Prof. B V S Viswanadham, Department of Civil Engineering, IIT Bombay

10
Prof. B V S Viswanadham, Department of Civil Engineering, IIT Bombay

Effective stress and Capillarity

In-place densification of granular soils
Blasting or by Explosives
The range of soil grain sizes suitable for

compacting by blasting method is the same as for
Vibroflotation.
In this method, the compaction is achieved by
successive detonations of small explosive charges
in saturated soils.
Relative densities of 70 to 80 % upto a depth of
20 to 25 m can be achieved.

Explosive charges (60 % dynamite, 30% special gelatin
dynamite, and ammonite are most commonly used) are
placed at about 2/3 times the thickness of the stratum to be
densified.
The spacings of the charges vary from 3 to 8 m.
Three to five successive detonations of several spaced
charges are usually required to achieve the desired
compaction.
The shock waves due to blasting cause liquefaction of the
saturated sand, followed by densification.
Practically no compaction is achieved in the top 1 m and
so this zone usually needs recompaction by rollers.

The relation for the weight of charge and the sphere
of influence for compaction can be given by:
W = CR 3
Where W = Weight of charge

R = Sphere of influence
C = Constant (0.0025 for 60 % dynamite)
If blasting is used in dry or partially saturated soils,
preflooding is desirable.
Compaction by Pounding, Dynamic
compaction or High energy impact
 Used for improving surface and near surface
zones of soil and fill material whose existing
condition is considered marginal or inadequate
foundation support…
 The method consists of dropping a heavy weight

from a relatively great height; Weights ranging:
2 tons to 15 tons, and drops have ranged from 10 to
30 m.
Pounding– Repeated heavy blows

Dynamic compaction
 Usually, a closely spaced grid pattern is selected
for the pounding locations, and the multiple
poundings are required at each drop location
(typically 5 to 10 drops).
 Can densify loose cohesion-less soils, fracture

and densify buried building rubble such as that
which exists at old building sites, consolidate fine
grained soils, and compact buried garbage fills.

 The pounding creates a depression at each drop
location and also produces an areal settlement.

Water table
Air in irregular spaces
between soil particles
Water surrounding
particles and at points
of contact between
particles, and filling
small void spaces

A soil can be visualized as a skeleton of solid
particles enclosing continuous voids which contain
water and / or air.
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
the 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 a scope for particle rearrangement.

Vertical subsurface stress resulting from
the soil mass
Ground surface
z
σv
γt = unit weight of
soil, homogeneous
from ground surface
to depth z
Unit area
σv = γ t z
Pore pressure
 Pore water pressure (PWP) is the pressure in
the water in the void spaces or pores which exist
between and around the mineral grains.
• u = pore pressure
pore water
u
grains u
u
u
u

Pore pressure
 Pore water pressure under no flow conditions
is given by the hydrostatic pressure.
ground surface
u = γw h WT
pore water h
grains

Pore Water Pressure
As the name implies, is the pressure which exists in the water
which is present in the pores of the soil. The soil pores are
normally interconnected and they may be visualized as being a
highly intricate and complex collection of irregular tubes.
z
γw z
Soil having interconnected voids which are

similar to irregular tubes…
Effective stress principle (Karl Terzaghi in 1936)
Valid only for Saturated soils
Effective stress σ´ , at a point in a soil mass is equal to

the total stress σ, at that point minus the pore water
pressure u, at that location.
σ ′ = σ − uw
Both total stress σ and pore water pressure u are
physically meaningful parameters; stresses that can
actually be measured in the field.
Terzaghi’s Effective Stress Principle
• Terzaghi (1936) proposed the relationship for effective

stress.
• “All measurable effects of a change of stress, such as

compression, distortion, and a change of shearing
resistance are due to changes in effective stress”.
• Certain aspect of the engineering behaviour of
soil, especially, compression and shear strength
are functions of effective stress.
First important equation in Geotechnical Engineering…

Nature of effective stress
Effective stress σ´, by definition, can be determined

only by arithmetic manipulation: σ - uw
Unlike σ and uw, σ´ is thus not a physical parameter. It

is thus only a mathematical concept but obviously a
useful parameter since it has empirically been
observed to be the determinant of the engineering
behaviour of soil.

