Effect of penetration rate on piezocone parameters in two silty deposits

Y. Suzuki, B.M. Lehane & A. Fourie

School of Civil and Resource Engineering, The University of Western Australia

ABSTRACT: This paper presents the results of piezocone tests (CPTUs) conducted at various penetration
rates in the two silty soils near Perth, West Australia. One of the soils was found on a tailings beach at Gingin
while the other was an estuarine deposit located in Bassendean on the banks of the Perth’s Swan River. The
standard CPTUs were carried out to investigate the site stratigraphy prior to the constant velocity tests which
involved rates down to 0.02 mm/s in Gingin and 0.002 mm/s in Bassendean; dissipation tests were also per-
formed. Cone end resistance resistances are shown to increase with reducing penetrometer velocity while ex-
cess pressures reduce. The results, which are shown to be generally consistent with other studies on the effect
of penetrometer rate, provide much needed data to extend the currently sparse database of variable rate piezo-
cone tests in the field.

1 INTRODUCTION cant obstacle to the interpretation of geotechnical pa-

Cone penetration testing with pore pressure meas-
urements (i.e. piezocone tests, CPTU) is now a
widely used site investigation technique. Three pri-
mary measurements are obtained, namely the end re-
sistance (qc), the friction sleeve stress (fs) and the
pore pressure (at the cone shoulder, u2). These
measurements allow classification of the soil type
and estimation of geotechnical parameters along the
depth penetrated by the cone. The test procedures
and the interpretation of CPTU data are well stand-
ardized and incorporated into practice (e.g.
Robertson 1990, Lunne et al. 1997). However, while
interpretation procedures in sands and clays are rela-
tively well established, there is less certainty regard-
ing the interpretation of parameters for intermediate
soils such as silts and tailings deposits.
Intermediate soils including natural clayey and
sandy silts and man-made tailings deposits contain
fine and coarse particles. Their hydraulic properties,
such as permeability and coefficient of consolida-
tion, are therefore expected to lie between those of
clays and sands. With the standard penetration rate
of 20 mm/s recommended in practice, cone penetra-
tion in clays is expected to be fully undrained while
penetration in sands is fully drained. The response of
intermediate soils at a cone penetration rate of 20
mm/s is likely to be partially drained, with the de-
gree of partial drainage likely to vary significantly
depending on the soil composition. The uncertainty
regarding the degree of drainage presents a signifi-
rameters.
It is well known that penetration resistance varies
with the penetration velocity. For soils investigated
to date, it has been found that tip resistance general-
ly increases as the velocity decreases below the
standard rate of 20 mm/s due to the higher levels of
consolidation around the penetrometer tip. At greater
velocities, viscous effects dominate and cause the
penetration resistance to increase with velocity.
To capture effects of the partial consolidation in
different soils, Finne & Randolph (1994) defined a
normalized velocity, V, as
V = vd/cv (1)
where v is the penetration velocity, d is the diameter
of the penetrometer and cv is the coefficient of con-
solidation. Finne & Randolph (1994) indicate
that conditions are fully undrained when V is in ex-
cess of 30 and are fully drained when V is less than
0.01 respectively. Based on studies using kaolin in
the centrifuge, Randolph & Hope (2004), and others,
also present “backbone curves” representing the re-
lationship with V of penetration resistance or excess
pore pressure between these V limits.
Insights into penetrometer rate effects have been
largely accumulated in centrifuge tests at the Uni-
versity of Western Australia (UWA) (e.g. Finne &
Randolph 1994, House et al. 2001, Randolph &
Hope 2004, Schneider et al. 2007, Lehane et al.
2009, Mahmoodzadeh et al. 2011). However, there
is has been less research at field scale using full size
penetrometers. Schneider et al. (2004) conducted in-
situ tests with penetration rates as low as 0.01mm/s
in Burswood clay, but only observed relatively small
effects of rate on the penetration resistance. In con-
trast, Kim et al. (2008) report a doubling of the
penetration resistance as the rate dropped from 20
mm/s to 0.01 mm/s. Schnaid et al. (2010) completed
in-situ tests with the different rates to investigate
drainage characteristics in bauxite residue storage;
