International Journal of Pavement Engineering

Vol. 12, No. 3, June 2011, 201214

Development of models for the interpretation of the dynamic cone penetrometer data
Melanie Bouteta1, Guy Doreb*, Jean-Pascal Bilodeaub2 and Pascal Pierreb3
a
Roche Ltee Groupe-Conseil, Quebec, Canada G1W 4Y4; bDepartment of Civil Engineering, Laval University, Quebec, Canada G1V 0A6
(Received 10 September 2008; final version received 20 April 2010)

This study deals essentially with the development of models that describe the relations between the strength properties of
soils (undrained shear strength obtained with a vane tester) on one hand, and the resilient properties (back-calculated
modulus obtained with deflection tests) on the other hand, and the penetration index values obtained with the dynamic cone
penetrometer. Laboratory tests were performed on five coarse-grained reconstituted soils. Also, field tests were performed
on 10 fine-grained soils and on each of the four subgrade soils of the Laval University Experimental Test Road Site. The
results obtained in the laboratory and in the field were compared and analysed in order to develop the relations between the
strength and the resilience for different types of soils. Using a statistical analysis with three different sophistication levels,
reliable correlations that include explanatory variables were developed.
Keywords: mathematical correlations; penetration index; modulus; strength; resilience; geotechnical properties

1. Introduction typically found in the province of Quebec (Canada) is

The dynamic cone penetrometer (DCP) is a very useful
tool for pavements structural evaluation or for pavement
design studies. Indeed, the DCP is often used in pavement
engineering for the evaluation of the characteristics
(thickness and properties) of each layer of the pavement
structure. The DCP is widely used in many countries for its
simplicity, portability, low cost and capacity to obtain data
allowing the rapid determination of in situ mechanical
properties. This bearing capacity tool and test method are
also standardised (ASTM 2003). In fact, when combined
with correlations, the DCP allows the determination of
basic characteristics of the pavement layers without having
to perform long and expensive destructive tests.
In the literature, there are correlations that establish
relationships between the dynamic cone penetration index
(DCPI) and some parameters such as the California bearing
ratio (CBR) and the elastic, resilient and back-calculated
modulus commonly used in pavement design. Although
CBR tests are less used nowadays, the correlation that relates
directly the DCPI values to modulus is valid only for a
limited range of conditions. This is an important fact, as the
American Association State Highway and Transportation
Officials (AASHTO 1993) suggests using the resilient
modulus of soils for pavement design. Moreover, only few
relationships found in the literature consider soil character-
istics such as Atterberg limits, water content and density.
Because there are gaps in the understanding of the
relationship between the strength (plastic or viscoelastic
domain) and the resilience (elastic domain) of soils, the
elaboration of complete models representative of soils
fundamental to ensure a good exploitation of the data
obtained with the DCP. Table 1 presents a summary of the
main correlations found in the literature between the DCPI
and the elastic, resilient and back-calculated modulus.
2. Objective
The main objective of this study is to develop models that
relate the strength properties of soils (undrained shear
strength obtained with a vane tester) on one hand, the
resilient properties (back-calculated modulus obtained
with deflection tests) on the other hand, and the penetration
index values. More specifically, the objective is to define
the relationship between the strength and the resilience for
different kinds of soils and to see if it is possible to make
groupings. The relationships should include parameters
that take into account soil characteristics.
3. Experimental programme
3.1 Tests methodology and parameters considered in
models development
The experimental programme was developed based on
previous work and, among others, on a study conducted by
Lambert et al. (2006) on the assessment of coarse granular
pavement foundation materials. It is divided into two main
parts. The first one consists in laboratory testing of five
coarse-grained reconstituted soils and the second one, in
field testing of 10 fine-grained soils and the four subgrade
soils of the Laval University Experimental Test Road Site

*Corresponding author. Email: guy.dore@gci.ulaval.ca

ISSN 1029-8436 print/ISSN 1477-268X online
q 2011 Taylor & Francis
DOI: 10.1080/10298436.2010.488727
http://www.informaworld.com
202 M. Boutet et al.

(SERUL). For each type of soil, geotechnical and

Fine and coarse grained 2 , DCPI , 60

Notes: E, elastic modulus (MPa); EFWD, retro-calculated modulus (MPa); Mr, resilient modulus (MPa); DCPI, penetration index (mm/blow); gdr, density/maximum dry density; wc, water content (%); LL, liquid limit (%); Cu, uniformity
mechanical behaviour characterisation tests were done.

Coarse grained 5.6 , DCPI , 40.0

The geotechnical characterisation tests include a particle

Fine grained 3.7 , DCPI , 66.7

size analysis and the determination of the Atterberg limits

Fine grained 10 , DCPI , 60

Tested materials and the grain density. With respect to mechanical
behaviour characterisation tests, they include the determi-
nation of the penetration index obtained with an 8 kg DCP,
the back-calculated modulus obtained with a portable
Subgrade soils
Subgrade soils
falling weight deflectometer (FWD), the undrained shear

Fine grained
strength obtained with a vane tester and the CBR. Also, the
Unknown
Unknown

water content and the density were determined in order to

know the state of the tested soils. Table 2 presents a
summary of the tests and the aimed parameters.

