day bottom currents in terms of risk due to erosion and redeposition of seabed sediments.

    1. Introduction The timing of significant erosional events can also


    be determined. In particular, the composition and
    The exploration of deepwater canyon systems for dominance of the nannofossil assemblages provides
    hydrocarbons presents short- and long-term concern a stratigraphic framework for mid Pleistocene to Re-
    for drilling and stability of seabed infrastructure. cent sediments (Weaver, 1983). Foraminifera can
    There is a general perception that canyons are, by also provide a means of dating sediment, but the
    their nature, unstable and therefore represent a risk resolution is not as precise as nannofossils for
    to seabed infrastructure. However, understanding the younger (mid to late Pleistocene) sediments. How-
    broader geological evolution and modern sedimen- ever, environmental preferences of various taxa
    tary regime facilitates management of this risk by within the micro-paleontological preparations can be
    determining what processes are acting on the slope used to determine autochthonous versus allochtho-
    that may contribute to slope instability. A previous nous species, as well as changes in depositional set-
    geotechnical assessment was done of a single soil ting over time (Weston, 1985; Murray, 1991). Liv-
    boring located on one of the canyon walls from the ing foraminiferal assemblages are particularly use-
    Baobab development on the Cte dIvoire continen- useful, as the protoplasm remains for approximately
    tal slope. It suggested that the angle of slope where six months prior to decay and consequently can in-
    failure was more likely was significantly less than dicate if sediment has recently been transported
    the present-day situation. The canyon walls sustain down slope. Similarly, a review of the organics and
    slopes of more than 30, therefore a different ap- kerogens within palynological preparations provides
    proach was applied to the problem biostratigraphy. an indication of the sediment source, type of envi-
    Biostratigraphic studies can support slope stability ronment, and the level of sediment reworking. Con-
    assessments and provide a means to assess present- sequently, a combination of strategically located box
    day activity and risk, not just historic seabed activ- and piston cores that capture both intact surface
    ity. They enable the assessment of the present-day samples and penetrate through the upper sequence is
    sedimentary regime and determination of the amount required to characterise activity and movement on
    and source of redeposited sediments. the slopes.

    543
    Acajou Canyon
    B Baobab Canyon

    Kossipo Area
    Slump
    Features

    A
    Cte dIvoire Ghana
    Bathymetry (m)

    B
    Figure 2
    Deep Ivorian Basin

    Gulf of Guinea

    Figure 1: (a) General bathymetry of the Cte dIvoire and Ghanaian coast (the black box indicates the location of the study area);
    and (b) detailed bathymetry of the study area across the continental shelf edge and slope area illustrating the morphology and key
    features (the gridded data is multi-beam swath data acquired in 2001)

    This can be undertaken in conjunction with geo- boundary of the DIB. To the east, the ridge connects
    physical and geotechnical data acquisition, but im- with the very steep Ghanaian slope, an extension of
    portantly it provides a means to understand the tim- the transform margin (Basile et al., 1998). The study
    ing of events on its own. This study presents area takes in the Baobab Canyon and an adjacent in-
    evidence for slope stability derived from numerous ter-canyon ridge to the east, referred to as the Kos-
    shallow cores collected on the Cte dIvoire margin sipo development area. This area of higher ground is
    (Figure 1). The aim of the study is to determine the thought to be a relic of Miocene incision of the adja-
    age of the sediments, identify any potential hiatuses cent canyon systems.
    and recognise any effects of gravity-driven proc-
    esses suggestive of slope failure events. 2.2 Oceanography
    The oceanographic setting of the Cte dIvoire mar-
    2. Regional Setting gin is dominated by the Guinea Current, which flows
    east at ~3N along the western coast of Africa. The
    2.1 Margin morphology and bathymetry current is sourced from the North Equatorial Coun-
    The continental margin of the Cte dIvoire is char- tercurrent (NECC) extending across the Atlantic
    acterised by a narrow continental shelf ranging from from the west between 3 and 10N, and the Canary
    a few kilometres up to 40km. It also has a relatively Current extending from the north travelling south
    wide slope and adjacent rise above the abyssal plain along the West African coast (Gyory et al., 2005).
    (~5000m) known as the Deep Ivorian Basin (DIB; Velocities up to 100cms-1 are obtained across the
    Basile et al., 1996; Lebrato and Jones, 2009). The Gulf of Guinea, reaching a maximum during sum-
    slope is dissected by a series of submarine canyons mer months and minimums in the order of 30cms-1
    from the outer edge of the shelf, including the Trou in the winter, with some reversals (Binet and Mar-
    sans Fond (the bottomless hole) Canyon, which ex- chal, 1993). It overlays the westward flowing
    tends across the shelf from the vicinity of Abidjan Guinea Undercurrent, which originates in the Bight
    (Droz et al., 1985). To the southeast a prominent of Biafra as a return circulation of the easterly Equa-
    marginal ridge, the Ivory Coast-Ghana Ridge, trends torial Undercurrent. The interface between south-
    southwest to northeast and forms the southern ward circulating North Atlantic Deep Water

    544
    (NADW) Sub-Arctic Atlantic Intermediate Water
    (SAIW) and northward flowing Antarctic Intermedi- Weaver 1983
    ate Water (AIW) coincides with a depth of ~2000m
    on the slope of the Cte dIvoire margin (Giresse
    and Wiewira, 2001). Interference circulation be-
    tween these water masses is thought to be enhanced
    and bottom-water velocities strengthened as a result
    of the approach of this steep transform margin (Gir-
    esse et al. 1998; Wiewira et al. 2001).

    3. Methodology

    Seabed sampling was undertaken by Gardline Sur-


    veys in 2001 and 2002 using 0.5m3 box cores and
    5m piston cores. On the vessel, the cores were de-
    scribed sedimentologically and subsampled for bio-
    stratigraphy and geotechnical analysis.

    3.1 Sedimentology
    Box cores were logged at a vertical scale of 1:10 and
    piston cores at 1:50. Features noted include lithology,
    grain size, sorting, colour, sedimentary structures and
    notable changes in water content and competence. Figure 2: Nannofossil biostratigraphy for the mid to late
    Pleistocene (modified from Weaver, 1983)
    3.2 Biostratigraphy
    Three biostratigraphic disciplines have been used to 4. Biostratigraphy of Cores
    analyse the box core samples (nannofossils, micro-
    paleontology and palynology) and only two for the All box core sites across the Baobab Canyon and
    piston core samples (nannofossils and micropalaeon- margins penetrate a blanket of Holocene drape, in-
    tology). Samples were collected at 10cm intervals cluding slump scars on the canyon walls (Figure 3a).
    for the box cores and ~1m for the piston cores, en- At the majority of these sites, only Holocene sedi-
    suring as a minimum that a sample was collected ments are sampled by box cores, ranging in thick-
    from the top and bottom of each core. Nannofossils ness from 0.23m to 0.54m. No truncation or signifi-
    are examined on smear slides at 1000x magnifica- cant allochthonous sediment deposition is recorded
    tion using a polarising light microscope. Counts within the Holocene sequence. Instead, the assem-
    were made of the five dominant species through the blage of benthic foraminifera (e.g. Uvigerina pere-
    mid to late Plesitocene, and plots made to determine grina) within the Holocene section is characteristic
    the nannofossil zone, as outlined in Figure 2. of low energy conditions during deposition. Overall,
    the thickest Holocene section (3.0m) occurs in the
    Micropalaeontology for this study is the utilisation axis of the Baobab Canyon (Site 4), where bio-
    of microfossils in the range of 100m to several mil- stratigraphic dating suggests a sedimentation rate of
    limetres. Rose Bengal solution was added to surface ~30cm/Ka. Holocene drape is thinnest (0.27m) at
    samples for the identification of living specimens Site 7 on the western flank of the canyon. Sedimen-
    (stained pink). For each sample, a minimum of 300 tation rates based on the Holocene section from
    specimens were counted and identified. All living cores in the Kossipo area give values of 1.5
    fauna were picked from the surface samples in addi- 3cm/Ka. These appear to be lower than for the Bao-
    tion to the requisite number of dead specimens. The bab Canyon at comparable water depths.
    resulting data was manipulated using the StrataBugs
    software to produce relative abundances. Paly- Four sites (BC-7, BC-8, BC-9 and BC-10) capture a
    nological samples were washed and treated to re- major change in the benthic foraminiferal assem-
    move the mineral component. Half the sample was blages towards the bases of the box cores. There was
    oxidised to enhance palynoflora. Both the oxidised the incoming of species characteristic of a more ac-
    and non-oxidised portions were mounted on slides tive slope/submarine canyon setting, and an increase
    and observed at 400x magnification under a micro- in terrestrial influence suggested by an influx of
    scope. All organic matter was logged. freshwater algae.

    545
    A Box Cores B Piston Cores
    Key

    Figure 3: Results of biostratigraphy of (a) box cores; and (b) piston cores

    Calcareous nannofossil assemblages remain domi- (Bornhold and Giresse, 1985) and have been re-
    nated by Emiliania huxleyi, but indicate an older late corded from deeper water where sedimentation rates
    Pleistocene age (Eh zone 1155Ka; Figure 2). are anomalously low (Giresse and Wiewira, 1999,
    2001).
    Glauconite pellets and internal moulds of planktonic
    foraminifera are common within the Holocene sec- Piston cores penetrate beyond the Holocene cover
    tion of sites BC-8, BC-9 and BC-10, along with BC- (Figure 3b). The majority capture a section of
    32 and BC-17 across the Kossipo saddle, and sites Holocene (~0.53.0m) at the top of the core, but
    BC-19, BC-20 and BC-28 in the shallow feeder can- some do not show any evidence of Holocene drape
    yons above the Baobab Canyon system. These are (e.g. PC1301). However, neighbouring box cores
    associated with increased abundances of the nanno- exhibit only Holocene sediments, therefore this
    fossil Gephyrocapsa muellerae, which suggests an could be because of loss of the top few centimetres
    older late Pleistocene age (>55Ka). The presence of of the core due to the piston coring method. Piston
    these older Pleistocene nannofossil assemblages, cores taken along the axis of the Baobab Canyon
    while the other disciplines are more consistent with all show a significant truncation of the late Pleisto-
    a Holocene age, suggests redeposition of fine cene section below the Holocene. They are marked
    (nannofossil) material (sediment creep; Gardline, by a change in lithology to firmer clay, commonly
    2002) from upslope locations. This is also consistent associated with an increase in bulk density and
    with the occurrence of glauconite grains within the shear strength, and with the presence of bioclastic
    same samples. Glauconite is only found elsewhere in debris including gastropod, echinoid spines and
    late Pleistocene sediments of Gm1 age (~55110ka), bryozoa. The micropaleontological assemblages of
    notably at the tops of the piston cores at Sites 31 and the underlying late Pleistocene are dominated by
    1301. These sites are located upslope from the box Bolivina dilatata, Cassidulina carinata and Epis-
    cores with glauconite grains within the Holocene tominella carinata, which are characteristic of an
    section. Glauconite grains are associated with low active submarine canyon setting. Furthermore, flu-
    sedimentation rates and typically form over thou- vial algae are observed at PC7, suggesting a direct
    sands of years (Odin and Matter, 1981; Odin 1988). fluvial influence on canyon sedimentation during
    They often form on the outer shelf/upper slope the late Pleistocene.

    546
    Below the stratigraphic break the nannofossil as- sediments, slumping affecting the canyon walls and
    semblage is dominated by G. muellerae suggestive downslope transportation of material.
    of a Gm1 zone (55110Ka) age. An exception is
    PC29, situated at the distal end of the feeder canyons 5. Slope Stability
    before the intersection with the main Baobab Can-
    yon. In PC29, Gephyrocapsa aperta dominates the The various slopes across the Baobab and Kossipo ar-
    nannofossil assemblage beneath the stratigraphic eas are between 1530 and locally dips along the
    break indicating an older Ga1 age (110160Ka) and canyon walls of up to 45 are sustained (Figure 4).
    the absence of sediments deposited during zone This is supported by geotechnical slope stability
    Gm1. Similarly, PC7 records late Pleistocene Eh analyses completed on the shallow 3m cores. They
    zone sediments overlying mid Pleistocene Gm2 suggest that the Baobab and Kossipo sites are less
    (160-180Ka) deposits, and further down core sedi- prone to failure at these high angles, although the
    ments may be as old as Ga2 (~200Ka). study was limited by the core lengths of 3m. Further-
    more, steep dips are a common feature of this section
    Piston cores collected from the Kossipo area show of the West African margin (e.g. the Ghanaian margin
    Holocene sediments overlying late Pleistocene Gm1 exhibits dips up to 50; Basile et al., 1996).
    zone (55110Ka) deposits. The micropaleontologi-
    cal assemblage for the Holocene is characteristic of
    low-energy bathyal deposition with relatively high-
    nutrient surface waters. The change to late Pleisto-
    cene deposition is marked by an increase in plank-
    tonic foraminifera and decrease in radiolaria. This
    suggests a change to normal open marine surface
    water conditions. Abundant glauconite pellets and
    moulds are found at Site 31. Within the Kossipo area
    piston cores PC10 and 1301 both capture signifi-
    cantly older strata below late Pleistocene sediments.
    Pliocene foraminifera occur below 0.35m in
    PC1301. Very thin Quaternary sediments (<70cm)
    overlay early Pleistocene to Oligo-Miocene strata in
    PC10. The deepest sample (1.2m) may be close to an 0
    older unconformity with Early Eocene sediments
    10
    suggested by the significant reworking of Early Eo-
    cene material observed in the palynoflora at 1.2m. 20

    4.1 Implications of dating 30


    It is evident from the results obtained that Holocene
    sediments form a drape across the study area. In ad- 40
    Seafloor Dip Map
    dition, there has been no major gravity-flow sedi-
    mentation or slope failure affecting any of the sites Figure 4: Study area showing dip of the slope
    sampled during the last few thousand years. How-
    ever, there is evidence in the Kossipo area for minor These results indicate that the risk of planar or rota-
    reworking of older late Pleistocene nannofossils into tional slope failure is low, but do not take into ac-
    the Holocene section. This, in association with glau- count dynamic processes, which may act to reduce
    conite at these sites, suggests a minor process of shear strength. It is likely that instability, both past
    downslope movement from the exposed Pleistocene and future, can be attributed to external trigger
    sediments to the north. Sedimentation rates vary events, possibly migration of shallow gas into the
    across the area, showing a general trend for in- near surface sediments, or pore pressure changes
    creased sedimentation within the canyon axes com- caused by changing sea level.
    pared to the crests. This is probably as a result of the
    relatively low energy canyon currents providing in- The present setting of the adjacent continental mar-
    creased fine-grained sediment input. Sites that pene- gin comprises low-energy river systems that drain
    trate late Pleistocene sediments indicate that the de- into the Gulf of Guinea via coastal lagoons set be-
    positional setting at this time was more active with hind a barrier island (e.g. Ebri Lagoon; Kone et al.,
    significant current activity, erosion of underlying 2009). No major rivers discharge directly onto the

    547
    shelf, and coarse sediments found on the outer shelf the intact nature of the Holocene sediments across
    are relict sands from Pleistocene lowstands (McMas- the study area, with no evidence for significant de-
    ter et al., 1970). Consequently, sedimentation on the bris-flow deposits as a result of gravity driven sedi-
    upper slope is predominately due to suspension of ment transport downslope.
    fines rather than bedload transport of coarser sedi-
    ment. Furthermore, sediment delivered to the shelf is The exception to this is the presence of older sedi-
    transported directly down le Trou-sans-fond to be ments within the Holocene samples taken from the
    deposited on the slope to the east of the study area Kossipo slope area. However, these are interpreted
    (Droz et al., 1985; Giresse and Barusseau, 1989). to have originated from higher up on the slope rather
    This setting has prevailed though the Holocene than the shelf based on the preferred upper bathyal
    when the shelf was flooded following the Last Gla- environments of the reworked taxa observed. Fur-
    cial Maximum. thermore, sediment flow paths interpreted from
    drainage models suggest that the direction of trans-
    Relict sand ridges are observed on the outer shelf portation is from above and to the east (Figure 5).
    (Schlee et al., 1974; Gardline, 2003) and are thought
    to be drowned barriers formed during Pleistocene Bottom currents can occur across the submarine
    lowstands. When breached, these barriers may have slope and be responsible for significant erosion and
    resulted in transportation of coarser sediment di- reworking of continental slope sediments (Mitchell,
    rectly downslope. However, they are now likely to 2008). The interface between NADW and AIW is
    act to prevent movement of sediment over the shelf recorded on the Cte dIvoire slope (Giresse and
    edge, minimising the availability of sediment that Wiewira, 2001) and could provide a mechanism for
    might result in failure downslope. The quiescence of enhanced bottom water velocities resulting in active
    the modern shelf and slope setting is supported by erosion.

    Baobab Canyon A

    Down slope
    sediment transport
    B

    Along slope
    contour currents

    Relict features do not


    appear to be recently active

    Figure 5: (a) Exposure of older sediments within piston cores. The presence of older sediments within the Holocene suggest ero-
    sion due to bottom currents along slope play a more significant role than down canyon processes where the Holocene is intact. The
    likely flow paths of sediments downslope as a result of these currents are derived from a drainage flow model (b) generated from
    the bathymetry superimposed on the shaded relief image

    548
    The observed concentration of glauconite pellets Binet D and Marchal E. (1993). The large marine
    (through the winnowing of fines) within box cores ecosystem of shelf areas on the Gulf of Guinea:
    from the Kossipo slope suggests bottom currents are long-term variability induced by climatic
    active (Figure 5). Bottom currents have also been changes. In: Sherman K, Alexander LD and Gold
    used to explain concentration of iron and glauconite BD (eds.). Large basin ecosystems: stress, miti-
    particles within the Pleistocene sedimentary column gation and sustainability. Publication 92-39S.
    at the nearby ODP Site 959 in 2100m (Giresse and Washington, DC: AAAS Press, 104118.
    Wiewira, 2001). Furthermore, strong east-west bot- Bornhold BD and Giresse P. (1985). Glauconitic
    sediment on the continental shelf off Vancouver
    tom currents were encountered during spudding of
    Island, British Columbia, Canada. Journal of
    the well at Kossipo (Gardline, 2002).
    Sedimentary Petrology 55: 653664.
    6. Conclusions Droz L, Blarez E, Mascle J and Boko S. (1985). The
    Trou-Sans-Fond deep sea fan (off Ivory Coast,
    Biostratigraphy across the area indicates that the Equatorial Atlantic). Marine Geology 67: 111.
    canyon system has been subject to erosion and sig- Gardline Surveys Ltd. (2002). Ranger Oil Cte
    nificant current activity throughout the Pleistocene. dIvoire Regional slope stability study. Survey
    This interval of activity is a result of successive sea- Report No. 5643, Volume 1 Results. London:
    level lowstands and the influence of fluvial systems Gardline Surveys.
    at the shelf edge providing delivery of sediments for Gardline Surveys Ltd. (2003). Canadian Natural Re-
    sources Cte dIvoire Baobab development area
    transport downslope. However, the biostratigraphy
    slope stability study. Survey Report No. 5931.4,
    shows that under the modern regime, there is no evi-
    Volume 4 Results. London: Gardline Surveys.
    dence for significant failure within the canyons since Giresse P and Barusseau J-P. (1989). Quaternary ac-
    the onset of the Holocene (last 10 000 years). Con- cumulation rates by hemipelagic and gravity cur-
    sequently, the canyon system is considered to be less rent sedimentation on the Atlantic margin of Af-
    prone to failure, but the study also shows that the in- rica: control factor of advective and vertical
    ter-canyon slope is more prone to erosion of sedi- flows. Marine Geology 89: 279297.
    ment by along slope currents. This study highlights Giresse P and Wiewira A. (1999). Origin and
    the benefit of targeted biostratigraphic analysis to diagenesis of blue-green clays and volcanic glass
    establish an understanding of the processes occur- in the Pleistocene of the Cte dIvoire Ghana
    ring on the slope prior to field development and de- margin ridge (ODP Leg 159, Site 959). Sedimen-
    sign. tary Geology 127: 247269.
    Giresse P and Wiewira A. (2001). Stratigraphic
    Acknowledgments condensed deposition and diagenetic evolution of
    green clays in deep water sediments on the Ivory
    The authors thank Canadian Natural Resources Coast-Ghana Ridge. Marine Geology 179: 5170.
    (CNR) for permission to use the data; Ian Wilson of Giresse P, Gadel F, Serve L and Barusseau JP.
    Benthic Solutions; Gisela Khler for nannofossil (1998). Indicators of climate and sediment-source
    analyses and stratigraphic consultancy; and Mairead variations at Site 959: implications for the recon-
    struction of paleoenvironments in the Gulf of
    Rutherford for palynological analyses.
    Guinea through Pleistocene times. In: Mascle J,
    Lohmann GP and Moullade M. (eds.). Proceed-
    References ings of the Ocean Drilling Program, vol. 159,
    585603.
    Basile C, Mascle J, Benkhelil J and Bouillin J-P. Gyory J, Bischof B, Mariano AJ and Ryan EH.
    (1998). Geodynamic evolution of the Cte (2005). The Guinea Current. Available at
    dIvoire-Ghana transform margin: an overview of www.oceancurrents.rsmas.miami.edu/atlantic/gui
    Leg 159 results. In: Mascle J, Lohmann GP and nea.html, accessed on 13 July 2012.
    Moullade M. (eds.). Proceedings of the Ocean Kone YJM, Abril G, Kouadio KN, Delille B and
    Drilling Program, vol. 159, 101110. Borges AV. (2009). Seasonal variability of car-
    Basile C, Mascle J, Sage F. Lamarche G and Pon- bon dioxide in the rivers and lagoons of Ivory
    toise B. (1996). Pre-cruise and site surveys: a Coast (West Africa). Estuaries and Coasts 32:
    synthesis of marine geological and geophysical 246260.
    data on the Cte dIvoire-Ghana transform mar- Lebrato M and Jones DOB. (2009). Mass deposition
    gin. In: Mascle J, Lohmann GP and Moullade M. event of Pyrosoma atlanticum carcasses off Ivory
    (eds.). Proceedings of the Ocean Drilling Pro- Coast (West Africa). Limnology and Oceanogra-
    gram, vol. 159, 4760. phy 54: 11971209.

    549
    McMaster RL, Lachance TP and Ashraf A. (1970).
    Continental shelf geomorphic features off Portu-
    guese Guinea, Guinea and Sierra Leone (West
    Africa). Marine Geology 9: 203213.
    Mitchell NC. (2008). Summary of progress in geo-
    morphologic modelling of continental canyons.
    In: Gallagher K, Jones SJ and Wainwright J.
    (eds.). Landscape Evolution: Denudation, Cli-
    mate and Tectonics over Different Time and
    Space Scales. vol. 296, 183194.
    Murray JW. (1991). Ecology and palaeoecology of
    benthic foraminifera. Harlow, UK: Longman Sci-
    entific and Technical, 397pp.
    Odin GS. (ed.) (1988). Green Marine Clays. Am-
    sterdam: Elsevier, 445pp.
    Odin GS and Matter A. (1981). De glauconiarum
    originae. Sedimentology 28: 611641.
    Schlee J, Behrendt JC and Robb JM. (1974). Shal-
    low structure and stratigraohy of Liberian conti-
    nental margin. AAPG Bulletin 58: 708728.
    Weaver PPE. (1983). An integrated stratigraphy of
    the Upper Quaternary of the Kings Trough flank
    area, N.E. Atlantic. Oceanologica Acta 6: 451
    456.
    Weston JF. (1985). Comparison between Recent
    benthic foraminiferal faunas of the Porcupine
    Seabight and Western Approaches continental
    slope. Journal of Micropaleontology 4: 165183.
    Wiewira A, Giresse P, Petit S and Wilamowski A.
    (2001). A deep-water glauconitization process on
    the Ivory Coast-Ghana Ridge (ODP Site 959): de-
    termination of FE3+-rich montmorillonite in green
    grains. Clays and Clay Minerals 49: 540558.

    550
    SPATIALLY DISTRIBUTED PROBABILISTIC ASSESSMENT OF
    SUBMARINE SLOPE STABILITY

    William C Haneberg
    Fugro GeoConsulting, Houston, USA

    Abstract
    First-order, second-moment (FOSM) approximations provide an efficient way to assess submarine slope sta-
    bility across large areas for which digital bathymetric data are available. This is demonstrated using 20m bin
    3D seismic seafloor data for a deepwater area with typical geotechnical soil properties. Results are obtained in
    terms of a factor of safety mean and standard deviation for an infinite slope with pseudo-static seismic load-
    ing. From this the probability of sliding is calculated for each bin without the computational burden of Monte
    Carlo or other iterative methods. Because these types of probabilistic model incorporate parameter uncertainty
    into their input and output, they can be used to support decisions about the value of additional data collection,
    or justify more sophisticated analyses that may help to reduce output uncertainties. In addition to providing
    detailed maps of the probability of sliding, the analysis produces global statistics that allow insight into the
    broader response of the system to seismic shaking.

    1. Introduction Monte Carlo simulations (e.g. Hammond et al.,


    1992; Haneberg, 2004b, 2006, 2008; Zhou et al.,
    Evaluation of deepwater geohazards commonly en- 2003; Gorsevski et al., 2006). In Monte Carlo simu-
    tails assessment of slope stability either to under- lations, input variables are sampled from specified
    stand the geologic history of a project area, or to an- probability distributions (either theoretical probabil-
    ticipate the risk associated with future events, such ity density functions, or empirical histograms), and a
    as major earthquakes. This can be done qualitatively factor of safety is calculated. The process is repeated
    based on the presence or absence of past landslide to produce an ensemble of calculated factors of
    deposits; semi-quantitatively using simple measures safety from which the probability of the factor of
    such as slope angle or gradient; or quantitatively us- safety falling below the limiting value of unity can
    ing limit equilibrium slope stability analysis (e.g. be calculated. The primary disadvantage of Monte
    Mackenzie et al., 2010). Limit equilibrium methods Carlo or other iterative simulations is that several
    are widely known and attractive because they inte- thousands of iterations are typically required to
    grate the essential physics of sliding and allow obtain consistent results (Hammond et al., 1992;
    evaluation of rare or unprecedented conditions (for Haneberg, 2011). In some cases, as many as 1 mil-
    example the effects of a large future earthquake). lion iterations are done. While iteration may not pre-
    However, they also require specification of geotech- sent difficulties for small applications, it creates a
    nical variables, such as sediment shear strength, considerable computational burden when thousands
    thickness and unit weight, in addition to some de- of iterations must be repeated for each of the mil-
    scription of slope geometry (minimally the slope lions of bins comprising a digital bathymetric model
    angle). This can be an impediment to their use over for which slope stability is to be assessed at a recon-
    wide areas and during early stages of investigations, naissance level.
    when geotechnical data may be sparse or uncertain,
    or both. This paper describes an alternative non-iterative ap-
    proach that uses first-order, second-moment
    One way to incorporate the considerable uncertainty (FOSM) analytical approximations to assess spatial
    inherent in any attempt to perform a physics-based variations in slope stability over large areas. It is
    assessment of slope stability is to use iterative well suited for regionally extensive reconnaissance

    551
    investigations, pipeline routes or other corridor stud- For pairs of variables that are not correlated, then
    ies, and delineation of potentially hazardous areas in Cov (xi,xj) = 0 if i j; and Cov (xi,xj) = Var (xi) if i =
    smaller scale projects. j. This brings considerable simplification to
    Equation 3. Haneberg (2004a) compares FOSM re-
    The FOSM method has some limitations, most nota- sults for uncorrelated variables with Monte Carlo re-
    bly it works best when input distributions are sym- sults for mildly correlated variables and concludes
    metric or are nearly so, and assumptions must be that the difference in results is not significant for the
    made about the probability distribution followed by example used in his study. This may or may not be
    the factor of safety against sliding. Even so, it offers true for all situations, but an assumption of uncorre-
    a quick and computationally convenient way to per- lated variables is generally conservative in terms of
    form map-based or spatially distributed slope stabil- the calculated probability of sliding. The specific
    ity assessments over large areas. Griffiths et al. factor of safety for a submarine infinite slope sub-
    (2011) offers a critique of FOSM formulations of the jected to undrained pseudo-static seismic loading is
    infinite slope analysis for slopes with soil properties (Morgenstern, 1967; Evans, 1995):
    that vary cyclically with depth. However, those is-

    sues would likely be of concern in the analysis of
    (4)
    any slope with strongly developed slope-parallel 

    stratification and are not unique to FOSM analyses
    per se. where su is the undrained shear strength along a po-
    tential slip surface (kPa); D is sediment thickness
    2. FOSM Approximation of Variance above the slip surface (m); b and s are the buoyant
    and saturated soil unit weights (kN/m3); is the
    FOSM approximations have long been accepted slope angle (degrees); and k is a pseudo-static seis-
    tools for the analysis of error or uncertainty propaga- mic coefficient (dimensionless). Most authors sug-
    tion in both geotechnical and geographic informa- gest that a dimensionless value of about one-half of
    tion system (GIS) applications (e.g. Harr, 1987; Wu the peak earthquake acceleration be used for k (e.g.
    et al., 1996; Burrough and McDonnell, 1998). Van Hynes-Griffin and Franklin, 1984). Then there are
    Westen and Terlien (1996), Haneberg (2000, 2004a), others who recommend values based on the magni-
    Haneberg et al. (2009) and Weppner et al. (2008, tude of the earthquake (e.g. Seed, 1979), or consider
    2009) discuss their application to spatially distrib- k to be the actual acceleration and multiply it by a
    uted slope stability assessment. Given a generic ex- reduction factor of about 0.5. In lieu of the pseudo-
    pression for the factor of safety against sliding (F), static approach, displacement-based estimates of
    which is calculated as: slope performance during earthquakes can be made
    using simplified applications of the Newmark
     (1) method (Jibson and Jibson, 2003; Jibson, 2007;
    Haneberg, 2006; Haneberg et al., 2009).
    the mean factor of safety is estimated by calculating
    the factor of safety using mean values for all of the Slope angle errors can contribute significantly to un-
    independent geotechnical variables x (e.g., soil shear certainty in the calculated factor of safety, although
    strength, unit weight, thickness), or there are no known data with which to assess their
    impact on submarine slope stability calculations.
     (2) However, analyses of the effects of terrestrial digital
    elevation model (DEM) errors on slope angle and,
    (The over-bars in Equation 2 indicate mean values.) subsequently, factor of safety uncertainty suggest
    The variance of the factor of safety is estimated to that they can be significant. Haneberg (2006, 2008),
    first order by (Wu et al., 1996): for example, concluded that the standard deviation
    of slope angles calculated from a 10m grid terrestrial

    
     (3) DEM were on the order of 3 to 5, whereas those

    for a 2m grid LiDAR DEM were on the order of 2
    to 3. In both cases, those errors were propagated
    where Cov (xi ,xj) is the covariance between the ith through calculations and introduced uncertainty into
    and jth geotechnical variables. The m subscript de- static factor of safety and Newmark seismic dis-
    notes that the derivatives are to be evaluated at the placement calculations.
    mean values of the variables. In terms of familiar
    statistical measures,  is the standard Once the mean and variance of F are calculated, if
    deviation of the factor of safety. the probability distribution of the factor of safety is

    552
    known the probability of sliding ( ) is
    estimated by numerical integration, or simplified
    procedures. An example of such is using polynomial
    approximation of the cumulative distribution func-
    tion for quick computation. Monte Carlo simulations
    suggest that the factor of safety in many cases fol-
    lows an asymmetric log-normal-like distribution
    (Hammond et al., 1992; Haneberg, 2004a,b; Grif-
    fiths et al., 2011). In comparison with FOSM results,
    however, the use of a truncated normal distribution
    can sometimes produce better results for the specific
    task of calculating the probability of failure for sub-
    marine infinite slopes under undrained conditions
    (Figure 1). Thus, the factor of safety distribution
    should always be evaluated using a limited number
    of Monte Carlo simulations, rather than simply as-
    suming that it is log-normal.

    Figure 2: Bathymetry of the demonstration area as derived


    from a 3D exploration seismic seafloor pick. Dimensions are
    approximately 49km E-W and 63km N-S. Prominent areas of
    past slope failure (SF), pockmarks (PM) and channels (CH)
    are labelled. Map developed from Eendracht 3D seismic data
    Figure 1: Comparison of results from a Monte Carlo simula- owned by Fugro Multi Client Services
    tion (grey bars); FOSM approximations assuming log-normal
    (red curve); and truncated normal (orange curve) distributions
    for undrained pseudo-static (F) as given in Equation 4. Calcu- No site-specific geotechnical data were available for
    lated Prob [F < 1] values are 0.65 (Monte Carlo), 0.74 (log- the demonstration area, so values were selected on
    normal), and 0.65 (truncated normal). Although the log-normal the basis of experience and working knowledge of
    (red) curve may appear to have a better overall fit with the seabed properties in similar geologic settings (Table
    Monte Carlo results, the truncated normal (orange) curve pro-
    duces a better probability of sliding estimate
    1). Hence, the paper is intended to illustrate the
    method using realistic deepwater bathymetry, but
    3. Demonstration does not provide a real slope stability assessment of
    the demonstration area. Two hypothetical earth-
    The spatially distributed application of the FOSM quake triggers, corresponding to k = 0.1 and k = 0.2,
    approach is illustrated using bathymetry from a are evaluated.
    demonstration area in the Carnarvon basin, offshore Table 1: Values used in FOSM models described in this paper
    Australia, for which a 3D exploration seismic sea-
    floor pick is available. Approximately 7.6 million Variable Mean Standard Deviation
    20m bins comprise the 3100km2 demonstration area Su 25 kPa 5 kPa
    used in this paper, which is part of a larger 7920km2 D 5m 1m
    Eendracht dataset owned by Fugro Multi Client Ser- s 20 kN/m3 3 kN/m3
    vices. The demonstration area includes a variety of variable 3
    geomorphic features that might be associated with
    slope instability (Figure 2). These include large-
    scale past slope failures of unknown age, steep- All of the probabilistic variables were assumed to be
    walled pockmarks and some steep-sided channels on normally distributed with means and variances as
    a variety of scales. shown in Table 1. However, any symmetric, or

    553
    nearly symmetric, distribution with a central ten-
    dency that can be approximated with a mean and
    standard deviation can be used with reasonable re-
    sults (Haneberg, 2004). Likewise, although only one
    set of geotechnical values was used in this demon-
    stration, the approach can be easily expanded to in-
    corporate a number of geotechnical or soil units,
    each with its own set of distributions (Haneberg et
    al., 2009; Weppner et al., 2008, 2009).

    A mean slope angle was calculated for each bin in


    the bathymetric model by fitting a polynomial sur-
    face to each 3 3 patch of bins, calculating its slope,
    and then pairing it with an assumed slope angle
    standard deviation of 3. Factors of safety were
    calculated only for bins in which > 1. Probability
    of sliding (Prob [F < 1]) maps for the two earth-
    quake scenarios are shown in Figures 3 and 4. The
    effects of the smaller earthquake are calculated to be
    minimal, with only a small proportion of the demon-
    stration area predicted to have moderate values of
    Prob [F < 1]. When the k value is doubled to 0.2,
    however, the model predicts widespread areas of
    moderate to high Prob [F < 1].

    Figure 4: Probability of sliding (Prob [F < 1]) map for a


    k = 0.2 earthquake affecting the demonstration area. Map de-
    veloped from Eendracht 3-D seismic data owned by Fugro
    Multi Client Services

    The effect of increasing earthquake severity can also


    be seen in the global probability of sliding statistics
    (Figure 5). In addition an increase in the mean prob-
    ability of sliding across the map, the larger of the
    two earthquakes produced a slightly flatter and
    wider histogram. There was also a thicker tail corre-
    sponding to a disproportionate increase in the num-
    ber of bins with high probabilities of sliding.

    Figure 3: Probability of sliding (Prob [F < 1]) map for a


    k = 0.1 earthquake affecting the demonstration area. Map de- Figure 5: Global distribution of Prob [F < 1] for all bins with
    veloped from Eendracht 3-D seismic data owned by Fugro > 1 for the k = 0.1 (blue) and k = 0.2 (pink) earthquakes
    Multi Client Services with results shown in Figures 3 and 4, respectively

    554
    A second way to utilise the global results is to ana- tributions need to be somewhat symmetric and an
    lyse the relationship between overall stability (as re- assumption must be made about the nature of the
    flected by the calculated mean factor of safety for output probability distribution they are advanta-
    each bin) and its associated uncertainty (as reflected geous for reconnaissance or planning level studies.
    by the calculated standard deviation of the factor of This is because they can be used to map broad areas
    safety for each bin). This is illustrated in Figure 6, without the computational burden of Monte Carlo or
    using 10 000 randomly selected pairs from the k = other iterative methods. It would be essentially im-
    0.1 model. The result is a broadly curved and well possible to test a spatially distributed FOSM model
    defined trend that can be divided into three catego- of submarine seismic slope stability (such as those
    ries. described in this paper), as it would require equally
    high-resolution data to be collected shortly before
    Mean factors of safety at, below, or slightly above and after a significant earthquake. Comparison of
    unity represent reliably unstable areas. However, FOSM models with terrestrial landslide inventory
    even if they are characterised by very small standard maps, however, have shown the method to be robust
    deviations, the mean values are so close to the criti- predictors of the locations in which rainfall triggered
    cal value of F = 1 that they must be considered un- landslides have been identified (van Westen and
    stable. Mean factors of safety at the high end of the Terlien, 1996; Haneberg, 2004; Haneberg et al.,
    range, perhaps F > 2, represent reliably stable 2009; Weppner et al., 2008, 2009).
    slopes. Even if they are associated with a relatively
    large uncertainty, the large mean values suggest that Finally, because FOSM methods carry input uncer-
    those bins are reliably stable. The middle ground, tainty through to their results, they provide a valu-
    perhaps defined as the range 1.2 < F < 2.0, repre- able tool with which to analyse the uncertainty asso-
    sents unreliably stable bins. However, in a purely ciated with slope stability calculations. This is
    deterministic calculation, F = 1.2 would typically be especially beneficial in early stages of projects when
    considered a stable to very stable slope for subma- geotechnical data may be limited. Areas with sig-
    rine engineering purposes. Because of the size of the nificant uncertainty can either be avoided or, if pro-
    associated uncertainty though, there is an apprecia- ject economics justify it, made targets for additional
    ble probability that slopes in the unreliably stable geotechnical characterisation and more sophisticated
    range will actually have a value of F < 1 for the analyses.
    simulated conditions.
    Acknowledgments

    Fugro Multi Client Services generously provided the


    Eendracht data set to use for demonstration pur-
    poses. This paper benefitted from informal com-
    ments by many people who saw presentations on the
    topic and from further discussions with Kerry J
    Campbell.

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    556
    SUBMARINE LANDSLIDE FLOWS MODELLING THROUGH
    CENTRIFUGE AND NUMERICAL SIMULATIONS

    CS Gue
    International Centre for Geohazards, Norwegian Geotechnical Institute, Norway
    NGI-G&P, Malaysia
    Formerly University of Cambridge, UK
    K Soga
    University of Cambridge, UK
    K Abe
    Railway Technical Research Institute, Japan

    Abstract
    Submarine landslides, whose characteristics include large mass movements and long travel distances at very
    gentle slopes, have significant impacts and consequences on offshore and coastal facilities. This paper pre-
    sents comparisons of the results of a series of centrifuge simulations of submarine landslide flows on a very
    gentle slope at different gravity levels, with numerical simulations of a similar setup to the centrifuge tests.
    The depth-averaged material point method (DAMPM) is specifically used in the numerical simulations to
    deal with large deformations (such as the long run-out of submarine landslide flows) without mesh distortion.
    The centrifuge scaling laws are investigated based on the results from both centrifuge and numerical simula-
    tions. This paper provides a better understanding of the scaling laws that need to be adopted for centrifuge
    experiments involving submarine landslide flows, as well as enhancing the knowledge on numerical simula-
    tions these flows through DAMPM.

    1. Introduction of submarine landslide flows. This paper aims to fur-


    ther explore the proposed centrifuge scaling laws
    The knowledge and further understanding of subma- with the aid of numerical simulations using the
    rine landslides are essential to mitigate the conse- depth-averaged material point method (DAMPM).
    quences of their occurrence. One of the earliest lit-
    eratures on submarine landslides is documented by 2. Centrifuge Scaling Laws for Submarine Land-
    Terzaghi (1956), who recognised them as spontane- slide Flows
    ous mass movements of short duration involving
    large quantities of material on both steep and gentle The conventional scaling law for displacement (GL,
    slopes. Although substantial progress has been made with length being L) comes from the fact that the
    in the understanding of the geological process and stress increment (i.e. satisfying the stress equilib-
    physical mechanisms operating at different stages of rium condition) of a body is related to the strain in-
    a submarine landslide event (e.g. Vanneste et al., crement through a given stress-strain relationship of
    2011), the knowledge in this particular field is still the tested soil. If strains in both the prototype and
    lacking. model are the same, then the ground movement is
    scaled at N times (Lprototype = NLmodel) as the conven-
    One way to understand the phenomena of submarine tional scaling law for length. In other words, the
    landslide flows is to be able to model the problem scaling law for length originates from the fact that
    and correctly relate the results of the modelling to stresses depend on strains.
    the actual situation. With centrifuge modelling, soil
    stresses by the self-weight are properly reproduced, Iverson and Denlinger (2001) developed a model
    and observations from small-scale models can be re- that generalises depth-averaged mass and momen-
    lated to the full-scale prototype situation using ap- tum balance equations for finite masses of variably
    propriate scaling laws. Gue et al. (2010) presents the fluidised grain-fluid mixtures that move unsteadily
    developments of centrifuge modelling of submarine across 3D-terrains. The model tracks these from ini-
    landslide flows, as well as proposes the centrifuge tiation to deposition. It is assumed that the effective
    scaling laws that can be used in centrifuge modelling stress state, and hence shear resistance of the mov-

    557
    ing soil, is governed by the failure criteria (i.e. strain where H is the flow height; V is the flow velocity; t
    independent), and the viscosity of the pore fluid con- is the time; and L is the flow distance (run-out). It is
    tributes to the shear resistance. For specific cases, intriguing that the flow distance of a prototype is
    analytical solutions can be obtained to predict phe- scaled at N3 times of the model. Based on the con-
    nomena in the field and to aid comparison with nu- ventional centrifuge scaling law of soil body, the
    merical simulations. movement in the flow direction would have scaled at
    N times of the model.
    Based on the model developed by Iverson and The scaling law for the averaged flow height as in
    Denlinger (2001), the dimensionless groups for cal- Equation 3 (perpendicular to the slope) comes from
    culating variation in importance of mechanisms for the fact that the stress state is governed by the
    the submarine landslide flows can be deduced as: weight of the soil (which gives the basal and side
    frictions). The variation in the change in height is
    3X f P considered to be small, compared to the movement
    vx (1) in the direction parallel to the slope, and hence the
    U  U w g z h 2 depth averaged technique can be adopted.
    3X f P
    t (2)
    U  U w h 2 The scaling laws for averaged velocity (in Equation
    4) and movement for soil flow (in Equation 6) in
    parallel to the slope comes from: the equation of mo-
    where v x is the averaged flow velocity in the direc-
    tion; the effective stress state to be independent from
    tion parallel to the slope; X f is the fluid volume frac-
    strain (e.g. critical or residual state); and the viscous
    tion; P is the viscosity of slurry; t is the flow time; resistance of pore fluid. An important assumption to
    U is the density of the flow material (slurry); Uw is derive from the proposed scaling laws is that the ve-
    the density of water, gz is the gravity in the vertical locity profile within the moving soil body is the
    direction; and h is the flow height. same between the model and the prototype. Based
    on the scaling law for flow height and the averaged
    For submarine landslide flows, the movement of the flow velocity, the velocity gradient (or strain rate)
    soil-fluid mixture is large, and the soil is extensively profiles will be the same between the prototype and
    sheared, particularly when in contact at the base the model. If the viscous effect is governing the
    boundary. If the soil is at failure (i.e. critical state) movement of the moving mass, it will therefore give
    and the effective stress state of the soil becomes in- the same viscous resistance at the sliding boundary.
    dependent of strain, the scaling law for length (or
    flow distance) is indeterminable. However, by as- Since the proposed scaling laws for soil flow differ
    suming that the shear resistance of a moving soil- from the conventional scaling laws of the soil me-
    fluid mixture has some viscous effect (strain rate de- chanics problem, this has further motivated the call
    pendent), a new scaling law can be derived. The for centrifuge experiments to validate the deduced
    derivation simplifies the problem by assuming that scaling laws. It should be noted that while carrying
    the movement of the soil perpendicular to the slope out experiments at different g-levels, the various
    is negligible compared to that parallel to the slope flow heights at the corresponding g-levels must be
    (i.e. the depth average assumption). Hence, the scal- scaled as in Equation 3. Ideally, this will give the
    ing law of length in the direction parallel to the slope same magnitude of basal friction to resist the flow
    will be considered here. movement, and the effective stress field in the soil
    skeleton to drive the soil body to move along the
    Gue et al. (2010) proposes the following centrifuge slope.
    scaling laws for submarine landslide flows based on
    the depth averaged model by Iverson and Denlinger 3. Centrifuge Modelling of Submarine Landslide
    (2001): Flows

    Hprototype = NHmodel (3) 3.1 Centrifuge model and apparatus


    The mini-drum centrifuge at the University of Cam-
    Vprototype = NVmodel (4 ) bridge was used for the experiments due to its flexi-
    bility that allows materials to move freely within the
    tprototype = N2tmodel (5) circular channel. Figure 1a shows the experimental
    setup in the mini-drum centrifuge, and Figure 1b
    Lprototype = N3Lmodel (6) shows the illustration of the experiment. The clay

    558
    slurry mixture for the experiments is made out of a (a) (b) (c)
    mixture of E-grade Kaolin clay and water. The plas-
    tic limit of the E-grade Kaolin is 30% while the liq-
    uid limit is 58%. The slurry is composed of 45%
    clay and 55% water, given the water content of
    122%. The density of the slurry is 13.5kN/m3. De-
    tails of the centrifuge model, instrumentation and
    experimental procedures are presented in Gue et al.
    (2010). (d) (e) (f)

    (a)

    (g) (h) (i)

    (j) (k) (l)

    (b)

    Figure 2: Plan view of the submarine landslide flow sequence


    (picture intervals of 0.033s)
    Figure 1: (a) Experimental setup in the mini-drum centrifuge;
    and (b) illustration of the experiment

    The centrifuge experiments were carried out at vari-


    ous gravity levels with scaled input flow rates (the
    same prototype input flow rate). The different flow 30g
    rates were controlled by using different funnel open- 40g
    ing sizes at the tip. These various opening sizes were 50g
    calibrated to give the scaled input flow rates, in or- 60g
    der to achieve a constant scaled flow height
    throughout the experiments at various g-levels.

