Journal of Rock Mechanics and Geotechnical Engineering 9 (2017) 1152e1158

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Geotechnical Engineering
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Full Length Article

Proposals of SPT-CPT and DPL-CPT correlations for sandy soils in Brazil

Mirella Dalvi dos Santos*, Kátia Vanessa Bicalho
Universidade Federal do Espírito Santo, Vitória, Brazil

a r t i c l e i n f o a b s t r a c t

Article history: Field tests in geotechnical engineering are fundamental for identification of the underground conditions.
Received 23 January 2017 The standard penetration test (SPT) is the most commonly used geotechnical approach. There has been
Received in revised form an increase both in the use and application of the in situ tests: cone penetration test (CPT) and dynamic
3 May 2017
probing (DP). Several empirical SPT-CPT and dynamic probing light (DPL)-CPT correlations for sandy soils
Accepted 20 August 2017
Available online 16 October 2017
have been discussed in the literature. New SPT-CPT and DPL-CPT correlations for the sandy soils of the
city of Vitoria, in the southeast of Brazil, are suggested in this paper. Statistical analyses to evaluate the
quality of the data used are performed, and the suggested correlations are validated with several pre-
Keywords:
Standard penetration test (SPT)
vious published datasets. The paper also provides some insights into SPT-CPT correlations and soil
Cone penetration test (CPT) characteristics (i.e. the mean particle size and the fines fraction of the soil).
Dynamic probing light (DPL) Ó 2017 Institute of Rock and Soil Mechanics, Chinese Academy of Sciences. Production and hosting by
Correlations Elsevier B.V. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/
Sands licenses/by-nc-nd/4.0/).
Statistical evaluations

1. Introduction SPT, CPT and DP measure different types of penetration indices.

The standard penetration test (SPT) is the most commonly
used geotechnical test, as there is an extensive database to esti-
mate the soil’s resistance parameters from its result (i.e. the N-
value or NSPT). The use and application of in situ tests such as the
cone penetration test (CPT) and the dynamic probing (DP) have
increased continuously.
In the region of Vitoria in Brazil, the focus of this study, it is
common to use the DP in quality control of compaction of fills
(Bicalho et al., 2002). The International Society of Soil Mechanics
and Foundation Engineering (ISSMFE) recognizes four types of
probes: dynamic probing light (DPL), dynamic probing medium
(DPM), dynamic probing heavy (DPH) and dynamic probing super
heavy (DPSH) (ISSMFE, 1989). The main differences among these
probes are the hammer mass, the fall height and the cone tip
diameter. Results are given directly in blow count e NDPL, NDPM,
NDPH or NDPSH e or indirectly by calculating the dynamic point of
resistance, qd.
* Corresponding author.
E-mail address: mirelladalvi@gmail.com (M.D. dos Santos).
Peer review under responsibility of Institute of Rock and Soil Mechanics,
Chinese Academy of Sciences.
SPT-CPT and DPL-CPT empirical correlations for cohesionless soils
have been extensively studied over the past 50 years
(Schmertmann, 1970; Robertson et al., 1983; Kulhawy and Mayne,
1990; Czado and Pietras, 2012; Souza et al., 2012) and are widely
used in foundation design. Some of these correlations do not have
well-defined statistics or are proposed from earlier standardiza-
tions. Thus, their use requires judgment and caution, as they must
be used only under certain defined soil and procedure conditions.
This paper proposes SPT-CPT and DPL-CPT correlations for the city
of Vitoria, in the state of Espirito Santo, southeast of Brazil. It also
investigates the influences of the mean particle size (D50) and fines
fraction of the soil or fine content (FC in %) on SPT-CPT correlations
using an external dataset.
2. Previous SPT-CPT and DPL-CPT correlations
Correlations involving the point resistance of the CPT (qc) and N-
value for sandy soils are the most frequently discussed correlations
in the literature. Most of these correlations do not have the inter-
cept and thus can be written in Kc form, where Kc is the ratio of qc to
N-value. Table 1 presents some of these correlations. Although they
are well-cited in the literature, several of these correlations are
based on N-values from earlier procedures or are not standardized.
Furthermore, some of these correlations do not present complete

https://doi.org/10.1016/j.jrmge.2017.08.001
1674-7755 Ó 2017 Institute of Rock and Soil Mechanics, Chinese Academy of Sciences. Production and hosting by Elsevier B.V. This is an open access article under the
CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).
 M.D. dos Santos, K.V. Bicalho / Journal of Rock Mechanics and Geotechnical Engineering 9 (2017) 1152e1158 1153

