Aksum University Shire Campus Soil Mechanics I 2017/

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CHAPTER FOUR

STRESSES, STRAINS, AND ELASTIC DEFORMATIONS OF SOILS

4.0 Introduction
An elastic analysis of an isotropic material involves only two constants –
Young’s modulus and Poisson’s ratio – and thus if we assume that soils are isotropic
elastic materials then we have a powerful, but simple, analytical tool to predict a soil’s
response under loading. We will have to determine only the two elastic constants from
our laboratory or field tests.
A geotechnical engineer must ensure that a geotechnical structure must not
collapse under any anticipated loading condition and that settlement under working load
(a fraction of the collapse load) must be within tolerable limits. We would prefer the
settlement under working load to be elastic so that no permanent settlement would occur
and thus use elastic analysis to calculate the settlement.
An important task of a geotechnical engineer is to determine the stresses and
strains that are imposed on a soil mass by external loads. It is customary to assume that
the strains in the soils are small and this assumption allows us to apply our knowledge
of mechanics of elastic bodies to soils. Small strains mean infinitesimal strains. For a
realistic description of soils, elastic analysis is not satisfactory. We need soil models that
can duplicate the complexity of soil behavior. However, even for complex soil models,
an elastic analysis is a first step.
In this chapter, we will review some fundamental principles of mechanics and
strength of materials and apply these principles to soils. When you finish this chapter,
you should be able to:
 Calculate stresses and strains in soils (assuming elastic behavior) from external
loads.
 Calculate elastic settlement.
You will use the following principles learned from statics and strength of materials.
 Stresses and strains.
 Elasticity – Hooke’s law.

Sample Practical Situation Two storage tanks are to be founded on a deep layer of stiff
saturated clay. Your client and the mechanical engineer, who is designing the pipe
works, need an estimate of the settlement of the tanks when they are completely filled.
Because of land restrictions, your client desires that the tanks be as close as possible to

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each other. If two separate foundations are placed too close to each other, the stresses in
the soil induced by each foundation overlap and cause intolerable tilting of the
structures and their foundations.

4.1 Stresses and Strains

4.1.1 Normal Stresses and Strains
The normal stresses (with reference to Fig.4.1) are:
Pz Px Py
z  , x  , y  (4.1)
xy yz xz

Figure 4.1: Stresses and displacements due to applied loads.

The normal strains (with reference to Fig.4.1) are:
z x y
z  , x  , y  (4.2)
z x y

4.2 Volumetric Strain

The volumetric strain is:
p  x  y  z (4.3)
4.2.1 Shear Stresses and Shear Strains
For a shearing force F (Fig. 4.2), the shear stress is:
F
  (4.4)
xy

The simple shear strain, also called engineering shear strain,  zx , is (Fig. 4.2)
x x
 zx  tan 1 or tan  zx 
z z

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Figure 4.2: Shear stresses and shear strains.

For small strains, tan  zx   zx and therefore,
x
 zx  (4.5)
z
In geotechnical engineering, compressive stresses in soils are assumed to be positive.
Soils can not sustain any appreciable tensile stresses and we normally assume that the
tensile strength of soils is negligible. Strains can be compressive or tensile.

4.3 Idealized Stress-Strain Response and Yielding

4.3.1 Material Response to Normal Loading and Unloading
The change in vertical stress for a uniaxial loading (Fig.4.3) is:
P
 z  　　　 (4.6)
A

Figure 4.3: Forces and displacements on a cylinder.

The vertical and radial strains are, respectively,
z
 z  (4.7)
H0

r
 r  　 (4.8)
r0

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where H0 is the original length and r0 is the original radius. The ratio of the radial (or
lateral) strain to the vertical strain is called Poisson’s ratio,  , defined as
  r
  (4.9)
z
Typical values of Poisson’s ratio for soils are listed in Table 4.1.

Table 4.1: Typical values of Poisson’s ratio for soils.

Soil Type Description υ*

Clay Soft 0.35 – 0.40
Medium 0.30 – 0.35
Stiff 0.20 – 0.30
Sand Loose 0.15 – 0.25
Medium 0.25 – 0.30
Dense 0.25 – 0.35
*
These values are effective values υ’ (discussion later in this chapter).
Figures 4.4 shows typical responses of linearly and non-linearly elastic
materials to normal loading and unloading; and Fig. 4.5 shows a typical response of an
elastoplastic material to normal loading and unloading.

