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PROCEEDINGS OF THE 5TH INTERNATIONAL YOUNG
GEOTECHNICAL ENGINEERS’ CONFERENCE

Pro
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Young Geoteechnical Eng gineerss’
Coonferen nce
5th
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Edited by
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Yu-Jun Cu
ui
Fabrrice Emerriault
F
Fahd Cuirra
Siavaash Ghab
bezloo
Jean-M
Michel Pereira
P
Micchael Reb
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H
Hugo Rav
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Anh
h Minh Tang
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Amstterdam • Berrlin • Tokyo • Washington, DC

Advances in Soil Mechanics and
Geotechnical Engineering
Advances in Soil Mechanics and Geotechnical Engineering (ASMGE) is a peer-reviewed book series
covering the developments in the key application areas of geotechnical engineering. ASMGE will focus on
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Modern Geotechnical Design Codes of Practice – Implementation, Application and
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Proceedings of the 5th International Young Geotechnical Engineers’ Conference – 5th iYGEC 2013 v
Edited by Y.-J. Cui et al. © 2013. The authors and IOS Press.
Preface
The iYGEC conference series aims at bringing together young people who may be studying for a PhD or MSc or at the
early stage of their career in engineering or academia. The idea is to enable delegates to communicate with others who
are doing research or starting out in the geotechnical profession and to share their experience. Traditionally, the partici-
pants are selected by their respective member society. For this 5th edition of iYGEC, the participation is extended to all
young geotechnical engineers.
The book presents the Proceedings of the 5th iYGEC held at Ecole des Ponts ParisTech, Marne-la-Vallée, France,
on August 31 – September 1 2013. This event was organised by the French Society of Soil Mechanics (CFMS) under
the auspice of the International Society of Soil Mechanics and Geotechnical Engineering (ISSMGE).
The papers published in these proceedings were peer-reviewed by experts in the field of geotechnical engineering.
The topics covered are quite large, including laboratory testing, field testing, geology and groundwater, earthworks, soil
behaviour, constitutive modelling, ground improvement, earthquake, retaining structures, foundations, slope stability,
tunnels and observational method.
We would like to acknowledge the work done by the reviewers, for their fundamental contribution in ensuring the
quality of the published papers. We also gratefully acknowledge the financial supports from the ISSMGE and the
CFMS, which were absolutely essential for providing a good condition for our young geotechnical engineers, especially
in terms of accommodations and registrations.
We do not forget of course to acknowledge the assistance of Ms. Séverine Beaunier (Pont Formation Conseil)
without whom the Conference would not obtain such a success.
Yu-Jun Cui
Fabrice Emeriault
Fahd Cuira
Siavash Ghabezloo
Jean-Michel Pereira
Michael Reboul
Hugo Ravel
Anh Minh Tang
vi
Organising Committee
Chair
Yu-Jun Cui Ecole des Ponts ParisTech
Co-chair
Fabrice Emeriault Institut national polytechnique de Grenoble
Séverine Beaunier Ponts Formation Conseil

Fahd Cuira Terrasol
Siavash Ghabezloo Ecole des Ponts ParisTech
Jean-Michel Pereira Ecole des Ponts ParisTech
Hugo Ravel SYSTRA
Michael Reboul Technosol
Anh Minh Tang Ecole des Ponts ParisTech
Acknowledgements
The editors are grateful to the following colleagues who helped to review the manuscripts and hence assisted in improv-
ing the overall technical standard and presentation of the papers published in these proceedings:
Iman Ashayeri Katia Bicalho

Mahnoosh Biglari Jorge Castro Gonzalez
Yu-Jun Cui Fahd Cuira
Sabatino Cuomo Fabrice Emeriault
Siavash Ghabezloo Nomiki Kottaki
Mehdi Omidvar Jean-Michel Pereira
Hugo Ravel Michael Reboul
Anh Minh Tang
The editors would like also to address their acknowledgments to the Library of Ecole des Ponts ParisTech for
providing the image that constitutes the base of the Conference logo (the copyright of the image belongs to the Library).
The Conference logo was designed by Siavash Ghabezloo.
vii
Contents
Preface v
Yu-Jun Cui, Fabrice Emeriault, Fahd Cuira, Siavash Ghabezloo, Jean-Michel Pereira, Michael Reboul,
Hugo Ravel and Anh Minh Tang
Slope Stability
3D Numerical Modeling for Slope Stabilization Using Horizontal Drains 3

Alejandra Alfaro and Ricardo Moffat
Non-Newtonian Fluid Parameters Calibration for Numerical Modelling of Landslides 7
Adrian Andronic
Simplified Method of Analysis of the Stability of River Banks Subjected to Tide Variation 11
Soksan Chhun, Juan Martinez, Pascal Dupont and Thanh Son Huynh
Long-Term Safety Coefficient for Geosynthetics: On-Site Installation Damage Experimentation 15
Bastien Dupuis and Germain Auray
The Effects of Soil Characteristic on Rainfall Infiltration Induce Slope Failure 19
Mohamed El-Fadil
Applications of Reliability-Based Calibration of Partial Factors for Design of Railway Embankments 23
Michael R. Lodahl, Kristian T. Brødbæk and Carsten S. Sørensen
Study of Newmark Sliding Block Method for Rigid Sliding Mass During Asymmetric Dynamic Loading 27
Chih-Chieh Lu
Kinematic Analysis of a Rock Slope Using Terrestrial 3D Laser Scanning Data 32
Miloš Marjanović
Experience with Drainage and Ground Stabilisation by Siphon Drains in Slovakia 36
Ondrej Mrvik
Total Stress Rapid Drawdown Analysis of the Pilarcitos Dam Failure Using Finite Elements 40
Daniel R. Vandenberge
Laboratory Testing
Evaluation of Creep Hypotheses A and B Based on Relevant Laboratory Tests 47

Samson A. Degago and Gustav Grimstad
Effects of Soft Plastic on MSW Shear Strength 51
Clarisse Di Núbila, Francismara Gawlik and Ronaldo Izzo
On the Control of Low Negative Water Pressures in Laboratory Tests on Unsaturated Sand 55
Marius Milatz
Ways to Improve the Definition of Soils Deformation Characteristics in Laboratory Conditions 59
Sergii Poklonskyi
Bentonite-Polyacrylate Nanocomposites for Containment of Aggressive Liquids 63
Joseph Scalia IV, Craig H. Benson and Tuncer B. Edil
Ground Improvement
Plate Load Tests on Improved Ground with Construction and Demolition Wastes Compaction Piles 69
Marina Amorim, Alexandre Gusmão, Jaime Gusmão Filho, Gilmar Maia and Roberto Coutinho
Influence of Geometrical Imperfections of Rigid Soil Reinforcement Columns 73
Cécilia Bohn
Soil Erosion Control and Vegetation Stabilization Using Biogenic Biopolymers 77
Ilhan Chang, Gye-Chun Cho and J. Carlos Santamarina
High-Rise Building Foundation on Floating Soil-Cement Columns 81
Huu Dao Do and Minh Hai Nguyen
viii
Geotechnical Testing for Certification of Loess Improvement by Dynamic Compaction 86

Monica Dumitru
Tensile and Creep Behavior of Geosynthetics Using Confined-Accelerated Tests 90
Fagner Alexandre Nunes de França, Francisco Paulo Basile Avesani, Beatriz de Mello Massimino,
Benedito de Souza Bueno and Jorge Gabriel Zornberg
Impact of Geosynthetic in Soft Soil Reinforced by Rigid Inclusions 94
Romain Girout, Matthieu Blanc, Luc Thorel and Daniel Dias
Naphthalene Diffusion and Sorption Coefficients for Cement Solidified/Stabilized Materials 98
Vincent C. Goreham and Craig B. Lake
Resonance Testing of in Situ Deep Mixed Soils 102
Antoine Guimond-Barrett, Fabien Szymkiewicz, Alain Le Kouby, Anne Pantet, Philippe Reiffsteck and
Jean-François Mosser
Stabilizing Slopes of Soft Cohesive Soil with Lime Columns 106
Rana Hassan
Numerical Modelling of Jet Grouting Columns 110
Anna Juzwa
New Evaluation Methods for Grouts 114
Adrian Kainrath
Application of Fly Ash in Ground Improvement Techniques 118
Karolina Knapik
Ultrasonic Quality Control Method of Sealing Walls Made by Jet Grouting Technology 122
Dmitrii Malinin and Aleksei Malinin
Numerical Study of the Dynamic Behavior of a Site Reinforced with Rigid Inclusions 126
Miguel Mánica
Stabilization of Frictional Soil Through Injection Using CIPS 130
Anders Palmén
Stabilization of a Weak Low Plasticity Clay Soil Using Nanomaterial 134
Seyed Alireza Seyedi Gelsefidi and Jaber Mamaghanian
Stabilization of Soft Marine Sediments from the Port of Koper (Slovenia) 138
Jasna Smolar, Ana Mladenovič and Ana Petkovšek
Case Study of Current Practice of Anchor Design in Relation to Limit States 143
Paul Stephenson
Lime Stabilization of Silty Soft Soil 147
Bojan Susinov and Josif Josifovski
Actual Experience with the Geomassif in Complicated Soil Conditions 151
Tatiana Tronda
Diameter Prediction of Columns Created with Single and Double Jet Grouting Systems 155
Lidia Wanik
Foundations
Energy Piles for Heating and Cooling Purposes 161

Ghassan Akrouch, Marcelo Sanchez and Jean-Louis Briaud
Comparative Study Between the Methods Used for Estimating Ultimate Lateral Load of Piles in Sandy Soil 165
Mahmoud F. Awad-Allah and Noriyuki Yasufuku
Geotechnical Aspects of Repairing a Bridge Foundation Damaged by Scouring 169
Luka Bolfan and Marko Bišćan
Effect of Wood Degradation and Soil Creep on the Behavior of Wooden Pile Foundation in Venice 173
Francesca Ceccato
Design of Foundation Pit Support for New Underground of the National Museum in Prague 177
Tereza Čiháková
ix
Interface Shear Characteristics for Driven Steel Piles in Sand with a High Silt/Clay Fraction 181
Shane Doolan
Geotechnical Design Considerations for Offshore Monopiles 185
Petros Isidorou and Krishna Neaupane
Geotechnical Investigations of Historical Monuments of Central Asia 189
Assem Issina
Uplift Testing on HV Transmission Tower Foundations 193
Frederick Levy
Verification of Simplified Approach with Numerical Approach in Analysing Piled – Raft Foundations 197
Mohamed A. Baqi Mahmoud and Hussein Elarabi
Effect of Downdrag on Floating and End Bearing Piles 201
M.S. Morsy
Application of an Undrained and a Partially Drained Cyclic Accumulation Model for Monopile Design 205
Ana María Page Risueño, Hans Petter Jostad and Morten Saue
Three-Dimensional Bearing Capacity Envelopes for a Circular Footing Resting on Sand over Clay 209
Catherine Poirriez and David H. Edwards
Back-Calculation of Measured Leg Penetrations of Tubular Legged Jack-Ups During Preloading 213
Sylvie Raymackers
Design and Construction of a Soft Layer for Ship Impact Protection to a Basement Structure 218
Barbara Shipton
A Case Study: Investigation of a Family House Damage Due to Expansive Fill Material Beneath the Floor 222
Tereza Šmejkalová and Jan Novotný
The Shard: Foundation Design and Construction 226
S. Smith
Application of Adjusted Wave Equation Analysis for Optimized Pile Acceptance Criteria 230
An-Ninh Ta and Martin Hammann
Theoretical and Experimental Research on Uplift Capacity of Shallow Foundations 234
Igor Tomovski and Josif Josifovski
Numerical Investigation of the Lateral Load Response of Piles in Soft Clay 238
Konstantinos Tzivakos
Review Pertaining to the Determination of Key Soil Parameters for Wind Turbine Design in South Africa 242
Charles Warren-Codrington and Denis Kalumba
Modelling
Back-Analysis of a Case History Using Finite Element Method: The Kansai International Airport, Japan 249
Marco D’Ignazio and Tim Länsivaara
Advanced Numerical Modelling of a Complex Deep Excavation Case History in Shanghai 253
Yuepeng Dong, Harvey Burd, Guy Houlsby and Yongmao Hou
Evaluation of Deformation Characteristics of Fouled Ballast by a 3-D Discrete Element Method 257
Janaka Kumara and Kimitoshi Hayano
Numerical Study of Effect of Contact Condition on the Performance of Composite Liner 261
Tingfa Liu, Hui Wu, Qingbo Wen and Liming Hu
Effects of Fines on Shear Behavior of Sand: A DEM Analysis 265
X.D. Luo and J. Yang
Sensitivity to Layer Subdivision of Drawdown Results for Partially Penetrating Multi-Well System 269
Dalia Ragab Mohamed
Discrete Element Method Software Application for Cohesionless Soil Models 273
Adrian Priceputu
Modeling of Mass Flow and Large Deformations due to Complex Failure Behavior 277
Solenne Rochée
x
An Alternative Method of Solving Soil-Structure Interaction Problem for Foundation Design 281
Stanislav Shulyatev
The Behaviour of Modern Flexible Framed Structures Undergoing Differential Settlements 285
Gerrit Smit and Christopher Clayton
Finite Element Analyses of the Shotcrete Lining Behaviour 289
Argyro Souli and Lindita Kellezi
Dynamic Response of Multi-Layer Soil Under Harmonic Waves: Analytical and Numerical Solutions 293
M.B. Can Ulker
Simulation of Single Pile Loading Test in a Centrifuge to Predict Its Behavior in Real Case 297
Yelbek Utepov
3D FEM Simulation of Groundwater Flow During Backward Erosion Piping 301
Kristine Vandenboer, Vera van Beek and Adam Bezuijen
Earthworks
Analysis of Longitudinal Cracks in Road Embankments 307

Sidney De Abreu
Investigations on Elastic Modulus of Crushed Gravel Using Deflections in Cameroun 311
Serge Billang, Marcelin Kana and Dieudonné Mpele
Optimization of Calculation of Roads, Mathematics Correlations Between Design Parameters 315
Abdou Xaadir Gaye, Abdou Aziz Thiam, Ibrahima Khalil Cisse and Lamine Cisse
Investigation of Geogrid Reinforced Soil Using Biaxial Compression Tests 318
Felix Jacobs
Structural Design of Pavements Under Static Loading 322
Kyösti Kanerva and Leena Korkiala-Tanttu
Improvement of Dynamic Soil Properties Using Preloading in Premiseri Project, Albania 326
Ani Kosho
Performance Testing for Geosynthetic Reinforced Soil Composites 330
Jennifer Nicks, Michael Adams and Tom Stabile
Tunnel and Underground Structure
Three-Dimensional Distinct Element Modelling of a Drill and Blast Tunnel in Crystalline Rock 337
Dániel Borbély
Modeling of the Strength’s Loss and Void Appearance in the Underground Structures of Paris Metro 341
Taous Kamel, Ali Limam and Claire Silvani
Soil Modeling and Effects of Building Stiffness on Tunneling-Induced Ground Movements 345
R.H.C. Law and A.J. Whittle
Stress and Displacement Fields in a Tunnel Lining and Surrounding Ground 349
Marco A. Pérez
Full-Scale Field Test of Large Diameter Reinforced Concrete Pipes Under Heavy Traffic Loads 353
Boris Rakitin
Computational Platform for the Analysis of a Displacement Sensor in Tunnels 357
Javier Sotomayor, Juan Felipe Beltrán and Ricardo Moffat
Field Performance of Pipe-Jacking in Soft Deposit of Xiangshui, Jiangsu, China 361
Ye-Shuang Xu, Qing-Long Cui, Shui-Long Shen and Zhen-Yu Yin
In-Situ Testing
Ground Vibration Isolation on High Speed Rail Lines 367

D. Connolly, A. Giannopoulos, W. Fan and M.C. Forde
Measuring Density and Undrained Shear Strength of Reservoir Sediment Using ND-CPT 371
Rui Jia, Takenori Hino and Takaharu Hamada
xi
Selection of Characteristic Values from Cone Penetration Test 375

Olsi Koreta and Erdi Myftaraga
Assessment of Relationship Between Insitu Modulus Derived from DCP and LFWD Testing 379
David Lacey, Burt Look and David Williams
Analysis of Overconsolidation Effect in Alluvial Subsoil Using CPTU and DMT 383
Katarzyna Stefaniak
Proposal of a New In-Situ Torsionally Shear Testing Method and Analysis of Test Results for Anisotropic
Rock Masses 387
Yota Togashi, Kazuo Tani and Mamoru Kikumoto
Temperature Effects on the Penetration Probes 391
Hyung-Koo Yoon, Jong-Sub Lee and Chung-Hwa Park
Soil Behaviour
Tailings Management in Canada’s Oil Sands 395

Nicholas Beier and David Sego
Analysis of the Punching Failure Mechanism in Working Platforms 399
Katarzyna Białek
Pile Set-Up in Cohesionless Soil 403
Stina Dahlberg
Some Considerations About Geotechnical Characterization on Soils with Oversize 407
Leonardo Dorador and Gaspar Besio
The Influence of Heating and Cooling on the Structural Strength of a Clayey Soil 411
Kai Gu, Bin Shi, Chaosheng Tang and Jiaojiao Hong
Physical Modelling of Tube Sampling Disturbance in Clays 415
Eyre Hover, Qing Ni and Ian Guymer
Determination of Shear Strength of MSW. Field Tests vs. Laboratory Tests 419
Pablo Lapeña
Coupled Effects of Stress Rate and Structure on the Compressibility of Cement-Mixed Clay 423
Park Q. Li and Béatrice A. Baudet
Correlation Between Barton’s Q and Bieniawski’s RMR-A Relook into Goel’s N and RCR with Proposed
Addition 427
Shiyi Lim
The Influence of Particle Shape and Density Index on Shear Strength Parameters of Transylvanian Sands 431
Iulia Molnar
Characterization of Geomaterials by Means of Nuclear Magnetic Resonance 435
Marcos Montoro, Lucas Cerioni and Daniel Pusiol
Evolution of Deformation Fields in Ploughing of Sand 439
Tejas Murthy and Christopher Saldana
Determination of the Swell-Stress Curve of an Expansive Soil Using Centrifuge Technology 443
Michael Plaisted and Jorge Zornberg
Using RQD to Estimate the In-Situ Permeability of Discontinuous Sedimentary Rock 447
Mohsin Usman Qureshi, Khalid Al-Mawali and Kamran Muzaffar Khan
Material Properties Affecting the Influence of Fines on Undrained Sand Response at the Steady State 451
Sean Rees
Liquefaction Potential Criteria Applied to Hydraulic Fills 455
Dani Tarragó, Antonio Gens and Eduardo Alonso
Multiple Correlations Between Young’s Modulus and Identification’s Properties of Building Materials 459
Florette Tsala, Emile Mpeck, Marcelin Kana and Mamba Mpele
Influences of Calcium Carbonate, Sodium Silicate and Salt on Clay Structure 463
Fakhriyah Usman, Takenori Hino, Rui Jia and Takehito Negami
xii
Geotechnical Properties of Patagonian Tephra Tuff 467

Martyn Willan
Earthquake and Geodynamics
Prediction of the Shear Wave Velocity Vs from CPT and DMT 473
Sara Amoroso
Measurements of the Travel Time of Shear Waves in Granular Soils Using Bender Elements 477
Juan Ayala, Felipe Villalobos and Alejandro Alejo
Soil-Structure Interaction Modelling in Performance-Based Seismic Jetty Design 481
Floris Besseling
An Innovative Deep Foundation Macro-Element Model for Seismic Analysis of Pile/Column Supports 485
António A. Correia, Alain Pecker, Steven L. Kramer and Rui Pinho
Comparison of Dynamically Induced Experimental Slope Deformations with Newmark Sliding Block Theory 489
H. Farahi Jahromi, M. Joshaghani, M. Sehi Zadeh and S. Yousefi
In Situ – Based Assessment of Soil Liquefaction Potential. Case Study of an Earth Dam in Tunisia 493
Ikram Guettaya and Mohamed Ridha El Ouni
Liquefaction-Resistant Foundations for Residential Buildings 497
Richard Heritage and Jan Kupec
Geotechnical Assessment and Design of a Cantilevered Retaining Wall in a Sensitive Volcanic Soil 501
Andrew Holland
Effects of Soil Moisture on Shear and Dilatational Wave Velocities Measured in Laboratory Triaxial Tests 505
Muhammad Irfan and Taro Uchimura
Study on Long-Term Subsidence of Soft Clay due to 2007 Niigata Prefecture Chuetsu-Oki Earthquake 510
Koichi Isobe and Satoru Ohtsuka
Soil-Foundation-Structure Interaction in Demand Spectra 514
Anna Karatzetzou
Implications of Seismic Design Aspects on a Pile Supported Wharf Structure 519
Filippo Marchi, Matteo Bernardi and Michela Marchi
Experimental Investigation of Surface Fault Rupture Hazard Mitigation 523
Sayyed Mojtaba Moosavi and Mohammad Kazem Jafari
Retaining Structures
Case Study: Deep Excavation in Beirut Suburb 531

Antoine Abboud
Pressure of Isotropic Granular Medium on Closely Spaced Walls of Arbitrary Curvature 535
Aleksej Aniskin
Internally Instrumented Soil Nail Pull Out Tests 538
Jacobus Breyl and Gavin Wardle
Parametric Studies on Reduction in Surcharge Induced Earth Pressure Using EPS Geofoam Inclusion 543
T.N. Dave and S.M. Dasaka
Deep Supported Excavations in the Center of Zagreb 547
Matilda Đidara
Investigation of Sheet Pile Penetration in Surface Seals by Using the Coupled Eulerian-Lagrangian Method 551
Hatice Kaya
Multi Earth Retaining Systems for an Excavation Project in Old Alluvium, Singapore 555
Edward Koh and Tong Seng Chua
Design and Construction of Excavation Works for Klang Valley Mass Rapid Transit Underground Station
at Cochrane, Kuala Lumpur, Malaysia 559
Kuan-Seng Koo
xiii
The Causes of Big Movement of Temporary Sheet Pile in El-Atf Power Plant North of Egypt 564
Ahmed A. Mohamed
Case History: Challenges During the Design and Construction of a Cellular Cofferdam 568
Gastón Quaglia
Calculations Versus Measurements of the Diaphragm Wall Trench Stability and of the Deformations 572
Ion Răileanu
In-Situ Measurement of the Anchor-Pile Displacement in the Geotechnical Conditions of Sochi 576
Alexander Ryabukhin and Sergey Matsiy
Monitoring
Observational Methods in Shoring Design – A Case Study 581

Onder Akcakal
Assessing the Influence on Buildings due to Jet-Grouting Underpinning 585
Aleksandra Chepurnova
Code Requirements for Site Investigations: An International Comparison 589
Layal Maddah and Jean-Louis Briaud
Managing Risks Through Smart Monitoring 594
Remon Pot and Martin Van Der Meer
Monitoring of Bridge Scour Using Changes in Natural Frequency of Vibration – A Field Investigation 598
Luke J. Prendergast
In-Situ Testing of FBG Deformation Sensors with Use of a New Test Beam 603
Marek Záleský, Jan Záleský, Ladislav Šašek and Kristýna Čápová
Author Index 607

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Slope Stability
Proceedings of the 5th International Young Geotechnical Engineers’ Conference – 5th iYGEC 2013 3
Edited by Y.-J. Cui et al. © 2013. The authors and IOS Press. doi:10.3233/978-1-61499-297-4-3
3D NUMERICAL MODELING FOR SLOPE STABILIZATION USING

HORIZONTAL DRAINS
MODÉLISATION NUMÉRIQUE 3D POUR LA STABILISATION DE TALUS EN
UTILISANT DES DRAINS HORIZONTAUX
1 1
Alejandra ALFARO , Ricardo MOFFAT
1
Civil Engineering Department, University of Chile, Santiago, Chile
ABSTRACT – Strong wet seasons affect the stability of slopes as the pore pressure rises. One of the most
effective methods used in the south of Chile, in fine soils, is horizontal drains. This method reduces the pore
water pressure maintaining an adequate safety factor. A 3D seepage model is created to study the effects of
horizontal drains on the pore pressure distribution under steady state conditions. Different physical
approaches, that is, zero pore pressure and an input flow based on an energy balance, are studied to be
able to represent the soil responds, decreasing the pore pressure due to the drains. This will allow
considering adequately the influence of drains including aspects such as length, spacing, diameter and
location of the openings of the drains.
1. Introduction studied using a 3-D technic, because pore pressure

distribution ranges between drains.
Slope stabilization is an essential topic within the This work presents the solution from a
area of geotechnical engineering. It refers to the numerical modeling using FLAC3D. The results are
theory that analyzes possible instabilities caused compared with laboratory tests done by Kenney
by numerous reasons, including instabilities (1977). To compare both results, the piezometric
triggered by groundwater flow. To avoid these elevation (total head) change on the width of the
instabilities there are different stabilization slope for different positions on X-axis will be
techniques that can be applied on slopes. The plotted.
stabilization method should increase the resistance
of the slope and/or decrease the stress on it. On 1.1. Fundamentals of water flow
the other hand, the choice of the slope stabilization
method depends on several factors such as: soil 1.1.1. Total Head
type, consequences of failure, topography, time, Water flow occurs because of an energy difference,
cost, availability of machinery, the presence of i.e., a potential difference. This energy difference is
surrounding buildings, etc. expressed in terms of the total head, derived from
Heavy rainfall in Southern Chile (>2000 mm/yr, Bernoulli equation for non-viscous and
DGA 2012) causes rise on the water table, making incompressible flow (Eq. 1).
necessary the implementation of a method to
control groundwater seepage. The use of horizontal (1)
drains is one of the most effective groundwater
seepage control techniques. Horizontal drains Where, is the total head [L], is the pore
increase the stability of the slope by lowering the pressure [F/L2], is gravity acceleration [L/T2],
groundwater level which decreases pore pressures the potential head [L] and is fluid density [F T2/L4].
and consequently increases shear strength along Equation (1) considers a permeable porous
the potential failure surface. It also reduces the medium, so flow velocity is very small and therefore
weight of the ground mass. negligible. The analysis and comparison between
However, the response of horizontal drains is laboratory and numerical results can be expressed
poorly understood and remains without regulation. in terms of total head, since it considers point
In this work we focus on establishing a correct elevation and pore pressure on it.
physical approach to represent the behavior of
horizontal drains to control groundwater seepage in 1.1.2. Theory of water flow in porous media
Southern Chile, in order to avoid landslides. From a macroscopic point of view it has been
Most studies have focused in the use of 2-D formulated an empirical law describing the flow
techniques to model drainage systems. This behavior in porous media, the Darcy’s Law (Eq. 2).
approach is convenient on cases of toe drains or This law shows a linear dependence between
blanket drains when the cross sections of the slope hydraulic gradient and flow velocity by
are exactly the same. Nevertheless, the design of proportionality constant (hydraulic conductivity).
horizontal drains is a problem that should be
(2)
4 5th International Young Geotechnical Engineers’ Conference – iYGEC 2013
Where is the seepage velocity [L/T], the 2. Zero pore pressure as a boundary condition
hydraulic conductivity [L/T] related to permeability
and the hydraulic gradient. Tesarik & Kealy (1984) establish that the necessary
Such this is a 3D problem, the three condition to represent drains on the slope is by
components gradients are: assigning them zero pore pressure.
It is presented a mechanical model on FLAC3D
(3) (Figure 2). Slope geometry is: height=0.4 [m],
Combining Darcy’s law with continuity’s width= 4.8 [m] and length=1.7 [m]. Drain spacing of
equation it results on the Laplace equation (Eq. 4). 0.8 [m] and a drain length of 0.8 [m] were
It should be noted that only steady state would be considered.
studied, thus, the problem is independent of time.
The equation that describes three-dimensional flow
in isotropic soil is,
(4)
1.1.3. Pipe Design

Design of horizontal drains can be made using
concepts of open channels. The water depth is Figure 2. Three dimensional model FLAC3D
determined by the pipe slope, roughness and the
cross-sectional shape of the free flow. This could Zero pore pressure condition was applied to all
be done using Manning’s equation (Chow, 1959). gridpoints that were in the position of the drain, that
Open channel design can be used if the flow is, gridpoints that have y=0, 0.8, 1.6 (drain spacing
into the drain has a free surface, i.e., it’s open to of 0.8 [m]), z=0.2 and x between 0.55 and 1.35
the atmosphere and has zero pore pressure. Open (drain length of 0.8 [m]). Results from the
channel geometry is shown on Figure 1, and performed numerical analysis (chart legend) and
equations (5) and (6). their comparison against Kenney’s laboratory test
(dotted line) are presented in Figure 3.
Figure 1. Cross sectional properties for an open

channel
(5)
(6)
Furthermore, considering a gradually varied flow
profile, critical depth at the end of drain (hydraulic
drop) and a subcritical flow, the water depth profile
into the drain can be obtained (Chow, 1959).
1.1.4. Head Loss

Concepts associated with pipe design will be
helpful for understanding drain response. Despite a
drain is a close conduct, it should be noted that a
drain could behave either as an open channel if it
has a free surface, or as a pipe if it doesn’t. The
Bernoulli’s expression for pipe design is the
following:
Figure 3. Total head comparison between
(7) numerical (this study) and laboratory results for
S=0.8 [m] and L=0.8 [m] (Kenney, 1977).
Where the head loss can be computed using the
Darcy-Weisbach equation, It was noted that modeling the drains by zero
pore pressure does not reproduce Kenney’s (1977)
(8)
laboratory measurements. Also, in the present
Where is the friction factor, and it’s value analysis it was assumed that the entire length of
the drain can capture water.
depends on regimen and velocity, thus, this is an
iterative calculation process.
5th International Young Geotechnical Engineers’ Conference – iYGEC 2013 5
Because of the disagreement between the 3. Alternative modeling solution

numerical modeling and Kenney’s laboratory data,
it is necessary to understand the flux behavior The hydraulic theory for open channels indicates
inside the drain, thus, a water depth profile was that Kenney’s drain is full of water. Therefore, the
calculated using open channel theory (equations drain has a nonzero internal pressure and modeling
(6) and (7), and Figure 1). It was considered the with zero pore pressure is not accurate. Thus, an
laboratory drain’s properties and the total flow alternative modeling solution is presented ahead.
derived from numerical analysis, to satisfy Laplace This solution is able to represent what happens if a
equation (Eq. 4). drain has pressure inside it. In this case the energy
gradient between the soil and a drain would lead to
a flow border condition.
An iterative process is presented, in which the
input flow is iterated on three openings of the drain
represented by three gridpoints spaced at 0.15 [m].
Table 1 shows the coordinates of the gridpoints. Q
denotes the input flow calculated independently for
each gridpoint of the drain.
Figure 4. Water depth profile for a drain spacing of
S=0.8 [m] and length of L=0.8 [m]
According to Figure 4, the water depth profile

developed is not a subcritical solution (Chow,
1959), and does not satisfy the open channel
condition. This means that for the require flow for
the drain works as an open channel, the drain’s
diameter is not adequate, Consequently, Kenney’s Figure 6. Conceptual hydraulic model
drain (1977) has an inside positive pressure,
therefore a new modeling process to account for By using an energy balance within (1) and (2),
positive pressure should be presented considering and then (2) and (3) according to Figure 6,
the drain as a pipe. It should be noted that for a considering the hydraulic pipe concept presented
bigger drain diameter or a lower hydraulic before, the water velocity on the exit point is,
conductivity the drain works as an open channel
and modeling the drain with zero pore pressure is (9)
accurate.
Nevertheless, it is important to note that there is
no effect of hydraulic conductivity when pore Therefore, the flow is just the velocity multiplied
pressure is zero. In this case, since the boundary by the total area of the drain as it was
condition is the pressure and not the flow, the total demonstrated that was full of water. Table 1 also
head is independent from the value for Darcy’s shows the value of L for each gridpoint,
constant. This is demonstrated in Figure 5. representing an opening on the drain. The f
Therefore, the total flow inside the drain can be coefficient was also calculated with an iterative
normalized by the hydraulic conductivity and is be process according to turbulent or laminar flow.
the same for different Darcy’s constants. According to equation 9, the H value,
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 corresponding to total head, is the value that must
0.36
be iterated.
0.34
Table 1. Openings locations of the drains
0.32 z [m] x [m] L [m] y [m]
0
0.3 0.55 0.8 0.8
1.6
[m]
0.28 0
0.7 0.65 0.8
TOTAL HEAD
0.2
0.26 1.6
0
0.24 0.85 0.5 0.8
1.6
0.22
0.2 On the other hand, QE represents the actual

input flow on the gridpoint of the model. QE is the
0.18
DISTANCE Y [m] result of the three openings interaction. Figure 7
k=1E-0.2 [cm/seg] k=1E-0.4 [cm/seg] k=1E-0.6 [cm/seg]
presents the iterative condition.
Figure 5. Total head for different hydraulic
conductivity
4. Conclusions
Modeling drains considering zero pressure does

not reproduce Kenney’s (1977) laboratory
observations. When this boundary condition is
applied, the flow rate obtained for each drain
normalized by hydraulic conductivity remains the
same independently of Darcy’s constant.
Depth water profile results demonstrate that the
drain has an inside hydraulic pressure, so the drain
Figure 7. Outline of iterative process can’t be modeled with zero pore pressure because
it is a pipe and it is not correct to assume the drain
The flow border condition results are shown on as an open channel. This conclusion may explain
Figures 8 and 9. Fig. 8 presents the variation of the why some installed drains are effective and why
input flow on the first, second and third opening of some are not. Essentially the diameter drain
the drain for every iteration. It should be noted their considered is not wide enough to account for the
cyclic behavior. total flow dependent on the hydraulic conductivity
of the soil.
When the drain’s behavior is not effective, an
alternative modeling solution is presented to
represent the actual groundwater flow that would
yield on a new stability study, based on the energy
gradient. If outside energy (total head in the soil) is
not higher than the energy inside the drain, no input
flow will be generated.
This work shows that when drains are modeled
with an input flow, the flow for each gridpoint varies
between a maximum and a minimum value. This
modeling solution is more appropriate since it does
Figure 8. Input flow to the model
not overestimate drain capacity. Nonetheless, this
method is dependent of the hydraulic conductivity
Figure 9 represents the slope cross-section
that must be obtained from a field test.
where the drain is installed (Y=0.8 [m]). The last
This report provides new insights concerning
two iterations are presented.
slope stabilization by horizontal drains technique.
Coupling geotechnical 3-D modeling and hydraulic
analysis proves to be an important tool in the
understanding of horizontal drains response.
5. References
Chow, V. (1959). Open-channel Hydraulics. New

York : McGraw Hill.
Dirección General de Aguas. (2012). Información
pluviométrica, Santiago.
Fernández-Rubio, R., & Singh, R. N. (1983). Slope
stabilization using advance dewatering
techniques in a large opencast mine in the
north-western spain. International Journal of
Figure 9. Drain cross-section Mine Water.
Kenney, T. C. (1977). Results of seepage model
For the first opening, iteration 11 shows a lower test and calculations concernings horizontal
total head according to the maximum input flow. In drains in slopes. Toronto.
this case, the first opening controls all the water Luthin, J. N. (1966). Drainage engineering. John
capture process. This can be interpreted because Wiley & Sons, Inc.
the energy gradient between the drain’s inside and Pazin, M. (1974). Reduction of pore-water
the pressure outside is not enough to produce an pressures in slopes by horizontal drains and it's
input flow for the second and third opening. On the influence on stability. Toronto.
other hand, iteration 10 shows the minimum input Tesarik , D. R., & Kealy, C. D. (1984). Estimating
flow for the first opening. The energy, product of horizontal drain design by the finite-element and
this input flow, allows water entry for the second finite-difference methods. International Journal
and third opening, causing a diminished in total of Mine Water.
head.
NON-NEWTONIAN FLUID PARAMETERS CALIBRATION FOR

NUMERICAL MODELLING OF LANDSLIDES
CALIBRATION DES PARAMETRES D’UN FLUIDE NON-NEWTONIEN POUR LA
MODELISATION NUMERIQUE DES GLISSEMENTS DE TERRAIN
1
Adrian ANDRONIC
1
Technical University of Civil Engineering, Bucharest, Romania
ABSTRACT - Common geotechnical engineering practice deals with landslide modelling during the triggering
and in some cases immediate post-failure phases. This is generally carried out using either Limit Equilibrium
Method or Lagrangian formulation for Finite Element Method. The paper describes a method for assessing
both the aforementioned phases and propagation of landslides, modelling the sliding mass by the methods of
Eulerian formulation specific to Computational Fluid Dynamics. The equation of state parameters governing
the fluid-soil equivalence, as well as the ones describing the velocity-shear strain behaviour are found both by
numerical matching (the former) and a newly developed laboratory testing method (the latter). Similarities
and differences with respect to the classical approach are pointed out as conclusions.
1. Introduction the Finite Element Method, and the liquid part (the
sliding soil mass) as an Eulerian material. The
The study of landslides and of the consequences boundary conditions imposed for the two parts
they produce has become a multi-disciplinary assure the coupling of Lagrange and Euler parts.
subject, involving, besides the engineering The parameters used in the case of the solid
expertise, the geographical, pedological and urban part are common for Finite Element Method for
planning aspects. The engineering approach is modelling the behaviour of soils, namely the
currently focusing on the triggering phase, in the density, which provides the mass of the volume, the
attempt to avoid the phenomena from happening. elastic behaviour parameters (Young modulus and
For this purpose, the methods employed contain Poisson’s ratio) and the plastic behaviour
Limit Equilibrium Method or the modelling of solid parameters corresponding to the Drucker-Prager
masses using the Lagrange formulation hardening criterion derived from the Mohr-Coulomb
implemented in the Finite Element Method. parameters. The determination of these parameters
The analysis of the propagation phase represents common geotechnical practice and the
challenges the limits of the classical methods methods don’t constitute the purpose of this article.
because of the large deformations suffered by the For the case of the liquid part, the parameters
sliding soil mass, generating Finite Element are the density, the elastic behaviour parameters
convergence problems. and the plastic behaviour parameters
The method proposed to overcome these model corresponding to the Drucker-Prager hardening
difficulties treats the sliding soil mass as a high- criterion, similar to the model for the Lagrange part,
viscosity fluid using the Eulerian formulation but besides these, the viscosity of the liquid and the
classically used in Computational Fluid Dynamics Hugoniot linear form (Us-Up) of the Mie-Grüneisen
Method and the civil engineering bedrock as a solid equation of state are introduced to model the Euler
modelled as a Lagrange media. part.
The method employed for analysing the Euler-
Lagrange Coupling (solid-liquid coupling) uses a
serial solver that separates the media into two 3. The procedure for viscosity determination
stages. The Lagrange step is solved first, allowing
the mesh to deform according to the Lagrange The viscosity is a parameter characterizing the
parts. The solution for this step is superimposed on shearing stress response to an applied shearing
the Euler mesh and the new step is computed strain rate. In common geotechnical practice, the
according to the parameters of the liquid phase. shearing behaviour is studied in terms of shearing
variation with respect to an applied set of normal
stresses (as in the case of the triaxial test) or to an
2. Euler-Lagrange Coupling method parameters applied displacement (as in the case of direct shear
used in the analysis test).
The direct shear test can be considered to be a
The Euler-Lagrange Coupling method consists in viscometer as long as the shearing stresses with
modelling the solid part of the analysis as a the applied displacements at various rates are
Lagrangian solid, using the classical formulation of measured. Moreover, the equipment is provided
with a loading ram for applying the normal stresses, The values obtained for the shear stresses were
so the tests have been conducted also varying this normalized with the normal stresses and plotted
parameter. with respect to displacement velocities. The
In common fluids with incompressible isotropic graphical representation of the Casson equation
behaviour, the spherical stress has no influence was added and the values were compared. The
upon the viscosity, the classical models being given results were very similar, proving that the method
in Figure 1. Yet, in the case of the soils, it was for determining the viscosity using the direct shear
discovered the drastic influence of this parameter. apparatus is similar with the classical methods for
Since for the time being there is no constitutive viscosity determination (Figure 3).
model to consider the variation of viscosity with
spherical stresses, it was decided to use the
viscosity as point-wise values and to correct it by
means of Mie-Grüneisen law varying the material
density on vertical direction. As a research
direction, the request of a coherent constitutive
model for these situations is trying to be met.
thickening Bingham
W
Newtonian
Casson
fluidizing
Figure 3. Maximum shear stresses normalized with
the normal stresses plotted with respect to the
displacement velocities

J
4. The determination of the parameters of the

Hugoniot linear form of the Mie- Grüneisen
Figure 1. Different types of viscous behaviour equation of state
(Locat and Demers, 1988)
In the absence of laboratory tests which provide the
The tests were performed at various parameters for the equation of state, the method
displacement velocities (0.01 mm/min, 0.02 employed is numerical matching. For this purpose,
mm/min, 0.05 mm/min, 0.1 mm/min, 0.2 mm/min, several calibration models have been analysed,
0.5 mm/min, 1 mm/min, 2 mm/min, 5 mm/min) at using both classical Lagrange numerical analysis
constant normal stresses for three loading cases and Euler-Lagrange coupling. The Mie-Grüneisen
(50 kPa, 100 kPa, 150 kPa). The results were equation of state parameters were considered
graphically represented in terms of maximum shear according to Chapman et al.(2006) and the results
stress with respect to normal stresses. For each obtained through the analysis of the calibration
linear representation, for the values of one test it models were compared and the parameters were
was obtained a linear equation plotted also on the altered so that the results were convergent.
graph (Figure 2). The simplest model implied the Dynamic Explicit
analysis of two parallelepipeds defined as soils
placed between two solid concrete beams (Figure
4). The first model was analysed with the classic
Lagrange formulation and the latter using the Euler-
Lagrange Coupling. The deformations of the two
models, taking into account that both suffered small
deformations, were convergent. The general
displacement of the Euler-Lagrange Coupling
model could not be computed because the nodes of
the Euler part don’t have an actual displacement,
but this fact can be corrected using a control
Lagrange part. The development of plastic zones is
more obvious in the case of the Euler model
Figure 2. Maximum shear stress plotted with because the influence of the efforts applied on the
respect to normal stresses for different instance simulates more accurately the real
displacement velocities behaviour.
Figure 4. The shear stress for Euler-Lagrange

Coupling model (left) and Lagrange model (right)
The second model used for calibration consists

in studying the stability of a soil mass subjected to
gravity. The results were convergent in both types
of analyses, but it is considered that the Euler-
Lagrange model behaves more accurate compared
to the real case. Figure 5 presents the difference
between the two models in terms of von Mises
stresses (top representing the Euler – Lagrange
coupling and the bottom the classic Lagrange
model).
Figure 6. The von Mises stresses in the soil for

Euler-Lagrange Coupling model (top) and Lagrange
model (bottom)
If the stress state of the soil is considered

(Figure 6), the results are significantly close: Smax
= 116.4kPa reached at the base of the soil, mostly
due to its own weight, for the Lagrange model,
while Smax = 142.9kPa for the coupled model.
Some areas of the soil column present integration
problems, but the overall response of the model is
fairly similar.
Figure 5. The von Mises stresses for Euler-

Lagrange Coupling model (top) and Lagrange
model (bottom)
Figure 7. The contact pressures on the base of the
After calibrating the parameters using the simple raft for the Euler – Lagrange method
models presented above, the final verification was
made for the behaviour of a foundation raft,
analysing the soil stress state and the contact
pressures on the raft.
Us-Up linear equation and calibrating them in the

case of an actual landslide through in-situ
monitoring techniques.
6. References
Alonso, E. et al (2010). Geomechanics of Failure.

Advanced Topics. Springer; 1st Edition
Arrigada, M.C.S. et al. (2002). Numerical Modeling
of Coupled Phenomena in Science and
Engineering: Practical Use and Examples
Figure 8. The contact pressures on the base of the (Multiphysics Modeling). Taylor & Francis; 1st
raft for the Lagrange method edition.
Chapman, D.J. et al. (2006). The behaviour of dry
Considering the contact pressures between the sand under shock-loading. American institute of
foundation system and the soil, as it can be Physics.
observed in Figure 7 and Figure 8, some Locat J, Demers D. (2006). Viscosity, yield stress,
differences appeared. Although from the remolded strength, and liquidity index
mechanical point of view, the outer part of the raft relationships for sensitive clays. Can Geotech J
surface is subjected to higher efforts, the Euler- 25(4):799–806.
Lagrange method proves several discontinuities of Pastor, M. et al. (2003). Modelling of Landslides: (I)
integration, resulting in aberrant values. If we Failure Mechanisms. Centro de Estudios y
consider the maximum values, in the case of the Experimentacion de Obras Publicas, Madrid,
Lagrange modelling, an effort of 210.7kPa has Spain.
been obtained on the most compressed area, while Pastor, M. et al. (2003). Modelling of Landslides: (I)
using the Euler-Lagrange coupling, the maximum Propagation. Centro de Estudios y
effort reached 610.4kPa. If we disregard these Experimentacion de Obras Publicas, Madrid,
errors, we obtain a similar maximum value of Spain.
254kPa.
The difference between the two models lies in
the constitutive laws of the material and
phenomena type. Therefore, while in the Lagrange
model an instantaneous calculation is conducted
using an elasto-plastic model, in the Euler-
Lagrange coupling, a transient phenomenon took
place and the calculation achieved a total time of
10s. This time value does not permit any creep,
hardening or softening effects to appear. Overall,
both models achieved a similar response in terms
of variation of the deflection of the raft.
5. Conclusions
Comparing the results obtained from the direct

shear test for the viscosity determination and the
usual viscous behaviour models, the conclusion is
that this method can be used, but taking into
account the limitations due to variable normal
stresses applied. A constitutive model taking into
account the spherical stress could provide better
results.
The equation of state parameters have been
determined using the numerical matching and the
results obtained from the classical Lagrange model
and from the Euler-Lagrange couple are
convergent. These parameters can be used for
modelling landslides behaviour and in general all
stability problems, using the models chosen for
calibration to determine them for each case in
particular. The following research directions will be
a laboratory method for determining the Hugoniot
SIMPLIFIED METHOD OF ANALYSIS OF THE STABILITY OF RIVER

BANKS SUBJECTED TO TIDE VARIATION
METHODE SIMPLIFIÉE D’ÉTUDE DE LA STABILITÉ DES BERGES DE
RIVIERE SOUMISES A LA MAREE
Soksan CHHUN 1, Juan MARTINEZ 1, Pascal DUPONT 1, Thanh Son HUYNH 2
1
Laboratoire de Génie Civil et Génie Mécanique, INSA de Rennes, Université Européenne de
Bretagne, Rennes, France.
2
Département d’ouvrages hydrauliques, Institut Polytechnique, Université National du Vietnam,
Ho Chi Minh Ville, Vietnam.
ABSTRACT - The research is conducted to model the stability of river banks subjected to tide variation, with
particular reference to the Mekong delta. Dupuit assumption is supposed to find the variation of water level
in the soil using a numerical solution by an explicit finite difference method which results are compared to
field measurements. Under periodic tide variation, a stable ground water level is obtained far from the river
bank and higher than the mean river water level. A limit equilibrium analysis (slice method) is developed to
find the safety factor of the riverbank. Validation of the results is conducted by comparing to finite element
calculations. The safety factors vary with the change of water level in the river. The critical instant (minimum
safety factor) occurs during the low tide period. The soil permeability has an influence both on the critical
moment and on the corresponding safety factor. Furthermore, the soil cohesion has an effect on the shape
of the failure surface.
1. Introduction parameters such as permeability and cohesion on

bank stability is considered.
River bank landslides create big problems along
many rivers that lack of protection systems. For
example in 2010 along the Mekong delta, there 2. Ground water table
were many landslides killing two people, destroying
seven houses, twenty dams and many other For a vertical bank, submitted to water variation
constructions in some provinces of Vietnam action, the following differential equation of ground
(Vietnam News, 2011). The frequent accidents water table was derived from the continuity
were recorded during the period of flooding, equation and Darcy’s law, assuming Dupuit
particularly, when the water level decreases rapidly hypothesis that the horizontal velocity of the water
after flooding (AUF 6301 SP4, 2006), and for river is constant along the vertical direction (Rezzoug
bends, between the period of drawdown and rising and Alexis, 1992):
phases of multipeaked flow events (Rinaldi et al.,
2008). , ,
(1)
Under the effect of tide, Rezzoug (1994) studied

the variation of ground water table and he found
the importance of flow force during the low water where , is the height of ground water table,
tide. In studying bank stability, by supposing the and are the space and time variables
ground water level constant and variable water respectively, and
are the permeability and the
level in the river, Rezzoug (1994) and Amiri- porosity of the soil respectively.
Tokaldany and Darby (2006) showed that the most For an inclined bank, Rezzoug (1994)
critical events happen during the low water level. developed the above equation by changing the
However, in the study of bank stability of Mekong origin of the horizontal axis (Figure 1) and
River under the effect of tide (AUF 6301 SP4, proposed a new equation of the ground water table:
2006), it was found that the safety factors was
, , ,
minimum at the high tide. (2)

A recent analysis (Chhun et al., 2012) of bank
stability subjected to a sinusoidal tide was coupled where is a horizontal distance related to the
with the variation of both ground water table and slope of the bank and Xt x t.
water level in the river. We showed that the most A numerical solution of equation (2) using a
critical moment occurs during the low tide because finite difference method in time and space is
the delay of the ground water table relative to the proposed as follows:
river level that generates high pore pressure in the
soil. In the present work the influence of soil
z
Z A
B O
Hmax
O
He
(t) X(t)
M(x,z) O
H0(t)
J
O
Hmin H(x,t) k et n
/O 6KFG
5O
β C /O

o xmax
O X x 5O
/O
5O
MZ OUGVP
Figure 1. Notations and coordinate system:
V
J
xoz (fixed origin), XOZ (origin variable with time)
, ,

,
, , , , Figure 3. Comparing ground water variation in
(3) different positions by measurement and simulation
∆
∆ ∆
∆
with the notation: , ∆, ∆ , (5)
The boundary condition along the bank (oA) is

given by the variation of water level in the river. The where
,
, and

boundary condition on the far boundary (BC) T is the tidal period.
corresponds to a horizontal water level: The arbitrary initial condition supposes that the
ground water is horizontal and equal to :
, ∆, (4)
, (6)
To validate the numerical solution, a comparison
is first made with field measurements of the water With this periodic variation, the calculation is
level both in the river and inside the bank during performed by simulation of a number n of tide
one day on the Mekong riverside at Binh Duc site in cycles until a periodicity of ground water in the soil
Vietnam (PCSIU, 2005). In this case, the initial is reached. The periodicity is defined by limiting the
condition of ground water is chosen from the profiles difference of the ground water table
measurements at t=0 at different distances from the calculated at the same time of two successive tide
bank and using a linear interpolation. Figure 2 cycles:
shows the bank geometry and the ground water
level corresponding to the maximal and minimal !∑ # ,." ,#." #$ % 0.01) (7)
water levels in the river obtained by simulation and
by measurement. Figure 3 shows the variation of
the ground water level at different distances from
3. Bank stability
the river bank. We note that the amplitude of
ground water variation decreases with increasing
In bank stability calculation, finite element analyses
distance from the bank. The ground water table
allow introduction of sophisticated soil models and
from the measurements seems more sensitive to
produce accurate results but are very heavy to
the tide variation than from the simulations,
follow step by step the tide variation (Duc, 2008).
especially at distances between 2m and 8.5m from
To easily introduce the evolution of the ground
the bank. This difference may be due to soil
water table calculated above, we choose to
heterogeneity.
program the simplified method of slices by using
In the case of periodic sinusoidal tide variation,
Matlab language. The stability is expressed by a
the boundary condition along the bank is given by:
global safety factor representing the ratio of the
resistant to the mobilized forces along the failure

O O O
surface considered circular with a vertical portion in
O O O
O case of overhang (Terrasol, 2005). The inter-slice
forces are not considered and the Mohr-Coulomb
\
O
failure criterion is used:

VJ

*$ +% ,- .- (8)

MZ OUGVP where τ& is the shear strength available, σ- is the

effective normal stress, c % and φ- are the effective
Z
O
cohesion and internal friction angle of the soil
respectively. For the calculation of the effective
Figure 2. Bank geometry and ground water level
stresses, the pore pressure distribution is tide because of the smaller variation of the ground
considered hydrostatic. water table (Figure 6). In this case, the variation of
As an example, we analyze the following data safety factor is strongly correlated with the tide
system: variation through the water pressure on the bank
- Bank angle : 45o surface. Moreover, the smaller safety factor
- Tide: H'() 9.5m ; H'*+ 6.5m ; T 12h produced by the smaller permeability is caused by
- Soil parameters: k 10, m/s to 10- m/s ; the higher ground water table that increases the
n 0.35 ; c % 4kpa to 24kPa ; φ% 28. ; pore pressure in the soil.
γ/(0 24kN/m1 ; γ2 18.81kN/m1
- Numerical parameters: ∆t 18s ; ∆x 0.1m ; Table I. Comparing slice method (Matlab) and finite
- Width of the slices: b 0.1m element method (Plaxis code, Phi/C reduction)
K(m/s) 10-5 10-5 10-5 10-6 10-6 10-6
c(kPa) 4 14 24 4 14 24
4. Results and discussion tcr (h)
7.4 7.8 8.4 9 9 9
Matlab
Variation of water level in and out of the bank plays tcr (h)
7.8 8 8 8.4 8.4 8.4
an important role in bank stability. On one hand, Plaxis
the water in the river applies a pressure beneficial Fsmin
0.89 1.77 2.56 0.72 1.57 2.35
to the stability. On the other hand, the pore water Matlab
pressure in the soil reduces the shear resistance Fsmin
0.94 1.77 2.53 0.73 1.55 2.25
and disadvantages the bank stability. Plaxis
Figure 4 exhibits the ground water table Err (%) 5.67 0.33 1.53 0.84 1.12 4.56
variations corresponding to different tide levels.
Equilibrium water level (He=8.59m) in the soil is
higher than the mean water level in the river, that &Ɛ ,;ŵͿ
can be explained by the accumulation of water in Ϯ͘ϲ WůĂǆŝƐͺŬсϭ;ͲϱͿŵͬƐ ϵ͘ϱ
the soil (Rezzoug, 1994). At intermediate water &Ɛ;ƚͿͺŬсϭ;ͲϱͿŵͬƐ
levels, the ground water tables are quite different Ϯ͘ϰ &Ɛ;ƚͿͺŬсϭ;ͲϲͿŵͬƐ
ϵ
between the rising and falling tide (hysteresis).
Ϯ͘Ϯ ,;ƚͿdŝĚĞ ϴ͘ϱ

*OCZ VJ Ϯ ϴ
*GO
ϭ͘ϴ ϳ͘ϱ
VJ
\
O

VJJ
;ϳ͘ϴ͕ϭ͘ϳϳͿ
ϭ͘ϲ ϳ
MOUP ;ϵ͕ϭ͘ϱϳͿ
*OKP VJ
ϭ͘ϰ ϲ͘ϱ

Ϭ ϭ Ϯ ϯ ϰ ϱ ϲ ϳ ϴ ϵ ϭϬ ϭϭ ϭϮ
Z
O
ƚ;ŚͿ
Figure 4.Ground water table at different time of tide
Figure 5. Variation of safety factors as a function of
tide for different permeability values
Table I shows the values of the critical time and
the corresponding minimum safety factor for
different values of permeability and cohesion. The
MOU
safety factors calculated by the slice method are
compared to finite element simulations using the MOU
Phi/C reduction procedure (Brinkgreve et al., 2002).
\
O
(CKNWTGUWTHCEG
The results show a good agreement between the (U
values calculated by both methods. In any case, (U
the most critical moments happen during the period E MRC2JK Q P
of low tide. Furthermore, the safety factors )COCUCVM0O)COCJWM0O
decrease when the soil permeability and the

cohesion decrease. Z
O
Figure 5 shows the periodic variation of safety
factors as a function of tide variation. The Figure 6. Ground water tables and failure surface
calculations by the slice method are also compared for different permeability values
to the calculations by the finite element method
during a period of low tide (critical period). We note Figure 7 illustrates the different failure surfaces
-5
that when the soil permeability is high (k=10 m/s), produced by different soil cohesions. Mostly, the
the critical moment happens one hour before the critical failure surface occurs at the bank toe. On
low tide. However, when the soil is less permeable, the top of the bank, we note that the smaller the
the critical moment is simultaneous with the low soil cohesion is, the closer the failure surfaces to
the bank. In Figure 8, the shear strain localization cohesion decrease. The critical moment can
computed by finite element shows a good happen before the low tide when the soil is
agreement with the failure surface calculated by the relatively permeable. The critical failure surface
simplified method of slices (Figure 7). occurs at the bank toe, and the smaller soil
cohesion develops the closer failure surface to the
top of the bank.
% % %
More generally, the simplified methods adopted

(Dupuit type flow, slice method) show relative good
EM2C(U agreement with field measurements and with more

EM2C(U
\
O
sophisticated finite element simulations. The results

EM2C(U will be extended to different bank geometries, and
(CKNWTG5WTHCEG
VJ
different tide regimes.
Q
MOUP 2JK
)COCUCVM0O)COCJWM0O

6. References
Z
O
Amiri-Tokaldany E., Darby S.E. (2006). A model for
Figure 7. Failure surfaces and safety factors for stability analysis of a multi-layered river bank
different cohesion values (slice method) (SAMLR). J. Agric. Sci. Technol. Vol. 8:61-76.
AUF 6301 PS4 (2006). Etude de la stabilité des
berges du fleuve Mékong. PCSIU réf., Juin
2006.
Brinkgreve R.B.J., et al. (2002). Plaxis version 8
manual. A.A. Balkema publishers, Netherlands.
Chhun S., Martinez J., Dupont P., Huynh T.S.
(2012). Modélisation de la stabilité des berges
k=10-6m/s de rivière soumises à la marée. 1er Séminaire
c=4kPa International : les Risque et le Génie Civil,
Fs=0.73 Université de Batna, Algérie.
Duc H.T. (2008). Stabilité des berges sous
sollicitation hydrodynamique. Mémoire de stage
de master, LGCGM, INSA de Rennes, France.
PCSIU (Projet de Coopération Scientifique Inter-
Universitaire) (2005). Etude de la stabilité des
berges du fleuve Mékong : Mécanisme
d’érosion – stabilité des terres, effet des
variations de niveau d’eau du fleuve. Université
k=10-6m/s Nationale du Viet Nam, Ecole Polytechnique, Ho
c=24kPa Chi Minh Ville, Viet Nam.
Fs=2.25 Rezzoug A., Alexis A. 1992). Impact d’un
écoulement cyclique sur un ouvrage semi-
ème
émerge. II Journées Nationales Génie Côtier-
Génie Civil, Nantes, France, doi:10.5150/
Figure 8. Shear strain contours for extreme jngcgc.1992.032-R, p486-498.
cohesion values (Plaxis code, Phi/C reduction) Rezzoug A. (1994). Influence de la marée sur un
sol semi-immergé. Thèse de doctorat,
Université de Nantes, France.
5. Conclusions Rinaldi M., Mengoni B., Luppi L., Darby S. E., and
Mosselman E. (2008). Numerical simulation of
The study of ground water variation subjected to hydrodynamics and bank erosion in a river
the tide variation is conducted by numerical bend. Water Resour. Res., 44, W09428,
simulations and is compared with field doi:10.1029/2008WR007008.
measurements. The amplitude of ground water Terrasol (2005). Manuel d'utilisation de TALREN 4,
variation decreases with increasing distance from notice technique.
the bank. Under periodic tide variation, equilibrium Vietnam News (2011). Mekong Provinces Propose
water level in the soil is higher than the mean water Anti-landslide Measures, sur le site :
level in the river, and there is a hysteresis at http://myvietnamnews.com/tag/mekong/ on
intermediate ground water levels between the rising January 8, 2011.
and falling tide.
Bank stability analysis shows that the safety
factor varies with the tide variation and minimizes
during the low tide period. The safety factors
decrease when the soil permeability and the
LONG-TERM SAFETY COEFFICIENT FOR GEOSYNTHETICS:

ON-SITE INSTALLATION DAMAGE EXPERIMENTATION
COEFFICIENT DE SECURITE A LONG TERME DES GEOSYNTHETIQUES :
ANALYSE DES ESSAIS D’ENDOMMAGEMENT A LA MISE EN OEUVRE
1 1
Bastien DUPUIS , Germain AURAY
1
Texinov, La Tour du Pin, France
ABSTRACT - Reinforcing geosynthetics are used for lot of geotechnical works: embankments, bases
stability on soft soils, secure a risk of potential sinkholes, retaining walls reinforcements, asphalt
reinforcements, reinforcement of load transfer platforms on piles, optimization of road structures. Their
utilization permits also to minimize the environmental footprint and construction costs (reduction of the
quantity of soil material used). For these constructions, a long-term design is asked (50 to 100 years). To
guarantee the functionality of the geosynthetic during all the life of a construction, safety factors are used in
calculations, according to different standards including for instance Eurocode 7, NF P 94270, NFG 38064.
Four main partial safety factors are: Creep reduction factor RFCR, Chemical degradation reduction factor
RFCH, Installation damage reduction factor RFID, Global geosynthetic reduction factor RFg.
1. Introduction 2. Installation damage procedure
For civil engineering structures a design lifetime is We can find in these standards several rules and
50 to 100 years and in reinforced soil structures the information (materials used, vehicle…) that we
geosynthetic should be designed for this lifetime. have to follow and indicate to realize on-site
The design of reinforced soil structures requires installation damage experimentation. The main
consideration of two main parameters: rules and information are:
- The maximum strain in the reinforcement during - The nature of the sub grade and the fill material.
the time of exploitation - The thickness of the fill material
- The minimum strength of the reinforcement to - The energy of compaction.
avoid rupture during exploitation - The dimension of the test area.
These factors are linked to the nature of the - Realize a visual assessment before tensile test.
materials used in the reinforcement structure. They - Clean, level and compact the sub grade (35MPa
depend on time and evolve and can be degraded by EV2 modulus at least).
the environment such as:
- Mechanical damage during installation 2.1. Description
- Elevated temperature
- Weathering (material exposed to light or bad According to these standards, we decided to test 3
weather) different soils, 2 different compaction energy and
- Chemical or biological effects: contaminated six different high tenacity polyester
soil, treated soil. geosynthetic/grids (cf figure 1 Plan of installation
To guarantee mechanical performance of damage).
geosynthetics, considering the factors above-cited,
safety coefficient are applied on reinforcement
structure. The Guideline ISO TR 20432 defines four
safety coefficients:
- Creep reduction factor (RFCR)
- Installation damage reduction factor (RFID)
- Chemical damage reduction factor (RFCH)
- Global geosynthetic reduction factor (FRGl)
Final resistance of the reinforcement product is
calculated by: Final resistance = Resistance
calculated x RFCR x RFID x RFCH x RFGl
In this present study, installation damage was
evaluated according to the ISO TR 20432
guidelines and the national Standards BS 8006
Appendix D and NFG 38064 Appendix C.
Figure 1. Plan of installation damage

2.2. Soils This plan was controled by an external organism

which guarantee that the experimentation was lead
3 soils with different particle sizes are used. according the standards.
- A crushed sand 0/0,5 mm (d50= 0,3mm)
- A rounded gravel 0/100 mm (d50= 15mm) 3. Qualitative analysis
- A rounded gravel 0/300 mm
With these 3 soil materials we can cover a large The first part of analysis is a visual assessment of
range of soils used in construction. The soils are site damage to each sample.
characterized by standard grain size tests in an According to the BS 8006 damage should be
external laboratory. classified into four recorded:
- General abrasion
2.3. Compaction - Splits
- Cuts
A roller compacting machine (operating weight 14 - Bruises
tons, standard frequency 31,9Hz, maximum
amplitude of 1,7mm) is used to compact the soil. 3.1. General abrasion/Bruises
With this equipment, we achieve 2 different
compaction energies: The more we use a soil with big particle sized the
- Medium compaction energy (ME) more the abrasion is important visually (picture 3).
- Intense compaction energy (IE) Likewise, the more geosynthetics have big cables
According to the standard NGF 38064 these 2 (so the resistance is higher), the less abrasion is
compaction energies are considered as “severe” visible (picture 4). There is also a link between
and “very severe”. abrasion and compaction energy, we observe more
agglomeration of soil particle on geosynthetic with
2.4. Geosynthetic/grid intense compaction energy (picture 3&4).
Several samples were tested: 5 reinforcing

geocomposites (4 woven+cables, picture 1, and 1
non-woven+cables) and 1 geogrid. Table 1 gives
main characteristics of these geosynthetics/grids.
All the materials are in high tenacity polyester
(PET). The dimension of each bay is roughly 9m².
Picture 3. NW. geocomposite 180kN/m, sand, ME

(left picture); NW. geocomposite 180kN/m, gravel
0/300, ME (right picture)
Picture 1. Reinforcing geocomposite cable side (left

picture) and woven side (right picture).
Table 1. Geosynthetic/grid used

Characteristic Strength
Woven reinforced (W) 1350 kN/m
Picture 4. W. geocomposite 200kN/m, sand, IE (left
picture); W. geocomposite 1350kN/m, sand, IE
Woven reinforced (W) 200 kN/m (right picture).
Non-woven reinforced (NW) 180 kN/m We can make the same analysis with bruises
Geogrid (G) 200 kN/m observation.
3.2. Splits
In general we have the same observation like

abrasion. We observe more splits on small
resistance product or if we work with a big particle
soil. Nevertheless these splits are present in small
quantity on a sample and they have no effect on the
integrity of products.
Picture 2. Installation damage plan
Splits are in the same direction that the crushed). With this study we can wonder about the
reinforcing cables so that they don’t reduce the nature of sand and his impact on a geotextile
resistance (picture 5). compared to a rolled gravel.
4. Quantitative analysis
According the standards cited the installation

damage coefficient could be calculated by (1):
Tref
Picture 5. Geogrid 200kN/m, sand, IE RFID *instal (1)
Tend
3.3. Cuts
In this ratio, T means the ultimate strength for each
Cuts are embarrassing because they cut reinforcing sample (Tref = product without damage, Tend =
cables and can reduce the resistance of the damage product).
product. We detect more cuts with big particle soil
and with small resistance geosynthetic (picture 6). 4.1. Test method
To determine the resistance of damage products,

tensile tests were done according the standard EN
ISO 10319.
Tensile test on damage products required some
steps of preparation like cleaning. The visual
analysis permits to choose representative damage
sample. The final resistance was calculated with
the average of 5 tensile tests.
Picture 6. W. geocomposite 50kN/m, gravel 0/300,
ME (left picture); W. geocomposite 1350kN/m,
4.2. Results
gravel 0/300, ME (right picture).
Table 2. Installation damage coefficient RFID
These cuts were taken into account during the
calculation of RFID with a corrective coefficient.
W. W. W. NW.
Grid
Geocomp Geocomp Geocomp Geocomp.
3.4. Visual assessment corrective factor 200kN
50kN . 200kN 1350kN 180kN
Sand 1.08-1.15 1.08-1.15 <1.2 1.08-1.15 1.08-1.15

To take account the damage occurs by the cuts a
corrective factor was added on the RFID. The ratio Gravel
1.15-1.25 1.15-1.25 1.15-1.25 1.15-1.25 1.15-1.25
0/100
of cable cut by the number of cable on 1 meter is
Gravel
calculated and round up. 0/300
1.30-1.45 1.25-1.35 1.25-1.35 1.25-1.35 1.25-1.35
For example if there is 10 cables cut for the
woven geocomposite 50kN/m with 0/300 gravel.
For 1 meter of this product we need 255 cables, the The table above-cited presents the first results of
corrective factor will be: 10/255 = 0.039 rounds up installation damage coefficient. We can see that
at 0.04. Then if after the tensile test we obtain coefficients are logical. The more we worked with
RFID= 1.36, so finally the Ratio Factor will be 1.40 big particle soil the more damage will be important
(1.36 + 0.04). on geotextile. Where we have a coefficient around
1.10 with sand we obtained 1.30 with 0/300 gravel.
3.5. Microscope complementary analysis If we analyze the damage according to the
parameter “products resistance” we observe very
A qualitative study on damage fiber at the fast that weak resistances are not well adapted for
microscope scale was lead and presented at severe condition (IE, gravel 0/300). Woven
Eurogeo 5 (Crumbie et al, 2012). geocomposite 50kN has 40% of damage with a
Observations of the installation damage on high gravel 0/300 whereas products with high resistance
tenacity polyester geosynthetic/grid at different have 30% of damage.
scales show that a visual macroscopic analysis of There is also a correlation between damage and
abrasion is not sufficient to predict the mechanical soil particles size. We have an installation damage
tensile strength property of the material. With this coefficient around 1.10 with sand while with gravel
study it was shown that geosynthetic with high 0/300 we have a coefficient around 1.30.
resistance had an abrasion more important with Then if we look the construction of geosynthetic
sand that with gravel 0/100, which is opposing to (geogrid, woven or non-woven geocomposite) we
the visual assessment. This damage could be have, approximately, the same coefficient. We can
cause by the angularity of the soil (rolled or
say that the damage depend more of the soil used 5. Conclusions
and/or product resistance than the construction
used to make the geotextile. Geosynthetics permit to minimize soil quantity to be
We observe that very high resistance product manipulated on a construction site in order to
has an installation damage coefficient more reduce the environmental impact and cost of a
important on sand soil. A first argument can be construction site. To respect the design lifetime,
given by the study at the scale microscopic realized geosynthetic should be designed correctly with the
by A.K Crumbie, who showed that abrasion was concept of safety coefficients.
more important with sand on very high resistance. A These coefficients permit to guarantee that the
second argument is that tensile tests are more product will be efficient during all the lifetime of civil
difficult to practice with very high resistance. engineering structures. The more safety coefficient
These results give a first database which are high, the more the resistance of the product will
improves the coefficients recommended by the be important and by consequence the price also.
standard NFG 38064: 1.5 in “severe” conditions and It’s why it is important to have a database for those
2.5 in “very severe” conditions. coefficients.
The test runs on several geosynthetic/grid
4.3. Interpolation from results with different according different standards permit to create a
soils safety coefficient database and to highlight
important parameters:
The standard ISO TR 20432 permits an - Interests of the visual analysis.
interpolation from measurements with different soil. - Interests of microscope complementary
RFID coefficient can be determined by interpolation analysis.
using values of d50 or d90 of soils that we want to - Tensile test conditions.
know the installation damage factor. It is recognized The database will be enriched after the analysis
that this is only an approximation. of a second installation damage plan.
The interpolation method can be used to know
the coefficient for different soil but this one will be
precisely if an experimental try is applied on
construction sites directlyy, with the materials used
for the work.
6. References
Auray G., Arab R. (2011). Conception,

caractérisation et réalisation d’un système de
retenue de terre pour talus de CSD: cas du CSD
th
de Firminy, France. 8 Rencontres
Géosynthétiques, Tours, 22-24 March 2011.
Auray G. & Garcin P. (2012). Characterization of
X) d50 (mm) soil-geosynthetic friction parameters for
Y) RFID stabilization of a thin soil layer on slopes.
Eurogeo 5, Valence, 16-19 September 2012.
BS8006. (1995). Strengthened/reinforced soils and
Figure 2. Interpolation of RFID other fills, Appendix D.
Crumbie A.K, Garcin P., Auray G., Dupuis B.,
By applying this method we can do the following (2012). Microscopical study of high tenacity,
table: geosynthetic, polyester fibres PET for
morphological damage resulting from installation
Table 3. RFID interpolation example. procedures. Eurogeo 5, Valence, 16-19
September 2012.
NW W. Garcin P., Allagnat D., Guerpillon Y. (2011).
geocomp. geocomp. Grid Optimisation de la conception d’une couverture
d50 180kN 50kN 200kN d’installation de stockage de déchets non
Silty clay 0,025 1,08-1,12 1,08-1,12 1,06-1,12 dangereux (ISDND) à partir d’expérimentations
Fine sand 0,25 1,08-1,12 1,08-1,12 1,06-1,12 th
simples, 8 Rencontres Géosynthétiques, Tours,
Sand 0,313 1,08-1,15 1,08-1,15 1,08-1,15 22-24 March 2011.
0/100 Gravel 15,1 1,15-1,25 1,15-1,25 1,15-1,25 ISO TR 20432. (2007). Guidelines for the
determination of the long-term strength of
We can see in this table that for soils which have geosynthetics for soil reinforcement. AFNOR.
particle thinner the result doesn’t really change. XP G38064. (2010). Murs inclinés et talus raidis en
Same results for the NW geocomposite with silty sols renforcés par nappes géosynthétiques,
clay or fine sand. Appendix C. AFNOR
THE EFFECTS OF SOIL CHARACTERISTIC ON RAINFALL

INFILTRATION INDUCE SLOPE FAILURE
LES EFFETS DES CARACTERISTIQUES DU SOL SUR l'INFILTRATION DES
PRECIPITIONS INDUIT UNE RUTURE DE PENTE
Mohamed EL-FADIL
Building & Road Research Institute, University of Khartoum, Khartoum, SUDAN
ABSTRACT - Slope failures happened at the Skudai campus in Johor, Malaysia. Two instrumented slopes
were investigated for the effects of soil characteristics on the mechanism of rainfall infiltration in slope. One
slope(Site-1) failed due to the rainfall while the other (Site-2) remained stable. Laboratory experiments were
performed to examine one-dimensional rainfall infiltration behaviour for both sites soil. Analysis showed that
for Site-1, the continuous rainfall has caused a significant increase in the soil’s moisture, decrease in
negative pore-water pressure (from 28 kPa to 0). On the other hand, the same rainfall induces a very small
change in negative pore-water pressure. The results showed that the permeability of the soil mass plays an
important role in slope instability. Comparison between predicted FOS based on SWCC curve and actual
measurement showed that there are other factors that may influence the soil response to rainfall infiltration
such as mineralogy of clay content and the dispersibility of the soil.
1. Introduction 2. Methodology
Rainstorms are one of the most significant The study comprises the collection of field data,
triggering factors for slope failures. The rainfall obtaining soil properties through field and laboratory
infiltration on the slope will result in an increase of tests, a soil column model, and a slope stability
moisture content of the soil and hence increase the analysis.
driving force. It also increases the pore water Field data collected from the sites are the
pressure and subsequently decreases the shear geometry of the slope, rainfall data and matric
strength. suction. Site-1 was instrumented with nine
Soil columns have been used by several tensiometers while Site-2 was instrumented with a
researchers to model infiltration mechanisms, and rain gauge and 27 tensiometers. Suctions were
the results have been reported. monitored by tensiometers since July 2006. Field
permeability tests were also conducted at the sites.
Undisturbed samples were collected at depth of 1m
and 2m at several occasions between July and
December 2006 to obtain water content at normal
conditions and at extreme conditions.
The soil water characteristic curves (SWCC)
were obtained by pressure plate test. The mineral
constituents of the soils were determined through
X-ray diffractometry (XRD) and mineralogy tests. A
Scanning Electron Micrograph (SEM) image was
also obtained to study the microstructure of the
soils. A Crumb test and Double hydrometer test
were performed to look at the effect of water on the
dispersivity of the soil.
The soil column was made of an acrylic
transparent tube with a 5mm-thick wall and 190mm
internal diameter. The soil column consisted of two
separated tubes (each 900mm high) connected
Figure 1. Slope at Site 1, 2 and Sites plan after securely by a clamp system and rubber O-ring. This
failure arrangement was necessary for the ease of
compaction and removal of the soil sample. Two
types of threaded holes were fabricated on the soil
This paper discusses the response of two natural
column model wall. Both threaded holes were
slopes to intense rainfall taking place from 17 to 20
spaced at 200 mm along the length of the soil
December 2006.
column.
b
total weight of the soil, β = the slope angle, and Ø
b
= unsaturated friction angle, Although ø is
generally dependent on the range of matric suction,
the value approaches the effective friction angle, ø’
at low matric suction (Fredlund et al., 1987; Sung
b
and Seung, 2002). By using ø =ø’, and the pore air
pressure is atmospheric.
3. Results and Discussion
Figure 2. Three-dimensional diagram, photograph The survey work showed that both slopes can be
of the laboratory model and Data Acquisition considered long slopes. The slope at Site-1 formed
System an angle of 30˚ while the slope at Site-2 forms an
angle of 20.8˚.
The water flow system of the infiltration column Figure 3 shows that there was some rainfall of
comprises three parts, i.e. inflow/rainfall control, low intensity during the month of November
overflow/runoff discharge and percolation followed by a dry period from 26 November to 7
discharge. December. Intense and continuous rainfall took
The inflow/rainfall control consisted of a water place from 17 to 20 December 2006 with the
th
storage tank, a constant head tank, a flow regulator highest intensity (190.8mm) occurred on 19
(ball valve), and a rainfall distributor. Beneath the December, which was the day before Site-1
constant head tank was a flow regulator, by which experienced slope failure.
simulated rainfall rate was precisely controlled. The
overflow discharge system was used to create the
no-ponding upper boundary condition for the soil
column. The overflow was discharged as runoff
through the outlet located at the soil surface. The
runoff was then directed to a load cell that has the
capacity of 2 kg, to quantify the runoff rate. The
third is the outlet for the discharge of percolated
flow. A constant head tank was placed on the floor
to maintain the water table at the bottom of the soil
column. This was intended to form a clear lower
boundary condition. Gravels with the average size Figure 3. Rainfall data and Suction variation at
of 5mm and a filter paper were placed at the bottom depth 1.0 m during November and December 2006
of the soil column to avoid turbulent discharge flow.
Two types of soil suction measurement For Site-1, the suction data was truncated on
th
instruments were used in the study, i.e. tensiometer December 17 as no more suction could be
and gypsum block. In this study, tensiometer was recorded at the site due to the accumulation of
used to measure soil suction at low range of 0 to water. The figure also shows that the range of
70kPa, whereas gypsum block was used to ensure suction fluctuation at Site-2 was relatively small
that any suction higher than 70kPa could be traced (6kPa to 14kPa) as compared to Site-1, whereby
during the process of setting up initial condition and suction fluctuates from 4kPa to 30kPa.
redistribution. Table 1 summarizes the results of laboratory
The data acquisition system used in the study tests on disturbed samples obtained from both
comprises two units of data logger, a solid state sites. It can be seen that the sample from Site-2
relay, an external power supply, and a personal contains more coarse particles than the sample
computer. The tensiometers and gypsum blocks obtained at Site-1. The soil at Site-1 has higher silt
were connected to the Campbell Scientific Data content, which makes the soil prone to the erosion
Logger, while the load cells were connected to the and dispersion; hence the slope is prone to fail at
GDS 8 Channel Serial Data Acquisition Pad. higher water content. The soil at Site-2 is less
Infinite slope stability analyses were performed plastic than the soil at Site-1. However, the
for slopes at both conditions using the formula difference is very small and it should be noted that
proposed by Fredlund et al. (1978): only a small fraction of soil at Site-2 belongs to fine
particles, thus the effect is very limited. The
permeability of soil at Site-2 is two orders of
c' N tanI c (ua uw ) tanI b magnitude higher than that of Site-1. It is noted that
FOS (1)
W sin E cos E the laboratory test gives lower value than the field
test because the laboratory tests were performed
Where c’ = effective cohesion of the soil, N = on compacted soil. The natural volumetric water
normal stress applied on failure surface, Ø’= content of soil in Site-2 varies slightly from 32.5% at
effective friction angle, ua = pore air pressure, uw = of 1m depth to 33.5% at a depth of 2m. The water
pore water pressure, (ua-uw) = matric suction, W = content measured after the prolonged and intense
rainfall in December 2006 is only slightly higher

than the average, i.e 34.8% and 36.8% at a depth 0.7
of 1m and 2m, respectively. Balai Cerapan
0.6
Kolej 12
Volumetric Water Content

Table 1: Soil properties 0.5
0.4
Parameter Kolej 12 Balai Cerpn
Location No. 1 2
0.3
Resid al
Unit 17.2 18.0 0.2
3
Specific 2.68 2.64 0.1
Dry 1.28 1.37 0

3
Moisture content 0.1 1 10
23
100 1000 10000
Suction (kPa)
Normal 46.7 32.1
Optimum 31.5 26.5
Saturation 75.4 46.0 Figure 4. SWCC curves for soils at Site-1 (Kolej 12) and
Composition Site-2 (Balai Cerapan)
Gravel 7 48
Sand 30 15 4. Experimental Design
Silt 47 20
Clay 16 17 A total of 5 tests were carried out for different
Liquid Limit (%) 68.1 53.2 combinations of rainfall patterns and soil types. The
Plasticity index 24.0 17.7 initial conditions for silty gravel and sandy silt were
Soil type MHS GML set at residual volumetric water content. These
Shear Strength initial conditions were created by mixing the dry soil
Friction Angle 24.6˚ 39.5˚
with the corresponding volumetric water content
Cohesion KPa 2.6 3.3
during the compaction. The description of each
Permeability
infiltration test is summarized in Table 2. Note that
Laboratory test 3.3E8 2.0E6
Field test 3.3E8 1.2E5
the ponding condition for test no. 5 was created by
Slope Angle 30 21
maintaining a water level of 10mm above the soil
Factor of Safety 1.0 2.3 surface.
Result Sliding Failure Remain Stable
Table 2: Experimental design of infiltration
Soil Rainfall Rainfall Top Re-
The negative pore water pressure required for the type duration intensity boundary marks
calculation of factor of safety of the slope was (hour) (m/s) condition
estimated based on the volumetric water content GML 1 1.84x10-5 q < Ksat Runoff
GML 24 3.35x10-6 q < Ksat Runoff
and the SWCC curve. MHS 1 1.84x10-5 q < Ksat Runoff
Suction was actually measured at a depth of MHS 24 3.35x10-6 q < Ksat Runoff
0.5m, 1m, and 1.5m at Site-2, while at Site-1, MHS 120 - Ponding
reliable data on suction was obtained only at depth
of 0.5m and 1m. Comparison of the field data and Figure 5 presents the suction distributions as
the calculated suction based on SWCC curve results of the test for prescribed combinations of
shows that the SWCC curve gave higher suction rainfall conditions and soil types. Under the
values than the field measurement. However, for simulated initial condition, the suction of fine-
normal conditions, the trend is similar. This shows grained soil was higher than the coarse-grained soil
that the response of soil to rainfall infiltration is since the suction corresponding to the residual
faster than could be predicted by the SWCC curve. water content was higher in fine-grained soil. During
Prediction of suction based on water content and rainfall infiltration, the suction gradually decreased
SWCC curve for wet conditions indicated the until a critical suction value was achieved. Beyond
reduction of suction; however the trend remained this point, the rainfall infiltration would cause deeper
the same in that suction decreased with depth. In propagation of wetting front. Generally, the depth of
contrast, measurement by tensiometer showed that wetting front was positively correlated with the soil
the suction increases with depth. These particle size.
discrepancies may be due to the time of
measurement whereby the tensiometer records the
response right after rainfall while the sample
obtained for water content determination was taken
a significant period of time after the rainfall.
Another point worth noting is that the water
content of soil at Site-1 remained high even after a MHS GML
long dry period. This means that the soil stays at

saturated conditions due to the accumulation of
water caused by low permeability and mineral Figure 5. Suction distributions at the end of the
content of the soil mass. corresponding rainfall durations
180
Figure 6 shows the suction redistributions of two 160 153
140 130
types of soils. In general, the water content in the 120
Dispersivity %
Site-1 Site-2
coarse-grained soil redistributed more rapidly than

100
80
that in the fine-grained soil. 16 days were required 60
40
26 26
for the silt gravel to regain its initial condition after a

16 16
20
24-hour rainfall event. However, 32 days were

1 15 90
Currying Days
required for sandy silt. The phenomenon can be

explained by the high saturated permeability of Figure 7. Soils dispersivity based on double
coarse-grained soil. However, as observed in the hydrometer test
SWCC function, the permeability of coarse-grained
soil gradually decreased as the suction became 6. Conclusions
higher, until a stage where the permeability of
coarse-grained soil could be lower than that of fine- All analyses presented in Section 3 indicate that
grained soil. slope at Site-1 was the most prone to failure due to
rainfall. The soil contains a significant amount of silt
and fine sand, thus it is most susceptible to water.
Infiltration through the soil is slow because of its low
permeability but analysis of suction from SWCC
curve, (Gofar et al. 2009) as well as field data,
(ElFadil and Gofar, 2008) shows that the soil has
GML MHS high moisture retention capability. The response of
the soil to rainfall infiltration was faster than could
be predicted by the SWCC curve. Both the crumb
Figure 6. Suction redistributions monitored after the and double hydrometer tests showed that the soil
infiltration of 24-hour rainfall from Site-1 is the most dispersive. The double
hydrometer test shows that prolonged rainfall
5. Slope Stability Analysis significantly increases the degree of dispersivity.
The soil column model functioned properly to
Slope stability analyses were performed for both quantify the rainfall intensity, surface runoff rate,
sites for two conditions, i.e. normal and after the pore-water pressure, and percolated flow rate. The
prolonged heavy rainfall. It should be noted that the depth of wetting front of soil is positively correlated
cumulative rainfall during the 4 days before failure with the soil particle size at an equilibrium time. The
occurred at Site-1 was 489.4mm, while the redistribution rate in coarse-grained soil is higher
maximum rainfall the day before the failure took than fine-grained soil.
place was 190.8mm. Infinite slope procedure was
used to determine the factor of safety (FOS).The 7. References
results of the slope stability analysis performed for
suction predicted based on water content and Cai, F. and Ugai, K. (2004) Numerical Analysis of
SWCC curve are presented in Table 3. Rainfall Effects on Slope Stability. International
Site-2 remained safe after rainfall, even though Journal of Geotechnic, ASCE, June, 69-78.
there is a decrease in the factor of safety with Fredlund D. G., and Rahardjo H. (1997). Soil
depth. On the other hand, Site-1 became unstable Mechanics for Unsaturated Soil.
at depth 1.8m (FOS < 1) due to an increase in Gasmo, J., K.J. Hritzuk, H. Rahardjo, and E.C.
water content, which is beyond the volumetric water Leong.(1999). Instrumentation of an unsaturated
content at saturation. soil slope. Geotech. Test. J. 22(2):128–137.
Li, A.G., Yue, Z.Q., Tham, L.G., Lee, C.F. and Law,
Table 3. The variation of FOS with depth K.T. (2005). “Field-monitored variations of soil
Depth
m
FOS
(Site 1)
FOS
(Site 2)
moisture and matric suction in a saprolite slope.”
Normal December Normal December
Canadian Geotechnical Journal, 42(1), 13 – 26.
1.0 5.45 1.14 4.79 4.08
1.2 4.21 1.08 4.29 3.58 Mitchell, J.K., (1993). Fundamentals of Soil
1.4
1.6
3.33
2.66
1.04
1.01
3.94
3.68
3.21
2.97
Behaviour. John Wiley & Sons Inc., New York. 4
1.8 2.15 0.99 3.49 2.86 Ng, C.W.W., Zhan, L.T., Bao, C.G., Fredlund, D.G.
2.0 1.83 0.97 3.34 2.78
and Gong, B.W. (2003). “Performance of an
unsaturated expansive soil slope subjected to
The results obtained from the chemical tests artificial rainfall infiltration.” Geotechnique.
showed good agreement with the physical tests; Wang. Xiaodong and C.H. Benson (2004). Leak-
mineral constituents of soils were found almost Free Pressure Plate Extractor For Measuring the
identical to each other. Soil Water Characteristic Curve. Geotechnical
The results of the crumb test indicate that soil Testing Journal. 27(2).
from Site- 2 is not dispersive (G1). Soils from other Yang, H., Rahardjo, H., Wibawa, B. and Leong,
sites show moderate reaction to water after five and E.C. (2004) A Soil Column Apparatus for
ten minutes (G3) but soil from site-1 is the most Laboratory Infiltration Study. Geotechnical Testing
dispersive. These findings are consistent with the Journal, ASTM. 27(4): 1-9.
results of double hydrometer test.
APPLICATIONS OF RELIABILITY-BASED CALIBRATION OF

PARTIAL FACTORS FOR DESIGN OF RAILWAY EMBANKMENTS
APPLICATIONS D'UN ÉTALONNAGE PROBABILISTE DES COEFFICIENTS
PARTIELS AU DIMENSIONNEMENT DE REMBLAIS FERROVIAIRES
1 1 1
Michael R. LODAHL , Kristian T. BRØDBÆK , Carsten S. SØRENSEN
1
COWI, Aalborg, Denmark
ABSTRACT – Upgrading railway embankments in Denmark is connected with high costs, using the partial
factors for geotechnical design calibrated for general application. Reliability-based calibration of the partial
factors to a reasonable safety level, taking into account the specific design situations and uncertainties
relevant for railway embankments, is one way to reduce the costs. At "Nordvestbanen" in Northwestern Zea-
land, a reliability-based calibration of the partial factor has been performed, resulting in an optimal partial
factor for the considered subsoil, cf. (Lodahl et. al. 2012).
In the present paper, two design cases where the updated partial factor was applied are examined. The
evaluation of the actual design cases focuses especially on the validity of the chosen slip surface in the
calibration. Examples of acceptable and unacceptable slip surfaces are presented and discussed.
1. Introduction 2012) are presented. Moreover, two cases where

the updated partial factor was applied are analyzed
In Denmark, many existing railways are to be and the validity of selected assumptions in (Lodahl
upgraded which leads to significant investments. et. al, 2012) is discussed.
Many railways are upgraded to higher train
velocities and more tracks, why demands arise
concerning the structural safety. If a railway em- 2. Probabilistic design at a railway embankment
bankment is upgraded with an extra track, the
whole embankment must fulfill consequence class In probabilistic design, a limit state equation has to
CC3 in Eurocode 7, according to the Danish be formulated. This equation can generally be for-
railway codes. These requirements are expensive mulated as the load bearing capacity R minus the
and substantial savings can be achieved by making load L , each modeled as dependent on a number
embankments just safe enough, but not too safe. of stochastic variables:
Rather than defining a set of partial factors to be
used in the design process, a required level of g ( X) R ( X R ) L ( X L ) (1)
safety could be defined. This will make the design
process more complex, but also more flexible, where X R and X L contain the uncertain para-
allowing the designer to choose a set of partial meters applied to model R and L , respectively:
factors that will ensure the required safety level for X (X R , X L ) . When realizations of the limit state
the structure. This could be accomplished by using
equation are positive, g (X) ! 0 , the structure is
probabilistic design of the embankment, cf. (Ching
'safe', whereas a negative limit state equation
2011). Here, all parameters are modeled by
means failure. The probability of failure, Pf , is cal-
stochastic variables with a distribution function, and
relevant distribution parameters, cf. (Koudelka culated as the probability of the limit state equation
2011). being negative, and is linked to the reliability index,
The concept of probabilistic design is applied to E , by:
a railway embankment in Northwestern Zealand,
called "Nordvestbanen". The embankment is nearly
100 years old and situated on top of 6 to 10 meters
E ) 1 ( Pf ) Pf ³f x ( x) dx
g ( x ) !0
(2)
of soft soils. Using typical soil properties obtained

from in situ tests, the partial factor concerning loss where Pf P g X d 0 . The integral in Eq. (2) may
of total stability was determined. It was found that be solved by FORM or simulation.
the current general requirements in the Danish
The factor of safety, FS, for an embankment is
National annex for Eurocode 7 are too conservative
defined using Eq. (3). FS is determined for 2D
at the given site, cf. (Lodahl et. al. 2012).
calculations using characteristic values of the load
This paper briefly presents the probabilistic
and resistance parameters combined with the
design method for the railway embankment.
given set of partial factors.
Methods for carrying out the design are described
in brief and the main findings of (Lodahl et. al.
M stab z opt respectively. They are chosen based on a literature

FS ; FS t 1 (3) study, cf. (Rackwitz et al., 2006), and on Danish
M driv
geotechnical experts assessing borehole profiles
and vane shear tests from the site. The values
The moments M stab (kNm/m) and M driv used in the analysis were 3 meters and 1 meter,
(kNm/m) are calculated as the stabilizing and the respectively.
driving moments around the point of rotation, re- The stochastic field modeling the undrained
spectively. The center of rotation is selected so that shear strength is discretized using the midpoint
the factor of safety FS is minimized. An method. The mesh size of the discritized field was
optimization procedure is performed to determine approximately 0.5 meters.
the location of the rotation center in order to find
the lowest FS. 2.2 Load model
The driving and the stabilizing moments are The train load on the embankment was modeled by
calculated using circular slip surfaces. The design an extreme load on the primary track and a
parameter, zopt , is the moment necessary in order simultaneous load on the secondary track. The
to obtain equilibrium in the deterministic design distribution function for the extreme maximal load
situation. The limit state equation for the railway was modeled by:
embankment is thus defined as:
Fp exp((1 FX ( x)) N ) (7)
M stab z
g ( x) 1 (4)
M driv where FX is the distribution function for the indivi-
dual annual maximum load from a single freight
where z is an outcome of the stochastic variable train, and N the number of freight trains per year.
modeling the uncertainty related to the stabilizing The analyses carried out by (Lodahl et. al.,
moment, zopt , from the stabilizing berms. All para- 2012) indicated that the partial factor could be re-
meters in Eq. (4) are realizations of the individual duced significantly from the present factor of
stochastic variables. J cu 1.8K FI to J cu 1.5K FI . With J cu 1.5K FI , suf-
ficient safety is achieved to satisfy the target reliabi-
2.1 Soil model lity index E t 5.2 , which is suggested in the Danish
The undrained shear strength in the soft layer design codes for bridges.
under the embankment is modeled by a stochastic
field, taking into account the dependency of
overburden stress and mutual correlation between 3. Examples
strengths in different positions. The mean value
and standard deviation of the undrained shear 3.1 Case 1: "Nordvestbanen"
strength of a given point is modeled by: At "Nordvestbanen" in northwestern Zealand, Den-
mark, cf. Figure 1, an existing railway was upgrad-
Pcu 0.4 H tot J ' V cu Vcu Pcu (5) ed from one to two tracks, for which reason the ex-
isting embankments were expanded with an extra
track. Simultaneously, the maximum allowable train
where H tot (m) is the total height of the soil above velocity was raised to 160 km/h, causing larger
the calculation point , J ' (kN/m3) is the effective unit loads on the embankment.
weight of the soil and J ' is the coefficient of varia-
tion for the soil. If there are several layers above N
the calculation point, the multiplication is carried out
for each layer separately, thus accounting for the
increase of strength under the embankment due to
consolidation.
The strength is, however, random of nature and
therefore local variations occur, cf. (Nishimura et.
al., 2011) and (Wang et al., 2011). This is likewise
considered in the analysis. The correlation of the
shear strength is modeled by the following correla-
tion function, cf. (Rackwitz et al., 2006):
§ xi x j yi y j ·
Uij exp¨ ¸ (6)
¨ dx dy ¸
© ¹
Figure 1. Map of Denmark illustrating the two
where dx (m) and dy (m) describe the correlation cases. The circle indicates the embankment at
lengths in the horizontal and vertical directions, "Ring", whereas the square indicates the embank-
ment at "Nordvestbanen".
Figure 2. Comparison of slip surfaces for the embankment at "Nordvestbanen". The light area (1) is
failure mechanism from Plaxis 2D while the thick black line (2) is slip surface from SLOPE/w.
The embankment is situated on very soft, Holo- in cohesive materials, this factor is directly compar-
cene organic soils, mostly calcareous gyttja and able with the partial factor. The calculated M c' -re-
porous limestone. On the side of the new track, the duction factor from Plaxis 2D was found to be
soft soils below the embankment were replaced M sf 1.626 , and the failure mechanism bears
with sand, in order to minimize settlements of the close resemblance to the circular slip surfaces from
new embankment. On the existing side of the em- SLOPE/w, cf. Figure 2.
bankment, the stability is ensured by stabilizing
berms. 3.2 Case 2: Embankment at "Ring"
The embankments at "Nordvestbanen" were A second case was investigated, namely an
designed using the commercial software package embankment at "Ring" on Zealand, Denmark, cf.
SLOPE/w from Geostudio to determine the neces- Figure 1. At this location, an existing embankment
sary size of the stabilizing berms on the existing was stabilized with berms due to large settlements.
side. The embankment is approximately 8 meters The embankment is 8 meters high and situated on
high, and consists of clay layers interchanged with top of very soft soils, like gyttja and peat. It is not
sand layers. A stabilizing berm with a width of 9 economical to remove the soft deposits, why stabili-
zing berms on both sides of the railway embank-
meters and a height of 2.5 meters was found to
ment was proposed.
ensure satisfactory safety against stability failure.
The train traffic on top of the embankment is not
The analyses carried out to design this embank-
to be increased, so the embankment was designed
ment were based on circular slip surfaces, and the
in consequence class CC2, cf. EN1997-1-1, which
design was based on the updated partial safety
is allowed for existing structures according to the
factor determined by (Lodahl et. al. 2012). The
Danish railway codes. The partial safety factor of
design was carried out in high consequence class,
J cu 1.5K FI 1.5 was therefore applied to the
CC3, cf. EN1997-1-1, for which reason the applied
cohesive materials for this project, cf. section 2.1.
partial factor was J cu 1.5K FI 1.65 , cf. section 2.1
The embankment was designed in SLOPE/w by
To verify the validity of the applied slip surfaces,
use of circular slip surfaces for the short-term case.
an embankment at the site was analyzed with the
After the design in SLOPE/w, the embankment was
finite element tool Plaxis 2D, where 15-noded plane
analyzed with Plaxis 2D for the short-term case.
strain elements in an unstructured mesh were
The procedure was similar to what is described in
used, and all soil layers were modeled using the
section 3, and the calculated safety based on the
Mohr-Columb material model, using characteristic
M c' -reduction was M sf 1.405 , which corre-
strengths parameters. The initial stress field was
sponds to an approximately 6.8 per cent difference
set up using a K0-procedure, after which the
between SLOPE/w and the Plaxis 2D model.
embankment was built in intervals. Next, the
The identified failure mechanism from the Plaxis
groundwater level was raised according to the
2D model consisted of circular and linear parts, and
findings of field measurements, and the stabilizing
was not directly comparable with the slip surfaces
berms were modeled. Finally, the train load on top
from SLOPE/w, cf. Figure 3. As seen in Figure 3,
of the embankment was activated, and a M c' -
the failure mechanism from Plaxis 2D was in fact
reduction was carried out.
kept down by the stabilizing berm, which 'forced'
During this analysis, the strength parameters,
the slip surface to exit further away from the em-
angle of internal friction, M , and cohesion, c' , were
bankment than proposed by the circular slip
reduced until failure occurred in the embankment,
surface from SLOPE/w.
leaving the factor describing the extra capacity or
safety against failure, M sf . For the undrained case
Figure 3. Comparison of slip surfaces for embankment at "Ring". The light area (1) is failure mechanism
from Plaxis 2D while the thick black line (2) is slip surface from SLOPE/w.
Based on the calculated difference between can be considered a highly applicable and useful
SLOPE/w and Plaxis 2D, a bias was added in the tool, which can lead to significant savings without
determination of the stabilizing moments used in compromising the overall safety level of the em-
Eq. 3 in the probabilistic analyses. This bias bankments.
accounts for systematic overestimation due to the
application of circular slip surfaces, and was in the
analyses suggested to be 10 per cent. Using the 5. References
bias, the probabilistic analyses were reevaluated,
yielding a lower, but still acceptable level of safety Ayyub, B.M. and R.H. McCuen (2002). Probability,
in consequence class CC2, cf. Eurocode 7. Statistics and Reliability for Engineers and
Scientists. Chapman & Hall/CRC
Ching, J.K, Phoon and Y. Hu (2011). Challenges in
4. Conclusion limit equilibrium based slope reliability problems.
th
Proceedings of the 11 International Conferen-
In the present paper, the framework for carrying out ce on Applications of Statistics and Probability
a probabilistic analysis for updating partial safety in Civil Engineering , pp. 1709-1715
factors was presented. Two real-life cases were Koudelka, P. (2011) Shear strength variability of
reviewed, both applying the updated partial safety sandy and fine-grained soils. Civil engineering
factor. The slip surfaces used in the embankment pp. 2927-2930.
design (from SLOPE/w) were compared with the Lodahl, M.R., Brødbæk K.T., Sørensen C.S.
failure mechanism found in Plaxis 2D. It was found Sørensen, J.D. (2012). Reliability-based calibra-
that the circular slip surfaces from SLOPE/w is tion of partial factors for design of railway em-
highly comparable with the failure mechanisms bankments. Proceedings of the 16th Nordic
identified in Plaxis 2D, and thus the circular slip Geotechnical Meeting, vol. 1, pp. 381-388.
surfaces used when calibrating the partial safety Nishimura, S.Y. Takayama, K. Fujisawa, M. Suzuki
factor. and A. Murakami (2011). Spatial distributions of
In the case from "Nordvestbanen", it seems that strength of an embankment based on synthesis
SLOPE/w and Plaxis 2D correspond very well, of sounding tests and surface wave method.
th
meaning that the circular slip surfaces can be Proceedings of the 11 International Conferen-
utilized in the probabilistic analyses. In the case ce on Applications of Statistics and Probability
from the embankment at "Ring", in certain cases, in Civil Engineering, pp. 1716-1724.
rather large differences between SLOPE/w and Wang Y, Cao Z.J. and Au S.K. (2011). Effect of
Plaxis 2D were found, for which reason a bias was spatial variability on reliability evaluation of an
introduced in the probabilistic analyses to account earth slope. Proceedings of the 11th
for any systematic overestimation of capacity. International Conference on Applications of
Based on the findings of the present paper, it Statistics and Probability in Civil Engineering,
seems that the application of circular slip surfaces pp. 1666-1672.
will yield reasonable results when compared with a
finite element solution to the same problem. Thus,
it can be concluded that the application of circular
slip surfaces in the work by (Lodahl et. al.) will not
cause significant loss of accuracy, especially when
a bias is introduced in the calculations. To sum up,
reliability-based design of railway embankments
STUDY OF NEWMARK SLIDING BLOCK METHOD FOR RIGID

SLIDING MASS DURING ASYMMETRIC DYNAMIC LOADING
ÉTUDE DE LA MÉTHODE DE NEWMARK POUR UNE MASSE RIGIDE
GLISSANTE SOUS CHARGE DYNAMIQUE ASSYMÉTRIQUE
1
Chih-Chieh LU
1
Geotechnical Engineering Department, Sinotech Engineering Consultants, Ltd., Taipei, ROC
ABSTRACT - Newmark sliding block method is a popular engineering method to evaluate permanent
displacement of rock slope during seismic loading. In practice, a fixed threshold of horizontal seismic
coefficient defined by the critical surface subject to factor of safety equal to 1.0 is used to examine the
horizontal component of earthquake. The magnitude of displacement is obtained by integrating twice the
difference of the applied acceleration and the critical acceleration with respect to time. However, this
procedure does not rationally consider the variation of strength of rock mass during seismic loading and
effect of vertical component of earthquake. The direction and quantity of displacement based on this
approach is unclear. This study proposed modifications to improve the traditional Newmark sliding block
method for consideration of the earthquake in horizontal and vertical directions and the variation of strength
of Mohr-Coulomb material during earthquake. The proposed framework, compiled in the EXCEL program, is
illustrated with an ideal model of sliding block. The yielding results are compared and discussed in this
article. The modified analysis procedure is then applied to a real case of dip slope around reservoir in south
of Taiwan for safety of reservoir. Satisfactory results are obtained in the demonstration example analyzed
with the proposed framework. The effect of vertical earthquake is also discussed by this case.
1. Introduction below should be further discussed and improved:(1)

The variation of strength of Mohr-Coulomb material
Limit equilibrium method (LEM) is a conventional during seismic loading;(2) The effect of vertical
approach to evaluate safety of slope subjected to component of earthquake;(3) The direction and
gravity using factor of safety (FOS) defined as a quantity of displacement based on this approach.
ratio of available shear resistance (capacity) to that To above points, this study first reviewed
required for equilibrium. The result of the Newmark sliding block method and proposed some
deterministic assessment is binary: the slope is modifications. The proposed framework, compiled
rated as stable if FOSʁ0, or unstable if FOS<0. in the EXCEL program, is illustrated by an ideal
With the application of seismic coefficient proposed model. The yielding results are discussed in detail
by Terzaghi (1950), the performance of slope in this article. The modified analysis procedure is
subject to earthquake could also express in terms then applied to a real case of dip slope around
of FOS. However, not only does the over-simplified reservoir in south of Taiwan. The effect of vertical
procedure make the analysis results unreasonable earthquake is also discussed in this case. The
and unclear, but also using FOS to explain seismic gaining sliding displacement is also used to
stability is always misleading (Seed et al, 1973). evaluate the potential impulse wave height based
Besides, lots experts recommend their proposed on the formula suggested by ICOLD for the safety
criteria for the selection of seismic coefficient, the of reservoir.
choice of coefficients comes subjective and lacks a
clear rationale. In order to pursue an analysis result 2. Review of Newmark sliding block method
with a physical meaning, Newmark (1965) first
attempted to quantify the amount of displacement The concept of double integrating acceleration to
due to earthquake. Newmark made the analogy calculate displacement by Newmark(1965) can
that a slope is like a block sliding on an inclined express in Fig. 1. In Fig. 1(a), the external
plane. The magnitude of displacement is obtained acceleration is deemed driving force, and the
by integrating twice the difference of the applied threshold of horizontal seismic coefficient is
acceleration and the critical acceleration with deemed resistance of interface. The motion of
respect to time. In practice, only horizontal block relative to slope would trigger while the driving
earthquake is just considered, and a fixed threshold force is larger than the resistance. The velocity and
of horizontal seismic coefficient defined by the displacement histories (shown in Fig. 1(b) ~ Fig.
critical surface subject to factor of safety equal to 1(c)) could then be calculated by way of integration
1.0 is used to examine the horizontal component of based on the unbalance between driving force and
earthquake. Although the procedure could resistance until the block becomes static again
reasonably compute the displacement, the issues (velocity=0).
In general, the “horizontal” component of 2.1. Driving force

earthquake is directly used as the input acceleration
and a fixed threshold of acceleration in “horizontal” The equation of driving force (D) applying on the
direction is defined, as shown in Fig. 1(a), while slope block can be written as:
conducting Newmark sliding block method. This
makes the yielding directions and quantities of D W (1 a y ) sin(β ) Wa x cos(β ) (1)
velocity and displacement not conform to real
situation (the real motion of block is along slope Where W is self-weight of block, ȡ is slope
surface) according to Fig. 1(a). Furthermore, to
angle, ay is the vertical acceleration acting on the
Mohr-Coulomb material, the strength will not be the
block, and ax is the horizontal acceleration acting on
same during seismic loading because of the
the block.
variation of normal stress. A fixed threshold of
acceleration, shown in Fig. 1(a), is hence not
2.2. Resistance
reasonable. Besides, the motion of upward slope is
usually ignored since the effect of gravity. However,
The equation of maximum resistance (R) applying
to a low inclination of slope (say, 15 degrees), the
on the slope block can be written as:
block might also climb up during seismic motion.
cL W (1 ay ) cos(β ) Wa x sin(β ) tan(φ)
Considering upward potential of block is suggested.
R (2)
In order to appropriately consider the seismic
behavior of slope block, the operations of driving
force and resistance are introduced below. Please Where c is cohesion of interface, ȴ is friction
refer to Fig. 2 for the ideal model. angle of interface, and L is contact length between
block and slope. Note that the direction of
resistance is not defined in eq. (2).
2.3. Relative motion of slope block
The relative motion of block follows Newton’s

second law of motion. When the block is static at
former stage, the relative acceleration of block is
calculated by following equation.
F max(0, D R u Vdriving force ) ma (3)
Where Vdriving force is vector of driving force, m

is mass of block, and a is acceleration along the
surface of slope.
If the block is in motion at former stage, the
relative acceleration of block can be computed as
follows.
F D R u Vmotion ma (4)
Where Vmotion is vector of the block’s motion.

After gaining the relative acceleration (a) to
slope, the relative velocity (v) and displacement (d)
Figure 1. Double integrating acceleration to
could be obtained by way of integration:
calculate displacement
v v 0 at (5)
d d 0 vt (6)
Where vo and do are relative velocity and

displacement at last stage, respectively, and t is
time.
Figure 2. Profile of the ideal model

3. Behavior of slope block under dynamic and displacement to be underestimated. The block
loading becomes static after 2.14sec and the permanent
displacement relative to slope is 11.5cm. It can be
3.1. Basic information of the ideal model seen that the stable time is earlier and the
permanent displacement is quite smaller than the
The research used the proposed Newmark sliding one following the proposed procedure. The
block method to analysis the seismic behavior of consideration of the variation of normal force is
slope block, shown in Fig. 2, using the coded necessary based on the above comparison.
program Excel. The slope angle, block weight and
contact length of block are 25°, 12t and 3m per
meter, respectively. Friction angle and cohesion of
interface are 33° and 0. In order to make the results
easy to interpret, only the horizontal acceleration
with PGA=0.4g, shown as Fig. 3, was just adopted.
Note the acceleration is acting on block, which the
direction is right opposite to the base motion.

$FFHOHUDWLRQJ

7LPHVHF
Figure 3. The acceleration acting on block

Figure 4. Analyses results of slope block
3.2. Discussion of analyses results
The analyzed results of the driving force, resistance, 4. Case study
and unbalance force of slope block by the proposed
procedure are shown in Fig. 4(a). Based on the 4.1. Basic information
unbalance force, the corresponding relative
acceleration, velocity, and displacement can be A real case of a dip slope around a reservoir
computed as shown in Fig. 4(b)~Fig. 4(d), located on the south part of Taiwan is used to
respectively. demonstrate the proposed approach. The profile of
The results of case 1 are based on the analysis the slope is shown in Fig. 5. Referring to detailed
that considered the variation of normal force. planning report of the site, the bedding of the rock
3
During the period from 0 to 0.1sec, since the driving is N40ƱE/30ƱS, and the unit weight is 24kN/m . The
force does not change and is not larger than the bedding strength parameters of friction angle and
2
limit of resistance, the forces are balance and the cohesion are 15 Ʊ and 100kN/m , respectively.
block remains static. Meanwhile, the quantity of Based on the characteristic of this site, the block is
resistance is proportional to driving force and the divided into zone A and B. To zone A, the sliding
3
directions of both are opposite. While the dynamic length is 449.3m/m, the volume is 6869m /m, and
loading is applied and breaks the balance condition, the dip is 30 Ʊ . To zone B, the sliding length is
3
the slope block begins to move and the 37.7m/m, the volume is 666m /m, and the dip is 0Ʊ.
performance is affected by the interaction of driving While conducting analyses, the driving forces and
force and resistance. Since the block is located on resistances of the two zones were calculated
relative steep slope, the sliding potential of the separately and then summed up for the evaluation
slope block is downward during whole analysis due of sliding behavior.
to gravity. After 1.55sec, the block slides downward
with an acceleration motion until 1.88sec. The
resistance is then larger than driving force, and the
block decelerates until relative velocity becomes
zero (t=2.31sec). The permanent displacement at
this moment is 25.8cm.
The analysis with a fixed maximum resistance
was also adopted in case 2. From the results, the
driving force is larger than the resistance during the
period from 1.55 to 1.85sec, but the unbalance
force between two is smaller than the case with
considering the variation of normal force, which
causes the integration results of relative velocity
Figure 5. The numerical model of the site
4.2. Input motion 5. Conclusion and suggestion
The real record by the station near the site was 1. This paper reviewed the Newmark sliding block
used in this study. In light of the procedure method in detail. The operations of driving force
mentioned above, the loadings acting on the slope and resistance are described and explained by
block are shown in Fig. 6. Besides, based on the the equations. The yielding results of tested
safety report of the site, the design earthquake is examples were described with graphical display.
0.35g in horizontal direction and 0.23g in vertical Also, from the results, the normal force should be
direction. To this, the analysis multiplied the input carefully considered.
motion by the absolute PGA ratio of the design 2. The procedure to conduct the proposed
earthquake to real record. In order to clarify the Newmark sliding block method was
effect of vertical earthquake, the slope block demonstrated by a real case. The yielding results
subject to horizontal component of earthquake only could be further used to evaluate impulse wave
or both components of earthquake were conducted height for the safety of reservoir.
for comparison. 3. Based on the case study, the effect of vertical
earthquake is about 10% of the results.
4. FEM or FDM could also be conducted in the
future for comparison.
5. The coded program by EXCEL could easily and
quickly repeat LEM analysis, which is beneficial
to conduct seismic hazard analysis.
Figure 6. The acceleration acting on the block
4.3. Results
Fig. 7 shows all analyses results of the

demonstrated example. Because of the gravity and
the dip of bedding, the motion of block is always in
the direction of fall during whole analysis. As the
earthquake time passes 20sec, the ground motion
enters main shock and the downward displacement
quickly accumulates especially at timing of PGA Figure 7. Analysis results of the site
(t=25.2sec). After that, the sliding of block comes
stable, and the relative velocity slows down until 6. Reference
stop. The permanent displacement based on the
case considering both components of earthquake is Franklin, A.G. and Chang, F.K., 1977, “Permanent
21.2cm, meanwhile, the yield permanent displacements of earth embankments by
displacement is 19.4cm for the case that just Newmark sliding block analysis,” Report 5,
considers horizontal earthquake only. The Miscellaneous Paper S-71-17, U.S. Army Corps
difference between two is about 1.8cm, which is of Engineers Waterways Experiment Station,
about 10% of the results. Therefore, vertical Vicksburg, Mississippi.
earthquake is better taken into account since the Newmark, N.M., 1965, “Effect of earthquake on
analysis results might not tilt toward conservatism. dams and embankments,” Geotechnique, Vol.
From the analyses results, the mass dumping 15, pp. 139~159.
3
into reservoir after earthquake is about 3m /m. With Rathje, E.M. and Bray, J.D., 2000, “Nonlinear
the slide width of 300m, the distance of 320m from coupled seismic sliding analysis of earth
the sliding area to main dam, and the propagation structures,” Journal of Geotechnical and
direction of 90Ʊ, the potential impulse wave height is Geoenvironmental Engineering, Vol. 126, No. 11,
about 10cm based on the formula suggested by pp. 1102~1014.
ICOLD. Since the height is about 7.5m from high Seed, H.B., Lee, K.L., Idriss, I.M., and Makdisi, F.I.,
water level to the top of the dam, the safety of the 1973, “Analysis of the slides in the Sam
dam could be guaranteed. Fernando dams during the earthquake of Feb. 9,
1971,” Report No. EERC 73-2, Earthquake
Engineering Research Center, University of
California, Berkeley.
Seed, H.B. and Martin, G.R., 1966, “The seismic

coefficient in earth dam design,” Journal of the
Soil Mechanics and Foundations Division, ASCE,
Vol. 97, No. 5, pp. 1199~1218.
Terzaghi, K., 1950, “Mechanisms of landslides,”
The Geological Survey of America, Engineering
Geology (Berkley) Volume.
Yegian, M.K., Marciano, E.A., and Ghahraman,
V.G., 1991, “Earthquake-induced permanent
deformations: probabilistic approach,” Journal of
Geotechnical Engineering, ASCE, Vol. 117, No.
1, pp. 1158~1167.
32 Proceedings of the 5th International Young Geotechnical Engineers’ Conference – 5th iYGEC 2013
KINEMATIC ANALYSIS OF A ROCK SLOPE USING TERRESTRIAL

3D LASER SCANNING DATA
ANALYSE CINEMATIQUE D'UN PENTE ROCHEUSE À L'AIDE DE DONNÉES
ISSUES D'UN BALAYAGE LASER TERRESTRE 3D
1
Miloš MARJANOVIĆ
1
Faculty of Mining and Geology, University of Belgrade, Serbia (milos.marjanovic@rgf.bg.ac.rs)
ABSTRACT - Using terrestrial laser scanning technology for building point clouds with millions of points can
be used to model an actual slope and allow high-resolution computer-based analysis of rock slopes, as a
supplement or a substitute for conventional field data acquisition. In this research such methodology has
been implemented on a pilot site in the City of Belgrade, Serbia. To provide a control reference, the site has
been previously studied and analyzed with conventional reconnaissance methods. On the rock slope face,
made of limestone, several families of ruptures have been mapped directly from the 3 cm resolution point
cloud. Families of planar structures have been extracted and forwarded to the preliminary kinematic analysis
for three displacements types: plane and wedge slide and toppling. As expected, the analysis corresponded
well with the referent investigation of the pilot site, indicating that the most dominant failure type is a planar
block slide. It has been shown that proposed technology gives reliable and concurrent results.
1. Introduction scanning is limited to optimal, low-vegetation

seasons and cleared slope faces.
Recent development in terrestrial laser scanning
technology has stimulated advancements in rock
slope engineering. Building point clouds with
millions of points can be used to model an actual
slope and allow a high-resolution computer-based
analysis and models, as a supplement/substitute
for conventional field data acquisition (Tonon and
Kottenstette, 2006; Kemeny and Turner, 2008).
There are a number of benefits in using point
clouds as discrete models of the rock slopes.
Firstly, they enable more objective and more
accurate measurements and mapping, especially Figure 1. Pilot rock slope site in Topčider, Belgrade
for the inaccessible parts (high or steep rock (RGB image of the laser scan).
faces). High-precision cross-sections and contour
lines, which are for instance required in stability There is already a host of researchers and case
analysis, can be obtained relatively easily. They are studies which have been using the 3D terrestrial
also found irreplaceable in visualization of slopes laser scanning in the context that will be followed
and objects on them. Once scanned, the models herein (Lato and Vöge 2012; Lato et al., 2012;
are safely stored in the digital format and are Sturzenegger and Stead, 2009). As inspired by
available for reuse at any time with no additional their example, this research is targeted at
expenses, unlike the field investigation revisits. characterizing a particular rock slope in Topčider
They provide a very good base for the monitoring area in Belgrade (Serbia), i.e. performing the
of the particular slope sites, where each change kinematic analysis of the slope using its point cloud
can be accurately determined and interpreted or model and controlling the results by the
perhaps predicted. conventional field investigation measurements. The
On the other hand, the equipment and the site (Figure 1) is composed of the upper-
processing software/hardware are expensive. Field Cretaceous organogenic limestone (shallow, coral-
day lasts long and requires skilled, multidisciplinary like basin development of the basin regression
team of Engineering Geologists and Surveying phase) overlaying the older, lower- Cretaceous
specialists/technicians. The scanning conditions massive limestone (Marković et al., 1985). Both
should be optimal (vegetation, draped mesh or units are compact, with good mechanical
other objects can screen the laser signal, resulting characteristics (older limestone has slightly better
in undesired reflections and shadows). Sometimes, mechanical properties), not particularly tectonized
there is a considerable manual labor involved in or weathered. The slope is 20 m high, steep and
removing of those screens or alternatively, faceted. It surrounds an outdoor amphitheater
(Summer Theatre Stage) that has been put to use
seasonally, and represents one of the earliest referred as Markland’s condition/test for planar or
landmarks of the modern Belgrade (Mihajlov, wedge failure (1) and toppling failure (2). Thus,
2007). Since the objective of this study was only to spatial relations of the mapped planar
demonstrate the possibilities of laser scanning, a discontinuities (defined by νd and αd as strike and
complex approach for analyzing faceted slopes dip of the discontinuity/intersection plunge and ϕd
(Gurocak et al., 2008) has been avoided and only as the internal friction angle along the slip surface
the frontal face has been taken into consideration of the discontinuity) and the slope face (defined by
(contoured area in the Figure 1). νs and αs as the average strike and dip of the slope
face) determine whether there is a potential for
failure development. If all of the conditions for any
2. Methodology of the plane, wedge or toppling failures are met, the
slope is declared unstable, and further detailed
The data have been acquired by the Leica slope stability analysis are necessary.
ScanStation 2, a terrestrial long-range laser pulse To perform kinematic analysis first requires one
scanner, with relatively narrow beam (range goes to classify the types of the geological discontinuities
up to 300 m in optimal conditions, but in realistic (bedding, joint/fault, cleavage, foliation etc.), to
operative conditions it is usually 80-120 m, and the group them into the common systems and to
beam is 4 mm thick). In addition, the system has a measure their orientation (strike and dip angles).
built-in high-resolution digital camera. As in any Assuming that the slope can be accurately fitted
other LiDAR (Light Detection and Ranging) system, with the point cloud, and that the quintessential
the data is represented by a point cloud which discontinuity systems are evident on the slope face
contains information on X, Y, Z relative coordinates (relief of the slope face should be defined by those
of each collected point, as well as the intensity planar systems) kinematic analysis can be routinely
(reflectance) of the laser beam and also the conveyed (Jaboyedoff et al., 2007).
recorded R, G, B values (Red, Green, Blue values In this study a combination of different software
of RGB color model) recorded by a camera and at different stages has been implemented. Leica
related to each point. The points have been Cyclon has been used for the preprocessing and
scanned at 3 cm resolution at 50000 points/s. To some measurement, COLTOP 3D for mapping of
avoid the shadows (absence of points) in the the planar systems on the point cloud and
scene, two takings from different positions were DipAnalyst for the kinematic analysis on stereonet.
required. The positioning of the laser has been
configured according to the spatial attitude of the
slope face elements (orientation of the planar
structures). The offset of the relative coordinate
system of the scanner has been measured on spot,
and for the azimuth it equaled approximately 15°
clockwise. In result, a point cloud containing
554635 points (each with seven coordinates: X, Y,
Z, R, G, B, intensity), has been acquired. A raw
point cloud has been preprocessed (co-registered)
and manually cleaned from the bias information,
such as vegetation, draped wire mesh and other
undesired objects, prior to the triangulation. Finally,
a geometrically simplified (meshed) model of the
slope face has been generated and further
analyses have been performed either on that mesh Figure 2. On-screen selection of the JS1, given in
or preprocessed cloud. light tone and generalized by poles with average
117/67° strike/dip (colored stereonet in the incept).
α s > α d > ϕ d ; γ s = γ d ± 20° (1)
α d > ϕ d ; γ s = γ d ± 20°; ∃(⊥ ν d ) (2) 3. Results and discussion
The slope was then analyzed for the preliminary Dominant geological planar features involved only
stability analysis, i.e. kinematic slope analysis. In three conjugated joint systems. Field investigation
brief, it implies graphical stereonet analysis of and the modeled slope mesh have been used for
geometrical conditions (with addition of mechanical easier, on-screen mapping of the planar systems
parameter – internal friction angle along the slip on the point cloud (Figure 2). A convenient color
surfaces) required for different types of slope modeled stereonet (incept of the Figure 2)
failures. In rock slopes, this usually comes down to combines the visual effects of the slope aspect and
the plane, wedge or toppling failures. It is assumed the model surface, thus easing the generalization
that these failures happened once the geometrical of the systems and selection of the representative
conditions are met (Goodman, 1989; Hoek and plains. Joint systems JS1, JS2 and JS3 have been
Bray, 1981; Kliche, 2009). These are usually mapped and their parameters are given in Table I.
The table considers true dip vectors, while the slope foot, clogging the defensive trench. Also,
Figure 2. incept contrarily depicts dip poles. protective draped wire mesh has been locally
broken, supporting the evidence of failures and
Table I. Parameters of the joint systems. their reoccurrence, even though the mesh is
System JS1 JS2 JS3 considerably outdated. Failures are particularly
strike/dip [°] 117/67 245/59 340/54 progressive in the upper part of the slope where
% of samples 35 36 29 organogenic, weaker and more weathered
Fisher’s K 65.2 25.1 21.0 limestone overhangs the massive limestone.
average spacing [m] 0.94 0.41 2.06 Kinematic analysis (Figure 3) entails that JS1 is
color on stereonet yellow magenta blue permitting planar block slides, since JS1 satisfies
all of the Markland’s conditions. It also conjugates
with the JS2, permitting a wedge failure as well, but
To make the processing easier, the number of
not entirely complying with the Markland’s failure
the total points entering the kinematic analysis has
conditions. The JS1-JS2 intersection actually lies
been reduced to 5000, by random sampling. In
off the tolerable ±20° of the slope azimuth, but still
addition, the strike/dip values have been rounded
in the shaded zone (overlap of the friction angle
to whole numbers (1° precision). The samples
and slope dip), so it is rather potential than realistic
(clusters) are well balanced, so that each of the
threat to the slope stability (it can become
joint systems captures one third of the total points
actualized if the slope scaling for instance is used
(Table I). Fisher’s K indicates relatively good
as a mitigation measure and the improper portion
clustering, particularly for JS1 (65.2), while the
of the slope is removed so that the slope
remaining two systems have suffered some
orientation changes unfavorably). The JS3 system
dissipation during the sampling, but still provide a
permits a toppling failure to occur, but relatively
reliable generalization of a plane (Fisher, 1982).
thick spacing between the joints in this system
(more than 2 m) opposes such threat, because
there is a higher possibility that such large blocks
have considerable shares of rock bridges along
discontinuities. Planar block slide of SP1 are on the
other hand very realistic and supported by the field
investigation evidence.
4. Conclusions
The study demonstrates a successful application of

the field measurements based on terrestrial LiDAR
technology and their direct use in the preliminary
analysis of the rockslope stability. The results are
showing that the most severe threat is block slide
emerging along the frontal plane of the slope (JS1),
followed by a possible wedge and toppling failures.
Additional slope stability analysis is required for
more detailed and more elaborated outcomes, and
calculation of the safety factor. It would also require
a more detailed laboratory (e.g. bulk density) and
field testing (e.g. friction angle and cohesion along
Figure 3. Stereonet plot of the kinematic analysis; the slip surfaces, residual strength etc.) of the rock
hatched area represents the critical zone where the units. Such slope stability could also benefit from
failure conditions are met; dashed line represents the LiDAR technology, since it would be provided
the great circle of the slope plane; discontinuity with the very accurate cross-sections and contour
systems are given accordingly. lines, yielding precise volumetric estimations of the
blocks. Only after such robust analyses, the
Given the slope azimuth (νs) of 130°, average mitigation measures (stabilization or protection)
slope angle (αs) of 72° and assuming the internal could be proposed.
friction angle along the slip surfaces (ϕd) to be The technology could further support the
uniform for all systems and equals 35° (common classification of the rock mass based on the
for the fractured limestone and personally advised discontinuity analysis (Brodu and Lague, 2012). In
by several colleagues working earlier on the pilot this way, almost entire engineering-geological
site), the results are transparent and assessment would be rounded with minimal in-situ
straightforward. There is an evident tendency for measurements using low-accuracy instruments
planar block slide witnessed at the site. Coarse (geological compasses, measuring tapes etc.),
debris, with a few larger boulders, is spotted at the mainly for control and comparison.
Another idea implies occasional (seasonal, i.e. Marković B., Veselinović M., Anđelković J.,
at least four times per year) re-scanning of the Stevanović P., Roglić Č., Obradinović Z. (1985).
same slope, under the similar conditions and the Tumač za list Beograd K34-113 (Osnovna
same scanning configuration, in order to monitor Geolo[ka karta 1:100000). Savezni geološki
the changes, estimate volumes and locations of the zavod SFRJ, Belgrade.
possible occurrences of the slope failures Mihajlov S. (2007). Letnja pozornica u Topčideru.
(presumably planar block slides). Nasleđe, vol. 8, pp. 119-127.
Sturzenegger M., Stead D., (2009). Quantifying
discontinuity orientation and persistence on high
5. Acknowledgement mountain rock slopes and large landslides using
terrestrial remote sensing techniques. Nat.
The research has been supported by the project of Hazards Earth Syst. Sci., vol. 9, pp. 267-287.
the Ministry of science and technological Tonon F., Kottenstette J. (2006). Laser and
development of Republic of Serbia: “The photogrammetric methods for rock face
application of GNSS and LiDAR technology in characterization, American Rock Mechanics
monitoring of the infrastructure and terrain stability” Association, Alexandria.
(TR 36009).
6. References
Brodu N., Lague D. (2012). 3D terrestrial LiDAR

data classification of complex natural scenes
using a multi-scale dimensionality criterion:
Applications in geomorphology. ISPRS Journ. of
Photogram. and Rem. Sens., vol. 68, pp. 121-
134.
Fisher N.I. (1982). Robust estimation of the
concentration parameter of Fisher's distribution
on the sphere. Journal of the Royal Statistical
Society (Series C, Applied Statistics), vol. 31/2,
pp. 152-154.
Gurocak Z., Alemdag S., Zaman M.M. (2008). Rock
slope stability and excavatability assessment of
rocks at the Kapikaya dam site, Turkey.
Engineering Geology, vol. 96, pp 17–27.
Goodman R.E. (1989). Introduction to Rock
Mechanics. John Wiley & Sons. New York.
Hoek E., Bray J.W. (1981). Rock Slope
Engineering. The Institute of Mining and
Metallurgy, London
Jaboyedoff M., Metzger R., Oppikofer T. (2007).
New insight techniques to analyze rock-slope
relief using DEM and 3D-imaging cloud points:
COLTOP-3D software. In: Eberhardt E., Stead
D., Morrison T. (Eds.): Rock mechanics:
Meeting Society’s Challenges and Demands,
vol 1, Taylor & Francis, pp. 61-68.
Kemeny J., Turner K. (2008). Ground-based LiDAR
rock slope mapping and assessment. Central
Federal Lands Highway Division, Lakewood.
Kliche C.A. (2009). Rock slope stability. Society for
Mining, Metallurgy, and Exploration, Inc.,
Littleton.
Lato M.J., Diederichs M.S., Hutchinson J.D.,
Harrap R. (2012). Evaluating roadside
rockmasses for rockfall hazards using LiDAR
data: optimizing data collection and processing
protocols. Nat. Hazards, vol. 60, pp. 831-864.
Lato M.J., Vöge M. (2012). Automated mapping of
rock discontinuities in 3D lidar and
photogrammetry models. Int. Journ. of Rock
Mech. & Mining Sci., vol. 54, pp.150-158.
EXPERIENCE WITH DRAINAGE AND GROUND STABILISATION BY

SIPHON DRAINS IN SLOVAKIA
RETOURS D’EXPERIENCE SUR LA STABILSIATION DE GLISSEMENTS DE
TERRAINS PAR DRAINS SIPHONS EN SLOVAQUIE
Ondrej MRVIK
Geotechnik.SK – TP.GEO, Zilina, Slovakia
ABSTRACT - Drainage in the engineering practice is often used for stabilizing of instable areas. According to
consumption of energy, the methods can be divided into two groups. Traditional methods of drainage without
need of energy, i.e. using gravity, are usually limited by its maximal depth of 3-5 m (as gravel drains).
Considerable length of subhorizontal wells can be another disadvantage. On that account, the innovative
method of siphon drains represents a flexible alternative. In the paper, both the method of siphon drains and
it`s last applications in Slovakia are introduced. Conclusions and reflection of the drainage based on field
observations and maintenance are included.
1. Introduction Siphon tubes are inserted into a permanent

water filled reservoir at the base of each well with
The siphon drainage method was invented by a an outlet down stream at an outlet manhole,
French geotechnical company Hydrogeotechnique/ situated down slope. If the water level rises in the
TP.GEO two decades ago. Since this time, the well, the flow in the tube is renewed and abstracts
method has been developed, tested and improved water out of the well. The flow continues until the
continuously. There had been almost two hundred water level in the well falls back to the reference
applications of the drainage, especially in France level, providing that the flow rate in the siphon is
(Mrvik, 2011). The method had been applied also in sufficient to keep the siphon primed. As the water
Great Britain, Italy and Romania (Mrvik and rises towards the top of the tube, the pressure falls
Bomont, 2010). The innovative siphon drainage and may reach vacuum causing creation of
method was first applied in Central Europe in 2008. bubbles. Without any additional measure, the
The drainage was used for stabilisation of slopes of bubbles might cause break of the flow. This is
remediated excavation of a former open-cast brown avoided by using the flushing system that flushes
coal mine in North Bohemia (Czech Republic) bubbles out by turbulent flow and controls and
(Mrvik and Bomont, 2009). regulates the flow so that the siphon stays always
Soon, in 2010, the method was first utilized in primed. The flushing system is arranged of PVC
Slovakia at the "Banisko“ urban area in Dolny pipes and it is placed downstream in the outlet
Kubin. In 2012, another siphon drainage application manhole at the and of each siphon tube.
was put into operation at the R1 road close to Nitra
(Slovakia). The siphon drainage at both of the sites
was designed by Slovak Geotechnical company
Geotechnik Sk under guidance of the French
partner.
In last few years, several alternative projects of
drainage by means of siphon drains were prepared.
Purpose of the siphon drainage was target at
variable stability problems, as protection of built-up
area, line structures or electricity facility. Some of
the projects should be hopefully realised.
Figure 1. Basic principles of siphon drainage.

2. Principles and arrangement of the drainage
The method is suitable for geotechnical
Small diameter (10 – 12 mm) suction siphon tubes –5
environment of permeabilities less than 10 m/s
are placed into vertical wells (Fig.1). Vertical wells and groundwater inflows up to 0.03 l/s (1.5 l/min)
are spaced between 3 – 6 m and are sufficiently per well (Mrvik, 2011).
deep to provide required drawdown. The wells are Main advantages of the system are that it is
drained using the siphon principle based on gravity automatically and continually in service, easily
drawdown up to depths 8 – 12 m beneath surface controlled, of high efficiency and drawdowns up to
(Mrvik, 2011). 12 m, without need of any additional energy.
3. Deformations at the R1 road excavations
During construction of new section of the R1 state

road between Beladice and Tekovske Nemce,
significant deformations of the road excavation
were recognised in km 72,2 – 72,7. Although the
slopes were remediated couple of times by several
conventional methods of drainage, no success was
reached.
As the main reason of instability, ground water
was determinated. Especially deep aquifers,
appearing from the crest of the excavation even
bellow the grade line of the road, had negative
influence to the slope stability (Geofos, 2008). Figure 3. Situation of the site.
Depth of the excavation is approximately 12 meters
all along the section. At the positions of drains, protective manholes of
Surface drainage of the excavation by gravel 2,0 meters depth were constructed (Fig.4). At the
drains was not sufficient for increasing the slopes bottom of drainage trench, PHDE collector of
stability. Furthermore, at the last stages of the siphon tubes and bundle of two perforated flexible
construction and just before opening the new PE tubes were put. The PE tubes were used for
section of the road, it was not allowed to carry out collection of shallow ground water. The trench was
any protective measures from the toe of the backfilled entirely by gravel material and used as
excavation. For this reason, for example surface drain.
subhorizontal wells could not be performed.
Therefore, siphon drains by vertical wells carried
out from the crest of the excavation were used in
this case as optimal solution of deep drainage.
Results of complementary exploration proved
presence of clayey soils of character of stiff clays,
sandy clays and clayey sands, sands and also
gravels with admixture of soft soil (Inset, 2011).
Interpretations of geophysical exploration revealed
presence of non-continuous corse grained aquifers
(Fig.2). One of the results of the complementary
exploration was recommendation of optimal
position of the siphon drainage.
Figure 2. Engineering-geological conditions.
The purpose of the siphon drainage is to drain

both shallow and deeper aquifers up to 11 meters
beneath surface (from the crest of the excavation).
It is supposed to catch ground water flowing
towards the excavation through particular
permeable aquifers and, eventually through joints in
the rock mass.
Drainage by the siphon drains was realised in Figure 4. a) View at the drainage line. b) View
April 2012 by 50 vertical drains (SD1 – SD50) to into typical drainage manhole.
depth of 12 meters. The drainage line was realised
at the crest of the excavation in km 72,25 – 72,45 Drilling works were realised from the terrain
(Fig.3). Total length of the drainage line between level, after complete construction of protective
drains is 196 meters. Distance of particular drains is manholes and gravel backfilling of the drainage
4,0 meters (Geotechnik Sk, 2011c). trench. Depth of wells is 12 meters, taken from the
bottom of protective manholes.
The drainage line is at three points connected to clays and debris. The bedrock is created by heavily
the outlet lines. At each of three outlet lines, one weathered claystones. At the contact with deluvial
outlet manhole is placed. From the outlet manholes, clays the claystones behave as clays with
the drained water is directed to road drainage, admixture of fragments of more stiff claystones.
going along the R1 road. The boundary zone between quaternary clays and
Functionality of the siphon drainage was paleogennous claystones is extremely sensitive to
ensured by several basic requirements. In each mechanical-physical changes of the soil material.
well, permanent water tank was placed. The water Thickness of quaternary deposits is 1,0 – 4,0
tank was constructed by non perforated bottom part meters. The soils are classified as clays of high and
of internal tube screen of the well. Suction ends of intermediate plasticity and gravely clays.
siphon tubes were inserted to the water tanks in The site remediation was designed by drainage
wells. Siphon tubes continue from each well to the by siphon drains. Depression in ground water level
top and then continue through common collectors was supposed to increase shear parameters of
between neighbouring drains (manholes). Siphon present soils. The maximal allowed ground water
tubes are then directed to outlet manholes and level was set by numerical stability analyses.
equipped by special automatical flushing systems Drainage by siphon drains was realised at the
for regulation of water flow inside the siphon tubes. end of 2010. The drainage is created by two
Siphon tubes are polyamid, of internal diameter 10 independent lines of vertical wells placed in instable
mm. Drains were put into order by pumping fresh slopes (Geotechnik Sk, 2011a). At the section
water into all siphon tubes. above garages, 20 drains were constructed (Fig.5).
Original water levels during construction of the The section contains 2 outlet manholes. At the
siphon drainage were encountered in depths from 6 section above blocs of flats, 14 drains and 1 outlet
to 13,5 meters. Some of the wells were without manhole was designed. Depth of vertical wells is 12
water. After start of the drainage system, the water meters from the bottom of protective manholes.
levels were lowered to 7,5 – 10,5 meters bellow
surface (excepting the dry wells). Drains with the
most considerable rate of infiltration were
recognised at area of drainage between drains SD8
– SD31. In the range of such drains, continual (24
hours) water flow was observed at 10 to 14 drains.
Measured values of instant water flow out of the
drains varies between 0,6 – 1,2 liters per minute.
Calculated total permanent water flow out of the
overall drainage system represents approximately
10 – 15 liters per minute. In case of exceptional rain
events, it is expected to attain at total permanent
water flow 20 – 30 liters per minute.
Maintenance of the drainage system covers
periodical controls of the equipment. At the time of
preparation of this paper, the drainage was in order
only for the time of one month. Observations and
conclusions regarding functionality and
effectiveness of the drainage in long time are not
therefore possible for this moment.
4. Slope deformations at the Banisko urban area
Instability of deluvial sediments at this site was

caused by groundwater. Depth of groundwater was
changing in relation to seasonal differences. The
maximal groundwater level was observed in spring
during snow melting. At this time, moving of slurry
soils was enabled. The movements caused
accumulation of the material just behind garages
belonging to urban area in the town Dolny Kubin.
Other movements were observed above nearby
situated block of flats. The soil from the frontal part Figure 5. a) View at the drainage line. b) View
of moving slopes was removed many times. Moving into outlet manhole.
of soil caused another stability problems due to
unloading toe of the slope. The drainage lines were places above rare
The area of interest is predisposed for slope scarps of the landslides. A trench of 2,0 m depth to
deformations. Geology is represented by deluvial place all necessary ducting as well as to protect the
equipment of the siphon drainage technology
against frost action and mechanical destruction was Previous experience with applications of siphon
excavated first. Protective drainage manholes drainage in Slovakia prove that this method comply
made of concrete prefabricates Ø800 mm were with requirements for long-term lowering of ground
placed at the position of each of the drain. The water in areas affected by land stability problems
trench was partially backfilled by gravel 16 – 32 mm
and a perforated plastic duct was placed at the
bottom to be used as a surface drain. The wells 6. References
were drilled at Ø200 mm from the top of the
manholes after backfilling the trench. The drains Mrvík, O. (2011). Drainage by Siphon Drains.
are 12,0 m deep of spacing 4 – 5 m. The wells were Czech Technical Univesity in Prague, Faculty of
equipped as a standard opened piezometers. A Civil Engineering, Department of Geotechnics.
perforated plastic pipe Ø110/114 mm was inserted Doctoral thesis.
into the boreholes and the space between the Mrvík, O., Bomont, S. (2010). Experience with
borehole and the screen was filled with filtrating Treatment of Road Structures Landslides by
gravel of 4 – 8 mm. Air–lift to clean the wells was Innovative Methods of Deep Drainage. Proceedings
applied. of the 3rd International Conference on Debris Flow,
Periodical maintenance of the drainage is Milano, pp. 113–124, ISBN 978-1-84564-442-0,
carried out. The purpose of the maintenance is to ISSN (print) 1746-4471, ISSN (online) 1743-3533.
guarantee long-term functionality of the drainage. WIT Press.
Since commissioning of the drainage, zones Mrvík, O., Bomont, S. (2009). Application of
with different regime of ground water and water Innovative Method of Deep Drainage by Siphon
infiltration into wells were observed (Geotechnik Sk, Drains for Stabilization of Slopes of Former
2011b). The drainage system proved good Opened–Cast Brown Coal Mine "Most – Lezaky”
functionality (18 months at the moment of (Czech Republic). Czech geotechnical magazine,
preparation of this paper). Ground water levels are 2/2009, pp. 20 – 25, ISSN 1211–913X.
kept at the designed levels, i.e. 7,0 – 10,0 meters Geofos (2008). R1, Beladice – Tekovské
beneath surface. No new deformations were Nemce. Engineering-geological exploration.
observed at the site. Geotechnik SK (2012). Dolný Kubín – Banisko
landslide. Documentation of real state.
Geotechnik SK (2012). Dolný Kubín – Banisko
5. Conclusions landslide. Report from control visit no. 2.
Geotechnik SK (2012). R1 road, section
At the paper, innovative method of deep Beladice - Tekovské Nemce, object SO 101 –
drainage by siphon drains was introduced. The landslide treatment in km 2,450 - 2,650.
method represents sofisticated way of deep Documentation of real state.
drainage of soft soils. The drainage systems proves Inset (2011). R1, Beladice – Tekovské Nemce.
long-term functionality, possibility to observe actual Complementary exploration in km 2,600.
efficiency, choice for regular maintenance and
adaptation all through the lifetime.
Different actual projects of applications of siphon
drainage were introduced. The method was applied
at line structures as well as general slope stability
problems.
Use of the siphon drainage can be
advantageous due to arrangement by vertical wells.
Vertically oriented wells can easily intersect all
aquifers in several depths. Length of vertical wells
of siphon drainage is minimal compared to length of
conventional subhorizontal wells. Vertical
arrangement of wells can also solve eventual
problems with construction area limits or other limits
given by private owners or state representatives.
Siphon drainage automatically periodically
decreases dynamical reserves of ground water
level in wells. It is possible to drain even larger
amount of statical reserves of ground water, as
shown at the case of the R1 project. The water can
be drain continually or periodically. Though, more
than quantity of drained water, correct ground water
dips maintained permanently in designed depths
beneath surface, are the key for stability problems
of affected areas.
TOTAL STRESS RAPID DRAWDOWN ANALYSIS OF THE

PILARCITOS DAM FAILURE USING FINITE ELEMENTS
ANALYSE EN CONTRAINTE TOTALE DE LA RUPTURE DU BARRAGE
PILARCITOS PAR VIDANGE RAPIDE
1
Daniel R. VANDENBERGE
1
Virginia Tech, Blacksburg, VA, USA
ABSTRACT – Rapid drawdown is a critical design condition for the upstream or riverside slope of earth
dams and levees. A new total stress rapid drawdown method based on finite element analysis is used to
analyze the rapid drawdown failure that occurred at Pilarcitos Dam in 1969. Effective consolidation stresses
in the slope prior to drawdown are determined using linear elastic finite element analysis. Undrained
strengths from isotropically consolidated undrained (ICU) triaxial compression tests are related directly to the
calculated consolidation stresses and assigned to the elements in the model by interpolation. Strength
reduction finite element analyses are used to evaluate stability of the dam. Back analysis suggests that
undrained strengths from ICU tests must be reduced by 30% for use with this rapid drawdown method.
1. Introduction In the case of RDD, effective consolidation stresses

are determined with the water level high and steady
The upstream slopes of dams and levees must state seepage conditions. Because the void ratio
be designed for stability during rapid drawdown, does not change during an undrained (constant
RDD. Rapid drawdown occurs when the water level volume) process, the consolidation stress
adjacent to the slope drops quickly after a long determines a soil’s undrained strength. As a first
period at the normal reservoir level, or after a order approximation, undrained strengths are often
prolonged flood in the case of levees. considered to be a function solely of the major
The shear stresses in the slope increase during effective consolidation stress, V’1c (Rutledge 1947).
drawdown as the stabilizing effect of the water Current total stress RDD methods, such as
outside the slope is removed. If the soil Duncan et al. (1990), use limit equilibrium analysis
permeability is low relative to the rate of drawdown, and isotropically consolidated undrained (ICU)
excess pore pressures will develop, resulting in an triaxial compression tests to evaluate RDD stability.
undrained condition. While pore pressures will This paper illustrates the use of a method for
decrease due to unloading, the magnitude of this analysis of rapid drawdown stability based on finite
decrease will depend on the tendency of the soil to element analysis. Undrained strengths from ICU
dilate or contract under the increased shear stress. tests are related to effective consolidation stresses
Procedures for rapid drawdown analysis have determined by finite element analyses.
been proposed using both effective stress and total Embankment stability is evaluated using finite
stress frameworks. element strength reduction analysis.
Effective stress approaches to rapid drawdown
analysis attempt to predict pore pressures following 2. Details of the Pilarcitos Dam case study
drawdown. Effective stress analyses have been
performed by limit equilibrium and finite element Pilarcitos Dam was built from compacted sandy
3
approaches. These methods make assumptions clay with a total unit weight of 21.2 kN/m . The
that almost always over-simplify pore pressures 23.8 m high homogenous earth dam has an
induced by changes in shear stress. As a result, upstream slope inclined at 2.5H:1V up to El. 206.7
both well-compacted and poorly-compacted fill are m and inclined at 3H:1V above that point. The
treated as having the same pore pressure long-term water level was 1.8 m below the crest. A
response. cross-section of the dam’s upstream slope is shown
Total stress methods, like the one used in this in Figure 1.
paper, have traditionally been used in geotechnical
engineering for undrained problems because of the Before drawdown - El. 211 m El. 212.8 m
difficulty of correctly predicting pore pressures V
during undrained loading or unloading. The pore
El. 206.7 m 3H:1
pressure response of the soil is implicitly Sandy clay
considered through the use of undrained strengths. :1V J = 21.2 kN/m3
2.5H
The undrained strength, su, of soil is related to El. 189 m I' = 45˚
the effective consolidation stress that was present
prior to application of the design loading condition. Figure 1. Upstream slope of Pilarcitos Dam
In 1969, a rapid drawdown slide occurred after selected Q = 0.42, the values of linear elastic V’1c
the reservoir level was lowered 10.7 m in 43 days. values averaged 6% higher. In general, the largest
Wahler and Associates (1970) investigated the differences in V’1c occurred along the boundaries of
failure and performed ICU triaxial compression the finite element models. These differences in V’1c
tests on samples obtained from the embankment. were considered acceptable in light of the increased
Subsequent studies, including Wong et al. (1983) simplicity provided by linear elastic analysis.
and Duncan et al. (1990), have used the failure at
Pilarcitos Dam to compare and validate various 4. Undrained Strengths
RDD analysis methods.
The next step in the analysis is to relate
3. Consolidation Stress Analysis undrained strength to the consolidation stresses.
Wahler and Associates (1970) performed ten
The first step in a total stress rapid drawdown ICU tests on samples from Pilarcitos Dam. The
analysis is to determine the consolidation stresses principal total and effective stresses at failure for
within the embankment at steady state seepage these tests were determined from total and effective
with the normal or elevated water level. The void Mohr circles at failure presented by Wong et al.
ratio and undrained strength of the fill will be directly (1983). The effective secant friction angle, I’sec,
related to these consolidation stresses. and the pore pressure parameter, Āf, (Skempton
The consolidation stress state for Pilarcitos Dam 1954) were then calculated for each test. A
was determined using a linear elastic, finite element relationship between these parameters and the
2
model created using the software Phase v.8.011. isotropic consolidation stress, V’1c, was desired.
The modulus of elasticity was assumed to be 10.8 A log-linear trend was observed between I’sec
MPa and the Poisson’s ratio, Q, was assigned a and V’1c as shown in Figure 2. This trend can be
value of 0.42. represented using an equation of the form
The embankment was assumed to be suggested by Wong and Duncan (1974)
symmetric about the centerline with a total crest
width of 22 m. The finite element model consisted
of 1631 six-noded triangular elements with a total of § V '1c ·
I 'sec I '0 'I ' log ¨ ¸ (1)
3432 nodes. Nodes along the base of the
embankment were fixed.
© pa ¹
The consolidation stress analysis was
performed in three stages. Gravity loads from the where:
embankment fill were assigned to the elements in I’0 = I’sec at V’1c equal to pa,
the first stage. The boundary load from the water in 'I’ = change in I’sec per log cycle of V’1c/pa, and
the reservoir was applied in the second stage. In pa = atmospheric pressure (101.3 kPa).
the third stage, an array of pore pressures
corresponding to steady state seepage were 50
assigned throughout the embankment and applied
to the elements by interpolation. The model used I'0 = 38.8˚
partially coupled effective stress formulation, 45 'I' = -6.4˚
meaning that the steady state pore pressures
I 'sec (deg)
directly influenced the calculated stresses. This

effective stress formulation was found to reduce the 40
size of tensile zones that develop in the analysis
and resulted in a more realistic stress distribution. 35
A separate finite element analysis was
performed for Pilarcitos Dam using a Duncan-
Chang, non-linear constitutive model to check the 30
accuracy of the linear elastic consolidation stress 10 100 1000
analyses. The dimensionless parameters used by
the finite element software to calculate stress- V'1c (kPa)
dependent values of modulus, unloading modulus,
and bulk modulus were assumed to be 150, 225,
and 100, respectively. The model used a failure Figure 2. Drained strength of compacted clay from
ratio of 0.7 and modulus and bulk modulus Pilarcitos Dam from ICU tests
exponents of 0.45 and 0.2, respectively. The
The variation of the pore pressure response of
embankment was “built” in lifts, and multiple stages
the Pilarcitos samples with confining pressure is
were used to apply the reservoir load.
shown in Figure 3. A parabolic trend line was fit to
Values of V’1c from the nonlinear analyses were
the values of Af, excluding the two filled-in data
compared to those from linear elastic analyses with
points as outliers. For V’1c above 248 kPa, Af was
various values of Q. The average difference in V’1c
assigned a constant value of 1.
between the linear and non-linear analyses ranged
The undrained strength can be determined for
from -6% at Q = 0.3 to 11% for Q = 0.45. At the
any value of V’1c, using the two relationships shown
in Figures 2 and 3. The corresponding relationship 5. Evaluation of Rapid Drawdown Stability

between su and V’1c is indicated by the strength line
in Figure 4. The strengths fit the laboratory data The third step in total stress RDD analysis is to
well and provide an appropriate lower bound to the evaluate stability using undrained strengths. A few
undrained behaviour over the full range of stresses aspects of the consolidation stress finite element
tested. Over the low stress range applicable to the model were altered to allow the stability analyses to
RDD problem (Figure 4b), the model matches all of be performed
the points but one. The outlying test result had For Pilarcitos Dam, a drained zone 0.46 m thick
lower pore pressure at failure and is one of the (measured perpendicular to the slope face) was
points excluded from the Af trendline in Figure 3. defined along the upstream face of the
embankment to model the region where it was
1.2 estimated that at least 90% dissipation of excess
pore pressure occurred during the drawdown period
1 of 43 days. This depth was calculated assuming a
2
coefficient of consolidation of 46 cm /day. A
0.8 constant drained friction angle of 45˚ was applied to
0.6 this zone.
Af
The remaining elements were assigned

0.4 undrained strengths. The values of V’1c at each
Filled data points excluded node were exported from the consolidation stress
0.2
from trend line analysis to a spreadsheet. The corresponding
0 values of su were calculated using the relationship
0 200 400 600 800 in Figure 4 and assigned to the nodes. The
undrained strength for each element was then
V'1c (kPa)
determined by the finite element software using the
TIN interpolation scheme.
Figure 3. Variation of pore pressure response with The stress-strain properties for both the drained
confining pressure from ICU tests and undrained elements were changed to elastic-
plastic for the strength reduction analyses. The
elastic modulus was not changed. A dilation angle
of 0˚ was used as recommended by Griffiths and
Lane (1999).
Stability following RDD was evaluated using
strength reduction analysis. Non-convergence was
used as the failure criterion as suggested by
Griffiths and Lane (1999).
The strength reduction analyses were performed
in two stages. First, the gravity loads due to
element weight and the boundary load due to the
full reservoir level were applied. In the second
stage, the reservoir level was lowered 10.7 m by
removing the appropriate boundary loads. The
critical strength reduction factor, SRF crit, was then
determined by the software. SRFcrit is commonly
assumed to be equivalent to the factor of safety.
The critical SRF for Pilarcitos Dam was 1.44
using undrained strengths directly from the ICU
triaxial test results (Figure 4). This result shows
that the ICU strengths are too high to be used
directly for RDD analysis.
6. Adjusted Undrained Strengths
ICU triaxial compression tests are common and

relatively easy to perform but do not represent the
consolidation or failure conditions for all elements of
soil within an embankment. The field conditions
include the effects of unequal major and minor
consolidation stresses, principal stress rotation from
consolidation to failure, compaction prestress, and
anisotropic strength and deformation
Figure 4. Undrained strengths for Pilarcitos Dam: characteristics. Most of these factors tend to
(a) full range of stresses; (b) low stress range reduce undrained strength. However, these
influences are difficult to evaluate using 7. Summary

conventional laboratory tests.
As explained above, field strengths are expected Total stress rapid drawdown analysis can be
to be lower than those measured by ICU triaxial performed using the finite element method by first
compression. A simple adjustment to the ICU calculating the effective consolidation stresses for
strengths is proposed to account for the factors that the steady state seepage condition. Undrained
may reduce strength strengths can be related directly to the major
effective consolidation stress. Slope stability during
su ADJ R 100 su ICU rapid drawdown can then be determined by
(2) strength reduction analysis using spatially varying
undrained strengths.
where: The rapid drawdown failure of Pilarcitos Dam
su-ADJ = undrained strength adjusted for the provides one of the best documented case studies
influence of the factors noted above; for this type of failure. Back analysis of the
R = empirical adjustment factor; and Pilarcitos failure suggests that strengths from ICU
su-ICU = undrained strength measured in ICU triaxial tests must be reduced by 30% for use in
laboratory tests. RDD analyses.
Strength reduction analyses were repeated for
adjusted strengths corresponding to various values 8. Acknowledgments
of R. The critical SRF is plotted against R in Figure
5. An adjustment of R = 70 results in SRFcrit of The author would like to thank Rocscience Inc.
2
1.01. For comparison Duncan et al.’s method for the research licenses of Phase and Slide used
(1990) gives a factor of safety of 1.04. to perform the finite element and limit equilibrium
analyses. The faithful support and encouragement
1.2 of J. Michael Duncan and Thomas L. Brandon is
also greatly appreciated. This work was funded by
the Virginia Tech Institute for Critical Technology
1.1 and Applied Science, the Virginia Tech Center for
SRFcrit
Geotechnical Practice and Research, and the

1 Charles Edward Via Department of Civil and
Environmental Engineering.
0.9 9. References
60 70 80
Adjustment, R Duncan, J. M., Wright, S. G., and Wong, K. S.
(1990). “Slope stability during rapid drawdown,”
Figure 5. Variation of SRFcrit with R Proc. Seed Memorial Symp., Vol. 2, BiTech
Publishers, Ltd., Vancouver, B.C., 235-272.
The failure mechanism predicted by the strength Griffiths, D. V. and Lane P. A. (1999). “Slope
reduction analysis can be examined by plotting stability analysis by finite elements,”
displacement vectors for the finite element nodes. Geotechnique, 49(3), 387-403.
Figure 6 shows the displacement vectors predicted Rutledge, P. D. (1947). "Cooperative Triaxial Shear
for Pilarcitos Dam with R = 70. The predicted shear Research Program," Progress Report on Soil
zone will fall along the transition from relatively long Mechanics Fact Finding Survey, USACE
to short displacement vectors. A deep-seated Waterways Experiment Station, Vicksburg, MS.
failure that intersects the base of the embankment Skempton, A. W. (1954). “The pore pressure
is predicted for Pilarcitos Dam. This differs coefficients A and B,” Geotechnique, 4(4), 143-
significantly from the observed failure surface and 147.
the critical failure surface from Duncan et al.’s Wahler, W. A. and Associates (1970). “Upstream
method. The reason for the difference in the slope drawdown failure investigation and
predicted failure mechanism has not yet been remedial measures, Pilarcitos Dam,” Report to
determined. the San Francisco Water Department, June
1970, as cited in Duncan et al (1990).
Limit Equilibrium Wong, K. S. And Duncan J. M. (1974). Hyperbolic
(Duncan et al. 1990) Stress-Strain Parameters for Nonlinear Finite
Observed Element Analyses of Stresses and Movements
Failure Surface 1
in Soil Masses, Report No. TE-74-3, University
of California, Berkeley, CA, 90 pp.
Wong, K. S., Duncan, J. M., and Seed, H. B.
(1983). “Comparison of methods of rapid
drawdown stability analysis,” Report No.
UCB/GT/82-05, University of California,
Figure 6. Nodal displacement vectors for Pilarcitos
Berkeley, December 1982 – revised July 1983.
Dam, SRFcrit = 1.01, R = 70
Laboratory Testing
EVALUATION OF CREEP HYPOTHESES A AND B BASED ON

RELEVANT LABORATORY TESTS
ESSAIS DE FLAUAGE EN LABORATOIRE : ÉVALUATION DES HYPOTHÉSES
A ET B
1 2
Samson A. DEGAGO and Gustav GRIMSTAD
1
Norwegian Public Roads Administration, Trondheim, Norway
2
Oslo and Akershus University College of Applied Sciences, Oslo, Norway
ABSTRACT - Clayey soils, among other features, are characterized by their strong tendency to undergo
significant creep deformations. It is also a well-accepted fact that the primary consolidation phase involves
creep deformation. However, there are still contradicting opinions on the effect of creep during primary
consolidation phase of clays. As a result two distinct schools of thoughts, referred to as creep hypotheses A
and B, have been used as a basis of discussion to assess the effect of creep during the primary
consolidation phase. In this work the implication of the two creep hypotheses are illustrated and then
evaluated based on relevant and high quality laboratory tests. The test tests are seen to be in excellent
agreement with creep hypothesis B and can numerically be described using elaso-viscoplastic formulation.
1. Introduction substantiations can be referred in Mesri (2003),

Leroueil (2006) and Degago (2011). Despite ample
Consolidation and creep of clayey soils is an data from both advocators, this issue could not be
extensively studied topic in soil mechanics. settled and remained a highly controversial topic in
Significant advancements have occurred since the settlement analyses of clayey soils.
formal inception of the classical theory of In this work, the role of creep during primary
consolidation for soils (Terzaghi, 1923). The theory consolidation of soils is illustrated using a numerical
disregards time dependent deformations during background, based on the two hypotheses, and is
consolidations. Thus it was already discovered as further assessed based on relevant laboratory tests.
early as 1936 that the theory cannot capture
observed field measurements due to existence of
continued deformations after consolidation was 2. Numerical formulations
finished (Buisman, 1936). The immediate
modifications that followed were to divide the total The total strain rate of the constitutive equations is
deformations into the primary and secondary governed by the rate of excess pore water
consolidation phases where the primary dissipation which in turn is controlled by Darcy’s
consolidation phase is computed according to the law. For a one-dimensional consolidation, assuming
classical consolidation theory and a creep constant permeability, fully saturated soil and
deformation is added afterwards as a secondary disregarding compression of soil grains and water,
consolidation phase. Still, such formulations were the continuity equation is as follows:
seen to significantly deviate from long-term field
measurements indicating that creep does exist wH v k z w 2 pw
during the primary consolidation phase of soils (1)
(Larsson, 2003; Mesri, 2003; Leroueil 2006). wt J w wz 2
Even though it is a widely accepted fact that
creep exists during primary consolidation phase, where kz is the vertical permeability; Jw is the unit
there remained contradicting opinions on the role of weight of water; pw is pore pressure.
creep during primary consolidation of clays. As a To solve equation (1) the strain rate is coupled to
result two distinct schools of thoughts, referred to stress rate by the constitutive model. In this section,
as hypotheses A and B, have been used as a basis the strain decomposition as adopted in creep
of discussion to assess the effect of creep during hypothesis A and B, are briefly discussed.
the primary consolidation phase (Ladd et al., 1977). For creep hypothesis B, an elasto-viscoplastic
In hypothesis A, the strain at end of primary (EOP) formulation based on the extension of the Modified
is assumed to be independent of the consolidation Cam Clay Model (MCCM) (Roscoe and Burland,
period, whereas hypothesis B predicts higher EOP 1968) is herein considered. In MCCM, the total
strain for longer consolidation periods. Advocators strain rate is decomposed into elastic and plastic
of both hypotheses have independently presented strain rates. The simplest way that can be adopted
several experimental and numerical evidences to to include creep is to replace the plastic strain and
support their own claims. Summary of these
yield surface of the MCCM by viscoplastic strain 3. Illustrations using principle sketches
and reference surface, respectively, such that the
total volumetric strain rate is given by equation (2). In this section, the implications of the two creep
hypotheses are illustrated using principle sketches.
N* Two cases are considered for illustrations in order
Hv Hv e Hv vp p 'Hv
vp
(2) to give an idea of what to expect when evaluating
p' laboratory observations presented afterwards.
A straightforward way of evaluating the effect of
where the superscript e and vp stands for elastic creep during primary consolidation is to consider
and viscoplastic respectively; κ* is the modified deformation behavior of thin and thick specimens
swelling index; pʹ is the mean stress. under similar loading, drainage and boundary
vp conditions to solely endorse varying consolidation
A simple and appealing formulation for εv can
be deduced based on the time resistance concept periods; and, then compare the resulting strain at
developed by Janbu (1969) (see also Grimstad et EOP states. In this way, any differences in the
al. 2010). For an oedometeric condition and resulting EOP deformations are exclusively due to
assumption of associated flow rule, the formulation time or creep effects. This is illustrated by
can be expressed as follows: simulating a case where loads are applied
incrementally and each load lasts only until the EOP
rs ] state is reached. In this way, the resulting EOP
1 § p eq · strain at a given effective stress level are used to
Hv vp *
¨¨ ¸¸ (3)
illustrate the various formulations. Similar to an
R0 © p'c ¹
elasto-plastic formulation, ILLICON implies a
* unique EOP strain-effective stress relationship
where R0 is the inverse of the viscoplastic strain
independent of consolidation duration, i.e. a single
rate (for the viscoplastic multiplier) during 1D curve represents the EOP strain-effective stress
compression, that is when the equivalent stress relationship for any consolidation period. On the
eq
state) is on the reference surface (p = pcʹ); pcʹ is contrary, the elasto-viscoplastic formulation implies
the state parameter controlling the size of the an EOP strain-effective stress relationship that
reference surface and it evolves based on the depends on the consolidation duration, Figure 1. It
amount of viscoplastic strain being accumulated; rs is also worthwhile to note that the experienced
is the time resistance number; ζ is the irrecoverable preconsolidation stress is rate dependent.
compressibility parameter (ζ = O*- N*), O* is the
log Effective stress
modified compression index.
Hypothesis A is implemented in a finite
difference code ILLICON (Mesri and Choi, 1985). A
Vertical strain (void ratio)
central concept adopted within the ILLICON model

is that it should always yield a unique EOP void
ratio-effective stress relationships independent of EOP
the consolidation period. Accordingly, the EOP void
ratio-effective stress relationship obtained from
standard oedometer test is used as input to the thin soil layer
(fast consolidation)
ILLICON model. Deformations during primary
consolidation are computed based on internal
material parameters that ensure the strain (void thick soil layer
ratio) at the EOP state is unique irrespective of (slow consolidation)
consolidation duration. In doing so, such procedure
violates equation (1) as continuity is not satisfied for Figure 1. Implication of creep hypothesis B for
the given assumptions. When it comes to varying consolidation periods.
calculated deformations during the primary Another case chosen for illustration is to look at
consolidation phase, ILLICON gives similar results compressibility of soil sub-layers within a given soil
as an elasto-plastic formulation that disregards layer but located at varying distances from drainage
creep; however, ILLICON is shown to yield a pore boundary. This is illustrated by simulating a soil
pressure response lower than an elasto-plastic layer with one way drainage and where loads are
model (Degago et al. 2011b). applied incrementally up to the global EOP state
After the EOP state is reached, creep is defined at the closed drainage boundary. The strain
described in ILLICON as shown in equation (3). up to the global EOP states are noted for various
Consequently ILLICON needs information on the soil elements in the soil layer considered. Again,
time to achieve EOP state, tp, from the global like an elasto-plastic model, ILLICON formulations
analysis. As a result ILLICON is not suitable for imply a single strain-stress plot for all soil elements
implementation in commercial finite element with the soil layer. Formulations in ILLICON imply
method packages. that all soil elements ‘wait’ for the global EOP state
to start their secondary consolidation (Mesri and
Vardhanabhuti, 2006). The elasto-viscoplastic
formulation yields higher strain for the soil element done in order to achieve a longer drainage
closest to the drainage boundary as it sustains the distance. In such tests, the compressibility of sub-
applied effective stress for longer duration than the specimens in relation to sub-specimen distance
soil elements located farther, see Figure 2. from the drainage boundary is of interest. The sub-
specimen closest to the drainage boundary is
log Effective stress referred to as the top sub-specimen while the one
located farthest is called bottom sub-specimen.
Feng (1991) conducted high quality interconnected
test on St. Hilaire clay to achieve a 508 mm long
Vertical strain (void ratio)
drainage distance using four 127 mm thick sub-

EOP specimens. The average EOP strain-effective
stress relationships of each sub-specimen are
given in Figure 3.
soil element
close to closed boundary
soil element
close to open boundary
Figure 2. Implication of creep hypothesis B for soil

element compressibility.
4. Relevant laboratory observations
In light of the numerical implications illustrations

presented earlier, relevant laboratory observations
are briefly presented.
4.1 Specimens of varying thicknesses
Several tests on specimens of varying thicknesses Figure 4. Sub-specimen compressibility under EOP
are conducted, see summary in Degago (2011). loading condition (interpreted from Feng (1991)).
The tests by Feng (1991) on Batiscan clay are
selected and presented. Feng conducted EOP
incremental tests on Batiscan clay with sample 5. Laboratory evaluations and discussions
height of 25, 51, 127 and 508 mm, Figure 3.
The laboratory observations shown in Figure 3 and
Effective stress [kPa] 4 are evaluated and discussed in light of the
numerical illustrations presented earlier.
0 20 40 60 80 100
0 The test results clearly indicate the EOP strain
and the experienced preconsolidation stress are
Volumetric strain [%]
dependent on the consolidation duration (specimen

4 Batiscan Clay thickness) as depicted in Figure 3. The 508 mm
thick specimen did not show higher EOP strains as
25 mm would have been expected looking at the trend of
8
25 mm the EOP strains of the 25, 51 and 127 mm thick
51 mm specimens. An explanation for this has been
12 provided by Degago et al. (2009) who evaluated the
127 mm
raw data to show that the 508 mm thick specimen
508 mm was not allowed to reach the same degree of
16
consolidation as the 127 mm thick specimen. Still,
Figure 3. EOP strain-effective stress relationship for the EOP strain-effective stress relationships of the
varying sample thicknesses (after Feng, 1991) various specimens are in excellent agreement with
the hypothesis B (Figure 2). It is worth mentioning
4.2 Soil element compressibility that Degago et al. (2009) also numerically
simulated the 127 and 508 mm thick specimens
In the laboratory, the compressibility of soil sub- using an elasto-viscoplastic model and showed
layers within a given soil layer is simulated by excellent agreement with the measurements.
interconnected tests. Interconnected tests are It is worthwhile to note a fundamental difference
conducted by series coupling of soil sub- in the nature of the interconnected tests as
specimens, in an oedometer or triaxial cell, using compared to specimens of varying thicknesses. In
saturated drainage tubes. The series coupling is tests of varying sample thicknesses, it is possible to
ensure that all samples are loaded only until their relationship. Proc. 17th Int. Conf. Soil Mech.
EOP states. However, in the interconnected tests Geotech. Engng, vol. 1, pp. 324-327.
the global EOP state is defined by the EOP state of Degago S.A., Jostad H.P., Olsson M., Grimstad G.,
the bottom sub-specimen and at that stage. Nordal S. (2010). Time- and stress-
The experimental observations shown in Figure compressibility of clays during primary
4 indicated that the top sub-specimen experiences consolidation. 7th NUMGE, Trond. pp. 125-130.
the highest creep deformations of all the other sub- Degago S.A., Grimstad G., Jostad H.P., Nordal S.,
specimens as implied by hypothesis B (Figure 2). Olsson M. (2011a). Use and misuse of the
This is logical as the top sub-specimen would isotache concept with respect to creep
experience a fast effective stress change which it hypotheses A and B. Géotechnique, vol. 61,
sustains for a relatively long period as compared to n°10, pp.897–908.
the bottom sub-specimen. In connection to the Degago S.A., Nordal S., Grimstad G., Jostad H.P.
laboratory results shown in Figure 4 and (2011b). Analyses of Väsby test fill according to
interconnected tests conducted by Degago et al. creep hypothesis A and B. 13th IACMAG,
(2010), a soil element close to the drainage Melbourne, vol. 1, pp. 307-312.
boundary does not wait for the global EOP state to Feng T.W. (1991). Compressibility and permeability
start its secondary consolidation phase. The of natural soft clays and surcharging to reduce
compressibility of soil element is governed by the settlements. PhD Thesis, University of Illinois at
prevailing conditions in that particular soil element Urbana-Champaign, Urbana-Illinois.
rather than what is happening elsewhere. In Grimstad G., Degago S.A., Nordal S., Karstunen M.
addition, Degago et al. (2011a) showed numerically (2008). Modelling creep and rate effects using
that the elasto-viscoplastic model can reproduce the time resistance concept in a model for
the sub-specimen compressibility as observed in anisotropy and destructuration. Nordic Geotech.
the experimental observations given in Figure 4. Meeting, Norway, pp. 195-202.
Janbu N. (1969). The resistance concept applied to
deformations of soils. Proc. 7th Int. Conf. Soil
6. Final remarks Mech. Found. Engng, vol. 1, pp. 191-196.
Ladd C.C., Foott R., Ishihara K., Schlosser F.,
Understanding the effect of creep during the
Poulos H.G. (1977). Stress-deformation and
primary consolidation phase has been a topic of
strength characteristics. State-of-the-art report.
huge interest and has been put forwarded in terms
Proc. 9th Int. Conf. Soil Mech. Found. Engng,
of creep hypotheses A and B. The implications of
Tokyo, vol. 2: 421-494.
these hypotheses are evaluated based on relevant
Larsson R., Mattsson H. (2003). Settlements and
laboratory observations. Accordingly, experimental
shear increase below embankments. n°63,
evidences indicate that there exist creep
Swedish Geotechnical Institute, Linköping, 88p.
deformation during the primary consolidation phase
Leroueil S. (2006). Šuklje Memorial Lecture: The
and the effect of creep during primary consolidation
isotache approach. Where are we 50 years after
is such that the resulting EOP strains and the
its development by Professor Šuklje? Ljubljana,
experienced preconsolidation stresses are
Slovenia, vol. 2, pp. 55-88.
dependent on the consolidation duration (soil layer
Mesri G. (2003). Primary and secondary
thickness). Thus, the behaviors of the laboratory
compression. ASCE, Geotechnical special
tests on specimens of varying thicknesses are in
publication, 119: 122-166.
complete agreement with the creep hypothesis B.
Mesri G., Vardhanabhuti B. (2006). Closure of
From interconnected tests, the compressibility of
'Secondary compression'. Journal of Geotech.&
a soil element is controlled by prevailing conditions
Geoenv.. Engng, vol.132, n°6, pp. 817-818.
at that particular element rather than what is
Mesri G., Choi Y.K. (1985a). Settlement analysis of
happening elsewhere. This is also in conformity
embankments on soft clays. ASCE, Journal of
with hypothesis B. Numerical formulation of creep
deformations should be based on a hypothesis B Geotech. Engng Div, vol. 111, n°4, pp. 441-464.
Roscoe K.H., Burland J.B. (1968). On the
generalized stress–strain behaviour of wet clay.
Eng. Plast. Cambridge Univ. Pres, pp. 535-609.
References
Terzaghi, K. (1923). Die Berechnung der Durchläs-
Buisman K. (1936). Results of long duration
sigkeitsziffer des Tones aus dem Verl- auf der
settlement tests. Proc. 1st Int. Conf. Soil Mech.
hydrodynamishen Spannungserscheinungen.
Found. Engng, Cambridge, MA, 1: 103-107.
Sitzungshr., Akad. Wiss. Wien. Math. Naturwiss.
Degago S.A. (2011). On creep during primary
Abteilung II a. Vol. 132, n°3/4 pp. 125-138.
consolidation of clays. PhD thesis, Norwegian
University of Science and Technology (NTNU),
Trondheim, Norway.
Degago S.A., Grimstad G., Jostad H.P., Nordal S.
(2009). The non-uniqueness of the end-of-
primary (EOP) void ratio-effective stress
EFFECTS OF SOFT PLASTIC ON MSW SHEAR STRENGTH

EFFET DE PLASTIQUE SOUPLE SUR LA RÉSISTANCE AU CISAILLEMENT DU
MSW
1 1 1
Clarisse DI NÚBILA , Francismara GAWLIK , Ronaldo IZZO
1
UTFPR - Federal Technological University of Paraná – Paraná, Curitiba, Brazil
ABSTRACT - As the soft plastic is an abundant material in the Municipal Solid Waste (MSW) mass, and
considering that it acts as a reinforcement element, its influence on MSW shear strength has been a target of
constant study. The variables involved in this study are the amount of plastic, its inclination to normal and
shear stresses, its tensile strength, the issues related to the mobilization of strength stresses by the plastic,
etc. The present paper aims to study the variables involved into the contribution of soft plastic on MSW shear
strength, through the execution of direct shear tests to samples of sand combined with plastic bag strips.
Some of these strips were previously immersed into leachate at different periods of time, in order to provide
information about the influence of this substance on the specimens shear strength. It is expected through
this study to help the understanding of the soft plastics influence on the MSW behavior, contributing to
improve the design, construction and storage capacity of sanitary landfills.
1. Introduction W Total V normal tan I T As cos T

(1)
The effects of the composition of Municipal Solid tan I T As senT
Waste (MSW) on its shear strength have been
object of study in the last years. Researches this Where:
one are important because, once knowing the φ – internal friction angle;
contribution of soft plastic in MSW shear strength, θ – angle between the reinforcement and the shear
this factor can be considered in order to have a surface;
better use of the areas destined for landfills, ie, for As – area of the soil element.
the same area may be placed a larger amount of
trash, as well as its lifetime can be increased.
In Brazil, according to the National Survey of
Basic Sanitation of 2008, conducted by IBGE, it is
revealed a tendency of improvement of the situation
of the final destination of waste collected in the
country in the last years. In 2008, the waste
produced daily in Brazil reached 259,547 tons per
day, of which 64.6% were destined to sanitary
landfills, 15.7 % to controlled landfills, and 17.6% to
dumps.
It is clear the necessity for urgently elevate the
capacity of these locations of waste deposit named
sanitary landfills, because of the high growth rate of
waste generation, the increasing demand for this
disposal method, and the difficulties in selecting
appropriate sites for sanitary landfills construction.
Figure 1. Shear stress in a reinforced soil.
2. Bibliographic review The same principle can be applied in relation to

the MSW. Zekkos et al. (2007) tested direct shear
When an element of soil is crossed by a specimens consisted of material collected from the
reinforcement element which forms an angle θ with Tri-Cities landfill, located in the San Francisco Bay,
the shear surface (see Figure 1), the stress state is with different percentages of material with particles
modified because a strain S generates a shear smaller than 20mm (soil-like material) and also with
stress produced by the tangential component the larger particles than 20mm (fibrous material).
T•senθ, while the normal component T•cosθ The particles smaller than 20mm were horizontally
causes an increase of shear resistance because of oriented and also oriented at 90° with relation to the
the soil friction angle (Jewell, 1980). Thus: shear plane in direct shear tests. Tests were
performed with various normal stresses, and the
displacement rates used were of 0.1 mm/min and 5 were done at 50kPa, 100kPa and 200kPa of normal
mm/min. It was pointed out in this study that the stress.
fibers horizontally oriented had a little contribution to The granular material used to compose the
the shear strength of the specimens tested, unlike samples was sand, whose granulometric curve is
the fibers perpendicular aligned in relation to the presented in Figure 2, and the granulometric range
shear plane. effectively used corresponds to the hatched area of
Athanasopoulus et al. (2008) performed direct the graph.
shear tests on samples of synthetic waste, whose
particles smaller than 20mm used were obtained
from the Xerolaka landfill, in Greece, and particles
larger than 20mm consisted basically of cardboard
paper, wood sheets and plastic bags. Each fibrous
material was oriented at different inclinations to the
shear plane (0°, 30°, 60° and 90°). The study
concluded that the greatest shear strength of the
specimens occurs when the fibers are oriented at
60 ° to the shear plane. The authors also concluded
that the mobilized shear stress is higher for
specimens reinforced with wood fibers than those
reinforced with plastic, and those reinforced with
paper had lower shear strength.
Machado and Karimpour-Fard (2011) performed Figure 2. Granulometric curve of the sand used
triaxial CD and CU tests to evaluate the effect of to compose the specimens tested to direct shear.
fibers on the mechanical behavior of MSW and,
furthermore, analyzed the influence of the fibers on Sand already was used in researches about
the safety factor of landfills. The tested samples shear strength of reinforced soils, as well as what
were composed by material collected at the was done by Michalowski and Cermak (2002),
Metropolitan Center Landfill, located approximately Shewbridge and Sitar (1989), Jewell and Wroth
20km from Salvador. Specimens were prepared (1987) and Gray and Orashi (1983). According to
with different percentages of fiber content (25%, Athanasopoulus et al. (2008), it is possible to make
12.5%, 6.5% and 0%) that constituted mostly of an analogy between the behavior of MSW and
plastics and textiles, which were collected from the granular materials with fiber reinforcement.
MSW. In this study, planar elements, such as paper De Lamare Neto (2004) performed direct shear
and cardboard had their influence on the tests to samples of sand, with addition of different
reinforcement of MSW neglected, since the quantities of plastic strips mixed randomly, in order
collected material had a high water content, which to study the shear strength of MSW.
leads to a loss of tensile strength of such waste. The specimen used on direct shear tests has 10
The results obtained by them show that the curves cm wide, 10 cm deep and 2.6 cm in height. Each of
of stress versus axial strain graphs from triaxial them was molded with 340g of sand with a moisture
tests are concave upward, without presenting any content of 7.58%.
evidence of rupture, due to the reinforcement effect In the case of the specimens reinforced with
of the fibrous material. Moreover, the authors plastic strips, were added to the sand four rows
demonstrated that the increase of the percentage of containing eight plastic strips each row (4R8S), with
fibers leads to a consequent MSW shear strength 0.5 cm wide and 7.5 cm in length, inclined at 30, 60
increase. Another aspect pointed by their analysis and 90 degrees to the shear surface. The plastic
of landfills stability is that the reduction of the content corresponds to 0,04% of the mass of the
percentage of fibrous material in MSW leads to a sample. The scheme of the specimens
decrease in safety factor of landfills. configuration can be seen on Figure 3, and in
Figure 4 there is an example of the of the specimen
being set up.
3. Objective Some of the specimens submitted to direct
shear tests were composed by plastic strips
The present paper aims to study the variables immersed into leachate: a portion was immersed
involved in respect to the contribution of soft plastic for 2 weeks, and another portion for 4 weeks.
in MSW shear strength, in order to quantify the The leachate used in this research was collected
influence of this reinforcement. from a landfill located in Fazenda Rio Grande, in
state of Paraná, Brazil. A photograph of the strips
being immersed into leachate is shown on Figure 5.
4. Metodology
In order to study the influence of plastic fibers in

MSW, direct shear tests were performed. The
displacement rate was 1mm/min, and the tests
5. Results
On Figure 6, for a specific deformation of 10%, it

is shown the relationship between the shear stress
of specimens containing strips inclined at an angle
θ relative to the shear surface and specimens
without the reinforcement of soft plastic strips.
It can be observed that the highest increase in
shear strength is given to the normal stress of 50
kPa, in the case of fibers oriented at 30 and 60
degrees. In the case of tests performed to
specimens constituted of strips previously
immersed into leachate, an increase in shear stress
can be observed, being the lowest increase in the
case of the 200 kPa normal stress.
During the tests with the strips immersed into
leachate, it was observed the strips seemed to be
less malleable than the ones without contact with
leachate. This fact may explain the increase in
shear strength observed for the stripes in contact
with leachate, however, this might represent a
rupture of the plastic with a much smaller
deformation.
1.4
1.3
50 kPa - 2 wks
τθ / τwithout plastic
1.2 100 kPa - 2 wks

200 kPa - 2 wks
Figure 3. Scheme of the specimens configuration – 1.1 50 kPa - 4 wks

100 kPa - 4 wks
a) strips at 30 degrees to shear surface; b) strips at 200 kPa - 4 wks
60 degrees to shear surface; c) strips at 90 degrees 1
50 kPa
to shear surface; 100 kPa
0.9 200 kPa
0.8
0 20 40 60 80 100
Angle between the shear surface and
the plastic strips
Figure 6. Effect of fibers orientation to specimens

submitted to normal stresses of 50, 100 e 200 kPa.
6. Conclusions
Figure 4. View of specimen assembling and the According to what was observed:
placement of the plastic strips at 90 degrees to the - The inclination of the soft plastic in relation to the
shear surface. shear surface influenced on the material-plastic
resistance. The maximum increase in strength
o
mainly occurred when the plastic was inclined 30
in relation with the failure plane.
- The leachate seems to affect the plastic
deformation capacity, which resulted in a greater
mobilization of tensions for the tests performed with
normal stresses of 50 and 100 kPa, but it may
indicate that the plastic in contact with leachate will
rupture with a lower deformation than the plastic
without contact with leachate.
Figure 5. Plastic strips being immersed into

leachate.
7. References
Athanasopoulos, G.; Grizi, A.; Zekkos, D.; Founta,

P.; Zisimatou, E. Municipal Solid Waste as a
Reinforced Soil: Investigation Using Synthetic
Waste. In: Geocongress: Geotechnics of Waste
Management And Remediation, 2008.
De Lamare Neto, A. (2004) Shearing resistance of
urban solid waste and granular materials with
fibers, Doctorate Thesis, COPPE, Federal
University of Rio de Janeiro, 190 p.
Gray, D. H.; Orashi, H. (1983). Mechanics of fiber
reinforcement in sand. ASCE Journal of
Geotechnical Engineering, Vol. 109 (3): 335-
353.
IBGE - BRAZILIAN INSTITUTE OF GEOGRAPHY
AND STATISTICS. PNSB - National Survey of
Basic Sanitation, 2008. Rio de Janeiro, 2010.
Jewell, R. A. (1980). Some effects of reinforcement
on the mechanical behaviour of soils, PhD
Thesis, University of Cambridge.
Jewell, R. A.; Wroth, C. P. (1987). Direct shear
tests on reinforcement sand. Geotechnique, Vol.
37 (1): 53-68.
Machado, S. L.; Karimpour-Fard, M. A Study on the
Effects of MSW Fiber Content and Solid
Particles Compressibility on its Shear Strength
Using a Triaxial Apparatus. Soils and Rocks,
São Paulo, 34 (2): 115-127, May-August, 2011.
Michalowski, R. L.; Cermak, J. (2002). Strength
anisotropy of fiber-reinforced sand in direct
shear. ASCE Journal of Geothecnical
Engineering, Vol. 29: 279-299.
Shewbridge, S. E.; Sitar, N. (1989). Deformation
characteristics of reinforced sand in direct
dhear. ASCE Journal of Geothecnical
Engineering, Vol. 115 (8): 1134-1147.
Zekkos, D.; Bray, J. D.; Athasopoulos, G. A.;
Riemer, M. F.; Kavazanjian Jr., E.; Founta, P.
A.; Grizi, A. F. Compositional and loading rate
effects on the shear strength of Municipal Solid
Waste. In: International Conference Of
Earthquake Geotechnical Engineering, 4., 2007,
Thessaloniki.
ON THE CONTROL OF LOW NEGATIVE WATER PRESSURES IN

LABORATORY TESTS ON UNSATURATED SAND
SUR LE CONTRÔLE DE FAIBLES PRESSIONS D’ EAU NÉGATIVES LORS
D’ ESSAIS DE LABORATOIRE SUR SABLE NON SATURÉ
Dipl.-Ing. Marius MILATZ
Institute of Geotechnical Engineering and Construction Management,
Hamburg University of Technology, Hamburg, Germany
ABSTRACT – A large part of research in the field of unsaturated soil mechanics is focused on cohesive soils
due to their distinct capillarity. High suction is controlled and measured in laboratory tests with different
techniques, e.g. the axis translation technique or the osmotic technique in combination with pore fluid
pressure transducers. In the case of non cohesive soils, such as sands, a lower range of suction is relevant
and the chosen methods of suction control should be accurate at very low matric suction. In this contribution
a method is presented in which a computer controlled vacuum regulator is applied to impose negative water
pressures on a sand specimen. This method allows to control low negative water pressures as occurring in
nature for the determination of the soil water characteristic curve (SWCC) or for laboratory tests with
controlled suction.
1. Introduction column in order to impose suction in the form of

negative pore water pressures while the pore air
Many laboratory tests for unsaturated soils require pressure is atmospheric. Advantages of this
the control of matric suction which has been method can be seen in its good accuracy for water
defined in the form of pressures of 1 mm of hydraulic head (0.01 kPa)
(Vanapalli et al., 2008) and its constancy.
s (u a u w ) . (1) Therefore, the method is favourable for suction
control in sandy soils and can even be used in
mechanical laboratory tests under controlled
A very frequently used method is the axis suction (Donald, 1956) or for the determination of
translation technique (Hilf, 1956). This method the dewatering path of SWCC. Due to changing
applies matric suction according to Eq. 1 as the water levels in the hanging water column the
difference of pore air pressure ua and (positive) method in its classical form is not recommended for
pore water pressure uw, both controlled via the determination of the wetting path of SWCC.
pressure control devices. For the control of negative pore water pressures
The accuracy of pressure controllers used for and the investigation of hydraulic and mechanical
the axis translation technique is measured as a behaviour of unsaturated sand under low matric
percentage of the full pressure range which in best suction a new technique has been developed which
cases is limited to ±0.1 %. With a range of 2 MPa shares several advantages of the hanging water
for the control of pore air or pore water pressure column technique. Unlike the latter, it uses
this results in an accuracy of ±2 kPa. computer control for the negative water potential
As in most cases cohesive soils are tested and allows for dewatering and watering of the soil
which exhibit distinct capillarity with high relevant sample under constant suction levels.
suction values of up to several hundreds of kPa,
this accuracy is high enough. For sandy soils
however, this accuracy may be too low with their air 2. Controlled vacuum method
entry value (AEV) lying in the range of 1 to 5 kPa
depending on the grain size distribution. The method presented makes use of a vacuum
Another control method for matric suction is the regulator which controls sub-atmospheric air
hanging water column technique which has already pressures with an accuracy of 0.05 kPa and a
th
been used by Buckingham in the early 20 century range from ua = 0.0 … -85 kPa. This underpressure
for determining the SWCC (Buckingham, 1907). in the air pressure system is transferred to the pore
The method has ever since been modified by many water of a soil specimen at the air-water-interface
authors and can be used for manifold purposes. A situated in a horizontally fixed burette. This burette
good summary can be found in Vanapalli et al. allows the measurement of pore water volume
(2008). In its classical approach, the method uses a change while maintaining a constant water head.
negative water potential caused by a hanging water
The whole setup of suction control is depicted in It can be seen that the tensiometer reacted
Fig. 1. slower than the prescribed suction steps. The
The vacuum regulator constantly measures and difference between applied and measured suction
controls the desired value of sub-atmospheric air was in all suction steps lower than 0.5 kPa and for
pressure by activating a vacuum pump or opening suction smaller than 5 kPa lower than 0.2 kPa.
an air valve. For the mitigation of small air pressure These differences may have come into existence
shocks during the control of vacuum as well as to due to the calibration of the tensiometer and its own
keep the vacuum pump dry, a vacuum proof buffer accuracy of ± 0.5 kPa.
bottle is interconnected to the air tubing.
3. Application of the new method
The controlled vacuum method was applied to

determine the SWCC for drying and wetting of a
medium sand with weak portions of fine sand which
was collected at a harbour construction site for
Container Terminal Burchardkai (CTB), Hamburg,
Germany. The sand is of sedimentary origin from
the River Elbe and is used for backfilling of
container quays. The soil parameters of “CTB-
sand” are summarised in Table I.
Figure 1. Working principle of the vacuum method
Table I. Soil parameters of CTB-sand
In order to prevent differences in water pressure Soil parameter Value
head during drying or wetting of the sample, the max. grain size dmax [mm] 2.0
burette can be kept in a horizontal position at coefficient of uniformity U [-] 1.8
specimen mid height. grain size at 10% passing d10 [mm] 0.2
The water column in the tubing is connected to max. dry density ρd,max [g/cm³] 1.875
the pore water within the specimen and has to pass min. dry density ρd,min [g/cm³] 1.429
a porous ceramic stone with a desired AEV. The solid grain density ρs [g/cm³] 2.65
pore air pressure in the specimen is atmospheric.
2.1. Validation of suction control 3.1. Determination of the SWCC

The accuracy of suction control of the presented As a first application the presented method was
method was validated with the help of a miniature used to determine the SWCC for drying and wetting
tensiometer for laboratory measurements. The of CTB-sand. For this purpose a small cylindrical
tensiometer measured the negative water pressure container with a volume of 28.74 cm³ was
inside a steel chamber to which the vacuum control manufactured. In its bottom was glued a small
system was connected. Several suction steps porous ceramic stone with an AEV of 50 kPa, a
where controlled with the suction measurements of diameter of 12 mm and a thickness of 2.5 mm.
the tensiometer being logged. The results are Under the ceramic a small water chamber and tube
demonstrated in Fig. 2. was attached. The coefficient of permeability of the
ceramic was measured as 2.16e-7 m/s.
After saturating the ceramic stone, the sand
specimen was carefully dispersed into the small
container which already contained the pore water
for an initial saturation of the specimen. The initial
dry density was 1.765 g/cm³.
During the whole test the soil specimen
illustrated in Fig. 1 was placed on an encased
electronic balance with a resolution of 0.01 g in
order to capture the water volume change gravi-
metrically over time. Additionally, the live data of
water outflow generated by the electronic balance
gives an indication of saturation equilibration within
the specimen. A second measurement of the water
volume change was done by frequent readings of
the burette with an accuracy of 0.02 mL.
At the initial step of zero matric suction it was
guaranteed that the interface of air and water came
Figure 2. Control of suction with a tensiometer to rest inside the burette at the beginning of the
scale reading. Afterwards the matric suction was
increased up to 10 kPa in several steps and then influence the recorded balance data because the
reduced until 0 kPa were reached again. Before the smaller tube connected to the burette and leading
end of each step, equilibrium was checked with the to the soil specimen was always fully saturated with
help of the balance and burette readings. When the no occluded air bubbles. Nevertheless, the air
water volume change over time became zero, the bubbles were removed in the middle of the test in
next suction step was started. The whole test took a order not to impede any water flow out of the
time of about 19 days: 7 days for dewatering and 12 specimen. During the reduction steps of suction the
days of rewatering of the sand specimen. After the occurrence of further air bubbles was limited to a
test was completed, the gravimetric residual water single bubble of small diameter.
content was determined via oven drying of the The collected data allowed to determine the
specimen. The applied suction steps and the SWCC for drying and wetting of the sand specimen.
calculated change in saturation from the balance Fig. 4 contains the SWCC calculated from the
and burette readings are shown in Fig. 3. balance readings. The data for the wetting SWCC
were computed from the gravimetric water content
of the specimen at the end of the test. The results
are compared to the model of Aubertin et al. (2003)
which deduces the SWCC for dewatering from the
basic soil parameters U, d10, ρs and void ratio e.
Figure 4. Obtained SWCC for drying and wetting

and comparison to the Aubertin model
The results show the typical hysteretic behaviour

of the SWCC for drying and wetting. For lower
suctions up to 5 kPa the predictive model of
Aubertin et al. (2003) fits the experimental data very
well. Especially the air entry value at about
2.5 kPa is well predicted.
Figure 3. Matric suction steps (top) and calculated 3.2. Control of low matric suction in laboratory
saturation change (bottom) for the determination of tests
the SWCC of CTB-sand
Another application of the vacuum control
It can be seen that the amount of water volume method can be seen in laboratory tests of a
as well as the equilibration time for every step different kind. As an alternative to classical
differed significantly. The maximum outflow methods of suction control, such as the axis
occurred between suctions of 3 and 5 kPa for translation technique, which may not be accurate
dewatering, the maximum inflow for wetting enough for low suction, the vacuum controller could
occurred between 2 and 1 kPa of suction. be used to prescribe low matric suction in triaxial
At suctions larger than 4 kPa air bubbles were tests or simple shear tests on unsaturated sand.
noticed in the thickest part of the tubings between By setting a negative pore water pressure
burette and smaller tube to the soil specimen. Their underneath the porous ceramic disk, an initially
volume accounted for approximately 0.39 cm³ saturated specimen could be dewatered to the
giving an error in the burette readings of 4.2 % of corresponding degree of saturation. Also in this test
saturation degree. This fits the maximum difference a burette, either fixed or placed on an electronic
between balance data and burette readings in balance, could be used to record the pore water
Fig. 3. The air bubbles were believed not to
volume change. During mechanical testing, matric 5. Summary

suction could be either kept constant in a constant
suction test (CS test) which is drained for the pore In this paper a new method of suction control
water, or it could be allowed to change in a constant was presented for controlling low matric suction,
water content test (CW test) by not allowing the especially relevant for coarse grained sandy soils.
pore water to drain. By using a computer controlled vacuum
This technique would allow to apply true suction controller, negative pore water pressures up to
in the form of negative pore water pressures to -85 kPa can be controlled in soil specimens either
sandy soil specimens in order to investigate their for investigating the SWCC for drying and wetting or
mechanical behaviour under low matric suction. for mechanical testing under unsaturated
conditions. The method is advantageous for two
reasons: Firstly, the applied suction is computer
4. Discussion controlled and has a good accuracy for tests on
sand specimens. Secondly, the equilibrium state of
It could be shown that the presented method water volume change can be easily checked with
allows to control negative water pressures with the help of an electronic balance.
good accuracy. Contrary to the axis translation In future research on the mechanical behaviour
technique, pore water pressures are negative and of sands under low matric suction, the presented
pore air pressures remain atmospheric in the method is supposed to be used to control negative
testing procedure allowing to prescribe conditions to water pressures in sand specimens for triaxial tests
soil specimens which come closer to nature. and simple shear tests.
The obtained SWCC for CTB-sand lies in the
domain of suction typical for sandy soils and the
dewatering curve as well as the AEV is in good 6. References
agreement with the predictive model developed by
Aubertin et al. (2003). Aubertin, M.; Mbonimpa, M.; Bussière, B.; Chapuis,
As the water pressures are negative, the R. P. (2003). A model to predict the water
maximum suction value is limited to one retention curve from basic geotechnical
atmosphere of underpressure which limits its properties. Can. Geotech. J. 40, pp. 1104-1122.
application to coarse grained soils. Another problem Buckingham, E. (1907): Studies on the movement
is the occurrence of air bubbles over time which of soil moisture. Bull 38 USDA, Bureau of Soils,
has to be accounted for in order not to overestimate Washington DC.
the water volume change. To overcome the Donald, I. B. (1956). Shear strength measurements
problem, a bubble trap could be implemented to the in unsaturated non-cohesive soils with negative
nd
testing procedure. pore pressures, Proc. 2 Australia-New Zealand
Since the setup of the presented test allowed to Conf. Soil Mech. Found. Eng. (Christchurch,
collect data of the complete transient water volume New Zealand), pp. 200-205.
change of the specimen (Fig. 3), it could Gardner, W. (1956). Calculation of capillary
additionally be used for the computation of the conductivity from pressure plate outflow data.
unsaturated hydraulic conductivity function. Soil Science Society of America Journal 20, pp.
Different approaches already exist for evaluating 317-320.
the transient outflow data (Gardner, 1956; Wayllace Hilf, J. W. (1956). An investigation of pore-water
and Lu, 2012). As the porous ceramic represents pressure in compacted cohesive soils, Ph. D.
an impeding factor for the water volume change Thesis. Technical Memorandum No. 654, United
despite the already low AEV of 50 kPa, the State Department of the Interior Bureau of
permeability of the ceramic has to be considered Reclamation, Design and Construction Devision,
when calculating the unsaturated hydraulic Denver, Colorado, USA.
conductivity of the sand. As a consequence of the Nishimura, T.; Koseki, J.; Fredlund, D. G.; Rahardjo
desaturation of the specimen its permeability will H. (2012). Microporous membrane technology
drop, but especially in the fully saturated case it will for measurement of soil-water characteristic
be much higher than the permeability of the curve, Geotechnical Testing Journal, 35(1).
ceramic interface. Vanapalli, S. K.; Nicotera, M. V.; Sharma R. S.
Another solution to this problem and objective (2008). Axis translation and negative water
for further research could be the use of column techniques for suction control.
microporous membranes instead of porous ceramic Geotechnical and Geological Engineering, 26(6),
disks which has been investigated by Nishimura et pp. 645-660.
al. (2012). These membranes could help to shorten Wayllace, A.; Lu, N. (2012). A transient water
the equilibration time of saturation degree within the release and imbibitions method for rapidly
specimen due to their high permeability. measuring wetting and drying soil water
retention and hydraulic conductivity functions,
Geotechnical Testing Journal, 35(1).
WAYS TO IMPROVE THE DEFINITION OF SOILS DEFORMATION

CHARACTERISTICS IN LABORATORY CONDITIONS
LES MOYENS D'AMELIORATION DE LA DEFINITION DES

CARACTERISTIQUES DE DEFORMATION DES SOLS DANS LES CONDITIONS
DE LABORATOIRE
Sergii POKLONSKYI
State Government “State Research Institute of Buildings Constructions”,
Kyiv city, Ukraine, poklonsky@ndibk.gov.ua
ABSTRACT – One of the most important soil parameters is deformation modulus. In Ukraine during
recent years increasingly using oedometer tests when assessment the soil compressibility. However, the
reference value of soil deformation modulus is its determination by plate loading tests with plate area not less
2
than 0.5 m . The deformation modules Eoed significantly lower than EPLT.
Methods analysis and features of oedometer soil test specimens showed that more than 20 factors may
affect the results but two types of factors have the crucial influence to the determination of Eoed: sample
crumbling on contact with oedometer stamps, the influence of loading history and test time.
So the real values of Eoed can be obtained directly by measuring of soil samples deformation in the area
that does not effected by plastic deformation (crumbling) and with correct selection of deformation
stabilization criteria, which will depend on the depth of soil sampling.
1. Introduction 2. Main part
In recent years in responsible structures According to researches of Goldstein,

researches more and more importance has the Kornienko and Galkin the friction can reduce
calculation of base deformation. As a result vertical load transferred to the sample up to
computational model of nonlinear base 10...20%, depending on the moisture content, soil
deformation was developed. The transition to this type and test conditions.
model from a linear model of base deformation Studies showed that the friction force during
performed by introducing deformative variables the oedometer test changes according to a
soil characteristics such as deformation modulus. curvilinear dependence that is close to linear and
The main method of deformation modulus reaches 0.1...0.2 of vertical pressure in total
determination in Ukraine for today remains the calculation. Its value can be determined by the
oedometer method of testing of soil sample, due quality of the device rings inner surface
to its simplicity and relatively low cost. However, it preparation to the test. In a greater degree friction
is known that the deformation modules obtained occur in the early loading stages 0.025 ... 0.1
by plate testing and laboratory testing are MPa. At a later stage, the increasing pressure on
significantly different (oedometer module 1.5...10 the bottom surface of the oedometer ring
times smaller according to results of stamp tests overcomes friction forces and the "slippage"
2
that have an area of 0.5 m ). The cause of this occurs. The soil sample is contained in a triaxial
difference, for example, in the use of model of stress state. The changing of the strain horizontal
small size in laboratory tests, the violations of the component changes the internal pressure on the
structure of the sample may take place. So walls of the ring, which in its turn affects the
scientists have identified the ability of influencing friction forces. As visual assessment of clay soil
the results of the oedometer tests of 30 factors by samples in solid and semi-solid states
systematic assessment. Among these factors demonstrated in sample there is not only
there are occasional and permanent one. The inhomogeneous stress field forms, but the
major influence on the accuracy of the additional sliding surface that can be defined by
deformation modulus measurements are the ratio of vertical and horizontal sample
permanent factors such as the friction of the soil deformations. These changes are conditioned by
sample with the wall of the oedometer ring and the vertical and horizontal anisotropy of the
crumbling on contact with oedometer stamps. structural soil strength value.
In case of oedometer compression the friction
losses reaches 10...20% depending on the soil
type and its condition. However, it should be initial pressure stages. It can be seen that the
noted that consideration of the friction forces compression due to crumbling, in this case, is
effect can partly eliminate the compression tests
errors. [2]
The durability of the soil sample test also
affects the deformation behavior, which is usually
fixated according to normative requirements of
Ukraine by value of relative deformation
stabilization and can be expected that during the
long-term tests such increment may be 15 ... 25%.
Insufficient consideration of separate plastic
(obviously, compression test does not take into
account the possibility of the plastic deformation
development in a real basis, and therefore without
the carrying capacity accounting the pressure Figure 1. The scheme of vertical deformation
increasing p can even lead to overstated values of growth of the soil sample loaded by: I - 0.05 MPa;
E, compared with in-situ test values) and the II - 0.15 MPa; III - 0.30 MPa.
elastic deformation of the sample, does not allows
the increasing objectivity of the deformation "disastrous", and difference of the points A and B
modulus in the pressure range before and after is bigger with the incensement of the moisture
values of the structural strength of the soil pst. content of the tested soil and the level of pressure
However, as special researches showed - the that can be attributed to the following factors:
largest influence on the deformation of sample a) the contacting materials have different
have the plastic deformation zone of the sample in deformation modules, E of the metal stamp is
contact with the upper and lower stamps of several orders greater then deformation modules
oedometer. These deformations are accompanied of the soil;
by crumpling of structure and formation of the b) the damage of the soil structure during
transition (buffer) zone, ensuring a smooth preparing of sample;
transfer of the pressure on the soil sample. These c) the concentration of stresses at the surface
zones in upper and lower parts of the sample roughness of the test sample.
have a limited distribution - up to 2...3 mm. At following pressure stages the soil
Crumpling effect of soil samples on valuating compression under the stamp, the segment BC,
their deformation level previously performed by B`C`, B"C", are directly proportionate. On the
N.V. Kornienko, and others [1, 2] for loess soils border with the lower stamp crumbling begins to
using the laser system. These experiments appear at a pressure on the sample is usually
confirmed that the main influence on the above 0.10…0.15 MPa, depending on the
"increased" deformations have crumpling of the moisture content. And the process of its
soil sample at the contact with oedometer stamps. development oppositely to the top is smooth and
Also, it was underlined, that remains the influence increases with pressure increasing, reaching up to
on the test results of friction of soil sample with 60...80% of the crumbling at the top of the
the walls of the compression ring. sample.
The maintained tests showed that the The analysis of the compression of soil of
crumbled area under the pressure shows up different moisture contents on the different
extremely irregularly. Maximum crumpling impact pressure levels 0…0.3 MPa allowed to detect the
on the value of loess deformation occurs at regularity of crumbling development and its value
pressures of 0.10…0.15 MPa. as a function of σ and Sr. It can be seen that the
It was well established that the effect of relative crumbling deformation depends on the
crumbling shows up mostly for saturated soil pressure and moisture content and changes in
(relative deformation increased by 0.01 - 0.03) absolute value.
than for the natural moisture contented soils for All this must be taken into account in practical
which they are lower by 0.01. calculations of the deformation characteristics
At the same time, the deformation of the values of all soil types.
sample in its middle part begins to appear only Complex researches of the major factors of
after reaching structural strength. "compression errors" impacting the characteristics
The scheme of soil crumbling at different of deformation showed that the crumbling and
pressure levels, according to data compiled by 18 friction effects are mutually exclusive, but the
holographic experiments is shown in fig. 1. crumbling effect is several times higher. Stress-
Researches have shown that the compression strain state of the soil and the mutual influence of
of soil mainly depends on the moisture content the friction and crumbling effects under
and pressure. These factors are crucial for the compression are complex. It is inappropriate to
development of crumbling. Segment AB, A`B`, conduct their separate accounts. Therefore, the
A"B" in figure 1, is characterizing the crumbling "compression error" can be taken into account
and its development with sample height in the
when calculating collapse deformation factors by In a series of clay samples tests of the with the
generalizing correction multipliers. use of marks, the deformation modules obtained
Thus, the deformation of sample connect with in the pressure range 0.25...0.5 MPa (the
crumbling of the ground on the border with stamps pressure of soil weight at the sampling level is σzg
underreport; deformation module, which leads to = 0.25 MPa). The measurements were carried out
an overrate of settlement calculated by theoretical only under the upper stamp and the deformation
formulas. of crumbling zone. Near the bottom stamp the
To confirm the represented data in the deformation was predicted, taking into account the
laboratory of State Enterprise “State Research wall friction of oedometer ring and was come to:
Institute of Building Constructions” series of tests Sc.2 = 0.8Sc.1. According to test results such
were carried out on a standard oedometer of deformation modules was obtained: standard, for
British company Wykeham Farrance using ring of the full height of the sample Eoed = 5...7 MPa,
standard size with a modified stamp, allowing factually measured for the middle part of the
measuring the crumbling deformation of soil sample E1 = 18.7...36.3 MPa, and module of the
sample directly under the upper apparatus stamp crumbling zone Ecru, = 0.6...0.7 MPa. At the same
(Figure 2). The test soil is the Kiev’s clay. The time, additional deformation modules was defined:
samples is selected from a depth of 17m have elastic (by the characteristic of unloading branch)
following characteristics: natural moisture W = Eu = 32.0...36.3 MPa, and the module current
3
29.6, bulk density ρ = 1.90 g/cm , dry density ρd = (applicable in Ukraine with a corrective factor mk)
3 3
1.47 g/cm , soil skeleton density ρs = 2.70 g/cm , Ecor = 26.8…40.6 MPa.
The most characteristic curve of oedometer
test is shown in Figure 4.
Figure 4. Typical compression curves obtained

by marks (a) and the stamp displacements (b).
3. Conclusions
Figure 2. The oedometer ring with special 1. Eel depends on the density and the number
stamp allowing the use of marks. of loading cycles and is used in the dynamic
action calculations;
void ratio e = 0.837, saturation ratio Sr =0.96, 2. The deformation of the soil sample is
liquid limit WL = 45, plastic limit WP = 28, the irregular from the sample top to its bottom;
plasticity index IP = 17, liquidity index IL = 0.09. 3. The crumbling deformation significantly
The scheme of the soil sample (Figure 3) affects the value of the deformation module;
shows the compression deformation of the soil in 4. The correlation coefficients mk are
the crumble areas of: S - for the full height of the established as guaranteed values for clays, loam
sample (standard test); Sc.1 and Sc.2 in crumble and loamy sands, and do not account structural
zones under upper and lower stamps; S'- the strength and depends on type, density and soil
deformation of the sample in the middle part, state;
unaffected by crumbling. 5. The above method allows measuring
deformation of the crumble zone with a standard
oedometer;
6. The crumble zone takes place in plate
loading tests; it is commensurate with crumble
zone in oedometer. In foundation settlements
calculating the crumbling under foundation base
can be ignored, but in case of compression test,
thanks to small sample size, crumble zone
Figure 3. Compression ring with crumble zones deformation significantly understate value of the
bordering with oedometer stamps.
deformation modulus, overstate building

settlements and as a result increases the cost of
construction.
7. In Eurocode 7 [3] assumed differentiated
deformation modulus in order to avoid uncertainty
in its definition an approximation branch of
unloading compression curve are often used in
case of oedometer tests.
4. References
1. Kornienko N.V., Galkin E.V. (1980). Bases

and foundation, vol. 13. - Kiev: Budivelnik. pp. 59-
61.
2. Kornienko N.V., Piatkov A.V. (1989). Bases
and foundation, vol. 22. - Kiev: Budivelnik. pp. 38-
39.
3. Eurocode 7 EN 1997-2:2007: (E): -
Geotechnical design - Part 2: Ground
investigation and testing – (together with United
Kingdom National Application Document), 1997.-
196 p.
BENTONITE-POLYACRYLATE NANOCOMPOSITES FOR

CONTAINMENT OF AGGRESSIVE LIQUIDS
NANOCOMPOSITES DE BENTONITE-POLYACRYLATE EN VUE DE
CONFINEMENT DE LIQUIDES AGRESSIFS
1 2 3
Joseph SCALIA IV , Craig H. BENSON , Tuncer B. EDIL
1
Senior Associate, Exponent Engineering and Scientific Consulting, Natick, MA 01760 USA
2
Wisconsin Distinguished Professor and Chair, Geological Engineering, University of Wisconsin –
Madison, Madison, Wisconsin 53706 USA
3
Professor Emeritus, Geological Engineering, University of Wisconsin – Madison, Madison,
Wisconsin 53706 USA
ABSTRACT - The containment of high ionic strength leachates by bentonite-polyacrylate composites is

presented. Sodium bentonite (Na-bentonite) was modified to control flow and contaminant migration in
containment applications where natural Na-bentonite barriers, such as geosynthetic clay liners (GCLs), will
not adequately control flow and contaminant migration. Polyacrylate was combined with Na-bentonite by in
situ polymerization of acrylic acid within bentonite slurry to create a bentonite-polymer nanocomposite
(BPN). BPN swells more than two times more than Na-bentonite from a GCL (73 vs. 30.5 mL/2 g), but in
high strength CaCl2 solutions, has a swell similar to calcium bentonite (< 10 mL/2 g). Thin layers of BPN
and Na-bentonite simulating GCLs were directly permeated with 50, 200, and 500 mM CaCl2. BPN
maintained low hydraulic conductivity (< 8 x 10-11 m/s) to hydraulic and chemical equilibrium termination
criteria, while Na-bentonite had hydraulic conductivities at least three orders-of-magnitude higher. The
mechanisms underlying these behaviors are also discussed.
1. Introduction the development of bentonites amended with

organic molecules for improved performance in
Sodium bentonites (Na-bentonites) are used in barrier applications with high ionic strength liquids
barriers for waste containment because they have (e.g., Onikata and Kondo, 1996; Trauger and
low hydraulic conductivity to water (typically < 10-10 Darlington, 2000; Di Emidio et al., 2010).
m/s). The low hydraulic conductivity of Na- Amendment of bentonites to reduce or eliminate
bentonites results from the osmotic adsorption of increases in hydraulic conductivity has focused on
water molecules around montmorillonite platelets activating and maintaining osmotic swell through
(montmorillonite is the dominant mineral constituent intercalation of an organic molecule between
of bentonites). Once adsorbed, osmotically montmorillonite platelets. In these materials, the
associated water does not participate in flow intercalated organic molecules are intended to
(McBride, 1994) thereby reducing pathways for increase the range of solutions in which the
flow and transport. However, two factors are amended bentonite will osmotically swell as well as
requisite for osmotic swelling to occur: monovalent theoretically impede cation exchange (Onikata and
cations must dominate the montmorillonite Kondo, 1999; Kolstad et al., 2004; Di Emidio et al.,
exchange complex (i.e., the cations that satisfy the 2010).
net negative structural charge of montmorillonite) In this study, Na-bentonite was combined with
and the ionic strength of the hydrating water must superabsorbent sodium polyacrylate, typically
be below ≈ 300 mM (Norrish and Quirk, 1954). encountered as the swelling component of
Unfortunately, many waste containment incontinence products, to produce a super swelling
applications involve liquids with high ionic strengths barrier material that could maintain a low hydraulic
that can suppress swell and may result in high conductivity with liquids containing divalent cations
rates of flow and transport. Additionally, multivalent and solutions with high ionic strength (viz., > 300
2+
cations (e.g., Ca ) are ubiquitous in mM). Na-bentonite was modified by in-situ
geoenvironmental applications and are preferred polymerization of acrylic acid to form polyacrylate
over monovalent cations in the exchange complex within Na-bentonite slurry. The resultant bentonite-
(Sposito, 1989). When present, multivalent cations polyacrylate nanocomposite (BPN) was compared
replace native sodium thereby reducing or to Na-bentonite by hydraulic conductivity, swell
eliminating the ability of bentonite to osmotically index, and exchange complex testing with solutions
2+
swell (Kolstad et al., 2004). containing a range of Ca concentrations. The
Recognition of the potential for increases in the mechanisms underlying the behavior of BPN are
hydraulic conductivity of Na-bentonite has spurred also discussed.
2. Materials conductivity were investigated with 5 and 20 mM

CaCl2 whereas rapid, primarily ionic strength
2.1. Bentonite-Polyacrylate Nanocomposite driven, effects on hydraulic conductivity were
investigated with solutions containing 50, 200, and
The BPN tested in this study was produced by 500 mM CaCl2. DW was used as a control.
Colloid Environmental Technologies Company The CaCl2 solutions were prepared by
(CETCO) of Hoffman Estates, IL USA. Scalia et al. dissolving reagent grade dihydrate-calcium chloride
(2013) provide a detailed description of the (CaCl2·2H2O) in DW. Solutions were stored in
manufacture of BPN. In brief, BPN was created by collapsible carboys with no head space to limit
adding powdered Na-bentonite to a pH neutral interaction with atmospheric CO2.
solution of acrylic acid, sodium hydroxide, and Electrical conductivity (EC) and pH of the
sodium persulfate (Na2S2O8) at concentrations permeant solutions were measured using an
between 30 to 50 % by weight. Polymerization was electrical conductivity probe (Con 5 series, Cole-
initiated by raising the slurry temperature above the Parmer Instrument Co., Vernon Hills, IL USA) and
decomposition temperature of the thermal initiator a pH probe (Accumet pH meter 50, Fisher Scientific
(Na2S2O8), causing the initiator to decompose and Co., Waltham, MA USA).
initiate polymerization. After polymerization, the
solution was dried at 105 °C to remove free water
and milled to granules approximating poorly graded 3. Results and Discussion
sand.
The polymer content of BPN before and after 3.1. Hydraulic Conductivity
permeation was determined by loss-on-ignition
between 105 and 550 °C. Sodium polyacrylate Hydraulic conductivity tests were conducted using
with the same chemical composition as the polymer flexible-wall permeameters in general accordance
contained within BPN was used to calibrate with ASTM D5084 following the falling headwater-
polymer mass-loss calculations. BPN was constant tailwater method. The testing procedure
determined to initially contain 28.5 % polymer by used is detailed in Scalia et al. (2013). Tests were
mass. conducted under an average effective stress of 20
Soluble cations, bound cations, and cation kPa, and an average influent head of 1.5 m.
exchange capacity (CEC) were determined for Granular BPN or Na-B was placed with a dry mass
2
BPN following the procedures in ASTM D7503. per unit area of 4.8 kg/m to simulate a GCL.
Specimens also were tested after permeation. Specimens were not prehydrated. All hydraulic
Chemical analysis of extracts was conducted by conductivity tests were run until the hydraulic and
ICP-OES following USEPA Method 6010 B. BPN chemical equilibrium termination criteria in ASTM
+
was determined to have a CEC of 143 cmol /kg D6766 were met. Hydraulic conductivity of BPN
and an initial bound Na+ mole fraction of 0.90. The and Na-B are shown vs. the CaCl2 concentration
Na-bentonite used to create BPN had a CEC of 78 of the permeant solution in Figure. 1.
cmol+/kg and a bound Na+ mole fraction of 0.44.
10-6
2.2. Sodium Bentonite Na-B

10-7
BPN
Hydraulic conductivity (m/s)
A natural Na-bentonite used in GCLs (denoted

10-8
subsequently as Na-B) was used as a comparative
material for this study, this bentonite is used in
10-9
Bentomat GCLs sold by CETCO, and was provided
by the manufacturer. Na-B and the bentonite used
10-10
to produce BPN are not the same clay, but Na-B
was used to represent existing GCLs.
10-11
Soluble cations, bound cations, and CEC were
determined for Na-B following the procedures
10-12
detailed for BPN. Specimens also were tested
after permeation. Na-B was determined to have a
+ + 10-13
CEC of 86 cmol /kg and an initial bound Na mole 0.1 1 10 100 1000
fraction of 0.44.
CaCl2 concentration (mM)
2.3. Permeant Liquids
Figure 1. Hydraulic conductivity vs. permeant
To investigate the impact of divalent cations and solution CaCl2 concentration.
ionic strength on swelling and hydraulic behavior,
deionized water (DW; Type-II water per ASTM BPN maintains low hydraulic conductivity (< 8.5
D1193) and 5, 20, 50, 200 and 500 mM CaCl2 were x 10-11 m/s) in all solutions, whereas the hydraulic
used as permeant solutions. Gradual cation conductivity of Na-B is strongly affected by CaCl2
exchange and resultant increases in hydraulic concentration. The hydraulic conductivity of Na-B
permeated with solutions of 50, 200, and 500 mM controlling hydraulic conductivity of BPN are
CaCl2 is at least 2500-times greater (> 1.7 x 10-7 fundamentally different than the classic osmotic
m/s) than that in DW. When permeated with 500 swelling model for Na-bentonite.
mM CaCl2, the hydraulic conductivity of BPN is
more than five orders-of-magnitude lower than that 10-6
of Na-B.
Na-B
10-7
BPN
3.2. Swell Index
Hydraulic conductivity (m/s)

10-8
Swell index tests were performed in general
accordance with ASTM D5890. Materials were 10-9
ground to 100 % passing a standard No. 200
woven wire sieve. 10-10
Swell index of Na-B and BPN are shown in
Figure 2. Swell index of BPN in DW is more than
10-11
two times the swell index of Na-B in DW (73.0 vs.
30.5 mL/2 g). However, similar to Na-B, swell
index decreases with increasing CaCl2 10-12
concentration, reaching a swell index typical of Ca-
bentonite in 200 and 500 mM CaCl2 (< 10 mL/2g). 10-13
0 20 40 60 80
80
Swell index (mL/2 g)
Na-B Figure 3. Hydraulic conductivity vs. swell index.
BPN
60 3.4. Ion Exchange
The mole fraction of monovalent bound cations

in BPN and Na-bentonite specimens after
40 permeation is shown vs. swell index in Figure 4.
Reductions in monovalent cation mole fractions
correlated to reductions in swell indices. Exchange
of monovalent bound cations occurred in both
20 materials and at all CaCl2 concentrations. In 50,
200, and 500 mM CaCl2, there was near complete
exchange of Ca2+ for native monovalent cations
(mainly Na+). These data show that in-situ
0 polymerized polyacrylate does not prevent cation
0.1 1 10 100 1000 exchange in BPN, and that despite near complete
CaCl2 concentration (mM) ion exchange with 50, 200, and 500 mM CaCl2,
BPN maintains a low hydraulic conductivity.
Figure 2. Swell index vs. hydrating solution CaCl2
concentration. 80
3.3. Swelling and Hydraulic Conductivity
Hydraulic conductivity is shown vs. swell index 60

in Figure 3. The Na-B exhibits typical behavior

(Kolstad et al., 2004), where swell index and
hydraulic conductivity are related inversely and
osmotic swell underlies low hydraulic conductivity. 40
Swell indices less than 11 mL/2 g in solutions with
CaCl2 concentrations greater than or equal to 50
mM corresponds to hydraulic conductivity greater
than 1.7 x 10-7 m/s. In contrast, the hydraulic 20
Na-B
conductivity of BPN is independent of swell index.
BPN
The hydraulic conductivity of BPN is less than 8 x
10-11 m/s in all permeant solutions, with the lowest
0
swell indices (7 mL/2 g in 500 mM CaCl2) 0.0 0.2 0.4 0.6 0.8 1.0
corresponding to the lowest hydraulic conductivity.
Thus, BPN achieving low hydraulic conductivity is Mole fraction monovalent bound cations
not contingent on attainment and maintenance of Figure 4. Swell index vs. the mole fraction of
osmotic swell or a corresponding high swell index. +
monovalent bound cations (Na and K ).
+
This result suggests that the mechanisms
3.5. Polymer Retention • BPN may be useful for containment of

concentrated leachates that could not be
The percentage of polymer retained in BPN contained effectively by GCLs comprised of
specimens after permeation is shown vs. CaCl2 natural (viz. unamended) Na-bentonite.
concentration in Figure 5. A direct relationship
exists between the fraction of polymer retained and
the CaCl2 concentration in the permeant solution. 5. References
BPN permeated with DW retained a small
percentage (23 to 24 %) of the original polymer Ashmawy, A., Darwish, E., Sotelo, N., and
content, whereas a large percentage (91 to 94 %) Muhammad, N. (2002). “Hydraulic performance
of polymer was retained in BPN permeated with of untreated and polymer-treated bentonite in
500 mM CaCl2. BPN maintains a low hydraulic inorganic landfill leachates.” Clays and Clay
conductivity despite low swelling (Figure 2) when Minerals, 50(5), pp. 546-552.
polymer retention is high (> 30 % polymer Di Emidio, G., Van Impe, W., Mazzieri, F. (2010).
retained). Polyacrylate is hypothesized to eliminate “A polymer enhanced clay for impermeable
the hydraulically governing pores in BPN that geosynthetic clay liners.” Proceedings of Sixth
conduct the bulk of flow in low swelling Na- International Conference on Environmental
bentonite Geotechnics, International Society for Soil
Mechanics and Geotechnical Engineers, New
100% Delhi, India, Nov. 8-12, pp. 963-967.
Kolstad, D., Benson, C., and Edil, T. (2004).
Percentage of polyacrylate retained
“Hydraulic conductivity and swell of

80%
nonprehydrated GCLs permeated with multi-
species inorganic solutions.” Journal of
Geotechnical and Geoenvironmental
60%
Engrineering, 130(12), pp. 1236-1249.
McBride M. (1994). Environmental Chemistry of
Soils. Oxford University Press, New York.
40%
Norrish, K., and Quirk, J. (1954). “Crystalline
swelling of montmorillonite, use of electrolytes to
control swelling.” Nature, 173, pp. 255-257.
20%
Onikata, M., Kondo, M., and Kamon, M. (1996).
“Development and characterization of a
0%
multiswellable bentonite.” Environmental
0.1 1 10 100 1000 Geotechnics. Taylor and Francis, Rotterdam,
pp. 587-590.
CaCl2 concentration (mM) Scalia, J., Benson, C., Bohnhoff, G. Edil, T., and
Figure 5. Percentage of polyacrylate retained after Shackelford C. (2013) “Long-Term Hydraulic
permeation vs. permeant liquid CaCl2 Conductivity of a Bentonite-Polymer
concentration. Nanocomposite Permeated with Aggressive
Inorganic Solutions.” Submitted to Journal of
4. Conclusions Engineering.
Sposito, G. (1984). The Surface Chemistry of
The following conclusions are distilled from the Soils. Oxford University Press, New York.
findings of this study. Trauger R. and Darlington J. (2000). “Next-
• Swelling of BPN is sensitive to CaCl2 generation geosynthetic clay liners for improved
concentration. BPN swells more than Na- durability and performance.” TR-220, Colloid
bentonite in dilute solutions, but the swelling of Environmental Technologies Company,
both materials is comparable in concentrated Arlington Heights, IL, pp. 2-14.
solutions.
• BPN maintains low hydraulic conductivity (< 8 x
10-11 m/s) for a wide range of CaCl2 6. Acknowledgements
concentrations (50 - 500 mM CaCl2) that induce
high hydraulic conductivity in Na-bentonite. Financial support for this study was provided by the
• BPN does not follow the classical model where U.S. National Science Foundation (NSF) under
osmotic swelling is required to achieve and Grant No. CMMI-0757815 with in-kind support from
maintain low hydraulic conductivity. This CETCO, Inc. This support is gratefully
behavior illustrates that the mechanisms acknowledged. The findings and
controlling the hydraulic conductivity of BPN are recommendations that have been presented are
different from those for Na-bentonite. solely those of the authors, and do not necessarily
represent the opinions or policies of the sponsors.
Ground Improvement
PLATE LOAD TESTS ON IMPROVED GROUND WITH

CONSTRUCTION AND DEMOLITION WASTES COMPACTION PILES
ESSAIS À LA PLAQUE DES SOLS RENFORCÉS PAR DES PIEUX
COMPACTÉS DE MATÉRIAUX DE DÉMOLITION
Marina AMORIM1, Alexandre GUSMÃO2, Jaime GUSMÃO FILHO3, Gilmar MAIA4, Roberto
COUTINHO5
1
Federal University of Pernambuco, Recife, Brazil
2
University of Pernambuco, Recife, Brazil
3
Federal University of Pernambuco, Brazil
4
Gusmão Engineers, Recife, Brazil
5
Federal University of Pernambuco, Brazil
ABSTRACT - The growing concern regarding the production of wastes in general with regard to its disposal
in increasingly confined urban spaces, and the exhaustion of natural resources and their close relationship
with the cost of extraction and transport of materials from dumps even farther from the cities, causes concern
in evaluating in more detail the question of waste produced in large urban centres. The purpose of this paper
is to check the performance of Construction and Demolition Waste (CDW) when applied to improving soils
using compaction piles to replace natural aggregate. With this in mind, it was done an experimental
compaction mesh consisting of CDW and conventional piles on site, where it was possible to drill boreholes
and perform 15 plate bearing tests. The borehole and plate bearing tests made on the experimental
compaction mesh helped confirm good performance of CDW piles compared to conventional piles.
1. Introduction techniques for improving sandy ground. Compaction

piles are a common technique used in northeastern
Recife’s soil is known as a challenge for Brazil. In the last 30 years, the first buildings in
geotechnical engineers. The geological formation of Recife were designed using compaction piles with
this city, millions of years ago, allowed the formation working pressures of 250 kPa, while today there are
of many types of soil. already constructed buildings with over 30 floors
Recife’s lowland has a fluvial-marine origin, with pressures up to 650 kPa (Gusmão, 2005b).
having two levels of sandy deposits from the two The ground improvement technique consists on
last marine transgressions (Alheiros et al. 1990). making a mesh of piles. With this procedure, the
Besides that, there are deposits of mangrove, compression is achieved with the result of three
sediments from rivers and lakes, and recent alluvial effects: the displacement of the ground material
deposits. Therefore, the consequence of this fact for equal to the volume of the pile, introduction of an
the foundation engineering is a range of solutions additional compressed material, and the effect of
available, leaving it to the geotechnical engineer to vibration due to the executive process.
choose, according to their experience, the solution Consequently, there is a gain in sheer strength of
that will enable technically and economically. the field and less deformations.
The presence of deposits in soft clay, present in Because of the lack of plate bearing tests data
about 50% of the area of lowland Recife, also favors on improved ground, the control to determine the
the use of precast concrete and steel piles which, efficiency of the usage of compaction piles has
although expensive, foundations solutions are normally been done only with boreholes before and
widely used in the mentioned city (Gusmão, 2005a). after the improvement of the soil.
As Gusmão Filho (1998) highlighted, the This study focuses on presenting characteristics
presence of shallow sandy layers, mostly dominated of the project, results of boreholes done before and
by lowland in Recife, has allowed the usage of after the soil improvement, as well as the result of
shallow foundations in natural ground, in buildings several plate bearing tests done at a mesh of
up to six stories. compaction piles in an experimental field in Recife.
The cost of foundations can make impossible the
execution of a building. The investment required is
evidently due to the size of the building, the 2. Ground improvement with compaction piles
magnitude of the loads transferred to the foundation,
as well as the type of soil where you plan to build. Compacting piles are piles made of sand and gravel
Improving the ground surface layer through that are introduced in the soil by dynamic processes
compaction piles can enable the use of shallow to make the soil denser, improving the security and
foundations and significantly reduce the cost of the stability to the foundation and minimizing the
foundation (Gusmão Filho, 1998). There are several foundation settlements (Soares, 2002).
The compaction process improves the ground the soil layers influenced by the plate and the
properties through physical displacement of the foundation.
particles, decreasing the void volume of the soil,
increasing the relative compactness of the soil and
the bearing capacity of the foundation. Since the 4. Description of the experimental compaction
density decreases with an increasing distance mesh
between the piles, the distance between the piles is
an important factor. To present the results of several plate bearing tests
The ground improvement can raise the allowable made in a construction site in Recife- Brazil, it was
stress values of the land for up to 600 kPa selected the site of a building under construction
(Gusmão, 2005a). that the type of foundation was spread footings over
This solution is not indicated for cohesive soils, improved ground with compacted sand and gravel
such as clays and clayey silts, since these materials piles.
do not respond to compaction. However, in order to analyze the viability of using
Gusmão Filho and Gusmão (1994) suggest that Construction and Demolition Waste (CDW) as a
in the foundation design, the distance between the filling material in compaction piles for ground
piles of natural aggregate (sand and gravel) should improvement, the selected site to make the
be 3 times the diameter of the pile and the mesh experimental compaction mesh was not part of the
should cover the entire area of the building. building foundation (ARAÚJO, 2010).
Gusmão Filho and Gusmão (2000) related the Thus, the mesh was implemented and four
initial SPT blow counts (natural ground) with the boreholes were done; two positioned in the mesh
final SPT blow counts (improved ground), obtaining (SPT-01 and SPT-02) and the other two (SPT-03
a K factor, that gives an idea of how much the and SPT-04) out of the mesh.
ground can be improved (Figure 1).
Figure 1. Initial N-SPT versus K Factor
The length of the pile depends on the variation of

the compactness of the soil layer and normally
varies from 4 to 6 meters. The spread footings
foundations should have a minimum of 1.5m depth,
because the soil improvement has low efficiency
until 1.5m depth, due the lack of containment of the
soils near the surface.
3. Plate bearing tests

Figure 2. Experimental compaction mesh and the
The test is performed for the determination of boreholes location
bearing capacity of soils for allowable settlement
under static loads at shallow foundation. In Brazil, The Figure 2 shows the location of the
this test is governed by the standard ABNT NBR boreholes, the conventional and the CDW piles. In
6489/1984. Figure 3, it is possible to compare the behavior of
According to the Brazilian standard ABNT NBR the improved and not improved ground.
6122/2010, the results of the plate bearing tests The borehole SPT-02 was done between
should be interpreted in order to consider the exclusively CDW and gravel piles. The SPT-01 is
relationship between the behavior of the plate and located between CDW and conventional piles. This
the real foundation, as well as the characteristics of fact shows important results comparing those
boreholes in Figure 3.
test “PT11” were performed directly on the piles.

