EFFECTIVE STRESS PRINCIPLE

Table of Contents

Introduction

Significance of Effective Stress in engineering problems

Relationship of total normal stress, effective normal stress, and pore water pressure

Effective vertical stress due to self-weight of soil

Effect of capillary rise

Effect of seepage on capillary rise

Critical hydraulic gradient

Soil liquefaction, quick sand

INTRODUCTION

A soil can be visualized as a skeleton of solid particles enclosing continuous voids which contain water

and/or air. For the range of stresses usually encountered in practice the individual solid particles and

water can be considered incompressible; air, on the other hand, is highly compressible. The volume of the

soil skeleton as a whole can change due to rearrangement of the soil particles into new positions, mainly

by rolling and sliding, with a corresponding change in the forces acting between particles. The actual

compressibility of the soil skeleton will depend on the structural arrangement of the solid particles. In a

fully saturated soil, since water is considered to be incompressible, a reduction in volume is possible only

if some of the water can escape from the voids. In a dry or a partially saturated soil a reduction in volume

is always possible due to compression of the air in the voids, provided there is scope for particle

rearrangement. Shear stress can be resisted only by the skeleton of solid particles, by means of forces

developed at the interparticle contacts. Normal stress may be resisted by the soil skeleton through an

increase in the interparticle forces. If the soil is fully saturated, the water filling the voids can also

withstand normal stress by an increase in pressure.

SIGNIFICANCE OF EFFECTIVE STRESS IN ENGINEERING PROBLEMS

Effective stress is a fundamental concept in soil mechanics and geotechnical engineering. It plays

a crucial role in understanding the behavior of soils, particularly in the context of soil strength,

stability, and deformation. The importance of effective stress in soils can be summarized as

follows:

1. Stress Transmission: Effective stress represents the portion of total stress that is

responsible for transmitting loads and causing soil deformation. It is the stress that

affects the mechanical behavior of soils.

2. Shear Strength: Effective stress is directly related to the shear strength of soils. Shear

strength is a critical parameter in geotechnical engineering because it determines a

soil's resistance to sliding, deformation, and failure. By considering effective stress,

engineers can accurately assess and design foundations, retaining walls, and other

geotechnical structures.

3. Consolidation and Settlement: Effective stress is essential for understanding soil

consolidation and settlement behavior. As external loads are applied to soil, it expels

pore water, which causes volume reduction. Effective stress governs the consolidation

process, helping to predict the rate and magnitude of settlement.

4. Stability Analysis: Effective stress is a key factor in slope stability analysis. It is used

to assess the stability of natural and man-made slopes, embankments, and other

earthworks. By accounting for effective stress, engineers can determine whether a

given slope will remain stable or is at risk of failure.

5. Foundation Design: Effective stress is crucial in the design of foundations for

structures like buildings, bridges, and retaining walls. It helps engineers calculate

bearing capacity, settlement, and the potential for foundation failure.

6. Liquefaction Analysis: Effective stress is critical in assessing the potential for soil

liquefaction during earthquakes. Liquefaction can lead to ground failure, so it's

essential to understand how effective stress influences the susceptibility of soil to

liquefaction.

7. Pore Water Pressure: Effective stress accounts for the pressure exerted by pore water

within the soil. Changes in pore water pressure can significantly affect the stability and
 behavior of soil. Proper consideration of effective stress helps in managing pore water

pressure.

8. Soil Behavior in Earthquake: Understanding effective stress is vital in the evaluation of

soil response to seismic loading. It is essential for analyzing soil liquefaction, ground

shaking, and the deformation of soil layers during an earthquake.

9. Environmental Geotechnics: Effective stress is also relevant in environmental

geotechnics when dealing with issues like soil contamination, waste containment, and

groundwater flow through soils. It helps in assessing the behavior of soils under

various environmental conditions.

In summary, effective stress is a fundamental concept in soil mechanics and geotechnical

engineering that influences the mechanical behavior, stability, and deformation of soils. It is a

critical parameter for analyzing and designing geotechnical structures and is essential in ensuring

the safe and reliable performance of civil engineering projects.

THE PRINCIPLE OF EFFECTIVE STRESS

Relationship between total normal stress, effective normal stress and pore water pressure.

The importance of the forces transmitted through the soil skeleton from particle to particle was

recognized in 1923 when Terzaghi presented the principle of effective stress, an intuitive relationship

based on experimental data. The principle applies only to fully saturated soils and relates the following

three stresses:

1. The total normal stress (σ ) on a plane within the soil mass, being the force per unit area transmitted in

a normal direction across the plane, imagining the soil to be a solid (single-phase) material;
2. The pore water pressure (u), being the pressure of the water filling the void space between the solid

particles;

3. The effective normal stress ( σ ') on the plane, representing the stress transmitted through the soil

skeleton only.

