BALIGH, M. M. (1986). GCotechnique 36, No.

4,487-501

Undrained deep penetration, II : pore pressures

M. M. BALIGH*

Undrained deep penetration causes significant excess second invariant of the deviatoric
pore pressures that dominate other soil stresses and stress state
hold the key to the understanding of penetration deviatoric (shear) stress components
mechanisms. On the basis of the strain path method, in axisymmetric problems
this Paper identifies important factors affecting pen-
pore pressure
etration pore pressures in clays and incorporates them
vertical penetration velocity
in comprehensive prediction methods. Results are
required to establish the necessary frameworks for the initial pore pressure
interpretation of existing penetration test data, the increment (change) of pore pressure
development of new in situ tests and the analysis of pile due to penetration
installation effects in a systematic and rational manner. shear-induced pore pressure due to
penetration
La penetration profonde non-drain&e provoque des sur- vertical co-ordinate in a cylindrical
pressions interstitielles importantes qui dominent les system
autres contraintes dans le sol et qui detiennent la solu-
octahedral (first invariant of) total
tion pour la comprehension des mecanismes de p&tra-
stress
tion. Sur la base de la methode des chemins de
deformations cet article identifie les facteurs importants total stress components in an
qui influencent les pressions interstitielles lors de la pen- orthogonal frame
etration dans les argiles et les incorporent dans des effective stress components in an
methodes de predictions comprthensives. Les rtsultats orthogonal frame
qui en decoulent sont indispensables pour etablir les initial octahedral (confining) total
structures necessaires a l’interpretation des donnees dis- stress
ponibles de l’essai de penetration, au developpement initial effective isotropic (confining)
de nouveaux essais in situ et a l’analyse systematique et stress
rationnelle des effets de l’installation des pieux.
increment (change) of octahedral
KEYWORDS: bearing capacity; clays; failure; piles; stress due to penetration
pore pressures; shear strength. co-ordinate angle in a spherical co-
ordinate system
NOTATION
B,, 4 shear-induced pore pressure param-
eters INTRODUCTION
C” undrained shear strength of the clay Porewater pressures occupy a central position in
E second invariant of the deviatoric modern soil mechanics for conceptual and practi-
strain state cal reasons. Conceptually, effective stresses
EY yield deviatoric strain control most soil behaviour aspects of interest to
cl~gr~gz functions of Si and their gradients geotechnical engineers and total stresses are con-

Gmax , cm:shear stiffness, shear modulus

maximum and minimum undrained
secant shear moduli
trolled by equilibrium considerations.
pore pressures are necessary to estimate effective
stresses from calculated total stresses and thus to
Hence,

k undrained strength parameter allow the rational interpretation and/or predic-

N, octahedral stress factor at the simple tion of the response of soil masses. Practically, the
pile tip, AD/k pore pressure in the soil is often easier to measure
OCR overconsolidation ratio than other equally meaningful aspects of soil
r radial co-ordinate in a cylindrical behaviour because it exhibits no directional
system dependence. This is especially so in field situ-
R radius of a spherical cavity or the ations involving anisotropic and non-uniform
shaft radius of a solid pile stressing (or straining) of the soil.
Discussion on this Paper closes on 1 April 1987. For Estimates of the pore pressures are crucial in
further details see inside back cover. the rational interpretation of in situ deep pen-
* Massachusetts Institute of Technology. etration test results aimed at estimating engineer-
487

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 488 BALIGH

ing properties of soils. Moreover, reasonable body forces are small compared with stress
estimates of installation effects are essential for gradients) and equilibrium can thus be expressed
the development of a good understanding of skin in terms of Q and Si
friction mechanisms and ultimately the rational In the radial r direction
prediction of the shaft resistance of piles.
In a companion Paper, Baligh (1986) predicts au
-=
shearing distortions and stresses caused by the ar 9,
undrained deep penetration of a closed-ended
‘simple pile’ in isotropic
pressible inviscid saturated
homogeneous incom-
clays initially sub- g,= -$[.gs,-g+z+q (4)
jected to isotropic stress conditions on the basis
of the strain path method (Baligh, 1985a). This In the vertical z direction
Paper presents complementary predictions of
pore pressures in the soil to achieve a com-
prehensive description of deep penetration dis-
turbance and to develop a better understanding
1 as (5)
of its effects. The Paper also evaluates state of the
9,=-p $+&2+s'
art methods of estimating penetration effects: the ( r>
cavity expansion methods.
For sufficiently smooth stress fields, differentia-
tion of equations (4) and (5) indicates that equi-
PREDICTION METHOD librium also requires that e satisfies the Poisson
Total stress formulation equation
During undrained shearing, the pore pressure u
in the soil is the sum of the initial pore pressure v% = g
u,, and the excess pore pressure Au, where

Au = Aa + Au, 9 = i $ (rg,) + tjf

(1)
Ae = tr - a0
Therefore, given the deviatoric (shear) stresses
where crO is the initial total octahedral stress in
Si, the functions g,, g, and g can be calculated
the ground, 0 is the octahedral stress during
and the octahedral stress Q can be computed in a
undrained shearing and Au, is the shear-induced
variety of ways. One approach consists of inte-
pore pressure.
grating equation (4) along radial lines
Equilibrium and the octahedral stress (z = constant) from infinity, where u = rra, to any
Octahedral stresses cr during undrained pen- radial distance r. Alternatively, u can be calcu-
etration are controlled by equilibrium consider- lated from equation (5) by integration along verti-
ations. For vertical axisymmetric penetration, the cal lines, or, from both equations (4) and (5),
total stress components in a cylindrical frame can along any integration path, or by solving equa-
be written in terms of c and the deviatoric tion (6). For exact solutions, all approaches lead
stresses Si (i = 1, 2, 3) defined by Baligh (1986) to unique values of Q independently from the inte-
gration path or the solution method. This
requires that the deviatoric stresses Si satisfy the
a /;sl +a condition

ag
L=Z ag
a,, = f (3%* - S,) + u az ar (7)

(2) In approximate solutions, the functions g, and

u ee -- - f (31’2S2 + S,) + o g, do not satisfy equation (7) everywhere in the
soil. Discrepancies in cr estimated on the basis of
1 equations (4), (5) or (6) represent a good measure
CT,,= -
3 l/2 S, of the sensitivity to analytic simplifications and
where an index for evaluating the reliability of Si at
various locations around the penetrating pile.
fJ = &Jzz + Q,, + ee.9) (3)
Methods of improving predictions of (r and
During deep penetration, changes in stresses reducing equilibrium imbalance are described by
around the tip due to gravity are negligible (i.e. Baligh (1985a).