This is also need to emphasize that the “PT11” was
the only one placed out of the mesh.
The performance of the CDW piles and
conventional piles comparing to the test applied out
of the mesh “PT11” is observed. Emphasis should
be given to the “PT10” (P7 – CDW pile) that reached
about 250kN, which has very different behavior than
the others.
Another important analysis is the “PT08” (P9 –
conventional pile) and “PT09” (P8 – CDW pile)
noted for perfect compatibility on their results.
Figure 3. Boreholes before and after ground

improvement
4.1 Methodology of the plate bearing tests
For the plate bearing test, it was made four root

piles with a diameter of 300mm and an average
length of 18m in order to serve as reaction to the
Figure 5. Natural ground versus improved ground
beams.
(conventional and CDW piles)
Tests conducted with 620mm plate are shown in

Figure 6. These tests were made between the
compaction piles, in order to show the effect of the
improved ground, but excluding “PT12” since it was
done out of the mesh. It is noted that although the
tests “PT02” and “PT12” obtained the same
magnitude, the settlement of “PT02” was about
10mm greater than the settlement of “PT12” that
was in the mesh.
Another factor to be considered is that the
performance of the tests made between CDW piles
“PT07” was higher than between conventional piles.
Figure 4. Plate bearing tests location’ Figure 6. Improved ground: conventional versus
CDW piles
The root piles were made in positions that allow
the implementation of the largest possible number of Figure 7 shows the tests results of 800mm
tests, as indicated in Figure 4. This Figure also plates, which means the tests show the results of
shows the location of the bearing tests performed. improved ground plus compaction piles (“PT03”,
Figure 5 shows the results of the tests applied “PT04”, “PT05” and “PT13”). The goal of those tests
only with 300mm plates. All tests, except the plate was measuring the combined foundation.
“PT13”). It is notable that the results of plate tests

done in combined foundation “PT03” and “PT04”
(CDW piles + improved ground) and “PT05” and
“PT13” (conventional piles + improved ground)
confirms good performance of ground improvement,
regardless the composition of the piles tested in this
research.
5. Conclusions
The boreholes and the plate bearing tests

conducted on the experimental compaction mesh
allowed checking the field performance of CDW
Figure 7. Combined foundation (compaction piles + piles compared with conventional piles.
improved ground): conventional versus CDW piles It can be concluded that CDW material can
satisfactorily substitute natural aggregate on making
There were two tests, “PT01” and “PT02”, with compaction piles.
600mm plate at different depths. Figure 8 shows the
results of plate tests at 0.5m depth that showed
worse performance than the same tests done at 6. References
1.5m depth; the 1.5m depth tests had 4 times better
performance. The lower soil resistance shown in the ABNT NBR 6489 (1984). Prova de carga direta
tests at 0.5m depth shows the effect of the sobre terreno de fundação. Rio de Janeiro.
containment of the soils near the surface. ABNT NBR 6122 (2010). Projeto e execução de
fundação. Rio de Janeiro.
Alheiros, M. M., Menezes, M. F. e Ferreira, M.G.
(1990). Carta geotécnica da cidade do Recife.
Relatório de Atividades. FINEP / UFPE, pp. 81.
Araújo Jr., E. L. (2010). Uso de Rresíduos da
construção e demolição (RCD) em estacas de
compactação para melhoramento de solos.
Master’s degree thesis, UPE, Recife.
Gusmão Filho, J. A. (1998). Fundações: do
conhecimento geológico à prática da
engenharia, Editora da UFPE, Recife.
Gusmão Filho, J. A. E Gusmão, A. D. (1994).
Estudo de casos de fundações em terrenos
Melhorados. X Brazilian Conference of Soil
Figure 8. Depht efect Mechanics and Foundation Engineering. Foz do
Iguaçu, Vol.1, pp.191-198.
Gusmão Filho, J. A. E Gusmão, A. D. (2000).
Compaction piles for building foundation,
International Conference on Geotechnical and
Geological Engineering, Melbourne, CD Rom.
Gusmão, A. D. (2005a). Prática de fundações no
Recife. In Gusmão, A. D., Gusmão Filho, J. A.,
Oliveira, J. T. R. E Maia, G. B. (Org.). Geotecnia
no Nordeste. Recife, vol. 1, pp. 225-246.
Gusmão, A. D. (2005b), Melhoramento de terrenos
arenosos. In Gusmão, A. D., Gusmão Filho, J.
A., Oliveira, J. T. R. e Maia, G. B. (Org.).
Geotecnia no Nordeste. Recife, vol. 1, pp. 331-
363.
Figure 9. Single pile versus pile + ground (combined Gusmão, A. D., Araújo Jr., E. L., Fucale, S. P. E
foundation) Farias, A. B. (2011). Ensaios de placa em
terreno melhorado com estacas de
Figure 9 shows the results of plate bearing tests compactação. VII Brazilian Conference of
of single conventional and CDW piles (“PT08”, Environmental Geotechnics, Belo Horizonte.
“PT09” and “PT10) and combined foundation: Soares, W. C. (2002). Estacas de compactação
improved ground + pile (“PT03”, “PT04”, “PT05” and para melhoria de solo. Master’s degree thesis,
2002, USP, São Carlos.
INFLUENCE OF GEOMETRICAL IMPERFECTIONS OF RIGID SOIL

REINFORCEMENT COLUMNS
INFLUENCE DES IMPERFECTIONS GÉOMETRIQUES DES COLONNES
RIGIDES DE RENFORCEMENT DE SOL
1
Cécilia BOHN
1
Technical University Darmstadt, Institute and Laboratory of Geotechnics, Darmstadt, Germany
1
Ecole Nationale des Ponts et Chaussées, Laboratory Navier-Geotechnics, Champs-sur-Marne,
France
ABSTRACT - This theoretical study focuses on the influence of geometrical imperfections of rigid soil
reinforcement columns. Discrepancies compared to projected values are investigated for different
parameters like the column position, the column diameter or the column length. The effects of an
unintentional curvature, inclination, and load eccentricity are examined. The consequences of the different
geometrical imperfection types are classified in terms of loss of structural capacity (brittle failure), loss of
bearing capacity (extreme column displacements), or loss of stability (buckling), establishing the most
decisive imperfection types. Threshold levels leading to particular sensitivity of the system will be defined, in
order to increase the quality of such systems by a more careful execution of the determining parameters.
1. Introduction simplified case of a planned vertical load applied

directly on the pile for the clarity of the parametric
In order to improve weak soils under studies (Fig. 1).
embankments, raft foundations or single footings,
soil reinforcement methods with rigid columns like
“rigid inclusions”, deep soil mixing, vibro-concrete,
mortar or lime-cement columns can be used.
Compared to usual piles, soil reinforcement
columns are in general not connected to the
structure, and the bearing capacity of the soil itself
is taken into account. They can be designed as
floating columns without embedment in stiff subsoil
layers. The load distribution is highly dependent on
the geometrical and material properties of the load
transfer platform used and of the columns
themselves. Such columns have often smaller
diameters than piles, are in general not steel-
reinforced. A wide range of material types is
possible with a smaller strength and stiffness than
usual concrete. Compared to soil improvement Figure 1. Reference configuration
techniques with granular columns, questions of
geotechnical and structural capacity come into This study presents the influence of geometrical
consideration. These aspects make systems with imperfections on the bearing capacity, on the
rigid soil reinforcement columns particularly structural capacity and on the stability. The buckling
sensitive to material or geometry imperfections in load Nbuckle (Eq. 1) for an instable behavior (Fig. 2)
the execution (Katzenbach et al., 2012). and the corresponding additional bending moment
Even if some investigations about imperfections are calculated here considering a perfectly bilinear
of usual piles exist in the literature (Van Weele, lateral soil support of the pile, with initial curvature
1999), specific problems for recent systems using (initial horizontal deformation ecurv) according to
unreinforced small-diameter piles or rigid columns studies referring in particular to micropiles (Sovinc,
have not been extensively studied yet. The 1981; Meek, 1996; Wimmer and Ofner, 2006; Vogt
assumed particular sensitivity of such columns is et al., 2009). The buckling length Lbuckle
however taken into account today by specific safety corresponds to the one leading to the minimum
factors or increased controlling measures (EN value of Nbuckle and is almost independent from the
1997-1, 2004; CSV-guideline, 2002; ASIRI, 2012). total length and end fixities for bedded piles. The
An unreinforced circular rigid column or pile in a stiffness k is approximated here by 80cu and the
soft soil is considered here, with the general elastic displacement limit by D/10.
overproportionally higher with smaller diameters,

S2 4 1 reflecting a high sensitivity to diameter
w ED w k L buckle
2
imperfections.
L2 buckle 64 S 2 (1)
N buckle
w ecurv
Figure 2. Load vs. horizontal displacement in

second order theory
Figure 4. Loss of geotechnical and structural

2. Diameter imperfection resistance due to diameter variation
A diameter decrease causes a diminution of the

buckling load as well. For the given soil support
conditions and for a chosen realistic initial curvature
equal to the buckling length divided by 400, a
similar sensitivity range is observed (Fig. 5).
Nevertheless, it is of importance to note that for the
studied light concrete or mortar and for the
considered boundary conditions, the compressive
resistance (similar to the geotechnical resistance
here) always remains smaller than the buckling
load, so that the structural break will be the decisive
failure type.
Figure 3. Diameter variation
Usual piles have in general a diameter of 1 to 2 m,

while EN 14199 prescribes diameters smaller than
30 cm for micropiles, ASIRI 25 to 80 cm and the
CSV-guideline values of 12 to 20 cm. No tolerance
is allowed for local or over-length diameter
decrease in the European standards and
recommendations for piles or soil reinforcement
columns. Important increases should be avoided as
well, since this could lead to increased attracted
load and negative skin friction load in the upper part
of the columns for systems with loading of the soil
(maximum 30 % increase according to ASIRI).
A diameter decrease (Fig. 3) corresponds to a Figure 5. Loss of buckling resistance due to
loss of shaft and section surface of the pile, diameter variation
impacting on the one side the skin friction
resistance and on the other side the tip and
structural resistance. The loss of resistance for the 3. Length imperfection
usual diameter range is presented in Fig. 4 for
realistic necking values of 1 and 10 cm. For target No tolerances are given for column length,
diameters of more than 80 cm, the resistance loss parameter difficult to control on site. For a bedded
remains under 20 %. The consequences become beam, Nbuckle is almost not influenced by the total
length, and even for a laterally unsupported pile, an

unfavorable length increase (Fig. 6) has almost no
influence for a length order of 10 m. Nevertheless,
a length decrease can have considerable
consequences if a given embedment in a stiffer
layer is planned.
Figure 8. Resistance vs. initial eccentricity
The buckling becomes the decisive failure mode

from an initial curvature equal to approx. 80 % of
the diameter for this example. The ratio of the
additional bending moment in the middle of the pile
to the buckling load exceeds D/8 from ecurv/D =
Figure 6. Length variation
30 % (initial curvature radius of 50 m), generating
tension and possible break in the unreinforced
section. This happens actually for a somewhat
4. Curvature
smaller imperfection if one considers the decrease
of the compression load due to positive skin friction
up to the middle of the pile. In any case, the risk
remains much smaller than without soil support
(tension for ecurv = D/8 or 12.5% of the diameter).
5. Inclination
Figure 7. Eccentricity due to curvature
For usual pile diameters, the soil support ensures in

general the stability against buckling, even for
relatively soft soils and with an initial curvature (Fig.
7). For micropiles, EN 14199 imposes a buckling
check for cu < 10 kN/m², but this should be made
even for higher undrained cohesion values
considering the current state of the art (Vogt et al., Figure 9. Inclination
2009). The curvature tolerance in EN 14199
corresponds to a radius of 200 m. ASIRI prescribes The inclination tolerance (Fig. 9) for piles planned to
a verification for diameters smaller than 30 cm and be vertical is 2 % after EN 1536 and EN 14199 and
for a soil pressuremeter modulus smaller than 4 % after EN 12699. ASIRI and the CSV-guideline
3 MN/m² (approximately cu = 30 kN/m²) over a prescribe a maximum value of 2 %.
minimum height of 5 diameters. The effect of an unintentional inclination can be
The evolution of the buckling load with the represented by an additional transversal load (Fig.
normalized initial eccentricity is presented in Fig. 8, 9). The resulting maximum moment in the pile is
in comparison with the structural compressive calculated after Winkler (in Philipponnat and
resistance.
Hubert, 2000) and is located not very far from the 7. Conclusions
pile top. Tension appears in the section for an
inclination of more than 5 % in this example (Fig. Rigid soil reinforcement columns or piles are
10). The shear force is in general not damaging. particularly sensitive to geometrical execution
imperfections when they are of small diameter and
not steel-reinforced. The consequences of a
diameter reduction are significant for diameters
smaller than 80 cm. A load axis offset can be very
damaging in the case of concentrated load areas.
Inclination and initial curvature should be avoided in
soft soil conditions, but can be tolerated to a certain
extent thanks to stress attenuating effects of the
soil. Length imperfections are of smaller
importance.
8. References
ASIRI, Institut pour la recherche appliquée et

l’expérimentation en génie civil (IREX) (2012).
Recommendations for the design, construction
Figure 10. Section load lever arm vs. inclination and control of rigid inclusion ground
improvements.
CSV-guideline, Deutsche Gesellschaft für
6. Position imperfection Geotechnik (DGGT) (2002). Merkblatt für die
Herstellung, Bemessung und Qualitätssicherung
von Stabilisierungssäulen zur
Untergrundverbesserung, Teil I – CSV
(„Combined Soil Stabilization with Vertical
Columns“) Verfahren.
EN 12699 (2005). Execution of special geotechnical
works – Displacement piles.
works – Micropiles.
works – Bored piles.
EN 1997-1 (2004). Eurocode 7: Geotechnical
design – Part I: General rules.
Katzenbach, R., Bohn, C., Wehr, J. (2012).
Comparison of the safety concepts for soil
reinforcement methods using concrete columns.
th
19 Colloquium of Geotechnics, Darmstadt.
Meek, J.W. (1996). Das Knicken von
Figure 11. Position imperfection Verpresspfählen mit kleinem Durchmesser in
weichem, bindigem Boden. Bautechnik, vol. 73,
The tolerated axis offset or load eccentricity (Fig. n°3, pp. 162-168.
11) is 10 to 15 cm in EN 1536 and EN 12699, NF P 94-262 (2012). French national application
reduced to 5 cm for micropiles in EN 14199 or in standard for the implementation of Eurocode 7 –
the CSV-guideline. ASIRI recommends values of 5 Deep foundations.
to 10 cm under footings where the load is quite Philipponnat, G., Hubert, B. (2000). Fondations et
concentrated and thus an offset has more ouvrages en terre. Eyrolles, 576 pages.
consequences in terms of bending moments, and Sovinc, I. (1981). Buckling of piles with initial
th
20 cm under large loading areas where the vertical curvature. 10 ICSMFE, Stockholm, Vol. 2.
load can rearrange in the column mesh. Van Weele, A.F. (1999). Pile foundation failure,
An eccentricity on top is much more damaging expensive but instructive. Stuttgarter
than a curvature deep in the soil, because the full Symposium 1999.
lever arm is applied on the top without any possible Vogt, N., Vogt, S., Kellner, C. (2009). Buckling of
role of the attenuating effect of the supporting soil. slender piles in soft soils. Bautechnik Special
An eccentricity of D/8 leads to tension and thus to issue 2009, pp. 98-112.
the break of the very top of the unreinforced Wimmer, H., Ofner, R. (2006).
column. Traglastberechnungen von Mikropfählen in
weichen Böden. Bauingenieur, Vol. 81, pp. 53-
60.
SOIL EROSION CONTROL AND VEGETATION STABILIZATION

USING BIOGENIC BIOPOLYMERS
LUTTE CONTRE LÉROSION DES SOLS ET STABILISATION DE LA
VÉGÉTATION AU MOYEN DE BIOPOLYMÈRES
1 2 3
Ilhan CHANG , Gye-Chun CHO , and J. Carlos SANTAMARINA
1
Korea Institute of Construction Technology (KICT), Goyang, Republic of Korea
2
Korea Advanced Institute of Science and Technology (KAIST), Daejeon, Republic of Korea
3
Georgia Institute of Technology, Atlanta, United States of America
ABSTRACT - The acceleration of global warming is not only inducing rising sea levels and abnormal climate
problems, but also geotechnical hazards such as farmland and coastal erosion, yellow dust, and
desertification. Recently, 30% of Earth’s dry land has been affected by desertification, and approximately 850
million people are suffering due to famine, poverty, and hygiene problems induced by desertification.
Moreover, UNEP warns that tens of millions of people could be driven from their homes by encroaching
deserts, particularly in sub-Saharan Africa and central Asia, in the next 10 years. Global warming and
unsustainable land development are known to be major triggers promoting desertification. New forestry
practices, such as encouraging forests in dry land areas, are simple measures that can remove more carbon
from the atmosphere and prevent the spread of deserts. Numerous global agencies and companies are thus
contributing to anti-desertification movements. However, tree planting alone is not an ideal solution given that
it takes approximately 2~3 years for stabilization. It is thus imperative to develop innovative technology that
can promote vegetation growth and improve soil erosion resistance. In this study, a unique soil treatment and
anti-desertification method is developed using environmentally friendly biogenic biopolymers. Biopolymers
can effectively strengthen soil and improve durability. In particular, anionic-hydrophilic biopolymers delay
water evaporation, thereby retaining a higher soil moisture condition compared to non-treated soil. For
technical verification, series of laboratory investigations (i.e. water erosion test, seed germination and
growth,) were performed by applying target biopolymers to soil specimens. The results indicate that
environmentally-friendly biopolymer treatment is highly effective in improving both vegetation growth (3 times
faster) and soil erosion resistance (less than 2%), compared to a non-treated condition.
1. Introduction absorption behavior which prevents moisture loss

from soil (Cole et al. 2012; Piccolo and Mbagwu
Anthropogenic global warming not only induces sea 1999). Moreover, a previous study indicates that
level rising and abnormal climate problems, but even a small quantity (i.e. 0.5%) of polysaccharide
also geotechnical hazards such as soil erosion and type biopolymer (e.g. beta-glucan) in soil improves
its following desertification (Fig. 1). During the last its strength significantly (Chang and Cho 2012).
four decades, approximately 30% of global Therefore, authors of this study derived an idea
agricultural land (annually 10 million hectares using biopolymers for soil erosion control in the
eroded in average) was lost due to erosion (Yang aims of: i) soil strengthening and ii) soil enrichment
et al. 2003). Recently, the United Nations warns for vegetation growth improvement. Series of
that the loss of arable land accelerates the pace of experimental approaches are performed to
global warning according to the reduction of carbon investigate the proper functions of biopolymers
dioxide fixation in soil (UNEP 2012). against desertification.
Therefore, various efforts are attempted to
reduce soil erosion by enriching nutrient and water
balance in soil, reforestation and so on (Yang et al.
2003). Among anthropogenic soil degradation,
water is the major factor inducing soil erosion,
causing almost 55% of total soil erosion (Bridges
and Oldeman 1999).
Biopolymers are natural polymers produced by
living organisms (e.g. bacteria, microbe) which are
widely used in fields of medical, food, and cosmetic
engineering (Van de Velde and Kiekens 2002).
Generally, hydrophilic biopolymers have possibilities
on soil stabilization according to its high water
Figure 1. Global status of soil erosion (UNEP 2012).
2. Materials and Methods 2.3. Water erosion test
2.1. Biopolymer 2.3.1. Specimen preparation
2.1.1. Beta-1,3/1,6-glucan biopolymer Three different soil conditions for water erosion
simulation were prepared separately as: a) natural
Beta-1,3/1,6-glucan is a biopolymer of D-glucose (non-treated) soil, b) 0.5% β-1,3/1,6-glucan
monomers linked by glycosidic bonds (Bacic et al. biopolymer treated, and c) 0.5% Xanthan gum
2009). Beta-glucan has various formations in nature biopolymer treated. The amount of soil was fixed as
such as cellulose in plants, bran of cereal grains, 2,000 g for all cases.
and cell walls of yeast, fungi, mushrooms, and For water erosion, the angle was set to be 20q
bacteria. using a step incliner. For a single erosion step, 500
A modified liquid type β-1,3/1,6-glucan mL of water was sprinkled (Fig. 2) which simulates
TM
biopolymer product (Polycan ; Glucan Corp., raining on the soil surface. The weight of specimen
Busan, Korea) produced by Aureobasidium was measured before and after raining. Eroded
pullulans SM-2001 is used in this study (Shin et al. slurry was collected and its volume and mass were
TM
2007). The β-1,3/1,6-glucan content of Polycan is measured simultaneously. Slurry was dried in an
8.9 g/L. Thus, the possible maximum content of β- oven to evaluate the absolute amount of eroded
1,3/1,6-glucan in soil becomes 5 g/kg, when 1 kg of solids.
dried soil is mixed with 600 g (i.e. 60 % water
TM
content) of pure Polycan . 2.3.2. Moderate rain simulation.
2.1.2. Xanthan gum To simulate moderate raining condition, the period

between each cycle was controlled to be 48 hrs.
Xanthan gum is an anionic polysaccharide After a single erosion process, the specimens were
composed of D-glucuronic acid, D-mannose, left in room to be naturally dried.
pyruvylated mannose, 6-O-acetyl D-mannose, and
a 1,4-linked glucan (Cadmus et al. 1982). The best 2.3.3. Heavy rain simulation
well known characteristic of Xanthan gum is pseudo To simulate heavy raining, the period between each
plasticity (viscosity degradation depending on cycle was shortened as 10 mins. Other procedures
increase of shear rate). Moreover, Xanthan gum were same as abovementioned.
shows high stability under a wide range of
temperatures and pH (Davidson 1980).
3. Results and Analyses
2.2. Laboratory vegetation test
3.1. Vegetation improvement induced by
2.2.1. Korean residual soil biopolymer treatment
Korean residual soil (i.e. hwangtoh) is used in this The laboratory vegetation test results are shown in
study. Hwangtoh has a mineral constitution (by Fig. 3. Details are summarized in Table 1 and 2.
mass) as: quartz (8.4%), kaolinite (45.8%), Table 1 shows the number of germinated oat seeds
halloysite (22.7%), illite (14.8), and goethite (8.3%). with time, while Table 2 indicates the growth
The natural soil was oven dried at 110°C (ASTM behavior of oat sprouts by measuring their average
2007), and was then grinded (grain size < 75 μm) height.
for testing.
2.2.2. Vegetation (oat) cultivation
A soil tray is prepared for seed sowing. Three

different surface soil conditions are simulated as: a)
natural soil without biopolymers, b) β-1,3/1,6-glucan
biopolymer treated (0.5%) soil, and c) Xanthan gum
treated (0.5%) soil. The initial water content of all
trays was fixed as 60%. After preparing a 35 mm
thick surface soil, 550 oat seeds were spread on
the surface uniformly. The seeds were covered with
soil, and the trays were placed in a greenhouse for
equalized growing environment (e.g. temperature,
humidity, and sunshine).
Same amount of water was supplied to each
tray using a spray gum every day. The number of
germinated seeds and average height of the oat Figure 2. Testing setup (left) and rain simulation
sprouts were also measured, simultaneously. (right) of water erosion tests.
Table 4. Erosion result of heavy rain simulation.

Cumulated ratio of erosion [%]
Soil treatment
1 2 3 4 5 7 9 11 13 15
Non-treated 0.4 1.3 2.6 4.4 7.0 13.8 25.3 38.2 48.1 59.0
Beta-glucan 0 0 0 0 0 0 0 0 0 0
Xanthan gum 0.1 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2
The result of heavy rain simulation is very

interesting. As totally 15 cycles of rain were applied
in 140 mins, the total amount of erosion of non-
treated soil expands to 60%, while β-1,3/1,6-glucan
treated soil shows nearly no erosion (Fig. 4).
For moderate rain simulation, the period
Figure 3. Vegetation growth behavior of biopolymer between cycles was 48 hrs. The drying tendency of
treated soils (Beta-glucan, Xanthan, and non- non-treated soil is faster than biopolymer treated
treated; in order). soil because hydrophilic biopolymers interrupt
moisture loss from soil. Thus, in the case of non-
Table 1. Seed germination result. treated soil, considerable amount of water infiltrates
Number of germination with time (days) into soil at every cycle which diminishes surface
Soil treatment rush off.
0 6 8 10 12 14 16 18 21
Non-treated 0 0 0 20 224 440 500 500 500
However, in the case of heavy raining, erosion
th
accelerates after the 4 cycle. This is induced by
Xanthan gum 0 0 0 240 400 480 510 510 510 the fully saturated condition due to continuous water
Beta-glucan 0 160 320 400 440 520 520 520 520 supply. Meanwhile, biopolymer treated condition
shows higher erosion resistance compared to
Table 2. Vegetation growth result. moderate raining. Water sprinkled on biopolymer
Average height [cm] with time (days) mixed soils suddenly flows down without any
Soil treatment interaction with the soil surface. This indicates that
0 6 8 10 12 14 16 18 21
Non-treated 0 0 0 1.0 2.2 5.5 8.0 9.0 10.5 the biopolymer treated soil has low permeable
Xanthan gum 0 0 0 1.3 3.0 6.3 9.5 10.0 12.0 coats on its surface.
Beta-glucan 0 1.8 3.1 5.0 6.2 9.5 10.7 11.0 12.0
Test results show that biopolymer treatment

stimulates seed germination and vegetation growth
remarkably. Especially, β-1,3/1,6-glucan shows
high performance on vegetation improvement. In
details, seeds on non-treated and Xanthan gum
treated soil germinate at 9~10 days, while seeds on
β-1,3/1,6-glucan soil sprout after 5~6 days.
Moreover, the growth improvement of β-1,3/1,6-
glucan treated soil is 300~400% higher than other
conditions during the initial stage (i.e. until 14 days)
of culturing.
3.2. Soil water erosion resistance improved by

biopolymer treatment
The laboratory water erosion test results are

summarized in Table 3 and 4. Table 3 represents
the cumulated ratio of total erosion compared to the
initial amount (2,000 g) of solid soil. Biopolymer
treated conditions show significant erosion ratio
reduction from 21.2% (non-treated) to less than 2%.
Table 3. Erosion result of moderate rain simulation.

Cumulated ratio of erosion [%]
Soil treatment
1 2 3 4 5 6 7 8 9 10
Non-treated 4.8 5.8 7.7 9.6 11.2 12.5 15.3 17.7 19.7 21.2
Beta-glucan 0.0 0.0 0.0 0.0 0.0 0.0 0.05 0.05 0.1 0.1 Figure 4. Water erosion test results. Comparison
Xanthan gum 0.8 0.9 1.0 1.0 1.0 1.0 1.1 1.2 1.2 1.3 between non-treated and beta-glucan treated soil
Foundation of Korea (NRF) funded by the Ministry

of Education, Science and Technology (Grant
number: 2012R1A1A-2007002) and a grant from a
Strategic Research Project (Erosion resistance
improvement of submerged soil) funded by the
Korea Institute of Construction Technology (KICT).
Moreover, we appreciate Glucan Ltd. (Korea) for
TM
their sponsorship on material (Polycan ) support.
6. References
ASTM. (2007). "Standard test methods for

laboratory determination of water (moisture)
content of soil and rock by mass (D 2216-05)."
Figure 5. SEM image of biopolymer treated soils. Annual book of ASTM Standards, ASTM
International, West Conshohocken, 210-216.
3.3. Microstructure of biopolymer treated soil Bacic, A., Fincher, G. B., and Stone, B. A. (2009).
Chemistry, biochemistry, and biology of (1-3)-
The microstructure of biopolymer treated soil was [beta]-glucans and related polysaccharides,
observed using a scanning electron microscope Academic, Amsterdam.
(SEM). The microstructure shows that biopolymer Bridges, E. M., and Oldeman, L. R. (1999). "Global
matrices enlarge soil voids, which induce better Assessment of Human-Induced Soil
water or nutrient supply to roots and easier root Degradation." Arid Soil Research and
spreads into soil (Fig. 5). Rehabilitation, 13(4), 319-325.
In details, the SEM image of non-treated soil Cadmus, M. C., Jackson, L. K., Burton, K. A.,
(top left of Fig. 5) shows dense soil composition, Plattner, R. D., and Slodki, M. E. (1982).
while biopolymer treated conditions show looser "Biodegradation of Xanthan Gum by Bacillus
particle packing and strong biopolymer matrices Sp." Applied and Environmental Microbiology,
(e.g. bundles). 44(1), 5-11.
Chang, I., and Cho, G. C. (2012). "Strengthening of
Korean residual soil with beta-1,3/1,6-glucan
4. Conclusions biopolymer." Construction and Building Materials,
30, 30-35.
In this study, a unique soil treatment and anti- Cole, D., Ringelberg, D., and Reynolds, C. (2012).
desertification method is suggested using "Small-Scale Mechanical Properties of
environmentally friendly biogenic biopolymers. Biopolymers." Journal of Geotechnical and
Biopolymers can effectively improve the strength Geoenvironmental Engineering, 138(9), 1063-
and durability (i.e. stability) of soil. 1074.
In particular, anionic-hydrophilic biopolymers Davidson, R. L. (1980). Handbook of water-soluble
delay water evaporation, thereby retaining a higher gums and resins, McGraw-Hill, New York.
soil moisture condition compared to non-treated Piccolo, A., and Mbagwu, J. S. C. (1999). "Role of
soil. Moreover, biopolymer matrices in soil enlarge hydrophobic components of soil organic matter
soil voids which provide improved cultural in soil aggregate stability." Soil Science Society
environment for crops. In the aim of erosion of America Journal, 63(6), 1801-1810.
prevention, laboratory water erosion simulation Shin, H. D., Yang, K. J., Park, B. R., Son, C. W.,
results show that environmentally-friendly Jang, H. J., and Ku, S. K. (2007).
biopolymer treatment is highly effective in improving "Antiosteoporotic effect of Polycan, beta-glucan
soil erosion resistance (less than 2%), compared to from Aureobasidium, in ovariectomized
a non-treated condition. osteoporotic mice." Nutrition, 23(11-12), 853-
Therefore, biopolymer treatment can be carefully 860.
concluded as an effective alternative for anti- UNEP. (2012). UNEP Year Book 2012: Emerging
desertification and eroded land recovery (e.g. issues in our global environment, United Nations
revegetation). Further studies are necessary for Environment Programme, Nairobi.
deeper and more theoretical understandings on the Van de Velde, K., and Kiekens, P. (2002).
functional benefits of biopolymer treatment to "Biopolymers: overview of several properties
prevent soil erosion and desertification. and consequences on their applications."
Polymer Testing, 21(4), 433-442.
Yang, D., Kanae, S., Oki, T., Koike, T., and
5. Acknowledgments Musiake, K. (2003). "Global potential soil erosion
with reference to land use and climate changes."
This study was supported by Basic Science Hydrological Processes, 17(14), 2913-2928.
Research Program through the National Research
HIGH-RISE BUILDING FOUNDATION ON FLOATING SOIL-CEMENT COLUMNS
FONDATION DES IMMEUBLES DE GRANDE HAUTEUR SUR COLONNES SOIL-CIMENT

FLOTTANTES
Huu
1
Dao DO1, Minh Hai NGUYEN2
2
Faculty of Bridge and Road Engineering, Da Nang University of Technology, Vietnam
Faculty of Civil Engineering, Thu Dau Mot University, Vietnam
ABSTRACT: During the last decades, the precast concrete and bored pile foundation system installed to
significant toe bearing in dense soils are typically used for high-rise buildings in the Quang Nam province,
Vietnam. Because of the anticipated significant costs of this solution, a more economical alternative
foundation system was essential, and the alternative of the foundation rested on floating soil-cement
columns was proposed for a 5-story hospital building. The soil profile consists of medium dense silty clay into
28 m depth deposited on dense to compact silty sand. Two single columns and one group of 5 columns with
open spaces between columns from 30 through 100 mm, 800 mm in diameter, were constructed using the
wet deep mixing method into 14 m depth to serve for test and design of building foundation. The head-down
tests were performed and the maximum test loads on the single columns and column group were about 400
and 2,000 KN, respectively. The measured maximum movements ranged from about 3.4 through 6.5 mm.
The proposed solution saved about 30 % of cost of original designed foundation supported by 300 mm
square precast concrete piles driving into 30 m depth. Effectiveness of solution is illustrated and discussed
and modeling of soil-cement columns is analyzed by means of the Unified Design Method to response long-
term settlements of building.
1 INTRODUCTION located at a depth of about 1.35 m below the ground

surface.
During the last decades, the deep mixing method is well
SPT N-INDICES
known as one of the cost-effective ground improvement WATER CONTENT (%) GRAIN SIZE DISTRIBUTION (blows/0.3 m)
0 20 40 60 0 20 40 60 80 100 0 5 10 15 20
techniques to reduce settlement and to increase strength + 0.0 m
0 0 0
of soft soil to support embankments, bridge foundations, - 1.35 m GWL
lope stability, vertical excavations, etc. However, using 5 5 5

soil-cement columns for high-rise building foundation to CLAY SILT
10 10 10
replace the precast concrete and bored piles is very SAND
limited. 15 15 15
wP wL wn
This paper presents a foundation solution rested on
DEPTH (m)
DEPTH (m)
DEPTH (m)
floating soil-cement columns to replace the original 20 20 20
designed foundation supported by 300 mm square

25 25 25
precast concrete piles driving into 30 m depth in dense
sand for a 5-story Hospital Building in Quang Nam 30 30 30
province, Vietnam.
To verify that the capacity of the proposed soil-cement 35 35 35
columns is satisfactory, the head-down tests were carried Figure 1. Diagram of water content, grain size distribution,
out on two single columns and one group of 5 columns and SPT N-indices
constructed using the wet deep mixing method, 14 m in
length and 0.8 m in diameter, with open spaces between 3 FOUNDATION ON SOIL-CEMENT COLUMNS
columns of 0.1 m.
The results of the head-down tests on the single soil- Figure 2 shows the foundation lay-out of 5-story hospital
cement columns and column group are provided and building were constructed on a 20 m by 66 m area.
analysis of modeling soil-cement columns is performed to According to the original approved design, the building
response long-term settlements of building. load is transferred into soil versus a foundation system
supported by 300 mm square precast concrete piles
2 SOIL PROFILE driving through 28 m medium dense silty clay into 30 m
depth in dense sand. The foundation system consists of
The soil profile consists of 28 m thick firm clay deposited 62 footprints supported by 5 piles with size of 1.8 m by
on medium dense sand. Figure 1 shows the distribution of 2.5 m, 2 footprints supported by 10 piles with size of 1.8
water content, consistency limits, grain size distribution, m by 10.0 m and 4 footprints supported by 8 piles with
and SPT N-indices. The natural water content ranges size of 1.8 m by 8.0 m. Anticipating significant costs of
from about 25 % through about 40 %. Total saturated this solution, a more economical alternative foundation
density is about 1,760 kg/m3 throughout the firm clay system was essential, and the alternative of the
(from Wn = 37 %). The density of the silty sand below the foundation rested on soil-cement floating columns was
firm clay is 1,920 kg/m3 (from Wn = 24 %). Average of proposed for a 5-story hospital building. With the present
SPT N-indices is about 9 blows/0.3m to 5 m depth, about dimension, checking moment induced by wind load in
2.5 blows/0.3m from 5 m to 28 m depth and more than 10 region indicated the stability building. The remaining
blows/0.3m below this depth. The direct shear test is also problems are the bearing capacity and settlement of
made for clay layer (not shown in Figure 1). The results of foundation. Basing on the DMM Japanese Design
test indicate that the average of undrained shear strength Standard, the design of footprints resting on soil-cements
to 5 m depth is about 19 kPa and below this depth to indicated the proposed foundation solution rested on the
sand layer is about 5 kPa. The groundwater table is floating soil-cement columns, 14m in length and 0.8 m in
diameter, and 55.8% of improvement area ratio within a resistance along the perimeter of the column group
thick compressible clayey as shown in Figure 3. (2.cu.lc.(B + L)) and the toe resistance of the block is
66 m about 6 to 9 times the undrained strength of the soil cu.
Hence, the total bearing capacity of a group of columns
can be written as:
Test Column Group
GÐ
Q groupult group
Ashaft .su (6 o 9)su Atoe
group
GÐ
(2)
B Lhc
20 m
group group
Test Column TC-1 Test Column TC-2 Ashaft ; Atoe B.L
GÐ
Where, B and L are the width and length of the locally

loaded area, and Su is the average shear strength along
GÐ
the assumed rupture surface.

Figure 2. The proposed foundation solution on soil- P
cement columns
3.1 The ultimate bearing capacity of a single column
The ultimate bearing capacity of a single floating column

installed in clay is governed either by the shear strength Rs hc
of the surrounding soil (shear failure) or by the strength of
the column material (column failure). For 1.5 MPa design
strength of the column material for project, the column
failure seems to be not occurring and thus the ultimate Rt h
bearing capacity of a single column depends both on the
Soft Soil
skin friction resistance along the surface of the column
and on the end resistance of soil. The short-term ultimate
Stiff Layer
bearing capacity of a single floating column can be
estimated as (Bergado et al., 1996):
Qult Ashaft.su 9su Atoe Figure 4. Shear failure of column group as a block
(1) The factor 6 refers to a foundation with L > B, whereas

Where Qult is the ultimate bearing capacity of the column the factor 9 can be used for square foundations.
surrounding soil, Ashaft is the column shaft area, Atoe is the
column toe area and Su is the average undrained shear 4 TEST PROGRAMME
strength of the surrounding soft clay.
4.1 Constructing test columns
Ground Surface
0.0 m
To serve for test programme, the two single columns and
one group of 5 columns with open spaces between
columns from 30 through 100 mm, 800 mm in diameter,
were constructed using the wet deep mixing method into
14 m depth by Teno-Colunm Technology. The suitable
water-cement ratio (W/C) required for these test columns
CLAY execution is 1.0. The soil-cement columns cannot be well
300 mm Square created at low water-content ratio, W/C because of
Precast Concrete Piles Soil-Cement hardening effect. On the other hand, at very high water-
Columns, D800
-28.0 m content ratio, water in soils exceeds the requirement for
mixing, leading to bleed and reaching flow state.
SAND
Moreover, the installation rate (penetration and
withdrawal rates) and the speed of wing rotation are
parameters controlling the quality of the soil-cement
A
AC columns.
Ansano et al. (1996) found that the increase of the
shear strength depended mainly on the w/c-ratio. The
reference undrained shear strength varies with soil type,
organic content and with the pH-value of the pore water.
THE ORIGINAL FOUNDATION THE PROPOSED FOUNDATION When the water/cement ratio is 1.2 to 1.5 the expected
unconfined compressive strength is about 1MPa. An
Figure 3. The proposed foundation solution on soil- unconfined compressive strength of 2 to 4 MPa is often
cement columns obtained at a w/c ratio of 1.0. This matter will be
responded in the following field investigation of test
3.2 Column groups column strength.
Similar to single columns, the ultimate bearing capacity of 4.2 Characteristics of column materials
a column group is governed either by the shear strength
of the untreated soil between the columns and the shear The material strength not only plays the important role in
strength of the column material. Possible shear failure of governing the elastic material shortening and stability of
a group of columns is shown in Figure 4. The bearing structure but also is a key factor to differentiate between
capacity of a group of columns arises from the skin pile and column concept in deep mixing construction. To
evaluate characteristics of soil-cement material strength not fully mobilized. For the column toes in soft clay (SPT
of test soil-cement columns, a programme of field N-indices < 3 blows/0.3m) as in the subject case, the
investigation was performed on the two single columns plunging failures of the test columns will occur when the
and two columns in a group of five columns. After just shaft resistances display a capacity condition at quite
completed construction, the coring samples have been small movements within 5 to 10 mm (Nguyen et al.,
taken throughout the length of the test column. The 2013). In addition, as mentioned previously, the
unconfined compressive tests were carried out after 28 investigation attempts of test column materials made is to
days completed construction. The results of test indicate evaluate quality of test columns execution and the elastic
that the unconfined compressive strength of single shortening of column shafts during test. As shown in
columns TC1 and TC2 varies from 2.1 through 5.5 MPa Figure 5, the measured load-movement curve of column
and 1.8 through 4.2 MPa, respectively, while strength of TC1 is stiffer than the column TC2 and column group
columns TC3 and TC4 in a group of five columns ranges because of its material strength more than column TC2
between 1.8 MPa and 5.2 MPa. The average of the and average of two columns in a group of 5 columns.
unconfined compressive strength of single columns TC1, To evaluate capacity of single columns and group from
TC2 and column group is about 3.34 MPa, 2.81 MPa and the measured load-movement curves and theory, the
2.78 Mpa, respectively. These results provide an Chin-Konder extrapolation method has been employed.
important evident for the findings of Ansano et al. (1996) The capacity analysis of the measurements is presented
and for evaluating the elastic shortening and the capacity in Figure 6. As can be seen in Figure 6, the capacity of
of test columns from the measurements. single columns TC1 and TC2 is about 801 kN and 1,182
kN, respectively, while the capacity of 5-column group is
4.3 Head-down tests on columns and Measurements 4,462 kN. Basing on these capacities, the factors of group
effects for column TC1 and TC2 are 1.114 and 0.755,
The head-down tests started on April 5 to 13, 2012, 28 respectively. It is apparent that the estimated capacity of
through 33 days after the single column and 5-column single column TC2 is consistent with column group by a
group constructed. Before testing single columns, the reduction factor of 0.755, a “group efficiency factor”.
column heads have been smoothed by Sika Grout and
covered by a 20-mm sand layer in order to gain the best 0.010
contact surface between the steel plate and the column Column TC2 Y = 0.000845823X + 0.005305492
MOVEMENT/LOAD (mm/kN)
head as shown in Figure 8. Figure 8 also indicates the Qult = 1,182 kN

0.008
preparation of 5-column group test was performed by
means of constructing a reinforcing concrete platform on
0.006
the column heads with 1.8 m by 2.5 m area and in 300-
Y = 0.001248356X + 0.00364725
mm thickness. The unloading-reloading procedures were Qult = 801 kN
performed in two cycles. The details of loading and 0.004 Column TC1
movement measurements are shown in Figure 5.
For first cycle, load was applied to the head of the 0.002
single columns and 5-column group in 4 load increments Y = 0.000224094X + 0.001574805
to a gross load of 200 kN and 1, 000kN, respectively and 5-Column Group Qult = 4,462 kN
0.000
then the columns were unloaded in four decrements. The 0 1 2 3 4 5 6 7
downward movement of single columns TC1, TC2 and 5-
MOVEMENT (mm)
column group at the maximum loads of this loading cycle
was 1.13 mm, 1.34 mm and 2.57 mm, respectively. Figure 6. Estimating capacity of single columns and 5-
After completed the first loading-unloading cycle, the column group by Chin-Kondner Extrapolation Method
second test cycle was carried out on the single columns
and group in 8 load increments to load of 400 kN and As reported in soil profile, the average of undrained
2,000 kN, respectively. The columns were then unloaded shear strength of clay determined by direct shear test to 5
in four decrements. The column head movements at the m depth is about 19 kPa and below this depth to sand
maximum loads were 3.40 mm, 3.58 mm and 6.50 mm, layer is about 5 kPa. Thus, estimating the capacity of
respectively. single columns and column group as proposed in
equation 1 and 2 (Bergado et al., 1996) shows that the
500 2,500 capacity of single column and 5-column group is about
Column Column
TC1 TC2 377 kN and 1,346 kN, respectively. For these capacities,
400 2,000 a factor of group effects established is about 0.714 and
5-Column this factor has a good agreement with a reduction factor
LOAD (kN)
Group
300 1,500 established between column TC2 and column group
above. However, the capacity of single column and group
200 1,000
is underestimated.
5 MODELING TO RESPONE THE LONG-TERM

100 500
SETTLEMENTS
0 0 The back-analysis of single column and a group of five
0 2 4 6 8 0 2 4 6 8 columns was performed by “The Unified Pile Design”
MOVEMENT (mm) MOVEMENT (mm) method (Fellenius 1984; 1988; 2011). The unified pile
Figure5. Load-movement curves of single columns and 5- design approach is the combination of capacity, drag
column group load, settlement, and downdrag. The main tenet of
method includes the sustained working load, the shaft
Figure 5 also shows that the column head load- resistance distribution, and the soil settlement distribution;
movement responses of two single columns and 5- they interact with the neutral plane location, the
column group were essentially linear and have shown no downdrag, and the pile toe load-movement response. For
tendency toward an ultimate resistance. It has become the unconfined compressive strength of floating columns
very clear that the shaft resistances of the columns were is greater than the undrained shear strength of clay about
150 times, they can be regarded as pile and approached
by this method to analyze the capacity and the long-term The acceptable maximum foundation settlement of the
settlement. project in long-term condition is about 80 mm, which is
For analysis of a 5-column group as shown in Figure 3, much larger than the estimated values. Thus, the testing
it is very easy to see that the negative skin friction acting and the design analysis indicate that there is no need for
along the inner column in long-term condition is limited by having the 300 mm square precast concrete piles driving
the weight of the soil; the positive shaft resistance acting through 28 m medium dense silty clay into 30 m depth in
along the inner column in short-term condition is smaller dense sand. Actually, the proposed solution not only
than the soil strength. Therefore, the shaft resistance saved about 30 % of cost of original designed foundation
available to the column group is not the number of piles but also shortened schedule about 20 days.
times the shaft resistance for a single column and the
response of the column group to a load is that of a block 6 SUMMARY AND CONCLUSION
of reinforced soil rather than a number of individual
columns. The shaft resistance acting the outside of the The head-down tests on two single columns and a group
block is small and the response is governed by the effect of 5 columns were performed and confirmed that their
of the load acting at the column toe level. Were the load capacities satisfied the specified values. The field
applied to the group to increase, the downward investigation of the test columns also indicated that the
movement of the block would increase as determined by column material strength ranged from 1.8 MPa through
the conditions of the soil below the column toe level. 5.5 MPa and satisfied with the required strength of 1.5
The back-analysis of single column and a group of 5 MPa. The proposed solution saved about 30 % of cost of
columns is performed by the software UniPile (Goudreault original designed foundation and shortened schedule
and Fellenius 1999) as displayed in Figure 7. The long- about 20 days.
term load distribution in the single column and group is The maximum load tests of single column and group
started from the 0.2 and 1.0 MN sustained load of the was 400 kN and 2,000 kN, respectively. The maximum
column heads, respectively. Assuming that the drag loads measured movements of single columns TC1, TC2 and 5-
accumulated from negative skin friction are fully column group were 3.40 mm, 3.58 mm and 6.50 mm,
mobilized, the maximum loads in the single column and respectively. The measured column head load-movement
group are about 0.6 and 2.7 MN at the neutral planes curves were essentially linear trend and have shown no
about 12 and 13 m depth below the ground surface. The tendency toward an ultimate resistance.
analyzed settlements at the column heads of the single The capacity of single column and 5-column group
column and group are about 30 mm and 28 mm, estimated by Chin-Konder Extrapolation Method are
respectively. 1,182 kN and 4,462 kN, respectively. The reduction group
efficiency factor of Chin-Konder and Bergado et al., 1996
LOAD (MN) SETTLEMENT (mm) is quite good agreement. The capacity for single column
0 1 2 3 4 5 0 10 20 30 40 50 and group calculated basing on Bergado et al., 1996’s
0 0 proposed equations is underestimated.
β = 0.35
Column Single The effective stress analysis indicates the shaft

3 column 3 Group
Group
Column resistances were small and correlated to an effective
stress analysis beta-coefficient of 0.35 and 0.3. The
DEPTH (m)
DEPTH (m)
6 Max. Load 6
Single in Columns
analysis results give a good agreement with the capacity
β = 0.30
Column of column TC2 and group predicted by Chin-Konder

9 9
Toe Extrapolation Method.
Typical Soil
Neutral Penetrations Settlement Back-analysis by the Unified Design method to
12 12
Planes respond the long-term conditions under sustained loads
shows that the settlement at column heads of single
15 15
column and a group of five columns is about 30 and
0 0.0 Single
Column
1.0
28 mm, respectively, which they are much less than
20 Group Column
Single 2.0 Column Toe Load acceptable maximum foundation settlement of 80 mm.
40 Column Column
3.0 - Movement
Group
60 Column Toe Load - Movement 4.0 7 REFERENCES
0 1 2 3 4 5 0 10 20 30 40 50
LOAD (MN) MOVEMENT (mm) Ansano, J., Ban, K., Azuma, K. and Takahashi, K. (1996) Deep
mixing method of soil stabilization using coal ash.
Figure 7. Long-term load distribution and settlement Proceedings of the 2nd International Conference on Ground
profile for single column and 5-column group with same Improvement Geosystems, 14–17 May, IS-Tokyo ’96, Vol. 1,
diameter and length as the test columns. pp. 393–398.
Bergado, D.T., Anderson, L.R., Miura, N., and
Figure 7 also shows the head-down load-distribution Balasubramaniam, A.S. (1996). Soft Ground Improvement in
curves of single column and 5-column group with same Lowland and Other Environment, ASCE Press, New York.
diameter and length as the test columns obtained by an Da Nang University of Technology, 2012. Reports on Soil-
effective stress calculation for ß-coefficient of 0.35 to 5 m cement Column Testing for Dien Ban Hospital Tower, Quang
Nam, Vietnam, 65p.
depth and 0.3 below this depth to the column toes. The Fellenius, B.H., 1984. Negative skin friction and settlement of
effective stress analysis indicates the capacity of single piles. Proceedings of the Second International Seminar, Pile
column and 5-column group is about 1,129 kN and 4,488 Foundations, Nanyang Technological Institute, Singapore, 18
kN, respectively. These analysis results provide a good p.
agreement with the capacity of column TC2 and group Fellenius, B.H., 1988. Unified design of piles and pile groups.
predicted by Chin-Konder Extrapolation Method. Transportation Research Board, Washington, TRB Record
In addition, the column toe load-movement curves are 1169, pp. 75-82.
also presented in Figure 7. When drag loads in the single Fellenius, B.H., 2011. Basics of foundation design, a text book.
columns and group of five columns reach the maximum Revised Electronic Edition, [www.Fellenius.net], 374 p.
Fellenius B.H. and Nguyen H.M., 2013. Large Diameter Long
values, the column toe resistances will be mobilized into Bored Piles in the Mekong Delta. International Journal of
about 0.5 and 2.5 MN and the estimated column toe Geoengineering Case Histories, Volume 2, Issue 3, 196-207.
settlements about 25 and 24 mm, respectively.
Goudreault, P.A. and Fellenius, B.H., 1999. UniPile Version 4.0

for Windows. Users Manual, UniSoft Ltd., Ottawa,
[www.UnisoftLtd.com] 64 p.
Horpibulsuk, S. (2001). Analysis and Assessment of Engineering
Behavior of Cement Stabilized Clays, Ph.D. Dissertation,
Saga University, Saga, Japan.
Nguyen M. H., Nguyen K. T., Phung D. L., and Pham V. N.,
2013. Analysis of Floating Pile Capacity in Improved Ground
for Thi Vai Port, Vietnam. The 18th International Conference
on Soil Mechanics and Geotechnical Engineering, Paris,
France, September 2-6, 2013, 4 p.
GEOTECHNICAL TESTING FOR CERTIFICATION OF LOESS

IMPROVEMENT BY DYNAMIC COMPACTION
ESSAIS GEOTECHNIQUES POUR LA VALIDATION DE L'AMELIORATION DES
LOESS PAR COMPACTAGE DYNAMIQUE
Monica DUMITRU
Technical Construction University of Bucharest, Faculty of Hydraulics, Geotechnical and
Foundation Engineering Department, Bucharest, Romania
ABSTRACT - As development continues, buildings and highways must be constructed over collapsible soils.
Based on experience with behavior of loess in its natural state and after wetting, loess is classified as a
difficult foundation soil, therefore improvement is typically recommended. Settlements associated with
collapsible soils can lead to expensive repairs if not treated in some way prior to construction. Dynamic
Compaction is a semi empirical technique for improving the mechanical properties of soil, developed by
Louis Menard in 1970’s. This technique was used recently in Romania for the treatment of 240,000m2 of
loess. This paper presents the criteria and tests used to certify the improvement of the physical and
mechanical parameters of loess including its porosity, humidity, density, plasticity, additional settlement
index, and structural resistance and deformation modulus.
1. Introduction Russia, USA, Bulgaria, South Africa and others. In

Romania a number of projects have been executed
Loess has a metastable structure. In its natural dry with DC, especially in the early 1980’s. During 2009
phase it behaves as an unsaturated stiff cohesive – 2011 DC was used to improve the soil for the
soil with a rigid skeleton and medium construction of a highway located in southeast of
compressibility. Typically it has a high sensitivity to the country where loess deposits thickness range
water. On contact with water the chemical bonds between 10 to 20 meters.
between particles soften and there are sudden and One of the main advantages of DC is its low
irreversible changes of its physical and mechanical cost compared to other methods. This was
properties resulting in additional settlement, which demonstrated in a 1982 FHWA field test program
may be triggered under construction loads or even which compared vibroflotation, deep mixing, pre-
under overburden pressure. wetting and DC. The latter was proved to be the
Fabric of loess consists mainly of silt (with most cost effective (Terashi and Juran, 2000).
diameter between 0.002 – 0.062mm) loosely Soil improvement by DC is achieved by
arranged with numerous voids and channels. They densification through shear stresses induced by
are bound together by small amounts of cementing high energy blows on the soil surface level. The
agents such as clay and calcium carbonate which blows break the bonds between the loess particles
are water soluble. restructuring them. High energy impacts result from
Collapsible loess deposits have a low plasticity the free fall of a 10 to 30 ton pounder (weight)
index, high porosity (typically over 40% – it can dropping from a predetermined height of 10 to 30m.
reach 60%) and a correspondingly low unit weight The blows are usually applied in a square grid,
3
(γ = 11 – 18kN/m ) especially when large pores are spaced according to the depth of the compressible
formed in the vertical direction. An important layer, depth to groundwater and grain size
parameter determined in laboratory by double distribution. Typically the process is executed in 3
odometer test is the additional settlement index or more phases. The first phases of treatment are
(im300). When loess is collapsible im300 exceeds 2%. executed with high energy in a wider grid to
According to the Romanian Design Normative improve the deeper layers. After each phase the
regarding foundation on collapsible soil, NP 125 – craters are backfilled with in situ soil or selected fill.
2010, loess is classified as collapsible if at least For the compaction of the superficial layers is
one of the physical and the mechanical applied a low energy phase in an overlap grid
characteristics from above are met. called ironing (Terashi and Juran, 2000).
Dynamic Compaction (DC) is a technique widely Applying this method appears to be simple,
used for increasing the bearing capacity and while in reality are involved complex requirements
limiting settlement potential before the execution of in terms of engineering and equipment (Menard
the construction. Initially the technique was used to and Broise, 1975).
improve loose sands, silts and sandy clays. With For certification of DC is required the execution
further development it has also been used to treat of in situ and laboratory geotechnical tests
collapsible loess in different countries including performed before and after treatment, as well as, in
situ measurements of fill volume, enforced

settlement, heave and others.
2. Project description
The analyzed project involves the construction of

22 km highway of 26 meters width, including 26
bridges and 5 interchanges. The construction
requires the execution of embankments up to 11m
height.
Soil profile consists of a loess layer down to
12m which is collapsible for the top 6m. Below this
layer is a red clay with limestone concretions and
thickness of 16 – 18 meters which tops degraded
limestone. Groundwater level has been measured
below 12 meters.
According to the soil characteristics it is required
the soil improvement of the first 6 meters for the
embankments that exceed 5 meters in height.
The solution selected to improve an area of
2
240,000m of loess is Dynamic Compaction.
The purpose for applying DC is:
- to improve the bearing capacity of the soil to
support the embankments
- to reduce differential settlements to
25mm/100m
Figure 1. Average dry density with depth
- to reduce the collapse potential of the loess
Figure 2 shows the porosity of the loess until 6m
For the quality certification of the soil
depth before and after DC.
improvement by DC was undertaken an extensive
program consisting of in situ tests (about 200 CPTs
and 10 SPTs) and laboratory tests (including 45
undisturbed samples). The tests were executed
before and after DC. The results were statistically
processed and interpreted.
This paper concerns one area of the highway
2
covering 43,400m .
3. Criteria established for certification of loess

improvement
In order to consider that loess is no longer

collapsible the following criteria were established
(Manea et al., 2012):
- Decreasing the additional settlement index
im300 < 2%
- Increasing the dry density ρd > 1.6g/cm3
- Reduction of the porosity n < 40%
- Increasing the average odometer modulus
M200-300 at natural moisture and saturation
- Increasing the average cone resistance qc >
2.5MPa
4. Tests performed
Figure 2. Average porosity with depth
The average dry density resulted before and after
DC (Figure 1) is 1.63g/cm3 and 1.75g/cm3 Results a reduction of the average porosity from
respectively. 40% obtained before DC to 35% after DC.
The efficiency of the works (the soil compaction)
was quantified also by the difference of the soil
elevation (enforced settlement) measured before

and after compaction (0.76m) in agreement with the
porosity reduction of about 12.6% for the first 6m.
The tests on undisturbed samples obtained from
the geotechnical borings show an average plasticity
of 20% and moisture of 17%.
To determine the additional settlement and the
structural resistance double, odometer tests on
undisturbed samples were performed.
The average structural resistance before the
improvement is about 130kPa.
The executed double odometer tests show the
reduction of the additional settlement index (im300)
from 2.37% before the improvement to 0% after the
improvement (Figure 3).
Figure 4. Average tip resistance with depth
It is observed an important improvement of the

first 6 meters. The influence of the applied dynamic
compaction reaches 10 meters.
In natural state and moisture, the average
odometer modulus calculated between the load
steps 200 and 300kPa before dynamic compaction
is M200-300before = 11,100kPa and the modulus after
the improvement is M200-300after = 16,000kPa (Figure
5).
Figure 3. Average additional settlement index with

depth
For in-situ verifications were performed cone

penetration tests (CPTs) throughout the site till
depths of approximately 8 – 12m. These soundings
were executed with a mechanical Begemann cone.
Figure 4 shows a comparison of cone resistance
(qc) with depth performed before and after DC. The
results indicate a significantly increase of qc from 1
– 1.5MPa to 2.5 – 3.5MPa.
The improvement based on CPT can be
quantified as following:
- From 0m to -3m: improvement 225%
- From -3m to -6m: improvement 78%
- Below -10m: improvement negligible < 15%
Figure 5. Average odometer modulus at natural

moisture with depth
Figure 6 shows that, at saturation, the improved properties of the soil after DC, a finite
deformation modulus becomes about double after element program was used to verify the stability
DC (M200-300before = 6,300kPa, M200-300after = and deformation of the embankments.
12,000kPa). In addition, to classify the treated soil as non-
collapsible were performed a series of in situ and
laboratory tests. From the tests performed on
natural soil resulted an average additional
settlement index im300 = 2.37% (maximum im300 =
4.72%), average and maximum porosity of 40%
and 46%, average and minimum dry density of
about 1.6 and 1.45 g/cm3 respectively. The average
cone resistance is 1 – 1.5MPa. Based on the above
the loess deposit before improvement is classified
as collapsible.
After the treatment the physical and mechanical
parameters improved:
- The additional settlement is practically
eliminated, average im300 = 0% (< 2%)
- Reduction of average n to 35% (< 40%)
- Increasing of the dry density average ρd =
1.75g/cm3 (>1.6g/cm3)
- The odometer modulus increased for both
natural moisture and saturation conditions
- The average cone resistance qc = 2.5 –
3.5MPa (>2.5MPa)
Therefore, the improved loess deposit can be

certified as non-collapsible and it can be
categorized as good foundation soil.
Figure 6. Average odometer modulus at
saturation with depth
6. References
In addition, a finite element program (Plaxis)
was used to verify the stability of the proposed Manea S., Ciortan R., Tsitsas G., Dumitru M.
embankments and the settlement at their base, with (2012). Verificarea imbunatatirii carateristicilor
input the improved soil properties after DC. geotehnice a pamanturilor sensibile la umezire
According to the Romanian Standard STAS 3300- prin compactare dinamica intensiva.
2/1985 regarding design for direct foundations, for Proceedings, 12th National Romanian
the evaluation of the linear deformation modulus E Conference of Foundation and Geotechnical
based on odometer modulus M200-300 can be applied Engineering, vol. 1, pp. 77-85.
the following formula: Menard L., Broise Y. (1975). Theoretical and
practical aspects of dynamic consolidation.
E = M0 * M200-300 (1) Géotechnique, London U.K., 15(1), pp. 3–18.
Rollins K. M., Kim J. H. U.S. (1994). Experience
The coefficient M0 is established based on the with dynamic compaction of collapsible soils. In-
nature of the soil. For silty clay with Ic = 0.76 – 1.00 situ deep soil improvement. Geotech. Spec.
and e < 0.6 M0 results 2.3. Thus, results the linear Publ. No.45, ASCE, Reston, Va., pp. 26–43.
deformation modulus at natural moisture after DC Romanian Design Normative NP 125, 2010.
Enat = 36,800kPa. For the saturated soil M0 is 1.9, Normativ privind fundarea constructiilor pe
resulting Esat = 22,800kPa after DC. pamanturi sensibile la umezire.
Romanian Standard STAS 3300-2, 1985. Teren de
fundare. Calculul terenului de fundare in cazul
5. Conclusions fundarii directe.
Terashi M., Juran I. (2000). Ground improvement –
Dynamic compaction is a technique that is widely State of the Art. Proceedings, GeoEng2000,
used for ground improvement in different parts of ISSMGE, Melbourne, Australia, vol. I, pp. 461-
the world in the last 40 years. The method is very 519.
attractive from an environmental standpoint as
natural materials are used and is economically
competitive.
This paper presented the criteria and tests used
for the verification of a ground improvement
program for collapsible loess. Based on the
TENSILE AND CREEP BEHAVIOR OF GEOSYNTHETICS USING

CONFINED-ACCELERATED TESTS
COMPORTEMENT EN TRACTION ET EN FLUAGE DES GÉOSYNTHÉTIQUES À
L’AIDE D’ESSAIS ACCÉLÉRÉS EN CONDITIONS CONFINÉES
Fagner Alexandre Nunes de FRANÇA1, Francisco Paulo Basile AVESANI2,
Beatriz de Mello MASSIMINO1, Benedito de Souza BUENO3, Jorge Gabriel ZORNBERG4
1
São Paulo State University, Ilha Solteira, Brazil
2
Themag Engenharia Ltda.
3
University of São Paulo, São Carlos, Brazil
4
University of Texas at Austin, Austin, United States
ABSTRACT – A major aspect in geosynthetics creep analysis is the load level applied to the specimen,
usually referred as a percentage of the geosynthetic ultimate tensile strength (UTS). Since both tensile and
creep standard tests are performed with in-isolation specimens, they may not reproduce the possibly
significant effect of soil-geosynthetic interaction. A new creep testing machine was recently developed and
successfully addressed this concern. However, further developments allowed tensile tests to be performed in
the same conditions used in nonconventional creep ones. This paper presents the results of nonconventional
tensile tests performed with a woven biaxial polyester geogrid. They were used to define its UTS in the same
conditions employed in creep tests performed with the new equipment. Despite changes in tensile curves
shapes were found, the UTS from confined, accelerated and confined-accelerated tensile tests were quite
similar to those obtained with standard tensile test procedure.
1. Introduction nonconventional creep tests were referred as a

percentage of the UTS value obtained in standard
The tensile strength of geosynthetics is considered tensile tests, with in-isolation specimens at room
one of the most important properties of temperature. This may have led to misinterpretation
geosynthetics (Koerner, 2005). Standard tensile of nonconventional creep tests results, since
tests are performed with in-isolation specimens, changes in creep behavior may have occurred due
loaded at a constant rate up to their rupture (ASTM to the variation of the tensile strength of in-soil
D 4595 and ASTM D 6637), while elongation and specimens.
load are computed. Its results are essential to A second version of the loading system was
define the creep load (ASTM D 5262) as a developed (Avesani, 2013). The new loading
percentage of the ultimate tensile strength (UTS). system is operator-independent and allows both
Similarly to tensile tests, creep tests are tensile and creep tests to be conducted in the same
performed with in-isolation specimens. The lack of temperature and soil confinement conditions. As a
soil-geosynthetic interaction and the test duration result, the creep load used in non-conventional
are the two main concerns in geosynthetics creep tests can be referred as a percentage of the UTS
analysis using standard tests. These concerns were value obtained under the same condition.
extensively investigated, but only independently This paper presents preliminary tensile tests
(McGown et al., 1982; Elias et al., 1998; Thornton results performed with both a needle punched
et al., 1998; Zornberg et al., 2004; Bueno et al., nonwoven geotextile and a woven biaxial geogrid,
2005; Jones and Clarke, 2007). In order to address manufactured with polyester fibers and ribs. These
both aspects simultaneously, an innovative creep tests were conducted after performing creep tests
testing routine was recently developed using a new in nonconventional conditions. The geogrid was
piece of equipment (França and Bueno, 2011). subjected to a more comprehensive set of tests,
Thus, simultaneously confined and accelerated including those in confined, accelerated and
creep tests were able to be performed, with any confined-accelerated conditions. In addition, the
combination of temperature and soil confinement geogrid was subjected to conventional tensile tests
condition. As a result, confined, accelerated and in the new equipment. The geotextile, on the other
confined-accelerated creep tests were performed. hand, was only used in preliminary tensile tests.
Despite its proper performance, the need of a
operator-independent loading system was advised.
Moreover, the first version was not able to perform 2. Equipment description
tensile tests in both confined and accelerated
conditions. Consequently, the load level used in The initial purpose of the new equipment was to
conduct confined-accelerated creep tests on
geosynthetic specimens. Soil confinement is 2,5
reproduced by means of a pressurized air bag while 2,0

three electrical resistances located in the lower
Tensile load (kN)

portion of the testing chamber increases the test 1,5
temperature. The initial objective was fully achieved 1,0

(França and Bueno, 2011). Further improvements Load cell 1
provided an operator-independent loading system 0,5 Load cell 2
(Figure 1) (Avesani, 2013; França et al., 2013). This 0,0

also allowed tensile tests to be performed. 0 1 2 3 4 5
Time (minute)
Figure 2. Example of the loading process (first five

minutes of the test) of a confined-accelerated creep
test performed with a woven biaxial geogrid.
The only difference between tensile and creep

tests is the amount of dead weights used in each
test. Tensile tests with the new equipment employ
higher loads since they have to reach the rupture of
the specimens. The amount of dead weight used in
these tests is calculated in order to exceed the UTS
obtained in standard tensile tests. Thus, the tensile
load increases while the steel beam moves
downward up to specimen failure. Conversely,
lower loads are used in creep tests, as the creep
load is a percentage of the UTS from standard
tensile tests. In this case, specimen elongation due
to creep is computed for a certain time.
3. Geosynthetic materials
Two different polyester-based geosynthetic

materials were used in the tests presented in this
Figure 1. Experimental set up used in both creep paper: a biaxial woven geogrid and a nonwoven
and tensile tests. geotextile (Table 1). Both materials were firstly
subjected to standard tensile tests. Then, the
The specimen must be positioned into the upper geogrid was used in both tensile and creep tests
portion of the testing chamber, immediately after with the new equipment in different conditions
the placement of the first soil layer. Two apertures regarding soil confinement and test temperature.
(5 mm wide) in side walls allow the specimens to Afterwards, nonconventional creep tests were
reach the roller grips outside the testing chamber. performed with the nonwoven geotextile. Only
Then, the cover soil layer is placed over the preliminary nonconventional tensile tests have been
specimen, followed by a pressurized air bag and performed so far and are not presented in this
the chamber lid, which is attached to the chamber paper.
walls. In the meanwhile, a thermocouple is inserted
into the soil to measure the temperature nearby the
specimen (test temperature). The specimen is then 4. Creep tests
attached to the roller grips and the assembly is
ready to start the test. Finally, a polystyrene cover The creep behavior of both geosynthetic materials
surrounds the testing chamber to reduce heat loss were investigated by means of conventional and
during tests at elevated temperature. nonconventional creep tests. Conventional tests
After the basic set up of the new equipment, two were performed with standard equipment, as
types of tests can be performed: tensile and creep described in ASTD D 5262, in different load levels.
ones. Both tests use the same loading system. It On the other hand, nonconventional tests were
comprises a steel beam which supports two sets of conducted with the new equipment with specimens
dead weights. They are positioned on both sides of subjected only to 50% of UTS. Different series of
the equipment and connected with steel cables to tests were performed with each geosynthetic
the roller grips. An electrical rotor controls the material, as presented in Table 2.
downward movement of the beam, providing a Creep tests were interpreted according to the
smooth and homogenous loading rate in both sides representation proposed by Zornberg et al. (2004).
of the specimen (Figure 2). The loading rate can be This regards the representation of creep tests
programed by means of an automated controller. results in terms of creep strains versus the
logarithm of the ratio between a given time (ti) and
the time at the end of load application (t0), taken respectively. It indicates a strong relation between
one minute after the start of the loading process. the soil confinement and the creep strains in both
The slope of the linear adjustment is defined as the nonwoven geotextile and the geogrid.
creep index (Tα) and represents the creep strain
5,0
rate of the test. In addition, it was noticed that to Tα = 0,963
any value of t0 greater than that explained earlier 4,0
Tα = 1,363
will result in the same slope.

3,0
Creep strain (%)

Table 1. Tested geosynthetic materials.
Nonwoven Biaxial woven 2,0 Conv 50% - T = 24°C
Characteristic Tα = 0,418
geotextile geogrid A 50% - T = 36°C
1,0 CA 50% - T = 36°C

Manufacturing Needle Tα = 0,107
Woven C 50% - T = 24°C
process punched 0,0
0,0 1,0 2,0 3,0 4,0 5,0 6,0
Predominant Log (t/t0)
Polyester Polyester
polymer 2,0
Conv 50% - T = 24°C
Mass per unit 1 2 Tα = 0,512
263 (6.1%) N/A C 50% - T = 24°C
area (g/m²) 1,5 CA 50% - T = 36°C
Creep strain (%)

Aperture size 2
A 50% - T = 36°C
N/A 35.0
(mm) 1,0
Nominal 1 2 Tα = 0,298 Tα = 0,162

2.8 (5.6%) N/A
thickness (mm) 0,5
3 4
Tested direction XMD MD Tα = 0,033
5 1 1
UTS (kN/m) 14.1 (12.4%) 19.7 (1.9%) 0,0
0,0 1,0 2,0 3,0 4,0 5,0 6,0
Elongation at 1 1
Log (t/t0)
68.1 (9.3%) 9.6 (4.4%)
break (%)
1
Notes: numbers in parentheses correspond to the Figure 3. Creep strains at 50% of UTS:
coefficient of variation computed in each parameter; a) nonwoven geotextile; b) woven biaxial geogrid.
2 3 4
non-applicable; cross-machine direction; machine
5
direction; UTS from standard tensile test according to
ASTM D 4595 and ASTM D 6637. 5. Tensile tests
As previously mentioned, standard tensile tests

Table 2. Creep tests features. were used to define the UTS of each geosynthetic
Creep Biaxial woven Nonwoven material. Then, nonconventional tensile tests were
test type geogrid geotextile conducted with the new equipment in order to verify
1 20-50% of UTS 20-60% of UTS the magnitude of UTS under confined, accelerated
Conv.
1,000 h 1,000 h and confined-accelerated conditions. Moreover,
2 50% of UTS 50% of UTS conventional tensile tests were also performed with
Accel.
114 h / 36°C 112 h / 35°C the new equipment to compare their results with
3 50% of UTS 50% of UTS those from standard tensile tests. Each set of tests
Conf.
116 h / 26°C 160 h / 26°C was performed with five different specimens.
Conf.- 50% of UTS 50% of UTS Nonconventional tensile behavior of the
4
accel. 120 h / 36°C 131 h / 37°C nonwoven geotextile is currently under study.
1 2 3
Notes: conventional test; accelerated test; confined Preliminary results present a slight reduction in UTS
4
test (50 kPa); confined-accelerated test (50 kPa). and a substantial decrease in elongation at break.
However, these conclusions are still under
investigation and further results will be presented in
Figure 3 presents the linear adjustment obtained future publications. On the other hand, the geogrid
in creep tests performed with different geosynthetic was used in a more broad set of tests.
specimens in several conditions. Conventional and confined tensile tests using the
As expected, the test temperature increase geogrid were performed at room temperature, while
produced higher creep strains rates in tests accelerated was conducted at 36 and 48°C.
conducted with both in-isolation and confined Confined-accelerated tests were performed at 36°C
specimens. In addition, the conventional creep tests
only (Table 3).
resulted in greater creep strains in those conducted
Conventional tensile tests performed with the
with higher load levels. Regarding the
new equipment resulted in very similar UTS
nonconventional creep test results, both
compared to that obtained with standard apparatus,
geosynthetic materials creep behavior was highly
notwithstanding the variability of results were
affected by soil confinement. Reductions in creep
expressively higher. In addition, conventional tests
index as high as 88% and 79% were noticed with
with the new equipment led to smaller elongation at
nonwoven geotextile and geogrid specimens,
break values. This aspect is still under investigation.
Table 3. Geogrid tensile test results. 7. Acknowledgments

Elongation at
Tensile test type Load (kN/m) The authors would like to express their gratitude to
break (%)
Conventional 19.7 (1.9%)
1
9.6 (4.4%) the State of São Paulo Research Foundation, to the
Coordination for the Improvement of the Higher
Conventional Education Personnel, to the National Counsel of
19.5 (5.2%) 5.3 (9.0%)
(new equipment) Technological and Scientific Development, the São
2
Confined 21.1 (4.2%) 7.3 (13.0%) Paulo State University, the University of São Paulo
Accelerated (36°C) 18.3 (6.2%) 5.2 (9.4%) and the University of Texas at Austin.
Accelerated (48°C) 18.2 (1.4%) 6.1 (5.1%)
Confined-
2 21.0 (2.0%) 7.1 (14.9%) 8. References
accelerated (36°C)
1
Notes: coefficient of variation are presented in
2
parenthesis; normal stress equal to 50 kPa. Avesani, F.P.B. (2013). Confined and accelerated
creep tests on geosynthetics. MSc. Thesis,
The change in UTS noticed in nonconventional University of Sao Paulo, São Carlos, Brazil (in
tensile tests lay within a strict range (±8% of UTS Portuguese).
from standard test). It indicates that the geogrid Bueno, B.S., Constanzi, M.A. and Zornberg, J.G.
UTS is not significantly affected by both soil (2005). Conventional and Accelerated Creep
confinement and temperature in the tested Tests on Nonwoven Needle-Punched
conditions. However, further tests are predicted, Geotextiles, Geosynthetics International, vol. 12,
once the temperature effect is not in agreement nº6, p. 276-287.
with the technical literature. Moreover, Elias, V., Yuan, Z., Swan Jr., R.W. and Bachus,
improvements in the new equipment are necessary R.C. (1998). Development of Protocols for
to reduce the results variability, which was greater Confined Extension/Creep Testing of
than the one found in standard tests. Besides, Geosynthetics for Highway Applications. FHWA-
elongation at break changes did not present any RD-97-143, McLean.
pattern in the tests performed so far. Thus, further França, F.A.N.; Bueno, B.S. (2011). Creep behavior
improvements are also predicted to address this of geosynthetics using confined-accelerated
aspect. tests, Geosynthetics International, vol. 18, nº5,
pp. 242-254.
França, F.A.N.; Avesani, F.P.B.; Bueno, B.S.;
6. Conclusions Zornberg, J G. (2013). Confined-accelerated
creep tests on geosynthetics. Proceedings.
This paper presented nonconventional tensile and Geosynthetics 2013.
creep tests performed with a nonwoven geotextile Jones, C.J.F.P. and Clarke, D. (2007). The
and a woven biaxial geogrid. The following Residual Strength of Geosynthetic
conclusions are drawn from the present study: Reinforcement Subjected to Accelerated Creep
x Modifications on the new creep testing Testing and Simulated Seismic Events,
equipment allowed tensile test to be performed in Geotextiles and Geomembranes, vol. 25, nº3,
both conventional and nonconventional conditions; pp. 155-169.
x Creep tests conducted with nonwoven Koerner, R.M. (2005). Designing with
geotextile and woven biaxial geogrid showed a Geosynthetics, Prentice Hall, Upper Saddle
significant reduction in creep strains due to soil River.
confinement; Mcgown, A., Andrawes, K.Z. and Kabir, M.H.
x UTS values obtained in conventional tensile (1982). Load-Extension Testing of Geotextiles
tests performed with the new equipment are in Confined in Soil, Proceedings. 2nd International
agreement with those found with the standard Conference on Geosynthetics, vol. 3, pp. 793-
procedure. Conversely, elongation at break did not 798.
follow the same trend. Thornton, J.S., Allen, S.R., Thomas, R.W., and
x UTS found under nonconventional tensile Sandri, D. (1998). The Stepped Isothermal
tests had a slight variation compared to UTS Method for Time-Temperature Superposition
obtained with standard tests using the geogrid. On and its Application to Creep Data on Polyester
the contrary, elongation at break computed in Yarn, Proceedings. 6th International Conference
nonconventional tests was smaller than those found on Geosynthetics, vol. 2, pp. 699-706.
in standard tests. Zornberg, J.G., Byler, B.R. and Knudsen, J.W.
x Further improvements in the new equipment (2004). Creep of Geotextiles Using Time-
are still necessary in order to reduce the variability Temperature Superposition Methods, Journal of
of results and to provide more reliable values of Geotechnical and Geoenvironmental
elongation at break. Engineering, vol. 130, nº11, pp. 1158-1168.
IMPACT OF GEOSYNTHETIC IN SOFT SOIL REINFORCED BY

RIGID INCLUSIONS
IMPACT DU GEOSYNTHETIQUE DANS LE CAS D’UN SOL COMPRESSIBLE
RENFORCE PAR INCLUSION RIGIDES
Romain GIROUT1, Matthieu BLANC1, Luc THOREL1 and Daniel DIAS2

1
LUNAM Université, IFSTTAR, Department GER, Physical Modelling in Geotechnics Group, Route
de Bouaye, CS4, 44344 Bouguenais Cedex, France
2
Université Joseph-Fourier, Grenoble, France
ABSTRACT - The rigid inclusions technique consists in reinforcing a soft soil by rigid vertical inclusions
and in installing a granular mattress on it. To improve this technique, a geosynthetic sheet can be added
between the reinforced soil and the granular mattress. A centrifuge model, based on the mobile tray, has
been tested at 20×g. This device simulates the settlement of a fictive soft soil by the vertical downwards
movement of the tray. This experimental study shows that a thick mattress, a dense inclusion network and a
geosynthetic allow decreasing both the stress on the soft soil (i.e. on the tray) and the differential settlement.
These results are completed by a finite element analysis with a 2D axisymmetric model.
1. Introduction 2. Physical model

The reinforcement of soft soil with rigid inclusion 2.1. Simulation
consists in transferring load towards a network of
inclusions. A granular mattress, where shearing Physical modelling in centrifuge involves
can occur, is set on the soft soil. By membrane applying on a 1/N scale model a g-level equals to
effect (Le Hello and Villard, 2009), a N×g. In order to compare the model to the full
geosynthetic sheet located between the scale structure (prototype) without any scaling
reinforced soft soil and the granular mattress effect, scaling laws (Garnier et al., 2007) are
increases the load transferred towards the used (Table I). The mobile tray device is
inclusions and decreases settlements at the designed for models at scale 1/20.
surface of the mattress. To study the impact on
the load transfer of the granular mattress Table I Scaling factors in centrifuge
thickness H and the pile inter-axis spacing s , an Quantities Unity Prototype Model N×g
experimental programme on a centrifuged small Gravity m/s2 1 N
scale model (Blanc et al. 2013) has been Length m 1 1/N
conducted on a specific device : the mobile tray.
A numerical finite element modelling has been Strain % 1 1
developed to improve the comprehension of the Load kN 1 1/N2
load transfer mechanisms inside the mattress. Stress kPa 1 1
Mattress 3
kN/m 1 1
density
Overload
Weight kg 1 1/N3
Load transfer
Coverage
mechanisms % 1 1
Granular area ratio
mattress H
Arching effect Secant
kN/m 1 1/N
Stiffness
Membrane effect
Rigid
piles 2.2. Mobile tray
a
Soft soil s-a A perforated steel tray located above a network
of maximum 61 piles, can move downward in
order to simulate the settlement ∆ω of a fictive
soft soil (figure 2). The granular mattress, made
Bedrock of Hostun sand, and the geosynthetic are
installed on the tray. Above is put a steel tank
with a latex membrane as bottom. By filling the
Figure 1. Soft soil reinforced with rigid inclusions tank with water during flight a surcharge is
and geosynthetic
mobile tray. The difference between these values

gives the vertical deformation of the tray. ∆ωC -
∆ωP is the differential settlement at the surface
mattress. The parameter E is the ratio between F
and the weight on a cell of the mattress and the
overloading (Hewlett et Randolph 1988).
A – Hoist
B – Membrane
C – Water tank 2.3. Load transfer mattress
D – Granular mattress
E – Mobile tray
F – Rigid inclusions The load transfer platform, that corresponds to a
G – Electric Motor gravel, is simulated by a mix of 5 granular
H - Stand
fractions of Hostun sand (HN38, HN34, HN31,
HN04/08 and HN06/10). The ratio between
diameter of pile head and the maximal size of a
grain should be equal to 25, a way to avoid any
scale effect (Garnier et al., 2007). The maximal
Figure 2 Mobile tray device size of grain in the sand is 1 mm. Moreover, the
mattress model has a uniform and spread
applied on the granular mattress. The coverage grading curve very close to the gravels one.
area ratio α is the ratio of the surface of the pile
head π.a²/4 on a reinforced soft soil elementary 2.4. Geosynthetic
square mesh s² (figure 3). α can be modified by
removing piles (i.e. by increasing the distance s The geosynthetic is a woven fabric made of
between two piles). Therefore α = 4,91 % is propylene fiber. The value of secant stiffness J,
equivalent to s = 100 mm and α = 1,23 % to s = tensile strength Tmax and strain at Tmax are
200 mm (in model scale). respectively equal to 24,5 kN/m, 148 kN/m and
The tray has an internal diameter Ø = 894 19,3 %. For the model, J and T are multiplied by
mm. The pile diameter value is a = 25 mm. The N to obtain the value in the prototype scale
interface between the soft soil (here the mobile (Table I).
tray) and the mattress is symbolised by a sand
layer stuck on the tray (picture on the figure 3). 2.5. Experimental campaign
The instrumentation permits to measure the
average vertical load F deduced from nine The experimental campaign consists in testing
instrumented piles located in the centre of the different values of α (1,23% and 4,91%) and of H
group of piles, the hydraulic overloading q0, the (35 and 90 mm). The main purpose is to identify
settlement at the surface mattress above an the key parameters of this reinforcement
inclusion (∆ωP) and the centre of a cell (∆ωC) by technique. The name of a test, e.g. “H35S100L0”
means that the tests corresponds to H = 35 mm
LVDTs (Figure 3). 2 laser sensors (one under the
and s = 100 mm. The last character is equal to 0
centre of the tray, the other under a point close
in the case without geosynthetic, 1 in the other
to the perimeter) give the displacements of the
case. Each test is organized in three phases :
- a phase of cycles of
increasing/decreasing centrifuge
acceleration to obtain the same initial
condition of the mattress,
- a phase of filling of the tank to apply a
stress qo,
- a phase of downward movement of the
tray.
3. Experimental results
3.1. Without geosynthetic
For high thickness (H = 90 mm), when the mobile

tray goes downward, E increases up to a
plateau. For low thickness (H = 35 mm), E shows
a peak and then decreases to a residual state
(figure 4 (a)). Efficacy is higher for thick mattress
Figure 3 Schematic representation of the mobile (H = 90 mm) and dense network (α = 4,91 %).
tray and a close picture showing glued rough Differential settlement ∆ωC - ∆ωP (Figure 4
sandy interface (b)) increases with the tray displacement. They
*5. *5. to 40 %. It is less than for s = 100 mm. In fact,

*5. *5. load transfer mechanisms are lower. Due to a
*5. *5. higher stress, the geosynthetic strain is higher
*5. *5. and it follows the tray surface. For tests with s =
100 mm, E = 100% is reached for smaller ∆ω for

(a) H = 90 mm (∆ω = 12 mm) than for H = 35 mm
(∆ω = 15 mm). Shear stress is higher for thicker
mattress. Stress on geosynthetic is lower and the
contact with the tray is lost for lower tray
displacement ∆ω.
'HHKEKGPE['

Differential settlement linearly increases with

∆ω until the geosynthetic sheet separates from

'HHKECE[
the tray. Differential settlements are high if H is

low. For s = 200 mm, there is not enough

displacement of the tray in order to observe the
lost of contact with the geosynthetic.

3.3. Reinforcement effect

Without geosynthetic reinforcement, E is lower
Δω
OO than 100 % for the thicknesses used: load is only

(b) partially transmitted inside the mattress towards
piles by arching effect. With geosynthetic, E is

higher for all H and s values used, due to
membrane effect (figure 4 (a)). This additional
load transmitted by geosynthetic increases until it
Δω%Δω2
OO
separates from the tray.

4. Numerical modelling

4.1. Adopted model
A numerical modelling by finite element using an

axisymmetric configuration has been realized. Its

goal is to obtain additional information on load
Δω
OO transfer mechanisms inside the mattress and on
the membrane effect.
Figure 4 (a) Efficacy The elements of the model are a steel pile
(b) Differential settlement and a granular mattress. The pile is 40 mm high.
Its radius is equal to 12.5 mm (figure 5). A
are lower in thicker mattress. In fact, geosynthetic sheet is set at the bottom of the
displacements at the bottom of the mattress are mattress. At the top, an homogeneous
generated by the punching of the pile inside the overloading q0 is applied.
mattress. Sand particles can be rearranged in a To model the centrifuge process, some initial
more freely way inside a thicker mattress. phases have been adopted. First, displacements
Settlements at the mattress surface slightly of geosynthetic are prescribed to 0. Then, we
depend on s. simulate the macro-gravity and after the
surcharge. Finally, the geosynthetic
3.2. With geosynthetic displacements are released. Although
symmetrical cylinder conditions have not been
With a geosynthetic reinforcement between the respected, the square elementary mesh has
pile and the mattress, for the 2 values of H and s, been transformed to a circular area. This circular
E is always increasing with ∆ω. For s = 100 mm, area has the same surface than the square
E increases up to a plateau (E = 100%). This mesh. Its radius is Req = s²/π (figure 5).
residual state is reached for a displacement
value ∆ω which vary versus H. For higher Boundaries conditions, i.e. displacements of
displacement, the geosynthetic sheet is no more nodes on the boundaries of the model, involve
in contact with the tray. All loads are transmitted that horizontal displacement on lateral
towards the piles. For s = 200 mm, E increases boundaries of the model and vertical
linearly without reaching a plateau. The maximal displacement at the toe of the pile are prescribed
efficacy for s = 200 mm and H = 90 mm is equal to 0.
5. Conclusion
The efficacy of load transfer towards inclusions

increases with the thickness H of the mattress
and the coverage area ratio α. For a thin
mattress, stress is maximal near the edge of pile.
Displacements are lower above pile and maximal
at the centre.
6. Acknowledgement

The authors would like to acknowledge Tencate
to provide the geosynthetic. This work is partly
funded by French national project ASIRi
(Amélioration des Sols par Inclusions Rigides), a
cooperative research project managed by IREX
with the financial support of DRI and RGCU.
Their support is gratefully acknowledged.
Figure 5 Numerical modelling
7. Reference
4.2. Materiel modelling
Blanc, M., Rault, G., Thorel, L. and Almeida, M.
The elastic-plastic model Hardening Soil in the 2013. « Centrifuge investigation of load
Plaxis software (Brinkgreve et Vermeer, 2003) is transfer mechanisms in a granular
used to model sand behaviour. This constitutive mattress above a rigid inclusions
model is described by two mechanisms network ». Geotextiles and
(deviatoric and volumetric) with isotropic Geomembranes , vol 36, n°0, pp
hardening. The Hostun sand mix has been
92̂105.
characterized by triaxial tests. These triaxial tests
Brinkgreve, R. B. J., P. A. Vermeer. 2003.
have been realized at the same density than the
« Plaxis v8, manuel de référence ».
granular mattress used during the experimental
DELFT University of Technology &
campaign. Results allowing the calibration of the
Plaxis BV, Pays-Bas.
Hardening Soil constitutive model used.
Garnier, J., C. Gaudin, S. M. Springman, P. J.
Culligan, D. J. Goodings, D. Konig, B. L.
4.3. Final state : stress and displacement
Kutter, R. Phillips, M. F. Randolph, L.
Thorel. 2007. « Catalogue of scaling
Figure 6 shows the vertical stress and the laws and similitude questions in
vertical displacement for a thin mattress (H = 35 geotechnical centrifuge modelling ».
mm). The vertical displacements are the lowest International Journal of Physical
above the pile and are maximal at the centre Modelling in Geotechnics, vol 17, n° 3,
between 2 piles. The vertical displacements are pp 1–24.
homogeneous on the mattress thickness. On Le Hello, B., Villard, P.. 2009. « Embankments
figure 6b is shown the stress between 0 to 200 reinforced by piles and geosynthetics—
kPa. The maximal stresses are spread above the Numerical and experimental studies
inclusion and near the edge of the pile. Stress on dealing with the transfer of load on the
bottom of the model and at the centre between soil embankment ». Engineering
inclusion is relieved by membrane effect.
Geology vol. 106, n° 1-2, pp 78̂91.
Hewlett, W.J,. Randolph, M.F. 1988. « Analysis
of piled embankments ». Ground
Engineering vol. 21 ,n°3, pp. 12-18
Figure 6 Final state H = 35 mm & s = 100 mm

;a) Vertical displacement (b) Vertical stress
NAPHTHALENE DIFFUSION AND SORPTION COEFFICIENTS FOR

CEMENT SOLIDIFIED/STABILIZED MATERIALS
COEFFICIENTS DE DIFFUSION ET DE SORPTION DU NAPHTALÈNE
DANS DES MATÉRIAUX SOLIDIFÉS/STABILISÉS AU CIMENT
1 1
Vincent C. GOREHAM , Craig B. LAKE
1
Department of Civil and Resource Engineering, Dalhousie University, Halifax, Canada
ABSTRACT – This study investigates naphthalene diffusion and sorption parameters for three soil-cement
mixtures. Transient, double-reservoir diffusion tests were used to assess the effective diffusion coefficients
and distribution coefficients for the three mixtures. Batch testing was performed to independently investigate
the distribution coefficient. Effective diffusion coefficients ranged from 1.50×10-10 m2/s to 3.50×10-10 m2/s
depending on the interpretation of the experimental results. Values of the distribution coefficient were found
to range from 1.4 to 2.5 cm3/g.
1. Introduction the effective porosity of the soil-cement [-], De is the

Cement-based solidification/stabilization (S/S) is a effective diffusion coefficient [L2T-1], v is the Darcy
source-control technology that consists of mixing velocity [LT-1], ρd is the dry density of the soil-
cement with contaminated soil and groundwater. cement [ML-3], and Kd is the distribution coefficient
The goal of cement-based S/S treatment is to [M-1L3].
reduce the release, or the rate of release, of In cement-based S/S systems where
contaminants from the cement-treated material to specifications for hydraulic conductivity result in the
the surrounding environment. Since cement-based advective flux being reduced to very low values,
S/S treatment generally doesn’t degrade or destroy diffusion may often control the rate of contaminant
contaminants (ITRC, 2011), successful treatment release (ITRC, 2011; Stegemann and Côté, 1991).
requires that contaminants remain “immobilized” Despite this, there have been few studies
within the cement-treated material. Therefore, to investigating the diffusive properties of cement-
adequately assess the long-term performance of based S/S treated materials. Some researchers
these materials, it is important to be able to (e.g. Hebatpuria et al., 1999; Tiruta-Barna et al.
estimate their contaminant migration properties. To 2006) have used dynamic leaching tests (e.g.
date, the vast majority of research on contaminant ANS/ANSI 16.1, American Nuclear Society, 2003),
migration through cement-based S/S materials has to determine diffusion coefficients for cement-
been focused on measuring, estimating, and based S/S materials. This approach may be
limiting the advective flux. There have been suitable for estimating the amount of contaminant
significantly fewer studies investigating diffusion available for transport, but it is less useful in
and sorption coefficients of these materials. assessing how these contaminants may move
This paper investigates the diffusive and through the cement-treated material.
sorptive properties of dissolved naphthalene The diffusion coefficients determined from these
through three different soil-cement mixtures. leaching tests often vary with time over the duration
of the test, which indicates that diffusion is not the
primary mechanism being measured (Andrés et al.
2. Background 1995). The results may be influenced by other
mechanisms such as dissolution or surface wash-
2.1 Contaminant Transport off (Malviya and Chaudhary, 2006). While a
diffusion coefficient may be determined from this
As discussed by Rowe et al. (2004), the theoretical approach, it is typically a retarded diffusion
equation to calculate transient one-dimensional coefficient, DR, which is a combined measure of
contaminant transport (without decay) through a diffusion, volumetric water content, and sorption.
porous medium such as cement-treated soils, may Although this parameter provides information on
be expressed by Equation 1. the kinetics of leaching, it is generally inappropriate
for use in flux controlled or finite mass boundary
2 conditions and thus its use is often discouraged
∂c ∂ c ∂c ∂c
ne = ne D e − ne v − ρd K d (1) under these conditions (e.g. Rowe et al., 2004).
∂t 2 ∂ ∂t
∂ z z Few studies have examined the contaminant
transport properties of soil-cement mixtures.
Where c is the concentration in the porespace of Goreham et al. (2012) and Goreham and Lake
the soil-cement at depth z and time t [ML-3]; ne is (2013) investigated the diffusive properties (i.e. ne
and De) of tritiated water through laboratory reservoir) while Type 1 ultrapure water (i.e. Milli-Q
prepared, saturated, cured, monolithic, soil-cement water) was placed on the other side (the receptor
specimens. Among the conclusions presented were reservoir). Since there was no hydraulic gradient
that only a fraction of the porosity was available for between the source and receptor reservoirs there
transport of tritium. Fourteen different mixtures was no advective transport during the test.
were investigated and the Values of De were found
to range from 2.5×10-10 m2/s to 7.0×10-10 m2/s and
the values of ne from 0.21 to 0.41. Ratios of
effective porosity to total porosity ranged from 0.54
to 0.86.
3. Experimental Method
Diffusion tests similar to those developed for clayey

soils by Rowe et al. (1988), and discussed for a
number of materials in Rowe et al. (2004) can be
adapted to cement-based S/S materials. This
approach offers a number of benefits over
conventional leaching tests, including allowing a
direct comparison to work performed on other
engineering materials (e.g. compacted clay liners)
and separate (although interdependent)
estimations of diffusive and sorptive parameters.
3.1. Specimen Preparation

Figure 1. Typical diffusion cell.
Soil-cement specimens were prepared in the
laboratory using a mixture of silica sand, kaolinite, The initial naphthalene concentrations in the
water, and Portland cement. These specimens source reservoir ranged from 3.8 mg/L to 5.3 mg/L.
were cast into 69-mm diameter by 30-mm long The source reservoir also had initial concentrations
polyvinylchloride molds. Relative proportions of the of benzene (26.0 to 50.9 mg/L), trichloroethylene
materials used in each mixture are presented in (11.7 mg/L to 47.9 mg/L), and ethylbenzene (10.4
Table 1. Specimens were allowed to cure for a to 49.4 mg/L) but test results for these compounds
minimum of 84 days at 21±2 °C in separate, tightly are reported in Goreham (2013). The
sealed plastic bags. concentrations in each reservoir were monitored as
time progressed. It is acknowledged that chemical
Table 1. Proportions of soil, cement, and water competition may influence the values of De and Kd
used in the three soil-cement mixtures. determined from diffusion and batch testing. The
Total Fraction (by mass) effect of contaminant competition on VOC diffusion
Cementa (%)
is investigated in Goreham (2013).

Mixture
W:Cb
Finite-mass boundary conditions (Rowe et al.,

Cement
Water
Soil
2004) were used to represent the source and

receptor reservoirs. The concentration at any time
in the source reservoir, c(t), may be described
A 15 2.87 0.10 0.63 0.27 mathematically by Equation 2.
B 15 2.37 0.10 0.66 0.24
C 15 1.87 0.10 0.70 0.20 t t
a 1 qc
∫ f (t )dt − ( H )∫ c (t )dt
Cement content as a percentage of dry soil mass. ct (t ) = co − (2)
b t t
Water-to-cement ratio. Hr r
0 0
3.2. Diffusion Apparatus and Modeling Where c0 is the initial concentration of the
source solution [ML-3]; Hr is the height of source
A double reservoir diffusion apparatus (as fluid (volume of source fluid per unit area) [L]; ft(t) is
described by Shackelford, 1991) made of glass the mass flux of contaminant into the soil-cement at
was used to perform the diffusion testing. Previous any time t [ML-2T-1]; and qc is the fluid collected for
studies (Rowe et al., 1995, Lake and Rowe, 2004) sampling per unit area, per unit time [LT-1].
have shown glass to be the most appropriate The concentration in the receptor reservoir, ct(t),
material for diffusion tests using organic may be expressed mathematically by Equation 3.
compounds. A photograph of a typical cell used in
this study is shown in Figure 1.
A reservoir with a known concentration was
placed on one side of the specimen (the source
t
1 qc t shown by Equation 4 (Karickhoff et al., 1979;
Hb ∫0 Hb ∫0
cb (t) = cbo − f b (t )dt − ( ) cb (t)dt (3) Schwarzenbach et al., 2003).
Kd
KOC = (4)
Where cb0 is the initial concentration in the fOC
receptor solution [ML-3]; Hb is the height of the
receptor (volume of receptor fluid per unit area) [L];
and fb(t) is the mass flux of contaminant into the
receptor reservoir at any time t [ML-2T-1].
The experimental data was compared to the
results of theoretical modeling using the 1D
contaminant migration program POLLUTE v6
(Rowe and Booker., 1998). The best-fit parameters
(i.e. De and Kd) were determined from those which
resulted in the lowest root-mean-squared error
when comparing the experimental and theoretical
results.
3.3. Batch Testing
Batch testing was performed in triplicate on

samples of each of the three mixtures. Prior to
testing, specimens were crushed, using a mortar
and pestle, to a maximum size of 2 mm and then
oven-dried to a constant mass at 60°C. The batch
tests had initial naphthalene concentrations of 0.05,
0.1, 0.2, 0.3, 0.6, 1.2, 2.5, and 5.0 mg/L. These
batch tests included benzene, trichloroethylene, Figure 2. Experimental diffusion test results and
and ethylbenzene as co-solutes at ten times the corresponding best-fit model for specimen A1.
naphthalene concentration (i.e. similar to the
diffusion tests).
Table 2. Summary of diffusion test results.
4. Results and Analysis ne from tritium
ne from oven-drying
diffusion testing
Specimen
The diffusion test results were analyzed using two

different assumptions for ne: a) that ne was equal to
De (×1010)
De (×1010)
(cm3/g)
(cm3/g)
(m2/s)
(m2/s)
the ne derived from tritium diffusion tests on the
Kd
Kd
(-)
(-)
ne
ne
same mixtures (Goreham et al., 2012; Goreham

and Lake, 2013), and, b) that ne was equal to the
total porosity determined from oven-drying. Figure
A1 0.34 2.1 3.25 0.48 2.0 2.25
2 shows the results of a typical diffusion test (on
A2 0.34 1.9 3.00 0.48 1.7 2.25
specimen A1) assuming ne was equal to that A3 0.34 2.5 3.25 0.48 2.5 2.25
determined from tritium diffusion testing. B1 0.30 1.5 2.75 0.48 1.5 1.75
On Figure 2, the experimental data (solid B2 0.30 1.6 2.25 0.48 1.6 1.50
circles) and the theoretical best-fit (dashed lines) C1 0.27 2.3 3.50 0.48 2.1 2.75
are presented for both the source reservoir (top) C2 0.27 1.6 3.00 0.48 1.5 2.25
and receptor reservoir (bottom).
The results of naphthalene diffusion testing on
all of the specimens tested are summarized in
Karickhoff et al. (1979) present empirical
Table 2.
correlations to predict Koc values for a particular
Regression of the data obtained from the batch
organic compound based on the octanol-water
test experiments resulted in Kd values of 1.4, 1.7,
partition coefficient, Kow (Equation 5).
and 1.8 cm3/g for mixtures A, B, and C,
respectively. These values are comparable to those
determined from diffusion testing (Table 2). logKOC = logKOW − 0.21 (5)
However, a clear conclusion on the effect of the
initial water content on the values of Kd and De Afshar (2008) measured foc of the materials
cannot be drawn. used to create the specimens discussed herein.
Kd for organic contaminants are often Table 3 summarizes the results of that testing and
normalized with respect to the fraction or organic presents a weighted average for the solids in the
carbon in the soil, foc [-], to produce the organic mixtures used in this study. Assuming log KOW is
carbon-water partition coefficient, Koc [M-1L3] as equal to 3.36 for naphthalene (Schwarzenbach et
al., 2003) and using the weighted average foc
presented in Table 3, the expected value of Kd is selected aromatics in cement-based

1.8 cm3/g. This value is in general agreement with solidification/stabilization under different
the values determined from diffusion and batch leaching tests. Environmental Engineering
testing. Science, vol. 16, n°6, pp. 451-463.
Interstate Technology & Regulatory Council (ITRC).
Table 3. Organic carbon content of materials used (2011). Development of performance
in this study (Afshar, 2008). specifications for solidification/stabilization S/S-1
Material % Organic Carbon [online], available from www.itrcweb.org [cited
Sand 0.031 February 17, 2013]. Interstate Technology &
Kaolinite 0.401 Regulatory Council, Integrated DNAPL Site
Type 10 Portland Cement 0.270 Strategy Team.
Weighted Average 0.127 Karickhoff, S.W., Brown, D.S., and Scott, T.A.
(1979). Sorption of hydrophobic pollutants on
natural sediments. Water Research, vol. 13,
5. Conclusions n°3, pp. 241-248.
Lake, C.B., and Rowe, R.K. (2004). Volatile organic
Results of naphthalene diffusion and sorption compound diffusion and sorption coefficients for
testing on three cement-based S/S mixtures were a needle-punched GCL. Geosynthetics
presented. The effective diffusion coefficient, De, International, vol. 11, n°4, pp. 257-272.
was found to range from 1.50×10-10 m2/s to Malviya, R., and Chaudhary, R. (2006). Leaching
3.50×10-10 m2/s depending on the mixture and the behavior and immobilization of heavy metals in
interpretation of experimental results. Measured solidified/stabilized products. Journal of
values of the distribution coefficient ranged from Hazardous Materials, vol. 137, n°1, pp. 207-217.
1.4 to 2.5 cm3/g. Values of the distribution Rowe, R.K., Booker, J.R., and Fraser, J. (1998).
coefficient determined from diffusion testing, batch POLLUTE v6.3.6- 1D pollutant migration
testing, and based on theoretical estimates based through a non-homogeneous soil. GAEA
on the fraction of organic content were in general Environmental Engineering Ltd., Whitby, ON,
agreement. Canada.
Rowe, R.K., Caers, C.J., and Barone, F. (1988).
Laboratory determination of diffusion and
6. References distribution coefficients through undisturbed
soils. Canadian Geotechnical Journal, vol. 25,
Afshar, G. (2008). Batch test studies of stabilization n°1, pp. 108-118.
and solidification of hydrophobic organic Rowe, R.K., Hrapovic, L., and Kosaric, N. (1995).
contaminants. Master’s Thesis, Department of Diffusion of chloride and dichloromethane
Civil Engineering, Dalhousie University, Halifax, through an HDPE geomembrane. Geosynthetics
Nova Scotia, Canada. International, vol. 2, n°3, pp. 507-536.
American Nuclear Society. 2003. Measurement of Rowe, R.K., Quigley, R.M., Brachman, R.W.I, and
the leachability of solidified low-level radioactive Booker, J.R. (2004). Barrier systems for waste
nd
wastes by a short-term test procedure. disposal facilities, 2 ed. Spon Press, London,
ANSI/ANS 16.1, American Nuclear Society, La U.K.
Grange Park, IL, USA. Schwarzenbach, R.P., Gschwend, P.M., and
Andrés, A., Ortiz, I., Viguri, J.R., and Irabien, A. Imboden, D.M. (2003). Environmental organic
(1995). Long-term behaviour of toxic metals in chemistry, 2nd ed. Wiley-Interscience, Hoboken,
stabilized steel foundry dusts. Journal of New Jersey, USA.
Hazardous Materials, vol. 40, n°1, pp. 31-42. Shackelford, C.D. (1991). Laboratory diffusion
Goreham, V. (2013). Contaminant transport testing for waste disposal – a review. Journal of
through soil-cement materials. Ph.D. Contaminant Hydrology, vol. 7, n°3, pp. 177-
Dissertation (In Preparation), Department of 217.
Civil and Resource Engineering, Dalhousie Stegemann, J.A., and Côté, P.L. (1991).
University, Halifax, NS Canada. Investigation of test methods for solidified waste
Goreham, V., and Lake, C.B. (2013). The influence evaluation – a cooperative program,
of water on diffusion and porosity parameters of EPS3/HA/8. Environment Canada, Ottawa, ON,
soil-cement materials. Accepted for publication Canada.
by the Canadian Geotechnical Journal, Tiruta-Barna, L., Fantozzi-Merle, C., de Brauer, C.,
February, 2013. and Barna, R. (2006). Leaching behaviour of
Goreham, V., Lake, C.B., and Yuet, P.K. (2012). low level organic pollutants contained in
Characterizing porosity and diffusive properties cement-based materials: experimental
of monolithic cement-based solidified/stabilized methodology and modeling approach. Journal of
materials. Geotechnical Testing Journal, vol. 35, Hazardous Materials, vol. 138, n°2, pp. 331-342.
n°4, pp. 529-538.
Hebatpuria, V.M., Arafat, H.A., Bishop, P.L., and
Pinto, N.G. (1999). Leaching behavior of
RESONANCE TESTING OF IN SITU DEEP MIXED SOILS

FREQUENCES DE RESONANCE DES SOLS TRAITES IN SITU PAR SOIL
MIXING
1,2 1 1 2
Antoine GUIMOND-BARRETT , Fabien SZYMKIEWICZ , Alain LE KOUBY , Anne PANTET ,
3 4
Philippe REIFFSTECK , Jean-François MOSSER
1
IFSTTAR, Marne-la-Vallée, France
2
University of Le Havre, Le Havre, France
3
Terrasol, Paris, France
4
Soletanche Bachy, Rueil-Malmaison, France
ABSTRACT - This paper focuses on the use of free-free resonance testing (FFR testing) applied to the
characterization of stabilized silt and sand specimens treated in situ by deep soil mixing. The aim of FFR
testing is to measure the natural frequencies of free vibration of the tested specimen. Compression and
shear wave velocities, seismic moduli and Poisson’s ratio can be determined from these frequencies. Block
samples were taken from soil-cement columns installed at a test site near Paris, France. Specimens were
cored from these blocks and submitted to FFR testing in the laboratory. It was found that both P-wave and
S-wave velocities increase non linearly with unconfined compressive strength. A linear correlation between
strength and dynamic stiffness was observed. Free-free resonance test results can be correlated with index
parameters such as density and porosity and used for preliminary assessments of static stiffness as all
these parameters varied linearly with measured wave velocities.
1. Introduction (c) to explore possible correlations with

strength and static deformation modulus
Deep mixing is a general term for a large number of but also with index properties such as
techniques, in which binding agents are density and porosity.
mechanically dispersed within the soil either in dry
or slurry form using specially designed mixing tools
(Porbaha, 1998). In general, the strength of in situ 2. Experimental Details and Procedures
stabilized soils is evaluated by means of
unconfined compressive strength tests. In addition 2.1 Ground Conditions at the Test Site and
to these tests, non-destructive geophysical Column Installation Procedure
methods may be used. Seismic-based testing
procedures have been utilized to assess the Soil-cement columns were installed by deep
dynamic modulus of laboratory specimens mixing at a test site in Vernouillet (Yvelines),
(Nazarian et al., 1999; Ryden et al., 2006) and offer France, approximately 35 km north-west of Paris
promising perspectives in terms of quality (Guimond-Barrett et al., 2012). A site investigation
assessment and quality control of stabilized soils. was carried out to determine the ground conditions
In order to estimate strength properties based on at the test site. The ground investigation revealed
measured dynamic parameters, empirical relations that the site was covered by a 3 m thick layer of
with unconfined compressive strength are brownish beige silt. Underlaying the silt are old
necessary. One of the main advantages of FFR alluvium deposits of the river Seine which may be
tests is that they can be executed very rapidly on described as dense brownish orange gravelly sand.
specimens of different dimensions. Soil-cement columns were installed down to the
This paper focuses on FFR testing applied to gravely sand layer at a depth of 5 m. Soil mixing
the characterization of soils stabilized in situ by was carried out by the wet method. The binder
deep soil mixing with cement. used was a slag cement (CEM III/C). The cement
The main objectives of the present study are: factors (mass of dry binder per cubic meter of soil)
3
(a) to investigate the use of FFR testing on tested varied between 200 and 400 kg / m . Five
relatively heterogeneous soil specimens of columns were excavated with a 20-ton mechanical
intermediate to high strength obtained from excavator approximately 6 months after
block samples of in situ deep mixing construction to check that the full strength had
columns; been reached.
(b) to determine the wave velocities and The columns were found to be well mixed with
dynamic moduli of the stabilized soils some inhomogeneities visible. The first three
tested; and meters of the columns generally consisted of
treated silt. The lower part of the columns consisted

of stabilized sand down to five meters. Block where Vs is the shear wave velocity, Vp is the
samples were taken from the upper silt and lower compression wave velocity, L is the specimen
sand parts of the five excavated columns for FFR length, fs and fp are the resonant frequencies for
testing in the laboratory and to determine the shear waves and compression waves respectively.
mechanical properties of the soil-mix material. The small-strain seismic compression (E0) and
Cylindrical specimens of approximately 100 by 50 shear (G0) moduli can be calculated from the wave
mm (height to diameter ratio of 2) were cored from velocities knowing the specimen’s mass density (ρ)
these blocks and stored in tap water at 20°C. using the following equations (Nazarian et al.,
1999):
2.2 Testing Procedures
2
E0 = ρ × V p (3)
2.2.1. Free-Free Resonance Testing (FFR testing)
2
G0 = ρ × Vs (4)
(a) (b)
Based on equations (3) and (4), and assuming
homogeneous, isotropic, linear elasticity, the
Poisson’s ratio can be determined from the
computed values of E0 and G0 by the following
relation:
E0
ν= −1 (5)
2G 0
2.2.2. Unconfined Compressive Strength Tests and

Static Deformation Modulus Measurements
After the FFR tests, unconfined compression
tests were performed on the specimens to evaluate
their strength (qu). The tests were conducted in
accordance with standard EN 13286-41 (2003).
Figure 1. FFR testing: (a) set up for longitudinal The longitudinal strains were measured locally in
excitation / recording; (b) set up for flexural the central part of the specimens by three LVDTs
excitation / recording. offset by 120° supported by two rigid rings. The E50
modulus was calculated from the stress-strain
The aim of FFR testing is to measure the curves as the secant modulus at a stress equal to
natural frequency of free vibration of the tested half the maximum strength.
specimen. To perform the free-free resonant
column tests, the compression and flexural signals 3. Experimental Results and Analyses
were measured by two accelerometers.
Method 1: The specimens were subjected to a 3.1. Correlation with Unconfined Compressive
longitudinal (compressive) excitation produced by a Strength
metal ball falling from a constant height guided by a
25
plastic tube on the upper extremity of the
Unconfined compressive
3,01
Sand - Present study y = 4E-07x
2
specimen. The specimens were placed vertically in R = 0,86
strength qu (MPa)
20 Silt - Present study

equilibrium on one of the accelerometers to Clays and peats - Laboratory
measure the resonant frequencies associated with 15
specimens (Ahnberg & Holmen, 2011)
Clay - Laboratory specimens (Yesiller et
compressive wave propagation (Fig 1. (a)). This al, 2000)
Clay and silty sand - Field specimens
was only possible because of the relatively high 10 (Porbaha et al, 2005)
Ahnberg & Holmen (2011)
strength of the tested specimens.
5
Method 2: The specimens were subjected to
flexural excitations produced by the same metal 0
ball falling from a constant height on the lateral 0 1000 2000 3000 4000
surface of the specimen (Fig. 1 (b)). Compression wave velocity Vp (m/s)
The following relationships are used to determine
the shear wave and compression wave velocities Figure 2. Unconfined compressive strength qu
from the resonant column free-free tests: versus compression wave velocity Vp.
Vs = 2 × L × f s (1) For both types of soil, the wave velocities increase

Vp = 2× L × f p (2) with strength (Fig. 2 and 3). The unconfined
compressive strength of the stabilized silt
specimens generally varied between 2 and 5 MPa relations exist between wave propagation velocities
with some specimens of higher strength. The P- and unconfined compressive strength, for strengths
wave and S-wave velocities were between 1800 in the range of 0 to 20 MPa. It appears that power
and 2500 m/s and between 1000 and 1500 m/s law relationships provide a reasonable fit to the
respectively. The dispersion in unconfined data for the stabilized silt and sand specimens
compression strength within the population of silt having strengths greater than 2 MPa. Nevertheless,
specimens can be related to the heterogeneity of the power law relations seem to underestimate the
the initial soil, variations in binder distribution, strength in the lower wave velocity range.
variations in the column execution parameters
(different sets of parameters were tested) and to
the presence of some unmixed soil inclusions. 3.2. Dynamic Moduli and Poisson’s Ratio
25 In the range of strengths tested, both E0 and G0

Unconfined compressive
Silt - Present Study 2,94

y = 3E-06x
2
R = 0,89
increase linearly with strength (Fig. 4). The relation
strength qu (MPa)
20 Sand - Present Study

appears to be valid for both soil types. The
Clay and silty sand - Field specimens
(Porbaha et al, 2005)
Poisson’s ratio is more variable in the silt (Fig. 5). It
15
Kaolin clay - Laboratory specimens (Hird
& Chan, 2005)
appears to be relatively constant for the sand at
10 Ahnberg & Holmen (2011) approximately 0.22.
5 0,4
Poisson's ratio ν 0,35

0 Silt
0 500 1000 1500 2000 2500 0,3 Sand
Shear wave velocity Vs (m/s)
0,25
0,2
Figure 3. Unconfined compressive strength qu
0,15
versus shear wave velocity Vs.
0,1
The specimens of stabilized sand were of higher 0,05
strength. The unconfined compressive strength of
0
most specimens varied between 5 and 20 MPa with
0 5 10 15 20 25
P-wave velocities between 2500 and 3500 m/s and
S-wave velocities between 1500 and 2000 m/s. Compressive strength qu (MPa)
The very high strengths measured for the sand
specimens can largely be attributed to the Figure 5. Poisson’s ratio ν versus unconfined
heterogeneity of the initial alluvial sand layer which compressive strength qu.
contains lenses of gravel that are responsible for
the qu values greater than 15 MPa. These
heterogeneities in the soil were observed during 3.3. Correlation with Density and Porosity
the coring of the block samples.
35000 For both soils tested, P-wave and S-wave
Dynamic modulus (MPa)
E - Silt y = 1231,40x + 4722,3 velocities increase linearly with density (Fig. 6) and
30000 2
G - Silt
R = 0,87 decrease with porosity (Fig. 7). Correlations with
25000 porosity and density are obviously dependant on
E - Sand curing time.
20000
G - Sand
15000 2300
Vp - Silt
10000 Vp - Sand
Density (kg/m )
3
2100 Vs - Silt
5000 y = 435,84x + 1734,9
2 Vs - Sand
R = 0,87
0
1900
0 5 10 15 20 25
Compressive strength qu (MPa)
y = 0,24x + 1324,74
1700 R2 = 0,92
y = 0,38x + 1357,08
Figure 4. Dynamic moduli E0 and G0 versus R2 = 0,87
unconfined compressive strength qu.
1500
0 1000 2000 3000 4000
Data on stabilized soils of similar high strengths
are scarce in the literature. The results from this Wave velocity V (m/s)
study, combined with data from the literature Figure 6. Density versus wave velocity.
(Åhnberg and Holmen, 2011; Porbaha et al., 2005;
Hird and Chan, 2005), clearly show that non linear
60 preliminary assessments of static stiffness as

y = -0,02x + 79,48
all these parameters varied linearly with
50 2
R = 0,90 measured wave velocities.
Porosity (%)
40 5. Acknowledgements
y = -0,03x + 77,58
2
30 R = 0,83
This study was carried out as part of the RUFEX
20 research project.The installation of the soil-cement
Vp - Silt
Vp - Sand
columns was performed by Soletanche Bachy. The
10 Vs - Silt authors would like to thank Sonia Fanelli and
Vs - Sand Franck Guirado of IFSTTAR for their help with the
0 laboratory tests.
0 1000 2000 3000 4000
Wave velocity V (m/s) 6. References
Figure 7. Porosity versus wave velocity. AFNOR EN 13286-41. (2003). Unbound and
hydraulically bound mixtures - Part 41 : test method
for the determination of the compressive strength of
3.4. Relation with Static Deformation Modulus hydraulically bound mixtures.
30000
Vp - Silt Åhnberg, H., Holmen, M. (2011). Assessment of
25000 Vp - Sand stabilised soil strength with geophysical methods.
Vs - Silt Ground Improvement, vol. 164, n° 3, pp. 109-116.
Vs - Sand
20000
E50 (MPa)
Guimond-Barrett, A., Mosser J.-F., Calon, N.,

y = 20,06x - 20176
15000
R2 = 0,93
Reiffsteck, P., Le Kouby, A., Pantet, A. (2012).
Deep mixing for reinforcement of railway platforms
10000 with a spreadable tool. Proceedings of the
y = 11,9x - 19899,9 International Symposium on Recent Research,
5000 R2 = 0,93 Advances & Execution Aspects of Ground
Improvement Works, Brussels, vol. 3, pp.169-179.
0
0 1000 2000 3000 4000
Wave velocity V (m/s) Hird, C.C., Chan, C.M. (2005). Correlation of shear
wave velocity with unconfined compressive
strength of cement-stabilised clay. Proceedings of
Figure 8. Static secant modulus E50 versus wave the International Conference on Deep Mixing Best
velocity. Practice and Recent Advances, Stockholm, vol. 1,
pp. 79-85.
There are few published studies on correlations
between static deformation properties and S-wave Nazarian, S., Yuan, D., Tandon, V. (1999).
and P-wave velocities. Fig. 8 shows that both Structural field testing of flexible pavement layers
compression and shear wave velocities correlate with seismic methods for quality control. Transport
linearly with E50 in the range of stiffness tested. Research Record, n°1654, pp. 50–60.
Again, this correlation appears to be valid for both
soil types tested although larger scatter is clearly Porbaha, A. (1998). State of the art in deep mixing
visible in the results for the silt specimens. This technology: Part I. Basic concepts and Overview.
scatter can probably be attributed to the presence Ground Improvement, vol. 2, n°2, pp. 81-92.
of inclusions of untreated silt in the specimens.
Porbaha, A., Ghaheri, F., Puppala, A.J. (2005). Soil
4. Conclusions cement properties from borehole geophysics
correlated with laboratory tests. Proceedings of the
In this paper, specimens of silt and sand International Conference on Deep Mixing Best
stabilized in situ by deep soil mixing were Practice and Recent Advances, Stockholm, vol. 1,
submitted to free-free resonance testing in the pp. 605-611.
laboratory. The following conclusions can be ȱ
drawn: Ryden, N., Ekdahl, U., Lindh, P. (2006). Quality
- Both P-wave and S-wave velocities increase control of cement stabilised soils using on-
non linearly with strength. A linear correlation destructive seismic tests. Advanced testing of fresh
between strength and dynamic stiffness was cementitious materials, Lecture 34, pp.1–5.
observed. Stuttgart, Germany.
- Free-free resonance test results can be
correlated with index parameters such as
density and porosity but also used for
STABILIZING SLOPES OF SOFT COHESIVE SOIL WITH LIME

COLUMNS
STABILISATION D'UNE PENTE D'ARGILE MOLLE PAR COLONNES DE SOL
TRAITÉES À LA CHAUX
Rana HASSAN1
1
Assistant Lecturer, Zagazig University, Zagazig, Egypt
ABSTRACT – The main purpose of this paper is to study the effect of using piles and lime treatment in
stabilizing the embankments of Al-Salam Canal in Northern Egypt. As a result of the soft nature of the left
side embankment formation, sudden and progressive failures took place over years, in addition to the
existence of gypsum and peat pockets and thin layers within the slope in many locations. Thus, it was
suggested to use reinforced concrete piles to stabilize the left side embankment of the canal. Analysis of the
slope is performed using finite element analysis. Stabilizing the left side embankment with piles was not that
effective in increasing the slope safety factor. Thus, another slope stabilizing technique is studied using lime
treatment. The proposed lime treatment technique was effective in stabilizing the slope more than the slope
stabilizing piles in the zones containing the peat layer.
1. Introduction cohesion ranges from 14 to 23 kPa with peat layer

at approximately the bed level with soil cohesion
Al-Salam canal in Northern Egypt starts at the Nile about 3 kPa. A dense sand layer lies under the soft
river estuary from Damietta and transmits the clay layer at level of about 15 m, (Salem et al.,
excess Nile water into Sinai Peninsula with a length 2012). The soil properties are correlated with data
of about 89.750 km till reaching the Suez canal. It obtained from field investigation, along with data
was constructed to provide Sinai with irrigation presented in (Al-Ashaal et al., 1998).
water to reclaim an extra 620 thousand feddans It was firstly suggested to use a slope
along the canal route as a part of a development stabilization system that consists of two rows of
project of the Sinai Peninsula exploiting the unique reinforced concrete displacement piles, 50 cm in
position of Suez canal in the development of the diameter and 16 m in length. The distance between
region. two pile rows is 2 m, and the center to center
It was decided to widen the canal along with spacing between the piles in a single row is 1.25 m.
improving the capacity and widen the highway in The second row of piles was constructed within a
the canal left side. The slope height and inclination thin cutoff wall constructed of bentonite slurry and
angle of the canal will remain the same after the cement to prevent seepage from and into the canal,
proposed canal widening. The general configuration because of the high salinity of Al-Manzala lake.
of the left embankment of Al-Salam canal is Reinforced concrete connecting beams are
presented in Figure (1). The figure shows the constructed connecting the heads of the slope
typical left side embankment after widening the stabilizing piles and assuring the fixity conditions,
canal cross-section, (Al-Ashaal et al., 1998). (Salem et al., 2012).
Previous analysis of the left side embankment
stabilized with reinforced concrete piles was
performed by (Salem et al., 2012) using the finite
2
element analysis program (Phase , V.8). The failure
criterion used in the slope analysis is Mohr-
Coulomb.
Using the proposed stabilizing system increased
Figure 1. Schematic diagram of al-salam canal the calculated safety factor from about 1.03 which
cross section after widening. the slope is susceptible to failure to 1.25 for a
loaded slope. It should be noted that even after
using the proposed slope stabilizing system the
2. Previous Slope Analysis calculated safety factor has not satisfied the
minimum safety factor required by the Egyptian
The studied case is the left side embankment of Al- Code of Practice, 2001. Moreover, using a single
Salam canal which was originally a formed one. row of stabilizing piles instead of the proposed
The embankment is formed of dredged soft clay, system containing two pile rows resulted in
organic materials, and gypsum pockets and even reducing the safety factor of the slope to (1.20),
layers within the embankment slope. The slope is which comprises only about 5% reduction in that
formed mainly of soft cohesive soil with soil factor. Economically, almost doubling the cost to
gain 5% increase in the safety factor is not feasible, columns of 0.80 m diameter, installed by the dry
especially if both conditions did not achieve the method, with center to center spacing of 2.0 m
code requirements. which is equivalent to 2.5 d, where d is the lime
The presence of the peat layer underneath such column diameter, with a length of about 9.0 m. The
clay slope, at approximately the bed level, presents columns are placed in the active zone of the
a pre-existing sliding surface that reduces the embankment as shown in Figure (2). In the
safety factor into such low values. Although using direction parallel to the waterway, the columns
the stabilizing system has blocked such type of should be overlapped with a distance not less than
failure, but in turn it allows for forming a new failure 7 cm to ensure that the columns act as continuous
surface in front of the newly constructed stabilizing wall which will increase the slope safety factor and
pile rows. The numerical slope analysis reduce the lateral displacement, (Broms, 2003).
emphasizes that the piles have actually divided the
sliding mass into two zones. The relatively large
values of horizontal displacement indicate the weak
nature of such soft clay and peat, which resulted in
such high lateral displacement values under normal
traffic loads.
The calculated embankment settlement due to
traffic load is found to be 23.30 cm. The results
from a full scale loading test performed on the
stabilized embankment showed that the recorded
total settlement at the top of the embankment was
about 18.0 cm, (Youssef and Al-Gayar, 2000). The
differences between the calculated and recorded
settlement values may be due to the relative Figure 2. FEM mesh of the embankment
increase in the soft clay layers stiffness as caused showing the position of lime columns.
by the loading process. Such vertical increase in
soil stiffness in addition to the lateral soft clay The shear strength used in designing columns is
improvement caused by using full displacement pile based on estimating the shear strength after 28
construction technique led to a gradual days of installation. Assuming full interaction
improvement in the soil properties. between the columns and the surrounding
unstabilized soil, the undrained shear strength of
the stabilized soil media is taken equal 100 kPa,
3. Lime treatment of the canal left side (Broms, 2003). Charbit (2009) mentioned that the
embankment Swedish code of practice assumed that the
columns and the surrounding soil are considered
Piles were shown to be less effective in raising the composite material, and the columns are assumed
slope safety factor of soft cohesive slopes to fail in shear. However, several studies showed
containing peat layer as piles are very rigid that failures in bending are more probable, which
elements when compared with the surrounding soft means that the strength of the embankment might
soils, and zones of local failure could be formed be overestimated.
behind or in front of the piles reducing the safety Modeling the left side embankment stabilized
factors even after constructing the stabilizing with lime was performed by the same finite element
2
system. For these reasons stabilizing the slopes program Phase . The calculated slope safety factor
with chemical treatment such as lime columns is after soil improvement using lime columns is equal
proposed herein to stabilize the left side to 1.66. The slope safety factor exceeded the
embankment of Al-Salam canal. This method is recommended value of 1.50, while the slope safety
widely used in Finland, Sweden and Japan due to factor for the embankment stabilized with reinforced
the existence of peat layers and soft soils in wide concrete stabilizing piles was only 1.25.
areas. The method depends on mixing the in-situ The calculated maximum settlement under
soil with lime to stabilize the soft and organic soils. traffic loaded slope stabilized with piles is equal to
Lime columns increase the soil shear strength 23.30 cm, whereas this calculated settlement value
with time due to chemical reaction between the clay is reduced to 8.80 cm when lime columns are used,
particles and the lime. The lime slaking process as shown in Figure (3).
significantly reduces the soil water content in short Figure (4) represents the lateral displacement of
time period. After that the lime begins to react with the embankment improved with lime columns. The
the surrounding clay minerals forming higher maximum horizontal displacement is found to be
strength crystals. This reaction causes an increase 6.90 cm compared with 14.30 cm of the
in the soil shear strength over long time periods embankment stabilized with piles. Although the lime
ranging from 2.0 to 5.0 years, (Broms, 2004: Rao, columns take relatively long time to increase the
2006). soil shear strength, but it is an effective method to
The proposed stabilizing system of Al-Salam left treat the soft clay and organic soil with relatively
side embankment consists of seven rows of lime lower costs compared to the reinforced concrete
piles. In addition, the lime is available and relatively treatment on the safety factors of the stabilized
cheap material in Egypt. slopes. The modeled embankment is 5.0 m height
and formed from soft cohesive soil with soil
cohesion 20 kPa containing 0.50 m thick peat layer
within the slope with soil cohesion about 3 kPa and
followed by dense sand at depth of about 16 m.
Figure (5) represents the effect of using columns
with different lengths on the slope safety factor at
different values of the undrained shear strength of
the columns. The safety factor increased with
increasing the lime column length as a result of
increasing the shear strength of the treated zone.
For soft cohesive soil, the columns should be
extended below the sliding surface with a sufficient
Figure 3. Contour shading of the lime treated distance in order to avoid forming a new sliding
embankment settlement. surface passing below the columns ends. If the
target undrained shear strength of the columns
couldn’t be achieved, cement should be added to
the lime columns. Another solution could be also
carried out by increasing the columns length. An
economical study should be then performed to
choose the most economical solution.
Figure 4. Contour shading of the embankment

horizontal displacement.
Broms (2003) mentioned that several previous

studies showed that the lime columns could
function as vertical drains and succeeded in
reducing the stabilized soil consolidation time. This
action considered an additional stabilizing action.
A critical case would arise when the rapid
drawdown (decreasing the water level in the canal Figure 5. Effect of lime columns length on the
within a short period of time) takes place in the F.S.
canal, and the slope is still saturated with water. To
ensure that the slope is safe and the safety factor For soft cohesive slopes containing peat layer,
remains about 1.50, the water level in the canal the slope safety factor slightly increases with
beside the embankment shouldn't be less than increasing the undrained shear strength of the lime
about 2.00 m. In such case, the process of the columns for column length of about 10 m, as shown
slope widening will not require emptying the in Figure (6). This slight increase in the slope safety
waterway. The rapid drawdown case could be factor may be attributed to the increase of the
avoided by reducing the water level in the waterway whole slope soil strength.
over a longer period of time allowing for
synchronized reduction of the water level in the
waterway with consequent reduction of the water in
the side slopes.
The environmental impact of the lime treatment
should be carefully assessed in such condition
especially the pH value of the groundwater in the
embankment and the nearby water in the canal.
The seepage cutoff wall could function as an
environmental barrier in such case.
4. Factors affecting lime columns
Parameters concerning the lime columns are Figure 6. Effect of the Cu of the slope soil on the
studied herein to highlight the effect of the lime F.S for different Cu,col (Column Length = 10 m).
Figure (7) represents also the previous From previous slope analysis on the very soft
relationship but for columns lengths increased to and soft clay slopes including peat layers through
reach the bottom sand layer, with lengths of about their profiles, the piles are not that effective as a
16 m. it is noticed from Figure (7) the growing rate stabilizing system but chemical soil treatment such
of the slope safety factor with the increase of the as lime columns is considered an effective way to
undrained strength of the lime columns, especially increase the slope safety factor and to increase the
for the slope soil cohesion of 20, 25 kN/m2. shear strength parameters in the endangered
regions. Further laboratory and field tests should
be performed in order to have a better view for
stabilizing the soft soil with lime columns and to
determine the different columns characteristics.
Lime columns should be extended enough
distance under the sliding mass to avoid creating
another sliding surface underneath the columns.
Feasibility study should be performed to determine
the most suitable diameter and column spacing to
be used in stabilizing the soft cohesive slopes,
which assures achieving the minimum required
safety factor.
Figure 7. Effect of the Cu of the slope soil on the 6. REFRENCES

F.S for different Cu,col (Column Length = 16 m).
Al-Ashaal, A. A., Abdel-Motaleb, A.A., Haggag, H.
Installing lime columns of different diameters at A., (1998). Stabilizing embankment made of and
different spacing have been also studied. The founded over weak soil using piles: a case
center to center distance between lime columns in history. Soil Mechanics and Foundations,
a direction that is perpendicular to the canal axe Journal of the Egyptian Geotechnical Society,
ranges from 2.50 to 7 folds of the column diameter. Vol.9.
For all column diameters, the slope safety factor Broms, B. B., (2003). Lectures in deep soil
decreases with the increase of column spacing, as stabilization, design and construction of lime and
presented in Figure (8). At some points, the slope lime/cement columns. Royal Institute of
safety factor that treated with smaller diameter is Technology Stockholm, Sweden.
higher than that of larger diameter at certain column Broms, B. B., (2004). Lime and lime/cement
spacing. This may be due to the change of the columns (Ch 8) - ground improvement. edited by
number of columns used in limited zone of the Moseley M.P. and Kirsch K., Spon Press,
slope. At certain spacing, the number of the Second Edition.
columns is bigger for smaller diameters than that Charbit, B., (2009). Numerical analysis of laterally
for larger diameters for the limited unstabilized zone loaded lime/cement columns. M.Sc, Division of
of the embankment. Soil and Rock Mechanics, Department of Civil
and Architectural Engineering, Royal Institute of
Technology (KTH), Stockholm, Sweden.
Egyptian Code of Practice for Soil Mechanics,
Design and Construction of Foundations,
(2001), Part No. 8, Stability of slopes.
2
PHASE , Version 8.005, (2011). Rocscience Inc.,
Ontario, Canada.
Rao, K. N., (2006). Numerical modeling and
analysis of pile supported embankments. M.Sc.
Thesis, the University of Texas at Arlington.
Salem, T. N., Mashhour, M., Hassan, R., (2012).
Stabilizing piles of soft cohesive slopes: a case
history. Electronical Journal of Geotechnical
Engineering (EGJE), Vol. 17, Bund. Z, pp: 3803
– 3820.
Figure 8. Effect of the (S/D) ratio on the F.S. Youssef, A. M., and Al-Gayar, M. S., (2000).
Technical report of loading embankment results
performed at the left side embankment of Al-
5. Conclusion Salam Canal from km 7.700 to km 7.750.
Faculty of Engineering, Al-Mansoura University.
Based on the analysis made by the finite element
program (Phase2), the following conclusions could
be obtained:
NUMERICAL MODELLING OF JET GROUTING COLUMNS

MODÉLISATION NUMÉRIQUE DE COLONNES DE JET GROUTING
1
Anna JUZWA
1
The Silesian University of Technology, Faculty of Civil Engineering,
Department of Geotechnics, Gliwice, Poland
ABSTRACT – The jet grouting is one of the most popular technology of strengthening subsoil under
infrastructural embankments, foundations of bridges and another heavy structures. In engineering
application columns are calculated similar to piles. The main motivation of the research project, presented in
the paper, is preparing numerical explanation of an interaction between jet-grouting columns and subsoil.
The model is dividing into three zones: jet-grouting columns, subsoil layers and the contact layer, formed
between the columns and the soil massif. The author, for the same subsoil condition, built models for group
of jet grouting columns with different columns diameters, lengths and spacing.
1. Introduction question is how to explain the real conditions of

subsoil strengthening by using jet-grouting
The jet grouting is one of the most popular columns.
technology of strengthening subsoil under In an engineering application columns are
infrastructural embankments, foundations of calculated similar to piles (Juzwa, 2012). The
bridges and another heavy structures. The computational load capacities depend on load
performance of jet grouting columns consists in resistance of soil under the base of column
high-pressure injection to the subsoil of an grout multiplied by surface area of the base and frictional
stream, which cuts and disintegrates the ground resistance along the shaft multiplied by surface
mass, forming after cement binding cement-soil area of shaft. This engineering method of
solid structure (Bzówka, 2003). The column dimensioning of jet grouting columns has empirical
forming starts from drilling - by using a special rod - origin and remains away from soil mechanics and
a borehole to the required depth. After that the present opportunities to create numerical models.
drilling rod is lifted by a rotating – sliding motion. The presented in this paper numerical models of
During this time the soil layers around the borehole two dimensions (presented in Figure 1) are
is cut by a stream of water ejecting under pressure calculated in Z_Soil computational program, which
from nozzles located at the end of rod (in the case is based on the finite element method.
of three nozzles system this effect is increased by
another stream of compressed air). The streams
cuts subsoil, destroys its natural structure and
prepares for mixing with the stream of cement grout
which ejects from the main nozzle under pressure
reaching 80 MPa (usually 30÷50 MPa). The cement
grout penetrates the soil pores and mixing with the
soil particles. The diameter of formed cement–soil
column equals usually 0.6 to 1.5 m and depends on
the soil type and injection parameters (type of jet
grouting system, injection pressure, the water /
cement ratio etc.). Before cement grout binding,
reinforcement may be introduced to the column
(Bzówka and Juzwa, 2012).
Jet grouting columns are characterised by high Figure 1. Model 2D of calculated area
bearing capacity (very high friction on the shaft).
The performance is fast and does not cause The final model should be reflected the system
shocks in the surroundings. settlement and the effort of its material under
changing value of load (Bzówka, 2003; Juzwa,
2012). The computational model should properly
2. Assumptions for calculation describe mechanical parameters of materials, like
different stiffness of soil massif and cement-soil
The main goal of the research project, solid structure, plastic character of deformation
presented in the paper, is preparing the numerical under load action and especially non-linearity of
model that could be illustration of an interaction
between jet-grouting columns and subsoil. The
contact zone. According to (Bzówka, 2003) as typical: sliding support along the vertical side-
computational model should: edge and node fixed support for the bottom edge of
- applying heterogeneous elements of model the model (Figure 1).
(jet grouting columns, subsoil and the contact layer,
existed between the columns and the soil massif)
to particular zones,
- describing adequate constitutive models
expressing elastic-plastic behaviour of the
materials to particular zones,
- using computational method for numerical
solving boundary problems of mechanics of
continuum, e.g. method of finite elements.
The homogeneous materials, reflecting
materials of columns and soil layers, are
considered for numerical model. These zones are
divided by contact layer. An elastic-ideally plastic
material model with boundary condition by
Coulomb-Mohr and not associated flow law is
attributed for each zone.
For soil layers following parameters (checked
due to geological tests, performed on the
experimental site) have been introduced:
Figure 2. The part of excavated column,
- the upper layer of medium sand: modulus of
formed in cohesive soil
elasticity E=55 MPa, Poisson’s ratio ν=0.26,
internal friction angle Φ=31.9° and cohesion c=0;
- the medium layer of clay with organic
particles: E=10 MPa, ν=0.22, Φ=19°, c=9.2 kPa;
- the bottom layer of coarse sand: E=60 MPa,
ν=0.22, Φ=36.5°, c=0;
The value of angle of dilatancy was introduced from
the range of values Ψ = (0.35÷0.40)xΦ.
The material of columns is heterogeneous. The
maximum compressive stress obtained in tests
(Bzówka, 2003; Bzówka 2009) equaled 28 to 34
MPa. The values of modulus of elasticity E and
Poisson’s ratio ν were estimated on the basis of
«stress-strain» characteristic. As input for
computational program the following values of
parameters were taken for columns structure
(Bzówka, 2003): E = 9888 MPa, ν = 0.186, Φ =
59.3° and c = 1772 kPa, for three soil layers.
More difficult problem is evaluation of contact Figure 3. The part of excavated column,
zone range and its parameters. The shape and formed in non-cohesive soil
thickness of this zone depends on the soil type and
injection parameters and can be completely The columns in model are loaded by using
different (Figure 2 and Figure 3). surface loads put on caps of columns with values
For the numerical calculation the solution equal 50÷500 kN/m2 in steps 50 kN/m2. This
proposed by (Bzówka, 2003) 33% reduction of simulation is similar to arrangement of
estimated parameters of columns material (E, ν, Φ, infrastructure embankment’s layers.
c) is taken into account. The thickness around
columns shaft equals 100 mm and under base of
columns equals 200 mm. 3. Results
For the same subsoil condition the author built
models for group of jet grouting columns with For all cases values of displacement and total
different columns diameters (D=600 mm and stress along vertical axis were analyzed and
D=800 mm), lengths (4.0 m and 5.0 m) and compared.
spacing (3.5xD and 5.0xD, where D is column The typical distribution of stress with
diameter). The appropriate dimensions of analysed deformation of model under surface load 300
2
soil massif should equal: 5xD over edge of columns kN/m per every column is shown in Figure 4. The
horizontally and 5xD over length of column highest value of stress is listed in the area around
vertically. The area of defined materials is divided column base. In soil layer located directly below
into four-noded, quadrilateral, isoparametric columns the stress equals:
elements. The boundary conditions are assumed
- for load 100 kN/m2 σ ≈145 kPa for models with

columns L= 4.0 m and σ ≈170 kPa for models
with columns L=5.0 m,
columns L=4.0 m and σ ≈240 kPa for models
with columns L=5.0 m,
columns L=4.0 m and σ ≈320 kPa for models
with columns L=5.0 m.
The results are shown on graphs in Figure 5.
Based on presented comparison of results it can be
said that stress does not depends on columns c) column outside group L=5.0 m
spacing and location (below inside or outside
columns) but depends only on diameter (for higher
diameters there are obtained higher values of
vertical stresses).
d) column inside group L=5.0 m
Figure 5. Total vertical stress distribution in soil

massif below columns bases
Figure 4. The part of model with vertical stress The settlement, measured on columns bases,
distribution under surface load 300 kN/m2 - are depended on every factor (Figure 7). The
columns D=800 mm,, spacing 5.0D obtains values are strongly different and graph is
similar to straight line. The smallest value is for
smaller diameter of columns and bigger spacing.
The settlement has much higher value for base of
middle column. The settlement are 10% smaller for
longer columns. The typical distribution of
settlement is shown on map in Figure 6.
a) column outside group L=4.0 m
Figure 6. Total displacement with deformation and

boundaries of material zones (surface load 300
kN/m2 - columns D=800 mm,, spacing 5.0D)
b) column inside group L=4.0 m

4. Conclusions
The calculated models are typical for

engineering practice. The presented results shown,
that the highest displacement is in the center of
columns group and this zone of soil massif is
threatened by soil plasticity.
The main idea of the research is preparation of
computational models of the real conditions of
subsoil strengthening by using jet grouting
technology and numerical description of the
interaction between group of columns and soil
massif. Presented model will reflect the essence of
a) column outside group L=4.0 m jet grouting technology, and the results will be
checked with in situ tests in the nearer future. The
results will allow to introduce numerical techniques
into engineering applications of dimensioning of jet
grouting columns.
The special research will be carried out for
checking the range and parameters of the contact
layer between the columns and soil massif. Some
geological tests and probing are planned.
5. References
Bzówka J. (2003): Calibration of three-zone model

of jet grouting pile-soil system. In: Studia
Geotechnica et Mechanica Vol. XXV, No. 3-4,
b) column inside group L=4.0 m pp. 3-51
Bzówka J. (2009): Interaction of jet grouting
columns with subsoil. Monograph. Gliwice (in
Polish)
Bzówka J., Juzwa A. (2012): Selected problems of
motorway embankments founded on weak
subsoil. Proceedings 12th Baltic Sea
Geotechnical Conference, Rostock (Germany),
31.05-02.06.2012
Juzwa A. (2012): Subsoil strengthening by using
jet-grouting technology. Proceedings FIB
International PhD Symposium in Civil
Engineering, Karlsruhe Institute of Technology
(Germany), 22-25.07.2012, p.
c) column outside group L=5.0 m
ACKNOWLEDGEMENT
The Author Anna Juzwa received a grant of the
DoktoRIS project – a scholarship program for
innovative Silesia region co−financed by the
European Union of the European Social Fund.
d) column inside group L=5.0 m
Figure 7. Total settlements of columns bases.

NEW EVALUATION METHODS FOR GROUTS

NOUVELLES METHODES DE CARACTERISATION DES COULIS D’INJECTION
1
Adrian KAINRATH
1
Vienna University of Technology, Institute of Geotechnics, Karlsplatz 13/220-2, 1040 Wien,
Austria, adrian.kainrath@tuwien.ac.at
ABSTRACT – In the scope of a research project testing methods for grouting materials are investigated at
Vienna University of Technology. Based on extensive laboratory testing of cement-based grouts new
laboratory tests and quality criteria have been developed with the objective to improve the state of the art of
quality assurance. The new methods comprise the most important values such as viscosity, yield value, initial
set, and gelation time. Based on these new methods general investigations on cement-based grouts were
undertaken to improve the understanding of the rheological and mechanical behavior of different grouting
materials. The results of investigations and in particular the developed laboratory tests will be presented and
discussed in the paper.
1. Introduction physical properties of grouts taking into account the

respective application.
Grouting is an old and well established method to
improve the quality, permeability and stability of the
soil. In particular, penetration grouting is used to 3. Physical properties and test methods for
penetrate high permeable soils (gravels, alluvial, cement-based grouts
jointed rock), without destroying the initial structure
of the soil. With pressures up to 15 bar, practically Grouting materials, especially the often used
no deformation or fracturing occurs, only the voids portland cement-based grouts spread over a big
are filled with grout. In comparison to other variety of different cements and admixtures. The
construction methods, much less energy and standards (e.g. EN 196) provide general rules for
material is needed resulting in lower building costs the ingredients of standard cement to ensure the
and a smaller ecological footprint compared to quality and compression strength for the product
other construction methods. but all the standard test procedures and technical
The big disadvantage of this method is the lack information refer to a low water-cement ratio. For
of knowledge concerning the testing methods for penetration grouting only high mobility grouts with
grout and grouted soils. The common testing w/c-ratios above 0.7 are used, thus, the physical
methods used in practice do not provide the properties of the grout (rheological behavior,
accuracy and reliability needed. In a funded joint hardening time, strength, etc.) can change
scientific research project, new testing methods for significantly. Even the same type of standard
grouts and grouted soils are developed at the cement produced by different manufacturer can
Technical University of Vienna. This paper have completely different physical and rheological
describes the development of new testing methods properties.
for cement based grout mixtures. Cement-based grouts usually consist of fine
solid particles (cement and some clay for
stabilizing) agitated in water. Those particles tend to
2. State of the art sink due to gravity. The amount, fineness and
capillarity of the dispersed solids significantly
The choice of the most appropriate grouting influence the rheology. The size and capillarity
material and the concept for a specific construction forces in-between those particles cause a kind of
is generally the task of the contractor. In the tender inner cohesion (yield stress). Both the amount and
the client only defines the objectives and properties also the size and the ratio to water influence the
of the grouted soils to be gained (e.g. compressive viscosity of the grout. The rheological properties of
strength, permeability or residual water volumes). cement-based grouts massively govern the flow
There are no general specifications or standards behavior, penetration rate and range. Rheology
regulating the amount and the specific procedure of distinguishes generally between Newtonian and
tests to determine the physical properties of grouts. Non-Newtonian fluids. Water is a typical Newtonian
The existing standards and testing methods for fluid. Cement-based grouts belong to the group of
grouts are mostly derived from other disciplines like pseudoplastic fluids, however sometimes they are
concrete technology. Grout testing methods in simplified and described as Bingham fluids.
standards do not provide proper definitions of Figure 1 shows the flow behavior of different fluids.
dimensions of the vane by formula 1, H is the height

and D the diameter of the vane.
Figure 1. Flow behavior of fluids vane dimension:

D = 40 mm
H = 60 mm
3.1. Physical meaning of the Yield Stress and
their importance to the grouting process
To initiate flow fluids with a yield stress like cement-

based grouts must overcome a specific stress level. Figure 2. Ball harp Figure 3. Viscometer with
Beneath this stress level, the grout behaves like a shear vane
solid, beyond like a fluid. For the flow behavior of
Figure 4 shows a typical shear stress against
the grout in the pore and joint system, the yield
time plot for two different admixtures. The peak
stress governs the propagation performance and
stress is the force to overcome the yield stress, i.e.
limits the minimum joint gap spacing for
the change between solid and fluid behavior. With
penetration. A higher yield stress generally reduces
this method the yield stress of thin grouting
the grout range and the penetration rate.
mixtures and the influence of different admixtures
Consequently the knowledge of the yield stress is
(stabilizers, plasticizers etc.) can be evaluated in an
one of the most important factors for grouting. In
easy and accurate way.
practice the yield stress is mostly determined with
the ball harp (Figure 2) by dipping 10 different glass
or steel balls into the grout. At given density, each
ball is assigned to a specific yield stress. The yield
stress of the grout is between the yield stress of the
ball which is still swimming and the ball which is just
disappearing into the grout. For high yield stress
levels and for slurries this method is feasible but for
low mobility grouts with low yield stress level this
method does not provide the accuracy and validity
needed. In particular, the bleed behavior of the
grouts distorts the results of the measurements
massively. To measure the yield stress under site
conditions during construction with sufficient Figure 4. Determination of the yield stress with the
accuracy a new testing method is needed. shear vane method
3.2 A new test method to determine the yield In the scope of developing and testing the new
stress method on grouts a large number of typical grouting
cements was investigated. Figure 5 shows the yield
At the Institute of Geotechnics a new approach stress of different ordinary cement grouts. There is
from the food industry was adapted for testing the a big variety in the yield stress between different
yield stress of grouts. The high measuring accuracy ordinary cement types. The grinding fineness and
of a viscometer was used to measure the phase the cement type, depending on the additives such
change from solid to flux in the fluid. Therefore a as blast furnace, have a big influence on the yield
special shear vane is attached to a computer- stress of the grout.
controlled viscometer (Figure 3) with automatic data
recording.
2M (1)
W
ª D º
S D H «1
2
¬ 3 H »¼
The shear vane, attached to the viscometer is

rotated at very low speed (0.02 rpm) and the
torque must be recorded at a high data recording
rate. The applied shear stress on the fluid can be
calculated from the torque M with the geometric Figure 5. Yield stress for typical grouting mixtures
3.3 Viscosity viscosity measurements came up. The first option

was to fit the curve to a constitutive law (e.g.
Viscosity quantifies the inner resistance of fluids to Bingham, Herschel-Bulkley, Casson, etc.). This
flow. For grouting application the viscosity gives an option was rejected because the aim was to find
indication about the ability of grouts to penetrate criteria for use in practice and a good curve fitting
into fine pores and joints. The viscosity can be can only be done by hand. The second option
idealized as a fluid trapped between two horizontal chosen was to analyze all viscosity curves from
plates. The lower plate is fixed while the upper plate typical mixtures and look for the most
is moving with velocity v. The velocity distribution in representative parts. According to the studies the
the fluid is linear. The gradient of the speed most distinct significance was at a shear rate
-1
distribution is the shear rate, which is only constant between 2 and 25 s . During grouting the shear
for Newtonian fluids. The force F to move the plate rates applied on the grout are also around these
is proportional to the velocity v, the area of the plate shear rates. Thus, the average viscosity K’LS from
and inverse proportional to the distance of the this “low shear zone” was used as the main
plates h. The viscosity η consequently is defined as evaluation criteria to describe the physical
proportionality factor. properties and the difference between the grout
mixtures. To complete the evaluation criteria, the
average viscosity from a “high shear zone” K’HS was
Av added, which was at a shear rate between 100 and
F ~ K -1
h 500 s . Because of the shear thinning behavior of
the grouts this value is not that meaningful but it
dv . can be compared with the often used Bingham
W K K J viscosity. Figure 8 shows this simple but very
dy
effective concept for evaluation and quality
assurance of grouts.
Figure 6. Definition of viscosity
The viscosity of Non-Newtonian fluids in

particular cement-based grouts depends on the
shear stress applied to the fluid. Therefore, there is
no single value for the viscosity of this type of fluids.
The so called apparent viscosity always must be
related to the applied shear rate. The simplest and
most suitable method for rugged construction site
conditions is to measure the viscosity by rotational
viscometers with coaxial cylinders (Figure 7). Those
instruments measure the torque required to rotate
the standardized cylinder in a fluid under given
geometric conditions.
Figure 8. Classification for grout mixtures
3.4. Evaluation of the marsh funnel as a

rheological instrument
The marsh funnel is a very popular and simple tool

to measure the “viscosity” of drilling fluids and
grouts. There are a lot of different funnels in use,
every type has its own dimensions and the results
are not comparable. This instrument is very
important for the grouting industry because the
grout selection, quality assurance, and ultimately
Figure 7. Viscometer system principle
the grouting success are based on this value. Along
with the viscometer tests and the evaluation criteria
To gather the rheological behavior of the grout,
developed at the Technical University of Vienna the
and distinguish between different mixtures the
results from the viscometer tests were compared
viscosity must be measured within a wider range of
with Marsh time efflux values. Figure 9 shows that
shear rates. Figure 8 shows typical viscosity curves
there is no correlation between the viscosity and the
for different grout mixtures.
marsh time efflux. The yield stress and the
Over 120 viscometer tests were done on typical
impreciseness of the test, as well as side friction
grout mixtures to investigate the influence of test
and density exert a bigger influence on the efflux
procedure, admixtures, and additives on the
time than the viscosity itself.
rheology of the grout. By comparing the viscosity
curves from the measurement data, the need for a
simple but representative evaluation method for
short enough to ensure that the structure of the

hardening grout is not disturbed. The automatic
data record provides a peak shear stress for every
sharing interval from which the shear stress
development over time can be interpolated. The
time when the grout reaches 100 Pa is defined as
initial setting (Figure12).
Figure 9. Evaluation of the Marsh time efflux
3.5 Determination of initial set for grouts
The initial set time of cement-based grouts

determines the processing time and the beginning
of the hardening process. The control of the set
time can be eligible to prevent the grout from
running off or washing out when injecting under
water. The value does not exhibit a precise physical
property. It is the time when the grout becomes a
non-reversible inner “cohesion” (Figure 11). For Figure 12. Determination of the initial set for three
concrete and mortar the initial set is determined by different mixtures
the penetration of a needle (Vicat needle). For
grouts at high w/c-ratios the needle penetration
method does not work properly and therefor it is not 4. Conclusions
a representative and practical method to determine
the time of the initial set. The right choice of the grout for a particular project
is essential to the achievement of the grouting
objectives. This can only be achieved by accurate
and suitable testing procedures. In the scope of a
funded research project new testing methods for
the practical applications have been developed.
The new testing methods provide comparable and
accurate values for the most important parameters
of grouts. In particular, the viscosity measurement,
compared with classification provides a simple but
effective method to describe the rheological
behavior of grouts. With this method the differences
in admixtures, fineness of the cement, and the
Figure 10. Figure 11. Formation of influence of additives can be evaluated. The
Determination of the cohesion after initial presented methods provide the basis for a
initial setting setting correlation of empirical gained experiences with
measured values.
Based on the experience from yield stress tests
with the shear vane a new testing procedure was
developed to determine the setting time of cement- 5. Acknowledgement
based grouts. The test procedure developed at the
Institute of Geotechnics uses the characteristics of This research project is funded by the Austrian
grouts that the shear strength (cohesion) increases Research Promotion Agency – FFG and ZÜBLIN
with time. For measuring the increase of cohesion, Spezialtiefbau Ges.m.b.H. The author would like to
it is important that the structure of the gel is not thank the whole project group for the close
disturbed during the measurement. Figure 10 collaboration.
shows the principles of the testing procedure. A
shear vane is rotated in the grout at a speed of
0.001 rpm for intervals of only 10 seconds each. 6. References
Between the shearing intervals the grout can rest.
Depending on the expected setting time the resting Kainrath A., Krenn H., Adam D., (2012). Die
time is chosen between 600 and 1800 seconds. Injektionstechnik auf dem
The recorded torque is converted by Equation 1 into Prüfstand, 2 Symposium Baugrundverbesserung
a shear stress. The short shearing interval is long in der Geotechnik, pp. 295-312.
enough to measure the cohesion of the grout and
APPLICATION OF FLY ASH IN GROUND IMPROVEMENT

TECHNIQUES
L'UTILISATION DE LA CENDRE VOLANTE DANS LES TECHNIQUES DE

RENFORCEMENT DU SOL
1
Karolina KNAPIK
1
The Silesian University of Technology, Gliwice, Poland
ABSTRACT - Formation of fly ashes is related to hard and lignite coal combustion in power plants and
CHPs. In Poland their annual production reaches 4 million tonnes a year. As this material has also good
physical and mechanical properties it may be used to strengthen the subsoil as an additive or a substitute of
commonly used cement. With progressing expansion of land transport network the amount of land with
favourable soil–water conditions diminishes. Because of mass volumes of materials intended for subsoil
strengthening it is necessary to strive for reduction of the cost of manufacture.
1. Introduction hard or lignite coal combustion together with a

sorbent binding sulphur compounds. The
In recent years Poland witnessed a dynamic combustion temperature of around 850°C
development of the transport network. The contributes to the reduction of nitrogen compounds
ensuring of convenient roads has a substantial emission. As a result of using a lower combustion
impact on the country economy. The improvement temperature as compared with that used in
to technical and social infrastructure is one of conventional furnaces (around 1400°C) and as a
priorities of the National Development Strategy result of materials fired together with coal the
2007 – 2015. In accordance with provisions of the chemical composition of fluidal fly ashes and their
National Roads Construction Programme for the microstructure substantially differ from fly ashes
years 2011-2015, 1166.5 km of national roads obtained from coal combustion in powder-fired
were commissioned in the period 2007-2010, of boilers.
which 183.5 km of motorways and 293.1 km of Previous legislation allowed classifying fly
express roads. Economic transformations resulted ashes, both from combustion in traditional powder-
in numerous changes in the legislation. Gradual fired boilers and from fluidised bed boilers, as non-
implementation of European standards, aimed at hazardous wastes. Potential classification of fly
unifying the principles of designing and ashes as a hazardous waste may result in a
constructing in European Union countries, significant drop of this material popularity, now
introduces a number of modifications in the current widely used in construction industry. On 8 January
legislation. 2013 the new Waste Law of 12 December 2012
Activities in Polish power sector are proceeding took effect in Poland. Pursuant to its provisions it is
parallel. They result from the adoption of the Kyoto necessary to define a waste catalogue with
Protocol on 11 December 1997 concerning climate indication of hazardous wastes. The new law
changes, aimed at abatement and reduction of introduces a term of a by - product. Pursuant to this
anthropogenic greenhouse gases emission to law provisions a by - product is an object or a
support sustainable development. In December substance originating from a production process,
2008 the European Council adopted the energy- which basic objective is not its production, provided
climate package, obliging the European Union that:
countries to reduce the greenhouse gas emissions, − further use of the object or the substance is
to reduce the energy consumption and to increase certain,
the share of renewable energy sources. − the object or the substance may be used
In Poland nearly 90% of electricity originates directly without further processing, other than
now from hard coal and lignite coal combustion in normal industrial practice,
power plants and CHPs. A reform of power law − the object or the substance are produced as an
continues within the implementation of the energy integral part of the production process,
policy, resulting in creation of a package of new − the substance or the object meet all significant
legislation. Because of the necessity to reduce requirements, including legal, in the field of
emission of harmful substances to the air the product, environmental protection and human
widely used powder-fired boilers are increasingly life and health, for a specified use of those
often replaced with boilers utilising the fluidised bed substances or objects and such use will not
combustion technology. This technology consists in
result in general adverse impacts on the free calcium oxide and a very high pozzolanic
environment, human life or health. activity. A quick process of hydration in a water
Specific waste types cease to be waste, if as a environment eliminates the threat of volume
result of making them subject to recovery, including changes occurrence due to the presence of non-
recycling, they meet requirements specified by the bound CaO (Brandt et al., 2010).
European Union legislation and all the following The fluidal ash addition to the cement grout
conditions: results in increasing the mix temperature and in
− the object or the substance are widely used for accelerating the process of cement setting.
specific purposes, Because of a lower combustion temperature grains
− there is a market for such objects or substances of fluidal fly ashes have a sharp-edged shape and
or a demand for them, their surface is rough. This results in increased
− the object or the substance meet technical water demand of the cement-ash binder.
requirements to be used for specific purposes
and also requirements specified in regulations
and standards applicable to the product, 3. Jet Grouting technique
− the product or substance use does not result in
negative effects for human life and health or for Jet grouting technique is a process consisting in
the environment. mixing soil with a binding grout, injected under high
pressure. This method is widely used in
geoengineering. As a result of proceeding in the
2. Fly ash types subsoil process of grout binding and hardening with
fine fractions a stiff soil-cement body originates,
A siliceous fly ash originates as a result of hard featuring a low compressibility and water
coal combustion in powder-fired boilers at a permeability.
temperature of 1300÷1500°C. This is a material of Results of uniaxial compression tests of core
pozzolanic properties, i.e. having a capability to specimens of hardened column material show a
bind with Ca(OH)2. This property results from the dependence of strength on the type of soil, in which
content of a vitreous phase in the form of spherical the injection column has been formed. The highest
grains, 3−40 µm in diameter. A highly alkaline values of compression strength are obtained in
porous solution of a fresh grout partly dissolves the non-cohesive soils (around 15 MPa). For cohesive
surface of vitrified particles resulting in releasing soils this value oscillates usually within 8 MPa.
silicon and aluminium oxides, which together with Samples taken from the depth of organic soils
CSH and CAH form the same hydration products occurrence feature the lowest value of
as during the cement hydration. The pozzolanic compression strength of soil-cement material,
reaction in siliceous fly ashes proceeds gradually, usually not exceeding 3 MPa.
so the increase in material strength is long. The Jet grouting may be used for nearly all types of
obtaining of higher strength parameters of the soils, both natural and man-made. This method
material may be accelerated by application of may be used in a soil, in which the water flow
-2 -1
additives and admixtures or by mechanical velocity ranges from 10 to 10 cm/s. Additives are
activation. used in the case of higher flow velocities
Lignite coal combustion in powder-fired boilers occurrence, accelerating the injectant hardening
results in a fly ash of high calcium compounds (Stilger – Szydło, 2005).
content, i.e. calcareous fly ashes. Like fly ashes A possibility of choosing appropriate jet grouting
from hard coal this material consists of a vitreous technology is related to recognition of factors,
phase, showing because of that a pozzolanic- which could affect the process of column forming,
hydraulic activity. Hydration of such ashes of typical its shape and dimensions as well as the column
grain sizes proceeds very slowly and the material compression strength. These factors
compression strength of hardened grouts after six should be considered at the stage of designing,
months does not exceed 9.0 MPa (Giergiczny, when selecting calculation parameters of the soil-
2006). cement.
Fluidal fly ashes may originate from combustion
both hard and lignite coals. This material features Table I. Generalisation of strength parameters for
very fine grains (from 1 to 30 µm). Main the jet grouting technique – a single fluid system
components of fluidal fly ash include SiO2, Al2O3, (Bzówka, 2009)
Fe2O3, affecting its pozzoloana properties, and Compression strength, MPa
calcium compounds such as anhydrite, free CaO Soil type Maximum Medium
and calcium carbonate (thermally converted range range
sorbent and desulphurisation products). Such Gravel from 17 to 21 from 10 to 17
chemical composition gives fluidal fly ashes a Sand from 14 to 17 from 7 to 14
pozzolanic-hydraulic activity. Silt and clay from 8 to 12 from 4 to 7
As compared with fly ashes from conventional Organic soil from 0.7 to 7 from 0.4 to 4
furnaces the fluidal ashes have a high activity of
determination of organic matter, pollutants content

Standard PN-EN 12716:2002 allows the use of e.g. in the form of sulphur compounds, and
fly ashes as an additive to the grout, where it is determination of ground water chemical attack.
necessary to care for the lack of large particles in The composition of mix is determined
the injectant due to a possibility of choking the appropriately for soils existing in the subsoil based
nozzle, which is 1.8 to 5 mm in diameter. Utilisation on samples tests. The selection of binder and
in the jet grouting of power plant fly ashes, additives is related to the type and condition of
originating from combustion both in traditional strengthened soils and to the technology of DSM
power-fired boilers and in modern fluidised bed columns performance. The compression strength
boilers, is a favourable alternative to the cement of columns made by means of this method using a
grout used now most frequently, because it cement binder usually ranges from 3 to 6 MPa.
enables cost reduction of construction projects, e.g. Fly ashes are used now as a substitute of part of
of transport infrastructure expansion and creates cement binder, where the minimum cement fraction
conditions favourable to economic use of power is 25%. A varying ash composition and grout
plant wastes. Because of the fact that a jet grouting stability are frequently a problem. However, this
column is formed as a result of cutting the soil with material results in a higher durability of the column
a grout stream fed at high pressure, a significant material (Leśniewska, 2007).
part of the soil is pushed to sides or washed out
together with the spoil. This makes that the column
material is more uniform as compared with a 5. Surface stabilisation
column formed in the Deep Soil Mixing technology.
The use of fly ashes in the jet grouting Stabilisation with binders, known for many years, is
technology may be favourable also due to a high widely used to modify soil layers close to the
water demand of this material, resulting in reduced surface, showing unfavourable properties like
grout density. Their addition results also in excessive moisture content or lack of frost
decreasing the water permeability of the column resistance. This method consists in precise
material. To develop the composition of mix used disintegration of native soil, mixing it with
as the injectant in the jet grouting technology it appropriate binder and compacting at moisture
becomes necessary to analyse the influence of fly content close to the optimal. Usually mixing is
ash percentage in the total amount of binder, carried out in a dry state and the binder content in
consisting of cement and fly ash, and on the the soil-cement mix is relatively low. After
compression strength of the hardened mix. Also the completion of binding and hardening the mix must
influence of applied water-binder index and the have appropriate properties (compression strength,
type of soil existing in the subsoil on the obtained resistance to cyclic freezing and thawing,
compression strength values of hardened mix is compaction index). Depending on specific nature of
important. strengthened layer soil, cements, limes and active
fly ashes, classified as useful for this purpose, are
used among others for stabilisation.
4. Deep Soil Mixing technique Polish standard PN-S-96035:1997 defines types
of fly ashes, depending on their use:
DSM (Deep Soil Mixing) columns originate as a − form a – used as a hydraulic additive to other
result of in-situ soil mixing with the binder and binders,
additives. The deep soil mixing method is used to − form b – used to improve the grain
strengthen weak cohesive soils. Its application composition of loose soils,
enables improvement to load bearing capacity and − form c – used as an independent binder to
stability of weak layers with substantial thicknesses stabilise cohesive soils.
and reducing settlements of the loaded subsoil Ash from lignite coal (PB) may be used in all
(Bzówka et al., 2013). three forms, while ash from hard coal (PK) cannot
The process of column forming consists in be used as an independent binder, which excludes
destroying the existing soil structure by means of a its use for soils stabilisation. This provision is
stirrer immersed in the subsoil with the use of related to specific nature of power plant fly ashes
compressed air and/or injected cement grout. The obtained in conventional powder-fired boilers.
binder is fed in the form of grout or without water Chemical composition of fly ashes obtained in this
addition. Stone structures of a column form way from hard coal shows a much lower content of
originate as a result of chemical reaction. Various active calcium oxide (free CaO), which presence
types of cements are most frequently used as decides about binding (hydraulic) properties of this
binders as well as additives, such as fly ashes, material.
blast furnace slags, bentonite or limestone powder. In accordance with provisions of standard PN-
The effectiveness of subsoil strengthening with EN 14227-14:2006U siliceous or calcareous fly
DSM columns depends on conditions, in which the ashes may be used for stabilisation purposes,
process of soil and binder mix binding and meeting requirements of standard EN14227-
hardening proceeds. In relation to the above the 4:2005, because of the pozzolanic (siliceous fly
laboratory tests of soils should also comprise
ash) or hydraulic-pozzolanic (calcareous fly ash) Research, Engineering Studies, No. 72,
activity. The provision worded in such a way allows Warszawa (in Polish).
using fluidal fly ashes from hard or lignite coal, Bzówka J. (2009): Interaction of Jet Grouting
which chemical composition classifies them as Columns with Subsoil, the Silesian University of
calcareous fly ashes. The content of free calcium Technology Publishers, Gliwice (in Polish).
oxide CaO in fly ashes for stabilisation should not Bzówka J., Juzwa A., Knapik K., Stelmach K.
be lower than 5%. The addition of fly ashes in the (2013): Transport Soil Engineering, the Silesian
form of independent binder or part of ash-cement University of Technology Publishers, Gliwice (in
binder to the soil results in changed soil grain size, Polish).
its stiffness and load bearing capacity. Chemical Giergiczny Z. (2006): Role of Calcareous and
binding of water causes soil drying and increasing siliceous Fly Ashes in Forming Properties of
its optimum moisture content. Modern Building Binders and Cement Materials.
Krakow University of Technology Publishers,
Kraków (in Polish).
6. Conclusions Leśniewska A. (2007): Strength and Technological
Aspects of Soil Strengthening Using the Wet
The fly ash is a valuable and deserving interest raw Deep Soil Mixing Method. Ph.D. Thesis. Gdańsk
material. Because of its physical and mechanical University of Technology, Faculty of Civil
properties it may be used in subsoil strengthening Engineering and Environment, Gdańsk (in
techniques. The influence of ash addition on Polish).
properties of hardened cement-ash mix is related Stilger – Szydło E. (2005): Foundations of Land
to the percentage of ash in the binder, which is the Transport Infrastructure Structures. Theory –
total amount of cement and ash, and to the water- Designing – Construction. Dolnośląskie
binder index. As the chemical composition of fly Wydawnictwo Edukacyjne, Wrocław (in Polish).
ash is closely related to the chemical composition
of coal and its combustion technology, it is
necessary to carry out tests of fly ashes originating
from various power plants to specify their
usefulness for application in various subsoil
strengthening techniques. Creation of a scientific
database, related to this material application
conditions in the cement grout depending on soil-
water conditions, will enable its use on a broader
scale.
7. References
PN-EN 12716:2002 (EN 12716:2001) – December

2002 - Execution of Special Geotechnical
Works. Jet Grouting (in Polish).
PN-EN 14227-14:2006U (EN 14227-14:2006) –
August 2006 - Mixes Bound with Hydraulic
Binder – Specification – Part 14. Fly Ash
Stabilised Soils (in Polish).
PN-S-96035:1997 Roads. Fly Ashes (in Polish).
Act of 14 December 2012 on Waste - Dz. U. No. 0
item 21, (in Polish).
The Kyoto Protocol to the United Nations
Framework Convention on Climate Change
adopted in Kyoto on 11 December 1997 (in
Polish).
Brandt A, Czarnecki L., Deja J., Domagała K.,
Jóźwiak−Niedźwiedzka D., Kańka S.,
Kasperkiewicz J., Kołodziej Ł., Kowalska D.,
Litorowicz A., Łagosz A., Małolepszy J., Marks
M., Mossakowski P., Mróz R., Radomski W.,
Śliwiński J., Tracz T., Woyciechowski P., Zybura
A. (2010): Application of Fly Ashes from
Fluidised Bed Boilers in Structural Concretes,
Polish Academy of Sciences, Committee on
Civil Engineering and Hydroengineering,
Institute of Fundamental Technological
ULTRASONIC QUALITY CONTROL METHOD OF SEALING WALLS

MADE BY JET GROUTING TECHNOLOGY
CONTROLE ULTRA-SONIQUE DE LA QUALITE DE VOILES D'ETANCHEITE

CONSTRUITS PAR JET GROUTING
Dmitrii MALININ1, Aleksei MALININ1

1
Perm, Russian Federation
ABSTRACT – In the present article the authors suggest to use ultrasonic method for quality control of secant
bored pile wall made by jet grouting technology. Sealing walls construction demands the running of the
quality control. To provide this, the experience of quality control of concrete bored piles and secant bored
pile wall was applied. For method mastering were held some tests, these tests show that the signal goes
through the soil-concrete columns if there are no defects. Quality control was also held on job sites, the
results reflect the matching between lab and field testing.
1. Introduction «scans» the surface of previous columns. This

process provides wall continuity.
Jet grouting technology is widespread by solving Step between columns is 50-90% form
different tasks of underground construction such columns diameter.
as retaining walls and vertical sealing walls of the
excavations; soft soil improvement for tunnel and
shaft construction and so on. 3. Barrier and retaining wall defects
In some cases jet columns must have close
side connection. For example, it is often De facto barrier and retaining walls have some
necessary to set a barrier for groundwater defective areas with water filtration.
protection; to prevent soft watered soil penetration There are two main causes of defect
in the excavation or tunnel. Such collapses lead to appearance.
additional financial expenses or total destruction. The first cause is the divergence of the
That’s why it is very important to fulfill a quality columns on the depth because of drilling string
control of jet grouting walls. vertical deviation.
The second common cause is differ between
real and designed column diameter because of
2. Secant bored pile wall technology unexpected geological condition or incorrect
jetting parameters.
Fig. 1 shows the wall construction scheme At the present time there are no methods that
which consists of 2 main stages. give a possibility to find defects before excavating.
At the first stage the columns are constructed It should be noted that some of the appeared
next but one. defects can be improved by the quick-hardening
injection. But often these defects are followed by
emergency water entry or watered soil penetration
in the underground construction.
Certainly one of the way out is designing a
project with a huge safety coefficient, in other
words, designing a project with a smaller column
step or designing two – or multi-row barrier. These
alternative designs provide a better guarantee of
reliability but increase the costs.
In the present article the authors suggest to
use ultrasonic method for quality control of secant
bored pile wall made by jet grouting technology.
Figure 1. Secant pile wall construction scheme

a) Stage n.1; b) Stage n.2
At the second stage the intermediate columns

are constructed. At this time the jet of grout
4. Ultrasonic method 6. Method description of soil cement

constructions’ continuity
The ultrasonic method of concrete quality control
began widely used in 1970s. The main advantage The ultrasonic control demands the following
of this method is no need for additional samples actions.
for testing. In other words it is possible to estimate A pile is lowered in the body of soil concrete
the quality of concrete construction in situ. column after its construction finishing. The pipe is
The method is based on first arrival time (FAT) equal to drilling and grouting depth. It is not
fixing of the ultrasonic signal from the transmitter allowed cement grout or any foreign material
to the receiver. Amplitude decay of the ultrasonic inside the pipe, so that’s why the pipe’s bottom is
signal depends on the material physical closed. It is possible to use plastic pipe in sealing
properties. wall construction for costs decreasing.
When the FAT is much longer than FAT on Each pipe is filled with industrial water in order
another sectors or even when the signal does not to provide good ultrasonic signal.
propagate it indicate existence of defects inside The ultrasonic tests are run in 3-4 weeks after
the construction. soil cement columns’ construction. This time is
The ultrasonic method is used for the quality necessary for strength gain.
control of bored piles and diaphragm walls. The Ultrasonic transducers (transmitter and
ultrasonic control method is described in the receiver) are lowered in two neighbor pipes at the
following standards: same level on the bottom of the cementation
- ASTM D 6760-02 - Standard Test Method for zone. The measurements are performed with
Integrity of Concrete Deep Foundations by data’s recording in a bottom-up method by
Ultrasonic Cross hole Testing; gradual and parallel lifting in cementation zone.
- AFNOR NF P 94-160-1 Soils: investigation and In the measurements process the transmitter
testing –Sounding of a buried work – Part1: Sonic delivers an ultrasonic signal and the receiver
core test. takes it in (Fig. 3). The signal is fixed on each
The article describes the application of Cross stage of the depth, it’s varying from 10 mm to 100
Hole Ultrasonic Method for defects defining in mm. The equipment records such points as
sealing wall constructed by jet grouting. transmission time through the soil cement column,
signal power changing and the depth.
5. CHUM (Cross Hole Ultrasonic Monitor)

description
CHUM is designed for nondestructive quality

control of bored piles and diaphragm walls.
The equipment (Fig. 2) consists of the
following units:
- CHUM main block;
- two ultrasonic transducers;
- two 50 m cable reels;
- two depth meter pulleys;
- cables and AC power adapter.
Figure 3. Principal of action:

a) signal transmission
b) no signal transmission in case of pile’s
disparity
Measuring results are displayed on the PC

computer and saved in a file. The review of soil
cement continuity is carried out according to
measuring results.
The transmission of the ultrasonic signal over
the full depth of cementation zone means high
quality of soil cementation. No signal means the
presence of non-cemented soil between columns
(Fig. 4).
Figure 2. The CHUM system
The results (Fig. 5) show that at the depth of
approximately from 2,5 m to 4,5 m the ultrasonic
The CHUM is connected to the PC computer
signal is not fixed, so we can speak about pile’s
via USB cable. PC computer is provided with
disparity.
testing and analysis software.
Figure 4. Example of pile’s disparity Figure 6. Test rig scheme
8. Quality control on job sites
Company “InzhProektStroy” constructed an

excavation poling for high-rise apartment house in
Pushkin city (Moscow region) by jet grouting
method. The depth of the excavation was 6 m and
it was constructed in watered sands. The pipes
are established over the distance 0,5 m one from
another. The wall from the crossing soil cement
columns acted as a retaining wall.
Quality control of the barrier continuity was
tested by ultrasonic method (Fig. 7).
The results show that signal first arrival time is
about 0,3-0,5 ms. Herewith the speed works out
1200-2000 m/s.
According to measuring results the process
Figure 5. Example of measuring results conditions of jet grouting were updated. Those
parts of the excavation poling where the data
were not satisfied were grouted once again. There
7. Testing of the equipment in soil cement was no liking of ground water after excavation
digging (Fig. 8).
For ultrasonic method checking was assembled a
test rig.. The scheme of the test rid is shown on
Fig. 6. Three pipes sized 3200x800x850 mm are
established in a wood case over a distance 1500
mm from one another. A sand layer is artificially
formed between two pipes tapered thickness from
100 mm to 200 mm across full height and width of
the case. The case is filled with soil cement pulp,
which is taken from wellhead during work
execution. Tests are carried out in 1 month after
filling the test rig with soil cement pulp.
The results of the tests show that the ultrasonic
signal doesn’t go through the sand layer. The
measurements of the second pair of pipes show
that the ultrasonic signal goes through during 0,6-
0,9 ms. The speed of the signal is about 2000-
2800 m/s.
Figure 7. Quality control of retaining wall in
Pushkin city
Figure 8. Excavation digging after ultrasonic

quality control method
Moreover ultrasonic quality control method was

used by excavation’s construction of underground
parking in business centre in Perm city, one-store
house in Pushkin city and other important
underground structures.
It should be mentioned that the ultrasonic
method is widely recognized and patented by
authors (Malinin, 2009). Introduction of ultrasonic
quality control method gives a chance to a client
and to a conductor to ensure in a proper
execution either design choice or earthwork.
9. Conclusion
The authors received the experience of method

appliance on job sites.
The method of ultrasonic quality control has
proved its effectiveness.
Testing results give a possibility to take a rapid
decision on changing technology parameters or
assuming additional grouting.
10. References
Malinin A.G. (2010), Jet-grouting, Stroyizdat,

Moscow, Russia, pp. 226.
Patent of the Russian Federation №2392620
Malinin A.G., Malinin D.A., 2009. Quality
control method of building construction.
NUMERICAL STUDY OF THE DYNAMIC BEHAVIOR OF A SITE

REINFORCED WITH RIGID INCLUSIONS
ÉTUDE NUMÉRIQUE DU COMPORTEMENT DYNAMIQUE D’UN SITE
RENFORCÉE PAR DES INCLUSIONS RIGIDES
1
Miguel MÁNICA
1
Graduate student, Institute of Engineering at UNAM, Mexico
ABSTRACT – Using the finite difference code FLAC3D, a research was carried out to study the three-
dimensional dynamic behavior of a site reinforced with rigid inclusions. Soil was modeled with a linear elastic
constitutive model, but compatible strain parameters were obtained from a one dimensional wave
propagation analysis. The seismic motion recorded at surface, was deconvoluted and applied to the finite
difference model base as a shear stress history. Analysis results were compared with the free field response
to quantify the effect of inclusions.
1. Introduction subsidence (Ovando et al., 2007), modifying the

natural period of vibration of soil deposits and
In difficult subsoil conditions as in Mexico City, therefore, moving away or approaching buildings to
where soft and extremely compressive soil deposits resonance phenomenon. In this complex scenario,
extend to great depths, the magnitude of total and dynamic behavior of foundation systems must be a
differential settlements, and the low shear strength major concern in buildings design.
of soil deposits, are the main concerns in buildings The main objective of the present paper is to
design. In these particular conditions, different study variations of ground surface response during
foundation systems such as skin friction piles, end a seismic event due to the presence of a group of
bearing piles, compensated raft foundations, or a rigid inclusions embedded in soft clay regarding to
combination of the previous have been used to free field motions. Research was carried out using
maintain settlements within reasonable limits. In the time domain three-dimensional explicit finite
3D
case of medium size buildings or industrial difference code FLAC . Variations in diameter of
warehouses, conventional systems have proven to inclusions were studied. Because only the presence
be too expensive and alternative solutions are of inclusions was modeled, important inertial effects
being used for settlement control. As an example, of soil-structure interaction were omitted. Further
rigid inclusions have become an accepted investigation should be carried out taking into
technique in the Valley of Mexico (Santoyo and account the superstructure.
Ovando, 2006) (Rodriguez and Auvinet, 2006).
With proper design, inclusions allow the
construction of shallow slabs foundations without 2. Subsoil Conditions
inducing excessive ground deformations. Despite
the increasing use of the system, little research has The site under study is located in the so called Lake
been carried out to study the behavior of these rigid Zone according to the geotechnical zoning of
elements embedded in soft clay during major Mexico City (Figure 1).
seismic events.
Due to the particular characteristics of the
Mexico City subsoil, an exceptional amplification
phenomenon occurs which has drawn attention of
researchers worldwide. During the 1985 Michoacán
earthquake, the SCT site accelerometer recorded a
peak ground acceleration of 0.165g, as well as
spectral ordinates about 1.0g (5% damping) for
periods in the range of 2 sec, resulting in a
maximum amplification factor about 13 regarding to
rock outcrop. This extraordinary response is the
result of dynamic properties of Mexico City clay,
which exhibits no significant reduction in shear
moduli and extremely low damping ratios (3 to 5%)
for very large shear strain values (up to 1%) (Romo,
1995). Furthermore, dynamic properties are not
constant over time and are affected by ground Figure 1. Geotechnical zoning of Mexico City
Generally, the subsoil of the site can be Shear strain, %

-4 -3 -2 -1 0
idealized in the following layers (Figure 2): an 8.5 m 10 10 10 10 10
25
thick archaeological fill layer formed by clayed fine 1.0
sand and silt, with fine gravel and volcanic ashes; a
20
Damping ratio, %
21.1 m thick layer known as the upper clay 0.8
formation, constituted by very soft clay with silt,
G/Gmax
Soil PI = 50%
15
volcanic ashes and microfossils, interspersed by 0.6 Sand upper bound
lens of fine sand; a 4.4 m thick hard layer of dense
sand and silt with some degree of cementation; a 0.4 Soil PI = 200% 10
4.6 m thick soft clay layer with volcanic ashes Soil PI = 50%
known as the lower clay formation; and underlying 0.2 5
the previous, a dense sand and a silt deposit of
considerable thickness. 0.0 0
2.1. Dynamic properties Figure 3. Stiffness degradation and damping

relationships.
On site, shear wave velocities were measured
using the suspension logging technique (Figure 2).
Maximum shear moduli were then obtained by 3. Input motion
means of the following equation:
The Selected ground motion was the 1985
Gmax = Vs2 ρ (1) Michoacan earthquake, recorded on the site
surface. Epicenter occurred at about 425 km away,
in Mexican Pacific subduction zone, with a
Where Gmax, is the maximum shear modulus; Vs, magnitude ML= 8.1. For efficient computation times,
is the shear wave velocity; and ρ, is the soil density. only the most intense part of the motion was used
(Figure 4), defined as the time interval between the
Shear wave velocity, m/s points at which 5% and 95% of the total energy was
00 100 200 300 400 500 600 recorded. Arias intensity (Arias, 1970) was used as
Archaeological Fill a measure of the recorded energy.
5 γ = 14.14 kN/m
3
10 0.2
a G Michoacan,1985
c Recorded
0.1 (N90E)
15 E Idealized
Acc, g
Depth, m
20 Upper Clay Formation 0.0

3
γ = 12.24 kN/m
25
-0.1
30 3
Hard Layer γ = 20.07 kN/m -0.2
35 0 5 10 15 20 25 30 35 40
Lower Clay γ = 13.39 kN/m
3
Time, s
Formation
40 Figure 4. Selected acceleration time history
Deep Deposit γ = 20.07 kN/m3
45 3.1. Deconvolution
Figure 2. Shear wave velocity profile (Franco, 2002)
To study variations in ground surface response due
The stiffness degradation and damping to the presence of inclusions, seismic motion
relationships used for analysis (Figure 3) were cannot be applied on model surface. Instead, it
selected based on gradation of materials and must be applied at the base. To generate the input
plasticity index. For the archaeological fill layer, the motion for FLAC3D models, the acceleration time
chosen relationships were those presented by history recorded at surface was deconvoluted to the
Vucetic and Dobry (1991) for soils with plasticity base by means of a one dimensional wave
index of 50%. The stiffness degradation curve propagation analysis with the SHAKE code
proposed by Sun et al. (1988) for Mexico City clay, (Schnabel et al., 1972), as illustrated in Figure 5.
and the damping relationship proposed by Vucetic Motion was applied to FLAC3D model base as a
and Dobry (1991) for soils with plasticity index of shear stress history to avoid nullifying the effect of
200%, were used for the upper and lower clay the quiet boundary. Furthermore, the analysis
formations. Finally, upper bound stiffness provided the strain compatible shear moduli and
degradation relationship and lower bound damping damping ratios used in numerical models. A
relationship for sands, presented by Seed and detailed methodology for generating input motions
Idriss (1970) were used for the hard layer and the with a deconvolution analysis can be consulted in
deep deposit. Mejia and Dawson (2006).
Free field boundary

Reinforced area
Figure 7. Finite difference model
Soil was modeled with a linear elastic

constitutive model and the strain compatible
Figure 5. Ground motion deconvolution parameters obtained from the deconvolution
analysis are shown in Table 2. Beam structural
3D
elements, implemented in FLAC , were used to
4. Modeling model the presence of inclusions and Rayleigh
damping was chosen to take into account energy
Studied systems can be idealized as shown in dissipation due to soil degradation.
Figure 6. Again, in order to reduce computation
times, only the first two layers were modeled. The Table 2. Strain compatible parameters
Archaeological fill layer was not reinforced by Parameter Layer 1 Layer 2
inclusions and acted as the distribution layer.
Shear modulus, kPa 10,561 4933
Inclusions were embedded only in the upper clay
Bulk modulus, kPa 524,540 245,023
formation, but did not reach the hard layer, which is
a common practice in Mexico City. Spacing and Damping ratio , %, 5.4 7.5
length of inclusions, and wide of reinforce area
were fixed to 2.0, 15.5 and 40.0 m respectively and 4.2. Calibration
only variations in diameter were studied in the
present research. Table 1 summarizes the main It was checked the consistency between
characteristics of the modeled inclusions. The recorded and computed free field motions.
chosen stiffness parameters are characteristic of a Comparison is shown in Figure 8 by means of
low strength concrete, as the one used for rigid response spectra, in which a good match is verified.
inclusions in Mexico City. Also, the free field maximum acceleration and
maximum shear stress profiles, computed both with
SHAKE and FLAC3D, are shown in Figure 9.
1.0
0.8
0.6
Sa, g
0.4
0.2
0.0
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0
Figure 6. Idealization of analyzed systems Period, s
Table 1. Properties of inclusions Figure 8. Free field response spectra

Length [m] γ [kN/m³] E [MPa] ν
15.5 22.0 10,000 0.20 Acceleration, g
0.05 0.10 0.15 0.20
0
4.1. Finite difference model Maximum SHAKE
5 Acceleration
A FISH function was programmed for efficient FLAC
mesh generation. Figure 7 shows one of the finite 10
Depth, m
difference models implemented for the analysis. Maximum

15
Special dynamic boundary conditions were used to Shear stress
avoid wave reflection and allow the necessary 20
energy radiation. A quiet or absorbent boundary
was applied to the base and free field boundaries to 25
the sides of models (Figure 7). A brief description of
dynamic boundary conditions implemented in 30
3D 0 10 20 30 40 2 50
FLAC can be consulted in Itasca Consulting Shear stress, kN/m
Group (2003).
Figure 9. Max. acceleration and shear stress profiles
5. Analysis results equations (wave equation and equation of motion

respectively), for the elastic case, both programs
Results were monitored in the central position of give very similar results.
reinforced area. Figure 10 shows the computed Generally, it can be concluded that although
response spectra considering the presence of there exists an increase in ground surface
inclusions with diameters equal to 0.20, 0.40 and response, this is too small to be consider in design,
0.60 m. It can be seen that response spectrum and we can say that the presence of the inclusions
remains practically unchanged by the presence of do not alter substantially the free field response.
inclusions and only a minimum increase of spectral It is also important to mention that results are
ordinates was noticed. Maximum acceleration and only valid for the cases studied in the present
maximum shear stress profiles for same inclusion research and they do not take into account the
diameters are presented in Figure 11. In this figure presence of the superstructure. Further
we can notice an increase of maximum investigation must be carried out considering the
accelerations with depth, this being more important superstructure, where important inertial effects can
for bigger diameters, and in the zone from the tip of occur, and inclusions may modify ground surface
inclusions to the ground surface. We can also response.
observe that shear stresses are increased near the
tip and decreased under the inclusions. Mentioned
modifications are still very small compared with the 7. References
free field response.
Arias A. (1970). A measure of earthquake intensity.
1.2 R.J. Hansen, ed. Seismic Design for Nuclear
1.0 Free field
Power Plants, MIT, Cambridge, MA, pp 438-83.
d = 0.20 m Franco-Casas (2002). Evaluación de las
0.8 d = 0.40 m propiedades geotécnicas del SCT a 15 años del
Sa, g
0.6 d = 0.60 sismo de 1985. Tesis de Maestría, UNAM.

3D
0.4 Itasca Consulting Group (2003). FLAC , Fast
Lagrangian Analysis of Continua in 3
0.2
Dimensions, User’s Guide. Minneapolis, MN.
0.0 Mejia L.H., Dawson E.M. (2006). Earthquake
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0
Period, s deconvolution for flac. Proceedings, Forth
International FLAC Symposium, Madrid, Spain.
Figure 10. Response spectra for different diameters Ovando E., Ossa A., Romo M. (2007). The sinking
of Mexico City: Its effects on soil properties and
Acceleration, g seismic response. Soil Dynamics and
0.05 0.10 0.15 0.20 Earthquake Engineering, 27-4, pp. 333-343.
0.0 Rodríguez J.F., Auvinet G. (2006). Rigid inclusions
Maximum Free field
Pr ofun didad
Acceleration d=0.20 m
Pr ofun didad
in Mexico City soft soils. Proceedings, 1st
5.0 International Symposium “Rigid inclusions in
d=0.40 m
Pr ofun didad
d=0.60 m
Pr ofun didad difficult soft soil conditions”, pp. 197-206.
10.0
Romo M. (1995). Clay behavior, ground response
Depth, m
Pr ofun didad
Pr ofun didad
and soil-structure interaction in Mexico City. 3rd
15.0 Inclusions Pr ofun didad
International Conference on Recent Advances in
Pr ofun didad
Geotechnical Earthquake Engineering and Soil

20.0
Dynamics. St Louis Missouri.
25.0 Santoyo E., Ovando E. (2006). Geotechnical
Maximum
Shear stress
considerations for hardening the subsoil in
30.0 Mexico City´s metropolitan cathedral. Proc. 1st
0 10 20 30 40 50 International Symposium “Rigid inclusions in
2
Shear stress, kN/m difficult soft soil conditions”, pp. 171-178.
Schnabel P.B., Lysmer J., Seed H.B. (1972). A
Figure 11. Maximum acceleration and maximum computer program for earthquake response
shear stress profiles. analysis of horizontally layered sites. Report No.
EERC 72-12, U. California, Berkeley.
Seed H.B., Idriss I.M. (1970). Soil moduli and
6. Conclusions damping factor for dynamic response analysis.
Report No. EERC 70-10, U. California, Berkeley.
It was proved that with appropriate parameters and Sun J.I., Golesorkhi R., Seed H.B. (1988). Dynamic
input motion, it is possible to reproduce free field moduli and damping ratios for cohesive soils.
ground response by means of numerical Report No. EERC 88-15, U. California, Berkeley.
simulations. It is important to notice that even when Vucetic M., Dobry R. (1991). Effect of soil plasticity
3D
programs SHAKE and FLAC solve the dynamic on cyclic response. Journal of Geotechnical
problem through the solution of different differential Eng., 117-1, January 1991. ASCE. pp. 89-107.
STABIL
LIZATION
N OF FR
RICTION
NAL SOIL
L THROUGH INJ
JECTION
USING CIPS
STABILISATION DES
D SOIL
LS FROTT
TANTS PAR
P INJEC
CTION DE
E CIPS
1,2
Anders PA
ALMÉN
1
KTH Royyal Institute
e of Techn
nology, Stockholm, Sw
weden
2
PEAB An
nläggning AB, Stockholm, Sweden
n
ABSTRACT T: The precippitation syste

em CIPS (Ca alcite In-situ Precipitation
n System) ha as been crea ated as a
permeation grouting sys stem based ono a two com mponent fluid d with the inttention of slo
owly permeate and fill
the pores. It
I causes cementation th hrough a che emical reactiion which bo onds the soill particles together at
the contact points. CIPSS mimics one e of the natural reactions in nature wh here sandsto one is formedd through
cipitation. Th
calcite prec his system is used in Australia
A with
h excellent results and some of the factors
governing the
t outcomee of the me ethod are: flow rate, pre essure, timee, chemical recipe, temperature,
compositionn of the soil matrix and number
n of trreatments. Some of thes se factors haave been the e focus of
this report and they have
h been examined from f a Scan ndinavian point of view w where the e ground
temperaturee conditions and soil com mpositions have
h governe ed the outcoome of the a accomplished d results.
Both laboratory and field
d tests have been conducted with a satisfying
s increase in UCS S.
UCTION
1 INTRODU in this study. Another
A ameter is the curing time,,
para
booth in a fullyy saturated ccondition an
nd in a state
e
In the be eginning of the 1980th during the t where the sample were e allowed to t dry. The e
commercialization of th he North-W West Shelf gas ompression tests have b
co been conduc cted on bothh
platform a foundatio on problem arose and wet cores and d dried ones.
engineers discovered that the piles p had not
n
developed sufficient bo ond with the surrounding
sediments. A team of geologists,
g geo-technicia
ans
and chemiists were contracted to solve the t
problem and a studied the beha aviour of the
sediments (CSIRO, 2011). 2 Dr Graham
G Price
worked on studying th he fabric an nd deformation
behaviour ofo the carbon nate sedimen nts beneath the
t
platform. The
T knowledge and experience
e he
gained durring this wo ork later re esulted in the
t
concept off artificially created mineral ceme ent
which would achieve similar outc comes as the t
natural occu urring cemen ntation proce esses. Figure 1.1 1: Unconfined compressive strength
The CIP PS-method (C Calcite In-sittu Precipitation for differen
nt Silica sand
ds as a resultt of CIPS
System) us ses two wate er based liqu uids containing trreatments (P
Price, 2012).
Calcium Ch hloride, Urea a, Tetra So odium, Sodiu um
Carbonate, Sodium SulphiteS andd the enzym me
Urease. In njecting thes se tow liqu uids, using a 2 LABORATO
ORY EVALU
UATION
maximum pressure
p of the overburrden load, willw
generate a spherical object
o around d the injection 2..1 Effect of temperature
t e
point throug gh bonding thet contact surfaces
s of the
t
frictional soil partticles thro
ough calccite Teemperature is one of th he factors gooverning thee
on. Repeate
crystallizatio edly injections will result in size and nu umbers of ccalcite crystals formed d
higher UCS S as displayed in Figure 1.1. 1 hrough precip
th pitation. The shape, size and amountt
To studyy the suitab bility for appplying CIPS to off these crysttals later govvern the effic
ciency of the
e
Swedish friictional soil a number of unconfined sttrength increease. The a activity of thee Urease iss
compressive strength te ests have be een carried out. deependent on n the temp perature of the fluid, a
The test sa amples have e all been prepared in a higher temperrature resultss in the Urease working g
uniformly co ontrolled ma anner inside a temperatu ure fa
aster, leading to less U Urease need ded for thee
controlled room
r in ordder to mimic c the average acccurate reac ction rate. Iff the Urease activity is s
annual grou und tempera ature in Swed den. Since the high (i.e. the temperature high or a hig gh amount off
interest mainly lies in th he lower ran nge of strenggth Urease) the calcite
c crysta
als will form quickly andd
increase on nly one treatm ment have be een conductted
become small, not reaching the neighbouring soil (based on the SMHIs mean temperature for each
particles to form the strengthening bond. On the individual month during 2011).
contradictive side: if the temperature or Urease The assumption of the restricted application
amount is low the result will consequently be a season for CIPS results in an approximate
slow growing crystal which will grow to be too laboratory temperature of (8+13.4)/2 = 10.7 ºC.
large pushing the soil particles apart (Price, 2012). Hence, the CIPS formulations for 5-10 ºC were
Paassen (2009a) points out in his Phd thesis chosen.
on Biogrout (a cognate method to CIPS) that the The grain size has been analysed through
ground temperature has a substancial effect on using sieves in order to determine the amount of
the hydrolysis rate of urease. He continues with each grain size. Further the maximum grain size
stating that between 5 and 35 °C a rise of 10 °C has been set to one tenth of the core sample
causes an increase in urease activity with a factor diameter resulting in a maximum grain size of 5
2.4 and with a ground temperature below 5 °C no mm (Larsson, 1989).
activity was registrated. A performed petrography analysis are
displaying that the main rock and mineral
2.2 Effect of time composition of the investigated sand is Quartz
and Granite, but fractions of Diabase, Feldspars
Due to the chemical reaction of CIPS which and Biotit have also been detected.
causes the formation of gel, time is of essence in
order to transfer the CIPS Fluid into the target soil 2.4 Unconfined compressive strength test
volume. As stated above the formation of gel
starts instantly after mixing the two fluids. Price The unconfined compression test are accordingly
(2012) states that there is a time limit for the to Åhnberg et al. (1995) relatively easy to conduct
injection governed by the chemical reaction which and reviewed to be the most suited test for
forms the gel. He continues explaining that during conducting a larger amount of samples over a
the first 15 minutes after mixing the two solutions, shorter period of time. These tests have been
the formation of gel is very slow, resulting in a analysed in an unconfined compressive strength
fairly low viscosity. At around 30 minutes after test equipment in order to attain stress/strain
mixing, the viscosity has reached such a high diagrams from which the maximum compression
value resulting in great difficulties moving the strength could be evaluated.
CIPS Fluid in the pores of the soil. These times The test series is displayed in table 2.1. The x-
differs some depending on temperature and the axis represents the time which the soil sample has
formulation of the CIPS Fluid (Price, 2012). been enclosed in the cylinder saturated with CIPS
Ismail et al. (2002a) reports that 5 hours is a Fluid. The y-axis represents the time given to the
sufficient curing time to reach most of the strength soil sample to dry, after being removed from the
increase and for most of the calcite to have cylinder.
precipitated. Price (2012) informs that around 8 Table 2.1: Table outlining cementation time
hours is an acceptable time in order to reach and time for the drying process.
adequate strength but if possible the injection
should be left overnight before the following Time in CIPS saturated state [days]
injection the next day. 22°/10° 1 3 7 17 21
Drying time
0 -/5 -/5 -/5 -/5

[days]
2.3 Laboratory and sample conditions 3 5/5 -/5

7
14 5/5 5/5 -/5
The different CIPS formulation is based on the the number symbolize how many tested soil samples of each temperature
temperature at which the chemical reaction will
take place (i.e. the temperature in the soil at the
day of injection). Accordingly to Price (2012) the The samples for the UCS tests was setup as
lower working end of CIPS is around 5-10 ºC table 2.2 displays were a deformation rate was set
which probably will limit the application season to to 1% of the sample height, which can be
the end of spring to beginning/mid-autumn in compared to the deformation rate for UCS tests
Sweden. on lime cement columns (Åhnberg et al., 1995).
The temperature at a depth that maintains a
steady temperature can be estimated to be Table 2.2: Sample parameters for the setup of
roughly the same as the mean annual the UCS tests
temperature for the location of the construction Sample parameters for UCS tests
site (SGU, 2012). SMHI (2012) present on their No. of samples 60
website that the mean average temperature for Length [mm] 100
Stockholm was 8 ºC during 2011. If the mean Diameter [mm] 50
temperature instead is calculated for the period Grain size [mm] <4
April 2011 to October 2011 which would be the Deformation rate
1 (1% of length)
application season for CIPS it comes to 13.4 ºC [mm/min]
3 RESULT exposure to air and temperature becomes

interesting. Figure 3.2 and 3.3 demonstrates
The first parameter to be evaluated is whether the sample series which have different cementation
cementation time has a clear effect on the times (all series in each graph has one
strength increase. Figure 3.1 illustrates four cementation time, but different to the other graph)
different series, each with 5 samples, which have but the same time of exposure to air and
been left fully saturated with CIPS Fluid for temperature. There is an obvious relationship
different periods of time in a temperature of 10 °C. revealing that the time exposed to air has an
It is quite evident that no trend of strength effect on the increase in strength, the two graphs
2
increase occurs when the samples have been left have coefficient of determination of R =0.72 and
for a longer cementation time. Noticeable here is R2=0.84 also indicates a strong positive
also that there is basically no evidence of a relationship between time exposed to air and the
strength increase compared to water compacted strength increase. Noticeable is that figure 3.3
sand, which also was tested wet (see the lines in could have two different trend lines due to the two
figure 3.1). The lack of a trend is also supported different drying temperatures. It is easy to see and
by the fact that the coefficient of determination is understand that there would be just a slight
2
closing in on zero, R =0.0046 which clarifies that difference in the coefficient of determination if two
there is no relationship between the time in CIPS trend lines would be inserted, therefore has only
saturated condition and strength increase. one trend line has been inserted.
ϱϬ
ϮϬϬ
ϰϬ
R² = 0,8314
ϭϱϬ
h^΀ŬWĂ΁
ϯϬ
h^΀ŬWĂ΁
ϮϬ
ϭϬϬ
R² = 0,0046
ϭϬ
ϱϬ
Ϭ
Ϭ ϭ Ϯ ϯ ϰ ϱ ϲ ϳ ϴ ϵ ϭϬ ϭϭ ϭϮ ϭϯ ϭϰ ϭϱ ϭϲ ϭϳ ϭϴ
dŝŵĞƐĂƚƵƌĂƚĞĚ΀ĚĂǇƐ΁
Ϭ
Ϭ Ϯ ϰ ϲ ϴ ϭϬ ϭϮ ϭϰ ϭϲ
ƌǇŝŶŐƚŝŵĞ΀ĚĂǇƐ΁ĐŝƌĐůĞŝƐϮϬĚĞŐ
Figure 3.1: Relationship between unconfined
compressive strength and number of days left in
CIPS saturation. The lines to the left in graph is Figure 3.3: Relationship between unconfined
test results based ONLY on saturated water compressive strength and number of days left for
drying in 10 °C (♦) and 20 °C (●). All tests have
compacted sand.
been left in CIPS saturation for 3 days in 10 °C,
before exposure to air and drying.
ϭϱϬ
h^΀ŬWĂ΁
ϭϬϬ
R² = 0,7177
ϱϬ
Ϭ
Ϭ Ϯ ϰ ϲ ϴ ϭϬ ϭϮ ϭϰ ϭϲ
ƌǇŝŶŐƚŝŵĞ΀ĚĂǇƐ΁
Figure 3.4: Relationship between unconfined
compressive strength and different number of
Figure 3.2: Relationship between unconfined days left in CIPS saturation. All samples have
compressive strength and number of days left for been left to dry for 14 days but in different
drying in 10 °C. All tests have been left in CIPS temperatures, 10 °C (♦) and 20 °C (●). *the
saturation for 17 days in 10 °C, before exposure samples located below 50 kPa at 7 days might
to air and temperature 10 °C. have been subjected to an external factor causing
them to fail. These samples were experienced wet
Since there is no demonstrated strength during testing.
increase caused by the cementation time, the
A similarity between figure 3.2 and 3.3 temperature of drying has little effect. But the
underpin the above explained trend that a longer temperature at the time of mixing/injection plays a
cementation time, when saturated, has little effect large part for the calcite precipitation and hence
of the strength increase. This can be understood different recipe needs to be chosen based on
due to the fact that the two different graphs (figure forecasted or actual temperature conditions.
3.2 and 3.3) has 14 days difference in CIPS Since no urease activity is registered below 5 °C,
saturated condition but still display similar values measures needs to be figured out in order to use
of strength increase. this method during cold conditions.
Figure 3.4 was arranged in order to further Further, it can be stated that the strength
exhibit the fact that the curing time has no increase is not believed to have anything to do
demonstrated effect on the strength increase. The with time left in CIPS saturated condition due to
different sample series in this graph have all been the results in figure 3.1 which clearly indicates
exposed to air for 14 days but in two different almost no strength increase with time.
temperatures, 10 °C and 20 °C, the difference
between the series is the cementation time before REFERENCES
exposure to air.
Almost all samples demonstrate an almost CSIRO, the Commonwealth scientific and
tenfold increase in strength due to the 14 days air industrial research organisation. 2011. North-
exposure compared to the samples tested in West Shelf gas platform.
saturated conditions (figure 3.1), but no indication http://www.csiropedia.csiro.au/display/CSIROp
of that longer cementation time would have any edia/North-West+Shelf+gas+platforms, Access
effect on strength increase. A reservation is 2012-02-23
needed for the four plotted results below the 50 Ismail, M. A., Joer, H. A., Randolph, M. F., and
kPa at 7 day (looking as two dots). These Meritt, A. 2002a. “Cementation of porous
samples appeared somewhat moist during the materials using calcite.” Géotechnique 52 (5):
compression tests and something might have 313-324.
gone wrong. Neglecting these four samples will Larsson, R. 1989. Hållfasthet i friktionsjord.
result in a coefficient of determination closer to Linköping. Statens Geotekniska Institut.
zero stating the already established result from van Paassen, L. A. 2009a. “Biogrout: Ground
figure 3.1 of no correlation between time in CIPS improvement by microbially induced carbonate
saturated condition and strength increase. precipitation”. PhD Delft: Delft University of
Technology
4 DISCUSSION Price, G. 2012. Interview. Melbourne, Australia
SGU. 2012. “Förnybara energikällor i Sverige.”
A possible aspect which need considering is the http://www.sgu.se/sgu/sv/samhalle/energi-
increase in viscosity of the CIPS Fluid after mixing klimat/fornybar-energi_info.html (Access 2012-
fluid A and B in combination with creating samples 05-10).
through mixing CIPS and sand (not using SMHI. 2012. “Lufttemperatur – året 2011”
injections). Since the CIPS Fluids viscosity quickly http://www.smhi.se/klimatdata/meteorologi/tem
rises to quite high levels it could result in pushing peratur (Access 2012-05-10).
the soil particles apart in a mixing process which Åhnberg, H., Johnasson, S. E., Retelius, A.,
lacks a confining pressure. In this laboratory study Ljungkrantz, C., Holmquist, L., Holm, G. 1995.
it takes about 15 minutes to create one sample Cement och kalk för djupstabilisering av jord –
through adding CIPS plus soil in a repeated En kemisk- fysikalisk studie av
manner during vibrations. The rise in viscosity stabiliseringseffecter. Report 48. SGI.
during this process, especially with vibrations, Linköping
could possible lead to the soil particles becoming
more and more pushed apart. This could also be
the possible explanation to the experienced
increase in strength as a result of the drying
process. Maybe it is not about the drying, but the
departure of the fluid, resulting in the soil particles
moving closer to each other making the distance
between them small enough for the calcite
crystals to reach and form its bond.
Studying the graphs and results above clearly
indicates a strong relationship between the
increase of strength and the time the samples
have been left exposed to air. Little variation in
strength increase occurs due to the difference on
temperature of the drying conditions, and based
on these results the conclusion of that the
STABILIZATION OF A WEAK LOW PLASTICITY CLAY SOIL USING

NANOMATERIAL
STABILISATION D'UN SOL ARGILEUX MOU DE FAIBLE PLASTICITÉ

UTILISANT DES NANOMATÉRIAUX
Seyed Alireza SEYEDI GELSEFIDI 1, Jaber MAMAGHANIAN 1
1
Iran University of Science and Technology, Tehran, Iran
ABSTRACT - The application of nanotechnology in geotechnical engineering is a novel concept, in which

there are little investigations in this scope. The use of this technology in some talented fields such as soil
improvement, seepage and grouting will offer great advantages in geotechnics. In this way, the stabilization
of a low plasticity clay soil was investigated using nanomaterial in this study. The weak soil was extracted
from Boodian Road in North of Iran. The numbers of 80 unconfined compression strength (UCS) tests were
performed in this research. At the first part, the effect of lime on the enhancement of the original soil was
studied. The results demonstrated the little effect of lime in the soil improvement. At the second part, the
effect of nano-silica was investigated on the stabilization of the soil-lime mixture. The selection of this nano-
material was based on the XRD and XRF tests on the original soil. The results illustrated the meaningful and
significant effect of nano-silica in the soil-lime mixture, in which adding nano-silica increased the strength of
the soil and soil-lime mixture up to 7.5 and 3 times respectively. The effects of curing time were also
evaluated in this study and the results showed that the strength of the soil-lime mixture increases more
rapidly with adding nano-material. In this research, the optimum mixture design for stabilization of the
Boodian weak soil was selected as 5% lime and 3% nano-silica into the soil.
1. Introduction behavior of soil due to a very high specific surface

area of nano materials, surface charges and their
The use of material characteristics in Nano morphologic properties.
scale, offers great advantages, in which In the limited investigation performed in this
fundamental evaluation occurs in human life, such field, the effects of nano materials in engineering
as effective use of energy, economy and time properties of soil have been considered mainly in
increasing the quality of the products in which two aspects including the effect of the presence of
results the quality of life to increase, reducing natural nanoparticles in the soil and the effect of
economic dependencies and increasing national adding nano materials in to the soil. In this way,
income. Zhang studied the effect of natural nanoparticles in
The researchers in this field, need the especial the engineering properties of soil. He found that the
knowledge of nanotechnology beyond their presence of only a small amount of nanoparticles in
experts, and must learn the extensive requirements the soil have significant effect in the physical and
of nanotechnology. Due to a variety of subjects in chemical behavior and engineering properties of
geotechnics, and macroscopic view of researchers soil. He also concluded that the soils including
and engineers to the soil, very little investigation nanoparticles with intraparticle voids in nano scale,
have been performed in the field of usually demonstrated the higher liquid and plastic
nanotechnology's applications in geotechnical limits, and the presence of fibrous nanoparticles
engineering. Many of soil and rock minerals are enhances the soil shear strength (Zhang, 2007).
nanomaterial and their chemical reactions occur in Ghazi et al (2011) performed a study on the
nano scale. As a result of this fact, there is a great plasticity and strength characteristic of a fine soil
potential of nanotechnology's application in soil and its mixture with a nanomaterial. They reported
mechanics including seepage, grouting, soil the results of a series of Atterberg limits and
stabilization and etc. unconfined compressive strength tests. The results
Mixture of soil with some special additive could showed that adding Modified Montmorillonite Nano-
improve the soil strength parameters, and this clay into the soil increases the liquid limit and
procedure has been performed in the past for plasticity index and meaningfully improves the
stabilization and improvement of weak soils. The unconfined compressive strength of the soil.
main strategy of nanotechnology in geotechnical The performed studies indicate that the
engineering is the improvement of soil parameters application of nanomaterial in the field of chemical
with application of nano materials. The presence of reactions produces more effective results
only small amount of nano material in the soil could compared with the physical presence of
influence significantly the physical and chemical nanomaterial in the soil structure, and this is
significant in stabilization of weak soils. In this way, common additive. Nano-silica was selected as
the improvement and stabilization of the weak soil nanomaterial additive on the soil-lime mixture. This
from Boodian road in north of Iran, as a case study, selection was based on the results of XRD and
with the application of nanomaterial was XRF tests on the weak original soil (Seyedi et al.,
investigated. 2013). The physical and chemical properties of
The aim of authors was to make a comparison hydrophilic fumed silica are shown in table 2.
between traditional stabilization methods of adding
lime, and the new procedure of adding a suitable 2.2- Method
nanomaterial in the mixture of soil-lime. This study
was performed based on the results of Unconfined To evaluate the effect of Nano-silica additive on the
Compressive Strength (UCS) tests which are more improvement of the weak soil strength, a series of
frequent applied in the practice. 80 UCS tests were conducted. At first step, the
effect of lime on the stabilization of soil was
2- Experimental program investigated. The trial-and-error approach was
used to find optimum amount of lime in the mixture.
The experimental program was implemented in two The amount of lime for each mixture was calculated
parts: first, determination of geotechnical properties based on the dry soil mass, and selected as 0-1-3-
of soil, and soil-additive mixtures and second, 5-7%. In the second step, effect of Nano-silica on
mechanical behavior of soil-additive mixtures. A the improvement of the soil-lime mixture strength
series of UCS tests were conducted to find was studied, based on the optimum amount of lime
optimum amounts of lime and nanomaterial in the determined in the previous step. To reach to this
mixture. The brief descriptions of these two parts aim, 1-3-5% of nano-silica was added to the soil-
are discussed as below. lime mixture based on the dry soil mass. In all
experiments, the term S, L and NS represent soil,
2.1- Materials lime and nano-silica respectively.
The soil used in this study, was obtained from Table 2. Properties of Nano silica
Boodian road in north of Iran. The soil properties Properties Value
obtained from tests are illustrated in table 1, and SiO2 99.8 %
the grain distribution cure is shown in the figure 1. Cooler white
According to the unified classification system this Particle size 12 nm
soil is classified as CL (low plasticity clay).
Specific surface area (SSA) 200 m2/gr
Tapped density 50 gr/lit
Bulk density 30 gr/lit
Ignition loss 1%
PH 3.7-4.7
In order to measure the direct strength of mixture of

soil and additives the UCS test was conducted
according to ASTM-D5102-09. In each sample, the
optimum amount of water was determined in
standard compaction test and the UCS specimens
were prepared based on desired moisture.
Figure 1. Grain size distribution 3- Results and discussion
Table 1. Properties of the soil 3.1. Effect of lime on stabilization of soil

Properties Value
Liquid limit 30 The results of compaction test in the soil-lime
Plastic limit 21 mixture with 0-1-3-5-7% lime are illustrated in figure
Plasticity index 9 2. As shown in this figure, with increasing the
Specific gravity 2.65 amount of lime in the mixture, the maximum dry
density (MDD) of the mixture decreases and
Coefficient of uniformity (Cu) 100 optimum moisture content (OMC) increases.
Coefficient of curvature (Cc) 1 Decreasing the MDD of the soil-lime mixture is
Effective of diameter (D10) < 0.001 mm significant in low percent of lime (1-3%) compared
with high percent of lime (5-7%). This is mainly due
Hydrated lime (Ca(OH)2) was used to improve to chemical reaction in the mixture which occurred
the native weak CL soil from Boodian road as a rapidly between soil and lime particles and caused
changes in the structure of soil (Sherwood, 1995; (Seyedi et al., 2013), the use of nano-silica for
Osinubi et al., 1998). stabilizing the weak soil and improving the shear
These chemical reactions also increases the strength parameters was suggested. Silica is
OMC of the mixture due to structural changes, in known as a pozzolanic material and has been used
which the dispersed structure changes to to stabilize and improve soil strength (Diaz-
flocculated structure and in result, mixture absorbs Rodriguez, 2004; Patricia et al., 2007). The
more moisture. Another reason for this occurrence chemical pozzolanic reactions between silica and
is the hydration process of lime during pozzolanic lime particles cause the improvement of mixture.
reaction. The lower specific gravity of lime is also The results of compaction tests on the soil-lime-
responsible in decreasing the amount of MDD. nano-silica mixture with 0-1-3-5% of nano-silica,
based on the dry soil mass, are illustrated in figure
4. It is noteworthy that the amount of lime in all
specimens in this part was 5%, in which it was
determined as optimum amount in previous step.
As shown in figure 4, adding a small amount of
nano-silica in the mixture of soil-lime, causes that
the MDD of soil-lime mixture decreases, whereas
the OMC of the mixture increases. The chemical
reaction between lime and nano-silica plays a main
role in these phenomena, such that the dispersed
structure of the soil changes to flocculated
structure. It is noteworthy that the presence of
nano-silica in the mixture increases chemical
pozzolanic reaction, and speeds up their
processes. With increasing the pozzolanic reaction,
Fig. 2. Compaction characteristics curve for
a large amount of water in the mixture participates
stabilized the soil with lime
in chemical reaction and as a result the more
amount of water is required. The low density of
Figure 3 shows that the UCS of the mixture, after
nano-silica (30-50 gr/lit) also results in decreasing
28 days curing, increases with increasing the
the MDD of the mixture.
percent of the lime. Regarding these results and
other similar previous experiences on CBR tests
(Seyedi et al., 2013), it can be concluded that the
optimum amount of lime is 5%. There is a little
difference between 5% and 7% of lime in the
mixture. The selection of 5% is also more suitable
than 7% regarding practical aspects.
Figure 4. Compaction characteristics curve for

stabilized the soil-lime mixture with nano-silica
To evaluate the effect of nano-silica in

improvement of the strength of soil-lime mixture, a
series of UCS tests were performed. Figure 5
shows the UCS results of the mixture with 1-3-5%
Figure 3. Behavior of UCS of the soil with adding
of nano-silica, when the specimens were cured at
different presents of lime (28 days curing)
250c during 28 days. The results presented in
figure 5 indicate that the application of nano-silica
3.2. Effect of Nano-silica in the improvement of
is very effective and meaningful in improving the
the soil-lime mixture
UCS of pure soil and soil-lime mixture. Based on
these results the 3% of nano-silica was selected as
The results in the previous part showed that adding
optimum amount, in which increases the UCS of
lime in the soil, could not improve the soil strength
the soil and soil-lime mixture up to 7.5 and 3 times
sufficiently, which is needed in the practice. After
(750% and 300%) respectively.
proper studies on the nanomaterial in one side and
evaluation of the results of XRD and XRF tests on
the original soil of Boodian road on the other side
showed an increase of 7.5 times (750%) in

UCS of soil for 3% nano-silica after 28 days
curing.
- Based on the results presented here, the UCS
of weak soil with 5% lime and 3% nano-silica
(which is optimum mixture design) is perfectly
sufficient for utilization as subgrade, sub-base
and base materials in the road construction.
- The UCS of soil-lime mixture and soil-lime-
nano-silica mixture increased with increasing
curing time. The rate of UCS growing in
mixtures containing nano-silica is very high
which can be significant and more useful in
practice.
Figure 5. The significant effects of nano-silica in
the UCS of soil-lime mixture
Acknowledgements
The effects of curing time in the experiments
were investigated regarding the different amount of The authors would like to thank Permayon
nano-silica in the mixture, and considered Advanced strengthening Company for their support
immediately, 3, 7, 14 and 28 days after molding. for this study and also transportation office of Gilan
The results are shown in figure 6. As illustrated in province (North of Iran) for selection of tested site.
this figure, the rate of UCS growing in first days
with the mixtures containing nano-silica is very high
which are very effective especially in the projects References
with time limitations. For example the UCS of the
mixture with only 1% of nano-silica after 3 days ASTM-D5102-09, Standard Test Method for
curing is greater than the UCS of the soil-lime Unconfined Compressive Strength of
mixture after 14 days curing whereas the presence Compacted Soil-Lime Mixtures. ASTM
of 3% nano-silica in the mixture produces more International, West Conshohocken, United
strength after only a few hours (immediately) than States.
soil-lime mixture after 28 days curing. Diaz-Rodriguez J.A., and Antonio V.M., Izarraras.
(2004). Mitigation of liquefaction risk using
colloidal silica stabilizer, 13th World Conference
on Earthquake Engineering Vancouver, B. C,
Canada, Paper No509.
Ghazi H., Baziar M.H., Mirkazemi S.M., (2011), The
effects of nano-material additives on the basic
properties of soil, 14th Asian regional
conference of geotechnic, Hong-Kong.
Guoping Zhang. (2007). Soil nanoparticles and
their influence on engineering properties of
soils, Advances in Measurement and Modeling
of Soil Behavior
Osinubi K.J., (1998). Influence of compactive
efforts and compaction delays on lime-treated
soil, Journal of transportation engineering,
Figure 6. The effects of curing time in UCS for
ASCE, vol.124 no.2.
different amounts of nano-silica
Patricia M.G., Carolyn T.C., Kyle M.R. (2007). Full-
Scale Field Testing of Colloidal Silica Grouting
4- Conclusion for Mitigation of Liquefaction Risk, Journal of
The results of this study can be drawn as follow: Engineering, Vol. 133, No. 2, ASCE, ISSN
1090-0241/2007/ 2-186–196.
- Adding nano-silica in the mixture of soil-lime Seyedi Gelsefidi. S.A.R., Mirkazemi, S.M., Baziar
(5% lime) caused decreasing the maximum dry M.H. (2013). Application of Nanomaterial to
density of the mixture and increasing the Stabilize a Weak Soil. 7th International
optimum moisture content. Conference on Case Histories in Geotechnical
- The UCS of the soil-lime mixture (5% lime) with Engineering. Chicago.
adding 3% of nano-silica, increased up to 3 Sherwood. P.T, (1995), Soil Stabilization With
times (300%), after 28 days curing. Cement and Lime, State of The Art Review,
- The same comparison made for UCS of soil and TRL, Dept. of Trans.
soil-lime-nano-silica mixture and results
STABILIZATION OF SOFT MARINE SEDIMENTS FROM THE PORT

OF KOPER (SLOVENIA)
STABILISATION DE SÉDIMENTS MOUX MARINS DU PORT DE KOPER (LA
SLOVÉNIE)
Jasna SMOLAR1, Ana MLADENOVIČ2, Ana PETKOVŠEK1
1
University of Ljubljana, Faculty of Civil and Geodetic Engineering, Ljubljana, Slovenia
2
Slovenian National Building and Civil Engineering Institute, Ljubljana, Slovenia
ABSTRACT - At the Port of Koper soft marine clayey sediments (dredged mud) are continually excavated
from the sea bottom in order to maintain safe navigation for ships, as well as to deepen the seabed to permit
the entrance of large ships into the port. This dredged mud is highly plastic, with a liquid limit of over 70 %.
The mixture of dredged mud and sea water is presently pumped as slurry into temporary lagoons, which are
located inside the port area; this is where the sedimentation process starts. Due to their low permeability, and
the fact that the desiccation and consolidation processes inside the lagoons are very slow, this dredged mud
remain in liquid consistency for several years or even more. Nevertheless, it can also be viewed as a
potential raw material, and in order to define the best way in which they could be used, an extensive research
project was launched. In the part of the project described in the paper, laboratory studies were performed in
order to investigate the extent to which various stabilizing agents can be used in order to improve the
properties (e.g. compressive strength) of the dredged mud as potential construction materials, as well as the
composition of leachates from dredged mud that had been stabilized using these agents. It was found that,
due to the excessively high moisture content of the dredge mud, stabilization by using additives does not
appear to be a promising solution, so that drying processes should be improved as a priority.
1. Introduction desiccation and the consolidation processes inside

the lagoons are very slow. As a consequence, the
At the Port of Koper (Figure 1) soft marine clayey dredged mud remains in liquid consistency for
sediments (dredged mud) are continually excavated decades.
from the sea bottom in order to maintain safe Stabilization of soft soils using additives is a
navigation for ships, as well as to deepen the common practice for improving the strength and the
seabed to permit the entrance of large ships into deformation behavior of soils (Cristelo et al., 2013,
the port. Patel and Patel, 2012, Sharma et al., 2012, Mishra,
2012, Tastan et al., 2011, Suneel et al., 2010,
Jongpradist et al. 2010, Lin et al., 2007, Hesam,
2006, Kaniraj and Havanagi, 1999).
This paper presents the results of laboratory
investigation in which we investigated how the
addition of lime and fly ash influence the strength of
dredged mud in the Port of Koper.
2. Materials
Three kinds of materials were used as agents for

stabilization, i.e. soft marine clay - dredged mud
and the hydrated lime and the Class C fly ash.
Dredged mud is very fine grained having fines
content from 72 % to 99 % (Figure 2). The natural
Figure 1. Map of Slovenia with location of Port of water content (w0), liquid limit (wL) and plasticity
Koper (Logar, 2012) index (PI) are given in Table I.
Dredged mud typically have high water content Table I. Index properties of dredged mud.
and low bearing capacity and is presently pumped Sample w0 (%) wL (%) PI (%)
as slurry into temporary lagoons, which are located 1 73 76 56
inside the port area. In these lagoons the 2 65 63 42
sedimentation processes starts, but due to low
permeability and high osmotic suction, the
The loss on ignition (LOI) is around 17 % for the dry weight of dredged mud. The amount of
both samples. additives added to the dredged mud samples is
The optimum water content (wopt) is about 25 % given in Table III.
and the maximum dry density (Udmax) is about 1.5
3
t/m , which are quite typical parameters for plastic Table III. Descriptions of mixtures
clays. Mixture Soil sample (1) Fly ash (% Hydrated
Hydrated lime, manufactured by Kresnice or (2) (Table I) by mass) lime (%
company, Slovenia, was used in the study. This by mass)
lime is made from limestone and is constituted of A 100 % (1) 5 3
about 92 % Ca(OH)2. B 100 % (1) 7 3
C 100 % (2) 7 3
100
90 3.1. Unconfined compressive strength
80
Percentage passing
70
60
Unconfined compressive strength after SIST-TS
50
CEN ISO/TS 17892-7:2004 was determined on the
40 compacted cylindrical samples of dredged mud with
30 no additives as well as on mixtures after certain
20 FLY ASH period of resting.
10
SAMPLE 1 For each mixture a series of specimens, 38 mm
0 in diameter and 76 mm high, were prepared for
0,001 0,010 0,100 1,000
Particle size (m m ) unconfined compression tests. The compactive
effort for each specimen preparation was adjusted
in such way that the same impact energy per unit
Figure 2. Gradation curves for fly ash and dredged volume as in the standard Proctor effort was
mud - Sample 1 applied. The samples were closely wrapped in a
plastic bag and placed in a container in which 100
Fly ash was taken from the Thermal power plant % humidity was provided for 1, 4, 7, 14, 28, 45 and
Trbovlje, Slovenia, where brown coal is used to 90 days. After ageing, the unconfined compression
generate electricity. The fly ash belongs to the test was conducted and the water content as well
Class C type and exhibits pucolanic and hydraulic as the bulk density were determined.
(self-cementing) properties. The mineralogical
composition of fly ash was determined using the x- 3.2. Oedometer tests
ray diffraction and the scanning electron
microscopy. The main composition in the fly ash is The samples for one-dimensional consolidation
glassy spheres, while the crystalline compounds tests (SIST-TS CEN ISO/TS 17892-5:2004) were
consist mainly of hematite, quartz, anorthite, lime, prepared from dredged mud at natural water
anhydrite and calcite. Gradation curve of fly ash content and from mixture A and B. For each sample
used in this study is given in Figure 2 and its specimens 70 mm in diameter and 19.1 mm high
chemical composition is given in Table II. were prepared and loaded and unloaded in several
steps (from 4.5 kPa to 1600 kPa). At each loading
Table II. Chemical composition and index stage the change of the height was recorded and
properties of fly ash after unloading the water content and bulk density
Parameter Unit Measured were determined.
value
CaO % by mass 7.58
SiO2 % by mass 45.31 4. Results and discussions
Al2O3 % by mass 26.44
Fe2O3 % by mass 7.75 Unconfined compressive strength determined on
MgO % by mass 2.19 compacted dredged mud without additives at
SO3 % by mass 1.89 different water contents is presented in Figure 3.
Loss on ignition % by mass 2.05 Specimens prepared at optimum water content
Percent of fines % by mass 63.5 show unconfined compressive strength higher than
300 kPa. However, for specimens, compacted at
water content of 39 %, which is half of the natural
3. Methods for the mixture preparation and water content of the dredged mud in the lagoons,
experimental program the strength is lower than 30 % of the strength
expected at optimum water content.
Dredged mud was dried at a room temperature and From the given data it was not feasible to
the average water content was reduced to about 39 prepare mixtures with additives using the dredged
%. The proportions of hydrated lime, fly ash and mud at natural or optimum water content. The grey
dredged mud (Sample 1 or 2) in mixtures was circle on Figure 3 indicates the range of water
defined as the ratio of their respective dry weight to
content, at which the specimens of mixtures were Data in Figure 4 show that 1 day old specimen
prepared. of dredged mud (Sample 1) at water content 35 %
Unconfined compressive strength was exhibits compressive strength of 90 kPa. In
measured on 18 specimens of mixtures A, B and C. comparison, at equal water content mixtures A, B
Water content (w), dry density (Ud), strain at failure and C exhibit higher strength. After ageing,
(H) and unconfined compressive strength (qu) of mixtures developed different unconfined
specimens after ageing are given in Table IV. compressive strengths, depending on the amount
The unconfined compressive strength of fly ash. After 90 days mixtures A prepared with 5
determined on mixtures is presented on Figure 4. % of fly ash show unconfined compressive strength
of about 150 kPa, and mixtures B and C prepared
350 with the addition of 7 % fly ash exhibit about 230
Sample 1 kPa.
unconfined compressive strength (kPa)
300
The dry density and the water content of aged
water content of
250
mixture
mixtures are presented in Figure 5 and in Table IV.
200 The line of 100 % and the 95 % saturation are
marked with black lines.
150
From Figure 5 it can be observed that the
100 mixtures are not losing moisture during ageing.
50
They stay highly saturated during the whole ageing
period. Dry densities of specimens prepared from
0
15,0 20,0 25,0 30,0 35,0 40,0
the same mixture are comparable.
w ater content (%)
1,50
A B C
Figure 3. Unconfined compressive strength of 1,45
dredged mud. Grey area presents water content of
mixtures 1,40
Sr=100%
U d (t/m )
3
1,35
Table IV. Properties of specimens after ageing Sr=95%
Age w ρd ε qu
Mixture 3
1,30
days % t/m % kPa
1 34.5 1.38 8.39 141 1,25
7 34.1 1.38 9.17 150
14 33.7 1.40 8.03 167 1,20
A
28 34.3 1.39 5.62 169 30 32 34 36 38 40
45 34.3 1.41 11.1 156 w (%)
90 34.3 1.39 7.68 153

1 33.6 1.39 6.35 173
7 32.4 1.39 6.81 229 Figure 5. Dry density vs. water content of stabilized
14 33.1 1.40 8.66 170 specimens.
B
28 33.2 1.41 7.73 197
45 33.3 1.41 9.26 189
90 33.1 1.41 9.01 231 Oedometer tests were performed on three
1 32.2 1.42 11.7 166 specimens (Figure 6).
7 31.4 1.42 10.2 212
14 31.8 1.43 10.0 210
C
28 31.7 1.42 10.0 224 2,000
Sample 1, natural water content
45 32.0 1.42 8.88 228 1,800
Mixture A
90 31.5 1.43 9.12 224
1,600 Mixture B
1,400
250
1,200
e
230
210 1,000
190 0,800
170 0,600
qu (kPa)
150 0,400
1 10 100 1000 10000
130
V´(kPa)
110
A
90 B
70 C Figure 6. Results of oedometer tests
Dredged mud - Sample 1
50
0 20 40 60 80 100 The results of oedometer tests are presented as
tim e (day)
semi logarithmic plots of void ratio (e) vs. the
natural logarithm of the vertical effective stress (V´).
Figure 4. Unconfined compressive strength of Dredged mud specimen, prepared at natural water
mixtures depending on time content, shows different behavior than specimens
prepared from mixtures A and B. The specimens ILQHJUDLQHG VRLOV XVLQJ FKHPLFDO VWDELOL]DWLRQ
prepared from mixtures A and B exhibit similar
deformation behavior, although they contain a 'LVVHUWDWLRQ]XU (UODQJXQJ GHV DNDGHPLVFKHQ
different proportion of fly ash (Figure 6). *UDGHVGRFWRU UHUXP QDWXUDOLXP 0DWKHPDWLVFK
1DWXUZLVVHQVFKDIWOLFK7HFKQLVFKHQ )DNXOW¦W GHU
5. Conclusions 0DUWLQ/XWKHU8QLYHUVLW¦W +DOOH:LWWHQEHUJ SS
The results of laboratory tests show that the
dredged mud from the temporary lagoons in the -RQJSUDGLVW 3 -XPORQJUDFK 1 <RXZDL 6
Port of Koper is of highly plastic nature and much
too wet to be suitable for the improvement with the &KXFKHHSVDNXO 6 ,QIOXHQFH RI )O\ $VK
additives like lime, cement or fly ash. At the natural
RQ 8QFRQILQHG &RPSUHVVLYH 6WUHQJWK RI
water content the amount of additives, needed to
improve most importantly the workability and to &HPHQW$GPL[HG &OD\ DW +LJK :DWHU &RQWHQW
increase the strength would be too high and
-RXUQDORI0DWHULDOVLQ&LYLO(QJLQHHULQJ9RO
therefore the costs as well as the volume ratios are
not promising and feasible. 1RSS
The analysis of the data also shows that the first
step should be made in the direction of improving .DQLUDM 65 +DYDQDJL 9* &RPSUHVVLYH
the drying processes. There is no place in the port VWUHQJWK RI FHPHQW VWDELOL]HG IO\ DVKVRLO
to allow the spreading of the dredged mud to
thinner layers in which the desiccation would be PL[WXUHV &HPHQW DQG &RQFUHWH 5HVHDUFK
running much faster than inside the lagoons. SSದ
Therefore, it seems that a drying plant using filter
press to squeeze water out of the dredged mud /LQ ') /LQ ./ /XR +/ $ &RPSDULVRQ
would be one of feasible solutions. The water EHWZHHQ 6OXGJH $VK DQG )O\ $VK RQ WKH
content of the filter cake should be about 35 % to
achieve the right consistency for using stabilization ,PSURYHPHQW LQ 6RIW 6RLO -RXUQDO RI WKH $LU
agents. :DVWH 0DQDJHPHQW $VVRFLDWLRQ 9RO SS
Results presented in the paper are the first step
of investigation. Additional testing to define the
filtration characteristics of the dredged mud as well /RJDU - /HVVRQV OHDUQHG IURP WKH
as the influence of different additives on the drying
of dredged mud should be performed, before the FRQVWUXFWLRQ RI 3RUW RI .RSHU 9 9¿URÏQ¯
best available technique can be proposed to the NRQIHUHQFH VH ]DKUDQLÏQ¯ ¼ÏDVW¯ %UQR
port authorities.
WK $QQXDO &RQIHUHQFH %UQR =DNO£G£Q¯
VWDYHESRXÏHQ¯]Y¿]QDPQ¿FKJHRWHFKQLFN¿FK
6. Acknowledgments
SURMHNWıDUHDOL]DF¯VERUQ¯NSě¯VSÝYNıILQGLQJV
Financial support for this study was provided by the HDUQHGIURPWKHVLJQLILFDQWJHRWHFKQLFDOSURMHFWV
Slovenian Research Agency (ARRS) - Applied
research project Nr. L1-4311 (B): Sediments in DQG WKHLU UHDOL]DWLRQ SURFHHGLQJV %UQR
aquatic environments: their geochemical and
6HNXUNRQVWU
mineralogical characterization, remediation, and
use as secondary raw materials. 0LVKUD 1. 6WUHQJWK &KDUDFWHULVWLFV RI
Class C Fly ash used in the study was provided
&OD\H\ 6XE*UDGH 6RLO 6WDELOL]HG ZLWK )O\ $VK
by the Thermal power plant Trbovlje.
DQG /LPH IRU 5RDG :RUNV ,QGLDQ *HRWHFKQLFDO
-RXUQDO -XOL\6HSWHPEHU SS
7. References

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SIST-TS CEN ISO/TS 17892-5:2004, Geotechnical
investigation and testing - Laboratory testing of
soil - Part 5: Incremental loading oedometer test
(ISO/TS 17892-5:2004).
SIST-TS CEN ISO/TS 17892-7:2004, Geotechnical
investigation and testing - Laboratory testing of
soil - Part 7: Unconfined compression test on
fine-grained soil (ISO/TS 17892-7:2004).
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RI 0DULQH &OD\ ,PSURYHG ZLWK )O\ $VK 0DULQH
*HRUHVRXUFHVDQG*HRWHFKQRORJ\SSದ

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ÉTUDE DE CAS DE LA PRATIQUE ACTUELLE DE LA CONCEPTION
D'ANCRAGES PAR RAPPORT AUX ÉTATS LIMITES
Paul STEPHENSON
AGL Consulting, Dublin, Ireland
ABSTRACT - Anchor design in Ireland is currently carried out in accordance with British Standard BS8081
and the corresponding regime of load testing post installation. This regime requires verification of anchor
capacity in tests which are based on the working load of the anchor, which is poorly defined and it is unclear
whether it represents an SLS or ULS anchor load. Section 8 of Eurocode 7 is being revised and a draft has
been circulated to member states for acceptance. It will give countries the option to consider the ultimate
and serviceability resistance of the anchor in design, which will include consideration of lock-off loads and
post lock-off effects. This paper reviews the current practice of anchor design in Ireland and looks at a case
study where anchors were used to support a temporary sheet piled excavation. The ability of the testing
regime to give confidence that the ULS and SLS limit states are satisfied is assessed to show how current
levels of testing relate to these limits states.
1. Introduction The factors of safety to be applied to the

grout/soil interface for temporary and permanent
The design of anchors is generally based on a anchorages are outlined in Table 2 of BS-
testing regime which to date in Ireland has been 8081:1989.
carried out in accordance with BS8081. The level to Design verification and quality assurance testing
which the load is taken in the anchor tests is based must be carried out on all working anchors as
on a multiple of the working load derived in design. outlined in Section 1. The proof load, which is the
“Section 8 – Anchors” of EN 1997-1 which has maximum load applied in an anchor test, is 1.5Tw
recently been revised offers the option for anchor for suitability and acceptance tests. The suitability
design/verification to consider ULS and SLS and acceptance tests which specify cyclical loading
resistance separately. The verification of anchor increments as set out in Tables 17 and 18 of BS-
capacity is achieved in practice using investigation, 8081:1989. The lock off load is generally 110% Tw
suitability and acceptance tests as defined in EN and residual monitoring is carried out. Tables 13 to
1997-1, Section 8. The ultimate and serviceability 15 specify the recommended loading increments
resistance of an anchor determined from a test are and acceptance criteria for investigation tests. In
designated RULS,m and RSLS,m respectively. suitability and acceptance tests the limiting criteria
Section 8 refers to ISO 22477-5, Testing of are based on values of 1.5Tw and Tw which may be
Anchors, which is currently a draft version, outlines interpreted as representing ULS and SLS values
three different anchor testing methods. respectively.
This paper reviews current practice of anchor
testing in Ireland and the proposed revised Section
8 of EN 1997-1. The results of anchor tests on a 3. Anchor design to EN 1997-1, Section 8
case study are presented and are interpreted using
the different methods to give RULS,m and RSLS,m Anchor design, as defined within the revised draft
where appropriate. of Section 8 of Eurocode 7, gives the option to
consider ultimate and serviceability limit states of
2. Current Practice of Anchor Design in Ireland the anchor and support structure as well as the
effect of lock off loads.
Current practice in Ireland is to estimate the anchor The design value of the geotechnical ULS
length by calculation using a factor of safety anchor resistance (RULS,d) can only be obtained
approach with characteristic actions and soil from values measured (RULS,m) in investigation tests
parameters. A working load (Tw) for the anchor is carried out in accordance with the draft ISO 22477-
used, defined as ‘the safe load of the anchorage’. 5. Suitability and acceptance tests can be used to
No guidance is given as to whether Tw is confirm that the ULS requirement is satisfied. The
determined using a ULS calculation or using criteria for satisfying RULS and RSLS are set out in
characteristic values but the terminology suggests Table A.21.
that it should represent the maximum force that the Anchor testing can be carried out using one of
anchorage could be expected to experience during three methods, specified in the draft ISO 22477-5,
its service life. Testing of Anchors.
Annex G outlines test method 1 where α1 is the for high plasticity clay was used for preliminary
limiting criteria defined as the “creep ratio at design for the investigation test. This indicated an
constant anchor load derived from the linear end of ultimate anchor resistance of 677kN. Interestingly,
the log time vs displacement curve”. It is calculated the maximum load achieved in the investigation
using formula 1. test was 524kN.
Suitability testing was carried out on anchor
1 / log10 / (1) No’s. 8, 12 and 21. A retest of anchor No. 21 was
carried out due to failure of the initial test following
ISO 22477-5 currently includes additional lock off based on creep criteria in BS 8081. In the
criteria for suitability and acceptance tests which tests, 4 No. load cycles were firstly carried out with
comprise anchor head displacement and varying the tests held for 15 minutes at 150% Tw preceded
monitoring periods required for anchors in different by 3 No. 1 minute load step increases and with a
soil types. No method is defined for estimating the similar load drop following the hold. The anchors
ultimate load from investigation tests and ULS and were then locked off at 110% Tw and monitored for
SLS resistances are not separated. between 140 and 205 minutes.
Annex H defines procedures for testing an Acceptance tests involved 3 or 4 load cycles
anchor using method 2. It is based on the similar to the suitability tests followed by a hold
cumulative load loss, k1 as set out in Table H.1 and period at 110% Tw and anchor head displacement
is similar to the current practice in BS8081. monitoring for 105 minutes. Based on the BS8081
Investigation tests taken to failure can be used to criteria, 16 of the 24 No. acceptance tests were
determine measured values of the ULS and SLS outside allowable limits. This was explained by load
anchor resistance. For the purposes of this paper redistribution in the high plasticity clay at the start
RSLS,m is taken as 0.9 times the critical creep load, of the hold. To allow for this a 55 minute
Pc which is defined in the draft ISO 22477-5 as the redistribution hold period was allowed before
point at the “end of the first pseudo linear part of monitoring began.
the load vs k1 plot”. RULS,m is defined as “the load
corresponding to the vertical asymptote of the plot 4.1 Investigation Test
or the load for which k1 is equal to 5%”.
Annex I defines the procedure for anchor testing The investigation test was analysed based on
to method 3 which involves stepped loading with 60 the criteria outlined in ISO 22477-5 for methods 1,
2 and 3 which gave values of RULS,m and RSLS,m as
minute hold periods. α3 is the limiting criteria and is
calculated for the last 2 time periods of the relevant outlined in Table 1. Note that values of RULS,m are
less than 524kN because of an excessive creep on
load step using the same formula as α1 in method
the 4th cycle of the investigation test.
1. Different acceptance limits are set out for
suitability and acceptance tests in I 2.1 and I 2.2. Table 1: Values interpreted from Investigation test
RSLS,m is defined as “the end of the first pseudo
Method 1 2 3
linear segment of the α3 vs load” plot or 0.9 times
the critical creep load, P’c which is the point at the RSLS,m (kN) - 344 363
“intersection of the first pseudo linear segment and RULS,m (kN) 440 409 440
a second line built with the last points of the α3 vs
load curve”. RULS,m is defined as the load Determination of the values in Table 2 is made
corresponding to the vertical asymptote of the plot by interpretation of plotted data from the load
or the load for which α3 is equal to 5mm. cycles as outlined in Section 3 and shown in
Figures 2 and 3 for methods 2 and 3 respectively.
The RULS,m value interpreted for method 1 uses the
4. Case Study: Permanent Ground Anchors in
2mm limit for α1 as set out in Table A.21 of EN
London Clay:
1997-1, Section 8.
Test results for 24 No. permanent anchors and one Values of α1 and α3 are calculated for methods
investigation anchor in London Clay are presented 1 and 3 respectively using the formula outlined in
and analyzed. The ‘specified working load’ supplied Section 3 for a time period interpreted with the aid
by the wall designer was assumed to be an of the log time – displacement plot, shown in Figure
unfactored working load, Tw. The design and 1. The proof load was increased on each load cycle
testing regime was specified in accordance with with deformation occurring during the fourth cycle.
BS8081. The cycle 4 data is mostly outside the limits of this
The test results have been interpreted in plot for clarity.
accordance with the three methods outlined in the Equivalent load loss, F is calculated from anchor
draft EN 1997-1, Section8 and ISO 22477-5 which head displacement using Equation 2 (to enable
separates RULS and RSLS. calculation of k1, the cumulative load loss)
The characteristic undrained shear strength

design line based on SPT N-Values using the (2)

relationship from Stroud (1989); cu = 4.5NSPT (kPa)
presented in Table 2 with other relevant monitoring

data. All values of α1 are within the 2mm limit,
however the monitoring period is below the 720
minute limit set by Table G.1 in ISO 22477-5 for
permanent anchors in cohesive soils. The 0.5mm
anchor head movement limit for the 60 to 180
minute observation period is not met in the initial
test on anchor No. 21. However it should be noted
that this test and the anchor No. 8 test were
monitored for less than 180 minutes.
dŝŵĞ;ŵŝŶƐͿ
ϭ ϭϬ ϭϬϬ ϭϬϬϬ
Ϭ͘Ϭ
Ϭ͘Ϯ
Figure 1: Displacement vs log time for investigation
Ϭ͘ϰ
test cycle loading
ŝƐƉůĂĐĞŵĞŶƚ;ŵŵͿ
Ϭ͘ϲ
Ϭ͘ϴ
ϭ͘Ϭ
ϭ͘Ϯ
ϭ͘ϰ
ϭ͘ϲ
ϭ͘ϴ
ŶĐŚŽƌEŽ͘ϭϮ ŶĐŚŽƌEŽ͘ϴ ŶĐŚŽƌEŽ͘Ϯϭ ŶĐŚŽƌEŽ͘ϮϭZĞƚĞƐƚ
Figure 4: Suitability test displacement vs log time
Table 2: Method 1 data for the suitability tests.

