Chapter VII: IN-SITU STRESSES (EFFECTIVE STRESS)

Intended Learning Outcome:

✓ Define and distinguish between the three main types of in-situ stresses: vertical stress, horizontal stress, and shear
stress.
✓ Understand the concept of effective stress and its significance in soil mechanics.
✓ Identify the factors influencing in-situ stresses, including overburden pressure, surcharge loads, and lateral earth
pressure.
✓ Understand how total stress, pore water pressure and effective stress are related and the importance of effective
stress in soil mechanics.
✓ Determine the effective stress state within the ground, both under hydrostatic conditions and when seepage is
occurring.

Chapter Overview:
In-Situ Stresses
Understanding the in-situ stresses of soil is fundamental in geotechnical engineering, influencing factors such as
foundation design, slope stability, and excavation safety. This module explores the key concepts related to in-situ stresses,
covering their types, measurement methods, and implications for soil behavior.

Discussion:
VII. Introduction
A soil can be envisioned as a framework composed of solid particles that enclose continuous voids, which may
contain water and/or air. Under typical stress conditions encountered in practical scenarios, the solid particles and
water can be considered nearly incompressible, while air exhibits high compressibility. The overall volume of the soil
framework is subject to change, primarily through the rearrangement of soil particles—typically involving rolling and
sliding—leading to alterations in the forces between particles.
The compressibility of the soil skeleton is contingent upon the structural arrangement of solid particles,
denoted by the void ratio (e). In fully saturated soil, where water is treated as incompressible, a reduction in volume
can only occur if some water is allowed to escape from the voids. In contrast, in dry or partially saturated soil, a volume
reduction is always feasible. This reduction is attributed to the compression of air within the voids, provided there is
room for particle rearrangement (i.e., the soil is not already in its densest possible state, where void ratio e exceeds the
minimum void ratio, emin).

VII.1 The Principle of Effective Stress

The principle of effective stress is a fundamental concept in geotechnical engineering that addresses the
interaction between solid particles, water, and soil under varying stress conditions. It involves the idea that the actual
stress experienced by the soil skeleton is influenced not only by the applied external stresses but also by the presence
and behavior of pore water.
The significance of the forces transmitted through the soil skeleton, from particle to particle, was notably
acknowledged by Terzaghi in 1943. Terzaghi introduced the Principle of Effective Stress, an intuitive relationship
grounded in experimental data. This principle is particularly applicable to fully saturated soils and establishes a
connection between three critical stresses.
➢ Total Normal Stress (σ)
Represents the force per unit area transmitted in a normal direction across a plane within the soil mass. This
is conceptualized by imagining the soil as a solid (single-phase) material.

➢ Pore Water Pressure (u)

Signifies the pressure exerted by the water filling the void spaces between the solid particles.
 ➢ Effective Normal Stress (σ)
Reflects the stress transmitted through the soil skeleton exclusively, arising from interparticle forces. It is the
key stress parameter influencing the mechanical behavior of the soil.

Mathematically, the principle of effective stress is expressed as:

' =  − u
where :
 = total normal stress
u = pore water pressure
 ' = effective normal stress
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. The wavy plane XX is 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 approximated as the
sum of all the components N′ within the area A, divided by the area A, i.e.

' =
N' Figure 7.1 Interpretation of
A effective stress
Then, the normal stress is given by,
P
=
A

In summary, the principle of effective stress recognizes that the behavior of soil under stress is not solely
determined by the externally applied forces but is significantly influenced by the interplay between solid particles and
pore water, with effective stress representing the force that the solid particles bear within the soil structure. The
effective stress principle is probably the most important concept in geotechnical engineering. The compressibility and
shearing resistance of a soil depend to great extent on the effective stress. Thus, the concept of effective stress is
significant in solving geotechnical engineering problems, such as the lateral earth pressure on retaining structures, the
load-bearing capacity and settlement of foundations, and the stability of earth slopes.

VI.1.1 Effective Stresses of no Seepage

When considering the effective stresses in the context of no seepage, it typically refers to saturated soil
conditions where water is present but not undergoing any significant flow or drainage.
Examples:
Example 7.1
A soil prole is shown. Calculate the total stress, pore water pressure, and effective stress at points A, B, and C:
a) At point A
b) At point B
c) At point C
Answer: a) A = 0, u = 0,  'A = 0
b) B = 99 kPa, u B = 0,  'B = 99 kPa
c) C = 349.25 kPa, u B = 127.53 kPa,  'C = 221.72 kPa

Example 7.2
How high should the water table rise so that the effective stress at C is 190 kN/m 2? Refer to the same problem above.
Answer: 4.49 m
 VII.1.2 Effective Stresses of Soil with Upward Seepage
In the case of upward seepage, the pore water pressure increases as water flows vertically through the soil,
impacting the effective stress within the soil matrix. When dealing with saturated soil experiencing upward seepage,
it's essential to consider the distribution of stresses within the soil mass. The key stresses involved are the total
normal stress (σ), pore water pressure (u), and effective normal stress (σ’).

Example 7.3
A 9-m-thick layer of stiff saturated clay is underlain by a layer of sand. The sand is under artesian pressure. Calculate the
maximum depth of cut H that can be made in the clay.

