CHAPTER FIVE

Stresses, Strains, and Elastic Deformations of Soils

4. Introduction.........................................................................................................................2
4.1 Definitions of key Terms..................................................................................................2
4.2 Stresses and Strains.........................................................................................................3
4.2.1 Normal Stresses and Strains.....................................................................................3
4.2.2 Volumetric Strain............................................................................................................4
4.2.3 Shear Stresses and Shear Strains...........................................................................4
4.3 Total and Effective Stresses...........................................................................................5
4.3.1 The Principle of Effective Stress...............................................................................5
4.3.2 Effective Stresses Due to Geostatic Stress (or Self Weight of Soils).........7
4.3.3 Effects of Capillarity......................................................................................................7
4.3.4 Effects of Seepage.........................................................................................................9
4.4 Stresses in Soil From Surface Loads........................................................................12
4.4.1 Point Load.......................................................................................................................12
4.4.2 Line Load.........................................................................................................................13
4.4.3 Line Load Near a Buried Earth Retaining Structure........................................14
4.4.4 Strip Load........................................................................................................................14
4.4.5 Uniformly Loaded Circular Area..............................................................................16
4.4.6 Uniformly Loaded Rectangular Area.....................................................................17
4.4.7 Approximate Method for Rectangular Loads......................................................18
4.4.8 Vertical Stress Below Arbitrarily Shaped Area..................................................19
Addis Ababa University, Faculty of Technology, Department of Civil Engineering

4. Introduction

Soils are not homogeneous, elastic, rigid bodies, so the determination of

stresses and strains in soils is a particularly difficult task. You may ask “if soils are
not elastic materials, then why do I have to study elastic methods of analyses?”
Here are some reasons why knowledge of elastic analysis is advantageous.
An elastic analysis of an isotropic material involves only two constants –
Young’s modulus and Poisson’s ratio – and thus if we assume that soils are isotropic
elastic materials then we have a powerful, but simple, analytical tool to predict a
soil’s response under loading. We will have to determine only the two elastic
constants from our laboratory or field tests.
A geotechnical engineer must ensure that a geotechnical structure must not
collapse under any anticipated loading condition and that settlement under working
load (a fraction of the collapse load) must be within tolerable limits. We would
prefer the settlement under working load to be elastic so that no permanent
settlement would occur and thus use elastic analysis to calculate the settlement.
An important task of a geotechnical engineer is to determine the stresses and
strains that are imposed on a soil mass by external loads. It is customary to
assume that the strains in the soils are small and this assumption allows us to
apply our knowledge of mechanics of elastic bodies to soils. For a realistic
description of soils, elastic analysis is not satisfactory. We need soil models that can
duplicate the complexity of soil behavior. However, even for complex soil models, an
elastic analysis is a first step.
When you finish this chapter, you should be able to:
 Calculate stresses in soils (assuming elastic behavior) from external loads.
 Determine effective stresses.

4.1 Definitions of key Terms

Stress or intensity of loading is the load per unit area. The fundamental definition
of a stress is the ratio of the force ΔP acting on a plane ΔS to the area of the plane
ΔS when ΔS tends to zero; Δ denotes a small quantity.
Effective Stress (σ’) is the stress carried by the soil particles.
Total Stress (σ) is the stress carried by the soil particles and the liquids and
gasses in the voids.

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Strain or intensity of deformation is the ratio of the change in dimension to the

original dimension or the ratio of change in length to the original length.
Pore water pressure, u, is the pressure of the water held in the soil pores.

Sample Practical Situation Two storage tanks are to be founded on a deep

layer of stiff saturated clay. Your client and the mechanical engineer, who is
designing the pipe works, need an estimate of the settlement of the tanks when
they are completely filled. Because of land restrictions, your client desires that the
tanks be as close as possible to each other. If two separate foundations are placed
too close to each other, the stresses in the soil induced by each foundation overlap
and cause intolerable tilting of the structures and their foundations.

4.2 Stresses and Strains

4.2.1 Normal Stresses and Strains

Consider a cube of dimensions x = y = z that is subjected to forces Px, Py, Pz,

normal to the three adjacent sides as shown in Fig. 4.1.

