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Procedia Engineering 165 (2016) 845 – 852

15th International scientific conference “Underground Urbanisation as a Prerequisite for

Sustainable Development”

OCR and POP parameters in Plaxis-based numerical analysis of

loaded over consolidated soils
Roman Melnikov a, Juriy Zazulya a, Maxim Stepanov a, Oleg Ashikhmin a,*, Tatyana
Maltseva a
a
Industrial University of Tyumen, Volodarskogo str. 38, Tyumen, 625001, Russia
b
Northern Trans-Ural State Agricultural University, Respubliki str. 7, Tyumen, 625003, Russia

Abstract

The paper discusses deformation of over consolidated soils in Hardening Soil Model in terms of their initial stress state. When
carrying out numerical analysis in Plaxis, it has been stated that Hardening Soil Model “remembers” the history of previous
loadings. In forming the initial stress state of over consolidated soils with the pre-overburden pressure POP, there occurs the
more reliable description of the soil deformation process than with the over consolidation ratio OCR. These findings are valid for
odometer conditions and for real geotechnical calculations.
© 2016
© 2016TheTheAuthors.
Authors. Published
Published by Elsevier
by Elsevier Ltd. is an open access article under the CC BY-NC-ND license
Ltd. This
Peer-review under responsibility of the scientific committee of the 15th International scientific conference “Underground
(http://creativecommons.org/licenses/by-nc-nd/4.0/).
Peer-review
Urbanisation under
as aresponsibility
PrerequisiteoffortheSustainable
scientific committee of the 15th International scientific conference “Underground Urbanisation as a
Development.
Prerequisite for Sustainable Development
Keywords: plaxis, oedometer tests, hardening soil model, overconsolidation ratio – OCR, pre-overburden pressure – POP, numerical analysis.

1. Introduction

Software systems with a wide range of soil models such as Plaxis, Abaqus, ZSOIL, ANSYS, etc. are a popular
and more accessible tool for conducting geotechnical calculations. In here, according to the European Geotechnical
Community [1], the users of the software systems have some difficulties when dealing with them, the main ones are:
selection of the most adequate soil model; indication of the soil model parameters; initialization; analysis of the

* Corresponding author. Tel.:+7-3452-29-01-03

E-mail address: asholeg2007@yandex.ru

1877-7058 © 2016 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license
(http://creativecommons.org/licenses/by-nc-nd/4.0/).
Peer-review under responsibility of the scientific committee of the 15th International scientific conference “Underground Urbanisation as a
Prerequisite for Sustainable Development
doi:10.1016/j.proeng.2016.11.783
846 Roman Melnikov et al. / Procedia Engineering 165 (2016) 845 – 852

calculation results obtained.

To overcome each difficulty it is required to study and analyze them carefully, as their total solution can improve
trouble-free long life and economic justifiability of designing and erecting buildings and structures.
In many works devoted to problem-solving in carrying out numerical analysis of geotechnical problems, there
exists a common approach [2, 3, 4]. This approach stems from the fact that if pre-consolidated soils occur in the
ground bed simulated with a numerical problem, then the overconsolidation ratio OCR is used to describe the initial
stress state and the performance of the soils under the loads. However, Plaxis allows the pre-overburden pressure –
POP to be used for these purposes. The task of identifying specific use of OCR and POP during the numerical
analysis has not been solved.
The paper investigates the differences in developing the initial stress state of overconsolidated soils when using
OCR and POP parameters. Hardening Soil Model being a part of Plaxis software system is used as a soil model; it
has gained popularity in geotechnical calculations due to its adequacy [5-8].
The paper aims at identifying the differences when using the overconsolidation ratio OCR and pre-overburden
pressure POP involved in developing the initial stress state of overconsolidated soils and their deformation under
loading.

