1043

Uniform effective stress equation for soil mechanics

quation aux contraintes effectives uniformes pour la Mcanique des Sols
Shao L.-T., Liu G., Guo X.-X.
Dalian University of Technology, Dalian, P. R. China
ABSTRACT: The internal force of soil skeleton may, according to its different effect, be seperated into two groups of different
balance system, including one by external load, and the pore fluid pressure and the skeleton internal force by it. In this paper we
define the soil skeleton stress as the soil skeleton internal force by the external load excluding the pore fluid pressure. Then taking the
soil skeleton, pore water and pore air as independent analysis object, we educe the soil differential equation of equilibrium from the
balance analysis of infinitesimal. By comparing with the soil differential equation of equilibrium of total stress after adding up the soil
differential equation of equilibrium of each phase of the soil, we can obtain the relationship expression of total soil stress, skeleton
stress and pore fluid pressure, which is considered as the soil skeleton stress equation, equivalent to the effective stress equation by
Terzaghi in the saturated condition. Therefore, the uniform soil mechanics effective stress equation is obtained, indicating the physical
property of the effective stress equation is the interaction of inter-phase forces. The effective stress expression on the basis of the
shearing strength equivalent or volume deformation equivalent can be expressed with the soil skeleton stress or pore fluid pressure as
well.
RSUM : Les efforts subis par le squelette solide dun sol peuvent se diviser en deux parties en quilibres qui sont celles dues le
pression du fluide interstitiel et celle due au chargement externe. Dans cet article, dans lanalyse des efforts sur le squelette les effets
de la pression interstitielle ne sont pas pris en compte dans un premier temps. Ensuite, on crit les quations dquilibre global sur un
lment de volume infinitsimal en introduisant les effets des pressions de fluide et de gaz interstitiels. On analyse successivement
lquilibre de chaque phase et on additionne ensuite les quations ce qui permet de relier entre eux les efforts total, effective et de
pression de fluide. Lquation des efforts du squelette reprsente, dans le cas satur, lquation sur les contraintes effectives de Karl
Terzaghi. On trouve ainsi une quation unifiant des contraintes effectives en Mcanique des Sols. On lutilise pour prouver que la
nature physique de lquation des contraintes effectives est de reprsenter linteraction entre les diffrentes phases. On peut aussi
tablir de manire quivalente une expression de la contrainte effective base sur la contrainte de cisaillement ou la dformation
volumique.
KEYWORDS: Soil mechanics ; Effective stress equation ; Soil skeleton stress ; Saturated soil ; Unsaturated soil ; Equivalent stress

