CIVL2006 Soil Mechanics

Topic 4: Effective Stress

Dr. Fiona Kwok

Room 521, Haking Wong Building
The University of Hong Kong
Tel: (852) 2859 2655
Email: [email protected]
 4.1 Stresses in Soils

Relevant Readings:
Knappett & Craig (2012): Chapter 3
Atkinson (2007): Chapter 6.1-6.3, 6.5-6.8
Stresses in Soil
 As mentioned in Topic 1, soil can be visualised as a skeleton of solid particles enclosing
voids filled by either water or air.
 When a fully saturated soil sample is loaded, it is carried by the water in the pores as well
as the solid grains. The volume of the soil will decrease due to rearrangement of soil
particles by rolling and sliding, followed by a change in the force network supporting the
skeleton. Since water is incompressible, increases in pressure within the pore water will
cause drainage (flow out of the soil).

Unlike other materials (e.g. steel), it is

difficult to define stresses at a point for soil
because of the heterogenity (it may be at a
void, centre of particle or contact patches).
In soil mechanics, stresses are taken as
ensemble average of all the forces in a
representative area.

 Normal stress can be resisted by the soil skeleton through an increase in the interparticle
forces and pore pressure.
 Water cannot take shear forces. Shear resistance is only provided by friction at contacts
between particles.
(Knappett & Craig, 2012)
Total Stresses (1)
 The total vertical stress acting at a point below the ground
surface is due to the weight of everything lying above: soil,
water, and surface loading.

1) Total stress in a homogeneous soil

 Total vertical stress (v) increases with depth (z) and with unit
weight ().
 Total vertical stress at depth z: v =  z
 The unit weight, , will vary with the water content of the soil.
d ≤  ≤ s

2) Total stress in soil below water table

 The total vertical stress is the sum of the weight of the soil up to
the surface and the weight of water above this.
 Total vertical stress at depth z: v =   z + w  zw
 The vertical total stress will change with changes in water level
and with excavation.
 Note that free water (i.e. water outside the soil) applies a total
stress to a soil surface.

(Atkinson, 2002)
Total Stresses (2)
3) Total stress in a multi-layered soil
1
 The total stress at depth z is the sum of the weights of soil in each
layer thickness above.
2
 Total vertical stress at depth z: v = 1d1 + 2d2 + 3(z – d1 – d2)
 If a new layer is placed on the surface the total stresses at all points 3
below will increase.

4) Total stress with a surface surcharge load

 The addition of a surface surcharge load will increase the total
stresses below it.
 Total vertical stress at depth z: v =   z + q
 If the surcharge loading is extensively wide, the increase in total
vertical stress below it may be considered constant with depth and
equal to the magnitude of the surcharge.
 For narrow surcharges, e.g. under strip and pad foundations, the
induced total vertical stresses will decrease both with depth and
horizontal distance from the load.
 In such cases, it is necessary to use a suitable stress distribution
theory (e.g. Boussinesq's theory).

(Atkinson, 2002)
Effective Stress
 Ground movements and instabilities can be caused by changes in total stress
(such as loading due to foundations or unloading due to excavations), but they
can also be caused by changes in pore pressures (slopes can fail after rainfall
increases the pore pressures).
 In fact, it is the combined effect of total stress and pore pressure that controls
many soil behaviour such as shear strength, compression and distortion.
 The difference between the total stress and the pore pressure is called the
effective stress:

Effective stress = Total stress – Pore pressure

´ =  – u

 Note that the prime (dash mark ´) indicates effective stress.

 Karl Terzaghi (Father of Soil Mechanics) proposed the above relationship in
1936 as the following texts:
‘All measurable effects of a change of stress, such as compression, distortion and
a change of shearing resistance are due exclusively to changes in effective
stress.’
The Principle of Effective Stress
The beauty of the principle lies in the
breakdown of the applied stress (total
stress) into two separate components
for simpler analysis:
1) The effective stress is carried by
the soil skeleton.
2) The pore pressure is carried by
pore water.
3) The total stress is the sum of the
effective stress and the pore
pressure

 The effective stress ´ is related to total stress and pore pressure by ´ =  - u.

 It is the effective stress that is effective in causing important changes: changes in strength,
changes in volume, changes in shape.
 The effective stress is the average stress on a plane through the soil, not the actual contact
stress between two soil particles (which can be much higher).
 Water and air cannot support shear stress, so shear is supported entirely through grain-
grain contact.

