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     Andrus et al. 2003

    Comparing Liquefaction Evaluation Methods Using Penetration-V S  Relationships

    Ronald D. Andrus,* Paramananthan Piratheepan,1 Brian S. Ellis,2 Jianfeng Zhang, and C. Hsein Juang

    Department of Civil Engineering, Clemson UniversityClemson, SC 29634-0911, USA

    Ph: (864) 656-0488; Fax: (864) 656-2670; E-mail: [email protected] 

    *Corresponding author

    ABSTRACT

    Three methods that follow the general format of the Seed-Idriss simplified procedure for

    evaluating liquefaction resistance of soils are compared in this paper. They are compared by

    constructing relationships between penetration resistance and small-strain shear-wave velocity

    (V S ) implied from cyclic resistance ratio (CRR) curves for the three methods, and by plotting

     penetration-V S  data pairs. The penetration-V S  data pairs are from 45 Holocene-age sand layers in

    California, South Carolina, Canada, and Japan. It is shown that the V S -based CRR curve is more

    conservative than CRR  curves based on the Standard Penetration Test (SPT) and Cone

    Penetration Test (CPT), for the compiled Holocene data. This result agrees with the findings of a

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     Andrus et al. 2003

    INTRODUCTION

    The occurrence of liquefaction in soils is often evaluated using the simplified procedure

    originally proposed by Seed and Idriss [1] based on the Standard Penetration Test (SPT). This

     procedure has undergone several revisions and updates since it was first proposed in 1971,

    including the development of methods based on the Cone Penetration Test (CPT), the Becker

    Penetration Test (BPT), and small-strain shear-wave velocity (V S ) measurements. Youd et al. [2]

     provide a recent review of the Seed-Idriss simplified procedure and the in situ test methods

    commonly used to evaluate liquefaction resistance of soils.

    In situ V S  measurements provide a promising alternative to the penetration tests, which

    may be unreliable in some soils, such as gravelly soils, or may not be feasible at some sites, such

    as capped landfills. In addition, V S   is an engineering property, directly related to small-strain

    shear modulus, and required for dynamic soil response analyses. On the other hand, some

    factors that affect V S  may not equally affect resistance to liquefaction, which is a medium- to

    large-strain event. Also, V S  testing usually does not produce samples for classification or may

    not be conducted with sufficient detail to detect thin liquefiable strata Youd et al [2] and

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    20 additional sand data pairs. Regression analyses are performed on the expanded databases and

    the resulting penetration-V S  relationships are used to develop new, more consistent liquefaction

    evaluation curves.

    REVIEW OF LIQUEFACTION EVALUATION METHODS

    The Seed-Idriss simplified procedure for evaluating liquefaction resistance basically

    involves the calculation of two parameters: 1) the level of cyclic loading on the soil caused by

    the earthquake, expressed as a cyclic stress ratio; and 2) the resistance of the soil to liquefaction,

    expressed as a cyclic resistance ratio. The cyclic stress ratio, CSR, at a particular depth in a level

    soil deposit is calculated from (Seed and Idriss [1]):

    d vv r  g aCSR )'/)(/(65.0 max   σσ=   (1)

    where amax = peak horizontal ground surface acceleration,  g  = acceleration of gravity, vσ = total

    vertical (overburden) stress at the depth in question, v'σ   = effective overburden stress at the

    same depth, and r d  = a shear stress reduction coefficient.

    Three methods, or curves, for determining the cyclic resistance ratio, CRR, are shown in

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     Andrus et al. 2003

    0.0=α   for FC  < 5 % (3a)

    ]/19076.1exp[ 2 FC −=α   for 5 % 35 % (3c)

    0.1=β   for FC  < 5 % (4a)

    ]1000/99.0[ 5.1 FC +=β   for 5 % 35 % (4c)

    Equations 3 and 4 are suggested for routine liquefaction resistance calculations [2].