    3.2 Results from centrifuge experiments


    The sequence of the submarine landslide flows from Figure 3: Normalised flow distance against normalised time
    one of the centrifuge experiments is illustrated in based on the proposed scaling laws
    Figure 2. It shows the plan view of the submarine
    landslide flow, and the interval of the pictures is The normalisation is based on the proposed scaling
    0.033s. laws, where the flow distance is scaled at N3 times of
    the model and the time is scaled at N2 times of the
    Figure 3 shows the normalised flow distance against model. It can be seen that the experimental data
    the normalised time at various g-levels. from various g-levels scaled reasonably well to the

    559
    proposed scaling laws. As discussed in Gue et al. flow and the basal friction. However, the proposed
    (2010), the change in pore pressure measured along scaling law for flow velocity appears to be valid.
    the slope, beneath the submarine landslide flows at
    various locations, and g-levels are relatively similar, 4. Numerical Simulations Based on the Centri-
    indicating that the stresses at various g-levels are fuge Experiments
    possibly correctly modelled.
    4.1Depth-averagedmaterialpointmethod
    Table 1 summarises the averaged flow velocities and (DAMPM)
    flow heights from the experiments at various g- The DAMPM is specifically used in a numerical
    levels. By specifically scaling the flow rate, the simulation that deals with large deformation (Abe et
    scaled (prototype) flow velocity and height are al., 2007, 2008), such as the long run-out of subma-
    achieved. Based on the findings from the centrifuge
    rine landslide flows. The conventional finite element
    experiments (as shown in Figure 3 and Table 1), the
    proposed centrifuge scaling laws for submarine method often suffers from mesh distortion for large
    landslide flows appear to be valid. Since the initial deformation problems.
    development of slope failures (at small strain when
    the conventional scaling laws apply) could have in- The DAMPM is the combination of the material
    fluenced the experimental validation of the proposed point method (MPM) and the depth-averaged con-
    scaling law (at large failure strain in which the stress cept. It is a numerical method developed for run-out
    state becomes independent of strain), further valida- analysis of material with a complicated constitutive
    tion was made through numerical simulations (dis- law, such as for debris flows. The algorithm for this
    cussed in the following section). method is based on discretisation of St. Venants
    Table 1: Summary of flow velocities and flow heights from the depth averaged equation of shallow open-channel
    centrifuge experiments fluid flow. It has been successfully used in recent re-
    g- Prototype Flow veloc- Flow Prototype
    search, such as Abe et al. (2007, 2008), for predict-
    levels flow ve- ity height flow ing long run-out debris flows.
    locity height
    N V N*V H N*H Figure 5 shows the concept of DAMPM, where the
    (m/s) (m/s) (m) (m)
    material body consists of a group of Lagrangian par-
    30 0.60 18.0 0.0058 0.18
    40 0.45 18.0 0.0044 0.18 ticles that carry the physical variables of the body on
    50 0.37 18.5 0.0034 0.17 the Eulerian background meshes. At the nodes of the
    60 0.32 19.2 0.0028 0.17 background meshes, the Newtonian equation of mo-
    Average flow velocity and height tion is solved with nodal variables, which are intro-
    duced from the physical variables carried by the par-
    1 ticles. All the Lagrangian parameters assigned to the
    Average flow velocity (m/s)

    0.9 30g
    N*V = 18.5 m/s 40g
    particles are updated at each step. The depth integra-
    0.8
    0.7 50g tion is performed normal to bed, with the z-axis of
    0.6 60g Cartesian coordinate as shown in Figure 5.
    0.5
    0.4
    0.3
    0.2
    0.1
    0
    0 10 20 30 40 50 60 70 80
    g levels

    Figure 4: Relationship of flow velocity and g levels

    Figure 4 shows the relationship between flow veloc- Figure 5: Illustration of DAMPM (Abe et al., 2008)
    ity and g-level. If this figure gives the correct rela-
    tionship, it will be useful in predicting the actual 4.2 Governing equations
    flow velocity in the field when the submarine land- The governing equations used in the DAMPM for
    slide thickness is approximately 0.18m. More data the simulations are derived using the classical shal-
    points should be gathered to have a better prediction low water theory and Iverson and Denlingers
    of the actual flow velocity in the field. It should be (2001) depth-averaged theory. The latter is on the
    noted that the flow velocity in the field differs from flow of variably fluidised granular masses with the
    those obtained from the experiments, as it depends
    incorporation of effective stress theory.
    on the type of viscous fluid mixture, the thickness of

    560
    The stress components are calculated by Equations 7 merical implementation into DAMPM can be found
    and 8, assuming that the distribution of stress and in Gue (2012).
    pore pressure are triangular. The depth-averaged
    normal total stress ( V zz ) is separated into depth- 4.3 Model details and boundary conditions
    averaged effective normal stress ( V zzc ) and the ex- The schematic for the numerical simulation is shown
    in Figure 6. The geometry of the simulation is
    cess pore water pressure ( p we ) by a pore pressure
    mainly based on the centrifuge experiments, and the
    coefficient (, which is the ratio of pore pressure to boundary consists of a confined channel of a 6
    the total normal stress at the base). The calculations slope, with a run-out slope length of 2m. It should be
    for this are as follows: noted that the slope length in the numerical simula-
    1 tion is longer than the actual centrifuge experiments
    V zzc U  U w g z h 1  O (7)
    2 (1m). The reason for having a longer runout is to
    1 provide a better understanding of the submarine
    pwe U  U w g z hO (8)
    landslide flows and to avoid the material point parti-
    2
    where U is the density of the flow material (slurry); cles hitting the end of the slope too early. Otherwise,
    Uw is the density of water; gz is gravity in the vertical particles may build up or bounce back at the end of
    direction (z); and h is the flow height. the slope, thus affecting the flow mechanism.

    The other stress components are computed from the


    continuum based constitutive equation of the fluid-
    ised material, using the following equation:
    V ijc Tijkl H kl (9)

    where V ijc is the local depth averaged stress tensor,


    Tijkl is the local stiffness and H kl is the local depth Figure 6: Schematic of the numerical simulation
    averaged strain tensor.
    The background grid spacing used in the simulations
    of this study is 0.01 0.01m. The initial conditions,
    The basal frictional stresses V xz and V yz are
    z 0 z 0 however, are slightly different from the centrifuge ex-
    important in resisting the soil body to move along a periments due to the complexity of simulating the
    slope. In this study, it is assumed that Newtonian pouring process used in the centrifuge experiments.
    flow (for the fluid phase) and Coulomb frictional Therefore an initial velocity is assigned to the slurry
    law (for the solid phase) are applied as the basal fric- to resemble the initial velocity caused by the pouring
    tional force, as follows: process in the centrifuge experiments. The slurry is
    represented by a group of particles from the initial
    U  U w g z h1  ac 1  O tan I c  3v f P v x

    V cxz area at the top of the slope (the yellow section in Fig-
    z 0
    gz h ure 6), with a prescribed initial velocity and height.
    (10) The initial area is set as a frictionless base without
    setting any gravity. This means that the particles in
    vy
    U  U w g z h1  ac 1  O tan I c  3v f P
    the initial area do not have any forces, while in the
    V cyz z 0
    gz h other area, a frictional base and gravity are assigned.
    (11)
    The simulation starts with releasing of the particles
    where ac is the centrifugal acceleration (dependent from the initial area, in which the movements of the
    on the curvature radius of the flow path); I c is the particles in the yellow section (see Figure 6) are
    basal frictional angle; vf is the fluid volume fraction; driven by the initial velocity. Once the particles come
    is the fluid viscosity; and v x and v y are the aver- out from the yellow section, the movement and the
    aged flow velocities in the x and y directions, respec- changes in flow velocity and height of the particles
    tively. The first term on the right-hand side comes can be tracked while they are moving along the slope.
    from soils frictional resistance, whereas the second
    term comes from the viscosity of the pore fluid in- For the simulations of this study, the averaged flow
    side the moving soil-fluid mixture. A more detailed height and velocity are tracked based on the average
    derivation of the governing equations and the nu- of a group of particles at 0.3m from the movement

    561
    front, represented by a red line as shown in Figure 6.
    The reason for choosing the group of particles at
    0.3m instead of at the front of the flow is that the
    flow height is more constant. It starts at 0.3m from
    the movement front to the back of the flow, which is
    more representative to the overall flow. The imme-
    diate front of the flow is influenced by the numerical
    oscillations and is not representative of the overall
    flow. The simulation was repeated with different
    gravity levels used in the centrifuge experiments.
    The basic parameters for the numerical simulations
    are shown in Table 2. The density of the slurry, fluid
    volume fraction and viscosity are based on the actual
    measurements from the slurry used in the centrifuge
    experiments. While the other parameters are as-
    sumed based on the typical values of a soil under a
    given effective stress condition.
    Table 2: Parameters for the numerical simulations
    Density of flow slurry 1350 kg/m3
    Density of water 1000 kg/m3
    Poissons ratio 0.3
    Youngs modulus 1 MPa
    Cohesion 0.1 Pa
    Basal friction angle 12.5
    Internal friction angle 25
    Side wall friction angle 5
    Pore pressure ratio (O 1
    Fluid volume fraction (Porosity) 0.76
    Viscosity of flow slurry 0.4 Pas Figure 7: Flow development from the numerical simulation
    Number of particles in a simulation 3528
    Figure 8 shows the averaged flow velocity and height
    The basal friction angle, internal friction angle and against time along the monitored front line (0.3m
    side wall friction angle are determined from rigorous from the movement front) for the simulations at vari-
    parametric studies and from correlation with the re- ous g-levels. Slight numerical oscillations can be seen
    sults from the centrifuge experiments. to increase with time in Figure 8a, similar to those re-
    flected in Figure 7. In general, the averaged flow ve-
    4.4 Results from numerical simulations locities and heights from each simulation (as shown in
    Numerical simulations are performed based on the Figure 8) demonstrate that both are fairly constant
    centrifuge experiments carried out at various g-levels throughout the flow. This is also similar to the centri-
    (30g, 40g, 50g and 60g), with the flow velocities and fuge experiments, indicating that the movements are
    heights scaled according to the proposed scaling laws. more or less in the steady-state condition.
    The basic parameters for the four simulations in this
    series are shown in Table 2. The inputs for the simu- Under a constant slope angle, a steady-state condi-
    lations of the initial flow velocities and heights, with tion (constant velocity) exists when frictional forces
    their corresponding g-levels, are based on the centri- (due to soil friction and viscous resistance) are in
    fuge experiments shown in Table 1. balance with the gravitational force parallel to the
    slope. Therefore, if the frictional forces become con-
    Figure 7 shows an example of flow development stant (i.e. critical state friction, constant excess pore
    from initiation up to 1.8s. The numerical simulation pressure and constant viscosity), the acceleration
    result is relatively similar to the flow sequence from term vanishes and the flow velocity, as well as its
    the centrifuge test shown in Figure 2. Numerical os- profile, become constant (steady state). This is
    cillation at the front can also be seen, in which the shown in the governing equations and from the cen-
    oscillation increases with time. The numerical oscil- trifuge experiments. Figure 9 shows the normalised
    lation is caused by the frontal movement. flow distance against time along the monitored line.

    562
    Similar to Figure 3, normalisation is based on the determining the submarine landslide flow progress, in
    proposed scaling laws, where the flow distance is particular for determining the apparent effective stress
    scaled at N3 times the model and the time is scaled at of a soil body. A more detailed discussion on the pa-
    N2 times the model. It can be seen that the results rameterO can be found in Gue (2012).
    from numerical simulations at various g-levels scale
    
    reasonably well to the proposed scaling laws. 6

    Normalised flow distance, L*N3 (m)


    10
    30g
     40g
    1 4 50g
    Averaged flow velocity, V (m/s)

    (a) 30g 10
    40g 60g
    0.8
    50g
    60g 2
    0.6 10

    0.4
    0
    10 0 1 2 3 4
    0.2 10 10 10 10 10
    Normalised time, t*N2 (s)
    0
    0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 Figure 9: Normalised flow distance for various g levels
    Time, t (s)
    
    0.01 Table 3: Summary of results from centrifuge experiments and
    30g numerical simulations
    (b)
    Averaged flow height, H (m)

    40g
    0.008
    50g g Centrifuge Prototype Numerical
    60g experiments input flow simulations
    0.006
    *Flow *Flow rate per *Flow *Flow
    velocity velocity unit length velocity velocity
    0.004
    N QPul Vp=N*V Hp=N* Vp=N*V Hp=N*
    0.002 (m3/s/m) (m/s) H (m) (m/s) H (m)
    30 3.2 18.0 0.18 18.1 0.17
    0 40 3.2 18.0 0.18 18.1 0.18
    0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8
    Time, t (s) 50 3.2 18.5 0.17 18.4 0.17
    60 3.2 19.2 0.17 18.6 0.17
    Figure 8: (a) Averaged flow velocity, (b) averaged flow height
    *Averaged prototype
    against time for various g levels

    5. Comparison of Results from Centrifuge Ex-


    Figure 10a shows the averaged flow height against
    periments and Numerical Simulations
    average flow velocity from the centrifuge experi-
    ments and the numerical simulations. Again, this
    According to the proposed centrifuge scaling laws,
    demonstrates the results from centrifuge experiments
    the scaled series of centrifuge experiments where
    and numerical simulations are relatively similar.
    the prototype input flow rates were the same for the
    Figures 10b,c show the relationship of the averaged
    various g-levels gave a similar prototype flow ve-
    prototype flow velocity and height, respectively,
    locity and height at those g-levels. Table 3 shows the
    against the prototype input flow rate for the results
    summary results from the centrifuge experiments
    from both the centrifuge experiments and the nu-
    and the numerical simulations. It can be seen that the
    merical simulations. Both consistently show that the
    prototype averaged flow velocities and heights were
    averaged prototype flow height and flow velocity,
    relatively similar at various g-levels for both centri-
    when plotted with the prototype input flow rate,
    fuge experiments and numerical simulations. This
    converge at a single point. This indicates that the
    indicates that the results from the centrifuge experi-
    centrifuge experiments and numerical simulations
    ments and numerical simulations at the various g-
    are modelled to be scaled correctly according to the
    levels agree reasonably well.
    proposed scaling laws.
    It should be noted that a pore pressure ratio (O of 1 6. Conclusion
    was used in the numerical simulations in order to ob-
    tain the results shown in Table 3. If O = 1, this indi- In order to investigate the proposed centrifuge scaling
    cates that the flow slurry is considered to be com- laws, a new centrifuge apparatus has been success-
    pletely liquefied and there is no effective stress at the fully developed using a mini-drum centrifuge, which
    base boundary. The parameter O is very important in allows the modelling of submarine landslide flows.

    563
    0.01
    (a) The results showed that they achieved the same
    30g Centrifuge
    Numerical
    stress field in both the model and the prototype.
    40g
    0.008 Therefore, the results from the centrifuge experi-
    Averaged flow height, H (m)

    50g
    60g
    ments appeared to follow the proposed centrifuge
    scaling laws. Further complementing the centrifuge
    0.006
    results, numerical simulations using DAMPM were
    conducted, which closely modelled the centrifuge
    0.004 experiments, and the results agreed well with the
    proposed centrifuge scaling laws.
    0.002
    Acknowledgments
    0
    0 0.2 0.4 0.6 0.8 1
    This study is funded by the Norwegian Geotechnical
    Averaged flow velocity, V (m/s)
    Institute, International Centre for Geohazards and
    30 the Cambridge Commonwealth Trust.
    (b)
    Averaged prototype flow velocity, VP (m/s)

    30g Centrifuge
    40g Numerical
    25
    50g References
    60g

    20 Abe K, Johansson J and Konagai K. (2007). A new


    method for the run-out analysis and motion pre-
    15 diction of rapid and long-travelling landslides
    with MPM. JSCE Geotechnical and Geo-
    10 environmental Engineering 63: 93109.
    Abe K, Tateyama M, Shinoda M, and Konagai K.
    5 (2008). Run-out analysis of debris flow using
    MPM and depth averaged equation. Proc. of the
    0 Annual Conf. of the Society for Multiphase Flow,
    0 1 2 3 4 5
    University of Aizu, Japan.
    Prototype input flow rate/width, QPul (m3/s/m)
    0.4
    Gue CS, Soga K, Bolton M, and Thusyanthan NI.
    (c) (2010). Centrifuge modelling of submarine land-
    Averaged prototype flow height, HP (m)

    30g Centrifuge
    40g Numerical
    slide flows. In: Springman S, Laue J and Seward
    50g L. (eds.). Physical Modelling in Geotechnics:
    0.3 60g
    Proceedings of the 7th International Conference
    on Physical Modelling in Geotechnics (ICPMG
    2010), 11131118.
    0.2 Gue CS. (2012). Submarine landslide flows simula-
    tion through centrifuge modelling. PhD thesis,
    University of Cambridge.
    0.1
    Iverson RM and Denlinger RP. (2001). Flow of
    variably fluidized granular masses across three-
    dimensional terrain 1. Coulomb mixture theory.
    Journal of Geophysical Research 106: 537552.
    0
    Terzaghi K. (1956). Varieties of submarine slope
    0 1 2 3 4 5 failures. Harvard Soil Mechanics Series, No.52,
    Prototype input flow rate/width, QPul (m3/s/m) Harvard University.
    Vanneste M, Forsberg CF, Glimsdal S, Harbitz CB,
    Figure 10: (a) Averaged flow height and average flow velocity;
    Issler D, Kvalstad TJ, Lvholt F and Nadim F.
    (b) averaged prototype flow velocity; and (c) averaged proto-
    type flow height against the prototype input flow rate for cen-
    (2011). Submarine landslides and their conse-
    trifuge experiments and numerical simulations quences: What do we know, what can we do?
    Proc. of the 2nd World Landslide Forum, 37 Oct
    Centrifuge experiments were successfully carried 2011, Rome.
    out at various g-levels with scaled flow heights and
    velocities. This gave the same magnitude of basal
    friction to resist the flow movement, as well as the
    soil stress field to drive the soil body to move along
    the slope.

    564
    AN OVERVIEW OF SUBMARINE SLOPE STABILITY AND RUN-
    OUT ASSESSMENT FOR DEEPWATER PIPELINES

    DJ Robert1
    Monash University, Melbourne, Australia
    NI Thusyanthan2
    CAPE Group, Singapore
    S Jegandan3
    INTECSEA, Surrey, UK
    1,2,3
    Formally KW Ltd, Surrey, UK

    Abstract
    Submarine landslides are one of the major hazards for offshore pipelines. Progressive differential ground
    movements caused by earthquakes can initiate run-out/debris flows that can impact and damage pipelines.
    Hence, both the stability of submarine slopes caused by earthquakes and the potential run-out distances must
    be assessed. This is particularly important for deepwater pipelines, whose routes often cross areas that are
    prone to landslide and debris flow. This paper presents an overview of slope stability and run-out assessment
    for offshore pipelines using both analytical and numerical methods. Analytical slope stability assessment is
    based on guidelines for seismic design and assessment of natural gas and liquid hydrocarbon pipelines, and
    SLOPE/W and QUAKE/W are used for the numerical assessments. The paper provides a review of run-out
    assessments in literature and summarises the best methodology through a case study.

    1. Introduction then to assess the expected run-out. The flow chart


    in Figure 2 illustrates the consideration of submarine
    Submarine landslides, which can be triggered by slope for assessing its stability and run-out predic-
    many factors such as shallow gas release and seismic tion.
    events, pose a threat to offshore pipelines, and the
    outcome of such event could be catastrophic. Pro- (a)
    gressive differential ground movements, such as
    those caused by landslides, earthquakes and run-
    out/debris flows, can cause pipeline deformations
    that may impact serviceability of pipelines. Hence, it
    is essential to assess the stability of submarine slopes
    and study the risk associated for pipelines stability.

    There are mainly two types of slope failures usually


    associated with submarine slopes undergoing earth- (b)
    quake shaking: coherent failure and disruptive fail- Source area
    ure. Coherent failure is where the soil moves as a
    Main Track
    single solid mass (Figure 1a), and disruptive failure
    Deposition
    is where the soil loses the majority of its strength area
    and flows as individual particles (Figure 1b). If suf-
    ficient deformation occurs in a submarine slope by
    earthquake shaking, the soil mass will tend to run
    down the slope, and the pipelines placed in the vi-
    cinity can be severely affected. Figure 1: Types of slope failures anticipated in submarine
    slopes: (a) coherent failure (slump flow); and (b) disruptive
    Hence the assessments need to be conducted firstly failure (mud flow, modified from Honegger and Nyman,
    to identify the stability of slopes during shaking and 2004)

    565
    These are discussed in the following sections, along
    with the results of parametric study.

    2.1 PRCI method


    PRCI method can be used to identify whether a
    slope is triggered into instability by earthquake
    shaking. The recommended approach in PRCI
    (Honegger and Nyman, 2004) for earthquake in-
    duced slope failure assessment can be used to esti-
    mate the critical acceleration (Ac). It can also be
    used to calculate the soil movement (LD) to see
    whether there exists the potential for any triggered
    slope instabilities. However, some caution is needed
    in this regard since the behaviour of saturated sedi-
    ments in deep water is different to those used to de-
    Figure 2: Flowchart illustrating the slope stability assessment
    velop PRCI guidelines. The formulation to assess Ac
    methods and LD are presented as:

    c'
    As illustrated in the flowchart, once an earthquake Ac  (1  O ) tan I ' cos T  sin T (1)
    occurs the submarine slope is subjected to deforma- J .h
    tions, the disturbing stresses are increased and the where h is the thickness of the potential landslide;
    slope becomes unstable. Analytical or finite element is the slope steepness angle; c is the effective cohe-
    (FE) methods can be used to analyse the stability of sion of the slope material under dynamic conditions;
    the slope during an earthquake. Based on the analy- I is the effective friction angle of the slope mate-
    tical method recommended by the Pipeline Research rial under dynamic conditions; J is the unit weight
    Council International (PRCI; Honegger and Nyman,
    of soil; J w is the unit weight of water; and is the
    2004), the stability is estimated by calculating the
    critical acceleration and soil movements to deter- ratio of the pore water pressure to the overburden
    mine any potential triggered slope instabilities. The stress ( O J w (h  Dw ) / Jh d 0.6 , where Dw is the
    code proposes (Honegger and Nyman, 2004) if soil depth to water table). The formula for LD is given
    displacement is greater than 1 inch or 4 inches, then below:
    there is a potential for disruptive or coherent land-
    slides, respectively. It recommends site-specific in- Ac PGA
    2

    vestigations should be performed to quantify the LD 3.0.PGA.(1  ). (2)


    magnitude, extent and likelihood of soil movement. PGA Ac

    Alternatively, the slope stability can be assessed by where PGA is the peak ground acceleration. The
    using the FE method, incorporating SLOPE/W as code states that if LD is greater than 1 inch, then
    the driving platform. The stability in the latter case there is the potential for disruptive landslides or 4
    is determined by assessing the factor of safety (FOS) inches for coherent landslides. If landslides are pre-
    for the critical slip surface. Unless the FOS is greater dicted then the code recommends that site-specific
    than 1.0 or soil displacements are less than 4 inches investigations should be performed to quantify the
    (or 1 inch for the mud flow type), the slope is un- magnitude, extent and likelihood of soil movement.
    stable. Hence further assessments have to be con-
    ducted to investigate whether the pipelines are A parametric study was performed based on subma-
    affected by the resulting run-outs. This paper fo- rine slopes with different inclinations affected by
    cuses on how the PRCI and FE methods can be used several earthquake shaking magnitudes. Assess-
    to identify the potential slope failures triggered by ments were conducted considering a clay layer
    earthquakes and to evaluate the expected run-outs. thickness of 30m under undrained condition. Three
    undrained strength profiles were considered in the
    2. Slope Stability Assessment parametric study. The undrained shear strength (Su)
    of clay layer at the top was considered as 2kPa, 5kPa
    Two methods can be used to identify the stability of and 10kPa with the increase in shear strength with
    submarine slopes undergoing earthquake shaking. depth of 2kPa/m.

    566
    No failure
    No failure in Non-cohesive in Cohesive Failure Zone

    20
    Slope Inclination (Degrees)

    18
    16
    14
    12
    10
    8
    6
    4
    2
    0
    0.0 0.0 0.1 1.0 10.0 100.0 1000.0
    LD (Inches)
    PGA=0.05g_Su top=2kPa PGA=0.15g_Su top=2kPa
    PGA=0.05g_Su top=5kPa PGA=0.15g_Su top=5kPa
    PGA=0.05g_Su top=10kPa PGA=0.15g_Su top=10kPa
    PGA=0.1g_Su top=2kpa PGA=0.2g_Su top=2kPa
    PGA=0.1g_Su top=5kPa PGA=0.2g_Su top=5kPa
    PGA=0.1g_Su top=10kPa PGA=0.2g_Su top=10kPa

    Figure 3: Slope inclination versus soil displacement based on PRCI (Honegger and Nyman, 2004)

    Figure 3 shows the change in soil displacements in- computes the static and dynamic ground stresses at
    duced by different earthquake magnitudes and slope specified intervals during an earthquake, which is
    inclinations. Based on the PRCI limits, soil dis- then used in SLOPE/W to assess the stability varia-
    placements greater than 4 inches are categorised as tions and permanent deformation due to the earth-
    cohesive landslides. Soil displacements less than 1 quake (GEO-SLOPE, 2010). In addition to the per-
    inch are recommended as safe slopes, irrespective of manent deformation estimations, QUAKE/W
    soil type, and displacements between 1 and 4 inches evaluates the temporary movements of the slope dur-
    can be classified as a safe region for cohesive soil. ing the earthquake.
    The preliminary slope stability assessment under
    earthquake shaking can be obtained using the PRCI In the parametric study undertaken, a total of 45
    method. If the slope is identified to be in the failure cross-sections of submarine slopes, obtained from
    zone, detailed FE analyses have to be conducted to Ghana offshore region, were analysed based on dif-
    check the stability. ferent PGA values for slope stability. The results are
    presented in section 4 under run-out assessments.
    2.2 Limit equilibrium and/or finite element method
    Detailed seismic stability of slopes needs to be as- 3. Review of Literature on Debris Flows
    sessed by limit equilibrium method (SLOPE/W in
    the current study) and/or dynamic slope stability as- Modelling of debris-flow run-out has received con-
    sessment using FE tools (QUAKE/W in the current siderable attention from researchers over the last
    study). Seismic stability assessment by limit equilib- decade. In addition to the advance numerical mod-
    rium method is usually performed in a pseudo-static els, researchers have also developed simplistic mod-
    approach. In contrast, dynamic analyses using an FE els considering the energy equilibrium to assess the
    method requires full time history of earthquake load- run-out efficiencies of debris flows. In the current
    ing and computed stresses to determine the slope study, the model discussed by Iverson (1997,
    stability under earthquake shaking. method 1), and Elverhi et al. (2005, method 2) have
    been used to elaborate on the run-out assessments
    The pseudo-static approach utilised in SLOPE/W using simplistic models. Iverson (1997) states that as
    transforms the earthquake loadings to inertial forces. the debris flow moves down slope (Figure 4), its en-
    These inertial forces are compared with stabilising ergy degrades to higher entropy states and under-
    forces to check for slope stability. The QUAKE/W goes different conversions:

    567
    Bulk gravitational potential energy Iverson (1997) has further studied the mechanical
    Bulk transitional kinetic energy phenomenon that governs R in detail to understand
    Grain vibrational kinetic energy and predict debris flow motion. By dividing each
    + Fluid pressure energy Heat side of Equation 3 by MgHR yields:

    Here, the one-way arrows denote conversions that 1/ R L/ H (4)


    are irreversible, whereas the two-way arrow denotes
    a conversion that involves positive feedback. This
    has been further simplified by assuming higher effi-
    ciency conversion of gravitational potential energy
    to the work done during debris flow translation.
    .
    Source
    (The more efficiently the conversion occurs, the less Distal limits
    vigorously the energy degrades to irrecoverable

    .
    forms, such as heat.) The net efficiency has to be H
    Deposit
    calculated by integrating such equations that de-
    scribe motion of debris flow of mass as a function of L
    time. However, Heim (1932) shows that the outcome Lo
    of such integration can be equivalent to:

    MgH MgRL (3) Figure 5: Schematic cross section defining H and L for debris
    flow paths (Modified from Iverson, 1997)
    meaning that total potential energy lost during mo-
    tion (MgH) equals to the total energy degraded to ir- This shows that the net efficiency (1/R) increases as
    recoverable forms by resisting forces (MgR). These the run-out distance (L) increases for a fixed descent
    forces work through the distance (L) to make the de- height (H). Thus it is suggested that the net efficien-
    bris flow stop. Here, M is the debris flow mass; g is cies can be determined from surveys of debris flow
    the magnitude of gravitational acceleration; and R is source areas and deposits that yield the value of L/H
    a dimensionless net resistance coefficient. R incor- (Iverson, 1997). De Blasio et al. (2006) have re-
    porates the effects of internal forces, but depends cently studied this parameter to quantify the flow
    also on external forces that act at the bed to convert capacity of a landslide. They defined the run-out ra-
    gravitational potential to horizontal translation. tio as the height of fall in the gravity field, divided
    by the debris flow length. Therefore, the landslide
    Low density data reported in the literature has been identified
    layer, turbidity
    Erosion from current
    with a point on a plane where the volume is reported
    head Dense flow, in the abscissa scale and the run-out ratio in the or-
    debris flow dinate.

    Figure 6 shows the distribution of subaqueous and


    Hydroplaning
    subaerial landslide deposits. Data for subaqueous
    debris flows (black squares) are mainly from Edgers
    and Karlsrud (1982a), Elverhi et al. (2002) and
    Figure 4: Sketch of subaqueous clay-rich debris flow observed
    Masson et al. (1988). Outrunner block data (black
    during a laboratory experiment (modified from Elverhi et al.,
    2010) triangles) are from Nissen et al. (1999), Prior et al.
    (1982a,b), Kuijpers et al. (2001), and Longva et al.
    As shown in Figure 5, the coordinates H and L de- (2003). Data for subaerial rock avalanches (open
    scribe displacement of debris flow centre of mass squares) derive from various sources. Subaqueous
    during motion. H is the vertical elevation of the rock avalanches are taken from Masson et al. (1988).
    debris flow source above the deposit, and L is the
    horizontal distance from the source to deposit. Lo is Another group of researchers has also argued that
    the distance from the failure mass to the end point the run-out distance is intimately connected with the
    of the slope. Strictly, H and L are defined by lines release volume of the sliding mass (i.e. Heim, 1932;
    that connect the source area centre of mass. In Scheidegger, 1973). They argued that the run-out
    practice, they are commonly estimated from the distance (Ro) of gravitational mass movements
    distal limits of the source area and the deposit grows with increasing release volume (V), while the
    (Iverson, 1997). run-out ratio (r) decreases (Figure 7). Edgers and

    568
    Karlsrud (1982b); Hampton and Lee (1996); Locat 4. Run-out assessments
    and Lee (2002) and Elverhi et al. (2002) combined
    data on subaqueous slides from all over the world Runout assessments have been conducted using the
    and found indications of an underlying power-law foregoing methods for 45 submarine slope cross-
    behaviour. Based on the foregoing concept, Issler et sections obtained from Ghana offshore region, sub-
    al. (2005) and Elverhi et al. (2005) summarise the jected to earthquake shaking. Critical slopes were
    debris flow from a worldwide database and present identified based on PRCI method. SLOPE/W analy-
    power law relationships shown in Figure 8. ses were conducted to investigate the stability of
    those critical slopes and to obtain inputs for the run-
    1 Subaerial rock out assessments. The slopes were assessed at the
    avalanches Subaqueous earthquake PGA of 0.08g and 0.1g. Figure 9 illus-
    rock trates an example of an analysed submarine slope
    0.1
    H/L ratio

    section in SLOPE/W.

    0.01 Average Trend A total of 45 cross-sections were analysed and the


    failures (FOS < 1) were identified to conduct the
    Outrunner blocks Subaqueous debris run-out assessments. The main input parameter for
    flow
    0.001 the run-out model is the soil volume that is subjected
    0.000001 0.0001 0.01 1 100 10000 to run-out flow, i.e. volume of soil that binds the
    3 critical slip surface (Figure 9). This is obtained from
    Volume (km )
    the SLOPE/W analyses results. Estimations were
    Figure 6: distribution of subaqueous and subaerial landslide done based on Iverson (1997), as well as Issler et al.
    deposits (modified from De Blasio et al., 2006) (2005) and Elverhi et al. (2005), methods. Figure
    10 shows the superimposition of the run-out vol-
    A umes (per kilometre length) derived from SLOPE/W
    Released mass
    analyses using Iverson (1997) and Elverhi et al.
    (2005) methods.

    H
    Deposit

    arc tan
    Ro W

    Figure 7: Definition sketch of debris flow geometry; A is the


    average area of a longitudinal section (Issler et al, 2005)

    Figure 9: An example of analysed submarine slope


    1000 12
    10
    17 18 3 Soil displacements were calculated accordingly and
    Runout distance (km)

    100 16 6 7 5
    4 9 are presented in Figure 11 for method 1 and 2 (lower
    15 1920 14 11
    2 band solutions are shown) under PGA = 0.08g,
    10 8 1
    along with the maximum slope angle of the analysed
    13
    1 31.1 km^(-0.78) A^(0.89) slope. Only 30 slopes are shown in the figure for
    62.7 km^(-0.78) A^(0.89) clarity. A run-out distance in excess of 10km is pre-
    15.6 km^(-0.78) A^(0.89) dicted using method 1, whereas the prediction using
    0.1
    0.001 0.01 0.1 1 10 100 method 2 is considerably less.
    Volume per unit width A (km2)

    Figure 8: Selected debris flows from worldwide database: (1) 5. Discussion


    Kidnappers; (2) Kayak Trough; (3) Trnadjupet; (4) East Break
    East; (5) East Break West; (6) Sur; (7) BIG95; (8) Afen Slide; An initial estimation of the run-out prediction can be
    (9) Icod; (10) Canary debris flow; (11) El Golfo; (12) Saharan obtained based on the foregoing simplistic models.
    debris flow; (13) New Jersey; (14) Gebra; (15) Isfjorden; (16)
    However, it should be noted that these predictions
    Storfjorden; (17) Bear Island; (18) North Sea; (19) Newfound-
    land f1; (20) Newfoundland. The lines indicate the regressions are based on the run-out volumes of 1km failure
    found in Storegga (from Issler et al., 2005; Elverhi et al., 2005) slope length. If the failure volume is taken for 1m of

    569
    slope length, the run-out distances can be marginally The use of these methods to predict the run-out dis-
    eliminated. Hence, it is important to carry out 3D placements do have limitations. Vallance and Scott
    analyses of slope stability to investigate the actual (1997) show that the rigorous evaluation of run-out
    failure of the soil mass prior to making design deci- based on L/H depends on run-out path geometry and
    sions. Alternatively, 3D maps illustrating the precise boundary conditions that determine the extent of
    topography of the area will be useful in assessing the erosion, sedimentation and flow channelisation. In
    volume of the failure soil mass that will dissipate addition, another group of researchers (Cannon and
    because of irregular topography before reaching the Savage, 1988; Hungr, 1990; Erlichson, 1991) argues
    fields. However, these methodologies will give an that attempts to use elementary energy balances to
    approximate run-out prediction. predict effects of mass change on debris flow effi-
    ciency encounter difficulties. They argue that the
    (a) loss of mass during motion should increase effi-
    1 Subaerial rock ciency because the potential energy initially avail-
    avalanches Subaqueous able to power the motion (MgH) stays fixed, while
    rock the work done by resisting forces apparently de-
    0.1 clines as the flow mass declines.
    H/L ratio

    Average Trend The problem with this logic lies in the assumption
    0.01
    that R remains constant or decreases as the flow
    Outrunner blocks
    PGA=0.08g
    Subaqueous mass declines. This assumption would be correct if
    debris flow
    PGA=0.129g R depended only on internal forces, but it also de-
    0.001
    pends on the external forces that cause the flow mass
    0.000001 0.0001 0.01 1 100 10000
    to decline. Elverhi et al. (2010) gives evidence that
    3
    Volume (km ) the amount of run-out flow strongly depends on the
    (b) sediment layer composition. Hence, many other re-
    1000 searchers have looked into the methodologies to de-
    10 12
    PGA=0.08g velop efficient models to capture the run-out move-
    17 18 3
    Runout distance (km)

    100 PGA=0.129g 16 6 7
    4
    5 ments. Still, the approaches used in this study are
    9
    15 1920 14 11 considered a good initial assessment of the run-out
    2 distances for slope failures.
    10 8 1
    13
    1 31.1 km^(-0.78) A^(0.89) 6. Conclusion
    62.7 km^(-0.78) A^(0.89)
    15.6 km^(-0.78) A^(0.89)
    0.1 This paper focuses on identifying the slope failures
    0.001 0.01 0.1 1 10 100 that are triggered by earthquakes (using FE and ana-
    Volume per unit width A (km2) lytical methods) and to obtain the run-out predic-
    Figure 10: Superimposition of the run-out volumes (per kilo- tions by 2D models available in literature. Two
    metre length) from SLOPE/W into (a) De Blasio et al (2006); models were reviewed and used to compare the run-
    and (b) Elverhi et al (2002) models out predictions estimated for 45 marine slope cross-
    30 sections. The lower bound run-out prediction of
    method 1 (Iverson, 1997) was in excess of 10km,
    Slope Angle (o)

    25
    20 whereas that of method 2 (Elverhi et al., 2005) was
    15
    10
    considerably less (as can be seen from Figure 11).
    5 When carrying out analytical run-out assessment,
    0 this uncertainly needs to be considered. Neverthe-
    less, these semi-analytical methods are useful for as-
    Soil Displacement (km)

    5 sessing the initial estimate of run-out distances and


    can help pipeline engineers to assess pipeline routes
    10 in front-end engineering design (FEED) phase of a
    pipeline design project.
    15
    Iverson. 1997 (method 1)
    Elverhoi at al.2005 (method 2) References
    20

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    model for the estimation of debris-flow runout.
    (lower band solution), and the Elverhi et al. (2005)
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    Issler D, De Blasio FV, Elverhi A, Bryn P and Lien
    R. (2005). Scaling behaviour of clay-rich subma-
    rine debris flows. J. Marine Petrol. Geol. 22:
    187194.

    571
    

    572
    INFLUENCE OF ICEBERG GEOMETRY ON SOIL RESISTANCE IN
    SAND

    A Ivanovi, RD Neilson and G Giuliani


    University of Aberdeen, Aberdeen, UK

    Abstract
    The disturbance of the seabed that comes from natural processes, like iceberg keels, presents a potential issue
    for the installation of pipelines. The zone of soil disturbed by the iceberg and the soil resistance force to the
    object movement is of interest to the offshore geotechnical engineer. This paper reports experimental
    investigation of an iceberg keel shape penetrating sediment and discusses the influence of the depth of
    penetration on the drag force with its corresponding components. The study was aimed at estimating the drag
    force and its components in relation to scour developed and the shape of the iceberg. It involved laboratory
    experiments in which the effects of scaled iceberg models of different shapes were examined. These models
    were tested in sand channel. The results indicate an increase in penetration and drag with increasing front face
    angle for the free penetration case, but an opposite trend for the fixed penetration case.

    1. Introduction depths that provide safe operation with known prob-


    ability for a particular duration. In addition to the
    1.1 Ice gauging studies mentioned, C-CORE currently has two major
    Determining the burial depth of a pipeline at which studies being conducted: the Pipeline Ice Risk As-
    it remains safe from any contact with an iceberg has sessment and Mitigation (PIRAM) project; and the
    been of concern in recent years. A number of ex- Subsea Ice Risk Assessment and Mitigation
    perimental and numerical studies have been under- (SIRAM) project. PIRAM is aimed at developing
    taken to address this issue. During the movement of engineering models to assist in addressing pipeline
    an iceberg, the soil below the scouring ice keel will protection challenges from gouging ice features.
    displace laterally, in the direction of ice keel move- SIRAM will develop assessment and protection re-
    ment, transverse to the ice movement and vertically quirements for subsea and wellhead facilities from
    (as reported by Palmer et al., 1990; Woodworth- iceberg keel impact, with an initial focus on the Ca-
    Lynas et al., 1996). The seabed affected by an ice nadian east coast environment.
    scour process is described generally in terms of three
    zones (Palmer et al., 1990). Zone 1 is where direct 1.2 Experimental studies
    contact between the pipeline and the ice occurs, and A number of experimental studies have been under-
    any pipeline within this zone would be subjected to taken to investigate the pipeline burial depth prob-
    damage. Zone 2 is situated below the level of the lem. Iceberg scour has been explored experimentally
    base of the ice keel and is subjected to large plastic through small- and large-scale tests. A number of
    soil deformations. Zone 3 is where the soil deforma- centrifuge studies have also been undertaken and re-
    tion is limited to elastic behaviour and is usually ported on, in particular related to clays (e.g. Yang
    deemed as a safe zone. However, it may be deeper and Poorooshasb, 1997; Clark et al., 1998; Schoon-
    than necessary to avoid large icebergs, so it may not beek and Alersma, 2006). A study was undertaken
    be the most economical solution. The optimal burial by Kioka et al. (1998) on ice models tested on sand
    depth therefore tends to be located within Zone 2 with the seabed inclined at a gradient of 1:5. The
    where the pipeline can perform as designed but models were made of steel with the front surface in-
    without being damaged. clined at 60, 75 and 90 from the horizontal, where
    passive resistance of soil is examined. Other models
    Analysis has also been proposed by Wadhams concerning this were presented as part of the Pro-
    (2012) to take account of the statistical distribution gram for Research in Science and Engineering
    of scour events from surveys, to determine burial (PRISE) project (Walter and Philips, 1998).

    573
    Barker and Timco (2002, 2003) undertook sets of (b) fixed penetration where a predetermined
    large-scale laboratory testing to measure the loads penetration is adopted allowing the test piece
    and seabed responses to iceberg scouring. Different just to slide horizontally.
    sediment types, such as sand, gravel and sand/gravel
    mix, were investigated. The samples were tested 7KH IRUPHU FDVH KDV EHHQ H[DPLQHG E\ ,YDQRYL HW
    both rigidly fixed and free to move vertically. For al. (2010), where the particle movement underneath
    the free to move case, the iceberg scoured the sea-
    the model was shown, indicating the influential zone
    bed initially tilting forward before it reached steady-
    state mode and then stayed as such for the duration (Figure 2). Downward and forward displacement of
    of the tests. The scour profiles were observed to be the sediment is clearly visible in Figure 2, showing a
    uniform for all cases. Similarly, Barette and Timco substantial distance under the test piece. The latter
    (2008) undertook small-scale laboratory experiments case was adopted to allow for a quicker examination
    in a 6m-long sand channel using real ice models, and of the steady state and for validation of a numerical
    confirmed the presence of the three zones identified PRGHO ,YDQRYLHWDO 
    previously by Palmer et al. (1990).

    Vikse et al. (2007) performed 1g laboratory tests on


    sands and silts, to observe the effect of the iceberg
    on a pipeline segment. The ice samples were made
    of a steel plate and were attached to a wooden frame
    sliding on a top of the test rig. They were allowed to
    move in horizontal direction only. A pipe segment,
    which was unconstrained, was placed manually
    within the soil. Very little movement of the pipe was
    observed in the case of dry sand, while substantial
    movement was reported in wet sand and dry silty
    sands. The maximum pipe displacement decreased
    exponentially with the burial depth, and larger hori-
    zontal pipeline movements were found for lower an-
    gles of attack. Figure 1: Shapes of iceberg

    The work undertaken by Liferov and Hyland


    (2004) utilised field experiments in which two ice
    scour tests were undertaken. In both tests, destruc-
    tion of the keel was apparent, which developed
    gradually. The ice scour depths reported were 1.5
    2.0m. Although a number of numerical studies have
    also been performed (e.g. Konuk, 2009) these are
    not explored here.