Monitoring Displacement
Anchor α1 (mm)
Period (min) 60-180min
8 140 0.297 0.16*
12 205 0.04 0.09
Figure 2: Determination of RULS,M and RSLS,M for 21 150 1.172 0.61*
Method 2 21 Retest 190 0.427 0.29
*Values for a 120 minute up to the end of the test
4.2.2 Method 2
The cumulative load loss, k1 is plotted against the
permissible values given in Table H.1 of ISO
22477-5 in Figure 5. This shows both tests on
anchor No. 21 not meeting the set limits. (Note that
the ISO standard specifies an observation time of 3
days to verify the suitability tests)
Figure 3: Determination of RULS,M and RSLS,M for

Method 3
4.2 Suitability tests
4.2.1 Method 1
The displacement – time plots for the suitability
tests are presented in Figure 4 and values of α1
calculated in accordance with method 1 are Figure 5: Cumulative load loss, k1 vs log time plot
4.2.3 Method 3 ϭϮй
α3 can’t be measured exactly over the last 2 time

intervals as the required stepped method of loading ϭϬй
was not used in these tests and the hold periods

ϴй
were generally longer than 1 hour. Therefore the
Ŭϭ ;йWŽͿ
values of α3 are calculated for a 30 minute period ϲй
(length of the last two specified load steps for
method 3) within the final 100 minutes of the test. ϰй
The results are shown in Table 3 below. It can be
seen that the initial anchor No. 21 test is over the Ϯй
1mm limit outlined in I 2.1 of ISO 22477-5.
Ϭй
ϭ ϭϬ ϭϬϬ ϭϬϬϬ
Table 3: Suitability test results for Method 3 dŝŵĞ;ŵŝŶƐͿ
Anchor α3 (mm) Figure 7: Acceptance test k1 vs log time plot

8 0.38
12 0.19
5 Conclusions:
21 1.14
21 Retest 0.44 • In methods 1 and 3, α1 and α3 values are
calculated on the final section of the log
4.3 Acceptance Tests time vs displacement plot. Therefore they
are not affected by the load redistribution in
4.3.1 Method 1 the London Clay which occurred at the start
The time – displacement plots of all the acceptance of the observation period for some anchors.
tests carried out are presented in Figure 6 below. • Method 2 defines 29% of the tests as
The α1 value was calculated for each test from the failures. However, when 55 minutes hold
linear end of the curve and resulted in all tests period is allowed following lock off before
satisfying the 2mm limit. Based on the limits set out staring monitoring, all tests are within the
in Table G.2 of ISO 22477-5, 18 of the 24 No. tests limits.
were with within the 0.25mm movement limit for the • There is only 4 No. data points from the
5 to 15 minute hold period. When this criteria was investigation test. This causes the load vs
used to analyze the cycle loading stages it was k1 plot in method 2 and the load vs α3 plot
found that only 30% were within the 0.25mm limit. in method 3 to be less defined than is
desirable at the critical location near the
dŝŵĞ;ŵŝŶƐͿ
ϭ ϭϬ ϭϬϬ ϭϬϬϬ end of the first pseudo linear section. It is
Ϭ͘Ϭ
thought that the values of RULS,m and RSLS,m
for methods 1 and 3 may be slightly lower if
Ϭ͘ϱ there were more data points available
around the end of the first pseudo linear
ŝƐƉůĂĐĞŵĞŶƚ;ŵŵͿ
section in Figures 2 and 3.

ϭ͘Ϭ
• Measured ULS anchor resistances from the
investigation test from the draft ISO 22477-
ϭ͘ϱ 5 guidance are lower than that estimated
originally in using BS8081.
Ϯ͘Ϭ
6 References:
Ϯ͘ϱ EN 1997-1:2004/FprA1:2012. Eurocode 7 –
Geotechncial rules – Part 1: General rules,
Figure 6: Acceptance test displacement vs log time Section 8 Anchors. Unpublished manuscript.
4.3.2 Method 2 Farrell E R, (2013) Harmonisation of anchor design

The k1 vs time plot is shown in Figure 7 with the within eurocode. Modern Geotechnical Design
ISO 22477-5 acceptability limits highlighted. The Codes of Practice, vol. 1, pp. 15-24. IOS Press.
set criteria requires k1 to be less than 3% Po after 3 ISO 22477-5, Geotechnical investigation and
time periods (50 minutes) where Po is the lock off testing – Testing of geotechnical structures –
load. 17 of the 24 No. anchors are within the limit. Part 5: Testing of anchorages. Unpublished
manuscript.
4.3.3 Method 3
Values of α3 were calculated over a 30 minute Merrifield C, Moller O, Simpson B, Farrell E, (2013)
period at the end of the acceptance tests and it was European practice in ground anchor design
found that all tests fall within the 1.5mm related to the framework. Manuscript submitted
acceptability limit. for publication
LIME STABILIZATION OF SILTY SOFT SOIL

LA STABILISATION À LA CHAUX D’UN SOL MOU LIMONEUX
1 1
Bojan SUSINOV , Josif JOSIFOVSKI
1
Ss.Cyril and Methodius University, Faculty of Civil Engineering, blvd. Partizanski odredi No.24,
1000 Skopje, Republic of Macedonia
ABSTRACT - Lime stabilization as a method for soil improvement is beneficial for number of important
engineering properties, such as: strength, resistance to fracture, resilient properties and reduced swelling.
This paper briefly describes the application of quicklime to stabilize soft soil. Many laboratory tests have been
carried out on silty soil to determine the improvements for lime in varying percentages. The laboratory
investigations for optimum lime and moisture content, preparing and curing samples under controlled
conditions were carried out. The investigation of both treated and untreated soil are focused mainly on the
strength parameters, changes in the plastic properties, compaction requirements, California Bearing Ratio
and compressibility characteristics of the lime-soil mixtures. Significant improvement and stabilization of the
silty soft soil has been observed for 4 percent of lime admixtures.
1. Introduction A summary of physical properties of the tested

soil is presented in table I. The grain size
Soils vary widely in engineering properties and often distribution curve indicated that the soil is
local soils are not adequate to meet the support composed of 62% silt, 30% fine sand and 8% clay.
requirements of a construction project (Slag Based on the Unified Soil Classification System
Cement Association, 2005). Constructions over soft (USCS) the soil is low plasticity clay (CL). The soil
soil are one of the most frequent problems in many also classified as A-6 (9) soil in accordance with the
parts of the world (Emilliani and Ismail, 2010). AASHTO classification system.
Thus, soil stabilization has become the major issue
in geotechnical and structural engineering. The Table I. Physical properties of untreated soil
literature review has shown that many researchers Characteristics Values, description
analyze the effectiveness of using different
Colour dark brown
materials as soil stabilizers. Several materials can
Natural water content [%] 29.2
be used as soil stabilizing agents e.g. lime, cement, 3
Field dry unit weight [kN/m ] 15.1
fly ash and their mixtures.
Specific gravity 2.79
Soils can be improved by adding lime to the soil,
Passing No. 200 sieve [%] 73
mixing thoroughly with a measured amount of
Clay content (d<2μm) [%] 8
water, and densely compacting the mixture. Lime
Plasticity Index [%] 12.2
stabilization is particularly important in road
OMC [%] 15
construction for modification of sub-grade soils, MDD [kN/m ]
3
18.3
sub-base materials and base materials. It may be CBR [%] 2.67
used for shorter-term soil modification e.g. to Activity 1.52
provide a working platform at a construction site. USCS CL
Through stabilization, it has been found that not AASHTO Class. System (GI) A-6 (9)
only mechanical properties were improved,
compressive strengths and bearing capacity were
increased, but also durable pavement was created. The form of the lime could be either quicklime
Lime improves the strength of soils by three (CaO), or hydrated lime (Ca(OH)2). Quicklime
mechanisms: hydration, flocculation and hydrates with the soil moisture to become hydrated
cementation. The first and second mechanisms lime and therefore acts as a better drying agent
occur almost immediately upon introducing the before providing the calcium to react with the silica
lime, while the third is a prolonged effect. The main and alumina in the soil. Table II presents the
objective of this paper is to evaluate the effects of chemical compositions of quicklime used in this
the lime on silty soft soil. research. The optained LOI is 27.26 %.
Table II. Chemical compositions of quicklime

2. Treated materials compound quicklime [%] compound quicklime [%]
SiO2 0.10 SO3 0.11
Disturbed soil samples were obtained from Al2O3 0.61 MgO 0.97
excavation pit at 2.0m depth. The soil samples Fe2O3 1.45 CaO 69.15
were subjected to classification laboratory testing.
3. Test procedures for soil-lime mixtures the lime content, the PL increases and the PI
decreases when 2% lime is added to soil. The
The laboratory testing procedures include further addition of lime does not change the
determining optimum lime requirements and plasticity.
moisture content, preparing samples, and curing.
Curing is important for chemically stabilized soils 4.3. Compaction
because lime-soil reactions are time and
temperature dependent. Standard Proctor compaction test was conducted
All laboratory tests were carried out according to on the five mixtures. The addition of lime to the soil
Macedonian standards but also some caused reduction in the maximum dry density
recommendations of ASTM standards had been (MDD) and increase in the optimum moisture
used. content. The typical compaction curves of different
The tests were carried out on specimens of soil- soil-lime mixtures are presented in Figure 1.
lime mixtures with different percentages of lime (2, 19.00
4, 6, 8, 10%) added with respect to the dry weight of 0 % lime
18.50 2 % lime
soil. To determine the optimum lime content, the 4 % lime
18.00
Eades and Grim pH test was performed. Change of 6 % lime
8 % lime
soil plasticity under the effect of lime in various 17.50
γd [kN/m 3 ]
S=100%
percentages was measured after 1 hour of primary 17.00
mixing, while changes in the Proctor rates was 16.50
calculated after a mellowing period of 24 hours. The 16.00
California bearing ratio (CBR) was performed after 15.50
a sample curing for 7 days at 40°C and than
15.00
soaked for 4 days. The specimens for oedometer 7.00 12.00 17.00 22.00 27.00 32.00
test cured 7 days at 23°C. The cylindrical samples, ω [%]
of dimensions 50x110mm, were prepared and
compacted with optimum moisture content to obtain Figure 1. Moisture – dry density relationship
the Unconfined Compression Strength (UCS) after
curing for 3 days at 50°C, 7 days at 45°C and 28 Although not investigated, is expected that the
days at 23°C. time of curing can contribute by increase in the
optimum moisture content.
4. Results and discussions 4.4. California Bearing Ratio
4.1. pH test The California bearing ratio (CBR) of a compacted

soil is determined by comparing the penetration
The Eades and Grim test is used to approximately load of the tested soil to that of a standard high
determine optimum lime content required to satisfy quality crushed stone rock. The results are used to
immediate lime-soil reactions and still provide evaluate the relative quality and strength of a soil.
significant residual calcium and high system pH The results presented in figure 2 and 3, indicate
(about 12.4 at 25°C) (Dallas and Yusuf, 2001). This that as lime content is increased there is an
is necessary to provide proper conditions for long- increase in the CBR value. If 4 % lime is added to
term pozzolanic reaction that is responsible for soil and cure 7 days, the CBR increase is
strength and stiffness development. significant. Following the recommendation for
The values in table III indicate that there is optimal lime content (AASHTO Classification), the
significant increase in pH when 2% lime is added, strength and deformability parameters were
but the increase diminishes as lime is further added investigated for 4, 6 and 8 % of lime.
to the soil.
Load [Mpa]
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
Table III. Physical properties of lime-soil mixtures 0.00
CBR=100%
Lime [%] 0 2 4 6 8 0% lime
1.27
pH [/] 8.21 12.26 12.35 12.41 12.42 4% lime
2.54 6% lime
LL [%] 29.7 29.3 30.4 29.7 30.0
Penetration [mm]
8% lime
3.81
PL [%] 17.5 23.3 22.9 23.0 23.3
PI [%] 12.2 6.0 7.5 6.7 6.7 5.08
6.35
All pH values of the different mixtures are in 7.62
correspondence with the recommended values. 8.89
10.16
4.2. Atterberg limits
Liquid limit (LL), plastic limit (PL) and plasticity Figure 2. Load versus penetration data obtained
index (PI) data obtained on the five mixtures are from a CBR test
presented in table III. The LL seems unaffected by
samples was cured as explained before to evaluate

the effect of curing time.
Additionally, an identical set of replicate samples
is tested with capillary soak to evaluate the effect of
moisture conditioning.
4.6.1. Effect of lime content

The effect of lime content is presented in Figure 5
and Figure 6.
1800
3 days
1600
7 days
1400
1200
UCS [kPa]
Figure 3. CBR values for penetration of 2.54mm for 1000
different lime content 800

600
4.5. Oedometer test 400

200
The apparatus used was standard one-dimensional 0
oedometer. Soil-lime mixtures were blended and 0 2 4 6 8

Lime content [%]
moistened, and then allowed to sit for 3 hours
before compaction to simulate the delay that Figure 5. UCS versus lime content (cured at 45°C)
typically occurs in the field. All remolded specimens
were left 7 days to cure before testing. This process By comparing UCS of soil-lime specimens cured
allowed the water to be distributed uniformly within at 45°C, it is seen that unconfined compression
the sample without any loss of moisture. Figure 4 strength increases as the lime content increases to
shows values of the compressibility modulus Mv 4%. As the lime content increases to 6 or 8%, the
(Eoed) obtained on all four mixtures. UCS decreases. The specimens cured for 7 days
60.0
with 4% lime content showed the highest values of
50 kPa 52.8
54.3
UCS (1259 kPa). It is clear that only 4% lime is
100 kPa
50.0
200 kPa
47.5 47.5 sufficient amount to double the UCS of the soil.
400 kPa
40.0 1800
Eoed [MPa]
28 days
31.7 1600
30.0 27.1 27.1 56 days
23.8 23.8 1400
1200
UCS [kPa]
20.0
13.1 1000
8.3 10.9 10.0
10.0 8.3 7.9 800
7.5
600
0.0 400
0 4 6 8 200
Lime content [%]
0
0 2 4 6 8
Figure 4. Modulus of compressibility versus lime Lime content [%]
content
There is an increase in Eoed as lime content Figure 6. UCS versus lime content (cured at 23°C)
increases to 4%. Unexpected decrease in Eoed from When the specimens cured for 28 an 56 days at
4 to 6 % is registered, especially in light of the 23°C the unconfined compression strength
values obtained for 8 % of lime content. increases as the lime content increases to 6%. As
the lime content increases to 8%, the UCS
4.6. Unconfined Compression Strength (UCS) decreases.
To evaluate the effect of lime content, UCS 4.6.2. Effect of curing time
samples are prepared for unstabilized and It is clear from Figure 7 and Figure 8 that the UCS
stabilized soil at three lime contents (4, 6 and 8%). increases by curing time for same curing
Lime is thoroughly mixed with the dry soil at conditions. Specimens cured at 45°C for 7 days
OMC and placed in plastic zip-lock bags for 1-24 show 65% higher UCS than the specimens cured
hours. After the mellowing period specimens were for 3 days at the same temperature. Also, the
compacted in accordance with standard proctor specimens cured at 23°C for 56 days show 71%
test. higher UCS than the specimens cured for 28 days
Specimens were divided into three sets, each at the same temperature.
consist of two with same lime content. Every set of
1600
4% lime
5. Conclusions
1400 6% lime
The mixture of lime and silty soil material, has
8% lime
1200 significantly improved the mechanical properties.
UCS [kPa]
Even at 2 % of lime, a reduction of moisture content

1000 and the plasticity index is around 40% and 45%,
respectively. The addition of quicklime increases
800
the optimum moisture while decreasing the
600 maximum dry density due to lower specific weight.
Thus, the quicklime can be applied in soils with high
400 moisture content resulting with more efficient
2 3 4 5 6 7 8 compaction.
Curing period [days]
Addition of lime does have effect on the CBR
values. The CBR has improved up to 16 times
Figure 7. UCS versus curing time (3 and 7 days) when 8% of lime is added to soil and cured 7 days
1600
and even better results are expected for longer
4% lime period of time.
1400 6% lime Lime also can improve the compressibility
8% lime characteristics of the soil. 4% of lime can increase
1200
the compressibility modulus up to six times.
UCS [kPa]
1000 Unconfined compression strength increases

depending on the lime content and the duration of
800 the specimen curing, but decreases with increase in
600
the moisture after soaking. The largest increase is
observed in specimen with 4% lime where for 7
400 days of curing at 45°C, the stabilized soil shows 2
20 30 40 50 60 times greater strength compared to the unstabilized
Curing period [days] soil. In this context, the same soil-lime specimens
soaked for 24 hours show greater UCS.
Figure 8. UCS versus curing time (28 and 56 days) A general conclusion would be that the most
suitable amount of lime to improve the strength
4.6.3. Effect of moisture condition characteristics of this soil would be 4%. On the
After curing period, some specimens were exposed basis of pH, LL, PL and PI, it can be concluded that
to soaking for 24 hours to evaluate the effect of 2% lime is optimal.
moisture conditioning on UCS. Figure 9 presents It would be interesting to investigate the long-
the results from UCS performed on the specimens term performance of lime stabilized soil.
after 7 days at 45°C curing time and 24 hours
capillary soaking.
6. References
Beeghly J.H. (2003). Recent experiences with lime

– fly ash stabilization of pavement subgrade
soils, base, and recycled asphalt. International
ash utilization symposium, pp.4.
Dallas N.L., Yusuf F.A.M.S., (2001). Example
problem for application of the national lime
association MDTP to ascertain engineering
properties of lime-treated subgrades. Technical
document. 2001, pp.1-24.
Emilliani A.G., Ismail D. S. A., Geotechnical
Properties of Fly Ash and its Application on Soft
Soil Stabilization. 2010, pp.1.
National lime association. (2006). Mixture design
Figure 9. Effect of moisture condition on UCS for and testing procedures for lime stabilized soil.
different lime percentages Technical brief. (www.lime .org)
Susinov B. (2013). Lime stabilization of low bearing
It is seen that the unconfined compression capacity soils.
strength decreases with increasing moisture after Slag Cement Association, Use of Slag Cement in
soaking. The untreated soaked specimens don’t Soil Cement. Bulletin No. 25, 2005, pp.1.
show any compressive strength. Taha R., Al-Rawas A., Al-Harthy A., Al-Siyabi H.
(2001). Use of cement by-pass dust in soil
stabilization. Engineerig journal of the University
of Qatar, vol 14, 2001, pp.61-76.
ACTUAL EXPERIENCE WITH THE GEOMASSIF IN COMPLICATED

SOIL CONDITIONS
L'EXPÉRIENCE DE L’UTILISATION DE GEOMASSIF DANS LES CONDITIONS
DU SOL COMPLEXE
1
Tatiana TRONDA
1
Belarusian National Technical University, Minsk, Belarus
ABSTRACT – The optimum alternative for reinforcing soft water-saturated soils such as a geomassif is
described. Series of experiments were carried out to check on availability of geomassif. Results of static
probing and punching tests showed the considerable increase of the modulus of the base deformation and
strength soil characteristics. According to comparative calculations the cost of geomassif can be 32-75%
lower than the cost of conventional pile foundations.
1. Introduction surface. The top of soft clay layer with organic

inclusions, marl, chalk and peat is located at a
Pile foundations, sand cushions, soil compaction by depth of 3.0-20.9 m from the base of the foundation
heavy rammers are usually applied in conditions of slab. Its total thickness reaches 26.8 m.
soft water-saturated soils. However, if the depth of Application of long bored piles is unsuitable in
soft soils reaches 20 m and more, the conventional this case due to the risk of high negative resistance
methods have little effect due to the limited use, on the lateral pile surface. The length of piles would
increased labor input and cost of work. Reinforcing make from 25 to 33 m. The variant of the sand
of the top of the base with the improvement of cushion is also unsuitable because its thickness
strength and deformation characteristics of natural would be 12 m.
soils is a more rational decision in these conditions. An optimal variant in such soil conditions is the
There has lately been a tendency to increase the application of geomassif, which consists of vertical
number of storeys of buildings, while new buildings reinforcing elements and horizontal reinforced sand
are more often placed on land with unfavourable cushion under the foundation slab.
soil conditions. One of the effective reinforcing Vertical reinforcing elements were made
methods for soft water-saturated soils is geomassif according to the technology of shaking pressed
consisting of dry concrete and soil-cement mixtures piles with 325 mm diameter, 1.0 m step and 3-9 m
in pressed wells. This structure allows to drain and length (photo 2). The load on the vertical reinforced
to compact natural soils at the same time. base is transmitted through 2.5 m thick three-level
The question of soil reinforcing by geomassif horizontal reinforced sand cushion (photo 3).
has been of interest for many scientists and For the quality control of soil compaction
researchers, such as L. Nuzhdin and V. Teslickiy between vertical reinforcing elements the static
(Нуждин Л.В., Теслицкий В.В., 2003), I. probing of the base was carried out. The modulus
Mirsayapov and A. Popov (Мирсаяпов И.Т., of deformation increased 2.5 times and reached an
Попов А.О., 2011; Попов А.О., 2012), V. Seskov average 20 MPa after vertical reinforcing elements
and V. Kravcov (Сеськов, В.Е., Кравцов В.Н., were arranged. After the arrangement and the
2012). All of them note the high efficiency of compaction of the sand cushion another probing of
geomassifs. the base was carried out. The probe couldn’t be
Technology of geomassif was applied at two plunged deeper than 2 m from the caps of vertical
worksites with complicated soil conditions: in Minsk reinforcing elements. It indicates the compaction of
and the borough Kolodischi. By reason of absence the surrounding soils above designated
such kind constructions in Belarusian practice and parameters.
normative documents it was checked on availability The reinforced-concrete slab punches were
by series of experiments such as static probing and made after the arrangement of vertical reinforcing
punching tests. elements and the compaction of the sand cushion
in order to determine the modulus of the geomassif
deformation (photo 4). According to the test results
2. Application and full-scale tests of geomassif the modulus of deformation averaged 55.8 MPa.
at the base of the house in Minsk The cost-performance comparison of variants
showed that the cost of geomassif is about 75%
Geotechnical conditions at the site of Multifunctional less than the cost of bored pile foundations.
Complex “Vivaldi” in Minsk are complicated (fig. 1).
There is a layer of soft clay and filled-up soils at the
Photograph 2. The arranging of

vertical reinforcing elements.
Photograph 3. The horizontal reinforcing

of the sand cushion.
Photograph 4. Testing of the geomassif fragment

by reinforced punch static load.
Figure 1. The engineering-geological section at the
site of Multifunctional Complex “Vivaldi” in Minsk. 3. Application and full-scale tests of geomassif
at the base of the house in the borough
Kolodischi
Geotechnical conditions at the site of the house in

the borough Kolodischi are complicated (fig. 5).
There is a layer of soft loess sandy clay under the
base of designed foundations. The layer reaches a
depth of 3.0-8.5 m. A layer of medium- strength As an alternative variant the cast-in-place

sand, clay soils with organic inclusions and peat lie reinforced foundation slab with cuts and geomassif
below. Then medium-strength sand is located at a were proposed. In accordance with the project
depth of 12.5-16.7 m. geomassif consists of vertical reinforcing elements
and a sand cushion between the foundation slab
and the elements.
Vertical reinforcing elements were made
according to the technology of shaking pressed
piles with 426 mm diameter, 1.5 m step and 4-7 m
length (fig. 7, photo 6, 8). The arranging of 1.0 m
thick sand cushion was fulfilled layer by layer with
the help of the shaking dynamic method (photo 9).
Photograph 6. The vertical reinforcing elements.
Figure 5. The engineering-geological section at the

site of the house in the borough Kolodischi.
Application of sectional driven pile foundations

was proposed as the first variant due to the
presence a big thickness of soft soils. Piles would
be united by a raft under this project. The length of
piles would be from 25 to 33 m. Figure 7. The drawing of
the vertical reinforcing element.
4. Conclusions
The full-scale tests of foundation slab fragments in

conditions of soft water-saturated clay soils
fastened by vertical reinforcing elements of dry
concrete mixture were carried out on two sites. It
allowed to determine that the modulus of the base
deformation increases considerably:
- from 8 MPa to 54 MPa (according to the
results of the punching tests) at the site in Minsk;
- from 4.3 MPa to 36.1 MPa (according to the
results of the static probing) and to 40 MPa
(according to the results of the punching tests) at
the site in the borough Kolodischi.
Photograph 8. The shaking pressed technology The results of the static probing of the base
plant for the arranging of vertical reinforcing showed the considerable increase of the strength
elements. characteristics of clay soils after the arrangement of
vertical reinforcing elements. The probe driving
resistance of soil increased 3.5 times, from
1.76 MPa to 6.29 MPa. This indicates that the
strength of the base increases not only due to
reinforcement and strengthening of natural soil.
Comparative calculations of costs showed that
the cost of geomassif can be 32-75% lower than
the cost of conventional pile foundations.
5. References
Нуждин Л.В., Теслицкий В.В. (2003). Усиление

оснований фундаментов ормированием
вертикальными элементами [The
Photograph 9. The compacting of the sand strengthening the foundation base by the vertical
cushion by vibration roller. element reinforcement]. Строительство, №3-4,
сс. 43-47.
Full-scale tests were carried out the same way Мирсаяпов И.Т., Попов А.О. (2011).
as at the above viewed site. The results of the static Определение несущей способности и осадок
probing of the base between vertical reinforcing армированных вертикальными
elements showed that the mean value of probe стержневыми элементами грунтовых
driving resistance of soil within the length was оснований [The capacity and settlement
1.79 MPa before the geomassif arranging, and after determination of the reinforced vertical elements
it made 6.29 MPa. It means that the resistance of soil bases]. Международный научно-
soils under the tip of the probe increased 3.5 times технический сборник. Киев, 2011, сс. 612-618.
after the arrangement of vertical reinforcing Попов А.О. (2012). Несущая способность и
elements. The modulus of deformation calculated деформации армированных грунтовых
according to the results of the static probing of the оснований (массивов) [The capacity and the
base averaged 36.1 MPa. Before arranging of deformation of reinforced soil bases (massif)].
vertical reinforcing elements the modulus of Санкт-Петербург, 2012, 24 с.
deformation had amounted to 10.3 MPa in these Сеськов, В.Е., Кравцов В.Н. (2012). Несущая
points. способность и деформативность
The results of the punching tests showed the оснований фундаментов, вертикально
modulus of deformation which averaged 40 MPa армированных грунтобетонными
that is 2 times higher than the designated микросваями в пробитых скважинах [The
parameter. It means the modulus of deformation capacity and the deformability of the foundation
increased 9 times after the arrangement of vertical bases vertically reinforced soil-concrete
reinforcing elements. micropiles in the punched wells]. Перспективы
The cost-performance comparison of variants развития новых технологий в строительстве и
showed that the cost of geomassif is about 32% подготовке инженерных кадров Республики
less than the cost of sectional driven pile Беларусь : сб. трудов XVIII междунар. науч.-
foundations although the cost of a raft would be 2 метод. сем., том II, редкол.: Д.Н. Лазовский [и
times as high. др.], 28-29 ноября, 2012. Новополоцк: ПГУ.
сс. 229-235.
DIAMETER PREDICTION OF COLUMNS CREATED WITH SINGLE

AND DOUBLE JET GROUTING SYSTEMS
PRÉVISION DU DIAMÈTRE DE COLONNES CRÉÉES AVEC DES SYSTÈMES
SIMPLE ET DOUBLE DE JET GROUTING
1
Lidia WANIK
1
The Silesian University of Technology, Gliwice, Poland
ABSTRACT - Jet grouting is a very popular ground improvement technique used for various applications.
The present study is particularly devoted to the role of coating of the injected fluid with a surrounding annular
jet of air, as is typically achieved in a double fluid injection system of jet grouting. Different simulations were
performed with this purpose using a finite element code. The results of the analysis were expressed in terms
of longitudinal and transverse profiles of velocity within the jet mass. Finally, a comparison between single
and double fluid effect on the diameter of the columns is presented
1. Introduction diameter of nozzles, pressure of injection and/or

flow rate, lifting and rotation speed of the monitor,
The jet grouting technique is widely used for the grout mix composition (water/cement ratio) and
reinforcement of foundations and the increase of finally on the characteristic of the natural soil. In
bearing capacity. The technology is based on high- practice, the choice of injection system is related to
speed grouting of water-cement mixture into the injection parameters. They are assigned on the
subsoil. The fluids are injected by small diameter basis of previous experience and their
nozzles (usually from 1,8 to 6 mm of diameter) on effectiveness is experimentally verified with field
grout pipe, which continuously rotates at a constant trials (Flora et al., 2013, Wanik and Bzówka, 2012).
rate and slowly raises to the ground surface. The The prediction of real diameters of jet grouting
jet propagates radially from the borehole axis and columns is one of the most relevant issues for a
quasi cylindrical bodies of cemented soil (soilcrete) successful design of treatments. The most
are created (Wanik and Modoni, 2012). appropriate way for better understanding of the jet
Depending on number of fluids injected into the grouting process will be performing experiments
subsoil, the technology can be classified into three with involved quantities. However, measuring the
categories: velocity of the fluid (typically from 200 to 500 m/s)
- single fluid system - cement grout is injected, induced by high speed injections is very complex,
- double fluid system - grout jet is wrapped by a while experiments carried out at lower speeds are
coaxial jet, not representative since the results are affected by
- triple fluid system - grout jet is preceded by a jet turbulent mechanisms which vary significantly with
of water surrounded by air (Fig. 1). the injection velocity (Wanik and Modoni, 2012).
Another possibility is reproduction of the
diffusion of submerged jets using numerical models
which simulates the turbulent character of the
injected fluid motion.
2. Submerged jet
The phenomenon of jet grouting is based on the

high pressure jet which cuts and mixes the soil.
With increasing a distance from the nozzle, the soil
is eroded and mixed with the injected fluid,
consequently forming slurrified mixture. Therefore,
Figure 1. Systems of jet grouting (from Heng, the jet stream can be assumed to be surrounded by
2008, adapted from HBI, 2004) a fluid. As a result, the characteristic of the jet can
be described to flow the submerged jet. The same
Selection of the most appropriate injection assumption has been also taken by Ho (2005),
system depends on the required diameter of the Modoni et al. (2006), Heng (2008) and Flora el al.
columns and strength of cement grout material. (2013) who assumed the jet characteristic to be the
These two factors are closely related to same as the characteristic of the submerged jet.
technological parameters of injection: number and
The evolution of hydrodynamic properties of the 100*d0 from the nozzle (Flora et al., 2013). In
fluid jet can be specified by longitudinal and practice, the Λ value is equal 16.
transverse velocity profiles. The injected fluid starts
from a small round nozzle (from 1,8 to 6 mm 2.1 Experimental tests
diameter) with a very high initial velocity V0 (usually
some hundreds meter per second). Thus the flow The behavior of submerged jets with lower
region can be divided into two parts (Fig. 2): velocities was experimentally investigated by Di
1) starting (or initial) zone where Vxmax is constantly Natale and Greco (2000) and de Vleeshauwer &
equal V0, along the longitudinal axis, Maertens (2000). The comparison between the
2) diffusion (or main) zone where Vxmax is lower results shows the dependency of the phenomenon
than V0, along the longitudinal axis. on the different turbulent mechanisms (different
velocities, Reynold’s numbers, diameter of nozzle)
performed in two cases (Wanik et al., 2012).
2.2 Numerical analyses
Numerical analyses were performed in order to

simulate the behavior of a submerged jet. The
analyses were carried out using ANSYS Fluent
CFD software which allows to simulate the
evolution of the submerged jets with different
velocities. The geometrical model of the
submerged jet was built in GAMBIT preprocessor
from Fluent. A two-dimensional model of the
submerged jet (symmetrical with respect to the x
Figure 2. Transverse velocity profiles of a axis) was studied over an area of 1.25 x 0.8 m,
submerged jet (from Flora et al., 2013, adapted these latter chosen after several attempts to reduce
from Hinze, 1948) at a negligible extent the influence of the boundary
conditions. A uniform mesh with triangular
At the exit from the nozzle, streamlines are elements was created and boundary conditions
parallel because of constant velocity V 0. Then the were given to the fluid as shown in Fig.3. The
velocity of the jet is reduced due to the turbulent model consists of 3 areas which differ from each
interaction between the jet and the surrounding other in the size of mesh. The same model was
fluid. The diffusion is fully developed at the distance used both to single and double-fluid system where
of a few diameters of the nozzle (xc). Thereafter the only different boundary conditions were performed
transverse velocity profiles assume a bell shape to nozzles Fig.3.
becoming wider and flatter with increasing distance
from the nozzle (Flora et al., 2013). The
phenomenon is highly turbulent because of very
high velocity.
Theoretical relations which describe the
phenomenon of a submerged jet were proposed by
Modoni et al. (2006) who used Hinze’s theory
(1948) and proposed following theoretical relations:
v x ,r d0
/
0
(1)
v0 x
Figure 3. Geometry of the model for single and
v x,r 1 double fluid system and adopted boundary
(2)
v x,r 0 >1 1.33 /
2
r x @
2 2 condition
The next step was to choose the most

In equations (1) and (2) r is the distance from appropriate turbulence model for the injected fluid.
the axis, d0 the diameter of the nozzle, V0 the In the adopted code of Fluent there are few
velocity of the injected fluid at the nozzle, Vx,r=0 the available possibilities. Finally, a standard k-epsilon
velocity of the injected fluid along the jet axis, V x,r model was chosen due to its highest similarity with
the velocity of the injected fluid at a generic point of the Vx,r=0/V0 profiles found in the experiments
coordinates (x,r). Λ is a dimensionless parameter (Wanik et al., 2012).
which quantifies the interaction between the jet and The simulations of the jet were initially carried
the surrounding fluid. It represents the percentage out for the case of a water jet flowing into water for
attenuation of the velocity Vx,r=0 at the distance of single fluid system. In case of double fluid system,
water jet surrounded by air was performed. In that

case, multiphase model of mixture was additionally
used.
In the presented simulations, the injection
velocity of water was 200 m/s and was assigned at
the nozzle of diameter equal to 2.2 mm. In case of
double fluid system, the velocity of air was 100 m/s
and was assigned at the nozzle of diameter equal
to 2.0 mm.
Comparing numerical results for single and
double fluid system it was obtained that energy
losses at the jet-air interface were reduced. As a
consequence, the jet kept more concentrated, with
a lower reduction of velocity (Fig. 4, 5). This Figure 6. Transverse profiles of velocity for single
occurrence can be explained by considering that and double fluid system at different cross sections
the shouldering air flows in the same direction as
water jet. The air layer which is formed between
water jet and the surrounding fluid prevents the 3. Conclusions and future developments
exchange of energy between the two fluids and
limits the effects of viscosity and turbulence. The paper presents the numerical research for
Therefore, water jet surrounded by air is more single fluid and double fluid systems of jet grouting.
effective (Fig. 5, 6). As a result, the diameters of The presented studies are based on trials-and-
columns formed by double fluid jet grouting system errors experimental model analyses. It seems that
are bigger that formed using single fluid system. numerical results for single fluid system are well
simulated by theoretical relations of Modoni et al.
(2006).
The future developments will consider improving
double fluid system and modelling triple fluid
system of jet grouting using multiphase models.
Another important goal is to simulate the injection
fluid from different shapes of nozzles using e.g.
Shibazaki’s experimental data. All these activities
are aimed for better understanding of the
phenomenon of jet grouting process. As a result, a
possible improvement of the technology is
expected.
Figure 4. Decay of velocity with distance from the 4. Acknowledgement

nozzle along the axes of submerged water jet
(single fluid system) and submerged water jet The author Lidia Wanik received a grant of the
coaxial with air (double fluid system) DoktoRIS project – a scholarship program for
innovative Silesia region cofinanced by the
European Union of the European Social Fund.
References
Bzówka J. (2009). Interaction between jet grouting

columns and subsoil. The Silesian University of
Technology Publishers, Gliwice (in Polish).
De Vleeshauwer & Maertens. (2000). Jet grouting:
state of art in Belgium. Proceedings of the
conference “Grouting – Soil improvement –
Geosystems including reinforcement”, pp. 145-
156.
Di Natale M., Greco R. (2000). Misure di velocità in
Figure 5. Longitudinal profiles of velocity for single un getto sommerso ad asse verticale mediante
and double fluid system as a function of the la tecnica PIV. Seconda Università di Napoli (in
diameter of the nozzle Italian).
Ho C. E. (2005). Turbulent fluid jet excavation in
cohesive soil with particular application to jet
grouting. Ph.D. Thesis, Massachusetts Insitute

of Technology, Cambridge, MA.
Flora A., Modoni G., Lirer S., Croce P. (2013). The
diameter of single, double and triple fluid jet
grouting columns: prediction method and field
trial results. Geotechnigue (in print).
Heng J. (2008). Physical modelling of jet grouting
processes. Ph.D. Thesis, University of
Cambridge.
Modoni G., Croce P., Mongiovi L. (2006):
Theoretical modelling of jet grouting.
Geotechnigue, vol. 56, n°5, pp. 335-347.
Wanik L., Bzówka J. (2012). Influence of various
factors on geometry of jet grouting columns.
Zeszyty Naukowe Politechniki Rzeszowskiej,
Budownictwo i Inżynieria Środowiska, z.59
(3/12/IV), No. 283, t. 4, 117-124 (in Polish).
Wanik L., Modoni G. (2012). Numerical analysis of
the diffusion of submerged jets for jet grouting
application. Incontro Annuale dei Ricercatori di
Geotecnica 2012 – IARG, Padova, 2-4 July
2012.
Wanik L., Modoni G., Giovinco G., Bzówka J.,
Albano M. (2012). Analysis of the diffusion of
submerged jets for the prediction of the
diameter of single fluid jet grouting columns.
Proceedings of the 10th International
Conference on New Trends in Statics and
Dynamics of Buildings, vol. 1, pp.195-198.
Foundations
ENERGY PILES FOR HEATING AND COOLING PURPOSES

PIEUX ÉNERGÉTIQUES POUR CHAUFFAGE ET CLIMATISATION
1 2 3
Ghassan AKROUCH , Marcelo SANCHEZ , Jean-Louis BRIAUD
1
Graduate Research Assistant, Zachry Department of Civil Engineering, Texas A&M University,
College Station, TX 77843-3136 USA
2
Ph.D. Associate Professor, Zachry Department of Civil Engineering, Texas A&M University,
College Station, TX 77843-3136 USA
3
Ph.D., P.E. Professor and Holder of the Buchanan Chair, Zachry Department of Civil
Engineering, Texas A&M University, College Station, TX 77843-3136 USA
ABSTRACT – Heating and cooling of buildings account for a significant amount of energy consumption, and
as a result, CO2 emission. With the global increase in demand for energy, the need for developing more
efficient and profitable sources of renewable energy is gaining urgency. One of the most promising
renewable technologies for thermal control of buildings is shallow geothermal energy, which uses nearly
constant and moderate ground temperature as either a heat source or sink throughout the year. The use of
geothermal energy heat pumps produces many benefits, including reduced energy consumption,
environmental protection, less building maintenance, and comfort for building inhabitants. However,
harnessing shallow geothermal energy introduces new engineering challenges. This paper examines the
application of structural foundation piles as heat exchangers, discusses the challenges associated with their
use, and presents the preliminary results of full scale test on energy piles group at Texas A&M University.
1. Introduction 2. How Geothermal Energy System Works
The increase of energy prices and air pollution level The main concept of a geothermal energy system is
is shifting research interest towards developing to exchange heat with a more constant and
more efficient and profitable methods of harnessing moderate medium. In geothermal energy
renewable energy sources. One of the most application, this medium is the ground soil, since
promising renewable technologies for thermal below a certain depth (referred in this paper as
control of buildings is shallow geothermal energy, Thermal Independence depth TI) soil temperature
which uses nearly constant and moderate ground is moderate, constant, and equal to the annual
temperature as either a heat source or sink mean air temperature throughout the year. In
throughout the year. The constant ground winter, ground temperature is warmer than air
temperature is equal to the annual mean temperature, while in summer, its cooler. This
temperature of the air (10 – 15 °C in Europe, 20 – difference in temperature makes geothermal
25 °C in hot and tropical regions). Borehole heat energy systems more efficient than conventional
exchangers (BHE) were traditionally used as HVAC systems, and reduces energy bills and CO2
ground heat exchangers to exploit shallow gas emissions. In heating mode, geothermal
geothermal energy. Currently, the heat exchangers energy systems extract the heat from the ground
are integrated in the structure foundation, raft, and and supply it to the structure, while in cooling mode,
retaining walls (Brandl, 2006). This integration the system removes the heat from the building and
reduces the initial cost of the geothermal system, inject it in the soil.
which makes it more feasible. On the other hand, it Figure 1 shows a full geothermal energy system
introduces new challenges due to thermal cyclic in cooling mode. The system is composed of three
loads on soil and on piles, where both soil and pile main components: the ground heat exchanger, the
materials are temperature dependent (Cekeravac heat pump, and the duct system. The room warm
and Laloui (2006); McCormac and Brown (2009)). air is circulated through the heat pump and returned
This paper will focus on the thermal response of an as a cool air. The heat removed from the air is
energy piles group installed and instrumented as gained by the heat pump refrigerant at the
part of the Liberal Arts building foundation at Texas evaporator level that circulates at low pressure and
A&M University and will present the results of a low temperature. The refrigerant circulates through
preliminary full scale test. a compressor that compresses and turns it to high
pressure, high temperature fluid. At the condenser
level, the heat gained by the refrigerant is
exchanged with the loop that is circulating the heat
carrying fluid, referred as HCF in this paper, which
is usually water + antifreeze mixture. The HCF
2
transports the heat through HDPE pipes that are Where E (kN/m ) is the Young’s modulus of the pile
2
fitted in the piles. The pile then function as a material, and A (m ) is the cross sectional are of the
structural support element and heat exchanger at pile.
the same and allows for the heat transfer between Figure 2 shows an example of a heated energy
the soil and the HCF. pile in two soil with different ground resistance level
with free ends at both sides. The pile freely moves
at both ends, therefore εT-observed = εT-Free. The
minimum value of εT-observed is at the center of the
piles, where the maximum thermal compressive
load is developed, and it is less in strong ground
resistance cases. The expansion of the pile due to
an increase in temperature induce skin friction,
which pushes down in the upper half and pushes up
in the lower half of the pile. The developed shaft
resistance is higher for strong resistance soils. This
section presents only one case of a heated pile with
free ends, but more details on more cases can be
found in Amataya et al. (2012).
Figure 1. Geothermal energy system
3. Engineering Challenges Introduced with the

Use of Energy Piles as Heat Exchangers
The operation of geothermal energy systems

induce temperature change in the pile and the soil,
where both materials are temperature dependent
(Cekeravac and Laloui (2006); McCormac and
Brown (2009)). The increase in pile temperature Figure 2. Observed strain ε, axial load PT, and shaft
produces additional strain, called thermal strain, friction qs in a heated pile
which results in stress and load increase or
reduction in the energy pile. Thermal strains can be 4. Full Scale Test
divided into observed and restrained strains, εT-
observed and εT-restrained respectively, where their sum, A group of three energy piles (P1, P2, and P3) were
εT-Free (Eq. 1, 2), is equal to the total strain installed at Texas A&M University as part of the
developed in the same pile when it is a free- new Liberal Arts building foundation. The piles
standing column (Amataya et al. (2012); Knellwolf were instrumented by six thermistors each equally
et al, 2009). The ratio of restrained to free strains spaced vertically. The energy piles were connected
mainly depends on pile end fixity conditions and soil to a geothermal heat pump and a water pump. In
type, strength, and properties. addition, three boreholes (BH1, BH2, and BH3)
were drilled, filled with bentonite, and instrumented
HT Free HT restrained HT observed (1) with six thermistors each, equally spaced vertically,
HT Free Dc 'T (2) to measure the ground thermal response to the
energy pile group operation. The full scale test
-1
setup is shown in Figure 3, with details in Figure 4.
Where αc (ºC ) is the coefficient of thermal The construction process and final product are
expansion. presented in Figure 5. In addition to the piles and
Additional thermal stresses results from the boreholes instrumentation, the geothermal heat
restrained thermal strains and they induce pump was instrumented with two relative humidity
additional axial loads that should be considered in (RH) and temperature sensors, to measure the
the design of energy piles. These loads can be supplied and returned air temperature and RH.
calculated using Eq. 3. Each inlet and outlet pipe connected to the piles
was instrumented with a thermocouple to measure
PT EAHT restrained EA Dc 'T H T observed (3) the temperature of the HCF.
measured from extracted samples at two different

locations at the testing site.
Figure 3. Full scale test setup
0.45
BH3
0.2
Figure 6. Soil properties profile at testing site

From 0 to 6m
0.45
5. Full Scale Preliminary Test Results
2.20
4.75
BH2
0.95
0.2 This part of the paper presents the measured data
0.68
0.3 obtained from the preliminary full scale test. Figure
2.05
BH1 P3 Below 6m 7 shows the GHP inlet and outlet air temperature
1.22
6 #6 Steel bars (Tinlet and Toutlet) and the difference between them
0.65
1 #9 Steel bar followed by RH. Figure 7 shows that the difference

P2 HDPE pipes tends to a constant value after few hours of
1.22
*All dimensions are in m.

operation, which indicates a constant heat delivery
P1
to the room.
Figure 4. Full scale test setup details
Figure 5. Full scale test installation and final product
The GHP was located in the crawl space of the

Liberal Arts building, which was thermally controlled
by the building central air conditioning unit. In the
preliminary test, the heat pump was run on heating
mode to 33 °C for 24 hours, circulating air at 0.599
3 3
m /s and HCF in the pipes at 0.000638 m /s in each
pile. The heat pump inlet and outlet air temperature
and RH, HCF inlet and outlet temperature, piles
temperature, and soil temperature were measured
during the test. After 24 hours, the pump was
turned off and the pile temperature decay was Figure 7. GHP inlet and outlet air temperature and
monitored. Relative Humidity (Correct Tout-Tin)
The soil at the testing site consists of a 1.7m fill
layer of low plasticity (CL), followed by a stiff high Figure 8 shows the piles inlet and outlet HCF
plasticity clay (CH) layer that becomes harder from temperature (HCF), Tin and Tout respectively. In
11.5 m to 15 m. Figure 6 shows the liquid limit LL, addition, Figure 8 shows the temperature difference
plasticity index PI, water content ω, dry density γd, Tout-Tin, which is almost a constant value indicating
and unconfined compression strength of the soil a constant thermal load on energy piles.
average decrease in pile temperature after a 24

hours of heat pump operation is 10.4 ºC.
Figure 8. Piles inlet and outlet temperature
Figure 9 presents the temperature variation at

the center of the piles P1, P2, and P3 at different Figure 10. Initial and final measured temperature in
depths. During the first 24 hours of pump operation piles after 1 full day of heating mode
we see a decrease in pile temperature. After the
stoppage of the heat pump, the temperature of the 6. Conclusion
piles starts increasing to be in equilibrium with the
soil temperature. This paper overviewed the use of foundation piles
as ground heat exchangers and presented the
results of a preliminary full scale test on an energy
piles group at Texas A&M University. The results
showed a significant change in pile temperature,
which leads to significant additional stresses in the
piles that should be taken into account in the design
of energy piles.
7. Acknowledgments
The work presented in this material is supported by

the Buchanan Chair at Texas A&M University,
Texas A&M University system, and Skanska
General Contractors. The piles were installed and
instrumented by Berkel & Company Contractors,
the geothermal heat pump was donated and
installed by TD Industries, and the electrical
equipment work was donated and installed by Britt
Rice Electric.
8. References
Brandl H (1962). Energy foundations and other

thermo-active ground structures. Geotechnique
56, No. 2, pp. 81-122,
http://dx.doi.org/10.1680/geot.2006.56.2.81.
Cekerevac, C., Laloui, L. (2004). Experimental
study of thermal effects on the mechanical
behavior of a clay. International Journal for
Numerical and Analytical Methods in
Geomechanics, vol 28 no. 3 (0), pp. 209-228.
Amataya B.L., Soga K., Bourne-Webb P.J., Amis
T., and Laloui L. (2012). Thermo-mechanical
behavior of energy piles. Geotechnique 62, No.
6, pp. 503-519,
Figure 9. Measured temperature at piles center http://dx.doi.org/10.1680/geot.10.P.116
Knellwolf C., Peron H., Laloui L. (2011).
Figure 10 shows piles P1, P2, and P3 initial and Geotechnical Analysis of Heat Exchanger Piles.
final temperature, T1 and T2 respectively, after one Journal of Geotechnical and Geoenvironmental
full day of heating mode,. Figure 10 shows almost Engineering 137 (10): 890-902.
a constant initial and final pile temperature with an McCormac C.J., Brown H.R. (2009). Design of
average of 23.3 ºC and 12.9 ºC respectively. The reinforced concrete. J. Wiley, New York.
COMPARATIVE STUDY BETWEEN THE METHODS USED FOR

ESTIMATING ULTIMATE LATERAL LOAD OF PILES IN SANDY
SOIL
ETUDE COMPARATIVE ENTRE LES METHODES D'ESTIMATION DE CHARGE
LATERALE ULTIME DES PIEUX DANS UN SOL SABLEUX
Mahmoud F. AWAD-ALLAH1, Noriyuki YASUFUKU2
1,2
Departement of Civil and Structural Engineering, University of Kyushu, Japan
ABSTRACT – In this paper, a comparison study based on results of experimental lateral pile load tests was
carried out between a new proposed method and widely used methods for predicting the ultimate lateral
resistance of piles in sandy soil. The proposed technique agrees well with those obtained from the centrifuge
tests with average error of -1.30%, while other methods of design gave significantly higher average errors.
Furthermore, to evaluate the accuracy and predictability of each method, a statistical analysis was
performed using four independent statistical criteria, namely: (1) the best-fit line with the corresponding
2
coefficient of correlation, r , (2) the cumulative probability concept, (3) the 20% accuracy level derived from
Log Normal distribution, and (4) the arithmetic mean (μ) and coefficient of variation (COV).
1. Introduction 2. Methods for predicting ultimate lateral

resistance
Numerous methods have been published in the
literature for predicting the ultimate lateral Four methods have been selected to be used
resistance to piles in cohesionless soils (Brinch for comparison in this paper; three of them have
Hansen 1961; Broms 1964; Meyerhof et al. 1981; been widely used in the literature and practice,
Petrasovits and Award 1972; etc.). Basically, the while the fourth one was proposed by the authors
main difference between those methods is the in 2011. The selected methods are: Broms 1964,
assumed distribution pattern of lateral earth Petrasovits and Award 1972, Prasad and Chari
pressure in front of pile during loading; thus, each 1999, and Awad-Allah et al. 2011.
method gives different value for ultimate lateral Broms’s method (Broms 1964) was selected
load. A key element in the design of laterally loaded mainly due to its popularity in practice. In this
piles is the determination of the ultimate lateral method, it is assumed that a lateral concentrated
earth pressure that can be exerted by the soil load acts at pile base and therefore the pile rotates
against the pile movement. according to the pile base. The ultimate lateral soil
After full mobilization of lateral soil pressure due resistance pu at fully mobilized passive state is
to lateral loading, some methods assume that pile given as follows:
rotates at the pile base (e.g. Broms 1964, and
Awad-Allah et al. 2011). However, other methods pu 3K pV v'
by Petrasovits and Award (1972), Prasad and Chari (1)
(1999), Brinch Hansen (1961), and Meyerhof et al. Petrasovits and Award (1972) developed a
(1981) consider the point of pile rotation at a certain method in which the effect of active earth pressure
depth below the ground level. was considered in the estimation of lateral soil
Consequently, this paper introduces a pressure, as given in the following formula:
comparison study between a proposed method
(Awad et al. 2011) and the other widely used pu (3.7 K p K a )V v'
method for determining the ultimate lateral pile
(2)
capacity. Because the proposed method considers
Prasad and Chari (1999) proposed Eq. 3 for
the ultimate resistance of the soil (not of the pile), it
predicting ultimate soil resistance for laterally
is applicable to both flexible and rigid piles. To
loaded pile in cohesionless soil. This method is
evaluate the accuracy of the method of Awad-Allah
adopted because it was developed relatively
et al. 2011, it is first used to calculate the ultimate
recently.
lateral resistance of model test piles in a centrifuge
(using 22 laboratory lateral pile load tests). In order
to unify the comparison study, those experimental pu 10(1.3 tan M 0.3) V v'
tests were selected to achieve maximum horizontal (3)
2 °
displacements within range of 15% to 20% of pile Where: Kp= tan (45 +φ/2) = passive earth pressure
2 °
diameter at pile head. Therefore, the obtained coefficient; Ka= 1/tan (45 +φ/2) = 1/Kp = active
ultimate lateral loads were measured at this earth pressure coefficient; φ= internal friction angle
criterion. of soil; and σv = vertical effective stress.
3. The proposed technique to calculate d4y

ultimate lateral load EI pu z 0
dz 4 (7)
Awad-Allah et al. (2011) have introduced new p z5 C C
y u 1 z 3 2 z 2 C3 z C4 (8)
technique to calculate the ultimate lateral pile 120 EI 6 2
capacity which considers the effect of both of active
earth pressure and side shear resistance of soil
during lateral movement of pile. In this method, it is
assumed that the distribution of the soil reaction is
as shown in Fig. 1. The basic idea is that the pile is
deflected towards the right side by the applied
lateral force. Thus, passive earth pressure is
created in front of pile while active earth pressure is
created behind the pile shaft.
Accordingly, soil resistance to the lateral
movement of the pile can be expressed in two
components: (1) the frontal normal reaction (qmax)
and (2) the side friction reaction (Wmax), as shown in
Fig. 2. Therefore, ultimate lateral resistance that
can be exerted by the soil against the pile lateral
movement, pu, can be expressed as given in Eq. 4.
pu Kqmax ]W max Figure 2. Proposed distribution of front earth

pressure and side shear resistance around pile
(4) subjected to lateral load (After Awad-Allah et al.
Where: η= shape factor to account for the non- 2011).
uniform distribution of earth pressure in front of the Where: EI = Bending (flexural) stiffness of pile, y =
pile= 0.8; and ζ= shape factor to account for the lateral deflection of the pile, z = depth below ground
non-uniform distribution of lateral shear drag= 1. level; and C1, C2, C3, and C4 are four unknown
The ultimate frontal earth pressure (qmax) can be constants of integration that can be calculated from
given by Eq. 5. Side friction reaction (Wmax) can be the boundary conditions of the problem (Fig. 1).
computed the same as the ultimate vertical shear Hence, by solving the differential equation using
resistance of piles estimated with Eq. 6. three boundary conditions, and by making some
mathematical manipulations, it now follows that the
qmax 3( K p K a )V v' ultimate lateral pile capacities Hu can be calculated
(5) as given in Eq. 9.
W max 2K tan GV v'
pu L2 (9)
(6) Hu Pu * B
e
The differential equation of laterally loaded piles 6(1 )
in cohesionless soil can be given by Eq. 7, and the L
general solution of the forth order differential Where: Pu = ultimate lateral load per unit length of
equation is obtained by using MATLAB (Eq.8). pile (kN/m); pu = ultimate lateral soil resistance
2
(kN/m ); e= lateral load eccentricity; L= pile
embedded length; and B = pile diameter (m).
The expressions developed in the preceding
sections [Eqs. (1), (2), (3), and (4)] were used to
predict the ultimate lateral loads of piles in
cohesionless soil. Those expressions were applied
into Eq. 9 so that different values for predicted
ultimate lateral load, (Hu)p, can be estimated.
Afterward, those values were compared to the
corresponding measured ultimate pile capacities
measured from model test in a centrifuge (Hu)m.
4. Analysis of the results
4.1 Percentage of average error
Twenty-two laboratory lateral pile load tests

have been utilized in this work. Percentage of
Figure 1. Distribution of ultimate frontal soil force
against pile shaft (After Awad-Allah et al. 2011).
average error obtained from each method of design of piles. The method which gives P50 value closer
can be calculated using Eq. 10. It can be seen that to (1) in conjunction with lower (P90-P50) range is
Prasad and Chari (1999), and Awad-Allah et al. considered the best. The procedures of this
(2011) yield the lowest average error percentages criterion are: sort the ratio (Hu)p/(Hu)m for each
of -0.93% and -1.30%, respectively, compared to method in an ascending order. The smallest value
other two methods. On the other hand, the highest is given i = 1 and the largest is given number i = n,
error percentages are 45.46% and 53.90% where n is the number of case studies considered
obtained from the methods of Broms (1964), and in the analysis. The cumulative probability value,
Petrasovits and Award (1972), respectively, which CPi, for each value of (Hu)p/(Hu)m is given, as
basically neglected the effect of side shear follows:
resistance between pile shaft and soil medium i
during pile lateral movement. CPi (11)
n 1
Error%
>(Q )
u p (Qu ) m @
x100 (10) Table 2 summaries the results and ranking of
(Qu ) m each method of design. It is clear that, Awad-Allah
et al. (2011) method is ranked as number 1,
4.2 Statistical analysis because it gives P50 value that approaches to 1 and
at the same time gives low value of (P90-P50). It is
An evaluation scheme using four criteria was obvious that the ranking of other methods are as
considered in order to ranking the methods, as follows: Broms (1964) is in the second position;
follows: Prasad and Chari (1999) is in the third order; and in
Petrasovits and Award (1972) is in the fourth (last)
4.2.1. Best Fit Line Criterion (R1) position with the lowest P50 value as well as the
Linear best fit using regression analysis was highest value of (P90-P50).
performed for each method and the corresponding
2
coefficient of determination (r ) was obtained; this is
used to test the strength of best fit equation.
Practically, the method which yields close value to
2
(1) for best fit equation as well as (r ) is close to (1)
is considered the most predictable method.
Fig.3 shows best fit line analysis for the
measured versus the predicted ultimate loads
(trend line of data), and Table 1 gives best fit
equation together with the associated coefficient of
2
determination, r , for each method. It is obvious that
Awad-Allah et al. (2011) method gave trend line
o
that almost coincides with the inclined line of 45 ,
and it has best fit equation of (Hu)p = 1.05 (Hu)m with
2
r = 0.94. This indicates that this method has an
excellent predictability and high correlation
strength; consequently, it can be used with high
reliability and confidence.
Table 1. Best fit calculations for assessment of

Figure 3. Correlation between measured and
ultimate lateral load.
predicted ultimate load for each method.
Method of 2 Ranking
Best fit equation r
design (R1) 4.2.3. 20% Accuracy Level Criterion (R3)
Awad-Allah The 20% accuracy level denotes that the
(Hu)p = 1.05 (Hu)m 0.94 1
et al. (2011) predicted lateral pile capacity (Hu)p lies within the
Prasad and range between 0.8 and 1.2 the measured capacity
Chari (Hu)p = 1.29 (Hu)m 0.89 3
(Hu)m. Using the Log Normal probability function,
(1999)
the probability of predictability of the pile capacity at
Broms
(Hu)p = 1.32 (Hu)m 0.94 2 different accuracy levels can be determined. At a
(1964)
Petrasovits specified accuracy level (i.e., 20% of accuracy), the
and Award (Hu)p = 1.62 (Hu)m 0.94 4 higher the probability is, the better the accuracy of
(1972) this method is.
Table 3 shows the results of analysis and the
ranking of methods. It is obviously that, at 20%
4.2.2. Cumulative Probability Criterion (R2)
accuracy the method of Petrasovits and Award
The cumulative probability concept is utilized to
(1972) has the highest probability of accuracy that
help in quantifying the accuracy of the investigated
equals 50.00% (R3=1), and therefore it is ranked
methods in prediction the ultimate lateral capacity
number in the first order. Whereas, the method of Chari (1999) had the second order with total
Petrasovits and Award (1972) comes in the last ranking index (RI=8). On the other hand, methods
order with the lowest value of probability of of Broms (1964) and Petrasovits and Award (1972)
accuracy 22.73% (R3=4). The methods of Awad- indicated the highest ranking indexes of RI=11 and
Allah et al. (2011) and Broms (1964) are ranked in 16, respectively. Therefore, they were ranked in the
the second and third order, respectively. third and fourth order, respectively.
Table 2. Cumulative probability results of methods Table 4. Statistical parameters for assessment of
used in this study. ultimate lateral load.
Method of Ranking Ranking
P50 P90 P90 – P50 Method μ s COV
design (R2) (R4)
Awad-Allah Awad-Allah et
0.94 1.93 0.99 1 1.00 0.47 0.47 1
et al. (2011) al. (2011)
Prasad and Prasad and
0.80 1.67 0.86 2 0.99 0.46 0.47 2
Chari (1999) Chari (1999)
Broms Broms (1964) 1.46 1.21 0.83 3
1.26 2.02 0.76 3
(1964) Petrasovits
Petrasovits and Award 1.54 0.72 0.47 4
and Award 1.46 3.00 1.54 4 (1972)
(1972)
Table 3. Results of 20% accuracy range of 5. Summary and conclusion

prediction ultimate bearing capacity.
Probability at This paper establishes an evaluation scheme to
Method of assess the accuracy and predictability of the most
20% accuracy Ranking (R3)
design widely used methods for estimating the ultimate
range (%)
Awad-Allah et lateral pile capacity in sandy soils. The conclusions
50.00 2 of this study can be summarized as follows:
al. (2011)
Prasad and 1) The proposed method introduced by Awad-
59.09 1 Allah et al. (2011) yields remarkably
Chari (1999)
Broms (1964) 36.36 3 satisfactory results since the accuracy and
Petrasovits and the predictability of this technique have been
22.73 4 estimated versus well-known design
Award (1972)
methods.
4.2.4. Statistical Parameters Criterion (R4) 2) Active earth pressure and side shear
The precision of each method can be evaluated resistance, which are ignored in most of the
by measuring the scatter of results around the design methods, have a significant part in
mean value, μ, for the ratio [(Hu)p/(Hu)m], and by determination of lateral pile capacity.
calculating a parameter defined as, COV, which is
equal to standard deviation, s, divided by μ. The 6. References
most accurate method gives, μ = 1, and COV = 0,
respectively. This case is ideal, however, in reality Awad-Allah. M. F., Yasufuku, N. and Omine, K.
the method is better when, μ is nearly (1), and COV (2011). Proposed analytical solution for
is asymptotic to zero. estimating of ultimate lateral capacity of piles in
Table 4 summaries the results of the statistical sandy soil. International Journal of Geo-
parameters (μ, s, and COV) for each method used Engineering, Vol. 3, No. 4, pp. 29-39.
in this comparison study. It can be seen that the Brinch Hansen, J. (1961). The ultimate resistance
most accurate method, based on this criterion, is of rigid piles against transversal forces. Bulletin
Awad-Allah et al. (2011) which considers each of No. 12, Danish Geotechnical Institute,
side shear and frontal earth pressure resistance Copenhagen, pp. 5–9.
between pile shaft and soil medium. Broms, B. B. (1964). Lateral resistance piles on
cohesionless soils. J. of Soil Mechanics and
4.2.5. Overall ranking index (RI) Foundation Engineering, ASCE, (SM3), pp.
An overall rank index, RI, is defined as the sum 123–156.
of ranking values obtained from the four criteria Petrasovits, G. and Award, A. (1972). Ultimate
(RI=R1+R2+R3+R4). The lower the ranking index is, lateral resistance of a rigid pile in cohesionless
the better the performance of the method is, i.e. in soil. Proceedings of 5th European Conference
accuracy and predictability. on Soil Mechanics and Foundation Engineering,
It can be seen that the proposed method (Awad- Madrid, Vol.3, pp. 407-412.
Allah et al. 2011) for prediction of ultimate lateral Prasad, Y. V. S. N. and Chari, T. R. (1999). Lateral
capacity came in the first order with the lowest capacity of model rigid piles in cohesionless
ranking index (RI=5). The method of Prasad and soils. Soils Found., Vol. 39, No. (2), pp. 21–29.
GEOTECHNICAL ASPECTS OF REPAIRING A BRIDGE

FOUNDATION DAMAGED BY SCOURING
LES ASPECTS GÉOTECNIQUES EN RÉPARATION D’UNE FONDATION D’UN
PONT ENDOMMAGÉ PAR DÉCAPAGE
1 1
Luka BOLFAN , Marko BIŠĆAN
1
INSTITUT IGH d.d., Zagreb, Croatia
ABSTRACT - Railway Bridge over the River Sava suffered a breakdown in the night on March 31st 2009.
There was a sinking of span structure around pier S6, in the riverbed along the right bank. Double-track
bridge, built in 1968, was constructed as a riveted steel structure with reinforced concrete piers on massive
concrete foundations. Pier S6 is based on the foundation with dimensions 17.0 x 6.5 m. Survey
measurements, after the disaster, found that the bottom of riverbed has been flushed away around 10 m in
depth over the years in the vicinity of the pier S6. These lead to scouring of bridge foundation and tilting of
pier S6. This paper will outline geotechnical aspects of repairing pier S6 which include building cofferdam
with sheet pile walls, jet grouting riverbed under foundation level etc... Paper will also describe some
unexpected natural circumstances and methods of their repair that occurred during the reconstruction, which
lead to major geotechnical problems.
1. Introduction Pier S6 sank and inclined towards middle of the

river and upstream. The pier was held from pulling
Breakdown occurred in the night of March 30th-31st down by the span construction (Figure 2.).
2009. At the time of the crash there was a freight
train crossing over the bridge. Croatian Railroads
Infrastructure has appointed the expert team for
establishing the cause of bearing capacity failure
and for making design documentation of bridge
rehabilitation. Reason for sinking of the span
construction is from scouring of the foundation of
the pier S6, in the riverbed of Sava, along the right
bank (Figure 1.). Figure 2. Pier S6 from the side.
The Commission of experts ordered the user of

the bridge to do an emergency rehabilitation of the
riverbed around pier S6 (and S5!).
The bridge has been built in year 1968. with the
embankments 300 m in length upstream and
downstream. Width of the riverbed of Sava is
around 112 m. Span construction is made of three
dilatations of steel beam systems in total length of
432.35 m.
Dilatation of the left strand is 4x34.27 m in
length, central dilatation is 34.26+65.87+34.26 =
134.40 m in length and right strand dilatation is
159.5 m in length.
Figure 1. Bridge damaged by scouring
2. Emergency repair measurements
The foundation of the pier S6 has layout
dimensions of 17.0 x 6.5 m, datum of foundation Temporary restraints from the top of the pier S6
1
94.00 m asl . according to the old design connected with steel cable to the foundation of pier
documentation. Measurements after complete S7. The required force of restraint was 2200 kN and
analysis revealed that local scouring is more than pre-stressing force was 400 kN. The measured shift
5m in depth – till datum of approximately 93.5 m of the top of the pier S6 was around dh=120 mm
asl. Total of 10 m was flushed away below the after restraint; dv=56 mm. Local repair of the
datum of the river bed in time of a bridge riverbed consists of backfilling the location of
construction. scouring. (Reference a.)
1 asl. – above sea level

Hydrographical survey and control of riverbeds. 1. Construction of the river embankment from
The deepest scouring in the zone of pier S6 is steel sheet pile around the existing inclined
up to 93.5 m asl. In the middle of the river the foundation of pier S6. Steel sheet pile L = 10 and 12
riverbed is around 99.0 m asl. During construction m.
of the bridge the datum of the riverbed was at least 2. Underwater concreting of the space between
103.0 m asl. During the period of 40 years the the existing foundation and embankment rock from
riverbed of Sava has been lowered for the current riverbed bottom (after backfilling) up
approximately 4.0 m along with additional local until the datum of 98.0 m asl.
scouring for approximately 6.0 m. 3. Drilling through new concrete and existing
foundation of reinforced concrete and through
gravel, in order to do jet grouting works.
4. Construction of the jet grout piles in gravel so
that the datum of bottom of the piles is predictably
89.00m asl.
5. Rising of the construction, removal of the
existing pier, construction of the new binding plate
in three levels and new pier.
Construction of supporting piers in the middle of
the river (Figure 5.).
Supporting piers are positioned in the middle of
the main span with maximum load: V=2x200 kN;
H=400 kN. Supporting pier consists of two pier
Figure 3. Layout of the bridge. spots (and each one of them consists of four steel
pipes) fi 813 mm, t=16 mm, S235.
3. Repair project (Reference b.)
- Public procurement – Institute of IGH d.d.

and Faculty of civil engineering - Zagreb
- Project assignment – leading the bridge to a
state which is not worse than the state before the
breakdown of the pier S6 and span construction.
- Repair project of the bridge anticipated
demolition of the pier S6 after rising and separating
the bridge construction away from the pier.
Figure 5. Drawing of supporting piers.
The pipes are the piles as well with length of 10

m in ground. The pipes are positioned at a square
raster on a distance of 2.5 x 2.5 m. Each group
(four pipes/piles) is stiffened by diagonals into four
belt grid.
Ensuring of the basic space of pier S6 and S5 is
done by encasement of rock fill. Along the
embankment S6 insurance from scouring is done
Figure 4. Additional connection with steel cables. with crushed stones d=16-40 cm and additional two
upper rows of fraction d=40-80 cm. Horizontal part
Project (Reference b.) of the bridge rehabilitation of the rock fill at a datum 96.00 m asl is of minimum
has anticipated demolition of the pier S6 after rising width of 4.0 m around the entire cofferdam. The
and separating the construction of the bridge away insurance from scouring around pier S5 is done by
from the pier. In order to ensure the stability and encasement with crushed stone d=16-40 cm until
security of the pier S6 it was necessary to do the the datum 100.00 m asl. Horizontal part of the rock
repair of the foundation, additional connection of fill is of minimum width of 4.0 m around the entire
piers S6 and S7, with steel cables (Figure 4.), is cofferdam and slope at inclination of 1:2.
needed and extension of the foundation S6 in order
to build supporting pier along the pier S6 from 4. Execution
heavy scaffolding.
Five phases are needed before the repair of There is a change in the type of pile - Larssen
bridge construction: 20W → Arcelor AU 16 AU on demand from
construction company. Piles are embedded with the
Figure 6. Profile from the repair project.

help of the vibrator. There were some difficulties Jet grouting was executed with Casagrande C4
and impossibility of driving piles on the projected and C6 machines.
position. After the withdrawal of water as a Lifting of the central span has been performed in
consequence of exceptionally high flood wave in the state of fully realized plastic hinge (cutting of the
September 2010., one part of the sheet pile wall upper belt of the main truss and 2/3 of the ridge).
has caved in.
New sheet pile wall (cofferdam) was constructed Lifting was executed by using the hydraulic
outside the zone of damaged sheet piles. The result press with a piston motion of 200 mm, capacity of
is a new form of cofferdam and increased amount 1000 kN, and threshold stands. Maximum height of
of sheet piles and jet grouting inside. Flushing and the lift was 1.3 m. Final state is fixed and the
removing of material (gravel) inside the cofferdam rehabilitation of steel central span was initiated, as
resulted in changing the quantities of materials well as demolition of pier S6 and construction of the
necessary for underwater concreting, number of new pier. The concrete of pier S6 is cut by a
drilling through new concrete needed for jet diamond saw into blocks of approximately 1 m3 in
grouting, as well as quantity of jet grouted piles in size. In total it has been removed 630 m3 of
gravel. (Figure 6.) concrete. New pier is designed in segments of up to
Withdrawal of flood wave in September 2010 4.0 m in height and with the same geometry as the
resulted in sliding of the coast between pier S6 and original pier. (Figure 6.)
S7 – there is a need for designing and
implementing of coastal defense wall.
5. Professional supervision
These are some of the more important task of

supervision through the execution (Reference c.):
-Deviation from designed dimensions of
cofferdam and increase of quantities. Impossibility
of installing piles at designed positions – changing
the form of cofferdam and increase of the jet
grouting quantities.
-Raising of the upper datum of steel sheet pile
cofferdam from 101.8 m asl to 102.5 m asl
(somewhere up to 103.5 m asl).
-Reduction of the amount of jet grouting with
sequence of performance – conditioned by
constructed cofferdam and by the possibility of
performing within a small space (Casagrande C4
Figure 7. Sliding of the coast. and C6). Upon demand of contractor, diameter of
piles was corrected from 80 cm to 200 cm. The
It was constructed with hammering of steel number of piles is reduced and the performance
sheet piles along the area of escarpment. Later accelerated.
there was need for backfilling to the level of existing -Renting of platform vessel. Project anticipated
inundation. Final solution of coastal defense was rental for 90 days. Due to many technical difficulties
designed additionally.
and high water levels, requirement of vessel was 6. Conclusion

significantly prolonged.
-Control over difficulty in drilling. Pre-drilling for Finally after the project finished before deadline
the performance of jet grouting is estimated to be and within financial limits the proposal for future
approximately 35% through concrete. At the site of works from geotechnical supervisor and designer
foundation S6, investigation works were not is: "Unless otherwise solvable Investor can
performed – the access was not possible due to anticipate a certain amount of awards for quality
danger of bridge collapsing. and execution of works on time if there is space in
-Geodetic surveying of settlement of temporary the means of the contractual agreements".
piles in the riverbed. Four steel pipes Φ813 mm,
length 10 m in the ground, embedded by vibration
with Qult ≈ 3350 kN ; Vmax ≈ 1000 kN ; Fs ≈ 3. The 7. References
settlement of these piles was not registered.
-Backfill around the cofferdam S6 - the original
EUROCODE 7, 1997-1:2008
granulation of embankment has been changed.
Bolanča, a (2010).
Solution for supporting pile S6 has been
Preliminary design for repairing a railway
changed. The original solution for pile S6 was to be
bridge “Sava Jakusevac” , Zagreb, Croatia,
constructed out of heavy tubular scaffolding and it
100 pages.
has been changed.
Bolanča, b (2010).
-Request for recognition of amendment works
Main and implementation geotechnical design
while working on jet grouting.
for repairing a railway bridge “Sava
All the works were contracted according to main
Jakusevac”, Zagreb, Croatia, 80 pages.
and implementation design.
Bolanča, c (2010).
Contracted: 455 pcs Φ80 cm; LDRILLING=5460 m;
Supplementary geotechnical design for
LINJECTING= 2995 m
Performed: 325 pcs ; Φ80 cm and 200 cm; repairing of a bridge “Sava Jakusevac”,
LDRILLING: 3014 m; LINJECTING= 1858 m Zagreb, Croatia, 40 pages.
Works are completed within agreed deadline.
EFFECT OF WOOD DEGRADATION AND SOIL CREEP ON THE

BEHAVIOR OF WOODEN PILE FOUNDATION IN VENICE
EFFET DE LA DEGRADATION DES BOIS ET FLUAGE DU SOL SUR LE
COMPORTEMENT DE FONDATION SUR PIEUX A VENISE
Francesca CECCATO
DICEA-University of Padova, Padova, Italy
ABSTRACT - Historical buildings of Venice are commonly founded on small wooden piles. Being
permanently under the groundwater level does not prevent wood decay, indeed some recent evidence show
that anaerobic bacteria can deteriorate wood even in anoxic conditions. The paper tries to describe wood
degradation process and its effect on the overall foundation. A series of finite element analyses was
performed coupling wood decay and viscoplasticity of soil and employed to the real case study of the church
of Santa Maria Maggiore in Venice
1 Introduction often are layers with discrete mechanical

characteristics. Sometimes it can be found a stiff
The shallow soil layers of the city of Venice is silty clay layer strongly overconsolidated, locally
usually characterized by a soft mixture of silt, clay named caranto.
and fine sand. The need for ground improvement The soils of the lagoon show a remarkable
was known since very old time. Historical Venetian viscoplastic behavior (Berengo et. at., 2008) and a
buildings are commonly founded over wooden careful estimation of secondary settlement is of
planking, laying at 2-3 m depth, (named zatteroni) great importance to study the long-time behavior of
or short wooden piles (1-3m) of small diameters the foundation.
(15-20cm), embedded at very small distance.
Piles were usually driven at percussion, starting 2.2 Wood degradation
from the border and filling all the gaps, maximizing
the strengthening effect. Wood was placed below
the minimum groundwater level, preventing the Wood is a heterogeneous, hygroscopic, cellular
aggression of animals and fungi. and anisotropic material. It is composed of cells,
Quasi-anoxic condition does not guarantee the and the cell walls are composed of micro-fibrils of
conservation through centuries, indeed recent
evidences show that anaerobic bacteria can
seriously deteriorate wood (Marchi et al., 2006;
Klaassen, 2008; Biscontin et al., 2009). In order to
understand the deterioration process and its effects
on the structure, a multidisciplinary research project
has been sponsored by CORILA (Consortium for
the Research concerning the Venice Lagoon) and
Regione Veneto, and these notes show some
results of the geotechnical study.
2 Materials involved in the study
2.1 The soil of the Venice lagoon
The soils of the Venice lagoon basin are very

heterogeneous, their main feature is the presence
of a predominantly silty fraction (Cola & Simonini,
2002).
In the city area, usually, under a filling material
layer (1-4 m), there are very compressible and soft
clayey and silty beds, thick from 2 to 5 m, with high
void ratio. Deeper, there are fine silty sands, sandy Figure 1. Presumed variation of wood physical
or clayey silts; between 5 and 15 m depth, there parameters in time.
cellulose and hemicellulose, which are strong in ௖ ⁄଴ 1.586exp 0.6965 · (1)
tension, embedded in a matrix of lignin.
Giving a careful description of the mechanical where σ0 is the compressive strength of green
behavior of wood is an hard challenge, moreover sample.
its mechanical properties depend on a multitude of Degradation speed is highly variable; the
factors like density, water content, presence of absence of a correlation between physical or
imperfections and so on. Here wood is modeled by mechanical parameters and time forces us to
a simple elastic-perfectly plastic law. choose simple degrading laws such as linear
Wood could be deteriorated by animals increasing of the MWC or linear decreasing of the
(mollusk, crustacean), fungi and bacteria. Under strength. Measurements of elastic modulus in
the groundwater level the oxygen supply is ancient wood are not available, however strength
insufficient for the life of animals and fungi, but and elastic modulus are frequently proportional in
some kind of bacteria can flourish. wood, so it is suppose that they would decrease
The state of conservation of wood can be following the same law:
evaluated by anatomical investigations and a wide
set of chemical and physical parameters, among ఙ೎
them we remember: ଴ (2)
ఙబ
• Basal density (BD = dry mass/wet volume),
sometimes it is referred to the typical value of Where E and σc are the values of elastic modulus
fresh wood, getting residual basal density (RBD and compressive strength at time t, E0 and σ0 are
%) the same parameter for the fresh wood.
• Maximum water content (MWC % = (wet mass-
dry mass)/dry mass)
• Cellulose content (H) and lignin content (L) 3 Long-time behavior of the piling
You can suppose that the pile embedded in the
ground, under the groundwater level, maintains its Small wooden piles aim to improve the shallowest
volume constant. Bacteria decompose soft soil; they do not increase significantly the
predominantly polysaccharides (cellulose), while carrying capacity of the foundation but they are
the amount of lignin remains constant, and water effective in reducing settlement.
replaces these molecules. As a consequence of Load is constantly divided between piles and
that, BD and H/L decrease and MWC increases, soil proportionally to their stiffness. When wood
while mechanical properties get worse (Fig. 1). deteriorates and loses stiffness, stress transfers to
In 2008, Klaassen demonstrated that moisture soil and the deformations grow up in the whole
content is the variable closely related to reinforced zone (Fig. 2).
Finite element analyses allow us to investigate
compressive strength (σc) and he calibrated a
the degradation phenomenon in more detail. A strip
relationship, valid for pine, that is here presented in
foundation (2.40m width with 2.0m long piles),
dimensionless form, in order to use it for different
laying on very soft clay was modeled with Plaxis 2D
type of wood,
8.2. Clay was supposed normally consolidated,
with void ratio increasing with depth, and its
mechanical properties assumed typical value of
Figure 2 Simplified rappresentetion of the Figure 3. Preliminary model: time-displacement

effect of piles degradation. curve considering and not wood decay.
Venice’s clays (Tab. 1). Time-dipendent behavior of

soil is taken into account choosing Soft Soil Creep
Model (Vermeer & Nether, 1999).
The single piles were simulated with clusters
and interfaces; the substitution ratio was
α=Awood/Asoil=50%. Wood elastic modulus and
compressive strength decrease linearly to zero in
300 years after the end of the construction phase
(1 year). Initial value of elastic modulus (E0) and
compressive strength (σ0) were the mean values
for fresh pine multiplied by the coefficient γ=0.5 to
consider damage during driving and defect of wood
(Table 1). The analysis stopped at
E/E0=σ/σ0=0.3%, which is a value that allows to
understand the main features of the phenomenon.
Table 1 Mechanical properties of soil and wood in

the preliminary models.
Clay Wood
φ'cr 32.9 ° E0 1.00E+07 kPa
λ 0.119 σ0 2.43E+04 kPa
eref 0.800 γ 0.5
γ 19 kN/m3 Figure 4. Vertical displacement and mean
κ 0.0119 effective stress along depth.
μ 0.007
additional displacements are concentrated in this

Groundwater level was supposed at the piles’
zone.
head level. After the initial K0 procedure, a
A very popular way of representing column-
uniformly distributed stress (35kPa) was activated
improved zone is the equivalent continuum, where
at the top, to simulate the presence of filler
soil-reinforces system is simulated with a material
material. Then displacements were reset to zero
characterized by mean mechanical properties. This
and the construction phase followed, turning on the
technique could be also used for wooden pile
load over the piles (100kPa). After that, wood
foundation, assuming:
deterioration was represented in some phases,
changing pile properties. ௘௤ ௪௢௢ௗ 1 ௦௢௜௟ (3)
The time-displacement curve shows that
settlements are mainly due to creep behavior of the soil-pile interaction is handled in a very
soil, until wood has totally lost its mechanical simplified way; clearly this methods does not
characteristic (Fig. 3). consider the contribution of the skin friction and is
Drawing a vertical cross section through soil in suitable for very dense piles and foundations that
the middle of the foundation, we can see how mean reach stiff layers.
effective pressure (p’) and vertical displacement
change along depth with wood degradation (Fig.4).
While wood has a discrete stiffness, the improved 4 The case study of S. M. Maggiore
block settles rigidly and displacement increases in
time mainly because of soil creeping. The piles The church was built in the XVI century and exhibit
transfer force to deeper layers, indeed the soil a differential settlement of 23 cm along its
between the piles is lightly stressed and the southeastern, 45m long, wall, which might be
pressure bulb is positioned under the pile’s tip. At related to the wood deterioration.
the last phase (E/E0=σc/σ0=0.3%), the soil inside Through laboratory and in situ tests, the
the improved block becomes heavily stressed and geotechnical model showed in Table 2 was drawn.
Table 2 Input parameters for soils of the final model of S. M. Maggiore

Layer Soil type Depth λ∗ κ∗ μ∗ ϕ (°) γ (kN/m3) OCR
1 Filling 0-3.5
2 Clayey silt NC 3.5-5.8 0.0557 0.022 0.0026 32 17 1.01
3 Silty clay OC 5.8-7.8 0.0367 0.0093 0.0003 32 21 6
4 Clayey silt 7.8-9.5 0.0862 0.007 0.0026 32 19 2
5 Silty sand >9.5 0.055 0.009 0.003 35 19 1.05
5 Conclusions
Many historical building of Venice are founded

over small-diameter timber piles; recent evidences
show that waterlogged wood can be seriously
deteriorated by bacteria, and this study confirm,
once more, the bad state of conservation of wood.
The research project gave a great improvement to
the knowledge of historical foundation system in
Venice, and the multidisciplinary approach was
necessary.
Deterioration causes stress redistribution:
initially piles take almost the total force, then, when
the decay is very severe, stress moves to soil.
Additional displacements are mainly concentrated
in the improved zone, which is losing stiffness.
The results of the finite element analyses
concerning the church of S. M. Maggiore showed
that displacements were mainly due to secondary
settlements for moderate to severe wood decay
and wood decay cannot fully explain the observed
differential settlement.
A deeper knowledge of mechanical
characteristics of ancient wood would be useful to
get a better comprehension of the problem, in
particular elastic modulus measurements.
Figure 5 S. M. Maggiore: results of the numerical 6 References

model
Berengo, V., Leoni, M., Simonini, P. (2008).
Numerical Modelling of the Time-dependent
The foundation is about 2.40 m width; the 1.5 m Behaviour of Venice Lagoon Silts. The 12th
long and 17cm diameters alder piles are embedded International Conference of International
one near the other in the soft clayey silt; their head
Association for Computer Methods and
is at 2.15m.
Advances in Geomechanics Goa, India
Elastic modulus and compressive strength
Biscontin, G., Izzo, F., Rinaldi, E. (2009). Il sistema
(parallel to the fiber) of fresh alder are 8100 MPa
and 20.4 MPa respectively, but, to consider the delle fondazioni lignee a Venezia. Valutazione
presence of defects, damage during driving and del comportamento chimico-fisico e
viscous effects, it is necessary to apply reduction microbiologico. Venice: CORILA.
coefficients: 0.5 for defects and 0.7 for viscosity. Cola, S., Simonini,P. (2002). Mechanical behavior
Piles are very dense (α may probably exceed of silty soils of the Venice Lagoon as a function
80%), so the equivalent continuum seems the best of their grading characteristics. Canadian
way to model the foundation. Wood decay was Geotechnical Journal 39: 879-893
simulated by a linear MWC increasing, from 100% Klaassen, R. K. W. M. 2008. Bacterial decay in
to 1000% in 700 years, and mechanical properties wooden foundation piles—Patterns and causes:
were calculated with the relationship (1). A study of historical pile foundations in the
Calculation phases are similar to preliminary Netherlands. International Biodeterioration &
models (see section 3). Biodegradation 61: 45–60
Figure 5 shows the time-displacement curves, Marchi, M., Gottardi, G., Lionello, A. (2006). Sulle
gave by the numerical model, both considering and fondazioni dei campanili di Venezia, in
not wood decay. As it can be seen, deterioration Fondazioni Superficiali e Profonde, Benevento:
increases displacements in a couple of centimeters Hevelius 177 - 192 (atti di: V Convegno
up to a very severe loss of mechanical properties of Nazionale dei Ricercatori di Ingegneria
wood (MWC>970%), when there is a greater Geotecnica, Politecnico di Bari, 15-16
settlement. Settembre 2006).
The real state of conservation of wood is better Vermeer, P. A. & Neher, H. P. (1999). A soft soil
than simulated in the model; from these preliminary model that accounts for creep. Proceedings of
results it seems that wood decay cannot totally the international symposium ‘Beyond 2000 in
explain the high settlement measured and others Computational Geotechnics’, Amsterdam, 249–
factors should be considered. 261.
DESIGN OF FOUNDATION PIT SUPPORT FOR NEW

UNDERGROUND OF THE NATIONAL MUSEUM IN PRAGUE
CONCEPTION DES FONDATIONS DE LA FOSSE DES NOUVEAUX ESPACES
SOUTERRAINS DU MUSÉE NATIONAL DE PRAGUE
1
Tereza ČIHÁKOVÁ
1
CTU in Prague, Faculty of Civil Engineering, Department of Geotechnics, Czech Republic
ABSTRACT - The main building of the National Museum in Prague was built in the end of the 19th century.
There have not been any significant repairs made since the opening of the building. The historical building
is in poor condition and therefore the reconstruction is necessary. In pursuance of the huge reconstruction,
the deepening of one of two atriums is planned. New ground floors for exhibitions halls will be constructed.
This place will be connected to another museum building by a connection tunnel. This paper presents
geotechnical works during the reconstruction of the historical building of National museum. The construction
site is located in the area of complex geology with variable depth of the bedrock. The bracing and
underpinning is designed with the help of the combination of several special foundation engineering
methods e.g. jet grouting, micropiles, soil nailing. Great emphasis was placed on minimization of bracing
deformation to prevent any damage of the existing historical building.
1. Introduction was designed as a traditional masonry vault with

steel beams.
The National museum in Prague is the largest There have not been any significant repairs
museum institution in the Czech Republic. It made since the opening of the building. Moreover,
consists of five specialized institutes. This paper is the building was damaged several times in the
focused on the most well-known part, the central past. The building was damaged by two military
seat of this institution: the historical building of the attacks in 1945 during the Prague uprising at the
National museum (HBNM- Fig.1). The building is end of Second World War and 1968 during the
located in the centre of Prague. The building soviet occupation in Prague. In the 70s, the HBNM
dominates Wenceslas Square, which is the centre was harmed during the construction of Prague´s
of the business and cultural communities in metro, which is very close to this building. The
Prague. greatest threat to the building was probably the
insensitive construction of the so-called North-
South Highway in 1978, which was taken right
through the centre of the city, the two sides of
which embraced the National Museum itself.
Nowadays, the HBNM is in poor condition. After
120 years, the building is being reconstructed. The
reconstruction started in January 2010 with the
preparation of the basic design and the completion
is planned for 2016. It is a large reconstruction with
a total cost of 3 billion Czech crowns (120 million
Euros).
The National Museum will be connected with
the second building of the Museum, the former
Federal Assembly building, also called the new
building of the National museum (NBNM). The
Figure 1. Main building of the NM NBNM is situated ca. 70 m far from HBNM (Fig.2)
and Vinohradská Street separates these buildings.
The main building of the National museum was Due to the extended space in the historical building
built between 1885 -1890.The HBNM is a massive and as a result of its connection with the new
masonry structure. It has three floors and two building of the National Museum, there will be
basements. The second underground floor does almost doubled space for the exhibitions (11 300
2
not cover the entire ground plan. The building is m ).
situated on sloping terrain. The ceiling structure
3. Geological conditions
Geological conditions are complicated at this

locality. Subsoil types change within the
construction site as well as geotechnical properties
of subsoil. Generally, geology of the site can be
simplified as follows:
- Surface is treated with a gravelly silty backfill
up to 3 m depth (assuming the backfill depth to the
depth of foundation bottom)
- Colluvial deposits and deluvial and fluvial
sediments (gravel and glider) were found under the
backfill level (average thickness 2.0 m)
- Bedrock consists of Ordovician layers:
quartzite with shale insets. The degree of the
weathering differs from sound rocks with bedded
jointing to broken up, very weathered rocks. We
Figure 2. HBNM and NBNM
cannot consider regular quality improvement with
the depth.
- The ground water level does not affect
2. Earthworks requiring design of geotechnical
foundation conditions and is under the level of
structures
planned excavation. In this locality, we can observe
decreasing of the ground water level because of
The deepening of one of two atriums is planned
the drainage function of metro tunnels.
within the reconstruction. The left atrium is situated
within the layout of the historical building. New
underground structure has a symmetrical, relatively
4. Foundations of the National museum
complicated shape (Fig.3) consisting of several
staircases by which visitors will enter the
The historical building foundations are made of
underground corridor connecting the two museum
massive stone masonry with a lime binder. The
buildings under Vinohradská Street. Two
complexity of the foundation conditions
underground floors are designed and will be used
corresponds to the changing of the foundation
as exhibition halls. New lifts will be built. The
width and especially frequent changes of the
deepest part of the excavation is 7.7 m bellow the
foundation depth. The Foundation differs up to 4m.
atrium level. A new parking place will be
constructed above the new underground space.
Figure 3. Schematic shape of the pit

Figure 4.Part of original foundation plan
Within the reconstruction, the new underground
corridor will be constructed. Connection will be According to the old plan of foundation
carried out by an underground concrete connecting structures (Fig.4), we conclude that the builders
tunnel (CT). This corridor will open into the second changed the footing level frequently, in order to
underground floor of NBNM and into the newly built provide the building with more or less same
third underground floor on the historical building geological conditions, i.e. the eluvia of the bedrock.
side.
5. Design development existing foundation of HBNM. This implies

requirement to minimize movements of the
historical building foundation. The north-east
Processing of project design was assigned in support structure consists of following elements:
2010. One of the main aims was to create required
- Underpinning foundation of the existing
space for museum deposits under the right atrium
building by micropiles. Micropiles are supported by
and construction of the new exhibition hall under
jet grouting in the parts, which go through
the left atrium. There was also a requirement to
foundation masonry, rock with higher level of
connect the historical building with the building on
weathering or deluvial and fluvial sediments.
the opposite side of Vinohradská Street by a
Micropile wall will also fulfil the function of an
connecting tunnel.
excavation support system. Micropiles and jet
This concept was finalized in the contract
grouting column axial distance is 0.6 m. Steel
documents for the building permit. In the year 2011
micropiles with profile 108/16 are designed.
the process of designing was interrupted. The
- Local stability of the wall is secured by
owner presented new requirements for cost-saving
sprayed concrete on the excavation surface.
changes that led to the elimination of underground
- In the lower part of the foundation pit, more
structures. The deepening of part of the left atrium
robust structure is design: micropiles profile HEB
and the construction tunnel remained from the
140 with axial distance 1.0 m. In the case that high
original project.
quality bedrock will be reached in the lower parts of
the excavation, these micropiles cannot be used.
The excavation support of the south-west wall is
6. Excavation support structures
not closed to the foundation of the historical
building, therefore the requirements on deformation
For organizational reasons, the project was divided
minimization are not so strict there. The courtyard
into two separate parts: Reconstruction of HBNM
area enables pre-excavation, thereby the height of
and Construction of connecting tunnel. Each part
support structure decreases by 2.0 m. The south-
has been worked out by a different design
west wall is supported by soil nail wall, which
company as well as the foundation pit support.
consists of following elements:
- The reinforcing bars (profile 28 mm), which
6.1. Atrium excavation support are installed into pre-drilled holes (80mm in
diameter) filled with a cement suspension.
The excavation support system is designed as a - The rigid facing created by sprayed concrete
combination of several special foundation methods. with a reinforcing mesh.
In terms of used methods, we can divide foundation The stability of the whole retaining structure is
pit into two parts: north-east wall, which adjoins the secured by tubular steel struts, which lean against
historical building foundation and south-west wall, the steel girders (Larssen IIIn) and concrete girder.
which is located in the courtyard area. The The excavation support is a temporary structure
schematic cross section of the deepest part of the and has no sealing function, because we assume
foundation pit is in Fig.5. that the ground water level is under the excavation
level. The glass beams are designed as a
permanent bracing structure therefore the steel
struts can be removed only after assembly of these
glass struts.
6.2. Connecting tunnel excavation support
Excavation support structure for the connecting

tunnel is closely connected with the excavation
support structure of HBNM, especially in the part,
where CT passes under the HBNM. This was the
reason for dividing retaining structures of CT into
two stages. First stage is the part of the foundation
pit, which is located between NBNM and HBNM.
This stage can be realized separately and does not
depend on the work progress in the atrium. The
second stage consists of parts of CT, which pass
Figure 5. Schematic cross section of the foundation
under the HBNM and therefore this stage has to be
pit in the atrium
coordinated with the atrium deepening process.
This article is focused only on the second stage.
The retaining structure of the north-east wall
The CT is situated under the HBNM in the part,
also serves as an underpinning structure of the
where courtyard entry is located nowadays. The
excavation depth varies between 8.2 to 9 m.
Micropile walls are designed as the excavation
support system. In terms of used methods, it is 7. Conclusions

possible to divide the foundation pit into two parts:
The narrowest part of the foundation pit, i.e. Generally, the selection of the special foundation
under the entrance to the passage respectively methods within the reconstructions of historical
entrance to the atrium. This is where foundation pit buildings should be affected by requirement for
goes through the load-bearing structures of HBNM careful implementation and possibility to carry out
(columns and strip foundation), which will be earthworks in confined spaces. The excavation
partially demolished within the reconstruction. support structures and underpinning historical
Therefore it is necessary to secure them. The building of National museum is designed with the
columns will be secured by a system of horizontal help of a combination of several special foundation
steel beams and reinforced concrete grid. methods based on small-profile drilling.
Foundations and subsoil will be treated by high- Generally speaking, the excavation support
pressure grouting. system is determined with a high uncertainty in the
Excavation support is designed with help of knowledge of the specific geological conditions.
inclined micropiles, which also work as the The scope of geological investigation, which was
underpinning the existing foundations. Micropiles provided by the owner, was not sufficient. On the
are designed in two rows. The axial distance is 0.5 other hand, it is necessary to admit that even
m and the space between the micropiles is covered significantly more extensive ivestigation work would
by sprayed concrete. The bracing is anchored in not remove any doubts about the quality of the
three levels. (Fig.6) subsoil at each site and a certain degree of
oversizing structures is appropriate.
Due to the complex geological conditions and
the importance of the reconstructed structure, it will
be necessary to observe current site conditions
during the construction phase. This applies
especially to the verification of the foundation
depths and development of geological conditions.
In the case of reaching of high quality bedrock at
the site, the structure elements will be adjusted or
reduced during the realization of the project under
the author’s supervision.
8. Acknowledgement
This work was supported by the Grant Agency of

the Czech Technical University in Prague.
Figure 6. Schematic cross section of the foundation
pit for CT
9. References
The excavation support system is less
complicated in the area, where load-bearing VPU Deco Praha a.s., Design Project
structures are not situated. It was possible to “Reconstruction of the National museum in
design the vertical micropiles in one row, which are Prague”, 2012
also anchored in three high levels. The micropile Smoltczyk et al (2003). Geotechnical Engineering
steel tube with a profile 108/16 and their spacing is Handbook, Volume 3: Elements and structures,
0.5 -1.0 m. The filling between the micropiles is Ernst&Sohn, Berlin
also made of sprayed concrete. Oficial website of the National museum in Prague:
http://www.nm.cz/
6.3. Instrumentation and monitoring the
behavior of the underpinning structures
In the original project, the very precise leveling and

the inclinometers to 12 depths were designed to
monitor the response of the underpinning
structures (especially horizontal movements of
support structures). With the radical reduction of
the amount of the geotechnical structures, only the
very precise leveling was chosen to monitor the
structures.
INTERFACE SHEAR CHARACTERISTICS FOR DRIVEN STEEL

PILES IN SAND WITH A HIGH SILT/CLAY FRACTION
CARACTERISTIQUES DE CISAILLEMENT D'INTERFACE POUR DES PIEUX
METALLIQUES BATTUS DANS UN SOL SABLEUX COMPORTANT UNE
GRANDE FRACTION DE LIMON/ARGILE
Shane DOOLAN1
1
AGL Consulting, Dublin, Ireland (Formally Imperial College London, London, UK)
ABSTRACT – This paper presents the findings of a series of laboratory tests to investigate the effect
of variation in the fines content on the interface friction angle between soil and steel. A series of soil
on steel interface tests have been performed in a modified Bishop ring shear apparatus to assess the
effect of fines content on the interface friction angle results. In addition to this, other factors, such as
overconsolidation and shearing rate, have been assessed. The results of the tests undertaken expose
that both the peak and constant volume interface friction angle are affected by the level of fines within
a sample. Also shown is that altering shearing rate while still allowing adequate time for pore pressure
dissipation, has no effect on the results, and that overconsolidation brings about changes in peak but
not constant volume interface friction angles.
1. Introduction tests in order to obtain the interface friction

angles applicable to the site in question.
Interface friction relates to the shear strength In this paper, a number of interface tests
mobilised between the ground and different are analysed for the purpose of assessing the
materials (e.g. steel, concrete, geotextiles, change in interface friction angle as a function
wood etc.) and is relevant to many of increasing fines content within the soil
geotechnical design situations (e.g. deep specimen. In addition to this, the shear
foundations, retaining structures etc.). behaviour of the soil adjacent to the interface
In order to benefit from the increased and the effects of overconsolidation and
sophistication in geotechnical constitutive shearing rate are also examined.
models and numerical methods, along with
increasing safety and value engineering in
design a better understanding of behaviour 2. Background
around the interface is needed.
Research has been carried out in this area Testing discussed in this paper is related to
(Uesugi and Kishida, 1986a, Uesugi and drained behaviour. A variety of apparatus have
Kishida, 1986b, Tika-Vassilikos, 1991) been used to investigate interface friction (e.g.
however these works have focused on the Bromhead ring shear, modified simple shear,
response of relatively single sized materials direct shear box, modified Bishop ring shear
e.g. sand or clay. etc.) with all having their relative advantages
The interface friction angle (G΄) is and disadvantages. This paper relates to
particularly relevant to driven pile research. interface friction between various soil and
The research into G΄, to a certain extent, has steel.
been led by analytical design methods which The interface friction angle (G΄) is defined
are being developed to avoid the empiricism as
seen in traditional design methods. Therefore,
ఛ೘೚್
knowledge of the behaviour around an ߜʅ ൌ ‫ି݊ܽݐ‬ଵ ቀ ʅ ቁ (1)
ఙ೙
interface would be particularly beneficial.
The interface testing undertaken as part of
this paper took place in a modified Bishop Where Wmob and V΄n are mobilised shear stress
Ring shear apparatus. Interface tests utilising and normal effective stress, respectively.
the ring shear apparatus are becoming more The peak interface friction angle (G΄p) is the
common throughout the geotechnical industry maximum value of interface friction reached by
e.g. Jardine et al. (2005) recommend a sample when sheared against an interface.
performing site-specific ring shear interface
The interface friction angle (G΄cv) is the

constant volume interface friction value a
sample tends towards after shearing beyond
the peak (See Figure 1). Increasing Surface roughness of interface
Interface Friction Angle (GG΄)

Before reaching G΄p, the G΄ Vs displacement
relationship is independent of steel roughness
(Kishida and Uesugi, 1987, Tsubakihara and
Kishida, 1993). The magnitude of G΄p, the total
displacement to reach G΄p and the soils
behaviour is dependent on the roughness of
G΄cv G΄cv
the interface (Ho, 2007). G΄p G΄p
For a granular material, if the interface
roughness is below a lower threshold, the
behaviour of the soil at G΄p will be non- Displacement
dilatant,([p = 0, where [p is the peak interface
dilation angle) with no internal shearing of the
sample taking place. Furthermore, if the
Figure 1. Interface Friction Angle Vs
interface roughness is above an upper
Displacement.
threshold, the behaviour of the soil will be
dilatant ([p = \p, where \p is the peak dilation
angle of the soil) with full internal shearing of 3. Testing Programe
the soil taking place (i.e. G΄p = I΄p). An
intermediate form of behaviour exists between 5 No. soil on steel interface tests were carried
these thresholds i.e. [p < \p and G΄p < I΄p (Ho, out. All samples were derived from an original
2007). mass of soil recovered from borehole samples
For a granular material, after G΄p is reached, from a north sea Windfarm site. Details of the
the total displacement to reach G΄cv and the samples tested are given in Table 1 and
magnitude of G΄cv are dependent on the surface Figure 2.
roughness of the interface. A critical value of
interface roughness exists for a given soil, Table 1. Details of tested samples
above which G΄cv = I΄cv (Subba Rao et al., Liquid
Plastic
Clay
1998). Soil Limit Plasticity
Content Limit (Zl)
Sample (Zp) Index (Ip)
For a clay material, a critical roughness (%) (%)
(%)
exists for the interface above which shear 100%
0 N/A N/A N/A
failure occurs within the specimen (G΄ = I΄). Sand
Below this critical value, after G΄p is reached, 25%
8 N/A N/A N/A
Fines
interface sliding occurs followed by a reduction 50%
16 35 17 18
in both G΄ and volumetric strain due to little Fines
further shear deformation within the clay 75%
23 46 20 26
Fines
specimen (Tsubakihara and Kishida, 1993). 100%
For a clay soil where I΄r is achieved by Fines
31 59 25 34
sliding shear of the particles, G΄r will equate to
I΄r regardless of interface roughness.
However for low plasticity sandy clays, G΄cv can
be drastically lower than I΄cv because the
presence of an interface allows an orientated
shear zone to develop (Lemos and Vaughan,
2000).
When it comes to sand-clay mixtures, for
soil with a high clay fraction, sand and silt
particles are considered to disperse in the
skeleton of clay. In contrast to this, for a soil
with a low clay fraction, sand and silt particles
form the skeleton whose pores are filled with
clay particles. The higher the sand fraction, the
larger the value of critical steel roughness is
for the interface (Tsubakihara et al., 1993). Figure 2. Particle Size Distribution curves for
test samples and original mass of soil.
The soil on steel interface tests followed the

guidelines set out by Jardine et al. (2005). The
samples were inserted into the ring shear
apparatus at their plastic limit (where
applicable) before being saturated and
consolidated under a normal stress of 250
kPa. Then fast shear pulses to mimic the pile
driving process were carried out. The sample
was then left idle to allow pore water pressure
dissipation. After this the specimen was
sheared at a slow drained rate. The shear rate
utilised during this stage is related to the
consolidation characteristics of the sample
(Gibson and Henkel, 1954). After this slow Figure 5. Peak interface friction angle Vs Clay
shear stage, load was removed in order to content.
overconsolidate the sample. Once all excess
pore water pressures had dissipated, the
sample was sheared again at the same rate.
Finally, the overconsolidated sample was
sheared at a slower rate in order to investigate
rate effects.
4. Results
Figures 3-6 along with tables 2-4 show the

details of the testing results.
Figure 6. Constant Volume Interface friction

angle Vs Clay content.
Table 2. Effect of overconsolidation on Peak

interface friction angles.
Table 3. Effect of overconsolidation on

Constant Volume interface friction angles
Figure 3. Peak interface friction angle Vs Fines
content.
Table 4. Effect of slowing shearing rate on

Constant Volume interface friction values.
Figure 4. Constant Volume interface friction

angle Vs Fines content.
5. Discussion 7. Acknowledgements
The test results show that both G΄p and G΄cv The author would like to thank both Professor
decrease with increasing fines content (see Richard Jardine and Dr. Way Way Sim of
Figures 2 and 3), however Figures 5 and 6 Imperial College London for their guidance
show the trend is more pronounced when while undertaking this research. Special
related to clay content (<2Pm). thanks must also be given to Dr. Eric Farrell of
Overconsolidation increases the samples G΄p AGL Consulting for his invaluable comments
value but has no effect on the G΄cv value which when writing this paper.
is expected according to classical critical state
soil mechanics. The only exception to this was
the 100% fines sample. Upon inspection of the 8. References
output data it appears that the tangential load
cells drifted during the OC and rate change Gibson R.E., Henkel D.J. (1954). Influence of
stages, therefore rendering their results void. duration of tests on “drained” strength.
None of the samples tested showed rate Geotechnique, vol. 1, n° 1, pp. 6-15.
effects when sheared at a slower rate. Ho T.Y.K. (2007). Study of the Shear
Behaviour of Sand-Steel Interfaces by Ring
Shear Tests. MSc Thesis, Imperial College
London.
Jardine R.J. (2011). MSc Soil Mechanics
lecture handout. Imperial College London.
Jardine R.J., Chow F.C., Overy R.F. and
Standing J.R. (2005). ICP design methods
for driven piles in sands and clays. Thomas
Telford, London.
Kishida H., Uesugi M. (1987). Tests of the
interface between sand and steel in the
simple shear apparatus. Geotechnique, vol.
37, n° 1, pp. 45-52.
Lemos L.J.L., Vaughan P.R. (2000). Clay-
Figure 7 Idealised relationship between interface shear resistance. Geotechnique,
interface friction angle and clay content vol. 50, n° 1, pp. 55-64.
(Jardine, 2011). Subba Rao K.S., Allam M.M., Robinson R.G.
(1998). Interfacial friction between sands
and solid surfaces. Geotechnical
6. Conclusions Engineering, Proceedings, Institution of
Civil Engineers, vol. 131, pp. 75-82.
x Both G΄p and G΄cv decrease with Tika-Vassilikos, T. (1991). Clay-on-steel ring
increasing fines content. shear tests and their implications for
x Further investigation needs to be done displacement piles. Geotechnical Testing
utilising soils with a higher clay content Journal, vol. 14, n° 4, pp. 457-463.
in order to achieve a full G΄ Vs Clay Tsubakihara, Y., Kishida H. (1993). Frictional
content relationship (see Figure 7). behaviour between normally consolidated
x The shear behaviour of a given soil clay and steel by two direct shear type
adjacent to an interface changes as apparatuses. Soils and Foundations, vol.
the soils fines content varies. 33, n° 2, pp. 1-13.
x Its apparent that interface shear Tsubakihara, Y., Hideaki, K., Takashi, N.
mechanisms become very complex (1993). Friction between cohesive soil and
and difficult to quantify once varying steel. Soils and Foundations, vol. 33, n° 2,
percentages of sand, silt and clay are pp. 145-156.
tested. Uesugi, M. and Kishida, H. (1986a). Influential
x Overconsolidation causes the sample factors of friction between steel and dry
to show a higher value of G΄p. This sands. Soils and Foundations, vol. 26, n° 2,
increase in G΄p increases with pp. 33-46.
increasing OCR. Uesugi, M. and Kishida, H. (1986b). Frictional
x Slowing of the shearing rate had no resistance at yield between dry sand and
mild steel. Soils and Foundations, vol. 26,
effect on the G΄cv value for a given soil.
n° 4, pp. 139-149.
GEOTECHNICAL DESIGN CONSIDERATIONS FOR OFFSHORE

MONOPILES
ANALYSE DU DIMENSIONNEMENT DE MONOPIEUX OFFSHORE
Petros ISIDOROU1Krishna NEAUPANE2
1
BEng, MSc, Civil / Geotechnical Engineer, URS, Birmingham, UK
2
PhD, CEng, MICE, Principal Geotechnical Engineer, URS, Birmingham, UK
ABSTRACT The choice of the foundation for offshore structures is influenced by a number of considerations
including the site conditions and loading characteristics. At water depths of up to 25m the most common
foundation type is monopiles, which are single steel pipe piles driven open-ended into the soil. The
behaviour of monopiles under transient loading from wind, waves and currents is very complex.
Consequently, monopiles are often designed for the relevant extreme load event in a quasi-static approach.
However, there is no general accepted procedure currently available for the design of these structures. In
the present paper the general design strategy of the monopile foundations under lateral/cyclic loading are
described and evaluated. Case studies are presented for pile driveability predictions and actual driving
records are compared against the predicted values.
1. Introduction The objective of this paper is to discuss some key

geotechnical design aspects of offshore monopile
Wind power is a competitive source of renewable foundation subject to cyclic loading. Aspects
energy, and therefore the market for both offshore related to the dynamic analysis are omitted from
and onshore wind power is expected to expand. the current discussion.
Currently, the majority of wind turbines are onshore
due to lower construction costs. However, the
development of offshore wind farms is expected to 2. Review of Design Methods
increase. In 2011, the offshore wind energy
capacity in Europe was 4GW and by 2030 is 2.1. Monopile Foundation
expected to increase to 150GW (Sorensen et. al.,
2012). The choice of foundations for the offshore In current design of laterally loaded offshore
structures (e.g. Wind towers, Meteorological masts Monopiles, p-y curves are often used to describe
etc.) depends on site conditions and type of the soil pile interactions. The p-y curves adopt the
loadings. However, at moderate water depths of up Winkler approach by uncoupling the response of
to 25m, the most common foundation type is various soil layers (Fig.2). A p-y curve describes
monopiles (Fig.1). The monopiles are single steel the non-linear relationship between the soil
pipe piles driven open-ended into the soil. These resistance (p) acting against the pile wall, and the
offshore piles are highly subjected to lateral loads lateral deflection at a given point along the pile (y).
and bending moments due to wind and wave The p-y curve method was developed mainly from
forces. research in the oil and gas industry, and included
testing of full sized piles under both static and
cyclic loading conditions. The p-y curves for piles in
clay are described by Matlock (1970) and the ones
in sand by Reese et al (1974) and O’Neill &
Murchison (1983). The conclusions and
recommendations from these tests were adopted in
the API (2007) and DNV (2011) standards. The
latter represents the current state of the art for
monopile design in the offshore wind industry.
Depending on the types of soil, there are
several ways to construct p-y curves. An example
of a typical curve in sand is shown in Fig.2. The soil
pressure at a given depth (xt), before and during an
excitation is shown in Fig.2. As the pile deflects a
distance (yt), the passive pressure in the front of
the pile is increased while the active pressure at
Figure 1: Typical offshore monopile foundation the back is decreased. The upper horizontal limit is
(source: www.eon-uk.com) the ultimate soil resistance, pu.
However, driveability prediction methods are

H generally developed for smaller piles and also
P contain a significant number of empirical factors.
Precise predictions of driveability are therefore very
P E difficult, and typically lead to the use of a bound
E theorem.
*
xt E In the design case presented in this paper, a
x wave equation analysis is undertaken using the
y
GRLWeap software to estimate the Soil Resistance
E
to Driving (SRD), the blow count against depth and
y maximum compressive stresses during
yt penetration. GRL’s Wave Equation Analysis of Pile
Driving (GRLWeap) programme is based on
Smith’s Lumped Mass Model and computations are
E
Pt carried out to determine the number of blows that
will allow a certain depth of penetration in the soil.
Figure 2: Pile Bearing with Lateral Loading and Computations are also conducted for the axial
development of p-y curve stresses in the pile as a result of pile driving. A
driveability analysis produces a safe prescription
Current standards rely on the original p-y curves for pile installation, including recommendations on
built upon empirical data obtained from long, cushion stiffness, hammer stroke and efficiency as
slender and flexible piles. In offshore wind well as other driving system parameters that
structures, the L/D ratio is lower and as such the optimize blow counts and pile stresses during pile
pile response may be more like that of a rigid body driving. Details on GRLWeap can be found in the
(Fig.3). As there is no approved method for dealing software manual (GRLWeap, 2005).
with rigid piles, the design regulations are still
adopting the original p-y formulations. Furthermore,
important design issues such as accumulated 3. Case study
rotation and stiffness changes due to long term
cyclic loading as well as other factors like 3.1. Offshore Meteorological Mast
installation method and number of load cycles are
poorly accounted for in the p-y curves (Le Blank et A met mast off the south coast of the UK has
al 2010). recently been installed at a depth of 23m water with
a 5m tidal range. The met mast is a lattice tower
approximately 90m tall. The purpose of this
H H structure is to collect vital data that will be used to
design the wind farm and estimate the long term
energy production of a site. The design life of the
structure is 5 years.
The monopile consists of 3.5m diameter, 70mm
thick, embedded to a depth of 20m below seabed.
A Ground Investigation was undertaken at the
proposed mast location. The borehole log showed
granular recent marine deposits to a depth of 2.0m
below seafloor (BSF) comprising sands and
Figure 3: Rigid vs. flexible Pile gravels. Below these granular deposits an
alternating succession of hard (rarely very stiff) clay
Another way to deal with the soil continuity and and extremely weak to very weak
the non-linear behaviour is to apply a 3D finite mudstone/siltstone and sandstone was
element model but the accuracy of such a model encountered. The clay, with typical undrained
would depend on the applied soil behaviour as well shear strength of about 300kPa, was described to
as calibration of these models. contain occasional sandy and silty pockets and
laminae, fissures and lithorelics. The materials
2.2. Pile Driveability were frequently described as ‘friable’. The horizons
described as rock were typically described as
One of the most significant costs in the construction extremely weak to very weak suggesting UCS
of offshore monopile is the installation vessels for values of between 1MPa and 5MPa.
the large piles. The driving of the piles into the The determination of parameters was based
ground also causes fatigue in the piles and this upon a combination of reviewing the descriptions,
need to be taken into account during the pile laboratory testing and established correlations
design. It is, therefore, essential to have an against British and European standards and other
estimate of blow count prediction beforehand. published material. The design soil parameters
were used to determine pile toe levels, deflections
and moments. Upper bound soil parameters were displacement exceeds 1% of pile diameter.
used in pile driving analyses. Therefore, global scour considered was 2m and
The lateral load capacity is the controlling factor local scour 3m. The sensitivity undertaken to
for a monopile design. Vertical loads on the pile determine the overall scour depth of 5m is shown in
were very small in relation to the vertical capacity of Fig.5. Therefore, no scour protection was required.
the pile. A simplified calculation was undertaken to
demonstrate that the vertical capacity of the pile
was sufficient to carry the applied loads.
Safety factors of 1.35 to the load and 1.25 on
the ground properties under the ULS were applied
as per DNV to determine the required toe level to
achieve stability. SLS runs with the ULS toe level
were also carried out to check deflection criteria.
Static and cyclic analyses were performed with
the aid of the software LPILE to assess the pile
behaviour under the applied lateral loads including
the effect of cyclic loading on soil softening and
erosion. LPILE solves the differential equation for a
beam-column using nonlinear lateral load-transfer
(p-y) curves. The program computes deflection,
bending moment, shear force and soil response Figure 5: Gapping criterion (1% of pile dia.)
over the length of the pile based on a single
equivalent load applied at the top of the pile Key geotechnical considerations and checks
(seabed level). Soil springs (p-y curves) were included:
extracted from LPILE for the structural analysis of
the pile. - Given the 5 year design life, a return period of
Scour (seabed sediment erosion due to wave 20 years was considered adequate for design
and current action) can occur around offshore calculations.
piles. Sediment transport studies can assist in - Gapping criterion was applied to all layers and
defining scour design criteria, but local experience assumed that when lateral displacements
is the best guide. Scour reduces lateral soil exceed 1% of pile diameter the pile as being
support, leading to an increase in pile bending effectively free standing above the depth of
stress. There is no general accepted method to slotting (or gapping)
allow for scour in the p–y curves for offshore piles - A no toe-kick criterion is usually applied, i.e.
although some guidance is provided in Appendix the embedded pile length that ensures two
A17 of ISO19902 (2007). Global scour (overall zero deflection points below the soil surface.
seabed erosion) and local scour (steep sided scour Displacements expected under the unfactored
pits around single piles) can be encountered maximum storm loading are relatively small.
(Fig.4). - Requirement that the overall pile top (above
0
water) tilt is less than 1 . In wind turbines, the
0
criterion is usually 0.5 .
- Design loads may be increased by an
appropriate factor of 1.4 to 1.5 without the
deflections developed at seabed exceeding a
nominal failure limit of about 10% pile diameter.
- Appropriate corrosion allowance
3.2 Pile Driveability
Upper bound limits on soil strength parameters

were required for the driveability analysis to ensure
that the pile can be driven to the required
penetration depth. The SRD for cohesionless soils
Figure 4: Global and local scour was assumed to be similar to the static friction and
end bearing. For cohesive soils, the soil zone
In some cases, scour protection consisting or adjacent to the pile would be sheared and
rock infill can be used. However, scour protection is remoulded due to the repeated driving operation.
quite expensive and on some locations is hard to As a result, the SRD is less than the static soil
install due to the sea conditions. resistance and a shaft resistance factor of 0.7 was
In the design of the met mast the following applied. End bearing in cohesive soils during
criteria were used: Global Scour in cohesionless driving was assumed to be the same as the static
soils can be up to 1.3D (DNV 2011). Based on value. The dynamic parameters used are
Dunnavant & O’Neill gapping develops when pile summarized below.
Table 1: Dynamic Parameters in Drive ability Study characteristic monitoring will assist with scour
Quake Shaft 2.50 mm measurement.
Quake Tip 2.50 mm Research and comparisons with full scale test
Damping Clay Shaft 0.65 s/m should also be undertaken to ensure that the
Damping Clay Tip 0.50 s/m proposed methods are reliable and valid but also to
Damping Sand Shaft 0.16 s/m create a database for the offshore industry.
Damping Sand Tip 0.50 s/m
Driveability results (blow count versus depth) 5. References

from a nearby similar offshore project were used to
perform hindsight analyses and predictive analyses American Petroleum Institute (API) (2007).
(Class A) were undertaken on the met mast Recommended practice for planning, designing
project. A comparison between predicted and and constructing fixed offshore platforms—
actual number of blows for a met mast is presented working stress design.
in Fig.6. This suggests a reasonable agreement BS EN 61400-3 (2009). Wind turbines – Part 3
between actual and predicted driving profiles. This Design requirements for offshore wind turbines
is of course subject to sound engineering judgment Ciamberlano F. (2006). Engineering insurance of
th
in assessing appropriate engineering parameters. offshore wind turbines. Proceedings of the 39
IMIA annual conference, Boston USA 2006.
DNV-OS-J101 (2011). Design of offshore wind
turbine structures.
Gavin K., Igoe D., Doherty P. (2011). Piles for
offshore wind turbines: a state-of-the-art review.
Proceedings of the Institution of Civil Engineers,
Geotechnical Engineering, vol164 Issue GE4,
pp. 245-256.
GRLWeap Wave equation analysis of pile driving
(2005) – Software Manual.
ISO 19 902 (2007). Petroleum and natural gas
industries - Fixed steel offshore structures
Jardine R., Puech A., Andersen K.H. (2012). Cyclic
loading of offshore piles: potential effects and
Figure 6: Actual vs. Predicted number of blows practical design. Keynote address, Offshore Site
for an offshore met mast recently installed in the Investigation and Geotechnics: Integrated
th
eastern English channel. Geotechnologies – Present and Future, 7
International OSIG Conference.
The fatigue damage accumulated during pile LeBlanc C., Houlsby,G. T., Byrne, B. W. (2010).
driving may be a substantial proportion of the total Response of stiff piles in sand to long-term
damage accumulated by the pile during the lifetime cyclic lateral loading. Geotechnique 60, No. 2,
of an offshore structure. Following the driveability 79–90
analysis, a structural fatigue analysis was Matlock H. (1970). Correlations for design of
undertaken based on the drive ability results to laterally loaded piles in soft clay. Proc. Offshore
calculate the damage sustained by the pile as it is technology conference, OCT 1204, USA.
driven into the seabed. O’Neill M.W., Murchison J.M. (1983) Evaluation of
p-y relationships in cohesionless soils. Analysis
4. Conclusions and Design of Pile Foundations. Proceedings of
a Symposium in conjunction with the ASCE
In current offshore monopile design, p-y curves are National Convention, pp. 174-191.
used to describe the soil pile interactions. The Randolph M., Cassidy M., Gourvenec S., Erbrich C.
method despite its limitations can still yield valuable (2005). Challenges of Offshore Geotechnical
th
information to engineers. A number of practical Engineering. Keynote lecture, Proc. 16 ICSGE,
useful checks were discussed in order to identify a Osaka, vol 1, pp. 123-176.
suitable pile length. However, over-extending the Reese L.C., Cox W.R., Koop F.D. (1974). Analysis
pile depths could lead to problems with the of laterally loaded piles in sand. Proc. 6th
feasibility of pile driving. annual offshore technology conference, OCT
Field monitoring, which is relatively inexpensive, 2080, pp. 473-483.
is extremely useful in order to verify design codes Sorensen S.P.H., Brodbæk K.T., Moller M. &
and to provide guidance. Monitoring can include Augustesen A.H. (2012). Review of laterally
inclinometers for precise inclination and deflection loaded monopiles employed as the foundation
assessment, strain gauges for internal strain for offshore wind turbines. DCE Technical
measurements and near-bed sediment Reports, No. 137, Department of Civil
concentrations and changing sea-bed Engineering, Aalborg University, Denmark.
GEOTECHNICAL INVESTIGATIONS OF HISTORICAL MONUMENTS

OF CENTRAL ASIA
LES ÉTUDES GÉOTECHNIQUES DES MONUMENTS HISTORIQUES DE L'ASIE
CENTRALE
Assem ISSINA1
1
Department of Civil Engineering, Eurasian National University, Astana, Kazakhstan
ABSTRACT - Central Asia historically always associated with the nomadic people occupying its open spaces
and the Great silk way. The countries of Central Asia is meeting of monuments of the architecture having
important archaeological value.
Experience of participation of geotechnicians in restoration of monuments of architecture with more than
centenary history shows that work on elimination of breakdown rate can't be successful without
reconstruction of the bases, the bases, underground basic designs, and also the actions directed on
improvement of the geoengineering environment. This paper includes historical sites of Central Asia,
description of geological ground condition and also type of foundations. Technical survey methods, examples
of technical diagnosis and significance of Mausoleum Arystan Bab are also described in this paper.
1. Introduction of the fence, or instead apply a waterproof barrier

(Fig. 2).
One of the most important factors influencing the The special means of protection walls and
destruction of historical monuments of architecture, foundations from the effects of capillary moisture
is the capillary rise of water on the material include ventilation drainage (Abramov, 1973). For
foundations and walls with the formation of drainage of clay soils in southern use evaporation.
efflorescence on the surface of the walls, and To do this, at the base of the protected structure (in
salinity. This leads to the destruction of masonry, the ground) is laid pipes from a porous material
plaster layer. The paper describes the scheme and through which a continuous (natural draft or forced)
production work on the reduction of capillary zone air is blown.
front wall of the mausoleum Arystan Bab. The
advantage of applying a way to protect walls and
foundations is reversibility of technology and the
principle of material authenticity of ancient masonry.
The architectural monuments of the Middle Ages
in Kazakhstan often observed negative
developments associated with capillary movement
of water on the material of ancient masonry walls
and foundations. In this case, the process of
crystallization of salts within the wall material,
efflorescence formed on the surface of the walls,
destroyed the very brickwork, plaster layer (if any).
To eliminate the negative impact of the
processes of capillary water to practice various
methods of protection of masonry walls and
foundations. The most common is the protection
circuit shown in Fig. 1. Taking into account that the
soil moisture penetrates the fence by capillary Figure 1. Cutoff of water movement gravel pack
action, which is greater than the pores smaller, it
may be appropriate to place between the ground The effectiveness of the ventilation drainage will
and the components or design barriers layers of be higher, the greater the velocity of the air in the
materials with large pores, such as gravel, slag or pipes and the temperature, but for each soil there
poor concrete with a large particle size, mostly should be such an optimum air velocity above
homogeneous (Kaderg, 1957). Such large-pores which the efficiency of drainage will be no increase.
layers normally used for road base or underground Vent drains are usually preventive devices, which
structures, but in some cases this solution may not are laid simultaneously with the implementation of
be effective, so you have to increase the thickness protected structures in case, if the operation is
found rising damp soil and there is a risk of flooding

(Bogomolov, 1966).
Swedish professor Massarsh K.R. offers
protection from the effects of the monuments of
capillary water measures lowering the water table,
pumping water from sumps, wells, irrigation
restriction surrounding monuments, increased
evaporation from open canals and ponds, located
near.
Figure 3. Mausoleum Arystan Bab (SKO).
Engineering and geological surveys at the site of

the mausoleum were made in 1984 and 2004.
Analysis of the average physical and mechanical
properties of soils allowed to identify three
geotechnical element (Abramov, 1973). Of
particular interest is the layer just under the base of
the without foundations walls and foundations with
depth is up to 1.0 m This is a solid, semi-solid loam
texture, homogeneous, with rare fragments of brick
and trash on top of the layer capacity of 1.0 - 1 5 m
can be assumed that this is an artificially
compressed in an open trench coat loam. Either
Figure 2. Cutoff of water movement gravel pack this layer made by the "bay" in the trench width
greater than the thickness of the walls, it has a
In cases where the water table was at such a definite and fairly similar rates of physical and
level that the capillary zone reaches the earth's mechanical properties of the second layer (loam,
surface, Massarsh K.R. believes the only way to dark brown semi-solid consistency, with plant roots,
avoid the horizontal and vertical migration of water - power of 3, 3 - 3.6 m).
cut off the flow of water gravel pack adjacent to According to observations, ongoing since 1997,
structures (Fig. 1). and 9 water wells (4 wells - at a distance of about 5-
7 m at the corners of buildings and another 5 at a
2. Geotechnical situation at the facility distance of 200 to 400 meters from the perimeter of
SE to NW) level underground water in 20 years fell
In connection with the restoration of the by 0,67-1,25 m fluctuations OLA in 1997 to the
mausoleum Arystan Bab (Fig. 3) in 2004 were highest (August) to the lowest position (December)
carried out comprehensive scientific survey and was 83 cm, and in 2004 - 60-65 cm on the results
design work to address the problems of of the chemical analysis of samples from a depth of
geotechnical structures. 2.7-2.8 m (2004), the water is salty chloride-
Particular attention was paid to the following sulphate-magnesium-sodium. High mineralization
factors: (dry residue of 10 g/l) probably associated with
- Fluctuation of the water table (OLA) in the stagnant hydrodynamic regime of groundwater
necropolis associated with seasonal climate and (Comprehensive report on the research, 2004).
natural irrigation of agricultural lands; Found that the most complex form of
- Capillary rise of water in masonry walls, foundations have front wall structures along the A
followed by the formation of "efflorescence" on their axis (Kaderg, 1957). Foundations are under the left
surfaces; minaret of the axis 5 and right minaret, under the
- Weakening and destruction of masonry due to right minaret and its buttresses. Under the outer
the crystallization and recrystallization accumulated walls of the mosque restored (4-axis G-9) are
salts; based on a concrete wall (concrete) slab.
- Changes in the chemical composition and the Under the walls of the "old" part of the
aggressiveness of groundwater and atmospheric mausoleum of the axes 1, B1, in a brick foundation
water; almost none. Clearly, the role of the foundation
- Geoecological condition clay soil foundation performs artificial layer of loam one layer. Brickwork
construction and building materials; foundation is made of red brick, damp, is generally
- Temperature and humidity conditions of in good condition, the foundations of minarets and
operation of the mausoleum. sections of the wall between the axles 6-9 are made
from over the ancient bricks.
3. Capillary movement of water and the

formation of salts
Hydrogeological conditions of the site of the

mausoleum (high groundwater levels high degree
of mineralization) contribute significantly to rising
ground water in masonry walls, the formation of
efflorescence of halite (50%) and sodium nitrate
(50%) on its surface. The surface structures on the
perimeter width from 3.5 m to 18 m (main facade) is
paved with stone slabs with embedded grout
joints. This increases the soil moisture in the walls.
The boundary of the capillary rise of water in
masonry front wall along the A axis reaches in Figure 4. Arrangement of trenches and
some places more than two meters in height. Thick ventilation pipes
brick walls (0.9 - 1.5 m), impregnated with salts, dry
very slowly in vivo. The south-eastern, southern and Adopted the following scheme. Excavation
south-western facade height soaking the walls on begins with a trench depth - this is the right of the
the outside of the lower due to direct solar mausoleum minaret (with buttresses) c depth of
aeration. And inside the walls, where natural drying laying the foundation of about 2 m (sec. 9-9, Fig. 5)
process is much slower, the height of capillary rise and the adjacent wall to the depth of laying the
above. foundation 1.2 m (sec. 8-8, Fig. 5), then the left
The process of capillary rise on masonry walls in minaret to the depth of laying the foundation of
interior areas of the mausoleum has influenced 0.8 m (sec. 2-2, Fig. 5) and along the walls of the
virtually no evaporation from the surface of the building from the inside. After backfilling with gravel
ground floor base. Under the brick floor was laid a - along the walls on the outside. Excavation was
layer of roofing material. carried jaw no longer than 1.5 meters in compliance
with measures against dumped the soil under the
4. Formula method of protection walls of the building and sustainability of the trench
walls. Excavation trenches expansion of the wall
As world practice shows, the process of without the base was conducted with the utmost
salinization in favorable geological and care to fixings length from 1.0 to 0.5 m, while filling
hydrogeological conditions are observed in many of it with gravel and seal (sec. 3-3, Fig. 5). Backfilling
the historical monuments, especially in hot sinuses performed detritus (gravel) soil fraction 20-
climates, and a significant drop in outdoor 70 mm layers sealed to the density of the
temperature. The process itself takes place in the developed soil. Seal produced gasoline rammer
capillary zone is cyclical and can be accompanied brand Pionjar 120 AV (Sweden).
by the recrystallization of salt increases with their To ensure the density altitude to be placed a
size (Massarsh, 2003-2004). This may be the layer of crushed stone was not more than 200 mm.
cause of the cracks in the masonry walls, especially At first compacted layer of crushed stone set
in the weakened sections of openings. One way to vertically vent pipe (Fig. 5). Previously performed in
start to solve this problem is to reduce the capillary tubes lengthwise into four planes of the slot width of
zone below the surface. 3-4 mm, length 75 (100) mm.
To this end, RDI PMK in 2004 was drafted to
regulate the work of the specialized water and
humidity surface and underground parts of the main
facade of the mausoleum. Proposed to apply a
method of evaporation by providing natural
ventilation air through the porous material of the
backfill trenches on the outside, inside and part of
the lower surface of the soil, brick walls
(foundation). The intensity of the ventilation and
evaporation driven Upright asbestos cement pipes
with diameter of 100 mm, the walls of which are
made over the entire height longitudinal slot.
Structural plan with contour trenches and step
placement of ventilation tubes is shown in Fig. 4.
a) Section 9-9
radial – 420x670x50(76) mm for laying on the

perimeter of the minarets (Fig. 6).
Plate on the front of the blind area lined with
stone tiles with the same pattern as the surface of
the tiles, flagstone paving. For the organization of
the natural steam and air between the plates blind
area and stone paving slabs leaving a gap of 40 -
50 mm. Plates for wall mounted curbs and concrete
columns with a slope 0.004 wall; slope paving tiles -
0,001. On the inner side of the wall on the surface
of compacted gravel recovered from large-brick
floor, which drilled a diameter of 10-12 mm.
b) Section 8-8
Figure 6. Blind area along the main facade
5. Conclusions
c) Section 2-2
Specialized work performed at the facility, not
solve completely all geotechnical problems. The
next challenge - the struggle with the salt in the
walls of buildings. Just need to organize monitoring
facilities and the environment.
References
Abramov S.K. (1973). Underground drainage of

industrial and urban development. Moscow:
Stroiizdat, 280 pages.
Bogomolov G.V. (1966). Groundwater and study of
them. Minsk: "Science and Technology", 254
pages.
Comprehensive report on the research. (2004).
d) Section 3-3 "Geotechnical and hydrogeological
investigations for the mausoleum" Arystan Bab"
Figure 5. Sections of foundation in the South Kazakhstan region. RDI PMK,
Almaty, (code 64-iz/04).
Blind area on the perimeter of the building, Kaderg R. (1957). Isolation and protection of
above the trench, which was backfilled rubble, buildings. Moscow : State Publishing House for
closed specially fabricated concrete slabs blind build-woo and re-architect, 250 pages.
area. They are available in two sizes: one type - Massarsh K.R. (2003-2004). Saving the Egyptian
rectangular plate with dimensions 650x650x50(76) monuments of the Pharaohs. Urban renewal
mm for the straight sections of the wall, and 2 type - and Geotechnical Engineering. № 7.- Sankt-
Petersburg, page 60.
UPLIFT TESTING ON HV TRANSMISSION TOWER FOUNDATIONS
TESTS NATURE D’ARRACHEMENT SUR LES FONDATIONS D’UNE TOUR

RELAIS
Frederick LEVY1
1
University of Southampton, Southampton, United Kingdom
ABSTRACT - : This paper describes results from a series of full scale tests on high voltage (HV)
transmission tower foundations at a London clay site in Kent. The poor performance of these foundations
using standard testing practice in contrast with the rarity of in service failure has led to a climate of
uncertainty where the uplift capacity of HV transmission tower foundations is not readily understood. The
tests aimed to mimic certain in-service dynamic (wind) loading in order to reveal the mechanisms associated
with (rapid) foundation uplift. Foundations founded on London clay mobilised significantly greater uplift
capacities at smaller displacements compared with current industry testing practice. The results contained
herein suggest that not only is a revision of testing practice is required but also that of construction practice.
1. Introduction pressures (suctions) developed across the

foundation base. This resulted in an increased uplift
The UK’s HV electricity transmission network resistance, which was log linearly related to uplift
comprises of approximately 22,000 (275/400kV) rate (Lehane et al., 2008).
transmission towers. The HV network with
incremental upgrades and refurbishments has been At very fast uplift rates (vf≥30mm/s) an
able to accommodate nearly half a century of undrained reverse bearing failure occurred in the
changing demand and generation patterns. The underlying clay. This type of failure results in a clay
recent 2020 renewable targets (BERR, 2008) in wedge remaining adhered (fully bonded) to the
combination with saturation of capacity at critical foundation base post-pullout. Ultimate capacity is
locations means that a number of HV network limited by the operational undrained shear strength
routes require significant refurbishment or of the underlying clay in this condition.
modification. The need for a better understanding of
the foundation system behaviour is therefore critical These model tests were conducted using kaolin
to facilitate these works in a cost effective and clay - the preferred soil for centrifuge modelling
timely manner. work due to its uniformity and drainage
characteristics. However, kaolin exhibits a soft
A HV transmission tower is supported by four response in comparison to clays encountered in the
shallow foundations, one beneath each leg. field. Similarly, the close control in model tests may
Loading on the tower and conductors results in the not be replicated in the field. These limitations
foundation system being loaded in tension (uplift) or prevent confident extrapolations being made from
compression (bearing), with a small horizontal the scaled physical modelling tests.
component (Figure 1.). To prevent excessive
buckling stresses differential movement of the
individual foundations needs to be limited. Recent
studies undertaken by University of Southampton
and field tests by National Grid have suggested that
the design basis for transmission tower foundations
may not be reliable. It was statistically shown that
when subject to industry standard testing in BS
EN61773 (BSI, 1996) that half of all the foundations
tested did not reach their uplift design capacity
(Figure 2.). However, the in service failure rate of
tower foundations is extremely low suggesting that
the testing methodology may be unduly
conservative.
Figure 1. Transmission tower foundation system.
Recent centrifuge foundation model tests on
clay have also shown that there are additional
factors that may contribute to uplift resistance
(Lehane et al., 2008). These tests revealed that
under rapid uplift loading that negative pore water
source of the uncertainty surrounding the in service

uplift performance of HV transmission tower
foundations.
Table 2. The design test from BS EN61773:1996

(BSI, 1996).
Test type Load steps of Increment time
design capacity (%) (minutes)
Design 25, 50, 70, 80, 90 10
test and 100 30 at 100%
Figure 2. Sample of field tests (n=45).
2. Design and construction practice
Design uplift resistance in the UK is specified by

National Grid in TS 3.04.15 (National Grid, 2004)
and is to be derived from the weight of the
foundation and soil, contained within an inverted
frustum extending to the surface from the base of
the foundation (Figure 3.). The frustum angle, and
the geometry of the assumed failure mechanism, is
governed by the in-situ soil properties (Table 1).
Table 1. Frustum method in TS 3.04.15 (National

Grid, 2004)
Frustum
Soil strength Type Measurement o
angle ( )
Strong 25
Cohesionless SPT N Figure 3. L4M foundation.
Weak 15(N<20)
Undrained
Strong 25
Cohesive shear
Weak 15(su<49)
strength (su)
The ultimate limit state (ULS) foundation uplift

displacement (w) criterion specified in TS 3.04.15
for all foundations is w=10mm. This value is based
on a series of foundation tests where it was
observed that if a foundation was displaced beyond
10mm then its reload performance was significantly
diminished (CIGRE, 1998).
A truncated mass concrete pyramid base with a

reinforced concrete inclined chimney is the most
common foundation type for transmission towers in Figure 4. Construction of an L4M foundation.
the UK The foundation is cast inside a large
excavation typically backfilled using excavated or 3. Field tests
imported material compacted in 300mm layers
(Figure 4.). 3.1 Site layout and load schedule
Industry testing practice in the UK is carried out Five foundations were constructed at the Building
in accordance with BS EN61773 (BSI, 1996). A Research Establish London clay test site at Lodge
summary of the incremental design test is Hill Camp in Chattenden during August 2009. The
presented in Table 2. This type of test has been foundations were designed and constructed to TS
routinely used to assess foundation capacity since 3.04.15 with nominal ultimate uplift capacities of
the 1960s (Parr and Vanner, 1962) and is the 420kN.
For brevity this paper shall concentrate on the (E’), friction angle (φ) and undrained shear strength
results from three of the load tests carried out (su) from the CPTs is presented in Table 4.
(Table 3). The foundations in these three tests were
all backfilled with a compacted coarse granular Table 4. Summary of g round data.
material. Test 3-B was a reloaded test on a Depth (m) E’ (MPa) o
φ( ) su (kPa)
foundation that been previously displaced by 1.5 8 31 n/a
15mm. This means that resistance to uplift in this 3 12 30 48
test would have been provided by the weight of the 10 32 32 160
backfill without suction (breakaway). The foundation
base of Test 5-A (Foundation 5) was in full contact
with the London clay beneath it (fully bonded). Both 4. Field test results
of the foundations during these tests were rapidly
loaded to failure. Therefore the development of The rapidly loaded foundations on London clay
suctions would be manifest in the difference in load exhibited an extremely stiff response, 90% peak
response between Test 3-B and 5-A. A design test resistance before w=10mm (Figure 6.). Numerical
(Test 4-A) to BS EN61773 (BSI, 1996) was carried back analysis suggested that the operational value
out to provide standard industry test results. of undrained shear strength on the foundation base
was on average 41kPa (Figure 7.). The stiffness of
Load was applied to each foundation stub using Test 5-A’s load-displacement response varied
an inclined hydraulic jack (Figure 5.). The load- between Eu=184MPa (w≤2.5mm) and Eu/su=490
displacement behaviour of the foundations was (w=50mm); compared to the centrifuge tests where
measured using a load cell mounted above the kaolin’s stiffness was back analysed to Eu/su=50
hydraulic jack and linear voltage displacement (Rattley et al., 2008). Eu=184MPa corresponds to
transducers (LVDTs) on a reference beam. the stiffness recorded in undrained triaxial tests on
London clay samples at Heathrow Terminal 5
Table 3. Load schedule. (Gasparre et al., 2007). Both the back analysed
Test Loading Base condition undrained shear strength and stiffnesses suggests
3-B Rapid uplift Breakaway that suctions were mobilised on the foundation base
4-A Design test Fully bonded during Test 5-A leading to an undrained failure in
5-A Rapid uplift Fully bonded the underlying London clay.
The design test according to BS EN61773 (BSI,

1996) appeared to yield extremely conservative
results in comparison to the rapid uplift
methodology. Under the applied load increments
the foundation performed poorly, reaching only 50%
of design capacity at ULS (w=10mm). Although
both methods seek to apply the maximum design
load arising from transmission tower design the
rapid loading methodology does so within 2s, which
may better replicate the dynamic loading of
transmission tower compared to the static
incremental loading of the design test. It may
therefore be the case that the rapid test is more
Figure 5. Field test arrangement. applicable and the design test is unduly
conservative.
3.2 Ground conditions
Figure 6. also shows the results from Test 3-B;
Chattenden has been used extensively for rapid uplift excluding suction. It was evident that the
foundation testing due to its deep and uniform performance of compacted coarse granular fill is
London clay strata. Testing was conducted over two extremely poor. Large displacements were required
weeks in July 2012. Five 10m deep cone for the backfill to stiffen sufficiently to reach design
penetration tests (CPTs) were carried out to capacity. This poor performance may have been as
characterise the site and backfills. a result of the inundation of water in the
excavations leading to a loss in strength. Indeed the
The measurements of pore water pressure from CPT results showed very low tip resistances at the
the CPTs through the backfills indicated that water bottom 0.5m of the compacted coarse granular
had pooled in the compacted granular backfills. The backfill.
water at the base of the excavations in combination
with the rapid uplift velocities was expected to result
in the development of an undrained condition
(suctions) on the base of the foundations. A
summary of the in situ values of drained stiffness
instrumentation to determine external loads and

structural loads. With recent developments in data
logging and data transmission it would be relatively
straightforward to fully instrument a HV
transmission tower from the base upwards.
Through such endeavours a better design and
testing rationale may be developed leading to more
sustainable refurbishment solutions.
6. Acknowledgment
The author would like to thank EngD sponsors

National Grid, EPSRC and the University of
Southampton, in particular EngD supervisors
Professor David Richards, and Boud Boumecid and
David Clutterbuck. The foundations were
Figure 6. Field test results
constructed by Grid Line Foundations Ltd, tested by
ESG and the CPTs were undertaken by Andrew
Hewitt of Lankelma.
7. References
BERR (2008) UK Renewable Energy Strategy.

Department for Business Enterprise Regulatory
Reform, London, UK.
BSI (1996) EN 61773:1996. Overhead lines -
Testing of foundations for structures. BSI,
London, UK.
CIGRE, (1998) Probabilistic design of transmission
line structure foundations. International Council
on Large Electronic Systems, Paris, France, SC-
22 WG07.
Figure 7. Test 5-A with numerical analysis results. Clark, M., Richards, D.J. and Clutterbuck, D.,
(2006) Measured dynamic performance of
5. Conclusions electricity transmission towers following
controlled broken-wire events. International
By comparing the results from three foundation Council on Large Electronic Systems, Paris,
tests it has been demonstrated that current testing Paper B2-313.
practice is extremely conservative and is likely to Gasparre, A., Nishimura, S., Minh, N.A., Coop,
have led to an undue underestimation of foundation M.R. and Jardine, R.J. (2007) The stiffness of
o
uplift capacity due to the manner of test load natural London Clay. Géotechnique, vol. 57, n
application. A discussion is now required to develop 1, pp. 3-18.
a more relevant approach to uplift testing. Lehane, B.M., Gaudin, C., Richards, D.J. and
Rattley, M J (2008) Rate effects on the vertical
The results have shown that under rapid loading uplift capacity of foundations founded in clay.
o
that a fully undrained condition may occur on the Géotechnique, vol. 58, n 1, pp. 13-21.
base of a foundation founded on a cohesive soil. National Grid (2004) TS 3.04.15 - Overhead line
The resulting load-displacement response was support foundations. NG, Warwick, UK.
extremely stiff and limited by the undrained shear Parr, R.G. and Vanner, M.J., (1962) Strength tests
strength of the in situ London clay. However, when on overhead line tower foundations. Electrical
the undrained condition was not realised the Research Association, Leatherhead, UK, Report
breakaway uplift performance was extremely poor. O/T28.
This performance will require a re-evaluation of the Rattley, M.J., Richards, D.J. and Lehane, B.M.
use a compacted coarse granular material as a (2008) Uplift performance of transmission tower
foundation backfill. foundations embedded in clay. Journal of
o
The differences in observed uplift resistances Engineering, vol. 134, n 4, pp. 531-540.
due to rapid loading requires further consideration
of the in service applied loading typically transmitted
to foundation systems. This can be achieved
through careful instrumentation and monitoring
through foundation systems from their base
upwards using accelerometers together with
VERIFICATION OF SIMPLIFIED APPROACH WITH NUMERICAL

APPROACH IN ANALYSING PILED – RAFT FOUNDATIONS
VÉRIFICATION DE L'APPROCHE SIMPLIFIEE AVEC APPROCHE NUMERIQUE
EN ANALYSE RADIERS SUR PIEUX
Mohamed A.Baqi MAHMOUD1 and Hussein ELARABI2
1
M.Sc. Student, Building and Road Research Institute, University of Khartoum, Sudan
2
Associate Professor, Geotechnical Department, Building and Road Research Institute,
University of Khartoum, Sudan
Abstract: The goal of this paper is to highlight the difference between the simplified non - linear method
which was proposed by Polous and Davis and the plate on piles and continuum method in analyzing piled
raft foundations. For that, a hypothetical example is analyzed using the two aforementioned analysis
techniques. The latter approach necessitates the use of the finite element method which herein involved
using the PLAXIS 3D FOUNDATION. The first approach was used to estimate the load – settlement pattern
for different piled raft configurations with variation in number of piles, piles length and piles diameter. It was
noticed that the simplified method of (Polous and Davis) is suitable to predict the average settlement and the
corresponding number of piles yet fall short to obtain any additional parameters. On the other hand, the
(FEM) had the advantage to obtain the distributions of settlement and piles loads.
1.Introduction
Table (1): Parameters of the semi infinite mass
The piled raft is a geotechnical composite Undrained cohesion Cu (KPa) 10
construction consisting of three elements: piles, Friction angle ࢥ (deg) 0
raft and soil. The design of piled rafts differs from Undrained Modulus of Elasticity for the
traditional foundation design, where the loads to be 15000
semi – infinite mass (Eu) (KPa)
carried either by the raft or by the piles, Drained Modulus of Elasticity for the semi
considering the safety factors in each case. In the 13000
– infinite mass (Eu) (KPa)
design of piled rafts the load share between the
Poisson's ratio (ಽsoil) 0.5
piles and the raft is taken into account, and the '
piles are used up to a load level that can be of the Long – term Poisson's ratio (ಽ soil) 0.35
same order of magnitudes as the bearing capacity Width of raft (B) (m) 15
if a comparable single pile or even greater. Pile – soil adhesion factor (Ca) 5.0
Therefore the piled raft foundation allows the
reduction of settlement and differential in very 2.Simplified Analysis for load – settlement
economic way compared with traditional curve to failure
foundational concepts (El-Mossallamy, 2009) .
In this study, a hypothetical example of rigid raft
The simplified approach has been described by
15m on a side, resting on a deep deposit of infinite
Polous and Davis (Poulos, 1980) and herein this
mass, will be considered. The total working load
method was incorporated to determine the total
applied on the combined system is 3500 KN. As for
final settlement of the combined piled – raft system
the relevant average parameters of the infinite
along with the number, diameter and length of the
mass, table (1) delineates these parameters. The
piles that would yield the settlement that falls below
parameters that were taken under consideration
the permissible specified limit for the system under
are namely the number of piles, piles length and
the influence of total working load. The method
piles diameter. The analysis was initiated by the
assumes that for loading under undrained
simplified method proposed by Polous and Davis
conditions, purely elastic conditions up to the load
(Poulos, 1980) to determine the magnitude of the
at which the piles would fail if no cap were present.
settlement for the combined system considering
Thereafter, it is assumed that any additional load is
the effect of variation of the aforementioned
taken entirely by the raft or cap and the additional
parameters, thereafter the numerical analysis by
settlement of the system is then given by the
aid of PLAXIS 3D FOUNDATION was conducted
settlement the raft only. With that being said, three
to validate the results obtained for each case
different configurations for piles group considering
separately. The maximum total final settlement of
variation in the number, length and diameter of
the raft must not exceed 6.0mm.
piles were studied and tables (2), (3) & (4) Table (4): 3rd configurations for piles group
summarize these variables. Piles
Number Piles Load
¥Q length
Table (2): 1st configurations for piles group of piles diameter Capacity
* (L)
(n) (d) (m) (KN)
Piles (m)
Number Piles Load
¥Q length 0 0 1.0 25 0
of piles diameter Capacity
* (L) 1 1 1.0 25 162.495
(n) (d) (m) (KN)
(m) 4 2 1.0 25 649.98
0 0 0.3 30 0 9 3 1.0 25 1462.455
1 1 0.3 30 145.32705 16 4 1.0 25 2599.92
4 2 0.3 30 581.3082 25 5 1.0 25 4062.375
9 3 0.3 30 1307.94345 36 6 1.0 25 5849.82
16 4 0.3 30 2325.2328 49 7 1.0 25 7962.255
25 5 0.3 30 3633.17625
* represents the root number of piles
36 6 0.3 30 5231.7738
49 7 0.3 30 7121.02545
The total final settlement of the combined piled raft
Table (3): 2nd configurations for piles group system is the sum of:
Piles
Number Piles Load
¥Q length
of piles diameter Capacity Ptf = pi + pcf (3)
* (L)
(n) (d) (m) (KN)
(m)
0 0 0.6 15 0 Where:
1 1 0.6 15 86.7582 = Immediate settlement of the piled
4 2 0.6 15 347.0328 raft system
9 3 0.6 15 780.8238 =Consolidation settlement of the
16 4 0.6 15 1388.1312 piled raft system
25 5 0.6 15 2168.955
36 6 0.6 15 3123.2952 2.1 Results of Simplified Analysis for load –
49 7 0.6 15 4251.1518 settlement curve
The variation of the total final settlement with the

number piles in the system is shown in Figure (1).
The load capacity for the pile was calculated as It is shown that in order not to exceed the
follows: maximum total final settlement of the raft which
equals 6.0mm; only 36 of the 0.3m diameter, 30m
Pu = (L × Ca îʌîG$b × cu × Nc) (1) long piles are required. The traditional design
procedure, which determines the number of piles
Where: solely on the basis of ultimate bearing capacity
L = Piles length with no allowance, made for the raft, gives the
Ca =Pile – soil Adhesion factor required the number of piles as 88 (to give the
d = Piles diameter same load capacity as the raft, i.e. 12802.5 KN).
Cu = undrained cohesion Thus a very considerable economy in design is
Ab = Area of pile base affected. In addition, 88 piles would reduce the
Nc = Bearing capacity factor which in this settlement too unnecessarily which is not feasible
case for (ࢥ = 0) is 5.7 at all. Also it is shown in Figure (1) the
relationships between the total final settlement and
The load capacity of the raft was calculated as numbers of piles for other two other different types
follows: of piles. It is noticed that in spite of the enlarged
diameter for the 15m piles although this time
Pu = (B2 × qu) (2) shorter; the settlement is still excessive and
exceeds the permissible 6mm. On the other hand,
Where: the 25m piles of much larger diameter fulfill the
B = Dimension of Square rigid raft permissible settlement but this time with 49 piles
qu = average ultimate for the raft = Nc × Cu instead of 36 as shown in the first configuration.
15
Total final settlement of the piled raft system (mm)
14
13 30m piles.
12 0.3m dia
11
10
9
8 15m piles.
7 0.6m dia
6
5
4
3 25m piles.
2 1.0m dia
1
0
0 1 2 3 4 5 6 7 8
n
Figure 1. Total final settlement vs. root number of piles
3.Finite Element Numerical Model For the Concrete piles and raft, a linear elastic
material set was applied using the concrete and its
Numerical analyses using finite element stiffness. The basic parameters which were
techniques are popular in recent years in the field required for modeling the concrete elements are
of foundation engineering. summarized in table (6).
To date, a variety of finite element computer
programs have been developed among which Table (5): Summary of Semi infinite mass
PLAXIS 3D FOUNDATIONS is applied herein in Parameters
the forthcoming examples. Since the piled – raft is
an example of soil – structure interaction, PLAXIS Thickness (m) 100
3D has overcame this issue by introducing a %XON8QLW:HLJKWȖ
18
special type of element at pile – soil interface, (KN/m3)
simulating the displacement discontinuity between 6DWXUDWHG8QLW:HLJKWȖsat
16
the pile and the soil which is referred to as the " (KN/m3)
Embedded Pile" in which the pile is assumed as Semi infinite mass
slender beam element. Young's Modulus Esoil 15
The pile – soil interaction is governed by (MN/m3)
relative movements between the pile nodes and Semi infinite mass
0.35
the soil nodes. The connection between these Poisson's ratio ಽsoil
nodes is established by means of special purposed
interface elements representing the pile – soil Undrained cohesion Cu
10
contact at the skin and special – purposed non (KPa)
linear spring representing the pile soil contact at
the base (B.V, plaxis 3D foundation (Reference Friction Angle ࢥ (deg) 0
Manual) Version 2).
The soil stress – strain relationship was
modeled by means of Mohr – Coulomb Soil Model. Dilatancy $QJOHȥGHJ 0
The basic parameters which were required for this
linear elastic perfectly plastic model are
summarized in Table (5).
Table (6): Summary of Concrete structural

elements Parameters
Element Type
Parameters
Raft Embedded Pile
Thickness (m) 0.5 -
Depth of
embedment 3 -
(m)
Diameter (m) - 0.3
Length (m) - 30
Concrete Unit
concrete 24 24
(KN/m3)
Concrete
0.15 0.15
Poisson's ratio
Young's
Modulus
21.5 × 103 21.5 × 103 Figure 2. Modeling of Piled Raft System
Econcrete
2
(MN/m )
4.Discussion and Conclusion
3.1 Implementation of 3D Finite Element Model The foregoing example was a hypothetical one
which was studied to compare the results of the
The aim of the numerical model is to determine the Simplified method by Polous and Davis (Poulos,
total final settlement of the raft under the influence 1980) and the plate on piles and continuum.
of the working load for the case of the 0.3m The first method was used to compare various
diameter piles of 30m length, and find whether the configurations of piles with different pile lengths
obtained value is relevant to the value obtained by and diameters to find out which configuration
the simplified approach or not. would yield a total final displacement that falls
Some effects were taken into account which is below the prescribed maximum permissible of the
(B.V, plaxis 3D foundation (Tutorial Manual) combined system. Thereafter, a much detailed
Version 2.0): analysis was applied using the latter method to
1. Initial Stage. verify the total settlement and determine the loads
2. Modeling the excavation phases. distribution within the piles group.
3. Installation of the piles and foundation. The (FEM) shows a close agreement with the
4. Application of the load from the simplified method in term of the total final
superstructure (working loads). settlement for the piled raft system. The total final
settlement of the piled raft system can be
3.2 Results of FEM analysis determined by usage of the simplified method, yet
the method can't be used to obtain any further
The 3D Model of the piled raft consisted of 15 – outputs. The (FEM) shows an extended capability
Nodded wedge elements with total of 1342 to model the behavior of piled raft and determine
elements and 4156 nodes. Figure (2) the load distribution between piles which was not
demonstrates the modeling of piled raft system and possible to obtain in the simplified method.
the embedded piles.
The results obtained for the total displacement
of the piled raft system shows that the settlements 5.References
is about 1.82mm which is much smaller than the
maximum permissible settlement for the system as B.V, P. plaxis 3D foundation (Reference Manual)
well as lesser than the calculated value by the Version 2. Delft, The Netherlands.
simplified method (4.28mm), hence the selected B.V, P. plaxis 3D foundation (Tutorial Manual)
configuration of piles will suffice. Version 2.0. Delft, The Netherlands: PLAXIS
The load distribution among piles is almost a B.V.
uniform distribution of loads. The percentage of the El-Mossallamy, Y. (2009). special aspects related
to the behavior of piled raft foundation. 17th
applied load carried by piles was almost 3.21%.
International conference on soil mechanics and
Although this value is somehow insignificant, yet geotechnical engineering (p. 4). IOS Press.
the piles contributed in reducing the total Poulos, D. (1980). Pile foundation analysis and
settlement of the piled raft system. design. Sydney: The University of Sydney.
EFFECT OF DOWNDRAG ON FLOATING AND END BEARING PILES

EFFET DE FROTTEMENT NEGATIF SUR PIEUX FLOTTANTS ET PIEUX
PORTANTS EN POINTE
M. S. MORSY
Ain Shams University, Cairo, Egypt
ABSTRACT – Negative skin friction is a long term, and nonlinear time dependent problem which cannot be
investigated only through field measurements. Numerical analysis using finite element method provides
a powerful tool that enables more detailed study of negative skin friction on piles in soft clay. In this paper, an
axisymmetric finite element model was used to analyze the pile-soil interaction problem of negative skin
friction. The soft clay was simulated by the double hardening model, and the pile was represented by a plate
element. An extensive parametric study was carried out to investigate the effect of different factors on the
behavior of a floating pile subjected to downdrag. The studied parameters are: surcharge value, surcharge
radius, and clearance between pile toe and a stiff stratum. Also, a comparison between the effect of negative
skin friction on both end bearing, and floating piles was carried out. The comparison incorporated the
following points: shear stress distribution along pile, neutral plane location, dragload, and pile movement.
Keywords: pile-soil interaction, negative skin friction, dragload, downdrag, neutral plane, floating pile
1. Introduction were used to simulate the pile. Compatible interface

elements with 5-node pairs were used to simulate
The downward movement of the consolidating soft the pile-soil interaction. As shown in Figure 1, the
soil relative to the pile results in an additional finite element mesh is very fine in regions of high
compressive force called dragload. The dragload is stress gradient, its size increases gradually towards
time dependent because it is related to the the boundaries, in order to decrease computational
magnitude of excess pore water pressure. The analysis time.
dissipation of excess pore water pressure results in Double hardening soil model was used to model
settlement of the soil, in addition to increase in pile- the constitutive behavior of the soil layers. The pile
soil interface strength. If the effect of downdrag is behavior was described using linear elastic model.
not considered in design of piles, structural and/or
serviceability problems may occur.
Numerical analysis was used widely to
investigate the effect of downdrag on piles. Lee et
al. (2001) indicated that negative skin friction
affects 70% of a floating pile length, and the full
length of an end bearing pile. Morsy (2012) studied
the effect of various factors on the performance of
end bearing pile subjected to downdrag. Morsy
indicated that the effect of groundwater drawdown
on dragload value is more significant than
equivalent surcharge. In this paper, the
performance of floating piles subjected to downdrag
will be presented. Besides, a comparison between Figure 1. Finite element mesh.
the performance of both floating and end bearing
piles. 2.2 Numerical model verification
Indraratna et al. (1992) performed field

2. Numerical Modeling measurements for two end bearing concrete piles
driven in Bangkok soft clay. After pile driving,
2.1. Finite element mesh and constitutive embankment was constructed to consolidate the
models soft soil. Morsy (2012) back-analyzed these
measurements using finite element method, and
Finite element analysis was applied to study the the back-analysis results showed the ability of the
downdrag problem using PLAXIS software. An finite element method to solve the downdrag
axisymmetric model was used in the analysis. The problem. In addition, the suitability of double
soil layers were simulated by 15- node toroidal hardening soil model to simulate the soil
triangular elements. Five node beam elements constitutive behavior.
3. Effect of Downdrag on Floating Pile
Floating pile resistance depends mainly on shaft

friction. The behavior of floating pile surrounded by
a consolidating soil layers was investigated through
an extensive parametric study.
3.1 Subsoil conditions, pile properties, and load

characteristics
The subsoil consists of 50 m thick clay layer

underlain by bedrock. The groundwater table lays
2 m below the ground surface.
Hollow reinforced concrete pile of 25 m length Figure 3. Load transfer along pile shaft.
was adopted in the analyses. The pile outer and
inner diameters are 400 and 250 mm, respectively. 3.3 Parametric study
Contact stress of intensity (P), and radius (r)
was applied to consolidate the clay layer. Also, 3.3.1. Effect of surcharge value (P)
compression load (Q) was applied to the pile head. Figure 4 illustrates that the relationship between
The model radius was taken 90 m (8.5 r) to avoid the neutral plane depth and the surcharge value is
boundary effects on the analysis results. Figure 2 linear proportional in case of Q=0, because the pile
presents the different parameters of the analyzed movement occurs only due to the soil downdrag,
problem. and the soil settlement is linearly proportional to the
surcharge value. In the case of applying a head
load, the neutral plane depth-surcharge value
relationship is nonlinear, because the relative pile-
soil movement is dependent on the magnitude of
Epile = 3 x107 kPa
νpile= 0.2
both pile head load, and soil surcharge. The neutral
plane lays at 49-58%, 38-51%, 24-37% of the pile
length under the effect of P= 10-35 kPa for Q=0,
200, and 400 kN, respectively. Figure 5 shows
a linear relationship between dragload and
surcharge value in absence of a head load. In
cases of Q= 200 and 400 kN, the dragload
increases nonlinearly with the surcharge value.
Increasing the magnitude of surcharge by 250 %
resulted in 150%, 265%, and 230 % increase in the
dragload value for Q= 0, 200, and 400 kN,
respectively. The increase in surcharge value by
250 % led to an increase of 110%, 115%, and
230% in the pile head movement, for Q=0, 200, and
400 kN, respectively.
Figure 2. Soil profile and pile properties.
3.2 Pile axial load capacity
Pile load test simulation was carried out using

PLAXIS program to estimate the pile axial load
capacity. Axial compression load was applied to the
pile head; there was no surcharge on soil surface.
Figure 3 presents the analysis results. Increasing
the axial load value led to increase of shear
stresses along pile-soil interface; Full mobilization
of interface shear strength all over the pile length
occurred when the pile head load reached 800 kN.
The effect of various factors in the parametric
study was investigated under the effect of three pile
head load levels which are: 0, 200, and 400 kN.
These load levels are equivalent to 0, 0.25, and 0.5 Figure 4. Effect of (P) on neutral plane depth.
the pile axial load capacity.
Figure 5. Effect of (P) on dragload.
3.3.2. Effect of surcharge radius (r)

Figure 6 presents the effect of r/L value on the
dragload. In case of Q=0, increasing r/L value from
0.42 to 0.8 resulted in 37% increase in the dragload
value. Any increment in r/L value beyond 0.8 did not Figure 7. Stiff layer properties.
affect the dragload value. In the case of Q=200 kN,
the dragload increased by 22% as a result of
increasing r/L value from 0.42 to 0.6. The dragload
value is almost the same for r/L values more than
0.6. In the case of Q=400 kN, the dragload is
almost constant for different r/L values. The
magnitude of r/L highly affects the pile movement.
In absence of pile head load, the pile head
movement increased by 710%, corresponding to an
increase of 765% in the surcharge radius. Applying
an axial compression load on the pile head
decreased the effect of r/L values on the pile
movement. The increase in pile head movement
reduced to 490%, and 300% in cases of Q=200 kN,
and Q=400 kN respectively.
Figure 8. Effect of (Z) on dragload.
Figure 6. Effect of (r/L) on dragload.
3.3.3. Effect of pile toe-stiff layer clearance (Z)

Stiff sand layer was placed below the soft clay Figure 9. Effect of (Z) on pile movement.
layer, in order to investigate the effect of pile toe
location with respect to a stiff layer, on negative
skin friction. Sand layer parameters are shown in
4. End Bearing-Floating Pile comparison
Figure 7. The results showed that the neutral plane
and dragload are constant for floating pile in spite of
The behavior of end bearing pile, and floating pile
(Z) value, as presented in Figure 8. Also, pile
was compared based on the analyses results. The
movement is almost constant in spite of floating pile
case Z/L = 0 represents the end bearing pile.
toe location, as illustrated in Figure 9.
The two cases Z/L = 0.5, and 1 represent the

floating pile; the results of these two cases are
nearly the same. The shear stress curves along the
end bearing, and floating pile coincide down to the
plane of maximum negative shear stress of the
floating pile; below this plane, the two curves
diverge. The shear stress along the floating pile
was converted from negative to positive at a
shallower depth than the end bearing pile. The
neutral plane lays at a deeper level in the case of
end bearing pile. The end bearing pile experiences
less movement because it rests on a stiff layer, so
the soil-pile relative movement increases. Hence,
the negative shear stresses, neutral plane depth,
slip length, and dragload increase. Figure 10 shows
the shear stress along the pile-soil interface in both Figure 12. Pile head movement vs. time for end
cases of end bearing and floating pile. bearing, and floating pile.
5. Conclusions
Numerical analysis was used to study the behavior

of floating pile through a parametric study. Analyses
results showed that the neutral plane depth
depends on surcharge intensity, surcharge radius,
pile head load, and degree of soil consolidation.
Increasing surcharge radius results in increase of
neutral plane depth and dragload, until a certain
radius. This characteristic radius depends on soil
parameters, surcharge intensity, pile head load, and
relative pile-soil stiffness. An axial compression
load acting on floating pile could be increased to a
value at which the downdrag effect is mitigated
without structural failure, but large pile movement
occurs. In a homogenous soil, the position of
Figure 10. Skin friction distribution along end floating pile toe with respect to a stiff soil layer does
bearing, and floating pile. not affect dragload, and pile movement.
The comparison between end bearing and
The neutral plane depth in case of floating pile floating piles behavior showed that floating piles are
equals 90% of that in case of end bearing pile. The affected by more pile movement, and less dragload
dragload affecting the floating pile equals 89 % of compared with end bearing pile.
that of the end bearing pile, as presented in Figure
11. It is obvious from Figure 12 that the floating pile
head movement after five years was 125% the 6. References
corresponding end bearing pile movement.
Indraratna, B., Balusubramanimam, A.S., Phamvan,
P., and Wong, Y.K. (1992). Development of
negative skin friction on driven piles in soft
Bangkok clay. Canadian Geotechnical Journal,
Vol. 29, No. 3, pp. 393-404.
Lee, C.J., Bolton, M.D., and Al-Tabbaa, A. (2001).
Recent finding in negative skin friction in piles
and pile groups in consolidating ground.
th
Proceedings, 5 International Conference on
Deep Foundations Practice, Singapore, pp. 273-
280.
Morsy, M.S., (2012). Negative skin friction on piles
rd
in soft clay. Proceedings, 3 African Young
Geotechnical Engineering Conference, Cairo,
pp. 138-143.
Acknowledgment
Figure 11. Dragload vs. time for end bearing, and I am very grateful to my dear Prof.Y. El Mossallamy
floating pile. for his precious advice and help in this study.
APPLICATION OF AN UNDRAINED AND A PARTIALLY DRAINED

CYCLIC ACCUMULATION MODEL FOR MONOPILE DESIGN
APPLICATION D’UN MODÈLE D’ACCUMULATION CYCLIQUE NON DRAINÉ
ET PARTIELLEMENT DRAINÉ POUR LE DIMENSIONNEMENT DE MONOPILES
1 1 1
Ana María PAGE RISUEÑO , Hans Petter JOSTAD , Morten SAUE
1
Norwegian Geotechnical Institute, NGI, Oslo, Norway
ABSTRACT - Monopile design for offshore wind turbines has traditionally considered sand layers as drained
in conventional beam spring analyses and in finite element analyses. However, with the large diameters
commonly used in practice, the sand is generally close to undrained during one load cycle. The recently
developed partially drained cyclic pore pressure accumulation model (PDCAM) has been implemented in the
3D FE program PLAXIS. This model accounts for the soil degradation under partially drained cyclic loading.
For the clay layers, the undrained cyclic strain accumulation model (UDCAM), which accounts for soil
degradation under undrained cyclic loading is used. The performance of both models is demonstrated by 3D
finite element analyses of a monopile subjected to cyclic loading, with a soil stratigraphy that includes both
undrained and partly drained material behavior. Results in terms of displacements of the pile and soil
reactions are compared with traditional beam-spring analyses.
1. Introduction FEA can model complex geometries and they can

include spatially varying soil properties, advanced
Offshore structures, like for instance offshore wind non-linear and anisotropic constitutive models. Also
turbines, are subjected to high cyclic environmental they can account for partial consolidation with time.
loads from waves, wind and current. The soil has to In order to account for the effects of cyclic
resist these loads without causing a foundation loading in the soil, the Norwegian Geotechnical
failure or excessive displacements/rotations. Due to Institute (NGI) has developed, during the last 30
cyclic degradation of the soil, the capacity and the years, a framework where contour diagrams
stiffness of the saturated soil may be reduced. characterize and define the soil behaviour under
Permanent displacements under cyclic loading are cyclic loading (e.g. Andersen et al., 1988; Andersen
larger than the monotonic displacements due to and Lauritzen, 1988; Andersen, 2009). Based on
accumulated shear deformations. Foundations this framework, calculation procedures have been
must then be designed for the expected cyclic load developed to be used in foundation design. In order
history. to combine these well proved procedures with the
Traditionally, in foundation design, capacity and advantages that the FEA offer, two material models
displacements are calculated by semi empirical have been developed and implemented in the
methods based on beam column models or by the commercial finite element software PLAXIS
finite element method. (www.plaxis.nl). This paper describes the basis of
In semi empirical methods based on beam both models and a procedure to apply them to
column models, the soil is modeled by uncoupled, monopile analyses. It also demonstrates their
nonlinear soil springs distributed along the pile (e.g. performance in the 3D finite element analysis of a
API, 2011). Despite this approach has been used monopile subjected to cyclic loading. Results in
for many years, it has some limitations. Since it is terms of displacements of the pile and soil
based on a limited number of model tests on small reactions are compared with traditional beam-
piles, it does not consider all possible cyclic load spring analyses.
histories. Also it does not account for the initial
small strain stiffness of the soil and it cannot
evaluate the partial drainage in the soil. Moreover, 2. Material models for cyclic response of the
it ignores coupling between the soil springs along soil
the pile and coupling between horizontal and
vertical soil springs. 2.1. Description
Even if semi-empirical methods based on beam
column models are still used in the current practice, The UnDrained Cyclic Accumulation Model
finite element analyses (FEA) have become more (UDCAM) and the Partially Drained Accumulation
common in offshore foundation design as for Model (PDCAM) are two models that account for
instance described in Andresen et al. (2008). FEA soil degradation under cyclic loading. These
have many advantages in comparison with semi- models find the effect (accumulated strains,
empirical methods based on beam column models. reduced stiffness and reduced undrained shear
strength in UDCAM and accumulated strains, average shear stress τa is assumed to be under
accumulated pore pressure, reduced stiffness and drained condition.
reduced undrained shear strength in PDCAM) of To model the stress-strain relationship under
the cyclic load history. The key assumption in these undrained condition, the similar total stress based
procedures is that the soil is undrained during one elasto-plastic model with anisotropic shear
load cycle. strengths and anisotropic hardening functions
Instead of applying the real cyclic load history in developed for the NGI-ADP material model
the time domain, the loads are applied in so called (Grimstad et al. (2011)) is used. The formulation of
load parcels. The load parcels are an idealized the model is described in detail in Grimstad et al.
storm loading composition where the design storm (2012).
is divided into numbers of constant load amplitudes
within each load parcel. The effect of the cyclic 2.2. Calculation procedure
loading history is then represented by the
calculated equivalent number of cycles, Neq, at soil Each load parcel consists of the average loads, Fa,
element level. the cyclic loads, Fcy and the number of cycles in the
The main input to UDCAM are cyclic contour parcel, N. Each parcel has to be divided into
diagrams obtained from undrained cyclic and different calculation phases in order to decouple
monotonic laboratory tests. These diagrams give the average and the cyclic shear-strain
relationships between cyclic shear stress, τcy, cyclic relationships. Based on the procedure defined for
shear strain, γcy, average shear stress, τa, average UDCAM in Jostad and Andresen (2009), a
shear strain, γa and number of cycles, N. The procedure has been established in order to
average shear stress, τa, and the cyclic shear combine in the same way both UDCAM and
stress, τcy, are normalized by σ’vc, where σ’vc is the PDCAM:
effective vertical consolidation stress or the static 1) Create the finite element model to be used.
undrained shear strength su. Figure 1 shows an 2) Establish contour diagrams (triaxial and
example of such a contour diagram, where different DSS) and include them as a digitalized data
vertical planes containing the relations between τa, in a separate file.
τcy, γa, and γcy, are plotted for a given N. 3) Specify initial stresses consistent with the
triaxial contour diagram.
4) Apply the average loads (submerged weight
and other permanent loads) and introduce,
as input of for PDCAM, the number of
cycles. This phase is a consolidation phase,
where pore pressure dissipation is taken
into account in the PDCAM model. This
phase gives output of average shear strains
for both models and the accumulated pore
pressure and the updated equivalent
number of cycles in PDCAM.
5) Apply the cyclic loads in an undrained
plastic phase. This phase gives output of
the cyclic shear strains and the updated
equivalent number of cycles in UDCAM.
6) Introduce of the number of cycles, N, for
UDCAM. This phase is a plastic phase, and
Figure 1. Contour diagrams for triaxial state for the it is only used to receive input of N.
clay at the West Korean site The last three steps have to be repeated for
each load parcel.
The main input to PDCAM are 3D contour
diagrams of cyclic shear stress–strain behaviour
and average shear stress–strain behaviour for 3. Case study
different number of cycles, together with diagrams
of undrained pore pressure development as a 3.1. Description
function of the cyclic shear stress and the number
of cycles. The diagrams give the average and UDCAM and PDCAM have been used in a concept
cyclic shear strains (γa and γcy) as functions of the study that investigates the feasibility of a monopile
equivalent number of undrained cycles, Neq, and the foundation for offshore wind turbines in the Korean
normalised average and cyclic shear stresses West Sea. The performance of both models in 3D
(τa/σoct,c’ and τcy/σoct,c’) and accumulated pore finite element analyses is compared with results
from traditional beam-spring analyses.
pressure (up/σoct,c’), where σoct,c’ is the consolidated
The monopile evaluated is a tubular steel pile
effective octahedral stress before the sample is
with a length of 37 m, a diameter of 5.2 m and a
subjected to cyclic loading. The application of the
wall thickness of 54 mm. The soil stratigraphy
consists of layers of close to normally consolidated for this specific

c case since these layerrs present a
silty clay to silt and loose silty sand. her low contrribution to the
rath e pile resista
ance.
The mesh consisted
c of 3264 eleme ents (Figure
2). The mesh is i rather coa arse at the periphery
p of
the FE-model and finer whe en approaching the pile.
3.3. Results
Figure 3 presen nts the cyclicc shear strainn developed

at the
t end of the applied ULS load history.
h The
highhest magnituude of the sh hear strain (γγcy= 17 %) is
obtained in upp per part of tthe soil surro ounding the
monopile. In the top clay a an equivalent number off
cyccles (Neq) of 80 can be considered around the
pile
e, while in the
t bottom sand layers s it can be
asssumed a valu ue of Neq = 6 6. The comb bination of a
highh Neq and laarge stressees results in the largest
cycclic degradattion and thereby a reduction in soil
resistance.
Figure 2. FE model of the monopile foundation
The load history is based on a typical North Sea

storm composition, due to lack of a representative
load history. For the UDCAM and PDCAM material
models, loa ads are app plied in load parcels. The
T
ultimate lim
mit state (ULLS) is evaluaated using load
and materia al factors acccording to DNV (2010)). A
load factor of 1.35 and a material fa
actor of 1.25 are
applied. Table I shows the total UL LS design loaads.
Total loads s are the sum of averrage and cyyclic
components s. For the avverage compponent, the total
t
d and 20% of the peak horizontal load
vertical load
and the pea ak overturning moment are considere ed. gure 3. Shad
Fig ding plot of to
otal cyclic sh
hear strains
un
nder design ULS loads
Table I.
I Total ULS design loads
s at seabed
Overturn
ning Ho
orizontal Vertical Figure 4 preesents calcuulated resultss of the pile
momen nt load load subbject to ULS S design loa ads both for the beam
214 886 kNͼm
k 5 712 kN 9 104 kNN spring analysis and the UDCAM/PDCAM analyses,
inclluding horizzontal displa acement, piile rotation,
ameters nee
The para eded for the models are the bennding momen nt, shear forrce and soil reaction. As
undrained shear stre ength and cyclic conttour this
s plot shows, the UDCAM M/PDCAM an nalysis gives
diagrams. They
T are obttained from undrained
u cyyclic lesss pile displa
acement and d pile rotatio
on than the
and monottonic labora atory tests, i.e. undrained beaam spring ap pproach. The bending moment
m and
triaxial com
mpression and
a extensiion and direct sheear forces in the pile are e also seen to be lower
simple she ear tests. In order to draw conttour andd occurring somewhat shallower in n the more
diagrams, advantage
a ha
as been take en from exis
sting refined analyse es. The reaso on for these
e differences
contour diag
grams for sim
milar soil con
nditions. cann be partially explained by looking in the soil
reactions prese ented in the bottom right plot in
ations
3.2. Calcula Figure 4. For the clay layyers it is se een that the
eral soil res
late sistance gen nerally is higgher in the
Calculations were performed by a fiinite UDCAM analyyses compared to the cyclic p-y
difference beam-column
b n code with the API (20 011) curv ves. The laateral resista ance in thee silty sand
p-y curves and
a by the PLAXIS
P 3D Foundation
F fiinite layeers is howevver greater uusing the standard cyclic
element code with the UDCAM, th he PDCAM and p-y curves app plying a drained friction angle than
the NGI-AD DP models. The NGI-A ADP model was w usinng the PDC CAM/ADP m models app plying cyclic
used in the top sand layyers in orderr to improve the properties. How wever, based d on NGI’s experience,
numerical performance e during development
d of cycclic strength and
a stiffnesss properties ini a loose to
locally large shear strrains in thes se layers. This
T medium dense silty sand may be low wer than the
on will likely not influenc
simplificatio ce on the reesult drained strength and stiffne ess and it ma ay therefore
be un-conservative to use the standard p-y curves includes both undrained and partly drained material
in such soil units. behavior. The performance of the models is
compared with a semi-empirical method based on
beam column models. The results indicate that the
use of the beam spring approach in clays may
result in a conservative design. However, care
should be put in loose to medium dense sands
while using a beam spring approach since the
cyclic strength and stiffness properties may be
lower than the drained strength and stiffness.
5. References
Andersen K.H., Kleven A., Heien D. (1988). Cyclic

soil data for design of gravity structures. J.
Geotech. Engrg., ASCE 114, pp. 517-539.
Andersen K.H., Lauritzen R. (1988). Bearing
capacity for foundation design with cyclic loads.
J. Geotech. Engrg., ASCE 114, pp. 540-555.
Andersen K.H. (2009). Bearing capacity under
cyclic loading - offshore along the coast, and on
land. The 21st Bjerrum Lecture presented in
Oslo, 23 November 2007. Canadian
Geotechnical Journal, 45, n°2, pp. 513-535.
Andresen L., Jostad H.P., Andersen K.H., Skau K.
(2008). Finite element analyses in offshore
foundation design. The 12th International
Conference of International Association for
Computer Methods and Advances in
Geomechanics (IACMAG), 1-6 October, Goa,
India.
API (2011). American Petroleum Institute,
Geotechnical and Foundation Design
Considerations. ANSI/API RP 2GEO, 1th
Edition, Washington, April 2011.
DNV (2010). DNV-OS-J101, Design of Offshore
Wind Turbine Structures, October 2010.
Grimstad G., Andresen L., Jostad H. P. (2011). NGI
ADP: Anisotropic Shear Strength Model for
Clay, Journal for Numerical and Analytical
Methods in Geomechanics, 36, 483–497.
Grimstad G., Andersen K.H., Saue M., Jostad H.
P., Shin Y.S., You D.Y. (2012). An undrained
cyclic accumulation model used in monopile
design. Geotechnique, submitted for publication.
Figure 4. Result from beam-spring and FE Jostad H.P., Andresen L. (2009). A FE procedure
calculations for the monopile foundation for calculation of displacements and Capacity of
foundations subjected to cyclic loading.
Proceedings for COMGEO I, Juan-les-Pins,
4. Conclusions Cote d'Azur, France.
In this paper two material models together with a

calculation procedure for obtaining displacements
and capacity of offshore foundations are presented.
The approach used is based on the well-proved
framework developed during the last 30 years at
NGI. These models have been implemented in the
commercial finite element program PLAXIS. The
models are suitable for cases where the cyclic
degradation of the soil varies along the structure,
like for monopiles, and where the soil stratigraphy
THREE-DIMENSIONAL BEARING CAPACITY ENVELOPES FOR A

CIRCULAR FOOTING RESTING ON SAND OVER CLAY
ENVELOPPES DE CAPACITES PORTANTES DE SOLS SUPERPOSANT DU
SABLE SUR DE L’ARGILE POUR DES ASSISES CIRCULAIRES
1 2
Catherine POIRRIEZ , David H. EDWARDS
1
Ecole Polytechnique, Member of Paristech, Palaiseau, France / Noble Denton Consultants
Limited, London, UK
2
Noble Denton Consultants Limited, London, UK
ABSTRACT - The bearing capacity envelopes for a circular foundation are a fundamental problem in
geotechnics. Bearing capacity envelopes for combined vertical, horizontal and/or moment loading are well-
documented in the literature based on laboratory model tests and numerical analysis for the case of a footing
resting on uniform sand or clay soils. Soils are, in reality, rarely homogeneous and often layered and in such
situations it is important to consider the non-uniformity of the soil. This paper reports a suite of finite element
analyses performed to examine the bearing capacity envelopes of circular footings resting on a soil profile
comprising sand over clay and their evolution with the thickness of the sand layer under combined vertical
and horizontal loading. The resulting envelopes are compared with those for uniform sand and clay
stratigraphies and a framework for the evolution of the envelopes is established.
1. Introduction element analyses reported by Gourvenec and

Randolph (2003). Similarly the behaviour of circular
A jack-up platform is a mobile offshore structure footings on sand soils under combined loading has
used in the oil industry for exploration and been investigated by various authors, for example
production and to construct offshore windfarms. As results from model tests obtained by Gottardi et al.
shown in Figure 1, it comprises a hull supported by (1999).
legs (generally three or four) with foundations called However, due to the potential for layers of
spudcans which bear on the sea bed. different soil types to exist within the seabed at a
given location, it is also necessary to understand
how a layered soil behaves.
This paper presents the combined vertical-
horizontal bearing capacity envelopes, obtained
using finite element analyses, for a circular
foundation resting on a soil profile that comprises a
sand layer overlying clay.
2. Analysis methodology
Figure 1. Elevation view of a jack-up platform Prior to investigating the layered soil profiles,
reference 3D bearing capacity envelopes were first
Prior to installation of a jack-up at a site, the established for a homogeneous clay soil, following
penetration of the spudcans into the seabed and the methods described by Gourvenec and
the corresponding ultimate bearing capacities, Randolph (2003). The values obtained for the
i.e. the load above which the soil starts to fail and maximum bearing capacities were noted to be
the footing penetrates deeper, have to be assessed consistent with the solutions given by the Terzaghi
in order to determine whether the seabed is (1943) equation for vertical bearing capacity, and to
sufficiently strong to support the platform during Gourvenec and Randolph’s results for combined
installation and storm conditions. vertical, horizontal and moment loading.
Three dimensional bearing capacity envelopes A similar methodology was adopted to obtain a
used by engineers to assess the foundations (such reference 3D bearing capacity envelope for a
as those described in the SNAME Recommended homogeneous sand soil profile. The values
Practice, 2008) assume uniform sand or clay obtained for the maximum bearing capacities have
conditions. been compared to the results given by the ABC
The ultimate bearing capacity envelopes for software (Martin, 2004) for vertical bearing capacity
circular footings on clay soils is relatively well and to the equations provided in the SNAME
understood by previous work, such as the finite Recommended Practice (2008) and the values
obtained by Gottardi et al. (1999). Consistent 3.3. Materials properties

results have been obtained, the difference between
our results and the reference results being less The clay is assumed to behave undrained and
than 6 %. hence is incompressible. It is represented as a
These reference envelopes obtained for linear elastic, perfectly plastic Tresca material, with
8
homogeneous clay and sand soil profiles are later a Young’s modulus, E = 10 Pa, Poisson’s ratio,
3
used to compare the results obtained for a layered Q = 0.499, submerged density of J’ = 900 kg/m ,
soil profile. and an undrained shear strength, Su of 30, 50, 70
or 90 kPa.
The sand is modelled as behaving in a perfectly
3. Finite element modeling drained manner. It is represented as a linear
elastic, perfectly plastic Mohr Coulomb material,
8
3.1. Geometry with a Young’s modulus, E = 10 Pa, Poisson’s
3
ratio, Q= 0.2, a submerged density, J’ = 900 kg/m
All analyses were carried out using the and a friction angle, I' = 25°. A surcharge of
commercially available finite-element software q = 10kPa is applied to the top of the soil and a
ABAQUS 6.10 (Dassault Systemes, 2009). Due to cohesion of c = 1kPa is adopted in the sand to
the planar symmetry of the problem a 3D assist with convergence.
semi-cylindrical model has been used to represent
the soil with radius r = 60m and depth d = 50m. No 3.4. FE Model for the layered soil
displacement is allowed on the base of the soil. On
the curved circumference of the soil, only vertical The FE models used here to generate the
displacements are allowed. The (X,Z) plane reference envelopes for the homogeneous clay and
represents the plane of symmetry; displacements in sand profiles are not suitable for our layered soils,
the Y-direction are therefore not permitted. The due to problems of convergence and the need to
circular footing with a diameter, B = 15 m, is taken split the soil domain into layers of different
as being virtually rigid, with Young’s modulus, thicknesses, as explained later. A new FE model
13
E = 10 Pa and Poisson’s ratio, Q= 0.2. was therefore created with elements adopted for
We adopt the sign convention and nomenclature the sand and clay layers that both allowed
suggested by Butterfield et al. (1997) for loads and convergence of the analyses and provided results
displacements. All the loads or displacements are consistent with the previous homogeneous
applied at point A shown on Figure 2. analyses.
The top 20m of the soil in the FE model used in
the analyses for the layered soil is divided into
2m-thick layers to enable different sand
thicknesses, h, to be studied with the same model.
The appropriate material property is then assigned
to each layer accordingly. An example mesh is
shown in Figure 3. The mesh is composed of about
13000 linear hexahedral elements with reduced
integration. Quadratic elements, used for the
Figure 2. Notation and sign convention for loads homogeneous clay FE model, are not suitable for
and displacements (Butterfield et al., 1997) use with the sand material due to convergence
problems. Additionally we note that fully integrated
3.2. Footing-soil contact properties linear elements cannot provide accurate results for
the homogeneous clay profile. The best
The contact between the soil and the footing where compromise between the behaviour of both
the footing rests on clay is specified as being materials is to use a relatively large number of
perfectly rough with full adhesion. linear elements with reduced integration.
In the case of sand, under compressive normal
stresses the shear stresses at the footing-soil
interface are limited by the coefficient of friction,
μ = tan(I’), where I’ is set equal to the friction angle
of the soil. The footing and the soil can separate
should tensile normal stresses occur and can re-
attach if compressive normal stresses resume.
Properties are specified to ensure that the soil and
footing elements cannot overlap, in order to
maintain compatibility.
Figure 3. FE Model and mesh used to examine the

layered soil profiles
3.5. Load paths cross the sand envelope increases as the strength
of the clay layer increases. The results presented in
Swipe tests were used to derive the bearing Figures 4 and 5 indicate that when the sand layer is
capacity envelopes, as described by Gottardi et al. relatively thin (h/B < ½) the V-H envelope is very
(1999). This involves first determining the close to that for homogeneous clay up to where it
maximum vertical bearing capacity by applying a meets the homogeneous sand envelope. Where
vertical displacement to the footing up to reaching the sand and clay envelopes cross at vertical loads
failure, characterized by the plastic plateau on the lower than half of the maximum vertical bearing
load-displacement curve. At this point the vertical capacity for homogeneous clay profile, as for
displacement of the footing is locked and horizontal h = 2m and h = 4m in Figure 5, the envelope for the
displacement is applied such that the load path layered soil reaches and follows the sand envelope
tracks around the vertical-horizontal bearing before reaching the clay maximum horizontal
capacity envelope, as described in Gourvenec & bearing capacity. Thus, its maximum horizontal
Randolph (2003). As this occurs the horizontal bearing capacity is lower than that for
loads increase whilst the vertical load reduces. homogeneous clay.
4. Results
Figure 4 shows the combined vertical-horizontal

envelopes obtained for various sand layer
thicknesses, h, for the footing resting on a soil
profile comprising sand overlying 50kPa clay.
Figure 5. Combined Vertical-Horizontal bearing

capacity envelopes - Su = 70 kPa
Figure 4. Combined Vertical-Horizontal envelopes -

Su = 50kPa.
Each curve for sand over clay shows two parts:

the first part is where the horizontal load increases
to its maximum value, from the highest vertical
loads, the second part is where H then reduces as
the vertical load further reduces and tends towards
the homogeneous sand envelope. The shape of the
first part (at higher vertical loads before tending
towards the sand envelope) depends on the Figure 6. Combined Vertical-Horizontal bearing
thickness of the sand layer. Where predominantly capacity envelopes for several clay shear strengths
shearing loads act on the base of the footing, i.e.
when V tends to zero, the curves join the sand
envelope. Furthermore, for predominantly shearing 5. Simplified method to represent combined
loads, the failure mechanism is localized around the Vertical-Horizontal bearing capacity envelopes
footing within the upper sand layer, hence the for the layered soil profile
envelope in this portion is governed by that for a
sand. For thick sand layers (h/B > ½) the combined
Whereas the maximum vertical bearing capacity vertical-horizontal bearing capacity envelope can be
of a layered soil lies between the maximum vertical estimated by plotting the vertical-horizontal bearing
bearing capacity obtained for homogeneous clay capacity envelope generated for the footing resting
and for homogeneous sand soils, as shown in on the corresponding homogeneous sand soil, but
Figure 4 and 5, the maximum horizontal bearing first loaded to the maximum vertical bearing
capacity of a layered soil can be lower than for capacity of the layered soil profile, V0L, instead of
homogeneous clay. As seen in Figure 6, the loading it to the maximum vertical bearing capacity
vertical load at which homogeneous clay envelopes of the homogeneous sand soil, V0S. To obtain this
envelope a vertical displacement is applied to the

footing on the homogeneous sand until the soil
reaction reaches V0L, the vertical displacement is
then locked and a horizontal displacement is
applied such that the resulting load path tracks
around the bearing capacity envelope. This is
illustrated in Figure 7 and Figure 8, where the
resulting envelope can be seen to follow the
envelope for the layered soil profile particularly well.
In this situation although the shape of the layered
soil envelope is similar to that for a sand, the
combined bearing capacity envelope at higher
vertical loads is reduced due to the underlying clay Figure 9. Combined Vertical-Horizontal bearing
layer. Consequently the overall shape of the capacity envelopes - h = 6m, Su = 70 kPa
envelope is still consistent with that for a sand,
however the weaker underling clay reduces the
bearing capacity at higher vertical loads. As the 6. Conclusion
thickness of the sand layer increases, the shape of
the envelope will tend towards that for This paper has examined the combined vertical-
homogeneous sand. horizontal bearing capacity envelopes for layered
soil profiles comprising sand overlying clay. A
limited number of results are presented which
indicate the general form of the envelopes and how
they vary with the thickness of the sand layer and
the strength of the underlying clay layer.
A simplified method is proposed for estimating
the combined vertical-bearing capacity envelope for
sand layers whose thickness is greater than half of
the footing radius, based on an envelope for
homogeneous sand where the foundation is instead
loaded to the maximum vertical bearing capacity of
the layered soil. The present work represents the
first stage in developing simplified models for
estimating the combined bearing capacity
Figure 7. Example comparison of simplified method envelopes in layered soils.
and results obtained for a sand layer thickness,
h = 8m, Su = 50 kPa
7. References
Butterfield, R., Houlsby, G., Gottardi, G. (1997),

Standardised sign conventions and notation for
generally loaded foundations, Géotechnique,
Vol.47, No 5
Dassault Systemes (2009). ABAQUS analysis
users’ manual, Simulia Corp., Providence, RI,
USA.
Gottardi, G., Houlsby, G.T., Butterfield, R. (1999),
Plastic response of circular footings on sand
under general planar loading, Géotechnique 49,
No 4, 453-469
Gourvenec, S., Randolph, M. (2003), Effect of
Figure 8. Example comparison of simplified method strength non-homogeneity on the shape of
and results obtained for a sand layer thickness, failure envelopes for a combined loading of strip
h = 9m, Su = 70 kPa, and circular foundations on clay, Géotechnique
53, No 6, 575-586
However, for thin sand layers (h/B < ½) the Martin C.M. (2004), User guide for ABC - Analysis
above method does not give accurate results, as of Bearing Capacity Version 1.0, Department of
can be seen in Figure 9. Here, the underlying clay Engineering Science, University of Oxford
layer has a greater influence on the bearing SNAME (2008), Guidelines for Site Specific
capacity envelope resulting in lower bearing Assessment of Mobile Jack-Up Units, Technical
capacities compared to those using the above and Research Bulletin 5-5A
simplified method. Terzaghi K. (1943), Theoretical Soil Mechanics,
Wiley Sons, New York
BACK-CALCULATION OF MEASURED LEG PENETRATIONS OF

TUBULAR LEGGED JACK-UPS DURING PRELOADING
ANALYSE INVERSE DES MESURES DE PENETRATION DES PIEDS D’UNE

PLATE-FORME AUTO-ELEVATRICE PENDANT LE PRECHARGEMENT
Sylvie RAYMACKERS
GeoSea (DEME Group), Zwijndrecht, Belgium
ABSTRACT – For offshore wind applications, four-legged jack-ups with tubular legs are often operated
without spudcans. In cohesive soils the leg penetrations during preloading can exceed 2.5 times the
diameter of the pile. The behaviour is therefore typically that of a semi-deep foundation. Because industry
standards were originally intended for truss leg jack-ups with spudcans, guidance is limited for the estimation
of leg penetrations of tubular leg jack-ups without spudcans.
In this paper measured leg penetrations at 2 sites across Europe are back-calculated using industry
standard methods (ISO 19905-1:2012) and compared with CPT results. Based on a literature study and pile
bearing capacity formulae, a method to predict semi-deep leg penetrations of tubular leg jack-ups directly
from CPT’s, is proposed. The method will be calibrated based on the presented measured leg penetrations.
1. Introduction which would be usable in all soil types, for both

tubular legged jack-ups without spudcans and at a
For offshore wind applications, four-legged jack- later stage also for jack-ups with spudcans.
ups with tubular legs are often operated without In this first step towards the ultimate goal,
spudcans. Before jacking to working height literature will be reviewed, a method to predict
preloading is realized to install the legs at a depth semi-deep leg penetrations of tubular leg jack-ups
at which the bearing capacity is guaranteed with directly from CPT’s, is proposed and applied on
sufficient safety. measured penetrations at two sites with cohesive
Leg penetration assessments are performed for soils.
each location on site as a part of a global site
specific assessment of the jack-up. Accurate high
estimate (HE) and low estimate (LE) predictions
are needed to allow a safe prediction of all hazards.
Measured penetrations should be in between both
predictions.
Because most industry standards are intended
for truss legged jack-ups with spudcans, guidance
is limited for the estimation of leg penetrations of
tubular legged jack-ups. An example of a leg
penetration assessment for tubular legged jack-ups
is presented in Kort et al (2013).
In recent years several authors have been
working on direct correlations of CPT results with
spudcan leg penetration predictions (Bienen et al,
2012, Hossain et al, 2012). Such correlations would
allow for automated calculation of the load
penetration diagram, limiting the need for Figure 1 Jack–up platform Vagant © Photo:
discretization of the problem and derivation of GeoSea/DEME
secondary parameters from the CPT’s.
The research on CPT methods focusses 2. Literature
however on truss legged jack-ups with spudcans.
In this paper a CPT method for the smaller jack-ups 2.1. Standard offshore practice for tubular
with tubular legs, without spudcans is envisaged. In legged jack-ups
cohesive soils the leg penetrations during
preloading can exceed 2.5 times the diameter of The ISO 19905-1 (2012) and SNAME (2008) are
the pile, the behaviour is therefore typically that of a the most frequently used standards to perform site
semi-deep foundation (Fascicule 62, 1993). specific assessments for jack-ups. Their calculation
This paper presents a synthesis of a work in methods for the leg penetrations are based on
progress, with as ultimate goal an automated CPT shallow footing bearing capacity formulas. The
method for predicting leg penetrations for jack-ups, formula for clay is presented in (1).
ୠ ൌ ሺୡ ୡ ୡ ୳ ൅ ᇱ଴ ሻୠ ሺͳሻ cone penetration tests after averaging the cone
resistance (5).
To apply the formula the undrained shear
୯ౙ ሺ୸ሻ
strength needs to be determined and soil strength ୲ ൌ ሺ ୡ ୡୣ ൅ ᇱ଴ ሻୠ ൅ ሺͶሻ
ஒ
needs to be discretized to a limited number of soil
layers. Generally a conservative HE and an
ଵ ୈାଷୟ
optimistic LE interpretation are made. To facilitate ୡୣ ൌ ‫׬‬ ୡୡ ሺሻ ሺͷሻ
ୠାଷୟ ୈିୠ
the interpretation of the soil strength, a CPT
method for clay is proposed in InSafeJIP (2012) The averaging method is based on the
(2). arithmetic mean, neglecting peaks higher than 1.3
times the mean.
୒ౙ
ୠ ൌ ሺ ൅ ᇱ଴ ሻ ୠ ሺʹሻ Arithmetic averaging is also found in other
୒ౡ౪ ୡ ୡ ୬ୣ୲
(European) semi-empirical pile bearing capacity
formula’s, like the Dutch standard (NEN 6743-1,
The cone factor (Nkt) should be derived from
2006). It is however outside the scope of this paper
laboratory testing. Values of 12 to 25 are reported
to discuss all the available averaging methods.
to be commonly used around the world; values of
15 to 20 are common for the North Sea and the
2.3. Belgian method
Gulf of Mexico (InSafeJIP, 2012).
Experience has shown that applying equation
In Belgian practice, pile bearing capacity is
(1) or (2) on the tubular legged jack-ups is too
generally calculated from CPT’s (WTCB, 2008) (6).
conservative and leads to overestimation of the
penetration depth in both HE and LE, which is not
ࡽ࢚ ൌ ࢻ࢈ ࢿ࢈ ࣅ࡭࢈ ࢗ࢈ ൅ ࡭࢙ σሺࢻ࢙ǡ࢏ ࢎ࢏ ࢙ࢗǡ࢏ ሻ (6)
wishful. Therefore engineers tend to adapt the
shallow footing bearing capacity formulas by
The derivation of the unit point bearing qb in the
adding side friction from pile bearing capacity
WTCB method is based on the method De Beer
formulas (Kort et al, 2013) (3).
(De Beer, 1971, Van Impe et al, 1988). The method
was primarily developed for driven piles. Its merit is
୲ ൌ ሺୡ ୡ ୡ ୳ ൅ ᇱ଴ ሻୠ ൅ Ƚ୳ ୱ (3)
that it scales the CPT to a resistance that would be
measured with a cone that has the same diameter
2.2. French method
as the pile that is pressed in, rather than averaging
it arithmetically. This ‘translation’ from qc to qb is
Combining shallow bearing capacity formulas with
based on the ‘scale’-effect which takes into account
friction for semi-deep piles is in line with the French
the fact that the zone of influence around a CPT
practice for semi-deep foundations. In Fascicule 62
cone or around a pile tip is defined by its diameter.
(1993) a semi-deep penetration is defined between
The scale effect is illustrated in figure 3. It
1.5D and 5D. It allows the calculation of the bearing
shows that the effect of the weaker layers is bigger
capacity by combining bearing capacity for shallow
on the unit point bearing for the larger diameter
foundations with friction taken into account from
pile.
1.5D (4), or alternatively by using pile bearing
capacity formulas.
Figure 3: Illustration of the scale effect in a

hetergoneous soil for a pile of 0.6m and 1m
(Holeyman et al, 1997)
Figure 2: Averaging in the French Method
(Fascicule 62, 1993) This way of scaling the CPT combines
advantages of averaging and mechanism methods
Both for the shallow as for the pile bearing (like the load spread model) used in classical leg
capacity, end resistance is derived directly from the penetration analysis.
2.4. Formula for leg penetration prediction interpreting the CPT. A cone factor of 15 was used.
The striped and the continuous line, present the
Because the leg penetration prediction differs from results with the new method. The squares are the
other bearing capacity problems, when it comes to measured penetrations.
means of installation, conservativeness (a range of
possible penetration depths, from optimistic to
conservative, is required) and because penetration
depth often differs from either shallow or deep
foundations, a new method is proposed based on
the existing methods.
Equations (7) and (8) are proposed for low and
high estimate leg penetrations:
ࡽ࢚ࡸࡱ ൌ ࢽࡸࡱ ሺࣀ࢈ ࢗ࢈ࢇ࢜ࢋࡸࡱ ࡭࢈ ൅ ࣀ࢙ ࢗሺࢠሻࢉ ࡭࢙ ሻ (7)
ࡽ࢚ࡴࡱ ൌ ࢽࡴࡱ ሺࣀ࢈ ࢗ࢈ࢇ࢜ࢋࡴࡱ ࡭࢈ ൅ ࣀ࢙ ࢗሺࢠሻࢉ ࡭࢙ ሻ (8)
The dimensionless end and shaft installation

parameters ζb and ζs should reflect soil properties
during installation. They should be determined per
soil type, based on laboratory testing and regional
experience. In a cohesive soil ζb and ζs are
expected to be linked with the Nkt value. For
example, based on SNAME, ζb would correlate with
ࡺࢉ Τࡺ࢑࢚ ࢙ࢉ ࢊࢉ , and based on API, ζs would correlate
with ࢻΤࡺ࢑࢚ .
The calculation of the point resistance qb ave
would need to include means for assessing punch- Figure 4: cone resistance and back calculations in
through in case of sand over clay or strong clay tertiary clay
over weak clay. The averaging method of De Beer API and WTCB would render values for ζs of
is proposed as a starting point, because its scale respectively average 0.025 and 0.02. A satisfying fit
effect does include this already in a way. The is found by setting the factor ζs to 0.02, and ζb to 1.
effective pile diameter (D) is expected to result in a This correlates with regional experience.
safe, high estimate point resistance (qb ave HE). A
smaller diameter (D/n), with n as a scale factor, is 3.2 Site 2: Glacial till
introduced in the point resistance calculation in At site 2 the jack-up preloaded on a more
order to decrease the dimensions of the zone of heterogeneous glacial till. The CPT is shown on the
influence around the leg tip. This is done to obtain left side of figure 5.
a low estimate, optimistically scaled point
resistance (qb ave LE).
Finally a dimensionless factor γ is introduced to
obtain a LE and HE prediction, this factor is related
to the uncertainty on the soil parameters.
3. Back-calculations
Back-calculations are presented for two sites

visited with the jack-up platform Vagant. Vagant
has tubular closed end legs with a diameter of 2m.
Penetrations are reported from the base plate. To
limit the number of variables in the back-
calculations the factor γ is fixed to 1, the scale
factor n is set to 4.
3.1 Site 1: Belgian continental shelf, fairly

homogenous tertiary clay
The cone resistance at the site is presented in the

left side of figure 4. The clay is a overconsolidated
tertiary highly plastic clay. On the right side of
figure 4 the back-calculations are presented.
The dotted curve presents the combination of Figure 5: cone resistance and back-calculations in
ISO end bearing and API side friction after glacial till.
The till is known to have higher a cone factor p'0 Effective overburden stress at d
compared to the tertiary clay found at site 1 Qb, Qt End and total bearing capacity
(Weltman and Healy, 1978). Based on laboratory qb Unit point bearing calculated with De Beer
testing performed on samples collected at the site, qc(z) Cone resistance at depth z
a Nkt factor of 20 was derived. qce Equivalent point resistance
Because of the more heterogeneous cone qnet Net cone resistance, =(qc +u2 (1-α’))-p0
resistance, the ISO end bearing capacity is qs,i Unity friction resistance, =min(qc/30, 150) in clay
calculated with equation (2), without averaging. In u2 Pore water pressure at the shoulder of the cone
the new method, the factor ζb was set to 0.75 α A dimensionless factor of shaft friction
(=15/20), ζs was kept at 0.02. Both methods are α’ Cone area ratio
presented on the right side of figure 5 together with αb, εb Empirical factors for pile base resistance
the measured penetrations.
β friction coefficient, equal to15/40 or 80 in clay
γLE, γHE Dimensionless factors to obtain LE and HE
4. Conclusions λ reduction factor for an enlarged basis
ζb ζs Dimensionless end and shaft installation factors
The paper has presented an overview of methods
used to predict leg penetration depth of jack-ups
offshore and some (semi-deep) pile bearing References
formulas used onshore. These methods are the
basis for a newly proposed method to predict leg API (2007) Recommended Practice for Planning,
Designing and Constructing Fixed Offshore
penetrations directly from CPT tests. The proposed Platforms—Working Stress Design
method is applied on measured penetrations at two Bienen B, Pucker T, Henke S (2012), Cone
sites across Europe. penetrometer-based spudcan penetration prediction
The method has as input parameters the in uncemented carbonate sand, OTC 2012
measured cone resistance -which is automatically De Beer, E (1971-1972). Methodes de deduction de la
rescaled with the De Beer method to take into capacité portante d’un pieux à partir des résultats des
account the diameter of the jack-up leg- combined essais de penetration. Annales des Travaux Publics
with end and shaft installation factors. The latter de Belgique, No 4 (p 191-268), no 5 (p 321-353) & no
should be further calibrated by performing more 6 (p 351-405), Brussels
Fascicule N°62 – Titre V (1993), Règles techniques de
back-calculations. conception et de calcul des fondations des ouvrages
The paper is limited to tubular legged jack-ups de genie civil, Ministère de l’équipement, du
in cohesive soils, the method has however the lodgement et des transports
potential to be extended to heterogeneous soils Holeyman A, Bauduin C, Bottiau M, Debacker P, Dupont
(punching risk) and to jack-ups with spudcans. E, Hilde JL, Legrand C, Huybrechts N, Mengé P,
Miller JP, Simon G (1997) Design of Axially Loaded
Piles – Belgian Practice, Balkema, Rotterdam
5. Symbols Hossain M. S., Randolph M. F., Safinus S; Cassidy MJ,
Krisdani H, Purwana OA, Quah CK (2012),
For the ease of comparing equations, some Development of an integrated jack-up Installation
system, OTC 2012
equations are adapted to suite tubular legs (no InSafeJIP (2012), Improved guidelines for the prediction
back-fill) and to be able to use the same symbols of geotechnical performance of spudcan foundations
throughout the text. This may lead to some during installation and removal of jack-up units
difference with the equations used in the standards. ISO 19905-1 (2012). Petroleum and natural gas
Original references should therefore be consulted. industries. Site-specific assessment of mobile
offshore units -- Part 1: Jack-ups
a, b a=max(D/2, 0.5), b= min(a,d) Kort A, Raymackers S, Hofstede H, Meyer V (2013) Leg
Ab, As Pile tip and shaft area penetration assessments for self-elevating tubular leg
units in sand over clay conditions, GeoInstall
cu Undrained cohesive shear strength
Conference proceedings
d Depth at which penetration is calculated NEN 6743-1 (2006), Geotechnics - Calculation method
D Diameter of the pile for bearing capacity of pile foundation - Compression
de Equivalent penetration depth piles
hi Thickness of a soil layer SNAME (2008). Technical and Research Bulletin 5-5A.
End bearing factor, Guidelines for Site Specific Assessment of Mobile
kc Jack-Up Units. Society of Naval Architects and
=min(0.32*(1+0.35*(1)de/D), 0.6) Marine Engineers, Jersey City, New Jersey.
n Scale factor to obtain the LE point resistance Van Impe W F, De Beer E, Lousberg E (1988), Prediction
Bearing capacity factors, of the single bearing capacity in granular soils out of
Nc sc dc
6 for d=0D and 9 for d=2.5D CPT-results. ISOPT I p 1 -34, Orlando
Nkt Cone factor Weltman A.J., Healy P.R. (1978) Piling in boulder clay
p0 Total overburden stress at d and other glacial tills, CIRIA, London
WTCB (2008), Richtlijnen voor de toepassing van
Eurocode 7 in België, Deel 1: Het grondmechanisch
ontwerp in uiterste grenstoestand van axiaal op druk

belaste funderingspalen
DESIGN AND CONSTRUCTION OF A SOFT LAYER FOR SHIP

IMPACT PROTECTION TO A BASEMENT STRUCTURE
COUCHE FLEXIBLE POUR LA PROTECTION D'UNE STRUCTURE EN SOUS-
SOL CONTRE LES IMPACTS DE BATEAUX
1
Barbara SHIPTON
1
Ove Arup & partners, London, UK
ABSTRACT - A soft layer consisting of very low strength cement-bentonite grout was designed and installed
in the ground to protect a deep basement and its foundations from potential ship impact damage. A suite of
laboratory tests was conducted to identify a grout that would meet a target strength of 20-40kPa, dictated by
numerical modeling of ship impacts. Large scale mixing trials on site and further laboratory testing verified
the site batched material strength before construction began. Acceptability testing of the placed material
confirmed the required strength was met and that excessive force would not be transferred to the structures.
1. Introduction Table 1. Site stratigraphy and tide levels

Stratum Top of stratum (mOD)
Due to the proximity of a large basement structure Engineered Fill +5.5
and foundations at a site in London to a river where River Terrace Deposits -2.0
ships navigate, it was necessary to investigate and Lambeth Group -6.0
mitigate the risk of damage to these underground Thanet Sand -17.0
structures from an accidental ship impact event. Chalk -31.0
Protective measures had to be designed and
~ High tide / ~ Low tide +4.5 / -3.5
constructed in the limited space between the
basement and the river wall that would absorb the
accidental ship impact. The study determined the
energy from a ship impact and safeguard the
sizes, speeds and number of vessels passing the
underground structures from failure and potential
site and the probability and magnitude of impact.
flooding of the basement. The protective measures
The findings were used as a basis for the design
consisted of sacrificial piles and pile cap and a
and analysis of the protective measures.
layer of soft material.
A 3D non-linear dynamic soil-structure
2.3. Details of protective measures
interaction analysis using LS-Dyna determined the
displacements and loadings of the protective
Figures 1 and 2 show two groups of sacrificial piles
measures due to ship impact and therefore the
connected by a sacrificial pile cap which would
required strength of the soft layer. A cement-
distribute forces from an impact on the river wall
bentonite grout was chosen for the soft material
and the target long-term undrained strength based
on the numerical modeling was to be 20-40kPa
over the design life of the structure.
This paper presents the work carried out to
identify a suitable soft material and challenges
involved in the soft layer’s construction.
2. Project background
2.1. General
The general site stratigraphy and tide levels in the

river are given in Table 1. Layouts of the ship
impact protection are shown in Figures 1 and 2.
2.2. Ship impact study
A detailed ship impact study was carried out by

Arup to understand the risk and magnitude of an
Figure 1. Schematic plan of ship impact protection
into the sacrificial piles. The 1m thick, 36m long water that gave stable and workable grouts. The
and 8m deep soft layer is located between the behavior of the grout is very sensitive to the
sacrificial piles, the basement wall and other proportions of the constituents.
structural piles external to the basement. The sizes
and layout of the piles were constrained by tie rods
which anchor the river wall to the basement wall.
The sacrificial piles are reinforced concrete bored
piles 0.75-1.5m in diameter.
Based on the numerical modeling the soft layer
was to have a long-term undrained strength of
20-40kPa. The material had to be soft enough to
deform and prevent excessive transfer of load to
the basement but strong enough to act as a solid.
Figure 3. Cement-bentonite grouts (Jones, 1963)
3.3. Need for extra information
For the reasons stated in Section 2.3 it was crucial

for the soft material to have the desired long-term
strength of 20-40kPa. A suite of laboratory testing
was therefore carried out to establish the strength-
time behavior of different grout compositions.
Information gathered from literature and Arup’s
past project experience was used as a guide to
select a range of grout compositions for laboratory
testing that would bound the target strength of
20-40kPa. Table 2 presents the cement-bentonite
grouts selected for laboratory testing. A 5%
bentonite-water ratio was chosen to produce a
stable grout.
Table 2. Chosen grout mixes for laboratory testing

1
Figure 2. Ship impact protection – Section A-A Mix B C1 W1
Cement Type
No. (kg) (kg) (kg)
1 50 75 1000 CEM I 52.5N
3. Cement-bentonite grouts
2 50 100 1000 CEM I 52.5N
3.1. Use of cement-bentonite grouts 3 50 125 1000 CEM I 52.5N
4 50 150 1000 CEM I 52.5N
Cement-bentonite grouts are commonly used in
geotechnical engineering e.g. slurry cut-off walls or 5 50 175 1000 CEM I 52.5N
grouting instrumentation into place. These grouts 10 50 200 1000 CEM I 52.5N
tend to contain fly ash. The use of very low strength
11 50 225 1000 CEM I 52.5N
grouts is rare.
12 50 250 1000 CEM I 52.5N
3.2. Research 6 50 75 1000 CEM II 32.5A-L
Initial research revealed that there was little 7 50 100 1000 CEM II 32.5A-L
published information on low strength cement- 8 50 125 1000 CEM II 32.5A-L
bentonite grouts and their use. 9 50 150 1000 CEM II 32.5A-L
Jones (1963) presented the properties of a
range of cement-bentonite grouts (Figure 3) and 1. B = bentonite, C = cement, W = water
indicated the composition of bentonite, cement and
4. Laboratory testing
4.1. Testing
Triaxial, hand vane, Marsh cone (for viscosity),

bleed and specific gravity tests were conducted on
the grout in a soil mechanics laboratory.
Several samples were created for each mix and
triaxial and hand vane tests were performed at a
range of sample ages to understand their strength
increase with time. Samples were tested after 7,
14, 28, 42, 56, 84, 112, 150, 210, 371 days. As the
testing progressed some mixes were eliminated
from further testing if their strength was significantly
weaker or stronger than the target strength.
Marsh cone tests were used to check that the
bentonite was fully hydrated before the cement was
added. Bleed tests and specific gravity tests were
used to establish the basic properties of the grouts.
4.2 Materials
Figure 4. Undrained shear strength of grouts
A commonly used bentonite in the UK construction
industry, Berkbent 163, was chosen for the
When viewed on a linear axis it can be seen
bentonite. Similarly, Rugby cement from the
that the strength of Mixes 4, 5, 9 and 10 start to
manufacturer CEMEX was also chosen. The water
stabilize after about 150 days.
used in the grout was potable water.
The hand vane undrained shear strengths were
Two similar Portland cements with different
on average 3kPa less than the triaxial strengths.
strength classes were tested to maximize the
There was no significant difference in strength
chance of finding a grout with the desired strength.
between the grouts with the same cement content
but different cement strength class. Mix 5 was
4.3. Sample preparation
originally chosen for the construction of the layer.
The bentonite and water were mixed using a
handheld propeller mixer and allowed to hydrate.
6. Site trials
The cement was added and the material was mixed
again until a homogeneous consistency was
Full scale mixing trials on site of Mix 5 were
achieved. The grout was carefully placed in
necessary to verify the properties of the mix
specially prepared split cylindrical moulds 100mm
produced from large scale batching using different
in diameter, sealed and extracted for triaxial
equipment matched the laboratory created
compression testing under unconsolidated
material.
undrained conditions.
6.1. Mixing and testing process on site
5. Test results 3
The bentonite was mixed and hydrated in a 20m
capacity bentonite mixing tank before being
Typical marsh cone results for the hydrated
pumped in 1m3 loads to a 1m3 capacity high shear
bentonite were 35 to 38s. The bleed after 24 hours
colloidal mixer, an efficient mixer for cement based
as a percentage volume loss varied from about 2.1
grouts. The cement was then added to the
to 0.75% with increasing cement content. The
3 bentonite and mixed in using the colloidal mixer.
specific gravity varied from 1.07 to 1.17Mg/m with
The finished grout was pumped to a 6m3 agitator
increasing cement content. A summary of the
tank. This process was repeated until the desired
triaxial undrained shear strengths of the tested
amount of grout was in the agitator ready for
grouts is presented in Figure 4.
pumping to and placement in an excavated panel
Testing of Mixes 1 and 6 was stopped after the
of the soft layer.
7 day tests showed they had very low strengths.
Acceptable criteria for the grout properties
Similarly testing of Mixes 2, 3, 7 and 8 was stopped
produced on site were set by the results of the
after the 42 day tests as their strengths were
laboratory testing. The same sample preparation
unlikely to reach 20kPa. Testing was stopped on
techniques and testing were undertaken during the
Mixes 11 and 12 after the 28 day tests as it was
site trials as in the initial laboratory testing.
likely their long-term strength would exceed 40kPa.
Mixes 4, 5, 9 and 10 were tested up to an age of
371 days.
6.2. Effect of cement and mixer type likely that further testing will be possible at a later
stage of construction.
The cement used in the first site trial was CEM I
52.5 N as specified, however, it was Lafarge
Ferrocrete cement rather than CEMEX Rugby
cement. Seven day grout strengths of 36kPa were
about 4 times higher than what was expected
which was already close to the 40kPa limit.
The higher strength was partly due to the
cement being high initial strength cement that is
more finely ground than typical CEM I 52.5 N
cements and partly due to the high shear mixer.
A second site trial was conducted using cement
from the same manufacturer as in the laboratory
testing. Due to the uncertain strength increase
caused by the high shear mixer Mix 1, 3 and 5
were tested in the second site trial. The 1, 2, 3, 7,
14 and 28 day strengths of these mixes are shown
on Figure 4 which shows the increase in strength
due to the large scale production. Programme
constraints prevented further testing at other ages.
6.3. Mix design for construction
Based on the second site trial results shown in

Figure 4 it was decided to use a mix with a cement
content between that of Mix 3 and 5 for
construction of the soft layer. The mix design for
construction consisted of 50kg of Berkbent 163
bentonite, 140kg of CEMEX Rugby CEM I 52.5N
cement and 1000kg of potable water.
Figure 5. Excavator and panel construction
7. Construction
8. Conclusions
7.1. Methodology A suitable low strength cement-bentonite grout was
designed and used to form a soft layer that would
The soft layer was constructed in panels typically prevent excessive force being transferred to
2m long. Due to the presence of the tie rods a clam underground structures in the event of a ship
shell long reach excavator (Figure 5) was used to impact. The strength of the constructed soft layer
construct the panels. For stability reasons the material was in line with the target strength range
panels were excavated under the cement-bentonite of 20-40kPa. The cement type and mixing method
grout. This was normally done during a falling tide had a significant effect on the strength of the grout.
to prevent river water flooding the construction area
which was excavated to +2.35mOD for the capping
beam at that time, allowing a clear view of the
9. Acknowledgements
excavation. Each panel had to be complete before
the grout started to set. The author is indebted to Stephan Jefferies for
advice on low strength cement-bentonite grouts,
7.2. Testing Concept Consultants who carried out the laboratory
testing, Expanded Piling who installed the ship
The same quality testing was in place during impact piles and soft layer and Lohini
construction as in the site trials. The strength of the Ganesharatnam of Arup who the work was
placed material was verified by hand vane tests on undertaken with.
samples after 7 and 14 days. The average 7 and
14 day hand vane strengths from samples taken at
each constructed panel are 10.0 and 12.5kPa
10. References
respectively, shown on Figure 4, which lie between
the site trial Mix 3 and 5 results. Project constraints
Jones G.K. (1963). Chemistry and flow properties
prevented further testing being conducted.
of bentonite grouts. Grouts and drilling muds in
Although further testing was desirable, the
engineering practice, pp. 22-28. William Clowes
available results are considered acceptable and
& Sons, Ltd, London.
are in line with the target strength of 20-40kPa. It is
A CASE STUDY: INVESTIGATION OF A FAMILY HOUSE DAMAGE

DUE TO EXPANSIVE FILL MATERIAL BENEATH THE FLOOR
ÉTUDE DE CAS : ÉTUDE DES DOMMAGES DANS UNE MAISON FAMILIALE
CAUSÉS PAR DES MATÉRIAUX DE REMBLAYAGE EXPANSIFS
1 1,2
Tereza ŠMEJKALOVÁ , Jan NOVOTNÝ
1
ARCADIS Geotechnika a.s., Prague, Czech Republic
2
Faculty of Science, Charles University, Prague, Czech Republic
ABSTRACT - The paper presents an account of the investigation of an unusual family house damage. One
year after the construction of the house, a horizontal crack appeared between the foundations and the
exterior walls and has been widening ever since. Numerous counter-measures taken by the owner had no
effect. The damage was originally perceived as a case of mining subsidence and thorough investigation
works had to be performed in order to rule out various geotechnical hypotheses. Finally, the fill material
beneath the floor was proved to be the cause of the damage. The fill consisted of crushed concrete which is
normally a quite suitable material but in this case it contained highly expansive slag fragments. The
geotechnical engineer should be able to recognize different recycled aggregates and to assess their
properties; an introduction to useful methods is given.
1. Introduction repeatedly added infill and now extends around

most of house perimeter, reaching a maximum
Engineering geological aspects of family houses width of 6.6 cm (Figure 2). In the course of time, the
construction constitute a topic often marginalized in house owner has been trying out various counter-
both literature and practice. However, when the site measures such as diverting the gutters into storm
conditions are not assessed and dealt with properly, drains, deepening the foundations by adding
even such small and simple constructions can concrete pads below the NE corner of the house
sustain serious damage, as shown in this case and building a perimeter drainage (see Figure 2) –
study. The investigation of the causes of the without effect. Therefore, he sought expert advice.
damage demanded to rule out several hypotheses
before the correct explanation has been found –
and to prove it turned out to be even more difficult.
2. The house and its problems
The family house in question is situated in a small

village in the west of the Czech Republic, in a
Carboniferous sedimentary basin region with a rich
coal mining history. It is a two-storey building
without cellar, five years old, built without site
investigation and without construction supervision.
The structure is supported by strip foundations Figure 1. Eastern wall of the damaged house with
1.0 to 1.3 m deep. It has to be noted that this depth the crack between the floor and the foundations
has been achieved partly by excavation and partly
by filling, so the present ground level is about 0.5 m
higher than the original level. The site has not been 3. Finding the cause of the damage
previously affected by human activity, apart from an
old well, located about 4 m from the new house. An engineering geologist conducted a primary site
The problems have started shortly after investigation, consisting of 7 trial pits located
construction and have been developing ever since, around the house (Figure 2). The investigation
starting with door frame deformations on the ground determined that the footing bottom is of satisfactory
floor and cracks in the interior which now reach a quality, consisting of dense loamy sand (completely
width of up to 0.5 cm. One year later, a peculiar weathered Carboniferous sandstone or arkose),
horizontal crack between the floor and the and that the water table is located safely below
foundations, observable from the outside, has foundation level.
appeared on the east side of the house (Figure 1).
It has been expanding ever since despite
Figure 2. Situation of the house – scheme of At this moment, the authors’ company was
foundations, all ground investigation works and invited, to assess whether the problems are indeed
problems on ground level due to historical mining, as claimed by the owner, or
whether they can be explained by other causes.
Therefore, all possible geological factors had to be
assessed and ruled out one by one. The additional
site investigation works comprised two geological
boreholes outside the house – one was
hydrogeologically equipped – and one technological
borehole (a shallow, small diameter borehole
passing through the house construction) inside, one
trial pit to uncover the foundations and a horizontal
technological borehole to reach through them
(Figure 2). The well was inspected with a camera to
assess its state and to rule out the existence of
mine works parting from it.
Figure 3 summarizes all geological data thus
obtained. The footing bottom was confirmed to be
suitable, not prone to dramatic volume changes due
to water content variation, and located at sufficient
depth; previously described soft clayey soils were
not encountered by the boreholes; the well was
Figure 3. Schematic geological cross-section A–A’ found in a good state and the water table level
sufficiently low; no mine work was detected;
On the eastern side, soft clayey soils of possible negative influence of nearby trees was
unspecified genesis (maybe claystone) were excluded; no sewer or drainage system leakage
described below the foundation level (Figure 3). has had occurred in the history of the house. The
The damage mechanism was described as a factors brought up by previous experts (settlement
“discrete settlement of the foundations without any trough and differential settlement) were not ruled
load from the bearing walls“ and ascribed to either out completely but their possible influence on the
differential settlement or undermining. A mining construction was judged insufficient when
expert excluded the possibility of an unknown mine compared to the severity and peculiar character of
work passing directly below the house but admitted the damage. An analysis of the construction design
possible subsidence effects of a settlement trough and history revealed several design flaws and
of a nearby large undermined zone (Figure 2). cases of technological misconduct but none of
them could explain the unusual nature of the main products of their hydration and carbonation: brucite
damage feature – the horizontal crack between the (Mg(OH)2) and calcite (CaCO3).
floor and the foundations. Only one possible It is precisely by these processes, dissimilar to
explanation could be found: an expansive nature of the better known swelling of clay minerals, that the
the fill beneath the floor. expansion of steel production byproducts takes
The existence of the crack between the place. As a rule, the chemical reactions of slag
foundations and the floor (Figure 1) proves that a weathering are complex, chain-like and
part of the construction is no longer supported by unidirectional; some of them do not even require
the foundations. An independent and for five years any moisture, the presence of air phase itself is
ongoing settlement of an unloaded foundation is not sufficient. The volume changes can be quite
conceivable; therefore, the crack must be due to a significant: in laboratory conditions, hydration of
lifting of the floor rather than to a settlement of the CaO leads to a 5–10 % increase in volume;
foundations. In fact, such process was even hydration of MgO to an increase of over 100 %
documented by monthly geodesic monitoring (Marquis et al., 2002). Carbonation of Mg(OH)2 and
carried out for one year, commissioned by the Ca(OH)2 increases the volume to about 365 % of
house owner: during the monitoring period, points the volume of the original oxides (Kresta, 2012). In
located on the foundations did not move site conditions, the observed vertical deformation of
significantly, whereas points located on the floor about 10 % of the slag aggregate layer thickness in
have risen by up to 12 mm when compared to the five years after construction corresponds well to
first measurement taken 11 months earlier. It was cases documented in literature (Crawford and Burn,
also noted that the floor plate is laterally and 1968 ; Morales, 1993 ; Černý et al., 2005 ; Kresta,
longitudinally convex (Figure 2) – probably due to a 2012).
combination of load from the bearing walls acting Nevertheless, even when the expansion
on its perimeter and the ongoing lift in the space hypothesis is well founded, to directly prove the
between them. unsuitability and expansive behaviour of an already
partially weathered slag fill is time-consuming and
sometimes even impossible. The investigator must
4. Proving the expansion hypothesis not be discouraged by negative results; only
positive results are conclusive. It is often necessary
Nevertheless, the fill material, bought as crushed to repeat inconclusive tests with new samples or to
concrete aggregate (fraction 0/16 mm, with resort to other types of tests.
particles of up to 32 mm) and used in a layer about The standard procedure of determining steel
0.5 m thick, appeared quite innocent (Figure 4). production byproducts suitability for construction
consists of autoclave expansion and/or
disintegration tests (European norm EN 1744-1,
Czech standard TP 138). However, due to the
extreme heterogeneity of the material, complexity of
the ongoing reactions and reduction of measurable
characteristics in time, these tests, already
debatable in themselves, are not well applicable to
weathered slags and so may not yield any
conclusive results. Such was also the case of the
tested fill which was found suitable according to the
autoclave tests.
The same problems apply also to laboratory
swelling tests which are the only means of positively
proving the recycled aggregate’s expansive nature.
Figure 4. Fill material – all fractions (scale in cm) A recommendable test setting uses compacted fine
fractions in a CBR mold with partial saturation and
Only later on, a detailed examination of the no overload. It may be necessary to test a great
fragments drew attention to some important facts: number of samples; in the present case, only one
under the light gray (probably concrete) coating, (and rather exceptional, with regard to another case
numerous fragments were of dark gray colour, known to the authors) sample showed any swelling
slightly porous, sometimes with tiny white marks; (Figure 5).
they were attracted by magnets and unusually An exact determination of the recycled
3 aggregate’s provenience is impossible but
"heavy", with a particle density of 3420 kg/m .
These macroscopic features correspond to steel a general estimation can be made on the basis of
slag. Microscopic and X-ray diffraction analysis microscopic, X-ray diffraction and chemical
corroborated this observation, detecting not only analyses and their comparison with literature. In the
various iron oxides (FeO, Fe2O3, NiFe2O4, present case, chemical analysis determined the
Ca4Al2Fe2O10) and larnite (β-Ca2SiO4), but also main components of the fill as follows: CaO
typical slag phases with expansive behaviour such (26,5 %), SiO2 (18,9 %), FeO (14,9 %), MgO
as periclase (MgO) and free lime (CaO) as well as (11,2 %), Fe2O3 (9,6 %) and Al2O3 (7,5 %). This
percentage corresponds well to open hearth To prove the expansive behaviour of steel
furnace slag composition given by Emery (1984). production byproducts, a significant number of tests
The very same type of furnaces had long been and analyses may be necessary and a thorough
used by the region’s heavy industry. literature research is indispensable. As more
The microscopic, X-ray diffraction and chemical attention is being drawn to the conditions of use of
analyses are relatively fast and can also prove the recycled materials in construction, this case may
presence of expansive phases and their derivatives not remain a marginal rarity but there can be more
as shown above, thus constituting a quite useful to come – so far perhaps also mistakenly
tool. Here as well, a greater number of samples interpreted as a manifestation of other phenomena.
may be needed due to their small size (a few
grams) and the heterogeneity of the material. In the
present case, the diffraction analysis had to be 6. References
recommissioned to a better laboratory because the
first one had detected only a very limited number of Crawford C.B., Burn K.N. (1968). Building damage
simple phases and brought no conclusive from expansive steel slag backfill. Journal of the
information. soil mechanics and foundations division, ASCE
specialty conference on placement and
improvement of soil support structures,
Cambridge, Massachusetts, USA, ISSN 0044-
7994, vol. 95, SM6, pp. 1325–1334.
http://nparc.web-t.cisti.nrc.ca/npsi/ctrl?action=
rtdoc&an=3713569&article=0&lang=en
(downloaded March 2012)
Černý D., Hládková K., Herštus J. (2005).
Závěrečná zpráva ověření vlastností
struskového podsypu podlah prodejen Penny
Market a Koberce Frick v Kladně. AGE a.s.,
Praha. (in Czech)
Emery J. (1984). Steel slag utilization in asphalt
mixes. MF 186-1 National Slag Association,
Figure 5. Fill material expansion (compacted fine Pleasant Grove, UT. http://www.nationalslag.org
fractions in a CBR mold, unloaded, partial /archive/legacy/nsa_186-1_steel_slag_utilization
saturation). The rate corresponds to a vertical _in_asphalt_mixes.pdf (downloaded March
deformation of 5.7 cm for a 0.5 m layer in 5 years 2012)
Kresta F. (2012). Druhotné suroviny v dopravním
stavitelství. VŠB-TU Ostrava, Ostrava. ISBN
5. Conclusions 978-80-248-2890-9. (in Czech)
Marquis B., Paradis M., Amiri A. (2002). Utilisation
The studied case of a damaged family house de scories d’aciérie dans les chaussées. Bulletin
presented several interesting features. Originally d’information technique, Direction du laboratoire
perceived as a case of settlement due to mining, des chausséees, vol. 7, n°1. http://
the damage was on the contrary caused by lifting www.mtq.gouv.qc.ca/portal/page/portal/Librairie/
which was explained by the presence of expansive Publications/fr/reseau_routier/info_dlc/2001-
material beneath the floor. The fill layer, about 2002/02-01.pdf (downloaded March 2012)
0.5 m thick, caused a vertical deformation Morales E.M. (1993). Structural and functional
(manifested by an unusual horizontal crack distress due to slag expansion. Proceedings, 3rd
between the floor and the foundations) of up to international conference on case histories in
6.6 cm in five years, which corresponds well to geotechnical engineering, St Louis, Missouri,
cases documented in literature. USA, pp. 1139–1152. http://www.pgatech.com.
When investigating the causes of construction ph/documents/Structural%20and%20Functional
failures, the engineering geologist should make %20Distress%20Due%20to%20Slag%20Expan
himself familiar with different types of recycled sion.PDF (downloaded March 2012)
aggregates and their properties. An important Šmejkalová T., Novotný J. (2013). Porušení
lesson from the case studied is that it is possible to rodinného domu expanzivním chováním zásypu
find recycled materials which have undergone pod podlahou. Geotechnika 1/2013, pp. 21–25.
several recycling cycles, thus concealing their Česko-Slovenská společnost pro mechaniku
original nature. Such was the present case, where zemin a geotechnické inženýrství, Praha.
steel slag had been reused in concrete and later (in Czech)
recycled again and sold as crushed concrete –
which under normal conditions (without slag) is
a suitable material.
THE SHARD: FOUNDATION DESIGN AND CONSTRUCTION
LE SHARD : CONCEPTION ET CONSTRUCTION DE LA FONDATION