The relationship is: σ =σ ' +u (equation 1)

The principle can be represented by the following physical model. Consider a ‘plane’ XX in a fully

saturated soil, passing through points of interparticle contact only, as shown in Figure 3.1. The wavy

plane XX is really indistinguishable from a true plane on the mass scale due to the relatively small size of

individual soil particles. A normal force P applied over an area A may be resisted partly by interparticle

forces and partly by the pressure in the pore water. The interparticle forces are very random in both

magnitude and direction throughout the soil mass but at every point of contact on the wavy plane may be

split into components normal and tangential to the direction of the true plane to which XX approximates;

the normal and tangential components are N ' and T , respectively. Then, the effective normal stress is

interpreted as the sum of all the components N ' within the area A, divided by the area A, i.e.

' ∑N'
σ=
A

The total normal stress is given by

P
σ=
A
If point contact is assumed between the particles, the pore water pressure will act on the plane over the

entire area A. Then, for equilibrium in the direction normal to XX

'
P=∑ N +uA

Or

P ∑N '
= +u
A A

i.e.

'
σ =σ +u

EFFECTIVE VERTICAL STRESS DUE TO SELF-WEIGHT OF SOIL

Consider a soil mass having a horizontal surface and with the water table at surface level. The total

vertical stress (i.e. the total normal stress on a horizontal plane) at depth z is equal to the weight of all

material (solids + water) per unit area above that depth, i.e.
 σ v =γ sat z

The pore water pressure at any depth will be hydrostatic since the void space between the solid particles

is continuous, so at depth z

u=γ w z

Hence, from Equation 1 the effective vertical stress at depth z will be

'
σ v =σ v −u

¿(γ sat −γ w ) z = γ ' z

where γ ' is the buoyant unit weight of the soil.

Examples

1. The depth of water in a well is 3m. Below the bottom of the well lies a layer of sand 5m thick

overlaying a clay deposit. The specific gravity of the solids of sand and clay are respectively 25

and 20 percent. Compute the total, effective and water pressures at points A and B as shown in

the figure below;

2. A clay layer 3.66m thick rests beneath a deposit of submerged sand7.92m thick. The top of the

sand is located 3.05m below the surface of a lake. The saturated unit weight of the sand is
 19.62kN/m2 and of the clay is 18.36 kN/m 2. Compute (a) the total vertical pressure, (b) the pore

water pressure, and (c) the effective vertical pressure at the mid-height of the clay layer.

3. The surface of a saturated clay deposit is located below a body of water. Laboratory test have

indicated that the average natural water content of the clay is 47% and that the specific gravity of

the solid matter is 2.74. what is the vertical effective pressure at a depth of 5m below the top of

the clay.

4. A clay stratum 8.0m thick is located at a depth of 6m from the ground surface. The natural

moisture content of the clay is 56% and Gs=2.75. The soil stratum between the ground surface

and the clay consist of fine sand. The water table is located at a depth of 2m below the ground

surface. The submerged unit weight of the fine sand is 10.5kN/m 3, and its moist unit weight

above the water table is 18.68kN/m3. Calculate the effective stress at the center of the clay layer.
 Effects of capillary rise

The concept of capillarity helps to understand the capacity of soil to hold water.

Capillary action is the same effect that causes porous materials to soak up liquids. E.g sponge

soak up liquids, it is the primary force that enables soil to retain water, as well as regulate its

movement.

Capillary Action.

Capillary action, also referred to as capillary motion or capillarity, is a combination of

cohesion/adhesion and surface tension forces.

Cohesion Force: Because of cohesion forces, water molecules are attracted to one another.

Cohesion causes water molecules to stick to one another and form water droplets.

Adhesion Force: This force is responsible for the attraction between water and solid surfaces. For

example, a drop of water can stick to a glass surface as the result of adhesion.

Water also exhibits a property of surface tension:

Water surfaces behave in an unusual way because of cohesion. Since water molecules are more

attracted to other water molecules as opposed to air particles, water surfaces behave like

expandable films. This phenomenon is what makes it possible for certain insects to walk along

water surfaces.

Capillary action is demonstrated by the upward movement of water through a narrow tube

against the force of gravity.

Capillary action occurs when the adhesive intermolecular forces between a liquid, such as water,

and the solid surface of the tube are stronger than the cohesive intermolecular forces between

water molecules.

As the result of capillarity, a concave meniscus (or curved, U-shaped surface) forms where the

liquid is in contact with a vertical surface.

Capillary rise is the height to which the water rises within the tube, and decreases as the width of

the tube increases. Thus, the narrower the tube, the water will rise to a greater height.

Capillary rise demonstrated in tubes of varied widths.

This picture in figure1 demonstrates the phenomenon of capillary rise. As you can see, the liquid

rises to the greatest height in the narrowest tube (at far right), whereas capillary rise is lowest in

the widest tube (at far left). Although easily demonstrated by simple experiments using tubes,

capillary action occurs in soils. Smaller pores that exist in finely-textured soils have a greater

capacity to hold and retain water than coarser soils with larger pores.