Figure 4.4: Linear and non-linear stress-strain curves of an elastic material.

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Figure 4.5: Idealized stress-strain curves of an elastoplastic material.

4.3.2 Material Response to Shear Forces

Shear forces distort materials. A typical response of an elastoplastic material to
simple shear is shown in Fig. 4.6.

Figure 4.6: Shear stress-shear strain response of an elastoplastic material.

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4.3.3 Yield Surface

Let us consider a more complex situation than the uniaxial loading of a cylinder
(Fig. 4.7a). In this case, we are going to apply increments of vertical and radial stresses.
Since we are not applying any shear stresses, the axial stresses and radial stresses are
principal stresses.

Figure 4.7: Elastic, yield and elastoplastic stress states.

Let us, for example, set σ3 to zero and increase σ1. The material will yield at
some value of σ1, which we will call (σ1)y and plot it as point A in Fig. 4.7b. If,
alternatively, we set σ1=0 and increase σ3, the material will yield at (σ 3)y and is
represented by point B in Fig. 4.7b. We can then subject the cylinder to various
combinations of σ1 and σ3 and plot the resulting yield points. Linking the yield points
results in a curve, AB, which is called the yield curve or yield surface. A material
subjected to a combination of stresses that lies below the curve will respond elastically
(recoverable deformation). If loading is continued beyond the yield stress, the material
will respond elastoplastically (permanent deformation occurs). If the material is
isotropic, the yield surface will be symmetrical about the σ1, σ3 axes.

4.4 Hooke’s Law

4.4.1 Generalizes State of Stress
Stress and strains for a linear, isotropic, elastic soil are related through Hooke’s
law. For a generalized state of stress (Fig. 4.8), Hooke’s law is

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x   1   0 0 0 x 
y   1  0 0 0 y
z  1   1 0 0 0 z 
xy   0 0 0 2(1) 0 0 xy (4.10)

E
   0 0 0 0 2(1) 0  
y z y z
 zx   0 0 0 0 0 2(1   ) 
zx
where E is the elastic or Young’s modulus and  is the Poisson’s ratio. Equation (4.10)
is called the elastic equations or elastic stress-strain constitutive equations.

Figure 4.8: Generalized state of stress.

From Eq. (4.10), we have, for example,

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2(1   ) 
 zx   zx  zx (4.11)
E G
where,
E
G  (4.12)
2(1   )

is the shear modulus. We will call E, G and  the elastic parameters. Only two of these
parameters – either E or G and  – are required to solve problems dealing with
isotropic, elastic materials. Typical values of E and G are shown in Table 4.2.
Table 4.2: Typical values of E and G.
Soil Type Description E (MPa) G (MPa)
Clay Soft 1 – 15 0.5 – 5
Medium 15 – 30 5 – 15
Stiff 30 – 100 15 – 40
Sand Loose 10 – 20 5 – 10
Medium 20 – 40 10 – 15
Dense 40 – 80 15 – 35

4.4.2 Principal Stresses

If the stresses applied to a soil are principal stresses, then Hooke’s law reduces to,

1 1  1   1
2   1  2 (4.13)

E3   1 3

The matrix on the right-hand side of Eq. (4.13) is called the compliance matrix. The
inverse of Eq. (4.13) is

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1 E 1   1

2    1  2 (4.14)

(3 1)(  )21    13

    
The matrix on the right-hand side is called the stiffness matrix.

4.4.3 Displacements from Strains and Forces from Stresses

The displacements and forces are obtained by integration. For example, the vertical
displacement, z , is

z   z dz (4.15)

and the axial force is

Pz    z dA (4.16)

where dz is the height or thickness of the element and dA is the elemental area.