S. SMITH
Balfour Beatty Ground Engineering, UK
ABSTRACT - This paper details the design and construction methodologies implemented for the
secant pile wall and plunge columns for the 310m tall skyscraper, known as The Shard, located on
London Bridge Street, London, England.
A discussion of some of the major issues encountered during the construction of The Shard’s multi-
storey basement, which was constructed using a top down construction approach, is included.
Furthermore, possible explanations for these issues, such as the extensive leaking of the secant wall,
are briefly explored and recommendations for future projects of this nature are proposed.
1. Introduction The pre-construction phase of the project

included the demolition of a 24-storey office
This paper summarises the design and block known as Southwark Towers, which
construction of the major geotechnical occupied the site.
components for the 310m tall skyscraper During this phase of the project it was
known as The Shard, located on London identified that a significant number of existing
Bridge Street, London, England (see Figure 1). piles would be left on the line of the secant
wall and in the location of the new bearing
piles.
Furthermore, in order to reduce programme
time, a top down construction approach was
adopted, which utilised the technique known
as plunge columns.
3. Ground Conditions
This section of the paper describes the ground

conditions within the site and the parameters
used in the design.
Figure 1 Map showing the location of The 3.1. Soil Model

Shard
The site had a typical London strata sequence
The major issues encountered during the of Made Ground underlain by River Terrace
construction of the Shard’s multi-storey Deposits, London Clay, Lambeth Group Clays,
basement, which included a secant wall piles Thanet Sands and the Upper Chalk. This soil
and plunge columns, are discussed and profile is reproduced in Table 1, which also
recommendations for future projects of this includes the elevations and thicknesses used
nature are proposed. in the design.
Table 1. Soil Model

2. Project Overview Stratum Design Stratum Thickness
Level (mOD) (m)
The major geotechnical work for The Shard Made Ground 4.30 4.3
was undertaken in 2009 by BBGE and Terrace Gravels 0.00 6.0
included the design and construction of large London Clay -6.00 24
diameter bearing piles, secant piles and Lambeth Group -30.00 17
plunge columns, all of which were constructed Thanet Sands -47.00 14
using a large diameter (LDP) rotary technique. Chalk -61.00 Not Proven
3.2. Ground Water Thanet Sand;
Shallow groundwater was encountered in the Bulk Density Jb = 20kN/m3

Made Ground and River Terrace Deposits, Friction angle I' = 360
perched on the London Clay and at depth in Coefficient of earth pressure ks = 0.70
the Thanet Sands and Upper Chalk.
Unit skin friction qs Limited to
200kN/m2
3.3. Design Parameters Limiting bearing capacity Nq = 48
factor
Based on the results of the site investigation Unit base resistance qb limited to max
the following parameters were used in the 20000kN/m2
design of the secant wall and plunge column
piles;
4. Secant Pile Wall
Made Ground;
A total of 388no. 900mm diameter secant piles
Bulk density Jb 3
were used to form the three level basement.
= 18kN/m Half of these piles were “firm” unreinforced
Friction angle I' = 30.00
“female” piles that were constructed to a depth
of 16m; the remaining piles were the structural
Horizontal stiffness E
= 10000kN/m2 “male” piles. In addition to the lateral earth
River Terrace Deposits; pressures the male piles were designed to
carry the vertical load from the structure and
Bulk density Jb = 20kN/m3 support sections of the complex floor slabs
and steel columns. This resulted in the male
Friction angle I' = 380 piles being constructed to depths of between
25-50m.
Horizontal Stiffness E = 34000kN/m2
London Clay; 4.1. Wall Design
Bulk density Jb = 20kN/m3 The retaining wall was designed in accordance
with BS8002 and CIRIA paper C580. The
Undrained shear cu 90kN/m2 at structural design of the secant piles was in
strength -6.0mOD accordance with BS8110.
Increasing at 9.5kN/m2 per meter
depth
The wall was designed to support a
Adhesion factor D = 0.50 retained height of approximately 15m whilst
being permanently propped at multiple levels
End bearing factor Nc = 9.00 for bearing by concrete floor slabs (see section 4.2 for
piles, 7.5 for wall
Limited to 140kN/m2
further details).
Unit skin friction qs
The wall was also designed for the effects
Horizontal undrained Eh 1000.Cu of long term rises in the ground water level
stiffness behind the wall to 1m below the retained
Drained shear strength c' = 5kN/m2
ground level.
Friction angle I' = 230
4.1.1 Surcharges
Drained horizontal E'h 0.7.Eh
stiffness 2
A uniform surcharge of 10kN/m was applied
on the active side of the wall. For the section
Lambeth Group; of secant wall that ran alongside London
Bridge Railway Station a surcharge of
Bulk density Jb = 20kN/m3 2
125kN/m was used to model the strip footings
Undrained shear strength cu = 400kN/m2 of the viaduct.
Adhesion factor D = 0.50
End bearing factor Nc = 9.00 for 4.2. Wall Construction
bearing piles,
7.5 for wall The wall needed to be constructed to achieve
Unit skin friction qs Limited to
140kN/m2 a vertical tolerance of 1 in 200 and a plan
positional tolerance of 25mm. To achieve
these levels of accuracy an LDP technique
was implemented along with the use of a
concrete guide wall.
The wall was propped at multiple levels 5.1. Plunge Column Design
during the top down construction of the
basement. The following construction The plunge column piles were designed in
sequence was used: accordance with BS8004 and the London
District Surveyors Association ‘Guidance
1. The secant piles were installed, Notes for the Design of Straight Shafted Bored
2. The wall capping beam and level 0 Piles in London Clay’. The structural design of
slab were cast, the piles was in accordance with BS8110.
3. The basement was excavated to The pile settlements were assessed using
100mm below the B2 slab level the method described by Fleming (1992).
(-8.5mbgl) and the B2 slab was cast However, the predicted settlement using this
across the entire site, method exceeded the settlement criteria. This
4. The basement was then excavated to required the settlement of the piles to be
below B3 slab level (-13.5mbgl), checked by means of preliminary pile testing,
where the large raft foundation was which proved the settlement of the piles to be
cast, within acceptable limits.
5. The B1 slab was then cast to complete The embedment of the steel column in the
the basement construction. concrete section was designed in accordance
with the recommendations given by Pratt and
To accelerate the excavation and therefore Alexander (2003). This approach limited the
the construction of the sublevels the B1 slab column embedment length to 5m. However, to
was emitted from the top down construction achieve this embedment addition plates
sequence so that larger plant could be used in needed to be added to the columns web. To
the excavation process. prevent bursting of the pile around the column
0
In order for this construction approach to be additional links were provided, assuming a 45
implemented plunge columns needed to be spread of load away from the plunge column.
installed to support the floor slabs during the Each of the plunged column piles were
basement excavation. designed to carry a maximum working load of
24 MN.
All of the plunge column piles were
5. Plunge Columns designed as 1800mm diameter to provide
sufficient space to accommodate the bespoke
A total of 141no. bearing piles were used to hydraulic plunging frame.
support the buildings structural load, 63 of
which were constructed with plunge columns. 5.2. Plunge Column Construction
The columns were up to 25m long and were
typically 356x406mm sections. The piles All of the bearing piles were constructed from
supporting the columns were 1800mm in the existing ground level. The cut-off levels of
diameter and were up to 55m deep. the piles were 16m to 19m below ground level.
In addition, the plunge columns needed to be
installed to a vertical tolerance of 1 in 400 and
a plan positional tolerance of 10mm. To
achieve these construction tolerances a
bespoke hydraulic plunge column frame was
developed by BBGE to allow multiple sized
columns with external protrusions to be
installed.
The typical construction sequence for a
plunge column using the hydraulic frame was
as follows:
1. Temporary casing was placed and the

pile was bored to the specified depth,
2. The pile reinforcement was lowered
into position and the borehole was
filled with concrete up to casting level,
Figure 2 A typical plunge column setup 3. The hydraulic frame was then
accurately placed into the casing,
4. A steel section called the follower was
attached to the plunge column and the
column was then lowered through the 7. Recommendations

frame until the supporting wings of the
follower rested on the hydraulic frame, To reduce the risk of voids occurring in
5. The setup was left until the concrete secant walls stricter controls on the use of
had set, concrete should be implemented. In addition to
6. The follower and hydraulic frame were this, detailed records of the pile construction
then removed, process, including but not limited to the
7. Backfill was placed in the borehole measurements of the slump of the concrete
and the casing was extracted. within the pile during pouring and casing
extraction, should be produced so that a lack
of slump can be detected before excavation
6. Construction Phase commences.
To limit the magnitude of plunge column
This section of the paper describes the drift, measures to reduce the decentralising
issues that occurred during the construction pressure on the plunge columns during
phase of the project. backfilling and casing extraction should be
taken. This could be achieved by using a liquid
6.1 Construction Problems backfill. However, just adding water to a
conventional backfill material may solve this
The major construction problems issue.
experienced on site were voids in the secant
wall and the drifting out of tolerance of the
plunge columns after placing the backfill and References
extracting the casing.
The voids in the secant wall, which were The London District Surveyors’ Association
uncovered during the excavation of the (2000). Guidance notes for the design of
basement, were likely a result of a lack of straight shafted bored piles in London clay.
concrete slump. As this issue was isolated it LDSA, London.
was unlikely a result of the concrete mix British Standards Institution (1997). BS8002:
design, which had a target slump of 175mm. retaining wall design. British Standards
Any lack of slump was likely a result of Institution, London,
concrete that had started its reaction prior to British Standards Institution (1997). BS8110:
placing. Part1: structural use of concrete. British
Some of the effected secant wall piles were Standards Institution, London,
also needed to support the vertical load from British Standards Institution (2000). BS
the superstructure. In these cases the pile had EN1536: execution of special geotechnical
to be rebuilt from within the excavation. work, bored piles. British Standards
However, the voids in the wall allowed a Institution, London,
continuous ingress of water into the basement Gaba et al (2003). C580: embedded retaining
excavation, which made sealing the leaks walls; guidance for economic design.
more difficult. CIRIA, London.
The drifting of the plunge column during Felthem I. (2004). Shear in reinforced concrete
backfill placing and casing extraction was a piles and circular columns. The Structural
result of the uneven distribution of pressure on Engineer.
the column from the backfill material, which Troughton V.M., Platis A. (1989). The effects
was a large grade pea shingle. This issue was of changes in effective stress on base
something that was not prevented during the grouted piles in sand. Proceedings,
construction phase. However, for the columns International Conference on Piling and
that were out of tolerance a method that Deep Foundations, London.
involved the installation of additional small Steger E.H., Derbyshire P.H. (1975). Piling on
diameter casing in the opposing direction to to Thanet sand at Euston Square, Ground
the column head drift and the extraction of the Engineering.
granular backfill was trialled and was Pratt A., Alexander S. (2003). Plunge columns.
successful in bringing the columns back to Concrete Society Services Ltd.
within acceptable limits. Fleming W.G.K. (1992). A new method for
single pile settlement prediction and
analysis. Geotechnique 42, No. 3, 411-425.
APPLICATION OF ADJUSTED WAVE EQUATION ANALYSIS FOR

OPTIMIZED PILE ACCEPTANCE CRITERIA
APPLICATION DE L'EQUATION D'ONDE AJUSTEE A L'OPTIMISATION DES
CRITERES D'ACCEPTATION DE PIEUX BATTUS
1 2
An-Ninh TA , Martin HAMMANN
1
Cathie Associates, Paris, France
2
G-Octopus, Paris, France
ABSTRACT – Savings of steel and higher factors of safety for non instrumented piles can be efficiently
obtained through calibrated pile acceptance criteria and driving parameters: blowcount and hammer energy.
Uncalibrated criteria are commonly established by using wave equation analysis with default dynamic soil
parameters. This paper presents a procedure to calibrate these parameters specifically against the results of
signal matching analyses on a limited number of instrumented tested piles. The signal matching is
recognized by Eurocode as a standard and most reliable method for interpretation of dynamic load tests.
These calibrated pile acceptance criteria benefit from the advantages of signal matching analyses: reliability
and accuracy. This adjustment procedure has been successfully employed on several projects worldwide:
Algeria, Colombia, Germany and Indonesia where marls, silts, sands and clayey soils were encountered.
1. Introduction appropriate to provide results in real time while the

pile is being driven.
Steel, open ended, driven piles are widely adopted The global method is simpler and can be used
in energy industries. They are used as foundations to evaluate pile capacity and to make decisions on
for nearshore trestles, offshore windfarms and pile acceptance on site and in real time. It may be
offshore oil and gas platforms. It is known that pile used for non instrumented piles. It is particularly
driveability prediction and pile acceptance based appropriate to trestle and windfarm constructions
on measurements recorded during driving are where time and cost savings are key challenges
increasingly becoming decisive issues for piled because of a large number of relatively long piles
foundations. Driving data can be electronically needing to be installed. In the global method, pile
recorded using a data acquisition unit, the Pile capacity is established based on blow count, enthru
Driving Analyzer (PDA). energy and pile driving modeling. The latter is
In practice, piles can be accepted when they are carried out by wave equation analysis using 1D
driven to target depth or if the design capacity is wave equation programs such as GRL WEAP
proven. The capacity of an instrumented driven pile software (PDI, 2010). GRL WEAP software
can be determined by means of signal matching numerically resolves the wave equation in the
techniques as allowed by Eurocode 7 or by a hammer system, driving system, pile and pile-soil
method called global method in which simple interface.
driving quantities (blow count and enthru energy) While the hammer, driving system and pile are
are used. The enthru energy is the real transmitted relatively easy to define and have been well
energy to the pile head. This energy is often lower addressed (Rausche et al., 2009), the selection of
than the delivered energy by the hammer. the parameters of the pile-soil interface still
The signal matching analysis is considered a requires a particular effort and it is often subject to
standard procedure allowing a reliable estimate of discussion among experts. These parameters are
pile capacity at time of driving (Likins and Rausche, shaft damping (SD), toe damping (TD), shaft quake
2004). In reality, at each impact, the hammer (SQ) and toe quake (TQ). The accuracy of pile
generates a downward wave at the pile head which capacity determination from driving parameters
is reflected back up the pile (the upward wave); depends heavily on these parameters.
both waves are measured by PDA. The signal Nevertheless, few guidelines exist (Stevens et al.,
matching analysis uses the measured downward 1982; PDI, 2010) and they cannot tackle the full
wave as an input, and iteratively adjusts a variety of possible soils.
numerical soil/pile interface model until the Ta and Hammann, (2012) propose a procedure
computed reflected upward wave matches the in which the dynamic soil parameters that are
measured upward wave. Unfortunately, this method needed for the second method (global method) are
is time consuming and requires engineering calibrated against the referenced results obtained
judgment to give reliable results; thus, it is not with the first method (signal matching). This allows
combining the advantages of the two methods: At end of pile driving, representative records
reliability, accuracy and efficiency. were selected for signal matching analyses using
This paper aims to present the application of CAPWAP software of PDI to determine the pile
this adjusted soil dynamic parameters method into capacities. About 45 signal matching analyses at
different projects. Hereafter, four projects are first end of drive were undertaken.
succinctly described. The method is then
summarized and the obtained results are 2.2. Colombia project
subsequently presented.
Similarly to the first project, a long trestle
construction was carried out in Colombia. Due to
2. Projects descriptions confidentiality issues, detailed soil conditions
cannot be disclosed. The main load bearing soil
2.1. Algeria project layers can generally be described as fine sandy
silts, silty sands and clays. The hammer was an
A 1300m long trestle terminal was constructed IHC S280 with 280kJ of rated energy. Piles were
within the Bay of Arzew off the West Coast of hollow steel pipe piles (1371.6 OD x 19.05mm WT).
Algeria. Open ended steel pipe piles 1524mm Total pile lengths and pile penetrations were about
Outer Diameter (OD) x 25.4mm Wall Thickness 37 and 25m respectively. Required pile capacities
(WT) were adopted as foundations. Total pile varied from 5 to 10MN. Nearly 70 signal matching
lengths and pile penetrations were about 45 and analyses were performed for the entire project.
15m respectively. Required pile capacities varied
from 6 to 15MN. 2.3. Indonesia project
Soils encountered at the site were geologically
grouped into 3 main formations as presented in A four legged jacket was installed in South
Table 1. Mahakam, offshore Indonesia. Each leg was
supported by a piled foundation comprising of 4 or
Table 1. Design soil parameters used for pile 5 sections (add-on). The soils are mainly clays
drivability analyses (submerged unit weight γ', having undrained shear strength increased from 5
undrained shear strength Cu, internal residual at the soil surface to 250kPa at the target. A Menck
friction angle φ', simple compression strength Rc) MHU 700T hammer with 700kJ of rated energy was
used. Piles were hollow steel pipe piles (1200 OD x
N° Soil γ' Cu φ' Rc
50mm WT). Total pile lengths and pile penetrations
kN/m3 kPa Σ MPa were about 160 to 200 and 100 to 140m
1 Sand 8.0 - 20 - respectively. Required pile capacities were about
2 Sandstone/ 11-12 - 25-30 2.5 - 6.0 30 to 40MN. Pile driving was monitored for the two
Calcarenite last sections of two opposite legs. Signal matching
3.1 Green Marl 9.5 100 - 220 - -
analyses at end of drive and at restrike were
3.2 Grey Marl 10-11.5 220- 525 - -
performed. This procedure was applied to 3 closely
situated jackets.
The longitudinal soil profile from the shore to the
platform was divided into three distinct areas as 2.4. Germany project
presented in Figure 1.
A tripod piled foundation for a windfarm turbine was
installed in very dense sands in the North Sea,
Germany. Cone resistances recorded from CPT
tests could exceed 40MPa at target depth (25-
30m). The hammer was an IHC S1200 with 1200kJ
of rated energy. Piles were hollow steel pipe piles
(2480 OD x 50mm WT). Total pile length was about
Area 1 Area 2 Area 3 35m. According to recorded CPT profiles, several
design soil profiles were developed and for each
Figure 1 Soil profiles in the Algeria project soil profile, at least one driven pile was
electronically monitored using PDA system.
Piles were driven using a Menck MHU 270T
hydraulic hammer with 300kJ of rated energy.
The instrumented pile driving data were first 3. Adjusted wave equation analysis
evaluated using PDA-W software and were
considered to be of good quality based on objective This section summarizes the principle of adjusted
criteria such as consistency of successive signals, wave equation method; for more details, the reader
absence of electrical instability, proportionality of is invited to read Ta and Hammann, (2012). The
force and velocity signals at start of signal, and Arzew-Algeria project was used as an example to
return to zero at end of signal. present the method.
It has been known from experience, and is also the analysis. This conversion method was applied
confirmed by wave equation analysis (e.g. figures to all analyzed signals at end of drive (EOD). The
2, 3 and 4) that the pile capacity is well correlated correlation between the axial pile capacities and
to the permanent displacement per blow (SET), in the corrected SET of all considered piles is plotted
mm/blow and the energy transmitted to the pile together (Figure 3).
(enthru energy) per blow (EMX), in kJ. It can be observed that points for each area
appear to be consistently centered on a bearing
3.1. Step 1: Correcting the SET to a reference graph as established with GRL WEAP.
energy level
ϭϮϬϬϬ
$GCTKPIITCRJU
In order to make figures comparable, the SET of all
ǆŝĂůƉŝůĞĐĂƉĂĐŝƚǇŝŶĐŽŵƉƌĞƐƐŝŽŶ;ŬEͿ
HTQOYCXG
pile tests, obtained at different levels of energy, GSWCVKQP
were converted to a level of energy of reference. CPCN[UKU
The latter is generally the average energy of the ϵϬϬϬ PWOGTKECN
OQFGNKPI
enthru energies at end of drive of all considered
piles. This conversion is made possible due to the
fact that, when the hammer is correctly sized,
ϲϬϬϬ
enthru energy EMX and SET are nearly tƌĞƐƵůƚƐͲ ƌĞĂϭ
tƌĞƐƵůƚƐͲ ƌĞĂϮ :ϯ
proportional for a given pile capacity as
tƌĞƐƵůƚƐͲ ƌĞĂϯ :ϭ
demonstrated in Figure 2. :ϭͲ ^ŚĂĨƚĂŵƉŝŶŐϬ͘ϱϬ
:ϮͲ ^ŚĂĨƚĂŵƉŝŶŐϬ͘ϲϱ :Ϯ
:ϯͲ ^ŚĂĨƚĂŵƉŝŶŐϬ͘ϯϱ
ϯϬϬ ϯϬϬϬ
Ϭ ϱ ϭϬ ϭϱ ϮϬ
ŽƌƌĞĐƚĞĚ^dĨŽƌĞŶĞƌŐǇůĞǀĞůŽĨϴϬй;ŵŵͬďůŽǁͿ
ŶƚŚƌƵĞŶĞƌŐǇ;Ŭ:Ϳ
ϮϳϬ
Figure 3. Axial pile capacity in compression versus

ϮϰϬ
ϱϬϬϬŬE corrected SET
ϲϬϬϬŬE
ϮϭϬ ϳϬϬϬŬE
ϴϬϬϬŬE 3.2. Step 2: Adjusting dynamic soil parameters
ϭϴϬ ϵϬϬϬŬE
ϭϬϬϬϬŬE This step consists of determining the pile-soil
ϭϭϬϬϬŬE
ϭϱϬ dynamic parameters using GRL WEAP, resulting in
ϯ ϱ ϳ ϵ ϭϭ ϭϯ ϭϱ ϭϳ ϭϵ Ϯϭ the bearing graph that best matches the cloud of
^d;ŵŵͬďůͿ points of the considered geological area. The
selected soil dynamic parameters are presented in
Figure 2. Linear relations between enthru energy Table 2, and the corresponding bearing graphs are
and SET for a given pile capacity presented in Figure 3. The bearing graphs were
obtained using GRL WEAP with bearing graph
The plotted data in Figure 2 were generated option where the hammer energy is fixed and the
using the inspector chart option of the GRLWEAP set per blow is computed for each axial
software where the pile capacity was fixed and the compressive pile capacity.
SET was computed at different levels of hammer
energy. Input data in GRL WEAP were composed Table 2. Soil dynamic parameters for each area
of pile geometry, hammer characteristics, soil (SD: shaft damping, TD: toe damping, SQ: shaft
dynamic parameters and shaft/toe resistance quake, TQ: toe quake, %fr: percentage of shaft
distribution. The latter should be computed through resistance over total resistance)
geotechnical analyses based on soil parameters.
Note that this near linear relationship needs to Name SD TD SQ TQ %fr
be verified over the whole range of hammer energy s/m s/m mm mm
generated during the course of the project, as it is ADJ1 0.50 0.5 2.5 2.5 90
not always observed, for example when the driving ADJ2 0.65 0.5 2.5 2.5 90
gets close to refusal. ADJ3 0.30 0.5 2.5 2.5 90
Based on experience, the soil dynamic
parameters in GRL WEAP do not affect the linear For a long pile with high shaft friction, i.e. 90%
relationship between enthru energy and SET. of total pile capacity, the shaft damping plays a
Once the linearity is verified, the conversion can determining role among soil dynamic parameters
be made. For instance, the average energy at end whereas toe damping, toe quake and shaft quake
of drive over the considered area in the Algeria are much less important. Therefore, only shaft
project was 240kJ, this value was used as dampings were modified to generate three median
referenced enthru energy: a pile capacity of lines. This principle was also applied to the three
6000kN requires a SET of 12mm/blow at 210kJ of other projects.
EMX; it would require a SET of 13.5mm/blow at The obtained damping parameters are all
240kJ. The SET of 13.5mm/blow is now called presented in Table 3. An example of pile
corrected SET and is retained for the next step of acceptance criteria using the adjusted damping
parameters is presented in Figure 4. This graph pile acceptance at it is also applicable for non-
helps determine the pile capacity on site, in real instrumented piles.
time, based on the instant recorded hammer Prior to applying this method it is necessary to
energy and the blow count. verify the proportionality between the enthru energy
and the SET in the range of considered energy and
Table 3 Results of adjusted wave equation: shaft pile capacity.
damping (SD) determination (ref: referenced) For the Algeria project, three different sets of
soil dynamic parameters were needed to cope with
ref
the soil geographical variability. The main change
Country Site Soils SD enthru of soil profile is from area 2 to area 3. Indeed, the
energy presence of a compact calcarenite at the soil
s/m kJ surface induces a radical change in dynamic
sands behavior of the pile soil interface. Consequently the
Area1 0.50 240 damping or dynamic resistance is much smaller
+ marls
Algeria Area2 marl 0.65 240 when driving into this soil type.
calcarite Depending on the soil geographical variability
Area3 0.35 240
+ marls and the size of the structures to be installed, one or
fine
Trestle sands 0.45 195
several sets of soil dynamic parameters may be
Colombia + silts required.
silts + It is noted that all obtained values for soil
Platform 0.70 125
clays dynamic parameters are within values
Indonesia - clays 0.3-0.5(*) 350 recommended by PDI (PDI 2010). Recent studies
dense of PDI suggested a larger range of dynamic soil
Germany - 0.45 500
sands parameters, particularly for shaft damping.
Also, although they are of a lesser influence, the
ϮϴϬ sensibility of other parameters may need to be
investigated and appropriately considered: driving
DĞĂƐƵƌĞĚŚĂŵŵĞƌĞŶĞƌŐǇ;Ŭ:Ϳ
ϮϰϬ rate, hammer energy and driving system's

components.
ϮϬϬ As soon as an improved knowledge of dynamic
parameters has been developed, it will be possible
ϭϰϬϬϬ<E
ϭϲϬ to refine the adjusted analysis per soil layer and
ϭϯϬϬϬ
ϭϮϬϬϬ soil type. It would be highly interesting and useful to
ϭϮϬ ϭϭϬϬϬ share and build a unique data base of dynamic soil
ϭϬϬϬϬ parameters resulting from adjusted analyses, so
ϴϬ ϵϬϬϬ
ϴϬϬϬ
that experience can be built up for the benefit of all.
ϳϬϬϬ
ϰϬϬϬ<E ϱϬϬϬ ϲϬϬϬ
ϰϬ
ϭϬ ϮϬ ϯϬ ϰϬ ϱϬ ϲϬ ϳϬ ϴϬ ϵϬ ϭϬϬ ϭϭϬ ϭϮϬ
ůŽǁĐŽƵŶƚ;ďůͬϮϱĐŵͿ 5. References
Figure 4. Pile driving acceptance criteria for area 1, Likins G., Rausche F. (2004). Correlation of
Arzew, Algeria CAPWAP with static load tests. Proceedings of
the 7th International Conference on the
Application of Stress-Wave Theory to Piles. pp.
4. Discussions and conclusions 1-13.
PDI (2010). GRLWEAP Manual, 30725 Aurora
This paper presents the development of a Road, Cleveland, USA: PDI. 144 p.
methodology to establish the adjusted pile driving Rausche F., Nagy M., Webster S., Liang L. (2009).
acceptance criterion using pile capacities from the CAPWAP and Refined Wave Equation Analyses
pile dynamic load tests and its application in for Driveability Predictions and Capacity
different projects worldwide. Assessment of Offshore Pile Installations.
This method mainly consists in adjusting soil Proceedings of the ASME 28TH International
dynamic parameters in GRL WEAP to best match Conference on Ocean, Offshore and Arctic
the wave equation analysis results with signal Engineering OMAE2009, Honolulu, Hawaii. p.
matching analyses with CAPWAP. This applies to 1–9.
each soil category. Stevens R., Wiltsie E., Turton T. (1982). Evaluating
As illustrated through four different offshore Drivability for Hard Clay, Very Dense Sand, and
construction projects, the adjusted procedure Rock. OTC 4205. pp. 465-481.
allows a pile driving acceptance criteria of higher Ta A.N., Hammann M. (2012). Adjusted pile driving
reliability than pile penetration established with acceptance using ongoing pile capacities
geotechnical methodologies. The pile driving determined by signal matching analyses
criterion can be used in real time for a decision on (CAPWAP). Proceedings of IS-Kanazawa 2012,
Kanazawa, Japan. pp. 1-7.
THEORETICAL AND EXPERIMENTAL RESEARCH ON UPLIFT

CAPACITY OF SHALLOW FOUNDATIONS
ETUDE THEORIQUE ET EXPERIMENTALE SUR LA CAPACITE DE
SOULEVEMENT DES FONDATIONS SUPERFICIELLES
Igor TOMOVSKI1, Josif JOSIFOVSKI2
1
BSc. Geotechnics, Geo-hydro-consulting ltd., Skopje, Macedonia
2
PhD. Geotechnics, Faculty of Civil Engineering, Skopje, Macedonia
ABSTRACT – In this paper some of the theoretical and empirical methods for determination of the uplift
capacity of shallow foundations in sand are presented. The objective is to estimate the accuracy of these
methods as well as to see if they can be possibly upgraded. The obtained results from the investigations on a
small scale model are considered as important contribution on the topic. The purpose of the research is to
determine which theory gives realistic estimation of the uplift force. Furthermore, the research is also actual
subject in the Eurocode 7. The obtained results from the tests are compared with the theoretical and
empirical methods, but also with the contemporary Finite Element Method (FEM), which confirmed that some
of the empirical theories underestimate and some overestimate the uplift capacity, and that the FEM gives
the most accurate estimation of the uplift capacity.
1. Introduction gives realistic results for dense shallow foundations

embedded in dense sand at an embedment ratio of
In civil engineering the foundations are mainly Df /B < 5, where Df is the foundation depth and B is
subjected to pressure forces, but there are the width of the foundation. But for foundations
situations where is needed that the foundations had located in loose and medium sand, the theory
to be subjected to temporary or permanent uplift overestimates the ultimate uplift capacity.
forces. The most rational method for estimation of the
There is large number of available theoretical uplift capacity of foundations in sand is given by
and experimental researches about the behavior of Meyerhof and Adams (1968). It’s more general
the foundations subjected to centric uplift forces. method and beside circular foundations it’s used for
To oppose the uplift force, different types of strip and rectangular foundations and gives good
foundations are used depending from the situation estimation of the uplift capacity.
and purpose, but in most cases the uplift capacity Other theories which are important to mention
of the provided foundation is the main design and are referring to circular foundations are Vesic
parameter. (1965) and Saeedy (1987).
When designing these types of foundations it’s However, most of the experimental results from
desirable to include a “sufficient” safety factor. the test are conducted to a small scale model. If
In the last 50 – 60 years several theories for using these results for full scale foundation, bear in
estimation of the uplift capacity are developed, such mind the difference in scale and need of carefully
as Balla’s, Meyerhof-Adam’s and Vesic’s theory, chosen parameters.
which are based on theory, experiments or both.
Most of the theories are for circular foundations in
granular soil. 3. Experimental model test
To determine which theory gives the real value
of the uplift capacity, a small scale model test has To verify the above mentioned theories for
been made in the laboratory in the department of determination of uplift capacity on shallow
geotechnics at the Faculty of civil engineering in foundations in sand, a small scale model test has
Skopje. been made, graphically presented on Figure 1. The
real dimensions of the circular foundation are given
in Table I. The scale of the dimensions is M=1:10
2. Empirical methods hence it’s founded in uniform sand.
There are several authors who have developed Table I. Foundation dimensions.
theories and equations for determination of the Foundation diameter D (m) 1.5
uplift capacity of foundations in granular soils Foundation depth Df (m) 1.5
(sands). Foundation height hf (m) 0.5
One of the theories for circular shallow Column height hc (m) 1.0
foundations in sand is given by Balla (1961), which Column diameter d (m) 0.5
The test had been performed for three different Table II. Soil parameters (ωopt).
soil (sand) conditions, first test with dense Unit weight γ (kN/m )
3
14.27
(compacted) sand with optimal moisture content, Dry unit weight γd (kN/m )
3
12.76
i.e. best case scenario, second test in completely Internal friction angle φ (°) 33.00
dry sand and the last in completely saturated Moisture content (optimal) ωopt (%) 10.00
condition, i.e. worst case scenario. Cohesion c (kPa) 2.00
The bearing rate was 2.0 N in 60 sec. intervals

and untill the failure the vertical deformations
(vertical foundation displacement) were relatively
small, see Figure 2.
Figure 1. Small scale model.
The obtained results from the test model were

verified with the help of numerical model; in our
case with the software package PLAXIS, i.e. the
Finite Element Method (FEM). Figure 2. Uplift capacity (ωopt).
This test was performed three times and the

average uplift capacity was 276.70 N. The failure
was unannounced. The apparent (film) cohesion
that appear in the material (sand) have great
influence in the uplift capacity.
Photo 1. Small scale model
3.1. Optimal moisture content test
The first test has been made in dense compacted

sand with optimal moisture content, when the
material has maximal unit weight and internal Photo 2. Test with optimal moisture content
friction angle.
The material has been installed in glass 3.2. Dry material test
container with dimensions (80x50x50) cm, in layers
of (2.5-3.0) cm. During the installation of the ma- In the second test the material in the foundation
terial 4 samples were taken for determination of the zone was removed and dryied in a oven at 105° C,
physical-mechanical soil parameters, see Table II. for 24 hours and then instaled back in to the glass
container. The material properties for this case are
presented in Table III.
The loading procedure was the same as the first In this case the following material properties had
test. The test was repeated twice because identical been considered, see Table IV.
results were obtained both times (hence there was
no need for third test). Table IV. Soil parameters (ω = 100%).
3
Unit weight γ (kN/m ) 14.27
Table III. Soil parameters (ω = 0%). Saturated unit weight
3
γs (kN/m ) 8.78
3
Unit weight γ (kN/m ) 14.27 Internal friction angle φ (°) 28.00
3
Dry unit weight γd (kN/m ) 12.76 Saturation S (%) 100.00
Internal friction angle φ (°) 28.00 Cohesion c (kPa) 0.00
Moisture content ω (%) 0.00
Cohesion c (kPa) 0.00 The loading procedure was the same as the first
test. The test had been repeated twice because
The uplift capacity for this soil (sand) condition identical results were obtained both times (hence
was around 120.00 N. The failure was also there was no need for third test).
unannounced. The vertical deformation, i.e. the The uplift capacity for this saturated soil (sand)
vertical foundation displacement, was small as can condition was around 62.00 N. In contrast to
be seen on Figure 3. previous tests the failure was announced. The
vertical deformation (vertical foundation
displacement) was quite significant as can be seen
on Figure 4.
Figure 3. Uplift capacity (ω = 0%).
Figure 4. Uplift capacity (S = 100%).
Photo 3. Test with dry material
3.3. Saturated material test Photo 4. Test with saturated material
After the installation of the foundation, water had

been poured into the glass container till the material
was completely saturated.
4. Result analysis From the chart in Figure 5 can be seen that

some of the empirical methods underestimate and
The obtained results for the mobilized uplift other overestimate the uplift capacity, whereas the
capacity, especially the failure surface friction force contemporary numerical methods, in this case the
for all three cases is shown in Table V. FEM give exactly same (real) results.
Knowing the basic equation for the uplift
capacity we can easily determine the participation
percentage of the friction force: 5. Conclusion
Qu WF WS F (1) According the investigation regarding the uplift

capacity we can conclude that most of the empirical
and theoretical methods are quite conservative and
Where WF is the foundation weight, WS is the soil limited, i.e. they give us real results only for certain
weight within in the failure area and F is the friction foundations or certain soil conditions. This is due to
force along the failure surface. the fact that it’s very difficult to calculate the soil
behavior at given conditions or considering that the
Table V. Friction force comparison. tests are made in a small scale and in uniform
Case Case Case homogeneous materials which are rarely met as
Description such. Due to these reasons it’s difficult to establish
I II III
Vertical deformation a relation which will be applicable for all foundation
0.80 2.15 8.80 types and all soil conditions. Based on the obtained
(mm)
Qu (N) 276.7 120 62 results it can be concluded that the density and the
WF (N) 25.9 25.9 25.9 moisture content have great influence on the uplift
WS (N) 22.4 20.0 13.8 capacity.
F (N) 228.4 74.0 22.3 In moist and dry soil environment the vertical
Friction force deformations are small and the failure is
participation percentage 82.5 61.7 36.0 unannounced.
(%) In completely saturated soils the vertical
deformations are big and the failure is announced
From the obtained results it can be concluded (slow).
that the uplift capacity greatly depends of the The apparent (film) cohesion has great influence
moisture content of the soil material. on the uplift capacity.
Regarding the experimental tests, the above For accurate estimation of the uplift capacity,
mentioned results can be compared with theoretical today, contemporary numerical methods are often
and empirical methods. If the test results are used which can realistically simulate the soil
compared to Balla, Vesic and Meyerhof-Adams behavior in any given conditions.
theories for shallow circular foundations in dry sand, The contribution is set to provide an insight
we’ll get the next values, see Figure 5. about the soil behavior (in this case sand) in which
a foundation is subjected to an uplift force. Also that
with the use of contemporary numerical methods
accurate values of the uplift capacity in comparison
with the classical theoretical and empirical methods
are obtained.
References
Balla A. (1961). The Resistance to Breaking-out of

Mushroom Foundations for Pylons, Proceedings
of the 5th International Conference on Soil
Mechanics and Foundation Engineering, Paris
France, Vol. 1, 1961, pp. 569-576.
Meyerhof G.G., Adams J.I. (1968). The ultimate
uplift capacity of foundations. Canadian
Geotechnical Journal, 5(4), 225-244.
Vesic A.S. (1965). Cratering by explosives as an
earth pressure problem, in Proc., VI Int. Conf.
Soil Mech. Found. Eng., Montreal, Canada,
2,1965, 427.
Saeedy H.S. (1987). Stability of circular vertical
Figure 5. Empirical and test (FEM) results earth anchors. Canadian Geotech.J. 24(3): 452.
comparison. PLAXIS – Finite Element Code for Soil and Rock
Analyses.
NUMERICAL INVESTIGATION OF THE LATERAL LOAD RESPONSE OF

PILES IN SOFT CLAY
ETUDE NUMÉRIQUE DE LA RÉPONSE DE PIEUX SOUS CHARGEMENT

LATERAL DANS L’ARGILE MOLLE
Konstantinos TZIVAKOS
National Technical University of Athens (NTUA), Athens, Greece
ABSTRACT - The paper presents a numerical study on the undrained lateral response of a single, free-head,
reinforced concrete pile in soft clays. Soil conditions simulating normally consolidated clays are examined and
the pile-soil interaction under static lateral loading is analyzed. The non-linear p-y curves proposed in
literature for soft clays are imported into suitable software in order to predict the distribution of the horizontal
displacement and bending moment along the pile. The striking differences among these methods require
further investigation via 3D finite element analyses. The determination of the ultimate soil resistance pult from
the results of the finite element analyses aims at providing the estimation of a range of values for the ultimate
soil resistance coefficient Np with depth and the comparison of the derived values to the corresponding ones
proposed by existing methodologies.
1. Introduction 140
120
P-y curves are nowadays a common practice for the
calculation of bending moment and horizontal 100
p (kN/m)
displacement along laterally loaded piles. 80

Numerous methodologies of p-y curves are 60
applicable for different soil types and serve the 40 Matlock (1970)
presence of non-linear, horizontal springs along the DNV (1977)
20 Wu et al. (1998)
pile. Various p-y curves have been proposed for Georgiadis K&M (2010)
clayey soils (Matlock, 1970; Det Norske Veritas, 0
0.000 0.100 0.200 0.300 0.400 0.500
1977; Sullivan et al., 1980; Wu et al., 1998) taking y (m)
into account the undrained shear strength cu and
the characteristic strain at half the maximum Figure 1. Typical p-y curves for soft clay (z=3m).
compressive strength ε50 of the soil, with the ones
of Georgiadis and Georgiadis (2010) being the most The existence of such a variety of p-y curves for
recent. However, only Matlock (1970) and Det a specific soil type leads to the computation of
Norske Veritas (1977) clearly claim that their p-y different deformational values and internal forces
curves are applicable to soft clays. along the pile for each separate case. Therefore, a
Therefore, it is necessary to evaluate the comparison between the p-y curves for soft clays is
aforementioned methodologies and test whether very important. The present study compares the
other unified methods are applicable to soft clays, values of horizontal displacements, bending
namely normally consolidated clays with linear moments and shear forces along the pile,
distribution of the undrained shear strength with computed by the application of different p-y curve
depth. P-y curve formulations mainly consist of formulations.
three parts: the initial small-strain stiffness, the
yielding section of the curve and the ultimate lateral
resistance. The scope of the present paper is the 3. Simulation Parameters
determination of the last part of the p-y curves for
normally consolidated clays. 3.1. Soil conditions
The investigation of the pile response is carried out

2. P-y curves for soft clays for the case of undrained conditions, since this is
considered critical. In this paper, the ultimate lateral
There are various methodologies for the design of soil resistance of soft, normally consolidated clays
laterally loaded piles in cohesive soils using p-y is investigated. The undrained shear strength of
curves. The striking differences between the p-y such clays is considered to increase linearly with
curves computed by different methodologies for soft depth, according to the following Equation:
clays at a specific depth are presented in Figure 1.
cu ( z ) cu 0 A V 'vo ( z ) (1)
For soft to medium-stiff clays, A ranges from 0.15 to the pile, especially for high lateral loads. For
0.35 (Bowles, 1997). In order to simulate natural H=1100kN in Figure 2, the divergence of pile head
states of a soft clay, the present study considered lateral displacements y0 from an average value is
cu0=10kPa at ground surface, A=0.15-0.25, buoyant 40%, whilst the same measurement for the
3
soil unit weight γ’=10 kN/m , ground water table at maximum bending moment along the pile is 50%.
ground surface and coefficient of horizontal Therefore, the ultimate lateral resistance of NC
geostatic stress ko=0.60. Finally, the ratio of the clays is investigated in the following paragraphs.
undrained Young’s modulus to the in situ undrained
shear strength Eu/cu of the present study is taken
into account according to Table 1 (Skempton,
1951).
Table 1. Representative values of Eu/cu for normally

consolidated clays.
Clay Average value
Eu/cu
consistency of cu (kPa)
Soft < 48 50
Medium 48 - 96 100
3.2. Pile lateral loading
The results presented herein for p-y curves in soft

clays are derived from numerical lateral loading
tests of a free-head, reinforced concrete pile with
length L=20m and diameter D=1m. The pile is
loaded with a concentrated lateral load H at its
head, applied in load increments. Structural design
demands the elastic behavior of the pile. Therefore,
the pile is considered elastic with Young’s modulus
Ep=25 GPa and Poisson’s ratio v=0.20.
4. 2D simulation of a single laterally loaded pile
A 2D finite element code developed in NTUA Figure 2. Pile head lateral load-horizontal
Geotechnical Department is utilized in order to displacement (up), horizontal displacement and
acquire y0-H, y-z and M-z graphs (where y0=pile bending moment along the pile (down) for different
head horizontal displacement, H=pile head lateral p-y curves methodologies (A=0.25).
load, y=horizontal displacement, z=soil depth,
M=bending moment) of the laterally loaded pile
described in the previous paragraph. The code 5. Ultimate lateral soil resistance of soft clays
incorporates p-y curves for different soil depths, pile
properties and loading conditions and calculates the The ultimate lateral resistance of clays is quantified
displacement, rotation, bending moment, shear by the non-dimensional coefficient Np (Equation 2).
force and soil lateral pressure along the pile for
each load increment applied. pult
The procedure aims at an initial estimation of the Np (2)
differentiation of the aforementioned results, when cu D
simulating the soft clay with p-y curves proposed by
different methodologies. The p-y curves are derived A variety of methods referring to the ultimate lateral
every 0.5m along the pile for each case of resistance of clays is located in the literature. An
undrained shear strength distribution (A=0.15, attempt is made to group these methods in a single
0.25). A total concentrated lateral load H=3000kN is diagram representative of a soft, NC clay with
applied at the pile head in load increments of undrained shear strength increasing linearly with
100kN. The analysis is terminated when depth. The aforementioned methods are presented
convergence of the solution is judged unlikely. In in Figure 5, depicting the variation of Np for the
order to discern the impact of the p-y curves specific soil type, especially at small depths (z<6D).
differentiation on the displacements and the internal The existence of such a miscellaneous diagram for
forces along the pile, the comparative graphs of the coefficient of ultimate lateral soil resistance Np
Figure 2 are presented. imposes the numerical simulation of the problem. In
It is obvious that different p-y curves order to clarify the typical range of Np for soft clays,
methodologies compute a wide range of 3D finite element analyses are carried out and their
displacements, moments and shear forces along results are presented in the following paragraphs.
6. 3D simulation of a single laterally loaded pile The simulation of the physical problem leads the
surrounding clay to yield up to a specific depth
6.1. The 3D finite element model range. Moreover, the upper part of the pile-soil
interaction (z/D<6) is crucial in static lateral loading.
A 3D finite element model is designed in the Thereafter, the coefficient of ultimate lateral
commercial code ABAQUS in order to simulate the resistance Np remains constant with depth.
single laterally loaded pile. Half the cross-section of
the pile together with the surrounding soil block is 6.2. Parametric investigation of the simulation
simulated for symmetry reasons (Figure 3). Solid, 8- variables
node, full integration elements are used to model
the soft clay, while 3D, 2-node beam elements Two main variables of the problem are studied
simulate the pile. The Drucker-Prager constitutive parametrically. The coefficient of horizontal
model is assigned to the soil elements and total geostatic stress ko and the pile-clay adhesion factor
stress analyses are carried out. The material of the α, which receives values 0÷1 for a smooth or rough
pile is considered elastic. The surface interaction pile-soil interaction respectively. The analyses of
between the pile and the surrounding soil is Table 2 are carried out for this verification.
simulated according to the Mohr-Coulomb friction
law, allowing the formulation of a gap behind the Table 2. 3D FEA of the present study.
pile and relative slippage of the pile against the soil. Analysis cu (kPa) α ko
The calculation of the ultimate lateral soil 1 10+0.15σ’νο 1 0.60
resistance pult through FEA is complicated. Initially, 2 10+0.15σ’νο 1 1.00
the assumption is made that the lateral soil 3 10+0.15σ’νο 0 0.60
pressure p is calculated according to the beam-on- 4 10+0.25σ’νο 1 0.60
elastic foundation solution: 5 10+0.25σ’νο 1 1.00
6 10+0.25σ’νο 0 0.60
d4y dQ
p Ep I p (3) The results of the specific study showed that for
dz 4 dz both undrained shear strength distributions (A=0.15,
0.25) the divergence between the pult values
Furthermore, the ultimate lateral soil resistance
obtained by altering ko is less than 5% for depth to
in the present study is treated as the asymptote of
diameter ratios z/D<8. On the contrary, the
the hyperbolic p-y curve in very large horizontal
adhesion factor α is of significant importance for the
displacements. In order to acquire this ultimate
computation of pult, with the difference of the
value, a transformation of the hyperbolic p-y
specific results ranging between 10-20% for the
equation to an equivalent linear equation is
same z/D ratios.
necessary:
y y 1 1
p o y (4)
1 y p pult k

k pult
Thus, the results of the FEA are depicted in y-y/p

diagrams and via linear regression the ultimate
lateral soil resistance for each depth is determined
(Figure 4).
Figure 4. The effect of the coefficient of horizontal

geostatic stress ko (up) and the pile-soil adhesion
factor α (down) on the calculation of pult at depth
z=1m.
Figure 3. Horizontal displacement contours U1 (m)
of the laterally loaded pile of the 3D FEA.
6.3. Estimation of the ultimate lateral soft clay 7. Conclusions

resistance coefficient Np
A thorough study has been carried out on the
The coefficient of ultimate lateral soil resistance Np ultimate lateral resistance pult of soft, NC clays
that resulted from the 3D finite element analyses is under undrained loading conditions. The existing
presented in the same graph with the corresponding methodologies seem to underestimate the actual
proposals of the existing methodologies for lateral resistance of such soils. Three-dimensional
comparative reasons (Figure 5). finite element analyses in the comercial code
ABAQUS demonstrate closer association of the
0 2 4 6
Np 8 10 12 14 16
caclulated ultimate lateral soft clay resistance to the
0 proposals of Stevens-Audibert (1979) and the upper
bound of Murff-Hamilton (1993), Randolph-Houlsby
2
(1984) and Georgiadis and Georgiadis (2010) for
soil depth less than 4 pile diameters. Ultimate soil
resistance values acquired for greater depth are
4 higher than almost all the existing methodologies.
z/D
The coefficient of ultimate lateral soil resistance for

6 the latter case is calculated Np=11÷12 and
Np=13÷14 for a smooth and rough pile-soil
interaction respectively.
8
10 8. References
ABAQUS (α=0) ABAQUS (α=1)
Broms Hansen
Matlock (J=0.5) Matlock (J=0.25) Bowles J.E. (1997). Foundation analysis and design
DNV Randolph-Houlsby (α=0) th
Randolph-Houlsby (α=1) Murff-Hamilton (MIN) (5 Edition). McGraw-Hill Companies, Inc.
Murff-Hamilton (MAX) Sullivan et al. Det Norske Veritas (1977). Rules for the design
Stevens-Audibert (MIN) Stevens-Audibert (MAX)
Georgiadis K&M (α=0) Georgiadis K&M (α=1) construction and inspection of offshore
Wu et al. (MIN) Wu et al. (MAX) structures. Appendix F: Foundations (Reprint
0 2 4 6 Np 8 10 12 14 16 with corrections, 1980).
0
Georgiadis K., Georgiadis M. (2010). Undrained
lateral pile response in sloping ground. Journal
2 of Geotechnical and Geoenvironmental
Engineering, ASCE, vol. 136 (11): pp. 1489–500.
4 Matlock H. (1970). Correlations for design of
laterally loaded piles in soft clay. Proceedings,
z/D
2nd Offshore Technology Conference. pp. 577–

6
94. Houston, Texas [OTC 1204].
Murff J.D., Hamilton J.M. (1993). P-Ultimate for
8 undrained analysis of laterally loaded piles.
Journal of Geotechnical and Geoenvironmental
10 Engineering, ASCE, vol. 119 (1): pp. 91–107.
Randolph M.F., Houlsby G.T. (1984). The limiting
Figure 5. Np from existing methodologies and 3D pressure on a circular pile loaded laterally in
o
FEA for NC clay A=0.15 (up) and A=0.25 (down). cohesive soil. Geotechnique, vol. 34 n 4, pp.
613–23.
It is clearly distinguished that the calculated Np Simulia ABAQUS 6.10 Documentation.
values are higher than almost every other existing Skempton A.W. (1951). The bearing capacity of
methodology. Both the ultimate lateral soil clays. Proceedings, Building Research
resistance for pile-clay adhesion α=0 as for α=1 Congress, Division 1, London, England.
receive a Np value between 3÷4.5 at ground level. Stevens J.B., Audibert J.M.E. (1979) Re-
For depth to diameter ratios z/D>4, a stabilization of examination of p–y curves formulations.
th
Np occurs. For α=0, Np=11÷12 for z/D>4, while for Proceedings, 11 Offshore Technology
α=1 the corresponding value is Np=13÷14. The Conference, vol. 1: pp. 397–401. Houston,
values of Np in the midrange are closer to the ones Texas [OTC 3402].
proposed by Stevens-Audibert (1979) or the upper Sullivan W.R, Reese L.C., Fenske P.E. (1980).
bound of Murff-Hamilton (1993), Randolph-Houlsby Unified method for analysis of laterally loaded
(1984) and Georgiadis and Georgiadis (2010), i.e. piles in clay. Numerical methods in offshore
for α=1. Attention needs to be drawn to the piling, pp. 135-146, London, UK.
assumption of the present study for the ultimate Wu D., Broms B.B., Choa V. (1998). Design of
lateral soil resistance; pult is considered the soil laterally loaded piles in cohesive soils using p-y
o
pressure value of the asymptote of the p-y curve at curves. Soils and Foundations, vol. 38 n 2, pp.
high lateral displacements of the soil. 17-26, Japanese Geotechnical Society.
REVIEW PERTAINING TO THE DETERMINATION OF KEY SOIL

PARAMETERS FOR WIND TURBINE DESIGN IN SOUTH AFRICA
REVUE RELATIVE A LA DETERMINATION DES PARAMETRES DU SOL POUR
LE DIMENSIONNEMENT DES TURBINES EOLIENNES EN AFRIQUE DU SUD
Charles WARREN-CODRINGTON and Denis KALUMBA
University of Cape Town, Cape Town, South Africa
ABSTRACT – The design of wind turbine foundations presents a complex challenge for foundation
engineers, especially the determination of the dynamic soil properties. This is a challenge which depends on
site-specific geological characteristics. This paper provides insight into this problem with focus on geological
conditions prevalent to the western coast of South Africa, a region set for wind turbine development. In doing
so, this paper seeks to emphasise the importance of site-specific wind turbine foundation design. In order to
achieve this, a brief introduction to wind turbine loading and structural response is given. This provides a
theoretical backdrop against which the determination of dynamic soil parameters is discussed. This
discussion is centred on aspects relating to the determination of the dynamic shear modulus for soils in the
linear-elastic range, with focus on pedocrete deposits along the west coast of South Africa.
1. Introduction combined, make the South African coastal regions

highly suitable to wind farm development
1.1. Background (Szewczuk & Prinsloo, 2010). In acknowledging
this potential, this study addresses one of the most
Two major themes underpin any discussion on fundamental issues facing wind turbine
energy in South Africa. The first relates to the fact construction in South Africa – founding the
that over a quarter of the population lack access to structures cost efficiently and safely, given South
electricity, as well as other basic services such as Africa’s complex geological conditions.
water, sanitation, housing and transport. The
second is the country’s simultaneous dependency 1.2. Outline of present work
on fossil fuels for electricity production. This
dependency is engrained in the country’s energy The review of literature is concerned with the
culture, as Duguay (2011) described it. The term design of foundations for onshore wind turbines
energy culture encompasses not only the fact that operating under geological conditions prevalent in
South Africa relies on coal for over 90% (Edkins et South Africa. The foundation, or substructure, is
al, 2010) of its electricity supply due to is vast coal that part of an engineered system that transfers to,
reserves and the necessary resources to extract it, the underlying soil or rock, any loads emanating
but also alludes to the fact that the fossil fuel from the supported structure. The understanding of
industry supplies thousands of jobs as well as the the soil-structure interface is dependent on the
stable supply base upon which South Africa’s steel, respective geology, and hence is site specific.
automotive and mining industries have been In particular, this discussion focus on the
founded. South Africa faces the challenge of determination of dynamic soil parameters required
addressing these socio-economic issues with the for the efficient design of wind turbine foundations,
added pressure of growing environmental and namely the dynamic shear modulus and damping
natural resource constraints. coefficient. In doing so, it presents an overview of
Wind energy has been placed at the centre of wind turbine structures, as well as key concepts
the South African government’s Renewable Energy relating to their mechanical and dynamic behaviour.
Independent Power Provider (REIPP) programme This leads to an analysis of the behaviour of weak
with much controversy, mainly with respect to rocks and soils, with focus of pedocrete deposits
environmental concerns. However, debating the along the South African west coast. Given the
implementation of wind energy in South Africa falls nature of the loading and the relevant material
outside of the scope of this discussion. Instead, this behaviour, as well as certain economic aspects, the
review of literature acknowledges South Africa’s determination of material parameters is
potential for wind energy development on two subsequently discussed.
grounds. The first is with regard to the country’s
need to diversify its energy mix. The second is
based on the country’s topographical and
meteorological characteristics which, when
2. Wind turbine structures concerning loading, 2.3. Design of foundations for vibrations
mechanics and dynamics
Historically, the control of vibrations was often done
2.1. Overview wind turbine structures on the basis of increasing the mass of the
foundation and/or increasing the stiffness of the
Wind turbines are used to generate electricity by underlying soils through the use of pile foundations.
harnessing the kinetic energy of wind, through the These procedures were deemed effective, but often
rotation of rotor blades, which in turn drive a resulted in significant over-design (Bowles, 1996).
generator (Burton et al 2008). Throughout the 20th Vibration analyses - based on the theory of a
century, three fundamental philosophies concening surface load on an elastic half-space, is presented
the design of wind turbines emerged. These below with the aim of introducing the key
essentially related to the way wind turbines resisted geotechnical parameters, required to design a
operational loads, and included, (1) withstanding foundation subjected to vibration.
loads, (2) shedding or avoiding loads and (3) Figure 1 illustrates a model of a foundation
resisting loads mechanically. These processes are subjected to forced vibration under the harmonic
fundamental to the structural response of wind loading, .
turbines and their foundations and hence a brief
introduction is given below.
2.2 Nature and types of loading
The term load refers to forces or moments that may

act upon the turbine. These loadings dictate the
turbine’s structural requirements and essentially

dictate the loading requiring resistance by the
foundation system. The loading types can be
divided into the following five categories, including;
(1) steady (including static loads), (2) cyclic, (3)
transient (including impulsive loads), (4) stochastic
and (5) resonance-induced. The source of these
loads is illustrated by table 1.
Figure 1: Response to time-varying force
Table 1: Types and sources of loads
Load Source For a system subjected to harmonic loading,
Mean wind , the displacement is governed by the
Steady loads following differential equation (1):
Gravity
Wind shear
Yaw error
(1)
Cyclic loads
Yaw motion
Gravity Where the mass of the system is , is the
damping coefficient, the stiffness and is the
Stochastic loads Turbulence
displacement. It can be shown that the maximum
Gusts
displacement of the foundation is given by:
Start-up
Transient loads Shut-down
Pitch motion (2)
Teeter
Resonance-induced loads Structural excitation
Equation (2) can be simplified, using the definition
of the damping ratio, , and natural frequency, ,
From table 1, it is apparent that wind turbines, by from structural dynamics, to give equation (3):
their very nature, are subjected to a great number
of cyclic loads. This makes the considerations of
fatigue – a material’s increasing inability to (3)
withstand multiple stress applications –
fundamental to any wind turbine foundation design
(Manwell et al, 2007). Although cyclic loading has
been shown to improve the stiffness of specific Equation (3) illustrates an integral point to the
soils (Kim et al, 1992) accounting for it is still design of foundations for wind turbines, namely, the
imperative in wind turbine design, given the displacement of a foundation subjected to a time-
sensitivity of the structures and array of loads (DNV varying load is dependent on two material
Riso Laboratory, 2002) as fatigue effects are parameters: the soil-spring constant, , and the
generally detrimental to soil stiffness. damping ratio, .
3. The behaviour of soil and weak rock – factors result of low overburden pressures. This
affecting stiffness characteristic has been shown to occur along the
western coast of south Africa, where the influence
The soil-spring constant, , is principally of onshore winds has deposited loose sands (Brink,
dependent on the Poisson’s ratio, , and the 1985). Also, the development of pedocretes
dynamic shear modulus, (Hoadley, 1984). involves clays and silts becoming flocculated into
Assessing the stiffness of the soil is an intuitive larger gravel-sized particles of varying plasticity,
process whereby the engineer is required to strength and porosity (Brink, 1985). “Pedocrete” is
anticipate the level of shear strain to which the soil a term given to a family of materials, including
will be subjected as a result of the structural calcretes, laterites ad ferricretes, as well as
loading. In terms of wind turbines, this level of silcretes. Pedocretes consist of two materials – the
shear strain is approximated to be % (DNV original or parent material and the authigenic or
Riso Laboratory, 2002) which corresponds to the cementing material (Brink, 1985). Pedocretes are
soil acting as a typically linear-elastic material not sedimentary rocks, but materials which have
(Mitchell & Soga, 2005). This relationship is formed from the weathering of parent materials,
illustrated by figure 2. Based on this relationship, cementation and/or replacement. For this reason,
this discussion focuses primarily on determining the pedocretes are incredibly non-homogenous and
dynamic shear modulus, . hence present highly variable soil stiffness-
properties.
Lastly, the behaviour of de-structured material is
significantly different to that of structured material.
Therefore, sampling, disturbance and loading all
influence the stiffness characteristics of a material
(Clayton, 1999).
Therefore, care must be taken when sampling
these materials, as inappropriate sampling and
excessive disturbance may yield misleading
stiffness parameters.
3.2. Non-homogeneity and anisotropy
Depositional environments yield highly non-

homogeneous materials due to a wide range of
biologically, chemically and physically driven
Figure 2: Shear modulus and damping ratio as a processes. It is therefore critical that one does not
function of shear strain (Karl, 2005) extrapolate the results of a small number of data
points to be representative of an area. This is
However, several other factors come into play especially true for wind turbine structures along the
when assessing the stiffness of the soil, including, western coast of South Africa, where pedocrete
but not limited to (1) bonding and structure, (2) material has been encountered on a frequent basis.
fissuring or jointing, (3) non-homogeneity and The effects and considerations of anisotropy
anisotropy, (4) non-linear stress-strain behaviour and non-homogeneity of soils is critical for the
and (5) creep. assessment of pedocrete stiffness. Layers often
The analysis of pedocretes – inherently highly emerge during pedocrete formation. Although these
variable materials – prevalent along the west coast layers can often be described as consistent, the
of South Africa emphasises the importance of two consistency of soils between the layers is highly
of these factors, discussed below. variable. Material ranges from rock like consistency
(hardpans) to clay. Hence, the distribution of
3.1. Specific considerations pertaining to stresses throughout the media is highly anisotropic
bonding and structure in soils and weak rocks and therefore the stiffness of such material will not
of South Africa be isotropic but rather vary considerably in different
directions (Brink, 1985).
The bonding of materials, or the development of
structure is well documented and understood
(Clayton, 1999; Heymann & Clayton, 2001; Mitchell 4. Measurement of soil properties for the design
& Soga, 2005) and influences the engineering of wind turbine foundations
properties of the respective soil for a number of
reasons. Given the above-mentioned material characteristics
Firstly, stiffness and strength are greater for the methods for determining soil stiffness
bonded materials due to increase particle contact parameters needs to be chosen carefully. Also,
and inter-locking. South Africa lacks the facilities and expertise to
Also, critically, the early development of structure carry out much of the conventional laboratory
has been shown to preserve high void ratios as a testing, such as the resonant column test.
Geophysical testing methods have come to the fore 6. References

in recent years. These methods are used to
determine the shear wave velocity which induces Bowles, J. E. (1996). Foundation analysis and
distortion without volumetric strain in a material, design (5th ed.). Peoria, Illinois: McGraw-Hill
and hence is related to the shear modulus of the Companies, Inc.
soil by equation (4): Brink, A. B. A. (1985). Pedocretes. Engineering
Geology of South Africa (1st ed., pp. 286–312).
(4) Pretoria: Building Publications, Pretoria.
Burton, T., Sharpe, D., Jenkins, N., & Bossanyi, E.
where is the shear modulus, is the shear wave (2008). Wind energy handbook. Chichester:
velocity and is the bulk density. can be related John Wiley & Sons.
to the Young’s modulus by the following Clayton, C. R. I. (1999). Assessing the stiffness of
relationship: soils and weak rocks. In G. R. Wardle, G. E.
Blight, & A. B. Fourie (Eds.), Geotechnics for
(5) Developing Africa (pp. 303–315). Rotterdam: A.
A. Balkema.
Geophysical testing imposes a very low level of DNV Riso Laboratory. (2002). Guidelines for design
strain on the respective material – between of wind turbines. Copenhagen.
and %. This means that the shear wave Duguay, P. M. (2011). Wind power to the people:
velocity will travel at a speed which is a function of overcoming legal, policy and social barriers to
the very small shear strain modulus, (Clayton, wind energy development in South Africa. The
1999). The advantages of seismic testing methods Journal of World Energy Law & Business, 4(1),
align well with the characteristics of pedocretes. 1–31.
Firstly, the soil or rock is tested in-situ, Edkins, M., Marquard, A., & Winkler, H. (2010).
minimising disturbances and maximising the South Africa’s renewable energy policy
volume of soil tested. roadmaps. Energy (pp. 1–28). Cape Town.
Secondly, the volume tested is large enough to Heymann, G., & Clayton, C. R. I. (2001). Stiffness
take into account mass stiffness and to account for of geomaterials at very small strains.
discontinuities in pedocretes such as different Geotechnique, 51(3), 245–255.
layers and compositions of materials. Hoadley, P. J. (1984). Measurement of dynamic
Also, seismic testing is effective in determining soil properties. In P. J. Moore (Ed.), Analysis
high levels of anisotropy (Clayton, 1999). and Design of Foundations for Vibrations.
For these reasons, along with their relatively low Rotterdam: A. A. Balkema.
costs, seismic surface tests and borehole methods Karl, L. (2005). Dynamic soil properties out of
are deemed highly suited to this region. SCPT and bender element tests with emphasis
on material damping. Ghent University.
Kim, D. S., Stokoe, K. H., & Hudson, W. R. (1992).
5. Conclusion Deformational characteristics of soils at small to
intermediate strains from cyclic Tests. Austin,
This review of literature has assessed the issues of Texas.
site-specific wind turbine foundation design in Manwell, J. F., Elkinton, C. N., Rogers, a. L., &
South Africa. In doing so, an overview of the wind McGowan, J. G. (2007). Review of design
turbine structural loading, mechanics and dynamics conditions applicable to offshore wind energy
has been given, which formed a backdrop to the systems in the United States. Renewable and
principle problem – determining the required soil Sustainable Energy Reviews, 11(2), 210–234.
parameters for the design of foundations for Mitchell, J. K., & Soga, K. (2005). Fundamentals of
vibrations. This problem was addressed with soil behaviour (3rd ed.). New Jersey: John Wiley
special focus on pedocretes which are prevalent & Sons.
along the western coast of South Africa - an area Szewczuk, S., & Prinsloo, E. (2010). Wind Atlas for
set for wind farm development. It was concluded South Africa ( WASA ): project overview and
that, given the highly variable properties of these current status. Science Real and Relevant
soils that cover much of the western portion of Conference. Pretoria: CSIR.
Southern Africa, seismic surface methods for
assessing soil stiffness are the most suitable based
on their un-obtrusive processes as well the
possibility of testing a high volume of material
easily, thus reducing the need to extrapolate results
across a large area typical of those required for
wind farms.
Hence, this review has provided a theoretical
backbone against which a broader study into the
design of wind turbine foundations in South Africa
is to be conducted.
Modelling
BACK-ANALYSIS OF A CASE HISTORY USING FINITE ELEMENT

METHOD: THE KANSAI INTERNATIONAL AIRPORT, JAPAN
RETRO-ANALYSE D'UN CAS HISTORIQUE UTILISANT LA MÉTHODE DES
ÉLÉMENTS FINIS: L'AÉROPORT INTERNATIONAL DE KANSAI, JAPON
1 1
Marco D'IGNAZIO , Tim LÄNSIVAARA
1
Tampere University of Technology, Tampere, Finland
ABSTRACT - The construction of large embankments on soft clays involves uncertainties regarding
parameters determination, consolidation analysis, settlement prediction and creep effects in normally
consolidated soils. The present paper investigates the settlement occurred during the construction of the
second artificial island of Kansai International Airport in Osaka bay. The vertical displacement estimated
before the construction was lower than the one measured due to unexpected excessive creep deformations.
A thorough back-analysis was performed using PLAXIS 2D. The back-analyzed results for the seawall
showed a very good match with the real settlement data at t=800 days. Finally, the long-term settlement has
been investigated. The obtained value seems comparable with the one predicted by Akai and Tanaka
(2005). Uncertainties might be due either to the additional loading given by the airport superstructure or to a
refill of the constructed layers added in order to compensate for the excessive settlement that occurred.
1. Introduction
with drain installation. The discrepancy at t > 650
This paper describes a case study that evaluates, days can be attributed to consolidation settlement
using FE analysis, the settlement occurred during of Pleistocene clay, which was not considered in
the seawall construction of the second artificial the calculation. Furthermore, underestimation of
island of Kansai International Airport, more than 5 creep effects led to an underprediction the
km off the coast of Osaka bay. Due to settlement.
inexperience of engineers with building on the soft A finite element consolidation analysis with
seabed, many problems occurred with settlement PLAXIS 2D (version 2010) was run to evaluate
both during and after construction. The airport the vertical displacement under the seawall at
was built on Holocene soft marine clay, which t>650 days and t=800 days in order to compare
covers the seabed in the area, and lower the results with the settlement plate data in Fig. 2.
Pleistocene sands and clays (Fig. 1). The “Hardening soil” model has been chosen to
The soft Holocene clay deposit was improved reproduce the fill material and the Pleistocene
down to its bottom by sand drains with 40 cm sand, while the “Soft Soil Creep” model is used to
diameter. Drain patterns were 1,6 m x 2,5 m just describe the behavior of the Holocene and
beneath the seawall and 2,5 m x 2,5 m in the Pleistocene clays.
reclamation area. In order to avoid failure during The results of the analysis are reported and
construction, multi-stage construction technique commented in section 4.
was adopted. Fig. 2 presents the measured and
the calculated settlement curves. There are two
discrepancies between the calculated and the real 2. Geometry
values of settlement: the first in the beginning,
while the second one after t > 650 days. The first The geometry has been set as shown in Fig. 3,
one may be caused by the disturbance associated including a Pleistocene clay layer of 50 m
(Watabe et al, 2002).
Vertical drains patterns in the Holocene clay: 1,6
m x 2,5 m (from x=61 m until x=173,5 m) and 2,5
m x 2,5 m (from x=173.5 m until x=386 m)
The elevation of sea water level is set at y=43 m
from the bottom of the Holocene clay.
From Fig. 2, it is possible to evaluate, accurately
enough, the duration of each construction stage
Fig. 1: Cross section on the seawall for the until 800 days.
second island of KIA (Suzuki and Yashuara 2007)
Cs
N* (2)
ln10 (1 e0 )
Table I. Input parameters for fill material and

concrete seawall
Fig. 2: Measured settlement during construction

stages
Fig. 3: Input geometry
3 Materials and models

Fig. 4: Example of e-logV’v curve (Suzuki and
3.1 Fill material and concrete seawall
Yashuara, 2007)
The “Hardening soil” model is used to represent
ref k* values can be calculated according to eq. (2),
the behavior of the fill material. E50 has been
ref ref using Cc1 as swelling index.
calculated as follows: E50 = m*p where “m”
ref In order to evaluate O*, Cc2 is used as
represents the modulus number and p = 100
ref ref ref compression index in equation (1). Using Cc3 as
kPa. Eoed is assumed equal to E50 , and Eur ,
compression index may lead to a severe
according to PLAXIS’s default settings, is
ref underestimation of the deformations, since it
calculated as 3 times the Eoed .
refers to the intrinsic compression line of
For well compacted sands (friction angle >=35°),
reconstituted soils when all the structure has been
m = 300…600 (Tiehallinto, 2001). Since the
removed.
assumed values of friction angle for the fill
Some considerations are needed in order to
material in the range 30-35° (Watabe et al, 2002)
seem to the authors very conservative, average estimate P*. According to Janbu (1998):
values of m=350 for I’=30° and m=450 for I’=35°
are used for the determination of the hardening CD m 1
(3)
parameters. For the concrete, a “Linear-Elastic” CC rs B
model and reasonable parameters are assumed
based on author’s experience. where CD represents the creep index, Cc the
compression index, m the modulus number and rs
3.2 Holocene Clay the creep number. From PLAXIS manual
P*=O*/30, where 30 = B. From Puzrin et al (2010),
Holocene clay is divided into 7 sub layers. Data CD/Cc = 0,057 for Osaka-Bay clay.
for the Holocene clay are reported by Suzuki and According to Terzaghi’s one-dimensional theory of
Yashuara (2007) and Watabe et al. (2002). consolidation, the vertical permeability can be
As shown in figure 4, the approximation of the e- estimated from the vertical consolidation
logV'v curve needs three values of compression coefficient. Since cv = kvEoed/Jw and Eoed
index, Cc1, Cc2 and Cc3 (Suzuki and Yashuara, =2,3(1+e0)V’v/Cc, then kv values are obtained for
2007). Cc1 represents a swelling index. By each layer of Holocene clay (Table II), while the
definition: horizontal permeability has been evaluated as
kh/kv = 2, due to the anisotropy of the deposit.
Cc The value of the friction angle comes from the
O* (1)
ln 10 (1 e0 ) relationship between plasticity index and sinI’
given by Bjerrum and Simons (1960).
Table II. Determination of permeability of Where n=D/d and d=diameter of sand drain,
Holocene clay (data from Suzuki and Yashuara, D=diameter of the unit cell, evaluated as D=1,13S
2007) (square grid) where S = spacing. H is the length of
the drainage path, kv the vertical permeability of
the soil (calculated as average of the k values
given in Tab. II) and kh is the horizontal
permeability of the natural soil (k h/kv=2).
For drain pattern 1,6x2,5 m, the calculated k v
value is 0,155 m/d, while a value of 0,036 m/d is
obtained for the drain pattern 2,5 x 2,5 m.
From figure 5 it is possible to estimate a value of 3.3 Pleistocene clay

IP = 60 until 14 m below the ground level, and IP
= 45 from 14 m until 21 m of depth. This leads to The Pleistocene clay layer is divided into five sub-
values of friction angle of about 23° (IP=60) and layers of 10 m each. Due to lack of
24° (IP=45). compressibility data a model suggested by Janbu
(1998) is used. According to Janbu the modulus
number of the soil can be calculated as m =
700/w, withO*=1/m, N*=O*/8, P*=1/rs, where w
represents the natural water content and rs the
creep number. According to eq.3 and to Puzrin et
al.(2010), P*=O*/17,54.
Water content values and other parameters are
chosen according to Watabe et al. (2002).
Furthermore, for IP=60, I’=23. The assumed
Fig.5: Subsoil profile of Osaka-Bay clay (Suzuki
permeability is the average of k v of Holocene clay.
and Yashuara, 2007)
In addition, the change in permeability is ruled by
the parameter ck, calculated as ck=0,5e0 for soft
Table III. Input parameters for Holocene clay
clays (Leroueil et. al, 1985).
Table IV. Input parameters for Pleistocene clay
Due to difficulties in generating the mesh because

of the presence of vertical drains, an equivalent
vertical permeability has been calculated and
given to the involved soil mass in order to properly A very fine coarseness has been set in order to
predict the consolidation process. generate the mesh (Fig. 6). Since the problem
According to CUR publication 191 of the Dutch involves large deformations, the calculation has
Centre for Civil Engineering Research and Codes, been run using the “Updated mesh” option. A
one can model the equivalent vertical permeability “gravity loading” option has been selected for the
of a 3D drain field as: initial phase.
32 H 2
k' v kv kh (4)
S PD 2
n2 ª 3 1 § 1 ·º
P «ln(n) 2 ¨1 2 ¸» (5)
n 2 1 ¬ 4 n © 4n ¹ ¼
Fig.6: Finite element analysis mesh
4. Results displacement has been overcome through a

thorough study on parameters and creep data.
The settlement curve obtained by updating the
mesh (Fig. 7) seems to match the measured
settlement curve of Fig. 2 very well,
overestimating only slightly the displacement
(~3%). The analysis has been run changing the
coarseness of the mesh and the problem does not
show any mesh dependency.
Fig. 8 shows how the vertical settlement occurs
predominantly in the Holocene clay.
Fig.9: Long-term settlement
Although the model gave undoubtedly good

results, further investigations are recommended:
1.) Acquisition of data on soil permeability and
oedometer tests data for the Pleistocene clay.
2.) Data regarding airport superstructure loads
and refill of constructed layers.
3.) Modeling of sand drains and disturbance
effects in the Holocene soft clay.
Fig.7: Vertical displacement 4.) Consolidation analysis with PLAXIS using the
“updated water pressures” option and use of
advanced soil models that account for creep.
6. References
Bjerrum, L., and Simons, N. E. (1960).

Comparison of shear strength characteristics
of normally consolidated clays. Proc.,
Fig.8: Vertical strain distribution
Research Conf. on Shear Strength of Cohesive
Soils, ASCE, New York, 711–726.
A further effort has been made in order to
CUR Publication 191. CUR Dutch Centre of Civil
evaluate the magnitude of the long-term
Engineering Researche and Codes.
settlement. A latest prediction of the 50 years
Janbu N. (1998). Sediment deformations, Bulletin
settlement (Akai and Tanaka, 2005) is 14,3 m. As
n. 35, Institutt for Geoteknikk, NTNU,
Fig. 9 shows, the prediction given by the model is
Trondheim.
about 13,7 m. Such a slight discrepancy is
Leroueil S., Magnan J.P., Tavenas F. (1985).
probably due to the fact that in the calculation the
Remblais sur argiles molles. Technique et
airport superstructure, as well as the refill of the
Documentation – Lavoisier, Paris, 342 pages.
constructed layers has been neglected, besides
Puzrin A.M., Alonso E.E. and Pinyol N.M. (2010)
the uncertainties in the determination of
Geomechanics of failures, Chapter 2, Springer
parameters and in the geometry of the model.
Science+Business Media B.V. 2010
According to the analysis, excess pore pressures
Suzuki K. and Yasuhara K.(2007). Increase in
dissipate almost completely (<1 kPa), from a
undrained shear strength of clay with respect
maximum value of 400 kPa, in about 181 years.
to rate of consolidation., Soils and foundation
47(2), 303-318.
5. Conclusions Tiehallinto (2001). Teiden pohjarakenteiden
suunnitteluperusteet. Design manual by
According to the analysis, the model described in Finnish Road Authority
the present paper seems to represent quite well Watabe Y., Tsuchida T. and Adachi K. (2002).
the real soil conditions in Osaka bay. Undrained Shear strength of Pleistocene Clay
The measured settlement curve has been very in Osaka Bay, Journal of Geotechnical and
well reproduced and the discrepancy between the Geoenvironmental engineering, 128 (3), 216-
calculated and the measured vertical 226
ADVANCED NUMERICAL MODELLING OF A COMPLEX DEEP

EXCAVATION CASE HISTORY IN SHANGHAI
MODÉLISATION NUMÉRIQUE AVANCÉE D'UN CAS HISTORIQUE
D'EXCAVATION PROFONDE ET COMPLEXE À SHANGAI
1 1 1 2
Yuepeng DONG , Harvey BURD , Guy HOULSBY , Yongmao HOU
1
University of Oxford, Oxford, UK
2
Shanghai Tunnel Engineering Co. LTD, Shanghai, China
ABSTRACT - The construction of the North Square Shopping Center of the Shanghai South Railway Station
is a large scale complex top-down deep excavation project. The excavation is adjacent to several current
and newly planned Metro lines, and influenced by a neighboring Exchange Station excavation. The highly
irregular geometry of this excavation greatly increases the complexity in 3D FEM modelling. The advanced
numerical modelling described in this paper includes detailed structural and geotechnical behavior.
Important features are considered in the analysis, e.g. i) the small-strain stiffness of the soil, ii) the
construction joints in the diaphragm wall, iii) the shrinkage in the concrete floor slabs and beams, iv) the
complex construction sequences, and v) the shape effect of the deep excavation. The numerical results
agree well with the field data, and some valuable conclusions are generated.
1. Introduction
Deep excavation is a very complex soil-structure 2. Case history description

interaction problem. Its mechanism, however, could
be studied by FEM analysis which is efficient to 2.1. General description
simulate detailed structures and complex
construction sequences. The North Square Shopping Centre, as shown in
A number of case histories have been reported, Figure 1, is part of the Shanghai South Railway
but detailed FEM analyses of those cases are Station project. The excavation is12.5m deep, and
2
rarely seen. Several researchers (Hashash & covers an area of around 40,000m . The main
Whittle, 1996; Hsieh et al., 2010; Ou et al., 1996; structure has two basement levels, with a pile-raft
Whittle et al., 1993; Zdravkovic et al., 2005) have foundation. Three current or new Metro Lines are
conducted simplified 2D or 3D analyses, and close to the excavation, which requires a high
shown useful results. However, some important standard of construction.
features are not included in their analyses.
Advanced numerical analyses should consider
accurate model for structural and geotechnical
behaviour, e.g. i) detailed structures; ii) correct
C
construction sequence; iii) reliable material models B
and input parameters.
The excavation of North Square Shopping
Centre of Shanghai South Railway Station is a
large scale deep excavation project using top-down
construction method, built in 2005 (Hou et al.,
2009; Xu, 2007). It has several distinctive features:
i) close to adjacent infrastructure, ii) irregular
geometry, iii) large openings in floor slabs, iv)
complex construction sequence, v) affected by the Figure 1. The North Square excavation and
neighbouring excavation. It is, therefore, an ideal instrumentation (plan view)
case history to investigate those features. The
excavation was carefully monitored during the 2.2. Soil properties
construction process, with well documented field
The site is underlain by typical Shanghai alluvial
date which can be used for calibration of the
numerical analyses. soft clay, normally consolidated, with high
A 3D FEM model was created in ABAQUS to compressibility and low strength. The geological
investigate the excavation behaviour. The profile and soil properties from the site investigation
numerical result is compared with the field data, report are shown in Figure 2. Further data are
collected from publications for numerical analysis.
and some valuable conclusions are generated.
3
Jt (kN/m ) wn,wl,wp (%) e Cc Su (kPa) c (kPa) I
2
Table 1. Construction sequence
Soil layers 16 18 20 20 40 60 0.5 1.0 1.5 0.5 1.0 0 40 80 0 20 40 0 20 40
0
ĸķ
Stage Description
ĸ
Ĺ
10
1 Excavate to -3.75m;
ĺ
Ļ
2 Install diaphragm walls and piles;
20
3 Excavate the adjacent interchange
Depth (m)
Ļ
Ļ
30
Ļ station to the bottom (-12.10m) and
Ľ wn
40
wl
install steel struts;
Ľ
50
wp 4 Cast the roof slab at -3.0m and then
Note: Jt˙unit weight, wn=water content, wp=plastic limit, wl=liquid limit, e excavate to -7.50m;
˙void ratio, cc˙compressive index, su˙field vane shear strength,
c=cohesive strength, φ=internal friction angle.
5 excavate to -10.00m;
6 Cast the first floor slab at -8.45m and
Figure 2. Geotechnical profile and soil properties then excavate to -13.00m;
7 Excavate to the bottom at -14.70m and
2.3. Retaining system
cast the bottom slab.
The retaining structure of the excavation in cross
section A-A (see Figure 1) is shown in Figure 3. It 2.5. Instrumentations
has two levels of floor slabs, with a slope on the top
level. The diaphragm wall is 0.8m thick, 28m deep. The excavation was carefully monitored during the
The steel lattice columns are embedded into the construction to understand its performance and
bored piles (ø700mm). The length of the column- make sure its safety. The items measured, as
pile is 54m. After the final stage of excavation, a shown in Figure 1, include the wall deflection, soil
concrete bottom slab (1m thick) is cast in place. lateral movement outside the excavation, the
vertical displacement at the top of the wall, and
vertical displacement of the piles. The field data
was initially collected and analysed by Xu (2007).
3. FEM model description and input parameters
3.1. FEM model description
A 3D FEM model was created using ABAQUS to

investigate the performance of this large scale
complex deep excavation. The model considers the
detailed retaining structures (diaphragm wall, piles,
Figure 3. Sectional view of the excavation columns, beams, floor slabs), adjacent Exchange
Station excavations, zoned excavation, berms, slop
The concrete floor slabs are supported by and opening accesses in the floor slabs, and the
concrete beams, as shown in Figure 4. Large construction joints in the diaphragm wall.
openings are designed in the floor slabs to transfer The mesh of the model is shown in Figure 5.
the excavated soils and improve the lighting and The soil is represented by 8-noded hexahedral
ventilation conditions. This, however, also weakens elements with reduced integration (C3D8R), due to
the stiffness of the supporting system. the large size of the model. Four vertical sides are
roller boundaries. The bottom is fixed.
1000 m
500m
Figure 4. Plan views of the top floor slab
2.4. Construction sequence

Figure 5. Mesh of the whole model (plan view)
The construction sequence of the excavation is
The diaphragm wall, as shown in Figure 6, is
described in Table 1, which is followed closely by
modelled with 8-noded hexahedral element with
the numerical analysis.
reduced integration (C3D8R), with 2 layers of 3.2.2. The diaphragm wall

elements along the thickness.
The diaphragm wall is modelled as an anisotropic
elastic material to consider the construction joints
between wall panels. The elastic stiffness value is
adopted as the design value for concrete,
E=30GPa, v=0.2. The anisotropic stiffness ratio
Eout/Ein=0.1 is used based on the previous back
analysis of some deep excavation case histories.
Figure 6. Mesh of the retaining wall
3.2.3. The beams and floor slabs
Details of the supporting system are shown in
Figure 7. The floor slabs are modelled with 4-noded The concrete beams and slabs are modelled as
shell elements (S4). The beams and piles are linear elastic materials and include the thermal
modelled with 2-noded beam elements (B31). effect to consider the concrete shrinkage during the
curing process, E=30GPa, v=0.2, ȽൌͳͲǦͷ/ιC. In the
bottom-up area and the exchange station area, the
struts are steel pipes with the steel elastic
properties E=210GPa, v=0.3.
4. Results
Figure 7. Mesh of the supporting system
Selected results from the final stage of the
3.2. Input material properties excavation are shown below.
3.2.1. The soil 4.1. Wall deflection
The soil is modelled using a multi-yield surface soil The wall deflections at two most dangerous points,
model (Houlsby, 1999), as shown in Figure 8, to I-6 and I-25 (see Figure 1), are shown in Figure 9.
consider the small-strain stiffness of the soil. The largest wall deflections from the numerical
result agree well with the field data, although they
happen at a slightly higher level. Moreover, the wall
deflection at the wall top is larger than the field data,
and it might be that the shrinkage of the top
concrete slab is large in the numerical analysis.
0
-2 I-6
-4 Field data
-6 Numerical data
-8
-10
Wall Depth /m
-12
Figure 8. Multi yield surface model (Houlsby, 1999) -14

-16
-18
-20
The undrained shear strength୳ , expressed as -22

-24
Equ (1), increases linearly with ground depth z. -26
0 10 20 30 40 50 60
Wall deflection /mm
0
su (20 2 z )kPa (1) -2 I-25

-4 Field data
-6
Numerical data
Depth below wall top (m)
-8
The stiffness at very small strain
଴ , expressed -10
as Equ. (2), also increases linearly with depth. -12

-14
-16
-18
G0 (20 2 z )MPa (2) -20
-22
-24
The small strain stiffness parameters for the 0 10 20 30

Wall deflection (mm)
40 50 60
advanced soil model are derived from Equ. (3).

Figure 9. Wall deflections
G 1
1.34
G0 § J · (3)
1 9.2¨ ¸ 4.2. Ground settlement
© 0.475% ¹
The predicted ground settlement pattern along BC

where
is the shear stiffness,ɀ is shear strain. (see Figure 1), as shown in Figure 10, agrees well
The above equations are derived from with the field data. However, the numerical result
publications about Shanghai clay.
predicts slightly larger ground settlement close to 5. Conclusions

the Exchange Station (B), and smaller result on the
other side (C).This might be caused by the complex The advanced FE analysis captures this complex
shape of the excavation. deep excavation behaviour well. This is attributed
to the detailed structural and geotechnical analysis,
0
-2
AlongBC
including, i) small-strain stiffness of the soil and
-4
-6
B Field data C reliable soil properties, ii) joints in the diaphragm
Numerical data
-8
wall, iii) the thermal shrinkage of the concrete floor
Ground Settlement /mm
-10
-12
-14
slabs, iv) the opening accesses in the floor slabs,
-16
-18
and v) the construction sequences. Discrepancies
-20
-22
exist between numerical results and field data, and
-24
-26
this might be caused by the complexity and
-28
-30
uncertainty of i) the construction activities of the
0 50 100 150 200 250 300
Distance /m project, ii) the soil behaviour, iii) the structure
performance. The numerical analysis could not
Figure 10. Ground settlement along BC consider all those factors. Once more reliable
analytical procedures and material models are
4.3. Soil deflection adopted; the accuracy of numerical analysis would
be improved. More useful results and conclusions
The soil lateral movement at IT10 (see Figure 1), from this case study are beyond the scope of this
as shown in Figure 11, is smaller than the adjacent paper.
wall deflection at I-25. The numerical result predicts
larger movement than the field data. This might be
because the soil behaviour is more difficult to 6. References
predict. Another reason could be that the point
selected from the model is closer to the wall due to Hashash, Y. M. A., & Whittle, A. J. (1996). Ground
the mesh generation. movement prediction for deep excavations in
soft clay. Journal of Geotechnical and
0
-2
Geoenvironmental Engineering, 122(6), 474-
-4 IT10 486.
Depth below ground surface (m)
-6 Field data
-8 Numerical data
Hou, Y. M., Wang, J. H., & Zhang, L. L. (2009).
-10
-12
Finite-element modeling of a complex deep
-14 excavation in Shanghai. Acta Geotechnica, 4(1),
-16
-18
7-16.
-20 Houlsby, G. T. (1999). A model for the variable
-22
-24
0 5 10 15 20 25 30 35 40 45 50 55 60
stiffness of undrained clay. Paper presented at
Deflection (mm) the Proceedings of the International Symposium
on Pre-Failure Deformations of Soil, Torino.
Figure 11. Soil lateral deflection at IT10 Hsieh, P. G., Ou, C. Y., Lin, Y. L., & Chien, S. C.
(2010). Three-dimensional numerical analysis of
4.4. Contour display diaphragm wall displacement with cross walls.
Yantu Gongcheng Xuebao/Chinese Journal of
The ground vertical displacement contour is shown Geotechnical Engineering, 32(SUPPL. 2), 158-
in Figure 12. The ground settles outside the 161.
excavation and the settlement concentrates behind Ou, C. Y., Chiou, D. C., & Wu, T. S. (1996). Three-
the centre of the wall, whereas inside the dimensional finite element analysis of deep
excavation the ground moves upwards due to excavations. Journal of Geotechnical and
stress relief. This trend is captured because the Geoenvironmental Engineering, 122(5), 337-
small-strain nonlinearity of the soil is considered in 345.
the analysis. Whittle, A. J., Hashash, Y. M. A., & Whitman, R. V.
(1993). Analysis of deep excavation in Boston.
Journal of Geotechnical Engineering - ASCE,
119(1), 69-90.
Xu, Z. H. (2007). Deformation Behaviour of Deep
Excavations supported by Permanent Structure
in Shanghai Soft Deposit. PhD, Shanghai Jiao
Tong University, China, Shanghai.
Zdravkovic, L., Potts, D. M., & St. John, H. D.
(2005). Modelling of a 3D excavation in finite
element analysis. Geotechnique, 55(7), 497-
513.
Figure 12. Vertical displacement of the soil
EVALUATION OF DEFORMATION CHARACTERISTICS OF FOULED

BALLAST BY A 3-D DISCRETE ELEMENT METHOD
EVALUATION DES CARACTÉRISTIQUES DE DÉFORMATION D'UN BALLAST
ENCRASSÉ PAR LA MÉTHODE DES ELÉMENTS DISCRETS
1 2
Janaka KUMARA and Kimitoshi HAYANO
1
Department of Civil Engineering, Yokohama National University, Yokohama, Japan
2
Department of Urban Innovation, Yokohama National University, Yokohama, Japan
ABSTRACT - In ballasted railway tracks, ballast fouling due to fine material mixing has been identified as a
challenging issue due to huge maintenance costs and interruption to regular traffic due to maintenance
works. In this research, deformation characteristics of fine-ballast mixtures were studied from laboratory and
a 3-D DEM triaxial compression tests on sand-gravel mixtures. First, void ratio characteristics of sand-gravel
mixtures were studied. Then, triaxial compression tests were conducted on the specimens of 50% and 80%
of relative densities. The DEM simulations were done with sphere and clumps particles. The results showed
that 30% sand specimen showed the smallest void ratios (i.e., the densest packing) in the DEM simulations,
resulting in the highest deviator stress. The results also showed that clump particles gave similar stress-
strain curves as those of laboratory tests while sphere particles gave relatively smaller stress-strain curves.
1. Introduction
Yade is an extensible open-source framework
In ballasted railway tracks, due to repeated heavy for discrete numerical models, focused on Discrete
train loads, fine materials mix with ballasts (i.e., Element Method. In this research, the original code
ballast fouling). These fine materials come mainly was modified to obtain particle size distribution
from the underneath layers and to a lesser extent (PSD) of sand-gravel mixture since the original
due to particle crushing as well (Thakur et al., code does not allow gap graded PSD curves, like in
2010). Changes in properties of ballasts due to sand-gravel mixtures. Also, particle shape was
sand intrusions have been identified as a major changed to clump shape from sphere shape to get
problem in railway engineering. Sometimes, higher stress-strain curves.
ballasts containing sands shows large settlements,
which is induced by railway traffic loading. However,
degree of settlement depends not only on traffic 2. Methodology
volume but also on physical and mechanical
properties of the ballasts. Though there had been Fine-ballast mixtures were simulated by sand-
th
various researches conducted on pure materials of gravel mixtures. Gravel, approximately 1/5 size of
ballasts and fines, there had not been sufficient the actual ballast and medium size sand (M sand)
researches conducted on deformation were used. Initially, void ratio characteristics were
characteristics of fine-ballast mixtures simulating evaluated using laboratory density tests (JIS A
actual railway track conditions, particularly using 1224, 2009) and in the DEM simulations. Then,
actual shape of ballasts. It is very important to deformation characteristics of sand-gravel mixtures
understand effects of degree of ballast fouling (i.e., were evaluated for the specimens of 50% and 80%
amount of fines mixing) on deformation of relative densities, Dr using laboratory and DEM-
characteristics of ballast to understand degradation simulated triaxial compression tests under 80kPa of
of ballast layers and to propose maintenance confining pressure, Vc (JGS 0527, 1998). Axial
works. deformation was measured by an external
After development of DEM (Cundal and Strack, displacement transducer.
1979), DEM simulations became the most widely In triaxial test simulations, void ratio is
used numerical method to study deformation determined by friction angle during isotropic
characteristics of granular materials. In this compression, Iiso. After maximum and minimum
research, deformation characteristics of granular void ratios, emax and emin respectively, were
materials including sand-gravel mixtures were determined, void ratios related to 50% and 80% of
studied using triaxial compression tests in Yade, an Dr, e50 and e80 respectively, were obtained adjusting
open source code (Smilauer et al., 2010). It has Iiso, as given in Table 1. emax and emin were
determined assuming 0 and 90 of Iiso as used by
been reported that sphere particles give relatively 0 0
smaller strain-stress curves than laboratory Kumara et al. (2012a). The input parameters used
specimens (Kumara et al., 2012b). Therefore, in the DEM simulations are given in Table 1. In the
clump particles were used in the DEM simulations.
DEM simulations, particle size was simulated as e80 represent void ratios for 50% and 80% of Dr
100 times larger than the actual size to reduce respectively. The minimum values of void ratios
simulation time. Both gravel and M sand were reached at 50% and 30% sands for laboratory tests
simulated using the clump shape shown in Figure 1 and DEM simulations respectively. It was observed
(McDowell et al., 2011). The clump shape is a that though emin of DEM are similar to laboratory
combination of 4 equal-size spheres. tests, emax of DEM is higher than laboratory tests. It
seems that 90 of Iiso gives looser state compared
0
Table 1: The input parameters of DEM simulations to emax of laboratory experiments. However, emin of
Parameter Value DEM of clump particles is closer than emin of DEM
Friction angle during isotropic of sphere particles to laboratory tests (compared
See Table 2
compression, Iiso with Kumara et al., 2012a). Also, difference of emax
Density of particles, U (kg/m )
3 might be due to more voids resulting from less no.
2700
Number of particles, N 2500 of gravel-size particles in the simulations (as 2500
clump particles, compared to 10000 sphere
Confining pressure, Vc (kPa) 80
particles were used in the simulations). This would
Friction angle during shearing,
See Table 2 lead to more voids compared to laboratory cases
Ishr and the DEM simulations of sphere particles.
Stiffness of particles, E (MPa) See Table 2
-1
Strain rate (s ) 0.03
100
Table 2: The details of friction angle, stiffness and
void ratio 80
Iiso (0) Void ratio, e
Percent passing (%)
Sand Ishr E
Dr = Dr = 0 Dr = Dr =
(%) () (MPa) 60
50% 80% 50% 80%
0 17.5 5.0 45.0 150 0.874 0.709
40
15 14.0 5.0 42.8 130 0.797 0.614
30 13.5 4.5 40.5 110 0.686 0.525
50 12.0 4.5 37.5 82 0.700 0.525 20
70 18.0 8.7 34.5 56 0.717 0.592
100 21.0 6.0 30.0 15 0.835 0.678 0
1 2 3 4 5 6 7 8 9 10
Grain size, D (mm)
Figure 2. PSDs of laboratory specimens
(a) (b)
Figure 1. (a) The clump particle and (b) Cross-

sectional view of it
Twelve specimens each (six each for 50% and 9 10
80% of Dr) were prepared with different %sands for

both laboratory experiments and DEM simulations
(Table 2). Figure 3. PSDs of DEM-simulated specimens
3. Results and discussions
3.1 Void ratio characteristics
Figures 2 and 3 show PSDs of laboratory and DEM-

simulated specimens respectively. Figure 4 shows
void ratios of the specimens, where, emax,exp and
emax,DEM represent experimental and DEM
simulation results respectively. In Figure 4, e50 and
1.2
emax,exp emax,DEM
emin,exp emin,DEM
1.0
e50,exp e50,DEM
e80,exp e80,DEM
Void ratio, e
0.8
0.6
0.4
Gravel Sand
0.2
0 20 40 60 80 100
Sands (%)
Figure 4. The results of void ratios

Figure 6. q vs. Ha from laboratory tests (50% of Dr)
3.2 Triaxial test results
Figure 5 shows a DEM simulation. Figures 6 and 7
show deviator stress, q vs. axial strain, Ha of 50% of
Dr from laboratory tests and DEM simulations
respectively. In laboratory tests, 30% sands
specimen experienced the highest q, followed by
15% sands specimen. In DEM simulations too, 30%
sands specimen experienced the highest q,
followed by 15% sands specimen. The DEM
simulations with sphere particle gave around
120kPa of q with 30% sand, meaning much lower
stress-strain curve than that of laboratory tests
(Kumara et al., 2012b). Figures 8 and 9 show q vs.
Ha for 80% of Dr from laboratory tests and DEM
simulations respectively. Here also, it shows that
30% sand specimen experienced the highest q and Figure 7. q vs. Ha from DEM simulations (50% of Dr)
clump particles gave approximately same stress-
strain curves as laboratory specimens. The DEM
simulations with sphere particle gave 200kPa of q
with 30% sand, meaning much lower stress-strain
curve than that of laboratory tests (Kumara et al.,
2012b). Figures 10 and 11 show comparisons of q
vs. Ha between laboratory and DEM simulations for
50% and 80% of Dr respectively. It clearly shows
that sphere particle is not good to simulate
deformation properties of gravel and sand as they
experience relatively low stress-strain curve. It also
shows that clump particles give similar stress-strain
curves as those of laboratory specimens. Figures
12 and 13 show failure friction angle, If, vs. dry
density, Ud from the laboratory tests and DEM Figure 8. q vs. Ha from laboratory tests (80% of Dr)
simulations respectively. On average, Ud and If
increased with %sands (up to 30%) and reached
peak values for the specimens with 30% sands.
Then, Ud and If decreased with %sands.
Figure 9. q vs. Ha from DEM simulations (80% of Dr)

Figure 5. A DEM simulation
500
30% sand,exp 4. Conclusions
Dr = 50% (a)
400 Void ratios decrease with %sands up to 30%

Gravel,exp and then increase. With clump particles, void
Deviator stress, q (kPa)
300 30% sand,DEM,clump ratios in DEM simulations were similar to those

Gravel,DEM,clump of laboratory specimens (though only emin).
200 In laboratory tests and DEM simulations, the
highest deviator stress observed on 30%sand
specimens, i.e., specimens with smaller void
100
Gravel,DEM,sphere ratios achieves higher deviator stress.
30% sand,DEM,sphere Though there was difference in stress-strain
0
0 2 4 6 8 10 12 14 curves with sphere particles, clump particles
Axial strain, Ha (%) gave similar stress-strain curves as those of
laboratory specimens.
Figure 10. Comparison of q vs. Ha of 50% of Dr Ud-If relations showed that If increases with Ud
up to 30% sands and then decreases. The
700
30% sand,DEM,clump
results indicate that more than 30% sands would
Dr = 80% (b)
600
deteriorate the ballast significantly.
Gravel,exp
500 30% sand,exp Acknowledgment
Deviator stress, q (kPa)
Gravel,DEM,clump
Japanese Government is highly acknowledged for
400
providing financial assistance through
300 Monbukagakusho scholarship to the first author to
30% sand,DEM,sphere study in Yokohama National University, Japan.
200
Also, Sri Lankan Geotechnical Society (SLGS) is
100 Gravel,DEM,sphere acknowledged for nominating the first author to the
conference.
0
0 2 4 6 8 10 12 14
Axial strain, Ha (%)
5. References
Figure 11. Comparison of q vs. Ha of 80% of Dr
Cundal P.A., Strack O.D.L. (1979). A discrete
numerical model for granular assemblies.
52 Geotechnique, vol. 29, No. 1, pp. 47-65.
Failure friction angle, If ( )
0
Gravel 30% sand

JGS 0527 (1998). Method for triaxial compression
48 test on unsaturated soils.
Change of If with sand
30% sand JIS A 1224 (2009). Test method for minimum and
Sand
44 Gravel maximum densities of sands.
Change of If with sand
Kumara G.H.A.J.J., Hayano K., Sasaki K.,
40 Shigekuni Y. (2012a). Evaluation of void ratio
Dr = 80% characteristics of sand-gravel mixtures with
36 Sand Dr = 50% different PSD curves by 3D DEM simulations.
th
Proceedings, 14 JSCE International Summer
1440 1520 1600 1680 1760 1840 1920 2000
3
Symposium, pp. 79-80.
Dry density, Ud (kg/m ) Kumara J.J., Hayano K., Shigekuni Y., Sasaki K.
(2012b). DEM simulations and laboratory
Figure 12. If vs. Ud from laboratory specimens experiments on physical and mechanical
properties of sand-gravel mixtures. Proceedings,
nd
60
(b)
2 International Conference on Geotechnics,
Change of If with sands Construction Materials and Environment, pp.
Failure friction angle, If (degree)
55
50
Gravel 30% sands 549-554 (CD ROM).
McDowell G., Li H., Lowndes I. (2011). The
45
50% sands importance of particle shape in discrete-element
Change of If with sands
40 Gravel
Sand
modelling of particle flow in a chute.
35
Geotechnique Letters, vol. 1, pp. 59-64.
Smilauer et al. (2010). Yade Reference
30 Sand
Dr = 80% Documentation. In Yade Documentation (V.
25 Dr = 50% Smilauer, ed.), The Yade Project, 1st ed.,
20 (HTTP://YADE-DEM.ORG/DOC/).
1440 1520 1600 1680 1760 1840
3
Thakur P.K., Vinod J.S., Indraratna B. (2010).
Dry density, Ud (kg/m ) Effect of particle breakage on cyclic densification
of ballast: a DEM approach. Proceedings,
Figure 13. If vs. Ud from DEM simulations Materials Science and Engineering, pp. 122-129.
NUMERICAL STUDY OF EFFECT OF CONTACT CONDITION ON THE

PERFORMANCE OF COMPOSITE LINER
ETUDE NUMERIQUE DE L'EFFET DE LA CONDITION DE CONTACT SUR LA
PERFORMANCE DU REVETEMENT COMPOSITE
Tingfa LIU1, Hui WU1, Qingbo WEN1, Liming HU1, *
1
State Key Laboratory of Hydro-Science and Engineering, Department of Hydraulic Engineering,
Tsinghua University, Beijing 100084, China
*Corresponding author, Tel: 86-10-62797416, Fax: 86-10-62785593
E-mail: gehu@tsinghua.edu.cn
ABSTRACT - Landfills play a key role in the disposal of large amount of waste. Imperfect contact between
liner materials is inevitable during landfill construction and its effect calls for sufficient consideration.
Numerical models concerning different contact conditions and leachate heads were developed and the long-
term performances of two kinds of composite liners—geomembrane (GM) underlying with geosynthetic clay
liner (GCL) or compacted clay liner (CCL) were analyzed. The results indicate that there is a perfect linear
double logarithmic correlation between the transmissivity and leakage rate. Under imperfect contact
condition, the leakage rate and mass flux are one to three orders of magnitude higher than that under perfect
contact. The liner composited of GM and GCL performs much better than that composited of GM and CCL
under poor contact condition and high leachate head. The numerical model coupling seepage and mass-
transport provides a comprehensive evaluation of composite liner and the results contribute to a better
design or refinement of landfill liner.
1. Introduction into the surrounding soil should be carefully

assessed.
About 190 million tons of municipal solid waste was The objective of this study is to evaluate the
produced in 2004 in China. Additional 1400 landfills effect of contact conditions and leachate heads on
over the next 20 years to dispose nearly 70% of the long-term performance of composite liners. Two
these wastes are needed to be developed in China kinds of composite liners are discussed. Three
(World Bank Report, 2005). Landfill liner plays an indexes, including the leakage rate, mass flux rate,
important role in insulating poisonous leachate from and sorption capability are taken into consideration.
polluting soil and underground water. Although
several technical codes have been prescribed by
the Chinese government to assure the performance 2. Flow and mass transport in composite liner
of liners (CNMC, 2004, 2007), great risks still exist
in the landfill liners due to relatively high leachate 2.1. Contact condition between geomembrane
head and poor quality control during construction and underlying soil
(Xie et al., 2009). In addition, the long-term
performance of the prescribed landfill liners under Transmissivity θ is introduced to quantitatively
extreme service conditions remains unknown. describe the contact characteristic between
Many factors, including wrinkles of GM, geomembrane and underlying soil. A high value of θ
protrusions of compacted clay liners, unsmooth means small resistance the fluid faced when
surface of CCL caused by construction equipment moving laterally in the interface of two liners before
will cause the inevitable imperfect contact condition percolating through the underlying soil (Giroud and
between geomembrane and underlying soil (Rowe Bonaparte, 1989). The gap between geomembrane
1998). Rowe (2005) presents a good summary of and underlying soil can be approximated by two
methods available for the calculation of the leakage smooth parallel plates and then, based on Newton’s
through composite liner. Most of these methods are viscosity theory, the transmissivity is given by
developed for leakage estimation, however, the
performance of liner cannot be comprehensively U gt 3
reflected by leakage. Meanwhile, comparison of T (1)
12K
solute transport in composite liners is usually
conducted without the consideration of imperfect
contact condition (Foose et al, 2002). In China, the where θ is hydraulic transmissivity of the empty
2 -1 -3
single-layered composite liners are most commonly space [L ·T ]; ρ is density of the fluid [M·L ]; g is
-2
used, and the amount of contaminant dispersing acceleration due to gravity [L·T ]; t is the spacing
between geomembrane and underlying soil [L]; η is
-1 -1
viscosity of liquid [M·L ·T ]. The viscosity of pure where r0 is radius of defect, hp is leachate head.
water in 15qC instead of real landfill leachate is The bottom of the model was a free drainage
used to simplify the analysis. boundary.
Many studies have been conducted to quantify
the transmissivity θ and to relate the transmissivity
θ to the field contact condition. Rowe (1998)
recommended that the transmissivity θ of good
-8 2
contact and poor contact are 1.6×10 m /s and
-7 2
1.0×10 m /s for the GM and CCL contact interface
-12 2 -10 2
and 6.0×10 m /s and 2.0×10 m /s for the GM
and GCL contact interface. As to the perfect contact
condition, the transmissivity θ is zero.
Rowe (1988) proposed an analytical equation of
leakage through composite liner considering the
imperfect condition.
2hw
Q S ks [r0 2is 2is '1 2is ' 2 '2 ]
HL Hf Figure 1. Schematic diagram of the model
(2)
The distribution of solute dissolved in soil water
where ks and HL are the conductivity and thickness can be represented by Advection-Diffusion
of the underlying soil; Hf is the thickness of the Equation with the assumption of linear equilibrium
foundation soil; is is the hydraulic slope of adsorption (Zheng and Bennett, 2002):
composite liner; Δ1 and Δ2 are functions related to
the size of geomembrane defect, transmissivity θ, Ud Kd wC
˄1+ ˅ (D C ) ( vC ) (5)
and wet radius. This analytical solution were used n wt
to verify the numerical model presented in this
paper. f nDC nvC (6)
2.2. Numerical model for flow and mass where v is the seepage velocity tensor [L·T ]; D is
-1
transport the hydrodynamic dispersion tensor for the solute in
2 -1
the medium [L ·T ]; n is the porosity of soil; ρd is the
It has been proved that organic and inorganic -3
dry density of soil [M·L ]; Kd is the linear sorption
contaminant percolates through composite liner in
distribution coefficient of the solute in the medium
different patterns. Organic solutes can diffusion 3 -2 -1
[L ·M-1]; f is the solute mass flux [M·L ·T ].
through intact geomembranes at appreciable rates
Initially, the concentration of the entire domain
(Haxo, 1988), while the inorganic solutes can hardly
was set to zero. The solute source was modeled
diffuse through geomembranes. Therefore, the
using constant concentration in the defect of the
defect of geomembrane is the only pathway for
geomembrane described by:
inorganic components to pass through composite
liners (Foose et al., 2002).
C(r d r0 , z 0) C0
A 2D axis-symmetrical model was developed to
conduct numerical simulation and the conceptual (7)
model is presented in Figure 1. The thickness of
transmissive zone was defined by Equation 1. The geomembrane and lateral side of the model
Water flow in underlying soil was assumed to be in were simulated as no flux boundary. A zero
steady-state, which can be described by Darcy’s concentration boundary was applied to the bottom
law as the following. of the model. This boundary represents that the
lateral groundwater flow can remove all the
[KH ] 0 discharged mass at the base of liner.
(3)
where K is the conductivity tensor; H is the 3. Composite liner and contamination

hydraulic head. The underlying CCL or GCL was
assumed to be homogenous and the defects of 3.1. Structure of composite liner
geomembrane are simplified as circular defects.
The geomembrane and the lateral side were Two kinds of liners composited of geomembrane
simulated by a no flow boundary. A constant head and geosynthetic clay liner (GM-GCL) or
from leachate was applied on the defect of compacted clay liner (GM-CCL) are discussed. The
geomembrane. details of design are prescribed in the technical
code (CNMC, 2007). Figure 2 shows the basic
H (r d r0 , z 0) hp (4)
structure of the composite liners and the size of 4. Results and discussion
each layer used in this study. It should be noted that
the maximum landfill leachate head on liners is not 4.1. Leakage rate through geomembrane defect
prescribed in this technical code. Since the leachate
Relationship between leakage rate through a single
head in many of Chinese landfills remain high (>0.3
hole and transmissivity are showed in Figure 3 and
m) due to factors like relatively high initial water
4. Leakage rate through a single hole from
content and organic material content of municipal
numerical model agrees well with that from the
solid waste, clogging or low-efficiency of the
analytical solution proposed by Rowe (1998).
leachate collection and removal system. A
The results demonstrate that there is a perfect
conservative head of 0.3 m, a medium head of 3 m,
liner double logarithmic correlation between the
and an extreme head of 10 m were taking into
transmissivity θ and the leakage through the single
consideration in this study.
defect of geomembrane. The leakage through the
GM-GCL composite liner is less sensitive to the
contact condition. The numerical results for GM-
CCL composite liner show that the leakage rate
under good contact condition and poor contact
condition are 388 and 2144 times higher than that
of perfect condition. As to the GM-GCL composite
liner, the leakage rate under good contact condition
and poor contact condition are 13 and 226 times
higher than that of perfect condition. The existence
of transmissive zone between geomembrane and
underlying significantly influence the flow path.
Neglect of contact condition will greatly
Figure 2. Typical structure and size of composite underestimate the leakage rate of the composite
liner used in China liner.
3.2. Contamination and parameters 4.2. Mass flux and sorptive potential
Mass flux at the bottom of liner and sorptive

Cadmium was select as the inorganic leachate potential for cadmium were selected to evaluate the
constituent, and the pollutant concentration on the performance of composite liner in duration of 100
top of the liner was assumed to be constant. years. Numerical results are summarized in Table 2
Parameters used in this study were listed in Table 1. and 3.
Contact characteristics between geomembrane
Table 1 Summary of parameters used in this study and underlying soil have significant impact on the
performance of composite liner. The mass flux at
Liner type the bottom of liner under good or poor contact
Parameter
GM-CCL GM-GCL condition is 1 to 3 magnitude factors higher than
Viscosity of liquid, that under perfect contact condition. The
a 1.01 u 10-3 1.01 u 10-3
ˤ (kg/N/s) performance of these two composite liners are
Radius of defect, r0 (mm) b 5.64 5.64 similar under perfect condition and low leachate
Concentration of cadmium, head, while when contact condition is taken into
1 1
C0 (mg/L) consideration and the leachate head increases, the
Thickness of clay liner, HL(m) 0.75 0.0138 GM-GCL composite liner perform much better.
Porosity of clay liner, n 0.32 0.86 The influence of leachate head is also
remarkable. Under good contact condition, the
Dry density of clay liner,
ρd (g/cm3) b
1.79 0.79 mass flux at base of GM-CCL composite liner have
Distribution coefficient of clay an increase of 30 times when the leachate head
0.36 6.5
liner, Kd (mL/g) b arise from 0.3 m to 10 m. In contrast, the increase
Saturated conductivity of clay is only 13.7 times for GM-GCL composite liner. Low
1.00 u 10-9 5.00 u 10-11
liner, Ks (m/s) b
leachate head is a key factor to assure the
Coefficient of molecular diffusion
1.76 u 10-10 3.60 u 10-10 performance of landfill liner.
in clay liner, D0 (m2/s) b
Dispersivity of solute in medium, The sorptive potential of liner increases with the
7.50 u 10-2 1.38 u 10-3
α (m) c thickness of liner as expected. The results show
a
Note: viscosity of pure water in 20ȭ that the sorption for cadmium of GM-CCL
b
XKLKXXKJLXUS8U]K composite liner is 1 to 5 magnitude factors higher
c
JKLOTKJH_SKZNUJXKIUSSKTJKJH_-KRNGX than that of GM-GCL composite liner. The sorption
reflects the liner’s ability to bear the risk of leak of
landfill leachate. Adding thickness or enhancing the
sorptive capability of liner materials can be effective
ways to improve the sorptive ability of composite
liner.
performance of liner. The perfect condition

significantly underestimates the leakage rate
through geomembrane defects and the mass flux at
the base of liner.
(2) The performance of GM-CCL composite liner is
more sensitive to the facontact condition than that
of GM-GCL composite liner. GM-GCL composite
liners perform much better than GM-CCL
composite liners under poor contact condition and
high leachate head.
(3) The sorptive potential of GM-CCL composite
liner is 1 to 5 magnitude factors higher than that of
GM-GCL composite liner. Increasing thickness or
Figure 3. Relationship between leakage rate and enhancing sorptive ability of liner materials can be
transmissivity of GM-CCL composite liner effective ways to enhance the retardant capacity of
composite liner.
6. Acknowledgements
The authors would like to express their sincere
gratitude to National Basic Research Program of
China (Grant No. 2012CB719804).
7. References
Foose G.J., Benson C.H., Edil T.B. (2002)

Comparison of solute transport in three
composite liners. Journal of Geotechnical and
Figure 4. Relationship between leakage rate and
Geoenvironmental Engineering, vol. 128, n. 5, pp.
transmissivity of GM-CCL composite liner
391-403
th Gelhar L., Welty C., Rehfeldt K. (1992). A critical
Table 2. Mass flux rate at the 100 year
view of data on field-scale dispersion in aquifers.
(Unit: mg/defect/year)
Water Resource Research, vol. 28, n. 7, pp.
Contact GM-CCL GM-GCL 1955-1974
condition 0.3 3 10 0.3 3 10 Giroud J.P., Bonaparte R. (1989). Leakage through
liners constructed with geomembranes – Part II.
Perfect 0.27 2.05 7.23 0.29 0.38 0.62
Composite liners. Geotextiles and
Good 7.57E2 8.32E2 2.32E3 0.40 1.79 5.53 Geomembranes, vol. 8, n. 2, pp. 71-111
Poor 4.19E2 4.80E3 1.27E4 3.19 30.52 99.48 Haxo H.E, Lahey T.P. (1988) Transport of dissolved
organics from dilute aqueous-solutions through
th flexible membrane liners. Hazardous Waste &
Table 3. Sorptive amount at the 100 year
Hazardous Materials, vol. 5, n. 4, pp: 275-294
(Unit: mg/defect)
Rowe R.K. (1998). Geosynthetics and the
Contact GM-CCL GM-GCL minimization of contaminant migration through
condition 0.3 3 10 0.3 3 10 barrier systems beneath solid waste.
Proceedings, Six International Conference on
Perfect 3.29E1 1.95E2 5.19E2 0.01 0.01 0.03
Geosynthetices, 1998, Atlanta, Goegria USA
Good 7.46E3 5.08E4 1.06E5 0.02 0.08 0.24 Rowe R.K., Quigley R.M., Branchman R.W.L., et al.
(2004). Barrier systems for waste disposal
Poor 4.13E4 2.68E5 4.53E5 0.16 1.45 4.46
facilities, Spon Press, London
Rowe R.K. (2005). Long-term performance of
contaminant barrier systems. Géotechnique, vol.
5. Conclusions 55, n. 9, pp. 631-677
Xie H.J., Chen Y.M., Zhan L.T. (2009). Investigation
Numerical model was developed to study the long- of migration of pollutant at base of Suzhou
term performance of landfill liner considering Qizishan landfill without a liner system. Journal of
different contact condition and leachate head. Two Zhejiang University, Science A, vol. 10, n. 3, pp.
kinds of composite liner, GM-CCL and GM-GCL 439-449
were discussed. The major conclusions are as
follows.
(1) The contact condition between geomembrane
and underlying soils has great influence on the
EFFECTS OF FINES ON SHEAR BEHAVIOR OF SAND: A DEM

ANALYSIS

INFLUENCE DES FINES SUR LE COMPORTEMENT AU CISAILLEMENT D’UN
SABLE: UNE ANALYSE PAR LA MÉTHODE DES ÉLÉMENTS DISCRETS
X. D. LUO1 and J. YANG2
1
PhD student, Department of Civil Engineering, The University of Hong Kong, Pokfulam Road,
Hong Kong; email: hkuluo@hku.hk
2
Associate Professor, Department of Civil Engineering, The University of Hong Kong, Pokfulam
Road, Hong Kong; email: junyang@hku.hk
ABSTRACT - When clean sand is mixed with some amount of fines, its shear behavior can be altered
significantly. Current views on the effect of fines are very diverse: several experimental studies showed that
the addition of fines can reduce the collapsibility of sand under undrained conditions, whereas several others
obtained an opposite conclusion. The diverse or even contradictory views in the literature indicate that the
influence of fines remains an area of great difficulty. In this paper, the shear behavior of sand with the
addition of fines is studied by using the 3D discrete element method (DEM), with the aim to investigate the
role of fines at the grain scale so as to develop a deeper understanding. Particular effort is made to examine
the applicability of the equivalent inter-granular void ratio which has been increasingly used to describe the
packing state in characterizing the shear behavior of silty sands.
1. Introduction bounded by frictionless rigid walls. The numerical

specimen consists of 9000 balls (mean
The undrained shear behavior of sand as affected diameter=1032Pm) to simulate clean sand particles.
by the presence of fines is a subject of interest. The The uniformity of the coarse particles (see Figure 1)
mixtures of sand and fines are usually referred to is similar to that of Toyoura sand and Fujian sand
as silty sands in geotechnical engineering practice. used in the experiments of Yang and Wei (2012).
Despite many experimental studies in the past (e.g. Small-sized balls (diameter=290Pm) at different
Kuerbis et al., 1988; Pitman et al.,1994; Lade & quantities are mixed with the coarse particles to
Yamamuro, 1997; Thevanayagam et al., 2002), form silty sand specimens of different fines
very diverse views exist as to whether the effect of contents. By using a servo-control method, each
fines is negative or positive for the shearing numerical specimen is subjected to isotropic
resistance of sand (Yang & Wei, 2012). This is due compression to a specific state in terms of confining
probably to that most studies were focused on the stress and void ratio and then is sheared under the
overall response, lacking adequate attention on the constant-volume condition. The constant-volume
particulate nature of the material. The well-designed shear is to simulate the undrained triaxial
experiments of Yang & Wei (2012) indicate the compression test commonly used in the laboratory.
importance of examining the problem from the grain Table 1 summarizes key parameters used in the
scale. simulations.
This paper presents several interesting results
from a grain-scale modeling of the shear behavior
100
of sand mixed with fines, with the aim to develop a
Percentage finer (%)
deeper understanding of the role of fines. In 80

particular, the applicability of the density parameters
proposed to characterize the packing state of silty 60
sands in the literature, such as skeleton void ratio 40
and its modified version (Thevanayagam et al.,
2002; Rahman et al., 2008), is critically examined. 20
2. Grain-scale modelling of silty sand 100 1000 10000

Particle size (μm)
The 3D discrete element program PFC3D is used Figure 1 Size distribution of clean sand particles
to simulate triaxial compression tests on silty sand.
Numerical particles are generated within a
cylindrical space (diameter=16mm; height=32mm)
Table 1 Summary of particle parameters simulations on binary mixtures provide further

Parameter Numerical value evidence for the existence of the quasi-steady
6 state.
normal stiffness of balls 1X10 N/m
5
shear stiffness of balls 5X10 N/m 3.2 Critical state line in e-p' plane
particle friction coefficient 0.5
wall friction coefficient 0 All numerical specimens are sheared to a large
3 axial strain (~30%) such that the critical state is
density of spheres 2650 kg/m assumed to be approximately reached. Figure 3(a)
coefficient of local damping 0.7 shows the critical state loci (CSL) of clean sand,
silty sand with 5% fines and silty sand with 10%
fines in e-logp’ plane, where p’ is the mean
3. Results and discussion effectives stress. The critical state locus moves
downwards with an increase in fines content (FC);
3.1 Overall shearing response this trend well supports laboratory observations
(e.g. Thevanayagam et al., 2002; Yang and Wei,
Figure 2 shows the simulated responses of a “clean 2012) as shown in Figure 3(b) for comparison.
sand” specimen and a “silty sand” specimen at the It should be noted that all CSL generated from
fines content of 5%, both at the confining stress of the simulations are curved in the e-logp’ plane and
1000kPa and at a similar void ratio (e= this curvature is not the result of particle breakage,
0.652~0.657). Here q is the deviatoric stress in because all the particles in the simulations are
triaxial space. It is interesting to observe that while assumed to be rigid with deformation only at
the clean sand specimen exhibits a strong dilative contacts.
response, the silty sand specimen shows a very
contractive response such that it undergoes 0.79
clean sand 5% fines 10% fines
complete liquefaction. This result is in good
0.74
agreement with the laboratory observation that the
addition of fines into clean sand can significantly 0.69
increase the collapsibility of the sand (Yang and
e
Wei, 2012). 0.64
4000 clean sand (e=0.657) 0.59

5% fines (e=0.625)
5% fines (e=0.652) 0.54
3000
10 100 1000 10000
p'(kPa)
q (kPa)
2000 (a)
1000 FC = 0% FC = 7%
0.90 FC = 15% FC = 25%
0 0.80
0 5 10 15 20 25 30 0.70
Axial strain (%)
e
0.60
Figure 2 Simulated responses of clean and silty
sand specimens under constant-volume shearing 0.50
0.40
Figure 2 also presents the simulated response
of another “silty sand” specimen at the same fines 0.30
content of 5% and the same confining stress of 1 10 100 1000 10000
1000kPa, but at a denser state (e=0.625). p'(kPa)
Compared with the loose silty sand specimen, this (b)
denser specimen exhibits a strain-softening Figure 3 Effect of fines on CSL in e-logp' plane: (a)
response in the initial stage of shear, which is simulations; (b) experimental data (Thevanayagam
followed by a dilative response to large et al., 2002)
deformation. The transition state from the
contractive to dilative response has been frequently 3.3 Skeleton void ratio (es) and equivalent
observed on medium dense sand specimens in the skeleton void ratio (ese)
laboratory and is referred to as the quasi-steady
state (Ishihara, 1993). Using the 2D grain-scale While void ratio has long been used as a density
modeling technique, Yang and Dai (2011) have parameter to evaluate soil behavior, skeleton void
demonstrated that the quasi-steady state is a real ratio is suggested by some researchers to
material behavior, marking a change from a characterize the effective intergranular contact of
metastable to stable microstructure. Here, the 3D
binary mixtures (Kuerbis et al., 1988; Mitchell,

1993). By assuming all fine particles reside in the
0.80 clean sand 5% fines 10% fines
void space between coarse particles and do not
take part in the force chain, the skeleton void ratio
(es) is given as: 0.75
es
e fc 0.70
es (1)
1 fc
0.65
where f c is fines content.
0.60
Using the skeleton void ratio as the density
10 100 1000 10000
parameter, the critical state points are re-plotted in p'(kPa)
the es-logp’ plane in Figure 4. It is noted that CSL
now moves upwards as fines content increases; Figure 4 Critical state loci in es-logp’ plane
similar trend has been observed in the laboratory.
The important implication of Figure 4 is that, at the
5000
same es and confining stress, the silty sand would clean sand (e=0.676)
behave in a more dilative manner. To verify this
4000 5% fines (e=0.590)
speculation, two numerical specimens are prepared:
one is a clean sand specimen consolidated at
3000
q (kPa)
500kPa with the void ratio of 0.676, and the other is

a silty sand specimen with 5% fines, which is also
consolidated to 500kPa and the void ratio of 0.590. 2000
Both specimens have the same skeleton void ratio
of 0.675. As shown in Figure 5, the silty sand 1000
specimen indeed shows a much more dilative
response, suggesting that fine particles are not as 0
weak as just acting as voids but rather play a role in 0 5 10 15 20 25 30
Axial Strain (%)
shear behavior.
A modification has been made of the concept of Figure 5 Simulated responses of clean sand and
skeleton void ratio by assigning a value b to silty sand specimens at the same es
represent the fraction of fines contributing to sustain
the external force (Thevanayagam et al., 2002), 0.75
giving the so-called equivalent intergranular void
clean sand 5% fines 10% fines
ratio (ese) as :
e (1 b)fc 0.70
ese (2)
1 (1 b)fc
ese
where b varies between 0 and 1. The case of b = 0 0.65

means that none of the fine particles take part in
the force chain, whereas the case of b = 1 means
that all of the fine grains are active in the load
0.60
bearing framework. It is thought that at the same
ese the shear behavior of silty sand is similar to that 10 100 1000 10000
p'(kPa)
of the host sand without fines (Thevanayagam et
Figure 6 Critical states in ese-logp’ plane with b
al., 2002). To determine b value, a back-analysis
values determined from the best-fit method
method has been used to fit the CSL of the silty
sand and the host sand to a single trend line in ese-
It is interesting to examine whether the b values
logp’ plane (Thevanayagam et al., 2002; Ni et al.,
determined using the best-fit method can reflect the
2004; Rahman et al., 2008).
physical meaning in its definition properly. In doing
Using this best-fit method, the simulation results
that, a statistics analysis of particle contacts is
in Figure 3(a) are processed such that a single CSL
conducted on a silty sand specimen with 10% fines,
is obtained in the ese-logp' plane, as shown in
which is consolidated to 1000kPa and the void ratio
Figure 6. The b values for silty sand specimens with
of 0.564. It is found that, throughout the shear,
5% fines and 10% fines are determined to be 0.25
about 85% of the fines are non-active, with zero
and 0.35, respectively. According to the definition of
contact, while about 15% of the fines have 2 or
ese, it is estimated for the case of 5% fines that
more contacts (see Figure 7). If fine particles with 2
about one quarter of fine particles take part in the
or more contacts are regarded as active fines
force chain, while for the case of 10% fines more
contributing to the force chain, then the b value is
than one third of fine particles participate in the
estimated to be 15%, which is much lower than the
force chain.
value (35%) determined using the current best-fit obtained that the critical state locus moves
method. upwards with an increase in fines content.
(c) The use of skeleton void ratio (es) to
characterize the shear behavior of silty sand is
C3 = 6% C4 = 3% problematic because fines are not as weak as
C2 = 5% acting voids.
(d) The use of equivalent skeleton void ratio, ese,
is also problematic. The b value determined
using the best-fit method cannot properly
reflect the physical meaning of the parameter
embedded in the definition of ese.
C0=86%
5. Acknowledgements
Figure 7 Statistics of contacts of fines in a silty sand The work was supported by the University of Hong
specimen with 10% fines Kong through the Seed Funding for Basic Research
scheme and the Research Output Prize scheme.
Furthermore, using b values directly estimated
from the statistics of contacts, the equivalent
skeleton void ratios of silty sand specimens in the 6. References
simulations are re-calculated, and the critical states
are re-plotted in the ese-logp' plane, as shown in Kuerbis, R. H., Negussey, D. and Vaid, Y. P.
Figure 8. It can be seen that theses critical states (1988). Effect of gradation and fines content on
do not fit a single critical state locus, suggesting the undrained response of sand. ASCE
again that the current method in the literature for Conference on Hydraulic Fill Structures,
the determination of b value is problematic. Geotechnical Special Publication 21, 330-345.
Lade, P. V. & Yamamuro, J. A. (1997). Effect of
0.80 non-plastic fines on static liquefaction on
clean sand 5% fines 10% fines sands. Canadian Geotechnical Journal 34, No.
0.75 6, 918-928.
Mitchell, J. K. (1993). Fundamentals of soil
behaviour, 2nd edn. New York: Wiley
ese
0.70
Interscience.
Ni, Q., Tan, T.S., Dasari, G.R. & Hight, D.W. (2004).
0.65 Contribution of fines to the compressive
strength of mixed soils. Géotechnique 54, No.
0.60
9, 561-569.
10 100 1000 10000 Pitman, T. D., Robertson, P. K. & Sego, D. C.
p'(kPa) (1994). Influence of fines on the collapse of
loose sands. Canadian Geotechnical Journal
31, No. 5, 728-739.
Figure 8 Critical states in ese-logp’ plane with b Rahman, M. M., Lo, S. R. & Gnanendran, C. T.
values determined from the statistics of contacts (2008). On equivalent granular void ratio and
steady state behaviour of loose sand with fines.
Canadian Geotechnical Journal 45, No. 10,
4. Summary and conclusions 1439-1456.
Thevanayagam, S., Shenthan, T., Mohan, S. &
The shear behavior of sand as affected by the Liang, J. (2002). Undrained Fragility of clean
presence of fines has been studied by using the 3D sands, silty sands, and sandy silts. Journal of
discrete element method. The simulations provide Geotechnical and Geoenvironmental
useful insights into the role of fines at the grain Engineering ASCE 128, No. 10, 849-859.
scale. The main results are summarized as follows: Yang, J. & Dai, B. B. (2011). Is the quasi-steady
(a) Compared at a similar void ratio and confining state a real behaviour? A micromechanical
stress, silty sand exhibits a more contractive perspective. Géotechnique 61, No. 2, 175-183.
response than clean sand, meaning that the Yang, J. & Wei, L. M. (2012). Collapse of loose
addition of fines into clean sand will increase sand with the addition of fines: the role of
the collapsibility of sand. This result is in good particle shape. Géotechnique 62, No. 12,
agreement with laboratory observations. 1111–1125.
(b) The critical state locus moves downwards with
an increase in fines content in e-logp' space,
whereas in es-logp' space an inverse trend is
SENSITIVITY TO LAYER SUBDIVISION OF DRAWDOWN RESULTS

FOR PARTIALLY PENETRATING MULTI-WELL SYSTEM
SENSIBILITÉ AU MAILLAGE DES RÉSULTATS DE L’ABAISSEMENT D'UNE
NAPPE PAR UN SYSTÈME DE MULTI-PUITS PARTIELLEMENT PÉNÉTRANTS
Dalia Ragab MOHAMED
Geotechnical Engineer at Hamza Associates, Egypt
ABSTRACT – Many groundwater models, using either finite difference or finite element programs to solve
semi-complicated and complicated cases, require a highly refined grid or mesh. The degree of refinement
could affect the sensitivity of the solution. This paper focuses on studying the effect and sensitivity of number
of subdivisions of a layer in the soil profile on the drawdown calculations of dewatering system of partially
penetrating wells in unconfined aquifer. The study was carried out using (a) a case study of dewatering
system for the installation of a pipeline at Sohag, and (b) a theoretical case study of dewatering system for
construction pit that is square in area and surrounded by partially penetrating cutoff walls. The analyses
presented in this paper were carried out using the 3D Finite Difference program of VISUAL MODFLOW4.2®.
1. Introduction a radius of 0.25 m inside square excavated area

Deep excavation requires lowering the surrounded with vertical impervious wall up to 25m
groundwater table below the bottom of the deep and having a width 70m. The pumping rate for
excavation is very important to ensure dry working each well in this system was 90m3/hr. The layout
condition for construction operations. There are for wells arrangement is shown in Figure 3.
many mathematical methods were developed for
different cases where no impervious walls are used
in the site but these methods have many constrains
to be use.
Many numerical models of groundwater flow
using either finite element or finite difference
programs could be used to solve complicated.
Figure 1.Plan for wells and piezometer
These computations require grid or mesh
arrangement for pipeline at Sohag dewatering
refinement for accuracy of computation where
system (after Rosdy, 2006)
refinement effect on sensitivity of the solution. The
paper will focus on subdivision of layers vertically
and the effect of more division (refinement) of
layers on drawdown results.
The study was carried out using (a) a case study
of dewatering system for the installation of a
pipeline at Sohag, and (b) a theoretical case study
of dewatering system for construction pit that is
square in area and surrounded by partially
penetrating cutoff walls. The analysis was
performed using Visual Modfow® 4.2 a three-
dimensional program.
2. Project description
Case (a): The dewatering system consisting of
six partially penetrating gravity wells each having a
radius of 0.25 m, was used for dewatering the
excavation for part of a pipeline with a length 200 m
in Sohag (after Rosdy, 2006). The pumping rate for
3
each well in this system was 130m /hr. The plan for
wells and piezometer arrangement for the pipeline Figure 2. Well configuration (after Rosdy, 2006)
at the Sohag dewatering system and well
configuration are shown in Figures 1 and 2
respectively. The piezometer reading (P.Z.) is
3.15m.
Case (b); The dewatering system consisting of
eight partially penetrating gravity wells each having
Figure 4. General plan of the 3-D grid of Visual

Figure 3. Layout for well arrangements Modfow® 4.2
3. Ground conditions
Case (a): The site at pipe line area consist of;
silty clay which extend from ground surface with
thickness 1.0m followed by poorly graded sand
(varying from medium fine to medium coarse)
extend to boring depth of 20.m. The coefficient of
permeability calculated from a pump test was
-3
1.0x10 m/sec. The groundwater table appear at
depth 0.80m from ground surface. Figure 5. Cross section showing soil layers
Case (b): The aquifer is unconfined with a depth subdivision at Sohag pipeline dewatering system
70m and is underlain by an impervious layer. The Case (a-1)
groundwater table exists at 3.0 m below ground
surface. The aquifer consists of an extended layer
of medium to coarse sand having permeability
5x10-4m/sec. The soil is assumed to be
homogenous and isotropic.
4. Numerical analysis
Figure 4 shows a general plan of the 3-D grid of
Visual Modfow® 4.2. For Case (a): Figures 5 and 6
show a cross section for soil layers subdivision
Figure 6. Cross section showing soil layers more
within the 3-D grid generated from Visual
subdivision in Sohag pipeline dewatering system
Modflow®4.2 at location of Sohag pipeline
Case (a-2)
dewatering system Case (a-1), and a cross section
showing more subdivision for soil layers in Sohag
pipeline dewatering system Case (a-2),
respectively, while for Case (b): Figures 7, 8 and 9
show a cross section within the 3-D grid generated
from Visual Modflow®4.2 in the theoretical Case
(b); a cross section showing soil layers subdivision
into four layers Case (b-1), a cross section showing
soil layers subdivision into six layers Case (b-2),
and a cross section showing soil layers subdivision
into eight layers Case (b-3).
Figure 7. Cross section showing soil layers
subdivision into four layers Case (b-1)
Figure 10. Direction of computed drawdown from

Visual Modflow Case (a)
subdivision into six layers Case (b-2) Distance from first point (m)
0 20 40 60 80 100 120 140
0
Drawdown (m)
Piezometer Location
3
4
Drawdown curve for Case a-1
5
Drawdown curve for Case a-2
6
subdivision into eight layers Case (b-3) Figure 11. Drawdown curves for Case (a-1) and
Case (a-2)
5. Drawdown Results
Case (a): Based on Figures 10 and 11 a

drawdown curve could be performed for each
Cases; (a-1) and (a-2) where drawdown were
computed from Visual Modflow in straight line
direction as shown in Figure 10. Drawdown curve
for Case (a-1) and (a-2) were shown in Figure 11.
Case (b): Based on Figures 12 and 13 a

drawdown curve could be performed for each
Cases; (b-1) and (b-2) where drawdown were
computed from Visual Modflow in straight line
direction as shown in Figure 12. Drawdown curve
for Case (b-1) and (b-2) were shown in Figure 13.
6. Discussion
For Case (a): from Figure 11 by comparing the

results of Visual Modflow at the same piezometric Figure 12. Plan for direction of computed drawdown
location for soil layers subdivision to four layers from Vsual Modflow Case (b)
(Case a-1), soil layers subdivision to eight layers
(Case a-2) and measured data at piezometer
location, as shown in Table I, it is found that as the
numbers of layers subdivisions are increases from
four to eight layers as shown in Figures 5 and 6,
respectively, drawdown result at the piezometer
location's decreases to 3.30 m which is nearly
equal to result of the field at same location.
Figure 13. Drawdown curves for Case (b-1) and

Case (b-2)
Table I: Comparison between results of drawdown In Case (b) sensitivity of layer subdivision
for soil layers subdivision to four layers, soil layers increases in case of using impervious walls and
subdivision to five layers and measured data at with using more number of wells.
piezometer location.
ACKNOWLEDGEMENTS
Drawdown (m)
Special thanks to Dr. Hisham Hafez and Dr.
soil layers soil layers Marawan Shahien for their assistance and
Divided divided invaluable guidance during my research.
Measured Iam grateful to Dr.Mamdouh Hamza for giving
vertically vertically me the opportunity to read many books in hamza
data
into into five associates library.
four layers layers 8. References
P.Z.
3.90 3.30 3.15 Ragab, D., (2012)." Effect of well depth and depth
location of surrounding impervious wall on drawdown of
ground water control system in an unconfined
aquifer ",M.Sc. Thesis, Civil Engineering, Public
Table II: Comparison between results of drawdown Works Department, Cairo University,Egypt,.
for soil layers subdivision to four layers, soil layers
subdivision to five layers and measured data at McDonald M.G. and Harbaugh A.W.(1988). ''A
piezometer location. Modular Three-Dimensional Finite Difference
Ground-Water Flow Model'', U.S. Geological
Survey Open-File Report 83-875.
Percentage
Drawdown difference El Khouly, M. (2002). "Control of the Side Effects of
Case No.(b)
(m) (Case i-Case b- Dewatering Systems", Journal of Egyptian
3)/Case b-3 Geotechnical Society, Egypt, Vol. 13, part 1,
b-1 5.6 60 June.
b-2 2.29 2
b-3 2.24 - El Khouly, M. (1999). "Numerical Analysis of
Complex Dewatering Systems", Journal of
Egyptian Geotechnical Society, Egypt, Vol. 10,
June, PP. 23-48.
For Case (b): from Figure 13 by comparing the
drawdown results computed from Visual Modflow at
the center of the excavated square area which
surrounded by partially penetrating cutoff walls for
soil layers subdivision to four layers (Case b-1), soil
layers subdivision to six layers (Case b-2) and soil
layers subdivision to eight layers (Case b-3) as
shown in Table I I, it is found that as the numbers of
layers subdivisions are increases from four to eight
layers as shown in Figures 7, 8 and 9, respectively,
drawdown result at the center decreases and
almost was constant for Case (b-1) and Case (b-
2).
7. Conclusion
In Case (a), for the more refined (subdivision) of

vertically layers in cross section within the 3-D grid,
the drawdown result get closer compared to the
measured drawdown at the piezometer location in
the field. It is concluded that as layer is more
refined, more accurate drawdown results are
obtained. Subdivision will be more sensitivity for
larger areas with more number of wells specially in
case of using impervious walls than single well in
free field.
DISCRETE ELEMENT METHOD SOFTWARE APPLICATION FOR

COHESIONLESS SOIL MODELS
APPLICATION DES PROGRAMMES D’ELEMENTS DISCRETS POUR LES
MODELES DE SOLS NON COHERENTS
1
Adrian PRICEPUTU
1
Technical University of Civil Engineering, Bucharest, Romania
ABSTRACT - The paper shows a numerical application developed for the PC that uses the high computing
capabilities of the modern graphical processors to employ the discrete element method (DEM) in the
modeling of the granular media behavior subjected to external and internal actions. The discrete element
method is usually a suitable way to simulate the behavior of media and dynamic phenomena that have a
discrete nature, such as soils liquefaction, erosion, or the propagation of instability through soil or snow
masses. DEM is more precise for these types of phenomena due to the fact that a pseudo-continuous
approach doesn’t succeed to properly model them after the state of equilibrium has been lost. The paper
shows the basic principles of DEM, an iterative computation example using computational software, as well
as the developed software application that uses an existing solver to handle up to about 5000 particles in
real time computation.
1. Introduction mainly due to the rearranging of the particles as

rigid bodies. This enables us to focus on the
The discrete element method (DEM) is a numerical movement and interactions of the particles and
model (Cundall and Strack, 1979) able to describe treat them as rigid bodies while neglecting their
the mechanical behavior of granular environments. respective deformations.
These may be particle assemblies such as
spheres, cubes, or any other geometrical shape
which interact with each other only in the contact
points. The method is based on using an explicit
numerical approach in which the particles
interaction is modeled contact by contact and the
particles movement is modeled particle by particle.
Due to the discrete character of the environment,
its mechanical behavior when subjected to loading
and unloading conditions is rather governed by the Figure 1. General contact interface model (Onate
contact phenomena than by constitutive laws that and Rojek, 2004)
describe the material.
The computations involved in a DEM approach The DEM models may employ two distinct
are quite trivial, alternating two numerical steps approaches: “soft-sphere” and “hard-sphere”
(Malone and Xu, 2008) - the second law of Newton (Duran, 2000). The soft-sphere method, introduced
and a force-displacement law in the contacts. The by (Cundall and Strack, 1979), was the first method
second law of Newton handles the particles for simulating the dynamic behavior of granular
movement under applied forces, while the force- materials published in literature. This technique
displacement law is used to compute the contact allows the particles to virtually overlap, enabling the
forces out of virtual displacements. computation of the contact forces resulted from
The normal and tangential contact forces are collisions. A main feature of this approach is the
obtained using a constitutive model for the contact possibility of running multiple simultaneous
between two rigid particles (Figure 1 shows a collisions between particles. On the other hand, in
contact modal for two-dimensional discs). This a hard-sphere model (Hoomans et al. 1996) a
paper considers the contact to be characterized by succession of collisions is processed, without
a normal and a tangential stiffness (Kn and Kd), a allowing any overlaps, each being unique and
friction coefficient μ and a normal damping instantaneous, often the forces between particles
coefficient cn (Onate and Rojek, 2004). not being explicit. This method is advantageous
One of the assumptions of the discrete element when modeling rapid granular flow (with
method is that the deformations of individual applications to rapid landslides phenomena and
particles are negligible compared to the avalanches). This paper employs the soft-sphere
deformations of the entire assembly, which is
approach, often being considered the most suitable

for general simulations of granular media.
This paper employs the “soft-sphere” approach
(Cundall and Strack, 1979) for contact handling,
which enables virtual superposition of particles,
often being considered the most suitable for
general simulations of granular media, as opposed
to the “hard-sphere” approach (Hoomans et al.
1996), which doesn’t allow particles to overlap thus
the forces between particles not being explicit.
Figure 3. Particles positions after itteration 1 (left)
and 2 (right)
2. Numerical example using seven particles
subjected to normal elastic contacts
A numerical example of the discrete element

method was constructed employing a simple 2D
model using seven circular planar particles (discs)
that undergo normal elastic collisions. The
calculations were made using computational
software that allowed us to plot functions
describing the particles’ positions at certain steps
of time (Figure. 2 ÷ Figure. 4). It was noticed that
even in this simple case, four iterations were
Figure 4. Particles positions after itteration 3 (left)
needed to pass from one state of equilibrium to
and final state of equilibrium (right)
another.
For simplicity, a linear-spring-dashpot (LSD)
The intermediate positions define the supposed
contact model was employed in this example
positions of the particles after a time increment of
(Cundall and Strack, 1979), (Malone and Xu,
Δt, which are required to determine the collision
2008), which is basically a reduction of the one
forces. The operation is repeated only after no
depicted in Figure 1, neglecting the tangential
particle superposition is detected, thus obtaining
contact parameters.
the final state of equilibrium after a time increment
Initially, the particles were given certain
of Δt.
positions in space and such initial velocities that
collisions were expected. The figures below show
both the initial (Figure 2) and final (Figure 4 right),
state of equilibrium as well as the intermediate 3. The developed software for DEM modeling
steps (Figure 3 ÷ Figure 4 left), that were needed to
achieve equilibrium. The software was developed using C++ and
DirectX technology for three-dimensional
rendering. The environment is 3D and the
computations are performed in real time. The
software development was focused on the pre- and
post-processors. The solver used was developed
by AGEIA, based on NovodeX, a physics engine
developed NovodeX AG, spinoff of ETH Zurich.
The solver uses the graphics processing unit
(GPU) to accelerate the computations required in
DEM contacts.
3.1. Software key features
The program enables the definition of spherical

particles following a certain particle size
distribution. The interface allows the user to define
an inferior and superior limit for the PSD curve,
which is then generated within the desired limits
with a given number of distinct diameters (Figure
5). If the two limits coincide, then the result will be a
PSD curve similar to the two input curves.
Figure 2. Initial state of equilibrium
The generated particles are created at random

positions within a user-defined imaginary box in the
three-dimensional space (Figure 6). When the
simulation is ran, the particles settle naturally until
they reach a stable state (Figure 7).
The friction and damping coefficients used to
describe particle contacts can be altered by the
user, as well as the direction and magnitude of
“gravity”. Also, virtual bounding planes can be
defined in order to establish the boundaries of the
environment (Figure 7).
3.2. Software capabilities
The capabilities of the software are described

employing two landslide scenarios: a progressive
(Figure 8) and a regressive (Figure 9) landslide.
Figure 5. Imposed grading strip for PSD generation
Then most difficult part when modeling landslides is
establishing the instability propagation. Stability
analysis employing both finite element method
(FEM) and limit equilibrium method (LEM) study the
landslide triggering without being able to accurately
anticipate the sliding mass displacement, due to
the restrictive formulations of the aforementioned
methods (LEM assumes non-deformable soil slices
while FEM loses stability in Lagrange formulations
at large deformations, and Euler formulations have
not yet been successfully employed in landslide
modeling). When using DEM, the sliding mass
propagation can be studied by modeling the
interaction between the particles. Furthermore, the
slide triggering mechanism can also be studied
using DEM.
Figure 6. Snapshot of the initial positions of 2000

generated particles
Figure 8. Progressive landslide simulation
Figure 9. Regressive landslide simulation
When simulating the progressive landslide, a

stable slope was constructed (Figure 8 a) and the
Figure 7. Snapshot of the settled positions of 2000 contact parameters between particles were
generated particles changed, simulating a change in the soils
mechanical properties, which may be caused by
water infiltration. It was easily noticed how a windows-based interface and allows the user to
progressive landslide developed (Figure 8 b and c) work in a three-dimensional environment and
until a new stable slope was obtained (Figure 8 d). watch the simulations run in real-time.
For the second simulation, the toe of a stable Some of the DEM-related features of the
slope (Figure 9 a) was removed, allowing us to software are presented together with some of its
visualize the development of a regressive landslide capabilities, employing two landslide scenarios,
(Figure 9 b and c), until a new state of equilibrium which show good qualitative results.
is achieved (Figure 9 d). This phenomenon may However, no real quantitative results have been
occur in cases of natural toe erosion, or even in obtained, since the work on the program is still in
cases of bad management of stabilized landslides. the first stages. Some useful features are planned
for future development, which will allow more
3.3. Future development goals flexibility in creating and calibrating models and
more ways to interpret the obtained results.
Further development of the software will focus on
making the application more user-friendly and more
suitable for running parametric calibration models. 5. References
To achieve this, the future development will
focus on the following features: Cundall P.A., Strack C.D.L. (1979). Discrete
- the ability to save the state of the model at key numerical-model for granular assemblies.
points in order to facilitate parametric studies ran Géotechnique, vol. 29, pp. 47-65.
on similar configurations; Duran, J. (2000). Sands, powders, and grains: An
- the ability to record and visualize the contact introduction to the physics of granular materials.
forces; Springer, New York.
- the possibility of enforcing boundary planes Hoomans, B.P., Kuipers, J.A., Briels, W.J., & Van
movement, with given velocities and directions, to Swaaij, W.P. (1996). Discrete particle simulation
simulate different laboratory tests for the purpose of of bubble and slug formation in a two-
model calibration; dimensional gas-fluidized bed: A hard-sphere
- the ability to employ user defined objects in approach. Chemical Engineering Science, vol.
order to create realistic environment for the 51, n°1, pp. 99-108.
simulations; Lu, M., McDowell, G.R. (2007). The importance of
- the possibility of defining different particle modelling ballast particle shape in the discrete
shapes, since the influence of the particle shape on element method. Granular Matter, vol. 9, pp. 69-
material behavior was already highlighted by Lu 80.
and McDowell (2007); Malone K.F., Xu B.H. (2008). Determination of
- the ability of running Monte-Carlo simulations contact parameters for discrete element method
to obtain statistical data on pre-defined scenario simulations of granular systems. Particuology,
models. vol. 6, pp. 521-528.
Onate E., Rojek J. (2004). Combination of discrete
element and finite element methods for dynamic
4. Conclusions analysis of geomechanics problems. Computer
Methods in Applied Mechanics and Engineering,
The use of limit state equilibrium or finite element vol. 193, pp. 3087-3128.
methods in geotechnical modeling often has its
limitations in studying a model’s behavior with large
deformations. It has been shown in the past few
years that DEM can be a suitable tool for simulating
granular material behavior, such as soil.
Developing a software application that
implements DEM shows great advantages, some of
the most important being the flexibility of load
configurations, particle sizes (through
granulometric distributions) and shapes, as well as
material properties through particle density and
contact characterization. So far, the available
discrete element method software are either too
difficult to use in practice due to the complexity of
the pre- and post-processors, or have limited
computing capabilities, since they perform CPU-
based (Central Processing Unit) computations.
The presented program employs the
advantages of the modern graphics processing
units (GPUs), which are much faster than the
CPUs. The software employs a user-friendly
MODELING OF MASS FLOW AND LARGE DEFORMATIONS DUE TO

COMPLEX FAILURE BEHAVIOR
MODELISATION DE MOUVEMENTS DE MASSE ET LARGES DEFORMATIONS
ASSOCIES A DES CAS DE RUPTURE COMPLEXES
1
Solenne ROCHÉE
1
Technische Universität Darmstadt, Institute and Laboratory of Geotechnics, Germany
ABSTRACT - Several great damages and failures like the collapse of the City Archive Building in Cologne or
slope failures in coal mining areas led to severe safety problems. The failure behavior is mainly influenced of
a complex mass flow of water-sand mixtures and large deformations of the soil ground. In order to avoid
such incidences, a proper estimation of the risk potential is required, for which a better comprehension of the
phenomenon and an appropriate choice of experimental and numerical tools are important. For the analysis
of those damages and failures, numerical modeling of multiphase flows is based here on the Distinct-
Element Method (DEM). As numerical parameters differ from the common mechanical properties of the soil,
a significant study for the parameter identification is necessary. In this contribution, results of the parameter
study for a correct modeling of water-sand mixtures in correlation with laboratory tests and experiments from
the Institute of Geotechnics at Technische Universität Darmstadt are presented and discussed.
1. Introduction 2. Distinct-Element Method (DEM)
Comportment of soil is strongly influenced by the 2.1. Modeling of granular part

presence of water. Several great damages and
failures like the collapse of the City Archive Building An overview of Distinct-Element Methods with some
in Cologne or slope failures in coal mining areas led applications in soil mechanics is given by Donzé et
to severe safety problems, where the failure al. (2008). The Distinct-Element Method used here
behavior is mainly influenced of a complex mass and its applicability to granular matters was
flow of water-sand mixtures and large deformations originally developed by Cundall and Strack (1979).
of the soil ground. So far as such events occur, Calculations presented in this paper are performed
3D
development of new tools for improving the actual with the software PFC v4.0 from Itasca (2008).
design methods in the framework of geotechnical In the Distinct-Element models, numerical
design of infrastructures and for a better entities representing the granular part are either
understanding of those phenomena will be spherical particles or clumps constituted of particles
encouraged. linked together. Position of the elements is
Analysis of failure behavior requires firstly actualized after each time step with integration of
predicting if the incidence will occur or not, secondly the Newton’s 2nd Law of Motion under
identifying degrees of damage in case of failure. consideration of the applied forces and moments.
Complexity of failure behavior in saturated soils is Knowing then the displacement, velocity and
related to the fact that both soil mechanics and fluid acceleration of each element, new values of forces
dynamics processes are involved. and moments are calculated with force-
For a numerical modeling of those failures, displacement laws defined in the numerical model
particle-based methods have the advantage firstly (see Figure 1).
that the fluid and solid parts are considered
separately. Therefore, actual investigations which
are mostly on a macroscopic scala are completed
with a micromechanical analysis of the
phenomenon. Secondly, parts which are set as
particles are mesh-independent and consequently
adapted to model great deformations. Principal
limitations of this method are that long
computational times are mostly required and that
an extensive calibration is necessary in order to
match the comportment of the real materials,
particularly in case of granular materials such as
sandy soils.
Figure 1. Calculation cycle (Itasca, 2008)
This contribution focuses on granular soils, R for spherical particles) and number of elements
excluding the complexity of internal cohesive (N), grading curve;
forces. Contact laws used in the models are - Contact parameters: normal and shear stiffness
illustrated on figure 2. Normal forces are (respectively kn and ks) in case of linear contacts,
proportional to the overlapping between the two friction coefficient (μ);
spheres with a coefficient of proportionality equal to - Initial conditions such as porosity (n), highly
the normal stiffness kn. Tangential forces are influenced by the method used for generating the
proportional to the relative displacement between particles (see part 3.5), or existence of parallel or
the two spheres in the tangential direction. contact bonds between the elements.
Coefficient of proportionality is the shear stiffness
ks. The maximal allowed shear force depends on a
friction coefficient μ. 3.2. Correlations with real parameters of sand
Geometrical parameters are related to the

morphology of sand particles, which is
characterized by sphericity, roundness and surface
structure (Krummbein et al., 1963). Because sand
elements have an irregular form and surface, it is
complex to obtain numerical elements having
Figure 2. Interaction between particles defined with exactly the same geometrical characteristics.
linear contact laws (kn = normal stiffness; k s = shear Moreover, studies focusing on the influence of
stiffness ; μ = friction coefficient) (Schmitt, 2004) particle shape mentioned that the computational
time increases with the complexity of the geometry
and number of elements per clump (Salot et al.,
2.2. Modeling of fluid part 2009). All simulations here were therefore
performed on spherical elements or clumps with a
Choice of the model for the fluid part depends small number of individual elements.
significantly on initial and boundary conditions, At small strains, a granular soil presents
particularly of level of fluid velocity or pressure predominantly a linear elastic behavior. Initial
gradients, as described in reference manuals of stiffness E0, Poisson's ratio ν and shear modulus G
Itasca (2008). A possibility to model the fluid part is are parameters used for describing the elastic part
to develop new contact laws between the particles of the material behavior. With increasing
including the effects of the fluid forces. In case of deformations, the material behavior reaches a
saturated soils, another method which is used in the maximal strength. Irreversibility of plastic behavior
present study is to consider the fluid as a is due to a rearrangement of the particle assembly.
continuum. This type of hydromechanical model is Relevant parameters are the maximal friction angle
used by Zeghal and El Shamy (2010) and by Hüls φmax in case of densely packed materials, the
and Grießl (2012) for a liquefaction study. critical friction angle φcrit, the critical void ratio ecrit
Calculations were here performed through coupling and the angle of dilatancy ψ.
with a Computational Fluid Dynamics software. Target of the calibration is firstly to obtain a
Another possibility to add the fluid is the combination of input parameters (see 3.1)
Smoothed Particle Hydrodynamics (SPH), a mesh- conducting to numerical results similar to curves
free Lagrangian method already applied for obtained from real tests for sandy soils. Tests
example in river engineering to model sediment presented in this contribution are angle of repose
transport (Vetsch, 2012). tests and compression tests. Schmitt (2004) and
Before adding the fluid coupling, a combination Salot et al. (2009) already demonstrated the
of numerical parameters is chosen for the granular possibility to match real curves with a defined
part, based on an extensive calibration. A part of combination of numerical parameters.
this calibration is presented here. More largely, the influence of a variation of the
micromechanical parameters on the usual
macromechanical parameters given previously is
3. Calibration for granular part investigated. As the soil behavior is influenced by
density (pyknotropy) and stress level (barotropy), a
3.1. Input parameters control of those parameters at the initial state and a
measure during the simulations are necessary.
An extensive calibration is necessary in order to
match the comportment of the real materials. A
parametric study requires firstly the identification of 3.3. Grading curves
input parameters, secondly experimental tests with
which numerical results can be compared. Input Particle size distributions of the real and numerical
parameters from Distinct-Element models are: samples are given on figure 3. A modification of the
- Geometrical parameters: type of element (clump grading curve for numerical modeling is required in
or particle) and consequently its shape, size (radius order to reduce the number of elements.
Dimensions of the numerical samples are chosen in order to reduce the number of elements
modified according the highest diameter of the and consequently the computational time. Further
elements. Removing the largest fraction investigations are therefore required in order to
(> 1 mm) allowed therefore keeping reasonable eliminate this dimension effect.
dimensions of the samples.
As a small percent of fines is related to a very
high number of particles, the corresponding part
would also be removed (0,063 mm to 0,125 mm).
Effects of this simplification should however be
further investigated, as the fines content has an
important influence on a water saturated soil, for
example in case of liquefaction (Prakash and Puri,
2010).
Figure 4. Numerical modeling of angle-of-repose

tests – a) general view - b) cross-section
3.5. Sample generation for compression tests
Densest states are obtained here by generating the

elements with the Radius-Expansion Friction-
Decrease Method, developed by Chareyre and
Villard (2003) and already used for example by
Salot et al. (2009). It is then possible with this
method to generate homogeny samples under a
defined load and for a defined porosity.
Figure 3. Simplification of the grading curve for Average diameter of the elements composing
numerical simulations the sample has an influence on minimal and
maximal porosity obtained with the previously cited
method: higher scaling factors lead to higher
3.4. Angle-of-repose test porosities, as illustrated on figure 5. Limits stay
however mostly between the minimal and maximal
Angle-of-repose tests are not normalized. Details values estimated by laboratory tests (nmin = 0,32
about the procedure and test conditions are given and nmax = 0,44). Dimensions used for this
for example by Masin (2012) in the framework of a investigation are the same as those used later for
calibration for hypoplasticity model. Corresponding the compression tests (part 3.6). The
procedure is only applicable on non-cohesive soils corresponding sample with a diameter and height
with particles greater than 0,1 mm. If the fraction each of 10 mm contains around 20.000 elements.
smaller than 0,1 mm do not represent more than
20 % of the total mass, it can be removed influence
of the results.
Critical friction angle obtained from compression
tests is around equal or little smaller than the slope
angle measured during an angle-of-repose test. As
critical friction angle depends principally on
geometrical properties (in the micromechanical
parameters), this test is used for further
investigations on the element form and the
influence of grading curves.
For the numerical simulations, clumps are
constituted of two particles with the same radius R.
Angularity is then defined similarly to Salot et al.
(2009) as the ratio between the radius R and the Figure 5. Influence of scaling factor on loosest and
maximal length of the clump L. For the simulations, densest layering obtained by Radius-Expansion
two elements would be varied: firstly, the ratio R/L Friction-Decrease Method
for defined dimensions of the test; secondly,
dimensions of the test particularly of the cylindrical No scaling would be applied for calibration of
base for a defined ratio R/L. Slope angles granular part (scaling factor equal to 1). Parameter
measured by numerical tests vary between 35 and conserved between experimental and numerical
39°. Results until now show more influence of samples is not the porosity but the relative density,
dimensions of the test elements as of the geometry obtained in case of numerical with the limit defined
of the clumps. A reduction of the base would be on figure 5.
3.6. Numerical simulation of compression tests 5. References
Angularity has been firstly chosen so that it is Chareyre B., Villard, P. (2003). Discrete element
comparable with form of real sand: clumps are modeling of curved geosynthetic anchorages
constituted of two spherical particles with a radius R with known macro-properties. Numerical
and distance between centers of the particle is Modeling in Micromechanics via Particle
equal to 1,07*R. Methods, Proc. of the First International PFC
According Salot et al. (2009), Poisson’s ratio, Symposium, Gelsenkirchen, Germany, 6/7
which is obtained from the curve representing November 2002, Konietzky (ed), pp. 197-203
volumetric strain as a function of axial strain in the Cundall, P. A., Strack, O. D. L. (1979). A discrete
area of low axial strains, is mainly influenced by the numerical model for granular assemblies.
relative density, the angularity and the ratio between Géotechnique, vol. 29, n°1, pp. 47-65.
normal and shear stiffness ks/kn. The influence of Hüls, W., Grießl, D. (2012). Zur Modellierung
the ratio ks/kn with an angularity comparable with böschungsferner verflüssigungsempfindlicher
form of real sand is represented on figure 6. Kippenböden bei Grundwasserwiederanstieg. In:
Vorträge zum 19. Darmstädter Geotechnik-
Kolloquium am 15. März 2012, Mitteilungen des
Institutes und der Versuchsanstalt für
Geotechnik der Technische Universität
Darmstadt, n° 91, S. 55-75.
Krummbein, W. C., Sloss, L. L. (1963). Stratigraphy
and sedimentation. 2nd Edition. San Francisco:
W. H. Freeman and Company.
Prakash, S., Puri, V. K. (2010). Recent advances in
liquefaction of fine grained soils. Fifth
International Conference on Recent Advances in
Geotechnical Earthquake Engineering and Soil
Dynamics on May 24-29 2010, San Diego,
California, Paper No 4.17a.
Salot, C., Gotteland, P., Villard, P. (2009). Influence
of relative density on granular materials
behavior: DEM simulations of triaxial tests.
Figure 6. Influence of the ratio ks/kn with Granular Matter. 2009, vol. 11, pp. 221-236.
kn = 1e5 N/m and comparison with an experimental Schmitt, A. (2004). Experimentelle und numerische
triaxial compression test (“real test”, consolidation Untersuchungen zum Tragverhalten von
under 150 kN/m²) Ortbetonpfählen mit variabler
Bodenverdrängung. Mitteilungen des Institutes
According this figure, numerical curves with high und der Versuchsanstalt für Geotechnik der
ratios are closer to the experimental curve in case Technischen Universität Darmstadt, n° 70.
of high strains. On the other side, lower ratios, in El Shamy, U., Zeghal, M., Dobry, R.,
the range of 1/10, match better the real tests in the Thevanayagam, S., Elgamal, A., Abdoun, T.,
area of low axial strains, what is then more relevant Medina, C., Bethapudi, R., Bennett, V. (2010).
for the calibration. Micromechanical aspects of liquefaction-induced
lateral spreading. International Journal of
Geomechanics, 10 (5), 190-201.
4. Conclusions Vetsch, D. (2012). Numerical Simulation of
Sediment Transport with Meshfree Methods.
The results presented here will be further used for Mitteilungen 219, Versuchsanstalt für
the calibration of the granular part. It firstly points Wasserbau, Hydrologie und Glaziologie (VAW),
out the importance of the control of the relative R. Boes, Hrsg., ETH Zürich.
density, of scaling factors, of simplification of the
geometry of the elements and of the grading
curves. Secondly, the curves corresponding to the
compression tests show on a qualitative way the
influence of a variation of the ratio between normal
and shear stiffness and confirm the fact that it is
possible with Distinct-Element method to reproduce
on a quantitative way the comportment of sand
from laboratory tests in the area of low axial strains.
AN ALTERNATIVE METHOD OF SOLVING SOIL-STRUCTURE

INTERACTION PROBLEM FOR FOUNDATION DESIGN
UNE MÉTHODE ALTERNATIVE DE RÉSOLUTION DE PROBLÈME
D'INTERACTION SOL-STRUCTURE POUR LA CONCEPTION DES FONDATIONS
1
Stanislav SHULYATEV
1
Research Institute of Bases and Underground Structures (NIIOSP), Moscow, Russia
ABSTRACT –The method in question is based on simplifying superstructure when foundation designing.
The comparison with measured settlements of Ministry of Foreign Affairs of Russian Federation building
proved its efficiency. In addition to the developed method there is a simple way to take into account building
construction sequence is presented.
1. Introduction make possible to minimize time when designing

and calculating a model as well as to decrease
We are obliged to pioneer Meyerhof’s (1947) errors for big schemes.
approach to joint calculations for the simplest frame To create such a method there have been made
constructions. researches for full framed buildings. It showed the
The following researches executed by Grasshoff similar effect as the result of increasing the number
(1966), Lee и Brown (1972), Zhang (1994) and of levels and thickness of a one level plate when
others proved that the more rigid constructive calculating a foundation. At a number of levels
scheme of a building and more flexible soil, the exceeding one, plates tend to compensate the
stronger basic effects of joint calculations are imposed deformations from upper construction
indicated. Such effects as stress redistribution and elements at the expense of self rigidness. It leads
leveling foundation settlements are mentioned to redistribution of stresses between constructions
above. which increases when thickness or rigidity of a
Experimental and field data, represented by plate increases. Influence on this effect, more
Gong (2005), Silva (2007), Krishnaswamy (1997), known as Verendel’s beam effect as a result of
Sorotchan (1981) and others confirmed the results additional rigidity gradually goes down, seeking for
above. constant value, when decreasing the number of
The necessity of noting soil-structure interaction levels. Therefore, addition of all plates stiffness
(SSI) has been pointed out in general reports made won’t provide the expected result.
by Gorbunov-Possadov (1973), Poulos (2001) and In the offered method a unit stiffness of one
others. level is solved empirically by minimizing the factor
In the world practice to solve the problem of SSI differences of deflected mode of foundation plate
two methods were widely used. They are the for a building with n-levels and for the identic one-
interactive method and the method of joint storied building but with variable stiffness of floor
calculations, uniting soil, foundation and slab.
superstructure in a single model.
It is well known, that both methods of joint
calculations take time and need highly qualified
engineers. It resulted in lack of popularity in daily
practice in foundation design and developing
conceptual decisions under complicated soil
conditions or unique constructing.
It’s obvious that we need to develop a method to
execute multivariant foundation calculations, taking
into account superstructure in short time period.
2. Alternative method.
The offered method is based on matching a

stiffness of the whole frame structure with a
stiffness of one level. On the one hand only one
Fig.1. Design model of full frame building.
level will provide correct modeling of the contact
between foundation and structure without necessity
For the modeling the full frame building was
of manually applied loads. On the other hand, it will
chosen with the 5x3 column grid and 6 m bay
(fig.1). The soil model is elastic layer of the finite showed that the points with identic original floor
thickness with deformation modulus equal to 25 slab thickness can be approximated by polynomial
MPa and Poisson ratio 0.2. As the method is function of the second degree. Approximating
mainly meant for preproject stage and conceptual functions are proportional to each other with
design of foundation, only the static vertical loads increasing floor slab thickness. The regression
are taken into account. The materials of the analysis let join all approximating functions to be:
building are supposed to be elastic with the Young
7 2
modulus equal to 3*10 kN/m . ‫ ܦ‬ൌ ܽ ൉ ͳͲିସ ൉ ሺʹ ൉ ݊ଶ ൅ ʹǡ͵ ൉ ݊ െ ʹǡ͹ሻǡሺ͵ሻ
For the comparison the following parameters
were chosen: minimal (S min), maximal (S max) where n – is a number of levels. a – is a ratio,
and average settlements (S ave), the ultimate depending on modified thickness of floor slab of the
moment on Ox and Oy axes (Мх max, Му max) original building, defined by the following formula:
and the smallest moment on Ox and Oy axes (Мх
min, Мy min). ܽ ൌ ʹଵ଴ሺఋି଴ǡଶሻ ǡሺͶሻ
For each parameter we search minimum of
function ξ(D), that is a relative error, for example where δ – is modified thickness of floor slab of the
Smax: original building, defined by the following formula:
ܵ௠௔௫ ௡ െ ܵ௠௔௫ ଵ
ߦௌ ௠௔௫ ሺ‫ܦ‬ሻ ൌ ቤ ቤǡሺͳሻ
ܵ௠௔௫ ௡ య ଵ
ߜ ൌ ට σଵ௡ ߜ௟௘௩ ଷ ǡ
௡
n
where Smax – is the maximal settlement of the
1 where δlev – is thickness of n-level floor slab.
foundation plate for n-levels building, Smax – is the
maximal settlement of foundation plate for one-
storied building, D – is bending stiffness of the plate
(or equivalent stiffness of a floor slab for one-
storied building), δ0 – is equivalent thickness of
one-storied floor slab.
In this case we face multiple-factor task the
selection of such floor slab stiffness for one-storied
building, where all the controlled functions will
prove to be minimal simultaneously is impossible.
So to define the equivalent thickness between
one and n-storied buildings we search the minimum
of such function:
Ɍ ሺሻ൅Ɍ ሺሻ൅Ɍ ሺሻ൅Ɍ ˘ ሺሻ൅

‫ۓ‬ ۗ
ۖ ൅Ɍ ሺሻ൅Ɍ ˘ ሺሻ൅Ɍ ሺሻ ۖ
ͳ ሺሻൌ ሺʹሻ
‫۔‬ ͹ ۘ Fig.2. Dependence of one-level floor slab unit
ۖ ۖ 3
‫ە‬ ۙ stiffness (D, m ) on the number of levels (n) and
floor slab thickness (δ, m).
Finding the minimum of F1(D) function is
executed for model of 3-40 – storied buildings and According to the results of the researches,
floor slab thickness from 15 to 40 cm. These limits flexibility of columns increases with level height
are chosen according to the mass constructing rise. As the result, the stress distribution of the
practice. columns and deflection mode of foundation varies.
When searching the equivalent thickness of one Accounting of columns flexibility, when modeling
level the loads from upper constructions are building via unit stiffness level, is possible by
applied to the floor slab as uniformly distributed decreasing columns area. When a building height
load. The soil is homogeneous. is under 45 m (that corresponds approximately 15
As the result of finding the function minimum levels), the flexibility of columns can be ignored.
there is one level stiffness as the equivalent to n- When a building height is 45-90 m (15-30 levels),
level (from 3 to 40) building stiffness with δ floor it’s necessary to decrease the columns area by a
slab thickness (from 15 till 40 cm). According to the quarter, if a building height exceeds 90 m (more
results, the functions minimum of F1(D) and target than 30 levels), columns area should be decreased
functions (1) are in the short range with high twice.
distribution density and the difference that doesn’t Calculations showed, that the developed
exceed 5%. It confirms the equivalent regularity method (3) can be applied for full-framed buildings
between one and n-levels stiffness. with bay more than 3 m and can be expended for
As the result we get the array of equivalent widely-spread soil conditions, described by basic
points between bending stiffness for one-storied soil models.
building and n-leveled buildings with different floor
slab thickness (fig.2). The analysis of the data
3. Checking the achieved dependence. Nevertheless, when considering foundation

settlements in crosswise direction (fig.4) the
The achieved dependence was checked on the difference between measured and calculated
model of 30-storied building of Ministry of Foreign relative settlement difference makes 65-77%. The
Affairs of Russian Federation (MFA) with box-type difference between measured and calculated
foundation, located on the sand. The constructing results shows the building stiffness calculated on
peculiarities and monitoring data of this building condition of instant erection is higher, especially in
comparing with calculation results are thoroughly crosswise direction. As the results of exaggerated
described in Shulyatev (2012). Let’s consider the building stiffness in crosswise direction settlements
compared results below. in this direction are rather even, that is identic to
The calculations results of the MFA building rigid foundation.
foundation with unit one-storied floor slab stiffness Calculations made under condition of
are shown in fig.2. This picture also contains construction sequence is close to coincide with
monitoring data and calculation results ignoring SSI monitoring data both crosswise and lengthwise
(the load is calculated according to the engineering (fig.3, fig.4). So, relative settlement difference in
method), taking into account SSI and instant axial direction is by 13% less than the measured
erection as well as building construction sequence one (fig.3). As for crosswise direction it is by 12-
(refer to Shulyatev (2012) for more details). 35% less (fig.4). This difference is more likely to be
The calculations made with SSI and instant stipulated by the fact, that in reality the construction
erection of the building showed close identity with technology differs from the one calculated via the
monitoring data when deformation along the construction sequence, that makes essential
foundation plate is considered (fig.3). impact on the deflected mode of the construction,
that corresponds Bartolomey’s (2003) researches.
1,2,3,4,5, - are the same as in fig.2.

1 – measured settlements, 2 – engineering method,
3 – SSI with instant erection, 4 – the developed Fig.4. Foundation crosswise deflection of MFA
method, 5 – SSI with construction sequences. building
Fig.3. Foundation axial deflection of the MFA 4. Calculation of building construction
building. sequence.
As you can see from the results (fig.3), the Gusmao (1997) and Danziger (1997), watching
calculations made via the developed method show foundation settlement when constructing the
the identic results with the calculations including building noted that with level growing of the
SSI and instant erection. The difference in building, growth intensity of foundation differential
settlements doesn’t exceed 2% and the relative settlements decreases. It results in situation when
settlements difference is less than 5%. Bending calculations made on instant erection condition
moments in the foundation plate didn’t change decrease relative settlement of foundation till 50%.
significantly. As for the quantity it differs less than In the development of the offered method on the
by 5%. It says about acceptability of modeling full basis of the worked out model, there were made
frame building via one-storied construction researches considering construction sequence of
according to the shown method. building which showed, that effects, stressed in
Along with that unit stiffness level calculated by Gusmao (1997) and Danziger’s (1997) works are
equation (3) significantly differs from the calculation the result of changes of building stiffness when
made via the engineering method (fig.3). Their building erection.
difference that makes about 35% is stipulated by When erecting a building there can be hundreds
lack of distributive ability of foundation and even of calculating schemes for different stages of
distribution of load calculation via engineering constructing and various buildings stiffness. It
methods which ignore SSI. means, calculating in conditions of instant erection
a building stiffness turns to be higher.
It’s logical to suppose that it’s possible to find Beer de E.E., Grasshoff H., Kany M, (1966). Die
such a building stiffness, when results achieved via Berechnung elastischer grundungsbalken auf
calculations in the terms of instant erection of a nachgiebigem untergrund. Westdeutscher
building will be similar to those which are made verlag. Keln and Oplanden.
taking into account a building construction Cunha R.P., Soares J.M., Silva C.M. (2007).
sequence. Results from a soil-structure interaction study in
To define this dependence there have been Brazilian capital. Proceedings, 14th European
made many comparative calculations with and Conference on Soil Mechanics and Foundation
without construction sequence of a building. Here Engineering Madrid,. pp.445-450.
are the factors chosen for comparison: settlements Danziger F.A.,Barata F.E., Santa Maria P.E.L. e.t.c.
and bending moments in foundation plate, columns (1997). Measurement of settlements and strains
stress as well as general sight of foundation on buildings from the beginning of construction.
deformations. The result is following: stiffness of Proceedings, 14th International Conference on
the building calculated with construction sequence Soil Mechanics and Foundation Engineering,
has a linear dependence on the whole building Hamburg, v.2, pp.787-788.
stiffness calculated regarding instant erection. This Gong J.F., Huang X.L., Teng J. (2005). Rigidity
dependence can be described via the following characteristic and deformation calculation of
approximate equation: large-area thick raft foundation. Proceedings,
16th International Conference on Soil
ୣ୯୳ ൌ ͲǤ͸ ή ௦௘௤ െ ͳ, (5) Mechanics and Foundation Engineering, Osaka,
p. 1471-1475.
where nseq – is number of levels, calculated with Gorbunov-Possadov M.I., Davydov S.S. (1973).
construction sequence, nequ – is equivalent number Interaction of soil bases and structures.
of levels for standard calculation. Proceedings, 8th International Conference on
This dependence is defined within 3-10 levels. Soil Mechanics and Foundation Engineering,
When we achieve fractional number of equivalent Moscow, pp. 383-396.
levels by equation (5), these figure should be Gusmao F.J.A., Guimaraes L.J.N. (1997). Limit
rounded to integers according to fraction rules. stiffness in soil-structure interaction of buildings.
This dependence can be used both separately Proceedings, 14th International Conference on
and in addition to the developed method of making Soil Mechanics and Foundation Engineering,
SSI calculations described above (equ. 3). Hamburg, v. 2, pp.807-808.
Krishnaswamy N.R. (1997). Investigations on soil-
5. Conclusions. raft-superstructure interaction. Proceedings,
14th International Conference on Soil
The SSI problem is very urgent today. Mechanics and Foundation Engineering,
Nevertheless in mass construction practice and on Hamburg. pp.583-586.
the stage of taking conceptual decisions of Lee I.K., Brown P.T. (1972). Structure-foundation
foundations joint calculations of SSI aren’t fulfilled interaction analysis. Structural Division. ASCE.
because this labour intensive process is time 98 (ST11), pp. 2413-2430.
taking. Developing simplified methods of joint Meyerhof G.G. (1947) The settlement analysis of
calculations is one of the contemporary scientific building frames. Structial Engring ,XXV, pp,147.
missions. Poulos H.G., Carter J.P., Small J.C. (2001).
The alternative method proposed in the article Foundations and retaining structures - Research
makes the process of modeling building easy and and practice. Proceedings, 15th International
lets more accurate calculations in comparison with Conference on Soil Mechanics and Foundation
engineering method. As it’s mentioned above, the Engineering, Istanbul, pp. 2527-2606.
developed method is as accurate as present day Sorotchan E.A., Troitzky G.M., Klepikov S.N.
methods of joint SSI calculations. In fact the Lazebnik G.E. e.t.c. (1981). Soil-foundation
developed method combined with calculation of interaction, study and realization. Proceedings,
building construction sequence method (equation 10th International Conference on Soil
5) can be applied when taking conceptual Mechanics and Foundation Engineering,
decisions, making calculations to estimate the SSI Stockholm, v.2, pp.259-262.
impact while constructing as well as check the Shulyatev S.O., Fedorovskii V.G. (2012).
choice of constructing design of foundation. Settlement observations of the ministry of
foreign affairs building in Moscow and
6. References comparison with calculated values/Soil
mechanics and foundation engineering №6.
Bartolomey A.A., Bartolomey L.A. (2003). The Moscow pp.14-20.
influence of the technology of construction on Zhang B.Q., Small I.C. (1994). Finite layer analysis
the stressed-deformed state of system of Soil-raft-structure interaction. Proceedings,
"construction-foundation". Proceedings, 13th 13th International Conference on Soil
International Conference on Soil Mechanics and Mechanics and Foundation Engineering, New
Foundation Engineering, Prague, pp.35-40. Delhi, v. 2, pp.587-590.
THE BEHAVIOUR OF MODERN FLEXIBLE FRAMED STRUCTURES

UNDERGOING DIFFERENTIAL SETTLEMENTS
LE COMPORTEMENT DE STRUCTURES FLEXIBLES MODERNES SOUS
TASSEMENT DIFFÉRENTIEL
1 2
Gerrit SMIT , Christopher CLAYTON
1
LEO Consulting, Pretoria, South Africa
2
University of Southampton, Southampton, United Kingdom
Modern office buildings are often open plan buildings with a frame consisting of flat reinforced concrete (RC)
slabs, RC columns and non-load bearing internal and external partitions and facades. These structures are
more flexible than older conventional buildings with load bearing walls, and the use of conventional
guidelines for differential settlement may therefore be over-conservative. Conventional guidelines focusing
on 2D structures also lack provision for the 3D deformation of a structure. A numerical experiment was
performed which consisted of the design of a 3D, 5-bay by 5-bay, six storey flat slab RC frame with pad
foundations on clay. The behaviour of the designed structure undergoing differential settlement was
predicted by means of linear-elastic finite element analysis. The results show it is possible to normalise the
structural behaviour using a soil-structure stiffness ratio, and demonstrate the importance of 3D deformation,
and of linear vs. non-linear soil modelling.
1. Introduction provide valuable insight and use fewer resources;

however full 3D models can include more detail and
Differential settlement in structures is important show shortcomings of simplified 2D models. The
because differential settlement of foundations often research presented in this paper makes use of the
leads to damage within the structure (Burland et al., capability to analyse a 3D structure to investigate
2001). The impact of differential settlement on a the behaviour of modern flexible framed structures
structure has been widely investigated (Burland and undergoing differential settlement.
Wroth, 1975; Burland et al., 2001). This previous
research provides valuable insight into the
behaviour of structures undergoing differential 2. Research Methodology
settlement. However it focuses on older
conventional type structures and is based on Finite element analysis was used to investigate the
simplified 2D approaches. behaviour of flexible framed structures undergoing
The design of modern office buildings is often differential settlement. Modern office buildings vary
significantly different from the design of older in design and to minimise the numerical modelling a
buildings, resulting in a more flexible structure. “typical” structure was investigated. The analysis
Modern open plan offices with flat concrete slabs, modelled a reinforced concrete structure, six
concrete columns and glass facades are more storeys high with five bays in both directions,
flexible than conventional load bearing brickwork supported by pad foundations. It was designed
structures and guidelines for conventional according to British Standards and Eurocode 7 to
structures may therefore be overly conservative. determine the member sizes for the finite element
Burland and Wroth (1975) and Burland et al. model. Figure 1 shows the open plan structure with
(1977) developed a simplified method to predict no facades or bracing. LUSAS version 14 software
damage due to differential settlement in buildings. package was used for the finite element analyses.
The method was subsequently refined and is Using the structural sizing from the design the finite
described in detail in Burland et al. (2001). It was element model was created in phases, gradually
used successfully on the Jubilee Line Extension expanding the geometry. Each phase of the model
project. However it is important to realise the was analysed, the behaviour verified and problems
simplifications and limitations of the method, which corrected before commencing with the next phase.
assumes that the deformation of the structure is Once the model was completed the effect of soil-
predominantly two dimensional and that it behaves structure stiffness was investigated by changing the
like a beam. It was thought that these assumptions soil or concrete stiffness by varying the Young’s
might no longer be true for modern flexible framed Modulus of the material. The design of the structure
structures. and verification of the finite element model is
The advance in computers and finite element described in detail in Smit (2010).
software allows for the analysis of 3D models with
increased complexity. Simplified 2D models may
From the results it was evident that an increase of 3

orders of magnitude in structural stiffness is
equivalent to a decrease of 3 orders of magnitude
in the stiffness of the soil. It is therefore the relative
bending stiffness and not the absolute value that
determines the behaviour of the structure.
To determine the effect of the geometry of the
building on the relative bending stiffness an
‘equivalent’ single slab with a similar stiffness was
calculated. Potts and Addenbrooke (1997) have
suggested two possible approaches to calculate the
stiffness (EcI) of a structure. The first approach
employs the parallel axis theorem to define the
Figure 1. Structure layout. structural stiffness about the neutral axis as shown
in Equation 1:
3 Normalisation of Data
n
( Ec I ) Stiffstruct Ec ¦ ( I slab Aslabh 2 ) (1)
The behaviour of a structure undergoing differential 1
settlement is determined by its relative bending and
shear stiffness, which in turn depends on the Where Ec is the Young’s Modulus of concrete, I
stiffness of the building materials, the geometry of is the second moment of inertia, n is the number of
the building, the geometry of the foundations and storeys, Aslab is the cross sectional area of slab and
soil stiffness. For structures of this type, bending h is the height. Using Equation 1 an equivalent slab
(rather than shear) stiffness is thought to be the thickness of 14.0 m was calculated for the model.
controlling factor. Finite element analysis was carried out, replacing
The magnitudes of column loads at ground level the superstructure with a single 14.0 m thick slab at
were used as an indicator of the behaviour of the ground level, with no soil contact, supported by the
structure. Due to symmetry within the structure subsoil columns and foundations, with the same
only six column loads needed to be used. Figure 1 loading as the original structure, showed the
shows the location of the columns. Column A1 is replacement slab to be significantly stiffer than the
the corner column, A2 and A3 are the two edge structure. This can therefore be considered to be
columns, B2, B3 and C3 are internal columns. an overestimate of the building stiffness.
An alternative approach is to obtain the bending
stiffness by adding the independent EI values of
each slab as shown in Equation 2. This implies that
the walls and columns transfer the same deformed
shape to each storey.
n
( E c I ) Flexstruct E c ¦ I slab (2)
1
Using Equation 2 an equivalent slab thickness of

532 mm was calculated for the model. The
structural bending stiffness based on Equation 1 is
Figure 2. Ground level column loads.
approximately 18 000 times stiffer than the bending
stiffness based on Equation 2.
Figure 2 shows the column loads for the 5 bay
structure with an imposed load of 0.5 kN/m² on the
floors, an imposed line load on the edges of the
floor slabs of 7.241 kN/m representing the facades,
a concrete stiffness of 13 GPa and a soil stiffness
that ranges from 100 Pa to 1000 GPa. The wide
range of soil stiffness is unrealistic for real soils;
however it provides valuable insights into the
theoretical structural behaviour. From Figure 2 it is
evident that the column loads at ground level are
approximately constant (but not equal) for soil
stiffnesses less than 0.01 MPa and larger than 100
MPa and vary significantly over a stiffness range
from 0.01 MPa to 100 MPa. Figure 3. Column loads with 532 mm slab.
For the same geometry the stiffness of the
concrete in the structure was increased by three
orders of magnitude (from 13 GPa to 13 000 GPa).
Figure 3 compares the column loads at ground based on a linear elastic model. Yielding of the
level for the equivalent 532 mm slab and for the full columns, floor slabs or soil would reduce the
structure. From the graph it is evident that the predicted column loads.
stiffness of the single 532 mm slab is a good Three distinct zones of behaviour within the soil
approximation of the stiffness of the structure. structure stiffness range can be identified within
Based on a plane strain analysis, only, Potts and Figure 4:
Addenbrooke (1997) defined relative bending • Zone 1 ‘Flexible structure’ is the zone of relative
stiffness ρ* of a building as: bending stiffness (ρ*) where the structure is flexible
in comparison with the soil. For this structure ρ* is
-4
EI typically less than 1 x 10 in Zone 1. The structural
U* (3)
Es H 4 loads in Zone 1 can be determined without taking
differential settlement into account.
• Zone 2 ‘Intermediate structure’ is the
Where EI is the bending stiffness of the
intermediate zone where the loads in the edge and
superstructure, Es is a representative soil stiffness
corner columns increase and the loads in the
and H is half the width (in the plane of deformation)
internal columns decrease with an increase of
of the superstructure. From the equation it is
relative bending stiffness. For this structure ρ*
evident that for a fixed building and foundation -4 -1
typically ranges from 1 x 10 to 1 x 10 in Zone 2.
E
geometry U * v which is supported by the finite • Zone 3 ‘Rigid structure’ is the zone of relative
Es bending stiffness (ρ*) where the structure is rigid in
element modelling results. From Figure 3 it is comparison with the soil. In zone 3 the loads,
evident that EI for this flexible structure without stresses and differential movements within the
bracing or stiffening due to facades can be structure are constant, independent of the relative
calculated with Equation 2. To determine the effect bending stiffness. For this structure ρ* is typically
-1
of building width, a 5 bay x 4 bay and a 5 bay x 3 larger than 1 x 10 in Zone 3.
bay model were analysed. Both models were The designed 5 bay structure on a typical
produced by removing either 1 or 2 of the internal London Clay with an undrained shear strength (Su)
bays of the 5 bay model, which resulted in an of 90 kPa results in an approximate relative
-6
identical line load on the edges of the floor slabs bending stiffness (ρ*) of 2.2 x 10 , which falls in
and identical edge and corner foundations for the Zone 1. This relative bending stiffness was based
structures. on a concrete stiffness of 13 GPa, a bending
stiffness based on Equation 2, i.e. the sum of
independent EI values of each slab and a soil small
strain stiffness of 600 MPa. The ‘typical’ structure
modelled in this paper by finite element analysis will
therefore behave flexibly.
The ‘typical’ structure was modelled without any
internal walls or bracing to reduce the complexity.
To investigate the effect of a stiffer structure the
concrete stiffness was increased, instead of adding
internal walls and bracing. Internal walls and
bracing within structures will increase the bending
stiffness of the structure. The stiffness, location
and fitment details of the walls and bracing will
affect the bending stiffness of the structure. The
Figure 4. Structure normalization
bending stiffness can be expected to be between
the lower bound calculated by Equation 2 and the
Figure 4 shows the ground level column loads of
upper bound calculated by Equation 1. For the
the 5, 4 and 3 bay structures normalised using ρ*
‘typical’ structure modelled in this paper the bending
from Equation 3 where H is half the length of the
stiffness calculated by Equation 1 is approximately
structure. Note that due to the formulation of ρ* the
4 orders of magnitude larger than the bending
‘stiffer soil’ is on the left of the horizontal axis, in
stiffness from Equation 2.
contrast to the previous graphs where the stiffer soil
is on the right. The column loads were normalised
to the column load in the specific column without
4 Structural Strength
any soil-structure interaction effect (i.e. equivalent
to being founded on an infinitely stiff soil).
Concrete, reinforcement steel and soil have non-
Figure 4 shows that the corner column loads in
linear stress-strain characteristics. Modelling this
the linear elastic finite element model for a ‘rigid’
behaviour numerically on a full-scale structure is
structure may be up to 5 times greater than for the
complex and requires significant computing power;
flexible structure. A basic load takedown
therefore a simplified linear elastic model was used
underestimates the edge and corner column loads
to model the behaviour of the structure.
for the ‘rigid’ structure model. However, it is
important to note that the results in Figure 4 are
Because linear-elastic numerical models were structures against column failure, and reducing the
used, the maximum load in the model could be redistribution of load during soil-structure
infinitely high (depending on the deformation), interaction.
whereas in a real building the material would yield,
limiting the load. Under normal operating
conditions the structural members are not intended 6 Conclusions
to be stressed to failure; therefore comparing the
load in the linear-elastic model to the strength gives The following conclusions can be made:
an indication of the performance of the structure. • For an elastic structure supported by a linear
The analysis and predicted column failure is elastic soil it is possible to normalise the relative
described in detail in Smit (2010). From the results bending stiffness (ρ*).
it is evident that (without foundation or slab failure) • Three distinct zones of behaviour exist within the
column failure under normal loading may occur for relative bending stiffness range.
a relative bending stiffness (ρ*) higher than • As the relative bending stiffness increased in the
-3
approximately 1.32 x 10 which is in Zone 2, linear elastic model the axial loads in the corner
intermediate stiffness. If the columns had been columns increased by approximately 5 times, the
sized according to the expected loads calculated for loads in the edge columns approximately doubled
a flexible structure (i.e. producing a corner column and the loads in the internal columns reduced to
smaller than an internal column), failure in the approximately 1/3 in comparison to the column
corner and edge columns would occur at an even loads within a flexible structure.
lower relative bending stiffness. • The linear-elastic numerical model predicted
column loads that exceeded the strength of the
5 Linear vs. Non-linear Soil columns where the relative bending stiffness (ρ*)
was larger than 1.32 x 10-3.
To determine the effect of localised soil yielding • Local yielding of soil around foundations plays
below heavily loaded (corner and edge) columns a an important role in the redistribution of structural
‘non-linear’ model was introduced, following loads during soil structure interaction.
Atkinson (2000). For the ‘non-linear’ model, a
structure with a relative bending stiffness (ρ*) at
-1
small soil strain of 1.32 x 10 (Zone 3, Rigid References
structure) was used.
To analyse the ‘non-linear’ model a concrete Atkinson, J.H. (2000). Non-linear soil stiffness in
stiffness of 780 000 GPa and an initial soil stiffness routine design. Geotechnique, Vol. 50, No. 5,
of 600 MPa were used. Smit (2010) discusses the 487-507.
derivation of the small strain soil stiffness and Burland, J. B., Broms, B. B. and De Mello, V. F. B.
stiffness degradation. Below each foundation a soil (1977). Behaviour of foundations and
block was defined to which an individual stiffness structures. Proc. 9th Int. Conf. on Soil Mech. &
was assigned. The soil blocks were 7.5 m x 7.5 m Found. Engng., Tokyo, Vol.II, 495-546.
wide and 10.4 m deep (5.4 m below foundation Burland, J. B., Standing, J. R. and Jardine, F. M.
level) to coincide with the mesh boundaries. For (2001). Building response to tunnelling. Case
the first iteration of the finite element analysis 10% studies from construction of the Jubilee Line
of the structural load was applied and a 600 MPa extension, London. Volume 1 Projects and
soil stiffness was assigned to the soil blocks around Methods. CIRIA Special publication 200.
the foundations. The settlement of each foundation Thomas Telford, London.
was extracted from the model and a new soil Burland, J. B. and Wroth, C. P. (1975). Settlement
stiffness calculated that allowed for stiffness of buildings and associated damage. Proc.
degradation with strain. The calculated stiffnesses Conf. Settlement of Structures, Cambridge, 611-
were assigned to each soil block after which the 654.
model was analysed again. These steps were Potts, D. M. and Addenbrooke, T. I. (1997). A
repeated until the change in stiffness in each block structure’s influence on tunnelling induced
was less than 0.1 MPa, after which the load was ground movements. Proceedings of ICE,
increased by 10% and the process repeated. Geotechnical Engineering 125, Issue 2, 109-
The final soil stiffnesses at 100% load were 125.
reduced to between 90 MPa and 125 MPa. Smit, G. (2010). The behaviour of modern flexible
The results show that non-linear stiffness of the framed structures undergoing differential
soil beneath the foundations has a significant settlement. Ph.D. Thesis, Faculty of
influence on the column loads. The load in the: Engineering, Science and Mathematics, School
• corner column (A1) was reduced by 34%. of Civil Engineering and the Environment,
• edge columns (A2, A3) were reduced by 11%. University of Southampton, Southampton,
• internal columns (B2, B3, C3) increased United Kingdom.
between 56% and 65%.
It is evident that the local yielding of soil around
foundations may play an important role in protecting
FINITE ELEMENT ANALYSES OF THE SHOTCRETE LINING

BEHAVIOUR
COMPORTEMENTS DES REVÊTEMENTS AU BÉTON PROJETÉ PAR LA
METHODE DES ELÉMENTS FINIS (M.E.F)
Argyro SOULI1, Lindita KELLEZI2

1
Project Manager, GEO, Copenhagen, Denmark
2
Project Director, GEO, Copenhagen, Denmark
ABSTRACT - Tunnelling is an engineering practice, becoming increasingly popular, as part of the

transportation development process in crowded cities. Specifically, the New Austrian Tunnelling Method
(NATM) is associated with the use of sprayed concrete. A series of parametric finite element analyses are
carried out to investigate the tunnel behaviour and ground movements in NATM tunnels. More specifically, a
tunnel in London clay is investigated. The finite element methods are really effective in stimulating the
ground-support interaction of the tunnel. The aim is to compare the approaches in terms of tunnel response
(settlements and/or moment/forces) and comment on how accurate ground movements can be predicted in
each case. Two different approaches of modelling the tunnel lining were used, the beam element model and
the solid element model. The aim is to compare the two approaches in terms of tunnel response and
comment on how accurate ground movements can be predicted, using the solid element model.
INTRODUCTION Shotcrete hardens in place and hence

eliminates the formwork that is necessary in
The New Austrian Tunnelling Method (NATM) is conventional cast in place concrete (Mahar, 1975),
described by Rabcewicz (1964) to be a modern see Figure 1. However, the hardening rate may
tunnelling construction method. The concept of vary according to the orientation of the receiving
NATM is to minimise loosening and deformations. surface and other parameters. Constitutive laws for
The application of sprayed concrete or shotcrete in shotcrete are not well established nowadays. Part
underground support has become major in recent of this paper is aiming in the understanding of the
years. Sprayed concrete was originally applied in changing properties of shotcrete.
rock excavations; however, nowadays it is applied
in softer materials such as London Clay; a stiff,
sedimentary clay (Brown, 1990).
For deep tunnels in sound rock, NATM allows

some limited deformation of the surrounding
ground to encourage the formation of a load
carrying arch. For shallow tunnels in soft ground
though, it is of great necessity to form a load
carrying shotcrete ring immediately after the
excavation to limit settlements and maintain the
inherent strength of the ground.
Shotcrete is the generic name for cement, sand
and fine aggregates applied and compacted Figure 1. Applying layer of shotcrete on reinforced
mesh
dynamically under high velocity. The use of
sprayed concrete involves the adoption of non-
circular shapes and allows flexibility and speed in 1. METHOD OF ANALYSIS
the construction of complex tunnel structures.
Thus, the geometry of the tunnel and the timing of 1.1 Bedded beam model
the application of the lining may vary. For many
years and in many countries, sprayed concrete was In this method, the interaction between the soil and
used as an initial support for excavations with great the lining is modelled by a series of elastic radial
success. At early stages, it shows very plastic and springs for normally applied loads and sometimes
ductile behaviour and has the ability to withstand by tangential springs for shear embedment. The
large strains without being completely damaged stiffness of the lining remains unchanged and the
(ICE, 2004). springs are limited to act only in compression,
allowing separation of the lining from the soil. In effect of the lining properties and loading in terms
reality however, when the tensile stress is induced of surface settlements, displacements, structural
by bending moment, the tensile strength of the forces and stress distribution within the lining. The
concrete becomes larger and cracks occur. After properties of London Clay are stated in Table 1.
cracking, the tensile stress is taken over by the
reinforcement and the concrete between the Table 1. London Clay soil properties
cracks.
c'= 5 kPa
1.2 Finite element methods φ'= 220
There are many design methods frequently applied γ= 20 KN/m3
in practice but numerical methods tend to become
more and more popular. Soft ground, like London K0=1.5 (typical for London clay)
clay, is normally considered as a continuum; hence
Finite Element Methods have a better application. Gmin= 3333.33 kPa
Especially for modelling tunnel behaviour a variety
of ground conditions including both linear, non- Kmin= 4000 kPa
linear responses and non-linear material behaviour
(plasticity) can be taken into account. Unlike other
The diameter of the tunnel was chosen to be
empirical methods, finite element methods can take
eight meters and the lining thickness 0.2 meters. It
into account the soil-lining interaction and allow
is constructed at -20 meters from ground level
parameters such as pore water pressure variation
(distance from the centre of the tunnel to ground
and time and temperature dependent material
surface). The water table is assumed to lie on the
properties to be included. The finite element
top of the ground surface, thus fully saturated
analyses were carried out using the Imperial
conditions apply.
College Finite Element Program (ICFEP) (The
In the analyses tunnel excavation and
Imperial College Finite Element Program Users
construction are modelled over a number of 50
Manual).
increments. The first 10 increments are associated
with the excavation (simulates the removal of
1.3 Modelling the shotcrete behaviour
elements from the mesh) and the 40 increments left
involve the construction of the tunnel (basically the
Constitutive laws for shotcrete are not well
installation of the lining).
established nowadays. Pöttler (1990) was the first
The outer model size is 200 meters wide and 50
to consider the strong time dependency shotcrete
meters deep. The base of the tunnel is at -24
stiffness in terms of a finite element analysis
meters from ground surface. The soil modelled is
background.
London Clay with uniform properties for the whole
The significance of increasing the stiffness and
mesh (see Figure 2).
having an economic tunnel lining is crucial.
The size of the refined mesh of the model is 20
Furthermore, this is a more realistic scenario than
meters wide and 20 meters deep, while the mesh
assuming that shotcrete stiffness is constant.
detail for the solid element model is much coarser
The constitutive model (Schütz et al., 2009)
(see Figure 3). Moreover, 2D plain strain conditions
considers isotropic material behaviour and two
apply for the finite element analyses.
different yield surfaces, one under compression
Analyses were run with both the bedded beam
and one under tension that govern the mechanical
model and the solid element model with
behaviour of shotcrete. The equation applied is the
parameters varying as described in the Table 2.
following:
⎡ ⎛ t ⎞⎤
E (t ) = E 28 ⋅ exp ⎢ s ⋅ ⎜⎜1 − 28 ⎟⎟⎥
⎣⎢ ⎝ t ⎠⎦⎥
Where E28 is the stiffness of the hardened concrete

at 28 days and s is the cement parameter which
governs the rate of increase of stiffness with time.
2. DESCRIPTION OF THE PROBLEM
The problem associated with this paper involves a Figure 2. Outer mesh for the FE analyses
tunnel construction in London clay soil. Different
analyses with different models, both for soil and
lining were carried out in order to interpret the
Figure 4 for crown elements, shows that the

solid runs never reach the yield surface and end up
with lower thrust and moment than the beam runs.
The beam points on the other hand, reach the yield
surface and travel along it, allowing for higher
stiffness to develop.
Figure 5, which presents the comparison for
side elements, shows again that all solid points do
not move towards the yield surface and do not
cross it except the points of the perfectly plastic run
for the reasons explained before. The beam points
nevertheless (on the last increments of the runs),
take much greater values of both thrust and
moment.
For the beam runs the values of thrust are much
larger specifically for the side elements (where the
soil is 'pushing' the tunnel). Only for the perfectly
Figure 3. Refined mesh for FE analyses plastic solid run and for the side elements the point
of (F, M) is located outside the yield surface that
the non-linear model predicts. Generally though,
In the beam runs the normal stress applied (Δσ) the solid runs predict much lower thrust and
and the plastic potential parameters (α, β) are moment, which can be easily interpreted in the
varying, while in the solid runs plasticity and the design of a more economical lining. And the
time that the aging of the shotcrete starts (t0) are importance of an economical design, especially in
varying. It has to be noted that when α=β=1 then such construction works is highly valued
the yield surface coincides with the plastic potential nowadays.
surface.
Table 2. Analyses run in ICFEP

Beam analyses
Δσ= 20 KPa, α = β = 1.0
Δσ= 20 KPa, α = β = 0.5
Δσ= 20 KPa, α = 1.0, β = 0.0
Δσ= 20 KPa, α = 0.0, β = 1.0
Solid Analyses
Δσ= 20 KPa, perfectly plastic, t0 = 672 hours
Δσ= 20 KPa, non-linear, t0 = 672 hours
Δσ= 20 KPa, non-linear, t0 = 3 hours
3. RESULTS AND CONCLUSIONS
The output of the analyses engages both side and Figure 4. Interaction graph for crown elements
crown elements in order to identify the behaviour of
different elements along the lining. An attempt to In terms of surface settlements the beam runs
compare the two different types of analyses in and the perfectly plastic solid run predicted almost
terms of interaction graphs of structural forces is the same maximum settlement. However, for the
made in Figures 4 and 5 for crown and side non-linear solid runs the maximum surface
elements. The beam and solid models have a settlement was quite larger, approximately 40% of
different sign convention for moments and the beam and perfectly plastic runs (see Figure 6
therefore the signs were switched in order to be and Figure 7).
able to fit them in the same graph and comment on
them.
Displacements for the crown and side elements

(vertical and horizontal respectively) were also
derived for all the analyses. As it can also be
concluded from the structural forces, the
displacements for all elements within the lining are
much higher when the beam model is used.
It can be concluded that the soil lining model
predicted well appreciated values for the output of
the analyses. Of course, it is more complicated and
requires many input parameters during the setting
of the analyses, but it is likely to give a much more
realistic and determinative approach of a tunnel
constructed with NATM. There are certainly
potential areas of developing the finite element
modelling of shotcrete behaviour in order to
increase the accuracy in predicting ground
response due to tunnelling. It is of great
significance for this constitutive time dependent law
to get under further research and thus become
more widely used.
4. REFERENCES
Figure 5. Interaction graph for side elements Brown E.T. (1990). ‘Putting the NATM into
Perspective’. Tunnels and Tunnelling, Summer
1990, Special Issue
Dasari G.R., Rawlings C.G., Bolton M.D. (1996).
‘Numerical modelling of a NATM tunnel
construction in London Clay’, 1996, Bakema,
Rotterdam
Jardine R.J., Potts D.M., Fourie A. B., Burland J. B.
(1986). ‘Studies of the influence of non-linear
stress-strain characteristics in soil-structure
interaction’, Geotechnique 36, No 3, p.377-396
Schütz R., Potts D.M., Zdravkovic L., ‘A constitutive
model for the behaviour of shotcrete’. Euro: Tun
2009, Computational methods in tunnelling;
Bochum, German
Figure 6. Accumulative displacement (beam Swoboda G. (1979). ‘Finite element analysis of the
analyses) New Austrian Tunnelling Method (NATM)’.
Proceedings 3rd International Conference on
Numerical Methods in Geomechanics, Aachen,
Vol.2, pp.581-586
Telford T. Institution of Civil Engineers (1996).
‘Sprayed concrete linings (NATM) for tunnels in
soft ground’. London
Telford T. The British Tunnelling Society. ‘Tunnel
lining design guide’. London, 2004
The Imperial College Finite Element Program
Users Manual. Internal Report, Imperial College,
London
Figure 7. Accumulative displacement (solid

analyses)
DYNAMIC RESPONSE OF MULTI-LAYER SOIL UNDER HARMONIC

WAVES: ANALYTICAL AND NUMERICAL SOLUTIONS
REPONSE DYNAMIQUE DES SOLS MULTI-COUCHE SOUS DES ONDES
HARMONIQUES
1
M. B. Can ULKER
1
Istanbul Technical University Institute of Earthquake Engineering and Disaster Management,
Istanbul, Turkey
ABSTRACT - In this study, solutions to the dynamic response of multi-layer soil under progressive waves
are presented. Analytical solutions for a soil layer developed by the author are extended to multi-layers
considering all the inertial terms. Problem is also solved with finite elements and numerical results are
verified with the analytical counterparts. Dynamic response is evaluated in terms of displacement, pore
pressure and stress variations in the layers. The effect of surface layer and underlying granular layers on the
response is presented for various non-dimensional parameters. Applicability of inertial terms in the equations
is also determined. Parametric results indicate that thickness and permeability of the surface layer as well as
the frequency of the wave significantly affect the response. It is determined that the need to include inertial
terms in the equations is controlled by how the flow speed changes between the layers depending on
relative ratios of respective physical parameters.
1. Introduction written in terms of the presence of inertial terms are

also introduced. The analytical solutions for a soil
In practical applications of Geotechnical layer developed earlier by the author (Ulker and
Engineering, often times engineers come across a Rahman, 2009) are extended here to multi-layers
series of soil layers deposited beneath the for all formulations. To the best of the author’s
foundations regardless of where they are located. knowledge, for the first time analytical solutions for
In marine environment, this has particular a multi-layer system with different material
importance in the response considering the parameters are obtained considering all the inertial
constant effect of the incoming cyclic waves terms. The problem is solved through finite
causing similar alternating shear and normal elements as well and numerical results for all
stresses acting on the seabed surface. formulations are verified with their analytical
The studies conducted thus far highlight mostly counterparts. Subsequently, dynamic response is
the response and instability of a single soil layer evaluated in terms of horizontal and vertical
under various loads generally extrapolating the displacements, pore water pressure, effective and
variation of unknowns to deeper soils or sometimes shear stress variations in the medium. Here only
simply calculating a weighted average of the soil the pore pressure response is presented. The
variables. However, as initially emphasized by effect of surface layer with relatively low
some studies such as (Rahman et al., 1994) and permeability along with the underlying more
later presented by the recent ones that a single granular and permeable layers on the response is
layer approach cannot fully represent and capture presented for various soil and wave parameters.
the actual mechanics of a multi-layer case even if The applicability of formulations for the problems
some averaging takes place (Ai and Zeng, 2012; involving a porous multi-layer medium is
Ulker, 2012). Therefore, the dynamic response of a determined in terms of maximum discrepancy in
multi-layer soil system needs to be evaluated in between.
terms of the distributions of pore pressure, effective
and shear stresses developed within the layers. 2. Mathematical Model
Analytical and numerical approaches have been
proposed in the literature using the general The three basic laws; i) Constitutive relation for the
poroelasticity equations developed by (Biot, 1941). stress-strain relationship, ii) Momentum balance
In this study, two dimensional analytical and providing the equilibrium equations of solid and
numerical solutions to the dynamic response and liquid phases, iii) Mass balance equation for the
instability of multi-layer soil under harmonic fluid phase, are necessary to develop a system of
progressive waves are presented. The governing equations defining the fully dynamic response of
equations are presented in their fully dynamic form any two-phase porous medium. Porous media can
(FD) and possible simplifications of quasi-static be viewed as two phase materials considering the
(QS) and partially dynamic formulations (PD) solid grains with different size and shape, and a
viscous fluid (generally water) allowed to flow
through the pores of the medium. The air phase is accelerations associated with the fluid, then we get
assumed to be fully dissolved in the liquid the PD formulation as,
constituting a single compressible fluid.
2.1 Constitutive Relationship ∇T σ + ρg - ρu

&& = 0 , (6a)
T −1 &
&& - ρf gk w = 0 ,
-∇ p + ρf g - ρf u (6b)
The effective stress is defined as:
& + n p& = 0
∇T u& + ∇T w (6c)
σ' = σ + mT p , (1) Kf
where σ and σ' are total and effective stress, m In the above set, if we further neglect the inertia of
is vector form of Kronecker delta and p is the pore the solid part, the QS formulation is derived which
pressure. Tension is taken as positive here. The is generally used for low speed phenomena.
stress-strain relationship is defined as,
3. Semi-Analytical Solution
σ' = Dε (2) The analytical solution for the dynamic response of
multi-layer soil (Figure 1) under harmonic waves is
where D is the material matrix and ε is strain. derived for all formulations; FD, PD and QS. To the
best of the author’s knowledge, this was not done
2.2 Momentum Balance Equations for multi-layer soil including all the inertia.
2π 2π
q = q0e (
The total equilibrium of the system and the z L i kx−ωt )
,k= ,ω =
L T
equilibrium of the fluid phase are written as; −∞ ∞
x l1 l1h
T && - ρu
∇ σ + ρg - ρ f w && = 0 , (3)
Saturated porous layers l2 l2h
& −1ρf g - ρf u ρf &&
-∇p + ρf g - wk && - w=0 (4) h
n
lN l Nh
where ρ and ρf are the densities of the mixture
&& is the acceleration of the soil skeleton,
and fluid; u
w is the average displacement of the fluid phase Figure 1. Multi-layer soil under harmonic wave
&& = d 2 w dt 2 is the
relative to the solid and w Considering all the response variables to be of
average relative acceleration of the fluid which is i ( kx −ω t )
the form, R ( x, z , t ) = R ( z ) e , we can obtain
&& with porosity n. The Darcy’s law with
equal to nw
the permeability matrix, k is introduced above. a harmonic complex form of the equations where
R ( z ) represents the amplitudes of solid and
2.3 Mass Balance Equation
relative fluid displacements, U x , U z , Wx , Wz , pore
The law of the conservation of mass yields, pressure, P and all the stresses, σ′xx , σ′zz , σ xz .
However, now that there is N number of layers, a
& + p&
∇T u& + ∇T w = 0, (5) modified normalized depth ratio, Z = z lh is
Q
introduced into the linear set which is now
correspondingly multiplied by l, the thickness ratio
where Q = K f n and Kf is the bulk modulus of the of layers or l2. If we plug (5) into (4) and write the
pore fluid modified to account for slight reduction in system in scalar form, we get the four harmonic
the degree of saturation (S) where the pore fluid equations in their final form below,
can still be treated as of single phase and the fluid
compressibility is written as β = 1 K f . This equation ⎡ 2 ⎛ ⎛ ω2ρ ⎞ ⎛ iωρ g ⎞ ⎞ ⎤
( )
⎢ ω ρfl - k Ql ( Ux )l + ⎜⎜ ⎜
2
⎝
f
n ⎟⎠ + ⎜⎝
f
k x ⎟⎠l - k Ql ⎟⎟ ( Wx )l ⎥⎥
2
represents the increase in pore pressure as a result 2 2⎢ ⎝ l ⎠

lh ⎢ ⎥
of the change in volumetric strains associated with ⎢
( K + Q )l ⎥
both phases. ⎣⎢ ⎦⎥
(7)
⎛ Q ⎞ ⎛ d ( Uz )l d ( Wz )l ⎞
2.4 Simplified Forms +iklh ⎜ ⎟⎜ + ⎟=0
⎝ K + Q ⎠l ⎜⎝ dZ dZ ⎟
⎠
The above system of equations is called the fully

dynamic formulation (FD). If we neglect the
⎛ Q ⎞ ⎛ d ( U z ) l d ( W z )l ⎛ d ( U x )l d ( W x )l ⎞⎞ satisfied at layer interfaces are: ( fz ) j = ( fz ) j+1 ,

2 2
⎜ K + Q ⎟ ⎜⎜ 2
+ + iklh ⎜ + ⎟ ⎟⎟
⎝ ⎠ l ⎝ dZ dZ 2 ⎝ dZ dZ ⎠⎠
⎛ 2 ⎛ 2 ⎛ ρf ⎞ ⎛ ρf g ⎞ ⎞ ⎞ ( U z ) j = ( U z ) j+1 , Pj = Pj+1 , ( τ xz ) j = ( τ xz ) j+1 and
⎜ ω ρ f ( U z )l + ⎜ ω ⎜ n ⎟ + iω ⎜ k z ⎠⎟ l ⎟⎠ ( z )l ⎟
W
⎝ ⎝ ⎠l ⎝ (8)
+l 2h 2 ⎜
⎜ ( K + Q )l
⎟
⎟
=0
( σ zz ) j = ( σ zz ) j+1 . These equations result in a
⎜ ⎟
⎝ ⎠
linear system written as,
⎡⎛⎛ ω2ρ ⎞ 2 ⎞ ⎛ ω2ρfl - l2h2Ql ⎞ ⎤
l2h2 ⎢⎜⎜
⎜ ⎟ -k ⎟⎟( Ux )l +⎜⎜ ⎟⎟( Wx )l ⎥
⎝ ( K+Q)l ⎠
⎣⎢⎝⎝ K+Q ⎠l ⎠ ⎦⎥ [ξ ] {a} = {F}Mx1 (14)
⎛ Q ⎞ d( Wz )l ⎛ G ⎞ d ( Ux )l
MxM Mx1
⎛ iklh( Q+λ+G) ⎞ d( Uz )l
2
+⎜ ⎟ + iklh⎜ ⎟ +⎜ ⎟ 2
=0 (9)
⎝ ⎠l dZ ⎝ K+Q⎠l dZ ⎝ K+Q⎠l dZ
[ξ ]
K+Q
where M=6N, is the matrix obtained from
d2 ( Uz )l ⎛⎛ Q+λ+G⎞ d( Ux ) ⎛ Q ⎞ d( Wx ) ⎞
dZ2
+iklh⎜⎜ l
+
⎜⎝ K+Q ⎟⎠l dZ ⎜⎝ K+Q⎟⎠l dZ ⎟
l
⎟ boundary and continuity equations, {a} is the
⎝ ⎠
2 2 2
(
⎛ Q ⎞ d ( Wz )l 2 2 ⎛⎜ ω ρl -k Gl ( Uz )l ⎛ ω2ρf ⎞) ⎞ vector of coefficients ai and {F} is the forcing
+⎜ ⎟ ( Wz )l ⎟ =0 (10)
{0, 0, F ,...0}
+⎜ ⎟ +l h
⎝ K+Q⎠l dZ
2
⎜
⎝
( K+Q )l ⎝ K+Q ⎠l ⎟
⎠
vector with F = q0 Q1 being the
only non-zero term coming from the pressure
Here it is necessary to define a set of non- boundary condition at the surface. Variations of
dimensional parameters, the most important ones some of the variables yield,
of which are also stated in (Ulker and Rahman,
2009) as; ⎡ 6 ⎛ ηj ⎞ ηj z ⎤ i kx-ωt )
( τ xz )l = G l ⎢∑ ⎜ + ikb j ⎟ a je lh ⎥ e ( (15)
2 2 ⎢⎣ j=1 ⎝ lh ⎠l ⎥⎦ l
, Π = ⎛⎜ ω lh ⎞⎟
2
Π1 x =
k xVc , Π = k zVc (11)
g βω l 2 h 2
1z
g βω l 2 h 2
2 ⎛K ⎞ ⎡ 6 ⎛ ηj ⎞ ηj z ⎤ i kx-ωt ) (16)
⎝ Vc ⎠ pl = - ⎜ f ⎟ ⎢∑⎜ ik (1+ cj ) + ( bj + d j ) ⎟ aje lh ⎥ e (
⎝ n ⎠l ⎣⎢ j=1 ⎝ lh ⎠l ⎦⎥l
which are defined as the ratio of time for pore fluid
flow in x-direction to time for compression wave to 4. Numerical Solution
travel; the one to account for the flow in z-direction
and the ratio of the rate of dynamic loading to the Finite element method (FEM) is used to discretize
speed of compression wave, Vc , respectively. In the equation system for multi-layers. The resulting
linear system is two equations in (u-w) FD form as,
addition, it is now necessary to account for the
ratios of the non-dimensional parameters of each && ⎫⎪ ⎡0 0 ⎤ ⎧⎪U& ⎫⎪ ⎡ K K ⎤ ⎧⎪U ⎫⎪ ⎧⎪F ⎫⎪ (17)
⎡ Muu Muw ⎤ ⎧⎪U uu uw u
layer which will be of more use in the case of two ⎢ ⎥⎨ && ⎬ + ⎢ ⎥⎨ & ⎬+ ⎢ ⎥⎨ ⎬ = ⎨ ⎬
distinct layers with distinct parameters. Thus, ⎣⎢Mwu Mww ⎥⎦ ⎪⎩W ⎪⎭ ⎢⎣0 Cww ⎥⎦ ⎪⎩W ⎪⎭ ⎣⎢Kwu Kww ⎦⎥ ⎪⎩W ⎪⎭ ⎩⎪Fw ⎭⎪
M uu = ∫ Nu
T
ρ N u d Ω , M uw = ∫ Nu
T
ρ f N wd Ω
( Π1z )l −1 , ( Π 2 )l −1 , m Ω Ω
RΠ1 z = R = Rm = l −1 (12)
( Π1z )l Π 2
( 2 )l
Π ml M ww = ∫ Nw
T ρf
N wd Ω
, C = N T ρ f g N dΩ ,
ww ∫ w w
Ω
n Ω
k
It should be noted here that these ratios are used T ,

K uu = ∫ Bu DBu d Ω + ∫ Bu QBu d Ω K w w = ∫ B w T QB w d Ω
T ,
mainly for two distinct layers in a layered system. In Ω
%% Ω Ω
the case of a multi-layer system with no distinct two Fu = ∫ Nu σ d Γ + ∫ NuT ρ gd Ω , Fw =−∫ NwT pdΓ + ∫ NwT ρf gdΩ
T
layers, using the equivalent layer parameters will Γ Ω Γ Ω
suffice, where N is the shape function matrix and B is the
strain-displacement matrix.
N N
EΠ1 x = ∑ ( Π1x )l ll , EΠ2 = ∑ ( Π 2 )l ll (13) 5. Dynamic Response of Multi-Layer System
l =1 l =1
The dynamic response of multi-layer system is

Employing the boundary and continuity conditions presented in terms of absolute value of pore
summarized below results in the variations of pressure variations for various m, Π1, Π2, (RΠ)1,
response; at z=−h, (U ) = (U ) x N z N
= ( Wz )N = 0 ; (RΠ)2, and Rm values. Figure 2 shows the pore
pressure response for two m and Π2 and three
at z=0, ( σ′ zz ) = ( σ ) = 0 while
1 xz 1
p1 = q 0ei ( kx-ωt ) RΠ1 values showing the effect of spatial variation of
γ wH incoming wave and its frequency (Fig.1) as well as
where q0 = and H is wave height and k
2 cosh(kd ) permeability on two equal length layers. The plots
are obtained considering three values of (RΠ)1 the
is wave number. The continuity conditions to be
effect of which can clearly be seen. For m=0.1, FD
response converges to PD curves minimizing the
p/q
p/q00
significance of inertia associated with the fluid 0 0.2 0.4 0.6 0.8 1
motion but QS differs from both responses. For 0
m=1 and as Π2 decreases, discrepancy between

-0.2
the solutions slightly increases due to layering.
&
-0.4 FD Y^
QS
z/h
0.01 W
z/h
PD
0.1 -0.6
FEM
1 FEM
-0.8 Analytical
Analytical

(a)
(a)
z/h
-1

m=0.1 0.5 0.6 0.7
p/q0
0.8 0.9 1
Π2=10-5 0
(&
FEM
FEM FD
&
Analytical Y^
2& -0.2
35 Analytical QS
-0.4
R
z/h
R
z/h
/ 0
PD
W
0.01 -0.6

0.1
-0.8
1

(b) (b) -1
m=0.1
z/h

Π2=10-3 Figure 3. Normalized pore pressure response of
a) single, b) multi-layer soil: FE and exact solutions

6. Conclusions

This study presents analytical and numerical

0.01 results of the dynamic response of multi-layer soil

0.1 under harmonic waves. A semi-analytical solution

for multi-layers including all the inertial terms is
1 proposed. Equations are also solved through finite
elements and effect of inertial terms is determined.
(c)
z/h
m=1 Results indicate that the thickness and permeability

Π2=10-5 of layers as well as wave frequency significantly
(& affect the response and that the use of inertial
2& terms is controlled by the transition of flow speeds
35 between the layers.

R R

0.01 7. References
0.1
1 Ai Z.Y., Zeng W.Z. (2012). Analytical layer-element
method for non-axisymmetric consolidation of

(d) multilayered soils. Int. J. Num. Analy. Mthd. in
z/h
m=1 Geomech, 36(5), pp. 533-545.