3.2 Laboratory tests description

The laboratory tests were performed on four coarse-

grained reconstituted soils: a poorly graded sand (SP), a

g0:674

poorly graded gravel (GP), a silty sand (SM) and a silty

dr
1:925

gravel (GM) according to the Unified Soil Classification

dr LL=wc

w20:935

System (USCS). These choices were made in order to

obtain some variability in the soil types that allows to
cr
Mr 7013.065 2040.783 ln(DCPI)

measure significant variations in the soil mechanical

20:305

properties and to obtain typical Quebecs coarse-grained

log(E) 3.65 2 1.17 log(DCPI)
log(E) 3.05 2 1.07 log(DCPI)

M r 27:86 DCPI20:114 g7:82

Correlations

and fine-grained soils. Also, these choices were influenced

EFWD 2224 DCPI 2 0.996

M r 90:68 DCPI=logcu
EFWD 338 DCPI 2 0.39

by the available soil fractions that were blended to obtain

E 17.6 (269/DCPI)0.64

such soils. As a matter of fact, natural sand was sampled at

EFWD 2191.4/DCPI

a borrow pit. The quite uniformly graded gravel fraction of

this material was also sieved by the producer. This gravel
fraction was used to blend GP and GM soils. The sand
fraction was also quite uniformly graded. Quarry fines of a
similar mineralogical composition were blended with the
sand and gravel to obtain the silty soils. For each of these
soils, four states were reconstituted: loose and saturated,
loose and drained, dense and saturated and dense and
drained. In this study, the terms saturated and drained
should to be precised. The saturated state corresponds to
phreatic conditions, the water level being adjusted near the
surface. The drained condition is created by draining
George and Uddin (2000)
Chai and Roslie (1998)a
Chai and Roslie (1998)a

the container in which the soils are compacted, lowering

Alshibli et al. (2005)

the water level at the bottom of the soils. Although a wide

Chen et al. (1999)
Authors

range of soils were tested, this drained condition creates

De Beer (1990)

Hassan (1996)b

various drained water contents because of the various

coefficient; wcr, water content/optimal water content.
Pen (1990)

water retention capacities of the tested soils. We also

considered to perform tests on clayey sand, but it was
Correlations summary.

impossible to reach the desired conditions of the

experimental programme, particularly for the compaction
Mr (psi) and DCPI (in/blow).

and the saturation of this type of soil. Therefore, the tests

DCPI (blows/300 mm).

were replaced by comparable ones in the field.

EFWD DCPI

3.2.1 Equipment description

Mr DCPI
E DCPI

The laboratory tests were performed in a large plastic

Table 1.

container with an internal diameter of 1.2 m and a height of

1.3 m. A piezometer is used to measure the water level and
b
a
 International Journal of Pavement Engineering 203

Table 2. Tests matrix and aimed parameters.

Characterisation tests
Soil type State G wL/wP rs rd max/wopt CBR DCPI EFWD Cu wc r
p pa p p p p p
4 coarse grained (laboratory) Loose saturated p p p p
Loose drained p p
Dense saturated p p p p
Dense drained p p p p p p p p
10 fine grained (field) Point A p p p p p p p p
Point B p pa p p p p p p p
4 SERUL pits (field) Point A p pa p p p p p p p
Point Ba

Notes: G, particle size analysis; wL/wP, Atterberg limits; rs, grain density; rd max/wopt, maximum dry density/optimal water content; CBR, California bearing ratio; DCPI,
penetration index; EFWD, retro-calculated modulus; Cu, undrained shear strength; wc, water content; r, density.
a
If applicable.

a drainage valve is installed at the bottom of the container. successive layers of 15 cm instead of 20 cm. The soils were
A 20-cm layer of clean gravel covered with geotextile was placed inside the container using a shovel and buckets, and
installed at the bottom of the container (Figure 1). it was levelled prior to compaction with the wood rammer
or the electric hammer.

3.2.2 Sample preparation

When the fine particle content of the tested soil was under
12%, the container was filled in successive layers of 20 cm
slightly densified with a wood rammer until the soil
thickness was 1 m (^ 10 cm). When the fine particle
content of the tested soil was over 12%, the container was
filled in successive layers of 20 cm densified with a
circular plate of 10 cm diameter fixed to an electric
hammer. This was made following a detailed compaction
procedure including loading pattern and application time.
To obtain a denser state, the container was filled in
3.2.3 Protocol (saturated state)
To get to the saturated state, the container was filled with
water in order to get full immersion of the soil sample. A
minimum rest period of 24 h was required to ensure a good
saturation of the compacted soil. It should be noted that the
water level was controlled with the external piezometer that
is installed on the side of the container. Prior to testing, the
water level was lowered 75 mm under the surface in order to
obtain a thin layer of stable soil to facilitate testing. The
FWD test was performed using a 300 mm diameter plate
with the geophone in contact with the soil surface. The
device was positioned to ensure good surface contact and
the test was done at the centre of the container. For each
applied stress levels (30, 50, 70 and 100 kPa), four drops
were applied, the first one being performed in order to
ensure good plate contact. The average of the results
obtained with the three subsequent drops was calculated.
The DCP test was performed at three distinct places in the
container (Figure 2). The DCP tests were performed
approximately at the middle of the radius (Figure 2) and the
FWD tests were performed at the container centre to
prevent any influence of the deflection tests on the
penetration values. Preliminary tests concluded that there
was no significant changes in the results if the FWD tests
were performed prior to DCP tests and vice versa.

