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Abstract: Soil liquefaction is a major concern for structures constructed with or on sandy soils. This paper describes
the phenomena of soil liquefaction, reviews suitable definitions, and provides an update on methods to evaluate cyclic
liquefaction using the cone penetration test (CPT). A method is described to estimate grain characteristics directly from
the CPT and to incorporate this into one of the methods for evaluating resistance to cyclic loading. A worked example
is also provided, illustrating how the continuous nature of the CPT can provide a good evaluation of cyclic liquefaction
potential, on an overall profile basis. This paper forms part of the final submission by the authors to the proceedings
of the 1996 National Center for Earthquake Engineering Research workshop on evaluation of liquefaction resistance of
soils.
Key words: cyclic liquefaction, sandy soils, cone penetration test.
Rsum : La liqufaction des sols est un risque majeur pour les structures faites en sable ou fondes dessus. Cet
article dcrit les phnomnes de liqufaction des sols, fait le tour des dfinitions sy rapportant et fournit une mise
jour des mthodes permettant dvaluer la liqufaction cyclique partir de lessai de pntration au cne (CPT). On
dcrit une mthode qui permet destimer les caractristiques granulaires partir du CPT et dincorporer directement les
rsultats dans une des mthodes dvaluation de la rsistance au chargement cyclique. Un exemple avec solution est
aussi prsent pour illustrer comment la nature continue du CPT peut donner une bonne ide du potentiel de
liqufaction cyclique sur la base dun profil densemble. Cet article fait partie de la contribution finale des auteurs aux
comptes-rendus du sminaire NCEER tenu en 1996 sur lvaluation de la rsistance des sols la liqufaction.
Mots cls : liqufaction cyclique, sols sableux, CPT
[Traduit par la Rdaction]
Soil liquefaction is a major concern for structures constructed with or on saturated sandy soils. The phenomenon
of soil liquefaction has been recognized for many years.
Terzaghi and Peck (1967) referred to spontaneous liquefaction to describe the sudden loss of strength of very loose
sands that caused flow slides due to a slight disturbance.
Mogami and Kubo (1953) also used the term liquefaction to
describe a similar phenomenon observed during earthquakes.
The Niigata earthquake in 1964 is certainly the event that
focused world attention on the phenomenon of soil liquefaction. Since 1964, much work has been carried out to explain
and understand soil liquefaction. The progress of work on
soil liquefaction has been described in detail in a series of
state-of-the-art papers, such as those by Yoshimi et al.
(1977), Seed (1979), Finn (1981), Ishihara (1993), and Robertson and Fear (1995). The major earthquakes of Niigata in
1964 and Kobe in 1995 have illustrated the significance and
extent of damage that can be caused by soil liquefaction.
Liquefaction was the cause of much of the damage to the
port facilities in Kobe in 1995. Soil liquefaction is also a
459
Before describing methods to evaluate liquefaction potential, it is important to first define the terms used to explain
the phenomena of soil liquefaction.
Figure 1 shows a summary of the behaviour of a granular
soil loaded in undrained monotonic triaxial compression. In
void ratio (e) and mean normal effective stress (p) space, a
soil with an initial void ratio higher than the ultimate state
line (USL) will strain soften (SS) at large strains, eventually
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Fig. 1. Schematic of undrained monotonic behaviour of sand in triaxial compression (after Robertson 1994). LSS, limited
strain-softening response; qST, static gravitational shear stress; Su, ultimate undrained shear strength; SH, strain-hardening response; SS,
strain-softening response; US, ultimate state.
444
Fig. 2. Schematic of undrained cyclic behaviour of sand illustrating cyclic liquefaction (after Robertson 1994). qcy, cycling shear stress.
445
446
447
ation (amax) at the site. This simplified approach can be summarized as follows:
[2]
CSR =
a
av
= 065
. max vo rd
g
vo
vo
where av is the average cyclic shear stress; amax is the maximum horizontal acceleration at the ground surface; g =
9.81 m/s2 is the acceleration due to gravity; vo and vo are
the total and effective vertical overburden stresses, respectively; and rd is a stress-reduction factor which is dependent
on depth. Details about the rd factor are summarized by
Robertson and Wride (1998), based on the recommendations
by Seed and Idriss (1971) and Liao and Whitman (1986).
The CSR profile from the earthquake can be compared to
the estimated CRR profile for the soil deposit, adjusted to
the same magnitude using eq. [1]. At any depth, if CSR is
greater than CRR, cyclic softening (liquefaction) is possible.
This approach is the most commonly used technique in most
parts of the world for estimating soil liquefaction due to
earthquake loading.