    1.3 Aim of the study


    This study aims to expand on the findings reported
    in ,YDQRYLet al. (2010), and focuses on examining Figure 2: Incremental soil displacements for object with
    the shape of the iceberg and the influence of the 30 before steady-state penetration (D/B = 0.28; scale
    iceberg models vertical movement on the drag factor = 3)
    force. The geometry considered in this study is
    defined based on the common shapes of iceberg The soil resistance to the movement of the object in
    found in practice, as shown in Figure 1. The iceberg both cases is defined through the theory of retaining
    model moves horizontally through the seabed and walls. This is where the passive resistance can be
    forms a trench of depth (D) measured from the assumed to act on the front of the iceberg,
    undisturbed surface. The formation of this trench is (depending on the trench depth (D) and the width of
    associated with the generation of a drag force (F). the test piece W (L)), with the base shear resistance
    (depending on the self-weight of the iceberg model)
    Two cases are considered: and side shear resistance (depending on the friction
    (a) free penetration where the test piece is allowed between the soil and model sides and the associated
    to cut the soil vertically and slide horizontally, area), all of which are acting against the movement
    achieving a steady state penetration; of the iceberg model.

    574
    2. Experimental Setup Uniform grading, dry silica sand (rounded particles;
    D50 = 144m; I = 30o) was used in all tests to form
    2.1 Test samples the seabed sample. This was prepared by raking and
    Laboratory experiments were undertaken where the levelling the sand between the tests to produce a
    behaviour of samples of different shapes were sample with a dry unit weight of 14kN/m3. All
    examined for both free and fixed penetration. The samples were prepared dry to simulate fully drained
    dimensions of the samples were B = 150mm and L = conditions during the iceberg gouging process were
    150mm, with the front face inclination varying 30q, modelled.
    60q and 90q from the horizontal (Figure 3).
    After each test the sand was properly scooped so
    that the relative density remained low to ensure very
    loose sand. Although the seabed sediment in reality
    is saturated, dry sand was used as the first stage in a
    process to calibrate the soil model in the finite ele-
    ment (FE) simulations and prove the methodology
    Figure 3: Shapes of iceberg examined (Ivanovi et al., 2012). Once this was achieved, soils
    of different densities will be investigated. All test
    2.2 The sand channel models were undertaken at free penetration, with
    The scaled models were tested in a 4.8m-long and 5kg, 10kg and 15kg added mass and then at two
    50cm-wide sand channel, where the drag force and
    fixed penetration depths, 20mm and 30mm. The
    its disturbance were measured (Figure 4). This
    channel had rails that supported a trolley, to which choice of this range was limited by the depth of the
    the component to be tested was attached. The trolley sand in the tank (150mm) and potential boundary
    allowed the component to move vertically freely un- effects if the box was placed deeper than 30mm. In
    der a fixed vertically applied load (W), or to have a the Newfoundland Sea (Canada) the ice gouging
    fixed penetration at a desired depth (D) and be registered was 24m depth (Barker and Timco,
    towed along the channel at constant speed by a 2002). Considering a scale factor of 1:100 the
    winch mechanism. The penetration was measured penetration depths of 20mm and 30mm in this study
    with a linear variable differential transformer were considered appropriate compared to work by
    (LVDT). The rig also included a load cell that meas- Liferov and Hyland (2004).
    ured the drag force during the towing process. Po-
    tential rotational motions were restrained. Each
    model was towed at a constant speed of 0.04m/s 3. Results
    along the sediment placed in the tank, and
    penetration and drag force were measured. 3.1 Effect of the shape of the iceberg
    A series of tests were undertaken; each box was run
    at 0.04m/s speed and was tested separately with
    different added masses of 5kg, 10kg and 15kg (as
    mentioned earlier) resulting in total weights of 92N,
    Column
    LVDT 142N and 192N, including the weights of the
    columns and models. Tests that allowed the models
    to move freely in the vertical direction were
    undertaken initially. A steady state was usually
    achieved between 2m and 3m along the channel, as
    shown in Figure 5. From the figure it can be seen
    that with an increase of the front face angle, there is
    Trolley an increase in penetration. The total forces with the
    Load cell associated penetrations are shown in Table 1. The
    table shows that as the weight is increased, the total
    drag force increases as expected.

    Following these tests a set of experiments using the


    Test model same models but towed at fixed penetrations of
    20mm, 30mm and 40mm (the latter for the 90q
    Towing cable model only) was undertaken. The results from the
    previous model tests undertaken at free penetration,
    Figure 4: Photo of the rig

    575
    which experienced penetration within 30mm (40mm since the models are fixed or suspended, no
    for the 90q model), were then analysed and gravitational force is transferred to the base, which
    compared with those examined at fixed penetration. results in the generation of no base friction force.
    Table 1 shows that experiments 30-5, 30-10, 60-5 The base friction component depends on the
    and 90-5 are within the range, and these results are interface friction component (tan G), which was
    calculated from the drag force versus normal force at
    discussed at a later stage.
    zero penetation (D = 0). The drag force values for D
    = 0 were found from curve fitting the graph of drag
    0 0.5
    distance along the channel (m)
    1 1.5 2 2.5 3 3.5
    force versus penetration and recording the intercept
    0 at D = 0 (Figure 6). Undertaking this analysis a
    friction coefficient tanG of 0.5 is obtained.
    10

    20 30 deg 5kg 120


    penetration (mm)

    60 deg 5kg
    30 90 deg 5 kg
    100 y = 0.5031x

    Drag force (N)


    80
    40

    60
    50
    40
    60
    20
    Figure 5: Penetration with free fluctuation
    0
    Table 1: Results obtained from experiments for free penetra- 75 125 175 225
    tion (grey indicates experiments that are within range) Weight (N)

    Drag force Penetration


    (N) (mm) Figure 6: Penetration with free fluctuation
    90-5 96 36
    90-10 176 49 The passive resistance component is calculated
    90-15 239 58 using retaining wall theory, where the height of the
    60-5 108 26 force resisting the movement of the iceberg model is
    60-10 150 35 the sum of the gouge depth (D) and the mound built
    60-15 216 40 up in front (h). The Kp value was derived from both:
    30-5 102 16 (a) Kioka et al. (1998) which, for an inclined
    30-10 163 26 front face of the iceberg, are higher than that
    30-15 236 32 for the 90q (vertcial) case;
    (b) standard forms, taking no account of the
    3. Drag force components free penetration inlination angle of the front face of the box.
    The total forces obtained from the experiments at
    The side resistance component is based on the
    free penetration are shown in Table 1. To obtain an pressure on the sides of the model, with Kp based on
    analytical solution and examine the proportion com- the internal friction and also on the friction
    ing from different faces, the total drag force is ex- coefficient (tanG) defined earlier.
    pressed as a sum of base friction, passive resistance
    on the front face and side resistance components Figure 7 shows that with an increase of the front
    (Equations 1 and 2). face angle, for boxes of the same weight, the
    penetration increases. Drag force at D = 0 is the
    F F friction  F passive  2 Fside (1) same for all shapes (shown in Table 2), confirming
    that only the weight determines the base friction
    component of the drag force. The total drag forces
    F W c tan G  0.5K p J c( D  h) 2 L  2JK p Aht tan G (2) and their components calculated for both Kp values
    were compared with the experiments and are pre-
    Kp is the passive earth pressure coefficient; is the sented in Table 2.
    unit weight of soil; D is the penetration depth below
    the original ground surface (m); h is the mound build The results show that for all cases calculated using
    up in front of the model (m); A is the area of the the standard Kp, the base friction component takes
    contact between the soil and sides of the models (m); the highest proportion of the total drag force, while
    and ht = the centre of the pressure (m). the side forces take the smallest proportion. When
    the passive resistance was calculated using Kiokas
    For the free penetration case, all three components approach, the total drag forces (Ft1) seemed to be in
    are generated. However, for the fixed penetration, better agreement with the drag forces obtained from

    576
    experiments for the majority of cases, apart from 90- between the total force obtained from the
    10, 90-15 and 30-5. However, when the passive co- experiments and that from the theory may suggest
    efficient used for vertical walls was applied, the total that a proportion of the total force comes from base
    forces (Ft) are lower for the majority of cases. friction. However, this component is still smaller
    than that found in the free penetration case. This is
    120 an interesting finding and will be examined in
    further studies.
    100
    (a)
    Drag force (N)

    80

    60
    30 5kg
    40
    60 5kg

    20 90 5kg

    0
    0 5 10 15 20 25 30 35
    Penetration (mm)

    Figure 7: Penetration with free fluctuation

    Table 2: Drag force components (N)


    (b)
    a-m Ff Fp 1 Fp Fs Ft 1 Ft F ex
    90-5 50 22 22 14.9 86.9 86.9 96
    90-10 60 34.4 34.4 22.7 117.1 117.1 176
    90-15 80 49.5 49.5 22.3 151.8 151.8 239
    60-5 45 56.7 28.35 5.09 106.79 78.44 108
    60-10 70 63 31.5 11.6 144.6 113.1 150
    60-15 100 83.4 41.7 13.1 196.5 154.8 216
    30 -5 50 123.9 17.7 6.84 180.74 74.54 102
    30 10 80 140 20 7.41 227.41 107.4 163
    30-15 110 158.2 22.6 7.79 275.99 140.4 236
    1
    Calculated using Kioka et al. (1998) for Kp
    (c)
    3. Drag force components fixed penetration
    The tests undertaken at fixed penetration (20mm and
    30mm) show lower drag forces overall. The steady
    state for these experiments was obtained within the
    first 0.5m from the start of the test, as shown in Fig-
    ure 8. The results from the tests obtained at fixed
    penetration (Table 3) were compared to those identi-
    fied and highlighted in Table 1. As stated previ-
    ously, since the column to which icebergs were at-
    tached was constrained in the vertical direction, no
    vertical gravitational load was transferred and there-
    fore no base friction component of the drag force Figure 8: Drag force versus distance along the channel for
    was assumed to be present in the total drag force. (a) 20mm penetration; (b) 30mm penetration; and (c) 40mm
    The passive resistance was again estimated using penetration
    both Kiokas approach and vertical wall theory.
    Table 3: Drag force components
    Figure 8 shows that for the fixed penetration case,
    the smaller the angle of inclination, the higher the q(mm) Ff Fp 1 Fp Fs Ft 1 Ft Fexp
    90 (40) 0 22 22 18.1 62.1 40.1 52
    force (for the same penetration depth). For the tests
    at fixed penetration, the passive resistance 60 0 56.7 28.4 5.1 90.1 33.4 29-53
    component seems to be more realistic if a straight (20-30)
    30 (20) 0 124 17.7 6.84 148.4 24.5 39
    vertical wall approach was undertaken rather than
    Kiokas estimate, which is different from that found 30 (10) 0 140 20 7.41 147.4 27.4 42-87
    for the free penetration. In such cases, the difference

    577
    4. Conclusions Liferov P and Hyland KV. (2004). In situ ice ridge
    scour tests: experimental set up and basic re-
    The work presented in this paper focuses on a labo- sults. Cold Regions Science and Technology 40:
    ratory study related to the interaction of an iceberg 97110.
    on the seabed. Two cases were examined: one where Palmer AC, Konuk I, Comforg G and Been K.
    the model was allowed to penetrate the seabed (1990). Ice gouging and the safety of marine
    freely; and one where the model was fixed at a pre- pipelines. OTC 6371. Proc. Offshore Tech.
    defined penetration depth. For the free penetration Conf., Houston, USA.Schoonbeek ISS and Al-
    case the less acute the angle between the base and ersma HGB., (2006). Centrifuge modelling of
    the front face, the larger is the penetration, while for scouring ice keels in clay. 6th International
    the fixed penetration case, the more acute the angle Conference Physical modelling in Geotechnics,
    the higher the drag. The drag force components of 12911296.
    base friction, passive frontal resistance and side fric- Vikse N, Gudmestad OT, Nystrom PP and Liferov
    tion were examined in detail. This study indicates P. (2007). Small scale model tests on subgouge
    that the expression for passive resistance on the front soil deformations, OMAE, OMAE 2007, Lisbon,
    face of the iceberg may need to be different for the Portugal.
    two cases examined. In addition, further investiga- Wadhams P. (2012). New predictions of extreme
    tion is needed to ascertain if the assumption of zero keel depths and scour frequencies for the Beau-
    fort Sea using ice thickness statistics. Cold Re-
    base friction is correct for the fixed penetration case.
    gions Science and Technology 7677: 7782.
    Walter DJ and Philips R. (1998). PRISE Force
    References models for drained and undrained steady state
    ice scouring. Contract report, C-CORE Publica-
    Barrette P and Timco G. (2008). Ice scouring in a tion 98-C33.
    large flume: Test setup and preliminary obser- Woodworth-Lynas CML, Nixon JD, Phillips R and
    vations. ICETECH 08-133-RF. Palmer AC. (1996). Subgouge deformations and
    Barker A and Timco G. (2002), Laboratory experi- the security of Arctic marine pipelines. OTC
    ment of ice scour processes: rigid ice indentor. 8222. Proc. Offshore Tech. Conf., Houston,
    Cold Regions Science and Technology 35: 195 USA.
    206. Yang QS and Poorooshasb H. (1997). Numerical
    Barker A and Timco G. (2003). Laboratory experi- modelling of seabed ice scour. Computers and
    ment of ice scour processes: buoyant ice model. Geotechnics 21: 120.
    Cold regions Science and Technology 36: 103
    114.
    Clark J, Philips R and Pulin M. (1998). Ice scour re-
    search for the safe design of pipelines: 1978
    1998. First Ice Scour and Arctic Marine Pipe-
    line Workshop, 17.
    ,YDQRYL$%DQLPDKG0DQG2OLSKDQW-  . In-
    fluence of iceberg geometry and scour depth on
    drag force in sand. OMAE 2012. Rio de Janeiro,
    Brazil.
    ,YDQRYL $ 1HLOVRQ 5' *LXOLDQL * DQG %UDQVE\
    MF. (2010). Influence of object geometry on
    penetration into the seabed. In: Gourvenec S
    and White D. (eds.). Frontiers in Offshore Geo-
    technics II. London; Taylor and Francis.
    Kioka S, Terai Y, Otsuka N, Honda H and Saeki H.
    (1998). Mechanical model of ice gouging on
    sloping sandy beach. The 13th International
    Symposium on Okhotsk Sea and Sea Ice and Ice
    Scour and Arctic Marine Pipelines Workshop,
    Abstracts. Mombetsu, Hokkaido, Japan, 251
    256.
    Konuk I. (2009). Arctic pipeline design challenges
    and current practices ice scour. OMAE,
    OMAE2009-79264.

    578
    RUSSIAN ARCTIC OFFSHORE PERMAFROST

    Andrey Loktev, Vladimir Bondarev, Sergey Kulikov and Sergey Rokos


    Arctic Marine Engineering-Geological Expeditions, Murmansk, Russia

    Abstract
    Sub-bottom permafrost is wide spread phenomenon of Arctic offshore areas. It has been identified in the
    Pechora, Kara, Laptev and other Russian Arctic seas. Offshore permafrost can be an important geohazard and
    constraint for various marine and near-shore constructions and facilities. According to general opinion, frozen
    soils formed during the last glaciation period when the surface was exposed and subsequently covered by
    seawater following the marine transgression. Currently permafrost melts because of heating from both the top
    and bottom of the stratum. Investigation of this phenomenon in the Russian Arctic Offshore has been ongoing
    since 1980s. The study is based on a combination of geotechnical and geophysical methods of site and re-
    gional surveys for oil and gas industry.

    1. Introduction have been as much as 21k to 9k years ago (Svitoch,


    2003). There is disagreement as to the extent of the
    1.1 Sub-bottom permafrost origin glaciation of the Russian Western Arctic offshore.
    Permafrost is a result of low temperatures freezing Opinions varying from considering the Pan-Arctic
    the soil actually pore water in general. It is very cap with 3km thickness as the extent, to denying the
    common in high latitudes (in Europe, Asia, North existence of any glaciation at all (Krapivner, 2007).
    America). Estimated thickness of permafrost can be The most recent data indicate an intermediate extent
    up to 0.7km (Xie and Mathews, 2011) and possibly of ice caps existing on nearby mountains and eleva-
    1km in Russian East Siberia. (Over 50% of Russia tions (Scandinavia, Novaya Zemlya, Ural, etc.).
    land is frozen.) Frozen offshore soils may be a re- Lowlands were exposed and were deeply frozen. For
    sult of old relict onshore permafrost now sub- example, north-west of Ural (Pechora deep) recent
    merged, or may be part of new generation of frozen onshore permafrost thickness is about 200m
    soil. The latter occurs when sea-bottom tempera- (Dlugach et al., 1996).
    ture is below freezing point and pore water is less
    saline than the overlying seawater. It is reported 1.2 Recognising sub-bottom permafrost
    occasionally in Arctic seas, but it is a rare occur- Although sub-bottom permafrost is predicted in the
    rence in general. Arctic offshore, there is limited direct evidence for
    its existence. Direct evidence includes using meth-
    Vast areas of the Northern Hemisphere have become ods such as sampling to obtain temperature or shear
    covered by seawater (marine transgression) after the wave velocity measurements. Most of this evidence
    last glaciation. Although global sea levels rose by is from the Pechora Sea (south-east part of Barents
    about 120m due to local effects of isostasy, the ac- Sea) and the Kara Sea (Figure 1), where frozen soil
    tual submergence may have varied between 80m and with or without visual ice has been drilled, sampled,
    200m. Thus for this water depth in the Arctic Ocean, described and tested (Gritsenko, 1997). It should be
    relict permafrost can be possible. For thick perma- noted that Russian practice ascribes permafrost if
    frost to have developed, the area would have been soils contain visible ice (or ice cemented) and exists
    exposed and affected by below freezing tempera- at temperature below zero (GOST 25100-95, 1996).
    tures, yet not covered by glaciers. It is estimated av- In contrast, practice outlined by the American Soci-
    erage yearly temperatures may have reached 200C ety for Testing and Materials (ASTM) defines per-
    at the Late Pleistocene glacial maximum in West Si- mafrost as soils at temperatures below zero only
    beria 1416k years ago, when aerial exposition may (ASTM D4083, 2001).

    579
    and without pore water sensors and temperature
    o o o o o o o o
    32 76 42 52 62 72 76 82

    60 0 60 120
    sensors (TCPT). When CPT could not be done in
    Barents sea o
    actual frozen material, it was performed in thawed
    Kara sea 82

    or cooled soils. TCPT was carried out in frozen


    32
    o
    zones after drilling of certain intervals. Special
    71o
    71o
    probes with a temperature sensor on the tip of a
    cone were used for the testing. The cone was stabi-
    lised to the natural temperature of the area after be-
    ing deployed to certain depth of soil section (in un-
    disturbed soil).

    As deployment causes heating of the soil dissipation,


    42o 52o 62o 72o

    -1 -2 -3 -4 -5 -6 -7 -8

    1- not-frozen soils; 2 - thawed zone; 3 - Ob river TCPTs took 1540min to obtain sufficient data for
    thawed zone; 4 - permafrost; 5 - area of theoretical hy- the prediction of in situ soil temperature. Using this
    drate stability; 6 - isotherm 0C; 7 - gas and diapir; 8 - method, a few temperature profiles were obtained of
    borehole recovered frozen soils the sub-bottom permafrost. The minimum measured
    Figure 1: Sub-bottom permafrost of the western Russian Arctic temperature was 3C. Soil temperature was also
    offshore (Rokos, 2008) measured by electrical thermometer upon core re-
    trieval. For correlation with TCPT data, sea-bottom
    Permafrost was also found in the Laptev Sea, but temperature was measured by bottom meter (sup-
    good samples were not recovered because of poor plied by delayed thermometer) as well. As frozen
    technique. However, there is no doubt that sub- soil has much higher seismic velocity, vertical seis-
    bottom permafrost occurs in the Laptev and other mic profiling was performed in a few boreholes to
    East Arctic seas of the Russian shelf because of the measure shear wave velocity along the profile of
    very low natural temperature conditions. permafrost areas. Maximum tested depth was ~65m.
    An acoustic source (sparker) was placed near the
    2. Methodology seabed, or on a seabed frame. This system uses a
    frequency of 200500Hz, and has a capacity of
    Various methods have been used in permafrost study 1.5kJ and a 12-channel probe receiver. The maxi-
    of the Arctic offshore since the 1980s (Dlugach et mum velocity obtained was 3100m/s.
    al., 1996). Most of these studies were part of site in-
    vestigations for various offshore unit installations, Shallow seismic is the most commonly used method
    and only very few of them were specifically perma- and has been used in a wide variety of areas revealing
    frost investigations. Geophysical and geotechnical sub-bottom permafrost. Where these seismic surveys
    surveys were implemented for the study included:
    cover areas of shallow borings, correlations can be
    x boring; made that may be extrapolated more widely. For this
    x sampling; study, single- and multichannel modes were used, and
    x shallow seismic profiling; a sparker system of low frequency (200500Hz) was
    x vertical seismic profiling; implemented as per standard soil investigation. At the
    x cone penetration testing (CPT); and same time, pneumatic (acoustic) gun was applied for
    x laboratory testing. deeper penetration (48 channels, with a working fre-
    Borehole drilling was performed by specialist Arctic quency range of 5500Hz and streamer range of 0.3
    Marine Engineering Geological Expeditions 0.5km). Standard geotechnical laboratory tests were
    (AMIGE) vessels, Bavenit and Kimberlit. For sam- performed on soil samples including: index proper-
    pling downhole systems, Christensen and PBU-2 ties; strain-strength measurements; thermal and elec-
    (double core barrel) were used, and so was push trical conductivity; and pore water extraction chemi-
    sampling when applicable. Retrieved core diameter cal analysis. Some samples were tested at
    varied from 75mm to 118mm (Russian drill tube as- temperatures below freezing point. These tests have
    sortment). The maximum borehole depth in perma- been conducted both offshore and onshore.
    frost was about 100m. Some shallow sampling was
    undertaken as well, using small grabs and drop cor- . Sub-bottom Permafrost Description
    ers with minor penetration.
    3.1 General
    A few types of testing were performed to investi- The extent of sub-bottom permafrost can be estimated
    gate in situ parameters. These included CPT with based on multi-year surveys of the Barents, Pechora

    580
    and Kara Seas. Frozen soils are spread extensively
    along Arctic shorelines and found in shallow waters 3.2.1 Geophysics
    (Figure 1). Permafrost is recognised in Pechora Sea, Experience has shown that standard shallow seismic
    including the approaches to the Novaya Zemlya ar- survey is not always efficient for permafrost deter-
    chipelago, but is absent over most of the Barents Sea. mination, particularly if there is free gas within the
    It is also present in the south-western parts of the soil stratum. Even a very low percentage of gas con-
    Kara Sea and may be present further north, but this centration can cause the stratum to become opaque
    area has not yet been surveyed. The top of the zone of or impenetrable for acoustic waves. As a result,
    permafrost typically occurs 2040m below the seabed acoustic profiling provides typically mute or blank
    and the bottom reaches to ~100m below the seabed. images (i.e. no reflectors, massive and chaotic signs
    This compares with the regional onshore permafrost with very shallow informative parts, see Figure 4).
    that is typically in the range of 180200m in thickness The images and data do not provide proper (quanti-
    (Dlugach et al., 1996). tative) information, but can indicate permafrost area
    just qualitatively (for instance, random diffraction
    The frozen section is not homogeneous because of reflectors in permafrost, see Figure 4).
    varying lithology, initial conditions and current sur-
    roundings. The soil section consists of silty-sandy
    clays to sands, to gravely sands. Clays can include
    visible ice as ice lenses, whereas sands are mostly
    ice-cemented and well-bonded (Figure 2). Thermal
    conditions vary along the shore with thaw zones at
    the mouths of rivers (e.g. the Ob and Pechora rivers,
    and paleo Baydara flow). Because of these changes
    in lithology and thermal conditions, permafrost is
    discontinuous with variations laterally and verti-
    cally. For example, in the Pechora Sea no frozen
    soils were found at a site only 2km from another site
    where permafrost of 5060m thickness was deter-
    mined. This means the frozen mass can disappear in
    very short distances. Figure 3: Frozen soil and pure ice

    W 300 E
    0
    F
    20
    1 3
    40
    2
    E
    Time, ms

    60

    80

    100

    120
    4
    140

    Figure 2: Frozen soils: (left) clay and (right) sand


    Figure 4: Poor shallow seismic image of sub-bottom perma-
    frost: (1) reflectors (no permafrost boundaries); (2) bedded
    The ice content of permafrost soils can be very high
    zone; (3) blank zone; and (4) random reflectors (diffraction in
    (more than 50%). The Russian term, ledogrunt, permafrost)
    means ice with some soil inclusion (Figure 3). Ac-
    tual frozen soil temperature is around freezing point In most cases, gas has a shallow origin derived from
    (1.5C to 2.1C). in situ organic material. It can be trapped by imper-
    meable layers (clays) as well as at the base of the
    3.2 Methodology permafrost. Shallow seismic can provide good data
    Mapping sub-bottom permafrost is based on geo- and images for upper soil section, but where recent
    physical (shallow seismic predominantly) and geo- degradation of permafrost has occurred then shallow
    technical (boring and in situ testing) investigations. gas is common within the upper section. Other meth-
    Both are considered in the following paragraphs. ods should be used to penetrate and investigate sub-

    581
    bottom soil section. For example, seismic technics vantages compared to the more standard seismic
    with heavier impulse and gun or electrical methods methods for soil profile investigation. One of the
    can be used for deeper frozen profile investigation. main goals of electrical survey is mapping the top
    and the bottom of the frozen zone.
    It is presumed the gas creating the acoustic blanking
    originates from soil decomposition at a late stage of 3.2.2 Geotechnics
    permafrost degradation (melting). The local lithol- Shallow boring techniques are the most reliable for
    ogy indicates deposition in shallow-water and marsh sub-bottom permafrost study. Rotary drilling (core
    environments in the area. In such areas the sedi- barrel), push sampling, vibro and hammer coring
    ments can be expected to be rich in organic matter. were used for this study. Push sampler is preferable
    In this study, peat was recovered in several bore- to obtain quality cores, but it is limited for many
    holes. This material generally provides biogenic gas frozen sediments, as even thick-walled tubes are
    at thawing. (Average bottom temperatures are close easily damaged with no recovery (Figure 6).
    to zero and are above freezing point in the summer-
    time.) Its presence is typical for Yamal peninsula
    offshore (Ob and Taz, Baydara bays) and Pechora
    Sea. In some areas, where the geophysical (acoustic)
    images were quite clear and not obscured by gas
    blanking (south of Novaya Zemlya and north of
    Yamal, see Figure 5), it was assumed that organic
    content of the soil was not high, or that the gas had
    dissipated through highly permeable sediments.

    3 km
    Time, ms

    N S

    F
    9.1
    13.0 D 8.4

    170
    B 20.0

    D 34.5
    Figure 6: Damaged thick-walled sampler
    50.2
    60.0 48.0
    C 50.0
    Hammering can damage soil structure but not fro-
    zen condition. Rotary and vibro samplings are con-
    sidered as the most reliable methods. They can pro-
    270
    vide good quality frozen core when certain
    methodologies are followed (e.g. low rotation ve-
    locity, short runs, proper core cutters, no liquid).
    -1 -2 -3 -4 -5 -6 B C
    These methods are used to minimise melting of the
    12 - Holocene marine clays; 3 - Upper Pleistocene mo-
    raine; 4 - Upper Pleistocene marine clay; 5 - Oligocene ice.
    siltstone; 6 - permafrost top; A - bedded zone; B - re-
    flectors (no permafrost boundaries); and C - random re- Samples quality depends on the soil type. Sands
    flectors (diffraction in permafrost) with massive ice (cemented) provide better preser-
    Figure 5: Informative shallow seismic image of sub-bottom vation when the core peripheral zone can be thawed
    permafrost evenly. It usually gives a conical top of core (as a
    result of melting at borehole end). Clays are typi-
    Attempts have been made to use shallow electrical cally uneven with ice lenses and inter-layers, and
    profiling to map permafrost in the Ob and Baydara they can be easily destroyed, which causes diffi-
    areas. Methods, such as differentially normalised culty for sampling and preservation (Bondarev and
    method of electrical investigation, vertical electrical Loktev, 2011).
    sounding and electrical-magnetic sounding, did not
    provide unequivocal results (Davidenko et al., 2008; Thermal CPT provided very good data of in situ
    Ingeman-Nielsen, 2005). They also did not provide temperature of frozen soils. Measured values varied
    quantitative determination of permafrost parameters between 0 and 2.1C. The lowest value was ob-
    but could provide some indirect signs (e.g. shallow tained in Pechora Sea (3.1C), but this was not con-
    seismic). The greater penetration of these electrical firmed by other tests. The temperature gradient
    techniques and the fact that they are not influenced within permafrost is usually slightly negative to zero,
    by gas concentrations in the soil give them some ad- according to general paleo-geography. The frozen

    582
    mass may have warmed to almost freezing point at an mal erosion provide possible current thickness of the
    earlier stage of its degradation, and its inner tempera- relict from just few metres to ~100m. It should be
    ture should be more or less equal from top to bottom. noted that the estimations are uncertain when the ini-
    This thermal gradient was measured in the most tial parameters (e.g. ancient temperature, ice content,
    boreholes. Positive gradient indicated the absence of thickness) are not well known or predictable.
    permafrost, which either melted or was not frozen
    originally. With respect to uncertainty of the very There is also some evidence of newly formed per-
    low temperature of 3.1C reported earlier, the shape mafrost were observed in the Kara and Pechora seas.
    of the thermal gradient suggested the lowest natural Drop cores north of Yamal and Belyi islands recov-
    value was 2.1C, which is close to the freezing ered frozen soil under seabed. In addition, the sys-
    point of water with salinity of about 30%. tem of underwater hills were recorded by seismic
    survey and bored out later on. After the simple shal-
    Vertical seismic profiling (VSP) provides some low sampling performed in the first case did not
    good results of wave velocity. Because of technical provide information deeper, it can be assumed that
    problems with the streamer, it was not able to pene- the seabed layer of frozen soil was formed at nega-
    trate the complete permafrost stratum (just the up- tive bottom temperatures (seabed freezing). Other
    per 3065m). However, the measurements distin- evidence was surveyed, and thickness of frozen stra-
    guished frozen and unfrozen zones. Frozen soils tum over 100m was confirmed by drilling. The
    provided velocities from 18002000m/s to 2700 structure, dynamic and content indicated it is likely
    3000m/s, and for unfrozen soilds within 1400 not a relict massif. Similar forms are reported in
    1900m/s. Anomalously low velocities (1000 Beaufort Sea and called pingos in Canada and bul-
    1400m/s) were recognised in some areas (Baydara, gunjakh in Russia (Shearer et al., 1971).
    Pechora) and may imply a three-phase substance
    (i.e. gas, solids and water). Conversely, anoma- 3.3.2 Pingos
    lously high values of velocity were also recorded in Structures were found north of Novaya Zemlya in
    Pechora sea (Figure 7). The crystal-hydrate, ikaite the north-east part of the Pechora Sea. These are a
    (see section 3.3.3), was recovered at the high veloc- group of hills with heights up to 25m and widths of
    ity stratum (25003500m/s). 100700m (Bondarev and Loktev, 2011). The actual
    geometry could not be mapped from the few seismic
    profiles available. A few borings were drilled on the
    top and bottom of these structures. Frozen soil was
    discovered from almost sea-bottom, and maximum
    thickness reached over 100m (Figure 8). Permafrost
    punch-through occurred in one of the boreholes,
    causing a blow-out. The boring depth reached 50m
    and was accompanied with abundant gas emission
    (sub-bottom gas fountain was being recorded by
    echo-sounding for a week after that).

    Figure 7: VSP profile with ikaite

    3.3 Results and discussions


    Boreholes: 1 - recent marine deposits, 2 - frozen sands,
    3.3.1 Permafrost stability 3 - ledogrunt (well bonded excess ice silty-sandy soil).
    The permafrost recognised in the Kara and Pechora
    seas is a relict of the Late Pleistocene seafloor expo- Figure 8: Pingo of Pechora Sea
    sure. It is quasi-stable, while its thickness is being re- It was recognised some topographic highs or peaks
    duced through warming from the top, when average were formed by diapiric structures and consisted of
    bottom water temperature is above zero, and from be- high ice clays (ice content up to 100%). One bore-
    low by geothermal warmth. Estimations of such ther- hole included a breccia mixture of clay fragments

    583
    (rounded to angular) and angular ice, with lens size It should be noted the origin of the forms is still de-
    from a few millimetre to a few centimetre (Figure batable as no proper and logical explanation can be
    8). However, boreholes into sediments of nearby provided, and the phenomenon requires further
    lower hills proved no permafrost close to the seabed. study.
    In addition, there was a different soil profile with
    frozen sands (massive cryo-structure and ice- 3.3.3 Crystal and gas hydrates
    cemented) at 2030m below the seabed and icy clay Gas (methane) hydrate is an ice-like form of concen-
    beneath that (ice grew down). trated methane and water. It is often associated with
    low temperatures. Gas hydrates have not been dis-
    The blow-out provided interesting considerations. covered by the geotechnical and geophysical inves-
    The permafrost created an impenetrable barrier to tigations in the area. However, some signs of gas
    any gas beneath. However, the volume of gas could hydrates potentially were recorded by seismic profil-
    not have been very high, as its emission did not last ing, and it has been suggested that hydrates are in-
    very long. The origin of the gas was most probably volved in the development of offshore pingos (Mat-
    biogenic. These structures (pingos) did not have veeva et al., 2011).
    clear and obvious origins. Similar forms were found
    onshore earlier in higher latitudes in Canada and Theoretically the hydrates can exist in both Barents
    Russia (Figure 9). and Kara seas, and their existence is a function of
    temperature, pressure and concentration. According
    to general data, stable methane hydrates are possible
    in the northern part of the Barents Sea with water
    depth of 250300m and a sub-bottom average tem-
    perature below zero (Figure 1). Shallow waters of
    Kara and Pechora cannot provide enough hydrostatic
    pressure for methane hydrate stability. However,
    methane hydrates could exist at depth below thick
    permafrost, as well as in deeper waters such as the
    Kara Sea depressions.

    As stated earlier, crystals of ikiate have been recov-


    ered in areas of permafrost in the Pechora Sea and in
    Figure 9: Open pingo Tuktoyaktuk, Canada Baydara Bay (Kara Sea). They are found at the up-
    permost 10m of the soil profile and in water depths
    Some options of the recognised hills can be consid- of 1525m. The crystals had bright amber colour,
    ered, and are as follows: were few centimetres in size and occurred in both
    crystal druse and amorphous forms (Figure 10).
    x relict permafrost: if the forms could grow
    for thousands years, they should be affected
    by thermo-abrasion on top and should not
    have any picks and frozen condition near the
    sea-bottom;
    x diaper: plastic flow of lower dense material
    could not provide observed peak because of
    its more logical spreading on top, and crystal
    structure of its core also contradicts the op-
    tion;
    x hillock heaving: freezing from top of melt
    sub-bottom waters can be caused at current
    negative sea-bottom temperatures, when Figure 10: Forms of crystal hydrate (ikaite)
    pressure can be a result of another frozen
    stratum below, and then freezing causes the The surrounding soils (sands) were, at times, ce-
    top of the hills to grow; and mented by them. The crystals were not stable when
    x mud volcano: peaks can be cones of blown recovered. They transformed to white powder in few
    up and frozen forms indicating by their struc- hours and reacted to hydrochloric acid. The intervals
    ture and texture. enriched by crystal hydrates were properly marked

    584
    by vertical seismic profiling (high velocity, as noted be easily lost. The accuracy is important because of
    before). No special chemical or mineralogical analy- low to non-gradient temperature changes along fro-
    ses were performed with them. Similar crystals were zen stratum as well. It is not recommended to use
    found and identified as mineral ikaite in Antarctic short-base cones for TCPT, because their inner heat-
    and Greenland (Suess et al., 1982). ing can affect measured values. It is necessary to
    wait 2040min for representative measurements
    Ikaite is described as calcium carbonate hexahydrate (temperature dissipation after drilling warms up sur-
    (CaCO3*6H2O). The oxidation of methane at low rounding soil).
    temperatures is considered a possible source of the
    ikaite. The methane may be the result of biogenic Sea-bottom temperature should be measured (bot-
    processes (organic decomposition), and calcium was tom-meter, other representative units) for correlation
    provided by pore water (marine compound). Hy- to seabed soil temperature. In addition, onshore cool
    drated carbonate is stable at low and close to zero laboratory facilities should be used, or frozen sam-
    temperature, as well as at high pressure. It can be as- ples should be preserved in properly cooled storage
    sumed that the mineral was created after frozen soil room (range of 1.5C to 2.5C) when both warm-
    thawing and replacement of fresh by marine water. ing and freezing might change soil properties. Spe-
    Therefore, it can be genetically formed in melted cial gas samplers are ideal for possible gas sampling,
    stratum enriched of organics and located above per- preservation and testing, and vertical seismic profil-
    mafrost (as it was recognised in Pechora Sea). ing should be used for velocity measurements and
    permafrost definition (with velocity is higher than
    4. Recommendations 1800m/s).

    The main conclusion is the sub-bottom permafrost in Some geophysical methods not affected by gas pres-
    the western part of Russian Arctic offshore has been ence can provide an alternative perspective for per-
    properly proved. However, the phenomenon is more mafrost study, such as electrical or shear wave seis-
    complicated than some experts and investigators mic profiling. This is especially the case where
    originally supposed (regarding origin, structure and minor gas concentration is found, as it can com-
    post cryogenic processes) mostly because it is ac- pletely spoil the profiling results because of signifi-
    tively degrading (thermal erosion). The relict perma- cantly influence on the seismic properties and trans-
    frost destruction is amplified by various flows, ex- parency. Sub-bottom permafrost is accompanied
    cept for thermal influence from the top and the with post-cryogenic processes (e.g. hydrates, pingo,
    bottom (Ob and Pechora rivers). This creates com- gas blow-out) and is an area of geohazards. Proper
    plicated and non-continuous permafrost structure. safety technique and programmes should be imple-
    mented and followed up to deal with these.
    Methodologically, geophysical surveys admittedly
    cannot prove its presence and may give confusing Acknowledgment
    signals. The only firm evidence of permafrost can be The authors acknowledge AG Dlugach, who under-
    provided by direct methods, such as boring, sam- took offshore permafrost investigations in 1980s and
    pling and in situ testing. 1990s and provided useful comments when review-
    ing this paper.
    There are some specific recommendations that have
    resulted from this permafrost study. Geophysical and References
    geotechnical methods should be performed when
    seismic data can provide some signs of possible American Society for Testing and Materials
    permafrost presence only. Various boring technique (ASTM). (2001). ASTM D 4083-89 Standard
    can provide available samples, though rotary drilling Practice for Description of Frozen Soils (Visual-
    might be the only effective method in strongly fro- Manual Procedure).
    zen soils. Short runs, low rotation velocity and no Bondarev VN and Loktev AS. (2011). Permafrost
    mud should be used for proper frozen sampling (to and other geohazards of Arctic offshore. SPE
    avoid its destruction). 149933. Proc. Arctic and Extreme Environments
    Conf., Moscow, Russia.
    This study has also shown that TCPT should be per- DavidenkoY, Ivanov S, Kudryavceva E, Logeydo P
    formed with highly sensitive sensors (at least 0.1C) and Veeken P. (2008). Geo-electric surveying, a
    for representative results. Current frozen massif useful tool for hydrocarbon exploration. The 70th
    temperature is very close to thawing point and can EAGE Conf. Proceedings, Rome, 912 June.

    585
    Dlugach AG, Antonenko SV and Potapkin JV.
    (1996). The study of main regulatories, propaga-
    tion and structure of cryolithozone of the Barents-
    Kara shelf in connection with researching and
    exploration of oil and gas fields. Arctic Marine
    Engineering Geological Expeditions (AMIGE)
    report No. 159, Murmansk, 108pp.
    GOST. (1996). GOST 25100-95 Soils. Classifica-
    tion. International (CIS) standard, Moscow, 30pp.
    Gritsenko II, Bondarev VN, Loktev AS, Rokos SI
    and Okko OT. (1997). Sub-bottom permafrost
    and shallow gas in Pechora sea. Joint report. OTC
    8324. Proc. Houston Offshore Tech Conf, Hous-
    ton, USA.
    Ingeman-Nielsen T. (2005). Geophysical techniques
    applied to permafrost investigations in Greenland.
    PhD thesis, Technical University of Denmark.
    Copenhagen: Eurographic A/S.
    Krapivner RB. (2007). Signs of neotectonic activity
    of the Barents Sea shelf. Geotectonics 2: 7389.
    Matveeva TV, Krylov AA and Logvina EA. (2011).
    Cryogenic gas hydrates in sub-bottom perma-
    frost: problems of study and detection. Proc.
    PERGAMONs Workshop on sub-bottom cryo-
    lithozone. St. Petersburg, Russia.
    Rokos SI. (2008). Engineering geological features of
    sub bottom zones with anomaly high pressure
    layers on the shelf of Pechora and Kara seas. En-
    gineering Geology Journal 4: 2228.
    Shearer JM, Macnab RF, Pelletier BR Smith TB.
    (1971). Submarine pingoes in the Beaufort Sea.
    Science 174: 816818.
    Suess E, Balzer W, Hesse K-F and Muller PI.
    (1982). Calcium carbonate hexahydrate from or-
    ganic rich sediments of the Antarctic Shelf: pre-
    cursors of Glendonites. Science 4550: 1128
    1131.
    Svitoch AA. (2003). Marine Pleistocene of the Rus-
    sian Coasts. Moscow: GEOS, 362pp.
    Xie J and Mathews CM. (2011). Methodology to as-
    sess thaw subsidence impacts on the design and
    integrity of oil and gas wells in Arctic regions.
    SPE 149740. Proc. Arctic and Extreme Environ-
    ments Conf., Moscow, Russia.

    586
    -$&.83$1'$1&+256
    
    PREDICTING SPUDCAN PENETRATION IN LOOSE SAND FROM
    MEASURED SITE SOIL PARAMETERS
    Robert Overy
    Shell UK Ltd, Aberdeen, UK

    Abstract
    Accurate spudcan penetration prediction is important for the safe and economic management of mobile off-
    shore jack-ups. However, the current method for dealing with loose sand - by selection of a low friction angle
    in a general shear failure analysis - is unsatisfactory because the material also experiences significant com-
    pression under load. A new simple method is proposed that includes compression and allows spudcan pene-
    tration analysis to be based on actual measured site soil parameters. The method is explained, guidance given
    on site investigation requirements and illustrative case histories documented. The new methods predictions
    are a good match to field records.

    1. Introduction ety of Naval Architects and Marine Engineers


    (SNAME), 2002; ISO 19905-1, 2012) but the se-
    An important aspect of the safe management of jack- lected analysis parameter bears no relationship to
    up rigs is the provision of accurate leg penetration any measured physical property of the material.
    predictions, with a narrow uncertainty range. When
    predictions consistently match the eventual site out- The current approach to predictions for loose sand
    comes, they become a resource that is consulted and can have both economical and safety implications:
    relied upon by the rig move team. This means that x safety when the loose sand is part of a layered
    discrepancies between prediction and actual leg system with punch-through potential the size
    penetrations will be taken seriously, and feedback and/or depth of the predicted peak bearing load
    sought from the geotechnical engineer on the appro- can be wrong.
    priate response.
    x economic when practitioners are misled into
    thinking the low value is a fundamental prop-
    While much attention is given to making accurate
    erty of the soil in question and use it in a too-
    predictions at soft clay and layered soil sites, where
    conservative environmental stability assessment,
    leg length and punch-through are issues, less atten-
    with the result that the rig may be unnecessarily
    tion is given to sand sites. At a dense sand site this is
    rejected.
    understandable, as spudcan penetration tends to be
    small. Therefore, a prediction based on general shear The discrepancy between prediction and practice is
    failure, using measured laboratory data, is suffi- caused by the relatively large compression that oc-
    ciently accurate. However, in loose sand the same curs in loose sand when it is loaded. Explicit consid-
    approach can grossly underestimate the penetration eration of this aspect in prediction analyses would
    recorded in practice. This also has implications for allow the laboratory measured to be used to assess
    the prediction at a punch-through site, where the the contribution to penetration made by shearing
    crust is loose rather than dense sand. failure of the soil.

    The most common technique used by geotechnical This paper proposes a method based on site cone
    engineers to deal with loose sand is to select an arti- penetration tests (CPT) that can be used to assess the
    ficially low friction angle that, when used in the non-shear failure contribution to penetration. When
    conventional bearing capacity equations, matches this is added to the shear failure component (based
    the penetration results at previous sites. This empiri- on laboratory measured ), it gives a good predic-
    cal approach is reflected in Industry standards (Soci- tion of actual spudcan penetrations in the field.