(Fahey, 2010)
Hydromechanical Analog (1)

(Fahey, 2010)
Hydromechanical Analog (2)
 The Principle of Effective Stress can be visualised easily using the spring/piston/water
analog (a hydromechanical model), which represents the soil skeleton as an equivalent
spring.
 At all stages, the applied load is shared between the spring and the water.
 The equilibrium of the piston requires that: P=F+u×A
where P is the applied force, F is the force taken by the spring, u is the pressure in the
water, and A is the cross-sectional area of the piston.
 This can be re-written as: F=P–u×A
which states that the force in the spring (soil) is the applied force less the force due to the
pore water.
F P
 If we treat all forces as being “spread over” the cross-sectional area, then:  u
A A

 Since force per unit area is stress, we can write the equilibrium of the piston in terms of
vertical stresses:  = ’ – u
where ’ is the stress carried by the soil skeleton (the effective stress),  is the total stress
applied to the soil, and u is the pore water pressure

Later you will learn that this simple hydromechanical model is very useful to understand the complex
consolidation problems in soil: how soil and water react with external loads and how they vary with time.

(Fahey, 2010)
(Fahey, 2010)
Changes in Effective Stress
 Changes in water level below ground (water table changes) result in changes in
effective stresses below the water table.
 Changes in water level above ground (e.g. in lakes, rivers, etc.) do not cause
changes in effective stresses in the ground below. As both total stress and pore
pressure change by the same amount, the effective stress remains constant.

 In some analyses it is better to work in changes of quantity, rather than in

absolute quantities; the effective stress expression then becomes:
´ =  - u
 A change in effective stress will cause: a change in strength and volume.
Consequence of Changes in Effective Stress
1) Changes in Strength
 The critical shear strength of soil is proportional
to the effective normal stress; thus, a change in
effective stress brings about a change in
strength.
 Therefore, if the pore pressure in a soil slope
increases, effective stresses will be reduced by
' and the critical strength of the soil will be
reduced by  – sometimes leading to failure.

2) Changes in Volume
 Immediately after the construction of a foundation on a fine soil, the pore pressure
increases, but immediately begins to drop as drainage occurs.
 The rate of change of effective stress under a loaded foundation, once it is constructed,
will be the same as the rate of change of pore pressure, and this is controlled by the
permeability of the soil.
 Settlement occurs as the volume (and therefore thickness) of the soil layers change.
 Thus, settlement occurs rapidly in coarse soils with high permeabilities and slowly in fine
soils with low permeabilities.
Calculation of Total and Effective Stress
d = 16 kN/m³ DRY SAND 2m

s = 20 kN/m³ SATURATE 3m
D SAND

CLAY

 At the top of saturated sand (z = 2 m)

 Total vertical stress: v = 16 x 2 = 32 kPa
 Pore pressure: u=0
 Vertical effective stress: ´v = v – u = 32 kPa
 At the top of the clay (z = 5 m)
 Total vertical stress: v = 32 + 20 x 3 = 92 kPa
 Pore pressure u = 9.81 x 3 = 29.4 kPa
 Vertical effective stress ´v = v – u = 92 – 29.4 = 62.6 kPa
Stresses under Foundation
q = 200 kPa

2m
d = 16
kN/m³ 4m
COMPACT
SAND
8m 3m
s = 20 SATURATE
kN/m³ D SAND

clay = 18 CLAY 2m
kN/m³

 The change in thickness of the clay layer is to be calculated and so the initial
and final effective stresses are required at the mid-depth of the clay.
 Initial total stresses at mid-depth of clay:
v = 4 x 16 + 3 x 20 + 1 x 18 = 142 kPa (1 kPa = 1kN/m²)
 Initial effective stress at mid-depth of clay = 142 – 10 x 4 = 102 kPa
 Final total stresses at mid-depth of clay:
v = 2 x 16 + 3 x 20 + 1 x 18 + 200 = 310 kPa
 Final effective stress at mid-depth of clay = 310 – 10 x 4 = 270 kPa
Short-term and Long-term Stresses (1)

FILL
fill = 18 kN/m³ 4m

clay = 20 kN/m³ CLAY 4m

SATURATE
s = 20 kN/m³ 2m
D SAND

 A 4 m fill is to be placed on top of the clay layer as shown above. Calculate the total
and effective stress at the mid-depth of the sand and the mid-depth of the clay for
the following conditions:
 initially, before construction;
 immediately after construction;
 many years after construction.
Short-term and Long-term Stresses (2)
a) Initially, before construction
Initial stresses at mid-depth of clay (z = 2 m)
Total vertical stress: v = 20 x 2 = 40 kPa
Pore pressure: u = 10 x 2 = 20 kPa
Vertical effective stress: ´v = v – u = 20 kPa
Initial stresses at mid-depth of sand (z = 5 m)
Total vertical stress: v = 20 x 5 = 100 kPa
Pore pressure: u = 10 x 5 = 50 kPa
Vertical effective stress ´v = v – u = 50 kPa