    In Figure 1b, the curve for determining CRR  from overburden stress-corrected CPT tip

    resistance, qc1 N , by Robertson and Wride [10] is shown. This curve is for earthquakes with M w 

    of 7.5, and sands with FC  < 5 % and median grain size, D50, of 0.25-2.0 mm. To apply the curve

    to soils with FC  > 5 %, Robertson and Wride [10] developed the following correction of qc1 N  to

    an equivalent clean sand value:

     N cccs N c q K q 11 )(   =   (5)

    where (qc1N)cs = equivalent clean sand value of qc1N, and Kc = a correction factor for grain

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    %100)]/([ vc s q f  F    σ−=   (9)

    where qc = measured cone tip resistance,  f  s = measured cone sleeve resistance,  P a = a reference

    stress of 100 kPa (or 1 atm), and n = an exponent that depends on soil type. The values of qc, f  s,

     P a, vσ , and v'σ  are all in the same units. The value of n ranges from 0.5 for clean sands to 1.0

    for clays [11], and can be approximated through an iterative approach [10].

    In Figure 1c, the curve for determining CRR  from overburden stress-corrected shear-

    wave velocity, V S 1, by Andrus and Stokoe [4] is shown. This curve is for earthquakes with M w of

    7.5 and young, uncemented sands and gravels with FC  < 5 %. To apply the curve to soils with

     FC  > 5 % and/or older soils, V S 1 can be corrected to an equivalent young, clean soil value by:

    111111 )()( S csacsS acsaS  V  K  K V  K V    ==   (10)

    where (V S 1)csa1 = equivalent young clean soil value of V S 1, (V S 1)cs = equivalent clean soil value not

    corrected for age,  K cs = a fines content correction factor, and  K a1 = an age factor to correct for

    high V S 1  values caused by aging. Juang et al. [12] suggested the following relationships for

    estimating K cs:

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    relationships by plotting values of ( N 1)60cs, (qc1 N )cs and (V S 1)csa1 with the same CRR values. The

    implied ( N 1)60cs-(V S 1)csa1, (qc1 N )cs-(V S 1)csa1 and (qc1 N )cs-( N 1)60cs  relationships are presented in

    Figures 2, 3 and 4, respectively. One advantage of studying penetration-V S  relationships is they

     provide comparisons of the liquefaction evaluation methods without needing to calculate CSR. 

    Thus, data from sites not shaken by earthquakes can also be used to validate the consistency

     between liquefaction evaluation methods.

    HOLOCENE SAND DATA

    Data from 45 Holocene-age sand layers with  FC  < 20 % or  I c < 2.25 are also plotted in

    Figures 2, 3 and 4. The data are summarized in Table 1. They are from California, South

    Carolina, Canada, and Japan, and are based on measurements performed by various investigators

    [13-24]. The data were originally compiled by Andrus et al. [6], Piratheepan [25], and Ellis [26].

    Three of their compiled Holocene sand data (Coyote Creek with depth of 3.6-6.0 m; Bay Bridge

    Toll Plaza, SFOBB1 with depth of 10.0-12.8 m; and WPC 2000-344, SC1 with depth of 3.8-6.8

    m) are not considered in this paper, because penetration or S V   measurements are not consistent

    i h h d l d i i 2 3 d 4

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     Andrus et al. 2003

    effective stress can be easily made. 2) Measurements are from thick, uniform soil layers

    identified primarily using CPT measurements. When no CPT measurements are available,

    exceptions to Criterion 2 are allowed if there are several SPT and S V   measurements within the

    layer that follow a consistent trend. 3) Penetration test locations are within 6 m of the S V   test

    locations. 4) At least two S V   measurements, and the corresponding test intervals, are within the

    uniform layer. 5) Time history records used for S V  determination exhibit easy-to-pick shear

    wave arrivals. Thus, values of S V   determined from difficult-to-pick shear-wave arrivals are not

    used. When the time history records are not available, exceptions to Criterion 5 are allowed if

    there are at least 3 S V   measurements within the selected layer. The 45 Holocene-age sand layers

    range in depth from 1.7 m to 13.0 m.

