TECHNICAL NOTES

Use of SPT Blow Counts to Estimate Shear Strength

Properties of Soils: Energy Balance Approach
Hiroshan Hettiarachchi1 and Timothy Brown2
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Abstract: In foundation designs, standard penetration test 共SPT兲 blow counts are typically used to estimate shear strength properties of
soils. Few correlations are widely in use to make such estimations. However, the selection of these correlation equations are not often
justified or explained. This manuscript describes a new approach to estimate the shear strength properties based on the SPT blow counts.
The proposed method treats SPT analogous to driving a miniature open-ended pipe pile. During SPT, part of the energy is transferred into
the soil. This energy is dissipated at the soil-sampler interface to overcome skin and point resistance to penetrate a sampler into the soil.
Energy balance was used to correlate the SPT blow count to the shear strength properties of the soil at the depth of testing. Two separate
equations were derived: one to estimate the friction angle 共␾⬘兲 of sand and the other to estimate the undrained shear strength 共cu兲 of clay.
SPT results from two sites were used to calibrate the proposed equations, and then two other sets of data were used to verify them. With
a low average standard deviation in the calibration process, the proposed N60 − ␾⬘ equation demonstrated a strong correlation. The
proposed N60 − cu equation did not provide as strong a correlation as the N60 − ␾⬘ equation. However, a statistical analysis revealed that for
the data used in this research, both equations could estimate shear strength properties better than the commonly used, other existing
correlations. The proposed equations may not work in very stiff clay or very dense sand and should not be used to analyze SPT results
with poor recovery.
DOI: 10.1061/共ASCE兲GT.1943-5606.0000016
CE Database subject headings: Penetration tests; Shear strength; Friction; Energy; Foundation design.

Background make correlations between N and the angle of internal friction

共␾⬘兲 and undrained shear strength 共cu兲. These estimations should
Soil sampling combined with laboratory testing is the most reli- be made by individuals who have a thorough understanding of
able method to determine shear strength properties of subsurface soil behaviors. However, this is not the case always because en-
soils. Due to limited budgets, tight schedules, or lack of concern, gineers with little or no experience in evaluating soil logging are
sometimes projects do not receive proper laboratory recommen- sometimes expected to design foundations using a design chart,
dations. However, in many cases, soil type, depth of water table,
and standard penetration test 共SPT兲 blow counts are available to
judge the subsurface soil conditions. Therefore, when laboratory
data are not available, it is a common practice to estimate the
shear parameters from the SPT results.
Fig. 1 shows a schematic diagram of the SPT. When a bore-
hole is extended to a predetermined depth, the drill tools are re-
moved to lower the split spoon sampler to the bottom of the hole.
The sampler is driven into the soil by 760 mm drops of a 63.5 kg
hammer 共ASTM 2008兲. The number of blows required to drive
the second and third 150 mm segments out of three consecutive
150 mm segments is defined as the SPT blow count 共N兲.
Numerous charts, tables, and equations are currently in use to

1
Assistant Professor, Dept. of Civil Engineering, Lawrence Techno-
logical Univ., 21000 West Ten Mile Rd., Southfield, MI 48075 共corre-
sponding author兲. E-mail: [email protected]
2
Geotechnical Engineer, Patrick Energy Services, 19500 Victor
Pkwy., Ste. 300, Livonia, MI 48152.
Note. This manuscript was submitted on January 11, 2008; approved
on September 12, 2008; published online on February 19, 2009. Discus-
sion period open until November 1, 2009; separate discussions must be
submitted for individual papers. This technical note is part of the Journal
of Geotechnical and Geoenvironmental Engineering, Vol. 135, No. 6,
June 1, 2009. ©ASCE, ISSN 1090-0241/2009/6-830–834/$25.00. Fig. 1. Schematic diagram of SPT 共not to scale兲