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 UNDRAINED DEEP PENETRATION
Shear-induced pore pressures
Shear-induced pore pressures Au, develop in
the soil due to the tendency of the skeleton to
dilate (or contract) during pure shearing (i.e.
Au = 0) that is prevented by the more rigid pore-
water. When subjected to undrained shearing
from isotropic stress conditions with an effective
stress 5, (=e,, - u,), the magnitude of Au,
depends on a,, the level and history of the
strains, the strain rates, the overconsolidation
ratio OCR and the soil type, e.g. sensitivity and
liquidity index. Therefore, an accurate description
of Au, during undrained penetration in clays
requires complicated modelling that includes all
these factors in addition to the effect of initial
shearing in the anisotropically consolidated soils.
However, in view of the limited objectives of
this Paper, simplified models are considered to
illustrate the effects of shear-induced pore press-
ures and to evaluate their relative importance
compared with other factors. These simplifica-
tions are partly justified by the fact that, in the
total stress analyses conducted herein, inaccu-
racies in Au, only affect predictions of excess pore
pressures Au. In effective stress analyses, more
careful modelling of Au, is required because inac-
curacies affect deviatoric and octahedral stresses
as well.
Figure 1 shows measurements of Au, during
undrained shearing in triaxial compression tests
(full symbols) and extension tests (open symbols)
performed on resedimented Boston Blue Clay
(BBC) from isotropic, normally consolidated con-
ditions (Ladd & Varallyay, 1965). The results are
Axial strain Ed: 96
0 2 4 6
I
Deviatoric
Fig. 1. Shear-induced pore pressures in triaxial
tropically normally consolidated BBC
Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
489
consistent, show no identifiable differences
between compression and extension shearing and
involve significant shear-induced pore pressures
at large strain levels.
Curve 1 in Fig. 1 corresponds to predictions
according to an extended version of the Prandtl-
Reuss (P-R) material with parameters G/k = 100
and k = cc,/3 selected by Baligh (1986) to fit
stress-strain measurements for this clay by means
of a bilinear model. Before yielding (E < E,;
E, = k/6l/*G x 0.4%) the soil skeleton is linear
isotropic with a shear modulus G and involves no
coupling between shearing stresses and volu-
metric strains, and hence Au, must vanish. Other-
wise fundamental aspects of linear isotropic
elasticity would be violated. After yielding (E >
E,,) the soil has a shear strength k and, for simpli-
city, it is assumed herein that Au, is constant. In
Fig. 1, a value Au, = 0.66, (or AuJk = 18) is sel-
ected for isotropically normally consolidated
BBC. Clearly, this response involves a jump dis-
continuity in pore pressure at yield and hence is
not realistic.
A more realistic description of Au, is given by
curve 2 in Fig. 1 which, for isotropically consoli-
dated soils, is given by the hyperbolic expression
-1
where B, and B, are constants for a given clay.
At large values of the deviatoric strain E, equa-
tion (8) gives Au&?, = B, and hence the pore
pressure parameter B, controls the shear-induced
8 10 12 14
stram E: %
tests on iso-
 490 BALIGH

pore pressures at large strain levels. Curve 2 in linear isotropic soil outside the elasto-plastic
Fig. 1 is based on equation (8) for B, = 160 and boundary are given by (Baligh, 1986)
B, = 0.6 selected to achieve a good fit of the
experimental data. A detailed discussion of the
pore pressure parameter
on clay overconsolidation
B, and its dependence
is presented by Baligh
si = y
0 &#J)
f
where C,(4) = -cos 4 sin2 4, C,(4) = (1/3112)[2
(1985b). + cos 4 (2 + sin2 4)] and C, = -(2/3”*) sin3 4.
The dependence of Au, on E assumed by equa- 4 = arctan (r/z) and R is the radius of the simple
tion (8) is similar and consistent with the pile shaft.
hyperbolic-type relationship between the devi- Noting that
atoric stress S and deviatoric strain E described
a4 sin f$ cos 4
by Baligh (1986) -=
ar r

a4
_= _-
sin’ 4
aZ r
!$(I _A+-’ in the outer soil where changes in geometry are
K \ ~max/ negligible, direct substitution into equations (4)
where G,,, and Gmin are the maximum shear and (5) gives g, = g, = 0. According to equation
modulus (at very small strain levels) and the (7), this means that these expressions of Si lead to
secant shear modulus at yield respectively. The a stress field in the outer elastic soil that is inde-
relationship between Au, and S can be obtained pendent of the integration path. Moreover, sub-
from equations (8) and (9) at any strain level E. stitution into equation (6) indicates that (z is
The ratio AuJS is Henkel’s (1960) pore pressure harmonic (i.e. satisfies Laplace’s equation) as
parameter a related to Skempton’s (1954) A expected in a linear isotropic material when the
parameter by a = (3A - 1)/2i/’ in triaxial com- contribution of body forces is negligible
pression and a = (3A - 2)/2l” in triaxial exten- (Sokolnikoff, 1956). Imposing the conditions at
sion tests. infinity (Aa = 0), invoking uniqueness theorems
In this formulation, the shear-induced pore of linear elasticity and noting that Au, = 0 for a
pressures of saturated soil, Aus, are described in linear isotropic material, either equation (4) or
terms of the shear strain level E rather than the equation (5) gives the unique solution
shear stress level S, as inherently implied by the Au = 0
more popular Henkel a parameter. The difference (10)
is hardly perceptible because, as pointed out, Au = 0
E and S are related by the undrained stress-
in the outer linear isotropic soil.
strain behaviour of the soil. Also, the pore
This important result means that deep
pressure parameter B, serves the same undrained penetration causes no excess pore
purpose as Henkel’s parameter at failure pressures in the clay located at a sufficiently large
a, (= (3/2)1/z(CO/k)B,) in describing shear-induced distance from the simple pile where the soil
pore pressures at large strain levels and can be behaviour may be assumed to be linear and iso-
equally correlated to OCR and other clay charac- tropic (and thus elastic). Uniqueness of solutions
teristics. However, for approaching and solving enhances their reliability and validity in depicting
deep penetration problems, the formulation of general aspects of deep penetration especially that
Au, in terms of E rather than S is more appropri- generalization of this result to axisymmetric pen-
ate because, according to the fundamentals of the etrometers with different geometries can be
strain path method (Baligh, 1985a), values of E in readily achieved by noting that
the soil due to penetration are easier to estimate
whereas S is strongly dependent on the shearing (4 soil deformations and strains caused by solid
characteristics of the penetrated soil that, mildly penetrometers of practical interest (e.g. a
stated, involve considerable uncertainties and cylinder with a conical tip) can be obtained by
complications. superimposing the effects of several (or a dis-
tribution of) sources and sinks with appropri-
SIMPLE PILE PENETRATION IN BILINEAR ately selected intensities and locations along a
CLAY finite length of the penetrometer’s axis
Pore pressures in outer linear soil (Levadoux & Baligh, 1980)
During undrained simple pile penetration in a (4 at sufficiently large distances from the pen-
bilinear P-R clay initially subjected to isotropic etrometer, the effects of these sources and
stresses, the three deviatoric stresses Si in the sinks reduce to that of a single source, i.e. the

