CE172 Introduction to Rock Mechanics, Spring, 2004 Prof.

Steven Glaser University of California

1
Stress, and Strain, and Elasticity
As engineers, we are usually vitally interested in forces and displacements This is because as
engineers designing or evaluating a structure we are concerned with deformation or
competence of the structure - will it fail at design load? Will there be so much deformation at
design load that the structure will not function as desired?
Importance of Forces for Rock Mechanics:
1) There are pre-existing forces in the earth, from both gravity loading and active tectonic
forces. Since rock engineers design structures in the earth, we have to know the forces we
are designing for.
2) When we construct a structure in the ground, we are disturbing the existing equilibrium of
forces. We can dramatically alter the state of loading, whether by unloading (excavation)
or extra loading (foundation or dam abutment).
3) In order to design, we need computational tools that describe mechanical behavior of the
materials using easily measurable variables. Engineering design criteria are all in
terms of load and deformation (stress and strain).
Loads are the product of forces distributed over the body in question (the dreaded
engineering mechanics potato). In order to normalize the physical size of a given problem out
of our calculations, we devise the concepts of stress and strain
. In actuality, these are not straight-forward concepts! Stress and strain
only exist as intellectual abstractions.
Strictly speaking, stress is a point property, reducing the effects of a multitude of external
forces to a and acting on a point on an arbitrary plane within. It is an imaginary
mathematically defined quantity:
(1)
We never measure stress directly! We measure the displacement of a material with known
properties, i.e. E; we calculate stress: = E. We can define other elastic constants:
E = Youngs Modulus = . (2)
F A
loaded
=
extent extent =
normal stress
N
,
F
A
------- shear stress
S
A
-------
A 0 ( )
lim , ;
A 0 ( )
lim =

N
------
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
2
For ease of later calculations, and understanding the physicalness of elasticity, let us define
another elastic constant - Poissons Ratio () - which is the ratio of lateral extension to axial
compression. From the figure, we see that ranges between 0 (cork) and 0.5 (rubber).
(3)
For a 3-dimensional state of stress (prism of rock is confined by neighboring prisms of rock)
we can define a bulk modulus (K):
(4)
and the compressional seismic velocity in the solid V
p
= (5)
Similar constants can be defined for shear:
(6)
shear modulus = G = (7)
shear wave velocity = V
s
= (8)
For convenience, define one last constant, Lame`'s constant (9)
Lets look at STRESS in detail.
Stress is a tensor quantity! What the hell are tensors? Lets start with what we already know:
Scalar quantities have magnitude only - temperature, speed, # of home runs, age, etc. They
are characterized by a single numerical value

lat

axial
------------
E
lat

axial
-------------

l
E
l

a
E
a

------------------
E
l
E
a

a
-----------
E
2

2
------ = = = = =
axial
lat
2
K
E
3 1 2 ( )
------------------------ =
K

---- where is density

shear stress =
transverse force
area of action
-------------------------------------- shear strain = ;
transverse displacement
height of body
--------------------------------------------------------- = =

--
G

----

E
1 + ( ) 1 2 ( )
-------------------------------------- =
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
3
A vector is quantity that needs 2 or more numerical descriptors to characterize the quantity
- velocity (speed and direction), temperature change (temp at many given times),
distribution of discontinuities in a given direction, etc.
for velocity we need 3 values - the Cartesian coordinates (really 4 - magnitude and 3
directional cosines)
for room temperature we might only need 2 descriptors - temperature readings and
the time when the temperature readings were taken.
(Note - characterizing locations in 2-coordinate systems is a common use of complex numbers.)
A tensor is devised quantity that has magnitude and direction that are themselves a
function of the coordinate system chosen. Examples - stress, strain, permeability, physical
fields (gravity, electromagnetic, waves, etc.), scary things from physics.
Tensors are abstract objects which can be described by arrays of functions; each
function of such an array is called a component. Components are functions of the
selected coordinates....Tensor analysis offers at least the following
advantages:...Physical concepts requiring many functions to express are formulated
easily...Results are translated easily to forms appropriate to any coordinate
system...Physical concepts can be expressed without reference to any particular
coordinate system. - from Tensors of Geophysics for Mavericks and Mongrels, Hadsel,
F., SEG Press.
Normal Stress Components and Shear Stress Components
From statics, remember that on any arbitrary plane cut through a material there are both
normal and shear stresses. This combination gives us a tensor quantity. (This is only true for
a material with shear strength, i.e. a solid.)
The normal and shear stress components are the normal and shear forces per unit area, using
the notation F
n
for normal force, F
s
for shear force, for normal stress and for shear stress.
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
4
F
n
and F
s
can be easily found from the force magnitude F and the directional cosine -
. (10)
For the case of stress (F
n
/A), : (11)
In the first case we only have to resolve 1 quantity - force. In the second case we have to
resolve both normal force and the area the force acts upon, and the area changes depending
on the arbitrary orientation of the plane through the object - the plane in question.
Stress Components on a Small Cube Within the Rock
For convenience and familiarity, lets use the Cartesian coordinate system, and enlarge our
mathematical point to an engineers point - a cube. In this case, the normal forces will act
perpendicular - normal- to the Cartesian planes. The shear stresses will, in general, not be
aligned with the Cartesian planes. They need to be reduced to a pair of shear stresses acting
parallel to the Cartesian plane - one each acting in the 2 remaining Cartesian directions:
Each face of our unit cube - the x-face, the y-face, and the z-face - end up with 3 stress
components acting on it. We now have the 9 stress components - 3 normal components and 6
shear components.
F
n
F F
s
; cos F sin = =