The approach based on the SPT has many problems, primarily due to the inconsistent nature of the SPT. The main
factors affecting the SPT have been reviewed (e.g., Seed et
al. 1985; Skempton 1986; Robertson et al. 1983) and are
summarized by Robertson and Wride (1998). It is highly
recommended that the engineer become familiar with the de-
q
q c1N = c
Pa2
CQ = q c1
Pa2
448
qc1N > 75) this could involve the development of large pore
pressures, but the effective stress may not fully reduce to
zero and deformations may not be as large as those in loose
sands. Hence, the consequences of liquefaction will vary depending on the soil density as well as the size and duration
of loading. An approximate equation for the clean sand CPT
curve shown in Fig. 6 is given later in this paper (eq. [8]).
Based on data from 180 sites, Stark and Olson (1995) also
developed a set of correlations between CRR and cone tip
resistance for various sandy soils based on fines content and
mean grain size, as shown in Fig. 7, in terms of qc1N. The
CPT combined database is now larger than the original
SPT-based database proposed by Seed et al. (1985).
The field observation data used to compile the CPT database are apparently based on the following conditions, similar in nature to those for the SPT-based data: Holocene age,
clean sand deposits; level or gently sloping ground; magnitude M = 7.5 earthquakes; depth range from 1 to 15 m (345
ft) (84% is for depths < 10 m (30 ft)); and representative average CPT qc values for the layer that was considered to
have experienced cyclic liquefaction.
Caution should be exercised when extrapolating the CPT
correlation to conditions outside of the above range. An important feature to recognize is that the correlation appears to
be based on average values for the inferred liquefied layers.
However, the correlation is often applied to all measured
CPT values, which include low values below the average, as
well as low values as the cone moves through soil layer interfaces. Therefore, the correlation can be conservative in
variable deposits where a small part of the CPT data could
indicate possible liquefaction. Although some of the recorded case histories show liquefaction below the suggested
curve in Fig. 6, the data are based on average values and,
hence, the authors consider the suggested curve to be consistent with field observations. It is important to note that the
simplified approach based on either the SPT or the CPT has
many uncertainties. The correlations are empirical and there
is some uncertainty over the degree of conservatism in the
correlations as a result of the methods used to select representative values of penetration resistance within the layers
assumed to have liquefied. A detailed review of the CPT
data, similar to those carried out by Liao and Whitman
(1986) and Fear and McRoberts (1995) on SPT data, would
be required to investigate the degree of conservatism contained in Figs. 6 and 7. The correlations are also sensitive to
the amount and plasticity of the fines within the sand.
For the same CRR, SPT or CPT penetration resistance in
silty sands is smaller because of the greater compressibility
and decreased permeability of silty sands. Therefore, one
reason for the continued use of the SPT has been the need to
obtain a soil sample to determine the fines content of the
soil. However, this has been offset by the poor repeatability
of SPT data. With the increasing interest in the CPT due to
its greater repeatability, several researchers (e.g., Robertson
and Campanella 1985; Olsen 1988; Olsen and Malone 1988;
Olsen and Koester 1995; Suzuki et al. 1995a, 1995b; Stark
and Olson 1995; Robertson and Fear 1995) have developed
a variety of approaches for evaluating cyclic liquefaction potential using CPT results. It is now possible to estimate grain
characteristics such as apparent fines content and grain size
from CPT data and incorporate this directly into the evaluation of liquefaction potential. Robertson and Fear (1995)
recommended an average correction, which was dependent
on apparent fines content, but not on penetration resistance.
This paper provides modifications to and an update of the
CPT approach suggested by Robertson and Fear (1995). The
proposed equation to obtain the equivalent clean sand nor 1998 NRC Canada
449
Based on extensive field data and experience, it is possible to estimate grain characteristics directly from CPT results using the soil behaviour type chart shown in Fig. 8.
The boundaries between soil behaviour type zones 27 can
be approximated as concentric circles (Jefferies and Davies
1993). The radius of each circle can then be used as a soil
behaviour type index. Using the CPT chart by Robertson
(1990), the soil behaviour type index, Ic, can be defined as
follows:
[5]
(q c1N ) cs = Kc q c1N
q vo Pa
where Q = c
P
a2
vo
is
the
normalized
CPT
penetration
resistance
(dimensionless); the exponent n is typically equal to 1.0; F =
[fs/(qc vo)]100 is the normalized friction ratio, in percent;
fs is the CPT sleeve friction stress; vo and vo are the total
and effective overburden stresses, respectively; Pa is a reference pressure in the same units as vo (i.e., Pa = 100 kPa if
vo is in kPa); and Pa2 is a reference pressure in the same
units as qc and vo (i.e., Pa2 = 0.1 MPa if qc and vo are
in MPa).
The soil behaviour type chart by Robertson (1990) uses a
normalized cone penetration resistance (Q) based on a simple linear stress exponent of n = 1.0 (see above), whereas
the chart recommended here for estimating CRR (see Fig. 6)
is essentially based on a normalized cone penetration resistance (qc1N) based on a stress exponent n = 0.5 (see eq. [3]).