Figure 4.1: Stresses and displacements due to applied loads.

The normal stresses are

(4.1)

Let as assume that under these forces the cube compresses by in

the X, Y, and Z directions. The strains in these directions, assuming they are small
(infinitesimal), are:

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(4.2)

4.2.2 Volumetric Strain

The volumetric strain is

(4.3)

4.2.3 Shear Stresses and Shear Strains

Let us consider, for simplicity, the XZ plane and apply a force F that causes the
square to distort into a parallelogram as shown in Fig. 4.2. The force F is a shearing
force and the shear stress is:

(4.4)

The simple shear strain, also called engineering shear strain, is a measure of the
angular distortion of a body by shearing forces. If the horizontal displacement is
, the shear strain or simple shear strain, , is

For small strains, and therefore,

(4.5)

If the shear stress on a plane is zero, the normal stress on that plane is called a
principal stress. In geotechnical engineering, compressive stresses in soils are
assumed to be positive. Soils can not sustain any appreciable tensile stresses and
we normally assume that the tensile strength of soils is negligible. Strains can be
compressive or tensile.

Figure 4.2: Shear stresses and shear strains.

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4.3 Total and Effective Stresses

4.3.1 The Principle of Effective Stress

The deformations of soils are similar to the deformations of structural

framework such as truss. The truss deforms from changes in loads carried by each
member. If the truss is loaded in air or submerged in water, the deformations under
a given load will remain unchanged. Deformations of the truss are independent of
hydrostatic pressure. The same is true for soils.

Figure 4.3: Effective Stress.

Let us consider an element of a saturated soil subjected to a normal stress,

, applied on the horizontal boundary as shown in Fig. 4.3. The stress is called

total stress and for equilibrium (Newton’s third law) the stresses in the soil must
be equal and opposite to . The resistance or reaction to is provided by a

combination of the stresses from the solids, called effective stress (σ’), and from
the water in the pores, called pore water pressure (u). We will denote effective
stresses by a prime (‘) following the symbol for normal stress usually σ. The
equilibrium equation is
(4.6)

so that
(4.7)

Equation (4.7) is called the principle of effective stress and was first
recognized by Terzaghi (1883–1963) in the mid 1920s during his research into soil
consolidation (Chapter 6). The principle of effective stress is the most

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important principle in soil mechanics. Deformations of soils are a function

of effective stresses not total stresses. The principle of effective stress
applies only to normal stresses and not to shear stresses. The pore water
can not sustain shear stresses and therefore the soil solids must resist the shear
forces. Thus =’, where τ is the total shear stress and ’ is the effective shear
stress. The effective stress is not the contact stress between the soil solids. Rather,
it is the average stress on a plane through the soil mass.
Soils can not sustain tension. Consequently, the effective stress can not be
less than zero. Pore water pressures can be positive and negative. The negative
pore water pressure is sometimes called suction or suction pressure.
For unsaturated soils, the effective stress (Bishop et al. 1960) is
(4.8)

where ua is the pore air pressure, uw is the pore water pressure, and  is a factor
depending on the degree of saturation. For dry soil, =0; for saturated soil,  = 1.
Values of  for a silt are shown in Fig. 4.4.

Figure 4.4: Values of  for a silt at different degrees of saturation.

To determine the effective stress in a soil mass, the pore water pressure
must be known. The pore water pressure at a particular point in a soil mass is the
depth of water above that point multiplied by the unit of water. Pore water
pressures are measured by pore water pressure transducers or by piezometers.

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4.3.2 Effective Stresses Due to Geostatic Stress (or Self Weight of Soils)

The effective stress in a soil mass due to its self weight (or, in other words,
not subjected to external loads) is found from the unit weight of the soil and the
depth of groundwater.

Figure 4.5: Soil element at depth z with groundwater level at (a) ground level and
(b) below ground level.