    589
    2. Current Industry Practice 3.1 The Schmertmann method
    A CPT based method to predict settlement of shal-
    Current practice is to follow the guidelines set out in low foundations on sand was first published by
    SNAME (2002). It specifies that the friction angle to Schmertmann in 1970. The author then modified this
    be used for analysis in sand should be selected as - method to consider equi-dimensional and strip foot-
    5. This is unnecessary in dense sand, where the ings separately (Schmertmann, 1978). Schmert-
    laboratory value can be used, and gives the wrong manns method has been widely adopted by the geo-
    answer in loose sand. If laboratory measurements of technical community and can be found in textbooks
    are unavailable. SNAME recommends use of the and international standards, such as Holtz (1991),
    tabulated values it gives in Section C6.2.3, with the Lunne et al. (1997) and Eurocode7 (European
    assessment based on relative density and grain size Committee for Standardisation (CEN), (2007). It is
    distribution. This approach is similar to the empiri- based on a strain influence factor and elastic theory,
    cal pile design method used in the American Petro- but can also be used to make useful predictions for
    leum Institute (API) RP 2A-WSD (2000) and the In- spudcan penetration. Only the method for an equi-
    ternational Organisation for Standardisation (ISO) dimensional footing is considered in this paper.
    19902 (2007), except that in them the recommenda-
    tions for loose sand have been removed due to their For an equi-dimensional spudcan the sand layer is
    inaccuracy. divided into a number of sublayers of conven-
    ient thickness down to the base of the sand
    The draft ISO document for jack-ups currently being layer, or a depth equal to twice the widest section of
    produced circumvents giving a recommendation on the spudcan in contact with the soil. A constant
    and merely states Adequate consideration should value of CPT point resistance is assigned to
    be given to the selection of an appropriate soil fric- each sublayer and the total vertical settlement is
    tion angle. However, it then tabulates bearing factor then given by:
    values for between 20 and 40, implying the prac-
    titioner should select from within this range. The
    (1)
    document is also unclear on whether analyses should
    be based on peak or large strain values. Although where corrects for depth of embedment and is
    Appendix E of the ISO document lists influencing equal to (
    ); corrects for
    factors that imply that the peak value is relevant, it creep and is equal to 1 (for these analyses); is the
    then goes on to say that the critical state angle, or an strain influence factor; is Equivalent Youngs
    angle up to 5 greater, matches field data. modulus (= ); and is the net foundation

    pressure (i.e. spudcan pressure  ). For depth
    Importantly, the draft ISO document does acknowl- embedment and net spudcan pressure,
    is the
    edge soil compression in the list of influencing fac- overburden pressure at the spudcan widest section in
    tors. Not taking explicit account of this soil com- contact with the soil (Figure 1).
    pression in loose sand has made it difficult to match
    prediction with field data. It has also lead to a lot of In the calculation, the strain distribution diagram is
    unnecessary complication in guidance documents constructed so that:
    and resulted in a lack of clarity among practitio-
    ners. x  immediately below the spudcan widest
    section (B);
    3. A New Approach Based on Site Data x  at a distance of 2B below the spudcan wid-
    est section;
    The penetration prediction problem with loose sand

    can be addressed by explicitly calculating the com- x   at B/2 below
    pression at any point in the spudcan penetration the spudcan widest section and
    analysis and simply adding this to the penetration
    prediction based on general shear failure. The com- is the overburden pressure at the depth of  ,
    pression contribution is trivial in dense sand, but has the peak value of (Figures 1 and 2).
    increasing significance as relative density reduces.
    The proposed method in this paper is based on that 3.2 Application of the method
    given by Schmertmann (1978) for the settlement of For a given spudcan penetration, the method is ap-
    shallow foundations on sand. plied in the following three steps:

    590
    ence diagram will encompass a greater volume of
    soil as the contact area increases (Figures 2a,b).
    Once the spudcan widest section penetrates below
    the seabed, the volume of soil that influences the
    compression moves with the footing (Figure 2c).

    When the procedure is taken to very high stress lev-


    els, it is possible for Eqn.1 to generate a sublayer
    compression greater than its thickness. In this situa-
    tion, Equation 1 should incorporate an upper limit
    for each sublayer compression (i.e.   ).

    4. Input Parameters

    Figure 1: Stress definitions 4.1 Sand friction angle


    This should be the value measured in triaxial or
    1. The general bearing capacity equation for sand is shearbox laboratory tests on samples reconstituted at
    used to calculate the soil resistance using the representative stress conditions. Multi-stage tests
    ODERUDWRU\ PHDVXUHG YDOXH RI  7KLV ZLOO SUo- can be used but the used in calculations should be
    vide the foundation stress and physical founda- the large strain (residual) value not the small strain
    tion dimensions needed for Step 2. peak angle.
    2. Equation 1 is used to calculate the additional
    penetration due to compression, for the stress 4.2 Cone point resistance
    level and foundation dimension in Step 1. The At sites with complex soil conditions it is a continu-
    result is simply added to the penetration value to ing and justifiable complaint by jack-up rig owners
    get a point on the final load-penetration predic- that they are given site investigation reports de-
    tion curve. signed for piled foundations. These reports com-
    3. The process is repeated for successive penetra- monly have mixed sampling and cone testing that do
    tion steps to get the complete load-penetration not adequately define the exact soil parameters and
    prediction for the site. thicknesses of weak soil layers. This information can
    be crucial in the safe assessment of a jack-up. There-
    As usual with spudcan analyses the footing should fore, a continuous cone profile should be obtained
    be considered to be at the seabed until the widest by site investigation through all soil layers that will
    section is in contact with the soil. The strain influ- influence the spudcan prediction.

    Figure 2: Strain and physical dimension definitions

    591
    4.3 relationship from elsewhere in the world. All the sites have the
    The Schmertmann method was derived for the set- following attributes:
    tlement of footings subjected to sub-failure loadings:
    clearly this is not the case for jack-ups, and some x sand at low relative densities;
    consideration needs to be given to the relationship x site investigations with continuous CPT pro-
    between and at large strains. Schmertmann files and modern laboratory tests; and
    (1970) suggested that  is applied for nor- x jack-up penetration records for virgin soil
    mally consolidated (predominantly quartz) sand and conditions.
    Schmertmann (1978) updates this recommendation
    to   for an equi-dimensional footing. By 5.1 Soil profiles
    comparison Holtz (1991) recommends values of CPT profiles for the top 20m of the first four sites,
    between 1.5 and 4. Lunne et al. (1997) present and from 10-30m at the fifth site, are shown in Fig-
    work by Bellotti et al. (1989) and Robertson (1991) ure 3. Site A simply comprises loose to medium
    that suggest is a function of relative density dense sand over dense to very dense sand. In con-
    , strain level and stress history. Therefore, this trast, the soil profiles at Sites B, C and D all contain
    paper suggests the relationship for jack-up spudcan a very soft clay layer that separates the top sand
    analysis in sand should be: layer from the lower one. At Sites B and C, the top
    sand is very loose to loose, whereas at Site D it is

     (2) medium dense to dense. Some hard clay layers exist

    in the lower sand at these sites. The very loose sand


    where is based on a comparison of the site at Site E is buried under about 16.5m of very soft
    values with those calculated for a normally consoli- clay, and is separated from more competent sand by
    dated sand using equations such as those given by a soft clay layer.
    Lunne and Christoffersen (1983), Baldi et al. (1986)
    or Jamiolkowski et al. (2003). Equation 2 then re- 5.2 Soil parameters
    turns ratios between 0.5 and 6.1.
    The results of twenty laboratory particle size distri-
    bution tests on the upper sands of the five sites are
    5. Case Histories summarised in Figure 4. The material fits within a
    narrow band in the fine sand range. Submerged unit
    Five case histories have been selected: four of the weight was determined to be 9kN/m3 in the up-
    sites are from the southern North Sea and the fifth is per sands and 10kN/m3 in the lower sands.

    Figure 3: CPT profiles for Sites A, B and C (Sites D and E given on following page)

    592
    Figure 4: Particle size distribution envelope

    5.3 Jack-up rig details


    Four different Jack-up rigs have visited one or more
    of the five sites: 2 three-legged units, with conven-
    tional spudcan shapes; 1 four-legged unit, with
    tanks at the base of triangular truss legs; and 1 six-
    legged unit, with tubular steel pipe legs. Represen-
    tative plan and sectional views of the spudcans are
    shown in Figure 5. The combinations of rigs and
    sites, and the recorded leg penetrations are given in
    Table 1.

    Table 1: Rig type, site and penetration summary

    Rig Type and recorded pen. at full leg preload [m]


    MLT Breit Transocean BMC
    Site
    116-C D-211 Rig 4 375
    A 3.0 3.5-3.8 8.0
    (5.5)*
    B
    6.5
    C 6.0-6.3

    D 6.0
    (19.0)*
    E
    24.0
    *Lightship load

    5.4 Analysis results


    Figure 3 (continued): Sites D and E CPT profiles
    The load penetration prediction curves for the four
    Eight multistage consolidated drained triaxial tests, rigs, with and without compression of the loose
    and ten multistage shearbox tests were performed on sand, and the field data from Table 1, are shown in
    the loose sands from the sites to measure . The Figure 6. The penetration contribution of the inter-
    mean high strain (residual) value was 32.6 with a mediate soft clay at Sites B to E was analysed using
    standard deviation of 2.3. the squeezing mechanism described by Meyerhof
    and Chaplin (1953) and is included in both curves
    The very soft clay at Sites B, C and D has an for each site. Once the clay has been squeezed, the
    undrained shear strength of 10kPa and a of foundation stress on the lower sand increases but the
    8kN/m3. At Site E the very soft clay has an gradi- penetration contribution it makes is small due to its
    ent of 1.0kPa/m and a that increased from 5 to higher . The sublayer thicknesses used for Equa-
    9kN/m3, giving an average of 7kN/m3, the soft clay tion 1 were either 0.1 or 0.2m, to match with the
    has values of 25kPa and 9kN/m3, respectively. bearing capacity analysis steps.

    593
    Figure 6a shows the influence that a change between A comparison of results for Site A in Figures 6a,b,c
    a loose (Site B) and medium dense (Site A) state has shows that the influence of a given sand density on
    on the MLT 116-C rig. Similarly Figure 6b shows penetration varies with rig type. This is due to the
    the influence that loose (Site C), medium dense (Site different spudcan bearing stresses of the rigs and the
    A) and dense (Site D) conditions have on the Breit volume of soil encompassed by their diagrams.
    D-211 rig.

    Figure 5: Spudcan plan and sectional views

    (a) (b)
    Figure 6 (a and b): Load-penetration curves

    594
    (c) (d)
    Figure 6 (continued): (c and d) Load-penetration curves

    The soils at Site E were extremely weak and the rig x only requires data that are routinely collected
    experienced an uncontrolled leg penetration from during a modern site investigation;
    19.5-24.0m (Figure 6d). However, the focus of this x uses the field and laboratory-measured site soil
    paper is the modelling of the loose sand layer be- parameters; and
    tween 16-20m, not the rapid penetration to 24m. The x is a good predictor of field data.
    prediction curves come from the post-analysis of
    the incident: they are not the pre-installation graphs. Adopting this method should improve the reliability
    The field data had already deviated by about 1m and accuracy of spudcan penetration prediction in
    from the standard penetration predictions at lightship loose sand over current practice.
    load, which should have alerted the rig move team
    that there was a potential problem. Acknowledgment

    6. Conclusion The author would like to thank Shell UK and Exxon


    for permission to publish this paper.
    A new method for predicting the load-penetration
    behaviour of mobile offshore Jack-up spudcans has References
    been proposed that takes into account the often sig-
    nificant compression under load that occurs in loose American Petroleum Institute (API). (2000). RP 2A-
    sand. It offers several advantages over the current WSD Planning, Designing and Constructing
    practice of using an arbitrary low friction angle be- Fixed Offshore Platforms Working Stress
    cause it: Design. Washington, DC: API.
    Baldi G, Bellotti R, Ghionna V, Jamiolkowski M
    x is simple to apply; and Pasqualini E. (1986). Interpretation of CPTs
    x is based on an established method for assessing and CPTUs. 2nd Part Drained Penetration. Proc
    the settlement of shallow foundations; 4th Int. Geotechnical Seminar, Singapore.

    595
    Bellotti R, Ghionna V, Jamiolkowski M and
    Robertson, PK. (1989). Shear strength of sand
    from CPT. Proc 12th Int. Conf. SMFE, Rio de
    Janeiro.
    European Committee For Standardization (CEN).
    (2007). Eurocode7: Geotechnical design - Part 2:
    Ground investigation and testing, EN 1997-2.
    Brussels: CEN.
    Holtz RD. (1991). Stress distribution and settlement
    of shallow foundations. In: Winterkorn HF and
    Fang HY. (eds.). Foundation Engineering Hand-
    book. New York: van Nostrand Reinhold.
    International Organization for Standardization
    (ISO). (2007). ISO 19902: Petroleum and natural
    gas industries Fixed steel offshore structures.
    Geneva: ISO.
    ISO. (in press). ISO 19905-1: Petroleum and natural
    gas industries Site-specific assessment of
    mobile offshore units Part 1: Jack-ups. Geneva:
    ISO.
    Jamiolkowski M, Lo Presti DCF and Manassero M
    (2003). Evaluation of relative density and shear
    strength of sands from CPT and DMT. Proc.
    Symposium Soil Behaviour and Soft Ground
    Construction. Cambridge, MA: American Society
    of Civil Engineers (ASCE).
    Lunne T and Christoffersen HP. (1983).
    Interpretation of cone penetrometer data for
    offshore sands. OTC 4464. Proc. Offshore Tech.
    Conf., Houston, USA.
    Lunne T, Robertson PK and Powell JJM. (1997).
    Cone Penetration Testing in Geotechnical
    Practice. London: Chapman & Hall.
    Meyerhof and Chaplin. (1953). The compression
    and bearing capacity of cohesive layers. British
    Journal of Applied Physics 4: 2026.
    Robertson PK. (1991). Estimation of foundation
    settlement in sand from CPT. ASCE Geotechnical
    Engineering Conference, Boulder.
    Schmertmann JH. (1970). Static cone to compute
    static settlement over sand. Journal of the Soil
    Mechnanics and Foundations Division 96(SM3):
    10111143.
    Schmertmann JH. (1978). Guidelines for cone
    penetration test (performance and design).
    Report FHWA-TS-78-209. Washington, DC: US
    Federal Highway Administration.
    Society of Naval Architects and Marine Engineers
    (SNAME). (2002) Guidelines for site specific
    assessment of mobile jack-up units. Technical and
    Research Bulletin 5-5A. New Jersey: SNAME.

    596
    SKIRTED SPUDCANS AND PERFORATION DRILLING FOR
    INSTALLATION OF SPUDCANS CLOSE TO EXISTING
    FOOTPRINTS

    MS Hossain, D Dong, C Gaudin and VW Kong


    Centre for Offshore Foundation Systems, University of Western Australia, Perth, Australia

    Abstract
    The large footprints that remain on the seabed after offshore mobile jack-up platforms have completed opera-
    tions present hazardous conditions for any future jack-up installation at that site. The slope of the footprint
    causes detrimental horizontal and moment loads to be induced on the spudcan during the preloading process
    where only vertical loads are expected. This paper reports model tests exploring the efficiency of innovative
    spudcan foundations and perforation drilling to mitigate this issue. The soil conditions tested simulate soft
    seabed strength profiles close to the mudline, varying the undrained shear strength. The most critical reinstal-
    lation location and existing footprint depth were investigated. In all of the experiments, an initial footprint
    was created. Skirted, innovative and generic spudcan models were then offset and reinstalled on non-
    perforated and perforated sites, with the vertical and moment loads on the spudcan recorded using a highly in-
    strumented shaft. The innovative spudcan and the removal of soil inside the spudcan perimeter, with an area
    of 9% perforated, reduced the induced moment significantly.

    1. Introduction well as during and after removal; (d) the spudcan


    shape; and (e) the method of extraction. Over time,
    1.1 Mobile jack-up rig and spudcan foundation the geometry of the footprint may also be affected
    Most offshore drilling in water depths up to 150m is by the local sedimentary regime.
    performed from self-elevating jack-up rigs because
    of their proven flexibility, mobility and cost- Erbrich (2005), Brennan et al. (2006) and Handid-
    effectiveness. These jack-ups typically consist of jaja et al. (2009) report three case histories illustrat-
    three independent truss legs, each attached to a large ing the footprints left by the extraction of spudcans.
    1020m diameter inverted conical footing, colloqui- For instance, from bathymetry survey, Handidjaja et
    ally known as spudcans. Unlike a fixed platform or al. (2009) illustrate footprints of around 1.3D (where
    gravity structure, a jack-up unit is mobile in nature. D is the spudcan diameter) width and 0.1D depth in
    After completion of operations in one place (usually a layered soil. The undrained shear strength (su) was
    short term) it is mobilised to other sites, and so a 20kPa at the mudline, increasing to 120kPa at 2m
    single unit may visit a number of locations around depth, followed by 60kPa at 5m, overlying by a
    the world within its operating life. The changing of layer of shear strength of 90140kPa (see Figure
    drilling locations necessitates retrieval of the unit at 1a). The diameter of the spudcans was 11.8m and
    each site. the penetration depths during preloading were about
    4.35.3m. Erbrich (2005) and Cassidy et al. (2009)
    1.2 Spudcan footprint geometry report footprint depths as deep as 10m.
    On removal of the jack-up unit, the legs are retracted
    from the seabed leaving depressions (referred to as a The effect of initial soil strength on the configura-
    crater, or footprint) at the site. The depth and con- tion of footprint was investigated extensively
    figuration of a footprint are a function of several fac- through half-spudcan tests carried out on clay depos-
    tors. These include: (a) the soil type, strength and its of various strength profiles. Figure 1b displays
    stratification; (b) the spudcan final penetration depth the images on soft lightly over consolidated clay
    before extraction; (c) the degree of soil backfill dur- (su = 2.5 + 3.3z kPa) and stiff heavily overconsoli-
    ing installation (unless the backfilled soil was re- dated (and layered) clay (su = 47.3kPa-over-
    moved by jetting for easing extraction process), as 14.7kPa). It was identified that the crater was mainly

    597
    influenced by the depth of releasing suction during During initial penetration of the spudcan, the soil
    extraction. The depth was increased significantly for flowed towards the surface, which led to surface
    higher undrained shear strength (0.6D compared to heave over a wider area around the periphery. This
    0.22D), with lower backfilled soil above the spud- was coupled with the reverse backflow during ex-
    can. The suction beneath the extracted spudcan was traction and dropping of backfilled soil around the
    also released much earlier, and the geometry of the periphery (and inside the crater), resulting in a soil
    crater was altered. It was somewhat conical in soft hump around the periphery. The total width was
    clay, with greater depth of sustained suction, and 1.921.96D.
    circular in stiff clay.
    1.3 Soil disturbance
    The foregoing section provided a clear description
    of how footprints are formed. The extent of soil dis-
    turbance made within and around the footprint is
    also critical, and is highlighted in this section. Soils
    soften as they are sheared and remolded. Therefore,
    the extraction resistance can be found as 5080% of
    the resistance during penetration in intact soil. How-
    ever, the strength changes over the passage of time,
    with the dissipation of the excessive excess pore
    pressures developed during extraction. The process,
    known as reconsolidation, results in an increase of
    the shear strength, sometimes to a value higher than
    the undisturbed strength.

    Thixotropy of the clay also plays a role to regain


    strength. In an attempt to investigate the changes of
    the shear strength profiles within a footprint, a cen-
    trifuge model study was carried out by Leung et al.
    (2007). The reduction in su decreases with the in-
    crease in radial distance from the footprint centre
    and along the depth. A zone of intensely remoulded
    soil was confined within 0.75D from the centre.
    However, after 1.5 years the soil condition was
    found to be close to, or stiffer than, the undisturbed
    soil.

    1.4 Jack-up revisit and spudcan-footprint interaction


    The number of mobile jack-up rigs operating has in-
    creased considerably over the last decade, as their
    use has gradually extended into deeper water. There
    (a) has also been a significant increase in the number of
    rig moves per year, due to reduced time spent at
    each location and growing global energy demand.
    Mobile jack-up units may therefore be required to
    install in previous work locations for drilling addi-
    tional wells or servicing existing wells. Installing
    and preloading a jack-up rig at a site with existing
    footprints can be hazardous.

    Where a spudcan is located in or nearby an adjacent


    (b) spudcan footprint, there may be a tendency for the
    Figure 1: Geometry of spudcan footprints (a) diagram of ex- spudcan to slide towards the centre of the footprint.
    isting footprints and arrangements of a rig emplacement over This displacement may be relative to the other spud-
    them (from a case history in Handidjaja et al., 2009); and (b)
    footprints from centrifuge tests cans, so that excessive lateral forces and bending
    moments may be developed, as the new jack-up may

    598
    need to negotiate the work-over footprints. This former effect depends heavily on the passing of
    phenomenon is referred to as spudcan-footprint in- time between extraction and re-installation. Re-
    teraction issue. This is exacerbated when the founda- gardless of the reason, Handidjaja et al. (2009) re-
    tion geometry and configuration of the current jack- fer the consequent sliding as weak-seeking re-
    up is incompatible with the unit initially installed. sponse. They categorise modes, depending on the
    Incompatibility includes spudcans diameter, leg relative positions of the spudcan(s) and foot-
    spacing and applied pressure. Among others, Maung print(s), as spreading mode, neutral mode, closing
    and Ahmad (2000), Brennan et al. (2006), Gram- mode and transitional mode.
    matikopoulou et al. (2007), Handidjaja et al. (2009)
    report case histories related to installation of rigs in 1.6 ISO (2011) and SNAME (2008) guidelines
    work-over locations. In all these cases, it was not No detailed guidelines were provided with regard to
    possible to locate the spudcans into the existing spudcan-footprint interaction issue, except some
    footprints, because of the different leg spacing. proposed considerations. The International Organi-
    zation for Standardization (ISO, 2011) emphasises
    This has a significant and often detrimental effect that due consideration has to be given to the posi-
    both structurally on the jack-up legs load and stabil- tioning of these units, as well as the implication of
    ity, and geotechnically on the bearing capacity of the the seabed depressions and zones of disturbed soil
    spudcan. Incompatible spudcan-footprint interaction (footprints) caused during spudcan installation upon
    can cause adverse spudcan displacement. This could other operations. The range of jack-up designs suit-
    result in an inability to install the jack-up in the re- able for operating within the field should be consid-
    quired position, leg splay (inwards and outwards), ered, and the implications of each on the operation
    unacceptable rack phase difference (RPD) and, at of each other, in terms of spudcan-footprint interac-
    worst, structural damage. The resulting leg dis- tion, should be assessed. Avoidance (i.e. positioning
    placements could also lead to catastrophic failure spudcans at some minimum distance away from the
    (Society of Naval Architects and Marine Engineers footprints) is suggested as a preventive approach,
    (SNAME), 2008). The situation could be compli- while working the legs, leg stomping and seabed
    cated by the proximity of a fixed structure or well- remediation are recommended as mitigation meas-
    head. Examples of offshore incidents during installa- ures (ISO, 2011).
    tion on the slopes adjacent to footprints include: (a)
    leg damage to the Mod V class monitor and 101 SNAME (2008) recommends two operational se-
    jack-up platforms in the central North Sea (Hunt and quences that may be considered. One recommenta-
    Marsh, 2004); (b) an exceptionally high RPD read- tion is to include installation of an identical jack-up
    ing in the starboard leg of a jack-up rig due to slid- design to that previously used at a particular loca-
    ing towards the footprint (Handidjaja et al., 2009); tion, with the jack-up located in exactly the same
    (c) some sliding was experienced by a rig as the legs position as for the previously installed unit. The sec-
    were installed owing to the significantly different ond recommendation is to install a jack-up of differ-
    leg spacing from the previously installed L780-C ent design to that previously used at a particular lo-
    Mod II unit (Brennan et al., 2006). cation, with careful positioning the jack-up on a new
    heading, and/or with locating one footing over a
    This paper focuses not on the effect of spudcan- footprint with the others in virgin soil.
    footprint interaction, but on the mitigation measures
    of this issue. 1.7 Previous work and existing measures for
    mitigating spudcan-footprint interaction
    1.5 Geotechnical reason of sliding The influence of spudcan-footprint interaction was
    A spudcan may slide towards the footprint centre addressed by a number of researchers (e.g. Gaudin et
    due to three main geotechnical effects. One cause al., 2007; Leung et al., 2007; Cassidy et al., 2009;
    could be the presence of heterogeneous soil Kong et al., 2010). Gaudin et al. (2007) and Handid-
    strength distribution in the vertical and horizontal jaja et al. (2009) identify the critical offset ratio (E,
    plan (laterally ~1.75D). Another may be the pres- defined as the ratio of the distance between the foot-
    ence of a sloping surface, which itself (i.e. without print centre and spudcan centre (a), and the spudcan
    any footprint) creates significant problems for the diameter) of 1 for inducing maximum lateral dis-
    stability of onshore and offshore structures, induc- placement (0.35D). This occurred at an embedment
    ing similar lateral and bending/sliding potential. of 1.33D. From a case history, Handidjaja et al.
    Finally, the third main effect could be a coupling of (2009) found that if E > 1.51.7, the effect of inter-
    both foregoing effects. As discussed previously, the action can be neglected.

    599
    However, attention to mitigate this issue is sparse. eliminated rapid leg run and severe punch-through
    Several measures are considered for mitigation, in- on the two- and four-layer seabed profiles tested.
    cluding: Recently, it has been emphasised repeatedly that
    perforation drilling may be useful in enabling a jack-
    x infilling crater (Jardine et al., 2002);
    up rig to be positioned on a location with existing
    x capping the infilled crater with gravel loading
    footprints, thus mitigating the interaction issue (e.g.
    platforms;
    Maung and Ahmad, 2000).
    x stomping (Jardine et al., 2002);
    x successive repositioning until the legs had 1.8 Objective of present study
    stabilised in the desired plan position (Bren- In an attempt to mitigate the spudcan-footprint inter-
    nan et al., 2006); and action issue, this paper reports results from an ex-
    x water jetting along with the spudcan preload- perimental pilot study investigating the practicability
    ing (Handidjaja et al., 2009). of using two potential means: (a) innovative spud-
    In relation to case histories in the North Sea, Jardine can; and (b) perforation drilling. The soil conditions
    et al. (2002) and Grammatikopoulou et al. (2007) tested simulate soft seabed strength profiles. This
    examine the potential of using the first two measures study has identified the changes of the soil failure
    in the foregoing list. However, the results were mechanisms compared to a generic spudcan, and
    mostly unsatisfactory. The pattern of soil move- measured vertical penetration resistance and induced
    ments became markedly asymmetrical (see Figure moments.
    2), which led to intolerable forces and moments de-
    veloping in the jack-up leg before the target preload 2. Model Tests
    level was reached. Infilling the crater with different
    type of soil created additional problems, such as 2.1 Experimental programme
    punch-through. Gravel loading platform incurred the The experimental tests were performed at 1g on the
    potential for slope or slope-base failure. laboratory floor. The tests were carried out in soil
    confined within a rectangular strongbox, which has
    (a) (internal) plan dimensions of 650 u 390mm and is
    325mm deep. An actuator was mounted on the
    strongbox providing a controlled vertical installation
    of the spudcan (and penetrometers) at a pre-
    determined rate. A highly instrumented shaft on the
    actuator measured vertical load and moments along
    four depths. The experimental arrangement is shown
    in Figure 3.
    (b)

    Figure 2: Measures for mitigating spudcan-footprint interac-


    tion (Grammatikopoulou et al., 2007): vectors of incremental
    ground displacement (a) infilled crater; and (b) infilled crater
    capped with gravel loading platform

    An industry practice known as perforation drilling


    is sometimes used to mitigate punch-through risk in
    layered clays, extracting soil from the upper strong
    layer before the jack-up is installed. Hossain et al.
    (2011) carried out a series of model tests at 1g and
    200g, and showed that the removal of soil inside the
    spudcan perimeter, with an area of 9% perforated, Figure 3: Experimental setup for a spudcan test

    600
    2.2 Sample preparation
    Two series of tests (box 1 and box 2) were per-
    formed on soft specimens of kaolin clay. Its geo-
    technical properties are: liquid limit (LL) = 61%;
    plasticity index (Ip) = 34; specific gravity (Gs) = 2.6;
    consolidation coefficient (mean) (cv) = ~2.6m2/year.
    The soil conditions tested simulate soft seabed
    strength profiles close to the mudline, varying the
    undrained shear strength. It was found that
    undrained shear strengths may be no more than 2
    15kPa at seabed level and may increase with depth
    at gradients typically in the range of 12kPa/m. In
    this study, soil deposit with a uniform strength pro-
    file was investigated. A homogeneous slurry was
    prepared by mixing commercially available kaolin Figure 4: Footprint and cutting tool mounted on frame
    clay powder with water at 120% water content
    (twice the LL) and subsequently de-airing it under a
    vacuum. The slurry was then carefully ladled into a
    strongbox. Clay samples with a uniform strength
    profile were prepared by consolidating the slurry at
    1g. Two boxes and two different consolidation pres-
    sures of 50kPa and 100kPa were used to obtain two
    different strengths.

    2.3 Formation of a footprint


    Footprints were not created in a manner in which Figure 5: Comparison of footprint profiles record (Kong et al.,
    they usually form (i.e. through spudcan penetration 2010)
    followed by extraction) for two reasons. First, as
    2.4 Soil strength determination
    discussed previously, Leung et al. (2007) found that
    Soil characterisation tests were carried out using a
    the remoulded shear strength will increase with the
    T-bar (with a diameter of 5mm and length of 20mm)
    passing of time and may be equal to, or even higher
    and a ball penetrometer (with a diameter of 15mm;
    than, the intact strength. Second, the tests were car-
    see Figure 6). Strength assessments were undertaken
    ried out at 1g, and as such an impractical time frame
    immediately before and after each spudcan test, fa-
    (1:1) is required to simulate field situation. There-
    cilitating estimation of the undrained shear strength
    fore, craters were created manually on the surface of
    profile during spudcan penetration by linear interpo-
    the consolidated samples.
    lation in time. Typical shear strength profiles are
    A cutting tool, comprising a mounting frame and plotted in Figure 6 and are based on a T-bar factor of
    cutting blades, was developed to create a footprint NT-bar = 10.5 and ball factor of Nball = 11.17 (Low et
    cavity at 1g (Figure 4). The frame was first mounted al., 2010), where z is the penetration depth at the ob-
    on the strongbox and the cutting blade was then ro- ject mid-diameter and D the corresponding spudcan
    tated and cut into the soil, forming a cavity of ideal diameter.
    conical shape until the desired footprint depth was
    reached. This eliminated the heterogeneity in The results show strength profiles that may be ideal-
    undrained shear strength in a footprint created by ised as approximately uniform over full penetration
    spudcan penetration. A total of four footprints were depths, with a minor effect of softening and open
    created on one sample (or box) to carry out the four cavity close to the surface. The undrained shear
    spudcan penetration tests. strength was reduced by 1kPa over a period of
    ~12hr. Table 1 presents a summary of the idealised
    Accounting for the findings of Kong et al. (2010) and soil strengths.
    based on previous discussion on footprint geometry,
    craters dimensions were selected to be 2D width and The sensitivity of the kaolin is 2.5 to 3. The T-bar,
    0.33D depth. This is consistent and represents the up- ball and spudcans were penetrated at a rate of
    per bound of the profiles (Footprint Type B, slope 1mm/s, 0.75mm/s and 0.19mm/s, respectively, cho-
    angle of 18.5q), as presented in Figure 5. sen to balance rate effects against ensuring

    601
    undrained behaviour in clay. The normalised veloc-
    ity index (V = vDe/cv, where v is the penetration ve-
    locity, De the object effective diameter and cv the
    consolidation coefficient for kaolin clay) was
    around 140 (as recommended by Chung et al.,
    2006).

    Undrained shear strength, su (kPa)


    0 2 4 6 8 10 12
    0
    0.2
    0.4
    Normalised depth, z/D

    0.6 Box 1
    0.8 Ball Box 2
    Box 1 Figure 7: Shower head, perforated holes and generic spudcan
    T-bar
    1 model
    T-bar before
    Box 1
    1.2 before
    T-bar A total of four tests were carried out on each box
    1.4 after
    (with an additional test on box 2 on plain ground).
    1.6 Three spudcan tests were performed using the three
    Box 2 spudcan models, with the spudcan vicinity being
    1.8 Ball
    perforated (see Figure 7) prior to undertaking the
    2
    fourth test using the generic spudcan. The shower
    Figure 6: Shear strength profiles from T-bar and ball tests head apparatus developed to perform the perfora-
    (NT-bar = 10.5, Nball = 11.17) tion drilling is shown in Figure 7. The water was
    channelled through 64 brass tubes. These formed a
    pattern of four circles in the narrow band of 0.9
    Table 1: Summary of model tests conducted (for all tests: foot- 1.2D. The circumferential and lateral spacings were
    print diameter, D = w/D = 2, depth O = h/D = 0.33 and spud- selected to form an equilateral triangular grid with
    can distance, E = a/D = 1)
    centre-to-centre spacing (shole/D = 0.1) and a drill
    Box Test su (kPa) Spudcan (D = 60mm) size relative to the spudcan diameter of 0.05. These
    BI T1 5 Skirted various ratios fall within the practical range used
    T2 5 Innovative offshore (as discussed by Hossain et al., 2011). The
    T3 5 Generic length of the tubes below the plate was 60mm.
    T4 4.8 Generic on perforated site
    BII T5 9 Skirted In a test the shower head was attached to the actua-
    T6 9 Innovative tor and positioned over the specific location of the
    T7 9 Generic specimen. Holes were created by simultaneously
    T8 8.8 Generic on perforated site penetrating the tubes in the soil and injecting water
    T9 8.8 Generic on flat ground through them (mimicking field operations using
    drilling fluid and not just coring). Consequently, the
    size of the holes was greater than that of the tubes.
    2.5 Spudcan penetration test and perforation
    The fractional area removed inside the spudcan pe-
    drilling
    Spudcan penetration tests were performed using rimeter can be computed as K = 9%.
    three spudcans (skirted, innovative and generic) of
    60mm diameter. The skirted and innovative spud- During the test, a spudcan was installed vertically at
    cans are expected to be patented, so the details are an offset distance (E) of 1D from the footprint centre
    not provided. The generic spudcan model was made (i.e. positioning the spudcan tip on the edge of a
    from duraluminium and included a 13q shallow footprint). The vertical load and induced moment
    were measured using a highly instrumented leg. The
    conical underside profile (angle of 154q) and a 76q
    leg was equipped with four sets of moment gauges
    protruding spigot (see Figure 7). The shape was cho-
    along the height, allowing the measure of induced
    sen similar to the spudcans of the Marathon LeTour-
    moments at various depths (see Figure 3). The jack-
    neau Design, Class 82-SDC jack-up rig, as illus-
    up leg was rigidly connected to the actuator, simu-
    trated by Menzies and Roper (2008).

    602
    lating a connection with infinite lateral and rota- The spudcans tended to move towards the footprint
    tional stiffness at the jack-up platform level (a po- centre (i.e. slide laterally). However, the current
    tential limitation of this study). setup of testing restricted this degree of freedom, by
    fixing the leg with the actuator. Consequently, nega-
    3. Performance to Mitigate Spudcan-Footprint tive or positive moment was induced depending on
    Interaction Issue the asymmetry of the soil movement, which was
    measured at four locations along the height of the
    In an attempt to mitigate spudcan-footprint interac- leg (see Figure 3). Position M1 is the closest to the
    tion issue, a total of nine tests were carried out on spudcan and hence recorded the highest moment at
    two boxes which varied spudcan geometry and per- any penetration depth.
    forating holes around the spudcan periphery. Table 1
    provides a summary of the tests conducted. For the Figure 9 shows the changes of moment readings
    sake of brevity, only the results on box 1 are dis- (both magnitude and sign) at M1 with the progress
    cussed here. of spudcan penetration. The profiles from the ge-
    neric spudcan and innovative spudcan penetration
    Figure 8 shows vertical penetration resistance pro- are consistent in terms of sign. The maximum mo-
    files in terms of pressure (qu = P/A, where P is the ments can be found from the generic spudcan as:
    penetration resistance and A is the largest plan area 0.38N.m (at dt/D = 0.42) and +0.4N.m (at dt/D =
    of the spudcan) as a function of normalised penetra- 0.85). The innovative spudcan allowed for reduction
    tion depth of the spudcan tip (dt/D). On this soft de- of these moments by 28% (ve moment) and 80%
    posit (su ~5kPa), the generic and skirted spudcans (+ve moment).
    provide similar responses. The result from the inno-
    vative spudcan penetration is ~13% lower compared
    Induced moment, M1 (N.m)
    to that from the generic spudcan. Perforation drilling
    -0.6 -0.4 -0.2 0 0.2 0.4 0.6
    allowed for reducing the bearing capacity signifi-
    0
    cantly down to the depth of perforation. This is due Generic
    to the consequent reduction of effective bearing area 0.2 spudcan
    Normalised penetration, d t/D

    (K = 9%) and different preferential soil failure path. Test T3


    0.4
    The profile rises rapidly after the depth of perfora- Innovative
    tion (60mm, i.e. dt/D = 1), and interestingly it gives 0.6 spudcan
    the highest resistance at deep penetration. In soft Skirted Test T2
    0.8 spudcan
    soils, spudcan foundations penetrate 25.3 diameters
    Test T1
    during the pre-loading stage (Menzies and Roper, 1
    2008). As such, this reduction of bearing capacity
    close to the soil surface has insignificant influence. 1.2 Generic spudcan
    on perforated site
    1.4
    Test T4
    Vertical bearing pressure, qu (kPa)
    1.6
    0 10 20 30 40
    Figure 9: Maximum moment reading at M1 location from tests
    0
    Generic T1T4 (Table 1)
    0.2 spudcan
    Normalised penetration, d t/D

    Test T3 A significant reduction of moments can also be meas-


    0.4
    Skirted ured for the generic spudcan penetration on perforated
    0.6 Innovative spudcan site. This reduction was caused by the changes of soil
    spudcan Test T1 movement from highly asymmetric, resulting from
    0.8 Test T2 the generic spudcan penetration, to nearly symmetric,
    associated with the penetration of the innovative
    1
    Generic spudcan
    spudcan and the generic spudcan on the perforated
    1.2 on perforated site site. The mechanisms were recorded continually using
    Test T4 a high-resolution digital camera, with Figure 10 pro-
    1.4
    viding evidence of this change of the failure pattern.
    1.6 The skirted spudcan induced the greatest moment of
    0.48N.m at dt/D = 0.37, although the profile at deep
    Figure 8: Vertical load-penetration responses from tests penetration is consistent with that from the innovative
    T1T4 (Table 1) spudcan penetration test.

    603
    tance in clay. J. Geotechnical and Geoenviron-
    mental Engineering 132: 11881196.
    Erbrich CT. (2005). Australian frontiers spudcans
    on the edge. In: Gourvenec S and Cassidy M.
    (eds.). Proc. Int. Symp. Frontiers in Offshore
    Geotechnics, ISFOG 2005. London: Taylor and
    Francis, 4974.
    Figure 10: Perforated holes turned asymmetric flow to nearly Gaudin C, Cassidy MJ and Donovan T. (2007).
    symmetric flow (T3 and T4; Table 1) Spudcan reinstallation near existing footprints.
    In: Proc. 6th Int. Offshore Site Investigation and
    4. Concluding Remarks Geotechnics Conference: Confronting New Chal-
    lenges and Sharing Knowledge. London: Society
    The experimental results presented in this paper
    for Underwater Technology (SUT), 285292.
    have showed that perforation drilling is indeed ef-
    Grammatikopoulou A, Jardine RJ, Kovacevic N,
    fective at mitigating leg sliding (bending moment)
    Potts, DM, Hoyle MJR and Hampson KM.
    during jack-up installation near existing footprints
    (2007). Potential solutions to the problem of the
    from previous installation. With test specimens
    eccentric installation of jack-up structures into
    simulating strength profiles of soft seabed, perforat-
    old footprint craters. Proc. 6th Int. Offshore Site
    ing these profiles by only 9% of the total internal
    Investigation and Geotechnics Conference: Con-
    spudcan area consistently reduced the peak bearing
    fronting New Challenges and Sharing Knowl-
    capacity significantly. However, it requires an addi-
    edge. London: SUT, 293300.
    tional drilling operation to be executed. The skirted
    Handidjaja P, Gan CT, Leung CF and Chow YK.
    spudcan induced moment even higher than the
    (2009). Jack-up foundation performance over
    generic spudcan (which induced the greatest of all).
    spudcan footprints analysis of a case history.
    The innovative spudcan provided the best result in
    Proc. 12th Int. Conf. the Jack-up Platform Design,
    terms of mitigating spudcan-footprint interaction
    Construction and Operation, London.
    and no additional operation is required.
    Hossain MS, Cassidy MJ, Baker R and Randolph
    Acknowledgments MF. (2011). Optimisation of perforation drilling
    for mitigating punch-through in multi-layered
    The research presented here was undertaken with clays. Canadian Geotechnical Journal 48: 1658
    support from the Australian Research Council 1673.
    (ARC) through the ARC Linkage Project Hunt RJ and Marsh PD. (2004). Opportunities to
    LP110100174. The work forms part of the activities improve the operational and technical manage-
    of the Centre for Offshore Foundation Systems, cur- ment of jack-up deployments. Marine Structures
    rently supported by the state government of Western 17: 261273.
    Australia, and now forming one of the primary International Organization for Standardization
    nodes of the ARC Centre of Excellence for Geo- (ISO). (2011). ISO 19905-1 Petroleum and natu-
    technical Science and Engineering. This support is ral gas industries Site specific assessment of
    gratefully acknowledged. mobile offshore units Part 1: Jack-ups. Geneva:
    ISO.
    References Jardine RJ, Kovacevic N, Hoyle MJR, Sidhu HK
    and Letty A. (2002). Assessing the effects on
    Brennan R, Diana H, Stonor RWP, Hoyle MJR, jack-up structures of eccentric installation over
    Cheng C-P, Martin D and Roper R. (2006). In- infilled craters. In: Proc. Int. Conf. Offshore Site
    stalling jackups in punch-through-sensitive clays. Investigation and Geotechnics Diversity and
    OTC 18268. Proc. Offshore Technology Confer- Sustainability. London: SUT, 307324.
    ence, Houston, USA. Kong VW, Cassidy MJ and Gaudin C. (2010).
    Cassidy MJ, Quah CK and Foo KS. (2009). Experi- Spudcan reinstallation near existing footprints.
    mental investigation of the reinstallation of spud- Proc. 7th Int. Conf. on Physical Modelling in
    can footings close to exiting footprints. J. Geo- Geotechnics, Zurich, vol. 2, 10331038.
    technical and Geoenvironmental Engineering Leung CF, Gan CT and Chow YK. (2007). Shear
    135: 474486. strength changes within jack-up spudcan foot-
    Chung SF, Randolph MF and Schneider JA. (2006). prints. Proc. 17th Int. Offshore and Polar Engi-
    Effect of penetration rate on penetrometer resis- neering Conference, Lisbon, vol. 2, 15041509.

    604
    Low HE, Lunne T, Andersen KH, Sjursen MA, Li X
    and Randolph MF. (2010). Estimation of intact
    and remoulded undrained shear strengths from
    penetration tests in soft clays. Gotechnique 60:
    843859.
    Maung UM and Ahmad CKM. (2000). Swiss chees-
    ing to bring in a jack-up rig at Anding location.
    IADC/SPE 62755. Proc. IADC/SPE Asia Pacific
    Drilling Technology, Kuala Lumpur.
    Menzies D and Roper R. (2008). Comparison of
    jackup rig spudcan penetration methods in clay.
    Proc. 40th Offshore Technology Conference,
    Houston, OTC 19545.
    Society of Naval Architects and Marine Engineers
    (SNAME). (2008). Recommended practice for
    site specific assessment of mobile jack-up units. T
    and R Bulletin 5-5A, 1st Edition Rev. 3. New
    Jersey: SNAME.

    605
    606
    DRIVEN AND SUCTION ANCHOR PILES FOR TWO DEEPWATER
    FPSO MOORINGS

    JL Colliat
    Total, Pau, France

    Abstract
    The 5m-diameter driven anchor piles of Site U FPSO platform in 750m of water off Nigeria are currently the
    largest piles ever driven at a deepwater site. The use of driven piles was dictated by the soil conditions, with
    dense sand units interbedded within soft clays and into which suction piles could not penetrate. In the same
    area, suction piles were used for the Site K FPSO in 1300m of water, thus allowing a relevant comparison of
    the two anchor pile options. For both cases, the paper provides a summary of the general site characteristics
    and design methodology, together with comparison of the installation results to predictions.