Solution:
 A = ( 9 − H )  sat
u = 3.6  w
maximum value of H, due to pressure
pt.A will heave (expand or displace).
 'A = 0  heave will occur
 A − u =  'A
( 9 − H )  sat − 3.6 w =0

h = 7.04 m

Example 7.4
Consider the upward -ow of water through a layer of sand in a tank as shown. For the sand, the following are given; void ratio
e = 0.52 and specific gravity of solids = 2.67.
a) Calculate the total stress, pore water pressure, and effective stress at points C and B.
b) What is the upward seepage force per unit volume of soil.
C = 27.46 kPa, u = 24.03 kPa,  'C = 3.43 kPa
Answer: a)
B = 48.05 kPa, u = 41.20 kPa,  'B = 6.85 kPa
b) 7.36 kN/m3
VII.1.2 Effective Stresses of Soil with downward Seepage
In the case of downward seepage, the pore water pressure decreases as water moves vertically through the
soil. This can impact the effective stress within the soil matrix.

Quicksand Condition or Sand Boils

Quicksand develops when loose sand becomes soaked with water and is disturbed. If the water within the
sand is unable to escape, it transforms the soil into a liquid state, losing its ability to resist external forces. Quicksand
can be generated by either stationary or upward-flowing underground water, such as from an underground spring, or
by seismic events like earthquakes. In cases of subterranean water flow, the counteraction between the water's current
and gravity makes the sand granules more buoyant. During earthquakes, the shaking force amplifies the pressure of
shallow groundwater, leading to the liquefaction of sand and silt deposits. In both scenarios, the compromised strength
of the liquefied surface results in structures and objects sinking or toppling over.
Derivation of critical gradient:
G −1
ic =
1+ e
Total upward water force on soil
at bottom surface Ftu :
Ftu = ( h + L )  w A
Total weight of soil in saturated
codition Wt :
Wt =  sat LA
 Fv = 0
Ftu = Wt
(h + L) w =  sat L
w (G + e)
(ic L + L )  w = L
1+ e
(G + e)
( i c + 1) =
1+ e
(G + e)
ic = −1
1+ e
G −1
ic =
1+ e
 According to Darcy’s law, the velocity at which water flows varies as the permeability, in order to maintain a
specified hydraulic gradient such as unity. This explains the fact that quicksand conditions occur more commonly in fine
sands with low permeability. In case of gravels with high permeability, much higher velocity of flow will be required to
cause the ‘‘quicksand condition’’.
Quicksand conditions are likely to occur in nature in a number of instances; however, the widespread belief
that animals and man could be sucked into the quicksand is a myth, since the unit weight of the saturated sand is nearly
double that of water. However, quicksand conditions present constructional difficulties. When the exit gradient for a
hydraulic structure like a dam assumes the critical value, boiling occurs. This may lead to the phenomenon of
progressive backward erosion in the form of a pipe or closed channel underneath the structure and ultimately failure
of the structure. This is called, ‘‘piping’’. The ratio of the critical gradient to the actual exit gradient is called the ‘‘factor
of safety against piping’’.
ic
FS =
i exit
h H
i exit = =
 Nd 
H
i exit = C  Harza model
B
A factor of safety of 3 also is considered adequate for the safe performance of the structure. Harza also presented a
chart for iexit for dams constructed over deep homogeneous deposits. Using the notations shown in Figure.

Seepage Forces
Quicksand conditions are caused by seepage forces. These forces have importance in many situations, even
when there is no quick condition. Seepage forces are present in clays through which flow occurs, but cohesion prevents
the occurrence of boiling.
( h )  w A =  sub LA
(h ) w A
=  seepage force per unit volume
AL
VII.3 Capillary Rise in Soil
The rise of water in soils above the ground water table is analogous to the rise of water into capillary tubes
placed in a source of water. However, the void spaces in a soil are irregular in shape and size, as they interconnect in all
directions. Thus, the equations derived for regular shaped capillary tubes cannot be, strictly speaking, directly applicable
to the capillary phenomenon associated with soil water. However, the features of capillary rise in tubes facilitate an
understanding of factors affecting capillarity and help determine the order of a magnitude for a capillary rise in the
various types of soils.

Rise of water in the capillary tube:

 2
 d  h c  w = dT cos 
4 
4T cos 
hc =
d w
where :
T = surface tension ( force / length )
 = angle of contact
d = diameter of capillary tube

For pure water and clean glass, α = 0, for water, T = 72 mN/m, where mN is micro newton.

The maximum height of capillary rise corresponds to the smallest voids. Hazen (1930) gave a formula for the
approximation of the height of capillary rise in the form,
C
h=
eD10
where :
D10 = effective size (mm)
e = void ratio
C = a constant that varies from 10 to 50 mm 2
VII.3.1 Effective stress in the zone of Capillary Rise
The pore water pressure u at a point in a layer of soil fully saturated by capillary rise is equal to -ϒwh (h =
height of the point under consideration measured from the groundwater table) with the atmospheric pressure taken
as datum. If partial saturation is caused by capillary action, it can be approximated as,
 S 
u = −  w h
 100 
Examples:
Example 7.5
Determine the neutral and effective stress at a depth of 16 m below the ground level for the following conditions: Water table
is 3 m below ground level ; G = 2.68; e = 0.72; average water content of the soil above water table is 8%.
a) Neutral stress or pore water pressure
b) Effective stress
Given:

Solution:
a) Pore water pressure or neutral stress at 16m depth
u = w h
u = 9.81(16 )

u = 127.5 kPa

b) Effective stress at 16m depth.