Π2=10-3 Biot M.A. (1941). General theory of three
(&
dimensional consolidation. J. Applied Physics
2& 12, pp.155-164.
35 Rahman M.S., El-Zahaby K., Booker J.R. (1994). A

semi-analytical method for the wave induced
p/q0 seabed response. Int. J. Num. Analy. Mthd. in
Figure 2. Pore pressure response, RΠ1=0.01-0.1-1 Geomech, 18, pp.213-236.
Ulker M.B.C., Rahman M.S. (2009). Response of
Numerical solutions for pore pressure variation saturated porous media: Different formulations
as verified with the analytical ones for a single and and their validity. Int. J. Num. Analy. Mthd. in
a multi-layer system are presented in Figure 3. Geomech, 33(5), pp. 633-664.
Finite element response matches well with the Ulker M.B.C. (2012). Pore pressure, stress
analytical results particularly for the QS and PD distributions and instantaneous liquefaction of
forms. FD solution of two-layer soil slightly deviates twolayer soil under waves. ASCE J. Waterway,
in the bottom layer. Port, Coastal, Ocean, Engg. 138(6), pp.435-
450.
SIMULATION OF SINGLE PILE LOADING TEST IN A CENTRIFUGE

TO PREDICT ITS BEHAVIOR IN REAL CASE
SIMULATION DU TEST DE CHARGEMENT SUR PIEU ISOLE EN
CENTRIFUGEUSE POUR PREVOIR SON COMPORTEMENT EN CAS REEL
1
Yelbek UTEPOV
1
Department of Civil and Geotechnical Engineering, Eurasian National University, Astana,
Kazahstan
ABSTRACT - This paper includes information about principles and methods of centrifuge modeling to
analyze relevant geotechnical problems such as pile testing. Results of two loading tests of pile model in the
centrifuge are presented in this paper. All the tests were carried out by using Columbia beam Centrifuge
(New York, USA). Dry Nevada sand has been used to form a soil model. Aluminum pile model with cross
section 1.25x1.25 cm and length of 29 cm has been used to simulate the behavior of concrete prototype pile
with cross section 30x30 cm and length of 7 m. This was provided by 24g centrifuge spinning. The simulation
of pile loading tests in the centrifuge showed similar behavior with the real pile loading tests. Also the pile
loading tests were modeled by Finite Element Methods (FEM) using software «Plaxis 3D». As a result, the
main characteristics of the pile such as its bearing capacity obtained from centrifuge tests and FEM were
compared with the results of manual calculations.
1. Introduction 2. Centrifuge modeling
There is an alternative approach of pile loading Centrifuge modeling is currently the most
tests using the special equipment called reliable technique for using small scale tests of
«Geotechnical Centrifuge». Centrifuge is equipment geotechnical phenomena to predict full scale
for the scientific researches; its purpose is to conditions.
investigate the soil properties (characteristics) of The principle for the centrifuge modeling is to
the models of engineering structures which are enable small scale models to be exposed to the
under the action of gravity. Most often, the same stresses as a full scale prototype. This goal
centrifuge is used in the study of soil structures or can be reached mathematically as
structures interacting with the ground (piles, slopes, σ*=σmodel/σprototype=1. For other factors the ratios of
embankments, dams, foundations, underground model and prototype are shown in the Table I.
structures, etc.).
An idea about centrifuge was first proposed by Table I. Centrifuge scaling factors ([2], p.247)
Phillips (1869). Pokrovsky and Fedorov (1936) in Model/
USSR and Buky (1931) in USA were first to Quantity Units
prototype
implement this idea. Skofild (1980) played a key Length L 1/N
2 2
role in modern developing the centrifuge modeling. Area L 1/N
In this work single pile static loading test was 3 3
Volume L 1/N
performed using balanced beam centrifuge (Figure Mass density m/L
3
1
1) at Columbia University (New York, USA) to Mass m 1/N
3
simulate and predict the behavior of real case. Acceleration L/T

2
N
2 2
Force mL/T 1/N
2
Stress m/(LT ) 1
2
Strength m/(LT ) 1
2
Moduli m/(LT ) 1
2 3
Energy m(L/T) 1/N
Frequency 1/T N
Time (dynamic) T 1/N
2
Time (diffusion) T 1/N
Note: N – gravity level
Figure 1. Columbia centrifuge

Table II. Physical-mechanical properties of soil base
3. Centrifuge tests methodology
Two centrifuge tests were carried out in this

work. The aim of the tests was to simulate a full-
scale pile static load tests to predict the behavior of
the pile and determine the bearing capacity.
Model of soil base with unique physical and
mechanical properties was prepared before the
tests. The base consisted of uniform fine dry
«Nevada sand» with dimensions 40.25x60.7x30.7
cm was formed inside the strongbox, according to Figure 3. Model pile
[2]. Density of the soil base was uniform throughout
the entire height; this was obtained by using a sand In order to produce the constant (static) load on
hopper. The sand was falling down from sand the pile an electric jack was used. The loading
hopper with thin linear stream from the height of 80 speed was equal to 0.3417 mm/sec or 20.505
cm to the entire width of strongbox, as shown in mm/min.
Figure 2. Due to automatic returnable motion of After the preparation of models and tools the pile
hopper in horizontal direction along the length of №1 was penetrated into the soil by driving using an
strongbox and the parallel mechanical lifting of electromagnetic hammer to the depth of 25 cm
hopper (keeping the height of sand falling) the which corresponds to 6 m in full-scale condition.
uniformity of soil density was achieved over the Then pile was kept resting for three hours. The
entire height of base. In the Table II the physical- steel ball was put on top of the pile in order to
mechanical properties of soil base are presented. interrupt the bending effect. The final test sample
was installed in the centrifuge platform (Figure 4)
and subjected to 24g centrifuge spinning. The next
test was carried out under similar conditions. Pile
№2 was penetrated at a distance of 20 cm from the
previous one.
Figure 2. Soil base preparation
Pile models (Figure 3) with the dimensions of

1.25x1.25x29 cm were made of aluminum with Figure 4. The centrifuge test sample
3
density of ρ=2.7 g/cm . These properties were
chosen in order to demonstrate in 24g in the According to test results the Load-displacement
centrifuge the same effect as prototype with graphs characterizing the interaction of the pile with
dimensions of 30x30x700 cm (commonly used in soil massif were obtained and converted to
construction) in full-scale conditions. The strain prototype case and presented in Figure 5. The
gauges were attached at the top of piles on two bearing capacities of the piles from centrifuge tests
sides. They were necessary to determine the are equal to the values at the 40 mm settlement of
loading applied to the pile.
each pile according to § 5 [5] and §§ 2.51-2.55 [6], Figures 8a, 8b and 8c demonstrate the behavior
and it is 421 kN for pile №1 and 468 kN for pile №2. of numerical model of pile in soil massif.
a) Deformations b) Contour lines c) Shadings

Figure 5. Load-displacement graph Figure 8. FEM results
of prototype piles
Load-displacement graph was obtained from the
numerical modeling results and presented in Figure
4. The Finite Element Method by Plaxis 3D 9.
Simulation of the pile loading test using FEM
was performed by numerical modeling by software
system Plaxis 3D. PLAXIS 3D is a finite element
package intended for three-dimensional analysis of
deformation and stability widely used in
geotechnical engineering. It is equipped with
features to deal with various aspects of complex
geotechnical structures and construction processes
using robust and theoretically sound computational
procedures.
Numerical model for single pile load test shown
in Figure 6 below.
Figure 9. Load-displacement graph of the numerical

pile model
5. Manual method
Figure 6. Numerical model for test
Figure 7a shows the state of pile before and

Figure 7b after test.
a) b)
Figure 10. Scheme for determination the pile
Figure 7. Pile observation bearing capacity
Figure 10 shows the geological section of sandy 7. Conclusions

soil base in the place of the pile setup. The
calculation (Eq. (1)) of the bearing capacity Fd (kN) Tests using the centrifuge can simulate the work of
of the hanging driven pile was based on the Figure the pile in the ground identical to the natural
10 and § 4.2 of [5]. conditions. Monitoring the piles in the centrifuge
during the tests showed their similar behavior with
Fd J c (J cR RA u ¦ J cf fi hi ) (1) the natural conditions.
According to the results, the differences in the
where: Jс — service factor of pile in a ground, bearing capacities of the various methods are
equal to Jc = 1; R — design resistance of the soil negligible. For example the divergence of Manual
2
under the bottom of the pile (kN/m ); A — cross and Finite Element methods with the centrifuge
2
sectional area of the pile (m ); u — outer perimeter results are 5.7% and 5% correspondingly.
of the pile cross-section (m); fi — design resistance The research results proved that the centrifuge is a
of i-th layer of the soil base on a lateral surface of good alternative approach for studying the work of
2
the pile (kN/m ); hi — thickness of the i-th layer of the pile in the soil. The centrifuge model tests can
the soil base contacting with the lateral surface of predict the real behavior of soils or soil structures
and determine their bearing capacities. It also may
the pile (m); JcR, Jcf — service factors of the soil
have significant economic effect compared with full-
under the bottom and on the lateral surface of the
scale tests.
pile respectively.
The results presented in this paper are
Substituting values into the equation (1), we
recommended to use by geotechnical engineering
obtain: Fd=442.2 kN.
and construction researchers and also by
specialized organizations that lead pile works on
sandy soils as well as all other interested parties.
6. Comparative analysis
According to the § 5.4 [5] the smaller value of

8. References
the pile bearing capacity from the centrifuge tests
were taken for the both piles and it is on the pile
Pokrovsky G. I., Fedorov I. S. (1968). Centrifuge
№1 which is equal to 421 kN. The bearing capacity
modeling in construction. Moscow.
of numerical pile model at its 40 mm settlement is
ASTM D4253(4)-83. Standard test methods for
equal to 445 kN. Figure 11 shows the comparisons
maximum index density and unit weight of soils
of the Load-displacement graphs obtained from
using a vibratory table.
centrifuge tests and FEM.
Wood D. M. Geotechnical modeling. (2004), USA,
Canada, pp. 246-247 and 269-308.
GOST 5686-94. Soils. Methods of field tests by
piles. Moscow, Publishing house of standards.
SNiP RK 5.01-03-2002 Pile foundations.
SNiP RK 5.01-01-2002 Bases of the buildings and
structures.
Utepov Ye., Zhussupbekov A.Zh. (2012)
Comparative analysis of the results of numerical
modeling and field tests of soils by piles.
Proceedings of 7AYGEC, Tokushima, Japan, pp
179-183.
Utepov Ye. (2012) Researching of field load tests of
piles on construction sites in Astana.
Proceedings of Korea-Kazakhstan Joint
Figure 11. Comparisons of Load-displacement Geotechical Seminar, Incheon, Korea, pp 135-
graphs 142.
The results of bearing capacities from all

methods used in this research paper are shown in
the Table III.
Table III. Summary table of results

Ratio of
Bearing
the
№ Methodology capacity,
results,
Р (кН)
%
1 Centrifuge testing 421 100
2 FEM 445 105,7
3 Manual method 442.7 105
3D FEM SIMULATION OF GROUNDWATER FLOW DURING

BACKWARD EROSION PIPING
SIMULATION EN ELEMENTS FINIS 3D DE LÉCOULEMENT D’EAU
SOUTERRAINE DURANT EROSION A CONTRE COURANT’
Kristine Vandenboer1, Vera van Beek2,3, Adam Bezuijen1,2
1- Ghent University, Ghent, Belgium
2- Deltares, Delft, Netherlands
3- Delft University of Technology, Delft, Netherlands
ABSTRACT - Backward erosion piping is an important failure mechanism for cohesive water retaining
structures which are founded on a sandy aquifer. At present, the prediction models for safety assessment are
often based on 2D assumptions. In this work, a 3D numerical approach of the groundwater flow leading to
the erosion mechanism of backward erosion piping is presented and discussed. Comparison of the 2D and
3D numerical results explicitly demonstrates the inherent 3D nature of the piping phenomenon. In addition,
the influence of the dike length is investigated and discussed for both piping initiation and piping progression.
The results clearly indicate the superiority of the presented 3D numerical model compared to the established
2D approach. Moreover, the 3D numerical results enable a better understanding of the complex physical
mechanism involved in backward erosion piping and thus can lead to a significant improvement in the safety
assessment of water retaining structures.
1. Introduction 2. 2D approach for piping initiation
A sandy aquifer situated below a cohesive water The Sellmeijer prediction model involves both
retaining structure leads to a concentration of analytical formulae, describing the erosion and pipe
groundwater flow towards a downstream exit flow, and 2D FEM simulations for modelling
opening. This may cause an emission of sand groundwater flow. Basically, the 2D assumption
grains at that particular location. The erosion of invokes that the water, which actively contributes to
sand grains results in the formation of shallow pipes the erosion mechanism, originates from a vertical
in the sand layer right below the water retaining 2D plane (see Figure 1a).
structure. These pipes do not collapse under gravity In our numerical setup (Abaqus 6.12), the sand
because of the bridging nature of the cohesive is defined as a porous material with a specific
material. The term ‘backward erosion piping’ is permeability, while a hydraulic gradient is applied by
designated to the growth direction of the pipes means of pore pressure boundaries (both upstream
which is opposite to the flow direction, i.e. from and downstream). 4-node plane strain quadrilateral
downstream to upstream. Eventually, the pipe will elements (CPE4P) are employed with varying sizes
form a direct connection between upstream and across the model in order to achieve accurate
downstream, which obviously leads to a facilitated results, while keeping the computation time
water transport and to the action of accelerated acceptable. The erosion length E, the dimension of
erosion. The pipe dimensions finally reach an the downstream exit d, the height of the sand layer
unbridgeable size for the cohesive water retaining H and the hydraulic head drop ΔH are respectively
structure, resulting in a (partial) collapse. 340 mm, 6 mm, 100 mm and 20 mm. These
Different models exist for the safety assessment dimensions have been specifically chosen in order
of a levee regarding piping failure. One of these to compare with the performed small-scale
models is the hybrid analytical - 2D numerical experiments. The permeability of the used sand
criterion introduced by Sellmeijer (Sellmeijer 1988; type in these experiments (denoted as Eastern
-4
Sellmeijer, de la Cruz et al. 2011). River sand) is 2.4 10 m/s.
In this study, the consequences of the 2D
approach for the piping phenomenon are
investigated by means of a detailed comparison
between 2D and 3D finite element method (FEM)
simulations of the groundwater flow. In addition, the
influence of the model width on the exit velocity is
investigated in order to determine the area of
influence actively participating to the piping process. Figure 1. Schematic drawing of (a) the 2D
assumption and (b) its 3D equivalent: a ditch.
A contour plot of the flow velocity is shown in Similar as for the 2D simulation, the erosion length
Figure 2. The water flow towards the open exit can E, height H and head difference ΔH are respectively
be readily observed. Piping initiation is triggered 340 mm, 100 mm and 20 mm. The width of the 3D
once the vertical exit velocity (VE) in the outlet model is set to 30 cm, which equals the dimension
opening (shown in Figure 3) exceeds a particular of the performed small-scale experiments.
threshold over a certain distance (Van Beek 2012).
Note that for infinitely small mesh elements, the
maximum velocity would approach infinity at the
boundaries, as prescribed by theory. Here, the
mesh elements are chosen small enough, such that
the exit velocity at a distance of 0.3 mm from the
hole boundaries does not change for finer
elements.
Figure 4. Model geometry.
Figure 2. Contour plot of the flow velocity computed

with the 2D FEM model.
Figure 5. Contour plots of the flow velocity for a

hole type exit in different sections.
Figure 3. Vertical exit velocity in the hole.
The contour plot of the flow velocity in the xz-
plane is shown in Figure 5a. Although the global
flow velocity within the sand is smaller compared to
3. 3D approach for piping initiation
the 2D situation, the overall exit velocity is
significantly higher (see Figure 3 for a comparison
3.1. 3D Numerical simulation of a ditch type exit of the flow velocity profiles). This can be understood
rd
in terms of water supply along the 3 dimension of
As a first step towards 3D simulations, the ditch- the model, as illustrated in Figure 6a and b.
type exit (see Figure 1b) has been simulated. The
CPE4P elements have been replaced by their 3D
counterparts, namely the C3D8P elements. In
principle, this 3D simulation should yield the same
results as obtained for the 2D approach because of
translational symmetry, at least when assuming an
infinite width of the ditch. The latter has been
ensured by application of suitable symmetry
conditions. The result for the computed vertical exit
velocity is added to Figure 3. It can be readily
verified that similar results as in the 2D simulation
are obtained. Hence, these results validate the
implementation of the 3D FEM.
Figure 6. Schematic drawing of the flow patterns for
3.2. 3D Numerical simulation of hole type exit a ditch (a), a hole (b), a hole with a growing pipe (c)
and a hole after breaching of the pipe (d).
In reality, the exit type for backward erosion piping
is typically a hole. Therefore, an impermeable Figure 5c shows contour plots of the flow
downstream layer with a hole type exit with dia- velocity in top views at different z-positions. These
meter d = 6 mm (see Figure 4) is considered here. results clearly show that the initial uniform inflow of
water upstream is further downstream concentrated 3.3. Experimental validation of the 3D approach
towards the hole. Likewise, the contour plot in the for piping initiation
yz-plane (Figure 5b) illustrates the confluence of
water towards the exit opening. The 3D results Backward erosion piping has been experimentally
indicate that the exit velocity is much higher investigated (Van Beek 2011; Van Beek 2012) by
compared to the 2D results. Hence it is clear that a means of a small-scale physical model. The
safety assessment for piping initiation, based on a experimentally measured flow amounts
2D approach, will result in inaccurate results for the 1.55 ml/min, while the numerically calculated flow
start of the pipe and consequently in an unsafe amounts 1.41 ml/min. Note that the simulation has
levee design for the natural case of an exit hole. been performed with the same dimensions and
In order to further investigate the exact influence similar parameters as the small-scale experiment
rd
of the 3 dimension on the computed exit velocity, (ΔH = 20 mm). The small deviation between
several 3D simulations are performed in which the experiment and FEM is probably attributable to
width of the model has been varied. Some of these small irregularities and uncertainties in the
results are displayed in Figure 7a. It can be experimental setup.
observed that the exit velocity VE significantly
increases for an increasing width W. The rising
trend becomes less pronounced after a certain 4. 3D approach for piping progression
threshold. Hence these results suggest that the
rd
horizontal water flow, rather than the vertical water The importance of the 3 dimension on the initiation
flow, is the driving force to initiate the 3D of backward erosion piping has been discussed in
phenomenon of piping. For brevity, we suffice by the previous paragraphs. The question arises
noting that equivalent results are obtained for whether its influence is similar for the further
different erosion lengths. Even more, it was found development of the pipe. A variety of pipe
that the value of the particular threshold relates to development stages (Table 1) which evolved during
the erosion length. This is shown in Figure 7 (b), in experimenting are considered. The pipe has been
which an erosion length of 34 mm is considered. modeled as a simplified straight canal, having a
It can be stated that a width W equal to the fixed triangular cross-section. Its volume and
erosion length is sufficient but also necessary to dimensions are estimated based on the volume of
accurately capture the 3D phenomena associated the deposited sand, which actually forms a crater,
with piping initiation. Hence the width of a small- the pipe length and horizontal area which are
scale experimental setup for research purposes on measured based on photos of the experiment (see
piping initiation should be carefully chosen. Figure 8).
The previous results might explain the
periodically spaced outflow openings which were Table 1. Pipe characteristics, gradient and flow for
observed in nature (Miesel 1978) in the absence of 7 pipe development stages.
an impermeable top layer downstream of the levee: Stage: 1 2 3 4 5 6 7
when the distance along the dike becomes too ΔH (cm) 2 6 8.5 8.5 8.5 9 9
large, the water is not sufficiently attracted by an Flow (ml/min) 1.6 39.1 65.7 68.1 71.3 183.2 164.8
existing outflow opening (see Figure 6 (b)), and Pipe volume (mm3) 0 428 869 1128 1682 7579 29551
thus creates a new outflow opening. Pipe length (mm) 0 34 65 100 140 340 340
Largest pipe width (mm) 0 10 10.6 8.2 8.8 16.4 64.4
Pipe depth (mm) 0 2.5 2.5 2.7 2.7 2.7 2.7
Figure 8. Photo of the pipe and crater at a certain

moment during the experiment.
As a first approach, the pipe has been modeled

as a porous material with a high permeability. For
any given pipe permeability however, poor
agreement with the experiment is obtained for all 7
pipe development stages (Table 1). A reasonable
alternative was obtained assuming an increased
sand permeability in the area surrounding the pipe.
As described in literature (El Shamy 2012), sheet
Figure 7. Vertical exit velocity in the outflow opening
flow occurs at the interface between sand and
for different widths W (a) and vertical exit velocity
water (bottom of the pipe) and thus provokes a
as a function of the model width (b).
higher porosity of the sand which results in an 5. Conclusions

increased permeability. Moreover, semi 3D
experiments in which the piping process is A numerical approach of the groundwater flow
visualised from the side (Van Beek 2013), reveal a leading to the erosion mechanism of backward
slantwise rolling and falling of the detached sand erosion piping has been presented and discussed.
grains on the pipe wall and bottom. This, combined By means of both 2D and 3D FEM simulations, the
with the upward force on the grains caused by the 3D nature of backward erosion piping has been
gradient might cause a less dense packing at those demonstrated. Large 3D volumes are drained by
locations. For a certain set of parameters the pipe, resulting in a significantly larger exit
(permeability of the pipe = 0.1 m/s, permeability of velocity, which in turn holds a greater risk of
the sand with increased porosity = 0.01 m/s, sand erosion. Therefore, 2D prediction models may be
with increased porosity: depth = 15 mm and width unreliable.
between 17 mm and 24 mm around the actual Furthermore, the 3D computations indicate that
pipe), the assumption of a more permeable sand a single outflow opening within an impermeable
layer around the pipe yields good agreement layer is more susceptible to the occurrence of
between the numerical and experimental flow for all piping than multiple outlet openings or a ditch type
7 pipe development stages. However, more exit. In case of a ditch type exit or in the absence of
extensive experimental and numerical research is an impermeable top layer downstream of the levee,
required to fully capture the mechanism involved. the numerical results reveal that periodically spaced
The influence of the model width for the different holes are formed (and thus the 2D situations
pipe development stages becomes clear by plotting evolves towards a 3D situation) in order to take full
the exit velocity at the center VEc,3D divided by the advantage of the available water. Such kind of
maximum exit velocity for the standard 2D situation behavior has already been observed in nature
VEc,2D (see Figure 9). It can be observed that two (Miesel 1978).
trends are present. After initiation of the pipe (stage The results of the presented 3D numerical
1), the exit velocity increases for a width W which investigation also provide a minimum bound for the
extends the erosion length (stage 2 to 5). This can width of the small-scale experiments in order to
be understood by taking into account that a pipe accurately study both piping initiation and piping
transports more water which must be supplied from progression. The former requires a minimum width
a larger area of influence. (see Figure 6b and c). equal to the erosion length, while the latter requires
When the pipe has reached the upstream side a minimum width of three times the erosion length.
(stage 6 and 7) however, the presence of large
inflow areas becomes less significant since the References
contribution of water supply through the sand is
insignificant with respect to the direct water supply El Shamy, U., Abdelhamid, Krueger, P., An, Z.
through the pipe itself (see Figure 6d). (2012). A Particle-based Model of Flow-
These results clearly suggest that the 3D nature Induced Scour. ICSE6. Paris: 8.
of the water flow becomes even more significant Miesel, D. (1978). Rückschreitende Erosion unter
during the propagation of a pipe. From Figure 9, it bindiger Deckschicht, Berlin.
can be concluded that the width W of the setup Sellmeijer, H., J. L. de la Cruz, et al. (2011). "Fine-
should be at least 3 times the erosion length in tuning of the backward erosion piping
order to accurately examine the growth of a pipe, at model through small-scale, medium-scale
least for the assumptions made in this study. and IJkdijk experiments." European Journal
The previous reveals that not only piping of Environmental and Civil Engineering
initiation, but also piping progression is a full 3D 15(8): 1139-1154.
phenomenon. Sellmeijer, J. B. (1988). On the mechanism of
piping under impervious structures. PHD-
thesis. Delft, TU Delft.
Van Beek, V. M., Knoeff, H., Sellmeijer, H. (2011).
"Observations on the process of backward
erosion piping in small-, medium- and full-
scale experiments." European Journal of
Environmental and Civil Engineering 15(8):
1115-1137.
Van Beek, V. M., van Essen, H., Vandenboer, K.
(2013). SW Piping 5B: Progression of
piping. Delft, Deltares. Deltares rapport
1206013-001.
Van Beek, V. M., van Meerten, H., Nugroho, D.,
Vandenboer, K. (2012). SBW Piping 5A:
Model development for initiation of piping.
Figure 9. Evolution of the maximum exit velocity as Delft, Deltares. Deltares rapport 1206013-
a function of the model width for the different pipe 001-GEO-0003.
development stages. The stages refer to Table 1.
Earthworks
ANALYSIS OF LONGITUDINAL CRACKS IN ROAD EMBANKMENTS

ANALYSES DES FISSURES LONGITUDINALES DANS LES REMBLAIS
ROUTIERS
Sidney DE ABREU
Geomecânica,Lda., Maputo, Mozambique
Abstract - One of the most adverse types of pathology in road embankments is the longitudinal cracks. As
the cracks appear in a random way, the understanding of the causes leading to the formation and evolution
of the cracks and the specification of measures to reduce their occurrence becomes a major challenge. This
paper presents possible causes underlying this type of cracks. The aim of this study phase was to analyze
the deformation and stress distribution in a typical road embankment in order to get an idea of how sensitive
the development of longitudinal cracks is to the variation of some geotechnical parameters of the
embankment and the foundation. Tensile stresses appearing at the top of the embankment do not justify the
development of longitudinal cracks by itself. As cracks may be the result of tensile stresses combined with
other factors, such as degree of compaction, vegetation growth, changes in moisture and shrinkage, the
contribution of these factors deserves further attention.
1. Introduction embankment and soils used. Cracks appear

predominantly near the edges along the road
In road construction, to keep a road with a certain parallel to the road alignment. The cracks can
level of comfort in face of the natural ground extend along hundreds of meters, and generally
topography, sometimes it is necessary to build no significant level difference between the edges
embankments to maintain an acceptable vertical of the crack is observed. It can therefore be
alignment, taking into account the balance concluded that the appearance of the cracks
between the constructive and economic aspects. might not be related to slope failure.
Road embankments must be able to withstand the
loads induced by traffic. The loss of functionality
of road embankments is a phenomenon that has
been a cause of great concern in road and
geotechnical engineers. The longitudinal cracking
is one of the most adverse phenomena that impair
the functionality of road embankments, not only
because it initiates the pavement degradation as it
favors the water penetration into the pavement
structure, with all the negative consequences
resulting therefrom. This paper presents a brief
review of previous articles on the possible causes
of the longitudinal cracking and the studies now
underway using finite element methods on a
Figure 1 - Longitudinal crack in paved road
selected embankment in order to get an idea of
embankment
the stress distribution depending on the variation
of some geotechnical parameters of the
embankment.
2. Longitudinal Cracks in Mozambique Road

Embankments
In Mozambique, it has been observed the

occurrence of longitudinal cracks in some road
embankments such as along the Chissano –
Chibuto Road and the National Road Nº 1. As
shown in Figures 1 and 2, the longitudinal
cracking occurs in paved and unpaved roads.
In a survey of cracking on some road Figure 2 - Longitudinal crack in unpaved road
embankments, it was found that the cracks embankment
appear regardless of the height of the
3. Possible causes of longitudinal cracks
Studies have been already carried out by others

to understand the causes behind the origin of the
longitudinal cracks in road embankments. Some
of the causes are related to the heterogeneity of
the embankment material induced by certain road
construction and rehabilitation methodology.
Some of the causes are as follows:
a) Road widening
The process of road widening is very delicate
because it comprises the selection of proper Figure 4 - Embankment compaction leading to
material with properties that match the material ess compacted shoulders
le s
properties of the existing road structure to
maintain certain homogeneity of the final c) Water infiltration and moisture variation
structure. Generally the widening is done by The constructive aspects of pavement also
influence the appearance of cracks. The Fig.5
cutting the old road in a steep slope (Fig.3) and
illustrates the typical zones of moisture variation in
then constructing the new widening embankment road embankment. There is a zone of equilibrium
with the similar geotechnical properties of the old (stable moisture), wherein the moisture content
road. remains mostly constant over the year a , and there
is a zone located near the shoulders of the
embankment, with seasonal moisture content
variations (seasonal zone of variations of moisture
content). This zone of variation of moisture is
greater the smaller the shoulder protection of the
embankment is. Accordingly, in case of expansive
soils, the slopes of the embankment are subject to
cycles of expansion and retraction related to the
presence of water, which are somewhat reversible
in vertical displacement but are not in horizontal
movements. At the top of the fill, the phenomenon
Figure 3 - Road widening (Roadex, 2012) is translated in a cross-sectional enlargement,
which favors the formation of longitudinal cracks.
Field tests on the old road must be carried out
to get the right parameters and field conditions for
the right design of the road widening. What
happens is that is difficult to construct the new
embankment with exactly the same properties as
the old road or the field tests are not carried out
due to economic constraints. Consequently the
new road is built with old and new materials
showing different expansion/contraction behavior
being that in time the origin of longitudinal cracks
along the joint depending on compressibility,
moisture change and temperature variation.
b) Compaction process s Figure 5 - Moisture content zones in a low volume

Compaction is the most important process in road sealed road embankment (SATCC, 2003)
construction as it is responsible for the increasing
of the bearing capacity and stability of the road
embankment. The experience in road 4. Evaluation of stress distribution in a road
embankment works shows that is difficult to embankment
compact the shoulders of the embankment due to
stability and safety in the operations, resulting in a Using PLAXIS 2D, a software based on numerical
zone in the embankment less compacted as finite element analysis developed for geotechnical
shown in Fig. 4. engineering, it was possible to simulate various
scenarios of road embankment to understand the
influence of the variations of geotechnical
parameters in the stre ess distributtion along the It was noteed that increa
asing the Pooisson’s ratioo
embankmen nt cross-secttion. th
here is a significant increase in n horizontall
A case of
o interest pre his paper is the
esented in th deeformation causing the w widening of thhe top of the
e
evaluation of the stre ess distribuution within a emmbankment (see Fig.7). This enlargement e t
homogeneo ous soil emb bankment layying on a rig gid induces tens sile stress at the top of the e
foundation as shown in n Fig. 6. It was
w suggested emmbankment. The maxim mum calcula ated tensile e
by Fortunatto (1998) tha at longitudina
al cracks couuld sttress is appro oximately 1.2
2 kN/m2.
be caused d by cree ep deforma ation of the For this kin
nd of embankkment the yie elding pointss
embankmen nt under selff-weight. occcur very shallow
s and do not rep present anyy
uence of the variation of Poisson's ra
The influ atio major
m threat to
t the stabillity of the embankment..
of the mate erial of the fill was analyz
zed. The value However this may hint to the higher probability
p off
of this coe efficient variees between 0.3 - 0.43 in ormation of cracks whe
fo ere the tens sile stresses s
sands as suggested by some authors a (Bra
aja, were plotted.
2006). How wever, experience shows that the range
of this rattio varies widely.
w Neve ertheless, th
his
interval will be used for this study.
Figure
F 7 - Principal effecttive stress (for poison
ration v= =0.43)
Figure 6 - Geometry of
o the embankment mode
el
The yieldin
ng points (Mo ohr Coulomb b points) are
e
Table 1 shows the geotechnical
g parameters of in general a good indiccation of th he potentiall
the embankkment to mod del the behaavior according deevelopment ofo a slip surfface in the embankment..
to the Mohr-Coulomb model.
m In this case it was
w Fiig. 8 shows the
t developm ment of yieldding points in
n
assumed thhat the emb bankment is s homogeno ous he embankm
th ment with the increa ase of the e
and consistting of well compacted sand with lo ow Pooisson’s ratio. As it can be observe ed there is a
cohesion. te
endency for the
t points to o appear nea ar the top off
th
he embankment and in th he slope clos se to the toe
e
Table 1 – Material prroperties of th
he modeled beecause of thhe widening of the emba ankment and d
emba ankment th
he “belly” wh hich is formed in the slope due to o
hoorizontal defo
ormation.
Material Embankm
ment
Model Mohr Cou
ulomb
Drrainage type Draine
ed 5.. Conclusion
ns
3
(kN/m ) 20.0
0
Teensile stresses can occcur at the top of the e
E’ (MN/m2) 30.0
0 emmbankment due to the lack of late eral restraintt
0.3-0.4
43 th
hat is the e root of significant horizontall
c’ (KN/m2) 1.0 deeformation. However, the tensille stresses s
caaused by thee deformation n of the embbankment on n
( o) 33 a rigid founda
ation do not justify by theemselves the e
( o) 3 occcurrence ofo longitudin nal cracks unless the e
deeformation is
s severe.
It is possible that the origin of longitudinall
s of the num
4.1. Results merical anallysis and crracks on ro oad embankkments is related to a
observations coombination of varioous factorrs namelyy
coonstruction sequence
s annd methodology, degree e
From the va s that PLAXIS can present,
arious results off compactionn, volume ch hanges of the e soil, traffic
c
the most relevant arre the one es concerning lo
oading and seasonal moiisture variations. Furtherr
deformationn, tensile strresses and yielding
y poin
nts re
esearch is re equired to a assess how these otherr
(points in th
he soil mass s in which th
he stress sta
ate fa
actors play a role, individu
ually or combined, in the e
reaches thee failure). occcurrence off longitudinal cracks.
Figure 8 - Development of yielding points in the

embankment with increasing
6. References
BRAJA, M. D., 2006. Principles of Geotechnical

Engineering, 6a ed, Cengage Learning,
United States of America.
FORTUNATO, Eduardo, 1998 – Degradação de
aterros rodoviários, Laboratório Nacional de
Engenharia Civil, No 113, pag. 180-193.
ROADEX, Road widenig guidelines, 2012.
SATCC, SADC Guidelines low volume sealed
roads, SADC, 2003.
INVESTIGATIONS ON ELASTIC MODULUS OF CRUSHED

GRAVEL USING DEFLECTIONS IN CAMEROUN
APPROCHE DE DETERMINATION AU CAMEROUN, DU MODULE

ELASTIQUE DES GCNT A L’AIDE DES DEFLEXIONS
Serge BILLANG(1), Marcelin KANA(2), Dieudonné MPELE (3)

(1) LABOGENIE, B.P. 349 Yaoundé, Cameroun
(2) LABOGENIE B.P. 349 Yaoundé, Cameroun
(3) Enseignant ENSP, Yaoundé-Cameroun
Abstract:
The use of crushed gravels in roads construction has notably increased in Sub-Saharan countries in
general, and in Cameroon as well. Due to their performances and the easiness of their technical
utilization, this building material constituted actually the most current material for the base layers of
Cameroon’s roads. The traffics are almost moderated (MJA<750) in that country. The present study
constituted a way of a better mastering of the rheological characteristics of this material, particularly its
elastic modulus. The deflections measurements used were carried on with BENKELMAN beam and
DEFLECTOGRAPH LACROIX, during the construction of three highways in Cameroon.
1. Introduction most suitable model is the BURMISTER model

not only for its speed, its use in software
During its lifetime, a roadway is subject to design of pavement structures but also to take
two distinct modes of stresses: those due to into account the intrinsic characteristics of
traffic, and climate-induced. Design a road materials of the pavement. This model treats
pavement structure is to determine the nature the general problem with n layers
and thickness of the layers that will be so that it schematically in the figure 1:
can withstand without early ruin the said
demands.
Currently there are methods of pavement
based on rational approaches that require a
Sticks/ half sticks/ sliding
good command of the intrinsic rheological

properties of materials, including elastic
modulus and Poisson's ratio. An error in the
estimate of one of these parameters may lead
either to underestimation or overestimation,
respectively accomplished this error Early
failure of the roadway or at an excessive cost
of the latter.
The objective of this work is to determine the
best values of these parameters, namely the Figure 1: Schematic BURMISTER model
elastic modulus, whose value is inherent in the (CETE, 2009)
environment of the road construction.
Measurements of deflections are carried out
either continuously on both lanes of the road
2. Methodology (side and axis) every 25 meters with a
BENKELMAN beam as shown in figure 2.
The dimensioning of a pavement structure
starts with modeling. This is performed using a
template. For our study, which we believe the
Table 2: Geo mechanical characteristics of the

floor structure Yaounde-Ayos (LABOGENIE,
1993)
Sub base
Lateritic gravel Average
Average Plasticity Index (PI in %) 19
% Fines < 0.08 mm 23
Grain size (mm) -
CBR at 95% of l’OPM (%) 57
Base layer
Figure 2: Principle of measurement with the Crushed unbound gravels 0/ 31.5 Moyenne
deflection beam BENKELMAN. Los Angeles (%) 27
(LABOGENIE, 1991) Executed thickness 22
1.500
Specific gravity 3
t/m
The deflection is measured on each pair the
Kurtosis (%) 10%
rear axle of the vehicle provided by the feeler
arms of rotary encoders as shown in figure 3.
The average values of deflections obtained
during the construction of road sections
Mbalmayo-Ebolowa, Yaounde-Ayos and
Yaounde-Douala are presented in the Table 3
and figures 4, 5 and 6.
Table 3: Average values of deflections

obtained during the construction of road
Mbalmayo-Ebolowa (LABOGENIE, 1991)
Deflection features
Sections (1/100mm)
Plateform Sub base Base layer
6+00 - 20 80 78 68
20 - 25+350 74 72 62
Figure 3: Schematic diagram of the
25 + 550 - 32 80 75 68
deflectograph measurement LACROIX
32 - 35 81 72 64
35 - 38 85 77 66
38 - 42 88 79 70
3. Results 42 - 47 81 71 65
47 - 56 85 81 71
Pavement structures having served in our 56 - 62 72 69 60
study are presented in Table 1 and 2. 62 - 75 75 70 64
75 - 93 92 82 69
Table 1: Geo mechanical Characteristics of the 93 - 106 83 72 64
pavement structure Mbalmayo-Ebolowa.
(LABOGENIE, 1991)
Sub base
Lateritic gravel Average
Average plasticity Index (PI in %) 24
% Fines < 0.08 mm 27
CBR to 95% of l’OPM (%) 38
Base layer
Crushed unbound gravels
Average
0/ 31.5
Los Angeles (%) 27
Sand Equivalence -
Executed thickness 22
Figure 4: deflection based on mileage points-
Yaounde-Ayos (LABOGENIE, 1993)
With
3
ª n 1 1
º (2)
« § Ei · 3 »
¦
« i 1
hi ¨ ¸ »
© E1 ¹
E E1 « n 1 »
« »
« ¦i 1
hi
»
«
¬ »
¼
W 0 : deflection above the layer 1

E i : elastic modulus of layer i
hi : thickness of layer i
a : radius of the footprint of the wheel
q : uniform pressure applied to a circular area
Figure 5: Deflection based on mileage points- To determine the values of the elastic
Yaounde-Ayos (LABOGENIE, 1993) modulus elasticity, we used the mean values of
deflections obtained during the construction of
various sections mentioned above using the
relationship given by equation (1).
Solving this equation is complex; we used
the NEWTON-RAPHSON method which is a
method for solving nonlinear equations. We get
this equation by programming with C++ results
contained in the Table 4 below:
Table 4: Values of elastic modulus obtained
Mbalmayo Yaoundé- Yaoundé-

Roads
-Ebolowa Ayos Douala
Materials
Lateritic
Lateritic
GCNT
GCNT
GCNT
gravel
gravel
Lateritic
gravel
Figure 6: Deflection based on mileage points-

Yaounde-Douala (LABOGENIE, 1986)
Average
214 241 207 279 219 364
(MPa)
4. Analysis of results
Standard
Some authors such as PALMER and deviation 17 21 11 27 15 40
BARBER are based on the multilayer (MPa)
BURMISTER model, maintaining the same
Dispersion
assumptions as this one but assuming 8 9 5 9 7 11
Poisson's ratios are equal. They proposed the (%)
formula (equation 1) for determining the
deflection:
ª º The difference in modulus values for the
« En » crushed gravel in the three projects may be
« »
2qa 1 X² « 1
E En » due to the mineralogical nature of the rocks
wo
En « 2
2
E » (1) which is not always the same. The Table 5
« § n 1 h i · § E · 3 »
« 1 ¨ ¦ E ¸ ¨ E ¸ » allows us to make a comparative study
¬ © i 1 n ¹ © n ¹ ¼ between the values obtained in our study and
those cited in the literature:
Table 5: Comparative study of the values found 6. References

and those given in the literature (BCEOM-CEBTP,
1984) BCEOM-CEBTP (1984). Guide Pratique de
dimensionnement dans les pays tropicaux,
Mbalmayo-
Roads Yaounde-Ayos Ministère Français de la Coopération. 155
Ebolowa pages.
Gravelly Gravelly CETE (2009). Dimensionnement des
Materials GCNT GCNT chaussées. Lyon, France. 48 pages.
laterite laterite LABOGENIE (1986). Rapport de contrôle
Average routier Yaoundé-Douala, Yaoundé,
214 241 207 279 Cameroun 165 pages.
(MPa)
LABOGENIE (1991). Rapport de Synthèse du
Standard contrôle routier Mbalmayo-Ebolowa,
Deviation 17 21 11 27 Yaoundé, Cameroun 165 pages.
LABOGENIE (1993). Rapport de Synthèse du
(MPa) contrôle routier Yaoundé-Ayos. Yaoundé,
Dispersion Cameroun, 165 pages.
8 9 5 9
(%)
In regard to the above values, we find that

for the same materials, the values of elastic
modulus differ from one author to another. The
difference in untreated crushed gravel is even
greater between the values we found and
those proposed by them.
5. Conclusion
At the end of this study, we obtained values

of elastic modulus of untreated crushed gravel
from measurements made on sections
deflections roads Mbalmayo-Ebolowa,
Yaounde-Ayos and Yaounde-Douala. These
values are very different from the values
suggested in the literature. This difference
illustrates the error that can be committed
when designing our pavement structures. This
excessive cost of the latter to impact. This
study was made only for some sections of the
roads mentioned above; the results are
therefore not suitable for all regions of
Cameroon. This is why other similar studies
should be undertaken to all other regions to
establish a mapping of the rheological
characteristics of the different quarries and
borrow pits that may be used in road
construction.
OPTIMIZATION OF CALCULATION OF ROADS, MATHEMATICS

CORRELATIONS BETWEEN DESIGN PARAMETERS
OPTIMISATION DU CALCUL DES CHAUSSEES, CORRELATIONS
MATHEMATIQUES ENTRE LES PARAMETRES DE DIMENSIONNEMENT
Abdou Xaadir GAYE1, Abdou Aziz THIAM2, Ibrahima Khalil CISSE3, Lamine CISSE4
1,2
Civil engineers, Thiès, Senegal
3
Professor, Director of Ecole Polytechnique de Thiès, Thiès, Senegal
4
Civil engineer, Director of management and maintenance of roads (AGEROUTE), Dakar, Senegal
ABSTRACT- Californian Bearing ratio (CBR) remained the most used index for the choice of some building
materials for roads construction as well. It is graphically calculated, with the results of tests carried after
immersion of the compacted samples at different energies (10, 25, 55 blows), for four or more days. The aim
of the present study is to reduce the time necessary to obtain this useful parameter; first of all, by a
prediction through a simple mathematical correlation from identification properties of the building material,
secondly, by a prediction of this parameter through only one compaction energy (25 blows). Some of these
formulas are proposed for lateritic soils.
Keywords: Californian bearing ratio (CBR), compaction, lateritic soils.
1. Introduction chemical decomposition becomes extremely

active. Like any material, lateritic gravel have
Road engineering in tropical and desert is a been studies of classification. So they have a
difficult technique. In these areas, any problem different position in international classification
road is practically a new problem with a specific systems. We B6 class for the new French soil
character. classification and class between GC (clayey
In addition, the roads are very expensive. We gravel) and SC (clayey sand) for USCS
proposed to contribute to the process optimization classification. Finally, the classification HRB often
of pavement through the determination of CBR attributed to lateritic gravelly class between A24
with parameters identification of the material. and A27. We recall that these classifications are
After a brief presentation of the study material ie very important as well to locate the material for
gravelly lateritic material used in road construction future use and facilitate communication between
in tropical countries, we will trace the various designers in dimensioning phase. Essential phase
stages of the determination by CBR laboratory that determines whether or not the project.
test, before presenting some results derived from
studies in Senegal under this topic. 3. Californian Bearing Ratio (CBR)
2. Presentation of material For CBR, must conduct a study in accordance

with Annex A of the standard NFP 94-078. For
As viewed from the perspective of the road this, we first performed Proctor (modified or
engineer on call, devoting use, lateritic gravelly normal) according to standard NFP 94-093. This
soils furniture trained in tropical, consisting of a test provides the optimum water content (ωOPM)
granular fraction consisting of ferruginous nodules which allows for the maximum dry density (ᵞd). It
pisolites or packaged in a fine matrix silty clay. manufactures then samples the optimum water
The lateritic gravel was defined as loose soil is content previously determined by varying the
geotechnically grain size of 0/20 to 0/40 with 10 to intensity of compaction energy (10, 25 and 55
35% of fines passing through the sieve 80 μm strokes). After this operation, the different molds
(ASTM No. 200) and a skeleton (residue on -2mm (corresponding to different energy compaction)
sieve No. 10 ASTM) from 20 to 60%. The mortar are immersed in water for 96 hours in general (4
sieving 0.425 mm (ASTM No. 40) has a plasticity days) to put the sample in the worst humidity
(IP plasticity index) which varies from 10 to 35. conditions it is likely to encounter in practice. After
(ISTED) this period of imbibition, a puncture is made. The
Lateritic soils are soils called zonal features hot value obtained on each mold is compared with
climates and rainy seasons alternate with two well values obtained from a reference material. This
marked. Indeed, if in these climates mechanical determines the CBR at 10, 25 and 55 strokes in
weathering of rocks is very low, however the different molds CBR. (ATMS)
These three values are then plotted to plot the

CBR immersing the material in question.
The CBR immersion that will be assigned to the
material be determined graphically by taking the
point corresponding to 95% of strokes and 55
obtained by projecting the CBR curve previously
drawn. The resulting CBR CBR is immersing the
material in question.
The implementation of this test is long and
tedious.
4. CBR from identification parameters
We propose to calculate the CBR from the Figure 1: First correlation of CBR, based on the
parameters identification and obtain values identification parameters
sufficiently reliable to characterize the classes lift
included in the pavement. CBR tests actually Using multiple simulations with the second
performed would then serve to calibrate the equations, we obtained the curve:
calculated values. The outcome of the present
study will make a direct calculation of CBR in 80
preliminary design. (Sébastien CHARMOZ &
70
Adrien DAERR)
60
4.1 Assumptions
IP*Log CBR
50
At other parameters being equal: 40

• More dry density, the higher the CBR increases.
30
CBR varies in the same direction as the dry
density. 20
• Increased the percentage of grains above 20
mm, the higher the CBR increases. 10 100JOPM/IP²
• The CBR varies contrary to the percentage of 0
fines.
0,000 0,500 1,000 1,500
• The CBR varies inversely with the plasticity
index. Figure 2: Second correlation of CBR, based on
From these assumptions and with statistical the identification parameters.
techniques, we establish some interesting
formulas for predicting CBR. (Sébastien
CHARMOZ & Adrien DAERR) Using multiple simulations with the third
We propose to translate the above assumptions equations, we obtained the curve:
by the following relations:
x
ஓ
ౚోౌ౉
ൌ ሺ୍୔୶୤
୶ୖమబ
ሻ CBRimmersion en fonction de CBR25
మ ୶୵
ోౌ౉
100
ଵ଴଴௫ఊೀುಾ
x ‫ ܴܤܥ݃݋݈ݔܲܫ‬ൌ ݂ሺ ሻ 80
ூ௉మ
x ‫ܴܤܥ‬ூ௠௠௘௥௦௜௢௡ ൌ ݂ሺ‫ܴܤܥ‬ଶହ௕௟௢௪௦ ሻ 60
CB
40
4.2 Graphics
20
Using multiple simulations with the first equations,
we obtained the curve: 0
0 20 40 60 80 100
CBR25
Figure 3: CBR immersion according to CBR with
25 blows
4.3 Equations slightly biased the results of geotechnical

characterization and behavioral results. Second,
At the end of the study, we have established two even if we made different tests according to
formulas for predicting CBR and a CBR formula of established standards and procedures, it is not
immersion from the CBR to 25 blows. Then we impossible that the variability due to users has
have: somewhat influenced the data obtained.
4.3.1. The first formula
For the first formula, we have established it with 6. References

ten different careers but being in the same region
(Thies).
ߛௗଶ ‫ܴݔ‬ଶ଴
ଶ
ISTED (Institut des Sciences et des techniques de
‫ ܴܤܥ‬ൌ െͷͺ͵ͷǤ ͳͲଷ ଶ ଶ ଶ l’équipement et de l’Environnement pour le
‫ݓݔ ݂ݔ ܲܫ‬ை௉ெ
ߛௗ ܴଶ଴ Développement). Utilisation des graveleux
൅ ͵͹ͳͲ͹ ൅ ͵͸ǡͺ͹͹ latéritiques en technique routière. CHIRAT,
‫ ݂ݔܲܫ‬ଶ ‫ݓݔ‬ை௉ெ
avril 1990, ISBN 286 815 030-6, p. 143.
L’Association Tunisienne de Mécanique des Sols,
After the regression, we obtained a correlation
ATMS et l’École Nationale d’Ingénieurs de
coefficient 0.9578. Verification tests are then
Tunis, ENIT. Recueil des actes du séminaire
made on other samples different from those of the
international : « Le compactage des sols » –
study.
Hammamet,Tunisie, p. 10 à 15.
François schlosser (1997). Éléments de
4.3.2. The second formula
mécanique des sols. Presses de l'école
nationale des Ponts et Chaussées (ENPC),
For the second formula, we have established it
276 pages.
with twelve different careers but being in the same
Sébastien CHARMOZ & Adrien DAERR, Outils de
region (Thies).
base en analyse numérique, Université Paris 7
Denis Diderot CEA Saclay.
ߛௗଶ ߛௗ
‫ ܴܤܥ݃݋݈ݔܲܫ‬ൌ ͷ͸ǡͶͻͺǤ ͳͲସ െ ͳͳͷǡͲ͹ͺǤ ͳͲଶ ଶ
‫ܲܫ‬ସ ‫ܲܫ‬
൅ ͺͳǡͺͶͺ
After the regression, we obtained a correlation

coefficient 0.9420. Verification tests are then
made on other samples different from those of the
study.
4.3.3. The third formula
Regarding the third formula, we obtained:
‫ܴܤܥ‬௜௠௠௘௥௦௜௢௡ ൌ Ͳǡͻ͸͹‫ܴܤܥ‬ଶହ ൅ Ͳǡ͸ͻ͵
5. Conclusions
We modeled the CBR for the Thies region, if we

can do that for the rest of Senegal, we can have a
catalog of CBR formulas for each area of the
country. For the first formula, we note the clear
difference between the CBR obtained by trial and
those obtained by calculations. This large
difference is observed, however, on a few
samples with CBR not reach 36%. We note that
the second formula gives a good approximation of
the CBR. This is most noticeable in the career of
Sindia because of its small differences. However,
like any scientific study, we had to identify sources
of error in the conduct of the study. First,
regarding the results used, given by testing the
spatial variation of soil properties may have
INVESTIGATION OF GEOGRID REINFORCED SOIL USING BIAXIAL

COMPRESSION TESTS
ANALYSE D’UN SOL RENFORCÉ PAR GÉOGRILLES À L’AIDE D’ESSAIS DE
COMPRESSION BIAXIALE
Felix JACOBS
Geotechnical Engineering, RWTH Aachen University, Germany
ABSTRACT - The principle compound behavior of geogrid reinforced soil is being investigated with large
scale laboratory tests and corresponding numerical simulations. With a highly sophisticated testing device
developed at RWTH Aachen University, biaxial compression tests of geogrid reinforced soil have been
carried out under plane strain conditions with specimen dimensions up to 800 × 820 × 460 mm³ (H × W × D).
In this paper, the load transfer between soil and geogrid is studied closely by varying the numbers of
longitudinal and transverse tensile members of the geogrids. The main characteristic of geogrid reinforced
soil, i.e. interlocking between soil and geogrid, can be visualized clearly.
To investigate a broader margin of the varied parameters, a finite element model has been set up using the
software Abaqus® and is presented in this paper.
1. Introduction global stress-strain behavior of geogrid reinforced

soil (Ketchart and Wu, 2001).
Geogrid reinforced soil is widely used in For the general compound behavior, the load
geotechnical engineering as the contribution of transfer from soil to geogrid, and vice versa, is of
geogrids to the strength of the composite material is great importance. Therefore, a non-scaled ratio of
well known. However, so far most design soil particle size to geogrid aperture size is
approaches for major applications, e.g. retaining preferable (Bussert, 2006). In the present study,
walls and load transfer layers under roads and geogrid reinforced soil is being investigated carrying
railway tracks, are mainly based on empirical out biaxial compression tests with specimen
investigations. To strengthen the theoretical basis dimensions of 800 x 820 x 460 mm³ (H x W x D),
and to understand the complex compound allowing the use of common geogrids with aperture
behavior, principle investigations, e.g. direct shear, widths of 30 to 40 mm. Those large scale laboratory
pull-out, biaxial and triaxial compression testing of tests are simulated using the finite element method
geogrid reinforced soil, are necessary. to investigate a broader margin of the varied
A reinforced specimen has a clearly non- parameters. The model with its boundary conditions
homogeneous structure and is therefore strictly is presented.
speaking not a soil “element” with a uniform stress The tests and corresponding simulations have
and strain state. But due to the well-defined been carried out under plane strain conditions
boundary conditions, biaxial and triaxial “element” reflecting the state of strain in the applications of
tests are still regarded as the most appropriate geogrid reinforced soil, mentioned above.
testing methodology for the investigation of the
σ1
80 cm geogrids
σ3 =
2.5 kPa
82 cm
2 3
1
Figure 1. Laboratory apparatus for large scale biaxial compression testing and sketch of the specimen.
2. Laboratory Testing transfer mechanisms within the geogrid reinforced

soil element. In order to isolate and then quantify
2.1. Test setup and materials the contribution of each mechanism to the global
strength, the used geogrids have been modified;
The laboratory apparatus that has been developed varying numbers of longitudinal and transverse
to carry out large scale biaxial compression tests tensile members of original geogrids were removed
with geogrid reinforced soil is shown in Fig. 1. In (see Table I). The detachment of the tensile
this paper, test results of unreinforced specimens members was carried out with great care to impede
and specimens reinforced with two reinforcement damaging of the remaining longitudinal tensile
layers are presented. Tests have been carried out members.
under a constant confining pressure of only In this study, an unreinforced specimen and a
σ3 = 2.5 kPa that was applied using vacuum, specimen reinforced with two original geogrids
representing the horizontal in-situ stress of a (GL-700) are being compared with three further
bearing layer at a depth of approximately 1 m. Axial specimens with modified geogrids. The unmodified
compression of the soil has been achieved with a geogrids, here to be called “full-grids”, consisted of
stiff loading plate that has been moved with a 12 longitudinal and 21 transverse tensile members.
constant velocity (≈ 1 mm/min. The pressure On the one hand, all transverse tensile members of
distribution between the loading plate and the top the geogrids were removed (number of tensile
surface of the specimen has been measured with a members in cross machine direction per layer
sensitive high resolution pressure sensor. nxmd = 0) to determine only the longitudinal frictional
For the presented tests, a dry uniform-graded part of the reinforcing effect. On the other hand, the
medium sand (d50 = 0.5 mm) has been used, number of the longitudinal tensile members was
classified as “SP” according to the Unified Soil reduced by half (number of tensile members in
Classification System. As reinforcement, biaxial machine direction per layer nmd = 6) so that the
polypropylene geogrids with flat bars and welded influence of the frictional surface and the geogrid
junctions have been used. tensile stiffness on the load transfer could be
investigated.
2.2. Investigation of load transfer by variation of
geogrids Table I. Modified geogrids used in the presented
test series.
In Jacobs et al., (2012), it was shown that no. of
geogrid
in machine direction nmd (longitudinal)
reinforcing a specimen with geogrids leads to a tensile

6 12
members
large increase of the total bearing capacity and a
in cross machine direction nxmd (transverse)
much more ductile behavior. Regarding the ultimate

stress, the kinematic behavior and the stress 0
distribution underneath the loading plate, an nxmd = 0 nxmd = 0
appropriate arrangement of two geogrids within the

specimen was found (Ruiken et al., 2012). For the
prevailing boundary conditions a test setup with a 21
regular distribution of the geogrids over the height nxmd = 21 nxmd = 21

and a ratio of layer spacing to specimen width full-grid GL-700
lv/W = 0.5 is appropriate for biaxial compression

tests. Therefore, all tests described in this paper 2.2.1 Stress-strain behavior
have been carried out with two geogrids placed at In Fig. 2, the stress-strain curves of an unreinforced
1/4 H and 3/4 H. specimen and of the specimens reinforced with
Within geogrid reinforced soil, load is transferred modified geogrids as listed in Table I are illustrated.
from soil to geogrid, and vice versa. The load The test with nmd/nxmd = 6/0 shows that adding two
transfer mechanisms have been studied by many layers of only six longitudinal tensile members of
authors (e.g. Jewell et al., 1984; Palmeira, 2004; the tested geogrid to a specimen, has a remarkable
Ziegler and Timmers, 2004; Sieira et al., 2009) and effect; the modulus at the beginning of the test is
several models have been proposed. All authors equal to the regularly reinforced specimen and the
agree that the interaction between geogrid and soil ultimate stress, that has been reached, is much
consists of two basic mechanisms: higher than the ultimate stress of the unreinforced
- a shear resistance on the surface of the geogrid specimen (> 200 %). Therefore, it can be said that
longitudinal and transverse tensile members, and the frictional load transfer has greatly influenced the
- a bearing resistance in front of the transverse global stress-strain behavior, especially at small
tensile members. deformations, as also observed by e.g. Palmeira,
Both mechanisms are activated when a relative (2004) and Sieira et al., (2009).
displacement between the surrounding soil and The five tests presented in Fig. 2 are combined
geogrid occurs. in Fig. 3, where the ultimate vertical stress σ1 is
A series of biaxial compression tests has been drawn over the number of longitudinal geogrid
carried out with specimens reinforced with two tensile members nmd. It is assumed that for the
geogrid layers to investigate in detail the load geogrid reinforced soil specimens, three different
global resistances against compression exist and compression. To investigate the load transfer
contribute to the global strength of a specimen. mechanisms in particular, the kinematic behavior of
First, all specimens experience the resistance of an the tests listed in Table I has been determined
unreinforced specimen (black shading in Fig. 3). using the Digital Image Correlation (DIC) method
Additionally, longitudinal and transverse tensile and is presented in Fig. 4.
members are assumed to lead to separate and It can be seen that the longitudinal tensile
additive global resistances against compression; members have caused straight shear zones that
firstly, friction on the longitudinal tensile members of end at the height of the geogrid layers omitting to
the geogrids (light grey shading in Fig. 3) and cross them. But where shear zones have been
secondly, bearing resistance in front of the forced to cross a geogrid, no change in the shear
transverse tensile members. The bearing zone direction has been observed. However,
resistance cannot be separated easily from the reinforcement with transverse tensile members
friction on the transverse tensile members so that stimulates interlocking of the particles in the geogrid
this is illustrated together as a combined resistance apertures so that a locked-up package of reinforced
of the transverse tensile members (dark grey soil has been created around the geogrids.
shading in Fig. 3). Therefore, with vertical compression, on the one
hand, many shear zones have developed, and on
250 No. longitudinal/ the other hand, those shear zones have “tried” to
transverse tensile
avoid crossing this stiffened zone of geogrid-soil
vertical stress σ1 [kPa]
members
200
and have bent towards the parallel of the geogrids.
nmd/nxmd =12/21
150 Additionally, the observed arching effect between
nmd/nxmd = 6/21
the two reinforcement layers increases, the more
nmd/nxmd = 12/0
100 longitudinal and transverse tensile members have
nmd/nxmd = 6/0
50
been added to the geogrids (Fig. 4, horizontal
unreinf. particle displacements from left to right).
0
0 1 2 3 4 5 6 7
vertical strain ε1 [%]
3. Numerical Simulations – FEM model
Figure 2. Stress-strain behavior of an unreinforced
specimen and of specimens reinforced with two To investigate a broader margin of the varied
geogrids with varying numbers of tensile members. parameters and to create a tool for the
development of a design concept for geogrid
reinforced bearing layers, a finite element model
0 21 21
has been set up using the software Abaqus®. The
250 unreinforced model consists of three parts, i.e. the
soil and stiff bottom and top plates, so that the
200 stress and displacement boundary conditions of the
vertical stress σ1 [kPa]
xmd laboratory biaxial compression tests could be

150 implemented, including the frictional behavior
between soil and top and bottom plate, respectively.
100
md
In the laboratory testing, top and bottom plates
have been lubricated with a combination of thin
50 latex membrane and silicone grease to minimize
soil the influence of the boundaries on the
0
0 6 12 nmd [-]
deformations. This has been implemented into the
FEM model using Coulomb’s contact definition with
Figure 3. Contributions to the bearing capacity for a contact friction angle of 2° that was reported by
various specimens. Tatsuoka and Haibara (1985) for this lubricating
combination.
With this in mind, the sum of the described The simulation process is preceded by an initial
resistances leads to the ultimate stresses of the step that sets the geostatic stress distribution under
unreinforced specimen (Fig. 3 left), the test with the soil’s self-weight. After the confining stress is
nmd/nxmd = 6/21 (Fig. 3 center), and the test with applied (in the laboratory using vacuum), the actual
nmd/nxmd = 12/21 (Fig. 3 right). For both numbers of loading process begins, as in the laboratory, carried
longitudinal tensile members, Fig. 3 shows clearly out by the displacement of a stiff loading plate at a
that the transverse tensile members have constant rate.
accounted for approximately half of the total In the first step, the functionality of the model
reinforcing effect. with its complex boundaries conditions had to be
tested. Therefore, the failure criterion of Mohr-
2.2.2 Kinematic behavior Coulomb has been used as a simple constitutive
A remarkable feature of the laboratory apparatus is law. It is well known that Mohr-Coulomb does not
its transparent side wall that allows to observe the yield good results regarding the soil displacements
reinforcing effect on the kinematic behavior during but the stress response of the model could be
Figure 4. Kinematic behavior of an unreinforced specimen and of specimens reinforced with two geogrids
that have varying numbers of longitudinal and transverse tensile members.
achieved satisfyingly. Due to the limited space the financial support from the Geosynthetic Institute
results of those preliminary simulations are not (GSI), PA, USA within its fellowship program is also
shown in this study. In the future a more advanced acknowledged.
constitutive law will be applied to also match the
correct deformations of the soil. The contact
between geogrid and soil will be implemented as a 6. References
nonlinear function of the relative displacement
between geogrid and soil, calibrated by the Bussert, F. (2006). Verformungsverhalten geo-
presented laboratory tests. kunststoffbewehrter Erdstützkörper – Einfluss-
größen zur Ermittlung der Gebrauchs-
tauglichkeit. Wissenschaftliche Schriftenreihe
4. Conclusions Geotechnik und Markscheidewesen. TU
Clausthal, Heft 13, language: German.
A series of biaxial compression tests with geogrid Jacobs, F., Ruiken, A. and Ziegler, M. (2012).
reinforced soil has been carried out. To investigate Investigation of geogrid reinforced soil with large
the frictional and bearing load transfer mechanisms scale “element” testing. Proc. 2nd Pan American
between geogrid and surrounding soil certain Congress Geosynthetics, Lima, Peru.
numbers of longitudinal and transverse tensile Jewell, R.A., Milligan, G.W.E, Sarsby, R.W. and
members had been removed from original Dubois, D. (1984). Interaction between soil and
geogrids. Regarding the moduli of the various geogrids, Symp. on Polymer Grid Reinforcement
modified tests, it has been approved that the in Civil Engineering ‘84, ICE, London, UK, pp.
frictional resistance is activated directly while larger 18-30.
relative displacement is required to activate bearing Palmeira, E.M. (2004). Bearing force mobilisation in
resistance. From shear zones bending towards the pull-out tests on geogrids, Geotextiles and
direction of the geogrids, it was concluded that the Geomembranes, 22: pp. 481-509.
transverse tensile members caused an interlocking Ruiken, A., Jacobs, F. and Ziegler, M. (2012).
of the soil in the geogrid aperture so that a stiffened Large scale biaxial compression testing of
zone of geogrid-soil was generated around the geogrid reinforced soil. Proc. of 5th European
geogrid layers. In total, the transverse geogrid Geosynthetics Congress 2012, Valencia, Spain,
tensile members accounted for approximately half Vol. 4, pp. 301-306.
of the total reinforcing effect. Sieira, A.C.C.F., Gerscovich, D.M.S. and Sayão,
A model has been set up to simulate the tests A.S.F.J. (2009), Displacement and load transfer
using the FEM. All stress and displacement mechanisms of geogrids under pullout condition,
boundary conditions could be implemented and with Geotextiles and Geomembranes, 27: pp.
a first preliminary simulation using Mohr-Coulomb’s 241-253.
failure criterion the global stress-strain behavior of Tatsuoka, F. and Haibara, O. (1985). Shear
an unreinforced laboratory test was achieved. resistance between sand and smooth or
lubricated surfaces. Soils and Foundations,
25-1: pp. 89-98.
5. Acknowledgements Ziegler, M. and Timmers, V. (2004). A new
approach to design geogrid reinforcement, Proc.
The author would like to thank Naue of the 3rd European Geosynthetics Conf.,
GmbH & Co. KG and Colbond bv for providing the Geotechnical Engineering with Geosynthetics
geogrids and for their financial support. The 2004, pp. 661-667.
STRUC
CTURAL DESIGN
N OF PA
AVEMEN
NTS UND
DER STA
ATIC LOADING
DIMENS
SIONNEME
ENT DES
S CHAUSS
SÊES SO
OUS CHAR
RGE STATIQUE
Kyösti KAN
NERVA, Lee ena KORKIIALA-TANT TTU
Pöyry Finla
and, Vantaa
a, Finland; Aalto
A Unive
ersity Schoo
ol of Engineering, Espo
oo, Finland
ABSTRACT T - In Finlannd, there are

e no official guidelines for the pavem ment design n for static lo
oading. This
paper evaluuates whethe er design loa
ads, design criteria
c and materials
m of international design meth hods can be
applied in Finland. Stu udied internaational desig gn methods for static loading were e British Intterpave and
Swedish CBI methods for concrete e block pavements. Stu udied designn loads, crite eria and materials were
applied to design a strructure with an asphalt concrete pa avement. Th he design w was based on o Interpave
oads and CB
container lo BI reduced static
s stiffnes
ss moduli values for pavvement and ssubgrade materials with
the Swedishh design criterion for verrtical compre essive deform
mation on topp of the subg grade for sin
ngle-loading.
Interpave coontainer load
ds with the design
d principle based on single-loadding and the e reduced sta atic stiffness
moduli valuues can be considered applicable for f the desig gn of pavem ments underr static loading. Further
research is required to determine
d reasonable sta atic moduli va
alues especiially for bitum
men bound materials.
m
ction
1. Introduc connsidered in Interpave
I annd CBI meth hods either,
thus making th he calculate
ed design re esults more
In Finland, there are no n official gu uidelines for the commparable to design
d chartss of Interpav
ve and CBI.
pavement thickness design off heavy duty d This paper is based onn the masterr´s thesis off
structures loaded with h heavy wh heel loads and the first authoor (Kanerva a, 2011). The T design
container looads. Structu ural design hash been made culations ma
calc ade for the th
hesis were extended
e for
either em mpirically applying Fin nnish natio onal s paper.
this
guidelines developed for the ro oad paveme ents
(Tiehallinto,, 2004) or byy using interrnational des sign
methods. TheT thickness design of the Portt of 2. Input Data fo
or Design C
Calculations
Helsinki, Vuosaari
V Harbor (Hels singin Satama,
2005) is a good
g examplle of practice e where natioonal 2.1. Container Loads
guidelines developed
d fo
or the road pavements was w
applied. The e thickness design
d of ha
arbor paveme ents erpave design guide (Inte
Inte erpave, 20077) includes a
was made in 2003 - 2005 and the t harbor was
w table, which deetermines de esign contain
ner loads for
constructed d in 2003 - 2008.
2 This paper
p addres
sses ee containerr arrangemen
thre nts up to a pile of eight
only the de esign for stattic containerr loading, wh hich conntainers. Figu
ure 1 shows different arrrangements,
was studied during the Vuosaari Harbor des sign whiich are a single container, a containe er row and a
process but eventually was not co onsidered in the conntainer groupp. With grea ater stacking
g heights all
final design. conntainers are not conside ered to be fully laden.
This paaper evaluattes whetherr design loa ads, Theerefore, the total weightt of a conta ainer pile is
design crite
eria and mate erials of international dessign reduced by using
u reducttion factors for upper
methods ca an be used or applied in Finland.
F Studdied conntainers. Thee reduction ffactors and thhe container
internationaal design metthods for sta atic loading were
w load
ds are shown n in table I.
British Interpave (20 007) and Swedish CBI
(Silfwerbrannd, 2005) methods
m for concrete bllock
pavements.. However, concrete block paveme ents
are not exxtensively used u in Fin nland in he eavy
trafficked areas.
a Thereefore, as a comparison n to
Interpave and CBI struc ctures studie ed design loaads,
criteria andd materials were applie ed to design a
structure with an aspha alt concrete pavement. The T
calculation results an nd the des signed asp phalt
pavements of section 3.2 3 are not intended to o be
used in pavvement desig gn as such. TheT design was w
mainly exe ecuted to co ontribute the e evaluationn of
used design loads, design criteria and materiials.
Furthermore e, the thickness design for f allowed frost
f Figure 1. Stacking Arrangements (Interpave, 2007).
heave and demanded overall stru uctural capaacity
were not considered in this pa aper. Structtural
capacity and
a the de esign for frost
f were not
Table I. Container Loads (Interpave, 2007). 2.3. Pavement and Subgrade Materials
Stacking Reduction Load on Pavement [kN] In CBI design guide (Silfwerbrand, 2005) reduced
Height in Weight Singly Row Blocks stiffness moduli values were applied to simulate
1 0% 76,2 152,4 304,8 deformation properties of pavement materials in
2 10 % 137,2 274,3 548,6 static loading conditions. Reduction in stiffness is
3 20 % 182,9 365,8 731,5 especially notable for bituminous mixtures, such as
4 30 % 213,4 426,7 853,4 asphalt concrete, because of the viscoelasticity of
5 40 % 228,6 457,2 914,4 bitumen. Furthermore, the rise of air temperature
6 40 % 274,3 548,6 1097,0 has a declining effect on the stiffness of
7 40 % 320,0 640,0 1280,0 viscoelastic materials. High temperature together
8 40 % 365,8 731,6 1463,0 with static loading causes significant surface
deformation for instance on public transportation
terminals. Table III shows stiffness moduli values
used in CBI design calculations. Attention should
Swedish Cement and Concrete Research
be paid particularly to the static moduli value of
Insitute - CBI and Swedish National Road and
asphalt concrete, where the influence of bitumen is
Transport Reseach Institute - VTI applied the
entirely ignored. CBI and Vuosaari Harbor design
container loads of Interpave to determine Swedish
moduli values for dynamic traffic loading with the
design guide for heavy wheel loads and container
values for concrete blocks and crushed concrete
loads (Silfwerbrand, 2005). Design tables were
were added as a comparison. CBI static stiffness
based on BISAR -calculations (Carlsson, 2001).
moduli values were applied in section 3.2 to design
The rectangle-shaped container contact areas of
2 a structure with an asphalt pavement.
Interpave design guide (178 x 162 mm ) were
transformed to circle-shaped contact areas with a
Table III. Stiffness Moduli Values for Pavement
radius of 95,8 mm. Table II shows used contact
(Silfwerbrand, 2005 *; Helsingin satama, 2005 **).
pressures, which correspond to the container loads
for singly laden containers shown in table I. The
same contact pressures are applied in section 3.2 Stiffness Modulus [MPa]
to design a structure with an asphalt pavement. CBI CBI Vuosaari
Material Resilient moduli Static Resilient
Table II. Contact Pressures (Silfwerbrand, 2005). values for traffic * moduli moduli
Spring Summer values* values **
Stacking Concrete
1 2 3 4 5 6000 6000 2000 -
Height Block
Contact Asphalt
10000 3000 150 2245
Pressure 2,64 4,76 6,34 7,40 7,93 Concrete
[MPa] Crushed
Rock 450 450 150 280
(Base)
Crushed
2.2. Design Criteria
Rock
350 350 117 200
(Sub-
The design criterion of Interpave method base)
(Interpave, 2007) is a maximum allowed tensile 1st 1st
stress in a cement bound base layer. The design Crushed 1st year
year year
criterion and design tables for a concrete block Concrete 450
450 150 -
pavement are not applicable for asphalt concrete (Sub- Others
Others Others
pavements. base) 900
900 300
CBI design criterion is a maximum allowed
vertical compressive deformation of 2400 µm/m on
top of the subgrade for single-loading. The design
criterion is specified in the Swedish national CBI design guide (Silfwerbrand, 2005) applies
guidelines for road structures (Vägverket, 2005). the static stiffness moduli values for the Swedish
Allowed compressive deformation is between 2100 subgrade classes for road structures. The static
and 2500 µm/m and is largest in the southern part values were determined for the design guide and
of Sweden. The deformation of 2400 µm/m is for a are not presented in the Swedish national
second climate-area, which includes Stockholm guidelines for road structures (Vägverket, 2005).
and Göteborg for instance. The Finnish guidelines Table IV shows static moduli values used in the
(Tiehallinto, 2004) do not include a corresponding calculations and as comparison moduli values for
criterion for single-loading. Therefore, the Swedish dynamic traffic loading. CBI static stiffness moduli
criterion for compressive deformation of 2400 µm/m values for subgrade were applied in section 3.2 to
for single-loading is applied in section 3.2 to design design a structure with an asphalt pavement.
a structure with an asphalt pavement.
Table IV. Stiffness Moduli Values for Subgrade pavement thickness rather than the thicknesses of
(Silfwerbrand, 2005). individual pavement layers.
Stiffness Modulus / Bearing 3.2. Results

Capacity [MPa]
Subgrade Resilient moduli values Static Based on the calculation results the thicknesses of
Class for traffic moduli the sub-base layer are 270 - 1260 mm. Therefore,
Summer values the overall thicknesses of the pavement are 470 -
& Fall Spring 1460 mm. The design results are shown in table V
1 150 150 50 and VI.
2 70 100 23
3 35 100 12 Table V. Calculated Sub-base Thicknesses.
4 30 50 10
5 10 45 3,3 Sub-base
Thickness
[m] Subgrade Class
3. Design Calculations Stacking
1 2 3 4 5
Height
3.1. Arrangements 1 0,27 0,38 0,46 0,49 0,63
2 0,44 0,59 0,70 0,73 0,92
The design calculations for this paper were made 3 0,54 0,71 0,83 0,88 1,10
with a Finnish APAS 3.0 viscoelastic-multilayer 4 0,60 0,79 0,93 0,97 1,21
calculation program, which is developed to 5 0,63 0,82 0,97 1,01 1,26
calculate stresses, strains and deformations in road
structures. The program uses determined strains
and deformations to design a road structure for Table VI. Pavement Overall Thicknesses.
desired repetitions based on the fatigue
characteristics of asphalt concrete and subgrade. Overall
The program has been momentarily removed from Thickness
general use because the fatigue characteristics of [m] Subgrade Class
certain materials are either outdated or otherwise Stacking
insecure for fatigue design. However, for this paper 1 2 3 4 5
Height
the design criterion for single-loading was applied 1 0,47 0,58 0,66 0,69 0,83
and fatigue design was not required. 2 0,64 0,79 0,90 0,93 1,12
Before the design calculations the container 3 0,74 0,91 1,03 1,08 1,30
loads and the contact pressures shown in table I 4 0,80 0,99 1,13 1,17 1,41
and II were input to the program. The radius of 5 0,83 1,02 1,17 1,21 1,46
contact-area was 95,8 mm as in CBI design
method (Silfwerbrand, 2005). Required pavement
and subgrade materials were generated according The calculation results and the designed asphalt
to the static moduli values shown in table III and IV. pavements are not intended to be used in
A base layer and a sub-base layer were both pavement design as such. The design was
crushed rock. The design calculations were made executed to contribute the evaluation of design
by iterating the thickness of sub-base layer with an principle and the applicability of design loads,
accuracy of 10 mm to obtain the maximum allowed design criteria and materials gathered from
vertical compressive deformation of 2400 µm/m on international design methods of British Interpave
top of the subgrade. (2007) and Swedish CBI (Silfwerbrand, 2005) for
In order to make calculation results as static container loading. Design was made for the
comparable as possible thicknesses of an asphalt container loads of Interpave for singly laden
concrete layer and the base layer were set containers from one to five containers stacked. CBI
constant for all contact pressures and subgrade reduced stiffness moduli values were applied to
classes. The thickness of the asphalt concrete simulate the stiffness characteristics of materials in
layer was 50 mm and the thickness of the base static loading conditions. For instance, the stiffness
layer was 150 mm. The static moduli values for modulus of asphalt concrete was reduced to 150
asphalt concrete and crushed rock in base layer MPa. The design calculations were made by
are equivalent and the difference to the static iterating the thickness of sub-base layer to obtain
moduli value for crushed rock in sub-base layer is the maximum allowed vertical compressive
minor. Therefore, the influence of changes in the deformation of 2400 µm/m on top of the subgrade.
asphalt concrete or the base layer thicknesses to The design criterion is for single-loading and it is
an overall pavement thickness would have been specified in the Swedish national guidelines for
insignificant. Consequently, while evaluating design road structures (Vägverket, 2005).
results attention should be paid to the overall
3.3. Comparison to CBI and Interpave Design further research is required especially to determine
Results and Vuosaari Harbor Pavements reasonable moduli values for bitumen bound
materials. There are research results for the
There are three alternative pavement types in CBI stiffness moduli values of asphalt concrete for
design guide (Silfwerbrand, 2005). All three types different loading times (Siika, 2006). However, the
have a concrete block pavement. In the first most suitable loading time for the pavement design
pavement type both the base layer and the sub- for static loading is still to be determined.
base layer are crushed rock. In the second Furthermore, attention should be paid to the
pavement type the upper part of a base layer is determination of asphalt concrete type to be used
asphalt concrete while the lower part and a sub- in the areas of static loading. The asphalt concrete
base layer are crushed rock. In the third pavement types with better stiffness characteristics in
type a base layer is crushed rock and a sub-base prolonged loading should be preferred. Asphalt
layer is crushed concrete. Overall pavement concrete types developed for static loading are
thicknesses for the first and the second pavement composite asphalt and asphalt with polymer-
types are 430 - 2000 mm and for the third modified bitumen as a binder. If an asphalt
pavement type overall pavement thicknesses are concrete is used as a pavement and a concrete
400 - 1320 mm. block pavement is not desired, a stripe of concrete
In Interpave design charts (Interpave, 2007) blocks can be used under container legs to avoid
overall pavement thicknesses are 260 – 1360 mm surface deformation under the corner castings of
for a pavement with a concrete block surface, a containers.
cement bound base layer and crushed rock in a
sub-base layer and in a possible capping layer.
The thickness design of Vuosaari Harbor 5. Acknowledgments
pavements (Helsingin Satama, 2005) was
established only for dynamic heavy wheel loads. At first I would like to thank Professor Leena
Design was made for five different loading classes Korkiala-Tanttu for discovering a challenging but
and two different subgrade classes, which yet inspiring topic for my master´s thesis and the
correspond to Swedish subgrade classes 1 and 4 opportunity to write this paper. I would also like to
(Vägverket, 2005). The foundations of Vuosaari thank Leena, Dr. Jarkko Valtonen and Dr. Heikki
Harbor were extracted rock and sand excavated Jämsä for instructions for my thesis and Professor
from seabed. On the rock foundation the overall Terhi Pellinen for instructions and supervision of
pavement thickness was 300 mm. The thickness of the thesis. I would like to thank Port of Helsinki for
asphalt concrete layer was determined based on the test sites of experimental study and cities of
demanded structural capacity of overall pavement. Helsinki, Espoo and Vantaa for the test sites but
On the sand subgrade the overall pavement also for the finance of my work. I give my greatest
thickness was 1200 mm, which was determined gratitude to Road Consulting and Roadscanners for
based on an allowed 60 mm frost heave. Individual professional assistance in experimental study and
pavement layers were designed for the fatigue of my colleagues at work in Pöyry. At last I would like
asphalt concrete and subgrade. Additionally, the to thank all my family members and relatives.
structural capacity of overall pavement was
examined. If calculated structural capacity was
below demanded redesign with corrections was 6. References
performed.
Carlsson H. (2001). Livslängdsberäkningar på
markstenskonstruktioner. VTI Notat 49-2001.
4. Conclusions Helsingin satama (2005). Vuosaaren sataman
kenttien ja teiden päällysrakenteet.
The container loads and the reduction factors Interpave (2007). The structural design of heavy
shown in table I can be considered applicable if duty pavements for ports and other industries,
more precise information is not available. However, fourth edition.
the evaluation of stacking heights and container Kanerva K. (2011) Rakennemitoitusmenetelmät
weights in advance is practically always inaccurate. raskaille pyöräkuormille ja konttikuormille sekä
The design principle based on the design rakennettujen kenttien kokeellinen tutkimus.
criterion for single-loading and the reduced static Siika T. (2006) Katurakenteiden staattinen ja
stiffness moduli values can be considered dynaaminen kantavuus.
applicable for the design of pavements under static Silfwerbrand J. (2005). Dimensionering av
loading. The applicability of criteria in different markstensöverbyggnader för industriytor. CBI
national guidelines should be studied locally. As a rapport 1:2005.
neighboring country the Swedish criterion can be Tiehallinto (2004). Tierakenteen suunnittelu. TIEH
considered the most convenient to Finland. 2100029-v-04.
The static stiffness moduli values shown in table Vägverket (2005). ATB VÄG 2005, Kapitel C –
III and IV can be considered as a baseline for the Dimensionering. Vägverket publikation 2005:112.
pavement design for static loading. However,
IMPROVEMENT OF DYNAMIC SOIL PROPERTIES USING PRELOADING

IN PREMISERI PROJECT, ALBANIA
AMELIORATION DES PROPRIETES DYNAMIQUES DES SOLS PAR

PRECHARGEMENT SUR LE PROJET PREMISERI, ALBANIE
Ani KOSHO
Tirana, Albania
ABSTRACT- This paper investigates the possibility to estimate the stress history of PREMISERI
project before and after the failure for the CPT test. The embankment was constructed in
Industrial & Energetic Park of Porto Romano, located in the western part of Albania, very close to
the Adriatic Sea, 5 km from Durres city. The results of an elaborate field preloading study on a
liquefaction-susceptible site are presented. Preloading was applied by a temporary embankment
9m high. Prior and after preloading, borings with standard penetration tests, cone penetration
tests and geophysical studies were performed. During the process of embankment construction
and demolition, settlements, excess pore pressures and vertical and horizontal stresses were
recorded versus time at different locations. A partial embankment failure occurred during the
preloading process.
1. Introduction borings about 15m depth each with sampling and

Standard Penetration Tests (SPT) every one to two
Preloading is a temporary loading, usually a soil meters were performed at locations corresponding
embankment, applied at approximately level ground to distances from 3 to 11.5 m from the centre of the
to improve subsurface soils by densification and embankment to be built. A standard laboratory
increasing lateral stress. The preload embankment testing program including classification,
was 9m high. Soil resistance was measured before compressibility and strength tests was also
and after preloading in the field by Standard performed. In addition, three Cone Penetration
Penetration Tests and Cone Penetration Tests. The Tests (CPT) soundings to 20-23 m depth each, and
shear wave velocity resistance was also measured down-hole surveys for measuring the shear wave
before and after preloading in the field. The velocity (Vs) were performed.
increase in horizontal stress caused by preloading
was also measured. However, the site up to 10m
depth consisted mainly of clay soil, and thus was
not liquefaction-susceptible. Thus the measured
increases in SPT, CPT, Vs and horizontal stress
could not be associated with increases in
liquefaction resistance. Furthermore, the vertical
strain versus depth was not measured. This is a
critical measurement, because it can correlate the
change in dynamic properties of soil layers with the
change in void ratio.
2. The PREMISERI site
The embankment was constructed in Industrial &

Energetic Park of Porto Romano, located in the
western part of Albania, very close to the Adriatic
Sea, 5 km from Durres city.
The site was rented and four borings to 15m
depth each with sampling and Standard Penetration
Tests (SPT) every one to two meters were
performed to verify that the site is suitable for the
purpose of the present research.
The following conditions had to be fulfilled: (a) Figure 1. PREMISERI SITE, Durres, Albania
Poor soil conditions, namely NSPT less than 20, (b)
predominately sand or silt with Plasticity Index less Table I. gives the description of the layers met
than 7%, (c) high water table. Then four additional under the ground surface until 20 m depth.
Table I. Parameters of soil layers During the placement of the preload

embankment, a slide occurred, presumably due to
excess rate of construction on 24/6/2011 (day 18).
Fortunately, the instruments were not damaged
during the slide, as they were located in regions not
affected by the slide. In addition, this slide provided
interesting data regarding the correct rate of
construction of preloading embankments when a
soft clay layer exists on shallow depths.
After the slide, part of the embankment was
demolished and reconstructed. Construction
3. Embankment construction and demolition continued at a considerably slower rate.
A 50m diameter fill, 9m high and 13 m diameter at

the crest truncated-cone-shaped preload earth fill
was constructed. A ramp was also constructed in
order to perform construction. Construction started
on 6/6/2011. The soil used to construct the
embankment was sandy. Compaction of the layer
was performed with a vibrator. Field density tests
were performed to verify compaction and illustrate
that the unit density of the soil was 2.03t/m3.
K2
h=6.35m 1
1.5
43m
h=3.5m
Figure 5. Photograph of the embankment during the

Figure 2. Porto Romano field test. Schematic slide
illustration of failure
Construction terminated, after reaching an
embankment height of 9m from ground level after
settlement that corresponds to 8.54m above
unsettled ground level, on 10/8/2011, or day 66.
The embankment stayed until 10/10/11, or 126
days after the start of construction, or 60 days after
construction. Then, the rate of settlement was very
small, less than 0.001m/day. The embankment was
removed in 11 days.
Figure 3. Porto Romano field test. Topographic

imprint of the failure
Figure 6. Photograph of the embankment during the

embankment remove
Figure 4. Photograph of the embankment at top

height
4. Instrumentation 5. Post-Improvement geotechnical

investigations
The following instruments were placed at the
location of the field test, prior to construction of the After the performance of the field test identical to
preload embankment and worked properly: the pre-improvement field investigations were
(a). Vertical pressure cells were installed just performed in order to investigate the post-
below the ground surface and at three locations that improvement soil properties. Post-improvement
corresponded to different points from the centre to geotechnical investigations were performed at a
the edge of the embankment to be built. distance less than 2m from the corresponding
(b) Horizontal pressure cells were placed at 5 locations of pre-improvement geotechnical
locations that corresponded to distances 6.5 and investigations.
16.5m from the centre of the embankment and at Fig. 8 gives the average after soil improvement
depths of approximately 3, 6 and 12m. They were N value of the SPT, qc value of the CPT and Vs
directed in a manner to estimate the radial measurements versus depth. It can be observed
horizontal stress. that in almost all SPT, CPT, Vs separate locations
(c) In each horizontal cell location, pore pressure versus depth, post-improvement values are larger
transducers were also installed in order to measure than the corresponding pre-improvement values.
the excess pore pressure, and from the horizontal
stress and excess pore pressure to extract the
50
effective horizontal stress. Other pore pressure Before-Average
transducers were also installed at depths of
40 After-Average
approximately 3, 6 and 12m.
(d) A horizontal Inclinometer was installed in
30
level ground, along a radius of the embankment-to-
NSPT
be-constructed to measure the ground settlement

20
versus time and horizontal location from the
centerline of the conical embankment.
10
(e). A magnetic extensometer was installed very
near the center of the base of the embankment-to-
0
be-constructed to measure the ground
0 5 10 15 20
displacement versus time and depth. In particular,
Depth (m)
the magnetic extensometer measures the
incremental displacement at 2m increments at
25
depths 0 to 20m. Before - Average
(f) Settlement plates were placed near ground After - Average
20
level at different locations of the embankment base
qc (MPa)
to measure the settlement by topographic means, 15

to verify the settlement measured by the other
means. In particular, the five settlement plates were 10
placed at locations that corresponded to different
points from the centre to the edge of the 5
embankment, in two vertical to each other
directions. 0
Fig. 7 gives the detailed locations of these 0 5 10 15 20
instruments. The measurements of all the above Depth (m)
instruments, except from the settlement plates,
300
were taken electronically. All these instruments
were connected to a data logging system. 250
200
Vs (m/s)
13m
150
50m 9m
K3K1 K4 K5
100
Before-Average
K2 X1 X2 X3 x 50
H8,P8 H9,P9
After-Average
P7
P4 H5,P5 H6,P6 0
0 5 10 15 20
Depth (m)
P1 H2,P2 P3
Figure 7. Cross-section of the embankment used Figure 8. Porto Romano field test. Average N value
for the preloading process. The location of the of the SPT, qc resistance of the CPT and Vs before
settlement plates (Ki), vertical pressure cells (Xi), and after soil improvement versus depth
pore pressure transducers (Pi) and horizontal
pressure cells (Pi) is also given.
Table II gives the average measured NSPT , qc European Prestandard. Eurocode 8 (1994) - Design
and Vs before and after soil improvement in all in- provisions of earthquake resistance of structures,
situ soil layers of table 1 and the corresponding Part 5: Foundations, retaining structures and
ratio of increase. It can be observed that the geotechnical aspects.
maximum increase occurs at the upper soft layer.
This is presumably a result of the maximum European Standard Eurocode 8 (2003): Design of
OCR value induced by preloading, in combination structures for earthquake resistance, Final Draft,
with minimum initial strength at this layer. prEN 1998-5, December
Table II. Average measured NSPT, qc(CPT) and Vs Hardin B. O. (1978) - The nature of stress-strain
before and after soil improvement and behavior of soils. Proceedings, Conference on
corresponding ratio of increase for all soil layers Earthquake Eng. And Soil Dynamics, ASCE,
Quantity Depth Pasadena, USA, pp 3-90.
0- 3.5- 7- Idriss I. M. and R. W. Boulanger (2004)- Semi-
3.5m 7m 15m empirical procedures for evaluating liquefaction
Bef. (Pre- NSPT 0.6 21.7 20.9 potential during earthquakes. Invited Paper
improvement) qc (CPT) 0.4 10.0 4.33 Presented at The Joint 11th International
Vs 94 192 197 Conference on Soil Dynamics & Earthquake
After (Post- NSPT 3.5 23.6 25.9 Engineering (ICSDEE) and The 3rd International
improvement) qc (CPT) 1.01 11.8 6.11 Conference on Earthquake Geotechnical
Vs 202 212 246 Engineering (ICEGE), Berkeley, California, USA
Ratio NSPT 6.3 1.1 1.4
qc (CPT) 2.3 1.2 1.4 Ishihara K. and Takatsu H.(1979)- Effects of over
Vs 2.2 1.1 1.2 consolidation and Ko conditions on the liquefaction
characteristics of sands. Soils and Foundations,
Japanese Society of Soil Mechanics and
Foundation Engineering, 19, n°4, pp 59-68.
6. Conclusions
Kramer S. L. (1996)-“Geotechnical earthquake
An elaborate field study of soil improvement by
engineering” Prentice Hall, New Jersey
preloading that was recently performed is
described.
Lambe T. W and Whitman R. V.(1969)- Soil
The site consisted of (a) a soft clay layer to
Mechanics, John Wiley and Sons
depth of 3.5m, (b) a medium-dense silty sand layer
at depths 3.5-7m and (c) a soft silt layer below.
Preloading was applied by a temporary
embankment 9m high. A partial embankment failure
occurred during the preloading process. Preloading
caused settlement of about 0.6m with vertical strain
ranging from 10% at depths above 3.5m to 1%
below. The increase in lateral stress ratio as a
result of the preloading process varies between 0.9
and 0.1. The large value corresponds to depths 0-
3.7m. As a result of preloading the shear wave
velocity increased from a factor of about 2 to a
factor of about 1.1. The large value corresponds to
depths 0-3.7m. The cyclic liquefaction strength of a
silty sand layer at depth 3.7-7m increased from
0.39-0.50 to 0.46-0.55, or by about 10%. In addition
the cyclic liquefaction strength of a non-plastic silt
layer at depth 7-15m increased from 0.38 to 0.43,
or by about 13%.
7. References
Boulanger R. W. and Idriss I. M. (2006).

Liquefaction Susceptibility Criteria for Silts and
Clays. The Journal of Geotechnical and
Geoenvironmental Engineering, Vol. 132, n°11
PERFORMANCE TESTING FOR GEOSYNTHETIC REINFORCED

SOIL COMPOSITES
ESSAIS DE CHARGEMENT DE SOL COMPOSITES RENFORCES PAR
GEOTEXTILES
1 1 2
Jennifer NICKS , Michael ADAMS , Tom STABILE
1
Federal Highway Administration, McLean, VA, USA
2
Engineering & Software Consultants, Inc., Chantilly, VA, USA
ABSTRACT - The Federal Highway Administration has developed a standard test method to describe the
load-deformation behavior of a frictionally connected geosynthetic reinforced soil composite material. This
performance test, termed a GRS mini-pier experiment, consists of constructing closely-spaced, alternating
layers of compacted granular fill and geosynthetic reinforcement with a facing element that is frictionally
connected, then axially loading the GRS mass while measuring vertical deformation to monitor performance.
Five performance tests have been conducted to determine the material strength properties of particular GRS
composites. The effect of backfill type and compaction was investigated; the results will provide engineers a
tool to design GRS abutments. This paper outlines the test method, presents the resulting load-deformation
characteristics, and recommends how to apply the results in practice.
1. Introduction ratio of 2.2 which is consistent with typical triaxial

testing for soils (ASTM D7181). The backfill for the
The Federal Highway Administration (FHWA) has Vegas pier was poorly graded silty gravel, classified
developed a standard test method to describe the as a GP-GM according to the Unified Soil
load-deformation behavior of a frictionally Classification System; the reinforcement was a 35
connected geosynthetic reinforced soil (GRS) kN/m geotextile spaced every 0.15 m, frictionally
composite material (Adams et al. 2011a). The GRS connected to segmental retaining wall blocks for the
performance test (PT), also called a mini-pier facing. In addition, secondary reinforcement was
experiment, consists of constructing alternating placed within the top two courses of block, or to a
layers of compacted granular fill and geosynthetic depth of about 0.3 m from the top of the mini-pier.
reinforcement with a facing element that is The resulting pier was loaded up to 1000 kPa.
frictionally connected, then axially loading the GRS Since then, several additional performance tests
mass while measuring deformation to monitor have been completed (Adams et al. 2007, Adams
performance. This large element load test provides et al. 2011a), with the largest load carrying capacity
material strength properties of a particular GRS reported at about 1200 kPa.
composite built with unique combinations of
reinforcement, compacted fill, and facing elements. 1.2. Application of PT to Design
1.1. Previous Performance Testing of GRS The results of the PT are primarily used in the
design of GRS abutments (Adams et al. 2011a).
The concept of testing GRS material has been The stress-strain curve obtained from the load test
previously applied on smaller scale models ranging can be used by designers to estimate the vertical
from small triaxial sized samples to 0.6 m cubed capacity as a strength limit check when using GRS
specimens in smaller capacity test frames (Juran et for load bearing applications. In addition, designers
al. 2005; Ketchart and Wu 2001). Several large can also estimate both vertical and lateral
scale tests have also been conducted (Elton and deformation due to an applied load as a service
Patawaran 2005; Wu et al. 2010). For the limit check.
aggregates recommended by FHWA for bridge Since the PT is taken to failure, the results also
support (Adams et al. 2011a), large scale tests are provide a unique opportunity to conduct a reliability
required to adequately predict performance of a full- analysis to calibrate load and resistance factors for
scale GRS abutment. The proposed FHWA PT has design (LRFD). A design model that estimates
shown to accurately predict both the strength limit capacity is currently available (Adams et al. 2011a).
and the service limit for GRS abutments. This design model, in the form of a semi-empirical
The FHWA first demonstrated the concept of a equation, has previously been validated against the
mini-pier experiment in 2000 with the “Vegas Mini- results of 16 different types of tests, including
Pier” experiment (Adams et al. 2002). The pier was previous performance tests (Adams et al. 2011b).
2.4 m tall with inside square dimensions of 1.1 m, The current research study will add to this database
which represents a height (H) to base width (B) to further verify or refine the predictive capability of
the GRS composite capacity equation. This type of Table I. Backfill Conditions for PT Series.
1
analysis is outside the scope of this paper. Test Type dmax d85 φ γd,max
No. (mm) (mm) (deg) (kN/m3)
1.3. Research Objectives DC-1 8 12.7 8.6 54 15.9
a
DC-2 8P 19.0 8.9 46 18.2
To investigate GRS material further, the FHWA DC-3 57 25.4 18.8 52 17.1
conducted a series of five PTs in Defiance County DC-4 9 9.5 4.3 49 17.4
(DC), OH. The primary objectives of this series of b
DC-5 8 12.7 8.6 54 15.9
PTs is (1) to develop a database of material
Where dmax is the maximum aggregate size, d85 is
strength properties for particular GRS composites,
the aggregate size in which 85% of the particles
(2) study the effect of backfill type, and (3) evaluate
are smaller, φ is the peak friction angle, and γd,max
the response of compaction on the capacity and
deformation of a GRS composite. is the maximum dry density.
1
Notes: Classification based on AASTHO M83,
a b
2. Test Method rounded pea-gravel, uncompacted sample
2.1. Layout and Test Conditions 2.2. Construction
The layout for the PTs is shown in Figure 1. The At the start of construction for each PT, the first
total height of the PT is 1.94 m, with inside square course of block was placed level and centered
dimensions of 0.98 m. For each test, the base to within the position of the reaction assembly.
height ratio was kept constant at about 2 to mimic Aggregate was then infilled using a front-end
triaxial conditions. The height is equivalent to 10 loader. Compaction for the DC tests was achieved
courses of CMU block while the outside dimensions using a 0.5 m wide gas powered vibratory plate
of the PT with facing are 3.5 courses of block wide. compactor for each layer of aggregate. The method
of compaction was to non-movement, which
consisted of running the plate compactor across
each lift with a minimum of 4 passes. In addition,
rodding with a shovel end was used for each PT to
compact the aggregate at the corners and edges of
the facing.
Once final compaction was achieved to the
leveled height of the facing block, a layer of
geotextile reinforcement was then placed over the
aggregate with a facing element coverage ratio of at
least 85% the width of facing element. Once the
fabric was placed, the next layer of CMU blocks
were positioned and aggregate infilled. This
process was repeated for 10 courses of CMU
Figure 1. (a) Elevation and (b) Plan View of the PT. blocks. Secondary reinforcement layers were
played at half lifts for the top two courses of block;
Each test is identical, with a 70 kN/m the reinforcement simply butted up against the back
polypropylene geotextile primarily spaced every 0.2 of the facing blocks. After completion, the concrete
m frictionally connected to a concrete masonry unit footing was then placed on top of the GRS
(CMU) facing; however, the open graded granular composite and the load frame assembled for
backfill varied for four of the tests (Table 1). The testing.
last test (DC-5) repeated a previous test (DC-1)
with the exception that the aggregate was not 2.3. Load and Reaction Frame
compacted. In all cases, secondary reinforcement
was placed within the top two courses of CMU The Defiance County PTs were built on a concrete
facing block. base pad that was elevated on CMU blocks to
Sieve analysis was used to determine the make room for the bottom set of the bolted channel
gradation of each material used to ensure the beams. The top set of bolted channels was
aggregate satisfied the specification for its type. supported on a concrete footing centered on top of
Large scale direct shear testing, using a 0.3 m x 0.3 the GRS composite; there is an inset of 41 mm
m x 0.2 m shear box, was conducted according to around the footing and the back of the facing. The
the ASTM D3080 standard test method to upper and lower channel beams were coupled
determine the strength properties, or friction angle, together with threaded bar. Four hollow core
of these cohesionless materials. The maximum dry hydraulic jacks were bolted to the top channel
density for the open graded aggregates was beams. All jacks were connected to a manifold and
determined using a vibratory table according to the controlled with a solenoid-controlled hydraulic
ASTM D4253 standard test method. pump. The stroke and capacity of the hollow core
jacks were 6 in. and 120 kips, respectively.
2.4. Instrumentation
Table 2. Backfill Conditions for PT Series.
Each PT was instrumented to measure the Test qmax εmax qult,emp q@ε=0.5%
response to the static, vertical applied pressure on No. (kPa) (%) (kPa) (kPa)
the top of the GRS composite. For the 5 PTs DC-1 1116 7.95 1116 147
conducted in this study, only vertical and lateral DC-2 1087 7.07 1087 104
deformation was consistently monitored; linear DC-3 883 5.82 N/A 63
voltage displacement transducers (LVDT) were DC-4 1280 7.64 N/A 106
used with 4 on each side of the top concrete footing DC-5 1031 10.42 1031 15
and 5 along one face of the PT to measure vertical Where qmax is the maximum pressure applied on
and lateral deformation, respectively (Figure 2). the composite, εmax is the maximum recorded
vertical strain, qult,emp is the failure pressure
(strength limit), q@ε=5% is the applied pressure at
5% vertical strain (design limit), and q@ε=0.5% is
the applied pressure at 0.5% vertical strain
(service limit)
Notes: N/A = not applicable, did not fail composite
Figure 2. Instrumentation Layout for DC tests.
2.5. Load Schedule and Data Collection
For each test, the loading schedule was prepared

by first estimating the ultimate vertical capacity
according to Adams et al. 2011a. The estimated
capacity was then divided into a minimum of ten
load increments to capture the deformation
characteristics of each test. Each load increment
was applied manually with a solenoid valve
hydraulic pump; the hydraulic jack pressure was
Figure 3. Load-Deformation Results.
checked at each load increment to ensure accurate
operation of the system throughout the load test.
3.2. Effect of Compaction
In each experiment, load was increased, from
increment to increment, only when there was no
The effect of compaction for open graded materials
significant change (<0.1 mm) in settlement between
was investigated through 2 PTs (Table 3). The
any two time intervals; however, the load increment
testing conditions were identical except DC-1 was
was held for a minimum of 5 minutes and a
compacted to non-movement while DC-5 involved
maximum of 30 minutes. The data acquisition
no compaction effort beyond end dumping the
system was programed to record settlement at 1, 3,
material and leveling for each lift of fill. The results
5, 7, 15, 20, 25, and 30 minute intervals from the
show a similar vertical capacity (Figure 3); however,
start of each load increment.
the higher strength for DC-1 is likely due to the
increased locked-in stresses induced due to
compaction.
3. Results
While the capacity of the composites was
similar, the deformation response was different
The results for each test are presented in Table 2,
(Figure 3). As expected, Test DC-5 had a softer
and the corresponding vertical stress-strain curves
response with no compaction. The modulus of the
are shown in Figure 3.
primary settlement portion of the curve for the
uncompacted composite (DC-5) is about 270 ksf
3.1. Effect of Aggregate Type
while the modulus for the compacted composite
(DC-1) is 430 ksf (Table 3). At the service limit state
The largest aggregate tested, the No. 57 stone
of 0.5% vertical strain, the allowable stress is
(DC-3), had the lowest service limit of all the tests,
limited to 15 kPa for the uncompacted GRS
indicating more deformation under an applied load.
composite, but 147 kPa for the same composite
In addition, the rounded pea gravel had a lower
compacted to non-movement (Table 3).
strength and service limit than the more angular
aggregate meeting the same gradation
specifications for an AASHTO No. 8 material.
Table 3. Parametric Study on Compaction. 5. References

Test Eo qult,emp q@ε=0.5%
No. (MPa) (kPa) (kPa) Adams, M., Nicks, J., Stabile, T., Wu, J., Schlatter,
DC-1 20.6 1116 147 W., and Hartmann, J. (2011a). Geosynthetic
DC-5 12.9 1031 15 Reinforced Soil Integrated Bridge System
Where Eo is the initial stress-strain ratio, Interim Implementation Guide. Report No.
qult,emp is the failure pressure (strength limit), and FHWA-HRT-11-026, FHWA, McLean, VA.
q@ε=0.5% is the applied pressure at 0.5% vertical Adams, M., Nicks, J., Stabile, T., Wu, J., Schlatter,
strain (service limit) W., and Hartmann, J. (2011b). Geosynthetic
Reinforced Soil Integrated Bridge System
Synthesis Report. Report No. FHWA-HRT-11-
The ratio of strain for the uncompacted (DC-5)
027, FHWA, McLean, VA.
and compacted (DC-1) GRS composite
Adams, M.T., Schlatter, W., and Stabile, T. (2007).
(εv,uncompact/εv,compact), accounting for the immediate
“Geosynthetic-Reinforced Soil Integrated
deformation related to the uncompacted composite
Abutments at the Bowman Road Bridge in
(DC-5), decreases with increasing applied pressure
Defiance County, Ohio.” Proceedings, Geo-
(Figure 4). For the particular GRS composite
Denver 2007, ASCE, Denver.
tested, at an in-service dead load of 200 kPa, an
Adams, M.T., Lillis, C.P., Wu, J.T.H., and Ketchart,
uncompacted abutment will experience about 3
K. (2002). “Vegas Mini Pier Experiment and
times the strain as a compacted abutment;
Postulate of Zero Volume Change.”
however, near failure, at about 950 kPa, an
Proceedings, Seventh International Conference
uncompacted abutment will experience about 1.7
on Geosynthetics, Nice, France, pp. 389-394.
times the strain as a compacted abutment.
ASTM D3080, "Standard Test Method for DIRECT
Shear Test of Soils under Consolidated Drained
Conditions," ASTM International, West
Conshohocken, PA, 2004.
ASTM D4253, "Standard Test Methods for
Maximum Index Density and Unit Weight of
Soils Using a Vibratory Table," ASTM
International, West Conshohocken, PA, 2000.
ASTM D7181, "Standard Test Method for
Consolidated Drained Triaxial Compression Test
for Soils", ASTM International, West
Conshohocken, PA, 2011.
Elton, D.J. and Patawaran, M.A.B. (2005).
"Mechanically Stabilized Earth (MSE)
Reinforcement Tensile Strength from Tests of
Figure 4. Comparison of Compacted and
Geotextile Reinforced Soil." Technical Report,
Uncompacted Strains for DC-1 and DC-5 tests.
Alabama Highway Research Center, Auburn.
Juran, I., Guermazi, A., Chen, C.L. and Ider, M.H.
(2005). “Modelling and simulation of load
4. Conclusions
transfer in reinforced soils: Part 1.” International
Journal for Numerical and Analytical Methods in
The results of the PT research performed on GRS
Geomechanics, 12(2), John Wiley and Sons, pp.
composites can be used as a database for
141-155.
designers to estimate capacity and deformation for
Ketchart, K. and Wu, J.T.H. (2001). “Performance
GRS abutments and integrated bridge systems.
Test for Geosynthetic-Reinforced Soil including
From the series tested in this study, several
Effects of Preloading.” Federal Highway
conclusions can be drawn about the effect of
Administration, Office of Infrastructure R&D,
aggregate type and compaction effort. A rounded
Report No. FHWA-RD-01-018, McLean, VA, <
pea gravel aggregate (DC-2) has both a lower
http://www.tfhrc.gov/structur/gtr/01-018.pdf>,
ultimate strength and service limit capacity than the
retrieved on December 6, 2012.
more angular aggregate (DC-1) meeting the same
Wu, J.T.H., and Pham. T.Q. (2013). “Load-Carrying
gradation specifications. In addition, the results also
Capacity and Required Reinforcement Strength
indicate a similar ultimate vertical capacity (qult,emp)
of Closesly-Spaced Soil-Geosynthetic
between an uncompacted (DC-5) and compacted
Composites.” ASCE Journal of Geotechnical
(DC-1) GRS composite, but a much softer
and Geoenvironmental Engineering. Volume
response with no compactive effort.
139(1), Reston, VA.
Wu, J.T.H., Pham, T.Q., Adams, M.T. (2010).
“Composite Behavior of Geosynthetic-
Reinforced Soil (GRS) Mass.” Report No.
FHWA-HRT-10-077, Federal Highway
Administration, McLean, VA.
Tunnel and Underground Structure
THREE-DIMENSIONAL DISTINCT ELEMENT MODELLING OF A

DRILL AND BLAST TUNNEL IN CRYSTALLINE ROCK
MODÉLISATION 3-D PAR ÉLÉMENTS DISTINCTS D'UN TUNNEL CREUSÉ
DANS LA ROCHE CRISTALLINE
1
Dániel BORBÉLY
1
Budapest University of Technology and Economics, Department of Construction Materials and
Engineering Geology, Budapest, Hungary
ABSTRACT - The first underground radioactive waste repository in Hungary is being built close to the village
of Bátaapáti. The total length of tunnels driven to date is over 5200 metres including two inclined access
tunnels, the base tunnels and the first two emplacement chambers. The tunnels were driven in fractured
granitic rocks. Based on the discontinuities the host rock of the repository can be considered as an assembly
of blocks, therefore the discontinuum modelling approach can be used to provide representative results of its
behaviour. This paper focuses on the applicability of the discontinuum modelling code 3DEC to predict the
performance of the granitic rock mass in Bátaapáti. A hybrid continuum-discontinuum model is presented,
where the near-field is modelled as a blocky rock mass, and the far-field is modelled as a continuum using
the built in deformable blocks of 3DEC. Convergence monitoring was carried out in the investigated section
that offered the ability to check the validity of analysis results.
1. National Radioactive Waste Repository well as the transport of radioactive waste during
Project (NWRP) operation.
The repository facilitates the low and medium

activity radioactive waste of Paks Nuclear Power
plant (NPP). The insufficient capacity of the
temporary storage necessitated the establishment
of a long-term repository.
Comprehensive investigations of potential
location of a radioactive waste repository started in
1993. Based on geological surveys, safety analysis
and public acceptance, the Mórágy Block close to
the village of Bátaapáti was chosen. The
underground research began in 2004 with the
establishment of two research incline shafts.
Construction of the first two emplacement
chambers was finished in 2012. Figure 1: Rock support (after Kandi et al., 2010)
1.1. Geology of the area The modelled section with about 7m diameter
connects the base points of the Western and
Geologically the Bátaapáti Site is part of the Eastern Inclined Access Tunnels. Steel fibre
Mórágy Block that is composed of granitic rocks of reinforced sprayed concrete lining were applied as
the Palaeozoic Mórágy Granite Formation. The rock a permanent support, supplemented with
mass is composed of porphyritic monzogranite systematically rock bolting in a 1.5m*1.0m raster,
along with darker and more fine-grained, and by 3m length (Figure 1). Full-face excavation
equigranular monzonitic and lighter aplitic rocks. was applied.
Within the prevailing monzogranitic rocks,
monzonitic rocks form inclusions and bodies of size 2. In-situ and laboratory tests
up to 1-2km and are always enclosed.. (Balla,
2004). Regarding that the NWRP is a flagship project,
carefully conducted, comprehensive and detailed
1.2. Underground facilities geotechnical investigations were made.
Considering the limits of the present paper only a
The Radioactive Waste Repository consists of small portion of tests are presented here.
several different facilities such as tunnels, shafts, During the excavation face mapping was
caverns, access roads and portals. The access performed, and the Q and RMR value were
tunnels arrive at the reference base level of 240m determined. The joint pattern applied in the paper is
below ground level. The Transport Tunnel provides based on the face mapping.
the access and ventilation of the chamber field as
Systematic rock sampling and laboratory test contacts among them need to be identified and
were carried out during construction to determine continuously updated during the entire deformation
the properties of intact rock. The following process, and represented by proper constitutive
parameters were measured at regular intervals (10- models (Jing and Stephansson, 2007).
20m): Unconfined compressive strength, Tensile
strength, Shear strength, Specific gravity, Young's 3.1. Methodology of modelling
modulus, Poisson's ratio, Longitudinal ultrasonic
velocity. The systematic sampling was in Three-dimensional distinct element code
accordance with the relevant ISRM 3DEC 4.1 was applied in numerical modelling, that
recommendations and the MSZ-EN codes (Kandi et based on explicit time marching finite difference
al., 2010). Triaxial tests with various confinement method.
stresses (0-15MPa) were carried out to determine In contrast to continuum modelling one of the
the Hoek-Brown parameters. main disadvantages of discontinuum modelling is
its demand for many additional input parameters
concerning the properties of joints. There are
several techniques in rock mechanical applications,
to handle the uncertainties in input parameters. One
of the most effective ones is the calibration of the
model, i.e. parameters with best fitted result to the
in-situ measurements are selected.
3D distinct element modelling is usually a time-
consuming process. The time requirement can be
significantly reduced with hybrid continuum-
discontinuum modelling. The continuum
representation of rock mass used for simulating far-
field rocks as an equivalent elastic continuum, and
Figure 2: General arrangement of the convergence discontinuous representation were used for near-
pins (after Kovács, 2009) field where explicit representation of fractures and
plasticity, is needed.
The behaviour of jointed rock mass highly Numerical tests were carried out to determine
depends on the joint characteristic (Jing and the anisotropic equivalent continuum properties of
Stephansson, 2007). The shear strength of the the rock mass. Details of this process discussed by
joints had been measured by laboratory tests Jing and Stephansson (2007).
(Buocz et al., 2010) and had been verified by plain
strain distinct element models (Horváth, 2012). 3.2. Representation of the rock mass
Doorstopper-cell measurements were carried out to
determine the in-situ stresses. This is a widely used 3.2.1. Intact rock
overcoring technique. According to field
measurements K0 varies between 1.34 and 1.5 Extended plastic failure of intact rock was not
(Kandi et al., 2010). expected and was not occurred in the models,
In the underground facilities at the NRWR therefore Mohr-Coulomb constitutive model with
convergence measurement arrays were installed in tension cut-off is assigned to the deformable blocks
11 sections so far. In these sections relative assuming that the intact rock is an elastic-perfectly
displacement of the rock mass surrounding the plastic material.
excavation has been measured repeatedly in 6
radial directions that enclose an angle of 30° with 3.2.2. Joints
each other (Figure 2). The capacities of every tenth
of the rock bolts were tested at NRWR Project. In Mohr-Coulomb constitutive model with tension
case of some tests the displacements were cut-off was fitted to the laboratory test results. Plain
measured, thus the grouting properties were strain modelling confirmed the representation of the
determined. joints shear strength (Horváth et al., 2012)
The stiffness of the joints was not measured,
3. Three-dimensional distinct element model therefore back analysis is required to increase the
match with the convergence measurements.
The discontinuum approach is most suitable for Stiffness can be derived from thumb rules or
moderately fractured rock masses where the analytical formulas. These suggestions are only
number of fractures is too large for the continuum- approximations, but these can provide good starting
with-fracture-elements approach, or where large- values on early stage of modelling.
scale displacement of individual blocks is possible
(Jing and Stephansson, 2007). 3.3. Excavation
The key concept of distinct element modelling
(DEM) is that the domain of interest is treated as an In order to represent realistically the behaviour
assemblage of rigid or deformable blocks and the of the sprayed concrete lining it is essential to
consider the longitudinal redistribution of stresses behaviour. Furthermore wedge shape slip lines
around the advancing tunnel face. This longitudinal develops (Figure 4), the straightforward modelling
arching is also often referred to as the supporting of block failure was experienced.
effect of the tunnel face. The proportion of stress
relief that occurs in a particular section before any
support is installed is expressed by the relaxation
factor (λ). Since a validated relaxation factor was
available, reliable results can be derived from the
model without mimicking the excavation sequence
of the tunnel.
3.4. Rock support

Wedge shape
The steel fibre reinforced sprayed concrete slip surface
lining is modelled with the built in shell elements of
3DEC. Linear elastic behaviour of the elements is a
valid assumption since no sign of plastic Figure 4: Joint slips marked by black spheres
deformation of the lining was observed on site. In
case of sprayed concrete lined tunnels the lining is The vertical stresses near the crown and the
subjected to loads long before it reaches its final invert drops to zero, and increasing at the axis.
strength and stiffness (in fact the concrete lining is Figure 5 illustrates the discontinuous behaviour of
usually loaded a few hours after the installation). the rock mass. Blocks are distressed at the crown
The early age properties of the concrete were and at the invert and a few blocks carrying the
determined according to Chang and Stille (1993). vertical stress increment near the axis (Figure 5).
The support provided by rock bolt was taken into
account with global reinforcement element (cable
element).
4. Discussion and interpretation of results
4.1. Calibration of the model

One technique to improve the reliability of a
model is back analysis. If in-situ measurement
results are available, the model can be calibrated to
the actual rock mass behaviour.
Figure 5: Vertical stresses in the vicinity of the

tunnel, cross-section
4.2. Continuum-Discontinuum model
The equivalent continuum properties of the rock

mass were determined with numerical compression
and shear tests. The properties of the rock mass
were based on back analysis.
The equivalent continuum properties should be
determined in a realistic way, i.e. the behaviour of
the equivalent continuum should be similar to the
discontinuous rock mass. The displacements
represent the behaviour of the model, the
Figure 3: Predicted and measured convergence in
interaction of the discontinuous and continuous part
metre; Joint stiffness equal to 927MPa
of the model can be observed on Figure 6.
The width and height of the model is 160m
The joint stiffness properties were determined in
(about 23 times the tunnel diameter). The height
a way that close agreement with monitoring results
and width of the discontinuous part is 35m (five
was achieved. The convergence of the model is
times the tunnel diameter). The discontinuous part
monitored in 5 sections along tunnel axis.
of the model represents the 5% of the total volume
One of the most important observations is that
and 91% of the total number of zones.
the displacements vary in a wide range along the
tunnel axis (Figure 3). This ensures the perception
that the behaviour of plain strain models does not
show full agreement with the actual rock mass
far more logical and relevant than present black-

box continuum models”. When the fractured rock
masses are considered as a continuum, practioners
will have less and less understanding of possible
real modes of behaviour.
6. Acknowledgements
I want to express my gratitude to RHK Ltd. and

Mecsekérc Ltd. for granting me permission to
collect and use data related to the NRWR project. I
would like to express my special thanks to Mott
Figure 6: Displacement of the rock mass, cross- MacDonald Magyarország Ltd. for granting me
section access to the numerical modelling softwares.
Distinct element modelling has one major 7. References

advantage in rock bolt design, namely that it offers
the capability to optimize rock bolt patterns (Figure Balla Z. (2004) General characteristics of the
7). Most effective rock bolt pattern can be Bátaapáti (Üveghuta) Site (South-western
determined. Hungary), in Annual Report of the Geological
Institute of Hungary, pp. 73-85.
Axial Force compared to bolt direction Barton, N. (1999) General report concerning some
80 20th Century lessons and 21st Century
challenges in applied rock mechanics, safety
Axial Force [kN]
60
40
and control of the environment. Proc. of 9th
20
ISRM Congress, Paris, 3: 1659-1679, Balkema,
Netherlands.
0
0 50 100 150 200 Horváth Zs., Megyeri T., Váró Á., Görög P. (2012)
Bolt Direction [deg] Discrete element modelling of the Mórágy
Granite Formation in Southern Hungary In:
Horváth T (szerk.) 1st Eastern European
Figure 7: Axial force compared to bolt direction tunneling Conference, Veszprém; Budapest:
2012. Paper 22. (ISBN:978-963-89638-0-2)
5. Conclusions Jing, L. and Stephansson, O. (2007) Fundamentals
of Discrete Element Methods for Rock
The aim of this paper was to explore the Engineering: Theory and Applications’ Elsevier,
conditions of the applicability of 3DEC in case of the Oxford.
National Radioactive Waste Repository in Kandi E., Hersvik D., Váró Á., Bicskei D., Viszolay
Bátaapáti. Complex three-dimensional distinct R. and Arató P. (2010) Bátaapáti Nemzeti
element modelling is legitimate in case of a high- Radioaktívhulladék-tároló feltáró vágatai
priority and large-scale project such as NRWRP in térkiképzése, Geotechnikai Értelmező Jelentés,
Bataapáti. Only two of the proposed emplacement Mott MacDonald Magyarország Kft., RHK-K-
chambers have been constructed. The design of 059D/10, 2010. szeptember. (in Hungarian)
the remaining emplacement chambers can be and Kovács L. (2009) Gyorsjelentés a Kon-7 és Kon-8
most importantly might be beneficially designed jelű konvergenciamérő szelvények
with three-dimensional distinct element method. installálásáról, méréséről és előzetes
The verification of the model is an emphasised eredményeiről, Kőmérő Kft., BA-Kon7_8/09,
need in distinct element modelling. The verification 2009. február. (in Hungarian)
should be based on various in-situ measurements. Buocz I., Rozgonyi-Boissinot N., Görög P., Török Á.
Hence, the prediction capability of the model might (2010) Laboratory determination of direct shear
be increased. strength of granitoid rocks; examples from the
Back analysis is carried out to calibrate the host rock of the nuclear waste storage facility of
displacements. The calculated values show a great Bátaapáti (Hungary) CENTRAL EUROPEAN
agreement with the monitoring results. GEOLOGY 53:(4) pp. 405-417. (2010)
Hybrid continuum-discontinuum modelling is Chang, Y. and Stille, H. (1993) Influence of early
carried out. In line with expectations, the number of age properties of shotcrete on tunnel
elements and the run time are reduced significantly, construction sequences, in Shotcrete for
whilst the behaviour of the model was in agreement Underground Support VI, American Society of
with the discontinuous one. Application of Civil Engineers, pp. 110-117.
continuous representation of far-field is
recommended in three-dimensional distinct element
modelling.
As noted by Barton (1999) “the modelling of the
components, rock, rock joints and discontinuities is
MODELING OF THE STRENGTH’S LOSS AND VOID APPEARANCE

IN THE UNDERGROUND STRUCTURES OF PARIS METRO
MODELISATION DE LA PERTE DE RESISTANCE ET DE L'APPARITION DES
VIDES DANS LES OUVRAGES SOUTERRAINS DU METRO PARISIEN
1 1 1
Taous KAMEL , Ali LIMAM , Claire SILVANI
1
Laboratory of Civil and Environmental Engineering - INSA, Lyon, France
ABSTRACT - Several tests as drilling, impedance or georadar, were performed in order to know the current
state of Paris Metro galleries and tunnels. The tunnel linings of these underground structures appear slightly
fragmented and very fragmented in the extrados of the abutments. The aim of our study is to propose a
numerical model which can represent the tunnel’s behavior over its life. The main aspects taken into account
in this model are the loss of strength due to different alteration processes and creation of voids which are
caused by the timbering rot and disaggregation of ancient masonry. Viscoplastic with strain softening model
is used to reproduce localization of the deformation associated to crack appearance. The numerical results
show that we can reproduce the underground structure’s behavior during degradation and assess the state
of different structure components. Several simulations were conducted, and the robustness of the numerical
model gauged, which allows us to confirm that this approach is applicable to this kind of construction and / or
other structures designed by this type of building materials and undergo the same weathering process.
1. Introduction consideration: Ryu et al. (2002) found that

compressive strength decreases with the increase
Weathering may be defined as the chemical or in the diffusion conversion period by considering
physical alteration of a building material like rock, that the mortar degradation can be caused by
masonry and mortar. This change, takes place at calcium leaching due to on-site water; The
the material’s surface, due to its reaction with weathering of rocks is a phenomenon that causes
aqueous and atmospheric gas solutions. The an increase in porosity and a partial or complete
engineering interest in weathering arises because loss of cohesion. Fernandez-Merodo et al. (2007)
of its influence on the mechanical properties of the opted for an approach based on establishing an
intact material. Underground weathering processes index of degree of alteration to represent a
mainly have a chemical origin. They include macroscopic measurement of the effect of external
dissolution, oxidation and hydration. Some agents (physical and chemical) on the mechanical
weathering actions are readily appreciated, such as behavior of the material (chemo-mechanical
the dissolution of limestone in an altered coupling).
groundwater environment, or the reduction of Others analyzed and modeled the effect of
mechanical characteristics (strength and stiffness) degradation processes on the mechanical
in others materials. properties: Kasim and Shakoor (1996), investigated
The network operated by the RATP has about the relationship between uniaxial compressive
300 km of underground structures which 40% of strength and degradation for selected rock types
them predate 1921. Most of these structures (limestone, sandstones), by using regression
(tunnels, stations and access corridors) are arched analyses to determine whether degradation was a
and made of a mixture of masonry, millstone and useful predictor of compressive strength.
concrete. A significant percentage of these old Ladanyi and Gill (1988) proposed a study from
excavations linings deteriorate under several the convergence-confinement method modified to
factors, mainly as a result of rotting woodwork (old take into account aging. Sandrone and Labiouse
wood supports have been left on site between the (2009) followed the same principle to model the
soil and the lining after construction). Rapid concrete tunnels degradation, the simplified
techniques have little traumatic effect to diagnose approach of convergence - confinement considers
the state of underground structures and have separately the degradation of rock mass and the
become an obligation to minimize the concrete. More complex behavior of viscoplastic
inconvenience to users, but also to estimate the type damageable or strain-rate softening was also
variability of physical and mechanical implemented by other authors (Wang et al. 2012).
characteristics. The aim of this paper is not far from the
Degradation of materials (rock, masonry, solutions given by different authors, it is to propose
mortar) or structures can be reproduced by a model able to simulate the degradations effect on
different ways. Some researchers modeled the Paris metro galleries. The degradation is, in a first
degradation by taking the chemical weathering into step, taken into account by the behavior of the
tunnel lining which is described by a viscoplastic process. In order to simplify this analysis, the
model with softening. The softening represents the softening curves of interface and tunnel lining are
strength or cohesion reduction of the structure considered almost linear as shown in Figure 1.
during its operation. Subsequently, we improve the The creep strain is modeled as a simple power law
numerical model by taking into account the real equation relating the strain rate to both time and
degraded state of galleries: adding an interface applied stress:
between ground and tunnel lining and/or creating
void around tunnel abutment. crn
ε& in = A⎛⎜ σ ⎞⎟ (t )m (1)
⎝ ⎠
2. Mechanical behavior of the degraded tunnel
cr
The galleries linings of Paris metro were Where ˢ& LQ is the creep strain rate, and σ the
constructed by an inhomogeneous material, the appropriate stress, t the current time, and A, n and
vaults are designed with limestone stones and the m are the material parameters (n > 0, -1 < m ≤ 0).
abutments are built by mixing some constitutive
materials like limestone, sandstone, millstone,
concrete and mortar. The behavior of the masonry 3. Modeling galleries degradation
may be close to the granular materials behavior. A
precise analysis of masonry structures with macro- A simple 2-D plane FE analysis of a 2-D tunnel
modeling requires a description of the material for section was undertaken and we propose three
all stress states. Despite the heterogeneity of the numerical models, shown in Figure 2. These
material constituting the tunnel lining, an equivalent models take into account the evolution of Paris
homogeneous model is chosen by using finite metro galleries degradation during operation. A first
element method. In this approach the problem lies model (Md1) assumes that the full lining
mainly in the choice of representative mechanical deteriorates over time. In this case the behavior of
properties equivalent medium. the lining is described by the viscoplastic law (1)
with softening of its cohesion shown in Figure 1.
2.1. Softening law The tunnel lining thickness is 80 cm. During the
construction of the underground, a lost timbering
The failure surface evolves with plastic strain and is was set up to support the excavation of the access
also affected by weathering, thereby degrading the corridors. This timbering is currently damaged
strength and reducing the size of the elastic domain under weathering conditions mainly around
(Fernandez-Merodo et al. 2007). According to abutments. Another layer is added between ground
Kasim and Shakoor (1996), as a result of and tunnel lining, this interface represents the
degradation, dry or saturated limestone may lose timbering. The mechanical behavior of the lining in
more than 50% of its compressive strength, dry this model (Md2) is kept viscoplastic, but without
sandstone can lose more than 45% but in its softening. In addition, the softening curve of the
saturated state, the strength loss may reach 65%. mechanical strength is attributed to the interface
layer (see Interface curve in Figure 1); the
thickness of this interface is 25 cm. Moreover,
monitoring tests (impedance and radar), which
have been realized during this project, have
identified the existence of voids between the
abutment and the ground. In order to take into
account the effect of these voids, another model is
proposed. With this third model (Md3) the
degradation is considered by creating voids around
the abutment. Mechanical behavior of the tunnel
lining and the interface is viscoplastic without
softening. Creating voids traduces woodwork
rotting and possible erosion of soil around caused
by water infiltration. Voids are created (in the
interface) after 30 years of operation. The quadratic
Figure 1. Dimensionless cohesion softening reduced-integration elements (CPE8R) are used
function of the inelastic strain (liner and interface) and the contact between the ground and the lining
or between the lining and the interface is defined as
In our case, we propose a reduction of the tie contact. The meshed domain considers the
cohesion (d) as a function of inelastic strain ( ε in ).
geometrical and load symmetries. The gallery is
solicited by the geostatic load and overload of 220
Softening evolution, which is associated to the
kPa over a length of 6 m, which takes into account
linear criterion of Drucker-Prager, can take several
traffic loading. Time is taken as an explicit which is
forms: linear, parabolic or even exponential. This
around 240 years of operating ages.
form depends on the kinetics of the weathering
Tables 1 and a 2 show the propertties of the soil,

s commpression (4 475 kPa) in the other mo odels. These
interface and tunne el lining obtained
o f
from stre
esses are higher in the bottom of th he abutment
characteriza ation and / or literatu ure tests. TheT of Md1 model (point 8). However, this stress
behaviors of o all of diffferent parts are conside ered chaanges as a re esult of degrradation. Figuure 4 shows
unassociate ed with zeroo dilatancy angles
a (ψ = 0). the vertical sttresses for the three models at
and the earrth pressure at rest, K0 iss 0.5 (1-sinφφ/φ erent points of the extra
diffe ados of linin
ng after 100
= 30°). An n analysis to determin ne the corrrect yeaars of opera ation. These e stresses are almost
deconfinem ment ratio (λ) ( of these underground equual in the vauult of the thre
ee models. The
T stresses
structures has
h been done (Kamel et e al. 2012). The
T are dispersing beyond the e point 4 annd they are
initial confin
nement requiired this gallery is estimaated highher in the se
econd model..
to 15%, it is s validated through
t anallytical-numerrical
and numeric cal (2D-3D) comparisons
c s. 13
350
Md1 (t=0)
10
050
Md2 (t=0)
7
750 Md3 (t=0)
σv [kPa]
4
450
1
150
λ=85%
-1
150 ψ=0
1 2 3 4 5 6 7 8
Figure 2. Th
hree propose
ed models (M
Md1, Md2, Md3)
M Point
Fig cal stresses in the extrad

gure 3. Vertic dos of lining
Table 1. Me
echanical pro
operties of th
he soil, interfa
ace at the instantaneous state (t = 0)
and lining
1000
ρ E d0
Layer ν β [°] λ=
=85%
g/m3]
[kg [GP
Pa] [kPa] ψ
ψ=0
800
G
Ground 2000 0.2
25 0.30 37.5
In
nterface 1900 0.7
70 0.23 1500 4
40.9 600
σv [kPa]
Lining 2400 3.2

20 0.30 2500
400
Md1 (10
00years)
Ta
able 2. Visco
oplastic param
meters 200
Md2 (10
00years)
Layer A [Pa-11] n m Md3 (10
00years)
0
e
Ground 3 -14
4 1 -0.3 1 2 3 4 5 6 7 8
e Point
Interface 5 -19
9 2 -0.4
Lining 5e-19
9 2 -0.5 Fig cal stresses in the extrad
gure 4. Vertic dos of lining
during
g degradation (t = 100 years
s)
3.2. Inelastic strain and Diisplacementt

The relation
nships which h provide a match betw ween
the Mohr-C Coulomb (c c, φ) and Drucker-Pra ager In figure
f 5, we compare the e inelastic sttrain curves,
material paarameters (d d0, β) in pllane strain are in the three numerical models, in the lining
quoted in Abaqus 6.10 6 Docummentations. We abuutment point which is loca
ated at a deppth of 7.5 m.
analyze in the followinng the resultts, in local and Thee abutment deformations
d s reached by y Md3 model
s (stress-stra
global terms ain and displacement). are lower than n those obta ained by the e two other
models. This diifference shoows clearly the
t effect of
3.1. Stress evolution during
d degra
adation the cohesion sooftening curvve of the lining (Md1) or
the interface (M
Md2). The kkinetic of ine elastic strain
Before the e activation of the de egradation, the curvve obtainedd by the th hird model is different
stresses at the instantanneous state, considering the commpared to thhe others ma ainly during the creation
overload, are
a analyzed d at differennt points of the of voids (> 30 0 years). Th he maximum m difference
lining on Fig
gure 3. A diffference betwween the mo odel noted between the strains ((Δ εvin) in Md d3 and Md2
without inte
erface and the
t others with
w interface
e is models is 0.25%. A differe ent behavior is noted in
noticed. For example, thet point 5 is under tennsile the intrados of vault as sh hown in Figu ure 6. From
stress (-97 kPa) in thee first model but it is un nder o years of operation, the
two e inelastic deformations
d
n beyond a certain stra
tend to traction ain value in
each model. These strains are higher in the model Beyond the first year, this velocity decreases in the
Md1. These curves show that to reproduce third model and it’s somewhat the same (1 mm/yr)
qualitatively the roof tractions, it is necessary to in the other models until 5 years. Between 5 and 30
rd
decrease the tunnel lining or interface strength. The years, this velocity is 0.13 mm/yr in the 3 model
displacement’s velocity obtained by the three which is lower than the ones obtained for other
models is not steady throughout the operating life models (0.2 mm/yr). With the galleries data used in
of the galleries. Consequently, we notice a change this study, from 65 years, the displacement
of slope in the displacement curve. The numerical increases steadily in the three models but is still
results show that during the first year of operation lower in the third model.
of these galleries, the displacement velocity is 1
mm/yr in the three proposed models. 4. Conclusions
0.6% In this paper three numerical models are proposed,

Md1 gradually improved, to reproduce as accurate as
Md2 possible the degradation process of galleries during
0.5%
Md3 their operation. These models confirm that the
highly compressed areas are located between the
εvin
0.3% ground and the abutments as well as the changes

of the stress distribution in the vault reveal tension
0.1%
areas in the roof causing cracking. Adding an
interface between ground and tunnel lining leads to
match better with the real state of the galleries.
0.0% With the set of parameters chosen, Md2 model
0 30 60 90 120 150 represents quantitatively the worst case of
Time [years]
deformation. According to the results obtained by
the third model, the creation of voids may increase
Figure 5. Evolution of vertical inelastic strain in the the inelastic strain over time. A better calibration of
abutment of tunnel lining as a function of time model’s parameters of lining and interface is
planned with data registered over time in some
0.03% French instrumented tunnels. This numerical
procedure will be then used to assess the aging of
these structures and to define the condition for
0.01% sustainable regeneration in terms of durability.
5. References
εvin
-0.01%
Md1 Fernandez-Merodo J.A., Castellanza R., Mabssout

-0.03% M., Pastor M., Nova R., Parma M. (2007).
Md2
Coupling transport of chemical species and
Md3 damage of bonded geomaterials. Comp. Geot.
-0.05% vol. 34, pp. 200-215.
0 30 60 90 120 150 Kamel T., Pellet F., Silvani C.; Goirand P. (2012).
Time [years] Numerical modeling of the time dependent
degradation of the mechanical properties of a
st
Figure 6. Evolution of vertical inelastic strain in the metro underground gallery. 1 EETC.
roof of tunnel lining as a function of time Kasim M., Shakoor A. (1996). An investigation of
the relationship between uniaxial compressive
strength and degradation for selected rock
18
types. Eng. Geol. vol. 44, pp. 213-227.

15
Ladanyi B. and Gill D.E. (1988). Design of tunnel

linings in a creeping rock. Int. J. Min. Geol. Eng.
12
vol. 6, pp. 113-126.

uv [mm]
Ryu J.-S., Otsuki N., Minagawa H. (2002). Long-

9
Md1
term forecast of Ca leaching from mortar and
6
Md2 associated degeneration. Cement & Concrete

Research, vol. 32, pp. 1539-1544.
3
Md3
Sandrone F., Labiouse V. (2009). Analysis of the
0
evolution of road tunnels equilibruim conditions

0 25 50 75 100 125 150
Time [years] with a convergence-confinement approach.
Rock Mech. Rock Eng. vol. 43, pp. 201-218.
Figure 7. Vertical displacement of the lining at the Wang S., Yin S., Wu Z. (2012). Strain-softening
extrados as a function of time (at 3.2 m of depth) analysis of a spherical cavity. Int. J. Num. Anal.
Meth. Geomech. vol. 36, pp. 182-202.
SOIL MODELING AND EFFECTS OF BUILDING STIFFNESS ON

TUNNELING-INDUCED GROUND MOVEMENTS
MODÈLES DE SOL ET INFLUENCE DE LA RIGIDITÉ DES BÂTIMENTS SUR
LES MOUVEMENTS INDUITS PAR LE CREUSEMENT D’UN TUNNEL
R H C LAW 1 and A J WHITTLE 2
1
Geotechnical Engineering Office, Hong Kong
2
Massachusetts Institute of Technology, USA
ABSTRACT - This paper presents the findings of a study to assess the influence of building stiffness on
tunneling-induced ground movement for comparison with prior results reported by Potts and Addenbrooke
(1997). This is accomplished through 2D numerical simulations using the Hardening Soil family of
constitutive models. Input parameters of the Hardening Soil (HS) and Hardening Soil Small (HSS) models
were calibrated for the case of London Clay and are compared with the prior analyses which used a non-
linear elastic soil model proposed by Jardine et al. (1986) (referred to as PJ model). Results have indicated
that the choice of soil model has an important influence on the prediction of greenfield ground movements.
The HSS model with the selected set of stiffness parameters provides a reasonable fit with the PJ model
and matches closely the greenfield settlement trough expected from empirical data. Using the calibrated
HSS soil model, we obtain modification factors for the deflection ratios and horizontal strains of a surface
structure, represented as an equivalent deep beam. While the results are broadly consistent with the prior
design approach, there are differences in quantitative predictions of damage that suggest the need for more
refined site specific predictions for critical structures.
1. Introduction excavation. In contrast to the earlier study which

was carried out using the ICFEP program and a
The relationship between tunneling-induced ground bespoke soil model proposed by Jardine et al.
movements and existing structures involves (1986) (referred to as the PJ model), this study
TM
coupled soil-structure interactions. As part of the uses the commercial finite element code PLAXIS
building damage assessment proposed by Burland with the Hardening Soil family of constitutive
(1997), Potts and Addenbrooke (1997) considered models (Hardening Soil HS; Schanzet al., 1999 and
the influence of a surface structure on ground Hardening Soil Small HSS; Benz 2006). As such,
movements induced by tunneling. This has proved some features of the numerical analyses have to
to be a useful tool in the prediction of building be modified to suit this study.
damage (Mair and Taylor, 1997).
This paper presents findings of a comparative 2.1.1 Geometry
study to Potts and Addenbrooke (1997). This is The reference geometry is shown in Figure 1.
accomplished through 2D numerical simulations Concrete frame structures of 1 to 10 storeys are
TM
using the commercial finite element code PLAXIS represented by a weightless surface elastic beam
together with the Hardening Soil family of centered above the crown of the tunnel. The soil-
constitutive models. Input parameters of the beam interface is assumed to be perfectly rough.
Hardening Soil family of constitutive models are For a building with m storeys, the equivalent
calibrated for the case of London Clay and properties of beam are calculated assuming that
compared with results of Potts and Addenbrooke the building consists of m+1 slabs at a vertical
(1997), and the influence of choice of soil model on spacing of 3.4m with individual slabs of 0.15m
the prediction of greenfield ground settlement was thick. The axial and bending stiffness EA and EI
evaluated. In addition, the calculated modification (where E is the Young’s modulus, A the cross-
factors for deflection ratio and horizontal strain are sectional area and I the second moment of area of
compared with the design guidance promulgated in the beam) are the main variables in this study, and
Potts and Addenbrooke (1997). are calculated using the parallel axis theorem
(Timoshenko, 1957).
2. Method of Analysis
Surface elastic beam centered above tunnel crown
7 9
EI=2.0 x 10 – 4.4 x 10 kNm
6 7
EA=6.9 x 10 – 3.8 x 10 kN/m
2.1 Finite Element Method
London Clay
(undrained):
As a comparative study, the current numerical c’ = 10kPa;
Tunnel dia. = 4.146m φ’ = 25° ;
analyses largely follow the earlier work of Potts and Depth to tunnel ψ = 12.5°
Addenbrooke (1997) in terms of problem geometry, springline H = 20m
soil profile and method of simulating tunnel

Figure 1: Problem geometry
2.1.2 Soil properties respectively for that portion of the greenfield

This study focuses on the ground conditions settlement trough beneath the structure.
typically found in London (i.e. London Clay
assuming undrained). The shear strength is 2.2 Soil Model Calibration
described by effective stress strength parameters,
apparent cohesion, c’ = 10kPa, internal friction, The stiffness parameters used in the HS and HSS
φ’ = 25° and dilatancy angle, ψ = 12.5°. The HS models are calibrated with the PJ model by
and HSS models use separate input parameters to matching stress-strain behavior and the greenfield
simulate the soil stiffness associated with plastic settlement trough shape resulting from tunnel
strain due to primary shear loading and excavation. The stress-strain behavior of the PJ
compression, as well as elastic unloading/re- model is predicted from its original trigonometric
ref ref ref
loading E 50, E oed and E ur respectively. In expressions (Jardine et al. 1986) by spreadsheet
contrast to the elastic-perfectly plastic soil model calculations, where the stress-strain behavior of the
TM
(Mohr Coulomb model), the yield surfaces of HS HS and HSS models in PLAXIS is obtained by
and HSS models are not fixed in principal stress numerical integration of the incremental stress-
space, but harden due to plastic straining. In strain relations. Based on the calibration, the
addition, the HSS model uses additional following are the best-fit input stiffness parameters
parameters (Go and γ0.7; Table 1) to describe for the HS and HSS models (Table 1):
small-strain non-linear stiffness properties, which is
a key model feature that is particularly relevant to Table I: Best-fit input stiffness parameters for
this study as the average shear strain of the HS and HSS models
analyses is typically in the range of 0.1% to 0.01%. Eref50 Erefoed Erefur G0 γ0.7
[MPa] [MPa] [MPa] [MPa] [%]
2.1.3 Modeling of tunnel excavation
HS
The tunnel excavation was modeled by the β model
60 60 180 -- --
method to simulate the gradual reduction of initial
HSS
stress around the tunnel lining. The termination 40 40 120 324 0.009
model
criterion of all the analyses is set at a fixed β value
based on the analyses of greenfield conditions with
a cumulative percentage volume loss, ΔVL=1.5%,
to represent the field conditions after tunneling.
2.1.4 Building stiffness parameters

Potts and Addenbrooke (1997) proposed definitions
for relative bending and axial stiffness parameters,
ρ* = EI/Es(B/2)4 and α* = EA/Es(B/2), where
B = building width. Their approach introduces a
reference value of soil stiffness Es defined as the
secant stiffness for an average point in the
overlying soil at depth z= H/2 at a shear strain
γ = 0.01%. Subsequent studies by Franzius (2003)
have shown some limitations associated with the Figure 2: Comparison of computed and empirical
definition of Es. Given that the current study greenfield settlement trough shape in London Clay
focuses on a unique soil stiffness profile (Es) and
building width (B), the results are represented in Figure 2 compares the normalized settlement
terms of the properties of the structure (EI and EA) troughs for the PJ, HS and HSS models (with
instead of relative stiffness (ρ* and α*). inflection points, xi = 12.7m, 17.7m and 11.2m from
tunnel centerline respectively). The results show
2.1.5 Building deformation criteria that the HSS model predicts a narrower settlement
The building damage parameters, which serve as trough than the HS model confirming the
quantitative measures of the effect of tunneling on importance of small strain non-linearity. There is a
buildings, used are the deflection ratio DR (Burland good match between results of the PJ and HSS
and Wroth, 1974; Burland et al., 1977) and models above the tunnel (x < 5m). The PJ model
horizontal strain εh of the equivalent beam. The generally predicts larger far-field settlements
results from the analyses with a structure are (x > 20m) than either the HS or HSS models. In
compared with those from the greenfield conditions addition, Figure 2 includes a comparison with the
using the modification factors for deflection ratio expected behavior, based on the empirical model
MDRsag = DRsag/DRgsag and MDRhog = DRhog/DRghog described by the Gaussian function with xi/H = 0.5
and for horizontal strain Mεhc = εhc/εghc and Mεht = (Mair and Taylor, 1997), where xi is the offset of the
εht/εght, where DRgsag, DRghog, εghc and εght are the point of inflection from the tunnel centerline and H
deflection ratios (in sagging and hogging) and is the depth to the tunnel springline. The HSS
maximum strains (compressive and tensile)
model shows a much better match with the

empirical data than the PJ model.
The above indicates that the choice of soil
model has an important influence on the prediction
of greenfield ground settlement. The preceding
calibration exercise shows that the HSS model with
the selected set of stiffness parameters provides a
reasonable fit with the PJ model and matches
closely the greenfield settlement trough expected
from empirical data. It can therefore be concluded
that given two soil models with similar stiffness
characteristics, the calculated greenfield settlement
trough can vary depending on the soil model used.
The result is reasonable because the two soil
models are fundamentally different in that the
stress-strain relationship in the PJ model is
represented by a periodic logarithmic function while
that of the Hardening Soil family of constitutive
models are represented by a hyperbolic function.
3. EFFECTS OF BUILDING STIFFNESS

Figure 3: Surface settlement troughs:
A series of 2D numerical analyses of tunnel (a)effect of axial stiffness (for EI= 4 x 1010 kNm);
construction in greenfield conditions and surface (b)effect of flexural stiffness (for EA=
beams of varying linear elastic stiffness were 1.5 x 108kN/m)
performed, using the best-fit HSS soil model
parameters described in the preceding calibration
exercise. Figure 3 illustrates predictions of surface
settlement troughs for cases a) where the axial
stiffness varies (at constant bending stiffness) and
b) where the bending stiffness varies (at constant
axial stiffness).
Figure 3a shows that despite the high bending
10
stiffness (EI = 4 x 10 kNm), the computed
settlement troughs follow very closely the
greenfield case for axial stiffness
EA ≤ 1.5 x 104 kN/m. However, as the axial
stiffness is increased, the structure modifies the
settlement to give a shallower trough towards the
limiting case (EA = 1.5 x 107 – 1.5 x 108 kN/m),
where the settlement trough is uniform beneath the
beam. The influence of the structure decreases
rapidly beyond the edge of the beam and the
greenfield settlement curve is fully recovered within
a horizontal distance 3m of the edge. Figure 3b
shows similar settlement behavior. These results
indicate that both the axial and bending stiffnesses
affect the settlement trough within the range of EA Figure 4: Variation of MDR hog with beam flexural
and EI being considered. Figures 4 and 5 are stiffness: (a) High EA range; (b) Low EA range
examples of variations of MDRhog and Mεt (solid lines – HSS model; broken lines - PJ model)
respectively. The results indicate that modification
factors from the two soil models either overlap or
follow very similar patterns.
To enable direct comparison with the Potts and
Addenbrooke (1997) design curves which were
produced based on practical building stiffness of
low-rise building, the results that represent stiffness
combinations of 1 to 10-storey buildings are re-
plotted in Figures 6a-d. The current study found
that all modification factors fall below the Potts and Figure 5: Variation of Mεt with beam axial stiffness
Addenbrooke (1997) design curves when practical
stiffness of low-rise buildings is considered.
study indicates that specific numerical analysis can

result in lower modification factors when the
practical values of axial and bending stiffness of
buildings are considered. It is therefore concluded
that while the Potts and Addenbrooke (1997)
approach can provide an initial damage
assessment, individual site-specific numerical
analysis should be employed for more refined
prediction of likely damage to existing buildings.
5. ACKNOWLEDGEMENTS
This paper is published with the permission of the

Head of the Geotechnical Engineering Office
(GEO) and the Director of Civil Engineering and
Development (CEDD), the Government of the Hong
Kong Special Administrative Region (HKSAR). The
Authors are grateful to GEO/CEDD for supporting
RHCL to complete her M.Eng. degree at MIT.
Special thanks go to Ir R P L Pang and Ir V S H
Tse of GEO for their valuable advice on the drafting
of this paper.
6. REFERENCES
Benz T. (2006). Small-strain stiffness of soils and

its numerical consequences. Ph.D Thesis,
University Stuttgart.
Burland J.B., Broms B.B. and de Mello, V.F.B.
(1977). Behavior of foundations and structures.
Figure 6: Comparison with design curve for SOR Review, Session 2, Proc. 7th ECSMFE,
modification factors (Potts & Addenbrooke (1997)): Brighton, 1, pp.13-29.
(a) sagging; (b) hogging; Burland J.B. (1997). Assessment of risk of damage
(c) compression; (d) tension (symbols – this study) to buildings due to tunneling and excavation.
Earthquake Geotechnical Engineering, Ishihara
(ed). Balkema, Rotterdam.
4. CONCLUSIONS Burland J.B. and Wroth C.P. (1974). Settlement of
buildings and associated damage. BGS
Results have indicated that the choice of soil model conference, Cambridge, pp. 611-651.
has an important influence on the prediction of Franzius J.N. (2003). Behaviour of buildings due to
greenfield ground movements. The HSS model tunnel induced subsidence. Ph.D Thesis,
with the selected set of stiffness parameters Imperial College.
provides a reasonable fit with the PJ model and Jardine R.J., Potts D.N., Fourie A.B. and Burland
matches closely the greenfield settlement trough J.B. (1986). Studies of the influence of non-
expected from the empirical model. linear stress-strain characteristics in soil-
Based on numerical simulations carried out structure interaction. Geotehnique, 1986, 36,
using the calibrated HSS soil model, the current No. 3, pp. 377-396.
study found that the design modification factors for Mair R.J. and Taylor R.N. (1997). Bored tunnelling
deflection ratio and horizontal strain are consistent in the urban environment. Proc. 14th Intl. Conf.
with the design curves promulgated in Potts and on SMandFE, Hamburg, (4), pp. 2353-2385.
Addenbrooke (1997), which represent upper bound Potts D.M. and Addenbrooke (1997). A structure’s
values of their numerical analyses. The Potts and influence on tunneling-induced ground
Addenbrooke (1997) design approach has movements. Proc. Instn. Civ. Engrs. Geotech.
remained a useful tool, in particular in tunneling Engng. 1997, Vol 125, April, pp.109-125.
projects under tight resource and time constraints. Schanz T., Vermeer P.A. and Bonnier P.G. (1999).
The methodology provides engineers with a The hardening soil model: Formulation and
practical means to predict potential damage to an verification. Beyond 2000 in Computational
existing structure due to tunnel construction, Geotechnics, Balkema, Rotterdam, pp. 289-291.
accounting for the relative stiffness of the soil and Timoshenko S. (1957). Strength of materials – Part
structure, and hence, to evaluate the need for I. D van Nostrand Co, Inc. London.
mitigation measures. Nevertheless, the current
STRESS AND DISPLACEMENT FIELDS IN A TUNNEL LINING AND

SURROUNDING GROUND
CHAMPS DE CONTRAINTES ET DE DÉPLACEMENTS DANS LE
REVÊTEMENT D’UN TUNNEL ET DANS LE SOL ENVIRONNANT
Marco A. PÉREZ
Instituto de Ingeniería, UNAM, Mexico City
ABSTRACT - Two analytical solutions for assessing stress and displacement fields around a tunnel and in
the lining are presented. Boundary conditions consist of a free surface and a lower boundary where
displacements are restricted. The distributions of radial and shear stresses in the ground-lining interface are
represented by two fourth-degree polynomials, which may be obtained from field measurements or be
assumed for a parametric study. The solutions can represent the full slip condition between ground and
lining if the shear stress at the interface is assumed to vanish.
1. Introduction
Analytical solutions are available to evaluate

different aspects regarding the stress and strain
fields around tunnel linings (Wood, 1975; Einstein
and Schwartz, 1979; Alberro, 1983; Bobet, 2001).
These solutions permit performing quick parametric
analyses and carrying out sensibility and reliability
analysis using for example the Monte Carlo
method.
In the present paper, two analytical solutions to
obtain the stress and displacement distributions in
a plane strain condition for tunnels are presented.
The first one is for the surrounding soil and the
second one for the tunnel lining. Solutions can take
into account in situ stress increments, with respect
to the initial stress state, measured in pressure Figure 1. Circular tunnel in an elastic medium
cells installed in the lining outer perimeter. It is also
possible to assign radial stress values in certain In the figure, P is the analysis point; σr, σθ and τrθ
points of the lining to perform parametric analysis are respectively the radial, tangential and shear
with different stress distributions around the tunnel. stresses in P; fθ is the radial stress distribution on
A continuous, elastic, homogeneous and the lining; gθ is the shear stress distribution on the
isotropic medium is considered. The results lining (polar coordinate system); σy and τxy are the
obtained are governed by the sign convention of vertical and shear stresses on the ground surface;
continuum mechanics, which considers the u and v are the radial and circumferential
compressive stresses are negative and tensile displacements; h and d are the distances measured
stresses are positive. from the tunnel center point to the ground surface
To take into account the weight of the medium, and to the lower boundary; a and b are the inner
the initial stress state can be added to the solution. and outer radius of the tunnel lining; r and θ are the
The weight of the liner is not taken into account in polar coordinates of P.
this paper.
Solutions can represent the full slip condition 2.1. Stress distributions in the ground
between ground and lining, if shear stresses at the
interface are assumed to vanish. 2.1.1. Boundary conditions
The radial stress distribution at the interface

2. Analytic solutions for circular tunnels between the ground and the tunnel lining is
represented by a fourth degree polynomial.
In Figure 1, the problem of a tunnel embedded in
an elastic media is presented. The medium is f θ = f 1 cos4 θ + f 2 sen3 θ + f 3 cos2 θ + f 4 senθ + f 5
limited by a free surface and a lower boundary (1)
where displacements are restricted.
where: f1, f2, f3, f4 y f5, are constants determined 2.1.3 Analytical solution
by assigning radial stress values to certain points of
the ground-lining interface (Pérez and Auvinet, Solution is obtained from the stress potential
2012b). function (eq 7) and boundary conditions (eq 1, 2, 5
y 6). Equations (8) define the radial, tangential and
A second fourth degree polynomial is used to shear stress fields in the ground, affected by the
represent the shear stress distribution at the tunnel construction:
ground-lining interface:
σ r = Γ N (ξ R A4 + χ R A3 + ψ R A2 + ωR A1 )
g θ = g 1 sen4θ + g 2 cos3θ + g 3 sen2θ + g 4 cosθ (2)
σ θ = Γ N (ξ T A4 + χ T A3 + ψT A2 + ωT A1 ) (8)
where: g1, g2, g3 y g4, are unknown constants. By τ rθ = Γ RT (ξ rθ A4 + χ rθ A3 + ψ rθ A2 + ωrθ A1 )
symmetry, shear stresses are equal to zero for
θ=90°, θ=0° and -90°. For θ equal to 45º y -45°, we If the gθ polynomial constants are equated to
have: zero, these equations represent the ground-lining
interaction under the full slip condition.
2
g2 = − (τ 45ª + τ − 45ª ) Equations (9), define the radial and circumferential
displacement distributions in the ground.
4
1
g3 = (τ 45ª − τ − 45ª ) (3)
⎛1 + ν⎞ ⎛ 1 sen(θ ) ⎞
n +1
2 u= ∑ n⎜⎝ ⎟cos(nθ )⎜⎜ n +1 − n +1
⎟ An +
⎟
Ε ⎠ ⎝r d ⎠
2 n = 4,2
g4 = (τ 45ª + τ −45ª )
sen(θ ) ⎞
m +1
4 ⎛1+ ν⎞ ⎛ 1
∑ m⎜⎝ ⎟sen(mθ )⎜⎜ m +1 − m +1
⎟ Am
⎟
m = 3,1 Ε ⎠ ⎝r d ⎠
It’s not common to measure shear stresses in
⎛ 1 sen(θ ) ⎞
the ground-lining interface. The shear stress n +1
⎛1 + ν⎞
distribution at the ground-lining interface can be v= ∑ n⎜ ⎟ sen(nθ )⎜
⎜ r n +1 − ⎟ An +
obtained by derivation of equation (1). With the n = 4,2 ⎝ Ε ⎠ ⎝ d n +1 ⎟⎠
resulting expression and equations (3),
⎛1+ ν⎞ ⎛ sen(θ )m +1 1 ⎞
∑ m⎜⎝ ⎟cos(mθ )⎜⎜ − m +1 ⎟⎟ Am
relationships can be established between the shear
stresses and the fθ, polynomial constants, as m +1
m = 3,1 Ε ⎠ ⎝ d r ⎠
follows:
(9)
τ 45ª = − 2 f 2 − f 3 The constants involved in equations (8) and (9),
(4)
τ 45ª = − 2 f 2 + f 3 can be consulted in the following web page:
www.peam.webs.com
To include the free surface effect, the vertical 2.2. Stress distribution inside the lining
and shear stresses (in cartesian coordinates) on
such boundary are considered equal to zero. This solution gives an overview of the possible
tension or failure zones that can occur in the
σ y = τ xy = 0 (5) structure.
To include the effect of the lower boundary, 2.2.1. Analytical solution

radial and circumferential displacements on this
boundary are also considered to be zero. The analytical solution for the lining was obtained
previously by Pérez and Auvinet (2012b) and is
u d = vd = 0 (6) presented below:
2.1.2 Stress potential function ( )

σ θ = +2 6Ar 2 + 10Br −6 + 3Cr −4 + 15Dr 4 cos (4θ )
( )
+ 2 3Er + 6Fr − 5 + Gr −3 + 10Hr 3 sen(3θ )
(10)
The stress potential function used to obtain the + 2(I + 3Jr + 6Lr )cos (2θ )
−4 2
+ {2[Mr + 3Nr − Pr (1 + lnr )] + Or }sen(θ )

solution is formed with elements of the Airy general −3 −1 −1
function (Obert y Duvall, 1967):
−2
+ 2Q − Rr
φ= ∑A r n
−n
cos(nθ ) + ∑A r m
−m
sen(mθ ) (7)
n = 4,2 m =3,1
(
τ rθ = 4 3Ar 2 − 5Br −6 − 3Cr −4 + 5Dr 4 sen(4θ ) )
(
− 6 Er − 2Fr −5
− Gr −3
+ 2Hr cos(3θ )
3
)
(
+ 2 I − 3Jr −4 − Kr − 2 + 3Lr 2 sen(2θ )) (11)
+ [2(Mr −3 −1
− Nr + Pr lnr − Or ) −1
]cos(θ )
3. Application
The previous solutions were applied to the problem

shown in Figure 2. The liner outer radius is 5m and
its thickness is 0.40m.
Figure 3. Radial stress fields.
Figure 2. Analysis section
In Figure 2, γ is the volumetric weight of the

ground; K is total stress ratio; E is Young's modulus
and ν is Poisson's ratio.
3.1. Ground stress field induced by

construction of tunnel
In Figure 3, the initial (left image) and after

construction (right image) radial stress fields are
shown. A radial stress decrease is observed in the
crown and invert zones, as the unloading of the
Figure 4. Tangential stress fields.
ground induces an upward movement of the tunnel
(Rodríguez and Auvinet, 2010).
In Figure 4, the initial (left image) and after 3.2. Stress fields inside the lining
construction (right image) tangential stress fields
Figures 5 and 6 show the tangential and shear
are shown. It can be observed that tangential
stress distributions inside the tunnel lining.
stresses increase in the same areas where radial
Clear zones of Figure 5 represent tension areas
stresses decrease.
in the lining.
The axes units are in meters. The values inside
In Figure 6, the highest shear stress
the figures and the gray scale's values are in kPa.
concentrations are observed in zones where value
of θ is close to 45° y -45°.
depth of a more rigid layer by modifying parameter

"d" of equations (8) and (9).
Analyses can also be performed using field
measurements obtained from in situ geotechnical
instrumentation for estimating the displacement
and stress fields around the tunnel.
Stress distributions computed using equations
(8) are not sensitive to the stiffness parameters of
the ground. This allows parametric analyses of the
ground-structure interaction to be performed
assuming different radial stress values at the
ground-lining interface while keeping constant the
ground stiffness parameters.
5. Acknowledgements
Dr. Gabriel Yves Auvinet Guichard for his guidance

and wise advice during the realization of this work
6. References
Figure 5. Tangential stress distribution inside the Alberro, J. (1983). Presiones de roca en túneles e
lining. interacción roca-revestimiento. Instituto de
Ingeniería, UNAM.
Auvinet, G. y Rodríguez J.F. (2010). Análisis,
diseño, construcción y comportamiento de
obras subterráneas en suelos. XXV Reunión
Nacional de Ingeniería Geotécnica, Vol. 1,
Acapulco: 33-42.
Bobet, A. (2001). Analytical solutions for shallow
tunnels in saturated ground. Journal of
Engineering Mechanics. ASCE Vol. 127 (12):
1258–1266.
Einstein, H. H. and Schwartz, C. W (1979).
Simplified Analysis for Tunnel Supports. Journal
of the Geotechnical Engineering Division,
ASCE, 105(4) 499-518
Pender, M. J., (1980). Elastic solutions for a deep
circular tunnel. Géotechnique, Vol. 30, No. 2,
pp. 216-222.
Pérez, M.A. y Auvinet G., (2012). “Solución
analítica para la determinación del campo de
esfuerzos alrededor de una excavación circular
con presión interna uniforme”. 2º Simposio
Internacional sobre túneles y lumbreras en
suelos y roca, Ciudad de México.
Pérez, M.A. y Auvinet G., (2012a). Interacción
Figure 6. Shear stress distribution inside the lining. terreno-revestimiento de un túnel, bajo la
condición de deslizamiento completo. 2do.
Coloquio de Jóvenes Geotecnistas, Torre de
4. Conclusions Ingeniería, UNAM, Ciudad de México.
Pérez, M.A. y Auvinet G., (2012b). Solución
Two analytical solutions were developed to analítica para la determinación de campos de
compute stress and displacement distributions in a esfuerzos y desplazamientos alrededor de un
tunnel lining and in the surrounding ground. túnel circular. XXVI Reunión Nacional de
The solutions presented consider the effect of a Mecánica de Suelos e Ingeniería Geotécnica,
free surface and a lower rigid boundary. With the Cancún Quintana Roo, México.
solutions presented, parametric analyses can be Wood, M. (1975). The circular tunnel in elastic
easily performed to assess the influence of the ground. Géotechnique, No. 1, pp 115-127.
FULL- SCALE FIELD TEST OF LARGE DIAMETER REINFORCED

CONCRETE PIPES UNDER HEAVY TRAFFIC LOADS
ESSAI IN-SITU GRANDEUR NATURE DE TUYAUX EN BÉTON ARMÉ DE
GRAND DIAMÈTRE SOUMIS A UNE CHARGE DUE À LA CIRCULATION
Boris RAKITIN1
1
Postdoctoral Research Fellow, Dept. of Civil Engineering, Tsinghua University, Beijing 100084,
China
ABSTRACT - This paper presents the results of a full-scale test of reinforced concrete (RC) pipes with an
inner diameter of 1400 mm, all laid in a trench. The aim of this research was to study the influence of
different types and positions of transport vehicle loads on stress–strain state of RC pipes. The new method
of full-scale testing was developed. Three kinds of vehicles were used for creating traffic loads and the
weight of the heaviest truck was 850 kN. Numerical simulations using the finite element method were
performed comparing the difference with full – scale field test data. Using these research results, we made a
conclusion about possibility of using a single spatial cylindrical cage for the reinforcement of RC pipes of an
inner diameter of more than 1000 mm instead of double cylindrical cage according to traditional design. A
new type of RC pipes was developed and tested, which was proved to be 18.9% more economical.
1. Introduction infrastructure, structures should be redesigned in

order to meet higher load-bearing requirements.
Nowadays in civil and road construction, The lack of experimental data about testing RC
underground pipelines are widely used for various pipes laid in trenches increases the difficulty of
purposes, such as transporting water, chemicals, improving design standards for these structures
heating and cooling fluids, gases and so on. and the industrial design itself. On the other hand,
Because of the fact that practical application of practical experience shows that incorrect
reinforced concrete pipes for the construction of estimations of the load amount on underground
underground pipelines is becoming wider, the pipelines can lead to accidents or a significant
questions of the developing more economical overrun of materials and an increase in the
pipes and improving the methods of their design construction cost.
are as relevant as ever. In order to estimate the possibility of using
The problem of soil structure interaction and single cylindrical cage for the reinforcement of
the calculation of loads applied on underground large diameter (diameter is more then 1m) RC
pipeline are very challenging (Rakitin and pipes instead of double ones according to
Solovev, 2008). The main difficulties during the traditional design, the study of stress – strain state
design of underground pipelines are defining the and the load-carrying capacity of pipes under
amount of soil and traffic load pressure, which different load combinations were conducted.
depend on many different factors. A literature review has shown that the research
Also with the development of the automotive of stress – strain state of underground pipeline
industry appear new kinds of more heavy traffic under traffic load located exactly above the
vehicles. As a result the traffic loads on pipeline has been performed before (Arockiasamy
underground structures are increasing as well. In et al., 2006). The characteristic feature of
addition, traffic vehicles are sometimes experiments described in this article is that the
overloaded, because loading or safety vehicle, which created traffic loads, was moving
requirements are not followed. In some cases the from left to right while crossing an underground
increase in traffic loads leads to transport pipeline and changing its location during the test.
infrastructure failure. In order to deal with this In this article the results of full – scale field
problem, many countries update their National tests have been presented. The tests were
Standards and increase the amount of traffic load devoted to study of soil – underground pipeline
on infrastructure. For example, in a new addition interaction depending on the pipeline depth and
of the Russian National Standard (GOST, 2008), different kinds and locations of traffic loads
the total loads for designing bridges and applied on a soil surface.
underground pipelines increased by 25-30% in
comparison with the previous year’s edition. So
with the increasing load on underground
2. Field Installation of Reinforced Concrete The height of soil cover (distance from the top
Pipes of the pipe to the soil surface) during the test was
1 m and 2 m.
2.1. Description of RC pipes and After the first part of the experiment was
Instrumentation conducted, the special embankment was created
to increase the height of soil cover from 1m to 2
The test samples were O-shaped cylindrical RC m.
pipes with a footing and a stepped bell-and-spigot The soil conditions on the experimental site
joint sealed with a rubber ring. The inside pipe were the following: embankment material - coarse
diameter was 1400 mm and the pipe wall gravel soil, in – situ soil – hard loam soil,
thickness was 165 mm. The pipes were reinforced underlying soil layer – coarse sand.
with a single spatial cylindrical cage instead of a
double cylindrical cage according to Russian
National Standard (GOST, 1989).
In the tested pipes, a welded four-way L-bar
cross was installed in the invert of the pipe as
shown in Fig. 1. This was used for the installation
of dial test indicator gauges (their accuracy of
measurement is 0.001 mm), which were used for
measuring the pipes wall deformations.
In a cross-section of the pipe, three dial
gauges were installed: one for the measurement
of the vertical diameter shortening and two for the
lengthening of the horizontal one.
Figure 1. Cross section of tested pipes with

installed measuring equipment Figure 2. Tested pipes laid in the trench
To monitor stress – strain state of the RC
pipes, strain gauges with a wire mesh were used. 3. Full – Scale Field Test of Pipes
The base of strain gauges was 20 mm and the
resistance was 200 Ohm. The strain gauges 3.1. Applied Traffic Load
stripes were installed in the most stressed places
of the pipe (Fig. 1): the crown, the springline and The traffic load on the underground pipeline was
the invert. applied by three different kinds of vehicles: a
During the test, 24 strain gauges stripes were passenger car (total load is 16,5 kN, load per axis
installed. Each stripe consisted of 5 to 6 strain is 8,25 kN); a medium truck (total load is 252 kN
gauges. In total, 128 strain gauges were used. for 3 axes, loads per axis are 62 kN, 95 kN and 95
The strain gauges wires were connected to two kN, respectively); a heavy truck (total load is 850
multi – strain microprocessor systems, which kN for 2 axes, loads per axis are 283 kN and 567
carried out the data recording and produced the kN, respectively).
primary analysis of test results. One of the aims of this research was to test the
effect of increased traffic loads on RC pipes
2.2. Trench and Soil Parameters according to a new National Standard (GOST,
2008). The standard design wheel load НК –
The experimental site consisted of a trench with a 100.8 corresponds a 252 kN axial load. During the
55 m long pipeline laid in it (Fig. 2). The trench’s experiment, the load per the front axis of the
geometrical parameters were: bottom width - 4.93 heavy truck was approximately about this amount
m, top width - 7 m, depth - 2.775 m, the trench - 283 kN, but the load per back axis was two times
slope incline was 70 degrees relative to the bigger – 567 kN.
horizontal.
3.2. Traffic Load Position and Data Recording using the nonlinear elastic-plastic Mohr-Coulomb
soil model (Fig. 4).
During the test, the vehicle crossed the pipeline
perpendicular to its axis (Fig. 3). As the vehicle Table I. Material parameters
was moving, the data was recorded at 11 points, Pipe In – Embank-
the distance between them being 1 m. The situ soil ment
characteristic feature of this experiment was the Material type Concrete Clay Sand
study of changes of the stress – strain state of the Unit weight γ,
25 18 19
pipeline depending on a different position of traffic kN/m3
loads relatively to a pipeline axis. Friction angle φ - 31e 35e
Cohesion c,
- 15 1.5
kPa
Modulus of
39 0.03 0.05
elasticity E,GPa
Poisson’s ratio
0.15 0.25 0.30
υ
After finishing the calculations using this

program, the most valuable information we found
was regarding soil deformations and the bending
moment diagrams in the pipe wall.
Figure 4. Soil deformations during the test of RC

Figure 3. (a) test of a pipeline using heavy truck in pipes using a heavy truck (total load is 850 kN)
a position over the pipe with 2 meters soil cover with 2 meters soil cover above the pipe crown
above the pipe crown, (b) bending moment
diagram in the pipe wall during the test, kNm
Table 2. Comparison of maximum bending
moments, kN m
4. Finite Element Analysis for Pipe – Soil Method for determination,Мmax
System
Load Full-Scale Field
PLAXIS 2D
For the theoretical analysis of the influence of Test
traffic loads and the height of soil cover above the 1m 2m 1m 2m
pipeline on stress –strain state of pipeline, the
numerical calculations were performed using Heavy
18.197 12.648
PLAXIS 2D software (Brinkgreve and Broere, Truck 18.955 12.998
(-4%) (-1%)
2008). This software was designed for two- 850 kN
dimensional calculations of deformations and
stability of structures. Medium
7.537 8.687
Two computer models were created for three Truck 7.934 8.965
(-5%) (-3%)
types of vehicles with 66 different variations of 252 kN
loading. The pipes were modeled using curved
beam elements. The soil body was modeled using Car 1.842 5.119
1.915 5.119
5699 fifteen - node triangular finite elements. The 16,5 kN (-4%) (0%)
material parameters used for finite element
modeling are presented in Table 1. Two-
dimensional model calculations were performed
5. Comparison of Field Test and Finite Element under live load application. Journal of
Analysis Results Performance and Constructed Facilities, vol.
20, №1, pp.21-27.
Based on the comparison of the maximum Brinkgreve R.B.J., Broere W. (2008). Plaxis 2D –
bending moments that occur in the pipe wall (see Version 9.0. User’s manual. – PLAXIS B.V.,
Table 2) for the full – scale field test with data Netherlands.
from finite element analysis, it can be concluded GOST. (1989). “Reinforced concrete non –
that the program PLAXIS 2D gives a slight pressure pipes. Specifications.” 6482-88.
deviation of the maximum bending moment Standards publishing, Moscow.
amount between 0 and 5%. GOST. (2008). “Automobile roads of the general
usage. Standard loads, loading systems and
clearance approaches.” R 52748-2007.
6. Conclusions Standartinform, Moscow.
Rakitin, B.A., Solovev, B.V. (2008). The influence
According to the research results, we can make of in-situ soil and backfill properties on the
the following conclusions: stress-strain state of non-pressure reinforced
1. A method of full-scale testing, which allows concrete pipes. Structural mechanics and
us to perform tests when traffic load is moving analysis of structures, vol. 1, pp. 17-22.
relative to the pipe axis, was developed.
2. It was proved that when the horizontal
pressure on the pipe is getting bigger, maximum
bending moment zones are moving and the sign
of the bending moment can be also changed.
3. Performed numerical analysis using the
PLAXIS 2D program has confirmed the high
efficiency of a developed kind of pipes. The
difference using full-scale experimental results, is
no more than 5%.
4. The test results have confirmed the
possibility of using a single spatial cylindrical cage
instead of a double one according to traditional
design for the reinforcement of RC pipes of an
inner diameter more than 1000 mm. The tested
pipes had the strength reserve and had no cracks
appear during the test. Reinforcement of RC pipes
with a single cylindrical cage allows for an
increase in the concrete consumption by 15%,
and reduce metal consumption by 49%. Savings
on the difference of the materials cost is 5.51%
and the overall cost-effectiveness, compared with
double-reinforced pipes, is 18.9%.
5. After performing the full-scale field tests and
finite element analysis, it was concluded, that the
RC pipes of inner diameter 1400 mm reinforced
with a single cylindrical cage comply with Russian
National Standards (GOST, 1989; GOST, 2008)
according to their strength properties, physical
and mechanical properties and parameters, and
can be used for the construction of underground
pipelines.
6. After the completion of these tests, the trial
batch of the 540 RC pipes of an inner diameter
more than 1000 mm reinforced with a single
spatial cylindrical cage were manufactured. These
pipes were used for construction of underground
pipelines in Russia and confirmed their high
operational reliability.
7. References
Arockiasamy M., Chaallal O., Limpeteeprakarn T

(2006). Full – scale field tests on flexible pipes
COMPUTATIONAL PLATFORM FOR THE ANALYSIS OF A

DISPLACEMENT SENSOR IN TUNNELS
PLATEFORME INFORMATIQUE POUR L'ANALYSE D'UN CAPTEUR DE
DEPLACEMENT DANS LES TUNNELS
1 1 1
Javier SOTOMAYOR , Juan Felipe BELTRÁN , Ricardo MOFFAT
1
Civil Engineering Department, Universidad de Chile, Santiago, Chile
ABSTRACT - A system based on a PVC tube instrumented with optical fiber, connected to a Brillouin
Optical Time Domain Reflectometer (BOTDR) apparatus, is proposed to monitor underground movement in
tunnels from a long distance to the measured point. The tube sensors (TS) are attached to the rock mass at
four points along the tube. It is expected that as the rock mass moves, the TS supports move relative to
each other inducing axial strains along the TS that are recorded by the BOTDR. An iterative numerical
algorithm (inverse model) is proposed to estimate the TS support displacements from the TS axial strains
data using the linear theory of strength of materials. Experimental data are used to validate the estimated
values of support displacements given by the proposed model and apply data field with success.
1. Introduction
For safe mining operations, it Is important to obtain

accurate measurements of rock mass
displacement. The problem seen today is that Figure 1. Model of the TS.
many of the strain sensors used for this task are
outdated or obsolete, especially when the
deformation to be measured cover long distances 2. Basis of the model
of the tunnel. The use of optical fiber is a solution to
this problem. There are a large number of optic To resolve the inverse problem i.e. to determine the
fiber sensors proposed for this task around the external loads owing to the distribution of stress on
world, but the most attractive are the distributed the TS, it is necessary to state the assumptions on
fiber sensors (Horiguchi et al. (1995)). Optical fiber which this work is based:
has been used to detect deformation in structures • The material has linear-elastic properties.
with huge advantages; for example, Ravet et al. • The strains are small.
(2005) could detect the buckling process and the • The superposition principle is valid.
location before it was visible. One of the • TS is able to transmit internal stress.
advantages in using optical fiber is the continuous • Dead weight is negligible.
measurement along the fiber, in contrast to current To maintain the equilibrium of the system, the
sensors, which measure discrete and on-point forces have to accomplish:
fluctuations of the material. However, the use of
optical fiber has some disadvantages. Studying the
sensitivity of the fiber to temperature change, Bao
[ K ] ⋅ [u ] = [ R] (1)
et al. (1995 and 2001) established parameters to
calibrate the correction (see also Pozzi et al. Where [K] is the stiffness matrix of the sensor, [u]
(2008)). Besides temperature, fiber is not good at denotes the displacement and rotation of the
detecting high deflection of the tube in a short freedom degrees vector and [R] is the load vector.
distance (Kim et al. (2002)). It uses standard structural analysis to calculate the
load vector.
1,2. Description of the sensor There are two kinds of strain detected in the TS,
The tube sensor (TS) is a tube of PVC. It has a the strain caused by the axial stress produced by
length of 5m, a diameter of 40 mm and a wall the compression/traction of the entire section and
thickness of 3 mm. Four supports connect the the strain produced by the bending of the sensor
sensor to the mass rock, as shown in figure 1. (the opposite fibers must detect opposite strains).
Support A serves as both the entrance and the exit Finally, the sum of both types of strain, axial ( ε a )
for the continuous optic fiber. The fiber resides in
and bending ( ε b ), gives the sensor.
four points of the transversal section, in pairs
forming two perpendicular lines. (Fig. 2)
εt = εa + εb (2)
Across the transverse section there are four bending diagrams become. The platform then
different strain measuring points, so to precisely chooses the lowest error index from all BC applied,
apply the collected data, the platform-program must as the most probable type of movement by the
differentiate between the components derived from sensor.
the axial strain and the bending strain. As seen in
figure 2, two measuring points on the same axis
can be used to determine the axial strain. This is 3. Validation of the platform.
done by tracing a linear regression between the
two said points, if this imaginary line passes Two different kinds of data were used to validate
through the center of the transverse section, then the platform: theoretical strain data by a model in
the axial strain equals 0. Any deviation from this structural software “SAP2000”, and TS data
center will be equivalent to the axial strain. obtained from independent laboratory tests.
It is important to note that the measured readings in This work shows one kind of movement of the
the support are discarded because in those zones sensor, that is, a 50mm displacement of support A
the hypotheses are not valid. To ensure the correct and P1, this movement induced strains that were
use of the platform data from within a range of 5 cm detected by the optical fiber.
around the support were the data was discarded.
3.1. Theoretical strain data.
The theoretical strain data was achieved with the

same kind of movement used in the laboratory
analysis. When the theoretical data was entered in
the platform, it gave a very low index error; this is
because the platform applies the same equations
as the program “SAP2000”, so these results were
expected.
3.2. Laboratory strain data.
TS sensors (with the same characteristics as those

installed in the field) were subjected to various
Figure 2. Axial strain in the transverse section TS. bending tests; these tests were conducted to
determine how successful the TS measurements
It is necessary to calculate the axial strain in both for controlled displacements actually were.
axes and use the mean to determine the axial Figure 4 describes the data used as an input for
strain for the entire section. Then, in turn, with ec the platform program. The left end of the graph
(2) the axial bending is determined. shows a smooth strain value consistent with a
With the axial bending, the linear theory of strength small lateral movement; this displacement is a
of materials, and the Navier equation; it is possible direct effect of human execution error, and as such
to determine the bending moment and all inner is not considered in the results. The principal strain
forces of the sensor. collected and used in the study comes from the up
and down fiber, on the right side of the graph.
When the data collected is introduced in the
E ⋅ I ⋅ ε b ( x)
M ( x) = (3) program, table 1 is the result. In this chart, real
d /2 displacement value is similar to the one given by
the platform, for the same BC.
Where M is the bending moment, ε b is the strain The error index shows that there are four BC that
may apply to this particular strain; this is because
produced by bending, d is the diameter of the tube, two types of BC are symmetrical ((3-7) and (4-8)),
I is the inertia of the tube and E is the elastic and between these two pairs of BC, the same
modulus of the PVC. strain ratio applies, but with different
It is necessary to set border conditions (BC) to find displacements.
a solution for Ec. (1), because the load vector is It is important to add BC that does not have the
already calculated and the stiffness matrix of the smallest error index, but are still near to the overall
TS is known. Different BC will show different results error range. As such, a range of ±0.05 index error
about the displacements of the sensor, so to must be considered as probable BC for the sensor.
choose the correct BC it is necessary to isolate the To study further, smaller magnitudes were added to
variable from the initial conditions using the testing process, as presented in figure 3. These
interpolation functions. As a result, a new showed an expected behavior of the values, in the
theoretical bending diagram of the sensor is form of a linear projection.
achieved. To compare the two bending diagrams, a
new index, or “error”, is created. The lower the
number of this value, the more similar the two
Table I: Displacement in the platform for 50mm.

BC A P1 P2 B Error Index
2 ---- 27,6 ---- ---- 0,231
3 49,3 48,4 ---- ---- 0,037
4 -22,5 ---- -19,6 ---- 0,037
6 ---- ---- 42 ---- 0,404
7 ---- ---- -47,2 -46,4 0,037
8 ---- 21,2 ---- 18,6 0,037
Figure 3. Deviation of measurement for four

displacements

5VTCKP=?

&KUVCPEG=O?
Figure 4: Laboratory measurement for 50mm displacement in A and P1 support.
65

5VTCKP=?

A P1 P2 B P2 P1 A A P1 P2 B P2 P1 A

&KUVCPEKC=O?
Distance [m]
Figure 5: TS14 field measurement on 24 December 2009.
4. Mining Industry field data 4.1. On-site strain data.
After validating the platform and before entering the In this paper, the TS14 sensor will be analyzed,
field data there were problems with the and its readings (on December 2009) used in the
implementation of the system. program.
A pool of three months data, from different sources, The TS14 horizontal reading has a sudden and
was available for analysis, but some problems abrupt fall in its level; this is a direct result of an
were found. These issues were as diverse as cuts apparently big force being applied to the optic fiber
in the optical fiber, excessive noise, general sensor at a discrete point. This unusual strain may be
maintenance, etc. attributable to a faulty installation of the fiber that
created a cumulative strain in the sensor. This
effect appears only in the horizontal readings. For
this reason, it was decided to discard the horizontal 5. Conclusions

readings entirely, and only consider the results
provided by the vertical measurements. This platform may deliver different movements of
Results provided by theoretical and laboratory data the supports with the same input data, so good
have shown that peaks in strain values for a criteria and a field checking protocol is absolutely
particular fiber optic were achieved in the support- necessary to achieve a correct analysis and
binding point of the TS. As such, this criterion was informed decision.
applied to the data obtained from the mining This platform program is a complementary tool for
industry, taking into account the set distances engineers, especially in the mining industries, to
between supports, measured by the mining crew’s monitor and evaluate rock mass displacements,
on-site team. An issue with these readings was that and in turn, assess overall tunnel integrity. A early
an unexpected strain measurement appeared at alarm system can be used with this platform,
one end of the TS. This was attributed to the preventing field accidents and getting better
inherent uncertainty of field data collection. Another displacement accuracy of the mass rock.
problem was a lack of symmetry between peak and
valley readings from fibers corresponding to the 6. Reference
same axis. As a reminder, there are two fiber optic
reading points for each axis, and with those Bao X., Dhliwayo J., Heron N., Webb D. J.,
measurements the axial strain can be obtained. To Jackson D. A. (1995) “Experimental and
solve this issue, the biggest strain reading from Theoretical Studies on a Distributed
each axis was selected and a mirror image strain Temperature Sensor Based on Brillouin
was used as its complement; this gave an axial Scattering”, Journal of Lightwave Technology,
strain equal to zero. Vol. 13, p 1340 – 1348.
Bao X., DeMerchant M., Brown A., Bremmer T.
4.2. Results. (2001) “Tensile and Compressive Strain
Measurement in the Lab and Field with the
The results used to process the TS14 data in the Distributed Brillouin Scattering Sensor” Optical
platform are shown in figure 5. The BCs that were Fiber Technology Vol. 19 p 1698 – 1704.
observed consistently throughout the month as Horiguchi T., Shimizu K., Kurashima T., Tateda M.,
possible sensor displacements were the BC 1. (1995) “Tensile Strain Dependence of Brillouin
These BCs indicated a movement of support A Frecuency Shift in Silica Optical Fibers”, Journal
downward, with a magnitude of approximately 3 of Lightwave Technology, Vol. 13, p 1296 –
cm. 1302.
The table 2 shows the in-depth readings obtained Kim S., Lee J., Kwon I. (2002) “Structural
in December 24, at 11:40 hrs. At that time the monitoring of a bending beam using Brillouin
lowest index error of all BC, is the BC 6, with a distributed optical fiber” Institute of Physics
movement of support P2, 1 cm downward. This Publishing, Vol. 11 p 396 – 403.
particular reading must not be interpreted as the Pozzi M., Zonta D., Wu H., Inaudi D. (2008)
correct movement of the TS, because in order to do “Development and laboratory validation of in-
that, one must take into account the behavioral line multiplexed low-coherence interferometric
pattern of the TS during the larger time-span. sensors” Optical Fiber Technology 14 p 281–
293.
Ravet F., Zou L., Bao X., Chen L., Huang R., Khoo
%QPFKEKÎP$QTFG
Border Conditions
H. A. (2006) “Detection of buckling in steel pipes

and column by the distributed Brillouin sensor”

Optical Fiber Technology, Vol 12 p 305 – 311.

&KE &KE &KE &KE &KE &KE &KE
6KGORQ=HGEJC?
Time [Date]
Figure 5: Distribution of BC for December 2009.
Table 2: Displacement in field by TS14 [mm].

BC Wϭ WϮ ƌƌŽƌ/ŶĚĞǆ
1 -27,7 ---- ---- ---- 0,724
2 ---- 12,6 ---- ---- 0,795
3 -5,9 10,2 ---- ---- 0,808
4 -25 ---- -2,1 ---- 0,760
5 ---- 21,4 11,4 ---- 0,789
6 ---- ---- -10,2 ---- 0,715
7 ---- ---- -59 -153,8 0,935
8 ---- 20,3 ---- -42,8 0,791
FIELD PERFORMANCE OF PIPE-JACKING IN SOFT DEPOSIT OF

XIANGSHUI, JIANGSU, CHINA
PERFORMANCE IN-SITU DU TUBAGE DANS LE DEPOT MOU DE XIANGSHUI,
JIANGSU, CHINA
1 1 1 1
Ye-Shuang XU , Qing-Long CUI , Shui-Long SHEN , Zhen-Yu YIN
1
Department of Civil Engineering, Shanghai Jiao Tong University and State Key Laboratory of
Ocean Engineering, China
ABSTRACT - This paper presents a case history on the performance of soft deposit during the excavation
of a series of jacked pipes in Xiangshui, Jiangsu, China. The soft deposit of the construction site is forms a
multi-aquifer-aquitard system, in which the aquitard is situated above the aquifers. The deposit consists of a
deltaic deposit from the ancient Yellow River. Four parallel pipes with a diameter of 4.2 m were jacked under
the River Guan at a depth of about 20 m. The jacked pipes passed through the silty sand which has very
high hydraulic conductivity. During construction, ground surface settlement, lateral displacement, pore water
pressure, and earth pressure were monitored. The results showed that during construction there is
insignificant impact on the surroundings.
1. Introduction deposit from the ancient Yellow River. The

diameter of the jacked pipe was 4.2 m, and it was
In recent years, pipe jacking construction has been jacked under the River Guan at a depth of about 20
developed rapidly and is widely used in China. The m. The jacked pipe passed through the silty sand
pipe-jacking technology has been used in various which had very high hydraulic conductivity. The
applications such as oil and gas pipelines, tunnel soils consist of irregular cementitious sand, which
construction, electrical and telecommunications creates difficulties in cutting through the soil during
cable installation (Craig 1983, Hideki et al. 2004). the pipe-jacking. Four parallel pipes (labelled as
The early empirical formula used to study the Line 1 to Line 4) with an even horizontal spacing of
behaviour of soft deposits around a tunnel is based 4800 mm and a jacking distance of 450 m were
on observed data from field tests (Chou and Bobet constructed by two slurry balance pipe machines
2002, Attewell and Selby 1989). Field data such as under the River Guan. Line 2 and Line 4 were
earth pressure, pore water pressure, ground under construction after Line 1 and Line 3 were
surface settlement, groundwater level movement, fully jacked into position. The combined effect of
and stresses of pipes, are important factors in these four parallel jacked-pipes on the surrounding
investigating soil disturbance and environmental soils should be considered.
damage due to pipe-jacking construction. Wei et al. Figure 1 shows the soil profile at the site. From
(2004) discussed soil disturbance around jacked the ground surface to a depth of 45.2m, the soil
pipe based on field data. Ding et al (2007) studied consists of backfill (0.0-4.4 m), clay (4.4 to 6.8 m,
soil behavior around parallel jacked pipes, by 13.8-14.9 m), silty clay (16.9-19 m, 21.5-24.9 m,
monitoring the stress of the pipes. 28.9-45.2 m), and silty sand (6.8-13.8 m, 14.9-16.9
This paper presents a case history of parallel m, 19-21.5 m, 24.9-28.9 m). The water content of
pipe-jacking construction in China. Field tests were these natural soils was in the range from 23% to
conducted during the construction. The object of 55%.
this study was to evaluate the environmental
effects induced by parallel pipe-jacking
construction with large diameter pipes in soft 3. Instrumentation
deposits based on the field tests.
Figure 2 shows the plan view of measuring points
on the site. Ground surface settlement, lateral
2. Description of site and soil properties displacement, pore water pressure, and earth
pressure were monitored to study the
The field test site is at the confluence of the River environmental effects due to the parallel pipe-
Huangxiang and the River Guan, which is located jacking construction. Table1 summarized the
at Xiangshui, Jiangsu, China. The soft deposit at measuring and testing instruments which included
the construction site form a multi-aquifer-aquitard level gauges, earth pressure sensors, frequency
system, in which the aquitard is situated above the devices, piezometers, and inclinometers.
aquifers. These deposits consist of a deltaic
Figure 3 shows the plan view of measuring

points for surface settlement. There were 26 level
gauges installed on the south bank of the River
Guan to measure the ground surface settlement.
The frequency of measurement was once a day for
30 days after pipe-jacking construction.
Figure 1. Properties of the subsoil within pipe-

jacking construction on culverts of the River Guan
To measure the lateral deformation of the

ground due to pipe-jacking, five inclinometers,
labelled as A, B, C, D, and E, in Figure 2, were
installed in two rows at a distance of 53.5 m from Figure 3. Plan view of measuring points for surface
the south working shaft and 27 m from the north settlement via Line 1 and Line 3 on the south bank
working shaft, respectively. All the inclinometers
were buried at a depth of 12.5 m. The total duration Two piezometers labelled as P1 and P2 were
of inclinometer measurements was 36 days installed to measure the soil pore water pressure
following pipe-jacking construction. induced by pipe-jacking. The distances were 53.5
m from the south working shaft. The buried depth
of the piezometer was 12.5 m, as shown in Figure
4. Two earth pressure sensors labeled as E1 and
E2 were set at the same position as the two
piezometers and these were used to measure the
earth pressure. The frequency for inclinometer
measurement was once a day for 60 days following
pipe-jacking construction.
Figure 4. Sectional view of measuring points for soil

stress and lateral displacement on the south bank
Figure 2. Plan view of measure points
4. Results
Table 1. Measuring and testing instruments
Measuring
Instruments
Installation
Number
4.1. Ground surface settlement
content Location Figure 5 shows the surface settlement along
Surface jacking Line 1 on the south bank observed during
level gauge Figure2, 3 25 pipe-jacking construction. The surface settlement
settlement
at measuring point 2 (labelled as MP2, in Figure 3)
Earth pressure sensor,
Earth pressure Figure2, 4 4 is 9 mm during pipe-jacking under the south bank
frequency device
and the total surface settlement is 27 mm. The
Pore water Piezometer, frequency
Figure2, 4 4
pattern of vertical displacements induced by pipe-
pressure device jacking construction is very similar. Heave
Lateral appeared in front of the leading pipe and the
Φ70 Inclinometer Figure 2, 4 5 maximum heave was recorded as 3.5 mm, which
displacement
occurred at MP12. As can be seen, the maximum construction after the pipe jacking head passed
heave at MP1, MP2, and MP13 was relatively small through the measure point A. But for measure point
in comparison with the other measuring points. The B, when pipe jacking head of Line 1 approached
minimum ground surface settlement was observed the measuring point, the lateral displacement
at MP11, almost in the middle zone of the south decreases while after the pipe jacking head passes
bank. Figure 6 depicts surface settlement along through the measure point, the lateral displacement
jacking Line 3 on the south bank and shows similar increases in opposite direction.
trends to those shown in Figure 5.
0
1th day
Pipe Section Number 3th day
0 20 40 60 80 100 120 140 160 180 16th day
5 18th day
MP 1 19th day
MP 2 5 20th day
0 MP 3
Depth (m)
Ground Surface Settment (mm)
24th day
MP 4 25th day
-5 MP 5 28th day
MP 6 34th day
-10 MP 7 36th day
10
MP 8
Line 3 Crossing
-15 MP 9
MP 10
-20 MP 11 -10 -5 0 5
MP 12 Lateral Displacement (mm)
-25 MP = Monitoring Point MP 13
MP 14
-30 Figure 7. Lateral displacement of measure point A
0 50 100 150 200 250 300 350 400 450
Jacking Path (m)
0
1th day Line 1 Crossing
4th day
Figure 5. Surface settlement of the south bank of 7th day
River Guan along jacking Line 1 8th day
9th day
5
Depth (m)
18th day
Pipe Section Number 21th day
0 20 40 60 80 100 120 140 160 180 22th day
5
27th day
0 MP 1 28th day
MP 2 10 32th day
G round Surface Settm ent (m m )
MP 3 36th day
-5
MP 4
Line 3 Crossing
MP 5
-10
MP 6 -10 -5 0 5
MP 7 Lateral displacement (mm)
-15 MP 8
MP 9
-20 MP 10 Figure 8. Lateral deformation of measure point B
MP 11
-25
MP = Monitoring Point 0
-30 5th day
0 50 100 150 200 250 300 350 400 450 6th day
Jacking Path (m) 7th day
14th day
15th day
18th day
Figure 6. Surface settlement of the south bank
Depth (m)
5 20th day
along jacking Line 3 21th day
22th day
30th day
Line 1 Crossing
4.2. Lateral displacement 32th day
Figure 7-9 shows the lateral displacement of 10

measure point A, B, C. The maximum lateral
-10 -5 0 5
displacement of measure point A is 13 mm at the Lateral defomation (mm)
depth of 7.5 m, 5 mm at the depth of 11 m, and 6
mm at the depth of 6.5 m, respectively. The
Figure 9. Lateral deformation of measure point C
maximum lateral displacement of point B is smaller
than point A and C, which is because that its
4.3. Pore water pressure and earth pressure
position is in the middle of Line 1 and Line 3. In
variation
additional, measure point A is mainly affected by
Figure 10 shows the variation of excess pore water
Line 1 and the measure point B is mainly affected
pressure for P1. At the initial stage of pipe-jacking
by Line 3. However, the effect on point A due to the
construction, the excess pore water pressure is
jacking of Line 1 and Line 3 is opposite. It can be
stable. When the pipe-jacking head approached
concluded that the trend of lateral displacement
the measure point closely, the excess pore water
along the jacking direction is similar for point A and
pressure increases to 6 kPa and then decreases
C. When pipe jacking head approached the
because of the unloading of the soil above and
measuring point A, lateral displacement of measure
ahead the excavated surface after the pipe-jacking
point is very small, but lateral displacement
leave the measure point. Then excess pore water
increases continuously with the pipe-jacking
pressure changes severely after the pipe-jacking been disturbed gradually, particularly nearby the
passed through the measure point. The maximum pipe jacking axis.
excess pore pressure reached 10.5 kPa which was
likely to be caused by the expansion of surrounding
soil due to the injection of highly pressurized
cement slurry. Finally, the excess pore water 6. ACKNOWLEDGEMENTS
pressure is tending towards stability.
The research work described herein is funded by
National Nature Science Foundation of China
10 10 (Grant No. 41072209). This financial support is
gratefully acknowledged.
Excess pore water pressure (kPa)
Incremental earth pressure (kPa)

8 Line 3 Crossing 8
6 6
4 4 7. REFERENCES
2 2
0 0 Attewell P.B., Selby A.R. (1989). Tunnelling in
-2 -2
compressible soil: large ground movements and
Line 1 Crossing structural implications. Tunnelling and
-4 E1 -4
P1 Underground Space Technology, Vol. 4, No. 4,
-6 -6 pp. 481-487.
0 10 20 30 40 50 Chou W.I. Bobet A. (2002). Prediction of ground
Time (day)
deformations in shallow tunnels in clay.
Tunnelling and Underground Space Technology,
Figure 10. Stress variation of E1 and P1 caused by Vol. 17, No. 1, pp. 3-19.
pipe-jacking construction Craig R.N. (1983). Pipe Jacking: a state of the art
review. Construction Industry Research &
Figure 10 also depicts the variation of earth Information Association, London.
pressure for E1. The pattern of pressure Ding L.P., Huang J.M. Huang H.W. (2007).
fluctuations is similar for both E1 and P1. The Analysis and monitoring of close parallel pipe-
reason for the change of earth pressure is the jacking. Chinese Journal of Rock Mechanics
excess pore water pressure. and Engineering, No. S2, pp. 1421-1425. (in
Chinese)
Hideki S., Saeid K. Kikuo M. (2004).Small diameter
5. Conclusions tunnel excavation method using slurry pipe-
jacking. Geotechnical and Geological
Field tests were conducted in this study to evaluate Engineering, Vol. 22, No.2 , pp. 161-186.
the environmental effects induced by parallel pipe- Wei G., Xu R.Q. Tu W. (2004).Testing study and
jacking construction. The observational data analysis on soil disturbance induced by pipe
include lateral displacement, ground surface jacking construction. Chinese Journal of Rock
settlement, pore water pressure and earth Mechanics and Engineering, No. 3, pp. 476-482.
pressure. The results can be summarised as (in Chinese)
follows:
1. When the pipe-jacking head approached the
monitoring points, there was ground surface heave;
however, after the pipe-jacking head passed
through the monitoring points, the ground surface
settlement was observed and this became greater
continued with the pipe-jacking construction.
2. Lateral displacement of the soil increased
along the jacking direction. When the pipe jacking
head approached the measuring points, lateral
displacement was small; but it increased as the
pipe-jacking construction continued.
3. After the pipe-jacking head passed through
the measuring points, the variation in trend of earth
pressure and pore water pressure was the same.
The effective stress decreased due to the
unloading of the soil above and ahead of the
excavated surface in the initial pipe-jacking
construction; the effective stress then increased
due to the grouting pressure resulting from the
grouting process after the pipe-jacking head
passed through the soil. In addition, the soil had
In-Situ Testing
GROUND VIBRATION ISOLATION ON HIGH SPEED RAIL LINES

ISOLATION DE VIBRATION AU SOL SUR LIGNES À GRANDE VITESSE
1 1 1 1
D. CONNOLLY , A. GIANNOPOULOS , W. FAN , M.C. FORDE
1
The University of Edinburgh, Edinburgh, Scotland
ABSTRACT - This paper investigates the effect of wave barrier dimensions on the ability of wave barriers to
reduce ground vibration levels from high speed rail lines. A combination of experimental and numerical tests
are used to show that wave barrier optimization can be used to significantly reduce construction costs while
maintaining high isolation performance.
First a numerical model is outlined capable of predicting ground vibrations from high speed rail lines. It is
then validated using experimental data from the Paris-Brussels high speed line.
The model is used to investigate wave barrier performance and it is shown that depth and length have a
strong influence on the mitigation of vibration levels but the effect of trench width is negligible. It is then
shown that utilization of these findings can provide construction cost savings of 95% when compared to a
base case.
1. Introduction Numerical modelling of railway vibrations is

computationally intensive and therefore previous
Rapid growth in high speed rail infrastructure has research has relied on making assumptions
led to numerous associated geotechnical regarding the modelling of the underlying problem.
challenges. One of these challenges is that the These assumptions include, but are not limited to:
amplitudes of ground borne vibration increase with approximating the problem as 2D, assuming the
speed and are greater that those from traditional excitation is stationary, or assuming the excitation is
rail. Therefore, when planning a new line through of an individual frequency.
urban environments it is vital that preventative This paper attempts to provide an in-depth
measures are available to reduce the negative investigation of the effect of trench dimensions on
impacts from vibration on both society and the vibration isolation. Modelling is undertaken using a
environment. fully 3D FEM model, with a multibody dynamics
One technique used to shield structures from approach used to simulate a moving train load, thus
excessive vibrations is to use wave barriers (a.k.a investigating the problem more realistically than
trenches). Wave barriers have been successfully before.
tested and used around Europe in Dusseldorf,
Brussels, Gnarp, Saffle, Stockholm and Uppsala
(Massarsch, 2005) and (François et al., 2012). 2. Computer modelling
When designing wave barriers, it is important
that their dimensions are optimised to facilitate 2.1. Vehicle modeling
maximum vibration shielding. Therefore a variety of
numerical modelling techniques have been used to The modelled vehicle was a Thalys high speed
investigate this problem. train. Each carriage was broken down into its
(Beskos et al., 1986) used a 2D frequency primary 3 components; the car, the wheels and the
domain Boundary Element (BE) approach to interconnecting bogies. A rigid, lumped mass,
analyse both open and in-filled trenches subject to multi-body dynamics approach was used to
a harmonic excitation. It was found that trench simulate their interconnected motion. The
depth and breadth were important parameters for equations of motion were solved using an explicit
vibration reduction. central differencing procedure and the wheels were
(Yang and Hung, 1997) used a frequency coupled to the track using a non-linear Hertzian
domain formulation of the Finite Element (FE) contact spring. This coupling is described by
method to investigate the role of various trench infill equation 1:
materials on vibration shielding. A key finding was
k H u w u r , u w u r 0
that the acoustic impedance ratio between the 1.5
Fwr
barrier and the soil materials should have been at
least 8. Fwr 0 uw ur ! 0 (1)
Authors such as (Di Mino et al., 2009) utilised
similar 2D FE models to (Yang and Hung, 1997) to
develop Neural Network models to investigate the uw u r is the rail
Where is the wheel displacement,
role of trench dimensions on vibration isolation. Fwr
displacement,
k H is the Hertzian constant and
is the rail/wheel contact force. Note that track 4. Trench modeling

irregularity was assumed to be negligible.
Wave barrier efficiency is related to the ratio
2.2. Track modeling between its geometrical dimensions and the
dominant wavelength(s) of the Rayleigh wave
In accordance with high speed track design as component of the vibration. Therefore, rather than
outlined in (International union of Railways, 1994) define trench dimensions using in absolute terms,
the track was composed of ballast, subballast and separate notation was used to define the ratio
subgrade layers respectively. Each of these parts trench dimensions to Rayleigh wave length
were truncated using an absorbing boundary (Equation 2). D, W, L and S are the trench depth,
condition to prevent reflections within the track width, length and distance from the track
structure. Half of each component, including the respectively (meters). λR is the dominant Rayleigh
sleepers, was symmetrical and thus only half of wavelength.
each required modelling.
d = D / λ R,
2.3. Soil modelling w= W / λR, (2)
l= L / λR,
For model validation the soil was assumed to be a 3 s = S / λR
layered linear elastic stratum with the properties as
found during MASW testing. To prevent boundary
reflections at the truncated model edges an
absorbing boundary condition was used, as
described in (Lysmer and Kuhlemeyer, 1969).
3. Model validation
The FE model was validated using experimental

results collected on a high speed rail line
connecting Paris and Brussels (Kouroussis et al.,
2011), (Connolly et al., 2013). The FE model was
constructed to replicated the underlying soil data Figure 2. – Wave barrier geometry layout
determined through MASW testing, and the
passage of a 265km/h Thalys high speed train was Rather than simulate a stationary, single
simulated. Figure 1 shows a comparison between frequency excitation, the trench was subject to the
the experimental and predicted velocity levels. passage of a moving high speed train. Therefore
the excitation was constantly changing position and
composed of a spectrum of frequencies.
The dominant train excitation frequency (12Hz)
was used to calculate the dominant Rayleigh
wavelength (7.7m) required for Equation 2. The
trench dimensionless quantities were: d=1, w=1/3,
l=6 and s=1.5, translating absolute dimensions of, D
= 7.7m, W = 2.54m, L = 46.2m (nearly the full width
of track) and S = 11.55m.
Each trench was modelled as an open trench
which has been shown numerically to be a
reasonable assumption (Massarsch, 2005). To
2
assess trench performance, a 1m area of surface
nodes was monitored for each test case. Then the
root mean squared vibration response (U.S.
Figure 1. – Velocity level comparisons Department of Transportation - Federal Railroad
Administration, 2005) was calculated and averaged
There is a high correlation between the FE over this area. Finally the average response was
model results and the field experiments. The PPV divided by the vibration level when no trench was
values are of similar magnitude for all receiver present. This gave an amplitude reduction ratio, as
locations and exhibit similar gradients of described by equation 3.
attenuation. Therefore it can be concluded that the
FE model is capable of predicting high speed rail Ar = RMStrench / RMSdefault (3)
vibrations with accuracy.
5. Numerical results amplitudes. Comparison between w=0.1 and

w=0.65 reveals that the performance benefit
5.1. Wave barrier depth achieved by this increase in width is negligible.
Figure 4 shows that changes in trench depth can

greatly affect its performance. When the trench
depth is d=0.1, only low levels of shielding are 5.3. Wave barrier distance from track
present, whereas when the depth is increased to
d=1, a high percentage of shielding occurs. The effect of the distance between track and trench
Vertical vibration levels are attenuated by the is shown in figure 6. Trench distance parameters
greatest amount (83%) which is important because above s=0.75 and below s=2.0 were chosen. It is
vertical vibrations are typically higher in amplitude unrealistic for trench parameters to be below
than horizontal vibrations, when induced by rail s=0.75 as they are very close to the track and may
traffic. Therefore vertical vibrations are the most interfere with the track supporting material.
critical condition. Despite this, horizontal vibration Distances greater than s=1 provide high levels
levels are also dampened by increasing trench of shielding from vibrations however, increasing the
depth from d=0.1 to d=1, albeit by a smaller amount distance beyond this point seems to not offer
(45%). Depth is likely to have a large effect on significant performance benefits. Distances very
vibration levels because deeper trenches better close to s=1 generate a magnification in horizontal
shield against Rayleigh waves which decay vibration levels and a minor one in the vertical
exponentially with depth. As Rayleigh waves carry direction.
the majority of wave energy (in comparison to their It is proposed that distances greater then s=1
compressional and shear wave counterparts), are superior in attenuating vibration levels because
shielding the observation point from them is highly body waves are dominant in regions close to the
effective. track and decay slowly with depth. Therefore if the
trench is close to the track then the body waves can
easily pass beneath the trench and the observation
point is not shielded.
Figure 4. – Wave barrier depth comparison
5.2. Wave barrier width

Figure 6. – Wave barrier distance comparison
5.4. Wave barrier length
Figure 5. – Wave barrier width comparison
The effect of wave barrier width on shielding

performance is shown in figure 5. For the range of Figure 7. – Wave barrier length comparison
width parameters tested (w=0.1-0.65), all were
found to offer significant ability to reduce vibration
Figure 7 shows the affect of trench length on wave The model was used to investigate the effect of
barrier performance for a trench placed at distance wave barrier depth, length, width and distance from
s=2. To the author’s knowledge, wave barrier the track on isolation performance. If was found
length has not been investigated before using a 3D that trench depth had a large effect on vibration
model and moving source. It is observed that reduction and more specifically, a depth greater
maximum vibration amplitude is reduced relatively than d=0.4 offered high performance. Trench width
linearly with increasing trench length. When trench was shown to only have a minor effect on
length is increased from l=1 to l=6, an amplitude performance meaning it could be minimised to
reduction of 85% occurs. This is caused because reduce construction cost while maintaining
all direct paths between source and receiver have performance. Similarly, trench distance from the
been disconnected and all waves must now travel track also had minor effect on isolation
under the trench, thus reducing the energy performance. Lastly, it was found that trench length
transmitted. has an effect on performance, and that as it was
increased, performance also increased relatively
linearly.
6. Practical considerations
Although different trench geometries have been 8. References

shown to affect trench performance in different Beskos, D, Dasgupta, B., and Vardoulakis, I.,
ways, it is important to consider the physical Vibration isolation using open and filled
practicalities and costs associated with trench trenches. Part 1: 2d homogeneous soil.
installation. Computational mechanics 1 (1986): 43–63.
For many of the dimensions considered in this Connolly, D, Giannopoulos, A., and Forde, M.C.,
paper, conventional backhoe excavation methods Numerical modelling of ground borne
cannot be utilised due to the high wave barrier vibrations from high speed rail lines on
depth to width ratio. Therefore hydro vacuum embankments. Soil dynamics and earthquake
excavation techniques must be used to break down engineering 46 (2013): 13–19.
the soil deposits and extract them using a vacuum. François, S., Design and efficiency of a composite
The remaining open trench can be filled with any vibration isolating screen in soil. Soil dynamics
material with low acoustic impedance (e.g. and earthquake engineering 39.39 (2012):
polyurethane resin). 113–127.
Overall trench installation costs are a function of Kouroussis, G, Verlinden, O., and Conti, G., Free
both material costs and labour. To investigate the field vibrations caused by high-speed lines:
effect of wave barrier geometry on project cost, measurement and time domain simulation.
3
excavation costs were assumed to be $310/m Soil dynamics and earthquake engineering
(plant, spoil and disposal) and polyurethane resin 31.4 (2011): 692–707.
3
was assumed to be $650/m (plant, labour and Lysmer, J, and Kuhlemeyer, R., Finite dynamic
3
materials). The total cost was $960/m . model for infinite media. Journal of the
3
Therefore for the 904m wave barrier described engineering mechanics 95(em4) (1969): 859–
in the ‘trench modelling’ sub-section the total 877.
installation cost is $868,000. Despite this, through Massarsch, K. R. Vibration isolation using gas-filled
optimisation of just the trench width (w=1/30) and cushions. Geo-frontiers. Austin, texas, 2005.
depth (d=0.4) the total cost can be reduced to 1–22.
$34,200. This represents an 80% decrease in Di Mino, Gaetano, Giunta, M., and Maurizio Di
vertical vibration, a 30% decrease in the x direction Liberto. Assessing the open trenches in
and a 57% decrease in the z direction, for screening railway ground-borne vibrations by
approximately 5% of the original cost. means of artificial neural network. Advances
in acoustics and vibration 2009.i (2009): 1–12.
U.S. Department of transportation - Federal railroad
7. Conclusions administration. High speed ground
transportation noise and vibration impact
Wave barriers have been used effectively in Europe assessment. 2005.
to isolate high speed rail vibrations. This study has Yang,Y, and Hung. H., A parametric study of wave
used numerical investigations to maximise isolation barriers for reduction of train-induced
performance and minimise construction costs by vibrations. International journal for numerical
investigating the performance of various trench methods in engineering 40.february (1997):
dimensions when subject to a moving high speed 3729–3747.
train excitation.
The numerical model was first outlined and then
validated using experimental vibration results
collected on a high speed line between Paris and
Brussels.
MEASURING DENSITY AND UNDRAINED SHEAR STRENGTH OF

RESERVOIR SEDIMENT USING ND-CPT
MESURE DE LA DENSITÉ ET DE LA RÉSISTANCE AU CISAILLEMENT NON
DRAINÉE D'UN RÉSERVOIR DE SÉDIMENTS À L'AIDE D'ESSAIS ND-CPT
Rui JIA1, Takenori HINO1 and Takaharu HAMADA1
1
Institute of Lowland and Marine Research, Saga University, Saga, Japan
ABSTRACT - The nuclear density cone penetration test (ND-CPT) was used to simultaneously measure the
density and undrained shear strength (su) of reservoir sediment inside the Isahaya Bay dike in the Ariake
Sea, Japan. The ND-CPT equipment was set on a boat, and a total of 24 ND-CPTs were conducted.
Furthermore, 10 undisturbed samples were obtained for laboratory density measurements to evaluate the
ND-CPT measurements. The values of density based on ND-CPT measurements were compared with those
from the laboratory tests on undisturbed samples, and the comparisons show that 95% of the ND-CPT
measurements lie within s10% of the laboratory measurements. The relations between density and su of
reservoir sediment inside the Isahaya Bay dike show that su obviously increases with an increase of the
density, and the values of log (su) show a linearly increasing trend with the density.
1. Introduction standard piezocone (ISSMFE, 1989). The upper

part, which is for density measurement, consists of
The piezocone is the most versatile and widely an inclinometer, a gamma ray source, a lead shield,
used tool for in situ soil exploration (Lunne et al., a density count gamma ray detector and a
1997). However, it is difficult to obtain the soil background count gamma ray detector and has a
density from the piezocone test. The nuclear diameter of 48.6 mm and length of 1124.5 mm. The
density probe was incorporated into the piezocone distances of the gamma ray source, density count
in order to measure the in situ density of a soil gamma ray detector and background count gamma
during cone penetration (Mimura et al., 1995; ray detector from the apex of the cone are 0.721 m,
Shibata et al., 1994). 0.986 m and 1.4535 m, respectively.
The nuclear density cone penetration test (ND-
CPT) has been used for soil investigations where
continuous data on the soil density are required,
and it can obtain reliable values of the soil density
(Dasari et al., 2006; Karthikeyan et al., 2007;
Shibata et al., 1994). However, there are few data
regarding the measurement of the density of
reservoir sediment using ND-CPT.
In this study, the reservoir sediments inside the
Isahaya Bay dike were investigated using ND-CPT.
The ND-CPT equipment and test method are
described first. Then, the typical ND-CPT results
are presented, and the values of the density
obtained from the ND-CPTs are compared with
those from the laboratory tests on undisturbed
samples. Finally, the relations between the density
and su for the reservoir sediments inside the
Isahaya Bay dike are presented.
2. ND-CPT equipment and test method
2.1. Description of nuclear density cone

penetrometer
Figure 1 shows the nuclear density cone

penetrometer. The lower part conforms to the Fig. 1 Nuclear density cone penetrometer
2.2. Density measurement principle and where A, B and C are constants whose values are
measuring volume 0.6264, 4.0954 and 6.8422, respectively, over a
3 3
density range from 1.0 g/cm to 2.2 g/cm .
The principle of the density measurement in the The density measurement is evaluated in an
ND-CPT relies on the Compton scattering of extended spheroid volume around the central point
gamma rays passing through matter. The gamma of the gamma ray source and density count gamma
rays emitted from the source collide and scatter ray detector, which is called the “measuring
repeatedly with atomic electrons in the material. In volume” (Fig. 1). In the figure, the value of 2b is
this process, parts of the gamma rays are absorbed 26.5 cm, which is the same as the distance
by the material, while others reach the detector. between the gamma ray source and detector of the
The amount of gamma rays reaching the detector is cone penetrometer used in this study. The value of
related to the density of the material, and thus, the a decreases with the increasing density of the
density of the material can be determined. The surrounding material, and it is approximately 24 cm
gamma ray source used in the cone penetrometer when the cone penetrometer is put in water (Dasari
is the radioactive isotope caesium-137 and the et al., 2006).
detector is the very commonly used NaI(Tl)
(thallium doped sodium iodide) scintillator with a 2.3. Locations of field investigation and test
photomultiplier tube. The strength of the method
radioisotope source (activity) is 3.7 MBq.
The count rate ratio Rρ is used to calculate the The locations investigated are shown in Fig. 2. A
soil density and is defined as total of 24 ND-CPTs simultaneously measuring the
density and undrained shear strength (su) were
DCR BCR conducted to investigate the properties of reservoir
RU (1) sediment inside the Isahaya Bay dike in the Ariake
SCR
Sea, Japan. Undisturbed samples at 10 locations
were obtained for the laboratory density
where DCR is the density count rate measured by measurements.
the density count gamma ray detector, BCR is the Because the investigations in this study were
background count rate measured by the conducted on the water and the reservoir
background count gamma ray detector (the amount sediments are very soft, the ND-CPT equipment
of natural gamma rays), and SCR is the intensity of was set on a boat, and the cone penetrometer was
the source before the test, and it can be measured penetrated by the self-weight (15 kg) and the
in an inactive material under controlled conditions. additional weight (60 kg). A winch was used to
The equation used to calculate the ρ of soils from control the up and down movement of the cone
the Rρ value is determined based on the penetrometer, and the penetration speed was
comparison of in situ measurements by ND-CPTs approximately 1-2 cm/s.
to laboratory measurements on thin-wall tube The undisturbed samples with a diameter of
samples of clay or frozen sand samples, and the 0.075 m and a height of 1 m were cut immediately
proposed relationship is as follows: after sampling into 50 mm slices in height for the
top 100 mm and then 100 mm in height for the
RU AU 2 BU C (2) remaining soils, and the average wet density of
each slice was measured.
Fig. 2 Investigation locations

3. Test results and discussion where Nkt is the empirical cone factor, which was 8
based on the comparisons between ND-CPT and
3.1. Typical ND-CPT results laboratory test measured su data.
The values of soil density obtained from the
Figure 3 shows the typical ND-CPT results at laboratory test are also shown in Fig. 3. It can be
location e1. The cone resistance (qc), the pore seen that the values of soil density obtained from
pressure (u), the sleeve friction (fs), the background the ND-CPT agree well with those from the
count rate (BCR) and the density count rate (DCR) laboratory test.
can be directly obtained from the ND-CPT. The
mean sea level is used as the zero level for depth 3.2. Evaluation of ND-CPT measured density
values. The penetration depth was approximately 4
m from the surface of reservoir sediment. A total of 102 laboratory data points of the density
In the figure, V v 0 is the total effective vertical from 10 boreholes at various depths obtained from
stress and can be calculated based on densities the laboratory tests are compared with those from
obtained from the ND-CPT. u0 is the in situ pore the ND-CPTs at the corresponding depths in Fig.
2
pressure. The corrected cone resistance (qt) can be 4a. In the figure, R stands for the square of the
calculated using the following equation: correlation coefficient of the linear regression. The
comparisons show good agreement. Statistical
analyses were performed between the ND-CPT
qt qc (1 a)u (3)
measurements and the laboratory data. Fig. 4b
shows a frequency histogram of the ratio of ND-
where a is the area ratio of the cone. In the column CPT to the laboratory density. The mean and the
labeled “Profile”, the fluid mud is assumed to be the coefficient of variation are approximately 1.02 and
sediments with densities that range from 1 to 1.2 4.9%, respectively. It was found that 95% of the
3
g/cm . The sediments under the fluid mud are field data points lie within s10% of the laboratory
classified by Robertson’s method (Robertson, measurements. The scattering of the data may be
1990). The ρ is calculated by Eq. (2). It is assumed caused by the limits of accuracy of the calibration
that the degree of saturation (Sr) of the reservoir equation for calculating the density from the count
sediments is 100%. Then, the water content (w) rate ratio Rρ.
can be calculated from the following equation:
3.3. The relations between the density and su
Us U
w (4)
Gs U U s The relations between density and su of reservoir
sediment inside the Isahaya Bay dike are presented
where ρs is the density of solid particles and Gs is in Fig. 5a. The su obviously increases with an
the specific gravity. The value of su can be increase of the density. The scattering of the data
estimated from the following equation: confirm that the density-su relation is site specific
even within a reservoir. The data of su are replotted
qt V v 0 in logarithmic form in Fig. 5b. Although the data are
su (5) scattered, the values of log (su) show a linearly
N kt
increasing trend with the density.
Fig. 3 Typical ND-CPT results (e1)

Fig. 4 Comparison of ND-CPT and laboratory test measured density data
Fig. 5 The relations between the density and su
ISSMFE. (1989). International Reference Test

4. Conclusions Procedure for Cone Penetration Test (CPT).
Report of the ISSMFE Technical Committee on
A total of 24 nuclear density cone penetration tests Penetration Testing of Soils-TC 16, with
(ND-CPTs) were conducted and 10 undisturbed Reference to Test Procedures, Swedish
samples were obtained to investigate the properties Geotechnical Institute, vol. 7, pp. 6-16.
of reservoir sediment inside the Isahaya Bay dike. Karthikeyan, M., Tan, T.S., Mimura, M., Yoshimura,
Based on the test results, the following conclusions M., Tee, C.P. (2007). Improvements in nuclear-
can be drawn. density cone penetrometer for non-
(1) The density values obtained from the ND- homogeneous soils. Soils and Foundations, vol.
CPTs agree well with those from the laboratory 47, no. 1, pp. 109-117.
tests on undisturbed samples. The comparisons Lunne, T., Robertson, P.K., Powell, J.J.M. (1997).
show that 95% of the ND-CPT measurements lie Cone penetration testing in geotechnical
within s10% of the laboratory measurements. practice. Blackie Academic & Professional,
(2) The relations between the density and su of London.
reservoir sediment inside the Isahaya Bay dike Mimura, M., Shrivastava, A.K., Shibata, T.,
show that su obviously increases with an increase of Nobuyama, M. (1995). Performance of RI cone
the density, and the values of log (su) show a penetrometers in sand deposits. Proceedings of
linearly increasing trend with the density. the International Symposium on Cone
Penetration Testing, CPT'95, vol. 2, pp. 55-60.
Robertson, P.K. (1990). Soil classification using the
5. References cone penetration test. Canadian Geotechnical
Journal, vol. 27, no. 1, pp. 151-158.
Dasari, G.R., Karthikeyan, M., Tan, T.S., Mimura, Shibata, T., Mimura, M., Shrivastava, A.K. (1994).
M., Phoon, K.K. (2006). In situ evaluation of Use of RI cone penetrometer data in foundation
radioisotope cone penetrometers in clays. engineering. Proceedings of 13th International
Geotechnical Testing Journal, vol. 29, no. 1, pp. Conference on Soil Mechanics and Foundation
45-53. Engineering, vol. 1, pp. 147-150.
SELECTION OF CHARACTERISTIC VALUES FROM CONE

PENETRATION TEST
DÉTERMINATION DE VALEURS CARACTÉRISTIQUES À L’AIDE DU
PÉNÉTROMÈTRE STATIQUE
1 2
Olsi KORETA , Erdi MYFTARAGA
1
Plus Communications, Division of technology, Dept. of deployment, Tirana, Albania
2
Polis University, Faculty of architecture, Dept. of human and applied sciences, Tirana, Albania
ABSTRACT - Geotechnical investigation has always been characterized by strong variability and
uncertainties at any extent. To overcome this barrier geotechnical professionals have traditionally used at a
large scale conservative soil properties, a procedure which is not compatible with Eurocode7. The standard
requires that uncertainties should be considered in a more consistent and objective manner using the
concept of characteristic value. Selecting the characteristic value of geotechnical parameters has many
difficulties and is still far from being clear. In this regard, statistics has proved to be a very useful tool in
characterizing soil variability, especially if combined properly and carefully with geotechnical engineering
judgment. Various approaches regarding the interpretation and selection of characteristic values of cone
resistance are compared and discussed in this paper. The applicability and compatibility of each method is
mainly affected from the trend and variability of the considered soil property with depth.
1. Introduction and data data are up to 17m deep, here only those up to
10m are elaborated. The CPT test has been
1.1. CPT profile carried out using a seismic piezocone and the main
data (cone resistance and sleeve friction) are
This paper deals with the selection of characteristic acquired every 5cm. The registered cone
values for cone penetration test. The analyzed resistance qc for GEE002 is plotted in Figure 1. Soil
cone penetration test (CPT) profile is taken from behavior type (SBT) is also available from the data
the survey made by USGS Earthquake Science and has been calculated according to the
Center (Holzer et al., 2010). classification developed by Robertson and
Campanella (1984). According to SBT the soil
profile is divided into two main layers. The first
layer is located from 0m to 4m below ground level
consists in a combination of silty clays and silty
sands. The second layer is located from 4m to 10m
and is a uniform sand layer. More exactly, the
boundary between layers can be located using
variance based methods, such as interclass
correlation coefficient (Wickremesinghe and
Campanella, 1991).
1.2. Filtering qc values
Filtering (or smoothing) qc data was considered

necessary in order to remove picks which does not
represent real increase or decrease in soil
properties, but are related to measurement
anomalies, measurement errors or to very thin
layers (lenses), irrelevant to geotechnical
calculation. This process can be done by different
ways and to several extents but is crucial to be
careful in order not to neglect important information
Figure 1.Plot of cone resistance, filtered cone or not to remove those data which represents
resistance and coefficient of variation. significant layers (Campanella et al., 1987). Several
techniques can be used for this purpose and here
The sounding name is GEE002 and is located in the mowing window method is used (Vessia and
Greene (Arkansas, USA). Although the available Cherubini, 2007). This method substitutes the
measurement qci at a specific depth with the which is a graphical method for comparing two
weighted mean mqci among qci and two proceeding probability distributions by plotting their quantiles
and following measurements (Equation 1). The against each other.
resulting profile is plotted in Figure 1 and the The normal and lognormal distributions are
smoothing is quite apparent. preferred in geotechnical design because they are
relatively simple and well known from engineers.
0.2(qci−2 +qci+2 ) +0.4(qci−1 +qci+1) +0.8qci Both have shown to fit very well with the distribution
mqci = (1) of many geotechnical parameters but the lognormal
2 distribution is often more suitable (Bond and Harris,
2008), due to the advantage of taking only positive
1.3. Descriptive statistics of data values (as is the case in most geotechnical
parameters). From the Q-Q plots results it was
In order to assess the variability of qc data with the concluded that the normal distribution has a better
depth the coefficient of variation (CoV) was compliance with the available qc data.
calculated and plotted (Figure 1). CoV is defined as
the ratio between the standard deviation and the
mean of a given set of data. Here CoV is calculated 2. Characteristic values of qc
in three approaches: firstly, for all the set of qc;
secondly, separately for each identified soil layer; 2.1. Defining characteristic values
thirdly, for sublayers of 50cm. The division in such
thin sublayers is done to represent the variation in Selecting the characteristic values, for both loads
a continuous way and to have minimal range and resistances, is a crucial step in performing a
among qc values. Moreover, 50cm is also the design according to the semi-probabilistic method
minimal acceptable thickness for the sublayer in (partial factor method) introduced in Eurocode7. In
order to have at least 10 data for a set (we have qc a simplified way, we can say that the process of
measurements every 5cm) and for the CoV to be characterization of soil properties consists in
representative (Campanella et al., 1987). selecting appropriate characteristic values and then
factoring them by the respective partial factors in
Table 1.Descriptive parameters of qc data order to have design values (Pohl, 2011). The code
Statistical All Layer 1 Layer 2 despite giving a definition for what is a
parameter (0-10m) (0-4m) (4-10m) characteristic value, it doesn’t give a procedure to
Mean 12,08 6,49 15,80 calculate it and this has lead to several
interpretations.
Standard error 0,37 0,27 0,25 Eurocode1990 “Basis of design” defines the
Standard characteristic value as a 5% fractile value, when a
5,28 2,44 2,78
deviation low value of the material is unfavorable (EN 1990).
CoV [%] 44 38 18 This definition works well for man-made materials
(which have relatively low variability of their
Sample properties) and fails when applied to geotechnical
27,92 5,96 7,73
variance parameters, due to the high variability. This has
Count 200 80 120 lead to a different interpretation value in the
Eurocode7 “Geotechnical design”, which states
As it can be inferred from the graph there is a “the characteristic value of a geotechnical
higher variation of data in the first (upper) layer parameter shall be selected as a cautious estimate
than in the second one. The values of CoV for each of the value affecting the occurrence of the limit
layer are respectively 38% and 18%, while the CoV state” (EN 1997-1).
for the entire profile is even higher 44%. The lover A key aspect is that in geotechnical design the
variation of qc values in each layer can be justified occurrence of a limit state is dependent on the
by the relative homogeneity of qc in one layer, average value of the governing parameter in a
which is visually perceptible. relatively large zone, much larger than e sample
Table 1 summarizes some of the most important size. From this point of view is important to assess
descriptive statistical parameters for all the data set how much ground is involved or is relevant to the
and for each layer separately. For qc values, occurrence of a specific limit state (Bond and
histograms are plotted in order to asses the best Harris, 2008). The occurrence of limit state is also
theoretical distributions that they fit and on this related to other aspects such as the structural
purpose normal and lognormal distributions are system, foundation system, and building functions.
considered. The compliance between the real and Due to the above specifics it is reasonable to think
theoretical (normal and lognormal) distribution for of the determination of characteristic values as a
each set of data should be verified. First, this must complex and case dependent procedure. Other
be done visually and than by using a hypothesis factors affecting the selection of characteristic soil
test (Pohl, 2011). The results of this comparison properties are: the existing background information
can be demonstrated using the Q-Q plot technique of site, the required level of probability (confidence
level), type and number of samples and extension
of investigation, calculation model, etc (Schneider in the same time have to be appropriately simple, in
and Fitze, 2011). order to be easily used during calculations.
2.2. Selecting characteristic values
As a summary it can be stated that the

characteristic value should be selected as a
cautious estimate of the spatially averaged value of
a property for a relevant soil volume. Statistically,
the 95% confident assessment of that mean value
is required. Apart this, we have also used other
confidence levels (including 5% fractile approach)
in order to assess what are the differences
between approaches. The confidence level has to
do with the cautious estimate (degree of caution) of
the mean (or selected trend line between data) and
is quantitatively expressed in a simplified way by
the below equation:
qck = qcmean ± K ⋅ s (2)
Where: qcmean represents the mean value of qc for a

specific depth (or the value in the trend line); s is
the standard deviation of qc data for all the soil Figure 2.Characteristic values of qc using best fit
profile or for a selected set (any of profile layers); K line.
is a statistical coefficient that takes into account the
sample size (n), the confidence level (α) and the
chosen probability distribution.
The applied confidence levels in this paper are
presented in the Table 2. They differ from each
other from the value of K, i.e. from the applied
confidence level.
Table 2. Confidence levels (Marques et al., 2011).