2. Initial Stress State

The initial stress state of the ground bed depends not only on the vertical and horizontal stresses of soil dead
weight, but the pre-consolidation pressure σ'p [9] - maximum vertical pressure that the soil had in the past; it could
be created by a glacier or sedimentary rocks that are not available any more or by a technological process [10, 11].
The soil suffers from the vertical pressure of its own weight σ'yy; this pressure is called natural or domestic
pressure.
If the pre-consolidation pressure σ'p is greater than the domestic pressure σ'yy, the soil is overconsolidated, and
the horizontal stresses σ'xx exceed the vertical ones σ'yy in the initial stress state. If the pre-consolidation pressure is
missing, the soil is normally consolidated and the vertical stresses exceed the horizontal ones.
To determine the pre-consolidation pressure σ'p data processing operations of oedometer tests are carried out. A
number of methods for determining the pressure σ'p has been created, but the method of Casagrande is preferable
[12]. One can use the direct method, when the characteristic fracture on the oedometer curve ε = f (σ) indicates the
pre-consolidation pressure σ'p.
Plaxis allows calculation of the initial stress state to be carried out automatically using the coefficient of earth
pressure Ko = σ'xx / σ'yy. By default it is believed that the simulated soil is normally consolidated, so the coefficient
of earth pressure in normal consolidation K oNC is used; it depends on the angle of internal friction and is
automatically evaluated by the formula after Jaky [13, 14]: K oNC = 1-sinφ.
If the soil is overconsolidated, adjustment of the coefficient of earth pressure K o is required specifying the value
of the overconsolidation ratio OCR and pre-overburden pressure POP.
OCR is evaluated by the formula: OCR = σ'p / σ'yy. If OCR≤1, the soil is considered to be normally consolidated,
when OCR> 1 - it is overconsolidated.
POP is evaluated by the formula: POP =|σ'p-σ'yy| and is not used in the classification of soils (Fig. 1).
 Roman Melnikov et al. / Procedia Engineering 165 (2016) 845 – 852 847

Fig. 1. Evaluation of OCR and POP.

3. Initial Stress State

To achieve the objectives of the work, numerical analysis simulating oedometer tests were carried out using the
technique [15]. Previously, [15] the parameters of Hardening Soil Model had been determined for soil undisturbed
samples: γunsat = 17.55 kN/m3; γsat = 18.31 kN/m3; e = 0.957; E50ref = Eoedref = 3100 kPa; Eurref = 21700 kPa; m = 0.9;
с' = 41 kPa; φ' = 160; ψ = 00; νur, pref – default entry. The soil sample was normally consolidated if the coefficient of
earth pressure was KoNC = 0.7244. The error in the description of the experimental dependency diagram of the
setting from the load was less than 5% in ε> 0.04.
Hardening Soil Model takes into account the history of ground bed loading. In proof of this, the soil was pre-
consolidated directly by application of the external load for the first numerical calculation. In this regard, the
pressure p1 = 300 kPa was applied to a normally consolidated soil sample, thus, pre- consolidation pressure was
created. Then the soil sample was unloaded with nullification of deformation values. The repeated loading p 2 = 600
kPa with subsequent unloading was created at the next stage of calculation.
Simultaneously, independent calculation was conducted when the pressure p 2 = 600 kPa with subsequent
unloading was immediately applied to the normally consolidated soil sample.
The analyzed results of calculations (Fig. 2) make it possible to establish that the curves of primary loading of
both calculations are the same up to the pressure of 300 kPa on the diagrams of oedometer tests u y = f (σ). In the soil
sample subjected to pre-consolidation, reloading gives the characteristic fracture of the oedometer curve at the value
close to p1 = 300 kPa.
When the pressure on the sample exceeds p 1, the slope of the oedometer curve agrees with the curve of primary
loading.
Thus, Hardening Soil Model takes into account the history of ground bed loading; in here, there is the fracture on
the oedometer curve indicating the pre-consolidation pressure.
The inverse problem was solved when the pre-consolidation pressure σ'p was directly determined for the
numerically obtained oedometer curve ε = f (σ) [16] (Fig. 3). It has been found out that the pre-consolidation
pressure σ'p - 271.2 kPa is less than the pressure that creates consolidation p 1 = 300 kPa. This is due to the fact that
soil consolidation occurs only under plastic deformation; at consolidation pressure p 1 deformation is partly elastic.
848 Roman Melnikov et al. / Procedia Engineering 165 (2016) 845 – 852

