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Influence of boundary conditions in penetration testing

Article  in  Archives of Civil Engineering · December 2008

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 Influence of boundary conditions in penetration testing

LECH BAŁACHOWSKI1, NORBERT KUREK2

1
PhD., Gdańsk University of Technology, Poland, e-mail: abal@pg.gda.pl
2
MSc., Gdańsk University of Technology, Poland, e-mail: nkurek@pg.gda.pl

Keywords: calibration chamber, boundary conditions, mini-probe, dilatometer test, cone penetration
test

ABSTRACT: The calibration chamber tests are made in order to develop some correlations between
cone penetration resistance, vertical (or horizontal) stress and relative density of the sand to be used
in design practice. They are performed in the chamber of limited dimensions with the possibility to
control both the vertical and horizontal stress and strain applied to the cylindrical soil sample. The
results of penetration tests in calibration chamber are influenced by the applied boundary conditions
and size effect defined as a function of the diameter of the chamber to the diameter of the probe. The
effect of boundary conditions (B.C.) and chamber size depends on the material tested: sand
granulometry, mineralogy and the form of grains . The tests were made on the quartz uniform fine
sand from the Baltic beach in Lubiatowo. To estimate the influence of boundary conditions the
cones of different diameter from 13.4 mm to 36 mm and dilatometer test were used. The mini-probe
13.4 mm in diameter permits to make tests with a small influence of boundary conditions, especially
for loose sand. All tests were carried out for boundary conditions BC1 which gives lower estimation
of the cone resistance. The tests were made for two densities DR=0.4 and DR=0.8 to study the
influence of density and stress level on the cone resistance. The analysis permitted to propose the
correction coefficients which take into consideration the influence of boundary conditions and size
effect on the cone resistance measured in Lubiatowo sand in calibration chamber in GUT.

1 BOUNDARY CONDITIONS IN THE CALIBRATION CHAMBER

The boundary conditions (BC1, BC2, BC3 and BC4) have been defined when the first
calibration chamber were built [7]. Type BC1 is responsible for the state of the stress in which

1
vertical v and horizontal h stresses are invariable during the test (v=h=0). For the type BC4,
the vertical strain v is equal 0 during the test while the horizontal stress h has a constant value
(h=const.). The boundary conditions BC2 and BC3 assume that horizontal strains are equal zero.
The difference between these two types relays on the top and the bottom conditions. BC2 needs a
vertical strain equal zero (v=0) during the test, whereas BC3 is defined with a constant value of the
vertical stress v on the top and the bottom of the sample (v=const).

Table 1. Boundary conditions.

Boundary conditions Horizontal Vertical

BC1 h=const. v=const.

BC2 h=0 v=0

BC3 h=0 v=const.

BC4 h=const. v=0

Fig. 1: Stress and strain conditions in calibration chamber.

In recent years new boundary condition BC5 was defined with imposed lateral stiffness
around the soil mass, kept constant during the penetration test. Thus an infinite soil mass can be
modeled and an attempt is made to get rid off the influence of the chamber size on the penetration
test results. This lateral stiffness was applied either with a servo-valve [10,13] and water filled in
lateral membranes or mechanically with a set of springs on the sample boundary [8].

2
 2 INFLUENCE OF CHAMBER SIZE

For a given boundary condition there exists the diameter Dc of calibration chamber for
which a value of cone resistance qc becomes independent of the chamber size. This value of the
cone resistance is called a free field value (qc,ff). The cone resistance in calibration chamber is
presented usually as a function of diameter ratio Rd=Dc/dc. The tests made by Parkin and Lune (Fig.
2) on Hokksund sand show a big influence of the diameter ratio Rd on cone resistance qc at small
stress level (here 'v=50 kPa). This influence attenuates for higher stress level. The curves for q c at
BC1 and BC3 for relative density DR=0.9 converge for Dc/dc higher than 50, so it is possible to
claim that for very dense sand the influence of size effect becomes small at this ratio. For loose sand
(DR=0.3) the influence of boundary conditions attenuates when Dc/dc exceeds 20.

Fig. 2: Boundary condition and scale effect for CPT tests in CC for Hokksund sand [12].

Lunne and Parkin supposed that for a given chamber size the “real” value of the cone resistance will
take a value between the lower (BC1) and upper band (BC3). Constant value of radial stress for
BC1 provides that value of cone resistance is lower because the stresses measured in the field at the
same distance from the cone have the higher values than in calibration chamber. No radial strain
boundary condition (BC3) imposes higher stresses at the frontiers of the soil mass than in the field.
The cone resistance is thus overestimated at BC3 conditions in calibration chamber.