Method Characteristic value, qck
Simple mean/best fit line q
cmean
values
Shchneider equation qcmean − 0.5 ⋅ s
1.645
Ovesen equation qcmean − ⋅s
n
1
50% fractile qcmean − tn95%
−1 ⋅ ⋅s
n
5% fractile qcmean − 1.645 ⋅ s
Figure 3.Characteristic values of qc using arithmetic
In Table 1: n represents the degrees of freedom mean (left). Respective residuals for qc (right).
(sample number); tn-195% represents the Student’s t-
value for n-1 degrees of freedom and confidence In this aspect, we have used three approaches:
level of 95% for a normal distribution (Bond, 2011). - best fit line for all the profile using linear
regression analysis available in Excel>Data
analysis>Regression (Bond, 2011)
3. Calculating and plotting characteristic qc - best fit line (with the same method as above)
values for each soil layer separately
- arithmetic mean values for each soil layer
The first step in plotting the characteristic qc line is separately
to plot an initial line (below referred as trend line) The above described trend lines are plotted in
that represents somehow the averaging or trend of Figure 2 and Figure 3 (left). Then, the residual
the existing qc values. Such trend lines have to fit values of qc are calculated for each trend line and
well with the trend of the data versus the depth and are also plotted (Figure 3 (right). The residuals are
expressed as the difference between qc values measurements of qc are taken every 5cm, we have:
from CPT test and qc values predicted by the trend 200 data in total, 80 and 120 for each layer
line, for each approach. The histogram and the respectively.
fitting normal distribution for each set of residuals Schneider’s equation gives a more conservative
for best fit approach are shown in Figure 4 and on line than 50% fractile. Visually it looks a very
this basis the respective standard deviations are appropriate line but is difficult to quantify or to
calculated. Using the expressions described in measure on this aspect.
Table 2 (that express the confidence levels) and
the standard deviations of each residual set, the
characteristic lines for each approach are 5. References
established and plotted (Figure 2 and Figure 3).
$QPF#,
#RTQEGFWTGHQTFGVGTOKPKPIVJG
EJCTCEVGTKUVKE XCNWG QH C IGQVGEJPKECN
RCTCOGVGT 2TQE 6JKTF +PV 5[OR QP
)GQVGEJPKECN5CHGV[CPF4KUMRRŌ
Bond A. J., Harris A.J. (2008) Decoding Eurocode
7. Taylor and Francis, London, 608pp.
%CORCPGNNC 4) 9KEMTGOGUKPIJG &5 CPF
4QDGTVUQP 2-
5VCVKUVKECN VTGCVOGPV QH
EQPG RGPGVTCVKQP VGUV FCVC 2TQE VJ
+PVGTPCVKQPCN %QPHGTGPEG QP #RRNKECVKQPU QH
2TQDCDKNKV[ CPF 5VCVKUVKEU KP 5QKN CPF 5VTWEVWTCN
'PIKPGGTKPIRR
'0 'WTQEQFG ō $CUKU QH UVTWEVWTCN
FGUKIP
'0'WTQEQFG)GQVGJPKECNFGUKIPŌ2CTV
)GPGTCNTWNGU
Figure 4. Histograms and Q-Q plots of residuals for *QN\GT6.0QEG6'CPF$GPPGVV/,

best fit approach /CRU CPF FQEWOGPVCVKQP QH UGKUOKE %26
UQWPFKPIU KP VJG GCUVGTP EGPVTCN CPF YGUVGTP
7PKVGF5VCVGU75)GQNQIKECN5WTXG[1RGPHKNG
4. Results and conclusions 4GRQTVRVCDNGU
/CTSWGU5*)QOGU#6CPF*GPTKSWGU##
As can be seen from the graphs in Figure 2 and
4GNKCDKNKV[ #UUGUUOGPV QH 'WTQEQFG
Figure 3, it is difficult to get a single line (value) for 4GVCKPKPI 5VTWEVWTGU &GUKIP /GVJQFQNQI[
characteristic values of qc. This rises due to 2TQE 6JKTF +PV 5[OR QP )GQVGEJPKECN 5CHGV[
different available approaches, subjectivity during CPF4KUMRRŌ
the cautious estimate process, and of course due 2QJN %
&GVGTOKPCVKQP QH EJCTCEVGTKUVKE UQKN
to the large variability in qc values. XCNWGU D[ UVCVKUVKECN OGVJQFU 2TQE 6JKTF +PV
According to the histograms in Figure 4, we can 5[OR QP )GQVGEJPKECN 5CHGV[ CPF 4KUM RR
see that the residuals of the used approaches have Ō
a good compliance with theoretical normal 5EJPGKFGT*4CPF(KV\G2
%JCTCEVGTKUVKE
distributions. This is more visible when we deal with UJGCT UVTGPIVJ XCNWGU HQT '% )WKFGNKPGU
each soil layer separately, due to the homogeneity DCUGF QP C UVCVKUVKECN HTCOGYQTM 2TQE :8
of values in one layer. On the other side the first 'WTQRGCP %QPH QP 5QKN /GEJCPKEU CPF
approach gives larger residuals which don’t fit so )GQVGEJPKECN'PIKPGGTKPI
well with normal distribution. This encourages the 8GUUKC ) %JGTWDKPK %
2GPGVTCVKQP VGUV
idea to treat the CPT profile according to soil OGCUWTGU HQT OGEJCPKECN EJCTCEVGTK\CVKQP QH
layers. UCPF[ FGRQUKVU CV 5ECP\CPQ ,QPKEQ
Some conclusions can be highlighted from the IGQUVCVKUVKECN OGVJQFU HQT XCTKCDKNKV[
characteristic lines plots. It is easily visible the large KPVGTRTGVCVKQP 2TQE (KTUV +PV 5[OR QP
conservationism of the 5% fractile approach, )GQVGEJPKECN5CHGV[CPF4KUMRR
enhancing once again the non-applicability of this 9KEMTGOGUKPIJG &5 CPF %CORCPGNNC 4)
method for properties with very large variability, as
5VCVKUVKECNOGVJQFUQHUQKNNC[GTDQWPFCT[
most of geotechnical properties are. In all the NQECVKQP WUKPI VJG EQPG RGPGVTCVKQP VGUV 2TQE
approaches Ovesen’s equation and 50% fractile VJ +PV %QPH QP #RRNKECVKQP QH 5VCVKUVKEU CPF
method give very similar results. Basically they are 2TQDCDKNKV[KP%KXKN'PIKPGGTKPIRR
the same line and only one of them is plotted.
Another interesting aspect is that the
characteristic line according to 50% fractile method
is really close to the initial trend line. This is due to
the large number of data available. Since
ASSESSMENT OF RELATIONSHIP BETWEEN INSITU MODULUS

DERIVED FROM DCP AND LFWD TESTING
EVALUATION DES CORRÉLATIONS ENTRE MODULUS IN-SITU OBTENUS À
PARTIR D’ESSAIS AU DCP ET AU LFWD
David LACEY1, Dr. Burt LOOK1 and Professor David WILLIAMS2
1
Sinclair Knight Merz (SKM), Brisbane, Australia
2
The University of Queensland, Brisbane, Australia
ABSTRACT – The quasi-static Light Falling Weight Deflectometer (LFWD) load test has been developed to
directly estimate the modulus of a near surface profile. This paper considers the use of the LFWD as a
geotechnical investigation and site profiling tool of near-surface profiles. The suitability of using the LFWD as
such is discussed by comparison of the insitu modulus (ELFWD) determined by the LFWD with the results of
Dynamic Cone Penetrometer (DCP) testing at three sites in South East Queensland, Australia. Analysis of
the side-by-side testing indicates that the results of each test are related and thus the DCP penetration rate
can be used to directly estimate the insitu modulus. This is confirmed by FEM modeling of the LFWD test in
which a profile’s response to the dynamic loading was found to vary over the identified zone of influence.
1. Introduction ELFWD = 2191 / PR (R2 = 0.72) (2)
The design of pavements and foundations is The two listed relationships have been derived
based on the strength and deformation properties solely from testing of compacted fill materials
(modulus, E) of the bearing stratum/s. Commonly, (subgrade / embankment) or uniform construction
near-surface modulus values are determined via materials (processed clay, sands and gravels)
correlation with material strength based on within controlled conditions. Accordingly, any
penetration test data, either from field (eg. Dynamic inherent (residual) strength or structural properties
Cone Penetrometer, DCP) or laboratory completed present within a natural soil profile would not have
penetration tests (eg. California Bearing Ratio, been observed during these tests.
CBR). Such tests are generally preferred over Numerous other DCP to CBR and CBR to E
insitu deformation tests (eg. Plate Load Test, PLT) relationships have also been previously published.
due to the relative simplicity, comparative low cost Although beyond the scope of reporting within this
and speed of completion of the penetration tests. paper, the use of various configurations of such
This paper examines the potential relationship relationships can result in a large variation of E
that exists between determination of insitu modulus values being derived from a single DCP value.
values via the Light Falling Weight Deflectometer A smaller set of relationships that directly
(ELFWD) and rod penetration rates observed during correlate DCP to E values have also been
DCP tests. This has been achieved via the published. However, as these relationships have
completion of side-by-side Light Falling Weight generally been defined either from manipulation of
Deflectometer (LFWD) and DCP tests completed DCP to CBR and CBR to E relationship pairs, or
upon various material profiles at a number of sites relate to specific modulus tests not utilised in the
within South East Queensland, Australia. investigations completed herein (eg. PLT, FWD),
they are not considered directly appropriate for
inclusion in this literature review.
2. Existing Relationships
Seyman (2001) and Nazzal et. al. (2007) have 3. Equipment & Test Procedures
both directly correlated measured ELFWD values and
DCP penetration rates using a 600 cone, and their Two (2) pieces of insitu testing equipment have
published relationships are reproduced in been used in this comparative study, namely the
Equations (1) and (2), respectively. Both DCP and LFWD. DCP tests completed as part of
relationships utilise DCP rod penetration per this investigation have been completed in general
hammer blow (PR, measured in mm / hammer accordance with AS1289.6.3.2 (1997). Note that
0
blow) and the same brand of LFWD employed by the DCP equipment used incorporates a 30 cone,
the current study, albeit with a different sized a 510mm drop height and a 9kg mass, compared
(200mm diameter) bearing plate. to the 600 cone, 8kg mass and 575mm drop height
commonly used in other global regions.
ELFWD = 5301.54 / (8.31 + PR1.44) (R2 = 0.87) (1) The LFWD employed in this study is the Prima
Table I. Details of investigated sites and summary of results of completed insitu testing (600mm profile)
No. DCP Tests Composite Modulus
Site (PR, mm/blow) (ELFWD, MPa)
Material of
ID
Tests Range Ave. Range Ave.
Loose alluvial sands (ave. 400mm thick)
A 15 100 – 20 60 5 – 81 27
overlying residual Clayey Sand and Sandy Clay
Stiff residual Sandy Gravelly Clay / Clayey
B 17 100 – 17 50 5 – 164 42
Sandy Gravel (FILL)
C Stiff residual Sandy Clay, tending to XW Rock 4 100 – 6 12 8 - 160 66
100 manufactured by the Danish company Grontmij 0.35 has been adopted for all materials, along with
A/S. The testing was generally completed in a stress distribution factor of 2, as recommended
accordance with ASTM E2835 – 11 (2011), and the by Prima 100 user guide (Grontmij, A/S, 2011).
recorded load / deformation traces transformed into Average ELFWD values of each test have been
a composite elastic modulus value (ELFWD) via use determined after filtering seating blows and outliers
of static elastic theory (refer Lacey et. al., 2012a). from the constructed dataset of each test.
Corresponding average DCP penetration rates
(DCPXXX, normalised to number of hammer blows
4. Site Investigations per 100mm rod penetration) for various depths of
subsurface profile – 150mm, 300mm, 450mm and
The data considered in this study was obtained 600mm, corresponding to 0.5, 1.0, 1.5 and 2.0
by completion of side-by-side DCP and LFWD times the LFWD plate diameter (D) respectively –
tests, conducted at a three (3) spatially separate are also included in this table.
locations during recent (2012) geotechnical From the DCP penetration rates included in
investigations within South East Queensland, Table II, it can be observed that all subsurface
Australia. All tests were completed upon and within profiles generally increase in strength with depth,
profiles of natural materials. The natural profiles and that Site C is comprised of significantly stiffer
consisted largely of residual sand and clay mixtures material than that within the Site A and B profiles.
(ie. sandy clay / clayey sand). At a single site, Site
A, residual material was overlain by up to 400mm
of loose, alluvial sand within some discrete areas. 6. Comparison with FEM model of LFWD test
Each LFWD test was completed using a 300mm
diameter plate and the corresponding DCP profile Average pressure / settlement / time curves
was extended beyond the expected maximum zone were produced for each site and drop height
of influence (2D = 600mm) of the LFWD test. All combination. The pressure vs. time functions
LFWD tests comprised the determination of ELFWD (representative of the dynamic nature of the LFWD
values based on three (3) distinct weight drop test) were input into the Sigma/W Finite Element
heights – 210mm, 420mm and 610mm – which Method (FEM) modelling program (v. 7.19, Geo-
corresponded to an applied load of approximately Slope, 2012), and the modulus required to match
3kN, 5kN and 7kN respectively. the averaged field observed settlement response
Table I details the number of tests completed at was calculated (via use of an axi-symmetric model,
each site, along with a brief description of the assuming homogeneous, isotropic conditions and
subsurface profile and basic statistics for the application of linear elastic theory). For each of the
comparison tests completed. FEM models, the input E value required to replicate
observed maximum deformation magnitude under
the applied load / time function was within 5% of
5. Results of Investigations the averaged ELFWD value, signifying a good match
between the modelled and field results.
From the investigations undertaken, the Inspection of the vertical stresses generated by
modulus (ELFWD) and DCP profiles have been the FEM model was completed by estimation of the
compared. Table II summarises the comparable variation of the percentage of maximum load
average values for each tested location, experienced across the tested subsurface profile.
categorised by applied load (ie. by adopted weight As shown in Figure 1(a), the full load magnitude
drop height). A consistent Poisson’s ratio of is transmitted to a depth of 50mm before
Table II. Summary of LFWD results categorized by applied load and variation of average DCP penetrations
No. of Average ELFWD (MPa) Average DCP (Hammer Blows / 100mm Penetration)
Site
Tests 3kN 5kN 7kN Top 150mm Top 300mm Top 450mm Top 600mm
ID
(n) Load Load Load (DCP150) (DCP300) (DCP450) (DCP600)
A 15 30 25 24 1.1 1.3 1.5 1.7
B 17 45 42 39 1.6 1.8 1.9 2.1
C 4 60 63 79 4.3 6.3 7.5 8.5
When considering individual sites, the highest

R2 values were consistently calculated when the
PR300 and PR450 values were used for comparison.
This suggests that the produced ELFWD values are
most influenced by the state of the top 300 to
450mm of subsurface profile. This R2 response
consistent with the FEM models constructed, in
which the depth of observed strain response was
found to be approximately 300mm and stress
magnitude found to be only 15% of the applied load
at depths of 450mm.
The findings of this study are consistent with
previous estimates of the LFWD zone of influence
for use with the 100mm (Lacey et. al., 2012a),
Figure 1. FEM modelled (a) vertical stress and (b) 200mm (Nazzal et. al., 2007) or 300mm diameter
vertical strain profiles for LFWD load variations plates (Mooney and Miller, 2009); all of whom all
indicated that resultant ELFWD values was largely
diminishing rapidly to 83% at 100mm, 50% and determined by the state of material found within
200mm and 30% at 300mm. Less than 10% of the 250 to 350mm below the test site. This is in
original load magnitude is transmitted to a depth of contrast to the accepted zone of influence of 2D
600mm (2D), and the minimum modelled stress typically attributable to a PLT.
values associated with the 3, 5 and 7kN loads Lacey et. al. (2012b) derived weighting factors
correspond to depths of approximately 400, 500 to DCP profiles to account for the varying stress
and 600mm respectively. magnitude with depth, based on FEM modelling of
Figure 1(b) displays similar FEM analysis output the static PLT. Reapplication of this technique to
for vertical strain, suggested by Mooney and Miller the results of the FEM modelling of the dynamic
(2009) to be more appropriate for estimation of LFWD test, as noted herein, has produced similar
LFWD measurement depth. This analysis shows DCP weighting factors applicable to the LFWD test.
that the magnitude of strain is effectively constant 2
The R value becomes effectively constant for
beyond a depth of approximately 300mm. derived correlations when these weighting factors
are utilised, regardless if DCP300, DCP450 or DCP600
values are adopted. This suggests that weighting of
7. Correlation of ELFWD with average DCP values the DCP data correctly accounts for the limited
influence the lower sections of the depth profile
The applicable correlation has been derived have on the ELFWD value, and simple averaging of
between the averaged DCP and ELFWD values for DCP data over the full 600mm zone through which
each individual site investigated, the entire dataset some magnitude of stresses are imparted during
combined and for a Site A and B combined dataset the completion of an LFWD test is not appropriate.
(included due to observed similar relationships). To The best-fit relationships, as presented in Table
keep the results of this study consistent with III, are in general agreement with the previously
previous relationships presented in the literature, proposed relationships, as shown in Figure 2. The
the averaged DCP values have been converted to full-datatset relationship derived by this study using
average PR values. the PR300 values sits between the relationships
The applicability of each developed relationship proposed by Nazzal et. al. (2007) and Seyman
was evaluated by calculation of the Coefficient of (2001) for average DCP blow counts of between 1
2
Correlation value (R ). The best-fit relationships are and 5 per 100mm rod penetration, which
detailed in Table III, and have been derived using corresponds to soil materials of consistency up to
of the SPSS software suite (v. 18, 2009). medium dense / stiff.
Table III. Best-fit correlations for ELFWD (MPa) values from average DCP PR (mm / hammer blow) profiles
Site ID n Top 150mm (PR150) Top 300mm (PR300) Top 450mm (PR450) Top 600mm (PR600)
310 / (PR1500.375) 430 / (PR3000.663) 480 / (PR4500.714) 45 + (1 / PR6000.25)
A 15
(R² = 0.26) (R² = 0.32) (R² = 0.32) (R² = 0.29)
e[2.3 + 73 / (PR150)] e[1.8 + 94 / (PR300)] (4990 / PR450) - 53 (4195 / PR450) - 46
B 17
(R² = 0.38) (R² = 0.65) (R² = 0.66) (R² = 0.59)
(2100 / PR150) - 32 e[1.7 + 30 / (PR300)] e[1.6 + 26 / (PR450)] e[1.5 + 24 / (PR600)]
C 4
(R² = 0.88) (R² = 0.96) (R² = 0.90) (R² = 0.73)
e[2.3 + 72 / (PR150)] e[2.1 + 77 / (PR300)] e[2.0 + 78 / (PR450)] (2575 / PR600) - 14
A&B 32
(R² = 0.38) (R² = 0.52) (R² = 0.48) (R² = 0.43)
10.7 + (1575 / PR150) 600 / (PR3000.741) 17.6 + (850 / PR450) 18.5 + (735 / PR600)
All Data 36
(R² = 0.46) (R² = 0.44) (R² = 0.38) (R² = 0.33)
Based on the results of the comparable tests, a

correlation between the DCP’s rate of penetration
(PR) and the insitu modulus, as determined by the
LFWD (ELFWD), has been derived. The best fitting
relationships were generally found to exist when
the DCP profile relating to the top 300mm of the
subsurface profile was compared to the ELFWD
value. This is consistent with the output of FEM
models of the LFWD, in which the stress and strain
responses due to surface loading are largely
confined to such depths.
This study investigated the PR:ELFWD
Figure 2. Derived PR300:ELFWD relationship plotted relationship for, predominantly, residual soil
against existing correlations materials. The derived PR:ELFWD relationship was
found to effectively match, for “softer” soil
For stiffer materials (from PR
20mm to DCP materials, comparable published relationships
test termination value, PR < 5mm) the relationship produced from similar testing of fill and uniform soil
derived from the analysed data suggests that both materials. For stiffer materials, the relationship
the previously published correlations overestimate derived by this study produced lower ELFWD values
the ELFWD value, by between 35 and 140%. This than previously reported, interpreted to be due to
may potentially be due to either: (a) previous others having used artificial (cement stabilised)
studies only investigating treated construction materials for all testing completed within this range.
(cemented clay) materials within this region of This confirms the hypothesis that the LFWD
modulus values, in contrast with the residual offers the ability to quickly estimate an insitu
profiles (with varying gravel content) investigated deformation parameter during geotechnical
by this study; or (b) variation in DCP penetration investigations, thus removing the need for a
rates within the range of higher stiffness values due designer to rely solely on generic correlations of
to DCP cone size variation (600 vs. 300). modulus with simpler penetration tests (eg. DCP /
For materials with PR > 100mm (or DCP
1), CBR) when defining stiffness values for foundation
the inferred modulus values determined by the full- and pavement design.
dataset relationship presented in this study
compare favorably (±20%) to those previously
defined by Nazzal (2007), but are considerably 9. References
higher (65%) than the values calculated by the
Seyman (2001) relationship. Geo-Slope International (2012). Sigma/W (from
The data collected and examined in this study Geostudio v7.19), Calgary, Canada
has also shown a sizable decrease in the strength Grontmij A/S (2011). Prima 100 LWD user manual
of the derived PR:ELFWD correlation. Although an Lacey, D., Look, B. and Williams, D. (2012a).
extremely strong correlation was found between Assessment of the compatibility between, and
the LFWD modulus and PR values for Site C (R2 = zone of influence of, PLT and LWFD tests 9th
0.96), the overall correlation calculated for the ANZ Young Geotechnical Professionals
PR300 dataset of R2 = 0.44 is significantly lower Conference (9YGPC), 11-14 July, Melbourne
than the comparable values reported by both Lacey, D., Look, B. and Williams, D. (2012b).
Seyman (R2 = 0.72) and Nazzal (R2 = 0.82). The Evaluation of subgrade modulus using weighted
lower overall R2 value, although itself considered depth profiles. International Journal of
evidence of a moderate relationship between the Geotechnical Engineering, Vol. 6 (2) pp.215-222
results of the two tests, is considered likely due to Mooney, M.A. and Miller, P.K. (2009). Analysis of
this study’s deployment of the LFWD directly upon lightweight deflectometer test based on in situ
natural materials. It is expected that greater natural stress and strain response. Journal of
variation of properties would exist within the Geotechnical and Geoenvironmental
residual profiles tested than present within sites Engineering, Vol. 135 (2), pp.199-208
prepared either via field construction methods Nazzal, M.D., Abu-Farsakh, M.Y., Alshibli, K. and
(controlled placement and compaction of fill) or Mohammad, L. (2007). Evaluating the light
under laboratory conditions. falling weight deflectometer device for in situ
measurement of elastic modulus of pavement
Layers Journal of the Transportation Research
8. Conclusions Board, No. 2016, pp. 13-22
Seyman, E. (2001). Laboratory evaluation of in-situ
Geotechnical investigations of residual tests as potential quality control/quality
subsurface profiles present within spatially assurance tools. Master of Science Thesis,
separate sites in South East Queensland, Australia, Bogazici University, Istanbul, Turkey
side-by-side insitu penetration (DCP) and load- SPSS Inc. (2009). PASW Statistics for Windows,
deformation (LFWD) tests have been completed. Version 18.0. Chicago: SPSS Inc.
ANALYSIS OF OVERCONSOLIDATION EFFECT IN ALLUVIAL

SUBSOIL USING CPTU AND DMT
ANALYSE DE L’EFFET DE SURCONSOLIDATION EN SOUS-SOL ALLUVIAL
EN UTILISANT CPTU ET DMT
Katarzyna STEFANIAK
Poznan University of Life Sciences, Pozna, Poland
ABSTRACT - The paper presents an analysis of values of the overconsolidation ratio using formulas based
on CPTU static penetration and dilatometer testing (DMT). The reported results concerned two groups of
alluvial deposits, i.e. normally consolidated (NC) and overconsolidated (OC), differing in their genesis.
Moreover, a concept was proposed for the identification of overconsolidation in such deposits.
1. Introduction such as silty soils; silty sands (PS), silts (3, sandy

silts (3p). Analyses were conducted on two
The phenomenon of overconsolidation is stratigraphically different types of silty soils, i.e.
connected with loading history and soil genesis, i.e. normally consolidated (NC) and overconsolidated
a series of geological processes occurring in the deposits (OC). The former group of analyzed soils
subsoil, influencing the formation of a specific soil (NC) are holocene, eluvial and alluvial sandy silts
structure. The overconsolidation effect is observed (3p) and silts (3). The latter group of deposits (OC)
in soils, which exhibit better mechanical properties comprises pleistocene silty sands (3p) and sandy
than it could have been expected when analyzing silts (PS) of the Leszno phase of the Vistulian
the current state of stress in the subsoil. Such a (Würm) glaciation. Investigation plots with sandy
status may be reached by soil due to geological silts and silts representing normally consolidated
processes (e.g. erosion, changes in ground water soils are located in the area of Guchów, while
levels) or as a result of engineering activity (e.g. sandy silts and silty sands representing
foundation of a building, digging of a trench) overconsolidated deposits are found in the northern
(Wierzbicki, 2010). part of Pozna . Typical subsoil profile is presented
Analysis of the overconsolidation effect in the in Figure 1.
subsoil based on overconsolidation ratio values
(OCR) (as defined by equation 1) and K0 is
essential when evaluating strength and
deformation parameters of soil, while it also
facilitates collection of additional information in the
stratigraphy of the tested deposits (Wierzbicki
2010; Mynarek et al., 2012).
OCR V 'p / V v' 0 (1)
where: ’p - preconsolidation pressure,

’v0 – component of effective geostatic stress
These soils, under certain conditions considered

to be of poor load-bearing capacity, are frequently Figure 1. Penetration characteristics from CPTU
found in Poland and they exhibit properties and testing profiles of analyzed silty soils
characteristic of both cohesive and non-cohesive
soils (Stefaniak, 2011). The paper discusses the
assessment of the overconsolidation effect in 3. Assessment of subsoil overconsolidation by
alluvial deposits, particularly the group of silty soils. in situ methods
Analysis of the overconsolidation ratio is

2. Characteristics of tested soils conducted separately for cohesive and non-
cohesive soils and to date no separate procedures
Alluvial soils are formed in the process of have been developed to estimate the
accumulation of rock material, occasionally with an overconsolidation ratio in the so-called transition,
admixture of organic particles, by flowing waters. i.e. silty soils (Marchetti et al., 2001; Mynarek
This study focused on selected alluvial deposits
2007; Wierzbicki 2010). Generally solutions where Qt is the normalized cone resistance in
applying in situ tests for analyses of OCR may be overconsolidated soil (OC).
divided into two groups. In the first group of Value k depends on the structure of the soil
methods interpretation is based on the assessment medium, physical and strength properties, while
of changes in the state of stress in relation to other authors also indicate the effect of soil genesis
normally consolidated soil (e.g. through the (Powell et al., 1988).
coefficient of at rest lateral earth pressure, K0), Numerous authors stressed the relationships
while the other group of methods comprises between k and the plasticity index of soil.
interpretations based on changes in strength Moreover, Sugawara (1988) showed a marked
properties of soil (e.g. through undrained shear dependence of values k on contents of the clay
strength, su). fraction. In turn, the effect of deposit genesis on
value k was indicated by Powell et al. (1988).
3.1. Analysis of OCR based on the dilatometer Another method for the determination of the
test (DMT) overconsolidation ratio was proposed by Long and
O’riordan (1988) and Lunne et al. (1997). This
As it was recorded by Marchetti (1980), the method requires the determination of undrained
lateral stress index (KD) (Eq. 2) may be used to shear strength of soil su and effective values of
assess the overconsolidation ratio (OCR) (Eq. 3): vertical stress (Vvo).
The determination of the overconsolidation ratio
p0 u 0 is also possible using the formula developed by
KD (2) Mayne (2005) (Eq. 8), taking into consideration
V v' 0
jointly the effect of overconsolidation on the
measurement of pore water pressure and on cone
OCR 0.5K D 1.56 (3) resistance during CPTU testing.
where: p0 – corrected pressure at the extension of D qt u 2

OCR (8)
the dilatometer membrane by 0,05 mm, V vo
'
u0 – hydrostatic pressure in the subsoil,
’v0 – component of effective geostatic stress.
where: D – 0.60, u2 –pore water pressure measured
on the cone, qt – corrected cone resistance
Equation (3) is applicable only for normally
consolidated deposits, thus Lunne et al. (1997) An interesting solution, which seems particularly
developed different dependencies for younger (Eq. useful in the case of silty soils, is to include
4) and older deposits (Eq. 5): structural sensitivity of soil in the assessment of
OCR (Karlsrud et al., 2005) (Fig.2).
OCR 0.3K D 1.17 (4)
OCR 0.27K D 1.17 (5)
In turn, for young silty soils Simonini et al. (2007)

supplied a formula, which in the opinion of
Wierzbicki facilitates a more reliable assessment of
OCR (Eq. 6):
OCR 0.66K D 1.05 (6)
3.2 . Analysis of OCR based on static

penetration test (CPTU) Figure 2. A dependence between OCR and Qt in
soils with different structural sensitivity (Karlsrud et
Assessment of the overconsolidation ratio al., 2005)
needs to begin from the determination of the type
of soil, since OCR analysis is performed separately In practice, the diagram by Massod and Mitchell
for cohesive and non-cohesive soils. (1993) is also commonly used. This diagram allows
One of the formulas, which may be used for the the assessment of OCR from CPTU results when
determination of the overconsolidation ratio, was K0 is known. Knowing basic physical properties of
proposed by Worth (1984) (Eq. 7). soil (as plasticity index - Ip) and values of
parameters recorded during static penetration
OCR kQt (7) testing (Qt, Fs), taking into consideration the effect
of different genetic mechanisms it is possible to
estimate the overconsolidation ratio of cohesive
soils. An example for such a solution is provided by markedly underestimated, while irrationally high
models of dependencies, described by equations 9 values were provided by the application of the
and 10, as well as those presented by Wierzbicki method proposed by Karlsrud et al. (2005). Similar
(2010) in nomograms. OCR values are given by the use of methods
developed by Marchetti (1980) and Worth (1984),
Fs 0.0369 OCR 0.0498 OCR 1.1961
2
(9) although from the geological point of view values of
0.1252 log I 0.204
p
overconsolidation stress necessary for such OCR
values seem to be too high. Results closer to
Qt 2.706 OCR 9.3649 OCR 67.0836
2
(10) expected are provided by the method of Lunne et
0.1763 log I 1.9176
p
al. (1997) and Wierzbicki (2010).
As it was observed by Wierzbicki (2010),

a comparison of results obtained by different
methods as well as analysis of OCR changes in the
soil profile to a certain degree facilitate the
determination of causes for the formation of the
overconsolidation effect.
In this paper, the simultaneous use of the
above-mentioned methods allowed the author to
determine the complex nature of the
overconsolidation effect of alluvial subsoils. This
complexity results from the unique character of the
tested soils as transition soils, but also from their
varied geological history, irrespective of lithological
characteristics. Figure 3. A comparison of OCR values determined
by different methods for normally consolidated
(NC) and overconsolidated deposits (OC) based
4. Results and analysis on dilatometer tests (DMT)
Values of the overconsolidation ratio for alluvial

deposits were determined using equations 2, 3, 5
for DMT and equations 6, 8 (fig. 1) for St
15 and
nomograms by Wierzbicki (2010) for CPTU,
respectively. In equation 6 the value k = 0.33, most
commonly applied in practice, was adopted
(Mayne, 2005). Calculated values of the
overconsolidation ratio OCR are listed in diagrams
shown in Figs. 3 and 4.
The further part of the analysis comprised a
critical evaluation of results obtained using different
research methods, with particular emphasis on a
comparison of the results with genesis of examined
soils, defined on the basis of archival geological Figure 4. A comparison of OCR values determined
materials. Analysis of the recorded results by different methods for normally consolidated
suggests that almost all applied methods show the (NC) and overconsolidated deposits (OC) based
occurrence of the overconsolidation effect in the on static penetration tests (CPTU)
part of normally consolidated soils (zone A). Two
methods based on DMT may serve as exceptions In view of the above mentioned observations
here, i.e. Simonini et al. (2007) (indicating a normal and the genesis of tested soils three methods were
consolidation of the deposit) and Marchetti (1980) selected for further analyses, i.e. Lunne et al.
(indicating overconsolidation of the deposit along (1997), Wierzbicki (2010), presenting the results in
the entire profile). The presence of the Fig. 5.
overconsolidation effect in the upper part of the A comparison of results indicates that the
profile (zone A) may be explained in the analyzed methods proposed by Lunne et al. (1997) and
case by the influence of changes in the level of Wierzbicki (2010), although based on two different
ground waters, as it was observed in a study e.g. types of in situ testing, yield similar results. The
by Mynarek (2007) and the formation of carbonate selected methods show the overconsolidation
cementation. In the case of overconsolidated effect in sensu lato. In order to verify which of the
deposits all applied methods indicate the tested soils is overconsolidated in sensu stricte, the
overconsolidation effect (zone B), although found at proposal of Wierzbicki (2010) was verified (Fig. 5).
various degrees. Values obtained using the method Despite the fact that OCR values determined
developed by Simonini et al. (2007) seem to be based on Fs seem to be higher that could have
been expected, still the ratio of OCRFs/OCRQt in References

tested soils gives lower values for normally
Karlsrud K., Lunne T., Kort D.A., Strandvik S.
consolidated soils than for overconsolidated soils.
(2005). CPTU correlations for clays. In: Proc. of
In normally consolidated soils the above mentioned
16th ICSMGE, Osaka. Millpress, Rotterdam:
proposal takes values below 2, while for
693-702.
overconsolidated soils it was above 2. In the
Long M., O’riordan N. J. (1988). The use of
opinion of Wierzbicki (2010) such an observation
piezocone in the design of a deep basement in
may indicate a significant effect of quasi
London Clay. In: Penetration testing in the UK.
overconsolidation processes on the formation of
London: 173-176.
the overconsolidation effect in the subsoil, recorded
Lunne T., Robertson P. K., Powell J. (1997). Cone
in deposits not subjected to axial overloading. It
penetration testing in geotechnical practice.
needs to be stressed that this fact is confirmed by
E&FN Spon, London.
geological knowledge on the examined areas.
Marchetti S. (1980). In situ tests by flat dilatometer.
ASCE,JGED, V. 106, No. GT3: 299-321.
Marchetti S., Monaco P., Totani G. & Calabrese M.
(2001). The Flat Dilatometer Test (DMT) in soil
investigations. A Report by the ISSMGE
Committee TC-16.
Masood T., Mitchell J.K. (1993). Estimation of in
situ lateral stresses in soils by coneenetration
test. Journal of Geotechnical Engineering, vol.
119, no. 10, pp. 1624-1639.
Mayne P. W. (2005). Integrated ground behavior;
in-situ & laboratory test. In: Proc. of Conference:
Deformation Characteristics of Geomaterials,
vol. 2, Taylor & Francis, London p. 155-177.
Mynarek Z. (2007). Site investigation and mapping
Figure 5. A comparison of OCR values determined in urban area. Proc. of the 14th European
by selected methods according to Wierzbicki (2010), Conference on Soil Mechanics and
Lunne et al. (1997) for normally consolidated (NC) Geotechnical Engineering. Madrid, Vol. 1, 175-
and overconsolidated deposits (OC) 202.
Mynarek Z., Stefaniak K., Wierzbicki J. (2012).
5. Concluding remarks Geotechnical parametres of alluvial soils from in
situ tests. Archives of Hydro – Engineering and
Conducted analyses confirmed the suitability of Environmental Mechanics, vol. 59 (2012) , no.1,
in situ tests for the estimation of OCR values in pp. 3-22.
transition soils. It was observed that the Powell J.J.M., Quaterman R.S.T., Lunne T. (1988).
comparative analysis of values of overconsolidation Interpretation and use of the piezocone test in
ratio for silty soils, obtained following different UK clays. In: Penetration testing in the UK.
formulas, facilitates assessment of the conditions London: 151-156.
for the formation of the overconsolidation effect. Simonini P., Ricceri G., Cola S. (2007).
The most reliable results for silty soils may be Geotechnical characterization and properties of
obtained using the nomogram of Wierzbicki (2010) Venice lagoon heterogeneous silts.
for Qt (CPTU) and the equation of Lunne et al. Characterisation and Engineering Properties of
(1997) for young soils (DMT). In turn, conditions for Natural Soils – Tan, Phoon. Hight & Leroueil
the generation of the overconsolidation effect are (eds.). Taylor & Francis Group, London: 2289-
accurately reflected in the comparison of results 2327.
provided by the method of Wierzbicki (2010) with Stefaniak K. (2011). Assessment of strength and
Qt and Fs. Both the method of Wierzbicki based on deformation parameters in transition soils.
Fs values and the method of Marchetti (1980) or Monograph: Studies and analyses of selected
Worth (1984) and Karlsrud et al. (2005) in relation problems in construction engineering, p. 133-
to silty soils require the calibration function, since 142, Publ. Politechniki lskiej, Gliwice.
the recorded OCR values seem to be Sugawara N. (1988). On the possibility of
overestimated. estimating in situ OCR using piezocone. In:
Recorded results on the one hand made it Proc. ISOPT-1. Orlando. Balkema Publ.
possible to assess the applicability of individual Rotterdam: 985-991.
methods, while on the other hand, following the Wierzbicki J. (2010). Assessment of soil
suggestion of Wierzbicki (2010), they constituted overconsolidation by in situ methods in view of
the starting point for the assessment of causes for its genesis. Rozprawy naukowe 410, Pozna . In
the generation of the overconsolidation effect. Polish.
Worth C.P. (1984). The interpretation of in-situ soil
test. 24th Rankine Lecture. Geotechnique 34(4):
449-489.
PROPOSAL OF A NEW IN-SITU TORSIONALLY SHEAR TESTING

METHOD AND ANALYSIS OF TEST RESULTS FOR ANISOTROPIC
ROCK MASSES
PROPOSITION D'UNE NOUVELLE METHODE D'ESSAI IN-SITU DE
CISAILLEMENT EN TORSION ET ANALYSE DES RESULTATS D'ESSAIS
POUR DES MASSIFS ROCHEUX ANISOTROPES
1 2 1
Yota TOGASHI , Kazuo TANI , Mamoru KIKUMOTO
1
Yokohama National University, Yokohama, Japan
2
National Research Institute for Earth Science and Disaster Prevention, Miki, Japan
ABSTRACT - Rock masses often show anisotropic mechanical behavior for their discontinuity and
orientation of mineral particles. However, it is rather difficult to evaluate anisotropic mechanical properties of
rock masses by existing in-situ test methods, e.g. rock shear tests, plate loading tests. Then in this study, a
new in-situ testing method for rock masses is proposed. For development of this test method, FE analysis of
was conducted assuming transversely isotropy body. The computed results demonstrated that anisotropic
deformation properties of rock masses can be back analysed by the test results.
1. Introduction equations assuming anisotropy such as

transversely isotropy (Shin, 2002).
Rock masses often show anisotropic mechanical In this report, an in-situ torsional shear test for rock
behaviors for the discontinuity and the sequence of masses is proposed and the analytical method for
the mineral particle. For example, by the the test is presented based on the results of 3D FE
comparison of the tests results of rock shear tests analysis for transversely isotropic body.
under vertical stress σz=0.75MPa for laminated
gypsums, the shear strength is approximately two
times changed by dip directions (JGS, 2004). In
addition, from ultrasonic wave velocity
measurements for crystalline schist, Young’s
modulus E varied for approximately 3 times for
different orientations of mineral particles (Akai et al.
1967). In order to predict mechanical behavior of
rock masses accurately, investigations for
anisotropic mechanical characteristics of rock
masses are necessary.
For evaluations of anisotropic mechanical behavior
of rock masses, it is necessary to measure strains
of multi directions or to conduct several tests for
different loading directions (Amadei, 1996).
However, this is rather difficult for conventional in-
situ test methods as Figure 1, because testing cost
and time are significant. In addition, for rock shear
tests, it is impossible to attach strain gauges on
shear plane, and for plate loading test, it is difficult Figure 1. Rock Shear Test (Top) &
to evaluating anisotropic behavior of rock masses Plate Loading Test (Bottom)
by measuring strains at multi directions because
this test is not necessarily regarded as an element
test. As described above, for the investigation of 2. Proposal of In-situ Torsional Shear Test for
rock masses it is important to evaluate anisotropic Rock Masses
behavior of rock masses, there is no in-situ test
methods suitable for anisotropic rock masses. Thus To solve the problems mentioned above, the in-situ
the test method to investigate anisotropic torsional shear test for rock masses is proposed in
mechanical behavior of rock masses with only a Figure 2. In this test, the single specimen which is
few tests is necessary. hollow cylindrical shape is prepared at outcrops. As
To evaluate anisotropy of mechanical properties, rock masses are often discontinuous, shear
test results are often back analyzed by constitutive modulus GZΘ changs to circumferential direction
like Figure 3 because the axial symmetry condition modulus and the Poisson ratio of z direction (Ez, νz)
in the specimen is not always satisfied. Therefore are different from those in the Xy plane (EX, νX).
the stress distributions on the top of the specimen Transversely isotropic body has been used by
may become non-uniform when the specimen is some researchers for igneous rock masses having
torsional sheared. This non-uniform stress a set of discontinuities and for sedimentary rock
distribution is caused by anisotropy of rock masses, masses (e.g. Goodman, 1989).
so if this non-uniform distribution of stresses
measured by separate load cells, mechanical Specimen Strike
properties of anisotropic rock masses can be direction
deduced from the non-uniformity assuming AA’ β
appropriate constitutive relation. plan o z yY
Z
Outer cell Inner cell B B’

X Dip angle ξ
AA’ plan 4
5 Z
3
A z A’
6
B B’
7 2 Y
Separate
8 1 Pressure BB’
oX
load cells
transducers cross-section y ξ
䋨EZ䋬νZ䋩
ԩ
Q T Q 䋨EX䋬 νX䋩
A A’ =䋨Ey 䋬 νy䋩
Plane of isotropy䋨Xy plane䋩 Specimen
BB’
Cross-section Figure 4. Transversely isotropic body and local
pin
Rubber pout coordinate system (X, y, z)
membrane Strain
gauges
Outer
Inner
Hollow In this research, the anisotropy parameter, α,
(=(EX/Ez)0.5 =(GX/Gz)=(νX/νz)) (Graham and Houlsby,
cell cylindrical
cell specimen
1983) and the dip angles of the isotropic plane, ξ,
are defined. The values of Ez and νz are 1000MPa
Figure 2. In-situ torsional shear test for rock
and 0.4 for soft rocks. The values of α and ξ are
masses
0.7~1.2 and 0~90o based on the test results of both
Dip angle
chalk and mudstone (Talesnick and Ringel, 1999).
ξ
Z Z z
Continuous
3.2. Stress distributions on the top of
o Y body o Y specimens and their wave number properties
Θ y
Θ
R R
X X
Figure 5 shows non-uniform stress distributions on
h h the top of specimen and those in the specimen
Non-axial
during torsional sheared for the case of α = 0.7. As
symmetry the values of ξ increase, stress distributions
(ξ≠0o)
change dramatically. ΔσZ=0MPa on dip direction y
Discontinuity
(Θ=90o and 270o). This is because for the element
GZΘ )ZΘ at dip direction y, dip angle between plane of
0
Θ (degree) 360 0 180 360 loading and plane of isotropy ξΘ = 0o locally like
Axial symmetry Θ (degree)
(ξ=0o) Figure 6, so only in this element, a condition of
axial symmetry is satisfied. Therefore, the strike
Figure 3. Cylindrical specimen between direction β is obtained by the circumferential
continuous (Left) & discontinuous body (Right) position of ΔσZ = 0MPa.
From these stress distributions on the top of
specimen and the spectrums (Fourier transformed
3. Method for determining anisotropy of from these distributions), the characteristic values
deformation character of Δσ and θ for the peak and the trough are defined
as Figure 7. Figure 8 shows the relationship
3.1. FE analysis of transversely isotropic body between circumferential locations of peak stress, θp,
st and ξ. These values are dependent on only ξ if α
Figure 4 shows transversely isotropic body and ҁ0 where α<1 and 1<α. On the other hand, the
local coordinate system (X, y, z). The transversely values of peak stresses ΔσZ, p are dependent on
isotropic body exhibits linear elastic behavior and both α and ξ as shown in Figure 9.
characterized by both plane of isotropy (Xy plane)
and the normal direction (z direction). The Young’s
the dip angle e, ξ. Input data are the stress

disttributions and these spectrums. Firsttly in Step1,
strik
ke directio on β is determined d by the
cumferential position of Δ
circ ΔσZ = 0MPa. Secondly in
Steep 2, the dip angel, ξ*, is determined by the
chaaracteristic values of circcumferential locations off
peaak stress, θp,p st (these va
alues are deependent on
onlyy ξ). Thirdly in step 3, th
he anisotropy
y parameter,
α*, is determin ned by the characteristic values of
peaak stresses ΔσZ, p (these e values aree dependent
on both ξ and α
Figure 6. Elements at different circumferential

location
Figure 5. Non-uniform stress distributions during

torsional shear for the case of α=0.7
3-3. Proposal of the method of determining

anisotropy of deformation properties by in-situ
torsional shear test for rock masses
Figure 10 shows the flow chart for determining the Figure 7. Characteristic values of stress increment
strike direction, β, the anisotropy parameter, α, and distributions (Top) and that of spectrums (Bottom)
4. Conclusions
C s
A new
n testing method ca alled ̌ In-siitu torsional
sheear test for roock masses̍ ̍ is propose ed. The test
cann determine e the anissotropy of mechanical
properties of rock
r massess assuming appropriate
connstitutive funcctions using stress distrib
butions.
Forr determinattion of the anisotropic mechanical
defformation, the e flow chart w
was propose ed based on
the results of FE analysis assuming transversely
t
isottropic bodyy. Firstly, the dip directiond is
determined from m the circummferential loc cation of the
norrmal stress increment ΔσZ=0. Secon ndly, the dip
anggle of plane e of isotropyy is determined by the
Figure 8. Relationship between θp, st and ξ circ
cumferential locations of peak stress.. Thirdly, the
ratio of anisotroopy is determ
mined from th he peak and
ugh stress.
trou
5. References
R
Aka
ai K., Yam mamoto K., Arioka M. (1969).
Experimenta al research h on the structural
anisotropy of crystalliine schist. J. JSCE,
Vol.170, pp.23-36.
Am
madei B. (199 96). Importance of aniso otropy when
estimating and
a measurring in-situ stresses in
rock, Int. J. of Rock Me ech. & Min. Sci.,
S Vol.33,
pp.293-325.
p
Gooodman R.E E. (1989). Introduction n to Rock
Mechanics. J. J Wiley, Neww York.
Figure 9. Relationship between Δσz, p and α
aham J., Houlsby
Gra H G.TT. (1983). Anisotropic
elasticity off a natura al clay. Ge eotechnique,
Vol.33, No.22, pp.165-180 0.
panese Geotechnical Socciety. (2004). Method for
Jap
In-situ Direcct Shear Tesst on Rocks s. JGS3511-
2004.
Shin K. (2002). A practical mmethod of measurement
of anisotropyy of rock using a holloww cylinder. J.
of JSCE, No o.722, pp.2311-243.
Talesnick M.L.,, Ringel M. (1999) Com mpleting the
hollow cylin nder metho odology for testing of
ocks: torsion testing. Int.
transverselyy isotropic ro
J. of Rock Mech. & Miin. Sci. Vol.36, pp.627-
639.
Figure 10. Flow chart for determining anisotropic

deformation properties by in-situ torsional shear
test for rock masses
TEMPERATURE EFFECTS ON THE PENETRATION PROBES

EFFETS DE LA TEMPERATURE SUR LE PENETROMETRE
Hyung-Koo YOON1, Jong-Sub LEE2, Chung-Hwa PARK3
1
Assistant Professor, Department of Geotechnical Disaster Prevention Engineering, Daejeon
University, Daejeon, Korea
2
Professor, School of Civil, Environmental and Architectural Engineering, Korea University, Seoul,
Korea
3
Professor, Department of Geotechnical Disaster Prevention Engineering, Daejeon University,
Daejeon, Korea
ABSTRACT - The penetration probe has been widely used for obtaining reliable data. This paper suggests
the temperature-compensated methods when using the penetration probe for increasing the reliability. The
penetration probe includes small diameter cone penetrometer in this paper. The load cell of small cone is
extended behind the connection part for configuring the full-bridge circuit within the probe. This method is
verified through observation of output value with penetration test in saturated soil. The measured values
show that the full-bridge circuit produces more reasonable and reliable results. This paper demonstrates that
the temperature effects should be considered for obtaining the higher reliable values.
1. Introduction are discussed. Finally, the laboratory application

tests are described.
The Cone Penetration Test (CPT) is fast,
economical, and reliable method and thus, it can 2. Wheatstone bridge
produce continuous soil profiles. The CPT has been
commonly used for the investigation of subsurface
soils (Hird and Springman 2006). The CPT results The Wheatstone bridge circuit, consisting of four
can be used to estimate various soil properties strain gauges (SG1, SG2, SG3 and SG4) with a
including strength, deformation, and soil rhombus shape, has been used to amplify the
classification. For improving the resolution, the minute resistance change. When the input voltage
small diameter cone penetrometers have been (Vin) is applied, the output voltage (Vout) is deduced
developed. Moreover, the small diameter cones to
have been applied to various experimental studies R1 R2 'R 'R 'R 'R
in the laboratory, including the calibration chamber,
Vout ( 1 2 3 4 ) Vin (1)
( R1 R2 ) 2 R1 R2 R3 R4
the centrifuge and the shaking table resulting from
reducing boundary effects. The standard cone and where the 'R denotes the resistance change
various small diameter cone penetrometers (Hoffmann 1989).
generally used the strain gauges for detecting the
mechanical resistance. The Wheatstone bridge 3. Micro cone
circuit, which consists of four strain gauges, has
been used to amplify the output voltage because
A micro cone for installing the full-bridge circuit was
the deformation of penetrometers is minute. The
developed to obtain the cone tip resistance and
full-bridge circuit among the Wheatstone bridge
sleeve friction with high resolution.
circuit is recommended for reliable amplification of
the output voltage. In the case of micro cones, the
half-bridge circuit is used in micro cones due to the 3.1. Shape
limited area for attaching the four strain gauges.
Therefore, the mechanical resistance measured by The micro cone consists of a cone tip, a friction
the half-bridge circuit was easily affected by the sleeve, and an extended rod, as shown in Figure 1.
environmental effects including the temperature The cone tip is designed to a conical shape with an
difference and lead wire vibration. Thus, a new
apex angle of 60q. The outer diameter of the micro
circuit system for small diameter cone is required to 2
cone was 15mm (cross-sectional area= 1.76cm ).
obtain reliable values when using strain gauges.
The length of the friction sleeve is determined to be
The objective of this study suggests a new circuit
56mm
method, which is full-bridge type in micro cones.
This paper addresses the theory of the Wheatstone
bridge circuit and the design concerns including
shape of micro cone, new circuit, measuring system
3.2. Circuit configuration 5. Result
For configuration of the full-bridge circuit in the The profiles of the cone tip resistance and sleeve
micro cone, the rod was extended behind the friction measured by the micro cones with the full-
connection part, as shown in Figure 1. The length of bridge and half-bridge circuits are plotted in Figure
the extension part is 54mm. And thus, the micro 2. The mechanical resistances based on the full-
cone has extra space for the installation of four bridge circuit increase with an increase in depth.
strain gauges. In Figure 1, A and B denote the However, the measured values through half-bridge
strain gauges for cone tip resistance and sleeve show an unreasonably high variation with depth. In
friction in half-bridge circuit, respectively. C-C’ and addition, the negative or almost zero values in the
D-D’ represent the strain gauges for cone tip cone tip resistance and sleeve friction are
resistance and sleeve friction in full-bridge circuit. measured due to the temperature change and lead
The strain gauge is adapted to foil-type with 120:. wire vibration during penetration.
For appropriating the small area, the gauge length (a) Cone tip resistance qc [kPa] (b) Sleeve friction fs [kPa]
of the used strain gauge is 1mm. The DC power 0 100 200 300 0 10 20 30
supply was applied for a constant input voltage of 0 0
1.0V.
50 Full bridge 50
Full bridge
Half bridge Half bridge
100 100
D’
Depth [cm]
Depth [cm]
150 150
Extended
54mm 200 200
rod
C’ 250 250
Screw for
300 300
connection
15mm rod 350 350
D
Figure 2. Measured values: (a) Cone tip resistance;
B (b) Sleeve friction.
56mm
C 6. Conclusion
A In this study, the micro cone, which can be

configured with full-bridge circuits, were developed.
The loading rod was extended behind the
13mm
connection part for configuring the full-bridge circuit.
60°
The penetration test was conducted to measure the
15mm mechanical strength. The mechanical resistances
Sketch for attaching the measured by the half-bridge circuit showed an
strain gauges unreliable and high variation. However, the
extended rod-type micro cone produced stable and
Figure 1. Schematic drawings of micro cone. reliable mechanical resistance values.
4. Application 7. References
The penetration tests were performed in the Hird C.C., Springman S.M. (2006). Comparative
2 2
saturated cohesion less soil. The dimensions of the performance of 5cm and 10cm piezocones in a
tank were 320mm for the outer diameter, 300mm lacustrine clay. Geotechnique, 56(6), pp. 427-
for the inner diameter, and 600mm for the height. 438.
Jumoonjin sand, of which the properties are Hoffmann K. (1989). An introduction to
summarized in Table 1, was used. The specimen measurements using strain gauges. Druckerei
was water pluviated in tap water. The penetration Drach, Germany, Alsbach, pp. 2-7.
rate was fixed at 1mm/sec based on a previous Yoon H.K., Jung S.H., Lee J.S. (2011).
study (Yoon et al. 2011). Characterization of subsurface spatial variability
by cone resistivity penetrometer. Soil Dynamics
Table I. Properties of Jumoonjin sand. and Earthquake Engineering, 31(7), pp.1064-
Mean Effective Specific
Max. Min. 1071.
void void
diameter diameter gravity USCS
ratio ratio
D50 (mm) D10 (mm) Gs
emax emin
0.58 0.46 2.62 1.02 0.57 SP
Soil Behaviour
TAILINGS MANAGEMENT IN CANADA’S OIL SANDS

GESTION DES RESIDUS DANS LES SABLES BITUMINEUX CANADIENS
Nicholas BEIER1 and David SEGO1
1
Department of Civil and Environmental Engineering, University of Alberta, Edmonton, Canada
ABSTRACT - Tailings management practices in the Canadian oil sands industry over the last four decades
have resulted in massive inventories of fluid fine tailings (850 million m3) requiring long term storage within
fluid containment structures. Managing these fluid tailings has become a significant environmental
challenge. In lieu of tailings management regulations set forth through the Alberta Government and
increased public awareness, industry has stepped up efforts to improve their tailings management practices.
These initiatives aim to transform the fluid fine tailings into sustainable components of a reclaimable, closure
landscape. The paper will outline the historic oil sand tailings management practices, the geotechnical
challenges associated with current and planned tailings dewatering technologies, and the research
initiatives underway at the University of Alberta aimed at resolving these geotechnical challenges.
1. Introduction overflow (COF). The CUF is used to construct

containment, while the COF is further thickened
The Athabasca region of north-eastern Alberta, and deposited in the settling basins as thickened
Canada, is home to massive deposits of oil sands, tailings (TT). Water that is released during
with an estimated reserve of approximately 170 deposition, settlement and/or thickening is recycled
billion barrels of recoverable bitumen. Production back for re-use in the extraction process.
3
of the bitumen in this region is based on open pit On average, approximately 0.25 m of MFT and
3
mining and extraction using warm to hot water 1 m of sand are produced for every barrel of crude
based processes. Four operating oil sands oil produced. To date, there is an estimated
companies (Suncor Energy, Syncrude Canada 850 million m3 of MFT stored among the operating
Ltd., Canadian Natural, and Albian Sands) are mine sites (Fair and Beier, 2012). In addition to
currently producing bitumen at approximately managing large volumes of fluid fine tailings, water
890,000 bbls/day with several new mines and management is an issue for the mine sites. The
expansions planned that would double production industry operates under a zero-effluent discharge
by 2025 (CAPP, 2012). Oil sands are typically policy. No process affected water may be released
composed of bitumen (12 weight %), mineral (sand, from site and therefore must be contained.
silt and clay; up to 85 wt %) and water (3-6 wt %). Therefore, the oil sands region is dominated by a
Bitumen is recovered (88-95% efficiency) from the wet landscape with several, large above grade
mineral sand matrix in a slurry process using hot containment structures storing fluid tailings and
water, steam and process aides such as caustic process water.
(NaOH) (Chalaturnyk et al., 2002). In an effort to consume the legacy volume of
MFT and create dry stable landscapes, the industry
1.1. Oil Sand Tailings Production developed a tailings technology referred to as
consolidated/composite tailings (CT) or non-
Tailings from the extraction process consist of segregating tailings (NST). Essentially, CUF was
water, sand, silt, clay and residual bitumen at mixed with MFT or TT and a coagulant to form a
approximately 55 wt % solids (82 wt % sand and slurry that should not segregate upon deposition. It
17 wt % fines measured as < 45 μm) and are was anticipated that the CT deposits would reach a
produced at high rates of 12,000 to 30,000 t/hr geotechnically stable state in a timely manner so
(Sobkowicz and Morgenstern, 2009). The tailings terrestrial reclamation could proceed (Sobkowicz
slurry, referred to as whole tailings (WT), may be and Morgenstern, 2009).
pumped into large settling basins where the sand Suncor’s Pond 5 is one of the first full scale
fraction settles rapidly to form beaches and provide trials of the CT technology with deposition
containment. Fines that are not trapped in the occurring between 1995 - 2008. However, the
beach (50%) collect in the pond and gradually resulting deposit was too weak to support terrestrial
settle and after a couple years forming a layer of reclamation. Variation in the feed tailings streams
fine tailings (30-35 wt % solids). This layer of fine and difficult process/depositional controls lead to
tailings is referred to mature fine tailings (MFT) and segregation of the CT during deposition and the
further densification is expected to take decades formation of weak deposits. In the case of Pond 5,
(Jeeravipoolvarn et al., 2009). Whole tailings may the weak tailings deposits were capped with
also be processed with hydrocyclones creating a geotextile and petroleum coke to allow for access
coarse sand underflow (CUF) and a high fines and installation of vertical wick drains. The wick
drains are intended to promote dewatering so the such as polyacrylamide [PAM] flocculants (Beier et
underlying tailings can develop sufficient strength al., 2012).
to support reclamation activities (Abusaid et al., The development of strength is of interest for
2011). The surface area of Pond 5 is a few square reclamation and regulatory compliance. The fine
km therefore the capping and wick drain installation tailings Cu depends on grain size distribution, clay
represents a considerable expense. content and mineralogy, pore chemistry and solids
content. Beier et al. (2012) have shown the
1.2. Tailings Reclamation and Regulation remoulded Cu of MFT can be represented by Locat
and Demers’ (1988) equation of Cu versus liquidity
In order for tailings deposits to meet reclamation index (LI) for natural clay soils (Equation 1).
and closure objectives, the deposits should: Typical MFT has a Cu on the order of Pascals (Pa)
x develop strength at a rate sufficient to allow and increases exponentially as the fines dewater
for reclamation activities, and from a liquid state to a solid. Lines of Cu for MFT
x develop a low compressibility to minimize (LL of 45%) are shown on Figure 1 (Sobkowicz and
long term settlement. Morgenstern, 2009). MFT also exhibits a highly
In lieu of the industry’s past tailings thixotropic strength gain as compared with typical
management practices, continual accumulation of clays. Essentially, the material stiffens with time
fine tailings and the associated risks to reclamation under no change in composition, effective stress or
activities, Alberta’s Energy Resource Conservation volume and therefore can retard consolidation
Board (ERCB) elected to regulate oil sand fine (Suthaker and Scott, 1997).
tailings through performance criterion (Directive 2.44
074). The aim of the directive is to reduce fluid Curemolded = (19.8 ⁄ LI) (1)
tailings accumulation by capturing the fines in
dedicated disposal areas (DDAs) and create The rate at which water can be removed from
trafficable surfaces for progressive reclamation. the tailings is represented by the hydraulic
The Directive requires a minimum undrained conductivity (k). Coarse tailings streams such as
shear strength (Cu) of 5 kPa for tailings material WT and CT have a k of 10-3 and 10-4 cm/s,
deposited in the previous year. If any material fails respectively. As evident in Figure 1, k decreases
to meet the 5 kPa requirement, it must be removed by four to five orders of magnitude as the F
or remediated. Additionally, five years after active increases and W decreases. Similarly, the
deposition, the deposit must be trafficable and compressibility of tailings decreases by several
ready for reclamation. The metric for “trafficable” orders of magnitude as the fines void ratio
after five years requires the deposit to have a decreases (not shown on Figure 1). The
minimum Cu of 10 kPa. compressibility of oil sand tailings is typically
represented with a power law relationship between
1.3. Geotechnical Aspects of Oil Sand Tailings void ratio and effective stress (Sobkowicz and
Morgenstern, 2009).
The oil sands industry uses a ternary plot of sand,
fines and water content to characterize and explain
tailings behavior. This plot is illustrated in Figure 1
and explained below. The sand content (S)
represents the mass ratio of sand to the total mass
of the tailings (sand, fines, water and bitumen).
Similarly, fines content (F) is the mass ratio of fines
to the total mass. Finally, the water content (W,
represented by the horizontal lines) is mass of
water over total mass and can be converted to
solids content by 1-W (Sobkowicz and
Morgenstern, 2009). The ternary plot also
identifies the limits of slurry pumping (pumpable
boundary = thick solid line) and the unsaturated
zone (dashed line).
The various tailings products produced during
bitumen extraction are identified on Figure 1. The
fine tailings streams (COF, MFT, TT) are typically
greater than 50% clay. The clays are mainly
kaolinite (50-60%) and illite (30-50%) with some
montmorillonite and mixed layer smectites Figure 1. Ternary diagram of oil sand tailings and
(Chalaturnyk et al., 2002). The liquid limit (LL) of associated properties (modified from Sobkowicz
fine tailings range from 40 to 65%, but can be up to and Morgenstern, 2009).
100% when treated with chemical amendments
2. Fluid Fine Tailings Management either in-line or in thickeners to produce TT and

deposited in thin lifts or in deep deposit scenarios.
It is evident that in order to meet reclamation and Another tailings management/reclamation
regulatory objectives, new technologies and option that is currently under investigation is water
processes must be developed to supplement capped MFT. Essentially, stored MFT is
current tailings management plans (specifically, transferred into an engineered mine pit where a
additional fines-management techniques). To water cap is established using process water to
achieve the target end product suitable for form a lake. After several years it is expected that
reclamation, tailings must attain solid contents of natural degradation processes will produce an
75-80 wt% (Figure 1). At this point, they will have acceptable surface water quality in the water cap.
developed sufficient long term stiffness and In-flow to and out-flow from the surrounding terrain
strength (50 to 100 kPa) to support reclamation will then be established to emulate a natural lake
activities. system. It is recognized that MFT consolidates and
The industry is currently investigating several gains strength over a long period as soft lake
new dewatering techniques or enhancements to bottom mud, therefore this option is not intended to
conventional tailings management practices. support terrestrial reclamation features.
These include: centrifugation of MFT (MFT-C), thin The oil sands industry is trending toward
lift deposition dewatering (TL), deep deposit managing fine tailings using combinations of
dewatering, TT, CT / NST tailings enhancements chemical (PAM flocculants and/or inorganic
and water capped MFT and are discussed below coagulants), centrifuges and environmental
(Fair and Beier, 2012). dewatering (atmospheric drying and freeze-thaw)
Centrifugation dewatering consists of techniques in order to meet the reclamation and
processing MFT through a solid-bowl scroll regulatory requirements. Given the volume of
centrifuge and addition of chemical amendments tailings and the low net evaporation rates in
such as a flocculent (PAM) or a coagulant northern Alberta, large depositional areas are
(gypsum) to assist in the dewatering process. required to meet dewatering targets for reclamation
Centrifuge “cake” can achieve solids contents of in TL depositional schemes. The use of chemical
2
55% and is placed in thin lifts at about 2 t/m -y. amendments may also present challenges that
After a season of drying (desiccation and freeze- extend beyond compliance. Chemical
thaw dewatering), the thin layers of cake can attain amendments (specifically PAM) can enhance the
peak Cu of 5 to 10 kPa. Alternatively, the cake Cu of MFT without a decrease in water content
may be continuously placed into deep containment (Figure 2; Beier et al, 2012). These flocculated fine
cells (DDAs), at higher rates. Further dewatering tailings, deposited above their LL, may exhibit
and volume reduction subsequently occurs via self- sensitive, metastable behaviour upon deposition
weight consolidation. based on reported data and field measurements.
An alternative method bypasses the mechanical Furthermore, recent investigations on thickened
dewatering step. MFT is injected with flocculants tailings indicate a pre-consolidation pressure can
within the pipeline (in-line flocculation) and the develop due to the flocculent addition that may
resulting mixture is deposited as thin layers on inhibit self-weight consolidation (Masala et al,
gently sloping, contained beaches. Substantial 2012).
instantaneous dewatering occurs (dewater from
30 wt% to 60 wt%) as a result of aggregation of the
fines into flocs. Subsequently, additional
dewatering is achieved via a combination of
settlement, seepage and environmental dewatering
(desiccation, freeze/thaw). The dewatered tailings
from MFT-C and TL may be relocated to
overburden dumps after initial dewatering or left in
place to further dewater and form an integral part of
a disposal structure.
As with MFT-C, in-line flocculated tailings can
also be continuously deposited into large in-pit cells
to form deep deposits. Water expressed to the
surface via self-weight consolidation and
precipitation is decanted. Surface dewatering can
be assisted by rim-ditching the perimeter of the
deposit or creating channels on the surface to
direct water to a decant sump. Further dewatering Figure 2. Cu and sensitivity of oil sand fine tailings
and volume reduction again occur via self-weight (modified from Beier et al., 2012)
consolidation and drainage.
Alternatively, fines may be drawn directly from The current fines dewatering methods under
the extraction process rather than using MFT as a investigation can carry significant risk as well as
feed source (e.g. COF). The COF is flocculated capital and operational costs for equipment
(centrifuge), chemical additives, material handling 5. Acknowledgments

and containment cell construction (drying cells).
The authors would like to thank the Canadian
Geotechnical Society for financial support to attend
3. University of Alberta Research on Oil Sand the conference.
Tailings
6. References
There are opportunities to improve on the design,
prediction and execution of the oil sand tailings Abusaid, A., Fear, C., McRoberts, E., and Wells, S.
dewatering/management methods to lower the (2011). An update to the construction of the
costs and risk of implementation. Improvements Suncor oil sands tailings Pond 5 cover.
th
could lead to faster dewatering rates and thus Proceedings, 15 Tailings and Mine Waste
smaller depositional footprints and/or increased Conference, pp. 13.
throughput, prevent double handling of materials, Beier, N.A., Wilson, G.W., Dunmola, A., and Sego,
avoid remedial actions such as wick drain D.C. (2012). Geotechnical Aspects of
installation (i.e. deposit failed to meet regulatory Flocculation-based Technologies for Dewatering
compliance or reclamation objectives) and ensure Mature Fine Tailings. Proceedings, 65th
long term stability of the deposits. Canadian Geotechnical Conference, pp. 8.
The University of Alberta Geotechnical Centre Canadian Association of Petroleum Producers
has been actively researching oil sand tailings over (CAPP). (2012). Crude Oil, Forecast, markets
the past several decades. More recently, a multi- and pipelines. Website accessed Jan. 16,
million dollar Oil Sands Tailings Research Facility 2013.
(OSTRF) was established to expand tailings http://www.capp.ca/forecast/Pages/default.aspx
research beyond the laboratory scale. Recent Chalaturnyk, R.J., Scott, D., and Ozum, B. (2002).
research and ongoing initiatives will continue to Management of oil sands tailings. Petroleum
investigate oil sands tailings from production Science and Technology, vol. 20, no. 9&10 pp.
through dewatering and ultimately to the 1025-1046.
development of a final deposit or soil (from slurry Fair A.E. and Beier, N.A. (2012). Keynote Paper:
behavior to saturated and unsaturated soil Collaboration in Canada’s Oil Sands: Fluid Fine
behavior). This research includes fundamental Tailings Management. Proceedings, 3rd
material properties, characterization techniques, International Oil Sands Tailings Conference,
volume change behavior (rate and magnitude), pp. 3-12.
development of strength, modeling and prediction Fine Tailings Fundamentals Consortium (FTFC).
capabilities and novel dewatering methods. (1995). Advances in oil sands tailings research.
Alberta Department of Energy, Oil Sands and
Research Division, Edmonton, Canada.
4. Conclusions Jeeravipoolvarn, S., Scott, J.D., and Chalaturnyk,
R.J. (2009). 10 mstandpipe tests on oil sands
Historical tailings management practices have tailings: long-term experimental results and
resulted in significant accumulation of fluid tailings prediction. Canadian Geotechnical Journal, vol.
in the oil sands industry. Due to increased public 46, no. 8, pp. 875-888.
awareness and regulatory requirements, the Locat, J. and Demers, D. (1988). Viscosity, yield
industry has invested considerable resources into stress, remolded strength, and liquidity index
new tailings management and dewatering relationships for sensitive clays. Canadian
approaches. Centrifugation, thin lift deposition, Geotechnical Journal, vol. 25, pp. 799-806.
deep deposit dewatering, CT/NST, TT and water Masala, S., Langseth, J., Smyth, K., Dunmola, A.,
capped deposits are the main approaches under McKay, D., and Clark, J. (2012). TSRU tailings
investigation. Central to most of these methods is pilot-scale thickening and deposition trials.
rd
some type of chemical additive such as PAM Proceedings, 3 International Oil Sands Tailings
flocculants. Chemically-amended fine tailings can Conference, pp. 333-342.
achieve strength targets but can have lower Sobkowicz, J.C.. and Morgenstern, N.R. (2009). A
storage efficiencies. They can also have pre- geotechnical perspective on oil sands tailings.
consolidation pressures that prevent self-weight Proceedings, 13th Tailings and Mine Waste
consolidation. Additionally, available data seems to Conference, pp. 26.
suggest that these deposits may exhibit sensitive, Suthaker, N.N and Scott, J.D. (1997). Thixotropic
metastable behavior upon deposition, unless strength measurement of oil sand fine tailings.
mitigative measures are taken. The University of Canadian Geotechnical Journal, vol. 34, no. 6,
Alberta is undertaking considerable research to pp. 974-984.
address these issues and improve tailings
management.
ANALYSIS OF THE PUNCHING FAILURE MECHANISM IN

WORKING PLATFORMS
ANALYSE DE MECANISME DE CISAILLEMENT EN POINÇONNEMENT DES
PLATEFORMES DU TRAVAIL PAR SIMULATIONS NUMERIQUES
1
Katarzyna BIAEK
1
Gdansk University of Technology, Gdansk, Poland
ABSTRACT – Paper presents an analysis of the shear failure mechanism which occurs from the punching
of a working platform layer in relation to its thickness, grain size arrangement and mechanical properties,
taking into consideration the interaction with soft subgrade. The study is based on the observations of
performance of natural scale structures (Streefkerk) and the results of model investigations numerically
represented with the use of FEM capabilities, constitutive models for soft soils (Soft soil model) and real
characteristics of the soil. Two analyzed cases are presented - unreinforced and reinforced working
platforms.
1. Introduction calculations of deformations and stability of earth

structures supported on any natural or reinforced
In order to improve the parameters of a soil using the finite element method.
weak subgrade various techniques of soil Plaxis is based on well formulated constitutive
strengthening (piling, columns, etc.) are employed, laws characterizing soil behaviour. However, the
which most often require the use of heavy tracked programme contains disclaimer, which protects
plants. In such situations, special temporary authors against being held responsible or liable for
structures for superficial strengthening of the soil design errors that are based on the output of Plaxis
are used to enable safe travelling of the machines calculations. This is caused by the simplifications of
on the site. They are called working platforms, soil behaviour, which in the in-situ conditions
which are created from appropriately chosen and shows large parameter variability. Moreover, there
compacted crushed material or non-uniform sands is a possibility of assuming various degrees of
and gravels. Geosynthetics can improve the co- accuracy of the soil behaviour modelling, which
operation of working platform with subgrade and results from the degree of complexity of the
enlarge the bearing capacity of the support analysed example. Hence, the results obtained
structure. Use of working platforms enlarges the from Plaxis calculations should be critically
range of design and construction possibilities. They analysed.
can be used both as temporary structures and also
included later as a component of the permanent 2.2. The methodology of carrying out analyses
soil reinforcement structure. and description of conducted calculations
The idea of the co-operation of the working
platform as a complex structure made from The numerical analysis of the punching failure
subgrade, granular fill and geosynthetic mechanism of the working platform in the plane
reinforcement was described in detail by Jewell state of strain of the deformation was carried out
(1996). using the Plaxis programme, for two cases of the
Skinner (2004) proposed designing working working platform material – crushed-stone
platforms based on the punching failure aggregate and medium sand.
mechanism. Examination of behaviours of the Calculations were made in plane strain in the
mentioned punching failure mechanism and the perpendicular direction to the plane XY. All
load-spread angle in relation to the used granular parameters were assumed for one lineal meter.
fill material is the aim of the analysis introduced in Hence the spatial influences of the soil were
this paper. disregarded.
In order to avoid local numerical instabilities, for
granular soils small cohesion was assumed
2. Numerical simulations. ( c ref 1kPa ).
2.1. Basic information about applied software Modified coefficients for the soft soil describing
stiffness O and N were taken according to
* *
Programme Plaxis 8.2 was used in modelling the Bauduin at al. (1999).
performance of working platforms loaded by heavy Because of the layer of the different soil lying
tracked plants. The programme is intended to do over the soft soil, it was preconsolidated and the
OCR coefficient must be qualified. It was assumed undrained. After generating the water pressure and
for the extreme case of load: stresses the calculations were begun.
In the first stage filling of the granular material
Vp 90 was imitated - the layer which represented working
OCR # 1.2 (1) platform was turned on. In order to avoid the
V ' 0yy 76.31 influence of preliminary displacements on further
calculations and to generate the water pressure,
The characteristic of soil chosen for the displacement was reset to zero and the undrained
calculations is connected with the possibility of soil behaviour was ignored.
appearance of the so-called „crust” of soil, which The loads with the value 1kPa / lm were
increases bearing capacity of soil layer. The incorporated in the next stage. Also on this stage
reflecting it coefficient was assumed to be the displacements were reset, however the
POP 20kPa . behaviour of the undrained soil was already
The elements interface with no thickness considered.
available in the Plaxis programme was used to In the third stage which finished the
characterize the contact zone between soil and calculations, the full loads were incorporated about
geotextile. The reductive coefficient for the bearing
the value p 248 # 77kPa / lm . The behaviour of
capacity parameters of the interface, Rint er tgI , 3.25
was assumed in order to characterize the friction the undrained soil was also considered here.
between soil and geotextile, where I is the angle
of shearing resistance of the given soil layer. 2.4. Analysis of the reinforced case
Geosynthetic reinforcement is characterized in
the Plaxis programme by the elastic normal (axial) Figure 2 illustrates the received geometry
stiffness EA which is defined by augmentation of of the case. Soils were defined similarly as in the
the Young module of geosynthetic by its thickness. unreinforced case.
It is put into the programme in the units of force by In the first stage geosynthetic layer was
the width of the structure. introduced and simultaneously the interface
The value of axial stiffness (tangent modulus) is between the clay and geosynthetic layer was
based on the tensile strength in machine direction turned on. The behaviour of the undrained soil was
tests of the applied geotextile, through drawing a ignored in this and next computational stages to
perpendicular line to the graph representing the avoid the preliminary displacements which could
average value from tests and the qualification of lead to incorrect calculation.
the angle of inclination. Hence the value The second stage reflects filling the layer of
EA 176kN / m was obtained. granular material. The layer of granular fill is turned
on and upper interface is activated. Displacements
are reset to zero.
Figure 1. Geometry of the unreinforced working

platform case.
Figure 2. Geometry of the reinforced working
platform case.
2.3. Analysis of the unreinforced case
Loads with the value 1kPa / lm are introduced in
The assumed geometry of the case is presented in
Figure 1. the third stage. The behaviours of the undrained
The layers of granular soils were defined as soil are considered and preliminary displacements
drained and the soft soil was assumed as are reset to zero. To better simulate the
performance of geosynthetic the mesh was
additionally thickened.
In the fourth and last stage, the full load with the
value p 248 # 77 kPa / lm was introduced. As in
3.25
the previous stage the mesh was left thicker and
the undrained behaviour of the soil was involved.
3. Results of the analysis
The punching failure mechanism is clearly visible

on the printout from the programme illustrating total
displacements. Pushed out soil masses are visible
in Figure 3. The thicker granular fill of working
platform is, the smaller are displacements of soil
masses. In the Figures 3 and 4 load-spread angle
and its clear enlargement with the application of
geosynthetic reinforcement can also be observed.
Figure 5. Relationship between unreinforced
working platform thickness and settlements
Figure 3. Medium sand 30 cm (first 3 m under land

surface)
Figure 6. Relationship between reinforced working

platform thickness and settlements
Figure 4. Medium sand 30 cm (first 4.5 m under

land surface)
Table I. Displacements of two working platform

cases
Displacements [cm]
Working Unreinforced working Reinforced working
platform platform platform
thickness Crushed- Crushed-
[cm] stone Medium stone Medium
sand sand
aggregate aggregate
15 failure failure failure failure
20 21.3 11.17 9.9 failure
25 12.8 19.2 8.9 9.3 Figure 7. Relationship between reinforced and
30 10.4 12.8 8 8.4 unreinforced working platform thickness and load-
50 5.2 6.7 5 6.2 spread angle
70 3.3 4.2 4.1 4.6
90 2.5 2.4 3 3.6
110 2.1 2.4 - -
The analyses give the expected result (Table I). 5. References

The thicker layer of granular fill working platform
has the smaller settlements of the two-parameter Bauduin, C.M., De Vos, M., Vermeer, P.A. (1999)
system working platform - soft soil. The granular fill Back Analysis of Staged Embankment Failure:
material has also considerable influence on the The Case Study Streefkerk, Proceedings Plaxis
settlement. Use of the material with the higher Symposium "Beyond 2000 in Computational
angle of shearing resistance gives visibly better Geotechnics", Amsterdam, Rotterdam:
results. Crushed-stone aggregate with the angle of Balkema, 1999, pp. 79-90.
shearing resistance I 40 $ , in comparison with Jewell, R. A. (1996). Soil reinforcement with
geotextiles. CIRIA Special Publication 123.
medium sand I 35 $ , has on the average about (Chapter 12, Working platforms and unpaved
17.4% smaller settlements in case of unreinforced roads, pp 235–289.).
working platforms and about 11.2% smaller Skinner H (2004). Working platforms for tracked
settlements in case of reinforced working platforms. plant: good practice guide to the design,
It is presented on the Figures 5 and 6. It can be installation, maintenance and repair of ground-
observed from graph presenting behaviour of rein - supported working platforms.
forced working platform (Figure 5) that together Vermeer P.A. Plaxis. Finite Element Code for Soil
with increasing thickness the settlements diminish and Rock Plasticity. V. 8.2. A.A. Balkema,
Rotterdam, Brookfield.
visibly. In the r einforced case the settlements are
Verruijt A. (2001) Soil Mechanics, Delft University
leveled (Figure 6). The load-spread angle also of Technology, 2001.
undergoes the profitable change from enlarging
thickness of the working platform. Its average
value in comparison of working platforms with
about 30 and 70 cm thickness increases about
31.5% for unreinforced working platforms and
about 11% for working platforms reinforced with
geosynthetic (Figure 7). Moreover it should be
consider that the load-spread angle is visibly
higher, if the geosynthetic reinforcement is applied.
$
It is in average about 40 .
4. Conclusions
The reaction of the main failure mechanism of

working platforms is strongly dependent on the
thickness of working platforms and the load-spread
angle of granular fill material. Thicker layer and
higher value of the load-spread angle counteract
the results of the punching failure mechanism.
However, in designing it is important that these
values be chosen in the optimal way to
simultaneously assure safety and economical
utilization of the granular filling material.
The significance of applied geosynthetic
reinforcement cannot be ignored. As the analysis
showed the use of geosynthetic is very beneficial.
In the case of appropriately designed working
platforms thicknesses, the use of geosynthetic
reduces total displacements of soil particles,
settlements, plastic points and decrease visibly
load-spread angle. Moreover, the separation
function should be remembered, which is hard to
prove with the use of a modelling programme,
however, it is supported by the engineering
practice.
PILE SET-UP IN COHESIONLESS SOIL

EVOLUTION POST-BATTAGE DE LA CAPACITÉ PORTANTE DES PIEUX
DANS LES SOLS FROTTANTS
Stina DAHLBERG
1
Ramboll, Stockholm, Sweden
ABSTRACT - Piled cohesionless soil shows an increase of bearing capacity with time after installation, this
phenomenon is called set-up or freeze. The cost could be reduced if the set-up had been taken into account
when designing pile foundation, but in Sweden it is very unusual to do that. Previous studies showed
difficulty to predict the phenomenon and that set-up can vary between 25% and 75% during the first 90 days
after the pile installation. A study involving five projects have been carried out by specifying certain
parameters like pile type, method for pile installation and test method for measure the bearing capacity in
cohesionless soils located in Sweden. An empirical relationship to predict the bearing capacity has been
used in the study. An interesting result of the study showed that the pile length influences how large the pile
set-up gets. A parameter that indicated to have impact on the outcome of the phenomenon was the order of
installations of the piles. Stress rearrangement in the soil is one of the mechanisms behind the set-up.
1. Introduction involving five projects have been carried out by

specifying certain parameters like pile type, method
A lot of constructions are founded on piles. The for pile installation and test method for measure the
foundation costs are around 5 % of the total cost bearing capacity in cohesionless soils located in
for buildings and up to 30 % of the total cost of Sweden.
bridges (Alawneh et al. 2009). To find the best pile
design for economical and quality reasons the piles
in a project are often tested with dynamic pile test
methods. The test results often show an increase
of the bearing capacity in time and this means that
the capacity of the pile foundation can be reduced
as well as the total cost. Unfortunately the pile set-
up phenomenon is quite complicated. According to
previous studies it is shown that the set-up can
vary between 20% - 75% during the first 90 days
after pile installation (Åstedt et al. 1994).
This phenomenon is known for more than 100
years and the first scientific report was published in
1972 (Tavenas and Audy). Previous studies show
that the pile set-up for friction piles in sandy
cohesionless soil is between 10-100% during the Figure 1. Summary of different cases with pile set-
first two years after pile installation (Tavenas and up in cohesionless soil (Yang and Liang 2009).
Audy 1972, Åstedt et al. 1994, Chow et al. 1998,
Long et al. 1999, Axelsson 200). Figure 1 shows a 1.1. Pile set-up – mechanism
summary of pile set-up per log cycle in time from
different studies. Most of the results are in an The bearing capacity for driven piles is during time
interval between 10 and 90% increase of bearing after the installation (Ng et al. 2010, Chen et al.
capacity per log cycle in time from different studies. 1999, Axelsson 2000, Bullock et al. 2005, Jardine
The results in this study have been close to those et al. 2006, Komurka et al. 2003). There are still
results. gaps and lack of knowledge in the area and that
The logarithmic relationship shown in Figure 1 is makes the phenomenon difficult to use in design.
from the beginning presented in 1988 by Skov and There are different models that describe the
Denver. The equation has two variables, time of the mechanism behind the set-up phenomenon. One of
measure and the bearing capacity. A growth factor them is made by Komurka et al. (2003) and is
(A) which is based on empirical studies is also one acting in three different phases according to Figure
of the factors in the equation. The equation was 2. The first phase is a logarithmically nonlinear rate
used in this study as well as many present studies. of excess porewater pressure dissipation. The
Designing methods of friction piles considering set- second phase is a logarithmically linear rate of
up is known but barely used in Sweden. A study excess porewater pressure dissipation and during
the third phase the pile set-up is independent of Table I. Suggested values for the growth factor A.
effective stress, it is called aging. The aging can (Axelsson and Baker 2007).
last for long time depending on the soil type. The Soil type Growth factor
major part of the set-up occurs within the first Silt 0,5
month. Silty sand 0,4
Sand 0,3
Coarse sand 0,2
2. Case study
Totally five different project with 53 piles has been

analyzed in this study. The conditions like soil type,
pile type, the installation method and measurement
method are almost the same which is important to
make the projects comparable. Table II shows a
summary over the piles which have been studied
and also the location in Sweden and pile type. Pile
types SP2 and SP3 are concrete piles with the
dimensions 235 x 235 mm.
Table II. Summary over piles in the study.

Project Number Pile Location (city)
Figure 2. Schematic figure of set-up phases
of piles type (city)
(Komurka et al. 2003).
1 16 SP2 Södertälje
The largest set-up is in the second phase. The 2 8 SP2 Umeå
duration of the phases depends on the soil (for 3 5 SP2 Umeå
example soil type, permeability and sensitivity) and 4 14 SP2 Södertälje
the pile (material and size). Pile set-up is reported 5 10 SP3 Stockholm
for all kinds of piles (Komurka et al. 2003).
There are a lot of variables that have impact on In Figure 3 the geological conditions are schematic
the set-up. Stress rearrangement in the soil is one and simplified shown.
of the mechanisms behind the pile set-up
phenomenon.
1.1.1. Predicting pile set-up
Equation 1 shows a linear relation between

increased bearing capacity and time-logarithm. The
equation is the most common and most used for
predicting bearing capacity in piles (Skov and
Denver 1988):
Figure 3. Summary of the projects soil layers.
Q §t ·
1 A log¨ ¸ (1) The study has been mostly based on data from the
Q0 ¨ ¸ constructor, partly from the dynamic pile load tests
© t0 ¹ that had been done two different dates for all the
projects. From the tests the bearing capacity for the
where Q and Q0 is the bearing capacity of the pile piles are known and the time after installation when
at the time t and t0 in days after pile installation. As the test was done. That made it possible to
mentioned A is the growth factor which calculate a growth factor A for each pile.
corresponds the relative increase of the bearing
capacity per log cycle. Different values are 3. Result
suggested in literature and general A can be used
as 0.2 (Skov and Denver 1988). Table I shows The growth factor A was varying a lot both in
different values for A depending on different soil projects and in between them. The lowest A-value
types. was -0,09 and the largest was 1,64. Figure 4 shows
a summary of pile set-up per log cycle in time from
different studies. Most of the results are in an
interval between 10 and 90% increase of bearing
capacity per log cycle in time from different studies
(compare this figure to Figure 1).
Figure 4. Summary of all piles with pile set-up in Figure 6. Measured bearing capacity and
cohesionless soil. calculated bearing capacity according to Equation 1
where A=0.3, r = 0,22.
Though the length of the piles was not constant
it was possible to compare the A-factor and the
length. Figure 5 shows that the pile length has an
impact on A.
Figure 7. Proposed method by taking the pile

length into account. Measured bearing capacity
and calculated bearing capacity according to
Equaiton 2, r = 0,50.
Figure 5. Evaluated growth factor, A, for all projects
as a function of the pile length. 4. Conclusions
Equation 1 only is based on two variables and after The A-factor is not as easy to find out as it seems
using the well-known formula the results showed a to according to Equation 1 and Table I. Maybe if
large difference for A. A proposed method for there is a totally homogenous soil layer in the
predicting the bearing capacity was made and whole profile. In Sweden it is usually mixed
shown in Equation 2: fractures of the cohesionless soils and this can
make it complicated to predict the bearing capacity.
Q §t ·
1 (0,02 L 0.22) log¨ ¸
Equation 1 is the most used method to predict the
(2)
Q0 ¨ ¸ bearing capacity but the results in this study
© t0 ¹ showed that more parameters are needed to take
into account (as pile length, Equation 2). This
where L is the pile length. A comparison was done shows that more work has to be done in this area.
between Equation 1 and 2. In Equation 2 the
growth factor 0.3 was used. Figure 6 and 7 shows 5. Further work
the set-up quote from the dynamic pile load tests
and the theoretical set-up quote from Equation 1 Since stress rearrangement is one of the
with A equal to 0.3 and Equation 2. The correlation mechanisms behind the pile set-up an interesting
coefficient for Equation 2 (r = 0,50) was higher than question showed up. Why do piles in same project
the correlation factor for Equation 1 (r = 0,22). and similar conditions show different pile set-up
result, even when they are installed in the same
area? How did the installation order of the piles
impact the pile set-up? Maybe a pile which is driven
early in the project gains more set-up than the last
pile in the project?
References
Alawneh A.S., Nusier O.K., Awamleh, M.S. (2009).

Time dependent capacity increase for driven
pile in cohensionless soil. Jordan Journal of Civil
Engineering 3(1), pp. 1-31.
Axelsson G. (2000). Long-term set-up of driven
piles in non-cohesive soils. PhD thesis, TRITA-
AMI-PHD 1035, Royal Institute of Technology,
Stockholm.
Axelsson G., Baker S. (2007). Slagna friktionspålar.
Pålkommisionen Report number 103, Linköping,
Sweden.
Bullock P.J., Schmertmann J.H., McVay M.C.,
Townsend F.C. (2005). Side shear set-up. I:
Test piles driven in Florida. Journal of
Engineering, ASCE, 131(3), pp. 292-300.
Chen C.S., Liew S.S., Tan Y.C. (1999). Time
effects on the bearing capacity on driven pile.
11th Asian Regional Conf on Soil Mechanics &
Geotechnical Eng, Balkema, Rotterdam.
Chow F. C., Jardine R.J., Brucy F., Nauroy J.F.
(1998). Effects of time on capacity of pipe piles
in dense marine sand. ASCE, Journal of
Engineering 124(3), pp. 254-264.
Jardine R.J., Standing J.R., Chow F.C. (2006).
Some observations of the effects of time on the
capacity of piles driven in sand. Geotechnique,
56(4), pp. 227-244.
Komurka V.E., Wagner A.B., Tuncer B.E. (2003).
Estimating soil/pile set-up. Wisconsin Highway
Research Program 0092-0014. Wagner
Komurka Geotechnical Group, Inc., Cedarburg,
Wisconsin.
Long J.H., Kerrigan J.A., Wysockey M.H. (1999).
Measured time effects for axial capacity of
driven piling. Transportation Research Record
1663, pp. 8-15.
Ng W.K., Selamat, M.R., Choong K.K. (2010).
Soil/Pile Set-up Effects on Driven Pile in
Malaysian Soil. The Electronic Journal of
Geotechnical Engineering, 15 (A).
Skov R. Denver H. (1988). Time-dependence of
bearing capacity of piles. 3:th Int. conf.
Application of stress wave theory to piles,
Ottawa, pp 879-888.
Tavenas F., Audy, R. (1972). Limitation of the
driving formulas for predicting the bearing
capacities of piles in sand. Canadian
Geotechnical Journal, 9(1), pp. 47-62.
Åstedt B., Weiner L., Holm G. (1994).
FRIKTIONSPÅLAR – bärförmågans tillväxt med
tiden. Pålkommisionen, report number 91.
Statens geotekniska institut, Linköking, Sweden.
Yang L., Liang R. (2009). Incorporating setup into
load and resistance factor design of driven piles
in sand. Canadian Geotechnical Journal, 46, pp.
296-305.
SOME CONSIDERATIONS ABOUT GEOTECHNICAL

CHARACTERIZATION ON SOILS WITH OVERSIZE
QUELQUES CONSIDÉRATIONS POUR LA CARACTÉRISATION DES SOLS
COMPORTANT DES GROS ÉLÉMENTS
1 2
Leonardo DORADOR , Gaspar BESIO
1
The University of British Columbia, Vancouver, BC, Canada
2
University of Chile, Santiago, Chile
ABSTRACT – In determined civil and mining projects there are no chances to conduct a geotechnical
characterization on soils with oversize based on in situ and laboratory testing. In these cases it is required to
use charts and correlations to predicting some important geotechnical parameters of these soils. Based on
this, this article is focused in three topics. The first topic is the chart to estimate the minimum and maximum
void index in granular materials. Some previous charts are shown and a new chart and data is included. The
second topic discussed is an influence of the D50 in the maximum void index. Laboratory testing results
shows that larger D50 decrease the maximum void index independently of the uniformity coefficient CU. The
last topic discussed is the peak friction angle based on the Leps’ Chart. In this work, new large triaxial data is
included into this chart and some recommendations to use it appropriately are proposed.
1. Introduction relative density parameter (RD%). However, it is

important to add that until date there is no enough
Soils with oversize or coarse granular soils are charts or correlations to obtain these parameters in
used in many civil and mining projects around the soils with oversize. The following correlations
world. Although these materials are very important proposed are intended to be used as a good
in these projects, it is hard to be characterized due estimation in conceptual and feasibility studies but
to the large sizes of their particles. Additionally, in not in higher detailed stages of any project
conceptual and feasibility stages of any project, it involving soils with oversize or coarse granular
is important to have a rough idea of the material’s soils.
characteristics. However, the lack of charts and
correlations keep off a good geotechnical 2.1 Correlations to obtain emin
characterization of these soils. In this work, some
correlations on soils with oversize are discussed. Kezdi (1979) provided a good correlation between
Firstly, the existing charts of minimum and the maximum density with the uniformity coefficient
maximum void index are discussed. These (Cu). In addition, Gesche (2002), De la Hoz (2007)
parameters depend strongly on how well graded is and Dorador (2010) collected more maximum
the particle size distribution or specifically in the density data (using the standard ASTM D 4253 –
uniformity coefficient (CU) 00) and a correlation that fix with Kezdi’ correlation
Secondly, the influence of the D50 in the has been obtained.
maximum void index is studied. Some data This correlation (Figure 1) includes fluvial gravel
collected show that the emax is lesser increasing material (sub-rounded), crushed gravel (sub-
the average diameter of the material. angular) and this is an alternative chart of what is
Finally, the shear strength, which is one of the proposed by Biarez (1994). The Biarez’s chart
key parameters for design is discussed. There is a agrees partially with the proposed chart. However,
chart by Leps (1970) which has been widely used the former remains constant after CU higher than
until these days. However, new data obtained from 10, which is not agreeing with this proposed chart.
the large triaxial equipment of IDIEM (Verdugo Thus, this correlation using the CU is a good
2007), shows that the Leps chart could first approximation of the maximum packing of the
overestimate the shear strength of soils with material analyzed. Of course, in order to get a
oversize in some cases. closer correlation we should consider other
parameters involved in the minimum void index
such as sphericity and angularity of particles,
2. Minimum and maximum void index in soils maximum particle size (D100) and gradation
with oversize coefficient (D30).
It is well known the importance of obtaining the

emax and emin not only for providing the ranges of
material densities but also for estimating the
0,8
Kezdi, 1979
2.3 Methodology to obtain a precise value of
0,7
emin and emax for soils with oversizes (Coarse
Al Hussaini, 1983
Granular soils)
0,6 De la hoz (2007), Dorador
(2010) and Gesche (2002)
In some projects involving soils with oversize, it is
0,5
important to have accurate values of emin and emax
and so, to obtain the relative density (for example
emin
0,4 Biarez
Subangular
Rockfill dams and Waste rock Dumps in mining).
0,3 Additionally, there is no standard methodology
Upper limit
Average emin
to obtain the minimum and maximum void index for
0,2
Biarez
Subrounded Lower limit soils with oversizes. Thus, it is proposed the
0,1 following methodology to obtain the emin and emax
1 10 100 1000 (Figures 3 and 4).
Uniformity coefficient [Cu= D60/D10]
First, to obtain the Macro gradation of the soil
with oversize. Second, to scale the Macro
gradation in three smaller gradations with
Figure 1. Correlation between emin and CU maximum particle size of 37.5 mm (3”), 25.4 mm
(1”) and 4.75 mm (4# mesh). Third, to conduct
2.2 Correlations to obtain emax minimum and maximum densities for each scaled
gradation. Fourth, to obtain potentials regressions
Certainly, this parameter tends to be more difficult for each emax and emin regression as emax = a D100-m
to be obtained by charts, etc. This is because the and emax = b D100-n. Fifth, to extrapolate the emax
minimum density by the standard ASTM-4254 is and emin to the desire D100.
more sensible to the particle’s shape (sphericity
and angularity), average size of the sample (D50)
and the expertise of the technician who conducts
the test.
In order to have a rough idea of the emax, one
alternative is to use the following chart (Figure 2)
which has been updated with data by Veiga Pinto
(1979) Cubrinovski, et al. (2002) and De la Hoz
(2007). This chart considers the lineal relationship
between the emin and emax.
Figure 3. Scaled gradations from Macro

Gradation. To obtain these scaled curves is
necessary to fix the minimum diameter of the
Macro gradation and translate the maximum
diameter of this gradation.
Figure 2. Relationship between emin and emax,

De la Hoz (2007).
Thus, knowing the value of emin (for example,

using Figure 1) it is possible to use this chart to
obtain the emax (for example using Line 2 on Figure
2). Again, these charts are intended to be used as
a rough idea of the minimum and maximum
packing of granular materials.
Figure 4. Potential regressions of emin and emax

from scaled gradations
3. Influence of D50 in the maximum void index has been updated by some authors such as
(emax) on soils with oversize Indraratna et al. (1993) and Contreras (2011).
It is important to note that most of these tests
In general terms, the emax of granular materials were carried out in samples with high confection
with gravels are obtained by the standard ASTM density, high particle strength and low to moderate
D4254 (Methods A and B). It is clear that the emax confining pressures, which facilitated the dilatancy
increases for higher CU, but seems to be that the of most of the samples and therefore peak
average size of the tested material tends to strengths were obtained during the tests.
produce higher emax too. The following data is
considered in Figure 5. Gesche (2002),
considering two materials, one fluvial gravel (A1)
and one sub-angular gravel (M1). De la Hoz (2007)
considering two fluvial gravels (M2 and M3) and
one sub-angular gravel (P1). Dorador (2010)
considering one fluvial gravel (A2)
Figure 6. Leps’ charts (1970)
Nevertheless, typical requirements from mining

projects involve the use of large amount of soils
with oversize and waste rock materials, which
Figure 5. Influence of D50 in emax – Materials sometimes are found with low relative density and
with CU ranging from 1.8 to 29 low particle strength. Several large triaxial tests
have been carried out since 2007 to date (Bard et
In this graph it is possible to classify three
al., 2007, Palma 2009 and Dorador 2010) using
ranges of D50 (0.5 to 2 mm, 2 to 7 mm and higher
the large triaxial device at Idiem Institute in Chile
of 7 mm). Thus, for a constant value of emin, the
(Verdugo 2007).
emax is less for higher values of D50.
According to Figure 7, these large triaxial series
The probably explanation of this result can be
didn’t undergo the steep fall in strength such as the
the following. When the minimum density test is
materials analyzed by Leps. The reason why is
conducted, the larger particles that are being
because these entire tests had a contractive
poured into the mold seem to compress the
behavior due to low relative density or low particle
smaller particles, which are on top of the particle’s
strength (E.R material) and the peak strength was
pile. This produces a local compaction and
never obtained.
therefore a higher minimum density.
4. Leps chart Update
One alternative way for obtaining the shear

strength on coarse soils or rockfill is using the Leps
Chart (1970) which allows obtaining the secant
friction angle based on the confining pressure and
strength of the material. Leps made a collection
from the literature of 100 large triaxial tests in
rockfill materials, and he defined three bands that
fix the soil strength (Low, average and high
strength, Figure 6).
Most of these tests were conducted by Marsal
(1965 and 1967) using the first large triaxial device
in the world, which was used in studying the rockfill
materials of Infiernillo Dam. After Leps, this chart
Figure 7. Contractive behavior of Rockfills
Thus, it is very important to knowing the state of Cubrinovski, M. and Ishihara, K. (2002). Maximum
the coarse soil in the field. For example, the Leps and minimum void ratio characteristics of
chart could be used for estimating the shear sands. Soils and Foundations, 42 (6): 65-78.
strength of rockfills dams, where the construction De la Hoz, K. (2007). Estimación de los
material is typically well compacted. parámetros de resistencia al corte en suelos
However, the Leps chart is not recommended granulares gruesos, Tesis de Ingeniero Civil y
to be used in waste rock dumps, Dump leached Magister. FCFM. Universidad de Chile.
material or coarse soils from mining which are Santiago, Chile.
placed in the field by dumping. This is because Dorador, L. (2010). Análisis experimental de las
these materials are going to behave contractively, metodologías de curvas homotéticas y corte en
not reaching peak strength (due to low in situ la evaluación de propiedades geotécnicas de
density of the material) and so, not having the suelos gruesos. Tesis de Ingeniero Civil y
steep fall in strength proposed by the chart. Magister. FCFM Universidad de Chile,
Santiago, Chile.
Gesche, R. (2002). Metodología de evaluación de
4. Conclusions parámetros de resistencia al corte de suelos
granulares gruesos. Tesis de Ingeniero Civil,
This article intends to show some considerations FCFM. Universidad de Chile. Santiago, Chile.
that should be included when conducting a Kezdi, A. (1979). Soil physics. Amsterdam:
geotechnical characterization on soils with oversize Elsevier.
(coarse granular soils). Leps, T. (1970). Review of Shearing strength of
The minimum and maximum void index on rockfill. Journal of the Soil Mechanics and
coarse soils was studied and the correlation Foundations Division, 96(4): 1159-1170.
between emin and CU was discussed. Here, it is Marsal R.J, et al. (1965). Research on the
proposed to improving this correlation on soils with Behavior of the Granular Material and Rockfill
CU higher than 100 and so, to corroborate if the Samples. Comision Federal de Electricidad,
soil density increases after high values of CU. Mexico.
The influence of D50 in the emax was studied. It Marsal R.J (1967). Large Scale Testing of Rockfill
was found that higher D50 implies lesser emax (or Materials, ASCE Journal of the Soil Mechanics
higher minimum density), maybe associated to that and Foundation Division, Vol, 93, No SM2.
larger particles tend to produce a better USA.
arrangement with smaller particles when the Palma C. (2009). Caracterización geotécnica de
material is poured into the mold. materiales de lastre en botaderos de gran
Finally, the Leps chart for rockfill strength was altura mediante ensayos triaxiales y
discussed. Based on new large triaxial device from odométricos de gran tamaño. III Conferencia
IDIEM Institute, several soils with oversize were Sudamericana de Ingenieros Geotécnicos,
tested and they didn’t reach the peak secant Córdoba, Argentina.
friction angle and therefore, they didn’t follow the Verdugo, R., Peters G. and Bejarano I. (2007).
steep fall in strength proposed by Leps. These new Evaluación de parámetros geomecánicos de
tests were conducted with low confection density suelos gruesos. VI Congreso Chileno de
or low particle strength, which resulted in a Geotecnia, Valparaíso, Chile.
contractive behavior on the tests and therefore its
didn’t reach the peak strength. Thus, Leps chart
should overestimate the strength for low density
materials or coarse soils with low particle strength.
5. References
Al-Hussaini, m. (1983). Effect of particle size and

strain conditions on the strength of crushed
basalt. Canadian Geotechnical Journal, 20(4):
706-717.
Bard, E., Campaña, J.,Aanabalón, M., Apablaza,
R. (2007). Comportamiento de lastre rom
sometido a altas presiones. Libro de
resúmenes, VI Congreso Chileno de Geotecnia,
Valparaíso Chile.
Biarez, J. and Hicher, P-Y (1994), Elementary
Mechnics of Soil Behaviour. Saturated
Remoulded Soils. A. A. Balkema, Rotterdam.


THE INFLUENCE OF HEATING AND COOLING ON THE

STRUCTURAL STRENGTH OF A CLAYEY SOIL
INFLUENCE DU CHAUFFAGE ET DU REFROIDISSEMENT SUR LA

RÉSISTANCE STRUCTURELLE D'UN SOL ARGILEUX
Kai GU1, 2, Bin SHI1, Chaosheng TANG1, Jiaojiao HONG1

1
School of Earth Sciences and Engineering, Nanjing University, Nanjing, China
2
Department of Engineering, University of Cambridge, Cambridge, United Kingdom
ABSTRACT - This paper presents the preliminary findings of a laboratory investigation of the influence of
heating and cooling on the structural strength of a highly overconsolidated clayey soil using a SMP-1
micropenetrometer. A total of 11 samples of different dry densities and degrees of saturation were prepared.
In the range of 20 to 50°C, one heating and cooling cycle was conducted to S1-S9 and three cycles were
conducted to S10 and S11. The results indicate that heating decreased the structural strength of the soil while
cooling increased the structural strength. The cyclic heating and cooling was found to increase the structural
strength of the soil. In addition, the structural strength of the soil was observed to increase sequentially with
the number of the thermal cycles.

1. Introduction 2.2. Equipment

The effects of temperature on the mechanical A schematic diagram of SMP-1 can be seen in
behaviour of soils are of great concern in many Fig.1. During the penetration process, the probe
conditions. In the last several decades, researches endures both the end resistance and the peripheral
indicated that temperature effect on soils are quite friction while it only endures the peripheral friction
complicated and often contradictory (Baldi et al., during the withdrawal. Based on the following two
1988; Wiebe et al. 1998; Sultan et al. 2002; Romero assumptions: (1) the friction during penetration
et al. 2003; Villar and Lloret. 2004; Bolzon and equals the friction during withdrawal; (2) no soil body
Schrefler. 2005). In the lab, the temperature effects
on the mechanical behavior of soils are mainly
investigated in a macroscopic way through triaxial
tests, direct shear tests, oedometer tests, etc. This
paper presents the investigation of the effect of
heating-cooling on the structural strength by
penetration tests using a micropenetrometer
(SMP-1), which has been approved to be used to
detect the structural strength of soil aggregates by
referencing the magnitude of intrusion force when
the mini-probe breaks apart and passes through a
microstructural unit of a soil (Liu et al. 2006).
2. Soil, equipment and specimen preparation

2.1. Test soil
Figure 1. Schematic diagram of modified SMP-1 for
The laboratory tests were performed on a natural penetration tests. 1. Crossbeam; 2. Load cell; 3.
high liquid limit clayey soil (CH) from Pukou District, Vertical shaft; 4. Displacement transducer; 5. Probe;
Nanjing. This soil has a liquid limit of 76%, a plastic 6. Water bath; 7. Container and specimen; 8.
limit of 29%, a plasticity index of 47 and a specific Loading disk; 9. Traverse stage; 10. Control box; 11.
gravity of 2.71. The grain size distribution is 24.4% Control panel
sand, 33.6% silt and 42.0% clay. The mineralogical
composition of the clay component is approximate accumulate at the end of the probe due to its small
17.9% montmorillonite, 73.6% illite and 8.5% diameter (i.e. 1mm), the relationship between the
kaolinite. end resistance and the corresponding penetration

depth can be obtained by deducting the peripheral

friction at any penetration depth from the total

penetration resistance. The load cell (2 in Fig.1) is
used to measure the total resistance during
penetration and the friction during withdrawal. The
displacement transducer (4 in Fig.1) is used to
measure the penetration depth. Fig.2 shows the

typical penetration curves. The curves during
penetration and withdrawal were observed to be
smooth confirming that no soil body accumulated at
the end of the probe. The small fluctuation of the
end resistance can be attributed to the Figure 3. Schematic diagram of specimen container and
its adjunct. (a) The profile of the container; (b) Top view
rearrangement and rotation of soil particles (sand of the top cover
size grains in particular). To control the temperature
during tests a water bath (6 in Fig.1) was also fixed
on the loading disk. Table 1. Physical properties and penetration depth
of tested specimens
2.3. Specimen preparation
ρd Sr Penetration
No.
(g/cm3) (%) depth(mm)
Prior to preparation, the soil was ground to pass a
2mm sieve and oven dried. Pre-determined amount S1 1.46 60 30
of distilled water and soil were carefully mixed and
cured in sealed plastic bags to achieve homogeneity. S2 1.46 70 40
The soil was statically compacted into a steel S3 1.46 80 40
S4 1.46 90 40
S5 1.54 70 25
S6 1.54 80 40
S7 1.54 90 40
S8 1.62 80 40
S9 1.62 90 40
S10 1.46 70 35
Figure 2. Penetration curves and linear fitting S11 1.54 70 35
container to determined dry density in two equal for tests S1-S9 while three heating-cooling cycles
layers. Fig.3(a) shows the schematic drawing of the were applied for tests S10 and S11. For each test,
container. The final size of the specimen is 60mm in the initial temperature was controlled at 20°C.
height and 99.2mm in diameter. In order to prevent During heating, the temperature was increased from
moisture loss, a thin top cover (Fig.3(b)) was placed 20 to 30, 40 and 50°C step by step. During the
on the specimen’s surface and fixed by three short subsequent cooling, the temperature was
fixing bars. A total of 97 small holes (3mm in decreased from 50 to 40, 30 and 20°C step by step.
diameter) were drilled in the metal cover for At each temperature step, the specimen was
positioning the penetration points. Finally, all maintained in an oven for at least 16h. Then the
possible joints for water immigration were sealed by specimen was subjected to penetration tests. With
silicon sealant. In total, 11 specimens of different dry the application of the water bath, the temperature of
densities and different degrees of saturation were the specimens can be kept constant during the tests.
prepared (Table 1). After finishing all penetrations at each temperature
step, the specimens were again cured in the oven
for another 16h at the next temperature step. For
3. Penetration tests
tests S1-S9, ten parallel penetration tests were
performed at a constant penetration rate of
A series of penetration tests were carried out on
10mm/min at each temperature step. For tests S10
the prepared specimens at different temperatures
and S11, seven parallel tests were carried out at the
steps (Fig.4). One heating-cooling cycle was applied
rate of 10mm/min at the temperature of 20 and
50°C.

The data of resistance and displacement signal

were acquired by a computer. In practice, the probe
might be stuck during withdrawal occasionally due
to the high structural strength of some specimens,
therefore different penetration depths were applied
on different specimens (Table 1).

Figure 4. Temperature paths of the tests
4. Test results and discussion
The penetration curves were linearly fitted after

deducting the first 3mm (Fig.2). Fig.5 illustrated the
variation of the end resistance at the depth of 30mm
with cyclic temperature. It was observed that
heating softened the soil while cooling strengthened
the soil. In addition, the penetration resistance
during the cooling path was higher than that during
the heating process, suggesting that the cyclic
heating-cooling can improve the structural strength
of soil. This was further confirmed by tests on S10
and S11 (Fig.6). A general trend can be observed Figure 5. The variation of the end resistance at
that in each cycle the end resistance measured 30mm depth during a heating-cooling cycle.
during the heating path is lower than that measured
during the cooling path and, as a consequence, the
structural strength was observed to be improved.
On the other hand, there is no clear trend on the
variation of the slope of the relationship between the
temperature and the resistance during the thermal
cycles (Fig.5, Fig.6).
The increased penetration resistance can be
interpreted by the expansive stain accumulation
during the thermal cycles. Measurements of the
axial thermal expansion coefficient under
mechanically unconfined conditions performed on
compacted bentonite by Romero et al. (2005)
released that some axial strain was irreversible after
the first heating-cooling cycle. Due to thermal
expansion of mineral particles and adsorbed water,
some irreversible effects on soil skeleton are
produced at low vertical stress. By contrast, it has
also been observed that the specific volume of soil
was reduced by thermal loading and unloading with
the net stress of 50kPa and the effect was more
significant when the net stress increased to 200kPa Figure 6. Influence of temperature cycles on the end
by Uchaipichat and Khalili (2009), who further resistance (at 30 mm depth)
concluded that the volume change due to heating in
highly overconsolidated soil is in the form of an 5. Conclusions
elastic dilation. Nevertheless, the increase of
penetration resistance releases the increasing A series of penetration tests on highly
internal stiffness after thermal cycles. overconsolidated unsaturated soil using SMP-1

penetrometer indicates that heating reduced the Romero, E., Villar, M.V., Lloret, A. (2005).
penetration resistance while cooling increased it in Thermo-hydro-mechanical behaviour of two
the range of 20 to 50°C. In addition, internal heavily overconsolidated clays. Engineering
stiffness of soil was increased by thermal cycles. Geology, vol. 81, pp. 255-268.
Uchaipichat, A., Khalili, N. (2009). Experimental
investigation of thermo-hydro-mechanical
6. References behaviour of an unsaturated silt. Géotechnique,
vol. 59, no. 4, pp. 339-353.
Baldi, G., Hueckel, T., Pellegrini, R. (1988). Thermal Villar, M.V., Lloret, A. (2004). Influence of
volume change of the mineral-water system in temperature on the hydro-mechanical behavior of
low-porosity clay soils. Canadian Geotechnical a compacted bentonite. Applied Clay Science, vol.
Journal. vol. 25, pp. 807-825. 26, pp. 337-350.
Liu, Z.B., Shi, B., Sheng, D.C. 2006. A Wiebe, B., Graham, J., Tang, G.X., Dixon, D. (1998).
micropenetrometer for detecting structural Influence of pressure, saturation, and
strength inside soft soils. Geotechnical Testing temperature on the behaviour of unsaturated
Journal. vol. 29, no. 6, pp. 443-450. sand-bentonite. Canadian Geotechnical Journal.
vol. 35, pp. 194-205.
PHYSICAL MODELLING OF TUBE SAMPLING DISTURBANCE IN

CLAYS
MODELISATION PHYSIQUE DU REMANIEMENT DES ARGILES LORS DU
CAROTTAGE
Eyre HOVER1, Qing NI2, Ian GUYMER3
1
PhD student, Civil and Environmental Research Group, School of Engineering, University of Warwick,
Coventry, CV4 7AL, United Kingdom
2
Associate Professor, Civil and Environmental Research Group, School of Engineering, University of
Warwick, Coventry CV4 7AL, United Kingdom
3
Professor, Civil and Environmental Research Group, School of Engineering, University of Warwick,
Coventry, CV4 7AL, United Kingdom
ABSTRACT- A physical model was developed to investigate the effects of tube sampling. Amorphous
silica and an oil blend of matching refractive index were mixed to form an artificial transparent soil with the
properties of a soft clay. A thick and a thin walled glass sampler were driven into the soil, and movements
within the soil body were recorded using digital photography. Using PIV (Particle Image Velocimetry), an
image recognition technique capable of tracking minute movements, the images were analysed, and the
centreline strain path (CSP) of the sample during tube penetration was calculated. When compared to the
results from existing analytical models some degree of correlation was observed, with strains produced by
the thick walled tube far exceeding those produced by the thin walled tube. It was also shown that tube
sampling creates an extensive strain inside the sample which remains after sampling, and that sampling
disturbance varies with depth.
1. Introduction and a final compression as the soil travels

upwards in the tube (Figure 1). The vertical strain
Sampling disturbance is an inherent part of site on the centreline (εzz) is a function of vertical
investigation when tube samplers are used. The location of the soil element, z, and the maximum
physical distortions and stress relief caused by the magnitude was determined by the ratio between
process of removing soil samples from the ground two tube geometry parameters, the outer
affect the strength parameters of the specimen, diameter, B, and thickness, t.
and hence result in the properties of the sample
no longer matching those in-situ. Understanding
the effect of sampler geometry on disturbance is
essential to reducing its extent, in order to
produce high quality samples which are
considered undisturbed enough for laboratory
testing. Where past research has studied the
effect of disturbance on strength parameters
(Santagata, 2002, Tan et al. 2002, Siddique et al.
2009), this paper focuses on the cause of this
disturbance by looking at the strains developing
within the ground during sampling.
The most influential theory on tube-push
sampling is the ‘ideal sampling approach’ (ISA)
(Baligh et al., 1987) which applied the strain path
method (SPM) (Baligh, 1985). This analytical
approach assumed that in deep geotechnical
problems, the behaviour of soil was strain- rather
than stress-related. It treated the soil as an
incompressible homogeneous medium, subjected Figure 1. The CSP, (reproduced after Baligh et al.,
to a ring source flow representing a round-ended 1987)
sampler. It predicted the vertical strain history of a
soil element on the centreline of the sampler. This The CSP reveals the extent of physical
centreline strain path (CSP) revealed an modifications at the centreline of the sampler
antisymmetric behaviour around the point where during driving of the tube, in terms of residual
the element enters the tube, with an initial strain post-sampling and peak strain experienced.
compression phase followed by a rapid extension However, the tube being simulated by SPM was
round tippe
ed, which wa as simple co ompared to the amera shake
ca e using still m
marker points
s around the
e
various cuttting shoe geeometries ad dopted by re
eal model
m box (Nii et al., 2010)).
tube sampleers. The fricttion between
n tube and soil
s
was also ne
eglected.
mental technique
2. Experim
The aim of this study was w to measure the straiins

on the cen ntreline of th he sampling g tube, a ta ask
made possible by using transparen nt materials to
look into thee soil body during
d tube penetration
p in
nto
the ground, and analysing the photo os taken during
testing witth an analysis technique origina ally
developed in the field d of fluid mechanics
m and
recently adapted
a forr use in geotechnic cal
engineering g, Particle Image Velocim metry.
PIV work ks by using digital
d photog graphy to traack
the movement of patch hes of texturre on a sing gle Figure 2. Experimenttal setup, pla
an view
plane of ma aterial, in a sequence of o images off a
test. To invvestigate the e movements of soil and PIV requirres the use er to define e a grid off
strains on the sample centreline during the t paatches (or in nterrogation aareas, IA) within the firstt
penetration of the samp pling tube innto the groun nd, phhotograph, so s that the so oftware can work
w out the e
a physica al model was deve eloped using poosition of each
e IA thrroughout the e series off
transparent materials in order thatt the plane of fra
ames, comp pared with itts initial location. Since e
interest on the
t centreline of the sam mpler be visib ble paatches can experience a significant amount off
throughout the test. An A artificial soil
s (Iskande er, distortion thro oughout the test, the patch must be e
2010) made e of amorpho ous silica (Hii-Sil T600) and uppdated at reg gular intervals to reflect this.
t If this is
s
a blend of two
t oils with
h matching re efractive index noot done corrrectly, the ssoftware can n no longerr
(Technical White Oil 15 and norm mal Paraffin Oil O re
ecognise the e patch and produces a wild vector..
C10-C13) was preparred and co onsolidated to Foor the patch to be recog gnisable, it must
m contain n
50kPa with hin a Persp pex box (20 00:200:300mm, suufficient textture, which is not the case c with a
L:W:D). This material has successfu ully been used ansparent material.
tra m Foor this rea ason, black k
to model softs clays in a numbe er of researrch sppherical parrticles (d=70 00µm) were e embedded d
papers (Leh hane and Gill, 2004, Ni et al, 2010, Hird th
hrough a pain nstaking process on the plane at the e
et al, 2011). It initially requires mixing
m in slurry ceentreline of the box. T This was achieved
a byy
form to allow for a successful
s d
de-airing in a prreparing the soil model on its side, horizontally,,
vacuum chamber, then n must be consolidated
c to coonsolidating layer by layer of soil s at low w
the approprriate pressurre, under wh hich it reducces prressures and d including tthe plane off particles att
in volume by
b approxima ately 50% and behaves liike th
he correct location. The model was then righted d
a soft clay. annd consolida ated fully at m
maximum pressure, thus s
Two tub be-driving te ests were carried
c out in ennsuring that most of its consoliidation was s
separate so oil models. Test
T 1 with a model gla ass veertical, as in most naturallly occurring soils.
sampling tube representing a thick walledw rounded A grid of 16 patchess was create ed over the e
sampler (B B=52.2 mm, t=3.6 mm, B/t=14.5 and ceentreline, to track movem ment of soil starting at a
length = 250
2 mm), Test 2 with a thin walled deepth of half a tube diam meter under the base off
rounded sampler (B=52 2.2 mm, t=2 mm, B/t= 26 6.1 th
he “borehole e”. In orderr for the re esults to be e
and length = 250 mm m). In both cases, during independent of the ana alysis param meters used d
sampler pe enetration, the t soil su urrounding the t size of IA, frequency of patch update),
(s u thee
sample was s maintained at a pressure of 50kPa by annalysis was s run 15 times usin ng differentt
means of a metal plate e connected to a supply of paarameters, anda the displacement results plotted d
compressed d air (Figure e 2), which h modelled an to
ogether. The main challe enge to this technique is s
overburden pressure surrounding g a boreho ole th
hat in the exp periments, th he soil entering the glass s
already cut to the depth h of some me etres under the
t tu
ube experiences its m most signific cant verticall
ground surfface. deeformation, while at the same tim me becomes s
The soil models werre backlit witth a white lig ght opptically distorted by the ttube's cutting g edge. This s
source for maximum visibility
v through the nea ar- caaused the es stimation of tthe patch’s new
n position n
transparent soil (the tra ansparency decreases
d w
with to
o vary by up to 5 pixels (0 0.5mm) in Te est 1 and up p
depth and increased consolidation pressure e). to
o 2 pixels (0.2mm) in Te est 2 betwee en analyses..
Each time the t tube wa as driven into o the soil, and Small errors in displace ement can causec largee
the tests we ere recorded d using a digital SLR. On nce errrors in the final
f values ffor the calcuulated strain..
acquired, thet photogra aphs were corrected for f A Matlab pro ogram was written to calculate
c thee
avverage displa acement and d the standard deviation,,
based on the results of 15 PIV runs for each Baligh's CSP was constant over depth, and did
patch. Any data point two standard deviations not account for the effects of overburden
away from the mean value was regarded as the pressure. In previous tests by the same authors
result of a wild vector and discarded. on soil with no overburden pressure (Hover et al,
Subsequently around 1.5% of total displacement 2012), it was found that the CSP was depth
data points were removed. The strain was dependent, although peak values for both
calculated from the averaged displacement data extensive and compressive strain were in a similar
from each pair of touching patches. While using range to those predicted by Baligh. In this study,
different spacings between patches could be the calculated strain paths exhibited the same
thought to yield different values of space- trend of three phases of compression (C) /
averaged strain, it was found that patch size has extension (E) / compression, but similarly to the
very little effect (0.1%) on Baligh’s strain path. latter study, varied with depth (Figures 3 and 4),
with soil close to the base of the borehole
experiencing small compressive strains followed
3. Results by significant extensive strains, and deeper soil
elements developing more compressive strains
In both the thick and thin wall tests, 225 images before entering the sampling tube, but smaller
were taken at a rate of 2.1 frames per second strains within. This agrees with Hvorslev (1949),
(fps) during the driving of the glass tube, which who observed large distortions in the soil
advanced downwards into the transparent soil at immediately below the base of the borehole.
the rate of 2.3mm/s to ensure undrained
conditions. The photos were analysed using
GeoPIV, a MATLAB based program for PIV
developed by White and Take (2002). A grid of
IAs was created over the centreline of the
sampler, and the vertical (y) displacement of each
IA determined over each time increment. The
strain (εzz) paths calculated using equation (1) for
elements at three depths under the base of the
borehole (at 1, 2 and 3 tube diameters depth) are
plotted in Figures 3 and 4.
( Δy ( lowerpatch ) − Δy ( upperpatch ) )
ε zz = − × 100 (1)
patch.spacing
Figure 4. CSP for thin walled tube
The strains developing in the thin walled tube

(Figure 4) are found to be significantly lower than
those in the thick walled tube (Figure 3). This is
due to the amount of soil displaced by the
sampling tube as it enters the soil. With the
presence of an overburden pressure on the soil
surrounding the borehole, the displaced soil is
forced into the tube rather than into the soil
surrounding the borehole, thus creating large
extensive strains in the original sample’s
structure. The volume displaced by a thin walled
tube being significantly lower than that displaced
by a thick walled sampler, the strains are
therefore smaller. The results are presented in
Table 1. The extent of disturbance and the
Figure 3. CSP for thick walled tube remaining strain after sampling has implications
for site investigation, where sample length is 6. References

typically 4.5 times its diameter, in that most of the
sample has potentially been altered significantly Baligh, M.M. (1985) “Strain path method”. Journal
before it has been removed from the ground. of Geotechnical Engineering, ASCE Vol 111,
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Tube Depth No7, pp739–757.
Strain strain Strain
Budhu, M. and Wu, C. S. (1992) “Numerical
B 0.1% -26.5% -19.5%
Analysis of Sampling Disturbances in Clay
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B 0.0% -9.5% -8.0% pp 467-492
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Thin
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3B 1.2% -5.2% -4.5% disturbance – numerical and analytical
investigations”. Géotechnique Vol 48, No 6,
pp847-867
Hird, C. C., Ni, Q., Guymer, I. (2011), “Physical
4. Conclusions modelling of deformations around piling augers
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was previously shown by the authors (Hover et al, “Investigation of tube sampling disturbance
2012) that the CSP was depth dependent, with using transparent soil and particle image
the development of a residual strain within the velocimetry”. Proceedings from the 11
th
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The authors are grateful for the financial support Image Velocimetry Software for Use in
from EPSRC UK, the technical assistance Geotechnical Testing” Cambridge University
provided by the staff at the University of Warwick, Engineering Department Technical Report, D-
and to David White and Andy Take for the use of SOILS-TR322
their PIV software.
DETERMINATION OF SHEAR STRENGTH OF MSW. FIELD TESTS

VS. LABORATORY TESTS
DÉTERMINATION DE LA RÉSISTANCE AU CISAILLEMENT DES DÉCHETS
URBAINS (MSW). ESSAIS IN SITU VS. ESSAIS DE LABORATOIRE
1
Pablo LAPEÑA
1
University of Cantabria, Santander, Spain
ABSTRACT - The shear strength of the wastes determines the inclination to be given to the landfill slopes,
which in turn governs the landfill capacity. The measurement of these properties is not an easy task.
Different approaches are possible. Conventional geotechnical laboratory tests face both the lack of
representativeness of the samples, and the environmental difficulties associated with testing them in
laboratories placed in general use buildings. Due to these limitations, the number of published results is
relatively short. The use of in situ tests has become an attractive alternative, because it eliminates the
above two problems. However, the interpretation of these tests is based on the experience with
conventional geotechnical materials, but MSW have a different behavior, with a seemingly unlimited
strain, and no definite failure in most cases. Some of these cases have been published, and even some
compilations are available.
1. Introduction 2. Overall strength characteristics of MSW
The stability of a landfill relies on the shear strength MSW show some overall strength characteristics
of its elements. It depends on the characteristics of that are reflected in almost all the existing
the waste materials disposed in it, as well as in the bibliography. They can be summarized as follows
characteristics of the materials that form the (Bray et al., 2009; Stark et al., 2009):
protection, isolation and sealing layers. As far as − As a general trend, MSW shear strength
the waste material is concerned, there are several increases with the average confining pressure in
factors influencing the strength characteristics such a nonlinear way, and the slope of the shear
as composition, age, confining pressure, details of strength envelope decreases with the level of
landfill operation, existence of soil layers as waste normal stress. For very low confining pressure,
there is some strength provided by the fibrous
cell coverage, etc. In any case, the shear strength material contained in the waste, giving rise to an
of the wastes determines the inclination to be given equivalent cohesion.
to the landfill slopes, which in turn governs the − Fitting this non-linear strength envelope with a
landfill capacity. The necessity of establishing linear Mohr-Coulomb criterion line must be done
berms at mid-height of the slopes has also an for the range of interest of normal stress, and
important role in the capacity. the values of frictional angle and cohesion have
to be defined accordingly.
Municipal Solid Wastes (MSW) have some − Test results are influenced by test conditions
special characteristics making a clear distinction and sample preparation.
with soils in terms of behavior. However, in landfill − Within the usual ranges, variations in density do
stability analyses the behavior of MSW is usually not produce large changes in MSW strength.
based on models derived from soils, mainly the − Degradation and aging seem to have an
Mohr-Coulomb failure criterion, defined by two important effect on the shear strength, reducing
parameters: cohesion (c) and friction angle (φ). the cohesive term and increasing the friction.
− The shear stress-strain curve of the MSW
Strength parameters of MSW can be obtained shows a noticeable hardening (Jessberger et
testing samples in the laboratory or conducting in- al., 1993; Eid, 2000; Zhan et al., 2008), and a
situ tests. In addition to these methods there is also horizontal asymptotic level is not reached even
a third way to obtain parameters using back- with large deformations. So it is necessary to
analysis of real scenarios, most of the times from define a certain level of deformation in which it
landfill failure cases, which is not covered in this is assumed that the failure situation is being
paper. reached.
Both laboratory and in-situ tests, in their
different variations, have several advantages and
disadvantages, due to that, a pros-and-cons 3. Methods for obtaining MSW strength
analysis of the different methods using the existing
bibliography was conducted, considering their The methods for obtaining cohesion and frictional
methodology, operative issues, reliability and angle parameters can be grouped in three kinds:
repeatability of the results to determine the test laboratory test, in-situ test and back-analysis of
procedure that fits best to our purposes.
actual failures. In this paper a comparison between have presented the results of simple shear tests on
the first two is done. 400x300 mm rectangular samples.
In general test specimens have a relative large
3.1. Laboratory tests size. It is frequent for the direct shear test probes to
have a length of 300mm or more and for triaxial
3.1.1. Sample conditions specimens to have over 200mm in diameter.
Besides, the test equipment has to be prepared to
Although laboratory tests are the most direct provide large deformations. This circumstance is
method for obtaining the strength parameters of a stated on plenty of the revised researches, and
material, they show several problems that make makes it necessary to modify the original design of
difficult both their usage and the subsequent the equipment.
interpretation when working with MSW.
The first problem is to find representative 3.1.3. Other aspects
samples. Samples obtained in the same landfill
show a large dispersion in composition due to the In tests on MSW samples, the applied shear stress
heterogeneity of the waste mass. Some research increases monotonically with deformation, and in
has been done on “synthetic” samples, most cases a maximum or asymptotical value is not
reconstituted with the average composition of the reached even with the application of large
MSW mass in the landfill region or country displacements. The plots shown in Figures 1 and 2
(Sivakumar Babu et al., 2010). belong to a compilation of results from several
On the other hand, among the MSW there are authors made by Stark et al. (2009). It is shown
elements with medium to large size. So it is that shear stress does not grow only with the
necessary to take large samples, this is quite easy applied normal stress, but it also increases with the
for MSW that have just arrived to the landfill, or for deformation or the displacement reached. Those
recently disposed and superficial waste, but makes authors attribute this behavior to the reinforcement
it necessary to bore large diameter bore-holes action of the wastes’ fibrous elements when
(over 760 mm in diameter) for deep waste. deformation increases.
It is very hard to take undisturbed samples from
MSW, particularly at great depth. Densification is
produced during the sampling process due to the
large deformability of MSW. Because of the low
cohesion, the loose nature of the material and the
differences in size and stiffness among the different
constitutive elements, alterations and collapses are
produced during the sampling and trimming
operations.
For these reasons, tests are made using
samples prepared and compacted to in-situ density
and moisture content, and with the prevailing
composition. The uncertainties associated to these
conditions make that this procedure can be only
considered as an approximation of actual landfill Figure 1. Summary of direct shear lab tests (Stark
conditions. Besides, the elements with a size over et al., 2009)
1/5-1/10 of the minimum size of the specimen to
test, usually fibrous materials, have to be removed
or cut to fit this size in order to not interfering with
the movement of the test equipment, invalidating
the results obtained. Furthermore, the tensile
strength of fibrous elements introduces an
anisotropic behavior, making the strength obtained
in the test depend on the preferred direction of the
fibers (Bray et al., 2009).
3.1.2. Test types
The tests used to obtain strength parameters are

direct shear, triaxial and simple shear tests.
From 23 research works revised by Stark et al.
(2009), dated from 1990 to 2005, 48% used
laboratory direct shear tests, 22% triaxial tests, and
just one simple shear tests. The rest of them are in-
Figure 2. Summary of triaxial lab tests (Stark et al.,
situ direct shear tests. Recently, Bray et al. (2009)
2009)
It has to be taken into consideration that in time and covering a large volume of material, which
regular landfill operation the possible deformation is a clear advantage over laboratory tests.
is much smaller than during a test. Movement
compatibility between MSW and the more rigid 3.2.2. Test types
sealing layers, and also with the deformation limit
of draining elements, gas evacuation elements, The in-situ tests commonly used in MSW are:
etc., limits waste deformation to acceptable levels, penetration test, plate loading tests, pressuremeter
forcing the definition of strength parameters to an tests and in-situ shear tests.
imposed deformation value (Machado et al., 2002). Penetration tests, both dynamic and static,
The environmental conditions where the provide an index value for MSW strength, and from
laboratory tests are conducted are problematic these indexes it is possible to empirically obtain
because of the odor and the hazardous sample strength parameters and other characteristics.
management, making it necessary to fit out a Their main advantages are their easy usage and
specific area, isolated from the rest of the their low time and means consumption, as well as
laboratory. In some research it is necessary to the possibility to check different penetrations in
carry out most of the tests in facilities belonging to time and space to establish tendencies for the
the landfill. variation of the resistance to penetration.
The difficulty in obtaining truly representative Use of penetration tests for landfill
samples and test environmental conditions affects characterization is frequent. The University of
negatively to the possibility to undertake systematic Cantabria (UC) Geotechnical Group has
shear strength laboratory test campaigns. The researched about the strength characteristics of
revised bibliography shows that there are a scarce landfills using dynamic and static penetration tests
number of tests executed for the amount of means (Palma, 1995; Sánchez et al., 1993). In a recent
mobilized. research, Zhan et al. (2008) used, among others,
static penetrometers.
3.2. In situ tests Furthermore, the interpretation of plate loading
tests is not as straightforward as in soils, due to the
3.2.1. Comparison with laboratory tests heterogeneity of the landfill. It is advisable to use
large diameter plates (>600 mm), which is feasible
In-situ tests are an alternative to the execution of because there is no need to apply large loads in
laboratory tests on landfill samples. With in-situ order to produce the needed deformations or even
tests there is no need to take and manipulate to reach failure due to the soft nature of the MSW.
samples, with the subsequent alteration, very high Several researchers have used this method for
when dealing with MSW. In-situ tests are made deformability and strength characterization of
over the material in real conditions, not in a MSW. The UC Geotechnical Group (Palma, 1995;
simulated laboratory scenario. Sánchez et al, 1993) used load plates, interpreting
Besides, scale is larger in field tests, affecting the results using a multi-layer model for MSW and
more material. This bigger scale reduces the covering layers. In some occasions the rigid plate
influence of MSW heterogeneity, making it possible has been replaced by a container full of material,
to take into consideration medium to large fibrous achieving larger size but lower pressure.
elements. However, these advantages over Pressuremeter tests, both in previous borehole
laboratory tests bring some additional problems: execution and using self-boring systems have been
− Although the alteration produced by taking the recently used in landfills (Dixon et al., 2006).
sample is removed, effects produced by the There are several experiences with in-situ shear
installation of the testing elements appear. tests using parallelepipedic and cylindrical samples
− Field tests control (stress state, displacements,
drainage) is lesser than in laboratory tests. with sizes of 500 mm and even 1m in landfills
− Even though the area affected by field tests is (Withiam et al., 1995; Caicedo et al., 2002).
larger than the regular specimen size, scale
problems are still present.
− Results obtained from some in-situ tests cannot 4. Mohr-Coulomb strength parameters proposal
be analyzed using theoretical models to obtain
strength parameters, the only way to obtain
them are using empirical correlations. Although the research in strength parameters dates
− Interpretation complexity is higher for in-situ back more than two decades, the special
tests in comparison with those conducted in a characteristics of MSW limit the obtained results. In
laboratory. If the theoretical model depends on several publications a compilation of parameter
two or more parameters, like Mohr-Coulomb values is shown, but they do not only refer to test
failure criterion, it is only possible to obtain the results, it also does to representative values
relationship between them. This implies that deduced by the authors of other previous
only a curve for different possible values for
cohesion and frictional angle can be obtained. compilations and to values successfully used in
In any case, most of the in-situ test procedures are particular cases of landfill design. Besides, the
quite fast and economical, making it possible to available results belong to different test type and
execute multiple tests in a reasonable period of methodology, carried out on MSW of different
composition, age, density, etc. Furthermore, due to
strain hardening behavior, different values can be 6. References

established for the same test according to the
deformation level considered as critical. Bray, J.D., Zekkos, D., Kavazanjian, E.,
Based on the limited data available at the time, Athanasopoulos, G.A. and Riemer, M. F.
Sánchez et al. (1993) proposed a joint (2009). Shear strength of municipal solid waste.
consideration of the results of laboratory and in situ Journal of Geot. and Geoenv. Eng. ASCE
tests and back-analysis of failures. In the last two 135(6), 709-722.
decades, some additional results have been Caicedo, B., Yamin, L., Giraldo, E. and Coronado,
published, from laboratory and in situ tests and O. (2002). Geomechanical properties of
from real failures (see, for instance, the compilation municipal solid waste in Doña Juana sanitary
by Stark et al. (2009), among others). Considering landfill. Proc. 4th Env. Geotechnics – 4th ICEG,
these data, the recommended values published by Rio de Janeiro 1,177-182.
Sánchez et al. have to be increased. Figure 3 Dixon, N., Whittle, R.W., Jones, D.R. V. and
includes the original Sánchez et al. mixed with the Ng’ambi, S. (2006). Pressuremeter tests in
results of failures compiled by Stark et al. (2009), municipal solid waste: measurement of shear
and their recommended values, based on the stiffness. Géotechnique 56(3), 211–222.
proposal by Eid et al. (2000) Eid H, Stark T.D., Evans W.D. and Sherry P.
(2000). Municipal solid waste slope failure I:
100 Waste and foundation properties. Journal of
Lab tests Geot. and Geoenv. Eng. ASCE 126(5), 397-
Back analyses (by 2009)
Strain levels (Stark et al., 2009) 407.
80 Stark et al. (2009)
Possible new proposal
Jessberger, H.L. and Kockel, R. (1993).
Cohesion, c (kPa)
Determination and assessment of the

60 20% mechanical properties of waste materials. Proc.
Sardinia 93, 4th Int. landfill Symp., Cagliari,
10% Italy,1383–1392.
40
5%
Kavazanjian, E. (2003). Evaluation of MSW
properties using field measurements”. Proc.17th
20 GSI/GRI Conf. Las Vegas, USA.74-113.
Machado, S. L., Carvalho, M.F. and Vilar, O.M.
0 (2002). Constitutive Model for Municipal Solid
0 10 20 30 40 50 60 Waste. Journal of Geot. and Geoenv. Eng.
o
Friction angle, φ ( ) ASCE. 128(11), 940-951.
Palma, J. (1995). Comportamiento geotécnico de
Figure 3. Strength parameters recommendation. vertederos controlados de residuos sólidos
urbanos. PhD Thesis. Univ. of Cantabria.
Sánchez, J.M., Palma, J., Sagaseta, C. and
5. Conclusions Cañizal, J. (1993). Mechanical properties of
wastes in a sanitary landfill. Waste Disposal by
Prior work has shown that it is no easy to obtain the Landfill. (R.W. Sarsby, ed.). Bolton, U.K. 357-
mechanical properties of the waste mass. 364.
After merging the data from the revision of Sivakumar Babu, G.L., Reddy, K.R. and Chouksey,
existing bibliography and the experience of the S.K. (2010). Constitutive model for municipal
U.C. Geotechnical Group, new research is being solid waste incorporating mechanical creep and
undertaken in order to establish a method to biodegradation-induced compression”. Waste
perform that task during the next three years. The Management 30, 11–22.
study will be based on the use of field tests, Stark, T., Huvaj-Sarihan, N. and Li, G. (2009).
complemented with medium to large scale Shear strength of municipal solid waste for
laboratory direct shear tests. It will cover several stability analyses. Environ Geol. 57, 1911–1923.
landfills, with conventional MSW, together with Withiam, J.L., Tarvin, P.A., Bushell, T.D., Snow,
wastes subjected to mechanical and biological R.E. and Germann, H.W. (1995). Prediction and
treatment (MBT), introduced in Spain in the last performance of municipal landfill slope. Proc.
years (projects GEORES-03.2843.64001 and Int. Conf. Geoenv. 2000, GSP46, ASCE, New
PROMERSU-BIA2012-34956). Orleans, Lousiana, 2, 1005-1019.
In parallel with the test campaign, numerical Zekkos, D., Athanasopoulos, G. A., Bray, J. D.,
modelling of the landfills under study will be Grizi, A. and Theodoratos, A. (2010). Large-
undertaken to obtain feedback and refine the data scale direct shear testing of municipal solid
acquisition process. waste. Waste Management 30(8-9), 1544-1555.
After all the data are gathered and the process Zhan, L.T., Chen, Y.M., Ling, W.A. (2008). Shear
is considered optimum, a method to obtain the strength characterization of municipal solid
mechanical properties of a landfill using field tests waste at the Suzhou landfill, China. Eng. Geol.
and a new proposal for the design strength 97, 97-111.
parameters will be obtained.
COUPLED EFFECTS OF STRESS RATE AND STRUCTURE ON THE

COMPRESSIBILITY OF CEMENT-MIXED CLAY
EFFETS COUPLÉS DE LA VITESSE DE CHARGEMENT ET DU
DURCISSEMENT SUR LA COMPRESSIBILITÉ D'UNE ARGILE CIMENTÉE
1 1
Park Q. LI , Béatrice A. BAUDET
1
The University of Hong Kong, Hong Kong SAR, china
ABSTRACT – This paper investigates the interaction between structure and stress rate and its effect on the
compression behaviour of cemented clay. Natural hard soils and soft rocks possess a structure that was
formed by complex physical and chemical process during and/or after deposition. Tests were performed on
artificially cemented kaolin to simulate deposition during or after the formation of structure. One-dimensional
compression tests were performed at different loading rates during curing of the artificially cemented clay
specimens so that the coupled effects of curing and stress rate could be examined. Triaxial tests were also
carried out on cemented specimens that were cured and consolidated under different initial stresses and
then compressed isotropically at different stress rates. In these latter tests the structure formed by curing
had reached a stable state prior to compression, and the isotropic loading resulted in the degradation of
structure. One-dimensional and triaxial compression tests were performed on reconstituted specimens for
comparison.
1. Introduction 1985), if the strain rate is low enough, the clay may
develop a higher quasi-preconsolidation stress
Extensive urbanization and industrialization have (V’qpc). High strain/stress rates may cause a greater
led to construction in natural soft ground where the V’qpc due to viscosity but would also destroy some
soil is very compressible, and as a result soil of the structure resulting in a lower V’qpc. Some
cement stabilization of soil is increasingly important questions remain, such as the effect of
researched and applied. In addition to their changing loading rate during the initial curing stage
sensitivity, clays generally have significantly higher on the location of the compression curve, or
rate sensitivity than granular soils, so the interplay whether rate effects are the same in cemented and
of viscosity and structure in cemented clay is quite reconstituted clay.
complex and worth studying. This paper presents results from specifically
Sorensen et al. (2007a) investigated the designed oedometer tests on cemented clay during
influence of several types of structure on strain rate the curing stage, and from isotropic compression
effects in London clay, and their results showed tests carried out with stepwise changes in stress
that the responses to changing strain rate of clay rate. A detailed response of the structure to stress
whose structure is caused by over-consolidation rate is examined using local strain measurements.
and by diagenetic processes are different. Over- Similar tests were performed on reconstituted
consolidation did not cause much difference to the specimens for comparison.
behaviour of the normally consolidated
reconstituted clay, with a temporary effect of
changing strain rate, while in the naturally 2. Sample preparation and test programme
structured clay changing strain rate led to different
stress-strain curves (isotache behaviour). They 2.1 Testing materials
also found that cemented kaolin behaves differently
to structured London clay, and only shows The base clay is commercial kaolin, compound of
temporary effects of strain rate changes due to the 47% silicon dioxide and 38% aluminum oxide. The
gradual breaking of the bonding structure. In these plastic limit was found to be 35% and the liquid limit
studies, most of the effects of changing strain rate is 75%. Ordinary Portland cement was used as
focused on the shear behaviour rather than bonding agent for all artificially cemented clay
compression. Leroueil, et al. (1996) studied the tested in this study.
interaction of strain rate and structure effects in the
one-dimensional compression of young Jonquière 2.2 Sample preparation
clay. They found that while generally lower strain
rates cause less pre-consolidation stress due to the In order to get a high homogeneity, both
general Vqpc' H H relationship (Leroueil et al., uncemented and cemented specimens were mixed
v v
at a high water content equal to 1.5 times the liquid periods (18 and 30 days) were adopted here.
limit of the kaolin. A small proportion of cement (3% Although the specimens were prepared following
by weight) was used for all tested cemented exactly the same procedure, it is still difficult to
specimens. The kaolin was mixed with cement in create exactly the same structure, so special
dry state first, and then a certain amount of water compression test procedures were adopted with
was added. The mixture was stirred in a kitchen stepwise change in the rate of confining pressure.
blender for more than 20 minutes, and many efforts These ensure that the results observed are due to
were taken to keep vibrating during and after the rate effects and not sample variation, and thus they
mixing process to avoid entrapped air bubbles are more reliable for the investigation of coupled
inside the soil. Using this method, a saturation effects of structure and stress rate. Details are
degree of about 97% was ensured. shown in Table II.
Two main types of test were carried out, one-
dimensional compression and isotropic Table II. Isotropic compression test programme
compression. For the oedometer tests, the Test Pre-stress Isotropic
specimen was directly prepared in the sample ring name condition* compression
and then fixed and immersed in the oedometer cell.
For the triaxial tests, the slurried soil was poured #PK-4 50kPa, 2 days 3 kPa/h
into a consolidometer (Sorensen, 2006) with a #PK-5 50kPa, 30 days 3 kPa/h
diameter of 50 mm and length of 300 mm, and pre- #PK-6 50kPa, 2 days 3, 6 kPa/h
consolidated under a given dead weight. When the 3, 6 kPa/h;
settlement became stable and the specimen was #ACK-1 50kPa, 18 days
creep**
stiff enough to stand by itself it was extruded and #ACK-2 50kPa, 30 days 1, 3, 6 kPa/h
transferred into the triaxial cell. * In consolidometer;
** Creep at p’=300kPa for 7 days;
2.3 Testing programme
The first part of this study is to investigate the

3. Oedometer test results
interaction of structuring and loading rate effect
during one dimensional compression. Two different
3.1 Developing structure vs loading rate
loading increment rates (LIR) were adopted,
100kPa and 200kPa per day. Both pure kaolin (PK)
Figure 1 shows six oedometer tests results on both
and artificially cemented kaolin (ACK) specimens
pure and cemented kaolin. The additional void ratio
were pre-stressed at a very small stress level (1.5
sustained by bonding structure under the same
or 11.4kPa) for a relatively short time (3 or 6 hours).
stress level in cemented kaolin is obvious. As the
Details are shown in Table I.
stress goes higher, the compression lines of the
cemented specimens tend to converge towards
Table I. Oedometer test programme
that of the reconstituted specimens due to the
Test name Pre-stress condition* LIR degradation of the bonding structure.
PK.III 11.4kPa - (12h) 200 kPa/day
2,0
PK.II 1.5kPa - (6h) 100 kPa/day
ACK.III 11.4kPa - (6h) 200 kPa/day
ACK.II 11.4kPa - (6h) 100 kPa/day
ACK.II.b 1.5kPa - (3h) 100 kPa/day 1,5
Void ratio
ACK.III.b 1.5kPa - (6h) 200 kPa/day

* For PK, only consolidation; PK.III
For ACK, both curing and consolidation; 1,0 PK. II
ACK.III
ACK.II
ACK.III.b
The second part of this study is to investigate ACK.II.b
the effects of changing stress rate during isotropic 0,5
compression after the primary curing period. All the 10 100 1000
Vertical effective stress (kPa)
isotropic compression tests were carried out in a
Bishop & Wesley triaxial cell equipped with local
instrumentation for accurate strain measurements, Figure1. One dimensional compression curves on
consisting of one radial and two axial LVDTs for pure and cemented kaolin in two stress rates
(Sorensen, 2006). According to the settlement data
in the consolidometer, both pure and cemented Both PK and ACK were tested with two different
kaolin specimen finished the primary consolidation LIR. For pure kaolin, it took ten more days to reach
in two days, and a vertical stress of around 50 kPa the maximum stress with the lower LIR of
was applied on all the specimens. To get different 100kPa/day than with the higher rate of
initial structure of cemented clay, two curing 200kPa/day, and it is likely that the former
specimen has undergone more secondary 3.3 Fluctuating settlements

settlement than the latter, resulting in a lower
location of compression line in an e-logV’v plot. But It is also worth looking at the detailed settlement
for cemented kaolin, the case is different: as the response of the cemented clay. Two opposite
specimens started their first loading in the first six effects are acting on the cemented clay: the
hour of curing, which means that the cement-clay increasing external vertical stresses, which should
mixtures were continuously creating bonds during have for effect to compress the soil, and the
the whole test period, with a lower LIR the creation of bonds within the soil, which should have
specimen may gain more strength and become for effect to sustain it without any further
stiffer resulting in a higher location of compression deformation. Figure 2 shows the fluctuation of
line in the e-logV’v plot. The cemented kaolin can settlement in cemented kaolin, together with the
be compared to a ‘young’ clay (Leroueil, et uncemented kaolin. The pure kaolin shows a stable
al.,1996), the progressive structuration contributing increase in settlement with increasing vertical
more to the clay response than the secondary stress. This is quite understandable if the concept
compression when loaded at a lower rate. The of quasi-preconsolidation stress (V’qpc) is
cemented clay can be assimilated to a naturally introduced, which is dependent on both time and
structured clay, and the interaction between vertical effective stress in this case. For the
cementing and loading might be considered as an cemented clay however, if V’qpc is less than the sum
analogue to the interaction between structuring and of stress increment and current stress (e.g. points
deposition in situ, but the duration has been A and C), then the settlement for the next loading
reduced to laboratory timescale instead of the very step is much greater than for the pure kaolin. On
long geological time. the other hand, if V’qpc is greater (e.g. points B and
D), then the settlement will be less than pure
3.2 Effects of curing time and curing kaolin. This causes a fluctuation in the settlement
stress curve.
As shown in Figure 1, two additional tests with 0,8

PK.III
different initial curing time and curing stress were
ACK.III
performed to investigate their effects. The 0,6 ACK.II
Settlement (mm)
compression lines of ACK.III and ACK.III.b seem to

intersect, but this is attributed to the fact that the
latter was cured at a smaller initial stress, resulting 0,4
B
in a higher void ratio at small stresses. As stresses D
increase the compression curve converges with 0,2
that of the former, which indicates that the curing
A
stress was not enough to create a stable structure C E
in this case. If we compare the results of ACK.II 0,0
and ACK.II.b, the latter being cured at a smaller 0 200 400 600 800 1000
Vertical effective stress (kPa)
stress level and for only half of the curing time, their
two compression lines keep almost the same
separation distance until the maximum stress level, Figure 2. Settlements for pure and cemented kaolin
and it is not sure whether the two lines will in high stress level
converge eventually at very high stress levels. If we
consider the in-situ condition, it is necessary to
avoid insufficient curing time, especially at a small 4. Isotropic compression
ground stress level, if cementation is used to
improve the soft clay. 4.1 Developing structure vs stress rate
Although the results are limited here, a
conceptual model of cement bonding is introduced Figure 3 shows five isotropic compression tests
to explain the compression behaviour observed. during which the stress rate was varied between
The bonds created by cement hydration can be mainly two different rates. It is obvious that the
roughly divided into two sub-groups, long and short compression lines of cemented kaolin lie above the
bonds (L&S-B). There are different numbers of long curve for the uncemented clay, highlighting the
bonds in the mixtures tested in ACK.III and significant effect of structure contributed by the
ACK.III.b, and these bonds lie between relatively bonding structure. The compression lines of ACK
large cement-clay aggregates, behaving like a and PK with the lower stress rate (3kPa/h) seem
bridge, and they are easily destroyed under high more or less parallel, but with a higher stress rate
stress levels. On the other hand, there are different (6kPa/h), the compression curves seem to
numbers of short bonds in the mixtures tested in converge. This indicates that under a higher stress
ACK.II and ACK.II.b, which lie inside the cement- rate, the structure is likely to be destroyed faster
clay aggregates and behave like a coat. These that additional bonds may be created. This is
short bonds are not easily destroyed even under consistent with the results of oedometer tests
high compression stresses. obtained by Leroueil et al. (1996) that with higher
strain rate the structure developed at a lower rate Mean effective stress (kPa)
will be destroyed. Besides this, due to the curing 10 100 1000
time difference for #ACK-2 and #ACK-1, the quasi- 0
Volumetric Strain (%)

pre-consolidation stress of #ACK-2 is around 45 6 kPa/h
kPa, which is consistent with the pre-consolidation 3 kPa/h
pressure achieved in the consolidometer, but that
5
of #ACK-1 increased to around 60kPa.
3 kPa/h
3,5
#ACK
1
#ACK
2 10
#PK
4 6 kPa/h
#PK
5
#PK
5
Specific Volume
#PK
6
3,0 #PK
6
15
(b) Pure kaolin
2,5
Figure 4. Volumetric strain during isotropic
compression
2,0
There is always a temporary overshoot caused
10 100 1000 by the stress rate acceleration in both PK and ACK,
Mean effective stress (kPa) but the PK shows more permanent change defined
as isotache, and the ACK shows more temporary
Figure 3. Isotropic compression curves for pure and changes. This is in agreement with what Sorensen
cemented kaolin in two stress rates et al. (2007b) found from the shearing response of
cemented kaolin.
4.2 Temporary or permanent effects
Figure 4 shows more details about the volumetric 5. Conclusions

strain during isotropic compression. A one-week
creep test was also carried out on #ACK-1 at a The coupled effects of structuring and stress rate
constant stress p’=300kPa. A small change in void on the compressibility of cemented kaolin have
ratio of 0.003 was measured with local LVDTs. been investigated. Artificially cemented clay
After creep, the specimen was recompressed with behaves like young natural clay, with the
a higher stress rate, and there was a large development of its yield stress depending on both
increment of yield stress which cannot simply be time and the current effective stress. Higher loading
explained on the basis of the change in void ratio rates tend to destroy the structure developed in
during secondary consolidation. It seems that both lower loading rates.
viscous and structuring effect contributed to this. As
the stress level goes higher, the compression line
comes back to the previous one. 6. References
Mean effective stress p' (kPa) Leroueil S., Kabbai M., Tavenas F. & Bouchard R.
10 100 1000 (1985). Stress-strain-strain rate relation for the
0 compressibility of sensitive natural clays.
Géotechnique, vol. 35, n°2, pp. 159-180.
Volumetric Strain (%)
5 3 kPa/h Leroueil S., Perret D. & Locat J. (1996). Strain rate

6 kPa/h
and structuring effects on the compressibility of
10 a young clay. ASCE GSP n°61, pp. 137-150.
Sorensen K.K. (2006). Influence of Viscosity and
creep
Ageing on the Behaviour of Clays. PhD thesis,
15
6 kPa/h University College London.
3 kPa/h Sorensen K.K., Baudet B.A. & Simpson B. (2007a).
20 #ACK
2 Influence of structure on the time-dependent
#ACK
1 6 kPa/h behaviour of a stiff sedimentary clay.
25 Géotechnique, vol. 57, n°1, pp. 113-124.
(a) Cemented kaolin Sorensen K.K., Baudet B.A. & Tatsuoka F. (2007b).
Coupling of ageing and viscous effects in
artificially structured clays. In: Solid Mechanics
and its Applications vol. 146. Ling, H.I.; Callisto,
L.; Leshchinsky, D.; Koseki, J. (eds.), pp.357-
366.
CORRELATION BETWEEN BARTON'S Q AND BIENIAWSKI'S RMR-

A RELOOK INTO GOEL’S N AND RCR WITH PROPOSED ADDITION
CORRELATION ENTRE LE Q DE BARTON ET LE RMR DE BIENIAWSKI -

RETOUR SUR LES N ET RCR DE GOEL ET NOUVELLE PROPOSITION
Shiyi LIM1
1
Building and Construction Authority, Singapore
ABSTRACT - Goel et al. (1995, 1996) proposed a correlations between the two most commonly used rock
mass classification system, the rock mass rating RMR of Bieniawski and the rock mass quality Q of Barton
et al. The new approach removed certain parameters in Q and RMR and the reduced values are known as
N and RCR respectively. The proposed N and RCR were correlated using the proposed equation and the
removed parameters were then added back into N or RCR to give the correlated Q or RMR value. This
paper looks into the possibility of unifying the two most commonly used rock mass classification by including
the stress reduction factor of Q, as a new parameter of RMR, the proposed addition based on the proposed
equation
1. Introduction proposed support system with the bolt length as a

function of the cavern span and bolt spacing as a
Rock mass classification system, as the name function of the rock mass quality. When compared
suggest, is a system in which the rock mass are to the 1974 edition, where support is selected from
classified, mainly base on its strength parameter. one of the 38 support recommendation, the 1994
Many a time, the classification system also includes edition prove to be more user friendly and thus,
recommended support system for engineering widely used by the industry.
purpose in the given rock mass. In Q-system classification, the rock mass quality
There are four common systems namely, is determined as follows:
1. Nick Barton’s Q-System,
2. Bieniawski’s RMR System, § RQD ·§ J r ·§ J w ·
¨ ¸¨ ¸
3. Plamstrom’s RMI System and Q ¨ J ¸¨ J ¸¨¨ SRF ¸¸ (1)
4. Hoek and Brown’s GSI System. © n ¹© a ¹© ¹
Of the four identified system, rock mass quality Where
Q of Barton et al and rock mass rating RMR of RQD = Deere’s Rock Quality Designation >10
Bieniawski are most commonly used in the industry Jn = Joint set number
to classify the rock mass and initial assessment of Jr = Joint roughness number
the required support system for works of Ja = Joint alteration or filling
engineering. Jw = Joint water leakage or pressure
This paper looks into the possibility of unifying SRF = Stress Reduction Factor
the two most commonly used rock mass
classification For each given parameter, a rating is assigned
for the respective condition. The calculation of Q-
2. Nick Barton’s q-system Value is as shown in equation 1.
The Q-System of rock mass classification was 3. Calculation of Q-Value and parameter study
developed by Barton, Lien and Lunde (1974). It is
originally designed as an empirical solution toward The calculation of Q-Value is as shown in equation
the tunnel and cavern reinforcement and support. 1. Essentially, it is a consideration of three area :
When first developed in 1974, Barton et al 1. Block size (RQD/Jn)
analysed 212 cases out of which 180 of them were 2. Inter block shear strength (Jr/Ja)
supported excavation. 3. Active Stress (Jw/SRF)
In 1994, Nick Barton and Eystein Grimstad
published a paper titled “The Q-System following Q Range from 0.001 to 1000. This large range
twenty years of application in NMT support is a unique feature of the Q-system and reflects
selection” Essentially, only minor changes have rock quality variation. This section looks into the
been done to SRF parameter in this revision. The parameter affecting the Q value, their impact and
main difference in the 1994 Q-system lies in the the possible combination. As the function is a
support recommendation. This revision gives 10 multiplication function, individual term (eg, RQD/Jn,
Jr/Ja, Jw/SRF) is calculated and expressed in its Basically, it is possible to achieve order of –1 for all
order. The order is then added up as the function is condition for the Joint Roughness or Joint
a multiplication function. For an example: Alteration depend on the combination.
a u10 u b u10 u c u10

x y z
d u 10 w 3.3. Active Stress (Jw/SRF)
The underlying assumption of this analysis is Jw ranges from 0.05 to 1, the higher the number,
that the multiplication of a,b&c will not increase the the lower the pressure and inflow of water through
order. Then w will be equal to the summation of the joint of the rock mass. SRF ranges from 0.5 to
x,y&z. 400. The higher the number, the higher the in-situ
stress of the rock mass. Thus, combining these 2
3.1. Block size (RQD/Jn) value (by dividing Jw/SRF) gives the stress of the
rock mass. Jw/SRF have thus been named the
RQD ranges from 0 to 100, the higher the number, Active Stress group.
the better the continuity of the rock core. Jn ranges Analysis of all possible combination of the
from 0.75 to 20. The higher the number, the higher Active Stress group have been done. The three
the discontinuity is expected from the rock mass. most common order of combination are 21
Thus, combining these 2 value (by dividing combinations of order -2, 19 combinations of order
RQD/Jn) gives the “blocky-ness index” of the rock -1 and 13 combinations of order –3
mass. RQD/Jn have thus been named the Block There is 4 different combination that will
size group. produce an order 0 for the Effective Stress group.
Analysis of all possible combination of the block Generally, this can be achieve by having the SRF
size group have been done. The three most lesser than 1 – High stress, very tight structure.
common order of combination are 23 combinations There is 19 different combination that will
of order 0 (eg, RQD/Jn range from 0~9), 20 produce an order -1 for the Effective Stress group.
combinations of order 1 and 5 combinations of Basically, it is possible to achieve order of –1 for all
order –1. condition for the Joint Water and many of the SRF
The combination that will produce an order 2 for condition..
the block size group is only for Jn of lesser than 1 – Combining the above analysis, the conditions
A, Massive, no or few joints. With this condition, the required to attain a particular Q-Value can be
Jn value ranges from 0.5 to 1. deduced.
For the combination that will produce an order 1
for the block size group, the possibility is much 3.4. Possible Q Combination.
more. As long as Jn of lesser than 10. Which
means condition of up to 3 joint set is plausible. From the analysis, it can be observed that in order
to achieve a Class B rock (10<Q<40) and above
3.2. Inter block shear strength (Jr/Ja) (order 1 and above,) the Block size group have to
be in at least of order 1. Since friction angle group
Jr ranges from 0.5 to 4, the higher the number, the and effective stress group has no combination that
rougher the joint of the rock mass. Ja ranges from provides order of 1 and above. In another words,
0.75 to 20. The higher the number, the higher the the block size group dictates the upper limit of the
alteration of the joint of the rock mass. Thus, classification. Therefore, the possible combination
combining these 2 value (by dividing Jr/Ja) gives will be as follow:
the roughness of the rock joint. Jr/Ja have thus x There must be no or few joints (not joint set),
been named the Inter block shear strength group. no slickensided planar with alteration not
Analysis of all possible combination of the Inter more than non-softening clay material. Or
block shear strength group have been done. The x There must be no or few joints (not joint set),
three most common order of combination are 35 under high stress, very tight structure. Or
combinations of order -1, 16 combinations of order x There must be no more than three joint set,
0 and 9 combinations of order –2. no slickensided planar with alteration not
There is 16 different combination that will more than non-softening clay material and
produce an order 0 for the Friction angle group. For under high stress, very tight structure
the numerator, Joint roughness number, as long as For Q below 10, the combinations are too many
it is not slickensided planar condition, it is possible to be listed out.
to achieve a Friction group of order 0. . For the
denominator, Joint alteration number, as long as it 4. Bieniawski’s RMR System
is anything above condition G - Strongly over-
consolidated non-softening clay material fillings The RMR rock mass classification was developed
(continuous, but <5mm thickness), it is possible to by Bieniawski (1976). In RMR classification, the
achieve a Friction group of order 0. following six classification parameters are
There is 35 different combination that will determined:
produce an order -1 for the Friction angle group.
I. Uniaxial compressive strength of intact rock

material It can be seen from the above table that both
II. Rock Quality Designation, RQD RMR and Q have a few common parameters,
III. Joint or discontinuity spacing which the both systems take into consideration.
IV. Joint condition However, there are unique parameters which one
V. Ground water condition and system considers while the other do not consider.
VI. Joint orientation The RMR system does not consider the
For each given parameter, a rating is assigned for Overburden stress while the Q system does not
the respective condition. consider the strength of the rock and the joint
orientation with respect to the excavation.
5. Calculation of RMR-Value and parameter It is commonly taught that RMR and Q should
study not be obtained via correlate to each other. A good
practise of computing RMR and Q independent of
The calculation of RMR is the arithmetic sum of the each other is recommend. A correlation can then
individual ratings. This final value is known as the be done to verfied the correctness of the computed
Rock Mass Rating, RMR. The rock mass is then value.
classified into five classes based on the RMR Many equations have been recommended by
value. As shown in Table I various research. Most of which follows the general
form of:
Table I. Rock mass class based on RMR.
Rock Mass Rating RMR X ln Q Y
100-81 80-61 60-41 40-21 <20
Very Good Fair Poor Very where X ranges from 5~10
Good Poor and Y ranges from 40~60
Individual parameters and their respective In 1996, R.K.Goel et al proposed a new

ratings are as show in table II approach to the correlation of the Q and RMR
Values. Essentially, the unique parameter of the
Table II. Ratings of parameters. system is removed, leaving the common
Parameters Ratings parameters. This new value is then termed as RCR
Uniaxial compressive strength of intact 0~15 and N for the modified RMR and Q value
rock material respectively. Correlation is done for the new values
Rock Quality Designation, RQD 3~20 and after which, the unique parameter is then
Joint or discontinuity spacing 5~20 added back into the value. For an example,
Joint condition 0~30 RMR is reduced to RCR by removing the
Ground water condition 0~15 parameters of joint orientation and rock strength.
Joint orientation -60~0 RCR is then correlated to N. The SRF is then
added back into N to give the Q value. The reverse
As shown in above Table I, each rock mass has also been proven. The correlation of RCR to N
class is differentiated at an interval of 20 RMR. is done via the proposed formula by R.K. Goel of:
Each parameters, with the exception of joint
orientation, has an average rock mass rating range RCR 8 ln N 30 (2)
of 20 (15~30).
6. Comparing parameters of Q and RMR

system
Different parameters contributing to the

computation of the Q and RMR Value are as listed
in Table III.
Table III. Comparison of parameters
Classification
RMR Q
RQD O O
Joint - Set No. O O
Joint - Roughness O O
Joint - Contact O O
Joint - Water Pressure O O
Joint - Orientation O X
Strength of Rock O X
Figure 1. RCR vs full range of Q value
Overburden X O
By removing the parameters of rock strength Overburden pressure, SRF. This uncolored zone
and joint orientation, the range of the RMR is could be the SRF effective zone.
effectively reduced to 8~85. The reduced RMR, It is also worth mentioning that the SRF factor in
which is also RCR as proposed by R.K Goel et al, the Q system is a denominator with value range
is converted into N using the proposed correlation from 0.5 to 400, with most case of value greater
in equation (2). N, which is also RCR, is then than 1. Hence, based on the parameter study
plotted against the full range of Q as show in Figure approach show earlier in this paper, SRF is a
1. parameter which reduces the rock mass quality.
However, detailed study of the individual It is proposed that it is plausible to have a stress
parameter range and the computation method of reduction factor parameter for RMR. This
the RMR and Q system show that the weightage of parameter will have an individual rating of -30~0.
the parameters are not equal. Table IV shows the This value range is derived based on the
value range of the common parameters correlated, using RK Goel’s proposed equation (2),
SRF factor range in the Q system.
Table IV. Value Range of Common Parameters When added the new parameter for SRF to
Classification RCR, the value range for RCR will be -22~85.
RM RM Modified RCR, is converted into Modified N using
Q Q the proposed correlation in equation (2). Modified
R R
N, which is also Modified RCR, is then plotted
RQD 3~20 0~100 against the full range of Q as show in Figure 2.
Joint – 0.75~2 8~40 0~133.33
5~20
Set No. 0
Joint -
Roughnes 0.4~5
0.02~6.6
s 0~30 0~30
7
Joint - 0.75~2
Contact 0
Joint -
Water 0~15 0.05~1 0~15 0.05~1
Pressure
As mentioned earlier in the paper, the approach

method for the parameters study of the Q-Value
system, is to group the parameters into three
groups. Namely, the block size group, the inter
block shear group and the active stress group. For
the sake of comparison, the relevant RMR values
are also grouped into the same group and as
shown in Table IV. It can be seen that when the Figure 2. Modified RCR vs full range of Q value
RMR were grouped, the weightage are somewhat
equal for block size group and inter block shear 8. Conclusion
group. However, that is not the case for the Q value
system. This paper proposed the possibility of unifying the
The Q-Value System based heavily on RQD rock mass classification system by introducing an
and assuming all other value to be constant, the overburden stress parameter to RMR. The
change in RQD will impact the Q value much more equivalent of SRF in Q-value.
that RMR value. This parameter will have an individual rating of -
30~0. Further studies and parameter testing will be
7. Proposed Stress reduction factor parameter required before the full range of condition for the
for RMR - system SRF Parameter can be recommended.
It can be seen from Table III that if RMR do 9. Reference

consider Overburden stress, then it would be a
system that is all inclusive. This paper proposed Bhawani Singh, R. K Goel,(1999). Rock Mass
the possibility of unifying the rock mass Classification – A Practical Approach in Civil
Engineering Elsvier Science.
classification system by introducing an overburden Nick Barton, Eystein Grimstad. The Q-System
stress parameter to RMR. The equivalent of SRF in following Twenty Years of Application in NMT
Q-value. Support Selection. Felsbau 12 (1994) Nr.6
Also, Figure 1 shows the reduced RMR plotted R. K Goel, J. L. Jethwa, A. G. Paithankar.
against the full range of Q value. The unshaded Correlation Between Barton’s Q and
Bieniawski’s RMR – A New Approach.
zone represents data out of the range of the International Journal of Rock Mechanics Mining
correlation. It is proposed that since the reduced Science & Geomechanics Vol 33, No.2 , pp
RMR has all the parameters of Q except for the 179-181
THE INFLUENCE OF PARTICLE SHAPE AND DENSITY INDEX ON

SHEAR STRENGTH PARAMETERS OF TRANSYLVANIAN SANDS
L’INFLUENCE DE LA FORME DES PARTICULES ET DU DEGRÉ DE
TASSEMENT SUR LES PARAMÈTRES DE CISAILLEMENT DES SABLES EN
TRANSYLVANIE
1
Iulia MOLNAR
1
Cluj-Napoca, Romania
ABSTRACT - The main purpose of this study is to investigate the influence of particle shape and density
index on shear strength parameters of Transylvanian sands and to provide accurate information for better
understanding of sands behavior. The paper contains two parts. First part refers to the study of physical
parameters in terms of density index, particle size distribution and particle shape and provides an analysis of
particle shape influence on density index of the sands. The second part of the paper refers to the study of the
influence of particle shape and density index on shear strength parameters of Transylvanian sands. Drained
triaxial tests were performed on each type of sand at three different densities and both effective and critical
values of shear strength parameters were determined.
1. Introduction between parameters cannot be generalized and

used for all types of soils. In an accurate evaluation
The optimal designing of soil constructions, the correlations between parameters can be extended
stability analysis of slopes, the determination of to a type of soils that also have a number of
earth pressure against constructions, the choice of common characteristics and are usually found in
foundation system and foundation design depend the same area or region. Soil has a complex
on the accurate determination of geotechnical formation process influenced by different
parameters. parameters and this generates a complex behavior
The design calculation of a foundation solution under loads.
can only be done with accuracy if geotechnical The main purpose of this paper is to present a
proprieties of the foundation soil are correctly complex study regarding to the influence of particle
determined. At the same time the values of shape and density index on shear strength
geotechnical parameters must closely describe the parameters of Transylvanian sands and at the
real field situation. In the foundation design process same time to provide correlations between
one of the most important steps is the analysis of parameters in order to accurately describe
geotechnical parameters and factors influencing the Transylvanian sands behavior under loads.
values of these parameters. This step is important Laboratory studies were conducted on samples
because it can lead to a better understanding of the collected from eight different areas from
foundation soil behavior. Transylvania: Aghires area (Cluj county), Beltway
Even if different researchers performed lot of of Cluj-Napoca area (Cluj county), Feleacul area
studies regarding the soil behavior on different (Cluj county), Valea Capriorii area (Cluj county) ,
types of soils, the subject is far from being fully Baia-Mare area (Maramureş county), Valea lui
analyzed. Soil is a very complex material, due to the Mihai area (Bihor county), Oradea Hills area (Bihor
physical and chemical phenomena that influence county), Arad area (Arad county).
the formation process. All the processes that
influence the formation of the soil lead to a behavior
of the soils under loads which is often unpredictable
and varies from one region to another, (Mayne et al.
1990)
The type of soils analyzed in this paper is
Transylvanian sands. The behavior of sands under
loading is dependent on characteristics such as
density index, confining pressures, particle size,
particle size distribution, particle shape, surface
texture, mineralogy, and type of test conducted to
determine sand response. (Hyslip et al., 1997)
Different studies performed by different
researchers showed that a fixed correlation Figure 1. Areas of Transylvania Region where the
samples were collected
2. Physical parameters analysis values determined for sphericity index for each
sand.
The size and shape of the soil particles provide In order to evaluate the influence of sphericity
information regarding the history formation of the index on relative density index and to also evaluate
soil and usually indicate the processes that led to its behavior of the collected sands at different density
formation, (Cho et al, 2006). indexes, maximum and minimum void indexes were
In order to conduct an accurate study regarding determined,(Santamarina et al, 2004)
sands behavior under loading, particle size .
distributions were analyzed for all the eight type of Table 2. Sphericity index values and the extreme
sands collected and mean diameter coefficient void ratios
( D50 ), uniformity coefficient ( cu ) and curvature Type of Sand S emin emax
coefficient ( cc ) were determined. Aghiresu Sand 0.44 0,55 0,91
Arad Sand 0.55 0,60 1,05
Table I. Parameters determined from grain size Baia Mare Sand 0.54 0,64 0,97
distribution analysis Beltway Cluj Napoca Sand 0.57 0,71 1,05
Type of Sand D50 cu cc Dealurile Oradei Sand 0.53 0,53 1,02
Feleacu Sand 0.55 0,64 1,03
Aghiresu Sand 0,63 1,52 5,62
Valea Capriorii Sand 0.60 0,49 0,70
Arad Sand 0,13 2,26 7,29
Valea lui Mihai Sand 0.62 0,86 1,22
Baia Mare Sand 0,12 0,73 1,66
Beltway Cluj Napoca Sand 0,18 0,62 3,38 Particle shape is one of the factors that influence
Dealurile Oradei Sand 0,19 0,63 3,36 the values of maximum and minimum void indexes.
Feleacu Sand 0,52 0,69 6,08 This influence can be clearly seen in Figure 3.
Valea Capriorii Sand 0,88 1,17 3,65
Valea lui Mihai Sand 0,17 0,96 2,00
Particle shape characteristics were also

analyzed and sphericity indexes were determined
through electronic microscope images.
Sphericity index is a parameter that refers to the
global form of a particle. It is usually calculated as
the diameter of the largest inscribed sphere relative
to the diameter of the smallest circumscribed
sphere.
Maximum possible value that can be determined
for the sphericity index is 1.0. In that case the
particle is a perfect sphere. For all other shapes of Figure 3. Influence of sphericity index on minimum
the particle the sphericity index (S) varies between void index
0.0 and 1.0, (Yasin et al, 2003).
D
E
A B
C
l
d
L
Figure 4. Influence of mean diameter coefficient on

minimum void index
Another factor that influences the values of

maximum and minimum void indexes and at the
Figure 2. Particle shape analysis same time the relative density index ( I D ) is the
Determining particle shape characteristics is a mean diameter coefficient D50 . On the generated
difficult process that can easily generate errors in graphics it was observed that maximum and
the results. In order to reduce errors, the final minimum void indexes developed a linear function
values for the sphericity index were determined with the mean diameter coefficient. A higher value
through a probabilistic computation made using all of the mean diameter coefficient will generate
smaller values for maximum and minimum void Deviatoric stress - axial strain curves provided
indexes and at the same time smaller values for information regarding the critical values of shear
D50 will generate higher values for emin and emax strength and for dense sands the curves presented
a decrease of the peak value for shear strength to a
and also a higher difference between their values. critical value. Triaxial tests shown that a loose
sample will not develop a decrease in deviatoric
stress- axial strain curve regardless the confining
3. Analysis of Particle shape and density index pressure used during the test. Using critical values
influence on shear strength parameters of shear strength stress obtained for dense
samples for each sand critical values for frictional
3.1. Triaxial tests procedure and results angle were determined.
Shear strength parameters such as effective Table 5. Critical frictional angle values obtained
frictional angle and critical frictional angle were from dense samples for each sand
determined trough consolidated drained triaxial
tests. Each type of sand was tested at three
different initial void ratios (loose, medium, dense) Type of Sand Mcr I D3
and each of them at three different confining
pressures. Aghiresu Sand 32.01 97%
Arad Sand 31.84 91%
Table 3. Initial density indexes for each sand used Baia Mare Sand 34.20 95%
during drained triaxial tests Beltway Cluj Napoca Sand 30.00 83%
Type of Sand I D1 ID2 I D3 Dealurile Oradei Sand 30.44 85%
Aghiresu Sand 17% 50% 97% Feleacu Sand 29.05 83%
Arad Sand 55% 75% 91% Valea Capriorii Sand 34.27 95%
Baia Mare Sand 15% 71% 95% Valea lui Mihai Sand 31.80 93 %
Beltway Cluj Napoca Sand 37% 55% 83%
Dealurile Oradei Sand 40% 58% 85% 3.2. Analysis of influencing factors
Feleacu Sand 41% 60% 83%
Density index is one of the most important physical
Valea Capriorii Sand 35% 65% 95%
parameters for cohesionless soils and has a
Valea lui Mihai Sand 15% 47% 93 % decisive influence on the shear strength. When the
density index is higher, the internal friction angle
Values for effective frictional angles were value will also increase. This was evidenced by
determined after British Standard BS 1377-8:1990 numerous worldwide studies.
procedure using peak stress data from deviatoric For the tested soils density index-effective
stress- axial strain curves. Membrane and drainage frictional angle graphics were generated and linear
corrections were also applied for determining the behavior was observed between the two
final values for V 1 ' and V 3 ' used for calculating parameters for all samples for all eight type of
shear strength parameters. Final values for shear sands.
strength parameters were obtained using Mohr-
Coulomb yielding criteria. The effective frictional
angle values resulted from triaxial tests vary
between 30 degrees to 40 degrees. (Molnar, 2012)
Table 4. Effective frictional angle values resulted for

all initial density indexes for each sand
Type of Sand I D1 ID2 I D3
M' M' M'

Aghiresu Sand 31.25 33.75 35.88
Arad Sand 34.51 35.29 36.18 Figure 5. Density index- effective frictional angle
Baia Mare Sand 36.26 38.14 39.80 graphic
Beltway Cluj Napoca
31.60 32.00 33.00
Sand However, for a given type of sand, the higher the
Dealurile Oradiei Sand 30.01 31.71 33.37 difference between the density indexes is, the
Feleacu Sand 30.24 30.61 32.03 higher the differences between internal friction
Valea Capriorii Sand 33.50 35.71 38.46 angle values will be. In the analysis of the behavior
Valea lui Mihai Sand 31.71 32.77 34.21 of the tested fine sands it was noted that
differences between density indexes will cause
small differences between the values of internal

friction angles. This behavior is due to the fact that
in fine sands extreme void ratio indexes have close
values. The results of the triaxial tests performed in
the laboratory showed that in fine sands the
differences between frictional angle values caused
by different initial density indexes do not exceed 3
degrees. For medium sands the differences can
reach up to 5 degrees and for dense sands up to 10
degrees.
A close analysis of the relations obtained
between the density indexes and effective frictional
angles was made with considering of percentage of
fine particles and grain size distributions and
correlations between the density index and effective Figure 7. Sphericity index- Peak effective frictional
internal friction angle for fine, medium and coarse angle graphic for loose sands
sand were determined. The correlations are
presented in Table 5.
4. Conclusions
Table 5. Correlations between density index and
peak frictional angle for Transylvanian sands The results of the study provided important
information regarding the influence of particle
Type of Sand shape and density index on shear strength
Fine Sand M ' 6.03 I D 29.05 parameters and showed that particle size, particle
shape and density index are important soil
Medium Sand M ' 5.00 I D 30.50 properties that need to be properly characterized
Coarse Sand M ' 4.20 I D 35.50 and documented, especially for sands.
Particle shape is another important factor 5. References

influencing shear strength and internal friction angle
values. A sharp shape of the particle will lead to an Cho G.C., Santamaria J.C. (2006). Particle shape
increase in shear strength of a certain soil. The effects on packing density, stiffness, and
results showed that an increase value for the strength: natural and crushed sands. Journal of
sphericity index will lead to an increase of the Geotechnical and Geoenvironmental
frictional angle values. The generated graphics Engineering ,vol.132, n°6, pp.591-602
between sphericity index and frictional angle Hyslip, J. P., Vallejo L. E. (1997). Fractal analysis of
showed a linear relation between these two the roughness and size distribution of granular
parameters for loose and medium sands. However, materials. Engineering Geology Journal vol. 48,
an accurate evaluation of the influence of the pp. 231–244.
particle shape on the shear strength parameters
Mayne P.W., Kulhawy F.(1990). Manual on
represents a difficult task.
estimating soil proprieties for foundation design.
Electric Power Research Institute, New York.
Molnar I. (2012). Phd Thesis: Contributions to the
influence of the computational models in
geotechnical engineering problems. Technical
University of Cluj-Napoca, Romania.
Santamaria J.C., Cho G.C. (2004) The role of
particle shape. Proceedings Skempton
Conference, London, pp. 1-14.
Yasin S.J.M., Safiullah A.M.M. (2003). Effect of
particle characteristics of the strength and
volume change behaviour of sand. Journal of
civil engineering,vol.CE 31, no.2, pp. 127-148
Figure 6. Sphericity index- Peak effective frictional

angle graphic for medium sands
CHARACTERIZATION OF GEOMATERIALS BY MEANS OF

NUCLEAR MAGNETIC RESONANCE
CARACTERISATION DE GÉOMATÉRIAUX PAR RESONANCE MAGNETIQUE
NUCLEAIRE
1 2 3
Marcos MONTORO , Lucas CERIONI , Daniel PUSIOL
1
Universidad Nacional de Córdoba and CONICET, Córdoba, Argentina
2
Spinlock SRL and CONICET, Córdoba, Argentina
3
CONICET, Córdoba, Argentina
ABSTRACT - Pore size and pore sizes distribution of soils and rocks control many hydraulic and mechanical
properties of natural geomaterials such as hydraulic conductivity and shear resistance. Regarding their
importance there are no simple techniques to measure pore size. Traditional pore size distribution
measurement techniques include mercury intrusion porosimetry (MIP) and digital analysis. Nuclear magnetic
resonance allows indirectly and qualitatively determining pore size distribution of a porous material by
measuring the magnetization decaying curve and analyzing the transversal relaxation time distribution curve.
In this research we measured the magnetization decaying curve obtained by a Carr-Purcell-Meiboom-Gill
pulse sequence. We performed a transversal relaxation time (T2) determination on samples with selected
sizes of sand grains, well graded sands, silty sand, silt and clays. Obtained results show that T2 distribution
is exponentially correlated with the mean grain size.
1. Introduction The objective of this research is to characterize

the transversal relaxation time (T2) of water filling
Soil pore sizes are controlled by many factors pores of different soils. We tested samples
such as grain size and sizes distribution, composed by mono-sized particles on one hand
overburden pressure, and fabric formation (Mitchell and samples composed by different sizes of
and Soga, 2005). Pore sizes control important particles, considering particles ranging from sand
phenomena inside soils and rock such as mass sizes to clay sizes. The aim is to determine a
and contaminant transport, electrical conductivity, correlation between a characteristic nuclear
heat transfer and shear resistance (Santamarina et magnetic resonance transverse relaxation time and
al., 2001). the mean grain diameter of the soil.
Pore sizes and sizes distribution cannot be
easily determined. Actual available techniques to
measure pore sizes include Mercury Intrusion 2. Materials and Methods
Porosimetry (MIP) and digital image analysis of
images acquired by different techniques such as 2.1. NMR Relaxometry
synchrotron X-Ray microtomography or scanning Porosimetry can be studied by measuring the
1
electron microscope images (Werth et al., 2010). decaying of the transverse magnetization of H
MIP techniques are based on measuring the nuclei of the water phase (T2). This magnetization
required pressure to inject a volume of mercury decaying can be measured using a Carr Purcell
inside the sample and calculating an effective pore Meiboon and Gill pulse sequence (Coates et al.,
radius using capillarity equations (Dullien, 1992). 1999). This sequence is composed by an initial
This type of technique have some important radio frequency pulse that rotates the direction of
limitations such as that only cumulative pore size the net magnetization vector of the spins into a 90º
con be determined, mercury imbibition or drainage angle, followed after an interval TE/2 by a series of
curves present hysteresis and mercury is a pulses that rotate the net magnetization vector into
complicated handling material (Leon y Leon, 1998). a 180º angle.
X-ray synchrotron microtomography or SEM The magnetization cannot be maintained
images allow pores direct visualization. The main indefinitely in the transverse plane, in consequence
limitation of these techniques is their resolution the signal experiments a decaying with time. This is
(Peng et al., 2012). characterized by a relaxation time and gives
From this perspective Time Domain Nuclear information about the pore properties and the fluid
Magnetic Resonance (TDNMR) technique appear properties inside the pores. The relaxation time T2
as an accurate and easy handling technique to depends on the relaxation time of the bulk fluid, the
indirectly and qualitatively determine pore sizes relaxation due to the interaction between the 1H
and its distribution (Arns, 2004).
nuclei and the pore walls and the relaxation due to NMR experiments were performed in a SLK 100
molecular diffusion (see equation (1)). spectrometer. This spectrometer has an operating
frequency of 9.364 MHz.
D(γGTE )
2 The CPMG pulse sequence was programmed
1 1 ⎛S⎞
= + ρ2 ⎜ ⎟ + with a 3000 pulses separated by an inter-echo
T2 T2bulk ⎝ V ⎠ poro 12 (1) spacing time TE = 600 μs. The experiment required
one scan with phase cycling 0-90-180-270 to reach
a signal to noise ratio in between 1000 and 2800.
where, S is the surface of the pore, V is the volume
Repetition time was set on 20 seconds. Each
of the pore, D is the diffusion coefficient of the fluid
experiment was repeated four times with the same
inside the pore, γ is the gyromagnetic ratio, G is the
sample in order to guarantee results repeatability.
gradient of the magnetic field, TE is the inter-echo
T2 distribution is obtained by applying the Laplace
spacing and ρ is the surface-relaxivity.
transform to the obtained signal; this processing
Since T2bulk can be easily measured and known
was performed by using the Multiexp software.
for a determined fluid, the T2 measured for a
saturated porous media is controlled by the surface
– relaxivity and the S/V ratio, which is an indirect
measurement of the pore sizes. Note that the
higher the T2 the bigger the pores (Kleinberg et al.,
3.1. Transverse relaxation time of samples
1994).
Figure 1 show the T2 distribution obtained for
Surface relaxivity depends on the chemical
some selected samples normalized by the weight
composition of the pore matrix interface and has to
of water present in each sample. Figure 1a show
be measured for each particular material and fluid,
the information obtained for #4 sand, #200 sand,
in addition to that, its determination is not easy, and
the well graded sand and for the sodium
in consequence T2 distribution can be assumed as
montmorillonite, while Figure 1b show the same
a representation of pore sizes distribution and can
information for the mixtures of #40 sand with
be qualitatively compared between different
different amounts of silt particles.
samples.
For the particular situation of the #4 sand,
characterized by a mean grain diameter of 8.63
2.2. Tested soils and sample preparation
mm, the T2 distribution is characterized by only one
Tested soils include sand, silt, kaolinite, zeolite
important peak, with a relaxation time of 2000000
and sodium montmorillonite.
μs which coincides with the T2 of pure water. This
Sand was forced to pass through standard
means, that the pore formed in between this size of
sieves and six samples composed of grains
grains are big enough that the main influence on
retained in between two sieves were recovered.
the T2 of the sample is from the bulk water,
In particular the sizes considered were #4 - #10
considering that the specific surface of this sample
(4.25 mm – 2 mm), #10 #40 (2 mm – 0.425 mm),
is 2 x 10-4 m²/gr the effect of the pore walls on the
#40 - -#60 (0.425 mm – 0.25 mm), #60 - #100 (0.25 1
H nuclei’s is negligible, moreover the secondary
mm – 0.15 mm) and #100 - #200 (0.15 mm – 0.075
peak of this sample appears for a T2 of 18000 μs
mm). An extra sample of sand was prepared by
but its intensity is much smaller than the other
mixing grain of the different sizes in order to obtain
peak. This secondary peak appears due to the
a near well graded sand (Cu = 5 and Cc = 0.8).
chance of the formation of small pores or the
Table 1 present some geotechnical properties of
presence of cavities and crevices in the grains.
tested samples.
The observed tendency for mono-sized sand
Tested sands samples are mainly composed by
samples is that the T2 distribution broadens and the
pure minerals such as silica and feldspar and some
peaks associated to smaller T2 become more
rock fragments. Silt is mainly composed by quartz,
important as the grain size become smaller. See in
feldspar, volcanic glass and igneous rocks
Figure 1a the comparison between the distributions
fragments. The natural zeolite is composed by
obtained for the #4 sand and the #200 sand.
heulandite and clinoptilolite, and the bentonite has
For the case of a well graded sample, the
more than 92% of sodium montmorillonite.
obtained T2 distribution is very broad since grains
Two additional samples composed by a mixture
of different sizes have the chance to occupy the
of 90% of #40 sand and 10%silt and 80% of #40
pore space present in between two bigger grains;
sand and 20% silt were tested in order to identify
in consequence as it can be appreciated in Table 1
the effect of the increasing fine particle content in
obtained porosity is much smaller than the porosity
the T2 distribution.
registered for mono-sized samples. See in the
distribution of the #200 sand that the peak
2.3. TDNMR Experiments
corresponding to a T2 of the bulk water is very
Soil samples were placed by wet pluviation into
small, while that peak doesn’t appear on the T2
the sample holder in order to assure maximum
distribution of the well graded sand meaning that
water saturation and to obtain the loosest fabric
there are no sufficient bigger pores that can
possible. Saturation degree verified in each sample
contribute with a T2 component equal to the T2 of
after the test was above 0.98 for all the samples.
the bulk water, some similar tendencies were
reported by Jaeger et al. (2009), but it has to centered at a T2 of 13277 μs and presents no other
consider the effect of the presence of the organic peaks.
matter in the soils tested by those authors.
Table 1: Geotechnical properties of tested soil
0.003 samples.
#4 sand
Sample γd n Signal
#200 sand
0.0025 [KN/m³] density
WG sand #4 sand 15.53 0.41 0.0345
0.002 Sodium #10 sand 15.89 0.40 0.0364
montmorillonite #40 sand 15.86 0.40 0.0359
0.0015
#60 sand 15.53 0.41 0.0306
#100 sand 15.2 0.43 0.0242
#200 sand 14.17 0.47 0.0242
0.001
Well graded sand 17.99 0.32 0.0330
Silt 12.32 0.54 0.0284
0.0005
90% #40 sand + 10% 16.94 0.36 0.0349
silt
0 80% #40 sand + 20% 17.39 0.34 0.0288
1.0E+02 1.0E+04 1.0E+06 1.0E+08
silt
dϮ ΀ʅƐ΁
Kaolinite 10.82 0.59 0.0304
(a) Zeolite 6.84 0.74 0.0326
Sodium 2.63 0.90 0.0230
0.003 montmorillonite
90% #40 sand + 10%
silt
0.0025 80% #40 sand + 20% One important thing that it must be considered
silt is that the area enclosed by the distribution should
0.002 be same for all the tested samples, that area
represents the signal density (amount of signal per
0.0015
gram of water inside the sample). For the case of
pure water the registered signal density was 0.032,
it is expected a value very similar to that for all the
0.001
samples. From Table 2 it can be observed that the
registered signal densities for sand samples with
0.0005 grains bigger than the retained by #60 sieves are
very similar to the one of pure water. The same can
0 be observed for the well graded sand, the sand
1.0E+02 1.0E+04 1.0E+06 1.0E+08
with 10% of silt particles, zeolite and kaolinite.
dϮ ΀ʅƐ΁
Signal densities for the silt and sodium
(b) montmorillonite samples are much lower than
expected. This is because sodium montmorillonite
Figure 1: T2 distribution of different soil samples. (a) present a very high surface to mass ratio
T2 distribution for #4, #200, well graded sands and (approximately 731 m²/g), which affect the mobility
sodium montmorillonite, (b) T2 distribution for sand of water molecules inside the pores and in
1
– silts mixtures. consequence of the H nuclei. Samples with signal
density less than approximately 0.03 have water in
Sand samples with different amounts of silt pores with relaxation time less than 600 μs which is
particles present also a broad distribution but with the starting time at which the spectrometer starts
one important peak, the position of this main peak registering the decay. By considering the difference
changes to lesser T2’s as the amount of silt in between the theoretical and the registered signal
particles increases. See the change of T2 from density it is possible to quantify the amount of
318000 μs for the sample with 10% of fine particles water in small pores with T2 less than 600 μs
to a T2 of 1365 μs for the sample with 20% of silt (Okhubo et al., 2008). This consideration is very
particles. The observed shape of the T2 distribution important for very fine particles such as
show that for the sample with 20% of silt particles montmorillonite, since water in pores tend to form
the pore space (particle fabric) and in consequence diffuse double layers. Water affected by double
its properties are controlled by the presence of the layers have physical properties similar to ice
fine particles as it is stated in geotechnical (Mitchell and Soga, 2005), it has to be considered
engineering for soils with a content of more than that T2 of ice is much smaller than 600 μs (Kume,
15% of fine particles (Santamarina et al., 2001). 1960).
For the case of the sodium montmorillonite
sample, the T2 distribution presents only one peak
3.2. Transversal relaxation time and grain sizes

Table 2 shows the mean grain diameter of each 100000
sample (D50) and the T2 associated to the main
peak of the T2 distribution. It is clear that the T2
decreases with the decrease in grain size, since,
dϮ ĂǀĞƌĂŐĞ΀ʅƐ΁
smaller grains leave smaller pores in between 10000
them. The tendency changes when there are
mixtures of coarse and fine particles, because they
can form diverse grain fabric, including the
presence of macropores (Mitchell and Soga, 2005). 1000
Figure 2 show the relation between mean grain
y = 7846.6x0.4138
diameter and the average T2 of each sample. The R² = 0.8917
relation follows an exponential law, increasing the
T2 with the increase in mean grain diameter. The 100
computed coefficient of correlation was 0.89. 0.001 0.01 0.1 1 10
A similar tendency was found when the average D50 [mm]
T2 was plotted against the specific surface; Figure 2: Correlation between T2 average and
however the computed coefficient of correlation in mean grain diameter
this situation was 0.81, less than in the preceding
situation.
5. Acknowledgements
Table 2: Mean grain diameter and T2 of tested The author thanks SECyT, ANPCyT - Foncyt and
samples CONICET for the financial support of this research. MAM
Sample D50 T2 [μs] thanks the support given by CONICET during this research
[mm] and the ISSMGE Foundation and SAIG for the support given
to attend to the V International Young Geotechnical
#4 sand 8.625 2105500.69 Engineering Conference.
#10 sand 3.375 2105500.69
#40 sand 1.213 572756.14 6. References
#60 sand 0.338 1031556.35
#100 sand 0.2 37361.32 Al-Raoush R.I., Willson C. (2005). Extraction of physically
#200 sand 0.113 19066.09 realistic pore network properties from three dimensional
synchrotron X-ray microtomography images of
Well graded sand 0.9 210872.57 unconsolidated porous media systems. Journal of
Silt 0.03 1054.32 Hydrology, vol. 300, pp. 44 – 64.
90% #40 sand + 10% silt 0.71 1770790.13 Arns C.H. (2004). A comparison of pore size distributions
derived by NMR and X-ray-CT techniques. Physica A, vol.
80% #40 sand + 20% silt 0.74 5202503.39 339, pp. 159 – 165.
Kaolinite 0.004 3462.26 Coates G.R., Lizhi X., Prammer M.G. (1999). NMR Logging:
Zeolite 0.011 3287.82 Principles and Applications. Halliburton Energy Services.
Dullien F.A.L. (1992). Porous Media: Fluid Transport and Porous
Sodium montmorillonite N/A 13277.02 Structure. 2° Ed. Academic Press. San Diego.
Jaeger F, Bowe S., Van H., Schaumann G.E. (2009). Evaluation
1
of H NMR relaxometry for the assessment of pore-size
4. Conclusions distribution in soil samples. European Journal of Soil
Science, vol. 60, pp. 1052 – 1064.
Kleimberg R., Keynon W., Mitra, P. (1994). Mechanisms of NMR
In this research we determine the T2 distribution Relaxation of Fluids in Rocks. Journal of Magnetic
of soil samples considering a wide range of mean Resonance Series A, vol. 108, pp. 206 – 214.
grain diameter. The principal results obtained can Kume K. (1960). Proton magnetic resonance in pure and doped
ice. Journal of the Physical Society of Japan, vol. 15, pp.
be summarized as follows: 1493 – 1501.
• For sands, the T2 diminishes as the grain size Leon y Leon C.A. (1998). New perspectives in mercury
diminishes, since finer grains form smaller porosimetry. Advances in Colloids and Interface Science,
pores. vol. 76-77, pp. 341 – 372.
Mitchell, J.K. and Soga, K. (2005). Fundamentals of Soil
• The distribution of T2 broadens as the grain Behavior. 3rd Ed. John Wiley & Sons, Hoboken, New
size diminishes or when there are several grain Jersey.
sizes in the sample. Ohkubo T., Kikuchi H., Yamaguchi M. (2008). An approach of
NMR relaxometry for understanding water in saturated
• Signal density allowed quantifying the amount compacted bentonite. Physics and Chemistry of the Earth,
of structured water in the sample. vol. 33
• Average T2 of samples present an exponential Peng S., Hu Q., Dultz S., Zhang M. (2012). Using X-ray
correlation with the mean grain diameter of the computed tomography in pore structure characterization for
a Berea sandstone: Resolution effect. Journal of Hydrology,
soil (r2 = 0.89). vol. 472-473, pp. 254- 261.
• Average T2 of samples present an exponential Santamarina J.C., Klein K.A., Fam M.A. (2001). Soils and
correlation with the specific surface of the Waves. John Wiley & Sons, England.
sample, however the coefficient of correlation is Werth C.J., Zang, C., Brusseau M.L., Oostrom M., Bauman T.
(2010). A Review of Non-Invasive Imaging Methods and
lesser than the one determined for the Applications in Contaminant Hydrogeology Research.
dependence with the mean grain diameter. Journal of Contaminant Hydrology, vol. 113, pp. 1-24.
EVOLUTION OF DEFORMATION FIELDS IN PLOUGHING OF SAND
EVOLUTION DES CHAMPS DE DEFORMATION LORS DE LA DECOUPE

ORTHOGONALE DE SABLES
1 2
Tejas MURTHY and Christopher SALDANA
1
Indian Institute of Science, Bangalore, INDIA
2
The Pennsylvania State University, PA, USA
ABSTRACT – This paper reports on an experimental study on the ploughing or orthogonal cutting in sand.
Plane strain cutting or ploughing experiments were carried out on model Ottawa sand while being imaged at
high resolution. The images obtained were further processed using image analysis and the evolution of the
velocity and deformation fields were obtained from these analysis. The deformation fields show the
presence of a clear shear zone in which the sand accrues deformation. A net change in the direction of the
velocity of the sand is also clearly visible. The effective depth of cut of the sand also increases with
continuous cutting as the sand reposes on itself. This deformation mechanics at the incipient stages of
cutting is similar to that observed in metal cutting.
1. Introduction discussed in this paper. The authors also use a

simple "single plane" cutting model to analyse their
Ploughing, dredging and trawling in granular experimental data. Miedema (1985) summarises a
materials is often encountered in many civil series of experimental, and analytical papers on
engineering and infrastructural applications. The dredging in sand with an elegant mathematical
fundamental boundary condition in these classes of model akin to the metal cutting models (Johnson
problems is that of orthogonal cutting. and Mellor), effects of hydrostatic stress on the
Orthogonal cutting involves a plough (or a sand deformation is also considered in this model.
wedge shaped tool) removing a certain preset Using contact dynamics simulations Nouguier et al
depth of soil as the tool moves in a direction normal 2000 study the force fluctuations in ploughing of
to the depth of embedment of the tool. If, the sand in a 2-d set up. The force exerted on the
deformation in such a set up is confined to 2 plough is close to the predictions made using
directions (i.e. plane strain), a narrow zone at the Coulomb's failure in 2-d and 3-d using passive
intersection of the tool and the material is formed earth pressure theory. Additionally, their
which propagates through the cutting. The ratio of simulations show large fluctuations in the force
the thickness of the removed material to the depth exerted on the plough. Additional calculations on
of the cut is a measure of the strain in shear the strain tensor are also presented in the paper.
zone.The ploughing problem offers a unique In a recent study on the locomotion of organisms in
perspective into the behaviour of sands subjected sand, an experimental study in estimating the
to severe plastic deformation (as has been very forces during the ploughing of granular media has
well understood in metal cutting - Johnson and also been reported by Gravish et al 2010. In the
Mellor). The velocity of traverse of the box, allows a context of moving rovers in space applications, a
control of the strain rate in the sand. Hence a series of controlled cutting experiments on a lunar
combination of strains and strain rates can be regolith (model material) have also been reported
achieved in this ploughing problem. by Skonieczny et al 2010, Wettergreen et al 2010.
The effect of the development of pore pressure A recent study on the deformation fields in
on the force applied on a tool (or plough) has been orthogonal cutting of sand with different plough
examined by Palmer (1999) using dimensional angles (rake angles) has been presented by
analysis. This analysis was also verified using Murthy et al 2013. This paper presents additional
model experiments under 1-g conditions, utilising results to this previous study (Murthy et al 2013),
Terzaghi's consolidation theory, a prediction of the especially focussing on the evolution of
pore water pressure developed during this severe deformation fields during ploughing of clean
plastic deformation of the soil is also presented in rounded sand.
this paper. The effect of cavitation due to negative
pore water pressures as a consequence of
dilatancy is also addressed by correcting for the 2. Experimental
increased effective stresses in the soil. Van Os
and Van Leussen (1987) present a full scale test In order to study the evolving deformation
on cutting forces in sand; the effect of dilatancy and parameters, the model sand was confined in a
the consequent increase in the cutting forces are plexiglas box and a series of plane strain ploughing
tests were performed. This plexiglas box was strain rate and effective strain rate are presented in
mounted on a screw driven linear slide (Parker, Murthy et al 2012).
USA) and the plough was fixed while the sand box
was moved at a constant velocity. The dimension
of the box used in this program was 2.5cm x 25 cm
x 15 cm. A plough (or henceforth referred to as a
tool) made of high speed tool steel (of the same
thickness of the box) was fixed to a stationary
frame and was adjustable only in the "z" or vertical
direction, such that the depth of ploughing was
controlled. The tool was placed at desired 'depths'
in the box and the ploughing experiments were
carried out at a constant speed.
Images were captured during the traverse of the
box. The field of view of the images was kept
constant in and around a region of the fixed tool. A
Hasselblad medium format single lens reflex
camera was used to capture images at very high
resolution. A sample image obtained from the
experiment is also shown in the fig. 1. Images
were captured at a frame rate of 0.25 fps.
The model sand used in these experiments was
rounded, medium fine, standard quartzitc sand
(Ottawa sand C 778) of mean grain size 0.45 mm.
This sand has been used extensively as a model
material in many studies, including a
comprehensive mechanical characterisation
presented in Murthy et al 2007.
Figure 1. Sample image obtained during the

experiment. The tool is kept stationary while the
sand box is moved at a constant velocity
A PIV (particle image velocimetry) algorithm

was used to analyse the images captured through
the ploughing process, such an analysis has
extensively been used to study the deformation
field in soils (White et al 2003, 2004). The basic
premise of a PIV algorithm is to assess a degree of
match between images captured temporally, using
a statistical cross correlation algorithm. Details of
the PIV algorithm are provided by White et al 2003
and Adrian and Westerweel 2010. The deformation
fields obtained from the PIV algorithm can be used Figure 2 (a-d). A Series of velocity of contour maps
to deduce velocity fields, strain rate fields and on which a quiver plot is overlaid obtained at
strains (mathematical description of the velocity, various time elapses indicating the evolving velocity
of the sand during cutting.
3. Results force signature on the plough has been observed in

both simulations and model experiments (Nouguier
A series of ploughing experiments were et al 2000 and Palmer 1999), an analysis of the
conducted in this research programme. A preset force signatures will be presented in forthcoming
depth of cut (of about 10 grain diameters ~ 4.5 mm) publications.
was used for all the cutting experiments. The
yellow colour in the bulk of the sand represents the
velocity of cutting while the chip also shows 4. Summary
predominantly a uniform velocity.
The angle of the plough was fixed at 20 degrees The force exerted during the traverse of a
measured with respect to the vertical. The Figure 2 plough is well documented; however, this study
presents a series of velocity fields with continued presents the evolving velocity fields during the
movement of the box. ploughing of dry sand. The velocity field shows an
The velocity field evolution shows the growth of evolution towards the establishment of a steady
the region of the sand removed or "chip" as state. The sand is subjected to large deformations
indicated in the figure 2. The direction of traverse of as it is ploughed. A shear zone is established at an
the sand particles subjected to orthogonal cutting is initial stage of the cutting process, and this shear
clearly visible in the quiver plot overlaid on the zone increases in size corresponding to the
velocity contour map in figure 2. This change in the increase in the size of the chip. The velocity in the
direction of traverse of the sand being cut, and the chip is predominantly uniform with very little
formation of a shear zone at the corner of the variation seen in the magnitude, however the
plough or initiation of the chip is clearly visible in direction of the sand changes as the chip
the contour of the velocity map. The bulk velocity of progresses upward. The effective depth of cut
the sand is predominantly horizontal and is about during the ploughing also is seen to vary with
0.1mm/s (the cutting velocity), while the velocity continued ploughing, as the sand reposes in front
direction in the chip is tangential to the plough rake of the plough. Further studies relating the velocity,
face and drops to about 50% of the cutting velocity. strain rate, strain magnitude in addition to force
The velocity field shown in figure 2 has a bulk fluctuations are presented in forthcoming
region, wherein the velocity of sand is publications.
predominantly horizontal and a zone adjoining the
plough is the shear zone, wherein the deformation
changes direction. This shear zone extends from 5. References
the tip of the plough through the thickness of the
chip region. The chip region shows velocities Adian R.J., Westerweel J., (2011). Particle image
which are tangential to the rake face of the plough velocimetry. Cambridge University Press, UK.
shows a strong component in the vertical direction Gravish N., Umbanhowar P.B., Goldman D.I.,
for the velocity vectors. A small region of zero (2010). Force and flow transition in plowed
velocity is also found at the corner of the tool tip granular media. Physical Review Letters, vol.
and this is seen through the progress of the chip. 105, 128301.
This non-homogeneous deformation field also Johnson W., Mellor P.B., (1973). Engineering
shows the presence of a small dead zone very plasticity. Van Nostarand London.
close to the plough tip. In addition the presence of Miedema S.A., (1985). Mathematical modeling of
a zone at the far end of the shear zone also shows the cutting of densely compacted sand under
a "vortex" formation. water. Dredging & Port Construction, pp. 22-26.
With continued progress in ploughing, the sand Murthy T.G., Loukidis D., Carraro J., Prezzi M.,
moves along the rake face of the plough (increase Salgado R., (2007). Undrained monotonic
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DETERMINATION OF THE SWELL-STRESS CURVE OF AN

EXPANSIVE SOIL USING CENTRIFUGE TECHNOLOGY
DETERMINATION DE LA COURBE DE GONFLEMENT D’UN SOL GONFLANT
A L’AIDE D’ESSAIS EN CENTRIFUGEUSE
Michael PLAISTED, Jorge ZORNBERG
The University of Texas at Austin, Austin, Texas, United States
ABSTRACT - A research project was conducted on the use of centrifuge technology to characterize the
expansive properties of a highly plastic clay. The resulting testing procedure allowed the measurement of
the one-dimensional swell of a soil sample in the centrifuge. This paper focuses on the analysis of testing
results, specifically how to determine the relationship between swell and effective stress of a soil using
centrifuge testing. Samples under centrifugation are subjected to wide range of effective stress across the
sample height due to an increased unit weight. A method is initially proposed to define a representative
effective stress of the centrifuge sample, which can be used to relate the swell of the sample to a single
representative effective stress. A second, more robust method is also developed, which uses multiple
centrifuge test results and curve fits a function to the data. Both methods were found to result in accurate
swell-stress curves verified by comparison with curves determined by standard swell test methods.
1. Introduction acquisition system (DAS) based on the open-

source prototyping platform Arduino. The DAS
A research project was conducted in order to wirelessly transmits sensor data to a nearby
explore the use of centrifuge technology for the computer which records the values over time.
direct testing of expansive clays. During this
research project the equipment and testing Centrifuge Axis Soil Specimen
procedure for monitoring vertical strain of an Ponded water Outflow Chamber
expansive soil inside a centrifuge permeameter
was developed. Previous research on the
centrifuge testing of expansive soils (Frydman &
Weisberg 1991; Gadre & Chandrasekaran 1994)
focused on large, relatively expensive, research
centrifuges. In contrast, the goal of this research Constant water height
project was to develop a quick, simple, and Figure 1 - Centrifuge permeameter
inexpensive method for directly determining the
swelling potential of soils. The procedure for compaction, loading, and
This paper focuses on the analysis of results wetting of specimens was developed in order to
from centrifuge testing. Two methods are proposed mimic the standard swell testing procedure as
for analysis, both providing the ability to determine closely as possible. A typical plot of vertical
the relationship between swell and effective stress deflection vs. time of a centrifuge test is shown in
using centrifuge results. Figure 2. The shape of the curve is typical with the
majority of the expansion occurring within the first
2. Equipment and Testing Procedure 12 hours of centrifugation. Total test duration is
typically between 24 and 48 hours with termination
The equipment and testing procedure developed in of testing occurring after the slope of secondary
this research project has been previously swell is well defined.
documented (Plaisted 2009, Plaisted & Zornberg
2010, Plaisted & Zornberg 2011) and will only be
briefly discussed in this section. Centrifuge testing
is conducted by compacting a soil specimen into
acentrifuge cup and ponding water on top of the
specimen. The specimen is then spun at high g-
levels with the acceleration due to centrifugation
forcing the ponded water to flow into the sample
and promote swelling. A schematic of the testing
setup can be seen in Figure 1.
Vertical deflections of the soil sample are
monitored by linear position sensors resting on the
surface of the soil specimen. The sensors are Figure 2 - Centrifuge test results
connected to a miniature battery powered data
An excellent match was found between results Both methods assume the capability of
from the centrifuge testing procedure and the calculating the effective stress at the top and base
standard procedure. Figure 3 includes results from of centrifuge specimens. The procedure and
six centrifuge tests performed on a highly derivation for determining stresses in centrifuge
expansive clay and eight results from standard samples can be found in Plaisted (2009) and
swell tests. The centrifuge tests were analyzed McCartney & Zornberg (2010).
using the procedures discussed in Section 3.
3.1. Representative Stress Method
The representative stress method was developed

in order to approximately determine the equivalent
stress of a centrifuge test using only the results
from a single centrifuge test. The method is based
on the assumption that the swell-stress relationship
is log-linear across the range of stresses of a single
sample. The errors associated with these
assumptions will be discussed in Section 0.
In order to calculate the equivalent stress, a log-
linear swell-stress curve is assumed as:
(3)
Figure 3 - Centrifuge vs. standard swell results
The average strain across a range of stresses
can be calculated using Equation (1). The
3. Analysis of Centrifuge Results
equivalent stress cannot be directly calculated as
Results from standard swell tests can be directly the coefficients A and B are unknown. However it
related to a single effective stress because the was found that the location of the equivalent stress
sample is subject to an extremely narrow range of relative to the stress range was independent of the
stresses. Instead, centrifuge test results coefficients of the assumed log-linear relationship.
correspond to a larger range of effective stresses. Therefore if the ratio of stresses at the base and
The increased stress range results from the high g- top of the specimen is:
level induced during testing, which increases the
unit weight of soil. (4)
Two analysis methods are proposed in Sections
3.1-3.2, which are based on the concept an
“equivalent stress”. For a given stress-strain and the interpolation value is defined as:
relationship, ε(σ’), the total strain for a sample with
stresses ranging from σt’ to σb’ can be calculated (5)
as:
then equations (1), (4) and (5) can be substituted

(1) into equation (2), and the terms rearranged and
reduced in order to produce a relationship between
the stress ratio (SR) and the interpolation value (IV)
The equivalent stress is the stress value that would such that:
result in the same strain value that was calculated
using Equation (1) but by using a single stress (6)
rather than a range in stresses. The equivalent
stress can be calculated as:
(2) The resulting function is shown in Figure 4 over

a range of stress ratios typical for centrifuge
testing. Using Figure 4 or Equation (6) the
In order for Equation (1) to be valid, a linear interpolation value can be calculated for a single
distribution of effective stress across the sample centrifuge test. By rearranging Equation (5), the
must be assumed. The distribution has been shown equivalent stress can be determined from the
to actually be better represented by a polynomial interpolation value, as follows:
distribution (Plaisted 2009), but errors between the
two distributions were found to be less than 1%. (7)
The errors from this assumption will be further
discussed in Section 3.3.1.
minimum error is found. Powell’s method (SciPy

2013) is used in order to find minimum error of the
function.
The process of determining the function to be
used can be achieved in two ways. The first
approach is to complete the analysis of all testing
results using the Representative Stress Method in
Section 3.1. The results from the representative
stress method are plotted and a function is chosen
that matches the general shape of the relationship
found between swell and stress in the plotted data.
The second approach is to pre-select a variety
of functions that typically represent well the
Figure 4 - Stress Ratio and Interpolation Value relationship between swell and stress for expansive
soils. The curve fitting method is then performed for
The representative stress method was all of the selected functions and the function with
conducted for a set of tests conducted at g-levels of the lowest error is chosen.
5, 25, and 200 and the results are included in Table Three functions that have been found to fit well
1. The results show a well-defined trend between swell-stress curves are listed below as equations
the equivalent stress and swell, as will be further (9) through (11). The procedure listed above was
discussed in Section 3.3.2. completed for each function using a Python script
to automate the process. The resulting best-fit
Table 1 - Representative Stress Results coefficients and the corresponding least-squares
Swell σt' σb' σequiv’ error is included in Table 2.
SR IV
(%) (psf) (psf) (psf)
8.99 32.5 219 6.59 0.43 908.8 (9)
8.58 32.6 219 6.54 0.43 909.9
18.87 268 1760 6.73 0.43 112.2 (10)
18.42 269 1760 6.72 0.43 112.3
29.81 9.03 62.4 6.91 0.43 31.84 (11)
31.12 9.02 62.7 6.94 0.43 31.93
All three functions provide a good correlation

3.2. Curve Fitting Method between effective stress and swell. The best-fit
The curve fitting method is used to solve for the coefficients and errors for each equation are
function coefficients that result in the least error included in Table 2. The log-linear function
between the measured swell in centrifuge tests and performs worst, but for practical purposes would
the predicted swell based on the fitted swell most likely be satisfactory for the small ranges in
function. The fitted function can then be used to stress typical of the active zone of a soil profile.
accurately calculate the equivalent stress for each Equation (11) provides a very accurate
centrifuge test. While the procedure is similar to representation of the swell-stress relation and was
that used in general curve fitting, adjustments were consistently found to be the best fit of the three
made since the curve is being fit to data over a functions for all data sets evaluated. The curve has
range of stresses rather than a point. been plotted in Figure 5 along with equivalent
This method requires data from at least three stresses determined using the representative
centrifuge tests. A function is then chosen with stress method and the actual function.
baseline coefficients. The average swell is
calculated for the range in stresses of each test Table 2 - Curve fitting results
using Equation (1) and the assumed function ε(σ’). Equation A B C Error
Calculating the average will likely require numerical (Ɛ 2)
integration unless a simple function is found that (9) -7.55 56.39 N/A 39.5
fits the data. (10) -107.5 53113 322.7 14.2
The calculated average swell is compared with (11) 128.8 0.714 -11.15 1.12
the measured swell for each test and total error
calculated using least squares method such that:
3.3. Accuracy of Methods
The proposed methods include inherent error due

(8) to their assumptions. Both methods assume a
linear distribution of effective stress across
centrifuge sample. The actual distribution has been
Coefficients are refined and the process is
shown to be polynomial (Plaisted 2009). The
repeated using the updated coefficients until the
representative stress method also includes errors
due to the assumption of a log-linear swell-stress

curve. The errors associated with these 4. Conclusions
assumptions will be discussed in the following
sections. Two analysis methods are presented for analyzing
centrifuge swell tests. The representative stress
3.3.1. Error due to assumed linear stress method was shown to provide a simple method to
distribution analyze single centrifuge tests. The results from
The difference between a linear stress distribution analysis can be used in the same manner as
and the true polynomial distribution is minor, with results from standard swell test results. This
the maximum error being approximately 1% at the method would be recommended for use in general
center of the sample. The effect of this error on the practice when small errors are acceptable.
analysis methods was evaluated by calculating the The second, more robust curve fitting method
swell for samples using both the linear and requires multiple centrifuge tests to be completed
polynomial distributions. This was accomplished before analysis but provides a more accurate
using a finite difference approach with samples location of the equivalent stress and relationship
being divided into 1000 layers. The swell-stress between swell and effective stress. This method
curve calculated in Section 3.2 was used to predict could also be used in practice but would require
the swell for each layer based on the two effective software or a complex spreadsheet to automate the
stress distributions (polynomial and linear). process.
It was found that the swell calculated using the
assumed linear distribution was slightly higher than Frydman, S. & Weisberg, E. (1991). Study of
the polynomial. This result was expected as the centrifuge modeling of swelling clay.
polynomial distribution had slightly higher stresses Proceedings of the International Conference
in the middle of the sample. The error was Centrifuge, (p. 113).
calculated at under 0.25% (16.43% predicted for Gadre, A. & Chandrasekaran, V. (1994). Swelling
linear, 16.40% predicted for polynomial) and was of black cotton soil using centrifuge modeling.
considered acceptably small for practical Journal of Geotechnical Engineering, Vol. 5, p.
applications given the simplification of analysis by 914-919.
assuming a linear stress distribution. Plaisted, M. D. (2009) Centrifuge testing of
expansive clay, Master’s Thesis, University of
3.3.2. Error due to assumed log-linear swell-swell Texas, Austin, Texas
curve Plaisted, M.D., and Zornberg, J.G. (2010). Testing
The representative stress method assumes that the of an expansive clay in a centrifuge
swell-stress relationship is log-linear across the permeameter.” Proceedings of the 7th
range of stresses seen in a single sample. The International Conference on Physical Modelling
errors associated with this assumption will depend in Geotechnics (ICPMG 2010), Zurich,
on the true shape of the swell-stress relationship. Switzerland, June, Vol. 2, 28 June-01 July, pp.
In order to evaluate the effects of this 1477-1481.
assumption the values of the equivalent stress Plaisted, M.D., and Zornberg, J.G. (2011). Testing
were calculated using the best fit function from of expansive clays in a centrifuge permeameter.
Section 3.2 compared with the values using the Proceedings of the XIV Pan-American
log-linear assumption. The location for the Conference on Soil Mechanics and
equivalent stress using the best-fit function and the Geotechnical Engineering, Toronto, Canada,
log-linear were comparable with errors ranging October 02-06 (CD-ROM).
from 4% to 8.5%. When the locations are plotted in SciPy (2013), Optimize.fmin_powell API, Retreived
Figure 5 the differences are very minor providing a February 1, 2013 from www.scipy.org
nearly identical swell-stress relationship. Zornberg, J. G., & McCartney, J. S. (2010).
Centrifuge permeameter for unsaturated soils I:
theoretical basis and experimental
developments. Journal of Geotechnical and
Geoenvironmental Engineering, ASCE, Vol. 136,
No. 8, August, pp. 1064-1076.
Figure 5 - Equivalent stress location

USING RQD TO ESTIMATE THE IN-SITU PERMEABILITY OF

DISCONTINUOUS SEDIMENTARY ROCK
ESTIMATION DE LA PERMEABILITE INSITU DES ROCHES SEDIMENTAIRES
DISCONTINUES UTILISANT LA METHODE RQD
1 2 3
Mohsin Usman QURESHI , Khalid AL-MAWALI , Kamran Muzaffar KHAN
1
Assistant Professor, Faculty of Engineering, Sohar University, Sohar, Sultanate of Oman
2
Student of Civil Engineering, Sohar University, Sohar, Sultanate of Oman
3
Associate Professor, University of Engineering & Technology Taxila, Taxila, Pakistan
ABSTRACT – In-situ permeability of rock mass is governed by its discontinuities and is important to
investigate it by a widely accepted parameter, “rock quality designation (RQD)”. In this regard, site
investigations conducted during construction of hydraulic structures in the complex lithological units of Oman
were reviewed with aim to summarize the data obtained by drilling of boreholes with recovered cores (RQD)
and Lugeon’s tests (in-situ permeability) in discontinuous sedimentary rocks. The plot of RQD and apparent
in-situ permeability suggested a consistent relationship, with respect to the each lithological unit and extent
of investigation as well. The developed relationship is recommended for the onsite determination of apparent
in-situ permeability Ka of discontinuous sedimentary rocks by recovering the RQD values only. However, the
RQD being less than the threshold value of 25% necessitates a detailed investigation to elucidate the in-situ
permeability.
1. Introduction through thin water films makes current transport

possible through fractures with very small
In practice the in-situ permeability of discontinuous apertures”. Hamm et al. (2007) studied the relation
rocks is of major concern in tunneling, dam of hydraulic conductivity for granite with fracture
engineering and reservoir water tightness issues. frequency, squared fracture aperture, and the
The overall success of such projects profoundly squared aperture of major fracture orientation
depends on the robust elucidation of in-situ obtained from acoustic televiewer and core log
permeability with reliability and cost effectiveness. data. They concluded that the fracture aperture had
The delineation of in-situ permeability of stronger relationship to hydraulic conductivity than
discontinuous rock is an expansive and time fracture frequency.
consuming process delineated by widely accepted In another study by Nappi et al. (2005) hydraulic
Lugeon’s water pressure test (Deere D. U., 1963) characteristics of sandstone were elucidated by
which is conducted during the progress of borehole outcropping measurements and Lugeon tests. The
drilling with core recovery. According to the convergent results from two methods were
borehole investigation by Angulo et al. (2011), the indicative of complementary nature of the two
relationship of hydraulic conductivity was statically approaches. However, those studies were mostly
more significant with electrical resistivity as applicable to the shallow surface of rock mass
compared to the fracture frequency. They logged which necessitates the development of a quick and
the electrical resistivity records and fracture data reliable method for the estimation of permeability in
along with the delineation of hydraulic conductivity the case of deep extent. The previous attempts to
by performing 25 low-pressure permeability tests relate the in-situ permeability with other parameters
(LPT) at different sections of two boreholes drilled included the above mentioned studies
to a depth of 100 and 120m in karst massif (Nappi et al., 2005; Hamm et al., 2007).
formation (limestone and calcite). The reviewed literature revealed that
In contrast, Magnusson and Duran (1984) discontinuities govern the in-situ permeability of
compared the hydraulic and resistivity rock mass, and the most simplest and standardized
measurements in a core log and concluded that the method to quantitatively describe them is rock
fractures and micro-fractures in crystalline rock quality designation (RQD). The present research
constituents are the main transport path for electric aims to develop a relationship between the in-situ
current and the ground water. They concluded that permeability and RQD of rock mass by utilizing the
“the hydraulic conductivity is governed by a few data of numerous boreholes drilled with recovered
discrete fractures and the variation between the cores and Lugeon’s water pressure tests performed
two methods is considered to be the effect of during the detailed design and construction of
restriction of water flow on few channels, while hydraulic structures in Oman.
electric surface conduction i.e. current transport
2. Methodology procedure for the Lugeon’s water pressure test is

described below.
The RQD was obtained by the visual observation of The test (Lugeon, 1933) is a constant head type
the recovered cores and the in-situ permeability test which is conducted in an isolated section of
was delineated by conducting the Lugeon’s water borehole. Water at constant pressure is injected in
pressure tests with the progress of drilling. to the rock mass through a slotted pipe bound by
pneumatic packers (Figure 1) and discharge is
measured. The maximum test pressure, Pmax which
should not exceed confinement stress (σ3)
expected at the center of respective section is
calculated as 1psi per unit depth of borehole
measured in feet. The tests were performed by
injecting water at five increment pressures
(Houlsby, 1976) as shown in Figure 2. To calculate
the Lugeon’s value following equation is used.
௢

1

Where, α is a dimensionless parameter whose

value is 1 in SI units and 12.42 for the English
system of units, q is discharge, Po is reference
pressure equivalent to 1MPa or 145Psi, L is length
of section (Figure 1) and P is the applied pressure
at any stage (Figure 2). According to
Fell et al. (2005) the value of Lugeon is equivalent
to 1.3 x 10-5 cm/s. So the results of permeability
discussed in this paper are in terms of velocity
units.
Figure 1. Schematic diagram of Lugeon’s test and

elucidation of RQD Figure 2. Path of water pressure during the
Lugeon’s test
As suggested by Goodman (1980), the hydraulic
conductivity in the rock mass depends on the The rock quality designation (RQD) index which
aperture, spacing and infilling of its discontinuities. is a convenient parameter to assess the quality of
So, this interrelation suggests that the accurate rock quantitatively was first introduced by
estimate of hydraulic conductivity of a rock mass Deere (1963). This concept of quantitative
can only be obtained using in-situ tests. The description of rock is defined as “the percentage
borehole logs obtained from the site investigations ratio of the sum of rock cores greater than 10cm in
for hydraulic structures in Oman included the the core run of 100cm” and can be economically
results of Lugeon’s water pressure tests and the elucidated during the drilling of boreholes with
RQD values for the respective section of the recovered cores. Later, Deere and Deere (1988)
boreholes. The schematic diagram of the testing signified its versatility in practice of tunneling and
methodology is shown in Figure 1. A brief foundation of hydraulic structures.
4. Data Analysis
-3
K (km/s)
K (10 cm/s) K-3
(km/s)
K (10 cm/s) The data of apparent in-situ permeability and rock
0.00 1.25 2.50 0.00 1.25 2.50 quality designation, RQD obtained from the
0 0 0 0
reviewed literature was summarized with respect to
the depth of investigation and each lithological unit
10 10 in a plot of apparent permeability and RQD is
20 20
shown in Figure 4. It is interesting to note that the
tests performed in a depth range 0-20m show a
20
Depth (m)
20
Depth (m)
high apparent permeability and low RQD but very

40 40 few in number. On contrary, the good quality rock
having high RQD value has very low permeability
30 30 and quite big in number. This shows that the rock
60 60 formed at surface is highly discontinuous with low
40
RQD and high apparent permeability. So, the
40
shallow investigation for the delineation of in-situ
80 80 permeability should be conducted precisely,
50 50 depending upon the site situation. However, more
test results showing the RQD value less than 25%
100 100 are required to get a robust conclusion.
0 25 50 75 100 0 25 50 75 100
RQD (%) RQD (%)
(a) Limestone (b) Sandstone

Apparent Permeability (cm/s)
0.015 Depth Range

0~20m 20~40m
0.012
? 40~60m 60~80m
80~100m 100~120m
Figure 3. Typical test results – depth profile of RQD ?
and permeability measured by Lugeon’s water 0.009 Ka=0.0074-0.002ln(RQD)
? 2
pressure tests R =0.5
0.006 ? For. RQD>25%
Various researchers related RQD with the ?
engineering properties of rock, such as, 0.003
Zhang and Einstein (2004) developed a model to
estimate the deformation modulus of rock masses 0.000
by using RQD. The most important classification 0 20 40 60 80 100
systems suggested by the International Society of
RQD (%)
Rock Mechanics also include the RQD which also
justifies relating it with the in-situ permeability of
discontinuous sedimentary rock mass. Figure 4. Depth wise plot of apparent permeability
against the RQD
3. Reviewed Data
In total, 367 Lugeon’s water pressure tests

performed in 33 boreholes of varying depth up to a
Apparent Permeability (cm/s)
0.015 Rock Type

maximum depth of 120m, in the discontinuous Sandstone
sedimentary formations were reviewed. The ? Conglomerate
0.012
investigated sedimentary rocks were sandstone, Claystone
conglomerate, claystone and limestone. The ? Limestone
0.009
number of Lugeon’s tests in the reviewed data ? Ka=0.0074-0.002ln(RQD)
included 23 in claystone, 43 in sandstone, 5 in ? 2
0.006 (R =0.5)
conglomerate and 296 in limestone formation
? For. RQD>25%
(Swissboring, 2006). The RQD values of respective
0.003
sections of borehole where Lugeon’s water
pressure test was performed were summarized
with respect to the lithology and depth. 0.000
The typical test results from a borehole drilled in 0 20 40 60 80 100
limestone formation up to a depth of 100m and the RQD (%)
other in sandstone formation to a depth of 50m are
shown in Figure 3. It is quite evident form Figure 3
that the delineated values of RQD and permeability
are consistent. The sections of borehole with low Figure 5. Lithologically plotted apparent
value of RQD observed in the recovered cores permeability against the RQD
showed a high permeability and vice versa.
The plot of apparent permeability and RQD for of the Pakistan Geotechnical Engineering Society
different lithological units encountered during the for the nomination to attend this conference
field investigations is shown in Figure 5. It is
evident from Figure 5 that the permeability in 7. References
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the rock. However, a lot more data is required to Angulo B., Morales T., Uriarte J. Antiguedad I.
reach a firm conclusion. In Figures 4 and 5, the (2011). Hydraulic conductivity characterization
trend of data reveals that there is a drastic increase of a karst recharge area using water injection
in permeability if the value of RQD drops below tests and electrical resistivity logging.
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authors proposed a correlation between apparent Deere D. U. (1963). Technical description of rock
permeability Ka and RQD by using the RQD data cores for engineering purposes. Rock
range greater than 25%. Mechanics and Engineering Geology, vol. 1(1),
pp. 16-22.
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For RQD>25% quality designation (RQD) index in practice.
Rock Classification Systems for Engineering
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parameters which may affect the in-situ American Society of Testing Materials,
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outcropping measurements and Lugeon tests.
(25%), this means that the rock is Engineering Geology, vol. 81, pp. 54-64.
extremely discontinuous. So in that case, it Snow D. T. (1979). Packer injection test data from
will be absolutely necessary to perform the sites on fractured rock. Prepared for the U.S.
permeability test to unveil the complexity of Department of Energy by the Lawrence
discontinuous sedimentary rock mass. Berkeley Laboratory, University of California
Berkeley.
6. Acknowledgement Swissboring (2006). Wadi Dayqah Dams and
Water Supply Scheme to Muscat and Quriyat -
The authors are indebted to the Sohar University Site Investigation Report.
for the conference support fund provided to present Zhang L., Einstein H. H. (2004). Using RQD to
this article. A profound thanks is also expressed to estimate the deformation modulus of rock
the Ministry of Regional Municipalities and Water masses. International Journal of Rock
Resources for providing the data for review. The Mechanics and Mining Sciences, vol. 41, pp.
authors also express their gratitude to the experts 337-341.
MATERIAL PROPERTIES AFFECTING THE INFLUENCE OF FINES

ON UNDRAINED SAND RESPONSE AT THE STEADY STATE
PROPRIÉTÉS DES MATÉRIAUX AFFECTANT L’INFLUENCE DES
PARTICULES FINES SUR LA RÉPONSE DE SABLES A L’ÉTAT STABLE
1
Sean REES
1
GDS Instruments, Hook, United Kingdom (formerly University of Canterbury, Christchurch, NZ)
ABSTRACT – Previous experimental studies have shown the addition of fines to a sandy soil significantly
influences the undrained response at the steady state of deformation when characterizing soil state using
traditional parameters. This has led to a number of modified parameters being proposed to account for this
influence, including the equivalent granular void ratio, e*. This paper subsequently demonstrates how
changes in the material properties of sandy soil affect the influence additional fines may have at steady
state, using e* as the characterization parameter. Specifically an increase in both the disparity ratio between
representative sand and fines particle sizes, and the angularity of sand particles, is shown to decrease the
participation of fines in the soil force-chain at steady state. This is achieved by presenting correlations
between these material properties and the fines influence factor, bSSL, determined from a triaxial test
program performed on sands sourced from Christchurch, NZ, and a review of the geotechnical literature.
1. Introduction 1.1. The equivalent granular void ratio
As far back as 1956, Terzaghi suggested that silt The equivalent granular void ratio characterizes the
particles added to sand could create a metastable state of sandy soils by attempting to quantify the
soil structure that may help explain static portion of fines that participate in the soil force-
liquefaction of submarine slopes (Yamamuro and chain during shear. The definition of e* is given in
Covert, 2001). Given that many soil deposits Equation 1, where b = fines influence factor.
susceptible to liquefaction contain some amount of
silt or fines, numerous laboratory studies (e.g. e + (1 − b) f C
Zlatović, 1994 ; Thevanayagam et al., 2002) have e* = (1)
since been conducted to investigate the influence 1 − (1 − b) f C
additional fines may have on the undrained
response of sand, often at the steady state of The fines influence factor provides the
deformation. When reviewing a number of these quantification parameter, and theoretically has
studies together, it has been shown that traditional values between b = 0 and b = 1. At the limits of this
parameters, including void ratio, e, and relative theoretical range b = 0 corresponds to no fines
density, Dr, poorly characterize the soil state due to participating in the force-chain (with e* → eg), while
shifting of the steady state line (SSL) as the fines b = 1 corresponds to all fines participating (and e*
content, fC, is varied (Cubrinovski and Ishihara, → e). When considering the response at steady
2000). Such observations led to modified state, the notation bSSL is used, as the value of b
parameters being proposed to characterize soil may vary with shear strain level (Rees, 2010). Also
state, including those that consider the soil to be a note the equivalent granular void ratio concept is
binary material consisting of sand and fines-sized only valid for non-plastic fines below the threshold
particles respectively. This initially resulted in fines content, fCth (Thevanayagam et al., 2003),
assumptions that fines may play no active role in which can be approximated by fCth ≈ 30%.
the soil force-chain during shear (Shen et al., Since the proposal of e*, a number of studies
1977), instead remaining inactive in the void space have attempted to relate b to various material
created by the sand particles. To account for this properties such as sand and fines uniformity
inactivity, the traditional void ratio definition was coefficients (Thevanayagam et al., 2003), particle
modified to ignore the fines as solid particles, often size disparity (Ni et al., 2004), and fines content
termed the intergranular void ratio, eg (Mitchell, (Rahman et al., 2008). This paper follows on from
1993). More recent studies have however these studies, demonstrating how specific material
suggested that fines do to some degree participate properties of sandy soils may affect the
in the soil force-chain during shear, leading to the participation of fines in the soil force-chain at the
equivalent granular void ratio, e*, being proposed steady state of deformation, by correlating bSSL
to characterize soil state (Thevanayagam et al., values with particle disparity and sand angularity.
2000).
2. Experimental program issue – here all SSLs cluster around that of the
clean sand, with the example e* = 0.75
The use of e* to characterize sandy soils at steady corresponding to dilative response for all sand-
state was assessed as part of an experimental fines mixtures.
program investigating the undrained behavior of
sands taken from Christchurch, NZ. This program 1
involved the undrained monotonic triaxial testing of e
max
0.9
Fitzgerald Bridge soil sourced from the central-city,
Void ratio, e
with the non-plastic fines content of this soil 0.8
systematically varied through mechanical sieving. Void ratio range
The particle size distributions (PSD) of the resulting 0.7 of clean FBM sand
sand-fines mixtures created from the Fitzgerald 0.6 e
min
Bridge soil samples (FBM) are presented in Figure
1, with percentage fines content by weight listed. 0.5
Equivalent granular void ratio, e*

1
100
e
max
0.9
FBM-30%
80 FBM-20% 0.8
FBM-10% Void ratio range
0.7 FBM-1% of clean FBM sand
FBM-1% FBM-10%
0.6 FBM-20% e
60
% Passing
FBM-30% min
0.5
0 50 100 150 200 250 300
Mean effective stress, p' (kPa)
40 Scanning electron
microscope (SEM)
photo of clean sand Figure 2. FBM steady state lines using both e and
particles e* to characterize the soil state.
20
3. Correlation of fines influence factor with

0 material properties of sandy soils
0.001 0.01 0.1 1 10
Particle size (mm)
Given the potential for characterizing the FBM soils
at steady state using e*, the literature was reviewed
Figure 1. FBM particle size distributions, with to source other data that reported steady state
scanning electron microscope photo of clean sand response of sands with systematically-varied fines
particles included. contents. Publications that reported such data are
listed in Table 1, along with the fines influence
The undrained monotonic triaxial compression factor, bSSL, back-calculated in this study for each
tests were performed using a motorised triaxial sandy soil. Note the Sydney and Mai Liao soils
system produced by GDS Instruments. All were reported to contain fines with plasticity index
specimens were prepared using a moist-tamping (PI) values of PI = 11 and PI < 8 respectively – all
method, with further details regarding specimen other soils were specified as containing non-plastic
preparation available in previous publications by fines.
the author (Rees, 2010). To observe the steady
state response of the four mixtures, each test Table 1. Back-calculated fines influence factors at
specimen was saturated, isotropically consolidated steady state for a range of sandy soils.
to a mean effective stress of 100 kPa, then sheared
Sandy soil bSSL Reference
under strain-control at a rate of 0.3 %/min. From
F55 Foundry 0.25 (Thevanayagam et al., 2002)
these tests the specimen void ratio and mean
Ottawa 0.47 (Murthy et al., 2007)
effective stress, p′, at steady state were used to
M31 Artificial 0.39 (Papadopoulou and Tika,
define the SSLs displayed in Figure 2. Note the
2008)
values of e* were back-calculated using a best-fit
Ardebil 0.69 (Naeini and Baziar, 2004)
value of bSSL = 0.49.
Toyoura 0.35 (Zlatović, 1994) (Verdugo
It can be observed in Figure 2 that the
and Ishihara, 1996)
traditional void ratio does not provide good soil
Hokksund 0.27 (Yang et al., 2006)
state characterization as the fines content is varied,
Sydney 0.12 (Rahman and Lo, 2007)
given initial states (e.g. when e = 0.75) that may
Mai Liao 0.35 (Huang et al., 2004) (Chen
suggest dilative response at lower fines contents
and Liao, 1999)
will correspond to contractive response at higher
fines contents (i.e. when fC = 20 % and fC = 30 %).
However using the equivalent granular void ratio to By obtaining this data set of nine sandy soils
characterize soil state somewhat resolves this and their corresponding bSSL values, the effect
material properties of sand and fines particles size disparity ratios, a trend expected if the mean
respectively have on fines participation in the soil sand void space increases.
force-chain at steady state was able to be 1
investigated. This specifically involved assessing Ardebil
the effect of (a) particle size disparity ratio, χ, and b = 0.815 - 0.036χ F55 Foundry
SSL
FBM
(b) sand particle angularity. 0.8 Hokksund
SSL
M31 Artificial
Mai Liao
Fines influence factor, b

3.1 Effect of particle size disparity ratio SR Ottawa
0.6 Sydney
The particle size disparity ratio used in this study is Toyoura
defined in Equation 2, where D10,sand = sand particle More rounded
SA - SR R particles
diameter of which 10 % are smaller than, and 0.4
d50,fines = fines particle diameter of which 50 % are R
A SR - SA
smaller than.
0.2 SA
R
More angular
D10, sand particles
χ= (2) SA
d 50, fines 0
0 5 10 15 20
Particle size disparity ratio, χ
As mentioned in Section 1.1, previous studies
(Ni et al., 2004) have suggested χ be correlated Figure 3. Effect of particle size disparity ratio and
with b – this is due to the parameter providing an sand particle angularity on the fines influence factor
approximation for quantifying the relationship at steady state.
between mean sand void space (using D10,sand) and
mean fines particle size (using d50,fines). Such a 3.3 Combined correlation with bSSL
relationship becomes useful when binary particle
packing is considered – here larger void space Sections 3.1 and 3.2 discussed a general trend
relative to fines particle size (i.e. larger values of χ) whereby increases in either the particle size
should result in a higher number of fines occupying disparity ratio, or sand particle angularity, will lead
void space, and potentially lower overall to a reduction in the participation of fines in the soil
participation of fines in the soil force-chain. As force-chain at steady state. Using the data set of
such, the reported PSDs of sandy soils listed in sandy soils obtained from triaxial tests performed
Table 1 were used to calculate values of χ, and are as part of this study and review of the literature,
compared with back-calculated bSSL values in simple correlations between χ, angularity, and bSSL
Figure 3. From this figure the expected general were made. Here it was proposed χ be modified to
trend of decreasing bSSL values (i.e. lower fines become an effective particle size disparity ratio, χe,
participation) with increasing χ is observed, through use of an angularity effect parameter, Af.
although the scatter suggests that χ alone does not The relationship between χ, χe, and Af is defined in
satisfactorily correlate with bSSL. Equation 3.
3.2 Effect of sand particle angularity χe = χ + Af (3)
To further determine which other material where Af ≈ 0 for R – SR particles

properties may affect the influence fines have at Af ≈ 1 – 3 for SR – SA particles
steady state, the effect of sand particle angularity Af ≈ 8 – 11 for SA – A particles
on the value of bSSL was investigated. This
essentially considered how changing particle By adjusting χ to account for the effect of
angularity alters the mean sand void space, as angularity, a basic linear correlation between χe
previous studies (Miura et al., 1997) have shown and bSSL was generated. This correlation is
more angular sand particles tend to produce a presented in Equation 4, with the recommendation
higher difference between maximum and minimum that it may only be valid when χe > 3. The
void ratios, (emax – emin). With this in mind, correlation is also plotted in Figure 3 for the case
qualitative classifications of angularity reported for when Af = 0 (i.e. χe = χ).
the sands presented in Table 1 were sourced and
listed beside each data point in Figure 3. Note that bSSL = 0.815 − 0.036 χ e (4)
R = round, SR = sub-round, SA = sub-angular, and
A = angular. It should be noted the correlation presented in
It is evident through inclusion of the Equation 4 relies on qualitative classification of
classifications in Figure 3 that sand particle sand particle angularity. Investigations have been
angularity does affect the influence of fines at made into correlating parameters such as particle
steady state. It can be seen that more angular regularity, ρ, with Af, but thus far have not produced
sands produce lower bSSL values for similar particle a sufficiently simple and robust correlation. Given
this fact, the results from these investigations are Naeini, S. A., Baziar, M. H. (2004). Effect of fines
considered to be outside the scope of this content on steady-state strength of mixed and
particular paper. layered samples of a sand. Soil Dynamics and
Earthquake Engineering, vol. 24, n°3, pp. 181-
187.
4. Conclusions Ni, Q., Tan, T. S., Dasari, G. R., Hight, D. W.
(2004). Contribution of fines to the compressive
When shearing a sandy soil at the undrained
strength of mixed soils. Géotechnique, vol. 54,
steady state of deformation, the influence fines
n°9, pp. 561-569.
have in the soil force-chain decreases as the
Papadopoulou, A., Tika, T. (2008). The effect of
particle size disparity ratio and/or sand particle
fines on critical state and liquefaction resistance
angularity increase. This trend was determined by
characteristics of non-plastic silty sands. Soils
using the equivalent granular void ratio, e*, to
and Foundations, vol. 48, n°9, pp. 713-725.
characterize soil state for a range of sandy soils
Rahman, M. M., Lo, S. C. R. (2007). Equivalent
reported in the geotechnical literature and triaxially
granular void ratio and state parameters for
tested as part of this study. Through analysis of
loose clean sand with small amount of fines.
this test data, the fines influence factor, bSSL, was
Proceedings, 10th Australia New Zealand
compared with the aforementioned material
Conference on Geomechanics, pp. 674-679.
properties, leading to a simple correlation that may
Rahman, M. M., Lo, S. R., Gnanendran, C. T.
be used to estimate bSSL. It was however noted this
(2008). On equivalent granular void ratio and
correlation currently relies on qualitative
steady state behaviour of loose sand with fines.
classification of sand particle angularity; as such,
Canadian Geotechnical Journal, vol. 45, n°10,
the robustness of the correlation could be improved
pp. 1439-1456.
by confirming a relationship between the angularity
Rees, S. D. (2010). Effects of fines on the
effect, Af, and other quantifiable soil parameters.
undrained behaviour of christchurch sandy
soils. PhD thesis – University of Canterbury,
5. Acknowledgements Christchurch, 300 pages.
Shen, C. K., Vrymoed, J. L., Uyeno, C. K. (1977).
The author would like to thank Professor Misko The effect of fines on liquefaction of sands.
Cubrinovski and Dr. Elisabeth Bowman for their Proceedings, 9th International Conference on
invaluable advice while supervising this research, Soil Mechanics and Foundation Engineering.
the University of Canterbury and the New Zealand pp. 381-385.
Earthquake Commission (EQC) for providing Thevanayagam, S., Fiorillo, M., Liang, J. (2000).
research funding, and Karl Snelling, managing Effect of non-plastic fines on undrained cyclic
director at GDS Instruments, for his support in strength of silty sands. Proceedings,
producing this paper. GeoDenver 2000: Soil Dynamics and
Liquefaction. pp. 77-91.
Thevanayagam, S., Shenthan, T., Kanagalingam,
6. References T. (2003). Role of intergranular contacts on
mechanisms causing liquefaction and slope
Chen, Y.C., Liao, T.S. (1999). Dynamic properties failures in silty sands. Report – University of
and state parameter of sand. Proceedings, Buffalo, Buffalo, 149 pages.
International Offshore and Polar Engineering Thevanayagam, S., Shenthan, T., Mohan, S.,
Conference 1. pp. 529-535. Liang, J. (2002). Undrained fragility of clean
Cubrinovski, M., Ishihara, K. (2000). Flow potential sands, silty sands, and sandy silts. Journal of
of sandy soils with different grain compositions. Geotechnical and Geoenvironmental
Soils and Foundations, vol. 40, n°4, pp. 103- Engineering, vol. 128, n°10, pp. 849-859.
119. Verdugo, R., Ishihara, K. (1996). The steady state
Huang, Y. T., Huang, A. B., Kuo, Y. C., Tsai, M. D. of sandy soils. Soils and Foundations, vol. 36,
(2004). A laboratory study on the undrained n°2, pp. 81-91.
strength of a silty sand from central western Yamamuro, J. A., Covert, K. M. (2001). Monotonic
taiwan. Soil Dynamics and Earthquake and cyclic liquefaction of very loose sands with
Engineering, vol. 24, n°9, pp. 733-743. high silt content. Journal of Geotechnical and
Mitchell, J. K. (1993). Fundamentals of soil Geoenvironmental Engineering, vol. 127, n°4,
behavior. John Wiley & Sons, New York. pp. 314-324.
Miura, K., Maeda, K., Furukawa, M., Toki, S. Yang, S. L., Sandven, R., Grande, L. (2006).
(1997). Physical characteristics of sands with Steady-state lines of sand-silt mixtures.
different primary properties. Soils and Canadian Geotechnical Journal, vol. 43, n°11,
Foundations, vol. 37, n°3, pp. 53-64. pp. 1213-1219.
Murthy, T. G., Loukidis, D., Carraro, J. A. H., Zlatović, S. (1994). Residual strength of silty soils.
Prezzi, M., Salgado, R. (2007). Undrained PhD thesis – University of Tokyo, Tokyo, 343
monotonic response of clean and silty sands. pages.
Géotechnique, vol. 57, n°3, pp. 273-288.
LIQUEFACTION POTENTIAL CRITERIA APPLIED TO HYDRAULIC

FILLS
CRITERES DE POTENTIELLE LIQUEFACTION APPLIQUES AUX REMBLAIS
HYDRAULIQUES
Dani TARRAGÓ1, Antonio GENS1, Eduardo ALONSO1
1
Department of Geotechnical engineering and Geo-science. Universitat Politècnica de
Catalunya, Barcelona, España
ABSTRACT - Although liquefaction criteria are mainly focused on granular soils, the evaluation of
liquefaction potential of fine-grained hydraulic fills and soft soils is a subject of evident practical significance.
In the paper, static liquefaction criteria, based mainly on CPTu tests, are applied to the hydraulic fills of an
area of the Barcelona Harbour for which quite comprehensive information is available. The soils in this area
provide a valuable benchmark as there is very strong evidence that they underwent static liquefaction in the
immediate past. In this way, the performance of the criteria can be more consistently assessed.
Subsequently, the same criteria are applied to the evaluation of the enhanced liquefaction resistance of the
same soils after being subjected to ground improvement by preloading. Comparison of in situ test results
before and after preloading provides additional insights on the effectiveness of this type of ground
improvement on liquefaction potential.
1. Introduction hydraulic fill that can induce a subsequent

problematic behaviour.
In the last years, important enlargement works have w (%) Jnat(Mg/m3) Jd (Mg/m3) e
been carried out in Barcelona Harbour, Spain. After 5
10 20 30 40 1.2 1.6 2 0.8 1.2 1.6 2 0.6 0.8 1 1.2 1.4
some events involving static liquefaction occurred,

an extensive research was undertaken in order to 0
examine these issues in a more systematic manner.