3.2.4 Protocol (drained state)

To get to the drained state, the valve of the container was
opened. The soil was considered drained when the water
level did not increase in the piezometer when the valve is
closed. To minimise evaporation, a polythene cover was
Figure 1. Container for the laboratory tests. installed over the container during drainage. It should be
204 M. Boutet et al.
Figure 2. Location of the laboratory tests.
noted that the tests performed on the drained soil were the
same as those performed on the saturated soil except for
the position of the DCP tests (Figure 2). As a matter of
fact, considering the saturated state and the drained state,
each DCP test was performed at approximately 50 cm
apart from another DCP test to ensure that there is no
influence between each test. In order to determine the state
of the soil, the density and the water content had to be
determined at different levels in the container just after the
FWD and DCP tests. The soil density was determined with
the sand cone test according to ASTM D 1556-90 (ASTM
1996) at the surface, at the position of the FWD test and at
mid ray, then at 30 and 60 cm under the surface, always
between the positions of the DCP tests to make sure that
the soil was undisturbed. As for the water content, it was
determined according to ASTM D 2216-98 (ASTM 1998)
at the surface and at each 15-cm depth.
3.3 Field tests description
The field tests were done on 10 sites covering a wide range
of fine-grained soils representative of the geological
context of the province of Quebec and on each of the
SERUL subgrade soils. For each site, the tests were
performed at two distinct places named upper point
(lower theoretical water content) and lower point (higher
theoretical water content) in a trench dug to the subgrade
soil level using a backhoe. In the case of the SERUL
subgrade soils, the tests were performed only at one depth
for each of the four different subgrade soils. However,
because the laboratory tests planned on clayey sand could
not be performed, the tests on the first two SERUL
subgrade soils had to be performed a second time at a
greater depth. Effectively, these soils were interesting
replacement test sites because they are well-documented
SC-type soils (clayey sands).
3.3.1 Protocol
Firstly, the FWD test was performed using a 300-mm
diameter plate with the geophone in contact with the soil
surface. The device was positioned in order to ensure good
surface contact and the test was done at the centre of the first
trench referred to as the lower point. For each applied
stress levels (30, 50, 70 and 100 kPa), four drops were made,
the first one being performed in order to ensure good plate
contact. The average of the results obtained with the three
subsequent drops was calculated. The DCP test was
performed at three distinct places in the trench (Figure 3).
For the fine-grained soil sites, three vane tests were done
according to NQ 2501-200 (NQ 1988). For each of them,
the undrained shear strength was determined at three
different depths: 200, 400 and 600 mm. It should be noted
that this test was not performed at the SERUL because the
subgrade soils are mostly coarse grained. In order to get
accurate characterisation information, the density and the
water content had to be determined after the FWD and DCP
tests. These were determined with the sand cone test
according to ASTM D 1556-90 (ASTM 1996) at the
position of the FWD test and at two other distinct places
(Figure 3). Finally, samples were collected in order to
perform geotechnical characterisation tests. This protocol
was repeated for the second trench referred to as the upper
point that is slightly shallower than the lower point.
3.4 Geotechnical characterisation tests description
The objective of the geotechnical characterisation is to
assess the physical properties of the soils tested in the
laboratory and in the field. Depending on the type of soil
considered, various tests had to be carried out. For all soils,
the following tests were done: the particle size analysis
according to BNQ 2560-040 (BNQ 1982) and the
determination of the density and the absorptivity of the
coarse aggregate according to BNQ 2560-067 (BNQ
Figure 3. Location of the field tests.
 International Journal of Pavement Engineering 205

Table 3. Ranges of dependent and probable explanatory variables for fine-grained soils.

Soil type Variable Attribute, symbol Range

a
Fine grained Dependent Back-calculated modulus (MPa), EFWD 14.9 231.4
Undrained shear strength (kPa), Cu 22.6 147.7
Independent Penetration index (mm/blow), DCPI 9.8 200.0
Water content (%), wc 18.0 71.9
Density (mg/m3), r 0.85 1.95
Dry density (mg/m3), rd 0.61 1.64
Per cent passing # 200 sieve (%), # 200 61.5 99.2
Liquid limit (%), wL 19.7 59.9
Plasticity limit (%), wp 12.8 25.4
Plasticity index (%), IP 6.7 36.1
Liquid index, IL 0.2 1.6
a
EFWD values obtained at 50 kPa stress.

1983). If the soil tested was characterised by less than 12%
of fines, the determination of the density and the
absorptivity of the fine aggregate according to BNQ
2560-065 (BNQ 1989) was done. On the opposite, if the
soil tested was characterised by more than 12% of fines,
the particle size analysis by sedimentation according to
NQ 2501-025 (NQ 1987), the determination of the relative
density according to CAN/BNQ 2501-070 (CAN/BNQ
1986a) and the determination of the liquid and plastic
limits according to CAN/BNQ 2501-092 (CAN/BNQ
1986b) were done. Finally, the following tests were done
for the coarse-grained soils: the modified Proctor test
according to BNQ 2501-255 (BNQ 1986) and the CBR test
according to ASTM D 1883-92 (ASTM 1992).
4. Results
Tables 3 and 4 list the range of dependent and probable
explanatory variables for the tested fine and coarse-grained
soils. In addition, Table 5 presents a summary of other
important geotechnical properties of the tested soils as well
as the compaction state obtained, expressed as rd/rd max
values. With respect to DCPI values, it is worth noting that
they were evaluated between 200 and 600 mm depth. The
shallower limit was selected considering the adjustment
depth of the DCP, which is about 200 mm. The deeper limit
was determined using the Boussinesq model, considering
the approximate depth of influence of a load uniformly
distributed on a flexible plate. This model allows the
determination of vertical stress as a function of depth. For
this project, the depth of influence of the FWD load was
determined based on a 10% residual vertical stress level
(sz/s0 100). Thus, considering a 0.15 m radius plate
(FWD test), a residual stress level of 10% is obtained for a
depth of about 600 mm. The DCP analysis was made up to
that specific depth for this reason. It should be noted that the
adjustment depth of the DCP was higher than 200 mm in
some cases. This was observed particularly when the initial
penetration depth was over 100 mm. The DCPI was then
determined from a lower limit higher than 200 mm.
The stress level of 50 kPa was selected for the
determination of EFWD. The stress level was selected based
on a theoretical assessment of vertical stress transmitted to
the subgrade soil under a typical low-volume pavement.
The calculation was made using WINJULEA software for
two different types of subgrade soils: silty and clayey
gravels (GM-GC) and silty and clayey sands (SM-SC) and
two loading conditions: 700 kPa under single tyre and

Table 4. Ranges of dependent and probable explanatory variables for coarse-grained soils.