830 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / JUNE 2009

J. Geotech. Geoenviron. Eng. 2009.135:830-834.

 which is not fully understood. This practice shows a strong need overcome the resisting forces: skin resistance 共Qs兲 mobilized on
for a reliable tool to estimate the shear strength properties of soils. the vertical surface and the point resistance 共Q p兲 mobilized at the
Therefore, the objective of this research is to introduce a new base of the sampler 共Fig. 1兲. Brown and Hettiarachchi 共2008兲
rational method to estimate ␾⬘ and cu of soils using N. The used this analogy to develop a relationship between N, ␾⬘, and cu,
method proposed in this manuscript employs the concept of en- but assumed zero Q p to simplify their approach.
ergy balance to build a relationship between N, ␾⬘, and cu. The method proposed in this research relies on two basic as-
Numerous previous studies suggest that the hammer efficiency sumptions: 共1兲 the resistive force mobilized on the inner sampler
共␩兲 can vary in a wide range 共30–90%兲, depending on the type of surface is negligible; 共2兲 no plugging occurs during penetration.
hammer 共Schmertmann 1979; Seed et al. 1985; Skempton 1986; For the first assumption, a justification lies in the state of the
Odebrecht et al. 2005兲. Seed et al. 共1985兲 and Skempton 共1986兲 practice in the U.S. The inside diameter of the SPT sampler is
proposed that the field N should be standardized to N60 to reflect 35 mm near the open end, but above it is enlarged to a 38 mm to
␩ = 60%. Now it has become the common practice and almost all
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hold a liner. However, drillers seldom use samplers with liners.

correlations are, hence, based on N60. This difference in diameters causes an apparent clearance be-
tween the sample and the inside wall of the sampler, which leads
to a great reduction in friction on the inner surface of the sampler.
Widely Used N60 − ␾⬘ Correlations for Sand
When a liner is not present, it is reasonable to neglect the skin
Early work on estimating ␾⬘ from N60 attempted to make direct resistance on the inner surface 共Schmertmann 1979兲. Therefore,
correlations 共Meyerhof 1956; Peck et al. 1974兲. A graphical rep- Qs in the following analysis only includes the skin resistance from
resentation by Peck et al. 共1974兲 was later approximated by the outer surface.
Eq. 共1兲 共Wolff, 1989兲 Schmertmann 共1979兲 also observed increased recovery when
the liners were absent. This implies that there is less chance for a
␾⬘ = 27.1 + 0.3N60 − 0.00054N260 共1兲
plug to form when the liner is not present in a sampler and vali-
Laboratory results by Gibbs and Holtz 共1957兲 showed that dates the second assumption to a certain extent. The magnitude of
effective overburden pressure 共␴⬘兲 could significantly affect the Q p developed at the base of the sampler can vary with the soil
N. Schmertmann 共1975兲 included ␴⬘ into a N − ␾⬘ relationship. type. Q p may be negligible in soft clay, but it can be as high as
This correlation was later approximated by Kulhawy and Mayne 50% of the total resisting force in high friction soils such as dense
共1990兲 to Eq. 共2兲 where pa 共=100 kPa兲 is the atmospheric pressure sand 共Schmertmann 1979兲. Therefore, the contribution from Q p is
taken into consideration in the proposed analysis.
␾⬘ = tan−1兵N60/关12.2 + 20.3共␴⬘/pa兲兴其0.34 共2兲
The work done by the sampler to overcome Qs and Q p during
Despite the above research, there have been few other attempts the penetration of the second and the third 150 mm segments 共E1兲
to correlate ␾⬘ directly to N without considering ␴⬘ 共Peck et al. can be expressed as in Eq. 共6兲 if the sampler penetrates into the
1953; Japan Road Association 1990兲. Hatanaka and Uchida soil by ⌬d as a response to a single hammer blow
共1996兲 tested high quality, undisturbed frozen samples from few
sites in a standard triaxial apparatus and each ␴⬘ was compared E1 = 兺 共Qp + Qs兲⌬d = 兺 Qp⌬d + 兺 Qs⌬d 共6兲
against the corresponding N60. They proposed Eq. 共3兲 to estimate
␾⬘ where CN is a correction factor Qs = product of unit skin resistance 共qs兲 and the outer surface
area 共As兲 in contact with soil. During the test, Qs grows with
␾⬘ = 冑20CNN60 + 20 共3兲 increasing As while qs stays more or less a constant. In the begin-
ning of driving the second 150 mm segment, the Qs is distributed
over a 150 mm height of soil. When it reaches the end of the third
Widely Used N60 − cu Correlations for Clay 150 mm segment, the area corresponds to a 450 mm height of
Efforts have been made to find a general relationship between cu soil. Therefore, a 300 mm average height is used in the calcula-
and N60. Many such relations suggest that cu is proportional to N60 tions to determine the average outer surface area 共As,av兲. Q p
共Terzaghi and Peck 1967; Stroud 1975兲. Terzaghi and Peck 共1967兲 = product of unit point resistance 共q p兲 and the bearing area 共A p兲,
published an approximate relationship between unconfined com- and it is assumed to stay as a constant during the test. Based on
pressive strength 共qu兲 and N60 and stated that the scattering of qu the second assumption, only the metal cross-sectional area is used
could be very large at a given N60. This approximate relationship to calculate A p 共using the 35 mm inner and 51 mm outer diam-
was later modified by Kulhawy and Mayne 共1990兲 to Eq. 共4兲 to eters兲. Eq. 共6兲 can be further modified to Eq. 共7兲, where d = total
estimate cu of clay distance traveled during the penetration of the second and third
segments
cu/pa = 0.06N60 共4兲
Some believe it is unlikely that a generally accepted relation-
E1 = 兺 Apqp⌬d + 兺 Asqs⌬d = Apqp 兺 ⌬d + As,avqs 兺 ⌬d
ship between cu and N60 will be found and a realistic correlation = A pq pd + As,avqsd 共7兲
may be possible for clays within the same geology. Eq. 共5兲 by
Hara et al. 共1974兲 is an example for one such effort Energy transferred into the SPT sampler per hammer blow is
equal to the theoretical free-fall energy 共hammer weight, W times
cu/pa = 0.29共N60兲0.72 共5兲 drop height, h兲 of the hammer times ␩. Therefore, the energy
delivered to the sampler by the hammer 共E2兲 is