    1. Introduction
    The paper presents the general site characteristics and
    Best for soft sediments, suction piles have become the pile design methodology applied to both Site U
    the preferred option for the mooring systems of (driven piles) and Site K (suction piles), together with
    floating production storage and offloading (FPSO), the installation predictions and actual results obtained.
    or offloading terminal (OLT), structures at deepwa- Although the water depth at Site U (750m) is almost
    ter sites offshore west Africa (Colliat et al., 2010). half of that at Site K (1300m), similar general soil
    However, they are not suitable for a site where soil conditions (i.e. soft deepwater high plasticity clays)
    layers with high-penetration resistance are present and usage of the same pile diameter make the com-
    near the seafloor. In relation with geological fea- parison between the two pile options appropriate.
    tures, such as pockmarks, gas hydrates, carbonates
    or mass flow deposits, penetration of suction piles 2. Site U Soil Conditions and Driven Piles
    might prove impossible. In this case, driven anchor
    piles may become the best option of anchoring solu- 2.1 General site and soil conditions
    tions for this type of site. At about 100km from the Nigeria shoreline, Site U
    is characterised by the presence of a shale-cored an-
    In the deepwater Nigerian delta, Total Exploration & ticline structure forming a dome-shaped bathymetric
    Production (E&P) Nigeria currently produces oil and high with numerous geohazards comprising fluid
    gas from two fields located in about 750m (Site U) expulsions, pockmarks, gas hydrates, carbonate con-
    and 1300m (Site K) of water, with other fields being cretions, faults and mass flow deposits. Following a
    in their development or exploration phase. The Site K comprehensive geohazard assessment (Adamy et al.,
    FPSO mooring, with 5m-diameter suction piles, was 2011), the FPSO and OLT mooring systems (and
    installed by Saipem in 2008. For Site U FPSO, be- other subsea structures) were positioned at distance
    cause of the risk of penetration refusal of suction piles from such geohazards. However, mass flow deposits
    into medium dense sand units present at shallow could not be avoided as they were found as ran-
    depth, driven piles with the same diameter were domly distributed, several metres thick sand units
    adopted for this mooring. To the authors knowledge, within the clayey sediments (except for the south-
    these anchor piles are the largest diameter piles ever east cluster of FPSO anchors where they are not pre-
    driven at a deepwater site. Specific driving equipment sent).
    was developed by Menck, acting as sub-contractor to
    Saipem in charge of the installation of the Site U Typical of the Gulf of Guinea deepwater sediments
    FPSO mooring system in early 2011. (Colliat et al., 2010), the clay is characterised by a

    607
    plasticity index (Ip) of 8090%; a low effective unit 128mm sheathed spiral strand wire. The unfactored
    weight (J equal to 3.5kN/m3); an organic content of FPSO mooring line load at the seafloor level is equal
    about 5%; and a sensitivity ranging between 3 and 4 to 5200kN and 7800kN for the 100-year storm
    (as measured from laboratory tests or in situ vane squall case, with the intact mooring and with one
    tests). The undrained shear strength increases more line failed, respectively. For the south-east anchor
    or less linearly with depth and the clay has an appar- cluster, the governing damaged mooring case gives a
    ent over-consolidation ratio (AOCR) of about 1.5:2 factored load of 11 500kN, with a mooring line an-
    down to about 20m. This AOCR is attributed to age- gle of 25 at the chain pad eye. For the other three
    ing and possibly micro-structure bonding, not to clusters where sandy mass flow units are potentially
    consolidation stress increase from any past overbur- present, the same governing case corresponds to a
    den pressure. chain angle of 58 at the pad eye. This is because of
    the steeper inverse catenary shape of the chain in re-
    Mass flow deposits were encountered as medium lation to its larger resistance to penetration in the
    dense to dense sand lenses, generally 25m thick sand. Therefore, the much larger vertical loading
    and with a cone penetration test (CPT) resistance component governs the pile capacity and requires a
    ranging between 3MPa and 12MPa (Figure 1). At deeper pile penetration.
    one location in the north-eastern area of the FPSO
    mooring pattern, refusal of the seafloor-based CPT The Site U driven piles were designed as per the
    occurred with a cone resistance of 49MPa at 28m American Petroleum Institute (API) RP 2A-WSD
    depth. A 60m-deep borehole was drilled at this loca- method, using a lower bound undrained shear
    tion, revealing 11m-thick sand with a cone resis- strength profile and a soil-pile adhesion factor of
    tance ranging between 10MPa and 70MPa. Below about 0.65 (value averaged along pile length). The
    the sandy unit, the clay was significantly stiffer and general dimensions of the sixteen 5m-diameter
    highly fractured. driven piles are summarised in Table 1. For Site U,
    12 piles have a required penetration of 34m, and the
    other 4 (south-east cluster) have a penetration of
    27m. The pile length extends 3m above the seafloor
    for accommodating the hammer sleeve and acting as
    driving head with an increased wall thickness of
    60mm (Begnini et al., 2011).

    Table 1: General characteristics of sites and anchor piles

    Site U Driven Site K Suction


    Piles Piles
    Design profile Su = 1.09 z (*) Su = 1.74 + 1 .22 z
    (holding capacity)
    Design profile Su = 1 + 1.30 z (*) Su = 2.18 + 1.58 z
    (installation)
    Anchor pile size D = 5.0m D = 5.0m
    L = 34m & 27m L = 24m
    Padeye elevation (*) 8.0m
    above pile tip 13.6m & 11.6m (*)
    Wall thickness 3550mm
    Submerged weight 4050mm 118t
    Lifting weight 215t & 180t (*) 143t
    260t & 220t (*)
    Factored capacity 11 500kN at 25 12 500kN at 35
    (**)
    Figure 1: Site U CPT cone resistance profiles Installation Position +/-2.5m +/-10m
    tolerances Tilt +/- 5 +/- 6
    2.2 Site U FPSO mooring and driven piles Heading +/-5 +/- 6
    The Site U FPSO mooring system comprises 4 clus- (*) South-east cluster with an all-clay profile and shorter driven piles;
    ters of 4 lines, made of 142mm ground chain and other clusters with sand units at 1017m and 2839m depth

    608
    3. Site K Soil Conditions and Suction Piles level is equal to 6600kN and 8500kN for the 100-
    year storm squall case with the intact mooring and
    3.1 General site and soil conditions with one broken line, respectively. In the governing
    Site K is located at about 200km off the shoreline, in damaged mooring case, the factored load is equal to
    a water depth ranging between 1250m and 1500m. 12 500kN with a mooring line angle of 35 with
    Ultra high-resolution autonomous underwater vehi- horizontal at the chain pad eye.
    cle (AUV) geophysical survey data and 3D explora-
    tion seismic data were used to locally observe fea-
    tures on the seafloor or within the shallow
    sediments. Based on this data, these features mainly
    comprise pockmarks and faults, but the FPSO moor-
    ing pattern spreads over a calm and featureless area.
    Within the FPSO mooring footprint, the soil condi-
    tions are relatively uniform and made of very soft to
    soft normally consolidated organic clays.

    Figure 2 gives typical Site K CPT cone resistance


    profiles in the top 30m of sediments, and Figure 3
    gives undrained shear strength measurements from
    direct simple shear (DSS) tests in the top 20m. The Figure 3: DSS test data and geotechnical design profiles
    geotechnical design profiles shown in Figure 3 com-
    prise a conservative best estimate profile and an up- Both Site K and Site U FPSO vessels and moorings
    per bound one applied for the holding capacity and are certified by Bureau Veritas (BV), with the same
    the penetration analyses, respectively (see Table 1). expected 20-year field lifetime duration. BV re-
    quires the reverse end bearing (REB) or passive suc-
    tion at the tip of suction piles to be limited to the ra-
    tio between the double amplitude cyclic load to the
    total mooring line load. For the Site K FPSO suction
    piles, this corresponds to 25% of the maximum REB
    value. The Site K suction piles were designed in
    general accordance with the recommendations from
    Andersen and Jostad (2002) with a soil-pile adhe-
    sion factor equal to 0.65. The dimensions of the
    twelve 5m-diameter Site K suction piles are summa-
    rised in Table 1.

    4. Installation Operations

    4.1 Site U driven piles


    The Site U FPSO driven piles, fabricated in Nigeria
    and carried on site on a cargo barge, were installed
    in 2011 by the Saipem crane vessel S3000. Each
    pile, taken horizontally from the cargo barge, was
    laid on an upending saddle on S3000 deck by the
    main crane (Figures 4 and 5), and then upended and
    transferred to a heave compensated lowering winch
    on the vessel side. The anchor piles were set on the
    seafloor and self-penetrated in two batches. Under-
    water driving was performed for eight piles in a row,
    Figure 2: Site K CPT cone resistance profiles therefore allowing a reduction of the hammer han-
    dling time.
    3.2 Site K FPSO mooring and suction piles
    This system has four clusters of three lines with As the 5m-diameter Site U piles were the largest di-
    142mm ground chain and 114mm spiral strand wire. ameter piles ever driven at a deepwater site, specific
    The unfactored FPSO mooring line load at seafloor driving equipment was purposely developed by

    609
    Menck. In particular, Menck developed a 3.2m- MHU-750T available as a back-up hammer. It was
    diameter anvil and a 5.2m-diameter adapter ring plate, then predicted that the total number of blows would
    and both were integrated into a 5.2m-diameter ham- be equal to 3000 for the twelve longer Site U FPSO
    mer sleeve bolted onto the MHU-500T hammer body piles and with the MHU-500T hammer operating at
    (Figures 6 and 7). The weight of the sleeve with the 75% of its rated energy.
    anvil and adapter plate is more or less equal to the
    weight of the hammer itself, giving a total weight of
    215 tonnes. However, this development represents a
    relatively straightforward extension of Mencks pre-
    vious experience in driving large mono-piles for off-
    shore wind turbines. For example, Strandgaard and
    Vandenbulcke (2002) describe 3m- and 4.2m-
    diameter piles driven with the same hammer.

    Figure 6: Menck MHU-500T hammer

    Figure 4: Site U FPSO piles on cargo barge and S3000

    Figure 7: MHU-500T hammer on S3000 deck

    The actual pile driving results for the twelve long


    piles are given in Figure 8 and Table 2. (The driving
    results for the 25 FPSO and OLT piles are given in
    Begnini et al., 2011.) Much easier driving conditions
    than predicted are observed, in particular with the
    sand units being hardly detectable. The pile self-
    penetration is equal to or larger than the upper bound
    Figure 5: Site U FPSO pile lifted in upending saddle predicted value, and the actual blow-count is close to
    the lower bound prediction at end of driving.
    The installation contractors drivability assessment
    was based on a soil resistance to driving (SRD) cal- The total number of blows ranges between 760 and
    culated with the Stevens et al. (1982) empirical 1530, i.e. between 25% and 50% of the expected
    method, which assumes a clay sensitivity of 2 (i.e. 3000 blows, even with a driving energy lower than
    twice less than that measured on Site U clay sam- originally planned, i.e. 4050% of the hammer rated
    ples, see section 2.1) and with the lower bound SRD energy versus 75% assumed in the drivability as-
    considered to be extremely unlikely. From the es- sessment. Note that the peak blow-counts at the start
    timated SRD, a MHU-500T underwater hydraulic of driving correspond to the hammer operating with
    hammer was defined as the primary hammer, with a low driving energy (15%) in single-blow mode

    610
    without the presence of sand, and that some piles
    experienced free-running after a few blows.

    4.2 Calculation of Site U soil-pile adhesion factor


    For each hammer blow, the actual driving energy
    applied is available from the real-time hammer
    monitoring system, which is used to estimate the ac-
    tual SRD from GRLWEAP pile driving simulations.
    The pseudo-static, or short-term, soil-pile adhesion
    factor during driving is then back-calculated from
    the actual SRD, thus allowing a comparison with the
    static, or long-term design value.

    Table 2: Installation predictions compared to actual results


    Predictions Actual Results
    Site U driven piles
    Self penetration 11.0m * to 20.0m 14.3m to 21.5m
    Final blow rate 1851blows/25cm 2035bl/25cm
    Total blow-count 1902910 blows** 7601530
    blows***
    Site K suction
    piles
    Self penetration 9.615.0m 14.715.9m
    Final suction 110253kPa 100137kPa
    * When sand is present at shallow depth
    ** Driving energy of MHU-500T equal to 35-75%
    *** Driving energy of MHU-500T equal to 2550%
    Figure 8: Installation results for Site U driven piles

    In the 2534m depth range (i.e. in continuous driv- 4.3 Site K suction piles
    ing condition with the driving energy constant), the The Site K FPSO suction piles, also fabricated in
    average blow-count increases from 10 Nigeria and carried on-site onto a cargo barge, were
    20blows/25cm, to 2030blows/25cm (see Figure 8). installed in 2008 by the Saipem Field Development
    With the MHU-500T hammer operated at an average Ship (FDS). The initial installation steps were simi-
    driving energy of 40%, this corresponds to the SRD lar to that for the Site U driven piles (see section
    increasing from 57MN at 25m, to 711MN at 34m 4.1). The suction penetration phase was performed
    depth. This is in agreement with the lower bound immediately after completion of the pile self-weight
    SRD prediction for an all-clay soil profile. Consider- penetration. The results of the installation operations
    ing an average undrained shear strength profile, the are summarised in Table 2 and Figure 9, where the
    back-calculated average soil-pile adhesion factor actual results obtained are compared to the installa-
    ranges between 0.30 and 0.45, which is 46% to 70% tion prediction. The self-weight penetration ranges
    of the original design value of 0.65. between 14.7m and 15.9m, which is close to the up-
    per bound prediction. At the final penetration of
    The factor also corresponds to a sensitivity of the 24m, the suction under-pressure ranges between
    clay two to three times greater than originally as- 100kPa and 137kPa, which is close to the lower
    sumed. Therefore, St equals 56 instead of 3 to 4 bound prediction. These two results are in good
    measured in the laboratory, or St equals 2 as is as- agreement with previous installation experiences
    sumed when calculating the lower bound SRD with from several deep-water sites of the Gulf of Guinea
    the Stevens method. The lower bound Site U SRD (Colliat et al., 2010).
    and very low blow-counts would have been cor-
    rectly predicted using this larger clay sensitivity 5. Conclusion
    value in combination with less conservative parame-
    ters in the pile driving simulations. For example, the The 5m-diameter and 2734m-long driven anchor
    Roussel (1979) side damping values of 0.10 piles for the Site U FPSO mooring in 750m of water
    0.20s/m could have been used, as recommended by off Nigeria are currently the largest piles ever driven
    Stevens et al. (1982), instead of the 0.65s/m value at a deepwater site. However, the technology em-
    recommended in the GRLWEAP manual. ployed only represents an extension of previous ex-

    611
    perience in driving large-diameter monopiles for off- cedure and operations. A more accurate drivability as-
    shore wind turbines in shallow water. Even though sessment could have been obtained by using a greater
    the driven pile option was dictated by the site soil clay sensitivity, such as St = 5 to 6, instead of 3 to 4
    conditions with some inevitable uncertainties, Total estimated from laboratory tests on soil samples, or St
    E&P Nigeria strongly supported this solution with = 2 as is assumed when calculating the lower bound
    confidence in the operation success. The experience SRD with the Stevens et al. (1982) method. Consider-
    gained may open the way to future applications of ing a lower sensitivity than actual for the deepwater
    large-diameter driven piles at other deep-water sites. Gulf of Guinea clays is believed to be the reason for
    under-predicting the self-weight penetration for both
    suction piles and driven piles.

    Acknowledgments

    The authors thank Total E&P Nigeria for permission


    to present the information contained in this paper.
    The authors also wish to acknowledge the contribu-
    tions of Saipem and Menck for the offshore installa-
    tion operations performed from the crane vessels
    S3000 and FDS, respectively, for Sites U and K.

    References

    Adamy J, Unterseh S, Grimaud S, Colliat-Dangus JL


    and Lanfumey V. (2011). An example of tech-
    nologies and methodology applied to deep-water
    geohazard assessment offshore Nigeria. In: OTC
    21727. Proc. Offshore Tech. Conf., Houston, USA.
    American Petroleum Institute (API). (2000). RP 2A-
    WSD. Planning, designing and constructing fixed
    structures Working stress design. Washington,
    DC: American Petroleum Institute.
    Andersen KH and Jostad HP. (2002). Shear strength
    along outside wall of suction anchors after instal-
    lation. Proc. Int. Seminar on Offshore and Polar
    Figure 9: Installation results for Site K suction piles
    Engineering, ISOPE 2002-PCW-02, Kyushu.
    Begnini M, Jean O, Hippe F, Bololanik L, Fatica G
    One drawback for the 5m-diameter driven piles is and Jacquin Y. (2011). First experience of deep-
    that the driving equipment needed for such a deep- water driving of very large diameter piles offshore
    water installation requires a large vessel deck area Nigeria: an alternative to traditional suction instal-
    and high lifting capability when, in contrast, the in- lation techniques for sites with difficult geotech-
    stallation of suction piles can be done from a smaller nical conditions. Proc. Deep Offshore Technology
    naval support. Handling the MHU-500T hammer Conference, New Orleans.
    with its 5.2m-diameter bottom sleeve proved to be Colliat JL, Dendani H, Puech A and Nauroy JF.
    the most delicate operation during site works. How- (2010). Gulf of Guinea deepwater sediments: geo-
    ever, the difference in installation time between the technical properties, design issues and installation
    two pile options is not critical as long as the hammer experiences. Proc. Int. Symposium on Frontiers in
    handling and over-boarding operations can be mini- Offshore Geotechnics, ISFOG II, Perth.
    mised. This was achieved by installing the Site U Roussel HJ. (1979). Pile driving analysis of large di-
    anchor piles by batch driving of two groups of ameter high capacity offshore pipe piles. Ph.D.
    Thesis, Department of Civil Engineering. New Or-
    eight piles, after it was checked that the temporary
    leans: Tulane University.
    stability of the piles on the seafloor was not an issue. Stevens RS, Wiltsie EA and Turton TH. (1982).
    More details about the installation operations and Evaluating pile driving for hard clay, very dense
    times are provided in Begnini et al. (2011). sand and rock. OTC 4205. Proc. Offshore Tech.
    Conf., Houston, USA.
    The installation prediction for the Site U driven piles Strandgaard T and Vandenbulcke L. (2002). Driving
    was much more conservative than that for the Site K monopiles into glacial till. Proc. Wind Power
    suction piles, but had no effect on the installation pro- Europe Conference. London: IBC.

    612
    GEOTECHNICAL DESIGN AND INSTALLATION OF SUCTION
    ANCHORS FOR THE SKARV FPSO, OFFSHORE NORWAY
    TE Langford and E Solhjell
    Norwegian Geotechnical Institute, Oslo, Norway
    K Hampson
    Geotechnical Discipline Lead, BP, Sunbury, UK
    L Hondebrink
    Offshore Engineer, BP, Fornebu, Norway

    Abstract
    The Skarv floating production storage and offloading (FPSO) vessel is the key feature of the new Skarv field
    in the Norwegian Sea, located in the Haltenbanken area. The field includes 16 wells across 5 subsea tem-
    plates, with reserves of 16.8 million Sm3 of oil and 48.3 billion Sm3 of gas. The vessel is moored using 15
    suction anchors, placed in 3 clusters of 5. Due to the complex geological history, soil conditions vary across
    the site, with hard glaciomarine sediments and till overlain by soft marine clay. The suction anchor design ap-
    proach was robust, with a limited number of geometries to allow flexibility during the installation phase. Fi-
    nite element modelling of each anchors holding capacity, as well as careful prediction of the required instal-
    lation under-pressures, allowed the anchor geometries to be grouped in this way. The successful installation
    of the suction anchors was completed early 2011 to allow the hook-up of the FPSO as planned, with produc-
    tion due to start in 2012. This paper describes details of the anchor design and installation process, and out-
    lines how this anchor type can be used successfully in challenging soil conditions.

    1. Introduction

    1.1 Background on Skarv field


    The Skarv field development is located in the Nor-
    wegian Sea close to the Arctic Circle, 210km off the
    coast of Norway. The development consists of one
    large floating production, storage and offloading
    (FPSO) vessel and five subsea templates (see Figure
    1). The water depth at the FPSO location is about
    360m, and it is due to start production in 2012. Re-
    serves are around 17 million Sm3 of oil and conden-
    sate, and 48 billion Sm3 of rich gas. The vessel is
    300m long and 50m wide, with a capacity of 15 mil- Figure 1: Skarv FPSO on location
    lion Sm3 of gas and 80 000 barrels of oil per day.
    Total storage capacity is 875 000 barrels of oil. Once 30mm
    production starts, gas export will be provided pl.

    through a separate 80km gas pipeline via the sgard


    transport system. Oil export will take place via the 50mm
    pl.
    Skarv FPSO to shuttle tankers at the field.
    14.5m

    12.5m

    9.5m

    1.2 Details of mooring system 70mm


    pl.
    The FPSO is moored using 15 suction anchors,
    4.0m

    3.5m

    3.0m

    40mm
    placed in 3 clusters of 5. The anchors all have the pl.

    same diameter and are optimised for the soil condi- 5.0m 5.0m 5.0m

    tions at each anchor location by including three dif- Figure 2: Anchor geometries for Skarv FPSO
    ferent anchor skirt lengths in the design. Figure 2
    shows the three anchor geometries as installed at the The skirts are designed with a chamfered transition
    Skarv field. between different wall thicknesses and without in-

    613
    ternal stiffeners. The anchor top is domed to allow Holocene marine facies overlying a Weichselian
    for high installation under-pressures relative to the glaciomarine facies. Beneath this, the Langgrunna
    ambient hydrostatic pressure. Figure 3 shows the Formation is an overconsolidated till consisting of
    layout of the mooring lines for the FPSO, with a slightly sandy clay with fine to medium gravel and
    spacing of 5 between lines in each cluster. local boulders.

    15(9.5m) Northeast 2.2 Site investigation


    14(9.5m)
    13(12.5m) N 65 Cluster
    1(12.5m) The first phase of the offshore geotechnical site in-
    12(12.5m)
    11(12.5m)
    2(12.5m)
    3(9.5m)
    vestigation was performed in late 2006 from the MV
    Northwest
    4(14.5m) Bucentaur. This stage focused on allowing for the
    5(14.5m)
    Cluster selection of a suitable anchoring system. The results
    from the geotechnical boreholes revealed locally
    FPSO very stiff deposits, which could pose a challenge in
    terms of the installation resistance. Nonetheless, pre-
    liminary analyses showed that suction anchors
    120
    120
    would be feasible. The second phase of the site in-
    Valuesinbracketsshow vestigation was performed early the following year,
    designskirtlength with a comprehensive laboratory testing programme
    tailored to the suction anchor design. Geotechnical
    boreholes were used in both phases to collect sam-
    10(14.5m)

    South
    9(14.5m)
    8(14.5m)
    7(14.5m)
    6(14.5m)

    Cluster
    ples and perform downhole cone penetration tests
    (CPT). The presence of cobbles and boulders in the
    Figure 3: Layout of mooring lines for Skarv FPSO values in glacio-marine units resulted in some boreholes being
    brackets show design skirt lengths terminated early and re-drills being performed in or-
    der to reach target penetration.
    2. Ground Conditions at Site
    3. Geotechnical Design Parameters
    2.1 Geological setting
    The Skarv development is located to the north of the 3.1 In situ testing
    Haltenbanken in the Norwegian Sea. The seabed has Downhole CPTs were performed at each anchor lo-
    been subject to a complex geological history, and is cation in order to capture the variability at the site.
    covered in iceberg plough marks, as highlighted in These results were used together with anisotro-
    Figure 4. pically consolidated undrained triaxial compression
    (CAUC) test results to define site-specific Nkt cone
    factors, used to define reference undrained strength
    design profiles for each anchor. The results exhib-
     55
    44
    22 11
    ited scatter, which is a common observation for the
    33
    Haltenbanken area, due to a combination of the
    complex geological history and sample disturbance.
    Based on the site-specific test results and earlier ex-
    perience with the same geological units, a value of
     1100 99 88 77 66
    Nkt = 16 was applied to the design for all soil units.
    Figure 5 shows cone resistance data for the differ-
    ent anchor locations. The variability in cone resis-
    tance was the main reason for optimising the an-
    chor geometry and using three different skirt
     1155
    1144
    lengths. The local depression for location NE-3
    1133
    1122 1111 (also shown in Figure 4) is due to iceberg erosion.
    The weaker material near the seabed was removed,
    revealing stronger material at a shallower depth and
    allowing a shorter anchor to provide the required
    Figure 4: Seabed views of anchor clusters, with viewpoint to- capacity. Figure 5 also shows local peaks in the
    wards FPSO centre, from (top) north-east, (middle) south and
    (bottom) north-west clusters piezocone penetration test (CPTU) data, which are
    due to numerous laminations (<0.1m) and inclu-
    The soils near the seabed consist of soft to stiff, low sions of sand and gravel. These peaks are limited to
    plasticity, sandy clays with frequent inclusions of 6MPa due to the scale of the graph, however, the
    gravel. Two main geological formations were rele- measured cone resistance was often more than
    vant to the anchor design. From seabed level, the 20MPa. Characteristic properties for the different
    Kleppe Senior Formation consists of a more recent units are given in Table 1.

    614
    Table 1: Characteristic geotechnical parameters for geological units at Skarv anchor locations
    Water con- Plasticity Cone re- Undrained shear Sensitiv-
    Unit Deposition Unit Weight Activity
    tent Index sistance strength ity
    () () (kN/m3) (%) (%) () (MPa) (kPa) ()
    Kleppe Senior (Ia) Marine 20.6 22.4 13.9 0.53 0.10.5 530 2.02.5
    Kleppe Senior (Ib) Marine 21.1 20.5 15.6 0.56 0.21.5 1090 2.02.5
    Kleppe Senior (Ic) Glacio-marine 21.5 18.2 16.1 0.62 0.62.8 40180 1.41.8
    Langgrunna (II) Glacio-marine 22.0 25.6 15.5 0.60 1.05.5 60340 1.41.8

    Figure 5: Cone resistance from CPTU, relative to seabed level. The anchor number and design skirt length for each location are
    shown below each graph. Values above 6MPa are clipped in order to focus on the cone tip response in the clay matrix, where the
    local peaks are due to inclusions of gravel or cobbles

    3.2 Laboratory testing x controlled rate of strain (CRS) oedometer


    Basic and advanced geotechnical laboratory testing tests, used to investigate the stress history of
    was performed during 2007 to provide parameters the soil units;
    for the geotechnical design. The laboratory testing x CAUC compression tests, used to correlate
    phase involved close cooperation between the labo- with CPTU data in order to define the Nkt
    ratory staff and geotechnical designer. This helped
    cone factor and provide a reference
    ensured that the correct consolidation stresses and
    shear stress levels for the cyclic tests were provided. undrained shear strength profile;
    The following tests were included: x CAU triaxial extension and direct simple
    shear (DSS) tests, used to investigate
    x index testing on the different soil units, to undrained strength anisotropy for the soil
    characterise fundamental properties; units at different stress levels;

    615
    x cyclic CAUC triaxial and DSS tests, used to As part of the Skarv project, a number of cyclic tri-
    investigate the cyclic stress-strain behaviour axial and DSS tests were performed to investigate
    of the soils; and the cyclic response of the soil. Examples from the
    x thixotropy tests, used to investigate the set- cyclic triaxial test results are shown in Figure 7.
    up behaviour at the skirt-soil interface.
    (a)
    The CRS oedometer tests revealed lightly to heavily
    overconsolidated soils at the site, depending on the
    geological unit. These results were used, together
    with the measurements of unit weight, to help spec-
    ify the consolidation stresses for the CAU triaxial
    and DSS tests. The CRS tests were also used to
    evaluate sample disturbance from the change in
    voids ratio up to the in situ stress level.

    3.3 Static undrained shear strength and anisotropy


    The static CAUC triaxial tests were used to specify
    the cone factor of Nkt = 16 (described earlier). This
    was then used to define profiles of the reference
    compressive triaxial strength. However, the (b)
    undrained shear strength around the soil-anchor fail-
    ure mechanism varied due to material anisotropy and
    stress orientation. Anisotropy was investigated for a
    number of samples across a range of normalised
    strengths, given by su/Vvc. The results gave recom-
    mended static undrained strength anisotropy factors
    suE/suC = 0.6 and suDSS/suC = 0.8.

    3.4 Cyclic shear strength


    Wave loading for offshore floating structures is cy-
    clic in nature. The behaviour of soils due to these
    cyclic loads results in beneficial effects caused by
    the rate effects, as well as gradual degradation of the
    soil strength and stiffness from fatigue. Andersen Figure 7: Cyclic CAU triaxial test results for overconsolida-
    (2009) provides a description of how cyclic loading tion ration (OCR) of (a) ~1 and (b) ~4, including comparison
    may be accounted for in design, and how laboratory with Drammen Clay contours (dashed lines). Labels show
    testing may be specified and interpreted. number of cycles to failure, average shear strain and cyclic
    shear strain
    The cyclic shear strength is defined as the sum of the
    average and cyclic shear stresses that cause failure In each case, a set of cyclic contours were con-
    (excessive strain) during the specified number of structed, and Figure 7 shows how these contours
    load cycles, that is, Wf,cy = (Wa + Wcy)f. The cyclic shear compare to those for well-known Drammen clay.
    strength is a function of loading, the average shear The cyclic stress-strain data for different numbers of
    stress and the number of cycles. Figure 6 outlines cycles was then used, together with load history
    the cyclic stress-strain behaviour of a soil element. data, to perform strain accumulation analyses. These
    analyses resulted in an equivalent number of cycles
    stressW

    to failure, which was in turn used to define the cyclic


    Shear

    Cycle 1 Cycle N
    shear strength. A range of cyclic shear strengths was
    obtained for different levels of overconsolidation,
    Wcy and for the different test types, with a lower bound
    Wa
    cyclic strength factor of Wf,cy/su = 1.15.
    W0
    During installation, the soil in the interface zone
    Jp Shear
    close to the skirts was remoulded. This interface
    strainJ zone was then subject to set-up. These effects were
    Jcy Jcy captured by multiplying the in situ undrained shear
    Figure 6: Stress-strain behaviour of soil element during cyclic strength by a set-up factor. This factor increased
    loading (based on Andersen, 2009) with time due to a combination of the following:

    616
    x thixotropy (gain in shear strength with time 4.2 Chain configuration
    under no volume change);  The profile of the embedded chain, and thereby load
    x dissipation of excess pore pressures (consoli- angle and magnitude at pad eye, were calculated us-
    dation); and ing the Norwegian Geotechnical Institute (NGI)
    x increased horizontal normal effective stress. limit equilibrium software, based on the approach
    outlined by Vivatrat et al. (1982). The model was
    Thixotropy test results are shown in Figure 8, to- made on the assumption that the mooring line has
    gether with trends based on Andersen and Jostad never been subject to a higher load than that ana-
    (2002). The thixotropy strength factor (Ct) is defined lysed, meaning a combination of convex and con-
    as the shear strength of a sample at a given time in- cave curves would not be possible. Low and high es-
    terval, divided by the shear strength of the original timate design profiles were specified for either
    sample directly after remoulding. individual anchors, or sub-groups of anchors, to give
    an estimated range of embedded chain profiles. The
    cyclic strength factor of Wf,cy/su = 1.15 was included.
    The low estimate profiles allowed the chain to em-
    bed deeper in the soil, leading to a shallower pad eye
    angle. The high estimate profiles caused the em-
    bedment profile to be steeper and induce a larger
    relative vertical load component at the pad eye.

    Analyses were performed for the specified maxi-


    mum design loads for both the ULS and ALS cases.
    They were also performed for the installation pre-
    Figure 8: Range of thixotropy data for Skarv location given by tension loads, in order to estimate the eventual
    red dots. Green shaded zone indicates trend based on Ander- change in embedment due to storm loading. The
    sen and Jostad (2002) chain had a link length of 912mm and segment
    thickness of 152mm.
    4. Geotechnical Design
    4.3 Holding capacity
    4.1 Loading data and design codes The holding capacity was evaluated using the 2D
    Loads were supplied for various accidental limit version of the NGI finite element program, Bifurc,
    state (ALS) and ultimate limit state (ULS) cases. including calibration factors for 3D effects. A com-
    The governing cases were given as follows: parison of analyses performed using Bifurc 2D with
    x ALS case: 100 year load, thrusters not opera- various 3D finite element models is reported in An-
    tional, all lines operational, unfactored seabed dersen et al. (2005). The analyses considered the cy-
    load = 10.5MN clic undrained shear strength for the ULS and ALS
    design load histories, including anisotropy based on
    x ULS case: 100 year storm, thrusters opera-
    the static and cyclic testing. The anchors were mod-
    tional, all lines operational, unfactored seabed
    elled as open skirted structures.
    load = 5.1MN.
    Cyclic load histories were supplied for both the ALS The properties for the skirt soil interfaces were mod-
    and ULS design cases. The geotechnical design was elled according to recommendations given by An-
    checked using factors given by DNV-OS-C101 (Det dersen and Jostad (2002, 2004), allowing for
    Norske Veritas (DNV), 2011) and ISO 19901-7 (In- thixotropy and reconsolidation effects. To avoid the
    ternational Organization for Standardization (ISO), development of a tension crack behind the rear of
    2005). Within the approach given by DNV, the loads the anchor, the design required the development of
    are split into their mean and dynamic components positive normal stresses at seabed and rotation of the
    with different load factors at seabed level, before anchor top away from the direction of loading. The
    calculating the embedded chain profile and net pad design basis included a maximum installation toler-
    ance of 7.5 for misorientation around the anchors
    eye load. The soil resistance in the holding capacity
    vertical axis and tilt, with respect to the vertical plane.
    analyses then includes a separate material factor. The tilt is inputted directly in the finite element
    Within the approach given by ISO, the total unfac- model, whereas misorientation is accounted for by a
    tored load is applied directly at seabed level into the reduction in the outer skirt-soil interface strength.
    embedded chain analyses. The vertical and horizon-
    tal components of the pad eye loads are then fac- The ALS load case was found to be governing. The
    tored separately as input to the holding capacity lowest capacity was generally found for the case
    analyses. No additional material factor is applied. with positive tilt. This is where the anchor top tilts

    617
    towards the FPSO centre and pad eye loads because shore base at Sandnessjen, Norway, and sea-
    of the high estimate shear strength profile, thereby fastened on the back deck. NGI provided on-site as-
    giving the largest vertical uplift force component. sistance to BP during the installation campaign. The
    suction pump was mounted on the top of each an-
    4.4 Input to structural design chor and observed by a remotely operated vehicle
    The structural designer was supplied with units load (ROV) during installation. The under-pressure, tilt,
    cases to be used for in-place analyses of the anchors, misorientation, penetration and pump flow rate were
    based on stress distributions resulting from the hold- recorded to provide a detailed installation log. The
    ing capacity analyses. Simplified soil springs were installation arrangement is shown in Figure 9.
    provided to evaluate buckling for the installation
    phase.

    4.5 Prediction of penetration resistance


    The project team had identified the high strength and
    variability of the soil units at some locations as a
    major challenge for installation of suction anchors.
    However, preliminary calculations during the first
    phase of the site investigation estimated that the in-
    stallation under-pressure was unlikely to exceed 10
    bar. This was less than the maximum client-
    specified value of 15 bar. These calculations were
    refined during the detailed design phase in order to
    provide low and high estimate profiles of the re-
    quired under-pressure. The analyses also provided
    corresponding profiles for the maximum allowable
    under-pressure without causing an uplift failure of
    the internal soil plug. Figure 9: Installation of anchors from Boa Deep C

    The calculation of skirt-soil resistance is relatively 5.2 Anchor penetration


    simple for a clay profile and for flush anchor geome- The recorded under-pressures were compared with
    try. The main resistance is provided by friction along the predictions provided during the detailed design
    the skirts, based on an estimate of the remoulded soil stage. Results for each anchor location are shown in
    strength. As there was large scatter in estimates of Figure 10. High estimate predictions were made for
    remoulded strength from the soil samples obtained the anchor locations based on a generic value of sen-
    during the site investigation, previous experience sitivity (St = 1.8) and upper bound DSS undrained
    with installation of anchors in similar conditions was shear strength profiles for sub-groups of anchors.
    used as guidance in the choice of soil parameters.
    The unit end bearing resistance used the average in- Later in the project, refined best estimate profiles
    tact undrained shear strength at the annulus, multi- were provided based on individual best-estimate
    plied by a bearing capacity factor (Nc). In order to shear strength profiles. Furthermore, the sensitivity
    account for the potential effects of boulder impeding for the north-east and north-west clusters was re-
    the penetration, an additional end bearing compo- duced to 1.4. The range of predicted profiles cap-
    nent was included to allow for two 0.5m-diameter tures the measured values well. For lines 3 and 12,
    boulders at the tip of each anchor. The calculations pumping was performed in a cyclic fashion to allow
    performed during the detailed design indicated a continued penetration. The designer proposed this
    range of 812 bar for the high estimate required un- approach in order to avoid sustained, high under-
    der-pressure. The corresponding low estimates sug- pressures with a low rate of penetration. From an
    gested a range of 46 bar. operational perspective, it is challenging to sustain a
    high rate of flow with a high under-pressure because
    5. Installation of the characteristics of the pump flow-pressure
    curves. This means that the rate of penetration de-
    5.1 Offshore operations creases substantially with depth. For each cycle, the
    The anchor installation was started in September anchors penetrated deeper into the seabed. For loca-
    2010 using the vessel Boa Deep C, operated by Aker tions where penetration did not reach the target val-
    Marine Contractors (AMC). The anchors were ues, quick checks were performed to verify the hold-
    loaded in groups onto the installation vessel from the ing capacity for the measured tilt and misorientation.

    618
    Depth below seafloor (m)
    Depth below seafloor (m)
    Depth below seafloor (m)

    Figure 10: Predicted and measured installation under-pressures for Skarv anchor locations. Green and red lines
    show generic low and high estimate predictions; dashed lines show updated best estimate predictions; and blue lines
    show measured data
    5.3 Verification of in-place holding capacity project applied the results from high-quality site in-
    The holding capacity analyses were repeated for vestigation and laboratory testing into state-of-the-
    each anchor location based on the as-built anchor art geotechnical analyses in order to provide an op-
    data (i.e. penetration depth, tilt and misorientation). timised design.
    In some cases, the penetration achieved during in-
    stallation was less than the target value. However, Acknowledgments
    reductions in tilt and misorientation compared to the
    stringent design tolerance values allowed an addi- The authors would like to acknowledge work per-
    tional safety margin of at least 1.05 in all cases. For formed by SEMAR, Aker Marine Contractors, DNV
    locations where the anchors were installed well and Fugro within the geotechnical aspects of the
    within the design tolerance values, the additional project. Knut Andersen, Tom Lunne and Hans Jr-
    safety margin was in excess of 1.50. gen Pederstad of NGI provided assistance during the
    design phase. Pasquale Carotenuto, Morten Saue and
    6. Conclusions Amir Rahim of NGI were also involved in the off-
    shore installation phase.
    This paper has outlined the geotechnical aspects be-
    hind the successful design and installation of suction References
    anchors for the Skarv FPSO. The high strength and
    variability of the soils at the site created a challeng- Andersen KH. (2009). Bearing capacity under cyclic
    ing environment for suction anchors. However, the loading, offshore, along the coast and on land.

    619
    The 21st Bjerrum Lecture, presented in Oslo 23
    November. Canadian Geotechnical Journal 46:
    513535.
    Andersen KH and Jostad HP. (2002). Shear strength
    along outside wall of suction anchors in clay after
    installation. ISOPE, Kyushu, Japan, 2631 May.
    Andersen KH and Jostad HP. (2004) Shear Strength
    along Inside of Suction Anchor Skirt Wall in
    Clay. OTC 16844. Houston, USA.
    Andersen KH, Murff JD, Randolph MF, Clukey E,
    Erbrich C, Jostad HP, Hansen B, Aubeny C,
    Sharma P and Supachawarote C. (2005). Suction
    anchors for deepwater applications. In:
    Gourvenec S and Cassidy M. (eds.). Proc. Int.
    Symp. Frontiers in Offshore Geotechnics, ISFOG
    2005. London: Taylor and Francis.
    Det Norske Veritas (DNV). (2011). Offshore Stan-
    dard DNV-OS-C101. Design of offshore steel
    structures, general (LRFD method). Hvik, Nor-
    way: DNV.
    International Organization for Standardization
    (ISO). (2005). ISO 19901-7. Petroleum and natu-
    ral gas industries -- Specific requirements for off-
    shore structures -- Part 7: Stationkeeping systems
    for floating offshore structures and mobile off-
    shore units. Geneva: ISO.
    Vivatrat V, Valent PJ and Ponterio AA. (1982). The
    influence of Chain Friction on Anchor Pile De-
    sign. OTC 4178. Houston, USA.

    620
    FIELD TESTING OF A REDUCED SCALE DYNAMICALLY
    EMBEDDED PLATE ANCHOR

    AP Blake and CD OLoughlin


    Centre for Offshore Foundation Systems, University of Western Australia, Crawley, Australia

    Abstract
    The dynamically embedded plate anchor (DEPLA) is a rocket-shaped anchor that penetrates to a target depth
    in the seabed by using kinetic energy obtained through free fall and by the anchors self-weight. After em-
    bedment, the central shaft is retrieved leaving the anchor flukes vertically embedded in the seabed. The flukes
    constitute the load bearing element as a plate anchor. This paper presents initial field data from a series of
    tests using a 1:20 reduced scale anchor in a lake underlain by very soft clay. Results indicate that the DEPLA
    exhibits similar behaviour to other dynamically installed anchors during installation, but with much higher
    capacities, up to 27 times the dry weight of the anchor.

    1. Introduction

    Depletion of oil and gas deposits in shallow waters


    (<500m) has required the exploration and develop-
    ment of reserves in ultra-deep waters (15003000m)
    (Colliat, 2002). Floating structures are utilised in
    deep water, as it is not feasible to use fixed drilling
    and production platforms. Deepwater installations
    are typically moored using vertical, taut leg or semi-
    taut leg mooring systems. These systems are de-
    signed to have high angles of inclination with the
    mudline (up to 90 in the case of vertical mooring
    systems). Installation costs of conventional anchor-
    ing systems are highly dependent on water depth
    (Richardson et al., 2005). Thus deepwater mooring
    systems require anchors that can sustain significant
    components of vertical load, while maintaining in-
    stallation costs at a reasonable level (Ehlers et al.,
    2004).

    OLoughlin et al. (2012) describe a new anchoring


    system referred to as the dynamically embedded
    plate anchor (DEPLA). This is a hybrid anchor sys-
    tem that combines the advantages of vertically load Figure 1: DEPLA concept
    anchors (that sustain significant vertical load) and
    dynamically installed anchors (requiring no external A stop cap at the upper end of the follower prevents
    energy source or mechanical operation during instal- the latter from falling through the DEPLA sleeve,
    lation). The DEPLA is a rocket- or dart-shaped an- and a shear pin connects the flukes to the follower.
    chor that comprises a removable central shaft (or After release from a designated height above the
    follower) that may be fully or partially solid and a seabed (typically <100m), the DEPLA penetrates to
    set of four flukes (Figure 1). a target depth in the seabed by the kinetic energy ob-

    621
    tained through free fall and the self-weight of the OLoughlin et al. (2012) presented results from a se-
    anchor. After embedment, the follower line is ten- ries of centrifuge tests that verified the DEPLA con-
    sioned, which causes the shear pin to part. This al- cept by modelling each stage of operation: anchor
    lows the follower to be retrieved for the next instal- installation, follower recovery, anchor keying and
    lation, while leaving the anchor flukes vertically pullout. This was followed by a series of field tests
    embedded in the seabed. These embedded anchor devised to assess anchor performance at various
    flukes constitute the load bearing element as a plate scales. The focus of this paper is on the field tests
    anchor. A mooring line attached to the embedded conducted in a lake underlain by soft clay using a
    flukes is then tensioned, causing the flukes to rotate, 1:20 reduced scale DEPLA.
    or key, to an orientation that is perpendicular to the
    direction of loading. In this way, the maximum pro- 2. Experimental Programme
    jected area is presented in the direction of loading,
    ensuring that maximum anchor capacity is achiev- 2.1 Model anchors
    able through bearing resistance. The installation and The DEPLA (Figure 4) was modelled at a reduced
    keying processes are summarised in Figures 2 and 3, scale of 1:20 and fabricated from mild steel. The
    respectively. 1:20 reduced scale infers a full-scale anchor (or fol-
    lower) length of 15m, although it is envisaged that
    smaller full-scale anchors would be sufficient for
    most applications. The follower length (Lf) and
    diameter (Df) were 750mm and 60mm, respectively.
    The tip was conical with a length (Ltip) of 50mm,
    and the mass of the follower (mf) was 14.8kg. The
    follower was partially solid, with a 185mm (42mm
    diameter) hollow shaft along its longitudinal axis,
    starting below the stop cap. This void accommo-
    dated anchor instrumentation that measured anchor
    acceleration, tilt and rotation during free fall in wa-
    ter and embedment in soil. Interpretation of the data
    is ongoing (at the time of writing) and will be re-
    ported elsewhere at a later date.

    The circular flukes were fabricated from 4.5mm-


    thick mild steel (i.e. t = 4.5mm), with a fluke diame-
    ter (D) of 300mm and sleeve height (Hs) of 290mm.
    The mass of the plate anchor (sleeve and flukes)
    (mp) was 5.5kg. The pad-eye eccentricity (e)
    Figure 2: DEPLA installation equalled 125mm, giving an eccentricity ratio (e/D)
    of 0.42. Dynaline Max 12mm-diameter rope was
    used for deploying the DEPLA (and hence retrieving
    the follower) and as the mooring line. This rope is
    made from high-modulus polyethylene and was se-
    lected because of its flexibility (compared with wire
    rope), high tensile strength (1200MPa) and resis-
    tance to stretching (<5% at 100% load).

    2.2 Test site


    Lower Lough Erne is a glacial lake located in
    County Fermanagh, Northern Ireland (see Figure 5).
    Field testing was conducted on the western side of
    the lake in water depths of up to 7.6m. At the test
    Figure 3: DEPLA keying process: (1) installed through self-
    weight and kinetic energy obtained during free fall; (2) fol-
    site, the lakebed is extremely soft to depths of at
    lower removed and re-used, and shear pin connection parts least 8m (Colreavy et al., 2012), and the superficial
    leaving flukes embedded in soil; (3) flukes keyed into position; deposits are principally underlain by Carboniferous
    and (4) final orientation under load limestone (Gibson, 1998).

    622
    Table 1: Soil properties (Colreavy et al., 2012)
    Property Symbol Unit Value
    Moisture content MC % 270520
    Plastic limit PL % 130180
    Liquid limit LL % 230315
    Plasticity index PI % 230315
    Unit weight kN/m3 10.5

    Figure 4: 1:20 reduced scale model DEPLA

    Figure 6: Typical undrained shear strength profiles at the test


    Test area site

    2.4 Testing setup and procedure


    Tests were carried out from the deck of a self-
    propelled barge (Figure 7) equipped with a 13t
    winch and 2t crane. During testing, the barge was
    Lough Erne kept on station using three 250kg gravity anchors.
    Load was measured using a 500kg tension load cell
    connected in series with the winch cable and re-
    trieval line. Displacement was monitored using a
    string potentiometer.