Table 1 affected by the transgression/regression marine phenomena that

Main features of the SPT, CPT and DPL equipment used.
Test type Main features
SPT Pin guided safety hammer operated with steel cables
CPT Mechanical cone of 100 kN capacity operated with rack system
and two manual handles. qc given for each 250 mm
DPL Hammer of 10 kg mass, fall height of 230 mm, tip of 28.6 mm in
diameter. DPL N-values given for each 200 mm
information about the equipment, test procedures or statistical
method used.
Another well accepted correlation in the literature is the one
proposed by Robertson et al. (1983). It suggests that by increasing
D50, Kc also increases. Chin et al. (1988) argued that the fine content
is a better parameter to measure Kc, as it is more convenient and
easier to obtain in a single sieve, while D50 requires a tedious and
complete sieve analysis. Kulhawy and Mayne (1990) expanded the
previous database and observed a large scatter in Kc and D50 data
pairs. Correlations with D50 and FC were proposed.
DPL-CPT correlations, on the other hand, were less frequently
discussed in the literature. Although in DPL and SPT, the procedure
is dynamic and the result is given in blow count, there is strong
evidence that the NDPL correlates better with the CPT (Lingwanda
et al., 2015). In some publications, NDPL is directly correlated with
qc: Ke0 ¼ qc /NDPL ¼ 0:1 (Martins and Miranda, 2003) and 0.46
(Lingwanda et al., 2015). When considering NDPL, one should be
aware that this parameter is conditioned to the fall height and the
hammer mass. Thus, using qd is more appropriate. Correlations
between the two resistance points, qd and qc, are found in
Waschkowski (1983), which suggested that the cone resistance of
CPT is equivalent to that of DP (Ke ¼ qc/qd ¼ 1). In Gadeikis et al.
(2010), medium Ke varies from 1.3 to 2.5 when using DPSH in
sands with different relative densities; whereas in Czado and
Pietras (2012), which uses DPH in Polish sandy soils, Ke ¼ 1.15 and
the range is 0.5e2.3.
3. Materials and methods
The investigated shallow subsoil stratum is composed of
approximately 6 m of clean sand with varied relative density.
Typical soil formation of the coast of the city of Vitoria has been
occurred in the Quaternary period (Bungenstab and Bicalho,
2016).
Approximately 12 SPT, 6 CPT and 20 DPL boreholes were drilled.
Data pairs were chosen with a maximum distance of 1.8 m. Table 2
presents the main features of the equipment and procedures used.
Each test collected results in different ranges, and Fig. 1 shows how
measurements equivalency was taken.
Fig. 2 presents the variation of the standard deviation, and the
coefficient of variation (Cv) of the SPT, DPL and CPT results obtained
for the shallow sandy soils with depth increase. This information
helps us evaluate the quality of the data used. In SPT, these statis-
tical parameters are larger than those in DPL and CPT, which is
probably due to the fact that the SPT has a larger operator’s influ-
ence on its procedure. DPL and CPT results have a minor variation
and standard deviation, up to 5 m of depth. Thus, the soil can be
characterized as heterogeneous.
Fig. 3 presents the grain size distribution curves for the soil of
Vitoria obtained by SPT (indicated as SP), and undisturbed samples
(indicated as Am) of the investigated site. The correlations obtained
vary from superficial fine to medium sands with different relative
densities, the mean particle size (D50) varies from 0.3 mm to
0.7 mm (standard deviation ¼ 0.1 mm), and the percentage by
weight of fines ranges from 0.3% to 3%.
In an effort to investigate the influence of the D50 variation on
SPT-CPT correlations, a dataset was created using the experimental
data for sands from Vitoria and different sand results from six
previous published correlations (Robertson et al., 1983; Burland
and Burbidge, 1984; Folque, 1988; Viana da Fonseca, 1996; Mayne,
2006; Lingwanda et al., 2015). Since the sands of Vitoria are
defined as clean sands (FC < 5%), the influence of FC on SPT-CPT
correlations was investigated using datasets of previous studies
(Lacroix, 1971; Sanglerat, 1972; Viana da Fonseca, 1996; Mayne,
2006; Ahmed et al., 2014; Lingwanda et al., 2015).
Some previous studies indicate that the Brazilian SPT has an
efficiency of about 70%e80% (Belincanta and Cintra, 1998; Schnaid
and Odebrecht, 2012). Hence, assuming a 75% field efficiency for
the Brazilian tests, the NSPT values were standardized as 60%
(ISSMFE, 1989).
The linear regression model is the statistical tool most
commonly used to obtain correlations between two variables. It is
composed of an independent variable (x) and a dependent variable
(y). The relationship between x and y is indicated by the regression
coefficient:

Table 2 y ¼ a þ bx þ ei (1)
Some previous published SPT-CPT correlations.
where a is the intercept, and ei is the residual and represents the
References Kc (MPa) Remarks
deviation between the observed and predicted values of y.
Schmertmann (1970)* 0.23 Fine to medium sands (Florida, USA) The correlations investigated in this paper do not include the
Lacroix (1971)* 0.576 FC ¼ 8%e14%
intercept (coefficient a in Eq. (1)). Therefore, the SPT-CPT corre-
0.768 FC < 8%
Folque (1988) 0.4e0.45 D50 ¼ 0.2e0.6 mm lations have the format as shown in Eq. (2). When the DPL results
Danziger (1982)* 0.6 Sands (Rio de Janeiro, Brazil) are in blow count or in dynamic point of resistance, DPL-CPT
Ramaswamy et al. (1982)* 0.5e0.7 Sands correlations are given in two forms using NDPL (Eq. (3)) and qd
Burland and 0.3e1.3 D50 ¼ 0.2e0.6 mm
(Eq. (4)):
Burbidge (1984)
Viana da Fonseca (1996) 0.5e0.9 Residual soil with weak cementation
(Portugal); D50 ¼ 0.2e0.6 mm Kc ¼ NSPT =qc (2)
Acka (2003) 0.47 Sandy deposit with strong cementation
(United Arab Emirates)
Mayne (2006) 0.438 Sands (Canada, Japan, Norway, China Ke0 ¼ NDPL =qc (3)
and Italia); D50 ¼ 0.35  0.23 mm
Ahmed et al. (2014) 0.508 Clean sands to sandy silts; FC ¼ 3%e35%
Lingwanda et al. (2015) 0.37 Clayey and silty sands (Tanzania);
Ke ¼ qd =qc (4)
D50 ¼ 0.38 mm
Shahri et al. (2014) 0.568 Sweden sands The Dutch formula (Wiesner, 1982) is commonly used to convert
Note: *SPT efficiency is not specified. the NDPL, obtained in field, into qd. This formula is written as
1154 M.D. dos Santos, K.V. Bicalho / Journal of Rock Mechanics and Geotechnical Engineering 9 (2017) 1152e1158

Fig. 1. Results comparison: (a) SPT-CPT and (b) DPL-CPT.

Fig. 2. Statistical analysis of the used data for sands of Vitoria: (a) Standard deviation and (b) Coefficient of variation.

histograms of the residuals were used to evaluate the distribution.

In this case, the histogram must have a Gaussian shape (bell format)
MgHNDPL M
qd ¼ (5) to validate the normal distribution.
As M þ M0 Many researches have evaluated the correlation by the coeffi-
cient of determination (R2). However, it is known that even
where M is the hammer mass, g is the gravity acceleration, H is the
nonlinear relationships can have a high R2. Therefore, although R2
fall height, A is the cone tip area, s is the penetrated interval
may be present, it is not a decision-maker parameter. In this pa-
(200 mm in that case), and M 0 is the stems mass.
per, the validation of a correlation relies on the residuals’ distri-
The coefficients Kc, Ke0 and Ke were obtained using the ordinary
bution and on the root mean squared error or residual (RMSE),
least square method, which relies on the hypothesis that the re-
presented as
siduals have normal distribution: mean zero and constant variance
(homoscedasticity). This premise was verified through the Kol- qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Xn
1 2
mogoroveSmirnov (KS) and the Shapiro Wilk (SW) adherence RMSE ¼ i¼1 i
ðby  yi Þ (6)
tests. These tests give a p-value to be compared with the signifi- N
cance level, chosen as 5% in this study. Graphically, the frequency
 M.D. dos Santos, K.V. Bicalho / Journal of Rock Mechanics and Geotechnical Engineering 9 (2017) 1152e1158 1155