these tests indicated that conditions changed from
drained to partially drained when the normalised ve-
locity (V) was in the range 0.1 to 1 while the transi-
tion from partially drained to undrained occurred at
V between 10 to 100.
This paper presents the results of variable rate
piezocone tests performed in two silty soils found at
sites near Perth, Western Australia. The tests varied
the penetration rate by five orders of magnitude
from 0.002 mm/s to 20 mm/s. One of the soils was
found on a tailings beach at Gingin (80 km north of
Perth) while the other was an estuarine deposit lo-
cated in Bassendean on the banks of the Perth’s
Swan River. The primary aim of this investigation
was to extend the currently sparse database of varia-
ble rate piezocone tests in the field.
2 FIELD TESTING
The cone penetrometer employed for the field tests
had a diameter and projected area of 35.7 mm and
10 cm2 respectively and a pore pressure transducer
attached at the shoulder of the probe (i.e. the so-
called u2 position). Calibrations for all load cells
were completed before use and an unequal area ra-
tio,  was obtained as 0.73 during the calibration of
the pore pressure transducer. Data were recorded at
20 Hz using an acquisition system developed at
UWA and then averaged over 20mm intervals for
presentation purposes. The CPT apparatus was also
fabricated in UWA and full details are provided in
Schneider et al. (2004).
At the Gingin site, eight CPTUs were performed
in February 2011. The penetration velocity was held
constant between depths of about 0.7 m and 1.7 m at
rates of 10, 2, 1, 0.4, 0.2 mm/s; the rate was held at
0.02mm/s between depths of 0.96m and 1.16m. At
Bassendean, 11 tests were completed in April and
May 2011. Velocities were held constant at 2, 0.2
and 0.02 mm/sec between 3 and 4 m depths and at
0.01, 0.004 and 0.002 mm/s between 3.1 and 3.5 m
depths. The depth intervals selected for the study
of rate effects were decided after review of the
standard rate (20 mm/s) tests conducted initially at
each site.
3 SITE DETAILS AND SOIL PROPERTIES
3.1 The Gingin site
The Gingin piezocone tests were carried out at a
closed mine site, which had been used for the extrac-
tion of heavy minerals such as ilmenite, rutile and
zircon. The in-situ tests were performed on a tailings
beach comprising wet clay and sand tails to which a
flocculent had been added. This disposal method,
which is referred to as a ‘Modified Co-disposal pro-
cess’, encourages fast drainage and was used to ac-
celerate the water loss achieved using the more tra-
ditional solar drying technique employed in West
Australia. A tailings pond existed about 3 m below
and 30 m from the test area in winter 2010, but this
pond had disappeared during testing in Summer
2011. Other observations at the site suggested that
the presence of silty clay layers (or ‘slimes’) within
the predominantly sandy tailings had led to a serious
of seasonal perched water tables within the tailings
beach.
3.2 The Bassendean site
A site at Bassendean, close to the centre of Perth,
was selected for in-situ tests in April and May 2011.
The tests were conducted within 15 m of the water
front and, as consequence, tidal variations caused the
water table to fluctuate from between 0.5 m and 2 m
depth. The soil is lightly overconsolidated (partly
because of water level fluctuations) and, below a
surface crust, is relatively uniform to a depth of 10
m.
3.3 Soil properties
Soil properties assessed for the soils at the two
sites were obtained from disturbed samples and are
summarized in Table 1. The samples were collected
using a hand auger at Gingin and using a 1m core
sampler at Bassendean. The particle size distribu-
tions determined for the two soils are shown on Fig-
ure 1. The tailings collected from between 0.7 m and
1.5 m at the Gingin site contain ~85% sand sized
particles and ~15% clay sized particles; the material
may therefore be described as a Clayey SAND. The
Bassendean soil obtained from between 5 m and 7 m
is typical of a natural estuarine deposit comprising
about 15% clay, 45% silt and 40% fine sand; it can
be classified as a sandy and clayey SILT.
Table 1 Soil properties
Soil property Gingin Bassendean
Sample collected depth (m) 0.7-1.5 5-7
Liquid limit, wL (%) 28 42
Plastic limit, wp (%) 17.5 21
Natural water content, w (%) 29.9 66
 100 sures still exist in the less free draining layers. The
Gingin soil at 0.7‐1.5m profiles of u2 pore pressures recorded during very
80 Bassendean soil at 5‐7m slow piezocone penetration (see Figure 3) indicate
Percent passing (%)

