Lade, P. V. & de Boer, R. (1997). GeÂotechnique 47, No.
1, 61±78
The concept of effective stress for soil, concrete and rock
P. V. L A D E  a n d R . D E B O E R {
Many different expressions have been proposed
for the effective stress principle for porous
media, but none has clearly been acknowledged
as being the correct one. It should be possible to
determine the correct expression, because this is
a fundamental principle of mechanics. Following
a review of the candidate expressions proposed
for soil, concrete and rock, a comprehensive
expression is derived involving the factors
observed in experiments on `arti®cial rock'. In
this new expression a distinction is made
between the compressibilities of grains and
skeleton due to total stresses and pore pressures.
This general and more comprehensive expres-
sion is then tested against the experimental
evidence. The expression may be specialized for
(a) granular materials with separate grains with
contact points and (b) solid rock with inter-
connected pores. The new expression for the
effective stress contains most of the previously
proposed expressions as special cases. Based on
results of compression tests on quartz (with
hard grains) and on gypsum (with soft grains) it
is shown that Terzaghi's effective stress principle
works well for most geotechnical applications,
but signi®cant deviations occur at very high
stresses.
KEYWORDS: compressibility; constitutive relations;
elasticity; laboratory tests; pore pressure; stress analy-
sis.
INTRODUCTION
The formulation of the concept of effective stress
for porous media such as soils is most often
attributed to Terzaghi (1923). In the context of
developing the classical one-dimensional consolida-
tion theory for water saturated clay, he realized that
two stress components make up the total stress ó
acting on an element of soil: the intergranular stress
óg and the neutral stress or pore water pressure u.
For soils, the intergranular stress provides the
Manuscript received 23 November 1994; revised manu-
script accepted 30 October 1995.
Discussion on this paper closes 2 June 1997; for further
details see p. ii.
 Johns Hopkins University, Baltimore.
{ UniversitaÈt Essen.
61
Un grand nombre d'expressions diffeÂrentes du
principe de la tension ef®cace ont eÂte proposeÂes
pour les mateÂriaux poreux, mais aucune n'a
vraiment eÂte accepteÂe comme parfaite. Il devrait
eÃtre possible de deÂterminer la bonne expression,
vu qu'il s'agit laÁ d'un principe fondamental de
meÂcanique. ApreÁs avoir examine les expressions
proposeÂes pour le sol, le beÂton et la roche, les
auteurs ont deÂrive une expression globale qui
met en jeu les facteurs observeÂs lors d'essais sur
de la «roche arti®cielle». Cette nouvelle expres-
sion fait la distinction entre les compressibiliteÂs
des grains et du squelette dues aux contraintes
totales et aux pressions interstitielles. Les reÂ-
sultats d'eÂtudes expeÂrimentales servent ensuite aÁ
veÂri®er la validite de cette expression geÂneÂrale et
plus eÂtendue. L'expression peut eÃtre modi®eÂe
pour (1) les mateÂriaux granulaires aÁ grains
seÂpareÂs avec points de contact et (2) la roche en
place aÁ interstices interconnecteÂs. Cette nouvelle
expression de la tension ef®cace contient comme
cas particuliers la plupart des expressions
proposeÂes anteÂrieurement. A Á partir des reÂsultats
d'essais sur du quartz (aÁ grains durs) et du
gypse (aÁ grains tendres), on montre que le
principe de la tension ef®cace de Terzaghi
s'applique aÁ la plupart des cas geÂotechniques,
mais qu'il se produit des eÂcarts importants
quand les contraintes sont treÁs eÂleveÂes.
strength, and any change in linear and volumetric
strains is controlled by the intergranular stress. It is
therefore called the effective stress ó9 and according
to Terzaghi (1923)
ó9 ˆ ó ÿ u (1)
This equation has been shown to hold for soils
for most practical purposes. Only for extremely
high pressures are deviations from this expression
suf®ciently large to be measurable. Further discus-
sion of the relation between the intergranular and
the effective stress is presented by Skempton
(1960).
Signi®cant deviations from the effective stress
calculated from equation (1) have been measured for
porous media such as concrete and rock. In these
materials the contact areas and the compressibilities
62 LADE AND DE BOER
of the different phases are quite different from those
in soils. Numerous investigations have been carried
out to determine the nature of the effective stress
principle for geological materials, and several
candidate expressions have been proposed in the
literature.
Since Terzaghi's expression may be inadequate
for some porous media, then what should be the
de®nition of the effective stress, and what is it
expected to mean? The de®nition used here and its
meaning is as follows: The effective stress is the
stress that controls the stress±strain, volume change,
and strength behaviour of a given porous medium,
independent of the magnitude of the pore pressure.
The pore pressure may be zero or negative, or it
may be positive and very large, but the effective
stress must be expressed such that it produces the
same material response for any pore pressure. It is
to be expected that some properties of the given
porous medium will be part of a more comprehen-
sive effective stress expression, unlike the simple
expression in equation (1), which does not involve
any material properties. In thermodynamical terms,
the effective stress is governed by the motion of the
solid constituents of the porous medium.
There are several reasons why it is desirable to
clarify the concept of effective stresses for porous
media in general. The correct formulation is
relevant to conditions of high stresses and pore
pressures in concrete and rock. Such conditions
may occur in connection with engineering projects
at great depth, including petroleum reservoir
operations and consolidation of geological strata.
The stresses encountered below pile tips and
around deep tunnelling and borings for nuclear
waste deposits can also be extremely high.
Material developments, manufacturing techniques,
and applications involving ¯uid ®lled porous media
such as ceramics and powder metals may also
bene®t from a correct formulation of the effective
stress principle. And ®nally, `. . . it is of philoso-
phical interest to examine the fundamental princi-
ples of effective stress, since it would seem
