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**Finite element analysis of cone penetration in cohesionless soil
**

W. Huang

a

a,*

, D. Sheng a, S.W. Sloan a, H.S. Yu

b

Discipline of Civil, Surveying and Environmental Engineering, University of Newcastle, Callaghan, NSW 2308, Australia b School of Civil Engineering, University of Nottingham, Nottingham NG7 2RD, UK Received 21 June 2004; received in revised form 10 August 2004; accepted 6 September 2004

Abstract Displacement ﬁnite element analysis is performed for a cone-penetration test in cohesionless soils. By modelling ﬁnite strain in the soil and large scale sliding at the penetrometer–soil interface, a more realistic penetration process is simulated in which the penetrometer is assumed to be rigid and the soil is assumed to be an elastic-perfect-plastic continuum obeying the Mohr–Coulomb criterion. The cone resistance found from the calculations shows that the depth of steady-state penetration depends on the stress state and the soil properties. Parametric studies are performed to illustrate the inﬂuence of various factors on the cone resistance at the steady state. The deformation mode of the soil around the cone, as well as the plastic zone, is shown to be similar to that caused by cavity expansion. Indeed, the calculated cone resistances are comparable with empirical correlations based on cavity-expansion theory. Ó 2004 Elsevier Ltd. All rights reserved.

Keywords: Cone penetration; Cohesionless soil; Finite element analysis; Cone resistance

1. Introduction The cone-penetration test (CPT) is widely used in geotechnical engineering for in situ soil tests. In a CPT, a cone-shaped penetrometer of a standard geometry is pushed into the ground at a constant rate while the resistance on the cone is measured. The sleeve friction on the shaft is often recorded as well. In the piezocone penetrometer, pore pressure is typically measured at one, two, or three locations on the cone or the shaft. Using the CPT to probe soil stratigraphy has been practised since 1917. Nowadays, the CPT is also applied for soil classiﬁcation and soil property estimation. To determine soil properties from measured cone data, it is necessary to establish some relations among them. For this purpose, much previous work has foCorresponding author. Tel.: +61 2 4921 6082; fax: +61 2 4921 6991. E-mail address: wenxiong.huang@newcastle.edu.au (W. Huang). 0266-352X/$ - see front matter Ó 2004 Elsevier Ltd. All rights reserved. doi:10.1016/j.compgeo.2004.09.001

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cused on cone-penetration analysis over the past two decades (see e.g. [21,14,18,24]). The diﬃculties lie in the complicated deformation of the soil, which results from the punching of the penetrometer, as well as the complex interfacial behaviour. Rigorous closed form solutions are not available for penetration problems, and analyses are often based on simpliﬁed theories. One approach treats the steady-state penetration of the cone as a limit equilibrium problem of a circular footing, and proposes correlations based on its bearing capacity (e.g. [5,9,15,11,4]). The applicability of correlations of this type is limited due to the assumption that soil compressibility and elastic deformation are neglible. Another type of correlation often used in practice is based on the solutions of cavity expansion theory (e.g. [13,20,23,16]). This approach includes parameters related to soil deformation, and is therefore more ﬂexible for applications. Various numerical methods have also been employed to model cone-penetration analysis. While these