pressure, kPa log(σ), kPa

0 300 600 1 10 100 1000
0,0 0,0
vertical deformation, mm

-0,5 -0,2 σ'p = 271,2

kPa
-1,0 -0,4

vertical deformation, mm
-1,5 -0,6

-2,0 -0,8

-1,0
-2,5
-1,2
-3,0
-1,4
-3,5
Первичное
p1=600 kPa нагружение 600 кПа -1,6
Первичное
p 1 =300 kPa нагружение 300 кПа

Повторное
σp=300 kPa,нагружение
p2=600 kPa 600 кПа -1,8

Fig. 2. Oedometer curves uy=f(σ) of the first calculation. Fig. 3. Pre-consolidation pressure diagram.

One should distinguish the consolidation pressure p1 and pre-consolidation pressure σ'p obtained after the
oedometer tests, in here σ'p = 0.9 • p1.
It is important to take into account that only the pre-consolidation pressure σ'p can be determined when testing the
real soil sample, i.e. the pressure that soil “remembers”.
Then two numerical calculations imitating oedometer tests were done. They aimed at valid description of
overconsolidated soil deformation using the overconsolidation ratio - OCR (Fig. 4) and pre-overburden pressure –
POP (Fig. 5).
After the calibration procedure the predicted oedometer curves u y = f (σ) were compared with the initial curve
obtained from the first calculation when preliminary soil consolidation was created directly with the pressure p 1. The
acceptable level of accuracy for numerical solution was 5%.
Thus, OCR is invalid in describing the process of overconsolidated soil deformation. The oedometer curve
throughout the whole range of loading does not have the characteristic fracture even with significant
overestimation of OCR value (more than 10); besides, deformations are significantly overestimated (over 60%) for
all values of OCR <100. The diagrams are not different from the oedometer curve of primary loading (Fig. 2).
 Roman Melnikov et al. / Procedia Engineering 165 (2016) 845 – 852 849

pressure, kPa pressure, kPa

0 300 600 0 300 600
0,0
-0,2 -0,2

vertical deformation, mm
vertical deformation, mm

-0,4
-0,7
-0,6

-0,8
-1,2
-1,0

-1,7 -1,2

-1,4
-2,2 -1,6

-1,8
-2,7 POP=270 kPa
POP=300 kPa
-3,2 σp=300 kPa,нагружение
Повторное p2=600 kPa600 кПа
OCR=2
OCR=20
OCR=200
OCR=2000
σp=300 kPa,нагружение
Повторное p2=600 kPa600 кПа

Fig. 4. Oedometer curves uy=f(σ) of the second calculation with Fig. 5. Oedometer curves uy=f(σ) of the third calculation with
changed OCR, POP=0. changed POP, OCR=1.

POP makes it possible to describe the oedometer curve of the overconsolidated soil with a characteristic fracture;
in here the required accuracy of the given curve is achieved when consolidating the soil directly if POP = 270 kPa
(i.e. equals σ'p) (Fig. 5). Thus, after the oedometer curve analysis the resulting pre-consolidation pressure σ'p gave
the possibility of the specified accuracy to be achieved.
It has been stated that OCR is invalid in describing the process of overconsolidated soil deformation under
loading, while POP is capable of describing the process with a given accuracy; in here POP = 0.9 • p 1 = σ'p.