improbable that an expression of the form
ó9 ˆ ó ÿ u is strictly true' (Skempton, 1960). The
concept of effective stress should be based on
principles of mechanics, and it should be possible
to derive an expression for ó9 whose validity can
be determined by comparison with appropriate
experimental data.
A review is given of the expressions proposed
for the effective stress in porous media. This is
followed by a detailed analytical development of a
new expression for the effective stress. Appropriate
experiments are devised to check the salient fea-
tures of the new comprehensive expression. Finally,
a discussion is presented of the results and their
relevance to porous media such as soil, concrete
and rock.
EXPRESSIONS FOR THE EFFECTIVE STRESS
Whereas Terzaghi is credited with the discovery
of the effective stress in 1923, he did not
formulate `the principle' until 1936. However, in
1913 Fillunger speculated that the pore water
pressure itself does not have any in¯uence on the
strength of porous media. He repeated this
hypothesis in 1914, and in 1915 he reported the
results of unjacketed tensile tests on cement and
masonry specimens. Fillunger (1915) observed that
a pore pressure of up to several hundred atmo-
spheres acting inside and outside the pores in the
porous media had no in¯uence on the strength of
the solid skeleton. He had in other words realized
the effects of the effective stress at an earlier date
than Terzaghi. Fillunger (1936) was also the ®rst
to clearly state that constitutive equations should
be formulated for the `surplus pressure over the
weighted pore water pressure', not for the total
stress.
The effective stress is often expressed as the
difference between the total stress and some
fraction of the pore pressure:
ó9 ˆ ó ÿ çu (2)
in which ó9 is the effective stress, ó is the total
stress, and ç expresses the fraction of the pore
pressure that should be employed to make equation
(2) express the effective stress.
Table 1 gives a summary of expressions for ç
proposed by various authors. It is divided into two
sections, because many investigators have appar-
ently found that different expressions should be
used for (a) stress±strain behaviour, and (b)
strength behaviour. The following comments are
added to the tabular presentation:
In Table 1(a), the value of ç ˆ 1 corresponds to
Terzaghi's original expression. Hubbert & Rubey
(1959, 1960) present a theoretical proof for this
value of ç, but this proof has been disputed by Nur
& Byerlee (1971). The suggestion that ç ˆ
n ˆ porosity is an intuitive proposition whose
effect is to eliminate the pore pressure when the
porosity is zero (solid material). Schiffman's
proposition (1970) that ç should be bounded by
1 and n is also presented as intuitive rather than
with rigorous proof, and he did not explain what
controls the value of ç between these boundaries.
Skempton & Bishop (1954) presented a for-
mulation with ç ˆ (1 ÿ a) in which a is the
contact area between particles per unit gross area
of the material. However, in separate articles based
on the same experimental evidence from tests on
lead shot, both Bishop (1955) and Skempton
(1960) argued that this formulation could not be
correct, and that the contact area between particles
plays no role in formulation of the effective stress.
An expression that has been supported by many
authors in more recent years is one involving the
 EFFECTIVE STRESS FOR SOIL, CONCRETE AND ROCK 63
ratio of the compressibilities of the solid material experiments it can be argued that obtaining B
(i.e. the grains) Cs and the skeleton of the porous greater than unity from a time-independent (i.e.
medium C. The expression creep-independent) formulation should not be
Cs possible. Thus, the formulation in equation (4)
çˆ1ÿ (3) cannot be correct. This problem is further addressed
C
below.
is derived from principles of mechanics. Adams & The last expression for ç in Table 1(a) was
Williamson (1923) found that the compressibilities suggested by Suklje (1969), who presented a short
of most rocks are much higher than those of their and straightforward analytical derivation of ç. This
constituent minerals. However, the value of C expression is not well-known, and it has not found
decreases with increasing pressure towards the widespread acceptance.
value of Cs (Zisman 1933, Brace 1965), which is Table 1(b) indicates two expressions for ç
essentially constant for most rock types (Bridgman associated with strength. The ®rst expression was
1925, 1928; Brace, 1965). Thus, the ratio Cs /C presented in an elaborate development in Skemp-
attains magnitudes that increase from near zero to ton's classical paper from 1960. He showed how
approaching unity at high pressures. Nur & Byerlee the effective stress at failure may be related to the
(1971) presented a rigorous derivation of the grain contact area per unit area of the plane a, and
expression in equation (3), and they also performed the angle of intrinsic friction and the angle of
an experimental study in which Weber sandstone shearing resistance. Skempton showed comparisons
was tested to determine the factor ç for this rock that indicated reasonable agreement between the
type. They determined the value of Cs from an expression and experimental results. However, he
unjacketed test on the sandstone, and they found did not indicate at which point in a shear test a
that the ratio Cs /C was not negligibly small. Their switch should be made from ç corresponding to
predictions of effective stress using ç ˆ 1 produced stress±strain behaviour to ç corresponding to fail-
too low values, whereas the predictions using ure. The authors have not been able to locate any
equation (3) were excellent. other papers in which this expression has been
Associated with the expression in equation (3), veri®ed or further elaborated.
Bishop (1973) demonstrated the analytical develop-
ment and formulation of the change in pore
Table 1(a). Expressions for ç for stress±strain beha-
pressure under undrained conditions resulting from viour of soil, concrete and rock
an ambient change in total stress. The resulting
expression for the pore pressure coef®cient B ç Reference
(Skempton, 1954) for a fully saturated porous me- 1 Terzaghi (1923, 1936)
dium became Hubbert & Rubey (1959, 1960)
Äu 1 Skempton (1960) and many
Bˆ ˆ (4) others
Äó Cw ÿ Cs
1‡n n Hoffman (1928)
C ÿ Cs