/ Computers and Geotechnics 31 (2004) 517–528 do not always provide straightforward correlations. and n is the normal vector on the master surface at A 0 along A 0 A (see Fig. Modelling of the problem 2. a check of the factors aﬀecting the cone resistance. pn h ¼ 0: C ð2Þ r A’ n A Fig. More recently. Even when the ﬁnite element analysis allows for ﬁnite strain [6. capable of ﬁnite sliding along the penetrometer surface. Special ﬁnite element procedures for steady-state analysis. with the former being able to penetrate the latter. the commercial ﬁnite element program ABAQUS is used for the ﬁnite element calculations. were used to model the whole penetration process from the ground surface to any depth. the so-called hard contact condition is assumed h 6 0. Sketch of contact interface. [25]. and the soil as an elastic-perfect-plastic material. [10]. 1). Previous to this. [17] presented ﬁnite element analysis of cone penetration in cohesive soils. and ﬁnite sliding is modelled using a frictional contact interface. Sensitivity of the steady state cone resistance to the stress state and material parameters is examined through parametric studies. simulation of the interface with ﬁnite sliding plays a key role. In this study. it is reasonable to treat it as a rigid body.1. The deformation mode in the soil around the cone is also studied and compared with cavity-expansion theory. The analysis is based on a rigorous numerical simulation of the penetration process. The steady state is then determined from the evolution of cone resistance. and only a limited number of penetration steps could be modelled. The penetrometer is idealised as a rigid body. 2. rigorous numerical modelling of it is rather diﬃcult and various approximations are often adopted. focusing on the penetration mechanism and the factors aﬀecting the cone resistance. The pressure force applied on the contact node depends on the overclosure of penetration h. The cone resistance is obtained by dividing the reaction force acting on the rigid cone by its base area. For a rigorous ﬁnite analysis. the strain path method for steady state analysis of cone penetration was employed by Baligh [1] and Houlsby et al. so that the complete penetration process (up to and including the steady state condition) is modelled realistically. Note that the ÔanchorÕ point A 0 is not necessarily a node. Contact elements. The Mohr– Coulomb failure criterion is adopted for plastic yielding. is used in the nonlinear ﬁnite element analysis. r is the vector from node C to point A 0 (which is the ÔanchorÕ point of node A on the master surface). Because cone penetration involves ﬁnite deformation of the soil and large-scale sliding at the penetrometer–soil interface. ð1Þ where xA denotes the coordinate vector of node A on the slave surface. have been developed by Herrmann and Mello [7] and Yu et al. pn P 0. which is pushed both sideways and downwards. 1. [3] performed ﬁnite element analysis of cone penetration but assumed small strains. which allows ﬁnite sliding. . A frictional contact element. For the present problem. and ﬁnite sliding along the soil–penetrometer interface. modelling the whole penetration process is not possible unless large-scale sliding is permitted at the penetrometer–soil interface. and a veriﬁcation of empirical relations. the surface of the rigid body is deﬁned as being the master surface. which is deﬁned by: n h ¼ ÀxA þ xC þ r. while the potential contact surface in the soil body is deemed to be the slave surface. the penetrometer was assumed to be pre-placed in the soil with a borehole. For instance. it is only a point on the master surface closest to node A. In the present study. which neglect the transient component of the deformation. This paper presents a ﬁnite element analysis of cone-penetration tests in cohesionless soil. Frictional sliding at the soil-cone interface The cone-penetration process involves punching of the penetrometer into the soil. Signiﬁcant deformation can be observed in the soil around the penetrometer as the soil is pushed aside to make room for it. xC is the coordinate vector of a reference node C on the rigid body. In this type of analysis. they do provide a better understanding of the penetration process. the numerical results are compared with empirical correlations and their discrepancies are discussed.12]. the pattern of deformation is prescribed without necessarily satisfying the equilibrium conditions. The iterative algorithm for implementing this behaviour consists of searching for contact nodes and applying contact forces between the slave and master surfaces. The emphasis of their study was on pore-pressure development around the cone under diﬀerent penetration speeds. In all these ﬁnite element analyses. Finally. Huang et al. The software uses the concept of a Ômaster surfaceÕ and a Ôslave surfaceÕ. Since the penetrometer deformation is negligible.518 W.

The critical state value is taken for the friction angle (/ = /c). The grid is so designed that the elements potentially in contact with the cone have a size of about one-third of the cone radius.W. simple models are often suﬃcient as only the key features of soil behaviour are of importance. smooth . and a fully drained condition is assumed.3. To capture as many aspects of soil behaviour as possible. The nodes on the bottom boundary are ﬁxed. The contact constraint is enforced with a Lagrangian multiplier. The element size is increased both horizontally and vertically from the penetrometer to control the total number of equations to be solved. the contact node undergoes sliding. This problem is overcome by applying a vertical overburden pressure p0 on the top boundary of the mesh to represent the stress state at a speciﬁc depth. and the cohesion c (c % 0 for a cohesionless soil). However. a critical shear stress can be calculated. A non-associated ﬂow rule is used to simulate the dilatant behaviour of the soil. Node A on the slave surface is considered to be in contact with the master surface only when h = 0 & pn > 0 . 2. ð3Þ Equilibrium is checked on the current conﬁguration and a standard Newton iteration procedure is applied to solve the governing nonlinear system of equations. simulation of a very deep penetrometer would require a huge amount of CPU time. In this study. In the numerical calculations. The elastic deformation is described by the elastic modulus E (or the shear modulus G) and the PoissonÕs ratio t. / Computers and Geotechnics 31 (2004) 517–528 519 Herein. A real cohesionless soil often exhibits density-dependent behaviour. Modelling of soil behaviour A large number of constitutive models exist for diﬀerent soils. pn represents the contact pressure. Test runs have shown that further reﬁnement of the mesh has no signiﬁcant inﬂuence on the numerical results. some of these are very sophisticated and involve lots of parameters. In this case. The left boundary p0 rough 1m Fig. Peak strengths followed by softening are observed only in initially dense sands. are considered so that any excess pore pressure developed during the penetration process can be neglected. In response to large shear deformation. The soil domain is modelled by an axi-symmetric mesh of 1 m radius (about 56 times that of the cone radius) and 2 m depth. while the plastic deformation is characterized by the friction angle /. Otherwise. with a relatively large permeability. a penetrometer with a shaft diameter of dc = 35. it may be related to the dilation angle w through BoltonÕs relation [2] /p ¼ /c þ 0:8w: 2.2. with the density eﬀect being reﬂected by the dilation angle. and an elastic response is assumed. Displacement ﬁnite element analysis Displacement ﬁnite element analyses are performed with geometric nonlinearity being taken into account. A contact node is in a ‘‘sticky’’ state as long as the actual shear stress s is less than scrit. as well as the material and geometric nonlinearities. based on the friction law scrit = pn Æ tan /sc. the mobilized friction angle tends to a stationary value (usually denoted by /c) which is known as the critical friction angle. For the case where the peak friction angle is considered. where /sc denotes the frictional angle on the penetrometer–soil interface. in engineering practice. with 1600 8-noded biquadratic elements (Fig. Due to the large number of degrees of freedom in the mesh. 2). which is a perfectly-plastic response. a standard penetrometer geometry is used — that is. which represents the contact pressure in a mixed formulation [8]. Sliding can occur if a node on the slave surface is in contact with the master surface. Huang et al. The present elastic perfectly-plastic soil model has the soil friction and dilation angles as two independent parameters. a simple elastic-perfect-plastic model with the Mohr–Coulomb yield criterion is used to describe the behaviour of a cohesionless soil. while the nodes on the right-hand side are allowed to move vertically. Cauchy stress and the symmetric part of the velocity gradient (also known as the stretching tensor) are used to deﬁne the stress and strain rate in the deforming soil. Finite element mesh for analysis. the dilation angle w. 2. Cohesionless sandy soils.7 mm and a tip angle of a = 60°.