Consider a soil element at a depth z below the ground surface and the
groundwater level (GWL) is at ground surface (Fig. 4.5 a). The total vertical stress
is
(4.9)

The pore water pressure is

(4.10)

and the effective stress is

(4.11)
If the GWL is at zw below the ground level (Fig. 4.15 b), then

The effective stress is

4.3.3 Effects of Capillarity

In silts and fine sands, the soil above the groundwater can be saturated by
capillary action. We can get an understanding of capillarity in soils by idealizing
the continuous void spaces as capillary tubes. Consider a single idealized tube as
shown in Fig. 4.6.

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Figure 4.6: Capillary simulation in soils.

The height at which water will rise in the tube can be found from statics. Summing
forces vertically (up ward forces are negative) we get,

That is,

(4.12)

Solving for zc, we get

(4.13)

where T is the surface tension (force per unit length), α is the contact angle, zc is
the height of capillary rise, and d is the diameter of the tube representing the
diameter of the void space. The surface tension of water is 0.73 N/m and the
contact angle of water with a clean glass surface is 0. Since T, , and w are
constants,

(4.14)

The interpretation of Eq. (4.14) is that the smaller the soil pores, the higher the
capillary zone. The capillary zone in fine sands will be larger than for medium or
coarse sands. The pore water pressure due to capillarity is negative (suction) as
shown in Fig. 4.6 and is a function of the size of the soil pores and the water
content. At the groundwater level, the pore water pressure is zero and decreases
(becomes negative) as you move up the capillary zone. The effective stress

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increases because the pore water pressure is negative. For example, for the
capillary zone, zc, the pore water pressure at the top is –zcw and the effective
stress is σ’ – (–zcw) =σ’ +zcw. The approach we have taken to interpret capillary
action in soils is simple but it is sufficient for most geotechnical applications.

4.3.4 Effects of Seepage

In chapter three, we discussed one dimensional flow of water through soils. As

water flows through soils it exerts a frictional drag on the soil particles resulting in
head losses. The frictional drag is called seepage force in soil mechanics. It is
often convenient to define seepage as the seepage force per unit volume (it has
units similar to unit weight), which we will denote by js. If the head loss over a unit
distance, L, is Δh, the seepage force is

(4.15)

Figure 4.7: Seepage in soils.

If seepage occurs downwards (Fig. 4.7a), then the seepage stresses are in the
same direction as the gravitational effective stresses. From static equilibrium the
resultant vertical stress is
(4.16)

If seepage occurs upwards (Fig. 4.7b), then the seepage forces are in the opposite
direction to the gravitational effective stresses. From static equilibrium the resultant
vertical stress is
(4.17)

Seepage forces play a very important role in destabilizing geotechnical

structures. For example, a cantilever retaining wall shown in Fig. 4.8 depends on
the depth of embedment for its stability. The retained soil (left side of wall) applies
an outward lateral pressure on the wall, which is resisted by an inward lateral
resistance from the soil on the right side of the wall.

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Figure 4.8: Effects of seepage on the effective stresses near a retaining wall.

If a steady quantity of water is available on the left side of the wall, for
example, from a busted water pipe, then water will flow from the left side to the
right side of the wall. The seepage stresses on the left side of the wall are in the
direction of the gravitational stresses. The effective stress increases, and,
consequently, an additional outward lateral force is applied on the left side of the
wall. On the right hand side of the wall, the seepage stresses are upward and the
effective stress decreases. The lateral resistance provided by the embedment is
reduced. Seepage stresses in this problem play a double role (increase the lateral
disturbing force and reduce the lateral resistance) in reducing the stability of a
geotechnical structure.

EXAMPLE 4.1

Calculate the effective stress for a soil element at depth 5 m in a uniform deposit of
soil as shown in Fig. E4.1

Figure E4.1
Strategy You need to get unit weights from the given data and you should note
that the soil above the groundwater table is not saturated.

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EXAMPLE 4.2

A borehole at a site reveals the soil profile shown in Fig. E4.2. Plot the distribution
of total and effective stresses with depth.

Figure E4.2

Strategy From the data given, you will have to find the unit weight of each soil
layer to calculate the stresses. You are given that the 1.0 m layer of fine sand
above the groundwater level is saturated by capillary action. Therefore, the pore
water pressure in this 1.0 m zone is negative.