n ˆ porosity Fillunger (1930)
in which Cw ˆ compressibility of water ˆ 0´048 Terzaghi (1945)
 10ÿ5 vol/vol per kPa. The same expression may Lubinski (1954)
be deduced from Geertsma's formulation (1957) for Biot (1955)
changes in pore space. Bishop (1973) observed that n < ç < 1 Schiffman (1970)
equation (4) indicates that if the solid material
(grains) were more compressible than the water (i.e. 1 ÿ a Skempton & Bishop (1954)
Cs . Cw ), `. . . then Äu/Äó will be greater than a ˆ effective grain Bishop (1955, 1960)
unity, which indicates the caution which must be contact area per Skempton (1960)
unit area of plane
exercized in making simplifying assumptions. The
possibility that Cs is greater than Cw is slight in 1 ÿ Cs /C Biot (1941)
real soils and rocks which are fully saturated, but or Gassmann (1951)
might be contrived in arti®cial two-phase systems 1 ÿ K/Ks Biot & Willis (1957)
. . .'. Whether equation (4) is correct cannot be Geertsma (1957, 1966)
Cs ˆ 1/Ks ˆ Skempton (1960)
tested with real soils and rocks, because Cw is
compressibility of Sera®m (1964)
approximately 25 times greater than Cs which is in solid material Nur & Byerlee (1971)
the range of 0´001±0´003  10ÿ5 vol/vol per kPa for (`grains') Bishop (1973)
most geological materials (Bridgman, 1925, 1928; C ˆ 1/K ˆ
Zisman, 1933, Skempton, 1960; Brace 1965). Note compressibility of
that all coef®cients of compressibility are given as skeleton
10ÿ5 vol/vol per kPa for easy comparison of 1 ÿ (1 ÿ n)Cs /C Suklje (1969)
magnitudes. However, without performing any
64 LADE AND DE BOER
Table 1(b). Expressions for ç for strength behaviour of
soil, concrete and rock
ç Reference
1 ÿ a tan ø/tan ö9 Skempton (1960)
ø ˆ angle of intrinsic
friction
ö ˆ angle of shearing
resistance
1 Terzaghi (1936)
McHenry (1948)
Handin (1958)
Robinson (1959)
Handin et al. (1963)
Murrell (1963)
Walsh (1965)
Brace & Byerlee (1966)
Brace & Martin (1968)
Garg & Nur (1973)
One of the reasons that further efforts in this
direction are absent may be that most investiga-
tions dealing with failure in concrete and rock
have indicated that a factor of ç ˆ 1, that is
Terzaghi's original expression is perfectly adequate
for interpretation of failure conditions in these
materials. In the process of shearing concrete and
rock, micro®ssures develop and open up, and at
the time of peak failure, suf®cient deterioration of
the solid material has occurred that the compres-
sibility of the skeleton has increased substantially.
Therefore, the expression in equation (3), which is
most often employed for the stress±strain beha-
viour, approaches unity near failure, even at high
con®ning pressures. This means that the expression
in equation (3) has the potential to capture the
effective stress for both stress±strain and strength
behaviour. This will be further discussed below.
Further and more detailed reviews of the early
thinking behind the effective stress principle and
the historical development of the theory of porous
media have been made by de Boer & Ehlers
(1990).
FACTORS AFFECTING PORE PRESSURES IN
POROUS MEDIA
As seen from Table 1, any realistic expression
for the effective stress for porous media involves
the compressibilities of the skeleton and the grains
(solid material). The analytical development pre-
sented below involves a more detailed treatment of
the compressibility of the grains than previously
presented in the literature. Appropriate laboratory
experiments in which highly compressible grains
play a paramount role are then performed to pro-
duce results for comparison with the analytical ex-
pression.
The analytical development concerns an expres-
sion for the pore pressure parameter B ˆ Äu/Äó
previously discussed. Following this derivation, the
consequent expression for ç will be given and
discussed in relation to different types of porous
media.
EFFECTS OF PRIMARY FACTORS ON B
The primary factors that affect the value of B
are considered to be those associated with the
porous medium itself: the skeleton, the grains
(solid phase), the porosity, the water (¯uid), the air
(gas) and the degree of saturation. Secondary
factors are considered to be those associated with
the testing technique. These include the measuring
system and the membrane that surrounds the
specimen. The secondary factors have been taken
into account in the analyses of the experiments to
be presented, and they will not be further
elaborated here. A detailed presentation of these
factors was given by Lade & Hernandez (1977).
The primary components that enter the expres-
sion for the parameter B are illustrated schemati-
cally in Fig. 1. The grains indicated may be
cemented together to form a connected frame, or
they may be individual particles touching each
other at very small contact points. The skeleton
and the grains may exhibit nonlinear elastic
behaviour with changing pressure, but they will
be treated as piecewise linear elastic for which the
necessary properties are determined in the im-
mediate vicinity of the current stress point. The
pores are uniformly distributed and interconnected,
and the ¯uid in the pores is linearly compressible.
Fig. 1(a) shows that changes in total con®ning
pressure, Ä(ócell ÿ u), while u ˆ constant, produce
both linear compression of the skeleton as well as
volumetric compression of the grains themselves,
unless the grains are volumetrically incompressible
(corresponding to Poisson's ratio for isotropic
grains, ígrains ˆ 0´5). The corresponding coef®-
cients of compressibility are de®ned in Fig. 1. In
general, the values of Csks (compressibility of
skeleton due to change in total con®ning pressure)
and Cgs (compressibility of grains due to change in
total con®ning pressure) would be expected to be
different from zero.
Fig. 1(b1) shows the response to a change in
pore pressure, Äu, while (ócell ÿ u) ˆ constant. For
the purpose of explanation, the effect of Äu is
shown in two stages. The change in pore pressure
causes a volumetric compression of the solid
grains (unless the grains are isotropic with ígrains
ˆ 0´5). This results in Cgu ˆ compressibility of
grains due to a pore pressure change. The grains
are then adjusted to contact each other again, and
this results in a volumetric change of the skeleton.
This is expressed by Csku ˆ compressibility of the
 EFFECTIVE STRESS FOR SOIL, CONCRETE AND ROCK 65
(σcell 2 u), u (σcell 2 u) 1 (∆σcell 2 ∆u), u 5 constant