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 3 PROPOSAL FOR FREE-FIELD CONE RESISTANCE

3.1 PROPOSAL OF BALDI ET AL. (1986)

The cone corrected resistance qc,ff is related to the initial state of stress and relative density
DR as follows:
 'vo  'h0
(3.1) qc , ff  220 p a ( ) 0.065 ( ) 0.44 exp( 2.93DR ),
pa pa

where:
pa – the reference pressure (1kPa),
’v0 – vertical stress,
’h0 – horizontal stress
DR – relative density.

3.2 PROPOSAL OF JAMIOLKOWSKI ET AL. (1988)

A relationship for Ticino sand is proposed which depends on initial mean normal stress ’00
and relative density DR.
 ' 00
(3.2) qc , ff  205 p a ( ) 0.51 exp( 2.93DR )
pa

3.3 PROPOSAL OF TANIZAWA (1992), GARIZIO (1997) AND FELICE (1997)

The measured penetration resistance should be multiplied by the correction factor CF.

(3.3) CF  a DR   
b m

where:
a,b – empirical coefficients function of Rd . They are presented in Tab. 2 for Ticino, Toyura and
Hokksund,
m – is equal +1 for BC1 and -1 for BC3

4
 Table 2. Coefficient a and b.
Dc
Rd  a b (DR)min
dc
100 0 0 100
60 0.412 0.221 55.8
47.2 0.166 0.457 50.8
33.6 0.090 0.624 47.4
22.1 0.054 0.827 34.
(DR)min=DR value in percent at which CF should be taken
equal to one

3.4 PROPOSAL OF H.-H. HSU AND A.-B. HUANG (1999)

This proposal is determined for BC5 boundary condition with imposed lateral stiffness. A
quartz sand from Da Nang was used for simulation. The cone tip resistance takes into consideration
initial mean normal stress ’00 and relative density DR.
 ' 00
qc , ff  492 p a ( ) 0.46 exp( 2.23DR ) (3.4)
pa

3.5 PROPOSAL OF MAYNE AND KULHAVY (1991)

The proposal was determined on the basis of 640 tests in calibration chamber on different
sands. The authors supposed that the influence of boundary conditions does not exist for Rd=Dc/dc
exceeding 70.
DR (%)
 D / d   1 200
(3.5) qc , ff  qc  c c 
 70 
qc ,measured
The ratio equation is given (Fig. 3) as a function of Rd and relative density DR. Chamber
qc ,corrected

size effect disappears when the ratio Rd exceeds 70.

5
 Fig. 3: CPT calibration chamber correction chamber [8].

3.6 PROPOSAL JAMIOLKOWSKI ET AL. (2001)

This proposal adopted the equation used by Schmertmann (1976):

 'v0
(3.6) qc , ff  C0 p a ( ) C1 exp(C 2 DR )
pa
where:
C0, C1, C2 –non dimensional empirical correlation factors,
pa – atmospheric pressure expressed in the same unit system of stress and penetration resistance (i.e.
98.1 kPa or 1bar).
The empirical correlations were proposed for three silica sand: Ticino, Toyoura and
Hokksund sands. The factors have a value: C0=17.68, C1=0.5, C2=3.10.

3.7 PROPOSAL BEEN ET AL. (1986, 1987)

This proposal uses a concept of state parameter  which combines the influence of void
ratio and stress level. The state parameter is a difference between the current void ratio and the
steady state void ratio at the same stress level (Fig. 4). Steady state line is determined from
undrained triaxial tests on very loose sands when a dilatation is equal zero during shear. This state
takes into consideration many physical properties of the sand as: compressibility, grain size, shape
and distribution, limiting void ratio (emin and emax), mineralogy, friction angle at constant volume
[3].

6
 For a small stress level, when grain crushing is negligible, steady state line is linear in
e-logp’ and it depends on two constants (e1 and ss):
(3.7) ess  e1  ss log p'

where:
ess – is the void ratio on the SSL at mean effective stress p’,
 - is the slope of SSL,
e1 – is the void ratio of the SSL for p’ equal 100 kPa.

State parameter for A

ess

Slope - 
e
Steady state
Void ratio

line
A
Slope -  SSL

 line
e=e- log p'

Mean normal stress p' (log scale)

Fig. 4: Definition of state parameter  [3, 4].