    Of the 45 selected sand layers, 27 were tested by seismic cone, 7 by crosshole, 3 by both

    seismic cone and crosshole, 6 by suspension logger, and 2 by downhole techniques. Values of

    (V S 1)cs  are calculated using average  FC   values. Where no  FC   information is available, an

    apparent FC value is calculated using the Ic value and the relationship suggested by Robertson

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    CPT resistances are available for 41 of the 45 selected layers. All of the CPT

    measurements are from 10-cm2

     cones. Values of qc1 N  and I c are averaged over the interval of the

    selected S V    measurements. They are calculated using the electronic CPT data files, when

    available. When the electronic files are not available, average values are determined from the

    reported graphical profiles. Because values of  I c  are not available for the six sand layers in

    Canada, they are approximated using Robertson and Wride’s [10] I c- FC  relationship. Calculated

    (qc1 N )cs values are 0 % to 77 % higher than values of qc1 N .

    REGRESSION ANALYSIS

    Regression equations are determined for the Holocene sand data from nonlinear

    regression analysis by power curve fitting. The decision to use power curve fitting is based

     primarily on results of earlier studies. The regression equation developed for 38 ( N 1)60cs-(V S 1)cs 

    data pairs is expressed as:

    2])[()( 60111 B

    cscsS   N  BV    =   (13)

    where B1 = 87.7 ± 14.4 (95 % confidence interval) and  B2 = 0.253 ± 0.053, with (V S 1)cs in m/s

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    studies by Robertson et al. [29] for mainly quartz sands and Hegazy and Mayne [30] for various

    sands. Values of R2

     and s associated with this regression are 0.544 and 22 m/s, respectively.

    The equation developed for 34 (qc1 N )cs-( N 1)60cs data pairs is expressed as:

    2])[()( 11601 B

    cs N ccs q B N    =   (15)

    where  B1 = 0.488 ± 0.468 and  B2 = 0.779 ± 0.184 with ( N 1)60cs  in blows/0.3 m and (qc1 N )cs  is

    dimensionless. It should be noted that similar B1 and B2 values (0.357 and 0.842, respectively)

    are obtained when Equations 13 and 14 are set equal to each other and solved for ( N 1)60cs,

    indicating that the three equations are in general agreement. For this regression, R2 = 0.709 and s 

    = 7 blows/0.3 m.

    This high s value of 7 blows/0.3 m associated with Equation 15 is not likely the result of

    grain size characteristics. Robertson and Campanella [31] and Seed and de Alba [32] developed

    relationships between median grain size,  D50, and the ratio of CPT tip resistance to energy-

    corrected SPT blow count. Their relationships exhibit penetration ratios increasing from about

    2.5 at  D50 = 0.01 mm to about 5.5-8 at  D50  = 1 mm. This increasing trend is not seen in the

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    COMPARISON OF EVALUATION METHODS

    As explained by Andrus and Stokoe [4], both the SPT and V S  evaluation methods provide

    similar predictions of liquefaction resistance when the data point lies on the implied curve in

    Figure 2. When the data point plots below the implied curve, the V S  method provides the more

    conservative prediction. When the data point plots above the implied curve, the SPT method

     provides the more conservative prediction. Because most of the data points plot below the

    implied curve, the V S  method provides an overall more conservative prediction of liquefaction

    resistance than does the SPT method below ( N 1)60cs  of 26 for the plotted Holocene sand data.

    Above ( N 1)60cs  of 26, both methods appear to provide similar predictions on average. This

    finding agrees with the probability assessment of Juang et al. [12], where the SPT-based CRR 

    curve (see Figure 1a) and the V S -based CRR curve (see Figure 1c) are characterized with average

     probability of liquefaction, P  L, of 31 % and 26 %, respectively.

    Both the CPT and V S   evaluation methods provide similar predictions of liquefaction

    resistance when the data point lies on the implied curve in Figure 3. When the data point plots

    below the implied curve the VS method provides the more conservative prediction When the

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    for the V S   curve for the lowest V S 1  value (100 m/s) of most soils with  FC   < 5 %. More

    liquefaction/no liquefaction case histories are needed at these lower values of CSR, ( N 1)60cs,

    (qc1 N )cs, and (V S 1)cs to fully assess these assumptions.

    Both the CPT and SPT methods provide the same predictions of liquefaction resistance,

    when the data point lies on the implied curve in Figure 4. When the data point plots below the

    implied curve, the SPT method provides the more conservative prediction. When the data point

     plots above the implied curve, the CPT method provides the more conservative prediction.