N
cos
2
=
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
5
Notation convention: the first subscript to a stress value is the plane on which the component
acts; the second subscript defines the direction in which the stress acts.
Now, combine all the components into a matrix where
rows = component on a given plane
columns = stress components acting in a given direction
(12)
This is the world-famous Stress Tensor!!
Symmetry of the Stress Matrix
We have so for defined 9 stress components for a given point in a rock. Since this is statics, the
rock is in equilibrium, so the forces and moments acting on the rock are in equilibrium.
Remember from statics:

xx

xy

xz

yx

yy

yz

zx

zy

zz
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
6
e.g. (13)
So, (14)
and
(15)
giving us a symmetric matrix and only 6 independent stress components to define.
Note
- Stress is a Tensor. It takes 6 independent components to define the state of stress of a
point on an arbitrary plane in a body.
- Stress is very different from pressure! Pressure is hydrostatic, i.e. it acts in all directions
uniformly, so is a scalar.
- Whatever method is used to specify the stress state, you must have 6 independent pieces
of information!!! (and we cannot directly measure all components)
The Principal Stresses
The actual values of the 3 normal and 3 shear components will vary according to the
orientation of the reference cube with the rock. What if we pick an orientation such that the
shear stresses go to zero, and the normal stresses go to their maximum (minimum)?
The Principal stresses are the normal stresses on the 3 orthogonal cube faces when the
orientation is such that the shear stresses are zero. We still need 6 independent pieces of
information since the orientation (directional cosines) must be provided in addition to
1
,
2
,
and
3
(where
1
>
2
>
3
).

M
O

l
2
-----


l ( )
2

xy
l
2
-----


l ( )
2

yx
0 = =

xy

yx

yz

zy
; =
xz

zx
; = ; =

xx

xy

xz

yx

yy

yz

zx

zy

zz

xx

xy

xz

xy

yy

yz

xz

yz

zz

CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
7
All Unsupported (free) Excavation Surfaces are principal Stress Planes
An unsupported excavated surface has no shear stresses acting on it - They are principal stress
planes. In addition, the normal stress acting on these faces are zero (by definition). For
example:
in this case, the Principal stress tensor would be:
. (16)
0 0 0
0
yy

yz
0
yz

zz

3
0 = ( ) 0 0
0
1
0
0 0
2
=
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
8
Stress Invariants of the 3-D Stress Tensor
There are three Tensor quantities (invariants) that are constant no matter what the orientation
of the reference cube - I
1
, I
2
, and I
3
.
(17)
(18)
(for principal stresses- ) (19)
(for principal stresses - ) (20)
Also define Octahedral Stress:
(Can change material state, behavior) (21)
(Causes material damage) (22)
** Nondeviatoric stress does not cause distortion (damage, within reason), only volumetric
change.
I
1

x

y

z
+ + 3
mean
hydrostatic = = =
I
2

x

y

y

z

z

x
+ + ( )
2
xy

2
yz

2
zx
+ + + =
I
2

1

2

2

3

3

1
+ + ( ) =
I
3

x

z
2
xy

yz

zx

x

yz

y

zx

z

xy
+ = I
3

1

3
=

A
C
B
P
n
T(n)
T(-e
1
)
T(-e
3
)
T(-e
2
)
x
1
x
3
x
2
h

oct

1

2

3
+ + ( )
3
-----------------------------------
mean
I
1
3
---- Nondeviatoric Stress = = = =

oct
2
3
------- I
1
2
3I
2
+ Deviatoric Stress = =
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
9
** Deviatoric stress causes shear distortion and material damage.
The stress state can always be broken down into Deviatoric and Nondeviatiric components:
(23)
For the hydrostatic case:
, and define the Bulk Modulus K: (24)
(25)
Example
Say you measure the following stresses, and you want to decompose your stress matrix into
the deviatoric and nondeviatoric components
(26)
(27)
therefore (28)