Fig. 3. Grain size distribution curves of the tested sands of Vitoria.

where N is the number of data points, and b y i is the estimated value
using Eq. (1). RMSE values closer to zero indicate that the proposed
correlation is valid.
Data were considered as outliers if they were out of the 95%
confidence level bands. In those cases, bad points were removed
and the whole analysis was redone.
4. Results and discussion
4.1. SPT-CPT correlations
The linear regression from 36 data pairs of NSPT (blows/
300 mm) and qc (MPa) for the sands from Vitoria obtained a
Kc ¼ 0.43. As shown in the confidence bands plotted in Fig. 4a, two
outliers must be removed, obtaining a Kc ¼ 0.44 (Fig. 4b). In this
case, R2 is 86% (strong) and the residuals could be described in a
normal distribution, as the p-value in SW test is 0.6 and in KS test
is 0.16, both superior to the 5% of significance. The RMSE value is
0.58, indicating that the correlation is valid and the coefficient is
consistent.
This Kc is similar to the coefficient shown in Table 2, determined
by Danziger (1982), Ramaswamy et al. (1982), Burland and
Burbidge (1984), Folque (1988), Acka (2003) and Mayne (2006) -
valid up to a 6.3 m depth, qc to 25 MPa and NSPT to 44 blows.
Robertson et al. (1983) did not propose a numerical correlation
between D50 and Kc, and neither did they investigate the residuals’
distribution. In an effort to propose a valid correlation, 39 data
points were read using the Datathief program. In the KS test, the p-
value is 0.002 and in the SW test, it is 0.23. Martins (2007) sug-
gested that the SW test should not be used for samples size up to 30
data. This shows that there is evidence that the correlation is
invalid, probably because the N-values used in Kc are not stan-
dardized, which increases the dispersion.
By choosing only Kc where the N-value’s efficiency is equal to
60%, results are more satisfactory, p-value in the KS test is 0.91 and
in the SW test, it is 0.4. In this scenario, Eqs. (7) and (8) are pre-
sented. In the linear regression (Eq. (7)), R2 is strong and equals 88%,
and RMSE value is 0.06. In the power relationship (Eq. (8)), RMSE
value is 0.04. These results indicate that the correlations are
consistent.