The state parameter is given by:

(3.8)   e  ess  e  e1  ss log p'

Been et al. determined the chamber diameter correction factor for Hokksund sand which depends
on state parameter , and diameter of chamber (Fig. 5) and B.C. The measured qc should be
multiplied by this correction factor to get free-field value. One should notice an important chamber
diameter correction factor in Hokksund sand at small (Dc= 0.76 m) calibration chamber. The largest
size efect is observed at low values of state parameters, i.e. for very dense sand at low confining
stress. It attenuates with state parameter. For Ticino sand this correction factor is much lower than
for Hokksund sand. It can even take a value less than 1 for BC2 and BC3 conditions with K0<1.

7
 Fig. 5: Chamber size standardization factors [3, 4].

4 TESTS IN CALIBRATION CHAMBER WITH LUBIATOWO SAND

4.1 CHARACTERISTICS OF MODEL SAND

For a given chamber the size and boundary effect should be estimated for the sand to be
tested. For the tests in the calibration chamber in Gdańsk UT, the quartz uniform (U=1.25) fine sand
(d50=0.21 mm) from the Baltic beach in Lubiatowo was used. Limited void ratios are equal
emax=0.807 and emin=0.528. The sand was tested in triaxial CD tests to obtain its strength parameters
for loose, medium dense and dense sand specimen. The size effect for Lubiatowo sand will be
evaluated in a series of penetration tests in the calibration chamber in GUT.

4.2 DESCRIPTION OF THE CALIBRATION CHAMBER (CC)

The CC built at Gdańsk University of Technology permits to study the soil samples (Fig. 6)
53 cm in diameter and 100 cm heigh [2].

8
 Fig. 6: View and cross-section of CC built at Gdańsk University and Technology [2].

It is double-wall chamber with control system, which enables different boundary conditions to be
applied. The massif of the soil is enclosed in the rubber membrane and the pressure of the water in
internal chamber is transferred on the sample. The vertical stress is exerted by the top and the
bottom membranes, inflated with water.

4.3 EXPERIMENTS

The tests were made for the dense (DR=0.8) and loose (DR=0.5) sands. A series of
penetration tests in CC was performed for large extent of confined pressures from 50 to 400 kPa.
The cones with the following diameters were used: CPT – 36 mm, pile 32.5 mm and pile 20 mm.
The diameter ratio (Dc/dc) is from 14.7 to 26.5. The calibration chamber tests have shown an
important influence of boundary conditions for this range of Rd, especially in dense sand.
Additionally a wedge resistance qD measured in DMT test in calibration chamber was included in
the analysis. According to [9] no size and boundary effects are expected on q D in loose and dense
sand in typical 1.2 m diameter chamber. The insertion of DMT blade produces less soil disturbance
than CPT.
To estimate an influence of B.C. a new mini-probe (M-P) 13.4 mm in diameter was built
(Fig. 7). The authors assumed moderate size and boundary effects at diameter ratio equal 40. It is
supposed that the behavior of Lubiatowo sand and corresponding size and boundary effects during

9
penetration is rather similar to Ticino sand and not to Hokksund one. Medium compressibility of
Lubiatowo sand is related to subrounded grain shape, fine grains and uniform granulometry.

cable

ext ensomet er
sleeve

31,5
11,6 1,5

60°
cone

13,4

Fig. 7: View and chart of the mini-probe built at Gdańsk University and Technology.

The extensometer is stuck on the mandrel of the probe. The force Qc which is put on the cone is
measured as the change of the voltage U in the extensometer.

The cone resistance is defined as:

Qc
(4.1) qc 
Ac
where:
Qc – is a force on the rode,
Ac – is a face area of the cone (1.41 cm2)

4.4 FREE FIELD CONE RESISTANCE IN LOOSE SAND

The tests with BC1 conditions performed in loose sand using CPT, DMT and M-P were
used. For all analysis the qc or qD values from the central part of the calibration chamber were used.
According to [9] qD is 1.18 times higher than qc.
The archival database (cone penetration tests and dilatometer tests) was also used to estimate
the size effect. Free-field curve, without the influence of boundary conditions, was determined (Fig.
8) with the following assumptions:
- blade resistance qD is slightly higher [9] than cone resistance qc,

10
 - no size effect for qc exists at high vertical stress,
- small size effect for qc can exist at small vertical stress.