    Because more of the data points between (qc1 N )cs of 40 and 120 plot above the implied curve, the

    CPT method provides more conservative predictions of liquefaction resistance than does the SPT

    method in this range. Above (qc1 N )cs of 120, the mean curve for the data points plots below the

    implied curve, indicating the SPT method is more conservative in that range.

    Liquefaction resistance curves that are consistent, on average, may be obtained using

    Equations 13 and 14 and the V S -based CRR curve defined by [4]:

    −+

    =

    215

    1

    )(215

    18.2

    100

    )(022.0

    11

    211

    5.7csaS

    csaS cs

    V CRR   (16)

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    Because Equation 16 is characterized with  P  L = 26 % [12], Equations 17 and 18 should

    also define curves of similar P  L. To verify this assumption, results of various probability studies

    are plotted in Figures 7a, 7b and 7c. In Figure 7a, Equation 17 is compared with six P  L = 26 %

    curves determined from SPT-based liquefaction case histories. The curves by Liao et al. [33],

    Youd and Noble [34], Toprak et al. [35], and Juang et al. [12] Model 1 are derived from logistic

    regression analysis. The curves by Cetin et al. [36] and Juang et al. [12] Model 2 are derived

    from Bayesian analysis. Five of the  P  L = 26 % curves suggest upper bounds for liquefaction

    occurrence greater than ( N 1)60cs  of 30, the value traditionally assumed as the limiting upper

     bound [9]. These larger upper bound values could be real, or they could be the result of the

    model assumed. Nevertheless, the agreement is remarkable given the fact that Equation 17 is

    derived from V S -based liquefaction case histories and the SPT-V S  regression equation.

    In Figure 7b, Equation 18 is compared with three  P  L  = 26 % curves determined from

    CPT-based liquefaction case histories. The curves by Toprak et al. [35] and Juang et al. [12]

    Model 1 are derived from logistic regression analysis. The Model 2 curve by Juang et al. [12] is

    derived from Bayesian analysis It can be seen that Equation 18 generally agrees with all three

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    the logistic model equation assumed in the SPT and CPT probability studies [33-35]. Model 2 in

    Figure 7c is also derived from logistic regression analysis, but is different from the Model 1

    equation by an additional term. Model 3 is the Andrus and Stokoe [4] curve and is characterized

    as a P  L = 26 % curve from Bayesian analysis. It can be seen that all three curves are in general

    agreement below (V S 1)csa1  of 210 m/s. The high limiting upper (V S 1)csa1  value of 235 m/s

    suggested by Model 1 is believed to be the result of the form of the assumed logistic model

    equation.

    RECOMMENDATIONS FOR DESIGN EVALUATIONS

    The Building Seismic Safety Council (BSSC) [37] suggests a factor of safety of 1.2 to 1.5

    is appropriate when applying the SPT-based CRR curve by Seed et al. [9] in engineering design

    evaluations, where factor of safety,  F S , is defined as CRR/CSR  Traditionally, liquefaction is

     predicted to occur when  F S  < 1; and not occur with  F S   > 1. Juang et al. [12] characterize the

    Seed et al. [9] curve as a  P  L = 31 % curve, and interpret  F S  values of 1.2 to 1.5 as corresponding

    to P  L of 20 % to 10 %.

    The SPT CPT and VS based CRR curves defined by Equations 16 17 and 18

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    CONCLUSIONS

    Regression analyses were performed on penetration and V S   data pairs from Holocene

    sands, and the resulting equations were compared with relationships implied by CRR curves for

    three liquefaction evaluation methods. Based on the comparisons, the following conclusions can

     be made:

    1. For the compiled Holocene sand data, the SPT-based CRR curve [9] between ( N 1)60cs 

    values of 8 to 20 was shown to be less conservative, on average, than the V S - and

    CPT-based CRR curves [4, 10]. The CPT-based CRR curve above a (qc1 N  )cs value of

    about 120 was shown to be less conservative than the SPT- and V S -based CRR curves.