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Initial condition Linear compression 1 Volumetric compression
of grains ⇒ volumetric of grains (unless
compression of skeleton νgrains 5 0.5)
(a) ∆Vsks 5 CsksV0(∆σcell 2 ∆u) ∆Vgs 5 CgsV0(∆σcell 2 ∆u)

(σcell 2 u), u (σcell 2 u) 5 constant, u 1 ∆u

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Initial condition: ∆Vgu 5 (1 2 n)V0Cgu∆u ∆Vsku 5 V0Csku∆u
grains in contact
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(b1) For grains in contact:
(1 2 n)Cgu 5 Csku

Fig. 1(a) and (b1). Caption overleaf

skeleton due to a pore pressure change. As may be
seen from Fig. 1(b1), for a granular material these
two compressibilities are related to each other
because (Skempton, 1960; Bishop, 1973): `. . . the
components of strain along any continuous path
across the solid skeleton within the element are
equal to those within the solid material of the
skeleton':
C sku ˆ C gu (1 ÿ n) (5)
Although this appears to be correct for a granular
material, it may not be correct for a highly
cemented porous medium in which the individual
grains are not distinguishable. Although the pores
are interconnected, the shapes of the pores may be
such that the overall compression of the skeleton is
small compared to the compression of the solid
phase (`grains'), as suggested in Fig. 1(b2). In fact,
it becomes increasingly dif®cult to distinguish
between the `grains' and the `skeleton' as the
porous material changes from a distinctly granular
material to a rock with pores. In the following,
equation (5) will not be assumed to be generally
true.
It is evident that a comprehensive treatment of
the volumetric compression of porous media
requires several coef®cients of compressibility as
reviewed above. Four compressibilities rather than
two, as employed in previous analyses, have been
de®ned. The fact that these compressibilities are
real and that they play signi®cant roles in the
behaviour of the porous material will be demon-
strated from the experimental results to be
presented. Whereas the relation in equation (5) is
likely for granular materials, none of the compres-
sibilities will be assumed a priori to be related to
each other.
Fig. 1(c) shows the effects of a change in pore
66 LADE AND DE BOER

(σcell 2 u), u (σcell 2 u) 5 constant, u 1 ∆u

Solid rock with interconnected pores:

`grains´ compress, but little compression of skeleton ⇒
(1 2 n)Cgu . Csku

(b2)

u u 1 ∆u

Initial condition ∆Vw 5 CwnV0S∆u and

∆Va 5 nV0 12 S
u ∆u
2

(c)

Fig. 1. Volumetric compression of porous material due to (a) con®ning pressure; (b) pore pressure in (b1)
granular material, and in (b2) solid rock with interconnected pores); (c) Volumetric compression of pore ¯uid and
gas

pressure on the compression of the water (¯uid)
and the pore air (gas). The compressibility of
water Cw is constant, while the compression of air
(gas) follows Boyle's law.
The expression for the parameter B is derived
on the basis that volumetric compatibility must be
obtained during an undrained stress increase
between the exterior reduction in volume of an
element and the interior volumetric compression of
the components of the element. This results in the
following equation
ÄV sks ‡ ÄV sku ˆ ÄV gs ‡ ÄV gu ‡ ÄV w ‡ ÄV a
(6)
in which the individual quantities are expressed in
 EFFECTIVE STRESS FOR SOIL, CONCRETE AND ROCK
terms of the respective compressibilities and
stresses
ÄV sks ˆ C sks V 0 (Äó ÿ Äu) (7)
where V0 ˆ total volume of the element, and
ÄV sku ˆ C sku V 0 Äu (8)
ÄV gs ˆ C gs V 0 (Äó ÿ Äu) (9)
ÄV gu ˆ C gu (1 ÿ n)V 0 Äu (10)
ÄV w ˆ C w nV 0 SÄu (11)
where S ˆ degree of saturation, and from Boyle's
law
1ÿS
ÄV a ˆ nÄV 0 Äu (12)
u2
where u2 ˆ (u1 + Äu) ˆ the absolute pressure in the
pore air after application of an increment in pore
pressure.
Since the expression for B to be derived will be
used to check the principle of effective stress for a
fully saturated specimen, it will be assumed that
S ˆ 1, that is the effect of the compressibility of
the air is not present. It should be noted, however,
that the in¯uence of the degree of saturation S on
the measured value of B is always very pro-
nounced. The B-value test (in which the cell
pressure is changed by Äó while the specimen is
undrained and the corresponding pore pressure
increase Äu is measured to form B ˆ Äu/Äó) is
the best indication of the degree of saturation of a
specimen of porous material. Typically, the value
of B is close to 1´0 for saturated soils. B-values
smaller than 1´0 may be indicative of incomplete
saturation, but other factors may cause B to be-
come lower than unity as indicated in the fol-
lowing.
Substitution of equations (7±11) into equation
(6), solving for Äu, and dividing by Äó yields
Äu 1
Bˆ ˆ
Äó Cw (1 ÿ n)C gu ÿ C sku
1‡n ‡
C sks ÿ C gs C sks ÿ C gs
(13)
Comparison of Bishop's equation (4) with
equation (13) shows that the difference between
the two formulations relates to the compressibility
of the grains and the skeleton due to the pore
pressure. In Bishop's approach the compressibility
of the grains (solid phase) is taken as one value,
but in reality the compressibility varies with
respect to the agent that compresses the grains,
as shown schematically in Figs. 1(a) and 1(b).
Thus, Cs in equation (4) is taken to represent Cgu ,
Cgs and Csku . If these three values are set equal
and substituted into equation (13), then Bishop's
equation (4) is obtained.
67
EXPERIMENTS TO STUDY THE EFFECTIVE STRESS
PRINCIPLE
Most previous experiments to validate analytical
expressions for the effective stress have all been
performed on real geological materials for which
the compressibility of the grains (solid material) is
more than an order of magnitude smaller than the
compressibility of water. In addition, real concrete
and rock typically have very small porosities. It
is therefore dif®cult to measure all the required
quantities with suf®cient accuracy to determine
whether the small quantities are correctly included
in the formulation. For example, the appearance of
the compressibility of the solid phase Cs in
equation (4) is dif®cult to check for real materials,
because it is approximately 25 times smaller than
the compressibility of water.
It is evident from equations (13) that the most
signi®cant effect to verify is that relating to the
compressibility of the grains (solid phase). Because
the effective stress formulation is based on
principles of mechanics, it should be valid for all
types of materials, and it is not important to
perform the experiments on real porous materials
such as concrete and rock. True principles of
mechanics may be checked with any suitable
material. In the present case it is important to
obtain pronounced grain compressibilities to deter-
mine whether the proposed formulation is correct.
The approach taken here was therefore to fabricate
specimens of several compressible materials such
as balsawood, basswood, and acrylic plastic. Porous
specimens with different porosities were desirable
to verify the effect of porosity.
FABRICATION OF TEST SPECIMENS
Several lengths of square rods of balsawood,
basswood and acrylic plastic with cross-sections
of approximately 6´3  6´3 mm2 (0´25  0´25 in2 )
were purchased. The rods were cut into lengths of
 approximately 5´5 cm and stacked to form cubical
specimens. Fig. 2 shows a photograph of the six
cubes produced for this study. The square rods were
carefully glued together over the full contact areas
using glue products appropriate for the wood and
the plastic, respectively.
The three materials had different compressibil-
ities. The compressibilities of the two wood types
were likely to vary with con®ning pressure,
whereas the solid acrylic plastic was likely to
exhibit reasonably constant material compressibility
within the pressure range to be employed. One
cube of balsawood, two cubes of basswood with
different porosities (obtained by changing the
distances between the square rods), and three
cubes of acrylic plastic with different porosities
were produced. The differences in porosity are
clearly seen in Fig. 2.
68 LADE AND DE BOER

