Chapter 7 : Effective stresses

7.1 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, i.e. the void ratio, e.

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 (i.e. the soil is not already in its densest possible state, e >
emin).

Shear stress can be resisted only by the skeleton of solid particles, by means of
reaction forces developed at the inter-particle contacts.

Normal stress may similarly be resisted by the soil skeleton through an

increase in the inter-particle forces. If the soil is fully saturated, the water
filling the voids can also withstand normal stress by an increase in pore water
pressure.
7.2 The principle of effective stress
The importance of the forces transmitted through the soil skeleton from particle
to particle was recognized by Terzaghi (1943), who presented his Principle of
Effective Stress, The principle applies only to fully saturated soils, and relates
the following three stresses:
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Chapter 7 : Effective stresses

1: 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: Pore water pressure ( u ), being the pressure of the water filling the void
space between the solid particles;
3: Effective normal stress ( σ′ ) on the plane, representing the stress transmitted through the
soil skeleton only (i.e. due to inter-particle forces).

The principle can be represented by the following physical model. Consider a

‘plane’ X-X in a fully saturated soil, passing through points of inter-particle
contact only, as shown in Figure 7.1.

Figure 7.1 Interpretation of effective stress.

A normal force P applied over an area A may be resisted partly by inter-
particle forces and partly by the pressure in the pore water.
The inter-particle forces are very random in both magnitude and direction
throughout the soil mass,

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Chapter 7 : Effective stresses

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 X-X
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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.

σ′ = ∑𝐴𝐴𝑁𝑁′
The total normal stress is given by

σ = 𝑃𝑃𝐴𝐴
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 X-X.
P = ∑ 𝑁𝑁′ + u A
𝑃𝑃 ∑ 𝑁𝑁′
� = + 𝑢𝑢� ÷ A
𝐴𝐴 𝐴𝐴

σ = σ′ + u
σ′ = σ - u
The pore water pressure which acts equally in every direction will act on the
entire surface of any particle, but is assumed not to change the volume of the
particle (i.e. the soil particles themselves are incompressible); also, the pore
water pressure does not cause particles to be pressed together.
7.3 Total stress versus effective stress
Soil is an assemblage of particles so that the soil’s skeleton (particle connected
structure)is a major body to resist against external forces. This is seen in Figure
7.2, in which two-headed arrow vectors indicate inter-particle forces at contact
points, including normal contact forces as well as shear contact forces.

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Chapter 7 : Effective stresses

In a dry situation ,inter-particle forces are in equilibrium with the external

forces as seen.
If the soil is saturated or partially saturated, pore water pressure develops,
and it also resists against some part of the external forces.

FIGURE 7.2 Inter-particle stresses in particle assemblage

Figure 7.3 models the inter-particle and pore water pressure resistances against
the external stress σ.
The model consists of a water-filled cylinder with a frictionless piston that is
supported by a spring. In the piston, there is a small hole to allow drainage. The
spring represents the skeleton’s resistance, filled water represents the pore water
of the soils, and a small hole in the piston reflects the permeability of the soil.
Terzaghi defined effective stress σ′ as
σ′ = σ – u
where
σ : is the applied total stress
u : is the pore water pressure

In the model, the applied stress is carried partially by σspring and partially by the
pore water pressure u. Thus, the skeleton’s stress is closely related to the
effective stress. When the volume change occurs (the spring is compressed),
σspring (effective stress) develops, or vice versa, as demonstrated in the model

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Chapter 7 : Effective stresses

Total stress does not contribute to the volume change of soils; rather, the
effective stress is the one to cause the volume change of soils.

FIGURE 7.3 Terzaghi’s effective stress model.

7.4 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) σv at depth z is equal to the weight of all material (solids + water) per unit
area above that depth, i.e.
σv = γsat 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= γw z
Hence, the effective vertical stress at depth z in this case will be
σ′v = σv - u
σ′v = [γsat − γw ] z
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Chapter 7 : Effective stresses

7.5 Effective stress computations in soil mass ( overburden stress )

At a greater depth beneath the ground surface, the soil is more compacted
because of its higher overburden stress. effective overburden stress computations
are demonstrated for various situations.

7.5.1 Dry Soil Layers

Figure 7.4 shows several layers of dry soil deposit. The total vertical
(overburden)stress at Point A is the weight of a soil column of 1 × 1 area above
Point A, and thus,

FIGURE 7.4 Effective stress computation for dry soil layers

σ = H1γ1 + H2γ2 + H3γ3 = Σ(Hiγi)

The vertical stress distribution σ with the depth is plotted alongside. In this case,
u = 0, and thus σ′ = σ throughout the depth.