Effective stress concept through an idealized
saturated soil element under stress
σ A
grains σ
A′′ A′′
A’′
A′ F′ uw
Aw
Pore water
Ac
An idealized saturated soil
element in equilibrium A′′A′′ is stretched view of plane A′A′
• Wavy plane A´A´ passes through particle to particle

points – almost entire plane passes through pore water
Effective stress concept through an idealized
saturated soil element under stress A
σ
Since the soil element is in
equilibrium the algebraic
A ′′ A′′
sum of the forces must be
equal to zero. F′ uw
Aw
Ac
σA The total stress on account of overburden, σ, multiplied by
the area of plane A
uwAw The pore water pressure multiplied by the area of the plane
which passes through pore water Aw
F´ The summation of forces which act at particle to particle
contacts through which the plane passes.
Effective Stress Effective stress is not
• Applying laws of statics to the stress at particle to
soil element in equilibrium particle contact.
• Ac + Aw = A Stress at particle
contact is a physical
• σA = F′ + uw (Aw)
stress equal to F′/(Ac)
• σ = (F′/A) + [uw (A-Ac)/A]
Where a = contact area
• σ = σ′ + (1-Ac/A) uw
between particles per unit
• σ = σ′ + (1-a) uw gross area of the soil.
In granular materials a → 0,
[After Lambe and Whitman, 1969]
σ ′ = σ − uw
Effective stress concept
At point O
σ = γh1 + γ sat h2
Point O
a) Gross
u w = γ w h2 area A
Area of
contact
b) soil solid
Total Area of
σ ′ = γh1 + γ sub h2
contact soil
solid = Ac
c)
Effective stress is sometimes used interchangeably
with intergranular stress.
Although the terms are approximately same, there is
some difference.
Total vertical force F at the level of O is the sum of the following forces:
1)Forces carried by soil solids at their point of contact Fs
Fs = F1(v) + F2(v) + F3(v)+…. Vertical components of F1, F2,..
2)Force carried by water Fw = uw(A-Ac)
3)Electrical attractive force between solid particles
at the level of O, FA
4) Electrical repulsive force between solid particles
at the level of O, FR
Effective stress concept
Total Vertical force F = Fs+ Fw - FA+ FR
 Ac 
σ = σ ig + u w 1 −  − A′ + R′
 A
σ = σ ig + u w (1 − a ) − A′ + R′
Where σig = intergranular stress; a = Ac/A ; A´ = Electrical
attractive force per unit area of cross-section of soil; R´ =
Electrical repulsive force per unit area of cross-section of soil.

Intergranular Stress
Hence
σ ig = σ − u w (1 − a ) + A′ − R′
The value of a is very small in the working stress range.. a 0
σ ig = σ − u w + A′ − R′
 For granular soils, silts, and clays of low plasticity, the
magnitudes of A´ and R´ are small; For all practical
purposes, the intergranular stress becomes:
σ ig ≈ σ − u w
Intergranular Stress
In highly plastic and dispersed clays, A´ - R´ is large,
such situations:
σ ig ≠ σ − u w
 In clay soils mineral
crystals are not in direct
contact since they are
surrounded by adsorbed
layers of water.
 It is assumed that inter-

clay platelets
granular forces can be adsorbed water
transmitted through the
adsorbed water.
Effective stress in a partially saturated soil
Partially saturated soils exist in a three phase state. The
water in the voids is not continuous. Pore air occupies
considerable volume in the system.
Total stress at any point = (effective stress + pore air
+ pore water pressure)
pore air
solid particle
pore water
Effective stress in partially saturated soil
• According to Bishop (1960),
• σ = σ´+ ua – Ψ (ua – uw)
• Ψ is the fraction of unit cross sectional area of
soil occupied by water.
• For Dry soil Ψ = 0 (Sr = 0)
• For Saturated soil Ψ = 1 (Sr = 100%)
• For intermediate values of Sr , Ψ is read from
chart.
Bishop (1960) determined the nature of the variation of ψ

with Sr for several soils, based on their triaxial tests for
unsaturated soil specimens.
Effective stress in partially saturated soil
1
0.8
0.6
ψ
0.4
0.2
0
0 20 40 60 80 100
Degree of saturation (%)
Redrawn after Bishop (1960)