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 UNDRAINED DEEP PENETRATION 491

results approach simple pile solutions in the behaviour of clays does not exist and G can
far field. take any value between G,,, and Gmin, where
the ratio Gma.JGmin can easily exceed 50.
Significant implications of this result include
Therefore. conceduallv. the above result nro-
the following.
vides a means 1of estimating the releiant
(a) Little uncertainties remain at this stage that values of the shear modulus (or the yield
stress and strain paths of soil elements are not strain) during deep penetration in clays by
monotonic during deep penetration but must measuring the radial extent (rp) of pore
involve reversals of some components (Baligh, pressures around the shaft of cylindrical pen-
1984, 1986). etrometers. However, complications due to
(b) In terms of analysis, this result immediately soil non-linearities and shear-induced pore
establishes the order of difficulties, the neces- pressures even at small strain levels require
sary techniques and the levels of details careful utilization of this result. This is dis-
needed to predict pore pressures. Also, the cussed subsequently.
outer soil need not be fully incorporated in
future more refined numerical analyses.
Instead, attention should be focused on the Pore pressures in inner plastic soil
inner soil close to the pile where a thorough Octahedral stresses. Figure 2(a) shows contour
treatment of soil non-linearity and inelasticity lines of the incremental octahedral stress Aa in
is required. Heavily non-linear problems the soil due to simple pile penetration in a bilin-
require special care and their solutions can ear clay with G/k = 100 (or E, x 0.4% or rp =
rarely be achieved by means of engineering 1OR) initially subjected to isotropic stresses. The
results in Fig. 2(a) were calculated by numerical
judgement only.
(c) In theory, the shape of the disturbance zone integration of the horizontal equilibrium equation
(4) on the basis of the deviatoric stresses Si
involving excess pore pressures can be esti-
mated by means of closed form expressions obtained by Baligh (1986). For a fixed value of
(see Baligh, 1986) in terms of the radius of the G/k (or &)
plastic zone, rr,, around the shaft (rp = (a) increments in octahedral stress Acr caused by
(G/k)“*R). In fact, predictions of rp for a given penetration are proportional to the shear
clay deposit involve major uncertainties in se- strength of the clay, k: also, Aa at a soil
lecting the shear modulus G because linear element with normalized co-ordinates (r/R

=o

I’ 150” < c$ I 180” .‘\

/I
/ I ‘1
$5 = ;50” @ =I 180” @J 1150”
/
-20 ‘\ ~ 2.0
2.0 1 .o 0 1 .o 2-o

MP
(4 (b)
Fig. 2. Octahedral stress increments during simple pile penetration
in bilinear soil: (a) integration in the radial direction; (b) solution of
the Poisson equation

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 492 BALIGH

and z/R) is independent of the pile radius R, equation (6)) from Si especially near the tip
which implies that values of Aa at the pile where high gradients occur. Attempts to
wall are independent of R achieve more accurate results by means of
(4 in a bilinear material, the predicted contour higher resolutions and more sophisticated
Aa = 0 represents the elasto-plastic boundary numerical techniques are under way at the
because Aa = 0 in the outer linear isotropic Massachusetts Institute of Technology.
soil (c) The full area in Fig. 2 where discrepancies in
(4 octahedral stresses generally increase towards numerical solutions exceed 20% provides a
the pile tip and involve significant gradients preliminary warning to the unsuspecting engi-
(4 in the 60” conical segment A ahead of the pile neer regarding the sensitivity of predictions
(180” >, 4 >, 1507 where predictions of Si are and thus the difficulty of rationally inter-
most reliable and where the major principal preting measurements conducted in this zone.
stress direction is close to vertical (Baligh, Such measurements include the friction sleeve
1985c, 1986), the contour lines are essentially of electric cone penetrometers routinely uti-
circular and centred at the origin. lized in penetration testing. Also, more recent-
ly, proposals have been put forward to
Figure 2(b) shows contour lines of Au obtained
measure pore pressures during piezocone pen-
by Chin & Whittle (1984) from numerical solu-
etration behind the cone base, i.e. within or
tions of the Poisson equation (6). Discrepancies
near the dark zone in Fig. 2 rather than at the
between the results in Figs 2(a) and 2(b) are
tip of penetrating cones (Campanella, Gil-
limited to the plastic zone (where Aa # 0) and are
lespie & Robertson, 1982; Wroth, 1984;
due to the different methods of satisfying equi-
Jamiolkowski, Ladd, Germaine & Lancel-
librium approximately by numerical methods.
lotta, 1985).
Throughout the plastic soil, the differences in Au
are within about 20% with the exception of the Shear-induced pore pressures. Predictions of
full area in Fig. 2. Radially, this area extends to a shear-induced pore pressures Au, caused by pen-
distance roughly equal to the pile radius R from etration are intimately related to the soil con-
the wall and 5R vertically. The conical segment A sidered and the model used. For normally
ahead of the pile (150° < 4 C 180”) has been consolidated BBC, the bilinear modelling rep-
excluded from this area because analytic solutions resented by curve 1 in Fig. 1 implies that Au, = 0
presented subsequently leave little uncertainty in the outer elastic soil and Au, = 1.8k in the
regarding predictions in this segment. Therefore, plastic soil. Compared with values of AU shown
the shaded area in Fig. 2 identifies locations in Fig. 2, the contribution of Au, to the excess
where reliable predictions of A0 are difficult to pore pressures caused by penetration, Au (=Aa
achieve in view of analytic simplifications in the + Au,), is relatively high in two zones. The first is
estimated deviatoric stresses Si (see Baligh, 1986) in the outer plastic soil near the elasto-plastic
and ,also because of numerical errors. These boundary where the relative importance of Au, is
errors are magnified by the high gradients near magnified by imperfect modelling of Au, involving
the tip and the numerical spatial differentiation a jump discontinuity at E, z 0.4%, see Fig. 1.
required to calculate the functions g,, gZ and g The second zone is close to the shaft at a sufli-
from estimated values of Si cient distance behind the tip, z 2 20R, where the
In spite of imperfections, the results in Fig. 2(b) ratio AuJAu near the pile wall (r x R) is about
are presented to make three important observa- 37%.
tions.

