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GROUND INVESTIGATION AND ASPECTS OF GEOTECHNICAL DESIGN GUIDE

Source: Cone Penetration Testing in Geotechnical Practice (Lunne et al., 1997)

Figure 7.1 Cone Penetrometer Components

7.3.2 Test Methods

Methods for undertaking CPT are set out in such international standards as
International Reference Test Procedure for Cone Penetration Test (CPT) (ISSMFE,
1989), Geotechnical Investigation and Testing—Field Testing—Part 2: Dynamic
Probing (BS EN 1997-2:2007), Standard Test Method for Mechanical Cone Prnetrtion
Tests of Soil (ASTM D3441-05), and Standard Test Method for Eletronic Friction Cone
and Piezocone Penetration Testing of Soils (ASTM D5778-12).

7.3.3 Factors that Can Affect CPT Results

The factors that typically affect CPT results, with measures to avoid error or to correct
the data, are as follows:

• Skill and care of the CPT operator: Following the correct test procedure is
fundamentally important in ensuring quality and reliability of CPT results. Only
suitably trained and experienced operators should perform CPT testing.
• Calibration of sensor and load cells: Accurate and up-to-date calibration of
sensors and load cells is needed to recording accurate CPT data, and so good
support facilities for calibration and maintenance of the CPT equipment are
important. Calibration records should always be requested for the cone, friction
sleeve, piezometer, and other sensors such as seismic sonde. Such records should
be current at time of commencement of testing and should be consulted at the
end of the investigation to determine if drift in readings may have occurred over
time.
• Porewater pressures: Porewater pressure around a penetrating cone influence
the measured cone resistance and sleeve friction. In clays, a higher rate of
penetration generates higher pore pressures that will result in overestimation of
cone resistance and therefore strength properties. High rates of penetration can
give increased resistance in some sands from dilatancy generating high negative

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porewater pressures. Such rate effects can be avoided by carrying out the test to
the standard rate of penetration. International Reference Test Procedure for Cone
Penetration Test (CPT) (ISSMFE, 1989) recommends a penetration rate of
20 millimeters per second (mm/sec) ±5 mm/sec.
• De-airing of piezometers: If the piezometer within the CPT array becomes
unsaturated, it will give erroneous pore pressure readings. Piezocones should be
immersed in de-aired water for at least 24 hours before testing. Piezocones should
be regularly replaced with de-aired piezocone elements. CPTUs should be
performed only below free groundwater level.
• Inclination of testing: A test path that deviates significantly off vertical will induce
errors in the depth of the recorded data. To minimize the risk of a test deviating
off vertical, the thrust machine should be set up to obtain a thrust direction as
near to vertical as possible. Deviation of initial thrust direction from vertical should
not exceed 2 degrees, and the axis of the test push rods should coincide with the
vertical thrust direction. Inclusion of a slope sensor in the penetrometer will
monitor and record the verticality of the test path. That information can then be
used to make any necessary corrections to give the correct measurement depth.
• Temperature: Changes in temperature can affect readings. In sands, temperature
may increase from friction between the cone penetrometer and the sand
particles. Temperature effects can be checked by taking a reading at zero-load at
the beginning and end of test at the same temperature as that of the ground. The
inclusion of a temperature sensor in the penetrometer will also allow monitoring
and recording of the temperature. The data can then be corrected based on
laboratory calibrations.
• Cone penetrometer condition: General wear and tear can cause a cone
penetrometer to fall out of standard, to the extent that the accuracy of test data
may be affected. The cone should be inspected before carrying out a CPT survey
to ensure the cone is in good condition. An appropriate inspection and
maintenance schedule for the CPT equipment should be put in place to ensure
that equipment that falls out of standard is identified and taken out of use.

Information on factors that can affect CPT results and measures to avoid error or to
correct the data are found in Cone Penetration Testing in Geotechnical Practice
(Lunne et al., 1997). Table G.1 in Appendix G summarizes the frequency of checks and
recalibrations that should be made for CPT to ensure data quality.

7.3.4 Presentation of Results

The ground investigation company’s reporting of CPT should contain the following:

• Measured parameters: For each CPT the measured parameters listed below
should be plotted on one sheet with a common set of scales used at any one site:
− Measured cone resistance (qc)
− Measured sleeve friction (fs)
− Pore water pressure (u), where measured

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− International Reference Test Procedure for Cone Penetration Test (CPT)