Elevation (m)
The application of static liquefaction criteria to -5
different tests results performed in the Harbour soft

soils during different construction stages provide -10
interesting results.
-15
Passing 75Pm Passing 2Pm wL (%) IP(%)

20 40 60 80 0 20 40 60 0 10 20 30 0 10 20 30 40
5
2. Barcelona Harbour reclaimed areas
0
Most reclaimed areas in Barcelona Harbour have
Elevation (m)
been filled with hydraulic fill due to its fast rate of -5

construction and overall efficiency of the process. In
S6a8
order to control the works, an extensive site -10 S6a9
S6a12
investigation with CPTu and laboratory tests have S3b13
been carried out in different places of recently -15

S7b13
reclaimed areas.
Tests were carried out in the ground just after Figure 1. Soil index properties, obtained from tests
soil deposition. To avoid excessive settlements carried out on Barcelona Harbour hydraulic fills
during service, soil improvement by preloading is samples.
frequently carried out. After soil improvement, new
site investigation is frequently performed to help to 3. Static liquefaction criteria
evaluate the enhanced ground behaviour.
In the Barcelona Harbour hydraulic fill is mainly The term of liquefaction is possibly one of the least
composed of soft soils from Llobregat delta well defined terms in geotechnical engineering.
sediments. The soils are fine grained materials Different terms of liquefaction behaviour have been
frequently in a sequence of silty-clay layers and thin defined depending on the soil type and on the type
sandy layers. of load that triggers it. This paper focuses on static
Soil index properties -w: water content, γnat and or flow soil liquefaction in which strain softening
γd: natural and dry densities, e: void ratio, grain size triggers soil liquefaction.
distribution, wL: liquid limit and IP: plasticity index-, of In recent years different methodologies to
the hydraulic fills used are presented in Figure 1. characterize liquefaction potential using test results
According to these results, open structure soils such as SPT, CPTu, DMT, VS, index soil properties
appear to be generated during deposition by or advanced geomechanical tests have been
proposed. However, there are fewer criteria like and clay-like soils respectively where Ic=2.4,
addressing static liquefaction characterization. In approximately between regions 4 and 5. Zones A1
this context, the criterion of Robertson (2010) and B correspond to dilatant soils and zones A2 and
provides an interesting tool to evaluate static C correspond to contractive soils. Therefore, the
liquefaction using CPTu test results. criterion defines soils inside zones A2 and C, as
The first CPTu criterion was put forward by potentially liquefiable by static liquefaction
Robertson and Wride (1998) using normalized cone depending on applied load and sensitivity.
parameters, Fr and Qt, normalized cone resistance According to Robertson (2010)
eq. (1). Afterwards, Robertson (2010) defined a recommendations for low risk projects, when the soil
resistance ratio (Qtn) applying a stress is in zone C, soil sensitivity should be determined
normalization. Resistance ratio (Qtn) and Friction using Leroueil et al. (1983) suggestion that
ratio (Fr) are shown in equations (2) and (3). The sensitivity be estimated using eq. (7), i.e. as a
Robertson (2010) criterion incorporates proposals function of undrained shear strength (cu) and
by Boulanger and Idriss (2006); Shuttle and Cunning remoulded undrained shear strength (cur) where cur
(2007) proposals concerning static liquefaction. is related with IL, liquidity index, eq.(8). Alternatively,
Robertson (2010) proposed that St can be obtained
ሺ‫ ܿݍ‬െ ߪ‫ Ͳݒ‬ሻ from the value of friction ratio in accordance with eq.
ܳ‫ ݐ‬ൌ (1)
ߪԢ‫Ͳݒ‬ (9).
ܵ‫ ݐ‬ൌ ܿ‫ ݑ‬൉ ሺ‫ ܮܫ‬െ ͲǤʹͳሻʹ (7)
ሺ‫ ݐݍ‬െ ߪ‫ ݒ‬ሻ ‫݊ ܽ݌‬
ܳ‫ ݊ݐ‬ൌ ቈ ቉൉൤ ൨ ‫ ݓ‬െ ‫ܲݓ‬
‫ܽ݌‬ ߪԢ‫ݒ‬ (2) ‫ ܮܫ‬ൌ (8)
‫ ܮݓ‬െ ‫ܲݓ‬
݂‫ݏ‬ ܵ‫ ݐ‬ൌ ͹ǤͳΤ‫ݎܨ‬ (9)
‫ ݎܨ‬ൌ ሺ‫ݍ‬ ൉ ͳͲͲ (3)
‫ ݐ‬െߪ‫ Ͳݒ‬ሻ
For high risk projects with clay-like soils, it is
where: recommended obtaining high quality samples to
‫ ݐݍ‬ൌ ‫ ܿݍ‬൅ ሺͳ െ ܽሻ ൉ ‫ʹݑ‬ (4) determine the soil response in the laboratory.
Nevertheless, no recommendation is given for soils
݊ ൌ ͲǤ͵ͺͳሺ‫ ܿܫ‬ሻ ൅ ͲǤͲͷሺߪԢ‫ ݒ‬Τ‫ ܽ݌‬ሻ െ ͲǤͳͷ (5) in zone A2 -sand-like soils, probably because of the
difficulty of obtaining high quality samples in those
‫ ܿܫ‬ൌ ሾሺ͵ǤͶ͹ െ ܳ‫ ݐ‬ሻʹ ൅ ሺͳǤʹʹ ൅ ‫ ݎܨ‬ሻʹ ሿͲǤͷ (6) materials.
where, qc: cone resistance, qt: corrected cone

resistance , σv: vertical stress, pa: atmospheric 4. Liquefaction potential of the initial soil
pressure (100kPa), a: shape cone factor, u2: cone
pore pressure, n: stress exponent that varies with The CPTu test results on the initial soil plotted
soil behaviour type, Ic: soil behaviour type index, σ’v: according to Robertson (2010) criterion are shown
vertical effective stress. in Figure 2.
The Boulanger and Idriss (2006) proposal
introduces a distinction between clay-like soil and 1000
sand-like soils. Basically, boundary is defined by

7
IP=7 and, additionally, the fine content (FC%, %Pass
75μm) has to be higher than 35% in a clay-like soil. A1
This distinction was adapted by Robertson 100 6
(2010) by using the index IC, eq. (6), from CPTu
results. Ranges of this index define different in the
Qtn
Qtn - Fr diagram that are numbered from 1 to 7. They 5

correspond to: sensitive fine grained soils (1), A2 B
10 4
organic soils and peats (2), clays to silty-clays (3),
silty clay to clayey-silts (4), sandy silts to silty sands 3
(5), silty sands to clean sands (6), gravely sand to C
1
sand (7). 2
In addition, based on a state parameter, Shuttle 1
0.1 1 10
and Cunning (2007) defined the line between zones
Fr
A2, C and zones A1, B that correspond to the
boundary between contractive and dilatant Figure 2. Application of Robertson (2010) criterion to
behaviour, a basic feature for the prediction of the CPTu data from Barcelona Harbour hydraulic
potential liquefaction. fills, initial state.
Finally, the Robertson (2010) criterion is It suggests that soil has static liquefaction
based in the Qtn – Fr diagram that differentiates 4 potential because the dots are mainly inside zones
zones, A1, A2, B and C. Between zones A1 and A2, C and A2 where static liquefaction is possible
and zones B and C are the boundary between sand- depending on soil sensitivity and loading. It should
be pointed out, however, that some test results plot zone B and from zone A2 to zone A1. Therefore, and
in other zones of the chart -A1 and B-, where static according to the criterion used before, most
soil liquefaction is not likely. hydraulic fill is no longer unstable form the point of
Soil dots located in zone C have low values of view of static liquefaction.
Qtn and Fr. Thus, these soils have clay-like soil The few points located in zone C and A2 are in
behaviour. In contrast, zone A2 has higher values of the range of 5.5m to 9m deep (Figure 5a). It can be
Q, but Ic is lower than 2.4, see Figure 3. As seen that he values at other depths that before
mentioned earlier, only a few profile points are in preloading were in zones C and A2, are now in
zones A1 and B, where dilatant soils are detected. zones A1 and B.
Therefore, it is advisable to perform some soil
improvement to avoid the possibility of static 1000
liquefaction.
7
4 4
C A2 A1 B A1
100 6
water level
0 0
Qtn
5
ground level
A2 B
elevation (m)
10 4
-4 -4
-8 -8
1 C 2
1
0.1 1 10
Fr
-12 -12
0 1 2 3 4
IC Figure 4. Application of Robertson (2010) criterion to
(a) (b) the CPTu data from Barcelona Harbour hydraulic
fills after soil improvement.
Figure 3. (a) Distribution of zones of Robertson 4
(2010) criterion with depth, (b) IC values from CPTu
tests on Barcelona Harbour hydraulic fills, initial
4
C A2 A1 B ground level
state. water level

0
0
elevation (m)
5. Liquefaction potential after soil improvement

-4
-4
As indicated above, the hydraulic fills are principally
composed by silty-clays, although some sandy soils
are also present. Soil preloading was adopted for -8
-8
soil improvement to increase the constrained
modulus and the undrained shear strength (cu).
The preloading applied in this hydraulic fill was
-12 -12
8m-high and lasted for six months. The selected
0 1 2 3 4
applied load during preloading was around 200% of IC
service load. In additions, vertical drains were (a) (b)
installed to reduce time of consolidation.
Once the preloading was completed. CPTu tests Figure 5. (a) Distribution of zones of Robertson
were carried out in locations very close to the (2010) criterion with depth, (b) IC values from CPTu
previous CPTu tests. However, boreholes were not tests on Barcelona Harbour hydraulic fills after soil
placed in the same position than before. Thus, lab improvement.
test results will not be of precisely the same soil,
although they are likely to be similar. Soil behaviour type values are more homogeneous
The results from CPTu test performed after than before, mean Ic values are around 2. These
ground improvement are shown in Figure 4. It is values belong to the sandy silts to silty sands region
apparent that the values of Qtn and Fr have (Figure 5b). Clearly, these values have been
increased. Therefore, soils seem to be more dilatant reduced after preloading (compare Figure 3b and
than contractive. Dots have moved from zone C to Figure 5b) principally because of Qtn increment.
Table 1. Soil index properties, DSS test results and computed soil sensitivity.
Therefore the soils identified as sensitive soils Such criterion results in many points located inside
(zone 1) have now moved to regions 3, 4 or 5 due zones C and A2, zones in which static liquefaction is
to preloading. The plot seems also to imply a deemed possible. After improvement by preloading,
change of the type of material which of course is test results move to zones A1 and B where static
not possible. liquefaction is unlikely
Finally, these results should be confirmed by Sensitivity results from soils index properties
more specific studies involving laboratory tests. For and cu reach high values of St, over 10. After soil
this reason, sensitivity evaluation has been carried improvement, St decreases significantly although it
out before and after soil improvement using IL from should be pointed out that this St determination is
soil index tests and cu values from DSS tests, see very sensitive to the values of water content and
Table 1. The first row corresponds to soil before soil index properties. However, high values of St before
improvement. St value is composed as 12.4. After preloading are also obtained from CPTu results.
nd rd
soil improvement (results in 2 and 3 rows), clay It can be concluded that soil preloading has
sensitivity has reduced drastically. been quite effective to reduce the static liquefaction
Alternatively, data from the CPTu tests were potential of the hydraulic fill. Although a more
also used to estimate St according to the proposal comprehensive laboratory testing programme on
of Robertson (2010) based on friction ratio see good quality samples would be advisable, CPTu
Figure 6. In some cases, St values are higher than tests have provided good and consistent
10 before soil improvement. After preloading, the information on soil liquefaction potential and its
soil profile has become quite homogeneous with St variation due to preloading.
values equal to 1 or below. From these data, it is
also evident that many values of St have been
significantly reduced. 7. Acknowledgment
Authors are grateful to the Autoridad Portuaria de

Barcelona for providing financial support for the
work reported.
8. References
Boulanger, R. W. and Idriss, I. M. (2006).

Liquefaction Susceptibility Criteria for Silts and
Clays. Journal of Geotechnical and
Geoenvironmental Engineering. ASCE. pp 1413-
1426.
Leroueil, S., Tavenas, F., and Le Bihan, J.-P.
(1983). Propriétés caractéristiques des argiles
de l’est du Canada. Canadian Geotechnical
Journal, 20(4): 681–705.
Robertson, P.K. and Wride, C.E., (1998).
Evaluating cyclic liquefaction potential using the
Figure 6. St values profile of hydraulic fill before and cone penetration test. Canadian Geotechnical
after soil improvement using CPTu data, equation Journal, Ottawa, 35(3): 442-459.
(9). Robertson, P. K. (2010). Evaluation of Flow
Liquefaction and Liquefied Strength Using the
Cone Penetration Test. Journal of Geotechnical
6. Final remarks and Geoenvironmental Engineering, ASCE,
136(6), pp. 842-853.
The hydraulic fills that have been examined in this Shuttle, D.A. and Cunning, J. (2007). Liquefaction
paper correspond mainly to clay-like soils. potential of silts from CPTu. Canadian Geotech.
As static liquefaction was observed to occur, it J. 44: 1-19.
can be concluded that the possibility of such
phenomenon can be properly characterized using
Robertson (2010) criterion based on CPTu results.
MULTIPLE CORRELATIONS BETWEEN YOUNG’S MODULUS AND

IDENTIFICATION’S PROPERTIES OF BUILDING MATERIALS
CORRELATIONS MULTIPLE ENTRE MODULE D’YOUNG ET PARAMETRES

D’IDENTIFICATION DES MATERIAUX DE COUCHES DE CHAUSSEE
Florette TSALA1, Emile MPECK2, Marcelin KANA3, Mamba MPELE4
1
Ingénieur, B.P. 349 Yaoundé,Cameroun
2
Ingénieur, B.P. 8390 Yaoundé, Cameroun
3
LABOGENIE, Yaoundé, Cameroun
4
Enseignant ENSP, Yaoundé-Cameroun
ABSTRACT – Theoretical formulas for rheological characteristics, and particularly the Young’s modulus of
grained sized material, notably lateritic soils and crushed gravels, are commonly simply correlated with CBR.
Due to the high cost, for some laboratory, of the tools used for its direct measurement (Triaxial apparatus
with repetitive charges), the present study has been carried out to find out a multiple correlation between the
Young modulus and the simple identification’s properties of those building materials. The results obtained
has been adjusted both with the Sikali et al and LCPC’s simples correlations which used CBR relation, and
the Billang et KANA’s formula for Young’s modulus, which is related to deflection’s characteristics. The data
used came from LABOGENIE’s archive. We first estimated the correlation’s matrices and retained pertinent
parameters related with the Young’s modulus. The correlations obtained seemed to be suitable, the
percentage of errors obtained are less than 10%.
Keywords: lateritic soil, multiples correlations, deflections, Young’s modulus
RESUME- La détermination des caractéristiques rhéologiques et principalement le module d’Young des

matériaux granulaires tels que les graves latéritiques (GL) et les graves concassées non traitées (GNT),
sont généralement faites sur la base d’une corrélation simple avec l’indice portant CBR. A cause de la
longue durée de cet essai et le coût élevé pour certains laboratoires des équipements permettant sa
détermination directe (Appareil triaxial à charges répétées), il a été lancé la présente étude. Elle propose
l’évaluation du module d’Young (E) de ces matériaux, à partir d’une corrélation multiple avec leurs résultats
d’essais d’identification simple de leur nature. Les résultats obtenus ont été ajustés avec ceux des
corrélations simples de Sikali et al, et du LCPC qui sont fonctions du CBR d’une part, et avec la formule du
module d’Young de Billang et Kana (2011), déterminée à partir des mesures de déflexion. Les corrélations
obtenues semblent être fiables au regard des erreurs relatives qui sont inférieures à 10%.
Mots clés : Latérites, corrélations multiples, déflexions, module d’Young.
1. Introduction huge quantity of records on the lateric soils and

crushed gravels, related to the roads construction
The mechanical behavior of different grained throughout Cameroon. 945 samples for lateric soils
sized building materials used for road constructions, and 175 samples for crushed gravels have been
under the miscellaneous actions, requested the selected, from 960 samples collected from theses
mastering of some of their basic characteristics, with records.
the assumption of their elastoplasticity behavior. It Through the present studies, it has been carried
concerned particularly, the Young’s modulus and the out an evaluation of the Young’s modulus of lateritic
poisson’s ratio. soil, by a multiple correlation, elaborated with simple
Rheological characteristics and particularly the identifications tests results.
Young’s modulus of grained sized materials, notably The identifications parameters chosen are those
lateric soils and crushed gravels, are commonly which were considered having most influence on the
determinate with a simple correlation using the Young’s modulus. They are for:
bearing capacity index CBR. This laboratory test is x Lateric soils : The maximum grains size (Dmax),
particularly long. Furthermore, the absence or the grains size for 50% of cumulated passing (D50),
less cohesion of those building materials, leaded to stone’s percentage (C), the gravel’s percentage (G),
unaffordable cost for some laboratories of the under sand’s percentage (S), the Limit of Liquidity (WL)
developed countries, the tools used for the direct and the plasticity index (IP) ;
measurement of the Young’s modulus such as x Crushed gravels: the Los Angeles ratio (LA),
Triaxial apparatus with repetitive charges. the Micro Deval ratio (MDE), the Dry Density (Ds),
The National Civil Engineering laboratory Wet density (Dh), the Equivalent of sand (ES) and
(LABOGENIE) in Cameroon, have at his disposal, a Water content (W).
2. Experimentation 3. Results
To evaluate the Young’s modulus (E), multiple The « best model » of correlation is chosen when
models (linear, exponential, logarithmic and power) two of the three criteria below are verified:
has been established. x The highest correlation factor R2 ;
Computation has been done with the software: x The smallest information’s loss in the explanation
Microsoft Excel, SAS version 9.0, SPSS version models by the AIC ;
17.0 and package R. x The smallest RMSE.
The Multiple linear model: is the basic model
which is usually used to establish the others models. By given these criteria, the models in the tables
The complete model is written: below have been adopted for different study’s areas:

(1) Table 1: Correlation with Sikali’s approach.
The complete multiple exponential model is AREA 1 R²

written: 0.22 -0.57 0.33 0.72 0.73
E = Dmax IP D50 WL S 0.99

(2) AREA 2 R²
This model goes to the shape: -0.39 1.08 0.44

E = IP WL Dmax 0.98

(3) Table 2: Correlation with LCPC’s approach.
The linear model is obtained by fixing Y = lnE and AREA 1 R²
0 = ln(a0).
-0.02IP 0.18D50 0.005WL 0.05G 0.07S 0.07A 0.99
The complete multiple logarithmic model is E=e e e e e e
written:
AREA 2 R²

(4) E=e 0.03Dmax
e -0.03IP
e 0.007WL
e 0.0G
e 0.03S
e 0.0A 0.99
The linear model is obtained by fixing: Xi = lnxi .

The complete multiple power model is written:: Table 3: Correlation with Billang and Kana’s
approach

(5) AREA R²
This model goes to the shape: E LA0,53858 u MDE0,52805 uJ s2,77080 uJd0,59404 uW0.01837 u ES1,16790 0.99

(6)
4. Interpretation
The linear model was obtained by fixing:
4.1 Comparison’s curves between real E (E0)
Y = ln(E) et Xi = lnxi .
and correlated E (E1)
The multiple linear regressions’ model is the
statistical tool elaborate for the study of
multidimensional piece of data. (Sikali's approach)
The quantitative variant Y, named variant to 150
explain (or variant to respond, exogenous variant,
dependent variant) is joined together with p
quantitative variants X1, …, XP named explanatory 100
variants (or control variant, endogen variant, E0(Mpa)
independent variant, regressive variant). 50 E1(Mpa)
Y=Xb+U (7) 0
§ 1 x11 xP1 · § Y1 · , § b0 ·, § u1 · 1 2 3 4 5 6 7 8 9 10
Où : ¨ ¸, ¨ ¸ ¨ ¸ U ¨ ¸
X ¨ ¸ Y ¨
¨ ¸ b ¨ ¸ ¸
¨1 x x ¸ Ÿ ¸ ¨b ¸ ü ¸
© 1N PN ¹ © N ¹ © P ¹ © N ¹ Figure 1: differential between E0 and E1, Area 1
The quantity R, called multiple correlation factor
between Y and all explanatory variables, is the usual
correlation ratio between y et his prediction y .
differencies are noted between the modulus E

obtained with those correlations, and the one
(LCPC's approch) calculated with LCPC’s, Sikali’s, and Billang &
400
Kana’s approaches. The respective errors are in
300 average less than 10%. Consequently these
correlations are acceptable.
200 E0(Mpa)
100 E1(Mpa) 4.2 Influence curves of each identification
0
parameter
1 2 3 4 5 6 7 8 9 10
By varying one of the identification’s parameters
and keeping the others fixed, we obtain the curves
Figure 2: differential between E0 and E1, Area 1 below:
3000 EG EA EWL
500,00
2500 EIP ED50 ES
400,00
300,00 2000
E
200,00 E* 1500
100,00 1000
0,00 500
1 2 3 4 5 6 7 8 9 10
0
0 20 40 60 80 100 120
Figure 3: differential between E0 and E1, Billang &
Kana’s Approach Figure 6: recapitulative influence curves of each
identification parameter on E (LCPC, AREA 1).
Sikali's approach 600 EG EA EWL

150 EIP EDMAX ES
500
100 400
E0(Mpa)
50 E1(Mpa) 300
200
0
1 2 3 4 5 6 7 8 9 10 100
0
Figure 4: differential between E0 and E1, Area 2 0 20 40 60 80 100 120
Figure 7: recapitulative influence curves of each
identification parameter on E (LCPC, AREA 2).
LCPC's Approach)
400 50
ELA EMDE EDS
300 EDH EW EES
40
200 E0(Mpa)
30
E1(Mpa)
100
20
0
1 2 3 4 5 6 7 8 9 10 10
0
Figure 5: differential between E0 and E1, Area 2 0 20 40 60 80 100 120
Figure 8: recapitulative influence curves of each

It come out of the analysis of these curves that:
identification parameter on E (Billang & Kana’s
the results obtain are suitable enough. Small
approach).
400 6. Perspectives
ED50 EWL EIP
This work can be ameliorated by: first, checking
300 that the obtained formulas are valid for other
building materials; next, adding others basics
200 parameters like Dry density or Optimum water
content at the optimum proctor; finally, computing
the weight of each identification parameters in the
100 obtained correlations.
0
0 20 40 60 80 100 120 7. References
Autret P, (1983). Etude de des latérites et des

Figure 9: recapitulative influence curves of each graveleux latéritiques. LCPC Paris, France, pp 42.
identification parameter on Sikali, AREA 1). Sikali F., Djalal Mir-Emarati. Utilisation des
latérites en techniques routière au Cameroun, pp
300 277-288.
EWL EIP EDMAX Rakotomalala R., (2012). Analyse de
250 corrélation. Etude des dépendances-variables
200 quantitatives, Université de Lyon 2, Paris, pp 89.
Dalalyan A., ( 2011). Statistiques numériques et
150 analyse des données, Ecole des Ponts et
Chaussées, Paris, France, pp 87.
100
LABOGENIE (1975 – 2002). Rapports de
50 Contrôle des travaux routiers.
Magnan J. -P. (1998) Corrélations entre les
0 propriétés des sols. LCPC Paris, France, 10 p.
0 20 40 60 80 100 120 Billang Nyogog S. A. ( 2011) Détermination des
caractéristiques rhéologiques des graves
Figure 10: recapitulative influence curves of each concassées non traitées en vue du
identification parameter on E (Sikali, AREA 2). dimensionnement des chaussées au Cameroun :
cas du module élastique. Mémoire de fin d’études
d’ingénieur de conception, Ecole Nationale
5. Conclusion Supérieure Polytechnique, Yaoundé, Cameroun,
102 p.
After an analyze of these curves, we can Zohou M. (1991) Etude de la corrélation entre le
conclude that : module d’élasticité et l’indice de portance CBR dans
x For lateric soils : le dimensionnement des superstructures routières :
- The Young’s modulus of lateritic soil decreases, Application aux graveleux latéritiques. Mémoire de
when their plasticity indexes increase. fin d’études d’ingénieur, Ecole polytechnique, Thiès,
- The Young’s modulus increases when grain size Sénégal, 99 p.
distribution and density increase ;
- More a soil is coarse higher its Young’s modulus
is;
- The plasticity index power is the same despite
the approach’s used for all areas (1 and 2);
- In LCPC’s approach, clay has a huge control on
Young’s modulus. More the amount of clay is in
soil more his Young’s modulus is high. 2%
variations of clay’s percentage in a soil, causes
48% of variation of E. On the other hand, in
Sikali’s approach, clay doesn’t have a significant
power.
x For crushed gravels :
- LA, W and ES have the same power on E. An
asymptote is also noted, that characterized limits
values for roads building.
- A small variations of Dh(0,7%) et Ds (0,1%)
cause a big variations of the Young’s modulus E
(3% for Dh and Ds).
INFLUENCES OF CALCIUM CARBONATE, SODIUM SILICATE AND

SALT ON CLAY STRUCTURE
INFLUENCES DU CARBONATE DE CALCIUM, DU SILICATE DE SODIUM ET
DU SEL SUR LA STRUCTURE D’UNE ARGILE
Fakhriyah USMAN1, Takenori HINO2, Rui JIA2, Takehito NEGAMI 3
1
Graduate School of Science and Engineering, Saga University, Saga, Japan
2
Institute of Lowland and Marine Research, Saga University, Saga, Japan
3
Department of Civil Engineering and Architecture, Saga University, Saga, Japan
ABSTRACT - This paper examines how the clay structure can be influenced by the interaction between
shellfish fossil and amorphous silica with salt leaching. In marine clay, salt leaching behavior triggers the
dissolution of both shellfish fossil and amorphous silica which influence the clay structure. In order to
understand this interaction, a model system was introduced. The kaolinite was used to represent clay, while
calcium carbonate (CaCO3) and sodium silicate (Na2SiO3) were used to represent shellfish fossil and
amorphous silica, respectively. Samples combining various kinds of conditions are prepared. The shear
strength was measured using vane shear test, while the microstructure of the samples was observed by
using mercury intrusion porosimetry (MIP) test. The test results show that the silica addition has an
important role for shear strength development because it reduces the macro pore in the sample, while
calcium and salt do not give significant influence.
1. Introduction silica such as diatom microfossil dissolves under

alkaline environment and keeps the original form
Many researchers in Japan have been aware of under acid environment (Shimoyama, 1996 and
the unique properties of Ariake marine clay, located Hino, 2006). In the marine clay, salt leaching
around Ariake sea coastal lowlands, northern behavior triggers the dissolution of both shellfish
Kyushu, compared with other marine clay. Various fossil and amorphous silica which influence the
kind of studies and investigations have been composition and spatial distribution of the void in
attempted to understand the high sensitivity and the clay. In other words, if the shellfish fossil and
high compressibility behavior of Ariake marine clay. amorphous silica dissolve due to the salt leaching
2+
Shellfish fossil, amorphous silica such as diatom behavior, the main components such as Ca and
microfossil and salt leaching phenomenon are the Si4+ positive ions will be eluted to the interstitial
keywords which may explain these unique water and create the cementation effect which
behaviors. As reported by Tanaka and Locat enable the clay to withstand the weight and support
(1999), the presence of diatom microfossil in the spatial distribution of the void (high void ratio
Japanese marine clay is one of the possible after salt leaching). Such clay structure might have
reasons of the unique properties of the clay. high sensitivity and high compressibility.
Because of their large hollow skeleton, diatom Hence, this paper attempts to investigate the
microfossil causes the increase of permeability connection between shellfish fossil, amorphous
coefficient and the coefficient of compressibility as silica and salt leaching phenomenon to the void
well as the increasing of the shear strength due to state of Ariake marine clay. However, since Ariake
rough and interlock surface of the diatom skeleton marine clay has some uncertainties, at first, a
to the marine clay (Shiwakoti et. al., 2002). model system was introduced for a better
Other research results of Ariake marine clay understanding. Using kaolinite as the clay material,
indicated that its unique properties are related to samples combining various kinds of conditions
the salt leaching phenomenon which is caused by were prepared; vane shear test and mercury
the ground water pumping in recent decades (Hino intrusion porosimetry test were conducted.
et al., 2010). However, no comprehensive
research, so far, been done to study the interaction
between shellfish fossil, amorphous silica and salt 2. Test Materials and Methods
leaching phenomenon influence to the clay
behavior. From the viewpoint of sedimentation 2.1. Test Materials
2+
environment, Ca which is the main component of
shellfish fossil keeps the original form under The model system introduced in this paper used
oversaturated and alkaline conditions and kaolinite (Al2Si2O5(OH)4) supplied by Siguma Aldrih
dissolves under the unsaturated and acid as the clay material. As for the additive material,
environment. On the other hand, the amorphous sodium silicate (Na2SiO3) and calcium carbonate
(CaCO3) were used to represent diatom microfossil 3. Test Results and Discussion
and shellfish fossil, respectively. The amount of
CaCO3 were varied as 50, 100, 150 and 200 g/L, 3.1. Vane Shear Test Results
while the contentration of Na2SiO3 was fixed at 50
g/L due to the results of the previous study (Usman The vane shear test results for non-salt and
et.al., 2012). Artificial seawater with 30‰ of salinity artificial seawater specimen are shown in Fig. 1 to
was also used in this study. 4. For both specimens, the figures show no
significant effect of CaCO3 concentration to the
2.2. Test Methods shear strength development during curing period
(Figs. 1 and 2). Contrary with CaCO3, the addition
There are 2 types of sample, non-salt sample of 50 g/L of Na2SiO3 has a significant effect to the
and artificial seawater sample. Each type was also shear strength development during curing time. For
divided into two conditions, sample with silica example, for kaolinite-CaCO3 200 g/L-non-salt
content and sample without silica content (Table 1). admixture, the addition of Na2SiO3 50 g/L increase
The admixture of 500 gr kaolinite with/without the shear strength of the sample from 0.55 kN/m2
Na2SiO3 with different ratio of CaCO3 were mixed (0 day) to 2.67 kN/m2 (7 day) and reach its highest
for 5 minutes at low speed (1430 rpm), hand mixing strength on 28 day test (3.89 kN/m2) (Fig. 2). While
for 2 minutes, and additional 5 minutes of low for kaolinite-CaCO3 150 g/L-artificial seawater
speed mixing (1430 rpm). Certain distilled water admixture, the silica addition from Na2SiO3 50 g/L
and artificial seawater were added to adjust the increase the shear strength of the sample from
initial water content to 65%. 1.12 kN/m2 to 2.43 kN/m2 and 4.21 kN/m2 for 0, 7,
and 28 day samples, respectively.
Table 1. Sample Composition
4.5
Shear Strength (kN/m )
Non Artificial 4
2
Sample Composition Salt Seawater

0 day
3.5 7 day
K + 50 g/L CaCO3 28day
3
K + 100 g/L CaCO3
K + 150 g/L CaCO3 2.5
K + 200 g/L CaCO3 2
K + 50 g/L CaCO3 + Na2SiO3 1.5
K + 100 g/L CaCO3 + Na2SiO3 1
K + 150 g/L CaCO3 + Na2SiO3 0.5
K + 200 g/L CaCO3 + Na2SiO3
0
50 100 150 200
The vane shear test device manufactured by CaCO3 (g/L)
Kyowa, Japan was used to measure the undrained
shear strength of each sample in accordance to Fig. 1 Undrained Shear strength of kaolinite –
ASTM D4648/D4648M-10. The specimen for vane CaCO3 – no salt admixture with various CaCO3
shear test was put in cylindrical mold with 10 cm in concentrations (0, 7, 28 day of curing time)
height and 5 cm in diameter, and then compacted
by tapping to eliminate the entrapped air.
The pore size distribution of the sample was 4.5
determined using mercury intrusion porosimetry
Shear Strength (kN/m )
4
2
(MIP). The test was performed based on ASTM 3.5

D4404-84 with the Autopore IV 9500 mercury
3
porosimeter from Micrometrics Instrument
Corporation. The sample was placed in a 2.5
penetrometer (5 mL in volume and 32.786 g of 2
0 day
weight) and filled with mercury as the non-wetting 1.5 7 day
liquid under 50 μmHg of vacuum pressure. The 1 28day
penetrometer with sample and mercury was then 0.5
placed in a high-pressure analysis port which will
0
continue to press the mercury into the specimen 50 100 150 200
with a pressure ranging from 0.10 to 60,000 psia CaCO3 (g/L)
and equilibrium time of 10 seconds. The result of
the MIP test was recorded. Both vane shear test
and MIP test were conducted for 0, 7 and 28 days Fig. 2 Undrained Shear strength of kaolinite –
of curing periods. The samples were cured at a CaCO3 – Na2SiO3 – no salt admixture with various
constant temperature room (about 20°C and CaCO3 concentration (0, 7, 28 day of curing time)
humidity of 30%).
4.5 micro-pore (<0.01 μm). Pore size distribution and

differential pore volume curves were shown in Fig.
Shear Strength (kN/m2)
4 0 day
3.5 7 day 5 for the artificial seawater specimen. It can be
28day seen that the addition of silica to the specimen has
3
a significant effect. Macro pores decrease in the
2.5
specimen with silica addition compare with the
2 specimen without silica addition. This may cause
1.5 by the flocculation effect of the presence salt
1 (artificial seawater) and the increase of Silica and
0.5 oxygen bonds which reduce the big pore to the
0
smaller one. Hence, the shear strength was
50 100 150 200 enhanced.
CaCO3 (g/L) The amount of pore volumes except for macro
pore at Fig. 5 does not significantly change. It
Fig. 3 Shear strength of kaolinite – CaCO3 – shows that the pore smaller than 10μm in diameter
artificial seawater admixture with various CaCO3 are not affected by the silica and salt (in artificial
concentrations (0, 7, 28 day of curing time) seawater) addition.
Cumulative pore volume (mL/g)

0.8
4.5 Kaolinite + CaCO3 150g/L (28d)
0.7 Kaolinite + CaCO3 150g/L + Na2SiO3 50g/L
Shear Strength (kN/m2)
4
0.6
3.5
3 0.5
2.5 0.4
0 day
2 7 day
0.3
1.5 28day 0.2
1 0.1
0.5 0 -3
0 10 10-2 10-1 100 101 102 103
50 100 150 200 Pore size diameter, D (μm)
CaCO3 (g/L) (a)
Log differential, dV/dLogD (mL/g)
0.8
Fig. 4 Shear strength of kaolinite – CaCO3 –
Na2SiO3 – artificial seawater admixture with various 0.7
CaCO3 concentrations (0, 7, 28 day of curing time) 0.6
0.5
The tendency of strength development of the
specimen with silica addition may cause by the 0.4
increase of number of bonds between Si – O, Si – 0.3
Si, and O – O in the network which leads to the 0.2
increase of sample viscosity following by the
0.1
increase of the sample’s shear strength (Han et al.,
2003). The interaction between calcium and silica 0 -3
10 10-2 10-1 100 101 102 103
with water within the specimen forming Ca – Si –
Pore size diameter, D (μm)
nH2O bonds which creates a cementation affect,
may also contribute to the strength development. (b)
On the viewpoint of salt concentration, the non-
salt and the artificial seawater sample shows no Fig. 5 Pore size distributions of the artificial
obvious difference of strength development. This seawater sample: (a) cumulative pore volume
result is similar with the result reported by distributions; (b) differential pore volume
Yukseken-Aksoy et al. (2008) that the kaolinitic distributions
clays are not significantly affected by the seawater
treatment compared to montmorillonitic clays.
4. Concluding Remarks
3.2. Mercury Intrusion Porosimetry Test
Based on the experimental results of this study,
The mercury intrusion is intended to determine it shows that :
the volume and volume distribution of pores in the 1. The concentration of calcium carbonate alone
specimen. Matsuo and Kamon (1976) has with the kaolinite did not show significant effect
classified the pore into macro pore (>10μm), meso on shear strength development for both non-
pore (1 – 10μm), micro pore (0.01 – 1 μm) and sub salt and artificial seawater samples.
2. On the other hand, the shear strength construction. International Symposium, Exhibition
increases significantly with the addition of 50 and Short Course on Geotechnics and
g/L sodium silicate. However, the shear Geosynthetics Engineering: Challenges and
strength for both non-salt and artificial Opportunities on Climate Change, Asian Institute
seawater samples with sodium silicate addition of Technology, International Geosynthetics
show different peak. The results also show no Society-Thailand, Bangkok, Thailand. pp.167-177.
significant effect of the salinity condition to the Matsuo, S., Kamon, M. (1976). Therminology of
shear strength development. clay structure. Journal of the Japanese
3. The microstructure of the specimen measured Geotechnical Society, Vol. 24, No. 1, pp. 59-64
by mercury intrusion porosimeter shows that (in Japanese)
the presence of silica eliminate the macro Miura, N., Akamine, T., and Shimoyama, S. (1996).
pores. Study on depositional environment of Ariake clay
formation and its sensitivity. Journal of
Geotechnical Engineering, Japan Society of Civil
5. References Engineering, No. 541, Vol. III-35 pp. 119-131. (in
Japanese with English summary)
ASTM D4648/D4648M-10. (2010). Standard test Shiwakoti, D. R., Tanaka, H., Tanaka, M., Locat, J.
method for laboratory miniature vane shear test (2002). Influences of diatom microfossils on
for saturated fine-grained clayey soil. Annual engineering properties of soils. Soil and
book of ASTM Standard, ASTM International, Foundation Vol. 42, No. 3, pp. 1-7.
West Conshohocken, PA. Tanaka, H., Locat, J. (1999). A microstructural
ASTM D4404-84. (2004). Standard test method for investigation of Osaka bay clay: the impact of
determination of pore volume and pore volume microfossils on its mechanical behavior. Can.
distribution of soil and rock by mercury intrusion Geotech.J., 36, pp. 493-508.
porosimetry. Annual book of ASTM Standard, Usman, F., Hino, T., Negami, T., Harianto, T., Jia,
ASTM International, West Conshohocken, PA. R. (2012). Basic study of the fundamental
Han, Y.S., Li, J. B., Wei, Q. M. and Wen, Z. H. (2003).
behavior of Ariake marine clay. 8th International
The effect of SiO2 addition on porous silica
Symposium on Lowland Technology, pp. 78-81.
composite strength. Materials Letters 57, pp. 3847-
3850. Yukselen-Aksoy, Y., Kaya, A., Oren, A. H. (2008).
Hino, T., Igaya, Y., Chai, J.-C., Jia, R., Shirai, Y. and Seawater effect on consistency limits and
Tanaka, J. (2010). Properties of soft clays in the compressibility characteristics of clays.
Saga plain with respect to embankment Engineering Geology 102, pp. 54-61.
GEOTECHNICAL PROPERTIES OF PATAGONIAN TEPHRA TUFF

PROPRIÉTÉS GÉOTECHNIQUES DU TEPHRA TUFF PATAGINIAN
Martyn WILLAN1
1
Geotechnical Engineer, Graduate Member BGA, Golder Associates UK Ltd, Bourne End, UK
ABSTRACT - Geotechnical investigations for a proposed mineral processing plant located in southern
Argentina found the presence of a highly variable Tephra Tuff (lithified pyroclastic fall) rock mass.
During percussion drilling work it was apparent that the structure of the tuff was being destroyed. In
addition, inspection of the completed holes showed them to be smooth with a smeared zone of material. The
author observed that the Tephra Tuff material exhibited similar engineering properties to, and behaved in a
similar way as, Chalk (Lord et al, 2002). Given that relatively little research has been carried out on Tephra
Tuffs, any work demonstrating similar engineering behaviour could enable the existing research on low
density/high porosity chalks to be used as a starting point for geotechnical design.
1. Introduction 4. Geotechnical Properties

4.1. Atterberg Limits
This paper briefly presents the results of
geotechnical investigations in Tephra Tuff for a Eight Samples of restructured Tephra Tuff
proposed mineral processing plant located in the (recovered from percussion drilling at different
Santa Cruz province of southern Argentina. depths) were tested for Atterberg limits and the
As a result of the author’s observations that the samples demonstrated: liquid limits of between
Tephra Tuff encountered exhibited similar 47.2 and 53.6% with an average of 50.2%; a plastic
engineering properties to, and behaved in a similar limit of between 33.9 and 37.9% with an average of
way as low density/high porosity chalk. This paper 36.5%; and a plasticity index of between 11.1 and
will also highlight the similarities between the 17.4% with an average of 13.7%.
Volcanic Tuff and the reported properties and A plot of the average values indicates an
behaviours of Chalk (Lord et al, 2002). intermediate to high plasticity silt.
2. Geological Setting 4.2. Rock Quality Designation (RQD)
The immediate study area (process plant) Seventy nine RQD ratings were assigned to
comprises of a large outcrop of Tephra Tuff which recovered sections of drilling core. In general the
was laid down the Paleogene-Neogene period. material had an RQD rating of between 60 and 100
This deposit comprises a consolidated to semi- % (approximately 67% of the data points fell into
consolidated, brown ash tuff. These are soft rocks this range). This would classify the material as a
with a weathering grade ranging from mild to fresh Fair to Very Good rock (Bieniwiski, 1974).
and in general are of low geotechnical quality. A plot of RQD against depth shows that there is
Colluvial deposits cover the hillsides and rock a lot of scatter in the data set and the data does not
outcrops are rare and localized. These colluvial suggest that increased overburden pressure results
deposits correspond mainly to soil originated from in an increase in the quality of the rock mass.
the mechanical erosion of the underlying rock.
3. Overview of Volcanic Tuff
Volcanic Tuff is the general term used to describe

rock which was formed by the lithification of
pyroclastic deposits ejected as the result of
volcanic explosions. Whilst much research has
been completed on other weak rocks, little
published research is available on Tephra Tuffs,
which are formed from lithified particles, which fall
from the atmosphere following a volcanic
explosion. They are often deposited cold and Figure 1, Relationship between RQD and Depth
therefore undergo little to no welding of the
individual particles and often form low density,
weak to moderately weak rock masses.
4.3. Unconfined Compressive Strength (UCS) The shear strength of the material ranged from
0.22 to 0.35 MPa with an average of 0.29 MPa,
Thirteen UCS tests were performed on sections of whilst the friction angle ranged from 24˚ to 45˚ with
recovered rock core from six boreholes. In general an average of 36˚.
the material had a UCS value of between 2.13 and Results indicate that the material has low shear
6.12 MPa (92% of the data points fell into this strength but a relatively high friction angle. It is
range) with only a single value (117.8 MPa) being hypothesised that this may be due to the closure of
outside this range). This would classify the material the pores during loading.
as very Weak to Weak. (Whyllie, 1999)
The data suggest a general negative 4.6. Porosity
relationship between the UCS strength of the Eleven samples were tested for porosity. Porosity
material and depth. This seems to compliment the values ranged typical from 34 to 48.8% with an
findings that increased depth does not necessarily average of 41% (approximately 73% of the data
lead to an increase in strength; in fact the results points fell into this range). The data indicates that
presented would suggest the opposite. However, the material has a very high porosity.
the author is cautious of these results and would A plot of porosity against depth suggests that
suggest that a larger data pool would show a the porosity is not significantly altered by the depth
relationship similar to Figure 1. of the sample and therefore that conditions at the
time of the deposition of the ash are responsible for
the porosity and not overburden pressures
generated by later disposition of volcanic deposits.
The author notes that porosity data is limited to
3 m in depth. Further testing is therefore required to
prove the relationship. In addition it was not
possible to directly compare UCS and porosity, (as
no one sample was tested for both properties),
however, given the relationships presented above
(i.e. that data does not suggest an increase in
RQD, UCS or bulk density with depth the author is
confident that further testing would show that an
Figure 2, Relationship between UCS and Depth increase in porosity would lead to a decrease in
strength.
4.4. Bulk Density
Fourteen rock samples from six boreholes were

tested for bulk density. Bulk density values ranged
3
from 13.5 to 18.2 kN/m with an average of 15.3
3
kN/m .
The data suggests that the strength appears to
increase as the density of the sample increases,
however there is significant scatter in the data and
as such it is recommended that further testing be
carried out.
Figure 4, Relationship between Porosity and Depth
4.7. Stress/Strain Behavior
Four samples of recovered rock core were tested

for stress/strain behaviour by conducting UCS
testing whilst strain gauges where attached to the
samples.
Plots of the stress against strain for each of the
four samples suggest that the material undergoes
significant deformation prior to failure. The stress
strain curves display the three components from
Figure 3, Relationship between UCS and Bulk the “typical” curves described by Farmer, (1983).
Density These components are; (1) an upward concave
curve which represents closure of the pores and
4.5. Peak Shear Strength compaction of the sample leading to irrecoverable
Five triaxial shear tests were carried out on deformation; (2) a steep straight curve extending to
recovered rock core. about 80% of the peak stress which represents
elastic deformation; and (3) a convex upward curve represent the in-situ rock mass, therefore the
which indicates macroscopic crack formation. elastic modulus of the rock mass was obtained
In addition, it is noted that reasonable intact using the Rocklab software and based on either
cores could be retrieved after the peak stress had site obtained or assumed values from the Rocklab
been exceeded. This behaviour is typical of weak database. A average static-elastic modulus value of
material (Attewell and Farmer, 1976). 0.655 GPa was obtained.
From analysis and interpretation of seismic
geophysics, values of between 0.045 and 0.65 GPa
were obtained for depths of between 1.0 and 3.0 m.
It is noted however that a layer of superficial soil
(2)
(3)
(highly weathered tuff) of up to 1.5 m was in place
over these areas and as such, the values recorded
below 1.5 m are thought to be more representative
(1)
of the rock mass.

It can be seen that laboratory testing of intact
Young’s static-elastic modulus can be up to 60
times higher than the value of the in-situ rock mass.
5. Suggested Geotechnical Parameters for

Patagonian Tephra Tuff
Figure 5, Stress/Strain Relationship for Patagonian
Tephra Tuff showing the three “typical” Table I, Suggested Geotechnical Parameters of
components described by Farmer, (1983) Tephra Tuff and Geotechnical Properties of Low
Density/high Porosity Chalk (From, Lord et al,
4.8. Poisson’s Ratio 2002)
Parameter Range of Values
Prior to stress/strain testing as discussed above
Tuff Chalk
the value of Poisson’s ratio was determined by
UCS (MPa) 2–6 0.7–40
measuring the wave velocities within the sample.
Yield Point
These showed a maximum value of 0.44 and a 3–5.5 1-7
(MPa)
minimum value of 0.39, with an average of 0.41 for
Bulk Density
intact rock. 14–18 -
(kN/m3)
The Poisson’s ratio was also determined from
Dry Density
the results of seismic geophysics. The in-situ rock - 13–15*
(kN/m3)
mass values where calculated to be generally
Porosity (%) 34–49 45–52*
between 0.3 and 0.4, with an average of 0.35 for
the rock mass. Peak Shear
Intact Strength 0.2-0.35 0.04–0.32
Properties (MPa)
4.9. Young’s Static-Elastic Modulus
Peak Friction
30-45 33-42
The value of Young’s static-elastic modulus for Angle (°)
intact rock was determined to be between 11 and Poisson’s
18 GPa. However, the modulus ratio (MR), Ratio for 0.3-0.4 0.18–0.27
Rock Mass
proposed by Deere et al, (1976) is an alternative
Static-Elastic
method to estimate the intact modulus from the
Modulus for 0.3–
UCS test value. This methodology gave an average 0.4-11*
Rock Mass 0.65
Young’s Modulus of approximately 1.5 GPa. In
(GPa)
addition Wyllie, (1999) provides an elastic modulus
Liquid Limit
for Tuff of approaching 3.45 GPa. Therefore, it can Destruct- 47–54 18-53
(%)
be seen that both the values recommended by ed
Plasticity
Deere and Wyllie are substantially lower than the Properties 11–17.5 4-30
Index (%)
values obtained from the stress/strain testing. Due
* Values for low density/high porosity chalks
to the differences in the measured and empirically observed by Matthews and Clayton, (1993)
derived values, laboratory measurements of the
velocity of compression and shear waves within the
samples were used to determine the dynamic 6. Comparison with Chalk
modulus of elasticity. The value of the static-elastic
modulus was then determined using the Chalk is a soft, white, porous sedimentary rock
relationship between static and dynamic modulus composed of calcite and has been extensively
proposed by Mockovciakova et al, (2003). The researched. CIRIA Report C574, Chapter 4 (Lord,
static modulus of intact rock was determined to be et al, 2002) presents the typical range of chalk
approximately 1.2 GPa. However these value properties. In addition it also states that “The
represent cores of intact rock and as such do not variability of the Chalk has important
consequences for its behaviour during civil and behaves in a similar way to low density chalks
engineering construction”. The document goes on as described by Mortimore etal, (1990) and
to state that “Clayton, (1990), Matthews et al, Matthews et al, (1993). Therefore, published
(1993) and Greenwood, (1993), have all shown literature on chalk potentially provides a good
that the most easily measured property of chalk starting point for understanding the engineering
which is indicative of its mass behaviour beneath properties of Patagonian Tephra Tuff.
foundations and in earthworks is the dry density (or Due to the complex load/settlement behavior of
porosity)”. Based on this, a classification of chalks chalk it is recommended that plate load settlement
by density was derived by Mortimore et al, (1990) and further density/porosity studies are carried out
and Matthews et al, (1993). Their findings are in on Tephra Tuffs to gain a better understanding of
accordance with the expected behaviour of the the behavior and further prove the similarities
Patagonia Tephra Tuff. between the materials.
The properties presented in Table I above show
similar properties for Tephra Tuff and low 8. Acknowledgments
density/high porosity chalks. In addition, the
relationship between mass properties and density The author would like to thank Goldcorp Inc,
described by Lord et al, (2002) are similar to the owners of the facility, for their cooperation.
relationship presented in Figure 3 which shows that The author would like to thank all his colleagues
the strength of the Tuff is dependent on the bulk at Golder Associates for their work in the site
density of rock. investigation phase and reporting. I would
The work of Matthews and Clayton, (1993), specifically like to thank Alistair Cadden without
determined the static-elastic modulus for chalk whom this paper could not have been written.
3
ranging in dry density from approximately 13 KN/m
to 21.5 KN/m3 (Porosity: 20% - 52%). The research 9. References
showed that for low density chalks the modulus of
elasticity approaches 1 GPa (Figure 6). However, Attewell P.B., Farmer, I.W. (1976). principles of
for chalks with a density between 13 KN/m3 and 16 engineering geology, Chapman and Hall, London.
KN/m3 (porosity: 43% - 52%) (The approximate Bieniwiski, Z.T., (1974). geomechanics
range of values reported in Table I) the value of classification of rock masses and its application in
rd
Young’s modulus was recorded between 0.4 GPa tunneling. In: proc. 3 Int. Cong. Rock Mech.
and 11 GPa. It can therefore be seen that not only Clayton C.R.I. (1990). the mechanical properties of
does porosity appear to be the dominant factoring the Chalk. In: CHALK. proc int symp,Brighton
controlling the mechanical behaviour of both chalk Polytechnic, 1989. Thomas Telford, London.
and Patagonian Tephra Tuff, but that the values of Deere, D.U., et al. (1967). design of surface and
Young’s moduli obtained, over a similar porosity near surface construction in rock, In: failure and
are similar in each case. The author therefore breakage of Rock, Proc. of the 8th U.S. symp. on
predicts that the mechanical behaviour of the rock mechanics, New York.
materials would also be very similar. Farmer I.W. (1983). engineering behavior of rocks,
2nd ed, Chapman and Hall, London.
Greenwood J.R. (1993). description, classification
and specification of chalk for earthworks, unpub
report, transport research laboratory, Crowthorne.
Range of Lord, J.A., et al. (2002). engineering in chalk, CIRIA
values publication C574, CIRIA, London.
between 13 Matthews, M.C., Clayton, C.R.I. (1993). influence
and 16 on intact porosity on the engineering properties of
kN/m3 (43- a weak rock. In: Geotechnical Engineering of hard
52% soils-soft rocks. AA Balkema, Rotterdam, Vol 1.
Porosity) Matthews, M.C., et al. (1993). assessing the mass
compressibility of Chalk from visual description.
In: Proc. Engg. Gr. of Geol. Soc. Conf. on the
Engg. Geol. of Weak Rocks, Leeds, 1990. AA
Balkema, Rotterdam, pp 351 -368.
Figure 6, Local-Strain intact Modulus as a Function
Mockovciakova, A., Pandula, B. (2003). study of
of Dry Density (Matthews and Clayton, 1993)
the relationship between the static and dynamic
moduli of rocks. Metalurgija vol.42, pp 37-39.
7. Conclusions
Mortimore, R.N., Fielding, P.M. (1990). the
relationship between texture, density and strength
Based on the determined geotechnical properties
of chalk. In: CHALK proc. Int. Chalk Symp.
of the Patagonian Tephra Tuff and the identified
Brighton Polytechnics, 1989, Thomas Telford,
similarities with the geotechnical behavior of low
London, pp 109-132.
density/high porosity chalks the author is confident nd
Whyllie, D.C. (1999). foundations on rock. 2 ed, E
that Patagonian Tephra Tuff is a similar material to and FN Spon, London
Earthquake and Geodynamics
PREDICTION OF THE SHEAR WAVE VELOCITY VS FROM CPT AND

DMT
PREVISION DE LA VITESSE DE ONDES DE CISAILLEMENT VS PAR CPT ET
DMT
1
Sara Amoroso
1
Studio Prof. Marchetti s.r.l., Rome, Italy
ABSTRACT - The paper examines the correlations to obtain rough estimates of the shear wave velocity VS
from non-seismic dilatometer tests (DMT) and cone penetration tests (CPT). While the direct measurement
of VS is obviously preferable, these correlations may turn out useful in various circumstances. The
experimental results at six international research sites suggest that the DMT predictions of VS from the
parameters ID (material index), KD (horizontal stress index), MDMT (constrained modulus) are more reliable
and consistent than the CPT predictions from qc (cone resistance), presumably because of the availability,
by DMT, of the stress history index KD.
1. Introduction relative to “uniform” one-meter soil intervals where

log ID, KD, ED (dilatometer modulus), MDMT, VS all
The paper examines the correlations to obtain differ less than 30 % from their average - used then
rough estimates of the shear wave velocity VS from to plot the data points – to insure a proper match of
non-seismic dilatometer tests (DMT) and cone the data. The DMT parameters have been
penetration tests (CPT). While the direct calculated with the usual DMT interpretation
measurement of VS is obviously preferable, these formulae (TC16, 2001).
correlations may turn out useful in various
circumstances. G0 M DMT 26.177 K D1.0066 , I D 0.6 (1)
As to DMT, using the seismic dilatometer
(SDMT) results obtained at 34 different sites,
Marchetti et al. (2008) constructed a diagram G0 M DMT 15.686 K D0.921,0.6 I D 1.8 (2)
(Figure 1) - and interpolated a correlation -
providing estimates of the small strain shear
modulus G0 (hence VS) from the parameters ID G0 M DMT 4.5613 K D0.7967 , I D ! 1.8 (3)
(material index), KD (horizontal stress index), MDMT
(constrained modulus) available from DMT.
As to CPT, using the seismic cone (SCPT) data
several Authors (Robertson, 2012; Hegazy &
Mayne, 1995; Simonini & Cola, 2000; Andrus et al.,
2007; Madiai & Simoni, 2004; Bouchovalas et al.,
1989; etc.) developed relationships (Equations 4 to
14) between the cone resistance qc and VS. These
CPT correlations are controlled by various
parameters: geological age (Pleistocene,
Holocene, etc.), cementation, soil type, effective
stress state.
2. VS from DMT
The experimental diagrams presented in Figure 1

and Equations (1) to (3) (Marchetti et al., 2008) Figure 1. Ratio G0 / MDMT vs. KD for various
have been constructed using same-depth G0, MDMT, soil types (Marchetti et al., 2008).
ID and KD, values determined by SDMT at 34
different sites, in a variety of soil types. The Considerations emerging from the diagram
majority of the sites are in Italy, others are in Spain, (Monaco et al., 2009):
Poland, Belgium and USA.
the ratio G0 / MDMT varies in a wide range ( 0.5
SDMT generates plentiful data points because
to 20 for all soils), hence it is far from being a
each sounding routinely provides profiles of G0 and
constant. Its value is strongly dependent on
MDMT. Of the over 2000 data points available, only
multiple information, e.g. (at least) soil type and
800 high quality data points have been considered,
stress history. Therefore it appears next to investigations have shown that cone tip resistance,
impossible to estimate the operative modulus cone sleeve friction, confining stress, depth, soil
MDMT by dividing G0 by a constant, as suggested type, and geologic age are factors influencing the
by various Authors; relationship. One limitation of the previous
if only mechanical DMT data are available, relationships is that most of them were developed
Figure 1 permits to obtain rough estimates of G0 for either sands or clays, with no intermediate
(and VS) by use of the three DMT parameters ID, range of soil types. Also, most of the previous
KD, MDMT; relationships are for relatively young deposits
Figure 1 highlights the dominant influence of KD (Andrus et al., 2007). In this respect, the paper
on the ratio G0 / MDMT. In case of non availability refers to different equations that estimate VS (or G0)
of KD, all the experimental data points would from qc (or qt, corrected cone tip resistance):
cluster on the vertical axis. In absence of KD – Robertson (2012) equation considers all
which reflects the stress history - the selection deposits ranging predominantly from Holocene
of the ratio G0 / MDMT would be hopelessly to Pleistocene age and mostly uncemented:
uncertain. Hence as many as three information,
i.e. ID, KD, MDMT (though only two independent),
are needed to formulate rough estimates of G0
VS >DVS qt V v / pa @0.5 (4)
and VS. On the other hand the poor direct
correlability MDMT to G0, in absence of additional DVS 100.55 I c 1.68
(5)
information, was expectable. MDMT to G0 are
inherently different parameters, since at small Where v is the total vertical stress, pa is the
strains the soil tendency to dilate or contract is atmospheric pressure, Ic is the soil behaviour
not active yet. Such tendency substantially type index;
affects the operative modulus MDMT, but does Hegazy and Mayne (1995) equation
not affect G0. Said in a different way, MDMT accommodates all types of soils:
includes some stress history information, G0
does not (Powell & Butcher 2004);
ª º
based on the latest consideration, the use of
VS >10.1logqt 11.4@1.67 « f s 100» (6)
¬ qt
NSPT or su alone as a substitute of VS (when not
measured) for the seismic classification of a
¼
site, as proposed e.g. by the Eurocode 8 and by
various national codes, does not appear to be Where fs is the sleeve friction;
founded on a firm basis. In fact, if VS is assumed
to be the primary parameter for the classification Simonini and Cola (2000) equation refers to
of the site, then the possible substitute of VS sand, silt and silty clay of Venice Lagoon:
must be reasonably correlated to VS. If three
parameters (ID, KD, MDMT) are barely sufficient to G0 49.2 q 0c .51 (7)
obtain rough estimates of VS, then the possibility
to estimate VS from only one parameter appears
Andrus et al. (2007) equations are valid for
remote.
Holocene soils (8) and for Pleistocene soils (9):
3. VS from CPT VS 2.27 qt0.412 I c0.989 D 0.033 ASF (8)
A concern when estimating VS from qc is that the

former is a small strain measurement, whereas the
VS 2.62 qt0.395 I c0.912 D 0.124 SF (9)
latter is a large strain measurement. The factors
controlling behavior at small and large strains may Where D is depth below the ground surface,
not be exactly the same (Andrus et al., 2007). ASF is an age scaling factor equal to 1.00, SF is
Schneider et al. (2004) demonstrated that VS in a scaling factor equal to 1.12;
sands is controlled by the number and area of
grain-to-grain contacts, which in turn depend on Madiai and Simoni (2004) equations are related
relative density, effective stress state, to Holocene cohesive soils (10), Holocene
rearrangement of particles with age and incoherent soils (11), Pleistocene cohesive soils
cementation. Penetration resistance in sands is (12), Pleistocene incoherent soils (13):
also controlled by relative density, effective stress
state and to a lesser degree by age and VS 140 qc0.30 f s0.13 (10)
cementation. Thus, although strong relationships
between VS and penetration resistance exist, some
variability should be expected due to age and VS 268 qc0.21 f s0.02 (11)
cementation.
Relationships between qc and VS (or G0) have
been investigated since the early 1980s. These
VS 182 qc0.33 f s0.02 (12)
calcareous sandy site and Margaret River is a

VS 172 qc0.35 f s0.05 (13) Pleistocene silty and clayey site.
Mosslanding California(USA)
Bouchovalas et al. (1989) equation concerns VS (m/s) VS (m/s)
only very soft clay: 0 200 400 600 0 200 400 600
0 0
G0 28.0 q1c.40 (14) V S estimated V S estimated

fromDMT fromDMT
(see original references for measurement units in
Depth (m)
5 5
Equations 4 to 14).
4. Comparisons of VS measured/estimated from

DMT and CPT
10 10
Figures 2, 3, 4, 5 compare the profiles of VS

measured - by seismic dilatometer test (SDMT) or
seismic cone penetration test (SCPT) - and VS
15 15
estimated from mechanical DMT and CPT data at SCPTU4 Robertson (2012) SCPTU2 Robertson (2012)
six research test sites (Treporti, Moss Landing, SCPTU4 Hegazy & Mayne (1995) SCPTU2 Hegazy & Mayne (1995)
SCPTU4 Andrus et al. (2007) SCPTU2 Andrus et al. (2007)
Perth CBD, East Perth, Shenton Park, Margaret SCPTU4 Madiai & Simoni (2004) SCPTU2 Madiai & Simoni (2004)
River). DMT1 Marchetti et al. (2008) DMT2 Marchetti et al. (2008)
SDMT1
The Treporti deposits are of Pleistocene age in SDMT2
the upper 10-15 m and of Holocene age at lower

Figure 3. Comparison of VS measured by SDMT or
depth and consist of alternate layers of silty sand,
SCPT and estimated from CPT and DMT data at
sandy silt, clayey silt and silty clay (Monaco et al.,
Moss Landing - California (USA).
2012).
EastPerth(Australia) ShentonPark(Australia)
Treporti VeniceLagoon(Italy)
VS (m/s) VS (m/s) VS (m/s) VS (m/s)
0 100 200 300 0 100 200 300 400 500
0 100 200 300 400 500 0 100 200 300 400 500
0 0
0 0
VS estimated
5 5 fromDMT
5 V S estimated
V S estimated fromDMT
10 10
V S estimated fromDMT
Depth (m)
Depth (m)
fromDMT
15 15 10
5
20 20
15
25 25
30 30
20
35 35
25 10
40 40 CPTU4 Robertson (2012)
CPTU14 Robertson (2012) CPTU15 Robertson (2012) CPT1 Bouckovalas et al. (1989)
CPTU14 Hegazy & Mayne (1995) CPTU15 Hegazy & Mayne (1995) CPT1 Andrus et al. (2007) CPTU4 Andrus et al. (2007)
CPTU14 Simonini & Cola (2000) CPTU15 Simonini & Cola (2000)
CPT1 Madiai & Simoni (2004) CPTU4 Madiai & Simoni (2004)
CPTU14 Andrus et al. (2007) CPTU15 Andrus et al. (2007)
CPTU14 Madiai & Simoni (2004) CPTU15 Madiai & Simoni (2004) DMT1 Marchetti et al. (2008) DMT4 Marchetti et al. (2008)
DMT14 Marchetti et al. (2008) DMT15 Marchetti et al. (2008)
SDMT1 SCPTU4
SCPTU14 SCPTU15
Figure 2. Comparison of VS measured by SCPT Figure 4. Comparison of VS measured by SDMT or

and estimated from CPT and DMT data at SCPT and estimated from CPT and DMT data at
Treporti-Venice Lagoon (Italy) - Before East Perth and Shenton Park (Western Australia).
construction.
The profiles at these sites indicate a reasonable
Moss Landing (California, USA) is a Holocene agreement between the measured VS and the VS
site composed of alluvial sand over stiff clay predicted by DMT data (the occasional
(Figure 3) (Robertson, 2009). discrepancies may be related to the presence of
Finally, Figure 4 and 5 illustrate the profiles cementation), while a certain dispersion is found
obtained in four sites in Western Australia between the VS predicted by CPT results and the
(Amoroso, 2011). Perth CBD is a Pleistocene measured VS. This is probably due to the fact that
sandy and clayey site, East Perth is a Holocene the evaluation of VS from DMT includes the
soft clayey site, Shenton Park is a Pleistocene horizontal stress index KD that is noticeably reactive
to stress history, prestraining/aging and structure
(TC16, 2001), scarcely felt by qc from CPT. As it Bouckovalas G., Kalteziotis N., Sabatakakis N.,
clearly appears from Figure 1, the ratio G0 / MDMT is Zervogiannis H. (1989). Shear wave velocity in
strongly dependent on (at least) both soil type and a very soft clay-measurements and correlations.
stress history. Hence using only one parameter to Proceedings, 12th International Conference Soil
estimate VS (or G0) may be the reason of the higher Mechanics Foundation Engineering (ICSMFE),
uncertainty of the CPT predictions. Rio de Janeiro, Brazil, pp. 191–194
Hegazy Y.A., Mayne, P.W. 1995. Statistical
MargaretRiver(Australia) PerthCBD(Australia) correlations between Vs and CPT data for
VS (m/s)
different soil types. Proceedings, Symposium on
VS (m/s)
0 100 200 300 400 500 0 200 400 600
Cone Penetration Testing (CPT’95), Swedish
0 0 Geotechnical Society Linköping, vol. 2, 173-178.
Madiai C., Simoni G. (2004). Shear wave velocity-
penetration resistance correlation for Holocene
5 5 and Pleistocene soils of an area in central Italy.
Proceedings, 2th International Conference on
Depth (m)
Geotechnical Site Characterization (ISC’2),

10 10 Porto, Portugal.
V S estimated
Marchetti S., Monaco P., Totani G., Marchetti D.
VS estimated
fromDMT fromDMT (2008). In Situ Tests by Seismic Dilatometer
15 15 (SDMT). ASCE GSP 180, pp. 292-311.
Monaco P., Marchetti S., Totani G. and Marchetti
D. (2009). Interrelationship between small strain
20 20
modulus G0 and operative modulus.
CPTU5 Robertson (2012) CPT1 Robertson (2012) Proceedings, International Conference on
CPTU5 Hegazy & Mayne (1995) CPT1 Hegazy & Mayne (1995)
CPTU5 Andrus et al. (2007) CPT1 Andrus et al. (2007)
Performance-Based Design in Earthquake
CPTU5 Madiai & Simoni (2004) CPT1 Madiai & Simoni (2004) Geotechnical Engineering (IS-Tokyo 2009),
DMT2 Marchetti et al. (2008) DMT1 Marchetti et al. (2008)
SDMT2 SCPT1
Tsukuba, Japan. pp. 1315-1323.
Monaco P., Amoroso S., Marchetti D., Totani G.,
Figure 5. Comparison of VS measured by SDMT or Simonini P., Cola S. (2012). Stress history of
SCPT and estimated from CPT and DMT data at Venice Lagoon sands from DMT and CPTU.
Margaret River and Perth CBD (Western Australia). Proceedings, 4th International Conference on
Geotechnical and Geophysical Site
Characterization (ISC'4), Porto de Galinhas,
5. Conclusions Pernambuco, Brazil, September.
Powell J.J.M., Butcher A.P. (2004). Small Strain
The comparisons predicted vs measured VS Stiffness Assessments from in Situ Tests.
profiles, at the six investigated research sites, Proceedings, 2th International Conference on
suggest that the DMT predictions of VS are more Geotechnical Site Characterization (ISC’2),
reliable and consistent than the CPT predictions, Porto, Portugal, vol. 2, 1717-1722.
presumably because of the availability, by DMT, of Robertson P.K. (2009). CPT-DMT Correlations.
the stress history index KD. Journal of Geotechnical and Geoenvironmental
Moreover, while the VS profiles predicted by Engineering, Vol. 135, No. 11, pp. 1762-1771.
DMT using Figure 1 are univocal (the correlations Robertson P.K. (2012). Interpretation of in-situ
only differ for soil type), the CPT predicted VS are tests-some insights. Mitchell Lecture.
subjected to the additional uncertainty of which one Proceedings, 4th International Conference on
of the numerous existing correlations is adopted, Geotechnical and Geophysical Site
the choice of the correlation depending on Characterization (ISC'4), Porto de Galinhas,
geological age, cementation, soil type, effective Pernambuco, Brazil, September.
stress state. Schneider J.A., McGillivray A.V., Mayne P.W.
(2004). Evaluation of SCPTU intra-correlations
at sand sites in the Lower Mississippi River
6. References valley, USA. Proceedings, 2th International
Conference on Geotechnical Site
Amoroso S. (2011). G– decay curves by seismic Characterization (ISC’2), Porto, Portugal, vol. 1,
dilatometer (SDMT). PhD Thesis, University of 1003-1010.
L’Aquila. Simonini P., Cola S. (2000). On the use of the
Andrus R.D., Mohanan N.P., Piratheepan P., Ellis piezocone to predict the maximum stiffness of
B.S., Holzer T.L. (2007). Predicting shear-wave Venetian soils. Journal of Geotechnical and
velocity from cone penetration resistance. Geoenvironmental Engineering, vol. 126, n°4,
Proceedings, 4th International Conference on pp. 378-382.
Earthquake Geotechnical Engineering, TC16 (2001). The DMT in Soil Investigations. A
Thessaloniki, Greece. Report by the ISSMGE Committee TC16, 41 pp.
MEASUREMENTS OF THE TRAVEL TIME OF SHEAR WAVES IN

GRANULAR SOILS USING BENDER ELEMENTS
MESURES DES TEMPS DE PARCOURS DES ONDES DE CISAILLEMENT
DANS LES SOLS GRANULAIRES UTILISANT DES BENDER ELEMENTS
Juan AYALA1, Felipe VILLALOBOS1, Alejandro ALEJO2
1
Laboratory of GeoMaterials, Catholic University of Concepción, Concepción, Chile
jlayala@ing.ucsc.cl, avillalobos@ucsc.cl
2
Department of Electrical Engineering, Catholic University of Concepción, Concepción, Chile
aalejo@ucsc.cl
ABSTRACT - The shear wave velocity is becoming a commonly used parameter by Geotechnical Engineers
for determining G0. This work describes the measurement of the travel time of shear waves in a soil sample,
where bender elements are set up in an oedometer apparatus. Experiments were carried out for different
relative densities, saturation states, types of transmitted waves, frequencies as well as wave amplitudes,
changes in the diameter of the soil sample and load state. Different criteria for evaluating the arrival times of
shear waves to the receiving element, both in time domain and in the frequency domain are studied. Besides
some repeatability statistics were assessed.
1. Introduction 3.1. Frequency and loading
Since 2011 it has become a compulsory norm to The travel times shown in Figure 1 belong to the
measure shear wave velocities Vs for medium to same sand sample of 44.8 mm diameter for loading
major building projects in Chile. This paper states from 25 to 400 kPa and for different
describes an especially constructed set up to frequencies from 1 to 15 kHz of the driver signal.
measure Vs in the laboratory. To achieve that travel
times are actually measured and analyzed for
different conditions. The soil maximum shear
modulus defined by elasticity as G0 = ρVs2, is
calculated by Vs and by the density of the soil
material ρ. Finally, travel time recognition is
assessed by different methods.
2. Apparatus description
An oedometer apparatus was adapted to put a

sand sample in a specially built box. Two cylindrical
boxes for soil samples of 44.8 and 70.2 mm inside
diameter, and a maximum travel length of 56 mm Figure 1 Travel times for relative density RD = 85%
from bender elements tip to tip were used. See
Ayala (2013) for details of the equipment set up. A delay time of 10 minutes was waited between
different loading states, so there’s no more axial
3. Differences of the time arrival deformation between loading states. Settlements
lesser than 0.01 mm were observed, which were
Measurements of travel times for single sine pulse included in the distance tip to tip.
(in most of the cases tested) for different Moreover, in Figure 1 it can be noted that for
frequencies, sample diameters, relative densities, frequencies below 9 kHz the arrival times does not
loading and moisture states are presented. follow a regular value. This is because there is not
Additionally, the differences between the arrival enough tip to tip distance between the sensors for
time for different shape pulses are showed. these low frequencies of the driver signal. For
The stacking algorithm of the oscilloscope instance, if a value of Vs = 250 m/s = 250 mm/ms is
allows the removal of significant noise by averaging assumed for the tip to tip distance of 55 mm, the
128 received signals, where the triggered pulses driver frequency f needed to have at least one
have 10 or 20 ms between them. wave length between the bender’s tip is f = 250
mm/ms/55 mm = 4.5 1/ms = 4.5 kHz. Yamashita et
al. (2009) recommend having at least 2 wave
lengths in the oedometer apparatus to avoid the
near field effect NFE. So for 2 wave lengths f = the shape of the received signal wave. It has an
2·4.5 kHz = 9 kHz, just when the data start to show important component probably from compression
regularity, not only in Figure 1, but also in the waves and cross talk that does not let to find clearly
following data acquired in this investigation. the arrival of the shear wave.
It is also worth observing in Figure 1 that when But also for frequencies above 9 kHz there are
the load is incremented the travel time decreases. clearly separated waves in the signal which
This is because of the decreasing in the distance facilitate the determination of the travel time with
tip to tip between the bender elements and de any frequency between 9 and 31 kHz. Abode 31
increasing of the relative density of the soil. kHz the decreased signal makes hard to find the
first arrival time.
3.2. Frequency and sample diameter
3.4. Frequency and shape wave
For both sample diameters irregular travel times
were found for frequencies below 9 kHz as shown When the received signals were analysed it was
in Figure 2. Figure 2 shows the travel times for 400 hard to define the first arrival wave for the lower
kPa and sand samples with DR = 85%. frequencies signals. When the data was collected,
the horizontal (time) scale of the oscilloscope
remain the same and the time differences for the
lower frequencies between the start and the first
maximum of the driver signal were too big for the
travel time of the distance tip to tip pre-defined.
As discussed before, to have at least one wave
length as distance between the bender elements,
4.5 kHz has to be used, but to avoid any trouble, at
least 2 wave length is recommended, i.e. 9 kHz.
Another aspect considered is the wave shape.
Figure 4 shows three wave shapes applied to the
Figure 2 Difference between diameters sand sample. It can be observed that for square
waves travel times are more regular than for the
The main problem for the travel times below 9 ramp and sine waves in the frequency range
kHz is due to the difficulty in choosing the first wave tested.
arrival. Waves are clearly shown in some
frequencies, but some of them disappear in other
frequencies. However, appearance and
disappearance of waves in the received signal
stops at 9 kHz and above.
Figure 2 shows clearly that for this two sample
diameters and for 9 to 15 kHz there is not important
difference in travel times. Furthermore, this
indicates the range of frequencies for which Vs and
G0 should be sought in the tests.
3.3. Frequency in saturated sample
Travel times showed before correspond to dry

samples. Dense saturated sand samples with DR = Figure 4 Different wave shapes
85% were tested under a pressure of 400 kPa.
For the driving pulses with sine and ramp
shape, the arrival times were impossible to
determine for frequencies between 1 and 3 kHz, for
that reason they are omitted. Nevertheless, for the
range from 5 to 15 kHz they tend to have the same
arrival time with variation smaller than 0.05 ms. On
the other hand the square shape pulse maintains
almost the same travel time with an average of
0.22 ms indifferent from the frequency of the driving
pulse.
Figure 3 Saturated sample at 400 kPa 3.5. Loading and saturation
Figure 3 shows that the travel time in the Figure 5 shows the travel time curves for different
saturated sample becomes also regular for a loading states (25, 50, 100, 200 and 400 kPa),
frequency of around 9 kHz. The main difference is frequencies (11 and 15 kHz) and saturation.
It can be seen in Figure 5 that for 25 kPa the

differences in travel time between the saturated
and dry samples are bigger than for larger loading
states. In addition, there is a small reduction in
travel time for the higher frequency as also shown
in Figure 1.
Figure 7 Different RD and loading pressures
3.7. Time and frequency domain techniques
Two curves of travel times in Figure 8 have been

determined using the Cross Correlation method.
With this method the time “tcc” correspond to the
maximum value obtained. The value of tcc
corresponds to the time shift as described by
Viggiani and Atkinson (1995).
The other two curves “td” correspond to the time
domain selection of the arrival shear wave.
Figure 5 Loading and saturation
It is clear to notice that the travel time decreases

when the loading increases. Comparing the same
test for dry and saturated samples (11 kHz, 200
kPa and 85% RD), the travel time is 0.227 and
0.222 ms, respectively. The travel time decrease in
0.005 ms because of saturation is not significant.
Figure 8 Time arrivals for two different methods
The main difference between these two

methods is that Cross Correlation analysis
assumes that the travel time is equal to the time
shift tcc. In the time domain analysis td corresponds
to the first wave which does not have necessarily
the larger amplitude.
4. Differences of the received signal voltage
Figure 6 Frequency and saturation for 400 kPa The influence of the driving signal amplitude is very
important because it is directly related to the driving
Figure 6 shows the relation between travel times bender element deformation. This affects the
for different frequencies and saturation. Again for received signal amplitude. A high attenuation of the
frequencies adobe 9 kHz the travel time is regular received signal will insinuate that the driving signal
and almost the same. For the saturated sample the should work with a higher voltage, within the limits
travel time is slightly higher than for dry samples. of the bender element and the electric system
used.
3.6. Loading and relative density RD
4.1. Frequency and driver signal voltage
Figure 7 shows a decrease in the travel time for the
increase of dry sand RD as well as with loading The following test results were obtained for loading
pressure (as already shown in Figure 5). This has pressures of 400 kPa and with dry samples. In
direct implications in Vs and G0, i.e. they increase Figure 9, the gain for different driven frequencies
with RD and loading pressure. and different driven amplitudes from 5 to 20 V peak
to peak (Vp-p), are shown. The gain is defined as
the ratio between the amplitude of the received
signal and the triggered signal. It can be observed the histogram for the the data that has a mean
in Figure 9 that for higher frequencies the gain is value of 0.243 ms.
larger than for small frequencies. This occurs
because for higher frequencies the received wave
amplitude is larger than for small frequencies.
Figure 11 51 Received signals
Figure 9 Gain Ratio for dry samples and 400 kPa
4.2. Relation between driver and received

signal voltages
The plot of voltages peak to peak Vp-p for the

received and triggered signal is shown in Figure 10.
It can be indicated that for higher driver signal
voltages, higher voltages of the received signal are
obtained. In addition, for higher frequencies and for
the same driver amplitude, higher voltages in the Figure 12 Histogram of the 51 travel times
received signal were obtained.
6. Conclusions
No big differences were found in the variations of

sample diameter or saturation state over the 9 kHz
driver signal. As was expected a lower travel time
were found for higher loading states and relative
densities. The square signal it is more
conservative. The input frequency it is more
significant than the driver voltage to have a bigger
gain at the same loading state. A linear relation
was found between driver and received signals
voltages. It was proven that the test is repeatable. It
is recommended to make an input frequency
mapping for each different sample, loading and
Figure 10 Received and driver Vp-p signals
saturation state, in order to have a better received
signal to analyze.
5. Repeatability statistics
7. References
To verify the repeatability of results, 51 and 50
tests were repeated using 56% RD dry samples in
Ayala, J.L. (2013). Measurements of shear wave
44.8 and 70.2 mm diameter, respectively. The plot
velocity in sand by means of bender
of the 51 received signals for the smaller diameter
elements. MSc thesis in preparation, UCSC
sample and 20 Vp-p trigger, 10 kHz are shown in
Viggiani, G., and Atkinson, J. H. (1995).
Figure 11. In dashed line is shown the triggered
Interpretation of bender elements tests.
signal.
Géotechnique 45, 149-154.
The software R of the Foundation for Statistical
Yamashita, S., Kawaguchi, T., Nakata, Y., Mikami,
Computing was used to evaluate the probability
T., Fujiwara, T., and Shibuya, S. (2009).
distribution of the travel times from Figure 11. For
Interpretation of international parallel test
this, the non-parametric test of Kolmogorov-
on the measurements of Gmax using
Smirnov was used. The result of the statistical test
bender elements. Soils and Foundations
was that there is not enough evidence to deny the
Vol. 49, 631-650.
hypothesis that the data of the 51 travel times has
a normal distribution. In the Figure 12 it is shown
SOIL-STRUCTURE INTERACTION MODELLING IN PERFORMANCE-

BASED SEISMIC JETTY DESIGN
MODELISATION DE L'INTERACTION SOL-STRUCTURE DANS LE
DIMENSIONNEMENT PARASISMIQUE DE LA JETEE
1
Floris BESSELING MSc
1
Witteveen+Bos Consulting Engineers, Deventer, The Netherlands
ABSTRACT – The importance of performance based design approaches and soil structure interaction in
seismic design of structures are internationally recognized. Soil-structure interaction is a key factor that has
to be considered in design, particularly for retaining structures and structures with deep foundations, such as
jetties. However, seismic design standards hardly provide any straight forward tools for engineers to account
for soil-structure interaction in design. This study therefore was initiated, aiming at the development of a
efficient performance-based design approach that can be applied by engineers. Currently available design
methods are investigated and the performance of simple and more advanced methods are assessed by
means of a comparative study. Based on a case study a promising and efficient decoupled approach is
proposed in which dynamic analysis of site and structure are decoupled. With this approach one is able to
efficiently assess the structure dynamic response, even for more complex structure geometries.
1. Introduction 2. Method
Traditionally the structural engineering community In this study a new decoupled nonlinear dynamic
has relied on pseudo-static response spectrum or analysis approach is proposed, which contains the
linear dynamic modal techniques for seismic following sequence of sub steps:
design. Accuracy assessment of these techniques 1) The near field pile-soil interaction of the pile
has been considering predominantly multi storey group represented by a Winkler p-y
buildings with a fixed base. The site foundation is verified and adapted by
characterization then is accounted for in the comparing pushover characteristics with
response spectrum selection rather than including results of 3D coupled soil-structure finite
soil-structure interaction in the analysis. Jetty element pushover analysis.
structures are, like many other port and offshore 2) The site response is calculated by means of
structures, at the interface of structural and traditional equivalent linear frequency
geotechnical engineering and the performance of domain analysis or linear and nonlinear
the traditional response spectrum method is less finite element analysis.
clear. Past post-earthquake surveys show typical 3) The site response is applied as an imposed
failure modes for these type of structure often motion on the support nodes of the
strongly dominated by differential and permanent selected Winkler p-y springs (step 1),
deformations in soils and effects of soil-structure connected to the piles in a structural finite
interaction. Especially for sites with strongly varying element model. With this structural model
stiffness of adjacent soil layers this kinematic soil the dynamic response of the structure is
structure interaction of piled foundations has to be calculated.
taken into consideration.
With this decoupled approach time consuming and
Modern seismic design guidelines for port costly 3D coupled nonlinear dynamic analysis would
structures (e.g. Pianc, 2001), propose more not necessarily be part of a jetty or wharf seismic
advanced nonlinear dynamic analysis when design. In this study they however have been
designing port structures in higher importance performed in order to develop and assess the
classes. Increasing development of finite element decoupled dynamic method.
software and nonlinear soil models enhance the Parallel nonlinear response spectrum analysis is
size and complexity of models that can be performed based on the in step 1 obtained
processed. However processing of 3D nonlinear pushover curves. In this study the N2-method
models of dynamic structure-pile-soil interaction of (Fajfar, 1999) is applied. By comparing results of
jetties and wharves still is very time consuming and nonlinear dynamic analysis to response spectrum
costly. analysis results the conservatism of the nonlinear
response spectrum results is estimated.
A jetty project in the Marmara Sea area (Turkey) is relevant for many seismically active near shore
was selected as a reference case. The case project marine delta areas.
covers the typical situation of a high seismicity area The proposed design method in relation to other
with a jetty founded on large diameter end bearing performance-based design methods is presented in
piles in soft (clay) alluvial soil deposits. This setting figure 1.
Figure 1 Performance-based seismic design methods (proposed method marked with grey shading)
3. Pushover analysis - HS input parameters are often better

correlated to field and lab experiments and
Pushover analysis was performed on both Winkler therefore a more reliable input parameter;
soil-structure jetty models and on single pile and - Pile-soil interaction depends on many
jetty (pile group) models in Plaxis 3D. By means of different pile, soil and soil layering
a comparative study 3D modeling of pile-soil characteristics, which are not all accounted
interaction in Plaxis 3D is used as a tool to verify for in simple p-y expressions;
and fit the traditional p-y Winkler representation of - Pile group efficiency can accurately and
soil-structure interaction for the specific situation. case-specifically be determined from Plaxis
The Hardening Soil constitutive model with and 3D analysis, where p-multipliers from codes
without small strain overlay model are applied. are generalized expressions.
Consistency of soil input parameters has been of
main importance in this comparative study since
Winkler and HS(small) soil characterization are
typically based on different input parameters . An
extensive set of correlations is used to determine
consistent parameters of the different clay layers.
Standard ISO p-y curves based on the available soil
data initially were applied. It was concluded that the
p-y expressions for soft clay (Matlock, 1970) have
an initial stiffness and ultimate capacity both being
conservative. Winkler p-y curves for soft to medium
stiff clays developed by Jeanjean (Jeanjean, 2009)
showed a very good fit of pile-soil interaction
obtained from Plaxis 3D. An almost perfect fit was
obtained on both global and local level as is shown
in figure 2 that presents the pile bending moments Figure 2 Pile bending moments at 2 load levels
over the pile height for two load levels.
Pushover analysis with advanced coupled soil-
Verifying p-y characterization of pile soil interaction structure models is a useful tool to provide accurate
by Plaxis 3D modeling has the following important input for nonlinear response spectrum analysis.
advantages: Within the proposed method it however forms an
- HS Advanced soil models conceptually better important model verification towards decoupled
represent real soil behavior; dynamic time history analysis on Winkler soil-
structure models as well.
4. Dynamic site response analysis
As was shown in figure 1, in this study two jetty

dynamic analysis approaches were studied and
compared: uncoupled and coupled dynamic
analysis. For both methods seismic site response
analysis is a mandatory step.
Input signals recorded near the case study site

were selected, filtered and scaled. In a series of
dynamic site response analyses the model was
calibrated with respect to element size, dynamic
time stepping the time integration scheme and
boundary effects. To this extend initially a linear
elastic soil constitutive model was applied, for which
the soil deposit response obtained from the
numerical 2D Plaxis model should converge to the
frequency domain solution for 1D shear wave
propagation problem through layered soil (e.g.
Shake). This verification covers mesh dependency Figure 3 Development of accelerations and the
and boundary disturbance effects. Adopting a corresponding strains
damped Newmark time integration scheme (α=0.1)
Remove the stress dependency of shallow layers
was found to be essential for a stable solution
and assign a constant stiffness to shallow layers
where it has a limited effect on the calculated
was found to be the most effective measure to
response amplitude, as was also concluded by
improve the dynamic HSsmall performance.
Sigaran Loria and Jaspers-Focks (Sigaran Loria
and Jaspers Focks, 2011). Boundary effects in 2D
and 3D models were assessed by means of 5. Decoupled and coupled dynamic time history
comparison with the 1D equivalent linear frequency analysis of site and structure
domain analysis solution.
In the uncoupled approach, the structure response
Frequency domain analysis of shear waves was calculated with Seismostruct, which is a
propagating vertically through equivalent linear structural finite element code specifically suitable
layered soil was coded in Matlab, based on the for structural seismic design. A structural pile-deck
theory of 1D wave propagation. Various model supported by Winkler springs was built. The
expressions for modulus reduction and damping complex Winkler spring characteristics were
curves as a function of cyclic shear strain available obtained by combining springs calibrated by static
in literature have been compared in this study. pushover analysis with parallel dashpots according
Finally Hardin and Drnevich (1972) have been to Gazetas & Dobry. (Gazetas and Dobry, (1984a,
selected for subsequent analyses. After calibration 1984b)
of the plane strain FE model for mesh dependency
and boundary disturbances the focus was shifted The dynamic response of the structure is calculated
towards the performance of the various soil for excitation of the Winkler support nodes. These
constitutive models available in Plaxis when applied input motions are derived from site response
in dynamics. Herein the focus was on the analysis by either nonlinear Plaxis 2D site response
performance of the Hardening Soil model with analysis or equivalent linear frequency domain
Small strain stiffness (HSsmall) and modulus analysis.
reduction curves and damping characteristics as a
function of cyclic shear strain. The HSsmall
includes hysteretic damping as a function of strain
amplitude and hence is suggested to be
conceptually very suitable to be applied in dynamic
problems (Brinkgreve et al, 2007). The present
study however revealed poor performance of the
HSsmall model in dynamics of shallow soft soil
layers. The reset of the HSsmall stiffness at
deviatoric principal strain rate reversals may for
these conditions result in unrealistic development of
accelerations as is shown in figure 3. High G0 / Gur Figure 4 3D Coupled soil structure Plaxis 3D model
ratios, as typically apply to soft to medium clays, are Coupled dynamic analysis of soil deposit and
found to further deteriorate the HSsmall structure was performed with a Plaxis 3D finite
performance for these type of soils. element model including both the soil deposit
overlying bedrock and the jetty structure cross- 7. Peak responses from dynamic analysis and
section (Figure 4). Both the modelling of soil and response spectrum analysis
structure in this model are verified extensively in
previous steps which is a key aspect when Peak seismic structure demands calculated from
processing such advanced models. nonlinear dynamic and nonlinear response
spectrum analysis were found to be similar. During
6. Comparison of results decoupled and preliminary design stages the use of simplified
coupled dynamic analysis dynamic response spectrum analysis is therefore
acceptable for jetty structures. Additional uncoupled
By comparison of the uncoupled and coupled dynamic analyses are however preferred in final
dynamic jetty response results, the accuracy of the design stages in order to identify the effects of
uncoupled approach was investigated. Figure 5 kinematic pile loading and to estimate permanent
shows the jetty drift development in time when displacements. The latter typically is required by
subjected to a Düzce (1999) East-West recorded modern performance based seismic codes.
signal.
8. Conclusions and recommendations
The study presented in this paper considers a

seismic design problem at the interface of structural
engineering and geotechnical engineering, for
which straight forward performance-based design
procedures are limited. Along modern performance-
based design principles a new design strategy was
defined for jetties, wharves and other type of piled
structures. The proposed approach supplies
engineers with an efficient design strategy better
fitting to modern code requirements compared to
traditional pseudo-static methods.
9. References
Figure 5 Development of jetty drift over time
Brinkgreve, R.B.J., Kappert, M.H., & Bonnier, P.G.
Structure responses calculated based on equivalent (2007). Hysteretic damping in a small strain
linear site analysis were found to deviate stiffness model. Proc.NUMOG X, pp 737-742.
significantly from responses calculated from Fajfar, P. (1999). Capacity spectrum method based
nonlinear uncoupled and coupled analysis. This is on inelastic demand spectra. Earthquake Eng. &
explained by development of extreme acceleration Structural Dynamics, 28, pp 979-993.
level variations of the soil along the pile, not being Gazetas, G. & Dobry, R. (1984a). Horizontal
limited by soil plasticity. response of piles in layered soils. Journal of
It was found that internal forces and displacement Geotechnical Engineering-Asce, 110, pp 20-40
responses obtained from nonlinear coupled and Gazetas, G. & Dobry, R. (1984b). Simple radiation
nonlinear uncoupled time history analysis are damping model for piles and footings. Journal of
generally reasonably similar. The complex Winkler Geotech. Eng. Mech.-Asce, 110, pp 937-956.
springs capture the near field pile-soil interaction. Hardin, B.O. & Drnevich, V.P. (1972). Shear
Minor deviations between results develop at the Modulus and damping in soils. Proc. ASCE:
onset of global soil failure at extreme acceleration Journal of the Soil mechanics and Foundations
levels. This can be explained by the piles that in the Division, 95(SM6), pp 1531-1537
coupled approach interact with the surrounding soil, Jeanjean, P. (2009) Re-assessment of p-y curves
where this full coupling is not accounted for when for soft clays from centrifuge testing and finite
an uncoupled calculation is performed. element modeling. Proc. Offshore Technology
From the results of the dynamic analyses it was Conference (20158)
concluded that the uncoupled type of dynamic Matlock, H. (1970). Correlations for design of
analysis as proposed in this study is a useful tool in laterally loaded piles in soft clay. Preprints
performance based seismic design, especially for Second Annual Offshore Technology
irregular pile-deck type of jetty and wharf structures. Conference, 1, pp 577-588
It is noted that when applying nonlinear time domain Pianc, (2001) Seismic Design Guidelines for Port
analysis, one should be aware of the high sensitivity Structures. 474 p.
to the selected seismic input signal (duration, Sigaran Loria, C. and Jaspers-Focks D.J. (2011).
intensity, frequency content, etc.). It is therefore HSS model adequacy in performance based
recommended to calculate dynamic responses for a seismic design approach, Filyos New Port,
higher number of input signals than typically Turkey. Proc15th European Conference on Soil
required by international seismic design codes. Mechanics and Geotechnical Eng., Istanbul,
Turkey, pp 1579-1586.
AN INNOVATIVE DEEP FOUNDATION MACRO-ELEMENT MODEL

FOR SEISMIC ANALYSIS OF PILE/COLUMN SUPPORTS
UN MACRO-ÉLÉMENT DE FONDATIONS PROFONDES INNOVANT POUR
L’ANALYSE SISMIQUE D’APPUIS PIEU/PILE
1 2 3 4
António A. CORREIA , Alain PECKER , Steven L. KRAMER , Rui PINHO
1
Eucentre/ROSE School, IUSS, Pavia, Italy
2
Geodynamique et Structure, Bagneux, France
3
Univ. of Washington, Seattle, USA
4
Univ. of Pavia, Pavia, Italy
ABSTRACT - An innovative pile-head macro-element model for single pile/column supports is briefly
introduced herein. It represents the lateral response of the entire soil-pile system to seismic actions,
condensing such information at the pile-head. It can thus be applied as a joint element located at the base of
the columns and subjected to the foundation input ground motion. A bounding surface plasticity formulation
is used to ensure a smooth transition from the initial elastic pile-head response up to failure conditions,
including nonlinear gap opening/closure behaviour. These characteristic stages of behaviour are described,
with particular emphasis to the failure surface and corresponding mechanism for laterally loaded
long/flexible piles and to the gapping model. A thorough validation of the macro-element is performed
through comparison with numerical and experimental results.
1. Introduction
Performance-based seismic design demands an

accurate determination of maximum and residual
displacements of structural systems, thus requiring
cost-effective tools for analyzing the nonlinear Gapping on the Soil wedge failure
back of the pile in front of the pile
seismic response of structures. Macro-element
approaches have proven to be adequate for
performance-based design of shallow foundations. Soil flow around
pile failure
This work aims at extending such method to the
seismic design of single-pile/column-supported
bridges, by proposing a model that adopts a pile-
head condensation of the response. Figure 1. Soil response for pile-head lateral
The soil deposit is assumed to be saturated and loading.
to have low permeability, thus responding with
undrained behavior to a seismic action. Two nation of plane-strain flow-around failure for
simplified geotechnical scenarios were considered laterally loaded piles in a soil obeying Tresca
in this study, in terms of undrained shear strength criterion (Randolph and Houlsby, 1984; Martin and
(Su) distribution along the depth of the soil deposit: Randolph, 2006). On the other hand, the failure
constant or linear. However, due to space limitati- load for a soil passive wedge at shallow depths is
ons, no results for the latter soil profile are presen- typically obtained using limit equilibrium considera-
ted herein. Additional information may be found on tions (Reese, 1958).
Correia (2011). Figure 1 represents the In this study, the failure surface and mechanism
characteris-tic soil response for a laterally loaded for laterally loaded piles were determined through
long pile, namely: a soil passive wedge failure at the kinematic approach of yield design theory,
shallow depths and flow-around failure at larger which is similar to a limit analysis approach but
depths, with a possible gap formation on the back does not require the definition of a constitutive
of the pile. behavior (Salençon, 1983). An upper bound appro-
ximation to the failure load surface may thus be
2. Pile-head macro-element formulation obtained, which encloses the domain K of the
potentially safe loading conditions, on the pile-head
2.1. Failure surface loading space (Q). The kinematic approach is
based on the Principle of Virtual Rate of Work and
Limit analysis, slip-line and limit equilibrium solu- requires the definition of kinematically admissible
tions have been traditionally applied to the determi- virtual velocity fields v̂ . These must satisfy certain
restrictions in order to lead to acceptable values of behavior during seismic action is shown in Figure
the S functions (which depend on the failure 3, where a full gap develops up to a depth zgap.
criterion of the material, the virtual strain field d̂ , 4000
and possible discontinuities on the virtual velocity
3000
field ' v̂ ).
It was assumed that the soil behavior complies 2000
with the Tresca criterion without tensile strength
Moment [kNm]
1000
and a corresponding soil-pile interface with shear
strength D Su. The corresponding restrictions 0
implied by the S functions on the virtual velocity Hu Mu
nH
Mu
nM
-1000
fields are that the soil flow is either incompressible J 1
H u, e 0 My My
or dilatant and that the soil-pile velocity discon- -2000
tinuities are either tangent or correspond to a D=1m
-3000
detachment. My =3200 kNm
While the abovementioned slip-line solutions for Su = 80 kPa
-4000
both wedge and flow-around mechanisms are -3000 -2000 -1000 0 1000 2000 3000
hardly compatible, continuous solutions can be Horizontal load [kN]
made compatible in order to define a global
mechanism (Klar and Randolph, 2008). A Figure 2. Failure surface and superellipse.
completely compatible and continuous virtual
velocity field was thus proposed in this study, Based on numerical results from advanced
based on a three-dimensional incompressible soil three-dimensional finite element models (Open-
flow with a possible tangent or detaching Sees, 2011), a nonlinear elastic constitutive model
discontinuity at the pile face only. was proposed for elastic-gap behavior. It assumes
A nonlinear constrained optimization procedure that the tangent flexibility matrix corresponds to an
was implemented for determining the failure average value between the initial elastic response
mechanism parameters and a parametric study and the one with a full gap around the pile:
was performed corresponding to the most common 1
ª1 1 º
« 2 K 2 K 2 s i d e s (z g a p ) »
soil-pile characteristics and considering soil inertia 1 1
Q el gap
q e g (1)
effects. A value of D = 2/3 and a soil density of ¬ ¼
1.8 ton/m3 were considered for all cases.
Dimensionless parameters were used, by The current gap depth, zgap, was assumed to
considering D, Su, and g as fundamental quantities. depend on the relative distance from the current
A dimensional analysis showed that the loading point and the failure surface, varying
independent variables are the normalized load between zero and the soil wedge depth
eccentricity, en, pile yield moment, Myn, and soil unit corresponding to the failure mechanism, zw.
weight, n. The failure mechanisms obtained for Furthermore, a coupling with the plasticity model
each soil profile were characterized by: i) constant pl
Su – only passive wedge with full gap on the back (through the cumulative plastic displacement, ucum )
of the pile; without active wedge and flow-around prevents this gap from closing completely upon
failures; ii) linear Su – equal passive and active unloading. The proposed evolution model for the
wedges; flow-around failure; no gap opening. current gap depth is given by:
Moreover, all optimization parameters were curve-
zw zw
fitted to predictive expressions, as a function of en z gap t 1 e K u cpul m / D
(2)
O
E
and Myn, namely the plastic hinge depth, zh, and the OE min
horizontal failure load, Hu. These expressions are
valid for a wide range of variation of the where both and are calibration parameters and
independent variables (but always assuming is a loading parameter (which decreases from
positive load eccentricity). infinity to one as the loading point approaches the
For a straightforward numerical implementation failure surface).
of the plasticity formulation, the complete pile-head
failure surface was approximated by a rounded
curve corresponding to a distorted superellipse, as
shown in Figure 2.
2.2. Initial elastic response and gapping model
Several authors have proposed approximate

expressions for the pile-head equivalent-linear
complex impedances, such as the ones proposed
by Gazetas (1991) and adopted in EC8 – Part 5 Figure 3. Evidence of gapping behavior during the
(2003). On the other hand, evidence of gapping 1989 Loma Prieta earthquake.
2.3. Bounding surface plasticity model adequately predicted using macro-element

parame-ters calibrated for the horizontal response.
The basic concept of bounding surface plasticity
models, and the one which differentiates them from
classical plasticity ones, is that irrecoverable
displacements develop before the yield/failure
surface is reached. In fact, these models assume
that the current plastic modulus, Hpl, corresponds
to a continuous function of the relative distance
between the current loading point and the
corresponding image point on the failure surface.
Such image point is defined from the loading point
through a continuous noninvertible mapping rule.
In this work, a bounding surface plasticity model
Figure 4. Bounding and loading surfaces during
was proposed which uses the previously
virgin loading.
determined failure surface simultaneously as a
fixed bounding surface (i.e., with no hardening) and
as a plastic potential surface, thus corresponding to
an associated plasticity model (nf ng). The elastic-
gap-plastic tangent flexibility matrix may then be
formally obtained by combining the additive
decomposition of the displacement rate, the plastic
flow rule, the hardening rule and the consistency
condition, resulting in:
ª º
1
« K H p l n
1 1
q e g p eg
g
n f »Q (3)
¬ ¼
A radial mapping was adopted that passes

through the origin, on the pile-head loading space,
and projects the current loading point from the
previous unloading/reloading surface to the
bounding surface. Figure 4 represents the radial
mapping for the virgin loading case.
Moreover, a simple and accurate cutting-plane
return mapping algorithm was envisaged, which
simultaneously iterates on the gapping and boun-
ding surface plasticity models, using both the
displacement and yield condition residues. Further Figure 5. Macro-element (ME) vs. advanced finite
details may be found in Correia (2011). element (OS) results for pile-head response.
Further validation was accomplished by compa-

3. Macro-element validation ring the response obtained in a real lateral load
free-head pile test, performed at UCLA (Stewart et
The macro-element model herein presented al., 2007), to the corresponding macro-element
requires 15 input parameters. However, most of results in terms of monotonic envelope and cyclic
them are either known geometric and mechanic response. Figure 6 represents such comparison.
input data, or available in published literature, or The macro-element response is very close to
given by the predictive relationships developed the experimental one both in terms of maximum
within this study. Hence, only four input parameters load attained for each cycle and of unload-
are required to be calibrated. This macro-element ding/reloading stiffness. The overall hysteretic
was fully implemented in the seismic analysis energy dissipation is also adequately reproduced.
software SeismoStruct (SeismoSoft, 2011).
A validation of the macro-element response was
performed by comparing it to advanced finite ele- 4. Conclusions
ment results in terms of elastic, nonlinear, monoto-
nic and cyclic responses, as depicted in Figure 5, An efficient pile-head macro-element approach was
evidencing an excellent agreement. Furthermore, proposed that accurately describes the main
the assumption of associated plasticity is proven to features of the seismic response of pile/column
be correct since the pile-head rotational behavior is supports. It is based on the three fundamental
characteristics of laterally loaded piles’ response:
initial elastic behavior, gap influence and failure
conditions. Two idealized geotechnical scenarios and time-consumption, which could hardly be
were envisaged, both assuming saturated soil and accomplished without using such macro-element
undrained behavior. approach.
150
100 5. References
Horizontal load [kN]
50
Exp. Correia A.A. (2011). A pile-head macro-element
0
ME approach to seismic design of monoshaft-
D = 0.61 m
-50
My = 510 kNm
supported bridges. PhD Thesis, ROSE School,
-100 Su = 187 kPa IUSS Pavia, Italy.
e = 4.06 m EC8 – Part 5 (2003). Eurocode 8: Design of
-150
-600 -400 -200 0 200 400 600 structures for earthquake resistance – Part 5:
Horizontal displacement [mm] Foundations, retaining structures and
150 geotechnical aspects, prEN 1998-5:2003.
100 European Committee for Standardization
Horizontal load [kN]
(CEN), Belgium.
50
Gazetas G. (1991). Foundation vibrations.
Exp.
0
ME
Foundation Engineering Handbook, 2nd ed.,
-50 Fang, H.Y. (ed.), Van Nostrand Reinhold, New
York, USA, pp. 553-593.
-100
Klar A., Randolph M.F. (2008). Upper bound and
-150 load-displacement solutions for laterally loaded
-600 -400 -200 0 200 400 600
piles in clays based on energy minimisation.
Horizontal displacement [mm]
Géotechnique, vol. 58, nº10, pp. 815-820.
Martin C.M., Randolph M.F. (2006). Upper-bound
Figure 6. Macro-element vs. experimental results. analysis of lateral pile capacity in cohesive soil.
Géotechnique, vol. 56, nº2, pp. 141-145.
The kinematic approach of yield design theory OpenSees (2011). Open System for Earthquake
was applied to determine an upper-bound for the Engineering Simulation. Berkeley, USA.
pile-head ultimate loading surface and its corres- Randolph M.F., Houlsby G.T. (1984). The limiting
ponding virtual failure mechanism. A continuous pressure on a circular pile loaded laterally in
mechanism was devised and a parametric study cohesive soil. Géotechnique, vol. 34, nº4, pp.
covering the most common realistic geometries 613-623.
and both soil and loading conditions was Reese L.C. (1958). Discussion of “Soil modulus for
performed. laterally loaded piles,” by McClelland and Focht.
On the other hand, a nonlinear elastic model Transactions of the American Society of Civil
was proposed that accounts for the transition from Engineers, vol. 123, pp. 1071-1074.
the initial response (with no gap), to a gap opening Salençon J. (1983). Calcul à la Rupture et Analyse
on the back of the pile (for monotonic response), or Limite. Presses de l’École Nationale des Ponts
to a gap on both sides of the pile (when cyclic et Chaussées, Paris, France.
behavior is considered). Subsequently, such SeismoSoft (2011). SeismoStruct 5.2.1: A
gapping behavior was associated to the evolution computer program for static and dynamic
of inelastic displacements of the pile-soil system. nonlinear analysis of framed structures,
Finally, a bounding surface plasticity model available from http://www.seismosoft.com.
ensures a smooth evolution from initial nonlinear Pavia, Italy.
elastic behavior up to full plastic flow at failure. Stewart J.P., Taciroglu E., Wallace J.W., Ahlberg
The resulting macro-element parameters are E.R., Lemnitzer A., Rha C., Khalili-Tehrani P.,
largely based on fundamental response character- Keowen S., Nigbor R.L., Salamanca A. (2007).
ristics which are adequately approximated existing Full scale cyclic large deflection testing of
expressions. It turns out that, from the initial set of foundation support systems for highway
15 macro-element parameters, only four of them bridges. Part I: Drilled shaft foundations. Report
need to be calibrated. Successful calibration and UCLA SGEL-01, Structural and Geotechical
validation of the macro-element response was Engineering Laboratory, University of California,
achieved for a set of different existing results, both Los Angeles, USA.
numerical and experimental, which demonstrates
that the macro-element is a valuable tool for accu-
rate and efficient analysis of pile/column supports.
As further discussed in Correia (2011), this
macro-element was successfully applied to the
study of the seismic response of bridges on
pile/column supports. Thousands of nonlinear
dynamic analyses were performed with stable
response and relatively small computational effort
COMPARISON OF DYNAMICALLY INDUCED EXPERIMENTAL

SLOPE DEFORMATIONS WITH NEWMARK SLIDING BLOCK
THEORY
COMPARAISON DES DÉFORMATIONS EXPÉRIMENTALES DE PENTES
INDUITES DYNAMIQUEMENT AVEC LA THÉORIE DES BLOCS DE NEWMARK
H. Farahi Jahromi1, M. Joshaghani2, M. Sehi zadeh2 & S. Yousefi2
1
PhD Candidate of Geotechnical Engineering, Sharif University of Technology, Tehran, Iran
2
MSc Degree of Geotechnical Engineering, Sharif University of Technology, Tehran, Iran
ABSTRACT - Accurate prediction of slope deformations due to earthquake occurrence, can lead to assure
the safety and life survival of people and engineering structures built on. Newmark sliding block theory as an
engineering method to evaluate slopes displacements is widely used by scientists and practitioners. In order
to examine its applicability to real slopes subjected to earthquake, calculated results are compared with that
of a physical model test. Considering Tehran's topographical, geological and geotechnical conditions, the
slope was submitted to a series of harmonic dynamic excitations. Babolsar dry sand (Standard Iranian
coastal sand) was poured in a rigid box to form a 30 degree slope. Then slope behavior and resulted PGDs
were monitored by sensors and video capturing the phenomenon. Observed deformations and critical
acceleration were compared to predicted ones, obtained from various approaches of Newmark sliding block
theory, and the consistency between the theoretical and experimental results was judged.
1. Earthquake Induced landslides and Bray (1999), found this method unreliable and
suggested the decoupled approach. Kramer and
Slope instability may statically or dynamically Smith (1997), recommended the basic approach
occur; however the most unpredictable and for thin and/or stiff failure masses, and un-
destructive one occur on dynamic mechanism. conservative in other situations. More advanced,
These dynamic mechanisms having devastating Wartman et al (2003) stated that "the accuracy of
impact can unwantedly terminate the slope the sliding block procedure is directly correlated to
serviceability by damaging structures and lifelines tuning ratio (ratio of predominant frequency of
built on. So, not only any method which predicts the excitation to failure mass)". He considered
deformations almost accurately is useful but also is Decoupled and rigid block approaches convenient
applicable for engineers and practitioners to plan in tuning ratios less and more than 1.3 respectively.
any stability program. "Although there are few comparisons of
Although, many attempts to develop a reliable displacement between the deformation procedure
method for slope stability analysis were done by and actual cases, the research findings have
scientists and thus there were many methods to varied" mentioned by P.M. Strenk . So, validation of
assess the stability of a slope in the literature, a slope displacement procedures remains an
designer engineer needs not only to assure the important and well recognized research need
safety and stability of desired slope, but also to Kramar and Stewart 2004, Bray 2009, Pyke 2009.
dependably predict deformations to check the Since no one has systematically assessed the
slope serviceability. Subsequently, limit equilibrium accuracy and applicability of the procedures, this
pseudo-static approach giving us a safety factor, paper wants to enrich the attempts by comparison
has typically missed its usefulness and general of rigid block various procedure results with an
trends are directed to deformation-based actual 1g shaking table model test. Hence, ten
approaches to assess seismically-induced slope rigid-block related formulas to evaluate the dynamic
displacements. displacements of a slope were studied. The slope
Basically there are 3 major deformation-based has dimensions similar to the dynamic model test.
methods to compute slope displacements: (1): rigid These formulas were suggested by Newmark
Newmark block analysis, (2): decoupled method (1965), Sarma (1975), Franklin and Chang (1977),
and (3): coupled procedure. Ambraseys and Menu (1988), Yegian et al (1991),
However many researches were carried out to Ambraseys and Srbulov (1994), Watson-Lamprey
evaluate the accuracy of these, we encountered a and Abrahamson (2006), Jibson (2007), Bray and
variety of judgments which not only are fairly Travasarou (2007), Saygili and Rathje (2008).
incoherent but also sometimes controversial. For The artificial slope ,scaled to 1/10 (Iai (1989 &
instance, Harp and Jibson (1995), evaluated the 2005)) of a prototype one, simulates a typical slope
original rigid block approach fairy accurate, Rathje in Tehran. Dynamically induced horizontal
displacements were visually assessed and several a function of acceleration ratio (ky/PGA) by
suggestions based on the obtained results were following formula:
proposed.
ky 1 PGV 2
2. Newmark Sliding block theory G 3( ) ( ) for ( ky / PGA) 0.16 (2)
PGA PGA g
The rigid block model (figure 1) was based on ky 2 PGV 2
sliding-block simulating a mass prone to slide on its G 0.5( ) ( ) for ( ky / PGA) ! 0.16
PGA PGA g
weakest surface. This event occur when the
acceleration induced on the sliding mass surpass
the limit acceleration (ky) as a representative of 2.2. Sarma's equation (1975)
seismic yield coefficient. Newmark specify ky with
following formula: Sarma's approach, including a parameter to
characterize the frequency content of ground
motion, expressed the normalized displacement as
ky ( FS 1) u g sin(D ) (1)
a function of ky and was derived from regression
analysis of records to reach the following formula:
When sliding triggered it would continue with
constant rate of acceleration until the induce ky
4G
acceleration falls below the ky and the velocity of log( ) 0.85 3.91( ) (3)
2 PGA
slide mass converged to the underlying ground T p PGA g
velocity. Displacements will be calculated by
double integration of sliding mass during each
2.3. Franklin and Chang (1977)
motion interval. Figure 1 briefly explained the
mentioned process. Again, Cai and Bathrust (1966), amended the
Franklin and Chang method and derived the
displacement equation as follow:
ª ky k y 0.38 PGV 2 º
«G 35 exp(6.91 )( ) ( )» (4)
¬« PGA PGA PGA g ¼»
2.4. Ambraseys and Menu (1988)
Ambraseys and Menu, using near-field motions,

developed their formula through regression
analysis and used various parameters and reached
the below equation:
ª ky 2.53 k y 1.09 º (5)

log(G ) 0.9 log «(1 ) ( ) » SV logG
¬ PGA PGA ¼
2.5. Yegian et al. (1991)
Figure 1. Visual approach of Newmark sliding block Yegian et al implemented a probabilistic

theory (a) acceleration (b) calculated velocity approach and derived normalized displacement
term from a closed form solution. His formula is
This theory was based on important presented here:
assumptions like considering the sliding mass to be G ky
log( ) 0.22 10.12( ) ....
non-compliant, occurring the displacement on well- 2 PGA
T p N eq PGA g (6)
defined slip surface (commonly determined by L.E.
method), assuming the non-elastic perfectly plastic ky ky 3
2
behavior of the mass, consenting the constant 16.38( ) 11.48( ) r SV logG
material strength, accepting the center of gravity as PGA PGA
a point in which the inertia forces act, taking into Stenk implied that the equation is applicable for
account the rock outcropping acceleration time Ky/PGA between 0.01 to 0.99.
history as a basic point of recording. Various
approaches and related formulas are listed below.
2.6. Ambraseys and Srbulov (1994)
2.1. Newmark's basic equation
Besides his previous work, Ambraseys
This equation which is modified by Cai and developed a new formula to take the surface wave
Bathurst (1966) calculates the displacement (d) as
magnitude and site-to-source distance into Table 1. Loading characteristics in each models
consideration. The formula is presented here as:
Acceleration Frequency Number of
Test No.
ky ky amplitude (g) Cycles
2.64 1.02
log(G ) 2.41 log[(1 ) ( ) ] 1 0.23
PGA PGA (7)
2 0.345
0.473M s 0.01Rs r SV log G 5 25
3 0.460
2.7. Jibson (2007) 4 0.575
Jibson developed his formula considering the

Arias intensity to reflect the severity of the entire
record. He proposed his formula in three versions
presented here:
ky 2.335
ky 1.478
log(G ) 2.71 log[(1 ) ( ) ]
PGA PGA (8)
0.424 M w r SV log G
log(G ) 2.4011og ( I a ) 3.481 log(k y ) 3.23 r SV logG (9)

ky
log(G ) 0.5611og ( I a ) 3.833 log( ) 1.474 r SV log G (10) Figure 3.4 phases' acceleration time history
PGA
3. Model test characteristics and records
With the aim to model the landslides, the research

group designed a series of dynamic sinusoidal
excitations (Joshaghani, 2013). Tehran cemented
soil, prototype case, was modeled by Babolsar
coastal sand having no cohesive ingredients with
the relative density of 40% at first stage. The soil
rigid box frame composed from steel profiles and
plates. Also, a Plexiglas plate in one side enabled
the engineers to monitor slope deformations during Figure 4. Constructed slope with plaster strips
excitations. Comparing the box dimensions showing in model before test 1
( 300 u 100 u 150 cm ( L.W .H ) ) with a real slope, the
geometrical ratio, O was 10. Figure 2 illustrates the
model and sensors configuration in the rigid box.
3000
100
LVDT 368
Accelerometer
1118 1000
1500
618
1850
400 400
650 1732 618

Figure 5. Plaster strips showing deformed slope
displacements in the model after test 3
Figure 2. Soil box and sensors in the model
In order to monitor the slope displacement
Using the method suggested by Prof. Seed during the tests, 3 cm plaster strips were poured
(Kramer,1996), a harmonic sinusoidal record adjacent to the Plexiglas plate in each 10 cm soil
having 0.23 g amplitude, 5 HZ frequency and 25 layer. Through defining and analyzing the induced
cycles were selected to model a 7.5-8.5 magnitude displacement by measuring strips horizontal
earthquake. The subsequent records were altered movement, comparisons made between the pre
the previous with 50% increase in acceleration and posttest slope conditions. As a result,
amplitude and without change in frequency and formation of failure surfaces and soil total
cycles numbers. Table 1 and figure 3 summarized displacement patterns were qualitatively and
and depicted the record characteristics in each test quantitatively determined (Figures 4 & 5).
respectively. In order to have a static safety factor (needed to
compute ky), a simple L.E. analysis was performed
with SLIDE program through which F.S. and ky
were F.S..=1.32 and Ky=1.57m/s2. The soil Table 4. Error Percentage between theoretically
geotechnical parameters were derived from predicted and actual displacements
element tests and corrected by back analysis. Loading Step
Error (%)
Necessary parameters for rigid block analysis 1 2 3 4
calculation are derived and summarized in table 2. Newmark & Cai 18809 5813 2282 -
Sarma 19279 7598 3368 -
Table 2.Parameters used for rigid block analysis Franklin & Chang 44389 6740 1913 -
Loading PGA PGV Slope Loading ky Ambraseys & Menu 1006 701 514 -
Step (g) (m/s) Period (s) Period (s) (g)
Yegian et al. 1480 1007 602 -
1 0.254 0.035
Ambraseys & Srbulov 232 135 80 -
2 0.358 0.09
0.08 0.2 0.16 Jibson 672 429 275 -
3 0.482 0.16
4 0.693 0.29 5. Conclusions
Dynamically induced displacements of a model

4. Analysis results and comparisons
slope resembling natural slopes in Tehran were
measured and compared to various method results
Parameters relevant to slope site (PGA, PGV,
related to Newmark rigid block theory. The results
Ky (table 2)), are used to calculate theoretical
show that:
displacements with different rigid block formulas
Ambraseys & Srbulov's approach is the most
presented in section 2. Table 3 outlines the
reliable one to predict the slope displacements.
theoretical displacements and compares them with
Jibson's formula is almost in the same level as
that of the slopes tow and crest. Then, the
previous one. Ambraseys & Menu and Yegian et al.
differences between the calculated and observed
are less reliable compared to the aforementioned
measures are used to determine each formula's
ones. Hence, it is recommended to be used
error (table 4).
conservatively in practice. Franklin & Chang,
These two tables explicitly indicate that
Newmark & Cai and Sarma's method cannot
Ambraseys & Srbulov and Jibson et al. equations
assess the measures of displacements and the
can more accurately assess the slope
authors cannot recommend them in real projects.
displacements respectively. After these,
Evaluating the accuracy of different proposed
Ambraseys & Menu and Yegian et al. present less
formulas to predict slope deformations is a
acceptable results. On the other hand, Franklin &
problematical and complicated step in practice and
Chang, Newmark & Cai and Sarma's formulas cannot
can be a matter of controversy. So, it is required
predict reasonable measures of displacements.
that this approach be enriched and advanced by
numerous actual event records and model tests.
Table 3. Comparison of calculated and observed If get more reliable, the results with numerous
displacements from various methods real measures of displacements can be used to
Loading Step
introduced safety factors relevant to each formula.
Displacement (cm)
1 2 3 4 6. References
Real test horizontal P.M. Strenk. (2010), "Evaluation of Analytical
11 28 58 >60*
displacement (slope toe)
Procedure for Estimating Seismically Induced
Real test horizontal Permanent Deformation in Slopes". PhD thesis,
12.4 40.2 59 >60*
displacement (slope crest) Drexel University.
Newmark & Cai 0.06 0.58 2.46 11.6 M. Joshaghani, (2013), "Comparison of slopes'
Sarma 0.06 0.44 1.69 6.02 PGDs derived from Newmark rigid block theory
Franklin & Chang 0.03 0.50 2.91 15.32
with 1g shaking table model tests", M.sc. thesis,
Sharif University of Technology, Tehran. Iran
Ambraseys & Menu 1.06 4.26 9.53 20.21
S.L. Kramer, (1996): “Geotechnical Earthquake
Yegian et al. 0.74 3.08 8.33 28.04 Engineering”, University of Washington,
Ambraseys & Srbulov 3.53 14.50 32.43 68.11 Prentice Hall international Series in Civil
Jibson 1.51 6.44 15.59 37.04 Engineering and Engineering mechanics.
The displacements cannot be measured due to
S. Iai, (1989): “Similitude for shaking table tests on
limited length of the rigid box soil-structure-fluid model in 1g gravitational
field”, soils and foundations, vol.29, No.1, 105-
118.
S. Iai, T. Tobita And T. Nakahara, (2005),
"Generalized scaling relations for dynamic
centrifuge tests", Geotechnique 55, No. 5, 355–
362.
IN SITU – BASED ASSESSMENT OF SOIL LIQUEFACTION

POTENTIAL. CASE STUDY OF AN EARTH DAM IN TUNISIA
EVALUATION DU POTENTIEL DE LIQUEFACTION DU SOL À PARTIR DES
ESSAIS IN SITU. ÉTUDE DE CAS D’UN BARRAGE EN TERRE EN TUNISIE
Ikram GUETTAYA (1), Mohamed Ridha EL OUNI (1)
(1)
Department of Rural Engineering, INAT, Tunis, Tunisia
ABSTRACT - The present paper examines the evaluation of liquefaction potential of an earth dam
foundation in Tunisia. The assessment of soil liquefaction was made using deterministic and probabilistic
simplified procedures developed from several case histories. The data collected from the field investigation
performed before and after the vibrocompaction are analyzed and the results are reported. The obtained
results show that after vibrocompaction, a significant improvement of the soil resistance reduces the
liquefaction potential of the sandy foundation. Indeed, in the untreated layers, the factor of safety FS drops
below 1 which means that the soil is susceptible for liquefaction. However, in the compacted horizons, the
values of FS exceed the unit which justifies the absence of liquefaction hazard of the foundation.
1. Introduction foundation of dam is predominantly composed by

sandy formations. The latter of Quaternaries,
Liquefaction phenomenon is one of the critical Neogene’s and Paleogene age consist in alluvial
problems in geotechnical engineering. It primarily sand and eolian dunes (Blanchin et al., 2002). The
occurs in saturated and cohesion-less soils located rigid stratum level is composed by gneiss and
in seismically active regions. Thus, the prediction of marlstone which are apparent at the right side
liquefaction is an important interest design (figure. 2).
engineering practice. Two basic approaches are According to the Tunisian Central Bureau,
available to analyse liquefaction potential using ground motions recorded in the western north of
cyclic laboratory test results and in situ-based Tunisia are characterized by a maximum peak
simplified procedures. ground Acceleration equal to 0.15g and variable
In this regards, the Sidi El Barrak earth dam, a intensities of VII to VIII.
large hydraulic project, provides an interesting case
for assessing the liquefaction susceptibility of soils
and evaluating the foundation stability. Within the
scope of this paper, liquefaction potential has been
investigated by simplified approaches based on
SPT and CPT test results. The field investigation
comprises collecting data before and after soil
densification using the vibrocompaction technique.
A focus is made on the most widely accepted
methods used for evaluating soil liquefaction
resistance. The state of the art of SPT is Idriss &
Boulanger (2008). The state of the art of CPT is
Robertson & Wride (1998).
2. Site conditions
Sidi El Barrak earth dam is situated in the extreme

North Western coast of Tunisia (Figure.1). The site Figure 1. Location and Components of dam
of dam is located at 6.5 km from the Mediterranean
Sea, 15 km from the Nefza region and 20 km North In addition, two wells were executed
East of Tabarka city (Technical document, 1990). respectively in the left side and in the bed river of
2
Total area of the watershed is about 896 km and Sidi El Barrak dam for samples laboratory testing.
the reservoir level is equivalent to 29 m height. Figure.3 presents two typical grain size envelopes
The total capacity of the reservoir is about 275 obtained from a granulometric analysis of depths
Million cubic meters. The Sidi El Barrak dam where the two wells are performed. The results
provides irrigation water for fertile lands that extend show the sands to be graded from coarse to
over an area of 4000 hectares.The heterogenous medium to fine. The uniformity coefficient varies
between 2.37 and 7.5 in the left bank and between

2 and 13.6 in the bed river. The median diameter
(D50) varies from 0.14 mm to 1.3 mm in the former
zone while it varies from 0.13 to 1.4 mm in the
latter zone.
Figure 4. Vibrocompacted zone
3. SPT-based liquefaction analysis of the dam

foundation
Figure. 2. Geological section of the dam site Using the SPT results, the evaluation of the
liquefaction potential of the dam foundation is made
by determining the critical value of the standard
Coarse Medium Fine
penetration resistance, Ncri, separating liquefiable
sand sand sand silt from nonliquefiable conditions (Corté, 1978):
100
90 Ncrit=Nref*[1+0.125*(ds-3)+0.05*(dw-2)] (1)
80
Where: ds is the depth of the sandy layer (m);
Passing %
70
60 dw is the depth below level of water table (m);Nref
50 is the number of cycles for penetration equals to
40 30 cm.,
30 Figures 5 and 6 illustrate the variation in depth
20 Left bank of the corrected SPT blow count (N1)60 and the
10 Bed river critical penetration resistance, Ncrit, for different
0 earthquake intensities in zones C4 before and after
100 10 1 0,1 0,01 soil densification. From these figures, the results
Diameter in mm show increased (N1)60 values in looser soil layers
when compared with results obtained in the
Figure 3. Grain-size distribution of soil in the left corresponding material prior to vibrocompaction. In
bank and bed river fact, the (N1)60 values increased from an average
of 25 to 43 blows /0.3m in the mesh C4.In addition,
The study area has been the subject of a soil before vibrocompaction, the SPT borings data are
densification using the vibrocompaction technique. plotted below the threshold curve and are so
The treatment of Sidi El Barrak foundation soil, at liquefiable (Figure.5). After vibrocompaction, the
about 10 m depth, has been achieved in equilateral SPT data has exceeded the threshold curve and
triangular zone of spacing 2.94 m. Figure.4 shows are not expected to liquefy (Figure.6).
the location of zones where vibrocompaction took Seed & Idriss (1971) proposed a stress-based
place. procedure to analyze liquefaction risk of soils. This
A strict quality control program of the approach requires an estimate of the liquefaction
vibrocompaction pursued in the project has loading (expressed in term of cyclic stress ratio
implemented the SPT tests in some locations in the CSR) (equation 2) and the liquefaction resistance
foundation such as meshes C4 and D2 (figure 4). (presented in term of cyclic resistance ratio CRR).
Additional CPTs were performed at meshes C4 and amax
F4 in order to examine strength of soil after CSR=0.65* '! * g
*rd (2)
v
vibrocompaction.
where, v and ’v are total and effective vertical
overburden stresses respectively, amax is the peak
horizontal acceleration, g is the acceleration of critical value data represent soil layers that are not
gravity and rd is a stress reduction coefficient. susceptible to liquefaction due to their densification
by vibrocompaction.
(N1)60 (N1)60
0 20 40 60 80100 0 20 40 60 80100 FS FS
0 0 0 1 2 3 4 0 1 2 3 4
0 0
2 2 PRE PRE
2 POST 2 POST
4 4
Depth (m)
Depth (m)
4 4
6 6
Depth (m)
Depth (m)
6 6
8 8
10 8 8
10
12 10 10
12
14 14 12 12
VIIVII IX VII VIII IX
14 14
Fig. 5. Pre treatment Fig. 6. Post treatment

Figure 9. FS profiles in C4 and D2
corrected values in C4 corrected values in C4
Boulanger & Idriss (2008) suggested that the
derived boundary lines or CRR can be calculated 4. CPT-based liquefaction analysis of the dam
as a function of the fine content corrected foundation
penetration resistance (N1)60CS.
Figures 7 and 8 show the resulting proposed Zhou (1980) (in Seed et al, 1983) had considered
deterministic relationship between CSR and the critical resistance qcrit under which liquefaction
(N1)60CS in C4 and D2. The solid dots represent the risk is potential. The CPT data collected before and
pre-treatment point data for which liquefaction can after the soil improvement of the case study (in the
be triggered. However, the post-treatment data mesh C4) and the threshold curves given by Zhou
represent non liquefaction cases. (1980) for different earthquake intensities are
illustrated in figures 10 and 11. Before
1 vibrocompaction, the measured values of qc are
1
CSR
generally lower than the critical resistance values

C SR
0,9
0,9 qcrit , showing vulnerability of the dam foundation to
0,8
0,8 liquefaction. The qc values in the compacted sand
0,7 increase significantly due to the soil consolidation
0,7
0,6 PRE and rearrangement of particles after soil
PRE 0,6
0,5 POST POST densification.
0,5
0,4
0,4 qc(MPa) qc(MPa)
0,3
0,3 0 10 20 30 40 50 0 10 20 30 40 50
0,2
0,2 0 0
0,1
0,1
0 2 2
0 10 20 30 40 0
0 10 20 30 40 4 4
(N1)60cs
Depth (m)
Depth (m)
(N1)60cs
6 6
8 8
Figure.7. CSR as a Figure.8. CSR as a
function of (N1)60CS in C4 function of (N1)60CS in D2 10 10
12 12
Figure 9 shows the FS profile calculated from the
Boulanger & Idriss approach in zones C4 and D2 14 14
before and after soil improvement. The FS profile 0.15g 0.2g 0.15g 0.2g
obtained from the pre-treatment data are less than
the critical value (FS = 1). So, the dam foundation Figure.10. Pre CPT data Figure.11.Post CPT data
may be prone to liquefaction during the design
earthquake event. Nevertheless, the gaps in the
Robertson & Wride (1998) suggested that the FS PL

boundary curve or CRR can be estimated as a 0 2 4 6 8 10 0 0,20,40,60,8 1
function of the equivalent clean sand normalized 0 0
penetration resistance (qc1N)cs. Figures 12 and 13
show calculated CSR plotted as a function of the 2 2
corrected and normalized resistance qc1N from Sidi
El Barrak site (in meshes C4 and F4). The pre- 4 4
Depth (m)
Depth (m)
treatment data points (solid circles) are plotted 6 6
below the boundary curve which indicates that the
soils in zone C2 and zone F4 are susceptible to the 8 8
cyclic liquefaction. However, the post-treatment
data (open circle) fall above the boundary curve, in 10 PRE POST
10
the non- liquefaction zone.
12 12 PRE
0,6 0,6
CSR
CSR
14 14
0,5 0,5
Figure.14. FS profile C4 Figure.15. PL profile in C4
0,4 0,4
0,3 0,3 5. Conclusions
Based on the results of the presented case study,

0,2 0,2
the SPT and CPT tests are shown to be an
effective tool for characterizing the liquefaction
0,1 0,1 potential of the dam site. The effectiveness of soil
densification in reducing the liquefaction potential,
0 0 as mentioned in literature, is confirmed in this case
0 100 200 300 0 100 200 300 study. Indeed, the results show that the undensified
qc1N qc1N alluvial sands of foundation were prone to
liquefaction hazard (FS < 1). However, after
vibrocompaction, the dam foundation was not
Figure.12. CSR as a Figure.13. CSR as a susceptible to liquefaction (FS > 1). The
function of qc1N in C4 function of qc1N in F4 liquefaction evaluation results based on the SPT
data are similar to those based on the CPT data. A
Figure 14 presents the FS profile in mesh C4 a
comparison shows general agreement between the
when the case of the dam foundation is analyzed
deterministic and probabilistic correlations.
using the Robertson & Wride (1998) simplified
procedure. Before vibrocompaction, the soils
appear liquefiable with factor of safety smaller than
6. References
the unit. After vibrocompaction, the derived profile
of FS shows that the majority of soil layers have a
Blanchin M., Michalsky E.R., Dequidt O., Giafferi J.
factor of safety greater than 1.
(2002). La fondation du barrage de Sidi El
Actually, researchers suggested that the
Barrak. Journées Nationales de Géotechnique
Robertson method must be calibrated so that the
et de Géologie de l'ingénieur, pp. 1-15.
meaning of the calculated FS is understood in
Boulanger R.W., Idriss I.M. (2008). Soil liquefaction
terms of likelihood or probability of liquefaction.
during earthquake. Engineering monograph-
CPT data at the mesh C4 are used as example to
EERI, California, 266 pages.
represent the profiles of the probability of
Corté J-P (1978). Evaluation du risque de
liquefaction (PL) obtained from the Robertson
liquéfaction à partir des essais en place. Génie
method (figure 15). Before vibrocompaction, the
parasismique, Nantes, 12 pages.
profiles suggest that the calculated probabilities are
Robertson P.K., Wride C. (1998). Evaluating cyclic
high, ranging from 0.4 to 1. The average of
liquefaction potential using the cone penetration
probabilities of liquefaction values is about 68%.
test. Canadian Geotechnical Journal, pp 442-459.
This value falls into the class of “very likely” in the
Seed B., Idriss I.M. (1971). Simplified procedures
Juang and Chen classification. After
for evaluating soil liquefaction potential. JSME,
vibrocompaction, the average of the calculated
vol. 97, pp 1249-1273.
probability of liquefaction drops below 35%,
Seed B., Idriss I.M., Arango.I. (1983). Evaluation of
indicating a low likelihood of liquefaction of the dam
liquefaction potential using field performance
foundation.
data. Geotech Eng, vol. 109, n° 3, pp 458-482
Technical document, (1990). Drainage and
treatment of the foundation of Sidi El Barrak
dam. Ministry of agriculture, Tunis, 63 pages.
LIQUEFACTION-RESISTANT FOUNDATIONS FOR RESIDENTIAL

BUILDINGS
FONDATION D'IMMEUBLES RESIDENTIELS RESISTANT A LA

LIQUEFACTION
1 1
Richard HERITAGE , Dr Jan KUPEC
1
Aurecon NZ Ltd, Christchurch, New Zealand
ABSTRACT - On 4 September 2010 a Magnitude 7.1 earthquake struck the Canterbury region of New
Zealand, centred 40km west of Christchurch and 10km deep, causing significant damage. On 22 February
2011 an aftershock of Magnitude 6.3 struck directly beneath the southern suburbs of Christchurch. The
earthquake, at a depth of approximately 10km, caused more damage than any other earthquake in New
Zealand since 1931, with an official death toll of 185. Peak ground accelerations of up to 2.2g were recorded
in the hill suburbs with accelerations of up to 0.9g recorded on the flat land that accommodates most of
Christchurch. Over 11,000 aftershocks followed, some exceeding Magnitude 6. This paper briefly describes
the damage caused by liquefaction to the residential buildings of Christchurch; introduces, two years after
the event, the lessons learnt; and provides an overview of the engineering solutions that have been
developed to minimise damage to residential housing foundations in future earthquake events.
1. Introduction residential buildings of Christchurch, some of the

lessons learned, and the solutions that have been
On 4 September 2010 a Magnitude 7.1 earthquake developed to minimise the damage arising in future
struck the Canterbury region of New Zealand. The earthquake events. Detailed design examples are
earthquake was centred 40km west of Christchurch referenced and their performance discussed. This
at a depth of approximately 10km. This caused paper draws on a large number of sources
significant damage to the buildings and including the New Zealand Ministry for Business,
infrastructure of Christchurch and surrounding Innovation and Employment (MBIE) (formerly the
areas but fortunately no loss of life. On 22 February Department of Building and Housing (DBH)),
2011 an aftershock of Magnitude 6.3 struck directly recommendations by the Engineering Advisory
beneath the southern suburbs of Christchurch Group (EAG), the Canterbury Earthquake
along the foothills of the Port Hills. The earthquake Recovery Authority (CERA), and discussions with
was at a depth of approximately 10km and caused many professionals engaged in the rebuild and
more damage and loss of life than any other recovery process in Canterbury.
earthquake in New Zealand since 1931, with an
official death toll of 185. The overall damage is
estimated at $30 billion (USD) or approximately 2. Background
30% of the NZ Gross Domestic Product (GDP).
Peak ground accelerations of up to 2.2g were 2.1. Geological Setting
recorded in the hill suburbs with accelerations of up
to 0.9g recorded on the flat land that New Zealand sits on the boundary between the
accommodates most of Christchurch. Australian and Pacific tectonic plates. In the South
In the Port Hills the shaking caused significant Island of New Zealand the Pacific plate is
collapse of sea cliffs and the dislodging of an subducting under the Australian plate. This has
estimated 10,000 large boulders from the steep resulted in the formation of the Southern Alps along
hills. On the flat land liquefaction caused sand boils the western side of the South Island.
and lateral spreading, resulting in billions of dollars Christchurch lies 100km to the east of the
of damage to infrastructure and house foundations. Southern Alps on the coast of the Pacific Ocean
In response to seismically induced liquefaction and straddles the Canterbury Plains and the
damage and expected poor future performance of foothills of the Port Hills. As part of the subduction
the affected land, around 8,000 residential sequence, the Port Hills were formed by the now-
properties had to be permanently abandoned for dormant Banks Peninsula volcano chain. The
residential use. Over 100,000 houses will need Canterbury Plains were formed by alluvial deposits
extensive structural repairs and over 20,000 will transported from the Southern Alps. In the
require a complete rebuild. Christchurch area the Waimakariri River Flood
This paper describes the typical damage Plain has extended and retreated over the millennia
caused by seismically induced liquefaction to the so that the soils underlying the majority of the
central and eastern parts of the city comprise a 3. Seismically Induced Damage
mixture of loose alluvial and softer estuarine
deposits. The alluvial deposits are inferred to be 3.1 Land Damage
500–800m thick. The near-surface water table
across much of the city and eastern suburbs is The effects of the earthquakes on Christchurch
relatively shallow with typical depths of 1–2m below varied significantly between the Port Hills suburbs
ground level. There are a number of deeper-lying and the flat land.
aquifers present, some of which are artesian On the flat land the shaking damage was
(Brown and Weeber, 1992). exacerbated by liquefaction of the soft estuarine
and loose alluvial sands and silts of the
2.2. Seismic History Waimakariri Flood Plain. Due to susceptible soils
and shallow groundwater levels, liquefaction was
The subduction zones underlying New Zealand concentrated in the eastern suburbs but extended
create a highly active seismic environment. Prior to across almost the entire city. Lateral spreading
the seismic activity in Christchurch, the main occurred along the banks of the Avon and
seismic hazard in that area was derived from either Heathcote Rivers and their tributaries and
the Alpine Fault, which runs down the spine of the extended up to 100m away from the free edges.
Southern Alps approximately 100km northwest of Liquefaction induced total settlements of 1.8–2.0m
the city, or one of the many faults in the foothills of were recorded in the worst affected areas (CGD,
the Port Hills that are 30–80km south of the central 2012).
city. A previously unknown fault system that
ruptured in September 2010 initiated a seismic 3.2. Building Damage
sequence that is likely to go on for a couple of
decades (Stirling et al., 2012). Christchurch has Most commercial and high-rise buildings were
been hit by several distant earthquakes since significantly damaged in the February 2011
records began. The September 2010 earthquake aftershock, as the level of shaking was well above
was located 40km west of Christchurch and was that which the buildings were designed for. Most
considered an ‘ultimate design level’ event, whilst affected buildings were damaged beyond economic
the February, June and December 2011 repair. In the city centre much unreinforced
aftershocks caused shaking well above code level masonry collapsed, but very few modern (post-
earthquakes (AS/NZS 1170, 2002) with epicentres 1960s) buildings did.
within the Christchurch area. The damage to residential houses was caused
The 4 September 2010 earthquake was by earthquake shaking, liquefaction-induced
Magnitude 7.1 and resulted in median peak ground differential settlement, lateral spreading, ground
accelerations (PGA) of 0.19–0.22g (measured in cracking (due to mass movement and land
Christchurch). The 22 February 2011 aftershock instability in areas of the Port Hills), and boulder
was Magnitude 6.3 with PGA of 0.44–0.50g impact. The commonly used timber-framed
measured in the central city, and 0.50–0.70g on the buildings proved highly effective in reducing
flat land that accommodates most of eastern shaking-related damage. The most common
suburbs. The Port Hills, being an epicentral area on structural issues arose from the collapse of
hard volcanic rock, experienced some of the unreinforced brick chimneys and unreinforced
highest internationally recorded PGA: up to 2.2g masonry, as well as brick cladding and roofing tiles
(Dellow et al. 2011). being shaken loose.
However, the most critical damage to buildings
2.3. Typical New Zealand House Foundations was related to foundation failure. Typical New
Zealand house foundations proved highly
The residential houses of New Zealand are ineffective at dealing with effects from seismically
typically single or two-storey timber-framed induced liquefaction. The often lightly reinforced or
bungalows with timber weatherboard cladding and unreinforced 100mm-thick concrete slab-on-grade
corrugated iron roofs. However, in Christchurch, foundations cracked under differential liquefaction-
due to perceived lower seismic risk and climatic induced settlement and were often ripped apart by
conditions, brick cladding and tiled roofs are more lateral spreading. Shallow pile foundations or
common than in other parts of New Zealand. suspended timber floor systems provided little to no
Typical foundations comprise shallow concrete protection against ground cracking or differential
piles and a suspended timber floor with a concrete settlement.
perimeter shallow strip foundation. More recently
constructed residential houses have a lightly
reinforced concrete slab-on-grade foundation. 4. Assessment of Liquefaction Risk
Driven pile foundations and heavily reinforced
footings are known, but, prior to the earthquake As has often been seen in past earthquakes across
sequence, were only utilised on rare occasions. the globe, liquefaction, whilst rarely causing loss of
life, caused more damage to buildings and
infrastructure than any of the other effects of a
major seismic event. A large amount of • Foundations that were able to span or cantilever
geotechnical and geospatial information was over voids created by surface ejecta
gathered to better understand the liquefaction issue • Lightweight cladding and roofing materials
in Christchurch. LiDAR (Light Detection and imposing less stress on the footing system
Ranging) surveys were flown immediately following Piled foundations, provided adequately
the most significant aftershocks. An extensive designed and constructed, performed well in most
range of ground investigations were initiated cases, but not so well where lateral spreading
following the 4 September 2010 earthquake, induced lateral forces on the piles. In many cases
typically comprising roto-sonic boreholes and Piezo the soils settled away from the slab and left the
Cone Penetration Tests (CPTu). building structure suspended in air. Where load
The MBIE with the EAG oversaw the technical bearing was shared between the piles and the
categorisation of the 180,000 residential properties ground, the piles were overstressed and failed in
in the greater Christchurch area. The aim was to punching or shear.
determine the level of geotechnical investigations
required for houses likely to require rebuild or
repair. The following categories were developed: 6. Development of Solutions for Foundation
• Technical Category 1 (TC1): Future land Rebuild
damage from liquefaction is unlikely, and
ground settlements are expected to be within The MBIE released guidelines in December 2012
normally accepted tolerances. Normal building (MBIE, 2012) with recommendations for repair of
consent criteria applies. existing foundations and the construction of new
• Technical Category 2 (TC2): Minor to moderate foundations for houses in TC2 and TC3 land.
land damage from liquefaction is possible in These guidelines were based on the lessons learnt
future large earthquakes. Accepted solutions through observation of the effects of liquefaction on
were developed by EAG and MBIE for use in the residential buildings in Christchurch and nearby
repair and rebuild. towns, and information gathered following
• Technical Category 3 (TC3): Significant land earthquakes overseas where liquefaction had
damage from liquefaction and lateral occurred. These guidelines recommend typical
spreading is likely in future earthquakes. Deep foundation solutions to mitigate damage from
(15m) intrusive geotechnical investigations are liquefaction based on expected future land
required and structural engineering input into performance. This paper focuses on rebuild
specific design is needed. solutions only.
This has been defined more objectively as follows: 6.1. Minor to Moderate Liquefaction
Table I. Technical Categories Performance Criteria In areas of TC2 land (minor to moderate land
Foundation Expected Expected ULS* damage from liquefaction is possible in future large
Technical SLS* Settlement earthquakes) the foundation types recommended
Category Settlement are referred to as ‘Enhanced Foundations’ and are
TC1 (Grey) 0–15mm 0–25mm summarised below:
TC2 (Yellow) 0–50mm 0–100mm
Table 2. TC2 Recommended Foundation Types
TC3 (Blue) >50mm >100mm
Option 1: Gravel Raft
*SLS and ULS refer to ‘Serviceability’ and ‘Ultimate’
Excavation and replacement of the upper layers of
limit states respectively as defined in the New
soil with compacted, well-graded gravels and
Zealand Loadings Code (AS/NZS 1170, 2002).
construction of a standard concrete slab-on-grade.
For the assessment of liquefaction this Option 2: Extra-Thick Concrete Slab
corresponds to design-level earthquakes with a Construct a 300mm-thick, well-reinforced concrete
Magnitude of 7.5 and PGA of 0.13g for SLS and slab-on-grade.
0.35g for ULS (MBIE, 2012). Lateral spreading is Option 3: Beam Grid and Slab
present in most TC3 areas. Reinforced concrete ground beams overlain with a
standard concrete slab-on-grade.
Option 4: Waffle Slab
5. Existing Foundation Performance Similar to ‘Beam Grid and Slab’ with polystyrene
between the ground beams.
A review of existing foundations was undertaken by Option 5: Driven Piles
the EAG and private consultants. No clear winners Drive piles to a dense, non-liquefiable bearing
were identified but the following contributed to layer and construct a floor slab with reinforced
better performance of shallow footings. beams on pile rows in both directions to tie the
• Well-tied foundations tops of the piles together.
• Reinforced concrete with good ties to the
superstructure
The guidelines are based on area-wide micropiles. The important point to note is that piles
geotechnical deep investigations. Only shallow are not recommended where lateral spreading
geotechnical investigations, such as Dynamic Cone could occur and are only viable if a sufficiently
Penetrometer (DCP) or Scala tests, are thick, dense, non-liquefiable layer is present as a
recommended at the building site. The key founding layer.
recommendation for better performance is that
buildings designed on the above foundations are 6.2.4. Alternative Options
constructed with timber or steel framing, light- Over the past year new and innovative solutions
weight cladding systems and light-weight roofing were developed including the Firth Industry fully re-
materials. levellable waffle or rib raft.
6.2. Significant Liquefaction

7. Conclusions
On TC3 land (significant land damage from
liquefaction is possible in future large earthquakes) The seismically induced land damage in
it is recommended that a geotechnical engineer is Christchurch was extensive and 180,000
engaged to conduct site-specific deep residential buildings were damaged by shaking and
investigations. Design foundation solutions fall into liquefaction effects. Prioritisation of limited
three categories described below. engineering resources and intrusive ground
investigation tools necessitated categorisation of
6.2.1. Surface Structures with Shallow Foundations land to enable a more rapid repair and rebuild
The objective of this solution is not to completely process so that only the land most susceptible to
eliminate damage, but to minimise damage by liquefaction will need site-specific deep intrusive
reducing differential settlements and ensuring that investigations. Guidelines developed for residential
the foundation is flexible and easily repairable. foundation repair and rebuild provide standard
Unlike TC2 foundations, these foundations are solutions that are acceptable to the building
designed to accommodate 200–500mm of lateral consent authorities. Robust raft foundations are
stretch (the horizontal movement across the considered the most practicable way to reduce
building footprint from lateral spreading) and up to liquefaction damage to residential buildings.
200mm of liquefaction-induced vertical settlement Ground improvement and pile foundations are also
(depending on which foundation concept is considered in areas where significant liquefaction is
adopted). expected in future earthquake events.
TC3 foundation types are similar to those
recommended for TC2 land, with options including:
reinforced gravel rafts combined with easily re- 8. References
levellable timber suspended floor slabs; a light-
weight, flexible, re-levellable timber foundation with AS/NZS 1170: 2002 Structural design actions,
short concrete piles (not recommended for land at Standards Australia/Standards New Zealand
risk of over 200mm of lateral stretch); and concrete Brown L.J., Weeber J.H. (1992). Geology of the
pads with timber bearers that can slide on them Christchurch urban area. Institute of Geological
during lateral spreading. & Nuclear Sciences geological map 1.
Canterbury Geotechnical Database (2012) Vertical
6.2.2. Site Ground Improvement Ground Surface Movements, Map Layer
Ground improvement options recommended for CGD0600 - 23 July 2012, retrieved 7/02/13 from
residential sites involve improving the upper soils https://canterburygeotechnicaldatabase.projecto
so that they do not liquefy or allow liquefaction to rbit.com/
penetrate from below. Recommended options Dellow, G., Yetton, M., Massey, C.I., Archibald,
include dynamic compaction, rapid impact G.C., Barrell, D.J.A., Bell, D., … Walsh, I., 2011
compaction, in-situ cement stabilisation, or Landslides caused by the 22 February 2011
excavating and backfilling with suitable, compacted Christchurch earthquake and management of
fill or cement stabilised fill. Deep soil mixing, stone landslide risk in the immediate aftermath.
columns or low mobility grout injection are also Bulletin of the New Zealand Society for
explored. Earthquake Engineering, 44(4): 227-238.
In all cases the aim is to reduce the risk of Ministry of Business Innovation and Employment
ground damage so that a TC2-compliant (2012). Repairing and rebuilding houses
foundation can be constructed on the strengthened affected by the Canterbury earthquakes Version
ground. 3, December 2012.
Stirling, M.W., McVerry, G.H., Gerstenberger, M.C.,
6.2.3. Deep Piles Litchfield, N.J., Van Dissen, R.J., Berryman,
A wide variety of options are discussed in the K.R., … Jacobs, K. 2012 National seismic
guidelines and include driven steel, timber or hazard model for New Zealand : 2010 update.
precast concrete piles, screw piles, Continuous Bulletin of the Seismological Society of America,
Flight Augur (CFA) piles, bored piles, and 102(4): 1514-1542; doi: 10.1785/0120110170
GEOTECHNICAL ASSESSMENT AND DESIGN OF A

CANTILEVERED RETAINING WALL IN A SENSITIVE VOLCANIC
SOIL
ÉVALUATION GÉOTECHNIQUE ET DIMENSIONNEMENT D'UN MUR DE
SOUTÈNEMENT AUTOSTABLE DANS UN SOL VOLCANIQUE SENSIBLE
Andrew HOLLAND
1
New Zealand Geotechnical Society, Hamilton, New Zealand
ABSTRACT - This paper discusses geotechnical aspects of the design and construction of a large bored pile
cantilever retaining wall in Hamilton, New Zealand. Intrusive geotechnical investigations at the site identified
sensitive weathered volcanic soils at founding level and raised concerns of strain-softening in the soil during
earthquake shaking. The strain softening was considered likely to lead to unacceptable deformation of the
wall and damage to surrounding properties. As well as traditional techniques, the investigation included
cyclic triaxial testing and seismic dilatometer testing (sDMT) of the sensitive soils. Information from other
sites in similar materials was gathered and used in the assessment. Of possible solutions, deep soil/cement-
grout mixing of material in the passive zone of the retaining wall was assessed to be the most appropriate
solution to limit softening and deformation. Observations from construction are made, and challenges faced
due to the ground conditions are discussed.
1. Introduction A precedent study of cut slopes in the area

showed that historically, cuttings had been made at
Wairere Drive (Hamilton, New Zealand) is being very steep angles which degraded over time by
extended from Crosby Road in the north, eventually frittering. Back analysis indicated that these slopes
connecting the north east with Cambridge Road had been constructed without being designed for
and SH1 (Cobham Drive) to the south. The project earthquakes.
involved the construction of approximately 3.9km of The material behavior encountered in the
new four lane carriageway and a new section of completely weathered ignimbrite at Carrs Road
approximately 1.8km of two lane road adjacent to appeared to be non standard and a search of
Dey Street through Hamilton East. published information failed to find relevant
The majority of the proposed alignment research that could assist the design. Classical
traverses flat to gently sloping terrain, with the liquefaction techniques deal primarily with granular
exception of the northern portion of the alignment and non-volcanic materials and there is limited
that bisects several low hills. At the location of the research regarding strain softening. What research
retaining walls that are the subject of this paper, the is available appears to be material specific.
geometric design of the road alignment called for The design approach was to undertake
an 8m deep cutting to allow for the new road to extensive testing, both in situ and laboratory and to
pass under the existing Carrs Road. The narrow use these results to develop appropriate design
designation and deep cut created either oversteep parameters. Cantilever piled retaining walls were
slopes or significant retaining walls. required to limit the potential impacts on the
Geotechnical investigation was scoped to surrounding properties. The design determined
develop a ground profile for the design of the unacceptable deflections of these walls in the
bridge and the cut. The drillholes and CPT tests earthquake case and so alternative solutions were
showed a significant layer of volcanic material explored. Propping and anchoring were ruled out
(weathered unwelded ignimbrite of the Puketoka due to the proximity of the neighbouring properties
Formation, a soft silt and clay that can be sensitive) and cutting geometry. Ground improvement in the
with very low in situ strength test results, although it passive zone in front of the piles at ground level
initially appeared to be competent in investigation was selected as the design solution.
pits. On working by hand, the material lost its initial
structure and ‘popped’ releasing moisture and 2. Geology
becoming paste-like. These test results and
observations indicated that the material was The rolling hills around Hamilton city are the
potentially prone to softening when strained, remnants of an ancient plain that was extensively
highlighting a potential deformation issue during an eroded to form the characteristic isolated hills and
earthquake. long, sinuous ridges common around the city. The
ridges and hills were subsequently covered in
volcanic ash beds, commonly known as Hamilton is such that the test results are unrealistically low
Ash, up to 5m thick. Later sedimentation by the and as such were discounted.
Waikato River substantially inundated the rolling
hills to produce the modern broad plains of the
Waikato valley.
The Hamilton Ash formation caps the low hills of
the city and consists of rhyolitic tephra deposits
weathered to a firm to stiff dark brown and yellow-
brown clay. The Hamilton Ash overlies older alluvial
sediments of the Karapiro and Puketoka
formations. The Puketoka Formation comprises
beds of compact sand, interbedded with stiff clay,
silt and minor peat. In places, the Puketoka
Formation also includes unwelded pumiceous
ignimbrite, which locally is deeply weathered to a
soft, sensitive silt and clay. These unwelded
ignimbrites are the product of pyroclastic flows
(density currents) from distant rhyolite volcanoes
that have poured into the Hamilton basin. The
resulting Puketoka Formation consists mainly of the
distal parts of three thick ignimbrites together with
alluvium eroded from them. Figure 1. CPT qc results in the area of the retaining
At Carrs Road, the hills rise about 8.5m above walls
the level of the surrounding plain, diminishing in
height to the north and south. The ash at this
The correlation with the CPT qc tests gives an
location is approximately 3m thick and the
average strength of between 60 and 100kPa (given
unwelded, weathered ignimbrite varies in thickness
an average qc value of 1.2MPa).
from 4m to 10m thick. Underlying the weathered
Unconsolidated undrained triaxial tests were
soil is dense, relatively unweathered alluvial
also undertaken on two samples of the CW
pumiceous sand and gravel.
ignimbrite. The samples were taken using thin
walled steel tubes to minimise disturbance. The
3. Testing Results
test results returned undrained shear strength
values of 51.5 and 55kPa.
The Ash and residually weathered (RW) ignimbrite
Consolidated undrained triaxial testing (with
are relatively straight forward engineering materials
pore pressure measurement) was undertaken on
and will not be discussed in this paper. Beneath the
four samples from the CW ignimbrite. The tests
Ash and the RW ignimbrite is completely
were fairly consistent. A summary of the results is
weathered (CW) Puketoka Formation ignimbrite.
included in Table 1 below.
This material is an unwelded pumiceous ignimbrite
that is deeply weathered and presents as a
Table 1. Triaxial test results
sensitive clayey silt soil. There is a relict structure Unit
present in the material that, when destroyed by Confining
weight c’ φ’
Sample pressures
working, releases trapped moisture and turns the (γ) (kPa) (°)
(kPa) 3
sample to a very wet, soft material. This behaviour (kN/m )
BH 03 – 8.0m 100, 200, 400 14.7 12 30
means that traditional in situ testing such as CPTs
BH 03 – 11.0m 100, 200, 400 15.1 32 26
and SPTs which involve significant deformation, BH 04 – 7.5m 100, 200, 400 16.4 19 31
return extremely low results (N = 0 to 1, qc = BH 08 – 8.35m 100, 200, 400 15.6 20 28
1.2MPa) in contrast to the apparently good
undisturbed strength of the recovered core. Experience in similar materials in the area and
The CPT similarly destroys this structure and so back calculations of slopes and cuttings, indicates
returns relatively poor results (Average qc that the effective cohesion can be highly variable
approximately 1.2MPa) although these are better and should be used in design with caution. In
than the SPT. The CPT results are shown on addition, staged testing on samples has been
Figure 1. shown to overestimate effective cohesion (Fell,
Hand held shear vane tests undertaken in 2005).
recovered drillcore had peak shear strength results Following the traditional assessment and initial
of between 5 and 25kPa. Due to the nature of this design checks, there was still considerable
material, it is suspected that the core was disturbed uncertainty over the behavior of the CW ignimbrite,
during drilling and these test results are not especially during a seismic event. To obtain better
considered representative of the in situ shear data for the assessment and design, additional
strength. testing was undertaken. The Seismic Dilatometer
Due to the very dynamic nature of the SPT test, (sDMT, Marchetti 1975) was mobilized to site for in
it is considered that the disturbance to the structure situ testing and The University of Auckland (UoA)
was engage ed to undertake cyclic trriaxial testingg on

thin walle ed tube sampless re
ecovered from f
boreholes.
The flat plate shape of the dilatometer prrobe
has been sh hown to caus se less distu
urbance than the
CPT cone (Baligh an nd Scott 19 975) and so o is
expected to t give mo ore accuratte, undisturrbed
strength an nd stiffness correlations. The sDMT T is
fitted with geophones
g a
and so sheaar wave velo ocity
measureme ents can be taken at regu ular intervals.
UoA testted three samples of the e CW ignimbrite.
All three te ests were on o visually similar mate erial
however, the t results varied sig gnificantly. The
T
material loo oked to be relatively un ndisturbed once
o
extruded fro om the tubes s. One sample behaved very v
well during testing, with minimal stra aining even after
a
numerous cycles
c (overr 1000 cycle es to ru = 0.9).
0
Another sample displayyed near liq quefaction state
after appro oximately 10 00 cycles while
w the third
t
sample bec came unstab ble and effe ectively lique
efied
after only 3 cycles. This was consistent with w Figure 2.
2 sDMT CR
RR for Vs and
d KD
observation ns in the field of variable strength and
behavior. Boulanger and
a Idriss (20 007) published research
All test and samplling methods are likelyy to exaamining the susceptibility
s y of fine graiined soils to
cause disturbance to this material and a so it is lik kely stra
ain softening g. The metthod propos sed in their
that the rea al strength may
m be underestimated. The T papper was used d to assess the factor of safety
s and it
testing und dertaken on the relative ely undisturrbed shoowed the CW W ignimbritee had a factor of safety
samples taken using th hin walled steel
s tubes was
w agaainst strain so
oftening of b
below 1.
considered the most lik kely to be re epresentative e of The combin nation of th hese test results
r and
the real streength. asssessments confirmed tha at seismic deformations
d
couuld potentia ally be exccessive and d mitigation
ction Analys
4. Liquefac sis measures were warranted.
Initially, a screening
s ssessment was
as w underta aken 5. Retaining
R W Design
Wall
using Lique efy Pro (Civil Tech). This uses CPT data d
and follow ws the guid delines from m the NCE EER Givven that therre was an isssue identifiied with the
workshops (Youd and a Idriss 2001). This T behhaviour of thhe sensitive ignimbrite layer under
assessment identified layersl in thee overlying ash earrthquake load ding, a cutting was ruled d out and a
material as s potentiallyy liquefiable e but did not reta
aining wall chosen ass the desig gn solution.
indicate thee ignimbrite to o be cause for
f concern. The T Staabilising thee slope wa as a poten ntial option
ash is a stifff, insensitive
e clay and so o is not likely to connsidered. Ho owever, the behaviour of o soil nails
be prone to either liqueffaction or stra ain softeningg. was s uncertain given
g the sen nsitivity of the
e material.
The sD DMT gives the additio onal benefit of It was clearr from the o outset that th he sensitive
measuring shear wave e velocity. This
T is anotther matterial in the passive zone was unlikely to
parameter that
t can be used to calc culate the cyyclic perrform adequ uately as support for the wall
resistance ratio (CR RR), a me easure of the thro
oughout its design
d life. A number of options
o were
liquefaction potential of a soil. The CRR R is connsidered an nd ruled out includiing gravity
compared withw the cyclic shear ratio o (CSR) whic ch is stru
uctures, anc choring and propping. A cantilever
the expecte ed loading fro om the desig gn earthquake to walll with improoved ground in the pass sive support
get the likelihood of the material liqu uefying. zonne was chose en.
The CRR was calcu ulated using qc (from CPT) C The wall design procedure was s relatively
and vs and KD (from m sDMT). Of these th hree connventional. Material
M para
ameters were e developed
methods, both
b KD and vs showed that signific cant from
m field and laboratory testing, alth hough more
layers of th he CW ignim mbrite layer were
w potentially weiight was putt on the labo oratory testin ng as it was
susceptible to liquefactio on. Figure 2 shows the CSR C asssumed that the dynam mic nature of o the field
from the de esign earthq quake as a solid line. The T testting had da amaged the material structure and
diamond points
p are the
t cyclic resistance
r r
ratio wou uld therefore
e give unrealistically low results. The
(CRR) base ed on shearr wave veloc city (vs) and the reta
aining walls s were modelled usiing Wallap
stars are CRR based d on KD, a stress state (Geeosolve) an nd the en ngineering parameters
parameter obtained
o direectly from thee sDMT. devveloped fromm the testing results. At th his stage the
potential for the soil to losse stiffness or strength
was s ignored annd the deflecctions under the various
loadd cases were e assessed.
Predicted deflections were up to 100mm at the 8. Conclusions

top of the wall in the long term (drained) case.
During the design ULS seismic event, up to 150mm It is clear from the assessment undertaken in the
of lateral movement is expected at the top of the course of the design of these retaining walls that
wall. This level of movement was assessed as the volcanic materials in the Waikato Basin are not
being low enough to not cause damage to well understood, particularly pumiceous soils.
neighbouring properties. Traditional investigation techniques such as SPT
The design was split into three sizes. Bored and CPT potentially underreport the strength of the
reinforced concrete piles450mm, 600mm and material leading to overconservative design.
900mm in diameter and of varying retained heights Sampling for laboratory testing can also create
up to 5.5m were specified. The piles had to extend disturbance and so could also lead to lower test
through the CW ignimbrite into the dense sand and results that are not representative. This behaviour
gravel below. Without keying into the underlying however indicates that these soils can be sensitive
dense layer, deflections and overturning factors of and may be prone to softening during an
safety were unacceptable. earthquake. Additional research in these soils will
help to determine the engineering behavior and
6. Deep Soil Mixing assist in optimising the design of structures.
The sDMT, while relatively new to New Zealand,
The ground improvement contractor was engaged is well proven overseas and has good potential in
to undertake an assessment and design for ground sensitive soils due to the reduced disturbance of
improvement to limit deformations to those deemed inserting the blade when compared to a CPT or
acceptable in the previous phase of design. The SPT. Research is being undertaken to confirm the
retaining wall design had assumed unsoftened validity of overseas DMT research in New Zealand
behaviour and so the brief for the ground soils.
improvement was to provide enough confinement A robust design was developed by careful
or improvement to prevent the onset of strain consideration of the observed material behaviour
softening or liquefaction. The contractor undertook and targeted testing to confirm the design issues
a detailed design and optimised the ground and parameters.
improvement design to match the required Given the low deflections measured at time of
deflections determined in the design. writing, back analysis of the stiffness of the
The ground improvement design was a improved soil block compared to in situ testing
triangular grid of deep soil mixed (DSM) columns. could provide more information on the engineering
The columns are formed by twisting an auger head behaviour of the materials. sDMT testing has been
into the ground and pumping cement grout under undertaken by the ground improvement contractor
high pressure to the tip. This cuts the in situ soil before and after installation of the DSM columns.
and mixes it with the grout, resulting in a This data could be used in a back analysis of the
reasonably uniform soil/cement mix. QA testing wall performance and compared against the
during ground improvement construction showed measured wall deflection.
that the columns had UCS of 6 to 8MPa, higher
than the design requirement. 9. References
DMT testing before and after the installation of
the DSM columns showed improvement in the test Baligh, M.M. & Scott, R.F. (1975), Quasi Static Deep
results. Penetration in Clays, ASCE Jnl GE, Vol. 101, No.
GT11: 1119-1133.
7. Construction Observations Boulanger, R.W & Idriss, I.M. (2007), Evaluation of
Cyclic Softening in Silts and Clays, Journal of
Geotechnical and Geoenvironmental Engineering. Vol
During construction, the piling contractor 133. No 6, 641 – 652.
encountered difficulties constructing the piles. Due Fell R. MacGregor P. Stapledon D. & Bell G. (2005),
to the difficult ground conditions, casing was Geotechnical Engineering of Dams, 242 – 243 s
required for all piles to the dense sand founding 6.1.4.1 (iv), A.A. Balkema Publishers.
layer. Despite this, many piles suffered overbreak Marchetti S. (1975) "A New In Situ Test for the
or partial hole collapse on extraction of the casing. Measurement of Horizontal Soil Deformability", Proc.
Testing was undertaken on all piles and a number Conf. on "In Situ Measurement of Soil Properties",
were identified with potential deficiencies in ASCE Spec. Conf., Raleigh. 2. 255-259.
McCraw, J. (2011). The wandering river, landforms and
structural section. Steel reinforcing cages were geological history of the Waikato Basin. Geoscience
often not centred in the pile and significant remedial society guidebook 16. Geoscience Society of New
work was required after the walls had been Zealand.
excavated to design level to ensure minimum cover Youd T.L. & Idriss I.M, (2001), Liquefaction Resistance of
was achieved and to improve pile cross sections Soils: Summary Report from The 1996 NCEER and
that had been reduced. The deflections of the walls 1998 NCEER/NSF Workshops on the Evaluation of
were monitored using inclinometers. At the time of Liquefaction Resistance of Soils, Journal of
writing, monitoring was ongoing but all deflections Geotechnical and Geoenvironmental Engineering,
Vol. 127, No. 4, April, 2001, 297 – 313.
were well within the design predictions.
EFFECTS OF SOIL MOISTURE ON SHEAR AND DILATATIONAL

WAVE VELOCITIES MEASURED IN LABORATORY TRIAXIAL
TESTS
EFFET DE LA TENEUR EN EAU D'UN SOL SUR LES VITESSES D'ONDE DE
CISAILLEMENT ET DE DILATATION MEASURÉES SUR ESSAI TRIAXIAL DE
LABORATOIRE
1 2
Muhammad IRFAN , Taro UCHIMURA ,
1
PhD Candidate, The University of Tokyo, Tokyo, Japan
2
Assistant Professor, The University of Tokyo, Tokyo, Japan
ABSTRACT - Study of moisture variation in soil slope is vital for effective prediction of landslides/slope
failures. An idea to predict slope moisture variation during heavy rainfall, by monitoring wave velocity
changes in soil is presented. A series of triaxial tests were conducted on unsaturated sand specimens with
varying moisture content. A unique set of flat surfaced piezoelectric transducers named as disk transducers,
capable of measuring both shear and dilatational wave velocities over the same travel path, were used to
monitor the variation of elastic wave velocities with changing soil moisture. Both shear and dilatational wave
velocities were found to decrease with increasing soil moisture. The decrease in wave velocities as
saturation ratio is increased from 20% to 80% was significant enough to be used as an indicator of moisture
increments in real slope.
1. Introduction wave) and dilatational wave (P-wave) velocities in

unsaturated soil specimens (construction details
Landslides are among the most devastating natural can be found in (Irfan & Uchimura, 2013b). A novel
disasters claiming numerous lives and destroying disk type piezoelectric transducer (referred as disk
invaluable infrastructure around the world. transducer hereinafter) was fabricated and sealed
According to GLIDE number statistics of landslide to the pedestal and top cap for generation and
disasters about 63% of all the landslides are measurement of elastic wave velocities. Instead of
triggered by rainfall (www.glidenumber.net). the more commonly used bender elements, the use
Monitoring soil moisture content is necessary for of disk transducers was advantageous as they
effective prediction of landslides (Uchimura et al., enabled the measurement of both P-wave and S-
2010). Typical instrumentation to indicate soil wave velocities. Also the non-intrusive nature of
moisture in unsaturated soils includes ceramic disk transducer reduced disturbance caused to soil
cups or tensiometers for determining soil suction, specimen (further construction details can be found
and dielectric moisture sensors for measurement of in Irfan and Uchimura (2013a)). The modified
volumetric water content of soil (Uchimura et al., pedestal housing a disk transducer at its center is
2010; Ramesh & Vasudevan, 2012). All such shown in Fig. 1.
sensors are however, point sensors and hence, Edosaki sand procured from a pit trench in
sensitive only to local moisture content changes in Tsukuba, Japan was used for this study. Fig 2
the vicinity of the sensor. To cover a wide potential shows typical particle size distribution of material
landslide area, a large number of such sensors
would therefore be required. The variation of soil
moisture in slope surface can however be
predicted by monitoring elastic wave velocity in soil.
A pair of elastic wave exciter and receiver device
installed on the slope surface can monitor soil
moisture changes over a considerably large area.
This paper covers preliminary studies on the
variation of shear and dilatational wave velocities
with soil saturation. Test results and related
discussions from a series of triaxial tests conducted
to explore the aforementioned effect are presented
hereinafter.
2. Experimental Setup and Methodology Figure 1: Modified pedestal showing the

arrangement of piezoelectric disk transducer.
Top cap and pedestal of a typical triaxial setup was
modified to enable measurement of shear wave (S-
first arrival of S-wave may not correspond to the

actual arrival of shear wave but rather to the arrival
of the so called “near-field” component, which
travel with the velocity of P-wave (Sanchez-
Salinero et al., 1986). Shear wave travel time was
thus calculated as the difference between the start
of transmitted signal and the start of first major
positively polarized up rise; i.e. “first-zero cross
over” method (Lee & Santamarina, 2005). By
knowing the wave travel time ‘t’ from received
signal, and travel distance ‘H’ (equivalent to
specimen height), wave velocity can be computed
by using a simple expression;
Figure 2: Particle size distribution of Edosaki
sand. Vp or Vs = H/t (1)
where, Vp and Vs represents dilatational and shear

Table 1: Physical properties of Edosaki sand.
wave velocity respectively and t is the
Property Value corresponding travel time for dilatational or shear
Specific gravity, Gs 2.639 wave.
Minimum void ratio, emin 0.647 Cylindrical triaxial specimen (75 mm in diameter
Maximum void ratio, emax 1.160 and 150 mm in height) were prepared by wet
Fines (%) 9 tamping Edosaki sand to a predefined density.
Maximum dry density (g/cm3) 1.762 Placement moisture content was controlled to
Optimum moisture content (%) 14.6 prepare specimens with initial saturation ratio of 0%
(dry), 9%, 20%, 45% and 74%. Also tested were
two additional saturated specimens having
used. Particles larger than 2 mm were removed Skempton’s B-value of 0.80 and 0.97. Each
through sieving. Table 1 summarizes physical specimen was subjected to isotropic confining
properties of Edosaki sand employed for this study. stress of 20 kPa, 50 kPa, 100 kPa, 150 kPa, 200
Transmitter disk transducer, sealed to the kPa and 300 kPa, with P-wave and S-wave
pedestal, was excited by a single cycle of 10 kHz or velocities measured at each stress level, as shown
15 kHz sinusoidal wave for generation of P-wave or in Fig 4.
for S-wave respectively. An excitation voltage of
4.5 Vpp (Vpp = peak-to-peak voltage) generated by 3. Wave Propagation in Elastic Medium
a function generator was amplified to 90 Vpp and
fed to the transmitter disk transducer. The wave From elastic continuum mechanics shear wave
travelled through the soil specimen and was velocity (VS) and dilatational wave velocity (VP) can
received at the top cap by receiver disk transducer be expressed as;
which transferred the signals to oscilloscope to be
digitally displayed. Time of flight of each wave
through soil specimen was then computed by VS G U (2)
analyzing received signals as shown in Fig. 3. As VP M U (3)
dilatational waves are the fastest propagating
waves through soil, thus were identified by the first
deflection of receiver signal (Fig. 3a). However, the where G is shear modulus, M is constrained
(a) P-wave (b) S-wave

Figure 3: Typical elastic wave propagation signals in Edosaki sand (a) P-wave, and (b) S-wave
compression modulus, and is the bulk density of pressures (results only during unloading path are
soil. Elastic wave propagation in soils is a function shown). As explained in previous section, results
of void ratio and mean effective stress. A functional have been normalized to e=0.673, and Ǆb=1.612
relationship representing the dependency of wave g/cm3 in order to simplify the comparison. Clear
velocity on void ratio was proposed by Hardin and relationship between saturation ratio and wave
Richart (1963) and is given as; velocities can be observed. It is notable that both
G A f (e) (V ' m ) n
(4)
where,
(a e ) 2
f (e ) (5)
1 e
where, parameter a is equal to 2.17 or 2.97 for

round grained or angular sand respectively, A is a
fitting parameter reflecting soil fabric formed
through various stress-strain histories, n is
dimensionless parameter, and ’m is mean effective
stress acting on soil. Figure 4: Stress path; wave velocities were
In order to study the effects of saturation ratio recorded at dotted points.
on wave velocities all the other variables
influencing wave velocities had to be maintained
constant. Besides mean effective stress, wave
velocities are function of void ratio and bulk density
of soil (equations 2-5). To facilitate comparison of
different test specimens, an attempt is therefore
made to maintain void ratio of all the specimens
constant. However, on increasing isotropic
confining stress from 20 kPa to 300 kPa, each
specimen underwent volumetric compression,
thereby causing significant reduction in void ratio
(Fig 5). Wave velocity readings were therefore
recorded not only during loading the specimen from
20 kPa to 300 kPa but also during unloading from
Figure 5: Variation of specimen void ratio during
300 kPa, as shown in Fig. 4. The corresponding
loading and unloading.
variation of void ratio during unloading path was
observed to be very small, i.e. of the order of 0.01
(Fig. 5). Hence, wave velocities obtained only
during the unloading path are used for discussion
in this paper. Fig. 6 shows typical variation of P- Sr = 45%
wave and S-wave velocities during loading and
unloading of isotropic stress.
Additionally, volumetric compression of
specimens with different saturation ratio, under the
final isotropic stress of 300 kPa, was different, as
depicted by Fig. 5. Initial density of each specimen (a)
was therefore controlled to achieve a nearly
uniform void ratio during unloading from 300 kPa.
However, as evident from Fig. 5, very small
discrepancy in void ratios of various specimens
was inevitable. Even if the void ratios of various
specimens are assumed equal, difference in water Sr = 45%
content would result in different bulk density of
each specimen. By using equations 2-5, wave
velocities were therefore normalized corresponding
to void ratio, eo=0.673, and bulk density, Ǆb=1.612
g/cm3. Thus, the comparison between samples with
different water contents would be simplified. (b)
4. Effects of Saturation on Wave Velocities

Figure 6: Typical variation of wave velocities
Fig. 7 summarizes the effects of saturation ratio on along stress path. (a) P-wave, (b) S-wave
P-wave and S-wave velocities at various confining
wave velocity) beyond which soil matric suction

governs wave velocity. Increase in saturation ratio
beyond optimum saturation results in loss of matric
suction. The corresponding decrease in effective
stresses causes reduction in wave velocity, as
seen in Fig. 7.
Considering the application of these results for
predicting landslides, the initial saturation ratio on
slope surface may be around 30% which increases
to 80%-90% during heavy rainfall. From Fig. 7 it
can be deduced that, the corresponding reduction
in P-wave and S-wave velocities would be around
30%-40%. This reduction in wave velocities is
prominent enough to be used for landslide
prediction.
5. Conclusions
An idea to watch soil moisture contents on potential

landslides, by monitoring corresponding elastic
wave variations is proposed. A series of triaxial
tests were conducted to examine the effect of water
saturation on shear and dilatational wave velocities.
Both shear and dilatational wave velocities were
found to decrease with increasing saturation ratio.
The reduction in wave velocities was found to be
significant enough to be used as an indicative to
predict landslides.
6. References
Figure 7: Influence of saturation ratio on wave Hardin, B. O., & Richart, F. E. (1963). Elastic wave
velocities at various confining pressures. (a) P- velocities in granular soils. J. Soil Mech. and
wave, (b) P-wave (Zoomed-in), and (c) S-wave Found. Div., ASCE, 89(1), 33-65.
velocity Irfan, M., & Uchimura, T. (2013a). Criteria for
determining Gmax in laboratory element tests
P-wave and S-wave velocities for dry soil are low using disk type piezo-elements Proceedings,
and they increase to a peak value at around 20% 10th International Conference on Urban
saturation ratio. Increasing saturation ratio beyond Earthquake Engineering, 1-2 March 2013,
the peak value of 20% causes a decrease in both Tokyo, Japan. 555-560.
P-wave and S-wave velocity. However, for Irfan, M., & Uchimura, T. (2013b). A modified
saturated specimens P-wave velocity approaches triaxial apparatus for measurement of shear and
sonic wave velocity in water (Fig. 7a); as under compression waves during water injection in
saturated conditions P-wave propagates through unsaturated soils. Proceedings, 13th National
the water phase instead of soil skeleton Conference on Geotechnical Engineering, 14-15
(Tsukamoto et al., 2002). Ignoring saturated March 2013, Lahore, Pakistan. 20-28.
conditions, the trend of P-waves is identical to S- Lee, J., & Santamarina, J. (2005). Bender
wave velocities (Fig 7b). No such abnormality is Elements: Performance and Signal
however observed in S-waves velocity under Interpretation. J Geotech. Geoenviron. Eng.,
saturated conditions (Fig. 7c). 131(9), 1063-1070.
A qualitative explanation for such behavior of Ramesh, M., & Vasudevan, N. (2012). The
wave velocity can be given on the basis of particle deployment of deep-earth sensor probes for
contact points and matric suction. For dry soil landslide detection. Landslides, 9(4), 457-474.
specimen no capillary forces exist and wave is Sanchez-Salinero, I., Roesset, J. M., Stokoe, I., &
transmitted only through inter-particle contact Kenneth, H. (1986). Analytical studies of body
points. However, on increasing saturation ratio, a wave propagation and attenuation. Texas Univ
thin layer of adsorbed water surrounds soil at Austin Geotechnical Eengineering Center
particles. In these condition wave propagates Report GR 86-15: DTIC Document.
through inter-particle contact points plus the soil- Tsukamoto, Y., Ishihara, K., Nakazawa, H.,
water meniscus points, hence increasing wave Kamada, K., & Huang, Y. (2002). Resistance of
velocity. This trend continues unless soil reaches partly saturated sand to liquefaction with
optimum saturation (corresponding to maximum
reference to longitudinal and shear wave

velocities. Soils and foundations, 42(6), 93-104.
Uchimura, T., Towhata, I., Lan Anh, T., et al.
(2010). Simple monitoring method for precaution
of landslides watching tilting and water contents
on slopes surface. Landslides, 7(3), 351-357.
STUDY ON LONG-TERM SUBSIDENCE OF SOFT CLAY DUE TO

2007 NIIGATA PREFECTURE CHUETSU-OKI EARTHQUAKE
ÉTUDE DES TASSEMENTS À LONG TERME D'ARGILE MOLLE DUS AU
SÉISME DE LA PRÉFECTURE DE NIIGATA CHUETSU-OKI EN 2007
1 1
Koichi ISOBE , Satoru OHTSUKA
1
Nagaoka University of Technology, Nagaoka, Japan
ABSTRACT – Long-term subsidence has been observed in Kashiwazaki City after the 2007 Niigata
Prefecture Chuetsu-Oki Earthquake. The present study was conducted to investigate the mechanism of this
long-term subsidence through ground investigations in the form of a boring survey and laboratory tests on
soil samples. The results showed that the samples were very soft and relatively highly structured. In the
study’s second part, ground subsidence was simulated via soil-water coupling elasto-plastic FE analysis. In
the simulation, the Cyclic Mobility model developed by Zhang et al. (2007), which incorporates the concepts
of subloading and superloading used as the constitutive model with parameters determined in line with the
laboratory test results. Based on the outcomes of the simulation, the post-quake behavior of soft clay and
the related mechanism were elucidated, and the progress of subsidence was predicted.
1. Introduction and after the earthquake, and Figure 2 shows a

terrain classification map of the area. The zone in
The Niigata Prefecture Chuetsu-Oki Earthquake which ground subsidence was observed before the
that hit Japan on July 16th, 2007, killed 11 people quake is mainly located on land consisting of soft
and damaged more than 6,000 residences. The alluvial clay, while that in which it developed after
quake registered 6.8 on the magnitude scale of the the quake is located near the sea and is mostly
Japan Meteorological Agency (JMA), and a covered by the above-mentioned area. Stratified
Kyoshin Net (K-net) accelerograph measured a subsidence and ground water levels were
maximum ground acceleration of 813 Gal and a measured by Niigata Prefecture officials in the
maximum seismic intensity of 6 upper in Shinbashi district (marked as B in Figure 2) from
Kashiwazaki City hall. The results of a ground 1989 to 2011, and Figure 3 shows temporal
subsidence survey conducted by Niigata Prefecture changes in ground water level and cumulative
officials in the Shimbashi district of Kashiwazaki subsidence to a depth of 23 m. It can be seen from
City indicated that long-term ground subsidence the figure that subsidence progressed rapidly after
has continued there since the quake occurred. the quake of 2007 and continued for over three
To investigate the cause of earthquake-related years. However, this was not caused by
long-term subsidence in soft clay ground, boring consolidation of soft clay due to changes in the
investigation involving standard penetration tests ground water level because no drastic changes in
(SPTs) was conducted in this study in the vicinity of water level were observed in the area.
a site where ground subsidence was observed. To pinpoint the cause, boring investigation
Static and cyclic CU triaxial tests were also carried involving standard penetration tests (SPTs) was
out to clarify the mechanical characteristics and carried out in the vicinity of a site where ground
liquefaction strength of Kashiwazaki clay. subsidence was observed, and the area’s soft clay
Subsequently, soil-water coupling elasto-plastic was sampled. Figure 4 shows geological columns
finite element analysis was performed with soil of the area based on the results of the authors’
parameters determined from the above element boring investigation and information from the
test results to simulate the observed subsidence. In Hokuriku Geological System database. Land in the
this study, the cause of long-term subsidence in Shinbashi district consists mainly of very soft clay
soft clay was discussed and future subsidence was with N values ranging from 0 to 2. Small pieces of
mathematically predicted based on the results of weathered shells are seen from a depth of around
simulation. 11.0 m, and more significant shell presence is
observed from around 14.0 m. The soft clay layer
extends to a depth of 21 m and sits on a silt layer
2. OVERVIEW OF GEOGRAPHICAL with an N value of approximately 10. The silt layer
CONDITIONS IN KASHIWAZAKI CITY extends to a depth of 50 m with N values of more
than 50, making it suitable as engineering
Figure 1 shows a map of the city highlighting foundation ground. In contrast, the soft clay layer in
cumulative ground subsidence both before 2009 the area around point D is thinner than that around
Figure 3. Temporal changes in ground water level

and cumulative subsidence to a depth of 23 m.
point C. Sand dunes with N values of more than 10

cover the clay and silt layers at point A near the
sea. It is clear that the zone in which extensive
Figure 1. Cumulative ground subsidence before
post-quake subsidence was observed corresponds
2009 and in Kashiwazaki City.
to the area of the thick alluvial clay layer.
3. SOFT CLAY SAMPLE PHYSICAL

PROPERTIES AND MECHANICAL
CHARACTERISTICS
As there is a difference in the amount of

contamination by weathered shells between the
shallow and deep clay layers, intact samples were
obtained from depths of G.L. -16.7 - 19.0 m and
G.L. -9.0 m - 11.7 m in the Shinbashi district of
Kashiwazaki City. The physical properties are
shown in Table 1. It can be seen that samples from
both depths have a high natural water content and
plasticity index, and consist of more than 50% clay.
Subsequently, oedometer tests and static and
Figure 2. Kashiwazaki City terrain classification.
repeated CU tri-axial tests were carried out to
clarify the consolidation characteristics of the
Table 1. Kashiwazaki clay physical properties.
Clay
samples from both depths. Two specimens types
3
Specific gravity [g/cm ] Gs 2.68 were created: (1) intact specimens, and (2)
Plasticity index [%] Ip 48.6 reconstituted specimens made from a slurry
Liquid limit [%] wl 87.0 sample with water added after the above tests. To
Plastic limit [%] wp 38.4 achieve a high degree of saturation, vacuum
Natral water content [%] wn 73.5
conditions were applied to both the cell and the
sample interior. The specimen was isotropically
consolidated for 18 hours under confining
Figure 4. Geological columns for Kashiwazaki City based on boring investigation carried out
by the authors and information from the Hokuriku Geological System database
(A – D correspond to the areas on the map shown in Figure 1).
pressures of 50 - 200 kPa. In order to examine 3.0 Intact (G.L. -16.7m ~ -19.0 m)
Reconstituted (G.L. -16.7m ~ -19.0m)
static shear strength and liquefaction strength, Intact (G.L. -9.0m ~ -11.7m)
Reconstituted (G.L. -9.0m ~ -11.7m)
2.5
static and cyclic tests were performed by applying
deviator stress at a loading rate of 0.021 mm/min Compression index ratio
Void ratio e
2.0 c /c = 1.40
c cr
and uniform sinusoidal cycles of deviator stress at

a frequency of 0.01 Hz with a varying cyclic stress 1.5
ratio under constant cell pressure. Compression index ratio
c /c = 2.25
Figure 5 shows the e-logp’ relationship 1.0 c cr
observed in the oedometer tests for the specimens

0.5
from the shallow and deep layers. It can be seen 1 10 100 1000 10000
that the intact specimens from each layer exhibited Consolidation pressure (kPa)
characteristics of high compression after

application of consolidation yield pressure (about Figure 5. e-logp’ relationship for intact and
140 kPa) compared to those of the reconstituted reconstituted samples.
specimens. The compression index ratio (defined
as the ratio of the compression index of the intact 250 250
50kPa Exp 50kPa Sim 50kPa Exp 50kPa Sim
samples to that of the reconstituted samples) 200
100kPa Exp 100kPa Sim
200
100kPa Exp 100kPa Sim
Deviator stress (kPa)

150kPa Exp 150kPa Sim 150kPa Exp 150kPa Sim
values for the shallow and deep layers were 1.40
Shallow layer Shallow layer
and 2.25, respectively. According to Asaoka et al. 150 150
(2000), clay obtained from deep layers is 100 100

characterized by lightly structured. The layers in the
50 50
vicinity of the ground surface at the site have been
over-consolidated, as the consolidation yield stress 0 0
0 5 10 15 0 50 100 150 200 250
of samples from both depths was about 140 kPa. Mean effective stress (kPa) Mean effective stress (kPa)
Figure 6 shows the relationship between 250 250
deviator stress and axial strain, and the effective 50kPa Exp
100kPa Exp
50kPa Sim
100kPa Sim
50kPa Exp
100kPa Exp
50kPa Sim
100kPa Sim
stress paths of the static CU tri-axial tests for the 200 150kPa Exp 150kPa Sim 200 150kPa Exp 150kPa Sim

intact specimens sampled from both layers. For the 150 Deep layer 150 Deep layer
deep-layer samples with confining pressure values

100 100
of 50 kPa and 100 kPa, the mean effective stress
decreased with greater excess pore water pressure 50 50
(EPWP) and the mean effective stress increased
0 0
after the stress path reached the critical state line 0 5 10 15 0 50 100 150 200 250
(CSL), meaning that the volume of the soil skeleton Axial strain (%) Mean effective stress (kPa)
decreases after the deviator stress turned down.

This indicates that the samples exhibited Figure 6. Static triaxial test simulation for intact
compression-softening behavior and were lightly samples from the shallow and deep layer.
structured. However, such behavior was not
observed in the samples with confining pressure Table 2. Soil parameters used in the simulation.
Shallow layer Deep layer Silt
values of 150 kPa due to structural collapse during Compression index O 0.264 0.214 0.104
the isotropic consolidation process up to more than Swelling index N 0.080 0.031 0.010
Stress ratio at critical state Rf 3.500 3.500 3.000
consolidation yield stress before shearing. Void ratio (p ' = 98 kPa on N.C.L) N 1.610 1.540 0.920
Q
Conversely, the samples from the shallow layer Poisson's ratio
Degradation parameter of overconsolidation state m
0.330
5.000
0.330
15.000
0.200
2.200
showed typical behavior of over-consolidated soils, Degradation parameter of structure a 2.200 1.200 0.100
Evolution parameter of anisotropy br 0.100 0.100 0.100
and the deviator stress when the stress path Initial mean effective stress [kPa] p' 8 ~ 73 78~111 117~295
reached the CSL was slightly greater than that for Initial degree of structure R0* 0.950 0.600 0.100
Initial degree of overconsolidation 1/R 0 1.9~19 1.3~1.8 2.500
the sample from the deep layer subjected to the Initial anisotropy ] 0.000 0.000 0.000
k
same conditions of confining pressure loading. Permiablity [m/sec]
3
J sat
1.00E-09
15.36
1.00E-09
15.66
1.00E-07
17.00
Saturated unit weight [kN/m ]
Unit weight under water [kN/m ]
3
J' 5.36 5.66 7.00
4. NUMERICAL SIMULATION exhibit close correspondence to the experimental

results except in the case of high confining
The Cyclic Mobility model developed by Zhang et pressure. Soil was not sampled from the silt layer in
al. (2007), which incorporates the concepts of previous field investigations because no
subloading and superloading as described by subsidence was observed there. In this simulation,
Hashiguchi and Ueno (1977) and Asaoka et al. the values for typical silt such as Fujinomori clay
(2002), was used as the constitutive model. were used as parameters for the silt layer.
Figure 6 shows the performance of the element The DBLEAVES soil-water coupling FE analysis
simulation for the behavior of clay in undrained code (Ye et al., 2007) was used in the study’s
static compression tests. The values of the material simulation. The FE model is simplified to a one-
parameters and the initial conditions used in the dimensional column of soil elements measuring 1
simulation are listed in Table 2. It can be seen from m in width, length and height. Here it is assumed
this information that the simulation results that the ground is level, and the effects of terrain
geometry are not taken into account in the 500
Response acceleration (gal)

simulation. The boundary conditions are as follows: 250
(a) The bottom of the ground is fixed. (b) In
0
dynamic analysis, an equal-displacement-boundary
condition is applied between nodes in two sides of -250
Response
the ground; when the analysis is shifted to Input
-500
consolidation, the boundary condition is changed to 0 40 80 120 160 200 240 280
Time (sec)
a fixed one. (c) The ground surface is set with a
drainage condition, while the other surfaces are
impermeable. Figure 7. Time history of response acceleration
In the numerical simulation, the process of
Cumulated subsidence (mm)

shaking is represented via dynamic soil-water 0
50
coupled analysis, while the process of EPWP
100
dissipation is simulated via static consolidation
150
analysis. As the whole process is continuous, it
200
should be simulated as an ongoing sequence. The Observation
250 Calculation
simulation is divided into two stages as follows: (a) 300
dynamic analysis is conducted for 280 seconds 11 115 3 31 150
(days) (years)
until shaking stops, and (b) consolidation is
conducted over a period representing 150 years
until EPWP dissipates completely. The initial stress Figure 8 Time history of cumulative ground
field is calculated in advance via self-weight static subsidence of the ground surface
analysis. The value of the initial OCR is based on
Excess Pore Water Pressure Ratio
that of the initial stress and the clay’s consolidation 0.40

45m 35m 25m 15m 5m
yield pressure. Figure 7 shows the input wave used 0.35

in the simulation as applied at the bottom of the 0.30
0.25
analytical domain. Stiffness proportional damping 0.20
with a ratio of 5% was applied for the damping 0.15
0.10
model, and the Newmark-E method was used for 0.05
time integration. 0.00
100 200 300 1 30 60 90 120 150
Figures 7 through 9 show time histories of (sec) Time (year)
response acceleration at the ground surface,
cumulative ground subsidence of the layer from the Figure 9. Time history of the EPWPR
ground surface to a depth of 23 m and the excess
pore water pressure ratio (EPWPR). It can be seen
from these figures that response acceleration at the excess pore water pressure and its slow
ground surface was amplified up to 500 Gal and dissipation. This phenomenon was found to last
that slight shaking lasted until 100 sec. Ground for a long time due to low permeability and
subsidence began to gradually increase soon after compression softening in the structured clay.
the shaking finished, showing close 3. The seismic intensity of earthquakes has a
correspondence to the observation results, and significant influence on cumulative subsidence.
continued for 150 years with a cumulative total of 4. Based on the simulation results, excess pore
250 mm. This subsidence was caused by the water pressure conditions and ground
generation of EPWP in the shallow clayey layer subsidence can be expected to continue for
due to shaking, and pressure dissipation took such more than 100 years after the earthquake.
a long time because of the ground’s low
permeability. Although EPWP generation was also
observed in the silt layer, cumulative ground Asaoka, A., Nakano, M., Noda, T., Kaneda K.
subsidence was less than that in the clayey layer (2000). Delayed compression/consolidation of
because the compression and swelling index natural clay due to degradation of soil structure.
values and the degradation parameter of the over- Soils and Foundations, vol. 40, n°3, pp. 75-85.
consolidation state were smaller. Hashiguchi, K. and Ueno, M. (1977). Elastoplastic
constitutive laws of granular material,
Constitutive Equations of Soils. Proceedings,
5. CONCLUSIONS 9th ICSMFE, Spec. Ses. 9 (eds. Murayama, S.
and Schofield, A. N.), JSSMFE, pp. 73-82.
The findings of the study can be summarized as Ye, B., Ye, G., Zhang, F. and Yashima, A. (2007).
follows: Experiment and numerical simulation of
1. Ground subsidence observed before the 2007 repeated liquefaction-consolidation of sand.
Niigata Prefecture Chuetsu-Oki Earthquake was Soils and Foundations, vol. 47, n°3, pp. 547-558.
caused by ground water being pumped up. Zhang, F., Ye, B., Noda, T., Nakano, M., Nakai, K.
2. The long-term subsidence observed after the (2007). Explanation of cyclic mobility of soils:
quake can be explained by the generation of Approach by stress-induced anisotropy. Soils
and Foundations, vol. 47, n°4, pp. 635-648.
SOIL-FOUNDATION-STRUCTURE INTERACTION IN DEMAND

SPECTRA
INTERACTION SOL-FONDATION-STRUCTURE EN SPECTRES DE DEMANDE
Anna KARATZETZOU
Department of Civil Engineering, University of Thessaloniki
Laboratory of Soil Mechanics, Foundations & Geotechnical Earthquake Engineering
Research Unit of Geotechnical Earthquake Engineering and Soil Dynamics
P.O.B. 424, 54124, Thessaloniki, GREECE
ABSTRACT - Seismic demand of soil-foundation-structure interaction (SFSI) systems is evaluated herein in

the light of performance-based design approaches, accounting for soil-foundation compliance effects. Due
to kinematic and inertial interaction, structural response may be substantially different from the one
traditionally calculated. For a linear SFSI system, seismic demand is identical to the notion of seismic
performance and unique for every system. We evaluate seismic demand using three approaches: a) the
traditional fixed-base-on-free-field approach, b) a finite element numerical code and c) the analytical
approach proposed in FEMA440. We propose use of effective foundation motion (EFM) to estimate
demand. EFM is measurable directly from actual records and field measurements, takes into account inertial
and kinematic interaction and gives a good estimation of structural response, compared to the direct
method.
1. Introduction SFSI using actual earthquake records at the

foundation level, or when the whole SFSI
One of the widely used methods to evaluate phenomenon is being studied using the direct
structural response in the light of performance- method.
based design is the capacity spectrum method The aim of this paper is to highlight the effects
(CSM), originally developed by Freeman, 1975 and of SFSI on structural response for the simple case
extended later by Fajfar and Gaspercic, 1996. In of linear systems. For linear elastic systems, soil-
both approximations, performance of a structure is foundation compliance affects directly seismic
evaluated as the intersection of the capacity curve demand (Pitilakis and Karatzetzou, 2012).
with the demand spectrum in Acceleration- Moreover, as it will be further explained, spectral
Displacement Response Spectrum coordinates. demand and performance are notions practically
The capacity curve is obtained by standard identical for flexible-base linear elastic structures,
nonlinear static procedures. The demand spectrum as only one pair of demand spectral coordinates
is usually estimated from free-field motion (FFM). exists, a unique performance point for any SFSI
Effects of SFSI on dynamic structural response system.
were neglected until recently, when influence of
foundation compliance on design and assessment
was highlighted (Mylonakis and Gazetas, 2000). 2. Evaluation of elastic performance of
Even when SFSI effects are considered, kinematic structures
interaction effects on foundation input motion (FIM)
are neglected in most cases in the analyses. Three different approaches are presented for the
However, there is FEMA440 simple approximation estimation of seismic performance of structures.
in order to consider the effect of the kinematic
interaction effects on structural response of shallow 2.1. Fixed base structure with free field motion
foundations. However, even if the kinematic
interaction effects are considered, the inertial In engineering practice, seismic demand to
interaction effects on FIM are neglected at this dynamic excitation is calculated directly from the
methodology. FIM is probably not a proper index of free-field motion (FFM). Free-field response is not
the complete soil-foundation-structure interaction influenced by the presence of structures and thus
phenomenon. demand for all systems is the same irrespectively
According to Iguchi et al., 2001, more the dynamic characteristics of the soil-foundation-
appropriate index expressing SFSI effects on structure system. Such an approximation is
seismic input is the effective input motion (EIM), irrelevant for structures founded on soft soil
including effects of both inertial and kinematic profiles.
interaction effects. The EIM is useful when studying
2.2. Direct FEM kg/m3. Plane strain conditions are assumed for
both soil layer and elastic bedrock. The foundation
Direct finite-element approach for the whole SFSI is a surface, rigid foundation and simulated by
system is used herein for two reasons (a) to linear elastic beam elements.
calculate the response at the foundation in a single The structure represents a typical single-column
step. The performance point of the flexible-base bridge pier having a cylindrical cross section, which
system is estimated from the demand that stems is common choice for bridges in Europe. The
from the response at the foundation level, in structure is simulated by linear elastic beam
combination with the effective period of the system elements. The structural mass is assumed to be
TSFSI. (b) To estimate the response at the top of the lumped at the top of the pier. The damping for soil
structure directly as output of the analysis. When and structure is 5% for the first mode of vibration.
considering the SFSI effects, spectral demand and Material properties and geometry of the studied
performance are notions practically identical and models are depicted in Fig. 1. The concrete
the performance point is unique for any SFSI elasticity modulus which highly influences the
system. stiffness matrix of the system is equal to E=32GPa
for all models. The soil’s density in all cases is
3
2.3. FEMA440 methodology stable and equal to =2000 kg/m and the
Poisson’s ratio =0.333. All models are triggered at
A simplified approach for including SFSI effects in the level of bedrock by the Northridge 1994
seismic assessment is proposed in FEMA440, earthquake record (NGA_1011) with Tp=0.16s and
2005. More specifically, kinematic interaction and amax=0.95m/s2.
foundation damping effects are approximately
taken into consideration in estimating the FIM.
Inertial interaction effects are partially addressed in 4. Conceptual example
FEMA356, 2000 procedures for including
foundation stiffness and strength of the We consider Model 1 with Vs=300 m/s, m= 400t
geotechnical components of the foundation in the and d= 2.2m. Elastic demand spectra that occur
structural analysis model. from the obtained free field motion from analysis of
the soil profile only (FFM) and the SFSI motion at
the foundation level using the direct method (EFM)
3. Soil foundation structure system are depicted at the same graph, together with the
demand spectrum that occurs when following the
A set of dynamic analyses is performed in order to FEMA440 method (Fig. 2).
study the effect of interaction on seismic demand.
As a first step the dynamic analyses are performed
for the soil system only, while as a second step for
the complete SFSI system. The soil, the structure
and the foundation, compose the Finite Element
Model. The soil is a homogeneous soil profile of
H=50 m thickness.
Model 1:
h=6m
2B =6m
Vs = 100, 200, 300, 400,
450 m/s
3
soil = 2 t/m Figure 2. Performance points using different
m = 100 t, 200 t, 400 t, 800 approximations
t, 1200 t
v=0.333
vstr=0.25 All demand spectra are depicted graphically by
H = 50m elastic spectra with equivalent viscous damping
d = 0.8, 1.2, 1.6, 2.0, 2.2 m ratio equal to 5%. Fig. 2 depicts the performance
points (PPs) which are the intersection of the
following curves:
Figure 1. Soil foundation structure systems - PP1 is the intersection of the free field demand
studied spectrum with fixed base structural period TFIX.
- PP2 is the pair of values of the total (maximum)
The soil deposit is simulated by 4-node linear acceleration and displacement relative to the
elements. The elastic bedrock is simulated using foundation that result directly at the top of the
Lysmer-Kuhlemeyer dashpot coefficients (Lysmer- structure from the analysis. These values give
Kuhlemeyer, 1969) at the base of the soil profile. also TSFSI from Eq. 1.
The bedrock has shear wave velocity equal to - PP3 is the intersection of the FFM demand
Vs=1500 m/s and soil density is equal to =2400 spectrum with TSFSI.
- PP4 represents the PP which is the intersection and the displacement due to foundation
of the demand curve that results after utilizing slenderness.
the FEMA440 methodology with the TSFSI. Fig. 6 and Fig. 7 show the disROC/reldisTOP
For each analysis the output is in terms of and disSL/reldisTOP ratios respectively in terms of
acceleration and displacement at the top of the 1/ and mnorm ratios. As the soil becomes softer
structure, at free-field and at the level of foundation. and the structural mass value greater the
Moreover all parts of disTOP (Fig. 3) are also disROC/reldisTOP and disSL/reldisTOP values are
estimated. Finally, each analysis gives the results greater (Fig. 6, Fig. 7).
in terms of drift values at the top and foundation’s
rotation values.
Figure 4. Effective period to fixed base period,

Figure 3. Response at the top of the SFSI system TSFSI/TFIX values in terms of soil to structure
in terms of displacements stiffness ratio 1/ and normalized mass mnorm
5. Results
The results of the parametric study conducted

herein are depicted in Fig. 4 to 7. Results are
expressed in terms of relative soil to structure
stiffness ratio 1/ (Eq. 2) and normalized mass
mnorm (Eq. 3) and concern the same value for the
hnorm=h/B=2 ratio. More specifically Fig. 4 shows
the resulted TSFSI/TFIX values in terms of 1/ and
mnorm.
Figure 5. Maximum acceleration at the top of a
reldisTOP structure with TSFSI when subjected to EFM
TSFSI 2 (1)
(amaxTOP) and when subjected to FFM
amaxTOP
(amaxTEST)
h (2)
1/
TFIX VS
m (3)
m norm
B3
Fig. 5 shows the maximum acceleration at the

top amaxTOP using the EFM demand (see PP2 in
Fig. 2) and the maximum acceleration at the top
amaxTEST values (see PP3 in Fig. 2) using the
FFM demand curve together with the 1:1 curve. In
most cases the acceleration value at the top of the Figure 6. disROC/reldisTOP ratio in terms of 1/
structure for the SFSI system is smaller than the and normalized mass mnorm ratios
acceleration at the top of a structure with effective
period equal to TSFSI triggered by the free field
motion. In this specific case after linear regression 6. Proposed methodology and its application
the amaxTOP to amaxTEST ratio is equal to
0.7573 (Fig. 5). The methodology that is proposed herein could be
Finally, displacement at the top of the structure described by the following steps:
(reldisTOP) is composed by two parts, the 1. Estimate the dynamic and geometrical
displacement due to foundation rocking (disROC) characteristics h, m, Vs, 2B of the soil and structure
and soil response acceleration at free-field 8. Conclusions

conditions.
2. Evaluate 1/, mnorm, TFIX, hnorm using the Eq.2,3. - For the SFSI system we propose the EFM
3. Estimate the TSFSI/TFIX ratio in terms of 1/ and demand curve combined with the TSFSI(TOP/FOUND)
mnorm (Fig. 4). that stems from the division of the Fourier
4. Estimate amaxTOP using the proposed in terms spectrum at the top of the structure with the one
of amaxTEST modification value (Fig. 5). at the level of foundation. This combination
5. Calculate reldisTOP from the TSFSI period value gives results in good agreement with the
combined with the amaxTOP value. response values from the direct method.
The reldisTOP is the sum of the disROC and - The abovementioned seismic performance
disSL. The values of both two parts could be concerns total lateral displacement. However,
estimated by the proposed curves in Fig. 6 and Fig. both parts of total displacement are easily
7. The resulting values, when applying the evaluated by the proposed methodology. Final
proposed methodology, are in a very good performance depends on the limit state to be
agreement with the ones from the time history considered.
analysis. - Structural response can be calculated only if the
main characteristics of the system and the
motion at free filed conditions are known. The
final result considers both kinematic and inertial
interaction.
- TSFSI/TFIX values are up to 5 for normal soil
profiles.
- For a structure with first mode period TSFSI,
0.4amaxTEST<amaxTOP<1.35amaxTEST.
- For very soft soils the main part of disTOP is
disROC, while for stiff soils and slender
structures the main part of disTOP is disSL.
- For usual soil profile cases FEMA seems to be
unconservative.
Figure 7. disSL/reldisTOP ratio in terms of 1/ and
mnorm ratios
9. References
Fajfar P., Gaspersic, P. (1996). The N2 method for

7. Comparison between FEMA and FEM
the seismic damage analysis for RC buildings,
Earthquake Engng. Struct. Dyn. 25,23-67.
The comparison of PP2 and PP4 for all the
Federal Emergency Management Agency (2000).
analyses in terms of per cent acceleration
Prestandard and commentary for the seismic
modification factor (PPFEMA-PPFEM)/PPFEM % are
rehabilitation of buildings - FEMA356.
depicted in Fig. 8. The trend line shows that for stiff
Washington; DC.
soil profiles (1/<0.1) FEMA440 gives up to 50%
Federal Emergency Management Agency (2005).
higher values, while for soft soil profile FEMA440
Improvement of Nonlinear Static Seismic
gives up to 100% smaller values comparing to the
Analysis Procedures, FEMA 440. Washington;
direct methodology that is proposed herein.
DC: Federal Emergency Management Agency
Washington, DC.
Freeman S. A., Nicoletti J.P and. Tyrell J.V. (1975).
Evaluations of existing buildings for seismic risk.
A case study of Puget Sound Naval Shipyard,
Bremerton, Washington. Proc. 1st ;.S. National
Conf. Earthquake Engng., EERI, Berkeley, pp.
113-122.
Iguchi M., Yasui Y., & Minowa C. (2001).On
Effective Input Motions: Observations and
Simulation Analyses. Proc. of the Second U.S.-
Japan Workshop on Soil-Structure Interaction,
Figure 8. Comparison between FEMA440 and FEM Building Research Institute, Ministry of Land,
methodologies Infrastructure and Transport of Japan: pp75-87.
Lysmer J. and Kuhlemeyer A.M. (1969). Finite
dynamic model for infinite media, Journal of the
Engineering Mechanics Division, ASCE, 95,
859-877.
Mylonakis G., Gazetas G. (2000). Seismic soil-
structure interaction: beneficial or detrimental?
Journal of Earthquake Engineering, Vol. 4, no.