Effect of fluctuations of water table on
effective stress
2 2 Ground
h1 surface
1 1
h
Saturated soil
σv σv´
1 – 1 Initial water location (at ground surface)

2 – 2 Water level (during rain) - Water level rise
effective stress
1 – 1 Initial water level 2 – 2 water level location
location (before rain) (during rain)
σ v = γ sat h σ v = γ sat h + γ w h1
uw = γ wh u w = γ w ( h1 + h)
σ v′ = γ sub h σ v′ = γ sub h
The rise of water level above ground surface
increased both uw and σ by the same amount, and
consequently effective stress remains unchanged.
effective stress
Ground
1 1 surface
h1
2 γd 2
h
Saturated soil
σv σv´
1 – 1 Initial water location (at ground surface)

2 – 2 Water level (after rain) – water table depletion
effective stress
2 – 2 water level location
1 – 1 Initial water level
location (before rain) (after rain)
σ v = γ sat h σ v = γ d h1 + γ sat (h − h1 )
uw = γ wh u w = γ w ( h − h1 )
σ v′ = γ sub h σ v′ > γ sub h
Sudden depletion of water table causes increase in
effective stress  could lead to crushing of grains
settlement of structure.
effective stress
1) With a shift in the water table there is a change in the
distribution of PWP with depth. (occurs over a finite time
interval)
2) Time interval is long in soils like clays in which water flows

slowly and almost instantaneous in soils like sand in which
water flows very fast.
3) When PWP are adjusting to the new location of GWT, the

condition of water can be described as being TRANSIENT
HYDRODYNAMIC. ---After achieving equilibrium condition
changes to hydrostatic.
effective stress
The effect of fluctuation of water table on the distribution of

effective stress with depth can be summarized as follows:
For water table below ground surface, a rise of

water table causes a reduction in the effective stress
and a fall in the water table produces an increase in
effective stress.
For water table above ground surface, a fluctuation

in the exposed water level does not alter the effective
stress in the soil.
effective stress
Let us consider some facts noted each year during monsoon
through personal observation or news paper reports:
-During monsoon the GWT is known to rise and

hence effective stress reduces.  so does shear
strength. When shear strength reduces below the
magnitude of shear stresses in soil slides /collapses
occur.
Increase in σ occurs instantaneously whereas an increase in

effective stress is not instantaneous, since particle adjustment
and readjustment is not instantaneous.

Example 1
Plot the variation of total and effective vertical
stresses, and pore water pressure with depth for the
soil profile shown below.

Solution for problem 1
At 10 m depth,
σv = (4)(17.8) + (2)(18.5) + (4)(19.5) = 186.2 kPa
u = (6)(9.81) = 58.9 kPa
σv’ = 186.2 – 58.9 = 127.3 kPa
Variation of σv, u, σ′v

with depth 

Neutral stress
Void ratio changes lead balls
from e0 to e1.
e0 to e1, produces a Surface before
σ
change in other placing lead balls
mechanical
properties of soil.
Surface after
For this reason it is soil
placing lead balls
called ‘effective
stress’.
Only effective stresses can induce changes in

volume in a soil mass and can produce frictional
resistance.
Neutral stress
WT
• The increase in
pressure due to the weight
of water does not have a hw hw= σ/γw
measurable influence on
the void ratio or any other
mechanical property.
• Therefore, the pressure Sat. soil
produced by water is also
called as Neutral Pressure
• or Neutral stress.
Neutral stresses can not by themselves cause
volume change or produce frictional resistance.
Capillarity
Ground Water Table ( or Phreatic surface) is the
level to which underground water will rise in an
observation well, pit or other open excavation into
the earth.
 In addition, Every soil in the field is completely
saturated up to some height above the water table
and partially up to some more height. This is
attributed to the phenomenon of CAPILLARITY in soils.