4.5 Plane Strain and Axisymmetric Conditions

4.5.1 Plain Strain
Let us consider an element of soil, A, behind a retaining wall (Fig. 4.9).
Because the displacement that is likely to occur in the Y direction ( y ) is small
compared with the length in this direction, the strain tends to zero; that is,

 y  y y  0

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Figure 4.9: Plane strain condition in a soil element behind a retaining wall.
Hooke’s law for a plane strain condition is
1
1   (1   ) 1   3  　 (4.17)
E

1
3   (1   ) 3   1  　 (4.18)
E
and
 2   ( 1   3 ) 　 (4.19)
In matrix form, Eqs. (4.17) and (4.18) become

 1 11  1

   1  (4.20)

 3  E   3 
The inverse of Eq. (4.20) gives

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 1  E 1  1
    1  (4.21)

 2 (1)(  )21   2
4.5.2 Axisymmetric Condition
　　　The other condition that occurs in practical problems is axial symmetry or the
axisymmetric condition where two stresses are equal. Let us consider a water tank or an
oil tank founded on a soil mass as illustrated in Fig. 4.10. The radial stress (σ r) and the
circumferential stress (σθ) on a cylindrical element of soil directly under the center of
the tank are equal because of axial symmetry.

Figure 4.10: Axisymmetric condition in a soil element under the center of a tank.
Hooke’s law for the axisymmetric condition is:
1
1   1  2 3  (4.22)
E

1
3   (1   ) 3  1  (4.23)
E

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or in matrix form,

 1 1 1 21
   ( )1   (4.24)

 2  E   3 
The inverse of Eq. (4.24) gives

 1  E 1 21
    1   (4.25)

 3 (1)(  )21   3
EXAMPLE 4.1

A rectangular retaining wall moves outward causing a lateral strain of 0.1% and a
vertical strain of 0.05% on a soil element located 3 m below ground level. Assuming the
soil is a linear, isotropic, elastic material with E = 5000 kPa and  = 0.3, calculate the
increase in stresses imposed. If the retaining wall is 6 m high and the stresses you
calculate are the average stresses, determine the lateral force increase per unit length of
a wall.

Strategy You will have to make a decision whether to use the plane strain or

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axisymmetric condition. You are asked to find the increase in stresses, so it is best to
write the elastic equations in terms of increment. The retaining wall moves outward, so
the lateral strain is tensile (–) while the vertical stress is compressive (+). The increase
in lateral force is found by integration of the average lateral stress increase.

EXAMPLE 4.2

An oil tank is founded on a layer of medium sand 5 m thick underlain by a deep deposit
of dense sand. The geotechnical engineer assumed, based on experience, that the
settlement of the tank would occur from settlement in the medium sand. The vertical
and lateral stresses at the middle of the medium sand directly under the center of the
tank are 50 kPa and 20 kPa, respectively. The values of E and  are 20 MPa and 0.3,
respectively. Assuming a linear, isotropic, elastic material behavior, calculate the strains
imposed on the medium sand and the vertical settlement.

Strategy You have to decide on the stress conditions on the soil element directly under
the center of the tank. Once you make your decision, use the appropriate equations to
find the strains and then integrate the vertical strains to calculate the settlement. Draw a
diagram illustrating the problem.

4.6 Anisotropic Elastic States

Anisotropic materials have different elastic parameters in different directions.
Anisotropy in soils results from essentially two causes
1. The manner in which the soil is deposited. This is called structural
anisotropy and it is the result of the kind of soil fabric that is formed during
deposition. You should recall (Chapter 2) that the soil fabric produced is related
to the history of the environment in which the soil is formed. A special type of
structural anisotropy occurs when the horizontal plane is a plane of anisotropy.
We call this form of structural anisotropy, transverse anisotropy.
2. The difference in stresses in the different directions. This is known as stress
induced anisotropy.

Transverse anisotropy, also called cross anisotropy, is the most prevalent type
of anisotropy in soils. If we were to load the soil in the vertical direction (Z direction)
and repeat the same loading in the horizontal direction, say, the X direction, the soil will
respond differently; its stress–strain characteristics and strength would be different in
theses directions. However, if we were to load the soil in the Y direction, the soil’s
response would be similar to the response obtained in the X direction. The implication is

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that a soil mass will, in general, respond differently depending on the direction of the
load. For transverse anisotropy, the elastic parameters are the same in the lateral
directions (X and Y directions) but are different from the vertical direction.
To fully describe anisotropic soil behavior, we need 21 elastic constants (Love,
1927) but for transverse anisotropy, we need only 5 elastic constants; these are Ez, Ex,
 xx ,  zx , and  zz . The first letter in the double subscripts denotes the direction of
loading and the second letter denotes the direction of measurement. For example,  zx
means poison’s ratio determined from the ratio of the strain in the lateral direction (X
direction) to the strain in the vertical direction (Z direction) with the load applied in the
vertical direction (Z direction).
For axisymmetric conditions, the transverse anisotropic, elastic equations are

 1 2rz 
z   Ez Er z
   (1 )   (4.26)

 r zr r  r
 Ez Er
where the subscript z denotes vertical and r denotes radial. It is well known that
 rz  zr  E r E z .