EXAMPLE 4.3
Water is seeping downward through a soil layer as shown in Fig. E4.3. Two
piezometers (A and B) located 2 m apart (vertically) showed a head loss of 0.2 m.
Calculate the resultant vertical effective stress for a soil element at a depth of 5 m
as shown in Fig. E4.3.

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Figure E4.3
Strategy You have to calculate the seepage stress. But to obtain this you must
know the hydraulic gradient, which you can find from the date given.

4.4 Stresses in Soil From Surface Loads

The distribution of surface stresses within a soil is determined by assuming

that the soil is a semi-infinite, homogeneous, linear, isotropic, elastic material. A
semi-infinite mass is bounded on one side and extends infinitely in all other
directions; this is also called an “elastic half space.” For soils, the horizontal
surface is the bounding side. Equations and charts for several types of surface loads
based on the above assumptions are presented.

4.4.1 Point Load

Figure 4.9: Point load and vertical load distribution with depth and radial distance.

Boussinesq (1885) presented a solution for the distribution of stresses for a

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point load applied on the soil surface. An example of a point load is the vertical load
transferred to the soil from an electric power line pole. The increases in stresses on
a soil element located at point A (Fig. 4.9a) due to a point load, Q, are

(4.18)

(4.19)

(4.20)

(4.21)

where is Poisson’s ratio. Most often, the increase in vertical stress is needed in

practice. Equation (4.18) can be written as

(4.22)

where I is an influence factor, and

(4.23)

The distributions of the increase in vertical stress from Eq. (4.22) reveal that the
increase in vertical stress decreases with depth (Fig. 4.9 b) and radial distance (Fig.
4.9c).

4.4.2 Line Load

With reference to Fig. 4.10a, the increase in stresses due to a line load, Q
(force/length), are

(4.24)

(4.25)

(4.26)

A practical example of line load is the load from a long brick wall.

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Figure 4.10: (a) Line load and (b) line load near a retaining wall.

4.4.3 Line Load Near a Buried Earth Retaining Structure

The increase in lateral stress on a buried earth retaining structure (Fig.

4.10b) due to a line load of intensity Q (force/length) is

(4.27)

The increase in lateral force is

(4.28)

4.4.4 Strip Load

A strip load is the load transmitted by a structure of finite width and infinite
length on a soil surface. Two types of strip loads are common in geotechnical
engineering. One is a load that imposes a uniform stress on the soil, for example,
the middle section of a long embankment (Fig. 4.11a). The other is a load that
induces a triangular stress distribution over an area of width B (Fig. 4.11b). An
example of a strip load with a triangular stress distribution is the stress under the
side of an embankment. The increases in stresses due to a surface stress qs
(force/area) are as follows:
(a) Area transmitting a uniform stress (Fig. 4.11a)

(4.29)

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(4.30)

(4.31)

where qs is the applied surface load.

Figure 4.11: Strip load imposing (a) a uniform stress and (b) a linearly varying
stress. (c) Strip load near a retaining wall and (b) lateral force near a retaining wall
from a strip load.

(b) Area transmitting triangular stress (Fig. 4.11b)

(4.32)

(4.33)

(4.34)

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(c) Area transmitting triangular stress (Fig. 4.11c,d)

(4.35)

The lateral force and its location were derived by Jarquio (1981) and are

(4.36)

(4.37)

where

4.4.5 Uniformly Loaded Circular Area

An example of circular area that transmits stresses to a soil mass in a circular

foundation of an oil or water tank. The increase of vertical and radial stresses under
a circular area of radial r0 are

(4.38)

where

is an influence factor and

(4.39)

The vertical elastic settlement at the surface of due to a circular flexible loaded area
is

(4.40)

(4.41)

where D = 2r0 is the diameter of the loaded area.