Soil type Variable Attribute, symbol Range

Coarse grained Dependent Back-calculated modulusa (MPa), EFWD 11.2 187.8
Independent Penetration index (mm/blow), DCPI 13.4 250.0
Water content (%), wc 3.8 28.9
Density (mg/m3), r 1.55 2.42
Dry density (mg/m3), rd 1.34 2.26
Per cent passing # 200 sieve (%), # 200 2.1 44.4
Liquid limitb (%), wL 20.6 28.3
Plasticity limitb (%), wp 15.2 21.9
Plasticity indexb (%), IP 2.1 8.4
a
EFWD values obtained at 50 kPa stress.
b
For the coarse-grained soils characterised by 12% or more fines.
206 M. Boutet et al.

Table 5. Geotechnical properties of coarse-grained soils.

Modified Proctor test,

max. dry density (mg/m3)/
Soil sample optimum water content (%) rd/rd max (%) CBRa (%)
Reconstituted soils (laboratory)
SP 1.90/10.5 79/91 28.8/34.4
GP 2.17/5.2 88/93 203.5/256.1
SM 2.14/6.7 83/93 45.5/57.3
GM 2.28/4.3 78/99 92.1/105.7
SERUL pits (field)
Pit 1 (SC)
Point A 2.11/8.2 74 26.9/32.4
Point B 2.09/7.7 80 74.9/75.5
Pit 2 (SC)
Point A 1.99/10.2 71 40.8/40.7
Point B 1.98/9.8 71 61.4/57.5
Pit 3 (SM)
Point A 2.20/6.4 89 48.4/67.9
Pit 4 (SP)
Point A 2.14/8.9 93 130.4/160.4
a
CBR, California bearing ratio (at 2.54 mm/5.08 mm penetration).

under dual tyres. The results of the analysis are given in
Table 6. WINJULEA was also used to determine the effect
of using a FWD plate diameter of 300 mm on a sample
having a diameter of 1200 mm and a depth of 1300 mm.
This was done to investigate the possible boundary
condition effects. The analysis suggested that all along the
container wall and at its bottom, the calculated
deformations were always 10% or lower than the
calculated deformation under the plate. In addition, it
should be noted that the container walls are smooth and
can accommodate, at least partially, vertical movements.
On the basis of these observations, it is suggested that
boundary effects may be negligible in this study.
With respect to the values of water content (w), density
(r) and dry density (rd) for the saturated states of the four
coarse-grained laboratory reconstituted soils, these were
determined with the following equations:
rs
e 2 1;
rd
rw Sr e
w ;
rs
r rd 1 w;
Table 6. Winjulea analysis.
Vertical stress (kPa) on subgrade soil
Soil type Single tyre
GM, GC 50.7
SM, SC 38.6
where e is the void index, rs is the grain density, rw is the
density of water and Sr is the saturation level. In addition,
for simplification purposes, the following assumptions
were made:
. The void ratio is considered constant with the
variation of water content.
. The soil saturation is 100% for the saturated state.
For the saturated state, the 100% saturation assump-
tion is made because it was not possible to obtain soil
samples for water content measurements. As a matter of
fact, it was suitable to keep soils integrity for the drained-
condition tests. For the drained-test conditions, water
content measurements were taken when the soil was
removed from the container to compute the actual
saturation degree.
1 5. Development of mathematical models
In order to develop models that relate the strength
properties of soils (undrained shear strength) on one hand,
2 the resilient properties (back-calculated modulus) on the
other hand, and the penetration index values obtained with a
3 DCP, a statistical analysis with three different sophisti-
cation levels was done. The first level aims at obtaining a
direct relationship between the two variables, i.e. without
taking into account the classification of the soils and the
geotechnical characterisation test results. The first level
Dual tyre models are meant to be applied when minimal information
44.7 is available on the soils tested (i.e. fine grained or coarse
34.9 grained). The purpose of the second level is to establish the
same type of relationship, but specific to soil classes when
 International Journal of Pavement Engineering
the information is available. As for the third level, the
objective is to improve the level of correlation by including
soil properties easily obtained from common geotechnical
characterisation tests. For each level, the model quality is
evaluated with the root mean square error (RMSE) and the
determination coefficient (R 2). In the development of the
models, five basic principles were followed:
. To obtain a minimal RMSE, i.e. a minimal difference
between the predicted and the observed values, it
should be noted that a model that provides a slightly
higher RMSE but that takes into account more
relevant parameters was sometimes privileged.
. The larger the coefficient of determination, R 2, the
better the model is.
. The model should allow the normality of the data so
that parametrical tests can be performed. Here, the
normality was confirmed with the Kolmogorov-
Smirnov test.
. The significance of the relation between the dependent
variable and the explanatory variables included in the
model was confirmed with a Fisher F-test in order to
compare the model quality with and without
explanatory variables.
. The significations of the individual coefficients of the
model was confirmed with a Student t-test in order to
verify if the confidence interval of each coefficient can
or cannot contain the zero value.
5.1 Relationship between undrained shear strength and
penetration index
Data obtained for the fine-grained soil sites are presented in
Figure 4. It should be noted that some values had to be
rejected from the analysis. In fact, some observations were
related to organic soils with low to medium plasticity (OL) as
well as SM-SC, which are not considered for this part of the
study. Also, some undrained shear strength values could not
Figure 4. Undrained shear strength (Cu) vs. penetration index
(DCPI).
207
be obtained during the realisation of the field tests because of
the physical limitations of the vane test equipment.
5.1.1 Level 1
For the development of the correlation, five models were
investigated: linear, power, exponential, logarithmic and
log log. For each one of them, the RMSE and R 2 values
are evaluated by a regression analysis. Moreover, the data
normality is verified with the Kolmogorov-Smirnov test.
The comparison of the results has shown that the best-fit
model is the exponential model. Thus, the suggested
relation for level 1 is
logC u 20:0042 DCPI 2:10;
4
RMSE 26; R 2 0:78; N 13:
5.1.2 Level 2
As it can be observed in Figure 4, the soils tested can be
subdivided in two categories. The first includes CH-type
soils (inorganic clays with high plasticity) and the second,
CL-type soils (inorganic clays with low to medium
plasticity) and ML-CL-type soils (clayed silts and silty
clays). In order to confirm the relevance of this subdivision
in the development of the models, two tests must be done.
These tests compare the slope and the intercept point
values for the two types of soils with a covariance analysis
using the XLStat software. More specifically, a subdivi-
sion is justified if
Px q . 0:05 and=or Pq . 0:05; 5
where x is the quantitative explanatory variable and q is the
qualitative explanatory variable.
Because the P(log(DCPI)*SoilType) 0.1% and that
P(SoilType) 4.1%, the soils tested are subdivided into
two categories (distinct slopes and intercept points). Thus,
the suggested relation for level 2 is
logCu a0 logDCPI 2:50 g;
CH soils : a0 21:19 and g 1:54;
CL and ML-CL soils : a0 20:43 and g 0;
RMSE 11; R 2 0:92; N 13:
6
It should be noted that the presented level 2 model is
log log instead of exponential because it was the best-fit
model for both types of soils.
5.1.3 Level 3
In order to select the physical parameters that are the most
likely to decrease the RMSE and to increase the R 2,
208 M. Boutet et al.