(ISSMFE, 1989) gives recommendations for scales to be used, but those may
be varied where appropriate to ensure best presentation of data.
• Derived parameters: Where possible, the following parameters should be derived
and presented:
− Cone resistance corrected for pore pressure effects (qt)
− Sleeve friction corrected for pore pressure effects (only valid when pore
pressures have been measured at both ends of the friction sleeve)
− Friction ratio (Rf), usually in %, where Rf = fs/qc or is preferably Rf = ft/qt or
more typically Rf = fs/qt
− Pore pressure ratio (Bq), where Bq = Δu/(qt – σvo)
− With Δu = excess pore pressure (u – u0)
− u0 = in situ equilibrium pore water pressure
− σvo = in situ total vertical stress
• On each CPT record:
− Site name
− CPT reference number
− Date of test
− Serial number of the cone penetrometer
− Position of the pore pressure filters on the cone penetrometer
− Groundwater level
− Test company and CPT operator name
• In the factual report:
− Plan showing the location of each CPT coordinated to an agreed Cartesian
system
− Description of the equipment used and name of the manufacturers
− Cone geometry and dimensions and any deviation from International
Reference Test Procedure for Cone Penetration Test (CPT) (ISSMFE, 1989) or
the standard being used
− Calibration factors for all sensors and the load range over which they apply
− Capacity of each sensor
− Zero readings for all sensors before and after each test, and the temperature
at which taken or alternatively the change in zero reading expressed in
kilopascals (kPa)
− Type of liquid used in the pore pressure measurement system
− Observed wear or damage on the cone, friction sleeve or the filter element
− Any irregularities during testing to the standard being used
− Area ratio of the cone and the friction sleeve end areas

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For dissipation tests, note whether the rods were clamped or unclamped during
dissipation.

Table G.2 in Appendix G is a checklist of information required with CPT results to

check that data quality is provided. Appendix I includes a typical CPT field log.

7.3.5 Soils Characteristics, Engineering Parameters, Direct Design Methods

and Other Applications

7.3.5.1 Soils Characteristics and Engineering Design Parameters

CPT is extremely effective for establishing soil type and soils stratigraphy, particularly
when correlated with data from boreholes. CPT results have been correlated to a wide
range of engineering parameters used in geotechnical design and for a wide range of
soil types. Table 7.4 lists the engineering parameters commonly derived from CPT
results and published correlations. Details of the correlations and discussion of their
application can be found in Cone Penetration Testing in Geotechnical Practice (Lunne
et al., 1997). Most correlations given in this document are based on empirical results
and data derived for silica or quartz sands. In some instances, these correlations can be
in error for CPT tests in calcareous sands (carbonate content greater than 50 to
70 percent) (Lunne et al., 1997).

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Table 7.4 Soil Characteristics and Engineering Parameters Commonly Derived

from Cone Penetration Testing Results
Material type
Granular Soils Cohesive Soils
Aeolian Sands Sabkha, Marine Deposits
Soil Characteristics and
Parametersa Symbol CPT CPTU CPT CPTU
Soil State
Soil type — B A B A
Soil stratigraphy — A A A A
In situ static pore pressure u — — — A
Unit weight/weight density (bulk γ C
— — —
density/mass density)
Relative density (density index) ID A/B A/B — —
Overconsolidation ratio (OCR) — — — B Bb
In situ horizontal stress σh C C B/C B/Cb
Shear Strength
Undrained shear strength cu — — B Bb
Sensitivity — — — C C
Effective angle of friction φ’ B B C B
Deformation
Drained (effective) constrained modulus M B B Cc Bc
Coefficient of consolidation cv — — — A/B
Coefficient of permeability k — — — B
Undrained Young’s modulus Eu — — C B
Drained (effective) Young’s modulus E’ B B — —
Shear modulus at very small strain Gmax B B B B
Notes:
a For details of the correlations and discussion on their application, see Cone Penetration Testing in

Geotechnical Practice (Lunne et al., 1997). The general applicability of CPT and CPTU data for assessing
soil characteristics and parameters: A high, B moderate, C low, and — not applicable.
b CPTU provides additional approaches compared to CPT to assess this characteristic/parameter
c The coefficient of volume compressibility can be assessed from m = 1/M, but the value tends to be
v
conservative.
Source: Cone Penetration Testing in Geotechnical Practice (Lunne et al., 1997)

In calcareous sands, correction factors should be applied to account for the

crushability of the shell content and hence higher compressibility of the deposits,
which often results in artificially lower CPT cone resistance values compared to silica
or quartz sands of the same relative density.

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7.3.5.2 Direct Design Methods

Several direct design methods have been developed for CPT. In these methods, qc is
usually the only input parameter from the CPT test and there are various formulae and
correlations for the value to be calculated. Design methods that use CPT data include:

• Pile load capacity and pile settlement

• Bearing capacity and settlement of shallow foundations
• Liquefaction potential evaluation

Details of the design methods and discussion on their application can be found in
Cone Penetration Testing in Geotechnical Practice (Lunne et al., 1997); Cone
Penetration Testing Methods and Interpretation (CIRIA, 1987); Load and Resistance
Factored Design (LRFD) for Highway Bridge Substructures (FHWA, 2001); and Design
and Construction of Driven Pile Foundations (FHWA, 2006).