    These results are in general agreement with a recent probability study [12].

    2. New equations were developed for estimating CRR  from ( N 1)60cs  and (qc1 N   )cs  by

    substituting the developed regression equations into the equation defining the V S -

     based CRR  curve. These new equations compared well with  P  L  = 26 % curves

    developed by various investigators using SPT and CPT liquefaction case histories.

    3 More high quality penetration VS data are needed from other deposit and soil types to

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    Transportation (SCDOT) and the Federal Highway Administration under SCDOT Research

    Project No. 623. The views and conclusions contained in this document are those of the authors

    and should not be interpreted as necessarily representing the official policies, either expressed or

    implied, of the U.S. Government or the State of South Carolina. The authors acknowledge the

    insights shared by K. H. Stokoe, II of The University of Texas at Austin during earlier

    collaborative studies and by T. L. Holzer of USGS during parts of this work. The authors also

    express their sincere thanks to the many individuals who generously assisted with data

    compilation. In particular, T. L. Holzer, M. J. Bennett, J. C. Tinsley, III, and T. E. Noce of

    USGS, S. Iai of the Port and Harbour Research Institute in Japan, R. Boulanger of the University

    of California at Davis, and T. J. Casey and W. B. Wright of Wright Padgett Christopher.

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     Andrus et al. 2003

     Liquefaction, Technical Report MCEER-00-0019, Multidisciplinary Center for Earthquake

    Engineering Research, Buffalo, NY, 1999; 69-86.

    [36] Cetin, K.O., Seed, R.B., and Der Kiureghian, A. Probabilistic assessment of liquefaction

    initiation hazard. Proceedings of the Twelth World Conference on Earthquake Engineering,

    Auckland, New Zealand, 2000.

    [37] Building Seismic Safety Council (BSSC). NEHRP Recommended Provisions for Seismic

    Regulation for New Buildings and Other Structures,  FEMA 368, Federal Emergency

    Management Agency, Washington, DC, 2000; Part 2: page 196.

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     Andrus et al. 2003

    Table 1. Data from Holocene soil deposits with FC  < 20 % or I c < 2.25.

    Site Name Depth

    (m)

    USCS

    Soil

    Type

     D50 

    (mm)

     FC a 

    (%)

    V S  Test

    Type b 

    V S1cs 

    (m/s)

    (N 1 )60cs  I c  qc1Ncs  Source

    California, USA

    Bay Bridge, SFOBB1 5.4 - 7.2 SP-SM 0.26 12 CH 152 7 2.15 67 [13]

    Bay Bridge, SFOBB1 8.0 - 9.9 SP-SM 0.27 8 CH 151 20 1.90 77 [13]

    Bay Farm Island-Dike 3.7 - 5.0 SP-SM 0.23 8 CH 211 53 1.35 321 [13]

    Bay Farm Island-Dike 5.0 - 7.8 SP-SM 0.28 12 CH 250 48 2.09 185 [13]

    Heber Road, Point Bar 1.8 - 4.2 SM 0.11 18 CH 233 34 2.00 319 [14,15]

    Port of Oakland, P007-2 3.0 - 5.1 SP-SM 0.29 7 CH/SCPT 183 22 1.50 173 [13]

    Port of Oakland, P007-2 5.3 - 6.8 SP-SM 0.30 6 CH/SCPT 172 13 1.88 73 [13]

    Port of Oakland, P007-2 6.8 - 9.1 SP-SM 0.30 3 CH/SCPT 167 16 1.71 112 [13]

    Sandholt Road, UC-4 2.1 - 3.5 SP 0.85 2 SCPT 161 15 1.42 188 [16]

    Sandholt Road, UC-4 6.3 - 10.1 SP 1.11 3 SCPT 216 43 1.19 332 [16]

    State Beach, UC-15 2.0 - 3.8 SP 0.28 2 SCPT 137 7 1.90 67 [16]

    State Beach, UC-15 3.8 - 5.5 SP 0.38 1 SCPT 156 9 1.73 76 [16]

    State Beach, UC-15 5.6 - 8.7 SP 1.68 2 SCPT 231 39 1.32 204 [16]