Fig. 4. SPT-CPT scatter plot for sands of Vitoria: (a) All data and (b) Filtered data.
1156 M.D. dos Santos, K.V. Bicalho / Journal of Rock Mechanics and Geotechnical Engineering 9 (2017) 1152e1158
Fig. 5. Variations of Kc (MPa) with D50 (mm) for different sandy soils.
Kc ¼ 1:3D50
Kc ¼ 0:7D0:25
50
Comparison between the obtained results for the sands of
Vitoria and previous studies (Robertson et al., 1983; Kulhawy and
Mayne, 1990) showed a good agreement (Fig. 5). The results
correlate well with the Kc-D50 correlation defined by Eq. (8). D50 in
this study ranges from 0.2 mm to 0.6 mm. More Kc-D50 data would
help finding a more reliable correlation, since only a limited dataset
was available (i.e. 10 Kc-D50 pairs).
According to Chin et al. (1988), the percentage of fines (FC) is
inversely proportional to the Kc values. The percentage by weight of
fines in the soils of Vitoria ranges from 0.3% to 3%, with a medium
FC of about 1.25%. Replacing these values in Chin et al. (1988)’s and
Kulhawy and Mayne (1990)’s correlations gives the results as
shown in Table 3. The Chin et al. (1988)’s proposal is for a 55% SPT
efficiency, so it is written as Kc,55. When standardized for a 60% SPT
efficiency, the coefficient is Kc,60. The Kulhawy and Mayne (1990)’s
proposal used the standard efficiency of SPT and therefore it is not
modified.
Notably, Kc ¼ 0.44, as shown in Fig. 4b, is similar to those found
in Kulhawy and Mayne (1990)’s equation, and Chin et al. (1988)’s
correlation is less conservative. Thus, whether or not the percent-
age of fines is considered, it does not affect the correlation for the
sands of Vitoria. This was expected, since the investigated sands
have FC <5%.
The results from five previous studies (i.e. Lacroix, 1971; Viana
da Fonseca, 1996; Mayne, 2006; Ahmed et al., 2014; Lingwanda
et al., 2015) are compared with the relationships between the Kc
and FC suggested by Chin et al. (1988) and Kulhawy and Mayne
Table 3
Variations of Kc (MPa) with fine percentages (FC).
FC (%) Kc,55 (Chin et al., 1988) Kc,60 (Chin et al., 1988) Kc,60 (Kulhawy
and Mayne, 1990)
0.29 0.47 0.51 0.42
1.25 0.46 0.51 0.42
2.91 0.45 0.5 0.42
Note: Kc/NSPT,55 ¼ 4.7e0.005 FC in Chin et al. (1988), and Kc/NSPT ¼ 4.25eFC/41.3 in
Kulhawy and Mayne (1990).
Fig. 6. Variations of Kc (MPa) with D50 (mm) for different sandy soils.
(1990), as shown in Fig. 6. For Vitoria sandy soils, where Kc ¼ 0.44
(7)
and FC varies from 0.3% to 3%, results were found to be equal to
Mayne (2006)’s data.
(8) Additional data would help to investigate the relationship be-
tween FC and Kc values. Only Lingwanda et al. (2015)’s data seem to
meet the relationships suggested by Chin et al. (1988) and Kulhawy
and Mayne (1990). Soils used in Viana da Fonseca (1996) have
strong cementation, which can explain the high values of Kc. Soils
used in Ahmed et al. (2014) have high FC, yet they do not meet the
investigated relationships.
4.2. DPL-CPT correlations
The qc/qd correlation is 2.25 (both in MPa), the p-value in the SW
test is 0.16, and in KS test is 1.18  106 for the sands of Vitoria. At
first, the correlation is not valid, as the p-value is less than 5%.
Nevertheless, the R2 equal to 92% is very strong. In addition, the
RMSE value of 0.12 and the histogram analysis (Fig. 7a) show that
the residuals can be described with a normal distribution.
It is noted that in large samples (up to 100 data), the KS test
does not seem to validate the normal distribution. Hence, Ke is
accepted with caution. Fig. 7b shows the scatter plot of this
analysis. Data were collected to depth up to 4 m, the cone resis-
tance ranges from 0.88 MPa to 11.83 MPa, and qd ranges from
0.34 MPa to 6.85 MPa.
This Ke is similar to those suggested by Gadeikis et al. (2010) and
Czado and Pietras (2012). This is reasonable, even for different
probes, once the procedure conditions (mass and fall height) are
considered in Eq. (5). The equivalency proposed by Waschkowski
(1983), however, is not observed. Viana da Fonseca (1996) sug-
gested that Ke ¼ 1 only occurs in homogeneous soils, which in-
dicates the heterogeneous conditions of the subsoil of the region
we have investigated.
The correlation between NDPL (blows/200 mm) and qc (MPa) is
Ke0 ¼ 0.23, R2 is strong (92%), and the RMSE value is 0.12, which
indicates that the correlation is consistent. The coefficient is higher
than the one presented by Martins and Miranda (2003). Although
both correlations are based on the DPL probe, the soils are different.
The soils of the city of Vitoria are clean sands, while the soils
investigated by Martins and Miranda (2003) consist of well-graded
silty sands or clayey silty sands. Although it could be argued that
the clayey fraction affects Ke0 , further data must be studied in order
to prove this.
 M.D. dos Santos, K.V. Bicalho / Journal of Rock Mechanics and Geotechnical Engineering 9 (2017) 1152e1158