g. w = 10°. (5).0). The ﬁrst phase corresponds to a strongly nonlinear variation in Ft as the depth of penetration z increases. the cone is located on the top boundary and the penetration process is simulated by applying a vertical displacement to it. it is necessary to identify the cone resistance force Fc separately. By setting /sc = 0 we have c Ac ¼ sinða=2Þ q R 0 0 p n dAc . Indeed. Evolution of total reaction force acting on the rigid body for various interfacial frictions (/ = 30°. By neglecting it. The greater the interfacial friction. It is notable that the total pushing force Ft remains almost constant for /sc = 0. As only Ft in Eq. the interfacial friction on the cone tip makes a contribution to the actual cone resistance. The initial stress state is characterized by the overburden pressure p0 and the lateral earth pressure coeﬃcient K0 only. 3. F t ¼ F c þ F s: ð4Þ In Fig. The self-weight of the soil in the computation domain is not included. Evolution of cone resistance and interfacial friction The reaction force during penetration. the soil cohesion c is set to zero and PoissonÕs ratio is ﬁxed at 0. denoted by Ft. Under ﬁnite strain conditions. Fig. obtained from the numerical calculations. F c j/sc ¼0 ¼ F t j/sc ¼0 . 3. the second phase corresponds to the so-called steady state. Therefore. (2) can be obtained directly from ﬁnite element calculations. only the nominal cone resistance c ¼ qc j/sc ¼0 is obtained through q Eq. represents the total pushing force acting on the penetrometer. in turn. the faster the increase in the total pushing force. the total cone resistance force can be expressed as Z qc Ac ¼ pn ðsinða=2Þ þ cosða=2Þ tan /sc Þ dA0c A0 c ¼ ðsinða=2Þ þ cosða=2Þ tan /sc Þ Z A0 c pn dA0c . Illustration of contribution of the interface friction to the cone resistance. G/p0 = 100. Two phases can be observed in these evolution curves. Note that. and the dilation angle w. To account for the contribution of interfacial friction to the total cone resistance. The interfacial friction angle /sc has only a minor inﬂuence during this transient phase. The critical depth zc was found to be related to the size of the plastic zone in the soil which. the nominal cone resistance can be multiplied by a tip friction factor. the shear modulus G. c ð5Þ 3. This total pushing force. To achieve this end. In all numerical calculations.520 W. is equal to the sum of the resistance force on the cone. i. so as to give better control of the vertical stress (which is speciﬁed and models the eﬀect of gravity).3. The former is the most important quantity for engineering design. numerical results are shown for the evolution of the total pushing force Ft obtained for diﬀerent penetrometer–soil interface friction angles /sc. so that qc ¼ gc : q ð6Þ The tip friction factor g is estimated analytically by considering simple equilibrium of the cone (refer to Fig. changing the A c Fig. the soil internal friction angle /. therefore.e. where A0c represents the tip area and a the tip angle of the cone. and sometimes the sleeve friction. The second phase starts at a critical penetration depth zc. Huang et al. and is deﬁned as qc ¼ 4F c =pd 2 . 4). depends on the stress state and the soil properties. Small numerical oscillations are observed in the evolution curves for Ft. and the friction force on the shaft. Fc. p0 = 10 kPa. This omission of the self-weight does not change the penetration mechanism and. . Fs.e. 4. Initially. for a non-zero interface friction angle. nearly linear increase in the total pushing force with z. Parametric studies are performed to investigate the inﬂuence of the pressure level p0. i. / Computers and Geotechnics 31 (2004) 517–528 is the axis of symmetry. With the presence of interface friction. Thus the obtained total reaction force is the same as the resistance force on the cone. will not signiﬁcantly aﬀect the normalized cone resistance. and is characterised by a where dc is the shaft diameter of the cone. Penetrometers are usually designed to allow the cone resistance. this approach simpliﬁes the treatment of the calculated cone factors and can lead to a better estimation of the so-called steady state (which is characterized by a constant cone resistance instead of a linearly increasing cone resistance). K0 = 1. to be measured. the interfacial friction /sc was set to zero in the ﬁnite element calculations.