Table 7. Correlation matrix of explanatory variables for CH-type soils.

w r rd wL wP %F IP IL log(Cu) log(DCPI)
w 1 2 0.98 20.99 0.96 2 0.79 20.24 0.96 0.99 2 0.87 0.84
r 1 1.00 2 0.96 0.83 0.29 2 0.97 2 0.98 0.89 2 0.85
rd 1 2 0.95 0.84 0.32 2 0.97 2 0.99 0.91 2 0.87
wL 1 2 0.77 20.16 0.99 0.94 2 0.84 0.78
wP 1 0.76 2 0.85 2 0.83 0.99 2 0.98
%F 1 2 0.29 2 0.32 0.66 2 0.72
IP 1 0.95 2 0.91 0.85
IL 1 2 0.89 0.88
log(Cu) 1 2 0.98
log(DCPI) 1

correlation matrix values are calculated with the relevant
explanatory variables for each type of soil (Tables 7 and 8).
By carrying out optimisation tests while including
combinations of the most relevant explanatory variables
according to the correlation matrix, it is possible to
improve the quality of the model. In fact, optimised results
are obtained by including in the relationships a new
explanatory variable, which combines the plasticity index
(IP) and the dry density (rd). Thus, the suggested relation
for level 3 is
individual coefficients, it was tested with a Student t-test.
At a confidence level of 95%, all the coefficients
are significant with jt*j values higher than the critical
values t(n2).
Figure 5 presents the predicted and measured Cu values
for the level 3 model (Equation (7)). With points clustering
along the line of equality, the evidence is sufficient to
state that the addition of parameters, which take into
account soil properties, has allowed the development of a
high-predictability model.

1=2
logCu a0 I P rd 1=2 logDCPI 2:39 g;
CH soils : a0 20:20 and g 1:51;
CL and ML-CL soils : a0 20:10 and g 0;
RMSE 7:8; R 2 0:95; N 13:
7 subgrade soils and the coarse-grained laboratory reconsti-
Table 9 presents the results of the parametric tests
performed during the development of the models. To
validate the significance of the relationship between Cu
and all of the explanatory variables included in the models,
the F-test was conducted. With F* values much higher
than the critical values F(0.95, n1, n2), it can be concluded
that a strong relationship between the undrained shear
strength and the selected explanatory variables exists. Note
that n1 is the model degrees of freedom and n2 is the error
degrees of freedom. With respect to the significance of the
5.2 Relationship between back-calculated modulus and
penetration index
Figure 6 presents the data obtained for the fine-grained soil
sites, whereas Figure 7 presents data obtained for the SERUL
tuted soils. Because the behaviour of the fine-grained soils
differs significantly from that of the coarse-grained soils,
relationships are developed for each of these groups. It
should be noted that some values had to be rejected from the
analysis. In fact, for the fine-grained soils, some observations
were related to organic soils with low to medium plasticity
(OL), which are not part of the study. Also, the results of the
inorganic silt with low to medium plasticity (ML) did not
seem representative of what is usually found in the field.
With respect to the coarse-grained soils, some penetration
index values were out of range according to the main range of

Table 8. Correlation matrix of explanatory variables for CL and ML-CL-type soils.

w r rd wL wP %F IP IL log(Cu) log(DCPI)
w 1 2 0.93 20.96 0.94 0.88 0.63 0.96 0.23 2 0.66 0.47
r 1 1.00 2 0.87 2 0.79 20.46 2 0.90 2 0.23 0.59 2 0.46
rd 1 2 0.88 2 0.81 20.52 2 0.91 2 0.26 0.59 2 0.43
wL 1 0.98 0.68 0.99 2 0.10 2 0.66 0.55
wP 1 0.74 0.94 2 0.21 2 0.56 0.46
%F 1 0.62 2 0.05 2 0.07 2 0.19
IP 1 2 0.03 2 0.73 0.59
IL 1 0.06 2 0.25
log(Cu) 1 2 0.88
log(DCPI) 1
 International Journal of Pavement Engineering 209

Table 9. Results of the parametric tests for the undrained shear strength (Cu).