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4.4.6 Uniformly Loaded Rectangular Area

Many structural foundations are rectangular or approximately rectangular in

shape. The increase in stresses below the corner of a rectangular area of width B
and length L are

(4.42)

(4.43)

(4.44)

(4.45)

.
These equations can be written as
(4.64)
(4.47)
(4.48)
(4.49)

where I denotes the influence factor. The influence factor for the vertical stress is

(4.50)

where and . You can program your calculator or use a spreadsheet

to find Iz. You must be careful in the last term (tan -1) in programming. If
then you have to add to the quantity in the last term. In

general, the vertical stress increase is less than 10% of the surface stress when z >
3B. The vertical elastic settlement at the ground surface under a rectangular
surface load is

(4.51)

where Is is a settlement influence factor that is a function of the L/B ratio (L is

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length and B is width). Setting , the equations for Is are

At center of a rectangle (Giroud, 1968):

At corner of a rectangle (Giroud, 1968):

The above equations can be simplified to the following for .

At center of a rectangle:
At corner of a rectangle:

4.4.7 Approximate Method for Rectangular Loads

In preliminary analyses of vertical stress increases under the center of

rectangular loads, geotechnical engineers often use an approximate method
(sometimes called the 2:1 method). The surface load on an area, , is
dispersed at a depth z over an area as illustrated in Fig. 4.12.

Figure 4.12: Dispersion of load for approximate increase in vertical stress under a
rectangle.

The vertical load increase under the center of the rectangle is

(4.52)

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4.4.8 Vertical Stress below Arbitrarily Shaped Area

Figure 4.13: Newmark’s chart for increase in vertical stress.

Newmark (1942) developed a chart to determine the increase in vertical

stress due to a uniformly loaded area of any shape. The chart consists of concentric
circles divided by radial lines (Fig. 4.13).
The area of each segment represents an equal proportion of the applied
surface stress at depth z below the surface. If there are 10 concentric circles (only
9 are shown because the 10 th extends to infinity) and 20 radial lines, the stress on
each circle is and on each segment is . The radius to depth ratio
of the first (inner) circle is found by setting in Eq. (4.38), that is,

from which . For the other circles, substitute the appropriate value for
; for example, for the second circle, , and find The chart is

normalized to the depth; that is, all dimensions are scaled by a factor initially
determined for the depth. Every chart should show a scale and an influence factor
IN, which for our case is .

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The procedure for using Newmark’s chart is as follows

1. Set the scale, shown on the chart, equal to the depth at which the increase in
vertical stress is required. We will call this the depth scale.
2. Identify the point on the loaded area below which the stress is required. Let us
say this point is point A.
3. Plot the loaded area using the depth scale with point A at the center of the
chart.
4. Count the number of segments (Ns) covered by the scaled loaded area. If
certain segments are not fully covered, you can estimate what fraction is
covered.
5. Calculate the increase in vertical stress as

EXAMPLE 4.4
A pole carries a vertical load of 200 kN. Determine the vertical stress increase at a
depth 5 m (a) directly below the pole and (b) at a radial distance of 2 m.

Strategy: The first step is to determine the type of surface load. The load carried
by the pole can be approximated to a point load. You can then use the equation for
the vertical stress increase for a point load.

EXAMPLE 4.5
A rectangular concrete slab, 3 m×4.5 m, rests on the surface of a soil mass
(Fig.E4.5). The load on the slab is 2025 kN. Determine the vertical stress increase
at a depth of 3 m (a) under the center of the slab, point A, (b) under point B, and
(c) at a distance of 1.5 m from a corner, point C.

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Figure E4.5

Strategy: The slab is rectangular and the equations for a uniformly loaded
rectangular area are for the corner of the area. You should divide the area so that
the point of interest is the corner of a rectangle(s). You may have to extend the
loaded area if the point of interest is outside it (loaded area). The extension is
fictitious so you have to subtract the fictitious increase in stress for the extended
area.

EXAMPLE 4.6
The plan of a foundation of uniform thickness for a building is shown in Fig. 4.6a.
Determine the vertical stress increase at a depth of 4 m below the centroid. The
foundation applies a vertical stress of 200 kPa on the soil surface.

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Figure 4.6 a,b

Strategy You need to locate the centroid of the foundation, which you can find
using the given dimensions. The shape of the foundation does not fit nearly into
one of the standard shapes (e.g., rectangles or circles) discussed. The convenient
method to use for this (odd) shape foundation is Newmark’s chart.

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