    Figure 5: Test site location

    2.3 Soil properties


    According to Colreavy et al. (2012), the upper 2.5m
    of the lakebed at the testing site is extremely soft
    with index values outside the range typically associ-
    ated with soft clays (see Table 1). Colreavy et al.
    (2012) also present penetration data from T-bar and
    piezoball tests conducted at the testing site to depths
    of up to 8m. Figure 6 shows the upper 2m of these
    penetration profiles, as this is the depth of interest
    for the anchor tests using the 750mm DEPLA. The
    data shown in Figure 6 have been interpreted from Figure 7: Self propelled barge
    the net penetration data reported by Colreavy et al.
    (2012) using the commonly adopted resistance fac-
    The testing procedure (summarised schematically in
    tor N = 10.5 (Stewart and Randolph, 1991; Chung
    and Randolph, 2004). These strength profiles repre- Figure 8) was as follows:
    sent an undrained shear strength gradient (k) of
    1) DEPLA follower and flukes were attached using
    1.4kPa/m, which is in the range considered typical
    a shear pin, craned from the barge deck and low-
    for deepwater sediments (Randolph, 2004).

    623
    ered below the water surface to the desired drop
    Crane

    height (hdrop) above the lakebed. Winch


    2) DEPLA was released by opening a quick release Pulley
    Barge
    shackle connecting the follower retrieval line to
    the crane, allowing the anchor to free fall and
    penetrate the lakebed.
    3) Tip anchor embedment depth (ze,tip) was meas-
    ured by sending a camera to the mudline to in- Follower
    line
    spect markings on the follower retrieval line
    (Figure 9). The marking at the mudline indicated Plate line
    the penetration depth of the follower tip.
    4) After anchor installation, the follower retrieval Camera cable
    line was attached to the winch cable and pulled at
    a rate of 30mm/s. Movement of the follower rela- Water Camera

    tive to the stationary flukes causes the shear pin Lakebed

    to break, allowing the follower to be retrieved on


    the barge deck.
    5) The plate anchor mooring line was connected to
    the winch cable and extracted from the lake bed
    at 30mm/s. During extraction the retrieval line
    had an angle of inclination of 90 to the mudline
    Crane
    modelling a vertical mooring system.
    Winch
    Crane Pulley
    Barge
    Winch
    Pulley Quick
    release
    Barge shackle

    Follower
    Follower line
    line
    DEPLA
    Plate line
    Follower
    zwater

    Plate line

    Water
    hdrop

    Lakebed
    Water
    Lakebed

    Crane
    Plate

    Winch
    Pulley Crane
    Barge

    Winch
    Pulley
    Barge

    Plate line

    Plate line
    Follower
    line

    Water
    Lakebed
    ze,p,initial

    Water
    Lakebed
    ze,tip

    Figure 8: DEPLA field testing procedure

    624
    3.2 Embedment
    Embedment The anchor was dropped from heights (hdrop) varying
    depth marker from 06.95m. DEPLA tip embedments were in the
    range 1.02.2m, or 1.42.9 times the length of the
    follower (Lf/Df = 12.5). This is in good agreement
    with reported field data experience of 1.92.4 times
    Follower line
    the anchor length for a 79t dynamically installed an-
    chor (Lf/Df = 10.8; Lieng et al., 2010).
    Lakebed
    3.3 Follower extraction
    Figure 10 shows typical load-displacement response
    during follower extraction. The extraction response
    is characterised by a sharp increase in load to an ini-
    Figure 9: Image capture from the underwater camera showing tial peak, requiring a displacement of 0.10.2m, or
    the follower retrieval line at lakebed
    1.73.3 times the follower diameter. A secondary
    peak with magnitude between 70% and 80% of the
    3. Experimental Results and Discussion
    initial peak was observed at a displacement of 0.6
    0.7m, or 0.80.9 times the follower length. Although
    3.1 Test programme summary
    the occurrence of the secondary peak is not fully un-
    Testing took place over a one-year period and in-
    derstood, it is most likely due to the mobilisation of
    cluded 32 individual tests. The test database is
    additional reverse end bearing at the follower tip as
    summarised in Table 2.
    it begins to exit the flukes.
    Table 2: Summary of DEPLA field test results
    The maximum (initial) peak follower resistance (Fv,f)
    Test hdrop ze,tip ze,p,final/D Fv,f F v,p Ef
    (m) (m) (N) (N) was in the range of 307911N and was typically
    1 6.13 2.01 3.1 419 1438 27 2.14.7 times the dry mass of the follower. The rela-
    2 6.06 1.98 3.1 469 1483 24 tively large range reflects the range in embedment
    3 5.91 2.04 3.2 5.56 1672 18 depths achieved by varying the drop height. Hence,
    4 5.91 2.19 3.5 513 1642 17 it also reflects the range in mobilised shear strength
    5 5.87 1.95 2.9 609 1372 25 during follower extraction. As only a few minutes
    6 7.96 1.92 2.8 378 1123 21 elapsed between anchor installation and follower re-
    7 4.12 1.93 2.8 432 1113 20 covery, the follower extraction resistance is likely to
    8 3.00 1.70 2.0 481 1064 20
    be 2030% of the potential follower extraction resis-
    9 2.67 1.94 2.9 481 1064 20
    tance following full reconsolidation (Richardson et
    10 5.68 1.78 2.3 834 1212 22
    11 6.45 1.84 2.5 464 1296 24
    al., 2009).
    12 5.95 1.84 2.5 456 1447 27
    13 5.52 1.93 2.8 764 1262 23
    14 6.25 1.83 2.5 757 1073 17
    15 6.35 1.76 2.2 528 1220 23
    16 4.75 1.67 1.9 610 1121 21
    17 5.00 1.72 2.1 679 1105 20
    18 4.12 1.72 2.1 307 1155 21
    19 3.95 2.17 3.6 532 1367 25
    20 2.22 1.64 1.9 552 1070 20
    21 1.22 1.62 1.8 4.9 750 14
    22 0 1.03 0 350 436 8
    23 6.95 1.78 2.3 773 985 18
    24 6.95 1.67 1.9 801 825 15
    25 6.95 1.25 0.5 911 522 10
    26 6.95 1.90 2.7 681 1177 22 Figure 10: Typical load-displacement response during fol-
    27 6.85 1.67 1.9 441 791 15 lower extraction
    28 6.30 1.68 2.0 746 774 14
    29 5.21 1.67 1.9 615 1107 21 3.4 Plate keying, capacity and efficiency
    30 3.45 1.74 2.2 468 1060 20 Typical load-displacement responses of the DEPLA
    31 2.20 1.50 1.4 550 875 16 during keying and pullout are given in Figure 11.
    32 1.20 1.44 1.2 459 896 17 The response is similar to that from DEPLA centri-

    625
    fuge tests (OLoughlin et al., 2012) and other plate with depth in Figure 6. Fv,p is typically twice the
    anchors installed in the vertical orientation (e.g. load required to extract the follower (Fv,f). The theo-
    Gaudin et al., 2006; Blake et al., 2010). The keying retical plate anchor capacity can be determined read-
    and pullout response is characterised by an initial ily from:
    stiff response as the anchor initiates rotation. This is
    Fv , p N c Ap su  Ws (1)
    followed by a softer response as the rotation angle
    increases, and a final stiff response towards a peak where Nc is the bearing capacity factor; Ap is the
    load as the effective eccentricity of the padeye re- projected of the anchor (Ap = 0.07m2); su is the
    duces and anchor capacity is fully mobilised. Be- undrained shear strength = 1.4z (see Figure 6); and
    yond the peak load, the plate capacity reduces as it Ws is the submerged weight of the plate anchor in
    moves vertically through weaker soil. soil (Ws = 46.6N).

    The best fit between Equation 1 and the experimen-


    tal measurements was obtained using Nc = 15.3 (see
    Figure 12), which agrees well with back analysed Nc
    = 15.0 from DEPLA centrifuge tests (OLoughlin et
    al., 2012). Corresponding solutions for rough flat
    circular plate anchors are lower: Nc = 13.11 for an
    infinitely thin plate (Martin and Randolph, 2001)
    and Nc = 13.70 for a plate thickness equal to 5% of
    the diameter (Song et al., 2008). However, as noted
    in Zhang et al. (2012), soil is forced to take a deeper
    and longer route to flow around thicker plates,
    which mobilises more soil in the failure mechanism
    Figure 11: Typical load-displacement response of plate during and results in higher bearing capacity factors. The
    keying and pullout DEPLA cruciform fluke arrangement ensures that
    the failure surface extends to at least half the plate
    The keying process results in a non-recoverable loss diameter (D/2) from the plate. This should result in a
    in embedment, which is well documented elsewhere higher bearing capacity factor for the DEPLA com-
    (e.g. OLoughlin et al., 2006; Gaudin et al., 2009; pared with a flat plate.
    Song et al., 2009; Gaudin et al., 2010). For deep-
    water sediments typically characterised by an
    undrained shear strength profile that increases with
    depth, this loss in embedment of the plate corre-
    sponds to a loss in potential anchor capacity. The
    vertical displacement of the anchor padeye up to the
    peak load (dv) was determined from the string poten-
    tiometer measurements and was in the range 0.58
    0.66m. However, dv represents the displacement of
    the anchor padeye rather than the loss in plate an-
    chor embedment (ze,plate), which may be calculated
    as ze,plate = dv e for vertical load inclinations
    (OLoughlin et al., 2012). Hence, ze,plate is in the
    range of 0.440.54m, or 1.51.8 times the plate di- Figure 12: Dependence of plate capacity on final embedment
    ameter (D). This is conVLGHUDEO\KLJKHUWKDQze,plate depth
    = 0.500.68D reported by OLoughlin et al. (2012)
    from DEPLA centrifuge tests on kaolin clay with the The relative performance of anchors is often com-
    same e/B ratio. The higher loss in embedment from pared using anchor efficiency (Ef), defined as the ra-
    the field tests is considered to be due to differences tio of the peak capacity (Fv,p) to the anchors dry
    in the strain softening response of the natural clay weight (W):
    compared with kaolin clay. Fv , p
    Ef (2)
    The peak plate anchor resistance (Fv,p) ranges from W
    4361672N and, as shown by Figure 12, varies line- DEPLA efficiencies determined from the field tests
    arly with depth, reflecting the linear increase in su reported here are in the range of Ef = 827. The up-

    626
    per end of this range corresponds to the anchor tests Offshore Geotechnics II. London: Taylor and
    that were released from the largest drop heights and Francis, 705710.
    achieved the maximum embedment depths. The Chung SF and Randolph MF. (2004). Penetration re-
    range is significantly higher than efficiencies typi- sistance in soft clay for different shaped penetro-
    cally associated with dynamically installed anchors, meters. Proceedings of the 2nd International Con-
    for example Ef = 2.53.7 (OLoughlin et al., 2004). ference Geotechnical and Geophysical Site
    This is due to the predominant mode of strength mo- Characterisation, Porto, Portugal, 671678.
    bilisation during loading the DEPLA resists load Colliat JL. (2002). Anchors for deepwater to ultra
    in bearing, whereas other dynamically installed an- deepwater mooring. OTC 14306, Proceedings of
    chors resist load in friction. This enables the DEPLA the 34th Offshore Technology Conference, Hous-
    to achieve much higher anchor efficiencies than that ton, USA.
    of other dynamically installed anchors. Colreavy C, OLoughlin CD and Ward D. (2012).
    Piezoball testing in soft lake sediments. Proc 4th
    4. Conclusions International Conference on Geotechnical and
    Geophysical Site Characterisation, Porto de Ga-
    This paper presents results from a series of field linhas, Brazil.
    tests on a 1:20 reduced scale DEPLA in a lake un- Ehlers CJ, Young AG and Chen JH. (2004). Tech-
    derlain by very soft clay. The main findings are nology assessment of deepwater anchors. OTC
    summarised as follows: 16840. Proc. Offshore Tech. Conf., Houston,
    USA.
    1) The DEPLA exhibits similar behaviour to that of
    other dynamically installed anchors during instal- Gaudin C, Tham KH and Ouahsine S. (2009). Key-
    lation, with tip embedments in the range 1.42.9 ing of plate anchors in NC clay under inclined
    times the follower length. loading. Journal of Offshore and Polar Engineer-
    2) The peak follower load during extraction (Fv,f) ing 19: 18.
    was in the range 307911N and was typically Gaudin C, OLoughlin CD, Randolph MF and
    50% of the corresponding peak plate anchor re- Lowmass AC. (2006). Influence of the installa-
    sistance (Fv,p). tion process on the performance of suction em-
    3) The load-displacement response of the DEPLA bedded plate anchors. Gotechnique 56: 38391.
    during keying and pullout is similar to that of Gaudin C, Simkin M, White DJ and OLoughlin CD.
    other plate anchors installed in the vertical orien- (2010). Experimental investigation into the influ-
    tation. ence of keying flap on keying of plate anchors.
    4) 7KH DQFKRU HPEHGPHQW GHSWK ORVV ze,p) ranged Proceedings of the 20th International Offshore
    from 1.51.8 times the plate diameter, which is
    and Polar Engineering Conference, Beijing,
    significantly higher than that from corresponding
    centrifuge tests. This is considered to be due to China.
    the strain softening response of the natural clay Gibson CE. (1998). Lough Erne. Studies of Irish
    during keying. Lakes and Rivers. Marine Institute, Dublin, 64
    5) The peak plate anchor resistance (Fv,p) ranged 72.
    from 436N1672N and agrees well with theoreti- Lieng JT, Tjelta TI and Skaugset K. (2010). Installa-
    cal predictions using Nc = 15.3. tion of two prototype Deep Penetrating Anchors
    6) The anchor efficiencies ranged from 8 to 27. at the Gja field in the North Sea. OTC 20758.
    These values are significantly higher than other Proc. Offshore Tech. Conf., Houston, USA.
    dynamically installed anchors that resist load in Martin CM and Randolph MF. (2001). Application
    friction. of the lower bound and the upper bound theorems
    of plasticity to collapse of circular foundations.
    Acknowledgments Proceedings of the 10th International Conference
    of the International Association of Computer
    This research was funded by Enterprise Ireland
    Methods and Advances in Geomechanics, Tuc-
    through its Commercialisation Fund Technology
    Development Programme. son, USA, vol. 2, 14171428
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    628
    EARLY-SCREENING HAZARD MAP FOR JACK-UP RIGS IN THE
    GULF OF SUEZ
    B Lietaert
    Dredging, Environmental and Marine Engineering, Zwijndrecht, Belgium
    T van der Wal, S Kortekaas
    Fugro, Leidschendam, The Netherlands
    DJM Ngan-Tillard, LA van Paassen
    Delft University of Technology, Delft, The Netherlands

    Abstract
    Many incidents with jack-up rigs are caused by punch-through of one or more of the legs from an upper zone
    of stronger soil into a lower zone of weaker soil. The resulting leg plunge may trigger platform tilt, causing
    possible risk of life, environmental damage and damage to rig. This paper presents a hazard map for the Gulf
    of Suez (GoS) that allows for early screening of sites with punch-through risks and for appropriate design of
    site investigation strategy. The hazard zoning relies on numerous data sources, notably regional geological
    and geomorphological, as well as geotechnical, information from 368 borehole locations. The hazard zoning
    considers punch-through conditions for conventional sand over clay profiles and for soil profiles with differ-
    ent degrees of pre-consolidation or the presence of cemented layers. Remarkably, hazard zoning was found to
    be largely independent of the precise geometry and loading conditions of common jack-up rigs used in the
    GoS. The highest probability for punch-through conditions is in deeper water environments (>50m water
    depth) and in areas where large wadis bring abundant sediment into the GoS.

    1. Introduction deeper until a new equilibrium is achieved. This


    procedure is called preloading. When a new equi-
    The Gulf of Suez (GoS) is considered the most pro- librium is reached, the preloading water is dumped
    lific oil province rift basin in Africa and the Middle and the rig can be jacked up to operational height.
    East, containing more than 80 oil fields, with re-
    serves ranging from 1350 to just under 1 million oil Jack-up rig siting requires geotechnical site investi-
    barrels (Alsharhan, 2003). Many offshore explora- gation to acquire soil data as input for geotechnical
    tion projects, including drilling wells, have been car- assessment of jack-up leg penetration. Semi-
    ried out in the GoS and future prospects are promis- empirical limit equilibrium models for soil bearing
    ing. resistance are commonly considered (Society of Na-
    val Architects and Marine Engineers (SNAME),
    The majority of the wells are drilled by jack-up rigs 2008). SNAME (2008) names three bearing failure
    (or mobile offshore drilling units (MODU)). Those mechanisms for penetration assessment: general
    common to the GoS usually consist of three lattice- shear; squeezing; and punch-through. Figure 1 pre-
    work legs and a triangular shaped hull, which can be sents schematisations of the mechanisms.
    moved up and down the legs by means of a rack and
    pinion system. Large, nearly circular cans are at the General shear presents conventional bearing failure
    base of the legs. These cans are known as spudcans, according to Brinch Hansen (1970) for sands and
    and they form the foundation of the platform. A Skempton (1951) for clays. Squeezing involves soft
    jack-up rig can be transported to the site by means of soil being squeezed sideways between two hard lay-
    tugs. With the legs jacked up and the hull afloat, the ers through vertical stresses (Meyerhof and Chaplin,
    rig can be towed to its new position. Once posi- 1953). Punch-through (e.g. Brown and Meyerhof,
    tioned at site, the legs are lowered and pinned down 1969) can occur when a jack-up is installed in a soil
    into the soil. The spudcans then penetrate into the profile that consists of a stronger layer on top of an-
    soil under the weight of the rig. To account for a de- other layer with a lower bearing resistance. The
    sign storm condition, compartments in the hull are spudcan can then break through the stronger layer
    filled with water, forcing the spudcans to penetrate and plunge into the weaker layer. However, con-

    629
    trolled levelling of the rig is no longer possible and come subjected to halokinesis due to imposed loads
    damaging tilt of the rig may result. This can threaten of post-rift deposits. These salt domes influence the
    property or even life. An upfront assessment of un- spreading of post-rift sediments.
    favourable foundation conditions is therefore valu-
    able for rig operators. This paper presents a hazard The most recent (i.e. Tertiary and Quaternary) post-
    map that allows for early screening of punch- rift sediments are important for installation of jack-
    through conditions in the GoS. up rigs. Four depositional environments may be dis-
    tinguished. Fine-grained clay-silt size sediments are
    present in parts of the GoS with deeper water (i.e.
    >50m). Numerous wadis, which drain the hinterland,
    create a coarser grained clastic depositional envi-
    ronment, dominated by sand and gravel. Carbonates
    related to the development of reefs and consisting of
    unconsolidated reefal fragments and carbonate sands
    represent another depositional environment. This
    carbonate-rich material easily lithifies and may form
    rocky material. An evaporitic depositional environ-
    ment can also be identified (i.e. salts), but this is in-
    Figure 1: (Top left and right) General shear failure in ho- significant compared to the other depositional envi-
    mogenous, layered soil; (bottom left) squeezing failure; and ronments. Vertical alterations between finer
    (bottom right) punch-through for spudcan foundations (weaker) and coarser (stronger) layers, or formation
    (SNAME, 2008)
    of cap rocks in carbonate environments, are poten-
    tially hazardous for punch-through failure. Locating
    2. Geological Setting
    these ground profiles in the GoS is therefore essen-
    tial.
    The GoS is ~300km long and 1080km wide, and is
    characterised by shallow bathymetry and has a 3. Data Selection
    maximum depth of ~80m. It is connected to the
    Mediterranean Sea through the Suez Canal, as well A database of geotechnical site investigation infor-
    as the Red Sea and Indian Ocean through the Strait mation was considered. From the available borehole
    of Jubal. Its transition towards the Red Sea Basin is data (368 locations), a selection was made based on
    marked by a steep scarp in the bathymetry over relevant geotechnical information (i.e. unit weight,
    which water depths rapidly increase towards 600m. friction angle and/or shear strength); minimum depth
    The GoS is a complex Cenozoic rift system that of a borehole (set at 5m); and location. Eventually,
    separates the African plate from the Arabic plate. In 216 unique locations in the GoS were selected for
    fact, this system is part of a greater dynamic rift set- which it was possible to assess spudcan penetration.
    ting, also comprising the Gulf of Aquaba, Dead Sea Supplementary information included: bathymetry
    basins, Red Sea basins, Afar basins and Gulf of from the General Bathymetric Chart of the Oceans
    Aden (Bosworth et al., 2005). Rift formation in the (GEBCO) and admiralty charts; morphological and
    GoS started around 25 mega-annum (Ma) ago and is geological maps; satellite images from Google
    related to an anticlockwise rotation of the Arabian Earth; and a limited amount of geophysical data.
    microplate and its collision with the Eurasian plate.
    Rift formation caused a peculiar structural setting 4. Spudcan Bearing Resistance Calculations
    and associated stratigraphy in the GoS.
    At every selected geotechnical location, spudcan
    Structurally, the GoS is characterised by three sub- penetration into the seabed was calculated as a func-
    basins that consist of tilted fault blocks and are sepa- tion of spudcan bearing resistance (i.e. spudcan
    rated from each other by accommodation zones. penetration curve). Punch-through profiles typically
    Remarkably, the dip direction of the fault blocks in a have an early drawback in bearing resistance at rela-
    sub-basin changes across such an accommodation tively shallow depth. In this paper, the bearing resis-
    zone, which possibly affects bathymetry and geo- tance right before punch-through is referred to as
    technical conditions. Stratigraphically, pre-syn and punch-through peak (see Figure 2). Spudcan pene-
    post-rift deposits may be identified. The syn-rift and tration analyses were performed for spudcans with
    most recent post-rift deposits are of particular inter- diameters of 10m, 14m and 18m. These are common
    est. The syn-rift deposits are characterised by the dimensions for spudcans deployed in the GoS. If the
    presence of salt deposits, which over time have be- spudcan penetration curves did not indicate a punch-

    630
    through profile (i.e. a sudden decrease in soil resis- the cause of punch-through in terms of soil profile
    tance with depth), the location was considered and the corresponding safety factors. In addition,
    safe. the spreading of the surface sediments, the thickness
    of this upper sediment package, the relationship to
    the bathymetry, and the relationship to the onshore
    geological features and the depositional environment
    were all used to define hazard zones.

    5.2 Hazard zones: spudcan diameter of 14m


    Figure 3 presents 14 hazard zones for a 14m-
    diameter spudcan.

    Figure 2: Schematic punch-through profile with indication of


    punch-through peak (black line) and two preloads; preload in-
    dicated by the green line has a factor of safety (FOS) > 1; pre-
    load indicated by red line has an FOS < 1

    For the locations with a punch-through profile, a fac-


    tor of safety (FOS) was introduced and is given as:

    Punch  ThroughPeak[ MN ]
    FOS (1)
    Preload [ MN ]

    The applied preload is unique, depending not only


    on the rig (and spudcan) size, but also on environ-
    mental factors such as expected weather and wave
    conditions. A typical preload value of 50MN per
    spudcan was used in the calculations. If the applied
    preload is smaller than the punch-through peak, the
    FOS will be higher than 1. If not, the drawback in
    bearing resistance will occur before the full preload
    is applied and a punch-through condition is calcu-
    lated. In this study punch-through was defined by an
    FO67KH)26 values were used to define the Figure 3: Identified hazard zones
    zones of the hazard map.
    The available data for Zone 1 was limited. Charac-
    5. Developing a Hazard Map terisation was achieved by generalisation, further
    discussed in section 5.4. Zones 2, 6, 9 and 11 are
    5.1 Hazard zones: general situated in the deeper water (>50m) of the GoS, with
    The collected data described in section 4 was com- surface sediments consisting of clay or a thin sandy
    piled into ArcGIS. Using this data, the GoS was first layer. The selected locations show predominantly
    subdivided into zones based on geology, sediment fine-grained material with possibly some sand-rock
    deposition and stratigraphic profiles. Then, bearing intercalations. The FOS is typically close to 1.5.
    resistances (resulting from SNAME-based calcula- Punch-through conditions develop on the coarser
    tions) were loaded into ArcGIS. By analysing the re- grained intercalations, or are related to different de-
    lationship between these numerical data and other grees of pre-consolidation in the fine-grained pack-
    available data, it was possible to identify hazard ages. There are almost no safe profiles, according to
    zones (of low versus high, where low equals FOS > the definition of safe in this study.
    1.5 and high equals FOS 1.5). The borders of the
    hazard zones were defined by analysing the cluster- Zones 7, 8, 10, 12 and 13 are typically bordered by a
    ing of safe versus punch-through profiles in an area, broad onshore alluvial plain. The wadi mouths and

    631
    mountainous hinterland are relatively far away from through (FOS 1.5) to punch-through profile (FOS
    the shoreline. The bathymetry is relatively shallow > 1.5), or from the latter to safe, but this did not re-
    (<40m), and the contour lines are regular and paral- sult in a change in zoning. To verify the correctness
    lel to the coastline. The surface sediments in these of the identified zones, three locations using the new
    zones consist mainly of sand and (lithified) fringe data were plotted on the map. The expectations from
    reefs along the coastline. Sand depositional envi- the map matched the calculation results.
    ronments also dominate in the vertical direction.
    Consequently, the analysed locations have a high 5.4 Hazard zones: generalisation
    FOS and/or show no punch-through profile. Figure 4 presents hazard zones. The deepwater envi-
    ronment is characterised by water depths of more
    Zones 3 and 4 are bordered onshore by proximate than 50m. In this environment, fine-grained sedi-
    mountain ranges, a wadi mouth and a corresponding ments are dominant both at the surface and in a ver-
    alluvial fan. The irregular bathymetric contour lines tical direction. In the latter direction, the fine-
    indicate that this fan continues offshore. The near- grained layers possibly have differing degrees of
    shore surface sediments are sandy and (lithified) pre-consolidation. There are also frequent, relatively
    fringe reefs are abundant. The offshore continuation thin intercalations of coarser grained, clastic mate-
    of the alluvial fan consists of sand and/or gravel at rial. These two features create vertical profiles with
    seafloor. Farther offshore and towards the deeper ar- high potential for punch-through.
    eas of the GoS, increasingly finer grained sediments
    appear at the surface. The analysed locations indi-
    cate the same trend. Consequently, the near-shore
    locations and the areas on top of the alluvial fan
    show limited punch-through hazard. The more dis-
    tant locations are characterised by a mixing of
    coarse and fine-grained sediments and allow for
    punch-through development.

    Zone 14 and the near-shore part of Zone 5 show low


    punch-through hazard. These areas are situated close
    to shore and no wadis are nearby. The bathymetry is
    regular and shallow (<40m). Surface sediments (and
    vertical profiles) are dominated by sand and
    (lithified) reefs.

    Zone 5 and portions of Zones 7 and 8 (further off-


    shore) are dominated by reef complexes and/or ex-
    tensive carbonate platforms and between them are
    relatively deep channels. In the shallow zones, sur-
    face sediments are produced mainly by biodegrada-
    tion of reefs. They consist predominantly of fringe
    and patch reefs, carbonate-rich sands and limestone
    rock, and lithification (e.g. cementation) of sedi-
    ments is common. In the deeper channels, fine-
    grained sediments become increasingly more domi-
    Figure 4: Generalized hazard map for jack-ups in GoS, with
    nant. Consequently, low hazard profiles are identi- indication of the 50m bathymetric contour lines: dark yellow
    fied on the shallow parts and high hazard profiles are areas indicate high hazard, and pale yellow areas indicate low
    common in the deeper parts because of the existence hazard
    of more fine-grained sediments.
    The second environment is associated with carbon-
    5.3 Hazard zones: other spudcan diameters ate platforms, which are characterised by carbonate
    Analyses done for spudcans with 10m and 18m di- rich sands and (petrified) fringe or patch reefs, in
    ameters showed no change of the borders between both horizontal and vertical directions. They prosper
    zones. In general, some trends of higher or lower in the shallow areas of the GoS, and development of
    punch-through hazard with respectively decreasing or punch-through profiles is not likely. Adverse pro-
    increasing spudcan diameter were observed. Some lo- files consisting of a hard, carbonate-rich cap rock
    cations were therefore reclassified from punch- and underlying thick, fine-grained sediment pack-

    632
    ages were not observed. Consequently, these areas GoS. Especially on the eastern side, the orientation
    are zoned as low. of large fault systems is associated with the prox-
    imity of uplifted rift shoulders to the basin. If these
    The third depositional environment is characterised uplifted shoulders are close to the GoS, alluvial fans
    by a clastic depositional environment. This deposi- seem to develop (e.g. Zones 3 and 4). If not, broad
    tional environment is dominated by coarse-grained alluvial plains develop (e.g. Zones 7 and 12). Since
    sediments, sand and gravel. This depositional envi- these alluvial fans and plains are associated with a
    ronment is associated with numerous wadis, bring- particular type of sediment input, and thus the gen-
    ing erosion material from the mountainous hinter- eration of hazardous ground profiles for punch-
    land to the GoS during flash floods. The suspended through occurrence, it can be concluded that the
    material is deposited on broad alluvial plains, or in structural geology of the GoS indirectly has an in-
    alluvial fans. Alluvial fans develop if the mountains fluence on punch-through hazard.
    and wadi mouth are situated close to the GoS, and
    alluvial plains originate where the mountains are
    situated farther from the land-water interface.

    A fan of coarse-grained material originates and con-


    tinues offshore, creating irregular bathymetry. Most
    of the sediment is then deposited onshore, and there is
    only minor input into the GoS. Consequently, the Figure 5: Interpreted west-east orientated geophysical profile
    bathymetric contour lines are regular and parallel to in Zone 2, showing three distinct reflectors (R1R3) and four
    seismic layers (S1S4)
    the coastline. Since there is no significant difference
    in strength vertically, the locations associated with In literature, many references have been made to the
    these kinds of deposits have a low zoning. In the extensive carbonate platforms in the shallower areas
    case of alluvial fans, the situation becomes adverse in of the GoS (e.g. Moussa et al., 1991). A possible ex-
    the deeper parts of the GoS, where mixing with the planation for the generation of these shallow areas
    fine-grained sediments in the deepwater environment across the entire southern GoS (Zones 7 and 8) is
    occurs, resulting in hazardous vertical profiles. their possible relation to salt diapirs in the subsur-
    face (Roberts and Murray, 1984). There is indication
    6. Discussion of another shallow, relatively carbonate-rich area in
    the centre of the GoS, corresponding to the El-Tor
    The bordering and definition of the hazard zones bank. Contrary to the shallow areas in the southern
    were predominantly based on qualitative parameters. GoS, this shallow zone is possibly related to the
    No statistical interpolation procedures were consid- presence of an accommodation zone in the subsur-
    ered. However, the high zones of Figure 4 could be face. Similar to Zones 7 and 8, this shallow, carbon-
    further subdivided by interpolating between the cal- ate-rich area is categorised by low hazard zoning.
    culated FOS of each borehole. This would generate
    contour lines indicating a particular FOS for a type 7. Conclusions
    of rig, and would further subdivide the actual zon-
    ing. This paper presents a hazard map for the Gulf of
    Suez (GoS), which allows early screening of sites
    Although the hazard map is based on a large dataset, for jack-up punch-through risks and can be used for
    the spacing between the 216 locations is still rela-
    appropriate design of site investigation strategy.
    tively large and does not cover the lateral variability
    of the subsurface. This is illustrated by the geo- However, the map and corresponding geographical
    physical profile in Figure 5. This profile, situated in information system (GIS) should not be used for de-
    Zone 2 (low), is correlated with nearby boreholes finitive jack-up siting decisions, as a detailed geo-
    and indicates fine-grained sediments (S2) on the technical investigation remains necessary.
    eastern part of the profile overlying coarser sandy
    sediments (S1). This seismic layer S2 seems to fill Punch-through conditions for the GoS apply to con-
    channels in the underlying stiffer strata. Higher reso- ventional sand over clay profiles and to soil profiles
    lution data will be necessary to improve zoning. with differing degrees of consolidation, or the pres-
    ence of cemented layers. Remarkably, punch-
    Structural maps from the GoS indicate a correlation through conditions were found to be largely inde-
    between the development of alluvial fans or plains pendent of the precise geometry and loading condi-
    and the orientation of large fault systems along the tions of common jack-up rigs used in the GoS.

    633
    The highest probability for punch-through condi-
    tions is in deeper water environments (>50m water
    depth) and in areas where large wadis bring abun-
    dant sediment into the GoS.

    References

    Alsharhan AS. (2003). Petroleum geology and po-


    tential hydrocarbon plays in the Gulf of Suez rift
    basin, Egypt. AAPG Bulletin 87: 143180.
    Bosworth W, Huchon P and McClay K. (2005). The
    Red Sea and Gulf of Aden Basins. Journal of Af-
    rican Earth Sciences 43: 334378.
    Brown JD and Meyerhof GG. (1969), Experimental
    study of bearing capacity in layered clays. In: 7th
    International Conference on Soil Mechanics and
    Foundation Engineering, Mexico City.
    Brinch Hansen J. (1970). A revised and extended
    formula for bearing capacity. Danish Geotechni-
    cal Institute Bulletin 28: 511.
    Meyerhof GG and Chaplin TK. (1953). The com-
    pression and bearing capacity of cohesive layers.
    British Journal of Applied Physics 4: 2026.
    Moussa AA, Elaskary MA, Nasr SM and Elma-
    money MH. (1991). Unconsolidated Reefal
    Sediments in the Jubal Strait Region, Red-Sea,
    Egypt. Marine Geology 97: 379390.
    Roberts HH and Murray SP. (1984). Developing
    Carbonate Platforms Southern Gulf of Suez,
    Northern Red Sea. Marine Geology 59: 165185.
    Skempton AW. (1951). The bearing capacity of
    clays. Proceedings Building Research Congress,
    London, Div. 1: 180189.
    Society of Naval Architects and Marine Engineers
    (SNAME). (2008). Recommended practice for
    site specific assessment of mobile jack-up units. T
    and R Bulletin 5-5A, 1st Edition Rev. 3. New
    Jersey: SNAME.

    634
    NUMERICAL ANALYSIS OF SPUDCAN PENETRATION INTO
    SAND OVER UNIFORM CLAY
    Pan Hu, Dong Wang and Mark Cassidy
    Centre for Offshore Foundation Systems, the University of Western Australia, Australia
    Qing Yang
    Dalian University of Technology, China

    Abstract
    The installation of mobile jack-up platforms remains hazardous because of the potential for uncontrolled
    punch-through failure. Seabeds of sand overlying clay, or stiff clay over soft clay, are problematic because the
    embedding spudcan pushes the strong layer of soil into the underlying softer layer. Both experimental and
    numerical approaches have been adopted in previous studies to assess punch-through potential and to under-
    stand the factors affecting the failure mechanism. In this paper, the entire penetrating process of a spudcan is
    simulated using a large-deformation finite element approach the Coupled Eulerian-Lagrangian method in
    the commercial package Abaqus. The numerical approach is first compared with centrifuge model test data
    for uniform clay, uniform dense sand and loose sand over uniform clay. Results from a series of parametric
    studies of spudcan penetration into sand over uniform clay sites are then described. The dependence of the
    penetration behaviour on the friction angle and dilation behaviour of sand, the undrained shear strength of the
    underlying clay and the normalised sand layer thickness are also discussed.

    1. Introduction
    coupled Eulerian-Lagrangian (CEL) and the remesh-
    A jack-up rig is typically used at more than one site ing and interpolation technique with small strain
    during its service life and may encounter different (RITSS) methods.
    soil types and environmental load conditions. Thus,
    the suitability of the unit for different sites, espe- The CEL approach (recently made available in the
    cially those consisting of sand overlying clay or stiff commercial package Abaqus/Explicit) features an
    clay overlying soft clay, must be assessed. This is Eulerian mesh for soil and a Lagrangian mesh for
    because in these conditions the spudcan can push the the structural element (such as a spudcan). The soil
    stronger overlying layer into the softer underlying materials are allowed to flow in or out of each Eule-
    soil. Known as a punch-through, the subsequent re- rian element, although the elements are fixed in
    duction of vertical load can cause the jack-up leg to space. The Eulerian element may be filled with mul-
    uncontrollably penetrate. Several platform failures tiple materials, while the Lagrangian elements only
    have been reported to be due to spudcan punch- contain a single material. The CEL has recently seen
    throughs (e.g. the discussion in Hossain, 2008). application in the penetration analysis of spudcans,
    with Tho et al. (2012) comparing numerical results
    Spudcan punch-through behaviour has also been ob- with centrifuge tests of a spudcan penetration into
    served in conditions of sand overlying clay in the single- and double-layered clay. Furthermore, Qiu et
    centrifuge model tests of Craig and Chua (1990), al. (2010) and Qiu and Henke (2011) incorporated a
    Teh et al. (2008, 2010) and Lee (2009). It is difficult hypoplastic constitutive model into a CEL analysis
    to simulate punch-through failure using traditional for spudcan penetration in sand overlying clay.
    small-strain finite element (FE) approaches based on
    Lagrangian algorithms. This is because the soil Instead of discretising the soil with an Eulerian
    around the spudcan undergoes significant transla- mesh, the RITSS method (Hu and Randolph, 1998)
    tions and rotations during the penetration process. divides spudcan penetration into a series of small
    Distortion of the soil mesh can be avoided by fol- strain Lagrangian steps, with frequent remeshing in
    lowing large deformation FE approaches, such as the the deformed region. The field variables, such as

    635
    stresses and material properties, are continuously The Poissons ratio of clay was taken as 0.49 to ap-
    mapped from the previous mesh to the new. Yu et al. proximate a constant volume under the undrained
    (2009) and Hossain and Randolph (2010) imple- condition. In addition, the Youngs modulus (E) was
    mented the RITSS method to reproduce spudcan set to E = 500su, where su is the undrained shear
    penetration in stiff soil overlaying soft clay. The strength of the clay.
    RITSS can be combined with almost any implicit FE
    program; however, it requires in-house coding for The sand overlaying clay was regarded as an elastic-
    the interpolation of field variables and mesh regen- perfectly plastic material obeying the Mohr-
    eration. Coulomb failure criterion. The dilation angle ()
    was determined from the following empirical ex-
    In this paper, the CEL approach is used and simula- pression:
    tion of the penetration of spudcans into sand overly- 
    -IRU
    !
    ing uniform clay is discussed. The numerical results
    are compared with three centrifuge tests: uniform  IRU
    30 (1)
    clay; uniform dense sand; and loose sand overlying The Poissons ratio and Youngs modulus of the
    uniform clay. The results from a series of parametric sand were assumed to be 0.3 and 50MPa, respec-
    studies conducted to investigate the factors affecting tively. Although they required definition, the pene-
    the penetration response in sand overlaying clay are tration response is typically independent of the
    presented. These show that the peak penetration re- Youngs modulus of clay and sand layers (Tho et al.,
    sistances predicted using the CEL approach are in 2012; Qiu and Henke, 2011).
    broad agreement with those obtained with the em-
    pirical equation of Lee (2009). The results presented The spudcan penetration was simulated with a dis-
    in this paper further the previously reported CEL placement control mode by a constant penetration
    analyses of Tho et al. (2012) and Qiu and Henke velocity. To simulate a quasi-static response in the
    (2011). However, there is a greater focus on the fac- CEL analysis, the numerical penetration velocity
    tors controlling the occurrence of punch-through and was kept sufficiently small to dismiss unrealistic in-
    predicting the peak penetration resistance. ertia effects. However, as computational cost in-
    creases significantly with any reduction in the pene-
    2. Numerical Model tration velocity, an arbitrarily low penetration
    velocity could not be used. Through preliminary
    The CEL analyses were performed using the com- comparisons of different penetration velocities, the
    mercially available program Abaqus/Explicit. The velocity was selected to be 0.15m/s for the spudcan
    simulations were performed in 3D, but with only a diameters of 614m of the simulations.
    quarter of the spudcan and soil modelled for symme-
    try. Both the sand and clay layer used an Eulerian 3. Validation with Centrifuge Tests
    mesh. To prevent the material from flowing beyond
    the mesh boundary, the Eulerian mesh was large The robustness of the CEL approach is validated by
    enough to fully cover the deformed soil surface. The comparison with three centrifuge tests reported by
    spudcan-soil and sand-clay interfaces were tracked Craig and Chua (1990). The numerical simulation
    by computing the material ratio in related Eulerian used the same 14m prototype diameter and shape of
    elements. As the CEL analysis was performed with the spudcan (details of which can be found in their
    the explicit integration scheme, the Eulerian mesh paper). In the first test, the spudcan penetrated into
    was composed of linear brick elements with reduced uniform clay that was not covered by water. The unit
    integration. Contact between the spudcan and soil weight of clay was c = 20kN/m3 with an undrained
    was defined as general contact, with the interface as- strength of su = 87kPa (Craig and Chua, 1990). The
    sumed to be smooth. The Eulerian-Lagrangian con- numerical penetration resistance, as calculated using
    tact formulation in Abaqus is based on an enhanced the CEL method, is compared with the experimental
    immersed boundary method (Dassault Systems, data of Craig and Chua (1990) in Figure 1a. It is ob-
    2010). As a result, the interfaces between the La- served that the predicted bearing pressure is only
    grangian structure and Eulerian materials were ~610% lower than the experimental data.
    tracked and updated automatically at the end of each
    time step. The spudcan was penetrated into uniform dense sand
    in the second retrospective numerical simulation. In
    The clay layer was treated as an elastic-perfectly this case, there was a water layer covering the sand
    plastic material obeying the Tresca failure criterion. surface and the submerged unit weight was assumed

    636
    to be
    s = 11kN/m3. According to Craig and Chua In the third test, the spudcan was penetrated into
    (1990), the internal friction angle of the sand was in loose sand over uniform clay. The sand was 7m in
    the range RI
    = 37.5 to 38.5; thus, it was assumed prototype thickness, and the internal friction angle
    to be
       LQ WKH QXPHULFDO DQDO\sis. A dilation was assumed to be 32 (as reported by Craig and
    angle of  8 was simulated based on Equation 1. Chua, 1990). A dilation angle of 2 was used (based
    In Figure 1b, the bearing capacity from the CEL is on Equation 1) and the undrained strength of the uni-
    approximately 5% to 19% lower than the experimen- form clay was su = 30kPa (Craig and Chua, 1990).
    tal curve, though the trend of the numerically pre- The submerged unit weights of sand and clay were
    dicted bearing pressure again agrees with the ex- assumed to be
    s = 11kN/m3 and
    c = 10kN/m3, re-
    perimental data. spectively.

    (a) As shown in Figure 1c, the experimental bearing


    pressure approached the peak value at a penetration
    Bearing pressure (kPa)
    depth of ~4m and then remained almost constant un-
    0 200 400 600 800 1000 1200
    0
    til the spudcan was penetrated to a depth of ~8.5m.
    The numerical resistance showed some oscillations;
    -2
    however, the peak bearing pressure was mobilised at
    Penetration depth (m)

    -4 a depth of ~3m, which was slightly shallower than


    -6 the corresponding experimental depth. The total
    variation of the bearing pressure with embedment
    -8
    depth was captured in the CEL analysis, although it
    -10 somewhat overestimated the bearing pressure. This
    CEL
    -12 overestimation could be explained by the employed
    -14
    Craig and Chua (1990) Mohr-Coulomb model not being able to reflect the
    strength degradation of such loose sand during the
    (b) post-peak stage.
    Bearing pressure (MPa)
    0 1 2 3 4 5 6 Alternatively, there is some debate concerning the
    0
    accumulated database used by Craig and Chua
    -0.5
    (1990) to quantify the undrained strength with the
    Penetration depth (m)

    -1 moisture content of clay (Tho et al., 2012). The clay


    -1.5 layer in the centrifuge may have had a lower
    -2 undrained strength than the value provided by Craig
    -2.5 and Chua (1990). However, the numerical results
    -3 seemed to be in general agreement.
    CEL
    -3.5 Craig and Chua (1990)
    4. Parametric Study
    -4

    (c) The penetration of a spudcan into layered soil de-


    Bearing pressure (kPa)
    pends on the relative thickness of the layers in addi-
    0 100 200 300 400 500
    tion to the properties of the soil. A series of CEL
    0 simulations were conducted to explore the spudcan
    -1 penetration behaviour on sand over uniform clay.
    -2
    The factors related to punch-through failure are also
    Penetration depth (m)

    -3
    -4
    discussed in this section.
    -5
    -6 A total of 13 cases were studied with different com-
    -7 binations of the friction angle of sand, the undrained
    CEL
    -8
    shear strength of clay and the thickness of the sand
    -9
    Craig and Chua (1990) layer. The submerged unit weights of sand and clay
    -10
    were set as
    s = 11kN/m3 and
    c = 6kN/m3, respec-
    tively. The dimensions of the spudcan, which is also
    Figure 1: Comparisons between centrifuge tests and numerical
    results: (a) spudcan penetration into uniform clay
    commonly used for physical modelling at the Uni-
    (su = 87kPa); (b) spudcan penetration into uniform dense sand versity of Western Australia (UWA), are shown in

       DQG F spudcan penetration into loose sand Figure 2. The depth of penetration is defined as zero

       RYHUO\Lng uniform clay (su kPa) when the tip of the spigot touches the soil.