The proposed curve is fitted with following equation :

qc, ff  0.35   ' v 0 
0.51
(4.3)

The influence of boundary conditions (BC1) for loose sand is very small (Fig. 8). It was
observed that the influence of boundary conditions decreases with vertical stress ’v0. According to
[10] the influence of B.C. on dilatometer tests does not exist for 1.2 m chambers, for both dense and
loose sand. Small qD-qc difference exists in Lubiatowo sand for small 0.53 m chamber at DR=0.5.
The soil mass was prepared at DR=0.4. However due to consolidation of the soil mass the relative
density can exceed 0.5, especially at high confining stress.

Fig. 8: Relationship qc-’v0 at DR=0.5.

The comparison of free-field curves according to different propositions for the relative
density equal 0.5 is presented on Fig. 9. The curve for Lubiatowo sand is the most similar to
proposition of Baldi (1986). As the relative density of the sand mass increases with the vertical
stress applied during consolidation phase, the difference between the present proposition and Baldi
(1986) augumentes.

11
 Fig. 9: Free-field relationship qc-’vo for different propositions for relative density DR=0.5

4.5 FREE FIELD CONE RESISTANCE IN DENSE SAND

The tests made at BC1 boundary conditions are considered. For analysis the cone/blade
resistance determined in the center of the calibration chamber was used, because it minimizes the
influence of the top and the bottom membranes.
The analysis of the archival database and M-P results (Fig. 10) has shown a significant size
effect in cone resistance qc. For higher diameter of the probe the influence of boundary conditions
is considerable.
Free-field curve in dense sand was plotted with the following assumptions:
- small size effect is expected for M-P at large stress,
- Rd higher than 50 is necessary to minimize size effect at low stress level, a moderate size
effect for M-P should exist at low stress,
- size effect attenuates with stress level,
- at low stress level (smaller than 50 kPa) the calibration chamber test are not applied. One
can use some correlations based on laboratory sand fills and the cone penetration tests in
large scale containers without the surface surcharge. Here a relation Puech and Foray (2002)
(4.4) DR  0,209 ln(qc )  0,25

elaborated for three quartz sands was considered.

12
 Fig. 10: Relationship qc-’v0 for DR=0.8.

The free-field cone resistance was fitted with the equation:

qc, ff  4.272   ' v 0 
0.463
(4.5)

The influence of B.C. (Fig. 11) increases with vertical stress, so the correction coefficient wk was
proposed depending on the probe diameter and vertical stress. Higher correction coefficient is
proposed for the probe of larger diameter. The equation of corrected cone resistance for Lubiatowo
sand has the following form:
(4.6) qc, ff  qb  wk

where:
qc,ff – corrected cone resistance,
qb – the base resistance measured in calibration chamber,
wk – correction coefficient for different probe diameter.

13
 Fig. 11: The correction coefficient for different cone diameter (dense sand).

Table 4. Equations of correction coefficient for dense sand.

Probe Correction coefficient

DMT wk  5.201   'v00.205

CPT wk  5.635   'v00.198

Pile 32.5 mm wk  6.226   'v00.212

Pile 20 mm wk  3.945   'v00.17

M-P wk  3.836   'v00.226

The Fig. 12 shows comparison of the free-field curves according to different propositions for
relative density equal 0.8. The experimental curve obtained for Lubiatowo sand is similar to
propositions of other authors and it is in agreement with the proposal of Baldi (1986).

14
 Fig. 12: Free-field relationship qc-’vo for relative density DR=0.8

5 CONCLUSION

The calibration chamber tests made on Lubiatowo sand showed an essential influence of
size effect and boundary conditions (BC1) on cone resistance. The tests were made for boundary
condition BC1 which provides lower estimation of cone resistance. The use of mini-probe with
diameter equal 13.4 mm allowed to minimize the influences of chamber size and boundary
conditions. The results show the high influence for dense sand but negligible for loose sand. It was
confirmed that the influence of boundary conditions decreases with vertical stress ’v0. Free-field
cone resistance is proposed for loose and dense Lubiatowo sand. This proposal is similar to that
proposed by Baldi (1986). It is necessary to make the tests for boundary conditions BC3, which
forms the upper limit of cone resistance.
Authors of many publications have suggested that influence of boundary conditions on
dilatometer tests does not exist, for both dense and loose sands. The tests made on Lubiatowo sand,
showed small influence in case of loose sand but a considerable one for dense sand. Additional tests
in chambers with different diameter and numerical (3D) analyses are necessary to study this
problem.