while the latter plot shows that the steady state value of qc increases linearly as p0 increases. 10°. It was found that the numerical results may deviate from Eq. the eﬀect of each of these factors is examined separately. w = 10°. The tip friction factor was then calculated according to g ¼ ðF t À F s Þ=F t j/sc ¼0 . 6(a) and (b) show. Note. (7) and are slightly inﬂuenced by the dilation angle w as shown in Fig. the shaft friction force Fs was computed by integrating the shear stress along the interface. / Computers and Geotechnics 31 (2004) 517–528 521 Fig. ð8Þ where # ranges from 0. (7) becomes pﬃﬃﬃ g ¼ 1 þ 3 tan /sc .7 to 1.86. and the soil dilation angle. the eﬀect of the vertical pressure p0 on the evolution of the mobilized cone resistance and the steady state cone resistance qc. (8) gives a reasonable estimate of the (a) (b) tip friction factor with # = 0. Eq. 5. In this section. 15° and 20° (Fig. (7) needs to be modiﬁed according to g ¼ 1 þ # cotða=2Þ tan /sc . respectively. Since representation (7) is only an approximation for the tip friction factor. 6. a representation for the friction factor can be obtained from the ratio qc Ac =c Ac q g ¼ 1 þ cotða=2Þ tan /sc : ð7Þ For a standard cone with a = 60°. For the numerical CPT data. (a) The evolution of cone resistance and (b) variation of cone resistance at steady states for various values of p0 (/ = 30°. which is a least squares ﬁt. Fig. By neglecting such an inﬂuence. 5. Numerical and analytical results for the cone tip friction factor. Huang et al. interface friction may have some inﬂuence on the normal contact pressure pn. Figs. that qc does not vanish as p0 approaches zero. Eq. 3). The cone resistance for steady states is obtained by checking the evolution of the cone resistance from numerical calculations with /sc = 0. Cone resistance at steady states Cone resistance is inﬂuenced by many factors-including the soil stress state.1.0. 4. the soil shear modulus. . a number of numerical tests were performed with interface friction angles of /sc = 0°. Eq.W. the soil friction angle. To ﬁt the numerical results. however. K0 = 1. Once the steady state was reached for a given penetration depth. 5°. /sc = 0). The former plot demonstrates that the steady state is reached sooner at higher stress levels (larger values of p0). This can be explained by the fact that a reactive stress ﬁeld is built up in the soil upon the initial penetration of the cone.

7. and it can be seen that qc increases with /. Figs. A nearly linear relation is obtained between qc and K0 As K0 increases from 0. 7(a). Huang et al. /sc = 0). 9. 8 and 9 shows the dependence of the cone resistance on the soil friction angle / and dilation angle w. the corresponding cone resistance at the (a) (b) Fig. However. the increase in the corresponding cone resistance is relatively small. w = 10°.0. By ﬁx- ing the ratio G/p0 it was found that the normalised cone resistance qc/p0 is almost independent of the stress level (Fig. 7. whose eﬀect is shown in Fig. (a) Evolution of cone resistance and (b) cone resistance at steady states for various friction angles (w = 10°. The inﬂuence of the former is examined over a range of 25–45°. (a) (b) Fig. The horizontal stress is controlled by the lateral stress coeﬃcient K0. respectively. (a) Evolution of cone resistance and (b) cone resistance at steady states for various dilation angles (/ = 30° and K0 = 1. the initial horizontal stress increases at the same rate. This eﬀect is most obvious for 25°6/ 635° and for a higher ratio of G/p0.5.K0 = 1. /sc = 0). As / varies from 35° to 45°. Normalised cone resistance versus (a) lateral pressure coeﬃcient K0 and (b) ratio G/p0 (/ = 30°. Further studies show that this eﬀect is coupled with the stress level. 6(b) and Fig. 8. 7(b)).5 to 1. as can be seen in Fig. /sc = 0).0.522 W. The inﬂuence of shear modulus G is signiﬁcant. / Computers and Geotechnics 31 (2004) 517–528 (a) (b) Fig. and that the cone resistance can be related to the ratio G/p0 . .