4. Numerical Analysis of Real Calculation Limitations

Oedometer conditions were provided during the numerical experiment when the area of pre-consolidation
pressure transmission agreed with the area of reloading. In the next numerical experiment the conditions were close
to the actual design – the area of pre-consolidation largely exceeded the area of reloading (Fig. 6).
The first calculation was done when pre-consolidating soil with the external load p1 = 100 kPa (Fig. 6a). Then the
soil sample was unloaded with nullification of deformation values and reloaded p 2 = 270 kPa on a smaller area (Fig.
6b). After that the calculations were done when creating the initial stress state of soil with OCR or POP (Fig. 6c).
After the settlement diagrams obtained uy=f(σ) it can be stated that the overconsolidation ratio OCR is invalid in
850 Roman Melnikov et al. / Procedia Engineering 165 (2016) 845 – 852

describing the process of overconsolidated soil deformation under loading (Fig. 7). The settlement diagram is
monotonous with lack of characteristic fracture in overconsolidated soil deformation.
When using POP the characteristic fracture (Fig. 8) can be seen on the settlement diagram; in POP = 0.9 • p 1 =
σ'p = 0.9 • 100 kPa = 90 kPa the error in description of the diagram obtained by preliminary loading does not exceed
5%.
It has been found out that under conditions close to the real geotechnical calculation OCR is invalid in describing
the process of overconsolidated soil deformation under loading, as opposed to POP; in here the necessary accuracy
is achieved with POP = σ'p.

a) b) c)

Fig. 6. Plaxis 2D – based loading diagrams: а – pre-consolidation with external loading р1=100 kPa; b – reloading р2=270 kPa; c – OCR or POP ,
loading р2=270 kPa.

5. Conclusions

After the research done one can draw the following conclusions on the use of the overconsolidation ratio - OCR
and pre-overburden pressure POP in Hardening Soil Model:
x For complex soil models such as Hardening Soil it is necessary to take into account the initial stress state, i.e.
the history of the previous loadings which soil “remembers”. For overconsoldated soils the history of
loadings greatly affects the process of deformation.
x It is necessary to determine the pre-consolidation pressure σ'p. The accuracy of σ'p is achieved during
kinematic oedometer tests and the use of different techniques for processing the results [13, 14].
x There is a difference between the initial consolidation pressure and pre-consolidation pressure σ'p. It is
possible to determine only σ'p in the soil sample i.e. the pressure that soil "remembers".
x If OCR is used to describe the initial stress state, it is invalid in characterizing the process of
overconsolidated soil deformation under loading.
x If POP – equal to the pre-consolidation pressure σ'p - is used to describe the initial stress state, the process of
overconsolidated soil deformability can be described with the acceptable level of accuracy of 5%.
 Roman Melnikov et al. / Procedia Engineering 165 (2016) 845 – 852 851

pressure, kPa pressure, kPa

0 100 200 300 0 100 200 300
0
-5
-5
-15
vertical deformation, sm

vertical deformation, sm
-10
-25
-15
-35
-20
-45

-55 -25

-65 -30

-75 -35

-85 -40
OCR=1 OCR=2 OCR=3 OCR=4 POP=80 kPa POP=90 kPa
OCR=5 OCR=6 1σp=100 kPa, POP=100 kPa 1σp=100 kPa,
p2=270 kPa p2=270 kPa
Fig.7. Setting diagram uy=f(σ) with changed OCR, POP=0. Fig. 8. Setting diagram uy=f(σ) with changed POP, OCR=1.

6. Summary

Accurate numerical analysis of the soil stress-strain state depends not only on the identified mechanical
characteristics of the soil, but also on the soil model which describes its performance.
Since the mechanical properties of soils depend considerably on the degree of their consolidation, it is necessary
to determine the pre-consolidation pressure σ'p of the soil.
The complex calculation models of the soil such as Hardening Soil take into account the initial stress state of the
overconsolidated soils by means of the overconsolidation ratio-OCR or pre-overburden pressure POP. POP is more
preferable than OCR, since it describes the deformability process more accurately. Therefore, further research is
needed to determine the limits of OCR and POP applicability.
In conclusion let us remember the words of George Box, the famous British mathematician: "All models are
wrong, but some are useful." One can agree with him and add that we must learn how to use these models correctly.

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