EXAMPLE 4.3

Redo Example 4.2 but now the soil under the soil tank is an anisotropic elastic material
with Ez=20 MPa, Er=25 MPa,  rz =0.15, and  rr =0.3.

Strategy The solution of this problem is a straightforward application of Eq. (4.26)

4.7 Total and Effective Stresses

4.7.1 The Principle of Effective Stress

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4.7.2 Effective Stresses Due to Geostatic Stress Field (or Self Weight of Soils)
4.7.3 Effects of Capillarity
4.7.4 Effects of Seepage

4.8 Stresses In Soil From Surface Loads

The distribution of surface stresses within a soil is determined by assuming that
the soil is a semi-infinite, homogeneous, linear, isotropic, elastic material. A semi-
infinite mass is bounded on one side and extends infinitely in all other directions; this is
also called an “elastic half space.” For soils, the horizontal surface is the bounding side.
Equations and charts for several types of surface loads based on the above assumptions
are presented.

4.8.1 Point Load

Figure 4.11: Point load and vertical load distribution with depth and radial distance.
Boussinesq (1885) presented a solution for the distribution of stresses for a
point load applied on the soil surface. An example of a point load is the vertical load
transferred to the soil from an electric power line pole. The increases in stresses on a
soil element located at point A (Fig. 4.11a) due to a point load, Q, are
5/ 2
3Q  1 
 z    (4.27)
2 z 2  1  (r / z ) 2 
 

Q  3r 2 z 1  2 
 r     (4.28)
2  ( r 2  z 2 ) 5 / 2 r 2  z 2  z ( r 2  z 2 )1 / 2 
 

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Q  z 1 
    (1  2 ) 2  2  (4.29)
2  2 3 / 2
r  z  z ( r 2  z 2 )1 / 2
2 
 (r  z ) 
3Q  rz 2 
 rz   2 2 5/ 2  　 (4.30)
2  (r  z ) 
where  is Poisson’s ratio. Most often, the increase in vertical stress is needed in
practice. Equation (4.27) can be written as
Q
z  I (4.31)
z2
where I is an influence factor, and
5/ 2
3  1 
I    (4.32)
2  1  (r / z ) 2 
 
The distributions of the increase in vertical stress from Eq. (4.32) reveal that the
increase in vertical stress decreases with depth (Fig. 4.11 b) and radial distance (c).
4.8.2 Line Load

Figure 4.12: (a) Line load and (b) line load near a retaining wall.
With reference to Fig. 4.12a, the increase in stresses due to a line load, Q
(force/length), are
2Q z 3
 z  　 (4.33)
 (x 2  z 2 )2

2Q x 2 z
 x  　　 (4.34)
 (x 2  z 2 )2

2Qx z 2
 zx  　　 (4.35)
 (x 2  z 2 )2
A practical example of line load is the load from a long brick wall.

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4.8.3 Line Load Near a Buried Earth Retaining Structure

The increase in lateral stress on a buried earth retaining structure (Fig. 4.12b)
due to a line load of intensity Q (force/length) is
4Qa 2 b
 x  (4.36)
H 0 (a 2  b 2 ) 2
The increase in lateral force is
2Q
Px  (4.37)
 (a 2  1)

4.8.4 Strip Load

Figure 4.13: Strip load imposing (a) a uniform stress and (b) a linearly varying stress.
(c) Strip load near a retaining wall and (b) lateral force near a retaining wall from a strip
load.
A strip load is the load transmitted by a structure of finite width and infinite
length on a soil surface. Two types of strip loads are common in geotechnical
engineering. One is a load that imposes a uniform stress on the soil, for example, the
middle section of a long embankment (Fig. 4.13a). The other is a load that induces a
triangular stress distribution over an area of width B (Fig. 4.13b). An example of a strip