 G (1 + w )
 wet = w
1+ e
9.81( 2.68 )(1 + 0.08 )
 wet =
1 + 0.72
 wet = 16.51 kN/m3
w (G + e)
 sat =
1+ e
9.81( 2.68 + 0.72 )
 sat =
1 + 0.72
 sat = 19.39 kN/m 3
 t =  wet ( h1 ) +  sat ( h 2 )
 t = 16.51( 3) + 19.39 (13) = 301.6 kPa
 ' = 301.6 kPa − 127.5 kPa
174.1 kPa

Example 7.6
A saturated sand layer over a clay stratum is 5 m in depth. The water is 1.5 m below ground level. If the bulk density of
saturated sand is 17.66 kN/m3, calculate the effective and pore water pressure on the top of the clay layer.
Answer: 34.34 kPa, 46.40 kPa
Example 7.7
A uniform soil deposit has a void ratio 0.6 and specific gravity of 2.65. The natural ground water is at 2.5 m below natural
ground level. Due to capillary moisture, the average degree of saturation above ground water table is 50%. Determine the pore
water pressure, total pressure, and effective pressure at a depth of 6 m.

Given:
unit weight @2.5m depth:
 w ( G + Se )
 wet =
1+ e
9.81( 2.65 + 0.5(0.6) )
 wet =
1 + 0.6
 wet = 18.09 kN/m 3
w (G + e)
 sat =
1+ e
9.81( 2.65 + 0.6 )
 sat =
1 + 0.6
 sat = 19.93 kN/m 3
Solution:
a) Pore water pressure
c) Effective stress
u = w (h2 )  ' = t − u
u = 9.81( 3.5 )  ' = 114.98 kPa − 34.34 kPa

u = 34.34 kPa  ' = 80.66 kPa

b) Total pressure at depth 6m

 t =  wet ( h1 ) +  sat ( h 2 )
 t = 18.09 ( 2.5 ) + 19.93 ( 3.5 ) = 114.98 kPa

t = 114.98 kPa

Example 7.8
deposit of cohesionless soil with a permeability of 3 × 10–2 cm/s has a depth of 10 m with an impervious ledge below. A sheet
pile wall is driven into this deposit to a depth of 7.5 m. The wall extends above the surface of the soil and a 2.5 m depth of
water acts on one side. Sketch the flow net and determine the seepage quantity per metre length of the wall.
Given:
n
q = kH f
nd
n d = number of equipotential drops = 14
n f = number of flow channels = 4
k = 3  10−2 cm / s

Solution:
n
q = kH f
nd
4
q = 3  10−2 ( 250 )
14
q = 2.143 cm3 / sec/ meter
 PROBLEM SET 7.1
Problem 1:
Water flows at the rate of 0.09 ml/s in an upward direction through a sand sample with a coefficient of permeability of 2.7 ×
10–2 mm/s. The thickness of the sample is 120 mm and the area of cross-section is 5400 mm2. Taking the saturated unit weight
of the sand as 18.9 kN/m3, determine the effective pressure at the middle and bottom of the sample.
Ans: 364 Pa, 182 Pa

Problem 2:
For a homogeneous earth dam 32 m high and 2 m free board, a flow net was constructed with four flow channels. The number
of potential drops was 20. The dam has a horizontal filter at the base near the toe. The coefficient of permeability of the soil
was 9 × 10–2 mm/s. Determine the anticipated seepage, if the length of the dam is 100 meters.
Ans: 0.054 m3/s

Problem 3:
A soil prole is shown in Figure. Given: H1 = 6 ft, H2 = 3 ft, H3 = 6 ft. Determine the stresses in point D (total, pore water, and
effective).

Ans: 1697.17 lb/ft3, 374.4 lb/ft3, 1322.77 lb/ft3

Problem 4:
At a particular site lies a layer of fine sand 8 m thick below the ground surface and having a void ratio of 0.70. The GWT is at a
depth of 4 m below the ground surface. The average degree of saturation of the sand above the capillary fringe is 50%. The soil
is saturated due to capillary action to a height of 2.0 m above the GWT level. Assuming Gs = 2.65, calculate the effective
pressure at depths of 6 m and 3 m below the ground surface.
Ans: 92.32 kPa and 58 kPa

Problem 5:
A 1.25 m layer of the soil (G = 2.65 and porosity = 35%) is subject to an upward seepage head of 1.85 m. What depth of coarse
sand would be required above the soil to provide a factor of safety of 2.0 against piping assuming that the coarse sand has the
same porosity and specific gravity as the soil and that there is negligible head loss in the sand.
Ans: 2.20 m