Plots of the plastic zone at diﬀerent depths of penetration: (a) 2. (d) 14. The vertical displacement component exists due to the inclined surface of the cone and the interface friction. 5.5 dc. 12. Soil deformation and plastic zone Penetration of a cone into the ground involves pushing the surrounding soil downwards and sideways. with deeper penetration being needed to reach the steady state. From the cone tip to the shaft. an increase in the yield limit is accompanied by a decrease in the size of the plastic zone and only a slight increase in the cone resistance.1 dc. with the longer axis Fig. In contrast. 10. Increasing w leads to an obvious increase in cone resistance.16]. 10. This depth is reached earlier for cases where the size of the stable plastic zone is smaller. It ceases to grow once the cone reaches the steady state penetration depth. . w = 10°). the horizontal displacement of soil particles increases. The shape of the moving plastic zone around the cone tip resembles that of half an ellipse. Huang et al. the penetration process resembles a cylindrical cavity expansion to a limited radius. It can be seen that the size of the plastic zone decreases as the initial pressure increases.0 dc. (b)5. 11). whereas soil particles in contact with the cone surface are pushed sideways as well. which increases the mean pressure and hence the cone resistance. Plots of the steady state plastic zone for: (a) p0 = 10 kPa. as shown in Fig. even though the transient responses are rather diﬀerent (Fig. / Computers and Geotechnics 31 (2004) 517–528 523 steady state varies only slightly. (c) p0 = 50 kPa. 11. varying the angle of dilation has a pronounced eﬀect on the cone response. 12 shows plots of the steady state plastic zone for various values of initial pressure. w = 10°). we can see that its shape differs from those predicted by cylindrical or spherical cavity expansion theory [20. It can be seen that the soil particles on the axis of symmetry move only vertically downwards. As the total deformation is ﬁxed. Fig. This result stems from dilation in the plastic zone. This could be related to the fact that cone penetration is basically a deformation controlled test. (c) 10. These plots indicate that the plastic zone enlarges and moves downwards as the Fig. By looking at a plot of the plastic zone around the penetrometer (Fig. / = 30°. (a) Deformed mesh and (b) displacement ﬁeld around the cone at a steady state. This maximum displacement is controlled by the diameter of the penetrometer shaft. (d) p0 = 100 kPa (G = 2000 kPa. / = 30°. cone is inserted in the soil. Fig.W. 8(a)). with the maximum horizontal displacement being observed at the edge of the cone. The process can be clearly understood by viewing the deformed mesh and displacement ﬁeld in the soil around the penetrometer.2 dc. (b) p0 = 25 kPa. with dc and being the cone diameter (G/p0 = 100. If only the horizontal displacement is considered.

the eﬀects of the shear modulus more or less oﬀset the eﬀects of the mean stress. It was found that the size of the plastic zone decreases by a factor of approximately 4 as the initial mean pressure p0 is increased by a factor of 10. 14. rp varies very little as either the mean pressure or the shear modulus changes. The dependence of the steady state size of the plastic zone on the soil parameters and stress state is presented in Fig. . the increase in strength will result in a decrease in the plastic deformation. Because the total deformation required to make room for the cone is more or less ﬁxed. (d) angle of dilation. a smaller portion of the total deformation is elastic. 13. This is also in agreement with the general observation that less deformation is required to reach plastic yielding in a more dilatant soil.524 W. (c) friction angle. 14(d)). It is worth noting that. Variation in the size of the plastic zone with respect to: (a) stress. An increase in the mean pressure leads to a higher yield stress. Fig. 13. the size of the plastic zone is characterised by the quantity rp. with a higher shear modulus (i. Fig. Huang et al. the plastic deformation is thus expected to be smaller. the size of the plastic zone rp almost doubles as the dilation angle w increases from 5° to 25 (Fig. 14(a). Therefore. This is due to the fact that an increase in / also leads to an increase in the yielding stress. as shown in Fig. (b) shear modulus. Therefore.e. As the total deformation required to make room for the cone is more or less ﬁxed. 14(c) shows that the size of the plastic zone rp decreases as the friction angle / increases. 14(c) indicates that rp decreases by a factor of approximately 1. In contrast. its size is given by rp = (rph + rpv)/2. In this plot. 14. Fig. the size of the plastic zone rp increases signiﬁcantly as the ratio G/p0 increases. being aligned in the horizontal direction. This can be related to the displacement-controlled deformation mode in the soil. 14(b) indicates that rp increases by a factor of approximately 2 as G/p0 increases from 100 to 400. (a) (b) (c) (d) Fig. as sketched in Fig. which is obtained by averaging its horizontal and vertical dimensions. a stiﬀer soil).6 as / increases from 25° to 45°. if the ratio G/p0 is kept constant. / Computers and Geotechnics 31 (2004) 517–528 Fig. Sketch of plastic zone around the cone. In contrast.