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load with a triangular stress distribution is the stress under the side of an embankment.
The increases in stresses due to a surface stress qs (force/area) are as follows:
(a) Area transmitting a uniform stress (Fig. 4.13a)
qs
 z    sin  cos(  2 ) (4.38)

qs
 x    sin  cos(  2 ) (4.39)

qs
 zx   sin  sin(  2 ) (4.40)

where qs is the applied surface load.
(b) Area transmitting triangular stress (Fig. 4.13b)
qs  x 
 z     12 sin 2   　 (4.41)
 B 

q x 2 
 x  s    z ln R1  1 sin 2  　 (4.42)
 B B R22 2 
 

qs  2 
 zx  1  cos 2   2   　 (4.43)
  B 
(c) Area transmitting triangular stress (Fig. 4.21c,d)
2q s
 x  (   sin  cos 2 ) 　 (4.44)

The lateral force and its location were derived by Jarquio (1981) and are
qs
Px   H 0 ( 2  1 ) 　 (4.45)
90
H 02 ( 2  1 )  ( R1  R2 )  57.3BH 0
z 　 (4.46)
2 H 0 ( 2  1 )
where
 a  aB
1  tan 1  ,  2  tan 1  ,
 H0   H0 
R1  (a  B ) 2 (90   2 ), and R2  a 2 (90  1 )
4.8.5 Uniformly Loaded Circular Area
An example of circular area that transmits stresses to a soil mass in a circular
foundation of an oil or water tank. The increase of vertical and radial stresses under a
circular area of radius r0 are

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  
3/ 2 
1
 z  q s 1      qs I c (4.47)

  1  (r0 z ) 2  
  

where
  
3/ 2 
1
I c  1    

  1  ( r0 z ) 2  
  

is an influence factor and

qs  2(1   ) 1 
 r     (1  2 )    　　 (4.48)
2 
 
1  (r0 z ) 2
1 /

2

1  (r0 z ) 2  3/ 2



The vertical elastic settlement at the surface of due to a circular flexible loaded area is
q s D(1   2 )
Below center of loaded area : z  　　 (4.49)
E

2
Below edge : z  2 q s D (1   ) 　　 (4.50)
 E
where D = 2r0 is the diameter of the loaded area.

4.8.6 Uniformly Loaded Rectangular Area

Many structural foundations are rectangular or approximately rectangular in
shape. The increase in stresses below the corner of a rectangular area of width B and
length L are

qs  1 LB LBz  1 1 
 z   tan    2  　　 (4.51)
2 zR3  2
R3  R1 
 R2 

qs  1 LB LBz 
 x   tan  2  　 (4.52)
2  zR3 R1 R3 

qs  1 LB LBz 
 y   tan  2  　 (4.53)
2  zR3 R2 R3 

qs  B z2B 
 zx    2  　 (4.54)
2  R2 R1 R3 

where R1  ( L2  z 2 )1 2 , R2  ( B 2  z 2 )1 2 , and R3  ( L2  B 2  z 2 )1 2 .

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These equations can be written as

 z  q s I z 　 (4.55)
 x  q s I x 　 (4.56)
 y  q s I y (4.57)
 zx  q s I  (4.58)
where I denotes the influence factor. The influence factor for the vertical stress is
  
1  2mn m 2  n 2  1  m 2  n 2  2  2
1  2mn m  n  1 
2
Iz   tan 　 (4.59)
4  m 2  n 2  m 2 n 2  1  m 2  n 2  1   m 2  n 2  m 2 n 2  1 
  

where m  B z and n  L z . You can program your calculator or use a spreadsheet to

find Iz. You must be careful in the last term (tan-1) in programming. If m 2  n 2  1  m 2 n 2 ,
then you have to add  to the quantity in the last term. In general, the vertical stress
increase is less than 10% of the surface stress when z > 3B.
The vertical elastic settlement at the ground surface under a rectangular surface
load is
q s B (1   2 )
z  Is 　 (4.60)
E
where Is is a settlement influence factor that is a function of the L/B ratio (L is length
and B is width). Setting  s  L B , the equations for Is are
At center of a rectangle (Giroud, 1968):
 1  1   s2 
2 ln( s  1   s2   s ln 
Is 
  s 
 

At corner of a rectangle (Giroud, 1968):

 1  1   s2 
1 
Is  ln( s  1   s2   s ln
  s 
 

The above equations can be simplified to the following for  s  1 .