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Chapter 7 : Effective stresses

7.5.2 Soil Layers with Steady Water Table

Figure 7.5 plots a situation with a steady groundwater table. The water table is
midway of soil layer 2. In this case, the total vertical stress σ at Point A is
calculated first as the weight of a 1 × 1 soil column as before, and then the
hydrostatic water pressure u is computed. Finally, the effective vertical stress σ′
is computed as follows:

FIGURE 7.5 Effective stress computation for dry and wet soil layers.

σ = H1γ1 + H2γ2 + H3γ3 + H4γ4 = Σ(Hiγi)

u = (H3 + H4)γw
σ′ = σ – u = [H1γ1 + H2γ2 + H3γ3 + H4γ4] – [(H3 + H4)γw]
= H1γ1 + H2γ2 + H3(γ3 – γw) + H4(γ4 – γw)
= Σ(Hiγi)above W.T. + Σ[(Hj(γj – γw)]below W.T.
where i and j denote the values for above the water table and below the water
table, respectively. The effective stress distribution curve and Equation (7.5)
suggest that σ′ can be directly calculated by a summation of soil layer thickness
multiplied by the unit weight for all layers by assigning the total unit weight γt
for soils above the water table and submerged unit weight γ ′ = γt – γw for soils
below the water table.
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Chapter 7 : Effective stresses

Exercise 7.1
Figure below shows soil conditions and water table elevation. Calculate the
effective overburden stress at Point A, (a) by computing σ and u individually,
and (b) by directly using γt above the water table and γ ′ below the water table.

Solution
Assume that for Soil 2, γt values above and below the water table are the same.

Method (a): individual computations of σ and u, then σ′:

σA = Σ(Hiγt) =4×18.2 +9×19.0 +4×18.5 +9×19.2 =490.6 kPa
uA = (6 + 4 + 9) × 9.81 = 186.4 kPa
σ′A = σA – uA = 490.6 – 186.4 = 304.2 kPa ←

Method (b): direct computation of σ′:

σ′A = Σ(Hiγi) + Σ(Hjγ ′j) = 4 × 18.2 + 3 × 19.0 + 6 × (19.0 – 9.81) + 4 × (18.5 –
9.81) + 9 × (19.2 – 9.81) = 304.2 kPa ←

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Chapter 7 : Effective stresses

7.5.3 Totally Submerged Soil Layers

To calculate the effective stress σ′ for soils under lakes or at ocean bottom, the
same principles as before are used—that is, use of γ ′ for soils under the water
table. Since all soils are under the water table, it is simply

σ′ = Σ(Hjγ′j)below W.T.
Figure 7.6 shows the distributions of σ, u, and σ′ for this case. It can be seen that
σ′ is not affected by the depth of water Hw.

FIGURE 7.6 Effective stress computation for underwater soil layers.

σ = Hwγw + Hsoilγsoil
u = (Hw+Hsoil) γw
σ′ = σ – u
σ′ = (Hwγw + Hsoilγsoil) – (Hw+Hsoil) γw = Hsoil.γ′soil
Exercise 7.2
Calculate σ, u, and σ′ on a soil element at 2 m depth from an ocean-bottom
surface under 300 m deep water. The soil’s unit weight is 17.5 kN/m3. Does this
high water pressure compress soil?

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Chapter 7 : Effective stresses

Solution
σ = Hwγw + Hsoilγsoil = 300 × 9.81 + 2 × 17.5 = 2978 kPa

u = (Hw+Hsoil) γw = (300 + 2) × 9.81 = 2963 kPa

σ′ = σ – u = 2978 – 2963 = 15 kPa
Total stress and pore water pressure are very high, but the effective stress is very
low. Since the formation of the soil’s skeleton is controlled by inter-particle
stress (effective stress), soils at the near surface of the ocean bottom are not
compressed much because of the rather small effective overburden stress.
7.6 Effective stress change due to water table change
When the water table changes, the effective overburden stress changes since the
effective stress computation uses either γt or γ ′ depending on the water table
elevation, when the water table drops, the effective stress increases. The effective
stress increase implies higher grain skeleton stress, and thus it causes volume
decrease or settlement.
Exercise 7.3
For the site shown in Figure below, water table elevation was at −7 m originally,
and lowered 6 m to −13 m due to heavy industrial water use. Calculate the
change of the effective overburden stress at Point A. What is a consequence of
the lowering water table elevation?