Level Soil type Coefficient Value jt*j F*

a c
1 All types a0 2 0.0042 6.17 38.11e
a1 2.10 33.38c
2b All types a1 2.50 18.91d 35.08f
b 1
CH a0; g 21.19; 1.54 8.38d; 4.92d
CL and ML-CL 20.43; 0 4.81d
3b All types a1 2.39 28.10d 56.31f
1=2
b I P rd 1=2
CH a0; g 20.20; 1.51 10.56d; 6.57d
CL and ML-CL 20.10; 0 6.25d
a
Model: log(Cu) a0 DCPI a1.
b
Model: log(Cu) a0 b log(DCPI) a1 g.
c
t0.05 (11) 1.80.
d
t0.05 (9) 1.83.
e
F0.05 (1,11) 4.84.
f
F0.05 (3,9) 3.86.

values obtained and others appeared to be influenced by the Coarse-grained soils:

presence of recycled asphalt concrete in the soil of the
test site.
5.2.1 Level 1
As for the shear strength relationships, five models
were investigated for the development of the correlations:
linear, power, exponential, logarithmic and log log. For
each one of them, the values of RMSE and R 2 are
evaluated by a regression analysis. Moreover, the normal-
ity of the data is verified with the Kolmogorov-Smirnov
test. The comparison of the results has shown that the best-
fit model of the fine and coarse-grained soils is the log log
model. Thus, the suggested relationships for level 1 are
Fine-grained soils:
logEFWD 20:45 logDCPI 2:52;
8 same tests as those described in Section 5.1.2 were done.
RMSE 54; R 2 0:33; N 13:
logEFWD 20:62 logDCPI 2:56;
9
RMSE 45; R 2 0:42; N 19:
5.2.2 Level 2
As it can be observed in Figures 6 and 7, the soils tested
can be subdivided into two categories. For the fine-grained
soils, the first group includes CH-type soils (inorganic
clays with high plasticity) and the second, CL-type soils
(inorganic clays with low to medium plasticity). For the
coarse-grained soils, the first group takes into account SP-
and GP-type soils (poor graded sands and gravels) and the
second, SC-, SM-, SM-SC- and GM-type soils (clayey
sands, SMs and GMs). In order to confirm the relevance of
these subdivisions in the development of the models, the
For the fine-grained soils, P(log(DCPI) * Soil