as they depend on solutions to cavity expansion problems. which reads qc =p0 ¼ C 2 exp½C 1 tan / ð9Þ with C1 = 6. Signiﬁcant diﬀerences between the numerical and empirical correlations can be seen. Empirical correlations of the second category are often in a more complicated form. with the soil compressibility and soil deformation being neglected. ¼ rr p0 3 À sin / ð10Þ (a) (b) (c) Fig. for instance. (9) (solid curves) is presented in Fig. Based on this solution. 15. comparison is made for a ﬁxed dilation angle w = 10° (Fig. (b) various friction angles with associate ﬂow. which is not reﬂected by this type of correla- tion. However. Empirical correlations of the ﬁrst category are usually expressed in simple forms that relate the friction angle with cone resistance – as. 15(b)). in the correlation proposed by Robertson and Campanella [15]. and by setting / = /p in Eq. (9). Vesic [19] presented a simpliﬁed solution for cavity expansion in inﬁnite Mohr–Coulomb soil. only one soil parameter is varied each time. In fact.820 and C2 = 0. and those which are based on the theory of cavity expansion. closed form analytical solutions are not always available. 15(a)). This is rarely true for real soils. Therefore. The comparison between the ﬁnite element results (dashed curves) and the prediction of Eq. In these plots the cone resistances from ﬁnite element calculations have been adjusted by multiplying the tip friction factor g given in Eq. . / Computers and Geotechnics 31 (2004) 517–528 525 6. cone penetration is more of a displacement-controlled steady deformation process than a limit equilibrium problem. (c) various peak friction and dilatancy angles given through BoltonÕs relation (3). the correlations between the cone resistance and each of the soil parameters might not apply in practice. only the limit equilibrium state of collapse is considered. (9). for an associated ﬂow rule with w = / (Fig. Therefore the applicability of this type of correlation is limited. Most of these correlations fall into two categories: those which are based on the solution of bearingcapacity problems. he proposed a correlation for cone resistance. 15. particularly for the Mohr–Coulomb yield criterion with a non-associated ﬂow rule. Huang et al. In bearing-capacity analysis.W. However. Since the dilation angle is not explicitly included in Eq. (8) for /sc = 10° .266. numerical studies can provide a proper assessment of existing empirical correlations. Comparison of correlation (9) (solid curves) with numerical results (dashed curves) for: (a) various friction angles with dilation angle w = 10°. which is related to the variation of dilation angle via BoltonÕs relation (3) with /c = 30°. The compressibility of the soil has a strong inﬂuence on the cone resistance. which reads [20]: qc 1 þ 2K 0 exp½ðp=2 À /Þ tan / tan2 ðp=4 þ /=2Þ I n . Comparison with empirical correlations In the parametric study presented above.

526 W. 17(d)). In Fig. It can be seen that the correlation under-estimates the eﬀect of the elastic shear modulus (Fig. The cone resistance qc may be approximately related to the limit pressure from spherical cavity expansion. a reasonable agreement between the correlation and the numerical prediction is obtained for the eﬀect of the angle of dilation (Fig. where Irr is called the Ôreduced rigidity indexÕ and is a modiﬁcation of the so-called Ôrigidity indexÕ Ir.1%. is in reasonable agreement with the numerical prediction (Fig. / Computers and Geotechnics 31 (2004) 517–528 (a) (b) (c) Fig. the correlation (11) is compared with ﬁnite element results in Fig. The parametersIrr. The predicted dependence of the cone resistance on the angle of dilation. We can see that the numerical results (dashed line) indicate a much stronger dependence of the cone resistance on the elastic modulus of the soil than the correlation does. which is related to the size of the plastic zone and the mechanical parameters of the soil. 16. Huang et al. n¼ . in turn. Comparison of correlation (10) (solid curves) with ﬁnite element results (dashed curves) for: (a) various ratios of shear modulus to stress. (c) various peak friction and dilation angles given through BoltonÕs relation (3). Qualitatively. from which the limit pressure can be computed through a simple numerical procedure. however. . In VesicÕs solution. 17(b) and (c)). 0. And the dependence of the cone resistance on the friction angle from the correlation is roughly in agreement with the numerical results (Fig. Yu and Houlsby [22] provided a semi-analytical solution for spherical and cylindrical cavity expansion in Mohr–Coulomb frictional soil with a non-associated ﬂow rule. On the other hand. 17. 16(b)). 0. with an assumed value of eav (solid curves). 16(c). This. 16(a) for eav = 0. The dependence of cone resistance on the ratio G/p0 is shown in Fig. . since the variation of eav with respect to w is not speciﬁed. Ir ¼ p0 tan / þ c 3 þ sin / 1 þ eav I r where eav represents the average volumetric strain in the plastic zone. ps. eav increases with w. in the following form [23]: pﬃﬃﬃ ð11Þ qc =p0 ¼ ð1 þ 3 tan /Þps =p0 : By computing the limit pressure factor ps/p0. and 1%. Actually eav in the correlation is an unknown factor.5%. 17(a)). In Fig. which corresponds to a decrease of the reduced rigidity. 16. (b) various friction angles with a constant dilation angle. but overestimates the eﬀect of the soil friction angle (Fig. 16(c)). The solution is expressed in a series form. the curves from the correlation are obtained by assuming a constant value for eav. numerical results (dashed curves) are compared with the prediction of correlation (9). Ir and n are deﬁned as I rr ¼ Ir G 4 sin / . the eﬀect of dilation angle is taken into account implicitly through the average volumetric strain eav. will result in a better agreement between the correlation and the numerical prediction. Prediction of eav is a task not much easier than the prediction of the cone resistance itself.