two-way drainage occurs in the 0.6-1.3 m layer and

60 that a perched water table above this layer is likely
to have existed during the winter season.
40 The undrained shear strength, su, of the layer be-
tween 0.6 m and 1.3 m is estimated to be approxi-
20 mately 20 kPa, assuming a nominal Nkt value of 14
and fully undrained conditions during piezocone
0 penetration. The normalized cone resistance, Qt
0.0001 0.001 0.01 0.1 1 10 (=qcnet/'v0), and the pore pressure parameter ratio,
Particle size (mm) Bq (=(u2-u0)/qcnet), are about 20 and 0.1 respectively,
Figure 1 Particle size distribution of the Gingin and Bas- which according to Robertson (1990) classify the
sendean soils layer as a sandy silt and not as a clayey SAND, as
apparent in Figure 1.

qt (kPa)
4 PENETRATION TEST RESULTS 0 200 400 600 800
0.5

4.1 The Gingin site 20mm/s

The profiles of corrected tip resistance, qt (=
qc+u2(1-)), and pore pressure, u2, measured in a 0.4mm/s at 
standard CPTU at Gingin are shown in Figure 2. A 0.67‐1.67m
relatively soft/loose soil layer can be seen between
Depth (m)

0.6 m and 1.3 m depth, where the qt value lies be-

1.0 0.02mm/s at 
tween 200 kPa and 300 kPa. Beneath this layer, qt
0.96‐1.16m
increases with depth until again reducing in a 200
mm thick layer at 2.2 m. Pore pressures are zero
throughout except in the 0.6-1.3m and the 2.2-2.4 m 1mm/s at 
soft layers where u2 values are between 10 and 30 0.67‐1.67m
kPa. The seasonal variation of the water level in the
tailings pond (at a distance away of about 30 m)
coupled with the presence of layers with relatively 1.5
low permeability provide an explanation for the u2 (a)
values. It appears that after the winter rain has u2 (kPa)
drained from the sandy layers, residual pore pres- ‐25 0 25 50
0.5
qt (kPa) u2 (kPa) 20mm/s
0 500 1000 1500 ‐25 0 25 50
0.0 0.0

0.5 0.5
Depth (m)

1.0
0.02mm/s at 
1.0 1.0
Depth (m)

0.96‐1.16m

1.5 1.5
1mm/s at  0.4mm/s at 
0.67‐1.67m 0.67‐1.67m
2.0 2.0
1.5
(b)
2.5 2.5
Figure 2 Standard rate CPTU at the Gingin site Figure 3 Comparison for the rate tests at Gingin: (a) qt, (b) u2
 This soft layer was investigated at various cone minimum distance apart of 1 m). It can be observed
penetration rates and the resulting qt and u2 profiles that, as expected, qt increases and u2 reduces as the
obtained are plotted on Figure 3. Each cone test was cone velocity reduces. qt values at 0.002 mm/s (i.e.
performed within a radius of 1.5 m. It is interesting 10,000 times slower than the standard CPT rate) are
to note that the qt values are not highly rate depend- about twice those recorded at 2 mm/s. Cone re-
ent within the 0.02 mm/s and 20 mm/s range. Alt- sistances at 0.002 mm/s and at 0.02 mm/s are com-
hough some local variations at the site complicate parable, which is consistent with the similarity be-
the inference of the actual rate effect, there is an av- tween their respective u2 values. These u2 values are
erage trend for qt to be roughly independent of rate essentially equivalent to the ambient pore pressure
between 0.4 mm/s and 20 mm/s and to be 60±20% (u0) of ~10 kPa suggesting that cone penetration in
larger at v=0.02 mm/s than that at the standard rate. this material was drained at cone velocities at or less
The u2 measurements mirror the qt data, showing than 0.02 mm/s. Conditions tend to become progres-
broadly similar u2 values between 0.4 mm/s and 20 sively more undrained above this velocity, as con-
mm/s and much lower u2 values at 0.02 mm/s. firmed by the large excess pores pressures developed
at a velocity of 0.2 mm/s.
4.2 The Bassendean site
qt (kPa)
Figure 4 shows the results from the three standard 0 100 200 300 400 500 600
rate tests conducted at the Bassendean site. Below an 2.8
upper 2.5m thick crust, the qt profiles generally in- 2mm/s at  0.02mm/s 0.002mm/s
crease linearly with depth and correspond with an 3.0
3‐4m at 3‐4m at 3.1‐3.5m
undrained strength varying from 13 kPa at 3 m to 25
kPa at 10 m (assuming a nominal Nkt value of 14).
3.2
The spikes in qt and accompanying drops in u2 are 0.2mm/s
at 3‐4m
indicative of more free draining sandier horizons,
Depth (m)