Olsen and Malone (1988) correctly suggested a normalization where the stress exponent (n) varies from around 0.5 in
sands to 1.0 in clays. However, this normalization for soil
type is somewhat complex and iterative.
The Robertson (1990) procedure using n = 1.0 is recommended for soil classification in clay type soils when Ic >
2.6. However, in sandy soils when Ic 2.6, it is recommended that data being plotted on the Robertson chart be
modified by using n = 0.5. Hence, the recommended procedure is to first use n = 1.0 to calculate Q and, therefore, an
initial value of Ic for CPT data. If Ic > 2.6, the data should be
plotted directly on the Robertson chart (and assume qc1N =
Q). However, if Ic 2.6, the exponent to calculate Q should
be changed to n = 0.5 (i.e., essentially calculate qc1N using
eq. [3], since vo < < qc) and Ic should be recalculated based
on qc1N and F. If the recalculated Ic remains less than 2.6, the
data should be plotted on the Robertson chart using qc1N
based on n = 0.5. If, however, Ic iterates above and below a
value of 2.6, depending which value of n is used, a value of
n = 0.75 should be selected to calculate qc1N (using eq. [3])
and plot data on the Robertson chart. Note that if the in situ
effective overburden stresses are in the order of 50150 kPa,
the choice of normalization has little effect on the calculated
normalized penetration resistance.
The boundaries of soil behaviour type are given in terms
of the index, Ic, as shown in Table 1. The soil behaviour type
index does not apply to zones 1, 8, or 9. Along the normally
consolidated region in Fig. 8, soil behaviour type index increases with increasing apparent fines content and soil plasticity, and the following simplified relationship is suggested:
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Zone
Ic < 1.31
1.31 < Ic
2.05 < Ic
2.60 < Ic
2.95 < Ic
Ic > 3.60
7
6
5
4
3
2
<
<
<
<
2.05
2.60
2.95
3.60
Fig. 9. Variation of CPT soil behaviour type index (Ic) with apparent fines content in or close to the normally consolidated zone of the
soil behaviour chart by Robertson (1990). PI, plasticity index.
eq. [6] to sands that plot in the region defined by 1.64 < Ic <
2.36 and F < 0.5% in Fig. 8 so as not to confuse very loose
clean sands with denser sands containing fines. In this zone,
it is suggested that the apparent fines content is set equal to
5%, such that no correction will be applied to the measured
CPT tip resistance when the CPT data plot in this zone. To
evaluate the correlation shown in Fig. 9 it is important to
show the complete soil profile (CPT and samples, e.g., see
Fig. 13), since comparing soil samples with an adjacent CPT
at the same elevation can be misleading due to soil stratigraphic changes and soil heterogeneity.
Based on the above method for estimating grain characteristics directly from the CPT using the soil behaviour index
(Ic), the recommended relationship between Ic and the correction factor Kc is shown in Fig. 10 and given by the following equations:
[7a]
if I c 164
. ,
Kc = 10
.
[7b]
. ,
if I c 164
Kc = 0.403I c4 + 5581
. I c3 2163
. I c2
+33.75I c 1788
.
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Fig. 10. Recommended grain characteristic correction to obtain clean sand equivalent CPT penetration resistance in sandy soils.
452
Fig. 11. CPT base curves for various values of soil behaviour
index, Ic (corresponding to various apparent fines contents, as
indicated).
if
(q )
CRR = 93 c1N cs + 0.08
1000
[8b]
3
if
(q )
CRR = 0833
. c1N cs + 0.05
1000
In summary, eqs. [4][7] and [8] can be combined to provide an integrated method for evaluating the cyclic resistance (M = 7.5) of saturated sandy soils based on the CPT. If
thin layers are present, corrections to the measured tip resistance in each thin layer may be appropriate. The CPT-based
method is an alternative to the SPT or shear wave velocity
(Vs) based in situ methods; however, using more than one
method is useful in providing independent evaluations of
liquefaction potential. The proposed integrated CPT method
is summarized in Fig. 12 in the form of a flow chart. The
flow chart clearly shows the step-by-step process involved
in using the proposed integrated method based on the CPT
for evaluating CRR and indicates the recommended equations for each step of the process.
Although the proposed approach provides a method to
correct CPT results for grain characteristics, it is not intended to remove the need for selected sampling. If the user
has no previous CPT experience in the particular geologic
region, it is important to take carefully selected samples to
evaluate the CPT soil behaviour type classification.
Site-specific modifications are recommended, where possible. However, if extensive CPT experience exists within the
geologic region, the modified CPT method with no samples
can be expected to provide an excellent guide to evaluate
liquefaction potential.