(c) various friction angles with associated ﬂow. This fact explains why correlations based on cavity expansion theory underestimate the eﬀect of the elastic modulus. It has been shown that steady states can be observed following a transient period of penetration. Huang et al. The size of this zone depends on the stress state and soil deformation parameters. The fact that the size of the plastic zone decreases with increasing friction angle also indicates that the limit pressure is not approached in the cone-penetration process. In addition. (d) various peak friction and dilation angles given through BoltonÕs relation (3). the degree of similarity becomes unclear. a state that can be approached asymptotically with a very large expansion. the soil particles around the cone might not reach such a large displacement. The horizontal displacement of soil particles around the cone is controlled by the size of the penetrometer shaft. If only the horizontal displacement of the soil around the cone is considered. This is because the soil around the cone or shaft does not necessarily . Conclusion Simulating the process of cone penetration rigorously depends on accurate modelling of both the soil and interface behaviour. In a cone-penetration test. 17. can be modelled. and the strength of the soil. soil around the cone is pushed downwards and outwards to accommodate the penetrometer. the penetration process is similar to a cylindrical cavity expansion. Consequently. starting from the ground surface. Comparison of correlation (11) based on Yu and Houlsby solution (solid curves) with ﬁnite element results (dashed curves) for: (a) various ratios of shear modulus to stress. as assumed in cavity-expansion theory. The horizontal displacements of these particles are also limited (they are controlled by the diameter of the penetrometer shaft). / Computers and Geotechnics 31 (2004) 517–528 527 (a) (b) (c) (d) Fig. the limit pressure for cavity expansion is usually used for correlation with the cone resistance. Generally speaking. the vertical displacements of the soil particles are limited.W. the stress state in the soil around the cone surface might not approach the limit pressure. The penetration depth of the transient phase is related to the steady state size of the plastic zone developed around the cone and the shaft. However. on the cone resistance. 7. As the cone tip cuts into the soil. The limit pressure in a cavity expansion corresponds to a state in which the pressure does not change with further expansion of the cavity. The true deformation pattern around a penetrating cone is somewhat diﬀerent from that assumed in bearing-capacity theory or cavity-expansion theory. the complete penetration process. In the cone-penetration process. as well as strength parameters. with consideration of the vertical displacements in the soil around the cone and within the plastic zone. and as sliding occurs at the interface. (b) various friction angles with a constant dilation angle. in cavity-expansion theory. but overestimate the eﬀect of the friction angle. the cone-penetration process is closer to being a cavity-expansion problem than to being a bearing-capacity problem. the friction at the conesoil interface. whereas the vertical displacement depends on the elastic properties of the soil. By including ﬁnite deformation of the soil and large scale sliding at the penetrometer–soil interface.