which are particularly prevalent between 5.5 and 7m 3.4

in one of the CPTUs. Application, to the Robertson
(1990) chart, of the average normalized cone param- 3.6
eters Qt and Bq of 5 and 0.5 respectively (obtained
excluding the sandy layers) maps the material as a 3.8
clay to silty clay, which is somewhat different from
the inference of a sandy and clayey silt made from 4.0
the particle size distribution shown on Figure 1.
The CPTU response of a (uniform) soil layer be-
4.2
tween 3 m and 4 m was investigated for a range of
cone velocities. Figure 5 shows the profiles of qcnet (a)
and u2 for rates of 2, 0.2, 0.02, and 0.002 mm/s; all u2 (kPa)
tests were conducted in close proximity to each oth- ‐25 0 25 50 75 100 125
er within an area measuring 3 m × 12 m (and at a 2.8
0.002mm/s 0.2mm/s 2mm/s
at 3.1‐3.5m at 3‐4m at 3‐4m
qt (kPa) u2 (kPa) 3
0 200 400 600 0 200
0 0 0.02mm/s
3.2
at 3‐4m
Depth (m)

2 2 3.4

3.6
4 4
Depth (m)

3.8
6 6
4
8 8
4.2
(b)
10 10
Figure 5 Comparison for the rate tests at Bassendean: (a) qt, (b)
Figure 4 Standard rate CPTUs at the Bassendean site u2
 An interesting observation from Figure 5 is the
160 Bassendean at 4m
‘wavy’ nature of the qt and u2 profiles, which is not Bassendean at 6m
evident in the standard rate test but is particularly Gingin at 1.5m
noticeable at velocities of 0.2 mm/s and 0.02 mm/s.

Pore pressure (kPa)
120
The ‘wavelength’ of these waves is typically about
150 mm, which may be indicative of the amount of
80
sediments deposited annually by the Swan River in
that area. The peaks in qt and trough in u2 indicate
slightly more free draining material than the soil 40
immediately above and below the peak and the local
troughs in qt must correspond to the finest material
present within the stratigraphy. Inspection of the 0
standard rate test data shown Figure 4 suggests that 1 10 100 1000 10000
Time (sec)
most of the material has a very similar grading while
Figure 5 points to subtle changes in these gradings. Figure 6 Dissipation tests results
The detection of these subtleties is evidently not 1 The & Houlsby (1991)
Teh & Houlsby (1991)
possible at this site using the standard rate CPTU. Bassendean at 4m; c 2
h=8mm /s
Bassendean at 4m; ch=8mm2/s
Bassendean at 6m; c 2
h=3mm /s
Bassendean at 6m; ch=3mm2/s
0.8 Gingin at 1.5m; c =2mm 2/s
Gingin at 1.5m; ch=2mm2/s
h