1 INTRODUCTION
The soil is the multiple-phase body of the soil skeleton and
pore fluid, of which the former forms the soil structure The soil
deformation and shearing strength is considered as the soil
skeleton deformation and shearing strength.
The analysis shall, according to the present soil mechanics
study method, be made on the soil internal force, with the whole
soil including the pore fluid as the object and obtain the
effective stress controlling the soil deformation and strength
with the introduction of the effective stress principle. In terms
of effective stress, some scholars consider it as the equivalent
stress educed from the soil strength or deformation equivalent
while some others regard it as the soil skeleton stress. However,
the effective stress principle has no sufficient theoretical basis.
Therefore, the principle has been in debate since it was put
forward, with focus on the amendment and applicability of the
effective stress equation for the saturated soil and whether there
is the effective stress equation and its form for the unsaturated
soil.
This thesis, taking the soil skeleton and pore water as
independent analysis object, divided the force on the soil
skeleton into two groups of balance system according to
different effects. The thesis educes the internal force differential
equation of equilibrium of the saturated and unsaturated soil
with the interaction principle of inter-phase force, thus
obtaining the soil skeleton stress equation, which indicates the
soil skeleton stress equation is the soil effective stress equation.
The thesis makes further discussion on the effective stress
principle, indicating the effective stress equation by Terzaghi is
unnecessary to be amended for its accurately tenable for the
saturated soil. The effective stress expression on the basis of the
shearing strength equivalent or volume deformation equivalent
may be expressed with the soil skeleton stress or pore fluid
pressure as well. The study in the thesis may provide foundation
for establishing the uniform soil mechanics theory of the
saturated and unsaturated soil.
2 TWO BALANCE FORCE SYSTEMS ACTING ON SOIL
SKELETON
To be definite, we consider the stress of the soil mixture as
the total soil stress and the stress with the skeleton as the
independent analysis object as the soil skeleton stress. In the
internal force analysis on infinitesimal free body with the soil
skeleton as the independent object, the acting forces shall be
divided into two balance force systems, namely, the external
load (excluding pore fluid pressure) and arising interaction
forces between skeleton grains and the pore fluid pressure and
arising interaction force between grains .
To place an isolated waterproof soil grain (as sand) in the
water statically, if the pressure difference of different depth of
the water is ignored, each point of the grain surface will bear the
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Proceedings of the 18
th
International Conference on Soil Mechanics and Geotechnical Engineering, Paris 2013
equivalent water pressure vertical to the surface. The
(smoothed) internal force caused by the water pressure on any
section of the grain is equivalent to the water pressure.
Similarly, the average value of the stress of the soil skeleton
grains resulting from the pore fluid pressure
w
on grain contact
point (surface) shall be equivalent to
w
u , as indicated in Figure
1(a). Therefore, whatever the shape and property of the soil
grain contacting surface are, to investigate the effect of the fluid
pressure, each soil skeleton grain may be considered to be an
isolated grain in the fluid. Furthermore, the average stress
caused by the pore fluid pressure on any section of the soil
skeleton grain is equal to
w
u , as indicated in Figure 1 (b). Thus,
to take the soil skeleton as the free body, the average stress on
the section caused by the pore fluid pressure is equal to the pore
fluid pressure at the point, as indicated in Figure 1 (c).
u
In case of the pore fluid pressure, including pore water
pressure or matrix suction acts on partial surface of the grain not
on the whole surface of the grain, the skeleton grain still is in
balance.
(a) (b) (c)
(a) stress on grain contact surface
(b) stress on the section of the soil grain
(c) stress on the section of the soil skeleton
Fig. 1 Stress of skeleton resulting from pore fluid pressure
The pore water pressure, pore air pressure and arising inter-
grain action force of the grain system are in balance, without
effect on the internal force of the internal force of the skeleton
system. Meanwhile, the balance force system shall not affect the
shearing strength and deformation of the skeleton system.
3 DIFFERENTIAL EQUATION OF EQUILIBRIUM AND
SOIL SKELETON STRESS EQUATION OF SATURATED
SOIL
The soil skeleton stress is defined to be the internal force
resulting from the external forces excluding the pore fluid
pressure acting on the soil skeleton of a unit area. Suppose the
soil is homogeneous, to select the soil skeleton and pore water
of the saturated soil as the free body of the independent analysis
object for the internal force balance analysis with a group of
inter-phase acting force, as indicated in Figure 2.
Fig. 2 Equilibrium analysis for solid and pore water phase
In Figure 2, n is the porosity of the soil, the pore water
pressure,
w
u
, , ,
x z xz zx

sw ws sw
, ,
positive stress and shearing stress
respectively,
ws
,
x x z z
f f f f the acting force and reacting
force of the soil skeleton and pore water in the direction of x
axis and z axis with same vale and opposite direction.
In the balance condition, the force acting on the skeleton and
the pore water control its own state respectively. Therefore, the
soil skeleton stress is also the effective stress to control the
deformation and strength of the skeleton (or the soil body),
which is the measurement of all external forces acting on the
skeleton, exceeding the pore fluid pressure.
According to the internal force analysis figure, the equation
of equilibrium of the soil skeleton and that of the pore water
under the static balance state can by obtained respectively.
Soil skeleton:
, w, sw s
(1 ) 0
ij j i i i
n u f X (1)
Pore water:
w, sw w
0
i i i
nu f X (2)
Where, is the soil skeleton stress, ,
,
ij

0
y
, , , i j x y z
s s x
X X
s d z
X , ,
w w
0
x y
X X
w w z
X n .
To add formula (1) to (2), then obtain the equation of
equilibrium after cancelling the terms of inter-phase acting
force:
, w, sw
0
ij j i i
u X (3)
where,
sw s w sw sw sw sat
, 0,
i i i x y z
X X X X X X r .
Taking the soil skeleton and pore water as a whole system
for the balance analysis, the differential equation of equilibrium
of total soil stress in the static condition can be obtained:
t , sw
0
ij j i
X (4)
To compare formula (3) and (4), then
t , , w ij j ij j ij
u (5)
where, is the total stress and is Kronecker symbol.
tij ij
This is the saturated soil skeleton stress equation, consistent
with the traditional effective stress equation, where the soil
skeleton stress is the generally accepted soil effective stress.