    637
    depth at which punch-through occurs depends on the
    sand layer thickness: the depth becomes deeper as
    Hs/D increases. For the cases with Hs/D = 0.5, the
    resistance increased during penetration, suggesting
    no potential punch-through.

    Figure : Dimensions of the spudcan for parametric study


    (distances in m)

    The factors investigated, including the friction angle 6m penetration 12m penetration
    and dilation behaviour of sand, the undrained shear
    strength of the underlying clay and the normalised Figure : Distribution of sand and clay for different penetra-
    sand layer thickness, are detailed in Table 1. tion depths of the spudcan (cDVH
    Table 1: Study cases of spudcan penetration into sand
    overlying uniform clay Figure 4 shows that for the same properties of sand
    Sand Clay and clay but with a different Hs/D ratio, the bearing
    * Undrained capacity of the (same) spudcan in the underlying
    Case Friction Dilation Hs/D
    shear strength clay layer does not converge. The differences in the
    angle () angle ()
    (kPa) deep bearing pressure are mainly attributed to the
    083820 38 8 20 0.8 volume of the trapped sand plug underneath the
    083420 34 4 20 0.8 spudcan (e.g. see Figure 3), with larger volumes
    083020 30 0 20 0.8 mobilising a bigger failure mechanism. However,
    103820 38 8 20 1.0 the sand plug also generated frictional resistance
    103420 34 4 20 1.0
    along the side wall, which enhanced the bearing
    103020 30 0 20 1.0
    pressure. The plug volume increased with the origi-
    053820 38 8 20 0.5
    nal sand thickness, therefore the deep resistance in
    053420 34 4 20 0.5
    053020 30 0 20 0.5
    the clay layer became larger as Hs/D was varied
    083810 38 8 10 0.8 from 0.5 to 1. Understanding the size and shape of
    083840 38 8 40 0.8 this trapped sand is an important, but still undefined,
    083010 30 0 10 0.8 aspect to predicting the severity of spudcan punch-
    083040 30 0 40 0.8 through failures. Further large deformation finite
    *
    The numbering system for each case is Hs'
    Vu element analysis could contribute to this understand-
    ing.
    4.1 Finite element results
    Typical deformed sand and clay layers at penetration The peak penetration resistance and the resistance
    depths of 6m and 12m are plotted in Figure 3. A profile are also influenced by the internal frictional
    sand plug underneath the spudcan was formed and angle of sand, as shown in Figure 5. As expected,
    then pushed down. The plug is similar to the cylin- the resistance was enhanced significantly by the fric-
    drically shaped sand plug observed in the centrifuge tion angle. The peak resistance of the typical dense
    tests of Teh et al. (2008) and Lee (2009). sand (
    = 38) is ~1.31.4 times the typical loose
    sand (
    = 30). For the profiles that captured the
    The normalised sand layer thickness had an obvious punch-through phenomenon, the rapid penetration
    influence on the penetration resistance and the posi- depth decreased with the increase of the internal
    tion of punch-through, as shown in Figure 4. The friction angle. For example, as Hs/D = 0.8 under the
    penetration resistance increased with Hs/D, regard- preload of their peak penetration resistances, the
    less of whether the sand was loose or dense. Punch- spudcan penetrated a depth of 5m for
    = 38,
    through was observed at normalised sand layer which was far less than the depth of more than 12m
    thickness of Hs/D = 0.8 and 1.0. The penetration for
    = 30.

    638
    Bearing pressure (kPa) Bearing pressure (kPa) Bearing pressure (kPa)

    0 150 300 450 600 0 200 400 600 800 0 200 400 600 800
    0 0 0

    -2 -2 -2

    Penetration depth (m)


    -4 -4 -4
    Penetration depth (m)

    Penetration depth (m)


    Curves in order: Curves in order: Curves in order:
    Hs/D = 0.5, 0.8, 1 Hs/D = 0.5, 0.8, 1 Hs/D = 0.5, 0.8, 1
    -6 -6 -6

    = 30
    = 34
    = 38
    su = 20 kPa su = 20 kPa su = 20 kPa
    -8 -8 -8

    -10 -10 103420 -10 103820


    103020

    083420 083820
    -12 083020 -12 -12
    053420 053820
    053020
    -14 -14 -14

    Figure 4: Influences of the normalised sand thickness (Hs/D) on the penetration behaviour of a spudcan

    Bearing pressure (kPa) Bearing pressure (kPa) Bearing pressure (kPa)


    0 100 200 300 400 500 0 150 300 450 600 0 200 400 600 800
    0 0 0

    -2 -2 -2

    -4 -4 -4

    Penetration depth (m)


    Penetration depth (m)

    Penetration depth (m)

    Curves in order: Curves in order: Curves in order:



     
     
    = 30, 34, 38
    -6 -6 -6
    Hs/D = 0.5 Hs/D = 0.8 Hs/D = 1.0
    su = 20 kPa su = 20 kPa su = 20 kPa
    -8 -8 -8

    -10 -10 -10


    053820 083820 103820

    053420 -12 083420 -12 103420


    -12

    053020 083020 103020


    -14 -14 -14

    Figure 5: Influences of the sand friction angle and the dilation behaviour on the penetration behaviour of a spudcan

    Bearing pressure (kPa) Bearing pressure (kPa)


    0 200 400 600 800 0 200 400 600 800 1000
    0 0

    -2 -2
    Penetration depth (m)

    -4
    Penetration depth (m)

    -4
    Curves in order: Curves in order:
    su = 10, 20, 40 kPa su = 10, 20, 40 kPa
    -6 -6
    Hs/D = 0.8 H s /D = 0.8

    
    = 38
    -8 -8

    -10 083010 -10 083810

    083020 083820
    -12 -12
    083040 083840
    -14 -14

    Figure 6: Influences of the undrained shear strength of clay on the penetration behaviour of a spudcan

    The effect of the undrained strength of the underly- next section. The depth at which the peak resistance
    ing clay is demonstrated in Figure 6. The penetration occurs becomes deeper if the clay has a higher
    resistance increased significantly with the undrained undrained strength.
    shear strength of clay, regardless of whether the up-
    per layer was dense or loose sand. When Hs/D = 0.8 By combining Figures 4 and 6, the peak resistance
    and
    = 30, the peak resistance for su = 40kPa was a depth appears to depend on the relative strength ratio
    factor of ~2.2 times that for su = 10kPa. The depend- between the sand and underlying clay, and the nor-
    ence of the peak resistance on the undrained strength malised sand thickness Hs/D. A higher strength ratio
    of clay will be quantified through Equation 2 in the or lower Hs/D leads to a shallower punch-through

    639
    depth. When the lowest level of the spudcan maxi- The first term in Equation 2 is attributed to the fric-
    mum sectional area reaches the clay layer in Figure tional resistance from the upper sand layer and the
    6, the increasing rate of penetration resistance in bearing capacity of the underlying clay, while the
    strong clay is larger than that in soft clay. This is second term results from the self-weight of the sand
    probably because after the spudcan penetrates into frustum. When the dilation angle/dispersion angle is
    the clay, it is more difficult for the spudcan with a zero, the first term of Equation 3 indicates that qpeak
    sand plug to squeeze the strong clay laterally. There- increases exponentially with the sand thickness (Hs).
    fore, the penetration resistance from strong clay is
    mobilised more quickly. The comparison of qpeak between the CEL simula-
    tions given earlier and Equations 2 and 3 is plotted
    4. Comparison with the predictive equation for in Figure 7. Most of the data points lie quite close to
    qpeak the line of equality, indicating consistency between
    The peak penetration resistances (qpeak), numerically the analytical and numerical results. Only one nu-
    calculated in the sensitivity studies of this paper, are merical peak resistance qpeak = 840.8kPa for Case
    compared with results retrospectively calculated us- 083840 is much lower than that according to Equa-
    ing the predictive equation of Lee (2009). Lee con- tion 2 (which has been calibrated against a series of
    ducted an extensive series of centrifuge tests of cir- centrifuge experiments). The reason for this differ-
    cular and spudcan foundations penetrating into ence is still under investigation.
    dense sand overlying clay (with increasing strength
    with depth) in the drum centrifuge at UWA. A sim- 1200

    plified analytical model was developed to predict the


    peak resistance (qpeak). The failure mechanism was 1000
    qpeak from parametric study (kPa)

    assumed to be a sand frustum with a dispersion an-


    gle equal to the dilation angle being pushed into the 800
    underlying clay.
    600
    The analytical basis of this new conceptual model of
    Lee (2009) follows the approach for silo analysis
    and takes into account the stress level and dilatant 400

    response of the sand. The peak resistance is ex-


    pressed as: 200 Peak resistance force
    H * J
    s D
    q peak ( N c 0 suo  q0 )(1  2 s tan\ ) E  line of equality
    D 2 tan\ ( E *  1) 0
    Hs * 2H * 0 200 400 600 800 1000 1200
    [1- (1- 2E tan\ )(1  s tan\ ) E ] qpeak IURP/HH
    VHTXDWLRQ(kPa)
    D D
    where E 2[1  DF ( I *  1)] .
    * tan (2) Figure 7: Comparison of qpeak according to Lees  equa-
    tan\ tion and the parametric study
    Equation 2 cannot be used for the cases with = 0 5. Conclusions
    and, for such instances, is replaced by:
    In this paper, the bearing capacity of spudcan foun-
    E0 * E0 * 1 1 dation penetration into sand overlying uniform clay
    q peak N c 0 suo  q0 e  J
    s H s >e   *  * @
    E0 E0 (3) was investigated using the CEL method. A series of
    Hs parametric studies were conducted for combinations
    E0* 4 DF sin Icv
    D of typical sand strength, thickness of the sand layer
    where Nc0 is the bearing capacity factor of the under- and undrained strengths of the underlying clay.
    lying clay; suo is the undrained shear strength at the Based on the analysis results, the following is con-
    sand-clay interface; DF is the empirical distribution cluded.
    factor; q0 is the surcharge at the foundation level; *
    is the reduced friction angle due to the non- The penetration resistance increases with the sand
    associated flow rule; and cv is the critical state fric- thickness ratio, the friction angle of sand and the un-
    tion angle. The variable cv is calculated by the fric- drained strength of the underlying clay. The sand
    tion and dilation angles in Table 1 (Bolton, 1986) thickness ratio (Hs/D) plays a critical role in the oc-
    and can be expressed as: currence of punch-through. In addition, the punch-
    through depth decreases with an increasing internal
    \ I
     Icv \ t (4) friction angle that is, the peak resistance is mobi-

    640
    lised earlier in dense sand. The relative strength ratio Teh KL, Leung CF, Chow YK and Cassidy MJ.
    between the sand and clay and Hs/D affects the (2010). Centrifuge model study of spudcan pene-
    depth of the peak penetration resistance. A lower tration in sand overlying clay. Gotechnique 60:
    Hs/D or higher strength ratio produces a shallower 825-842.
    punch-through depth. Finally, the peak penetration Teh K, Cassidy M, Leung C, Chow Y, Randolph MF
    resistances from the parametric study fit well with and Quah C. (2008). Revealing the bearing capac-
    those obtained with the predictive equation of Lee ity mechanisms of a penetrating spudcan through
    (2009). This adds further confidence in the use of sand overlying clay. Gotechnique 58: 793804.
    this new conceptual model to simulate spudcan pen- Tho KK, Leung CF, Chow YK and Swaddiwudhi-
    etration into sand overlying clay sites. pong S. (2012). Eulerian finite element technique
    for analysis of jack-up spudcan penetration. In-
    Acknowledgments ternational Journal of Geomechics 11: 6473.
    Yu L, Hu Y and Liu J. (2009). Spudcan penetration
    The study forms part of the activities of the Centre in loose sand over uniform clay. Proc. of 28th Int.
    for Offshore Foundation Systems, currently sup- Conf. on Ocean, Offshore and Arctic Engineer-
    ported as a node of the Australian Research Council ing, Hawaii, USA.
    Centre of Excellence for Geotechnical Science and
    Engineering. Sponsorship of this work by the Aus-
    tralia China Natural Gas Technology Partnership
    Fund and the Lloyds Register Educational Trust is
    gratefully acknowledged.

    References

    Bolton MD. (1986). The strength and dilatancy of


    sands. Gotechnique 36: 6578.
    Craig WH and Chua K. (1990). Deep penetration of
    spud-can foundation on sand and clay.
    Gotechnique 40: 541556.
    Dassault Systmes. (2010). ABAQUS, Version 6.10
    documentation. Vlizy-Villacoublay, France:
    Dassault Systmes.
    Hossain MS. (2008). New mechanism-based design
    approaches for spudcan foundations on clays.
    PhD thesis, University of Western Australia,
    Perth, Australia.
    Hossain MS and Randolph MF. (2010). Deep-
    penetrating spudcan foundations on layered clays:
    numerical analysis. Gotechnique 60: 171184.
    Hu Y and Randolph MF. (1998). A practical
    numerical approach for large deformation
    problems in soil. Intl J. Numerical and Analytical
    Methods in Geomechanics 22: 327350.
    Lee KK. (2009). Investigation of potential spudcan
    punch-through failure on sand overlying clay
    soils. PhD thesis, University of Western
    Australia, Perth, Australia.
    Qiu G and Henke S. (2011). Controlled installation
    of spudcan foundations on loose sand overlying
    weak clay. Marine Structures 24: 528550.
    Qiu G, Henke S and Grabe J. (2010). 3D FE analysis
    of the installation process of spudcan foundations.
    In: Gourvenec S and White D. (eds.). Frontiers in
    Offshore Geotechnics II. London: Taylor and
    Francis, 685690.

    641
    642
    NUMERICAL FINITE ELEMENT METHOD AND EXPERIMENTAL
    STUDY OF UPLIFT CAPACITY ANCHORS

    LN Equihua-Anguiano
    Universidad Popular Autnoma del Estado de Puebla, Mexico
    M Orozco-Calderon
    Geomechanic Engineer, Mexico
    P Foray
    Laboratoire 3S-R, University of Grenoble, France

    Abstract
    A study of the break-out factor (Nc) for plate anchors is presented in this paper. Comparisons among finite
    element method (FEM) analysis and laboratory results were performed. A soil corresponding to a soft nor-
    mally consolidated clay was considered. Numerical FEM analyses were performed with the Plaxis code, us-
    ing an elasto-plastic model with a Mohr-Coulomb criterion. Undrained soil parameters and an adhesion factor
    D= 1 were used. Values of Nc factor for axisymmetric and 2D FEM were obtained. Two geometries consider-
    ing a perpendicular load applied in the anchor area and horizontal anchor position to different depths were
    studied. In the same way, anchor plates to a reduced scale were tested in a tank containing a soft soil. It was
    verified that the factors Nc reach constant values beyond a determined depth of the soil. Finally, the experi-
    mental and numerical values were compared with suggested methods reported in the literature.

    1. Introduction 2. Finite Element Model Plate Anchor Study

    Plate anchors are frequently used as foundation solu- A sequence of finite element analyses was carried
    tions for offshore structures to transmit forces to sur- out using the Plaxis code. The methodology de-
    rounding soils at various depths. The capacity esti- scribed is for axisymmetric (AXI) and plane strain
    mation of the anchor is nevertheless uncertain (2D) analyses, and the results obtained are dis-
    insofar as there are factors that have a large influ- cussed.
    ence in its behaviour. Examples of such factors in-
    clude the installation process, soil characteristics, 2.1 Finite element model characteristics and
    geometry of plates and large numbers of methods parameters simulated
    used to calculate the holding capacity of the anchors. A vertical pull-out load (F) was applied in the an-
    Currently, to reduce uncertainties of design, plate an- chor area in horizontal positions. Different embed-
    chors behaviour is studied with the aim of standardis- ment depths (D) were studied. The horizontal posi-
    ing the values employed, like Nc factor among others. tion allowed for comparison to be made among AXI
    Tools used in the practical design of this kind of an- and 2D results. Figure 1 shows the schematic plate
    chor are the finite element analyses (Merifield et al. anchor and the nomenclature used in this study.
    2001, 2003; Merifield, 2009; Equihua-Anguiano,
    2008), analytical models and laboratory tests (Gaudin
    et al., 2006).

    In this context, this paper presents a study of Nc val-


    ues, obtained from axisymmetric and plane strain fi- D
    nite element model (FEM) simulations done in
    Plaxis code. In addition, it outlines the results of F
    scaled-down plate anchors tested in the laboratory. l
    In both cases, the soil considered was soft clay with t
    deepwater sediment characteristics. The description L L
    of specific FEM analyses and laboratory test charac- Plan Elevation
    teristics taken into account are described. Compari-
    sons with expressions found in literature were made. Figure 1: Schematic of plate anchor and nomenclature used

    643
    The shank and fluke of the anchor were idealised as chor 2 of Table 1. From load pull-out capacities, the
    simple plates. The force at failure was obtained from factors Nc were calculated for each embedment
    the load-displacement curves using an L/10 dis- depth (D) was analysed.
    placement failure criterion for all FEM analyses.
    Geometries used in 2D and AXI studies are included
    in Table 1. The embedment ratio D/l corresponds to
    range of 1.59.0, where l is the plate width. For AXI
    studies an equivalent diameter (Dequi-axi) was used to D
    ensure the same plate areas.

    Table 1: 2D and AXI FEM plate anchors geometries


    2D FEM AXI FEM Thickness
    Anchor
    l (m) L (m) Dequi-axi (m) t (m)
    1 2 4 3.20 0.3
    2 2 3 2.76 0.3

    A high stiffness was assigned to the anchors in Figure 2: Detail of FEM model (60 50m) used in 2D-MC
    Plaxis to guarantee a rigid behaviour. The anchors analyses
    are modelled weightless, and the base plate was con-
    sidered fully adhered to the soil. An adhesion factor 3000
    L= 3 m
    of D= 1.0 was used for the interfaces and corre- 2500
    sponds to a rough surface. The soil simulated was a
    clay with deep-sea sediment characteristics, using a 2000
    F (kN)

    constitutive Mohr-Coulomb (MC) model and


    1500
    undrained parameters. The parameters, undrained
    shear strength (su) and undrained Youngs moduli 1000
    (Eu) were considered to vary linearly with depth (z).
    The analysis did not take into account the suction 500

    developed. The geotechnical parameters used in 0


    Plaxis are shown in Table 2, where Jsat = saturated 0.0 0.2 0.4 0.6 0.8
    unit weight (kN/m3), Iu = undrained friction angle Displacement (m)
    () and vu = undrained Poissons ratio. D=3 m D=6 m D=9 m
    Table 2: Geotechnical undrained parameters MC model D=12 m D=15 m D=18 m
    Jsat Iu su Eu Qu D=21 m
    Soil
    (kN/m3) () (kN/m2) (kN/m2)
    Figure 3: Load-displacement curves obtained from 2D-MC
    Clay 17 0 1.6z 500su 0.49
    Plaxis analyses for the Anchor 2 characteristics

    The values of Nc were calculated according to the Results obtained from 2D FEM analysis are shown
    formula: in Figure 4. Two Nc D/l normalized curves are pre-
    F sented; these correspond to results obtained for the
    Nc (1)
    Asu Anchors 1 and 2. In the same figure, comparisons
    where F is the vertical pull-out load; A is the plate with results obtained using the procedure suggested
    anchor area; and su is the undrained shear strength by Merifield et al. (2003) for the estimation of uplift
    resistance at the anchor embedment depth. capacity are shown.

    2.2 Mesh used in finite element model The two curves Nco correspond to the break-out fac-
    The mesh geometry in 2D and AXI conditions is tor for the Anchor 1 and 2, respectively. Maximum
    sufficiently large to avoid the influence of the and minimum values obtained of 2D-MC FEM
    boundaries in the anchor plate response (Figure 2), analyses are Nc = 14.9 and 12.9. Nc is constant for
    and 15 nodded triangle elements were used. 'O3 embedment depth. The difference presented
    among Nc values of Anchors 1 and 2 plates is not
    2.3 The 2D and AXI finite element model results considerable, and the curves followed the same
    Figure 3 shows load-displacement curves for 2D- trend. The value considered as representative is Nc =
    MC analyses. Results correspond to the plate An- 12.9. High values (Nc = 14.9) obtained are not taken

    644
    into account, due to the influence by proximity of gested procedure for estimation of uplift capacity for
    the mesh surface and its influence in Nc values. circular anchors included in Merifield et al. (2003).
    20 20

    AXI FEM analyses Anchor 1


    Anchor 2
    Anchor 1
    2D FEM analyses Anchor 2
    15 15

    Factor Nc
    Factor Nc

    Nc J - Anchor 2
    N cJ Nc J - Anchor 1 Nco - Anchor 2

    10 Nco - Anchor 2 10
    Nco - Anchor 1 Suggested procedure
    (Merifield et al., 2003)
    Suggested procedure Nco - Anchor 1 AXI-MC
    (Merifield et al., 2003) 5
    5
    0 3 6 9 12 0 3 6 9 12
    D/l D/Dequi-axi
    Figure 4: Factors Nc obtained from 2D-MC FEM analyses for Figure 5: Factors Nc obtained from AXI-MC FEM analyses for
    Anchors 1 and 2, and results obtained using the procedure circular Anchors 1 and 2, and results obtained using the pro-
    suggested by Merifield et al. (2003) for estimation of uplift cedure suggested by Merifield et al. (2003) for estimation of
    capacity uplift capacity

    Factor Nc = 12.9 obtained is higher that Nc = 11.2 The break-out factor was calculated with Nco =
    reported by Merifield et al. (2003) for strip anchors S[2.56ln(2D/Dequi-axi)] for Anchors 1 and 2. Values
    with rough surfaces. This can be explained as the of the Nco are lower than that obtained in AXI condi-
    MC model gives high load capacities. However, tions, however Nco increases when it takes the effect
    there is good agreement for both values calculated. of overburden pressure, reaching NcJ  Nc*, Nc* =
    Another factor considered to influence these higher 12.6 value. The figure also shows that D/Dequi-axi 
    results is the full adherence in the contact soil- have the deep anchor conditions. Figure 6 shows the
    anchor in simulations, which increases the pull-out failure kinematics to a pull-out corresponding to a
    resistance. On the other hand, values for Nco depend load (F) in AXI conditions, with soil displacement
    on the embedment D/l and geometry L/l ratios. vectors at failure and contours of equal displace-
    Curves obtained are lower than the values obtained ments. A good agreement with kinematics used to
    in 2D-MC FE analyses. Nevertheless, taking into formulation of analytical methods is observed (see
    account the effect of overburden pressure as NcJ = Figure 7; Elkhatib and Randolph, 2005).
    Nco + JD/su, the calculated values are higher than the
    limiting value of the break-out factor Nc* = 11.2 ob-
    tained for a strip anchor. The effect of overburden
    pressure has an important influence in Nc. In the case
    of numerical analysis, the values of the overburden
    ratio (JD/su) were closed to 10.

    Figure 5 shows results obtained in AXI conditions,


    considering the same soil parameters used in 2D
    analyses (Table 2). The normalised curves corre-
    spond to Nc D/Dequi-axi for Anchors 1 and 2. For ax-
    isymmetric conditions, a maximum value of Nc = 17
    and a minimum of Nc = 15.1 were obtained. Nc val-
    ues kept uniformity with the depth (D/Dequi-axi  ),
    similar for 2D conditions. The higher Nc values cor-
    responding to those obtained in 2D conditions are an
    effect of 3D capacities given in AXI conditions. The
    difference presented among Anchors 1 and 2 curves Figure 6: Failure kinematics to a pull-out load (F) in AXI con-
    is not considerable, and the curves follow the same ditions, with (left) soil displacement vectors at failure and
    trend. Figure 5 shows the comparisons with the sug- (right) contour displacements, with an embedment depth of
    D = 12m

    645
    For the laboratory test, the model plate was installed
    in the soil as shown in Figure 9, and it was then cov-
    ered by soil with equal water content. Before the ap-
    plication of the pull-out load, the soil was left for
    1824hr in order to ensure regain of the shear
    strength of the remoulded soil. Subsequently, the
    pull-out (F) load was applied with a constant speed
    of 1mm/s in order to obtain undrained conditions.
    Figure 7: Failure kinematics considered in analytical methods
    formulation (Elkhatib and Randolph, 2005) 200
    180
    3. Laboratory Anchor Tests 160
    140

    Vertical force F (N)


    The laboratory test procedure included: a steel plate 120
    scaled down tested in two different depths, using the
    100
    experimental VisuCuve tank developed in 3S-R
    laboratory (Figure 8; Orozco et al., 2007). 80
    Plate 1 1
    Plaque
    60
    Plate 2 2
    Plaque
    The soft soil used in the plate tests presents character- 40
    istics of deepwater sediments. It was formed by mix- 20
    ing kaolin, bentonite and natural water, with final wL 0
    = 160%; plasticity index (PI) = 132%, w = 110% and 0 20 40 60
    J= 14kN/m3. The soil was installed in the tank Visu- Vertical displacement (mm)
    Cuve using a square trowel, and their depth was
    Figure 10: Load-displacement curves for D = 310mm (Plate 1)
    45cm. To obtain factor Nc, the shear strength resis-
    and D = 187mm (Plate 2)
    tance (su) was measured with a T-bar penetrometer
    (Randolph et al., 1998). An average value of su =
    Figure 10 shows load-displacement curves obtained
    4.5kPa was employed. The overburden ratios (JD/su)
    for the two different depths tested. Nc can be calcu-
    of the experimental tests were 0.6 to 1.0.
    lated from Equation 1, in which the higher load (F)
    value obtained from the measured values was taken
    to obtain factors Nc = 13.9 and 14.7 for D = 310mm
    (Plate 1) and D = 187mm (Plate 2) embedment
    depths, respectively. Figure 11 shows soil failure
    surface for the Plate 1 tested to D = 3.1L embedment
    depth.

    Figure 8: Circular steel plate tested

    Figure 11: Soil failure surface for steel plate tested to


    D = 3.1L depth

    Factor Nc = 14.7 is near to axisymmetric Nc = 15.1


    value presented in a previous section. Applying the
    procedure for estimation of uplift capacity by Meri-
    Figure 9: Installation of the plate in the soil field et al. (2003), the values of NcJ are 12.5 (Plate 1)

    646
    and 9.5 (Plate 2), and the vertical load F = 160N and for use of its facilities and support to perform the
    120N, respectively, are obtained. Plate 1 shows shal- experiments.
    low anchor behaviour.
    References
    Although the two values found in laboratory tests
    are smaller, there is a good agreement with AXI Elkhabit S and Randolph MF. (2005). The effect of
    FEM analysis using the MC criterion. These results interface friction on the performance of drag-in
    present a good agreement with AXI-MC FEM plate anchors. In: Gourvenec S and Cassidy M.
    analyses realised with Plaxis. The values presented (eds.). Proc. Int. Symp. Frontiers in Offshore
    in this paper correspond to a behaviour without suc- Geotechnics, ISFOG 2005. London: Taylor and
    tion contribution, so the value corresponds to a long- Francis, 171177.
    term behaviour. This is where the suction does not Equihua-Anguiano LN. (2008). Modlisation des
    participate in the final load contribution, due to the ancrages de structures offshore flottantes dans les
    pore pressure dissipation in the time. grands fonds Marins. Thse Doctorat, Laboratoire
    3S-R, INPG. Grenoble, France.
    4. Conclusions Gaudin C, OLoughlin D, Randolph MF and Low-
    mass AC. (2006). Influence of the installation
    The Nc = 12.9 value was obtained in plane strain process on the performance of suction embedded
    FEM analysis using Mohr-Coulomb model. This plate anchors. Gotechnique 56: 381391.
    value is close to Nc = 11.2 calculated using the sug- Merifield RS. (2009). Uplift capacity of inclined
    gested procedure by Merifield et al. (2003) for strip plate ground anchors in soil, Chapter 3. In: Bull
    anchors with rough surfaces. In axisymmetric condi- JW. (ed.). Linear and Non-linear Numerical
    tions, the values Nc = 15.1 is higher compared with Analisys of Foundation. London: Spon Press.
    Nc = 12.6 obtained by Merifield et al. (2003), al- Merifield RS, Sloan SW and Yu HS. (2001). Stabil-
    though slightly it is closer to the experimental results ity of plate anchors in undrained clay. Gotech-
    Nc = 14.7. nique 51: 141153.
    Merifield RS, Lyamin AV, Sloan SW and Yu HS.
    Results of the Nc factor presented in this paper are (2003). Three-dimensional lower bound solutions
    higher than the limiting value of the break-out factor for stability of plate anchors in clay. Journal of
    Nc* = 11.2 for strip anchors and Nc* = 12.6 for circular Geotechnical and Geoenvironmental Engineering
    anchors. The effect of overburden pressure has an im- 129: 243253.
    portant influence in these factors. One factor consid- Randolph MF, Hefer PA, Geise JM and Watson PG.
    ered to influence the higher results is the full adher- (1998). Improved seabed strength profiling using
    ence considered for the contact in the soil-anchor T-bar penetrometer. In: Proc. Intl. Conf. Offshore
    simulation, which increases the pullout resistance. Site Investigation and Foundation Behaviour
    Elasto-plastic model with a Mohr-Coulomb criterion New Frontiers. London: Society for Underwater
    used in numerical FEM analyses is another factor that Technology (SUT), 221235.
    gives high load capacities, and therefore higher Nc.

    The Mohr-Coulomb criterion is a simple model used


    in numerical simulations, however, it allowed for
    comparisons with values reported in literature. It is
    still necessary to use more complex constitutive
    models to have a better approximation of soil behav-
    iour and to obtain Nc values closer to those reported
    in literature. The 3D numerical model studies are
    necessary to carry comparisons with studies, and
    further research about suction contribution would be
    of interest.

    Acknowledgments

    The authors acknowledge the reviewer for their use-


    ful comments, and the Laboratoire 3S-R at Grenoble

    647
    648
    CAPACITY AND KEYING RESPONSE OF PLATE ANCHORS IN
    SAND

    CD OLoughlin
    Centre for Offshore Foundation Systems, Perth, Australia
    B Barron
    Institute of Technology Sligo, Sligo, Ireland

    Abstract
    The capacity and keying behaviour of strip anchors in dense silica sand is examined in this paper through a
    series of centrifuge tests conducted at 30g. Tests were conducted adjacent to the Perspex side panel of the
    centrifuge strongbox to facilitate optical observation and measurements of the keying response. Image analy-
    sis shows the failure mechanism to transition from a deep localised rotational mechanism to a shallow block
    mechanism extending to the soil surface. The onset of this transition coincides with the peak uplift resistance
    of the plate, which occurs at approximately 65. The uplift resistance of the plate as it becomes horizontal is
    in good agreement with a limit equilibrium solution that neglects the normality condition and assumes a fail-
    ure mechanism that is broadly similar to the eventual failure mechanism of the plate after keying.

    1. Introduction

    Much work has been conducted in recent years on


    the capacity and keying behaviour of plate anchors
    in clay, with notable contributions from Gaudin et
    al. (2006a), Song et al. (2009) and Yang et al.
    (2012). There have been very few corresponding
    studies in sand, as clay is the dominant soil type in
    the deep-water environment in which plate anchors
    are currently used. However, the installation of
    floating wave energy converters and wind turbines
    in water depths of typically less than 100m will re-
    quire anchoring systems that are suitable for sand
    Figure 1: Problem notation: (a) vertically loaded horizontal
    deposits. anchors; (b) horizontally loaded vertical anchors; and
    (c) vertically loaded vertical anchors.
    Prior studies on the performance of plate anchors in
    sand have either considered vertically loaded hori- 2. Experimental Programme
    zontal anchors (Figure 1a; e.g. Ovesen, 1981;
    Murray and Geddes, 1987; Dickin, 1994), or hori- 2.1 Institute of Technology Sligo centrifuge
    zontally loaded vertical anchors (Figure 1b; e.g. Das The centrifuge tests were carried out using the re-
    et al., 1977, Rowe and Davis, 1982; Merifield and cently commissioned Institute of Technology Sligo
    Sloan, 2006). To the authors knowledge, no studies beam centrifuge. It is a 9 g-tonne beam centrifuge
    have addressed vertically loaded vertical anchors that can spin two strongboxes at either end of a
    (Figure 1c). In this problem the plate rotates, or 0.75m beam rotor at a maximum (effective radius)
    keys, from a vertical to horizontal orientation before acceleration level of 300g. The strongboxes adopted
    loading to failure as a vertically loaded horizontal for this study are plane strain boxes with Perspex
    anchor. This problem is addressed here through cen- side panels and internal (sample) dimensions of
    trifuge model tests on a strip anchor in dense silica 300mm (length), 180mm (depth) and 140mm
    sand. This paper firstly describes in detail the ex- (width). Each strongbox acts as a counterweight to
    perimental approaches adopted for these tests before the other and doubles the available testing plan area
    presenting and discussing the results. (84 000mm2).

    649
    The centrifuge features a rotary stack that allows for The CPT profiles for the three strongboxes consid-
    the passage of fluid, air (two channels) and electrical ered in this paper are provided on Figure 3. As ex-
    signals or power (16 slip rings). Although the num- pected for a sample with constant ID with depth, the
    ber of rings is low, they are not required for data tip resistance increases linearly with increasing
    transfer as this is achieved by using an extremely stress level after 3 to 4 cone diameters (v = 15
    compact and robust wireless data acquisition system 20kPa). The good agreement between profiles both
    (described by Gaudin et al., 2009). This system al- within and between strongboxes indicates that the
    lows combined low and high speed sampling (of up preparation technique produced repeatable samples.
    to 1MHz) on 16 channels (expandable to 64 chan-
    nels) at 16-bit resolution. A full technical description
    of the centrifuge is provided by OLoughlin et al.
    (2010).

    2.2 Model anchors


    The model plate anchor and mandrel used for instal-
    lation is shown in Figure 2, together with the geo-
    metrical notation adopted for this paper. The 3mm
    stainless steel plate has a length (L) of 140mm and
    breadth (B) of 20mm. A 3mm-thick plate was cho-
    sen to accommodate an O-ring at the plate-Perspex
    interface. The surface of the anchor was not treated (a)
    and may be considered relatively smooth. As the
    model anchor spans the width of the centrifuge
    strongbox, the soil-Perspex interface constrains out-
    of-plane soil displacements at the anchor ends, so
    that the anchor exhibits plane strain behaviour. The
    anchor padeye was located on the triangular shank at
    an eccentricity (e) of 20mm from the centreline of
    the plate, resulting in an eccentricity ratio (e/B) of 1.

    2.3 Sample preparation and characterisation


    Congleton sand was used in the centrifuge tests. It is
    a uniform silica sand (Cu = 1.4) with rounded parti-
    cles and a mean particle size (D50) of 0.14mm. The
    sand has a critical state friction angle (
    crit) of 32, a
    maximum density (max) of 1763kg/m3 and a mini- (b)
    mum density (min) of 1461 kg/m3 (Lauder, 2010; Figure 2: Model plate anchor: (a) photograph showing anchor
    Bransby et al., 2010). Samples were prepared by and installation mandrel; and (b) schematic and geometrical
    compacting dry sand in 1314mm layers in the cen- notation
    trifuge strongbox at 1g. This preparation technique
    produced samples with relative densities that remain 2.4 Testing arrangement and procedure
    tolerably constant with depth and equal to (ID) To facilitate viewing and image capture during an-
    912% between samples. chor keying, tests were conducted adjacent to
    Perspex panels. A digital camera was placed within
    Prior to the anchor tests, two cone penetration tests a custom-made cradle supporting the camera lens at
    (CPT) were conducted in each strongbox to charac- high acceleration levels. The cradle was mounted
    terise the sample using a 10mm-diameter model securely on a bracket extending from the viewing
    CPT inserted at a rate of 1mm/s. The CPTs were lo- face of the strongbox and oriented so the camera
    cated along the centreline of the box (70mm from lens axis was perpendicular to the Perspex panel (see
    the closest rigid boundary). As such, the CPT loca- Figure 4). A Canon S80 camera with 8 megapixel
    tion is less than the recommended minimum spacing resolution (3264 2448 pixels) was used for digital
    of 10 times the cone diameter (Bolton et al., 1999). image capture. Synchronisation of the logged data
    However, since the CPT locations are the same in and the captured images was achieved by logging
    each sample, the profiles serve as a useful indication the signal sent via the centrifuge slip rings to trigger
    of the repeatability of each sample. the camera shutter and initiate continuous shooting.

    650
    After removing the installation mandrel from the
    sample, the anchor line was attached to the linear ac-
    tuator. As shown by Figure 5, the actuator was posi-
    tioned directly over the vertically oriented plate,
    rather than the anchor padeye. The model was then
    transferred to the centrifuge and spun up to 30g. The
    digital camera was then triggered remotely and the
    actuator moved vertically upwards at a rate of 1mm/s.

    Figure 3: CPT profiles

    LED lighting Figure 5: Anchor installation at 1g showing disturbance of the


    sample surface
    Strongbox

    Linear actuator

    Camera Load cell


    Strongbox

    Anchor line
    Figure 4: Testing arrangement in the centrifuge

    Soil movements at the sand Perspex interface were Sample


    determined from particle image velocimetry (PIV)
    analysis of the images captured during testing
    (White et al., 2003). The zone of interest from each
    digital image was divided into approximately 7500
    interrogation patches, each covering a zone of soil
    approximately 5mm2. Each of these patches was
    tracked using a correlation algorithm to identify its
    movement in a pair of images, with a measurement Figure 6: Position of anchor and actuator prior to anchor
    precision of 0.5m for the field of view used during keying and pullout
    these experiments.
    In addition to the anchor tests conducted adjacent to
    The model anchor was installed in a vertical orien- the Perspex panel, a number of tests were conducted
    tation at 1g using a custom-made installation man- where the anchor was installed in the middle of the
    drel (see Figure 2a) to a mid-anchor depth (H) of strongbox but the anchor ends were not adjacent to
    100mm (5B). This installation process caused a the Perspex panels. These tests were included to
    wedge of sand to translate vertically downwards provide load-displacement data that was not com-
    with an adjacent surface heave either side of the in- promised by friction developing between the anchor
    stallation site (see Figure 5). This surface distur- ends and the Perspex. A total of 6 tests are consid-
    bance was not repaired after anchor installation, ered in this paper: 4 where the anchor is tested adja-
    as similar surface disturbance is also likely to occur cent to the Perspex panel and 2 where the anchor is
    in situ. tested in the interior of the strongbox.

    651
    3. Experimental Results and Discussion ured to the vertical) at various stages of the keying
    and pullout response. The plate rotation angles were
    3.1 Pullout response determined from the digital images of the sand Per-
    The load displacement response during anchor key- spex interface, shown in Figure 9 for points A to F
    ing and pullout is shown on Figure 7. The response (corresponding with Figure 8). A schematic overlay
    is typical of that for clay (e.g. Gaudin et al., 2006a) of the anchor and the loading direction is also shown
    with an initial stiff response as the anchor begins to for clarity. In comparing Figures 8 and 9 it is evident
    rotate. This is followed by a softer response as the that the plate anchor does not fully key when it
    rotation angle increases, and a final stiff response as reaches peak capacity. The plate rotates from the ini-
    the effective eccentricity of the padeye reduces and tial quasi-vertical orientation to   WRWKHYHUWi-
    anchor capacity is fully mobilised. A softening re- cal) at the peak load. Beyond this load the anchor
    sponse is evident after the peak load, with significant continues to rotate during post-peak softening,
    oscillation in the load (up to 200N). These oscilla- UHDFKLQJ DQ RULHQWDWLRQ RI    DW SRLQW )  DQG
    tions are typical of those observed in pullout tests of gradually inFUHDVLQJWRRYHUWKHUHPDLQGHURI
    anchors and pipes in loose and dense sand (e.g. the pullout.
    Trautmann et al., 1985; Dickin, 1994; Cheuk et al.,
    2008). They are caused by the progressive infilling
    of the void behind the anchor plate as it moves
    through the sand.

    Interestingly, the peak loads measured during tests


    conducted in the interior of the strongbox are similar
    to those measured during tests conducted adjacent to
    the Perspex panel. This indicates that the friction be-
    tween the anchor ends and the Perspex is small rela-
    tive to the bearing resistance of the plate. Similar
    findings were reported in Gourvenec and
    OLoughlin (2006), which showed similar bearing
    resistance profiles for half model footing tests con- Figure 7: Load displacement response during keying and
    ducted adjacent to a Perspex panel and full footing pullout
    model footing tests conducted in the interior of the
    strongbox. Hence it is reasonable to use the load
    data from the tests conducted adjacent to the Perspex
    panel.

    The actuator displacement to the peak load in Figure


    7 is 27.21.2mm. However, this displacement repre-
    sents the travel of the anchor padeye, rather than the
    vertical loss in embedment of the plate anchor dur-
    ing keying. The loss in embedment of the plate an-
    chor is more conveniently determined from the im-
    ages captured during the tests and is in the range ]e
    = 3.7 to 4.3mm, or ]e/B = 0.19 to 0.22. This is also Figure 8: Load displacement response for Test 4 showing plate
    ZLWKLQ WKH UDQJH ]e/B = 0.09 to 0.22, as reported rotation at various stages during keying
    by OLoughlin et al. (2006), for plate anchors in clay
    with the same e/B = 1 ratio. However, in the latter The reason why the peak load does not correspond
    case the loss in embedment to the peak load also with the maximum projected area becomes evident
    corresponded with completion of keying, whereas after examining the soil surface in Figure 9 for each
    for the tests reported here, the plate orientation to the stage of the pullout. As the load increases towards
    vertical was in the range 60 to 65. This is discussed the peak load, soil movements are deep and localised
    further in the following section. to the plate. However, when the peak load is reached
    (point D in Figure 8) heave at the soil surface is evi-
    3.2 Deformation mechanisms dent, becoming more prominent as the plate contin-
    Figure 8 shows the load displacement response for ues to key (points E and F). This indicates that the
    Test 4, together with plate rotation angles (, meas- failure mechanism transitions from a deep localised

    652
    mechanism to a shallow mechanism extending to the
    soil surface at approximately 60 plate rotation.

    PIV analyses of image pairs selected before and at


    the peak load demonstrate the mechanism transition
    quite clearly. Figure 10 shows the instantaneous ve-
    locity fields for Test 3. The pre-peak deformation
    PHFKDQLVP    F/Fpeak = 71%) is shown in
    Figure 10a and is characterised by localised flow-
    around soil movements at the plate, similar to flow-
    around mechanisms observed by Gaudin et al.
    (2006b) during keying of plate anchors in clay. Fig-
    ure 10b shows the deformation mechanism at the
    SHDN ORDG     7KH PHFKDQLVP LV QRZ GRPi-
    nated by soil movements extending from the plate to
    the soil surface and explains the onset of heave at
    the ground surface for Test 4 (Figure 9). Although
    asymmetrical due to the inclination of the plate, the
    inclined slip plane is curved rather than straight, re-
    flecting an increase in the dilation angle at the lower
    stress levels close to the ground surface. The inclina-
    tion of the left slip plane, relative to a line orthogo-
    nal to the plate, is in the range of 611, whereas the
    right slip plane is vertical, making an angle of 26 to
    a line orthogonal to the plate. Normality requires
    that the soil dilates at an angle equal to the friction
    angle, but it is evidently violated here as the soil is
    dilating at an angle less than or equal to 26. This is
    much lower than the peak friction angle of 44
    (Lauder, 2010) and lower than the critical friction
    angle of 32.