7.3.5.3 Other Applications

Other applications for which CPT data are commonly used are:

• Estimation of SPT N values for use in SPT-based design approaches

• Ground improvement quality control

Details of these and other less common applications in Qatar can be found in Cone
Penetration Testing in Geotechnical Practice (Lunne et al., 1997) and Cone Penetration
Testing Methods and Interpretation (CIRIA, 1987).

7.4 Dynamic Cone Penetration Testing

7.4.1 Introduction
Dynamic cone penetration testing (DCPT) is often used in road and pavement
construction, where there is a need to characterize the field subgrade conditions,
which is otherwise difficult to assess by laboratory testing. Details of DCPT presented
in this section are based on In Situ Foundation Characterization Using the Dynamic
Cone Penetrometer (Burnham and Johnson, 1993) and Dynamic Cone Penetration Test
(DCPT) for Subgrade Assessment (Salgado and Yoon, 2003).

7.4.2 Description of DCPT Equipment and Operation of Equipment

As shown in Figure 7.2, the DCPT equipment consists of upper and lower shafts. The
upper shaft has an 8-kg drop hammer with a 575-mm drop height. It is attached to
the lower shaft through the anvil. The lower shaft contains the anvil and a cone
attached at the end of the shaft. The cone is replaceable and has a 60 degree cone
angle. As a reading device, an additional rod is used as an attachment to the lower shaft
with marks at every 5.1 mm.

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Source: Dynamic Cone Penetration Test (DCPT) for Subgrade Assessment (Salgado and Yoon, 2003)

Figure 7.2 Structure of Dynamic Cone Penetrometer

DCPT requires two operators: one to drop the hammer, the other to record
measurements. The first step is to put the cone tip on the testing surface. The lower
shaft containing the cone moves independently from the reading rod sitting on the
testing surface throughout the test. The initial reading is not usually equal to 0 because
of the disturbed loose state of the ground surface and the weight of the testing
equipment. The initial reading is counted as initial penetration corresponding to
below 0. Hammer blows are repeated and the penetration depth is measured for each
hammer drop. This process is continued until a desired penetration depth is reached.
DCPT results consist of number of blow counts versus penetration depth. Since the
recorded blow counts are cumulative values, results of DCPT in general are given as
incremental values.

7.4.3 DCPT Application

DCPT can be used to characterize the subgrade and base material properties. Its
greatest strength is its ability to provide a continuous record of relative soil strength
with depth. The following applications use DCP testing.

• Soils surveys: DCPT can be carried out as part of a ground investigation to map
areas of weak material and to locate potentially collapsible or moisture sensitive
soils. By carrying out an initial DCPT, flooding the location with water, and running
the test again, a noticeable increase in the penetration index value (PIdc) reflecting
a lower shear strength would indicate the presence of collapsible or moisture
sensitive soil.

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• Construction control: DCPT is useful in testing highway pavement subgrade and

formation soils to verify consistency and compliance with construction
specifications.
• Structural evaluation of existing pavements: DCPT may be used to verify the
strength of pavement layers with depth. DCPT results can be compared with
Standard Pavement Balance Curves for classification purposes.

7.4.4 DCPT Data Analysis

DCPT results are expressed in terms of the penetration index (PIdc), defined as the
downward vertical movement of the DCP cone produced by one drop of the sliding
hammer (mm/blow). Stiffer or stronger soils require more blows or drops of the
hammer to achieve a given penetration.

Test results normally are processed on a worksheet. Depth readings are averaged, and
strength of a soil layer between DCP readings is represented by a uniform PIdc at the
midpoint of the layer. The PIdc is calculated by dividing the difference in the present
and previous DCP depth readings by the number of hammer blows between readings,
as indicated in the following equation (Salgado and Yoon, 2003):

∆DP
PI dc =
∆BC
where
PIdc = DCP penetration index in units of length divided by blow count;
ΔDp = penetration depth;
BC = is the blow count corresponding to penetration depth ΔDp

A graph of penetration index (PIdc) versus penetration below the surface should be
prepared, indicating a profile of different strength layers. The results can become
unrealistic if the DCP encounters an obstruction during testing (one or two points with
near zero penetration).

7.4.5 Relationship between Penetration Index and Other Geotechnical

Parameters
A series of correlations have been developed between penetration index and SPT
N values and specific geotechnical parameters:

• California bearing ratio (CBR)

• Undrained shear strength (cu)
• Elastic modulus (E)
• Shear strength of granular (cohesionless) materials
• Standard Penetration Resistance (SPT)
• Clegg Hammer and Benkelman Beam

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