15
 REFERENCES

1. Baldi G., Bellotti R., Ghionna V., Jamiolkowski M., Pasqualini E., 1986, Interpretation of CPT’s and
CPTU’s. Part 2: Drained penetration of sand. 4th Int. Geotech. Seminar, Singapore.

2. Bałachowski L, Dembicki E., 2003, La construction d’une chambre d’étalonnage à l’Université Technique
de Gdansk. Studia Geotechnica et Mechanica, vol. XXV, No. 1-2

3. Been K., Crooks J.H.A., Becker D.E., Jefferies M.G., 1986, The cone penetration test in sands: part I, state
parameter interpretation. Geotechnique 36, No. 2, 239-249

4. Been K., Jefferies M.G., Crooks J.H.A., Rothenburg L., 1987, The cone penetration test in sands: part II,
general inference of state. Geotechnique 37, No. 3, 285-299

5. Felice A., 1997, Determinazione dei parametric geotecnici e in particolare di K0 da prove dilatrometriche,
M.Sc. Thesis, Department of Structural Engineering, Politecnico di Torino

6. Garizo G.M., 1997, Determinazione dei parametric geotecnici e in particolare di K0 da prove

penetrometriche, M.Sc. Department of Structural Engineering, Politecnico di Torino

7. Holden J.C., 1991, History of the first six CRB calibration chambers. Proc. on Calibration Chamber
Testing

8. Hsu H.-H., Huang A.-B., 1999, Calibration of Cone Penetration Test in Sand. Proc. Natl. Sci. Counc.
ROC(A), vol. 23, No. 5

9. Jamiolkowski M., Ghionna V.N., Lancellotta R., Pasqualini E., 1988 New correlations of penetration tests
for design practice. In Proceedings, 1st International Symposium on penetration Testing, March 20-24, 1988
Orlando

10. Jamiolkowski M., Lo Presti D.C.F., Manassero M., 2001, Evaluation of Relative Density and Shear
Strength of Sands from CPT and DMT. C.C.LADD Symposium

11. Mayne P.W.,Kulhawy F.H., 1991, Calibration chamber database and boundary effects correction for CPT
data. Proc. on Calibration Chamber Testing, 257-263

12.Parkin A.K., Lunne T., 1982, Boundary effects in the laboratory calibration of a cone penetrometer for
sand. Proceedings, 2nd European Symp. Penetration Testing, Amsterdam, 2:761-768

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 13. Puech A., Foray P., 2002, Refined model for interpreting shallow penetration CPTs in sand. Proc.
Offshore Technology Conference

14. Foray P., 1991, Scale and boundary effects on calibration chamber pile tests. Proc. on Calibration
Chamber Testing

15. Sladen J.A., 1989, Problems with interpretation of sand state from cone penetration test. Géotechnique
39, No. 2, 323-332

STRESZCZENIE

Badania w komorze kalibracyjnej przeprowadza się w celu wyznaczenia zależności pomiędzy

oporem na stożku, składową pionową (poziomą) naprężenia a stopniem zagęszczenia, które wykorzystuje się
przy interpretacji badań polowych. Badania w komorze wykonywane są na próbkach cylindrycznych o
ograniczonych wymiarach do których w kontrolowany sposób przykłada się składowe pionowe i poziome
naprężenia (odkształcenia). Wyniki uzyskane z badań w komorze obarczone są wpływami warunków
brzegowych stosunku średnicy komory do średnicy stożka. Wpływy te zależą od własności badanego gruntu:
granulometrii, mineralogii oraz kształtu ziaren. Badania przeprowadzono na drobnym, równoziarnistym
piasku kwarcowym z plaży w Lubiatowie. W celu oszacowania wpływu warunków brzegowych użyto
stożków o średnicy od 13.4 mm do 36 mm oraz dylatometru. Mini-sonda (średnica 13.4 mm) pozwoliła
wykonywać badania z małym wpływem warunków brzegowych. Wszystkie testy wykonano dla warunków
brzegowych typu BC1, który daje dolne oszacowanie oporu stożka. Badania wykonano na piaskach o dwóch
stopniach zagęszczenia DR=0.5 i DR=0.8. Wykonane analizy pozwoliły zaproponować współczynniki
poprawkowe, uwzględniające wpływ stosunku średnicy komory do średnicy sondy oraz składowej pionowej
naprężenia na mierzone wartość oporu na stożku dla piasku Lubiatowo.

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