Fig. 2. Photograph of one balsawood, two basswood and three acrylic plastic cubes fabricated for the study of the
effective stress principle

Following the glueing process the plastic cubes
were milled and the wood cubes were carefully
trimmed with a sharp knife to produce ¯at surfaces
along all sides. To prevent water from penetrating
into the wood during pressurization, the wood
cubes were dipped into liquid latex rubber three
times with suf®cient time between each dip for the
latex rubber to dry completely.
Although great care was taken to seal the wood
cubes, it was clear from the test results that the
densest basswood cube was in fact imbibing water
when pressurized. Several cycles of additional
sealing and testing did not change this outcome.
Table 2 presents the relevant properties of the six
test specimens.
EXPERIMENTAL SET-UP
The B-value tests were performed in a triaxial
cell with steel cell wall to minimize the expansion
of the cell during pressurization. Fig. 3 shows a
schematic diagram of the set-up. The `arti®cial

Table 2. Properties of `arti®cial rock' specimens

Specimen I.D. Number Material Volume, V0: cm3 Porosity, n Compressibility of
skeleton, Csks
(vol/vol per kPa)
BAL 1 Balsawood 203´2 0´436 See Fig. 7(a)
BAS 1 Basswood 204´3 0´442 See Fig. 8(a)
BAS 2 Basswood 177´1 0´281 Unknown
AC 1 Acrylic plastic 182´7 0´459 0´172  10ÿ5
AC 2 Acrylic plastic 168´4 0´319 0´100  10ÿ5
AC 3 Acrylic plastic 168´6 0´205 0´081  10ÿ5
 EFFECTIVE STRESS FOR SOIL, CONCRETE AND ROCK 69

Dial gauge

σcell

To volume change and

cell pressure measuring device

3.2mm stainless steel pin

Water saturated cell

6.4mm stainless
steel cell wall

Stainless steel cap (and base)

0.6mm thick latex

rubber membrane

1mm thick stainless steel plates

cover holes on 4 sides
of cube specimen

To volume change and

pore pressure measuring
device

Fig. 3. Triaxial set-up for B-value tests on simulated rock specimens

rock' specimens were contained between a stain-
less steel cap and base and surrounded by a 0´6
mm latex rubber membrane. To avoid membrane
penetration into the pores along the four exposed
surfaces of the cubes, four 1´0 mm thick square
stainless steel plates were cut to cover the holes
(i.e. the pores). The side lengths of the square
plates were smaller than the sides of the cubical
specimens, thus allowing these to deform freely
during the experiments. After installation, the
70 LADE AND DE BOER
specimens and the triaxial cell were fully saturated
using the CO2 method described by Lade &
Duncan (1973).
Measurements
All experiments were performed by exposing
the specimens to varying isotropic pressures. The
vertical deformation of the cube was measured by a
dial gauge through a thin pin screwed into the cap.
The volume change from inside the specimen was
measured by a regular burette-type device, whereas
the volume change from the triaxial cell was
measured by a high pressure device described by
Lade & Overton (1989). The cell pressure and the
pore water pressure were measured by Bourdon-
type pressure gauges as well as by more accurately
sensing electrical pressure transducers attached to
the volume change devices.
The volume change from the cell was corrected
for the intrusion of the pin and for the expansion
of the cell due to pressurization. No other correc-
tions were applied to the measured quantities.
Interpretation of measurements
The corrected volume change from the cell
represents the volume change of the skeleton,
ÄVspec, as shown in Fig. 4. For compressible grains,
the volume change of grains is obtained from
ÄV grains ˆ ÄV skel ÿ ÄV spec (14)
This is also illustrated schematically in Fig. 4.
Accuracy of measurements
Although the compressibility of the acrylic
plastic was much higher than the relatively small
values of compressibilities of real rock (0´001±
0´003  10ÿ5 vol/vol per kPa), the accuracy of the
volume measurements from the triaxial cell was
not suf®cient to allow detailed analyses of the
experiments on the plastic specimens. However,
they were accurate enough to allow qualitative
analyses in support of the proposition presented
below. The experiments on the wood specimens
produced results from which each type of com-
pressibility could be determined, and these experi-
ments are analyzed in detail in the following.
EXPERIMENTAL RESULTS FOR WOOD CUBES
Balsawood
Figures 5 and 6 show the measured data for the
balsawood specimen. Because the balsawood was
very compressible, each of the components in-
dicated in Figs 1(a) and 1(b) is clearly visible in
the diagrams in Figs 5 and 6. In order to establish
all the compressibilities occurring in equation (13),
the scheme of isotropic cell pressure and pore
pressure variations shown on the two diagrams
were adopted. The balsawood specimen began to
show excessive creep and possible collapse at the
highest stresses indicated.
Fig. 7(a) shows the compressibilities and their
variations calculated from the data in Figs 5 and 6.
Fig. 7(b) shows a comparison of measured and
calculated values of B. All were calculated to be
0´996, whereas the measured values of B were
unity or slightly above. Values of B higher than
unity should not be calculable from the analytical
expression, because this would imply that a higher
increment in pore pressure could be generated than
the increment of cell pressure imposed on the
specimen. The higher increments in pore pressure
measured in the experiments are generated by
creep, which in turn is obtaining its energy from
the stored potential energy in the specimen. B-
value tests performed on sand at very high
con®ning pressures indicate that the pore pressure
increments can be several times the applied cell
pressure increment, as shown by Yamamuro &
Lade (1993). This contribution from creep is not
included in the analytical expression presented
above. Consequently, B greater than unity cannot
be predicted. Fig. 7(a) indicates that all compres-
sibilities associated with the skeleton and the
grains (solid phase) of the balsawood are much
greater than the compressibility of water.
Basswood
The compression of the basswood shows a
different character to the balsawood, that is the
compressibilities are lower and they decrease with
increasing pressure. This is demonstrated in Fig.
8(a), which also indicates that the compressibilities
associated with the basswood are all greater than
that of water. Fig. 8(b) a comparison of measured
and calculated B-values for the basswood speci-
men. In this case the B-values at lower isotropic
pressures were below unity, and in each case the
B-value calculated from equation (13) is very close
to the measured value. Note that one value of B
was determined during unloading of the specimen,
and this value is quite different from the others.
Nevertheless, the B-value calculated from the
appropriate compressibilities is reasonably close
to the experimental value. Thus, equation (13)
appears to capture the mechanics of the B-value
test with good accuracy.
ANALYSIS OF COMPRESSIBILITIES
Based on the compressibilities shown in Figs. 7
and 8, it was attempted to throw further light on
the relation between the compressibilities by
evaluating the expression in equation (5). The
 EFFECTIVE STRESS FOR SOIL, CONCRETE AND ROCK 71