(4 Octahedral stresses based on strain path solu-

tions are not unique. In terms of analysis, a EFFECTS OF SOIL NON-LINEARITY AND
20% discrepancy is enormous and improve- INELASTICITY
ments are still needed to achieve more reliable Non-linearity before yield
results. Figure 3 shows predictions during simple pile
(b) Numerical solutions of penetration problems penetration in a hyperbolic soil initially subjected
are highly susceptible to numerical errors and to isotropic stresses. As in Fig. 2(a), Fig. 3(a) pre-
thus require special care and should prefer- sents predictions of Aa obtained by satisfying
ably be checked by means of analytic solu- equilibrium in the radial direction, equation (4)
tions. Even though a radial resolution of O.lR but when the deviatoric behaviour of the iso-
and a vertical resolution of 0.02R were uti- tropic soil is described by the hyperbolic relation-
lized to obtain results in Fig. 2(b), substantial ship in equation (9) with G,Jk = 20, k = 5,/3
errors are introduced by the double differen- and G,,JG,,, = 50. Fig. 3(b) shows predictions
tiation required to calculate the function g (in of Au, according to equation (8) with B, = 160

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 UNDRAINED DEEP PENETRATION 493

r/rp For the soil parameters considered, the magni-

4-o 2.0 0 2;O 4.0 tudes of Aa and Au, are roughly the same along
,/R
., *
the contour lines corresponding to O.Sk in Fig. 3.
620 10 0 10 20
6 This contour extends to 10R ahead of the tip and
to more than 15R around the shaft. Inside this
contour, Ao is higher than Au,. Hence, in predict-
4 4 ing and/or interpreting Au (= Aa + Au,) close to
i Y) the pile, primary consideration should be given to
i
8 a Au. However, outside this contour, Au, exceeds
2 2 Au. In the far field, the strains are small, Au, is
proportional to the pore pressure parameter B,
(see equation (8)) whereas Ao depends on the cur-
0 0 vature of the stress-strain curve as expressed by
the ratio GmaJGmin. Results in Fig. 3 correspond
to B, = 160 and G,,JG,i, = 50. Lower values of
B, and/or higher values of G,,JGmin will cause a
reduction in the predicted values of AuJAa (or
AuJAu).
At a sufficiently large distance behind the pile
tip (z > lOR, say) mild changes in Aa and Au
occur vertically. The radial distributions of Aa
and Au around the shaft calculated at a vertical
distance z = 1OOR are illustrated by the upper
part of Fig. 3 and indicate that, at the pile wall,
AuJAu x 25%. This ratio is smaller than
AuJAu x 37% obtained earlier for the bilinear
model and is due to differences in predicted
values of ACT(compare Figs 2(a) and 3(a)). Predic-
tions of Aa along the shaft are particularly sensi-
-201 ” 1 tive to inelastic behaviour of the soil as explained
4.0 2.0 0 2.0 40 later.
ia MP 0

Fig. 3. Simple pile penetration in hyperbolic soil: (a) Soil inelasticity

octahedral stress increments; (b) shear-induced pore pres- Inelastic soil behaviour comes into play during
sures steady simple pile penetration primarily because
the soil is not monotonically strained and some
and B, = 0.6. These parameters provide a reason- strain components involve reversals. Baligh (1986)
able fit of the same triaxial test data on normally discussed inelastic effects on soil shearing and
consolidated BBC utilized to obtain predictions showed that they influence the principal stress
for a bilinear soil described earlier. Therefore, by directions especially in the plastic soil behind the
examining results in Fig. 3 in light of Fig. 2(a), tip (i.e. at small values of 4).
the following effects of soil non-linearities before Inelastic effects on excess pore pressures AU
yield can be identified. occur due to the influence of inelastic behaviour
The magnitudes of Ao increase everywhere in on predictions of Au, and Ao. Inelastic effects on
the soil but remain proportional to k. Au, have been inherently neglected in this formu-
The size of the soil zone influenced by penetra- lation because Au, is related to the deviatoric
tion (i.e. where Au # 0) increases and abrupt strain E which, in the simple pile problem, is
changes and discontinuities are eliminated. In monotonically increasing. In general, Au, is not
particular, Au, varies smoothly around the pile strongly affected by reasonably small strain
and, in view of the simple formulation described reversals. However, inelastic effects on Aa can be
by equation (8) where Au, depends on E only, significant depending on the estimated principal
contour lines of Au, have the same shape as the directions (or the ratios S’,:S,:S,). According to
deviatoric strain E contours expressed in closed equation (4), maximum estimates of Aa are
form by Baligh (1984). obtained by means of cylindrical cavity expansion
Close to the pile, the magnitude of Au, is mar- solutions because they totally neglect inelastic
ginally affected by soil non-linearities because the effects and assume 8, = 8, = 0. For isotropically
selected value at large strain levels, Au, = l.Sk, is normally consolidated BBC, Baligh (1985b)
the same for the bilinear and hyperbolic models. showed that cavity expansion predicts Au = 4.6k

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 494 BALIGH

model and AU = 59k for a hyperbolic model. inelastic behaviour of the soil (including rp),
Clearly, these values are higher than the corre- which is not necessarily better simulated by the
sponding predictions Aa = 3.lk and Au = Mk hyperbolic model.
obtained by means of strain path solutions in
Figs 2(a) and 3(a) respectively.
Excess pore pressures
Inelastic effects are more significant in bilinear
Figure 4 presents excess pore pressure predic-
model predictions (3.lk compared with 4.6k) than
tions Au (= AU + Au,) during undrained simple
in hyperbolic model predictions (5.6k compared
pile penetration in normally consolidated BBC
with 59k) simply because in the hyperbolic model
initially subjected to isotropic stresses. Estimates
the selected value of the yield strain is larger
of Aa are calculated by satisfying horizontal equi-
(EY z 2% compared with 0.4%) and hence the
librium (as in Figs 2(a) and 3(a)). The results are
size of the plastic zone where inelasticity comes
based on the same soil parameters presented
into play is smaller (r,/R = (G,i,,/k)1’2 = 4.47
earlier corresponding to the measured behaviour
compared with t-,/R = (G/k)‘/* = 10). When the
of BBC in triaxial tests and are normalized by the
distributions of Ao around the shaft according to
consolidation stress a,, (= 3k).
cylindrical cavity expansion solutions are com-
pared with the strain path solution shown in the (4 The excess pore pressure Au at a soil element
upper part of Fig. 3(a), very close agreement is with normalized co-ordinates (r/R and z/R) is
achieved and slight differences occur only in the independent of the pile radius R. Hence, at the
plastic zone, rP > r > R (Baligh, 1985b). In pile-soil interface (or pile walls), Au is inde-
general, the larger the radius of the plastic zone, pendent of R and hence is not influenced by
r,, , the larger the discrepancies are between cavity scale.
expansion and strain path predictions of Ao due (4 At sufficiently large distances from the pile,
to inelastic effects. predictions of Au by means of the bilinear
In conclusion, the hyperbolic model provides model, Fig. 4(a), are significantly different
more reliable predictions of Ae than the bilinear from hyperbolic model predictions, Fig. 4(b).
model in the far field because it incorporates The latter are more reliable because, at small
more realistically soil non-linearities at small strain levels, the hyperbolic model incor-
strain levels. However, predictions of Aa close to porates soil non-linearities and provides a
the pile, especially far behind the tip (i.e. around more faithful description of shear-induced
the shaft), depend primarily on the assumed pore pressures.