5 DISSIPATION TESTS

u/u_pred
0.6
Dissipation tests were also performed at the two u2 at t=0
0.4
sites to investigate in-situ coefficients of consolida-

tion. The extended rods were left clamped and the
pore pressures recorded for periods of between 30
minutes and 3 hours. The theoretical dissipation
curve proposed by Teh & Houlsby (1991) was em-
ployed to assess the in-situ coefficient of consolida-
tion, ch, using the pore pressure dissipation data.
Figure 6 shows the results of the dissipation tests
carried out at a depth of 1.5m at Gingin and at 4m
and 6m at Bassendean. It can be inferred that the rate
of dissipation is relatively fast at both sites, with on-
ly a small proportion of excess pressures remaining
after 2000 seconds. The short delay to reach peak
pore pressure (~30 seconds) is likely to be related to
the response time of the pore pressure transducer.
The excess pore pressures are normalised by the
assessed initial maximum values and plotted against
the Teh & Houlsby (1991) time factor (T*) on
Figure 7. The initial maxima were estimated, as in-
dicated on the figure, by assuming a linear reduction
in u2 with the square root of time. Assuming a soil
rigidity index (Ir) of 150, a ch value of 2 mm2/s was
derived at 1.5 m depth at the Gingin site while ch
values of between 3 mm2/s and 8mm2/s provide the
best fit to the data at Bassendean. ch in the soil hori-
zons examined at both sites is therefore quite simi-
lar. The slightly higher value inferred at 4 m depth at
Bassendean is consistent with higher qt and lower u2
values (see Figure 5).
6 COMPARISON OF PENETRATION RATE
EFFECTS
u2 (kPa)
0.2
Time (√sec)
0
0.001 0.01 0.1 1 10 100
Normalised time, T* (Teh & Houlsby, 1991)
Figure 7 Normalized dissipation curves (Ir=150)
Gingin and Bassendean. Averaged values of qt and
u2 are plotted for each cone penetration velocity (v),
where averaging only included data recorded after
the cone had travelled a distance of 2 cone diameters
(71 mm) at a given speed.
It is apparent that the variations of qt with v are
similar at both sites and that cone resistance doubles
as v reduces by 5 orders of magnitude from 20 mm/s
to 0.002 mm/s at Bassendean. The qt values remain
relatively constant between 2 mm/s and the standard
rate of 20 mm/s and only increase by about 20%
from this constant value when v is reduced to 0.2
mm/s. Greatest changes in qt occur between v=0.2
mm/s and v=0.02 mm/s with the resistance at the lat-
ter velocity being 50% greater than at the former.
Although tests at cone velocities less than 0.02mm/s
were not conducted at Gingin, it can be inferred that
qt at both sites is effectively independent of velocity
when v is less than 0.01 mm/s to 0.002 mm/s.
The variations of u2 with cone velocity at both
sites are broadly similar, although they show more
variation than the qt values. The significant drop in
u2 as v reduces from 0.2 mm/s to 0.02 mm/s is con-
sistent with the great increase in qt.

Figure 8 compares the rate effect on measurements

of qt and u2 for the soil layers under investigation at
 600 Gingin averaged values The normalized end resistance for the Burswood
Bassendean averaged values clay varies by less than 20% between velocities of
500
0.01 mm/s and 20 mm/s. However, in contrast, the
400 normalized resistance at Bassendean between 0.1
mm/s and 0.01 mm/s is 1.5 to 2.2 times the corre-
qt (kPa)

300 sponding Burswood resistances. It is clear from the

normalised excess pore pressure plot that conditions
200 are close to being fully drained at Bassendean at
100
v=0.01 mm/s whereas the normalised excess pore
pressures at Burswood are still half of the maximum
0 (undrained) values recorded at 20 mm/s.
0.001 0.01 0.1 1 10 100 The disparity between the Burswood and Bas-
v (mm/sec) sendean data evident on Figure 9 supports the use of
(a) a normalized velocity term that can account for dif-
90 ferences in consolidation characteristics. Figure 10
80 presents the data on Figure 9 using the normalised
70 velocity term given by Equation 1, but using ch ra-
ther than cv, as ch might be expected to control the
60
dissipation process in the field. To account for dif-
u2 (kPa)