3, pp. 277-301
Pitilakis D., Karatzetzou A. (2012). Performance -
based design of soil - foundation - structure
systems. 15th World Conference of Earthquake
Engineering, 24-28 Sept. 2012, Lisbon,
Portugal.
Veletsos A. S., Meek J. (1974). Dynamic behaviour
of building-foundation systems. Earthquake
Engineering and Structural Dynamics, 3, 121-
138.
IMPLICATIONS OF SEISMIC DESIGN ASPECTS ON A PILE

SUPPORTED WHARF STRUCTURE
IMPLICATIONS DU CALCUL SISMIQUE SUR LA CONCEPTION D’UN QUAI
FONDÉ SUR PIEUX
1 1 2
Filippo MARCHI , Matteo BERNARDI , Michela MARCHI
1
ENSER, Viale Baccarini 29, Faenza, Italy.
2
DICAM Geotecnica, Università di Bologna - Viale Risorgimento2, Bologna, Italy.
ABSTRACT - This paper illustrates the design issues of a pile supported wharf in a high seismicity area in
Indonesia, a commonplace port structures in which the seismic response involves significant pile–slope
interaction.
Pile design in high-seismicity liquefiable areas involves different aspects of earthquake geotechnical
engineering with important consequences both on structural and geotechnical calculation. For the structural
design, non-linear soil structure interaction (pseudo-static analysis) has been considered. Moreover, in the
geotechnical design, liquefaction mitigation measures and global stability assessment have been treated.
The global stability assessment of the structure is deeply affected by simplified design methodology. In
particular the hypothesis of simultaneous occurrence of maximum inertial forces and liquefaction during a
seismic event is an assumption full of consequences in the current practice of geotechnical design in
liquefiable soils; although international codes do not provide any specific recommendation. Such an
example eventually shows very clearly that absence of precise recommendations may lead to an over
conservative design.
1. Introduction The seismic input for the area is summarized in

Table 1 where Mw is the magnitude, R the
While many national codes /recommendations may epicenter distance and PGA the Peak Ground
be used as a reference for static design of maritime Acceleration at site.
structures (British Standard, EAU, ROSA2000,
ROM, NAVFAC, etc) there are few technical Table 1. Seismic input characteristics
Return Period Deagregation result
regulations / recommendations regarding the of Earthquake PGA (g)
Mw R (km)
seismic design of port structures. No mention is (years)
100 6.2 86 0.139
however made in these codes to the simultaneous 200 6.2 81 0.186
occurrence of seismic inertia forces and 500 6.3 75 0.256
1000 6.3 72 0.324
liquefaction and particularly to the possibility of 2500 6.4 68 0.426
applying a reduced spectral acceleration in case of
liquefaction. The stratigraphy of the main wharf area (Figure 2)
The latter approach would largely affect the design consist on thick alluvial deposits of sand, silt and
allowing for possible optimization of structures and gravel overlying the rock bedrock, which also
ground improvement works. It is known that includes various degrees of weathering. The loose
typically while the strong phase of ground motion sand deposits (units ACD4_r in Figure 2) and some
occurs, the pore pressure build-up is still increasing thin layer of sandy silt (inside ACD3) are a potential
and reaches a peak (with possible liquefaction and source of liquefaction.
lateral spreading) when earthquake inertia forces The main structures affected by seismic design are
are reduced or negligible (WSDOT Geotechnical two wharves (Figure 3) composed by a suspended
Design Manual, 2011). Advanced numerical deck on piles. The overall dimensions of each deck
analysis (Lu et al., 2011) may help to improve our are 98.9m x 35.0m. The U shaped wharf is
understanding of such phenomena, but simplified composed by a front quay, aligned with the
methodologies are often needed in order to be underwater slope, and two access trestles
consistent with the short time for the preliminary connecting the quay to the land. The front wharf is
design phase. located on a natural slope which is parallel to the
coast and bounds the reef barrier. The supporting
piles are driven steel pipes with external diameter
2. The case studied of 1524mm and wall thickness of 22mm. They are
56 m long and are partially filled with reinforced
The design of some port facilities structures (plan concrete. The grid of piles is square with piles
view in Figure 1) in a very active seismic region of spacing of 8m in both longitudinal and transversal
Indonesia is affected by several issues that require directions.
engineering judgment and interpretation of
technical regulations.
Liquefaction assessment was performed following

the indications published in the NCEER Workshop
and SP117 Implementation. Lateral spreading
displacements are expectable due to the presence
of the main slope and could be induced by the
artificial slopes present in the design layout.
Consequently to the liquefaction analysis
performed, lateral spreading will be evaluated
using Bartlett and Youd method (2002).
Stratigraphical unit ACD3 (Figure 2) is mainly
composed by clayey to sandy loose silt. This is
generally considered as a border-line soil type in
liquefaction risk assessment. On the base of what
Figure 1. Plan view of the port facilities and site
stated by Seed et al. (2003) ACD3 can be
tests location
considered as non-liquefiable. The results of the
liquefaction analyses are summarized in Table 2
where liquefaction potential and related settlements
are listed.
Table 2. Liquefaction analyses summary
Figure 2. Typical geological cross section in main

wharf area (section 1-1 in Figure 1)
In relation to the evaluation scale proposed by

Iwasaki et al. in 1982, the main wharf area can be
mostly classified as “Severe” on the liquefaction
Figure 3. Typical cross section of main wharf front susceptibility scale; liquefaction potential
jetty reasonably increases towards offshore direction.
Related settlements can be quantified in the range
of 12 to 62 cm. Based on these data, Liquefaction
3. Liquefaction risk assessment Potential has been mapped over the entire area
(Figure 4). Lateral spreading displacements,
Main wharf area was analyzed in order to assess evaluated as explained above, are quite important,
liquefaction potential and post-seismic settlements inducing horizontal displacements from 15cm to 25
distribution. Site investigation plan view is cm even quite far from the natural slope.
presented in Figure 1. On this area the available
data can be summarized as follows:
1. 14 Stratigraphic boreholes with core recover
(CBS);
2. 6 Piezocone penetration tests (CPU);
3. 9 Mechanical cone penetration tests (CPT).
For liquefaction risk assessment, standard
penetration test (SPT) executed in boreholes has
been discarded. The results of these tests are
commonly considered to be much less reliable than
CPT and CPU ones. In addition the execution
procedure, due to the applied impact force, tends to
destroy some peculiar characteristic of coralline
sands for liquefaction potential assessment like Figure 4. Liquefaction potential map
cementation.
4. Soil improvement design after soil improvement treatment are summarized in

Table 3.
In order to lower liquefaction potential and related Based on these data, Liquefaction Potential has
settlement in the area where important facilities will been re-mapped over the interested area (Figure
be located vibrocompacted stone columns will be 6). As can be notice the treated areas now can be
realized. Soil improvement main features are: all classified as “minor” or “unlikely” to be
• Stone column mesh = 2.5 m x 2.5 m susceptible to liquefaction. In addition is clear that
• Stone column diameter = 0.8 m soil treatment reduce post-liquefaction soil
• Stone column materials internal angle of friction settlement as well as the liquefaction potential.
= 45° Lateral spreading displacements (caused by both
• Stone column length = 10 - 12 m average natural slope and design embankment) thanks to
(corresponds to ACD4_r) soil improvement treatment are reduced under
Treated area plotted in Figure 5. 15cm mainly depending on the distance from
natural or artificial slopes.
Table 3. Post Soil Improvement liquefaction

analyses summary
Figure 5. Soil improvement treatment plan view
Soil improvement effects on liquefaction

susceptibility of ACD4_r has been quantified
following what suggested in the OCDI document
“Technical standards and commentaries for port
and harbour facilities in Japan” (2002). Stone
columns improvement of natural soil has been than
quantified in two different ways:
• In-situ material between stone columns is
compacted through replacement and vibration;
improvement can be quantified in term of an
increase in relative density and translated in an Figure 6. Liquefaction potential map after Soil
increase of NSPT blowcount and qc (fs has been Improvement
consequently modified in order to keep the fines
content constant). This approach is used to assess
liquefaction potential after the treatment; 5. OVERALL STABILITY ASSESSMENT OF THE
• When a failure mechanism is sufficiently large, MAIN SLOPE
homogenized characteristics of soil-columns
system are considered; this is the case of overall Classical limit equilibrium methods have been used
stability assessment. to determine the global stability safety factor. As
The following three typological treatments have will be shown in the followings, piles contribution is
been considered: necessary to ensure overall stability of the main
• TYPE A – Vibro-compacted stone columns slope in seismic conditions. Calculation parameters
ø=0.8m, square mesh s=2.5m, L=11m; used in overall stability assessment are listed in
• TYPE B - Vibro-compacted stone columns Table 4. On the top of the container area, 20kPa of
ø=0.8m, square mesh s=2.5m, L=10m; surcharge load have been considered.
• TYPE C - Vibro-compacted stone columns Post-liquefaction residual strength of ACD4_r layer
ø=0.8m, triangular mesh s=2.5m, L=12m. (ACD4_r_LIQ in Table 4) has been estimated using
Treatment Type A is necessary for main wharf the methodology suggested by Seed et al. (2003).
area, Type B has been used for the majority of the In particular the relation proposed by Seed and
facilities and finally Type C has been designed for Harder (1990) and by Stark and Mesri (1990) has
the tanks area. The results of liquefaction analyses been averaged using a different weighting
depending on the fines content. Based on what
exposed above, post-liquefaction residual strength evaluations allowed considering the impact of a
of layer ACD4_r can be quantified as 7kPa. correct seismic design in the economical evaluation
Treated layer ACD4_r (ACD4_r_SI in Table 4) of the project. Based on this, the simplified
internal friction angle has been evaluated using hypothesis of complete simultaneity of inertial
Priebe Law (1995). forces and liquefaction effects turned out to have
an important impact on the final layout.
Table 4. Calculation parameters Uncertainties on such hypothesis and the absence
of any indication in the national codes oblige to be
largely conservative.
Main wharf structure is founded on a steep

underwater slope. Considering the high liquefaction
potential of the area, overall stability has been Figure 7. CASE 2 - Seismic conditions considering
checked with particular attention to seismic inertial forces
conditions. As the most critical section for overall
stability, Section 1-1 has been chosen. Four 5. References
conditions have been investigated in order to Iwasaki, T., Tokida, K., Tatsuoka, F.,Watanabe, S.,
assess global stability of the underwater slope: Yasuda, S., Sato, H., (1982). Microzonation for
CASE 1 - Static conditions; soil liquefaction potential using simplified
CASE 2 - Seismic conditions considering inertial methods, 3rd International Microzonation
forces; Conference, Proceedings, 1319-1329.
CASE 3 - Seismic conditions considering inertial Lu, J., Elgamal, A., Yan, L., Law, K. H., Conte, J. P.
forces and liquefied layer ACD4_r; (2011). Large-Scale Numerical Modeling in
CASE 4 - Tsunami conditions considering 4m rapid Geotechnical Earthquake Engineering.
drawdown. International Journal of Geomechanics, ASCE,
The analyses have been performed using the 11(6), 490-503.
commonly accepted Morgestern – Price method. OCDI (2002). Technical standards and
The results of the analyses are summarized in commentaries for port and harbour facilities in
Table 5; sliding surface position and shape for Japan.
most significant case is shown in Figure 7. Table 5 PIANC (2001). Seismic design guidelines for port.
clearly shown that the hypothesis of complete Priebe, H.J., (1995). Keller Grundbau GmbH – The
simultaneity of inertial forces and liquefactions design of vibro replacement – Ground
effects lead to an extra load on piles. Engineering.
Seed, R. B., Harder, L. F., (1990). SPT-Based
Table 5. Safety factor summary analysis of cyclic pore pressure generation and
Summary undrained residual strength. H. B. Seed
FS pile load [kN/pile]
Memorial Symposium, Berkley, Ca., BiTech
CASE 1 1.591 -
CASE 2 1.105 1400
Publishing, Ltd., v.2. p. 351-376.
CASE 3 1.114 1800 Seed, R. B., Cetin, K. O., Moss, R. E. S. ,
CASE 4 1.591 - Kammerer, A. M., Wu, J., Pestana, J. M.,
Riemer, M. F., Sancio, R. B, Bray, J. D., Kayen
R. E., Faris, A. (2003). Recent advances in soil
6. FINAL REMARKS liquefaction engineering: a unified and
consistent framework. 26th annual ASCE Los
The design of port facilities in a high seismicity area Angeles Geotechnical Spring Seminar, Keynote
susceptible to liquefaction involves many different Presentation, H.M.S. Queen Mary, Long Beach,
issues regarding structural and geotechnical California, April 30, 2003.
design, but most of all soil structure interaction. Stark, T. D., Mesri, G. (1992). Undrained shear
Advanced numerical modeling may be used in strength of liquefied sands for stability analysis.
order to improve our understanding of this problem, Journal of Geotechnical Engineering, ASCE,
but a large amount of data and time, not available 118(11), 1727-1747.
in a preliminary design phase, are required in order Youd, T. L., Hansen, C. M., Bartlett, S. F. (2002).
to perform such an analysis. This paper presented Revised Multilinear Regression Equations for
the simplified analyses that have been done for a Prediction of Lateral Spread Displacement,
basic design of the port facilities. Such preliminary Journal of Geotechnical and Geoenvironmental
Engineering.2 lines space.
EXPERIMENTAL INVESTIGATION OF SURFACE FAULT RUPTURE

HAZARD MITIGATION
ETUDE EXPERIMENTALE DE L'ATTENUATION DES RISQUES DE RUPTURE
DE FAILLES EN SURFACE
1 2
Sayyed Mojtaba MOOSAVI , Mohammad Kazem JAFARI
1
University of Mazandaran, Babolsar, Iran
2
International Institute of Earthquake Engineering and Seismology (IIEES), Tehran, Iran
ABSTRACT- Ground differential movements due to faulting have caused damage to engineered structures
and facilities in strong Earthquakes. Although surface fault rupture is not a new problem, there are only a
few potential mitigation schemes in the world containing some types of provisions for reducing the risks.
Fault setbacks or avoidance of construction in the proximity of seismically active faults, are usually
supposed as the first priority. This paper presents the results of an investigation on the development of
reasonable mitigation measures based on some 1-g physical modeling tests.
1. INTRODUCTION bedrock propagates through the soil layer towards

the surface. With a sufficient magnitude of fault
During strong earthquakes, the fault rupture displacement, this discontinuity will emerge at the
could arrive at the ground surface and threaten the ground surface and will provide a boundary
safety of the potentially existing structures. This between the lifted hanging wall, moving at a dip
could have devasting effects on structures angle, and the static footwall. Should this surface
overlying the faults such as what have been expression occurs beneath a structure, it is likely
observed in Turkey and Taiwan earthquakes in that the structure would be damaged by a large
1999. The observed damages reminded differential displacement. Little works have been
professions and researchers to devote more efforts done experimentally to study the problem and to
on surface fault rupture hazard mitigation propose some solutions for such problems. Here,
approaches and investigations. in this study, a geotechnical improved layer is
Different approaches have been adopted to introduced near the ground surface (Figure 1) to
investigate the surface fault rupture hazard such as reduce the differential displacement of dip slip
field studies, physical modeling, numerical faults as shown in Figure 2.
modeling and finally analytical approaches.
The aim of this research is to contribute to the 2. Fault ruptures mitigation measures
developing mitigation measures for protecting
buildings against potential surface fault rupture A number of possible fault rupture mitigation
hazards. It is evident that the avoidance of measures have been proposed by Tani (2003),
construction in the fault rupture zone should be the Bray et al. (1993), Bray (2001) and Brennan et al.
first priority of the land use planning policy in the 2007. These measures are mostly foreseen to
cities but with increasing demands on land use, the absorb the fault's large differential movement and
avoidance is becoming more difficult. Should the
key structures have to be constructed in the vicinity
of potentially active faults; it would be prudent to
have a reliable strategy available for their
protection. In order to achieve this aim, different
approaches including some geotechnical
engineering techniques such as soil improvement
techniques beneath the structures could be
proposed. This technique under geotechnical Figure 1. Schematic of a geotechnical improvement
improvement layer terminology is investigated layer beneath a building for fault rupture hazard
through physical modeling test in this research. mitigation (1-buliding, 2-geotechnical layer, 3-
This article focuses on the behavior of buildings shallow soil layer surrounding the building)
in close proximity to reverse faulting. A typical to lead smaller differential displacements or gentle
generic geometry is presented in Figure 1 where a gradients at the ground.
structure is considered above a shallow soil layer One of the methods suggested by Tani (2003) was
(around tens meter) overlying bedrock. During to use the large blocks in soil to break up the main
reverse faulting, a displacement discontinuity at the faulting into many smaller faults.
and were kept perpendicular to the fault strike, in

order to enable digital photography of the vertical
section throughout the soil. The performed tests
investigated reverse fault rupture propagation with
a dip angle of 45 degree through the bedrock in a
quasi-static mode using a hydraulic piston beneath
the moving floor.
Figure 2. Reducing differential displacement of dip

slip faults by using a geotechnical improvement
layer beneath the foundation
Brennan et al. 2007 tried to investigate the

suitability of such blocks in a single soil stratum as
a ground improvement strategy preventing shallow
foundation failure due to normal faulting and also to
quantify their effect by centrifuge test. Brennan et
al. 2007 has concluded while the numerical model Figure 4. Soil bags performance for vibration
demonstrated that blocks might be beneficial, the reduction (from Matsuoka and Liu ,2006)
centrifuge tests were unable to demonstrate any The sand used in the present study was the well
splitting of the main rupture plane. However, the known Firoozkooh sand (No.161), commercially
blocks were probably capable of guiding ruptures available from the Firoozkooh mine in north east of
due to their local stressing of the surrounding soil. It Tehran. It has a uniformly graded (SP) size
is anticipated that this feature might be exploited in distribution as well as a mean grain size (D50) of
future possible remediation schemes. 0.25 mm. The sand layer in box had length, width
Herein based on Brennan et al. experience and and thickness of 150, 50 and 20 cm, respectively,
inspired by performance of flexible foundation modeling the plane strain condition approximately.
regarding fault rupture in centrifuge tests of The pluviation technique with a pre-defined height
Bransby et al. 2008, frost heave prevention by and velocity of a sand rainer was also used to fill
using coarse material beneath the foundation the box with a relative density of approximately
(Figure 3) and soil bags performance for vibration 80%.
reduction (Figure 4), we have tried to introduce a In total, 5 1-g model tests were performed with
new geotechnical improved layer by changing the the details described in Table 1. The experiment
porosity inside the soil to reduce the differential investigating the propagation of a reverse fault
displacement of dip slip faults as explained in the through soil in absence of a footing (“free field “test)
next sections. was conducted first to find out where the free field
fault would emerge at the ground surface. The
test's result was further used to locate the
foundation's position in the foregoing tests with
foundation. A block, with a width (B) of 150 mm, a
height of 20mm and a length of 500 mm, was
placed on the top surface of the soil in order to
represent the rigid shallow footing. For the work
reported here, tests were carried out on a soil
model of 1/100 scale, so soil depth as 20 cm in
table 1 is represented as a 20 m soil depth in the
prototype. Three types of materials are used for
Figure 3. Frost heave prevention by using coarse geotechnical layer. In the test 24N, the
material beneath foundation (from Matsuoka and geotechnical layer is made by 10 mm diameter
Liu ,2006) aluminum rods with a length of 500 mm, placed on
the top surface of soil beneath the foundation in
3. Apparatus and Test Program depth of 50mm. In the test 28N, the geotechnical
layer is made by 6 mm diameter ceramic beads
The 1-g physical modeling approach has been placing on the top surface of the soil along 200 cm
adopted in the present study. The device used for width with a depth of 50mm.
performing the 1-g model tests was designed in Finally in the test 29N, the geotechnical layer is
such a way that the reverses? as well as normal made by 50*70 mm soil bags filled by Firoozkooh
fault rupture events could be modeled along sand with a mean grain size (D50) of 1.5 mm. The
different dip angles. Two Plexiglas plates with 5 cm middle of the width of these geotechnical layers in
thickness were provided at each side of the box
Table 1. 1-g model testing program
tests 28N and 29N are located in the emergence of

fault rupture in the free field test.
4. Test Results
Herein the test results are compared in 2

different groups based on the presence or absence
of the foundation. In group with foundation, the
main parameter to be compared was the degree of
foundation's rotation while the main parameter in
group without foundation, was the degree of
ground deformation measured by a plexiglass
plate's rotation (with 50 cm length) placed on the
surface of the deformed zone.
4.1. With Foundation Figure 6. Foundation rotation as a function of fault

Test results in this group are shown in Figure 5 displacements test 14N (without geotechnical
and Figure 6. layer) and test 24N with geotechnical layer
(aluminum rods) beneath foundation
Figure 5. Test results with foundation; (a)

benchmark test(14N) at 51.4mm fault
displacements ; (b) Test 24N with geotechnical
layer (aluminum rods) beneath foundation at
50.8mm fault displacements
4.2. Without Foundation

Test results in this group are presented in
Figure 7 and table 2. Figure 7. Test results without foundation; (a)
benchmark test(27N) at 60.2 mm fault
5. Discussion displacements ; (b) Test 28N with geotechnical
layer (ceramic beads) beneath foundation at 60.3
Although this research focuses on reducing mm fault displacements; (c) Test 29N with
differential displacements of dip slip faults (e.g. geotechnical layer (soil bags) beneath foundation at
Figure 2) by using a geotechnical improvement 60.9 mm fault displacements
layer beneath foundation, it seems in group tests
with foundation that is not investigable exactly.
Table 2. ground deformation as a function of fault In group tests without foundation, the ground
displacements gradient reduction is relatively small and the
Final Surface geotechnical layer has changed the main pattern of
Test Identifier Situation
Dislocation(mm) Dip(degree) faulting into diffused ones as presented in Figure 7.
27N Free Field 60.2 7.2
F.F with Geotechnical
There are some uncertainties regarding the ground
28N 60.3 6.7 gradient reduction in this group due to the change
layer(Ceramic Beads )
29N
F.F with Geotechnical
60.9 6.6 of fault location emerged on the surface as
layer(Soil pack)
illustrated in Figure 9, while our main concern is still
to reduce the differential displacement as
However, it can be explained according to the presented in Figure 2.
main mechanisms of fault-foundation interaction as
shown in Figure 8 as follow:
x Mechanism A: The fault is deviated to the right

side, due to the presence of the rigid
foundation remaining undisturbed on the
footwall.
x Mechanism B: The fault emerges beneath the
foundation.
x Mechanism C: The fault is deviated to the left
side, due to the presence of the rigid Figure 9. Change the emergence of fault rupture on
foundation remaining settled on the hanging the surface
wall.
6. Conclusion
Ground improvement strategy such as making a

flexible and a contractive layer beneath the
foundation for fault rupture hazard mitigation,
seems to be a potentially acceptable approach,
which is correct in physical modeling tests without
foundation. But considering the interactions
between the reverse fault propagation pattern and
the rigid shallow foundation, in one hand, and the
foundation-geotechnical layer interaction, on the
other hand, we should pay more attention to this
type of fault rupture hazard mitigation strategy. This
Figure 8. Main mechanisms of fault-foundation
experiment It could be served as a proper subject
interaction
matter for further investigation in our ongoing
It is evident that a number of variables can research in this field.
significantly influence the reverse faulting-
foundation interaction mechanisms. For example, 7. References
the foundation's position and its bearing pressure
would certainly influence the Interactions of the Brennan A., Roby M., Fraser Bransby F., Nagaoka
fault rupture propagation and the rigid shallow S., (2007), “Fault Rupture Modification by
foundations mechanisms (Moosavi et al. 2010). Blocky Inclusions”, 4th International Conference
Additionally, the footing breadth might be on Earthquake Geotechnical Engineering,Paper
significant. Moreover; the magnitude of fault No. 1480
movement will exert considerable influence on the Bransby, M.F., Davies, M.C.R., El Nahas, A.,
interactions of the fault rupture propagation and the Nagaoka, S. 2008. Centrifuge modelling of
rigid shallow foundations mechanisms. reverse fault-foundation interaction. Bulletin of
Although in the test 14N the fault initially Earthquake Engineering, 6(4), 607-628
emerges beneath the foundation (i.e. mechanism Bray, J. D., Ashmawy, A., Mukhopadhyay, G. and
B), additional fault might result in several changes Gath, E. M. 1993. Use of Geosynthetics to
in the mentioned mechanism and might convert it Mitigate Earthquake Fault Rupture Propagation
to other previously described mechanisms (Figure Through Compacted Fill, Proceedings of the
8) i.e. mechanism A. But in the test 24N no Geosynthetics '93 Conference, 1, 379-392.
changing mechanism occurs due to the foundation- Moosavi, S.M., Jafari, M.K., Kamalian, M.,
geotechnical layer interaction leading to the Shafiee,A., 2010. Experimental Investigation of
increasing of the bearing capacity. However, it is Reverse Fault Rupture – Rigid Shallow
worthy to mention that there is less foundation Foundation Interaction, International Journal of
rotation in test 24N than the one in test 14N at Civil Engineering, VOL8, NO.2, 85-98
small fault displacements. Matsuoka,H. and Liu,S. 2006. A New Earth
Reinforcement Method Using Soilbags, Taylor &
Francis Group, London, UK
Tani, K. 2003. Proposal of ground improvement

method to prevent fault rupture modification,
Proc. 11th Int. Conf. on Soil Dynamics and
Earthquake Engineering/3rd Int. Conf. on
Earthquake Geotechnical Engineering, U.C.
Berkeley, USA, 590-597
Retaining Structures
CASE STUDY: DEEP EXCAVATION IN BEIRUT SUBURB
ETUDE DE CAS : FOUILLE URBAINE PROFONDE DANS LA BANLIEUE DE

BEYROUTH
Antoine ABBOUD1
1
Geotechnical Engineering Consultant, STS Consultants Lebanon
ABSTRACT - The paper deals with the case of a deep excavation in the suburb of Beirut with a maximum
depth of 30.5 m supported by an 80 cm Diaphragm Wall braced by seven rows of pre-stressed
tiebacks/struts. The soil profile is composed of more than 15 m of sandy and clayey alluvial sediments
followed by a marl and marlstone stratum with a water table located at 3.0 m from ground level. The
excavation modeling and analysis is performed using two numerical methods based on the method of
displacement which accounts for an elasto-plastic soil reaction and a finite element model with different
constitutive models for each soil layer. The excavation and construction stages are fully integrated into both
models. The global stability of the excavation and limited displacement at the top are the critical points in the
design in addition to the structural integrity of the Diaphragm Wall and the efficiency of the tiebacks. The
displacement output predicted by the models is compared to the actual recorded displacements from the
monitoring of the excavation using inclinometer and surveying readings. Conclusions are drawn in reference
to the suitability of the available design and analysis methodologies and tools for such extreme applications
and conditions.
1 PROJECT DESCRIPTION NGL under the podium. The D-Wall will be

embedded below the final excavation level by 4.45
The project exposed in this paper is a major m or 5.05 m. The reinforced toe level of the D-Wall
commercial mall under development in the southern will thus reach the level 5.5 NGL to provide
suburbs of Beirut on the Old Saida road. The project adequate embedment in the substratum for
consists of eight basements, a podium with a GF mechanical and hydraulic efficiency purposes. The
and three upper floors and a building of 10 floors total height of the shoring will then be equal to 32 m.
covering a part of the podium area. The total In the temporary phase, the D-Wall will be
surface area of the basement is 3,362 m2 with a maintained by seven pre-stressed anchor rows
perimeter of 260.25 m. The lot has a rectangular located at 0.5 m above slab level. The first anchor
shape with an average width of 37 m and a length of rows will be spaced by 3.0 m while the remaining six
92 m. The site is bounded by an underpass from the rows will be spaced by 2.0 m. The levels of the
west, secondary streets from the north and south anchors are as follows: 35, 29, 24.55, 21.55, 18.55,
separating the lot from buildings of variable levels 15.55 & 12.55 NGL. In the service phase, the
located at 13 to 15 m from the shoring limit and from anchors will be released and the D-Wall will be
th th th
the east side, the lot is bounded by an empty maintained by the basements slabs; raft, 7 , 6 , 5 ,
th rd nd st
neighboring lot. The executed shoring project 4 , 3 , 2 , 1 basement slabs and ground floor with
subject of our study consists of an 82 cm thick the concrete top levels of the basement slabs
reinforced concrete diaphragm Wall. The diaphragm located respectively at; 12.05, 15.05, 18.05, 21.05,
wall acts as a temporary retaining structure during 24.05, 27.05, 30.95, 35.85 and 40.75 NGL.
excavation phases and will constitute a continuous
rigid cut-off wall and act as a final basement wall in 3 SOIL PROFILE
the service phase.
Several soil investigation campaigns were executed
2 GEOMETRICAL CONDITIONS on the lot in question and on adjacent lots which
have resulted in the identification of four main soil
The ground level of the lot and adjacent streets layers described in the following paragraph:
varies between 40 and 40.5 NGL. The working x Silty sand: Fine silty sand, non-plastic with 15 to
platform for diaphragm wall works was lowered to 25 % of fines, medium dense to very dense with
the level 37.5 with the protection of the slope face SPT N-values ranging from 18 to 50. Limit Pressure
with a nailed shotcrete wall which is not part of our pl*= 1.8 MPa, EM = 28.5 MPa.
study. The final trimming level of the D-Wall will be x Sandy clay: Silty or sandy clay, with 10 to 40 %
set at 36.9 i.e. 60 cm below the guide wall top level of coarse soil, LL > 40, PI > 20, stiff to hard with
located at +37.5. The foundations under the building SPT N-values ranging from 18 to 50. Limit Pressure
area will be a raft foundation of 1.8 m thickness, pl*= 2.0 MPa, EM = 20.5 MPa.
while under the podium area the thickness of the
x Clayey marl: Silty or sandy clay, with 90 % of
raft will be 1.2 m. The final excavation level will be
fines, LL > 50, PI > 25, stiff to hard with SPT N-
located at 9.95 NGL under the building and 10.55
values larger than 50. Limit Pressure pl*= 2.0 to 2.5 reaction kh (t/m³) is determined from the Chadeisson
MPa, EM = 65 MPa charts. The at-rest earth pressure coefficient K0 is
x Marlstone: Weak rock formation, shale like, taken = 1 – sin I All the values of earth pressure
composed of fine clayey material, RQD between 0 coefficients are summarized in the table below:
and 27 %, UCS values between 2.9 and 6.0 MPa.
Limit Pressure pl*= 5.0 to 7.0 MPa, EM = 450 MPa. Table II. Active and passive earth coefficient
The analysis of the collected soil data allowed us Layer Ka Aa Kp Ap
to attribute the following characteristics to each soil Silty Sand (ST) 0.307 1.109 5.775 6.855
layer in the short (ST) and long term (LT) conditions: Silty Sand (LT) 0.283 1.063 6.828 7.505
Table I. Soil layers and corresponding properties Silty Clay (ST) 0.704 1.678 1.579 3.214
Silty Clay (LT) 0.528 1.453 2.397 4.075
Jt J’ Friction Cohesion Clayey Marl (ST) 0.704 1.678 1.579 3.214
Layer (t/m3) (t/m3) Angle, c (t/m2)
(°) Clayey Marl (LT) 0.528 1.453 2.397 4.075
Silty Sand (ST) 1.8 0.8 32 1.5 Marlstone (ST) 0.490 1.400 2.676 4.348
Silty Sand (LT) 1.8 0.8 34 0.0 Marlstone (LT) 0.361 1.202 4.358 5.801
Silty Clay (ST) 1.9 0.9 10 8.0
Two design sections were performed to conduct
Silty Clay (LT) 1.9 0.9 18 4.0
the full execution study of the project. The first
Clayey Marl (ST) 1.9 0.9 10 10.0 section is taken at projected building side where the
Clayey Marl (LT) 1.9 0.9 18 5.0 excavation level is at 9.95 NGL and the second
Marlstone (ST) 2.0 1.0 20 14.0 section at the podium side where the level is 10.55
Marlstone (LT) 2.0 1.0 28 7.0 NGL. The excavation stages accounted for in both
numerical models are as follows:
x Phase 1: Excavation to the level 34.5, the water
The hydrostatic water pressure is considered to be table is lowered to 34.0, i.e. 0.5 m below the
applied at the full height of the D-Wall in the model. excavation level.
st
It is assumed in the temporary works phase to be at x Phase 2: Execution of 1 anchor at level 35.0.
level 36.5 NGL and in the permanent service phase x Phase 3: Excavation to the level 28.5.
at 37 NGL. x Phase 4: Execution of 2nd anchor at level 29.0.
x Phase 5: Excavation to the level 24.05.
4 NUMERICAL MODEL1: DISPLACEMENT x Phase 6: Execution of 3rd anchor at level 24.55.
METHOD (PAROI 2 SOFTWARE TOOL)
x Phase 8: Execution of 4th anchor at level 21.55.
The first numerical model established for the D-Wall
is used to calculate the earth and water pressures
and the resulting bending moments and shear x Phase 10: Execution of 5th anchor at level 18.55.
forces exerted on the concrete section. The model x Phase 11: Excavation to the level 15.05
takes into account the actual sequence of x Phase 12: Execution of 6th anchor at le.vel 15.55.
excavation works, the elasto-plastic reaction of the x Phase 13: Excavation to the level 12.05.
soil, the pre-stressed anchors, struts, slab elements x Phase 14: Execution of 7th anchor at level 12.55.
and all surcharges outside the excavation. The x Phase 15: Excavation to final level at 9.95.
structure’s behavior will be modeled using the
theories of elasticity; the numerical solution is The Paroi2 model results shows for the
derived from the displacement method, using construction stages, a total displacement at the
stiffness matrices. The D-Wall is therefore bottom part of the D-Wall reaching 24.3 mm and a
calculated as a series of adjacent panels or vertical top displacement resulting from the first excavation
beams subjected to the active and passive soil stage and limited to 4.0 mm. The maximum positive
pressures, as well as different exterior surcharges. and negative service moments are respectively M+
The pressure exerted by the soil on each side of the = 60 t.m/lm and M- = 40 t.m/lm with a maximum
D-Wall is calculated taking into consideration the resulting shear force T = 57 t/lm.
elasto-plastic behavior of the soil. The calculations
relative to the D-Wall is performed on 5 REINFORCED CONCRETE DESIGN
SOLETANCHE-BACHY’s “Paroi2” software which
uses the non-reversible elasto-plastic method for The D-Wall is concreted using a B30 concrete with
soil behavior. special requirements for D-Wall execution
To estimate the values of the active and passive conditions. The reinforced concrete design is based
earth pressure coefficients, the active stress is on the guidelines of the BAEL91 rev99 and the
considered perpendicular to the wall and the Fascicule 62 titre V. The conventional concrete
passive stress is considered inclined at –2/3 IThe resistance in compression is computed as fcc = 25 /
active earth pressure is calculated as: A = Ka (6Jh (1.2 x 1.05) = 19.8 MPa and in tension ftc = 0.6 +
+ q) – A C + u and the passive pressure asP = Kp 0.06 fcc = 1.79 MPa. The yield strength used is 500
(6Jh + q) – A’C + u. The horizontal modulus of soil
MPa for steel bars 16, 20 & 25 mm and 460 of the TA. 95. The results of the tests performed to
MPa for 10, 12 & 14 mm. verify the sealing resistance of sandy clay and
For moment envelopes resulting from the clayey marls showed that the sealing resistance
temporary construction phase, the ultimate limit capacity is governed by the maximum creeping
state (E.L.U.) analysis with the following limiting force and is limited to 7 t/lm instead of the initially
conditions; steel V = fe / Js = 500 / 1.15 = 435 MPa, assumed 9 t/lm. Based on these tests, the fixed
concrete: fbu = 0.85 fcc / Jb = 0.85 x 19.8 / 1.5 = lengths were re-calculated and the decision was
11.24 MPa and with magnification of moments by a taken to increase the bore diameter to 180 mm for
factor of 1.4. both second and third rows.
For moment envelopes in the final service state
of the structure, the service limit state (E.L.S. en Table III. Sealing resistance as per TA95. Pre-
fissuration très préjudiciable) analysis is used with dimensioning equation.
the following limiting conditions; steel V = 0.8 x Min Soil Curve D qs ts ts,lim
{2/3fe, Max (0.5fe; 110)} = 0.8 x Min {333, Max (250; Sandy Clay AL.1 1.8 22 9.3 9.0
186)} = 200 MPa limited to a lower value of 180 Clayey Marl AL.1 1.8 22 9.3 9.0
MPa and concrete: fbc = 0.6 fcc = 11.9 MPa Marlstone MC.1 1.8 42 17.8 14.0
The moment and shear forces obtained from the
results of the first numerical model (Paroi 2) are Table IV. Anchor properties for each row.
used to calculate the required steel reinforcement. Resistance
Anchor
For the maximum positive moment obtained the Row Level Capacity, Cables
Force Tu (t)
resulting supplied steel reinforcement is 5T25+5T20 Ts=Lsxts (t)
per linear meter corresponding to 40.24 cm2/lm. 1 35 72 9x9=81t 5
2 29 96 9x11=99t 6
3 24.55 98 9x11=99t 6
4 21.55 124 13x10=130 t 7
5 18.55 131 14x10=140 t 7
6 15.55 131 14x10=140 t 7
7 12.55 122 14x9=126 t 7
7 NUMERICAL MODEL 2: FINITE ELEMENT

MODEL (PLAXIS SOFTWARE TOOL)
A finite element model was developed for the same

conditions as numerical model #1 in terms of
Figure 2. Paroi2 Model results for last excavation geometry, soil profile and anchors characteristics.
stage at 9.95 Ref (Model shows pressures and An important difficulty was encountered in the
deformation to the left, bending moment and shear modeling process due to the absence of major
force diagrams to the right) information on soil properties. The model is set-up
in plane strain using 15-nodes triangular elements.
6 PRE-STRESSED ANCHORS The model is still under development using as
constitutive models for the analysis the Hardening
The anchors used are composed of pre-stressing Soil model for all alluvial layers and the Mohr-
cables T15s; the average cross-section is 148 mm² Coulomb for the Marlstone layer. The same
and the guaranteed elastic limit is 1860 kN/mm². excavation stages were also introduced within the
The allowable tension per cable for the temporary model. Models for both drained and undrained
works phase is thus calculated according to the TA properties were verified.
95 code: Ta = 1860 KN/mm² x 148 mm² x 0.75 x 0.9 The last modeling attempt indicated excessive
x10-3/9.81=18.9t taken limited to 18t. The resistance lateral displacements which we believe are not
capacities were first estimated based on the precise at all. Therefore the results of the FE model
regulations of the TA 95 for the different soil layers shall not be presented in the present article. Work
according to: Ts (t/lm) = qs SD D / F. With: D will continue on the model in parallel with actual
magnification factor defined in the TA 95, D, drilling recording of displacement on site and the results will
diameter = 0.15 m, F, factor of safety equal to 2, qs be presented in the September conference.
ultimate unit friction. The assumed resistance
capacities adopted for each soil are shown in table 8 OTHER D-WALL ASPECTS
III and the determined sealed length and the
number of cables are given in table IV. Other design aspects of the D-Wall which are not
The adopted sealing resistances were then covered by this paper include reinforced concrete
validated by two series of suitability tests performed design under seismic load which is based on
as per norm NF P94-153 and the recommendation moments and shear forces obtained from a special
construction stage in which trapezoidal distribution resulting from the numerical model #1 but rather
of earth pressure is applied using dynamic active corresponds to the finite element model. The
earth pressure coefficients. readings indicate an increase in the top
The capacity of the D-Wall to carry the applied displacement with increasing excavation level. The
compression loads was also evaluated based on the curves also indicate the D-Wall displacement
Fascicule 62 titre V pressuremeter method. The extends well below the excavation level up to a zero
rigidity of the embedded part of the D-Wall under movement level at around 5 m. The analysis of the
the raft foundation level was analyzed and displacements will continue with the progress of
introduced in the structural model of the building. excavation on site and will be used to optimize the
A major aspect of the D-Wall design is the global finite element model to reach a coherent and more
stability of the excavation which was verified suing accurate behavior and results.
two approaches; the global stability verified using
conventional failure surfaces and partial safety
factors on shear strength parameters, loads and
reinforcement using Talren software (from Terrasol)
and the Kranz method for determining the stability of
soil blocks under the driving effect of anchor forces
and the their impact of the D-Wall surface using
Kranz software (from Soletanche-Bachy).
Figure 4. Inclinometer readings for panel 32

Figure 3. General view of excavation
10 CONCLUSIONS
9 DISPLACEMENT MONITORING
The analysis of the D-Wall behavior up to the
With the progress of excavation on site, a
current excavation stage has shown the following:
displacement monitoring protocol was setup to track
x The elasto-plastic model did not reflect the
and record the lateral movement of the D-Wall
actual top displacement of the D-Wall being
panels for every construction stage. The protocol is
recorded.
composed of two measuring tools; surveying
readings and inclinometer readings. Each panel is x The elasto-plastic calculations are based on the
being equipped at several levels by reflectors which undrained parameters for the construction
are continuously surveyed to determine their stages. We note however that due to some
movements with time. In addition, four inclinometers delays in the execution works, the soil
are installed within panels at the four sides of the parameters might be varying towards the long
project. To this date, only a partial area of the site is term drained parameters and mainly affecting
uncovered and anchor works for the first and the passive resistance.
second rows are partially completed due to ramp x The finite element model is still under
location while works on the third row have started. development and the results obtained at this
The displacements recorded to date for panel #32 stage were not exposed here-in. The model
show a top displacement at +36.75 in the order of shall be revised and optimized in relation with
24 mm where excavation levels have reached +26. the actual displacements recorded on site.
We note however that the error in the displacement x The comparison of the results of both numerical
reading with surveying tools can be in the order of 2 models highlights the importance of performing
to 3 mm. Available inclinometer readings for the two models to fully characterize the D-Wall
same panel #32 have shown maximum top behavior for such deep excavations.
displacement in the order of 20 mm for the same x The displacements of the D-Wall are being
date. The shown D-Wall movement does not continuously monitored to identify any possible
correspond at all to the displacement shape risk or problem for immediate remediation
works.
PRESSURE OF ISOTROPIC GRANULAR MEDIUM ON CLOSELY

SPACED WALLS OF ARBITRARY CURVATURE
LA PRESSION DES MILIEUX MOUVANTS ISOTROPES SUR LES MURS
JUXTAPOSES DE LA COURBURE ARBITRAIRE
1
Aleksej ANISKIN ,
1
Polytechnic in Varazdin, Varazdin, Croatia / Odessa State Academy of Civil Engineering and
Architecture, Odessa, Ukraine
ABSTRACT – In this paper normal pressure on nearby positioned walls of arbitrary curvature for symmetric
plane problem are determined. Further the effect of the wall form influence, its convexity or concavity, on the
normal pressure on wall is assessed. In the case of the wall of an arbitrary curvature there is a problem of
determining of the coefficient of lateral pressure at each point of side wall, thus a function of the coefficient
of lateral pressure for isotropic granular medium is adapted for this purpose.
1. Introduction the granular medium on nearby positioned vertical

walls where it is assumed constant coefficient of
Essential element of coastal countries economy is lateral pressure by depth, which is not in our case,
ports development, including countries with in our case there are arbitrary curved walls.
developed internal water paths.
As evidenced by practice, the water transport is
least energy-intensive per distance unit for 2. Coefficient of lateral earth pressure
transport of most goods.
The goods turnover in ports identified by large In consideration of the normal pressure on the
number of factors, from natural to man-made, walls of arbitrary curvature inevitably appears the
including the equipment of truck fronts, sufficient problem of determining the coefficient of lateral
depth and size of planned marinas to receive pressure.
modern ships. It is known that the coefficient of lateral pressure
Breasting and mooring dolphins are common depends on the inclination angle of the retaining
waterfronts berthing structures for ships of wall α (Muller-Breslau, 1906). Coulomb’s coefficient
significant displacements, bulk carriers, tankers of lateral pressure in dependence on the inclination
and container ships, these structures are divided angle of the wall can be displayed graphically as
into solid, pile and mixed structures. shown on Fig. 1.
Solid structured dolphins are built as a concrete
monolithic or prefabricated elements that placed in
courses of arrays, as well as concrete slabs, sheet
piles driven in closed loops filled with stone, sand,
local soil, waste, etc. Whereas the latter dolphins
are separated from others in group of filled
dolphins. Usually filled dolphins are considered as
structure with nearby positioned walls identical to
silo. They are most common in the marine transport
hydrotechnical engineering.
The problem of calculating normal pressure on
nearby positioned walls occurs in many practice
cases, such as the calculation of the pressure on
the filled dolphins walls, pressures on silo walls, in
the construction of the sheet pile rim (extension of
waterfront), in cellular components of
hydrotechnical structures (mesh embankment,
cellular pier), the pressure on the wall of the ship
filled with bulk cargo, etc.
For the calculation of soil loads on nearby
positioned, side walls the results of Janssen’s
theory (Janssen, 1895) is still applying. As is Figure 1. Coefficient of lateral pressure due to the
known in this theory was determined pressure of slope of the wall.
The Fig. 1 clearly shows that the coefficient of In the calculation it will be adopted the following
lateral pressure grows with increasing inclination of assumptions:
the wall relative to the vertical. In our case, the wall - The surface of granular medium is horizontal;
is curved, so the inclination changes with the depth - Vertical stress σz in an arbitrary horizontal plane
and the lateral pressure coefficient becomes a of the medium filling is uniformly distributed;
function of the wall curvature at the point: - There are no shear stress on this plane;
- Friction of the filling on the walls at each point is
λα = λα ( f ' ( z ) ) (1) determined by the friction coefficient km = tgδ,
where δ is interface friction angle between granular
medium and wall;
Where the function f(z) represents a function of - Normal pressure on the walls σnα in the cross
the form of the curved wall. Attention should be section at the level of z is defined by coefficient of
paid to the fact that the active pressure force acts lateral pressure λα.
at an angle δ to normal of the wall, so it should be Fig. 3 shows a two dimensional wedge-shaped
multiplied with the cosine of that angle to get a infinitesimal element with curved side walls.
normal force on the wall.
3. Lateral pressure on nearby walls with

arbitrary curvature
For clarity and aesthetic reasons it will be shown

the comparison between the normal pressures on
convex and concave wall in relation to the flat wall
with angle of 35° to the vertical, considering that a
plane symmetrical problem on Fig. 2. is shown only
right side of observed structure.
Figure 3. Infinitesimal element of granular medium.
By setting the equilibrium condition for z axis it

is obtained a general differential equation (2).
dσ z λαtgδ + λα f '(z) + f '(z)

+ σz = γ (2)
dz f(z)
Equation (2) was set for the general case of

curved wall which has been determined by the
function f(z).
Resolving of this equation it will be obtained a
distribution of the vertical pressure in dependence
of the relative depth z/H. In this paper we are going
to resolve the differential equation numerically for
the case of the wall described by quadratic function
for concave and convex case in relation to flat
inclined wall (Fig. 2) by using previously obtained
formulas for angled rigid wall (Shkola et al., 2012).
σz =γ ⋅
(H − z ) + (H − z ) A ⋅ C (3)
A −1
where is:
Figure 2. Cross section of the structure
It will be considered an example of the ⎛ tgδ ⎞

A = λα ⎜⎜ + 1⎟⎟ − 1 (4)
cohesionless soil model with the parameters: angle
⎝ tgα ⎠
of internal friction ϕ = 30°, interface friction angle
δ = 30° in the relative coordinate system x/H and z Fig. 4 shows obtained results. It is clear that for
/H, where H is the height of retaining wall. the case of convex wall (case 2) there is a
Also, it will be considered the various curvatures maximum normal stress on the wall and it is the
of the wall - straight f1(z), convex f2(z) and concave undesirable form of the wall, while on the other
f3(z), and compared the normal pressures on the hand the most convenient form is concave form
wall in relation to the relative depth equal to 1.
(case 3). Precisely because of coefficient of normal That is the reason which in designing of
pressure increasing rate is not constant at case 3 analogous structures (big silo outlets, retaining
maximum of normal pressure is lower than in case walls, walled vessels, etc.) it is necessary to take
2. If the coefficient of lateral pressure would be into account cross section form of the wall.
constant, regardless of the wall curvature, the
situation would be completely reversed and the
undesirable form would be a case 3. 5. References
Relative normal stress σnα/γh

Janssen, H.A., (1895). Versuche über
Ϭ͕ϬϬ Ϭ͕ϭϬ Ϭ͕ϮϬ Ϭ͕ϯϬ Ϭ͕ϰϬ Ϭ͕ϱϬ Ϭ͕ϲϬ
getreidedruck in gilozellen. Zeitschr. d. Vereines
Ϭ deutscher Ingenieure 39, p. 1045-1049.
Müller-Breslau H. (1906). Erddruck auf
3 Stutzmauern, Alfred Kroner, Stuttgart.
Ϭ͕ϭ
3
1 Shkola A.V., Aniskin A.A., Soldo B. (2012). Lateral
Ϭ͕Ϯ 2 pressure of anisotropic granular media on
1 nearby steep walls. Axisymmetric and plane
Ϭ͕ϯ problems. Proceedings of National Scientific
2 Seminar with participation of foreign experts
Ϭ͕ϰ "Modern problems in Geotechnics" dedicated to
the 50th anniversary of Geotechnical Research
Ϭ͕ϱ School of Poltava National Technical University
named after Yuri Kondratyuk, Collection of
Ϭ͕ϲ
Papers, series of mechanical engineering
branch, construction engineering, Issue 4(34),
Ϭ͕ϳ
Relative depth, z/H
vol. 2.
Ϭ͕ϴ
Ϭ͕ϵ
Figure 4. Variation of normal pressure on the wall

with relative depth.
4. Conclusions
The design of this type construction and vessels

requires the determination of stress within the
granular fill. Problem for constructions with vertical
and incline walls has been discussed in the past.
In the present paper has been set a differential
equation for the case of arbitrary curved wall, and
the equation is solved numerically for the case of
quadratic concave and convex form and it is shown
graphically functional connectivity of curvature of
the wall and normal pressure to the relative depth.
From the graphical presentation it has been
found that the maximum normal stress, depending
on the curvature of the wall and can vary up to
about 50%, which represents a significant
difference.
At the first sight the results may seem
contradictory because by observing the change
rate of the coefficient of lateral pressure in relation
to the inclination of the wall it shows that with
increasing of wall inclination coefficient of lateral
pressure increases that’s why appears that the
case of the convex wall is better but as written
before, increasing rate of lateral pressure
coefficient on the wall is not constant, which
explains the logic of obtained results.
INTERNALLY INSTRUMENTED SOIL NAIL PULL OUT TESTS

ESSAIS DE TRACTION SUR ANCRAGE DANS LE SOL AVEC
INSTRUMENTATION INTERNE
1 1
Jacobus BREYL , Gavin WARDLE
1
Jones & Wagener Consulting Civil Engineers (Pty) Ltd, Johannesburg, Republic of South Africa
ABSTRACT - In order to evaluate the ultimate bond stress used in modelling soil nail behaviour for lateral
support, soil nail pull out tests are conducted on the site. Test nails are installed with the first metre de-
bonded from the soil to give a free length, whilst the remaining length of nail and grout body is regarded as
the bond length. In the analysis of the test results, it is assumed that the free length is completely de-bonded
from the soil and that the load distribution along the grout body is uniform at failure. Three instrumented soil
nail pull out tests were conducted to evaluate the validity of these assumptions. The current in-house
practice for obtaining a free length proved to be effective. More testing is required to evaluate the typical
load distribution at failure and suggested next steps for further research in this regard are given.
1. Introduction a uPVC pipe greased on the outside. In soil nail

pull out tests conducted by Zhu et al (2011) and
The pull out resistance of a soil nail is governed by Seo et al (2012) a different method was used to
the bond stress on the grout-soil interface, the obtain a free length whereby a portion of the nail
bond between the bar and the grout and the towards the distal end was high pressure grouted
strength of the bar itself. The last two parameters using a packer system. The nail length between the
can be verified off site, but the first parameter packer and the face is viewed as a free length
needs to be confirmed on site. Current practice in grouted under gravity.
soil nail design in South Africa is for the designer to In the current in house testing procedure, three
assume a bond stress for the grout-soil interface load cycles are applied in which the load is
based on soil parameters (Heymann et al, 1992). incrementally increased to 50%, 75% and 100% of
The bond stress is then verified on site by means of the expected failure load. If no failure is reached, a
soil nail pull out tests. The designer usually fourth cycle is applied during which the load is
specifies a required number of nails to be tested. increased up to failure. Zhu et al (2011) used three
There is, however, no accepted standard in South load cycles whilst Seo et al (2012) applied only one
Africa for soil nail pull out testing. This leads to a load cycle until failure.
variety of testing methods being used with different The displacement of the nail head is measured
outcomes. throughout. In the analysis, the applied load is
For example, during a recent design audit of a plotted against the measured displacement and the
lateral support wall, the authors reviewed a range failure point identified by a change in slope of this
of soil nail pull out tests conducted in different soils. line. The failure load (which is taken as the load at
The test nails were all approximately 8 m long. 10% displacement of the grout body diameter) is
Upon analysis it was noticed that the majority of the divided by the bond length to give a pull out
test nails failed at the same load – that of the bar resistance in kN/m and divided by the grout body
2
strength. The only information that could be circumference to give the bond stress in kN/m .
gleaned from this was that the “bond” value Several assumptions are made in this in house
exceeded the capacity of the bar. No further procedure. The free length is assumed to be
information was known about the actual bond value completely de-bonded from the soil and the load
for the different soils. distribution at failure is assumed to be uniform
The current in house practice for soil nail pull along the bonded length of the nail. Zhu et al
out testing is to keep the length of the test nails (2011) found a linear load distribution along the
short to give the grout-soil bond the opportunity to bonded length at small loads with the load
fail before the bar reaches its ultimate capacity. distribution becoming non-linear at higher loads.
The test nail is also provided with a free length (de- A testing programme was set up to investigate
bonded length) over the first meter behind the the validity of these assumptions. The objectives of
excavation face. If the grout column of the test nail the tests were:
were to extend up to the face (as the case for a x To examine whether the current method of de-
working nail) then the grout column will push bonding is effective in obtaining a free length;
against the back of the gunite face during the test x To examine the load distribution along the bond
and increase the measured “bond” of the nail. The length as the load is increased;
free length is obtained by lining the drilled hole with
x To evaluate the load distribution along the bond 20 ton (200 kN) hollow cylinder jack, a hand pump,
length at failure. a pressure dial gauge, displacement dial gauges,
2. Preparation and Installation of Instrumented an electronic pressure transducer and a data
Soil Nails logger to log the change in microvolt as well as the
change in oil pressure.
The soil nails were instrumented by placing 3 load Nails 1 and 2 could not be failed with the 20 ton
cells on each nail in the form of strain gauged jack, but Nail 3 (which was in the diabase) did
Wheatstone bridges. The nails were 4 m long and reach failure. A jack with a larger capacity was then
the bridges were installed at 1 m intervals. Each used to pull Nails 1 and 2. Nail 2 was pulled to the
bridge consisted of two strain gauges welded limit of the bar’s capacity (230 kN) but still failure
longitudinally to opposite sides of the bar. At each could not be reached. It appears as if the
position, a 1-2 mm recess was machined to provide instrumentation on Nail 1 was damaged during the
a level surface for each strain gauge. The larger load application and no useful readings were
longitudinal orientation meant that the gauges obtained.
would elongate when the bar was tensioned. Each
bridge was completed with two 350 precision
resistors located close to the logger. The 4. Data analysis and results
resistance of the cables connecting the precision
resistors to the rest of the circuit brought a slight In the analysis of the data, the applied load was
imbalance to each bridge, but there was enough divided by the assumed bond length of 3 m to
capacity left to measure the applied loads. After obtain a pull out resistance in kN/m. Figures 2, 3
testing the circuit, the bridges were sealed with and 4 show the pull out resistance with
silicon and a tar patch to protect them against the displacement for Nails 1, 2 and 3. Both Nail 1 and 2
water from the grout. did not fail whilst Nail 3 failed during the second
Each Wheatstone bridge was then calibrated by load cycle. (Note: the displacement plotted is the
a determining the relationship between a known actual measured nail head deflection and does not
applied load and the bridge output (in microvolt). take the elongation of the bar into account.)
Three instrumented test nails were installed at
the bottom of a 16m deep basement excavation in
70
Parktown, Johannesburg. A 102 mm diameter hole
was drilled, flushed with air and filled with grout. 60
Cycle 4
PullingForce(kN/m)
The instrumented nails were inserted with care into 50

the homing grout to ensure the wiring did not get 40
Cycle 3
damaged. Nails 1 and 2 were installed in very soft 30
Cycle 2
rock Parktown shales whilst Nail 3 was installed in
20
a weathered diabase dyke intrusion. The nails were Cycle 1
10
installed after the guniting and lateral support
installation in that area had been completed. Figure 0
0 1 2 3 4 5 6 7 8 9
1 shows a section through the installed Displacement(mm)
instrumented test nail with the position of the
Wheatstone bridges and the respective bond Figure 2. Pulling force and displacement for Nail 1
length sections indicated.
90
80
Cycle 6
70
PullingForce(kN/m)
60
50
Cycle 7
40 (larger jack)
Cycles 1
4
30 Cycle 5
20
10
0
0 2 4 6 8 10 12
Displacement(mm)
Figure 1. Location of Wheatstone bridges on the Figure 3. Pulling force and displacement for Nail 2
installed soil nails
3. Testing of Instrumented Nails
Once the grout had cured sufficiently, pull out tests

were conducted. The equipment used included a
60 240
Cycle 4 (191kPa)
50 200
PullingForce(kN/m)
Cycle 4
40
160
BondStress(kPa)
Failure Cycle 3 Cycle 3 (109kPa)
30
Cycle 2
120
20 Cycle 2 (82kPa)
80
10 Cycle 1 (55kPa)
Cycle 1
0 40
0 5 10 15 20 25 30 35 40
Displacement(mm)
0
0 (Section3) 1 (Section2) 2 (Section1) 3
BondLength(m)
Figure 4. Pulling force and displacement for Nail 3
The effectiveness of the de-bonding method
employed can be seen if the applied load is Figure 7. Average stress per bond length section
compared with the load recorded by Bridge 3 for Nail 1
(located at the start of the free length as shown in
Figure 1). Figures 5 and 6 compare these two
values for Nail 1 and Nail 3, respectively. (Although 400
Cycle 7 (228kPa)
similar, the values for Nail 2 are not shown.) 360
Cycle 6 (201kPa)
320
200 280
Cycle 5 (198kPa)
BondStress(kPa)
240
Cycle 4 (111kPa)
160 200
160
Cycle 3 (110kPa)
120 120
Load(kN)
Cycle 2 (83kPa)
80
Cycle 1 (55kPa)
80 40
Applied 0
load 0 1 2 3
40 BondLength(m)
Bridge 3
Load
0
14:24 14:38 14:52 15:07 Figure 8. Average stress per bond length section
Time for Nail 2
200
Cycle 4 (156kPa)
Figure 5. Free length evaluation of Nail 1
160
160 Cycle 3 (111kPa)
BondStress(kPa)
120
120
Cycle 2 (82kPa)
80
Load(kN)
80
40
Cycle 1 (51kPa)
Applied
load
40 0
0 (Section3) 1 (Section2) 2 (Section1) 3
BondLength(m)
Bridge 3
Load
0
11:24 11:52
Time
12:21 12:50
Figure 9. Average stress per bond length section
for Nail 3
Figure 6. Free length evaluation of Nail 3 The average bond stress was calculated for
each section of the bonded length as the load
Figures 7, 8 and 9 show the development of the difference between the two bridges on either side
average bond stress per section for each load of the section divided by the grout perimeter area
cycle applied to test nails compared to the bond within the section. The premise is that the
stress calculated for the 3 m bond length shown in difference in load must have been shed to the soil
italics. via the grout in that section. For example, the load
difference between Bridge 3 and Bridge 2 must
have been shed to the soil in Section 3 (see Figure
1). The bond stress at the end of the nail is zero
and thus the load shed in Section 1 is equal to the
load at Bridge 1
5. Discussion of Results against which the jack presses during the test. This
effect cannot be relied upon for actual wall
5.1 Evaluation of the de-bonded length behaviour, because the gunite face moves with the
nail head once ultimate load for the soil nail has
Figures 5 and 6 show a gap between the applied been reached.
load and the load measured by Bridge 3, for loads
lower than 150 kN. For loads higher than 150 kN
the gap gets significantly smaller. A possible 6. Conclusion and Next Steps for Further
explanation for this is that the applied load is based Research
on oil pressure readings taken at the pump. At low
loads, losses due to jack friction and de-bonding of The current method adopted of de-bonding the first
the free length play a greater role than at high metre of the nail appears to be effective. However
loads. This effect can also be seen in the difference at low applied loads (less than 150 kN), jack and
between the readings on either side of cycle 4 de-bonding friction could result in an over
where the applied load is lower than the load at estimation of the bond stress calculated.
Bridge 3 due to hysteresis of the system due to The calculated bond stress based on the bond
friction. length and the applied load is an average as the
The error that could result due to the load middle portion of the test nail exhibited a higher
applied to the soil nail below 150 kN in the current bond stress than the first and last sections.
setup is that the bond stress calculated from the More tests are required to establish the amount
test result can easily be overestimated, especially that friction in the system affects the results and the
for nails that fail at a low load. A solution would be typical shape of the bond stresses along the length
to always measure the load at the beginning of the of the test nail and whether it is consistent or
free length, but this would be expensive. Another varying depending on the length of the bonded
option would be to factor the applied load below section of test nail. Suggested next steps for further
150 kN, when calculating the bond stress from the research are:
applied jack force. x Measuring the discrepancy between the applied
loads compared to the load at the start of the
5.2 Load distribution along bonded length with bonded section in order to determine a
increased load relationship with which the applied load can be
factored during routine soil nail tests;
It must be kept in mind that the calculation of the x Evaluating the relationship between
average bond stress per section is based on the displacement and bond stress per section of the
assumption that the drilled boreholes for the soil grout body. Electronic displacement logging will
nails are uniform in diameter and that no over- assist in this;
break has occurred. x Tests with more Wheatstone bridges per bond
Figures 7, 8 and 9 show a general increase in length to see if the shape of the load distribution
the middle section of the bonded length, with the curve can be established more accurately by
first metre taking slightly more load than the third having more sub-divisions (similar to Zhu et al
metre. When borne in mind that Nail 3 failed during (2011);
the second cycle and that Nail 1 and 2 did not fail, it
x Including the influence of the bar elongation on
is evident that the current data in hand is
the total displacement of the nail head, and
insufficient to make substantial conclusions about
x Exposing soil nails after the tests to examine the
the load distribution.
grout body to look for cracking and possible
over break portions that could have influenced
5.3 Load distribution along bonded length at
the readings.
failure
Nail 3 is the only nail which clearly failed under

ultimate load during the testing as shown in Figure 7. References
4. This occurred during the second load cycle. At
failure, the bulk of the resisting load was being Heymann G., Rohde A.W., Schwartz K.,
carried by the middle section of the bonded length Friedlaender E. Soil nail pull out resistance in
as shown in Figure 9. Further testing is required to residual soils. Proc. Int. Symposium on Earth
establish if there is a typical load distribution Reinforcement Practice, Fukuoka, Japan,
pattern at failure. November 1992, pp.487-492.
It is interesting to note that, for Nail 3, the Seo H.J., Jeong K.H, Choi H, Lee I.M. (2012).
applied load (and calculated bond stress) kept on Pullout Resistance Increase of Soil Nailing
increasing even after the nail had failed with a Induced by Pressurized Grouting. Journal of
displacement of more than 35 mm measured at the Geotechnical and Geoenvironmental
nail head. This increase in load may have been Engineering, May 2012, pp.604-613.
caused by resistance of the cone of soil between Zhu H.H., Yin J.H., Yeung A.T., Jin W. (2011). Field
the grout body and the back of the gunite face Pullout Testing and Performance Evaluation of
GFRP Soil Nails. Journal of Geotechnical and

Geoenvironmental Engineering, July 2011,
pp.633-642.
Acknowledgement
The authors acknowledge with thanks the
assistance of Professor SW Jacobsz from the
University of Pretoria, ESOR Africa, Mzwakhe
Dlamini and Khethile Mbatha in the collection of
data for this paper.
The original version of this paper is included in the

th
Proceedings of the 15 African Regional
Conference on Soil Mechanics and Geotechnical
Engineering.
PARAMETRIC STUDIES ON REDUCTION IN SURCHARGE

INDUCED EARTH PRESSURE USING EPS GEOFOAM INCLUSION
DES ÉTUDES PARAMÉTRIQUES SUR LA RÉDUCTION DU SUPPLÉMENT
INDUITES PRESSION TERRE À L'AIDE EPS GEOFOAM INCLUSION
T. N. DAVE1 and S. M. DASAKA1
1
Indian Institute of Technology Bombay, Mumbai, India
ABSTRACT - In the present study, a validated retaining wall model of 6 m height is used to evaluate
magnitude and distribution of earth pressure on a retaining wall subjected to a surcharge loading using
Finite Element Code PLAXIS. Properties of backfill soil, EPS geofoam thickness and distance between
retaining wall and edge of surcharge loading (h/4) were maintained while varying surcharge pressure over
the backfill in the range of 10 kPa to 50 kPa and densities of EPS geofoam in the range of 10 kg/m3 (10D) to
15 kg/m3 (15D). It was observed that under surcharge pressure of 50 kPa, geofoam inclusion of 10D, 12D
and 15D resulted in reduction in lateral thrust of 44%, 47.5% and 40%, respectively. The corresponding
strains in geofoam at 50 kPa surcharge were 1.6%, 1.2% and 0.89%, respectively. The maximum backfill
surface settlement of 19.45 mm, 24.3 mm, 21.2 mm and 19.78 mm were observed for nofoam, 10D, 12D
and 15D cases, respectively. Comparing settlement due to 10D, 12D and 15D geofoam compression,
observed surface settlement was minimum in case of 15D geofoam.
1. Introduction EPS is known to have stiffness much smaller than

any other geofoam material.
Retaining walls are invariably used as part of
infrastructure projects, and underground urban
construction. Lateral pressure on these walls due 2. Review of Literature
to backfill, surcharge load from adjacent structures,
loads due to traffic and seismic loading decides Partos and Kazaniwsky (1987) conducted a field
their sectional dimensions. Reduction of earth study on reduction of lateral thrust behind rigid wall
pressure on retaining wall reduces the structural by using prefabricated EPS drainage board as
demand and leads to overall construction compressible geo-inclusion against a 10 m high
economy. The geotechnical profession has been rigid basement wall. Using instrumented model
constantly working for a viable solution to reduce studies McGown et al. (1988) demonstrated
the earth pressures exerted on retaining walls, significant reduction in lateral earth pressure even
which would eventually reduce the construction below active earth pressure, when soil was allowed
cost of the wall, and post-construction maintenance to yield in controlled manner. Karpurapu and
cost. A technique of placing a compressible Bathurst (1992) used a non-linear finite element
inclusion at the soil-wall interface has come into analysis to simulate the controlled yielding concept
existence to minimize earth pressures on retaining for static loading conditions. The study concluded
walls. Previous research studies indicated that that compressible inclusion with t = 0.01h (where t
provision of a compressible inclusion behind a rigid is thickness of compressible inclusion and h is
non-yielding/limited yielding or yielding wall would height of the wall) would provide active stress
contribute to the economical design of the wall by conditions in the backfill, if the stiffness of the
imparting controlled yielding in the backfill material. compressible inclusion is sufficiently small.
Deformations in a retained soil mass mobilize a Purnanandam and Rajagopal (2008) reported
greater portion of the available shear strength of field and laboratory results of controlled yielding
the material and decrease the unbalanced lateral technique to reduce lateral earth pressures on rigid
forces acting on the retaining structure. In the past, box culverts. The field test results showed 52%
materials such as glass-fiber (Rehnman and reduction of lateral earth pressure at a depth of 4.5
Broms, 1972) and cardboard (Edgar et al., 1989) m from the surface of the box culvert. Laboratory
have been used for similar applications. However, model tests with fibre glass wool under surcharge
their stress-strain behaviour is unpredictable and pressure of 50 kPa showed to 76% to 89%
uncontrollable. In addition, these materials are reduction in lateral earth pressures. Numerical
either too compressible (glass-fiber) or studies by Ertugrul and Trandafir (2011) pointed
biodegradable. Expanded Polystyrene (EPS) out that the reduction of the lateral thrust can be
geofoam is considered as a suitable material, as it derived from thickness and relative stiffness of the
fulfills the required stress-strain behavior. Also, geofoam inclusion. Horvath (2010) highlighted
compressive stiffness (E/t, where E is modulus of
elasticity of geofoam, t is thickness of geofoam) as directions (plane) with strains perpendicular to the
the single most important behavioural characteristic x-y plane are negligible. In order to simulate rigid
of any compressible inclusion influencing the boundaries of strong box, fixed boundary
reduction. conditions of FEM model were selected such that
they represent the conditions of model test closely.
2.1. Constitutive Models used During Numerical
The present study was limited to dry sand backfill
Analysis
and surcharge pressure over the backfill was
Various researchers have used different material varied in the range of 10 kPa to 50 kPa. Pictorial
behaviour and constitutive relationships in their views of model generated using PLAXIS
numerical study to understand reduction of earth corresponding to the case of retaining wall with
pressure on retaining wall using geofoam. geofoam inclusion is shown in Fig.1. Numerical
• Modelling of soil: Elastic-perfectly plastic simulations were carried out for 0.6 m high
(Zarnani and Bathurst, 2009b; Trandafir and retaining wall without and with geofoam inclusion
Ertugrul, 2011; Athanasopoulos et al., 2012) or and results corresponding to 50 kPa surcharge
Mohr-Coulomb yield criterion or equivalent linear loading are validated using corresponding
material (Zarnani and Bathurst, 2009a). experimental findings, as presented in Figs. 2 and
• Modelling of EPS geofoam: Purely cohesive 3.
material (Zarnani and Bathurst, 2009b), or an
equivalent linear material (Zarnani and Bathurst,
2009b) or linearly elastic material (Trandafir and
Ertugrul, 2011).
• Modelling of retaining wall: As a vertical elastic
beam with finite rigidity connected to a rigid base
through a rotational spring (Athanasopoulos et
al., 2007) or fully rigid plate with no rotational
degrees of freedom (Zarnani and Bathurst,
2009b).
• Modelling of interface: Elasto-plastic interfaces,
characterized by interface friction angles of 45º
and 26º (Trandafir and Ertugrul, 2011) or zero
thickness interface layer between foam and
backfill (Zarnani and Bathurst, 2009b).
Review of previous studies revealed that very few Figure 1 Plaxis model corresponding to retaining
investigators have attempted to evaluate earth wall with geofoam
pressures on retaining walls subjected to surcharge
loading and to evaluate effectiveness of geofoam to
reduce earth pressure and total lateral thrust.
Hence, a parametric study is carried out using
commercially available finite element package
PLAXIS 2D (V-2010), validated against small scale
physical model tests. Effectiveness of EPS
geofoam was evaluated in terms of reduction in
magnitude and distribution of earth pressure and
lateral thrust on retaining wall under surcharge
loading.
3. Methodology Adopted in the Present Study
In order to evaluate effectiveness of EPS geofoam

inclusion to reduce surcharge induced stresses,
parametric studies were carried out by varying the
density of EPS geofoam. In this study, properties of Figure 2 Validation of results for retaining wall
backfill, EPS geofoam thickness, interface without geofoam
elements, distance between retaining wall and
edge of surcharge loading (h/4), number of nodes The parametric study was then extended to 6 m
and mesh size were maintained as constant. Since high retaining wall. During the analysis, geofoam
the experimental setup consists of a strong box, thickness of h/8 (i.e. 75 mm for 0.6 m model height
with lateral constraint, a plane-strain analysis was and 75 cm for 6 m model height) was taken into
selected as the most appropriate to simulate the consideration. Properties of backfill, retaining wall
experimental behaviour of backfill. In this analysis and EPS geofoam considered in the present study
deformations of practical interest occur in biaxial were summarised in Table 1-3.
As presented in Figs. 2 and 3, numerical results

match well with corresponding experimental results
for top 2/3rd height of retaining wall. Though, for
bottom 1/3rd portion little deviation was observed,
which may be due to inherent limitations of
numerical modelling. However, experimental and
numerical lateral thrust matched well. Fig. 4
presents the comparison of observed backfill
surface settlement corresponding to 50 kPa
surcharge load for cases considered in this study.
The maximum difference in surface settlement of 9
mm was observed between no foam and 10D
geofoam cases which were observed at 2.5 m
distance from face of retaining wall denoted by A1
and A2. However, maximum backfill surface
Figure 3 Validation of results for retaining wall with
settlement of 24.3 mm is observed for 10D cases,
15D geofoam
denoted by A3. Further, settlement due to
surcharge loading alone was about 19 mm in
Table 1 Summary of the backfill properties used in
nofoam case which implies that an additional 5.3
the study
mm settlement was noted due to geofoam
compression. Earth pressure distribution for 6 m
Soil Properties Value
high retaining wall when subjected to 50 kPa
Bulk unit weight, γ (kN/m3) 16 surcharge loading was presented in Fig. 5.
Initial tangent modulus E* (kPa) 13000 Provision of EPS geofoam reduced magnitude of
Poisson’s ratio, υ 0.25 maximum earth pressure significantly. However,
Cohesion, C* (kN/m2) 1 among the geofoam of different varieties, there is
marginal change in maximum earth pressure.
Relative density, ID (%) 65
Angle of internal friction, φ* (°) 39
Dilatancy angle, ψ (°) 0
Co-eff. of permeability, k (m/day) 1
Interface coefficient, Rinter 0.667
*
– parameters obtained from UU tests
Table 2 Summary of the retaining wall properties

used in the study
Stainless Steel Wall Properties Value

Density-a (ρ) (kg/m3) 7850
Modulus of elasticity (E) -a (GPa) 180
Axial rigidity, EA (kN/m) 8.235 × 105
Flexural rigidity, EI (kN-m2) 15.44
Poisson’s ratio, υ 0.29 Fig. 4 Comparison of maximum backfill surface
-a
– Properties of 304 stainless steel as per AISI settlement obtained from parametric studies
Comparing Figs. 4 and 5, it can be concluded that

Table 3 Summary of the EPS geofoam properties
for 6 m high retaining wall subjected to 50 kPa
used in the study
surcharge, reduction in lateral thrust by providing
geofoam inclusion of 10D, 12D and 15D were
EPS Geofoam Properties EPS10 EPS12 EPS15
about 44%, 47.5% and 40%, respectively. The
Density, ρ-a (kg/m3) 9.42 11.06 14.15 corresponding strains in geofoam were 1.6%, 1.2%
Stiffness, E-a (kPa) 1325 1550 2500 and 0.89%, respectively. The maximum backfill
Poisson’s ratio-b (υ) 0.058 0.069 0.086 surface settlement of 19.45 mm, 24.3 mm, 21.2
Axial rigidity, EA (kN/m) 30.31 35.46 57.19 mm and 19.78 mm were observed for nofoam,
10D, 12D and 15D cases, respectively.
Flexural rigidity, EI (kN-m2) 0.014 0.016 0.027
-a
– From lab tests conforming ASTM D6817 – 11
-b
– Derived from Horvath (1995)
respectively. This indicates that for 6 m height

wall, 15D geofoam would be highly suitable in
terms of satisfying serviceability condition.
References
Athanasopoulos, G. A., Nikolopoulou, C. P.,

Xenaki, V. C. and Stathopoulou, V. D. (2007).
Reducing the seismic earth pressures on
retaining walls by EPS geofoam buffers –
Numerical parametric analysis, Proc.,
Geosythetics 2007, USA.
Athanasopoulos, Z. A., Lamote, K., and
Athanasopoulos, G. A. (2012). Use of EPS
geofoam compressible inclusions for reducing
the earthquake effects on yielding earth
Fig. 5 Comparison of maximum earth pressure retaining structures. Soil Dynamics and
obtained from parametric studies Earthquake Engineering 41, pp. 59-71.
Edgar, T. V., Puckett, J. A., and D’Spain, R. B.
Comparing settlement due to 10D, 12D and 15D
(1989). Effect of geotextiles on lateral pressures
geofoam compression, observed surface
and deformation in highway embankments.
settlement was minimum in case of 15D geofoam.
Geotextiles and Geomembranes Vol. 8, No. 4,
Keeping in mind the reduction in lateral thrust,
pp. 275-292.
strains in geofoam inclusion and backfill surface
Ertugrul, O. L., and Trandafir, A. C. (2011).
settlement, it can be concluded that though 10D
Reduction of lateral earth forces acting on rigid
and 12D geofoam inclusions help to significantly
nonyielding retaining walls by EPS geofoam
reduce the lateral thrusts compared to 15D
inclusions. Journal of Materials in Civil
geofoam, corresponding compressive strains and
Engineering Vol. 23, No. 12, pp. 1711-1718.
surface settlements were higher and might not be
Horvath, J. S. (2010). Lateral pressure reduction on
suitable from serviceability point of view. On the
earth-retaining structures using geofoams:
other hand compressive strains in 15D geofoam
Correcting some misunderstandings. Proc.,
inclusion were within elastic range and the backfill
ER2010: Earth Retention Conference 3, ASCE,
surface settlement was also comparable to nofoam
Reston, VA.
case. Hence, provision of 15D geofoam inclusion at
Karpurapu, R., and Bathurst, R. J. (1992).
retaining wall – backfill interface would be
Numerical investigation of controlled yielding of
beneficial to reduce lateral thrust by 40% for a rigid
soil-retaining wall structures. Geotextiles and
retaining wall of 6 m height.
Geomembranes 11,115-131.
5. Conclusions McGown, A., Andrawes, K. Z., and Murray, R. T.
(1988). Controlled yielding of the lateral
Following are the salient conclusions derived from boundaries of soil retaining structures. Proc., of
the present studies: the Symposium on Geosynthetics for Soil
• For 6 m wall height, geofoam inclusions of 10D, Improvement, ASCE, Tennessee, 193-211.
12D and 15D and 0.125h thickness experienced Partos, A. M., and Kazaniwsky, P.M. (1987).
compressive strains of 1.6%, 1.2% and 0.89%, Geoboard reduces lateral earth pressures.
respectively. During the application of surcharge Proc., of Geosynthetics’87, Industrial Fabrics
load, 10D and 12D geofoam inclusions crossed Association International, LA, USA, 628-639.
their elastic range of 1% strain; hence their use Purnanandam, K. and Rajagopal, K. (2008). Lateral
must be restricted to lower surcharge loads. earth pressure reduction due to controlled
• Measured backfill surface settlements were yielding technique. Indian Geotechnical Journal
found minimum for nofoam case and increased Vol. 38, No. (3), pp. 317-333.
with using lower geofoam density. Maximum Rehnman, S. E., and Broms, B. B. (1972). Lateral
surface settlement of 19.45 mm and 24.3 mm pressures on basementthwalls: Results from full
scale tests. Proc., of 5 European conference
were observed for nofoam and 10D geofoam on Soil Mechanics, Madrid, Vol. 1, pp. 189-197.
cases. This indicates that additional 5.3 mm Zarnani, S., and Bathurst, R. J. (2009a). Influence
surface settlement caused due to geofoam of constitutive model on numerical simulation of
compression and associated soil movement in EPS seismic buffer shaking table tests.
active direction. In case of studies with 15D Geotextiles and Geomembranes 27, pp. 308-
geofoam, uniform settlement of about 19.78 mm 312.
was observed on the backfill surface. Zarnani, S., and Bathurst, R. J. (2009b). Numerical
• For 6 m high wall, observed reduction in lateral parametric study of expanded polystyrene
thrust using 10D and 15D geofoam under 50 (EPS) geofoam seismic buffers. Canadian
kPa surcharge load was 44% and 40%, Geotechnical Journal 46, pp. 318-338.
DEEP SUPPORTED EXCAVATIONS IN THE CENTER OF ZAGREB

EXCAVATIONS PROFONDES SOUTENUES DANS LE CENTRE DE ZAGREB
1
Matilda ĐIDARA
1
Geokod d.o.o., Zagreb, Croatia
ABSTRACT - The article is primarily concerned with the problem of deep ground excavation in urban area
of Zagreb. Obstacles have an effect on design, but also lead to numerous alterations during the construction
period. In urban areas, especially downtown centres and old cores, most of the buildings fall under special
laws and regulations of the Conservation Office. Very often various boundary conditions appear within a
small building site. There are unresolved ownership issues, bad relationship amongst the neighbours, decay
and undocumented changes in the geometry of existing buildings to be dealt with. All of the above limits
designer’s freedom. It also calls for additional investigation which may exceed funding and occasionally
extend the deadline. The problems and solutions are presented throughout series of deep ground
excavations located in Zagreb’s centre. Original and alternative solutions will be discussed, stressing out
advantages and disadvantages of each.
1. Introduction 2. Guidelines
The first recorded appearance of the name Zagreb The basic data which is given by the Investor very
is dated to 1094, at which time the city existed as often proves to be insufficient or out of date. Good
two different city centres: the smaller, eastern preparation and investigation of the conditions
Kaptol, inhabited mainly by clergy and housing which occur on a specific parcel will help avoid any
Zagreb Cathedral, and the larger, western Gradec, difficulties in the design process. Hence the
inhabited mainly by farmers and merchants. Today, following is suggested:
the latter is one of the best preserved urban nuclei
in Croatia. • Available data must be cross-checked with
Throughout the years, Zagreb grew around the current condition of the parcel.
these two historical cores. Zagreb’s fortification • Attention needs to be directed to the
walls are still recognisable, many of which are neighbouring buildings. Special laws and
incorporated into the walls of existing buildings. As regulations and the geometry of the structure
a result of Zagreb’s rich history many architectural must be well-known (this especially refers to
styles are present in the town’s core such as underground levels, if any exist).
medieval architecture, classicism, secession and • If the available data is insufficient, further
Croatian modern (avant-garde). These buildings investigation must be made by contacting
fall under special laws and regulations of the other firms and offices which were involved
Conservation Office. Special considerations are to in the building process of the surrounding
be made while designing in such area. Even if the structures. In case of old buildings dating to
construction site is not situated on a parcel which th
the beginning of the 20 century and older it
holds preserved building, most of the neighbouring is advised to contact the State Archives.
buildings are under protection so extra care needs • A detailed scheme of the conditions which
to be taken to assure the buildings stay appear alongside parcel’s border is
undisturbed and undamaged. suggested. It is advised to overlap the
Consequently of city’s growth and urban geometry of the adjacent structures with the
planning the parcels in city’s centre are significantly geometry of the future building.
smaller than the ones in newer areas. Therefore, • The lack of space and other conditions that
the solutions for deep excavations rely on the need to be respected must be kept in mind
technology that can be applied in certain situation. because some technologies (machinery) will
Very often we meet different boundary conditions not be applicable.
on a relatively small parcel. This calls for different • Signed permissions from the owners of the
types of solutions. Keeping in mind that a lot of neighbouring buildings must be collected if
changes in building’s geometry are not even the design of the supporting structure
recorded in the Planning Office, working with such interferes with their parcel.
cases requires extra investigation. Main reason for
• Adjacent structures must be inspected prior
deep ground excavation in city’s core is the lack of
to the construction and their state
parking spaces, which is resolved by underground
documented in an official report. In case of
parking levels.
any later reported damages, this will help
determine if the noted claims are false or After making a detailed investigation of the
true. conditions which occur on the lot and studying the
• Geodetic survey of the bordering structures design of the new building’s geometry, a decision
during the construction must be conducted was made to use driven piles, IPE 240 and IPE 200
as often as possible. It is advised to make a steel elements in combination with anchors. The
log of movements after each major phase in steel profiles were each spaced at the distance of
the construction. 75 cm, and various in length. Eight different cross
• Zagreb’s centre is known for active and sections of the supporting structure were designed
inactive landslides. This fact dictates special to assure safe excavation.
conditions for designing and constructing in
such locations.
3. Examples of deep ground excavations
Some of the problems which can arise are

presented in each of the four examples of deep
ground excavations (three of which are located in
Zagreb’s centre and one of them located in inner
city area) listed below. Original and alternative
solutions are presented, stressing out both
advantages and disadvantages.
3.1. Tkalčićeva Street
Tkalčićeva Street is one of the most famous streets

in Zagreb’s old core. Centuries before the today's
Figure 2. Geodetic survey points in Tkalčićeva
street emerged, the route of Tkalčićeva Street was
Street
covered by the Medveščak creek. In 1898 the
creek was covered. On the eastern parcel Park
High vibration pile hammers were used to cause
Opatovina is situated along with the rampart.
as little disturbance as possible. The dimension of
Northern parcel holds a patisserie and there are no
the excavation pit was rather small, thus the
buildings situated on the southern parcel.
solution proved to be particle because it could be
constructed with smaller machinery which would be
easily manoeuvred inside the pit. Since there was
no place to construct the ramp, machinery was
simply lifted from the pit with a small hydraulic
crane.
Geodetic measurements were made after each
phase of the construction. The survey points, (16
geodetic benchmarks) were placed on the
supporting structure, neighbouring buildings and of
course the rampart as shown in Figure 2. As
previously stated no major movements of the
existing structures were allowed, therefore the
monitoring was of most importance. Only minor
displacements were recorded and there was no
damage caused either to the buildings, the rampart
or the street.
Figure 1. Deep supported excavation in Tkalčićeva
Street with rampart 3.2. Zavojna Street
As a part of reconstruction and adaptation an In the vicinity of Tkalčićeva Street a small parcel of
extension with underground levels had been 260 sq. meters is situated. Existing building is
added. The key problem was to design and later on slated for demolition due to bad condition of the
construct a type of solution which will keep the structure and residential building is to be built
rampart in place, not allowing any major instead. Eastern parcel boundary is situated at the
movements which could damage the wall. Also absolute height of 143.45 masl (meters above sea
under the instruction of the Conservation Office level), and the western at 135.60 masl. Final
some remains of the former building had to be kept excavation is set at 131.00 masl. Eastern and
in place. In Figure 1. such elements and rampart northern parcel boundary holds residential
are shown, as well as the supporting structure.
buildings, southern parcel holds a shopping centre, building is to be replaced by a new residential
and the street is situated on the western boundary. building with underground parking level. Unlike
former building, it is not only set deeper in the
ground but also larger, spanning from one parcel’s
border to another. This called for a supporting
structure to be placed directly on the parcel’s
boundaries. Once more, various conditions were
present on a small lot. Aware of that, further
investigation was made but undocumented
changes on neighbouring parcel were only
discovered after the construction began. On the
northern boundary a higher level of terrace was
constructed by the neighbours (shaft seen in Figure
Figure 3. Plan view-deep supported excavation in 5.) and not reported to any competent authorities.
Zavojna Street-original solution This led to a change in the geometry of the
designed supporting system.
On the southern boundary additional funds and
time were spent on the extraction of the supporting
system which was constructed for the building
situated on the neighbouring parcel. Whether the
supporting structure was placed in lot with the
permission of the previous owner or illegally it is not
known. It obstructed the excavation, thus needed to
be removed as soon as possible to keep up with
the schedule.
Figure 4. Plan view-deep supported excavation in

Zavojna Street-alternative solution
Original design (Figure 3.) envisioned driven

steel IPE 240 and IPE 270 elements in combination
with anchors. The key problem to this solution was
the disagreement amongst the neighbours, who did
not formally consent to such solution; hence a new
one was required.
Alternative solution (Figure 4.) maintains all
operations regarding construction of the supporting
structure within the boundaries of the parcel and
does not include any interference on the adjacent
parcels. The anchors were replaced by set of HEB
340 elements, which act as bracing beams.
Depending on the depth of excavation, one to three Figure 5. Deep supported excavation in
levels of bracings are set. Vertical IPE elements Medvedgradska Street
remain the same as in the previous design.
Mitigating circumstance was the existence of As in previous designs, the supporting structure
the diaphragm wall which was previously is made of IPE steel profiles combined with
constructed along with the shopping centre. anchors with an addition of reinforced walls which
The parcel is only 9 meters wide and steep. underpin the foundations of the existing buildings.
First solution provides undisturbed excavation,
whereas the second solution does not, due to 3.4. Children’s Hospital Srebrnjak
bracings. From an engineering point of view first
solution is preferable. Also, second solution asked A new wing is being added to Children’s Hospital
for detailed design of joints (e.g. bracings - Srebrnjak, located in Maksimir, Zagreb. The
diaphragm wall, bracings - horizontal HEB 340 original solution offered IPE 240 steel profiles and
beams). From an economical point of view anchors. Excavation depth is 11 m at its maximum
alternative solution was somewhat more cost and it drops down on both lateral sides of the pit.
effective. Since anchoring is not possible on lateral sides an
alternative solution is offered. A frame made of
3.3. Medvedgradska Street reinforced concrete piles connected with beams, as
shown in Figure 6. Piles extend 60 cm in diameter,
Medvedgradska Street leads north from Tkalćićeva and 8m-15 m in length. They are placed at 4.5 m
and Zavojna Street. As in previous example, former distance transversally and at 1.5 m longitudinally.
The piles act as a console. Reinforced piles

have both higher normal stiffness and flexural 5. References
rigidity in comparison with IPE elements; hence
there is no need for anchoring elements, which Geokod d.o.o., (2008). The design of deep
makes alternative solution economically favourable. supported excavation in Tkalčićeva Street 7,
Zagreb.
Geokod d.o.o., (2012). The design of deep
supported excavation in Medvedgradska Street
52, Zagreb.
Geokod d.o.o., (2012). The design of deep
supported excavation in Zavojna Street 6,
Zagreb.
Wikipedia. (2013). Zagreb.
Figure 6. Support system model-Children’s

Hospital Srebrnjak
Once again, alternative solution keeps from

interfering with the neighbouring parcel and
provides safe excavation. Previous design
neglected the fact that anchoring on both lateral
sides was not an option. This called for additional
cost in a form of a new design. Furthermore, new
contractors needed to be assigned due to change
in the technology.
4. Conclusion
The design in geotechnical engineering is largely

controlled by uncertainty in material properties.
This fact makes geotechnical engineering one the
most unpredictable branches of civil engineering.
However, the point of this article was to stress out
some other issues.
Designing deep supported excavations in urban
areas, especially in city’s old core, brings a whole
new range of potential obstacles: buildings fall
under special laws and regulations as the part of
the cultural property, various boundary conditions
appear within a small building site, the changes in
geometry of existing buildings are undocumented
etc. These conditions need to be perceived at the
most earliest stage of the design, only then can
upcoming complications be avoided. Thorough
preparation and additional efforts on the designers
behalf, combined with adaptability and good
communication of all parties included will lead to a
sensible, from an engineering point of view, and
economically feasible solution.
INVESTIGATION OF SHEET PILE PENETRATION IN SURFACE SEALS

BY USING THE COUPLED EULERIAN-LAGRANGIAN METHOD
ANALYSE DE LA PÉNÉTRATION DES PALPLANCHES DANS LES ÉTANCHÉITÉS
DE SURFACE À L’AIDE DE LA MÉTHODE COUPLÉE D’EULER-LAGRANGE
Hatice KAYA
Institute of Geotechnical Engineering and Construction Management
Hamburg University of Technology, Hamburg, Germany
ABSTRACT - Surface seals of inland waterways are often made of cohesive material to reduce losses of
seepage water and to increase their stability. Impairments of these sealing layers can be caused by ship
collision, construction work or environmental influences. This paper focuses on possible damage due to
construction work, especially due to the installation of sheet piles through these layers. On the one hand the
penetration of sheet piles can cause spreading of the cohesive material into the sandy sublayers. On the
other hand it can also generate gaps between the sheet pile and the cohesive material due to horizontal
vibrations caused by the driving process. To investigate these soil mechanical processes numerical
simulations are performed using the Coupled Eulerian-Lagrangian method (CEL). To describe
characteristics of the soil a hypoplastic model for sand and a non-linear elastic, strengthening plastic model
for clay are used. In order to evaluate the impact of different factors a parameter variation was carried out.
1. Introduction To describe the characteristics of the soil a

hypoplastic model for sand and a non-linear elastic,
Surface seals of inland waterways are often made strengthening plastic model for clay is used. In
of cohesive material to reduce losses of seepage order to evaluate the impact of different factors a
water and to increase their stability. Impairments of parameter variation was carried out, in which
these sealing layers can be caused by ship parameters such as the soil parameters, sheet pile
collision, construction work or environmental thickness or contact conditions are modified.
influences. This paper focuses on possible damage
due to construction work, especially the installation
of sheet piles through these layers. On the one 2. Impervious Lining Systems on Waterways
hand the penetration of sheet piles can cause
spreading of the cohesive material into the sandy A clay sealed waterway as it is commonly built in
sublayers. On the other hand it can also generate Germany is modeled. It consists of a sand core
gaps between the sheet pile and the cohesive covered with an about 20 cm thick clay layer as it is
material due to horizontal vibrations caused by the shown in Figure 1. A geotextile and the armour
driving process. stones cover and protect the clay from damage or
To investigate the mentioned soil mechanical erosion in the final state. These components are
processes and the failure mechanism, numerical not modeled.
simulations are performed using the Finite-Element
Method (FEM). In recent years, the FEM with an
explicit time integration scheme has been used in
many geotechnical applications involving large
deformations and complex contact conditions
where an implicit formulation does not lead to
satisfying results, e.g. Henke (2009), Qiu (2012).
The Coupled Eulerian-Lagrangian (CEL) approach,
which bases on such an explicit time integration
formulation, extends simulation possibilities to
problems with large soil deformations, which
cannot be solved using classical FEM because of
mesh distortions (Qiu et al., 2011). Because of the
expected large deformations of the soil, as they
occur during the pile installation, the CEL method is
used. Figure 1: Composition of the bank and bottom
protection (BAW, 2013)
During construction work at a surface seal of a

waterway a loss of water caused by a decreasing
permeability of the system was detected.
Furthermore, crack formation as pictured in
Figure 2 was observed which also supports the
theory of a weakening of the sealing.
Figure 3: Finite element model with discretisation

Figure 2: schematic representation of crack and boundary conditions
formation along a sheet pile
3.2. Constitutive models for soils
3. Numerical modeling
For the sand core a hypoplastic constitutive soil
A simplified version of the described situation is model is used. In this paper, the results for a non-
simulated numerically using the CEL-method linear elastic, strengthening plastic model are
offered by the finite element software presented.
Abaqus/Explicit (Dassault Systèmes, 2012). Due to
the used CEL algorithm only pure stress-strain 3.2.1. Sand
analyses of totally drained or totally undrained
conditions are practicable. In this investigation a The hypoplastic model in the version of Gudehus
totally drained analyses was carried out. (1996) and von Wolffersdorff (1996) in the
formulation of von Wolffersdorff (1996) with the
3.1. Numerical Model extension of intergranular strains by Niemunis and
Herle (1997) is used. With the hypoplastic
To investigate the main mechanisms of constitutive model the nonlinear and anelastic
deformation and the effects on the permeability of behaviour and the dynamic compaction process of
the whole system, the sheet pile driving into the sand can be described realistically. Furthermore,
clay covered sand core is simulated as shown in typical characteristics like dilatancy, contractancy,
Figure 3. For this analysis an idealized profile of a different stiffnesses for loading and unloading as
common sheet pile is used. Figure 3 presents the well as the dependency of the stiffness from the
finite element model and the boundary conditions. void ratio and mean pressure can be considered.
The displacement of the bottom is fixed in vertical In the analysis the parameters of a model sand
and the displacements of the sideways are fixed in called „Karlsruher Sand“ are used. The appendant
horizontal direction. material parameters are listed in Table I.
The finite element model consists of the
Eulerian part, which is divided in two soil layers and Table I. Hypoplastic material parameters of
a void area above to enable lifting of the soil, and “Karlsruher Sand”
the sheet pile modeled with Langrangian elements. Parameter ϕc (°) hs (MPa) n (-) ed0 (-)
The whole model is discretised with about 30,000 30 5.8 0.28 0.53
Eulerian and 5,000 Lagrangian elements. Parameter ec0 (-) ei0 (-) α / β (-) mT (-)
Several methods of driving are used. Depending 0.84 1.00 0.13/1.05 2
on the used type the sheet pile is either modeled as Parameter mR (-) R (-) βR (-) χ(-)
a deformable body with a linear elastic material 5 0.0001 0.5 6.0
behavior or as a rigid body. The rigid body is used
in a simplified approach, whereas the elastic 3.2.2. Clay
material behaviour allows a modeling of lateral pile
oscillations during the driving process. For the To model the behaviour of the sealing, the Modified
elastic material behaviour a Young‘s modulus of Drucker-Prager/Hardening Cap model implemented
8 2
E = 2.1 x 10 kN/m and a Poisson‘s ratio of ν = 0.3 in Abaqus is used. It is based on the addition of a
are assumed for steel. The load is applied at the cap yield surface to the Drucker-Prager plasticity
top of the sheet pile.
model, which provides an inelastic hardening 4.1. Deformation mechanism and spreading of
mechanism to account for plastic compaction and clay into sand
helps to control volume dilatancy when the material
yields in shear (Abaqus, 2012). The material Due to the driving process the clay is pulled by the
parameters of a clay (so-called “Nottenkämper sheet pile downwards. The present material is
Clay”) as used for surface seals were determined displaced to the sides and is pushed upwards. With
with the help of laboratory tests. The main increasing penetration depth a circular movement
appendant parameters are listed in Table II. is observable (compare Figure 5). At the surface a
Furthermore, the comparison of the results of the settlement caused by the material transport is
standard element test is shown in Figure 4. recognizable. After entering the sand core the clay
is transported into the sand layer by the pile. The
Table II. Material parameters of “Nottenkämper described deformation mechanism is in accordance
Clay” with results of Massarsch (1975).
Parameter ϕc (°) c (kPa) R (-) εin,v,0 (-) α (-)
25 7.5 0.28 0.84 1.0
Figure 4: Simulation of standard element tests
3.3. Contact formulation and Loading

Figure 5: Deformation mechanism (surface
The contact between sheet pile and soil is modeled roughness of steel δ = 1/3 ϕ)
by use of a surface to surface contact algorithm
(Dassault Systèmes, 2012). The tangential contact Depending on the roughness of the sheet pile
is simplified assumed by an angle of wall friction of surface the film of clay covering the steel is
the clay, as the deciding layer, and is varied transported into the sand core. Similar results were
between δ = 1/3ϕ‘ to 2/3ϕ‘. Effects caused by observed by Förster and Tamaskovics (1992). In
adhesion, which appear during small movements Figure 6 the spreading process is depicted for two
are unconsidered. different time steps. The material is jerked down to
A geostatic stress state is defined as initial a certain depth. After that only insignificant
condition. The whole model is affected by gravity. amounts of material intrude into the lower layer.
The sheet pile driving is simulated in two different Figure 7 presents a sectional view of the model
ways. In the first variation the driving is simulated where the contact pressure on the sheet pile
displacement-controlled. In a second session the surface is illustrated for different surface
driving is force-controlled by driving strokes of roughness. During the penetration process the
F = 10 kN, which are applied to the head of the contact between sheet pile and soil can be
sheet pile. In the last variation a horizontal interrupted.
deflection with an amplitude of 1 cm and a
frequency of f = 10 Hz is generated to investigate
the processes of gap development.
4. Results
The simulations were performed with different

driving conditions for example the different used
penetration types as well as varying surface
roughness of steel. In the following section the
main characteristics of the results were pointed out.
Figure 6: Spreading of clay into the sand core
(surface roughness of steel δ = 1/3 ϕ)
sheet pile. The extent and dimension of the cracks

has to be investigated with further approaches.
All effects depend on the driving conditions such
as driving type or penetration velocity and the
material parameters such as surface roughness of
steel. Particularly with regard to the dependence on
the penetration velocity high-order constitutive
model for clay as visco-hypoplasticity shall be
tested.
Figure 7: Contact pressure (roughness of steel 6. Acknowledgements

δ = 1/3 ϕ (left) and δ = 1/2 ϕ (right)) The presented investigations were carried out in a
framework of a project sponsored by the Federal
4.2. Gap formation Waterways Engineering and Research Institute
(BAW). The BAW is greatly acknowledged for
Depending on the driving conditions as well as the funding this work.
surface roughness of the sheet pile a gap between
the soil and the steel arises due to horizontal
movements during the driving process. These 7. References
horizontal movements of the sheet pile induce a
lateral displacement of the clay. During the BAW (2013). Bundesanstalt für Wasserbau -
following backward movement the soil deforms into Federal Waterways Engineering and Research
the original position, so the gap can close on the Institute
other side and do not widen it. Dassault Systèmes (2012). Analysis User-Manual.
Abaqus 6.12
4.3. Crack formation Förster, W., Tamaskovics, N. (1992). Unter-
suchungen der Kontaminationsverschleppung
As mentioned in the previous section, crack bei Pfahlgründungen an einem Großmodell-
formation was observed. With the CEL-Method it is versuch. Vortrag XLIII. Berg- und Hütten-
not possible to investigate the specific behaviour of männischer Tag in Freiberg
the cracks, but the results of the analysis show an Gudehus, G. (1996). A comprehensive constitutive
explicit area of traction in the clay as indication for equation for granular materials. Soils and
possible cracks. These areas are arranged in the Foundations 36(1), pp.1-12
inner side of the sheet pile, as depicted in Figure 8. Henke, S. (2009). Herstellungseinflüsse aus
This is a purely qualitative result only showing the Pfahlrammung im Kaimauerbau, Promotions-
areas of possible cracks because the material schrift, Veröffentlichungen des Instituts für
cannot transfer tension at all. Geotechnik und Baubetrieb der TU Hamburg-
Harburg, Heft 18, Hrsg: Jürgen Grabe
Massarsch, K.R. (1975). Pore pressure
determination with multiple piezometer. Proc.
Spec. Conf. On in situ measurements of soil
properties, Raleigh, Vol I
Niemunis, A., Herle, I. (1997). Hypoplastic model
for cohesionless soils with elastic strain range.
Mechanics of cohesive-frictional materials 2(4),
pp. 279-299.
Qiu G. (2012): Coupled Eulerian Lagrangian
Figure 8: Crack formation (roughness of steel Simulations of Selected Soil-Structure
δ = 1/3 ϕ (left) and δ = 1/2 ϕ (right)) Interaction Problems. Promotionsschrift,
Veröffentlichungen des Instituts für Geotechnik
und Baubetrieb der TU Hamburg-Harburg, Heft
5. Conclusions and outlook 24, Hrsg: Jürgen Grabe
Qiu, G., Henke, S., Grabe, J. (2011). Application of
Sheet pile driving through a sealing clay layer has a a Coupled Eulerian-Lagrangian approach on
significant influence on the permeability of the geomechanical problems involving large
system. The results of this investigation show the deformations. Computers and Geotechnics 38,
deformation mechanism and the spreading effect. No. 1, pp. 30–39.
Due to the spreading of the clay into the sand core, Von Wolffersdorff, P.-A. (1996). A hypoplastic
the contact between the sheet pile and the soil can relation for granular material with predefined
be interrupted. limit state surface. Mechanics of cohesive-
According to the observed crack formation frictional materials 1, pp. 251-271.
traction areas are detected in the close range of the
MULTI EARTH RETAINING SYSTEMS FOR AN EXCAVATION

PROJECT IN OLD ALLUVIUM, SINGAPORE
ULTILISATION DE DIFFERENTS SYSTEMES DE SOUTENEMENTS POUR UNE
EXCAVATION DANS LA COUCHE OLD ALLUVIUM DE SINGAPOUR
Edward KOH1, Tong Seng CHUA1
1
Kiso-Jiban Singapore Pte Ltd, Singapore
ABSTRACT - A good understanding of the soil type is important for Engineers to design a safe and economical
earth retaining wall to facilitate excavation works. The paper presents a case study of a project in Singapore
which adopted various types of earth retaining wall system for excavation works for the construction of
basement structure of a residential project. The various methods adopted include open-cut slope, sheetpiles
and bored piles. The retaining walls were cantilever or supported by horizontal struts or raker struts. The
various methods were chosen by taking into account the nature of soil type at the site, geometry of the
excavation and the need to minimize damages to existing buildings. The various type of retaining walls were
rigorously analysed using finite element method, Plaxis 2D and their predicted behavior during excavation will
be presented. The predicted behaviors of the various retaining walls will be compared with actual results from
field instrumentation. Site observations on the actual soil encountered and its behavior will be highlighted.
Key Words: Earth retaining wall, Old Alluvium, PLAXIS
1. Introduction
The paper presents a case study of a project in

Singapore which adopted various types of earth
retaining wall system for excavation works for the
construction of basement structure of a residential
project. This paper presents the results of data
collected from site instruments that were installed to
measure ground/wall movement due to excavation
and compared to the values predicted using finite
element method, Plaxis 2D. The observation and
behaviour of the actual soil encountered will be
discussed and the effectiveness of each retaining
wall system will be highlighted.
Source: http://www.asiaonline.com.au/singapore/attractions.html
2. Description of Project Figure 1. Location of the site in Singapore
The project is located adjacent to the Pan Island

Expressway (PIE) on the mainland of Singapore. 3. Sub-soil Condition
Figure 1 shows the location of the proposed site.
Soil investigation report revealed that the sub soil
The development comprises of 2 basement carparks consists of fill material underlying by Old Alluvium.
with lift pits. The excavation is very wide with depth The Old Alluvium consists of ill-assorted masses of
ranges from 4.5m to 11.0m. Due to presence of semi-consolidated sand, gravels, pebble beds and
existing buildings, the excavation system mainly silty clay beds. The characteristic of the soil is
comprises of Contigious Bored Pile wall (CBP) and mainly cemented to semi-cemented, dense and with
sheetpiles supported by temporary horizontal or low permeability. Figure 2 presents the geological
raker struts. At areas where there is no existing map of Singapore and the soil formation at the site.
building, excavation was carried out by open-cut
slope.
During excavation, pockets of sand with high

permeability was encountered at Old Alluvium, O(D)
layer (see Figure 3). These pocket of sands was
vulnerable to groundwater flow. The behaviour of
these sand pockets can affect the stability and
safety of open cut slope. Therefore, site inspection
is needed to identify this layer and close monitor
carried out to strengthen the slope by re-grading or
installation of additonal supporting system.
4. Earth Retaining System
Source: Geology of Singapore, 2nd edition, DSTA 2009 The retaining wall consists of Contigious Bored Pile
wall (CBP) and sheetpiles supported by temporary
Figure 2. Geological Map of Singapore horizonal strut were adopted for lift pit excavation at
Basement A, whilst CBP supported by raker strut
The soils encountered on site consist mainly of was adopted for Basement B excavation. Figure 4
clayey sand, sandy silt or sandy clay with low shows the site layout plan and Figure 5 shows the
permeability. The top portion of this formation was photographs of the retaining system.
found to be deeply weathered. It is a common
practice in Singapore to use SPT blow count for Old
Alluvium classification as shown in the Table 1.
Some of the Old Alluvium soil photos taken at the
site was presented in Figure 3.
Table 1: Geological Classification for Old Alluvium

Based on SPT ‘N’ Values
Indicative
Degree of
Class Characteristics SPT-N value
weathering
(blows/30cm)
A Unweathered Original strength > 100
Partially Slightly reduced
B 50 to 100
weathered strength
Distinctly Further weakened
Figure 4. Site Layout Plan
C 30 to 50
weathered
Greatly weakened,
D Destructured often mottled, 10 to 30
bedding disturbed
E Residual Bedding destroyed < 10
Source: Civil Design Criteria by Land Transport Authority Singapore, Feb 2010
Figure 5. Site photographs of retaining system

Old Aluvium, O(E) Old Aluvium, O(E)
5. Method of Analysis
The behaviour of the earth retaining system was

analysed using the finite element software PLAXIS
2D Version 9. The soil behaviour was modelled
using an elastic-perfectly plastic constitutive model,
Mohr-Coulomb. Analyses were carried out using
Old Aluvium, O(D) Old Aluvium, O(D) different wall stiffness of 0.7EI and 1.0EI (Ciria,
C580, 2003). Both drainage conditions, undrained
Figure 3. Soil Photos Observed on Site and drained parameters, were also considered.
6. Basement A
For Basement A, the combination of CBP and

sheetpiles supported by horizontal struts are most
suitable. This system ultilise the corner of the
permanent basement structure as a retaining
FILL
system. The CBP and the sheetpiles acts as vertical
member of the retaining system during the
excavation for the construction of the lift pit. It was
braced by horizontal struts. After the casting of the Old Alluvium,
basement base slab and walls, the permanent O(D)
structure take-over the role of the retaining wall. The
sheetpiles which is within the footprint of the
basement was removed to facilitate the construction
of the remaining basement structure. Figures 6 and Old Alluvium,
7 showed the section and photograph of the O(B)
Basement A excavation.
Figure 8. Section of Basement B Excavation
FILL
Old Alluvium,
O(D)
Figure 6. Section of Basement A Excavation

Figure 9. Photograph of Basement B Excavation
8. Results
The results of Plaxis 2D analysis are based on the

maximum envelope throughout the excavation and
strut removal stages. The summary of the results
are shown in Tables 2 to 4.
Table. 2. Results for Sheetpiles Wall at Basement A
Load case
Wall performance
0.7EI 1.0EI
Max. Wall Deflection
30 28
(mm)
Figure 7. Photography of Basement A Excavation Max. Wall Bending Moment
432 473
(kNm/m)
Max. Wall Shear Sorce
364 371
(kN/m)
7. Basement B
Table. 3. Results for CBP Wall at Basement A
For Basement B, CBP supported by raker struts is
most suitable as the existing profile is a slope. Due
Load case
to the present of an existing building at the adjacent Wall performance
area, open cut slope is not feasible. This system 0.7EI 1.0EI
allows berm excavation for the construction of inner Max. Wall Deflection
91 75
(mm)
basement slab by “island method”. The slab later
Max. Wall Bending Moment
acts as support for the raker struts. The retain height 374 395
(kNm/m)
is between 5m and 8m. Figures 8 and 9 show the Max. Wall Shear Sorce
section and site photograph, respectively. 348 340
(kN/m)
Table. 4. Results for CBP Wall at Basement B
Load case
Wall performance
0.7EI 1.0EI
Max. Wall Deflection
31 29
(mm)
Max. Wall Bending Moment
429 468
(kNm/m)
Max. Wall Shear Sorce
309 348
(kN/m)
The wall displacement due to excavation for both

basement excavations was closely monitored.
Seven inclinometers were installed in CBP and
sheetpiles wall along Basement A and eight
inclinometers are installed in CBP wall along
Basement B. Three inclinometer results that located
at the most critical sections are presented. Figures
10 to 12 shows the comparison of wall deflection
measured from inclinometer and Plaxis 2-D analysis
results.
Figure 12. Wall Deflection for CBP at Basement B
The results show that the actual wall behavior for

Basement A is close to undrained condition. On
the other hand, for basement B, it is higher than
undrained but smaller than drained behaviour.
9. Conclusion
The suitability of the retaining wall system is highly

depending on the existing soil condition, profile and
geometry of excavation. With good understanding of
these factors, Engineer can design various retaining
systems to suit the site. In this paper, the behaviour
of various support system used for excavation of
basement has been contrasted. Berm excavation
attracts more movement at top of wall. Analysis of
the retaining system need to consider both drainage
conditions.
Figure 10. Wall Deflection for Sheetpiles at
Basement A
Acknowledgements
The authors are grateful to the project team for the

successful completion of the project. Contributions
from TS Chua (Qualified Person - Geotechnical), Dr.
John Foo, Dr. PH Ooi, main Contractor Straits
Construction, Ryan (the project PM) and others are
also gratefully acknowledged.
References
CIRIA C580 Report (2003). Embedded Retaining

Walls – Guidance for Economic Design, London,
clause 4.2.3
nd
DSTA (2009). Geology of Singapore, 2 edition
Land Transport Authority(2010). Civil Design Criteri,
Singapore
R.B.J. Brinkgreve, W. Broere, D. Waterman
Figure 11. Wall Deflection for CBP at Basement A (1997-2008). Plaxis 2D Version 9.02
DESIGN AND CONSTRUCTION OF EXCAVATION WORKS FOR

KLANG VALLEY MASS RAPID TRANSIT UNDERGROUND STATION
AT COCHRANE, KUALA LUMPUR, MALAYSIA
CONCEPTION ET CONSTRUCTION DU PROJET D’EXCAVATION DE LA

STATION COCHRANE DU PROJET DE MÉTRO « KLANG VALLEY » SITUÉ À
KUALA LUMPUR, MALAISIE
Kuan-Seng KOO
kskoo@gnpgeo.com.my, G&P Geotechnics, Kuala Lumpur, Malaysia
ABSTRACT - Kuala Lumpur limestone formation exhibits karstic features with irregular bedrock profiles and
variable weathering condition. The Klang Valley Mass Rapid Transit project is the first Mass Rapid Transit
project in Malaysia. The Cochrane station is one of the underground stations with maximum excavation
depth of 32m below ground and it is located in Kuala Lumpur limestone formation. This station also serves
as launching shaft for the tunnel boring machine from both ends of the station. A cost effective earth
retaining system deemed suitable for the geological formation was adopted using secant pile wall supported
by temporary ground anchors. High ground water table is also a concern. Rock grouting was carried out to
prevent water ingress into excavation pit as well as excessive ground settlement and occurrences of
sinkholes surrounding the excavation area due to groundwater drawdown. Vertical rock excavation adjacent
to the secant pile wall involving rock slope strengthening works, surface protection, controlled blasting and
vibration control was successfully designed and implemented. This paper presents the design of the secant
pile wall together with vertical rock excavation to the final depth of the station in karstic limestone formation.
The unique experience (design and construction) gained from this project will be useful reference for similar
excavation works, especially in mature karstic limestone.
1. Introduction
Geotechnical design is both an art and science as

it deals with uncertainties associated with variable
geological ground conditions. Kuala Lumpur
limestone formation is karstic limestone with
variable weathering condition. If complexities of the
karstic limestone bedrock are overlooked during
design and construction, it will pose great
uncertainties and difficulties during excavation
works. Therefore, excavation works in limestone
formation required major geotechnical design input
particularly on safety during construction and
during operation of the underground structures. Figure 1. Location of the construction site
The Klang Valley Mass Rapid Transit (MRT)
from Sg.Buloh to Kajang is one of the major
infrastructure projects launched in 2011. It is the
first MRT project in Malaysia. The project involved
a total of 9.8km long tunnel from Semantan to
Maluri with 7 underground stations and associated
structures such as portals, ventilation shafts,
escape shafts and crossovers to be constructed
over the Klang Valley and Kuala Lumpur city areas.
Cochrane station is one of the underground
stations located in the city area with maximum
excavation depth of 32m below ground. This station
also serves as launching shaft for the tunnel boring
machine from both ends of the station. Figure 1
shows the location of the construction site. Figure 2 Figure 2. Construction site layout plan
shows the construction site layout plan of
Cochrane underground station.
2. Geological condition The investigation depth is 10m below final

excavation level or 10m continuous (cavity free)
Figure 3 shows the Geological Map of Selangor, coring into limestone whichever is deeper. Selected
(ref: sheet 94 Kuala Lumpur 1976 and 1993, boreholes were terminated at 1.6 times the
published by the Mineral and Geoscience excavation depth i.e. 20m below final excavation
Department, Malaysia) superimposed with the depth. Standard Penetration Tests (SPT) were
tunnel alignment. The tunnel alignment starts from carried out in the boreholes at 1.5m vertical
the Semantan Portal to Bukit Bintang Station and is intervals. Disturbed and undisturbed soil samples
underlain by Kenny Hill formation, while from Pasar were collected for visual inspection and laboratory
Rakyat Station until the end at Maluri Portal is testing. Pressuremeter tests and field permeability
underlain by Kuala Lumpur Limestone. Cochrane tests were also carried out in boreholes to obtain
station is located within the Kuala Lumpur elastic modulus and permeability respectively for
Limestone formation. the subsoil. The groundwater table was about 1m
Kuala Lumpur Limestone is well known for its below ground. The interpreted geotechnical
highly erratic karstic features (Tan 2005). Due to parameters are tabulated in Table 1.
the inherent karstic features of limestone bedrock, For limestone bedrock, rock core samples were
the depth of the limestone bedrock is highly collected for rock quality assessment such as
irregular. The overburden soils above Kuala weathering condition and fracture state with rock-
Lumpur Limestone are mainly silty sand. The quality designation (RQD) values. Lugeon tests
thickness of overburden soils varies significantly were carried out to obtain water permeability of
due to the irregular topography of the limestone bedrock and the hydraulic conductivity resulting
bedrock. from fractures. Point load tests in vertical and
horizontal direction and unconfined compression
strength tests (UCS) were carried out to correlate
between UCS values against point load index
(Is(50)). The interpreted correlation factor is UCS =
11(Is(50)) and UCS = 18(Is(50)) for horizontal and
vertical direction respectively where UCS is in MPa.
Table 1. Interpreted geotechnical parameters

Overburden Bedrock
Material type Silty sand Limestone
Average depth 0m – 5m 5m below
Unit weight 18 kN/m3 24 kN/m3
SPT N 2-4 -
RQD - 0 – 100%
Average UCS - 50 MPa
Figure 3. Geological map of Kuala Lumpur Effective shear c’= 1 kPa c’= 400 kPa
strength ’= 29º ’= 32º
3. Subsurface investigation Elastic Modulus, 4000 - 12000 1.0E6
E' (kPa)
Subsurface investigation was carried out to obtain Hydraulic 1.0E-5 m/s 0 – 31
necessary subsoil information and design conductivity, k Lugeon
parameters. Thirty-one boreholes were carried out
in stages at the Cochrane underground station as
shown in Figure 4. Generally, the boreholes are 4. Design for excavation works
located at the station footprint and the retaining wall
alignment. Excavation works for Cochrane station consist of
overburden soil excavation and rock excavation to
required depth for TBM launching preparation and
also permanent structure construction. A
rectangular cofferdam measuring about 37m x
176m was constructed as shown in Figure 2 to
facilitate soil excavation until bedrock level.
Continuous vertical rock slope excavation to final
excavation level was carried out with just 1m offset
from the retaining wall alignment. Figure 5(a),
shows the overall view of the excavation works.
Figure 5(b) shows the TBM launching face upon
reaching the final excavation depth.
Figure 4. Subsurface investigation layout plan
rock head level. Finite element modeling input

parameters and criteria are presented in Table 2.
(Note: Rock slope strengthening indicated is provisional only. Actual

locations and length of rock slope strengthening are determined after
geological mapping works and kinematic analysis).
Figure 5. Overall view of excavation works
Figure 7. Schematic of excavation works
4.1. Temporary earth retaining system
Table 2. Modeling input parameters and criteria
The selection of retaining wall has considered Description Modeling input
the workability and suitability of subsoil and rock Model type Plain strain analysis
conditions. Secant pile wall was selected as the Soil model Hardening Soil Model
earth retaining wall supported by temporary ground Soil shear strength Effective stress
anchors. The advantages of the selected wall type parameters
are (i) water-tightness to prevent groundwater Soil material type Drained
draw-down at the retained side; and (ii) the ability Soil loading stiffness 2000 x SPT’N (1)
to vary the pile lengths to suit the irregular Soil unloading stiffness 6000 x SPT’N (2)
limestone bedrock profiles. Secant piles of 880mm Soil/wall Interface factor 0.8
and 1000mm in diameter were designed with an Wall element Plate element
overlap of 130mm and 200mm respectively Wall bending stiffness 0.7 x EI (3)
representing 15-20% of pile diameter. The extents Wall compression 0.7 x EA (4)
of overlapping of the secant piles are governed by stiffness
pile installation verticality, pile deviation and pile Anchor pre-stress load 60 – 80% of anchor
depth (CIRIA C580, 2003). The hard/firm secant working load
pile wall consists of primary (female) piles casted Construction surcharge 20 kPa
first with concrete strength class C16/20 without
Groundwater condition Phreatic line
reinforcement and followed by secondary (male) Notes:
(1) (2)
Tan & Chow (2008);
(3) (4)
CIRIA 2003
pile with concrete strength class C32/40 with
reinforcement. Figure 6 shows typical arrangement All secant piles were founded on bedrock with
of the secant pile wall. Schematic of excavation minimum rock socket of 1.5-3.0m. The termination
works is shown in Figure 7. criteria of rock socket are based on coring in
competent bedrock with point load index strength,
Is(50) > 4 MPa (equivalent to UCS of 44 MPa). It is
important to ensure that the retaining wall is
socketed into competent bedrock as the vertical
rock excavation is just 1m away from the retaining
wall alignment. A row of tie-back rock bolts were
installed above the bedrock level to enhance toe
stability. Toe stability check was carried out in
accordance with BS8002:1994 with some
Figure 6. Typical arrangement of secant pile wall modification which replaces passive resistance by
tie-back force to achieve minimum safety factor of
The analysis of the retaining wall was carried 1.2. In addition, vertical stability was checked with
out using PLAXIS, a finite element code. Wall resultant vertical load from ground anchor pre-
displacement, bending moment and shear force stress against the rock socket length.
were obtained from the analysis for structural Excavation was carried out in stages facilitated
design. A load factor of 1.4 for bending moment by installing temporary ground anchors. Design
and shear force were applied for pile reinforcement and testing of ground anchor is in accordance with
design. The quantity of reinforcement is about 0.5% BS8081:1989. U-turn ground anchor was used for
to 4% of pile cross-section area depending on the removable requirement after construction. The
anchor consists of a few pairs of strand with
different unit lengths. Proofing tests were carried 5. Achievement

out prior to the working anchor installation for
design verification. Based on the proofing test Excavation works started in early 2012 and
result, the recommended reduction factor due to reached the final excavation level in January 2013.
bending of strand at U-turn point is 0.65. Summary Proper geotechnical input and continuous support
of the anchor properties are shown in Table 3. from the design engineers during construction have
enabled vertical rock excavation to be carried out
Table 3. Ground anchor properties safely and without delay. This design scheme has
Description Properties resulted in considerable time and cost saving
Working loads (kN) 212; 424; 636; 848 compared to non-vertical excavation which will
No. of strand 2; 4; 6; 8 incur additional cost and also present challenges in
Strand diameter 15.24mm terms of additional land acquisition.
Breaking load 260.7 kN With proper geotechnical input, costly failure
Factor of safety 1.6 and delay associated with underground works in
Strand U-turn radius 47.5mm limestone formation such as excessive
Reduction factor 0.65 groundwater lowering, occurrences of sinkholes,
Drill hole diameter 175mm excessive ground settlement, etc. can be
Allowable bond stress 400 kPa (limestone) prevented. It is important to have continuous
Free length Varies (until bedrock) feedback from the construction team to anticipate
Bond length (m) 3; 3; 4.5; 6 problems and such model of cooperation between
the construction team and the geotechnical
engineers has proven to be successful as the
4.2. Rock slope strengthening works excavation works at Cochrane station were
completed successfully and within the contract
The rock excavation was carried out using period.
conventional pre-split blasting followed by bulk
blasting with suitable delays to minimize the 6. Conclusions
impacts of blasting works. The blasting works were
carried out in 2 to 3m benches. After blasting, Secant pile wall supported by temporary ground
geological mapping was carried out by qualified anchors and rock strengthening were successfully
geologist to collect field data on the exposed rock used for the underground station excavation works.
face including details of discontinuities, rock face The secant pile wall system together with grouting
weathering condition, etc. The field data is used for works prevented excessive groundwater lowering
kinematic stereonet analysis using software (Rock and excessive ground movement. Overall, the
Pack III) to determine the probable mode of rock system performs satisfactorily and the excavation
slope failures. The probable failure mode was works were successfully completed within the
further analysed using software RocPlane (planar contract period.
stability), Swedge (wedge stability) and RockPack
II (toppling stability) to establish the factor of safety 7. Acknowledgement
and determine suitable rock slope strengthening
works. The Author would like to thank G&P Geotechnics
design team members and project team of MMC-
4.3. Grouting works Gamuda KVMRT for various discussions on
overcoming challenges associated with limestone
Grouting techniques rely much on local formation. The support and sponsorship from the
experiences. Grouting works is mainly carried out Institution of Engineers, Malaysia (IEM) to attend
for limestone to reduce the rate of groundwater the conference is also gratefully acknowledged.
inflow into excavation and reduce pathways of
water flow into excavation area. Rock fissure 8. References
grouting was carried out along the perimeter of
excavation area to form a curtain grouting as BS8002:1994. British Standard Code of Practice for
shown in Figure 7. Fissure grouting involves a Earth Retaining Wall.
single packer in ascending or descending stages in BS8081:1989. British Standard Code of Practice for
order to inject grout suspension into existing Ground Anchorages.
pathways, fissures, cavities and discontinuities CIRIA C580. (2003). Enbedded retaining walls –
within the rock formation. Rock fissure grouting is guidance for economic design, London.
also adopted for base grouting at larger grout hole Raju V. R. & Yee Y W (2006). Grouting in
spacing. If any cavities are detected during drilling / limestone for SMART tunnel project in Kuala
grouting, compaction grouting with cement mortar Lumpur. International Conference and Exhibition
will be used as cavity treatment. on Tunnelling and Trenchless Technology, 7-9
March 2006, Subang, Selangor, Malaysia.
Tan S. M. (2005). Karstic Features of Kuala

Lumpur Limestone. Bulletin of the Institution of
Enginner Malaysia, June 2005, 6 -11.
Tan Y. C. & Chow C.M. (2008). Design of retaining
wall and support systems for deep basement
construction – a Malaysian experience. Seminar
on "Deep Excavation and Retaining Walls", , 24
March 2008, Petaling Jaya, Malaysia.
THE CAUSES OF BIG MOVEMENT OF TEMPORARY SHEET PILE IN

EL-ATF POWER PLANT NORTH OF EGYPT
LES CAUSES DU GRAND MOUVEMENT D’UNE PALPLANCHE TEMPORAIRE
A LA CENTRALE ELECTRIQUE DE EL-ATF, NORD ÉGYPTE
1
Ahmed A. MOHAMED
1
Technical University Bergakademie Freiberg, Germany
ABSTRACT - The failure of sheet pile walls used for temporary works may cause loss of project time and
money. In some cases, it may lead to loss of life. The failure can be due to lack of knowledge about the soil
conditions or due to design mistakes. In this case study a big movement of the sheet pile happened during
the construction stages due to using unrepresentative soil profile and soil parameters. In this paper, a back
analysis is made to find out the causes of the big movement and how the soil parameters affect the design.
Also, the designer ignored boreholes that should be important. Alternative design was suggested with more
representative soil condition and soil parameters.
1. Introduction sheet pile was a Larsen L6 with a section modulus

3
Z = 2250 cm /m`.
Sheet pile wall system is used as side support The soil profile chosen in the analyses is shown
system for temporary works. The design of such in Figure 1 as well as the structural system of the
system depends mainly on soil stratification and the sheet piles.
depth of excavation. Failures may happen in such
system due to lack of information about soil
conditions or due to design mistakes.
This paper focuses on a big movement of a
temporary sheet pile wall that happened during
excavation. The contractor had stopped the
excavation to avoid complete failure and seepage
of the river water inside the project area.
The causes of the big movement were
described in this paper. Also, alternative design
was suggested.
2. Original temporary Retaining System and

Characterized Ground
The project is a power plant located beside the

Nile River north of Egypt where the sheet pile
system was made for an intake structure for this
power plant. Dimension of the intake structure are
about 30mx23 m. the final excavation level of the
intake structure was designed to be at - 6.30 m,
while the finished level of the intake structure was
at +5.00 m. The natural ground surface at the site Figure 1. Studied structure and soil profile
is nearly +4.00m. This structure was constructed to
withdraw water from the Nile. Construction of the The design of the temporary works was based
intake structure requires open excavation works to on the geotechnical data in two separate soil
a depth of nearly 10.3m and to retain water about reports. The first soil report was including two
9.3m high. The bed level was at level of about - boreholes and was preliminary while the second
1.50 m. was including four boreholes for confirmation. The
The system was a double-row sheet pile with two reports showed the same soil formation which
connecting steel ties every 0.4m. The sheet pile was fill, silty clay followed by organic clay or peat
row at the water side was temporary while the inner and then a layer of dense sand, but there was
served the intake structure was permanent. The some differences in layers’ thicknesses. Table 1
upper level of both rows was about +3.25 m and shows the soil properties used in the analyses
the tip levels of the permanent and temporary sheet while the soil formation was shown in Figure 1.
piles were -16.75 m and -8.75 m, respectively. The
Table 1. Material properties of modeled soil layer

Soil Jb Su E I
type (kN/m3) (kN/m2) (kN/m2) degree
Fill 19 5 5000 26 90cm
Silty
18 40 5000 0
Caly
Organic
16 5 3500 15
Clay
Dense
18 0 55000 40
Sand
3. Observed Movements Original alignment

of the temporary
In Summer of 2008, during the high water level sheet pile.
of the Nile River, a big movement happened in the
sheet pile wall during excavation. After excavating
to a level of -4.30nm, a very large horizontal Figure 3. Curvature of the permanent sheet pile in
movement observed and reached about 90 cm as the horizontal plan.
a maximum movement towards the excavation
side.
The observation of the movement was at the
The movement was measured using survey
beginning of the first working day after a weekend.
points at several points in several locations along
For this reason, immediate backfilling was carried
the wall length and only at the top of the wall. The
out to a level of -1.70 m to avoid excessive
shape of the movement can be easily observed as
movement of the retaining system.
in photos shown in Figures (2) and (3).
Figures (2) and (3) are photos of the sheet pile
4. Back Analysis of Possible Failure Reasons
after movement. In Figure 2, a virtual line drawn
using Finite Element Analysis
along the supposed original alignment of the
temporary sheet pile in the horizontal plan can
In order to deeply understand how the failure
clearly be seen. Figure 3 shows the simultaneous
accrued, a finite element analysis was used. The
curvature of the permanent sheet pile.
model simulated the temporary structure taking into
consideration the stages of construction.
4.1 Finite element model description and used

program
The finite element analysis was conducted using

Original alignment PLAXIS® [4] which is a well-known finite element
of the temporary program. Based on soil formation, the soil was
50cm
sheet pile. modeled using the drained Mohr-Coulomb model
(elastic perfectly-plastic behavior). This model was
defined by five parameters; Young’s modulus (E),
90cm
Poisson’s ratio (), friction angle (), cohesion (c)
and dilatancy angle ().
Figure 4 illustrates the mesh model used in the
finite element analysis; the 15-node triangular
element with 15 Gaussian points was used to
model the soil layers. The soil properties and water
table were chosen according to the data shown in
Figure 1 and Table 1. The temporary and
permanent sheet piles were modeled as a beam
6
element with axial stiffness (EA) = 5.09x10 kN/m
4 2
and bending stiffness (EI) = 8.11x10 kN/m /m. The
tie was modeled as a link element with spacing of
0.4m and axial stiffness (EA) = 1.60x105 kN. A fill
layer was used to fill the space between the two
sheet piles.
Figure 2. Curvature of the temporary sheet pile in

the horizontal plan
4.2 Construction phases
The construction phases were chosen according to

the exact stages of construction in the field. Firstly
was constructing the permanent and temporary
sheet piles; secondly filling between the sheet piles
and then performing dewatering and constructing
the tie rods. The excavation at the location of the
intake structure should have been the last stage.
The excavation was stopped at level of -4.30m. Measured
from
survey
Predicted
from
observation
Figure 4. Mesh model used in the finite element

analysis
4.3 Results and output
The shape of the deformation for the sheet pile Figure 6. Horizontal displacement of both sheet
system is shown in Figure 5 while the horizontal piles from finite element and field measurements
displacement according to field measurement and
Plaxis output of the permanent sheet pile are 4.4 Analysis of the results and conclusion
shown in Figure 6.
The horizontal displacement in the field was From deformation shapes, both sheet piles
observed with survey points at the top of the wall moved together toward the excavation. The toe of
while the movement under the top was predicted the permanent sheet pile has moved a small
from observation as shown in figure 6. Finite amount related to its top while the temporary sheet
element output shows a horizontal displacement of pile showed a relatively equal movement at its top
350mm at the top of the wall and decrease until the and toe. This indicated that the temporary sheet
end of the wall. pile probably didn't work because it was totally
The wall movement according to the field data embedded in a weak soil layer. The permanent
showed a greater value than that calculated by the sheet pile moved more at the top compared with
finite element. the toe since the bottom penetrated the dense sand
layer.
The results of the finite element analysis showed a
movement of 350mm for permanent sheet pile
which equals to 4.66%H, where H is the excavation
[3]
depth. According to Long database, the horizontal
displacement for the cantilever walls should ranges
from 0.05%H and 0.25%H, however for the
retaining walls that retain a significant thickness of
soft material (>0.6H); this value increased to reach
3.2%H.
The value determined by the finite element analysis
was more than 3.2%H which indicated an abnormal
movement and the designer should have noticed
that.
Also, the soil data from preliminary boreholes were
Figure 5. Deformation of the sheet pile system reviewed and showed a slightly different soil
formation. The dense sand layer started at a lower
level than that used in the analysis.
5. Suggested Alternative Design
In order to highlight the reason of failure, a design

was suggested to avoid the mistakes made in the
original design. This considered an alternative
design that should decrease the cost of
construction from the beginning. In realty the
contractor support the sheet pile wall by the
reinforced concrete foundation as shown in figure 7
that was a very expansive solution and wasting of
time. While the suggested alternative should
decrease the total cost from the beginning.
Figure 8 Suggested alternative design with realistic

soil profile
6. Conclusions
The engineering sense is important as well as the

Figure 7 The design used after movement.
detailed design. As it was observed in this design,
the designer placed the toe of both the sheet piles
5.1 Geometry and suggested alternative almost in the soft soil layer. The designer should
construction sequence take conservative soil profile from all available data.
The output of the finite element analysis should be
The alternative design suggested increasing the well studied and compared with a database of
depths of the sheet piles to penetrate more in the previous case studies that include horizontal
sand layer. The wall stiffness was increased as displacements.
well by 1.5 times than the used one. More It should be noted that the actual horizontal
conservative soil profile was used in the analysis. displacements in the field may be greater than the
The new geometry and the conservative soil profile determined from the finite element analysis as the
are shown in Figure 8. used soil profile may not be accurately
Alternative construction sequence was also representative of the soil actual formation or a
suggested which should be also applicable to the failure may had happened.
construction method (or procedure) of the project. Rehabilitation of the failure in the sheet pile walls
The suggested construction sequence should require more money and time rather than use an
reduce the excessive movement of the wall. optimum design from the beginning.
The new construction sequence depends on first; Using 3D finite element analysis and different soil
the use of stepped dewatering instead of reducing models may be better for understanding the
the water level directly to the low level. Second; no problem.
filling between the two sheet piles before
constructing a part of the main structure.
7. References
[1] A&A Engineers and consults (2008). El-Atf

5.2 Results of the suggested alternative design Power station 750 mw Combined cycle project:
intake cofferdam sheet piles, Design of
The results showed significant decrease in the permanent and temporary sheet piles.
horizontal displacement of the sheet pile walls. The [2] Hamza Associates (2006). El-Atf power station
value of horizontal displacement was less than 750 mw combined cycle project, Elatf, Egypt,
3.2%H which can be accepted. The sheet piles tips Geotechnical Report.
elevation and construction sequence played a big [3] Long M. (2001). Database for retaining wall
role in the wall movement. and ground movements due to deep
No field measurements available for the alternative excavations. J Geotech Geoenviron Eng
suggestion as it considered as alternative that 127(3), pp. 203–24.
should be used before construction. [4] PLAXIS B.V., PLAXIS Version 8 Finite Element
Code for Soil and Rock Analyses Tutorial
Manul, 2002.
CASE HISTORY: CHALLENGES DURING THE DESIGN AND

CONSTRUCTION OF A CELLULAR COFFERDAM
CAS D’ETUDE: LES DEFIS RENCONTRES DURANT LA CONCEPTION ET LA
CONSTRUCTION D’UN BATARDEAU CELLULAIRE
1,2
Gastón QUAGLIA
1
SRK Consulting (Argentina), Buenos Aires, Argentina
2
SAIG (Argentinean Society for Soil Mechanics & Geotechnical Engineering)
ABSTRACT - Projects often face design changes during their construction phase. These changes lead
engineers to a series of redesign and sensitivity analysis in order to evaluate their influence. In this paper a
series of changes in site conditions and constructions deviations during the construction of a cellular
cofferdam in Puerto Belgrano Naval Base (Argentina) are presented. Their effect on overall stability, uplift
failure, as well as results obtained for analytical an numerical models are showed.
1. Introduction provided by Arcelor Mittal, and filled with clean fine

sands, densified by vibration after placement. A
Projects often face design changes during their cross section of the system is shown in Figure 2
construction phase. Schedule, delays in procure- (Laiun et al 2012).
ment of critical components, changing soil
conditions, optimization of construction procedures,
are some examples of facts that can force changes 2. Changing site conditions
to the desktop design. Usually, such changes must
be reviewed, developed and documented at fast 2.1. Geotechnical profile
speed, always running against schedule and under
the pressure of delayed construction works. The geotechnical profile is composed by a few
In this paper, some of the site imposed changes meters of mud and debris, 2.0m of loose to dense
to the design of a cellular cofferdam are presented; sands, underlain by stiff to very stiff clay to which
the project is part of the repair works of the Puerto the sheet piles were driven (Figure 2). The soil
Belgrano Naval Base, in Argentina. A view of the parameters adopted for the design are presented in
cofferdam is shown in Figure 1. Table I.
Figure 1. Cellular cofferdam – Puerto Belgrano

Figure 2. Sketch view of the cellular cofferdam.
Naval Base, Argentina.
The seafloor mud was a challenge for the project.
The cellular cofferdam is composed by three main
The soil investigation program performed during
cells 21.0m diameter linked by two connecting arcs.
design stage showed a thin layer of a very soft clay
At both ends, two kidneys were employed to
resting on dense sands. During the initial phases of
connect the cofferdam to the wharf wall. The
the construction, it was found that the thickness
effective width of the cofferdam is 18.74m. It was
and strength of the mud was higher than expected.
built using 19.50m to 20.50m long sheet piles
Table I. Material parameters for soils. characterized at the lab by mean of physical testing
Fill (1) (2) (3) and microscope observation. A series of triaxial
Elevation +5.5/ -10.5/ -12.5/ -19.0 tests were performed employing various relative
-10.5 -12.5 -19.0 densities and confining pressures (Canedo et al
SUCS SP SM CL / ML CL 2012, Laiun et al 2012). It was decided that the
J (kN/m3) 19.0 16.5 18.0 19.5 required strength and stiffness of the fill could be
c' (kPa) 0 0 30 90 accomplished if the material was densified to a
minimum relative density of 50%. A vibro-
I (deg) 30 30 / 32 28 / 30 25
compaction technique was employed, using a pipe
E (kPa) 70/90 150/250 200/300 200/300 attached to the vibro-hammer (Figure 4).
k (cm/s) 4.10-2 1.10-3 1.10-4 1.10-5
Leaving the mud in place was disregarded, as it

would have induced settlement of the fill, downdrag
forces on the sheetpiles, would have been a weak
layer where sliding resistance is critical, an would
have acted as an hydraulic barrier between the
seabed and the fill material of the cells.
Despite its very low strength (NSPT < 1, su = 3kPa
-10kPa), the mud was not a slurry and could not be
pumped out of the cell, but was excavated by
means of a crane mounted clam-shell. The
procedure was not 100% effective, and thus the
effect of the remaining weak layer needed to be
assessed through stability and seepage analyses.
2.2. Tide fluctuations
The tide level and fluctuations were decided after a

time series analysis of the measured levels in the Figure 4. Vibro-compaction of the cell fill.
period 2006-2013. Adopted values were: i)
equinoctial high tide +4.50m; ii) high tide +3.50m; SPT probing was used to verify the achieved
iii) low tide +0.50m; iv) equinoctial low tide +0.00m relative density. The correlation shown in eqn. 1
(Figure 3). (Nuñez, 2009) was employed,
N1 60
Dr % 100 (1)
23 0.716 N1 60
and the friction angle was estimated using eqn. 2

(Bolton, 1986)
I Ic 3º Dr Q ln V 3 1kPa 3º (2)
where Ic = 30.1°, and Q = 8.56 were adopted as fit

parameters after calibration using triaxial test
Figure 3. Cumulative frequency of sea tide level. results.
First, a closed end pipe was used and the
Geotechnical stability analyses, both global and material was compacted from bottom upwards.
internal, and structural analyses were performed for While good results were achieved, it was observed
a +4.50m high tide (99% recurrence). During that undesired compaction of the upper layers
construction, an extraordinary high tide of +5.00m prevented further penetration for compaction of the
occurred; the client required an immediate bottom material.
verification of such new scenario and sensitivity An open end pipe was then employed with
analyses. better ease. It was only after the densification was
considered complete and SPT probing was
performed that it was learnt that the open end pipe
3. Construction would not densify the bottom fill layers.
Unfortunately, the closed end pipe was no longer
3.1 Sand-fill an option because it could not penetrate through
the superficial dense sands. A huge effort had to be
The fill material was a clean fine silica sand performed using the open pipe and water injection,
available in a nearby quarry. The sand was fully with somewhat poor results (Figure 5).
30 32 34 36 38 40 42 44
Due to foundation soil stiffness, many sheet piles
4,5 could not be installed to full depth (Table II).
I[°]
3,5
Table II. Installation control for sheetpiles.
Before
Before
2,5 Cell Embedded Depth End Level
After
N° Min Avg. Max Min Avg. Max
1,5
1 2.7 3.7 4.2 -13.5 -14.5 -15.0
0,5 2 2.9 3.5 4.3 -13.7 -14.3 -15.1
3 4.6 4.9 5.1 -14.6 -14.9 -15.1
-0,5
4 2.8 3.4 3.8 -14.1 -14.6 -15.1
-1,5 5 3.3 4.4 4.5 -13.8 -14.9 -15.0
6 3.2 3.8 4.8 -13.7 -14.3 -15.3
-2,5
-3,5 While this situation did not affect the overall stability
of the system, it did change the flow under the cells
-4,5
Open Close and the uplift safety factor.
End End
-5,5
-6,5
4. Design changes and sensitivity analyses
-7,5
The cofferdam design was done according to EAU
-8,5
2004 and complemented with numerical models in
-9,5 Plaxis 2D where the complex geotechnical profile
and transient flow could be taken into account. The
-10,5 changes in design are summarized in the following
[m]
-11,5 sections.
4.1 Flow net and water pressure distribution

Figure 5. Estimated friction angle as a function External water pressure distribution used for
of depth before and after vibro-compaction. stability calculations exhibit no influence regarding
changes in the dewatering system, or the presence
3.2. Installation of sheet piles and relief wells of mud inside the cell. However, there were slight
differences between distribution assumed for the
Sheet piles were driven in rounds of 1.50m around analytical calculation and distribution obtained in
a template with a vibratory hammer. Sheet piles at the numerical model (Figure 7)
the dock side were designed 1.0m longer than the
ones at the sea side, in order to increase the FoS
against uplift while keeping costs to a minimum. A
pressure relief system composed of a series of
relief wells installed at the toe of the cells was
designed in order to release uplift forces.
These relief wells could only be installed after
full dewatering of the dock, and therefore a
temporary situation occurred where the draining
system had no redundance. A minor local scour
and erosion was observed previous to the drains
installation (Figure 6). A berm made with a free
draining coarse gravel and a geotextile was quickly
installed to maintain the burden and to reduce the
hydraulic gradient piping of the soft seabed soils.
Figure 7. Sketch of the water pressure distribution
4.2. Water control systems
A redundant dewatering system was specified,

using both pumps installed in the cells and weep
holes. Each of the two elements of the system was
designed to achieve a water table at -7.0m inside
the cells, i.e., 12m below high tide and 3.6m above
the seafloor on the dock side. An extraction flow of
3
0.55 - 0.60 m /day/m was computed for both
Figure 6. Uplift water at cofferdam toe. systems.
Regarding overall stability, an analytical utilization soil plug at the downstream toe of the cells due to
factor of 1.07 was obtained for both systems using various factors shown in Table VI. In each case,
EAU procedures. The numerical factors of safety the excess water pressure distribution was
differed slightly, due to differences in the flownet obtained from numerical models (Figure 7).
close to the toe of the cells (Table III). The
computed failure mechanism is shown in Figure 8.
Table III. Global FoS for two water control systems.

System Flow Numerical
[m3/day/m] FoS
Pumps 0.29 1.35
Weep holes 0.26 1.26
Figure 9. Excess water pressure - Uplift analysis.
Table VI. Factors affecting uplift safety.

System Tide Toe Water Vv / 'u Vv - 'u
level level table [-] [kN/m]
[m] [m] [m]
Figure 8. Computed failure mechanism. Pumps +4.50 -15.0 -7.0 1,54 38
+5.00 -6.5 1,38 30
The influence of the sheetpile embedded depth and +5.00 -14.0 -6.5 1,45 22
tide level on the pumped flow is shown in Table IV. Weep +4.50 -15.0 -7.0 1,66 43
holes +5.00 -7.0 1,59 40
Table IV. Factors affecting the flow at toe.
+5.00 -14.0 -7.0 1,71 30
System Tide Toe Water Flow at Toe
3
level level table [m /day/m]
[m] [m] [m]
5. Conclusions
Pumps +4.50 -15.0 -7.0 0.28
+5.00 -6.5 0.30 Imposed changes on site conditions and cons-
+5.00 -14.0 -6.5 0.32 truction problems faced during the construction of a
Weep +4.50 -15.0 -7.0 0.26 cellular cofferdam in Puerto Belgrano Naval Base
holes +5.00 -7.0 0.30 were presented.
+5.00 -14.0 -7.0 0.28 Redesign and sensitivity analysis were carried
out in order to take into account all this factors. As
A stability analysis was performed for an a result, while changes in high tide level and soil
extraordinary high tide of +5.00m. Dewatering flow plug conditions at the toe of the cell can be
was kept constant at 0.60 m3/day/m allowing for significant over failure, others like dewatering
changes in the in-cell water table. The computed system selected are not.
utilization factor FoU according to EAU2004 is
shown in Table V for two assumed K = h / v
values, for passive resistance at the toe. 6. References
Table V. Sensitivity analysis. Overall stability FoS. Bolton, M. (1986). “The strength and dilatancy of
Bay level Cell level K = h / v FoU sands”. Geotechnique, Vol. 36, No. 1, pp. 65-78.
+4.50 -7.00 K = 1.0 1.07 Canedo et al. (2012) “Caracterización física y
-6.50 K = 3.0 1.16 mecánica de dos arenas refuladas”. XXI
+5.00 -7.00 K = 1.0 0.98 CAMSIG, Rosario.
-6.50 K = 3.0 1.06 EAU 2004. “Recommendations of the Committee
for Waterfront Structures - Harbours and
4.3 Uplift failure Waterways”. Arbeitsausschu Ufereinfassungen
der HTG e. V. John Wiley & Sons.
Uplift failure can be of catastrophic nature but is Laiun et al. (2012). “Ataguías celulares para el
often preceded by piping and erosion that can go cierre del Dique Carena. Base Naval Puerto
unnoticed unless the damage comes to an extent Belgrano, Bahía Blanca”. XXI CAMSIG,
when it cannot be easily stopped or remediated. A Rosario.
sensitivity analysis was carried out considering Núñez, E. (2010). “Resistencia no drenada y
changes in water pressure distribution below the licuación de arenas”. XX CAMSIG, Mendoza.
CALCULATIONS VERSUS MEASUREMENTS OF THE DIAPHRAGM

WALL TRENCH STABILITY AND OF THE DEFORMATIONS
COMPARAISON DES CALCULS ET DES MESURES DE LA STABILITÉ ET DES
DÉFORMATIONS D'UNE TRANCHÉE DE PAROI MOULÉE
1
Ion RĂILEANU
1
S.C. SAIDEL Engineering S.R.L., Bucharest, Romania
ABSTRACT – The paper reviews different analytical and numerical practical verification methods of trench
stability, focusing on the models which take into account tridimensional effects and arching phenomena
appearing in the ground. The analytical methods reviewed in this paper, being the basis of the diaphragm
wall trench stability comparative calculations, are: plain strain state, arching effect in vertical plane
(Schneebeli Method), arching effect in horizontal plane (Piaskowski-Kowalewski and Huder Methods). The
numerical calculations presented in this paper were done using the FEM software PLAXIS 3D, considering
two soil behavior models: Mohr-Coulomb and Hardening Soil. The paper compares the results of the trench
stability calculations for two diaphragm walls with different lengths and the same depth, performed in alluvial
soils in Bucharest: 2.7 m and 6.2 m length and a depth of approx. 30 m. For comparison, the results of the
inclinometer measurements regarding the displacement of the soil close to the trench are presented.
1. The impact of the diaphragm walls Consequently, the general excavation shall be
performance on adjacent constructions sustained by d-walls with a perimeter of approx.
1,000 m.
During the last ten years, numerous buildings with On the excavation area close to an already
several underground levels below ground water existing building, the d-walls have a thickness of
level were designed and constructed. These 1.00 m and a depth of about 30 m. The toe of the
require excavations supported by diaphragm walls d-walls is embedded in a clayey layer.
(d-walls) even deeper than 30 m. Frequently, the
d-walls are constructed in the immediate vicinity of
existing constructions, some of them being very
sensitive to additional settlements. Thus, the
verification of the trench stability during the
excavation for the d-wall panels becomes very
important. Also, the deformations outside the
excavations that might affect the adjacent
constructions have to be minimized.
From the construction point of view, d-wall
panels having large lengths of 5 m to 8 m are
desired in order to reduce the time and the cost of
the construction as well as the risk of infiltrations
through the construction joints.
2. Case study: deep excavation for Dâmbovi a Figure 1. Typical section in the adjacent area
Center Complex, Bucharest, Romania of an existing building
The designed complex is a set of commercial, In order to speed up the construction process,
socio-cultural and housing constructions, to the contractor proposed a larger value of the d-wall
accommodate commercial spaces, conference panel length i.e. 6.20 m instead of 2.70 m.
rooms, hotels, offices, recreation areas etc., Detailed calculations were performed in order to
2
totaling over 650,000 m . It also includes the ensure the trench stability and minimal
building remained unfinished "National Museum", deformations in the adjacent foundation ground.
later renamed "Radio House". Below are summarized the results of the
A large infrastructure construction is provided, verifications regarding the trench stability.
having a foot print of approx. 5 ha, with 6 In order to confirm the trench stability
underground levels with approx. 6,500 verifications, an in situ monitoring program during
underground parking spaces. construction of the panels was adopted. Thus, five
inclinometer columns were installed adjacent to the
d-wall, outside the excavation, down to 50 m depth stress is reduced adjacent to the trench and, as a
(20 m below d-wall toe level). result, the lateral earth pressure decreases.
3. Overview of the used methods
3.1. Simplified method. Plane strain state

analytical method
Trench stability is verified based on the pressures

which act on its face and their resultants:
Pa – active earth pressure resultant; Figure 3. Active earth pressure
Pw – pore water pressure resultant; Schneebeli Method
Ps – slurry pressure resultant.
According to Schneebeli, the value of the
Non-cohesive soils
Nslurry
ground vertical efforts on the trench face is (Fig. 3):
γ, φ, c=0
γKa
γL
GWL
σz sin 2 1ǦeǦn sin2
(3)
γ'Ka
n/ (4)
H
γ', φ, c=0
pa
ps pw According to Schneebeli’s theory, each point on
the trench face is in equilibrium, if the slurry
Ps=γsH > P=σzKa
pressure is higher than the interior earth pressure
a) (in case of an active earth pressure caused by a
Cohesive soils complete mobilization). Schneebeli considers this
Nslurry
theory is also valid for cohesive soils.
pa<0
γ', φ, c
GWL

γKa
tan 45°
· 2 · tan 45°
(5)

γ'Ka
γ', φ, c According to the equation (5), it results the

pa “reduced” active pressure p , respectively the force
ps pw
P , which are used in the equation (2) and (1).
Ps=γsH > P=σzKa-2cv Ka
3.3. Arching effect in horizontal plane analytical
b) method (Piaskowski - Kowalewski Method)
Figure 2. Simplified verification Piaskowski – Kowalewski theory assumes that, in a

a) Non-cohesive soils b) Cohesive soils d-wall trench, the arching effect is similar to the
behaviour of a tunnel arch.
In the paper, the global safety factor is defined Figure 4 illustrates the soil volume producing the
as: active pressure considered by this method.
x
y
Ps ǦPw f
Fs (1) z y
a
B zw
Pa C x
L
z
φ
C'
For ensuring the trench stability, at each depth A
f Pa
90°
the following relation shall be verified: G

φ Q Q
B'
G ν−φ
ps Ǧpw pa Pa
θ
(2) 2a
θ
A' L=
Q G
φ
The calculation considering the plane state
stress is too conservative, as reflected in practice, Figure 4. Piaskowski – Kowalewski Method
due to the fact that the arching effects are not
considered by this method. 3.4. Arching effect for short trenches analytical
method (Huder Method)
3.2. Arching effect in vertical plane analytical
method (Schneebeli Method) Huder (1972) proposed a reduction factor of the
active earth pressure for short trenches
The method, which considers the “silo effect”, (Xanthakos, 1994).
presumes that, in the area of the trench, the soil
volume displaces vertically. Thus, the geological
1ǦexpǦ2 n K a tan
A (6) Ϭ ϱϬ ϭϬϬ ϭϱϬ ϮϬϬ
2 n K a tan
΀ŬWĂ΁
where, Ϭ
ͲϮ 't>
nhx /l (7) Ͳϰ
Ͳϲ
pa γ hw !" #hx Ǧhw $%A K a (8) Ͳϴ
ͲϭϬ
3.5. Numerical verification method ͲϭϮ
Ͳϭϰ
For these verifications, Mohr-Coulomb and Ͳϭϲ
Hardening Soil constitutive models of PLAXIS 3D Ͳϭϴ
software were used. The d-wall trench was ͲϮϬ
excavated completely in one step in order to ͲϮϮ
compare the results of numerical verifications with
ͲϮϰ
the analytical ones, in terms of safety factors.
ͲϮϲ
ͲϮϴ
4. Comparative verifications ͲϯϬ
ͲϯϮ ƉƐ͕ŶĞƚ
΀ŵ΁ ϮƉůĂŶĞƐƚƌĂŝŶŚǇƉŽƚŚĞƐŝƐ
The results of the verifications carried out using the
above mentioned methods for the d-wall trench ^ĐŚŶĞĞďĞůŝϮ͘ϳŵ
stability with in plane lengths of 2.70 m, WŝĂƐŬŽǁƐŬŝͲ <ŽǁĂůĞǁƐŬŝϮ͘ϳŵ
respectively 6.20 m are concluded below. The ,ƵĚĞƌϮ͘ϳŵ
geotechnical parameters are presented in Figure 1.
The unit weight of the bentonite slurry was Figure 5. Lateral earth stress vs.
considered γs 11 kN/m3 . net slurry hydrostatic pressure
2.7 m d-wall trench
4.1. Plain strain state verification
Ϭ ϱϬ ϭϬϬ ϭϱϬ ϮϬϬ
It should be mentioned again that this method do ΀ŬWĂ΁
Ϭ
not consider the effect of the panel in plane length.
ͲϮ 't>
Equation (2) is not fulfilled for all panel depths.
According to equation (1), it results a global safety Ͳϰ
factor Fs = 0.32. Ͳϲ
Ͳϴ
4.2. Analytical verification considering arching ͲϭϬ
effect ͲϭϮ
Ͳϭϰ
Two in plane panels lengths of 2.70 m and 6.20 m Ͳϭϲ
were considered (Figure 5 and 6). Ͳϭϴ
Table 1 and 2 present the values of the forces ͲϮϬ
acting on the trench face and of the global safety ͲϮϮ
factor according to equation (1). The values of the ͲϮϰ
resultant forces Pw, Ps, Pa, were calculated for 1 m ͲϮϲ
length of the d-wall panels. ͲϮϴ
ͲϯϬ
Table 1. The obtained safety factors ͲϯϮ ƉƐ͕ŶĞƚ
Schneebeli Piaskowski- Huder ΀ŵ΁ ϮƉůĂŶĞƐƚƌĂŝŶŚǇƉŽƚŚĞƐŝƐ
Method Kowalewski Method ^ĐŚŶĞĞďĞůŝϲ͘Ϯŵ
length
Panel
WŝĂƐŬŽǁƐŬŝͲ <ŽǁĂůĞǁƐŬŝϲ͘Ϯŵ
(m)
Method
Pa Fs Pa Fs Pa Fs ,ƵĚĞƌϲ͘Ϯŵ
(kN/m) (kN/m) (kN/m)
2.70 298 5.04 747 2.01 1,033 1.45 Figure 6. Lateral earth stress vs.
6.20 580 2.59 2,454 0.61 1,797 0.84 net slurry hydrostatic pressure
6.2 m d-wall trench
Table 2. Water and slurry resultant forces
Pw Ps 4.3. Numerical verification
length
Panel
(m)
(kN/m) (kN/m)
Based on the geotechnical parameters (Saidel et
2.70 al., 2010) for Hardening Soil and Mohr-Coulomb
3,125 4,625 constitutive models, a minimum safety factor of 1.5
6.20
resulted. The safety factor was selected for minimal
deformationns, below 5 mm
m (comparrable with in situ measurements, which revea
al the real de
eformations,
measureme ents) on a lin
near part of the
t curve sa
afety s demonstrated.
was
factor-deforrmation (Figu
u
Figure 7. PLAXIS
P 3D model
m 2.70 m d-wall trench
and failure
e mechanism
m on a 6.20 m ch
Figure
e 8. Curve sa afety factor-d
consideriing 6.2 m tre
ench length and
a HS mode
el
5. In situ measuremen
m ons
t. Conclusio gure 9. Horiz
Fig zontal deform
mations measured near
the open ttrench
Figure 9 (Răileanu
( et al., 2012) presents the
evolution off the displaceements adjac
cent to a 6.20 m
trench fo
or the fo
ollowing s
stages: “ze
ero” 6. References
R
measureme ent, trench excavation,
e introducing the
steel cage and
a after con ncreting. Piaskowski, A., Kowalewskki, Z. (1965). Application
Maximum m displacem ment of δmax
m =6 mm was w of Thixotroppic Clay Suspensions forr Stability of
measured resulting
r the ratio betwee
en displacem ment Vertical Sid des of De eep Trench hes without
-3
(δmax) and d-wall
d depth (H)
( of 0.2 x10 . Strutting. Proc.
P Int. CConf. SMFE E, Vol. III,
Compariing above mentioned measurem ment Montreal;
results with
h the displacement valu ues of a d-w wall Răiileanu I., Sa aidel T., Kaltenbacher T.,T Sata L.,
required to mobilize the active earth pressure Marcu A
A. (2012).. Calculaation and
measuremen nts regarding the trench h stability in
ɁαȋͲǤͷǤǤǤʹȌ ⋅ ͳͲǦ͵ ⋅ , (9) the diaphra agm wall cconstruction phase (in
Romanian), A XII-a C Conferinţă Naţională
N de
hat in the ground
it results th g close
e to the d-w wall Geotehnică şi Fundaţii - Iaşi, vol. 2, pp.
p 587-597
trench, the stress statte correspon nds to a linnear Saidel T., Căpra aru C., Marccu A. (2010). Influence of
behaviour of the soil and the de eformations are constitutive laws and geotechnical parameters
reduced (in nducing insig gnificant settlements of the on deep exxcavations d design, examples from
adjacent constructions).. recent projects in Bucha arest Proceedings of the
th
As a coonclusion, co onsidering foor the analyttical XIV
X Dannube-Europe ean Confeerence on
methods a global safetty factor Fs ≈ 1 and for the Geotechnica al Engineerinng
numerical models
m a saffety factor of
o Fs ≈ 1.5, both
b Sch
hneebeli, G. (1964). La stabilité des s tranchées
the trench stability
s and the limiting deformations
d s for profondes forées en présence de boue.
the adjacen nt usual buildings are fu ulfilled even for Etanchments s et Foundattion Spéciale es;
6.20 m pane el lengths. SR EN 1997-1 (2007). „Eu urocode 7: Geotechnical
G
The prac ctical verifica
ation method ds of the tre
ench design – Parrt 1: Generall rules”;
stability whiich take into account the e arching effeects Xannthakos P. (1994). Slu urry walls asa structural
were validaated. Also, th he importanc ce of the in situ systems. Mc cGraw-Hill, NNew York
IN-SITU MEASUREMENT OF THE ANCHOR-PILE DISPLACEMENT

IN THE GEOTECHNICAL CONDITIONS OF SOCHI
MESURES IN-SITU DES DÉPLACEMENTS DES PIEUX D'ANCRAGE DANS
LES CONDITIONS GÉOTECHNIQUES DE SOCHI
1 2
Alexander Ryabukhin , Sergey Matsiy
1
RSSMGFE, postgraduate, Krasnodar, Russia,
2
RSSMGFE, Doctor of Technical Sciences, Professor, Krasnodar, Russia
ABSTRACT - The test results of a large number of the anchor piles under the actual geotechnical conditions
of Sochi Region of Krasnodar Territory are given. The recommendations concerning the design of the
combined pile anchor landslide stability constructions are proposed.
1. Introduction process of construction and during operation. But

the normative documentation has no clear and
Within the late ten years, the landslide protection unambiguous indications connected with a
structures employing the cast-in-place piles, which limitation of the anchor pile displacements. If the
are enforced by the anchor piles (anchors) of the maximum permissible deformations of the piles and
Titan type (or similar), are used more often in the the anchors differ greatly, the anchors can exhaust
area of the Black Sea coast of the Northern their load-carrying ability before they are included
Caucasus. The implementation of this technology in the joint operation with the pile part of the
makes it possible to change the design model of structure. Such circumstance can result in a
the landslide protection structure in relation to the structure breaking-down. The objective of this
standard approaches; it results in a reduction of paper is a determination of the displacement range
stresses in the construction. As a result, it becomes for the anchor piles under the geotechnical
possible to reduce the dimensions of the structures conditions of the Black Sea coast of Sochi Region
without an efficiency loss and to reduce their cost of Krasnodar Territory in order to record the
by 30%, respectively. findings while designing.
Many papers by the Russian and foreign According to the results of the analysis of the
scientists are devoted to the design of the pile domestic and foreign references, the following
landslide protection structures and the anchor ones items have been ascertained:
separately; lots of the normative documents and - the maximal displacements of the anchor piles
recommendations have been worked out. At are no quoted;
present time, the issue of their joint operation in the - the displacement computational method is
construction of the landslide protection structures is missing;
not reflected in the Russian normative documents; - the displacements are determined according to
it presents certain difficulties while designing and the results of the environmental tests (pilot, check
constructing such structures. and acceptance types of the tests).
2. Actuality of the Task Concerning an 3. Anchor Pile Test Procedure

Assessment of the Maximum Permissible
Displacements of the Anchor Piles The data concerning the anchor pile tests, which
have been carried out according to the following
A consideration of the difference of the method, are used in this paper:
displacements of the pile and anchor parts of the 1) The tests and the interlocking of the anchors
structures is one of the main tasks when designing and the piles on the structure should be carried out
the combined pile anchor constructions. The when the value of the embedment cement sheath
design displacements of the piles in the pile uniaxial compression strength becomes no less
structures (when designing the installations in the than 21 MPa. This period is determined when a
city of Sochi), which have been obtained with the composition of the injection cement grout is chosen
implementation of the well-known methods and the and is specified in the operation process by means
use of the program complex of the finite element of the check sample tests.
analysis Plaxis, were 5 to 120 mm. Safety margin 2) All types of the tests are carried out with the
of the structure is not exhausted; the structure met help of a step-by-step increasing pulling axial load
the requirements of safety and reliability both in the when the anchor head displacements in relation to
a rigid bench mark are registered. A corresponding factor Ks; remaining displacements of the anchor
dwell time should take place at each step. ∆ls.
3) When the test are carried out, the force 7) The tests begin from load P0=0.2 Pt when
should be checked according to the readings of a the initial indications of the anchor head
hydraulic jack manometer (Figure 1); the displacements are registered; then the load is
displacements should be checked with the help of brought to the value of Pt; it is kept within 15
a measuring device (an indicating gage or a minutes, the anchor head displacement is
deflectometer) with an accuracy of no less than measured in 1, 3, 5, 7, 10 and 15 minutes. Then
0.01 mm, which is installed on the rigid bench the load is reduced to the value of P0, an elastic
mark. The hydraulic jack should be calibrated, the displacement of the anchor head is measured, the
measuring devices should be verified, and the load is increased to the locking one, and the
corresponding certificates should be drawn up. anchor is fastened on the structure.
4) The test data should be processed according 8) The test results of each anchor are registered
to a standard method with a division of the total with the help of a test report.
displacements into the remaining displacements of
the embedment and elastic extensions of the rod at
each step of loading as well as with a determination 4. Anchor Pile Test Results
of creep factor, actual values of the load-carrying
ability of the anchor on soil and unsupported length The anchor pile test results under the geotechnical
of the rod. conditions of Sochi Region of Krasnodar Territory
5) When the tests are carried out, it is are given in Table. The top cover landslide complex
necessary to register the following data: the is anthropogenic (tQIV), talus-landslide (d-dpQIV),
hydrogeologic and soil conditions at the test point landslide accumulations (dpQIII-IV), eluvial
(the deformation characteristics of soils should be formations (eQIV). Approximate values of physical
determined with the help of the pressiometric and mechanical properties of soil landslide cover
tests), a drilling equipment type, well sinking (usually clay): γ ≈ 1,9-2,1 t/m3, c ≈ 7-25kPa, φ ≈ 3˚
duration, quantity and type of a drilling fluid; a -15˚, E ≈ 8-17MPa. The value of the landslide
water-cement ratio and a composition of the thickness varies from 2 to 15 meters. At the base
cement grout and the casing fluid; cement brand, lies a mudstone - Rock weathered bedrock
quantity and type of the additive compounds; type Oligocene (P3s), with approximate values of
of equipment for production of the cement grout physical and mechanical properties: γ ≈ 2,2-2,6
and the casing fluid; agitation duration; fluid t/m3, E ≈ 100000MPa.
injection pressure; quantity of the injected fluid
according to the stages; the meteorological Table I. The anchor pile test results under the
conditions of the test operation, and complete data geotechnical conditions of Sochi Region of
concerning the test. Krasnodar Territory
Ord. Anchor No. Anchor Peak Test
No. standard load results
size (variable,
mm)
3rd section
1 73/53 46.5 7.13
12
2nd section
2 73/53 46.5 6.18
1
2nd section
3 73/53 46.5 7.90
3
2nd section
4 73/53 46.5 7.75
12
3rd section
5 73/53 46.5 6.95
9
2nd section
6 73/53 46.5 7.38
12
1st section
Figure 1. Devices for the test operation of the 7 73/53 46.5 8.05
14
anchor piles 2nd section
8 73/53 46.5 7.19
7
6) Test load on the anchor Pt is considered to 2nd section
be 1.5 Pw (design load) for the constant anchors 9 73/53 46.5 6.92
5
and 1.25 Pw for the temporary ones. According to 3rd section
the test results, one determines: ultimate load Pkp; 10 73/53 46.5 8.03
2
effective unsupported length of the rod lff; creep 2nd section
11 73/53 46.5 7.48
6
12 34/1 73/53 46.5 5.60 displacements is 11.76 mm, the minimal value is
13 36/1 73/53 46.5 10.27 0.35 mm and the average value is 6.57 mm. The
14 18 75/53 45 5.15 average value of displacement is recommended to
15 6А/1 52/26 45 11.52 take into account when designing.
Т4 segment
16 52/26 45 11.49
А
Т18 5. Conclusions
17 52/26 45 5.92
segment В
Т11 Due to the performed anchor pile environmental
18 52/26 45 7.37 tests under the actual geotechnical conditions of
segment В
Sochi Region of Krasnodar Territory, it has been
2nd
19 52/26 45 11.43 established that the values of the displacements for
segment A
the anchors of various types, embedment length
Т17
20 52/26 45 8.43 and soil conditions are 6.5 mm on average. Taking
segment С
into account wider range of the design
Т26 displacements of the piles in the piles structures (5
21 52/26 45 3.07
segment B to 120 mm), it is necessary to pay special attention
22 90/1 73/53 60 8.60 to the data being obtained when designing the
23 80/1 73/53 60 6.45 measures of engineering protection from the
24 70/1 73/53 60 6.80 hazardous geotechnical processes for more
25 60/1 73/53 60 8.15 effective operation of the combined pile anchor
26 50/1 73/53 60 4.10 structures.
27 40/1 73/53 60 3.20
28 30/1 73/53 60 4.70
29 21/1 73/53 60 2.70 6. References
30 8/1 73/53 60 8.35
31 10/1 73/53 60 6.66 Construction norms and regulations 22-02-2003
32 16/1 103/78 100 5.60 (2003). Engineering protection of areas,
2nd section buildings and structures from dangerous
33 73/53 60 8.95 geological processes. Basic provisions.
2
GOSSTROY of Russia.
2nd section
34 73/53 46.5 7.20 Construction norms and regulations 3.02.01-87
4
(1987). Ground structures, basements and
2nd section
35 73/53 46.5 6.52 foundations. GOSSTROY of the USSR.
5
Ground anchors and anchored systems (1999).
3rd section Geotechnical engineering circular No.4.
36 73/53 46.5 6.29
6 Washington, 304 pages.
3rd section Jian-Hua Yin, Hong-Hu Zhu (2008). Monitoring of
37 73/53 46.5 6.21
3 soil nailed slopes and dams using innovative
38 5/1 52/26 46.5 3.79 technologies. Department of Civil and Structural
39 29/1 52/26 40 11.76 Engineering, pp 1361 – 1366.
Т3 segment NTO-08-8180 (2007). Technology regulations
40 52/26 45 6.25
А concerning anchor pile construction. OAO
Т23 TSNIIS. Moscow
41 52/26 45 3.56
segment С Methodic recommendations concerning calculation
Т28 and technology of construction of the anchor
42 52/26 45 3.53
segment С retaining structures. Moscow. SOYUZDORNII.
Т27 Moscow.
43 52/26 45 0.36 Shiu Y.K., Chang G.W.K. (2004). Soil nail head
segment F
Т15 review. Special report, 304 pages
44 52/26 45 1.18 VSN 506-88 (1989). Design and arrangement of
segment С
Т30/3 the ground anchors. Minmontazhspetsstroya of
45 52/26 45 4.75 the USSR.
segment F
46 Т30 52/26 45 4.54
47 10 52/26 46.5 9.58
48 13 75/53 45 4.19
Minimal value 0.36
Maximal value 11.76
Average value 6.57
Thus, according to the anchor pile test results

the maximal value the maximal value of the
Monitoring
OBSERVATIONAL METHODS IN SHORING DESIGN - A CASE

STUDY
METHODES OBSERVATIONNELLES DE DIMENSIONNEMENT DES
OUVRAGES DE SOUTENEMENT - ETUDE DE CAS
1
Onder AKCAKAL
1
ZETAS Zemin Teknolojisi A.S., Istanbul, Turkey
ABSTRACT – For the construction of the basement floors within a residential development project in Asian
side of Istanbul, an excavation which has a depth varying between 16 m and 32 m is required. Varity of the
rock quality and existence of the intrusions dictated different systems to be implemented in shoring. Prior to
the shoring works center part of the plot was excavated by excavation contractors and initial displacements
have been occurred. Beside this initial displacement, large scale displacements are also encountered on the
southern part of the plot during the shoring works due to the neighboring water utility and water intrusion.
For remediation studies effective shear strength parameters are determined with both laboratory tests which
performed on the samples collected from clay interbeds and back calculation of the potential slip surfaces.
The effects of the different rock formations, clay interbeds and saturation levels are discussed within this
paper.
1. Introduction submitted evaluations cover only the first six

months of the project.
For construction of the basement floors of a
residential development project in Istanbul, an
excavation which has a depth varying between 16 2. Soil Conditions
m and 32 m is required. Perimeter of the site is
approximately 1370 m. Within the soil investigation studies 50 boreholes in
Soil investigation studies point that soil profile 2005 and 55 boreholes are 2011 are implemented
consists of uncontrolled fill layer and underlying in two different stages. In accordance to the soil
bedrock in sedimentary nature with main investigation studies, fill units are encountered at
lithological units of sandstone, siltstone and the top having variable thickness between 0.5m
mudstone which contains volcanic dyke intrusions and 8 m. Fill consists of some trash having old
in several locations of the plot. Varity of the rock concrete rubbles with Grey-brown, medium
quality and existence of the intrusions dictated plasticity clayey, coarse to medium grained, sub
different systems to be implemented in shoring. angular-angular gravel and boulders.
Prior to the commencement of the shoring works It is noted in the Soil Investigation Report (Onal
excavation contractors have been mobilized and and Hacialioglu, 2011) below fill units, sandstones,
center part of the plot was excavated. Due to the mudstones and sandstone-mudstone intercalations
free excavation in the middle of the site initial of Bakacak formation and intrusive dayks are
displacements have been occurred. Prior to encountered. It is noted that volcanic dayk
commencement of shoring construction the effect intrusions are generally diabasic, basaltic,
of these initial displacements on the shear strength andesitic, dasitic originated.
values of the rock formations is discussed within Locations of encountered rock formations and
this paper. Parallel to the shoring construction, soil properties are illustrated in Figure 1. This
inclinometer readings giving horizontal information is gathered during the excavation and
displacements are recorded and they are shoring works.
interpreted together with other site observations.
Due to the existence of the neighboring water pipe
and leakage from this utility large scale
displacements are encountered. Monitoring records
and laboratory tests are used to understand the
effects of the variation of discontinuities and
lithology of underlying formation on displacements
and to evaluate the necessity of any additional
measures to limit excessive displacements of
shoring system. On the paper submission date,
shoring works have been in progress and the
Figure 1. Encountered Soil Conditions
As given in Figure 1 properties of rock formation maximum initial displacements occurred as a result
is variable all over the site. Generally, mudstones of initial excavations in the middle of the plot
and mudstone-sandstone intercalations are without any shoring, additional lateral
encountered during the shoring and excavation displacements were observed by means of
works but moderately strong sandstones are also installed inclinometers.
seen on the north-west and south-east corners of Shoring works at this face has been stopped,
the plot. and the possible reasons of observed excessive
On the south part of the plot, clay interbeds and lateral displacements have been investigated. At
dayk inclusions are encountered between this stage, it was discovered that, a second
mudstone and mudstone-sandstone intercalations. concrete water supply pipeline is located at a
Typical cross-section of the site is given in distance varying between 4 m and 7 m distance
Figure 2. from the face of the excavation at a depth varying
between 3 m and 5 m. The possible leakage from
EXISTING GROUND SURFACE the connections of this old concrete pipeline
UNCONTROLLED FILL
investigated by means of various trench
excavations near the pipeline.
PERCHED GW
As a result, major leakage locations of city water
SANDSTONE - MUDSTONE AND
SANDSTONE-MUDSTONE INTERCALATIONS AND have been detected at various locations. Leakage
INTRUSIVE DAYKS of water from the pipe apparently was the main
source of perched ground water that was observed
Figure 2. Typical Soil Section A-A during soil investigation. This resulted in increase
of local pore water pressures on potential weak slip
Perched groundwater is observed in erratic surfaces, together with the major softening effect
nature capsulated within main lithological units at produced on mudstones and clayey interbeds.
various depths and locations. It is possible to observe some clay interbeds on
the shoring surface where the large displacements
have occurred at the site (Figure 4).
3. Shoring Systems
At the initial stage, in the scope of the project

mainly soil nailed walls with shotcrete and mini
piles supported with prestressed anchorages are
considered as the shoring system. It was informed
that steel utility pipes exist in some locations of the
site. Combined systems where mini piles supported
with prestressed anchorages are implemented to
limit the displacements on the upper part of the
shoring and under mini piles soil nailed walls are
implemented within relatively stronger rock
formations (i.e. sandstones). Some locations only
mini piles and prestressed anchorages are Figure 4. Clay Interbeds on Shoring Surface
implemented. Also some the parts of the plot where
displacements are not crucial are designed with Increase of the perched water pressures
soil nailed walls wherever possible. resulted in decrease of the shear strength
Various implemented shoring system locations resistance of clay as a result of softening with
are given in Figure 3. exposed water and this is taught to be the main
reason of observed stability problem.
Back calculation is one of the methods that
could be used to estimate the governing residual
shear strength parameters mobilized as a result of
the large scale displacements (Akcakal et al.,
2010). On the other hand, residual parameters of
the clayey interbeds are also determined with
laboratory tests. These parameters and
comparisons of two approaches are discussed in
Figure 3. Implemented Shoring Systems further sections.
(SC+SN: Shotcrete + Soil Nail, MP+PA: Mini Pile +
Pres. Anchorage, FE: Free Excavation, CS:
Combined Systems) 4. Laboratory Test
During the implementation of shoring system at Parallel to excavation studies undisturbed soil
the southern part of the excavation where samples are collected from the encountered clay
interbeds where the large displacement occurred
on the plot. Clay layer where the sample has 5. Site Observations
collected can be seen in Figure 5.
On the east part of the south façade large
displacements occurred as mentioned in the
previous section. Surface cracks are observed on
the ground between 20 m and 36 m behind the
shoring wall as a result of stability problems.
Inclinometer readings reached to maximum 180
mm lateral displacements. Possible failure surfaces
are estimated with considering both inclinometer
projection and surface cracks as illustrated in
Figure 6.
Figure 5. Clay Layer
Laboratory tests are performed in Istanbul

Technical University Hamdi Peynircioglu Soil
Mechanics Laboratory. To determine the peak and
residual cohesion of the clay samples, large
displacement shear box tests are performed
(Cevikbilen and Iyisan, 2013). Tests are performed
both on the sample with its natural water content
and the soaked sample which subjected Figure 6. Estimated Failure Surfaces
consolidation pressure for 24 hours under water.
Results are summarized in Table 1. Failure surfaces are utilized in back calculation
method and Talren program is used for limit
Table 1. Laboratory Results equilibrium calculations.
Sample Øp’ cp’ Ø r’ c r’
1 soaked 7° 55 kPa 7° 20 kPa
1 natural 7° 112 kPa 7° 91 kPa
Øp’, Peak effective internal friction angle
cp’: Peak effective cohesion
Ør’, Residual effective internal friction angle
cr’: Residual effective cohesion
Regarding the laboratory tests it is seen that

cohesion values decrease dramatically with the rise
in saturation level. It is seen that the ratio of cr’ natural
/ cp’ natural is approximately equal to 0.8 for the intact
sample. Further it is noted that, ratio of cr’ soaked / cp’
natural is approximately equal to 0.2. This means
that, the cohesion decrease to 1/5 of its original
value upon large displacement and soaking.
To calculate the average effective shear
strength parameter of the clay layers and rock
formations combination along determined potential
Figure 7. Back Calculation Analysis
slip surface, Ø’ of the rock is considered as 31°.
Also in accordance with the site observations, it is
As given in the Figure 7, soil parameters
considered that, the ratio of the clay layers and clay
providing the factor of safety value of unity is
interbedded rock volume is %40 of the total volume
searched to determine satisfying soil parameters.
of the combination. Based on these assumptions,
Due to the water utility pipe and leakages ru
weighted average of tanØ’ parameter can be
value is considered as 0.3 in the calculation. Ø’
calculated as 0.42 where Ø’ is approximately 22°.
parameter for the clay layers and rock formations
Effective cohesion value of the soaked samples are
combination is determined as 22° where c’
very smaller than the ones with natural water
considered as 0, as explained above.
content, therefore it is decided to ignore cohesion
It is seen as a result of the back analysis that
value for remediation design.
the effective parameters which are determined with
the laboratory tests and the assumptions are quite
appropriate.
Beside the above described section, in the other 7. Conclusion

parts of the plot where mudstone-sandstone layers
exist and the excavation studies reached to the In the scope of the described project, shoring
final level the lateral displacements were recorded design is monitored with inclinometers and
below 35 mm. It is noted that main reasons of the displacements under different subsoil conditions
excessive displacements are the existence of the are summarized within this paper. For remediation
clay interbeds and intrusion of water causing partial studies where excessive displacements are
building up of pore water pressure with soaking recorded effective shear strength parameters are
effect due to the neighboring utilities. determined with two different approaches. Back
calculation and laboratory tests are performed and
effective shear strength parameters of the clay
6. Remediation Studies interbedded rock layer are determined considering
both these approaches. It is noted that the effective
Parallel to the site observations and laboratory cohesion of the clay layer reduces dramatically
tests effective shear strength parameters are parallel to soaking and excessive displacements.
determined as given in the previous section. To Remediation studies for the area where excessive
continue the excavation a remediation design was displacements occurred are performed considering
prepared using these reduced parameters. It is these reduced parameters. Due to the recorded
proposed to implement bored piles and long limited displacements in the other parts of the plot
prestressed anchorages both on bored piles and where the excavation studies reached to the final
existing mini piles. Before the bored pile level, main reasons of the excessive displacements
construction a berm of 35 m width and 15 m height are decided to be due to existence of the clay
was placed and additional anchorages are interbeds and leakage of water due to the
implemented. A typical section for the remediation neighboring utilities.
studies is given in Figure 8. On the paper
submission date, piling and anchorage works on
mini piles have been in progress and it is seen in 8. References
the inclinometer readings that increase of the
lateral displacements has been stopped as a result Akcakal O., Durgunoglu H.T., Senol A., Oztoprak
of implemented additional stability measures. S. (2010). A Case Study by Using Back-
Calculation Method In Slope Stability Analysis:
Gokturk Failure (in Turkish), ZM.13 - 13.
National Conference of Soil Mechanics and
Foundation Engineering, Istanbul
Cevikbilen G., İyisan R. (2011). Soil Mechanics
Laboratory Report (in Turkish), ITU Hamdi
Peynircioglu Soil Mechanics Laboratory,
Istanbul
Onal F. O., Hacialioglu E., (2011). Soil Investigation
Report, Zemin Etud ve Tasarim A.S., Istanbul
Figure 8. Remediation Studies

ASSESSING TH
HE INFL
LUENCE ON BUIILDINGS
S DUE T
TO JET-
TING UN
GROUT NDERPINNNING
EVALUA
ATION DE
E L'INFLU
UENCE SU
UR LES BÂTIMENT
B TS DES R
REPRISES
S EN
SOUS ŒUVRE
Œ PA
AR JET-G
GROUTIN
NG
1
Aleksandra
a CHEPURNOVA
1
Research
h Institute of
o Bases and
d Underground Structu
ures (NIIOS
SP), Moscow
w, Russia
ABSTRACT T – This papper is focusedd on ground movements due to unde erpinning-ind

duced mason nry buildings
in the centre of Mosco ow. Jet-grouting technique considers distortions s that may ooccur as a result of an
inaccurate processing
p s
sequence. The purpose of the paperr is to determ
mine and de emonstrate thhe minimum
value of thiis displacem
ment in relation with total measure, obtained
o on the two simmilar recent construction
c
sites.
1. Introduc
ction underpinning-induced impact, and numerically
prove this pattern (compare Fig. 1.b).
The constrruction of new buildin ngs with deep
underground infrastructture in urban environme ents
often involvves excavatio on support not
n far from the
adjacent structures.
s As increas sing popula ation
pressures drive
d the ne eed for more e infrastructu
ures
while simulttaneously lea ading to the consumption of
more surfa ace space for housing and otther
developmen nts, underg ground construction will
continue too flourish as s the preferrred solution for
infrastructurre provision especially
e fo
or parking.
When wew are talking g about a new structure with
w
several und derground flo oors particulaarly designed in
a historical city centre, which Mosc cow is, it hass to
be mention ned congeste ed area. Am mong varietyy of
underpinnin ng solutions s jet-groutingg technique e is
frequently selected
s to im
mprove groun nd conditions
s as
a faster altternative tha at provides both
b excava
ation
support and d load percep ption.
1.1. Problems
One of the main

m factors influencing on choice off jet-
grouting tecchnique for underpinning
u is how to avvoid
unpredictabble damage during elem ments produ uce.
Practically speaking,
s prreserved building has been
affected by an addition nal deformatiion (settleme ents
or heave); in some case es it is more e exceeded than
t
permitted. For
F this reaso on, total defo ormation cann be
divided intoo predictable e displaceme ents, which are
calculated with
w FEM, anda difficult to
t predict orr, in
some situa ation, over- or underesttimated valu ues. Figure 1. Definition of ground and foundation
This measu ure may well be a direct consequenc
c e of movement due to underpinning-induced (a) and
some reaso ons and happ pen in any ca ase. comparison the measurement values with
Deformaations, espec cially settlemments, occur due calculated one.
to any inac ccurate proc cessing sequ uence here and
further are e termed technologica
t al deformatiions 1.2. Reasons for unpredictable deformation
(settlementss), st, seeing Fig. 1.
The aimm of this pape er is to defin ne the minim
mum One of the biggest complications for those who
value of tecchnological settlement
s and distinguis
sh it trying to understand the jet-grouting process that
from the total
t displac
cement, witth focusing on there are so many interrelating parameters that
assessment the influence on maso onry buildingss of modelling the process is very complex.
Besides,, the greate er difficultie

es in achievving
reliable re esults for total defo ormation (e.g.
settlementss) are happ pened due to scarcityy of
relevant ac ccuracy of significant
s paarameters such
s
as:
• ground conditionals s and con ndition of the
adjacentt building haave to be kn nown to corrrect
stress-sttrain modelin
ng;
• estimatin ng the live load level;
• FE mode elling and ch
hoosing apprropriate mate erial
model;
• jet-groutting process itself;
• less pred dictable hum
man error and d etc.
In the next sec ctions, an overview of
underpinnin ng design an nd analysis of o observatio
onal
data for twoo late constrruction sites in the centree of
Moscow are e presented.
ed building response
2. Observe r to underpinniing
2.1. The Miiddle Tradin

ng Rows (MT
TR)
The Middle e Trading Ro ows (MTR) is an extens sive

building jusst over 200 m long and about 100 wide w
with its long
g eastern faççade facing the
t Red Squ uare
and its south-eastern corner oppos site the St. Basil
B
Cathedral. MTR
M was co
ompleted by about 1865 and
consisted ofo external building
b (Bloock A) and fourf
internal re ectangular buildings, which were w
demolished in order to construct a new n one, un nited
with overalll basementt. It was one of the first
buildings with
w central heating in Moscow. This T
complex includes three e main floorrs above street
level and one
o below. The
T foundatioons are thou ught
to comprise e a masonry pad and strip p.
The new w construction (Block B) B is a mod dern
multifunction 6-storeyyed building g with th hree
underground floors on thet monolith slab founda ation
with trencher reinforced d-concrete column,
c loca
ated
below the internal façades of the existing
e Blocck A
(see Fig. 2)). The encloosing diaphra agm wall is 800
mm thick, 20-22
2 m deep in over 2 m distance from f
external structure was constructed
c by slurry-tre
ench
technique. Semi-top-d down exca avation un nder
Figure 2. Typical
T soil p
profile (a) witth grouted
protection of
o permanentt ceiling has been leaded d to
depth and principal
p crosss section off the Middle
ground movement imp provement. Moreover,
M e
each
Trade R Row (b).
single foun ndation and d strip of Block A was w
underpinned d in order to
o protect hisstorical façad des,
internal barrel vaults and also reinfoorced founda ation - FE analyysis of changes in stress-strain
s
in order to perceive in ncreasing loa ads (more than
t connditions of the
e soil massiff and assessing the
twice). The geological condition
c of th
he site, whicch is influ
uence on Block A due to excavation
shown in the Fig. 2 (a), was in favou ur of jet-grouuting perrformance;
implying. - Elaborate the underpinnin ng scheme contained
c of
mixx-technique: mini-jet and single fluid system (jet-
Design and execu ution of the e underpinn ning 1) by means of o ensuring tthe total setttlements no
project were worked out gradua ally by sevveral more than 10 mm. At first, the pad d and strip
divisions of NIIOSP and a includedd the followwing foundation we ere reinforced by cro oss mini-jet
steps: elemments (Ø 0.3 m) in n order to o minimize
- Numerrical modellin
ng of stress-s
strain behavviour techhnological settlements, and, afte erwards, jet
of designedd structures of Block B interacting with
w grouted column ns (Ø 0.8 m), four on n each pad
soil; foundation, werre done to un nderpin struc
cture;
- The minimum unconfined compressive

strength (UCS) no less than 0.4 MPa for jet grouted
columns and diameter for mini-jet steel bar (Ø57
mm) were determined by mean of adequate new
live load;
- Project planning;
- Field test for improving technique and making
quantitative tests;
- Making alteration in the project in real time
during execution;
- Monitoring at the site.
It is significant to point out that during
underpinning process there were grouted
approximately 37 km length (jet-1), that were about
11500 t cement, installed 18.3 km of steel bar (Ø
56 mm) for over 3 month, and laboratory tests of
th
the UCS-data confirmed defining value on 7-10
day. At the moment excavation is in progress.
2.2. The Business & Cultural Centre (BCC)
The new Business & Cultural Centre (BCC) is

taken place in an enormously congested site
surrounded by 9-storeyed masonry apartment
houses, existing urban environment and a historical
building. The Rumyantsev Palace was one of the
remarkable buildings in the centre of Moscow not
far from the Kremlin in the early 1900th. It was
constructed in 1782 by architect Vasily Bahzenov
(conceivably) and now is occupied by an embassy.
Geological profile, typical for the city centre,
sketchily presented in Fig. 2 (a), also shows
grouted zone for both objects. For underpinning
adjacent buildings were selected bored micropiles
Ø159-180 mm and for three of them joint sealing
between piles by jet-grouting technique were
added. This combined method was applied in order
to reduce buildings damages subjected to ground Figure 3. Prospective sight of the Business-
movements due to deep (11 m depth) excavation Cultural Centre (a) and a cross section (b).
and technological factors. Works are performed
with sealing wall, dividing pit into two parts, the
former is executed progressively by strutting abridged results of monitoring have been confirmed
support of excavation. the elaborate underpinning scheme on the up-to-
Underpinning at least only outside foundation date measures and presented in Fig. 4.
row in all adjacent constructions (6 units) was The bar chart compares the technological
corroborated by numerical modelling and further settlements by 3 distinct steps of design
monitoring at the site. Design elaboration was performance. Overall, we can notice significant
similar to MTR. differences in broth supporting arrangements and
total vertical displacements.
There are some common works which show
2.3. Monitoring results relatively little values, such as retaining wall-
induced (approx. less than 2,1 mm on MTR and
Considering the complexity of described solutions, virtually 2,5 mm on BCC), pit excavation-induced
a wide monitoring program is applied on the both (maximum 1,6 mm on MTR and over 2 mm on
objects. The program is including measurements of BCC). By contrast, settlements that might be
adjacent buildings settlements, visual and sensitive classified as ‘technological’ from underpinning MTR
instrumental control of the crack behaviour. and BCC are comparatively intensive, from 2 mm
Measurements of the settlements are performed by to 4,8 mm and from 4,4 to 6,7 mm, respectively. It
leveling of special marks installed on the internal is interesting to note that even among observed
(MTR) and external (BCC) columns and façades of items normally considered alike, such as st due to
the preserved buildings (see marks 1-7 in Fig. 2.a, jet-grouting, there are some discrepancies in MTR
3.a) and fulfilled, at least, once a week. The and BCC. The former was measured the minimum
value at least 2,8 mm (mark 1 – mark 4), while the probable min nimum value of te echnological
latter was assessed around 2,4 mm (mark 5 - mark setttlements is a significant a
and importan
nt issue.
7).
In conclusion, it appears that there is clear
pattern in the relatively minimum value of 4. Conclusions
C s
technological settlement, which is no less than 2
mm. That is also proved by van der Stoel research Thee example of appliccation of jet-grouting
[2] where he obtained the similar column tech hnique for underpinning of masonry foundations
displacements. hass demonstra ated the imp portance of considering
the underpinniing-induced displaceme ent portion,
esppecially whe en a real value of incremental
dispplacement can be over- or under-estimated due
to some
s reason
n.
Applying FEEM or person nal experience engineer
cann predict th he minimum m quantity of o damage,
‘tec
chnological settlement’, in this ca ase due to
undderpinning foundation,
f w
which will be realized
wha atever the case.
c It is pa
articularly significant for
jet-grouting tec chnique, tha at depending g on many
errelating parrameters.
inte
Minimum ‘technologiccal settlem
ment’ was
calcculated and confirmed at some geotechnical
g
obje ects in the center
c of Mooscow and iti is no less
than 2-3 mm.
Selection of o underpin nning techniques for
adja acent buildin
ngs should b be approved with regard
to the minimum ‘tech hnological settlement’.
Esppecially this makes sense for the e ‘aesthetic’
cate egory (neglig
gible degree of severity) of buildings.
However, th he suggeste ed schemes s would be
furtther validatedd on more ob bservation date, in order
to be used fo or quantitativve assessm ment of the
minnimum value e of ‘techno ological settlement’ and
colllecting resultts for elaboraating overview.
5. References
R
Figure 4. Precise leveling data of the technological
settlements during: A – underpinning-induced, B –
anding J., Burland JJ. (2008). Impact off
Sta
retaining wall-induced, C – excavation-induced,
underground d works on existing infrastructure.
compared with recent total settlement (D) and
Past-Mining 2008, Febru
uary 6-8, Nan
ncy, France.
predicted value (E) for the Middle Trade Row (a)
Sto
oel, A.E.C. van
v der (20
001). Groutiing for Pile
and the Business & Cultural Centre (b).
foundation im
mprovement. DUP Sciennce, Delft
3. Results of back-analysis
Ack
knowledgem
ments
The minimum quantity of technological settlement
was obtained by simulation of stress-strain
Thee author thanks
t Mr. Korneev D.I, OSK
behaviour during the consecutive process of soil
OSPROECT-2, Mr. Zekkhniev F.F, Division 2
MO
eroding partly mixed with the cement grout were
OSP for prroviding the structural details and
NIIO
carried out for MTR using finite element program
monitoring reco
ords.
PLAXIS. This numerical value is well co-ordinated
with monitoring data and might be no less than 3
mm. Also, the rates of settlements due to
excavation, received from the FE predictions, are
compared with the actual field measurements with
regard to negligible distance between existence
buildings and new structure. The measured and
predicted technological settlements agreed quite
well and, moreover, confirmed the chosen soilcrete
column spacing for reinforcing strip foundations of
Block A. It makes sense, that considering the
CODE REQUIREMENTS FOR SITE INVESTIGATIONS: AN

INTERNATIONAL COMPARISON
EXIGENCES DES CODES POUR LA RECONNAISSANCE DE SOLS: UNE

COMPARAISON INTERNATIONALE
1 2
Layal MADDAH , Jean-Louis BRIAUD
1
Geotechnical Engineering, Dar al- Handasah Shair and Partners, Beirut, Lebanon
2
Professor, Zachry Dpt. of Civil Engineering, Texas A&M University, College Station, Texas USA.
ABSTRACT - Site investigation is the first step in any geotechnical engineering project. Typically, a
satisfactory geotechnical study requires the availability of crucial geotechnical data complemented by sound
engineering judgment. Whereas the geotechnical engineer requires gathering as much data as possible
necessary for an adequate and feasible design, the client is inclined to minimize the site investigation
expenses which are typically less than 1% of the project construction cost. Where is the optimum? This is
the topic of this paper. The specifications in codes and guidelines for buildings in 12 different countries are
summarized and compared
1. Introduction 2. Selected Codes and References
Geotechnical engineers typically test 0.001% or The review included the recommendations and
1/100,000 of the earth mass that will be involved in guidelines from 12 Building Codes and references
the response to the anticipated loads. The client (Table 1). The selection process of the latter
expects the engineers to make predictions within a considered the availability of codes and standards,
close tolerance on the basis of this extremely the variability in recommendations with respect to
limited knowledge of the heterogeneous soil or rock types of structures, the nature of recommendations
mass. What percentage of the mass should be (qualitative or prescriptive) and the geographic
tested? The answer depends on many factors representation. .
including the geological conditions, type of project,
previous experience in the area, and the Table 1 .Type of data obtained from references
consequences of a poor prediction. No matter the
project scale, the only common from a geotechnical
point of view is that insufficient geotechnical data
could yield drastic outcomes, a fact clients are
generally unaware of.
The horizontal and vertical extent of site
investigations should conform to the
recommendations of the relevant building code
requirements that are legally binding. Other
standards, manuals, specifications and references
specified in the tender documents are generally
used as guidelines.
From a technical point of view, the building
codes and relevant recognized references
generally applied specify minimum requirements
that should be satisfied. Since common
To differentiate between requirements for
geotechnical problems are frequently encountered
different project types, the structures were
around the world in similar geological formations,
categorized as follows for the purpose of this study.
the codified experiences would be regarded as a
The borehole number and depth recommendations
starting point in order to determine adequate
extracted from the listed references (Table -1-)
number, depth and lateral distribution of
were tabulated accordingly:
investigation points. A review of selected codes
- Category-1-: Buildings
and references was carried out and the results are
- Category-2-: Bridges
shown in the following sections.
- Category-3-: Soil and Water Retaining Structures
- Category-4-:Highways and Highway Structures
As shown in Table 1, Australia and South Africa required ranges between a single borehole for area
presented qualitative recommendations for less than 100 m² (Egypt) versus 3 boreholes for
geotechnical investigations. Other countries area less than 250 m² (Canada) and 5 boreholes
provided prescriptive recommendations on the for areas between 250 and 1000 m². Relevant to
number and depth of investigation points in addition depth, Canada roughly specifies a minimum depth
to general guidelines. Nigeria presented limited of 6 meters below the foundation level. The
relevant data. Eurocode, on the other hand, restricts the distance
For the purpose of this article, only the between boreholes from a minimum of 15 meters
requirements of Category -1- are summarized and for high-rise and industrial buildings and a
recommendations are specified. maximum of 60 meters for large areas. Another
The codes and guidelines will be referred to by the approach is provided by Jordan and Saudi Arabia
name of the country for the rest of the article except that tie the borehole number and depth to the area
for Eurocode and AASHTO Specifications. (as specified in the table) and the number of
stories. The minimum number of boreholes
specified is 3 by Saudi Arabia versus 2 by Jordan.
3. An Overview of the Number and Depth of Special site investigations are recommended by
Boreholes both countries for cases identified in the table. A
different approach is presented by Russia, related
The site investigation consists of three phases: to the complexity of ground conditions. A minimum
desk study, site reconnaissance and subsurface of 1 to 2 boreholes with a maximum spacing of 100
investigation. The information gathered from the m between boreholes is recommended for easy
desk study should be compiled and assessed with
respect to the anticipated superimposed loads from
the structure. The site reconnaissance then should Table 2 . Overview of minimum number and
be carried out and the surface features which could depths of boreholes recommended for buildings
imply subsurface variations are outlined. The
framework for subsurface investigations is then set
and the number and depth of boreholes are
specified.
Boreholes are carried out in order to achieve the
followings: (a) establish the subsurface stratigraphy
for design, (b) determine the orientation or attitude
of the subsurface features, and (c) obtain a
sufficient number of in situ test results and samples
for testing to reach a design with an acceptable
level of confidence.
The importance of selecting an adequate
number of boreholes to proper depths at key
locations cannot be overstressed. The goal should
be to establish both a global and local overview of
the geotechnical conditions
4. Review of the Requirements of the Number

and Depth of Boreholes for Buildings
Buildings constitute the majority of construction

works. Despite being generally of smaller scale
relative to other construction projects (e.g. dams,
bridges), small works can present engineering
challenges and difficulties not any less than larger
ones. Thus the importance of subsurface
exploration through drilling adequate number of
boreholes to sufficient depths should be given
greater consideration in the popular mind.
The numerical recommendations and guidelines
on borehole number and depth required for
buildings are outlined in Table 2. Depth
requirements prescribed by Jordan and Saudi
Arabia in similar manner are also included. As
shown in the table, the recommendations for
borehole number in Canada and Egypt are based
on the area. The minimum number of boreholes
ground conditions. For complex ground conditions, Arabia (a minimum of 1 BH to penetrate all layers
a special site investigation with a maximum containing questionable soil if encountered
borehole spacing of 25 meters is specified. Limited underneath the building) while Jordan recommends
relevant data is presented by Nigeria that deeper boreholes in all cases. According to
recommends 1 borehole per 200 m². Canada, variable borehole depths with varying
Assuming an 8-story building of 40 meters by 40 loads could be adopted and considering deeper
meters plot, the number of boreholes would be boreholes is prudent to allow for variation from
determined as a minimum of 5 borings by Canada, original design.
4 to 6 boreholes by the Egypt, around 5 boreholes Superposition between loads at depth should be
by the Eurocode, 8 boreholes by Nigeria, 3 to 5 considered when it occurs referring to Canada and
boreholes by Russia for easy and medium complex Jordan. In general, the depth should exceed the
ground conditions. Special investigations are thickness of the layers subject to erosion, sensitive
specified for the subject building based on Jordan, to variable water content due to seasonal changes
Saudi Arabia and Russia (for complex ground and such that adequate settlement calculations can
conditions). Relevant to the depth requirements be carried out as required by Jordan and
according to Table 2, a minimum of 9 and 14 meter incompetent layers at depth and subsidence zones
depths are recommended by Jordan for 2/3 and 1/3 as indicated by Canada.
of the boreholes respectively while 6 to 8 and 9 to According to Canada, borehole depth below
12 meters are recommended by the Saudi Arabia rafts supported on piles should be terminated
respectively in the same manner. where relatively incompressible strata has been
Other depth recommendations are shown in reached (that could yield a smaller depth than
Table 3 for the minimum boring depth required specified in Table 3). For depth where driven piles
based on the type of foundation. General minimum are foreseen, allowance for uncertainty should be
depth recommendations are given by Eurocode made and general guidance is required from
ranging from 2 meters under the foundation level relevant previous experience. In case of piles
for competent strata to 6 meters or 3 times the through fill grounds and weak compressible soils,
foundation width. A minimum of 10 meter depth is allowance for increase in stresses due to down-
specified by Egypt. Russia, on the other hand drag should be made.
follows a classification based on the applied loads The specified depths are generally for soil
to specify the depth under isolated and strip deposits. In case rock is encountered, the
foundations. The minimum depth required ranges
from 4 meters for both foundation types to 18 to 26 Table 3 Overview of minimum boring depth
and 20 to 23 meter depth under the isolated and according to type of foundation
ŽƵŶƚƌǇͬ
strip foundation base respectively for relatively high ^ŽƵƌĐĞ
'ĞŶĞƌĂů
loads. Different depth recommendations are Condition

Min Depth below
foundation base (m)
provided for mat foundations with respect to either z ≥ 6
General
the length or the width of the mat. Russia also z ≥ 3 foundation width
Exception: Competent
specifies a minimum of 20 meter depth below the Eurocode
Strata
z = 2
raft base. Relevant to deep foundations, different Exception: Indistinct

At least one borehole z ш 5
geology
recommendations are presented whether with Shallow Foundations
respect to the pile base diameter or width of pile Min Depth (m)
group. Additionally, a rough depth of 5 meters is Egypt z ≥ 10m

Isolated Foundations
specified by Egypt and Eurocode below the pile tip. Min Depth below
Load, kN
As a rule of thumb, according to Canada, the 500
foundation base (m)
4-6
depth should be extended to where the net 1000 5-7
increase in soil under the anticipated loads is the 2500 7-9

Russia 5000 9-13
least of 5% of the effective stress in the soil 10% 10000 11-15
(or 5 percent according to Jordan) and of the 15000 12-19
50000 18-26
applied loads. The use of Terzaghi and Newmark Strip Foundations
influence charts and Boussinesq equation for Load, kN/m (number of Min Depth below
stories) Foundation Base, m
stress calculations as applicable are recommended <100 (1) 4-6
by Jordan. 200(2-3) 6-8
500 (4-6) 9-12
Since the type of foundation system is not Russia
700 (7-10) 12-15
identified until adequate information is obtained 1000 (11-16) 15-20
2000 (> 16) 20-23
from the site, depth according to type of foundation Depth below Mat Foundation Base (m)
cannot be accurately specified. Yet, a range of Eurocode
z ≥ 1.5 the smaller side of the structure (also applicable for
superimposed loads)
required depths could be defined. This depth Jordan z= 1.5 the foundation length
investigates the subsurface conditions in which the Russia 1/2 foundation width and ≥ 20 meter below its base
pressure bulb is supposedly generated by the load Deep Foundations

za≥ 5 meters below pile tip
Egypt
distribution through the expected foundation z ≥ 1 smaller side of rectangle circumscribing the
pile group
system. Eurocode largest of
z ≥ 5
In addition to the requirements is Table 3, z ≥ 3 pile base diameter
1.5 times the width of the loaded area (minimum) measured
deeper boreholes are recommended by Saudi Jordan
from 2/3 the pile length
minimum recommended depth is 3 meters by 6. Conclusion:

Canada to confirm that bed rock not boulders is
penetrated) and Jordan (to confirm penetration into The minimum requirements set in the building
good quality rock below foundation level). codes and recognized references are generally
According to Canada, in case of end bearing selected based on acceptable general practice.
piles on rock, the depth should be sufficient to Each project site should be inspected by a
establish conclusively the presence of bedrock geologist to evaluate the geological setting. The
through (selected) deeper boreholes. Additionally, applicability of the provided minimum requirements
the borehole should penetrate to a sufficient depth for the selection of borehole number, depth and
into the un-weathered rock. location should then be assessed in light of the
Based on the overall review, it is noted that a type of building, the anticipated loads, the expected
leeway is generally left to the engineer to deviate subsurface conditions, the previous experience and
from the prescribed recommendations (increase or the consequences of poor prediction. The
decrease) due to the unique combination of each requirements however fall far behind those
project and site. required to establish an acceptable level of
confidence.
The codes and recognized references thus
should be used for guidance only, and the
5. Borehole Number: Statistical Point of View
establishment of minimum requirements for
investigations should be site specific and not blindly
In a recent study, Briaud (2013) investigated
controlled by sole reliance on code requirements.
what percentage of the volume of soil involved in
the response to the loading of a building should be
tested. The goal was to reach a 98% level of
confidence to be within 20% of the measured 7. References
settlement for a soil parameter with a coefficient of
variation of 30%. AASHTO, (2010). LRFD bridge design
th
His conclusion is shown in Fig. 01 and indicates specifications, SI Units, 5 Edition, American
Association of State Highway and
that the current practice falls very short of this goal
Transportation Officials, Washington DC, USA.
and that the number of borings is many times too
Australian Standard, AS 1726-1993, Geotechnical
low.
site investigations, Committee CE/15
Briaud J.-L., 2013, “The Pressuremeter: expanding
its use”, The 2013 Louis Menard Lecture,
Proceedings of the International Conference on
Soil Mechanics and Geotechnical Engineering,
Presse des Ponts et Chaussees, Paris, France.
Canadian Foundation Engineering Manual, (2007).
4th edition, Canadian Geotechnical Society, c/o
BiTech publishers, pp 488.
Egyptian Code of Soil Mechanics and Foundation
Design and Construction, Code No. 202, Part 1:
nd
site investigation, (2001), 2 Edition,
Permanent Committee for the Preparation of the
Egyptian Code of Soil Mechanics and
Foundation Design and Construction (IN
ARABIC)
Eurocode 7, BS EN 1997-2 , Geotechnical design -
Figure 1 Comparison of number of borings in part 2: ground investigation and testing, , British
current practice and for a precision of + or - 20% Standards Institution
with a 98% degree of confidence for a soil Federal Republic of Nigeria National Building
parameter coefficient of variation of 0.3. Code, (2006), 1st Edition
Jordanian National Building Codes, (1990), Site
investigation code, the Royal Scientific Society
Based on the statistical approach, the Building Research Center
recommendation for the number and depth of Qatar Highway Design Manual, 1997, 2nd Edition
boreholes for the 8 story building of a 40 by 40 Russian Code, (2011). СП 47.13330.2012
meter plot is as follows: 32 boreholes carried out to Engineering investigation for construction.
40 meters depth are recommended for a 98% General rules, Actualized (Updated) Edition of
degree of confidence and coefficient of variation CNaR (Construction Norms and Regulations) 11
equal to 0.3 – 02 – 1996, put into force in 2013 (IN
RUSSIAN)
Saudi Building Codes (SBC 303), Structural- Soil

and Foundations, Saudi Building Code
Committee
South African National Standard, SANS 10160-
5:2010, Part 5: basis for geotechnical design
and actions, 1st Edition, SABS Standards
Division publishers
Sultanate of Oman, (2010). Highway Design
Standards, Dar Al Handasah Shair and Partners
MANAGING RISKS THROUGH SMART MONITORING

LA GESTION DES RISQUES GRÂCE À LA SURVEILLANCE INTELLIGENTE
1 2
Remon POT , Martin VAN DER MEER
1
Fugro GeoServices B.V., Nieuwegein, The Netherlands
2
Delft University of Technology, Delft, The Netherlands
ABSTRACT - Geotechnical risk management and levee safety assessments have a lot in common: both
focus on risk management. Monitoring can provide insight into geotechnical behaviour of structures and
surroundings. Monitoring therefore is therefore valuable to map and manage possible risks. However, pitfalls
in the application of monitoring are often not recognized. Often these pitfalls relate to technical aspects and
communication and understanding of risks. This paper addresses these two aspects: proper application of
monitoring as part of geotechnical risk management and visualization of risks aiming to improve the
decision-making process.
1. Pitfalls of monitoring stakeholders’ understanding (Sugiyama, 1993). To

solve this socio-technical issue between
This paper discusses the value of geotechnical technicians and non-technical experts,
monitoring in two situations. Firstly, monitoring can communication is a key element, which is
be considered as an essential part of geo risk recognized to be difficult (Leung et al., 2008).
management. With the implementation of best Currently there are not many tools available in
value monitoring, the Geo-Impulse program aiming order to bridge the gap between technicians and
to reduce failure costs during construction (Cools, non-technical stakeholders. In the next two
2011) can been put into practice. Secondly, chapters, the issues of accuracy and
monitoring can play a role in levee safety understandable results will be discussed.
management. In both situations monitoring makes
it possible to map the behaviour of the subsoil and 2. Smart levees, measurements and accuracy
to predict safety hydraulic loads. However, current
monitoring practice has a number of shortcomings Geotechnical monitoring is increasingly applied in
in order to adequately contribute in both the field of hydraulic engineering. In the last decade
applications. Rather than elaborating on the faults a concept called “Smart Levees” has been
and errors related to monitoring campaigns, we developed. A “Smart Levee” is defined as “A levee
present an approach to improve monitoring practice equipped with sensor technology and a platform
and the decision-making process related to that is able to interpret monitoring data, in such a
geotechnical risks. way that it provides insights about its past, current
There are a number of challenges and pitfalls in and expected condition to its end users.” (Hopman
relation to geotechnical monitoring. We distinguish et al., 2011). There are different reasons to create
four factors that might prevent effective monitoring a smart levee: 1) to gain insights in the behaviour
campaigns. 1) In order to utilize monitoring for the of levees and hydraulic loads for the purpose of
purpose of risk management, a proper assessment fundamental and applied research,; 2) for (real-
of possible risks and the formulation of objectives time) levee safety assessments (asset
are necessary. Such a strategy depends not only management) and 3) for the purpose of calamity
on expected geotechnical risks; it can be influenced control and decision-support. For the latter, the
by stakeholders and the wishes of the client. 2) The detection of the start of a process that could
second factor relates to the absence of proper possibly lead to failure is important. Therefore the
calibration and installation of instrumentation. applied monitoring technique should have an Early
Furthermore, insufficient data (or a lack of Warning Potential (Spaargaren, 2012). If
redundancy) influences the reliability of campaigns monitoring is deployed to obtain information of
in a negative manner. The work of Dunnicliff (1988) hydraulic loads (aiming to improve the estimation of
describes a proper implementation of pore water pressure in the structure), accuracy of
aforementioned factors. 3) The lack of metadata the monitoring should be taken into account.
complicates the interpretation process and can The relevance of reliable and accurate
prevent insights in accuracy of the campaign. 4) monitoring campaigns is sketched through a
The last factor focuses on the translation of simple, but illustrative example. Consider a levee
monitoring data into understandable language, for consisting of sand, with a clay cover. This type of
the purpose of decision-making related to levee can be assessed on the push up of its clay
geotechnical risks. Uncertainties in measurements cover (part of the failure mechanism micro-
scatter and complex graphs tend to thwart stability). This failure mechanism is presented in
figure 1. If one examines this mechanism according Three quality levels (A-C) are formulated with
to the guidelines of a simple test (TAW, 2011) the descending accuracy by assigning an assumed
following rule applies. standard deviation to each component. The
calculated, theoretical accuracy of the defined
J dJ m,UJ nUw h z quality levels is presented in table I. This theoretical
cos D t (1) approach is a strong simplification, since reliability
U zd and accuracy are influenced by many factors and
often linked in a non-continuous manner.
in which: d = 0,7 m thickness clay cover
h = 1,0 m saturation sand core Table I. Accuracy of three defined quality levels
z = 0,0 m height toe w.r.t. ref. level quality-level monitoring
influencing aspect (error)
= 25 ° slope angle A B C
= 1000 kg / m3 (water) S1 quality of installation 0,05 0,10 0,20
S2 quality sensor 0,05 0,10 0,20
= 1560 kg / m3 (clay cover)
S3 redundancy 0,05 0,10 0,20
standard deviation 0,086 0,173 0,320
Depending on the quality level of the monitoring

campaign, measured monitoring data will deviate
from the actual value. The monitoring result will
lead to an under- or overestimation of the
saturation of the sand core of the levee. If the
results of the applied test formula are followed
Figure 1. Micro-instability – (push up clay cover)
without further consideration, levee strength will be
under- or overestimated. The latter will result in a
The formula (1) is a simple empirical relation. If the
false positive judgment and therefore a false sense
relationship is true, the levee meets requirements
of security.
(TAW, 2011, formula 5.4.1). The relation does not
The results of the analysis are presented in
reflect the physics behind this mechanism
figure 2, by the three cumulative distribution
accurately. For example, the formula does not
functions. The functions illustrate the scatter of
reflect friction surrounding the pushed up part of
possible outcomes for the different monitoring
the clay cover. However the test formula is
classes. In the contrary to standard test results, X >
straightforward and therefore suitable for this case.
1,00 does not represent a positive test result, it now
The level of saturation of the sand core is
represents a false positive, since the saturation of
considered to be a random variable. Fictively the
the sand core was underestimated due to an
level of saturation (expressed in meters water
inaccurate (or misinterpreted) monitoring result.
column) follows from the monitoring campaign. The
values of d, m, and n are in this case assumed
to be equal to 1. In order to take into account
accuracy of the measurements, Monte Carlo
Analysis is applied. Since h is considered to be a
random variable, one can use Monte Carlo
simulation to draw values of h from a relevant
distribution p(h). Each draw is a fictional
measurement with a certain deviation. For each
value of h, the simple test for push up (relation 1) is
executed, resulting in a cumulative distribution
function. Three calculations are made, each
considering a different accuracy level of the
monitoring campaign.
The accuracy of the monitoring results are
affected by multiple factors, an approach is chosen
to take into account three factors (s1-s3): a
deviation with regards to installation, the quality of Figure 2. Cumulative distribution functions of the
the sensor and the availability of the ability to carry test result (X) based on three monitoring classes
out crosschecks. These are taken into account
through the following relation. Table II. Probability of false positive test results (X)
per monitoring class
¦s s s
class X > 1,05 X > 1,10 X > 1,20
V 2
1
2
2
2
3 (2) A P = 0,05 P = 0,01 P = 0,01
B P = 0,17 P = 0,05 P = 0,02
C P = 0,35 P = 0,20 P = 0,05
Table II presents the probability of false positives bystanders than demand action. As a result, often
per monitoring class. . Accuracy of the monitoring the building process gets delayed. Parties should
campaign should be at least higher than the be informed and involved from the start of a project.
estimation of possible saturation levels. False This leads to a more efficient building process.
positives could possible result in disaster. Through involvement, the character of geotechnical
Therefore it is recommended to apply confidence risk management is more likely to be pro-active
intervals, inversely related to the quality of the (aiming at risk aversion) instead of the often-
monitoring. The results show that a low class applied reactive stance. For this latter purpose
campaign results in a high probability of false better visualizations of possible risks can help
positive test results. There are however many stakeholders to become more aware of risk and
factors that influence the quality of levee strength uncertainties.
assessment, such as schematization of the subsoil
and applied computational model. Monitoring is not
the most important factor in such an assessment; it
merely is the capstone of levee strength
assessment.
3. Best value monitoring and the utilization of a

monitoring portal
The objective of geotechnical monitoring as a risk

mitigation tool during construction projects differs
from the application of smart levees. In the
construction process, there is a relative large
chance of failure and monitoring is applied to
optimize the building process and reduce failure Figure 3. The process of geotechnical risk
costs. The chance of calamities is relatively large, management: from risk mitigation to risk prevention
thus monitoring plays an important role in detecting (The “Geo-risk Clock” - Van der Meer, 2008)
risks. Levees (in the Netherlands) are generally
designed with high safety levels against flooding, The described approach was applied during three
so there is a small chance of calamities. Often large scale levee failure tests (AiO-SVT) organized
limited soil investigation data (such as CPT’s and by Stichting IJkdijk (2013). By setting up a water
borings) of earth dams and levees is available. This level in two large basins, two levees were
introduces most uncertainty in strength subjected to an increasing hydraulic head. The
assessments. Geotechnical monitoring therefore expected failure mechanisms were micro instability
contributes to a limited extend in levee safety (instability of the slope or the push up of a clay
assessments. However monitoring, especially cover layer) and piping. The third levee consisted
during extreme water levels, is valuable, due to the of a stability test (figure 4).
large consequences of a flood. Monitoring can play
a key role in identifying weakest links and support
the decision-making process.
Our approach for best value monitoring can be
defined as tailor made monitoring that effectively
contributes to the decision-making process. Three
key elements (criteria) have to be taken into
account. Firstly, monitoring campaigns should lead
to credible and accurate results through proper
application of professional working methods.
Secondly, the monitoring campaign should be
designed in such a way that it addresses
uncertainties related with geotechnical monitoring
efficiently. Therefore it is proposed to define a Figure 4. Large scale levee failure test during the
number of reliability classes that include several All in One-Sensor Validation Test (Stichting IJkdijk)
aspects such as (prescribed) sensor quality, the
availability of meta-data and standards with regards Over fifty private parties and a number of research
to the installation process. Finally, risks should be institutes participated aiming to validate sensor
addressed, presented and communicated in an technology and full service monitoring systems.
understandable and transparent manner during the Fugro GeoServices was one of the participating
whole building process. parties and tested “Levee Portal” in cooperation
Traditionally, geotechnical risk management is with Nelen & Schuurmans. This portal, focused on
steered by the flow of information with regards to monitoring data and risk visualization. As decision-
possible risks. Insights are often gained after support system it targets a number of different
incidents have happened. Stakeholders and/or
stakeholders. Levee-Portal can be deployed during 4. Conclusions

storm surges to determine failure levels. It can also
serve as interface for life cycle monitoring and as Both in construction projects, as for the application
risk management tool during (re)construction of of smart levees, results of inadequate monitoring
levees. Based upon interpreted monitoring data risk campaigns not only fail to reduce risks but even
indications were visualized in colour code. In figure pose unnecessary risks. For technical
5 the flow of data is presented. Communication professionals, non-technical stakeholders and
channels and web based nature of the full service decision-makers data visualization can be a useful
monitoring system allowed for the exchange of asset in geotechnical risk management. Reliable
information not limited to the project location. monitoring and insights in accuracy are a
prerequisite for successful implementation. Tailor
made monitoring portals can than help to bridge the
gap between geotechnical engineers and other
stakeholders in the decision-making process.
5. Acknowledgements
This paper has been made possible by significant

efforts of colleagues of Fugro GeoServices B.V. To
enable this work credits should be given to
Stichting IJkdijk, Nelen & Schuurmans and
research institute Deltares.
6. References
Figure 5. Flowchart application Levee-Portal during Basseville, M. and Nikiforov, I.V. (1993). Detection
the All in One – Sensor Validation Test of Abrupt Changes - Theory and Application,
Prentice-Hall, Inc.
Failure of the levees was predicted based on in-situ Cools, P.M.C.B.M. (2011). The Geo-Impuls
and remote sensing monitoring. In order to Programme: reducing geotechnical failure in the
effectively apply portals as decision-support Netherlands. Rijkswaterstaat.
system, the monitoring data and data flow needs to Dunnicliff, J. (1988). Geotechinical Instrumentation
be reliable. To increase reliability errors and for Monitoring Field Performance. Wiley, New
scattered data can be filtered through the York
implementation of change detection technologies Hopman, V., Kruiver, P. and Koelewijn A. R.
(Bassevill and Nikiforov, 1993). In order to (2011). How to create a smart levee. Proc. 8th
effectively apply full service monitoring, filtering and Int. Symp. on Field Measurements in
anomaly detection are important ingredients. It also Geomechanics, Berlin, 12-16 Sept., pp. 1-12.
was confirmed that geotechnical knowhow is an Leung, S., Mak, S., Lee, B.L.P. (2008). Using a
essential element in (real time) dike strength real-time integrated communication system to
analysis (Stichting IJkdijk, 2013). The user-friendly monitor the progress and quality of construction
interface and visualisations allowed multiple clients, works. Automation in Construction, 17, pp 749-
with different knowledge levels to follow and 757.
understand the processes of failure of the levees. Spaargaren, T.N.. (2012). The Effectiveness of
Sensors in Flood Defences. Faculty of Civil
Engineering and GeoSciences, Delft.
Sugiyama, T et. Al. (1993). Modelling of decision
making process related to judgement of
agreement between measured and predicted
value of deformation of retaining walls based on
fuzzy set theory. Proceedings of the Japan
Society of Civil Engineers, 1993, pp. 147-155.
Stichting IJkdijk (2013). All in One – Sensor
Validation Test - webpage: http://www.ijkdijk.nl.
TAW (2001). Technisch Rapport Waterkerende
Grondconstructies. Technische Advies-
commissie voor de Waterkeringen, Delft
Van der Meer, M.T. and Van der Salm, R. (2008).
Relationships between Monitoring, Risk
Figure 6. Levee-Portal applied during the All in One Management and the Construction Proces.
– Sensor Validation Test (Stichting IJkdijk, 2013). DelftGeoAcademy course, Geotechnical
Instrumentation for Field Measurements, Delft,
January 2008.
MONITORING OF BRIDGE SCOUR USING CHANGES IN NATURAL

FREQUENCY OF VIBRATION – A FIELD INVESTIGATION
LA SURVEILLANCE DE L’AFFOUILLEMENT DES PONTS EN UTILISANT DES
CHANGEMENTS DE FRÉQUENCE NATUREL DE VIBRATION – UNE ÉTUDE
SUR SITE
Luke J. PRENDERGAST
University College Dublin, Dublin, Ireland
ABSTRACT – The high profile failure of the Malahide Viaduct in late 2009 in Dublin was attributed to
erosion of the supporting soils, commonly referred to as foundation scour. This is a more widespread
geotechnical-structural problem, where foundation scour has been identified as the number one cause of
bridge failure in the United States. In light of current changes in climate, increased frequency of flooding,
coupled with the increased magnitude of these flood events, leads to a higher risk of bridge failure occurring.
Monitoring scour is of significant importance to ensure the continued safe operation of the aging bridge
asset network. Most monitoring regimes are based on using expensive underwater instrumentation that is
often subject to damage during times of flooding, when scour risk is at its highest. In this paper, a technique
based on using dynamic measurements to monitor scour is described. Accelerometers placed on the
structure, above the waterline, may be used to detect changes in natural frequency arising from the loss of
stiffness due to scour.
1. Introduction Scour can be combatted in a number of ways.

At the bridge design stage, it is possible to allow for
Scour can be defined as the excavation and scour mitigation by providing both hydraulic and
removal of material from the bed and banks of structural countermeasures. Hydraulic
streams as a result of the erosive action of flowing countermeasures pertain to the prevention of rapid
water (Hamill, 1999). Scour occurs in three main flow expansion caused by sudden induced
forms: General scour, contraction scour and local changes in flow direction that would occur at blunt
scour. General scour occurs naturally in river pier faces. These sudden flow changes create
channels and includes the aggradation and vortices (horseshoe and wake) responsible for the
degradation of the river bed that may occur as a occurrence of scour in these areas. They can be
result of changes in the hydraulic parameters prevented by maintaining larger bridge openings
governing the channel such as changes in the flow and also by streamlining pier geometries (May et
rate or changes in the quantity of sediment in the al., 2002). Structural countermeasures can be
channel (Forde et al., 1999). Contraction scour implemented at the design stage by ensuring
occurs in the general vicinity of channel spread footings are located below maximum design
obstructions, in this case, a bridge. It manifests scour depths, or as remediation by adding rock-
itself as an increase in flow velocity, and resulting armour to the base of piers and abutments. A more
bed shear stresses, caused by a reduction in the effective and economically viable method of
channel’s cross-sectional area at the location of a combatting scour is to monitor its evolution over
bridge. Finally, local scour occurs around individual time. A number of instruments have been
bridge piers and abutments. It is caused by the developed that can monitor the depth of scour
generation of vortices as water accelerates around around bridge piers. These are outlined in section
these obstructions. Downward flow is induced at 2.
the upstream end of bridge piers leading to very
localized erosion in the direct vicinity of the
structure (Hamill, 1999).
The depth of scour around a bridge structure is
the addition of the individual scour depths caused
by the aforementioned mechanisms. The scour
hole generated has the effect of reducing the
stiffness of foundation systems and can lead to
catastrophic structural failure. In one study of 500
bridge failures in the United States that occurred
between 1989 and 2000, 53% of failures were
attributed to adverse hydraulic action, including
scour (Wardhana and Hadipriono, 2003).
Figure 1. Malahide Viaduct Collapse, 2009
2. Scour Monitoring no strain. However, when exposed, the rod bends

and the strains can be used to show the scour
2.1. Scour Monitoring using Underwater depth. As more of the rod is exposed, more of it
Instrumentation bends indicating that the scour depth has
increased. These devices work particularly well at
A myriad of existing instrumentation aims to monitoring the change in scour depth with time.
observe the change in scour depth over time. Other driven / buried rod systems include the
These instruments can be broadly segmented into Magnetic sliding collar, the “Scubamouse”, the
the following categories: single-use devices, pulse / Wallingford “Tell-tail” device and Mercury Tip
radar devices, buried / driven rod systems, sound- Switches. These instruments work on the principle
wave monitoring devices, and electrical of a manual or automated gravity-based physical
conductivity devices. probe that rests on the streambed and moves
Single-use devices consist of float-out devices downward with increasing progression of scour
and tethered buried switches. These devices are depth. A remote sensing element is typically used
installed in the ground, near a pier or abutment of to detect the level change of the gravity sensor. In
interest. They remotely send signals to data- the case of a magnetic sliding collar, the location of
acquisition systems indicating their status, be it in the collar relative to its original position is
position or floated out. They float out of the soil determined by the closure of magnetic switches
once the depth of scour reaches their installation along the structurally rigid rod. The “Scubamouse”
depth. The primary difference between both of works in a very similar way to the magnetic sliding
these devices is that tethered buried switches have collar, except in this case the location of the collar
three status indicators, “in position”, “floated out” or is determined by sliding a radioactive sensing
“not operational” whereas float-out devices typically element into the supporting steel tube, which
only have two settings, “in position” or “floated out”. locates the collar. Mercury tip switches work on the
Pulse / radar devices utilize radar signals or very basic principle that when a steel pipe is
electromagnetic pulses to determine changes in augured into the ground, switches located along
the material properties that occur when a signal is the shaft fold up against the pipe, which closes the
sent through a changing medium. This typically circuit. As streambed material is eroded away, the
occurs at a water-sediment interface and thus switches open iteratively which breaks the circuit
indicates a scour depth at a particular location. and monitors the progression of scour.
Time-domain Reflectometry (TDR) is one method Numerous devices have been developed that
that uses changes in the dielectric permittivity use sound waves to monitor the progression of
constants between materials to determine a depth scour holes. They work on the same principle as
of scour at a particular location. Measuring probes devices that use electromagnetic waves, in that
are installed into the soil at a location of interest waves are reflected from materials of different
and a fast-rising step impulse is sent down a tube densities thus establishing the location of water-
which determines the interface between the water sediment interfaces and hence, the depth of scour
and the soil, and hence the depth of scour. These at a particular location. Sonic fathometers can be
devices may be used to observe the changing mounted on bridge piers and use these methods to
scour depth with time (Hussein, 2012). Ground- build up continuous profiles of the streambed.
Penetrating Radar (GPR) uses radar pulses to Reflection seismic profilers can be towed manually
determine the water-sediment interface and hence across water surfaces and can build up profiles of
the depth of scour. The device works similarly to the streambed and observe where scour holes
the TDR arrangement above but does not require exist. Echo sounders work in a very similar manner
probes to be installed into the stratum. It involves to reflection seismic profilers also and can be used
floating a GPR transmitter along the water surface to determine scour hole depths (Anderson et al.,
and obtaining a geophysical profile of the riverbed 2007).
as it passes. A disadvantage of this method is that Finally, many devices have been developed that
it requires manual operation and cannot be used use the differences in electrical conductivity of
during times of heavy-flood flow when scour is different media to determine the location of the
often at its highest risk. water-sediment interface. An example of a device
Piezo-electric film sensor devices can comprise is Electrical Conductivity Probes. This device
Fibre-Bragg Grating sensor elements arranged measures the ability of a solution to conduct an
along cantilevered rods installed into the soil near a electric current between two electrodes. In solution,
bridge pier. These systems monitor the real-time current flows by ion transport. An increase in ion
progression of scour depth by picking up strain- concentration will result in higher conductivity
deformation in the sensor elements, as they values. The conductance of streambed material will
become exposed to the flow. When the rod is be different to that of flowing water. Therefore, as
surrounded by soil, no bending occurs and hence these probes are exposed, the conductance value
measured will be different to the unexposed case in the natural frequency of bridge piers is expected
allowing for scour to be measured. as scour removes soil material from around the
Most of the instrumentation described in this base of the structure. The natural frequency of the
section has the disadvantage of either requiring bridge pier-foundation system can be determined
underwater installation, which can be costly, or can from accelerometers placed on the structure.
only be used discretely as part of routine Several authors have investigated the feasibility
inspections. This is a notable disadvantage. of using dynamic measurements to detect the
Monitoring the response of the bridge structure has presence of scour. A full scale investigation was
gained significant interest in recent times and is undertaken in Northern Italy on a bridge that had
described in section 2.2. been adversely affected by scour during a flood in
2000 (Foti and Sabia, 2011). One of the supporting
piers had to be replaced. A dynamic survey was
undertaken on the bridge before and after the
Datalogger
replacement of the pier. A numerical model of the
bridge was developed to act as a sensitivity
Bridge Deck analysis in determining the parameters of interest
for scour monitoring. The bridge spans were
analyzed by undertaking a modal analysis to
determine the natural frequencies both before and
after the pier retrofit, whereas the pier response
was analyzed by looking at the asymmetric
Ground dynamic response of the foundation system. The
Bridge Pier Penetrating
Radar
research concluded that the presence of scour was
detectable but the extent of the scour was not.
A laboratory and field investigation undertaken
in the United States recently aimed to study the
Flow Sonic Fathometer
effectiveness of various instruments at monitoring
Direction
scour, including the use of accelerometers (Briaud
Magnetic Sliding Collar et al., 2011). A scaled bridge was constructed in a
large hydraulic flume at Haynes Coastal
Scour Hole Engineering Laboratory, Texas A&M University.
Two foundations types were tested, shallow and
deep, as these are the most common foundations
Float-Out Device used on bridges. The study showed that
accelerometers placed on bridge piers showed
significant potential at detecting the presence of
Figure 2. Scour Monitoring Devices scour at laboratory scale, where impact tests were
performed to simulate traffic excitation. However,
the full-scale bridge monitoring attempt was not as
successful. Low excitation due to the traffic loading
2.2. Scour Monitoring using dynamics as well as the high energy required to transmit
accelerometer data were given as the reasons for
The evolution of scour monitoring has mostly been the lack of success at field deployment.
based on using underwater instrumentation that
measures the progression of scour depths with
time. Little research had been undertaken until 3. Field Investigation
recently into the effect that scour has on the
response of the structure itself. This is a very A full-scale field investigation is planned to take
important aspect of the scour process, since its place at the University College Dublin dense sand
occurrence can lead to bridge failure. test site located in Blessington, approximately 25
The response of a bridge to both static and km southwest of Dublin City. The test aims to
dynamic loads is governed by the soil-structure observe the effect that scour has on the frequency
interaction (Foti and Sabia, 2011). This interaction response of a driven steel pile, much like those
process is quite complex. Scour has the effect of used to support road and rail bridges. An open-
reducing the stiffness of foundation systems upon ended steel pile was driven into the sand stratum to
which bridges are founded. The reduction in a depth of 6.5 m. A 2.26 m long section was left
stiffness has an effect on the dynamic response of exposed above the ground line, along which
sub-structural components of a bridge. A reduction accelerometers were fitted.
removed in progressive experiments. As sand is

removed, the global system stiffness is
Datalogger compromised and a reduction in the natural
Bridge Deck
frequency is expected. By comparing the results
obtained to a reference numerical model, it may be
possible to predict the scour depth around a
foundation structure based on an observed value of
natural frequency.
Bridge Pier Accelerometer

4. Conclusions
Scour Depth
Flow Most scour monitoring equipment involves

Direction expensive underwater installations that often are
subject to damage by flood debris. In this paper,
the use of dynamics to monitor the progression of
Scour Hole scour is discussed and a full-scale field test is
planned. Reference numerical models may be
used to obtain a depth of scour for a particular
observed natural frequency value.
Figure 3. Scour Monitoring using Accelerometers 5. Acknowledgements
I would like to acknowledge my supervisor,

Dr Kenneth Gavin, and Post-doctoral researchers,
Dr Paul Doherty and Dr David Igoe for their help
and guidance with the project.
6. References
Anderson, N. L., Ismael, A. M., & Thitimakorn, T.

(2007). Ground-Penetrating Radar : A Tool
for Monitoring Bridge Scour. Environmental &
Engineering Geoscience, vol. 8, pp. 1–10
Briaud, J. L., Hurlebaus, S., Chang, K., Yao, C.,
Sharma, H., Yu, O., Darby, C. (2011).
Realtime monitoring of bridge scour using
remote monitoring technology.
Forde, M. C., McCann, D. M., Clark, M. R.,
Broughton, K. J., Fenning, P. J., & Brown, A.
(1999). Radar measurement of bridge scour.
NDT&E International, vol. 32, pp. 481–492.
Foti, S., & Sabia, D. (2011). Influence of
Foundation Scour on the Dynamic Response
Figure 4. Installed Pile with Accelerometers
of an Existing Bridge. Journal Of Bridge
Engineering, vol. 16, pp. 295–304.
Gavin, K. G., & Tolooiyan, A. (2012). An
The site conditions at the Blessington site
Investigation of correlation factors linking
comprise a very dense, fine sand that is partially
footing resistance on sand with cone
saturated. The main properties of the site are a
penetration results. Computers and
bulk density of 2.10 Mg m-3, a unit weight of 19.8
Geotechnics, vol. 46, pp. 84–92.
kN m-3, a constant volume friction angle of 37° and
Hamill, L. (1999). Bridge Hydraulics. E.& F.N.
a peak friction angle ranging from 54° to 40° over Spon, London.
the depth of embedment of the pile (Gavin and Hussein, E. A. (2012). Vibration Based Damage
Tolooiyan, 2012; Tolooiyan and Gavin, 2011). Detection of Scour in Coastal Bridges. North
The scour test planned aims to observe the Carolina State University.
change in frequency with increased depth of scour May, R. W. P., Ackers, J. C., & Kirby, A. M. (2002).
as the lateral restraint provided by the sand is Manual on scour at bridges and other
hydraulic structures. London.
Tolooiyan, A., & Gavin, K. (2011). Modelling the

Cone Penetration Test in Sand Using Cavity
Expansion and Arbitrary Lagrangian Eulerian
Finite Element Methods. Computers and
Geotechnics, vol. 38, pp. 482–490.
Wardhana, K., & Hadipriono, F. C. (2003). Analysis
of Recent Bridge Failures in the United
States. Journal of Performance of
Constructed Facilities, vol. 17, pp. 144–151.
IN-SITU TESTING OF FBG DEFORMATION SENSORS WITH USE OF

A NEW TEST BEAM
ETALONNAGE IN-SITU DU CAPTEUR DE DEFORMATION FGB AVEC
UTILISATION D'UNE NOUVELLE POUTRE D'ESSAI
1 2 3 2
Marek ZÁLESKÝ , Jan ZÁLESKÝ , Ladislav ŠAŠEK , Kristýna ČÁPOVÁ
1
ARCADIS Geotechnika, a.s., Prague, Czech Republic
2
Czech Technical University in Prague, Faculty of Civil Engineering, Dept. of Geotechnics,
Prague, Czech Republic
3
SAFIBRA, Ltd., Říčany, Czech Republic
ABSTRACT This paper is focused on in-situ testing of FBG (Fiber Bragg Gratings) sensors which are used
in borehole extensometers, and other fiber optics deformation measurement instruments developed within a
R&D project. The properties of “raw” optical fibers with FBGs and FBG deformation sensors have been
examined on a newly designed test beam. It is one “IPE” (double T) steel beam with consoles, where the
FBG sensors can be fixed. The deformations are induced by controlled mechanical displacement of
consoles and/or by temperature changes of the steel beam caused by heating with precise regulation. The
in-situ tests are carried out in the Josef Underground Laboratory of the Faculty of Civil Engineering, CTU in
Prague. Following issues will be described and discussed: design of the test beam, independent doubled
deformation measurement, high accuracy temperature regulation of the steel beam, selected results of test
measurements gathered with a new FBG interrogator of our own development.
1. Introduction and high humidity. In 2013, the last year of the

project, the developed measurement instruments
A research and development project focused on will be used together with common monitoring
the use of Fibre Bragg Gratings (FBG) for methods in the field so that their function will be
displacement monitoring in geotechnics has been cross-checked and further verified.
carried out since 2011 by a team of ARCADIS
Geotechnika, a.s., Faculty of Civil Engineering of
the Czech Technical University in Prague and 2. Test beam
SAFIBRA, Ltd.
The main objectives of this R&D project are: A test beam was designed in order to enable
development of a modular borehole extensometer experiments and testing of “raw” optical fibers with
based on FBG strain sensors, design of various FBGs, developed FBG deformation sensors and
FBG displacement sensors (for sub-surface the prototypes of borehole extensometer under
extensometer, for example) as well as development development. Two independent deformation
of an FBG interrogator, which works at 1550 nm measurement means are used for comparison with
wavelength and can be operated remotely through the FBG readings: high resolution potentiometric
Ethernet access. Although some borehole displacement transducers with datalogger and
extensometers with FBG sensors are offered and sliding micrometer (Solexperts AG, Switzerland),
developed by few (foreign) manufacturers, our which is commonly used for monitoring of axial
R&D project’s aim is to design instruments, which deformations in instrumented boreholes. Both
offer various measurement ranges and can be methods have the same resolution of ±1µm/m.
customized easily. The test beam was designed in two versions.
During the first year of our project, a test beam The first one with 1 m measurement base is used
was designed and manufactured in order to for laboratory tests. The second beam has three
establish devices for laboratory and in-situ testing measurement intervals of 1m length. This version
of optical fibers with FBG sensors, as well as for has been used in the underground laboratory. Its
testing of instruments already completed and under description is as follows.
development. Further, the components of borehole The main beam is equipped with four L –
extensometer and sub-surface extensometer were shaped cantilevers for fixing optical fibers. The
designed. In the second year the prototype of the cantilevers carry deformation sensors and sliding
borehole extensometer was tested in the Josef micrometer measurement marks for independent
Underground Laboratory of the Faculty of Civil deformation measurements. The main beam is
Engineering, CTU in Prague, in an environment of connected to the bearing beam by pairs of steel
a former exploratory adit with constant temperature suspending cables attached to each cantilever, fig.
1. The bearing beam is bolted on two frames, intended for floor heating) showed too large
which support the whole construction. The frames hysteresis.
are fixed to concrete foundation blocks by anchor Higher accuracy of temperature control is
bolts and are braced to the side walls of the adit. achieved by PID temperature regulation with
±0,1°C resolution and accuracy significantly better
than ±0,5°C.
As mentioned above, the independent
deformation measurement can be done in two
ways. For automated measurements three
displacement transducers are placed in series
between the four L – shaped cantilevers. Therefore
the deformation is determined for each
measurement segment of the test beam and the
sum of the readings from the three displacement
transducers gives the overall deformation of the
test beam. The second way of deformation
measurement is use of sliding micrometer. The
sliding micrometer measurement marks were
removed from the original borehole casing tubes
and fixed into the L-shaped cantilevers by a special
arrangement. The sliding micrometer probe is used
Figure 1. Simplified scheme of the test beam; for manual measurement of deformation changes
legend: 1 – main beam IPE300, 3 400 mm long; 2 between the four cantilevers. The sliding
– sliding cantilever – UPE140; 3 – couple of cable micrometer system is equipped with an
suspensions; 4 – thermal insulation plate; 5 – pair independent calibration device provided by the
of threaded rods; 6 – area for attachment of manufacturer.
sensors and measuring elements; 7 – stabilizing The deformation measurements are
joint; 8 – bearing beam – supporting structure; 9 – accompanied by temperature measurements on
concrete block foundation the test beam web. The air temperature, humidity
as well as dew point are recorded.
During the measurements the main beam is
loaded by horizontal forces from prestressed
optical fibers. Additional horizontal force acts, when 3. New interrogation unit FBGuard 1550
the sliding micrometer probe is spanned between
pairs of measurement marks. These forces are A new interrogation unit “FBGuard 1550”, fig. 2,
acting in the upper part of L- shaped cantilevers. has been developed by the company SAFIBRA,
Structural analysis was carried out in order to Ltd. within our research project. The laboratory and
determine the maximal horizontal deformation of field measurements in our project are done by this
the top flange induced by the forces acting during interrogation unit. It is fully industrial, performs high
the measurements. The horizontal deformation of accuracy static and dynamic measurements of
the main beam had to be lower than the resolution Fibre Bragg Grating sensors.
of displacement sensors used for the
measurements. This was the limiting condition for
the dimensioning of the main beam profile. The
profile IPE 300 was chosen.
The tested FBG sensors are elongated or
shortened manually or automatically. The distance
between cantilevers can be adjusted by “pulling”
the loosened cantilevers by couples of threaded
rods and fixing them again. Other way of inducing
deformation is temperature change of the main
beam by electric heating cables attached to both
sides of the main beam web. For this purpose, a
stiff thermal insulation is placed between the L-
shaped cantilevers and the main beam is packed in Figure 2. Photo of FBGuard 1550 interrogation unit,
extruded polystyrene insulation. rack-mount version
Thanks to heating with automated temperature
control together with deformation and temperature The system contains a broadband light source
data logging, cyclic tests can be performed. After a in the range of 1550 nm and performs spectral
series of laboratory tests on the one-meter test analysis means of a linear CCD-array spectrometer
beam it was found out, that precise temperature platform. The input channel to be monitored can be
regulation of the heating cables is needed. The selected by an optical switch. It is possible to adjust
previously installed electric thermostat (originally scan frequency and number of channels.
The concept of spectrometer usage does not

require FBGs distance calibration by the
interrogation unit and therefore does not limit
number of FBGs in some setups. Number of FBG
sensors in chain (in series) on one fiber is
dependent only on individual measuring ranges of
temperature or strain, which determine spectral
range of each single sensor and, of course, on the
spectral range of interrogator, which is 80 nm.
FBGuard is controlled by an internal embedded
PC and is independent on external devices and
control procedures. The measured data is stored in
the internal vibration resistant SSD memory. The
unit is designed for permanent operation using
Linux system. Therefore FBGuard can be used
also as industrial security system. It has Ethernet Figure 3. Detail of cantilever; legend: 1 - main
interface, which allows remote control from any beam, 2 - sliding console, 3 - couple of adjustable
standard PC or smartphone through TCP/IP. cable suspensions, 4 - additional steel plate for
The configuration of the interrogation unit, of fixing of sensors, 5 - sealed FBG sensor fitting, 6 -
alarms, scan rate (frequency of measurements), extension rod of potentiometric displacement
events and data logging is possible via SSH and sensor, 7 – sliding micrometer measurement mark
web interface, because FBGuard 1550 is designed
as a web server.
The unit can perform an action as result of
immediate alarms via 3 relays. Ruggedized unit
construction is suitable for 19” rack mount in
industrial applications. Further information can be
found in Šašek et al. (2012).
4. Measurements with FBG sensors and

selected results
After a series of the test measurements carried out

with “raw” optical fibers in laboratory conditions on
the one-meter test beam, further testing was done
in the underground laboratory on the 3m long test Figure 4. Front view at the test beam. Open
beam. extensometer head is fitted on the left side and
The test beam in the former exploratory adit is sealed FBG sensors on the right side of the beam
used for short- and long-time measurements with
the developed FBG deformation sensors and the The extensometer head is usually in a
borehole extensometer. The extensometer head is protective cover at the surface, where at least
fixed into a bracket at one side of the first L-shaped seasonal temperature changes occur. A short time
cantilever. Two extensometer “rods” are mounted example of temperature sensitivity of 3 m long FBG
at their anchor points to the fourth cantilever. In this deformation sensor is shown in fig. 5.
case, the FBG deformation sensor is used for the The FBG sensors are subjected to long term
entire length of the extensometer “rod”. The optical tests. Prestressed sensors are elongated to
fiber with the inscribed Bragg grating is led through different levels of deformation, usually from 0,5% to
a protective tube. At the anchor point and in the 3%. After two months of service the continuous
extensometer head, the fiber is fixed in sealed measurements indicated defect at one sensor, fig.
clamps, which enable precise prestressing of the 6. The presented graph shows the change of
fiber. Second pair of FBG deformation sensors, deformation over time. The 3 m long FBG sensor
which can be used for “sub-surface extensometer” was strained to 0,76%. This event was caused by
or in other applications, are attached to the humidity, which damaged the FBG sensor.
opposite side of the L-shaped cantilevers, fig. 3, 4. The FBG sensors are subjected to long term
Although we perform the tests in in-situ tests. Prestressed sensors are elongated to
environment, where almost constant temperature is different levels of deformation, usually from 0,5% to
assumed, the temperature compensation of the 3%. After two months of service the continuous
FBG measurements is needed. Also for the measurements indicated defect at one sensor,
borehole extensometer the temperature fig. 6. The presented graph shows the change of
compensation is required. The extensometer rods deformation over time. The 3 m long FBG sensor
are grouted in the instrumented borehole where was strained to 0,76%. This event was caused by
low temperature changes can be assumed. humidity, which damaged the FBG sensor.
spanned between fix points made by steel rods

penetrated into the subsoil. The subsurface
extensometer will be tested in the field during 2013.
6. Conclusions
Fiber Bragg Gratings deformation sensors for

geotechnical monitoring and borehole
extensometer prototypes under development have
been tested on a newly designed 3 m long test
beam. The test beam is equipped for variable fixing
of FBG deformation sensors or FBG measurement
Figure 5. Example of short time relationship instruments. The tested sensors can be subjected
between temperature and deformation of a FBG to deformations set manually or automatically by
sensor in a protective tube electric heating, which causes controlled
deformation of the main beam. This possibility is
The optical fiber has Ormocer® coating, which suitable for long term cyclic testing. Therefore
is moisture-absorbent. The sensor was sealed in assessment of repeatability and accuracy can be
the protective tube. The sealing has to be carried out.
improved. This was indicated thanks to testing in The deformations can be independently cross-
the exploratory adit, where the air relative humidity checked by a series of high precision displacement
reaches 90%, dew point is at about 9°C and air transducers with datalogger or by manual
temperature about 10 °C. measurement with the sliding micrometer probe.
Temperature changes are recorded as well. FBG
data logging is provided by newly developed
FBGuard 1550 interrogator, which has Ethernet
interface and enables complete remote control and
data transfer. The test long term measurements in
the former exploratory adit at the Josef
Underground Laboratory showed, that the sealing
of one FBG deformation sensor type has to be
improved. The field tests of FBG borehole
extensometer and subsurface extensometer are
planned for 2013.
7. Acknowledgement
Figure 6. Development of deformation changes The presented work is carried out in a R&D project
over time. After two months of service the FBG “TA1011650 Research and development of
sensor was defected due to humidity applications of dielectric strain sensors in
geotechnics” with financial support from the
5. Applications Technology Agency of the Czech Republic.
Several geotechnical FBG deformation monitoring 8. References

instruments are under development within the
presented research project: a borehole Šašek, L., Demuth J. (2012). User’s guide -
extensometer constructed in two versions – with autonomous interrogator unit for measurements
FBG sensor along the whole length of each with dielectric deformation sensors. SAFIBRA,
extensometer rod – for shallow depth applications Ltd., Říčany
with higher sensitivity and measurement accuracy. Líbal, J., Záleský, J., Záleský, M., Šašek, L. (2012).
The second version is developed for short FBG Annual report, project TA1011650 Research
sensors with extended displacement range, which and development of applications of dielectric
are placed in the extensometer head and strain sensors in geotechnics. ARCADIS
connected to the extensometer rods. This is an Geotechnika, a.s., Prague
option for greater depths and lower resolution. Vopička, M. (2012). Use of fiber optics sensors for
deformation monitoring in geotechnics. Diploma
Other application of FBG deformation sensors, thesis, Department of Geotechnics, Faculty of
which has been designed, is a subsurface Civil Engineering, Czech Technical University in
extensometer. It can be used for monitoring of Prague, pp.40-42 and compilation program –
ground movements on unstable slopes and software utility
indicate development or slow-down of slope
movements at its surface. The FBG sensors are
Edited by Y.-J. Cui et al. © 2013. The authors and IOS Press.
Author Index
Abboud, A. 531 De Abreu, S. 307
Adams, M. 330 Degago, S.A. 47
Akcakal, O. 581 Di Núbila, C. 51
Akrouch, G. 161 Dias, D. 94
Alejo, A. 477 Đidara, M. 547
Alfaro, A. 3 Do, H.D. 81
Al-Mawali, K. 447 Dong, Y. 253
Alonso, E. 455 Doolan, S. 181
Amorim, M. 69 Dorador, L. 407
Amoroso, S. 473 Dumitru, M. 86
Andronic, A. 7 Dupont, P. 11
Aniskin, A. 535 Dupuis, B. 15
Auray, G. 15 Edil, T.B. 63
Avesani, F.P.B. 90 Edwards, D.H. 209
Awad-Allah, M.F. 165 El Ouni, M.R. 493
Ayala, J. 477 Elarabi, H. 197
Baudet, B.A. 423 El-Fadil, M. 19
Beier, N. 395 Emeriault, F. v
Beltrán, J.F. 357 Fan, W. 367
Benson, C.H. 63 Farahi Jahromi, H. 489
Bernardi, M. 519 Forde, M.C. 367
Besio, G. 407 França, F.A.N. de 90
Besseling, F. 481 Gawlik, F. 51
Bezuijen, A. 301 Gaye, A.X. 315
Białek, K. 399 Gens, A. 455
Billang, S. 311 Ghabezloo, S. v
Bišćan, M. 169 Giannopoulos, A. 367
Blanc, M. 94 Girout, R. 94
Bohn, C. 73 Goreham, V.C. 98
Bolfan, L. 169 Grimstad, G. 47
Borbély, D. 337 Gu, K. 411
Breyl, J. 538 Guettaya, I. 493
Briaud, J.-L. 161, 589 Guimond-Barrett, A. 102
Brødbæk, K.T. 23 Gusmão Filho, J. 69
Bueno, B. de S. 90 Gusmão, A. 69
Burd, H. 253 Guymer, I. 415
Čápová, K. 603 Hamada, T. 371
Ceccato, F. 173 Hammann, M. 230
Cerioni, L. 435 Hassan, R. 106
Chang, I. 77 Hayano, K. 257
Chepurnova, A. 585 Heritage, R. 497
Chhun, S. 11 Hino, T. 371, 463
Cho, G.-C. 77 Holland, A. 501
Chua, T.S. 555 Hong, J. 411
Čiháková, T. 177 Hou, Y. 253
Cisse, I.K. 315 Houlsby, G. 253
Cisse, L. 315 Hover, E. 415
Clayton, C. 285 Hu, L. 261
Connolly, D. 367 Huynh, T.S. 11
Correia, A.A. 485 Irfan, M. 505
Coutinho, R. 69 Isidorou, P. 185
Cui, Q.-L. 361 Isobe, K. 510
Cui, Y.-J. v Issina, A. 189
Cuira, F. v Izzo, R. 51
D’Ignazio, M. 249 Jacobs, F. 318
Dahlberg, S. 403 Jafari, M.K. 523
Dasaka, S.M. 543 Jia, R. 371, 463
Dave, T.N. 543 Joshaghani, M. 489
608
Josifovski, J. 147, 234 Mpele, M. 459

Jostad, H.P. 205 Mrvik, O. 36
Juzwa, A. 110 Murthy, T. 439
Kainrath, A. 114 Myftaraga, E. 375
Kalumba, D. 242 Neaupane, K. 185
Kamel, T. 341 Negami, T. 463
Kana, M. 311, 459 Nguyen, M.H. 81
Kanerva, K. 322 Ni, Q. 415
Karatzetzou, A. 514 Nicks, J. 330
Kaya, H. 551 Novotný, J. 222
Kellezi, L. 289 Ohtsuka, S. 510
Khan, K.M. 447 Page Risueño, A.M. 205
Kikumoto, M. 387 Palmén, A. 130
Knapik, K. 118 Pantet, A. 102
Koh, E. 555 Park, C.-H. 391
Koo, K.-S. 559 Pecker, A. 485
Koreta, O. 375 Pereira, J.-M. v
Korkiala-Tanttu, L. 322 Pérez, M.A. 349
Kosho, A. 326 Petkovšek, A. 138
Kramer, S.L. 485 Pinho, R. 485
Kumara, J. 257 Plaisted, M. 443
Kupec, J. 497 Poirriez, C. 209
Lacey, D. 379 Poklonskyi, S. 59
Lake, C.B. 98 Pot, R. 594
Länsivaara, T. 249 Prendergast, L.J. 598
Lapeña, P. 419 Priceputu, A. 273
Law, R.H.C. 345 Pusiol, D. 435
Le Kouby, A. 102 Quaglia, G. 568
Lee, J.-S. 391 Qureshi, M.U. 447
Levy, F. 193 Răileanu, I. 572
Li, P.Q. 423 Rakitin, B. 353
Lim, S. 427 Ravel, H. v
Limam, A. 341 Raymackers, S. 213
Liu, T. 261 Reboul, M. v
Lodahl, M.R. 23 Rees, S. 451
Look, B. 379 Reiffsteck, P. 102
Lu, C.-C. 27 Rochée, S. 277
Luo, X.D. 265 Ryabukhin, A. 576
Maddah, L. 589 Saldana, C. 439
Mahmoud, M.A.B. 197 Sanchez, M. 161
Maia, G. 69 Santamarina, J.C. 77
Malinin, A. 122 Šašek, L. 603
Malinin, D. 122 Saue, M. 205
Mamaghanian, J. 134 Scalia IV, J. 63
Mánica, M. 126 Sego, D. 395
Marchi, F. 519 Sehi Zadeh, M. 489
Marchi, M. 519 Seyedi Gelsefidi, S.A. 134
Marjanović, M. 32 Shen, S.-L. 361
Martinez, J. 11 Shi, B. 411
Massimino, B. de M. 90 Shipton, B. 218
Matsiy, S. 576 Shulyatev, S. 281
Milatz, M. 55 Silvani, C. 341
Mladenovič, A. 138 Šmejkalová, T. 222
Moffat, R. 3, 357 Smit, G. 285
Mohamed, A.A. 564 Smith, S. 226
Mohamed, D.R. 269 Smolar, J. 138
Molnar, I. 431 Sørensen, C.S. 23
Montoro, M. 435 Sotomayor, J. 357
Moosavi, S.M. 523 Souli, A. 289
Morsy, M.S. 201 Stabile, T. 330
Mosser, J.-F. 102 Stefaniak, K. 383
Mpeck, E. 459 Stephenson, P. 143
Mpele, D. 311 Susinov, B. 147
609
Szymkiewicz, F. 102 Vandenboer, K. 301

Ta, A.-N. 230 Villalobos, F. 477
Tang, A.M. v Wanik, L. 155
Tang, C. 411 Wardle, G. 538
Tani, K. 387 Warren-Codrington, C. 242
Tarragó, D. 455 Wen, Q. 261
Thiam, A.A. 315 Whittle, A.J. 345
Thorel, L. 94 Willan, M. 467
Togashi, Y. 387 Williams, D. 379
Tomovski, I. 234 Wu, H. 261
Tronda, T. 151 Xu, Y.-S. 361
Tsala, F. 459 Yang, J. 265
Tzivakos, K. 238 Yasufuku, N. 165
Uchimura, T. 505 Yin, Z.-Y. 361
Ulker, M.B.C. 293 Yoon, H.-K. 391
Usman, F. 463 Yousefi, S. 489
Utepov, Y. 297 Záleský, J. 603
van Beek, V. 301 Záleský, M. 603
Van Der Meer, M. 594 Zornberg, J. 443
Vandenberge, D.R. 40 Zornberg, J.G. 90

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PROCEEDINGS OF THE 5TH INTERNATIONAL YOUNG

GEOTECHNICAL ENGINEERS’ CONFERENCE

Amstterdam • Berrlin • Tokyo • Washington, DC

ISSN 2212-781X (print)

ISBN 978-1-61499-296-7 (print)

Distributor in the USA and Canada

PRINTED IN THE NETHERLANDS

Séverine Beaunier Ponts Formation Conseil

Iman Ashayeri Katia Bicalho

3D Numerical Modeling for Slope Stabilization Using Horizontal Drains 3

Evaluation of Creep Hypotheses A and B Based on Relevant Laboratory Tests 47

Geotechnical Testing for Certification of Loess Improvement by Dynamic Compaction 86

Energy Piles for Heating and Cooling Purposes 161

Analysis of Longitudinal Cracks in Road Embankments 307

Tunnel and Underground Structure

Ground Vibration Isolation on High Speed Rail Lines 367

Selection of Characteristic Values from Cone Penetration Test 375

Tailings Management in Canada’s Oil Sands 395

Geotechnical Properties of Patagonian Tephra Tuff 467

Earthquake and Geodynamics

Case Study: Deep Excavation in Beirut Suburb 531

Observational Methods in Shoring Design – A Case Study 581

Author Index 607

3D NUMERICAL MODELING FOR SLOPE STABILIZATION USING

1. Introduction studied using a 3-D technic, because pore pressure

1.1.3. Pipe Design

Figure 1. Cross sectional properties for an open

1.1.4. Head Loss

Because of the disagreement between the 3. Alternative modeling solution

According to Figure 4, the water depth profile

0.2 On the other hand, QE represents the actual

Modeling drains considering zero pressure does

Chow, V. (1959). Open-channel Hydraulics. New

NON-NEWTONIAN FLUID PARAMETERS CALIBRATION FOR

4. The determination of the parameters of the

Figure 4. The shear stress for Euler-Lagrange

The second model used for calibration consists

Figure 6. The von Mises stresses in the soil for

If the stress state of the soil is considered

Figure 5. The von Mises stresses for Euler-

Us-Up linear equation and calibrating them in the

Alonso, E. et al (2010). Geomechanics of Failure.

Comparing the results obtained from the direct

SIMPLIFIED METHOD OF ANALYSIS OF THE STABILITY OF RIVER

1. Introduction parameters such as permeability and cohesion on

 failure criterion is used:

sophisticated finite element simulations. The results

LONG-TERM SAFETY COEFFICIENT FOR GEOSYNTHETICS:

1. Introduction 2. Installation damage procedure

Figure 1. Plan of installation damage

2.2. Soils This plan was controled by an external organism

Several samples were tested: 5 reinforcing

Picture 3. NW. geocomposite 180kN/m, sand, ME

Picture 1. Reinforcing geocomposite cable side (left

Table 1. Geosynthetic/grid used

In general we have the same observation like

According the standards cited the installation

To determine the resistance of damage products,

Sand 1.08-1.15 1.08-1.15 <1.2 1.08-1.15 1.08-1.15

Auray G., Arab R. (2011). Conception,

THE EFFECTS OF SOIL CHARACTERISTIC ON RAINFALL

3. Results and Discussion

rainfall in December 2006 is only slightly higher

failure criterion is used:

M stab z opt respectively. They are chosen based on a literature

F max(0, D R u Vdriving force ) ma (3)

1. Introduction W Total V normal tan I T As cos T