‘- 20
10 10 20

(4 (b)

Fig. 4. Excess pore pressures due to undrained simple pile penetra-

tion in isotropically normally consolidated BBC: (a) bilinear model-
ling; (b) hyperbolic modelling

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 UNDRAINED DEEP PENETRATION 495

(4 At intermediate distances from the pile, the (150” < 4 < 180”) the soil is subjected to mono-
predictions of the two models are reasonably tonic shearing modes that are not very different
close, as can be seen by comparing the loca- from soil elements located under the pile centre
tion of the Au/a, contours in the range line (4 = lSO”). This section investigates stresses
0.61.5 in Figs 4(a) and 4(b). and pore pressures in this segment on the basis of
(4 Near the pile, the predictions of the two closed form expressions for the stresses and
models again exhibit noticeable discrepancies. strains under the centre line (4 = 180”) and evalu-
The differences are due to the predictions of ates the applicability of cavity expansion solu-
Acr only because, at large strains, the selected tions around penetrometer tips. All predictions
value of Au, is the same in both models. assume that the soil is initially subjected to iso-
(4 Far behind the tip (z > 20R) the excess pore tropic stresses.
pressures along the shaft (r = R) are given
by Au = 1.655, and Au = 2.5Z, according to Evaluation of spherical cavity expansion solutions
the bilinear model (with E, = 0.4%) and Spherical cavity expansion solutions were uti-
the hyperbolic model (with E, = 2% and lized as a basis for estimating the point capacity
GmaJGmin = 50) respectively. It should be of piles (Vesic, 1972, 1975, 1977), the effects of
noted that most of these excess pore pressures cone penetration on the surrounding soil
(63% for the bilinear and 75% for the hyper- (Torstensson, 1977) and other applications where
bolic model) are due to Aa and, for fixed information around penetrometer tips is of
values of E,, Au is proportional to k. Also, the interest.
undrained strength k increases significantly Baligh (1985a) compared soil deformations and
with OCR. strains caused by undrained spherical cavity
The relative contribution of AuJAu has special expansion with simple pile penetration in iso-
significance in the design and interpretation of in tropic saturated clays and showed that cavity
situ tests involving pore pressure measurements. expansion predictions are unacceptable behind
High values of AuJAu (or low As/Au) mean that the tip. However, when the radius of the spherical
Au measurements are primarily controlled by Au, cavity was equated to the pile radius, soil defor-
and hence can be utilized to estimate soil proper- mations ahead of the penetrometer exhibited
ties controlling Au, with an acceptable level of encouraging similarities. Therefore, comparisons
uncertainty. In contrast, low values of AuJAu with simple pile solutions along the centre line
mean that Au measurements are primarily con- ahead of the pile (4 = 180” or r = 0 and
trolled by Acr and hence should be utilized to z < -R/2) are conducted here to evaluate the
estimate soil properties controlling Aa. As an applicability of spherical expansion solutions to
illustration, consider the method proposed by penetration problems under the most favourable
Wroth (1984) to estimate OCR for a given clay conditions.
deposit from Au measurements on the shaft. The Under the centre line, the symmetry conditions
method is based on the fact that, at large strain and the assumed soil isotropy and incompress-
levels, Au, depends primarily on OCR. However, ibility require that, for both problems, a triaxial
the success of the method requires AuJAu to be compression mode of shearing is imposed. Hence,
sufficiently high and/or the effects of OCR on Au the soil strains are given by
to follow the same trends as Au,. The value of
AuJAu = 25-37% obtained earlier for normally &,I = b = -%,I2
consolidated BBC indicates that Au,/Au is not (11)
&zz = 2”‘E
sufficiently high to neglect the effects of Au during
penetration in clays especially in view of the fact
Also, the radial and tangential stresses are equal
that BBC is a lean sensitive clay with relatively
(u,, = ass) and the shear stress o,, and the devi-
high values of Au, compared with more plastic
atoric stress components S, and S, vanish (see
clays. Moreover, since k increases with OCR, it is
equations (2)). Therefore, in the outer elastic
clear from Figs 2 and 3 that Ao increases with
region, the deviatoric stresses are given by
OCR whereas Au, decreases with OCR. On the
pile shaft, this results in a weak dependence of Au
S = 2GE
measurements on OCR that does not lend itself
to a reliable interpretation (Baligh, 1985b). S, = 3S/2i” (12)
CONDITIONS AHEAD OF SIMPLE PILE IN azz- err = S,
ISOTROPICALLY CONSOLIDATED CLAYS
Baligh (1984) showed that in the 60” conical where the secant shear modulus G is constant for
segment A (Fig. 2) ahead of the simple pile a bilinear P-R model and can be calculated from

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 496 BALIGH

equation (9) for a hyperbolic model. Also, in the
plastic domain (E > EJ
S = (2/3)“%
S, = 3S/21i2
a zz - a,, = Si
Therefore, the distribution of strains and devi-
atoric stresses in the soil and the location of the
elastic-plastic boundary, zp (where E = E,), in
both problems depend on one parameter E, the
deviatoric strain under the centre line. The two
solutions coincide if and only if they give the
same distribution of E with depth 1z (.
After expansion of a spherical cavity of radius
R, the deviatoric strain E at a distance lzl from
the origin is given by (Baligh, 1985b)
E= -qlog.[l-($s]
However, the value of E at a distance lz( along
the centre line ahead of a penetrating simple pile
is given by (Baligh, 1985~)
E= -&log.[l-i&T]
Comparing equations (14) and (15), it is clear
that complete matching of the two solutions is
impossible. However, matching can be achieved
at one value of 1z 1depending on the choice of the
radius of the cavity in relation to that of the
simple pile. Equating the two radii matches the
solutions at 1z 1= 2.7R as shown in Fig. 5(a). At
large values of lz I/R, equations (14) and (15)
predict that E is proportional to I z I - 3 and z- ’
respectively, and hence the linear distributions in
this logarithmic plot. Fig. 5 also indicates the fol-
lowing aspects of spherical cavity expansion pre-
(13) dictions
(a) the strains in the near field close to the pile tip
(1z 1< 2.7R) are overpredicted
(b) the strains and the deviatoric stresses in the
far field (large values of 1z 1) are under-
predicted
(c) in a bilinear P-R soil with E, x 0.4% (or
G/k = lOO), the location of the elastic-plastic
boundary, !p, is underestimated (zp = 4.9R
compared with 6.6R).
The effects of zp on estimated stresses and pore
pressures are significant, and discrepancies
increase when the yield strain E, decreases. This
lzl>R (14) is illustrated in Fig. 5(b) showing the predicted
distributions of the deviatoric stress S ahead of a
simple pile in isotropically normally consolidated
BBC based on the corresponding distribution of
E in Fig. 5(a). Finally, spherical cavity expansion
predicts that, in the far field, stresses and strains
decrease in proportion to I z jm3and hence are not
,,I>; (15) compatible with a resultant force pushing the pile
(Fung, 1965).
In conclusion, the application of spherical
cavity expansion solutions to simulate penetra-
tion is conceptually inappropriate and can lead to
inadequate predictions of strains, stresses and
pore pressures in the soil. The continued use of
spherical cavity solutions in penetration studies is
therefore ill advised especially considering that
the implementation of the more reasonable