σcell

∆Vskeleton

∆Vspecimen

For incompressible grains: ∆Vspecimen 5 ∆Vskeleton

(circular grains maintain their volumes)

For compressible grains: ∆Vgrains 5 ∆Vskeleton 2 ∆Vspecimen

(circular grains compress into square grains)

Fig. 4. Schematic illustration of measurements and interpretation of volume change components in

isotropic compression test

values of (1 ÿ n)Cgu are calculated and compared
with the values of Csku in Fig. 9 for both types of
wood. For balsawood the two values are equal, thus
supporting equation (5). However, for basswood
(1 ÿ n)Cgu is initially greater than Csku before the
two terms become equal at higher pressures. They
again show substantial differences for the one set
of measurements performed during unloading.
Comparing the results in Fig. 9 with the measure-
ments of B in Figs. 7(b) and 8(b), it is evident
that the value of (1 ÿ n)Cgu is greater than Csku
whenever B is lower than unity. Equation (13) also
indicates that B-values lower than unity are ob-
tained only when the third term in the denominator
has a substantial value, thus showing that
(1 ÿ n)C gu ÿ C sku
>0 (15)
C sks ÿ C gs
Since Csks is always the largest of the compressi-
bilities, thus making the denominator positive, then
72 LADE AND DE BOER

∆Vskel
described by Csks 5
V0(∆σcell 2 ∆u) 73
39
141 106
0
B 5 1.038
Balsawood cube
V0 5 203.2 cm3 108 141
0
200 n 5 0.436 B 5 1.000
178 141 39
74 108 73
(σcell 2 u): kPa

B 5 1.045
0 106
141 141
39 74
∆Vskel 0
110 108 described by Csku 5
0 39 V0∆u
100 0
74 74

B 5 1.015 0
0 39

0
0 1 2 3 4 5
∆Vskel: cm3

Fig. 5. Compression of skeleton of balsawood cube due to changes in cell pressure and pore pressure. Values of u
in kPa are given at discrete points

∆Vgrains
described by Cgs 5
V0(∆σcell 2 ∆u)

200
202
B 5 1.038 ∆Vgrains
described by Cgu 5
(1 2 n)V0∆u
169 169
B 5 1.000 201
239
u: kPa

203 Balsawood cube

135
V0 5 203.2 cm3
134 236 n 5 0.436
100 169 203
100 Values of (σcell 2 u): kPa are
B 5 1.045
202 235 given at discrete points
135 170
66
B 5 1.015
135 203 236
100
69 73
105 242
0
0 1 2 3
∆Vgrains: cm3

Fig. 6. Compression of `grains' of balsawood cube due to changes in cell pressure and pore
pressure

(1 ÿ n)C gu ÿ C sku > 0 (16) evaluation of equation (16). The B-values for each
of these specimens were measured to be essentially
whenever B is lower than unity, as for the bass- constant for pressures up to 7000 kPa, that is the
wood. plastic specimens showed linear behaviour in this
Although the measurement of volume changes range of pressures. Constant values of B between
from the triaxial cell were too inaccurate for de- 0´54±0´63 were obtained for the three specimens.
tailed analyses of the experiments on the acrylic The analyses showed that the ratio in equation (15)
plastic specimens, suf®cient data were obtained for would have to be between 0´2±0´5, that is not
 EFFECTIVE STRESS FOR SOIL, CONCRETE AND ROCK 73
C(vol/vol per kPa)
Cw 5 0.048 3 1025
15 3 1025
5 3 1025
Csks
Basswood cube
Max. pressure

C (vol/vol per kPa)

4 3 1025 Measured
Balsawood cube during
3 3 1025 (a) unloading

10 3 1025 (a)
2 3 1025

Cgu
1 3 1025
Csks Cgs
Csku
0
0 100 200 300 400 500 600
Cw 5 0.048 3 1025 (σcell 2 u): kPa
5 3 1025

B
1.1 Measured
Cgu
Calculated
Csku
1.0
Cgs
0 0.9
0 100 200
(σcell 2 u): kPa
B Measured 0.8 (b)
1.10 (b) Calculated (B 5 0.996
in all cases)
0.7
1.00