The soil skeleton stress equation indicates the relationship
between the total stress and the skeleton stress and pore water
pressure, of which the physical property is the interaction of
forces between the soil skeleton and pore water. From the
deduction of the equation of equilibrium, its unnecessary to use
the effective stress equation in the balance analysis with the soil
skeleton and pore water as the free body separately. In other
words, its required to introduce the soil skeleton stress equation
to get the effective stress to control the soil skeleton
deformation and strength in the force analysis on the whole
structure of the soil skeleton and pore water to obtain the
differential equation of equilibrium. Besides, it's noticeable that
the equation (5) is applicable for saturated soil or porous
materials with communicating pores filled with water, whatever
the contacting property of grains is.
4 DIFFERENTIAL EQUATION OF EQUILIBRIUM AND
SOIL SKELETON STRESS EQUATION OF
UNSATURATED SOIL
The soil skeleton stress is still defined to be the internal force
resulting from the external forces excluding the pore fluid
pressure acting on the soil skeleton of a unit area for the
unsaturated soil. Selecting free bodies for balance analysis
requires meeting the following two conditions: the water and
air in the communicating pores is immiscible; the interacting
force of the pore water and pore air is ignored. For simple and
easy understanding, it may be supposed that the pore air
pressure acts on the whole surface of the soil skeleton, just as on
the saturated soil. The pressure difference (matrix suction) of
pore water and pore air acts on the surface of the occupied by
the pore water, as indicated in Figure 3(a).
Figure 3(b,c) indicates the force condition of the free body of
unsaturated soil infinitesimal element and soil skeleton in the
direction of x axis. For the homogeneous soil, the area ratios
occupied by the pore water and pore air on the unit area are
and respectively, and is the corresponding
porosity of the phase of the pore water and that of the pore air.
/
w
n n /
a
n n
w
n
a
n
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Technical Committee 105 / Comit technique 105

(a) (b) (c)
(a) Unsaturated soil infinitesimal body
(b) Surface force of skeleton free body in direction of x axis
(c) Effect of matrix suction on soil skeleton
Fig. 3 Stress of unsaturated soil element and skeleton
Soil-water characteristic test shows that some content of
water is always in the soil, however much the pressure (matrix
suction) acting on the soil, which is considered as the residual
water content, of which the corresponding saturation shall be S
r
.
The electro-mechanical interacting force of the pore water and
the soil skeleton corresponding to the residual water content is
so strong that the soil no longer shows the property of the fluid,
but that of the solid or semi-solid. Therefore, in the force
analysis on the unsaturated soil, the pore water corresponding to
the residual water content may be considered as part of the soil
skeleton. Now, the soil porosity is considered as , porosity of
pore water phase and pore air phase
ew
n and
ea
respectively.
The saturation without calculating the residual water content is
the effective saturation, namely S
e
, indicated with the formula:
e
n
n
1
r
e
r
S S
S
S
-

-
(6)
Similar to saturated soil, according to the internal force
analysis figure, we can obtain the equation of equilibrium of
each phase, and the equation of equilibrium of the soil element
without any term of inter-phase acting force.
( ) ( )
, ,
,
( ) 1
ij j e w i e a sfi
i
S u S u X o + + - + 0 =

(13)
Or (14) ( ) ( )
, ,
,
0
ij j a i a w sfi
i
u S u u X o + - - + =
To compare the equation (13) or (14) with the total stress
equation of equilibrium, then obtain:
(1 )
ij tij ij e w ij e a
S u S u o o o o = - - - (15)
Or
) ( u u S u - - - o o o o
w a e ij a ij tij ij
This is the soil skeleton stress equation of unsaturated soil,
or the relationship expression of the total soil stress, soil
skeleton stress and pore water pressure and pore air pressure,
(16)
For saturated soil,
e
, then the soil skeleton stress
equation for unsaturated soil will be that of the saturated soil, or
the effective stress equation by Terzaghi.
1 S
5 SOIL VOLUME CHANGING OR STRENGTH
EQUIVALENT STRESS
Besides the soil skeleton stress, the forces on the soil
skeleton also include the action of pore fluid pressure and
arising internal force, which have different effect on the soil
shearing strength and deformation. The latter only causes the
volume deformation of the grains and pressure stress on contact
points of soil grains, affecting the shearing strength of the soil.
In case of fully considering the effect of the soil skeleton stress
and pore fluid pressure, the shearing strength and volume
changing expression for the unsaturated soil will be:
( )
( )
( ) tan tan
tan
f t a e a w c a
c e a w
c u S u u a u
a S u u
t o

- - - - - (

- -
(17)
( ) ( ) {
( )
t a e a w s
s e a w
V
C u S u u C
V
C S u u
o
A
- A - - A - - A (

- A - (

a
u
(18)
which can be written into in the further:
( )
tan tan
(1 ) (1 ) tan
tan tan
c c
f t a e a w
a a
c u S u u

t o

(
- - - - - -
(



(19)
( ) 1 1
s s
t a e a
V C C
C u S u
V C C
o
w
u
( A | | | |
- A - - A - - A - (
| | (
\ . \ .