Application of the proposed CPT method
An example of this proposed modified CPT-based method
is shown in Fig. 13 for the Moss Landing site that suffered
cyclic liquefaction during the 1989 Loma Prieta earthquake
in California (Boulanger et al. 1995, 1997). The measured
cone resistance is normalized and corrected for overburden
stress to qc1N and F and the soil behaviour type index (Ic) is
calculated. The final continuous profile of CRR at N = 15
cycles (M = 7.5) is calculated from the equivalent clean sand
values of qc1N (i.e., (qc1N)cs = Kcqc1N) and eq. [8]. Included
in Fig. 13 are measured fines content values obtained from
adjacent SPT samples. A reasonable comparison is seen between the estimated apparent fines contents and the measured fines contents. Note that for Ic > 2.6 (i.e., FC > 35%;
see eq. [6]), the soil is considered to be nonliquefiable; however, this should be checked using other criteria (e.g.,
Marcuson et al. 1990) (see Fig. 4). The estimated zones of
soil that are predicted to experience cyclic liquefaction are
very similar to those observed and reported by Boulanger et
al. (1995, 1997).
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Fig. 12. Flow chart illustrating the application of the integrated CPT method of evaluating cyclic resistance ratio (CRR) in sandy soils.
Vs, shear wave velocity.
The predicted zones of liquefaction are slightly conservative compared to the observed ground response. For example, when the CPT passes from a sand into a clay (e.g., at a
depth of 10.5 m), the cone resistance decreases in the transi-
tion zone and the method predicts a very small zone of possible liquefaction. However, given the continuous nature of
the CPT and the high frequency of data (typically every
20 mm), these erroneous predictions are easy to identify. In
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Fig. 13. Application of the integrated CPT method for estimating cyclic resistance ratio (CRR) to the State Beach site at Moss Landing which suffered cyclic liquefaction
during the 1989 Loma Prieta earthquake in California.
455
Fig. 14. Comparison of estimating CRR from the CPT. (a) CRR = 0.05 to 0.3, after Olsen and Koester (1995). c, stress exponent.
(b) CRR = 0.15 and 0.25, after Suzuki et al. (1995b). v , vertical effective stress.
456
Fig. 15. Approximate comparison of various methods for correcting CPT tip resistance to clean sand equivalent values, based on soil
behaviour type.
457
eral corrections provide a useful guide. Correcting CPT results in thin sand layers embedded in softer fine-grained deposits may also be appropriate. The CPT is generally limited
to sandy soils with limited gravel contents. In soils with high
gravel contents, penetration may be limited.
A summary of the CPT method is shown in Fig. 16, which
identifies the zones in which soils are susceptible to cyclic
liquefaction (primarily zone A). In general, soils with Ic >
2.6 and F > 1.0% (zone B) are likely nonliquefiable. Soils
that plot in the lower left portion of the chart (zone C; Ic >
2.6 and F < 1.0%) may be susceptible to cyclic and (or) flow
liquefaction due to the sensitive nature of these soils. Soils
in this region should be evaluated using other criteria. Caution should also be exercised when extrapolating the suggested CPT correlations to conditions outside of the range
from which the field performance data were obtained. An
important feature to recognize is that the correlations appear
to be based on average values for the inferred liquefied layers. However, the correlations are often applied to all measured CPT values, which include low values below the
average for a given sand deposit and at the interface between different soil layers. Hence, the correlations could be
conservative in variable stratified deposits where a small
part of the penetration data could indicate possible liquefaction.
As mentioned earlier, it is clearly useful to evaluate CRR
using more than one method. For example, the seismic CPT
can provide a useful technique for independently evaluating
liquefaction potential, since it measures both the usual CPT
parameters and shear wave velocities within the same borehole. The CPT provides detailed profiles of cone tip resistance, but the penetration resistance is sensitive to grain
characteristics, such as fines content and soil mineralogy,
and hence corrections are required. The seismic part of the
CPT provides a shear wave velocity profile typically averaged over 1 m intervals and, therefore, contains less detail
than the cone tip resistance profile. However, shear wave velocity is less influenced by grain characteristics and few or
no corrections are required (Robertson et al. 1992; Andrus
and Stokoe 1998). Shear wave velocity should be measured
with care to provide the most accurate results possible, since
the estimated CRR is sensitive to small changes in shear
wave velocity. There should be consistency in the liquefaction evaluation using either method. If the two methods provide different predictions of CRR profiles, samples should
be obtained to evaluate the grain characteristics of the soil.
A final comment to be made is that a key advantage of the
integrated CPT method described here is that the algorithms
can easily be incorporated into a spreadsheet. As illustrated
by the Moss Landing example presented here, the result is a
straightforward method for analyzing entire CPT profiles in
a continuous manner. This provides an useful tool for the engineer to review the potential for cyclic liquefaction across a
site using engineering judgement.
458
459
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