    3.3 Comparisons of experimental break-out factors


    with theoretical solutions
    The uplift resistance of a vertically loaded horizontal
    anchor may be expressed in terms of an anchor
    breakout factor (N):
    P
    N (1)
    H cB
    where P is the uplift resistance per unit length; H is
    the depth to the plate anchor (as defined in Figure
    6);
    is the effective unit weight of the soil; and B is
    the breadth of the anchor plate (as defined in Figure
    2). Values of N are generally obtained from finite
    element analyses (e.g. Merifield and Sloan, 2006),
    plasticity solutions (e.g. Equation 2; Ng and
    Springman, 1994) and limit equilibrium solutions
    (e.g. Equation 3; White et al., 2008):
    H
    N 1 tan (2)
    B
    H Figure 9: Images from Test 4 at various rotation angles
    N 1  Fup (3) during keying
    B

    653
    and plate anchors in dense sand. The dilation angle
    required for Equation 4 was selected using Bolton
    (1986) correlations, which link dilation angle to rela-
    tive density and grain-crushing strength, relative to
    the mean effective stress. N figures derived from fi-
    nite element analyses and reported by Merifield and
    Sloan (2006) are essentially identical to those pro-
    duced by Equation 2 and are not shown in Figure 11
    for clarity. The back-figured N from the tests re-
    ported here were calculated using the following
    slightly modified form of Equation 1:
    P
    N (5)
    HcBsin

    where the sinWHUPDFFRXQWVIRUWKHYDU\LQJLQFOLQa-


    tion of the plate during keying, which effectively re-
    duces the area presented in the direction of the
    quasi-vertical loading.
    (a)

    Figure 11: Comparison of back-figured N from Tests 3 and 4


    with other experimental data and theoretical solutions
    (b)
    Figure 10: Instantaneous velocity field for Test 3 (a) at 71% of Back-figured N from Tests 3 and 4 are shown in
    WKHSHDNORDG    DQG E DWWKHSHDNORDG   ; Figure 11 to approach the theoretical and experimen-
    note axes are in pixels
    tal range after the peak load is exceeded and the
    where Fup is a function of the peak friction angle, plate approaches a horizontal orientation. This is
    peak, the dilation angle, , and the at rest earth pres- consistent with the other experimental and theoreti-
    sure coefficient, K0 = 1 - sin crit: cal data in Figure 11 $IWHU    7HVW   DQG
      7HVW , the best agreement is with the limit
    equilibrium solution proposed by White et al.
    1  K 0 1  K 0 cos 2
    Fup tan  tan peak  tan  (2008). This is to be expected, as this solution as-
    2 2 VXPHVDQGa failure mechanism that is broadly
    (4) similar to the eventual mechanism reached in the
    Equations 2 and 3 are plotted in Figure 11, together plate anchor tests reported here. Conversely, the Ng
    with back-figured values of N from Tests 3 and 4 and Springman (1994) plasticity solution predicts
    and other available data in the literature for pipes higher uplift resistance as a result of the higher dila-

    654
    tion angle required by the normality condition, and Gourvenec S and OLoughlin CD. (2006). Drum
    hence a larger soil mass mobilised in uplift. centrifuge tests of shallow skirted foundations on
    soft clay. Proc. 6th Intl. Conf. Physical Modelling
    4. Conclusions in Geotechnics, Hong Kong, vol. 1, 645650.
    Lauder K. (2010). The performance of pipeline
    The keying behaviour of plate anchors in dense ploughs. PhD Thesis, University of Dundee.
    silica sand were examined through centrifuge tests. Merifield RS and Sloan SW. (2006). The ultimate
    Image analysis allowed the rotation and position of pullout capacity of anchors in frictional soils. Ca-
    the plate to be tracked during loading. The most nadian Geotechnical Journal 43: 852868.
    striking observation from the tests was the failure Murray EJ and Geddes JD. (1987). Uplift of anchor
    mechanism transition during keying, from a deep plates in sand. Journal of Geotechnical Engineer-
    localised rotational mechanism to a shallow block ing 113: 202215.
    mechanism extending to the soil surface. This transi-
    Ng CWW and Springman SM. (1994). Uplift resis-
    tion coincided with the peak resistance of the plate
    tance of buried pipelines in granular materials.
    and occurred when the plate was approximately 65
    Proc. Intl. Conf. Centrifuge 94, Singapore, 753
    to the vertical. A limit equilibrium solution proposed
    758.
    by White et al. (2008) in which normality is ne-
    OLoughlin CD, Lowmass A, Gaudin C and
    glected, predicts the plate uplift resistance satisfacto-
    Randolph MF. (2006). Physical modelling to as-
    rily when the plate approaches a horizontal inclina-
    sess keying characteristics of plate anchors. Proc.
    tion.
    6th Intl. Conf. Physical Modelling in Geotechnics,
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    655
    

    656
    ,17(*5$7,21
    
    SEAFLOOR BASED DRILLING AND SAMPLE QUALITY AT SOFT
    CLAY SITES
    AG Yetginer and TI Tjelta
    Statoil, Stavanger, Norway
    S Yang and T Lunne
    Norwegian Geotechnical Institute, Oslo, Norway
    JL Colliat-Dangus
    Total, Pau, France
    A Longuet
    Cathie Associates, Brussels, Belgium

    Abstract
    Two soil investigations were performed in soft, lightly overconsolidated clays in 1300m of water depth. This
    paper reviews and compares the results of these investigations and the subsequent onshore laboratory testing.
    It focuses in particular on the quality of the samples and the performance and efficiency of the seafloor based
    drilling system that was utilised. The laboratory testing results clearly demonstrate that the lower plasticity
    clays encountered at Site L of a Norwegian gas field are more susceptible to sample disturbance, compared to
    the high plasticity clays from Site C offshore West Africa. Previous soil investigations were also conducted in
    the vicinity of both these fields, and they utilised conventional vessel based drilling techniques. Additional
    geotechnical information was available from seafloor based systems operated in non-drilling mode in similar
    ground conditions. The two sites are both deepwater lightly overconsolidated soft clay sites and are geotech-
    nically homogeneous. Given the similarity in water depth, they offer a unique opportunity for comparison of
    performance and sample quality.

    1. Introduction In addition to the results of the 2009 campaign at


    Site L, previous soil investigation information was
    Two deepwater soil investigations were performed available where the drilling and testing was per-
    in 2009 and in 2010 utilising a remotely operated formed from a dedicated geotechnical drilling vessel
    seafloor based drilling system the Benthic Geotech in 1997. Similarly, previous soil investigations were
    Portable Remotely Operated Drill 1 (PROD 1) conducted in comparable water depths and soil con-
    (Kelleher and Hull, 2008). The first campaign was at ditions in the vicinity of Site C in conventional
    a Norwegian gas field (Site L), and the second was mode in 1998. These were also done in 2001 and
    for a development offshore West Africa (Site C). 2003 by seafloor founded cone penetration tests
    Both sites are remote from shore and from existing (CPT), large-diameter jumbo gravity piston coring
    field installations, located in ~1300m of water where and STACOR sampling equipment. With this ad-
    the soil conditions consist of soft, lightly overcon- ditional information, it is possible to assess the ef-
    solidated clays. The detailed field programme at the- fectiveness of seafloor based drilling against con-
    se two sites was aimed at resolving all early re- ventional drilling performance, as well as against
    quirements for regional and local seabed data for other equipment operated in non-drilling mode. All
    both geohazards and foundation studies. Samples three techniques have their advantages and disad-
    were taken to depths in excess of 40m and comple- vantages, which are discussed by Osborne et al.,
    mented with in situ testing. Piezometers were also (2010) and Yetginer and Tjelta (2010) in detail.
    successfully and efficiently installed at several loca-
    tions in and around the Norwegian gas field up to The results available from these two sites offer a
    102m below mudline a first for a remotely oper- unique opportunity for comparison of sample quality
    ated seafloor based drilling system (Tjelta and and the parameters that have major influence on
    Strout, 2010). sample quality. This is primarily due to the fact that:

    659
    1. seafloor based drilling eliminates most of the can yield dramatically different results in terms of
    sample disturbance caused by environmental particle size distribution, and laser diffraction often
    conditions affecting the drilling in conven- overestimates the number of large particles (Thomas
    tional mode; and et al., 2007).
    2. because the geotechnical conditions at Sites L
    and C are similar in many way as described Based on the classification test results, the main dif-
    in the following section. ferentiator between the clays from the two sites is
    considered to be the plasticity index.
    2. Soil Conditions at the Two Development Sites

    2.1 General soil conditions


    The soil conditions at Sites L and C, as revealed by
    the two soil investigation campaigns, are highly uni-
    form and consist of very soft to soft clays with un-
    drained shear strength profiles linearly increasing
    with depth. The region at Site L has a very uniform
    sediment cover with small variations in thickness in
    the upper 15m. Clay content, plasticity index and
    overconsolidation profiles are consistent with depth.
    The soil profile at Site C is characterised by 1m of
    soft clay (undrained shear strength up to 15kPa),
    which is referred to as crust overlying very soft to
    stiff normally consolidated high plasticity clay. Clay
    content, plasticity index and overconsolidation pro-
    files are consistent with depth. The undrained shear
    strength profile is linearly increasing with depth be-
    low the surface crust. The clays at both sites have Figure 1: Water content profile
    not been mechanically overconsolidated, but have
    some apparent overconsolidation ratio (OCR) due to
    aging.

    2.2 Comparison of plasticity and other classification


    data
    Water content data from Sites L and C at the upper
    40m below seafloor are shown in Figure 1. Water
    contents at Site L generally range from 50% to 90%.
    Water content at Site C is generally between 100%
    and 150%, with a range of values from 150% to
    250% in the upper 5m.

    Plasticity index data at the two sites are presented in


    Figure 2. It can be seen from this plot that the plas-
    ticity index at Site C (80120%) is much higher
    compared to the values measured at Site L (20
    50%). Clay content at Site C is in the range of 10
    28%, while the clay content at Site L is in the range Figure 2: Plasticity index profile
    of 3565%. It is considered that the difference in
    clay content is primarily due to the difficulty associ- 2.3 Comparison of OCR and shear strength profiles
    ated with deflocculating West African clays (see OCR were derived according to Casagrande (1936),
    Colliat et al., 2010) and the difference in the labora- based on oedometer test results, and are presented in
    tory test methods. The clay content measurements at Figure 3. Typical constant rate of strain consolida-
    Site C were performed using the laser granulometry tion (CRSC) test results are presented in Figure 4.
    method, whereas the clay content measurements at The range of OCR is relatively similar at the two
    Site L were performed using the falling drop sites, with the majority of the values lying between
    method. Sedimentation and laser diffraction methods 1.0 and 1.8.

    660
    The undrained shear strength profiles measured in
    piezocone penetration test (CPTU) at the two sites
    are shown in Figure 6 and are based on an Nkt factor
    of 12 for both sites. Both plots demonstrate that the
    undrained shear strength profile is linearly increas-
    ing with depth, and that the undrained shear strength
    profile at Site L is slightly higher than at Site C.

    Figure 3: OCR profile

    Figure 5: Undrained shear strength from CAUC triaxial tests

    Figure 6: Undrained shear strength based on CPT results

    3. Sample Quality Comparison

    3.1 Sample quality at Sites L and C


    The sample quality at the two sites was evaluated
    based on the change in void ratio over the initial
    voids ratio ('e/e0) as per criteria defined by Lunne
    et al. (1998) and is presented in Figure 7. For both
    Sites L and C, 'e/e0 was evaluated based on the
    Figure 4: Typical CRSC test results
    consolidation phase of CAUC tests and CRSC tests.
    The undrained shear strength values measured in For Site C, additionally simple shear test results
    anisotropically consolidated undrained triaxial com- were available, which were also included in the
    pression (CAUC) tests are presented in Figure 5. sample quality comparison.

    661
    this plot would tend to follow the 1:3 line (A-B) un-
    til or close to the intersection with the Mohr-
    Coulomb failure line. A good example of this is pre-
    sented in Figure 9 from the Troll field in the North
    Sea, and there are other similar examples from on-
    shore high-quality testing of block samples present-
    ed by Berre et al. (2007) and Lunne et al. (2008).

    Figure 8: Idealised stress path curve for lightly


    overconsolidated clays

    Figure 7: Sample quality comparison

    Incremental load tests (ILT) in an oedometer were


    also performed on the samples from Site C. How-
    ever, the results of those tests are not included in the
    sample quality comparison because the loads at each
    stage during those tests were held for a duration of
    24hrs. The sample quality criteria recommended by
    Lunne et al. (1998) are not valid in this case because
    of added secondary compression, and these results
    have therefore not been further considered in this
    study.

    Stress paths from CAUC tests provide additional in- Figure 9: Troll pockmark triaxial test results
    formation on sample disturbance. If a sample is sig-
    nificantly disturbed and the structure is damaged,
    the stiffness of the stress-strain curve is reduced and Some of the tests from Sites C and L exhibit similar
    the stress path is highly nonlinear (Berre et al., initial behaviour (see Figure 10), and resemble line
    2007). Structure in this context is defined as the A-D in Figure 8. A more disturbed sample with less
    arrangement and organisation of particles, including intact structure would typically follow line A-E in
    bonding between these particles (from cementation, Figure 8, and a highly disturbed sample with almost
    aging, stresses etc.), and is usually considered intact no remaining structure would follow line A-F. The
    prior to sampling. higher sample disturbance is also evident in the oe-
    dometer test results from Sites L and C (presented in
    An idealised stress path for a clay sample that has Figure 4). It is more difficult to determine the appar-
    not been mechanically overconsolidated, but exhib- ent preconsolidation stress of the sample from Site
    its some apparent preconsolidation or yield stress L, as the transition from the initial part of the con-
    (pc) and overconsolidation due to aging, is present- solidation line into virgin compression is not well
    ed in Figure 8. A perfectly undisturbed sample on defined.

    662
    ticity and hence have a more brittle structure, suf-
    fered more from the sampling process than the high-
    er plasticity clays from Site C.

    Additional factors that may also have contributed to


    differences in sample quality include: in situ gas;
    disturbance from the sampling process; added sam-
    ple disturbance due to sample handling; storage and
    transport; and different laboratory procedures. The
    contributions of these factors on the two soil investi-
    gation campaigns are briefly discussed in the follow-
    ing paragraphs.

    3.2.1 Effect of shallow gas


    Shallow gas has been recorded in or around many
    offshore oil and gas fields, and often exists in off-
    shore sediments. It usually occurs as a result of bac-
    terial activity and decomposition of organic material
    locally (biogenic gas), or slow seepage of gas from
    deeper sources. In either case, the consequence of
    bringing samples with a minute amount of gas dis-
    Figure 10: Examples of stress paths from CAUC triaxial tests
    at Sites L and C: (a, b, c) stress paths from Site L; and solved in the pore water to surface through sampling
    (d, e, f) stress paths from Site C can cause further sample disturbance. In addition to
    that of the sampling process, when gas comes out of
    3.2 Discussion on findings solution it expands and escapes from the sample,
    The two sites where seafloor based drilling systems thus disturbing the structure of the sample (Lunne et
    were operated are geotechnically homogeneous and, al., 2001, 2008). In the worst case, it causes the
    given the similarity in water depth, offer a unique samples to crack, or may even blow the sample out
    opportunity for comparison of sample quality. It has of the tube when extruding.
    not been possible to conduct a comparison of this
    kind on other projects to date. Even on occasions This was observed at one borehole location at Site L,
    where the same soil investigation contractor and the details of which are presented in Tjelta and Yetginer
    same drilling spread were mobilised, these opera- (2010). The test results from the samples where
    tions would have been performed in different weath- cracking was observed have been excluded from the
    er windows and environmental conditions. The dif- comparison presented here. However, this does not
    ference in sample quality and disturbance may hence remove the possibility that some of the sample dis-
    have been attributed to these operational factors. The turbance observed at Site L may still be attributed to
    two soil investigation projects presented in this pa- stress relief, which may have caused invisible crack-
    per thus offer a rare opportunity where a direct ing in the samples and increased disturbance. No ob-
    comparison is plausible. servation of gas was made at Site C.

    As shown in Figure 7, the sample quality evaluation 3.2.2 Effect of sampling process
    of the laboratory test results at Site C lies in the For both sites, exactly the same equipment, proce-
    very good to excellent and good to fair sample dures and contractor were used. There is no reason
    quality categories. In contrast, the sample quality to believe that any difference in sample quality can
    measurements at Site L cover a wider range where arise from the drilling and sampling process. PROD
    the majority of the data points lie within good to 1 has one type of sampler head, which is part of the
    fair and poor categories. This variation in sample standard sampling equipment and designed to suit
    quality may be due to the difference in plasticity in- all ground conditions. Tjelta and Yetginer (2010)
    dex at these two sites, where the low plasticity clays provide further details on this and conclude that it
    of Site L are more susceptible to sample disturbance may be possible to achieve a higher sample quality
    compared to the high plasticity clays of Site C. with a modified, sharpened cutting shoe. However,
    These observations are further supported by compar- these modifications, which were performed during
    ison of stress paths, where it can clearly be seen that the soil investigation at Site L, were limited to a
    the clays from Site L, which exhibit moderate plas- small number of the samples taken with the PROD.

    663
    The soil investigation at Site C was performed with Their results indicate a trend that better quality can
    the unaltered PROD 1 sampler head design. Hence, potentially be achieved using the thin-walled 3-inch
    the effects of the robust sampler head on sample dis- piston tube sampler, together with a hard-tie system,
    turbance would be expected to be the same at both compared to the more robust, hydraulically tethered
    sites. 44mm-diameter (1.73-inch) piston corer currently
    used by the PROD 1 system, which has a signifi-
    3.2.3 Effect of handling, storage and transport cantly larger wall thickness and thickness/diameter
    Similar sample storage and handling procedures ratio.
    were applied offshore. For both Sites L and C, sam-
    ples were stored in liners stowed vertically and kept Previous soil investigation information is also avail-
    isolated with rubber-foam in aluminium boxes. All able near Site C, where the sampling operations
    these boxes were stored in a reefer container close to were performed in non-drilling mode with seafloor
    seabed temperature (~5C), which was transported founded equipment. The sample quality results from
    to the laboratory. For Site L this involved less this and other similar soil investigations in the re-
    transport than Site C, which was more remote, and gion are presented by Borel et al. (2002). Their con-
    therefore if anything should have resulted in less dis- clusion is that higher sample quality levels can be
    turbance. achieved with seafloor founded equipment operated
    in non-drilling mode utilising a stationary piston.
    3.2.4 Difference in laboratory testing procedures They also conclude that 3-inch piston tube samples
    Two different laboratories were involved for the ma- operated in downhole mode from a vessel can
    jority of the testing for the two sites: NGI for Site L achieve equally high levels of sample quality, al-
    and UWA for Site C. A small amount of samples though they possibly might not be as consistently
    were also tested at a university laboratory (UMass high as that from the seafloor founded system due to
    Amherst) for Site L, giving similar results to those the environmental factors involved. Similarly, high
    reported by NGI. sample quality results have been reported from other
    soil investigations in the North Sea where Ip = 40%,
    3.2.5 Effect of plasticity on sample disturbance for example, Troll Field (Lunne et al., 2008) and
    The factors discussed earlier are thought to have other fields in the Norwegian trench.
    contributed very little, if at all, to the difference in
    sample quality. Furthermore, the variation is consid- A comparison of the sample quality from Sites L and
    ered to be the cause of the difference in plasticity in- C to the data presented by Borel et al. (2002) indi-
    dex at these two sites, where the moderate plasticity cates that seabed based drilling technology is capa-
    clays of Site L are more susceptible to sample dis- ble of achieving similarly high quality levels as a
    turbance than the high plasticity clays of Site C. This seafloor founded equipment operated in non-drilling
    is also consistent with the findings of the Seabed mode utilising a stationary piston, with the added
    Project, which was carried out at NGI in the period advantage that the former is not limited to a maxi-
    19972002. This research project documented the mum of 20m penetration depth.
    effect of sampling disturbance from tube sampling
    and the added effect of shallow gas (Lunne et al., 4. Performance Comparison
    2001) for plastic (Ip = 4555%) and low-plasticity
    clays (Ip = 1116%). It indicated the latter are more
    4.1 Summary of fieldwork
    prone to sample disturbance due to a more brittle
    A total of 206m cone penetration tests (CPT), 21m
    structure. With all external parameters, such as
    equipment, handling, weather, water depth and stor- of shallow ball penetration tests (BPT), 307m of
    age being similar, there was only the fundamental drilling and 206m of sampling, were performed dur-
    structure of the clays (expressed in terms of plastici- ing the soil investigation campaign at Site L. These
    ty) left to explain the differences in sample quality were all completed within 10 days of operational
    and behaviour during testing. time, which equates to an average daily progress rate
    of 74m/day. A total of 820m CPT, 50m of shallow
    3.3 Sample quality comparison between seafloor BPT and 380m of sampling was completed during
    based drilling and other methods the soil investigation campaign at Site C. They were
    A sample quality comparison between the soil inves- all completed within 14.5 days of operational time,
    tigation campaign at Site L utilising conventional including the sailing time between the survey loca-
    drilling methods and seafloor based drilling technol- tions. This equates to an average daily progress rate
    ogy is presented by Tjelta and Yetginer (2010). of 86m/day.

    664
    4.2 Comparison of seafloor based drilling with equipment in non-drilling mode. These non-drilling
    vessel mounted drilling systems, however, are limited in their capacity for
    A previous soil investigation campaign was con- achieving target depth. In contrast, seafloor based
    ducted in the same region as Site C in 1300m water drilling technology offers the clear advantage of be-
    depth, using conventional surface drilling technolo- ing able to drill out and progress the borehole to the
    gy. This campaign reported 325m of drilled compo- next sample/test depth as required.
    site boreholes within an operational time of 24 days.
    This corresponds to an average progress rate of 4.4 Other considerations
    13.5m/day, with approximately 50% of the opera- Even though the results of the performance compari-
    tional time spent on drill pipe handling. Seafloor son appear to be very much in favour of seafloor
    based drilling was therefore approximately five to based drilling technology, the benefits of conven-
    six times more efficient than conventional drilling tional vessel based drilling should not be discounted.
    from the surface where only shallow soils infor- One of the major advantages of surface drilling is
    mation is required. that it delivers real-time information during the
    sampling process. Hence the scope of work within
    A detailed comparison between seafloor based drill- the borehole can be altered as needed as the bore-
    ing and conventional surface drilling was conducted hole progresses. Similarly, since the samples are re-
    following the completion of the 2009 soil investiga- covered to deck as the borehole progresses, it is pos-
    tion at Site L. The findings of this performance sible to perform a significant amount of laboratory
    analysis were updated following the completion of testing with a good offshore laboratory on board as
    the soil investigation campaign at Site C and support further sampling takes place. This is not possible to
    the original conclusions of the Yetginer and Tjelta achieve with seafloor based drilling technology, un-
    (2010). They demonstrated that for composite bore- less the unit is frequently recovered back to deck to
    hole construction, seafloor based drilling technology enable regular off-loading of the samples.
    is three to five times more efficient in deepwater
    soft-soil conditions compared to surface drilling. The seafloor founded systems offer clear advantages
    for any tool or operation that benefits from a stable
    This is consistent with the conclusion given earlier, non-moving reference provided, examples of which
    which is based on the average daily progress rates. are:
    For soil investigations where continuous sampling or x very good accuracy in defining the seafloor
    continuous CPT profiling is required, the efficiency (Kelleher et al., 2010);
    of the seabed drill is reported to be much more pro- x zero reading of all sensors at a fixed distance
    nounced. A seabed drill is capable of performing a above seafloor, which provides higher accu-
    40m continuous sampling borehole four to ten times racy in penetration testing (Kelleher et al.,
    more efficiently than a vessel mounted system. The 2010); and
    same applies for continuous CPT profiling where the x piezometer installation with very good depth
    seabed drill can perform approximately six times accuracy and high efficiency (Tjelta and
    more efficiently, especially in cases where it may be Strout, 2010).
    possible to continue adding rod without having to
    drill out and case the hole. Further details are given 5. Conclusions
    in Yetginer and Tjelta (2010).
    The soil investigations at the two deepwater sites
    have confirmed seafloor based drilling is a competi-
    4.3 Comparison of seafloor based drilling with sea-
    bed sampling and testing tive and efficient method of providing soil properties
    A previous soil investigation campaign was con- in deep water and for understanding in situ soil con-
    ducted in the same region as Site C, utilising sea- ditions. The findings of these two soil investigations
    floor based sampling systems operated in non- were analysed to draw a comparison between con-
    drilling mode, such as long piston corers and sea- ventional vessel based drilling techniques, non-
    floor founded CPT systems. This campaign reported drilling sampling and testing equipment, and remote-
    210m of CPT profiling, 90m of in situ vane testing ly operated seafloor based drilling technology. Addi-
    and 75m of sampling within an operational time of 5 tional comments were also provided comparing the
    days, which corresponds to an average progress rate findings to what is achievable, in terms of sample
    of 75m/day. This would indicate that production quality and production rates, when using seafloor
    rates similar to those observed with seafloor based founded sampling and testing equipment in non-
    drilling are achievable when utilising seafloor based drilling mode.

    665
    Due to the fact that the two sites compared in this Proc. International Conference on Soil Mechanics
    paper are considered to be geotechnically homoge- and Foundation Engineering, Cambridge, Mass.,
    nous and the fact that seafloor based drilling elimi- vol. 3, 6064.
    nates the sample disturbance caused by sea state and Colliat JL, Dendani H, Puech A and Nauroy JF.
    environmental loads which act on a vessel based ge- (2010). Gulf of Guinea deepwater sediments: Ge-
    otechnical drilling spread, the results available from otechnical properties, design issues and installa-
    these two soil investigation campaigns at Sites L and tion experiences. In: Gourvenec S and White D.
    C are considered to offer a rare opportunity for com- (eds.). Frontiers in Offshore Geotechnics II.
    parison of sample quality and the parameters which London: Taylor and Francis.
    have significant influence on sample quality. The Kelleher P and Hull T. (2008). Quality assessment
    laboratory testing results from the samples recovered of marine sediments recovered with a hydrau-
    at these two deepwater sites clearly demonstrate that lically tethered piston corer. OTC 19687. Proc.
    the moderate plasticity clays encountered at Site L Offshore Tech. Conf., Houston, USA.
    are more susceptible to sample disturbance com- Kelleher P, Low HE, Jones C, Lunne T, Strandvik S
    pared to the high plasticity clays from Site C. Some and Tjelta TI. (2010). Strength measurement in
    discussion is provided in this paper on this and other the very soft near seabed sediments. In: Gour-
    factors that may influence sample quality. venec S and White D. (eds.). Frontiers in Off-
    shore Geotechnics II. London: Taylor and Fran-
    A comparison of the production rates from Sites L cis.
    and C with nearby sites, where conventional drilling Lunne T, Berre TV and Strandvik S. (1998). Sample
    techniques were utilised, revealed that seafloor disturbance effects in deep water soil investiga-
    based drilling technology can potentially be three to tions. In: Proc. Conf. Offshore Site Investigation
    six times more efficient than vessel based drilling in and Foundation Behaviour. London: Society for
    1300m water depth and soft soil conditions. It is also Underwater Technology (SUT).
    reported that sampling performed in downhole mode Lunne T, Berre TV, Strandvik S, Andersen KH and
    from a vessel can potentially achieve equally high Tjelta TI. (2001). Deepwater sample disturbance
    levels of sample quality as a seafloor founded sys- due to stress relief. Proc. Offshore Tech. Conf.,
    tem, however possibly not as consistently as the lat- Houston, USA, 6485.
    ter due to the environmental factors involved. Lunne T, Tjelta TI, Walta A and Barwise A. (2008).
    A comparison with previous soil investigations Design and testing out of Deepwater Seabed
    where seafloor based sampling and testing equip- Sampler. OTC 19290. Proc. Offshore Tech.
    ment was utilised demonstrated that both similarly Conf., Houston, USA.
    high production rates and high levels of sample Osborne JJ, Halliday T, Yetginer AG and Tjelta TI.
    quality are achievable with seafloor supported (2010). The future of deepwater site investiga-
    equipment operated in non-drilling mode. tion: seabed drilling technology? In: Gourvenec S
    and White D. (eds.). Frontiers in Offshore Ge-
    Acknowledgments otechnics II. London: Taylor and Francis.
    Thomas F, Puech A, Nauroy JF, Palix E and
    The authors would like to acknowledge the efforts Meunier J. (2007). Specific identification test
    by Benthic Geotechs offshore teams, as well as the procedures for deepwater sediments of Gulf of
    support and permission to publish this information Guinea. In: Proc. 6th Intl. Conf. Offshore Site In-
    vestigation and Geotechnics. London: SUT.
    by Statoil and Total.
    Tjelta TI and Strout J. (2010). Piezometer installa-
    tion in deep-water Norwegian Sea. In: Gourvenec
    References S and White D/ (eds.). Frontiers in Offshore Ge-
    otechnics II. London: Taylor and Francis.
    Berre T, Lunne T, Andersen KH, Strandvik S and Tjelta TI and Yetginer AG. (2010). Luva deepwater
    Sjursen M. (2007). Potential improvements of de- site investigation programme and findings. In:
    sign parameters by taking block samples of soft Gourvenec S and White D. (eds.). Frontiers in
    marine Norwegian clays. Canadian Geotechnical Offshore Geotechnics II. London: Taylor and
    Journal 44: 698716. Francis.
    Borel D, Puech A, Dendani H and de Ruijter M. Yetginer AG and Tjelta TI. (2010). Seabed drilling
    (2002). High quality sampling for deep water ge- vs surface drilling A Comparison. In: Gour-
    otechnical engineering: the STACOR experi- venec S and White D. (eds.). Frontiers in Off-
    ence. Ultra Deep Engineering and Technology shore Geotechnics II. London: Taylor and Fran-
    (UDET), France. cis.
    Casagrande A. (1936). The determination of the pre-
    consolidation load and its practical significance.

    666
    THE NEED TO INTEGRATE GEOPHYSICAL WITH
    GEOTECHNICAL DATA TO AID PILE DESIGN AND
    INSTALLATION: A CASE STUDY OF THE
    SHERINGHAM SHOAL OFFSHORE WIND FARM

    R Birchall
    Gardline Geosurvey, Great Yarmouth, UK

    Abstract
    Geotechnical and geophysical investigations have to be combined. It is further suggested that when consider-
    ing existing guidelines, emphasis should be placed on bringing groups of professionals from different fields
    together to further understand geological settings and avoid costly mistakes. This project is an example of an
    integrated approach to survey design and interpretation. The data was gathered and fed back into the interpre-
    tation, eliminating much of the uncertainty and refining the model to mitigate the risks to the level required
    for pile design and installation. Geophysical data and borehole information should be tied together and to
    show how relying purely on one set of data could have potentially expensive consequences. For this project,
    combining the datasets provided further understanding of the geological model, allowed for refining of the
    model, and when combined with expert knowledge and planning, enabled long-term savings to be made.

    1. Introduction
    Crucially though, the guidelines state:
    There are currently no recognised guidelines for
    conducting site investigations for renewable projects A properly conducted site survey [] will require
    similar to those that are used for the installation of the input of a number of different professionals
    oil and gas related infrastructure. UK Offshore Oil who should be suitably qualified and experienced
    and Gas Industry Association (UKOOA) guidelines in their respective disciplines. Overall project
    are considered out of date and have now been super- management of a site survey should be assigned to
    seded by the new International Association of Oil & an individual who has a thorough understanding
    Gas Producers (OGP) guidelines (OGP, 2011). The of the reasons for delivery of a site survey, [and]
    Offshore Site Investigation and Geotechnics (OSIG) an intimate knowledge of how the results will be
    Group from the Society of Underwater Technology applied (OGP, 2011).
    (SUT) prepared guidance notes on site investigations
    for offshore renewable energy projects (OSIG, 2005) Planning and integration of the site survey from an
    but these have yet to be finalised. early stage by suitably experienced professionals
    will save operators significant resources. The main
    The OGP guidelines state: issue is the tight deadlines to which the developers
    work and the operators expectations of when the
    Site surveys are performed to minimise the risk of data and results can be presented. The experience of
    harm to personnel and equipment, and to protect Sheringham Shoal offshore wind farm is a good ex-
    the natural environment. The objective of any site ample of how things can go well if communication
    survey is to identify all possible constraints and and understanding are maintained with the ultimate
    hazards from man-made, natural and geological goal of producing a reliable geological model (see
    features which may affect the operational or envi- Figure 1) with which to design pile foundations for
    ronmental integrity [...] and to allow appropriate the installation of a wind farm. Sheringham Shoal
    operational practices to be put in place to mitigate wind farm is scheduled to come online in the sum-
    any risks identified (OGP, 2011). mer of 2012.

    667
    Figure 1: A suggested workflow for the management of an offshore renewable project (OSIG, 2005)

    Understanding the geology of the north Norfolk filled with the sediments of the Swarte Bank For-
    coast is important for the engineering developments mation. Where these channels are absent, the top of
    that require accurate geological information needed the chalk can be observed close to the seabed. How-
    to ensure that foundation design is adequate for the ever, the weathered surface at the top of the chalk
    purpose intended (Moorlock et al., 2002). (Chroston et al., 1999) offers very little in the way of
    strength, which in turn causes problems for the
    It is important to integrate the seismic model with foundation conditions. The chalk varies in depth be-
    the borehole data to identify the top of the chalk ef- low seabed from 10m in the centre of the site, to
    fectively and provide information on the Quaternary more than 150m in the base of a channel in the west
    sediments, especially considering the potential com- of the survey area. This great variation will therefore
    plexity of the near surface geology in the area have a major influence on pile design considerations
    (Chroston et al., 1999). within the survey area. Therefore, mapping and un-
    derstanding the distribution of the chalk was a major
    2. Objectives objective of the survey.

    One objective of the survey was to identify the geo- Another objective was to demonstrate how by plan-
    logical hazards within the survey area. These includ- ning a targeted borehole campaign based on geo-
    ed hazards associated with the position and extent of physical data, a better understanding of the geology
    any shallow channels that could pose a problem for in complex areas can be achieved. In addition, it
    the foundation conditions of any structures, and that would hopefully increase cost effectiveness by re-
    would require future planned boreholes and ulti- ducing the levels of uncertainty in pile design.
    mately the installation of the infrastructure. Another
    objective was to provide reliable and accurate pre- Finally, the survey set out to demonstrate how the
    dictions of the composition of Quaternary sedimen- good survey design and integration of the geophysi-
    tary units, and to map their depth and distribution cal and geotechnical data can be used to further re-
    within the survey area. fine the geological model and aid the pile design.
    This could be accomplished by increasing the confi-
    The top of the chalk within the survey area has been dence in the interpretation of the geology, particular-
    eroded by glacial action and a series of channels in- ly in critical areas, and mitigating against any risk

    668
    (van Buesekom, 2009) associated with any potential 4.1 Explaining the mis-tie at BH6a
    hazards that might be encountered at 92 proposed BH6a was collected before the 2D HRS data and
    pile locations. showed a depth to the top of the chalk of 44.07m
    (see Figure 2).
    3. Method

    The survey line plan was designed so that every


    proposed pile location would be at the intersection
    of two lines, and those lines could be correlated di-
    rectly with existing geotechnical data from the sur-
    vey area. Seabed clearance was conducted by using
    a combination of dual frequency sonar, magnetome-
    ter and swathe data in order to identify sedimentary
    boundaries, obstructions (e.g. boulders), wrecks and
    large-scale bedforms (e.g. sand waves).

    The mapping of the upper Quaternary sequence was


    performed primarily by using hull mounted pinger to
    resolve the near seabed sediments and identify any
    shallow channels that may pose problems for the
    foundations of any installation barge. A sub-tow
    boomer was used to map units down to the depth of
    the seabed multiple. This was to better understand Figure 2: Soil profile derived from data acquired at
    the depth and distribution of the deeper Quaternary BH6a
    sedimentary units encountered within the survey
    area. In Figure 3, the 2D HRS line through the location
    clearly shows that the top of the chalk had not been
    The 2D high-resolution seismic (HRS) multi- sampled, and was in fact over 70m below seabed.
    channel data was used to image and map the top of Study of the other adjacent and intersecting lines
    the chalk. Cone penetrometer, vibracore and five ex- confirmed that the mapped trends from the seismic
    isting boreholes (BH) were used to identify the name data were correct. Closer study of the other bore-
    and composition of the individual units. This data holes that penetrated the chalk showed that each of
    was combined to produce an initial interpretation re- those went at least 5m into weathered chalk. BH6a
    port, the purpose of which was to identify any issues was terminated at 45.50m, just penetrating the chalk.
    and recommend further borehole positions. A further
    eight boreholes were collected, based on the sur- After extended consultation with experts at the
    veys findings and recommendations. The infor- Norwegian Geotechnical Institute (NGI), the con-
    mation from these eight boreholes was fed back into sensus was that the top of the weathered chalk had
    the existing model and used to refine it. Once this not actually been sampled as implied by the BH log.
    was done, 92 separate locations were considered, This illustrates how the geophysics can be used to
    and predicted geological profiles were produced to improve the model and explain some issues encoun-
    aid in the design of pile foundations. tered.

    An additional feature was that the XYZ of the sea- 4.2 Further work
    bed from the swathe data was combined with the In the summer of 2008 a further eight boreholes
    XYZ of the geological units to provide input into 3D were acquired. These were reviewed and a subse-
    geographic information system (GIS) software. This quent refinement of the model was undertaken. Sig-
    further aided an understanding and visualisation of nificant improvement was made in accurately pre-
    the area. dicting the top of the chalk using a revised seismic
    velocity of 1800m/s. This was based on measure-
    4. Results ments for the speed of sound in the sediments from
    the most recent samples (1700m/s had been used in
    Mapping the top of the chalk caused an issue. the original model). However, with the additional

    669
    BH6a

    Two way
    travel time
    (S)

    BH6a samples Chalk

    Mapped top of Chalk

    Figure 3: Seismic profile through BH6a and the discrepancy between mapped top of chalk and sampled top of
    chalk

    cores that had been targeted in areas where more de-


    tail was required a number of issues surfaced.
    1. There was a further mis-tie with the top of
    the chalk in BH20 when compared with the
    seismic data from Line 463.
    2. A sand lens was identified in BH25, bringing
    into question the interpretation of Bolders BH20 samples
    Bank Formation, which is generally de- Chalk
    scribed as glacial till.
    3. A significant unit comprising sand was noted
    in BH11.

    4.2.1 Explaining the further mis-tie at BH20


    During the initial interpretation of the 2D HRS line Figure 4: How the geotechnics can be used to im-
    463, it became clear that there was some ambiguity prove the geophysical model the yellow reflector is
    as to where to map the top of the chalk. Therefore, the originally mapped top of the chalk, and the blue
    this area was targeted as a priority for further inves- is the final mapped reflector based on information
    tigation in the subsequent borehole campaign. BH20 from BH20
    was subsequently taken in the area and showed the
    top of the weathered chalk to be at a greater depth sand, gravel and possible boulders. BH25 recorded a
    than initially estimated. Originally mapped at ~15m significant sand lens between 1.2m and 3.32m in the
    below, the seabed was sampled at a depth of 35m unit that had previously been mapped as the Bolders
    (see Figure 4). This confirmed which reflector to fol- Bank Formation. Subsequent review of the boomer
    low, and the contour map for the top of the chalk data revealed a great deal more variation in the
    was subsequently revised and updated. structure of this unit within the area (see Figure 5).

    4.2.2 Is it the Bolders Bank Formation? The distribution of these localised internal reflectors
    Based on core penetration tests (CPTs), vibracore, was mapped to establish the distribution of the sand
    BH and existing British Geological Survey (BGS) lens. This correlates with the view that irregular or
    information, the Bolders Bank Formation is general- non-continuous reflectors tend to indicate more vari-
    ly considered as a glacial till comprising firm to stiff able geotechnical conditions (Cathie and Stuyts,
    slightly gravelly sandy clay, with pockets of 2010).

    670
    BH25
    Base of Botney Cut Channel

    Base of Bolders Bank

    Base of Egmond Ground

    Numerous internal reflectors


    found to be a large sand lens
    within Bolders Bank For-

    Figure 5: Increased amount of localised internal reflectors in the region of BH25 within the Bolders Bank,
    found to be a sand lens

    4.2.3 Mapping the significant sand lens


    A thick unit of sand was noted from 22.5m to 29m in
    BH11. Subsequent review of the reflectors and
    seismic characteristics within the 2D HRS data
    meant the distribution of this sand lens could then be
    mapped. A tongue shaped wedge of sand was found
    in the north-west corner extending up to 6.2km into
    the survey area and was at least 2.2km wide.

    5. Discussion

    Arguably, the first iteration of the geological model


    was the original desktop study produced that includ-
    ed BGS profiler data collected in 1986 to 1992,
    some further profiler data collected in 2004 and the
    five original boreholes acquired early in 2007. This
    was combined along with the proposed array layout
    and used to design the geophysical survey grid car-
    ried out in spring 2007.

    The second iteration of the geological model was


    produced incorporating the geophysical data from
    the spring 2007 survey. During and after production
    of the report there was extensive consultation be-
    tween the geophysicists and the soils engineers with
    particular emphasis on the issues surrounding the Figure 6: One of the predicted borehole logs show-
    mis-tie at BH6a. It was agreed, based on the general ing the interpreted geological succession at pro-
    trends in the area, that it could be a chalk erratic or a posed turbine location 88-B7

    671
    chalk raft similar to those seen in the cliffs of north- states: Overall project management of a site survey
    east Norfolk (Chroston et al., 1999; authors obser- should be assigned to an individual who has a thor-
    vations). For this iteration, charts were produced ough understanding of the reasons for delivery of a
    mapping hazards, seabed morphology and isopachs site survey, [and] an intimate knowledge of how the
    to the base of major units, including Botney Cut results will be applied (OGP, 2011).
    channels, the base of the Bolders Bank (glacial till)
    and Egmond Ground Formations (sand), along with It is not simply a case of joining the datasets to get
    the top of the chalk. From this, a number of further the required answers. An expert with a proven track
    locations were identified for the subsequent borehole record can further the synergies when planning the
    campaign in the summer of 2008. various surveys. In this case, a great deal more con-
    fidence in the model was gained from a relatively
    For the third iteration of the reporting, the improved simple and inexpensive test by physically measur-
    depth to the top of the chalk correlation between the ing the speed of sound through the sediments, thus
    isopach and the boreholes, which was due to the bet- leading to a better correlation between the datasets
    ter information on the seismic velocity and resolving and a higher degree of confidence in the geological
    issues like those in BH20, meant that a refinement of model. This test was carried out on data that had al-
    the geological model was performed. The result was ready been collected as part of the programme and
    that borehole predictions for the proposed 88 turbine demonstrated how added value can be gained from
    locations and four sub-stations could be produced an existing dataset.
    with a high degree of confidence, with the emphasis
    on improving the model for the predicted logs locat- In addition, communication between the expert geo-
    ed further away from the existing boreholes within physicists and soils engineers cleared up areas of
    the survey area in order to aid pile design (see Fig- ambiguity for both datasets. The benefits of bringing
    ure 6). together the experts conducting the interpretation
    and developing the geological model cannot be over
    6. Conclusions emphasised, particularly when considering a region-
    al scale survey, such as the initial Round 3 wind
    Subsequent feedback from Statoil ASA confirmed farm survey.
    that the geological model was found in general to be
    good, but the mapped sand lens in BH11 was found It should also be noted that clear aims and objec-
    to extend deeper within the Swarte Bank channel. tives, along with realistic expectations, for the sur-
    This supports the view that these units can be more veys should be set out at the start. The aims of an in-
    complex, even with a relatively simple model, and ter-array cable burial plan are very different from
    all datasets should be used to better understand the those of the pile design team, which will also be dif-
    model. The importance of combining geophysical ferent from the requirements of an unexploded ord-
    and geotechnical data to understand the risks in- nance (UXO) clearance survey for installation and
    volved with the planning and/or mitigation of infra- the archaeologists tasked with providing information
    structure installation has been clearly demonstrated, for the environmental statement. However, with
    particularly when answering questions about a spe- good planning from experienced professionals and
    cific dataset. the appropriate survey vessel(s) and equipment,
    combined with communication of aims and objec-
    Several iterations of a geological model should be tives to the interpretation team, the aims of a survey
    conducted with the additional information being can be achieved within the scope of one site survey
    used for two things: (1) to better understand and re- leading to considerable savings to the operator.
    fine the existing datasets; and (2) to identify where
    more data is required and to effectively target the Communication at all levels from the operator who
    acquisition of that data to improve the understanding wants value for money and the professionals as-
    of the geological model. signed with the task of delivering the project, to the
    contractors performing the surveys and, most im-
    By following the suggestions as laid out by OSIG in portantly, the team doing the interpretation will
    its workflow (2005), the synergies of combining da- ensure the timely and accurate delivery of the geo-
    tasets is clear. However, the OGP guidelines furthers logical model to those who require it.
    this by stressing the importance of what can be
    gained from not just the dataset, but more important- It is important to balance the emphasis between ac-
    ly the planning for the acquisition of those data. It quisition of the data, where all the upfront costs are

    672
    clearly seen (e.g. day rate for vessels), and the accu- Van Buesekom X. (2009). Importance of geophysi-
    racy and detail that can be gained from a well con- cal and geotechnical data integration for offshore
    sidered and detailed geological model delivered in a windfarm developments. Presented at SUT OSIG
    realistic timeframe to make best and most effective Developing Green Energy in a Hostile Environ-
    use of all the data collected. There is the necessity ment Offshore Windfarms, 30 September, Lon-
    for geophysicists and soils engineers to consider don.
    what is required by the archaeologists, environmen-
    talists, metocean experts, project managers and other
    stakeholders, but in addition it is equally essential to
    consider what professionals in these other fields can
    contribute to the knowledge of the geological model.
    It is not just about the collecting of the data the
    right people with the necessary knowledge and ex-
    perience of suitable and even innovative process and
    tools are just as important (Hawtin and Lecore,
    2011).

    Acknowledgment

    Thank you to Statoil ASA for allowing the data and


    results of the Sheringham wind farm survey to be
    used for this presentation.

    References

    Cathie D and Stuyts B. (2010). Geotechnical


    engineering for multiple tripod support structures.
    Presented at Oceanology International 2010,
    911 March, London. Available at
    www.oceanologyinternational.com/page.cfm/link
    =73, accessed June 2012.
    Chroston PN, Jones R and Makin B. (1999). Geome-
    try of Quaternary sediments along the north Nor-
    folk coast, UK: A shallow seismic study. Geolog-
    ical Magazine 136: 465474.
    Hawtin S and Lecore D. (2011). The business value
    case for data management a study. First Break
    29: 4754.
    International Association of Oil & Gas Producers.
    (2011). OGP Report No. 373-18-1 Guidelines for
    the conduct of offshore drilling hazard site sur-
    veys. London: International Association of Oil &
    Gas Producers Geomatics Committee.
    Moorlock BSP, Hamblin RJO, Booth SJ, Kessler H,
    Woods MA and Hobbs PRN. (2002). Geology of
    the Cromer district: a brief explanation of the ge-
    ological map Sheet 131 Cromer, Keyworth, Not-
    tingham: British Geological Survey.
    Offshore Site Investigation and Geotechnics (OSIG)
    Group. (2005). Guidance notes on site investiga-
    tions for offshore renewable energy projects. Re-
    vision 2. London: Society of Underwater Tech-
    nology (SUT). Available at
    http://sig.sut.org.uk/pdf/OSIG%20Renewables%2
    0Guidance%20Notes.pdf, accessed June 2012.

    673
    674
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