    State Beach, UC-16 2.4 - 4.6 SP 0.43 2 SCPT 192 22 1.47 171 [16]

    State Beach, UC-16 4.6 - 6.7 SP 0.57 1 SCPT 175 17 1.40 166 [16]

    State Beach, UC-16 6.7 - 8.6 SP 0.57 1 SCPT 197 30 1.32 201 [16]

    Treasure Island, B1-B3 2.2 - 4.0 SP-SM 0.21 7 CH 162 21 1.87 85 [17]

    Treasure Island, B1-B3 9.0 - 11.5 SM 0.21 14 CH 183 17 2.11 64 [17]Treasure Island, UM-05 3.3 - 5.7 SP 0.33 4 SCPT 170 14 1.82 79 [18]

    Treasure Island, UM-05 5.8 - 8.3 SP-SC 0.33 7 SCPT 188 18 1.88 72 [18]

    Treasure Island, UM-06 2.2 - 5.0 SP nac  3 SCPT 175 12 2.10 44 [18]

    Treasure Island, UM-06 5.0 - 10.4 SP 1.41 3 SCPT 193 21 1.82 73 [18]

    Treasure Island, UM-09 2.7 - 6.3 SP-SC 0.15 11 SCPT 161 9 2.04 68 [18]

    USGS Alameda, ALC026 4.0 - 10.0 na na 7d  SCPT 233 na 1.73 237 [19]

    South Carolina, USA

    WPC 2000-344, SC2 6.4 - 10.4 na na 6d  SCPT 193 na 1.67 108 [20]

    WPC 2000-344, SC3 4.5 - 8.5 na na 6d

      SCPT 160 na 1.72 118 [20]WPC 2000-344, SC5A 3.8 - 8.8 SM 0.13 29 SCPT 224 29 1.61 130 [20]

    WPC 2000-344, SC5B 3.8 - 10.8 SM na 7d  SCPT 210 na 1.77 105 [20]

    WPC 2000-344 SC10 7 4 - 10 4 na na 20d SCPT 247 na 2 24 229 [20]

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    23/27(     V     S   1   )   c   s

    300

    Curve implied from

    CRR relationships

    Corrected SPT Blow Count, ( N 1)60cs

       C  o  r  r  e  c   t  e   d   S   h  e

      a  r  -   W  a  v  e   V  e   l  o  c   i   t  y ,

       (     V     S   1   )   c   s

    0 10 20 30 40 60100

    150

    200

    250

    300

    50

    (V S 1)cs = 87.7 [( N 1)60cs]0.253

    Mean curve:

    Curve implied from

    CRR relationships

    Location

    California

    Canada

    Japan

    So. Carolina

    Figure 2. Relationships between (V S 1)cs and ( N 1)60cs for uncemented, Holocene sands

     Andrus et al. 2003

    Location

    California

    Canada

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    Corrected CPT Tip Resistance, (qc1 N )cs

       C  o  r  r  e  c   t  e   d   S   P   T   B   l  o  w   C  o  u  n   t ,

       (     N   1   )   6   0   c   s

    0 50 100 200 3000

    10

    20

    30

    60

    40

    (qc1 N )cs

    = 321

     = 332

    150 250

    50

     = 319Curve implied from

    CRR relationships

    ( N 1)60cs = 0.488 [(qc1 N )cs]0.779

    Mean curve:

    Figure 4. Relationships between ( N 1)60cs and (qc1 N )cs for uncemented, Holocene sands

     Andrus et al. 2003

    Location

    California

    Canada

    Japan

    So. Carolina

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    Median Grain Size, D50, mm

       C  o  r  r  e  c   t  e   d   P  e  n  e   t  r  a   t   i  o  n   R  a   t   i  o ,   (   q   c   1

         N   )   c   s   /   (     N   1   )   6   0   c   s

    0.01 0.1 1 100

    2

    4

    6

    12

    8

    10

    Figure 5. Relationship between corrected penetration ratio and median grain size for uncemented, Holocene sands

     Andrus et al. 2003

    Location

    California

    Canada

    Japan

    So. Carolina

    (qc1 N )cs/( N 1)60cs = 12.5

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