Figure 6. Modulus (EFWD) vs. penetration index (DCPI) for

Figure 5. Measured vs. predicted undrained shear strength (Cu). fine-grained soils.
210 M. Boutet et al.
Figure 7. Modulus (EFWD) vs. penetration index (DCPI) for
coarse-grained soils.
Type) 56.6% and P(SoilType) 0.1%, so the soils
tested are subdivided into two categories (same slopes
but distinct intercept points). For the coarse-grained
soils, P(log(DCPI) *SoilType) 0.01% and P(Soil
Type) 0.2%, so the soils tested are also subdivided in
two categories (distinct slopes and intercept points). Thus,
the suggested relations for level 2 are
Fine-grained soils:
log EFWD 20:84 logDCPI 2:94 g; model may statistically explain the effect of dry density
CH soils : g 0:59;
10
CL soils : g 0;
RMSE 27; R 2 0:82; N 13:
Coarse-grained soils:
logEFWD a0 logDCPI 6:01 g;
SP and GP soils : a0 20:65 and g 23:30;
SM; SC; SM-SC and GM soils : a0 23:37 and
g 0; RMSE 13; R 2 0:88; N 19: (11
5.2.3 Level 3
In order to select the physical parameters that are the most
likely to decrease the RMSE and to increase the R 2,
correlation matrix values similar to those presented in
Section 5.1.3 are calculated with the relevant explanatory
variables for each type of soil.
By carrying out optimisation tests while including
combinations of the most relevant explanatory variables
according to the correlation matrix, it is possible to
improve the quality of the model. For the fine-grained
soils, optimised results are obtained by including in the
relationships new explanatory variables which combine
the liquid index (IL), the plasticity index (IP) and the dry
density (rd). With respect to the coarse-grained soils,
optimised results are obtained by including in the
relationships the density (r) and the plasticity index (IP).
Thus, the suggested relationships for level 3 are
Fine-grained soils:
logEFWD a0 b logDCPI 2:82 g;
1=4
CH soils : a0 21:17; b I L rd and g 1:08;
CL soils : a0 22:78; b I P rd 21=2 and g 0;
RMSE 12; R 2 0:95; N 13:
12
Coarse-grained soils:
logEFWD a0 b logDCPI 6:04 g;
SP and GP soils : a0 20:26; b r and g 23:58;
SM; SC; SM-SC and GM soils : a0 23:47;
b I 20:018
P and g 0;
RMSE 9:8; R 2 0:88; N 19:
13
The use of the density for the coarse-grained soils may
be unusual. However, it is justified by the correlation
matrix. As the density is associated with dry density and
water content, it seems that the inclusion of density in the
and water content in a combined manner. However,
because it is more convenient for the coarse-grained soils
to use geotechnical characteristics more easily obtained in
the field, a relationship that has a slightly higher RMSE but
that takes into account water content was developed:
Coarse-grained soils:
logEFWD a0 b logDCPI 6:65 g;
SP and GP soils : a0 20:013; b w and g 24:89;
SM; SC; SM-SC and GM soils : a0 24:04;
b w 20:016 and g 0;
RMSE 10:4; R 2 0:85; N 19:
14
In order to validate the significance of the relationship
between EFWD and all of the explanatory variables included
in the models, the F-test was conducted. With F* values
much higher than the critical values F(0.95, n1, n2), it
can be concluded that a strong relationship between the
back-calculated modulus and the selected explanatory
variables exists. With respect to the significance of the
individual coefficients, it was tested with a Student t-test. At
a confidence level of 95%, all the coefficients are significant
with jt*j values higher than the critical values t(n2).
Figure 8 presents the predicted and measured EFWD
values for the level 3 (Equations (12) (14)). With points
clustering along the line of equality, the evidence is
 International Journal of Pavement Engineering
Figure 8. Measured vs. predicted modulus (EFWD).
sufficient to state that the addition of parameters, which
take into account soil properties, has allowed the
development of a high-predictability model.
6. Cost-benefit analysis
In order to quantify the benefits of the developed models
between the back-calculated modulus (obtained with
deflection tests) and the penetration index values, a cost-
benefit analysis was carried out using the Quebec Ministry
of Transportation (MTQ) flexible pavement design soft-
ware CHAUSSEE2. By carrying out structural optimis-
ation tests, the total material cost of a typical local
pavement is evaluated in $/m2 for two different subgrade
soil types: CH (inorganic clays with high plasticity) and SP
(poor graded sands). For each one of them, the cost
variation per kilometre of the pavement structure
associated with the variation of the subgrade resilient
modulus value (Mr) is evaluated. This was done by
comparing the results obtained with the software Mr
default value and the tested soils mean Mr value (Table 10).
Also, the precision of the models developed in Section 5.2
is interpreted in terms of pavement cost variation per
kilometre in Table 11.
As it can be observed in Table 10, the variation of the
subgrade resilient modulus from the default value to the
tested soils mean value causes a non-negligible pavement
cost variation per kilometre. In fact, for the CH type soils,
the use of subgrade Mr value estimated from DCP
Table 10. Cost-benefit analysis.
Subgrade type Subgrade resilient modulus (MPa)
CH (IL , 0.9) Default value
Tested soils mean value
SP Default value
Tested soils mean value
a
Pavement width 6 m.
211
measurements instead of the software Mr default value,
which is too low, creates a total benefit of 17,340 $ per
kilometre. On the contrary, for the SP-type soils, the
software Mr default value overestimates the modulus, and
a supplementary cost of 13,980 $ per km of pavement
structure is needed to ensure a safe and adequate design.
With respect to the models precision in terms of pavement
cost variation per kilometre (Table 11), it increases with
the model level and thus it demonstrates the relevance of
using the higher level when possible.
7. Discussion
The DCP is a very useful tool which allows determining
many pavement layer characteristics when combined with
proper interpretation models. In this study, models are
developed in order to ensure a good exploitation of the
data obtained with the DCP in the geological context of
the Quebec province in Canada. The models describe the
relationship between the strength properties of soils
(undrained shear strength obtained with a vane tester) on
one hand, the resilient properties (back-calculated
modulus obtained with deflection tests) on the other
hand, and the penetration index values for various soils.
The models that describe the relationship between the
undrained shear strength and the penetration index values
are derived for the following data range: 10 , DCPI ,
200. Depending on the desired precision and on the
information available on the soil properties, three levels of
relationships are proposed. With respect to the models that
describe the relationship between the back-calculated
modulus and the penetration index values, they are derived
for the following data ranges: 10 , DCPI , 200 (fine-
grained soils) and 10 , DCPI , 250 (coarse-grained
soils). For these models, only the relationships at levels
2 and 3 are recommended. The level 1 relationship is
considered inaccurate and it may lead to significant
estimation errors.
With respect to the relationship between the strength
properties of soils and the penetration index values, high
predictability models are obtained for the three interpret-
ation levels. In fact, the addition of parameters which take
into account soil properties is not essential to obtain a low
error. Concerning the relationship between the resilient
properties of soils and the penetration index values, it is
Pavement cost variation per kma ($)
31 17,340
99
82 13,980
30
212 M. Boutet et al.
Table 11. Models precision in terms of pavement cost
variation.
Pavement cost
Subgrade type Model variation per kma ($)
CH (IL , 0.9) Level 1 16,140
Level 2 9060
Level 3 1740
SP Level 1 96,300
Level 2 8700
Level 3 4860
a
Pavement width 6 m.
essential to add soil characteristics to obtain a low error. In
order to identify the key parameters likely to improve the
models, a regression analysis was performed using the
variance and the covariance. For the fine-grained soils,
these parameters are the dry density (rd), the plasticity
index (IP) and the liquidity index (IL), whereas for the
coarse-grained soils, these are the density (r) and the
plasticity index (IP) or the water content (w).
This research effort was important, as several
limitations were identified for the available models
found in the literature and the performed study allowed
extending these limitations. The research allowed devel-
oping statistical models which enable calculating the
subgrade soils modulus with an accessible, inexpensive,
rapid and simple test like dynamic cone penetration. In
addition, this tool allows obtaining soils bearing capacity,
as well as a characterisation of layer thicknesses, if a
change of layer occurs in the analysed subgrade soil. This
study is original as the estimation of the modulus for fine-
grained and coarse-grained soils can be based on soils state
and physical properties. This was important to consider,
because such an approach for the model development
allows differentiating soils in a more precised manner and
to consider the effect of important parameters such as
water content and density.
Because of the significant work load associated with
the data collection on the field and in the laboratory, it was
not possible to develop the models with large number of
measurements. As a matter of fact, soils blending and
compaction, 1.5 m3 container filling, as well as the
excavation work in the field, were significant tasks to
perform. Therefore, the study was designed in order to
collect information on various soil types encountered in
Quebec. This goal was actually achieved because eight
coarse-grained soils and ten fine-grained soils were tested
under various and controlled test conditions. However,
it is more than relevant to verify if the number of
measurements included in all the proposed models is
statistically significant to positively conclude on the
models reliability. In regression statistical sciences,
sample size analysis can be performed using a power
analysis. With sufficient information, this kind of analysis
can be performed prior to the study or after the study to
verify the validity of the obtained results.
In statistical terms, Cohen (1988) defines the power as
the probability of rejecting a null hypothesis when the
alternate is true, or as the probability of rejection of an
actually false null hypothesis. In other words, the power is
the ability to detect an effect, given that this particular
effect exists in reality. This concept is associated with
the statistical error type. Two main error types may be
experienced in statistical analysis, which are types 1 and 2
errors. The type 1 error is the significance level a, which is
the odd of finding a relationship although there is none in
reality. This is used to compute the confidence level 1 2 a,
which was set to the traditional value of 0.95 in this study
as previously mentioned. Type 2 error is the odd, b, of not
finding a relationship although there is actually one. The
power is expressed as 1 2 b, and refers to the odd of
saying there is a relationship and that it actually exists.
A statistically powerful model is usually set at a level of
0.8 (b 0.2).
In a power analysis, the adequate sample size
calculation for regression depends on four basic
parameters, which are the significance level a, the number
of predictors included in the model, the desired statistical
power and the effect size. The sample size is the parameter
that has the more pronounced effect on the statistical
power. The effect size is a measure of the strength of the
relationship between two variables and is associated with
the degree to which a relationship actually exists. Several
ways of computing the effect size are suggested in the
literature (Cohen 1988). For our study, the most
appropriate effect size-related measurement to be used in
the regression context f 2 is proposed by Cohen (1988) and
is expressed as
R2
f2 ; 15
1 2 R2
in which R 2 is the determination coefficient. Fundamen-
tally, f 2 will increase with increasing R 2. The sample size
calculation is based on the determination of the Fisher F-
distribution probability density function, the non-central-
ity parameter of the F-distribution, the non-central F-
distribution probability density function and the normal
curve cumulative distribution function. More details on the
procedure for sample size determination using the
statistical power can be found in Cohen (1988). Never-
theless, knowing the significance level (a 0.05), the
power level (b 0.8), the number of predictors in the
considered equation and the effect size calculated from the
obtained R 2, the sample size that would be appropriate for
the development of the proposed equations can be
obtained. Table 12 summarises the details of this analysis
that allows evaluating the appropriate sample size given
 International Journal of Pavement Engineering 213