At center of a rectangle: I s  0.62 ln( s )  1.12
At corner of a rectangle: I s  0.31 ln( s )  0.56

4.8.7 Approximate Method for Rectangular Loads

In preliminary analyses of vertical stress increases under the center of
rectangular loads, geotechnical engineers often use an approximate method (sometimes
called the 2:1 method). The surface load on an area, B  L , is dispersed at a depth z
over an area ( B  z )  ( L  z ) as illustrated in Fig. 4.14.

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The vertical load increase under the center of the rectangle is

q s BL
 z  　 (4.61)
( B  z )( L  z )

Figure 4.14: Dispersion of load for approximate increase in vertical stress under a
rectangle
4.8.8 Vertical Stress Below Arbitrarily Shaped Area
Newmark (1942) developed a chart to determine the increase in vertical stress
due to a uniformly loaded area of any shape. The chart consists of concentric circles
divided by radial lines (Fig. 4.15).
The area of each segment represents an equal proportion of the applied surface
stress at depth z below the surface. If there are 10 concentric circles (only 9 are shown
because the 10th extends to infinity) and 20 radial lines, the stress on each circle is
q s 10 and on each segment is q s (10  20) . The radius to depth ratio of the first
(inner) circle is found by setting  z  0.1q s in Eq. (4.47), that is,

  1  
32

0.1q s  q s 1   2 

 1  (r0 z )  

from which r z  0.27 . For the other circles, substitute the appropriate value for  z ;
for example, for the second circle,  z  0.2q s , and find r z . The chart is normalized
to the depth; that is, all dimensions are scaled by a factor initially determined for the
depth. Every chart should show a scale and an influence factor IN, which for our case is
1 (10  20)  0.005 .

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Figure 4.15: Newmark’s chart for increase in vertical stress.

The procedure for using Newmark’s chart is as follows

1. Set the scale, shown on the chart, equal to the depth at which the increase in vertical
stress is required. We will call this the depth scale.
2. Identify the point on the loaded area below which the stress is required. Let us say
this point is point A.
3. Plot the loaded area using the depth scale with point A at the center of the chart.
4. Count the number of segments (Ns) covered by the scaled loaded area. If certain
segments are not fully covered, you can estimate what fraction is covered.
5. Calculate the increase in vertical stress as  z  q s I N N s .

EXAMPLE 4.9
A pole carries a vertical load of 200 kN. Determine the vertical stress increase at a depth
5 m (a) directly below the pole and (b) at a radial distance of 2 m.

Strategy: The first step is to determine the type of surface load. The load carried by the
pole can be approximated to a point load. You can then use the equation for the vertical

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stress increase for a point load.

EXAMPLE 4.10
A rectangular concrete slab, 3 m×4.5 m, rests on the surface of a soil mass. The load on
the slab is 2025 kN. Determine the vertical stress increase at a depth of 3 m (a) under
the center of the slab, point A (Fig. E4.10a), (b) under point B (Fig. E4.10a), and (c) at a
distance of 1.5 m from a corner, point C (Fig. E4.10a).

Strategy: The slab is rectangular and the equations for a uniformly loaded rectangular
area are for the corner of the area. You should divide the area so that the point of interest
is the corner of a rectangle(s). You may have to extend the loaded area if the point of
interest is outside it (loaded area). The extension is fictitious so you have to subtract the
fictitious increase in stress for the extended area.

Figure E4.10a
EXAMPLE 4.11

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The plan of a foundation of uniform thickness for a building is shown in Fig. 4.11a.
Determine the vertical stress increase at a depth of 4 m below the centroid. The
foundation applies a vertical stress of 200 kPa on the soil surface.

Strategy You need to locate the centroid of the foundation, which you can find using the
given dimensions. The shape of the foundation does not fit nearly into one of the
standard shapes (e.g., rectangles or circles) discussed. The convenient method to use for
this (odd) shape foundation is Newmark’s chart.

Figure 4.11a,b

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