E2 = ␩共Wh兲N = 0.6共Wh兲N60 共8兲

Proposed Method Based on Energy Balance
Based on field and numerical simulations, Schmertmann
A SPT sampler resembles an open-ended pipe pile, when it is 共1979兲 concluded that energy loss in the rod is negligible 共at least
driven into soil. To penetrate the soil, the driving force has to to a 21 m depth兲 and most of the energy delivered goes into

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J. Geotech. Geoenviron. Eng. 2009.135:830-834.

 pushing the sampler into the soil. Odebrecht et al. 共2005兲 argued Table 1. Data Used for ␤⬘ Estimation
that the effective energy delivered to the sampler should also be a SPT number Depth 共m兲 ␴⬘ 共kPa兲 N60 ␾⬘ 共deg兲
function of the ⌬d and the weight of the rod in addition to the W
and h. The rod weight’s contribution may only be significant 1576 6.7 64.0 37 33
when SPT is conducted at deeper depths. However, they also 1585 1.2 19.5 10 30
explained that a possible loss of wave energy in a long rod could 1585 2.9 50.0 66 33
be partially compensated by the extra weight added by the long 1588 3.0 25.4 28 32
rods. Therefore, assuming no considerable energy loss in the rod, 1605 2.1 35.0 64 33
Eq. 共7兲 is set equal to Eq. 共8兲 1605 4.6 67.7 85 34
1606 6.1 52.3 51 32
A pq pd + As,avqsd = 0.6WhN60 共9兲
1609 3.7 58.2 33 33
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1609 6.4 89.0 92 33

Proposed N60 − ␾⬘ Correlation for Sand 1612 7.9 62.5 48 34
1615 6.1 38.9 60 32
qs is modeled similarly to the skin resistance on a driven pile 关Eq. 1618 7.9 73.3 58 35
共10兲兴. In such equations, the angle of friction between sand and 1621 6.1 65.0 45 35
pile material 共steel in this case兲 is typically assumed to be pro-
1624 3.0 29.6 17 31
portional to soil friction, i.e., ␤␾⬘ where ␤ = constant of propor-
1627 4.9 52.8 7 28
tionality. K = coefficient of lateral earth pressure
1627 7.9 74.1 8 29
qs = K␴⬘ tan共␤␾⬘兲 共10兲 1630 4.9 45.6 80 34
Eq. 共11兲 共Paik and Salgado 2003兲 estimates q p of an open- 1630 8.1 73.1 52 35
ended pipe pile driven in sand, where B varies between 0 and 1 1633 4.9 44.2 24 32
depending on the relative density 共Dr兲 of sand; and IFR 1633 7.6 63.4 45 33
= incremental filling ratio defined as plug length divided by pen- 1636 3.4 37.4 28 32
etration length of a pipe pile. With no plug formation, IFR for the 1653 1.5 23.8 10 30
SPT sampler is 1.0 1653 4.6 78.8 15 33
1653 7.9 113.2 54 32
q p = BK␴⬘共326 − 295IFR兲 = 31BK␴⬘ 共11兲
1662 3.4 57.8 17 32
Substituting Eqs. 共10兲 and 共11兲 in Eq. 共9兲 results in a N60 1669 2.4 46.0 25 31
− ␾⬘ relationship—Eq. 共12兲. ␴⬘ is divided by pa to express it in a 1669 7.9 107.6 27 33
dimensionless form. Eq. 共12兲 is further simplified to Eq. 共13兲, by 1671 6.4 69.5 41 34
replacing d, h, A p, As,av, W, and pa with their numerical values 1673 2.4 30.7 14 31
and 1 / ␤ by ␤⬘ 1676 6.4 63.5 9 31