(20)
Where, and
s
is internal friction angle and coefficient of
compressibility of the soil grains respectively;
C
o and the
shearing strength and coefficient of compressibility of the soil.
From it, obtain the equivalent stress expression for unsaturated
soil:
C
(1) Shearing strength equivalent:
(
'
tan
(1 )
tan
c
t a e
a
u S u u

o o

- - - - (

)
a w
(21)
(2) Soil volume changing equivalent:
(
'
1
s
t a e a
C
u S u u
C
o o
| |
A A - - A - - (
|
\ .
)
w
)
(22)
Generally, the pore air pressure in the soil is not high, the
contacting area of soil grains is small and the value of is
close to zero. Then, the effect of the pore fluid pressure on the
shearing strength and volume changing can be ignored,
t a e
, indicating only the effect of the
soil skeleton stress.
o
(
'
a w
u S u u o o - - -
When the pore air pressure u , then 0
a

'
'
tan
(1 )
tan
1
c
t e
s
t e w
a
S u
C
S u
C

o o

o o

- -

| |

- -
|

\ .
w
(23)
When the soil is fully saturated,
e
, the above mentioned
formula (21) and (22) changes into the equivalent stress
expression by Skempton.
1 S
According to the principle of causing equivalent volume
changing on the soil infinitesimal or the shearing strength
equivalent, A. W. Skempton educed the equivalent stress
expression of the saturated soil and made experimental
verification.
Shearing strength equivalent:
t
tan
(1 )
tan
a
u

o o
o

- -

w
(24)
Soil volume changing equivalent:
s
t
(1 )
C
u
C
o o - -
w
(25)
The equivalent stress expressions of the saturated soil and
unsaturated soil are uniform.
6 EFFECT OF SOIL SKELETON STRESS EQUATION OF
UNSATURATED SOIL
The above educed soil skeleton stress equation of
unsaturated soil will be that of the saturated soil in the saturated
condition, thus considered as the uniform soil skeleton stress
equation of the saturated soil and unsaturated soil, which has
two effects at least:
Firstly, to obtain the soil skeleton stress with the soil
skeleton stress equation directly in the condition of learning the
total stress and pore water and pore air pressure of any point in
the soil;
Secondly, the skeleton stress is the soil effective stress.
The soil skeleton is the supporting phase of the soil or the
structural phase of the soil, whose deformation and strength is
the deformation and strength of the soil skeleton. The forces of
the soil skeleton decide the strength and deformation of the soil
skeleton. As above mentioned, the contribution of the pore
water and pore air pressure on the soil strength and deformation
can be ignored. Thus, the soil skeleton stress is the effective
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th
International Conference on Soil Mechanics and Geotechnical Engineering, Paris 2013
stress to decide the soil deformation and strength and the soil
skeleton stress equation of the unsaturated soil can be
considered as the effective stress equation of the unsaturated
soil.
In terms of shearing strength of the unsaturated soil,
Vanapalli and Fredlund gave the following shearing strength
formula after the experiment and analysis:
( )
'
tan
f t a e a w
c u S u u t o - - - - (