Capillarity
Capillarity arises from a fluid property known as

surface tension, which is a phenomenon that occurs
at the interface between different materials.
For soils: Surface of water, mineral grains and air
DEFINITION of Surface tension: Caused by each portion

of the liquid surface exerting tension (due to molecular
attraction) on adjacent portions of the surface or on objects
that are in contact with the liquid surface.

Capillary rise
The phenomenon in which water rises above the

GWT against the pull of gravity but is in contact with
the water table as its source is referred to as
CAPILLARY RISE.
Water is sucked up into the pores of the soil in this

zone on account of the surface tension of water, a
manifestation referred to as the Capillary
phenomenon.

Capillary water system
Zone of capillary saturation:
Closest to GWT
Zone of partial saturation:
Above the zone of saturation is the zone of capillary saturation
and above is the zone of partial capillary saturation. In this zone
water is connected through the smaller pores, but more of the
larger pores are filled with air.
Zone of contact water:

The water in this zone surrounds the points of contact between
soil particles and also surrounds soil particles, but is
disconnected through pores.

Capillarity

Capillary Rise
DEFINITION: A rise in a liquid above the level of zero

pressure due to a net upward force produced by
the attraction of the water molecules to a solid
surface, e.g. glass, soil (for those cases where the
adhesion of the liquid to the solid is greater than the
cohesion of the liquid to itself)
Immersing a glass tube of small diameter into a vessel

containing water.
Rise of water in tube = f (d of tube and cleanliness of its inner
surface).

Capillary rise
hc
It is reasonable to assume that pore spaces between

soil particles of various diameters, behaves in much
the same manner as that of a capillary tube.
Capillary rise
In soils, shapes of void spaces between solid
particles are unlike those in capillary tubes.
The voids are of irregular and varying shape and
size, and interconnected in all directions.
⇒ Hence, accurate prediction of the height of
capillary rise in soil is next to impossible.
However, the features of capillarity rise in tubes

are applicable to soils as they facilitate an
understanding of factors affecting capillarity.

Microscopic view of soil
The tube containing water exhibits

positive capillary rise, where the water
adheres to the sides of the tube
causing the fluid to rise slightly.

Capillary pressure
F T o ⋅π ⋅d ⋅cos ( α )
F
To F π ⋅d ⋅T o ⋅cos ( α )
α α uc
A  π ⋅d2 
 
d  4 
4 ⋅T o ⋅cos ( α )
uc
d
For chemically
clean glass tube α = 0
Capillarity and soil water energy
Soil water exists in small spaces in soil as a film around soil
particles.
The small pores can act as capillaries. A capillary is a very thin

tube in which a liquid can move against the force of gravity.
Water is attracted to the glass tube by adhesion so a thin film

flows up the side of the tube, while cohesion drags more water
along.
The liquid rises to the point where gravity balances the

adhesive and cohesive forces. The narrower the tube the higher
the water column can rise.

Capillary rise hc
∑F v F−W
y
F
F W
π 2
hc T o ⋅π ⋅d ⋅ d ⋅ h c ⋅γ w
4
W
At equilibrium hc is
at a maximum, therefore
Solving for hcmax yields:
4 ⋅T o −0.3
h cmax
d ⋅γ w d ⋅γ w
Pore size d
Capillary rise hc
hc1
hc2
hc3
hc4
Height of capillary
rise is a function of
diameter of capillary
tube.
For soils
D 10
d
5
Capillarity and Soil water energy
● Surface tension: the greater attraction of water molecules for
each other than the air above at liquid-air interfaces primarily
due to cohesion.
● Adhesion and surface tension together cause the phenomenon

called capillarity--the movement of water up a wick made of
hydrophilic solid materials.
● Capillary movement takes place in any direction.
● The height of capillary rise in a tube is directly proportional to

the liquid's surface tension and adhesion to the solid surface, but
inversely proportional to the tube radius and the density of the
liquid.
Capillary rise
4TCosα
hc =
γ wd
This estimate may be improved to allow for the

effect of grading and grain shape characteristics,
such as irregularity and flakiness:
C
hc =
eD10