Fig. 8. Variation of (a) compressibilities and (b) meas-

Fig. 7. Variaton of (a) compressibilities and (b) mea- ured and calculated B-values for basswood cube with
sured and calculated B-values for balsawood cube with difference between cell pressure and pore pressure
difference between cell pressure and pore pressure

negligible values, in order to obtain the measured

B-values. Again, this provides con®rmation of the
inequality in equation (16). This means that the
Csku(1 2 n)Cgu: vol/vol per kPa

10 3 1025
compressibility of the grains due to a pore pressure
increase must be higher than that of the skeleton. (a) Balsawood cube
For the acrylic plastic specimens, this may be en-
visioned as illustrated schematically in Fig. 1(b-2).
The experimental results show that the expres- 5 3 1025 Csku( ) = (1 2 n)Cgu( )
sion in equation (15) is always zero or positive.
Therefore, the analytical B-values from equation
(13) will not exceed unity, while the expression in
equation (4) would produce B-values greater than
unity for both wood specimens. For these speci- 0
0 100 200
mens, all `grain' compressibilities are clearly (σcell 2 u): kPa
greater than that of water, as seen on Figs. 7(a)
Csku(1 2 n)Cgu: vol/vol per kPa

Measured
and 8(a). The characterization of the various during
unloading
compressibilities of the solid phase (`grains') as
1 3 1025 (b) Basswood cube
one property is not correct, and it leads to the Max. pressure
erroneous expression in equation (4). (1 2 n)Csku
The value of Cgu represents the compressibility
of the grains (solid phase) due to an all-around Csku
pore pressure change. This is what is determined 0
from the volume change measured in an un- 0 100 200 300 400 500 600
(σcell 2 u): kPa
jacketed test. In comparison, the value of Csku
must be somewhat smaller and not nearly as easy Fig. 9. Comparison of compressibilities of skeleton and
to determine for cases where the solid phase `grains' due to pore pressure changes for (a) balsa-
cannot be distinguished as separate grains. In fact, wood cube, and (b) basswood cube
74
as the `points' of contact grow, i.e. are ®lled in
with solid phase material, it becomes complicated
to determine what is `grains' and what is
`skeleton'. The dilemma is indicated in Fig. 10.
As the contacts grow, they eventually reach
diameters equal to the grain diameter, at which
point the pores vanish. At this limiting condition,
the compressibility of the skeleton equals the
compressibility of the grains
C sku ˆ C gu (17)
Thus, it is necessary to study the two ends of the
spectrum using separate expressions for the com-
pressibility of the skeleton.
THE EFFECTIVE STRESS PRINCIPLE
If the effective stress, Äó9, is de®ned as the
stress that produces the same volume change as a
particular combination of the total stress Äó and
the pore pressure Äu, then using the left-hand-side
of equation (6), this volume change may be written
as
C sks V 0 Äó9 ˆ C sks V 0 (Äó ÿ Äu) ‡ C sku V 0 Äu
from which
 
C sku
Äó9 ˆ Äó ÿ 1 ÿ Äu
C sks
This equation represents the general expression for
the effective stress in a porous material.
Granular materials
For separate grains with small contact points,
the expression in equation (5) for the compression
of the skeleton may be substituted into equation
(19) to produce
 
C gu
Äó9 ˆ Äó ÿ 1 ÿ (1 ÿ n) Äu (20)
C sks
which is similar to the expression suggested by
(a) Separate Gradual (b) Solid rock with
grains with transition interconnected
contact points pores
Fig. 10. Schematic illustration of gradual transition in
porous material from (a) separate grains with contact
points to (b) solid rock with interconnected pores
LADE AND DE BOER
Suklje (1969). As the compressibility of the
skeleton Csks decreases with increasing pressure
towards the limit represented by the compressibility
of the grains (solid phase) Cgu , the ratio of Cgu /Csks
approaches unity and the effective stress may be
expressed as
Äó9 ˆ Äó ÿ nÄu (21)
Such an expression was intuitively proposed by
several authors, as seen in Table 1(a).
It should be noted, however, that the pressures
required to make Cgu /Csks approach unity would
also cause large amounts of grain crushing and
consequent reductions in the porosity, n. The
results of two K0 -compression tests, one on quartz
sand with very hard grains and the other on
gypsum sand with very soft grains, are shown in
Fig. 11 (Yamamuro, 1993; Bopp, 1994). These two
sand types may be representative of extreme
characteristics with regard to their potential for
particle breakage. The experiments were performed
in a thick-walled steel cylinder in which the
3´81 cm dia. (1´5 in) sand specimens were com-
pressed to vertical stresses a little beyond
800 MPa. The reduction in porosity n and in the
(18) compressibility of the skeleton Csks with increasing
pressure may be calculated from the data presented
(19)
1
0.8
0.6
Void ratio, e
0.4
Quartz sand
0.2
Gypsum sand
0
0.1 1 10 100 1,000 10,000
Vertical stress: MPa
Fig. 11. Results of one-dimensional compression tests
on quartz sand and gypsum sand shown on e against
log (stress) diagram
 EFFECTIVE STRESS FOR SOIL, CONCRETE AND ROCK 75
in Fig. 11 for each of the two sands. The 1
consequent increase in solid fraction (1 ÿ n) is 0.98
shown in Fig. 12 and the decrease in skeleton
0.96

Factor, η
compressibility with increasing vertical stress is Dam foundations and abutments,
shown in Fig. 13 for the two sands (note the 0.94 tunnel linings, mine shafts
difference in scale on the vertical axes). The
0.92
volumetric compressibility of the solid phase of Deep wells, mine pillars
quartz is Cgu ˆ 0´0027 vol/vol per kPa (Bridgman 0.9
0 20 40 60 80 100
1925, 1928; Skempton 1960; Brace 1965), and the Vertical stress: MPa
value for gypsum is taken to be Cgu ˆ 0´0020 vol/ 1
vol per kPa. The variation of the factor ç, given in
equation (20), can now be calculated for the two
0.8
sands.
Fig. 14 shows the results of calculations of ç for Quartz sand
quartz sand and for gypsum sand. The results for 0.6

Factor, η
these two extreme sands appear to be relatively
close, even though their compressibilities are Pile foundations, points of
0.4 concentration in mine pillars
substantially different, as shown on Fig. 13. It is Gypsum sand