Axelsson. Mitchell JK. University of California at Davis. Eﬀective stress interpretation of in situ static penetration tests. Determination of undrained strengths by cone penetration tests. Can Geotech J 1983. 456–65. Dept. Boulanger RW.36(1):65–78. A. [7] Herrmann LR. steady state penetration is more similar to a cavity expansion problem than a bearing capacity problem. Houlsby GT. together with the micropolar eﬀects of soils. 2.12:45–60. Finite element analysis for deep cone penetration. ASCE J soil Mech Found Div 1972. 1997. Analysis of soil penetration. Mitchell JK. ´ [2] Bolton MD. Geomech 1988. ASCE J Soil Mech Found Div 1985.D. Can Geotech J 1974. Expansion of cavities in inﬁnite soil mass. For a further study. Comparatively. The strength and dilatancy of sands.98:265–90. vol.20:718–33. In: Proceedings of the ASCE Spec Conference on In Situ Measurement of Soil Properties. J Geotech Eng ASCE 1996. I: Sand.111(9):1108–36. Herrmann LR. USA. K. Voyiadjis GZ. [19] Vesic AS. [22] Yu HS. 1: p. [8] Hibbitt. Magnusson. 1982. Wroth CP. P. 24th Rankine ´ Lecture. steady-state analysis. [13] Ladanyi B. [4] De Simone P. Report No. Design of pile foundations. Sorensen. Analysis of undrained cone penetration as a steady ﬂow problem. Behaviour of circular footings and plate anchors embedded in permafrost. Norbury J. Geotechnique 1991. particularly for compressible soils. p. CR 95. A preliminary comparison presented in this paper suggests that a reasonable agreement has been obtained between the numerical results and correlations based on cavity expansion theory. A large strain theory and its application in the analysis of the cone penetration mechanism. DC.177(10):1610–30. p. 181–93. Theoretical analysis of the cone penetration test in sands. 1994. It has also been found that most empirical correlations tend to underestimate the inﬂuence of elastic modulus and overestimate the inﬂuence of the friction angle.34(4):449–89.528 W. approach the limit strength state. 51–89. Wheeler AA. J Geotech Geoenv Eng ASCE 1998. 1985. the eﬀects of interface friction could be considered for varying roughnesses of the friction sleeve. [23] Yu HS. Washington. Other existing analytical/numerical methods for CPT analysis could also be investigated. 1994. Jamiolkowski M. Powell JJM. Canada. Campanella RG. Montreal. ABAQUS theory manual. Parametric studies show that the cone resistance is inﬂuenced more by deformation properties (such as shear modulus and angle of dilation) than by shear strength parameters (such as the friction angle). Finite cavity expansion in dilatant soils: ´ loading analysis. In: Proceedings of the 6th International Symposium on Numerical Models in Geomechanics – NUMOG-VI. Further work is also needed to investigate the eﬀects of other soil models with a more detailed comparison between the FE solutions and experimental data. In: Proceedings of the 5th International Conference on Numerical Methods in Geomechanics..001. Analysis of cone resistance: a review of methods. [20] Vesic. July 1997.. Senneset K. [9] Houlsby GT. vol. Johnson GH. 42. Geotechnique 1984. D. Geotechnique 1984. p. Stress and strain ﬁelds around a penetrating cone.126(7): 594–605. p. National Cooperation Highway Research Program Report No. Rotterdam. Analysis of cone pressuremeter tests in sands. p. Ph. 1975. vol. vol. In practice. Finite element analysis of static ´ penetration tests. 2001. Interpretation of cone penetration tests. This is mainly because a homogeneous soil is considered and an assumed interface friction is applied in the numerical analysis. In: Proceedings of the 2nd European Symposium on Penetration testing. [17] Sheng. Robertson PK. [24] Yu HS. [16] Salgado R. Cavity expansion and penetration resistance in sand. Static penetration resistance of soils. Version 6. O. ASCE J Geotech Geoenv Eng 1997. Transaction Research Board.34(2):199–210. 1767–73. References [1] Baligh MM. ASCE J Geotech Eng 1992. Balkema. Cone penetration testing in geotechnical practice. Delft University. Vermeer PA. Karlsson. [21] Wroth CP. [18] Van den Berg. Int J Num Anal Meth. In: Proceedings of the 1st European Symposium on Penetration Testing.2. / Computers and Geotechnics 31 (2004) 517–528 [6] Gupta RC. Schnaid F. Analysis of steady cone penetration in clay. thesis. London: Blackie. Inc.123(4):344–54. [15] Robertson PK.11:531–53. The interpretation of in situ soil test. vol.. 1997.S. 585–90. J Geotech Geoenv Eng ASCE 2000. [10] Houlsby GT.122(8):623–32. [5] Durgunoglu HT. the current work has been focused on the cone resistance and did not use the computed values of sleeve friction. I-II. Geotechnique 1986.. 1974. 1977. 729–35. of Civil and Environmental Eng. 4. Tumay MT. The Netherland.41(2):173–83. sleeve friction is usually used for soil classiﬁcation. Investigation of an alternative ﬁnite element procedure: a one-step. Mitchell JK. [25] Yu HS. Collins IF. . [14] Lunne T. Strain path method.124(2):140–9. Mello J. 2. 1988. [3] De Borst R. 2. Golia G. [12] Kiousis PD. Huang et al. [11] Janbu N. Although a more realistic penetration process is modelled in this study. In: Proceedings of the 1st International Symposium on Penetration Testing.

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