Capillary rise hc
Rough approximation to maximum height hc to which

water can rise by capillarity in a given soil is:
Where C = constant (0.1 – 0.5 cm2)

C
hc = f( grain shape, surface impurities)
eD10 e = void ratio
Capillary action holds soil water in small pores

against the force of gravity. The smaller the pores, the
greater the movement can be.
Capillary rise in soil
Soil Type D10 Size Capillary Head
(mm) (cm)
Coarse Gravel 0.82 6
Fine Gravel 0.3 20
Silty Gravel 0.06 68
Medium Sand 0.02 120

Silt 0.006 180
Clay < 2 mm Meters

Approximate relationship between capillary rise
and soil type

Relationship between grain size of uniform quartz
powder and height of capillary rise
hc is greatest for fine

grained soils, but rate of
rise is slow because of
their low permeability.
Maximum for silts and very fine sand size particles

After Atterberg (1908)
Capillarity
• Coarse grained soils

are only partially
saturated zone above

saturated even at ground surface
elevations close to the u=0 dry soil
water level, whereas fine
water table
-u
grained soils may be WT
saturated for a u saturated
considerable distance soil
above it. u = γw hw

Capillary rise in soil (stress profile)
-hcγw
hc
uc h cγ w

Capillary rise in soil
Surface Tension air/water surface Interface

u Sr
Discontinuous Water
Capillary Fringe
-hcγw
hc Capillary Saturation

Effective Stresses Due to Capillarity
In the capillary zone: σ′ = σ - (-uc) = σ + uc
Ground surface.
σT u σ´
γdry γdry
-hcγw
γsat - γw
γsat
γw

Angle of repose
• Dry unconsolidated grains will form a pile with a

slope angle determined by the angle of repose.
•
• The angle of repose is the steepest angle at which
a pile of unconsolidated grains remains stable, and is
controlled by the frictional contact between the
grains.
•  In general, for dry materials the angle of repose
increases with increasing grain size, but usually lies
between about 30 and 37o.

Angle of repose

The role of water
Think about building a sand castle on the beach. If
the sand is totally dry, it is impossible to build a pile of
sand with a steep face like a castle wall.
If the sand is somewhat wet, however, one can

build a vertical wall.
If the sand is too wet, then it flows like a fluid and
cannot remain in position as a wall.

The role of water
Slightly wet unconsolidated materials exhibit a very high angle of

repose because surface tension between the water and the solid
grains tends to hold the grains in place.
The role of water
When the material becomes saturated with water, the angle of

repose is reduced to very small values and the material tends to
flow like a fluid. This is because the water gets between the
grains and eliminates grain to grain frictional contact.
The role of water (clays)
Soils containing smectites or montmorillonites expand when they

become wet as water enters the crystal structure and increases
the volume of the mineral. When such clays dry out, the loss of
water causes the volume to decrease and the clays to shrink or
compact (This process is referred to as hydrocompaction).
Physical examples of capillarity phenomena
Poor Poor
Good strength
strength strength
Absence of
capillary pressure
Capillary zone
GWT
Confining pressure results from the columns of water hanging on the
different menisci at the surface of the beach.
 RD is more or less same only change is the presence of capillary
moisture or its absence.
 When sea water breaks capillary menisci gets washed off and
temporarily induced shear strength is lost.
Physical examples of capillarity phenomena
Two soil grains held together

by a capillary film. 
 Bulking structure in sand

is due to capillary action.
Strength gain in a granular soil due to partial saturation and

surface tension is termed as apparent cohesion.
Example 2
A 3.5m thick silt layer underlain by a 3m thick clay layer

is shown in Figure. Calculate the total stress, pore water
pressure, and effective stress at points A, B, C, D, and E.
The water table is located 2.5 m below the ground
surface. The capillary rise in the silt layer is 1.5m. Assume
that the silt layer has a degree of saturation Sr = 60% in
the zone of capillary rise.

Solution for problem 2 After Helwany (2007)
= - 0.6 x 1.5 x 9.81 = -8.82 kPa

Prof. B V S Viswanadham, Department of Civil Engineering, IIT Bombay

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Prof. B V S Viswanadham, Department of Civil Engineering, IIT Bombay

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