␾⬘ =
1
␤
tan−1 冋冉 0.6Wh
冊 N60
As,avdpa K共␴⬘/pa兲
− 31
Ap
As,av
冉 冊册
B 共12兲
1679
1679
1679
3.4
6.1
7.9
42.2
61.3
74.1
16
40
30
30
32
33

␾⬘ = ␤⬘ tan−1 冋 0.2N60
K共␴⬘/pa兲
− 0.68B 册 共13兲
1686
1686
1696A
6.4
7.9
2.7
110.3
136.5
41.1
12
25
20
28
30
32
Note: Data from Commonwealth Associates Inc., Jackson, Mich. SPT
conducted in 2005, Oconto and Marinette County, Wis. ␩ = 60%.
Proposed N60 − cu Correlation for Clay
qs developed on a SPT sampler in clay is modeled similarly to the
Eqs. 共13兲 and 共15兲. The writers believe that the data used in this
skin resistance on a driven pile. In such equations, adhesion be-
research are sufficient to establish approximate values for ␤⬘ and
tween clay and pile material is typically assumed proportional to
␣⬘. However, it should be emphasized that the objective of this
cu of clay, i.e., qs = ␣cu where ␣ = constant. It is also common in
exercise is not to comment on the numerical values for ␤⬘ and ␣⬘,
pile design to approximate q p in clay by 9cu 共Meyerhof 1951兲.
but to demonstrate the usefulness of the proposed method.
These approximations and Eq. 共9兲 provide a N60 − cu
Results from 36 SPT carried out in Oconto and Marinette
relationship—Eq. 共14兲. Eq. 共15兲 is obtained by replacing d, h, A p,
County, WI in 2005 were used to estimate ␤⬘. Sufficient details of
As,av, W, and pa by their numerical values and 1 / 共1 + 5␣兲 by ␣⬘
these tests and measured ␾⬘ 共by direct shear tests兲 are given in
cu
pa
= 冉
0.6Wh
As,avdpa
冊冉 N60
9共A p/As,av兲 + ␣
冊 共14兲
Table 1. Both K and B 关Eq. 共13兲兴 are functions of Dr of sand. K
typically varies from 0.5 for loose sand to 1 for dense sand de-
posits. If driven unplugged, K = 0.8 for open-ended pipe piles
共Reese et al. 2006兲. B for dense, medium, and loose sand is 1, 0.6,
cu/pa = N60/共1 + 5␣兲 = ␣⬘N60 共15兲
and 0.25, respectively 共Paik and Salgado 2003兲. In the absence of
specific soil data, average values of K = 0.8 and B = 0.6 were as-
sumed. They produced an average value of ␤⬘ = 2.61 共standard
Estimation of ␤⬘ and ␣⬘ deviation= 0.14兲.
Results from 14 SPT conducted in St. Clair, MI in 1973 were
Data obtained from a consulting company through the affiliations used for ␣⬘ estimation 共average ␣⬘ = 0.041; standard deviation
of the second writer were used to calibrate 共and to verify later on兲 = 0.019兲. Sufficient details of these tests and cu values 共by uncon-

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J. Geotech. Geoenviron. Eng. 2009.135:830-834.