Solution
Assume that, for Soil 2, γt values above and below the water table are the same.
σ′A = Σ(Hiγi) + Σ(Hjγ ′j)
= 4 × 18.2 + 3 × 19.0 + 6 × (19.0 – 9.81) + 4 × (18.5 – 9.81) + 9 × (19.2 – 9.81)
= 304.2 kPa
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Chapter 7 : Effective stresses

After lowering the water table to −13 m:

σ′A = Σ(Hiγi) + Σ(Hjγ ′j)
= 4 × 18.2 + 9 × 19.0 + 4 × (18.5 – 9.81) + 9 × (19.2 – 9.81) = 363.1 kPa
Thus, the change in σ′, Δσ′ = 363.1 – 304.2 = 58.9 kPa increase ←
This increase in effective stress would cause ground settlement in the near future.
 In contrast to cases with lowering water table elevation, its rise causes a
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reduction in effective stress. In such cases, some swell is possible, but it

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may not be as severe as in the case of settlement. One potential problem of

this case is that underground structures, including buried pipes as well as
massive underground structures, may be pushed upward due to increased
buoyancy forces applied to such structures.
7.7 Capillary rise and effective stress
Soils above the water table are, in general, not completely dry due to capillary
rise, as seen in Figure 7.7(a). The capillary zone affected by the rise depends on
the size of the void opening of the soils. The smaller the void spacing is, the
higher the rise is. Small void spaces in soil assemblages work as capillary tubes.

Hazen (1930) empirically gave an approximate maximum height of capillary

rise, hcapillary, as a function of soil properties D10 and e as
𝐶𝐶
hcapillary ( mm ) =
𝑒𝑒𝐷𝐷10
where e is the void ratio, D10 is the effective grain size in millimeters, and C is a
constant with a range of 10 to 50. Table 7.1 shows general values of these for
different soils. As can be seen in the table, capillary rise is quite high for finer
soils.

FIGURE 7.7 Capillary rise

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Chapter 7 : Effective stresses

TABLE 7.1
Approximate Capillary Rise in Different Soils
Soil Type Loose Dense
Coarse sand 0.03–0.12 m 0.04–0.15 m
Medium sand 0.12–0.50 m 0.35–1.10 m
Fine sand 0.30–2.0 m 0.40–3.5 m
Silt 1.5–10 m 2.5–12 m
Clay ≥10 m

Capillary rise is due to suction created by the surface tension of water films
around particles, as seen in Figure 7.8

Figure 7.8 Surface tension between particles.

This suction works as attractive particle-to-particle stress and creates negative

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pore water pressure. Thus, it increases the effective stress, Theoretically, the pore
water pressure u in the capillary zone is− γwh for fully saturated soils, as seen in
Figure 7.7(c). However, the degree of saturation S in the capillary zone changes
from nearly fully saturated condition (100%) at the water table level to very low
at the highest rise, as shown in Figure 7.8(b). Therefore, the actual u is smaller
than the theoretical one. It is approximated by

𝑆𝑆
u= − � � γwh capillary
100
where S is expressed in percentage and hcapillary is the height from the water table
level. Actual pore water pressure u in the capillary rise zone is also shown in
Figure 7.8(c) with a dotted line. Because of negative pore water pressure in the
capillary zone, the effective stress in that zone needs to be modified from the one
without capillary rise consideration, as demonstrated in Exercise 7.4.

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Chapter 7 : Effective stresses

Exercise 7.4
For the soil condition given in Figure below, calculate and plot σ, u, and σ′
distributions with the depth considering the capillary rise. Assume that the
average degree of saturation S in the capillary zone is 50%

SOLUTION
At z = –8 m without capillary rise,
σ = 8 × 18.2 = 145.6 kPa
u=0
σ′ = 145.6 kPa

At z = –8 m with capillary rise,

σ = 8 × 18.2 = 145.6 kPa
u = –(S/100)γwhcapillary = –0.5 × 9.81 × 1.5 = –7.4 kPa
σ′ = 145.6 – (–7.4) = 153.0 kPa
At z = –9.5 m,
σ = 8 × 18.2 + 1.5 × 18.5 = 173.4 kPa
u=0
σ′ = 173.4 kPa
At z = –15 m,
σ = 8 × 18.2 + 1.5 × 18.5 + 5.5 × 19.0 = 277.9 kPa
u = 5.5 × 9.81 = 54.0 kPa
σ′ = 277.9 – 54.0 = 223.9 kPa
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Chapter 7 : Effective stresses

The preceding distributions are plotted , Effective stress computation with

capillary tension.

- Prove that effective stress is unaffected by the water level above the ground
surface.

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