0.2
Conventional and nuclear explosives,
1 deep focus earthquakes
Gypsum sand
0
0 200 400 600 800 1,000
0.9 Vertical stress: MPa
Solid fraction: (1 − n)

Quartz sand Fig. 14. Variation of factor ç with stress for quartz sand
0.8 and gypsum sand. Probable maximum stresses for
various geotechnical structures and conditions are
shown for comparison
0.7

0.6
seen that ç generally decreases from close to unity
with increasing stress. Since the solid fraction,
0.5
0 200 400 600 800 1000
shown in Fig. 12, does not vary much with
Vertical stress: MPa pressure compared to the variation of the skeleton
compressibility, it is the latter that has the most
Fig. 12. Variation of solid fraction (1 ÿ n) with stress signi®cant in¯uence on the value of ç.
for quartz sand and gypsum sand Indicated on Fig. 14 are also the probable
maximum stresses encountered in various practical
engineering facilities (Murphy 1987). It is clear
0.006
that ç is very close to unity in the range of
Skeleton compressibility: 1/kPa

stresses in which most geotechnical structures are

0.005 found. Further, ç does not decrease signi®cantly
until stresses are reached that are highly unusual in
0.06 0.004
engineering practice. In practice it would not be
Skeleton compressibility: 1/kPa

0.05 0.003 possible to recognize or measure the difference

between unity and the actual value of ç in the
0.04 0.002 range of stresses up to and possibly beyond
100 MPa. Nevertheless, signi®cant deviations from
0.03 0.001 Quartz sand
Terzaghi's proposed effective stress principle occur
0.02 0 at higher stress magnitudes, as suspected by
0 200 400 600 800 1,000
Vertical stress: MPa Skempton (1960).
0.01
Gypsum sand
0
0 200 400 600 800 1,000 Solid rock with interconnected pores
Vertical stress: MPa
For the other limiting case of solid rock with
Fig. 13. Variation of skeleton compressibility with small interconnected pores and low porosity, the
stress for quartz sand and gypsum sand. Note differ- expression for Csku from equation (17) is sub-
ence in vertical scale for the two diagrams stituted into equation (19) to produce
76 LADE AND DE BOER
 
C gu
Äó9 ˆ Äó ÿ 1 ÿ Äu (22)
C sks
Table 1(a) shows that this expression for the
effective stress is similar to that proposed by many
authors, if Cs is taken to be equal to Cgu . Note,
however, that no previous studies have distinguished
between the different compressibilities of the
skeleton and the grains associated with the total
stress and the pore pressure, as done here.
Experiments on Weber sandstone were presented
by Nur & Byerlee (1971) to show that the ex-
pression in equation (22) captures the effective
stress behaviour of the sandstone with very good
accuracy. These authors also presented a theoretical
derivation of the coef®cient ç shown in square
brackets (with Cgu ˆ Cs ) in equation (22) for solid
rock with interconnected pores.
While equation (20) applies for granular materi-
al as indicated in the left-hand-side of Fig. 10, the
expression in equation (22) applies to solid rock
with interconnected pores as shown in the right-
hand-side of Fig. 10. A transition from one to the
other condition appears to involve a change in the
contact area a per unit area of the plane. A
gradual transition may be achieved by multiplying
the porosity n in equation (20) by a factor such as
(1 ÿ am ) in which the exponent m is to be
determined experimentally. This intuitive relation
would have the properties of producing the
expressions in equations (20) and (22) for a ˆ 0
and a ˆ 1, respectively. However, developments
beyond those given above are beyond the scope of
the present study.
Failure
Both expressions for the effective stress in
equations (20) and (22) contain the compressibility
of the skeleton Csks in the denominator. In the
process of shearing soil, concrete, or rock, the
material dilates, the density decreases, the structure
loosens up, and the value of Csks consequently
increases with increasing shear strain. For granular
materials the process of dilation has been de-
scribed in texts on basic behaviour of soils. For
concrete and rock the process of initiation and
growth of microcracks and subsequent coalescence
of these features into larger pores are associated
with volume expansion as explained in basic texts
on concrete behaviour and rock mechanics. The
consequent increasing compressibility of the ske-
leton reduces the ratio Cgu /Csks towards zero and
the value of ç in both equations (20) and (22)
approaches unity. This compares well with the
experience reported by many authors, as listed in
Table 1(b). Thus, ç ˆ 1 is adequate for interpreta-
tion of failure conditions in porous media.
SUMMARY AND CONCLUSIONS
The concept of effective stress for porous media
has been addressed in many studies in the past.
These studies and the resulting expressions for the
effective stress have been summarized. An analy-
tical expression for the undrained compression of a
material element based on compressibilities of
grains (solid phase) and skeleton is then derived.
In the consequent expression for B ˆ Äu/Äó, a
distinction is made between the compressibilities
of grains and skeleton due to total stresses and
pore pressures. This distinction results in a new
and more detailed evaluation of the effective stress
in porous media such as soil, concrete, and rock. A
series of experiments was performed on `arti®cial
rock' specimens made of square rods of balsawood,
basswood, and acrylic plastic glued together to
form porous cubical specimens. The data from
these experiments are used as an aid in evaluating
the general, analytical expression for the effective
stress. This expression is then specialized to form
two distinct expressions for the effective stress in
(a) granular materials consisting of separate grains
with small contact points, and (b) solid rock with
interconnected pores. For various special condi-
tions, these expressions are shown to be similar
to most previously proposed expressions for the
effective stress. Terzaghi's proposed effective stress
principle works well for stress magnitudes encoun-
tered in most geotechnical applications, but signi®-
cant deviations occur at very high stresses.
ACKNOWLEDGMENT
The experiments on the `arti®cial rock' speci-
mens were conducted in the Department of Civil
Engineering at University of California, Los
Angeles. The research presented here was sup-
ported by the Air Force Of®ce of Scienti®c
Research of USA under Grant No. 910117, by
the Deutsche Forschungsgemeinschaft, and by
Stiftung Volkswagenwerk of the Federal Republic
of Germany. Grateful appreciation is expressed for
this support.
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