Normalized octahedral stress S/k

0 0.2 o-4 0.6 0.8 1

7
Octahedral strain E: % 1 Bilinear model
G/k = 100 or Ev = 0,4%
1 O-3 1 o-2 10~’ 1 10 102
-051 2 Hyperbolic model

G,,JG,,n = 50
G,,,lk = 20 or E, = 2%
_zp = 2.9R

0
0 0.4 0.8 1.2 16 2
Deviator stress o,, - u,,
(b)

Fig. 5. Predictions of soil shearing under the pile centre line: (a) deviatoric strain-
simple pile compared with spherical cavity expansion; (b) deviatoric stresses ahead of a
simple pile-bilinear compared with hyperbolic modelling

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 UNDRAINED DEEP PENETRATION 497

simple pile solution presented herein (equation (Torstensson, 1982; Battaglio, Jamiolkowski,
(15) instead of equation (14)) represents no addi- Lancellotta & Maniscalco, 1981; Gillespie &
tional complications. Campanella, 1981).
Table 1 summarizes predicted total stresses
Stresses ahead of pile under the tip of a simple pile (r = 0 and
Cylindrical expansion solutions have been uti- - cc, < z < -R/2) during penetration in iso-
lized in investigations of penetration effects tropically consolidated clays based on the solu-
around conical tips for estimating excess pore tions satisfying vertical equilibrium determined
pressures and other important parameters by Baligh (1985b). These results correspond to a

Table 1. Comparison of cylindrical cavity expansion solutions with stresses ahead of a simple pile

Under simple pile tip Cylindrical cavity expansion

Elastic domain* IZI >zp r > rp
zn = (32E”Z)-1’4R r, = (SE,‘)- 1’4R
R2
Deviatoric strain
E=n
1
;
E=l !!’
0 6”’ 0 r
Octahedral stress: bilinear u = cl0 u = u.
hyperbolic o=oo+kfK)

Vertical stress urr = u

Radial stress G R2 R2

Hoop (tangential) stress

urr = u - 4 0 T
G R2
u,,=u+
0 -
r
R2
uee=u- -
uge = u -4 0z Go r
Shear stress u.. = 0 urr = 0

Elasto-plastic boundary lzl= Z” r = r,

Deviatoric strain E = E, E = E,
Octahedral stress: bilinear up = u. up = 00
hyperbolic

Plastic domain RCr<r,

Octahedral stress
u=u +3’:‘klog.{;[l+2()1]} u = up + 2k log, 5r
P
0
Vertical stress urr = u
u,, = u + 1
31’2 k
Radial stress u,, = u + k

Hoop stress 1 u,=u-k

U,=U--_k
3112
Shear stress urr = 0 u,, = 0

Yield stress (strength) k = c,(DSS) = c,(PR)

k= j$ c,W)
* Yield strains: bilinear E, = (1/6l”)k/G; hyperbolic E, = (1/6”2)k/G,i,.
Tf(i) = IO&(1 + i-2) - (1 + C’)-‘*

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 498 BALIGH

P-R bilinear soil as well as a hyperbolic clay with atoric stresses S were presented earlier in
G,,,/G,,, 4 1. Table 1 also presents predictions Fig. 5(b). An examination of Fig. 6(a) indicates
based on cylindrical cavity expansion solutions the following aspects of penetration in a bilinear
described by Baligh (1985b). The distribution of soil initially subjected to isotropic stresses for a
the octahedral stress D ahead of the .nile. c versus given value of E, .
lz 1 (second column) exhibits some similarities
with D versus I (third column). Therefore, it might (a) All increments of stresses and pore pressures
be argued that conditions ahead of the pile are are proportional to the undrained shear
better simulated by cylindrical expansion than by strength k.
spherical expansion. However, results in Table 1 (b) In the outer elastic soil (1z) > zp; zp x 6.6R)
also indicate that the use of cylindrical cavity the octahedral stress does not change (Aa = 0)
expansion solutions for estimating penetration but cZZ increases and err ( =cee) decreases as
effects ahead of penetrometer tips requires signifi- the pile is approached. Also, by neglecting
cant modifications involving some stretching of shear-induced pore pressure in the elastic
the spatial co-ordinates (zp versus rp) and appre- zone (Au, = 0; curve 1 in Fig. 1) no excess
ciable stretching of the imagination. Further pore pressures Au ( = ACT+ AU,) develop in the
elaboration on the misuse of cylindrical expan- linear soil.
sion solutions in obtaining various predictions (c) At the elasto-plastic boundary (lzl = z,), the
around penetrometer tips is not deemed neces- deviatoric strain reaches the yield value (EY 7
sary. 0.4%) and the deviatoric stress S = (2/3)“‘k 1s
According to Table 1 and equations (8) and as shown in Fig. 5(b). In triaxial compression,
(15) Fig. 6(a) presents predictions of stresses and this means that the stress difference grz
pore pressures under the centre line of a simple - arr = 3”‘k or the undrained shear strength
pile penetrating a bilinear P-R clay with c,(TC) = (3l”/2)k, equation (13). Also, since
G/k = 100 and kfa, = l/3 and when AuJk = 1.8 the model assumes that Au, increases sud-
after yield. Fig. 6(b) shows the same predictions, denly from zero to 1.8k when the material
but for a hyperbolic soil with G,,Jk = 20, yields (curve 1 in Fig. l), a jump in the ratio
G,,JG,i, = 50, k/C, = l/3, B, = 160 and B, = Au/k = 1.8 occurs at 1z I = zp (curve 4 in
0.6. These parameters describe the undrained Fig. 6(a)).
shearing behaviour of normally consolidated (d) In the plastic soil close to the pile (lzl < .a,),
BBC as measured in the laboratory in iso- the octahedral stress 0 increases as the pile tip
tropically consolidated triaxial tests. It should be is approached. Also, by assuming Au, = 1.8k
recalled that the soil ahead of the pile is subjected after yield, the excess pore pressure Au
to a triaxial compression mode of shearing (Q,, = (curve 4 in Fig. 6(a)) is parallel to Acr (curve 2)
u,,@ and urr = 0) and that distributions of devi- such that the difference Au - A0 = 1.8k.