'
(26) o
We can find the stress expression in the square bracket of
such formula is the above mentioned unsaturated soil skeleton
stress, which indicates that the unsaturated soil shearing
strength is controlled by the skeleton stress, as the same with
that of saturated soil. The shearing strength formula of saturated
soil and unsaturated soil is uniform with the concept of the soil
skeleton stress.
No adequate experiment data is found on unsaturated soil
volume changing.
7 DISCUSSION ON THE PRINCIPLE OF EFFECTIVE
STRESS
The soil skeleton stress is the real internal force acting on the
soil by the external load, or the effective stress by Terzaghi. The
effective stress is not the virtual stress in such meaning. It is the
real stress of the soil skeleton with definite physical meaning.
The essence of the effective stress principle is that the soil
skeleton stress decides the soil strength and deformation in case
of ignoring the effect of the pore fluid pressure.
The effective stress principle is the most important one in the
soil mechanic and the foundation of the modern soil mechanics.
Such principle, put forward by Terzaghi in 1936, states that
the stress of any point at the soil section will be calculated with
the total major stress
1 2 3
of such point. In case of the
soil pores are filled with water under the stress of u , the total
major stress consist of two parts: the first is ,the stress acting
on the water and solid with the equivalent strength in various
directions, which is called the neutral stress or pore water
pressure; the second is the difference of the total stress
o o o
u
o and
the neutral stress, namely,
1 1
,
2 2
,
, which can act in the solid phase of the soil.
u o o - u - o o
3 3
Such part of the total major stress is considered as the main
effective stress. The changing neutral stress does not cause the
volume changing actually. The neutral stress is not linked with
the damaging soil in the stress conditions.
u o o -
Porous materials (as sand, clay and concrete) is
incompressible in the action to , just like the internal friction
equal to zero. The measured results of the changing stress such
as compression deformation and changing shearing resistance
are only caused by the changing effective stress , and
.
u
1
o
2
o
3
o
To sum up, the principle of effective stress consists of two
parts: the first is that the changing soil volume and shearing
strength depends on the changing effective stress completely
and the second is that the soil effective stress is equal to the
difference of the total stress and pore water pressure.
The study in this thesis provides the theoretical foundation
for the effective stress principle and also expresses that the
effective stress principle by Terzaghi requires no further
amendments and that the effective stress principle may be
expanded to the unsaturated soil. Vanapalli and Fredlund made
experiments and analysis, showing the soil skeleton stress
(effective stress) controls the shearing strength of the
unsaturated soil. No adequate experiment data is found on
unsaturated soil volume changing.
8 CONCLUSIONS
(1) The effect of the pore water pressure and pore air
pressure on the soil skeleton constitutes the balance force
system respectively, keeping the soil skeleton in balance. If the
soil skeleton stress is defined as the soil skeleton internal force
from the external forces excluding the pore fluid pressure, the
soil skeleton stress is the effective stress by Terzaghi.
Therefore, the effective stress is not the virtual internal force but
the real internal force strength of the soil skeleton.
(2) The effective stress equation by Terzaghi is tenable,
unnecessary to make any amendment for the saturated soil, in
case of ignoring the effect of the pore water pressure on the soil
strength and volume changing.
(3) On the basis of the differential equation of equilibrium
of the unsaturated soil, we can obtain the relationship
expression of the skeleton stress (effective stress) from the
external forces excluding pore water and pore air pressure and
the total stress, pore water and pore air pressure, which is
considered as the soil skeleton stress (effective stress) equation:
( ) =
t a e a w
u S u u o o - - -
The above formula will be the effective stress equation by
Terzaghi for the saturated soil. The experiments and
engineering experience show that the effective stress decide the
strength and deformation of the saturated soil. The experiment
results by Vanapalli et al prove that the effective stress decides
the shearing strength of the unsaturated soil.
(4) If consideration is taken on the effect of the pore water
and pore air pressure, the equivalent expression of the shearing
strength and soil volume changing equivalent shall be
respectively:
( )
'
tan
(1 )
tan
c
t a e
a
u S u u

o o

- - - - (

a w

( )
'
1
s
t a e a
C
u S u u
C
o o
| |
A A - - A - - (
|
\ .
w

It will be the equivalent effective equation by Skempton in
the saturated condition.
Therefore, the effective stress equation and equivalent stress
equation of the unsaturated soil are the uniform effective stress
equation and equivalent stress equation in the soil mechanics.
9 REFERENCES
TERZAGHI K. 1948. Theoretical soil Mechanics. London: Chapman
and Hall Limited.
BISHOP A W. 1959.The principle of effective stress. Teknisk Ukeblad,
106(39),113143.
BLIGHT G E. 1965. A study of effective stress for volume change.
Moisture Equilibria and Moisture Changes in Soils Beneath
Covered Areas. Sydney: Butterworths, 259269.
SKEMPTON A W. 1961. Effective stress in soils, concrete and rocks,
pore pressure and suction in soils. Conf organized by the British
National Society of Int Society of soil Mech. and Foundation Eng.
London: Butterworths, 416.
SHAO L T. 1996. Pore medium mechanics analysis method and its
application in soil mechanics. Dalian: Dalian University of
Technology
FRELUND D G, Rahardjo H. 1993. Soil Mechanics for Unsaturated
Soils. New York: John Wiley & Sons, Inc.
Vanapalli S K. Fredlund D G. Pufahl D E. Clifton A W. 1996. Model
for the prediction of shear strength with respect to soil suction.
Canadian Geotechnical Journal, 33(3): 379-392
TERZAGHI K. 1936. The shearing resistance of saturated soils and the
angle between the planes of shear. Proc 1st Conf Soil Mech, 5456.
JENNINGS J E B, BURLAND J B. 1962. Limitations to the use of
effective stresses in unsaturated soils. Gotechnique, 12: 125144.