 Table 2. Data Used for ␣⬘ Estimation
SPT number Depth 共m兲 N60 cu 共kPa兲
4 3.0 58 171.5
10 3.0 97 411.0
16 9.1 47 231.8
18 7.6 55 179.0
20 1.5 9 65.8
20 7.6 27 110.3
20 9.1 29 99.3
22 7.6 13 92.0
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22 9.1 18 107.5
23 4.0 26 166.0
37 22.9 40 58.3 Fig. 2. Comparison of the calculated ␾⬘ with the measured
37 25.9 15 28.8
37 36.6 19 51.0
39 36.6 11 28.0 cally better than the other method. Eq. 共15兲 also produced more
Note: Data obtained from Commonwealth Associates Inc. Jackson, Mich.
conservative results 共slightly underestimated兲 for the data given in
SPT conducted in 1973, St. Clair, Mich. ␩ = 60%. Table 4.
Though it has a rational basis, Eq. 共15兲 still produces a simple
N60 − cu relationship similar to Eq. 共4兲. Eq. 共15兲 is different from
fined compressive strength tests兲 are given in Table 2. Eq. 共4兲 only by the proportionality constant 共0.04 instead of 0.06兲.
High standard deviation in percent error 共shown in Table 5兲 im-
plies that both methods perhaps lack details specific to cohesive
Verification and Discussion soils such as overconsolidated ratio and in situ moisture content.
Since Eq. 共13兲 was derived assuming zero adhesion and
The data in Table 3 were analyzed using ␤⬘ = 2.61, K = 0.8, and Eq. 共15兲 was derived assuming zero friction, they are not suitable
B = 0.6. Fig. 2 compares ␾⬘ predicted by Eq. 共13兲 with measured
␾⬘. Predictions by Eqs. 共1兲–共3兲 are also included in Fig. 2 for
comparison. CN proposed by Liao and Whitman 共1986兲 was used Table 4. Data Used for Verification of Eq. 共15兲
with Eq. 共3兲. Performance of the equations was compared by the
distribution of average error 共percent deviation of the calculated SPT number Depth 共m兲 N60 cu 共kPa兲
␾⬘ from the measured兲 as given in Table 5. With the lowest error 12 0.8 7 37.5
and standard deviation, statistically, Eq. 共13兲 performs better than 12 7.9 12 56.3
other equations. For data in Table 3, Eq. 共13兲 also produces more 32 1.2 9 56.3
conservative results by slightly underestimating the ␾⬘. 44 1.2 16 50.0
Eq. 共15兲 was verified using the data given in Table 4 and ␣⬘ 49 0.9 7 37.5
= 0.041. Fig. 3 compares cu predicted by Eq. 共15兲 with the mea- 49 13.1 12 100.0
sured. Predictions by Eq. 共4兲 are also included in Fig. 3. Eq. 共5兲
49 14.6 10 50.0
was not used in the comparison due to the unknown geological
49 16.2 16 75.0
history of the soil. Statistical distribution of percent errors for the
4066 1.4 10 37.5
estimations by Eqs. 共15兲 and 共4兲 are also presented in Table 5.
Even with a large percent error, prediction by Eq. 共15兲 is statisti- 4066 2.1 17 62.5
4066 3.0 31 100.0
4066 10.7 35 150.0
Table 3. Data Used for Verification of Eq. 共13兲 Note: Data from Commonwealth Associates Inc. Jackson, Mich. SPT
SPT number Depth 共ft兲 ␴⬘ 共kPa兲 N60 ␾⬘ 共deg兲 conducted in 2005, Farmington, Minn. ␩ = 60– 65%.

12 1.5 27.5 16 30
12 2.4 35.8 13 32
12 4.0 50.8 23 30
12 15.2 171.0 69 35
23 8.5 145.0 27 30
32 1.8 33.0 11 30
32 4.3 55.0 11 30
32 7.0 82.0 26 32
44 2.4 48.0 24 35
44 13.7 162.0 31 30
44 15.2 178.3 45 35
49 4.0 54.0 11 32
49 5.2 67.0 23 30
Note: Data from Commonwealth Associates Inc., Jackson, Mich. Tests
conducted in 2005, Farmington, Minn. ␩ = 60– 65%. Fig. 3. Comparison of the calculated cu / pa with the measured

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J. Geotech. Geoenviron. Eng. 2009.135:830-834.

 Table 5. Statistical Comparison of Results from Different Methods and split-barrel sampling of soils.” Annual book of standards, D 1586-
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Average Standard
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Hatanaka and Uchida 共1996兲 −36.52 10.62
1–12.
Proposed [Eq. (15)] +25.45 19.94
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