50 ferent frictional characteristics and undrained

40 strength ratios of the two soils, this figure also nor-
30 malises the net cone resistances by the minimum
20 value; this minimum is likely to occur at the slowest
10 velocity at which conditions are effectively un-
0 drained.
0.001 0.01 0.1 1 10 100 Figure 10 shows that drained conditions at Bas-
v (mm/sec) sendean occur at normalised velocities (V=vd/ch)
less than about 0.05 and that the onset of partial
(b)
15 Bassendean constant rate tests 
Bassendean averaged values 
Figure 8 Comparison of penetration rate effects on (a) qt and Burswood CPTU twitch tests ‐ after 
(b) u2 Schneider et al. (2004)
10
qcnet/'vo

7 DISCUSSION
5
It is of interest to compare the data measured at Bas-
sendean with the results obtained in another piezo-
cone rate effects study conducted at Burswood by 0
Schneider et al. (2004). The Burswood site is located 0.001 0.01 0.1 1 10 100
on the opposite bank of the Swan River in Perth to v (mm/s)
the Bassendean site (the distance between these two
(a)
sites is 8km). The properties of the Burswood clay 2.5
are summarized in detail by Low et al. (2011). This
clay has an average liquid limit of 85%, plastic limit 2
of 32%, clay fraction of 14% and silt fraction of
1.5
82%. Piezocone dissipation tests indicated ch values
u/'vo

ranging from 0.19 and 1.46 mm2/s, which can be ap- 1

proximately an order of magnitude lower than at
Bassendean. 0.5
The variation with cone velocity of qcnet (=qt-σv0)
and excess pore pressure (Δu) normalised by vertical 0
effective stress (σ'v0), after modified data based on ‐0.5
Schneider et al. (2004), is compared on Figure 9 0.001 0.01 0.1 1 10 100
with the Bassendean data re-plotted in the same v (mm/s)
format. The scatter of the Bassendean results (as in- (b)
dicated by the small dots) arose due to the subtle
layering within the deposit as discussed previously. Figure 9 Penetration rate effect on (a) qcnet/’vo and (b) u/’vo
 3 REFERENCES
Bassendean; ch=6.5mm2/s
2 ?
qcnet/qcnet_min
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0 of penetration rate on cone penetration resistance in
0.01 0.1 1 10 100
V=vd/ch
Figure 10 Assessment of rate effects on the normalised veloci-
ty
drainage occurs at a V value of about 5 at both sites.
However, while V may be suitable to mark the tran-
sition from undrained to drained conditions, it is
clear from Figure 10 (and other experiments per-
formed by the authors) that the normalised plot at
lower V values is not unique and depends, amongst
other factors, on the ratio of the drained to undrained
penetration resistance of a particular soil.
8 CONCLUSIONS
This paper reports the results of piezocone tests per-
formed at field scale at a range of velocities in a
clayey sand and a clayey/sandy silt. The experi-
ments confirm the importance of cone velocity (v)
on the qt and u2 values. If a normalised velocity is
defined as V=vd/ch, where d is the cone diameter and
ch is the horizontal coefficient of consolidation in-
ferred from a dissipation test, the rate tests show that
drained conditions arise at V<0.05 and that un-
drained conditions are prevalent at V>5. A compari-
son of the data obtained with field results obtained at
another plastic clay site indicates that undrained
conditions also occur at V>5, but that resistances at
given V values in the partially drained range are not
a fixed multiple of the minimum resistance.
The field experiments also showed how con-
ducting tests at different (slower) rates can assist in
the detection of subtle changes in soil grading; such
subtleties were not evident in the qt and u2 data rec-
orded at the standard cone rate.
ACKNOWLEDGEMENTS
The authors would like to thank the land owners;
Iluka Resources Ltd and people supervising the Gin-
gin site for their assistances, and people who provide
their private site at Bassendean. The contributions of
many technicians in UWA as well as one final year
student, Simon Van Kleef, are greatly appreciated.
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