Normallzed stress Normallzed stress

-5 0 5 10 15

Curve 1. Aa,,lk
CUrve 2,Aalk
CUrVe 3,AuJk
Curve 4,Aulk

(a) ib)
Fig. 6. Predictions of stresses and pore pressures ahead of a simple pile during
undrained penetration in isotropically consolidated clays: (a) bilinear soil; (b) hyperbolic
soil

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 UNDRAINED DEEP PENETRATION 499

Finally, in addition to the undrained strength (z = -R/2 and r = 0) the strains are large
k, stresses and pore pressures depend on the yield
strain E, (or the stiffness ratio G/k) because it AU
-=$NN,fB,
controls the extent of soil yielding ahead of the 00 co
pile. Soils with ET lower than 0.4% (or G/k higher
at the pile tip, where the tip octahedral stress
than 100) will yield to a distance zp larger than
factor N, for a bilinear soil is given by
indicated by Fig. 6(a). Moreover, m the plastic
soil, all solutions in Fig. 6(a) simply become N, = -1.3 - 3”* log, E, (17)
shifted downwards by an amount equal to the
change in zp,. The jump in Au remains at 1z 1= zp. and for a hyperbolic soil with G,JG,,, @1
The predictions of the hyperbolic model are
shown in Fig. 6(b). Compared with the bilinear N, = - 1.3 - 3l’* log, E, + $ log,
model predictions in Fig. 6(a), the following dif-
ferences due to soil modelling are noted.
(18)
All stresses and pore pressures are smooth. The dependence of the shear-induced pore press-
The extent of the plastic zone is smaller (zp = ure factor B, and the undrained shear strength k
2.9R instead of 6.6R) because the assumed on the overconsolidation ratio OCR of un-
yield strain E, is larger (G,,,,/k = 20 instead of cemented clays obeying normalized behaviour are
G/k = 100). However, in the plastic zone, the discussed by Baligh (1985b) and, for
functional dependence (or changes) of stresses 1 < OCR < 10, can be reasonably well estimated
and pore pressures on z/z, is the same as for by the expressions
the bilinear soil, Table 1.
Significant excess pore pressures Au develop
in the elastic soil and the zone influenced by ; = F (OCR) (19)
penetration extends deeper under the tip. This
identifies the importance of soil non-linearity 1 - B, = (1 - B,(NC))(OCR) (20)
(rather than its inelasticity) on predictions of
where k(NC) and B,(NC) are the values of k and
Au ahead of the tip. It also indicates that pre-
B, for a normally consolidated soil (OCR = 1)
dictions of Au = 0 obtained by the bilinear
respectively.
model in the outer soil are intimately related
to the assumed linearity of the soil before Contribution of shear-induced pore pressures
yield (see curve 2 in Fig. 6(b)) and neglect of The contribution of shear-induced pore press-
shear-induced pore pressures (note the differ- ures at the tip, Au,, is described by the second
ence between curves 4 and 2 in Fig. 6(b)). term in equation (16). Substituting BBC par-
In contrast, the following predictions exhibit ameters in equations (16H20) for undrained tri-
little sensitivity to soil modelling axial compression from isotropic conditions
(k(NC)/a, = f B,(NC) = 0.6 and n = 0.8), it can
(a) stresses and pore pressures at the pile tip be shown that
(z = -R/2): differences in Au are about 10%
(a) for normally consolidated BBC (OCR = l),
(b) the distribution of excess pore pressures Au
the ratio AuJAu = 14% and Au,/Au = 21%
close to the pile tip: this distribution controls
when the yield strain E, = 0.1% and E, = 1%
partial drainage during penetration, if any.
respectively
From an analytical point of view, insensitivity (b) at OCR z 3, the ratio Au,/Au z 0 because, at
of predictions generates little interest and is rarely this OCR, shear-induced pore pressures at
appreciated. However, in engineering applications large strain levels are negligible
(e.g. in the interpretation of penetration measure- (c) at OCR = 10, the ratio AuJAu = - 12% and
ments) the weak dependence of predictions on Au,/Au= -23% for E,= 1% and E,=5%
secondary soil parameters and other factors that respectively.
cannot be measured and/or estimated reliably has Therefore, in the range 1 < OCR < 10, the
enormous practical value. It minimizes uncer- relative contribution of Au, to the tip pore
tainties in rational interpretations and reduces pressure in BBC is generally small and typically
the scatter in empirical correlations. less than 20%. This result is expected to hold for
other clays obeying normalized behaviour
TIP PORE PRESSURES because few sedimentary clays will have proper-
Using equations (1) and (8) as well as the ties outside the ranges k(NC)/a, = 5 (_+20%),
results in Table 1 and noting that at the pile tip B,(NC) = 0.6 (+40%) and n = 0.8 (*20%).

Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
 500
Most of the uncertainties in estimating AuJAu in
a given deposit are in selecting adequate values
for the yield strain E, (= k/6l/‘G), especially in
view of rate effects and soil anisotropy which are
neglected in this study.
Effects of soil non-linearity and inelasticity
The soil ahead of the pile (150” < 4 < 180”) is
basically subjected to a triaxial compression
mode of shearing and involves no unloading.
Therefore, predictions depend essentially on soil
non-linearity as expressed by the ratio G,,JGmin .
A comparison of equations (17) and (18) indicates
that the bilinear model provides the same predic-
tions as the hyperbolic model if the shear
modulus G before yield is selected according to
the exnression
B clays with OCR < 10 and is negligible when
G = uG,,,~,
\“min/
where a = 0.51 and /I = 5. For predicting the tip
pore pressure, equation (21) provides a rational
method of selecting a single representative value
of G from a curved stress-strain plot. More sig-
nificantly, however, in the interpretation of tip
pore pressure data during simple pile penetration,
equation (21) identifies the relevant soil stiffness
affecting measurements. For BBC, triaxial com-
pression data were fitted by means of a hyper-
bolic model with G,i Jk = 20 and G,,.JG,i, = 50
to obtain the predictions in Figs 3, 4 and 6. Sub-
stituting into equation (21), the equivalent linear
model stiffness is G/k = 138. This is slightly
higher than G/k = 100 selected from the same
laboratory data on the basis of engineering judge-
ment to obtain the bilinear model predictions in
Figs 2,4 and 6. The difference explains the slight-
ly lower predictions of Au at the tip (z = -R/2)
in Fig. 6(a) compared with Fig. 6(b).
Values of the coefficients CL= 0.51 and fl = 3
apply to tip pore pressures but not necessarily to
other aspects of deep penetration. For example,
by matching the bilinear and hyperbolic model
predictions of pore pressures along the pile shaft
on the basis of cylindrical cavity expansion solu-
tions (Table 1) u = 0.37 and B = 1, i.e. G =
0,37G,,, . This represents a significantly higher
stiffness than is required for tip pore pressure
matching.
CONCLUSIONS
Undrained deep penetration in saturated clays
develops excess pore pressures Au in the soil
where the strain levels are sufficiently large to
cause a significant deviation from linear behav-
iour. No excess pore pressures develop in the
outer soil where linear isotropic (and hence
elastic) response may be assumed. This result pro-
vides valuable analytical simplifications and
Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
BALIGH
establishes a reasonable and comprehensive defi-
nition of the zone of influence or the area of soil
disturbance due to penetration. Results presented
herein for undrained simple pile penetration indi-
cate the following.
The pile radius R has no effect on the magni-
tudes of excess pore pressures Au at the pile-soil
interface (i.e. at the pile wall). For rate-sensitive
(viscous) soils, this result applies when the ratio of
penetration velocity to pile radius (U/R) is
unchanged.
Close to the pile, excess pore pressures Au are
principally due to an increase in the octahedral
stress Ac because the contribution of shear-
induced pore pressures Au, is secondary. At the
pile tip, the ratio AuJAu is less than 20% for
OCR = 2-3. Hence recent attempts to utilize Au
measurements to estimate the overconsolidation
ratio of clays by means of correlations between
OCR and Au, are not likely to succeed without a
thorough understanding of various factors affect-
ing Aa and their formulation in comprehensive
prediction methods.
The penetration resistance of blunt penetrom-
eters is also primarily controlled by the increase
in octahedral stresses. Values of Au are deter-
mined by equilibrium considerations and predic-
tions depend on the magnitudes of the deviatoric
stresses Si and their distribution around the pen-
etrometer. The deviatoric stresses depend on the
shearing behaviour of the clay at all strain levels
but Aa at the pile tip depends primarily on the
shear strength at relatively large strains. Predic-
tions of Ac presented herein are based on approx-
imate expressions for Si obtained by Baligh (1986)
for undrained simple pile penetration in isotropic
clays. Hence, predictions of Ao are approximate
and also involve uncertainties due to numerical
calculations. The notable exceptions are far field
solutions that are proven exact and unique when
linearity of the isotropic soil is assumed.
At the pile tip, closed form expressions for Au
presented herein are most reliable and useful
because they are not sensitive to many compli-
cated aspects of soil behaviour (e.g. inelasticity,
anisotropy, principal stress rotation effects). These
results indicate that Aa is proportional to the
undrained strength k of the clay in triaxial com-
pression. Furthermore, the octahedral stress
factor at the tip, N, (= Au/k), is inversely pro-
portional to the logarithm of the yield strain, i.e.
log E,. A tenfold increase in E, decreases N, by
about 4.
Spherical cavity expansion solutions are
nowhere applicable during pile penetration and
should therefore be abandoned as a tool for esti-
mating penetration effects. Also, the use of cylin-
 UNDRAINED DEEP
drical cavity expansion solutions to analyse soil
conditions around penetrometer tips is ill advised
and unnecessary in view of the availability of
simple pile solutions.
Around pile shafts, cylindrical cavity expansion
solutions can provide reasonable estimates of the
soil conditions in the far field, where inelastic soil
behaviour is negligible. Near the shaft, cylindrical
,expansion solutions can be used bearing in mind
that they tend to overpredict Au because they
neglect the effects of the strain history on the
principal stress directions of inelastic soils.
ACKNOWLEDGEMENTS
The Author is indebted to the Aisha Youssef
Foundation for supporting this research over
the last ten years and to his former students
and friends Drs A. Azzouz, J. N. Levadoux,
V. Vivatrat, M. Kavvadas and M. Morrison for
crystallizing and validating the concepts
described in this study. Special thanks go to C. T.
Chin, A. Whittle and M. Elghaib, graduate stu-
dents at Massachusetts Institute of Technology,
for their efforts and patience in preparing and
checking the contents of this Paper.
REFERENCES
Baligh, M. M. (1984). The simple-pile approach to pile
installation in clays. Proc. Specialty Session New
Dewlopments in Numerical Methods for Pile Founda-
tions, San Francisco, pp. 31&330. New York: Amer-
ican Society of Civil Engineers.
Baligh, M. M. (1985a). Strain path method. J. Geotech.
Engng Diu. Am. Sot. Ciu. Engrs 111, GT9, 1108-
1136.
Baligh, M. M. (1985b). Fundamentals of deep penetra-
tion: II, pore pressures. Research Report R85-10,
Order No. 777, Department of Civil Engineering,
Massachusetts Institute of Technology.
Baligh, M. M. (1985~). Fundamentals of deep penetra-
tion: I, soil shearing and point resistance. Research
Report R85-9, Order No. 776, Department of Civil
Engineering, Massachusetts Ins&e of Technology.
Balieh. M. M. (1986). Undrained deep penetration, I:
shear stressed. G&technique 36, No.&4,-471485.
Battaglio, M., Jamiolkowski, M., Lancellotta, R. &
Maniscalco, M. (1981). Piezometer probe test in
cohesive deposits. Proc. Symp. Cone Penetration
Testing and Experience, St Louis, pp. 264-302. New
York: American Society of Civil Engineers.
Downloaded by [ Imperial College London Library] on [15/09/16]. Copyright © ICE Publishing, all rights reserved.
PENETRATION 501
Campanella, R. G., Gillespie, D. & Robertson, P. K.
(1982). Pore pressure during cone penetration. Proc.
2nd Eur. Symp. Penetration Testing, Amsterdam, pp.
507-512.
Chin, C. T. & Whittle, A. J. (1984). The use of ADINAT
to solve a Poisson equation: the solution of the octa-
hedral stress jield caused by penetration of a 2-D
axisymmetric indenter. Unpublished project. Massa-
chusetts Institute of Technology.
Fung, Y. C. (1965). Foundations of solid mechanics.
Englewood Cliffs: Prentice Hall.
Gillespie, D. & Campanella, R. G. (1981). Consolidation
characteristics from pore pressure dissipation after
cone penetration. Soil Mech. Ser., No. 47, Depart-
ment of Civil Engineering, University of British
Columbia.
Henkel, D. J. (1960). The relationships between the
effective stresses and water content in saturated
clays. Gtotechnique 10, No. 1,41-54.
Jamiolkowski, M., Ladd, C. C., Germaine, J. T. & Lan-
cellotta, R. (1985). New developments in field and
laboratory testing of soils. Proc. 11th Int. Conf. Soil
Mech. Fdn Engng, San Francisco, pp. 57-153.
Ladd, C. C. & Varallyay, J. (1965). The influence of
stress system on the behavior of saturated clays during
undrained shear. Publication No. R65-11, Depart-
ment of Civil Engineering, Massachusetts Institute
of Technology.
Levadoux, J. N. & Baligh, M. M. (1980). Pore pressure
during cone penetration. Research Report R80-15,
Order No. 666, Department of Civil Engineering,
Massachusetts Institute of Technology.
Skempton, A. W. (1954). The pore-pressure coefficients
A and B. Giotechnique 4, No. 4, 143-147.
Sokolnikoff, I. S. (1956). Mathematical theory of elas-
ticitv. 2nd edn. D. 76. New York: McGraw-Hill.
Torster%on, B. A. i1977). The pore pressure probe. Nor-
diske Geotekniske Mote, Oslo, Paper 34, pp. 34.1-
34.15.
Torstensson, B. A. (1982). A combined pore pressure
and point resistance probe. Proc. 2nd Eur. Symp.
Penetration Testing, Amsterdam.
Vesic, A. S. (1972). Expansion of cavities in infinite soil
mass. J. Soil Mech. Fdns Div. Am. Sot. Civ. Engrs 98,
SM3,265-290.
Vesic, A. S. (1975). Principles of pile design. Lecture
Series on Deep Foundations. Boston Society of Civil
Engineers and American Society of Civil Engineers.
Vesic, A. S. (1977). Design of pile foundations. National
Cooperative Highway Research Program Synthesis
of Highway Practice No. 42.
Wroth, C. P. (1984). The interpretation of in situ soil
tests. 24th Rankine Lecture. GCotechniaue 34, No. 4,
449489.