1 xx =

xy

xz

xy

2 yy =

yz

xz

yz

3 zz =

m
0 0
0
m
0
0 0
m

1

m
( )
xy

xz

xy

2

m
( )
yz

xz

yz

3

m
( )
+ =
Total
Stress
State
=
Hydrostatic
Stress State
(volume)
+
Stress
Deviation
(distortion)
[ ]
P
0
0 0
0 P
0
0
0 0 P
0
and
xx
,
yy

zz
P
0
1 2 ( )
E
--------------------------- = = = =
K
P
0
Vol
-------------
E
3 1 2 ( )
------------------------ = =
10 5 4
5 20 12
4 12 30
so
xx
=10MPa
yy
; =20MPa
zz
; =30MPa and
mean
;
10 20 30 + +
3
------------------------------ 20MPa = =
10 5 4
5 20 12
4 12 30
20 0 0
0 20 0
0 0 20
10 5 4
5 0 12
4 12 10
+ =
Total
Stress
State
=
Hydrostatic
Stress State
(volume)
+
Stress
Deviation
(distortion)
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
10
Strain
Strain, , is a Tensor quantity just like stress. In fact, as long as the material is
Elastic, there is an equivalence between the two. This allows us to estimate strains
(displacements) if we know the stress (load) to be applied, or estimate the applied stress
(loads) by measuring the strains (displacements).
e.g. For design of a dam abutment, we need to estimate the amount of horizontal
deformation we should expect from the design retained pool acting on the dam.
e.g. We need to know the in situ stresses acting on a new tunnel bore so that we can design
the proper support system. We can measure how the tunnel walls strain inward and
calculate the design stresses.
NOTE WELL: Strain is an intellectual abstraction, a point property which we cannot
measure directly. We measure l over a known length (gage length). A strain
measurement without the gage length is a deceptive snare!
For normal loading, this linear relationship between stress and strain is through Youngs
Modulus (E) as first stated by Robert Hooke (1678) in an anagram in the Times of London - as
the extension so is the force.
(29)
More generally, (30)
where (31)
[S] is called the compliance matrix, and is the inverse of the Stiffness matrix. The Compliance
matrix is also symmetrical, so we actually have 21 independent elastic constants to measure to
fully characterize an elastic material, rather than 36. In the generalized case we have a fully
l
l 0 ( )
lim l =

xx

xx
E
xx
=
S
=

xx

yy

zz

xy

yz

zx
and

xx

yy

zz

xy

yz

zx
and
S
S
11
S
12
S
13
S
14
S
15
S
16
S
12
S
22
S
23
S
24
S
25
S
26
S
13
S
23
S
33
S
34
S
35
S
36
S
14
S
24
S
34
S
44
S
45
S
46
S
15
S
25
S
35
S
45
S
55
S
56
S
16
S
26
S
36
S
46
S
56
S
66
= = =
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
11
anisotropic material, but in practice we cannot measure 21 elastic constants, so simplify - in
the pure elastic case (isotropic, homogeneous elastic solid) we only need 2 elastic constants,
e.g. E and G.
What does the Stiffness Matrix mean?
(32)
For a first approximation, assume that there is no coupling between normal and shear
components and no coupling of shear components acting in different directions. This makes
components and disappear. By definition the direct relation between normal strain and
normal stress is 1/E, so will be the reciprocals of E
i
. By the same logic, the rest of the main
diagonal will be 1/G
ij
. From the definition of Poissons ratio, =
lateral
/
axial
, which links
indirect coupling of normal components, we know is -
ij
/E
i
.
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
12
The result is the following compliance matrix (33)
This is the orthotropic case, and we have 9 independent elastic constants - the 3 Youngs
Moduli, the 3 shear Moduli, and the 3 Poissons ratios. This could happen if there are 3
orthogonal different sets of discontinuities in a rock mass,
Simplifying even further, we have the transverse isotopic case. An example is laminated or
layered rocks and rock masses. If the plane of isotropy is parallel to the Cartesian axes 1 and
2:
E
1
= E
2
= E (34)
E
3
= E' (35)
G' = G (36)

12
=
21
= (37)
v
13
= v
23
= v' (38)
1
E
1
------

21
E
2
-------

31
E
3
------- 0 0 0

21
E
2
-------
1
E
2
------

32
E
3
------- 0 0 0

31
E
3
-------

32
E
3
-------
1
E
3
------ 0 0 0
0 0 0
1
G
1
------ 0 0
0 0 0 0
1
G
2
------ 0
0 0 0 0 0
1
G
3
------
S
=
CE172 Introduction to Rock Mechanics, Spring, 2004 Prof. Steven Glaser University of California
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G
12
G
23
, and G
23
= G
31
= G' so, (39)
We now need to measure 5 elastic constants.
Finally, assume complete isotropy -
E
1
= E
2
= E
3
= E (40)

12
=
23
=
31
= (41)
G
12
= G
23
= G
31
= G (42)
and , giving (42)
(43)
* Remember that we also have volumetric strains, , which will become important when
we look at poroelastic behavior.
1
E
---

E
---
'
E'
---- 0 0 0

E
---
1
E
---
'
E'
---- 0 0 0
'
E'
----
'
E'
----
1
E'
---- 0 0 0
0 0 0
2 1 + ( )
E
-------------------- 0 0
0 0 0 0
1
G'
----- 0
0 0 0 0 0
1
G'
-----
S
=
G
E
2 1 + ( )
-------------------- =
1
E
---
1 0 0 0
1 0 0 0
1 0 0 0
0 0 0 2 1 + ( ) 0 0
0 0 0 0 2 1 + ( ) 0
0 0 0 0 0 2 1 + ( )
S
=
vol
vol
------------