Figure 1. Capillary rise in tubes of varied widths.

The phenomenon of capillarity also occurs in the soil. In the same way that water moves

upwards through a tube against the force of gravity; water moves upwards through soil pores, or

the spaces between soil particles.

The height to which the water rises is dependent upon pore size. As a result, the smaller the soil

pores, the higher the capillary rise.

Finely-textured soils, typically have smaller pores than coarsely-textured soils. Therefore, finely-

textured soils have a greater ability to hold and retain water in the soil in the inter-particle spaces.

We refer to the pores between small clay particles as micropores. In contrast, the larger pore

spacing between lager particles, such as sand, are called macropores.

In addition to water retention, capillarity in soil also enables the upward and horizontal

movement of water within the soil profile, as opposed to downward movement caused by

gravity. This upward and horizontal movement occurs when lower soil layers have more

moisture than the upper soil layers and is important because it may be absorbed by roots.

Figure 2. shows how more water may be held between finer particles against the force of gravity,

as compared to coarser particles. As a result, finer-textured soils have greater water holding

capacities.
Figure 2.
Therefore finely-textured soils have a greater ability to hold and retain water in the soil in the

inter-particle spaces.

Effect of seepage

Seepage, in soil engineering, movement of water in soils, often a critical problem in building

foundations. Seepage depends on several factors, including permeability of the soil and the

pressure gradient, essentially the combination of forces acting on water through gravity and other

factors.

seepage in the soil increases the effective stress or inter-particle forces. This additional stress is

due to seepage pressure which acts in the direction of flow of water. When water flows down the

soil mass water tends to push soil particles downwards.

When water is seeping through the pores of a soil, total head is dissipated as viscous friction

producing a frictional drag, acting in the direction of flow, on the solid particles. A transfer of

energy thus takes place from the water to the solid particles and the force corresponding to this

energy transfer is called seepage force. Seepage force acts on the particles of a soil in addition to

gravitational force and the combination of the forces on a soil mass due to gravity and seeping

water is called the resultant body force. It is the resultant body force that governs the effective

normal stress on a plane within a soil mass through which seepage is taking place.

As the pore water pressure increases within the soil, the overall effective stress of the soil is

reduced and the soil is visibly weakened.

The seepage pressure ( j) is defined as the seepage force per unit volume, i.e.
J= ¼ iγʷ.

It should be noted that j (and hence J ) depends only on the value of hydraulic gradient.

When water seepage saturates the foundation soil. The following may occur,

1. Due to saturation of soil there will be pore water pressure which will reduce the effective

stress of the soil and ultimately reduce the bearing capacity of the soil and could not bear the

load that it is designed for.

2. The soil beneath the superstructure is not homogenous always, so uneven reduction of strength

of soil can cause uneven settlement and the building will tilt.

3. There will be an upward force in the form of Hydrostatic force this force pushes the

foundation and causes existing cracks to get bigger.

 Critical hydraulic gradient and Quick sand

Figure 3.

Consider the special case of seepage vertically upwards. The vector ce in Figure 3. would then be

vertically upwards and if the hydraulic gradient were high enough the resultant body force would
be zero. The value of hydraulic gradient corresponding to zero resultant body force is called the

critical hydraulic gradient (ic). For an element of soil of volume V subject to upward seepage

under the critical hydraulic gradient, the seepage force is therefore equal to the effective weight

of the element.

The critical hydraulic gradient, is approximately 1.0 for most soils. When the hydraulic gradient

is ic, the effective normal stress on any plane will be zero, gravitational forces having been

cancelled out by upward seepage forces and if the critical gradient is exceeded the surface will

appear to be ‘boiling’ as the particles are moved around in the upward flow of water.

Seepage can only take place when there is difference in hydraulic head. The hydraulic head is the

amount of liquid pressure available at any point in water above datum. For the flow of water to

take place in the soil also there should be a difference of hydraulic head between two points in

space and water flows from high hydraulic head to low hydraulic heads.

Figure 4. Showing flow of water and difference in hydraulic head.

 Quick sand

It should be realized that ‘quicksand’ is not a special type of soil but simply sand through which

there is an upward flow of water under a hydraulic gradient equal to or exceeding critical

hydraulic gradient. In the case of clays, the quick condition may not necessarily result when the

hydraulic gradient reaches the critical value.

Sand is said to be in quick condition when the contact forces between particles of soil is zero and

the soil will have no strength. The soil is then said to be in a quick condition (quick meaning

‘alive’).

REFERENCES

1. Skempton, A.W. (1961) Effective stress in soils, concrete and rocks, in Proceedings of

Conference on Pore Pressure and Suction in Soils, Butterworths, London, pp. 4–16.

2. Taylor, D.W. (1948) Fundamentals of Soil Mechanics, John Wiley & Sons, New York.

3. Terzaghi, K. (1943) Theoretical Soil Mechanics, John Wiley & Sons, New York