b) Immediately after construction

 Stresses at mid-depth of clay (z = 2 m)
Total vertical stress: v = 20 x 2 + 18 x 4 = 112 kPa
Pore pressure: u = 10 x 2 + 18 x 4 = 92 kPa
Vertical effective stress: ´v = v – u = 20 kPa (i.e. no change immediately)
 Stresses at mid-depth of sand (z = 5 m)
Total vertical stress: v = 20 x 5 + 18 x 4 = 172 kPa
Pore pressure: u = 10 x 5 = 50 kPa
Vertical effective stress: ´v = v - u = 122 kPa (i.e. an immediate increase)
Short-term and Long-term Stresses (3)
a) Many years after construction
Stresses at mid-depth of clay (z = 2 m)
Total vertical stress: v = 20 x 2 + 72 = 112 kPa
Pore pressure: u = 10 x 2 = 20 kPa
Vertical effective stress: ´v = 92 kPa (i.e. a long-term increase)
Stresses at mid-depth of sand (z = 5 m)
Total vertical stress: v = 20 x 5 + 72 = 172 kPa
Pore pressure: u = 10 x 5 = 50 kPa
Vertical effective stress ´v = 122 kPa (i.e. no further change)

This example shows differences in response to loads between a low permeability soil (i.e.
clay) and high permeability soil (i.e. sand). On immediate loading of the fill, the pore
water pressure builds up in the clay layer. It takes time to dissipate this excess pore
pressure and subsequently the effective stress increases in the long term.
Example 4.1
Given the soil profile and properties illustrated, draw the total stress, effective
stress and pore pressure diagrams.

2.5 m  = 1920 kg/m³ 3m

SAND

 = 1680 kg/m³ CLAY

8m

BEDROCK
Example 4.1 Solutions (1)
 Total stress at 3 m: z=3 = gh = 1920 x 9.81 x 3 = 56.5 kPa
 Total stress at 11 m: z=11 = 1920 x 9.81 x 3 + 1680 x 9.81 x 8 = 182.4 kPa

 Pore water pressure at 11 m: uz=11 = wgh = 1000 x 9.81 x 8.5 = 83.4 kPa

 Effective stress at 2.5 m: ’z=2.5= gh = 1920 x 9.81 x 2.5 = 47.1 kPa
 Effective stress at 3 m: ’z=3 = 47088 + (1920 – 1000) x 9.81 x 0.5
= 51.6 kPa
 Effective stress at 11 m: ’z=11 = 51.6 + (1680 – 1000) x 9.81 x 8 = 105 kPa
 Total stress (kPa) Effective stress (kPa) Pore pressure (kPa)

0 100 200 0 100 200 0 50 100

0 0 0

2 2 2
47.1

56.5 51.6

4 4 4

6 6 6

8 8 8

10 10 10

182.4 105 83.4

Example 4.2
A sand fill is spread on top of organic silt as shown. Assume that the fill is infinite in
extent. At the end of the consolidation process, estimate the increase in vertical
effective stress at point A due to the placement of the sand fill.

SAND 5m
 = 20 kN/m³
FILL

1m

11 m

sat = 18 kN/m³ ORGANIC

SILT
A 22 m
Example 4.2 Solutions
Before the sand fill is placed:
 = 18 x 11 = 198 kPa
u = 9.81 x (11 – 1) = 98.1 kPa
’ =  – u = 99.9 kPa

After placing the sand fill:

 = 18 x 11 + 20 x 5 = 298 kPa
u = 9.81 x (11 – 1) = 98.1 kPa
’ =  – u = 199.9 kPa

Therefore
 ’ = 100 kPa
 2011 Spring Exam Q6

Example 4.3
Figure QA.6 shows the stratigraphy of a construction site. It consists of 3 m of
coarse gravel overlying 12 m of clay. Beneath the clay layer lies a fissured
sandstone of relatively high permeability. The water table in the gravel is 0.6 m
below ground level. The water in the sandstone is under artesian pressure
corresponding to a standpipe level of 6 m above ground level.

Figure QA.6
Example 4.3
The unit weights of the soil are:
Gravel Above water table 16 kN/m3
Below water table (saturated) 20 kN/m3

Clay saturated 22 kN/m3

The unit weight of water can be treated as 10 kN/m3.

(a) Plot the total stresses, pore water pressures and effective vertical stresses
against depth:
(i) with initial ground water levels; [2 marks]
(ii) assuming that the water level in the gravel is lowered 2 m by pumping, but
the water pressure in the sandstone is unchanged. [4 marks]
(b) To what depth can a wide excavation be made into the clay before the bottom
blows up (when σv’ = 0) for the ground water conditions as in (a)(i)?
[2 marks]
(c) An excavation 9 m in depth (below ground level) is to be constructed. If the
ratio of total vertical stress to uplift pressure of 1.3 is required for safety, to what
depth must the piezometric head in the sandstone be lowered?
[2 marks]
 Example 4.3 Solutions (1)
Note that rapid changes of global total stress do not cause immediate changes in
effective stress within the clay layer. Dashed line represents short term effects.

(a)(i)

(a)(ii)
Example 4.3 Solutions (2)
(b) (15-D) x 22 = 21 x 10
D = 5.454 m

(c) 1.3 = (6 x 22)/10p

p = 10.153 m