Fig. 7. DPL-CPT results: (a) Frequency histograms of residuals and (b) Scatter plot for sands of Vitoria.
5. Conclusions
This paper has allowed us to draw a number of conclusions on
SPT-CPT and DPL-CPT empirical correlations. These are as follows:
(1) The penetration index given by SPT, CPT and DPL can be
correlated by linear relationships. When using the ordinary
least square to identify the regression coefficients, it is
important to verify whether or not the residuals can be
described with a normal distribution (mean zero and con-
stant variance). This analysis was performed through KS and
SW adherence tests to a significance of 5%, and through the
frequency histograms of residuals. To evaluate the proposed
correlations in terms of statistical parameters, RMSE was
used.
(2) The local Kc (SPT-CPT correlation) could be compared to
those discussed in the literature.
(3) Robertson et al. (1983)’s proposal that as D50 increases, Kc
potentially increases does not have NSPT values standardized
nor does it offer the residuals analysis. Thus, a new statisti-
cally consistent linear correlation and a power correlation
were proposed. It was observed that Kc increases as D50
increases.
(4) The lower percentage of the fines presented in the sandy
soils of Vitoria (i.e. FC <5%) did not affect Kc when replacing
the parameter in Chin et al. (1988)’s or Kulhawy and Mayne
(1990)’s correlations. Thus, taking into account previous
studies of different soils (Kc and FC pairs), the influence of FC
on SPT-CPT correlation was investigated. It was noted that
even with high FC, Kc did not meet either Chin et al. (1988)’s
or Kulhawy and Mayne (1990)’s proposals.
(5) Between the points of resistances of the DPL and CPT, results
were similar to those presented by Gadeikis et al. (2010) and
Czado and Pietras (2012). In other words, different probes
could be compared as the qd considers the theoretical po-
tential energy.
(6) Waschkowski (1983)’s recommendation that qd ¼ qc was not
observed in the sandy soils investigated here. This may be
due to that it is valid only in homogenous soils.
(7) The NDPL-qc (MPa) correlation for the sands of Vitoria did not
match the one proposed by Martins and Miranda (2003).
This is due to the sandy soils being different. Correlations are
valid only when the same equipment is used and the soil
conditions are similar.
1157
Further investigation of in situ geotechnical test correlations is
still required. This paper does not aim to be an exhaustive study on
the subject, but rather to make recommendations and to encourage
the critical evaluation of previously proposed correlations and of
those still to be formulated.
Conflict of interest
The authors wish to confirm that there are no known conflicts of
interest associated with this publication and there has been no
significant financial support for this work that could have influ-
enced its outcome.
Acknowledgements
The second author is grateful for the sponsorship from the
Brazilian government agencies CNPq and FAPES.
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Mirella Dalvi dos Santos is currently a teacher at Facul-
dade do Sul da Bahia, Brazil, and studies doctorate in Civil
Engineering at Federal University of Rio de Janeiro, Brazil.
She graduated from Federal University of Espirito Santo,
Brazil, with a degree in Civil Engineering in 2015, and
completed a Master degree in Civil Engineering at Federal
University of Espirito Santo, Brazil, in 2017. She has su-
pervised several graduate students and has supervised the
geotechnical laboratory testing of materials at Faculdade
do Sul da Bahia, Brazil. Her research interests include
laboratory testing of soils, geotechnical field instrumen-
tation, and shear strength of soils.
Kátia Vanessa Bicalho is currently a professor at Federal
University of Espirito Santo, Brazil. She graduated from
Federal University of Espirito Santo, Brazil, with a Bachelor
degree in Civil Engineering in 1986, and completed a
Master degree in Civil Engineering at Pontifical Catholic
University of Rio de Janeiro, Brazil, in 1993. She obtained
her PhD in Civil, Environmental and Architectural Engi-
neering at University of Colorado, Boulder, CO, USA, in
1999. She chaired the Graduate School in Civil Engineering
at Federal University of Espirito Santo from 2008 to 2011.
She has supervised several graduate students and a post-
doctoral worker. She has published over 130 papers with
her students and co-workers. She has directed a number of
research projects with support from the Brazilian govern-
ment. She is a member of the editorial panel for Geotechnical Engineering, the Journal
of Rock Mechanics and Geotechnical Engineering from 2015 to 2019. Research interests
include saturated and unsaturated soil behavior, ground improvement, foundation en-
gineering, numerical and physical modeling of geotechnical and geo-environmental
systems.