Table 12. Sample size evaluation for the proposed models.

Equation f2 N used in the model Appropriate N

(4) 3.5454 13 6 OK
(6) CH 11.5 5 4 OK
(6) CL and ML-CL 11.5 8 4 OK
(7) CH 19 5 6
(7) CL and ML-CL 19 8 6 OK
(8) 0.4925 13 18
(9) 0.7241 19 13 OK
(10) CH 4.5556 5 5 OK
(10) CL 4.5556 8 5 OK
(11) SP and GP 7.3333 8 5 OK
(11) SM, SC, SM-SC and GM 7.3333 11 5 OK
(12) CH 19 5 6
(12) CL 19 8 6 OK
(13) SP and GP 7.3333 8 7 OK
(13) SM, SC, SM-SC and GM 7.3333 11 7 OK
(14) SP and GP 5.6667 8 8 OK
(14) SM, SC, SM-SC and GM 5.6667 11 8 OK

the obtained results and the proposed models. As it can be
observed, in a general manner, the experiment was
adequately designed and the proposed models for each
sophistication level met appropriate standards in terms of
number of measurements for a statistical power of 80%.
However, three models do not meet the appropriate
number of data that should be included in the regression
analysis. Two of them are models proposed for CH soils
(Equations (7) and (12)), for which only five reliable
measurements were obtained. The third one (Equation (8))
would necessitate a higher number of data because of the
low determination coefficient obtained for this level 1
model. However, as part of the recommendations
suggested in this paper, level 1 relationships are not
recommended for the estimation of the EFWD from
penetration index data because of the higher estimation
error. This is particularly true for fine-grained soils, where
the sample size was found to be lower than the appropriate
calculated sample size. Nevertheless, these three equations
still may be used with caution and good engineering
judgement. Even if most of the proposed models are
statistically valid, further researches should be focused on
improving the models by the collection of supplementary
data. Among other things, this approach for the proposed
models should allow increasing the predictability, as well
as increasing the applicability in terms of soil types, soil
conditions and DCPI range of values.
8. Conclusion
This study has led to the development of reliable models
between the penetration index and the undrained shear
strength on one hand and the back-calculated modulus on
the other hand. The relationships are developed at three
different levels including direct relationships DCPI EFWD
or DCPI Cu specific to soil classification and relationships
including soil properties as explanatory variables. Minimal
information is needed on the tested soil for the first level.
For the second level, the soil classification is required,
whereas parameters which take into account soil proper-
ties such as water content, soil consistency or density are
needed for the third level.
The prediction error of the DCPI Cu relationships
decreases from 33 to 10% with the addition of
explanatory variables. With respect to the DCPI EFWD
relationships, the prediction error decreases from 70 to
16% for the fine-grained soils and from 75 to 16% for
the coarse-grained soils with the addition of explanatory
variables.
The models developed are applicable for almost all
types of soils found in the geological context of the
Quebec province in Canada. It is recommended to use the
higher level models when possible. In fact, the first level
has to be used only if the explanatory variables are not
available or as a first approximation. The models are not
recommended for coarse-grained soils with a penetration
index below 10 mm/blow because these values are
beyond the confidence interval of the proposed relations.
Acknowledgements
The authors gratefully acknowledge the Quebec Ministry of
Transportation for their financial and technical support for this
project. In addition, the authors wish to acknowledge the research
assistant who contributed to this research effort.
Notes
1. Email: melanie.boutet@roche.ca.
2. Email: jean-pascal.bilodeau@gci.ulaval.ca.
3. Email: pascale.pierre@gci.ulaval.ca.
214
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